BCCI International Symposium Proceeedings April 27-28

Transcription

Greater Mekong Subregion
Dawood Ghaznavi, Chief Operating Officer
GMS Environment Operations Center
23rd Floor, The Offices at Central World
999/9 Rama 1 Road, Pathumwan
Bangkok 10330, Thailand
Tel +66 2 207 4444
Fax +66 2 207 4400
E-mail: [email protected]
Website: www.gms-eoc.org
International Symposium Proceedings 27-28 April 2006, Bangkok Core Environment Program
Urooj Malik, Director
Javed Hussain Mir, Senior Natural Resources Specialist
Agriculture, Environment and Natural Resources Division
Southeast Asia Department
Asian Development Bank
6 ADB Avenue, Mandaluyong City
1550 Metro Manila, Philippines
Tel +63 2 632 6234
Fax +63 2 636 2231
Biodiversity Conservation Corridors Initiative
Contact Information
Biodiversity Conservation
Corridors Initiative
International Symposium Proceedings
27-28 April 2006, Bangkok
Core Environment Program
International Symposium Proceedings
27-28 April 2006, Bangkok
Organized by the
Greater Mekong Subregion Environment Operations Center
Edited by
Jeremy Carew-Reid, Rachel Salazar, and Sylvia Spring
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Copyright © 2007 Asian Development Bank
All rights reserved
This publication was prepared by staff and consultants of Asian Development Bank. The analyses and assessments
contained herein do not necessarily reflect the views and policies of the Asian Development Bank, or its Board of
Governors or the governments they represent.
The Asian Development Bank does not guarantee the accuracy of the data included in this publication and accepts no
responsibility for any consequences of their use.
Use of the term “country” does not imply any judgment by the authors or the Asian Development Bank as to the legal
or other status of any territorial entity.
Printing by Clung Wicha Press Co., Ltd., Thailand
April 2007 - 2,000
Print on paper made from fast-growing plantation trees using elemental chlorine-free bleaching processes.
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BCI International Symposium Proceedings
Contents
Foreword
vii
Acronyms & Abbreviations
ix
Symposium Agenda
1
1.
Welcome Remarks
Monthip Sritana Tabucanon
5
2.
Opening Remarks
Arjun Thapan
7
3.
Conservation of Biodiversity in the GMS - Overview
Jeremy Carew-Reid
8
Plenary Session
4.
Landscape Mosaics: Integrating Forest Management and Environmental Services in Tropical Landscapes
Markku Kanninen
25
5.
Managing the Environment for Development and to Sustain Pro-Poor Growth
Stephen Bass and Paul Steele
26
6.
Potential Impacts of Climate Change and Regional Air Pollution on Terrestrial Biodiversity and
Landscape Use
Frank Murray
36
7.
Upstream, Downstream: How New York City Saves Millions of Dollars by Paying Upstream
Communities to Protect the Natural Water Filtration Qualities of the Catskill/Delaware Watershed
Mark Kasman
42
PANEL 1: Ecosystems Connectivity and Biodiversity
8.
Current Status of Biodiversity in the GMS Countries, with a Particular Focus on the Pilot Sites
of the Biodiversity Conservation Corridors Initiative
Andrew (Jack) Tordoff
49
9.
Biodiversity Loss in Xishuangbanna with the Changes of Land Use and Land Cover over 27 Years
Zhu H., Li H.M., Ma Y.X.
69
10. The Great Green Triangle: An Integrated Approach Towards Regional Planning and Biodiversity
Conservation in the PRC/Lao PDR/Viet Nam Border Region
David Wescott and Jin Chen
72
11. Watershed Management in the Yangtze, Mekong, and Salween Rivers
Marc Goichot
77
12. Wetland Connectivity and Fish Migration in the Lower Mekong Basin
Poulsen A.F., Ouch Poeu, Sintavong Viravong, Ubolratana Suntornratana, Nguyen Thanh Tung
and Barlow, C.
90
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Contents
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Contents (continued)
13. Analyzing the Impacts of the GMS Biodiversity Conservation Corridors Initiative: A Toolkit
of Policy Relevant Indicators and Models
Ben ten Brink, Tonnie Tekelenburg, Rob Alkemade, Mireille de Heer, Fleur Smout, Michel Bakkenes,
Jan Clement, Mark van Oorschot, Jan Janse
98
14. Transport Infrastructure and Wildlife Trade Conduits in the GMS: Regulating Illegal and
Unsustainable Wildlife Trade
Chris R. Shepherd, James Compton and Sulma Warne
107
15. Northern Plains Landscape Conservation - Cambodia
Tom Clements
113
16. Photo-Monitoring of Changes in Biodiversity in Yunnan Province, People’s Republic of China
Jim R. Lassoie, Robert K. Moseley
121
PANEL 2: Local Livelihoods and Poverty Reduction in Biodiversity Corridors
17. Questioning Traditional Livelihood Models: Lessons Learned from Cardamom Mountains
Pilot Project (CADP) Cambodia
Suwanna Gauntlett
137
18. A Biofuels-based Livelihoods Strategy: Energy Trees for Electricity, Transport, and
Climate Change. Field Experiences from Asia and Africa
Emmanuel D’Silva
146
19. Raising Rural Incomes while Conserving the Environment, Non-Timber Forest Products,
Specialty Agriculture Products, and Compatible Enterprise Development in Cambodia and Viet Nam
Maureen DeCoursey
149
20. Linking Communities to Employment Opportunities and Markets: Policy and Institutional Design Aspects
Ewald Rametsteiner
156
21. Non-Timber Forest Products and Rural Livelihoods in Lao PDR: Reducing Poverty through
Forest Development and Conservation Interventions
Andrew W. Ingles, Sounthone Kethphanh, and Andy S. Inglis
166
PANEL 3: Climate Change and Biodiversity Corridors
22. Interrelationship between Climate Change, Urban Air Quality and Impacts Inside and Outside Cities:
Rationale for Addressing Air Pollution and GHG Emissions
Cornie Huizenga and May Ajero
179
23. Air Pollution and Ecosystem: Assessment of Effects of Ground Level Ozone on Agricultural Crops in Asia 187
Nguyen Thi Kim Oanh, Dinh Thi Hai Van, and Le Hoang Nghiem
24. Climate Change and Consequent Impacts in the Mekong River Basin
Hans Guttman
190
25. Addressing Vulnerability to Climate Variability and Climate Change: An Integrated Modeling System
Satya Priya, Murthy Bachu, Annes Hassankunju, and Sridhar Gummadi
198
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Contents (continued)
PANEL 4: Sustainable Financing and Biodiversity Corridors
26. Nature-based Tourism as a Funding Mechanism for Protected Areas and Biodiversity Conservation:
Plans and Opportunities in the Lao People’s Democratic Republic
Paul Rogers
209
27. Payment for Environmental Services - Lessons Learned from a Diagnostic Study in the People’s
Republic of China
Zuo Ting, Jin Leshan, Li Xiaoyun
223
28. Payments for Environmental Services: a Pathway out of Poverty?
Katherine Warner
227
29. Impact Monitoring for Watershed Management
Christoph Feldkötter
231
APPENDIX 1: Participants List
239
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Contents
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Foreword
The best way to address the growing transboundary aspects of natural resource management and biodiversity
conservation challenges in the Greater Mekong Subregion (GMS) will be through intensive and well-focused
collaboration involving the governments of the region, organizations of civil society, and the private sector.
In early 2006, the Asian Development Bank with support from the Governments of Netherlands and Sweden
launched the GMS Core Environment Program (CEP) and its flagship component—the Biodiversity Conservation
Corridors Initiative (BCI). The CEP-BCI is a 10-year program to be implemented in three phases through various
collaborative arrangements with state and non-state implementing partners.
Also early in 2006, the GMS Environment Operations Center (EOC) was established to coordinate and facilitate
the implementation of the CEP-BCI and serve as the Secretariat to the Working Group on Environment (WGE). The
WGE has been the focal point for environmental interventions under the GMS Economic Cooperation Program. The
launch of the CEP-BCI and the establishment of the EOC are important steps forward in evolving long-term
institutional arrangements for subregional environmental management in the GMS.
The long-term vision of the program is to establish subregional environmental protocols on environmental
safeguards and codes of practice for development sectors, on environmental assessment and monitoring
procedures, and on management of a subregional network of protected areas and biodiversity corridors linking them.
The key concern in landscape approaches is the widespread fragmentation problem that needs to be addressed
urgently in the GMS. The BCI focuses on establishing connectivity between fragmented protected areas using linear
or stepping stone corridors and forest restoration in agreement with community needs for sound land management
regimes. It also entails promoting increased participation of local communities in managing local natural resources
and benefiting from these in a sustainable manner. Above all, the CEP-BCI program aims at finding ways and means
to increase cash and non-cash benefits for poor households inhabiting remote and rural mountainous areas, which
form the major backbone of the remaining rich biodiversity landscapes in the GMS. We hope that lessons learned and
experience from implementing the CEP-BCI will move us steadily toward achieving our vision.
The GMS countries have lent strong support in the formulation of the Biodiversity Conservation Corridors
Initiative as well as in its implementation arrangements. The first symposium of the BCI family has taken place—and
these proceedings emanating from that Symposium is a benchmark of our thinking at the outset of the CEP. It is a rich
source of information, viewpoints, and priorities for biodiversity conservation action in the GMS. This gathering and
others like it will enable us to maintain close working linkages between the pilot site teams, the lead government
agencies and the international community—and over time, to form a sharp and united front on the best way forward.
Urooj Malik
Director
Agriculture, Environment and Natural Resources Division
Southeast Asia Department
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Foreword
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ADB
AFLEG
Asian Forest Law Enforcement and Governance
AIT
Asian Institute of Technology
AQM
air quality management
ASEAN
Association of Southeast Asian Nations
BCI
BMPs
Best Manufacturing Practices
BINU
biodiversity indicators for national use
CADP
Community Agriculture Development Project
CAI-Asia
Clean Air Initiative for Asian Cities
CALM
Conservation Areas through Landscape Management
CBD
Convention of Biological Diversity
CDM
Clean Development Mechanism
CERs
Certified Emissions Reduction units
CEPF
Critical Ecosystem Partnership Fund
CEP
Core Environment Program
CITES
Convention on International Trade in Endangered Species of Wild Fauna and Flora
CI
Conservation International
COP
Conference of Parties
DAP
diammonium phosphate
DFRC
Division of Forest Resource Conservation
EAPs
environmental action plans
EANET
Acid Deposition Monitoring Network in East Asia
EBA
Endemic Bird Area
EBF
Evergreen Broadleaf Forest
EFCF
Ecological Forest Compensation Fund
ENSO
El Niño-Southern Oscillation
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EOC
Environment Operations Center
EPA
Environmental Protection Agency
ETCG
Ecotourism Technical Cooperation Group
FAD
Filtration Avoidance Determination
FAO
Food and Agriculture Organisation
FFI
Fauna & Flora International
GEF
Global Environment Facility
GHGs
greenhouse gas
GLOBIO
Global Methodology for Mapping Human Impacts on the Biosphere
GMS
IAE
Institute of Agricultural Economics
IBAs
Important Bird Areas
ICRAF
International Center for Research in Agroforestry
ICRISAT
International Crop Research Institute for the Semi-Arid Tropics
IFC
International Finance Commission
IIED
International Institute for Environment and Development
IPTC
International Press Telecommunications Council
IPCC
Intergovernmental Panel on Climate Change
IUCN
World Conservation Union
IWMI
International Water Management Institute
JANBO
Japan Association of New Business Incubation Organizations
KBAs
Key Biodiversity Areas
LDCs
least developed countries
LMS
Lower Mekong Migration System
LMP
Living Mekong Programme
LNTA
Lao National Tourism Administration
LULUCF
land use and land use change and forestry
MAF
Ministry of Agriculture & Forestry
MAFF
Ministry of Agriculture, Forestry, and Fisheries
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MARD
Ministry of Agriculture & Rural Development
MDG
Millennium Development Goals
MEA
Millennium Ecosystem Assessment
METI
Ministry of Economy, Trade and Industry
MNP
Netherlands Environmental Assessment Agency
MOA
Memorandum of agreement
MPDF
Mekong Private Sector Development Facility
MRB
Mekong River Basin
MRC
Mekong River Commission
MSA
mean species abundance
NAFRI
National Agriculture and Forestry Research Institute
NBCA
National Biodiversity Conservation Area
NFPP
Natural Forest Protection Program
NGO
nongovernment organization
NGPES
National Growth and Poverty Eradication Strategy
NR
nature reserve
NTFP
non-timber forest product
NZAID
New Zealand’s International Aid & Development Agency
OECD
Organisation for Economic Co-operation and Development
OTCs
open-top chambers
PAFO
Provincial Agriculture and Forestry Offices
PES
payment for environmental services
PLUP
participatory land use planning
PLG
Partnership for Local Governance
PRAs
Participatory Rural Appraisals
PRC
People’s Republic of China
PRS
Poverty Reduction Strategy
RCSP
Regional Cooperation Strategy and Program
RCEEE
Research Center for Ecological and Environmental Economics
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SDWA
Safe Drinking Water Act
SLCP
Sloping Land Conversion Program
SLURP
Semi-distributed Land Use-based Runoff Processes
SME
small and medium enterprise
SNV
Netherlands Development Organisation
SPM
suspended particulate matter
SRES
Special Report on Emission Scenarios
STEA
Science Technology and Environment Agency
SWEC
South West Elephant Corridor
SWTR
Surface Water Treatment Rule
TNC
The Nature Conservancy
UMS
Upper Mekong Migration System
UNDP
United Nations Development Programme
UNEP
United Nations Environment Programme
UNWTO
United Nations World Tourism Organisation
UNESCO
United Nations Educational, Scientific and Cultural Organisation
UNFCCC
United Nations Framework Convention on Climate Change
USAID
United States Agency for International Development
WCS
Wildlife Conservation Society
WCMC
World Conservation Monitoring Centre
WFP
World Food Programme
WGE
Working Group on Environment
WHO
World Health Organisation
WMO
World Meteorological Organisation
WWF
World Wide Fund for Nature
XNR
Xishuangbanna Nature Reserve
YGRP
Yunnan Great Rivers Project
YGRPPT
Yunnan Great Rivers Project Planning Team
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Biodiversity Conservation Corridors Initiative (BCI) International Symposium
27-28 April 2006, Bangkok, Thailand
The Science and Practice of Biodiversity Corridors
Objectives:
• Sharing of experience gained and lessons learned by implementers and practitioners of biodiversity corridors
outside the Greater Mekong Subregion (GMS) with implementers of the Core Environment Program (CEP)
• Review pilot site proposals of the GMS BCI in light of lessons learned and experience shared
• If necessary and possible, make adjustments in the implementation framework of the GMS BCI based on
recommendations of the symposium
• Identify potential long-term monitoring outlook for the GMS BCI.
AGENDA
Theme/Activity
Thursday, 27 April 2006
Presenter
08.30 – 08.40
Welcome Remarks
Monthip Sriratana Tabucanon, Deputy
Permanent Secretary, Ministry of Natural
Resources and Environment (MONRE)
08.40 – 08.50
Opening Remarks
Arjun Thapan, Deputy Director General,
Mekong Department, Asian Development
Bank (ADB)
08.50 – 09.00
Introduction of participants
Javed Hussain Mir, Senior Natural
Resources Specialist, ADB
09.00 – 09.15
CEP-BCI: Challenges and Opportunities
Urooj Malik, Director, Agriculture,
Environment and Natural Resources
Division (MKAE), ADB
09.15 – 09.30
Overview of Biodiversity Corridor Pilot
Proposals under the GMS Core Environment
Program
Hasan Moinuddin, BCI Unit Leader
09.30 – 09.45
Break
Session I: Ecosystems Connectivity and Biodiversity Corridors
09.45 – 10.00
Landscape Mosaics: Integrating Forest
Management and Environmental Services
in Tropical Landscapes
Markku Kanninen, CIFOR
10.00 – 10.15
Plenary Discussion
Facilitator
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Agenda
1
Theme/Activity
Presenter
Session II: Local Livelihoods and Poverty Reduction in Biodiversity Corridors
10.15 – 10.30
Managing the Environment for
Development and to Sustain Pro-Poor Growth
Paul Steele, IPS
10.30 – 10.45
Plenary Discussion
Facilitator
Session III: Climate Change and Biodiversity Corridors
10.45 – 11.00
Potential Impacts of Climate Change and
Regional Air Pollution on Biodiversity and
Landscape Use
Frank Murray, Murdoch University
11.00 – 11.15
Plenary Discussion
Facilitator
Session IV: Sustainable Financing of Biodiversity Corridors
11.15 – 11.30
Upstream, Downstream: How New York
City Saves Millions of Dollars by Paying
Upstream Communities to Protect the Natural
Water Filtration Qualities of the Catskill/
Delaware Watershed
Mark Kasman, US Environment
Protection Agency
11.30 – 11.45
Plenary Discussion
Facilitator
11.45 – 12.00
Announcements: Panel Discussion Groups
Facilitator
12.00 – 13.45
Lunch
13.45 – 17.00 with Break
15.30 – 15.45
Session V: Panel Discussions
Panel 1: Ecosystems Connectivity and
Biodiversity
Discussion Leader: Markku Kanninen
The Terai Arc Landscape: A New Paradigm for Chandra Gurung, WWF Nepal
Conservation in Nepal
Biodiversity Loss in Xishuangbanna with the
Changes of Land Use and Land Cover Over
30 Years
Zhu Hua, XTBG
The Great Green Triangle Project: An
Integrated Approach Toward Regional
Planning and Biodiversity Conservation in
the PRC/Lao PDR/Viet Nam Border Region
Chen Jin, XTBG and David Westcott,
CSIRO
Management of Watersheds of Large Rivers – Marc Goichot, WWF
Yangtze, Mekong and Salween
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13.45 – 17.00 with Break
15.30 – 15.45
Theme/Activity
Presenter
Wetland Connectivity and Fish Migration
Chris Barlow, MRC
Current Status of Biodiversity in the GMS
Countries, with a particular focus on the pilot
sites of the Biodiversity Conservation
Jack Tordoff, BirdLife International
Measuring and Modeling Biodiversity Gains
and Losses for Different Socioeconomic and
Corridor Options
Ben ten Brink, MNP
Transport Infrastructure and Wildlife Trade
Conduits in the GMS: Regulating Illegal and
Chris Shepherd, TRAFFIC
Session V: Panel Discussions
Panel 2: Local Livelihoods and Poverty
Reduction in Biodiversity Corridors
Discussion Leader: Paul Steele
Community Management of Forests and
Wetlands for poverty Reduction
Khun Chainarong, ONEP
A Biofuels-based Livelihoods Strategy: Energy Emmanuel D’Silva, ICRISAT
Trees for Electricity, Transport, and Climate
Change - Field Experiences from Asia and Africa
Raising Rural Incomes while Conserving the
Environment: Non-timber Forest Products,
Specialty Agriculture Products, and
Compatible Enterprise Development
Maureen Decoursey, Winrock
International
Poverty, Health, Governance and Ecosystems: Paul Steele, Institute of Policy Studies
An ADB-IUCN Partnership to Improve
Knowledge and Address Challenges
Linking Communities to Employment
Opportunities and Markets: Policy and
Institutional Design Aspects
Ewald Rametsteiner, IIASA
Panel 3: Climate Change and Biodiversity
Corridors
Discussion Leader: Frank Murray
Interrelationship between Climate Change,
Urban Air Quality and Impacts Inside and
Outside Cities: Rationale for Addressing Air
Pollution and GHG Emissions
Cornie Huizenga, Clean Air Initiative –
Asia
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Agenda
3
Theme/Activity
Presenter
Air Pollution and Ecosystem: Assessment of
Effects of Ground Level Ozone on
Agricultural Crops in Asia
Nguyen Thi Kim Oanh, AIT
Climate Change and Consequent Impacts in
the Mekong River Basin
Hans Guttman, MRC
Addressing Vulnerability to Climate Variability
and Climate Change - An Integrated Modeling
System (Case Study from India)
Satya Priya, RSMI
Panel 4: Sustainable Financing and
Biodiversity Corridors
Discussion Leader: Katherine Warner
Sustainable Finance Mechanisms, Protected
Area Networks, and Conservation Corridors:
Off-setting the Opportunity Costs of Biodiversity
Conservation with Tangible Economic Incentives
Jim Peters, Winrock International
Nature-based Tourism as a Funding
Paul Rogers, SNV
Mechanism for Protected Areas and Biodiversity
Conservation: Plans and Opportunities in the
Lao Peoples Democratic Republic
Payment for Environmental Services: Lessons Zuo Ting, China Agricultural University
Learned from a Diagnostic Study in China
Friday, 28 April 2006
08.45 – 10.00
Panel Discussion (part 3)
10.00 – 10.15
Break
Discussion Leaders
Session VI: Presentation of Panel Reports
10.15 – 11.15
Presentation of Results by Panels 1 – 4
Panel Rapporteurs
11.15 – 11.45
Plenary Discussion
Panel Discussion Leaders
11.45 – 12.15
Response by GMS BCI Implementers
GMS BCI
(5 minutes per GMS country – 30 minutes for 6
GMS countries)
12.15 – 12.30
Closing of Symposium
12.30
Lunch and Departure
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Director, MKAE, ADB
1. Welcome Remarks
Dr. Monthip Tabucanon
Ladies and gentlemen,
It is my great pleasure to welcome you to the first
international symposium under the Greater Mekong
Subregion (GMS) Core Environment Program (CEP). I
say first, because, in my view, this is the dawn of a new
era of international cooperation on environment, both
within the region and between the region and the wider
global community. We will be seeing regular symposiums
of this kind under the CEP, nurturing debate and discussion on environmental problems facing us and generating
new ideas and strategies for addressing them.
It is a special pleasure for me to open this symposium because Thailand has had the honor of hosting a
series of important regional meetings over the past few
days. We have launched the CEP and formally opened
the GMS Environment Operations Center—both significant steps in cementing working ties between countries
of the region to safeguard their shared natural systems
and to maintain environmental quality. In the Environment Operations Center, we now have a permanent and
focused secretariat to support the GMS Working Group
on Environment (WGE).
Last year, the WGE was 10 years old. It has served
a critical function as an advisory body on GMS issues
on environment and natural resources management,
reporting to the GMS Ministerial Conference and to
respective governments. It has promoted exchange of
information, built good working relationships, and enabled
review of the Asian Development Bank’s (ADB) environmental regional technical assistance programs. Now at
its 12th meeting, and the opening of a new decade for
the Group, I feel a growing excitement that it is taking on
a more influential and proactive role.
The WGE is intended to facilitate the implementation of priority GMS environmental projects, and ensure
that environmental issues are properly addressed in
subregional projects in other sectors, with special
emphasis on the large infrastructure projects being
developed in the transportation and energy sectors. It
was also expected to address the issues regarding
harmonization of national environmental legislation
and regulations within the GMS. The CEP and the
Environment Operations Center now provide the focal
mechanism and resources to enable the WGE to better
fulfill those roles.
The WGE will be successful only if it promotes
and works through partnerships. To meet the growing
need for strong and proactive environmental management in the GMS, participatory processes embracing
the full range of stakeholders are required. As GMS
environmental institutional arrangements evolve, so too
must the methods and opportunities for participation and
the roles of nongovernment organizations (NGOs),
community groups, donors, and businesses.
This is why the Biodiversity Conservation
Corridors Initiative (BCI)—a flagship activity of the CEP—
is so important. It is built on partnership between the six
Governments of the GMS and between them and other
international and national organizations. The BCI pilots
demonstrate how all components of the CEP must
operate. However, this process is still in its infancy. We
are learning how to do it step by step and will need
your full support and patience in the coming years in
experimenting and getting it right.
The first step is to be open to innovative ideas
and approaches and to have the capacity and flexibility
to test them in meeting real problems on the ground.
This symposium and the BCI aim to begin that process
of open discussion and piloting. I believe there are very
good reasons for emphasizing biodiversity corridors in
this early stage of the CEP. We know we must look
beyond economic progress to achieve sustainable
development. Development must be ecologically
sustainable. It is now commonly accepted that there
are three principles necessary to making sustainable
development work—biodiversity conservation,
intergenerational equity, and the precautionary approach.
Together, these approaches aim to prevent and reverse
adverse impacts of economic and social activities on our
GMS ecosystems, while continuing to allow sustainable
equitable development.
For me, the concept of “biodiversity corridors”
summons up notions of linking and integrating
.
Welcome Remarks
5
conservation and development across landscapes. It
recognizes the need to maintain and enhance critical
ecosystems for the wider benefits and services they
provide. And, it promotes the idea that maintaining the
diversity of life intermingled with human communities is
the key to achieving stability and quality in our social
and economic systems.
for technical staff from our six countries to contribute and
gain skills and experience. In this context, we may need
to explore the options for a regional training center or
network of training centers as a key capacity building
strategy underlying and feeding into the CEP. We will
benefit from your ideas and discussion on this and the
other priorities.
This symposium aims to move these and other
ideas on the essential ingredients for sustainable
development forward, toward practical application in our
region—one of the most beautiful and diverse in the
world.
The Government and people of Thailand have a
long history of involvement in environmental management and biodiversity conservation. We have launched
initiatives to reforest degraded land, to improve air and
water quality, adopt energy efficient technologies, and
invest in air pollution abatement schemes. We have also
done well in terms of formulating and subsequently
refining policy and institutional frameworks for biodiversity
conservation. However, several challenges remain:
developing an enabling framework for local participation;
arresting overexploitation through appropriate enforcement; and developing mechanisms for financing
conservation. These issues are all enduring barriers to
development and our success in addressing them will
depend a great deal on partnering with other GMS
countries and harnessing the best available technology,
knowledge, and expertise in the region, and globally.
I would like to end my welcoming remarks by
identifying three broad priorities for you to consider. The
first is the need for transboundary cooperation in the
conservation and management of natural systems. This
is at the heart of the BCI. Transboundary cooperation is
not easy to achieve and there are many economic,
political and institutional forces inhibiting it. But when
we in the GMS share so many natural systems of
importance to our cultural identities, to our growing
economies and to our overall security—transboundary
cooperation on environment is not a choice, it is a
prerequisite to the sustainable development of the GMS.
It is for you to advise us on how to achieve it.
Second is the need for integration. By that I mean
integration of the BCI, its activities, methods, and
lessons, with other components of the CEP. And I mean
integration of the CEP with other components of the overall GMS development program. The WGE is one of nine
sector-based working groups under the GMS economic
cooperation program. We must ensure that, in
our enthusiasm to progress on our immediate biodiversity
goals we do not become isolated from the main forces
shaping its use and degradation. We must take action
across all the CEP components and seek to connect in
active and practical ways with the other sector based
working groups. We need to influence and help shape
what they are doing. In other words we need to become
a central force in shaping GMS development.
Third is the need for technical exchange and
capacity building within the region. I see the CEP
through the Environment Operations Center providing a
forum and venue for fresh and expanded opportunities
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So you see, I have put a lot on your shoulders—
we need you to help catalyze momentum for this new
era of environmental cooperation in the GMS. We in
Thailand will do everything possible to support and
facilitate your work.
Thank you.
2. Opening Remarks
Arjun Thapan
2.1
Introduction
Dr. Monthip Tabucanon, distinguished guests,
ladies and gentlemen, thank you for joining us today at
the International Symposium on the Greater Mekong
Subregion (GMS) Biodiversity Conservation Corridors
Initiative (BCI). I am delighted to see so many of you
here. It is doubtless a measure of the sense of urgency
that the subject of biodiversity conservation evokes.
I presume that many of us here are familiar with
the GMS Economic Cooperation Program—or GMS
Program, as it is commonly known. For those who are
not, I would like to bring to your attention a few key
features of the program.
2.2
GMS Program
The GMS Program commenced in 1992 seeking
to promote economic cooperation between Cambodia,
the People’s Republic of China, the Lao People’s
Democratic Republic, Myanmar, Thailand, and Viet Nam.
As it grew, the program covered cooperation in several
sectors and thematic areas including energy, transport,
telecoms, tourism, environment, agriculture, human
resources, trade facilitation, and investment. The
program adopted a pragmatic approach to regional
economic development focused on activities and results
rather than on rules.
By 1996, much of the infrastructure sector studies
and preparations for priority projects were completed.
Since then, the program has helped knit the subregion
together. Vital infrastructure links have been built;
policies to overcome barriers to market and trade
expansion, tourism and investment have been designed
and are being put in place; and human resource,
knowledge and institutional building initiatives have
commenced.
At the 12th Ministerial Meeting in Dali in 2003, the
vision of the First Summit was translated into a threepronged strategy for the Program. These are the three
Cs: connectivity, competitiveness, and community. The
Second GMS Leaders Summit in Kunming in 2005 reaffirmed this vision and resolved to further enhance the
three Cs. It was also at the Kunming Summit where the
GMS leaders endorsed the Core Environment Program
(CEP), which was developed as a joint initiative of GMS
member countries—facilitated by the Asian Development
Bank (ADB)—to address the environmental stresses
likely to be brought about by subregional integration,
especially economic corridor development.
2.3
Economic and biodiversity corridors
At the heart of the GMS Program—and ADB’s
regional strategy for the Mekong region—are the
economic corridors. The corridors induce integration and
competitiveness and facilitate trade and investment.
However, the increase in production and trade within the
geographic spaces influenced by the corridor investments
is potentially accompanied by ecosystem fragmentation.
As experts in the field, you will share our view that
protected areas that were traditionally seen as the first
line of defense against the fragmentation problem, are
not sufficient to mitigate this problem. Indeed one of the
main causes of biodiversity loss in the region is the
destruction of habitat, and the fragmentation and
impoverishment of the remaining ecosystems. We
are concerned that in the absence of anticipatory
environmental and natural resource management, the
effectiveness of our development interventions and
investments could be undermined. This can potentially
have serious implications for poverty reduction and
sustainable development of the region.
The BCI is a response to this concern. Biodiversity
corridors are located within the GMS economic corridors
so that they contribute to enhancing the developmental
impact of the economic corridors in a sustainable way.
These corridors are analogous to economic corridors in
their functionality: both attempt to increase system scale,
connectivity, integration, and efficiency.
The BCI aims to address the urgent issue of
fragmented landscapes arising from accelerated
economic development, and the impact of this fragmentation on biodiversity in the GMS. The biodiversity
corridors will attempt to harmonize economic development with conservation, and protect the ecological and
.
Opening Remarks
7
environmental services that underpin our common and
shared development objectives.
So, we now have a response that conceptually
addresses the challenge. Making it work will require
imagination, commitment, and industry. As a first step,
your discussions will help in responding to the following:
(i) how can BCI better align environmental protection
and economic development to promote biodiversity
conservation and mitigate against ecosystem fragmentation; (ii) how do we ensure equitable cost and benefit
sharing especially with local communities that derive their
livelihoods from this biodiversity; and (iii) what are the
best options to overcome policy and institutional
fragmentation across national boundaries and sectoral
jurisdictions.
2.4
Closing
In closing, let me say that gatherings such as these
invigorate our thinking and help reinforce the intellectual
foundations of BCI. To say that the BCI is crucially
important for the GMS is not simply to state the obvious.
It is to help us concentrate our attention on the conservation and sustainable use of biological diversity that is
fundamental to the future of the GMS and the welfare of
its people. I am sure your discussions will provide BCI a
solid foundation to build upon.
Thank you and good day.
3. Conservation of Biodiversity in the GMS –
Overview
Jeremy Carew-Reid
Summary
A point is reached in the degrading of a natural
system when there is no return. Natural processes and
relationships have been so disrupted and become so
simplified that they are beyond renewal. Many of the
elements of biodiversity in the Greater Mekong Subregion
(GMS)—species, ecosystems, and genetic material—are
close to that point because of unplanned side effects of
escalating economic development. GMS Governments
have responded by mounting the Core Environment
Program (CEP) overseen by the Working Group on
Environment and supported by a permanent secretariat,
the Environment Operations Center (EOC). The
Biodiversity Conservation Corridors Initiative (BCI) is a
flagship of the CEP to be integrated closely with other
program components which seek to influence development in the GMS economic corridors and sectors. This
paper introduces the CEP and BCI and summarizes the
papers presented at the first BCI symposium. The main
themes are the role and management of biodiversity
corridors, ecologically sustainable livelihoods, the
recognition of climate change as one of the most
important development challenges facing the region, and
the economic value of ecosystem services as the basis
for sustainable financing of conservation and local
livelihoods. Some papers begin to outline a consistent
monitoring and reporting framework for the BCI.
3.1
The GMS as a natural system
The GMS is as a natural system. It is a system
bound by five shared rivers—the Ayeyarwady, Thanlwin,
Chao Phraya, Mekong, Red and Pearl Rivers (Map 3.1).
Economic and social development cannot escape this
fundamental characteristic of the region—it is a natural
system. Over centuries, layers of economic and social
patterns of development have grown from it—they have
been shaped and determined by its natural capital and
potentials. Economic plans and actions must work within
the natural system’s ability to regenerate. If they don’t
respect those limits, sooner or later GMS development
8
.
will fail. It is beginning to fail now in various hotspots
throughout the region.
Map 3.1: The GMS as a natural system of five major river
basins
Signs of development failure in hotspots are sharp
inequities, exhausted natural resources, and worsening
quality of life for many of the most vulnerable communities.
Other signs of failure include diminishing productivity in
key economic sectors—where for each unit of investment
there is declining output. Most often, the evidence is
anecdotal and difficult to interpret—but the evidence from
many stories is growing and a clearer picture is emerging.
Development within the GMS is proceeding without care
for the future—without adequate assessment and safeguards for sustainability, for its impact on other sectors,
and for its effects on the poor.
3.2
GMS development beyond nature’s limits
There are cases of industries driven to collapse
because of exhaustion of the natural resource on which
they were based—this occurred for a factory in southern
Cambodia dependent on the supply of rattan from Ream
National Park. The local communities were the losers.
After two years, the foreign company concerned packed
up and went elsewhere. There are similar cases in other
GMS countries of collapse of industries due to decline in
forest products. Those hit hardest are the poor. Fiftytwo percent of Cambodians live within 10 km of forests,
while 33% live within 5 km (Forest Sector Review 2004).
The quality of the forest, levels of access, and the
nature and extent of markets all play critical roles in the
benefits poor communities receive from them. Forest
products and systems also play an essential role in
livelihoods in communities not close to forests, even in
urban areas. For example, up to 90% of Cambodians
depend on fuel wood for cooking. The smallest
fluctuation in the availability and price of fuel wood has
far reaching impacts on the poor throughout the country,
and market forces tend to work against them. As the
quality of natural systems degrades, the cost of accessing
resources is rising. The returns for input of labor are
reducing. The poor may harvest the resources but the
principle beneficiaries are those high in the market chain.
The poor move closer and closer to the forest and water
bodies, and work harder to exploit them, but benefits are
not increasing proportionally.
The links between biodiversity and fisheries are
also immediate. Reduced biodiversity will lead to loss of
livelihoods and unfavorable socioeconomic impacts
(Coates et. Al. 2003). Fishing in the Mekong and in other
rivers of the region is not the problem—but the high
impact of other sectors on aquatic biodiversity. The signs
of biodiversity loss are apparent—Mekong fishers are
reporting a significant reduction in the size of fish
caught—the larger migratory species are under threat.
And in some intensively developed areas, catch per unit
effort is declining. Coastal fisheries have collapsed
throughout the region. Maintenance of water bodies and
associated wetlands is a key to maintaining capture
fisheries and overall GMS socioeconomic development.
These wet areas include upland tributaries and related
systems of streams, reservoirs and headwaters; lowland
river channels and lakes; permanently and seasonally
.
Conservation of Biodiversity in the GMS – Overview
9
inundated wetlands associated with seasonal rainfall
and the annual inundation of floodplains, rivers deltas,
estuarine and mangrove systems, and in coastal waters,
coral reefs and sea grass areas.
Decline in water accessibility and quality affects
most sectors. When the Mekong mainstream was
interrupted for a week due to construction of a dam in
Yunnan Province, People’s Republic of China (PRC),
all vessels over 20 tons in Lao People’s Democratic
Republic (Lao PDR), were stranded on the riverbed.
Water transport, irrigation, drinking water, and water
supply to industry all contribute to local and national
economies. In the GMS, many of these essential natural
system-livelihood links are being severed or weakened
by unwise investment and economic policy applied
without knowledge of its socioeconomic and sustainability
implications.
An outstanding example is the increasing
incidence and severity of flooding and drought in
various parts of the region. It is known, although not
fully understood, that forest loss and degradation of
watersheds has disrupted natural water regulation
increasing peaks and troughs in water flow. In Cambodia,
the floods in 2000 cost $156 million in damage. In 2001,
again the floods struck affecting over 1.6 million people
in 12 provinces. The flooding destroyed homes, infrastructure, and crops. There is mounting evidence to show
that the intensity of flooding events is due in large part to
development which has reduced river channels and
raised riverbeds, obstructed natural drainage systems,
reclaimed flood plains and wetlands, expanded urban
and residential areas in sensitive areas and cleared
natural forest (ESCAP 2002). Then in 2003, drought
struck many areas of the country, which severely affected
fishing yields. In February 2004, the end of the peak
season for the licensed bag net fishery operators, catches
were reported at one-seventh the level of the previous
year. The Mekong River Commission (MRC) is
predicting that serious food security and water conflicts
will result if these intense drought and flood events
continue. The first and most seriously to be affected will
be those 35% of the population which are most vulnerable because of their direct reliance on natural products
and systems.
These examples show that in many areas the form
and scale of development in the region is continuing
beyond the replenishment rate of natural capital. It is
drawing down heavily on nature’s reserves with unknown
and unplanned long-term consequences.
3.3
Scale of GMS economic development
In the 10 years since 1995, the GMS has grown in
population from 240 million to 300 million, and gross
regional product has grown from some $250 billion to
over $400 billion. A Strategic Framework for the
cooperative development of the GMS was adopted by
the 10th GMS Ministerial Conference in November 2001.
It is implemented through periodic plans which promote
infrastructure linkages and cross-border trade and
investment. For the period 2003-2006, 40 investment and
technical assistance projects amounting to about
$10-15 billion are designated for priority implementation.1
Key to the strategy are three economic corridors–“northsouth,” “east-west” and “southern”—in which infrastructure development is linked directly with trade, investment,
and production opportunities (Map 3.2). The corridors
involve five transport routes crossing and linking the GMS
countries in various combinations. They are the focus
of major transport system projects and both subregional
and bilateral agreements on trade, power interconnection and generation, tourism, and telecommunications.
All are associated with a wave of targeted investment.
Total transformation of the economies and the environment of the GMS is underway.
Much of this development is proceeding without
adequate environmental assessment and mitigation.
Once again anecdotes from local areas provide an
insight into the full extent of this wave of investment. The
development of the three GMS economic corridors is
facilitated through the establishment of distribution
centers which link the network of existing roads to each
corridor. The centers include provision of warehousing,
vehicle servicing, and a range of secondary enterprises.
Often they are in remote areas of remaining forests
populated by poor minority groups. They have far reaching
social and environment effects. For example, a new
distribution center connecting to the North South Economic
1
The content of the development matrix is included in ADB’s
Regional Cooperation Strategy and Program 2004-2008: The GMS –
Beyond Borders (RCSP).
10
.
Map 3.2: The GMS economic corridors
was recognized by the GMS Governments. Since its
creation in 1995, the GMS Working Group on Environment
(WGE) had played a useful role in sharing information,
reviewing the technical assistance program of the Asian
Development Bank (ADB), and providing policy guidance.
But it remained the least influential of the network of
working groups set up to oversee the GMS development
program. It had no permanent secretariat and no program
of its own.
A 2004 options paper prepared for the WGE
proposed the evolution of the WGE to a more proactive
and influential body and the adoption of a GMS Core
Environment Program as its main operational mechanism
(GMS WGE 2004). The logic was spelt out like this:
Corridor in Phitsanoulouk, Thailand, now attracts a flow
of 700 trucks each day. There are plans for the corridor
to link with Malaysia and Singapore which will multiply
the traffic load at the center several times. The warehousing and service facilities will attract many
migrants seeking to work leading to further expansion
and multiplier impacts.
This is one of many examples which are now
coming to light of the unplanned side effects of
“connectivity” as massive investment flows continue to
build momentum.
3.4
The need for a permanent GMS environment
organization
It is against this backdrop of mounting pressure
on natural capital that the urgent need for a permanent
environment body and regional environment program
• The planned economic transformation of the
GMS has significant environmental implications.
• The GMS governments and their development
partners must consider a more proactive
approach to ensure ecologically sustainable
development of the region.
• The environmental projects outlined in the
GMS development matrix, while important, are
unlikely to be sufficient.
• Continued development of national environmental capacities is important, but also unlikely
to be sufficient.
• As the GMS now enters its second decade of
development a great opportunity exists for the
WGE to progressively evolve by taking on a
more proactive role in shifting the GMS
development to a sustainable path.
• The WGE will need to change significantly to
meet this challenge.
• Postponement of this reform opportunity will
mean inevitable environmental damage, loss of
crucial ecosystem services, and threaten the
sustainable future of the region.
The paper proposes steps in WGE development
as an institution with increasing levels of capacity and
autonomy. The WGE will “gradually shift from a
program review forum to a proactive permanent body
responsible for shaping development of the subregion
from the earliest stages of planning, through implementation, monitoring and reporting on performance, and
ultimately take on a role in enforcement” under some
form of regional environmental agreement (GMS WGE
.
11
2004). As a first step, the establishment of an Environment
Operations Centre was proposed to act as the technical
secretariat to the WGE.
Establishment of the EOC to support the WGE
and the implementation of its Core Environment Program
were endorsed at subsequent meetings of the WGE and
then at a GMS Environment Ministers’ Meeting in Shanghai
(May 2005)2 and the 2nd GMS Summit of Leaders held in
Kunming (July 2005).3
3.5
GMS Core Environment Program – a response
to mounting environmental challenges
The Core Environment Program aims to conserve
the GMS as a natural system for the ecosystem products
and services it provides. It focuses on the most important
actions over the next 10 years to change the quality of
GMS economic development so that it is ecologically
sustainable.
The GMS CEP aims to:
secure critical ecosystems and environmental
quality in the GMS Economic Corridors and
that economic development in all sectors
proceeds in a sustainable manner;
(ii) conserve biodiversity within protected areas
and in corridors linking them;
(iii) integrate the environment into national and
subregional development planning and
adapt, adopt, and apply environmental
performance indicators to measure progress
in shifting development to a sustainable path;
(iv) establish a secretariat to provide full-time
support to the WGE in implementing the CEP
and build effective institutional arrangements
and policy frameworks for transboundary
environmental management and sustainable
natural resource use; and
(v) define and implement sustainable financing
strategies to conserve the natural systems
of the GMS.
(i)
2
Joint Ministerial Statement, Meeting of the GMS Environment
Ministers, 25 May 2005, Shanghai PRC, para 9: “...we endorse the
launching of the GMS Core Environment Program and the establishment
of the Environment Operations Center for its implementation by early
2006.”
3
Kunming Declaration July 2005.
12
.
The CEP operates at five levels of collaborative
action: (i) the region as a whole; (ii) the economic
corridors connecting two or more countries; (iii) the
national level; (iv) within individual investment sectors;
and (v) specific shared landscapes where natural
systems and biodiversity are of greatest importance to
GMS development.
In the economic corridors, the intention is to
identify critical natural systems and detail the specific
benefits these natural assets bring to local and regional
development. It will examine the cumulative effects of
proposed development plans on natural capital and help
implement safeguard plans to minimize the impact of
planned development on specific ecosystems. For each
of the economic sectors, the CEP will assess the impact
of plans and investments on natural and social systems
and build environmental codes of practice to maintain
ecosystem services and sector productivity.
The CEP’s biodiversity corridors work was identified as a flagship activity by GMS Governments in their
Kunming Declaration. Building on the existing network
of the protected areas in the GMS, the CEP aims to
restore ecological connectivity and integrity in a selected
set of important biodiversity landscapes.
3.6
The biodiversity conservation corridors initiative
Biodiversity corridors are areas of habitat that
provide functional linkages between protected areas to
(i) conserve habitat for species movement and for the
maintenance of viable populations, (ii) conserve and
restore ecosystem services, and (iii) enhance local
community welfare through the conservation and
sustainable use of natural resources. Biodiversity
corridors are similar to economic corridors in their objectives: both attempt to increase system connectivity,
economies of scale, integration, and efficiency.
Biodiversity corridors do so through rehabilitation,
conservation, and sustainable use and by internalizing
biodiversity products and services in the development
planning process.4
4
For more information see GMS Biodiversity Conservation and
Corridors Initiative Strategic Framework and Technical Assessment.
The purpose of the BCI is to establish sustainable
management regimes for restoring ecological connectivity and integrity in selected corridors. Those regimes
include the provision of natural resource goods and
services that contribute to improving livelihoods of
peoples living in and around the corridors.
The BCI pilot projects in each corridor will lead to:
• poverty alleviation through sustainable use of
natural resources and development of
livelihoods;
• definition of optimal land uses and harmonized
land management regimes;
• restoration and maintenance of ecosystem
connectivity;
• capacity building in local communities and
government staff; and
• sustainable financing mechanisms and
structures integrated with government planning
and budgeting procedures.
Pilot sites for demonstrating the corridor
approach: The GMS Governments then identified seven
pilot sites within six of the nine biodiversity landscapes
for implementation of site-level activities during the first
phase of the BCI (2006-2008) (Map 3.3). These are
smaller areas with high potential to demonstrate the value
of corridor management approaches that need to be
applied across all nine landscapes. Jack Tordoff
describes the attributes of the seven pilot sites in his
paper in this volume (paper 8).
Cambodia shares five of the nine priority biodiversity
landscapes. All are affected by GMS economic corridors
(East-West 2, South 1). Two pilot sites have been
selected to reconnect habitats through corridors in the
(i) Cardamom Mountains and (ii) Eastern Plains Dry
Forest (Map 3.4). For example, Map 3.5 shows the pilot
site in the Cardamom Mountains will include a network
of corridors to:
Map 3.3: GMS biodiversity landscapes and BCI pilot sites
The GMS biodiversity landscapes: As a first
step in the BCI, all the information on remaining species
and habitats in the GMS was combined and analyzed to
identify nine large biodiversity landscapes of greatest
importance for conservation (Map 3.3). Those landscapes cross international borders and intersect with the
GMS economic corridors. They are the areas which must
be kept as far as possible in their natural state for the
good of human development and wellbeing in the
region. The reservoir of natural capital held in those nine
landscapes must be maintained to avoid development
failure.
The nine landscapes of particularly high biodiversity
value in the GMS are the:
1.
2.
3.
4.
5.
6.
7.
8.
9.
Western Forest Complex
Tonle Sap Inundation Zone
Cardamom Mountains
Northern Plains Dry Forest
Eastern Plains Dry Forest
Tri-Border Forest
Central Annamites
Northern Annamites
Mekong Headwaters
.
13
• Reconnect northern with southern forests and
support livelihood alternatives;
• Promote rehabilitation and sustainable use of
coastal zone (mangroves);
• Buffer from population pressure from the east;
and
• Ensure strict law enforcement along road 48 to
prevent ribbon encroachment.
Viet Nam has large shares of three of the GMS
biodiversity landscapes. All are affected by GMS
economic corridors (East -West 1 and 2). The Ngoc LinhXe Sap Pilot Site has been selected to reconnect
habitats in the Central Annamites landscape. The Ho
Chi Minh Highway dissects the corridor area. In Yunnan
Province, the Xishuangbanna Pilot Site has been
selected to reconnect habitats in the Mekong Headwaters.
It is affected by the North-South 2 Economic Corridor.
Several major roads now cut across protected areas (e.g.,
Lao PDR has major shares of three GMS biodiversity
landscapes. One is affected by the East-West 1 Economic
Corridor. The Xe Pian-Dong Hua Sao-Dong Ampham
Pilot Site was selected to relink habitats in the Tri-Border
Forests of the Central Annamites. The corridor areas
are dissected by roads which are now being upgraded
(18A, 18B, 1J, 16).
Thailand shares one GMS biodiversity landscape
with Myanmar (the Western Forest Complex landscape).
While relatively isolated from infrastructure development,
the region is part of several GMS economic corridors
(overlaps with North-South 1 and East- West 1, proximity
to East-West 2 and South 1). The Tenasserim Pilot Site
Map 3.5: Proposed corridors at the Cardamom Mountains
Pilot Site, Cambodia
Map 3.4: BCI pilot sites in Cambodia
14
G21353 through Mengyang and Mengla). Map 3.6 shows
the proposed corridors at that site are intended to link
existing and proposed protected areas.
.
Map 3.6: Proposed corridors connecting protected areas at
the Xishuangbanna Pilot Site
Map 3.7: Proposed corridors in the Tenasserim Pilot Site –
Thailand and Myanmar
has been selected to reconnect habitats in the Western
Forest Complex landscape. The proposed corridors are
framed by two major complexes of protected areas in
western Thailand—the Western Forest Complex and the
Khang Kha Chan Forest Complex in addition to the
relatively closed areas controlled by the Royal Thai Army
and a Royal Project (Map 3.7). Because of proximity to
border and mountainous terrain the proposed 10-15 km
corridor has a limited number of access roads.
investment in alternative livelihoods and enhancing
conservation of natural systems by local people. Many
of the most important biodiversity areas are on international borders and require transboundary management
responses.
The seven pilot sites share a number of common
attributes. Population and development pressures go
up to and within existing protected areas but there are
also significant biodiversity values remaining outside the
protected area networks that are fast being depleted.
There is a high correlation between poverty incidence
and remaining biodiversity wealth and significant
potential for poverty reduction through strategic
3.7
The BCI symposium
To implement the BCI pilots, coalitions were
formed between government environment and natural
resource agencies and international conservation organizations working in each country and at the sites. The
BCI symposium held in April 2006 in Bangkok was
intended to bring this immediate BCI family together with
other organizations and specialists from within and outside the GMS. It was the first of planned regular meetings
to take stock, discuss critical issues, and chart the
future. The specific objectives of the 2006 Symposium
were to:
.
15
• Share experience gained and lessons learned
by implementers and practitioners of biodiversity
corridors outside the GMS with implementers of
the CEP
• Review pilot site proposals of the GMS BCI in
light of those lessons and experiences
• Make adjustments to the implementation framework for the GMS BCI based on recommendations
of the symposium, and
• Identify a potential long term monitoring outlook
for the GMS BCI.5
The remaining sections provide an overview of the
papers presented at the symposium and some of the
key issues which arose in discussion.
3.8
Overview of BCI symposium papers
The symposium had four linked parts which
reflect the critical issues facing effective BCI implementation and biodiversity conservation in the GMS overall:
(i) biodiversity corridors, (ii) livelihoods, (iii) climate change
and (iv) sustainable financing. The presentations,
papers, and working groups were divided into these parts.
3.8.1 Biodiversity corridors
Jack Tordoff outlines the key biological attributes
of each GMS country and looks at the status of species,
habitats and ecosystems (paper 8). He paints a pretty
grim and urgent picture. Many of fish species characteristic
of the five shared rivers are migratory and require the
maintenance of intact, large-scale aquatic systems. Most
remaining natural habitats have been heavily fragmented
and typically persist as isolated patches. In other areas,
such as in the Tenasserim Mountains along the border
between Myanmar and Thailand and on the plains of
northern and eastern Cambodia, large, continuous landscapes of natural habitat remain. But many species are
reduced to one or a few sites, with populations numbering
in the hundreds or less, and can be considered to be
on the verge of extinction. Jack’s paper describes the
biodiversity corridors and sets out options for monitoring
biodiversity in each of the seven pilot BCI sites.
5
The last objective was picked up in greater detail in a second workshop organized by the EOC on Biodiversity and Socioeconomic
Assessments – Harmonization of Approaches in the GMS, 4 – 6
October 2006, Siam City Hotel, Bangkok, Thailand.
16
.
Zhu Hua shows how market forces on just two
products are leading to serious biodiversity losses in
Xishuangbanna (paper 9). There, clearing for rubber
plantations and under-planting with Amomum—commercial
plant of ginger family—by local people has lead to
decreases in tropical rainforest biodiversity. The high
price of rubber is driving the expansion of plantations.
The ginger poses a serious, but largely unrecognized,
threat to natural regeneration of forests, because
gathering of Amomum fruit requires complete clearing
of young trees, saplings, seedlings, and shrubs. Zhu
identifies the challenges to limiting further expansion, to
promoting multi-species agro forestry, and the urgent
need for a biodiversity conservation corridor to stabilize
the situation.
Poulsen A.F., Ouch Poeu and their team review
how fisheries in the Mekong River play a critical role in
food security for the poorer communities (paper 12).
Many commercially important species migrate between
flood plains, dry season refuges and spawning areas and
it is necessary therefore to maintain connectivity between
these areas. Regional cooperation is required to manage
the river basin as an ecological unit. In developing
economic activities which may impact on the river,
planning and management authorities must consider the
potential impact on fisheries and related livelihoods of
the people who live in the Mekong Basin.
The wildlife trade is also a threat to biodiversity in
the GMS—It is driven by consumer demand, high
profits, low risk of being caught, low deterrents, and
increasing ease of access to remote resources. Chris
Shepherd and others (paper 14) call for regional cooperation in development of regulations and capacity to
enforce them, the development of effective deterrents
and cooperation and awareness building between
agencies as well as educating and empowering poorer
communities to develop sustainable livelihoods.
Chen Jin and David Wescott introduce the Great
Green Triangle Project which pilots an integrated
approach to regional planning and biodiversity conservation in the PRC/Lao PDR/Viet Nam border area
(paper 10). The Phongsaly region of northern Lao PDR
has high biodiversity values and connects major reserve
areas in the PRC, Viet Nam and elsewhere in Lao PDR.
The project is demonstrating management that: (i) uses
the whole landscape, including areas whose primary
land-use is production or extraction, for conservation
purposes; (ii) recognizes and incorporates both the
productive or extractive values of biodiversity and its
services and intrinsic values; and (iii) incorporates
people, their livelihoods and their aspirations along with
biodiversity conservation goals.
In his keynote paper (paper 4), Markku Kanninen
also advocates “a whole landscape management
process” rather than management for individual goods
or services.
Marc Goichot reports on the striking contrasts in
land-management practices and their associated impacts
on freshwater conservation along the Salween, Yangtze,
and Mekong Rivers in the PRC. Within the headwaters
of the Yangtze, large areas have now been restored
through a seven-year, large-scale program (covering
267,000 km2 and costing $600 million) implemented by
The Yangtze River Water Conservancy Committee. The
Salween is one of the last large free-flowing rivers in the
world, although it is subject to a plan to develop largescale hydropower generation. The Mekong is rapidly
losing natural condition through unsustainable use and
development. Mid-slope areas around human settlements are becoming extremely fragile and susceptible
to landslides. Marc stresses the need for emphasis on
the role of the upper reaches of these large river
systems in maintaining the biological integrity of the
entire basin.
3.8.2 Livelihoods
WildAid Cambodia has concluded that the only
option for conservation of critical natural systems is to
wean poor communities off their dependency on direct
exploitation of biodiversity (Suwanna Gauntlett, paper
17). Increasing human populations in Koh Kong Province
is leading to forest destruction and loss of wildlife. WildAid
is testing an agricultural model with poor local communities
to allow farmers to relocate to nearby land provided by
the government and to become financially self-reliant
without clearing forests, hunting, and carrying out other
illegal activities in forest concessions and protected
areas. Initial results are very encouraging and by 2008,
close to 400 families will participate in the scheme.
Emmanuel D’Silva agrees that empowering
communities to develop sustainable technologies holds
the key to the maintenance of natural systems in many
areas (paper 18). He describes work carried out in
Adilabad district, India and in Niger, West Africa to
implement biofuels-based strategies. There the approach
has helped to preserve forests by giving forest-dependent
communities opportunities for alternative employment
and improved living conditions. Raw oils from several
species have been used to produce electricity, pump up
groundwater, and run farm equipment.
Andrew Ingles and others at IUCN present
evidence from a pilot village in Northern Lao PDR of
significant and sustained improvements in rural livelihoods arising from the management and marketing of
non-timber forest products (NTFPs) and forest conservation measures (paper 21). Many households have
achieved food security, increased annual cash incomes,
and improved health. He calls on the CEP-BCI to learn
from this positive experience and support the further
scaling-up of the approaches in the Lao PDR pilot.
Ewald Rametsteiner reviews the lessons from
local level development projects and distills a number of
key trends toward integrated landscape approaches,
higher importance placed on tailoring methods to local
contexts, and an emphasis on building access to
markets (paper 20). At the policy level, rules and
regulations that protect property rights, enforce contracts,
enable market-based competition, set appropriate
incentives, and provide access to credit have had most
impact. In successful projects, target groups have a
sense of “ownership” of ideas and of initiatives. Ewald
points out that local people are quite skeptical of new
concepts being imposed on them and their way of life.
Stephen Bass and Paul Steele advocate what they
call “green growth” which is pro-poor through more
effective environmental management (paper 5). They
identify four main environmental problems that undermine growth and poverty reduction: (i) decline in quantity
or quality of natural resources, (ii) degradation of
fundamental ecosystem processes, (iii) increased
climate-related environmental hazards such as floods
and droughts, and (iv) water and air pollution. Those
problems are increasingly felt in transboundary situations
where cross-border trade may cause over-exploitation
.
17
of timber or wildlife and growing demands of growth
centers for resources such as timber, metals and energy
increase environmental pressure throughout the region.
They propose three strategies—institutional changes to
improve poor people’s access and rights to natural
resources, increased private and public investment in
the environment, and international partnerships in
environmental health, sustainable sector development,
and in greening financial markets and private sector.
Natural resource versus non natural resource
dependent incomes as a way out of poverty was a key
theme emerging in livelihoods working session as
recorded by Paul Steele. Depending on the context, there
may be opportunities to support poor people in generating
larger incomes from natural resources (e.g., non timber
forest products) or to assist them to move to less natural
resource dependent incomes (e.g., commercial farming).
The former may be applicable where population
pressure is relatively low, the natural resource relatively
abundant, and market opportunities relatively
unexploited. The latter may be more appropriate where
population pressure is high, the natural resource scarce,
and the market opportunities limited.
3.8.3 Climate change
Human induced climate change is a serious
development issue in the GMS—perhaps more than any
other as entire natural systems shift and change and
local and national economies are disrupted.
Frank Murray argues that climate change will soon
be the major cause of biodiversity and agricultural losses
in the GMS (paper 6) with emissions from the PRC
continuing to dominate the region. He cites the International Panel on Climate Change mid-range climate
scenarios for 2050 including (i) a general reduction in
crop yields, (ii) decreased water availability in waterscarce regions of sub-tropics, (iii) a widespread increase
in the risk of flooding, and (iv) increased exposure to
vector-borne and water-borne diseases. Frank points
out that climate change intensifies the need for
biodiversity corridors. It will change the natural limits of
species and ecosystems, leading them to alter distribution, where possible. In most cases, ecosystem fragmentation will impede the movement of these plant and
animal species. Species with limited climate range or
18
.
restricted habitat are least able to adapt and most
vulnerable to extinction. These special influences of
climate change challenge assumptions about fencing
off areas with high levels of biodiversity as the most
effective way to conserve threatened plant and animal
species.
Cornie Huizenga and May Ajero detail the close
linkages between air pollution and climate change in Asia
(paper 22). Rather surprisingly, in the decade from 1993,
in many cities there were decreases in pollution levels
for sulfur dioxide (SO2), total suspended particulate
matter (SPM), and fine particulates (PM10). Yet, NO2
levels are gradually increasing and exceed World Health
Organization (WHO) standards. Ozone is an emerging
pollutant of concern for Asia. Environmental impacts of
urban air pollution extend well beyond the cities where
air pollution originates. Ozone, which is a secondary
pollutant formed from NOx and HC in warm weather
conditions, can usually be found in high concentrations
50 to 70 kilometers downwind from the cities.
Nguyen Thi Kim Oanh and colleagues conducted
a study on the impact of ground ozone on production of
rice and peanut crops (paper 23). They found that ozone
causes dramatic reductions in productivity. They predict
that high levels of ozone from urban and industrial centers
in Southeast Asia will adversely affect agricultural crops
in the region. Surface ozone is a regional air pollutant
growing in concentration. Frank Murray cites other studies
that found an increase of 23% in ozone concentration
from an ambient level reduces soybean yield by 20%.
This concentration is expected to be reached by 2020 in
parts of the GMS region. By 2020, increasing ozone
concentrations are expected to cause yield losses of
2-16% for wheat, rice, and corn, and 28-35% for soybean.
Ozone is known to have severe impacts on biodiversity.
Hans Guttman and others describe a modeling
study of the impact of climate change on the Mekong
River (paper 24). It predicts that the timing and distribution of precipitation will lead to longer dry and shorter,
more intense wet seasons all of which will impact on
agriculture, flooding, and fisheries.
Satya Priya presents a more detailed modeling
study on the impact of climate change on water
resources and agriculture in the Pennar basin, Andhra
Pradesh State in India (paper 25). He advocates applying
similar methods to the GMS where most people are also
highly dependent on climate-sensitive sectors, such as
rain-fed agriculture, forestry and fisheries, which are
already vulnerable to current climatic variability, particularly floods and droughts. The study estimated an
increase in runoff of the order of 10-15% with more
extremes. Under certain climate change scenarios, all
monsoon crops show decreased yields.
Frank Murray and others in this working session
called for national and regional development planning to
incorporate climate change adaptation strategies. Poor
communities should be helped to develop their own
priorities to reduce climate change vulnerability through
ecosystem management and restoration activities that
sustain and diversify local livelihoods. A regional assessment of impacts of climate change and regional air
pollution on biodiversity and agriculture is needed
(paper 6).
3.8.4 Sustainable financing
Recognition by governments, the private sector,
and resource managers that ecosystem services have
economic value is the basis for sustainable financing.
Zuo Ting (paper 27) and Kadi Warner (paper 28)
describe experiences and options for payments for
environmental services (PES). In the PRC, PES programs
are being used to improve watershed services by rewarding
watershed service providers with tangible economic
incentives to protect the watershed. Kadi emphasizes
the challenge of developing PES programs aimed at
environmental protection and poverty alleviation by
reducing the need for unsustainable natural resource
uses.
Mark Kasman describes how New York City (NYC)
saves millions of dollars by compensating upstream
communities to protect the ecosystem services they
provide, in this case the natural water filtration of the
Catskill/Delaware watershed (paper 7). This was
achieved through negotiations between all interested
parties to broker an agreement which catered for NYC’s
need to protect its water supply and the upstream
community’s need for economic sustainability and selfdetermination. Without this agreement, the NYC would
have had to pay billions of dollars to build a water
filtration system. This experience shows that regular
monitoring, incentives, and penalties are needed to keep
all parties engaged in delivering program objectives.
Once a working regulatory framework is in place, money
can be invested in natural ecosystem services.
Paul Rogers discusses nature-based tourism and
ecotourism and the potential to strengthen them by linking
to protected areas, an approach being piloted in Lao PDR
(paper 26). This is achieved by channeling money from
ecotourism activities into conservation and by developing
ecotourism activities in and around protected areas.
There is a need for regional dialogue and cooperation
on policies and programs promoting forms of ecotourism
that provide clear and measurable benefits to biodiversity
conservation.
3.9
Monitoring of biodiversity at the pilot sites
A number of the papers addressed the need for a
monitoring framework for tracking biodiversity in the
region, and especially for the BCI sites. Jack Tordoff
sets out a framework for monitoring changes in the
status of biodiversity at each BCI pilot site through (i)
satellite images and (ii) ground survey of indicator species.
Each (except Yunnan) includes a gibbon and an important
bird species along with a number of others such as the
Asian Elephant.
The livelihoods working group stressed the need
for clear indicators for both poverty reduction and
biodiversity improvement as livelihood interventions
cannot be assumed to have positive impacts on either
(recorded by Paul Steele). The group concluded that
indicators are vital to measure progress toward poverty
reduction and biodiversity improvement and that these
have not been given enough attention in past interventions by many agencies. Too often it has been assumed
that positive impacts will result, but this has not always
happened. Possible indicators include:
• Poverty and livelihoods
- Food security
- Incomes
- Business development
• Biodiversity
- Ecosystem connectivity
- Species richness
- Forest Area
.
19
• Governance and Policy
- Infrastructural linkages
- Migration
- Land Allocation
- Regulatory Implementation
- Incentives
posium for indicators to be affordable, measurable, and
universally applicable. Most important from the Dutch
perspective is that indicators should be focused on the
key policy questions.
3.10 Conclusion
The group also highlighted the need for discussions beforehand to agree on response mechanisms if
the indicators suggest that progress is off track or interventions are having negative impacts on either poverty
or biodiversity.
Jim Lassoie describes the use of repeat historical
photography by The Nature Conservancy (TNC) in northwestern Yunnan to understand rates and patterns of
ecosystem change under varying land-uses, to set
realistic goals for conservation programs, and to establish
reliable methods for measuring conservation successes
(paper 16). The monitoring work is part of the Yunnan
Great Rivers Project. It uses high quality photography
techniques and the efficient management of the resulting
images and metadata, an analytical framework for
identifying and measuring visual indicators of change that
are tied to a comprehensive conservation planning
scheme, and a sampling methodology that accounts
for the variation inherent in the ecoregions under
consideration.
Christoph Feldkötter sets out an initial impact
monitoring framework for watershed management in
the Lower Mekong Basin (paper 29). It reflects the need
to maintain the watershed’s ecological, social, and
economic functions. One imperative he identifies is to
use appropriate monitoring methods which are well
established, cost efficient, and sufficiently simple to be
used by local administrations and communities.
Ben ten Brink, Tonnie Tekelenburg, and their
colleagues at the Netherlands Environmental Assessment
Agency have applied a wide range of approaches to
biodiversity monitoring in Latin America, Africa, and Asia
including indicators, models, and an assessment framework to analyze and assess biodiversity change in the
past, present, and future as a result of human activities
(paper 13). They have developed tools to support policy
makers in exploring and assessing policy options. They
reinforce the call from Christoph and others at the sym-
20
.
The effect of economic development in the GMS
is measurable in terms of climate change impacts, in
habitat fragmentation, species loss and loss of environmental services. It is also measurable in terms of social
disintegration in some of the poorest communities.
Economic corridors are opening up remote areas leading
to unplanned losses in natural resources and in the
capacity of natural systems to renew.
Economic and social progress depends on base
ecosystem services (for example oxygen production and
carbon dioxide absorption by plants) and on the health
and quality of natural systems. Development also
implies an improvement in the quality of human life
through education, equity, community participation,
recreation and a sense of well being. Three principles
which drive ecologically sustainable development are
intergenerational equity, the precautionary approach and
biodiversity conservation. Together these approaches
aim to prevent and reverse adverse impacts of economic
and social activities on ecosystems, while continuing to
allow the sustainable, equitable development of societies
(Australian NSESD 1992). Those principles need to drive
development in the GMS.
It is vital for the BCI and the CEP as a whole to
link with the strategic investment framework of the GMS.
The BCI should not lose sight of the broader GMS
investment framework and planning process which has
such fundamental influence on natural resource-livelihood links and on environmental quality. This requires
clarity on how the BCI pilots link up with GMS sectoral
priorities and investments. In particular, it is important to
keep in mind the programmatic context for the BCI. It is
part of the GMS Core Environment Program. Each
component of the program is inextricably linked to the
others—they need to move forward together in a closely
integrated manner. Alone the BCI cannot succeed.
Finally, the BCI needs to embrace and promote the
concerns of ethnic minorities and indigenous people, who
are often the majority in the pilot sites.
References
Australian Government, 1992, National Strategy for
Ecologically Sustainable Development. Department of Environment and Environment, http://www.deh.gov.au/esd/national/
nsesd/index.html
Coates D., Ouch Poeu, Ubolratana Suntornratana,
N Thanh Tung & Sinthavong Viravong. 2003. Biodiversity and
fisheries in the Lower Mekong Basin. Mekong
Development Series No. 2. Mekong River Commission, Phnom
Penh, 30 pages
ESCAP. 2000. State of the Environment in Asia and the
Pacific. United Nations, Bangkok, Thailand.
FAO. 2001. State of the Worlds forests. FAO, Rome.
GMS Working Group on Environment, August 2004,
Evolution of GMS Working Group On Environment - Options
Paper, WGE, ADB
ICEM. 2003a. The economic benefits of protected
areas: field studies in Cambodia, Lao PDR, Thailand and Vietnam. Review of protected areas and development in the Lower
Mekong River region. Indooroopilly, Australia.
ICEM. 2003b. Lessons learned in Cambodia, Lao PDR,
Thailand and Vietnam. Review of protected areas and
development in the Lower Mekong River region. Indooroopilly,
Australia.
McKenny, B. and P. Tola. 2003. Natural Resources and Rural
Livelihoods in Cambodia – a baseline assessment. Working
Paper 23, Cambodia Development Resources Institute, Phnom
Penh
MRC. 2003. State of the Basin Report: 2003. Mekong River
Commission, Phnom Penh
.
21
22
.
Welcome Remarks
PLENARY SESSION
.
23
24
.
(i)
4. Landscape Mosaics: Integrating Forest
Management and Environmental Services in
Tropical Landscapes
Markku Kanninen
To keep forest ecosystems resilient in the face of
social and economic pressures and changing climates,
one must understand how ecological and social systems
interact to generate particular land use patterns. Often
there will be trade-offs between what is globally optimal
and what is locally desirable. For instance, the need to
conserve large areas in “hot spot” regions may not be
compatible with the livelihood needs of local people
living in those regions.
In fragmented landscape mosaics, forests and
natural habitats can be maintained only if they are
managed in an integrated manner to generate benefits
for local people and to generate income through a
combination of products and ecosystem services. In this
respect, there are several issues that forest managers
and land-use planners have to take into account. These
include:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
local perceptions of the importance of forests,
their products and services,
the role of forests in managing livelihoods and
environmental risks,
existing local mechanisms for forest and
ecosystem management,
how to integrate environmental services into
forest and ecosystem management at
multiple scales,
how to efficiently monitor the services
produced,
mechanisms for rewarding the production of
environmental services,
the role of markets, and
how to develop and manage multi-functions
of forests for goods and services that are
valued locally and by the wider community.
In considering these factors, the whole “landscape
management process” needs to be followed, rather than
focusing on the production of individual goods or services.
This “landscape management process” can be defined
as a cycle consisting of various steps:
visioning and assessment - learning processes
geared towards defining management goals,
(ii) planning - using existing planning mechanisms
if available,
(iii) incentive assessment - adapting the planning
tools and incentive system,
(iv) implementation of plans - adaptive ecosystem
management, facilitation of learning processes,
and
(v) monitoring - monitoring the progress.
When applying the “landscape management
process” in practice, we have several methods and tools
either already available or that can be easily modified
for the purpose. The methods include adaptive
management of forests, multidisciplinary landscape
assessment, participatory land-use mapping, and tools
for developing future management scenarios. In other
cases—e.g., with monitoring of the environmental services
or assessment of vulnerability and risks—research is
underway to develop these methods.
In the future, we have to able to identify those
actions that can lead to “negotiated, simple and adaptive”
landscape management corresponding to local
stakeholders’ vision. Approaches of the kind summarized
here can promote and facilitate those outcomes.
References
CIFOR. (2004). Managing landscape mosaics for sustainable
livelihoods8 p. www.cifor.cgiar.org/publications/pdf_files/
research/livelihood/managing.pdf
G. Shepherd. (2004). The ecosystem approach. Five steps to
implementation. Ecosystem management series No. 3. IUCN
Jean-Laurent Pfund and Thomas Stadtmüller. (2005). Forest
Landscape Restoration (FLR), InfoResources Focus, No 2/05
S. Maginnis and W. Jackson. (2005). Restoring forest
landscapes: Forest landscape restoration aims to re-establish
ecological integrity and human well-being in the degraded
forest landscapes 6 p., IUCN www.iucn.org/themes/fcp/
publications/files/restoring_forest_landscapes.pdf
Sheil, D. , R. K. Puri, I. Basuki, M. van Heist, Syaefuddin,
Rukmiyati, M.A. Agung Sardjono, I. Samsoedin, K. Sidiyasa,
Chrisandini, E. Permana, E. Mangopo Angi, F. Gatzweiler, B.
Johnson & A. Wijaya. (2002). Exploring biological diversity,
environment and local people’s perspectives in forest landscapes. Methods for a multidisciplinary landscape assessment.
CIFOR, Bogor, Indonesia
.
Landscape Mosaics: Integrating Forest Management and Environmental Services in Tropical Landscapes
25
(iv)
(v)
(vi)
(vii)
sustainable fishing,
transboundary rivers management,
disaster preparedness,
greening Asia’s financial markets and private
sector, and
(viii) pro-poor conservation.
5. Managing the Environment for Development
and to Sustain Pro-Poor Growth1
Stephen Bass and Paul Steele
Summary
5.1
Asia’s environmental resources have contributed
enormously to economic growth and poverty reduction.
A quarter of total national wealth in Asia is comprised of
environmental assets such as fertile soils, rivers, forests,
and mineral deposits. These natural assets are often
critical for the livelihoods of many poor people with few
other assets.
Resource-intensive development has been
achieved at significant environmental cost. Environmental issues such as deforestation, pressure on water
supplies, and pollution from industry and energy use pose
real limits to further economic growth. In many Asian
countries, the cost is equivalent to one third or more of
gross national savings. They also exacerbate Asia’s high
vulnerability to natural disasters. (Asia already suffers
90% of all climate-related disasters, and this is likely to
increase with climate change.)
The challenge for governments and policymakers
is to use natural wealth to generate growth and to
enable the poor to benefit from this growth, while at the
same time sustaining its capacity to produce these
benefits into the future. Such “green growth” can be
achieved through improvements in three key areas:
institutions, investment, and international partnerships.
Significant Asian scientific and institutional innovations have already shown what progress can be made.
This paper highlights the potential for further progress
through international partnerships that build on existing
initiatives in:
(i) environmental health,
(ii) energy and climate change,
(iii) sustainable forestry and eradicating illegal
logging,
1
Paper previously presented to ASIA 2015 Conference – Promoting
Growth, Ending Poverty, London. 6-7 March 2006.
26
.
The environmental challenge facing Asia
“Without fuelwood we can’t even boil water.” (Poor
woman in Murad Dhand, Pakistan)2
Asia’s rich environmental management traditions
sustained its people for centuries. Practical examples
include the rice terraces of Indonesia and the Philippines,
and common property management of Japanese
inland fisheries. Some of the greatest Asian thinkers—
Buddha, Confucius, and Gandhi—had a profound
appreciation of the dependence of people on the natural
world. Perhaps such traditions, in part, explain why the
Asian public is more concerned about current environmental impacts on health and well-being than people in
any other region (Environics International 2002). In the
early stages of Asia’s drive for economic development,
Asian environmental traditions were challenged by
economic development models which promoted the
exploitation of natural resources for export. Forests were
cleared, first for high-value hardwoods and then for tea,
coffee, and rubber. Mines were developed in previously
remote areas.
Environmental change accelerated with rapid
agricultural and industrial growth in the 20th century,
becoming more extreme in recent years. Asian agricultural production rose 62% from 1990 to 2002. Forests
were cleared rapidly, in part to make way for food
production—Indonesia alone lost 1.7m ha a year of
forests during the 1990s. Large areas were irrigated for
food production, with high amounts of water and
agrochemicals being applied. Asian industrial production rose 40% from 1995 to 2002, compared with 23%
globally. As in other regions that experienced industrial
revolutions, early industrial developments have involved
highly polluting industries. Further developments
2
Pakistan Participatory Poverty Assessment (2003), www.opml.co.uk/
docs/1_Pakistan_PPA_national_report.pdf
constantly generate new types of environmental
burden—e.g., the heavy metal hazards from “e-waste”
(computers, phones, televisions, etc.), one of the fastest
growing sources of waste (UNEP 2004; World Bank
2005a).
Asian urbanization, the fastest in the world, is
posing massive environmental challenges. Today, most
of the world’s mega-cities are in Asia, and so also are
the world’s biggest slums. By 2020, Asia’s urban
population is projected to double to 2.2 billion from a
little over 1 billion in 1990, and nearly half of Asia’s population will live in cities (United Nations Secretariat 2002/
3). Water supply, housing, wastewater treatment, solid
waste management, and transport infrastructure already
cannot keep pace. For example, municipalities will face
a more than ten-fold increase in solid waste burdens by
2025—with the People’s Republic of China (PRC),
Indonesia, and Philippines facing the largest increases).
Pollution may reach intolerable levels: already, eight of
the world’s 10 most polluted cities are in the PRC, where
3–6 million life-years are lost each year from pollution
(World Bank 2005a). Despite having the fourth largest
fresh water reserves in the world, the Ministry of Water
Resources states that more than 400 Chinese cities,
including the capital, face severe water shortages—and
people are being forced to migrate because of lack of
water (Ramirez 2005).
Such dynamics have brought about enormous
benefits through fuelling the Asian economies and
supporting Asian livelihoods. Many development
indicators have directly improved as a result—
notably GDP, exports, food security, nutritional status,
employment, and levels of poverty.
However, these changes are reaching
unprecedented levels, increasing the severity of four
major environmental problems, which may themselves
undermine growth and poverty reduction:
(i)
(ii)
Decline in quantity or quality of natural
resources, such as fisheries or soils, which
threatens many livelihoods and economic
activities, and thus growth.
Degradation of fundamental ecosystem
processes, e.g., natural cycling of water and
nutrients, and biological dynamics such as
pollination, which threatens all livelihoods and
most economic activity.
(iii) Increased climate-related environmental
hazards such as floods and droughts, which
impose major costs to life and property.
(iv) Water and air pollution, which damages both
health and infrastructure.
Environmental problems are increasingly felt at
the regional level. Transboundary resources are often
managed unsustainably, e.g., the diminishing fish stocks
of the South Pacific or Bay of Bengal; risks to clean air
from Indonesian forest fires or East Asian sand and dust
storms; and pollution in shared rivers (e.g., the Indus,
Mekong and recently, the Songha river where a toxic
benzene spill threatens Russia). Cross-border trade may
cause overexploitation of timber or wildlife (e.g., in Southeast Asia and East Asia). Growing demands by the
region’s growth centers for resources such as timber,
metals, and oil are putting other regions under increasing environmental pressure. Regional hazards are also
emerging, such as floods and droughts, and zoonotic
diseases such as Avian bird flu and SARS.
Asia has progressed also in some areas of
environmental management. Exposure to water
pollution and indoor air pollution has, in general,
fallen across the region as investment in clean
water and electricity has improved. Safe drinking water
now reaches a majority of the population in South Asia—
increasing more rapidly over the last decade than in any
other region. Many Asian countries have phased out or
banned the most dangerous pesticides. Energy efficiency
has improved rapidly, particularly in the PRC. Reuse of
waste products is increasingly handled at the regional
level, with waste reprocessing a rapidly growing industry
in the PRC. The increase in Asian land area officially
protected for biodiversity (up to 7.6% by 2003) is an overlooked environmental success story—even if there is
often much to be done to ensure local poor people
benefit. Yet most environmental trends remain negative,
and more poor people are suffering from them.
There are many promising political, social, and
economic processes in Asia that are driving pro-poor
environmental outcomes:
.
27
(i)
Poor people themselves have organized to
demand better access to natural resources
and improved environmental services, and
subsequently, to manage resources
sustainably and establish improved relations
with the authorities. Sometimes this has
been done in collaboration with government
as with the 89,000 forest protection committees
in India, and 13,000 forest user groups in
Nepal. Neighborhood groups in the slums
of South Asia have organized their own
sanitation schemes on massive scales, at
costs far lower than those provided
inefficiently by municipalities.
(ii) Asia’s private sector, as the engine of
growth, can play a vital role in responding to
environmental challenges, and is already
responding with real leadership and innovation. Japan’s auto industry has sought to lead
the world in low emission vehicles. Asian
companies are rapidly adopting environmental
management systems, aiming to meet
international standards; 40% of companies
with the global environmental standard
ISO-14001 are from over 100 countries in
Asia.
(iii) Asia’s vibrant civil society has mobilized
to press government to manage natural
resources wisely, with especially significant
impacts in India and the Philippines. In
many countries, faith groups are increasingly
involved in environmental debate. The
media in many countries are increasing their
coverage of environmental issues. And
judicial activism, notably in India, has been
driving better implementation of government
environmental policies through increasing
both supply and demand for environmental
justice.
(iv) Asian governments are increasingly promoting
better care of the environment: decentralizing
control over natural resources; entering
management agreements with resource
users; and promoting clean technologies
through fiscal instruments. The resource
intensity of consumption patterns is being
addressed, e.g., Japan’s “Basic Law for a
Recycling-Based Society” and its “Reduce,
28
.
Reuse and Recycle (3Rs) Initiative” began
the trend, and today the PRC Government
is exploring ways to develop a “Circular
Economy,” recently committing to generate
15% of the PRC’s power from renewable
sources by 2020 (up from 7% now).
th
The 5 Asian Ministerial Conference on Environment and Development has concluded that “long-term,
effective poverty reduction requires that the natural
environment be protected.” Held in Seoul in 2005, it called
for pro-poor “Green Growth,” requiring significant
governance, policy, and system changes, supported by
international partnerships. The current paper addresses
three questions that are central to achieving this bold
vision:
(i)
How can environmental assets continue to
contribute to pro-poor growth, especially in
low-income countries in Asia?
(ii) How might environmental degradation undermine Asia’s growth, and particularly affect
poor people?
(iii) How can pro-poor environmental improvements
be made, and how can Asia’s development
partners assist?
5.2
How can environmental assets continue to
support pro-poor growth, especially in lowincome countries in Asia?
“Water is for us what oil is to the Arabs.” (King
Wangchuck of Bhutan)3
Natural assets, such as fertile soils, rivers, forests,
fisheries and mineral deposits, account for a very
significant proportion of national wealth in Asia. Together,
they are worth almost as much as the value of manmade
assets such as infrastructure. The figure is typically
higher for lower income countries, i.e., 25% in South Asia,
compared with 21% in East Asia. Indeed, natural capital
is the main asset of many of Asia’s poorer countries (e.g.,
64% in Bhutan).
3
Over 40% of Bhutan’s government revenues come from hydropower
exports to India.
Table 5.1: Asia – percentage shares of wealth, 2000
Human and institutional capital
Produced capital
Natural capital
Of which: Subsoil
Land
Forests
(%)
54.6
22.8
22.6
21.1
73.1
5.8
Source: World Bank, 2006. Where is the Wealth of Nations? Washington:
The World Bank.
The historical trend of using natural resources for
growth is continuing. Lao PDR, Bhutan, and Nepal are
developing their water resources to generate hydropower
exports to their neighbors. While it remains controversial,
the Nam Theun 2 hydropower project in Lao PDR may
generate $2 billion in export revenue to Thailand over
25 years. Indonesia has used its oil and mineral wealth
to diversify its economy, while Timor Leste sees its rich
oil and gas resources as its main driver of growth.
Nature tourism is a growing sector in Sri Lanka, Nepal,
Kyrgyzstan, and Thailand. For example, tourism
provides 37% of income in Chiang Mai, Thailand where
forest trekking is popular (Thailand Environment Monitor
2004). The challenge is to use this natural wealth carefully, to (i) generate growth, and (ii) enable the poor to
benefit from this growth, while (iii) sustaining the resource
base and its continued capacity for pro-poor growth.
There are two main ways in which natural resources can
contribute to pro-poor growth:
(i)
(ii)
5.3
National economic growth – which creates
jobs and adds to total income and government
revenues, and can be used for pro-poor
purposes.
Development of small- and medium-scale
enterprises, through use of forests, fisheries,
and other natural resources owned and
managed by primary producers and processors
of natural resources.
How can natural resources drive pro-poor
national economic growth?
For natural resources to sustain pro-poor growth,
their extraction should not be subsidized, processing
should add real value, the poor must not be harmed by
the extraction, and profits must be taxed and used for
pro-poor spending. These objectives are not always
mutually compatible and there are some difficult choices
(DAC/ENVIRONET 2005):
(i)
Avoid subsidizing large-scale resource
extraction. Many countries lose money from
subsidized exploitation, e.g., by loss-making
state firms (e.g., Sri Lanka’s state timber
corporation), subsidies to government joint
ventures (e.g., the Pacific tuna processing
industry), large tax write-offs (e.g., Indonesia’s
timber industry), permitting excessive logging
(e.g., Cambodia) or land conversion (shrimp
farming – Bangladesh, Viet Nam). This leads
to “boom and bust”: natural capital is assetstripped, and low resource prices encourage
excessive, inefficient processing, which
eventually destroys the viability of the
industry. The key is to reduce incentives for
overexploitation, notably by dismantling
subsidies that harm the poor and the
environment.
(ii) Increase the value added by a competitive
resource industry. With declining terms
of trade for primary commodities, successful
businesses have invested in technologies
that enable increasingly sophisticated
processing. Asian timber producers, for
instance, once exported sawn- or roundwood, but now export furniture and moldings.
There is broad consensus that the aggregate
worth to the economy of further processing
is maximized by promoting competitive
industry, i.e., without perverse subsidies
such as artificially low log prices and log/
rattan export bans. Access to technologies
and markets is key, as are capacities to
help set and meet appropriate international
standards.
(iii) Ensure that natural resource extraction
does not harm neighboring people but,
preferably, supports their development.
Many large-scale commercial mining,
timber, and hydropower investments can
come to dominate remote areas with often
poor and/or minority populations. They may
compete with subsistence harvesters, for
.
29
whom there is usually little legal recognition.
Harm can be avoided—and preferably
opportunities realized—by careful zoning,
local hiring and procurement policies,
management agreements, and earmarking
some of the profits for local level investments.
Several corporate-community forestry
partner-ships in India and Indonesia offer
good examples (Mayers and Vermeulen
2001).
(iv) Allocate natural resource revenue towards
pro-poor growth. While some governments
have failed to invest their natural resource
wealth in pro-poor growth, and thus fall
under the “resource curse,” others have
allocated natural resource revenues to
poverty-reducing investments. Some have
earmarked specific natural resource
revenues (notably mineral and forest
revenues) to the local administration or local
people, as in some mining concessions in
the Philippines.
5.4
How can natural resource-based small and
medium enterprises (SMEs) lift people out of
poverty?
Job creation is one of Asia’s biggest challenges,
and many new jobs will continue to be in the SME
sector. To lift themselves out of poverty, poor people will
wish to use their major assets, usually natural resources,
and aim to add as much value as possible. They may
need to group into associations, to help negotiate better
terms and improve the efficiency of environmental asset
management. Past attempts at forming producer cooperatives around subsidized inputs, such as in fisheries,
have often failed due to political interference and elite
capture with the inputs not reaching the poor. A more
successful approach is to provide an enabling business
environment through secure resource rights, support for
common property management, improved access to
markets and transport, streamlined regulations and
technical support. This is an area for further development:
since they tend to be dispersed, natural resource-based
SMEs are challenging to support, and difficult to regulate
for their environmental impact.
30
.
5.5
How can natural resource conservation
benefit poor people?
Loss of natural resources can impose high
economic and social costs. Thus, some Asian countries
have limited the extraction of key land and sea resources,
as well as introducing completely protected areas where
extraction is forbidden (such as national parks). These
often represent significant conservation developments.
But in some cases these have been introduced at high
social costs for poor people, who may suffer from
blanket harvesting restrictions, as in most national parks.
Protected areas can be managed in ways which ensure
that neighboring poor people still receive substantial
benefits, and are compensated for any loss of existing
natural resource use rights. Nature tourism is a fastgrowing industry with potential to provide revenues and
employment for poor residents, as well as to preserve
ecosystem services.
5.6
How might environmental degradation undermine growth and particularly affect poor
people?
“Rapid economic growth has exerted considerable
pressure on the environmental sustainability of the
region and ... could have an adverse effect on achieving
sustainable development.” (Economic and Social
Commission for Asia and the Pacific 2005)
Asia’s rapid growth is, in some cases, being
directly undermined by environmental degradation. In
Pakistan, 16% of the land is subject to salinization
resulting from excessive water application, with similar
scales of this problem occurring in the Central Asian
countries. The irrigation mismanagement in Pakistan
costs over US$200 million per year in reduced food yields
(DFID/EC/UNDP/World Bank 2002). In western India,
groundwater pumping has enabled agricultural intensification, but water tables quickly dropped from 10–15 m
below ground in the 1970s to 400-450 m by the 1990s.
In many areas, wells have been abandoned and entire
villages have become deserted (Roy and Shah 2002).
Shrimp farming has declined in some countries, due
primarily to pollution and weak environmental controls;
resulting disease caused Asia’s shrimp industry losses
of over US$1 billion in the 1990s. Marine overfishing
has also undermined economic returns. In the Gulf of
Thailand, average hourly catch has fallen almost 10 times
from 250 kg/h in 1961 to 18 kg/h. The Republic of Korea
saw over 70 anti-pollution protests in the 1990s (Far
Eastern Economic Review 1990). The PRC has faced
rural unrest because of increasing pollution.
60% of environmental services (particularly freshwater,
air and water purification, climate regulation, and pest
regulation) have been degraded (Millennium Ecosystem
Assessment 2005).
Investing Asia’s drawdown of natural capital in
other sectors of the economy can avoid “boom and bust.”
This is particularly the case of minerals and other nonrenewable resources which, by definition, are declining
with extraction. It is clear that, if natural capital is simply
liquidated as consumption, then it will not lead to
sustained improvements to the economy. If, however,
profits from natural capital extraction are invested in
physical capital (e.g., infrastructure) and human capital
(e.g., education) to drive further growth, they might make
a sustained contribution to improved welfare. Where
there is a windfall natural resource gain, such as a rapid
oil price rise, this can be set aside in a special saving
account. This in itself can be beneficial environmentally
if future investments in physical and human capital lead
to more efficient resource utilization, thus reducing
further pressure on the resource base. Timing is crucial
in shifting from pure resource extraction to resource
management and diversified income sources, before it
is too late and the resource collapses. In many cases,
the switch has not been made in time, such as gold
mining in Kyrgyzstan, oil and gas in Indonesia, and some
Asian timber enterprises and fishing fleets.
Most poor people in Asia, particularly women, are
dependent on natural resources for their livelihoods, but
suffer from inadequate access and declining resource
quality. Most of Asia’s rural poor depend on agriculture,
for which access to fertile soil and predictable water
supplies is essential. Yet 28% of Asia’s land is already
degraded and water tables are declining (FAO 2004).
World Bank studies in the PRC, Cambodia, Lao PDR,
and Viet Nam suggest that there is a strong overlap
between highly degradable land and where the poor live
(World Bank 2005b). People without access to
secure land are, perhaps paradoxically, even more
dependent on a wide range of natural resources, as they
cannot raise financial capital—and women are disproportionately dependent (Jodha 1990). In West Bengal,
three times as many women as men are involved in
gathering non-timber forest products, processing is done
entirely by women, and twice as many women as men
are involved in their marketing (Ford Foundation 1998).
Fisheries are the key resource for more poor people in
Asia than in any other region (Briones et al. 2004), notably
in Bangladesh, India, Indonesia, and along the great
Mekong River, and many farm households augment their
food supplies and incomes by fishing (UNEP 2002).
But there are limits to how much drawdown of
natural capital is economically desirable. Natural capital
in Asia is already declining dramatically in both quality
and quantity, while manmade and human capital
continue to grow. Fisheries are depleted, soils eroded
and made saline, aquifers dry up, and forests are
denuded. These impacts are significant enough to
reduce gross national savings by almost a third in the
PRC, Philippines and Cambodia, by almost a half in
Mongolia and Malaysia, and by nearly 90% in Indonesia
(World Bank 2005b). In addition, there are certain
ecosystem processes which are critical for their lifesupporting services, notably nutrient recycling, air and
water purification, pollination and other biological
mechanisms. Loss of this ‘”critical natural capital” is
irreversible and represents a significant threat to the
long-term welfare of the human race. Yet, globally, the
Millennium Ecosystem Assessment has identified that
Many poor people in Asia are exposed to environmental health risks and hazards, both the traditional risks
of dirty air and water, but also new risks from animaltransmitted (zoonotic) diseases such as bird flu. There
have been major environmental health improvements
over the last decades, with 80% of people in low-income
Asian countries now having access to improved water
sources. However, access to sanitation remains much
lower at 44%—partly explaining why water pollution
remains a significant problem: fecal coliforms in Asian
rivers are 50 times the WHO safe maximum (World Bank
2005b). In South Asia, the environmentally caused
disease burden is now greater than that from malnutrition
(20%, compared to 15%). Many women and children
suffer particularly from indoor air pollution (from dirty
cooking fuels used in confined spaces), causing up to a
million premature deaths each year across Asia. Young
children and poorly educated women in poor households
.
31
in Bangladesh suffer four times as much from indoor air
pollution as men in higher income households (Das Gupta
et al. 2004). Animal health and human health are
becoming increasingly linked in Asia, as people and livestock come into closer contact with wildlife when they
move into new areas and intensify agricultural production.
Wildlife acts as a “pool” from which pathogens can
emerge, as with avian bird flu and possibly SARS and
HIV AIDS.
Environmental changes have exacerbated Asia’s
high vulnerability to disasters, and this will increase with
climate change. Asia has always experienced wide
climatic variation. Buildings, livelihoods, and social
networks have adapted to cope with natural events.
Management of normal floods has been integral to
the fishing and farming livelihoods of poor people in
Bangladesh and Cambodia. However, these natural
events are now becoming more frequent and extreme,
leading to more lives lost, more property destroyed, and
more conflict. In the PRC, natural disasters are now the
main direct cause of people falling back into poverty.
The poor tend to suffer most, as they live in the most
vulnerable areas, e.g., many slum dwellers live on land
which is highly vulnerable to environmental hazards such
as landslides, pollution, and floods. Such vulnerabilities
are exacerbated by damage to protective environmental
assets, such as coral reefs, coastal mangrove forests,
and riverine wetlands, which increase exposure to floods,
as illustrated in some areas by the devastating tsunami.
Asia includes several larger countries like the PRC
and India that are increasingly significant emitters of
greenhouse gases. It is also the continent that will
experience some of the greatest adverse impacts of
climate change, which will affect millions of people in
almost all countries. Asia already faces 90% of all
climate related disasters in the world, at a cost of half a
million lives each year. Many development assistance
investments have recently been shown to be vulnerable
to climate change (OECD 2004). A further 2O rise in
temperature is expected to cut farmers’ incomes by 25%
(DFID 2004). There is an urgent need to balance
energy provision with less pollution, and with investment
in adapting land use, infrastructure and other systems to
climate change (especially in the vulnerable agricultural
drylands of India and the PRC, and the fragile coastal
zones in Bangladesh and the South Pacific).
32
.
As Asian countries grow and trade increases, the
world economy’s environmental impact (“footprint”)
becomes heavier, with impacts felt well beyond the main
centers of growth. For example, the PRC is now
responsible for half of global cement consumption, a third
of coal and steel use, and is the biggest importer of
timber. This boosts the revenues of resource producing
countries in the region and beyond, but also increases
the rate of resource depletion and carries significant
environmental risk such as increased pollution, land
degradation, and climate change.4 A similar picture can
be painted for large urban centers which obtain many of
their supplies from far away, at significant environmental
costs on the remote ecosystems on which their continued
growth depends. The next 10 years are likely to witness
significant increases in consumer demand in Asia—in
the PRC alone it is expected to rise to the equivalent of
four more Americas (ADB 2005). Added to the already
high, and increasing consumer demand in the West,
pressures on the world’s natural resource base are also
set to increase exponentially, unless rising commodity
price increasing consumer awareness of “footprints,” and
improved policies and market instruments start to
dismantle predominant high-input/low-efficiency/highwaste production processes.
5.7
How can pro-poor environmental improvements
be made, and how can Asia’s development
partners help?
“The global market for environmental goods and
services is over $600 billion in 2005. Asia-Pacific
accounted for $37 billion of this total, but its growth is the
fastest in the world, with the market expected to triple by
2015.” (ADB 2005)
There is growing agreement that pro-poor
environmental change is urgently needed, and moreover,
emerging consensus about how to achieve it. The analysis
above points to three key areas for improvement:
(i) Institutions and governance
(ii) Investment
(iii) International partnerships
4
The energy used by the PRC’s economy makes it the second biggest
emitter of greenhouse gases. It is likely that, as the world economy’s
preferred location for heavy industries continues to shift to Asia, the
focus of emissions will move with it.
Institutional and governance changes are key to
addressing natural resource management and pollution.
Pollution is, in part, a governance issue, when there are
few private incentives to protect public assets. While
simple point-source pollution problems can be tackled
by technological solutions, not all environmental problems
can be dismissed by assuming that technical fixes will
become available. On the one hand, investments are
needed in Asian science, technology, and innovation
systems to generate effective technology. On the other
hand, the underlying causes of many broader-scale
environmental problems arise primarily from the
political, economic, and social systems that drive existing
production and consumption patterns. For example,
many natural assets—fisheries, minerals, forests, and
aquifers—are both finite and of key importance, but they
are effectively “unowned,” unvalued, and/or unmarketed.
Valuable natural resources are too easily seized by élites
and contribute little to the national economy. Institutional
change is thus at least as important as technological
change (WRI 2005). Institutional change, to enable
environmental management for pro-poor growth, has
begun but may need scaling up. Progress has often
been the result of changes in who controls the allocation
and use of environmental assets, as well as better
incorporation of environmental norms and incentives in
mainstream institutions (Bass et al. 2005). It is remarkable
how many institutional innovations have begun in Asia.
But there is scope for further governance and
institutional changes to:
(i)
improve poor people’s access and rights to
natural resources,
(ii) develop information, analysis, and political
capabilities to challenge those sectors that
affect the environment most, including
watchdogs,
(iii) empower poor people and local organizations
to lead action on the ground, and
(iv) form institutions and partnerships that link
development and environment more closely,
in debate, planning, accounting, and investment.
Investment in environmental management is good
for economic growth, good for quality of life, and good
for the quality of the global commons.
“Investments into renewables and energy efficiency technologies ... are the best hedge against the
economic risks of rising oil prices and declining reserves,”
says the Chief Executive of the Chinese investment
banking specialists, London Asia Capital (The Observer
2005). As well as reducing risk, environmental investments
can produce high rates of return. An extensive global
review has revealed some very persuasive figures.5 In
Thailand, more than 600 firms participating in an
eco-efficiency investment program achieved an aggregate
47% rate of return (ADB 2005). In the PRC, one of the
world’s largest land management investments, in the
Loess Plateau, has improved the livelihoods of over 1.2
million farmers: combined with other initiatives, numbers
living under the poverty line have halved from 59% in
1993 to 27% in 2001 (Zhen Liu 2004).
There is scope for increased public investment on
environmental management. The PRC Government’s
environmental investment is set to increase from 1.3%
during 2001–2005 (based on its Tenth Five-Year Plan:
2001–2005), to 1.5% (based on its Eleventh Five-Year
Plan: 2006–2010). In most other countries, though, public
investment in the environment remains low, at 0.3% of
GDP in Indonesia, Malaysia, Philippines, Thailand,
Malaysia, and Viet Nam. The private sector will
undersupply environmental services unless market and
regulatory incentives are compelling. Investment by the
public sector is often important for leveraging much larger
private investment. For example, the PRC’s State
Environmental Protection Agency has only 300 full time
staff members, but without their effective strengthening
and enforcement, including means to value environmental
assets and allocate appropriate funds, the private
sector will be slow to invest in clean technology (Time
Magazine 2004).
Private sector environment investment requires
an enabling context. There is a growing body of
experience on introducing environmental fiscal reform
(to reduce overuse of scarce, inefficiently priced
resources, such as water) and payments for environmental
services (to reward those who protect, e.g., biodiversity
5
Some 400 cases of pro-poor environmental investment revealed
cost:benefit ratios of up to 14:1 for investment in water and sanitation,
4:1 for soil conservation, 5:1 for reef conservation, 7:1 for mangrove
conservation, and 7:1 for natural disaster prevention (Pearce 2005).
.
33
and watersheds) (Pearce 2005). In essence, environmental
“bads” can be taxed, and environmental “goods” supported,
especially where they are pro-poor. Transaction costs
can be reduced to help small and medium enterprises
benefit from environmental markets. Micro-credit can
help, enabling poor households to bear the risks of
investing in environmental assets.
International partnerships can provide important
support to Asian countries’ management of the environment
for pro-poor growth. Many Asian countries are taking a
lead in improving management of environmental assets,
as we have described above. Their development partners
can also play a key role. Development assistance to
Asia could help mainstream environment within partner
governments’ poverty reduction strategies or equivalent
national and local planning processes, budget support,
sector-wide programs, and projects. Specific initiatives
could be supported that help improve the capacity of
Asian authorities to manage the environment. Together,
Asian countries and development partners can share
technology and knowledge, catalyze environmental
investment, and forge institutional change in a number
of priority areas. There are knowledge challenges in all
the following suggested partnerships. Asian scientists
and their colleagues from other regions need to play a
key role in them, particularly to invigorate regional and
national innovation systems. There are also institutional
and investment challenges, and it is important for them
to build on existing Asian-led processes:
(i)
(ii)
Healthy Asia, healthy environment: Environmental health improvements in air and water
pollution can lead to major reductions in
mortality. Improvements in water quality and
quantity also lead to significant health
benefits.6 There are a number of promising
public-private part-nerships across the region
to increase access to clean water and air.
Transition to sustainable energy, 7 and
tackling climate change: A meaningful postKyoto regime is now within reach to limit the
6
Asia’s prospects for meeting the sanitation target of the Millennium
Development Goal 7 (Environment) by 2015 are poor—in India alone,
for instance, only 30-40% of the urban population is currently linked
to sanitation systems. Rural sanitation coverage is especially low.
7
See also the paper on energy produced for the Asia 2015 conference.
34
.
causes and effects of climate change.
Global carbon trade needs to develop in ways
that support investment in clean energy
(through, e.g., the Clean Development
Mechanism as well as bilateral arrangements).
There are good potentials for partnerships
within the region on clean energy, e.g.,
hydropower from Nepal and Bhutan, which
could also form the hub of regional energy
strategies—but these would have to be
planned to minimize environmental risks.
There is a strong need for partnerships to
improve learning, innovation, and investment
in adapting to climate change. The G8
Gleneagles Plan of Action highlighted
many such areas for partnership, and
energy will be the theme of the next G8
assembly.
(iii) Sustainable forestry and eradicating illegal
logging: illegal logging costs countries
billions of dollars in lost revenue, and harms
poor people. The Asian Forest Law
Enforcement and Governance initiative
(AFLEG) addresses supply- and demandside incentives for illegal logging, and assures
wood is traded from legal sources alone. This
process serves as a high-profile means to
encourage radical institutional change. It
may be usefully supplemented with efforts
to encourage Asian consumers to discriminate
in favor of good environmental practice, and
fair trade, through certification.
(iv) Sustainable fishing: Given the importance
of both fish production and fish consumption in Asia, improved management is vital.
One innovative approach is fisheries certification which is now beginning but only
covers 4% of the world’s catch. Without such
approaches, the long-term future of Asia’s fish
producers is threatened.
(v) Asian rivers management: Transboundary
rivers pose a major challenge: they are
critical assets for growth in the countries that
share them, but without effective cooperation,
the environmental services they offer will be
undermined. Where means for cooperation
are secured such as in the Indus River Treaty
and Mekong River Commission, they provide
a powerful vehicle for larger regional
cooperation. There is scope to strengthen
work in these established forums, and to
extend such approaches to other basins in
the region.
(vi) Greening Asia’s financial markets and private
sector: Asia’s private sector is booming and
interest in environmental management is
growing. This can be stimulated through the
commercial and investment banking sectors,
export markets and private sector accr
editation. OECD markets are vital for Asian
exports and can provide important incentives
for environmental improvements.
(vii) Disaster preparedness and risk reduction:
The deaths of over 70,000 in the South Asian
earthquake and of over 280,000 in the
tsunami have brought home once again the
vulnerability of Asia to disasters. Two things
stand out: typically, it is the poor who suffer
most and, with climate change, the risk of
extreme weather events is increasing. Disaster
preparedness requires strengthening the
existing coping strategies of the poor combined
with good information systems and appropriate
technical, financial and physical support. The
response to the 2004 Asian Tsunami and
2005 South Asia Earthquake illustrated the
strengths of (as well as the challenges of
managing) multiple national–international
partner-ships, including with the UN and the
military.
(viii) Pro-poor conservation: Since Asia has
already invested over 7% of its land in
protected areas, there is an urgent need to
both demonstrate and secure their potential
contributions to pro-poor growth. One
approach is for development partners to
capitalize local environmental conservation
and nature tourism funds that can trigger
larger environmental investments.
World Bank, and David McCauley and Nessim Ahmad
of the Asian Development Bank.
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36
.
Summary
Human-induced climate change is a serious
environmental and development issue. The Intergovernmental Panel on Climate Change (IPCC) states
that observed changes in climate have already affected
ecological, social, and economic systems, and sustainable development is threatened by climate change.
Examples of currently observed changes include:
(i)
(ii)
shifts in plant and animal distribution ranges,
a general reduction on crop yields in many
tropical and subtropical regions,
(iii) decreased water availability in waterscarce regions of subtropics, and
(iv) increased exposure to vector-borne and
water-borne diseases.
Under some recently published climate change
scenarios, climate change poses a greater threat of
species extinction than deforestation or habitat destruction.
However, there are many opportunities for both mitigation
and adaptation to climate change while enhancing the
conservation of biodiversity and landscape use.
Surface ozone is a regional air pollutant growing
in concentration. Mean global surface ozone concentrations are predicted to increase by about a quarter by
2020 in parts of the Greater Mekong Subregion (GMS).
A number of important crops in the GMS are adversely
affected by ozone at current concentrations. Recent
studies predict East Asia is about to experience reductions
in crop production due to increasing ozone with major
yield losses for wheat, rice, corn, and soybean. There is
much less knowledge about impacts of ozone on
biodiversity than on major crops, but ozone is known to
have severe impacts on biodiversity. Impacts of other
regional air pollutants, including acid deposition and the
atmospheric brown cloud could also be important in the
GMS within the next decade or two.
Due to the dependence on agriculture in the
region to support local livelihoods, these crop reductions
will have major social, economic, and environmental
consequences. Assessments and adaptation to enable
these changes to be factored into developments
planning are needed.
6.1
Background
As the economy of the GMS has grown from about
US$250 billion in 1992 to over $400 billion now, so have
emissions of air pollution and greenhouse gases.
Emissions of air pollutants and greenhouse gases are
inextricably linked, as they are both associated with use
of energy for transport, industrialization, urbanization, and
economic development (Unger et al. 2006).
Emissions from the People’s Republic of China
(PRC) dominate other emissions in the region. Emissions
from the PRC in the year 2000 were estimated to be
3,820 million tons of CO2, 20.4 million tons of SO2, 11.4
million tons of NOx, 116 million tons of CO, 38.4 million
tons of methane, 17.4 million tons of non-methane
volatile organic compounds, 1.05 million tons of black
carbon, 3.4 million tons of organic carbon, and 13.6
million tons of ammonia (Streets et al. 2003). Emissions
of most of these pollutants are expected to increase as
the industrialization of the region continues, and energy
shortages remain. Demand for coal and oil is expected
to double or triple in the next 30 years in the region (Cofala
et al. 2004).
Just as Europe and North America experienced
significant impacts of these pollutants on agricultural and
natural ecosystems during industrialization, so the countries of the GMS are starting to experience impacts due
to growing industrialization, urbanization, and use of
transport and energy, associated with economic transformation. Asian sulfur emissions now exceed those of
Europe and North America combined. The impacts on
agricultural and natural ecosystems will grow as
emissions continue to grow.
Biodiversity is inextricably linked with climate and
the livelihoods of people, especially poor people who are
directly dependent on agriculture and rainfall. This paper
will briefly review linkages between climate change and
regional air pollution with biodiversity and landscape use.
6.2
Climate change
IPCC reports show that human-induced climate
change is a serious environmental and development
issue and in conjunction with other stresses threatens
ecological systems, their biodiversity and development,
especially for the poor in developing countries, due to
impacts on agriculture, water supplies, and health (IPCC,
2001b; Pachauri, 2004).
The Earth is warming, with most of the warming
of the last 50 years due to human activities. The global
mean surface temperature has increased by about 0.6OC
over the last 100 years, and is projected to increase by a
further 1.4–5.8OC by 2100 (IPCC, 2001a). More recent
analyses by IPCC estimate temperature changes at the
top of this range.
The patterns of precipitation are changing, and the
sea level is rising. The spatial and temporal patterns of
precipitation have already changed and are projected to
change even more in the future, with an increasing
incidence of floods and droughts. Sea levels have
already risen by 10–25 cm during the last 100 years and
are projected to rise an extra 8–88 cm by 2100 (IPCC,
2001a) and the frequency and intensity of extreme
weather events have increased (IPCC, 2002). These
changes in climate have affected the timing of reproduction in plants, animals and the migration of animals, the
length of growing seasons, the range, distributions and
population sizes of plant and animal species, and the
frequency of pest and disease outbreaks (IPCC, 2002).
For example, there is direct evidence of decreased rice
yields from increased night temperature associated with
global warming (Peng et al. 2004). Climate change is
also changing the frequency and intensity of disturbances
such as wildfires and wind erosion, and increasing
pressures on resources such as water (IPCC, 2002).
Factors causing loss of biodiversity, such as the
removal, modification, and fragmentation of habitats and
the spread of non-native species interact with climate
change, and in some regions will be intensified by
climate change. Climate drying is expected to cause
regional die-off of overstory woody plants at a subcontinental scale (Breshears et al. 2005). Changing patterns
of climate will change the natural distribution limits of
species and communities, leading them to alter distribution,
.
Potential Impacts of Climate Change and Regional Air Pollution on Terrestrial Biodiversity and Landscape Use
37
where possible. In most cases, ecosystem fragmentation will impede the movement of these plant and animal
species. For example, national parks and protected
areas are often surrounded by agricultural and urban land
uses that impede migration and ecozone shift. Climate
change intensifies the need for biodiversity corridors. It
also challenges the assumptions about fencing off
areas with high levels of biodiversity as the most
effective way to conserve threatened plant and animal
species under climatic change.
Species with limited climatic ranges or restricted
habitat requirements particularly with small populations
are the most vulnerable to extinction. In contrast,
species with extensive distributions, long-range dispersion,
or large populations are at less risk from extinction due
to climate change. A recent study used projections of
species distributions for future climate scenarios to
assess extinction risks for sample regions representing
20% of the Earth’s terrestrial surface. Using three different
approaches, their results were similar. On the basis of
mid-range climate scenarios for 2050, Thomas et al.
(2004) predicted that 15-37% of the species in their
sample regions would be committed to extinction. This
is a loss that would exceed that expected from the
destruction of their habitat.
Another recent study modeled the effects on plants
if the atmospheric concentration of carbon dioxide
doubled from pre-industrial times, which is expected by
the end of the century, in order to project habitat changes
and associated extinctions (Malcolm et al. 2006). In
the worst-case scenario, the doubling of present
carbon dioxide levels and resulting temperatures rises
could potentially eliminate 56,000 plant and 3,700
endemicvertebrate species in the 25 global biodiversity
hotspot regions. Areas particularly vulnerable to
extinctions are those with species with restricted
migration options due to geographical limitations. The
estimated rates of species extinctions associated with
global warming in tropical hotspots in some cases
exceeded those due to deforestation. Malcolm et al.
(2006) concluded that under certain scenarios, global
warming could be a more serious threat to biodiversity
than deforestation.
Just as climate change affects biodiversity, so
changes in land use can affect the global climate.
38
.
Forests are a major global store of carbon, so the
replacement of forests with land uses that store less
carbon, such as agriculture or urban land uses,
release large amounts of carbon into the atmosphere.
Deforestation is occurring largely in the tropics, and at
current rates it is estimated to be responsible for the
annual release of 1.1-1.7 billion tons of carbon, about
20% of human-related carbon emissions. In contrast,
effective management of biodiversity can lead to higher
levels of carbon sequestration. Activities such as
reafforestation, agroforestry on cleared land, increasing
rotation age, and use of buffer zones, can achieve
co-benefits for mitigation of climate change and
biodiversity (Reid 2004).
6.2.1 Some adverse impacts on communities
Poor people generally depend more on agriculture
and ecosystems services than wealthy people. In many
less-developed countries, up to 70% of working people
in rural areas are directly dependent on agriculture for
their livelihoods (Maxwell, 2001) and they use grazing
land and forests to provide income, food, medicines, fuel,
fodder, construction material, and other uses (Reid 2004).
A climate-induced general increase in crop failures,
flooding, droughts, and cyclones in many tropical and
subtropical regions will dramatically affect the most
vulnerable communities, those with least capacity to
adapt. The predictions of the IPCC, based on models
and other studies (IPCC 2001a), include:
(i)
a general reduction in crop yields in most
tropical and subtropical countries,
(ii) decreased water availability in waterscarce regions of subtropics,
(iii) increased exposure to vector-borne (e.g.,
malaria) and water-borne diseases (e.g.,
cholera),
(iv) a widespread increase in the risk of flooding,
and
(v) poor coastal communities are most vulnerable.
Adaptation actions combining benefits for
biodiversity, climate change, and livelihoods should aim
to build the resilience of communities to climate-related
stresses, through improving the soil, erosion prevention,
water management, agricultural productivity, and hillside
protection (IISD 2003). Afforestation and reforestation
activities can have positive, neutral, or negative impacts
on biodiversity, depending on the ecosystem being
replaced, and management actions. The best opportunities for positive action are afforestation or reforestation on degraded lands with natural regeneration and
native species and with minimal clearing of preexisting vegetation. Avoided deforestation can provide
the greatest biodiversity benefits (IPCC 2002).
6.2.2 Adaptation
agriculture is needed. It requires modeling of likely
impacts of climate change and regional air pollution on
biodiversity, agriculture and water availability. Coordinated assessments of impacts on important vegetation,
monitoring, modeling and policy implications need to be
conducted by institutions in the region, using agreed,
harmonized protocols. High priority should be given to
this type of partnership and technology transfer approach
with institutions in the region.
Adverse consequences of climate change can be
reduced by mitigation and adaptation measures, but
cannot be eliminated. Both mitigation and adaptation
measures have important roles in responding to climate
change. Climate change is already a reality and adaptation to these changes needs to be incorporated into
national development planning. Even with best-practice
management it is inevitable that some species will be
lost, some ecosystems irreversibly modified, some
environmental goods and services severely damaged,
and some vulnerable communities adversely affected
(IPCC 2002).
Capacity building of key national institutions is
required to enable them to participate in modeling and
national and regional assessments of impacts of climate
change and regional air pollution on biodiversity,
agriculture, and water availability. This would enable
them to respond to issues raised by their national policymakers and support vulnerable communities. The
development of regional and national policy dialogues
to communicate and discuss the modeling and assessments and their policy implications is essential.
Existing capacities at both national and local
community levels may be weak, but they are the starting
point for adaptation actions to protect biodiversity and
communities. The capacity to adapt to climate change
is closely related to how communities develop their
technological capability, the level of support provided to
them and type of governance. Capacity building activities should include support for communities to develop
their own priorities to reduce climate change vulnerability through ecosystem management and restoration
activities that sustain and diversify local livelihoods (Reid
2004).
Ground-level ozone is easily the most important
air pollutant for impacts on agricultural production in North
America and Europe (Emberson et al. 2003) and its
concentrations in the GMS region are increasing. Mean
global surface ozone concentrations are predicted by the
IPCC to increase by 23% by 2050 and by 2% per year in
parts of the Asian region, due to rapidly growing economies
emitting growing emissions of the precursors of groundlevel ozone (IPCC 2001a). However, recent assessments demonstrate the likely huge impact of growing
surface ozone concentrations on agriculture in Asia.
Recent studies show a predicted increase of 23% in
ozone concentration from an ambient level of 56 to 69
ppb over two growing seasons, will reduce soybean yield
by 20% (Morgan et al. 2006). This concentration is
expected to be reached by 2020 in parts of the GMS
region (Dentener et al. 2005).
The key to adaptation to climate change and
regional air pollution at regional, national, and local levels
depends upon an adequate understanding of the likely
impacts of climate change on the countries of the
region, and the effective communication of this information to empower decision-makers and communities. This
is essential to capacity building to enable adaptation of
vulnerable communities and the formulation of development
policies that incorporate adaptation.
A regional assessment of impacts of climate
change and regional air pollution on biodiversity and
6.3
Regional air pollution
Other studies indicate that East Asia is about to
experience substantial reductions in grain production. By
2020, increasing ozone concentrations are expected to
cause yield losses of 2-16% for wheat, rice, and corn,
and 28-35% for soybean. Compliance with ozone
standards would increase annual grain revenues by
US$2.6-27 billion in the PRC (Wang and Mauzerall 2004).
.
39
6.3.1 Ozone and biodiversity
6.4
There is much less knowledge about impacts of
ozone on biodiversity than on major crops. Ozone and
other air pollutants have severe impacts on some forest
types and species of biodiversity and economic importance. For example, high levels of mortality in NorthEastern hardwood forests of the US and Eastern Canada
since the early 1980s have been directly linked to air
pollution (Percy, 2003) and impacts of ozone on native
forests in Europe, Japan, the PRC, India, Mexico,
Australia, and elsewhere have been documented
(Emberson et al. 2003). Ozone also affects insect
infestations and diseases.
Human-induced climate change is a serious
environmental and development issue and in
conjunction with other stresses, it threatens social,
economic, and ecological systems and biodiversity.
Under some recently published climate change
scenarios, climate change poses a greater threat of
species extinction than deforestation or habitat destruction. However, there are many opportunities for both
mitigation and adaptation to climate change while
enhancing the conservation of biodiversity and landscape
use.
Lessons learned
Asia has experienced large decreases in sunlight
intensity at ground levels in recent years due to the
atmospheric brown cloud. Emissions of sulfur dioxide
and black carbon have increased rapidly reducing solar
radiation at the surface, evaporation and summer
monsoon rainfall (Ramanathan et al. 2005). This is
expected to result in a doubling of drought frequency
with major impacts on biodiversity, agriculture, and
water availability.
Recent studies predict East Asia is about to
experience substantial reductions in crop production due
to increasing surface ozone concentrations. Impacts of
other regional air pollutants, including acid deposition and
the atmospheric brown cloud could also be important in
the GMS within the next decade or two. Due to dependence
on agricultural and natural ecosystems in the region to
support local livelihoods, these impacts will have major
social, economic, and environmental consequences.
Assessments, capacity building, communication, and
adaptation to enable these changes to be factored into
development planning are needed.
6.3.3 Acid rain
6.5
Emissions of acid air pollutants are expected
to increase as the industrialization of the region
continues and energy shortages remain. The IPCC
scenario A1B envisages rapid economic growth with a
balance between fossil fuel and renewable energy
sources. Under this scenario by 2030, emissions from
India of sulfur dioxide and nitrogen dioxide are expected
to increase by 400% and 500%, respectively, and for the
PRC, by 33% and 100%, respectively (Unger et al. 2006).
Demand for coal and oil is expected to double or triple in
the next 30 years in the region (Cofala et al. 2004). With
the growing emissions of acid gases, the importance of
acid rain and its impacts on biodiversity will grow. The
Chinese EPA estimates that economic losses due to
damage caused by acid rain to forests and farmlands
increased five times from 1996 to 2000 and losses were
estimated to be US$13.25 billion in 2000 (Shah et al.
2000).
Climate change and regional air pollutants are
soon to be major drivers of biodiversity and agricultural
losses in the GMS region. A regional assessment of
impacts of climate change and regional air pollution on
biodiversity and agriculture is needed. It requires
modeling of likely impacts of climate change and regional
air pollution on biodiversity, agriculture, and water availability. High priority should be given to a partnership,
technology transfer approach with key national institutions
in the region to enable assessments, capacity building,
and communication, and to facilitate the outcomes
being factored into development planning.
6.3.2 Atmospheric brown cloud
40
.
Conclusions and future steps
References
Breshears D.D. et al. (2005). Regional vegetation die-off in
response to global-change-type drought. PNAS. 102: 1514415148.
Cofala J, Amann M, Gyarfas F, et al. (2004). Cost-effective
control of SO2 emissions in Asia. Journal of Environmental
Management. 72: 149-161.
Reid, H. (2004). Climate change – biodiversity and livelihood
impacts. International Institute for Environment and
Development, London, UK.
Dentener F, et al. (2005). The impact of air pollutants and
methane emission controls on tropospheric ozone and radiative
forcing: CTM calculations for the period 1990-2030.
Atmospheric Chemistry and Physics. 5: 1731-1755.
Shah J. et al. 2000. Integrated analysis for acid rain in Asia.
Policy implications and results of RAINS-Asia model. Annual
Review of Energy and Environment. 25: 339-375.
Emberson L, Ashmore M, and Murray F, (Eds) (2003). Air
pollution impacts on crops and forests: A global assessment.
Imperial College Press, London.
IISD (2003). Livelihoods and climate change: combining
disaster risk reduction, natural resources management and
climate change adaptation to reduce vulnerability and poverty.
IISD, SEI, Intercooperation. Information Paper 2, December
2003.
IPCC (2001a). Climate change 2001: The scientific basis Intergovernmental Panel on Climate Change. UNEP, Nairobi and
WMO, Geneva.
IPCC (2001b). Climate change 2001: Impacts, Adaptation and
Vulnerability. Intergovernmental Panel on Climate Change.
UNEP, Nairobi and WMO, Geneva.
Streets DG, Bond TC, Carmichael GR et al. (2003). An
inventory of gaseous and primary aerosol emissions in Asia in
the year 2000. Journal of Geophysical Research. 108: No.D21,
8809.
Thomas C.D. et al. (2004). Extinction risk from climate change.
Nature. 427: 145-148.
UEA, (2003). Global climate change and biodiversity.
University of East Anglia, Norwich, UK.
Unger N. et al. (2006). Cross influences of ozone and sulfate
precursor emissions changes on air quality and climate. PNAS.
103: 4377-4380.
Wang X. and Mauzerall D.L. (2004). Characterizing
distributions of surface ozone and its impact on grain
production in China, Japan and South Korea: 1990 and 2020.
Atmospheric Environment. 38: 4383-4402.
IPCC (2002). Climate change and biodiversity. Intergovernmental
Panel on Climate Change. Technical Paper V. UNEP, Nairobi
and WMO, Geneva.
Malcolm J. et al. (2006). Global Warming and Extinctions of
Endemic Species from Biodiversity Hotspots, Conservation
Biology. 2: 538-548.
Maxwell S. 2001. WDR (2001): Is there a “new poverty
agenda”? Development Policy Review. 19: 143–149.
Morgan P.B et al. (2006). Season long elevation of ozone
concentration to projected 2050 levels under fully open-air
conditions substantially decreases the growth and production
of soybean. New Phytologist. 170: 333-343.
Pachauri, R.K. (2004). Climate change and its implications for
development: the role of IPCC assessments. IDS Bulletin. 35:
11-14.
Peng S et al. (2004). Rice yields decline with higher night
temperature from global warming. PNAS. 101: 9971-9975.
Percy F. (2003). Air pollution impacts on North America. In: Air
Edited by Emberson L, Ashmore M, and Murray F, 2003. pp
35-57. Imperial College Press, London.
Ramanathan V. et al. (2005). Atmospheric brown clouds:
Impacts on South Asian climate and hydrological cycles. PNAS.
102: 5326-5333.
.
41
7. Upstream, Downstream: How New York City
Saves Millions of Dollars by Paying Upstream
Communities to Protect the Natural Water
Filtration Qualities of the Catskill/Delaware
Watershed
Mark Kasman
Summary
This paper discusses how New York City saves
millions of dollars by compensating upstream communities
to protect the ecosystem services they provide, in this
case the natural water filtration qualities of the Catskill/
Delaware Watershed. It will show how the State of New
York, City of New York, and upstream communities
developed a model consensus approach to resource
management. Together they developed a plan for Land
Acquisition, Stream Management, Sustainable Agricultural Development, Stream Restoration, Infrastructure
Development and Maintenance, and Tourism and
Recreation Opportunities to protect the watershed. This
approach balances the need of upstate communities for
economic development and self-determination, with the
City’s need to provide clean drinking water to its citizens.
7.1
Background
It is helpful to understand the context of New York
City’s drinking water supply. The City’s first drinking water
source was a well dug at Bowling Green in lower
Manhattan. It quickly became contaminated and
inadequate as New York City grew. Consequently, the
City began a north and westward search for clean
drinking water. In the early 1800s, it became clear that
the fast-growing City needed a new source, far from
the City. Croton River in Westchester County was
impounded and the Croton aqueduct became operational
in 1842. However, by the end of the 19th century, the
Croton system was at full capacity.
The City reached across Hudson River to the
Catskills in the early 20th Century. The Catskill system
was completed in the late 1920s and the Delaware
system completed in 1967. Today, New York City has
one of the largest unfiltered surface water supplies in
the world. About 1.3 billions gallons a day is delivered to
42
.
9 million people in the New York City metropolitan area.
The watershed is 2,000 square miles in size and reaches
over 125 miles and 8 counties. It contains 19 reservoirs
and 3 controlled lakes. The Delaware System provides
50%, the Catskill System provides 40%, and the Croton
System 10% of the City’s drinking water. Ninety-five
percent of the drinking water is delivered by gravity and
only 5% is pumped to maintain pressure. Figure 7.1
shows the relationship between the water supply
systems and New York City.
7.2
Taking action to protect the city’s drinking
water
What the map in Figure 7.1 does not illustrate,
however, is the deep-seated anger, resentment, and
grievances left in the City’s wake as it aggressively
acquired water in these regions. For much of the 20th
Century, many upstate communities felt exploited by both
Figure 7.1: New York City’s water supply system
the City and the State in the quest for more water. Sometimes, towns were submerged. About 5,800 people were
displaced. Recreation areas were lost. It is this
collective anger and fear that the City would have to deal
with when years later they came back to the Catskills in
an effort to protect the system with additional watershed
regulations and a program to buy more land.
However uncomfortable the task might be for city
officials, new Federal regulations forced the city to take
action to protect New York City’s drinking water. The
mandate of the US Environmental Protection Agency
(EPA), through the Safe Drinking Water Act (SDWA),
specifically, the Surface Water Treatment Rule (SWTR),
requires that all drinking water taken from surface role
be filtered to remove microbial contaminants. However,
the SWTR does allow EPA to grant relief from the
filtration requirement if the water supplier (e.g., New York
City) can show that it meets a strict set of criteria. The
“watershed control” criterion requires that the water
supplier control “...all human activities in the watershed
that may have an adverse impact on the microbiological
quality of the source water.” That is a very high bar.
Relief from filtration or “Filtration Avoidance” is the
exception to the rule. Nationwide, excluding the New
York City system, only 6 out of 235 large systems (those
serving over 100,000 people) are able to avoid filtration.
Most of those systems draw from watersheds in pristine
areas that are entirely owned by either the federal or
state government or the water purveyor. EPA first
provided New York City relief from the requirement to
filter its Catskill/Delaware system in January 1993. The
basis for EPA’s decision included:
(i)
(ii)
(iii)
(iv)
the high quality of the source water,
the mostly rural and low density population
in the Catskill Mountain area,
the substantial distance between the source
water and the City, and
the stringent source water protection
program that the City presented to EPA in
1992 as part of its application to avoid
filtration.
However, EPA provided the City a Filtration
Avoidance Determination (FAD) for the Catskill/Delaware
system in 1993 that was conditioned on the City’s
implementation of a number of new initiatives including:
new rules and regulations, land acquisition—explicit goal
of 80,000 acres—and the upgrading of wastewater
infrastructure.
7.3
Rethinking the program
This is when history caught up with the City. The
anger, mistrust, and resentment toward the City that had
been building up through the decades, was released in
a torrent of lawsuits. Upstate communities did not want
additional regulations telling them what they could or
couldn’t do on their land. They didn’t want the City
buying their land and limiting their opportunity for growth.
They feared that, if pushed, the City would again resort
to eminent domain, or the seizure of private land for the
public good. They also feared that the cost of these
expensive new infrastructure programs would
ultimately be borne by the people living in the Catskills.
It became apparent to EPA that the program was not
progressing as planned—it was dead in the water.
By early 1995, EPA was prepared to require the
City to filter its Catskill/Delaware system, a requirement
that would have cost the City at least $6 billion. To avoid
this expense, the Governor of New York brought the
parties together in an attempt to broker an agreement.
The negotiating parties included New York City, New York
State, EPA, the upstate watershed communities, and a
number of environmental groups. The parties participated in over 150 negotiating sessions over an 18-month
period. Ultimately, EPA had to be satisfied with the
outcome if it was to continue to provide New York City
relief from the filtration requirement.
7.4
New York City watershed MOA signed
It is worth emphasizing how stakeholder
empowerment and collaboration framed the entire
watershed protection program. They were key
elements that were built into the watershed memorandum of agreement (MOA), and it would have never been
signed without them. It was very important for the upstate
communities that they were not only part of the
decision-making process in how programs were
implemented, but that they were also a collaborative
participant in doing the on-the-ground work.
Upstream, Downstream: How New York City Saves Millions of Dollars by Paying Upstream Communities
to Protect the Natural Water Filtration Qualities of the Catskill/Delaware Watershed
.
43
The outcome of this process was the 1997 New
York City Watershed MOA. The MOA is a balancing act:
On one side it addresses the upstate towns’ needs for
economic sustainability and self-determination. On the
other, it addresses New York City’s needs to protect its
water supply and to meet EPA’s requirements for filtration
avoidance. After the MOA was signed, EPA issued the
City a 5-year conditional filtration avoidance determination.
This relieved the City of the requirement to build a $6
billion-plus filtration plant. To comply with EPA’s FAD,
which was reissued in 2002, the City is spending
approximately $1.2 billion in watershed protection/
remediation investments.
Elements of these investments include:
(i)
(ii)
(iii)
(iv)
Objective criteria compliance
Land acquisition
Agricultural program
Infrastructure
a. Septic systems
b. Wastewater treatment plant upgrade
program
c. Stormwater controls
(v)
Waterfowl management
(vi) Forestry program
(vii) Wetlands protection
(viii) Monitoring/modeling/geographic information
system
(ix) Watershed rules and regulations
(x)
Inspection program
(xi) Disease surveillance
(xii) Cross connection controls
(xiii) Education and outreach
(xiv) Stream management
(xv) Total maximum daily loads
The elements under the MOA are living programs.
They are regularly monitored and modified as appropriate.
A regular dialogue with the community and concerned
organizations helps keep the program on track and aimed
at achieving its objectives. To renew its FAD, the City
must demonstrate its progress in meeting the terms and
spirit of the agreement. Progress has been made in most
components, but this paper will focus on the Land
Acquisition and Agricultural Programs.
44
.
7.5
Two critical components of the MOA: land
acquisition and agricultural programs
Land ownership is the best means of protecting
water quality. In 1997, the city owned about 7%
(approximately 8,000 acres) of watershed land. Under
the MOA, the Land Acquisition Program requires the City
to solicit 355,050 acres of vacant land for purchase from
willing sellers. Purchases were prioritized by their
proximity to reservoirs and distribution systems. The
Land Acquisition Program represents a $300-million
commitment by New York City over 15 years.
Figure 7.2 illustrates some of the progress made
with land acquisition since 1997. While this chart only
goes through June 2004, as of December 30, 2005, close
to 70,000 acres (69,745) had been protected or acquired
under contract at a cost of $167.7 million. This total
includes: (i) lands purchased by the City, (ii) lands
protected through conservation easements by the City,
and (iii) lands protected through farm easements by the
Watershed Agricultural Council. Recently, business
tycoon Donald Trump donated 436 acres to develop a
state park. This land is heavily wooded and includes
some significant wetlands. When he bought this land in
the early 1990s for about $2 million, he had planned to
develop it into homes and a golf course. One hundred
fifty four acres of this land was designated Priority A for
acquisition by the City because of its significance to the
City’s watershed. Trump’s donation allows the City to
redirect some of its resources toward other priority land.
Predictably, the state park will be named the Donald J.
Trump State Park. To date, the City has protected about
10% of the watershed lands, with about 20% protected
by other governments (mostly State) and land trusts.
Another component of the FAD is the Agricultural
Program. The objective of the Agricultural Program is to
improve water quality through source control, transport
reduction across the farm, and prevention of contaminant deposition in watercourses. There are over 300 dairy
farms located in the watershed. The waste from these
farms is a potential source of pathogens and nutrients to
source water. The Watershed Agricultural Council, Soil
and Water Conservation Districts, and individual
farmers work together to develop Whole Farm Plans
which are like individual Best Manufacturing Practices
(BMPs) for the farms.
Figure 7.2: Land acquisition status – March 1997-June
2004
Contentious players can agree to a mutually beneficial
agreement. While differences of opinion or approach
are bound to occur, it is important to have a structure in
place to deal with these issues. It is necessary to
ensure continued compliance to protect the ecosystem
services provided.
With a regulatory framework in place, money can
be saved by investing in the natural ecosystem services
upon which development depends.
References
Acers Acquired
Nearly all of the farms have signed up for the
Agricultural Program with over 90% of the farms having
commenced their whole farm plans. Substantial
implementation of these plans has been completed at
about 60% of these farms. A recent program has started
to serve small farms. Another component helps take
cropland/pastureland out of production. Three hundred
seventy six stream miles have been protected by
riparian buffers under this effort.
“New York City’s Catskill/Delaware Drinking Water Supply:
Filtration Avoidance Determination Status Update-May 2005,”
provided by New York City Watershed Protection Team, U.S.
Environmental Protection Agency.
“New York City Watershed Partnership,” provided by New York
City Watershed Protection Team, U.S. Environmental
Protection Agency.
“Watershed Agreement Overview,” provided by New York City
Department of Environmental Protection.
Each of the components of the MOA helped to
protect the watershed. Household septic systems were
repaired and upgraded to prevent human waste from
contaminating the watershed. Comprehensive forest
management planning and logger training helped
sustain the forest resources and prevent erosion.
Regular monitoring helped to measure progress and
infrastructure was improved.
7.6
Lessons learned
Many lessons have been learned through the
experience New York has had balancing upstream
resources and downstream needs. It is critical for the
parties to recognize that ecosystem services have a real
economic value. Without this basic acknowledgment, it
is difficult to motivate the parties to come to an agreement.
Regular monitoring, incentives, and potential penalties
help keep the parties actively engaged in meeting
the objectives of the program. As time passes, it is
important to regularly monitor and advance the programs
of the MOA to maintain private and public investment.
Upstream, Downstream: How New York City Saves Millions of Dollars by Paying Upstream Communities
to Protect the Natural Water Filtration Qualities of the Catskill/Delaware Watershed
.
45
46
.
PANEL 1:
Ecosystems Connectivity and
Biodiversity
.
47
48
.
8. Current Status of Biodiversity in the GMS
Countries, with a Particular Focus on the
Pilot Sites of the Biodiversity Conservation
Andrew (Jack) Tordoff
Summary
This paper begins with an overview of the current
status of biodiversity in each of the six Greater Mekong
Subregion (GMS) countries, which outlines the key
biological attributes of each country and highlights key
trends in the status of species, habitats, and ecosystems.
This overview is then followed by a discussion of the
options for monitoring the impacts of investments in the
conservation and sustainable management of each of
the seven pilot sites of the Biodiversity Conservation
Corridors Initiative (BCI). Specifically, potential biodiversity
indicators are proposed for each pilot site, and the availability of baseline data is summarized.
8.1
Current status of biodiversity in the GMS
The GMS comprises the Kingdom of Cambodia,
Lao People’s Democratic Republic (Lao PDR), the
Union of Myanmar, the Kingdom of Thailand, Viet Nam,
and Yunnan Province and Guangxi Zhuang Autonomous
Region of the People’s Republic of China (PRC). Consistent with the focus of the GMS BCI, this paper
reviews the status of terrestrial, freshwater, and coastal
biodiversity in the region. Marine biodiversity is not
covered, although this is in no way a reflection of its relative
importance.
The GMS is a region of extremely high significance
for the conservation of biodiversity. The GMS lies
almost wholly within the Indo-Burma Hotspot, although
northern parts of Yunnan province are included within
the Mountains of South-western China Hotspot, the
extreme north of Myanmar lies within the Himalayas
Hotspot, and the extreme south of peninsular Thailand
lies within the Sundaland Hotspot (Mittermeier et al 2004).
The geological and evolutionary history of the GMS
is complex, and the wide variation in topography and
climate within the region has allowed the development
of a wide diversity of natural habitats, supporting a high
richness of plant and animal species. The fauna and
flora of northern and montane parts of the GMS have
strong Sino-Himalayan influences, while peninsular
Thailand and southern Myanmar have strong Sundaic
influences. In addition, the biota of the GMS has a
significant endemic element, with endemic species
being concentrated on montane isolates, in limestone
karst formations and in lowland wet evergreen forests.
The GMS is one of the most densely populated
regions on the planet. Human populations have been
concentrated, since historical times, in the floodplains
and deltas of the region’s major rivers: the Irrawaddy
(Ayeyarwady); Salween (Thanlwin; Nu Jiang); Chao
Phraya; Mekong (Lancang Jiang); Red; and Pearl (Zhu
Jiang). In these regions, natural habitats have been
extensively cleared, to make way for agriculture, human
habitation and, increasingly, industry. Human populations
are not evenly distributed across the GMS, however, and
significant areas of natural habitat can still be found in
more sparsely populated areas, particularly in mountainous
areas or other areas marginal for agriculture. In some
areas, such as Guangxi and northern Viet Nam, remaining
natural habitats have been heavily fragmented and
typically persist as isolated patches. In other areas, such
as in the Tenasserim mountains along the border
between Myanmar and Thailand and on the plains of
northern and eastern Cambodia, large, continuous landscapes of natural habitat remain. Such landscapes have
the greatest potential to maintain, over the long term, full
biotic communities, including populations of megafauna
species, such as Tiger Panthera tigris, Asian Elephant
Elephas maximus, and Gaur Bos gaurus.
Due to loss and degradation of natural habitats,
arising from population expansion, economic growth and
increasing consumption, many species in the GMS are
threatened with global extinction. These threats are
compounded by exploitation of plant and animal species,
driven in many cases by demand from the rapacious
wildlife trade. The 2004 IUCN Red List of Threatened
Species (IUCN 2004) lists over 100 non-marine globally
threatened species in each GMS country, a significant
proportion of which are Critically Endangered, the highest
category of threat (Table 8.1).
For GMS countries, comprehensive global threat
assessments are typically only available for mammals,
Current Status of Biodiversity in the GMS Countries, with a Particular Focus
on the Pilot Sites of the Biodiversity Conservation Corridors Initiative
.
49
Table 8.1: Non-marine globally threatened species in the GMS
Country
CR
EN
VU
Total
Cambodia
Lao PDR
Myanmar
PRC*
Thailand
Viet Nam
23
17
27
113
49
47
37
28
41
271
55
82
49
56
81
379
111
157
109
101
149
763
215
286
*Figures are for whole country
birds, amphibians, and some groups of reptiles. For some
countries, most notably Myanmar, national species
inventory data are incomplete for most, if not all, major
taxonomic groups. As a result, all GMS countries can
be expected to support more globally threatened
species than are currently listed by IUCN (2004).
Recent decades, in particular the last 15 years,
have witnessed increasing efforts by GMS governments,
with support from donor agencies and nongovernmental
organizations (NGOs), to halt the loss of natural habitats
and the decline of plant and animal populations. These
efforts have included establishment and expansion of
protected area systems, initiatives to control trade in wildlife, and development of mechanisms to integrate
environmental considerations into the policies, plans, and
programs of economic sectors. In the context of these
efforts, there have been very few recorded plant and
animal extinctions in the GMS to date. Nonetheless,
many species are reduced to one or a few sites, with
populations numbering in the hundreds or less, and can
be considered to be on the verge of extinction. Effective
measures are urgently required if the GMS is to avoid a
wave of species extinctions and an accompanying
decline in the ecosystems whose products and services
underpin sustainable economic development in the region.
8.1.1 Cambodia
Habitats and ecosystems
The topography of Cambodia is predominantly
lowland. The most significant area of highlands in the
country is the Cardamom and Elephant Mountains in the
southwest, which reach 1,756m above sea level (asl) at
the summit of Phnom Aural, Cambodia’s highest mountain.
50
.
Other highland areas include the Annamite mountains,
the western extremes of which extend into the northeast
and southeast of the country. The lowlands of Cambodia
are bisected by the Mekong River, which runs north-south
through the country. The other major aquatic system in
the country is Tonle Sap Lake, the largest freshwater
lake in the GMS. Tonle Sap Lake is connected to the
Mekong by the Tonle Sap River. During the wet season,
the rising water level in the Mekong causes the Tonle
Sap River to change direction and fill, rather than drain,
Tonle Sap Lake. This process accounts for the annual
expansion of the lake across a vast inundation zone.
The inundation zone of Tonle Sap Lake contains
some of the most unique ecosystems in the GMS,
including seasonally inundated swamp forest and complex
mosaics of seasonally inundated grassland, scrub, and
deepwater rice. The swamp forest around the lake
supports the GMS’s largest remaining breeding colonies
of large waterbirds, such as Spot-billed Pelican
Pelecanus philippensis, Greater Adjutant Leptoptilos
dubius and Oriental Darter Anhinga melanogaster. The
inundation zone of the lake supports a unique bird
community for the GMS, including the world’s largest
population of Bengal Florican Houbaropsis bengalensis.
The lake itself is of high importance for freshwater
biodiversity, and supports one of the most productive
freshwater fisheries in the region.
Other important aquatic ecosystems in Cambodia
comprise the Mekong River and its major tributaries: the
Sekong, Sesan, and Srepok. These lowland rivers are
wide, slow-flowing, and braided in places by large
sandbars or punctuated by rocks. These riverine ecosystems support rich freshwater communities, including
several globally threatened species, most notably Giant
Catfish Pangasianodon gigas, the largest freshwater fish
in the world. Many fish species characteristic of these
rivers are migratory, and require the maintenance of
intact, large-scale aquatic systems. Planned infrastructure developments, particularly dam construction,
threaten to disrupt their migration patterns. Cambodia’s
lowland riverine ecosystems are also important for
communities of riverine mammal, bird, and turtle species,
including otters, fish eagles and sandbar-nesting birds.
These communities have disappeared from large parts
of the GMS, as a result of over-exploitation, disturbance
and clearance of riverine habitat.
The hills and mountains of Cambodia support
evergreen forest ecosystems, with plant and animal
communities very distinct from those of the adjoining
plains. Because of the relative inaccessibility of these
areas, they still support extensive landscapes of
continuous forest, particular in the south-west and northeast of the country. However, in upland areas suitable
for cash crop cultivation, forest is being converted to
coffee and other crops, while logging is contributing to
forest degradation and loss in a number of places.
The plains of northern and eastern Cambodia are
characterized by dry forest ecosystems, which comprise
habitat mosaics dominated by deciduous dipterocarp
forest, interspersed with patches of semi-evergreen
forest, grassland and wetlands, many of which are
subject to seasonal monsoon inundation. As recently as
the 1950s, these ecosystems supported large herds of
ungulates, including Gaur, Banteng Bos javanicus,
Kouprey B. sauveli, Wild Water Buffalo Bubalus bubalis,
and Eld’s Deer Cervus eldii. So impressive was the wildlife spectacle of these dry forest ecosystems that they
were considered to be one of the “great gamelands of
the world” (Wharton 1957). Unfortunately, following three
decades of civil war, the wildlife populations of the dry
forests have been decimated, and one of the flagship
species, Kouprey, may have gone globally extinct.
The dry forest ecosystems of Cambodia’s northern
and eastern plains and adjacent parts of Lao PDR, Thailand, and Viet Nam are recognized (under the name
“Indochina Dry Forests”) as one of the Global 200
Ecoregions: the earth’s most biologically outstanding
terrestrial, freshwater, and marine habitats (WWF 2005).
Other Global 200 Ecoregions in Cambodia comprise the
Annamite Range Moist Forests, the Cardamom Mountains
Moist Forests, and the Mekong River.
Species diversity and endemism
Compared with the other countries in the GMS,
Cambodia is not especially rich in species. Considering
the best-studied group, birds, over 530 species have
been recorded in Cambodia to date (Seng Kim Hout et
al 2003), the lowest number for any GMS country
(Smythies 1986, Duckworth et al 1999, Robson 2000,
Round 2000, MacKinnon and Phillips 2000). Moreover,
Cambodia only supports moderate levels of endemism.
IUCN has identified a single Center of Plant Diversity in
the country, the Cardamom Mountains (Davis et al 1995),
while BirdLife International has defined two Endemic Bird
Area (EBAs) that include parts of the country: the Southern
Vietnamese Lowlands; and the Thailand-Cambodia
Mountains (Eames et al 2002, BirdLife International 2004).
The most important center of plant and animal
endemism in Cambodia is the Cardamom and Elephant
Mountains. Although these mountains are still being
explored scientifically, studies to date have revealed
significant numbers of endemic and near-endemic species,
such as Chestnut-headed Partridge Arborophila
cambodiana, Cambodian Laughingthrush Garrulax
ferrarius, and Cardamom Banded Gecko Cyrtodactylus
intermedius (Daltry and Momberg 2000).
Globally threatened species
According to IUCN (2004), Cambodia supports
109 non-marine globally threatened species, of which
23 are Critically Endangered, 37 are Endangered, and
49 are Vulnerable. Although none of these species are
endemic to Cambodia, the country is of high global
significance for the conservation of many of them. For
example, Cambodia supports the majority of the global
populations of Giant Ibis Thaumatibis gigantea and
White-shouldered Ibis Pseudibis davisoni, two Critically
Endangered bird species, as well as the largest-known
remaining population of Siamese Crocodile Crocodylus
siamensis, another Critically Endangered species.
Cambodia is also notable for the conservation of
globally threatened primate species, supporting the largest
and most significant populations of Yellow-cheeked
Crested Gibbon Nomascus gabriellae (Vulnerable),
Pileated Gibbon Hylobates pileatus (Vulnerable), and
Black-shanked Douc Pygathrix nigripes (Endangered) in
the world.
Key sites for conservation
An analysis by BirdLife International, Wildlife
Conservation Society, and the Government of Cambodia
identified 40 Important Bird Areas (IBAs), internationally
important sites for the conservation of birds and
biodiversity, in Cambodia (Seng Kim Hout et al 2003).
This network of key sites for conservation covers 4.4
million ha, equivalent to 24% of the total land area of
Cambodia. In 2003, approximately 65% of Cambodia’s
IBA network was under some form of legal protection,
although only 55% was under the strictest forms of legal
.
51
protection (national park and wildlife sanctuary). Of the
different ecosystems in Cambodia, IBAs supporting
examples of offshore island, lowland riverine, and
seasonally inundated grasslands were significantly
under-represented within areas under the strictest form
of legal protection (Seng Kim Hout et al 2003).
Conservation corridors
A recent conservation-priority-setting exercise
supported by the Critical Ecosystem Partnership Fund
(CEPF) defined a set of “conservation corridors” across
most of the GMS, excluding northern and central
parts of Yunnan and Guangxi (Tordoff et al in prep.).
Conservation corridors comprise interconnected landscapes of core areas, linked by actual or potential habitat corridors that are potentially of sufficient size to
maintain intact biotic assemblages and natural processes
over the long-term. Nine conservation corridors were
defined in Cambodia (Tordoff et al in prep.), based on
the results of an earlier ecoregion-based conservation
assessment conducted by WWF (Baltzer et al 2001).
The conservation corridors defined by CEPFsupported exercise were used by the BCI as the basis
for defining “Biodiversity Conservation Landscapes,” the
establishment of which would help maintain the quality
of ecosystems, ensure sustainable use of shared
natural resources, and improve the livelihoods of people
in the GMS. Cambodia includes all or part of five
Biodiversity Conservation Landscapes: the Cardamom
and Elephant Mountains (which comprises the
Cardamom and Elephant Mountains conservation
corridor); the Tonle Sap Lake and Inundation Zone (which
comprises the Tonle Sap Inundation Zone corridor); the
Northern Plains Dry Forests (which comprises the
Northern Plains Dry Forests Conservation Corridor); the
Eastern Plains Dry Forests (which comprises the Eastern
Plains Dry Forests and Southern Annamites Western
Slopes corridors); and the Tri-border Forests (which
comprises the Cambodia-Lao PDR-Viet Nam Tri-border
Forests and Sekong Plains corridors, together with the
Xe Khampho-Xe Pian corridor in Lao PDR).
8.1.2 Lao PDR
Lao PDR is predominantly a hilly and mountainous
country. The north of the country is dominated by the
52
.
Northern Highlands, which are characterized by rugged
and steep topography. The highest peak in the Northern
Highlands is Phou Bia, at 2,820m asl, although elevations
are typically in the range from 500 to 2,000m asl. In the
center and south of the country, the key topographical
feature is the Annamite mountains, which run along the
international border with Viet Nam, and reach a maximum
elevation of 2,711m asl. To the west of the Annamite
mountains lies the Mekong plain, which is characterized
by plains and low hills. The major river in Lao PDR is
the Mekong, which runs from north to south, and drains
almost all of the country apart from the extreme northeast.
Although forest cover in Lao PDR has declined
greatly over the past century, the country still retains
extensive areas of forest, particularly in the center and
south (Duckworth et al 1999). In the Northern Highlands,
natural habitats were dominated originally by dry evergreen forest, with substantial areas of deciduous forest
also present. Much of the original forest cover has,
however, been lost as a result of shifting cultivation and
associated fire, and replaced by Imperata grassland,
bamboo, and other secondary vegetation (Duckworth et
al 1999). Dry evergreen forest is also the dominant
natural habitat type in the Annamite mountains, although
wet evergreen forest is found in areas where the main
mountain ridge is sufficiently low for them to be influenced
by the northeastern monsoon. In the northern section of
the Annamite chain, in Khammouan province, extensive
areas of limestone karst, supporting specialized vegetation
formations, can be found. In addition, upper montane
evergreen forest can be found at higher elevations in
both the Northern Highlands and Annamite mountains.
Although large areas of the Annamite mountains have
been affected by shifting cultivation, forest loss has not
been as extensive as in the Northern Highlands. Nevertheless, many forest areas have been degraded by
logging (Duckworth et al 1999).
The original vegetation of the Mekong plain was
dominated by semi-evergreen forest, with extensive
areas of deciduous dipterocarp forest and mixed deciduous
forest. Although the semi-evergreen forest has been the
focus of logging activities, large areas remain relatively
intact, particularly on steep slopes. The major focus of
human activities has been low lying areas in the floodplain
of the Mekong River, and the original forest cover of these
areas has been largely converted to permanent agriculture.
Lao PDR still supports significant examples of dry forest
ecosystems dominated by deciduous dipterocarp forest,
particularly in Champasak and Attapu provinces. However,
these are typically subjected to higher levels of human
disturbance and support lower densities of megafauna
than similar ecosystems in Cambodia.
considered reasonably likely to occur (Duckworth et al
1999). Lao PDR also supports at least 160 reptile and
amphibian species (Duckworth et al 1999), although
herpetological species inventory data for the country are
not exhaustive. In particular, the north of the country
and areas over 1,000m asl have been under-represented
by herpetological surveys to date (Duckworth et al 1999).
Aquatic ecosystems in Lao PDR range from fastflowing mountain streams to wide, slow-flowing lowland
rivers, such as the Mekong and Sekong. Aquatic ecosystems make an important contribution to the livelihoods
of a significant proportion of the rural population, and
support a number of globally threatened species.
Almost all aquatic ecosystems in Lao PDR are subject
to fishing and other forms of human disturbance, usually
at high levels (Duckworth et al 1999). Specific threats to
these ecosystems include unsustainable fishing practices
and changes to river flow patterns due to widening of
navigation channels or construction of hydropower dams.
The main center of endemism in Lao PDR is the
Annamite mountains. These mountains, which also lie
within Viet Nam and, marginally, Cambodia, support
remarkable levels of endemism in plants and animals,
including a significant proportion of the species endemic
to the GMS. These levels of endemism have been
attributed to the mountains’ geological and evolutionary
history. Specifically, fluctuations in the relative extent of
evergreen forest during Pleistocene glacial episodes are
thought to have enabled evergreen-forest-specialist
species to evolve in isolation (Baltzer et al 2001). Species
endemic to the Annamite mountains include Saola
Pseudoryx nghetinhensis, Red-shanked Douc Pygathrix
nemaeus, Annamite Striped Rabbit Nesolagus timminsi,
and Crested Argus Rheinardia ocellata. Within Lao PDR,
several of these species are associated with wet evergreen forest, located in areas influenced by the northeastern monsoon.
Four Global 200 Ecoregions defined by WWF
(2005) lie wholly or partly within Lao PDR: the Northern
Indochina Subtropical Moist Forests; the Annamite Range
Moist Forests; the Indochina Dry Forests; and the
Mekong River.
As with all countries in the GMS, species inventory
data for Lao PDR are far from comprehensive, even for
the better-studied groups, such as large mammals, birds,
and reptiles. New species continue to be added to lists
for the country (e.g., Duckworth et al 2002), and recent
years have seen a number of discoveries of new species
to science. Most notable among the recent discoveries
has been that of Laotian Rock Rat Laonastes aenigmamus
(Jenkins et al 2005) from limestone karst areas in the
center of the country, which represents not only a new
species and genus but also a new family of mammals.
Other notable discoveries over the last decade include a
large number of new fish species from the Mekong
basin (e.g., Kottelat 1998, 2000; Vidthayanon and
Jaruthanin 2002).
Lao PDR has a rich and diverse avifauna, reflecting
the wide range of habitats in the country. Approximately
700 species of bird are known or provisionally recorded
from Lao PDR, and a further 100 or so species are
Lao PDR includes parts of three EBAs defined by
BirdLife International: the Annamese Lowlands, the Kon
Tum Plateau, and the Eastern Himalayas (Ounekham
and Inthapatha 2003). The former two lie within the
Annamite mountains. In addition, IUCN has identified a
single Center of Plant Diversity in Lao PDR, the Bolaven
Plateau, which is located in the south of the country
(Davis et al 1995).
According to IUCN (2004), Lao PDR supports 101
globally threatened species, comprising 17 Critically
Endangered, 28 Endangered and 56 Vulnerable species.
Although no globally threatened species is endemic to
the country, Lao PDR supports an endemic species of
primate, Lao Leaf Monkey Trachypithecus laotum, which
is currently assessed as Data Deficient. Lao PDR is of
very high global significance for the conservation of
several globally threatened species, particularly ones
endemic to the Annamite mountains, such as Saola and
Red-shanked Douc (both Endangered). Moreover, within
.
53
the GMS, Lao PDR supports some of the most important regional populations of a number of large mammal
species, including Tiger and Asian Elephant (both
Endangered).
An analysis by BirdLife International, Wildlife
Conservation Society, and the Government of Lao PDR
identified a total of 27 IBAs in Lao PDR (Ounekham and
Inthapatha 2003). These sites cover a total area of 2.4
million ha, equivalent to 10% of the total land area of the
country. During a recent conservation-priority-setting
exercise supported by CEPF, the results of this analysis
were expanded, by including data on other taxonomic
groups, to define a provisional list of 38 “Key Biodiversity
Areas” (KBAs): sites of international importance for
conservation (Tordoff et al in prep.). Of the 38 KBAs in
Lao PDR, only 22 (58% of the total) are included, partly
or fully, within gazetted protected areas (Tordoff et al in
prep.).
The priority-setting exercise supported by CEPF
also defined 11 conservation corridors in Lao PDR
(Tordoff et al in prep.), based on the results of an earlier
ecoregion-based conservation assessment conducted by
WWF (Baltzer et al 2001). These conservation corridors
were used by the BCI as the basis for defining Biodiversity
Conservation Landscapes, four of which lie partly within
Lao PDR: the Northern Annamites (which comprises the
Northern Annamites, Central Indochina Limestone, and
Quang Binh-Quang Tri-Xe Bangfai conservation corridors);
the Central Annamites (which comprises the Central
Annamites corridor); the Northern Plains Dry Forests
(which comprises the Northern Plains Dry Forests
conservation corridor); and the Tri-border Forests (which
comprises the Cambodia-Lao PDR-Viet Nam Tri-border
Forests and Xe Khampho-Xe Pian corridors, together
with the Sekong Plains corridor in Cambodia).
8.1.3 Myanmar
Myanmar is one of the largest countries in the GMS
and exhibits an extraordinary diversity of topography and
climate. Elevations range from sea level to 5,881m asl
at the summit of Mount Hkakaborazi in the far north. In
between are several mountain ranges, extensive lowland
54
.
plains, and several major rivers. Much of Myanmar is
drained by the Irrawaddy (Ayeyarwady) River and its
tributary the Chindwin, although the country also encompasses stretches of the Salween (Thanlwin) and Mekong
Rivers.
Due to its great topographical and climatic variation, Myanmar supports a correspondingly wide range
of natural ecosystems. Forest types range from lowland
wet evergreen forest in the south of the country to
sub-alpine forest at high elevations in the far north; in
between, montane evergreen forest, mixed deciduous
forest, deciduous dipterocarp forest, thorn forest, and
freshwater swamp forest can be found. Natural forest
covers around 66% of the country’s land area (Leimgruber
et al 2004), making it one of the most forested countries
in the GMS. Myanmar is particularly notable for supporting
extensive, little disturbed areas of lowland wet evergreen
forest, a forest type that has been extensively degraded
and cleared elsewhere in Southeast Asia, through
commercial logging and conversion to cash crops (Tordoff
et al 2005).
In addition to forest habitats, Myanmar also supports
a wide diversity of freshwater ecosystems, ranging from
fast-flowing mountain streams to wide, slow-flowing lowland rivers, as well as large lakes and other non-flowing
wetlands (Tordoff et al 2005). Important habitats
associated with lowland rivers include ox-bow lakes and
alluvial grasslands, which have been extensively lost
throughout the rest of the GMS (Tordoff et al 2005). As
elsewhere in the GMS, Myanmar’s freshwater ecosystems
are frequently subjected to high levels of human use,
often with negative implications for biodiversity (Tordoff
et al 2005).
Although the coastal ecosystems in Myanmar are
among the most extensive and least disturbed in the
GMS, they have not escaped the threats that have led to
the extensive degradation and loss of these ecosystems
elsewhere in the region, such as aquacultural expansion
and fuelwood collection (Tordoff et al 2005). Mangrove
ecosystems are experiencing some of the highest rates
of loss in the country: over 20% of the forest cover of the
Ayeyarwady Delta was lost between 1990 and 2000, for
example (Leimgruber et al 2004).
The global significance of Myanmar’s natural
habitats and ecosystems has been recognized by a
number of conservation priority setting exercises. The
country includes all or part of nine Global 200 Ecoregions
defined by WWF (2005): the Eastern Himalayan Alpine
Meadows; the Eastern Himalayan Broadleaf and Conifer Forests; the Naga-Manupuri-Chin Hills Moist Forests;
the Kayah-Kayin/Tenasserim Moist Forests; the Northern
Indochina Subtropical Moist Forests; the Mekong River;
the Salween River; Inle Lake; and the Andaman Sea.
Available data indicate that Myanmar supports
extraordinarily high plant and vertebrate diversity. A
recent checklist catalogued 11,800 species of gymnosperms and angiosperms for the country (Kress et al
2003). Northern Myanmar is particularly rich floristically:
Kingdon-Ward (1944-5) recorded 6,000 vascular plant
species in this area, of which perhaps 25% are endemic.
IUCN identified five Centers of Plant Diversity in
Myanmar, comprising: Northern Myanmar (with an
estimated 6,000 vascular plant species); Tanintharyi (with
an estimated 3,000); Natmataung National Park and the
Chin Hills (with an estimated 2,500); the Bago Yoma
Range; and the Shan Plateau (each with an estimated
2,000) (Davis et al 1995).
Myanmar supports at least 250 species of mammal,
including seven that are thought to be endemic to the
country (Groombridge and Jenkins 1994, Bates et al
2004). Regarding birds, Myanmar supports at least 1,020
species (Smythies 1986), the greatest diversity of any
GMS country apart from the PRC (Duckworth et al 1999,
Robson 2000, Round 2000, MacKinnon and Phillips
2000). Myanmar supports at least 270 species of reptile
and 80 species of amphibian, including seven
nationally endemic species of turtle (Tordoff et al 2005).
The freshwater fish fauna of Myanmar is little known but
the country is estimated to support at least 350 species,
a significant fraction of which may be national endemics
(S. Kullander, C. Ferraris, Jr and Fang Fang in litt. 2004
to Tordoff et al 2005).
For all major taxonomic groups, national species
inventories are still incomplete: new species records for
the country are being continually made, and new
species for science are regularly described. In 1997, for
example, a new species of muntjak, Leaf Deer Muntiacus
putaoensis, believed to be the smallest deer in the world,
was discovered in the north of the country (Amato et al
1999). Recent surveys of other groups have resulted in
the description of 14 new species of reptiles and
amphibians (e.g., Slowinski and Wuster 2000, Vindum
et al 2003) and 27 new species of freshwater fish (e.g.,
Kullander and Britz 2002, Kottelat 2004).
One of the main centers of endemism in Myanmar
is the Central Dry Zone, an area of plains, which experiences a very dry, seasonal climate, as a result of being
sheltered from the southwest and northeast monsoons
by surrounding mountain ranges. Other centers of
endemism include the Eastern Himalayas, which extend
into northern Myanmar, although many of the species
endemic to these mountains are shared with neighboring
countries. Myanmar includes all or part of four EBAs
defined by BirdLife International: the Eastern Himalayas,
the Irrawaddy Plains, the Yunnan Mountains, and the
Andaman Islands (Stattersfield et al 1998). Regarding
freshwater biodiversity, Inle Lake is known to support
several nationally endemic fish species but other centers
of endemism may have been overlooked due to patchy
collecting effort elsewhere.
According to IUCN (2004), Myanmar supports 149
non-marine globally threatened species, of which 27 are
Critically Endangered, 41 are Endangered and 81 are
Vulnerable. Nine of these species are thought to be
endemic to Myanmar: Joffre’s Pipistrelle Pipistrellus
joffrei; Anthony’s Pipistrelle P. anthonyi; White-browed
Nuthatch Sitta victoriae; Burmese Star Tortoise
Geochelone platynota; Arakan Forest Turtle Heosemys
depressa; Burmese Roofed Turtle Kachuga trivitatta;
Burmese Eyed Turtle Morenia ocellata; Burmese Frogfaced Softshell Turtle Chitra vandijki; and Burmese
Peacock Softshell Nilssonia formosa.
In addition to these endemic species, Myanmar is
of high global significance for the conservation of a
number of other species. These include Gurney’s Pitta,
a Critically Endangered species endemic to southern
Myanmar and peninsular Thailand, which is highly
threatened by clearance of its lowland forest habitat; Eld’s
Deer, a Vulnerable species, which, outside of Myanmar,
is restricted to small, isolated populations in
northeastern India, Lao PDR, Cambodia, and Hainan
.
55
Island; and Hoolock Gibbon Bunipithecus hoolock, an
Endangered species of which Myanmar potentially
supports the largest remaining population in the world.
A list of 55 IBAs in Myanmar has been prepared
by BirdLife International (2004). This analysis was
expanded by the addition of globally important sites for
the conservation of other taxonomic groups, to prepare
a preliminary list of 76 KBAs (Tordoff et al 2005). The
total number of globally important sites for conservation
in Myanmar would undoubtedly be greater, were more
detailed data available on the distribution and conservation status of species in Myanmar, particularly in Shan
State. Of the 76 KBAs in Myanmar, only 23 (or 30% of
the total) are designated or officially proposed as protected
areas, while the remaining 53 (70%) are unprotected
(Tordoff et al 2005). There may be, therefore, a need to
review and expand the national protected area system,
in order to increase the coverage of under-represented
species and habitats, and/or to develop alternative
approaches to site conservation outside of formal protected
areas, such as conservation by local communities.
Fifteen conservation corridors have been defined
in Myanmar, covering a total area of 293,400 km 2,
equivalent to 43% of the national land area (Tordoff et al
2005). These corridors include the Nan Yu Range, in
the northeast of the country, which is included within the
BCI’s Mekong Headwaters Biodiversity Conservation
Landscape. They also include the Sundaic Subregion
(44,200 km2), an extremely large block of natural habitat
in Tanintharyi Division and neighboring Mon and Kayin
States, which comprises the Myanmar portion of the BCI’s
Western Forest Complex Biodiversity Conservation Landscape. The available information indicates that the
Sundaic Subregion still supports rich lowland evergreen
forest communities, including important populations of
Asian Tapir Tapirus indicus (Vulnerable), Tiger Panthera
tigris (Endangered), and Plain-pouched Hornbill Aceros
subruficollis (Vulnerable) (Lynam 2003, Tordoff et al
2005). Of greatest significance, the Sundaic Subregion
supports the vast majority of the global population of
Gurney’s Pitta (Critically Endangered) (Eames et al 2005).
The Sundaic Subregion is particularly important
for the conservation of lowland wet evergreen forests
56
.
and mangroves, two ecosystems that are significantly
under-represented within the protected area systems of
the GMS. Unfortunately, the lowland wet evergreen
forests of the Sundaic Subregion are under severe and
immediate threat of conversion to oil palm plantations,
while its mangrove habitats are threatened by conversion to aquaculture. Other threats to biodiversity in the
corridor include hunting, mining, timber extraction, and
over-exploitation of Non Timber Forest Products (NTFPs)
(Tordoff et al 2005).
8.1.4 PRC (Yunnan and Guangxi)
Yunnan Province and Guangxi Zhuang Autonomous
Region are located in the south of the PRC. Both areas
have a more tropical climate than the rest of the country,
and have close faunal and floral affinities with the rest of
the GMS. The main exception to this is highland areas
in Yunnan, which have strong Sino-Himalayan affinities.
Yunnan is situated to the southeast of the Tibetan
(Qinghai-Xizang) Plateau, which is the origin of two of
the major rivers in the GMS: the Salween (Nu Jiang)
and Mekong (Lancang Jiang). Western Yunnan is
drained by these two rivers, while the southeast is drained
by the Red River and parts of the northeast are included
within the catchment of the Yangtze (Chang Jiang).
Yunnan has some of the most complex topography in
the world, with high mountain ranges extending southeastwards from the Himalayas bisected by deep gorges.
Yunnan contains the highest peak in the GMS: Mount
Kagepo (6,740m asl).
Guangxi does not contain the high mountain ranges
that characterize Yunnan. Rather, it is characterized by
hilly topography, with several moderately high mountain
ranges and significant areas of limestone karst, most
notably around Guilin in the northeast. Much of Guangxi
is drained by the Pearl River (Zhu Jiang), one of Asia’s
largest rivers.
Terrestrial ecosystems range from alpine meadows
and coniferous forests at higher elevations in Yunnan’s
mountains, to lowland moist evergreen forests in
Xishuangbanna prefecture in the southwest of the
province. Montane evergreen forest is distributed in highland areas in Yunnan, although it has been cleared and
degraded in many areas. Lowland areas in both Yunnan
and Guangxi have been extensively cleared of forest,
following centuries of human settlement. Much of the
natural forest that does remain at low elevations is
distributed on limestone karst formations, which are
largely unsuitable for conversion to other land uses.
Although greatly fragmented, remaining patches of limestone forest are very important for the conservation of
endemic species, particularly plants, primates, and
invertebrates. While limestone forests are less threatened
by conversion to agriculture that many other terrestrial
ecosystems, the plant and animal species they support
are often threatened by over-exploitation, while the very
existence of the karst formations themselves is, in places,
threatened by quarrying.
The high significance of the PRC for the conservation of natural ecosystems is illustrated by the fact that
17 of the Global 200 Ecoregions defined by WWF (2005)
lie wholly or partly within the country. Of these, nine
Global 200 Ecoregions are located partly or fully within
the GMS: the Northern Indochina Subtropical Moist
Forests, the Southeast China-Hainan Moist Forests, the
Eastern Himalayan Broadleaf and Conifer Forests, the
Hengduan Shan Coniferous Forests, the Eastern
Himalayan Alpine Meadows, the Mekong River, Xi Jiang
Rivers and Streams, the Salween River, and Yunnan
Lakes and Streams.
Specific species inventory data are not available
for the parts of the PRC within the GMS. Nevertheless,
given the size of Yunnan and Guangxi, and the degree
of topographical and climatic variation within them, they
can be expected to support comparable levels of
species diversity to the other GMS countries.
Nine Centers of Plant Diversity defined by IUCN
lie wholly or partly within Yunnan and Guangxi (Davis et
al 1995). These comprise: Xishuangbanna Region (with
an estimated 4,000 to 4,500 vascular plant species, of
which 120 species are strictly endemic); Nanling Mountain
Range (with over 3,000 species); Guangxi Zhuang Limestone Region (with an estimated 2,500 to 3,000 species);
Ailao Shan (with an estimated 2,000 species); South
Yulong Mountains; Haba Snow Mountains; Gaoligong
Mountains, Nu Jiang River and Biluo Snow Mountains;
and Southern Guangxi.
Yunnan and Guangxi support a large number of
endemic species. They are particularly important for the
conservation of endemic plant species. Moreover, the
importance of Yunnan and Guangxi for the conservation
of restricted-range bird species is illustrated by the fact
that they contain parts of five EBAs defined by BirdLife
International: the Central Sichuan Mountains, the
Chinese Subtropical Forests, the Eastern Himalayas, the
Southeast Chinese Mountains, and the Yunnan Mountains (Stattersfield et al 1998).
According to IUCN (2004), the PRC supports 763
non-marine globally threatened species, of which 113
are Critically Endangered, 271 are Endangered, and 379
are Vulnerable. These figures are for the whole country,
however, and only a proportion occurs within the GMS.
Because of the high levels of local endemism in Yunnan
and Guangxi, many of the globally threatened species in
the Chinese portion of the GMS occur nowhere else in
the world. A number of these species have extremely
restricted global ranges. These include: Nyssa
yunnanensis, Vatica xishuangbannaensis and
Pterospermum menglunense, three Critically Endangered plant species known only from Xishuangbanna in
Yunnan; P. kingtungense, a Critically Endangered plant
species known only from Babian Jiang in Yunnan; and
Guangxi Warty Newt Paramesotriton guangxiensis, an
Endangered amphibian species known only from
Paiyangshan in Guangxi.
A preliminary list of 20 IBAs in Yunnan was
prepared by BirdLife International (2004). This analysis
was expanded by the addition of seven additional sites
of international importance for the conservation of other
taxonomic groups (Tordoff et al in prep.) to prepare a list
of 27 KBAs for the province. In Guangxi, a provisional
list of 40 IBAs was prepared (BirdLife International 2004),
and then expanded by the addition of 12 sites important
for other taxonomic groups to prepare a list of 52 KBAs
for the autonomous region (Tordoff et al in prep.). These
lists of KBAs are far from comprehensive, in particular
because the analysis of taxonomic groups other than
birds only included the parts of Yunnan and Guangxi that
lie within the Indo-Burma Hotspot (Tordoff et al in prep.).
.
57
Of the 27 KBAs defined in Yunnan to date, 25 (93%
of the total) are partly or fully included within protected
areas. For Guangxi, 42 out of 52 KBAs (81%) are partly
or fully included within protected areas. These figures
indicate that the coverage of sites of global conservation
importance within protected areas may be relatively good
in the parts of the GMS within the PRC.
Nine conservation corridors have been defined in
the parts of Yunnan and Guangxi within the Indo-Burma
Hotspot (Tordoff et al in prep.). Two of these conservation
corridors are included within the BCI’s Mekong
Headwaters Biodiversity Conservation Landscape:
Xishuangbanna-Simao; and the Mekong River and
Major Tributaries.
8.1.5 Thailand
Like many other countries in the GMS, Thailand
has a very diverse topography. Elevations range from
sea level, along the coasts of the Andaman Sea and Gulf
of Thailand, to 2,595m asl, at the summit of Doi Inthanon
in the northwest. The principal lowland areas are the
Central Plain, in the center of the country, and the Khorat
Plateau, in the northeast. The Phetchabun mountains
divide these two lowland areas. The highest mountains
in the country are in the north but there are also significant mountain ranges along the international borders with
Myanmar, Lao PDR, and Cambodia. Two of the GMS’s
major rivers, the Salween and Mekong, flow along Thailand’s northwestern and eastern borders, respectively,
while a third, the Chao Phraya, drains much of the center
and north of the country.
In mountainous areas throughout Thailand, montane
evergreen forest is the predominant natural ecosystem.
This ecosystem remains widespread and relatively
undisturbed, although significant areas have been
affected by shifting cultivation and associated fire,
particularly in the north. At lower elevations, lowland
moist evergreen and semi-evergreen forests are widely
distributed, while deciduous dipterocarp forest is
concentrated in parts of the west, north, and northeast.
Deciduous dipterocarp forest has been degraded and
cleared in many areas, particularly in the northeast.
58
.
The lowlands of peninsular Thailand originally
supported large expanses of lowland wet evergreen
forest. The faunal and floral communities of this
ecosystem are species rich, and have a very strong
Sundaic component. However, because of the suitability
of these areas for the cultivation of cash crops, such as
rubber and oil palm, and the abundance of valuable timber
species, Thailand’s lowland wet evergreen forests have
been extensively cleared and fragmented. Some of the
largest and least disturbed patches that remain can be
found along the international border with Malaysia.
The growth of Thailand’s economy and human
population, coupled with unsustainable management
practices, have resulted, over the last half-century, in
severe over-exploitation of the country’s natural
resources. For example, Thailand’s forest cover declined
from an estimated 53% in 1961 to 26% in 1995 (WCMC
1997). The impacts on certain other terrestrial ecosystems were even greater: natural grasslands, which were
once widespread in Thailand, particularly in the
floodplains of rivers, almost totally disappeared, as a
result of conversion to agriculture, human settlement, and
other land uses.
Aquatic ecosystems in Thailand include slowflowing, lowland rivers, such as the Mekong, the Chao
Phraya and their major tributaries, fast-flowing, rocky
mountain streams, and freshwater lagoons, such as
Thale Noi. Coastal ecosystems include intertidal mudflats,
sandy beaches as well as significant areas of mangrove.
As is the case with terrestrial ecosystems, aquatic and
coastal ecosystems have been severely impacted by
unsustainable natural resource use: fish stocks have
been depleted, mangroves have been extensively
converted to aquaculture, and freshwater ecosystems
have been affected by industrial, agricultural, and
domestic pollution (Bugna and Rambaldi 2001).
In spite of the declines in extent and condition
undergone by natural habitats in Thailand over recent
decades, significant areas of relatively extensive and
little-disturbed natural habitat remain, particularly within
the north, west, south and southeast of the country.
These areas still support faunal and floral communities
that are near to complete in terms of species composition.
Thailand includes parts of eight Global 200 Ecoregions
defined by WWF (2005): the Northern Indochina Subtropical Moist Forests, the Kayah-Karen/Tenasserim
Moist Forests, the Peninsular Malaysian Lowland and
Montane Forests, the Cardamom Mountains Moist
Forests, the Indochina Dry Forests, the Mekong River,
the Salween River, and the Andaman Sea.
Because of the wide climatic, latitudinal, and
altitudinal variation within Thailand, the country supports
relatively high species richness. The country has been
estimated to support between 20,000 and 25,000
species of vascular plant, and over 3,000 species of
vertebrate (MacKinnon 1997). Regarding the best-studied
group, birds, Thailand supports at least 960 species
(Round 2000).
IUCN has identified nine Centers of Plant Diversity
in Thailand, comprising: Thung Yai-Huai Kha Khaeng
(which is estimated to support over 2,500 species of
vascular plants); Khao Yai (with an estimated 2,000 to
2,500 species); Doi Suthep-Pui (with over 2,000 species);
Tarutao (with an estimated 2,000 species); Doi Chiang
Dao (with over 1,200 species); Doi Inthanon; Khao Soi
Dao; the Limestone Flora; and the Wet Seasonal Evergreen Forests of South-east Thailand (Davis et al 1995).
Compared with other GMS countries, Thailand
supports moderate levels of endemism, at least within
relatively better-studied taxonomic groups. Thailand
supports at least 120 endemic plant species (Bugna and
Rambaldi 2001), while endemic vertebrate species
comprise at least six mammals, 31 reptiles, eight
amphibians, and 29 fish (OEPP 2000). The number of
endemic species in these groups may be higher than
these figures indicate, as new species to science continue
to be described for the country (e.g., Vidthayanon 2003,
Vidthayanon and Kottelat 2003).
One reason for the moderate levels of nationallevel endemism in Thailand is that many species with
restricted global distributions are found in mountainous
areas, which, in Thailand’s case, are concentrated along
international borders. It is no surprise, therefore, that
the two EBAs defined in Thailand by BirdLife International are shared with neighboring countries: Sumatra
and Peninsular Malaysia; and the Thailand-Cambodia
Mountains (Bird Conservation Society of Thailand 2004).
Thailand supports 215 non-marine globally threatened
species, of which 49 are Critically Endangered, 55 are
Endangered, and 111 are Vulnerable (IUCN 2004). Nineteen of these species are known only from Thailand.
They comprise: two species of mammal, Neill’s Longtailed Giant Rat Leopoldamys neilli (Endangered) and
Surat Serotine Eptesicus dimissus (Vulnerable); one species
of bird, White-eyed River-martin Eurochelidon sirintarae
(Critically Endangered); two species of amphibian, Thai
Slender Toad Ansonia siamensis and Smith’s Wrinkled
Frog Ingerana tasanae (both Vulnerable); seven species
of fish, Betta simplex, Cryptotora thamicola, Nemacheilus
troglocataractus, Oreoglanis siamensis, Puntius speleops,
Schistura jarutanini and S. oedipus (all Vulnerable); and
seven species of plant Cycas chamaoensis, C. tansachana
(both Critically Endangered), C. pranburiensis, Knema
austrosiamensis, K. conica, Wrightia lanceolata, and W.
viridifolia (all Vulnerable).
One of the above species, White-eyed Rivermartin, may already be extinct, not having been
conclusively recorded since 1978 (BirdLife International
2001). However, it is possible that this rare and
enigmatic species still survives somewhere in the GMS.
At least one mammal species that formerly
occurred in Thailand is thought already to have gone
extinct globally: Schomburgk’s Deer Cervus
schomburgki. This species once inhabited the plains and
swamps of the Central Plain but the last known individual
was killed in 1938 (Lekagul and McNeely 1977). A second
mammal species that formerly occurred in Thailand and
may also have gone extinct globally is Kouprey. There
have been no confirmed records of this Critically
Endangered species, which also formerly occurred in
Cambodia, Lao PDR, and Viet Nam, for more than 20
years. Thailand also supports the last known population
of Hairy Rhinoceros Dicerorhinus sumatrensis in the
GMS. A small population of this Critically Endangered
mammal species survives at Hala-Bala Wildlife Sanctuary
in the far south.
A total of 62 IBAs have been identified in Thailand,
covering a total area of 4.4 million ha, equivalent to 9%
of the total land area of the country (Bird Conservation
Society of Thailand 2004). The IBA analysis was expanded
.
59
during a recent conservation-priority-setting exercise
supported by CEPF, by the inclusion of data on other
taxonomic groups, to define 113 KBAs in the country.
Eighty four percent of these KBAs are partly or wholly
included in gazetted protected areas. This partly reflects
Thailand’s high protected area coverage, which, at over
17% of the national land area, is one of the highest in
the GMS. It may also partly reflect the fact that recent
biodiversity surveys have been heavily focused on
protected areas, with areas of natural habitat outside of
protected areas receiving relatively little survey effort.
Nineteen conservation corridors were defined in
Thailand through a recent conservation-priority-setting
exercise (Tordoff et al in prep.). These corridors were
based on an analysis of forest complexes conducted by
the Royal Forest Department (1999). The 19 conservation corridors include the Western Forest Complex, which,
together with the Sundaic Subregion corridor in Myanmar,
comprises the BCI’s Western Forest Complex Biodiversity
Conservation Landscape.
8.1.6 Viet Nam
The major rivers in Viet Nam are the Red River in
the north and the Mekong in the south. The deltas of
these two rivers comprise large alluvial plains, which are
the main centers of human population. The other major
lowland areas in the country are the coastal plain, which
runs along the length of the country, and western parts
of the Central Highlands, which are drained westward
by tributaries of the Mekong River. The main highland
areas in Viet Nam are the Hoang Lien mountains in the
northwest, which contain Mount Fan Si Pan (3,143m asl),
Viet Nam’s highest peak, and the Annamite mountains,
which extend the full length of the country, and reach a
maximum elevation of 2,711m asl. The lowlands of Viet
Nam have been largely converted to agriculture and
human settlement, with the result that natural lowland
habitats are fragmented and vastly reduced in extent. In
many highland areas, on the other hand, human population
densities are lower, and significant, continuous areas
of natural habitat remain, particularly in the Annamite
mountains.
60
.
Evergreen forest ecosystems are widely distributed
in Viet Nam, particularly in the north and center of the
country. Lowland evergreen forest is distributed at low
elevations, in areas with high rainfall and a short dry season.
Montane evergreen forest is the dominant natural habitat
above 1,000m asl throughout the country, except in parts
of the southern Annamite mountains, where natural
coniferous forest is distributed over large areas. In areas
with greater seasonality, such as parts of the Central
Highlands and the lowlands of southern Viet Nam, semievergreen forest and mixed deciduous forest are distributed.
Deciduous dipterocarp forest is found in areas with an
extended, pronounced dry season: lowland areas in the
Central Highlands, and localized areas in the coastal
zone of south-central Viet Nam.
Other terrestrial ecosystems in Viet Nam include
limestone forest, which is distributed on limestone karst
formations in central and northeastern Viet Nam, with
smaller areas elsewhere in the country. Limestone
forest ecosystems are characterized by high levels of
localized endemism, particularly in plants and invertebrates. However, they are threatened in many areas by
quarrying to supply the growing demand for construction
materials.
Viet Nam also supports a wide diversity of freshwater ecosystems, including rivers, natural lakes and
seasonally inundated grasslands. Wide, slow-flowing,
lowland rivers are the focus of human settlement
throughout Viet Nam and, as a result, the assemblages
of riverine species that characterize these ecosystems
elsewhere in the GMS have been dissociated almost
everywhere. Seasonally inundated grasslands are an
important habitat for such species as Sarus Crane Grus
antigone, and Wild Rice Oryza rufipogon, the wild
ancestor of cultivated rice. However, these ecosystems,
which were once widespread throughout the Mekong
Delta, are now reduced to a few small fragments, as a
result of conversion to agriculture and aquaculture
(Buckton et al 1999).
Coastal ecosystems in Viet Nam include
mangroves, intertidal mudflats and offshore islands.
Mangroves were once distributed along long stretches
of the coastline of Viet Nam, particularly in the Red River
and Mekong Deltas but are now vastly reduced in
extent. Intertidal mudflats, which are concentrated at
river mouths, are an important habitat for migratory
waterbirds, including several globally threatened species,
such as Spoon-billed Sandpiper Eurynorhynchus
pygmeus and Black-faced Spoonbill Platalea minor (both
Endangered). These ecosystems are subjected to high
levels of human disturbance, and are threatened in places
by afforestation with mangrove (Pedersen and Nguyen
Huy Thang 1996).
Century, the entire Vietnamese Mekong Delta was one
uninterrupted mosaic of wetlands and forests,
spanning 3.9 million ha. Today, the region has been
almost entirely converted to rice farming and other human
uses, and natural freshwater wetlands are reduced to a
few isolated fragments, mainly in areas of acid sulphate
soils, which are unsuitable for agriculture ( Buckton and
Safford 2004).
A prolonged period of rapid economic growth and
population expansion, preceded by a series of armed
conflicts, has had significant impacts on Viet Nam’s natural
ecosystems. Over the period 1945 to 1995, natural forest
cover declined from 43% to 29% of the national land
area (MARD 2001a), and much of the remaining forest
was degraded by over-exploitation. Although wartime
bombing, spraying of defoliants, and mechanized land
clearing resulted in the loss of significant areas of natural
forest (Collins 1990), the major causes of forest loss in
Viet Nam have been agricultural expansion, infrastructure
development, commercial logging, over-exploitation of
firewood and other forest products, and reliance on
destructive forms of pioneer agriculture by some
representatives of the ethnic minorities (De Koninck 1999,
Baltzer et al 2001).
While Viet Nam no longer supports extensive landscapes of undisturbed natural habitats, such as can still
be found in certain other GMS countries, it does support
very high levels of species endemism for a continental
country. For many species, habitats, and ecosystems,
Viet Nam represents the best (or only) opportunity in the
world for their conservation. The global significance of
Viet Nam for the conservation of natural ecosystems is
recognized by WWF (2005), who have defined six Global
200 Ecoregions partly within the country: the Northern
Indochina Subtropical Moist Forests, the Southeast
China-Hainan Moist Forests, the Annamite Range Moist
Forests, the Indochina Dry Forests, the Mekong River,
and Xi Jiang Rivers and Streams.
According to official statistics, the decline in Viet
Nam’s forest cover is beginning to be reversed: forest
cover increased from 9.3 million ha in 1995 to 12.1 million
ha in 2003 (MARD 2001b, 2005). However, these figures
mask the true situation, as over half of this increase can
be accounted for by an increase in the area of plantation
forest, which typically has limited biodiversity value.
Moreover, remaining natural forests are mostly degraded
and fragmented, and host depauperate faunal and
floral communities. Only a very small proportion of Viet
Nam’s forests could be considered to be in an undisturbed
condition, and these are concentrated on steep slopes,
at high elevations or in other inaccessible areas.
The picture for coastal ecosystems is even bleaker.
Over the second half of the 20th century, over 80% of
Viet Nam’s mangrove forests were lost, initially due to
wartime damage, and later through massive expansion
of shrimp aquaculture. Between 1991 and 2001, the total
area of coastal and marine aquaculture in Viet Nam
increased by 94% (MoFi 2001). The situation for aquatic
ecosystems is little better. At the beginning of the 19th
Viet Nam supports relatively high levels of
biodiversity for a medium-sized country. Viet Nam has
been evaluated as one of the 16 most biologically
diverse countries in the world (WCMC 1992), and is
especially significant for the conservation of particular
taxonomic groups. For example, Viet Nam is ranked
fourth in the world for a number of endangered primates,
and supports five of the world’s top 25 most endangered
primates (CI, MMBF, IUCN/SSC and IPS 2002).
IUCN has identified seven Centers of Plant Diversity
in Viet Nam, comprising: Phu Khan (with an estimated
4,000 to 5,000 species of vascular plants); Mount Fan Si
Pan (with over 3,000 species); Bach Ma-Hai Van (with
an estimated 2,500 species), Cat Tien (with an estimated
2,500 species); Langbian-Dalat Highland (with an estimated
2,000 species); Cuc Phuong (with nearly 2,000 species);
and Yok Don (with an estimated 1,500 species) (Davis
et al 1995).
Since the early 1990s, Viet Nam has drawn the
attention of the global scientific community, with a series
of remarkable discoveries of new mammal species. Five
.
61
of these species, Grey-shanked Douc Pygathrix cinerea
(Nadler 1997), Saola (Vu Van Dung et al 1993), Largeantlered Muntjac Muntiacus vuquangensis (Do Tuoc et
al 1994, Timmins et al 1998), Annamite Muntjac M.
truongsonensis (Pham Mong Giao et al 1998, Timmins
et al 1998), and Annamite Striped Rabbit (Averianov et
al 2000), are known only from the Annamite mountains,
highlighting the significance of this area as a center of
endemism. Other recently discovered species from the
Annamite mountains include three birds: Golden-winged
Laughingthrush Garrulax ngoclinhensis (Eames et al
1999a), Chestnut-eared Laughingthrush G. konkakinhensis
(Eames and Eames 2001), and Black-crowned Barwing
Actinodura sodangorum (Eames et al 1999b).
Other centers of endemism in Viet Nam include
limestone karst areas in the north and center of the country,
which support many endemic plants and animals, including
several primates, such as Delacour’s Leaf Monkey
Trachypithecus delacouri and Tonkin Snub-nosed Monkey
Rhinopithecus avunculus, and several conifers, such as
Amentotaxus hatuyensis and Xanthocyparis vietnamensis.
BirdLife International has identified five EBAs, centers
of bird endemism, in Viet Nam: the Annamese Lowlands,
the Da Lat Plateau, the Kon Tum Plateau, the Southeast
Chinese Mountains, and the Southern Vietnamese
Lowlands (Tordoff 2002).
According to IUCN (2004), Viet Nam supports 286
globally threatened species, the largest number of any
country in the GMS outside of the PRC. Of these species,
47 are Critically Endangered, 82 are Endangered, and
157 are Vulnerable.
The high levels of faunal and floral endemism
supported by Viet Nam are reflected in the 72 globally
threatened species that are endemic to the country.
These include: five mammal species, Small-toothed Mole
Euroscaptor parvidens, Viet Nam Leaf-nosed Bat
Paracoelops megalotis, Tonkin Snub-nosed Monkey,
Delacour’s Leaf Monkey, and Chapa Pygmy Dormouse
Typhlomys chapensis (all Critically Endangered); six bird
species, Grey-crowned Crocias Crocias langbianis,
Collared Laughingthrush Garrulax yersini, Edwards’s
Pheasant Lophura edwardsi, Vietnamese Pheasant
L. hatinhensis (all Endangered), Chestnut-eared
Laughingthrush and Golden-winged Laughingthrush
62
.
(both Vulnerable); one reptile species, Vietnamese Pond
Turtle Mauremys annamensis (Critically Endangered);
and five amphibian species, Theloderma bicolor, Hoang
Lien Moustache Toad Vibrissaphora echinata (both
Endangered), Annam Spadefoot Toad Brachytarsophrys
intermedia, Leptolalax tuberosus, and Vietnamese
Salamander Paramesotriton deloustali (all Vulnerable).
Viet Nam also supports an endemic taxon of Whiteheaded Leaf Monkey Trachypithecus poliocephalus
(Critically Endangered), which is considered by some
authorities to be a separate species.
In addition, 55 globally threatened plant species
are endemic to Viet Nam: Cycas fugax, Hopea cordata,
H. hongayanensis, Shorea falcata, Xanthocyparis
vietnamensis (all Critically Endangered), Alstonia
annamensis, Amentotaxus hatuyensis, Cinnamomum
balansae, Cycas aculeata, C. hoabinhensis, Dalbergia
annamensis, D. mammosa, Mangifera dongnaiensis,
Schefflera kontumensis, S. palmiformis (all Endangered),
Actinodaphne ellipticbacca, Alleizettella rubra,
Amentotaxus poilanei, Aquilaria banaensae,
Bennettiodendron cordatum, Bursera tonkinensis,
Caesalpinia nhatrangense, Camellia fleuryi, C. gilbertii,
C. pleurocarpa, Cleistanthus petelotii, Craibiodendron
scleranthum, Croton phuquocensis, C. touranensis,
Cycas elongata, C. condaoensis, C. inermis, C.
lindstromii, C. micholitzii, C. nongnoochiae, C.
pachypoda, Goniothalamus macrocalyx, Helicia
grandifolia, Horsfieldia longiflora, Huodendron
parviflorum, Knema mixta, K. pachycarpa, K. pierrei, K.
poilanei, K. sessiflora, K. squamulosa, Mangifera
minutifolia, Mouretia tonkinensis, Phoebe poilanei,
Pinus krempfii, Pistacia cucphuongensis, Sinoradlkofera
minor, Styrax litseoides, Trigonostemon fragilis and
Vitex ajugaeflora (all Vulnerable).
Despite the large and growing number of threatened
species in Viet Nam, relatively few species are known to
have become nationally extinct. Vertebrate species
thought to have become extinct in Viet Nam since 1900
include Hairy Rhinoceros Dicerorhinus sumatrensis,
Sika Cervus nippon, Kouprey Bos sauveli, Wild Water
Buffalo Bubalus arnee, Indian Skimmer Rynchops
albicollis, White-crowned Hornbill Aceros comatus and
Mangrove Terrapin Batagur baska. Of these, only Kouprey
may have become extinct globally.
Although Viet Nam appears to have retained most
of its species into the 21st Century, many species that do
survive persist only as small, highly fragmented
populations of doubtful long-term viability. For example,
three of Viet Nam’s four endemic primates have
populations of under 500 individuals (Nadler et al 2003),
while the population of Lesser One-horned Rhinoceros
Rhinoceros sondaicus at Cat Tien National Park, one of
only two known populations of this species in the world,
numbers only 6 or 7 individuals (Polet et al 1999). It is
likely that, if current trends continue, the first decades of
the 21st century will witness a wave of species extinctions
in Viet Nam, unprecedented in the country’s history.
An analysis by BirdLife International and the
Government of Viet Nam identified 63 IBAs in Viet Nam,
covering a total area of 1.7 million ha, equivalent to 5%
of the country’s land area (Tordoff 2002). During a
recent CEPF-supported conservation-priority-setting
exercise, the results of this analysis were expanded, by
including data on other taxonomic groups, to define a
provisional list of 102 KBAs: sites of international importance for conservation (Tordoff et al in prep.). Of the
102 KBAs in Viet Nam, only 35% are included within
gazetted protected areas, in whole or in part, the lowest
proportion for any GMS country (Tordoff et al in prep.).
Eighteen conservation corridors were defined in
Viet Nam through the recent conservation-priority-setting
exercise supported by CEPF (Tordoff et al in prep.).
These were, in turn, based on an earlier analysis led by
WWF (Baltzer et al 2001). Seven of these corridors are
included within the Biodiversity Conservation Landscapes: the Northern Annamites, Central Indochina Limestone, and Quang Binh-Quang Tri-Xe Bangfai Lowlands
(which, together, comprise the Northern Annamites landscape); the Central Annamites (which comprises the
Central Annamites landscape); the Cambodia-Lao PDRViet Nam Tri-border Forests (which, together with the
Sekong Plains corridor in Cambodia and the Xe
Khampho-Xe Pian corridor in Lao PDR, comprise the
Tri-border Forests Landscape); and the Eastern Plains
Dry Forests and Southern Annamites Western Slopes
(which, together, comprise the Eastern Plains Dry
Forests landscape).
8.2
Options for monitoring the status of biodiversity
in the BCI pilot sites
Seven pilot sites have been identified for implementation of site-level activities during the first phase
(2006-2008) of the BCI. These are distributed among
five of the six countries of the GMS, and cover six of the
nine Biodiversity Conservation Landscapes defined by
the BCI. In order to evaluate the impact of the BCI pilot
projects, identify key trends in biodiversity in the
Biodiversity Conservation Landscapes and GMS Economic
Corridors, and monitor progress towards attaining the
goals of the BCI, it will be necessary to monitor the
status of biodiversity in the BCI pilot sites. This section
presents options for monitoring the status of biodiversity
at each pilot site, and briefly reviews the availability of
baseline data.
For all BCI pilot sites, it will be possible to monitor
large-scale changes in condition and extent of natural
habitats by means of remote sensing data, in particular
satellite images, supported by ground truthing. However,
many key changes in the status of biodiversity at pilot
sites can be difficult or impossible to detect using
remote sensing data. In particular, changes in population
densities of animal and plant species, resulting from overexploitation, disturbance and/or habitat degradation, are
seldom possible to detect using remote sensing data. In
such cases, site-level monitoring will be required to
detect trends. Because of resource limitations, coupled
with the fact that many species are difficult, if not
impossible, to monitor with an acceptable degree of
accuracy, it will be necessary to monitor the populations
of a subset of species at each site, termed “indicator
species.” In order for the monitoring results to be
informative as to the overall status of biodiversity at a
site, the indicator species should be ones that respond
to pressures in a similar fashion to other species of
conservation concern. In addition, in order that monitoring
can be conducted in a cost-effective, sustainable manner,
the indicator species should be ones that can be monitored
with low to moderate resources, and, ideally, by local
stakeholders, such as researchers, site managers, or
local community members, rather than by scientists from
outside the area. Moreover, in order that trends can be
identified over the timeframe of the BCI, indicator
species should be ones that are expected to undergo
measurable change over a 10-year period (i.e., by 2015).
.
63
8.2.1 Cardamom Mountains
Site description
This pilot site is situated within the Cardamom and
Elephant Mountains Biodiversity Conservation Landscape and comprises three ecological corridors in the
Cardamom Mountains of Cambodia.
Indicator species
Potential indicator species for the Cardamom
Mountains Pilot Site include the following:
• Pileated Gibbon (Vulnerable; endemic to the
GMS; the Cardamom and Elephant Mountains
may support the largest population of this
species in the world)
• Asian Elephant (Endangered; the Cardamom
and Elephant Mountains support one of the
largest populations of this species in the GMS)
• Chestnut-headed Partridge (Vulnerable;
endemic to the GMS; the Cardamom and
Elephant Mountains support the majority of the
global population of this species)
• Siamese Crocodile (Critically Endangered;
endemic to the GMS; the pilot site supports
the largest known population of this species in
the world)
Baseline data
Baseline studies of Pileated Gibbon, Asian
Elephant, and Siamese Crocodile in the Cardamom and
Elephant Mountains have been conducted by Fauna &
Flora International (FFI), and population estimates for
all three species have been produced (Daltry et al 2003,
Traeholt et al in prep.). No baseline population data are
available for Chestnut-headed Partridge, although they
ought to be relatively straightforward to obtain, given that
the species can be readily detected by its call.
8.2.2 Eastern Plains
Site description
This pilot site is situated within the Eastern Plains
Biodiversity Conservation Landscape and comprises six
ecological corridors in Mondulkiri province, Cambodia.
Indicator species
Potential indicator species for the Eastern Plains
Pilot Site include the following:
64
.
• Asian Elephant (Endangered; the Eastern Plains
support one of the largest populations of this
species in the GMS)
• Banteng (Endangered; the Eastern Plains
species in the world)
• Eld’s Deer (Vulnerable; the Eastern Plains
species in the GMS)
• Green Peafowl Pavo muticus (Vulnerable;
the Eastern Plains support one of the largest
populations of this species in the world)
• Giant Ibis (Critically Endangered; endemic
to the GMS; the Eastern Plains support one of
the largest populations of this species in the
world)
Availability of baseline data
Baseline studies of Asian Elephant in the Eastern
Plains have been conducted by FFI, and a population
estimate has been produced. No baseline population
data are available for the other four species.
8.2.3 Khao Yai-Thab Lan
Site description
This pilot site is situated outside of the nine
Biodiversity Conservation Landscapes defined by the
BCI, and comprises the Khao Yai-Thab Lan corridor in
Thailand.
Indicator species
Potential indicator species for the Khao Yai-Thab
Lan Pilot Site include the following:
• Gibbons: White-handed Gibbon (Near Threatened)
and Pileated Gibbon (Endangered, endemic to
the GMS)
• Asian Elephant (Endangered)
• Gaur (Vulnerable)
• Large carnivores, particularly Tiger (Endangered)
• Hornbills, particularly Great Hornbill (Near
Threatened)
Hornbill Project Thailand has established baseline data for hornbill populations. Local NGOs around
Khao Yai National Park have collected some baseline
data on Gaur populations. Researchers at Mahidol
University have established a 30 ha permanent sample
plot to study plant-animal interactions; data on bird and
primate densities have been collected in a systematic
way since 2001. Population surveys of large carnivores
and Asian Elephant have also been carried out at the
pilot site.
8.2.4 Ngoc Linh-Xe Sap
Site description
This pilot site is situated within the Central
Annamites Biodiversity Conservation Landscape and
comprises the Ngoc Linh-Xe Sap corridor in Viet Nam.
Indicator species
Potential indicator species for the Ngoc Linh-Xe
Sap Pilot Site include the following:
• White-cheeked Crested Gibbon Nomascus
leucogenys (Data Deficient; endemic to the
GMS; the Central Annamites may support one
of the largest populations of this species in the
world)
• Red-shanked Douc (Endangered; endemic
to the GMS; the Central Annamites supports one
of the largest populations of this species in the
world)
• Crested Argus Rheinardia ocellata (Vulnerable;
the Central Annamites supports one of the
largest populations of this species in the world)
WWF has established baseline data on primate
populations in Quang Nam province in the south of the
pilot site (Minh Hoang et al 2005). BirdLife International
has established baseline data on populations of all three
indicator species in Quang Tri province in the north of
the pilot site.
8.2.5 Tenasserim
Site description
This pilot site is situated within the Western
Forest Complex Biodiversity Conservation Landscape
and comprises an ecological corridor, linking Thailand’s
Kaeng Krachan and Western Forest Complexes.
Indicator species
Potential indicator species for the Tenasserim
•
•
•
•
•
White-handed Gibbon (Near Threatened)
Asian Elephant (Endangered)
Gaur (Vulnerable)
Large carnivores, particularly Tiger (Endangered)
Hornbills, particularly Great Hornbill (Near
Threatened)
Hornbill Project Thailand has established baseline data for hornbill populations at several sites within
the Kaeng Krachan and Western Forest Complexes.
Wildlife Conservation Society has initiated a monitoring
program at Kaeng Krachan National Park, focusing on
large carnivores. For the pilot site itself, accurate population estimates are not available for most of the indicator
species listed above, and baselines would need to be
established.
8.2.6 Xe Pian-Dong Hua Sao-Dong Ampham
Site description
This pilot site is situated within the Tri-border
Forests Biodiversity Conservation Landscape and
comprises the Xe Pian-Dong Hua Sao-Dong Ampham
corridor in Lao PDR.
Indicator species
Potential indicator species for the Xe Pian-Dong
Hua Sao-Dong Ampham Pilot Site include the following:
• Yellow-cheeked Crested Gibbon (Vulnerable;
endemic to the GMS)
• Large carnivores, particularly Tiger (Endangered)
• Hornbills, particularly Great Hornbill (Near
Threatened)
Baseline data on population densities of all the
above indicator species will need to be established.
.
65
8.2.7 Xishuangbanna
Site description
This pilot site is situated within the Mekong Headwaters Biodiversity Conservation Landscape and comprises the Xishuangbanna National Nature Reserve Complex in Yunnan.
Indicator species
Potential indicator species for the Xishuangbanna
• Green Peafowl (Vulnerable)
• Rufous-necked Hornbill Aceros nipalensis
(Vulnerable)
Baseline data on population densities of all the
above indicator species will need to be established.
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Vidthayanon, C. and Kottelat, M. (2003) Three new species of
fishes from the Tham Phra caves in northern Thailand
(Teleostei: Cyprinidae and Balitoridae). Ichthyological
Exploration of Freshwaters. 14(2): 193-208.
Vindum, J. V., Htun Win, Thin Thin, Kyi Soe Lwin, Awan Khwi
Shein and Hla Tun (2003) A new Calotes (Squamata:
Agamidae) from the Indo-Burman Range of western Myanmar
(Burma). Proceedings of the California Academy of Sciences.
54: 1-16.
Vu Van Dung, Pham Mong Giao, Nguyen Ngoc Chinh, Do Tuoc,
Arctander, P. and MacKinnon, J. (1993) A new species of living
bovid from Viet Nam. Nature. 363: 443-444.
WCMC (1992) Development of a national biodiversity index. A
discussion paper prepared by the World Conservation
Monitoring Centre, Cambridge, UK. Unpublished.
WCMC (1997) Report on the Third Regional Workshop held at
Hanoi, Viet Nam, 18-21 August 1997.
Wharton, C. H. (1957) An ecological study of the Kouprey
Novibos sauveli (Urbain). Manila: Institute of Science and
Technology (Monograph 5).
WWF (2005) List of Global 200 Ecoregions. Downloaded from
http://www.panda.org on 6 April 2006.
9. Biodiversity Loss in Xishuangbanna with the
Changes of Land Use and Land Cover over
27 Years
Zhu H., Li H.M., Ma Y.X.
9.2
Summary
The major land-use change in Xishuangbanna has
been an increase in rubber tree plantations and a decrease
in the tropical rain forest. In 1976, approximately 11% of
the region was the tropical seasonal rain forest, but by
2003 this forest type was reduced to 3.6%, and rubber
plantations increased from 1% to 11%.
Therefore, the decrease and fragmentation of the
tropical seasonal rain forests due to rubber planting was
the principal factor leading to loss of biodiversity in the
region. In addition, Amomum (a commercial plant of
ginger family) planting underneath the seasonal rain
forests poses a serious threat to natural regeneration of
forest, because it destroys the sapling-seedling bank of
the rain forest causing the forest to lose its regeneration
capability. It is urgent to conduct a Biodiversity Conservation Corridors Initiative (BCI) for this region to limit
further expansion of rubber plantations and to promote
multispecies agroforestry systems.
9.1
moist forest, tropical montane evergreen broad-leaved
forest, and tropical monsoon forest (Zhu et al 2006). In
Xishuangbanna, the tropical rain forest landscape
stretching down to the border of Lao PDR is the location
of the biodiversity corridor conservation pilot site.
Introduction
Xishuangbanna is an administrative region of
southern Yunnan. It is located in the southern section of
the Mekong Headwaters. The region has an area of
19,690 km2 and has a typical monsoon climate and
annual precipitation of 1500 mm in its lowland areas.
The region has a rich tropical flora and a typical tropical
rain forest in the lowland areas. The flora of the region
consists of 3,336 native seed plant species belonging to
1,140 genera in 197 families (Li 1996). The fauna
consists of 539 species of vertebrate, 400 bird species,
and 36-44 reptile species, which make up one fourth of
the total vertebrates and one third of the birds in the PRC,
respectively (Xu et al 1987).
The primary vegetation in the region can be
organized into four main vegetation types: tropical rain
forest (including two subtypes, i.e., tropical seasonal rain
forest and tropical montane rain forest), tropical seasonal
Changes of land use and land cover over past
27 years
Conspicuous changes in land use and land cover,
especially in the tropical seasonal rain forest cover, have
taken place in the region since the 1970s. The tropical rain
forests cover of 10.9% of the total area of Xishuangbanna
in 1976, decreased to 8.0% in 1988 and to 3.6% in 2003,
while the rubber plantations cover of 1.1% of the total
area in 1976, increased to 3.8% in 1988, and to 11.3% in
2003. The majority of rubber plantations occurred
below 1000m in areas which were originally seasonal
tropical rain forest (Li et al 2006). Shrub lands made up
11.6% of the total area in 1976 and 12.4% in 1988,
increasing to 18.4% in 2003, mainly by replacing the
tropical montane forests and developing from slash and
burn lands. Montane rain forest also decreased in area,
from 15.8% of the total area in 1976, down to 10.4% in
2003. Other land covers have had no significant change
(Figure 9.1 and Table 9.1) (Li et al 2006).
As the forest cover decreased, fragmentation of
tropical rain forests occurred. The tropical rain forests
consisted of a total 2,306 patches with an average patch
area of 90.6 ha in size in 1976, increasing to 3,668
patches with an average patch area of 18.9 ha in 2003
(Table 9.2) (Li et al 2006).
The splitting index of the fragments of the seasonal
tropical rain forests was 1,138 in 1976, increasing to
133,702 in 2003. The tropical montane rain forests
consisted of a total 2,643 patches with an average patch
area of 114.7 ha in 1976, increasing to 3,820 patches
with an average patch area of 51.9 ha in 2003, and the
splitting index of the fragments increased from 1,048 in
1976 to 5,197 in 2003. On the other hand, rubber
plantations consisted of a total 1,100 patches with an
average patch area of 19.9 ha in 1976, increasing to
4,592 patches with an average patch area of 47.1 ha in
2003, and the splitting index of the rubber plantations
decreased conspicuously from 660,472 in 1976 to 672
in 2003 (Table 9.3) (Li et al 2006).
Biodiversity Loss in Xishuangbanna with the Changes of
Land Use and Land Cover over 27 Years
.
69
Figure 9.1: Land use and land cover in 1976, 1988 and
2003 in Xishuangbanna respectively
Table 9.1: Comparison of areas under different land use and
land cover
2003
1976
1988
(% of the total area of Xishuangbanna)
Tropical seasonal rain forests
Rubber plantations
Slash and burn lands
Arable lands
Shrub lands
Montane rain forests
Others no significant changes
10.9
1.1
11.1
4.1
11.6
15.8
8.0
3.8
15.0
2.7
12.4
14.7
3.6
11.3
11.6
3.1
18.4
10.4
Table 9.2: Number of patches and average patch area of
different land uses
Average area of patch
(ha)
1976 1988 2003 1976 1988 2003
No. of patches
Tropical seasonal
2,306 2,852 3,668 90.6
rain forests
Montane rain forests 2,643 3,126 3,820 114.7
Rubber plantations 1,100 3,106 4,592 19.9
Shrub lands
22,269 21,934 14,862 10.0
Slash & burn lands 15,863 14,752 10,503 13.4
9.3
53.5
18.9
90.1
23.4
10.9
19.5
51.9
47.1
23.7
21.1
Biodiversity loss with the changes of land
use and land cover
The tropical rain forests lost their tree species
diversity after they were replaced by rubber plantation
with single rubber tree species. Although there is a flora
composed largely of shrub and herbaceous plants
underneath rubber plantations, it has much less
biodiversity richness than natural forests (Figure 9.2).
With fragmentation of the tropical rain forests,
species diversity reduced, and the smaller the fragment,
the less the species richness. The more seriously
disturbed the fragment, the more the species richness
diminished (Figure 9.3) (Zhu et al 2004). Tree species
with small populations were lost first in the process of
rain forest fragmentation.
70
.
Table 9.3: Comparison of splitting index of different land uses
1976
1988
2003
Tropical seasonal rain forests 1,138
Montane rain forests
1,048
Rubber plantations
660,472
Shrub lands
9,754
Slash and burn lands
37,662
6,657
2,009
42,557
18,814
13,935
133,702
5,197
672
1,802
14,366
Figure 9.2: Comparison of species diversity of shrub-herb
layer between the natural forest and the rubber plantation
based on 500m2 sampling plots
A neglected, but serious threat to biodiversity of
the tropical rain forest in the region is the planting of
Amomum (a commercial plant of ginger family) underneath the tropical rain forests by local people. Amomum
planting is as widely practiced as rubber plantations in
Xishuangbanna as well as in SE Asia. This poses a
serious threat to natural regeneration of forests, because
gathering of Amomum fruit requires complete clearing
of young trees, saplings, seedlings and shrubs (Zhu et
al 2002). The tropical rain forests regenerate from their
sapling-seedling bank, especially the lower tree layer and
sapling-shrub layer. If clearing takes place, there is
destruction of sapling-seedling bank of the rain forest
that causes the forest to lose its regeneration capability
(Figure 9.4).
Figure 9.4: Comparison of sapling density between a
primary forest and the forests with Amomum villosum
plantation based on 0.25 ha sampling plots
3.3616
Natural forest:
Rubber plantation
$ 3,500
0.9536
3,113
$ 3,000
No. of sapling
1.0204
0.8247
2,431
$ 2,500
$ 2,000
1,758
$ 1,500
$ 1,000
Shannon-Winner’s index
Simpson index
725
$ 500
$0
1
3
2
4
Amomum cover
Figure 9.3: Number of tree stems and species per 0.25 ha
sampling plot in primary rain forest and fragmented rain
forests
1 primary forest without Amomum; 2 forest with 20-40% Amomum
Cover; 3 forest with 40-60% Amomum cover; 4 forest with over 90%
Amomum cover
9.4
250
207
No. of species
200
No. of tree/species
Conclusions
No. of tree stems
182
152
150
152
135
113
100
50
0
Primary
Fragment 1
Fragment 2
The tropical rain forests with the most species
richness lost their tree species diversity after rubber
plantations replaced them. The plant species diversity
was also reduced in the fragmented forests. Therefore,
decrease and the consequent fragmentation of the
tropical rain forests due to rubber planting were the
principal factors leading to loss of biodiversity in the
region.
Local officers largely ignored the threat to natural
regeneration of the tropical rain forests by Amomum
planting, because no timber collection took place.
However, the threat is serious and should be highlighted.
Biodiversity Loss in Xishuangbanna with the Changes of
Land Use and Land Cover over 27 Years
.
71
The high price of rubber continues to promote the
expansion of rubber plantations in Xishuangbanna. To
meet this challenge, it is urgent to conduct a BCI for this
region. Limiting further expansion of rubber plantations
and promoting multispecies agroforestry systems will be
expected by the implementation of a BCI in the region.
10. The Great Green Triangle: An Integrated
Approach Toward Regional Planning and
Biodiversity Conservation in the PRC/Lao
PDR/Viet Nam Border Region
David Westcott and Jin Chen
References
Summary
Li H.M., Aide,T.M., Ma, Y., Liu, W.,and Cao M. (2006). Demand
for rubber is causing the loss of high diversity rain forest in SW
China. Biodiversity and Conservation (in press).
Li, Y.H. (ed). (1996). List of plants in Xishuangbanna. Yunnan
National Press, Kunming.
Xu, Y.C., H.Q. Jiang and Quan, F. (1987). Reports on the
Nature Reserve of Xishuangbanna. Yunnan Science and
Technical Press, Kunming.
Zhu, H., Cao, M. and Hu H. (2006). Geological history, flora,
and vegetation of Xishuangbanna, southern Yunnan, China.
Biotropica. 38(3): 310-317.
Zhu, H. et al (2004). Tropical rain forest fragmentation and its
ecological and species diversity changes in southern Yunnan.
Biodiversity and Conservation. 13:1355-1372.
Zhu, H. et al (2002). A discussion on the loss of biodiversity of
tropical rain forest by Amomum planting underneath in South
Yunnan. Guihaia. 22(1):55-60.
The Phongsaly region of northern Lao People’s
Democratic Republic (Lao PDR) is a remote area with
low population densities and an economic base focused
on shifting agriculture. The area has high biodiversity
values and connects major reserve areas in the People’s
Republic of China (PRC), Viet Nam and elsewhere in
Lao PDR. The development of major road infrastructure
in nearby Luang Namtha and Yunnan is expected to have
effects on both the social and conservation setting in
Phongsaly. Here we review the values of the region and
suggest that an opportunity exists to build on current
activities and linkages to develop an integrated conservation and development program for the region that would
ease the transition to greater social and economic
mobility in the province and contribute to conservation
efforts by its neighbors.
10.1 Background and introduction
The threats to the maintenance of biodiversity,
natural ecosystems, and the services they provide by
both current and foreseeable development and population
growth represent one of the major challenges for Asia in
the 21st century. High population densities, intensive
agriculture, and increasing levels of exploitation of natural
resources through land conversion, logging, hunting, and
water use are all placing increasing pressure on the
region’s natural assets and through this, on the future
health and prosperity of its peoples. These processes
impact negatively on ecosystems and people alike.
Natural ecosystems are increasingly restricted to
ever more ecologically isolated reserves and fragments.
In the long-term this ecological isolation removes many
reserves from landscape-level processes, such as
dispersal and recruitment, which sustain them. Inevitably,
isolation results in the gradual loss of diversity and ecological value. At the same time these natural systems
72
.
remain integral to the livelihoods of many rural communities, either directly through exploitation or indirectly
through the ecosystem services they provide. As these
systems decline, so too does their value in sustaining
human livelihoods.
Maintaining the values of natural ecosystems while
providing the opportunity for rural communities to develop
is no simple task. The tight linking of natural and human
systems leads inevitably to the conclusion that successful
integration of conservation and development requires a
landscape level approach that seeks not to maximize
the returns of conservation or development in isolation
but instead seeks to identify means of achieving the goals
of both across the landscape.
Thus, successful conservation requires an approach
that i) utilizes the whole landscape, including areas whose
primary land-use is production or extraction, for conservation purposes; ii) recognizes and incorporates both the
productive or extractive values of biodiversity and its
services and intrinsic values: and iii) incorporates
people, their livelihoods, and their aspirations along with
biodiversity conservation goals.
A major determinant of the nature of exploitation
of natural systems is the larger economic context in which
they are located, particularly access to markets and
opportunities for economic activity. Key to the Asian
Development Bank’s Regional Cooperation Strategy and
Program (RCSP 2004-2008) in the Greater Mekong
Subregion (GMS) is the development of regional economic
corridors which are expected to play a crucial role in
meeting development goals by facilitating trade through
the movement of goods and people. There is concern,
however, over the indirect impact of increasing development
activities and population pressures in these economic
corridors on biodiversity and ecosystem services.
Recognizing the threat that degradation of the
region’s natural ecosystems would pose to long-term
socioeconomic development and environmental security,
the GMS Biodiversity Conservation Corridors Initiative
(BCI) seeks to develop landscape scale linkages between
the region’s major reserves to protect ecosystem services
and integrity across the region. Overall the vision is for
a system of core protected areas connected by natural
and/or semi-natural landscape elements configured and
managed with the objective of maintaining or restoring
ecological functions so as to conserve biodiversity while
simultaneously providing appropriate opportunities for the
sustainable use of natural resources and socio-economic
development in the context of the economic development
corridor.
One of the nine corridors selected for implementation in 2006-15 is the Northern Mekong. The southern
component of this project links the protected areas of
the Xishuangbanna Nature Reserves and will, in Phase
2 of the GMS-BCI, link these with the Nam Ha National
Biodiversity Conservation Area (NBCA) across the Lao
PDR border. These reserves protect significant forested
areas with high conservation and ecosystem services
value.
Here, we suggest an extension of the Northern
Mekong BCI to incorporate existing reserves and areas
of shifting cultivation in both Lao PDR and Viet Nam.
The proposed extension would require a focus on
biodiversity conservation, land use planning, and livelihoods development in Phongsaly and Buon Neua
Provinces of Lao PDR. This is an area with superior
biodiversity values, high ecosystem integrity, and low
current population pressure, but is one which faces
dramatic social and demographic changes in the near
future as a result of the development of the Economic
Corridor in the area immediately adjacent.
Though currently remote, it is expected that the
area will gain dramatically improved market access as a
consequence of the corridor development. Importantly,
the area is at a developmental stage where appropriate
decisions, made now, can have an enormous influence
on future trajectories and outcomes. Consequently, the
area represents an opportunity for significant on-ground
conservation and socioeconomic impact.
10.2 Biodiversity setting
The Phongsaly and Buon Neua districts lie in the
northernmost part of the Lao PDR, between the People’s
Republic of China and Viet Nam (Figure 10.1).
The region is rugged and is covered by a mosaic
of natural vegetation types, the principle type being
tropical rain forest (Figure 10.2).
The Great Green Triangle: An Integrated Approach Toward Regional Planning and
Biodiversity Conservation in the PRC/Lao PDR/Viet Nam Border Region
.
73
Figure 10.1: The proposed Mengla – Phou Dene Din Corridor
(Figure from GMS Biodiversity Conservation Corridors Initiative,
Strategic Approaches and Priorities, Annex 3)
Figure 10.2: Coarse vegetation map of the Tri-Border Region
and showing the general area of interest (encircled) and
indicating relatively high levels of forest cover and integrity
PR China
SR Vietnam
Lao PDR
LEGEND
Evergreen Mountain Forests (> 1000m)
Evergreen Lowland Forests (> 1000m)
Fragmented and Degraded Evergreen Forests
Deciduous Forests
Mangrove Forests
Swamp Forests and Inundated Shrubland
Evergreen Wood & Shrubland and Regrowth Mosaics
Deciduous Wood & Shrubland and Regrowth Mosaics
Mosaics of Cropping and Regrowth
Other Land
Rocks
Water Bodies
Excerpt from Stibig and Beuchle (2003), scale is 1: 4 000 000.
It represents a transition zone between the Sino
and Indo-Malaysian bio-geographic regions, between
temperate and tropical, and dry and wet ecosystems.
While much of the forest cover remains, the area has a
long history of agricultural activity, perhaps as much as
74
.
3,700 years as is the case in neighboring Xishuangbanna,
and this has transformed climax vegetation type in some
areas. Current vegetation types reflect local environmental conditions, current and past land use and time
since disturbance. The existing formations are diverse
and range from primary rain forests to Imperata cylindrica
savannah (Ducourtieux et al 2006). The relatively
continuous forest cover indicated in available vegetation
mapping based on remote sensing (Figure 10.2) and the
low population densities of the region (Ducourtieux et al
2006) all suggest relatively high levels of ecological
integrity. This is further supported if comparison is made
with Xishuangbanna to the immediate west in Figure 10.2.
Natural vegetation types in the Phongsaly districts
are broadly similar to Xishuangbanna, and include tropical
rainforest, tropical seasonal forest, monsoon forest, and
tropical evergreen broad-leaved forest (Zhu et al in press;
Figure 10.2). Surveys in Xishuangbanna (Zhu et al in
press) and Nam Ha (Tizard et al 1997) to the west and
southwest and Muong Nhe (BirdLife International 2004)
to the east (Figure 10.1) suggest that diversity will be
high with potentially ca. 3,300+ species and 1,000+ genera
of plants to be expected and ca. 35 large mammal species
and 250 bird species. Significant proportions of these
are likely to be species of conservation concern. While
no biodiversity surveys have been conducted in the area,
large mammals such as Asian elephant, gaur, banteng,
Asiatic black bear, sun bear, leopard, and tiger are
believed to occur there.
The area contains a single conservation reserve.
Located in the east of the province, Phou Dene Din NBCA
covers an area of 222,000 ha of rugged mountain (to
2,000m) terrain on the border with Viet Nam. Like the
rest of the province, the NBCA consists of a mosaic of
vegetation types reflecting environmental and human
influences and including mid-montane and montane
forest, newly cleared areas and fallow areas of up to 20
years of age.
10.3 Socioeconomic and agricultural setting
The population of Phongsaly and Buon Neua is
drawn primarily from Sino-Tibetan ethno-linguistic
groups. Many of these groups extend across the international borders into the PRC and Viet Nam. Approximately
20,000 farmers in Phongsaly live in 82 rural villages, of
which 80% are sufficiently remote as to have no vehicular
access, and live largely from swidden agriculture (75%
of food resources) (Ducourtieux et al 2005). Agricultural
alternatives are limited by topography, primarily the
absence of arable flatlands in the V-shaped valleys,
access to markets, and, a high incidence of disease in
stock (Ducourtieux et al 2005).
An unwillingness to see family farmed areas
reduced to unviable sizes means there is a tendency for
young people to leave the area (Ducourtieux et al 2005).
This trend, along with a population-wide drift to urban
areas, has seen rural populations decrease with about
20% of the villages having been lost and a third of the
families having left the region since 1966. Today, the
population density is about 8 inhabitants/km 2
(Ducourtieux et al 2006). Between 1995 and 2003, population growth rate in rural areas of Phongsaly averaged 0.3% year-1 while the province’s growth rate averaged
0.3 between 1995 and 2005 (Ducourtieux et al 2005).
Despite the shifting nature of the main agricultural
activities, some cash cropping, most notably in the form
of cardamom growing is now widespread in the region
(Ducourtieux et al 2006). In addition, attempts at sugar
cane production have been made and commercial
forestry companies are increasingly interested in the
area. Interest in similar activities is bound to increase
with increased proximity to transport links.
10.4. Conservation opportunity
The close proximity of national boundaries in the
area mean that conservation issues in Phongsaly and
Buon Neua would be most effectively viewed within an
international context. As noted above, there is both
cultural and biogeographic continuity across the borders
of the three nations. In addition, there are reserves in
both the PRC and Viet Nam that are immediately
adjacent to the borders and to the study area.
In Viet Nam on the Lao PDR border is the Muong
Nhe Nature Reserve. This is a mountainous reserve
with peaks up to 2,124 m. Muon Nhe has a total area of
396,176 ha with a total of 45,581 ha as core area. This
figure comprises 9,920 ha of lowland evergreen forest
(distributed at elevations below 800 m); 19,850 ha of
lower montane evergreen forest (distributed at elevations
between 800 and 1,800 m); 1,705 ha of upper montane
evergreen forest (distributed at elevations above 1,800
m); and 15,925 ha of bamboo forest. The remaining area
of the nature reserve comprises 204,201 ha of grassland,
and 43,980 ha of shifting cultivation and scrub (Nguyen
et al 2001). Populations of large mammals such as Asian
elephant, banteng, guar, tiger, and white-cheeked crested
gibbon persist but are threatened by hunting. Bird surveys
indicate between 158 and 270 bird species are to be
found in the reserve. Although long called for at a local
government level, Muong Nhe Nature Reserve was
officially established in September 2005. In this initial
stage, lack of capacity in Nature Reserve management
is apparent with only four employees and a separate
building is scheduled for construction next year.
In the PRC on the Lao PDR Border, the Mengla
Nature Reserve (NR) is a part of the network of reserves
that comprise the Xishuangbanna Nature Reserve (XNR).
Together these reserves cover 241,000 ha with the
dominant vegetation types being mid-elevation and
montane tropical rain forest with strong similarities to the
rain forests of Southeast Asia (Zhu et al 2006). These
similarities include some Dipterocarp forests dominated
by Shorea and Vatica spp. Across all its reserves, the
XNR contains significant biodiversity including about
3,300 of plant, 427 bird, 113 mammals, and 100 species
of fish. Listed species include Asian elephants, several
species of cat and bear, and crested gibbon. Mengla
NR consists of about 93,994 ha with vegetation that
consists primarily of tropical montane broadleaf evergreen forest with smaller areas of tropical rain and
monsoon forest. It surrounds two towns, Yaoqu and
Mengban and has significant populations living on its
boundaries.
The existence of these reserves and their
biodiversity significance, the fact that despite political
boundaries the area represents a single biogeographic
and ecological zone with strong cultural links, provides a
real opportunity to develop a transnational collaboration.
Management and development activities undertaken by
one country in the region, inevitably impact on the
adjacent regions of the neighboring countries. Current
examples of successful collaboration include farmer
exchanges and joint fire management between the PRC
and Lao PDR in the area and provide a good base for
building a much broader collaboration.
The Great Green Triangle: An Integrated Approach Toward Regional Planning and
Biodiversity Conservation in the PRC/Lao PDR/Viet Nam Border Region
.
75
References
10.5. Conclusions and future steps
We are suggesting a project that will extend the
northern BCI into the Phongsaly region of Lao PDR. We
suggest an integrated conservations and development
approach, designed and implemented at a landscape
scale, to identify future trajectories for the Phongsaly
region which strengthen:
(i)
the resilience of livelihoods through income
diversification and linkage through the region,
(ii) retention of natural systems and biodiversity
values across the landscape, and
(iii) quality of life and social capital of communities.
A key consideration will be how best to incorporate livelihoods, development and conservation in the
same landscape. Evaluation of the synergies between
ecosystem processes and economic enterprises and the
trade-offs that might be necessary between biodiversity
protection and wealth generation thus becomes a
fundamentally important step in designing future trajectories. This evaluation will rely on quantification of the
ecological, economic, and social attributes of land uses
and management strategies and the development of
modeling tools to allow for cost-benefit assessment of
alternative landscape design options.
Fundamental to the long-term sustainability of our
approach is the engagement and participation of local
peoples. Local knowledge and insight into all aspects of
the work, from natural history through to regulation, will
identify the most appropriate options and local ownership and commitment to the goals will enable their
achievement. Consequently, the initial task of this project
will be to enlist the participation of local communities and
government in the project’s design and implementation.
Effective development of this collaboration means that
initially we will work with broadly stated objectives for
the latter stages of the project to enable meaningful
input from collaborators and stakeholders.
76
.
BirdLife International. (2004). Sourcebook of Existing and
Proposed Protected Areas in Viet Nam, Second Edition.
http://www.birdlifeindochina.org/source_book/pdf/1%20north%
20west/Muong%20Nhe.pdf
Ducourtieux, O., Laffort, J-R and Sacklokham, S (2005). Land
Policy and Farming Practices in Laos. Development and
Change. 36(3): 499–526.
Ducourtieux, O., Visonnavong. P., Rossard, R. (2006).
Introducing cash crops in shifting cultivation regions – the
experience with cardamom in Laos. Agroforestry Systems.
66:65–76.
Nguyen DT, Le TT, Le VC. (2001). A rapid field survey of Muong
Nhe Nature Reserve, Lai Chau Province, Viet Nam. Hanoi:
Birdlife International Viet Nam Programme and the Forest
Inventory and Planning Institute.
Tizard R, Davidson, P, Khounboline, K and Slivong, K. (1997).
A wildlife and habitat survey of Nam Ha and Nam Kong
Protected Areas, Luang Namtha Province, Lao PDR. Final
Report, Dept. of Forest Resource Conservation and the
Wildlife Conservation Society, pp 75.
UNEP. (2000). State of Environment Report, Lao PDR 2001.
http://www.rrcap.unep.org/reports/soe/laosoe.cfm
Zhu, H., M. Cao, and H. B. Hu. (2006). Geological History,
Flora, and Vegetation of Xishuangbanna, Southern Yunnan,
China. Biotropica. 38:310-317.
successful work in Yangtze can help to
ensure not only a healthier river but also
longer life spans of the existing reservoirs.
Application of standards for road construction, sustainable and appropriate irrigation
schemes, and regulation of mining practices
will help to ensure that the Mekong River will
continue to provide the products and services
needed for sustainable economic and social
development for its population.
11. Watershed Management in the Yangtze,
Mekong, and Salween Rivers
Marc Goichot
Summary
In the “three parallel rivers” area of the People’s
Republic of China (PRC), we can see striking contrasts
in land-management practices and their associated
impacts on freshwater conservation among the Salween
(or Nu), Yangtze, and Mekong (or Lancang) Rivers. While
the headwaters of the Salween are relatively pristine,
the headwaters of the Mekong present a very different
picture. Degradation is now proceeding rapidly. Serious
erosion is resulting from road construction, irrigation on
steep slopes, and unregulated small-scale mining. The
headwaters of the Yangtze have also been badly
degraded over the last 50 years or more.
In terms of management of the three rivers, we
see the following scenarios:
(i)
Within the headwaters of the Yangtze, large
areas have now been restored in an exemplary
effort by the PRC Government, and pictures
of the Yangtze headwaters now show a very
attractive land-scape of stable tree-covered
slopes and agricultural valleys. These efforts
in the Yangtze should be encouraged to
ensure that the river continues to provide the
services and products to the people living
around it.
(ii) The situation in the Salween is different
where the government will have to decide
whether the most beneficial use of the river
is to protect and maintain its natural state—
being of global and regional importance in
terms of biodiversity it being one of the last
large free-flowing rivers in the world—or
whether to develop the potential for largescale hydropower generation.
(iii) Although the Mekong River is still in relatively
good condition when compared with many
large rivers around the world, this is rapidly
changing as unsustainable development is
impacting on the river’s health. The promotion
of rehabilitation of slopes modeled on the
11.1 Introduction
This paper was written to give a freshwater
conservation perspective to the Biodiversity Conservation Corridor Initiative and provide suggestions for the
consideration of the Environment Operation Center, the
Core Environment Program, and the Greater Mekong
Subregion (GMS) Working Group on Environment.
“Freshwater research may be less sexy than that in the
terrestrial or marine realm, but trajectories of species loss
make it arguably the most urgent” (Abell 2002). The
Mekong, Yangtze, and Salween basins are among the
World Wife Fund for Nature (WWF) Global 200 Priority
Ecoregions. WWF has already developed basin-wide
environmental action plans (EAPs) for the Mekong and
Yangtze (Figure 11.1).
The study areas cover the sections of the Mekong
(called Lancang in the PRC in the studied section), the
Salween (called Nu in the studied section) and the Yangtze
rivers from the margins of the Tibetan Plateau at an altitude
above 3,000 meters until those rivers reach down to an
altitude just below 1,000 m some 500 km downstream.
In this section, the three great rivers run in parallel in
deep gorges flowing from the Tibetan Plateau into Yunnan
Province. Steep slopes and high water discharges make
this region attractive for the development of large-scale
hydropower. Both the Mekong and Yangtze now have
dams on the main stem. The Salween main stem, however,
remains un-dammed for the time being. Northwest
Yunnan has been designated as a biodiversity hot spot
(Makinnon et al 1996). Furthermore, an important part
of the section of the three rivers studied in this paper has
been listed as “The Three Parallel Rivers” World Heritage
Site by the United Nations Educational, Scientific and
Cultural Organisation (UNESCO).
.
Watershed Management in the Yangtze, Mekong, and Salween Rivers
77
The unique but fragile natural ecosystems of the
studied area have been valued for the following (van der
Meer and Wang 2005):
Figure 11.1: Study area
(i)
Protection function - e.g., regulating water
and erosion input to rivers, thus preventing
severe flooding, silting of downstream
reservoirs
(ii) Biodiversity function - sustaining natural
hydrology and aquatic habitat
(iii) Production function - sustaining economic
activities
The uniqueness of both terrestrial and aquatic
biodiversity of the area can be explained by the variety
of habitat conditions from the combination of altitude
variation and the favorable subtropical monsoon climate,
localized important variation in rainfall due to orographic
effect, geological differences, the high gradient of the
river, and the ice-fed hydrology.
Furthermore, the authors of the study would like
to put emphasis on the role of the upper reaches of these
large river systems to the entire basin. The quality and
hydrology of the water originating from the Tibetan Plateau
is very different from that in the lower part of those
basins, and therefore it is anticipated that it plays a vital
role in supporting biodiversity basin wide. Even if the
flow contribution can be seen as modest (18% of total
average annual flow for the Mekong [MRC 2003]), it is
crucial because of its glacio-nival hydrological characteristics and therefore very different from the remaining
input that is all tropical.
78
.
The studied stretches of the three rivers share a
main feature that contributes to their uniqueness but also
makes them particularly vulnerable to human impact: their
very steep slopes. Over the past centuries, many of the
natural ecosystems have gradually given way to grazing
land, agriculture, and agro-forestry systems. Although
the traditional land management system with terraced
agriculture on alluvial fans and slopes and extensive
grazing was relatively sustainable, it remained very
fragile, thus settlements developed only on the most
favorable locations. Since the 1950s, demographic
pressure and the need to increase productivity brought
more pressure on the slopes. Terraced agriculture is
very labor intensive, so less sustainable practices
appeared. Slope stability was closer to dangerous
thresholds, and severe erosion problem started in the
more accessible sub watersheds of the Yangtze.
Recently, additional pressure was put on the
slopes affecting even the westernmost districts. The
author identified three factors causing the destabilization
of the slopes: (i) newly introduced irrigation, (ii) smallscale mining, and (iii) roads. Yet, at this stage, a striking
difference remains in the way the three river basins are
affected and land use is managed. This is seen as a
unique opportunity to draw lessons and suggests a
regional approach to the conservation of the studies
areas in line with the rational that led to the Greater
Mekong Subregion program.
This paper summarizes the main findings from field
work conducted in 2005 (Bravard & Goichot 2006). The
author would also like to acknowledge the contributions
by Hans Guttman (Mekong River Commission).
11.2 Program for the prevention and control of soil
erosion and land degradation in the middle and
upper reaches of the Yangtze River - a model
for landscape management?
This is a seven-year, very large-scale program
(covering 267,000 km 2 and costing $600 million)
implemented by The Yangtze River Water Conservancy
Committee. It falls under priority 5—conservation and
sustainable utilization of natural resources—of the
Priority Program for the PRC’s Agenda 21. Realizing
the scale of the erosion problem and its implication on
agriculture land loss, the program allows for the restoration of 41 watersheds, seeking to alleviate poverty,
improve agricultural production, and restore the ecological
balance of the region. Moreover, it is believed that the
reduction of soil erosion in the upper reaches of the Yangtze
River will decrease siltation and lessen the potential for
natural disasters throughout the entire Yangtze River.
Amongst the benefits of this program, according to the
official document, are the longer life spans of the
hydropower reservoirs downstream.
The authors visited one of the demonstration sites
in the Chang Jiang River upstream of the city of Shigu,
near Judian. The landscape showed a relative mastership of erosion by humans. It was clear that slopes were
controlled through a policy aiming at protecting them from
erosion by field farming and by cattle. While lower slopes,
shaped in thick and red colluviums, or alluvial fans, are
still intensively farmed with paddy fields, corn, and nut
trees, mountain slopes display a transformed landscape.
The steepest slopes exclude any agriculture and have
been reafforested with pine trees. Grazing seems to be
permitted below the trees, but it is very extensive and
does not affect the trees. Tracks are opened from the
villages up to the upper areas in the mountain. They are
used by cattle and by loggers. These tracks provide the
only erosion features visible in the landscape (ravines
created by concentration of cattle and hauling of logs by
buffalos).
Under the program, the communities benefit from
the policies. They receive funds for maintaining the
forest and their commitment to decrease the surfaces
devoted to farming (Photo 11.1).
Photo 11.1
Further downstream, on the banks of the main
stem or large tributaries, restoration of riparian forest
associated with embankments can also be observed.
This also serves to protect agricultural land and restoring
the ecosystem and its functions (Photo 11.2).
Photo 11.2
11.3 The state of the Upper Mekong (Lancang
Giang) slopes
Analysis of photographs taken during the WWF
Living Mekong Programme (LMP) fact-finding mission
to Yunnan and Tibet (June 2004) identified a recurrent
phenomenon—mid-slope areas around human settlements becoming extremely fragile and susceptible to
landslides. In many cases, the threshold of the land had
.
79
already been reached and significant erosion was
visible. A rapid literature study and a follow-up field
mission in June 2005 confirmed the severity of the
issue. LMP started an analysis of the processes leading
to this extreme situation.
The adverse effects of high loads of suspended
matter and deposited fine sediment on fish and other
aquatic life have been well documented in a wide range
of river systems globally. One study presented a good
synthesis of the known impacts (Mol and Ouboter 2004).
“Suspended and deposited sediment have adverse
impacts on fishes and other aquatic life. They kill fish
outright, usually by clogging or damaging the gills, or
reduce growth rate and thus tolerance to disease;
reduce the suitability of spawning habitat and hinders
development of fish eggs, larvae, and juveniles; modify
the natural migration patterns of fish; reduce the
abundance of fish food by reducing light penetration and
primary production; impede the feeding activities of
invertebrate prey; and affect the efficiency of hunting,
particularly in the case of visual feeders.”
In the case of the Upper Mekong, the impact of
suspended matters is particularly relevant for the tributaries that have naturally very clear waters. The main
stem is naturally very turbid.
If the impact of suspended matters is well
documented, the change of bed load is more difficult to
measure; yet the role of bed load on the morphological
stability of tropical rivers has been demonstrated (Tinkler
and Wohl 1998; Gupta et al 2002). Furthermore, beyond
the environmental impact, the potential impact of the life
span of existing hydropower reservoirs must be emphasized. Ensuring that existing reservoirs deliver the services they were designed to deliver is a major concern of
conservationists as this will reduce the need for new ones.
11.3.1 The Yongchun River Watershed: a case study
to look at impact of new roads on a tributary of
the Lancang-Mekong
With the rapid pace of development, new roads
are often being constructed in fragile slopes, causing
large scars in the landscape. The extent of observed
erosion can be said to be very significant in relation to
human density and rainfall, and thus, seriously impact-
80
.
ing natural sediment input to the river systems. This is a
consequence of the extreme topography and is a great
challenge to the transport sector to offer local population
an effective service. But these planning mistakes can
also be attributed to poor knowledge or consideration of
the environmental processes of slope geomorphology.
From the pass linking the Lapu River to the
Lancang River down to the valley of the Yongchun River
(close to the city of Waxi), a new road has been opened
in 2004 after two years of work. This road shows the
efforts to connect the western part of Yunnan to the rest
of this province. It provides a good insight on the conditions of development undertaken in this part of the PRC.
The authors selected this area as a case study to better
understand the impacts of new roads on the tributary
watershed of the Lancang-Mekong. A following step will
be to extrapolate the result of this study to the larger
studied area to better estimate the extent of the impact
on the scale of the entire Lancang-Mekong system.
The new road has been opened across steep
mountain slopes and significant efforts have been done
such as concrete bridges, tarring, and gutters on each
side to collect water from rainfalls. Nevertheless, the
road, shaped into crumbly alterites of metamorphic rocks,
has destabilized the slopes. The platform is about 8-10
m wide, including the road and the two road shoulders.
Eroded slopes above the road and filling material below
the large road represent major scars in the landscape of
Labadi and Haduku villages. Trees are covered by thick
layer of sediment and will probably not resist such treatment (Photo 11.3).
These artificial slopes are quite unstable because
of the thickness of the alterites exposed to creep, landslides (due to compaction processes), and gullying,
where water flows over the road, is concentrated before
pouring downslope to the rivers. In many places, the
filling material, which has an unstable gravity slope, fills
in the talweg below and is reworked by floods, which
increases instability of the slopes and the bed load of
the river which displays depositional features. This is
very significant in the last kilometers where the road has
been notched into weak red sandstones. Small terraces
one to two meters high have been shaped into thick
alluvial deposits by a recent flood.
One should understand that this is a dynamic
process in progress. The “sediment wave” produced by
road construction has been transiting along the tributary
for about two to three years, and should move further
downstream in the next years. Generally speaking,
aggradation of a riverbed means that the river flow is
unable to transport the sediments in excess, the
sediment balance having been disturbed by the increase
of input. Paddy fields, the most productive places in the
watershed, are threatened, but aquatic habitats are also
severely altered. It can be anticipated that the negative
impacts to irrigated agriculture and aquatic habitat will
increase in the future considering the fact that the slopes
in the watershed are durably destabilized. Indeed,
aggradation of a riverbed raises the level of the floods
and overall favors the deposition of bed load upon the
alluvial plain. So the present difficulties of farmers who
have to deal with the destruction of their fields by floods
should increase notably in the future, due to the combination of hydraulic and hydrologic features linked to the
impact of road construction.
Photo 11.3
It is noticeable that these recent erosion features
are far more extended and potentially detrimental to the
environment than the tracks which have been opened
for decades to facilitate logging in the vicinity of Labadi—
a community living out of wood cutting and the cultivation of corn on steep slopes.
11.3.2 The Yongchun River downstream the City of
Waxi: evidence of riverbed aggradation
Aggradation is evident downstream of the
confluence of the river draining the watersheds impacted
by road construction (described above), about 6-7 km
from Waxi and at an elevation of about 2,120 m. Along
the Yongchun River, the input of coarse sediment from
the tributary increases dramatically the aggradation of
the riverbed, inducing several types of impacts.
In the long term (5-10 years and more), the
sediment wave will be delivered to the Lancang River,
increasing bed load. However, the relative importance
of this sediment input from one tributary may remain
relatively modest considering the sediment transport
capacity of the Lancang. This said, the occurrence of
very heavy rainfalls might trigger much more severe
destabilization of the upstream slopes impacted by new
roads. Furthermore, one needs to quantify the cumulative impact of a number of impacted watersheds. The
authors’ relatively short mission didn’t allow to estimate
this properly, so the significance of the impact on downstream reservoirs is not yet adequately demonstrated.
11.3.3 Roads in riverbeds
Road construction can bring another severe erosion
scenario. This is when the valley is narrow and the slope
too steep, then the road is built on an embankment in
the active riverbed (Photo 11.4). Narrowing the natural
riverbed causes the flood flows to erode the opposite
bank, which in turn causes severe destabilization of
terraces and alluvial fans, resulting in loss of valuable
farmland and settlements and significantly increasing the
sediment load of the draining river. But again, measuring
bed load is difficult, so precise estimation is still difficult
to ascertain.
.
81
11.4.1 Slope conditions
Photo 11.4
Slope conditions along the Salween – geology and
climate
The Salween shares many characteristics of the
neighboring Lancang and Yangtze river basins. However,
visual assessments show that the slopes surrounding
the Salween (also known as Thanlwin in Myanmar or Nu
in the PRC) in its upper reaches appear much more stable
than those of the Mekong River (Photo 11.5). This is
evident from observations in the Mekong and Salween
basins, as well as from studying satellite images, which
in both cases offer a striking contrast. The landscapes
of the Nu are much wetter and greener and the slopes
are far more stable and often still covered with dense
forests.
The WWF report provided several other case
studies. Only the impact of road on the Yongchun River
is presented in detail. Other case studies demonstrate
that irrigation and mining cause similar damage (Annexes
11.1 and 11.2).
Photo 11.5
11.4 Salween (Nu Jiang): the last free-flowing river
Within the ecological hotspot of the Three Parallel
Rivers, the Salween basin presents a unique ecological
feature, as the only two rivers to maintain a connection
from the Tibetan Plateau downstream to the sea, thus
presenting an outstanding ecological continuity for
different species of fish and river species. There are
around 140 known species of fish in the entire basin, of
which 47 are endemic. The area also has the world’s
greatest diversity of turtles, including riverine species,
such as the stream terrapin Cyclemys dentata, giant
Asian pond terrapin Heosemys grandis, and bigheaded
turtle Platysternon megacephalum (WWF 2001). On the
valley walls, terrestrial flora and fauna are well preserved,
often, in pristine conditions. Some species are protected,
such as the golden-eyed monkey, small panda, the wild
ass of Dulong, and the wild ox, among others.
This section examines some of the unique conditions that contribute to the ecological importance of the
Salween, the imminent threats to the river valley, and
alternative options for achieving economic development
without compromising the integrity of the Salween
corridor.
82
.
Underlying this greater stability is a geological
structure consisting of narrow valleys made of hard
crystalline and metamorphic rocks alternating with wider
basins of softer rocks (weak sandstones). This natural
heritage is combined with less human pressure, traditional agriculture techniques that are in better keeping
with the landscape, and a less aggressive climate.
Slope conditions - livelihoods and landscapes
The rural habitat of the Lisu people (the main
ethnic group in a valley populated with many different
groups) is well preserved. Almost all villages at the
valley bottom are built on alluvial fans. Once boulders
have been cleared off the land, alluvial fans provide good
space for agriculture that are easy to terrace and the
torrents that form them provide convenient access for
fisheries, water for irrigating paddy fields, and energy for
small water mills to grind cereals. Along the river, many
traditional techniques of fishing are still in use, like
throwing a net held by two wooden poles.
An outstanding landscape is Bingzhongluo, about
40 km north of Gongshan. Bingzhongluo is a protected
rural area where both natural and rural landscapes are
well preserved. Farms are still covered with slates, sometimes with thatch. A series of three ingrown meanders1
into dark schists is visible from an upper road. Former
riverbeds, hanging at different altitudes over the present
course of the Salween River with the blocks carried in
ancient times, are settlement places with hamlets and
paddy fields.
On the right bank of the Salween, 14 km north of
Gongshan, a small tributary is fed by springs originating
in limestones providing dissolved carbonates. Above it,
this river is actively building a large terrace of travertine.
This latter area, like many others, displays rural landscapes of high quality. Farmers grow corn and paddy,
and breed dwarf goats. Another outstanding place is
located a few kilometers upstream of the village of Maji,
associating valley sinuosities, small peaks, and alluvial
fans in a misty atmosphere. The most renowned place
is called “Stone Moon” from a place in the mountain where
a hole in the rock has been opened by weathering. From
the view point, the gorge is fascinating. Downstream is
the magnificent site of Lamateng with its rapids linked to
a large rock fall.
Slope conditions – conclusions
As seen above, the slopes along the Salween are
in a better condition than in the neighboring river basins
of the Mekong and the Yangtze. The question is whether
this is because the slopes are naturally less vulnerable,
whether it is because there is less pressure on the slopes,
or whether they are better managed.
In all likelihood, it is a combination of these three
factors. The Salween has a different geology and higher
rainfall than the more eastern Mekong valley.
1
An ingrown meander displays a steep concave bank notched by the
river and a soft convex bank shaped during the translation of the river
towards the other bank.
Slope erosion by agricultural practices is not a
major concern here. In the narrow valley bottom, paddy
fields and corn are grown on alluvial fans and in some
places of low slopes. Most land tenures are located far
above the river, on slopes of mid-altitude. Despite the
wetness of the climate, erosion is controlled, probably
because the density of vegetation covers plays a
positive role.
Finally, traditional management and less pressure
from lower populations may play a role. Traditional
management is proving effective, although it is very laborintensive to build terraces and to maintain the existing
ones.
Nevertheless, even if the slopes are a bit less
fragile than in the neighboring valleys, the slopes of the
Salween are still very steep and prone to destabilization.
This can be accelerated by unsustainable use of the river.
11.4.2 Exploiting the river’s energy – from small to large
hydropower
The steep slopes together with reliable water
discharge make the Salween and its tributaries an ideal
location for hydropower development. Until now, hydropower development has been confined to tributaries. The
reach from Gongshan to Liu Ku has 13 small hydropower
plants built along the Salween, providing energy from
high artificial falls with intakes along tributary torrents.
Although these hydropower plants may have some
negative impacts on the forest cover and on the stability
of slopes, they do not significantly alter the life of local
people—in some cases, they provide the opportunity of
building concrete bridges which solve the problem of
crossing the Salween—nor do they affect significantly
the natural morpho-dynamics of the Salween.
Plans for large-scale development of the main
stem of the river are now moving ahead in both the PRC
and Myanmar. The upper stretch of the Salween in
Yunnan Province is earmarked for a cascade of 13 dams,
with a total capacity of 21,320 MW.
Such large-scale development, involving dams
built across the gorge with a wall height of up to 300
meters, will irreversibly disrupt the ecological integrity of
.
83
the Salween river basin and affect the important corridor
functions, both terrestrial and aquatic, provided by the
river. The construction of the dams will necessitate the
resettlement of villages located in the bottom reaches of
the valley, as well as reconstruction of the main roads on
higher grounds. This is likely to open up many of the
forested areas on the surrounding hillsides and the
combined impacts of an influx of people, increased
logging, and introduction of agriculture on unsuitable
slopes is likely to be substantial.
Significantly, most of the small hydropower plants
along the river are of recent construction or are still
under development. The construction of large dams will
mean decommissioning the existing plants, many of
which are newly built.
11.4.3 The importance of Salween as a free-flowing
river
Free-flowing rivers, aside from their ecological
significance, provide numerous benefits and services to
people, including provision of food and water, regulation
services such as water purification, sediment transport
and deposition, and cultural and aesthetic purposes. All
these are in evidence in the Salween River, which also
contributes to the maintenance of the hydrological cycle
further downstream, and the ecosystems and livelihoods
that depend on this. The author would like to emphasize
the impact of decreased sediment flux to the costal
areas. “Costal retreat is directly influenced by the
reduction of river supplied sediment; change in sediment
supply can greatly influence the benthic environment of
coastal estuaries, coral reefs, and sea grass communities; in addition, nutrients fluxes, particularly carbon, are
intimately tied to the flux of sediment, which has implication on coastal fisheries; sediment offers delivery will also
affect harbor maintenance and the potential for burial of
pollutants” (Syvitsky et al 2005). Furthermore, drastic
decrease in input of sediment from rivers has led to a
global tendency observed in most major river systems
where, simultaneously, sediment input is increased upstream through soil erosion, yet the flux of sediment
reaching the coast has decreased (Syvitsky et al 2005),
and therefore, most natural sea beaches are receding
worldwide (Paskoff 2004).
84
.
Globally, free-flowing rivers are under threat, and
in particular, the state of large rivers, those that stretch
over a distance of more than 1,000 km, is dire. According to a recent report (WWF 2006), only a third of the
world’s 177 large rivers remain free-flowing, unimpeded
by dams or other barriers and only 21 of these actually
run freely from source to sea. The Salween River is one
of these and one of the last in Asia.
Among the many reasons for preserving the
natural state of large rivers, including the services they
provide to people, is the uncertainty about the losses
caused by disrupting ecological integrity. Our understanding of the mechanisms of free-flowing rivers over
long distances and the contributions made by these
rivers to the global ecosystem is still limited, and so for
scientific reasons alone, there is an important need to
protect free-flowing rivers. With so few major freeflowing rivers now left, we are on the brink of losing another
natural phenomenon without fully understanding the
costs of these losses. The loss of the integrity of the
Salween could prove to be a particular loss as this
represents the last free-flowing river draining eastwards
to the sea from the Tibetan Plateau.
11.4.4 Options for sustainable development of the
upper Salween
In the view of WWF, an alternative exists for
exploiting the upper Salween, without compromising on
economic development and without sacrificing the
important terrestrial and biological corridor provided by
the river. This scenario calls for the further development
of small-scale hydropower along tributaries, in combination with development of tourism. White-water rafting, in
particular, could prove to be an important economic driver.
11.4.5 Tourism potential
The area has a tropical mountain climate with
temperatures between 20-30 OC in summer. This
temperature is very suitable for tourism. The Salween
valley (i.e., the river, its banks and valley walls, and the
tributary valleys) display a lot of outstanding opportunities
for developing the economy taking into account the local
forces, the labor of people inside their environment,
instead of relying on the revenues of the energy of high
dams and on emigration of the poor to large cities in
search for uncertain employment. Diffusing a type of
tourism respectful of local people, able to consume local
products and hire people for activities based upon local
resources, is a guarantee for sustainable development,
in this valley as well as in other ones. The possibilities
and their social and environmental impacts need to be
further explored.
11.4.6 Developing the rapids – rafting Instead of dams
A WWF mission made brief field observations and
took pictures on all the 170 rapids located between
Gongshan and Liu Ku to understand their localization,
their origin, and their potential difficulty for white water
uses. The mission believes that the Salween offers a
remarkable potential for high-end river rafting (Annex 3).
11.5 Conclusions/recommendations
Infrastructure is as much the cause for increased
erosion as it is a victim of its impact. The abnormally
high erosion observed is believed to cause direct impact
to the aquatic habitats of the tributaries but also on the
livelihoods of local populations. In addition to the local
impacts, it can be assumed that the excess sediment
input created by this erosion—as they seem to be
repeated on a number of the Lancang tributary watersheds cumulatively representing a large scale—has a
direct impact on the life span of the hydroelectric reservoirs
downstream.
11.5.1 Yangtze
There is a need to support further development of
the program for “Prevention and Control of Soil Erosion
and Land Degradation in the Middle and Upper Reaches
of the Yangtze River.” The results observed are positive
and impressive.
11.5.2 Lancang-Mekong
Promote the same model and scale of intervention2
as the program for “Prevention and Control of Soil
2
A limited number of watersheds in the Lancang have been included
in the program, but this would need to be extend to many more in
order to have a significant impact at basin scale.
Erosion and Land Degradation in the Middle and Upper
Reaches of the Yangtze River” to protect biodiversity in
tributaries and ensure long life of existing reservoirs
downstream. Furthermore, a comprehensive program
could include the following elements:
(i)
Standard for roads building on steep slopes
and in upper reaches of watersheds. The
Flood Management and Mitigation Program
of the Mekong River Commission, Delft
Cluste, and WWF are currently collaborating
on a project to develop guidelines to develop
roads in the floodplains of the Mekong in
Cambodia and Viet Nam. This model could
be adapted to the roads of the Upper Basin.
(ii) Sustainable irrigation. This might include
awareness-raising campaigns and technical
transfer to local farmers on use of irrigation
on steep slopes and regulations for development of irrigation. The use of sprinklers could
be recommended in the most sensitive
areas where gravity irrigation from canals is
proved to be unsustainable. In some cases,
it might be worth evaluating the benefits of a
conversion from paddy to more profitable
crops (e.g., fruit trees), requiring less
intensive irrigation.
(iii) Promote regulations for small-scale mining.
Measure more accurately the basin-wide
impact of abnormally high erosion on life span
of reservoirs on main stem and evaluate the
economic implications. This may call for the
development of a mechanism for investment
in management of watersheds upstream.
(iv) Measure more accurately the basin-wide
impact of abnormally high erosion on life span
of reservoirs on main stem, and evaluate the
economic implications. This may call for the
development of a mechanism for investment
in management of watersheds upstream.
11.5.3 Nu-Salween
(i)
(ii)
Promote the conservation of the Salween
as one of the planet’s last free-flowing large
river from the Tibetan Plateau to the sea.
Promote small- to medium-scale hydropower
with derivation canals to meet the local
demand rather than large-scale reservoirs on
the main stem.
.
85
(iii) Undertake an economic analysis and
environmental impact analysis for
development of white river rafting in the
Salween. (This might be an opportunity
for further collaboration between the
Working Group on Environment and the
Working Group on Tourism.)
References
Abell, Robin. October (2002). Conservation Biology for
Biodiversity Crisis: A Freshwater Follow-up. Conservation
Biology: 1435-1437.
Bravard, Jean-Paul, and Marc Goichot. December (2005).
Slope and Sediment Management in Upper Mekong and
Salween River Basins. Non-published technical report.
Gupta A., L. Hock, H. Xiaojing, and C. Ping. (2002). Evaluation
of Part of the Mekong River Using Satellite Imagery.
Geomorphology 44, 3-4: 221-240.
Mackinnon J., M. Sha, C. Cheung, G. Carey, X. Zhu, and D.
Melville. (1996). A Biodiversity Review of China. Hong Kong:
WWF International.
Mekong River Commission. (2003). State of the Basin Report Executive Summary. Phnom Penh: MRC.
Mol, Jan H., and Paul E. Ouboter. February (2004). Downstream
Effects of Erosion from Small-Scale Gold Mining on the Instream
Habitat and Fish Community of a Small Neotropical Rainforest
Stream. Conservation Biology Vol. 18, No. 1: 201-214.
Paskoff, Roland. (2004). Les Littoraux: Impact des
Amenagements sur Leur Evolution. Armand Colin – Masson
Paris: 257.
Priority Programme for China’s Agenda 21, Priority 5 - Conservation and Sustainable Utilization of Natural Resources,
Subsection 5-2 Prevention and Control of Soil Erosion and Land
Degradation in the Middle and Upper Reaches of the Yangtze
River, available at http://www.acca21.org.cn/pp5-2.html
Syvitsky, James P. M., Charles J. Vorosmarty, Albert J. Kettner,
and Pamela Green. (2005). Impact of Humans on the Flux of
Terrestrial Sediment to the Global Coastal Ocean. Science Vol.
308. 15 April.
Tinkler, K.J., and E.E. Wohl. (1998). Rivers Over Rock: Fluvial
Processes in Bedrock Channels. Geophysical Monographs, Vol.
107.
van der Meer, Peter, and Chongyung Wang. February (2005).
Forest and Agriculture Ecosystem Functioning. In Integrated
Ecosystem and Water Resources Management of the Lancang
(Upper-Mekong) River Basin: A Pilot Research in Fengqin and
Xiaojie Catchments.
86
.
World Wide Fund for Nature. (2001). Global 200 Ecoregion
Profiles. Available: http://www.panda.org/about_wwf/
where_we_work/ecoregions/global200/pages/list.htm#water
WWF report, Free-Flowing Rivers – Economic Luxury or
Ecological Necessity? defines a free-flowing river as any river
that flows undisturbed from its source to its mouth, at either
the coast, an inland sea, or at the confluence with a larger
river, without encountering any dams, weirs, or barrages and
without being hemmed in by dikes or levees. Available: http://
www.panda.org/freshwater
Annex 11.1: The Lancang River Gorge: slope management, the impact of new agriculture practices, and
small-scale mining on the stability of the slopes
1.
Unsustainable ways of managing soil and
irrigation in the context of the intensification
of practices
Irrigated agriculture has been traditionally
developed on alluvial fans, where soils are the most
fertile, slopes less extreme, and where it is easy to
divert water from the torrents. The land use practices
are well adapted, but the local conditions are still quite
extreme and the life of farmers is very difficult. Natural
setting—slopes and climate—being so extreme, an
external factor can easily disturb this fragile equilibrium
between humans and nature.
In the region between Zhoupai and Shideng, one
can see striking examples of the impact of irrigation on
slopes when the delivery of water is not correctly mastered.
Failure in canals or simply open-ended irrigation system
pouring water down slope induces severe landslides
across the fields, then gullies into the loose deposits.
The main issue is managing excess water downstream
the irrigated paddy fields when it is poured along the
slope without any respect to the weakness of slope
deposits.
The landscape shows three examples of landslides
induced by poor management of irrigation on slopes
where agriculture has been intensified.
(i)
An old inactive landslide surrounded by
hedges
(ii) A large and active landslide displaying
mudflows, gullies in the middle
(iii) A fresh mudflow which covers corn fields
below irrigated paddy fields on the right of
the picture
However, one can also see some sustainable
examples of newly developed irrigated perimeters. For
instance, on the right bank downstream Zhoupai, a large
area has been developed with a new village, irrigated
paddy fields on the upper part, dry corn fields on the
steepest slopes closer to the gorge or where delivery of
water is impossible. The old gullies have been controlled,
but fresh gullies originate from a large dirt road opened
between the village and the fields
2.
When thresholds are passed on tilled land
In this reach of the Lancang River, the cross profile
of the valley slopes are convex, which means that the
steepest slopes are close to the river while the valley
opens at a higher altitude, below the mountain forest.
Irrigated agriculture has been developed on very small
alluvial fans when tributary torrents entrench the valley
walls. Usually, they benefit water diversion from torrents,
manure from the litter of pine forest and from lime. Corn
is the only possible crop on non-irrigated tenures and
when the slopes are too steep for the construction of
terraces and paddy fields.
Three types of land tenures have been developed
with characteristic landscapes:
On gentle slopes less than 20-25O, paddy
is grown on terraced irrigated fields. The
plots of land are constructed, manured, and
perennial.
(ii) On slopes comprised between 20-25 O
O
and 50 , corn is grown on dry land, tilled
with the hoe, sometimes watered using
pails.
(iii) On the steepest slopes located along the
lower part of the gorge, land is tilled with
temporary corn fields. These slopes
associate corn, fallow, and pastures.
(i)
This leads to the loss of large areas of cultivated
land.
The lowest and steepest slopes are prone to landslides when soils are saturated. These landslides occur
in thick weathered rocks and in slope deposits.
Furthermore, the construction or widening of a road
through a main irrigation channel can have some severe
impacts, when farmers try to restore them without fully
understanding the risk of saturating the surface deposits
and therefore creating landslides.
The most fragile soils are on weak rocks (schists,
soft sandstones). Those soils are easier to crop due to
their thickness, thus they suffer the most intense pressures. A large number of landslides were observed in
the vicinity of Yingpen. It must be stressed that erosion
.
87
does not always have an obvious and direct human
cause. Many landslides have been observed not only
on tilled land prone to rill erosion, but also on ancient
fallows protected by grass and shrubs.
In some narrow sections of the Lancang River,
small-scale mining adds to the pressure from agriculture. In the area situated 10 km south of Yingpen, the
gorges are intensively mined for lead. Along dirt tracks
linking the mines to the river, processions of donkeys
carry the ore and some wood in a bare landscape. Natural
forest has been cut down to sustain the mine galleries,
for processing ore, or just for fuel for the minors. Some
slopes are covered by recent eucalyptus plantations.
Other areas downstream present very similar features
and this allow us to state that the most depredated slopes
occur during mining, intense grazing, and when corn are
in competition on fragile soils.
Traditional agricultural practices have limited
impact on the natural erosion process. Because the
natural conditions are so harsh, the most remote tenures
and isolated farms are often abandoned. Only a limited
number of erosion forms due to grazing have been
observed. But introduction of small-scale mining is
sufficient to destabilize the traditional harmony and
trigger severe erosion on significant areas.
Along the downstream reach of the tributary:
Undermining of the slopes and slumping
Burying of nut trees in the neighboring fields
Along the Yongchun River itself:
(i)
(ii)
Deposition of sediment (fine gravel and sand
over the riverine paddy fields) which are
locally ruined
Alterations to the riparian forest
The length of the impacted reach is about 2-3 km
downstream Waxi and the confluence which commands
most of the transformation. The riverbed morphology
downstream the tributaries delivering their normal sedimentary input, is again in equilibrium with land occupation. The elevation of the bank is approximately 1.5 m
above the bed, irrigation intakes are not destroyed, and
88
These impacts must be considered in the perspective of the normal behavior of the river during floods and
between floods. Along this reach, the conquest of paddy
fields is compromised by the occurrence of large floods
which deposit gravel and small boulders on the adjacent
alluvial plain. The upper level, close to the slope, has
been aggraded by colluvium and is cultivated with corn
relying on rain falls. Closer to the river, stands a belt
conquered to the detriment of the active tract of the river,
result of tenacious work performed by the farmers.
Levees and small irrigation canals made of stones separate the small paddy fields; longitudinal embankments
made of boulders line up the river in order to constrict
the alluvial tract. However, this conquest has been
destroyed by recent large floods and is presently under
reconquest. Corn fields have been settled on freshly
deposited gravels, before the cultivation of paddy.
Farmers told us, the situation was different a few years
ago.
Annex 11.3: Developing the rapids – rafting Instead
of dams
Annex 11.2: Yongchun
(i)
(ii)
if the meadows are probably flooded, they are not
fossilized by sediments during floods. The river shows
the morphological features of a bed which does not
display much gravel transport along a steep reach. Other
features, such as boulders deposited by tributary torrents,
confirm that the long profile is stable.
.
A WWF mission made brief field observations and
took pictures on all the 170 rapids located between
Gongshan and Liu Ku to understand their localization,
their origin, and their potential difficulty for white water
uses.
The rapids may be classified in three categories depending on their geomorphologic origin:
(i)
(ii)
Rapids linked to the constriction of the
channel when the alluvial fan impinges
into it - These alluvial constructions are
rejuvenated by floods on the tributaries;
boulders have a medium size and can be
reworked by the floods of the main river.
Rapids linked to the deposition of large
rounded boulders (several meters in
diameter) originating from tributaries into
the Nu River - Usually, they originate from
steep and narrow gorges drained by
powerful torrents (or debris flow torrents,
when the boulders are transported inside
mud). During floods of the tributary, all
sizes of material reach the Nu River, the
floods of which clean up the deposits
letting only the bigger boulders.
(iii) Rapids linked to large rock falls from steep
valley slopes shaped into metamorphic rocks
for instance - This material is usually coarse
and not rounded due to its origin.
Table 11.1: Number of rapids between Bingzhongluo and
Fugong (Upstream)
Valley Alluvial
type
fan
V gorges
basin
U gorges
Total
Big
% boulders % Large %
from
rockfall
tributary
Total
41
79
4
8
7
13
52
12
53
55
72
6
10
27
14
4
11
18
14
22
74
The rapids have been attributed to one of two
characteristic types of valleys:
(i)
(ii)
V-shaped valleys or open gorges with
moderate slopes facilitating agriculture
and settlements - These valleys are shaped
into soft rocks (schists, weak sandstones)
U-shaped valleys, with steep or vertical
slopes, few hamlets or farms, narrow bed,
fast-flowing waters along steep reaches These valleys are shaped into hard rocks
(limestone = canyon, granite, resistant
metamorphic rocks)
Table 11.2: Number of rapids between Fugong and Liu
Ku (Downstream)
Valley Alluvial
type
fan
V gorges
basin
U gorges
Total
Big
boulders
%
% Large %
from
rockfall
tributary
Total
50
77
7
11
8
12
65
17
67
45
56
11
18
29
17
10
18
26
17
38
103
Two reaches have been selected:
(i)
(ii)
Between Bingzhongluo and Fugong
Between Fugong and Liu Ku
Comments
(i) At the valley scale, 2/3 of the rapids are
linked to alluvial fans, i.e., to river con
striction linked to torrential processes.
The other rapids are shared into two
equal parts, boulders and blocks from
rock falls
(ii) If one considers the total population of
rapids of the two reaches, the upper one
has more rapids linked to alluvial fans
than the downstream one, probably
because the upper part is higher and
drained by more torrents.
(iii) In the downstream reach, boulder
rapids and rock falls are more represented,
probably because of the steepness of the
valley slopes.
Table 11.3: Number of rapids between Bingzhongluo and
Liu Ku
Valley Alluvial
type
fan
V gorges
basin
U gorges
Total
Big
% boulders % Large %
from
rockfall
tributary
Total
91
78
11
9
15
13
117
29
120
48
67
17
28
28
16
14
29
24
17
60
177
(iv) Considering the type of valley, V gorges
and basins are prone to the large
development of alluvial fans, while U
gorges are prone to the other types linked
to active slope processes
.
89
Excellent quality of water
The quality of water is excellent since the cities,
even if they do not purify their releases, are small. Few
industries, of very small size, are present along the rivers
of the watershed. This situation should not change in
the near future and might even improve if waste waters
are collected and treatment plants are constructed.
Sand beaches
When rafting downstream a river, it is important to
be able to stop the raft on soft sandy beaches to take a
rest or to spend the night. This section of the river offers
many “pocket” beaches on both sides of the river, even
during high waters. Usually those beaches are found
downstream alluvial fans where the counter currents
decrease velocity and allow the depositions of suspended
sediments. These beaches will disappear if a dam on
the main stem is constructed upstream.
Hamlets and villages where meeting people
Some small market towns like Gongshan, Fugong
can provide accommodation and necessity products.
Just downstream Bingzhongluo, in the protected area, a
hamlet of the Dulong people (the mountain of supernatural
turtles) provides accommodation and ethnic food.
12. Wetland Connectivity and Fish Migration in
the Lower Mekong Basin1
Poulsen A.F., Ouch Poeu,
Sintavong Viravong,
Ubolratana Suntornratana,
Nguyen Thanh Tung and Barlow, C.
Summary
The fisheries of the Mekong are immensely important both nutritionally and economically for the livelihoods of people in the basin. The fisheries are exploited
predominantly by the poorer sections of society, and so
have an important role in terms of food security as well.
The high yield from the river is primarily due to the annual flood, flat topography providing extensive flood
plains, and high level of exploitation.
Migration is a key feature of many commercially
important species. Three major migration areas have
been identified on the mainstream, although there is
considerable overlap and mixing between them. There
are no constructed barriers on the mainstream below
the People’s Republic of China (PRC), so the connectivity
between seasonally important habitats is intact. These
habitats can be broadly described as flood plains for
feeding and growth, dry season refuges (particularly deep
pools in the main river and larger tributaries), and
spawning areas. Maintenance of healthy fisheries in the
Mekong will require that connectivity between these
areas is preserved.
12.1 Introduction
The fishery of the Mekong River Basin is probably
one of the largest and most important inland fisheries in
the world. The main reasons for this are:
(i)
1
The river contains an unusually large
number of species (probably more than
1,200).
This paper is adapted from Poulsen A.F., Ouch Poeu, Sintavong
Viravong, Ubolratana Suntornratana and Nguyen Thanh Tung, 2002.
Fish migrations of the Lower Mekong River Basin: implications for
development, planning and environmental management. MRC
Technical Paper No. 8, Mekong River Commission, Phnom Penh.
90
.
(ii)
A large number of people are involved in
fisheries activities in the basin.
(iii) Large areas of floodplain remain accessible
for fish production.
(iv) The annual flood pulse, which drives fish
production on the floodplain, has not been
greatly affected, in contrast to most other
large rivers.
(v) In most of the basin, large-scale fish
migrations provide the basis for the seasonal
fisheries along their migration routes. These
migrations have not been affected as in most
other large rivers.
The issue of fish migration is of particular interest
to the MRC, since many migratory fish stocks constitute
transboundary resources, i.e. resources shared between
two or more of the riparian countries.
Fish migrations in the Mekong River Basin are of
great significance to the local people. Many fishing
communities along the rivers of the basin have adapted
their way of life to the seasonal patterns of fish
migrations. A few of the most conspicuous examples
are:
(i)
Throughout the basin, villages have adapted
to the seasonal migration of groups of small
cyprinid fishes belonging to the genus
Henicorhynchus which takes place at the
beginning of the dry season (OctoberFebruary). These migrations support very
large fisheries and the surplus yield creates
the foun-dation for a variety of fish processing
activities.
(ii) From December to February, villages near
certain sites along the river exploit the seasonal
spawning migration of the large cyprinid
Probarbus jullieni (and also Probarbus
labeamajor), one of the high profile ‘flagship’
species of the Mekong.
(iii) The seasonal spawning migration of the
giant Mekong catfish (Pangasianodon
gigas) has experienced a dramatic decline
in recent decades, and in 2006 fishers have
voluntarily stopped fishing for the giant
catfish at the only remaining traditional
fishery, in northern Thailand.
12.2 Fish migration in the Mekong River
In a multi-species fisheries environment such as
the Mekong system, it is useful to distinguish different
species groups based on different life history strategies.
The broadest classification of fishes in the Mekong
fisheries context is the classification of fishes into blackfishes and whitefishes (Welcomme 1985).
Black-fishes are species that spend most of their
life in lakes and swamps on the floodplains adjacent to
river channels and venture into flooded areas during the
flood season. They are physiologically adapted to withstand adverse environmental conditions, such as low
oxygen levels, which enable them to stay in swamps and
small floodplain lakes during the dry season. They are
normally referred to as non-migratory, although they
perform short seasonal movements between permanent
and seasonal water bodies. Examples of black-fish
species in the Mekong are the climbing perch (Anabas
testudineus), the clarias catfishes (e.g. Clarias batrachus)
and the striped snakehead (Channa striata).
White-fishes, on the contrary, are fishes that
depend on habitats within river channels for the main
part of the year. In the Mekong, most white-fish species
venture into flooded areas during the monsoon season,
returning to their river habitats at the end of the flood
season. Important representatives of this group are some
of the cyprinids, such as Cyclocheilichthys enoplos and
Cirrhinus microlepis, as well as the river catfishes of the
family Pangasiidae.
Recently, an additional group within this classification has been identified. It is considered an intermediate between black-fishes and white-fishes and therefore has been referred to as greyfishes (Welcomme
2001). Species of this group undertake only short
migrations between floodplains and adjacent rivers and/
or between permanent and seasonal water bodies within
the floodplain (Chanh et al. 2001; Welcomme 2001).
Virtually all fishes of the Mekong are exploited and
therefore constitute important fishery resources. All fishes
are also vulnerable to impacts from development activities,
including transboundary impacts. However, longdistance migratory species (i.e. white-fish species) are
particularly vulnerable because they depend on many
.
Wetland Connectivity and Fish Migration in the Lower Mekong Basin
91
different habitats, are widely distributed, and require
migration corridors between different habitats. For these
important fishes, the term ‘transboundary’ has double
meaning: they are transboundary resources that may be
affected by transboundary impacts of human activities.
12.3 Important fish habitats in the lower Mekong
basin
12.3.1. Flood plains
The flood-pulse during the monsoon season is the
driving force of the Mekong River ecosystem. As is the
case for most tropical floodplain river systems, the seasonal
habitats on the floodplains created by the monsoon floods
are the main “fish production sites” of the Mekong
(Sverdrup-Jensen 2002). These areas are very rich in
nutrients, food and shelter during the flood season, and
most Mekong fishes depend on these resources for at
least certain parts of their early life cycle.
The main floodplain habitats occur in the lower
part in southern Cambodia and the Mekong Delta in Viet
Nam. The most important floodplain complex is associated with the Tonle Sap River/Great Lake system in
Cambodia. In the upper parts of the basin, in Thailand
and Lao PDR, floodplain areas are smaller and are mainly
associated with Mekong tributaries. In the upper parts
of the basin, i.e. approximately upstream from Vientiane,
floodplain habitats become more and more scarce as
the river gradually changes to become a typical mountain river with steep riverbanks.
The migratory behavior of many fishes is an
adaptation to these hydrological and environmental
conditions. The timing of migrations is “tuned” to the
flood-pulse, and although different species may have
tuned their migrations in different ways, some general
patterns can be elucidated. In general, most species
spend the dry season in refuge habitats. The arrival of
the monsoon and its floodwaters is an ecological trigger
for both spawning and migration. Spawning at the right
time and place will enable offspring to enter floodplain
habitats, where they can feed. Some species spawn on
the floodplain itself, whereas others migrate upstream to
spawn within the river channel and then rely on the river
current to bring the offspring to the downstream rearing
habitats. Many larger juveniles and adult fish actively
92
.
migrate from dry-season shelters to the floodplains to
feed. Thus, the life cycles of migrating fish species ecologically connect different areas and habitats of rivers.
From their point of view, the river basin constitutes one
ecological unit interconnecting upstream spawning habitats
with downstream rearing habitats.
12.3.2. Dry season refuge habitats
When water recedes from flooded areas at the
end of the flood season, fishes have to move out of the
seasonal habitats and return to their dry season refuges.
In a broad sense, two types of dry season refuge habitats
exist: permanent floodplain lakes and swamps; and river
channels. Floodplain lakes are mainly used by the group
of black-fish species, whereas river channel refuges are
mainly used by whitefishes.
Within rivers, deep areas are particularly important
as dry season refuges. These areas are most often
referred to as deep pools. Certain stretches of the
Mekong River emerge as important locations for deep
pools. In particular, the stretch from Kratie to the Khone
Falls in northern Cambodia contains a large number of
deep pools that are used by many species during the
dry season. The river stretch immediately upstream from
the Khone Falls, as far upstream as Khammouan/Nakhon
Phanom, and the stretch from the Loei River to Luang
Prabang also contains many deep pool habitats.
12.3.3. Spawning habitats for migratory fishes
Although little is known about spawning habitat
requirements for most Mekong fishes, spawning habitats
are generally believed to be associated with: (i) rapids
and pools of the Mekong mainstream and tributaries; and
(ii) floodplains (e.g., among certain types of vegetation,
depending on species).
River channel habitats are, for example, used as
spawning habitats by most of the large species of
pangasiid catfishes and some large cyprinids such as
Cyclocheilichthys enoplos, Cirrhinus microlepis, and
Catlocarpio siamensis. Floodplain habitats are used as
spawning habitats, mainly by black-fish species. Other
species may spawn in river channels in the open-water
column and rely on particular hydrological conditions to
distribute the offspring (eggs and/or larvae) to downstream rearing habitats.
Information on spawning habitats for migratory species in the river channels of the Mekong Basin is scarce.
Only for very few species, such as Probarbus spp. and
Chitala spp., spawning habits are well described because
these species have conspicuous spawning behavior at
distinct spawning sites. For most other species, in
particular for deep-water mainstream spawners such as
the river catfish species, spawning is virtually impossible
to observe directly. Information about spawning can
instead be obtained through indirect observations such
as observations of ripe eggs in fishes. For fishes that
spawn in main river channels, spawning is believed to
occur in stretches where there are many rapids and deep
pools, e.g. (i) the Kratie–Khone Falls stretch; (ii) the
Khone Falls to Khammouan/Nakhon Phanom stretch;
and (iii) from the mouth of the Loei River to Bokeo/Chiang
Khong.
12.4 Migration systems in the Mekong
Three main migration systems have been identified in the lower Mekong River mainstream. These three
systems have been termed the Lower Mekong Migration
System (LMS), the Middle Mekong Migration System
(MMS), and the Upper Mekong Migration System (UMS).
It is important to note that the different migration
systems are inter-connected and, for many species, overlapping. Furthermore, their classification as ‘systems’ is
based on the fact that migration patterns are different in
each. In general, the migration patterns are determined
by the spatial separation between dry season refuge
habitats and flood season feeding and rearing habitats
within each system. This again demonstrates how
migration habits are deeply embedded in the environment
within which they occur.
12.4.1 The Lower Mekong Migration System (LMS)
This migration system covers the stretch from the
Khone Falls downstream to southern Cambodia, including
the Tonle Sap system, and the Mekong Delta in Viet Nam.
The migrations in this region are driven by the spatial
and temporal separation of flood-season feeding and
rearing habitats in the south with dry-season refuge habitats
in the north. The rise in water levels at the beginning of
the flood season triggers many migrating fishes to move
from the dry season habitats just below the Khone Falls,
e.g., in deep pools along the Kratie-Stung Treng stretch,
towards the floodplain habitats in southern Cambodia
and the Mekong Delta in Viet Nam. Here they spend the
flood season feeding in the fertile floodplain habitats.
Some species spawn on, or near the floodplain, whereas
others spawn far upstream, i.e., above Kratie, and rely
on the water current to bring offspring to the floodplain
rearing areas.
One of the key factors for the integrity of this system
is the Tonle Sap/Great Lake system—a vast and complex
system of rivers, lakes and floodplains. As a result of
increasing water discharge from the Mekong River at
the onset of the flood season, the water current of the
Tonle Sap River changes its direction, flowing from the
Mekong into the Tonle Sap River and towards the Great
Lake. This enables fish larvae and juveniles to enter the
Tonle Sap from the Mekong by drifting with the flow.
Together with the floodplains of the Mekong Delta in Viet
Nam, these floodplains are the main “fish factories” of
the lower basin.
An important group of species, which undertakes
this type of migration, belongs to the genus Henicorhynchus.
In terms of fisheries output, these fishes are among the
most important of the Lower Mekong. For example, in
the Tonle Sap River dai fishery, species of the genus
Henicorhynchus account for 40 percent of the total
annual catch (Lieng et al 1995, Pengbun and Chanthoeun
2001). Larger species, such as Catlocarpio siamensis,
Cirrhinus microlepis, Cyclocheilichthys enoplos, and
Probarbus jullieni, as well as several members of the
family Pangasiidae, also participate in this migration
system.
The Sesan tributary system (including the Sekong
and Srepok Rivers) deserves special mention. This
important tributary system is intimately linked with
the LMS, as evidenced by many species such as
Henicorhynchus sp. and Probarbus jullieni extending their
migration routes from the Mekong River mainstream into
the Sesan tributary system (Chanh Sokheng, personal
communication, December 2001). In addition, the Sesan
tributary system also appears to contain its own
migration system.
Many of the species (e.g., all the species
mentioned above) are believed to spawn within the
.
93
Mekong mainstream in the upper stretches of the
system (from Kratie to the Khone Falls, and beyond) at
the beginning of the flood season in May-June. Eggs
and larvae subsequently drift downstream with the
current to reach the floodplain feeding habitats in southern Cambodia and Viet Nam.
12.4.2 The Middle Mekong Migration System (MMS)
From just above the Khone Falls and upstream to
the Loei River, Thailand, the migration patterns are
determined by the presence of large tributaries connecting to the Mekong mainstream. Within this section of the
river, floodplain habitats are mainly associated with the
tributaries (e.g., the Mun River, Songkhram River, Xe
Bang Fai River, Hinboun River, and other tributaries), so
fishes migrate seasonally along these tributaries from
mainstream dry season habitats to floodplain feeding/
rearing habitats. At the onset of the flood season, fishes
generally move upstream within the Mekong mainstream until they reach the mouth of one of these major
tributaries. They swim up the tributary until they can move
into floodplain habitats. At the end of the monsoon, fishes
move in the opposite direction, from floodplains through
the tributary river and, eventually, to the Mekong mainstream, where many fishes spend the dry season in deep
pools.
This is of course a very simplistic description of
the main movements, and there are considerable
variations in the general pattern, both between different
species and within species. Furthermore, there are
complex interconnections to the lower migration system
described above, i.e. many of the same species participate
in both systems, either as genetically-distinct populations,
or at different stages of their life cycle.
It is important to emphasize that the two different
migration systems (LMS and MMS) are not “closed”
ecological systems, isolated from each other. The two
systems are in fact interconnected. Many species are
known to migrate over the Khone Falls, both during the
flood season and during the dry season, thereby
demonstrating that the Falls is not a barrier for fish movements (Baird 1998; Roberts 1993; Roberts and Baird
1995; Roberts and Warren 1994; Singanouvong et al.
1996a and 1996b). For some species, the same fish
may be part of the lower migration system as a juvenile,
94
.
and part of the middle migration system as a mature adult.
For example, important species such asCyclocheilichthys
enoplos and Cirrhinus microlepis are mainly reported as
juveniles and sub-adults in the LMS and as adults in the
MMS. The same may be true for a number of other
species, including the Giant Mekong Catfish. For other
species, it may be the case that genetically distinct
sub-populations are involved in the different migration
systems. However, further research is needed before
conclusions can be made on this issue.
12.4.3 The Upper Mekong Migration System (UMS)
The third migration system occurs in the upper
section of the river, approximately from the mouth of the
Loei River and upstream towards the border between Lao
PDR and the PRC (probably continuing into PRC, although
we have no data to confirm this). This section of the river is
characterized by its relative lack of floodplains and major
tributaries (although there are some floodplains associated
with tributaries in the far north, i.e. the Nam Ing River, in
Thailand). This migration system is dominated by upstream migrations at the onset of the flood season, from
dry season refuge habitats in the main river to spawning
habitats further upstream. This is also a multispecies
migration system, and some of the species participating
in the previous migration systems further downstream
also participate in this migration, although the total
number of species may be lower.
The most conspicuous member of this migration
system is the Giant Mekong Catfish, Pangasianodon
gigas. Henicorhynchus sp., which is so important for
the fishery further downstream, is also important along
this stretch of the river. For example, a fisherman from
Bokeo in northern Lao PDR reported a catch of between
100 and 200 kg per day of this fish during the month of
October 2001. This may be a genetically distinct stock
compared with downstream stocks (research is
currently underway to determine if this is the case).
Whereas the LMS and the MMS are interconnected to a large degree, the UMS appears to be
relatively isolated, with little “exchange” between the UMS
and the other migration systems. Deep pool habitats
are rare for a long stretch of the Mekong between the
MMS and the UMS. Along the same stretch, observations of mature fishes with eggs are also rare. This
indicates that for many migratory species, the stretch
from Paksan to the mouth of the Loei River is a
functional barrier.
Interestingly, the geographical extent of these three
migration systems corresponds with elevation contours
of the lower Mekong Basin. In particular, there is a clear
area overlap between the extent of the LMS and the
extent of the 0-149 m elevation of the Mekong Delta/
Cambodian lowlands. A correlation also occurs between
the MMS and the 150-199 m elevation represented largely
by the Korat Plateau. The UMS correlates with a plateau
of 200-500 m elevation. This demonstrates how fish
migration has evolved within the surrounding physical
environment.
12.5 Key issues for management of the migration
systems
For management of migratory fishes, the most
important issue is that critical habitats are maintained in
time and space. This includes the maintenance of connectivity between them, i.e., through migration corridors.
The importance of the annual hydrological pattern is
paramount, including its role in the creation of seasonal
floodplain habitats, as well as its role as a distributor of
fish larvae and juveniles through passive drift.
The following key ecological attributes for
migratory species are identified, based on the three
major migration systems described above along the
Mekong mainstream.
Table 12.1: The Lower Mekong Migration System (LMS)
General ecological attributes
Mekong-specific ecological attributes
Dry season refuge habitats:
Deep pools in the Kratie-Stung Treng stretch of the Mekong mainstream. These habitats are extremely
important for recruitment for the entire lower Mekong Basin, including floodplains in southern
Cambodia (including the Tonle Sap/Great Lake System) and the Mekong Delta in Viet Nam.
Flood season feeding and rearing Floodplains in the Mekong Delta in Viet Nam, in southern Cambodia, and in the Tonle Sap system.
habitats:
These habitats support the major part of Mekong fisheries.
Spawning habitats:
Rapids and deep pool systems in the Kratie – Khone Falls, and in the Sesan catchment.
Floodplain habitats in the south (e.g. flooded forests associated with the Great Lake).
Migration routes:
The Mekong River from Kratie – Stung Treng to southern Cambodia and the Mekong Delta in Viet Nam.
Between the Mekong River and the Tonle Sap River (longitudinal connectivity).
Between floodplain habitats and river channels (lateral connectivity).
Between the Mekong mainstream and the Sesan subcatchment (including Sekong and Srepok Rivers).
Hydrology:
The annual flood pattern responsible for the inundation of large areas of southern Cambodia (including
the Tonle Sap system) and the Mekong Delta is essential for fisheries productivity of the system.
The annual reversal of the flow in the Tonle Sap River is essential for ecosystem functioning. If
the flow is not reversed (or if reversal is delayed), fish larvae drifting from upstream spawning sites
in the Mekong River cannot access the important floodplain habitats of the Tonle Sap System. A
delayed flow reversal would also lead to a reduced floodplain area adjacent to the river and lake,
and thus, reduced fish production.
Changed hydrological parameters, e.g., as a result of water management schemes, result in changed
flow patterns, which in turn may change sedimentation patterns along the river. Examples of this
already exist in some tributaries where hydropower dams have been constructed, resulting in
sedimentation, and thus in disappearance of deep pool habitats.
.
95
Table 12.2: The Middle Mekong Migration System (MMS)
Deep pool stretches of the Mekong mainstream and within major tributaries. Of particular
importance is the stretch from the Khone Falls to Kammouan/Nakhon Phanom. Deep pools
immediately downstream from the Khone Falls also are important for this migration system
(thereby linking the MMS and the LMS).
Flood-season feeding and
rearing habitats:
Floodplains of this system are mainly associated with major tributaries (e.g. the Mun/Chi system,
Songkhram River, Xe Bang Fai River, Hinboun River).
Spawning habitats:
Rapids and deep pool systems in the Mekong mainstream (particularly along the stretch from the
Khone Falls to Khammouan/Nakhon Phanom).
Floodplain habitats associated with tributaries.
Migration routes:
Connections between the Mekong River (dry season habitats) and major tributaries (flood season
habitats).
Access to floodplain habitats from main river channels must be maintained.
Hydrology:
The annual floods that inundate floodplain areas along major tributaries must be maintained.
Table 12.3: The Upper Mekong Migration System (UMS)
Occur throughout the extent of the UMS, but are most common in the downstream stretch from
the mouth of the Loei River to Louang Prabang.
Flood season feeding and rearing The UMS occurs within a section of the Mekong, which is dominated by mountainous rivers with
habitats:
limited floodplain habitats.
Floodplain habitats therefore play a less important role, compared to MMS and LMS. Large catches
of Henicorhynchus sp. in Bokeo Province of Lao PDR suggest that even the limited areas of
available floodplains are important.
Spawning habitats:
Spawning habitats occur mainly in the upper stretches of the system. They are mainly situated in
stretches with alternating rapids and deep pools.
Migration routes:
Migration corridors between downstream dry season refuge habitats and upstream spawning
habitats should be maintained.
Hydrology:
The annual flood pattern that triggers fish migrations and causes inundation of floodplains.
12.6 Khone Falls
The Khone Falls are situated on the border
between Cambodia and Lao PDR and thus also demarcate the “border” between the LMS and the MMS. It is
important to emphasize that the Khone Falls are not a
barrier to migration. The Khone Falls area is probably
the most studied site along the whole of the Mekong,
and large-scale migrations involving a large number of
96
.
species have been documented through intensive sampling programs over the past decade (Baird 1998;
Roberts 1993; Singanouvong et al. 1996a and 1996b).
Thus, the LMS and the MMS are in fact inter-connected.
What makes the LMS and the MMS different from
each other is not that they are geographically isolated.
The difference is that in the LMS, the dry season refuge
habitats are situated upstream from the flood season
feeding and rearing habitats, whereas in the MMS, they
are situated downstream from the flood season
habitats. Therefore, at the onset of the flood season, in
the LMS fishes migrate downstream towards flood
season habitats, whereas in the MMS, fishes migrate
upstream towards flood season habitats. As
mentioned earlier, in some cases the same fish may
participate in both migration systems at different stages
of their life cycle.
Singanouvong, D., C. Soulignavong, K. Vonghachak, B. Saadsy
& T. J. Warren. (1996a). The main dry-season fish migrations
of the Mekong mainstream at Hat Village, Muang Khong
District, Hee Village, Muang Mouan (Sic) District and Ban
Hatsalao Village, Paxse. IDRC Fisheries Ecology Technical
Report No. 3. 131 pp.
The UMS may be relatively isolated from the two
migration systems further downstream. It thus may
represent genetically distinct populations of fishes. If
so, these populations should be regarded as separate
management units. Further research, particularly on
population genetics, is needed to clarify this issue.
Sverdrup-Jensen, S. (2002). Fisheries in the Lower Mekong
Basin: status and perspectives. MRC Technical Paper No. 6.
Mekong River Commission, Phnom Penh. 103 pp.
Singanouvong, D., C. Soulignavong, K. Vonghachak, B. Saadsy
& T. J. Warren. (1996b). The main wet-season migration through
Hoo Som Yai, a steep-gradient channel at the great fault line
on the Mekong River, Champassack Province, Southern Lao
PDR. IDRC Fisheries Ecology Technical Report No. 4. 115 pp.
Welcomme, R. (1985). River Fisheries. FAO Fisheries Technical Paper No. 262. 330 pp.
Welcomme, R. (2001). Inland Fisheries Ecology and Management. Fishing News Books, Blackwell Science, Oxford. 358 pp.
References
Baird, I. G. (1998). Preliminary fishery stock assessment
results from Ban Hang Khone, Khong District, Champasak
Province, Southern Lao PDR. Technical Report. Environmental
Protection and Community Development in the Siphandone
Wetland, Champasak Province, Lao PDR. Funded by
European Union, implemented by CESVI. 112 pp.
Chanh, S., C. K. Chhuon & J. Valbo-Jorgensen. (2001). Lateral
migrations between Tonle Sap River and its flood plain. p. 102111. In: Matics, K.I. Editor. Proceedings from the Third Technical
Symposium on Mekong Fisheries, 8-9 December 2000. Mekong
Conference Series No. 1. Mekong River Commission, Phnom Penh.
Lieng, S., C. Yim & N. P. van Zalinge. (1995.) Freshwater
fisheries of Cambodia, I: the bagnet (dai) fishery in the Tonle
Sap River. Asian Fisheries Science, 8:255-262.
Pengbun, N. & H. Chanthoeun. (2001). Analysis of the dai
catches in Phnom Penh/Kandal. p. 44-51. In: Matics, K. I. Editor.
Proceedings from the Third Technical Symposium on Mekong
Fisheries, 8-9 December 2000. Mekong Conference Series No.
1. Mekong River Commission, Phnom Penh.
Roberts, T. R. (1993). Artisanal fisheries and fish ecology
below the great waterfalls of the Mekong River in Southern
Laos. Natural History Bulletin Siam Society, 41:31-62.
Roberts, T. R. & I. G. Baird. (1995). Traditional fisheries and
fish ecology on the Mekong River at Khone Waterfalls in southern Laos. Natural History Bulletin Siam Society, 43:219-262.
Roberts, T. R. and T. J. Warren. (1994). Observations on fishes
and fisheries in Southern Laos and Northeastern Cambodia,
October 1993 – February 1994. Natural History Bulletin of the
Siam Society. 42:87-115.
.
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13. Analyzing the Impacts of the GMS Biodiversity
Conservation Corridors Initiative: A Toolkit
of Policy Relevant Indicators and Models
Ben ten Brink, Tonnie Tekelenburg,
Rob Alkemade, Mireille de Heer,
Fleur Smout, Michel Bakkenes,
Jan Clement, Mark van Oorschot,
Jan Janse
generated will help policy makers assess different
options for the BCI and foresee what consequences their
decisions may have on ecosystem functions and human
wellbeing.
Figure 13.1
Assessment tools
indicators
Summary
The Greater Mekong Subregion (GMS) is undergoing rapid economic developments, which are expected
to have a severe impact on the region’s biodiversity. The
International Biodiversity (IB) Project of the Netherlands
Environmental Assessment Agency (MNP) offers
indicators, models, and an assessment framework to
analyze and assess biodiversity change in the past,
present, and future as a result of human activities. These
could be useful tools to support policy makers in exploring
and assessing policy options. This paper presents a
generic outline of the tools offered by the IB Project, with
an emphasis on their potential use for regional policy
support.
13.1 Introduction
The Greater Mekong Subregion Biodiversity
Conservation Corridors Initiative (BCI) is meant to
counterbalance the negative effects of rapid economic
development on the region’s biodiversity by safeguarding
a significant part of the area for nature. Major questions
regarding the design of the Corridor will include its size,
location, and the benefits for biodiversity it will have. At
the same time the question is how the livelihoods of
people in the area can be secured.
The IB Project of the MNP offers tools to analyze
biodiversity change in the past, present, and future as a
result of human pressures and conservation measures.
The main tools relevant for the BCI will be biodiversity
indicators and models. The indicators serve to describe
changes in biodiversity in a policy relevant way, whereas
the models predict the effects of changes in the landscape and the environment on biodiversity in terms of
the same indicators (Figure 13.1). The information
98
modelling
monitoring
baseline
100%
.
biodiversity/
good & services/
food & income
policy target
policy measure 1
policy measure 2
policy measure 3
0%
past
present
future
13.2 Tool 1: What is changing - indicators and
monitoring
Indicators keep track of changes in biodiversity,
ecosystem goods and services, and human well-being,
in the context of policy goals. The challenge is to create
tangible and powerful indicators that accurately describe
trends in biodiversity loss and ecosystem goods and
services. Indicators give meaning to data and must be
quantitative, sensitive, affordable, measurable, and
universally applicable. Once indicators have been
designed, cost-efficient monitoring programs are needed
to collect data in the “real world” for reliable and frequent
updates.
13.2.1 The 2010 biodiversity indicators
To evaluate progress towards the 2010 target, the
Convention of Biological Diversity (CBD) has selected a
set of headline indicators (decision VII/30). These
indicators cover, among others, the following focal
areas: (i) status and trends in biological diversity, e.g.,
indicators on ecosystem extent, species abundance,
status of threatened species, coverage of protected
areas; (ii) sustainable use; (iii) pressures, e.g., nitrogen
deposition, climate change; and (iv) ecosystem integrity
and goods and services, e.g., marine tropic index, freshwater quality. The coherence between the indicators is
of utmost importance, as ultimately the set of indicators
will have to tell the story of biodiversity loss, the causes
of change, what we can do about it, and why this is
important.
Figure 13.2
Processes have been started at the global,
regional, and national levels to implement the indicators
for the 2010 target. The IB project contributes to this
(e.g., in the project Streamlining European Biodiversity
Indicators for the 2010 target) and applies the indicators
in modeling and assessments. Furthermore, the project
works with common socioeconomic indicators and
Millennium Development Goals (MDG) indicators for
human well-being, such as the gross national product
per capita, calories food intake, and access to clean
water.
13.2.2 Supporting partners on indicators and monitoring
The IB project supports partners in establishing
indicators and monitoring. It uses a step-wise approach,
focused at the key questions of the policy makers (Figure
13.2). Data are collected and the indicators calculated.
In an iterative process the results are fed back to the
policy makers to see whether the indicators sufficiently
answer their questions. The resulting indicators are used
to produce an indicator-based national ecosystem or
biodiversity assessment. For frequent updates of the
indicators, a permanent monitoring system is needed.
An example of collaboration in this area is the
project “Biodiversity Indicators for National Use” (BINU),
where the IB project together with the United Nations
Environment Programme (UNEP) World Conservation
Monitoring Centre supported four developing countries
(Philippines, Kenya, Ukraine, and Ecuador) in the
production of indicator-based assessments. Among the
successfully tested indicators were the MSA (species
abundance) and ecosystem extent. Reports from the
project can be found on www.unep-wcmc.org.
Box 13.1: Homogenization and the mean species abundance index
Biodiversity loss consists of loss of natural area and changes
in species abundance in the remaining area. The change in
species is generally characterized by the decrease in abundance
of many original species and the increase in abundance of a
few other—opportunistic—species, as a result of human
activities. Extinction is “just” the last step in a long degradation
process. As a result, many different ecosystem types are
becoming more and more alike, the so-called homogenization
process (Pauly et al 1998; Ten Brink 2000; MEA 2005).
The Mean Species Abundance (MSA) is an index which
addresses the homogenization process by dealing only with
the original species in an area. Thus, it is avoided that the
“ Fishing down the food chain” (Pauly et al 2001)
increasing opportunistic species mask the loss in the original
species. The IB project applies the MSA, as a universal end term, to give meaning to monitoring data and in modeling studies.
Analyzing the Impacts of the GMS Biodiversity Conservation Corridors Initiative:
A Toolkit of Policy Relevant Indicators and Models
.
99
Index
1.0
0.5
0
1981
1990
2000
The Kenya WildLife Services and various researchers
have over the decades censused water birds on several lakes in
Kenya. As a result many time series of population size are
available. Though these data are too complex in their raw
form to be interpreted by most people, they can be simplified
into meaningful indicators in different ways to answer
different questions. Calculating a multi-species indicator (in
this case for 8 bird species on lake Naivasha) using the method
of the Living Planet Index provides an overview of the trend
in species status over time in these wetlands and by implication
of the trend in biodiversity status more generally.
13.3 Tool 2: Why is it changing - biodiversity modeling
Models capture knowledge on the relationship
between human activities, the environment and
biodiversity. Thus they can answer questions on the
impacts of policies on biodiversity, ecosystem goods and
services and human wellbeing. A model may also help
to find the major causes of change and the most
impacted areas. Furthermore models are used to check
whether and when targets can be met.
13.3.1 The GLOBIO 3 Model
The Netherlands Environmental Assessment
Agency, the UNEP World Conservation Monitoring
Centre and UNEP-GRID Arendal developed the GLOBIO
(Global Methodology for Mapping Human Impacts on the
Biosphere) 3 model. GLOBIO 3 uses quantitative
relationships between environmental pressure factors
and biodiversity, based on state-of-the-art knowledge
from literature. Pressure factors comprise climate
change, land use change, nitrogen deposition, fragmentation, infrastructure and settlements. The model links to
several other global models, including the global fisheries
100
.
Deforestation trend in the central Andes region in
Ecuador (Cotopaxi, 1979 - 2004, and projection 2015). The
example shows how side-by-side presentation of maps allows
people to visually identify the ecosystems under pressure.
Source: Ecociencia, Ecuador.
model EcoOcean of the University of British Colombia.
The impacts of the various pressures are combined into
the overall change in biodiversity in terms of extent of
ecosystems and species abundance and distribution, in
line with the CBD 2010 indicators.
13.3.2 Collaboration on modeling
When regional data and expert knowledge on
species are available, the generic GLOBIO 3 model can
be elaborated into a region-specific biodiversity model.
To this end, partners develop so-called ecoprofiles,
containing habitat and climate requirements and information on distribution and ecology of species. Using
this information, the model predicts changes in species
distribution and abundance as an impact of land use,
climate change, or other pressures. Based on the
results for the individual species, aggregated indices
can be calculated across the species.
Regional biodiversity models have been
developed in Africa and are currently being developed in
Meso-America, the Northern Andes region, and Ukraine.
Remaining original species richness
Figure 13.3: Biodiversity relationships in the GLOBIO 3 Model - impact of nitrogen, infrastructure, land use, and climate
change on abundance of original species
1,0
b.
a.
0,8
Grassland
0,6
Boreal
0,4
Tundra
Deciduous
0,2
Tropical rainforest
Grasslands
0,0
5
0
20
15
10
0,00 0,25 0,50 0,75 1,00 1,25 1,50 1,75 2,00
Road density (km road km-2)
Remaining original species richness
Exceedance of critical loads for nitrogen (meq m2 yr-1)
c.
1,0
d.
Tundra
0,8
Boreal
Deciduous
0,6
Grassland
0,4
0,2
2
R = 0,70, p<0.01
0,0
1
2
3
4
5
6
7
0,0
Poor people are highly dependent on natural
resources in their immediate surroundings. They extract
timber, fish, crops, and water, and make use of soil
fertility and watershed protection as well as nonmaterial benefits. If more goods are extracted than
generated, livelihoods eventually will become at stake.
The conceptual framework (Figure 13.5) of the Millennium
Ecosystem Assessment shows how human wellbeing is
linked to biodiversity (MEA 2004).
However, the conceptual framework does not
predict how the biodiversity-poverty relationship will work
out. In general, one would expect an environmental
Kuznets curve (Figure 13.6) that shows increased
income at the expense of biodiversity loss (a). This loss
might continue for a long time, but ideally, after a certain
1,0
1,5
2,0
2,5
3,0
3,5
o
Temperature change ( C)
Landuse category
13.4 TOOL 3: Why is it important - biodiversitypoverty linkages
0,5
level of well-being is reached, some biodiversity can be
regained (b). In other cases, biodiversity loss stabilizes
at a certain level when economic activity continues
to increase (c). However, there is also the risk of
overexploitation of the ecosystem, resulting in a loss of
biodiversity (d and e) and finally a failure to deliver goods
and services, and consequently, a decline in human wellbeing (e).
Given these possible pathways the key questions
on the biodiversity-poverty relationship are:
(i)
How can poverty be avoided as a result of
biodiversity loss? (path e)
(ii) How can poverty be alleviated without
biodiversity loss? (path c)
(iii) How can biodiversity restoration facilitate
poverty alleviation? (path b)
.
101
Figure 13.4: Ecoprofile example Gorilla gorilla
Species name
: Gorilla Gorilla
Habitat
: African tropical moist forest
African tropical mountain forest
African tropical lowland forest
African tropical swamp forest
High human impact
Medium-high impact
Low-medium impact
Land use
: Secondary and fragmented forest
Primary forest and forest mosaics
Unsuitable land use
: Savanna and croplands
Distance to roads
: > 1 km
Distance to water
: Not relevant
Altitude
: 0-4000 m
High human impact
Medium-high impact
Low-medium impact
Min. Area Requirement : 100 km2
: 1 km2 (daily average)
Dispersal
Modeling primate habitat for current (2000) and future (2030)
impact of infrastructure with GLOBIO 2 model.
Source: African Mammals Databank.
Animal Diversity Web, IUCN, UNEP-WCMC.
Source: GRASP.
Figure 13.6
102
(a)
(b)
Assumed biodiversity resilience threshold
Direct drivers of change
- Land use change
- Climate change
- Bio fuels
- N-deposition
- Forestry
- Infrastructure
development
.
(e)
(d)
GDP per capita
▲
Life on earth
- Biodiversity
- C-sequestration
▲
Human well being
and poverty reduction
Indirect drivers of
change
- Population
- Economic
- Technology
- Lifestyle (meat cons.)
Biodiversity
Figure 13.5
13.4.1 How to link biodiversity and poverty
The constellation of drivers causing both poverty
and biodiversity loss is different in every occasion, but
“lose-lose” situations are probably determined by a few
typical constellations of drivers, such as “poverty-driven”
and “capital-driven” mechanisms of change. The IB
project and its partners carry out studies to explore these
mechanisms, using two approaches:
(i)
A bottom-up approach by case study research,
correlating drivers that might cause both
poverty and biodiversity loss. So far the
project has set up 10 case studies in selected
countries in Asia, Africa, and Latin America.
(ii)
A top-down approach to find globally
applicable relationships using literature
Outputs of both approaches are used to build a
biodiversity-poverty module as part of the GLOBIO 3
model, for predicting areas with high risk of poverty and
exploring options to timely avoid poverty traps.
13.4.2 Working with partners on biodiversity-poverty
case studies
A step by step approach supports partners to carry
out case studies. Some of the major steps are:
Step 1: Resource user categorization
This example shows how biodiversity loss can
be decoupled from increasing farm income by
intensification of production on a smaller area of
land (horizontal arrow) or by diversification of
production or sustainable production management
in the same area (vertical arrows).
Source: UCA-ADAA, Managua Nicaragua
Step 2: Historical land use pattern analysis
This example shows that pasture is converted
into secondary forests and plantations. Although this
is not the same as the former primary forests (which
are still in decline), this still is beneficial to
biodiversity.
Source: CATIE, Turrialba, Costa Rica
Step 3: Future impact assessment
This example shows how a major ecosystem good
(fodder) is getting lost in a business-as-usual (baseline) scenario, but can be maintained with an alternative sustainable policy package.
Source: T. Struif-Bontkes & J.J. Kessler, Wageningen, The Netherlands
.
103
Results from different case studies are combined
to understand linkages at the global scale. For example,
outputs from three Latin-American case studies at farm
and landscape level were used to identify constellations
of drivers that cause a lose-lose situation for biodiversity
and poverty (Figure 13.7). These poor to extremely poor
communities all depend on natural resources with no
alternatives and are confronted with increasing scarcity
of these resources—the so-called poverty trap. Population growth is high to very high and adequate support by
way of rural development policies is lacking.
Figure 13.7
Constellations of factors causing biodiversity loss
and decrease in human wellbeing
favourable
Maize and bean
farming system in
Chiapas, Mexico
unfavourable
favourable
Livestock production
system in Central
Nicaragua
unfavourable
favourable
Highland mixed
small farmer
production in
Cotopaxi, Ecuador
S
o
lan
lan uita
d
b
d il
fo ity
rp o
R
ro f th
po ura
du e
lic l d
cti
ies ev
elo on
pm
P
en
to ove
t
na rty
tio co
na m
l a pa
ve red
ra
ge
st
es
Ac
c
Po
p
ul
at
io
n
gr
ow
t
h
unfavourable
13.5 Tool 4. What can we do about it - assessments
Governments on national to global scales develop
and implement Biodiversity Action Plans, Socioeconomic
Development Plans and Poverty Reduction Strategy
Papers. In these processes, assessments are needed
to answer key questions of policy makers in a coherent
manner:
• What is changing?
• Why is it changing?
• Why is it important?
• What can we do about it?
104
.
13.5.1 Global assessments
Models and indicators developed by the IB project
facilitate evaluations of socioeconomic and environmental
policies that possibly have effects on land use, climate,
and biodiversity. Using these tools, the IB project
contributes or has contributed to UNEP’s Global
Environmental Outlooks, assessments by the Organisation for Economic Co-operation and Development
(OECD) and the Food and Agriculture Organization
(FAO), the Millennium Ecosystem Assessment, and the
2nd Global Biodiversity Outlook. In the latter, six global
policy options were explored for their contribution to
meeting the 2010 biodiversity target:
(i)
(ii)
Trade liberalization
Trade liberalization combined with poverty
alleviation in Sub-Sahara Africa
(iii) Sustainable meat production
(iv) Bio-energy intensive climate change
mitigation
(v) Large-scale wood plantation
(vi) Protection of 20% of all ecoregions
The following maps (see page 105) show the mean
species abundance of the original species in the baseline scenario for the years 2000 and 2050.
13.5.2 Supporting national and regional assessments
In national or regional assessments, the specific
physical characteristics and specific policy problems of
the area can be taken into account. Generic indicators
and models can be fed with national data to analyze
causes of biodiversity change and to explore policy
options. In collaborative projects, the IB project can
support partners to produce such assessments.
For national assessments the following information
can be used:
(i)
(ii)
(iii)
(iv)
Land use data
Data on pressures
Scenarios
Policy options
An example of a regional assessment is a study
on the greater Mekong region in Southeast Asia, with
project partner UNEP Regional Resource Center in Asia
MSA(%)
Figure 13.8
Mean species abundance (as % of original) in 1970
.
105
and the Pacific. The state and trends of biodiversity were
assessed for 1970, 2000, and 2030 with the GLOBIO 3
model (Figure 13.8). The historical trend and the businessas-usual scenario for 2030 show an increasing rate of
biodiversity depletion. The mean species abundance
drops from 70% to 60% to 40%. The graphs (Figure 13.9)
show the share of different sectors in the loss of
biodiversity under a baseline scenario (left) and the
effects of six global policy options for the reduction of
biodiversity loss (right) in South and East Asia.
Figure 13.9
Baseline development - South and East Asia
mean species abundance (%)
100
Climate
Fragmentation
90
Infrastructure
/settlement
80
Nitrogen
Forestry
70
60
Agriculture
13.6 Lessons learned
50
Biodiversity indicators as selected by the Convention
on Biological Diversity enable track changes in biodiversity
over time and its linkages with human well-being. In
combination with models, these can help to better
understand what has happened in the past, what probably
will happen in the future with current policies, and what
options we have to adjust in the future to fulfill our needs.
These tools help to determine minor and major causes
and which combinations of measures are most promising
from the point of view of different interests and costeffectiveness. These tools were used and appeared to
be useful in UNEP’s Global Environmental Outlook 1-4,
in the Millennium Ecosystem Assessment, in the safe
landing options analyses for the second Global Biodiversity
Outlook as discussed at the 8th Meeting of the Conference
of the Parties (COP8) in Brazil, and regional assessments
on, for example, the Himalayas. Especially in a region
such as the GMS, in which socioeconomic development
is so rapid and large scale, these tools may be of great
help to avoid unchecked development with unnecessary
losses of ecological, social, and economic capital.
13.7 Conclusion and future steps
The indicator Mean Species Abundance and the
GLOBIO model can be useful to support policymakers
in their search into a sustainable future. Moreover, these
generic tools can be further improved by replacing
generic cause-effect relationships into region-specific
relationships and adding region-specific pressures, policy
options, and species-modules. We propose elaborate
specific adjustments and applications for the GMS
Biodiversity Conservation Corridors Initiative iteratively
in discussion with the partners in the BCI process.
106
.
40
2000
2050
Change in mean species abundance - South and East Asia
%
level 2000
0
-10
-20
Baseline
2050
Liberalisation
Climate
change
Sustainable
meat prod.
Sustainable
forestry
Protected
areas
What is MNP?
The Netherlands Environmental Assessment
Agency (MNP) is an independent assessment agency
in the Netherlands. MNP has assumed the role of
charting the current status of the environment and
nature in collaboration with a range of scientific
institutes and other national assessment agencies to
support a broad, ecologically based, political and social
discussion. Policy makers use MNP research findings
to develop, implement, and enforce environmental policy.
The MNP teams share their knowledge and expertise
with national and regional governments, and with
supranational bodies around the world.
14. Transport Infrastructure and Wildlife Trade
Conduits in the GMS: Regulating Illegal and
Chris R. Shepherd, James Compton
and Sulma Warne
Summary
Harvest or extraction of wild animals and plants
from the ecosystems of the Greater Mekong Subregion
(GMS), largely driven by the demands of domestic and
international trade, has been assessed to be one of the
greatest threats to the remaining biological diversity in
the six countries. Rates of extraction and trade generally
have increased over the past two decades with rapid
economic development and rises in purchasing power,
with many harvesting regimes moving from subsistence
to commercial levels of extraction to satisfy domestic and
international demand.
At the same time, access to previously remote
areas has been facilitated by transport infrastructure
development: even when habitats remain largely intact,
the trend towards the ‘empty forest syndrome’ is of major concern. The existing protected area systems of the
GMS countries provide the last reserves of habitat and
biodiversity, but as expanding transport infrastructure
combined with land conversion encroaches on their
boundaries, these last outposts are likely to become even
more threatened unless realistic mitigation measures are
designed and implemented to prevent the “economic
corridors” becoming wildlife trade superhighways.
14.1 Background
“Mandalay, Lashio and Muse cities in Burma are
now connected by a smooth highway and this is a major
trade route between Burma and Yunnan. If people learn
that there is a good price for pangolins in China, they
go hunting for them. Turtles and otters are rapidly
disappearing; pangolins and tigers are already extinct in
most parts of Burma”. – From Myint Zaw, Inter Press
Service News Agency, May 2005.
Wildlife trade, along with habitat loss, is regarded
as the most serious threat to the biological diversity of
the GMS, and in some key areas has been assessed to
be the greatest threat to remaining animal populations
(e.g., Baltzer, et al 2001). In general terms, Cambodia,
Lao PDR, and Myanmar act as sources for wildlife trade
while Viet Nam, Lao PDR, and Thailand play dual roles
as source and re-export countries. The People’s Republic
of China (PRC) is the greatest consumer country in the
GMS, particularly for flora and fauna species used as
food and in traditional medicines (World Bank 2005). The
PRC also supplies traditional medicine ingredients (e.g.,
medicinal plants) to its neighbors and globally to the
ethnic Chinese diaspora.
Local populations of numerous species native, and
in some cases endemic, to this region have declined
markedly due to over-exploitation to supply persistent
demand. As economies have opened up and continued
to develop in the GMS over the past decade, increased
purchasing power has created a concurrent increase
in the scale of demand for wild animals and plants. This
is driven by a combination of increasingly powerful
local and regional (i.e. within the GMS) markets, and
international market demand from East Asian countries,
including the PRC; but it is important not to discount the
significance of the market in the EU and North America
for particular species and products.
Species found in the GMS countries that have
suffered drastic declines due to over-exploitation include
the more charismatic megafauna such as Tiger Panthera
tigris, Sumatran Rhino Dicerorhinus sumatrensis, Javan
Rhino Rhinoceros sondaicus, and Asian Elephant
Elephas maximus, but also numerous lesser known
animal and plant species, such as pangolins Manis spp.,
tortoises and freshwater turtles, agarwood Aquilaria spp,
timber (e.g., Fokienia hodginsii) and numerous wild
orchid species.
The PRC, in terms of both volume and frequency
of demand, is the most significant consumer country in
the GMS. The PRC’s demand encompasses animal and
plant specimens and cargoes sourced from other parts
of the world, including Southeast Asia, that may be
transiting GMS countries en route to end-destination
markets. This demand is driven by long-established
Transport Infrastructure and Wildlife Trade Conduits in the GMS:
Regulating Illegal and Unsustainable Wildlife Trade
.
107
patterns of consumption for use as traditional medicines,
wild meat and tonic foods, and is concentrated in the
south-eastern provinces of the PRC including Yunnan,
Guangxi and Guangdong. Wildlife enters the PRC
directly (by road) from Viet Nam, Myanmar, and Lao PDR
at a number of major crossings, the most significant
probably being via Viet Nam through the northern
border provinces of Lang Son, Lao Cai, and Quang Ninh.
As the north-south transport corridors connecting
Myanmar, northern Thailand and Lao PDR to PRC
become more developed, however, this current primacy
of Viet Nam as a conduit to the PRC may shift.
There are, in addition to the PRC, other centers of
demand within the GMS countries for wildlife and wildlife products for use as building materials (timber),
traditional medicines, ornamental decorations (horns and
antlers, orchids, wild cat skins), luxury souvenirs (ivory,
Hawksbill Turtle, Eretmochelys imbricata shell) and pets
(particularly birds and reptiles). Many of these nodal
points (e.g., across Myanmar, Thailand, Lao PDR,
Cambodia and Viet Nam) are becoming increasingly
connected as east-west transport corridor linkages
become complete.
However, despite escalating concern that the
volumes and frequency of extraction and trade are not
being adequately addressed on the ground, the regional
policy environment to deal with illegal and unsustainable
wildlife trade has never been more supportive towards
addressing this complex set of threats. With Cambodia
(1997), Myanmar (1997), and finally Lao PDR (2004)
becoming Party to the Convention on International Trade
in Endangered Species of Wild Fauna and Flora (CITES),
all six GMS countries now have the same international
regulatory obligations for many of the species of animals
and plants threatened by trade.
In 2004, Viet Nam hosted the inaugural meeting
of the six GMS countries to improve CITES and wildlife
trade co-operation, which produced a concrete set of
action points. (A second meeting on issues pertaining
to Mekong Sub-regional CITES Implementation and
Enforcement was held in Kunming, PRC, in July 2006.)
Later that year, as Thailand hosted the 13th Conference
of the Parties to CITES, the 10 Member Countries of
the Association of Southeast Asian Nations (ASEAN)
signed a commitment to increase co-operation on CITES
108
.
implementation and law enforcement to combat illegal
and unsustainable trade, known as the “ASEAN Statement
on CITES” (see www.aseansec.org/17750.htm). Adding
weight to this regional commitment was the Prime
Minister of Thailand’s opening address to CITES CoP13,
in which he called for the establishment of a ‘wildlife
Interpol’ to combat wildlife crime.
That same year, the Prime Minister of Viet Nam
officially endorsed a five-year National Action Plan
specifically on improving wildlife trade controls; and two
provinces of Viet Nam (Ha Tinh and Quang Binh) signed
a transboundary cooperation agreement specific to wildlife trade with their provincial counterparts in Lao PDR
(Bolikhamsay and Khammouane).
In 2005, momentum at the ASEAN level stepped
up further with the development and Ministerial endorsement of the ASEAN Regional Action Plan on Trade in
Wild Fauna and Flora 2005-2010 (www.aseansec.org/
17753.pdf), under which five objectives address needs
for improved legislation, better regional law enforcement
co-operation, increased scientific research to inform
wildlife trade management decision making, and to
encourage industry groups, trade associations/traders
and local communities to comply with legality and
sustainability requirements of CITES and national
regulations
This process in turn catalyzed the formulation
of the ASEAN Wildlife Law Enforcement Network
(ASEAN-WEN) which was launched in December 2005
(www.aseansec.org/17933.htm), and had its first official
meeting in May 2006 where a Terms of Reference was
agreed. ASEAN-WEN aims to address critical elements
of wildlife trade law enforcement co-operation, notably
bringing Customs and Police jurisdictions into more
structured collaboration with government departments
tasked with natural resource management. These
national-level structures will then provide the building
blocks for bilateral and regional co-operation on wildlife
trade law enforcement under ASEAN-WEN. When
considering the producer-consumer trade dynamics, it
is significant that the PRC has also attended ASEANWEN events as an observer.
The regional policy context, as outlined above,
would seem to be very much conducive to translating
this political commitment in the GMS countries into
action on the ground.
14.2 Current situation
Over the past few years, numerous seizures
involving large volumes of endangered species have
been made in the GMS, involving tons of reptiles (e.g.,
snakes, monitor lizards and freshwater turtles),
mammals (e.g., pangolins), plants (orchids), and timber
(Table 14.1). Despite these successes, animal and plant
species continue to be collected in source countries, and
when compared with volumes still observed in the
markets of the PRC, it is clear that seizures of illegal
shipments represent no more than a small percentage
of what is actually being traded.
Among the most commonly seized animals are
pangolins, freshwater turtles and tortoises, and snakes;
all of which are in high demand for their medicinal value,
as well as for consumption in the PRC, and to a lesser
extent, Viet Nam. Other species of concern transported
along these routes to destination markets, whether live
or as products and derivatives, include bears, leopards
and tigers.
Pangolins are one of the most frequently traded
species groups from and through the GMS, predominantly for end-consumption in the PRC where the meat,
blood and scales are either consumed as “tonic food” or
used in traditional medicinal applications. The skin is
also tanned to make leather products. As populations of
pangolins nearer to the PRC have been depleted (e.g.,
in Lao PDR and Viet Nam), sourcing has diversified into
Thailand, Malaysia, and Indonesia. In 2002, personnel
transporting pangolins from Thailand to Lao PDR stated
to a TRAFFIC investigator that pangolins were now
extremely difficult to find in Lao PDR, and the large
volumes they were regularly moving through Lao PDR
from Thailand to Viet Nam and on to the PRC were from
Malaysia. This fact is borne out by numerous seizures of
north-bound pangolin cargoes by authorities in peninsular
Malaysia. Increasingly, shipments of pangolins bound for
the PRC are coming also from Sumatra, Indonesia, indicating
that the populations in Malaysia may also be declining.
These shipments are largely made by road—and the
transit time has become increasingly faster as the road
infrastructure has improved in the GMS countries.
Chelonians are also among the most voluminous
species transported from Southeast Asia to the PRC,
often by air. Nearly all species of Asian freshwater
turtles and tortoises are consumed in South PRC (Ades,
et al 2000), although the bulk of species observed in
Chinese markets are Southeast Asian species (Compton
2000). Trade represents the greatest threat to the longterm survival of Asia’s freshwater turtles and tortoises
(van Dijk 2000). The PRC and, to a lesser extent, ethnic
Chinese communities, make up the bulk of the consumer
market for freshwater turtles and tortoises, for food and
traditional medicines (Compton 2000).
To date, a number of attempts have been made to
quantify the value of illegal trade in wildlife and although
it is extremely difficult to make exact estimates, evidence
would suggest that it is a multi-billion dollar business. In
2002, Viet Nam’s wildlife trade alone was estimated at
over US$ 65 million annually (World Bank 2005).
Although it is widely recognized that illegal wildlife
trade is a significant factor in the rapid decline, and even
local extirpation, of some species, what is less considered
is the impact it has on rural communities many of which
are still largely dependent upon the natural resources
of their environments. For many rural communities, wildsourced plant and animal species form the basis of food,
medicine, fuel, building materials, and clothing upon
which they depend for survival. The decline and loss of
these species is exacerbated through larger-scale commercial exploitation, often driven by outside business
interests. It could be argued, therefore, that the shift to
largely unmanaged commercial levels of extraction, aided
by more efficient transport infrastructure, poses a direct
threat to the livelihoods of these communities.
14.3 Regulation and control of transport by land
It is now widely agreed that consumer demand for
wildlife and wildlife products in the PRC, Europe, and
North America is one of the most significant drivers of
wildlife trade. Underpinning this, however, are other
driving factors such as the massive profits associated
with the trade, the very low risk of being caught, minimal
disincentive in terms of the punishment associated with
wildlife crime, and increasing ease of access to resources
through transport infrastructure development.
.
109
Table 14.1: Examples of recent seizures made in the GMS
Species seized
Location of seizure
Origin
26 May 2004 500kg of turtle
plastron said to be
from Indotestudo
elongata, Orlitia
borneensis and
Morenia ocellata
Border of Myanmar
and Yunnan
Province, PRC
Myanmar (possibly
other countries, as
Orlitia borneensis is
not found in
Myanmar)
Date
Destination
Mode of transport
Chengdu, PRC
5 April 05
3.5 tons of turtles
Thanh Hoa
and 2 tons of
Province, Viet Nam
monitor lizards,
snakes and pangolins
Mekong Delta
PRC
province of Long An.
Animals are suspected
to have been smuggled from Cambodia
or Myanmar
Truck
14 June 05
330kg of turtles,
90kg of pangolins,
and 8kg of snakes
Bac Ninh Province,
Viet Nam
Unknown
PRC
Public bus
2 March 06
147 Long-tailed
Macaques Macaca
fascicularis (291kg)
Quang Ninh, Viet
Nam
Hai Phong City, Viet PRC
Nam
Public bus
27 March 06 5 Malayan porcupines Hystrix
brachyura and one
civet.
Da Nang City, Viet
Nam
Unknown
North Viet Nam and Public bus
PRC
29 March 06 70 Long-tailed
Macaques
Phu Yen, Viet Nam
Unknown
Vinh City, Nghe An, Mini-bus
Viet Nam
Thai-Lao Friendship Bridge (Udon
Thani to Vientiane)
Southern Thailand
PRC
Private Vehicle
Lao PDR
Air
7 April 06
Approx. 100
pangolins
7 June 06
Tiger bones Panthera Don Muang
tigris (amounting to 6 Airport, Bangkok,
tigers)
Thailand
Hat Yai, southern
Thailand
26 June 06
245 pangolins and 63 Don Muang
freshwater turtles
Airport, Bangkok,
Thailand
Penang, Malaysia
As harvest areas move further away from collection
centers and end-use markets, efficient transport becomes
increasingly important. Large quantities of live specimens
are moved by air, to keep mortality levels low, but for
other hardier species, transport by road is preferred.
Species that are already dead are also often sent by
road.
110
.
As road transport infrastructure improves, and new
airports and seaports open up to international traffic, so
too does the efficiency of transporting wildlife. Illegal
shipments of wildlife move from source to market with
small chance of interception, as current levels of enforcement, regulation and control of the transportation of
wildlife and other illicit cargoes along these major road
networks are generally very poor.
Inefficient regulation and low capacity to monitor
and enforce legislations pertaining to the wildlife trade
along these major transport routes allows the illegal trade
to continue on a large scale. As the number and quality
of land routes increases, so too does the importance of
these routes to wildlife smugglers. However, the capacity
of the enforcement agencies responsible for controlling
this trade is not increasing at the same pace.
Clear evidence of this was apparent at a 2006 “training
of trainers” workshop on CITES implementation, for
Customs officers in Viet Nam organized by TRAFFIC,
where most of the participants had little, if any, knowledge
about the Convention, and of more concern, almost no
understanding of the role they were required to play in
implementing it.
Lack of knowledge on international Conventions
(and the national laws that support them) is only one
aspect of the problem. The overall situation is exacerbated
by a range of other factors such as: low awareness of
national laws regulating wildlife harvest and trade; very
little capacity to identify species and distinguish between
protected and non-protected specimens; minimal levels
of intra- and inter-agency co-operation; and an overall
lack of human resources, equipment and access to
important resource materials. Furthermore, Customs are
only one part of the law enforcement equation. Other
important law enforcement agencies, most of which are
also limited in their capacity and understanding of the
impacts of illegal and unsustainable wildlife trade, include
the police, prosecutors and the judiciary, quarantine, and
staff involved with the functions of national CITES
Management and Scientific Authorities.
These are critical issues because without such
an inter-agency law enforcement mechanism in place
throughout the GMS, economic development via
increased transport infrastructure will indeed facilitate
these corridors to become the ‘super highways’ of the
wildlife trade.
(i)
increasing the deterrent to participate in
illegal activity through efficient legislation,
monitoring and surveillance, detection,
seizures and prosecutions.
(ii)
Enforcement capacity in GMS countries to
address illegal and unsustainable wildlife
trade is limited and weaknesses such as
these are being taken advantage of by wellorganized crime networks.
(iii) Rapid economic development, and associated
infrastructure development, is making formerly
remote biodiversity reserves more accessible,
and with that rates of extraction and trade of
wildlife and wildlife products are likely to
increase.
(iv) Wildlife trade concerns need to be integrated
into economic development planning
processes so that mitigation measures are
adequate and effective, and that sustainable
development goals are supported.
(v)
Although illegal and unsustainable wildlife
trade is increasingly gaining recognition as
an issue of concern in the GMS, it needs to
be accorded a much higher political profile
and more funds and resources need to be
invested for the problem to be effectively
addressed.
(vi) A growing middle class is demanding wildlife
and wildlife products inside GMS countries,
and the associated commercial wildlife trade
activity is servicing external markets.
(vii) Together these factors are having serious
negative impacts on species diversity and
richness, ecosystems, and the environment
in general.
14.5 Conclusions and future steps
Illegal wildlife trade is an attractive and
lucrative business and will persist unless
robust mechanisms are put into place to
address the problem systematically, including
The economic development of the GMS since
1992 has focused primarily on increased connectivity and
integration via economic corridors aligned both northsouth and east-west. Within these economic corridors
.
111
are transport infrastructure networks that are already
important conduits (by road, air, sea, and rail) for the
transport of many natural resources, including illegally
and unsustainably harvested animals and plants. The
more streamlined these economic corridors become, in
an increasingly liberalized trade environment, the
greater the potential impact on remaining reserves of
biodiversity—including in protected areas and other
extant ecosystem habitat that becomes increasingly
adjacent to this expanding infrastructure.
If viable populations of wild animals and plants in
the GMS, and throughout Southeast Asia, are to persist,
urgent interventions are required to disrupt the regular
flow of illicit wildlife shipments along these major
transport routes.
Increased capacity and resources for the various
agencies responsible for controlling this trade, especially
at the numerous international border crossings is
essential; including the ability to enforce CITES (to which
all ASEAN countries—and the PRC—are Parties) and
national laws and regulations.
The issue of illegal wildlife trade must be accorded
priority among the various donors and other stakeholders
involved in the development of transport infrastructure
in the region. Combating illicit movements of wildlife trade
may best be addressed by linking GMS development
priorities with the goals of the ASEAN Wildlife Enforcement
Network, the wider ASEAN Regional Action Plan on Trade
in Wild Fauna and Flora 2005-2010, and the ongoing
co-operation between the six GMS countries on matters
pertaining to wildlife trade.
There would seem to be, therefore, great opportunity
for the Asian Development Bank’s Core Environment
Program and specifically the Biodiversity Corridors
Initiative to include as a priority for its work with the GMS
countries the establishment and implementation of
necessary safeguards (inter alia technical, human and
regulatory capacity, training and strategy) to ensure that
any further negative impacts on biological diversity and
long-term sustainable development are mitigated.
112
.
References
Ades, G., Banks, C. B., Buhlmann, K. A., Chan, B., Chang, H.,
Chen, T., Crow, P., Haupt, H., Kan, R., Lai, J., Lau M., Lin, H.
and Haitao Shi. (2000). Turtle Trade in Northeast Asia:
Regional Summary (China, Hong Kong, and Taiwan). In: van
Dijk, P. P., Stuart, B. L. and Rhodin, A. G. J, eds., (2000). Asian
Turtle Trade: Proceedings of a Workshop on Conservation and
Trade of Freshwater Turtles and Tortoises in Asia, Phnom Penh,
Cambodia, 1-4 December, 1999. Chelonian Research
Monographs, No. 2; Chelonian Research Foundation.
Baltzer, M. C., Nguyen Thi Dao and Shore, R. G. (Eds.) (2001).
Towards a Vision for Biodiversity Conservation in the Forests
of the Lower Mekong Ecoregion Complex. WWF Indochina/
WWF US, Hanoi and Washington D.C.
Compton, J., (2000). An Overview of Asian Turtle Trade.
In: van Dijk, P. P., Syuart, B. L. and Rhodin, A. G. J, eds. (2000).
Asian Turtle Trade: Proceedings of a Workshop on Conservation
and Trade of Freshwater Turtles and Tortoises in Asia, Phnom
Penh, Cambodia, 1-4 December, 1999. Chelonian Research
van Dijk, P. P. (2000). The Status of Turtles in Asia. In: van
Dijk, P. P., Stuart, B. L. and Rhodin, A. G. J, eds., (2000). Asian
Turtle Trade: Proceedings of a Workshop on Conservation and
Trade of Freshwater Turtles and Tortoises in Asia, Phnom Penh,
Cambodia, 1-4 December, 1999. Chelonian Research
Lin, J. (2005). Tackling Southeast Asia’s Illegal Wildlife Trade,
Singapore Year Book of International Law.
World Bank. (2005). Going, Going, Gone: The Illegal Trade
in Wildlife in East and Southeast Asia. Environment and Social
Development Department, East Asia and Pacific Region.
Washington D.C.
15. Northern Plains Landscape Conservation Cambodia
Tom Clements
Summary
The Northern Plains Conservation Landscape
Project of the Wildlife Conservation Society (WCS) is
working with the Royal Government of Cambodia to
improve overall conservation planning across a large,
complex landscape containing Protected Areas, rural
communities, logging concessions, and unclassified
forests. Extensive research has demonstrated that the
protected area network is incapable of effectively
conserving the biodiversity values of the landscape:
areas are either inappropriately located, do not capture
the range of species and habitats present, or have little
connectivity. The ramifications of this are that landscapelevel biodiversity conservation outcomes will require
strategies both inside and outside protected areas,
including measures to improve linkages across the landscape between conservation areas.
In response, the project has developed a landscape-level plan for the Northern Plains that aims to
deliver biodiversity outcomes within productive landscapes through the application of innovative landscapelevel tools to map conservation, development and
cultural values. The plan recognizes four ‘key sites for
conservation’ that together include a representative
sample of key habitats and species in areas sufficient
to maintain the ecological integrity and connectivity of
the landscape. These are complemented by areas of
importance for cultural values, local livelihoods, or
agro-industrial development.
In partnership with national and provincial government
agencies, WCS has been implementing the landscape
plan since late 2005. It is being adopted as the provisional
basis for zonation of conservation areas—including core,
buffer and community zones—and is now being further
refined through participatory land and natural resource
planning with local communities. Further, the plan is now
used by government agencies to guide development
decisions—for example the recent designation of a
rubber plantation outside the key sites for conservation,
or movement of a road due for rehabilitation under a
World Bank project, to better serve local communities.
15.1 Background
The Northern Plains of Cambodia is one of the
largest remaining extensive intact block of a unique landscape of exceptional global importance for biodiversity
conservation. The area is either a last refuge for, or
maintains a key population of 36 species on the IUCN
Red List, including six listed as Critically Endangered—
a greater number of Globally Threatened species than
any other landscape in Cambodia (Table 15.1). It is
equivalent to the ADB Biodiversity Conservation Landscape. Northern Plains Dry Forests contains a large
portion of one of WWF’s Global Priority Ecoregions
(Olson and Dinerstein 1998, Wikramanayake et al 2001),
is within the Indo-Burma biodiversity hotspot (Myers et
al. 2000) and includes four Important Bird Areas
(Stattersfield et al 1998).
Many species that rely on these forests are known
to be extinct elsewhere in their historical range, thus
heightening the value of this landscape. One, the Giant
Ibis Pseudoibis gigantea, was only known from a handful
of records in the 1900s, until rediscovered by WCS in
considerable numbers in the Northern Plains. Conservation
of these species is particularly challenging because the
majority of them—large birds and mammals—have large
spatial requirements.
The landscape is defined by the geography of the
area, its boundaries being naturally delimited by the
Dangrek Mountains to the north, the Mekong River to
the east and the Tonle Sap Great Lake to the south and
west. The total region covers over 19,000 km2. Land
tenure in the area is complex as the Northern Plains
stretches across the borders of five Provinces, includes
three Protected Areas and seven currently dormant
logging concessions (see Map 15.1). The landscape is
continuous with similar habitats in Lao PDR and
Thailand, including Dong Kanthong proposed National
Biodiversity Conservation Area (NBCA) in Laos and Yot
Dom Wildlife Sanctuary and Phu Jong Na Yoi National
Park in Thailand, all on the border of Cambodia.
The area is one of the most remote regions of
Cambodia, a country that ranks amongst the poorest in
.
Northern Plains Landscape Conservation - Cambodia
113
Table 15.1: Biodiversity values of the Northern Plains in comparison to other landscapes
a) Globally Threatened Mammals
Faunal Area
Northern Plains
Eastern Plains
Southern Annamites
Cardamoms
CR
EN
VU
NT
DD
Total
1
4
4
4
2
8
7
8
5
5
4
3
7
6
5
4
4
24
20
19
18
(b) Globally Threatened Birds
Faunal Area
CR
EN
VU
NT
Total
Northern & Eastern Plains
Tonle Sap
Mekong River
Cardamoms
Southern Annamites
Coastal
4
1
1
2
2
5
7
2
2
2
2
7
6
4
3
3
2
18
16
7
6
5
5
1
1
South-East Asia. From the early 1970s the region was a
central base of the Khmer Rouge and as a consequence
experienced long periods of conflict and civil war, which
only ceased in 1998. Many of the local communities
belong to the indigenous Kui ethnic group. The vast
majority of families rely on subsistence rain-fed paddy
rice growing, collection of forest products and seasonal
fishing at forest pools. Chamkar (shifting cultivation) is
practiced by many families for vegetables and either to
supplement rice production from paddyfields, or as an
alternative. Fish from forest pools are the principal source
of protein. Livelihood assessments have highlighted the
prevailing food insecurity in the region, which is only
mitigated by the extensive availability of forest products,
which provide up to 50% of livelihood needs (Navarro
2003, McKenney et al 2004).
In addition to the landscape’s importance for
biodiversity conservation and local livelihoods, it also has
significant cultural and tourism values. Molu Prey, in the
centre of the landscape, was the site of one of the first
Stone Age settlements in Cambodia. During the Khmer
Empire (9th-15th centuries A.D.) cities, temples and
roadways were constructed across the Northern Plains.
Some of the cities are of particular historical and tourism
interest: Koh Ker (in southern Preah Vihear) was the
114
.
capital in the early 10th century under Jayavarman IV,
while Preah Khan of Kompong Svay was the largest
temple complex constructed by the empire.
Escalating land and resource use across the
Northern Plains is leading to competing human-wildlife
requirements and loss of key biodiversity and local
livelihood values. Human land and resource use has
increased partly as a result of increasing human population and in-migration, but also because, as security
returns to the area, there is much greater potential for
resource exploitation particularly by outsiders. The
conflicts are exacerbated by the current “open-access”
management system of natural resources across the
Northern Plains—local residents have no recognized
legal or management rights over land and natural
resources. This leads to over-exploitation of forest,
wildlife and water resources through scramble
competition between those best placed to extract them.
15.2 Establishing CALM (Conservation Areas through
Landscape Management)
Although the landscape contains three protected
areas in Cambodia and three further proposed or existent
protected areas in Laos and Thailand, they form a
Map 15.1: Northern Plains
network that currently is incapable of effectively conserving
the biodiversity values of the landscape: areas are
either inappropriately located, do not capture the range
of values or have little connectivity. Simply put, the
spatial and ecological requirements of key species are
often inadequately met by the existing protected areas.
The ramifications of this are that landscape-level
biodiversity conservation outcomes will require strategies both inside and outside protected areas, including
measures to improve linkages across the landscape
between conservation areas.
The WCS Northern Plains Landscape project has
worked in support of the Royal Government to develop
a landscape plan for the Northern Plains. The plan aims
to deliver biodiversity outcomes within productive landscapes through the application of innovative landscapelevel conservation tools. The project has applied the
Landscape Species Approach (LSA), (Sanderson et al
2002; Redford et al 2003; Coppolillo et al 2004)—a wildlife-based strategy pioneered internationally by WCS to
define conservation landscapes, identify threats and
achieve conservation outcomes at the landscape scale
in a cost-effective manner by prioritizing conservation
investments.
The LSA centers on preserving the ecological
integrity of a large area or wilderness through understanding and conservation of a suite of landscape species,
selected as being ecologically representative of that landscape. The approach is to develop strategies for the
conservation of large, complex ecosystems that are
integrated in wider landscapes of human influence which
includes, but is not restricted to, protected areas,
community land, forestry concessions, plantations and
other areas of economic importance. For landscape
scale conservation to be socially as well as ecologically
sustainable, strategies must succeed in a mosaic of
.
115
different land uses that not only conserve biodiversity,
but also allow people to make a living.
each zoned into core and buffer areas and linked by
corridors (Clements 2003).
The focus on landscape species allows the
landscape to become geographically tangible and
ecologically meaningful and makes the targets for, and
outcomes of, conservation investments explicit and
measurable. In other words, the approach defines where
interventions should achieve site-based outcomes in
order to have broader landscape-level impacts. The
Northern Plains are ideally suited to this approach as
the main biodiversity values reside in populations and
unique assemblages of large mammals and waterbirds
which have broad spatial and ecological requirements.
The selection of these key sites implies that
successful management of each, for all of the key species,
will result in the maintenance of all components of
biodiversity across the Northern Plains landscape. However, only two of the key sites, Kulen Promtep Wildlife
Sanctuary and the Preah Vihear Protected Forest are
within formal protected areas. The other sites are the
O’Scach and O’Dar rivers within the Cherndar Plywood
logging concession, which is contiguous with the Preah
Vihear Protected Forest, and the Phnom Tbeng plateau,
inside the TPP logging concession. The remainder of
the Cherndar Plywood logging concession is important
in order to maintain a corridor linking the key sites. The
WCS Northern Plains Conservation Landscape project is
designed to work together with the Government Ministries
and provincial authorities integrate biodiversity values
within the human land-use systems found in these key
sites with the aim of maintaining local populations of key
species. If the assumptions of the LSA are valid then the
suite of sites selected will be (importantly) sufficient for
the successful conservation of all key components of
biodiversity across the landscape.
Simple decision rules were used to select a suite
of ten landscape species (or species groups) that
together covered the range of habitat requirements and
threats (Table 15.2).
During 2002-2003, the distribution of each species
was mapped across the Northern Plains. This distribution was analyzed in comparison with human threats and
used to select four key sites for conservation (Map 15.2),
Table 15.2: Landscape species
Core Landscape Species
Name
Asian Elephant, Elephas maximus
Giant Ibis, Pseudibis gigantea
Eld’s Deer, Cervus eldi siamensis
Large Cats, Panthera spp.
Sarus Crane, Grus antigone
White-winged Duck, Cairina scutulata
Wild Cattle, Bos spp.
Conservation Status
Endangered
Critical
Data Deficient
Endangered (P. tigris)
Vulnerable
Endangered
Endangered (B. javanicus)
Vulnerable (B. frontalis)
Key resources
Evergreen forests
Dry forests and waterbodies
Dry forests and waterbodies
Prey populations
Grasslands and waterbodies
Riverine forests
Evergreen and dry forests
Special Elements, species of limited range but of conservation importance, or indicators of particular resources
Name
Conservation Status
Key resources
Flooded rivers
Oriental Darter, Anhinga melanogaster Near-threatened
Vultures, Gyps spp. and Sacrogyps spp. Critical, (G. bengalensis, G. tenuirostris) Prey populations
Near-threatened (S. calvus)
Waterbodies
White-shouldered Ibis, Pseudoibis davisoni Critical
116
.
Map 15.2: Key sites for conservation and landscape plan
15.3 Community conservation- integrating
conservation and local livelihoods
The second component of the Northern Plains
Landscape plan relates to integrating conservation
priorities with the livelihoods of local people. Rural Khmer
and particularly Kui villages are heavily reliant on collection of forest products for their livelihoods. Although the
rights of local communities to access land and forest
resources are recognized in Cambodian Law, this legal
framework is new and has yet to be applied in the Northern
Plains. Local communities therefore are vulnerable
and poorly equipped to resist resource exploitation by
immigrants and power figures.
Land is being lost through forceful land grabs and
through illegal sales, which reduces the availability of
land for the original residents and either causes worsened
poverty or drives them to clear more forest. Forest
products are threatened by illegal harvests that damage
the resource. The best example is fish, which is the main
source of protein for most villagers. Stocks are declining
due to increased harvesting by outsiders for local markets,
especially using electric shock equipment or artificial
poisons.
Establishing local rights to land and forest resources
is essential therefore in order to protect livelihoods and
ensure that the transition to the opportunities and risks
of the modern market economy does not lead to increased
poverty. WCS is assisting Government departments to
use Participatory Land-use Planning (PLUP) as a tool to
identify and establish local rights to land and forest
resources and to resolve conflicts. The PLUP outputs
include maps of land zones around communities together
with regulations on land and natural resource exploitation, which are recognized by the relevant government
authority. This can eventually lead to land titling in
villages that request it. Map 15.2 shows some
examples of community agricultural areas.
.
117
Land and natural resource rights established
through the PLUP process provide the basis for more
advanced community development planning. This could
include, for example, agricultural assistance, community
commercial forestry (McKenney et al 2004), eco-tourism
development, or creation of new markets. WCS has
engaged a local development NGO, Farmer Livelihood
Development, to provide specific agricultural assistance
in support of existing land-use plans. This is helping
poor families to improve their agricultural output and to
diversify their systems (through, for example, creation of
fish ponds) within the village agricultural area.
Recent reviews of Integrated Conservation and
Development Projects have shown that there are very
few incidences where increasing peoples livelihoods or
meeting developmental needs has contributed to
conservation objectives (Wells et al 1999; Chape 2001;
Ferraro and Kiss 2002). Many conservation projects
around the world are emphasizing more direct incentives
approach or in some cases a direct payment for biodiversity
conservation. These payment plans are based on a
person or group of people producing conservation
outcomes in exchange for a payment in cash or in
(Ferraro and Kiss 2002).
“Direct payments” and “conservation easements”
are actually much more accepted in developed countries
than developing (e.g., set-aside payments under the EU’s
Common Agricultural Policy). Proponents argue that
in addition to being more effective at delivering the
conservation objective they may actually be simpler to
implement and therefore more efficient, cost-effective,
sustainable and deliver more substantial development
benefits. In the Northern Plains, WCS is piloting a range
of incentives to encourage the adoption of sustainable
livelihood practices and, in some cases, establish a
legal market value for maintenance of wildlife populations
and habitats.
The most successful example of this approach is
the innovative Tmatboey Ibis Eco-tourism project,
implemented in partnership with the Ministry of
Environment. The flagship species—the Giant and
White-shouldered Ibises—are amongst the rarest bird
species in the world and attract international visitors from
around the world. Tourists provide direct employment
118
.
for local guides as well as contributions to a community
development fund in exchange for community agreements not to hunt wildlife, particularly the large waterbirds.
Revenue in 2005-6 was greater than $4,000—a
considerable sum for a poor Cambodian village—in
addition to service payments. The project has led to
substantial reductions in hunting, in addition to significant
increases in community conservation awareness and
‘pride’ in their populations of critically endangered ibises.
15.4 Planning development activities
Effective landscape management requires the
adoption of an integrated development plan, which
recognizes biodiversity conservation, local livelihood and
cultural values in addition to national development
ambitions. Uncoordinated development is a major threat
both to local livelihoods and to biodiversity conservation.
Local people are vulnerable to harm from many aspects
of national development, including logging concessions,
and agro-industrial plantations if these do not respect
their current livelihoods. Similarly, uncoordinated
development could significantly impact biodiversity
conservation if priority areas were not recognized.
The WCS Northern Plains Landscape project is
working to introduce biodiversity values into landscapelevel planning processes, through building the capacity
of provincial departments and authorities to integrate
conservation priorities with established provincial
planning processes. A key partner is SEILA/PLG
(Partnership for Local Governance), an aid mobilization
and coordination framework in support of the government’s decentralization and deconcentration reforms,
whose goal is to contribute to poverty alleviation through
good governance.
PLG specifically provides technical assistance and
funding to provincial government, provincial departments
and district and communal authorities in support and
implementation of development plans. The Northern
Plains Landscape project is contributing to those plans
through training officials and representing biodiversity
conservation priorities at the various planning stage, e.g.
a recently proposed World Bank funded road upgrade
planned to rehabilitate an historical road line that is now
barely used (Map 15.3).
Map 15.3: Proposed road development
This line would, however, not serve local communities who have relocated over the last 40 years to an
alternative road. In addition, the proposed road would
severely impact the natural habitats inside the Preah
Vihear Protected Forest, one of the key sites for conservation. Accordingly the WCS Northern Plains Landscape
project is working together with district officials and
provincial departments to advocate an alternative road
line, which would better serve local communities and
reduce the impact on the natural habitats.
populations of all natural habitats and species found in
the Northern Plains. Biodiversity corridors have been
identified to link the key sites and ensure ecological
connectivity. The key sites for conservation are being
integrated with local livelihood priorities, using participatory land-use planning techniques, to develop specific
local maps and regulations which can be recognized by
government departments. At the provincial and national
scale, the plans are being used to inform development
activities – such as the location of road upgrades or agroindustrial plantations.
15.5 Conclusions
Acknowledgments
The Northern Plains Biodiversity Conservation
Landscape is of global importance for biodiversity
conservation. These conservation priorities have been
recognized in an integrated landscape plan developed
by WCS with the Ministries of Environment and
Agriculture, Forestry and Fisheries. The plan recognizes
a complementary set of key sites for conservation which
together contain ecologically viable areas and
The author would like to thank the Wildlife
Conservation Society for support and funding, particularly
Joe Walston and Colin Poole. Survey work was
conducted by Tan Setha, Sin Polin, Tong Yee, Prum
Sovanna, Kong Kim Sreng, An Dara, Sok Ko, Men
Soriyun, Pech Bunnat, Thong Sok Ha, Songchan
Socheat, Frederic Goes and Pete Davidson. Part of the
project was financed by a PDF-B grant from UNDP/GEF.
.
119
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and S.E. Ward. (2002). A conceptual model for
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16. Photo-Monitoring of Changes in Biodiversity
in Yunnan Province, People’s Republic of
China1
Jim P. Lassoie, Robert K. Moseley
monitoring transects for establishing the baseline for the
long-term monitoring of ecological changes. The photographic temporal assessment that eventually will result
will help assess conservation and development
activities across geographically extensive and diverse
ecoregions, and serve as a means for monitoring the
outcomes of conservation programs at specific locations.
Summary
16.1 Introduction
Barring abrupt natural or anthropogenic disasters,
ecological changes in terrestrial landscapes proceed at
a pace not readily detected by humans. The use of
historical repeat photography can provide valuable
information about such changes, but these studies are
opportunistic in that they must rely on old photographs.
Hence, their ecological interpretative power is compromised by the intention of the original photographer, the
quality of original photographs, an incomplete and
potentially misrepresentative sampling design, and a
limited analytical framework for interpreting ecological
changes. The Nature Conservancy (TNC) has been
using repeat photography to document ecological
changes in northwestern Yunnan Province as part of its
conservation planning efforts in the People’s Republic of
China (PRC). This experience supported the development
of a forward-sampling, ground-based, photo-monitoring
methodology designed around a high quality digital
camera and a comprehensive database management
system, which was tested during the summer and fall of
2003 across two adjacent ecoregions in northwestern
Yunnan: the Hengduan Mountains and the NujiangLancang Gorge. Based on results from a collaborative
ecoregional conservation assessment for the region,
visual indicators obtainable from the resulting photographs were identified and used to assess the threat status (for example, logging, grazing, mining) for five key
ecosystem conservation targets (cold evergreen oak,
evergreen broadleaf forest, mixed forest, subalpine
forests, alpine mosaic). A sampling design strategy then
was developed based on the inherent geographical
variation in the distribution of targets, ethnic minorities
(a surrogate for land-use), and climactic zones (based
on precipitation and temperature) across the region. This
distribution information is being used to design photo1
This paper appeared in the proceedings from the 2004 conference in
Denver, Colorado on “Monitoring Science and Technology Symposium:
Unifying Knowledge for Sustainability in the Western Hemisphere”
(USDA Forest Service Proceedings RMRS-P-42CD).
Northwestern Yunnan Province in the southwestern
part of the PRC is considered a conservation “hot spot”
worldwide owing to its spectacular landscapes and
abundant biological diversity (Myers et al 2000). This
region is also home to three million people, whose lives
depend on the sustainable utilization of its natural
resources. Faced with rapidly changing socioeconomic
conditions and development expectations, however,
some of their livelihood strategies (specifically, enhanced
agricultural and livestock production, and the increased
collection of wood and various non-timber forest
products) are now threatening the area’s rich biodiversity
(Li 2002; Xu and Wilkes 2004). As a consequence, northwestern Yunnan (NWY) is receiving much attention from
the international conservation community, as well as all
levels of the Government.
The Nature Conservancy (TNC) was invited by the
provincial government in 1998 to address the threats to
biodiversity in the NWY using its collaborative and
systematic “Conservation by Design” process (TNC
2001). Called the Yunnan Great Rivers Project (YGRP),
the collaboration produced an ecoregional assessment
in 2002, which identified 19 conservation areas of
biodiversity significance across the five ecoregions that
intersect NWY (YGRPPT 2002).
Following the assessment phase, TNC and local
partners then concentrated their efforts at five action sites
within the YGRP to produce conservation plans and
strategies for effectively protecting and enhancing
biodiversity and the livelihoods of local people (Moseley
et al 2004). However, TNC and the Yunnan government
also are concerned about conservation and rural
development across the portfolio of 19 conservation
areas of biodiversity significance identified during the
ecoregional assessment. While some species-level
inventories exist and detailed vegetation maps are
.
Photo-Monitoring of Changes in Biodiversity in Yunnan Province, People’s Republic of China
121
being assembled for the region, there has been little
research on important landscape-level questions, such
as rates of ecosystem succession, scale and frequency
of disturbance regimes, and patterns and intensity of past
and ongoing threats to conservation targets (Moseley
2004).
TNC has been using repeat historical photography
(e.g., see Rogers 1984; Hall 2001; Turner and others
2003) to understand rates and patterns of ecosystem
change under varying land-uses, to set realistic goals
for conservation programs, and to establish reliable
methods for measuring conservation successes (Moseley
2004). Such investigations also provide a base for
developing a comprehensive photo-monitoring system
for the entire YGRP. Such forward-sampling, ecological
studies of landscape changes are very important to
designing and implementing sustainable conservation
and management strategies (Lunt 2002; Pickard 2002)
and, hence, are critical to the future of biodiversity and
local people in NWY, and elsewhere.
Here we report the development of a relatively
simple, yet rigorous, methodology that employs groundbased, repeat photography as an extensive, efficient, and
cost-effective means for monitoring ecological changes
at the landscape level across expansive ecoregions.
Specifically, this study: (i) designs, tests, and refines an
image capturing and processing workflow methodology
that includes image and metadata management; (ii)
develops and tests an indicator-based analytical framework for assessing ecological changes identifiable and
quantifiable from oblique, ground-based photographs;
and (iii) designs a sampling methodology for selecting
photo-monitoring transects representative of spatial and
temporal variations in landscapes across NWY.
to glaciated peaks at over 6500 m within a distance of
20 km or less. Although at a subtropical latitude, the
region’s climate is characteristically temperate, modified
by a summer monsoon season leading to warm, wet
summers and cool, dry winters. The topographic extremes
that characterize the region cause major microclimatic
differences associated with changes in elevation, slope,
and aspect.
The region’s wide ranging environmental conditions
support a biological diversity rivaling that found in the
tropics (CBD 2001). Five World Wildlife Fund (WWF)
ecoregions (Olson and Dinerstein 1998) are found within
the YGRP, the largest being the Nujiang-Lancang Gorge
and the Hengduan Mountains (Figure 16.1). Ten different
vegetation types occur across the region with the most
important being the alpine mosaic and a variety of
natural forest ecosystems, the latter covering over 60
percent of region (Xu and Wilkes 2004).
All landscapes in NWY have been influenced by
human activities for thousands of years. Population
density is relatively low, especially compared to eastern
PRC, and except for a few modest urban centers, most
people live in rural areas. Although income-generating
endeavors are becoming more important, local people
historically have focused on subsistence agriculture,
including livestock production and the collection of plants
and animals from natural areas. All but two counties in
the YGRP are considered poverty counties under the
Chinese classification system. Fourteen ethnic minority
groups are living within the region, which is significant
because of their differing cultures and practices relative
to land-use (Xu and Wilkes 2004).
16.3 Methods
16.2 Study area
16.3.1 Workflow development
This study was conducted across the YGRP, an
area of over 66,000 km2, comprising 15 counties and
four prefectures (Figure 16.1). The region’s biophysical
uniqueness arises from its location between the QinghaiTibet and the Yunnan-Guizhou Plateaus and from the
four major rivers (Jinsha, Lancang, Nu, and Dulong) that
cut deep, parallel gorges in the landscape all within 90
km of one another. This results in very steep elevation
gradients that can rise from river valleys below 1500 m
An extensive review of repeat photography
literature and modern photographic techniques and
equipment was conducted. Equipment had to be durable
and dependable under wet or dusty field conditions,
extremely portable, able to take and process potentially
thousands of images, and capable of daily operation for
multiple weeks without access to AC power. We
examined data management programs for their
comprehensive capabilities to catalogue a large number
122
.
Figure 16.1: Yunnan Great Rivers Project study area
China
WWF ECOREGIONS
Southeast Asia
Subtropical Forest
Nujiang-Lancang
Gorge
Hengduan Mountains
Yunnan Plateau
North Indochina
Subtropical Forest
Tibet
Sichuan
28˚N
27˚N
26˚N
▼
Guizhou
YGRP
Boundary
Yunnan
25˚N
Guangxi
Myanmar
Vietnam
Laos
98˚N 99˚N 100˚N 101˚N
of images in formats useful for future analysis. Back up
and archival needs were examined in relation to current
technology. A comprehensive workflow was designed in
Ithaca, New York during the first half of 2003, and tested
during the summer and fall in NWY, all leading to a
refined system for image capture, management, and
storage.
16.3.2 Analytical framework
Critical to the successful use of repeated photographs for measuring the impacts of conversation
programs is the analytical framework for interpreting
indicators of change to biodiversity and threats. TNC’s
four-part conservation framework called ‘Conservation
by Design’ provides this important analytical context (TNC
2001). The framework was developed to systematically
focus conservation action on priority biodiversity and
critical threats in a dynamic, adaptive process involving
setting geographic and threat priorities through
ecoregional assessments, developing strategies, taking
actions, and measuring conservation impacts (Groves
et al 2002; Groves 2003).
The conservation planning framework for
ecoregional assessments includes four steps relevant
.
Photo-Monitoring of Changes in Biodiversity in Yunnan Province, People’s Republic of China
123
to the current study: (i) selecting focal conservation
targets from the universe of possible species and
ecosystems, (ii) setting representation and quality goals
for conservation targets, (iii) evaluating the ability of
conservation targets to persist (in other words, assessing
viability and ecological integrity) and (iv) selecting and
designing a network of conservation areas of biodiversity
significance (Groves 2003). Because Conservation by
Design is an adaptive process, it requires monitoring the
conservation status of ecoregions. Critical attributes of
ecoregional measures include:
(i)
tracking progress toward quantitative goals
set for each conservation target during
ecoregional assessments,
(ii) informing whether current management is
sufficient to protect the viability and persistence
of conservation targets in the long run,
(iii) providing a gauge of conservation priorities
and whether they should shift as environmental
conditions change over time, and
(iv) measuring threat status within an ecoregion
to provide an ‘early warning system’ to detect
changes more quickly than relying solely on
biodiversity health measures.
After completing the YGRP ecoregional assessment,
we developed a monitoring framework of 28 prioritized
indicators—nine being health indicators (e.g., size,
erosion, fragmentation) for conservation targets and 19
being threat indicators (e.g., unsustainable collection of
fuelwood and non-timber forest products, over-grazing,
mining). This ecoregional photo-monitoring methodology
is designed to assess several of these threat and target
health indicators that are observable from examining
photographs of landscapes. These were tested for
usefulness based on earlier work using historical photographs by Moseley (2004). Additional land cover, landuse, development infrastructures, geopolitical and
conservation classifications were developed based on
experience in the study area. Combined, all were used
as ‘keywords’ for classifying images taken during the
2003 field season.
16.3.3 Sampling design
A unique feature of the work presented is the
development of a sampling methodology that accurately
represents the diversity inherent across extensive
124
.
ecoregions. Even stratified randomization is inoperable
here owing to the extent of the areas involved, challenges
of accessibility in rugged landscapes, and the need to
gain a landscape perspective that is often distant from
the indicator(s) under consideration. Our approach was
to stratify the study area by features central to the
analytical framework and then to use TNC’s GIS
database to determine the area represented by each.
This work was carried out during the summer of
2004 in preparation for the fall field season. The
features examined were: (i) WWF ecoregions, (ii)
conservation areas of biodiversity significance identified
during the ecoregional assessment, (iii) distribution of
key conservation targets from the ecoregional assessment, (iv) principle ethnic minority present (a surrogate
for culturally based land-use practices), and (v) modeled
climatic zones (B. Baker, Climate Change Scientist, TNC;
personal communication) (Table 16.1).
Next, we designed transects for obtaining ‘baseline’ photographs. The scheme devised sampled each
feature proportional to its distribution within each
stratum. For example, if the mixed forest target covers
34 percent of the Baima Conservation Area, then about
Table 16.1: Features used to stratify Yunnan Great Rivers
Project area for determining photo-monitoring sampling
design
FEATURE
ELEMENTS
Ecoregions (n = 5) e.g. Hengduan Mountains, NujiangLancang Gorge, Yunnan Plateau
Conservation
Areas (n = 19)
e.g., Baima, Nushan, Zhongdian Highlands
Conservation
Targets
CEO: cold evergreen oak; EBF: evergreen
broadleaf forest; MF: mixed forest; SAF:
subalpine forests; AM: alpine mosaic (shrub,
meadow, scree)
Ethnic Minorities e.g., Lisu, Naxi, Tibetan
(n = 14)
1: hot summers, cool winters, very wet; 2:
Climatic Zones
cool summers, cold winters, moderate
(Clusters)
precipitation; 3: warm summers, cool winters,
moderate precipitation; 4: warm summers,
warm winters, moderate precipitation; 5:
warm summers, cool winters, dry
34 percent of the photographs in this area should be
taken of this target. Each feature was examined in relation
to one another to gain a qualitative assessment of the
sampling needs. Since the location of roads and/or trails
is critical logistically, accessibility also was addressed
when designing transect locations.
16.4 Results and discussion
16.4.1 Workflow development
The workflow process was designed to yield
images and their supporting metadata that could be used
in the analysis of indicators of landscape change over
time (discussed later). It consisted of four interrelated
steps: (i) initial image capture, metadata collection, and
temporary storage; (ii) imaging processing; (iii) image
and metadata management; and (iv) storage of working
and archival data files. It is presented in generic fashion,
but specifications for all equipment and software are available from the senior author. Although the entire process
could be conducted under field conditions, it was found
that inclement weather conditions and the lack of AC
power over long periods of time made computer processing
difficult, thus making all but the image capture step better
suited for the office.
Image capture
The system was built around a professional
quality, high resolution, digital single lens reflex camera
capable of accepting exchangeable lenses. Such cameras
offer many options for capturing, modifying, and storing
images. For this study, settings were selected to maximize
the quality of resulting images, which simplifies to holding
the camera steady and striving for the highest quality
captures possible. A sturdy tripod matched with a ball
head was used to precisely position the camera enabling
level, overlapping images typically representing views
o
of 180-360 and, as necessary, to hold it steady during
long exposures. A low effective ISO rating (125 – 200)
was used to reduce digital noise (similar to grain in film
cameras). Images were taken in the RAW 12-bit data
file format yielding uncompressed files approximately 8
MB in size. When storage capacity in the field was limited,
RAW files were compressed by 50 – 60 percent using a
proprietary process reported to cause only a minor loss
in image quality (Cardinal and Peterson 2002). The RAW
format yields unadjusted data from the camera’s CCD
sensor, thus providing the greatest amount of image
information possible while also allowing the greatest
amount of post-exposure manipulation (Cardinal and
Peterson 2001).
Lens quality is an important variable in photography
and various high quality professional zoom lenses
representing digital camera focal lengths from 30 to 600
mm were tested during the 2003 field season. Based on
this work, two new lenses designed for the digital camera
were purchased for the 2004 field season. These yield
an effective focal length range of 18 to 180 mm, which is
well suited to expansive landscapes typical of NWY.
In-camera image capture and temporary storage
capacities must be relatively fast and large owing to the
large files involved. Although we found that carrying two
512 MB cards provided enough storage capacity for two
or three days of intensive photo-sampling, there was a
need to have a portable image storage unit during longer
trips into remote areas. A number of rechargeable storage
devices are available, the most useful and expensive
being those capable of image display. However, because
of a concern over battery longevity, we used a relatively
inexpensive (about US$200), 220-volt rechargeable, 20
GB Chinese unit that lacked image display capabilities.
The major considerations when deciding to rely on such
devices are their battery life, durability under adverse
conditions, and their cost relative to purchasing multiple,
in-camera storage cards. For this project, having three
or four 1 GB cards would be sufficient storage for a field
trip lasting two weeks, thus forgoing the uncertainty of
an additional piece of battery-powered equipment. The
use of multiple cards is recommended because of the
possibility of malfunctioning of a single, large-capacity
card.
The rechargeable proprietary battery used in our
camera proved to be long lasting under the conditions of
this study (approximately 100 images/day, no flash, and
limited use of the camera’s LCD screen), and two were
sufficient for trips lasting up to two weeks. However,
digital cameras, and most of their modern film counterparts, are totally inoperable without battery power.
Hence, adequate back up is a must – this project used a
30-watt, 220-volt rechargeable unit during long periods
in the field. The auxiliary battery also allowed greater
use of the camera’s LCD screen to examine tonal
.
Photo-Monitoring of Changes in Biodiversity in Yunnan Province
125
histograms in the field leading to improved exposures
(Cardinal and Peterson 2001).
Metadata associated with each image arose from
two sources. First, the camera tags an EXIF (Exchangeable Image File Format; see: http://www.exif.org/) text
file to all images that provides a record of shooting
information (for example, date, time file format, lens,
focal length, shutter speed, etc.). In addition, when
properly connected to a GPS unit (Cardinal and Peterson
2002), longitude, latitude, and elevation are added to this
file. Comments also can be added at the time of
downloading images to the computer. The second source
of metadata was a written record of location; transect,
stop, and view numbers; weather conditions; and
camera compass and tilt orientations. This information
was added to each image’s IPTC (International Press
Telecommunications Council; see: http://www.iptc.org/
metadata/) file during the image processing stage.
Imaging processing
Once in the office, RAW images from the camera’s
storage cards (or the storage unit) were transferred to a
high capacity laptop computer using proprietary transfer
software. These were opened using 12-bit RAW software and adjusted as needed (for example, tonal range,
color balance, sharpening, white balance, etc.) to
provide the high quality images possible. Camera data
from the EXIF files were automatically added to the IPTC
files while written information had to be added manually.
These images can be opened in any professional image
processing software and further manipulated as needed.
All images were numbered consecutively from 00000 and
stored in folders by transect.
Image and metadata management
A high capacity, versatile professional software
package was used for image and data management. This
program uses low-resolution ‘thumbnail’ images linked
to original files, which are rapidly searchable using a
system of predetermined keywords and custom fields
(for example, date/time, numbers, text, etc.). Each
thumbnail also carries general information that is not
searchable (for example, title, IPTC data, information
about the image file and when it was catalogued, etc.).
The linchpin for any searchable database is the
development of standardized framework for cataloging
126
.
individual pieces of stored information. For this study,
such characterizations had to describe visible or otherwise discernable indicators of impacts or threats on key
conservation targets. Custom fields were designed for
this study primarily to identify photo-monitoring locations
in relation to geographical, ethnic, conservation, and
political boundaries (Table 16.2), while keywords focused
on identification of ecoregional conservation targets, land
cover, land-use, infrastructure, and disturbance (Table
16.3).
Data storage
Great care was taken in developing and utilizing a
multiple storage/archival system owing to the large
investment of time and money that was required to
obtain the original images. Original RAW images and
resulting processed images were backed up on the laptop
computer’s secondary hard disk and a portable hard disk,
as well as archived on a desktop workstation’s hard disk
and on high quality DVDs. The final image database
catalogue was backed up on the portable hard disk and
archived on a high quality CD-R.
16.4.2 Analytical framework
The YGRP ecoregional monitoring framework
identified indicators for discerning trends in key conservation targets and related threats. As illustrated in Table
16.4 for the Evergreen Oak Forest Target in the Hengduan
Mountains Ecoregion, this information was used to
generate related indicators of changes in target health
that could be visually detected from landscape images.
These were in turn either tied to specific keywords
used to catalogue landscape images in the database
(Table 16.3) or were detectable from examining changes
in the target over time (for example, structural changes
in canopy, extent of burning or clearing, etc.). Figure
16.2 illustrates how a few of these indicators appear in
an image from about 3900 m in one conservation area
in the Hengduan Mountains Ecoregion.
When accessing the image database, custom
fields are used to restrict the search to certain ecoregions,
specific conservation areas, and/or other geopolitical
units (Table 16.2), and then keywords (Table 16.3) are
used to further sort for conservation concerns. For
example, all photographs of dark needle forests (with
Table 16.2: Custom fields used for cataloging images in database management system
CUSTOM FIELD NAME
DEFINITION
Camera Orientation
Direction (degrees) camera is pointed for image
County
County where image is located (n =16)
Ecoregions
Ecoregion where image is located (multiple entries possible) (N = 5)
Ethnic Groups
Ethnic groups found in area image is located (multiple entry possible) (N = 14)
Focal Length
Lens focal length (mm) used for image
GPS
Latitude (UTM), Longitude (UTM), and Altitude (m)
Image Repeat # (0=original)
Identifies whether image is original, 1st retake, 2nd retake, etc.
Location/Directions
Description of the location and directions to photo-stop
Miscellaneous
Other information including whether telephoto lens is used, whether camera is tilted up or
down, whether there was a mistake in the shot, or whether the image is linked to other projects
(e.g., Alpine Ecosystem Project, Historical Repeat Photography Project, etc.)
Conservation Areas
TNC identified Conservation Areas where image is taken in (multiple entries possible) (n = 19)
Prediction/Significance
Comments on whether we predict any changes or see any significant impacts worth mention
Prefecture
Prefecture that image is taken
Protected Area
If applicable, government protected area where image is taken
Stop Code
The photo-stop number along the given transect
TNC Conservation Action Area
If applicable, TNC Conservation Action area where image is taken (N = 5)
Transect Code
Transect number (e.g., 1-15 for 2003 field season)
View Code
View number for a given photo-stop number
Weather, Air/Light Quality
Description of weather and air/light quality when image is taken.
Table 16.3: Selected list of keywords used in image database
ECOREGIONAL TARGETS
•
•
•
•
•
•
alpine mosaic
evergreen broad-leaf forest
mixed forest
dark needle conifer forest
deciduous broadleaf forest
cold evergreen oak forest
LAND USE
LAND COVER
•
•
•
•
•
•
warm conifer forest
warm scrub
upper/lower timberline
humid shrub
arid grassland
lacustrine aquatic
•
•
•
•
•
•
INFRASTRUCTURE
commercial logging
crop fields
grazing
horticulture
fuelwood harvesting
mines & mining
.
•
•
•
•
•
•
bridges
roads
trails
public utilities
seasonal houses
towns & villages
DISTURBANCE
•
•
•
•
•
•
disturbed forest
human caused fire
logging roads
natural forest disturbance
skid trails
soil erosion
127
Table 16.4: Example of indicator matrix for Evergreen Oak Forest Target in the Hengduan Mountains Ecoregion
Threat
Target
Target Health
Category
Size
clearing
Condition
structural changes
extraction methods
Livestock Bedding
Condition
structural changes
Tourism &
Infrastructure
Size (loss of native
habitat)
Condition (erosion,
pollution)
Landscape context
(fragmentation)
Roads, Buildings/structures for tourism, trails, cableways,
billboards
billboards
billboards
Mining
Size (loss of native
habitat)
Condition (erosion,
pollution)
Landscape context
(fragmentation)
mines, roads, waste material, buildings, impacts to hydrology,
evidence of soil erosion
Fuelwood
Evergreen Oak
Forest
their respective ICPT information), in Baima Conservation
Area and also Deqin County, that show commercial
logging, logging roads, and soil erosion can be quickly
located from a catalogue of thousands of images from
across the entire YGRP area. The power of the system
as a search engine is obvious, but its real value to this
project arises from its use as an analytical framework for
assessing changes in conservation targets and threats
over time.
This project has developed a new methodology
that will be used for an initial survey to document ‘baseline’ conditions of the YGRP. Hence, comparison photographs will not be available until some time in the future.
However, Moseley’s (2004) historical repeat photography work makes it possible to test the potential interpretative value of having an extensive set of paired and welldocumented photographs for all conservation targets
across all ecoregions and conservation areas in the
YGRP area. For example, Moseley (2004) presented
two photographs separated by almost 80 years looking
128
Visual Indicators
.
Figure 16.2
into a Tibetan alpine valley in the Nushan Conservation
Area (Figure 16.3).
Figure 16.3
This comparison illustrated marked increases in
the ecological impacts of yak grazing on the Alpine
Mosaic Conservation Target: increased number of trails
through meadows and rhododendron shrublands,
increased number of herder camps, and reduced cover
of juniper shrublands due to burning. The conclusion
was, at least for this area, that there has been an increase
in grazing pressure by yaks during the past 80 years.
Moseley (2004) went on to analyze 115 paired photographs basically assessing whether they showed an
increase, decrease, or no change in area or density of
various land cover (for example, settlements, glaciers,
lower and alpine treelines) and vegetation (for example,
crop fields, subalpine forests, alpine meadows) types,
drawing ecological and conservation conclusions based
on the changes observed. This ‘qualitative’ assessment
of temporal ecological change has been a common and
useful approach to interpreting repeated historical
photographs (for example, Meagher and Houston 1998).
However, the high quality images resulting from
this methodology offer more options for interpretation.
Figure 16.4 illustrates the same valley just discussed,
but taken in the fall of 2003.
The ability to digitally ‘stitch’ multiple images
together into panoramas greatly enhances the landscape
perspective over single images, and the use of highresolution color strikingly improves the ability to discern
vegetation, landscape, and land-use features over using
black and white images, which is necessary when
comparing them to historical photographs. In addition,
the high image quality means that post-capture digital
enlargements or telephoto images in the field of portions
of a landscape can provide excellent details for fine-scale
interpretations.
.
129
Figure 16.4
Table 16.5: Comparison of photo-monitoring coverage of five conservation targets relative to their geographical extent
for three conservation areas
Conservation Targetsb
EBF
Conservation Total for all Areaa
Areas
Images Area Imagesc Aread
%
%
%
%
CEO
Images Area
%
%
SAF
Images Area
%
%
MF
Images Area
%
%
AM
Images Area
%
%
Baima
14
18
2
1
5
6
41
47
25
4
42
28
Nushan
20
18
<1
4
0
1
17
35
37
12
35
23
Zhongdian
Highlands
48
24
0
<1
10
2
50
46
10
6
34
35
a
Images N = 1501; Area N = 3.033 x 106 ha for 19 areas
b
See Table 1 for codes
c
Percentages of images from conservation area (N: Baima = 202, Nushan = 303, Zhongdian Highlands = 726; 270 of 1501 were from outside the
conservation areas)
d
Percentage of conservation area
16.4.3 Sampling design
A significant limitation of repeat historical photography as an ecological tool is the inherent lack of a
sampling methodology that assures representative
coverage of natural variation within and between
ecologically diverse areas (Pickard 2002; Moseley 2004).
This study attempted to overcome this problem by first
examining the general variation represented across the
YGRP, and then by designing a series of photo-monitoring transects that proportionally sampled this variation.
130
.
A comprehensive GIS database, developed by TNC, was
used to examine the variation in key features across the
region (Table 16.1).
The proportional coverage of particular targets for
each conservation area was found to best serve the
purposes of this study (Table 16.5). Distribution maps of
dominant ethnic minority groups and climatic zones were
used in refining the sampling conclusions arising from
an examination of the proportion of targets sampled.
2003 data set
During the summer and fall of 2003, 15 transects
along roads and trails were conducted in NWY, yielding
157 geo-referenced photo-points and 1501 images
(Figure 16.5).
Overlapping, multiple images at different camera
orientations were taken at each photo-point to allow
photomontages (Figure 16.4) and to avoid the ‘subject
bias’ criticism commonly directed at historical repeat photography studies (Pickard 2002). This data set primarily
served to test and refine the methodological workflow
discussed earlier. As such, the focus was on developing
appropriate camera techniques and image and metadata
management, and not on acquiring a representative sample. Hence, some images and transects were flawed
making their analysis difficult. However, those that
were adequate for the purpose of analysis, particularly
transects from the latter part of the 2003 field season
(fall), will become part of the baseline sample (discussed
in the next section).
Figure 16.5
Fieldtrips were opportunistic in that they took
advantage of trips arranged for other TNC program
purposes. As a result photographs came from only two
(Hengduan Mountains and the Nujiang-Lancang Gorge)
of the area’s five ecoregions, and only three (Baima,
Nushan, and Zhongdian Highlands) of its 19 conservation areas. Only three minority groups (Lisu, Nu, and
Tibetan) were represented out of 14 inhabiting the region.
All five conservation targets were sampled, but since
much of the fieldwork was conducted in association with
TNC’s Alpine Ecosystem Ecology Project, there was a
disproportionate sampling of the Subalpine Forest and
Alpine Mosaic targets relative to their areas. For similar
reasons, almost 90 percent of the images represented
landscapes influenced by Tibetan communities, as they
predominately graze livestock at higher elevations
throughout the YGRP area (Xu and Wilkes 2004).
Baseline sample
The three conservation areas surveyed in 2003
were examined to determine voids in the database and
to design transects needed to complete the coverage of
the variation represented by the conservation targets,
principle ethnic minorities present, and the climatic zones.
For example, for Baima additional images of the
Subalpine Forests Target are needed in the northern
portion of the area (Table 16.5), and a complete sampling
scheme is needed for the southern portion in order
adequately represent the area’s distribution of two
additional ethnic groups and two additional climatic zones
(Figure. 16.6). When working in this southern portion,
transects and photo-points will be established to
sample the distribution of targets proportional to their
representation (Table 16.5).
Next, the locations of transects required to cover
the sampling requirements need to be determined.
Owing to the rugged topography, existing roads and trails
must serve as transect paths. Fortunately, the long history
of human use in NWY means that trails are common,
even across the most isolated regions. GIS-generated
maps show the general location of roads and trails in
relation to conservation targets (Figure 16.6), but determining the exact location of transects requires input from
professionals and local people knowledgeable of the
region.
.
131
eight years. This time period will illustrate relatively little
ecological change in undisturbed landscapes. However,
socioeconomic conditions are changing quickly in NWY
leading to rapid changes in land-use and infrastructure,
which are represented by changes in threat indicators.
For example, a current government program aimed at
rehabilitating many over-grazed lands is fencing
thousands of hectares across the region (‘Grazing to
Grassland’), roads are being built to improve access to
remote areas as well as to open new routes for mining
and tourism development, and the 1998 logging ban
remains in effect. In addition, intensive conservation
efforts underway by TNC and other organizations and
government agencies are influencing indicators of target
health and threats. Hence, it is highly probable, depending
on the location, the degree of human disturbance, and
the type and extent of conservation interventions, that
marked changes in certain landscapes might be detected
within a few years. How TNC and its partners address
these changes in relation to their conservation activities
across the YGRP area is a challenge they are currently
addressing. In any case, the systematic and complete
ecoregional photo-monitoring of NWY will provide one
tool, an analyzed visual database, to help with such
determinations.
Figure 16.6
16.5 Conclusions
Future sampling
The baseline photo-monitoring survey will be
completed over the next two or three years, yielding
thousands of images across the YGRP area. The health
indicators identified in this project change relatively slowly,
but there is little doubt that repeated photographs 50100 years hence will illustrate marked differences
(Moseley 2004). However, if repeat photo-monitoring is
to be useful to conservation planning by TNC and
others, it must yield insights much quicker, within a
decade or less.
It is expected that photo-sample points will be
relocated and landscapes re-photographed in three to
132
.
This project developed a forward-sampling,
ground-based photo-monitoring system for examining
ecological changes in landscapes within five major
ecoregions in northwestern Yunnan, PRC. It is unique
in its design, as other studies rely on historical photographs
to support conclusions concerning the present ecological
conditions of the landscapes in question. The approach
reported will yield a comprehensive inventory of such
conditions over time and a means for analyzing visual
indicators of ecological change across extensive ecoregion.
Three features of this study are critical to its
future success as a tool for measuring the impact of
conservation programs. First, is the use of high quality
photography techniques and the efficient management
of the resulting images and metadata. Second, is the
design of an analytical framework for identifying and
measuring visual indicators of change that are tied to a
comprehensive conservation planning scheme, here
TNC’s Conservation by Design process. Lastly, is the
design of a sampling methodology that accounts for the
variation inherent in the ecoregions under consideration.
This project was designed within a conservation
context specific to protecting biodiversity and local livelihoods in northwestern Yunnan. Hence, it will prove useful
in monitoring not only TNC-specific activities in the region,
but also the efforts of other organizations and government agencies concerned with the conservation and
sustainable development of this particular biodiversity
hotspot. However, this methodology also should be
adaptable to other locations and different conservation
contexts—especially situations where detailed ecological
data are sparse, access to aerial photographs and satellite
data is limited, and relatively rapid and inexpensive landscape-level or ecoregional inventories are needed.
Acknowledgments
Li, Bo. (2002). The lost horizon: in search of community-based
natural resource management in nature reserves of northwest
Yunnan, China. MS Thesis, Cornell University, Ithaca, New York.
257 p.
Lunt, I. D. (2002). Grazed, burnt and cleared: how ecologists
have studied century-scale vegetation changes in Australia.
Australian Journal of Botany. 50(4): 391-407.
Meagher, M.; Houston, D. B. 1998. Yellowstone and the
biology of time: photographs across a century. University of
Oklahoma Press, Norman, Oklahoma. 287 p.
Moseley, R. K. (2004). Ninety years of landscape change in
the Tibetan region of Yunnan, China. The Geographical
Journal. (in press).
Moseley, R. K.; Tam, C.; Mullen, R.; Long Y. C.; Ma J. Z. (2004).
A conservation project management process applied to mountain protected area design and management in Yunnan, China.
In: Harmon, D.; Worboys, G., eds. Managing mountain
protected areas: challenges and responses for the 21st
century. Andromeda Editrice, Colledara, Italy: 227-234.
The authors would like to thank Dr. Ruth Sherman,
Cornell University, for her editorial suggestions and Mr.
Wu Ning, Peking University, for his assistance with the
GIS analysis used in developing the sample design strategy
and for helping to draft the figures used in this paper.
Myers, N., Mittermeier, R. A.; Mittermeier, C. G.; da Fonseca,
G. A. B.; Kent, J. (2000). Biodiversity hotspots for conservation
priorities. Nature. 403(6772): 853-858.
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134
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PANEL 2:
Local Livelihoods and Poverty
Reduction in Biodiversity Corridors
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136
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17. Questioning Traditional Livelihood Models:
Lessons Learned from Cardamom Mountains
Pilot Project (CADP) Cambodia
Suwanna Gauntlett
17.1 Introduction
The Community Agriculture Development Project
(CADP) is an alternative livelihoods component of the
GMS-BCI Coastal Cardamom pilot project located in
Sovanna Baitong village, Kandal commune, Koh Kong
province. In 2006, 193 families are participating in CADP
and 200 additional families will join in 2007 and 2008.
The project was designed in January - September, 2003
and started in October 2003.
In Year 1, the model was based on low-tech, low
revenue crops and focused on subsistence/ food security.
Practical problems and obstacles created the need for
continuous learning and adaptive management. Today,
in Year 3, the model is based on modern agriculture with
irrigated cash crops and aims at significantly raising
farmer’s standard of living.
Every stage of model design is the result of (i) a
participatory planning process, (ii) research conducted
by WildAid technical team, (iii) results produced by the
Agriculture Association, and (iv) expert advice from
international senior agronomists. In the 2003 project
design and preparation phase (Figure 17.1), WildAid
facilitated a joint planning process with the farmers while
they were still living in the forest, with the commune council,
district and provincial government, and the Ministries of
Agriculture, Land Management, and Environment. To
support the planning process, WildAid gathered relevant
agriculture development data and identified models which
could be applied in the Coastal Cardamoms.
(iii) Community-based organizations had to be
practical and results-oriented, addressing the
real financial and organizational needs of the
farmers.
Research included a survey of soil conditions and
crops at the target group sites, and at 10 village sites in
the Coastal Cardamoms, visits to pilot projects from the
Ministry of Agriculture, the University of Preit Leap
Faculty of Agronomy, and Cambodian NGOs, visits to
farm settlement models in Israel, and an agriculture
pre-feasibility study by senior agronomists from the
Hebrew University of Jerusalem (Ayre and Oved 2003).
Taking into account hurdles in implementation
during the first three years (2004-2006), the model
evolved through lessons learned, undergoing several
modifications with input from the Agriculture Association,
observations from the WildAid technical team, and
expert missions of international agronomists (Volk and
Oved 2005). Even though the model of Year 1 did not
survive, the initial planning and research process yielded
invaluable information on the causes of poverty in the
Coastal Cardamoms.
We have compared the causes of poverty with
three types of aid models and have come to the following
conclusions:
(i)
Research was based on three main criteria:
(i)
(ii)
Poor slash and burn farmers had to generate
enough food to no longer need to rely on
forest resources.
Crops had to be adapted to hot sandy soils
with heavy rains.
(ii)
The community-based natural resource
management aid model can be a positive
step toward helping farmers protect the
forest through ownership of community
forests and utilization of agro-forestry methods.
However, in order to offer a viable alternative to forest cutting/burning and wildlife
poaching, it must be combined with other
means of food and revenue production. If it is
implemented alone, it encourages farmers to
use natural resources in a destructive way.
This model creates a loss for both the farmers
and the forest.
The traditional agriculture aid model of
low-tech subsistence crops might work in rich
soils and mild climatic conditions. It cannot
work in tropical climates on soils previously
occupied by tropical forest. This model does
not provide a viable alternative livelihood for
farmers to stop forest destruction because it
Questioning Traditional Livelihood Models: Lessons Learned from
Cardamom Mountains Pilot Project (CADP) Cambodia
.
137
Figure 17.1: 2003 Participatory Planning Process
Participatory Process - CADP Planning and Design Phase
▲
Identified
areas where
destruction
was the worst
Chi Phat
▲
FA - WA
SWEC Pilot Project
1 year
April 2002 - March 2003
▲
▲
Chay Araing
▲
LAND ENCROACHMENT
100 - 300 Hectares forest burnt/month
ENDANGERED WILDLIFE POACHING
32 elephants and 12 tigers killed in May 2001 December 2002
Talam
Participatory Planning Process
▲
Village chiefs, Commune Council,
District Governors, Governor,
National Steering Committee
(MAFF, MOE & MLMUP), WildAid
PLAN
1. Demarcation (WA)
2. Assist slash and burn farmers
• ID land (MAFF + DG Thmar Bang)
• Give land titles (MLMUP)
• PRA (WA)
• Research (WA)
• Create agriculture project (WA)
• Funding (WA)
3. Continue law enforcement (FA)
▲
PRA
▲
Population Census
Land Surveys
Aerial Surveys
GIS Mapping
▲
Demarcation (Participatory Process)
▲
Agriculture Pre-feasibility Study
▲
Design of CADP
CADP 2004
Pilot Project
▲
Fund-raising
▲
MAFF donated land for 400 families over 4 years
does not yield enough food nor enough revenue.
With the low-tech subsistence model, farmers
simply continue hunting, burning and logging
as before.
(iii) CADP aid model based on modern agriculture
encourages farmers to produce food and
revenues and helps them become responsible
stewards of natural resources. Instead of
using the forest for consumption, they
preserve the forest for anti-erosion and
watershed, and as an asset for eco-tourism.
We believe that this model can help farmers
in tropical regions to access a higher standard
of living and truly lift them above the poverty
line. It does require more funds, but international
aid efforts miss the mark if they don’t plan
long-term programs where money is spent
in the field, providing the poor with land,
equipment, capital, on-the-job technical training,
and access to markets.
138
.
17.2 Benchmark socioeconomic data1 (Table 17.1)
The Cardamom Mountains have a total population
of 166,186 representing 70,610 families. In the Coastal
Cardamoms, where the GMS-BCI Pilot Project is located,
there is a population of 70,610, with 13,472 families. The
majority of families have six to 12 children and live below
the poverty line at an average $82 per household (poverty
line at $200 per household). Based on SEILA data,
approximately 20% of the population is illiterate. In April
2002, when the Forestry Administration, the Department
of Nature Conservation and Protection and WildAid
started their biodiversity protection program in the
1
The baseline socioeconomic data was gathered by the SEILA teams
in Koh Kong province. The revenues per family were collected by
WildAid during Participatory Rural Appraisals (PRAs) conducted in
2003, 2004 and 2005 in the villages of Chi Phat, Teuk Laak, Chomsla,
and Kamlot (Chi Phat Commune), Veal Tapou (Trapeang Rung
commune) Pongkan (Tatai commune), Preik Tanon, Kompong Pleu,
Morseat, Thamar Andet and Thamar Domrei (Andong Tuek commune),
Bak Angrut (Dong Peng commune), Prolean (Kandal commune).
Cardamoms, the majority of families’ revenues were
100% dependant on forestry and fisheries resources.
This included logging, burning the forest for charcoal
production, slash and burn 2 of forest for agriculture
production, and a small amount of agro-forestry. Most
villagers were hunting wildlife everyday for subsistence
and supply to the wildlife trade. 100% of the restaurants
were serving wildlife dishes. Fisheries were already
depleted in 2002 because of industrial trawling from Sre
Ambel and Tmar Sa: too many boats with nets too long
and too deep, coming too close to shore. Additional
destruction was routinely implemented through illegal
fishing methods such as use of nets with mosquito net
fabric, industrial spot lights at night, Cyanide and
various pesticides, dynamite, and electrocution.
When the Forestry Administration and WildAid
threat assessment started in April 2002 with the South
West Elephant Corridor (SWEC) program pilot project,
there were 37 to 40 criminal forest fires any given day. It
was identified that these were the result of local authorities
clearing state forests to sell the land. This is important
socioeconomic data supporting the findings that most of
the population of the Coastal Cardamoms is heavily
dependant on the forest for subsistence and revenues.
The local authorities make their revenues through sale
of state land, logging and charcoal sales across the
border. Poor people contribute through labor. Charcoal
production is controlled by a few wholesalers who
assure smooth exports to Thailand. The logging business
is lead by individual military stations which have created
fiefdoms and well organized trade routes. The wildlife
trade is centered around Chi Phat, Tmar Bang, and
Kamlot with middlemen seemingly reporting to one main
wholesaler.
in Chi Phat who grows oranges on 5 ha and makes about
20,000/year; a handful of pepper growers near Sre Ambel
with unknown revenues seem to be making a good
living), or small businesses such as restaurants, mechanics
repair shops, hardware stores, construction equipment
rentals and clothing.
It is interesting to note that, even after working in
Chi Phat commune for over four years, and having
conducted two participatory rural appraisals (PRAs) with
population censuses, we still don’t know the exact
number of families living in the commune. In 2005,
WildAid’s PRA identified 292 residents in Chi Phat
village along with 22 non residents (owned land in the
village but did not have a house and did live there). The
same year, in 2005, SEILA’s count was different, with
270 families in Chi Phat village. In 2006, WildAid’s land
use planning team is now facilitating the PLUP process
(Participatory Land Use Planning) in the four villages of
Chi Phat Commune and, here again, there are discrepancies in numbers. During the information gathering
phase of Chi Phat zoning and demarcation, our team
received the list of residents of the four villages from the
Commune Council. The team then visited every family
on-site to take exact UTMs of the land for which they
claim ownership. The following discrepancies were
identified:
(i)
(ii)
There were 401 names on the Commune list.
199 of these residents could not be found
(the village chiefs are now searching for them
to see if they live with other relatives and do
not own land, or have moved out of the
commune).
(iii) 222 additional residents with land ownership
were identified by the WildAid land-use
planning team, who are not on the list provided
by the Council 3.
(iv) 69 land owners were identified that are not
residents of the area (i.e. they own land but
don’t have a house there and don’t live there)
and are from Phnom Penh, Koh Kong or Sre
Ambel towns, Andong Tuek or Tmar Bang
villages.
The top traders in logs, charcoal and wildlife are
considered affluent, along with a few quarry owners who
supply stones and gravel to the province. An emerging
middle class is establishing itself in Koh Kong and Sre
Ambel towns and, to a lesser measure in Andong Tuek,
Trapeang Rung, and Tatay. This middle class owns small
fruit or spice plantations (there is one plantation owner
2
Most of the slash and burn conducted in the Coastal Cardamoms is
not based on cyclical swidden agriculture where forest lots are burned
on a rotational basis, allowed to regenerate and cultivated again after a
number of years.
3
This list has now been given to each village chief to help identify if
these additional residents are family relatives of the residents on the
commune list.
.
139
Table 17.1: Baseline socioeconomic data of the Cardamom Mountains
Information from SEILA database
All villages in BCI pilot site
6
No. province
15
No. districts
51
No. communes
281
No. villages
166,186
Population
84,924
females
81,262
males
24,661
age 0-5 yrs
57,400
age 6-17 yrs
33,503
No. families
31,138
rural
2,365
urban
29,592
Illiterate population
16,468
females
13,124
males
Primary school enrolement (0-5 yrs)
81
females
98
males
Secondary school enrolement (6-17 yrs)
19,609
females
20,404
males
No. families with access to piped water
0
rural
416
urban
Villages in Coastal Cardamoms incl’ Bokor
179
40,013
416
Information from Chi Phat PRA 2004 (average)
Chi Phat (from SEILA database)
Population
1,192
females
572
males
620
age 0-5 yrs
219
age 6-17 yrs
330
No. families
270
Illiterate population
196
females
134
males
62
Primary school enrolement (0-5 yrs)
females
0
males
0
Secondary school enrolement (6-17 yrs)
females
98
males
158
No. families with access to piped water
0
Agriculture production (metric tons’ 000, per annum)
0.234
Rice (slash & burn)
0.034
Rice (grass)
82.04
Per Capita income ($)
Income based on source % ($)
71.38
Rice (87%)
4.10
Salary (5%)
2.46
Resin (3%)
1.64
Fishing (2%)
0.82
Tepirou oil (1%)
0.82
Other crop (1%)
0.82
Other income (1%)
CADP (estimated) 2004 (average)
Per Capita income ($)
245.27
17.3 Project population target
The project model targets the poorest farmers of
the Coastal Cardamoms who survive on unsustainable
slash and burn agriculture and wildlife trade. WildAid
identified the population target through a nine-month
threat assessment of the Coastal Cardamoms4. Three
communes were identified where forest clearing was at its
worst: Chi Phat, Talam, and Chhay Areng. Chi Phat was
2
7
27
86
70,610
35,411
35,199
9,772
25,549
13,472
11,107
2,365
13,906
7,685
6,221
179
81
98
15,226
7,290
7,936
416
0
416
selected as the primary target group for the alternative
livelihoods project because, of the three communes, this
is where farmers had caused the largest forest destruction—
13,400 ha of tropical forest burned and cleared. Chi Phat
also represented the largest hub for the wildlife trade.
WildAid’s Participatory Rural Appraisal in 2003
identified that 280 families in Chi Phat commune5 had
been conducting unsustainable slash and burn agriculture
since 1980. These farmers were previously sedentary rice
4
This list has now been given to each village chief to help identify if
these additional residents are family relatives of the residents on the
commune list.
140
.
5
These 280 farmers came from four villages in the commune of Chi
Phat—Chomsla, Teuk Laak, Kamlot and Chi Phat.
farmers during the sixties and early seventies. In 1975,
the Khmer Rouge imposed collectivism, confiscated plowing
equipment and buffalos. When the regime collapsed in
1979, farmers ran away into the forest, with no other option
than to burn the forest to cultivate their rice. Crops initially
benefited from tree ashes as fertilizers, but as soon as the
heavy rains arrived, they washed away top soil, ashes
and most of the seeds. As a result, the soil was no longer
fertile the following year, forcing farmers to burn a new lot
of forest again. They went through the same cycle every
year, each family destroying approximately 1-1.5 ha of
new forest per season, producing only meager yields6 .
To make things worst, families would take out the
tree trunks and roots, in the hope of gaining more land
for their crops. This unfortunate practice destroyed the
eco-system even further— heavy rains no longer had
tree roots to act as conduits to help water seep into the
soil and reach underground water aquifers. Instead,
water would accumulate on the ground, compacting the
soil. As a result, one single kind of grass was able to
grow, Aland alang (Imperata grass), with tall, fibrous
leaves and very deep, thick roots that quickly invaded
the cleared areas, preventing the tropical forest from
regrowing and completely eliminating plant biodiversity.
Thus imprisoned in a cycle of poverty and destruction,
Chi Phat farmers moved further and further into the forest
each year, living in isolation from their original communities.
17.4 Project planning
Based on this data, WildAid worked closely with
the Chi Phat Commune Council, the Governor of Koh
Kong, the Ministries of Agriculture and Land Management
to issue a joint plan that would solve the problem of ever
increasing forest destruction in the Commune of Chi Phat
and help the families transition out of the forest.
The plan specified four action steps with roles and
responsibilities:
(i)
Agriculture assistance - so farmers could
return to permanent agriculture
(ii) Land titles - to prevent further migration
(iii) Forest demarcation - on-the-ground posts to
6
Average yields were 250 kilos per hectare.
signal boundaries beyond which farmers
could no longer burn the forest
(iv) Ranger patrolling - to enforce the demarcation
line
Joint responsibilities were agreed upon:
(i)
Agriculture research and assistance would
be provided by WildAid
(ii) The land for the project would be donated by
the Ministry of Agriculture and land titles
would be facilitated by the Ministry of Land
Management
(iii) Demarcation would be facilitated by the
Commune Council, District Governor and
WildAid
(iv) Ranger patrolling would be conducted by the
Forestry Administration
It took us a year, working with the farmers and the
government at all levels to come up with a practical,
feasible solution. We facilitated a considerable amount
of participatory planning (Figure 17.1) and conducted
research in Chi Phat commune at the farming sites of
slash and burn farmers as well as at 10 village sites
throughout the Coastal Cardamoms. It was identified
that agriculture production in villages in Talam (located
between Chi Phat commune and road 48) were benefiting
from better soil conditions, better water supply and better
access to roads for transport of products to market. We
worked with the Ministry of Agriculture (MAFF) to identify
subsistence models that could be replicated in the Cardamoms. The most successful pilot sites were those
implemented by MAFF in cooperation with the Food and
Agriculture Organization (FAO). Other sites focused on
soja production, diversification of vegetable production
and seed yield improvement. WildAid visited research
plots at the Preit Leap Agriculture University and studied
the Kiboutz and Mushava models in Israel.
After compiling the research data, we shared the
results with the Chi Phat families practicing slash and
burn and worked together to create a new agriculture
model for them. It was decided that a new village would
be created in Talam, close to road 48 to benefit from soil
and terrain conditions, water supply, and access to road
48. The Ministry of Agriculture donated 1,500 ha for the
project and the governor of Koh Kong committed to
providing the permits for the new village, the new school,
.
141
the Agriculture Association and to facilitate the import of
equipment and seeds. The project started in October 2003
with preparation of village infrastructure, road
construction, drainage, soil leveling, school, delineation of
lots with the Ministry of Land Management, plowing and
soil preparation. Families started arriving in February 2004.
17.5 CADP model
WildAid designed its CADP to benefit both the
forest and the people, with the aim of helping farmers
generate enough revenues so that they could stop
burning and hunting altogether.
This was a real challenge given the severe
climate conditions that prevail in most of Cambodia—
long dry seasons without any rain, followed by long rainy
seasons with excessive rain. In the Cardamoms Mountain
watershed, rain is even more severe than in the rest of
Cambodia with 3,000-5,000 mm/year. Given these
constraints, most of the growing takes place at the
beginning and at the end of the wet season, when rains
are intermittent. Rice is about the only crop that grows
successfully during the rainy season, along with a small
amount of agro-forestry products such as cashew nuts.
Sugar cane, cassava and taro are about the only field
crops that can grow during the dry months. However,
rice provides only subsistence and, even when families
have large yields, they tend to keep their harvests in
reserve and distribute portions to their relatives, rather
than selling for revenues. Sugar cane and cassava
provide very slow growing crops (seven months average)
because they stop growing during the dry season until
the next rains arrive. As a result, these crops only provide
small revenues to the families.
In Year 1, the model was entirely centered around
subsistence because of the nature of the data that had
been collected during the planning and design phase.
Every piece of local data that we collected said that the
only crops that could succeed in the area were the ones
farmers were already cultivating—i.e., rice, taro, and
sugar cane. In an attempt to increase the rate of success
of this subsistence model, we added small livestock
distribution (two piglets and three chickens per family),
creation of family home gardens with vegetables and fruit
trees, provided a relatively small amount of equipment
contribution (tractor plowing only), a mini-credit scheme,
142
.
and facilitation for the creation of two community-based
organizations (an Agriculture Association and a Community
Fund).
This Year 1 pilot project (2004) was based on
local crops that can sustain rough climatic conditions but
it failed because it met even tougher weather than
anticipated. The 2004 dry season was the longest the
province had known in 50 years, with nine and a half
months of drought. It quickly became apparent that
irrigation was necessary. We realized very quickly that
this model was too focused on subsistence, and too
reliant on weather conditions. It would not even allow
farmers to subsist properly without hunting. Good
farmers initially worked hard and made a profit but,
facing drastic climatic conditions, basic vegetable crops
did not survive and the second rice harvest failed.
We measured success through monthly household surveys to identify revenues. A model based on one
harvest of rice during wet season, and one harvest of
drought resistant field crop (cassava, sugar cane) was
not enough to supply a family, even if they had two
piglets and three chickens and a home garden. During
the whole first year and a half, the project had to
supplement food supply with rice distributions. Distributions only stopped when irrigation was installed for all
the families in late 2005 and the first crops of vegetables
could be sold.
We came to the conclusion that we wanted to provide
farmers with more than just subsistence. Subsistence
alone would not be enough to help them change their
behavior. We wanted them to stop hunting, charcoal
production, and slash and burn and shift their awareness—to stop reliance on resources and not always look
at the forest as their survival base. This subsistence
model would ultimately lead farmers to return to the
forest. We needed to make improvements.
In October 2004, we launched a four ha pilot
irrigation project and invited two teams of international
experts to provide advice on improvements. In January
2005, the irrigation lot was already had yielding yielded
in four months, 10 times more revenues for the pilot
families than they had previously collected through
drought resistant crops. Irrigated crops included tomatoes,
eggplant, squash, and corn.
A team of senior agronomists from the Hebrew
University of Jerusalem came to CADP in November
2004, to study the feasibility of irrigated cash crops of
vegetables. In January 2005, a team of tropical agriculture
experts came from the Universities of Essex in the UK
and Khon Kaen in Thailand (Volk and Oved 2005). Both
teams recommended the installation of an irrigation
system and specialization of vegetable and fruit tree cash
crops. In addition, the tropical agronomy experts advised
on the need to rebuild top soil with cow manure, compost,
termite mound soil and green manure and invited the
leaders of the Agriculture Association to visit the
neighboring province of Surin in Thailand to learn from
farmers that had started irrigated vegetable cash crops
20 years ago and were making a good profit.
This is the tipping point at which we started moving
away from the subsistence agriculture model to adopt a
combination of modern agriculture, top soil rebuilding
techniques and agro-forestry perennials. This approach,
called Integrated Agriculture Systems, is the one that is
implemented by farmers today in CADP. The model is
now in its third year and still undergoing refinements. In
Year 3, CADP’s biggest improvement efforts focus on:
(i)
(ii)
Better technical training in the field (no more
classroom teaching!) with capacity building
of family group trainers7. Working with the
farmers has proven to be much more effective
than theoretical training. Our experience is
showing that, when it comes to implementation,
the best practice is hands-on soil preparation,
planting and harvesting with the farmers.
Discussions on problem-solving and issues resolution
can be conducted in the assembly room, but for agriculture
lessons, they must be practical and on-site.
17.6 Assumptions of the CADP model
The CADP model is based on a number of
assumptions:
(i)
that poor uneducated farmers can vastly
improve their standard of living when given
the opportunity,
(ii) that the popular subsistence model of farmers
living off forest resources is unsustainable for
both the forest and the people,
(iii) that most aid programs today adopt low-cost,
short-term options for poverty reduction,
(iv) that true poverty reduction in tropical climates
requires long-term investments, and
(v) that, ultimately, no. (iv) will be the only option
left for aid agencies (no more forest, no more
food, then we’ll have to start looking at real
solutions for the poor).
Better identification of markets and better
planning for market niches - farmers are getting
organized by Centers to identify separate
markets and diversify production (for example,
Center 1 could focus on production of spices
and herbs, Center 2 on flowers, Center 3 on
vegetables).
Table 17.2: Year 1 - model for food security
Each family receives 1.5 ha land, capital, equipment, inputs and capacity building on-the-job
I. Food security
a. Home garden: 0.25 ha
• Vegetables and fruit trees
• Home nursery
• Fast growing firewood
• Livestock (2 piglets, 5 chickens)
• Home compost and natural pesticide
b. Subsistence crops: 0.75 ha
• Rice (wet season)
sugar cane, taro,
sweet potato
(dry season)
c. Small cash crops: 0.5 ha
cassava
7
Families are grouped by ten and each group elects a group leader.
The leader becomes the technical expert for the group and trains two
more technicians who help the families in the field.
.
143
Table 17.3: Year 2 - model for food security and long-term economic sustainability
I. Food security
b. Subsistence crops: 0.4 ha
a. Home garden: 0.1 ha
• Rice (wet season) Sugar
• Vegetables and fruit trees
cane, taro, sweet potato
• Home nursery
(dry season)
• Fast growing firewood
• Livestock (2 piglets, 5 chickens)
• Home compost and natural pesticide
c. Small cash crops: 0.5 ha
agro-forestry
(firewood, vanilla,
ginger)
II. Long-term economic sustainability
a. Irrigated vegetables and fruit trees
• Intensive vegetable growing (0.1 ha)
• Fruit tree orchard intercropped with
vegetables (0.4 ha)
b. Sale of products on local and
c. Capacity building
international markets:
• Agriculture technical
• Spices and vegetables (ginger, corn,
and marketing skills
• Business management skills
pineapple, gourds, long beans
• Fruits (citrus, jackfruit, mango,
and community services
rambutan, durian, longan, banana,
and lychees)
• Sale of handicrafts
Table 17.4: Year 3 - model for food security and long-term economic sustainability
Farmers get organized to target specific national and international markets
Market planning is now segmented per Center8 to diversify produce and assure stepped production every week, instead
of massive yields every 3 months
17.7 Conclusion
Having worked for the past 12 years with governments and communities to help protect biodiversity in
national parks in six countries, WildAid has observed that
the natural resource subsistence model cannot work in
the new millennium. With overpopulated communities
and ever shrinking forests, aid agencies should no longer
encourage poor farmers to live off natural resources.
Forests are being wiped off the map all over Southeast
8
A Center is three family groups = 30 families.
144
.
Asia, through fires for commercial plantations, and
through massive logging. Wildlife has disappeared in
most Asian countries now and wildlife viewing is a rare
occurrence. The wildlife trade is everywhere, starting
with poor villagers hunting every night to sell their catch
to their local middleman. It is time to conserve what is
left. Instead, we give the forest and wildlife to the poor
people to finish it off.
Although minority populations have conducted
agro-forestry methods for hundreds of years with varying
degrees of sustainability, their populations were small
and contained. We think that, today, the carrying capacity
of the forest can no longer afford this type of exploitation
by local communities. With exponential increases in
population (each family has six to 12 children) and
drastic reduction in forest resources, it is unwise to build
alternative livelihood projects on forest products. For
subsistence alone (and no sale to the trade), one person
would need one square km of forest to provide enough
protein through wildlife catches. For example, there are
401 families in Chi Phat commune with 2,807 people to
feed (counting each family with an average of seven
children), which each require one square kilometer of
forest, or a total of 2,807 square kilometers!
Using the above assumptions, the CADP WildAid
model aims at helping farmers to completely stop their
reliance on forest resources.
The target group, objectives and outputs of the
model can therefore be summarized as follows:
Target group
(i) poorest farmers
(ii) 100% dependant on natural resources (forest
and wildlife)
(iii) do not own agriculture land (70% have
houses with small non-cropped lots, 30%
have no houses)
(iv) destroying natural resources: non-sustainable
slash and burn and intensive hunting, causing
eco-system fragmentation
(v) do not have tilling equipment: conduct
subsistence “chamka” slash and burn rice
cultivation with low yields (average 800 kg/
ha), some roots (taro) and sale of wildlife to
wildlife traders for revenue
(vi) live isolated
(vii) children do not go to school
(viii) indebted
Model objective
(i) Create a model that will reverse the cycle of
poverty and destruction where both people
and natural resources are destroyed
(ii) Help farmers become financially self-sustaining
and reduce their reliance on natural resources
(iii) Provide farmers with:
a) land ownership
b) access to capital
c) access to technical know-how, equipment
and inputs
d) access to national and international markets
Outputs
(i)
farmers evolve beyond hand-to mouth, have
enough revenues to buy, borrow and save
(ii) subsistence from forest and wildlife is eliminated
(1 hectare of forest preserved per family per
year)
(iii) awareness has shifted: forest is now understood as watershed, erosion protection, and
a destination for eco-tourists
(iv) lifestyle is improved: families live in a
community with support services (Community
Fund, Agriculture Association, school, health
services)
(v) education level is raised (all children go to
school)
(vi) families no longer live in debt
With first steps come good results, but also setbacks. CADP is a learning organization and is refining
its model — not just as an Agriculture Association, but
also as a community. Some families are more successful
than others, some farmers are very interested in learning
from lessons learned and others are not. Reaching the
goals stated above will take time, but the results are worth
the investment. We believe that there really is no other
option than to invest for the long-term: poverty reduction
and biodiversity conservation walk together and hold our
future in their hands.
References
Pretty J. and Sawaeng Ruaysoongnern (2005). WildAid
Community Agriculture Development Project: Towards Agriculture Sustainability University of Essex, UK University of Khon
Kaen, Thailand
Volk, A. and D. Oved (2003). Agriculture Pre-Feasibility Study
in Koh Kong Province
Volk, A. and Oved Daphna, (2005). Feasibility Study for
Agriculture Sustainability at WildAid Community Agriculture
Development Project
.
145
18. A Biofuels-based Livelihoods Strategy:
Energy Trees for Electricity, Transport, and
Climate Change. Field Experiences from
Asia and Africa
Emmanuel D’Silva
Summary
South Asia and West Africa. These species are also
providing opportunities for improving rural livelihoods and
alleviating poverty. Oil extracted from Pongamia, neem,
and Jatropha seeds, in particular, can be used to produce
biodiesel—a methyl ester formed by transesterification
of vegetable oils with methanol in the presence of a
catalyst. The Indian government has proposed a blend
of five percent biodiesel with 95% petroleum diesel by
2010 as a means to increase energy security.
The high price for international crude oil—reaching
a peak of US$ 75 per barrel—has generated a lot of
interest in renewable energy, including oils extracted from
tree-borne seeds. There are an estimated 300 tree
species in the tropical world from whose seeds oil can
be obtained, but only four or five have been tested.
My paper focuses on the various value additions
that are possible from at least three species—Pongamia
pinnata, Jatropha curcas, and Azadirachta indica. Raw
oils from these species have been used to produce
electricity, pump up groundwater, and run farm equipment.
These species can be grown mainly on degraded land
rather than good agricultural land, often as part of
government programs in afforestation, watershed
management, and agroforestry development. Several
community-level enterprises have developed in processing
raw oils and packaging oilcake. Local, state, and federal
governments in several countries have begun to take
interest in biofuels because of the potential for creating
rural employment, increasing income, improving the
environment, and displacing oil imports.
Improving rural livelihoods is the main focus of the
biofuels-based strategy adopted in Adilabad district,
India and in Niger, West Africa. This strategy can help to
preserve forests and conserve biodiversity by giving
forest-dependent communities opportunities to escape
rural poverty. There are also possibilities for mitigating
climate change.
Andhra Pradesh leads other states in India in promoting the new oil
economy. The Forest Department and other agencies have planted
millions of Pongamia and Jatropha saplings on degraded public lands. In
Adilabad district, where most of my efforts have been concentrated, a
million Pongamia saplings were planted in 2005. An additional million
saplings will be planted in 2006. These saplings will begin to yield
seeds in six to seven years when they become mature trees. Some 19,500
self-help groups of women and over 1,000 forest communities are
involved in tree planting and seeds collection. Community groups are
also active in extracting oil from these seeds.
18.2 Benefits
18.1 Introduction
India has an estimated 130 million hectares of
wastelands. The government has estimated at least 40
million hectares of such land can be used for biofuel plantations. Pongamia and Jatropha, in particular, grow well
in these areas. For a farmer, one hectare of 400
Pongamia trees can provide a net present value of Rs
193,000 (over US$ 4,200) over a period of 40 years with
an internal rate of return of 25%. For the community, the
benefits include incomes from oil, oilcake, and carbon.
A little known tree originating in South Asia
(Pongamia pinnata), an exotic bush emanating from
Central America (Jatropha curcas), and a tropical tree
with cross continental appeal (Azadirachta indica) are
helping to lay the foundation of a new oil economy in
Other rural benefits of biofuel include generation
of electricity, pumping ground water, and running farm
equipment. For the general public, there is also the added
environmental benefit of biodiesel reducing harmful
greenhouse gases by more than 50%. There is a vast,
146
.
generally untapped source of carbon trading under terms
of the Kyoto Protocol. Farmers can also use oilcake as
a substitute for chemical fertilizers.
Women have been in the forefront of these efforts.
They collect Pongamia seeds from forests, crush these
seeds into oil at specially installed oil extractors, and
market both the oil and the residue. The success of
women-run enterprises has spread beyond Adilabad
district to other areas in Andhra Pradesh and India and
beyond. The experiment is now being replicated in Niger,
West Africa.
The overall objective of this new biofuel-based
initiative is to provide a source of livelihood to the rural
poor—in particular, indigenous women - increase
employment and income, while also supporting reforestation and improving the environment. The strategy
adopted is to plant Pongamia trees as part of government programs in reforestation, watershed management,
and other programs. To avoid monoculture, mixed tree
species are planted alongside Pongamia. During the
five to six years it takes for Pongamia trees to bear seed,
a number of income-generating activities are taken up;
these include, vermi-composting, bee-keeping, tree
nurseries, and value addition to bamboo. Carbon income is an additional incentive.
18.3
over three years, equivalent to about 75 hectares of land.
Based on current consumption, just a hectare of
Pongamia trees would have been sufficient. However,
the surplus seeds should ensure a sustainable income
in the future.
18.3.2 Water system
In Kishtapur village, a new water system has been
put in place which provides groundwater to the local
community for drinking and irrigation. The water system
is presently powered by a blend of Pongamia oil (20%)
and petroleum diesel (80%), but in five years—when the
20,000 Pongamia trees planted begin to yield oilseeds it will be run purely on Pongamia oil. A 300-feet deep
borewell pumps up water for distribution to 25 farmers.
Each farmer gets water sufficient to irrigate one acre.
Water supply is metered. Farmers pay for the water in
cash. A participatory hydrological monitoring system
ensures that the water is not over-extracted. A villagelevel committee comprising representatives of participating farmers and the seven women’s groups active in the
village runs the water system. The water system was
installed at a cost of about $7,000. The local community
contributed 10% of the capital cost, while the rest came
from the USAID project. Farmers hope to use the water
to grow second and third crops, which will have a
positive impact on their incomes.
Community enterprises
18.3.3 Oil mill
18.3.1 Power system
Generating electricity locally is a powerful idea.
In the village of Chalpadi, where this experiment first
began in 2001, two power generators (one served as a
back-up in case of malfunction) each with a capacity of
7.5 KVa were installed. The generator ran on Pongamia
oil. It took about two liters of oil (equivalent to eight kgs
of seeds) to fuel the generator per hour. The village
generated 10-12 KW of power to light 12 family homes
and public areas. Each household supplied one kg of
seed per day, or 300 kgs per year. Marubai and other
women of the village ran the decentralized energy
system built at a cost of $6,000. The local government
paid this capital cost so it could serve as a demonstration project, but the costs of operation and maintenance
were met by the women’s group. To ensure future oil
supply, the villagers planted 30,000 Pongamia saplings
The women of Powerguda are the proud owners
of the first community-owned mill that crushes Pongamia
seeds into oil. The machine has a capacity to crush 50
kgs of seeds per hour. Residents of nearby Kommuguda
and faraway Ravenpalli bring their Pongamia seeds here
to be converted into oil for use in their power generators.
The women of Powerguda have a good business sense.
They buy Pongamia seeds and sell Pongamia oil and
the oilcake. They also extract oil for a fee. The women’s
group keeps track of diesel oil price at the local gas station
and adjusts the price for Pongamia oil accordingly. The
local government paid for the mill cost of $5,600, but
Powerguda’s women bear the costs of operation and
maintenance. The machine runs on Pongamia oil
instead of electricity. The mill should reach its full
potential in 2007 by which time the thousands of newly
planted Pongamia trees will begin to yield oilseeds.
A Biofuels-based Livelihoods Strategy: Energy Trees for Electricity, Transport,
and Climate Change. Field Experiences from Asia and Africa
.
147
18.3.4 Oilcake
18.4 Conclusions
The residue from oil extraction - roughly 75% of the
Pongamia seed by weight - can serve as a good substitute
for chemical fertilizer. The N:P:K content of Pongamia
oilcake is better than farmyard manure. Field studies
conducted by the International Crop Research Institute
for the Semi-Arid Tropics (ICRISAT) in Adilabad indicate
that Pongamia cake increases yields by at least 25% when
compared with farmer’s practices. However, the optimum
solution is a 50:50 mix of Pongamia cake and inorganic
fertilizer (Table 18.1). As a result, Pongamia oilcake has
become a good byproduct for sale to farmers.
The small, village-level experiments in biofuel
production and use are having a big impact on state and
federal governments in India. These governments have
recognized the enormous potential of biofuels production
in generating rural employment and incomes, rehabilitating degraded public lands, and displacing petroleum
imports. The Andhra Pradesh state government has
created a new department to promote biofuel plantations
and value additions in mainly arid districts. At the federal
level, a National Biodiesel Board has been proposed for
this purpose. A national task force on biofuel, which
covers both ethanol and biodiesel, has proposed a
series of actions, regulations, and policies to promote
the use of biofuel in the transport sector.
Table 18.1: Impact of Pongamia fertilizer on cotton,
Powerguda Village, 2004
Fertilizer treatment
Average cotton Increase over
yield (g/sq m)
farmers’
practice (%)
Farmers’ practice: 1 bag DAP
125
--
Inorganic fertilizer: 120 kg N/ha
174
39
Pongamia oilcake: 300 kg/ha
156
25
179
50:50 mix: Inorganic fertilizer
(60 kg N/ha) + Pongamia cake (150 kg/ha)
43
Note: 1 bag of Di-Ammonia Phosphate (DAP) contains 9 kg of N and
23 kg of P2O5
Source: D’Silva et al. (2004)
18.3.5 Biodiesel
The most valuable end of the biofuel value chain
is biodiesel production. In Europe, biodiesel is produced
mainly from rape seed and in the United States from
soybeans. Most of the raw material in the production of
biodiesel in India will come from Pongamia pinnata and
Jatropha curcas grown mainly on degraded lands. Several
commercial-size and community-owned biodiesel plants
with daily capacities ranging from one ton to 50 tons per
day are coming up across the country. Small farmers,
women’s groups, and forest communities are going to
become important suppliers of raw materials for these
plants. Considering India’s energy needs, and its
dependence on oil imports, domestic biodiesel production
from a forest-based resource has important implications
for the forest sector.
148
.
The other conclusions that can be reached from
field-level work are the following:
(i)
The biofuels-based strategy can help lift
people out of poverty through right interventions
in land, water, and energy.
(ii) Oil-bearing energy trees could serve as a
fulcrum of development and a source to
reduce pressure on biodiversity.
(iii) Pongamia, neem, and Jatropha plants provide
an important source for producing electricity,
for pumping ground water, and for substituting
fossil fuel.
(iv) Carbon income could provide “seed money”
for tree planting activities.
(v) The biofuels strategy could be packaged into
watershed development, community forestry,
combating desertification, and protecting
biodiversity.
(vi) Experiments in India, now replicated in Niger,
could be expanded to other countries if the
enabling conditions are right.
References
D’Silva, E.H., S.P. Wani, and B. Nagnath. 2004. The Making of
New Powerguda. Community Empowerment and New
Technologies Transform a Problem Village in Andhra Pradesh.
Patancheru, Andhra Pradesh. International Crops Research
Institute for the Semi-Arid Tropics.
19. Raising Rural Incomes while Conserving the
Environment, Non-Timber Forest Products,
Specialty Agriculture Products, and
Compatible Enterprise Development in
Cambodia and Viet Nam
Maureen DeCoursey
19.1 Introduction and background
In 2005, USAID and Winrock International undertook a study to better understand the opportunities and
constraints of environmentally sound rural income
generation in Asia. The study was conducted in Viet
Nam and Cambodia and focused on smallholder
resources, in particular on-farm specialty agriculture
products and non-timber forest products (NTFPs). These
products were chosen because of their direct relationship to smallholder incomes, lack of information (especially on market potential), and linkage with environmental
conservation objectives. The goal of the study was to
contribute to USAID’s efforts to overcome constraints in
promoting smallholder resources on a larger scale while
safeguarding the natural resource base on which they
depend.
In Cambodia, the study team conducted a broadbased rapid assessment of existing opportunities and
constraints. In Viet Nam, they focused on learning about
the SUCCESS Alliance (Sustainable Cocoa Extension
Services for Smallholders) as a potential model for
environmentally sound rural enterprise development and
public-private partnership. The main objective of both
efforts was to provide analysis and concrete examples
of how to more widely raise rural incomes while
conserving natural resources in Asia. Secondary objectives centered on direct technical assistance to the AID
mission and projects in each country.
In addition to specifics on NTFPs and specialty
agriculture products, larger issues of policy, business and
investment climate, governance, infrastructure, capacity,
donor support and credit facilities were investigated to
gain a better idea of the context in which smallholder
enterprises operate and the constraints and opportunities
of micro and small rural businesses in general.
A cornerstone of the study was to assess the
environmental compatibility and impact of rural enterprise
development and expanded commercialization of smallholder resources. Aspects of environmental compatibility
and impact include:
(i)
production and processing is non-polluting,
does not consume large amounts of energy,
or create excessive waste;
(ii) potential for organic/integrated/chemical free
production or sustainable wild harvests;
(iii) suitability for land rehabilitation and sustainable
agriculture systems including agroforestry,
permaculture and other low-impact and technologically-appropriate farming methods;
(iv) suitability for production in buffer zones of
national parks and wildlife preserves, natural
forests, watersheds, biodiversity corridors
and other areas of critical environmental
concern; and
(v) minimum ecological footprint—low/no impact
on terrestrial and aquatic ecosystems, wildlife habitat and ecosystem services.
Definition: environmentally-compatible rural enterprises are
viable commercial activities that have minimum environmental impact through the full production and processing
cycle. They are typically small-scale, involve people that are
highly dependent on the environment, and are conducted
in a way that protects or enhances biodiversity, ecosystem
services, natural resources, and general landscape values.
These findings are based on a rapid assessment
only; more research is needed to refine observations and
recommendations.
19.2 Environmentally compatible rural enterprise:
lessons learned
The lack of successful, environmentally sound
rural enterprises stems from many site-specific factors
that are too varied and numerous to address here, however
some of the more prevalent ones are summarized
below. These are relevant for NTFPs, on-farm specialty
agriculture products, and small-medium enterprise (SME)
development in general.
(i)
Interventions aimed at improving the returns
from NTFPs and specialty agriculture products
often took on too many products and/or the
Raising Rural Incomes while Conserving the Environment, Non-Timber Forest Products, Specialty Agriculture
Products, and Compatible Enterprise Development in Cambodia and Viet Nam
.
149
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
(ix)
150
whole sector, as opposed to strategically
choosing one or two key products and working
to improve the value chain of each.
Project strategies lacked accurate market
information and were not demand-driven.
Strategic alliances and concrete linkages with
industry were lacking.
Conservation, agriculture and natural resource
management projects and organizations
typically lacked business development
expertise.
Small-medium enterprise (SME) development
projects (and to a lesser extent agriculture
and natural resource management projects)
typically lacked the expertise, time and
resources to address resource management
issues for NTFPs effectively. The time and
resources needed to improve resource
management and commercial operations for
ONE NTFP are often formidable; many
projects failed trying to work with several
products at one time in the typical project time
frame (3-5 years).
Resource tenure and access rights were often
not adequately addressed in a typical SME
or NTFP projects.
SME development schemes tended to be
biased towards urban and more established
firms in the formal sector: rarely did they
address the network of raw material producers
in rural areas that “feed” a given industry.
Projects dedicated to SMEs, NTFPs and
specialty agriculture products tended to focus
on market development first and foremost and
typically ignored environmental management
concerns. Raw material supply, processing
issues, localized and landscape level
environmental impacts were not sufficiently
addressed in project activities.
Many past projects were narrowly focused
on conventional agro-enterprises/commodities,
ignoring the range of traditional and/or informal
income generation activities available. These
included seasonal, home-based and natural
resource-based enterprises such as NTFP
collection and processing. Specialty and or
.
new crops were also rarely considered, and
if so, were often chosen without adequate
market knowledge and linkages.
(x) Segmented technical assistance did not
address the whole supply/value chain.
Agriculture and natural resource projects
tended to be production or management
focused, while enterprise development
projects focused mostly on processing and
sales. The lack of attention to understanding
the whole supply chain often made for
uninformed and wasteful interventions that
had few long-term benefits.
(xi) There was not enough emphasis on smallholders, women and micro-enterprise. Benefits
from firm or cluster-based SME development
rarely trickled down to the beginning of the
supply chain and hence had little positive
impact on smallholders and their families.
(xii) The need to build local/national businesses
institutions and capacity was not given
enough attention.
(xiii) Cluster Theory-based approaches to enterprise
development were and continue to be
unrealistic as currently conceived and
implemented. Projects often dealt with too
many divergent products and industries at
one time, limiting their ability to deal with all
the needed and often unique issues for each
supply/value chain in an effective manner.
The time frame is too short, there are not
enough resources, and raw material production
and environmental issues are ignored.
(xiv) Policy, governance and business climate
issues were often ignored.
(xv) Expectations about the benefits of certification
and premium pricing for rural producers from
green, organic and niche product marketing
were often over-estimated.
(xvi) Rural producers were often poorly matched
with target markets.
(xvii) Private entrepreneurs who are committed,
skilled and reasonably “connected” were
often missing from the development assistance
“team.”
19.3 The SUCCESS Alliance in Viet Nam: A model
of public-private partnership for environmentally
sound rural development?
The SUCCESS Alliance is an innovative, marketdriven, public-private partnership aimed at assisting
smallholder farmers to produce high-quality cocoa beans
in an environmentally sound manner. The objectives of
the Winrock assessment were to better understand i)
the potential role of the private sector in rural development and poverty alleviation, and ii) the environmental
benefits of the project and how they can be expanded or
replicated in other projects. This included identifying
“best practices” in partnership development as well as
project design and implementation, highlighting the great
value and benefits to be had from focusing on one
specific product and the whole supply/value chain. The
overall mission of the SUCCESS Alliance is:
To promote prosperity amongst cocoa smallholder
farmers through the growth of a cocoa industry worldwide that is socially, economically, and environmentally
sustainable.
Viet Nam is one of the fastest developing countries
in the world. It is also a country of major ecological
importance, harboring a large array of rare and threatened
plants, animals and habitats, many of which do not exist
anywhere else on the planet and are irreplaceable.
Rapid economic growth has resulted in numerous
environmental problems including (but not limited to):
loss of forest cover through conversion to
agricultural land;
(ii) pollution of air, water and soil;
(iii) biodiversity and habitat loss;
(iv) degradation of environmental services such
as watershed function
a) threatens supply of clean and ample
water for drinking,
b) hydroelectricity generation,
c) irrigation for downstream users.
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
(ix)
(i)
The SUCCESS Alliance appears to be sound
model for both public-private partnerships as well as
environmentally sound rural development. Key elements
include:
focus on a single crop that meets agroecological, market, and social criteria,
focus on the whole supply/value chain from
producer to local buyer, international
commodity brokers and industry end-buyers,
environmentally-sound growing methods
such as agroforestry, multi-cropping and
permaculture planting systems in degraded
areas, the use of native species and other
commercial crops, limited use of agrochemicals,
a socially sound strategy that targets smallholders and facilitates women’s involvement,
reduces risk by incorporating other commercial
crops, and develops/strengthens local
institutions (“cocoa clubs”),
capitalizes on mutual needs and mutual
benefits—meets a true industry need for
more cocoa and better production/pest
control methods, and meets a social need
for better incomes from agriculture in
impoverished rural areas of Viet Nam,
mainstreams cocoa production and extension
in government policy and programs (both
central and provincial levels),
has a unique and visionary private sector
partner who believes that environmentally
sustainable cocoa production supports the
long-term business interests of the industry,
has a long-term time frame, and
has commitment and cooperation from all
parties at all levels - industry, project,
government, farmers.
19.4 Cambodia: constraints and opportunities in the
development of non-timber forest products
and on-farm specialty agriculture products
Over 80% of Cambodia’s 13 million people are
smallholder and subsistence-based farmers. At least 25%
lives in or near forest areas and strongly depend on
forest products to add to their meager incomes and
supply personal needs such as cooking and heating fuel,
food and medicine. Forests therefore play a crucial role
in meeting rural livelihood needs as well as providing a
wealth of resources needed by the whole country. Even
so, forests are decreasing at a rapid rate due to large
scale deforestation from government sanctioned logging
operations.
.
151
The overall quality and extent of the natural
environment is also diminishing due to water/soil
pollution, extensive and improper use of agrochemicals,
loss of habitat, non-renewable energy use, and overharvesting of aquatic resources (especially fish) and
terrestrial resources (wildlife, plants). These trends do
not bode well for the people of Cambodia nor the
conservation of biodiversity in country and the Mekong
Basin as a whole.
Even though food and security issues have been
mostly resolved, country indicators are worse than they
were 10 years ago. Domestic markets for conventional
agriculture products are approaching saturation and the
need for diversification in both products and markets
great.
The biggest challenge for rural enterprise development of any kind is the Cambodian government.
Corruption at all levels is high, stemming from the unholy
alliance among government bureaucrats, the private
sector, the military and the police. Rural smallholders
have little ability to meet the high transaction costs
of doing business, and without outside support, their
prospects for success are dim. Cambodia is also the
most expensive place in Asia to do business of any kind;
as such, most commercial business is conducted along
informal/illegal channels.
Even so, there are some glimmers on the horizon.
There have been many improvements in infrastructure
(communications—especially cell phones, transportation
and roads, storage facilities) which have improved
market access for Cambodia products. There is also an
emerging “Made in Cambodia” movement featuring
specialty products grown and processed in-country,
often by social entrepreneurs. These include organics,
“pesticide free” product, essential oils, honey, silk,
handicrafts, gourmet foods and animal feed as well as
conventional foods such as fish sauce, noodles and
soymilk. These are produced for the domestic markets,
tourists, upscale urban markets in Phnom Penh, as well
as for limited export.
The number of supermarkets and other retail outlets
are also increasing, and Cambodia’s first even trade fair
was held recently. Other positive trends include government decentralization (commune level government
152
.
service provision, including management of natural
resources) and association development of all kinds.
Even though few rural businesses or smallholder
commercial farming operations are truly sustainable, it
appears that with the needed support and/or as long as
they remain “under the radar screen,” they can operate.
19.4.1 Non-timber forest products
A non-timber forest product (NTFP) is defined here
to describe all non-woody plant materials that originate
and grow naturally in forests and other ecosystems. In
Cambodia, well over 1000 species are collected for a
wide variety of subsistence and commercial purposes.
This study focused on commercial species due to the
large volumes involved, their demonstrated market value
and existing marketing infrastructure, and the lack of
attention paid to this sector. While there are many
serious resource management issues to contend with,
the opportunities for development are good because of
the demand and the local familiarity with the projects.
Common commercial NTFPs include:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
(ix)
resin from the trees Dipterocarpus allatus,
Shorea guiso, Shorea vulagris, etc.,
fruits of the Samrong Tree (Scaphium
macropodium),
heartwood (Eaglewood) from the tree
Aquilaria crassna,
“Yellow Vine”— the stem of the forest liana
Teramnus labialis,
stem and bark of the Cinnamomum
cambodianum,
mushrooms of various kinds, especially
“Sokrum” (Xylia xylocarpa),
rattan (various species for construction, fiber,
furniture, etc.),
bamboo (various species for food, construction,
furniture, etc.), and
medicinal plants (600+).
Any NTFP slated for commercialization must
include a sound resource management strategy to
ensure sustainability — to do otherwise risks causing or
exacerbating harvesting pressures and local extirpation.
NTFPs with development potential in Cambodia
include:
(i)
bamboo for domestic/international food and
furniture markets,
(ii) tree resins for the boat repair, paint, and
perfume industries,
(iii) fuelwood and charcoal for the domestic market,
(iv) medicinal plants for domestic markets, and
(v) essential oils (cinnamon, eaglewood, and
others) for domestic/export markets.
Some of the main obstacles to development include:
(i) lack of good governance,
(ii) policy weaknesses and lack of enforcement,
(iii) lack of regional and international market
information,
(iv) lack of scientific and enforceable resource
management,
(v) little/no value added locally,
(vi) lack of species-specific production and
resource management information, and
(vii) very few sources of sustainable supply.
Recommendations
(i)
Choose NTFPs for development strategically
on the basis of biological/ecological suitability,
market demand, socio-cultural compatibility
and familiarity, and business feasibility.
(ii) Use “Community-Based Tree and Forest
Products: Market Analysis and Development”
(FAO) and Supply Chain Analysis to selection
the “best bets.”
(iii) Focus on one or two key products and
improve the whole supply/value chain
a) Resource management can be difficult
(10,000+ at risk from over-harvesting
globally; difficulties in enforcing management/tenure rights; harvesting can destroy
the plants, etc.)
b) Market improvements can be challenging.
(iv) Boilerplate approaches do not work—each
NTFP, community, situation is very different
and requires a tailored approach.
(v) Traditional products are much easier to
improve than developing new products.
(vi) Explore market potential with local, national,
regional, international buyers via industry
insiders and natural product trade shows
such as the Natural Product Expo.
(vii) Use NTFP business development to improve
governance and increase transparency in
rural areas, including an overhaul and
simplification of the existing regulatory system
and better enforcement of existing laws.
(viii) Provide assistance to commune councils to
manage and develop NTFPs profitably and
sustainably.
(ix) Work to establish NTFPs as a priority
sub-sector for pro-poor trade initiatives and
value-added processing improvements.
(x) Review and revise the regulatory framework
for all NTFPs.
(xi) Conduct a comprehensive study of NTFPs
in locations of interest to determine sitespecific opportunities and needs.
19.4.2 On-farm specialty agriculture products
Some of the on-farm specialty crops grown by
smallholders in Cambodia are:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
Pepper
Vanilla
Chilies (Capsicums)
Other Spices (i.e. turmeric, ginger)
Medicinal plants (Artemesia annua)
Essential oil plants (basil, lemongrass, etc.)
“Pesticide Free” fruits and vegetables (for the
Phnom Penh market)
(viii) Organics (certified)—rice, cashews, possibly
others
(ix) Palm trees for the production of wine, vinegar,
candy, soft drinks for domestic and export
markets
(x) Mulberry trees for silk production
Due to the rapid nature of this assessment, only
one product—pepper—could be investigated in detail.
Other products may have better potential for development,
but more targeted research is needed to better understand the pros and cons of each.
Cambodia currently produces black pepper but
estimates vary widely – from 2,500 MT to 11,000 MT.
Most of is produced is sold “unofficially” to Viet Nam and
Thailand. The inherent quality of Cambodian pepper
appears to be good, but samples should be checked in
a laboratory. There appeared to be a lot of “light berries”
.
153
in the current product – this is a sign that there could be
significant improvements in farming and growing practices
which would yield significant improvements. Pesticides
may also be an issue (not just for pepper.)
As far as spices are concerned, pepper probably
has development potential while vanilla and chilies
probably do not. Obstacles to development are similar
to those for NTFPs.
Recommendations
Main opportunities for pepper are to:
(i)
(ii)
improve quality and production
improve market access and marketing skills
Other recommendations are:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
154
Provide support to the Cambodia Spice
Association. This includes market, agronomic
and post-harvest handling training, as well
as general capacity-building.
Emphasize environmentally-sound growing
practices, including organic and/or integrated
production methods. These may be more
cost effective in the long-term and offer entry
into specialty markets.
Conduct targeted market research. Explore
opportunities in the organic and specialty
markets including direct exports to the US,
France, India and other countries.
Learn about industry standards and buyer
specifications, market segment, end-uses,
GMPs (good manufacturing practices, for
example the American Spice Trade Association
“Clean Spices” program), etc.
Work with a local research institutes and
industry to design Best Management Practices
and help Cambodia develop a reputation as
a high quality and trusted producer.
Develop a smallholder farm model to compare
conventional with organic production methods
and determine which is the most cost-effective
in the short and long-term.
Improve quality and yield through better
farming and post-harvest handling practices.
Forge linkages and collaborate with legitimate
buyers and end users in Phnom Penh, Viet
Nam, and internationally.
.
(ix) Explore opportunities to grow pepper in
areas of high conservation value such as
buffer zones of national parks, wildlife corridors
and watersheds.
(x) Cambodia should consider branding their
pepper under the name Kampot pepper. In
order for the branding to be successful, a
quality assurance and control system must
be successfully instituted to insure that the
merchandise exported under the brand meets
all of the buyer’s needs and specifications.
(xi) Research sales other than black pepper, i.e.
white pepper, green peppercorns, etc.
(xii) Ensure that any value-added activity beyond
increasing yield and quality (i.e., milling,
packaging, etc.) is done in conjunction with
ready buyers. Too often producers assume
that they will be able to sell value-added
products, but ultimately find out that the
market is not interested.
19.5 General conclusions and recommendations
Environmentally compatible rural development is
no longer an option—it is an absolute necessity. More
than 1 billion people now live below the poverty line in
the 25 global biodiversity hotspots identified by Conservation International. In Asia especially, rapidly expanding
economic development activities have stressed irreplaceable ecosystems and dramatically reduced important
biodiversity areas. They have fragmented the landscape
and reduced its ability to deliver a range of critical environmental services such as water supply, delivery and
filtration and flood control. They have also greatly
compromised future socioeconomic and market development potentials. Environmental sustainability has
been recognized as central to the success of reaching
the Millennium Development Goals of eradicating
hunger and poverty. As such, rural development of all
kinds must now be completely compatible with and
supportive of environmental health at all levels.
Conventional approaches are not adequate to
protect biodiversity, maintain critical environmental
services AND improve the livelihoods of the rural poor.
Clearly we need a new model, one that brings together
the wealth of sustainable living technologies as well as
business and market development skills that are tailored
to the needs of the rural poor.
Annex 19.1: Guidelines for raising rural incomes the
green way
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
Development decisions are often made
based on poor market and opportunity
assessments.
a) Need market research - what does industry
need/want?
b) Explore market development opportunities
at all levels (local/regional/tourist/international markets)
c) Match producer capacity with appropriate
markets
d) Specialty markets may be easier to
access due to volume requirements and
natural products “culture”
Focus on one or two products; projects are
often too broad given the budget and resources
available.
Focus on traditional products first.
Conduct adequate baseline research
a) Step 1: Use Community-based Tree and
Forest Product Enterprises: Market Analysis
and Development, and other rapid
research and business planning tools to
identify the range of products, issues,
opportunities, and players.
b) Step 2: Choose 1-2 priority products/
enterprises using market, environmental,
social, and technical/logistical selection
criteria.
c) Step 3: For each, conduct an in-depth
supply chain analysis; foster partnerships
with key players; tailor an approach to the
unique needs and potentials for each
product, enterprise, and country—boilerplate strategies will not achieve satisfactory
results.
Policy and business climate issues often
create significant obstacles but may be overcome with single product focus and public
private partnerships.
Develop strategic alliances with the “right”
private sector partners—not all are interested
or equipped to support social and environmental goals.
Market, product and human resource development are equally important.
(viii) To reduce poverty, target smallholders,
raw-material collectors, and women in the
development of the whole supply chain.
Women are often highly dependent/involved
in NTFPs and specialty agriculture already.
(ix) Make sure the budget and timeframe of the
project are realistic—the time needed to
“institutionalize” results is often long.
(x) Use indicators and measures that deal with
quality, NOT quantity.
(xi) Stress environmentally sound production
(agroforestry, integrated, organic, etc.) in
areas of conservation concern (watersheds,
protected area buffer zones, conservation
corridors, etc.).
(xii) Consult with reputable environmental groups
during project design to maximize environmental benefits and achieve real sustainability.
(xiii) Attend trade shows and use private sector
expertise for technical assistance.
(xiv) Orient initial project activities toward improving
raw material quality, price, and delivery to
establish a credible supplier reputation.
(xv) Mainstream product support/extension,
sustainable production practice and
pro-smallholder policies into national frameworks.
.
155
20. Linking Communities to Employment
Opportunities and Markets: Policy and
Institutional Design Aspects
Ewald Rametsteiner
Summary
The paper briefly reviews insights from different
economic and policy disciplines in relation to the promotion
of local level economic development. They show convergence on a number of lessons and recommendations that
are applicable in a rural forest-based development program
planning context. These include a strong trend toward
more integrative and holistic approaches, higher importance placed on contextualization and local involvement,
emphasis on market-supporting institutions and people
empowerment. While such “best practice rules” are by
now rather well acknowledged on a general basis, many
differences and difficulties emerge on a more concrete
and practical level of development program design and
implementation.
A number of cases largely from outside the Greater
Mekong Subregion (GMS) are presented for policy and
institutional designs in relation to program implementation geared towards local level involvement, sustainable
economic development and livelihood as examples to
illuminate experiences with their practical application.
The cases, while not necessarily directly transferable to
the GMS region, provide food for thought and an opportunity to learn from experience made toward building
sound policy and institutional frameworks for longer-term
forest-related local or rural development in the context
of the GMS Biodiversity Conservation Corridors Initiative (BCI).
20.1 Introduction
The last decades saw big changes in development
thinking. In the 1990s, development concepts and goals
were increasingly linking the notions of economic growth,
distribution and poverty reduction. By the latter half of
the 1990s the complementarity of states and markets
was increasingly widely acknowledged. This consensus
postulates that private enterprises operating through the
market are the main engine of sustained economic
156
.
growth. By the end of the millennium, poverty reduction
and the closely linked issue of local and landscape level
development took a prominent role, while integrating
environmental aspects seriously has become more widespread. Development initiatives today are comprised of
better coordinated and well-balanced portfolio of measures
that complement bottom-up implementation with topdown approaches. The following principles of development work are often explicitly stated: pro-poor targeting,
conservation and sustainable use of natural resources,
decentralization and equal citizens’ rights, local governance and capacity development, multi-stakeholder
partnerships.
Dependency on rural economies and income is
high in the GMS, as is the threat to future biodiversity
and natural resources by overexploitation and habitat
loss, which in turn has detrimental effects on rural poverty.
Biodiversity conservation corridors, such as those promoted
in the BCI, have become important and complement
protected areas with the goal to restore severed or
degraded corridors or habitat linkages between core
areas. This needs to be linked to poverty reduction
measures that provide opportunities for local people to
participate in paid corridor restoration work and in its
management. Further, it is essential to ensure and
improve the economic basis for regions with high
emphasis on conservation. This can be achieved through
reducing market-distorting rules and price-distorting
illegal products and the structure of markets for traditional forest or agro-forest products, market supporting
measures for a wide range of underdeveloped markets
of non-wood products as well as creating or promoting
markets for services, including recreational (eco-tourism),
educational and ecosystem services. All of these
produce additional benefits and provide sources of
supplementary income. Linking local actors and
communities1 to markets and exploiting market opportunities is thus an essential component of sustainable
conservation efforts (Scherr et al 2002, Vedelt et al 2004,
Sunderlin et al 2005).
1
The term “local community” is used in its meaning of having ‘something in common’ in a local setting, and can refer to a neighbourhood,
village, town, etc. but also to local groups with a shared socio-economic
understanding. Community capacity is the collective ability of a
community to respond to challenges and to create and take advantage
of opportunities.
This paper presents and discusses insights from
different initiatives in relation to the design of policies
and programs that aim to promote local level economic
development with a view to linking communities to
employment opportunities and markets. Linking local
communities to markets requires determined efforts by
many actors on different levels as well as sound policies
and institutions2 . This paper focuses on the institutional
design part of policy and program making, not on
specific project implementation. It does so by highlighting two core components-namely empowering local
communities and assisting in their linking to markets.
Examples are taken from outside the GMS region. By
showing cases from developed regions the aim is to
complement other initiatives presented at the symposium
that focus on developing country cases.
20.2 Empowering local communities: decentralization and bottom-up emergence
Decentralization3 of authority and devolution of
power to local communities has recently become widespread. Decentralization and devolution are tools for
promoting development and are aimed at increasing
efficiency, equity and democracy. These initiatives have
transferred responsibility, from central ministries to local
governments or community representatives, over
procurement, selection of local projects and identification of beneficiaries. It is viewed as a way to make
government more responsive, efficient and accountable.
Effectiveness and efficiency should increase because
greater local input should result in better-targeted
policies and lower transaction costs. While is expected
to increase local accountability, this is frequently questioned, since it is based on the assumption that local
democracy will function effectively. Numerous case
2
The term “institution” is used in its broad meaning, i.e. the prevailing
rules of the game in society. This includes informal (e.g., moral codes,
self-enforcing agreements, social networks) and formal rules (legal rules
enforced through third parties).
3
Decentralization is usually referred to as the transfer of powers from
central government to lower levels in a political-administrative and
territorial hierarchy (Agrawal and Ribot 1999). Deconcentration, refers
to a transfer to lower-level central government authorities, or to other
local authorities who are upwardly accountable to the central government (Ribot 2002). Political, or democratic, decentralization refers to
the transfer of authority to representative and downwardly accountable
actors, such as elected local governments. Devolution is the relocation
of power away from a central location (Fisher et al 2000).
studies exist of development programs being stymied
by capture of local governments by powerful local elites
which distort and divert public programs to benefit
themselves at the expense of poor minorities4 .
Many issues related to decentralization have been
covered recently by intensive research on: experiences
of decentralization and devolution (Ribot 2005, Interlaken
2004, Enters et al 2000, Shackleton et al 2002), tenure
and property rights (White and Martin 2002, Interlaken
2004), accountability (Agrawal and Ribot 1999, Bischof
2001), local level asset assessment and participatory
planning and decision making (Sheil et al 2002, Larson
2004, Agrawal and Gupta 2005), etc. Figure 20.1 shows
commonly found forms of transfer of rights and responsibilities away from central governments towards local
populations and related accountability relationships.
Decentralization being one of the strongest policy
trends of the last decade, many development initiatives
targeted at local communities have had similar experiences, both good and bad. In many cases the evaluation of project implementation and direct experience
revealed that a number of factors are frequently cited to
be of crucial importance for success. Amongst others, it
is often found that in successful projects the target group
has a sense of “ownership” of ideas and of initiatives. In
rural communities of poor countries, in particular, social
norms sharply distinguish ‘outsiders’ from ‘insiders’.
People are often wary of “outsiders” such as employees
of central government or international NGOs and are
quite skeptical of new concepts being imposed on them
and their way of life.
On the other hand, lack of capacity and initiative
impedes local communities to effectively take things in
their hands. Furthermore, implementers of development
concepts and projects have learned the importance of
tailoring model approaches to local contexts. The move
towards more contextualized approaches not only in the
planning phase of development policies but in all stages
of policy planning, implementation and evaluation is
4
At the local level in situations of high inequality collusion may be
easier to organize and enforce in small proximate groups but it is no
secret that the state is also sometimes captured by special-interest groups
and lobbies who do not have, to use Olson’s (1982) phrase, an “encompassing interest” in the productivity of the society and may thus
prolong socially inefficient institutional settings.
Linking Communities to Employment Opportunities and Markets:
Policy and Institutional Design Aspects
.
157
Figure 20.1: Different forms of power transfers and related accountability (Ribot 2005)
Central Government
Accountability
Donors
Big NGOs
▲
Ministries:
Health
Environment
Education
Power Transfers
▲
▲
DECO
NCEN
TRATI
ON
DE
C
EN
TR
AL
IZA
TIO
N
NON - MARKET PRIVATIZATION
▲
DE
M
O
C
RA
TIC
▲
▲
N
IO
AT
TIZ
IVA
PR
Contracts and Grants
HYBRIDS?
▲
▲
NGO
PVO
CBO
▲
▲
Customary
Authority
▲
▲
▲
▲
WEAK
?
▲
▲
Administrative
Local Authority
▲
▲
▲
▲
STRONG
▲
▲
▲
▲
Democratic Local
Government
▲
▲
▲
Individual or
Corporation
?
▲ ▲
Local Populations
certainly a great step forward in acknowledging that the
conditions as well as the routes to successful development are too diverse to be adequately covered by an
off-the-shelf approach (Rodrik 2004, Roda et al 2005).
Overall, development seems to continue to be
directed towards a local or landscape level focus beyond
a specific sector, such as agriculture. There is an
increasing emphasis on people and the need for learning and knowledge accumulation. This is variously
expressed by using different terms such as social capital,
empowerment, participation or an emphasis on learning.
This reflects an increasing recognition that facilitating
better access to opportunities or creating a situation which
allows households to create their own opportunities is
likely to be more cost effective for improving livelihoods
than focusing support on a particular sector or sub-sector
or rural economic activity (Ellis, 1999). This calls for a
strong focus on demand-driven tacit empowerment and
the creation of “learning-by-doing” enabling environments.
Domestic and international market and market access
building is likely to continue shifting towards the center
of institution building in development oriented work of
national and international organizations.
Equally important is the strengthening of institutions that provide stable and simple rules and put specific
158
.
emphasis on accountability, especially through enhanced
transparency of procedures and decisions as well as
enhanced participation. Institutions of local democracy
and mechanisms of political accountability are often very
weak. Usually the competency of staff in local bureaucracies is very low, in undertaking basic accountability
tasks like accounting and record keeping. Effective rent
seeking and capture by local elite groups and exclusion
of disadvantaged groups is thus a frequent issue that
needs to be adequately addressed. If poverty alleviation is an explicit or implicit goal, explicit steps to effectively reach the poor, often in remote backward areas,
are needed.
In respect to building markets it is important to
emphasize that local level economic development is
embedded in national economies. National economic
development, according to a wide consensus amongst
development economists, requires states to be active
and get things right in a few key areas. The most important institutions are those rules and regulations that
protect property rights, enforce contracts, enable
market-based competition, set appropriate incentives,
sound money, and sustainability of debt. The list of firstorder principles for economic growth was augmented in
the second half of the 1990s with a series of so-called
second-generation reforms that were more institutional
in nature and targeted at problems of “good governance”
(Rodrik 2004). Institutions and governance take center
stage as weak institutions are not only an inequitable
burden on citizens, they also act as a brake on economic
growth and reduce private enterprising or divert it into
rent-seeking or other socially unproductive activities.
Institutions are equally relevant for both functioning
markets and functioning governance structures.
20.3 Case 1: institutional and administrative
restructuring – putting the local level first
The first example of institutional design is taken
from an unlikely corner: industrial policy in a developed
country - Japan. Throughout the 1980s, this country was
admired for its highly effective institutional design for
economic development policy. The case is taken to
illuminate a central concept of institutional design: central
governments do not know “what to do”, especially in less
favoured regions, as they lack information on local level
contexts, capabilities and opportunities. One consequence often was government support to large firms, with
a disregard of the needs and opportunities of local microenterprises. The latter, being bound by the local limits of
capabilities, often lack the “know-how” to break out of
their local limitations. Small and medium enterprises
(SMEs) and micro-enterprises are particularly important
in the development of rural economies.
During the economic crisis in Japan in the 1990s,
the ministry often seen as hugely influential in the
economic success model of Japan a decade earlier, the
Ministry of Economy, Trade and Industry (METI) reoriented
its administrative structure to fill the huge gap between
top-down implementation of policies and the bottom-up
emergence of SMEs. Beginning in the late 1990s, a
total of 55 local governments throughout Japan established
regional platforms merging public-owned agencies, which
previously each fulfilled a different function (ColovicLamotte and Tayanagi 2004). METI reoriented the
mission of the Regional Bureaus of METI (RBETIs) to
node regional/local networks and established the Japan
Association of New Business Incubation Organizations
(JANBO). Both moves were made to support and
promote regional platforms, with the establishment of
one-stop coordination systems for various regional
actors such as SME managers, university professors,
entrepreneurs, business consultants, local officers etc.
This in effect was a copernical change from a top-down
large-scale industrial policy to a support system for
promoting and facilitating bottom-up emergence of SME
activities (see Figure 20.2).
Figure 20.2: Organizational change model of METI’s regional economy and industrial policy
Source: Colovic-Lamotte and Tayanagi 2004.
.
159
The problem for central governments is that they
have very little information on the local needs, delivery
costs and the amount actually delivered. Many programs
in developing countries have thus a large gap between
a commitment of resources at the central level and
effective delivery of services at the local level. Decentralization, by shifting control rights from the central
bureaucrat to a local government, typically tends to
expand service deliveries as authority goes to those more
responsive to user needs.
The lesson from this case is quite wide-ranging
when put in a context of the GMS-BCI: If local communities
and micro-enterprises are to be the core actors for
development in certain rural regions, ministries that are
strongly related to rural development, such as agriculture
and forestry, are well advised to re-think their administrative models of service delivery from centralized topdown “one-size-fits-many” to the effective support of
local network-building. In service deliveries as well as in
local business development, control rights in governance
structures should be assigned to people who have the
requisite information and incentives, and the responsibility for the (political and economic) consequences of
their decisions. At the same time it is important to keep
in mind that structures of local accountability are often
not in place, and local governments are often at the mercy
of local power elites. Capture of the local government,
i.e., the tendency for the service to be overprovided to
local elites at the expense of the non-elite, needs to be
actively counterbalanced. To facilitate this, central
government may sometimes have to play an activist role
in enabling (if only as a ‘catalyst’) mobilization of people
in local participatory development, in neutralizing the
power of local oligarchs, in providing supra-local support
in the form of pump-priming local finance, supplying
technical and professional services toward building
local capacity, acting as a watchdog for service quality
standards, evaluation and auditing, investing in larger
infrastructure and providing some coordination in the face
of externalities across localities (Bardhan 2002).
20.4 Case 2: capturing local ideas and initiatives
for market-led development
The second case presented is a policy designed
to capture ideas emerging “bottom-up” on the local level.
The European Community Initiative “LEADER” aims to
160
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promote rural development through a new, small-scale
approach to rural development in particularly lagging
areas. It was started as a program in 1991 with LEADER
I (217 initiatives supported), continued with LEADER II
(1994 – 1999, 998 local action groups and other collective bodies supported), and is now in its third phase,
LEADER+ (2000 – 2006).
The LEADER concept is based on elaborating and
implementing a «local action plan» which has to be put
in action within a period of six years based on a partnership between local public and private actors. It is thus
following an area-based approach whose focus is to
provide opportunities for funding small-scale initiatives
developed by local groups, building on region specific
contexts. It puts a strong emphasis on capturing innovative ideas and answers to existing problems through
local multi-sector integrated approaches. The publicprivate interaction on local level should enable joint
learning and network-building.
According to an independent evaluation of
LEADER II, the program proved to be adaptable to every
rural socio-economic and governance context. It brought
local actors, administrations and support structures closer
together and mobilized the potential of voluntary work
among local people. It fitted well to small-scale area-based
activities and projects in lagging regions and vulnerable
rural territories. The efficiency of the initiative was
reduced where the local group started late and did not
have enough time to implement the local program.
Another hindering factor was a disempowering administrative environment which means: cumbersome decision
making processes, sectoral barriers to the territorial
approach and lacking support for the local group (ÖIR
2003).
The same evaluation showed that LEADER II
effectively closed the gap between a top-down program
and the local people, their needs, aspirations and potential.
It conveyed responsibility to local partnerships and
contributed by re-linking public and private, profitmaking and non-profit activities, as well as infrastructural
and entrepreneurial activities. It induced a mentality
change among local actors from passive to active
attitude. The leverage effect on private funding turned
out to be higher than expected almost everywhere. The
effectiveness of the initiative was reduced if the
implementation time was too short to let the local group
come into direct contact with the people’s initiatives, and
if the local leaders generally disregarded the bottom-up
approach. This was often combined with a weak and
unrepresentative local partnership (ibid.).
It opened up new avenues creating added value
in rural areas and creating synergies between existing
value added chains. It contributed to capacity building
at local level in and around the local partnership. Many
local programs integrated environmental concerns into
social and economic development at a strategic level.
Public and private actors started to act in common, or
intensified their cooperation. The initiative could not
contribute to sustainable development, if the local partnership and technical assistance were prematurely
disrupted through cutting funds at the end of the
programming period. It had also difficulties to serve this
goal, if the continued dominance by a single sector or
public actors constituted a barrier to meet the development needs of the area.
The design of this program is one of the best
documented examples of a bottom-up local development
initiative that does not pre-define the areas to be developed but leaves it to the local community or to local
actor networks to identify opportunities and develop ideas
how to bring them to fruition. While the program design
has faced some scepticism at the beginning for its low
level of top-down orientation, it has proven to be one of
the best accepted and most effective programs that has
further developed into mainstream development policy
for rural areas in the EU.
In the context of the GMS-BCI initiative the example
was chosen to challenge the standard approach of topdown oriented program designs for local level development.
Practice shows that programs that are built around the
concept of promoting ideas and local initiative emergence
are particularly well suited in diverse and heterogeneous
settings. It allows for decentralized empirical testing of
different approaches and markets in a wide array of
areas, making use of a larger pool of knowledge than
could be conceived by central “paternalizing” planning
and strategic decision making on future directions of
markets. It also enables “learning-by-doing”. Particularly
for larger regions a program targeted towards this goal
might be a useful and effective complementary component
for linking local communities to markets.
20.5 Case 3: bundling and focusing of local initiatives
to strengthen market access
Amongst a large number of examples for promoting
market related development and market access for local
communities, the following two cases are chosen as
examples of effective initiatives: producer cooperatives
and cluster policies.
20.5.1 Producer cooperatives
Producer cooperatives are not new. In fact they
have a long history. In countries or regions where
regimes have forcibly taken private property and established
communal management, these forms of management
often have a loaded image that is difficult to overcome
once the principle of private property or at least communal
property is re-established. Whereas in the former case
cooperation was a forced political imperative or driven
by political or ideological motives, it is a free decision
driven by efficiency and profitability considerations in a
market system.
Cooperation of owners/producers strengthens the
individual owner’s position and is beneficial for developing
his own enterprise. The goals of producer cooperatives
are often very similar. They are installed to promote better
forest or land management, to reduce the amount of individual investment by pooling and sharing machinery,
time and know-how. They are very often established
primarily to strengthen the negotiation position of its
members in the market, like wood buyers. By collecting
wood from many individuals cooperatives can offer the
market more attractive volumes and reduce transaction
costs. The extra profits of the cooperative remain with
the members and do not go to middle men (Sjunnesson
2004, Weyerheuser et al 2006).
Producer cooperatives face similar difficulties that
emerge from this form of largely non-hierarchical organizations with low exit barriers and often limited tangible
incentive to cooperate in concrete conflicts. It is, after
all, a form of competitors’ co-operation whose benefits
are partly based on solidarity behaviour and trust. Many
examples have shown that having a capable and determined leader is an effective means to establish and
maintain strong co-operatives. Visible early real benefits
in terms of additional income for members are a clear
.
161
incentive. Especially if governments promote such
cooperatives through seed funds, there is a tendency of
erosion of enthusiasm over time and a termination of
activities once governmental funds are removed. As in
any rather loose organizational arrangement involving
financial flows, the equitable sharing of costs and profits
through clear and transparent rules are an issue. It has
also often been found that it is essential to build up solid
technical, managerial and especially marketing knowhow amongst members – in many of these areas the
benefits of building up such knowledge is considerably
lower than the costs involved for individual small scale
producers. There is thus a severe under investment in
know-how that producer cooperatives can and should
address.
The success of a cluster is in a large part due to
people from very different but linked sectors forming
quality relationships and networking to achieve results.
These linkages are informal, and are supported by more
formal organisations/institutions. They work best at a
community level where participants in the local industry
already have formed a wide variety of relationships, and
there is already some degree of dialogue and trust. Clustering builds on the teamwork that is already in place. A
key component of any cluster is extensive informal and
formal networking between firms - even competitors right across the cluster, and between firms and their
supporting infrastructure. Soft networks (such as local
professional and trade associations) and hard networks
(strategic alliances between firms) are both important
(IRE 2005).
20.5.2 Cluster-building policies
Cluster-building, more often identified with high-tech
or manufacturing industries, is further market-based
development policy approach that particularly tries to
develop the local and regional level through a peoplecentered approach. The success of such policies in the
last decade is, as all concepts developed in some other
context, not necessarily useful or reliable in the GMS
region, and possibly the least directly applicable of the
cases presented for the BCI initiative. Nonetheless, it is
quite useful to reflect on the changes that many industrial
policies in developed countries have had to undergo to
reorient towards the cluster concept. They stand in stark
contrast to industrial policies as practiced and preached
in the 1970s. Many industry-oriented development
concepts in developing countries are still following the
old pattern. Moreover, while most of the cluster concepts
applied in industrialized countries today are still industryand high-tech oriented, they are nonetheless just as
applicable for clusters of service-handicraft industries
such as those needed to establish attractive and diverse
low-impact eco-tourism regions, also in BCI contexts.
Finally, it should be noted that cluster concepts have
often been promoted and/or taken up with high enthusiasm
but with a low level of understanding of the difficulties
involved in establishing loose co-coordinative mechanisms
amongst a multitude of actors with very different backgrounds and interests. As we know from Olson (1982),
heterogeneity makes collective action problems more
difficult. Clusters are thus one or two dimensions more
complicated than producer cooperatives to build up and run.
162
.
In terms of development policies the following
aspects stand out in comparison to traditional development
approaches: clusters focus on groups of firms and on
local or regional value adding, but not on individual firms.
They build on local agglomerations of SMEs, not on large
firms. They (ideally) emerge from and promote indigenous
growth processes, and are not based on the idea of kickstarting development by large inward investment. Clusters
aim at stimulating strong parts of regional economy, and
not on the improvement of the weakest parts. Policies
supporting cluster-building aim at stimulating interaction
between local players rather than at the provision of
financial incentives (low-intervening). Public bodies act
as facilitators or brokers with a view to stimulating links
between actors of local business environments as well
as between local and regional or international players.
The emphasis of policy is on enhancing interconnectivity
in a market exchange context.
20.6 Case 4: market demand creation through
targeted procurement
In all countries, governments are large players in
markets as buyers of a huge range of products and
services. This market power is increasingly recognized
and used by governments of developed countries to
promote the achievement of sustainable development.
In respect to rural areas the most visible example for
market-based policy making have been public procurement
schemes in a number of large consumer countries in
relation to legal and sustainably harvested timber. Public
procurement schemes to support markets for such products
are now established in UK, Germany, Denmark, USA,
and Japan, amongst others. While such policies are not
likely to be adopted by many developing countries on a
national level in the near future, it is nonetheless worthwhile to reflect on the possibilities that exist for organisations or policy programs to build in such components
in a limited form.
Public procurement policies in a restricted sense
are conceivable for a large number of products and services
where local, regional or national governments are intending
to establish or develop markets. This includes non-wood
forest products, bioenergy from agricultural or forest
biomass, and recreation. What is important here, however, is a thorough and critical reflection of the rationale
and market impact of intervention. In some cases it might
be required to build a clear strategy for market-based
production capacity building that is sustainable also under
non-protective regimes after a certain development
period, and an exit strategy from market based governmental intervention.
20.7 Case 5: market creation – the example of
Payment for Environmental Services (PES)
Markets provide powerful incentives and efficient
means of conserving forests and the public goods they
provide while at the same time offering new sources of
income to support rural livelihoods. Recent years have
seen considerable interest in using Payments for Environmental Services (PES) to enhance conservation
(Mayrand and Pacquin 2004). PES programs seek to
capture part of the benefits derived from environmental
services and channel them to natural resource managers
who generate these services, thus increasing their
incentive to conserve them. The most frequent environmental services considered under PES programs are
biodiversity conservation, water services, carbon services
as well as landscape amenity services. Table 20.1 shows
indicative market volumes of the three most well developed
markets, the number of transactions and land areas
protected or restored through these programs as
compiled by the Katoomba Group’s “Ecosystem Marketplace”.
PES are in operation in many regions in the world,
with Central America seemingly more attuned to this
approach than other regions (Pagiola et al 2005). PES
programs have also been explored in the GMS region,
with Viet Nam possibly having the largest experience to
date. Frequent challenges in building markets for PES
include not only creating markets, but in parallel it
requires establishing sustainable financing mechanisms,
developing incentives to land managers, developing the
institutional framework to match local conditions and
finally, ensuring an equitable distribution of the costs and
benefits among different stakeholders.
Table 20.1: Payment for environmental services – market
watch overview April 15, 2006
Biodiversity
Market volume
(US$)
Transactions
Water
375,908,799 373,655,115
Carbon
92,344,370
997
149
38
Land Area
5,886,364 ha
Protected /Restored
350,513 ha
886,364 ha
Period
01/87-08/05 12/94-04/05 01/95-02/06
Source: The Ecosystem Marketplace.
Costa Rica has been at the forefront of the
development and implementation of PES policies and
instruments. Costa Rica has developed a specific
economic instrument related to the value of conserving,
protecting or managing forested land. ‘Pagos por
Servicios Ambientales’ or ‘Payments for Environmental
Services’ (PES) rewards land owners for carbon,
biodiversity, watershed management and landscape
beauty services, which are legislated and defined in the
Costa Rican Forestry Law. The scheme is mainly
administered by the National Fund for Forest Financing
(Fondo Nacional de Financiamiento Forestal,
FONAFIFO) to which landowners cede their rights, e.g.
sequestered carbon to sell on the international market.
Throughout Costa Rica, local and regional organizations provide bundling services to small farmers to
access the ESP program resources, reducing transaction costs related to contracting of environmental services
for small landowners as well as for FONAFIFO. Such
bundling allows small forest owners to access the ESP
program, through legal assistance and technical advice
relating to conservation and sustainable use of forest
ecosystems. Bundling numerous small landowners
.
163
together serves to reduce the unit cost of such services
while supporting landowners who might otherwise have
difficulty complying with ESP program regulations. Figure
20.3 outlines the main mechanisms and institutions
involved in the Costa Rica case. The Ecomarkets Project
of Costa Rica is widely considered as the most successful
environmental services approach worldwide.
In 2005 a total of approximately US$4 million was
redistributed to forest owners through the PES scheme.
Around 50% was handed out for protection (mainly
biodiversity protection) contracts, around 30% for reforestation and the rest for agroforestry and other activities
(FONAFIFO 2006).
to mainstreaming PES in developing regions of the world
is the lack of buyers. While some buyers are unaware
or little informed about the PES concept, others point
out the risks inherent in mechanisms to trust. The costs
and difficulties involved in connecting buyers and sellers
quickly and efficiently is likewise a major barrier. Another
is the lack of or difficulty of arranging deals due to the
nature of property rights where communities may face
barriers to the negotiation of deals stemming from a lack
of tenure rights, literacy, or familiarity with contracts. A
number of institutions and capacities need thus to be
built up to create markets for PES that allow efficient
trading.
20.8 Conclusion
In order to better understand why PES is not
currently a common tool for conservation, Forest Trends
recently conducted a study focusing on what is required
for deals to work on the ground in Latin America, Asia,
and Africa. 57 interviews were conducted with NGOs,
governments, and businesses working on the establishment of PES globally. They found that the biggest barrier
Rearranging policies and institutions to empower
local communities to recognize market opportunities and
to facilitate bottom-up emergence of initiatives for local
development is a key strategy for linking local communities
to markets. This must go hand in hand with further work
to remove well-known obstacles such as weakly defined
Figure 20.3: PES system Costa Rica
Buy Certified Tradable Offsets (CTO)
DONORS
▲
Transfer of
carbon stocks
▲
▲
▲
National Forestry Fund
Give carbon rights
▲
▲
Promotion and
technical assistance
National
Company of
Power and
Electricity
▲
Pay for the
environmental services
Fuel Tax
National or international certifier
Payments for Environmental Services (US$)
Hydroelectric
companies
Source: Landell-Mills and Porras 2002
164
▲
Joint Implementation Office
Contracts and
receives
certification
services
▲
Transfer
US$ from
CTOs
o
f
E
n
v
i
r
o
n
m
e
n
t
▲
Sale CTOs
.
▲
Provide
Information
& (US$)
Monitors,
certifies
▲
(US$)
INVESTORS
▲
▲
M
i
n
i
s
t
r
y
Forestry owners, public and private
▲
Promotion and
technical assistance
Independent regents, foundations
or NGOs
property rights and often even more weak law enforcement,
inadequacies in stable and transparent land-use planning
and the difficulties perpetually created by continuously
changing rules and regulations.
Getting adequate institutional frameworks in place
makes a huge difference for local level development.
Well suited and locally adapted policies and programs
and related implementation designs are crucial to create
conducive institutional frameworks. The examples
described have all dealt successfully with adaptive
designs to fit local circumstances. Many combine the
important features of trust, transparency, openness and
flexibility, and involve stakeholders who traditionally would
not sit together at the same table.
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21. Non-Timber Forest Products and Rural Livelihoods in Lao PDR: Reducing Poverty
through Forest Development and Conservation
Interventions
Andrew W. Ingles, Sounthone Kethphanh,
and Andy S. Inglis
Summary
Properly planned and executed interventions in the
management and marketing of Non-Timber Forest Products
(NTFPs) by forest-dependent communities in Lao People’s
Democratic Republic (Lao PDR) can simultaneously
reduce poverty and assist in the conservation of forest
biodiversity. Evidence of significant and sustained
improvements in rural livelihoods, arising from such
NTFP-related interventions, is presented from a pilot
village in Northern Lao PDR. Food security has been
achieved, annual cash incomes to households are
significantly higher, people are healthier and all major
development indicators for the village show marked
improvements. The benefits from the interventions have
been distributed equitably and a significant proportion of
households have graduated out of a locally defined
poverty situation. In addition to telling the story about
how this all happened, this paper makes the case that
the Core Environment Program and Biodiversity Conservation Corridors Initiative (CEP-BCI) should take note
of this experience and support the further scaling-up of
such interventions within its program of work in Lao PDR.
21.1 Introduction
“The forests of Lao PDR are one of few potential
sources of sustainable economic growth for the country.
A relatively large amount of remaining forest resources
and the high level of forest dependence by local
communities, coupled with the extent of rural poverty in
Lao PDR, presents unique opportunities and challenges
to combine forestry with poverty alleviation approaches
to help meet national development goals.” (Morris et al
2004).
From 1995 to 2001, The World Conservation
Union (IUCN) and the National Agriculture and Forestry
Research Institute (NAFRI) of Lao PDR, with funding from
166
.
the Government of the Netherlands, implemented a
project to promote the sustainable use of NTFPs. The
project had the dual aims of improving rural livelihoods
and conserving forest biodiversity. Pilot sites were
selected and used by the project to learn about and
demonstrate forest-based livelihood interventions that
would help achieve these aims. The project’s lessons
and its impacts at pilot sites were assessed during and
after the project was completed. Another follow up
assessment was undertaken between December 2005
and April 2006, approximately 10 years after the project
began work in pilot sites, and 4 years after the project
ceased operations.
This paper describes the role of NTFPs in rural
livelihoods, the work of the NTFP project and its impacts
in one of the pilot sites (Ban Nampheng, Oudomxai
Province), and then makes the case for the adoption of
similar interventions in the CEP-BCI.
21.2 The relevance of NTFPs to rural livelihoods and
forest conservation in Lao PDR
Despite the economic growth achieved over the
last 15 years, Lao PDR remains one of the poorest countries
in the world, having the 5th lowest Human Development
Index in Asia (cited in Emerton 2005). It is also one of
the least densely populated countries in the region, but
the predominantly rural population is growing rapidly and
having an increasing impact on its natural resource base.
It has been estimated that although some 46% of the
original forests of Lao PDR remained in the year 2000
(ICEM 2003), only about 2% of the original forest cover
was relatively undisturbed and large enough to contain
the original biodiversity (Dauvergne 2001 cited in Lamb
and Gilmour 2002).
Forest loss and degradation continues mainly
through land conversions through infrastructure development and agricultural encroachment, unsustainable
forms of shifting cultivation, over-exploitation of forest
products, over-grazing and misuse of fire (World Bank
et al 2001). This presents a problem for both rural
development and forest conservation.
About five million people or 80% of the population
in Lao PDR pursue rural livelihoods within which NTFPs1
play a significant role in food security, income generation,
and provision of numerous other non-food and non-cash
inputs to households.
After rice, wild forest foods dominate the daily diet.
More than 450 edible species have been identified, and
collectively they provide the bulk of animal protein, leafy
green vegetables and micro-nutrient intake of rural
households (Clendon 2001; Foppes and Kethpanh
2000a, 2000b, 2004; WFP 2004). In remote upland areas,
households commonly experience rice shortages for up
to 3 months. NTFPs provide food security through
either direct consumption or through their barter or sale
to obtain rice. The “safety net” function of NTFPs is even
more important in bad times when crops fail or are
destroyed.
The World Food Programme (WFP) of the United
Nations first attempted a nationwide survey of forestbased food security in 2004 (WFP 2004). They found
that all villages in the country had some dependency on
forests for food and that about 41% of all villages were
dependent on food obtained from forests within and
around Lao PDR’s national system of protected areas.
More significantly, 24% of all villages were found to be
dependent on forest foods but only have access to mostly
degraded forests, and as a result suffer from food in
security. These areas are shown in Figure 1 (source
WFP 2004). The WFP says these villages require a
priority intervention in food aid as a result of declining
forest resources.
The Government of Lao PDR has set aside 12%
of the country’s land area (30,000 km2) as National
Biodiversity Conservation Areas (NBCAs) within a
national system of protected areas. These protected
areas are on the map presented in Figure 21.1 and
represent the cornerstone of forest conservation strategies
in Lao PDR. There is a clear overlap of food security
concerns and forest conservation interests in nearly half
of all the villages of Lao PDR.
1
The term NTFPs is used in its broadest sense to include all nontimber products collected from forested landscapes that include closed
and open forests, individual trees, tree plantations, shrub lands, regrowth
from shifting cultivation, wetlands and other fresh water habitats.
Non-Timber Forest Products and Rural Livelihoods in Lao PDR:
Reducing Poverty through Forest Development and Conservation Interventions
.
167
In such villages, NTFPs sales commonly generate
about 50% of cash income to households (Foppes and
Kethpanh 2000a, 2000b, 2004; Ingles et al 1999; Morris
et al 2004). These sales are very important because
they allow the purchase of goods and services in situations where there are few alternative income sources.
In addition to food and cash, NTFPs also directly provide
fuel wood, medicine, building materials, tools and
handicrafts, fibers, resins and dyes used in the subsistenceoriented livelihoods commonly found in Lao PDR. The
total economic value of NTFPs consumed or sold by
households is considerable.
Figure 21.1: Food security and forests in Lao PDR
In one study undertaken in the poorest district of
the poorest province of Lao PDR, total NTFP use was
estimated to be worth an average of $313 per household per year (Figure 21.2) in a province where the average per capita GDP is a mere $204 per annum. NTFPs
were found to contribute one third of the household
economy, almost all energy, medicinal and building
needs, 80% of (non-rice) food consumption by weight,
and 30-50% of all protein types. Figure 21.2 presents
estimates of the cash and domestic consumption value
of NTFPs in households of Houaphan Province in Northern
Lao PDR (Emerton, 2005).
Nationwide it has been found that the dependency
on forests for domestic consumption and income
generation purposes is highest for the poorest households and of greatest importance to women because they
dominate (non-hunting) collection and management of
NTFPs (Foppes and Kethpanh 2000a, 2000b; Ingles et
al 1999; Broekhoven 2002; Morris et al 2004).
At the national level, forest products, including
timber and NTFPs, have played an important role in
export and foreign exchange earnings. Broekhoven
(2002) reported that between 1994 and 1998, NTFPs
contributed between 13% and 49%, or an average of
28% or $90.2 million, of total exports. Variation is mainly
due to the volume of NTFP exported in different years,
rising as high as 50% of total forest exports in 1995 and
1996.
In addition to the official records, there is a significant
informal or illegal (and hence unregistered) export of
NTFPs within the region, which has yet to be quantified
comprehensively. However, the value of the wildlife trade
168
.
Source: WFP, 2004.
alone is substantial. An estimate of the value of wildlife
traded along one road going into Viet Nam in 2000 came
to a total annual value of US$11.8 million at Chinese
wholesale prices (cited in Broekhoven 2002). It is
believed that shipments of wildlife products may have
increased in value in recent years and that a large part
of the internal trade in wildlife meat is not for subsistence,
as is often assumed (Nooren and Claridge 2001).
21.3 The pilot site of Ban Nampheng and the NTFP
Project
Ban Nampheng is a small village of some 50
households located in Oudomxai Province in the mountainous North of the country. In 1996, it was selected as
one of 12 pilot sites for the NAFRI/IUCN NTFP Project
because it represented a common situation where poor,
Figure 21.2: An example of the economic value of NTFPs,
Huaphan Province
2001). This aim was split into five objectives to provide
greater clarity to the design of interventions at the pilot
site, as follows:
(i)
sustainable harvesting: to develop sustainable systems of NTFP harvesting that
contribute directly to the conservation of
forest biodiversity;
(ii) community forestry: to promote communitybased organizations that can NTFPs;
(iii) domestication: to reduce pressure on forests
and improve the well-being of village communities through domestication of NTFPs
outside forests;
(iv) well-being: to reduce pressure on forests and
to improve the ability and motivation of
village communities to manage forests by
improving their well-being; and
(v) marketing: to motivate forest users to manage
forest resources sustainably by increasing
income derived from forest products through
improved marketing and processing of NTFPs.
Cash income $84/household/year
Wild plants 5%
Wood 19%
Wild meat/fish 3%
Wood 27%
Wild meat/fish 42%
Wild plants 4%
Home consumption $229/household/year
Source: Emerton, 2005.
upland farmers pursue forest-based livelihoods, which
are dominated by the cultivation of upland rice in shifting
swidden fields and by the exploitation of NTFPs from
standing forests and regenerating swidden fields. See
Box 21.1 for more information about the village at this
time.
Box 21.1: Ban Nampheng in 1996
“When the NTFP project first arrived in Nam Pheng in
1996 the village contained 43 households with 244 people
(“field report #4”, 1996). Households cultivate an average
of 1 ha per year, yielding approximately 1.2 tonnes per
hectare (of rice) and maintaining fallow cycles of seven to
nine years. Most households also raised livestock, primarily
cows and secondarily pigs and buffalo. The nearest school
was in the neighbouring village of Nam Hou, but attendance
from Nam Pheng was low. The main residential water source
was a nearby stream. Illnesses were prevalent, especially
diarrhoea and malaria. The villager’s main source of cash
income was NTFP’s, although they were mostly collected
and bartered on a small scale. Bamboo shoots, in particular,
were sold to traders exporting to China and Thailand.”
(Morris et al. 2004)
The aim of the project’s work at Ban Nampheng
was to demonstrate sustainable systems of NTFP use
that would contribute simultaneously to both forest
conservation and human well-being (Ingles and Karki,
As will be seen in the following sections, activities
undertaken under objectives i, ii, iv and v were the most
influential in creating positive changes in people’s livelihoods. The project promoted a participatory approach
to the planning and implementation of interventions at
Ban Nampheng, using Rapid Rural Appraisal and
Participatory Rural Appraisal tools. In early 1996, the
following situation in regard to NTFP use was thus
diagnosed:
(i)
NTFPs were being over-exploited and poor
prices were being received from traders
because local collectors:
a) had taken loans from traders2 during rice
deficit periods, which were repaid later
with agreed quantities of NTFPs,
b) lacked secure access rights to the forests
and had to compete with outsiders during
peak collection periods,
c) lacked adequate market information,
2
Although the loans provided by traders was seen as a negative
“service” locking asset and cash-poor people into low-price agreements
at vulnerable times of year, some villagers still commented on this
service in a predominantly positive light.
.
169
d) were adding little value to products through
grading and processing,
e) were in open competition with other sellers,
and
f) sold valuable NTFPs by the bundle, rather
than by weight.
(ii) Opportunities to invest in NTFP-based
activities or other livelihood pursuits were
limited by the absence of village infrastructure,
credit services and alternative income sources.
(iii) Development opportunities for women were
further restricted due to their heavy workloads.
In response, a number of project interventions
were undertaken in Ban Nampheng to address these
problems and contribute to the five objectives for pilot
sites as described above. The main interventions are
presented and explained in Table 21.1.
The impacts of these interventions on livelihoods
and poverty were investigated in 2002, one year after
the project ceased operations in 2001 (Morris et al 2004),
and some basic wealth and development indicators were
updated in 2006. Information about the impacts on livelihoods and poverty is presented in the next section.
Table 21.1: Main NTFP project interventions in Ban Nampheng
KEY RESULT
INTERVENTION & PURPOSE
Village rice bank: a store of rice and an organization established
to allow the village to cope with their rice-deficit period better
and reduce the pressure to collect NTFPs to pay off loans to
traders
Replaced the need to over-exploit NTFP resources and sell too
cheaply to traders because of loans taken to buy rice
Forest land allocation and collaborative management: land-use
planning and an agreement made with Government for village
management of specific forest areas and for spatial confinement
of shifting cultivation
Provided secure forest access and use rights to a defined user
group, allowing for (better) harvesting rules, off-take regulation,
and investments in forest management
Marketing groups: An organization was established that developed
agreed rules for harvesting and selling bitter bamboo shoots
(Indosas sinensis) and cardamom pods (Amomum spp.). The
organization also created and managed a NTFP development
fund generated through a locally applied tax of 10% on NTFP
sales
Organized collusion in price setting, enhanced knowledge of
market prices, grading and processing (see below) and selling by
weight using scales resulted in significant increases in income to
households and better returns for labor inputs3 . A successful
village development fund was created. The organization continued
to facilitate further development of marketing strategies and
facilities
Grading and processing: Capacity built for adding value to
cardamom pods (Amomum spp.) used in the production of
Chinese medicine
Significant increase in income from cardamom sales because of
improvements in the quantity and quality of the product through
drying and grading
Drinking water supplies: A local drinking water supply scheme
was established
Reduced time spent by women and children in fetching water,
allowing more time for participation in NTFP collection and in
marketing and savings groups
Women’s savings group: An additional organization was created
to encourage the effective use of additional cash circulating in
the village
Provided credit for local initiatives and strengthened collaboration within the village
Domestication of important NTFP species: Planting trials were
undertaken for three NTFP species (Paper mulberry, Cardamom,
and Eaglewood)
A marginal increase in the resource base and some raised
awareness about the concept of domestication generally
3
The local price for cardamom for example, was raised from 500 kip
per kilogram to 35,000 kip per kilogram in 1998, and although prices
later dropped, prices of around 12,000 kip per kilogram were sustained
over time (Morris et al. 2004) (US$ 1 = about 10,000 kip).
170
.
In regard to forest conservation, both local users
and Government officials have consistently reported that
the condition and productivity of forests allocated to Ban
Nampheng have improved since 1996. Illegal cutting of
timber is reported to have decreased because of
increased food security and the enhanced returns from
NTFP collection. While the value of NTFPs from the
forests has increased, increasing the general pressure
for harvesting, villagers believe that they have greater
control over such pressure through the allocation of
exclusive use rights to them and the establishment of
harvesting rules among the user group (Morris et al 2004).
In addition, grazing pressure on surrounding forests has
been reduced because of new investments in animal
husbandry that have changed livestock numbers. There
are fewer cows and goats, and instead there are more
chickens, pigs and buffalo (Table 21.2). However, information about the impact of NTFP-related interventions
on forests remains largely anecdotal. Changes in forest
composition and structure need to be quantified through
formal surveys.
21.4 The positive impacts on livelihoods at Ban
Nampheng
An assessment of the impacts of the NTFP
Project’s interventions at Ban Nampheng was undertaken
in 2002 and published by Morris et al (2004). The main
findings from this study are summarized here alongside
updated indicators and additional data collected in early
2006. The changes will be presented first, followed by
an explanation of them.
A participatory poverty assessment was undertaken in 1996, 2002 and 2006. Such assessments use
locally recognized indicators of wealth and poverty4 and
require village informants to rank each household
accordingly. The changes in relative wealth ranking from
Table 21.2: Changes in village development indicators 1996 - 2006
1996
Development indicators
2002
2006
Food security
25-30 households lacked rice
for 3-4 months, during which
time they had to leave the
village to hire out labor or cut
timber illegally
Now rice is “not much worry”
and no longer need to hire
out labor or cut timber
Secure
Child mortality (under 5)
10
0
0
Illnesses
Malaria, diarrhea and lung
infection (for elderly)
Same illnesses, but now able
to access medical services and
purchase medicines
Same illnesses, but now able
to access medical services and
purchase medicines
Formal education
30 children
67 children
67 children
Agriculture & forestry
0 ha of paddy rice
45 ha of upland cultivation
Forests not allocated
5 ha of paddy rice
30 ha of upland cultivation
515 ha of allocated forest
10 ha paddy rice
30 ha upland cultivation
520 ha of allocated forest
5 ha fruit orchards
4 fish ponds
Animal husbandry
60 cattle
10 buffalo
13 goats
30 pigs
100 poultry
28 cattle
12 buffalo
55 goats
40 pigs
200 poultry
17 cattle
19 buffalo
12 goats
120 pigs
+1,000 poultry
4
Locally recognized indicators for each wealth class are as follows: Well-off: permanent house, equipment and accessories (e.g. truck, TV/VCD),
enough money or rice for one year, some livestock and enough labor. Middle: semi-permanent house (i.e. thatched grass roof, stripped bamboo walls),
insufficient money or rice for half year, few livestock and enough labor. Poor: temporary house (i.e. bamboo or small trees for beams and pillars),
insufficient rice for full year, no livestock and insufficient labor. (Morris et al 2004).
.
171
1996 (the baseline) to 2002 (Morris et al 2004) and from
2002 to 2006 are presented in Tables 21.3 and 21.4,
respectively5 .
eradication of child mortality, the doubling of school
enrolment rates (gender balanced), and increases in livestock.
Table 21.3: Changes in wealth ranking for households existing
in 1996 and 2002
The village has also benefited from new infrastructure, equipment and services that have been supported
by the NTFP Project, the NTFP development fund
established by the marketing group, and indirectly
through private loans made from that fund. Table 21.5
provides a summary of the additional developments
associated with the NTFP interventions and Table 21.6
presents the annual incomes to the NTFP Development
Fund since the NTFP Project ended.
1996
Wealth rank
2002
House- % of total House- % of total
holds
holds
Well-off
Middle
Poorest
11
16
13
28%
40%
33%
Total households
40
100%
16
20
40%
50%
10%
4
40
100%
Figure 21.3: Changes in wealth classes
Changes in wealth ranking for households 1996 - 2006, Ban Nampheng
60%
50%
Percentage of total households
Fourteen households graduated one wealth class
between 1996 and 2002. Over the next four years
another 7 households graduated one wealth class while
previous gains were held by all but one household that
slipped back a class. Overall, the proportion of households in the poorest wealth class fell from 33% in 1996
to 13% in 2006.
1996
2002
40%
2006
30%
20%
10%
Table 21.4: Changes in wealth ranking for households existing
in 2002 and 2006
0%
well-off
middle
poorest
Wealth Rank
2002
Wealth rank
2006
House- % of total House- % of total
holds
holds
Well-off
Middle
17
21
Poorest
Total households
9
47
36%
45%
19%
100%
21
20
6
47
45%
43%
13%
100%
Figure 21.3 graphically presents this data by
showing the proportion of households in three wealth
classes in 1996, 2002 and 2006. Table 21.2 presents
changes in key development indicators for Ban
Nampheng over the same period of time. Notable
changes include the attainment of food security, the
5
The data includes only those households that were present at each
measurement, so it does not include those households that had recently
arrived, had left or had split into separate new households between
measurements.
172
.
In 2006 it was found that the sale of NTFPs still
dominate household income sources, providing approximately 60% of cash income to households, mainly from
the sale of bitter bamboo shoots. The next most important
source of cash income is animal husbandry (20%),
followed by cash cropping (15%) of sesame seeds and
corn. On average each household is earning about $200
per year by selling bitter bamboo shoots. Recently, the
village head has reported that Ban Nampheng has become
locally famous for its recent development success and
he now holds applications from 30 households, located
elsewhere, requesting permission to move and settle in
Ban Nampheng. This is significant given that there are
only about 50 households residing in this village. Both
the process for considering these applications and the
extent to which new arrivals will be permitted is unknown
at this stage.
Table 21.5: Other developments associated with or arising from NTFP interventions
Supported by NTFP project
Rice bank (1997)
3 clean water taps
2 room school (1998)
Supported by the NTFP Development
Fund
Purchased by individuals (through credit
from NTFP Fund)
Electric generator for village power supply
(1999) and fuel to run it (ongoing)
Village meeting room (2002)
Village food storage structures (2002)
Credit fund providing loans to households
(2003 – 2005)
Operational costs for village office (2003 –
2006)
Incentive payments for village officers (2002
– 2006)
Salary for 2 teachers (2002 – 2006)
Contribution to new school building (2003)
Social welfare and support to traditional
village events (2002 – 2006)
Additional electric generator for village
power supply (2006)
Roofing materials for village NTFP market
space (2006)
2 Dryers for mushrooms and other NTFPs
(2000, 2001)
Rice mill
3 Tractors
1 small truck
Investments in animal husbandry
Investments for engagement in trading
Table 21.6: Annual incomes to the NTFP development fund
since the project ended 2002 – 2006 (note: other income was
also accrued during the period 1997 – 2001)
Year
Total income generated by the marketing
group’s tax of 10% of NTFP sales6 (US$)
2002
2003
2004
2005
2006
$1,505
$1,379
$1,757
$1,660
Fund balance is $2,533 (April 2006)
An explanation of poverty changes at Ban
Nampheng starts with the recognition that two of the key
characteristics of being poor in this area are insufficient
labor and insufficient rice. The rice problem was solved
rapidly through the rice bank and through private rice
purchases made possible by the increased incomes from
NTFP sales.
In 2002, respondents reported that the main factor
in graduating from the poorest to the middle wealth class
was the increased availability of labor to poor households (Morris et al 2004). This increase can be explained
in part by improvements in human health arising from
the combination of a health promotion program run by
the Red Cross, and increased household expenditure
on food, health services, and medicines (made possible
by increased NTFP-based incomes).
Perhaps more significant is that following the NTFP
interventions, any increase in labor availability could be
exploited successfully by households by applying the
additional labor to the collection and marketing of NTFPs.
Indeed, the collection and sale of NTFPs equals or
betters the most common economic opportunities in the
locality, such as road construction, heavy agricultural
labor, and fuel wood collection (Morris et al 2004).
In summary, it can be argued that the main reasons
why poverty rates were reduced in Ban Nampheng were
that:
(i)
6
Amounts in kip were converted at the rate of 10,000 kip = US$1.
food security was achieved, mainly through
the NTFP Project’s rice bank, forest land-
.
173
allocation and marketing group interventions
that increased the income from NTFP sales
from which to buy rice;
(ii) available labor increased through improvements
in health-care and nutrition;
(iii) the returns on labor from NTFP collection and
sale were increased significantly; and
(iv) additional labor was applied productively to
the collection and sale of NTFPs.
In addition to its major role in helping to reduce
poverty levels in the village, the NTFP project’s interventions
also provided a basis for further economic development
through:
i)
ii)
the establishment of an NTFP Marketing
Group and NTFP Development Fund that:
a) paid for improvements in formal and
informal education (see Table 21.5); and
b) provided credit in support of private
equipment purchases and investments in
agriculture, trading, transport and animal
husbandry.
the substantial and robust increases in NTFPbased incomes that have allowed for private
investments and livelihood diversification.
It is clear that the NTFP Project’s interventions
have had a significant, positive and long-lasting impact
on Ban Nampheng village. The combination of the NTFPbased interventions and the subsequent and related
activities undertaken by the villagers themselves, have
provided resources, capacity and options for further
development. In this way, NTFP development has provide
households with an “escape ladder” out of poverty. Properly
planned and executed NTFP interventions are highly
appropriate to supporting the sustainable development
of forest-dependent communities because:
(i)
food security can be achieved through NTFPrelated interventions;
(ii) cash income to households from NTFP sales
can be increased and maintained over time,
under collaborative agreements for sustainable forest management;
(iii) benefits can accrue equitably within a village
because the poorest groups can use available
labor to take advantage of the economic
opportunities provided by NTFP development;
174
.
(iv) women can participate readily in NTFP
development due to existing gender roles and
through such participation, they can address
specific issues concerning women and
become more politically organized;
(v) households can graduate into higher wealth
classes and hold the gains based on both
commercial and subsistence oriented NTFP
activities; and
(vi) new economic activities can be funded by
private and common funds generated by
enhanced NTFP sales.
21.5 Opportunities for the CEP-BCI
In the case of Lao PDR there is now more than a
decade of experience with NTFP-based interventions,
mostly in the context of protected areas and their
surrounding forests, creating a wealth of experience
about:
(i)
how to identify, qualify and quantify the role
of NTFP use in local livelihoods;
(ii) how to facilitate group processes for sustainable
and profitable NTFP production and marketing;
(iii) how to domesticate wild NTFPs; and
(iv) how to develop forest management rules and
regulations for forest conservation, focused
on NTFPs.
In addition, there are more than 60 organizations
with interests in NTFPs forming the basis of a network
for further development and expansion of successful
techniques (FRC/NAFRI and SNV 2004). There are a
number of places around the country, such as Ban
Nampheng, that can act as demonstration sites for
supporting local replication.
Already, villages such as Ban Nampheng have
become well known in the country and receive many
exchange visits sponsored by Government and NonGovernment organizations, development projects and
private individuals, to see and learn about the sustainable development that has occurred there.
For these reasons, the CEP-BCI should:
(i)
be fully aware of the important role of NTFPs
in rural livelihoods for forest dependent peoples;
(ii)
recognize the significant opportunities for
achieving both conservation and poverty
reduction objectives by supporting the
sustainable development of NTFPs in Lao
PDR such as demonstrated by the IUCN/
NAFRI NTFP Project; and
(iii) develop and support integrated efforts to
achieve food security, increase cash income,
and conserve forests through NTFP-related
interventions.
While taking up these opportunities, the CEP-BCI
should be aware that more work is required to study and
document the impact of NTFP interventions on forest
biodiversity, and on power and equity within and between
households and villages.
References
Broekhoven, G. (2002). Sustainable Management Of NTFPs
In Lao PDR: A Discussion Paper for the Forestry Strategy to
the Year 2020 for Lao PDR. Consultant report to Sida and FAO,
Vientiane, Lao PDR.
Clendon K. (2001). The Role of Forest Food Resources in
Village Livelihood Systems: A study of three Villages in Salavan
Province, Lao PDR. IUCN, Vientiane, Lao PDR.
Dauvergne, P. (2001). Loggers and Degradation in the AsiaPacific: Corporations and Environmental management. Cambridge University Press.
Emerton, L. (2005). Making The Economic Links Between
Biodiversity And Poverty Reduction: The Case Of Lao PDR.
IUCN: The World Conservation Union, Ecosystems and Livelihoods Group, Colombo Sri Lanka.
ICEM (2003). Regional Report On Protected Areas And
Development: Review Of Protected Areas And Development
In The Lower Mekong River Region. ICEM, Indooroopilly,
Queensland, Australia.
Ingles, A. and Karki, S. (2001). Project Completion Report.
NAFRI/IUCN NTFP Project. Vientiane, Lao PDR.
Ingles, A., Saypaseuth, T., Foppes J., Baker, J., Khetphanh,
S., Bounsou S., and Sengkeo K. (1999). A Rapid survey of the
use and Government regulation of non-timber forest products
(NTFPs) from the Nakai-Nam Theun National Biodiversity
Conservation Area (NNT NBCA), Central Lao PDR. IUCN
Vientiane, Lao PDR.
Lamb, D. and Gilmour, D. (2002). Forest Conservation In The
Lower Mekong Basin. Paper prepared for the 2nd regional
workshop for the Review Of Protected Areas And Development
In The Lower Mekong River Region, ICEM, Indooroopilly,
Queensland, Australia.
Morris, J., Hicks, E., Ingles, A. and Ketphanh S. (2004). Linking
poverty reduction with forest conservation: case studies from
Lao PDR. IUCN, Bangkok, Thailand.
Nooren, H. and Claridge, G. (2001). Wildlife Trade in Laos: the
End of the Game, The Netherlands. Netherlands Committee
for IUCN.
World Bank, SIDA, Government of Finland (2001). Lao PDR
production forestry policy – status and issues for dialogue –
Vol 1: main report & Vol 2: annexes. World Bank, Government
of Lao PDR, SIDA, FINNIDA, Vientiane Lao PDR.
World Food Programme (2004). Lao PDR: Analysis of Forest
Dwelling Populations and Vulnerability to Food Insecurity at
the Village Level. UN World Food Programme: Vulnerability
Analysis and Mapping Unit, Vientiane Lao PDR.
Foppes, J., and Kethpanh, S. (2000a). Forest extraction or cultivation? Local solutions from Lao PDR, Paper presented
at the workshop on the evolution and sustainability of
“intermediate systems” of forest management. FOREASIA,
Lofoten Norway.
Foppes J. and Ketphanh S. (2000b). No more timber, more
non-timber – discussion paper. DoF-IUCN.
Foppes J. and Ketphanh S. (2004). NTFP Use and Household
Food Security in Lao PDR. Paper presented to the Symposium on Biodiversity for Food Security, 14 October, 2004. FAO
and National Agriculture and Forestry Research Institute, NAFRI
Vientiane, Lao PDR.
FRC/NAFRI and SNV (2004). Networking on Non-Timber
Forest Products in Lao PDR. Proceedings of a workshop held
in Vientiane 9 July 2004 (NAFRI, Vientiane Lao PDR)
.
175
176
.
PANEL 3:
Climate Change and
.
177
178
.
22. Interrelationship between Climate Change,
Urban Air Quality and Impacts Inside and
Outside Cities: Rationale for Addressing Air
Pollution and GHG Emissions
Cornie Huizenga and May Ajero
Summary
Recently, more information has become available
on the linkages between air pollution and climate change.
These linkages influence local climate patterns in Asia
as well as global climate patterns. The Atmospheric
Brown Cloud has been linked to changes in rainfall
patterns in different parts of Asia, while increased
emissions from Asia have been linked to the melting of
the polar ice caps.
Growing knowledge in this field is of relevance to
policy makers and is expected to facilitate and speed up
policy making on controlling emissions within the Asian
region and to strengthen commitments to enforce
current and future regulations. Although the primary
emphasis of the Clean Air Initiative for Asian Cities
(CAI-Asia) 1 is on urban air quality, it is increasingly
focusing on the impacts of air pollution in areas surrounding
cities. Improved knowledge of these impacts helps to
raise awareness for action and makes it more likely that
action will be taken to address sources of air pollution.
The paper details current structures for air quality
management in the Greater Mekong Subregion (GMS)
and compares these to other parts of the Asian region.
An overview of factors constraining effective policy
making and implementation in the GMS countries will be
given. It will indicate how improved knowledge of
the impact of urban emissions on rural areas can be
integrated in policy making.
rural-to-urban migration. Coupled with this trend is rapid
motorization in Asia especially in cities where economic
activities are concentrated. Some countries’ fleets are
in fact doubling every five to seven years.
Continued urbanization, motorization and energy
use in Asia, especially in the People’s Republic of China
(PRC) and India, will put additional pressure on its
atmospheric environment. Emissions of both greenhouse
gases and air pollutants are increasing; likewise atmospheric concentrations are exhibiting upward trends.
National and local governments in Asian countries have
begun to implement air quality reduction strategies of
varying scope and effectiveness; a number of Asian
countries have submitted their National Communication
(NatCom) to the United Nations Framework Convention
on Climate Change (UNFCCC or Convention).
22.1.1 Air pollution status
An ongoing study2 by the CAI-Asia, summarizing
air quality data from 20 cities in Asia for the period 1993
to 2004 shows that, on average, there has been a
moderate to slight decrease in pollution levels for sulfur
dioxide (SO2), total suspended particulate matter (SPM),
and fine particulates (PM10). Although particulate
matter remains at levels above the limits set by the World
Health Organization (WHO), US Environmental Protection
Agency and the WHO-European Union, SO2 levels are
now, on average, below the guideline values set by the
WHO—proving that air quality management policies and
measures can work in Asia. Ambient concentrations of
NO2 are gradually increasing but are fairly stabilized
around the WHO guideline of 40 µg/m3, despite the
continued increase in motorization especially of two and
three wheelers in the region. This air quality data
collected by CAI-Asia from various government agencies
and other sources has been validated by the appropriate
government agency in each city (Figure 22.1).
22.1 Air quality and its management in Asia and the
GMS
In recent decades, Asian cities experienced rapid
urbanization primarily due to population growth and
1
The Clean Air Initiative for Asian Cities is a multistakeholder initiative which promotes better air quality management in Asian cities. It
undertakes knowledge management, capacity building, networking,
policy development, and strategy formulation.
2
CAI-Asia, in cooperation with the UNEP and WHO supported
project, Air Pollution in the Major and Mega-cities of Asia, is conducting
the 2nd Stage of the Benchmarking Study on Air Quality Management
Capability of selected Asian cities. Cities included in the study:
Bangkok, Beijing, Busan, Colombo, Dhaka, Delhi, Hanoi, Ho Chi
Minh, Hong Kong, China, Jakarta, Kathmandu, Kolkata, Mumbai,
Manila, Seoul, Shanghai, Singapore, Surabaya, Taipei, China, and
Tokyo.
Interrelationship between Climate Change, Urban Air Quality and Impacts Inside and
Outside Cities: Rationale for Addressing Air Pollution and GHG Emissions
.
179
Figure 22.1: Trends of Major Criteria Air Pollutants (1993-2004)
300
concentrations
in µg/m3
250
TSP limit:
WHO (1979): 60-90 µg/m3
TSP
PM10 limit:
WHO (2005): 20 µg/m3
USEPA (1997): 50 µg/m3
EU: 40 µg/m3
200
SO2 limit:
WHO (2000): 50 µg/m3
USEPA (1997): 80 µg/m3
EU: 20 µg/m3
150
NO2 limit:
WHO (2000): 40 µg/m3
USEPA (1997): 100 µg/m3 100
EU: 40 µg/m3
PM10
N O2
50
S O2
0
1993
1994
1996
1995
1998
1997
TSP
Ozone is an emerging pollutant of concern for Asia
and is increasingly being monitored in major cities in Asia;
but in most cases, it is still not monitored by secondary
or smaller cities. When monitored, reporting of ozone
results are not made as frequent as other pollutants, e.g.,
PM10. Ambient standards and averaging times for ozone
are highly variable from one city/country to another.
Monitoring of air quality in Asia is concentrated mostly in
the urban areas, often only limited to major cities and
capitals. Air quality monitoring in secondary cities and
rural areas are rarely conducted.
The Greater Mekong Subregion (GMS), covering
areas from 6 countries: Cambodia, Laos, Myanmar, PRC,
Thailand, and Viet Nam, is no exception to this limitation
on availability of air quality information. Except for Thailand and the PRC, and very few cities in Viet Nam, little
is known about air quality monitoring activities in Lao
PDR, Cambodia, and Myanmar.
As with the general pollution trend in Asia (Figure
22.2), Ambient TSP results in cities of GMS countries
(Bangkok, Beijing, Hanoi, Ho Chi Minh and Shanghai)
180
.
1999
PM10
2000
SO2
2001
2002
2003
2004
NO2
also exhibited a decreasing tendency yet exceed the
WHO guidelines. PM10, on the other hand, is showing
the tendency to increase in the coming years for most of
the cities and will continue to exceed WHO guidelines.
NO2 is increasing in Bangkok, Hanoi, HCMC and Shanghai,
with Shanghai and Bangkok already exceeding WHO
NO 2 guidelines. SO 2 tendencies in the cities are
variable. SO2 is increasing for Hanoi and Shanghai but
decreasing for Ho Chi Minh and Beijing.
Although regulatory monitoring of criteria air
pollutants like PM10, TSP, SO2, NO 2, etc. are not
routinely undertaken in some areas of the GMS, the
subregion is actively involved in the monitoring of acid
rain. The Acid Deposition Monitoring Network in East
Asia (EANET) program has about 25% of its monitoring
sites in the GMS (Figure 22.3 – GMS region in red box).
These stations measure parameters such as air concentrations of SO2, NOx, O3 and particulates as well as
rainfall activity, rain and soil pH and changes in tree cover
to evaluate occurrence of acid deposition and its impact
on soil, vegetation, and inland aquatic environment.
Figure 22.2: Trends of major air pollutants in GMS Countries 1997- 2004
PM10 trends in GMS countries, 1997 to 2004
Ambient PM10 concentrations, µg/m3
200
180
Bangkok
160
Beijing
140
Hanoi
Ho Chi Minh
120
Shanghai
100
80
60
WHO (2005)
PM10 limit,
20 µg/m3
40
20
0
1997
1998
1999
2000
2001
2002
2003
2004
SO2 trends in GMS countries, 1997 to 2004
140
Bangkok
Beijing
Hanoi
Ho Chi Minh
Shanghai
WHO SO2 limit
120
Ambient SO2 concentrations, µg/m3
100
80
60
40
20
0
1997
1998
1999
2000
2001
2002
2003
2004
2003
2004
NO2 trends in GMS countries, 1997 to 2004
80
Ambient NO2 concentrations, µg/m3
70
60
50
40
30
Bangkok
Hanoi
Ho Chi Minh
Shanghai
WHO NO2 limit
20
10
0
1997
1998
1999
2000
2001
2002
.
181
AQM capability range from “minimal” to “limited” and will
be characterized by the lack of routine air quality
monitoring, growing concern on air pollution, and ad hoc
AQM. Viet Nam will be categorized somewhere in the
limited to moderate range because some cities such as
Ho Chi Minh have already advanced air quality management
systems while some cities still do not conduct routine air
quality monitoring. On the other hand, Thailand and PRC
have more advanced AQM capacities than rest of GMS
countries (Table 22.2). The generally low AQM capabilities
of GMS countries may indicate a generally low concern
for air pollution as national priority.
Figure 22.3: Location of EANET sites in 2004
22.1.3 Climate Change in Asia and the GMS
22.1.2 Air quality management (AQM)
The levels of air quality management and the
strategies being implemented to address air pollution are
widely diverse in Asia. To understand how Asian cities
are responding to the urban air pollution problem, a
recent study assessed the current AQM capabilities of
20 Asian cities, according to four AQM capability
indices: (i) capacity to measure and monitor air quality;
(ii) capacity to interpret data and availability of data and
analyses; (iii) capacity to estimate emissions from
sources and (iv) AQ management enabling capacity. The
cities were carefully selected to represent various
economic levels and geographic coverage. Based on
their scores on the different indices, the cities’ final AQM
capability bands (Table 22.1) indicated that cities with
high levels of economic development tend to have welldeveloped AQM systems. Cities from GMS countries
exhibited varying AQM capabilities. Bangkok and Shanghai
were categorized as having “excellent” AQM with Beijing
coming in third under the “good” category. Hanoi (Limited
AQM) and Ho Chi Minh (Moderate), both of which are
cities in Viet Nam, fell under different levels, suggesting
that AQM systems in Viet Nam are dependent on local
government capacity.
All parties (Annex I and non-Annex I) to the
Convention are required to submit their National
Communications to the Convention (NatCom), except
for least developed countries, which may do so at their
discretion. All six countries of the GMS region are
parties to the UNFCCC and are classified as NonAnnex I countries—with Cambodia, Myanmar and Laos
further classified under Least Developed Country (LDC)
Category 3 . All the six countries, except for Myanmar
have submitted their First NatComs allowing them to
report their greenhouse gas emissions inventory as well
as enumerate capacity, status and assessments on climate
change mitigation, adaptation, and vulnerability, etc.
The greenhouse gas emissions inventory that is
contained in the NatCom provides the basis of information as to how much greenhouse gas each country is
contributing to the atmosphere. The inventories from
non-Annex 1 parties, however, are often accompanied
by disclaimers that the activity data on which they were
based were not necessarily of good quality. In addition,
the emission factors for the inventory in most of the Asian
NatComs only use Intergovernmental Panel on Climate
Change (IPCC) default values.
According to the greenhouse gas (GHG) inventories
(base year 1994) submitted by the GMS countries, Thailand,
PRC, and Viet Nam are considered net emitters of GHGs
3
Estimating the AQM capabilities of GMS on a country
level would indicate that three of the GMS countries
(Laos, Cambodia and Myanmar) will have an estimated
182
.
LDCs are given special consideration under the Convention on
account of their limited capacity to respond to climate change and adapt
to its adverse effects. Parties are urged to take full account of the special
situation of LDCs when considering funding and technology-transfer
activities.
Table 22.1: AQM capability of 20 Asian cities
AQM Capability
AQM Capability
Scoring
Excellent I
91-100
Excellent II
81-90
Bangkok, Seoul, Shanghai
Good I
71-80
Beijing, Busan
Good II
61-70
New Delhi
Moderate I
51-60
Ho Chi Minh, Jakarta,
Kolkata, Manila, Mumbai
Moderate II
41-50
Colombo
Limited I
31-40
Hanoi, Surabaya
Limited II
21-30
Dhaka, Kathmandu
Minimal
Level of Economic Development/
Trends of Air Pollution
Cities
Hong Kong, Singapore,
Taipei, Tokyo
0-20
• High technology applied
• Low air pollution
• Maturing of cleaner processes, use of cleaner fuels and
mature emission controls
• Further improvement of air quality
-
• Cleaner processes developed. Systematic AQM procedures
developed
• Air pollution decreasing from high levels
• Urbanisation, industrialisation and mobilisation continued.
Initial systematic AQM procedures applied
• High but stabilising levels of air pollution. Serious health
and environmental impacts
• Increased urbanisation, mobilization and industrialisation.
Only ad hoc AQM
• Deterioration of air quality through rising levels of air
pollution
Table 22.2: Estimated AQM capability range of GMS countries
Country
Estimated AQM capability
Description of Air Quality Status and AQM
Cambodia
Minimal to Limited
Air pollution is a growing concern. Air quality monitoring is not
institutionalized and AQM is ad hoc.
Laos
Minimal to Limited
Air pollution is a growing concern. Air quality monitoring is not
institutionalized and AQM is ad hoc.
Myanmar
Minimal to Limited
No information on air quality data.
No specific national legislation governing air pollution.
PRC
Moderate to Excellent
Pollutant concentrations are highly variable for the different cities and
provinces which may range from low air pollution to very poor air
quality. Air quality is consistently monitored and data in air pollution
index available.
Thailand
Good to Excellent
Air quality is being monitored consistently with data readily available. Air
quality management capability is generally good.
Viet Nam
Limited to Moderate
Air quality monitoring system is most advanced in HCMC but relatively
ad hoc in other areas.
.
183
while Cambodia and Laos are net sequesters of GHGs.
These two GMS countries also reported industry GHG
contributions as zero primarily because their industry is
largely dominated by agriculture4 .
climate by absorbing sunlight, heating the air and thereby
altering large-scale atmospheric circulation and hydrologic
cycle. In addition, soot can also block the sun’s energy
from the ground and reduce crop yields.
22.2 The linkages between climate change, air
pollution and crop yields
NASA research on the Arctic atmosphere7 indicated
that the warming of the Arctic and the diminishing of the
sea-ice cover and glaciers have been attributed to changing
weather and effects of pollution. Black carbon (soot)
has again been implicated in playing a role in the melting
of ice and snow. When the dark soot falls on the ice surface,
it increases the albedo, reduces its capability to reflect
back radiation thereby causing increase in temperature
and melting of the ice. About one-third of this soot comes
from South Asia, one-third from burning biomass or
vegetation around the world, and the remainder from
Russia, Europe and North America.
22.2.1 Air pollution and climate change
The linkage between climate change and urban
air quality problems, especially the science, is still an
evolving field. In 2001, the IPCC Working Group I in its
Third Assessment Report5 recognized that air pollutants
such as dust, tropospheric ozone, black Carbon,
sulphates and other aerosols have an impact on the
radiative forcing of climate but that the level of scientific
understanding of the processes that surround these are
still ranging from “low” to “very low” (“medium” for tropospheric ozone). Greenhouse gases such as CO2, CH4
and N2O, on the other hand, are given a category of high
under the level of scientific understanding.
The scientific linkage between air quality and
climate change can be explained by the characteristic of
particulate matter (or aerosol) to scatter as well as
absorb infrared radiation. Depending on the size, vertical
position and concentration, particulate matter may cause
positive (warming effect) or negative (cooling effect)
radiative forcing on the climate. Smaller particles have
higher radiative forcing than bigger particles because they
scatter and absorb infrared radiation more efficiently. The
net effect of air particulates on the climate may not be as
great as the greenhouse gases, but it has the potential
to become more and more significant as the load of
pollutants in the atmosphere is expected to continually
increase.
A NASA study6 revealed that large amounts of
black carbon (soot) particles and other pollutants are
causing changes in temperature and precipitation patterns
over the PRC. The black carbon can affect regional
Studying this linkage further is attracting more
attention from the IPCC and the rest of the scientific
community. The upcoming IPCC Fourth Assessment
Report of Working Group 1: The Physical Science Basis
(to be completed in 2007) proposes a section (Chapter
7) to discuss “Air Quality and Climate Change.” Furthermore, another IPCC Expert Meeting 8 conducted a
preliminary assessment of issues that relate to aerosol
emissions. A lot of uncertainties on the effect of aerosols
on climate (whether direct/indirect forcing) were discussed.
The current limited understanding of the relationships
also results from the numerous data gaps in the emissions
data for aerosols, and it was recommended that further
meetings be held on this issue. These meetings may
suggest, then, that air pollution problem may be expected
to have a more substantial impact on climate and will
require more in-depth attention.
22.2.2 Air pollution and crop yields
Environmental impacts of urban air pollution extend
well beyond the cities where air pollution originates.
Ozone, which is a secondary pollutant formed from NOx
and HC in warm weather conditions, can usually be found
4
GHG emissions from industry entail GHGs during chemical processes of cement, iron and steel manufacture, etc. Fuels used to power
industries are reported under the Energy sector of the GHG inventory.
5
IPCC, 2001. The Third Assessment Report. The Scientific Basis.
6
Goddard Space Flight Center, 2002 - Goddard Space Flight Center
Top Story. http://www.gsfc.nasa.gov/topstory/20020822blackcarbon.html.
184
.
7
NASA, 2005. Black and White: Soot on Ice. http://www.nasa.gov/
vision/earth/environment/arctic_soot.html.
8
IPCC Expert Meeting on Emission Estimation of Aerosols Relevant
to Climate Change convened by the Task Force on National Greenhouse Gas Inventories last 2-4 May, in Geneva.
in high concentrations 50 to 70 kilometers downwind from
the cities where the NOx and the HC originated.
The harmful effects of surface ozone on agricultural crops and other plants have been well documented
for the United States and Europe, and some studies have
also confirmed the same impacts in the PRC. A sophisticated atmospheric chemistry model called MOZART-2,
which simulated ozone concentrations for 1990 and 2020
over Asia, revealed that ozone concentrations were
responsible for 1 to 9% loss in wheat, rice and corn and
23-27% yield loss in soybeans for PRC, Japan, and the
Republic of Korea. Assuming that there is no change in
agricultural production practices, projections of ozone
concentrations for 2020 will cause an expected 2-16%
yield loss in wheat, rice and corn and 28-35% yield loss
in soybeans (Wang and Mauzerall 2004).
Another study estimated that reductions in 1990
crop yields in the PRC were 3% for most crops (except
soybeans). The same study also projected that crop
losses for soybeans and spring wheat might reach 20%
and 30% by 2020 (Aunan et al 2000). Research also
indicated that the rice strains in the PRC may be more
sensitive to O3 than the rice varieties grown in Pakistan,
Japan and the US (Zheng et al 1998).
SO2 and NO2, emitted from urban activities, are
precursors of acid rain which also affect crop growth in
surrounding area of city sources. Emissions of acid air
pollutants (SO2, NO2) are expected to increase as the
industrialization of the region continues and energy shortages remain. Under IPCC scenario A1B9 , 2030 emissions of sulphur dioxide and nitrogen dioxide in India are
expected to increase by 400% and 500%, respectively,
and for the PRC by 33% and 100%, respectively (Unger
et al 2006). With the growing emissions of acid gases,
the importance acid rain and its impacts on biodiversity
will grow. The Chinese EPA estimates that economic
losses due to damage caused by acid rain to forests and
farmlands increased five times from 1996 to 2000 and
losses were estimated to be US$13.25 billion in 2000
(Shah et al 2000)10 .
Although there has been some study on crop
losses, there is little attention given to the ecological
damage or social consequences of the growing negative impacts of air pollution on vegetation in the GMS
(Emberson, Ashmore and Murray 2003). With projected
increase in their intensities, impacts of other regional air
pollutants, including acid deposition and the atmospheric
brown cloud would increasingly be important in the GMS
within the next decade or two. GMS countries are largely
dependent on agriculture to support local livelihoods
and economic development. Crop yield reductions
will have major social, economic and environmental
consequences.
22.3 Rationale for tackling air pollution and GHG
emissions in the GMS
Aside from the science that proves the direct
connection between the air pollution and climate change
problem, there are more reasons that support the rationale
for tackling air pollution and GHG emissions in an
integrated manner.
The Third Assessment Report (TAR) of the IPCC
indicates that the effectiveness of climate change
mitigation policies can be enhanced when integrated with
the non-climate objectives of national and sectoral policy
development, more so when integrated into strategies
to achieve long-term social and technological changes
for a sustainable development11 . This stems from the
fact that some climate policies may actually yield extensive
benefits (non-climate) among which would be reduction
of air pollution and associated health benefits. Sustainable
development is one of the high priorities of all countries
as well as an important agenda for development agencies,
an integrated approach will imply a possibility of
“win-win” strategy to achieve climate change abatement
and sustainable development.
Greenhouse gases and air pollutant emissions are
often strongly correlated in Asia because they have
common drivers—urbanization, population growth, energy
consumption and mobilization.
9
Scenario of rapid economic growth with balance between fossil fuel
energy and renewable energy.
10
Shah J. et al, 2000. Integrated analysis for acid rain in Asia. Policy
implications and results of RAINS-Asia model. Annual Review of Energy and Environment, 25, 339-375.
11
UNFCCC, 2003. Subsidiary Body for Scientific and Technological
Advice - Eighteenth session Bonn, 4–13 June 2003 - http://unfccc.int/
resource/docs/2003/sbsta/misc02.pdf.
.
185
Other reasons include:
(ii)
(i)
both GHG and air pollutant concentrations
in the atmosphere are exhibiting increasing
trends;
(ii) both have impacts on human health, environmental (agricultural) and economic impacts;
(iii) there is a scarcity of resources and capacity
to work on air quality management. The same
scarcity is true for climate change;
(iv) emissions inventory is key to both problems.
Integrated development of emissions factor,
collection of activity data and inventory
training can reduce cost of capacity building;
and
(v) expansion of AQ management activities
(quantity and quality) will require substantive
funding. Likewise, expansion of climate
change mitigation activities will require
substantive funding.
Furthermore, both the air quality community and
climate change community find difficulty in capturing the
interest of decision-makers and an integrated approach
allows these two communities to work together in
communicating with policy makers and other
stakeholders.
22.4 Proposed pilot project under the GMS CEP
A pilot project on “Strengthening capacities to
adapt to the effects of climate change and regional air
pollution on crops, forests and water availability” is
being proposed by CAI-Asia, Murdoch University and the
Stockholm Environment Institute to the GMS Core
Environment Program (CEP) and the Biodiversity
Conservation Corridors Initiative (BCI), known as the
“CEP-BCI”, being implemented by the Asian Develoment
Bank. The proposed project aims to build capacities and
the knowledge base in the GMS to adapt to the effects
of climate change and regional air pollution on the
communities and economies in the region, based on
world-class knowledge. Specifically the project will:
(i)
186
generate new knowledge on the current and
future impacts of climate change and air
pollution on crops and ecosystems of the
GMS;
.
provide institutional strengthening in the GMS
on the techniques involved in conducting
assessments and measurements of acid rain
and ozone, regional scenarios, impacts, and
policy responses to climate change, ozone and
acidification using locally relevant information
and priorities to develop scenarios based on
national policy objectives;
(iii) facilitate monitoring at pilot sites and modelling
by institutions in the region for future integrated
assessments;
(iv) strengthen the knowledge and evaluation
skills in sectoral policy areas, including water
management, disaster mitigation, agriculture,
power generation, transport, urban planning,
and national economic development; and
(v) raise awareness, communication and
networking among decision-makers about
the associated policy issues.
The results of the evaluations of impacts of climate
change and regional air pollution on important crops,
forests, water resources and water availability will feed
into assessments of social and economic impacts and
vulnerability, and contribute to meeting the aims of the
GMS CEP-BCI.
22.5 Conclusions
Although the main impacts of urban air pollution
are felt strongly within city boundaries, the impacts of air
pollution to the surrounding areas of the cities are also
increasing in relevance. Increased knowledge on
current and future impacts of air pollution on crops and
ecosystems helps to raise awareness for action and
makes it more likely that action will be undertaken to
address sources of air pollution. Policy makers will find
this growing knowledge base increasingly relevant; it is
expected to facilitate and speed up policy making on
controlling emissions within the Asian region and to
strengthen commitments to enforce current and future
regulations.
References
Aunan, K., Berntsen, T.K., and H.M. Seip. (2000). Surface ozone
in China and its possible impact on agricultural crop yields.
Ambio. 29(6): 294–301.
23. Air Pollution and Ecosystem: Assessment
of Effects of Ground Level Ozone on
Agricultural Crops in Asia
CAI-Asia, (2006). Air Quality in Asian Cities. http://
www.cleanairnet.org/caiasia/1412/articles-59689_AIR.pdf
Nguyen Thi Kim Oanh, Dinh Thi Hai Van,
and Le Hoang Nghiem
Eanet. (2006). http://www.eanet.cc
Emberson L, Ashmore M, and F. Murray (Eds). (2003). Air
Imperial College Press, London.
Goddard Space Flight Center. (2002). Goddard Space Flight
Center Top Story. http://www.gsfc.nasa.gov/topstory/
20020822blackcarbon.html
IPCC. (2001a). Climate change 2001: The scientific basis.
Intergovernmental Panel on Climate Change. UNEP, Nairobi
and WMO, Geneva.
NASA. (2005). Black and White: Soot on Ice. http://
www.nasa.gov/vision/earth/environment/arctic_soot.html
Schwela, D., Haq, G., Huizenga, C, Han, W., Fabian, H., and
M. Ajero. Urban Air Pollution in Asian cities: Status, Challenges
and Management. Earthscan, UK. (For publication).
Shah J. et al (2000). Integrated analysis for acid rain in Asia.
Policy implications and results of RAINS-Asia model. Annual
Review of Energy and Environment. 25: 339-375.
Unger N. et al (2006). Cross influences of ozone and sulfate
precursor emissions changes on air quality and climate.
PNAS.103: 4377-4380.
UNFCCC. (2003). Subsidiary Body for Scientific and
Technological Advice - Eighteenth session Bonn, 4–13 June
2003. - http://unfccc.int/resource/docs/2003/sbsta/misc02.pdf
Wang, Xiaoping and Denise L. Mauzerall. (2004). Characterizing
distributions of surface ozone and its impact on grain
production in China, Japan and South Korea: 1990 and 2020.
Atmospheric Environment. 38: 4383 – 4402. Available from this
link: http://www.wws.princeton.edu/mauzerall/papers/
Wang.Mauzerall.Atmospheric.Environment.pdf
Zheng, Y., Stevenson, K.J., Barrowcliffe, R., Chen, S., Wang,
H., Barnes, J.D. (1998). Ozone levels in Chongqing: a potential
threat to crop plants commonly grown in the region? Environ
Pollut. 99(3): 299-308.
Summary
A study on the effects of ozone on crops is being
conducted using both experimental and modeling
approaches at the Asian Institute of Technology (AIT). The
study examined the effects of ozone on two selected
agricultural crops, rice and peanuts, using open-top chambers (OTCs). Different ozone levels were introduced into
the chambers and the effects of ozone were observed.
These include visible injury, growth and yield related
parameters, as well as the reduction in biomass and yields
of both crops. The modeling work involves prediction of
ozone for the continent Southeast Asia using the CMAQMM5 modeling system, which is ongoing. Ozone levels are
being calculated for the entire typical rice growing season
in Southeast Asia. The AOT40 is calculated to determine
the potential effects of ozone on rice crop in the region.
23.1 Introduction
Ground-level ozone, a secondary pollutant formed
in photochemical reactions between hydrocarbons and
nitrogen oxides under sunlight, has become a major
environmental issue in many metropolitan regions. The
emission of ozone precursors from industrial activities,
energy production and traffic is rapidly increasing in many
regions of Asia. Ground level ozone could affect human
health, properties, forestry and agricultural production.
The phytotoxicity of ozone to agricultural production
and crop cultivation is relatively well documented. In
USA, ozone in combination with sulfur dioxide and nitrogen
dioxide was found to be responsible for up to 90% of the
crop losses due to air pollution. The estimated crop loss
in China due to the predicted excess ozone levels in 2002
would be 3.7-4.5% for rice, and 20.9% for soybean.
Examples of ozone effects on various crops reported in
different countries are presented in Table 23.1. The AIT
study on effects of ozone on crops used both experimental and modeling approaches.
Air Pollution and Ecosystem: Assessment of Effects of
Ground Level Ozone on Agricultural Crops in Asia
.
187
Table 23.1: Yield loss in different crop plants due to ground O3
Crop
O3, µg/m3
Wheat
Rice
Soybean
Radish
Turnip
Bean
Tomato
Soybean
% Yield reduction
40
40-60
64
30
17
40
24
16-31
86
143
80-150
55-67
55-67
686
88-90
46-65
Country
Reference
Pakistan
Pakistan
Pakistan
Egypt
Egypt
Mexico
India
India
Wahid et al 1995a
Wahid et al 1995b
Wahid et al 2001
Hassan et al 1995
Hassan et al 1995
Laguette-Rey et al 1986
Varshney and Rout 1998
Varshney and Rout 2003
Source: adapted from Varshney (2003), presented at RAPIDC workshop, AIT, Bangkok.
23.2 Experimental study
The experimental study examining the effects of
ozone on two selected agricultural crops, rice and peanuts,
using open-top chambers (OTCs) was conducted in
Hanoi, Viet Nam. The rice (Oryza sativa L.) and peanut
(Arachis hypogaea L.) species were exposed to ozone
during the flowering stage. The species were grown in
typical fertilization conditions of normal farming. Five
ozone treatments were employed: non-filtered air
(ambient condition) as the control OTC; and non-filtered
air with introduced ozone mixing ratios of 32 ppb, 62
ppb, 85 ppb and 113 ppb. The species were exposed to
ozone seven hours per day for 25 days for rice and 29
days for peanut.
Figure 23.1: Rice grain and straw yield in different ozone
treatments
Visible injuries, growth and yield related parameters,
as well as the protein and starch content of rice grain,
and oil content of peanut, were determined. Ozone
exposure caused reductions in the biomass and yields
of both crops. Exposure of the rice species to the highest
ozone concentration (113 ppb), which corresponds to
accumulated exposure over a threshold ozone concentration of 40 ppb (AOT40) of 12,800 ppb.h, resulted in
the highest reduction rate of grain (48%) and straw yields
(39.5%) as compared to the ambient air. For the peanut,
the yield loss was also the highest in treatment 5 (AOT40
of 14,800 ppb.h) with a reduction in the seed yield of
49% and, in the above-ground biomass, of 23%.
Figure 23.2: Peanut seed and straw yield (kg/ha) vs. ozone
concentrations
10,000
6,000
Grain yield
9,000
Straw yield
5,000
y = -29.614x + 8069.6
R2 = 0.8333
7,000
Yield (kg/ha)
Yield (kg/ha)
8,000
6,000
5,000
4,000
y = -22.412x + 5471.1
R2 = 0.9558
3,000
Seed yield
Straw yield
2,000
4,000
y = -10.404x + 5109.1
R2 = 0.9748
3,000
2,000
y = -11.862x + 2746.9
R2 = 0.8905
1,000
1,000
0
0
0
20
40
60
80
100
0
20
40
60
80
Ozone concentrations (ppb)
Ozone concentrations (ppb)
188
120
.
100
120
23.3 Modeling study
The modeling work involves prediction of ozone
for the Southeast Asia Continent using the CMAQ-MM5
modeling system. An example of calculated ozone
levels at a particular time over the modeling region is
shown in Figure 23.3.
Figure 23.3: Ground level ozone concentration over
Continental Southeast Asia produced by CMAQ-MM5,
15:00 BKK time, March 26, 2004
CONTOUR MAP OF OZONE OVER CSEA DOMAIN - 15:00 LST MARCH 26, 2004
seed and biomass) and ozone in the experimental range
are approximately linear. The yield of rice grain and
peanut seed was reduced around 4.5% per every 10 ppb
increase in exposed ozone levels. The biomass yield
loss was smaller, 3.7% and 2.1%, respectively. The
modeling results show high levels of ozone over
Continental Southeast Asia have a high potential to
adversely affect the agricultural crops in the region.
References
Dinh Thi Hai Van (2005). Assessment of ozone effects on crops
in Asia: case study with the selected crops in the Northern
Vietnam. AIT thesis, EV-05-8.
Kobayashi, K., Okada, M. 1995. Effects of ozone on the light
use of rice (Oryzasativa L.) plants. Agriculture, Ecosystems
and Environment. 53: 1-12.
Wahid, A., Maggs, R., Shamsi, S.R.A., Bell, J.N.B., Ashmore,
M.R., 1995. Effects of air pollution on Rice yield in the Pakistan
Punjab. Environmental Pollution. 90(3): 323–329.
The ozone prediction, an on-going study, is being
done for a typical rice growth season in Southeast Asia.
The AOT40 will be calculated and the potential effects of
ozone in the region will be determined based on the
region land use map. The experimental data on doseeffect of ozone on rice as well as the literature reported
data will be used for the effect assessment.
23.4 Conclusions
The experimental study shows that ozone can
have adverse effects on tested rice and peanut species
at a level much lower than normal ambient levels in the
suburbs of highly urbanized areas of Asia. The effects
on growth variables such as plant height, leaf areas,
total area of brown spots on the leaf, and dry weight
exaggerate with the exposure time and with the ozone
concentrations. The relationship between yields (grain,
Air Pollution and Ecosystem: Assessment of Effects of
Ground Level Ozone on Agricultural Crops in Asia
.
189
24. Climate Change and Consequent Impacts in
the Mekong River Basin
Hans Guttman
Summary
The Mekong River Basin (MRB) is dominated by
the seasonal monsoonal weather regime. It has shaped
current ecological characteristics and it is an important
factor in determining the biological diversity of the region.
Global climate change will impact on the timing
and magnitude of the monsoon, which in turn will affect
the upper watersheds, the river and its floodplains. In
order to assess the type and magnitude of such change
and the impact on the water regime, global climate
change model results for the MRB were downscaled and
analyzed in terms of impact on water resources. The
study investigated the climate change predictions for the
MRB for 2010-2039 and 2070-2099 based on scenarios
provided by the Intergovernmental Panel on Climate
Change (IPCC) using HADCM3 developed by the Hadley
Centre for Climate Prediction and Research (IPCC 2003).
The results indicated that the mean temperature
in the whole MRB will increase from the current 24.3oC
to 25.3oC during 2010-2039, rising to between 27.2 to
28.3o C by 2099. In addition the variation in temperature
(as indicated by minimum and maximum temperatures)
will also increase.
The mean precipitation shows an overall increase
however the change in precipitation varies from one
sub-basin to another. Compared with the baseline of
1961-90 the mean precipitation in different sub-basins
varies by about ± 6% during 2010-2039. However, for
the MRB as a whole, mean precipitation only varies by
±0.2% for the same period. By the end of the century
(2070-2099) mean precipitation in different sub-basins
is expected to vary from about –12% to +32% from the
baseline. An increase is expected in 9 sub-basins with
higher percentage compared to a reduction in 4 subbasins. These variations lead to an overall increase
between 9-10% in the basin as a whole.
190
.
In summary, the predictions are that the overall
water balance will not change drastically over the next
30 years, however the timing and distribution of precipitation will change leading to longer dry seasons and
shorter, more intense wet seasons. This will have direct
impact on agriculture and flooding, however it is uncertain if the changes are significant enough to impact the
ecology and composition of upper watersheds. By the
end of the century the temperature will have risen
significantly (by 3-4oC) and precipitation increased by up
to 10%, which in turn will potentially have a significant
impact on the Mekong River water regime and consequent changes in the biophysical environment.
24.1 Introduction
The Mekong (Lancang) River rises in the Himalayas
in western PRC, flows through the mountainous southwest, where the Nu (Salween) river and the Yangtze river
also have their headwaters, through Yunnan province
whereafter it forms the border of northern Laos and
Myanmar, and later Thailand. It plunges into Cambodia
after the Kone falls and joins the Tonle Sap river at Phnom
Penh, forming unique wetlands in the floodplain and
forming a delta which joins the South China Sea by
running through southern Viet Nam.
The population in the MRB is largely rural and the
majority of people are employed in agricultural or related
activities, with rice as a major crop. Rice cultivation and
fisheries form much of the basis for food production in
the lower part of the basin. Thus the majority of people
in the Basin are directly affected by any changes in
water resources.
In general, water resources in the MRB as a whole
are not highly developed. However, there are several
emerging issues regarding water usage in the Basin. The
need for economic development in the region prompts
the development of untapped hydro-power resources,
to further develop food production and irrigation development, both through pumping schemes and water storage
are part of riparian countries agricultural development
strategies. This will alter the water resources and risk
jeopardizing the natural productivity of fisheries and
wetland resources, upon which much of the rural population bases significant parts of their livelihoods. It will be
a delicate act to balance the benefits from water
resources development and reduction in the natural
productivity.
The MRB is dominated by the seasonal monsoonal
weather regime. It has shaped current ecological characteristics and it is one important factor in determining
the biological diversity of the region. As much of the
Mekong River Basin is located in Southeast Asia, the
climate is governed by monsoons - steady winds that
blow alternately from the northeast and the southwest,
each for about half of the year. The southwest monsoon
begins in May and continues until late September, and
brings moisture from the oceans in over the lower Mekong
River Basin resulting in a distinct “rainy season” (Figure
24.1). The northeast monsoon is from November to
March rises over mainland PRC and is drier (and during
late December and January much colder), which results
in a dry cold period followed by a dry hot period until the
onset of the southwest monsoon.
Figure 24.1: Mean rainfall distribution (mm/Month) in
the lower MRB (IMC 1988)
292
24.2 Methodology
IPCC (2001) concluded that the climate has
changed during the 20th century and larger changes are
projected for the 21st century; such change will have
both beneficial and adverse effects on both environmental
and socioeconomic systems, but the larger the change
and the rate of change in climate, the more adverse
effects predominate; adaptation is necessary and its
costs can be reduced by anticipation, analysis and
planning.
Among the predicted main regional impacts of
climate changes in the MRB are (IPCC 1997):
(i)
increased annual floods and droughts, as a
result of the seasonal shifts in monsoon
weather patterns;
(ii) increased number of Tropical Cyclones;
(iii) other extreme events include high-temperature
winds; and
(iv) more extreme impacts from the El NiñoSouthern Oscillation (ENSO) phenomenon,
influencing inter-annual variability of climate.
299
269
300
241
198
165
200
77
100
54
40
8
15
14
0
Jan
Feb
Mar
Apr
May
Jun
Jul
Aug
Sep
Oct
Nov
Dec
In addition cyclonic disturbances may cause widespread rainfall of long duration during July to September, which can cause serious flooding. Finally, as the
Mekong rises in the snow capped mountains of western
PRC, snow melt in early spring causes the river to rise
before the onset of the southwest monsoon.
This paper is based on the results of the ADAPT
project1 as reported on in Hoanh et al (2003) and Hoanh
et al (2004).
Global climate change will impact on the timing
and magnitude of the monsoon, which in turn will affect
the upper watersheds, the river and its floodplains. In
order to assess the type and magnitude of such change
and the impact on the water regime, the ADAPT project
used an approach of downscaling global climate change
model results for the MRB, which were analyzed in terms
of impact on water resources. The study investigated
climate change predictions for the MRB for 2010-2039
and 2070-2099 based on scenarios provided by IPCC
using HADCM3 (IPCC 2003).
The latest scenarios provided by IPCC (2001) are
assembled in the Special Report on Emission Scenarios
(SRES). In simple terms, the four marker SRES
scenarios combine two sets of divergent tendencies: one
set varying between strong economic values and strong
environmental values, the other set between increasing
globalization and increasing regionalization. The
storylines are presented in Annex 24.1.
1
The project was funded by the Dutch government. The six other
basins are the Rhine (Western-Europe), Sacramento (USA), Syr Darya
(Central Asia), Volta (Ghana), Walawe (Sri Lanka) and Zayandeh (Iran).
.
Climate Change and Consequent Impacts in the Mekong River Basin
191
The A2 and B2 scenarios from this set were used
in this study, using climate change projections for 20102039 and 2070-2099 compared with the baseline
scenario of 1961-1990, a 30-year “normal” period as
defined by the World Meteorological Organisation
(WMO), using projections by the Hadley Centre for
Climate Prediction and Research, referred to as
HADCM3. Details of the preparation of the data and
down-scaling are presented in Hoanh et al (2003).
24.3 Temperature
The mean temperature in the MRB will increase
from 24.3oC in 1961-90 to 25.3oC during 2010-2039 in
both scenarios A2 and B2; 28.3oC and 27.2oC during
2070-2099 in A2 and B2 respectively. Trends of changes
in mean temperature from 1961-90 to 2010-39 and 207099 in the MRB under scenarios A2 and B2 are shown in
Figure 24.2. Although the trend of mean temperature in
A2 is higher than B2, variation in B2 is larger.
Figure 24.2: Variations and trend of mean monthly temperature of the MRB under scenarios A2 and B2
Mean temperature
(0c)
(A2)
35
30
25
20
15
1961
1971
1981
1991
2001
2011
2021
2031
2041
2051
2061
2071
2081
2091
2041
2051
2061
2071
2081
2091
Year
35
Mean temperature
(0c)
(B2)
30
25
20
15
1961
1971
1981
1991
2001
2011
2021
2031
Year
Although variations in maximum and minimum
temperatures are slightly different in these two scenarios,
the common trend is an increase of about 5oC from 196190 to the end of 21st century. In many months during
2070-2099, maximum monthly temperature will be over
40oC and minimum temperature will be over 25oC, and
the number of these months is higher in A2 than in B2.
192
.
During 2010-2039 in scenario A2, mean temperature
in every sub-basin will increase about 3.7% to 4%
compared with the baseline 1961-1990. The same
increase is found during 2010-2039 in scenario B2.
During 2070-2099, the increments in mean temperature
in scenario A2 by sub-basin vary from 14.0% (Delta) to
21.8% (Nam Ou) compared with the baseline 1961-1990.
However, in this period, the increments in mean
temperature in scenario B2 are lower, from 10.0% (Delta)
to 15.7% (Nam Ou).
In summary the results indicated that the mean
temperature in the whole MRB will increase from the
current 24.3oC to 25.3oC during 2010-2039, rising to
between 27.2 to 28.3 oC by 2099. In addition the
variation in temperature (as indicated by minimum and
maximum temperatures) will also increase.
24.4 Precipitation
Change of mean precipitation from 1961-90 to
2010-39 and 2070-99 in Mekong River sub-basins
under scenarios A2 and B2 show an overall increase in
all sub-basins, change in precipitation varies from one
sub-basin to another (Figure 24.3).
Compared with the baseline 1961-90, during 201039, mean precipitation in different sub-basins varies from
about -6% to +6% in both scenarios A2 and B2. However,
for the MRB as a whole, mean precipitation during 2010-39
only varies by +0.2% and -0.2% in scenarios A2 and B2.
During 2070-99, mean precipitation in different
sub-basins varies from about –12% to +32% in both
scenarios A2 and B2. The positive variations occur in 9
sub-basins with higher percentage compared to
negative variations in four sub-basins. These variations
lead to an increase of 9.8 and 9.4 % in the MRB as a
whole in scenarios A2 and B2, respectively.
Figure 24.3: Variations and trend of monthly precipitation of the MRB under scenarios A2 and B2
Precipitation
(mm/month)
(A2)
600
500
400
300
200
100
0
1961
1971
1981
1991
2001
2011
2021
2031
2041
2051
2061
2071
2081
2091
2041
2051
2061
2071
2081
2091
Year
Precipitation
(mm/month)
(B2)
600
500
400
300
200
100
0
1961
1971
1981
1991
2001
2011
2021
2031
Year
The mean precipitation shows an overall increase
however the change in precipitation varies from one subbasin to another. Compared with the baseline of 196190 the mean precipitation in different sub-basins varies
by about ± 6% during 2010-2039. However, for the MRB
as a whole, mean precipitation only varies by ±0.2% for
the same period. By the end of the century (2070-2099)
mean precipitation in different sub-basins are expected
to vary from about –12% to +32% from the baseline. An
increase is expected in 9 sub-basins with higher
percentage compared to a reduction in 4 sub-basins.
These variations lead to an overall increase between
9-10 % in the basin as a whole.
Regarding other factors affecting water resources,
there is increase in wind speed (increasing evapotranspiration)
.
193
and a decrease as relative humidity. In all cases, the
amplitude of variation in A2 is higher than in B2.
24.5 Climate and water resources
In order to see the resultant impact of climate
changes described above, the results were put through
a hydrological model (SLURP– Semi-distributed Land
Use-based Runoff Processes) developed by the International Water Management Institute (Kite 2000). The
SLURP Model is outline in Annex 24.2. The resultant
changes in water flows and inundation were assessed.
The results indicate that the impacts on water
resources were as follows. The trend and monthly
variations in stream flow of the sub-basin around Kratie
(in Cambodia) due to climate change are shown in
Figure 24.4. Although the general trend shows only slight
increases, higher extremes are expected in the future.
Maximum monthly flows in some sub-basins increased
in 2010-39 compared with 1961-90 period (e.g. 10-14%
around Kratie). In 2070-99 the increments are even
higher (e.g., 35-41% around Kratie). The monthly average flow is almost unchanged in 2010-39, but increased
in 2070-99 with a lower level than the maximum (17%
around Kratie). On the other hand, minimum monthly
flow will decrease slightly in 2010-39 (e.g. 7-15% the
Delta), but significantly in 2070-99 (26-29% in the Delta).
In this scenario, maximum daily flow also increased
significantly in both Mekong 3 and Delta in 2070-99, about
30% in A2 and 15% in B2.
Figure 24.4: Trend and variation of stream flow in sub-basin Mekong 3 under A2 and B2
Monthly Q - A2 - Mekong 3
Q (m 3/s)
70,000
60,000
50,000
40,000
30,000
20,000
10,000
0
1961
1971
1981
1991
2001
2011
2021
2031
2041
2051
2061
2071
2081
2091
2051
2061
2071
2081
2091
Month
Monthly Q - B2 - Mekong 3
Q (m 3/s)
70,000
60,000
50,000
40,000
30,000
20,000
10,000
0
1961
1971
1981
1991
2001
2011
2021
2031
2041
Month
This would result in more frequent extreme events
(floods and low flows) although there is great change to
the overall annual flow. The main current water issues in
the MRB may be accelerated through climate change
(WUP 2001):
194
.
(i)
Water shortages in Thailand: the level of
irrigation development of the north-east Thailand
region, as well as in neighboring, agriculturally
important Chao Phraya Basin in Thailand has
resulted in a lack of water during the dry season.
(ii)
Salinity intrusion in delta: the extent of the
intrusion of saline water into the Mekong
Delta depends on the magnitude of the dryseason flows from upstream and the level of
abstractions for irrigation.
(iii) Floods: the flood in 2000 was the highest
flood in over 40 years, with significant loss of
life and high damages of crops and infrastructure in Cambodia and Viet Nam.
24.6 Conclusions
In summary the predictions are that the overall
water balance will not change drastically over the next
30 year, however the timing and distribution of precipitation will change leading to longer dry seasons and shorter
more intense wet seasons. This will have a direct
impact on agriculture and flooding, however it is uncertain if the changes are significant enough to impact the
ecology and composition of upper watersheds. By the
end of the century, the temperature will have risen
significantly (by 3-4oC) and precipitation increased by up
to 10%, which in turn potentially will have a significant
impact on the Mekong River water regime and
consequent changes in the biophysical environment.
The main change in water resources is predicted
to be more frequent extreme hydrological events, such
as floods and low flows, which result in significant
impacts on people living in the floodplains.
Hoanh C.T., H. Guttman, P. Droogers and J. Aerts. (2004). Will
We Produce Sufficient Food under Climate Change? Mekong
Basin (South East Asia), Chapter 8 in Aerts J. and P. Droogers
(eds.) Climate Change in Contrasting River basins – Adaptation Strategies for Water, Food and Environment. CABI,
Oxfordshire, 264 p.
IMC. (1988). Perspectives for Mekong Development. Revised
Indicative Plan (1987) for the Development of Land, Water and
Related resources of the Lower Mekong basin. Committee
report, Interim Committee for Coordination of Investigations of
the Lower Mekong Basin, Bangkok.
IPCC. (2001). Climate Change 2001 – Synthesis report. An
assessment of the Intergovernmental Panel on Climate
Change. Watson (ed.) Cambridge University Press, Cambridge.
IPCC 2003 Intergovernmental Panel on Climate Change, Data
Distribution Centre. http://ipcc-ddc.cru.uea.ac.uk/dkrz/
dkrz_index.html
Kite G. (2000). Developing a Hydrological Model for the Mekong
Basin. Impacts of basin development on fisheries productivity.
Working Paper 2. International Water Management Institute
(IWMI), Colombo, Sri Lanka.
WUP. (2001). Review of historic water resources development
and water use. Working Paper No. 2 prepared by Halcrow
Group Ltd. In association with WRCS, Water Studies Pty,
Finnish Environment Institute, EIA Centre of Finland Ltd,
Team Consulting Engineers Co. Ltd, CamConsult Ltd, Laos
Consulting Services and Water Resources University of Hanoi. Mekong River Commission, Phnom Penh.
The Mekong River Commission (MRC) is currently
re-analyzing the impacts of the climate change predictions on the water resources using a more detailed
modeling program (MRC-DSF) to better ascertain the
impact predicted for 2010-2040 and 2070-2100.
References
Carter, T.R., M. Hulme and M. Lal. (1999). Guidelines on the
use of Scenario data for climate impact and adaptation
assessment. Version 1. December 1999. Task Group on
Scenarios for Climate Impact Assessment, Intergovernmental
Panel on Climate Change (IPCC).
Hoanh C.T., H. Guttman, P. Droogers and J. Aerts. (2003).
ADAPT – Water, Climate, Food and Environment under
Climate Change – Mekong Basin in Southeast Asia. Final
Report. International Water Management Institute (IWMI),
Mekong River Commission Secretariat (MRCS), Institute of
Environmental Studies (IVM).
.
195
Annex 24.1: Emission scenarios
population growth, and less concern for rapid economic
development.
Based on Carter et al (1999) the storylines are
briefly described as:
A1: A future world of very rapid economic growth, low
population growth and rapid introduction of new and more
efficient technology. Major underlying themes are
economic and cultural convergence and capacity building,
with a substantial reduction in regional differences in per
capita income. In this world, people pursue personal
wealth rather than environmental quality.
A2: A differentiated world. The underlying theme is
that of strengthening regional cultural identities, with
an emphasis on family values and local traditions, high
B1: A convergent world with rapid change in economic
structures, “dematerialization” and introduction of clean
technologies. The emphasis is on global solutions to
environmental and social sustainability, including
concerted efforts for rapid technology development,
dematerialization of the economy, and improving equity.
B2: A world in which the emphasis is on local
solutions to economic, social, and environmental
sustainability. It is a heterogeneous world with less rapid,
and more diverse technological change but a strong
emphasis on community initiative and social innovation
to find local, rather than global solutions.
Annex 24.2: SLURP model details
Table 24.1: Sub-basins and land covers in the MRB (used for SLURP model)
Land covers as % of sub-basin area
No. Sub-basin
Area
(km2)
1
Mun
60,912
2
Chi
3
Chi-Mun
4
Urban Agriculture
Semidesert
Shrub- Deciduous Evergreen
forest
forest
land
Tundra
Mixed
forest
Water
0.3
0.5
0
0.1
92.2
0
5.1
0.8
1
55,985
0
75.9
0.1
16.2
2.3
1.8
2
1.7
0
4,175
0
71.7
0
13.6
6.4
0.1
0.1
8.1
0
Lancang
225,562
0
2.4
31.2
16
9.4
16.9
22.3
0.3
1.5
5
Nam Ou
30,708
0
0.3
0
1.6
8.1
61
29
0
0
6
Nam Ngum
8,886
0
5.4
0
7.7
20.6
30.1
32.4
3.8
0
7
Mekong 1
156,509
0
17.3
0.1
24.3
15.4
26
15.6
1.3
0
8
Mekong 2
20,558
0
29.7
0
20
17.2
19.7
9.8
3.6
0
9
Sekong
28,601
0
12.1
0.1
16.6
12.3
52.9
5.7
0.3
0
10 Srepok
48,318
0
10.6
0
25.9
10
34.3
18.5
0.7
0
11 Mekong 3
27,701
0
27.1
0.1
26.7
9.1
24.2
9
3.8
0
12 Tonle sap
86,594
0.2
44.7
0
22.6
7.3
13.3
8.2
3.7
0
0.5
78.8
0
10.8
0.8
4.8
0.4
3.9
0
0.1
28.6
8.9
17.7
9.1
19.8
13.9
1.5
0.4
13 Delta
40,492
Total
795,000
196
.
Figure 24.5: Sub-basins and stream network in the SLURP
model for MRB (Kite, 2000)
Figure 24.6: Land use in the Mekong River basin - SLURP
model (Kite, 2000)
Urban
Agriculture
Semi-desert
Lancang
Shrubland
Dec. Forest
Nam Ou
Mixed Forest
Water
Tundra
Con. Forest
Mekong1
Nam Ngum
Mekong2
Chi-Mun
Chi
Se Kong
Mun
Sre Pok
Tonle Sap
Mekong3
Delta
Grid
North
Meters
500,000.00
.
197
25. Addressing Vulnerability to Climate Variability
and Climate Change: An Integrated Modeling
System
Satya Priya, Murthy Bachu,
Annes Hassankunju,
and Sridhar Gummadi
Summary
India’s vulnerability to current climate variability
and climate change is well established. Nearly two-thirds
of India’s population live in rural areas and are highly
dependent on climate-sensitive sectors, such as rain-fed
agriculture, forestry, and fisheries, which are already
vulnerable to current climatic variability, particularly floods
and droughts. The objective of the study is to review the
impacts on water resources and agriculture using the
projected HadRM3, third-generation Hadley center
regional level climate changes for two SRES emission
scenarios (A2 and B2). Water resources assessment was
carried out using Soil and Water Assessment Tool
(SWAT). An impact assessment on groundnut, jowar,
sunflower, and rice were done through the Erosion
Productivity Impact Calculator (EPIC) Model. Study
estimated an increase in runoff in the order of 10–15%
with more extremities in A2 compared to B2. All monsoon
crops show decreased yields under A2, whereas B2
seemed to be relatively better (except rice) than A2. The
decrease in yield for groundnut was found to be significant
but moderate for other rain-fed crops.
25.1 Introduction
Changing climate is expected to increase both
evaporation and precipitation in most areas of the world.
In those areas where evaporation increases more than
precipitation, soil will become drier, reservoir water
levels will drop, and rivers will carry less water. Lower
river flows and lower lake reservoir levels could impair
navigation, hydroelectric power generation, and water
quality, and reduce the supplies of water available for
agricultural, residential, and industrial uses. Some
areas may experience both increased flooding during
monsoon, as well as lower supplies during summer. More
generally, the tendency for rainfall to be more concentrated in large storms, as temperatures rise would tend
198
.
to increase river flooding, without increasing the amount
of water available. For more than a decade now, India
has been facing climatic implications in one or other form
due to global warming and sea level rise which in turn
has resulted into (Shukla et al 2003):
(i) an increase in the severity of droughts and the
intensity of floods in various parts of the country; (ii) a
general reduction in the quantity of available runoff,
particularly in areas that are already experiencing acute
water scarce conditions; (iii) an increased risk of food
insecurity, affecting production on small and marginal
farms; and (iv) a worsening of some of the existing coastal
zone problems, e.g., erosion, flooding, and degradation
of coastal ecosystems.
Therefore, the objective of this particular study is
to assess: “How climate is projected to change at the
regional level and what are the projected impacts on
water resources and agriculture? Which regions and
community groups are most vulnerable to climate
changes in water resources and agriculture sectors, and
which adaptation strategies are needed to cope with the
projected changes?” It is particularly aimed at answering
the question on the subject through development of an
integrated modeling system.
25.2 Study area and data used
The study was conducted in Pennar Basin in
Andhra Pradesh State in India. Pennar Basin extends
over an area of 55,213 km2, which is nearly 1.7% of total
geographical area of the country. The basin lies in the
states of Andhra Pradesh (48,276 km2) and Karnataka
(6,937 km2). Pennar River rises from the Chenna Kesava
hills of the Nandi ranges of Karnataka and flows for about
597 km before outfalling into Bay of Bengal. Topography
of the area is generally flat, having mostly slopes of less
than 6.5%. The basin is divided into 58 sub-basins
covering four districts namely Kurnool, Ananthpur,
Cuddapah, and Chittor. Study area is located between,
77.10 –80.15oE and 13.3–15.8oN. Location map of study
area, block studies, and delineated sub-basins are shown
in Figure 25.1a. Drainage features of the basin are shown
in Figure 25.1b. Climate is predominately semi-arid to
arid. In general, there are four seasons in this region.
Hot weather (from March to May), Southwest monsoon
(from June to September), Northeast monsoon (from
October to December) and winter (from December to
February). Summers are hot but after the rain begins in
the middle of June, there is a decline in the temperature.
Lowest temperatures are recorded in December. In April
and May, on individual days temperature may go up to
more than 40oC. However, annual mean maximum
temperature varies between 30–37oC and mean minimum temperature vary between 21–25oC. Weather data
viz., maximum temperature, minimum temperature,
solar radiation, relative humidity and wind speed for four
IMD stations have been used in the study. Station Names
are Kurnool, Anantapur, Cuddapah, and Chittor in which
the study area lies.
IRS LISS IV 23.5 m resolution images are used in
developing the land use and land cover grid. Land use
land cover map of Pennar basin is shown in Figure 25.1c.
The area is covered with different soils. These soils include
the red soils (locally known as “Chalkas”) and black soils.
The red soils are mostly the Alfisols, Inceptisols and
Entisols formed from granite and gneisses. National
Bureau of Soil Survey & Land Use Planning map of 1:250 k
has been used for the study. Soil distribution map of
Pennar basin is shown in Figure 25.1d.
25.3 Integrated modeling system (IMS)
An integrated modeling system (IMS) has been
developed to establish functional links between the
water and agriculture resources representing a core part
of the livelihood. Under this study the water and main
cereal crop productivity is assessed with an emphasis
on water management to clarify its vulnerability to
climate change. The assessment includes following
components: (i) Baseline climatology and meteorology,
(ii) Third generation Regional Climate Model (HadRM3)
derived projected climate scenarios, (iii) Hydrological
modeling using SWAT including irrigation water and
agricultural crop modeling using EPIC modeling. SWAT,
which stands for Soil and Watershed Assessment Tool
(Arnold et al 2003), was developed to predict the
impact of land management practices on large, complex
river basins or watersheds. EPIC (Erosion Productivity
Impact Calculator)—a biophysical crop growth model is
used to simulate agricultural crop yields. (Sharpley, and
Williams 1990). IMS has been implemented for a basin
in India. Two-component architecture, streamlined
procedures were adopted to ensure that common data
Figure 25.1: Study area
(a) Location
(b) Drainage
(d) Soil
(c) Land use
Addressing Vulnerability to Climate Variability and Climate Change:
An Integrated Modeling System
.
199
can be transferred to SWAT and EPIC; however, it does
not alleviate the burden of processing the large number
of individual input files. The “embedded” architecture
is virtually impractical in this case. The design of the
integration system includes an add-on external user
interface and a shared internal database to couple the
two systems. Supporting hydrologic and agro-metrological
modeling is the primary function of this system; thus the
design accommodate the requirements of the SWAT and
EPIC modeling linkages through IMS architecture as
shown in Figure 25.2.
(and other constituents) will change in the future is
needed. A range of emissions scenarios has been
developed in the Intergovernmental Panel on Climate
Change (IPCC) Special Report on Emission Scenarios
(SRES) and reflects a wide range of the main demographic, technological and economic driving forces of
future emissions (Nakicenovic et al, 2000). Four ‘Marker’
scenarios, namely A1, A2, B1 and B2, have been
identified each of which describes a different world
evolving through the 21st century and each of which
may lead to quite different greenhouse gas emission
trajectories.
Figure 25.2: Integrated modeling system – architecture
The A2 scenario describes a very heterogeneous
world. The underlying theme is self-reliance and preservation of local identities. Fertility patterns across regions
converge very slowly, which results in continuously
increasing global population. Economic development is
primarily regionally oriented and per capita economic
growth and technological change are more fragmented
and slower than in other scenarios. The B2 scenario
describes a world in which the emphasis is on local
solutions to economic, social, and environmental
sustainability. It is a world with continuously increasing
global population at a rate lower than A2, intermediate
levels of economic development, and less rapid and more
diverse technological change than in the B1 and A1
scenarios.
25.6 Hydrological modeling
25.4 Climate Model – HadRM3 Datasets
The third-generation Hadley Centre RCM
(HadRM3) is based on the latest GCM, HadCM3. It has
a horizontal resolution of 50 km with 19 levels in the
atmosphere (from the surface to 30 km in the stratosphere) and four levels in the soil. In addition to a
comprehensive representation of the physical processes
in the atmosphere and land surface, it also includes the
sulphur cycle. This enables it to estimate the concentration of sulphate aerosol particles produced from SO2
emissions. These have a cooling effect as they scatter
back sunlight and also produce brighter clouds by
allowing smaller water droplets to form.
25.5 IPCC SRES emission scenarios
To predict future climate change, a projection of
how anthropogenic emissions of the greenhouse gases
200
.
Hydrological Modeling aims at studying the impact
in water resources due to climate change projections. It
tries to answer the questions, how does it is going to
affect the water resources, its distribution both spatially
and temporally? River runoff is one of the main characteristics describing available water resources. One of the
aims of this study is to estimate the climate change
impact on river runoff in Pennar basin, India. A distributed
hydrological water balance model viz., SWAT 2000
(Arnold et al 2003), has been used to quantify the
impact of the climate change on the water resources and
is capable of performing continuous, long-term
simulations for watersheds composed of various sub
basins with different soils, land uses, crops, topography,
weather, etc.
The basic model components simulated by
SWAT2000 include weather, surface runoff, return flow,
percolation, ET, transmission losses, pond and reservoir
storage, crop growth and irrigation, groundwater flow,
reach routing, nutrient and pesticide loading and water
transfer. SWAT2000 requires daily precipitation, maximum/minimum air temperature, solar radiation, average
daily wind speed, and relative humidity. This information
can come from observed data or it may be generated
from the weather generator database. The precipitation
may be homogenous for the entire watershed; however,
spatial variability may lead to unique climate conditions
for the various sub basins in the model.
temperature in A2 and 2oC in B2. The warming trend is
almost uniform across the Blocks with a range of 2.9 to
3.3oC in A2 and 2.0 to 2.3oC in B2 as shown in Table
25.1. Annual cycle of rainfall shows increase except in
January and July, whereas temperature shows warming
in all months. The kharif season depends entirely on the
southwest monsoon receiving over 70% of the annual aggregate rainfall during monsoon months of June to September. Kharif is characterized by a gradual fall in temperature, more numerous cloudy days, low light intensity, a gradual shortening of photoperiod, high relative
humidity and cyclonic weather.
25.8.2 Water resources assessment
25.7 EPIC - Agro-met model
EPIC model is selected on the basis that it
provided a more coherent modeling environment and
there was relevant experience available to the team in
the application of EPIC in relevant parts of India (Priya &
Ryosuke 1998 & 2001). It simulates the effects of
management decisions on soil, water, nutrient, and
pesticide movements, and their combined impact on soil
loss, water quality and crop yields for areas with homogeneous soils and management. Some of the important
components of EPIC are: weather generator (WxGEN);
hydrology, erosion and sedimentation, nutrient cycling;
crop growth; tillage; economics; and plant environment
control.
25.8 Results and discussions
25.8.1 HadRM3 findings for Pennar
The change in rainfall is in the range of 10 to 28%
in A2 and 1 to 8% in B2 in the Pennar region. The region
will experience about 3oC raise in the annual maximum
SWAT simulation consist of an initial calibration
and then followed by a second phase in which the
impact of Climate change were assessed. SWAT model
runs are performed basically for two sets of rainfall data
viz., 1. IMD rainfall and 2. Block rainfall data. IMD runs
made use of the data for 4 stations where as block level
data made use of 120 stations of rainfall data. Rainfall
data for the period 1985 – 95 has been used for IMD
runs. Block level runs made use of the rainfall for the
period 1988 to 2002. Other data sets viz., Soil, temperature
and weather data remains same in both the runs. Flow
data sets used for calibration include, Upper Pennar
Reservoir – 1971-2000, Tadipatri – 1974-98, Pennar
Anicut – 1983-91, Somasila Reservoir – 1979-93. Simulated annual and observed runoff at Tadipatri and daily
flow Pennar Anicut are shown in Figure 25.3. Results
showed a good match between simulated and observed
runoff. It was observed that runoff in the basin is in the
range of 5 – 8% coincides with the results of UNDP
report on Andhra Pradesh Rural Livelihoods program
water audit (2003).
Table 25.1: Projected climate changes in Pennar region
Scenarios
Period
Change in Max temp (C)
Highest
Lowest
Mean
Change in Min temp (C)
Highest
Lowest
Mean
% Change in Rainfall
Highest
Lowest
Mean
A2 Vs Baseline
Kharif
3.5
3.0
3.1
3.4
3.1
3.2
20.8
-4.5
8.1
B2 Vs Baseline
Kharif
2.5
2.1
2.3
2.6
2.3
2.4
3.9
-12.0
-5.7
A2 Vs Baseline
Annual
3.3
2.9
3.1
3.7
3.4
3.6
28.2
9.8
21.3
B2 Vs Baseline
Annual
2.3
2.0
2.2
2.7
2.5
2.6
7.7
1.0
4.1
.
201
Figure 25.3: Comparison of observed and simulated runoffs at two gauge stations
Annual Rainfall - Runoff at Tadipatri on Pennar River
July 1989 Daily Flow at Pennar anicut
1000
IMD Precip
900
5000
Block Precip
800
4500
700
Sim Block Runoff
600
Obs Runoff
Flow (cumecs)
Precip/Runoff (mm)
Sim IMD Runoff
500
400
300
Simulated
Observed
4000
3500
3000
2500
2000
1500
1000
200
500
100
0
0
1989
1990
06/01/89
1991
06/21/89
07/11/89
07/31/89
08/20/89
Date
Year
(a) Tadipatri
(b) Pennar Anicut
25.8.3 Impacts of climate change on water resources
Evapotranspiration losses are high. It varied from 80 to
95%. In the climate change scenario, runoff in percentage of rainfall is about 19% in A2 and 15% in B2.
Average annual rainfall is about 660 mm historically;
it increased to 709 mm in A2 scenario and 683 mm in B2
scenario. The region will experience about 3oC raise in
the annual maximum temperature in A2 and 2oC in B2,
respectively. The warming trend is almost uniform across
the Blocks with a range of 2.9 to 3.3oC in A2 and 2.0 to
2.3oC in B2. Annual cycle of rainfall shows increase
except in January and July, whereas temperature shows
warming in all months. There is an about 8% increase in
rainfall in A2 and about 4% increase in rainfall in B2
scenario. It is observed that the runoff in the basin is
varied from 4–11%. It may be due to intensive water
abstraction in the form of numerous tanks in the basin.
In the climate change scenario, study estimated
that the mean annual flow in the river system would be
increased by 8% in A2 and 4% in B2. Evapotranspiration
losses were decreased by about 10% in A2 and 12% in
B2. The flows showed high inter-annual variability, which
in turn reduce the river flow in dry years significantly,
which would have serious effects on irrigation supply. An
average rainfall increase of 4-8% caused a 10–15%
increase in river flows. This may be due to an estimated
wet condition in the climate change scenario. In A2
scenario, there is about 20% chance that the rainfall
Figure 25.4: Monthly rainfall and runoffs under climate change scenarios
Average monthly rainfall predicted for Climate Change
scenarios
Average monthly runoff predicted for Climate Change
scenarios
90
180
160
A2 Rainfall
80
A2 Runoff
B2 Rainfall
Rainfall
120
70
Block Rainfall
100
80
60
IMD Runoff
50
Block Runoff
40
60
30
40
20
20
10
0
0
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Month
(a) Monthly rainfall
202
B2 Runoff
IMD Rainfall
Runoff
140
Jan
Feb Mar Apr May Jun Jul
Month
Aug Sep Oct Nov Dec
(b) Monthly runoff
.
exceeds by 1 σ and 4% exceeds by 2 σ. Similarly number
of instances in which rainfall is below 1 σ is 14% and 2 σ
is 4%. The corresponding numbers in B2 scenario are
18%, 6%, 14% and 2% respectively. These values
indicate that the extremities in runoff will relatively high
in A2 than B2. Changes in rainfall are amplified in runoff,
with a bigger amplification in catchments with low runoff
coefficients. The climate change scenario predicted an
increase in rainfalls in May, September and October
months and decrease in rainfall in June-July as shown
in Figure 25.4. Also, spatial distribution of rainfall, and
evapotranspiration are shown in Figure 25.5 a and b
respectively.
Figure 25.5: Spatial distribution of average annual evapotranspiration in climate change
(a) Rainfall distribution
(b) Evapotranspiration
.
203
25.8.4 Crop yield assessment
The area is characterized by two growing season.
The main growing season starting in June lasting until
September (Kharif). The main source of water for crop
production is the Southwest monsoon. The second
growing season starts in December and last until April
(Rabi). The main crop grown during this period is rice.
The four crops – rice, groundnut, sunflower, and
jowar (sorghum) – selected for analysis in this study had
already been included in EPIC, but needed to be
modified to reflect AP conditions. The model was run for
all four crops for Kharif season only where except Rice
remaining three crops are rain-fed crops. Rice being an
irrigated crop simulation is carried out based on the
prevailing conditions in the field. About 47 parameters
related to crop phenology, its environment and crop
growth in a stressed environment are used in EPIC.
Parameter values for the selected crops and the
management practices associated with them are based
on previous modeling exercises with EPIC and on
advice from experts at the ANGR Agricultural University,
Hyderabad.
Validation at districts are carried out using block
level simulated outputs for the years 1989 through 1996
and the annual reported yields for the selected four crops
viz., rice, jowar, groundnut and sunflower. The validation
was done using Kharif simulated crop yield for the Kharif
season, which were compared with annual (Kharif + Rabi)
reported yields, which were the only data available.
Validations at districts are carried out using block level
simulated crop yields for the above-mentioned period and
were compared using annual reported yields. Validation
charts for Groundnut crop (Chittor and Kurnool) and for
Rice crop (Cuddapah and Anantapur) are shown in
Figure 25.6.
25.8.5 Climate change impact on crop yields
Using HadRM3 data for Pennar basin, A2 and B2
scenarios were perturbed in observed climatic history at
regional scale. EPIC model is applied to run the model
to assess the impact of climate change at that scale.
The results obtained showed in general crop yields were
declining in both A2 and B2 scenarios.
Figure 25.6: Crop Validation
Cuddapah - Rice
K u r n o o l- - Groundnut
G r oundn ut
Kurnool
1.6
1.6
3.5
KHARIF DIST SIM AV
KHARIF DIST SIM AV
1.4
1.4
REPORTED DIST AV
REPORTED DIST AV
3
2.5
1
1
Yield (t/ha)
Yield (t/ha)
1.2
1.2
0.8
0.8
0.6
0.6
2
1.5
1
0.4
0.4
0.5
0.2
0.2
0
00
1 9 88
1988
1 9 89
1989
1 9 91
1991
1 9 92
1992
19 93
1993
1989
1992
(a) Groundnut – Kurnool
(b) Rice – Cuddapah
Anantapur Rice
C h i t t o r - - Groundnut
G r oundn ut
Chittor
1.6
1.6
1996
1994
1993
3
KHARIF DIST SIM AV
KHARIF DIST SIM AV
REPORTED DIST AV
REPORTED DIST AV
1.4
1.4
2.5
2
1
1
Yield (t/ha)
Yield (t/ha)
1.2
1.2
0.8
0.8
0.6
0.6
1.5
1
0.4
0.4
0.2
0.2
0.5
00
11989
98 9
1990
1
990
1992
1 9 92
11993
99 3
11994
994
11996
9 96
0
1989
(c) Groundnut – Chittor
204
1991
1992
1993
1994
1995
(d) Rice – Anantapur
.
1996
1997
Figure 25.7: Impact on Crop yield under climate change
scenarios
0.0
% Change in Yields
-5.0
-10.0
-15.0
Climate Change and Mr. Bilal H Rahill, Lead Environmental Specialist, to strengthen this study by providing
technical advice, analysis, support and guidance throughout this study. Authors also want to thank the South Asia
Environment and Social Unit World Bank Headquarters,
Washington DC who financed this study.
Baseline
2.89 t\ha
Baseline
1.06 t\ha
-20.0
Baseline
Baseline
1.17 t\ha
0.90 t\ha
-25.0
A2
-30.0
B2
-35.0
Rice
Jowar
Gnut
Sunf
We would like to recognize the insights provided
by Dr. Rup Kumar Kolii, IITM Pune and Dr. D. Raji Reddy,
Senior Scientist, ANGR Agricultural University,
Hyderabad through their work and experience in HadRM3
data supply and analysis
Crops
Under regional perturbed climate change (CC)
scenarios (includes both A2 and B2), groundnut showed
maximum deviation and proved to be detrimental, where
decrease in yield appears to be 30% in case of A2 and
13% in case of B2 SRES scenarios. Jowar crop showed
moderate decrease in the range of 13 to 10% whereas
sunflower with 15% for both A2 and B2 scenarios
respectively. Rice being an irrigated crop showed
minimum impact with decrease in yield by 8% and 2%
for A2 and B2 scenarios. Pennar falls under semi-arid
and arid climatic region in the country with predominant
drought conditions. Decrease in yields are mainly due to
the further increase in temperature under CC scenarios,
as has also been observed in experiments.
Results obtained showed that B2 results are less
detrimental than A2. This is due to A2 being warmer
compared to B2. In general B2 scenario, temperatures
are a bit lower when compared with A2 (i.e., 2.5 against
3.5oC and 2.3 against 3.3oC for A2 and B2 scenarios both
for kharif season and annual average respectively). Overall
in Pennar region climate change impact on yields is the
combined effect of increased temperature, increased
rainfall and increased CO2. All monsoon crops show
decreased yields under A2, whereas B2 seemed to be
less detrimental (except rice) than A2. The decrease in
crop productivity is significant for groundnut but moderate
for other rain-fed crops. Decrease in yields is mainly
due to the further increase in temperature under CC
scenarios, as has also been observed in experiments.
References
Arnold JG, Williams JR, Srinivasan R, King KW, (2003), Soil
and Water Assessment Tool, USDA-ARS, Temple Tx.
IPCC, 2001: Climate Change 2001: Impacts, Adaptation, and
Vulnerability - Contribution of Working Group II to the IPCC
Third Assessment Report.
Satya Priya, R Shibasaki (2001) National spatial crop yield
simulation using GIS-based crop production model. Ecological
Modelling, 135 (2001) 112-129.
Satya Priya Shibasaki, Ryosuke and Shiro Ochi (1998) Modelling Spatial Crop Production: A GIS approach, Proceedings of
the 19th Asian Conference on Remote Sensing, 16-20 Nov,
1998 held at Manila. pp A-9-1 to A-9-6.
Sharpley, A. N., and J. R. Williams (Eds.), (1990): EPICErosion/productivity Impact Calculator: 1. 1. Model Documentation, U. S. Department of Agriculture Technical Bulletin No.
1768, 93-124.
Shukla PR, Subodh K Sharma, RH Ravindranath, Amit Garg
and Sumana Bhattacharya, (2003), Climate change and India
Vulnerability Assessment and Adaptation, University Press,
India.
Acknowledgments
Authors would like to thank The World Bank Washington office stakeholder namely Dr. Ian Noble, Lead
.
205
206
.
PANEL 4:
Sustainable Financing and
.
207
208
.
26. Nature-based Tourism as a Funding
Mechanism for Protected Areas and
Biodiversity Conservation: Plans and
Opportunities in the Lao People’s Democratic
Republic
Dr. Paul Rogers
Summary
This paper assesses justifications, options and
opportunities for tourism activity to fund protected area
and biodiversity conservation management programs in
the Greater Mekong Subregion (GMS). The paper is
divided into three sections. Section 1 examines the scale
and trends in tourism activity in the GMS. It briefly
describes the opportunities and constraints of this
ongoing development and summarizes the implications
for protected area managers. Section 2 describes the
different forms of funding mechanisms that can be used
to channel funds from tourism activity to conservation
objectives, and considerations that are likely to influence
different choices and priorities for implementation. The
third and final section describes the approach being
adopted in the Lao PDR to develop ecotourism activity
in and around its protected area network – and so
enable ecotourism to strengthen and help fund protected
area management.
26.1 Tourism and the GMS
At the global level the travel and tourism industry
is frequently quoted to be the largest and fastest growing
industry in the world. After peaking at just over 700
million arrivals in 2002, due to the impact of SARS, terrorist
activities and the Iraq War, total arrivals fell back to 694
million with gross receipts in the vicinity of US$514
billion. Figures prepared by the UN World Tourism
Organisation (UNWTO) indicate that global tourism
volumes and receipts recovered strongly in 2004 to reach
well beyond the 700 million, demonstrating the industry’s
resilience against internal and external shocks.
At the regional level, after Europe, the AsiaPacific is the second-most visited region in the world
accounting for 119.1 million arrivals (17.16 % of total world
international tourism), US$88.6 billion in receipts, and
has been the fastest growing tourism region in the world
over the last decade.
Focusing on the GMS, in 2004 the subregion
received 17.8 million international visitor arrivals or
around 14% of total international arrivals to the AsiaPacific region and an estimated 2.5% of total global
arrivals. In November 2002, in its “Mekong Tourism
Development Project” document for Cambodia, Lao PDR
and Viet Nam, the ADB described the GMS as “the fastest
growing tourism destination in the world”. UNWTO trends
over the last ten years however, suggest the subregion’s
rate of growth over the last decade was slightly slower
than that of the Asia-Pacific region (7% compared to
around 8% per annum). In 2004 the industry generated
around 12 billion in gross receipts for the GMS, contributed
between 0.5 and 9% of total GDP and sustained some
3.5 million jobs. It is therefore reasonable to conclude
that tourism is a key and expanding component of the
GMS economy – and its future significance in the region
is highly likely to further expand.
It is important to note that although the figures
quoted above appear extremely large and somewhat
difficult to comprehend, the industry is also very much
local in its character and has, in many locations, the ability
to induce rapid economic, social and environmental
change. The extent to which these changes are likely to
be positive or negative, or even occur at all, will depend
upon a series of variables. The most important among
these are access to sites and physical security (freedom
from harm). Others include the type and quality of the
primary and secondary resources1 and, for example, the
extent of any planning, management and marketing that
may have been undertaken. In the context of the GMS,
for example, the ADB’s recently completed tourism strategy
for the region concludes that:
• “while the subregion has great product and market
potential, the current pattern of tourism is
characterized as high in volume, moderate to
high in growth, relatively low in yield – at least
for the less developed countries, and benefits
poorly distributed. Although some improvements
1
Primary resources refers to the natural or cultural features that serve
as the basis of the tourism product, while secondary resources refers to
the roads, airports, hotels, restaurants etc. that make tourism activity
possible.
Nature-based Tourism as a Funding Mechanism for Protected Areas and Biodiversity Conservation:
.
209
•
•
•
•
•
•
•
•
•
•
in the equitable sharing of the benefits of tourism
development are likely, the current inequitable
pattern of tourism will probably persist unless
greater efforts are made at the subregional level
to bring about a more desirable outcome on the
above indicators. The main causes of this relatively
inequitable and undesirable pattern of tourism are:
insufficient subregional product development
and quality limitations;
destination image and product marketing limitations;
access and other support infrastructure needs
and deficiencies into and within the subregion;
human resource and related institutional capacity
limitations;
weak capacities in the management of natural
and cultural areas and sites of importance to
tourism;
insufficient attention to managing the adverse
social consequences of tourism;
the relative imbalance of tourism benefits between
the GMS countries relative to their tourism
resources;
the high concentration of tourism flows within a
few destination points in the GMS;
weak mobilization of the private sector in tourism
marketing at the national and subregional level;
and
continuing barriers to the movement of tourists
across borders in the subregion.”
In other words, while tourism to GMS countries
can be expected to expand and diversify on an impressive
scale – a lack of access, mobility and human resource
capacity are key restraints to destination development
and the maximizing of any positive benefits that can
reasonably be expected to occur, especially with regard
to forms of tourism activity that are pro-poor and/or
support biodiversity conservation objectives.
Focusing upon nature-based tourism and
ecotourism, research confirms that a growing number of
tourists are interested to visit natural and cultural
resources. In the recent past, ecotourism has regularly
been quoted in the academic literature to be the fastest
growing sector of the overall tourism industry. The
extent to which this may be true depends very much on
definitions of ecotourism and ecotourists. According to
many critics nature-based tourism refers to forms of
210
.
tourism activity that are simply based in and around
natural resources. Whereas ecotourism activity demonstrates a clear and direct commitment to conservation
and development, which may for example be expressed
in the form of partnerships between tour operators,
protected area managers and local people.
From another perspective it can be seen that the
private sector often uses the term ecotourism as a green
marketing label to sell their products, often when there
is little conservation value in the tours or products being
sold. This issue makes estimates as to the size and
financial turnover of the nature-based tourism or
ecotourism market to be almost meaningless. Nevertheless, solid research on this controversial topic
suggests that ‘true’ ecotourists are likely to be female,
well-educated, over 35 years of age (some reports
suggest 50 years plus), have high spending patterns and
originate from western markets, especially Europe and
North America.
While this may provide a general picture of the
average ecotourist, it is clear from many in-depth studies
that nature-based and ecotourism are expanding
markets. Moreover the internet revolution is playing a
large role in fuelling this growth as travelers seek out
specialist experiences on-line. An IFC report “A Review
of International Markets, Business, Finance and Technical
Assistance Models for Ecolodges in Developing Countries”
(Epler Wood International 2003) is one such report that
provides a quality and in-depth analysis of the global
ecotourism market.
26.2 Funding mechanisms
Protected area managers that seek to raise funds
from tourism activity have a series of options and choices.
The suitability of different mechanisms for any particular
area will depend upon a number of factors including the:
(i)
structure and management of the protected
area body (whether public or private or
combination of the two, the level and type of
community and/or NGO involvement);
(ii) overall objectives of the protected area;
(iii) scale and type(s) of tourism activity being
promoted;
(iv) physical location of the tourism activity and
access points to these locations; and
(v)
nature of the commercial or private sector
interests in the products being promoted.
As will become clear from the explanation and
discussion of the options provided below, some forms of
tourism activity clearly lend themselves better than
others to the different funding mechanisms. It is also
worth noting that to maximize the contribution of tourism
towards protected area and biodiversity conservation
objectives, much more needs to be considered than
simply the different funding mechanisms alone. Due to
its income generation potential, for example, tourism can
be used as a vehicle to gain much needed local community
support and advocacy for protected areas. Promoting
and encouraging research tourists may also be a useful
component of a protected area strategy to help provide
much needed data and information on flora and fauna.
Funding mechanisms should be seen as one component
of a broader strategy to develop and promote tourism in
and around protected areas. Similarly, tourism should
not be seen as a panacea to solve all funding needs for
a protected area. Rarely is tourism able to provide the
lion’s share of protected area management costs, and
should therefore been viewed as one of a series of
complementary sources of finance.
The options given below draw heavily on exerts
from the WWF publication “Pay Per Nature View: understanding tourism revenues for effective management
plans” (Font et al 2004), which contains a wealth of
information on this topic and is highly recommended as
a first reference point for anyone developing tourism
funding mechanisms for protected areas.
26.2.1 Entry fees
Setting an appropriate park entry fee—one that
covers the protected area capital costs and operating
costs, and ideally even the indirect costs of ecological
damage—is one of the best and most used ways for
management agencies to capture a share of the economic
value of tourism in protected areas. Although a very
popular mechanism, few protected areas generate
substantial revenues from this source, and generally the
charges do not reflect the service and product offered
by the protected area. There may be a reluctance to
charge the full cost of running the park for various
reasons: low visitor numbers; the protected areas may
traditionally be funded by the government; a collection
and accounting mechanism may be difficult and expensive
to set up; or, there may be a fear of resistance from users.
Studies have shown that visitors are willing to pay more
if they know their money will be used to enhance their
experience or conserve the special area they are visiting,
and that visitors are often willing to pay higher entrance
fees than those currently charged, particularly for parks
with a high level of demand.
Entry fees are often literally collected at the point
of entry to the park, with a set amount per car or per
individual. Where tour operators are involved this can
be added to the tour package price in advance. In some
cases ‘point of entry’ collection may be difficult because
of the size of the park or if there are multiple entry points.
In such cases, it will be easier and more effective to levy
user-fees at the point of activity, for example with
car-parking or camping grounds. The entrance fee may
include an immediate tangible return in the form of a map
and/or information on the protected area. Where roads
pass directly through a protected area there may be
opportunities to charge vehicle users modest entry
(transportation access) fees.
Establishing a policy on entry fees should begin
by defining the purposes of the fee program. Pricing
policies should be set at national level. In some countries,
it may be decided that each park should then use these
policies to set their own prices, while in other countries
centralized governmental control may be necessary to
provide an overview of relative pricing between parks at
national level or so that, for example, it would be possible to implement a visitors’ pass system for access to
several parks. Many protected areas have begun with a
single level of admission fee and gradually developed a
differential or tiered pricing system. More sophisticated
pricing policies allow parks to charge visitors according
to a number of factors including the time of year, the
level of service provided and the income or place of
origin of the visitor.
The Nam Ha National Protected Area in Lao PDR
has an example of revenue generation through entrance
fees. Every tour group that enters the Nam Ha protected
area, whether trekking or river rafting, pays a US$1 per
day/per person entrance fee. If 5,000 tourists go on an
overnight tour into the Nam Ha Protected area each year,
.
211
this equals US$10,000 in revenue generation. Countries
like Costa Rica and Ecuador raise millions of dollars per
year in entry fee revenues. In the GMS, entry fees
typically are US$2-6 per day. In Thailand, foreigners
pay 200 Baht and locals pay 20 Baht to enter national
parks.
26.2.2 User fees
As noted, in some cases it may be difficult to
collect ‘entry fees’ due to geographical factors or because
it is more appropriate to levy management and conservation contributions from users of facilities within the
protected area. User fees may therefore be charged for
using facilities such as car-parks, campsites, visitor
centers, mountain huts, or canopy walkways, or for
carrying out activities in the park such as fishing, hiking
or mountain climbing, sailing, or hunting. Two of the most
lucrative forms of user fees are for scuba diving and
trophy hunting. The important thing here is presentation,
in other words the charges should be presented in such
a way as to make the tourist happy to pay.
26.2.3 Concessions and leases
Leasing of tourism resources, products or services
to the private sector is an important area for protected
area financing. Traditional attitudes to the private sector
have encompassed a range of approaches including
trying to keep them out or ignoring them, licensing or
restricting them, competing with them, and forming
partnerships with them. In a climate of shrinking funds
for conserving protected areas, however, coupled with
increased awareness of the value of managed market
forces, the approach is now tending very much towards
cooperation, and governments increasingly recognize the
value of providing an enabling environment for the
private sector operation in protected areas.
The term “concessions” may be used to cover a
range of permits, leases, and licenses. Common features
are that all allow private companies or individuals to run
commercial operations while generating financial benefits
for the protected area. Activities may include tour guiding,
establishing a bird-hide, trekking or diving operations,
accommodation provision, restaurants, souvenir shops,
sport fishing or hunting trips, horse-trekking, hire of
kayaks or mountain bikes and the hire or sale of other
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sports and recreational equipment. A concession or lease
may consist of a set fee over an agreed length of time
(either annually or in advance), or the amount may relate
to the income of the concessionaire, or the fee may
include elements of both. In many cases, there may be
an overlap between the operation of concessions and
user fees: for instance trophy hunters may book a tour
through a private operator but pay a per capita trophy
fee to the protected area.
Concessions or licenses can be granted to
private companies, community groups, or NGOs or other
not-for-profit enterprises, and can offer a way of ensuring
that communities living in and around the protected area
are able to receive economic benefits. Concessions take
the form of detailed agreements that clearly state the
roles and responsibilities of the signing parties. They
may also contain a community or environmental element
(such as employment of local people) and an environmental
impact analysis. The principal rationale for the system
is that private operators bring tourism expertise to the
protected area. The private sector is generally better
able to adapt to changing markets and product innovations
than the public sector, and as long as the licensee is
successful, it is likely that the protected area will receive
an ongoing source of revenue. Another advantage is
that the system is more acceptable to tourists as they
are generally not aware of paying a fee for the use of the
park, since it is part of the product price. In Nepal’s
Chitwan National Park, the Tiger Tops jungle lodge leases
land from the park. In 2003 they paid US$75,000 for the
land-lease agreement and were one of seven concessions
that raised US$1.9 million for the Park.
Licenses and permits can be sold through auctions.
Auctions work best when administrative structures are
efficient and honest, access to protected areas can be
controlled, visitor numbers are restricted, and revenue
considerations rank high among pricing objectives. It is
essential for the park authority to retain ultimate control
over the concessionaire’s operations to assure that
resources are not over-exploited or damaged, and that
conservation is not neglected in favor of profit-making.
Also, although concessions can be a very useful
revenue-generating tool, all profit made by the
concessionaire is in fact income lost by the park agency
itself.
The negative aspects of concessions concern the
success of the business venture. If it is not successful
then less revenue will be generated for the park. The
concessionaire may ignore contractual requirements,
constructing more facilities than permitted or expanding
the scope of their business. Employees may be poorly
trained or lack conservation awareness, or the business
culture of the operator may compromise conservation
approaches.
26.2.4 Direct operation of commercial activities
An alternative to the system of private concessions
is for protected areas management bodies to generate
income through operating services themselves. This may
include services such as accommodation, guiding, equipment hire, or sales of merchandise. With the increasing
sophistication of the tourism industry and, in some countries, increased ease of finding skilled personnel and an
awareness of the contribution tourism can make to
protected area revenues, protected areas might choose
to become involved in such commercial activities in their
own right in order to maximize park revenue. This can
be done either directly or indirectly through a state-owned
company. A suitable format might also be some kind of
public-private sector partnership such as a joint venture
with a private company or with local communities. This
kind of arrangement can help to stem the ‘siphoning-off’
of funds through over-allocation of private concessions,
and in the case of local communities could help them
with marketing and capacity-building.
Another area, which can provide income, is when
parks are used as the set for filming, and a fee is paid.
Books written by parks personnel can provide another
source of income in the royalties generated, although
this is never likely to be large.
26.2.5 Taxes
Taxes take many forms including: a national tax
levied on all visitors to the country; users of a particular
service or product; a local tax levied on users of a
protected area; or, surcharges on the use of equipment.
The levies raised are then used for conservation. The
advantages of using the tax system include the ability to
generate funds nationally (or regionally) and on a long-term
basis; the burden of payment can be targeted towards
users of protected areas; the freedom to use funds to
suit a variety of needs, as accountability is to the public
at large and not to a specific donor; the possibility of
using such funds as a “matched” component of funding
from international donors, who are increasingly requiring
evidence of national commitment as a prerequisite for
support; and, ease of collection, since there is usually
no need to set up a new collection system.
There are also disadvantages to taxation. One is
that it can be seen as less fair than collecting fees
directly from protected areas users, as all visitors to the
country/region are taxed for services/resources they
might not use. Other difficulties may arise in winning
political support for new taxes and setting them aside for
conservation, particularly in countries where conservation is a low priority.
26.2.6 Volunteers and donations
Some protected areas have a policy of involving
volunteers in their work, either through providing guiding
and interpretation services, fund-raising or through staffing
key services such as entry booths. This generally works
best in industrialized countries where a pool of relatively
wealthy people with considerable disposable time exists.
A further way of generating funds for protected
areas through tourism is via donations by tourists who
have been to the area or have some interest in it, and by
private companies keen to demonstrate corporate
social responsibility credentials. In areas where there is
a high conservation interest (such as tiger habitats, for
example,) this can be a useful way of transferring funds
from richer Northern communities concerned about
conservation of the world’s natural resources to poorer
Southern communities who lack the finances to conserve
these resources themselves. There are various ways
of operating these schemes, including through trust
funds and ‘Friends of...’ organizations. An additional
conservation benefit of such groups is that subscribers
can be encouraged to lobby against specific threats to
the conservation of the area they are interested in.
Tourism companies can also be persuaded to set
aside small portions of their profits or make donations
per visit or booking to clearly specified activities that
support conservation or humanitarian objectives.
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Companies may also encourage their clients to make
donations to specific causes or projects they may visit
as part of a guided tour, a joint effort can be made, for
example, on the part of the tour company and the
conservation agency to point out work programs, their
objectives and funding requirements and then leave it
up to the tourists to decide if they should like to make a
donation. Donation boxes, signboards, visitor centers
and food and retail outlets can be designed to encourage
such philanthropic giving.
26.2.7 Research fees
Some protected areas, especially those rich in
exotic species, may be of interest to national and international universities and research institutions as field
study sites. Where such opportunities exist measures
can be taken to ensure such groups pay for their interest.
In addition to what they pay for locally sourced food, transportation and research counterparts, it might also be
possible to sell research permits or rent specialist
accommodation or research station facilities inside the
protected area. These stations might be owned by the
protected area or developed in partnership with a local
institution (national university) or NGO. In terms of the
research itself it is important to establish guidelines on
ownership of intellectual material and research results
generated.
26.3 Ecotourism in the Lao PDR
The Lao PDR opened its borders to international
tourists in 1990 and currently is enjoying strong interest
and growth as an up and coming tourist destination. This
section of the paper examines the opportunities and
constraints for developing tourism in and around its
protected areas, and initiatives underway to promote this
particular sector. As the discussion makes clear, Lao
PDR has little experience of tourism funding mechanisms
to support protected area management. A summary of
this limited experience and plans currently being developed
for the near future are described below. A key option for
the future, concessions and lease agreements, is also
discussed. As already mentioned programs to develop
tourism funding mechanisms for protected area management should be one component of a wider strategy.
Tourism activity can support a number of interrelated
objectives that serve to strengthen and promote
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conservation efforts, and it is this wider rational and
effort currently being adopted in the Lao PDR that is
described below.
26.3.1 Background
The Lao PDR has developed a forward looking
and regionally unique National Ecotourism Strategy and
Action Plan that aims to promote forms of ecotourism
activity that actively and directly support the management
of biodiversity conservation in and around protected
areas. Formulated in 2004/5 as an extension of the
National Biodiversity Strategy, the Ecotourism strategy’s
strong focus of approach is of interest to other GMS
nations, especially the less-economically developed
countries with rapidly expanding tourism economies
(Cambodia, Viet Nam, Myanmar and Yunnan Province,
PRC). The GMS countries recognize that the future
success of its burgeoning tourism industry depends upon
measures to conserve the region’s outstanding natural
and cultural heritage.
Tourism is one of the Lao PDR’s four priority
development sectors. With less than fifteen years
experience in the industry, tourist arrivals to Lao PDR
increased from 14,400 in 1990 to almost 900,000 in 2004
– the average annual growth over this period exceeds
27%. In 2005 1.1 million arrivals generated over $146
million in foreign exchange earnings, cementing the
industry’s position as the country’s most lucrative economic sector.
Looking to the future, by 2013 Lao PDR hopes to
attract over 1 million overnight tourists and around 2
million day visitors per annum (it is estimated that
approximately 50% of the current arrivals are short-stay
visitors from Thailand and Viet Nam). If these targets
can be achieved, tourism earnings can be expected to
increase to around US$500 million per annum. Around
70% of arrivals are interested in nature and culture-based
tourism – this high level of interest suggests a significant
proportion of this income could directly benefit provincial
economies. Recognizing the importance of the tourism
sector and its significance in helping to achieve the
Millennium Development Goals, the National Growth and
Poverty Eradication Strategy (NGPES) states that tourism
growth should be achieved through the promotion of
pro-poor community-based tourism and ecotourism.
To oversee the implementation of the Lao National
Ecotourism Strategy, the Lao National Tourism Administration (LNTA), in partnership with the Division of Forest
Resource Conservation (DFRC) and the Science Technology and Environment Agency (STEA), have formed
an Ecotourism Technical Cooperation Group (ETCG). The
priority work programs of the ETCG seek to strengthen:
(i)
ecotourism funding mechanisms for
biodiversity conservation;
(ii) the regulatory environment for ecotourism
activity in and around protected areas;
(iii) stakeholder coordination and collaboration at
the centre and local levels;
(iv) community participation in ecotourism and
protected area management; and
(v) regional cooperation and collaboration in
ecotourism planning, management and
promotion.
26.3.2 Rational and objectives of the ETCG
Lao PDR, home to the richest, most intact ecosystems in the GMS, embraces four eco-regions from
the global 200, namely the: Greater Annamites; Indochina
Dry Forests; Northern Indochina Sub-tropical Moist
Forest; and, Mekong River. The economic, environmental
and social value of these ecosystems is strongly acknowledged in planning documents across the GMS. Also
recognized is the importance of these resources to the
rural poor. Next to Bangladesh, Lao PDR has the lowest
human development index on the Asian continent.
Agriculture and fisheries serve as the main economic
activity for over 85% of the Lao population; hunting for
food continues as an activity of central importance to the
livelihoods of the rural poor.
In 1993 Lao PDR designated its NPA network to
conserve key habitats and ecosystems, which is
composed of 20 protected areas covering approximately
14% of the total land area. Responsibility for the
management of this network rests with the DFRC (of the
Department of Forests under the Ministry of Agriculture
and Forests) and their counterparts from Provincial
Agriculture and Forestry Offices (PAFO). Despite its
protected area network being one of the best designed
in the world, the country faces a series of pressing
management problems that severely restrict the conservation potential of these areas.
Focusing on the strengths of the Lao protected
area network, a 2001 review noted:
(i)
the sound legal and scientific basis upon
which the network has been established;
(ii) the World Conservation Union (IUCN)
recommends that nations set aside 10% of
their land as biodiversity conservation areas
– Laos has exceeded this commitment and
is one of only a small number of Asian countries
to make such a ‘progressive and farsighted’
commitment;
(iii) the recent and comprehensive profile of
Lao wildlife species serves as an ‘excellent
information base’ for biodiversity planning
and management;
(iv) the commitment of the government to an
inclusive and cooperative approach to
protected area planning that involves local
stakeholders; and
(v) that management projects have been started
in most NPAs which has established a good
foundation for their future management.
Against these strengths, however, these areas are
faced with a series of serious and pressing management
problems. There is also growing pressure to assist the
people that reside in and around both national and
provincial protected areas, to reduce their dependency
upon natural resources and develop alternative livelihood
strategies and sources of income that support the
primary objective of these special areas – conservation.
The above 2001 review and the 2003 Lao PDR
Biodiversity Country Report acknowledge the following
challenges for protected area management and
biodiversity conservation:
(i)
a lack of dialogue, coordination and support
between government agencies at the center
level and their counterparts at the provincial
level;
(ii) a lack of dialogue and coordination between
government agencies (centre and provincial)
with shared responsibilities for conservation
issues;
(iii) a lack of authority and capacity among
protected area staff at the provincial level;
(iv) a lack of funds for conservation programs;
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(v)
insufficient regulations and specific guidelines that allow for the interpretation and
enforcement of conservation acts and decrees;
(vi) a lack of local community and wider public
awareness of conservation issues;
(vii) a lack of data and knowledge on what
constitutes sustainable resource use; and
(viii) the hunting of wild animals and unsustainable
harvesting of NTFPs for sale in the national
and regional marketplace.
Despite past attempts to strengthen biodiversity
conservation, wildlife throughout Lao PDR is declining.
The Wildlife Conservation Society estimates that if
current trends continue, 53% of turtle species (8/15), 38%
of mammal species larger than a squirrel (28/74) and 15%
of bird species larger than a pigeon (20/136) face local
extirpation. The loss of these species will not only have
a global impact on overall biodiversity, but will also have
negative impacts on local forest ecology and
sustainable subsistence lifestyles. The main reason for
these declines is direct human use, not habitat conversion.
While forest-cover remains relatively high (47%), the
forests are being emptied of wildlife and valuable nontimber forest products. Human use takes two forms; a)
unsustainable local hunting/extraction for consumption
or to protect crops and livestock; and b) illegal hunting
by outsiders for trade in oriental medicines, meat, pets
and trophies.
The work of the ETCG is therefore focused upon
a series of actions at both the centre and local levels
that seek to progressively address each of the above
threats. These include:
(i)
encourage dialogue and cooperation at the
national, provincial and local levels;
(ii) build the capacity and status of protected
area managers;
(iii) develop and -promote ecotourism funding
mechanisms for protected area management;
(iv) review legal and regulatory mechanisms to
promote ecotourism activity in and around
protected areas;
(v) raise local awareness of the relationship
between ecotourism activity and good
conservation practice;
(vi) provide alternative sources of income and
improve local livelihoods through the
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development and promotion of ecotourism
activity; and
(vii) conservation advocacy at the national and
local levels and increased vigilance against
illegal hunting and harvesting practices.
With development pressures and the hand-tomouth needs of local communities placing increased
demands on natural resources, there is widespread and
growing stakeholder support at the local and national
levels, to develop and promote ecotourism activity as a
livelihood alternative. This support stems from highly
successful pilot projects and a growing body of international evidence that support the view that carefully
planned ecotourism:
(i) is a non-consumptive labor intensive activity,
(ii) generates local employment and incomes,
(iii) strengthens the management of biodiversity
conservation, and
(iv) increases the national profile and economic
value of protected areas.
At the local level it is of note to stress that communities have traditionally viewed protected area management approaches as being restrictive and threatening to
incomes. Yet evidence from the NZAID funded UNESCO
/ LNTA Nam Ha Ecotourism Project suggests communities
view ecotourism as a viable alternative income that is
consistent with protected area management objectives
– interestingly, this is the first practical opportunity these
communities have had to understand what is meant by
conservation through development.
In line with these challenges and prospects, the
work of the ETCG aims to build on local, national and
international interest (from the public and private sectors
and the growing number of tourist arrivals) to strengthen
national and provincial capacity to develop ecotourism
policies and practices that can be tested nationally and,
where there is interest, promote and apply them
regionally. As such, the central objective of the ETCG is
to develop and promote ecotourism management
practices that provide clear and measurable benefits to
biodiversity conservation and poverty alleviation.
Formed in May 2005 by a government decree, the
ETCG reports to government line agencies (LNTA, MAF,
STEA) and the National Tourism Management Committee
(NTMC) a high-level cross-sector committee chaired by
the Deputy Prime Minister. The ETCG is composed of
technicians from:
(i)
the Lao National Tourism Administration (3
people);
(ii) the Ministry of Agriculture and Forestry /
Division of Forest Resource Conservation (2
people);
(iii) the Science Technology and Environment
Agency (1 person);
(iv) 4 protected area heads (from the Nam Ha,
Phou Khao Khouay, Phou Hin Poun, and Xe
Pian NPAs);
(v) the protected area Provincial Tourism Office
counterparts (from Luang Namtha,
Borikhamxay, Khammouane and Champassak
provinces); and
(vi) advisors from NGOs (SNV, Wildlife Conservation Society, WWF, IUCN etc. as appropriate).
The protected areas represented on the ETCG are
being used as “test-beds” and models of best practice
for developing ecotourism in and around all protected
areas. These four protected areas have been selected
due to their high tourism potential, the value of their
biodiversity and the experience of the management staff.
Specific roles and responsibilities of the ETCG are
to:
(i)
develop policy recommendations to submit
to their line agencies and the NTMC for
developing ecotourism in and around the
national and provincial protected area
network;
(ii) design ecotourism management systems for
implementation in all national and provincial
protected areas;
(iii) develop participatory ecotourism strategies
and management plans for the target NPAs;
(iv) liaise and work with donor and development
agencies engaged in activities embraced in
actions set out in the National Ecotourism
Strategy;
(v) advise protected area and PTO offices on the
creation of multi-stakeholder committees to
plan and develop ecotourism activity at the
site level; and
(vi) disseminate work findings and operational
practices to other protected areas.
26.3.3 Expected outcomes and outputs of the ETCG
There are three key expected outcomes of the
ETCG:
(i)
Protected area programs are benefiting from
increased annual budgets and more financial
sustainability.
(ii) As a result of a clearer understanding of
ecotourism policy and regulatory mechanisms
among regional, national and local
stakeholders, communities living in and
around protected areas are more actively
involved in the planning and management of
protected areas – especially with regard to
ecotourism.
(iii) A strong policy and institutional framework
for ecotourism is addressing the needs for
poverty alleviation, income generation, and,
biodiversity and cultural conservation.
Eight outputs to be implemented over the next five
years will help achieve the outcomes.
Output 1: The implementation of financial mechanisms
to help ensure tourism activity in and around NPAs
supports the primary purpose of these areas –
biodiversity conservation
Lao PDR is currently experimenting with small
scale ecotourism projects including the NZAID funded
UNESCO / LNTA Nam Ha Ecotourism Project, SNV
supported initiatives in Dong Phu Vieng and Phu Xan
He protected areas and the work programs of the ADB
supported Mekong Tourism Development Project. The
Nam Ha project in particular has achieved certain
notoriety across the region and served to convince
government agencies and other stakeholders that
ecotourism can help raise awareness and support for
the management of NPAs. Each of the projects has also
helped raise the level of tourist and entrepreneurial
interest in the ecotourism sector. Significantly, the
Nam ha project has received an UNDP award for its
contribution towards poverty alleviation. Despite these
positive achievements, however, their direct financial
contribution to biodiversity conservation is negligible. In
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the case of Nam Ha in 2005, for example, the entry fee
for trekking in the protected area dropped from $1 per
person per day to $1 per visit – the annual sum received
from these fees arguably fails to cover the increased
management costs of this activity. Similarly, entry fees
for vehicles into Phou Khao Khouay protected area, just
one hours drive from Vientiane, are around 25 cents per
vehicle which fails to cover, for example, costs associated
with providing and managing car parking and camping
facilities, toilets, and visitor centers.
The DFRC and LNTA appreciate the value and
potential of entry fees, and are keen to set in place practices
that are common to all protected areas. The ETCG has
developed a work plan to raise the entry fees to $2 per
tourist per day for the three target protected areas, while
the figure for Phou Khao Khouay will be set at $4 per
entry. These fees will be applied to all international
visitors over the age of 16 years regardless of their
purpose of entry2 . Visitor price sensitivity will be tested,
and recommendations developed to develop and expand
the fees nationally. Other options for additional funding
mechanisms are also being explored and will be
implemented as appropriate (initial discussions suggest
fees for transport and parking, research, concessions
and leasing land for retail outlets are favored options).
In setting out a coherent funding mechanisms strategy,
the ETCG recognize that key challenges include upgrading
the quality of visitor information and, importantly, existing
ecotourism products. There is a high priority to attract
investment in new forms of accommodation and associated
services that appeal to higher spending more lucrative
markets.
Program activities to help achieve this output include:
(i)
stakeholder workshops to identify and
prioritize appropriate mechanisms;
(ii) quantification of set up and management
costs;
(iii) quantification of possible incomes from
selected mechanisms;
(iv) selection of mechanisms;
(v) development and application of management
systems in selected sites; and
2
Entry fees currently only apply to visitors on trekking trips and misses,
for example, day visitors picnicking in Phou Khao Khouay.
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(vi) monitoring of progress and replication in
other sites.
Output 2: The implementation of data collection
systems to measure and analyze visitor use of
protected areas
Ecotourism activity is currently being developed
in nine of Lao PDR’s twenty national protected areas.
With access to the wider network improving year by year,
planning is underway for activity to be expanded to a
further five national protected areas in the near future.
Just two of the protected areas currently collect statistics
to record the number of visitor entries into these areas
(Phou Khao Khouay and Nam Ha). This data is stored
at the provincial level – there is currently no system to
compile and assess the data at the centre-level. Management systems and processes are needed at the local
and national levels to collect and analyze basic data –
with a view to collecting more sophisticated (visitor
profile) data in future years. Such information is critical
in terms of:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
assessing domestic and international visitor
use of these areas;
assessing seasonal usage patterns;
assessing trends in use over time;
profiling the types of tourists attracted to
these areas;
the ongoing management of funding
mechanisms;
allocating budgets and resources;
developing policies, rules, regulations and
codes of conduct for ecotourism activity in
these areas; and
marketing and promoting visitor use of these
areas.
It is clear from ETCG discussions that, due to low
staffing levels at the provincial level, the creation of a
reliable data collection system represents a major
challenge. Factors such as low numbers of entrees,
unclear NPA boundaries and low staffing levels suggest
innovative solutions will be required to address this need.
Given these issues, careful consideration is required as
to the cost effectiveness, process and timing for
developing such systems. Program activities to support
this output include:
(i)
develop an “issues report” to address the
needs, implications and options for establishing
standardized procedures for collecting such
data at the local level and compiling and
analyzing such data at the centre-level;
(ii) discussion of the issues report with DFRC,
ETCG and other protected area managers
to set out a work-plan;
(iii) quantification of the costs of data collection;
(iv) refinement of management practices and
processes and training of staff in data
collection techniques in target protected areas;
(v) undertake six month review of working
practices and opportunities for replication in
other protected areas; and
(vi) compile and assess data.
Output 3: The design and implementation of legal
and regulatory mechanisms to promote and manage
ecotourism activity in and around protected areas
Visitor usage of Lao protected areas currently
encompasses activities such as trekking / walking, boating,
picnicking, home-stays, bird watching and sightseeing.
In a small number of cases, permission has recently been
granted for outside investors to lease land to the private
sector to develop lodges and accommodation in and
around protected areas. While these and other planned
activities offer opportunities to support biodiversity
conservation efforts, they also have the potential to
impact negatively on the natural and cultural environment
of these areas.
Center-level legislation clearly recognizes the
value of protected areas as tourism resources and states
that tourism should be promoted when and where
appropriate, yet there is no direct reference to any rules
and regulations that set out how such activities should
be planned, managed or monitored. At the NPA level
some local rules and regulations are starting to emerge
in a few key areas – although there is a lack of consistency
and enforcement of these practices. In Phou Xang He
protected area, for example, a bonus system has been
devised to reward former hunters working as tourist
guides when they show rare and key wildlife species to
tourists, but this has yet to be applied elsewhere. In Xe
Pian protected area land was recently leased to an
accommodation provider to develop an ecolodge, but
there are few if any benefits accredited to the protected
area management or local communities in this agreement.
A review and assessment of emerging rules,
regulations and management practices is required to set
out a clear ecotourism policy environment and to develop
well-defined legal and regulatory mechanisms pertaining to the sector. Activities to achieve this output include:
(i)
a review of tourism-related legislation and
regulatory mechanisms that relate to protected
areas and the environment to identify strengths,
weaknesses and gaps in the process;
(ii) an assessment of regulatory practices in key
countries with a strong profile in this field
(South Africa, Nepal, Costa Rica, Australia);
(iii) develop an issues report (discussion paper)
and stage national and local workshops to
determine what policy, legislative and regulatory
measures are required at the national and
local levels to develop and promote the
ecotourism sector;
(iv) design amendments to existing legal and
regulatory mechanisms;
(v) an institutional analysis of organizations
concerned with the effective implementation
of the new procedures; and
(vi) prioritize and undertake capacity building
requirements for effective implementation of
new regulations.
Output 4: Ecotourism strategies and management
plans developed for target protected areas
While a number of Lao protected areas have
various standards of management plans that are under
different stages of implementation, no Lao protected areas
currently have ecotourism strategies or management
plans. Of the four target protected areas three have plans
developed in 2000, while Nam Ha protected area
management plan is currently in the final stages of
approval. Although each of the target protected areas
have varying levels of tourism activity, there is a lack of
vision and coherent strategic planning to ensure such
activity is consistent with, and contributing towards, the
primary objective of these areas.
To help ensure ecotourism activity makes the
greatest possible contribution towards the ongoing and
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future management of biodiversity, there is a need to set
out broad ecotourism strategies and to develop these
into ecotourism management plans that can be implemented
and monitored over time. There is a need to replicate
this practice in each protected area in Lao PDR where
ecotourism activity is either planned or underway. Program
activities to help achieve this output include:
(i)
(ii)
reviews of ecotourism stakeholders (identities,
interests and activities) in and around the
target NPAs.
working with the target protected areas to:
a) assess the current tourism situation,
b) determine the desirable ecotourism
scenario,
c) open dialogue with local and national
stakeholders to gather ideas for strategic
plan, and
d) draft strategy document for feedback,
refinement and approval.
(iii) working with target protected areas to
develop strategies into working management
plans, this will involve:
a) establishing coordination mechanisms to
involve local stakeholders,
b) establishing tourism management zones,
c) assessment of visitation types and
characteristics,
d) assessing business opportunities,
e) developing physical facilities,
f) creating interpretive systems,
g) establishing training systems,
h) setting up partnerships, and
i) developing monitoring and evaluation
protocols.
Output 5: Increased involvement of local communities
in the management of ecotourism activity and
biodiversity conservation
As noted, contributory factors of weak management
of protected areas in Lao PDR include insufficient awareness of conservation issues, low involvement of local
communities, over-harvesting of key species and few livelihood alternatives. It is expected the work programs
described here will significantly improve the current
scenario over time by:
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(i)
raising local awareness of protected area
management issues and constraints;
(ii) forming local ecotourism management
committees;
(iii) stressing the importance of biodiversity
conservation to successful ecotourism
development; and
(iv) working with local communities to plan and
develop alternative livelihood practices in the
ecotourism sector.
Program activities to help achieve this output
include the following:
(i)
forming district and/or village-based
ecotourism management committees;
(ii) raising local awareness of tourism opportunities, benefits and constraints;
(iii) undertaking a series of participatory ecotourism
planning and management activities;
(iv) developing and promoting community-based
ecotourism products and services in and
around NPAs (providing small and medium
enterprise training and access to loans); and
(v) engaging local communities in monitoring
and evaluation exercises to assess the
impact of ecotourism on local livelihoods and
biodiversity conservation.
Output 6: Increased national and international
investment in ecotourism activities and accommodation in and around protected areas
The UNESCO / LNTA Nam Ha Ecotourism Project
has proved itself to be an effective income alternative
for local communities in and around this protected area.
The extent to which the ecotourism activities have
contributed towards biodiversity conservation has yet to
be fully assessed. It is well recognized, however, that
the products developed are targeted primarily at low-end
markets and there is growing interest and potential to
develop products and services that are geared towards
middle and high-end markets. There are few if any
examples of such products and services in or immediately
adjacent to the Lao NPAs. Based upon good practice
experiences in other countries and one or two good
practices in rural areas in Lao PDR, there is growing
interest to encourage outside investment in forms of
accommodation that provide direct and measurable
benefits to local communities and the protected area
management bodies.
Output 7: Tourism and conservation research
partnerships with international and national bodies
Work programs are therefore underway to further
examine and assess the potential to attract outside
investment and set in place mechanisms and procedures
to develop forms of accommodation that appeal to higher
spending tourists. In this regard the dialogue is underway
with the tourism program head of the IFC’s Mekong
Private Sector Development Facility (MPDF), Epler Wood
International and USAID concerning the development of
an ecolodges development program for the Lao PDR
and wider region. The aim of this initiative is to identify
viable business plans for ecolodges and, working closely
with local communities and protected area heads,
provide local entrepreneurs with the range of mentoring,
financial, technical and training support services that are
required to establish viable businesses3 . This initiative
is also elaborated as one of the strategic projects specified
in the ADB’s tourism strategy for the GMS. Program
activities to achieve this output include:
There is a need and a desire to raise the international
profile of the Lao PDR as an ecotourism destination.
Critical to successful development, will be rigorous and
ongoing evaluation of the impacts, benefits and constraints
of this activity on local communities and biodiversity conservation. Although monitoring and evaluation activities
are built into the frameworks of many project activities,
the costs and demands associated with in-depth cost
benefit analysis are often beyond the scope and of
national and international staff directly engaged in such
initiatives. It is therefore planned to establish a ‘research
fund’ to identify international universities interested to
partner local bodies and undertake research projects to
monitor and evaluate impacts and progress over time.
Dialogue with potential research institutions from Europe,
Asia and Australia confirm there is very strong interest in
this approach – and significant potential to obtain
additional ‘matched funding’ and support from other
sources. SNV Lao PDR has an agreement with the
National University of Laos which centers upon needs to
develop tourism teaching materials, build tourism
research capacity and develop staff expertise in tourism.
(i)
identification of sites with strong ecotourism
and ‘ecolodge’ potential;
(ii) study tours for national and local level
stakeholders to understand good practice
examples of ecolodges in alternative
destinations;
(iii) liaison with MPDF, Epler Wood International,
USAID and other actors and agencies as
appropriate to develop full Ecolodges
Development Programme proposal;
(iv) liaison with regional actors concerned with
tourism promotion (Pacific Asia Travel
Association, tourism media etc.) to organize
investment workshops and take potential
investors to identified sites; and
(v) developing mutually beneficial partnership
agreements on a case by case basis to link
investors with local communities, protected
area management bodies and, where
appropriate, NGOs and development agencies
that can assist with development and
promotion activities.
3
This approach is based upon the IFC publication ‘Ecolodges: exploring
opportunities for sustainable business’. Copies of ToRs and concept
papers being developed with the partners, which can be considered work
in progress are available on request.
This output will serve three key purposes. Firstly,
to develop Lao tourism and biodiversity conservation
research capacity. Secondly, to ensure the results of
monitoring and evaluation procedures help steer and
direct ongoing ETCG planning and management
practices and, thirdly, to generate international focus and
attention on the products and services being developed.
Program activities to achieve this output include:
(i)
establish a research committee and fund with
clear rules and guidelines for use of the funds;
(ii) develop dialogue with international universities
interested in research opportunities in Lao
PDR;
(iii) develop research partnership agreements
and programs with selected universities;
(iv) undertake base-line studies and ongoing
monitoring and evaluation assessments; and
(v) publish articles in academic journals, specialist
interest magazines, newspapers and other
media outlets.
.
221
Output 8: Increased regional dialogue and cooperation
on policies and programs to promote forms of
ecotourism that provide clear and measurable benefits
to biodiversity conservation and poverty alleviation
funding mechanisms, laws, rules and regulations etc. It
may also be possible to assess options for regional funding
proposals or exchange ideas on marketing and promotion
(specialist tour packages).
The ETCG is keen to support the growing regional
interest in natural and cultural heritage tourism and, in
particular, efforts to improve the management and
promotion of these forms of tourism. A strategy is being
developed to report the aim and objectives of the ETCG
to a series of regional forums. An active network with
interested parties will be created with a view to identifying
specific key practices and issues that will form the basis
for a regional ecotourism conference to be held in Lao
PDR in 2010. The conference will present and discuss
examples of good ecotourism practice throughout ASEAN
and the future challenges and prospects for forms of
nature-based tourism that are pro-poor and focused upon
biodiversity conservation. Program activities to help
achieve this output:
References
(i)
reporting the aim, objectives and ongoing
activities at regional forums;
(ii) building linkages and synergy between
related projects and programs in the GMS;
(iii) networking with government agencies, donor
and development agencies, universities and
the private sector that are actively engaged
in developing ecotourism and biodiversity
conservation-related projects, to discuss and
formulate ideas for a regional ecotourism
conference;
(iv) finalizing a program and funding strategy for
the conference;
(v) identifying partners to cofinance and organize
the conference; and
(vi) staging an international ecotourism conference
in the Lao PDR.
26.4 Concluding comments
By way of conclusion to this paper, it is noted that
the author and the Lao Ecotourism Technical Cooperation
Group are interested to share experiences and lessons
on ecotourism and protected areas. This might include,
for example: sharing ecotourism strategies and plans for
protected areas; exchanging research papers; promoting
study tours to sites of good practice; sharing conference
or workshop ideas; and/or, exchanging information on
222
.
Asian Development Bank. (2006). GMS Tourism Sector
Strategy Study.
Epler Wood, International. (2003). A Review of International
Markets, Business, Finance and Technical Assistance Models
for Ecolodges in Developing Countries. Report for International Finance Commission (IFC)/GEF Small-Med Enterprise
Project.
Font, X., Cochrane, J. and R. Tapper. (2004). Tourism for
Protected Area Financing: Understanding tourism revenues for
effective management plans. Leeds Metropolitan University,
Leeds (UK).
Government of Lao PDR. (2005). National Biodiversity
Strategy to 2020 and Action Plan to 2010.
Lao National Tourism Administration. (2005). Lao National
Ecotourism Strategy.
(v)
27. Payment for Environmental Services Lessons Learned from a Diagnostic Study
in the People’s Republic of China1
Zuo Ting, Jin Leshan, Li Xiaoyun
Summary
Environmental services from watersheds are
becoming scarcer in the People’s Republic of China
(PRC) as land is claimed for economic development and
water is withdrawn for activities with more market
values, e.g., irrigation, power generation, and domestic
withdrawal. Payment for environmental services (PES)
is becoming a way, among others, to restore, maintain,
and/or improve the watershed services by rewarding
watershed service providers with tangible economic
incentives to protect the watershed.
A diagnostic study on PES in the PRC shows some
preliminary results:
(i)
PES is one way, but not the only way, for
watershed management. The door should
be always open for any possible option for
better ecosystem/watershed management;
(ii) the PRC government initiated a number of
large PES programs to address its concerns
on perceived large scale problems with
ecosystem/watershed management. The
Sloping Land Conversion Program (SLCP),
the Natural Forest Protection Program
(NFPP), and the Ecological Forest Compensation Fund (EFCF) are three examples of
such large public schemes;
(iii) Large public schemes predominate in the
PRC’s PES. Government is an active and a
key player in this area;
(iv) Land use patterns are driven by agricultural
policy as well as environmental policy - two
sector policies which often conflict with each
other. The Development Zoning initiative in
the 11th Five Year Plan might be a way out
of the prolonged conflict;
1
This paper is part of the research supported by IIED Market for
Watershed Environmental Service Project.
At the local level, various kinds of PES
initiatives are found, which are more market
or negotiation based. Examples are trade of
water rights in Jinhua watershed in Zhejiang
province and Supa watershed in Yunnan
province, proposed payment by hydro-power
plant to upstream communities in Yunnan
province, conservation contract in Jiangxi
province, and Resettlement Development in
Zhejiang province; and PES initiatives vary
because they are site-specific. Local socioeconomic and hydro-geological factors have
to be considered in setting up any local PES
scheme.
27.1 Background
Payment for environmental services, usually called
Ecological Compensation in the PRC, has become a hot
topic in the country in recent years. Several factors have
contributed to this. The first and foremost was the great
flood in the main river basins in the PRC in 1998. The
flood was seen as being the result of deforestation, soil
erosion, and environmental degradation in the upper
reaches of the river basins. Promptly, several large scale
public payment schemes, such as the Sloping Land
Conversion Program (SLCP) were launched by the
central government. Huge amounts of money were paid
by the central government to those who converted their
farming land to forest land or those who carried out other
types of ecological rehabilitation.
Financial constraints or pressures appeared after
two or three years of experiments with the large scale
public payment schemes, and some of the public
schemes were substantially cut in size. But the policy
that those who provide the environmental services should
be paid, remained. The central government encourages
local governments and other social entities to explore
PES in their own way. As market oriented reform or transformation proceeds in the PRC, interest in market based
solutions to the PES problems increases in society as a
whole.
27.2 Diagnostic study on PES
Given the PRC is an area for many social
experiments, the International Institute for Environment
Payment for Environmental Services - Lessons Learned from
a Diagnostic Study in the People’s Republic of China
.
223
and Development (IIED) included the PRC as one of six
countries to conduct a diagnostic study on PES. We
have done two policy reviews and five case studies with
colleagues from the World Agroforestry Centre (ICRAF)PRC, the Institute of Agricultural Economics (IAE), and
the Research Center for Ecological and Environmental
Economics (RCEEE). Environmental policies, agricultural
policies, and other land use related policies were
reviewed. We explored PES initiatives at both the
national level and the river basin level.
end of 2004, and both the annual payment and the
forest land areas doubled with the payment rate
unchanged. Some local governments launched their own
compensation programs, such as in Guangdong,
Zhejiang, and Fujian provinces. Zhejiang compensates
105 yuan/ha, the Guangdong government compensates
120 yuan/ha, and the compensation in Shenzhen
municipality could be as high as 360 yuan/ha (Zuo Ting
et al 2005).
27.2.2 River basin level
27.2.1 National level
At the national level, we examined two big
programs dealing with payment for watershed services
in the PRC. The central government acts as buyer of
the watershed services and the providers are the
numerous farmers. Local governments act as brokers.
Sloping land conversion program (SLCP)
In this program, the central government provides
grains and money to farmers who convert their sloping
land from crop growing to plant trees. The payment rate
is $417/ha/yr for farmers in the Yangtze River Basin, and
$290/ha/yr for farmers in the Yellow River Basin. From
1999 (when the program began) to 2005, the central
government provided 103 billion yuan (US$12.8 billion)
to 30 million households in 25 provinces for converting
their 9 million ha of sloping land into forest land and
planting trees in 12.6 million ha of barren mountains. The
program is carried out mainly in poor Midwest PRC, and
90% of the PRC’s poor people are involved in it (SLCP
Office 2006).
Compensation for ecological services of forest
program
In this program, the central government provides
money to local forest sectors that plant and take care of
forests in the headstream area or around large reservoirs.
In total, there are 57 million ha of forests that are not
covered by the Natural Forest Protection Program and
whose main function is to provide ecological services.
The program began on a trial basis in 2001, when the
central government funded 1 billion yuan (US$125
million) annually for planting and managing of 13 million
ha of forests in 11 provinces. The compensation rate
was 75 yuan (US$9.4)/ha/yr of forest by the central
government. The program was launched formally at the
224
.
In the river basin level, we explored four smallscale PES initiatives. Three are outlined below.
Water trade in the Jinhua River, Zhejiang province,
east PRC
The city of Dongyang is rich in water and has a
reservoir, the Hengjin, in the upper reaches of the Jinhua
River. The city of Yiwu is in the lower reach of the Jinhua
River and is in severe water deficit. Political endeavor
to divert water from Dongyang to Yiwu failed after four
rounds of negotiation over the past four decades. On 24
November 2000, the two cities reached a water agreement,
in which Yiwu paid Dongyang 200 million yuan (US$25
million) for the permanent right of annually diverting 50
million m3 of water from the Hengjin Reservoir. The water
quality was specified as national water standard class I
in the deal. In addition, Yiwu will pay Dongyang for the
water actually diverted, a price of 0.1 yuan (US$0.0125)/
m3. This additional fee is subject to change according to
policies at higher levels (Zhang Lubiao et al 2005).
Conservation contract in the Meijiang Watershed,
Jiangxi province, east PRC
The Meijiang Watershed in southern Jiangxi has
long been famous for its heavy soil erosion and for its
navel oranges (Gan-nan-qi-cheng). An average household has one ha of orange orchard, too small to resist
market forces and risk. The local government tried to
help establish larger orange orchards in hilly areas with
sparse vegetation. These hilly areas are unfertile with
very low productivity and are either left fallow by landholders or extensively used. However these lands have
sufficient rainfall, sunshine, cumulative temperature, and
unique day-night temperature differences, which are all
conditions favorable for navel orange planting.
Bearing in mind that these hilly lands are also the
main target for soil conservation, the local government
combined the two objectives and undertook the role of
broker, bringing small pieces of individually held hilly land
into a large piece of land for developers to rent and to
establish orange orchards. While investors could
potentially make big profits in establishing the orchards,
they have obligations to conserve the hilly land and
prevent soil erosion. In this case, the developer pays for
watershed conservation and he/she is paid back by the
profit from the development. Typically, there are three
contracts involved:
(i)
A contract on orchard development is signed
by a developer and one or more village
committee. The village committee is a semigovernment organization and it is responsible
for bringing the small and individual pieces
of land together.
(ii) The village committee signs a contract on
land lease with individual households, which
specifies the rent and timing etc. The land is
usually rented for 30-70 years with a rent of
10-20 yuan/mu/year (US$18-36/ha/year).
(iii) In addition, the developer has to apply to the
County government for a license to establish
the orchard. The government agency will
issue him/her such a license if:
a) the orchard is large enough (more than
100 mu, i.e. 6.7 ha),
b) there is a soil conservation plan, which
is subject to inspection by government
agencies on a regular basis after it is
implemented, and
c) there is a certified land lease contract.
The practice started in 2003 and about 20,000 mu
(1,333 ha) of hilly land was brought together and rented
to developers. Another 15,000 mu (1,000 ha) of hilly
land was developed in 2004 (Jin Leshan et al 2005).
Water deal in the Xiaozhaizi Watershed, Yunnan
province, PRC
In 2002, two of the Xiaozhaizi Watershed’s four
villages — Jinji and Luozhai — signed an agreement in
which Jinji agreed to purchase water from Luozhai. The
10.37 km Xiaozhaizi River is located in the eastern
portion of Yunnan Province’s Baoshan Municipality,
lying between the Lancang-Mekong and Nujiang-
Salween Rivers. From its origins in Baicai Village, the
river flows through Luozhai Village, then joins the Dong
River and finally flows into the Nujiang River. While part
of the Xiaozhaizi River originates in Baicai, only about 6%
(or 900,000 m2) of the roughly 15.5 million m2 watershed
lies in Baicai; the majority of the watershed lies in Luozhai.
Jinji Village’s water consumption is relatively high because
of its large agricultural sector and growing population.
In consideration of both its continued agricultural
development and the worsening quality of its drinking
water, in 2000, the Jinji Township government began to
search for solutions to the village’s (and the township’s
by default) longer-term water problems. In 2002, the
township government brokered an agreement between
Jinji and Luozhai Villages, whereby Jinji would purchase
water from Luozhai.
Provincial guidelines recommend that water fees
in Yunnan should be charged at a rate of 0.04 yuan
(US$0.005) per m3. Based on an estimated annual flow
of 180,000 m3 of water to Jinji, Jinji would pay Luozhai
7,200 yuan per year in water fees at provincial rates.
After a series of negotiations, Jinji’s annual water payments
to Luozhai were set at 4,000 yuan (US$500), or at about
0.022 yuan (US$0.00275) per m 3, just over half of
suggested provincial water fees. The water purchase
agreement involved three stakeholders:
(i) Luozhai Village Committee (Supplier);
(ii) Jinji Village Committee (Buyer); and
(iii) Jinji Township government and the Jinji
Water Station (Facilitators).
The terms of agreement specified that the Jinji
Village Committee would pay the Luozhai Village Committee a one-time fee of 10,000 yuan in August 2002,
with a 4,000 yuan user fee to be paid before July 30 of
each year. The Jinji Water Station facilitated negotiations
for the water purchase. Initially, the head of the Luozhai
Village Committee and a number of villagers in Luozhai
advocated installing a water meter to measure the
volume of water flowing to Jinji Village and basing
charges on metered use. Instead, the Jinji Water
Station argued that Jinji Village, dominated by rural
farmers with a much smaller township population, could
not afford the payments and should be charged at a flat
rate lower than that stipulated in provincial guidelines
(Weyerhaeuser et al 2005).
Payment for Environmental Services - Lessons Learned from
a Diagnostic Study in the People’s Republic of China
.
225
Some preliminary results appear from the
diagnostic study:
There are already several large public payment
schemes in place. The Chinese government has initiated
a number of large PES programs to address its concerns
on perceived large scale problems with ecosystem/
watershed management. Sloping Land Conversion
Program (SLCP), the Natural Forest Protection Program
(NFPP), and the Ecological Forest Compensation Fund
(EFCF) are three outstanding examples of such large
public schemes.
Government predominates in PES. Large public
schemes predominate in the PRC’s PES. Government,
either central government or local government, is active
and a key player in this area. Individuals seldom
positively participated in existing PES schemes in the
PRC. It is largely a region to region compensation. There
are three essential groups of stakeholders in the PRC’s
PES schemes:
(i)
payment provider: central or high-level
government, hydro-power plant, water plant,
(ii) broker: local government, and
(iii) ES provider: local communities, farmers,
rural households.
In the three interest groups, ES providers are the
poor, less educated, marginalized, and most disadvantaged groups in Chinese society. They have lower
environmental awareness and they are not often aware
of their rights. This group is often taken as a tool by the
PES broker in negotiation with payment providers. They
often do not take part in the negotiation and do not
benefit from the payment.
Policy conflict. Land use patterns are driven by
agricultural policy as well as environmental policy. The
two sector policies often conflict with each other. Agriculture often wins the conflict as a result of widespread
concern of national food security especially after the WTO
entry. The Development Zoning initiative in the 11th Five
Year Plan might be a way out of the prolonged conflict.
Site-specific nature of PES initiatives. At the
local level, various kinds of PES initiatives are found,
226
.
which are more market or negotiation based. Examples
are trade of water rights in Jinhua watershed in Zhejiang
province and Supa watershed in Yunnan province,
proposed payment by hydro-power plant to upstream
communities in Yunnan province, conservation contract
in Jiangxi province, and Development in Another Place
(Yi-di-kai-fa) in Zhejiang province. The variety implies
the site-specific nature of PES. It further implies that
local socio-economical and hydro-geological factors have
to be considered in setting up any local PES schemes.
PES is one possible way, but not the only way,
for watershed management. In some contexts, regulatory
instruments, voluntary agreements, or even merging
could better serve watershed management.
References
Jin Leshan et al 2005. Development Contract with Terms of
Watershed Conservation: A Win-win Opportunity for
Development and Environment in the Meijiang Watershed,
Ningdu County, Jiangxi Province, China. Project report (contact
person: Jin Leshan, [email protected])
SLCP Office, 2006. CNY103 billion yuan has been invested in
the SLCP in the past 7 years. See official website of SLCP
Office (in Chinese) http://www.tghl.gov.cn/baodao/
baodao_show.aspx?id=1485
Weyerhaeuser H. et al 2005. Scale Matters: Paying for Watershed Services in the Xiaozhaizi Watershed. Project report (contact
person: Horst Weyerhaeuser, [email protected])
Zhang Lubiao et al 2005. Paying for watersheds services in
Jinhua watershed in Zhejiang province, China. Project report
(contact person: Zhang Lubiao, [email protected],
[email protected])
Zuo Ting et al 2005. Moving Toward A Market-Oriented
Approach: Case Study of Forest Ecological Compensation
Program in Miluo Watershed, Hunan, China. Project report.
(Contact person: Zuo Ting, [email protected])
28. Payments for Environmental Services: a
Pathway out of Poverty?1
Katherine Warner, Ph.D.
Summary
Payments for environmental services (PES)
programs, especially in developing countries, are in a
nascent, experimental phase with a diversity of
approaches that reflects geographic and cultural variation,
services provided, and preferences of buyers. In most
of the these programs, payments for environmental
services were used for conservation and only indirectly
intended to benefit the poor; however, PES programs
are increasingly considered a mechanism for transferring financial resources to the socially and economically
vulnerable. The challenge is to develop PES programs
that both protect the environment and address poverty
alleviation. Many proponents of PES in developing
countries are shifting their attention from international
markets to programs that focus on national markets that
link domestic/regional buyers of water services with
watershed providers/sellers as a more promising area in
which to introduce PES programs. And it is in watershed programs, especially those providing water related
environmental services for hydroelectric/municipal buyers,
that can provide opportunities for poverty reduction.
28.1 Payments for environmental services
PES are based on a “beneficiary pays” model
(Pagiola 2004). Placing an economic (or qualitative) value
on the environmental service provided through conservation potentially enables those who are managing the
natural resource, the sellers, to receive payments from
downstream buyers—those who would otherwise have
to pay a higher cost given the negative impacts of
unsustainable forest and land conversion in the uplands.
It is assumed that the sellers will then have an incentive
to continue to protect the watershed and other natural
1
This paper is largely based on the results of a feasibility study, Financial
Incentives to Communities for Stewardship of Environmental Resources,
that was conducted by Winrock International for the U.S. Agency for
International Development [USAID] under an award through the Leader
with Associates Cooperative Agreement (number LAG-A-00-99-0003700) with funding provided by the Asia and Near East Bureau.
resources in receiving PES. Figure 28.1 illustrates the
PES theory, describing the minimum and maximum
payment required for a PES scheme to be feasible (based
on Pagiola 2004).
From an economic standpoint, the payments the
sellers receive must be equivalent to the opportunity costs
of foregoing alternative land-use practices (minimum
payment). In other words, the sellers should not feel any
financial loss in foregoing alternative land-use practices.
At the same time, buyers must be convinced that their
payments for environmental services are cost-effective
and less than the costs of unsustainable natural resource
management in the uplands (maximum payment). In the
case of watersheds, PES programs are ideally most
suitable where opportunity costs are low upstream and
benefits are high downstream.
PES theory and practice has evolved slowly from
mostly large-scale conceptualization to greater applicability at the local level. Initially focusing primarily on
international buyers and markets, experience in
biodiversity conservation and carbon sequestration has
not attracted the level of funding as originally anticipated.
Many proponents of PES, in turn, have shifted their
emphasis to local issues, such as watershed protection,
as a response to increased water demands (and growing
awareness of the links between upland land uses and
the quality and quantity of downstream water resources).
28.2 Status of payments for environmental services
The development of environmental service
payment programs is rooted in the growing interest in
market-based instruments to improve natural resource
management. The majority of payments for environmental
services—watershed protection, biodiversity conservation
[including landscape beauty], carbon sequestration, have
evolved during the past decade.
28.3 Biodiversity conservation services
Buyers of biodiversity conservation service
commodities range from private corporations (the most
prevalent), international NGOs and research institutes,
donors, governments, to private individuals (the least
prevalent) and tend to focus on species-rich habitats or
global hotspots in which to invest. Such investment in
.
Payments for Environmental Services: a Pathway out of Poverty?
227
Figure 28.1: “Beneficiary Pays” model
Forest/land
Conversion
Benefits to
land users
(sellers)
Conservation
Conservation
with payment for
service
Minimum Payment
Opportunity
costs
Payment
Maximum Payment
Costs to
downstream
populations
(buyers)
Source: Based on Pagiola 2004.
protection and management of forest environmental
services, particularly for protected areas, however,
appears to be declining (Jenkins, Scherr, and Inbar 2004).
It is questionable if such approaches to payments for
biodiversity conservation services will be sustained. And
PES biodiversity conservation programs have generally
not focused on their impact on poverty reduction.
However, ecotourism or other related payments
for private access to species or habitats have been highly
successful. Ecotourism is indeed growing rapidly; tourists
show a willingness to pay entrance and other fees,
especially where rare or unique fauna/flora or “pristine”
areas are found. Where communities are increasingly
benefiting from such programs, however, fees are
commonly paid as compensation for lost land and
income, rather than as a PES directly linked to resource
management.
28.4 Carbon sequestration services
Given the Kyoto Protocol’s attempt to address
global warming, carbon sequestration has also received
a great deal of attention at the international level. The
Kyoto Protocol created the expectation that developed
countries would purchase carbon from developing
countries and communities would have the opportunity
to participate in carbon trades and receive payments for
environmental services. The delay in approval of the
Kyoto Protocol and the Conference of Parties’ process
of narrowing qualifications for certified emissions
reduction units (CERs), however, have significantly
228
.
Box 28.1: Commodities commonly associated with payments
for carbon sequestration
• Certified emission reductions
• Carbon offsets/credits
(Landell-Mills and Porras, 2002)
hampered development of a market for carbon, 2 and
international markets and buyers have been slow to
emerge and early projections of large amounts of funding
for carbon sequestration in developing countries have
yet to be realized. The sellers, especially rural communities, are further disadvantaged by the high transaction
costs of carbon projects.
2
Interest in international trade in carbon emerged from the Kyoto
Protocol. Of the articles in the Kyoto Protocol, Article 12 defines the
“Clean Development Mechanism” (CDM), the mechanism relevant to
developing countries. It is a project-based mechanism between Annex 1
(industrial countries that agreed under the UNFCCC to take the lead
in reducing greenhouse gas emissions) and non-Annex 1 countries,
whereby projects are implemented in the latter countries. The market
instrument used is the “certified emissions reduction (CER) unit” derived
from CDM projects and issued by the CDM registry. Developing
countries can sequester carbon and then trade CER units with developed
countries. With the advent of the Marrakech Accord (Conference of
Parties [COP] 7), land use and land-use change and forestry (LULUCF)
is acknowledged as a vehicle for carbon sequestration, but is limited to
reforestation (vegetation introduced onto nonforested land as of
December 31, 1989) and afforestation (conversion of land not forested
for at least 50 years to forested land). The Marrakech Accord sets a
limit of CERs from afforestry and reforestation activities to one percent
of base-year emissions for Annex 1 countries—thereby limiting the
portion of an Annex 1 country’s emissions allowed to be bought and
sold on an international (rather than domestic) carbon trading market
(see Scherr, White, and Khare 2004).
28.5 Watershed services
Watershed/hydroelectric-based PES do not share
many of the inherent constraints of other environmental
services, such as carbon sequestration and biodiversity
conservation. They do not, for example, require
international signed agreements or protocols, because
they are mostly domestic or regionally focused. In
addition, mechanisms in many countries are often in
place to collect a royalty or fee for energy generation.
Box 28.2: Commodities commonly associated with
watershed protection watershed management contracts
•
•
•
•
Water quality credits
Water rights stream flow reduction licenses
Reforestation contracts
Protected areas
(Landell-Mills and Porras, 2002)
Watershed communities are in many instances
already providing the environmental services that hydroelectric facilities need and for which they are willing to
pay. In many places, watershed communities are utilizing
agricultural and forestry practices that effectively reduce
the amount of sediment and other pollutants entering
waterways, prolonging the productive lifespan of hydroelectric facilities and providing improved water quality
and quantity downstream. The challenge is for “buyers”
to provide payments that enable natural resource stewards
(the “sellers”) to capture the financial benefits from conserving ecosystem; if not, alternative land-use systems
that overexploit forest and other natural resource may
occur. “Good stewardship needs to be more profitable
than bad stewardship” (Jenkins, Scherr, and Inbar 2004).
28.6 Poverty: can benefits be captured by the poor?
Currently, payments for environmental services are
used for conservation and only indirectly intended to
benefit the poor; however, PES programs are increasingly
considered a mechanism for transferring financial
resources to the socially and economically vulnerable.
This growing interest in strengthening the poverty
reduction focus reflects the global commitment to
Millennium Development Goals (MDGs) and the
preparation of Poverty Reduction Strategies (PRSs) in
developing countries. Due to lack of monitoring and data
collection, it is unclear, however, what socio-economic
impact payments for environmental services are having
on poverty alleviation; because poverty alleviation is not
the main objective of most PES programs, baseline
assessments and performance-based monitoring of
social impacts on the poor are not typically considered.
The challenge is to develop PES programs that both
protect the environment and address poverty alleviation.
A number of complex issues, such as tenure and rights,
and incorporation of gender and marginalized community
members (e.g., where caste systems exist) are critical
to consider with any poverty alleviation objective.
Most PES programs currently focus on
environmental protection and benefit larger, wealthier
landowners. Given the inherent links between poverty
and dependency on natural resources, designing PES
programs where the poor receive compensation for being
good stewards of natural resources is essential. PES
programs need to ensure that the poor do not lose their
rights of land, their ability to harvest products, or provide
environmental services, employment, and their control
and flexibility over local development options (Scherr,
White, and Khare 2003). Participation in PES programs
should be voluntary (e.g., not force people to resettle or
force farmers to make conservation investments) and
do no harm (e.g., damage or deny access to cultural or
religious sites or divert water to urban users) (Scherr
2003). Payments for environmental services do not have
to be in cash at the household level, but could go to
community development funds. Concerns have been
raised as to whether community funds for development
activities provide sufficient motivation to influence
individual behavior. However, there are examples of
where community based organizations, such as the
community forestry user groups in Nepal, have been
successful.
Lessons learned from current PES programs highlight the importance of such factors as low transaction
costs, monitoring, resource rights and tenure, transparency,
and equity. There is strong potential for designing and
implementing environmental service payment programs
that enable stewards of watersheds to receive payments
from national/local programs, especially where hydro-
.
Payments for Environmental Services: a Pathway out of Poverty?
229
electric facilities are involved. A review of current PES
programs suggests that watershed-based payment
programs are feasible given certain preconditions. Real
potential exists for designing and implementing PES
programs that enable stewards of watersheds to receive
payments from national and local programs, especially
those involving hydroelectric facilities. Hydropower plants
can provide a steady stream of royalties for as long as
the facility is operational, and the lifespan of a hydropower
plant (30–50 years) enables a long-term self-sustaining
program. Financial resources currently being collected
through royalties and fees could be channeled to environmental stewards who continue to adopt appropriate
land-use practices for effective watershed management.
dependency of utilities on environmental services from
watersheds, poverty alleviation becoming a national
priority in many countries in the region in response to
poverty alleviation strategies, and increasing decentralization of roles and responsibilities from national to local
governments.
For this to occur, it is necessary to bridge the gap
that currently exists between environmental stewards—
the sellers of services—and hydroelectric companies and
utilities—the buyers of such services. This bridge can
be built by identifying the services for which the payments
will be made and who is providing the services, and by
developing a “transfer mechanism” that clearly links
payments to effective watershed management. The
potential outcome is a flow of benefits that provides
incentives to upland communities and results in costeffective improved and maintained watershed management and, in turn, water for hydroelectric facilities.
These projects should be based on the following
principles:
28.8 Conclusions and future steps
Real opportunities exist to develop PES programs
particularly related to hydroelectric production and
community based natural resource management. The
rising demand for electricity and water, growing recognition of the failure of current watershed management
programs, ongoing decentralization, and increasing
focus on poverty reduction creates opportunities for the
development and implementation of PES programs.
Current programs already contain many of the critical
elements.
What is needed is designated PES programs that
work at the national and local levels to reward environmental stewards for providing recognized services. PES
projects focusing on linking hydroelectric and utilities to
watershed management can build on what is already in
occurring in the region: establishment of royalty structures
for hydroelectric utilities, growing recognition of the
230
.
To address both poverty and conservation concerns
and provide sustainable financing, these projects should
be based on the flow of funds from hydroelectric utilities
to environmental stewards for maintaining and improving
watershed management and explicitly linked to watershed management and monitoring of environmental
benefits.
(i)
Programs should be financially selfsustainable. Although external funds may be
necessary for assessment, design, and initial
implementation, the program should be costeffective and market based with clearly
identified sellers and buyers.
(ii) Transaction costs should be minimized.
(iii) Flow of funds and information should be
transparent.
(iv) Smallholders should be targeted as service
providers where appropriate.
(v) Poverty reduction activities should make
special efforts to include women and other
disadvantaged groups.
(vi) Best management practices should be locally
defined and monitored for implementation
and environmental benefits.
References
Conservation Finance Alliance. (2002). Conservation Finance
Guide. Available at http://guide.conservationfinance.org/chapter/
index.cf
GEF (Global Environment Facility). (1998). Evaluation of
Experience with Conservation Trust Funds. Monitoring and
Evaluation Team. Washington, D.C.
IIED (International Institute for Environment and Development).
(2002). Markets for Watershed Protection Services and
Improved Livelihoods. Proceedings from meeting, March 12,
2002, Mary Ward House, London.
IIED (International Institute for Environment and Development).
(2002). Markets for Watershed Protection Services and
Improved Livelihoods. Proceedings from meeting, September
24–25, 2002, Regent’s College, London.
Jenkins, M., S. J. Scherr, and M. Inbar. (2004). Scaling Up
Biodiversity Protection: Potential Role and Challenges of
Markets for Biodiversity Services. Forest Trends, Washington
D.C.
Johnson, N., A. White, and D. Perrot-Maitre. Developing Markets for Water Services from Forests: Issues and Lessons for
Innovators. Forest Trends, Washington, D.C.
Landell-Mills, N. and I. Porras. (2002). Silver Bullet or Fools’
Gold. A Global Review of Markets for Environmental Services
and Their Impact on the Poor. London: International Institute
for Environment and Development.
Landell-Mills, N., I. Powell, and A. White. (2002). Developing
Markets for the Environmental Services of Forests. Forest
Trends, Washington D.C.
Pagiola, S. (2003). “Economics Overview.” The Importance of
Forest Protected Areas to Drinking Water: Running Pure.
Edited by Nigel Dudley and Sue Solton. World Bank/WWF
Alliance for Forest Conservation and Sustainable Use. Washington, D.C.
Pagiola, S. (2004). “Environmental Services Payments in
Central America: Putting Theory into Practice.” Presented at
the “Environmental Economics for Development Policy,” Training
Course World Bank Institute, July 19–30, 2004, Washington
D.C.
Pagiola, S., A. Arcenas, and G. Platais. (2003). Ensuring that
the Poor Benefit from Payments for Environmental Services.
Proceedings from “Reconciling Rural Poverty Reduction and
Resource Conservation: Identifying Relationships and
Remedies,” International Workshop Cornell University, Ithaca,
New York.
Perrot-Maitre, D. and P. Davis. (2001). Case Studies of
Markets and Innovative Financial Mechanisms for Watershed
Services from Forests. Forest Trends, Washington D.C.
Rosales, R. (2003). Developing Pro-Poor Markets for Environmental Services in the Philippines. London: International
Institute for Environment and Development.
Scherr, S. J. (2003). “Social Overview.” The Importance of
Forest Protected Areas to Drinking Water: Running Pure. Edited
by Nigel Dudley and Sue Solton. World Bank/WWF Alliance
for Forest Conservation and Sustainable Use. Washington, D.C.
Scherr, S. J., A. White, and D. Kaimowitz. (2002). Making
Markets Work for Forest Communities. Forest Trends, Washington, D.C., and CIFOR, Bogor, Indonesia.
29. Impact Monitoring for Watershed Management
Christoph Feldkötter
Summary
Orientation towards impact has received growing
attention in international development cooperation in
recent years, as evidenced for instance by the UN
Millennium Declaration. Prompted by these developments, this paper discusses some fundamental design
aspects of a broadly applicable operational impact
monitoring system for watershed management in the
Lower Mekong Basin. The paper examines local and
external impacts and gives examples for both categories.
It concludes that operational impact monitoring for
watershed management should primarily focus on
external impact on water flow and quality measured
at the outlet point of a watershed, accompanied by
monitoring of local impact within the watershed, using
methods matched on a case by case basis to the type of
development intervention being implemented. While a
definitive set of parameters to be operationally monitored
can not be identified in this paper, it is obvious that, in
order to avoid redundancy, the establishment of an
operational impact monitoring system needs to build as
much as possible on existing efforts and experiences of
national agencies in the Lower Mekong Basin countries.
29.1 Introduction
Orientation towards impact, or management for
development results, has received growing attention in
international development cooperation in recent years,
as evidenced for instance by the UN Millennium
Declaration [1], the UN Millennium Development Goals
[2] and the related Road Map [3], and more recently the
Paris Declaration on Aid Effectiveness [4].
Prompted by these developments, this paper
discusses some fundamental design aspects of an
operational impact monitoring system for watershed
management in the Lower Mekong Basin, which could
be broadly applied in the Basin’s watersheds. Doing so,
it attempts to serve a dual purpose:
.
Impact Monitoring for Watershed Management
231
• To establish fundamental design elements of a
monitoring system to observe the impact of
interventions supported by MRC’s Watershed
Management Project.
• To contribute to creating a replicable model that
may be broadly applied in other watersheds as
well.
It is hoped that the reflections made in this paper
may in future help to establish a monitoring system and
related toolkit, elements of which local decision makers
could ultimately use to evaluate and guide their own
watershed management related interventions.
29.2 Rationale for impact monitoring
There seems to be considerable ambiguity regarding
the definition of impact and its monitoring, and definitions abound. For the purpose of this paper, we will
follow the definitions given in [5]:
• Impacts are in general terms defined as changes
in a situation brought about by an intervention.
Only those changes that obviously derive from
an intervention can be described as impacts of
that intervention.
• Impact monitoring is in general terms defined
as the collection, evaluation and documentation
of information on the impacts of an intervention
that is relevant to further steering.
In order to determine what this general definition
of “impact” would imply with regard to MRC and specifically to its work related to watershed management, a
brief look at some of MRC’s fundamental documents
seems appropriate.
“related resources” is only loosely defined in the 1995
MRC Agreement2 and the related commentary [8]. For
the purpose of this document we therefore assume that
related resources are natural resources the status or utilization of which3 :
• Impact on water flow (quantity and temporal
variation) – such as vegetation cover and its
human induced change, or
• Impact on water quality - such as land
development through industrialized agriculture
with input of fertilizers or pesticides.
This reflects the overall understanding that the
status of the watershed (or catchments) has an indirect
yet major impact on river health and thus on human
welfare depending on it.
The use of the term “mutual benefit” in the 1995
MRC Agreement (for instance in Article 1), the doctrines
of “sovereign equality and territorial integrity” (see Article
4 of the MRC Agreement and [8]), as well as the principles
of subsidiarity and decentralization/deconcentration (see
e.g., [9]) further suggest that MRC, being a trans-national
organization, would not normally involve itself in domestic
issues of its member countries, unless such issues at
least potentially created externalities of trans-boundary
nature, i.e. had an identified or to-be-expected transboundary impact on water or related resources.
These basic assumptions and premises – involvement of MRC only if clearly linked to potential externalities
of trans-boundary nature pertaining to water and related
resources – lead to a number of consequences for
watershed management as supported by the MRC:
• Watershed management obviously needs to aim
at achieving impact at the local scale – most
importantly at improving local rural livelihoods
through optimizing the use of water and related
resources. However, achieving impact at the
local scale would not in itself be sufficient to
justify a continued involvement of MRC.
Key passages from MRC’s founding document (the
1995 MRC Agreement [6], in particular articles 1, 3, and
7) and related documents (in particular the MRCS
mission1 as outlined e.g. in [7]) suggest that whichever
activities MRC involves itself in should have a clear link
to management of water and related resources. The term
2
Article 1: “...including, but not limited to irrigation, hydro-power,
navigation, flood control, fisheries, timber floating, recreation and
tourism...”
1
“To promote and coordinate sustainable management and
development of water and related resources for the countries’ mutual
benefit and the people’s well-being by implementing strategic programs
and activities and providing scientific information and policy advice.”
232
.
3
Note that water related natural resources could also be water bound
resources such as fish stocks. Such resources are however not the
immediate concern of watershed management as understood in this
paper.
• Rather, watershed management at the local
scale, besides benefiting the local population,
would be expected to have a measurable external
impact on the flow and/or quality of water leaving
the watershed, and thus to plausibly contribute
to trans-boundary management of water or
related resources, securing or even improving
livelihoods downstream.
This understanding of the need to achieve external
impact is reflected in the working definition of watershed
management as used within the context of the Watershed Management Project: “Watershed Management is
the process of people guiding and organizing water, land
and forest resource use on a watershed in order to provide
desired goods and services without adversely affecting
water, soil and vegetation resources. Embedded in this
concept is the recognition of the ecological interrelationships among land use, soil and water, and the ecological,
social and economical linkage between upstream and
downstream areas.” (e.g. [10]).
Achieving “measurable impact” in this context does
not necessarily imply an improvement of the flow and/or
quality of water, and does not even mean preservation
of their present (undisturbed) state, but could comprise
the maintenance of agreed minimum standards while
other resources in a watershed are being developed.
29.3 Conclusion: Why monitoring?
Impact monitoring is essential to give feedback
on the effectiveness of watershed management. It needs
to cover the local as well as the external impacts of
watershed management. Impact monitoring needs to
assess the impact of watershed management related
interventions in various fields (governance, institutional
development, planning, implementation) on the maintenance of watershed functions, i.e. on the provision of
desired goods and services, prominent among which
from MRC’s trans-boundary point of view is a sufficient
water flow over time with a minimum required quality [10].
29.4 Impact categories and levels - What can/should
be monitored?
This section extends the general considerations
made in the previous section, attempting to determine
the scope of impact monitoring in greater detail by
analyzing which potential impacts watershed management can have at different scales. It further analyses
which of those impacts can be monitored with generic
methods, i.e. methods applicable in every watershed and
independently of its individual characteristics, and which
require specific monitoring methods devised to match
local conditions or types of interventions. In doing so,
this section also addresses the question of where (in
geographic terms) impact monitoring needs to take place.
Our current understanding of watershed management,
in line with the principles of sustainable development,
differentiates three watershed functions that watershed
management is meant to maintain [11]:
• Ecological: Provision of sufficient water flow over
time with a minimum required quality. Provision
of other goods and services: erosion control,
soil fertility, biodiversity, clean air, carbon
sequestration.
• Economic: Provision of sufficient natural
resource products: food, fuel wood, timber,
water, fish, etc. Provision of hydraulic energy
(hydro-power). Creation of income generating
opportunities.
• Social: Maintenance of social structures.
Protection and development of knowledge and
lifestyle arrangements. Maintenance and
revitalization of cultural identity and values.
Recreational opportunities.
These three watershed functions determine the
broad observation categories within which watershed
management may have an impact. Depending on the
watershed function considered, watershed management
may further have an impact at different scales:
• Local: in the watershed itself
• External: outside the watershed
In line with the definitions of impact and impact
monitoring made in the previous section, comprehensive
impact monitoring would entail the collection, evaluation
and documentation of information on changes in any
aspect of any of the above three watershed functions at
any of the above two scales brought about by watershed management related interventions. The following
table attempts to provide an overview of the plethora of
impacts that may potentially occur depending on observation category and level considered:
.
233
SCALE
Local
OBSERVATION
CATEGORY
Changes in:
•
Provision of natural resource products/services:
food, fuel wood, timber, water, fish,
hydro-power, etc.
Income generating opportunities
•
Availability of natural resource products/
services: food, fuel wood, timber, water, fish,
hydro-power, etc.
•
•
•
•
•
•
•
Water quality (sediment, nutrient, etc. load)
Water flow (quantity and timing)
Air quality
Carbon sequestration
Erosion control
Soil fertility
Biodiversity (e.g., distribution and composition
of vegetation cover)
•
•
•
•
Water quality (sediment, nutrient, etc. load)
Water flow (quantity and timing)
Air quality
Carbon sequestration
•
Health (e.g., occurrence of water borne
diseases)
Social structure and stability (e.g. conflicts)
Recreational opportunities
•
Health (e.g., occurrence of water borne
diseases)
Social stability (especially conflicts)
Economic
•
Ecological
Social
•
•
Obviously, it will not be possible to operationally
monitor all of the above potential impacts in any given
watershed. Rather, we will need to identify those impacts
that can be monitored broadly with generic methods, i.e.
in every watershed and independently of its individual
characteristics, versus those which require specific
monitoring methods devised to match local conditions
or types of interventions.
29.4.1 Local Impact
Local impact may occur anywhere within the
watershed itself. Its monitoring in detail strongly depends
on the measures being implemented, which may greatly
differ in focus (agriculture, irrigation, forestry, etc.) and
location (uplands, lowlands), and address rather different
target groups (individual farmers, forestry enterprises,
local industries, etc.). Monitoring local impact in detail,
including for instance the design of baseline surveys
that may be required to document the status prior to an
intervention, is therefore highly specific and situationdependent, and thus requires specific monitoring
methods. In this context, monitoring costs are an important consideration that often rule out monitoring of local
impact in detail altogether.
234
External
.
•
Besides monitoring the local impact watershed
management has on specific aspects of watershed
functions, monitoring of its impact on overall poverty
alleviation is of critical importance and needs to be
addressed. This could be achieved by using local adaptations of generic poverty or poverty-environment
indicators, such as those suggested in recent World Bank
[12] or DFID [13] publications. Also, poverty data and
indicators compiled by other organizations, which are
often readily available, might be suitable. The drawback
would likely be that this approach might be too highly
aggregated in order to yield sufficiently specific “information on the impacts of an intervention that is relevant
to further steering”. It might not allow attributing changes
to interventions as required for operational impact
monitoring [14], but might rather reflect the impact of
external factors, such as changes in macro-economic
framework conditions.
For the various reasons pointed out above, an
in-depth discussion of monitoring local impact is beyond
the scope of this paper. However, the issue can and must
be taken up on a case by case basis once the focus,
location, and target groups of specific watershed
management related interventions have been deter-
mined. Also, monitoring external impact at the outlet point
of a watershed may significantly reduce requirements
for monitoring local impact in detail, as will be discussed
below.
29.4.2 External Impact
External impact occurs outside the watershed
itself. They may be geographically unspecific, occurring
anywhere outside the watershed (e.g., changes in the
availability of most natural resources products, air quality,
carbon sequestration), or may be geographically more
or less specific in the sense of being confined to downstream areas (water flow and quality). Monitoring geographically unspecific impact, although different in scope,
is subject to similar restrictions as is monitoring local
impact. Changes in the availability of natural resources
products (e.g., in markets external to the watershed, but
originating from it) could only be monitored once the
focus of specific interventions had been determined, and
would perhaps anyhow better be monitored at the point
of origin i.e. locally. Changes in public goods, such as air
quality, would in all but a few exceptional cases not be
attributable to interventions in any particular watershed.
Monitoring geographically unspecific impact is hence
difficult to operationalize, and is thus not explored any
further in this paper.
Geographically specific impact confined to downstream areas can occur in close proximity to the watershed (e.g., a change in water quality at its outlet point),
or can be a “far field” impact occurring remotely (e.g., a
change in the occurrence of water borne diseases far
downstream due to changes in water quality). In the case
of “far field” impact, the problem of its not being attributable once again prevents its operational monitoring in all
but a few exceptional cases, and normally limits its being
addressed by watershed management to plausibility
considerations.
Thus, monitoring of external impact occurring in
close proximity to the watershed is left as the immediate
focus of a generic operational impact monitoring system
for watershed management. This might appear narrow,
but occupies a crucial junction: without external impact
being measurable here, there can be no plausible
contribution to trans-boundary management of water or
related resources, and hence no impact on livelihoods
further downstream. The most obvious impacts to be
monitored are changes in water flow (quantity and
timing) and water quality (sediment, nutrient, etc. load)
at the outlet point of the watershed. Flexible and costefficient methods for such monitoring exist, which in many
parts of the world are being applied by local communities
themselves (see e.g., [15]). They will need to be adapted
to suit the conditions in remote rural watersheds of the
Lower Mekong Basin.
Note, however, that in order to allow those changes
to be attributed to interventions implemented in the
watershed, certain essential framework conditions that
influence water flow and quality need to be monitored,
as has been pointed out in numerous earlier works (e.g.,
[16], [17]). These are in particular: rainfall, land cover
changes, water abstractions (such as irrigation), development of water polluting industries (both organic4 and
anorganic5 ), and changes in amount and treatment of
human waste. In most watersheds of the Lower Mekong
Basin, only a subset of these framework conditions may
need to be monitored: in the absence of polluting industries
and large concentrations of human population, the
important framework conditions would be rainfall and land
cover changes.
The results of monitoring external impact at the
outlet point of a watershed obviously reflect the cumulative
impact of all measures taken in the watershed6 . Therefore, far reaching conclusions about local impact (i.e. the
health of the watershed itself) can be drawn from monitoring external impact, such as: if an improvement in water
quality is measured at the outlet point, there must be a
corresponding improvement in water quality within the
watershed itself. This may significantly reduce requirements for monitoring local impact in detail.
29.5 Conclusion: What can/should be monitored?
The design of a broadly applicable operational
impact monitoring system for watershed management,
in the light of current knowledge, should primarily focus
4
Organic pollution could originate e.g. from pig, poultry, or also
in-stream fish farming.
5
Anorganic pollution could include e.g. effluents from chemical or
mining industries.
6
For instance, significant reductions in the use of fertilizers could be
reflected in an improvement of water quality monitored at the outlet point.
.
235
on monitoring external impact at the outlet point of a
watershed, where changes in water flow (quantity and
timing) and water quality (sediment, nutrient, etc. load)
would need to be monitored. In addition, in order to
attribute impact to interventions implemented in the
watershed, certain essential framework conditions need
to be monitored, in particular: rainfall and land cover
changes. Such monitoring of external impact needs to
be accompanied by monitoring of local impact within the
watershed, using methods matched on a case by case
basis to the type of development intervention being
implemented.
Annex 29.1: Sources consulted
[1]
United Nations 2000: Millennium Declaration.
http://www.un.org/millennium/ Accessed April
2006.
[2]
United Nations 2000: Millennium Development
Goals http://ddp-ext.worldbank.org/ext/GMIS/
gdmis.do?siteId=2&menuId=LNAV01HOME1
Accessed April 2006.
[3]
United Nations 2001: Road map towards the
implementation of the United Nations Millennium
Declaration. http://www.un.org/documents/ga/
docs/56/a56326.pdf Accessed 24 April 2006.
[4]
Paris High-Level Forum 2005: Paris Declaration
on Aid Effectiveness. http://www1.worldbank.org/
harmonization/Paris/FINALPARISDECLARATION.
pdf Accessed April 2006.
[5]
GTZ 2004: The World of Words at GTZ.
[6]
Mekong River Commission 1995: Agreement on
the Cooperation for the Sustainable Development
of the Mekong River Basin.
[7]
Mekong River Commission 2004: MRC Work
Programme 2005. http://www.mrcmekong.org/
download/programmes/work_program_05.pdf
Accessed April 2006.
[8]
Radosevich, Dr George E. 1995: Agreement on
the Cooperation for the Sustainable Development
of the Mekong River Basin – Commentary & History.
[9]
Mekong River Commission 2006: Strategic Plan
2006 – 2010 – Draft.
[10]
Mekong River Commission, Watershed Management
Project 2006: Programme Document.
[11]
Tuyll C. 2005: What is Watershed Management
all about?
[12]
Shyamsundar P. 2002: Poverty – Environment
Indicators. World Bank, Environmental Economics
Series, Paper No. 84.
[13]
Nunan F. et al 2002: Poverty and the Environment:
Measuring the Links. A Study of Poverty-Environment
Indicators with Case Studies from Nepal, Nicaragua
29.6 Outlook
National agencies in the riparian countries of the
Lower Mekong Basin already practice monitoring with
varying degrees of intensity, in close cooperation with
the MRC whenever issues of regional relevance as
defined in the 1995 MRC Agreement [6] are concerned.
Some rules and procedures for basin-wide monitoring,
agreed between the riparian countries, are already in
place (e.g. [18]). In order to avoid redundancy, the
establishment of an operational impact monitoring
system for watershed management should obviously
build as much as possible on these existing efforts and
experiences.
A definitive set of parameters to be operationally
monitored can not be identified in this paper, but will need
to be developed through dialogue with the various
stakeholders involved – MRC itself, the government
sectors of the riparian countries, NGOs, and civil society.
Considering that the watersheds of the Lower Mekong
Basin are mostly remote rural areas, an obvious imperative
is to use appropriate monitoring technologies - well
established, cost efficient and sufficiently simple to be
used by local administrations and communities.
Additional research that can support the dialogue
on development of an operational impact monitoring
system for watershed management with scientific
evidence is ongoing, for example in the Water Utilisation
Programme, the Environment Programme, and the
Watershed Management Project of MRC.
236
.
and Uganda. DFID, Environment Policy Department,
Issue Paper No. 2.
[14]
GTZ 2004: Results-based Monitoring - Guidelines
for Technical Cooperation Projects and Programmes.
[15]
Streamwatch 2004: The Streamwatch Manual 3 rd Edition. https://www.streamwatch.org.au/
streamwatch/resources/file/eb8e114ef08485a/
StreamwatchManual.pdf Accessed 12 Feb 2006.
[16]
Thailand Development Research Institute +
Harvard Institute for International Development
1995: The Economics of Watershed Management:
A Case Study of Mae Taeng.
[17]
Walker A. 2002: Forests and Water in Northern
Thailand. Resource Management in Asia-Pacific
Program, Australian National University: Working
Paper No. 37.
[18]
MRC Water Utilisation Programme 2005: Technical
Guidelines for the Implementation of the Rules for
Water Quality.
.
237
238
.
14. Mr. Bryan Walsh, Country Director, Conservation
International, Cambodia
Appendix 1
Biodiversity Conservation Corridors Initiative (BCI)
International Symposium
27-28 April 2006, Bangkok Thailand
15. Mr. Chatri Moonstan, Senior Program Officer,
Development Cooperation, Royal Norwegian
Embassy, Thailand
16. Mr. Cheang Dany, Deputy Director, Wildlife Protection
Office, Forestry Administration, Cambodia
Participants List
1.
Ms. An Bollen, Junior Professional Officer,
Biodiversity Issues, UNEP, Thailand
2.
Mr. Anak Pattanavibool, Country Program Director,
WCS, Thailand Program, Thailand
3.
Mr. Andrew Ingles, Regional Group Head, Ecosystems
and Livelihoods, IUCN-The World Conservation
Union, Asia Regional Office, Thailand
4.
5.
6.
Mr. Andrew Tordoff, Programme Officer, BirdLife
International Asia Division, Viet Nam
Ms. Angie Woo, GMP Policy and Advocacy Coordinator,
WWF Greater Mekong Programme, Thailand
Mr. Apichai Thirathon, Senior Program Development
Specialist, USAID, Thailand
7.
Mr. Arjun Thapan, Deputy Director-General, Southeast Asia Department, ADB, Philippines
8.
Mr. Barney Long, MOSAIC Project Manager, WWF
Greater Mekong Vietnam Programme, Viet Nam
9.
Mr. Belinda Stewart-Cox, Project Director, Elephant
Conservation Network, Thailand
10. Mr. Ben Ten Brink, Climate Change, MRC Secretariat,
Lao PDR
11. Mr. Benjamin Zech, First Secretary, Royal Netherlands
Embassy, Viet Nam
12. Mr. Bi Cheng-Ying, Director of the Board,
Xishuangbanna Forest Biological Diversity
Development Co., Ltd., PRC
13. Mr. Bouaphanh Phanthavong, Deputy Chief, DFRC,
Ministry of Agriculture and Forestry, Lao PDR
17. Mr. Chen Jin, Director, Xishuangbanna Tropical
Botanical Garden, PRC
18. Mr. Chrin Sokha, Deputy Director General, Directorate
of Technical Affairs, Ministry of Environment, Cambodia
19. Mr. Christer Holtsberg, Director of SENSA, SIDA,
Thailand
20. Mr. Christoph Feldkotter, Watershed Management,
MRC Secretariat, Lao PDR
21. Mr. Christopher Holtz, Asia Grant Director, Critical
Ecosystem Partnership Fund, USA
22. Mr. Christopher R. Shepherd, Regional Programme
Officer, TRAFFIC Southeast Asia, Malaysia
23. Mr. Chu Ngoc Quan, Senior Officer of Natural
Conservation Division, FPD, Ministry of Agriculture
and Rural Development, Viet Nam
24. Mr. Chuon Chanrithy, Director, Ministry of Environment,
Cambodia
25. Mr. Cornie Huizenga, Head of Secretariat, Clean Air
Initiative for Asian Cities, Philippines
26. Mr. David McCauley, Senior Environment Economist,
ADB, Philippines
27. Mr. David Westcott, Senior Research Scientist,
CSIRO, Sustainable Ecosystems, Australia
28. Mr. Dechavut Sethapun, Technical Forest Officer,
National Park Research Division, DNP, Thailand
29. Mr. Diep Thanh Phong, Director, Forest Protection
Department, Viet Nam
30. Mr. Dietrich Schmidt-Vogt, Associate Professor,
Asian Institute of Technology, Thailand
.
Appendix 1
239
31. Mr. Dinh Xuan Hung, Senior Officer, ICD, Ministry
of Natural Resources and Environment, Viet Nam
49. Ms. Kanisara Chetbandit, Technical Forest official,
DNP, Protected Area Management Regional Office
3, Thailand
32. Mr. Emmanuel D’Silva, Visiting Scientist, ICRISAT,
India
50. Ms. Karin Bjerner, SENSA Representative, Thailand
33. Mr. Eric Coull, Program Director, WWF Greater
Mekong Program, Viet Nam
51. Ms. Katherine Warner, Country Group Head, IUCN
Colombo, Sri Lanka
34. Mr. Ernst Kuester, Chief Technical Advisor, Viet Nam
52. Mr. Keith Syers, Professor, Mae Fah Luang
University (MFLU), Thailand
35. Mr. Ewald Rametsteiner, IIASA, A-2361 Laxenburg,
Austria
36. Mr. Frank Murray, Assoc Professor, Murdoch University,
School of Environmental Science, Australia
53. Mr. Kent Jingfors, Regional Programme Coordinator,
IUCN-The World Conservation Union, Asia Regional
Office, Thailand
37. Mr. Goeran Axberg Nilsson, Senior Research Fellow,
Stockholm Environment Institite, Sweden
54. Ms. Keobang A. Keola, Deputy Director General of
Cabinet, Department of STEA, Prime Minister’s
Office, Lao PDR
38. Mr. Hans Guttman, Environment Programme
Coordinator, Mekong River Commission, Lao PDR
55. Mr. Khamphay Luanglath, Director, Xepain National
Protected Area, Forestry Division, Lao PDR
39. Mr. Henry Voigt, Senior Advisor, Yunnan Provincial
Environmental Protection Bureau, PRC
56. Ms. Lai Thi Thu Ha, Expert, Foreign Economic Relations
Dept., Ministry of Planning and Investment, Viet Nam
40. Ms. Htwe Nyo Nyo, Deputy Director, NCEA, Ministry
of Forestry, Myanmar
57. Mr. Lasse Nymoen, Counsellor, Development
Cooperation, Royal Norwegian Embassy, Thailand
41. Ms. Huynh Thi Mai, Senior Expert, Department of
Environment, MONRE, Viet Nam
58. Mr. Le Minh Tue, Expert, Management Board for
Forestry Projects (MARD), Viet Nam
42. Mr. Iran Ruzicka, ADB, Philippines
59. Ms. Lei Ji, Financial Specialist, Xishuangbanna
Forest Biological Diversity Development Co., Ltd.,
PRC
43. Mr. Javed Hussain Mir, Senior Natural Resources
Officer, ADB, Philippines
44. Mr. Jim Peters, Chief of Party, Winrock International
/ USAID, Viet Nam
45. Ms. Jing Guo, Interpreter, Xishuangbanna Forest
Biological Diversity Development Co., Ltd., PRC
46. Mr. Joe Heffernan, Senior Conservation Biologist,
Fauna and Flora International, Cambodia
60. Ms. Malee Hutacharoen, DEQP, Ministry of Natural
Resources and Environment, Thailand
61. Mr. Marc Goichot, IRBM Coordinator, WWF Greater
Mekong Program, Lao PDR
62. Mr. Maria Berlekom, Programme Coordinator, Swedish
International Biodiversity Program, SwedBio, Sweden
47. Mr. Jose Padilla, Consultant, ADB, Philippines
63. Mr. Mark Kasman, Senior Development Advisor,
Environmental Protection Agency, USA
48. Mr. Josef Margraf, Scientific Adviser, TianZi
Biodiversity Research and Development Center,
PRC
64. Mr. Mark Treacy, Country Director, Fauna and Flora
International, Cambodia
240
.
65. Mr. Markku Kanninen, Director, Environmental Services
and Sustainable Use of Forests, CIFOR, Indonesia
83. Ms. Piyanut Luekhuntod, Ministry of Natural
66. Mr. Marko Keskinen, Socio-Economist, Helsinki
University of Technology / WUP-FIN Project, Finland
84. Mr. Ranjith Mahindapala, Deputy Regional
Programme Coordinator, IUCN-The World Conservation
Union, Asia Regional Office, Thailand
67. Ms. Maureen Decoursey, Deputy Chief of Party,
Winrock International, Viet Nam
68. Ms. Michelle Owen, Assistant Fundraiser, WildAid,
Phnom Penh, Cambodia
69. Ms. Monthip Tabucanon, Deputy Permanent Secretary,
Ministry of Natural Resources and Environment,
Thailand
70. Mr. Nguyen Luong Bach, Lecturer and Program
Manager, Mae Fah Luang University, Thailand
71. Mr. Nguyen Ngoc Dung, Vice Director, Department
of Natural Resources and Environment, Viet Nam
72. Ms. Nguyen Thi Kim Oanh, Associate Professor, AIT,
Thailand
85. Mr. Robert Mather, Thailand Country Programe,
WWF Greater Mekong Programme, Thailand
86. Mr. Roland Eve, Country Director, WWF Program,
Lao PDR
87. Mr. Ronasit Maneesai, Research Forester, Division
of Wild Fauna and Flora Protection, National Park,
Thailand
88. Mr. Sangmin Nam, UNESCAP, Rajadamnern Nok
Avenue, Thailand
89. Ms. Sango Mahanty, Regional Analysis and Representation, Regional Community Forestry Training Centre
for Asia and the Pacific, Kasetsart University, Thailand
90. Mr. Satya Priya, General Manager (GIS), RMSI, India
73. Mr. Nguyen Van Tai, Deputy Director General,
Department of Environment, MONRE, Viet Nam
91. Mr. Saw Eh Dah, Director, Forest Department,
Ministry of Forestry, Myanmar
74. Ms. Nirawan Pipitsombut, ONEP, MONRE, Thailand
92. Ms. Solos Khankhrua, DEQO, MONRE, Thailand
75. Ms. Nisakorn Kositrana, Secretary-General, ONEP,
MONRE, Thailand
76. Mr. Okitsuga Fujiwara, Advisor to the President, Mae
Fah Luang University, Thailand
77. Mr. Ouk Kimsan, Program Manager, CI, Central
Cardamom Protected Forest Conservation Program,
Cambodia
78. Mr. Paul Rogers, Senior Advisor Pro-poor Sustainable
Tourism & Ecotourism, SNV (Netherlands Development
Organisation), Lao PDR
93. Ms. Song Xiaozhi, Deputy Director General, Foreign
Economic Cooperation Office, SEPA, PRC
94. Mr. Songtam Suksawang, Director, National Park
Research Division, Thailand
95. Ms. Sulma Warne, Programme Coordinator, TRAFFIC
South East Asia – Indochina, Viet Nam
96. Mr. Sura Pattanikiat, Mahidol University, Thailand
97. Ms. Suwanna Guantlett, Country Director, WildAid,
Cambodia
79. Mr. Paul Steele, Environmental Economist, Sri Lanka
80. Mr. Peter John Meyneh, MWBP, Viet Nam
98. Mr. Sy Ramony, Chief of National Park and Wildlife
Sanctuary Office, Ministry of Environment, Cambodia
81. Mr. Peter Noel King, Senior Policy Advisor, Institute
for Global Environmental Strategies, Japan
99. Mr. Tan Liang, Division Director, Planning and
Finance Division, PRC
82. Ms. Piyachart Pradubraj, USAID, Thailand
100.Mr. Tariq Banuri, Director, SEI, Thailand
.
Appendix 1
241
101.Mr. Teak Seng, Country Director, WWF Cambodia
102.Mr. Tim Redford, Director, Surviving Together
Program, WildAid Foundation, Thailand
103.Mr. Tom Clements, Technical Advisor, Wildlife
Conservation Society (WCS), Cambodia
120.Mr. Xayaveth Vixay, Deputy Director General,
Department of STEA, Prime Minister’s Office, Lao PDR
121.Mr. Yang Yun, Chief, Department of Nature Conservation, PRC
122.Mr. Ye-Qiang Fan, General Manager, Xishuangbanna
Forest Bilogical Diversity Development Co., Ltd., PRC
104.Ms. Tran Thanh Hien, Officer, State Bank of Viet Nam
105.Ms. Udomlak Sritusnee, Senior Environmental
Officer, DEQP, MONRE, Thailand
106.Mr. Udomphan Indrayodha, Forest Official 7, DNP,
Thailand
107.Mr. Ulrich Apel, Consultant, PRC
108.Mr. Urooj Malik, Director, Agriculture, Natural
Resources and Environment Division, ADB, Philippines
109.Mr. Usman Ali Iftikhar, Coordinator Regional
Environmental Economics Programme Asia, IUCN
- The World Conservation Union, Colombo, Sri Lanka
110. Ms. Vanthakone Dejvongsa, Technical Officer,
Department of STEA, Lao PDR
111. Mr. H.E. Vutha Tan, Ministry of Environment, Cambodia
112. Mr. Wang Jie, Assistant Professor, Department of
International Cooperation, SEPA, PRC
113. Mr. Wang Xin, Deputy Division Director, Foreign
Economic Cooperation Office (FECO, SEPA), PRC
114. Mr. Wanlop Preechamart, Environmental Officer,
ONEP, MONRE, Thailand
115. Ms. Wantanee Petchampai, Ministry of Natural
116. Mr. Warasak Phoangcharoen, Environmental Official,
ONEP, MONRE, Thailand
117. Mr. Weerasak Siangwan, DNP, Phaholyothin Road,
Thailand
118. Mr. William Schaedla, Deputy Chief of Party ASEANWEN Support Project, WildAid Foundation,Thailand
119. Mr. Winston Bowman, Director, Regional environment
Office, USAID, Regional Development Mission,
Thailand
242
.
123.Mr. Yongyut Trisurat, Faculty of Forestry, Kasetsart
University, Thailand
124.Ms. Yuwaree In-na, Environmental Affairs Officer,
UNEP Regional Office for Asia and the Pacific, Thailand
125.Mr. Zakir Hussain, Director, Constituency, IUCN-The
World Conservation Union, Asia Regional Office,
Thailand
126.Mr. Zhou Bo, Division Chief, Foreign Techno Economic
Cooperation Division, PRC
127.Mr. Zhu Hua, Director of Herbarium, Xishuangbanna
Tropical Botanical Garden, PRC
128.Mr. Zuo Ting, Professor, China Agricultural University,
College of Humanities and Development, PRC

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