Higharcs Project Title

Project Acronym: HighARCS

Project Title: Highland Aquatic Resources Conservation and Sustainable Development

Deliverable 3.2

Title: An introduction to the HighARCS Integrated Action Plans, with a conservation perspective

Date: 29th May 2012

Revision: Final

Lead beneficiary for the Deliverable: IUCN

Dissemination Level: PU

Contents 1. Introduction ...... 3 2. DPSIR category definitions ...... 5 3. Site Integrated Action Plans (IAPs) ...... 7 3.1 Beijiang River, China...... 7 3.2 Phu Yen, Son La, Viet Nam ...... 14 3.3 Dakrong, Quang Tri, Viet Nam ...... 18 3.4 Buxa, West Bengal, India ...... 22 3.5 Nainital, Uttrakhand, India ...... 26 4. References ...... 31

1. Introduction

This report (Deliverable 3.2) is an introduction focused on the conservation aspects, for the Integrated Action Plans (IAPs) produced by the HighARCS project for the 5 sites (see Annexes 1 to 5) for the full IAP documents). In conjunction with this conservation focused report there are two additional reports that provide a similar assessment of the IAPs but with a livelihoods (D4.2) and a policy (D5.3) perspective. There will also be an additional synthesis report (D4.3) that provides an interdisciplinary assessment of the IAPs, by comparing and contrasting the outcomes of the individual disciplinary assessments.

In this report each of the project sites IAP will be discussed separately, and will use a Driving Force, Pressures, State, Impacts and Response (DPSIR) framework as defined by Maxim et al. (2009) to present the relevant issues and proposed actions. This methodology has been chosen as the DPSIR framework is regarded as casual framework used to describe the interactions between society and the environment (EEA 2010) in a policy meaningful way (Maxim et al. 2009). It is also widely accepted and commonly used for interdisciplinary indicator development (Svarstad et al. 2008), making it a useful methodological tool to help the identification and development of indicators for the HighARCS project.

Due to the huge complexity in natural systems the DPSIR framework adopted (Figure 1) does not make connections between individual issues across the categories (D,P,S,I and R), nor is it a linear relationship between the categories. For example, a single Driving Force may lead to a number of Pressures, State conditions and Impacts, and societies Response can be targeted at one or more these categories.

While the strengths of a DPSIR framework as a communication tool are widely accepted, it has been identified as inappropriate analytical tool. To address this, Maxim et al. (2009) have reframed the DPSIR based on the interfaces between the ‘four spheres of sustainability’ (environmental, economic, social, and political) (Table 1), for application in integrative analysis of relationships between policy, society, economy and the environment (in their case specifically biodiversity) (Maxim et al. 2009). By using this model we hope to be able to use the DPSIR tables as more than just a communication tool and also as an analytical tool (in this document but primarily in the synthesis report) to help identify gaps and possible conflicts created through the IAPs (the ‘Responses’).

Drivers

Pressures Responses

State

Impact

Figure 1. Driving forces, Pressures, State, Impacts, Response (DPSIR) framework.

Table 1. The interfaces between the ‘four spheres of sustainability’ and the association of the DPSIR categories (Taken from Maxim et al. 2009). See Section 2 for more information on the DPSIR definitions.

Four spheres of Social Economic Environmental Political sustainability Social Driving Force Economic Driving Force Driving Force Environmental Impacts Pressures State Political Response Response Response Driving Force

There is criticism of the DPSIR framework that when applied to biodiversity, the framework favours a preservationist approach, neglecting non‐conservation positions due to ‘the lack, so far, of efforts to find a satisfactory way of dealing with the multiple attitudes and definitions of issues by stakeholders’ (Svarstad et al. 2008). This is addressed in the HighARCS project through the integrated approach incorporating different disciplines (conservation, livelihoods, policy) in the planning and application of the research, and through engagement with a wide range of stakeholders at each site so that the views and opinions have been reflected in the identification of, and the relationships between, the Driving Forces, Pressures, State, Impacts, and Responses. However, as noted above, this report is focusing on the conservation aspects of the IAPs and should not be read in isolation from the Livelihoods and Policy reports or the synthesis report. These reports will allow policy makers at the sites to better understand the environmental problems facing the communities and the environment that they depend upon but also how the HighARCS project is working with stakeholders to address specific issues.

The HighARCS project is adopting an integrated methodology as defined by the IUCN Integrated Wetland Assessment Toolkit (Springate‐Baginsky et al. 2009), to undertake the situation analysis and assessment at the sites. However, what the toolkit does not provide is specific methodologies on how to present, critically analyse, monitor and evaluate any actions proposed. Therefore the tools used in this report (DPSIR tables) and those in the forthcoming IAP Monitoring and Evaluation Reports (D6.1, 7.1 & 8.1) will feed directly in to the next version of the IUCN IWA Toolkit.

In the following section (section 2) the DPSIR categories and definitions used in this report are stated and discussed. Section 3 summarises, with a conservation perspective, the IAPs from each site separately using the DPSIR framework to provide a clear communication of the actions being proposed and a simple analysis to highlight strengths and potential gaps within each IAP.

2. DPSIR category definitions

Driving Forces (Defined by the interfaces between the political‐social; political‐economic; political‐ environmental spheres of sustainability, see Table 1). For this report, Driving Forces are ‘changes in the social, economic and institutional systems (and/or their relationships) which are triggering, directly and indirectly Pressures’ (Maxim et al. 2009). As with most DPSIR literature (Maxim et al. 2009), only anthropogenic factors (manifested in political, social and economic factors) are included as Driving Forces. The Millennium Ecosystem Assessment defined drivers of ecosystem change as ‘any natural or human‐induced factor that directly or indirectly causes a change in an ecosystem’ (MEA 2003) but this seems to encompass both Driving Forces and Pressures (Maxim et al. 2009).

Pressures (Defined by economic‐environmental interface, see Table 1). In this report Pressures are defined as ‘consequences of human activities (i.e. release of chemicals, use of resources) which have the potential to cause or contribute to adverse effects (Impacts)’ (Maxim et al. 2009). Note that only pressures that cause negative changes to the environment are included. However, it is difficult to be certain (based on evidence) when a human activity becomes a Pressure (stressor of the environment). In this study, as with many (Maxim et al. 2009), the scientific evidence of a cause effect relationship between anthropogenic factors and changes in the environment is minimal, and therefore the identification of stressors and whether it has a negative impact is largely based on societal opinion and value systems, i.e. on the views of the stakeholders at each site, including the field research teams.

State (Defined by environmental sphere, see Table 1). State is defined as ‘the quantity of biological features (within species, between species, and between ecosystems) or physical and chemical features of ecosystems, and/or of environmental functions [i.e. ecosystem services] vulnerable to pressures’ (Maxim et al. 2009). Due to the complexity of natural systems all aspects that are vulnerable to Pressures can not be measured or even identified, and therefore indicators are often chosen to represent certain aspects or characteristics. The term ‘quality’ (along with quantity) is often applied within the definition of State, but Maxim (2009) does not include it as the term suppose a comparative judgement with a given threshold considered sustainable. State has also been used to refer to natural and socio‐economic systems for example levels of employment or income of an industry (Rogers & Greenaway 2005), and the MEA (2005) adopted the concept of ecosystem services to assess the magnitude and status of benefits derived by people from ecosystems. This report, which is focusing on conservation will define State as a natural phenomena, the other IAP introductory reports (livelihoods and policy) will focus upon the socio‐economic aspects, allowing for the synthesis report to asses State at the biological, socio‐economic and environmental functions level.

Impacts (Defined by the environmental‐social interface, see Table 1). Impacts are defined as ‘changes in the environmental functions, affecting (negatively) the social economic and environmental dimensions, and which are caused by changes in the State’ (Maxim et al. 2009). The notion of Impacts and their targets can vary depending upon the discipline (e.g. biological effects upon species populations, or socio‐economic effects upon resource provision or human health) and are usually negative in the sense that they adversely affect ecosystem functioning (Maxim et al. 2009). Maxim et al. (2009) note that it is important to expand the concept of ecosystem function beyond those that are directly linked to human

5 use. As this report is focused upon the conservation aspects, we will be focusing on the biological (and abiotic) effects, that may lead to changes in ecosystem function. However, the other IAP introductory reports (livelihoods and policy) will focus upon the socio‐economic aspects, and they will be brought together within the synthesis report to provide a comprehensive environmental function assessment of the Impacts.

Responses (Defined by political‐social, political‐economic, political‐environmental interfaces, see Table 1). Responses are ‘policy actions, initiated by institutions, or groups (politicians, managers, consensus groups etc.) which is directly or indirectly triggered by (the societal perceptions of) Impacts and which attempts to prevent, eliminate, compensate, reduce or adapt to them and their consequences’ (Maxim et al. 2009). Responses can be targeted at any of the other categories within the DPSIR framework, for example policies may tighten planning legislation (Driving Force), improve mining operation waste water standards (Pressure), start the oxygenation of eutrophic lakes (State), or increase water purification for human use (Impacts). Therefore within the HighARCS project, the Responses are the proposed actions identified within the IAPs to be undertaken by the HighARCS project and by other stakeholders, some of which are independent of the HighARCS project (e.g. changes in government policy, or increased enforcement of fishing regulations).

3. Site Integrated Action Plans (IAPs) The DPSIR framework for each site has been populated with information provided by the IAP reports (see Annex) and the individual research reports on biodiversity and ecosystem services, livelihoods, and policy. This report is focusing on the conservation aspects of the IAPs, therefore any actions proposed in the IAPs not directly related to conservation have not been included (these issues will be covered in the other IAP introduction reports).

3.1 Beijiang River, China The Beijiang IAP (see Annex 1) is built upon the multi‐disciplinary research undertaken at the site, including the identification of biodiversity present in, and ecosystem services provided by, aquatic systems at the site (Shiming et al. 2011), livelihoods of the communities dependant upon aquatic resources (Yiming et al. 2010) and the identification of the institutions, policy and conflicts that relate to aquatic resource use (Baoguo et al. 2011). The formulation of the IAP, was a three stage process. Firstly the separate disciplinary research teams (e.g. fisheries, ecology, economic, law) formulated preliminary actions that targeted the problems identified through the research. The preliminary actions were then analysed by multi‐disciplinary groups and were combined and developed. Those actions that were beyond the timeframe and resources of the HighARCS project were also identified. In addition current ongoing actions that addressed the same problems and issues identified by the HighARCS research were included to provide an holistic picture and to help guide which actions should be taken forward through the project. The second step involved meetings with relevant stakeholders and potential implementation bodies to further develop actions and get feedback upon their feasibility and potential indicators. Finally, each preliminary action was reviewed again by multidisciplinary research teams in view of the results from the stakeholder engagement.

The Beijiang IAP findings and proposed actions related to conservation are summarised and presented in the DPSIR framework (Figure 2). It shows that the key ‘drivers’ behind threats to biodiversity at the site are the rapid growth in population, industry and economy which is creating increasing demand for natural resources. These drivers in turn are creating many ‘pressures’, in particular dam construction, sand mining, industrial and agricultural water pollution, increased shipping volume and over harvesting of fish that are affecting various natural ‘states’ at the site; natural flow regimes of the river, aquatic biodiversity and habitats, water chemical content, and species migratory routes. This is leading to various ‘impacts’ to biodiversity and the natural environment in the Beijiang River at the site, in particular loss of migratory species, declining fish populations, loss of aquatic habitats and an increase in non‐native invasive species (which is itself a pressure).

The ‘responses’ (actions) proposed within the IAP are diverse in their time frames, targets and implementers. In terms of time frames, the responses are divided into three categories: Current actions – currently being undertaken, mostly by government bodies and other stakeholders; Short‐term actions – aim to be undertaken and completed in the short term (around 2 years) within the HighARCS project time frame and will be led or significantly contributed to by the HighARCS project; Long‐term actions – beyond the scope of the HighARCS project and are unlikely to be undertaken or completed within 2 years, but will be communicated and recommended by the HighARCS project to the relevant decision making and implementing bodies.

Drivers (D) Responses (Primary target group)* Population, economic and industrial growth in Shaoguan Province, particularly in urban areas has led to increasing Current actions demand for: R1.1. Development Strategy for Shaoguan assigned as D1. Water for human and agricultural use “Ecological Development Zone” (P) D2. Electricity R1.2. Forest cover in Shaoguan better protected and D3. Flood control expanded (S) D4. Food (agricultural, aquaculture) for subsistence use R1.3. Setting up Aquatic Conservation Zone office (P/S/I) and markets (including international). R1.4. Improved regulations regarding water pollution (P) D5. Construction building materials R1.5. Improved access to & maintenance of biogas tanks D6. Industrial production (P) D7. International trade R1.6. Increased numbers of fish fry release (S/I) R1.7. Continued moratorium on fish cage culture (P). R1.8. Adherence to regulations requiring environmental Pressures (P) impact assessment for sand mining improved and P1. Construction of dams along the Beijiang river (485 increased fines for illegal sand mining (P) within Shoaguan Province). P2. Non‐native invasive aquatic species proliferation (from New actions (short term) aquaculture and international shipping traffic), in R2.1. Compensation received from sand mining and particular apple snail, water hyacinth and common carp. hydropower to be used for conservation of aquatic P3. Draining of wetlands for change of land use resources (S/I) P4. Increased levels of agricultural and rural domestic R2.2. Implementation and monitoring of no fishing season waste water entering the river (P) P5. Pyrite and other industrial effluents entering the river R2.3. Improved reporting of iron polluting incidents to P6. Industrial scale sand mining from the river bed and Bureau of Environment Protection (P) banks R2.4. Reduction of agricultural pollution through location P7. Increased levels of aquatic resource harvesting and of new farms away from river, construction of water use of destructive fishing practices (electricity etc) treatment for farms close to river (P) P8. Proliferation of ‘net cage’ fisheries in the Beijiang river R2.5. Development of improved eucalyptus forest strategy P9. Increased water traffic/transport pollution (S) R2.6. Improved education on aquatic biodiversity and resources for all stakeholders (P) State (S) S1. Flow regimes (amount and timing of water flow) New actions (long term) S2. Sediment load in river water R3.1. Research into aquatic plant and animal cultivation S3. Species migratory routes and release/establishment, and fish migration routes S4. Aquatic biodiversity populations and habitats through dams (S/I) (particularly native fish, mollusc, plant species R3.2. Move to ‘green’ and ‘organic’ agricultural food populations) production (P) S5. Chemical content (pollution) levels in water R3.3. Extend public sanitary facilities to rural areas (P) R3.4. Improved support from Guangdong Province for the eco‐compensation program (S/I) R3.5. Close loop hole in the “2002 Law of the People's Republic of China on Evaluation of Environmental Effects” that allows builders to begin work before an EIA is undertaken, and to include species on the “Law of the People’s Republic of China on the Protection of Wild Life” that are not officially ‘endangered’ or ‘rare’. (P/S/I)

Impacts (I) I1. Declining native fish species populations (particularly apparent for harvested species) and other aquatic biodiversity I2. Loss of species from area requiring migrations (e.g. marbled eel Anguilla marmorata) I3. Water quality declining due to agricultural (pesticides and fertilisers), industrial (pyrite etc.) and domestic (urban waste water) pollution particularly at the Kengkou site which is downstream of Shaoguan City I4. Increasing levels of non‐native species populations (particular apple snail, water hyacinth and common carp) I5. Declining amount and variability of aquatic habitats available for biodiversity. Including river bed/banks, seasonal flow changes, diversity of stream flows etc. Figure 2. Driving forces, Pressures, State, Impacts, Response (DPSIR) framework for the IAP for Beijiang River. *Some of the Responses have been reworded (compared to the IAP) to better reflect their content. 8

All of the current actions are implemented by regional government departments and have little involvement/input from the HighARCS project. One of the key current actions relevant for conservation at the site is response R1.4 Improved regulations regarding water pollution which is implemented by The Shaoguan Bureau of Environment Protection (with co‐operation with Dabao Shan Mining Cooperation and other factories). This action involves the closing of small scale heavy polluting industries (e.g. iron and steel production factories), selection of less polluting industries for development, and improving waste water treatment capacity of the Shaoguan (zinc) Smelter. However, heavy pollution from iron ore mining and transportation still exists in the Bejiang River at the site and the Shaoguan Bureau of Environment Protection are developing new plans to prevent and treat heavy metal pollution from Shaoguan. Another key current action is response R1.3 Setting up Aquatic Conservation Zone office, which aims to develop a specific office (team) to administer and monitor the 9 aquatic resource protection zones that currently exist in the Beijiang River within Shaoguan. Currently the zones have no specific officer, and are assigned under the Guangdong Provincial Fishing Monitory Team who do not have time or resources to administer these zones, which has led to illegal activities such as sand mining occurring within them. Response R1.6 Increased numbers of fish fry release, also has significant implications for the conservation of biodiversity within the Beijiang river at the site with up to 100 thousand fish fry released each year. While the primary focus of the fish fry release is the population increase of native fishery species (mostly carps), this programme (or its predecessors) is also, at least historically, responsible for the introduction of some non‐native invasive fish species (e.g. Cyprinus carpio) into this section of the Beijiang River (a key Pressure at the site). The programme is aiming to double in the next two years and stock more high value species (Shiming et al. 2011). This programme also provides an opportunity in the future to target those species of conservation concern (and not just fishery species).

The actions that involve significant input from the HighARCS project and are key for conservation at the site are the ‘New ‐ short term’ actions. Response R2.1 Compensation received from sand mining and hydropower to be used for conservation of aquatic resources involves the HighARCS project proposing a motion for the Guangdong People’s Political Consultative Conference to set a financial standard for the compensation scheme that collects money from mining and hydropower developments and using these funds for aquatic resources conservation and protection. Currently there is no set financial standard and the money that is raised is not ring fenced for conservation activities. Response R2.2 Implementation and monitoring of no fishing season will involve the HighARCS project working with the Shaoguan Fishery Monitory Team to develop an education and information strategy to inform fishermen of the legal requirements (and reasons for them) of the no‐fishing season, the aim of this action is to allow some of the over‐harvested fish populations to recover. For Response R2.3 Improved reporting of iron polluting incidents the HighARCS team will, within the following 12 months, undertake chemical tests at various sites known to be sources of iron pollution and report the results to the Kengkou Township Government and Shaoguan Bureau of Environment who are responsible for the legal enforcement regarding this type of pollution. Under Response R2.4 Reduction of agricultural pollution the HighARCS project will advise the Shaoguan Agriculture Bureau to deliver education programmes and information material to farmers with the aim of changing faming practices to reduce the amount of agricultural fertilizers used (this is linked to the long term Response 3.2 Move to ‘green’ and ‘organic’ agricultural food production). The HighARCS project will also act in an advisory capacity to the Shaoguan Forestry Bureau in response R2.5 Development of improved eucalyptus forest strategy in the development of the 9 forestry strategy, with the aim of reducing the loss of native forest species and pollution of waterways (through conversion to eucalyptus forest). Finally in the ‘New ‐ short term’ actions Response R2.6 Improved education on aquatic biodiversity and resources for all stakeholders the HighARCS project aims to produce educational and information material in co‐operation with many of the Shaoguan government departments, for various stakeholders through public media, and targeted workshops for individual stakeholder groups. The aim is to increase awareness of many issues identified through this project (e.g. what are ecosystem services and how people rely upon them and affect them) and therefore changing the behaviour of the public and stakeholder groups to help ensure that aquatic resources are sustainably used and conserved.

For the ‘New ‐ long term’ actions, most of the implementation does not involve the HighARCS project, but the South China Agricultural University (SCAU ‐ the HighARCS project lead organisation for the Beijiang site) will, where appropriate, work with implementing bodies once the HighARCS project is finished through their ongoing responsibilities, relationships and research. The actions that have significant implications to the conservation of aquatic biodiversity in the Beijiang River are Response R3.1 Research into aquatic plant and animal cultivation and release/establishment, and fish migration routes through dams; Response R3.4 Improved support from Guangdong Province for the eco‐ compensation program; and Response R3.5 Close loop hole in the “2002 Law … on Evaluation of Environmental Effects” and to include species that are not officially ‘endangered’ or ‘rare’ on the “Law… on the Protection of Wild Life”. SCAU along with government research bodies will be implementing the research under Response R3.1, aiming to re‐establish aquatic plant communities and restore suitable habitats including passage of migratory species through dams to support re‐introduction of rare and declining species. Response R3.4 states that as Shaoguan is now designated as an ‘ecological development zone’ it is hoped that through the current 5 year development plan (2011‐2015) the Guangdong Provincial Government and Guangdong People’s Congress will provide Shaoguan local government with more funds to support conservation and sustainable use (this is linked to R1.1). Finally for Response R3.5, two laws related to aquatic resources need strengthening and will be addressed by the National People’s Congress, a loop hole regarding the requirement of environmental impact assessments under the “The Law of the People's Republic of China on Evaluation of Environmental Effects” (2002) needs closing, and a mechanism to include species that are important for livelihoods on the “Law of the People’s Republic of China on the Protection of Wild Life” that are not officially listed as endangered or rare is needed.

In terms of the DPSI targets of the actions proposed, the only category not targeted is the drivers. This is expected as the scale of the drivers at the site are national and international, and therefore only macro scale responses, such as national policies and international events, can address the increasing demand for natural resources. Such actions are beyond the scope of the HighARCS project. The majority of the actions (13 of 19) target pressures whereas fewer than half of the actions target state (8 of 19) or impacts (6 of 19). As noted in the introduction, one to one relationships between individual issues within DPSIR categories do not reflect the complex relationships within natural systems. However the primary individual issues targeted by responses (actions) can be identified. For example, the response R2.3 Improved reporting of iron polluting incidents to Bureau of Environment Protection primary target is pressure P5 Pyrite and other industrial effluents …. entering the river. Therefore through the use of a

10 simple matrix (Table 2), the responses can be assessed against the separate issues within the pressures, state and impacts, to try and identify strengths and weaknesses within the IAP.

Table 2. Matrix showing the primary targets of each response (action) proposed in the Beijiang IAP. See Figure 2 for the description for each Driver, Pressure, State, Impacts and Response.

DRIVERS PRESSURES STATE IMPACTS RESPONSES 1 to 7 1 2 3 4 5 6 7 8 9 1 2 3 4 5 1 2 3 4 5 1.1 X X 1.2 X X 1.3 X X X X X 1.4 X 1.5 X 1.6 X X 1.7 X

CURRENT 1.8 X

2.1 X X X

2.2 X TERM 2.3 X 2.4 X SHORT ‐ 2.5 X X

NEW 2.6 X

3.1 X X X TERM 3.2 X 3.3 X LONG ‐ 3.4 X X X

NEW 3.5 X X X X X

TOTAL 0 0 0 1 4 3 4 3 1 0 1 2 0 6 1 6 2 0 0 3

The matrix shows that a number of issues are targeted by more than one response, for example P4 Increased levels of agricultural and rural domestic waste water entering the river is targeted by responses; R1.5 Improved access to and maintenance of biogas; R2.4 Reduction of agricultural pollution through location of new farms away from river, construction of water treatment for farms close to river; R3.2 Move to ‘green’ and ‘organic’ agricultural food production; and R3.3 Extend public sanitary facilities to rural areas. Many actions targeted at an issue do not necessarily guarantee a more successful outcome than a single action, but it may reflect the stakeholders perception of the seriousness or magnitude of the issue and/or the complexity of the issue requiring a number of separate actions. Those issues that are of a conservation concern and have that the greatest number (four or more) of responses targeted at them are; P4 Increased levels of agricultural and rural domestic waste water entering the river; P6 Industrial scale sand mining from the river bed and banks; S4 Aquatic biodiversity populations and habitats (particularly native fish, mollusc, plant species populations); I1 Declining native fish species populations (particularly apparent for harvested species) and other aquatic biodiversity.

The matrix also shows that there are six issues that have no (zero) responses primarily targeted at them. These are P1 Construction of dams along the Beijiang river; P2 Non‐native invasive aquatic species proliferation; P9 Increased water traffic/transport pollution; I3 Water quality declining due to agricultural, industrial and domestic pollution; and I4 Increasing levels of non‐native species populations (particular apple snail, water hyacinth and common carp). This does not mean that these issues are not being dealt with in the IAP, as discussed above issues are linked between different DPSIR categories and targeting it at the ‘impact’ (or indeed any one DPSI) stage may not be the most efficient or cost effective way of tackling a specific problem. Choosing at what DPSI stage to target a response at a problem is key to its success. This is relevant in the case of impact I3 Water quality declining due to agricultural, industrial and domestic pollution which has no actions primarily targeting it (there are no actions proposed to clean the river water which would be expensive and a continuous exercise), however there are a number of actions targeted at the related (linked) issue pressure P4 Increased levels of agricultural and rural domestic waste water entering the river, which if successful will reduce I3, and is a more efficient and long term solution. Also for P1 Construction of dams along the Beijiang river, dealing with this issue in conservation terms at the pressure stage (e.g. dam removal) is politically difficult, expensive and would have major impacts to the economy, therefore targeting this pressures related impacts may be more realistic, and in the Beijiang IAP response R3.1 Research into … fish migration routes through dams is proposed.

However, some issues are not addressed, such as the restoration of natural flow regimes, and possibly could be through agreements with dam operators using a process known as environmental flows that tries to ensure that the flow regimes required by biodiversity are provided by dam management (see Richter and Thomas 2007). Another problem related to conservation at the site which is not addressed in the IAP is that of invasive species. Pressures P2 Non‐native invasive aquatic species proliferation (from aquaculture and international shipping traffic), in particular apple snail, water hyacinth and common carp; P9 Increased international shipping volume; and impact I4 Increasing levels of non‐native species populations (particular apple snail, water hyacinth and common carp all have no responses targeted at them. The control or eradication of invasive species once established, particularly those with complex lifecycles and high dispersal rates (as is the case for many aquatic species) can be difficult and expensive (Pichancourt et al. 2012). However, if desired (and sufficiently resourced) success can be achieved and case studies, rules and guidelines are published (for example see ‐ Global Invasive Species Database 2005, Simberloff 2009, Pichancourt et al. 2012). The apple snail is recorded as Ampullarius gigas in the IAP, although this name is now obsolete and the specimens recorded are possibly one of the two common invasive South American apple snails Pomacea canaliculata or Pomacea insularum found in China. These species are both recorded as having major impacts to native molluscan fauna and other aquatic biodiversity in particularly plants, are serious pests to wetland crops such as rice and are an intermediate host for a nematode that can cause meningitis in humans (Global Invasive Species Database 2005). Water hyacinth (Eichhornia crassipes) is one of the world worst weeds, forming thick mats that cover rice paddies, clog irrigation channels, impede navigation, halt fishing, sweep away buildings during floods and foster breeding by disease‐transmitting mosquitoes (Global Invasive Species Database 2005). While no action is listed in the IAP to tackle water hyacinth, the removal of the plant along with river garbage is listed as an ecosystem cost in the biodiversity and ecosystem services report (Shiming et al. 2011) (at a cost of 200,000 RMB/year) and therefore some ongoing action is in place. Common carp (Cyprinus carpio), is the third most frequently introduced species in the world and is 12 known as an ecosystem engineer as they remove aquatic vegetation and stir up sediments, they also compete for resources with native fish (Global Invasive Species Database 2005). Although it is one of the few populations increasing at the site it is a popular food fish (4,853 tons were harvested from Shaguan City district in 2007 (Shiming et al. 2011)) and therefore control of this species may not be desirable.

3.2 Phu Yen, Son La, Viet Nam The IAP for Phu Yen, Son La, Viet Nam (Annex 2) has been built upon the findings of the biodiversity and ecosystem services (see Nguyen et al. 2011a), livelihoods (see Phuong et al. 2010), and policy and conflict (see Nguyen et al. 2011b) research undertaken for this project. The initial actions proposed were then further developed through stakeholder meetings. The actions proposed in the IAP still need to go through a prioritisation and feasibility process with stakeholders to identify which actions will be taken forward.

It is important to note that since the construction of the Hoa Binh dam in 1979 the primarily aquatic habitat at the site is a man made one, a reservoir. This event will have blocked freshwater species migratory routes to the site and upper catchment, changed the riverine environment to a constantly changing one (regarding reservoir water levels) depending on dam management and destroyed many aquatic habitats. This will have led to a significant change in species composition, but the species present at the site before the dam was not documented and therefore the exact impacts are not known. There are however still some species of conservation concern potentially present the site (based on surveys from the surrounding area), including two globally threatened species Sinilabeo tonkinensis and Pseudohemiculter dispar (both VU on the IUCN Red List).

The Son La IAP findings and proposed actions (related to conservation) are summarised and presented in the DPSIR framework (Figure 3). It shows that the key ‘drivers’ behind the threats to biodiversity at the site are the policies driving economic development (including historic and future dam development), resettlement programmes opening forest land to agriculture, and encouraging aquaculture development. There is also a lack of enforcement of fishing regulations, poor understanding of fishing regulations by fishermen and officials, and the operation of the Hoa Binh dam being principally for power generation (i.e. little regards to its knock on affects). These are leading to many ‘pressures’ at the site; a change in aquatic habitat from riverine to lacustrine, expanding and intensification of agriculture in the upper catchment, illegal and destructive fishing practices, aquaculture and fisheries development in the reservoir, and the introduction of non‐native invasive species. These are affecting various ‘states’ at the site including the flow regimes, sediment loads, aquatic biodiversity populations, and chemical content of the water (pollution). The resulting conservation related ‘impacts’ are a changing flow regime from lake to stream (occasionally drying up), a decline in native fish species populations, a loss of species that require migrations, loss of aquatic habitats, increasing numbers of non‐native fish species, and increased levels of sediment in the water.

A number of responses are proposed in the IAP, some are to be implemented by the HighARCS project while others are recommendations for other stakeholder groups such as the District Government. Response R1 Training on fisheries and environmental protection regulations, is to be run for relevant District and Commune staff and fishers from the communities, and will be developed and implemented by the HighARCS project in conjunction with Tuong Tien and Tuong Ha Commune and the Department of the Environment, Phu Yen. This aims to improve the awareness and understanding of the legal framework surrounding fisheries and the wider aquatic environment for the authorities and fishers.

Drivers (D) Responses (Primary target group)* D1. Master Plan of Social Economic Development from 2009‐2020 – driving future dam development R1. Training on fisheries and environmental protection D2. Policy or decision to operate dams principally to regulations (D & P) supply power D3. Resettlement programmes and policy to open forest R2. Campaign to raise awareness of aquatic conservation land to agricultural development issues (D & P) D4. Lack of enforcement capacity for fishing, and pollution regulations R3. Development of commune level aquatic resource D5. Lack of education and awareness regarding fishing management group (P) regulations D6. Policy or decision encouraging aquaculture R4. Training local communities in fish cage culture (n/a) development and lack of environmental safeguards R5. Training in livestock and agriculture (P)

Pressures (P) R6. Tree planting (P) P1. Dam construction changed the aquatic habitat from riverine to lacustrine (reservoir) R7. Development of clear and standardised penalties for P2. Dam management to provide power illegal fishing (D) P3. Expanding (loss of natural vegetation) and intensification of agriculture in the upper catchment R8. Fish monitoring and identification of fish breeding P4. Overharvesting and illegal and destructive fishing grounds (S) practices (small sized meshes, fishing out of season and out of grounds, use of explosives and poison) R9. Improve capacity of Commune and District authorities P5. Aquaculture and fisheries development in the to manage and enforce fishing, forest and conservation reservoir related regulations (D & P) P6. Introduction of non‐native invasive species

State (S) S1. Flow regimes (amount and timing of water flow) S2. Sediment load in river water S3. Aquatic biodiversity (native species) populations S4. Aquatic habitat availability and diversity S5. Water chemical content (pollution)

Impacts (I) I1. Change in flow regimes at the site. The reservoir changes from lake to stream (occasionally drying up) depending upon the need for power (dam management). I2. Decline in native fish species populations I3. Loss of species requiring migrations (dams block species migratory routes) and their breeding grounds I4. Loss of aquatic habitats I5. Increasing numbers of non‐native fish species I6. Increased levels of sediment (leading to higher levels of turbidity) in water Figure 3. Driving forces, Pressures, State, Impacts, Response (DPSIR) framework for the IAP for Son La. *Some of the Responses have been reworded (compared to the IAP) to better reflect their content

Response R2 Campaign to raise awareness of aquatic conservation issues will involve school outreach, village conventions, posters at public places and media on the radio and television and is targeting the communities of Tuong Tien and Tuong Ha communes with the aim to raise awareness and hopefully change people’s behaviours. Response R3 Development of commune level aquatic resource management group, is a recommendation to the Commune and Village governance to establish a group responsible for the management of aquatic resources. This process will be facilitated by the HighARCS project and will hopefully develop a greater sense of ownership by the communities of the fish stocks and therefore reduce overharvesting and the use of illegal fishing practices. Training local communities

15 in the establishment and management of fish cage cultures (in the reservoir) is to be provided through response R4, however the impacts from escaped individuals establishing populations or through disease transmission may pose a significant threat to native fish species (and other aquatic biodiversity) if non‐ native invasive species are used. Response R5 Training in livestock and agriculture aims to change farming practices in the highland areas to reduce the impact upon the environment and improve outputs. The planting of trees is an action (R6) that aims to reduce soil erosion in the catchment and will need to be implemented by the Department of Environment at all levels of governance (Commune to Province). Response R7 Development of clear and standardised penalties for illegal fishing is a recommended action for the relevant government agencies, as currently the lack of set penalties is a contributing factor to the poor enforcement of fishing regulations. In order to provide better information for the management of fisheries and to identify breeding grounds that may need to be protected, regular fish surveys and monitoring are proposed in Response R8 which will be conducted by RIA1 along with the Department of Aquaculture. The final response R9 Improve capacity of Commune and District authorities to manage and enforce fishing, forest and conservation related regulations, is a recommendation for the Commune and District authorities to increase the number of staff with responsibility for these issues and to make sure that they are fully equipped and trained.

In terms of the targets of the actions proposed, the DPSI groups targeted mostly are ‘drivers’ and ‘pressures’, with one response targeting ‘state’. As noted in the introduction of this report, one to one relationships between individual issues within DPSIR categories do not reflect the complex relationships within natural systems. However the primary individual issues targeted by responses (actions) can be identified. Therefore through the use of a simple matrix (Table 3), the responses can be assessed against the separate issues within the pressures, state and impacts, to try and identify strengths and weaknesses within the IAP.

Table 3. Matrix showing the primary targets of each response (action) proposed in the Son La IAP. See Figure 3 for the description for each Driver, Pressure, State, Impacts and Response.

Drivers Pressures State Impacts

Responses 1 2 3 4 5 6 1 2 3 4 5 6 1 2 3 4 5 1 2 3 4 5 6 1 X X X X 2 X X X 3 X 4 5 X 6 X 7 X X 8 X 9 X X Total 0 0 0 3 3 0 0 0 4 4 0 0 0 0 1 0 0 0 0 0 0 0 0

The matrix shows that only five of the conservation related issues are directly targeted by the responses. Drivers D4 Lack of enforcement capacity for fishing, and pollution regulations and D5 Lack of education 16 and awareness regarding fishing regulations are each the primary targets of three responses, and the pressures P3 Expanding (loss of natural vegetation) and intensification of agriculture and P4 Illegal and destructive fishing practices are targeted by four responses. As already noted (see section 3.1), this likely reflects the stakeholders perception that these are the serious issues at the site and/or there are many options available (and needed) to address the issue. It also reflects the capacity of the HighARCS project, as to successfully address many of the drivers national government level responses are needed, and the expertise of the lead partner organisation RIA1 (a government fisheries research institute) to lead and develop actions related to fisheries.

There are many issues that are not directly targeted all, including all the impacts, four out of six pressures and all but one state. However, many of these issues are being indirectly addressed, through related issues that are directly targeted. For example, impact I2 Decline in native fish species populations is not being directly targeted by a response (no stocking of fish is currently recommended) but native fish populations are likely to benefit from improved awareness and enforcement of fishing regulations (D4 and D5), a reduction in illegal and destructive fishing practices (P4) and possibly also from a reduction in sediment and agricultural pollution (P3) which all have a number of responses directly targeted. However there are some issues (excluding drivers) that are likely not to be addressed at all through the IAP. This includes the loss of aquatic habitats and fish migratory routes caused by the construction of the dam and reservoir, and the introduction of non‐native fish species. The restoration of a natural riverine system at the site is highly unlikely, though research into the migratory species that may have been present at the site and fish passage past the dam could be undertaken. Even though the site is a man made habitat the impacts of non‐native species can still be significant as they can easily spread to connected natural systems and also impact native species remaining in the reservoir. There are a number of non‐native invasive species at the site (including Cyprinus carpio and Oreochromis niloticus) introduced for fisheries production, and while the control or eradication of invasive species once established can be difficult and expensive (Pichancourt et al. 2012) there are no specifically mentioned provisions (particularly for response R4) in the IAP to ensure that more non‐native species are not introduced at the site.

3.3 Dakrong, Quang Tri, Viet Nam The IAP for Dakrong, Quang Tri, Viet Nam (Annex 3) has been built upon the findings of the biodiversity and ecosystem services (see Nguyen et al. 2011c), livelihoods (see Do et al. 2010), and policy and conflict (see Nguyen et al. 2011b), research undertaken for this project. The initial actions proposed were then further developed through stakeholder meetings. The actions proposed in the IAP still need to go through a prioritisation and feasibility process with stakeholders to identify which actions will be taken forward.

The Quang Tri IAP findings and proposed actions related to conservation are summarised and presented in the DPSIR framework (Figure 4). It shows that the key ‘drivers’ behind threats to biodiversity at the site are the national policies to develop the agricultural, energy (dams), and mineral extraction sectors in Viet Nam, with a lack of awareness and capacity to implement or enforce environmental protection and conservation regulations at the sub‐national level. There is also poor sanitation planning and infrastructure investment and the environmental and social‐economic impacts of American‐Vietnam war are still felt. This had led to many ‘pressures’ upon aquatic systems biodiversity and resources at the site including dam construction and subsequent management, loss of forest cover, agricultural expansion and intensification, gold and sand mining pollution, domestic waste entering rivers, overharvesting of aquatic resources. These are affecting different ‘states’ at the site including the flow‐ regimes of the Dakrong River, its sediment loads, and chemical content and the aquatic biodiversity and habitats. This is leading to various conservation related ‘impacts’ at the site; increased floods and low flows during dry periods, high sediment loads, declining water quality, declining fish populations (some of which are listed as nationally threatened on the Viet Nam Red List) and the loss of aquatic habitats.

The ‘responses’ proposed within the IAP are mostly to be implemented by RIA1 (the HighARCS lead project partner at the site) and to be completed within the time frame of the project. Response R1 Comprehensive fish surveys and description of new species is a key action related to conservation at the site as it builds directly on the findings on the biodiversity surveys at the site. The surveys found only 38 species of fish at the site, far fewer than other surveys undertaken upstream within the Dakrong Nature Reserve that recorded 72 species (Mai Dinh Yen 2004 in Phu et al. 2006) and in other nearby highland streams (see Nguyen et al. 2011c). Therefore a comprehensive fish survey at the site, undertaken by RIA1 will be undertaken to see if the species present at the site is much lower than expected (due to threatening activities) or species have just been missed from the original survey. In addition, the coastal rivers of Viet Nam have many endemic species and the surveys undertaken for the HighARCS project have potentially identified 5 new species currently unknown to science. This action will see RIA1 working with the IUCN Species Survival Commission Freshwater Fish Specialist Group and Vietnamese ichthyologists to examine the specimens and, if relevant, publish the new species names in a peer review journal. The new species will also be assessed for the IUCN Red List. Having fish species endemic to the Dakrong River will help raise the profile of the conservation needs at the site with relevant decision makers and the national and international scientific and NGO community.

Drivers (D) Responses (Primary target group)* D1. National policy on energy promotes dam construction for hydroelectricity generation to supply industry and R1. Comprehensive fish surveys and description of new urban areas species (S) D2. Policy promotes agricultural expansion and intensification to increase food production and revenues R2. Atlas of fishes of the Dakrong river, Quang Tri (S) (exports) D3. Policy to encourage mineral extraction and gold R3. Awareness raising of fisheries and environmental mining and inaction to stop bad practices and control regulations and conservation issues (D) pollution D4. Poor sanitation planning and infrastructure R4. Helping enforcement of water pollution regulations investment and raising awareness of impacts of polluting activities (D D5. Environmental and social‐economic legacy of & S) American / Vietnam war D6. Poor awareness of legislation regarding protection and conservation of aquatic resources by all stakeholders and and lack of capacity to implement legislation at a sub‐ national level.

Pressures (P) P1. Dam construction (there are three dams upstream of the site and one run of the river dam under construction at the site). P2. Loss of scrub and forest for dam construction and access P3. Dam operation and management P4. Agricultural expansion and intensification upstream (in particular coffee plantations in Huong Hoa District) P5. Chemical pollution from (often illegal) gold mining activities upstream P6. Lack of suitable domestic waste treatment facilities resulting in wastewater entering the river during floods P7. Use of destructive (poison/electricity) and illegal fishing practices. P8. Agent orange contaminated large areas of land and probably continues to impact biodiversity and livelihoods

State (S) S1. Flow regimes (amount and timing of water flow) S2. Sediment load in river water S3. Aquatic biodiversity populations (particularly native fish, mollusc, plant species populations) S4. Natural aquatic habitat availability and diversity S5. Water quality/pollution (chemical pollutants in water)

Impacts (I) I1. Change in flow regimes (amount and timing of water flow) ‐ floods and reduced flow during dry periods I2. Increased sediment loads in river water I3. Declining water quality I4. Declining fish populations I5. Blocking of migratory routes upstream of the site (not currently from the sea and lower reaches of the river to the site) I6. Loss of aquatic habitats (from gold mining and dam construction) Figure 4. Driving forces, Pressures, State, Impacts, Response (DPSIR) framework for the IAP for Quang Tri. *Some of the Responses have been reworded (compared to the IAP) to better reflect their content

The results of response R1, will feed directly into response R2 Atlas of fishes of the Dakrong river, Quang Tri, which will be published in Vietnamese and English and will document the species present in the Dakrong River in Dakrong District, with information related to their identification, biology and ecology, relevant regulations (including fisheries) and conservation status. This publication will be help raise awareness of the fish at the site to relevant decision makers, scientific community and the communities, but also be used as a tool by the fishermen of Dakrong District. Response R3 Raising awareness of fisheries and environmental regulations, and conservation issues aims to address the lack of understanding of these regulations by the fishers and other stakeholders, for example illegal fishing methods such as poison and electricity are still used. Activities such as the production of a household calendar with relevant information will be produced and school competitions, radio campaigns, and training for local authorities will be undertaken. Response R4 Helping enforcement of water pollution regulations addresses the need to quantify the actual sources and levels of pollution occurring at the site. As the communities believe that there are many sources of pollution including agricultural pesticides from coffee and rice plantations, the biannual ‘cleaning’ of the hydropower station upstream is thought to pollute the river with oil and other industrial pollutants, and the often illegal gold mining activities that take place upstream. This action proposes that the amount of pollution and their sources be identified by water quality monitoring (undertaken by RIA1). These results will then be used to inform the local government to give them the evidence to better enforce existing pollution regulations. In conjunction with this, an education and awareness programme (in conjunction with response R3) will be run on the impacts of pesticide use with the farmers on the KheSanh Plateau (believed to be the source of agricultural pollution at the site) and at the local market regarding the affects of domestic waste. Finally a multi stakeholder meeting will be held with the aim of improving communication and understanding between the different stakeholder groups.

In terms of the targets of the actions proposed, the only DPSI group targeted are the ‘drivers’ and ‘state’. As noted in the introduction, one to one relationships between individual issues within DPSIR categories do not reflect the complex relationships within natural systems. However the primary individual issues targeted by responses (actions) can be identified. Therefore through the use of a simple matrix (Table 4), the responses can be assessed against the separate issues within the pressures, state and impacts, to try and identify strengths and weaknesses within the IAP.

Table 4. Matrix showing the primary targets of each response (action) proposed in the Quang Tri IAP. See Figure 4 for the description for each Driver, Pressure, State, Impacts and Response.

Drivers Pressures State Impacts Responses 1 2 3 4 5 6 1 2 3 4 5 6 7 8 1 2 3 4 5 1 2 3 4 5 6 1 X 2 X 3 X 4 X X Total 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0 0 0 2 1 0 0 0 0 0 0

The matrix shows that the only driver targeted is D6 Poor awareness of legislation regarding protection and conservation of aquatic resources by all stakeholders and and lack of capacity to implement 20 legislation at a sub‐national level, which is targeted twice by R3 and R4. However, it is beyond the capacity of the HighARCS project to target (directly) the remaining drivers, as they are all focused on national level policy, apart from D5 Environmental and social‐economic legacy of American/Vietnam war which is also beyond the scope of this project. There are also only two states targeted, S3 Aquatic biodiversity populations (by R1 and R2) and S5 Water quality/pollution (by R4). Many of the remaining states, pressures and impacts will hopefully in time benefit indirectly from the proposed responses. For example if awareness is raised on the impacts of agricultural pollution, destructive fishing practices and their regulations, and the capacity and education of local authorities can improved (through R3 and R4) then hopefully P4 Agricultural expansion and intensification upstream, P5 Chemical pollution from gold mining activities upstream P7 Use of destructive (poison/electricity) and illegal fishing practices, I3 Declining water quality and I4 Declining fish populations will benefit. Also R1 and R2 (comprehensive fish surveys and the publication of a fish atlas) will hopefully lead to further research and conservation action (with a better informed local authorities and communities) which could tackle a number of pressures, state and impacts.

3.4 Buxa, West Bengal, India The IAP for Buxa (Annex 4) has been built upon the results of the research undertaken at the site focusing on biodiversity and ecosystem services (see Ray et al. 2011), livelihoods (see Mishra et al. 2011), and policy and conflicts (see Mishra and Ray 2011), and CDHI’s (HighARCS lead organisation at the Buxa site) past experiences of working in the Buxa region. Over the course of several field visits to Buxa, a series of action planning focus groups were carried out to identify stakeholder priorities, opportunities, feasibility and problems of each initial action. The action plan was then shared and discussed among stakeholders, primarily the community members and some selected officials and Gram Panchayat members.

The Buxa IAP findings and proposed actions (related to conservation) are summarised and presented in the DPSIR framework (Figure 5). It shows that the key ‘drivers’ at the site are population and economic growth leading to an increasing demand for resources, weak enforcement of fishing, farming and mining regulations, restricted land available for agricultural production, and poor education of fishermen. These drivers are leading to many ‘pressures’ upon the environment at the Buxa site including sand and boulder mining from river beds, agricultural and domestic pollution of rivers, use of poison to catch fish, mining and deforestation upstream in Bhutan, unsustainable water extraction in areas, and continued agricultural practices that result in erosion and landslides. These pressures are acting upon a number of ‘states’ including the flow regimes, sediment loads and chemical content (pollution) of the rivers, fish populations and aquatic habitat availability and diversity. This is causing the ‘impacts’ of poor water quality, decreasing fish populations, increased frequency and severity of floods and droughts and high levels of invasive aquatic plants.

The key ‘responses’ (or actions) related to conservation of aquatic biodiversity that are proposed within the Buxa IAP include R1 Build capacity of existing self‐help groups (SHGs) for biodiversity conservation activities, which will use specific SHGs to check, reduce and regulate discharge of household pollutants and agricultural chemicals from the fields into the river and monitor sediment levels. They will also be involved in documenting biodiversity (mobilising indigenous knowledge), building awareness of the implication of biodiversity loss to their community’s lives, and planting trees to reduce soil erosion and native medicinal plants. Finally the SHGs, (with assistance from the Department of Fisheries) will organise for training in the aquaculture of native fishery species with the aim of developing a small fish pond. SHGs traditionally deal with social and empowerment issues within their communities, often through providing access to credit and savings for marginalised communities, however through capacity building from the HighARCS team (and continued support from CDHI beyond the project) the SHGs will acquire the technical skills to undertake these tasks. The HighARCS projects primary role will be through mediating groups to ensure all relevant stakeholders participate and by providing technical and scientific expertise (either directly or by other specialist agencies) for the capacity building of the SHGs.

Drivers (D) Responses (Primary target group) D1. Economic development and population growth locally and in adjacent plains areas resulting in increased demand for construction building materials R1. Build capacity of existing self‐help groups for D2. Demand for construction material in Bhutan biodiversity conservation activities (P) D3. Demand to produce more agricultural crops from same land area R2. Awareness building and information dissemination D4. Lack of understanding and awareness regarding about biodiversity and prevention of provisions and acts biodiversity regulations at all levels and weak monitoring (D) and limited capacity from relevant institutions D5. Poor regulation and controls on mining and forestry R3. Setting up community owned Farmers Clubs/ upstream and in adjacent areas Innovation Forums D6. Poor monitoring and regulation of agricultural activity permitting inappropriate practices on farms, notably R4. Set up a livestock promotion and insurance those close to rivers programme (P)

R5. Work with Panchayat to reorient and sharpen their Pressures (P) governance efficiency (D) P1. Sand and boulder mining from river beds P2. Increased levels of agricultural (nutrient loads, chemicals) and domestic (sewage) pollution entering rivers P3. Use of destructive fishing practices (poison) P4. Mining for bauxite and dolomite in Bhutan P5. Forest cover loss outside Buxa Tiger Reserve and in Bhutan P6. Continued land‐use and agricultural practices that result in soil erosion and land‐slides during the monsoon P7. Unsustainable water extraction (especially in Jayanti River)

State (S) S1. Flow regimes (amount and timing of water flow) S2. Sediment load in river water S3. Chemical content (pollution) of river water S4. Aquatic biodiversity populations (particularly native fish species populations) S5. Natural aquatic habitat availability and diversity

Impacts (I) I1. Decreasing water quality (high levels of agricultural pesticides and fertilisers, domestic sewage, poisons used in fishing) I2. Declining fish populations I3. Increased frequency and extent of floods (in monsoon season) and occurrence of droughts (in dry season)due to change in flow regimes and raising of river beds (due to high sediment loads) I4. High levels of non‐native plants Figure 5. Driving forces, Pressures, State, Impacts, Response (DPSIR) framework for the IAP for Buxa. *Some of the Responses have been reworded (compared to the IAP) to better reflect their content

The findings of the field research showed that there is considerable misunderstanding regarding the legal provisions surround biodiversity protection from both the local community and government officials. Response R2 Awareness building and information dissemination regarding biodiversity protection provisions and acts aims to address this by collating, translating into local languages, and disseminating the relevant legal requirements to specific stakeholder groups through joint stakeholder meetings, posters, local seminars and school outreach activities. The HighARCS project will lead on these activities, with assistance from specific stakeholders for dissemination activities.

The remaining responses are primarily not focused on the conservation of aquatic biodiversity but do target some issues (in the DPSIR framework) or are related to conservation issues at the site in general. Response R3 Setting up community owned Farmers Clubs/ Innovation Forums has one activity which is directly related to conservation at the site, as it proposes the development of fish ponds for rare and ornamental species (for income generation) stating that non‐native invasive species should not be used. This is important as areas within the site are prone to flooding and therefore there is a risk of fish escaping fish ponds into the natural aquatic environment. Response R4 Set up a livestock promotion and insurance programme will promote the improvement of livestock health and insurance, which aims to reduce the reliance upon aquatic resources and includes an activity to encourage farmers to use the manure as an alternative to chemical fertilisers, therefore improving the quality of soil structure so reducing soil erosion and chemical pollution. Response R5 Work with Panchayat to reorient and sharpen their governance efficiency is a cross cutting action, as Panchyats are the local level self‐governance institutions which cover virtually all development programmes and activities. It was identified the local Panchayat (in Rajabhatkhawa) lacks the awareness and capacity needed to ensure that the various actions proposed in this IAP are implemented and supported, therefore CDHI (through the HighARCS project and beyond) will engage with the Panchyat and provide awareness building, training and other events to ensure that they are fully engaged on the issues and actions identified through the HighARCS project.

In terms of the targets groups of the actions proposed ‘drivers’, ‘pressures’ and ‘state’ are targeted by the ‘responses’ proposed in the IAP. None of the actions aim to address the ‘impacts’. Of the four responses that focus on conservation related issues (response P4 doesn’t address any specific conservation issue), two target drivers and two target pressures. As noted in the introduction, one to one relationships between individual issues within DPSIR categories do not reflect the complex relationships within natural systems. However the primary individual issues targeted by responses (actions) can be identified. Therefore through the use of a simple matrix (Table 5), the responses can be assessed against the separate issues within the drivers, pressures, state and impacts, to try and identify strengths and weaknesses within the IAP.

The matrix shows that driver D4 Lack of understanding and awareness regarding biodiversity regulations at all levels and weak monitoring and limited capacity from relevant institutions, and pressures P2 Increased levels of agricultural (nutrient loads, chemicals) and domestic (sewage) pollution entering rivers and P6 Continued land‐use and agricultural practices that result in soil erosion and land‐slides during the monsoon are all being targeted by two separate responses.

Table 5. Matrix showing the primary targets of each response (action) proposed in the Buxa IAP. See Figure 5 for the description for each Driver, Pressure, State, Impacts and Response

Drivers Pressures State Impacts Responses 1 2 3 4 5 6 1 2 3 4 5 6 7 1 2 3 4 1 2 3 4 1 X X X X X 2 X 3 4 X X 5 X Total 0 0 0 2 0 0 0 2 1 0 0 2 0 0 1 0 1 0 0 0 0

The response with the most direct relevance to conservation is R1 Build capacity of existing self‐help groups, which targets the pressures of agricultural and domestic pollution, soil erosion, destructive fishing practices and the states sediment load in rivers and aquatic biodiversity through the community biodiversity monitoring and recording. The implementation of all the responses is through building capacity and awareness of local stakeholders, reflecting the strength of the CDHI as a social research and community mobilisation and empowerment organisation. While the impacts are not directly targeted, some are influenced through the responses to other connected issues, for example I1 Decreasing water quality and to some extent I2 Declining fish populations are being addressed through actions targeted at the pressures P2 (agricultural and domestic pollution) and P3 (destructive fishing practices). However, some issues have not been addressed by the IAP, for example P4 Mining for bauxite and dolomite in Bhutan and P5 Forest cover loss outside Buxa Tiger Reserve and in Bhutan. They are significant threats to biodiversity through sediment loads (S2), water pollution (S3 and I1) and changes in flow regimes with associated droughts and floods (S1 and I3). However, actions (responses) that would address these issues are beyond the scope of this project as they would likely require national and international government engagement over long time periods.

3.5 Nainital, Uttrakhand, India The proposed IAP for the HighARCS site at Nainital lakes, Uttarakhand, India Annex 5 has been developed through a series of stakeholder engagement activities, starting with informal focus groups, specific discussions with individual stakeholders, detailed household study and finally the incorporation of the results from the field research on biodiversity and ecosystem services (Pal et al. 2011), livelihoods (Kundu et al. 2010a) and policy (Kundu et al. 2010b). The proposed IAP will go through the final stage of stakeholder feedback and agreement during June.

The Nainital IAP findings and proposed actions related to conservation are summarised and presented in the DPSIR framework (Figure 6). It shows that the key ‘drivers’ at the site are the increasing population and tourists that are requiring more resources and has led to tourism, urban and light industrial development, there has also been poor enforcement of planning, pollution, and fisheries regulations, the introduction of non‐native species to the lakes for food and there has been a shift in the regions climate. These ‘drivers’ are creating pressures upon the aquatic systems through pollution (nutrient loads and other chemical pollution) from residential, agricultural and industrial sources, increased extraction of water, overharvesting of fish stocks and the stocking of non‐native fish species into the lakes. The natural ‘states’ that are affected by these pressures are the native fish populations, other aquatic biodiversity (particularly plants), lake water pollution, nutrient and oxygen content and lake depth. This is resulting in a number of ‘impacts’ particularly declining fish stocks, decreasing water quality (high nutrient loads and other chemical pollutants), fish kills in the winter due to low oxygen content, decreasing lake water depth and increasing numbers and populations of non‐native invasive species.

The key ‘responses’ (or actions) related to conservation of aquatic biodiversity at the site are divided into those that are currently ongoing and are not implemented by the HighARCS project, and those actions that are proposed to be undertaken through the HighARCS project. The current responses have been extracted from the results of the three site research reports (sections 3, 4 and 5 of the IAP) and are not listed in the actual management proposal section (section 7). Response R1.1 Oxygenation of the hypolimnic layer of Lake Nainital, is being undertaken by the National Lake Region Special Area Development Authority (NLRSADA) set up under the National Lake Conservation Programme (NLCP). Due to high levels of pollution (excessive nutrients), the oxygen content in the hypolimnic layer (bottom layer of the lake with cold constant temperature) of Lake Nainital has been drastically reduced. This layer moves towards the surface of the lake in winter and has resulted in large fish kills, particularly of carps (which require high oxygen levels). The NLRSADA have constructed a pump station on the shore of the lake which pumps oxygen directly into the hypolimnic layer, with the aim of increasing the oxygen level of the lake water. Another NLRSDA scheme is Response R1.2 Mission Butterfly, an Integrated Solid Waste Management (ISWM) system and lake warden scheme for Nainital town, where sewage and garbage for 25 clusters (each approximately 250 families) that would normally end up in the canals that flow into the lake is collected and separated in to composing and non‐composting parts. The Sewage Treatment Plant (STP) in Narayannagar then takes all the compostable waste, and the dry waste is sent to a recycling plant in Haldwani. The Govind Ballabh Pantnagar University of Agriculture and Technology have been authorised (by NLRSADA) to formulate decisions regarding the cultivation and harvesting of fish in Nainital, and due to declining fish stocks have banned all fishing in the lake (Response R1.3).

Drivers Responses (Primary target group) D1. Residential, tourist and light‐industry development in highland areas in Asia and disregard for local planning Ongoing# regulations R1.1. Oxygenation of the hypolimnic layer of Lake Nainital D2. Burgeoning urban and rural populations requiring (S) food and water to be provided R1.2. Mission Butterfly, an Integrated Solid Waste D3. Poorly enforced pollution control measures Management (ISWM) system & lake warden scheme for D4. Poorly governed and regulated fisheries Nainital town (D/P) D5. Inadequate controls on introductions of non‐native R1.3. Banning of fishing in Nainital lake (D/P) species R1.4. Introduction of non‐native fish species to try and D6. Climate change induced shifts in climate and rainfall, control algal growth and mosquito populations (S/I) and frequency and intensity of extreme weather and R1.5 Stocking and research into different species of native environmental perturbations fishes (including mahseer) (S/I) D7. High tourist numbers requiring facilities and food and water New actions proposed* R2.1. Monitoring of illegal fishing and catch and release of species of conservation concern (D/P/I) Pressures R2.2. Fish release programmes (D/P/I) P1. Pollution (chemical contaminants and litter) from R2.3. Expansion of lake warden scheme and monitoring of residential, tourist and industrial development waste water pollution (D/P) P2. Increased water abstraction to meet growing demand R2.4. Increase use of organic fertiliser and pesticides and and to supply multiple‐users and purposes crop protection (P) P3. Increased sediment loads in rivers and sedimentation R2.5. Removal of silt from Lake Bhimtal (S) in lakes and reservoirs owing to agricultural and urban run‐off P4. Excessive nutrient loading from urban development and agricultural activity in Naukuchiatal and Bhimtal exceeding the carrying capacity of receiving environments P5. Exploitation of native stocks of fish exceeding sustainable levels P6. Stocking of non‐native species to increase biomass production for capture‐fisheries and facilitate biomanipulation of lake ecosystems

State S1. Native fish species populations S2. Other aquatic species (plants) presence S3. Lake sediment levels (lake water depth) S4. Lake water nutrient load (levels of nitrogen, phosphorous) S5. Lake water oxygen content S6. Lake water heavy metal pollutants

Impacts I1. Declining native fish species populations (particularly apparent for harvested species) and other aquatic biodiversity I2. Declining water quality due to high nutrient loads, and heavy metal pollution (Bhimtal and Naukuchiatal lakes are classed as mesotrophic; Nainital as hyper‐eutrophic) with algal blooms I3. Fish kills due to low winter oxygen levels in the lake I4. Decreasing lake depth due to increasing sediment loads in lakes I5. Increasing populations of non‐native species impacting native species (competition Figure 6. Driving forces, Pressures, State, Impacts, Response (DPSIR) framework for the IAP for Nainital. # The ongoing responses are not specifically stated within the IAP but have been extracted from the results of the site research reports. *Some of the New actions proposed have been reworded (compared to the IAP) to better reflect their content

Response R1.4 Introduction of non‐native fish species to try and control algal growth and mosquito populations has seen species introduced into the lake such as the grass carp Ctenopharyngodon idella (to control algal growth) and the mosquito fish Gambusia affinis (mosquito control). Response R1.5 Stocking and research into different species of native fishes (including mahseer) is being led by the Directorate of Coldwater Fisheries Research (DCRF). Due to the many threats at the lakes, some native species such as the mahseers (Tor spp.) became extirpated and are now stocked in the lake. There are also various research programmes being undertaken including for the globally threatened species snow trout (Schizothorax richardsonii) and golden mahseer (Tor putitora) (DCRF 2008, Jha and Rayamajhi 2010, Vishwanath 2010).

There are five ‘new actions’ (responses) proposed that directly deal with conservation issues at the site, all of which will be initially led by HighARCS project (often with a stakeholder e.g. local authority) and aim to conclude by the end of the project in 2013 or to have been adopted by and carried forward by a relevant stakeholder group. Response 2.1 Monitoring of illegal fishing, and catch and release of species of conservation concern aims to assist authorities in the monitoring and reduction of illegal fishing in Lakes Nainital, Bhimtal and Naukuchiatal. In Lake Nainital where fishing is banned, these actions will support response R1.3. Specific actions include joint meetings with authorities and stakeholders to identify potential solutions, the development of a catch and release rule for species of conservation concern along with training of fishers in the identification of these species, and through a poster campaign raising general awareness of the impacts of illegal fishing for fishers but also other stakeholders (e.g. boat drivers, local people). Financing for this will be sought from the NLRSADA and the Department of Fisheries, Uttarakhand. For response 2.2 Fish release programme the HighARCS project will engage with the Department of Fisheries and Directorate of Cold Water Fisheries Research to try and ensure that stocking regimes are used to address declining or threatened native fish species populations and that the impact and stocking of non‐native fish species is reduced. Other issues to be discussed with the authorities would be to engender greater public engagement and awareness raising through possible public/tourist fish release platforms (as seen in the HighARCS site in Beijiang, China) and school and college student involvement. Response 2.3 Expansion of lake warden scheme and monitoring of waste water pollution, will engage with stakeholders and the NLRSADA (who would run and possibly fund this action) to try and expand the lake warden scheme developed for Nainital, to cover Lakes Bhimtal and Naukuchiatal. The wardens would monitor waste water pollution and garbage entering the lake and report it to relevant authorities and also be involved in the removal of garbage. The HighARCS team will also take the lead in arranging publicity and awareness raising activities such as poster campaigns, school poster competition, etc. Funding for the warden scheme could be generated from tourist taxes, which are not currently in place. Response R2.4 Increase use of organic fertiliser and pesticides and crop protection is a proposed action with the aim of reducing the reliance of farmers upon synthetic fertiliser and pesticides and moving towards more organic farming methods to reduce the level of chemical pollutants and nutrients that lead to eutrophication entering the rivers and lakes. Specific actions include the engagement with the Department of Agriculture (who ensure the timely supply of fertilisers, seeds, pesticides etc. to the farmers) to discuss ways of increasing the farmers access to more organic fertilisers and pesticides and also with the Kisan Bank (who support farmers financially, help to sell their produce, and provide agricultural training) to improve farmers agricultural practices. The last response is R2.5 Removal of silt from Lake Bhimtal, due to the high amounts of sediment washed of agricultural land Lake Bhimtal has suffered high levels of siltation (4.7mm/year, 28

Pangare et al. 2006) leading to reduced depth and less absorption of heavy metals, leading to their depletion in the bed sediments of the lake. This action will be implemented through a joint stakeholder meeting (including Uttarakhand (Bhimtal) Irrigation Department, Kisan Bank and NLRSADA) to discuss options to physically remove silt from the lake and transport it to a suitable disposal area. In addition measures to reduce levels of sediment entering the lake will be discussed.

In terms of the targets of the actions proposed, all DPSI groups are targeted by some of the responses proposed in the IAP. Of the 10 responses that focus on conservation related issued, 5 target drivers, 5 target pressures, 3 target state, and 4 target impacts. As noted in the introduction, one to one relationships between individual issues within DPSIR categories do not reflect the complex relationships within natural systems. However the primary individual issues targeted by responses (actions) can be identified. Therefore through the use of a simple matrix (Table 6), the responses can be assessed against the separate issues within the drivers, pressures, state and impacts, to try and identify strengths and weaknesses within the IAP.

Table 6. Matrix showing the primary targets of each response (action) proposed in the Nainital IAP. See Figure 6 for the description for each Driver, Pressure, State, Impacts and Response

DRIVERS PRESSURES STATE IMPACTS RESPONSES 1 2 3 4 5 6 7 1 2 3 4 5 6 1 2 3 4 5 6 1 2 3 4 5 1.1 X

1.2 X X X 1.3 X 1.4 X

ONGOING 1.5 X X

2.1 X X X

2.2 X X X X X 2.3 X X X PROPOSED

2.4 X X

NEW 2.5 X X X TOTAL 0 0 2 1 1 0 0 2 0 2 3 2 1 2 0 1 0 1 0 3 1 0 1 1

The matrix shows that some issues are targeted by a number of responses, however, as already discussed in section 3.1 (Beijiang site IAP) this does not necessarily guarantee a more successful outcome and likely reflects the stakeholders perception of the seriousness or magnitude of the issue and/or the complexity of the issue requiring a number of actions. The two issues that have the greatest number of responses targeted at them (three) are the pressure P4 Excessive nutrient loading from urban development and agricultural activity which is targeted by R1.2 Mission Butterfly & lake warden scheme, the related R2.3 Expansion of lake warden scheme and monitoring of waste water pollution and R2.4 Increase use of organic fertiliser and pesticides. The other issue is the impact I1 Declining native fish species populations, which is targeted by the responses R1.5 Stocking and research into different species of native fishes (including mahseer), R2.1 Monitoring of illegal fishing, and catch and release of species of conservation concern, and R2.2 Fish release programmes. 29

The issues that receive no direct responses, such as I3 Fish kills due to low winter oxygen levels in the lake, S6 Lake water quality – heavy metal pollutants, S4 Lake water quality – nutrient load, are being targeted through related issues in other DPSIR categories where it is more appropriate or cost‐effective to target responses, for example the impact I3 is related to state S5 Lake water quality – oxygen content which is directly targeted by response R1.1 Oxygenation of the hypolimnic layer of Lake Nainital.

There is one response that is actually directly driving some pressures (i.e. acting as a driver), R1.4 Introduction of non‐native fish species to try and control algal growth and mosquito populations is a response to help control the effects (algal blooms) of excessive nutrients in the lakes (impact 1.2) but is also the driver D5 Inadequate controls on introductions of non‐native species (and related P6, I1, and I5). The response R2.2 Fish release programmes is targeted at tackling this problem.

4. References

Baoguo, J., Quandian, W., Min, G. and Shiming, L. 2011. Institutions, Policies and Conflicts Related to Sustainable Use and Protection of Aquatic Resources in Beijiang River Watershed, China. HighARCS Project, Work Package 5 report. South China Agricultural University.

DCFR (Directorate of Coldwater Fisheries Research). 2008. Directorate of Coldwater Fisheries Research website. http://www.dcfr.res.in/ Accessed May 2012.

Do, V.T., Nguyen, T.H.T., Nguyen, T.T., Nguyen, H.D., Nguyen, T.D.P. and Sugden, F. 2010. Report on livelihoods dependent on highland aquatic resources in the central of Vietnam. HighARCS Project Work Package 4 report. Research Institute for Aquaculture No.1, Viet Nam.

EEA (European Environment Agency). 2010. Definitions and acronyms. Europe’s environment assessment of assessments knowledge base. http://aoa.ew.eea.europa.eu/database/acronyms. Accessed May 2012.

Global Invasive Species Database. 2005. The Invasive Species Specialist Group (ISSG). http://www.issg.org/database

Jha, B.R. and Rayamajhi, A. 2010. Tor putitora. In: IUCN 2011. IUCN Red List of Threatened Species. Version 2011.2. . Accessed May 2012.

Kundu, N., Pal, M., Chatterjee, P., Ghosh, S. and Nag, G. 2011a. Livelihood report Uttarahkand site, India. HighARCS Project Work Package 4 report. Centre For Environmental Management And Participatory Development, and Institute Of Environmental Studies And Wetland Management, Kolkata, India.

Kundu, N., Pal, M., Chatterjee, P., Ghosh, S. and Nag, G. 2011b. Institutional, policy and conflicts report Uttarakhand site, India. HighARCS Project Work Package 5 report. Centre For Environmental Management And Participatory Development, and Institute Of Environmental Studies And Wetland Management, Kolkata, India.

Maxim, L., Spangenberg, J.H. and O’Connor, M. 2009. An analysis of risks for biodiversity under the DPSIR framework. Ecological Economics. 69:12‐23.

Mishra, R. and Ray, D. 2011. Institutions, policy and conflict Final report from Buxa West Bengal. HighARCS project Work Package 5 report. Centre for the Development of Human Initiatives, Jalpaiguri, India.

Mishra, R., Ray, D. and Sugden, F. 2011. Highland aquatic resources & livelihoods: Buxa, West Bengal, India. HighARCS project Work Package 4 report. Centre for the Development of Human Initiatives, Jalpaiguri, India.

Nguyen, T.D.P., Nguyen T.H.T., Do, V.T., Nguyen, T.T. and Nguyen, H.D. 2011a. Freshwater ecosystem services and biodiversity values of Phu Yen District, Son La, Viet Nam. HighARCS Project Work Package 3 report. Research Institute for Aquaculture No.1, Viet Nam.

Nguyen T.H.T., Nguyen, T.T. Do, V.T. and Nguyen, T.D.P. 2011b. Report on institutions, policy and conflict in highland Aquatic conservation in the Northern and Central of Vietnam. HighARCS Project Work Package 5 report. Research Institute for Aquaculture No.1, Viet Nam.

Nguyen, T.D.P., Nguyen T.H.T., Do, V.T., Nguyen, T.T. and Nguyen, H.D. 2011c. Freshwater ecosystem services and biodiversity values of the Dakrong River, Quang Tri, Viet Nam. HighARCS Project Work Package 3 report. Research Institute for Aquaculture No.1, Viet Nam.

Pal, M. and Kundu, N. 2011. Freshwater ecosystem services and biodiversity values at Nainital, Uttrakhand. HighARCS Project Work Package 3 report. Centre For Environmental Management And Participatory Development, and Institute Of Environmental Studies And Wetland Management, Kolkata, India.

Phu, V.V., Ha, T.T.C., Hong, H.T., 2006. An Assessment of the Fish Fauna of the Green Corridor Forest Landscape, Thua Thien Hue Province, Vietnam. Report No 5: Green Corridor Project, WWF Greater Mekong and Vietnam Country Programme and FPD Thua Thien Hue Province, Vietnam.

Phuong, N.T.D., Thinh, D.V., Nguyen, T.H.T., Nguyen, T.T. and Nguyen, H.D. 2010. Report on livelihoods dependent on highland aquatic resources in the Northern of Vietnam. HighARCS Project Work Package 4 report. Research Institute for Aquaculture No.1, Viet Nam.

Pichancourt, J.‐B., Chadès, I., Firn, J., van Klinken, R.D. and Martin, T.G. 2012. Simple rules to contain an invasive species with a complex life cycle and high dispersal capacity, Journal of Applied Ecology. 49(1):52‐62.

Ray, D. and Mishra, R. 2011. Freshwater ecosystem services and biodiversity values at Buxa, West Bengal. HighARCS project Work Package 3 report. Centre for the Development of Human Initiatives, Jalpaiguri, India.

Richter, B.D., and Thomas, G.A. 2007. Restoring environmental flows by modifying dam operations. Ecology and Society 12(1): 12.

Rogers, S.I. and Greenaway, B. 2005. A UK perspective on the development of marine ecosystem indicators. Marine Pollution Bulletin. 50:9–19.

Shiming, L., Kunzheng, C., Huihong, Z., Ke, C., Lian, G., Jinghua, F., Xueying, Z., Xiaoli, T., Jia’en, Z., Yanqong, Y., Huashou, L. and Hongzhi, H. 2011. Freshwater ecosystem services and biodiversity values of the Beijiang River, China. HighARCS Project, Work Package 3 report. South China Agricultural University.

Simberloff, D. 2009 We can eliminate invasions or live with them. Successful management projects. Biological Invasions. 11:149‐157.

Springate‐Baginski, O., Allen, D. and Darwall, W. 2009. An integrated wetland assessment toolkit. International Union for Conservation of Nature and Natural Resources, Gland, Switzerland and Cambridge, UK.

Svarstad, H., Peterson, L.K., Rothman, D., Siepel, H. and Watzold, F. 2008. Discursive biases of the environmental research framework DPSIR. Land Use Policy. 25(1):116‐125

Millennium Ecosystem Assessment. 2003. Ecosystems and Human Well‐Being: A Framework For Assessment. Island Press, Washington.

Vishwanath, W. 2010. Schizothorax richardsonii. In: IUCN 2011. IUCN Red List of Threatened Species. Version 2011.2. www.iucnredlist.org. Accessed May 2012.

Yiming, L., Chunrong, S., Sugden, F., Shiming, L., Fengbo, C., Wenzhong, W., Baoguo, J., Min, G., Huashou, L. and Yanqiong, Y. 2010. Report on livelihoods dependent on highland aquatic resources: a case study at Shaoguan, China. HighARCS Project, Work Package 4 report. South China Agricultural University.

Annex 1

HighARCS Report on Integrated Action Plan from China

REPORT ON INTEGRATED ACTION PLAN

FOR

CONSERVATION AND SUSTAINABLE USE OF AQUATIC

RESOURCES IN BEIJIANG RIVER, CHINA

Releasing fish fry by Shaoguan citizen in Beijiang River, June, 2010

by Luo Shiming, Cai Kunzheng, Liu Yiming, Jiang Baoguo, Zhao Huihong, Cui Ke, Gan Lian, Fu Jinghua, Zhuang Xueying, Tong Xiaoli, Li Huashou, He Hongzhi,Ye Yanqiong, Zhang Jia’en, Chen Fengbo, Wang Quandian, Gao Min, Shang Chunrong, Wang wenzhong

April, 2012

South China Agricultural University

1 HighARCS Report on Integrated Action Plan from China

Content Abstract 3 1. Introduction 5 1.1 Background of the Research Site- Beijiang River 5 1.2 Natural Environment of Beijiang River 6 1.3 Social and economic Situation 8 1.4 Research sites along Beijiang River 9 1.5 Major challenge in aquatic resources conservation and sustainable 10 development in Beijiang River Watershed 1.6 Stakeholders identified in Beijiang River watershed area 11 1.7 Overall aims of the project at the site 13 2. Assessment Methodology 13 3. Overview of biodiversity and ecosystem service values (WP3) 17 3.1 Biodiversity evaluation of aquatic resources 17 3.2 Values of ecosystem service provided by Beijiang River watershed 22 ecosystem 4. Overview of Livelihoods (WP4) 29 4.1 Livelihood Strategy 29 4.2 Class and livelihood 29 4.3 Market and Credit relations 30 4.4 Access to Political Power 30 4.5 Gender and Age Relations 31 4.6 Major Concerns of the Fishers about their livelihood 31 5. Overview of institution, policy and conflicts (WP5) 33 5.1 Biodiversity 33 5.2 Fishery resources 34 5.3 Water 35 5.4 Forestry 36 5.5 The livelihoods of fishers 37 5.6 Stakeholders’ Idea for Policy Improvement 38 6. Summarized Challenges and Issues 39 6.1 The destruction of aquatic resources 40 6.2 The poor livelihood of fishing communities 41 6.3 The falling behind management and legislation 41 7. Methods adopted for formulating integrated action plan 41 8. Management Proposals 45 8.1 Good measures in Shaoguan will be continued and further improved 46 8.2 New Actions will be taken in the next few years 51 8.3 Further measures in longer period and for larger scale 55 9. Acknowledgements 57 10. Reference 57 Appendix Integrative Action Plan for protection and sustainable use of 59 aquatic resources in Beijiang River Watershed, Shaoguan China

2 HighARCS Report on Integrated Action Plan from China

Abstract

Beijiang River as one of a typical upper reaches of the Pearl River is chosen as the project site for this project. Most of Beijiang watershed area lies in Shaoguan Municipal Region. The overall aims of the project at China site are to find out the threats faced by aquatic resources and the impact on the life of fishers, to analyze the social and economical factors causing this situation, to look for management and legislation issues related with the aquatic resources and to find out solutions which not only include long term solutions, but also short term actions. We form an integrated team with 18 team members from disciplines including ecology, fish, mollusc, crab and shrimp, plant, agronomy, economic, law and management. We worked in the sites and exchanging materials and idea together within our team and also worked with stakeholders through participatory methods including group discussion, personal interview, data collection, workshop, rapid rural appraisal, and Delphi method. The major challenges and problems are identified. The aquatic resources are declining mainly due to the construction of dams across river and mechanical sand drugging activities on the river bed. Water pollution in river is the second reason. The livelihood of fishers is declining due to the decrease of fishing resources, and the marginalization by policies neglecting the fishing community. There are still some weakness in our legislation and policy related to aquatic resources and sustainable development, especially on the detail regulation on implementation. The communication and coordination mechanism among different stakeholders is very weak. In order to formulate action plan, we first proposed a preliminary action plan within our research group. Then we discuss our proposed action plan with different stakeholders who were 40 government officers from 26 different city government departments and township governments, and with 6 fishers of the three fishing villages and a newly formed company for tourism. Proposed management measures can be separated into three parts: the existing measures which can be improved, the newly proposed measures which can be implemented in the next few years, and new measures which can be carried out in a much longer period and larger scale. The good measures which will be continued and further improved include: (1) social economic development plan according to the strategy position of the region as ecological buffering zone, (2) protection and expansion of forest cover, (3) better protection on the aquatic protection zones, (4) further reduction of water pollution from industry, (5) more biogas digesters in rural area, (6) more artificial fish fry released to Beijiang River each year, (7) the prevention of cage fish culture in reservoirs to prevent water pollution, (8) better control of sand drugging activity in the river, (9) government subsidize for poor fishing families and elders, (10) diesel price subsidize for fishers, (11) Nine-years-compulsory-education for children, and (12) more houses and more job training for fishers. New Actions which will be taken in the next few years include: (1) the increase of financial resources for protection and conservation of aquatic resources, (2) the recovery of aquatic plants and the habitat of the river, (3) the implementation of the no fishing season regulation from 2011, (4) the reduction of water pollution from iron ore mining, (5) the decrease of chemicals in agriculture, (6) the reduction of eucalyptus forest, (7) more public education program, (8) the establishment of hotline between fishers and hydropower stations, (9) recreation fishing activity as one new development trend, (10) participatory monitoring to prevent illegal fishing, and (11)

3 HighARCS Report on Integrated Action Plan from China

better organization system for fishing communities. The measures which need longer period and larger scale for implement include: (1) re-establishment of stabilized habitat for aquatic resources, (2) more green production technique in agriculture, (3) more sanitary facilities for rural house refuse and domestic sewage, (4) policy to treat fishers as a special group to guarantee their pension and medical insurance, (5) more opportunities for children from fishing families for further education, (6) better eco-compensation program, and (7) the amendment of “The Law of the People's Republic of China on Evaluation of Environmental Effects” and “the Law of the People’s Republic of China on the Protection of Wild Life”.

4 HighARCS Report on Integrated Action Plan from China

1. Introduction The project of “Highland Aquatic Resources Conservation and Sustainable Development” (HighARCS) is supported by EU under Theme 6 of the Seventh Framework Program. The goals of this research are as follows: • to investigate and evaluate biodiversity of aquatic resource and ecological service of ecosystem in Beijiang river; • to analyze the main factors that contribute to the decreasing of aquatic resources ; • to identify different groups of fishermen to better target new development efforts; • to identify stakeholders and understand their roles and linkages in relation to highland aquatic resource in Beijiang river; • to identify the possible livelihood development strategies of households dependent on aquatic resource; • to formulate and implement action plans to enhance poor livelihood and aquatic resource conservation. The first phase of this project was conducted in 2009 and a background report introduced our findings about the general situation of Beijiang River, the upper reach of Pearl River in South China (WP1). The second phase of this project conducted in 2010. It mainly concentrated on the detail investigation about the aquatic resources and ecosystem services (WP3), the livelihood of the poor (WP4) and the management situation (WP5). Then action plan is made for improving the situation for conservation and sustainable development of the aquatic resources by participatory method. So far, we have finished three reports which included the “Report on Highland Aquatic Ecosystem Services and Biodiversity Values in Beijiang River, China” (WP3), “Report on Livelihoods dependent on highland aquatic resources--a case study at Shaoguan, China”(WP4) and “Institutions, Policies and Conflicts Related to Sustainable Use and Protection of Aquatic Resources in Beijiang River Watershed, China” (WP5). This report concentrates on the action plan to improve the livelihood of fishers and to improve the aquatic resources and ecosystem services provided by Beijiang River watershed. The general background of the research site and the management issue facing in the site are introduced first, and then action plan which can be taken in the next two years and measures which can be taken in a longer term are described.

1.1 Background of the Research Site - Beijiang River

The Pearl River Watershed covered from 21o31’to 26o49’north latitude and from 102o14’ to 115o53’ east longitude. The Pearl River is the third largest river in China. The major river branches of the Pearl River are Xijiang River (West River), Beijiang River (North River), and Dongjiang River (East River). After they merge together and form the main stream of the river, it runs into the Pearl River Delta and then to the South China Sea. The West River flows through Yunnan Province, Guangxi Province, and Guangdong Province. The North River runs through Hunan

5 HighARCS Report on Integrated Action Plan from China

Province, Jiangxi Province and Guangdong Province. The East River runs through Jiangxi Province and Guangdong Province. Total length of the river reaches 2214 km, and with a watershed area of 453,690 km2, of which 442,100 km2 is in China. There are 330,000 billion m3 water flows through the Pearl River annually. The watershed area of the Pearl River in Guangdong Province is 11,125 km2, which includes part of the Xijiang watershed, most of the Beijiang watershed, the Dongjiang watershed. The Beijiang River (North River) is the second largest water system in the Pearl River System (Fig.1). It’s also one of the most important rivers in Guangdong Province. There are two sources of the upper Beijiang River. One is the Zhenjiang River-the east branch which runs from Xinfeng county of Jiangxi Province. Another one is the Wujiang River-the west branch which originates from Linwu county of Hunan Province. The two sources joint together in Shazhouwei of Shaoguan City. Then it is called Beijiang River. On its way to sea, other branches such as the Wenjiang River, the Lianjiang River, and the Suijiang River join into the Beijiang River. The Beijiang River is 573 km in length with a watershed area of 52,068 km2, most of which is in the Guangdong Province (42,930 km2). The part of the Beijiang Watershed takes 38.5% of the area of Pearl River Basin in Guangdong Province and with 45,700 billion m3 annual water flow. Beijiang River flows through Shaoguan City, Qingyuan City and Foshan City from north to south. The whole upper reach and the most part of the middle section of Beijiang River are located in Shaoguan City.

1.2 Natural Environment of Beijiang River

The upper and the middle reach of the Beijiang River lies in the northern Guangdong Province t. It’s within 23o5’to 25o31’ north and 112o50’ to 114o45’ east. There are 18.6 million m2 in this area. It covers 10.5% of Guangdong Province. Shaoguan City is in the south of the Nanling Mountain. It lies in the Hunan Guangdong Fold Belt. The total land cover in Shaoguan is 17.1 million m2 witch is 92.8% of the total area. The remaining area is covered by river, lake or reservoir. The highest mountain, 1,902 m Shikengkong Mountain in Shaoguan is also the highest mountain in Guangdong Province. Shaoguan is in the subtropical humid monsoon climate zone. It is wet in the spring, dry in the autumn, cool in the winter and both hot and humid in the summer. The average annual temperature is 18.8℃ to 21.6℃. The average temperature of the coldest month(January) is 8℃ to 11℃ and the average temperature of the hottest month(July) is 28℃ to 29℃. The annual rainfall is from 1,300 mm to 2,400 mm. The rainy season is from March to August while the dry season is from September to February. Most of the solar radiation (90%) comes within warm and rainy season with daily average temperature higher than 10℃. It is good for the growth of plants and agricultural crops. There are 310 days frost-free in a year. The annual total sun shine reaches from 1,473h to 1,925h.

6 HighARCS Report on Integrated Action Plan from China

The vegetation in Shaoguan City belongs to subtropical evergreen forest. The forest covers 50% of the area in Shaoguan with standing wood storage of 500 million m3. The available timber storage reaches 250 million m3. The timber forests are mainly formed by Chinese fir, pine, and hairy bamboo. The forests of cassia (Cinnamomum), paulownia ( Pauownia), nanmu (Machilus namu) , common jujube ( Ziziphus jujba var. spinosa), yew ( Taxus cuspidata) , Chinese torreya ( Torreya grandis) , oak (Quercus) , and cypress ( Cupressus L.) are also important.

Xijiang River Beijiang River Dongjiang River Watershed Watershed B Watershed

Shaoguan

Guangzhou

Hong Kong Pearl River Delta

Fig. 1 The Location of Beijiang River Watershed in Pearl River Watershed Map A shows the location of Pearl River Watershed in China (red box is enlarged in map B) Map B shows the location of Beijiang River Watershed in the Pearl River Watershed

7 HighARCS Report on Integrated Action Plan from China

1.3 Social and economic Situation

1.3.1 Population and nation By the end of 2008, the population of Shaoguan City is 32,309,000, among which 12,480,000 are nonagricultural residents, and 19,829,000 are agricultural residents. Shaoguan City is a multi-ethnic area with 98.32% Han resident and 1.68% minority people. There are 30 minority nationalities in Shaoguan City, most of them belong to Yao, SHE, and Man, Hui, Jing, Miao, Li, Bai, Dong, and Tujia nationalities. Most Yao people lives in Ruyuan Nationality Autonomous County, Qujiang County and Shixing County and Most of SHE people lives in Nanxiong City and Shixing County. 1.3.2 Economic Development The local GDP is 57.17 billion Yuan RMB in 2009, increased by 10.1% than that in 2008. The primary industry has an increase of 8.12 billion. The secondary industry has an increase of 23.38 billion. The third industry has an increase of 25.59 billion. According to the resident population, the GDP per capita is 19312 Yuan. Economic structure has changed from agriculture: industry: service =14.2: 48.1: 37.7 in 2008 to 14.4: 40.8: 44.8 in year 2009. The sector in service part increased very quickly in recent years. The seven main products of agricultures in the region are vegetable, rice, livestock, fish, fruit, bamboo, and tobacco.

Table 1 The main annual economic indexes in Shaoguan City The structure economic GDP per 1、population（million） 2、GDP（103yuan）（calculated with price%） capita Nonagricultural Agricultural primary secondary third primary secondary third （yuan） Year population population industry industry industry industry industry industry 2000 3.1093 1.0965 2.0128 19272 4401 7571 7300 7045 22.8 39.3 37.9 2005 3.1866 1.2610 1.9256 335.81 5547 14441 13593 11566 16.5 43.0 40.5 2007 3.2119 1.2587 1.9532 47169 6694 22864 17612 16049 14.2 48.5 37.3 2008 3.2309 1.2480 1.9829 54587 7776 26256 20555 18503 14.2 48.1 37.7

In 2007, the aquiculture output of Shaoguan City was 60,395t, including 59,612t fish, 393t shellfish, 202t shrimps and crabs (Table 2). In 2007, the aquiculture output value was 431.87 million taking 3.93% of the total agriculture output value. 1.3.3 Fishermen in the region Fishery households are increasing year by year. The number of fishery households is increasing from 19,440 in 1998 to 20,299 in 2007, but the number of fishing workers is decreasing. The number of fishing workers descended from 546 in 1998 to 395 in 2007 (Table 3). It caused by the reduction of fish resources and by the preference of young people who like to work in towns and cities more than fishing today.

8 HighARCS Report on Integrated Action Plan from China

Table 2 The aquiculture output of Shaoguan City in 2007 Yield(t) Aquiculture output 60395 1.fish 59612 (1) high-quality fish 18420 Ophicephalus argus（乌鳢） 166 Siniperca chuatsi（鳜） 130 Micropterus Salmoides（大口黑鲈） 526 Colossoma Brachypomum （短盖巨脂鲤） 2009 Oreochromis（罗非鱼） 5118 Carassius auratus（鲫鱼） 3809 (2) other fisher 41192 Ctenopharyngodon idllus （草鱼） 14781 Aristichthys nobilis（鳙鱼） 9194 Hypophthalmichthys molitrix 白鲢） 10126 Cyprinus carpio.（鲤鱼） 4853 2.shellfish 393 3. shrimps and crabs 202

Table 3 Current situation of the number of the fishery workers in Shaoguan city

1998 2000 2001 2002 2003 2004 2005 2006 2007 Fishery families 19440 18046 18123 19047 18179 19983 21174 20163 20299 Fishery population 96389 80709 81078 90549 88784 92838 97051 93846 94717 Professional fishing workers 546 469 482 445 386 432 389 391 395 (freshwater fishing) Part-time fishing workers 715 518 470 352 331 457 1071 437 429 (freshwater fishing)

1.4 Research sites along Beijiang River

Pearl River was included as one of the five rivers in Vietnam, India and China in the original research proposal. Because similar natural and social economic situation are existed along the upper reaches of Beijiang River, Dongjiang River and Xijiang River, the findings in the upper reach of Beijiang will be easily extrapolated to other upper branches of the Pearl River. Another reason is operational. The major part of Beijiang Watershed is within the management of Shaoguan municipal government, Guangdong Province. Not only it is easier to get data and information, but also is more convenient to take conservation and development actions. To understand the livelihood status of the research site, we selected three fishing communities for detail surveys; Lishi, Kengkou, and Zhoutian (see Fig. 2). Lishi is located at the lower end of the Wujiang River which flows into the Beijiang River from the north-west. There are about 70 households in the community and about 30 households depend upon fishing. The major characteristic of this community is that it located just on the river bank. Kengkou is located on the Beijiang River downstream from Shaoguan city. There are around 50 households living in the community, of which about 30 depend upon fishing. The major characteristic of this community is that there are some industrial firms which emit pollutants into the river. Zhoutian is located on the Beijiang River upstream from Shaoguan city. There are around 60 households in the community

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and about 30 households depend upon fishing. The major characteristic of this community is that the river is quite shallow because of the hydro power station upstream. Furthermore, unlike the other two communities, there is a community committee responds to the management of the community including fishing.

Wujiang River D Zhoutian Fishing Village 24o58’57.77”N, 113o51’36.75”

Lishi Fishing Village 24o52’53.48’’N, 113o32’20.10”E Zhenjiang River Shaoguan

Beijiang River

Kengkou Fishing Village 24o32’2.13”N, 113o35’26.63”E

Fig.2 the position of three fishing villages in Beijiang River Watershed Lishi Fishing Village is 15 km away from Shaoguan along the north-west branch (Wujiang) of Beijiang River Zhoutian Fishing Village is 35 km away from Shaoguan along the north-east branch (Zhengjiang) of Beijiang River Kengkou Fishing Village is 31 km south from Shaoguan along Beijiang River

1.5 Major challenge in aquatic resources conservation and sustainable development in Beijiang River Watershed

After our observation and investigation for the research site, it is clear that aquatic resources have been seriously destroyed and the lives of fishers are very difficult. The major reason is the existing conflict between economic development and ecological conservation. The needs for electricity, iron, steel, chemicals and sand were tremendous during industrialization and urbanization process. It stimulated the construction of hydropower stations along the river, the large scale mechanized sand mining under river bed, iron ore mining and transportation along the watershed and more industrial factories set up along the river. The dams across Beijiang River cut off the natural river flow. Fish species with migration behavior were not be able to go through the river anymore and disappeared. Fish species which like to live in the running water were also suffer from the stagnant situation caused by those dams.

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Mining for sand in river bed destroyed the habitat of many aquatic species. Aquatic plant communities in many places were eliminated by sand mining operation and the dramatic daily changes of water level caused by dam operation. Aquatic animal species which rely on stable river bed or aquatic plant community for reproduction are facing serious thread. Pollutions released from expanding cities, towns, factories, mining sites and even fields are increasing. Toxic materials and low oxygen level caused by pollutants decreased the survival rate of many aquatic species especially during their young stages. The lives of fishers are going down because of the ever decreasing fish resources. Fishers living in fishing community are considered as city residents in our management system. So, they cannot get benefit from government policy for farmers and farming villages. However, they also not are able to get benefit from cities and towns because fishing villages are usually quite far away from town or city. They are a group of people who are living in a marginal situation and are usually ignored by government policy. In order to get their short term benefit, fishers sometimes used destructive methods such as electricity method and poisoning method to get fish. It is not that easy to reverse the situation or improve the situation.(1) Many government leaders, industrial leaders and even farmers are still considering that economic development is much more important than “those few small fishes”. (2) On the one hand, our law system for environmental protection and resources conservation is still not perfect and many people can find ways to bypass those regulations. On another hand, laws have not been implemented very well. The reasons include the lack of education to let people respect to our law, and the lack of law implementation and monitoring force. (3) No matter the waste treatment, or the recovery action needs a lot of public investment However Shaoguan is located in the mountainous area, it is not a very rich area. It is hard to put large amount from its budget to those conservation and protection projects by Shaoguan Municipal Government. Because of the same reason, it is hard for the government to help fishers to improve their lives such as providing house, subsidy for the reduction of resources, increasing medical care and other welfare. (4) Different parts of ecosystem and the life of people are linked together through material and energy flow. However, government departments and industrial companies usually only work on part of it. Daily communication and coordination mechanisms are either not existing, or very weak. Many industrial leaders don’t know the situation of fishers. Sand mining is not stopped in the aquatic conservation zones by the Bureau of Water Management. Dam gate operations were not informed to the fishers on time and caused big lost of their fishing tools and even thread to their lives.

1.6 Stakeholders identified in Beijiang River watershed area

Theoretically every one living within the watershed is both influencing the watershed, or influenced by the watershed. However, we can identify those have significant impact on aquatic resources. A diagram in Fig. 3 shows the relationship of the major stakeholders in Beijiang River watershed.

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Forestr

Reservoir

Industry and mining Animal husbandry City and town Sand mining

Fishing village Farming village Fishing

Dam and hydropower station

Crop production

Fig. 3 The major stakeholders in Beijiang River watershed

The most important stakeholder is people :men,women,girls and boys in the fishing villages. The life of fishers and their family heavily relies on aquatic species in the river. They usually live nearby the river. Ordinary resident as consumer of river fish is also an important stakeholder. Stakeholders with direct negative impact on the aquatic resources can be identified as follows. Industry companies and mining companies such as Da-Baoshan Mining Company and Shaoguan Steel Cooperation release a lot of waste water to the river during their production processes. Farmers and agricultural farms are also stakeholders, because the drainage water from field or villages usually contaminates with animal waste, human waste, chemical fertilizer and pesticide. Waste water discharge from city would also contaminate the river. However it is hard to charge an ordinary citizen. Shaoguan City government is in charge of the building of sewage treatment plan. During our investigation, we found that most destructive impacts were come from hydropower stations with big dams across the river, and the sand mining companies with mechanized bumps and shovel to get sand from river bed. Stakeholders with direct positive impact on aquatic resources are Shaoguan Institute of Fishery and Shaoguan Monitoring Team for Fishery. They organize artificially fish fry perforation and fish fry releasing activity. Farmers in the hilly and mountainous area are in charge of reforestation and forest conservation. Well vegetation cover helps to provide abundant clean water resources to the river. Stakeholders with management duties are various government bodies. In Shaoguan municipal government, stakeholders include Shaoguan Bureau of Fishery, Shaoguan Bureau of Agriculture, Shaoguan Bureau of Water Management, Shaoguan Bureau of Environment

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Protection, Shaoguan Committee of Reform and Development, Shaoguan Bureau of Forestry, Shaoguan Bureau of Housing and Construction, Shaoguan Bureau of Water Conservancy, Shaoguan Bureau of Labor and Social Security, Shaoguan Bureau of Public Affair, and Shaoguan Legal Office. Government management power can be traced dawn and up. So, township governments leading fishing villages are important stakeholders. Provincial government bureaus and even ministries of the central government are stakeholders if they are important policy makers relating to aquatic resources in Beijiang River.

1.7 Overall aims of the project at the site

China is country developing rapidly. Conflict between economic development and ecological conservation is quite serious. There is the same situation in river watershed ecosystem in China. The Pearl River lies in the subtropical southern China. The river is vital to the life of the people and to the ecological environment. It is also provide important water resources, sand resources, and power resources to support our industrialization and urbanization process. How to balance the social, economical and ecological services provided by the river, and how to balance the short term benefits with long term ecological stability of the river are big challenges. Beijiang River watershed in Shaoguan as our research site is chosen to focus on the specific conflicts and solutions related to aquatic resources. Different parts of the ecosystem are linked together through material and energy throw. Sustainable development relates not only on natural environment, but also on economic development and social development. However, no matters in terms of research, management, or simply making life, people are used to work or live within only small part of the system. How to get them work together to identify problems and solutions is also a big challenge. This project site is within the area governed by Shaoguan Municipal Government, it is convenient to conduct such a multidisciplinary research and to find out a comprehensive solution. The overall aims of the project at China site in Beijiang River within Shaoguan are to find out the threats faced by aquatic resources and the impact on the life of fishers, to analyze the social and economical factors causing this situation, to look for management and legislation issues related with the aquatic resources and to find out solutions which not only include long term solutions, but also short term actions. An integrative action plan will be made by identifying specific goals, results, indicators and agencies in charge of actions. We hope that the implementation of these actions will be helpful to improve the understanding of the stakeholders and to see its preliminary result toward sustainable development.

2. Assessment Methodology

According to the project design, more detail investigation was conducted for biodiversity and ecological services (W3), the livelihood of fishers (WP4), and the management and policy issues

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(WP5) in order to deepen our understanding on the issues of aquatic resources conservation and the conflicts for sustainable development (Fig. 4).

WP5 *Management and Policy, *Law and legal system

* Education, Environmental policy *Infrastructure, Species conservation policy *Social security Wage *Social and economic development of Shaoguan Municipal Region Livelihood of fishers *Behavior of other stakeholders

WP4 Labors

*Water pollution and Exploitation and habitat degradation conservation Ecosystem Ecosystem services *Releasing fish fry and services conservation zones

Natural environment in Beijiang River Watershed: *Ecosystem services,

*Aquatic species

WP3

Fig. 4 The relationship of Beijiang River Watershed Ecosystem with the three work packages

The eighteen members in our research team are experts from different fields including ecology, agronomy, botany, fresh water fish, ontonata, mullusc, phytoplankton, GIS, economy, and law (Table 4). They are assigned on one of the work packages (WP3, WP4, WP5) of the project for writing reports. We discussed our working plan, report of our investigation result and our understanding together in campus. Sometime, graduate students of our professors also joined our investigation. In order to work more effectively with various stakeholders and to understand the whole picture of the system by each one of our team, we then divided our team members into three multidisciplinary teams which are shown in the right column of Table 4. Each team was in charge of one of the three sampling villages, several government departments, several industrial companies, agricultural companies, and some farmers during our field work. Team members were usually changed and switched from one to another according to their availability. Graduate students would also join our team some times (Fig. 5).

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Table 4. Members in the Research Team in South China Agricultural University Name in English Name in Specialty WP in Field Team Chinese charge 1 Luo Shiming 骆世明 Agro-ecology WP1,WP2 leader 2 Cai Kunzheng 蔡昆争 Agro-ecology, Crop WP1, WP3 1 3 Zhang Jia’en 章家恩 Agro-ecology, Geology WP1, WP3 3 4 Li Huashou 黎华寿 Agro-ecology, Pollution WP1, WP3 2 5 He Hongzhi 贺鸿志 Phytoplankton WP1, WP3 2 6 Ye Yanqiong 叶延琼 GIS，Geology WP1, WP3 3 7 Cui Ke 崔科 FW fish WP1, WP3-1 2 8 Zhao Huihong 赵会宏 FW fish WP1, WP3-1 1 9 Fu Jinghua 付京花 mollus WP1, WP3-1 1 10 Gan Lian 甘炼 FW crab and shrimp WP1, WP3-1 3 11 Tong Xiaoli 童晓立 Aquatic Insects, Odonata WP1, WP3-1 3 12 Zhuang Xueying 庄雪影 Plant Taxonomy WP1, WP3-1 1 13 Wang Quandian 王权典 Environmental law WP1,WP5 3 14 Jiang Baoguo 江保国 International law WP1,WP5 1 15 Gao Min 高敏 Environmental law WP1,WP5 2 16 Liu Yiming 刘一明 Resources Economic WP1,WP4 2 17 Chen Fengbo 陈风波 Agricultural Economic WP1,WP4 1 18 Wang Wenzhong 王文中 Agricultural Economic WP1,WP4 3 19 Shang Chunrong 商春荣 Agricultural Economic WP1,WP4 2

For background investigation, we had a tour around the watershed for two days together and got some statistic data or writing material from various sources in 2009. Then, we held a workshop of stakeholders in Shaoguan. After, we introduced briefly the goal of our project. Then, we were separated into three groups for detail discussion. For the second stage of the research for W3, WP4, and WP5, we chose three sampling villages according to their typical locations and activities. We went to the each village with a multidisciplinary field team for about 6-10 times according to the research need. The work in villages including personal interview for families with different wealth ranking, discussion with focus groups of men, women, boys or girls, discussion about the long term family lock book for detail activity record. Subjects of the discussion included their life strategy, their living environment, and the changes in the past 10 years, the actions and management issues etc. In order to get a feedback on our background investigation from stakeholders and also to have participatory appraisal on the management issues, policy issues, actions and ecosystem services. We conducted two workshops with stakeholders in 2010. After we introduced about situation of Beijiang River ecosystem, the aquatic resources, the life of fishers and policy and management issues, each one in the workshop expressed his or her idea. We carefully listened and made notes. We also asked them to fill two forms by the end of the workshops. One is about the degree of agreement on our understanding of the basic situation. Another one is for Delphi method

15 HighARCS Report on Integrated Action Plan from China to understand the view of stakeholder on the important ranking of different policies and management issues. Each stakeholder filled the form independently. After the first round of Delphi method, we summarized the result and gave feedback to stakeholders. Then, we conducted the second round of Delphi method separately through mail, e-mail or direct contact.

Entomology Botany Fishery Ecology Economic Management Team Composition

Mixed Team one

An integrative Mixed Team two research group

Mixed Team three

z To form a comprehensive z To contact one of the three investigation plan and sampling fishing villages questionnaire. z To have interview and z To separate questionnaire discussion with one or few according to stakeholders stakeholders with specific z To hole workshops with questionnaire major stakeholders z To collect data from villages and stakeholders

An Integrative To exchange data, analyzing result Research Process and idea together

Entomology Botany Fishery Ecology Economic Management

Draft of WP3 Draft of WP4 Draft of WP5

Revised and Finalized by Project Leaders and EU Experts Report Writing Final Reports of WP3, WP4, WP5 Process

Fig. 5 The Assessment Methods for Beijiang River Watershed Each time before we went to the side, we designed a sheet of questionnaire together within

16 HighARCS Report on Integrated Action Plan from China our team. If we were going to different stakeholders, we compiled all questions related to the specific stakeholder together and formed a specific questionnaire. After the investigation in the field, we either had a group meeting or wrote a short report to exchange findings and data of each team.

3. Overview of biodiversity and ecosystem service values (WP3)

The biodiversity and ecosystem service values in the Beijiang River watershed have been assessed for the HighARCS project and are summarised below. Please see Shiming Luo et al.(2011) for detailed report on these findings.. 3.1 Biodiversity evaluation of aquatic resources

Literature review, field surveys, market surveys and household visits were undertaken to identify the aquatic species in the Beijiang River. The locations chosen to survey were the three project sites Lishi, Zhoutian and Kengkou which represent typical fishing villages along the river.

3.1.1 Fishes According to Pan JH (1985), there were 143 species in Beijiang River, including 3 introduced species. However, recent investigation conducted by the project, Guangdong Freshwater Fish Resource Investigation during 2005-2009 found that there were 141 native species in the Beijiang River. Among them, 94 species or 66.67% were cypriniformes, 19 species were perciformes (13.48%), 18 species were siluriformes (12.77%), and less than 3% species were other species (Sun-yat sen University, 2010). Almost all fishes in the Beijiang River can be consumed as human food. These fishes are very important to the daily life of local people. The species of cypriniformes and siluriformes are especially important, because they grow fast and can adapt to the changing surrounding quickly. Historically, the fish resource in Beijiang River was very rich. Fish harvested from the river in 1950’s reached 8,000 tons annually. Because of human activity such as sand quarrying, dam construction, and water pollution, the fish resources have been decreasing rapidly, and the annual fishing production has not been more than 2,000 tons since 2000 according to Shaoguan annual statistic reports. Most of the fish species captured were of the low valued species such as Saurogobio dabryi and Hemiculter leucisculus. Distribution: The project site Lishi is located in the northwest upper branch of Beijiang River, Wujiang, and joins into the main stream of Beijiang River from the north-west after passing through Lishi for 15 km. The project site Zhoutian is located in the northeast upper branch of Beijiang Rive, Zengjiang and joins into the main stream after passing through Zhoutian for about 35 km. The third project site Kengkou is located in the mainstream of Beijiang River about 31 km down from the joining point of Wujiang and Zengjiang in Shaoguan City (Fig.2). The surroundings of these three sites are quiet different. The quantity of fish caught was more in down stream. More fish species which adapt to the clean and fast running stream could only be found in the upper sites (Shaoguan Fish Monitoring Team 2011). There are usually more fish in terms of quantity behind the dams of hydropower stations with deep water, but less in front of the dams or in certain sections of the river with shallow water.

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Fish species composition: According to our investigation, 26 native species of freshwater fishes, belonging to 23 genera, 7 families and 3 orders were found in the 3 fishing villages. Among them, there are 20 species of cypriniformes, making up 76.9% of the total, 4 species of perciformes, or 15.4% of the total, 2 species of siluriformes, or 7.7% of the total. During the survey, the fishers told us that the composition of fishery harvesting was quiet different from the past that both the number of species and the amount of fish declined sharply. The fish species in Beijiang River found that are of conservation concern is listed in table 5 below.

Table 5 Fish species of Beijiang River that are of conservation concern Binomial National Red IUCN Economic or Population Method of List status Red List livelihood value trend in identification catchment Abbottina Not Evaluated Not Food fish Unknown. Literature rivularis Evaluated review. Acheilognathus Not Evaluated DD Small fish Unknown. Literature tonkinensis review. Carassius Not Evaluated Not Commercial Unknown. Literature auratus auratus Evaluated fisheries. review. Cobitis sinensis Not Evaluated Not Small fish Unknown. Literature Evaluated review. Cyprinus carpio Not Evaluated Vulnerable( Commercial Unknown. Literature VU) fisheries. review. (A2ce) Metzia formosae VU VU Food fish Unknown. Literature review. Microphysogobi Not Evaluated LC Small fish Unknown. Literature o fukiensis review. Misgurnus Not Evaluated Not Fisheries: Unknown. Literature anguillicaudatus Evaluated commercial; review. aquaculture: commercial; aquarium: commercial; bait: occasionally Pelteobagrus Not Evaluated LC minor commercial Unknown. Literature fulvidraco review. Pseudogobio Not Evaluated LC Small fish Unknown. Literature vaillanti review. Pterocryptis Not Evaluated Not Commercial Unknown. Literature cochinchinensis Evaluated fisheries. review. Puntius Not Evaluated Not Small fish, Unknown. Literature semifasciolatus Evaluated Ornamental fish review. Rhinogobius Not Evaluated Not subsistence Unknown. Literature giurinus Evaluated fisheries review. Rhodeus lighti Not Evaluated LC Small fish, Unknown. Literature Ornamental fish review. Sarcocheilichthy Not Evaluated LC Small fish Unknown. Literature s parvus review. Sarcocheilichthy Not Evaluated LC Commercial Decline Literature s sinensis fisheries. review. Saurogobio Not Evaluated Not Fisheries Unknown. Literature dabryi Evaluated review.

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Schistura Not Evaluated Not Small fish Unknown. Literature fasciolata Evaluated review. Schistura incerta Not Evaluated Not Small fish Unknown. Literature Evaluated review. Schizothorax Not Evaluated NT Food fish. Unknown Literature wangchiachii review. Sinibotia Not Evaluated Not Small fish Unknown. Literature pulchra Evaluated review. Sinibotia robusta Not Evaluated LC Small fish Unknown. Literature review. Toxabramis Not Evaluated Not Food fish Unknown. Literature houdemeri Evaluated review. Traccatichthys Not Evaluated LC Fisheries: of no Unknown. Literature pulcher interest review. Yunnanilus Not Evaluated EN None Possibly Literature nigromaculatus extinct review

3.1.2 Molluscs According to Liu et al. (1979), there are 86 species of mollusks in the Pearl River and only 8 mollusc species are common molluscs caught by fishermen in three river sections close to the three fishing villages which are chosen as our project sites. No detailed data on the other species were found. Table 6 shows the species of conservation concern in the survey. The majority of these species belong to Unionidae and Vivipardae families. Some large molluscs such as Hyriopsis cumingii and Cipangopaludina ampulliformis have good potential for market development (Liu et al, 1979; Li et al, 2009). Therefore, attention should be paid to the development and sustainable utilization of these large molluscs.

Table 6 Mollusc species of Beijiang River that are of conservation concern

Population National IUCN trends at Species Red List Red Economic importance the Source binomial status List site/wider catchment Hyriopsis Not LC Commercial use for producing Declining Literature cumingii evaluated freshwater pearls, and used for food, in the review animal feed, buttons and art ware catchment Lamprotula Not LC Important use buttons and art ware Declining Literature leai evaluated in the review catchment Lamprotula Not NA Use for food, animal feed, buttons Declining Literature mansuyi evaluated and traditional Chinese medicine in the review catchment Bellamya EN DD Used for food Population Literature limnophila is small review

Benthic organisms (such as mollusc) are valuable bio-indicators for water quality, especially for the quality of bottom water and sediment. For example, Cipangopaludina chinensis is very

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sensitive to neutral polluted water, and Semisulcospira libertina is very sensitive to even slightly polluted water (Deng et al, 2007). Since a lot of Semisulcospira libertina can be caught from the three sampling sites. It indicates that the water and sediment in the river are not seriously polluted at present. A lot of apple snail (Ampullarius gigas), a native species of Amazon River basin in South America which was introduced into China in 1981, was found in Beijiang River. Due to its rapid growth, amphibious nature, strong reproduction ability and adaptability, it soon formed its natural populations in most parts of southern China. It now threatens the biodiversity and ecosystem functions where it is found (Yang et al, 2010). Therefore, preventive and control measures should be taken.

3.1.3 Shrimp and crab Fishermen also catch shrimps and crabs with fish, such as Procambarus clarkii (Louisiana crayfish), Macrobranchium nipponense (Giant Freshwater Prawn) and Eriocheir sinensis (Chinese mitten crab). These shrimp and crabs have high nutritional value with rich protein and minerals. However, Procambarus clarkii is an invasive alien species native to south-eastern United States, and holds a competitive advantage over native species and may damage the native ecosystem. 3.1.4 Aquatic plants Based on the literature (Ye et al., 2005), there are 175 aquatic vascular plants belonging to 35 families and 100 genera in Beijiang River watershed area. A total of 10 submerged plants were collected and identified in the three sites. Of these, Potamogeton wrightii, Vallisneria natans, Myriophyllum verticillatum, and Hydrilla verticillata were found in all three sites. Potamogeton wrightii is the most abundant species. Ceratophyllum demersum and Potamogeton crispus were only seen in two of the three sites and their populations were usually small. The remaining species were seen in only one site and had small populations except for Najas marina which is the dominant species in Lishi. All these species are listed as Least Concern in the Red List of IUCN. 3.1.5 Odonata The Odonata surveys were conducted at three sites (Lishi, Zhoutian and Kengkou) in the Beijiang River on 28-29, Oct. 2010. The survey methods include observed, netting and kick sampling (for larvae). Most Odonata species found were very common and widely distributed in all kinds of freshwater habitat. They have not been valued as indicator species. No research so far have been conducted on the relationship between them and the environment in the Beijiang River. All species of Odonata in the Beijiang River were assessed as Least Concern and none of them are used by people in their daily life. The species in the Beijiang River as follows:

Lishi reach of the Wujiang River: Site 1: 1 species Anax parthenope julis Site 2: 21 species Anax parthenope julis Brauer, 1865 Epophthalmia elegans (Brauer, 1865)

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Ictinogomphus pertinax (Hagen in Selys, 1854) Brachythemis contaminata (Fabricius, 1793) Orthetrum pruinosum neglectum (Rambur, 1842) Orthetrum sabina sabina (Drury, 1770) Orthetrum glaucum (Brauer, 1865) Sympetrum darwinianum Selys, 1883 Sympetrum eroticum ardens (McLachlan, 1854) Sympetrum risi risi Bartenev, 1914 Tholymis tillarga (Fabricius, 1798) Tramea virginia Rambur, 1842 Trithemis aurora (Burmeister, 1839) Libellago lineata (Burmeister, 1839) Copera marginipes (Rambur, 1842) Ceriagrion auranticum ryukyuanum Asahina, 1967 Ischnura senegalensis (Rambur, 1842) Pseudagrion pruinosum fraseri Schmidt, 1934 Pseudagrion rubriceps rubriceps Selys, 1876 Pseudagrion spencei Fraser, 1922 Prodasineura autumnalis (Fraser, 1922) Site 3: 8 species Brachythemis contaminata (Fabricius, 1793) Crocothemis servilia servilia (Drury, 1770) Pantala flavescens (Fabricius, 1798) Trithemis aurora (Burmeister, 1839) Libellago lineata (Burmeister, 1839) Ceriagrion auranticum ryukyuanum Asahina, 1967 Pseudagrion spencei Fraser, 1922 (larva) Pseudagrion spencei Fraser, 1922 Zhoutian reach of the Zhenjiang River: Site 1: Crocothemis servilia servilia (Drury, 1770) Site 2: Anax parthenope julis Brauer, 1865 Crocothemis servilia servilia (Drury, 1770) Orthetrum pruinosum neglectum (Rambur, 1842) Orthetrum glaucum (Brauer, 1865) Pantala flavescens (Fabricius, 1798) Sympetrum eroticum ardens (McLachlan, 1854) Trithemis aurora (Burmeister, 1839) Matrona basilaris Selys, 1853

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Copera marginipes (Rambur, 1842) Ceriagrion auranticum ryukyuanum Asahina, 1967 (larvae) Onychothemis testacea tonkinensis Martin, 1904 Kengkou reach of the Beijiang River: Site 1: Not found Odonata. Site 2: Orthetrum sabina sabina (Drury, 1770)

3.2 Values of ecosystem service provided by Beijiang River watershed ecosystem

3.2.1 Ecosystem Services of Beijiang River Watershed Ecosystem services are the conditions and processes through which natural ecosystems and the species that make them sustain and fulfill human life (Daily 1997). Ecosystem services can be divided into 4 types: product supply, ecological maintenance, culture functions and support functions (Springate-Bafinski et al., 2009). We defined that the ecosystem of Beijiang River Watershed used in this research is the same as the management area of Shaoguan, since Shaoguan cover almost entire Beijiang Watershed area except a very small part lied in the very beginning of the upper streams which can be traced back to Jiangxi Province. It is estimated that the total ecosystem services provided by Beijiang River watershed was 29.8 billion Yuan in 2007 (Table 7). This represents 61.4% of the GDP of Shaoguan City in the same year.

Table 7 The Summarized table of ecosystem service values of 2007 in Shaoguan City (unit: million Yuan) Total Gas regulation 4407.65 Climate regulation 3523.78 Water conservation 4708.86 Soil formation 5109.65 Water treatment 2541.26 Biodiversity conservation 4240.29 Food production 342.46 Raw materials 3214.99 Recreation 1712.51 Total 29801.45

(1) Provisioning Services Wood: In the year 2008, the standing forest stock was 65.235 million m3, with the biomass of forest being 73.666 million tons, including 46.91 million tons of commercial forest biomass and 26.755 million tons of non-commercial forest biomass in Shaoguan. Aquatic products: In 2007, the aquaculture output of Shaoguan City was 60,395 t, including 59,612 t fish, 393 t shellfish, and 202 t shrimps and crabs, and total value was 4.3 ×10 8 Chinese Yuan. Most of the fish was produced by fish culture in fish pond. Water for productive use: There are 1,567,200 hm2 of agricultural land and 1,433,000 hm2

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of forest land in Shaoguan in 2008. Many parts of them get benefits from irrigation. The industrial water consumption was 5.49×106 tons in 2008. Hydropower Supply: The actual utilizable hydropower reaches 1,474,000 kW in Beijiang River. The annual hydropower generated electricity can reach 55.8 billion kWh. River Transportation: In 2008, there were 698 km water transportation channels in Shaoguan and the shipping capacity reached 15 million tons. Food products: In 2009, the grain growing area was 1,567,266 ha with a total production of 9,010,000 t in Shaoguan. (2) Regulating services According to the ecological service assessment methods, the value of forest ecosystem service in Shaoguan was 8.4737 billion Yuan in 2008, including 2.3675 billion Yuan of forestry carbon assimilation, 2.5528 billion Yuan of forestry oxygen releasing, 1.998 billion Yuan of forest water saving and flood control, 300 million Yuan for cleaning atmosphere, 0.3855 billion Yuan of forest soil erosion control, and 0.1375 billion Yuan for wildlife protection benefit (Shaoguan Bureau of Forest, 2008). (3) Supporting Services The supporting service includes soil development, circulation of materials, etc. Soil is formed through a slow process for thousands of years. The total land cover in Shaoguan is 17,100 km2 (Statistical Bureau of Shaoguan, 2008). It is estimated that soil carbon storage is 118 times larger than all plant carbon storage, while soil nitrogen storage is 19 times larger than plants nitrogen storage (Schlesinger，1991). (4) Cultural Services Cultural services typically include the spiritual enjoyment, inspiration, entertainment, sports, aesthetic, education etc. In Beijiang basin, it’s mainly sightseeing, fishing, boating and swimming. There are 10 forest park, 22 nature reserves, many cultural tourism resources and historical sites in Shaoguan City. At present, ecosystem services are facing serious threads. Many newly built dams across the river cut off the river and changed the water depth and flow pattern. Pollutants from facotries and mining sites cause water pollution. Sand mining activities along the river are stimulated by market demand and seriously destroy the sandy river bed where is the habitate of many aquatic plant and molluscs species. 3.2.2 The economic cost of maintaining ecosystem services in Beijiang River We calculated the economic cost of Beijiang River by using the methods of literature review, expert consultation, and social-economic information gathering and participation technique as suggested by the IUCN toolkit (Springate- Baninski et al. 2009). The management cost was by far the biggest cost. It was about 1.41 billion Yuan each year and less than 5% of the service value provided by the ecosystem. (1) Management costs

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Costs for water pollution control: Major water pollution sources of the Beijiang River include agricultural sewage discharge, household sewage discharge and industrial sewage discharge. The total direct cost of water pollution control is about 6.7×108 Yuan during the period 2006-2010. Cost for the maintenance of river channels: The costs for maintaining river channel included: 2,000 and 3,680 million Yuan for river dike protection and flood control during the period of 2002-2010; 400 million Yuan RMB for river bed dredging, 200,000 RMB for the cleaning and transporting of river garbage and water hyacinth (Eichhornia crassipes), 247.2 million Yuan RMB for waste treatment during the period 2006-2010. Cost for biodiversity protection: Cost of fish species protection and proliferation is about 3 million Yuan RMB every year. Cost for fisheries management: It is about 3 million Yuan RMB per year. Cost for reforestation and water conservation: Cost of reforestation project along hilly area of Shaoguan highway system was about 384 million Yuan. The investment for water conservation was about 2.1×108 Yuan during 2006-2010. (2) Opportunity cost Development of heavy industry and chemical industry: For maintaining the water quality of Beijiang River, it is not allowed to develop certain industries which may pollute the river. Local government had turned down many proposals about the setting up of chemical industry or heavy industry with pollution. Its economic loses for that region was large and it is hard to be estimated. Biological conservation, ecological compensation and monitoring: Some projects in Beijiang River watershed have to be changed from their optimum design to a more expensive design for the conservation purpose. Some projects have to pay more ecological compensation fee, and ecological monitoring fee in this sensitive region. (3) Cost for other reasons Water borne disease: River water can transmit water borne disease, such as schistosomiasis. Cost for the controls of water bourn disease in Shaoguan City is about 0.2 million Yuan each year. Costs for flooding: In order to prepare for flooding, the expenditure for material purchase and personal training is 3.65 million Yuan each year in Shaoguan City. 3.2.3 Participatory evaluation of Beijiang River ecosystem services According to the ecosystem service and ecosystem cost methods (Olive Springate-Baninski, David Allen, William Darwall, 2009), a participatory assessment for ecosystem service provided and ecosystem cost charged by Beijiang River was conducted. The most important ecosystem services considered by stakeholders are aquatic product supply, daily water supply, flood control function, hydro-power supply and dilution of pollutants. Spiritual function, clean environment, reduction of diseases, educational value and sand production are considered as the second important category of ecosystem services. However, different view from stakeholders could be identified. Fishers paid more attention to clean environment, water pollution, and aquatic products

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than other stakeholders. Leaders of enterprises paid less attention to the pollution diffusion, aquatic products and drought than other stakeholders. 3.2.3.1 The assessment result of ecosystem services (1) The most important ecosystem services recognized by stakeholders The most important ecosystem services ranked by the stakeholders include aquatic products; daily water supply, reducing flooding, hydro-power supply and dilution of pollutants by Beijiang River (see the red part in ecosystem service of Table 8). The average importance achieved from stakeholders is all more than 3.61 in the maximum 5 point evaluation systems. These services can touch everyone living in the Beijiang River area. However, fishermen pay more attention to aquatic products (Table 9, item 4), and pay less attention to the flooding caused by river (Table 9, item 15). Government officers and leaders of enterprises give more attention to daily water supply than farmers and fishermen. It may be the reason that many farmers and fishermen rely on well water rather than tap water (Table 9, item 2). (2) The second most important ecosystem services considered by the stakeholders The second most important ecosystem services considered by the stakeholders (an average score of 3.16-3.55 points) include the spiritual function, clean environment provided, reduction of diseases; educational function, and sand production for construction (see the orange part of ecosystem service in Table 8). It is beyond our expectation that spiritual function was so heavily weighted by stakeholders, because they are not so popularly involved in religious, neither in intellectual activities. The function for clean environment was considered less important by farmers than by the other stakeholders, possibly a result of farmers’ activity being confined on land (Table 9, item 14). (3) The third most important category of ecosystem services recognized by stakeholders The third most important category of ecosystem services (2.56-3.04 points) ranked by the stakeholders include biodiversity, scientific research, stable air temperature and humidity, industrial and agricultural water supply, beautiful environment, residential value, and river transportation (see the yellow part of ecosystem service in Table 8). In general, the values given by fishers were lower than from other stakeholders, except for scientific research (Table 9).

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Table 8 Evaluation Result for Ecosystem Services Item of Service Average SD Duncan’s multi-range test* 11 swimming 1.71 1.22 a 9 boating 2.06 1.36 a 8 game fishing 2.07 1.37 a 10 tourism 2.08 1.28 a 6 transportation 2.56 1.38 b 23 research 2.58 1.55 b c 1 irrigation 2.87 1.77 b c d 12 air humidity 2.94 1.56 b c d e 20 beautiful environment 2.98 1.54 b c d e Ecosystem 3 industrial water supply 2.99 1.63 b c d e Service 13 stable air temperature 3.00 1.5 b c d e provided by 19 residential value 3.03 1.63 b c d e Beijiang 18 biodiversity 3.04 1.48 c d e River 5 sand for construction 3.16 1.57 d e f g 22 education 3.32 1.58 e f gh 17 reduce diseases 3.34 1.58 e f gh 14 clean environment 3.53 1.54 f gh i 21 spiritual home 3.55 1.34 f gh i 16 delete pollution 3.61 1.55 g h i 7 hydro-electricity 3.62 1.48 g h i 15 reduce flooding 3.71 1.58 h i 2 daily water use 3.77 1.74 h i 4 aquatic products 3.98 1.34 i

-2 drought 2.15 1.55 a -3 transmit diseases 2.75 1.61 b c d -10 water hyacinth 2.88 1.66 b c d e -8 planting tree 3.09 1.63 d e f Ecosystem -11 picking up river garbage 3.21 1.67 d e f g cost caused 3.24 1.56 e f g by Beijiang -7 fishing management River -4 pollutant diffusion 3.52 1.49 f g h i -6 river bed clearance 3.6 1.49 g h i -5 dike building 3.62 1.52 g h i -9 river pollution control 3.83 1.57 i -1flooding 3.86 1.73 i z Factors with the same character did not significantly different within 5% significant level; they can be assigned to the same group. The numbers in front of the service items are the same as in table 15. Negative number indicates ecosystem cost.

(4) The least important category for ecosystem services for stakeholders The least important category for ecosystem services (1.71-2.08 points) ranked by the stakeholders includes tourism, fishing as sport, boating as sport and swimming. Although tourism is developing very quickly, the number of people involved in these services is still very limited. However, the value given from government officers and leaders of enterprises is significantly higher than from fishers and farmers, possibly as people from these groups may have more

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opportunity to enjoy these services due to their better financial situation.

3.2.3.2 The assessment result of ecosystem costs （1） The most important ecosystem costs The most important ecosystem costs ranked by the stakeholders include the damage caused by flooding and pollution, the expenditure used in waste water treatment; dike building and dredging of river bed for transportation (see red part in ecosystem costs of Table 8). They are very relevant to the most important category of ecosystem service (Table 8, red part in ecosystem services). It is reasonable because the costs reflect the money used for strengthening the services, or the damage caused by stopping that service. For example, the stakeholder considers reduce of flooding and dilute pollution are very important ecosystem services. Hence they also considered that the money spends in waste water treatment, dike building and dredging is also very important. The leaders from enterprises group gave significantly lower values than the other stakeholders on pollutant diffusion by the river (Table 9, item －4), possibly as many companies are releasing pollutants to the river and they are not directly affected by the polluted river.

Table 9 the influence of Stakeholder to the evaluation of ecosystem services Average score for the evaluation Result of Duncan’s

of the importance multi-range test* Leaders of Gov. Leaders of Stakeholders Gov.officer Farmer Fisher Farmer Fisher enterprise officer enterprise Average 3.54 3.42 3.28 2.87 c cb b a 10 tourism 2.80 2.64 2.29 1.73 b b ab a 6 transportation 2.87 3.50 2.59 2.27 ab b a a 20 beautiful environment 3.80 3.71 3.41 2.50 b b ab a 3 industrial water supply 4.00 4.14 2.35 2.66 b b a a -11 picking up river garbage 3.47 4.07 3.47 2.89 ab b ab a 1 irrigation 4.40 4.71 3.70 1.85 bc c b a 12 air humidity 3.60 3.42 3.53 2.50 b ab b a 13 stable air temperature 3.53 3.71 3.35 2.61 ab b ab a 18 biodiversity 4.13 3.57 3.17 2.61 c bc ab a -1 flooding 5.00 5.00 4.47 3.16 b b b a 15 flooding control 4.60 4.21 4.21 3.24 b ab b a 2 daily water supply 4.93 5.00 4.05 3.13 b b ab a -8 tree planting 4.06 3.78 4.12 2.42 b b b a 14 clean environment 4.40 4.07 2.95 4.41 b b a b -4 pollutant diffusion 3.80 2.35 3.41 3.74 b a b bc 4 aquatic products 3.80 3.21 3.53 4.32 b a ab b -2 draught 1.53 1.00 2.65 2.41 ab a c bc * Factors with the same character did not significantly different within 5% significant level; they can be assigned to the same group. The numbers in front of the service items are the same as in Table 15. Negative number indicates ecosystem cost. （2） The second most important ecosystem costs The second most important ecosystem costs ranked by stakeholders include expenditure used

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for fishing management, picking up river garbage, and tree planting (Table 8, orange part of ecosystem costs). Fishers gave a significant lower value to tree planting than other group of people ( Table 9, item -8).This may be due to the fact that only a very few activities of fishers link directly to the forest up in the hill and mountain, like firewood collecting if flooding did not carry enough wood for them. （3） The third most important category of ecosystem costs The third most important category of ecosystem costs ranked by stakeholders include the expenditure induced by diseases spreading along rivers and the picking of the invasive water hyacinth in rivers and lakes ( Table 8, yellow part in ecosystem cost). （4） The least important group of ecosystem costs The least important group of ecosystem costs includes the lost caused by drought such as field crop failure and lack of drinking water supply. Many people recognize that river itself is not the reason of draught (Table 8, white part of ecosystem costs).

3.2.3.3 The analysis of differences among different stakeholders (Table 9) （1） men and women There is no significant difference in the ranking ecosystem services made by men and women. This is likely due to the equal statue of men and women in their daily life in this region. They often work together and share their life together without significant sexual work separation. （2） government officers, company leaders, farmers and fishers The higher the average ranking given by a stakeholder group, the more important they considered the ecosystem services provided by freshwater. The average ranking value for ecosystem services is in this order: government officers (3.54) > leaders of enterprises (3.42)> farmers (3.28) > fishers (2.87) (Table 9, line 1). Surprisingly the fishers have the lowest average, even though they are probably the most heavily reliant upon the services provided by the river. This may be due to the concept of ecosystem services being quite abstract and that some groups of fishers and farmers needed more explanation, whereas the government officers and leaders of enterprises are usually more educated. The slide explanation for government officers and leaders of enterprises in a meeting room was more easily understood than oral explanation by different researchers for farmers and fishers in their houses. （3） The farmers perception about ecosystem services Although fishers gave lower value to many ecosystem services and costs, they did score the clean environment (Table 9, 14) , water pollution (Table 9, －4) , aquatic production (Table 9, 4) , and drought disaster ( Table 9, －2) very highly. Although leaders of enterprises gave high scores for many ecosystem services and costs, they did score pollutant diffusion, aquatic products and drought relatively low. These may be the reason of conflict of interest among different stakeholders. Hence, the difference between fishers and enterprise leaders should be solved by education about ecosystem service, communication among stake holders and policy regulation.

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Leaders of enterprises need a greater understanding of the importance of the river to the livelihoods of fishers and the serious impacts of water pollution. Government policy should help fishers to overcome the loss caused by pollution and other economic activities. For example, ecological compensation fund should be set up and collected from industrial companies which damaged ecosystem services. More financial support should be channeled to help the conservation and proliferation of aquatic species, to improve the housing and employment opportunity of fishermen, and to recover ecosystem structure such as reforestation, soil erosion control, pollution treatment etc.

4. Overview of Livelihoods (WP4)

4.1 Livelihood Strategy In the watershed of Beijiang River, the livelihood strategies of different social groups are varied. The main livelihood strategies of fishers are fishing, trading fish, working outside (labor), planting vegetables, raising livestock, and gathering woods from the river or the forest. The fishing communities are more directly dependent upon fishing, particularly for the old generation (Table 10). Table 10 Percentage of households’ income resources in the three sampling villages Name of the sampling village Lishi Kengkou Zhoutian 100% of income from fishing 35.48% 34.38% 3.33% 50%-100% of income from fishing 25.81% 28.13% 30% under 50% of income from fishing 19.35% 15.63% 20% Total household with income from fishing 80.64% 78.14% 53.33% 100% of income from laboring 9.68% 0.00% 6.67% 50%-100% of income from laboring 25.81% 12.50% 36.67% under 50% of income from laboring 12.90% 6.25% 23.33% Total household with income from wage outside 48.39% 18.75% 66.67% Data sources: from household survey in the selected fishing communities

4.2 Class and livelihood Although the status of fishers’ livelihoods are analyzed based on the wealth group which are defined as rich, medium and poor groups, the majority of fishers would probably more realistically to be fitted into the ‘coping’ category, especially if they have health problems or no outside wage income source. Otherwise some may be categorized as the “subsistence” category. There are only very few fishing households which can be fitted into the category of “accumulating”. Although the rich households have higher income from fishing, interviews suggest that the poor households are more dependent upon fishing (Fig. 6). Within the fishing communities, there was little evidence of unequal class relations. The economic statuses of most fishers are poor, and there is some commonality across households in access to productive resources. They can therefore be considered as a single economic class with the exception of a few engaged in business activities.

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There was no evidence of unequal relations between fishers and farmers, although fishers depend upon the wealthier farmers to buy their fish. However, there are clearly significant disparities in wealth and in access to government resources between fishers and farmers. The gradual undermining of the environmental resources which fishers depend on and their unfavorable access to state resources suggest that fishers are becoming slowly alienated from their traditional livelihoods, and are entering the urban or rural working class. As there are only limited significant differences in terms of economic status within fishing communities, and between fishers and farmers, the most unequal relations that fishers are integrated into are with the powerful social classes in towns and cities.

Fig. 6 Percentage of aggregate group income from fishing and non-fishing activities for each wealth category 4.3 Market and Credit relations Fish stocks have declined in all villages. There are a number of explanations for falling stocks. Hydro dams and sand mining are considered the most important two factors. The income of fishers is therefore low. They sell most of their fish locally, and often eat the lower quality fish by themselves. Opportunities for large investments that would offer accumulation opportunities are limited in this context. Few fisher households take loans. If they do need to make a big investment, most households can not access to institutional credit as they lack sufficient collateral and it is complex to apply for a formal loan. They mostly take loans from family members or other relatives who work outside. There are no private money lenders. Either way, most of the fishers do not think loan can improve their family economic status.

4.4 Access to Political Power The insecure economic status of fishers is compounded by their weak political position. The fisher households have limited access to political power and there was a strong feeling of powerlessness within their communities. The state pays insufficient attention on their problems. There appeared to be a perception that the farmers have greater access to political power than the fishers and receive a lot more support from the government. Although there are some national and provincial regulations relating to aquatic resources and protection of the resources, there is a lack of local management regimes for fishing communities. There are no formal or informal organizations such as Fishermen’s Association or Fishermen’s Cooperatives for fishermen to

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participate in Shaoguan Municipal Area. Such organizations would at least offer the community the opportunity to voice their concerns. Even community organizations at the basic level in the fishing communities themselves are limited.

4.5 Gender and Age Relations In terms of gender and age relations, the report found that most husbands and wives go fishing together and have quite equal status, but there are still some job divisions between them ( Table 11). Generally, women are responsible more for housework and men are responsible more for heavy jobs. Most of the children do not go fishing with their parents. Their parents also don’t like their children to go fishing in the future. Most of the children engage in some of the housework while young, and then aspire to move to urban centers to work after they finish 9 year free education.

Table 11 The reply from men and women on the division of jobs between sexual groups Answer from men（%） Answer from women（%） Men’s Women’s Job for Men’s Women’s Job for job job both job job both Selling fish 35 35 31 15 60 25 Cleaning house 13 70 17 0 95 5 Collecting firewood 48 16 36 14 61 23 Cooking 4 65 30 9 86 5 Washing dishes 12 64 24 5 86 9 Collecting water 31 37 31 12 88 0 Looking after parents 8 22 70 0 47 53 Money saved 59 6 35 65 24 12 Original resource: deal with the data by focus group on May 2010

4.6 Major Concerns of the Fishers about their livelihood Based on the analysis of fishers’ livelihood, the current key issues faced by fishers are as follows. 1. Declining of fish stock. Fish stock is declining in Beijiang River due to pollution, sand mining, the construction of dams and hydropower station, which have a significant impact on fishers’ livelihoods. The income of fishers is lower than the farmers. The fishers have to diversify their livelihood activities to subsidize their daily live. Almost all young people do not depend upon fishing any more. Although some regional programs have already done by the government to improve the environment and the aquatic resources, fish stock declining continues. 2. Fishing license issues. Many fishers do not have a license for fishing; hence can not get the diesel oil subsidy. The fishers must pay 105 Yuan annual fee for the fishing license. The license will be canceled if the fishers do not pay the annual fee by any reasons. The government refused to reissue the license in order to control fishing activity. Because of the increase of diesel price in recent years, it is very hard for those fishers who do not have the license and hence the diesel oil subsidy.

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3. Pension issues. Most of the fishers do not have a pension which is concerned seriously by the fishers, particularly the older generation. The fishers may have no income when they stop fishing, because they do not have any land for farming. In rural areas, there is a new pension policy for all the farmers, but fishers can not share this policy. Fishers belong to the group as residence and at present the residence in town or city pay one part for their pension and the working affiliation pay another part. But the fishing communities do not have any collective income source and can not help the fishers to pay the other part of the pension. The fishers have to pay all for themselves if they want to have the pension in the future. But most of the fishers do not rich enough to pay, particularly for those belong to the poorest part. 4. Medical care issues. There is also a new policy for all the farmers to participate into the health insurance but the fishers can not share this policy. Only the better-off households can afford to pay the health insurance designed for city residents. For poor households, they have to pay all medical treatment as soon as they get sick and the economic situation of their livelihoods may become worse. 5. Housing issues. Part of the fishers live in the houses provided by the government, but there are still many fishers without their own houses and have to rent a house or live on boat. Most of the houses in fishing villages are close to river and the houses are easy to be inundated by flooding. The government is preparing to build new houses for the fishers who are living on the boats within Shaoguan urban area, but there are no plans for the fishers who live in rural areas so far. 6. Compensation issues. The behavior of some stakeholders such as pollution emitters, sand mining companies, and hydropower stations have a significant impact on the ecosystem and the livelihoods of fishers, but there are still no definite criterion for compensation related to the ecosystem services and the loss of fishing harvest. 7. Subsidize for no-fishing season. A no-fishing season will be implemented from April 1 to June 1, 2011. During this season, the livelihoods of the fishers, particularly the specialized fishers, will be very difficult. The local government has not decided how to subsidize the fishers or how to provide them with opportunities for living. 8. Education issues. At present, the education of primary and junior secondary school is free and the fishers’ children can also enjoy this policy. But most of the fishers still find it difficult to pay for further education including senior secondary school and university education. Some of the households have to borrow money from their relatives to pay for their children’s higher education. Hence, many children have to find jobs instead of education from the age of 15-16. 9. Transportation issues. It is not convenient for some fishing communities to reach out for school, health centre and market because of poor infrastructure in transportation. 10. Vulnerability to economic and environmental shocks. Because of low incomes, the abilities of fishers to bear the economic and environmental shocks are very weak. At most of the time, the fishers only get help from their relatives or neighbors when they need money for medicine, building house, or natural disasters. It is difficult for fishers to get loan from the bank

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for lack of mortgage. 11. Communication issue related to dam gate operation. Although notice to the public will be delivered through TV or radio by hydropower stations before they raised water gates and lowered the water level of the rivers, most of the fishers can not get the notice in time which may threaten the fishers’ assets or even their lives when they were fishing in the rivers. 12. Organization issues. The fishers do not have their own organization, such as Fishermen Association or Fishermen Cooperative. It is difficult to organize the fishers when they meet problems. They have very week bargaining power whenever encounter other stakeholders.

5. Overview of institution, policy and conflicts (WP5)

The major institutions, laws, policies and conflicts related to the study site in China are reviewed here. The review is arranged here according to environmental elements, including biodiversity, fishery resources, water and forestry. The contents of each section include an introduction to the related rules and an analysis on the conflicts we identified. Rules related to sustainable livelihoods will also be reviewed after the environment issues.

5.1 Biodiversity 5.1.1 Related institutions, laws and policies China’s constitution of 1982 protects rare species. Article 9 of the constitution stipulates that the state encourages reasonable utilization of natural resources and protects rare species. Wildlife protection Act of 1988 shares the same view. Ocean Environment Protection Act of 1995 attaches great importance on the protection of ecosystem. Desertification Act of 2001 designate different functional zones for the purpose of development planning. The establishment and management of natural reserves is one of the major means of maintaining biodiversity. Nine conversation areas with area more than 3,780 ha have been set up in order to protect the biodiversity in Shaoguan municipal area. The protection species include Asian giant soft-shell turtle, marbled eel, wattle-necked soft-shell turtle etc. At the same time, crude fish killing methods such as explosion, poison or electricity were prohibited. Fishermen get their fishing license from Shaoguan Fisheries Administration Team. There are 180 families with fishing license at present. Efforts such as fry releasing, “returning the grain field in slope to forestry”, establishing management system for the protection of key national protected wild animals and plants, have been strengthened in the past decade. (Bureau of Environment Protection, 2008) 5.1.2 Primary problems identified A. The protection list is too short. Constitution and Wildlife Protection Act only protect rare or endangered species on the national or provincial list, while those not on the list, but are important for livelihood are not protected by law. B. Rules on restoration and sustainable development of biodiversity are still very weak.

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Current laws are more concerned about the protection than about the restoration and sustainable development of natural resources. C. Unreasonable delineation of powers usually results in either inefficiency or conflict. The law classifies various species into two major sorts: aquatic and terrestrial, and delineate jurisdictional powers accordingly. However, some species are not easy to be classified as aquatic or terrestrial, and this dilemma usually leads to conflict or vacuum of different jurisdictions.

5.2 Fishery resources 5.2.1 Related institutions, laws and policies Since late 1970s to middle 1990s, China’s legal rules on fishery resources in inland waters have taken its initial shape, which mainly includes: Aquatic Resources Propagating Protection Ordinance (1979), Wild Animals Protection Act of the People's Republic Of China (1988), Fishery Act of the People's Republic Of China (1986), Detailed Rules For the Implementation of The Fishery Act of the People's Republic of China (1987), Aquatic Animals And Nature Reserve Management Ordinance (1997), Fishing License Approval Ordinance for the Protection of Fishery Resources (1989), Fishery Resources Proliferation Tax Ordinance (1988). With these legislations, China has established legal institutions on fishing license, fishery resources proliferation tax, no-fishing periods and no-fishing zones, prohibition of destructive fishing methods, limitations on fishable size, protection of larva and aquatic animals of important economic value, and thus formed a comparatively complete legal system on development, utilization, maintenance and management of fishery resources (Tang et al., 2010). In mid-1990s, due to the fishing capacity surplus and fishery resources recession, China began to implement a series of fishing policies such as training and transferring fishermen to other occupations, no-fishing on Yangtze River in spring, to control the overexploitation of fishing resources, and improve aquatic environment by proliferation discharge and artificial reefs construction, and modify the Fishery Act and Fishing License Approval Ordinance accordingly (Tang et al., 2010). Guangdong Province also make its own rules in accordance with national legislation which include Guangdong Fishery Management Ordinance (2003), Fishing License Management Ordinance of Guangdong Province (1992), Collections Standards for Fishery Proliferation Tax of Guangdong Province (1989), Interim Collection Rules for Fishery Proliferation Tax of Guangdong Province (1989), Fishing License Approval Rules of Guangdong Province (1992), Important Aquatic Animals Fry Management Rules of Guangdong Province (1995), etc. 5.2.2 Primary problems identified A. Some effective protection and management polices hasn't yet been adopted by legislations, including training and re-allocation of fishermen, and joint effort for law enforcement on sand mining along the river banks. B. The standards and detailed rules for fishery resources compensation are still not clear. The

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Fishery Agency of Shaoguan consulted the hydropower dams on the feasibility of charging them fishery resources compensation tax in 2004 and 2006, but due to the lack of authorization from formal legislations, the agency doesn't have the power to do more on this matter (Shaoguan Fishery Agency, 2008). C. Current law depends on fishing license and “double control” (i.e., control of both the number of fishing boats and the power of fishing boats) to curb the total effort in fishing, but the specific conditions for get fishing license is not clarified in the laws except the requirements for the capacity of motorboats. And there is almost no exact statistics number that can be used for scientific analysis for the purpose of resources protection. (Liu et al., 2008) D. Problems in law enforcement process still exist. The size and number of fishing tools remain unchecked. The protection for fish fry is not implemented well. Environmental Impact Assessment (EIA) hasn’t been effectively implemented in resources protection. There is insufficient coordination between different law enforcement agencies.

5.3 Water 5.3.1 Related institutions, laws and policies General legal principles on water pollution control were promulgated for the first time in the Environment Pollution Act of 1979, in accordance with which a series of water environment standards were later passed by the state. Water Pollution Control Act (1984), Interim Rules for Water Pollution Discharge License Management (1988) and Pollution Control Rules for Reserved Drinking Water Area (1992) were also passed one by one since 1984. Water environment standards cover surface water quality, farmland water quality, fishing water quality and pollution discharge. To enhance the treatment of water pollution and make best use of pollution fund, Water Pollution Control Act was amended in 1996, and new rules on river drainage area management and coordinated treatment of urban sewage was added (Wang et al., 2006). In 2008 Water Pollution Control Act was amended for the second time to adopt rules on government responsibility, total amount control, pollution discharge management, emergency control and civil damages. Major management measures for water pollution control include pollution discharge fees, water environment standards and monitoring, total quantity control. Plan for water supply and demand shall be made. Activity of mass harvesting ground water or surface water shall be permitted only by getting governmental license. Different functional zones of water resources shall be set up. Resources for drinking water both from underground and surface will be protected. Pollutant discharging by enterprises and individuals alike shall be strictly restricted in terms of quality, concentration and total discharge. 5.3.2 Primary problems identified A. Conflict in supervision provided by different government agencies. Government agencies like environment, construction, agriculture, fishing, shipping, geology and mining also share

35 HighARCS Report on Integrated Action Plan from China certain authority on water administration, but there are almost no coordination mechanisms between them, which lead to partitioned administration power to the intake, consumption, and discharge of water. B. Lack of coordination between different administrative areas. Current laws don’t provide operational methods on the legal responsibilities of areas in upper and middle river reaches if they pollute the water which finally runs into the lower river reach. C. Too much deliberation power but little feasibility for the law enforcement agencies. Many rules are quite ambiguous as to the authority of law enforcement agencies and protection of aquatic resources, and the punishment for serious pollution accidents are not harsh enough to make up for the damages (Nie, 2009).

5.4 Forestry 5.4.1 Related institutions, laws and policies Early forestry laws limit lumbering volume and guarantee the growth of forestry for the purpose of sustainable production, while functions like air purification, health enhancement were listed as secondary. Forest Act of 1984 changed this order to make environmental functions first, and Forest Act of 1998 attached great importance to ecological functions. Major legal rules set up include the following. Forests are classified for different protection measures. Records of forestry resources must be kept. Forestry development plan and forestry management plan should be made. A forestry development fund is required to set up. Land reclamation, rock quarrying, sand quarrying, soil extracting and other activities with the result of deforestation are forbidden. Forest protection troop and forest police are established to facilitate the forestry protection and the reduction of forestry fire and pests. Introduced saplings must be quarantined for possible pests. Governments encourage tree planting and adopt a quota and license system to control lumbering. Long-term loan shall be granted for tree planting projects. Lumbering, mining and other construction projects shall be taxed to collect fund for the restoration of forests. Returning slope farmland to forests shall be subsidized. 5.4.2 Primary problems identified A. Forests in China are generally divided into three categories: state-owned, collectively owned and privately owned. However, the boundary of forest ownerships are not that clear. B. The legal responsibilities of forestry agencies include both protection and production, which often conflict with each other. C. Though awareness of the necessity of forest protection has improved since the revision of Forest Act, forest protection usually make way for forest economic development due to the lack of specific and applicable ecological protection rules. D. The ecological compensation fees don’t take a conspicuous stand in the forest tax system. (Wang et al. 2006)

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5.5 The livelihoods of fishers 5.5.1 Related institutions, laws and policies The weak groups in our society such as women, children and senior citizens enjoy special care from the laws. The systems for rural basic life security, new rural medical care cooperation and rural medical relief are due to be established. Those rural residents without any family member or relatives are entitled to “five guarantees” (guarantees to food, clothing, residence, medical care and burial). Allowances for the relief from natural calamities have been set up. Fishing folks are registered as urban citizens, but they don’t have any pension or basic life security. Medical insurance is not compulsory for them, which means they have to pay 120 Yuan annually to buy it, and most of them think it is still too expensive. Those fishing families with fishing permits are entitled to get oil subsidy. In general the legislation related to natural resources and livelihood of the vulnerable groups are getting more attention in China and the legislation system is improving. However, more practical policies and the monitoring process should be strengthened. 5.5.2 Primary problems identified A. There are no effective fishing organizations. Currently the fishing villages are usually put under the jurisdiction of adjacent sub-district offices which actually have no full administrative power over those villages. As a result, the fishermen cannot defend their interests effectively by means of complaint to higher authorities. One example is the fishing village of Li Shi, whose party secretary is said to be corrupt, but the villagers don’t know how to dismiss him or his son who succeed him on this office. B. The legal status of fishermen is too uncertain to enjoy enough social security or other preferential policies. Most fishing villages are located in rural area, but they don’t own any land or enjoy preferential policies that are made for the sake of farmers. According to the state registration system, fishermen are city residents, but neither those residents’ committees in cities or in the countryside take the responsibility of their livelihood. In fact, the income of most fishermen is very unstable and it is hard to be counted as low income family, so it is difficult for them to apply for low income subsidy. C. Health care for fishermen is inefficient. Because fishermen are considered to be city residents but not farmers, the costs of their health care are of the same standards as those city residents. Most of the fishermen whom we interviewed thought that the cost of medical insurance was still too high for them to buy. Though the Implementation Rules for Medical Insurance of City Residents in Shaoguan also states that low-income families are fully subsidized by the government, most fishermen families aren’t qualified for that. (Shaoguan Fishery Agency，2005) D. Inefficient communication between hydropower stations and fishermen. It often causes damages to the fishing nets when hydropower stations open water gates to release flood, but fishermen cannot get compensation for their loss.

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5.6 Stakeholders’ Idea for Policy Improvement Table 12. The importance of each policy and management measures evaluated by different stakeholders *The red parts indicate the important management measures which are highly evaluated by stakeholders. The green parts are considered unimportant by stakeholders. The importance of the black parts is ranged in between red and green parts. Two measures with different number in “Duncan’s Multi-range test result” indicate significant difference on stakeholders’ ranking. The bigger the number, the more important the measure related.

Aver. Management and Policy Measures Dacun’s Multi range test result score Part 1 improvement of ecosystem services (1) Industrial Pollution Control 4.42 11 12 13 (2) Sand Mining Control 4.32 9 10 11 12 13 (9) Artificial discharge of fish fries 4.14 8 9 10 (4) Ban of direct dumping of garbage 4.07 7 8 9 (5) Control of fertilizer and pesticide 4.07 7 8 9 (3) Dams Control 4.04 6 7 8 (11) Monitoring and publicizing water quality 4.04 6 7 8 (6) regulation on sewage from boat restaurants 3.97 5 6 7 8 (8) Building of dam passages for fish and boats 3.84 4 5 6 7 (7) Forestation 3.71 4 (12) Control of water reservation of dams 3.68 4 (10) Limitation on fishing tools 3.25 3 (14) Limitation of poultry farming 2.74 2 (13) Ban of caged culture in reservoirs 2.46 1 Part 2. improvement of the livelihood of fishers (16) Medical care 4.54 13 (23) Maintenance grant to the poorest 4.43 12 13 (15) Oil subsidy 4.42 11 12 13 (19) solve housing issue 4.34 10 11 12 13 (25) Compensation form hydropower stations 4.32 9 10 11 12 13 (22) Building of tap water facilities 4.19 8 9 10 11 12 (27) Compensation form sand mining companies 4.18 8 9 10 11 12 (26) Centralized processing of garbage 4.17 8 9 10 11 (21) Improvement of roads to fishing villages 4.05 7 8 (20) Professional training 4.01 6 7 8 (17) Reduction of Tax and fees 3.81 4 5 6 (28) Fishermen organization 3.79 4 5 6 (24) Providing job information 3.73 4 5 (18) Reduction of administrative procedures 3.61 4

According to the Delphi method investigation, stakeholders ranged the policies from the most important ones (5 marks), to the least important ones (1 marks). The average from all stakeholders showed the following result (Table 12). (1) For environment improvement and resources protection policies, stakeholders considered that

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a. The policy for the control of industrial pollution and sand mining control should be put into the first priority. b. The second important policies included: releasing fish fry, garbage treatment, reducing chemical fertilizer and pesticide, controlling the number of dams crossing river, monitoring water quality and announcing the results to the public, and stopping waste discharged from boat restaurant. c. The third important policies included: setting up fish channels in dams, tree planting and reforestation, public information on water level changed by hydropower stations in river, fishing tool regulation, limiting the scale of animal husbandry, reducing net-box method of fish cultivation in reservoir. (2) For policies related to the improvement of the fishers’ livelihood, stakeholders considered that: a. The most important policies are medical care, poverty relief, diesel subsidy, housing, compensation from hydropower station; b. The second important policies are better tap water supply system, compensation from sand mining companies, improving road system to fishing villages, and job training; c. The third important policies are reducing tax, good organization for fishers, information for job opportunity, and simplifying government management procedures. (3) The difference among stakeholders towards policy change. Fishers are much more eager to change the present situation than other stakeholder in improving environment, resources and their livelihood. Leaders from enterprises are much less so. The average marks given by different stakeholders were significantly different such that fishers 4.05 (group a) > farmers 3.81(group b) = government officers 3.81 (group b) > leaders from enterprises 3.67 (group c), although fishers didn’t understand ecosystem services well enough to catch up with more educated government officers and industrial leaders where the average marks given for ecosystem services were in this order: government officers 3.54 ( group a ) > leaders of enterprises 3.42 ( group a, b)> farmers 3.28 (group b) > fishers2.87 (group c).

6. Summarized Challenges and Issues

Biodiversity and market surveys at the 3 project sites have identified: 26 fish species; 8 mollusc species; 10 aquatic plant species; and 26 Odonata (dragonflies and damselflies) species. Many those fish species are declining. Psedohemiculter diap, a globally threatened species, is also declining in the site. Metzia formosae as a nationally threatened fish species, and Misqurnus anguilicaudatus are also declining at the site. It is estimated that the total ecosystem services provided by Beijiang River watershed reached 29.8 billion Yuan in 2007. It is about 61.4% GDP of this area at the same year. The challenges and issues related to the conservation and sustainable development of aquatic resources in Beijiang River watershed are interrelated (Fig. 7).

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Agriculture and Rural Industrialization and Development Urbanization Process

z Uneven distribution of management effort z Dams across river z Could not keep pace with z Sand drugging Management and the rapid development z Water pollution z Lack of communication Legislation Efforts and coordination among stakeholders

Aquatic Resources and Fishing Communities ecosystem services

z Reduction of fish harvest z Destruction of habitat z Reduction of income z Species composition change z Insecure livelihood z Reduction of population level z Working outside for wage z Reduction of ecosystem services z Poor housing z Poor infrastructure z Unaffordable education cost

Fig. 7 The major challenges and issues related to aquatic resources and livelihood of fishers in Beijiang River watershed ecosystem

6.1 The destruction of aquatic resources The aquatic resources and biodiversity are declining mainly due to the construction of dams across river and mechanical sand drugging activities on the river bed. Water pollutions caused by wastes discharged from industry, agriculture and household are the secondary reason for the decline of aquatic resources. The total fish harvested from the river are decreasing. Composition of fish species has altered dramatically because of the water flow decreased and the migration fishes could not go through the river dams. Many local aquatic species have disappeared or are disappearing. Some invasive species like apple snail and water hyacinth have found their way of survive and expansion in the river.

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6.2 The poor livelihood of fishing communities The livelihoods of fishers are also declining due to the decrease of fishing resources, and the marginalization by policies neglecting the fishing community. They are considered city residents; however they live outside towns and cities. Top down organization is very weak. There is no bottom up NGO either. They can not enjoy the welfare and social security policy for farmers and they are not rich enough to pay for medical insurance, pension, and education just like other city residents. The housing situation is very poor. Many of them are even living in small fishing boats. The road and water supply system in some fishing villages are not ideal. Most of the young generation in fishing villages is moving out and only the older generations are left behind.

6.3 The falling behind management and legislation There are still some weakness in our legislation and policy related to aquatic resources and sustainable development, especially on the detail regulation on implementation. Even worse situation is related to the law and policy implementation aspects. On one hand, the people don’t respect enough to the laws. On another hand, there are not enough resources including manpower and money to enforce the implementation of those laws. No compensation fund can be collected for ecological conservation and fish proliferation. No fish channel has been built for seasonal fish migration. 6.4 The lack of necessary communication and coordination The communication mechanism among different stakeholders is also very weak. Industrial leaders don’t understand the livelihood of fishers and the importance of aquatic resources. Fishers don’t pay much attention to forestation and tourism. There are still sand dredging activities in conservation zones for aquatic resources. The information of gate operation by hydropower station did not reach fishers on time and usually cause the lost of fishing tools. In general, these conflicts are typical in developing countries especially in the rapidly growing countries. The environment consciousness has not reach to the level to balance with economic consciousness. The management and policy can not keep pace with the rapid changing social and economic situation.

7. Methods adopted for formulating integrated action plan

Before we worked on action plan, we have spend about two year to conduct site visit, collecting data, set up log book for fishers, identification of stakeholders, workshop to discuss situation and management issue with stakeholders and Delphi method to identify the order of problems and management issues which they concerned. In order to formulate a reasonable action plan, we then took another three steps (Fig.8). Firstly, we proposed a preliminary action plan within our research group which formed by researchers from various disciplines including fishery, ecology, forestry, entomology, economy, law and management. We proposed action plans according to the understanding of each person.

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Then we combined those similar actions and separated those actions which can only be done in a much longer period than two years, or much larger scale than the river and its adjacent area into another parts. Then we concentrated on those more “realistic” actions and identified their goals, main agencies in charge of implementation, and indications for success, and difficulties which may be faced during implementation. We combined these action plans into a table form. Secondly, we sorted the action plan into different sheets according to the implementation bodies such as the one for Shaoguan Bureau of Fishery and Shaoguan Fishery Monitoring Team shown in Fig. 9 bellow. Then, we went to the site and conduct different discussion with different stakeholders by using the sheet with action plan related to them. We discussed with 40 government officers from 26 different city government departments and township governments, and with 6 fishers of the three fishing villages and a newly formed company for tourism (Table 13, Fig.10, Fig.11). We got a lot of feedback from different stakeholders about the necessity, possibility, difficulties and indicators of these action plans.

Identified Problems and Challenges

To formulate action plan within research group

Participatory discussion on action plan with stakeholders

To further exchange information and revise action plan within research group

Action plans and solutions

Fig. 8 Final three steps for formulation of action plans (See Fig. 5 for other previous steps)

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Fig. 9 A sample of action plan table which was used for the discussion with officers from Shaoguan Bureau of Fishery and Shaoguan Fishery Monitoring Team

Table 13. Stakeholders who joined the discussion of action plan for Beijiang River in February, 2011 Affiliation Number of participants Shaoguan Bureau of Fishery 1 Shaoguan Bureau of Agriculture 1 Shaoguan Monitoring Team for Fishing 2 Shaoguan Institute of Fishery 1 Youqiang Fishing for Leisure Company 2 Water Management Bureau of Qujiang Township 1 Resident Committee of Wushi Street, Wushi Town 1 Wushi Township Government 3 Resident Committee of Kengkou Street, Wushi Town 1 Fisher moved to a newly build house 2 Fisher in Kengkou Fishing Village 3 Shaoguan Bureau of Human Resources and Social Welfare 3 Shaoguan Bureau of Reform and Development 1 Shaoguan Bureau of Health 1 Shaoguan Bureau of Finance 1 Shaoguan Bureau of Legislation 1 Agriculture Office of Lishi Township Government 1 Resident Committee of Lishi Street, Lishi Town 1 Zhengjiang Regional Government 2 Shaoguan Water Bureau 8 Zhoutian Township Water Management Station 1 Zhoutian Township Economic Office 1 Shaoguan Water Management Bureau 1 Water Management Bureau of Renhua County 2 Renhua County Government Office 1 Mayor of Zhoutian Township Government 1 Resident Committee of Zhoutian Street 1 Shaoguan Environmental Protection Bureau 3 Shaoguan Environmental Protection Monitory Bureau 2 Shaoguan Water Management Monitory Team 1 Shaoguan Bureau of Forestry 1

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Thirdly, we further discussed those action plans and feedback from the stakeholders within our group and then revised our original plan. In order to form a more realistic action plan, we separated action plan which can be implemented at present and is directly related with Beijiang River, and measures which can be considered in a longer period and in much wider scope related to the whole watershed.

Wushi Township Government Shaoguan Fishing Monitoring Team

Zhoutian Township Government Shaoguan Bureau of Water Affair

Shaoguan Bureau of Health and Office of Legislation Lishi Township Government Fig. 10 Discussion action plan with various departments of Shaoguan government and township government in January, 2011

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New house for fishermen provided by government Lishi fishing village

Youqiang Fishing for Leisure Company Zhoutian Longkeng Village

Zhoutian Longkeng Village One family in Kengkou fishing village Fig. 11 Discussion Action Plan with Fishing Communities and Farmers in January, 2011

8. Management Proposals

Total 29 actions have been identified for further protection, conservation and wise use of aquatic resources in the Beijiang River Watershed. The summarized table can be found in the Appendix Table. Those actions not only related to the conservation of biodiversity, improvement of ecosystem services, but also related to the livelihood of fishers including men, women, boys and girls. Some of the actions are also extended to the improvement of the management and policy in different management level. According to the time frame, action plans can be divided into three categories. The first category includes those management measures which are already taken by local government and other stakeholders and should be encouraged and continue in the future. The second category includes those management measures which will be taken within 2 years before the end of this HighARCS project. Those can be considered short term actions. The third category includes those necessary management measures which have been identified, but can not be fully

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implemented within the project time. WE can call them long term actions.

8.1 Good measures in Shaoguan will be continued and further improved

People and Government in Shaoguan City have taken some actions and measures for environment conservation, aquatic resources conservation, livelihood improvement and management change. These actions and measures will be encouraged and continue in the future stage. 8.1.1 Development Strategy in Shaoguan will follow the ecological planning Objectives: Shaoguan city has been listed as areas of ecological buffering zone and restrictions for industrial development. According to the regionalization planning of Guangdong Government, Shaoguan (Beijiang River Watershed) is assigned as the “Ecological Development Zone”. That means that ecological protection is put into the first priority by provincial government. The development plan in Shaoguan for the 12th Five Year Planning (2011-2015) should follow the principle and guide of “Ecological Development Zone”. Implementer: The Reform and Development Committee of Shaoguan (RDC) is in charge of the development planning in Shaoguan. Indicator: After we discuss with the officers in RDC, the conservation of aquatic resources and ecological services, the improvement of the livelihood of fishers, and the reduction of discharged pollutant should be included in the 12th Five Year Planning of Shaoguan. 8.1.2 Forest cover in Shaoguan will be protected and expanded Objectives: There are 22 nature reserves zones in Shaoguan, which include 3 national conservation sites, 13 provincial conservation sites and 6 municipal conservation sites. There are 11 forest parks in Shaoguan, which include 3 national forest parks, 2 provincial forest parks and 6 county forest parks. Forest resources and natural preserves are preserved to protect animals, plants and wetland resources. These zones will be strictly protected. Besides, more forests for ecology and water conservation along Beijiang River should be development in the next few years. It is not that easy, because more people like to plant eucalyptus for money. Implementer: The Shaoguan Bureau of Forest is in charge of the forest protection and development in the area. Indicators: The statistic of forest cover by native species will increase in the next few years.

8.1.3 Aquatic Protective zone will be protected better. Objectives: There are 9 aquatic resource protection zones set up along Beijing River within Shaoguan. However, sand dredging is still quite active within the zones. It is illegal. For a provincial forest conservation zone, an office in charge of the protection and conservation is set up with officers and financial budget. However, there is no such office for provincial conservation zone for aquatic biological resources in Shaoguan. Most of the jobs are taken by the Fishing Monitory Team of Shaoguan. There are not enough officers in this team. So, sand mining activity has not been totally stopped in the conservation zones. Implementer: Guangdong Provincial Fishing Monitory Team and Shaoguan Fishery Monitory Team are in charge of protection zone and the Bureau of Water Affair is in charge of sand mining management.

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Indicator: We will visit Guangdong Provincial Fishing Monitory Team and explore the possibility to set up an office for aquatic conservation zone. Beside, the sign for protection zones should be set up at the starting point and the end point for each protective zone. Regulation should be written on this sign and let the public know about what can do and what can not do in the protected zone. We hope that the illegal activity in the protection zone will be able to stop within two years. Communication with the Bureau of Water Affair should be strengthened. The sand mining activity should be stopped within few years.

8.1.4 Water pollution prevention and control for industry will be implemented better

Objectives: Water pollution prevention and control measures have been taken seriously, which include the implementation of the "principle of three synchronization " which means that pollution control facilitate should be designed, constructed and put into operation simultaneously with production facilitate, the establishment of the water quality monitoring network, the closing down of a number of enterprises with heavy pollution. The closed industries include small-scale iron and steel enterprise, 8.3 million tons of cement production capacity, and 8.8 million tons of pulp production capacity. Enterprises such as bleaching, dyeing, electroplating, food processing have also been carefully screened and selected according to the quality of discharged water. Through improving wastewater treatment techniques and optimizing the water circulation system, industrial wastewater released by Shaoguan Smelter reached the standard and water reuse rate reached 96.3％. The discharge volume of industrial wastewater was reduced from 2,412 m3/h in year 2000 down to 300 m3/h in year 2009. However, heavy pollution from iron ore mining and transportation is still existing (Fig. 12). Some complaints from fishing villages near the industrial parks about water pollution also exist. Heavy metal pollution is quite serious in Beijiang River watershed because of the mining industry and metal smelting industry in that area. “Prevention and Treatment Plan for Heavy Metal Pollution in Shaoguan” is being made by Shaoguan Bureau of Environment Protection. Many more restrict regulation will be put into that plan such as daily pollution monitoring system, report requirement for the change in raw material used and output level of production, the public announcement requirement about pollutant discharge, and more detail waste treatment requirement. Implementer: The Shaoguan Bureau of Environment Protection, Dabao Shan Mining Cooperation and other factories in the industrial parks are in charge of this action. Indicators: All industrial development should more restrict follow the "principle of the three synchronizations”. The yellow colour of the river caused by iron ore mining should disappear in the next few years. The complaints about water pollution should be reduced. “Prevention and Treatment Plan for Heavy Metal Pollution in Shaoguan” will be made and implemented.

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Fig. 12 Half of the Beijiang River contaminated by drainage water from iron ore became yellow ( upper picture) and one of the drainage sources of this yellow water near the fishing village of Kengkou (lower picture)

8.1.5 More biogas tank will be set up in rural area. Objectives: Eco-agriculture and biogas application are emphasized in rural area of Shaoguan. Because more than 100 thousand biogas digesters have established before 2010, 6,566 t COD (Chemical Oxygen Demand) from animal husbandry and households has been cut off annually from being discharged into rivers. Although more than 100 thousand families in rural area have installed biogas tanks within 400 thousand families, about 30% of the biogas tanks are not working very well. It is because some families no longer raised pigs due to the disease problem, and also because the lack of maintaining and repairing support. The financial support for biogas tank building will continue in the next two years. We discussed this with the leaders from Shaoguan Bureau of Agriculture. They agreed that on the one hand maintaining and repairing support should be strengthened, on another hand biogas tank development will focused on the medium and large tanks in livestock farms instead of small 8-10 m3 family tanks. Implementer: Shaoguan Bureau of Agriculture is in charge of biogas tank activity.

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Indicators: More biogas tanks will be set up in the next two years in medium and large livestock farms and the maintenance system will be improved. The workable biogas digesters will increase from about 65% to about 80%. 8.1.6 More fish fry will be released to Beijiang River Objectives: Since 2006, the fish releasing activity have being carried out under the principle of “leadership from government, and join effort from the public”. An Association of Releasing Life was established in 2010. Recently, Shaoguan Fishing Monitory Team has set up a special website which is opened for the public to join the releasing activities. This is a good beginning to let more people to be involved and join this activity. There are 10 fish fry releasing stations in Shaoguan recently. The amount of fish fry released is about 50 thousand to 100 thousand each year. Most of the fish species are carps and other low value fish fry. This activity should be strengthened in the next few years. Implementer: Shaoguan Fishery Monitoring Team is in charge of this releasing activity. Indicators: The money donated by public or spent by government for fish fry releasing will increase. The number of released fish will be increased and even doubled in the next two year. Some of the high value species will also be raised and released.

Fig. 13 One fish fry releasing activity in Beijiang River, 2010

8.1.7 The fish cage culture method in reservoirs will be continuously prohibited. Objectives: The fish cage culture method in reservoirs can cause heavy water pollution in water resources. This activity has been stopped by the government of Shaoguan in 2009 because of the bloom of blue and green alga in Nanshui reservoir. This type of fish culture should be prohibited in the future. Implementer: Shaoguan Bureau of Fishery Indicators: There should be no fish cage culture in reservoirs in Beijiang River watershed in the future. 8.1.8 Sand mining activity in Beijiang River will be better controlled.

Objectives: Measures to control sand mining in Beijiang River such as public tender for license, mining zone restriction, mining monitoring and inspection, resource taxation have been taken by Shaoguan Bureau of Water Affair. Sand mining is one of the major reasons of environment and resources damage in Beijiang River. According to “The Law of the People's

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Republic of China on Evaluation of Environmental Effects” (2002) and “Management Catalog of Construction Projects for Environmental Effects Evaluation” (2008), sand mining should have environmental assessment for sand mining activity whenever sand mining reaches 100 thousand m3/ yr, or wherever is within the range of natural egg laying, feeding, migration path and winter shelter for important aquatic species. Sand mining activity should not be put into operation before the approval of environment assessment report by the Bureau of Environment Protection, and then the issuing of mining permission certificate by the Bureau of Water Affair. However, no environment assessment reports have been made for many mining sites. So, these sand mining activities were illegal. Officers of Shaoguan Bureau of Water Affair told us that illegal sand mining companies were not care about paying the very low penalty fee. The standard of penalty fee and the responsibly is going to be raised in the newly revised edition of “Guangdong River Sand Mining Management Regulation”. Shaoguan government should revise related local policies and also raise the penalty standard and responsibility accordingly. Implementer: We will communicate with officers from the Bureau of Environment Protection and the Bureau of Water Affair, and take necessary steps to implement the environment assessment for sand mining activity in Shaoguan and increase the penalty standard in Shaoguan for illegal sand mining. Indicators: Every sand mining site has environmental assessment before put into production. The penalty level of illegal sand mining will be increased in the next two years. 8.1.9 Government subsidize for the fishers will be continued. Objectives: Government subsidize for the poorest fishers. The old fishers without any family member or relatives are entitled to the welfare of “five guarantees” (guarantees for their food, clothing, housing, medical care and funeral), hence can get subsidize about 200 RMB per month from local government. The poorest households who are identified by the government can also get subsidize from the local government. However the standard for supporting the poorest are very hard to meet and only a very few households can get this subsidize. Implementers: Shaoguan Bureau of Human Resources and Social Security is in charge of this. Indicators: all the poor meet the standard will continue to get living subsidize from government. 8.1.10 Diesel subsidize for the fishers will be continued. Objectives: Because of the increase of diesel price, the local government began to subsidize the fishers from 2007, but only benefit those fishers who own the fishing license. Most of the fishers do not own the license because they did not renew their licenses. The total number of licenses that can be issued is less than the total number of fishers. A suitable way to issue these licenses has not been worked out. Implementer: Shaoguan Fishery Monitory Team Indicators: At least those with fishing license can continue to get diesel subsidize from government. We hope that a solution for those fishers without license will be found. 8.1.11 Nine-years-compulsory-education for children will be continued Objectives: The education in primary and junior high school is free for all the children in China, including those from fishers’ households in Shaoguan. Occasionally, we can see few

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children drop off school. We hope this will be totally eliminated and every child will be able to finish 9 year education in the future. Implementer: Shaoguan Bureau of Education. Indicators: All children in fishing villages can enjoy 9 year free education in the future. 8.1.12 More low rent houses and more job training provided for the fishers. Objectives: Nowadays, the local government provides some low-rent-houses to the fishers who are living on boats in the urban area. Training is also provided to these fishers to help them find a job in the urban. At the end of 2010, there are 20 households moved to those low-rent-houses and most of them find a job in the urban (Fig. 14). About 130 households will move to those low-rent-houses within 2011. The housing plan should be implemented as schedule. Implementers: Shaoguan Bureau of Fishery and Shaoguan Fishery Monitory Team. Indicators: All boat families in river section of Shaoguan urban area will move to the new houses provided by the government by the end of 2011. Most of the adults can get job training and find their new job position in the city.

Fig. 14 New house provided by local government for fishers who lived in boats (left)

8.2 New Actions will be taken in the next few years

After investigation, we found some other measures which have not been tried before, are worthwhile to put into action soon. 8.2.1 To increase financial resources for protection and conservation of aquatic resources. Objectives: Shaoguan government has budget every year for this purpose. For example about 100 thousand Yuan for fish fry releasing each year. But it is not enough. According to the law, sand mining companies and hydropower stations have to pay compensation for the lost and damage of aquatic resources. However, there is no standard for the amount they should pay for the conservation and proliferation of aquatic resources. Compensation fund collected by the government is used for other purpose. So, we are going to propose a motion for Guangdong People’s Political Consultative Conference about setting a compansation standard for fish resources and using them for aquatic resources conservation and protection.. We would like also to pursuit related Guangdong government departments who have the power to make necessary regulation and policy on this. We hope that some change will happen in related policy or regulation in the next two year. Implementers: Guangdong People’s Congress, Guangdong People’s Political Consultative Conference, Guangdong Bureau of Fishery, and Guangdong Bureau of Finance have the

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potential power to make regulation and law for compensation. Indicator: Detail standard for collection of compensation fund will be set up and begin to be implemented for conservation of aquatic resources. 8.2.2 To implement the no fishing season from 2011 Objectives: According to the new regulation “A unified no-fishing season regulation along the Pearl River Watershed” (珠江流域实施统一禁渔期制度方案) from the Ministry of Agriculture and the Department of State last year, the no-fishing season scheme will be implemented from April 1 to June 1 each year from 2011 in the major courses and branches of Pearl River including Beijiang River. The most difficult part for the implementation of this regulation is the life of fishers during this period. A subsidy plan has been proposed by the related provincial department. We hope that will be finally passed by the government and provincial people’s congress. Leader from Shaoguan Fishing Monitory Team expressed that there will be difficult to monitor such a large area. So, education and propaganda conducted by the government will become very important. It will let the fishers know that it will be good for them eventually, and also let the public know about this event and form a much larger monitory force from the public. We hope that the no-fishing season regulation will be implemented at least in the major part of Beijiang River, and the fish population will be able to recover after that. Implementers: Provincial government will be in charge of in subsidy plan for fishers during the no-fishing season. The Shaoguan Fishery Monitory Team will be in charge of the education and monitoring activity. The HighARCS research team will also help to educate the stakeholders. Indicators: We hope that the no-fishing season regulation will be strictly implemented at least in the major part of Beijiang River, and the fish population will be able to recover after that. The fish harvested by fishers will be increased. 8.2.3 To reduce water pollution from iron ore mining. Objectives: Iron ore mining activity caused a lot of pollution in the area. Government and the mining industries have taken many steps to check the pollutants running away from the mining sites. However, we found that the pollution also comes from the storage and transportation stage. When there was heavy rainfall, yellow water which came from the storage sites along railroad, run into Beijiang River and half of the river became yellow. Fishers in Kengkou complained about this acid polluted water which not only destroy fish in the river, but also destroy their boats. According to the leaders from Kengkou Township Government and Shaoguan Bureau of Environment Protection, they will be able to stop this pollution activity if it is reported. So, we will report about the pollution situation including the detail chemical test result of the yellow water running into Beijiang River and the possible treatment method to them and ask for action this year. New regulation which will encourage people to report cases of water pollution and the lost of aquatic resources to the Fishing Monitoring Team of Shaoguan government should be made within next two years. Implementers: Kengkou Township Government, Shaoguan Bureau of Environment Protection will be in charge of enforcement of environmental law. Iron ore companies involved are in charge of pollution control. Indicators: Water running through Beijiang in rainy days will not be contaminated and in yellow color again. More direct indicator should be waste water control facilities are set up.

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8.2.4 To reduce water pollution from rural area. Objectives: Besides biogas tank construction in rural area, no newly built livestock farm will be allowed by the government within 1 km along Beijiang River, and even within 5 km along the drinking water resources. Waste water treatment facility will be forced to build for those existing livestock farms in this critical zone. In order to reduce nitrogen and phosphorous pollution from agriculture, it is necessary to reduce excessive use of fertilizer in crop production in Shaoguan. The labels of “green food” and “organic food” are issued only the production site and production process strictly follow the guidance and regulations. The amount of fertilizer used is usually much less than farmers’ practices today. There are several production companies producing “green food’ or “organic food” in Shaoguan now. According to statistics in 2008, there were 89,360 tones, 43 types of agricultural products have been labeled with “green food “which were produced in 5,802.6 ha land and 3,300 ha fishpond. It will be expanded in the next two years. Because the market prices for these healthy foods are usually 30% to 100% higher than common prices, many big companies would like to accept the technique to produce “green food” or “organic food”. Rice is one of the important crops in Shaoguan. Rice production area in North of Guangdong Province reached 36.5% (441 thousand hm2) total rice production area in Guangdong (Zhang Chao, Zhang Luxiang, et. al., 2010). There is a more reasonable rice fertilization scheme. More effective extension and education process like training class, poster, and handbook and TV program will be able to let more farmers to know and accept this. We will cooperate with Shaoguan Agriculture Bureau to implement this action plan. Implementers: Shaoguan Agriculture Bureau is in charge of this. Indicators: Less chemical fertilizer amount is used in crop production. More amount of “green food” or “organic food” will be produced in the next two years. 8.2.5 To adjust the policy for eucalyptus forest development. Objectives: In recent year, eucalyptus developed very quickly in Shaoguan and other regions in Southern China. It is good to get more economic return from this fast growing tree species. However, the large scale displacement of this tree with local vegetation, and unsuitable management method such as very high planting density can cause biodiversity lost and soil erosion (Qian Guoqin, 2007). Some reservoir also suffered from the toxic running off water from nearby eucalyptus forest in Shaoguan. So, it is necessary to protect natural forest and native tree species and control the development of eucalyptus in Shaoguan. More dialogue between HighARCS and Shaoguan Forestry Bureau will be taken place in the next two year and more reasonable development strategy of eucalyptus will be formed in the next two years. Implementers: Shaoguan Forestry Bureau is in charge of this action. Indicators: A new policy for the development of eucalyptus forestry will be made and the quick growing rate of eucalyptus forest will be slowed down. 8.2.6 To have more public educational activities Objectives: Through the research in these two years, we found that more education for the public to understand the importance of aquatic resources and ecosystem services is needed in Shaoguan. For example some government officers didn’t know about the actual situation of the fishers and they didn’t care about the fish species. The important value of water pollution given by the industries leaders was significantly lower than other stakeholders. The average important value given by farmer and fishers for ecosystem services was lower than the value

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given by government officers and industrial leaders. Electricity and toxic methods are still illegally being used by farmers and even fishers today in some places. Various methods can be considered to adopt for public educational activities, such as public media including news paper and local television program, education materials such as CD, poster, booklets, training activities including short introduction course and technical training. The topic for public education may include: (1) What are ecosystem services? How can we protect and increase ecosystem service? (2) Why it is so important to preserve fish species and other aquatic species? (3) How heavily the fishers rely on aquatic species? Is it important to preserve this fishing culture in the future? (4) How important are the aquatic plants to the life of fish species? (5) Why dam, sand mining, and water pollution can damage aquatic resources? How do we can reduce its negative impact? (6) How do we implement the law about the preservation zone for aquatic species? (7) Why electricity method and toxic method are so harmful to aquatic species and the life of fishers? (8) What should we do for the no-fishing season from April1 to June 1? (9) Where does the running water from iron ore go? And how does it affect the aquatic ecosystem? (10) What is a suitable scheme for eucalyptus development? (11) What is the right method for rice fertilization and pest control? Implementers: Research team of HighARCS can help to make some reports to the media, and prepare some education and training materials. The activities can be held by cooperation with Shaoguan Bureau of Agriculture, Shaoguan Bureau of Forestry, Shaoguan Bureau of Fishery, Shaoguan Fishery Monitory Team etc. Indicators: More than 5 reports will appear in the public media. More than 5 training will be held in Shaoguan for different stakeholders. More than 5 posters or booklets will be designed, printed and delivered to the public and stakeholders. 8.2.7 To notice the fishers about the water gate operation by hydropower stations on time. Objectives: The sudden drop of water level and strong current caused by gate opening operation for irrigation or flood control could cause severe lost of fishing tools, and sometimes even threatened the lives of fishers working in their small boats. The fishers hope that the hydropower station notices them the time of water gate opening beforehand. It is the duty of hydropower station to let every one affected knows about the gate operation before hand. It seems that there is no difficulty for the hydropower station to send the message to all the fishers via mobile phone. Township leader of Zhoutian said that they could coordinate this between hydropower station and fishing village. Township leader of Wushi also expressed that they can collect cell phone numbers from fishers and give them to the power station. We will further contact township government to improve the communication process between hydropower station and fishers. Implementers: Township governments in charge of the management of fishing villages will collect cell-phone numbers from fishers and send them to the hydropower stations. Indicators: The communication system between fishers and hydropower stations are set up. Gate operation can be informed on time.

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8.2.8 To strengthen government management organization for fishing communities Objectives: Although fishers in general belong to non-farmer statute, many women married to fishing communities were from farmer’s families and hence still belong to farmer in terms of management status by government legislation system. According to law, non-farmers are managed under city residents’ committee, and farmers are managed under rural villagers’ committee. It is so confused that fishers said that they could not even find suitable government departments in charge to issue birth certificate or death certificate for them. Considering that most of the fishing villages are very close to town, it is possible to unify the management system for fishing communities by nearby city residents’ committees in Shaoguan. The township government should urge the resident’s committees to listen to the voice of fishing communities and help them to solve problems. Implementers: Township governments and city resident’s committee with fishing villages are involved in the improvement of the leadership. Indicators: A better organized fishing communities will appear in the next few years. Most of their affair can be effectively treated by local government.

8.3 Further measures in longer period and for larger scale

Actually more steps can be taken in the watershed level by government and by other stakeholders in a long term base for the improvement of aquatic resources, ecosystem services, livelihood of fishers and social management system. 8.3.1 To re-establish food chain and stabilized habitat for aquatic resources Objectives: To recover river ecosystem by re-establishing food chain beginning from recovery of aquatic plant community and by releasing endangered or locally disappeared aquatic animal species in Beijiang River. In order to achieve this goal, it is necessary to do some basic research for artificial reproduction and cultivation of those target plant and animal species. It is also necessary to do research on the structure of fish migration channel, because no migration channel which can help fish successively across water dams has been set up so far along Beijiang River. This goal may be achieved by research and demonstration efforts for about 5-10 years. Implementers: Universities research institutions including, local government including South China Agricultural University, Municipal Government of Shaoguan will be able to fulfill this task. Indicators: At least 20-30% sections of the river will be stabilized with good aquatic plant communities and rich biodiversity. Migration fishes will find their way going through dams and shallow waters. Some endangered aquatic species appear again in Beijiang River. 8.3.2 To popularize green production technique in agriculture Objectives: To reduce non-point resource pollution by enforcing green production technique in agriculture. Small farmers are mostly part time farmers today and not care about their land and crop enough to adopt advance technique. To organize farming activity in a much larger scale is essential to reduce chemical fertilizer and pesticide pollution and produce more healthy food. Implementers: Shaoguan Agriculture Bureau, various farming companies and farmers’ associations will play important role in this aspect. Research institutes and universities also can develop more practical green technique for the region.

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Indicators: More than half of the crop land will use “green production technique”. The chemical fertilizer used per unit crop land area will be decrease about 10-20%. 8.3.3 To set up more sanitary facilities for rural house refuse and domestic sewage. Objectives: At present, most villages in rural area do not have sanitary facilities such as sewage pine, or artificial wetland, or septic tank to reduce pollution from farming villages. Most of the wastes are discharged directly to the drainage ditches and to the river. It is necessary to extend public sanitary facility from urban area to rural area. The collection, storage, transportation and treatment system for rural house refuse and domestic sewage should be set up with the implementation of the “new rural construction plan”. Impel mentor: Shaoguan Bureau of Environment Protection and Shaoguan Agriculture Bureau are in charge of this. Indicators: More villages have good sanitary facilities. 8.3.4 To put in place a policy to treat the fishers as a special group to guarantee their pension and medical insurance. Objectives: There are already such policies to treat the person who are working in the coal mine and forestry firms. Along with the decline of fish stock, the fishers could be treated as a special group to resolve their pension and medical insurance issues. Implementers: Guangdong Provincial Government has the power to make such decision. Indicators: fishers will be happy to get pension and medical insurance with lower cost which they can afford. 8.3.5 To improve the current eco-compensation program Objectives: Shaoguan city is one of the ecological areas of Guangdong Province, which is limited for its economic development. But the current eco-compensation provided by the government of Guangdong Province is not enough for its natural resource conservation. If the provincial eco-compensation program can be improved, Shaoguan local government may get more financial support for supporting environmental conservation and sustainable development. Implementers: Guangdong Provincial Government and Guangdong People’s Congress can make such regulation and law for eco-compensation. Indicators: More financial support will be channeled to Shaoguan for eco-compensation purpose. 8.3.6 To revise two critical laws related to aquatic resources Objectives: Article 3 of “The Law of the People's Republic of China on Evaluation of Environmental Effects” (2002) stipulate: “Any projects that have negative impact on environment within the territory under the jurisdiction of PRC shall conduct environmental integrative assessment (EIA)”, and according to article 25, “any project that fails environmental impact review shall not be permitted to begin construction”. However, article 31 states that any construction builder who start his project without prior EIA qualification license from the related governmental agencies shall be required to halt the project and apply for EIA license immediately. Actually this article 31 is contradictory to article 25 of the same law and open an escape door for construction builders. It makes it possible for construction builders to start their projects first and make it legal later while article 25 absolutely forbids such maneuvers. So, it is important to improve this law. It is also important to revise “the Law of the People’s Republic of China on the Protection of Wild Life” to include important

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species supporting life and ecological functions in the protection lists no matter weather those species are endanger and rare or not. Implementers: National People’s Congress has the authority to revise these laws. Indicators: The above mention weak points are amended. In general, the challenges faced by Beijiang River for conservation of aquatic resources and sustainable development are very similar to the challenges faced by other regions in Pearl River and many other river systems in China. Economic development and ecological conservation are the main conflict in this rapidly development stage. Experience on integrated action plan in Beijiang River will be helpful to solve similar issues in other rivers all over China.

9 Acknowledgements

This report is the result of the cooperation between many stakeholders in Shaoguan Municipal Region and our research team shown in table 4 and table 13 of this report. Many of our graduate students, undergraduate students and even our alumni also joined our research. They are student Cai Jian (蔡建)，Liu Xiaoli (刘晓丽), Chen Peiyong (陈培勇), Lin Feng (林凤), Zhang Liang (张亮), Chen Wenbin (陈文斌), Wei Hua (魏华), and Jiang Chen (姜琛) from College of Economic and Management, student Zhen Hai (郑海), Yi Zicheng (易自成), Qiu Xiaohui （邱晓辉），and Li Yun (李韵) from Agricultural College，student Zhang Hao (张浩) from College of Resources and Environment，student Tengchuan (黄川腾)，Zai Cuihua(翟翠花), and Mo Huizhi (莫惠芝) from College of Forest, student Li Yanming (李炎明), Zhu Guowen (朱国文), Li Haihong (李海红), and Bai Yaowen (白耀文) from College of Animal Sciences, student Lin Jianpei (林建裴),Ye Xiaohang (叶小航), Shen Jianguo(沈建国), and alumni Ou Caifeng (欧彩凤) from College of Humanity. They engaged in various research activities such as site investigation, data collection, statistic analyse, and mapping. We would like to thank them for their efforts and time contributed to this project. The guides from EU experts were essential for us to learn the procedure and method for the research and to form the framework of this report. 10. Reference

Bureau of Environment Protection of Shaoguan. Bulletin on the Status of Shaoguan Environment in 2008. Daily G C Eds. Nature’s Service: Societal Dependence on Natural Ecosystems. Island Press, Washington, 1997.. Deng CK. Indicative functions of organism and water environment. Environmental Protection Science, 2007, 33(4): 114-117（邓春凯. 生物的指示作用与水环境. 环境保护科学, 2007） Liu XX, Chen Y, Bai XQ. Study on the legal regimes regarding protection of fisheries resources and endangered aquatic fauna and flora，Resources Science，2008, 30(4): 526-531 LI XH, Hu YC, Song HH et al. Invasion and monitoring methods of Pomacea canaliculata in China. Chinese Agricultural Science Bulletin, 2009, 25(14): 229-232. 李小慧，胡隐昌，宋红梅等. 中国福寿螺的入侵现状及防治方法研究进展.中国农学通报，2009） Liu Yiming, Shang Chunrong, Fraser Sugden et.al., Report on Livelihoods Dependent on Highland Aquatic Resources-a case study at Shaoguan, China (HighARCS WP4 Report from China), November, 2010

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Liu YY, Zhang WZ, Wang YX et al.. Economic animal fauna of China (Freshwater molluscs). Beijing: Science press. 1979.（刘月英，张文珍，王跃先等，中国经济动物志（淡水软体动物），北京：科学出版社，1979） Luo Shiming, Cai Kunzheng, Zhao Huihong et.al. Report on Highland Aquatic Ecosystem Services and Biodiversity Values in Beijiang River, China (WP3 Report of HighARCS) , November, 2010 Nie AP. On the aquatic resources protection laws of PRC, Jiangxi Social Sciences, 2009 (11). Jiang Baoguo, Wang Quandian, Gao Min et.al., Institutions, Policies and Conflicts Related to Sustainable Use and Protection of Aquatic Resources in Beijiang River Watershed, China (HighARCS WP5 Report), November, 2010 Pan Jionghua. Fishes and Fishery Resources of the Beijiang River in Pearl River System [M]. Guangzhou: Guangdong Science Press. 1987, 1-20 Qian Guoqin, Ecological Problem of Eucalyptus and the Development Strategy, Hunan Forest Sciences, 2007(34):67-70. (钱国钦，桉树生态问题及发展思路，湖南林业科技) Research Team of South China Agricultural University, HighARCS Situation Analysis Report— China Site, November, 2009 Schlesinger W. Biogeochemistry: An Analysis of Global Change. San Diego：Academic Press. 1991 Shaoguan Bureau of Forest, Bulletin on the Progress of Changing Shaoguan into Forestry and Ecology City , 2009.(韶关林业局，韶关创建森林生态市成效公报，2009) Springate-Baninski O, Allen D, Darwall W. An Integrated Wetland Assessment Toolkit, International Union for Conservation of Nature and Natural Resources, 2009. Statistical Bureau of Shaoguan. Agricultural Statistical Yearbook of Shaoguan, 2008.(韶关 2008 年农业统计年报). Shaoguan Fishery Agency. Report on the Basics of Fishermen, 2005 Shaoguan Fishery Agency. Report on the Life and Production of Professional Fishermen in Shaoguan, 2008. Shaoguan Fishing Monitoring Team. The fishing monitoring report of 2011, 2012.（2011 年韶关市渔业资源监测船捕捞日志统计分析报告） Sun-yat sen University. The integrated survey report of Guangdong fresh water fish resources, 2010 (unpublished report). Tang Y，Zou WH. Review on the Legal System of Fisheries Resources Conservation and Management in China. Resources Science，2010, 32(1): 28-34 Wang J. Environment law. Beijing University Press, 2006. Yang YX, Hu YC, LI XH et al. Historical invasion, expansion process and harm investigation of Pomacea canaliculate in China. Chinese Agricultural Science Bulletin, 2010, 26(5): 245-250. （杨叶欣，胡隐昌，李小慧等. 福寿螺在中国的入侵历史、扩散规律和危害的调查分析. 中国农学通报, 2010） Ye HG, Peng SL. (Eds.) Cataloguing of Plant Diversity of Guangdong Plant. Guangzhou: World Booking Press, 2005. （叶华谷，彭少麟主编.广东植物多样性编目. 广州：世界图书出版公司，2005） Zhang Chao, Zhang Luxiang, et.al., An Analysis of Guangdong Rice Production Situation in 2009, Guangdong Agricultural Sciences, 2010 (3):231-233. (张超等，广东水稻产业发展现状分析，广东农业科学)

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Appendix Table Integrative Action Plan for protection and sustainable use of aquatic resources in Beijiang River Watershed, Shaoguan China

* In the “objective” column, “1,2,3” means (1) Those actions which have already taken by local government; (2) New Actions will be taken in the next few years, (3) New Actions in a period longer than this project. “EB” refers to ecology and biodiversity. “LH” refers to livelihood of the fishers in the region. “MP” means management and policy improvement. When an action relates to the object, “+” will appear in that column.

Objective* Activities Indicators Monitoring and evaluation Main responsible agencies 123 EB LH MP 1.1 Development Strategy in the conservation of aquatic the 12th Five Year Planning The Reform and Development Shaoguan will follow the resources and ecological of Shaoguan Committee of Shaoguan ecological planning services, the improvement of the 1 + livelihood of fishers, and the reduction of discharged pollutant should be included in the 12th Five Year Planning of Shaoguan 1.2 to protect and expand forest cover by native species The statistic of forest cover Shaoguan Bureau of Forest forest cover in Shaoguan by native species will 1 + increase in the next few years 1.3 improvement of aquatic Clearer sign for the protection Better management structure Guangdong Provincial Fishing conservation zones zones and more officers are hired and financial support for Monitory Team, Shaoguan 1 + + and more petrol activities for conservation activities Fishery Monitory Team, Bureau conservation work of Water Affair 1 + 1.4 to control water Better water quality in Beijiang Water quality data in The Shaoguan Bureau of

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pollution from industry River Beijiang River Environment Protection, and sector different industrial companies 1.5 to reduce non-point More biogas tank in rural area The number of biogas tanks Shaoguan Bureau of Agriculture 1 + pollution from rural family using in rural area 1.6 to release fish fry More fish fry will be released to The record of the number Shaoguan Fishery Monitoring 1 + Beijiang River and species released Team 1.7 to stop cage culture for Fish cages will be totally stopped There should be no fish cage Shaoguan Bureau of Fishery 1 + fish in reservoirs culture in reservoirs in Beijiang River watershed 1.8 to have better To revise related local policies The reduction of illegal Bureau of Environment Protection management of sand mining and also raise the penalty mining. and the Bureau of Water Affair 1 + + activity standard and responsibility for illegal sand mining. 1.9 to continue government all the poor meet the standard Poor and old in the sampling Shaoguan Bureau of Human 1 + subsidy for fishers will continue to get living villages can get subsidy from Resources and Social Security subsidize from government government. 1.10 to continue the subsidy Diesel subsidy will be there The fishers in the sampling Shaoguan Fishery Monitory Team 1 + policy for diesel price villages will continue to have the diesel subsidy. 1.11 to continue 9 year Boys and girls can go to school To monitor the situation in Shaoguan Bureau of Education 1 + compulsory education without charge the sampling villages. program 1.12 to continue provide low The number of low rent houses All boat families in river Shaoguan Bureau of Fishery and rent house and job training for fishers and the number of section of Shaoguan urban Shaoguan Fishery Monitory Team 1 + for fishers fishers who get the job training area will move to the new houses provided by the

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government by the end of 2011. Most of the adults can get job training and find their new job position in the city 2.1 To increase financial Detail standard for collection of To compare the budget of Guangdong People’s Congress, resources for protection and compensation fund will be set up different year for protection Guangdong People’s Political conservation of aquatic and begin to be implemented for and conservation of aquatic Consultative Conference, 2 + resources conservation of aquatic resources resources Guangdong Bureau of Fishery, and Guangdong Bureau of Finance 2.2 To implement the no No-fishing season regulation will To compare the fishing Provincial government will be in fishing season from 2011 be strictly implemented at least in record of the sampling charge of in subsidy plan for the major part of Beijiang River, villages. fishers during the no-fishing 2 + + and the fish population will be season. The Shaoguan Fishery able to recover after that. The Monitory Team will be in charge fish harvested by fishers will be of the education and monitoring increased. activity. 2.3 To reduce water pollution Water running through Beijiang Water quality during rainy Kengkou Township Government, from iron ore mining in rainy days will not be season near Kengkou fishing Shaoguan Bureau of Environment contaminated and in yellow color village. Protection 2 + + again. More direct indicator should be waste water control facilities are set up 2.4 To reduce water pollution Waste from livestock farm will The water quality near Shaoguan Agriculture Bureau 2 + from rural area. be better controlled, and more livestock farm increased and “green food” or “organic food” is fertilizer and pesticide used

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produced. More land under decreased production are using reasonable fertilization methods 2.5 To adjust the policy for A new policy for the The related policy statements Shaoguan Forestry Bureau eucalyptus forest development of eucalyptus and the statistic for 2 + + development forestry will be made and the eucalyptus area quick growing rate of eucalyptus forest will be slowed down 2.6 To have more public More than 5 reports will appear The media materials used for Research team of HighARCS can educational activities in the public media. More than 5 the public education. help to make some reports to the training will be held in Shaoguan media, and prepare some for different stakeholders. More education and training materials. than 5 posters or booklets will be The activities can be held by 2 + + + designed, printed and delivered cooperation with Shaoguan to the public and stakeholders. Bureau of Agriculture, Shaoguan Bureau of Forestry, Shaoguan Bureau of Fishery, Shaoguan Fishery Monitory Team etc. 2.7 To notice the fishers The communication system To visit fishers and see if Township governments in charge about the water gate between fishers and hydropower they satisfy with the result. of the management of fishing 2 + + operation by hydropower stations are set up. Gate villages will collect cell-phone stations on time operation can be informed on numbers from fishers and send time. them to the hydropower stations. 2.8 To strengthen A better organized fishing to unify the management Township governments and city 2 government management communities will appear in the system for fishing resident’s committee with fishing organization for fishing next few years communities with nearby villages

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communities city residents’ committees 3.1 To re-establish food At least 20-30% sections of the To recover river ecosystem Universities research institutions chain and stabilized habitat river will be stabilized with good by re-establishing food chain including, local government for aquatic resources aquatic plant communities and beginning from recovery of including South China rich biodiversity. Migration aquatic plant community and Agricultural University, 3 + fishes will find their way going by releasing endangered or Municipal Government of through dams and shallow locally disappeared aquatic Shaoguan waters. Some endangered aquatic animal species in Beijiang species appear again in Beijiang River. River. 3.2 To popularize green More than half of the crop land The chemical fertilizer used Shaoguan Agriculture Bureau, production technique in will use “green production per unit crop land area will various farming companies and 3 + agriculture technique”. be decrease about 10-20%. farmers’ associations

3.3 To set up more sanitary More villages have good sanitary The collection, storage, Shaoguan Bureau of Environment facilities for rural house facilities transportation and treatment Protection and Shaoguan refuse and domestic sewage system for rural house refuse Agriculture Bureau 3 + and domestic sewage should be set up with the implementation of the “new rural construction plan”. 3.4 To put in place a policy Fishers will be happy to get The policy will be publicly Guangdong Provincial to treat the fishers as a pension and medical insurance issued. Government 3 + special group to guarantee with lower cost which they can their pension and medical afford. insurance.

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3.5 To improve the current More financial support will be To monitor the policy change Guangdong Provincial 3 + + + eco-compensation program channeled to Shaoguan for of provincial government Government and Guangdong eco-compensation purpose. regarding eco-compensation. People’s Congress 3.6 To revise two critical “The Law of the People's To watch the progress of National People’s Congress laws related to aquatic Republic of China on Evaluation regarding the revision of resources of Environmental Effects” and these two laws. 3 + “the Law of the People’s Republic of China on the Protection of Wild Life” gets revised.

Annex 2

Project No: 213015

Project Acronym: HighARCS

Project Title: Highland Aquatic Resources Conservation and Sustainable Development

Title: HighARCS Integrated Action Planning for the Phu Yen District study site, Son La Province, Vietnam

Authors: Nguyen Thi Dieu Phuong, Nguyen Thi Hanh Tien, Do Van Thinh, Fraser Sugden, Kevin Smith, Soren Lund and Stuart W Bunting

Date: May 2012

Revision: Version 2.0

Dissemination Level: PU

1 Contents

1. Introduction ...... 3 Logistics of HighARCS study site selection ...... 4 2. Assessment Methodology ...... 10 3. Overview of biodiversity and ecosystem service values (WP3) ...... 10 4. Overview of livelihoods (WP4) ...... 20 5. Overview of institutions, policy and conflict (WP5) ...... 29 6. Synthesis chapter ...... 33 7. Action Planning Process and Methodology ...... 36 8. Management proposals ...... 41 9. Annexes...... 44

Disclaimer: Preparation of this working paper was supported by the European Community FP7 HighARCS (Highland Aquatic Resources Conservation and Sustainable Development) project [Contract No: 213015]. This publication reflects the authors’ views, and the European Community is not liable for any use that may be made of the information contained herein.

Address correspondence to: [email protected]

2 1. Introduction

General introduction

The Highland Aquatic Resources Conservation and Sustainable Development (HighARCS) project aims to analyse the status of highland aquatic resources at five sites including Son La in Northern Vietnam. The project aims to examine ecosystem services, livelihoods of poor people and biodiversity conservation issues of highland aquatic resources in order to produce action plans. An Integrated Action Plan (IAP) on livelihoods, conservation and policy issues was foreseen to be implemented among various stakeholders to enhance livelihoods, conserve aquatic biodiversity and encourage sustainable development.

Study sites in Vietnam were selected based on the following criteria: study sites must demonstrate typical characteristics of highland areas, not be situated on alluvial plains and be representative of the situation in northern and central Viet Nam. The areas selected were situated within the upper reaches of a watershed but still provide a home for many poor people. The three communities in each study site are situated along the watershed and have a high level of dependence on aquatic resources, ecosystem services and biodiversity in the watershed for livelihoods. The commitment of local people and authorities to engaging with the project and carrying out activities was also taken in to consideration.

Situation analysis and identification of management Issues

Vietnam is a country with a diverse topography, including tropical lowlands, hills and densely forested highlands (Wikipedia Contributors, 2010). Two‐thirds of the total natural area is covered by hills and mountains, with a general downward slope from west to east (Viet Nam Environment Protection Agency, 2005). The country is divided into eight regions which include the Northwest, Northeast, Red River Delta, North Central Coast, South Central, Central Highlands, Southeastern and Mekong River Delta (Wikipedia Contributors, 2010). The four highland regions are Northeast region, Northwest region, North Central and Central Highlands which are indicated in Figure 1.

Figure 1. Vietnamese regions (Wikipedia Contributors, 2010)

Viet Nam has a tropical monsoon climate and the annual average temperature is above 200C, average annual humidity is more than 80%, and rainfall averages 1500 mm per year (Vietnam Environment Protection Agency, 2005). Differences in climate between regions, especially in temperature and humidity range are strongly influenced by the biodiversity of each region.

Logistics of HighARCS study site selection Based on the desk study about the values, livelihoods, conservation issues and wise‐use options of highland aquatic resources in northern and central of Viet Nam, two provinces were selected for further study based on the overall framework of the HighARCS project; Son La is considered representative for northern areas of Viet Nam and Quang Tri representative for central areas of the country.

4 Son La Province

Figure 2. Son La map (source : www.sonla.gov.vn website)

Son La Province is located in the Northwest Region which is classified as a highland province with an average elevation of 600‐700m above sea level. Son La city is 320km from the capital Hanoi. Son La has 14,055 km2 of natural areas (www.sonla.gov.vn) and this is one of the three largest provinces in Vietnam, comprising 1 city and 10 Districts. There are two main river systems (Da River and Ma River) that flow through Son La which drain more than 97% of the regions area. The Da River runs for 527km through Vietnam of which 53km passes through Phu Yen District with a northwest‐southeast orientation. The Ma River has a total length of 512km and a watershed area of 17,600km2 located in Vietnam.

There is a rich and diverse aquatic fauna in the streams and rivers in Son La, especially in the watersheds of the Da River and Ma River (Van, 2005). On average, Son La has 1.2‐1.8km of river and stream per km2. There are 96 hydropower stations, 21 of these dams have a capacity exceeding 1000kW. Son La hydropower scheme is the biggest in Southeast Asia with a capacity of 3,600kW, and construction started on December 25, 2005. Aims for the Son La hydropower scheme were to

5 supply electricity, water for irrigation and contribute to socio‐economic development in the Northwest Region. This project required 100,000 people to be displaced to Son La, Dien Bien and Lai Chau and this constituted the biggest involuntary resettlement in the modern history of Vietnam. Son La Province had the largest number of resettlement households in 8 Districts, 62 Communes and 237 sites for resettlement (including 3 standby sites) with a capacity to receive 13,100 households (Ha, 2008). Son La has a diversity of cultures from 12 ethnic groups, and the resettlement program has affected the livelihoods and culture of communities, especially of ethnic minority groups whose way of life was most closely related to the watershed. Phu Yen District is one of the poorest districts of Son La and was involved in the resettlement program. Phu Yen District was selected as a study site for the HighARCS project.

Phu Yen District has a total area of 1,236 km2 ha covering 8.7% of Son La Province and is located in a mountainous area characterised by a complicated topography. In Phu Yen District, mountain areas which are characterised by steep slopes channelling most rivers and streams in a northwest to southeast direction dominate and the area has a high vulnerability to soil erosion with small‐areas of cultivated land. There are 1200 rivers and streams belonging to 4 main river systems: Tac River, Sap River, Mua River and Khoang River, all of them flow to the Da River (53km of the Da River runs through the south of the district). Phu Yen District has dry and cold winters from October to April and hot, wet and rainy summers from April to September. In the rainy season, the rainfall fluctuates, with high average rainfall in June, July and August (80% rainfall for the year), accompanied by flooding and soil erosion (Phu Yen People’s Committee, 2009).

Phu Yen is listed as a district affected by poverty with 14 of 27 towns and communes with more than 40% of households classified as poor, these communes are located along the Da River in highland areas. There are some fishing villages in Phu Yen District where people depend heavily on aquatic resources in the river. Many people in the selected communes in Tuong Tien and Tuong Ha go fishing on the Hoa Binh hydropower dam; fishing is the main income sources of many households. Figure 2 shows the location of the reservoir catchment within Viet Nam, which can be seen in more detail in the site map in Section 2 (Figure 3). Within Phu Yen, the reservoir covers 3,079ha and partly covers 9 of the 27 communes (Son La People’s Committee 2006, Phu Yen People’s Committee 2009).

Figure 2. HighARCS site catchment within Viet Nam (source IUCN)

Maps of the site and catchment allow detailed information to be presented and were key in developing the IAP and identifying potential indicators and monitoring plans. Site and catchment maps were produced by IUCN, through the digitising of satellite images (Landsat imagery provided by the US Geological Survey ‐ Earth Explorer) using ESRI ArcInfo geographic information systems (GIS) software. Then, through a mapping workshop held on 23‐24 August, 2011 at the South China Agricultural University, Guangzhou, China, the maps were reviewed, edited and land classifications were identified by RIA1 staff based on their knowledge and field observations taken while at the site.

In Phu Yen District, three communities were selected to be used in the study. These communities belong to two communes, Tuong Ha and Tuong Tien that are found at the extreme northern arm of the Song Da reservoir (Figure 3). These communes are made up of 5 villages, Dan (1 and 2) villages and Tam Oc (1 and 2) villages which belong to Tuong Ha Commune and Tat village which belongs to Tuong Tien Commune (Figure 4). The reservoir at the site is slowly flowing and at times when the reservoir levels are low it reverts back to a stream (used to be named the Tac Stream before the dam was built) and occasionally dries up. The fluctuating water level depends on the weather and the

7 requirement of water for electricity generation and for irrigation. At the start of the dry season (October) the reservoir increases in volume based on water storage by the hydropower dam for electricity generation, water levels can reach 25‐30m in depth with high transparency (Oct to April). Figure 4 shows the reservoir/river at this level. These floodwaters inundate crop rice fields and much of the surrounding land. This extensive water body provides an important habitat for many fish searching for food and breeding areas. Thus, people living within this watershed are fishing on the river, and using the water for agricultural irrigation and home consumption. However, during the rainy season, the dam operators discharge large amounts of water lowering the level of the reservoir until it is only a stream, which occasionally dries up (May to Sept). The management of the dam for hydroelectric power is a major issue in this area, as it dictates the availability of aquatic resources for the livelihoods of local people.

At the site there are two major types of seasonal wildlife habitats (see Figure 4), namely:

River/reservoir habitats: during the storage water phase of the dam, the water level is high and the river/reservoir is wide. In the central section, water flow is slow and mudflats develop on the bottom. Close to the banks shallow waters are used to establish rice fields, and there are also some areas of gravel/rocky shores.

Stream habitats: occurs when the reservoir levels are lowered and creates a stream which has a strong flow the now dry areas are mud flats and crop land.

Figure 3. The HighARCS site and Phu Yen wider catchment area.

Figure 4. Map of HighARCS site villages and key habitats

Overall aims of the project at the site

Overall objectives for the HighARCS project include using interdisciplinary approaches to develop knowledge on the importance of aquatic resources in highland areas and formulate integrated conservation, livelihoods and policy action plans. With local communities of Phu Yen District in Son La Province (Northern Vietnam), the importance of aquatic resources in livelihoods of people in Tuong Tien and Tuong Ha communes, threats to biodiversity of fish species in reservoirs and the Da River and stakeholder perceptions have been assessed. Action planning was proposed for wise‐use or sustainable utilisation of aquatic resources for the benefit of local people in a way that maintains the natural properties of the ecosystem in the reservoirs and the Da River (derived from the definition of wise‐use of wetlands proposed at the 3rd Ramsar Conference of the Contracting Parties (COP3, 1987) Ramsar Convention Secretariat, 2010). Furthermore, Better Management Practices aimed at conserving biodiversity and sustaining ecosystem services will be formulated with potential users to promote uptake and enhanced policy formulation.

9 2. Assessment Methodology Integrated assessment approach

The Integrated assessment process was developed at the Project Management Group (PMG) meeting in Hanoi (June 2010) in order to develop the most appropriate framework for planning in the HighARCS project. Following‐up on the PMG meeting integrated activities for the HighARCS project were designed for data collection for WP3, WP4 and WP5. The integrated approach of HighARCS means action plans will no longer take three different formats of Conservation Action Plans, Livelihoods Action Plans as well as Policy Action Plans. Instead, at study sites, one Integrated Action Plan (Springate‐Baginsky et al. 2008, IUCN 2008) is to be formulated addressing conservation, livelihoods and policy issues.

Integrated Non-integrated assessment process assessment process

Ecology & Livelihoods &

Ecology & Livelihoods & Policies &

Biodiversity Resource Use Institutions Policies &

Biodiversity Livelihoods Policy

analysis analysis analysis Integrated analysis

Integrated management plan Integrated management plan

Action Plans informed by all issues

Figure 5. An integrated assessment and action planning approach of HighARCS (adapted from the IUCN Wetland Assessment Toolkit, 2009)

3. Overview of biodiversity and ecosystem service values (WP3) There were 126 fish species identified that occur in the Da River (Bui The Anh et al., 2009) which is in the larger catchment of the HighARCS site. Of these species, two are globally threatened (according to the IUCN Red List) Sinilabeo tonkinensis (assessed as Vulnerable (VU) under the name Bangana

10 tonkinensis and also assessed as VU in the Viet Nam national Red List) and Pseudohemiculter dispar (VU). Five species are also assessed as Near Threatened (NT) species (Cirrhinus molitorella, Cyprinus multitaeniata, Onychostoma gerlachi, Bagarius yarrelli and Glyptothorax interspinalum). Of these threatened and Near Threatened species three are important for livelihoods Cirrhinus molitorella, Sinilabeo tonkinensis and Bagarius yarrelli. In total there are 36 species of economic/livelihood importance in the Da River, three of which are globally threatened or Near Threatened (mentioned above), five are assessed as Vulnerable on the Viet Nam National Red List Hemibagrus guttatus (Data Deficient (DD) IUCN RedList), Elopichthys bambusa (DD IUCN RedList), Semilabeo obscures (Least Concern (LC) IUCN RedList), Sinilabeo lemassoni (DD under the name Bangana lemassoni on the IUCN RedList) and Sinilabeo tonkinensis (VU under the name Bangana tonkinensis on the IUCN RedList), and one, Channa maculata (LC on the IUCN RedList) is Endangered. Eight of the 126 species are not native to the catchment: Oryzias latipes, Clarias gariepinus, Cobitis taenia, Carassius auratus, Cyprinus carpio, Oreochromis mossambicus, Oreochromis niloticus and Gambusia affinis. Many of these species are known to have adverse ecological impacts when introduced (ISSG 2011).

Outputs of focus group discussions with local fishermen and market surveys showed that 18 fish species are harvested in the rivers, streams and wetlands around the study area in Tuong Tien and Tuong Ha communes. Most frequently caught fish species (Annex 1) include common carp Cá Chép (Cyprinus carpio), cá thiểu (Chanodichthys erythropterus), tép dầu (Pseudohemiculter dispar), Cá Bò (Pelteobagrus fulvidraco), Cá Ngão (Culter flavipinnis), Trắm cỏ (Ctenopharyngodon idella), mè trắng (Hypophthalmichthys harmandi), Cá Măng (Elopichthys bambusa), and Rô phi (Oreochromis niloticus). Elopichthys bambusa is Vulnerable on the Viet Nam National Red List, and Pseudohemiculter dispar is Vulnerable on both the Viet Nam National Red List and the IUCN RedList. There are reported declines since 1990 of three species Channa striata, Clarias fuscus and Bagarius yarrelli , and only Bagarius yarrelli is listed as nationally threatened (VU on the national Red List but NT on the IUCN RedList). Four species are known to have increased in numbers since 1990, these are Cirrhinus mrigala, Squaliobarbus curriculus, Pseudohemiculter dispar, and Chanodichthys erythropterus. One of these species Pseudohemiculter dispar is assessed as VU on the IUCN RedList while many other species have remained rare.

The main season for harvesting fish species from the reservoir in Tuong Tien and Tuong Ha communes is from September to April with a peak fishing season from February‐March which corresponds to the high water levels (for the hydropower dam to store water) and low levels of turbidity. From May to August, the water level is often low, but flooding occurs due to high rainfall leading to high turbidity and there is little to no fishing undertaken. On average the water level is 3‐4

11 meters, with the highest depth at 30 meters and the lowest at 20 centimetres. In general, fishing activities are undertaken in all months of the year.

Human action to capture and exploit freshwater ecosystem services can result in negative impacts upon biodiversity. The threats to freshwater biodiversity at the site were identified (between April 2010‐July 2011) using focus group discussions including the drawing of maps and through RIA1 researcher site visits and while collating information for other work packages in particular the stakeholder Delphi for WP5 (Nguyen et al., 2011). Issues evaluated using the stakeholder Delphi method included (1) evaluation and remarks from stakeholders about the status of aquatic resources in the study site (exploitation; use; biological diversity; problems and threats), policy, regulation (government and village level), organization and implementation of aquatic resource conservation (2) suggestions of policy, implementation measures, organization. The stakeholders included managers, policy makers, researchers and people exploiting and using aquatic resources in the study site. Stakeholder groups involved in the stakeholder Delphi at the HighARCS site in the north included: stakeholders dependent on highland aquatic resources and stakeholders managing or regulating highland aquatic resources.

Stakeholder dependent on highland aquatic resources are: +Fishing group ‐ livelihoods of this group depend mainly on aquatic resource and aquatic resources are seriously affected by unsuitable fishing; + Market group ‐ fishing people often sell to 2 or 3 intermediate traders who live locally or travel from elsewhere; fishing people can also sell fish at local markets themselves.

At the Phu Yen site, the main threats identified are overfishing and the use of destructive fishing methods, agricultural pollution, deforestation and changing water levels caused by hydropower dam operation. Other threats including climate change and the harsh climate leading to heavy storms and flooding were also mentioned during discussions with focus groups and stakeholders.

Overharvesting and destructive fishing methods Based on the results of research (stakeholder Delphi approach) for WP5, just under 70% of villagers replying described the status and condition of aquatic resources as either ‘seriously declining’ or ‘declining’ (Nguyen et al., 2011). From our survey during field work in 2010, the use of fine nets and small mesh sizes had resulted in the harvesting of many fingerlings that do not have the chance to reproduce, which has resulted in the decline of many fish populations. Focus group members indicated that some illegal fishing such as using explosives or electricity to fish still happens, even though all fishermen understand that these methods are illegal. Many fishermen also do not adhere

12 to fishing regulations that regulate the harvestable species, minimum size of individuals allowed to be caught, fishing grounds or seasons and instead just try to catch as much fish as possible, especially the commercially valuable species.

Water pollution and sedimentation Based on the results of the stakeholder Delphi assessment, 91% of respondents indicated erosion and water turbidity, and 25% mentioned agricultural pollution as significant threats facing aquatic biodiversity at the site (Nguyen et al., 2011). Figure 6 shows that the entire upper catchment of the river/reservoir in which the communes are situated is being used for agriculture (maize and soybeans) within a mosaic of shrub and forest, although some removal of natural vegetation has taken place in these hilly areas. In addition the clearance of natural vegetation has occurred in the less hilly areas (light red on the map) to provide land for more intensive agriculture. These agricultural areas are using increasing amounts of fertilizers and pesticides that are washing into the rivers and polluting the water, also exposed soils (due to deforestation) are being washed away into the rivers (especially during high rainfall and floods) leading to increased sediment.

Dams In Phu Yen District, Tuong Ha and Tuong Tien Communes are located on the reservoir of the Hoa Binh hydropower plant. Management of the dam, as it controls the level of water at the communes, dictates the availability of many of the aquatic resources to the communities as where there is little water, there are few fish. According to the fishermen at the focus group discussions, fish quantity and the number of species have greatly reduced since the hydropower dam was constructed. The construction of the dam, changing flow regimes and increased sedimentation have destroyed fish breeding grounds and blocked fish migrations. Also during floods and when the hydropower dam discharges water, the sediment load increases turning the water turbid which has resulted in massive fish kills in the Van Yen area.

From Delphi research, about 93% participants (n = 41) recommended that aquatic resources in Son La can be improved and only 7% of participants (n = 3) were not sure that there could be improvements. Other ideas indicated that if the water level in Son La hydropower reservoir can be stable then fisheries resources will be enhanced and livelihoods of local people will develop (Nguyen et al., 2011). The main difficulty and threatens to aquatic resources in Son La are rocks, erosion and sediment (91% of participants, n = 40). Every year heavy rains erode soil and rocks away from the mountains causing sediment in the river flow. Such muddy conditions cause fish kills. There were also additional comments that in 2009, during heavy rains and floods, fish were killed in the Hoa Binh hydropower reservoir.

13 Commenting on methods and activities to implement Better Management Practices for aquatic resources, regarding institutional organization, business and management, many people suggested establishing a board of management of fisheries resources or building a cooperative management body. Around a third of participants (29.5%) (n = 13) commented that management of fisheries resources should be coordinated for either the entire Hoa Binh hydropower scheme or by cooperatives managing fisheries resources in areas associated with their commune. Others commented that it would be necessary to implement management regimes at the commune level (18.2%, n = 8) or under 2‐3 lake areas governed by common fisheries management regimes (15.9 %, n = 7). In addition, according to the Master Plan of Social Economic Development from 2009‐2020 of Phu Yen Peoples Committee four small hydropower stations are planned (each with capacity of 8‐15MW) in Phu Yen District; (Suoi Sap 1, Suoi Sap 2, Suoi Sap 3 and Muong Lang) (Phu Yen People's Committee, 2009).

Figure 5. Map showing the major fishing grounds used by the fisherman in the area

Figure 6. Deforestation and agricultural pollution impacting the Phu Yen site.

Ecosystem services discussion and maps Some of the ecosystem services have been mapped and this showed at a watershed and site scale the areas generating the services and the areas receiving (or benefiting) from the services (Figure 7). This information is based on the results of the analysis in this Work Package, field observations by RIA1 staff and formal and informal discussions with the various stakeholder groups. The maps are based on those produced for the site and catchment maps with the ecosystem service generating and benefiting areas overlaid. Ecosystem services were discussed and drawn by RIA1 staff and IUCN during the mapping workshop held on 23‐24 August, 2011 at the South China Agricultural University, Guangzhou, China. Results were digitised using GIS software by IUCN. The maps allow geographic areas of importance for the continuation of services to be identified and the wider benefits of the services to be visualised. They also informed the IAP to identify potential actions needed to protect the services and also indicators to monitor the quality or continued delivery of the services.

15 Fish and shrimp harvesting

Fish and shrimps for commercial and subsistence use are ranked relatively highly by all groups of respondents, but in particular by Group 3 (village group). The annual report from Phu Yen District shows that the total fisheries product was estimated at 156 tons with a value of 2.29 billion VND (~83,500 Euros at current exchange rates) in 2000, 323 tons worth 3.55 billion (~129,500 Euros) VND in 2005, and 306 tons worth 3.98 billion (~145,000 Euros) VND in 2007 (Phu Yen Peoples Committee 2009). According to the annual report of Tuong Ha and Tuong Tien People’s Committee, the total yield of fishing was 46 tons in 2009 in Tuong Ha commune and 14 tons in Tuong Tien (Tuong Ha People Committee 2010; Tuong Tien Peoples Committee 2010). On average fishermen catch between 3‐10kg of fish per day including common species such as prawns, common carp (Cyprinus carpio), silver carp (Hypophthalmichthys harmandi) and mud carp (Labeo rohita) and a mix of small native fish. Local people confirmed that their daily income coming from fishing on the river was important (Nguyen et al 2010). Fish are the main protein source for local people within the site villages, and they also help save family expenses on other foods. As market networks are underdeveloped in the rural, remote and isolated mountain regions (The Socialist Republic of Vietnam 2003) people spend a long time (up to a day) travelling to market to purchase food, goods and exchange commodities (Thuan 2005). Therefore, local people also save time that would otherwise be spent travelling to buy food.

Potential indicators:

‐ Regular fish market surveys, identifying species composition, harvesting locations and catch levels. ‐ Annual social surveys of fishermen to identify their perception of trends in quantity and quality of fish. ‐ Monitoring of official fish harvesting statistics reported by Phu Yen Local Peoples Committee

Figure 7: Areas supporting ecosystem services provisioning fish and shrimp

Water provision and water purification Water supplies for human use and livestock are also rated as important services. The local communities rely on water from the reservoir/river when the water levels are high, but during the rainy season they also harvest water from mountain streams, which in some cases is piped to the villages. Water for crop irrigation is generally seen as less important as many of the local people farm in mountain areas where crops are generally rain‐fed and water from the river is only needed to farm one crop of rice. Potential indicators should be identified through the process of IAP implementation in consultation with stakeholders.

Water transportation Water transportation plays an important role in the daily activities of local people. During the flood season, people use boats to cross the river and carry their agricultural products from mountain areas to the villages. During the dry season, or when the water levels are low people have to spend more time walking cross the river carrying goods by hand. Potential indicators:

17 ‐ annual social surveys to identify the how often boats can be used to transport goods and people across the river ‐ monitoring of water levels in the reservoir (use of official statistics).

Hydropower Total installed capacity of Hoa Binh hydropower is 1920 MW (Hirsch et al. 1992) and the study area makes an important contribution (through water storage) regarding the operation of this hydropower scheme. However, it is difficult to calculate its actual contributed proportion. Potential indicators: the annual power output of the Hoa Binh hydropower station (and the potential of new dams being built along the Da River in Phu Yen).

Figure 8: Areas supporting the ecosystem service of water provision

Figure 9: Ecosystem service of water transport areas

Climate regulation

In terms of local climate regulation the role of the rivers/reservoir is unclear. Through the focus group discussions, local people indicated that the climate seems to be more harsh and there are more ‘Laos’s winds’ (hot and dry wind blowing from Lao) since the hydropower dam was created in 1994. However this may be due to the changing wider climate or the moving of the settlement position (the villages moved further up the hills/catchment when the reservoir was formed). It is necessary to monitoring the local climatic parameters to evaluate this regulating service.

Potential indicators: Monitoring at the temperature, wind and rainfall at the site

Flood control

The natural vegetation in the catchment still provides some degree of flood protection to the communities at the site, however flooding still occurs at the site and the continued loss of vegetation in the catchment will only increase the severity of flood events. Flooding at the site needs to be better understood, as the water levels at the site are dependent upon rainfall and the reservoir levels controlled by dam operations. The dam operators do communicate when water levels are going to rise or fall to local authorities which then inform local people.

Potential indicators:

‐ Monitoring of water levels in the reservoir (use of official statistics)

19 ‐ Annual social surveys to identify number of flood events at the site

Habitat for economic species, maintenance of genetic resources of valuable fish species and biodiversity protection

These services were rated with high importance by all groups (apart from biodiversity protection by Group 3 – villagers). Son La People Committee (2009) indicated that the fish fauna in Son La Province is diverse with 162 identified fish species, of those 126 are found in the Da River (Bui The Anh, 2011) and many of them are economically important and endemic species (Annex 1). In terms of biodiversity protection, although many native species survive in the reservoir it is an artificial habitat and construction of the dam and subsequent reservoir will have changed and destroyed many natural habitats causing many species (particularly those that require flowing water, or plants that cannot survive the large changes in water levels, and migratory species that cannot pass the dam) to be extirpated from the area.

Potential indicators:

Tourism and other cultural services

Cultural services including educational value, research value, spiritual, aesthetics, recreation and tourism have proved difficult to define in this study. They were scored with relatively low value (apart from education), especially for recreation and tourism. However, Phu Yen District is an important economic development area in the Northwest region and it is not too far from Ha Noi the capital. Consequently there is potential for the development of tourism in this area in the future.

Potential indicators: Use of official government statistics to monitor the number of tourist visits every year in Phu Yen

4. Overview of livelihoods (WP4)

Historical change in livelihoods Son La has a complex history, with relative historical isolation from the state structures of the lowlands, while also being influenced by indigenous forms of economic and political organisation. Decollectivisation coincided with what is perhaps an even more significant shock to the livelihoods of Tuong Ha and Tuong Tien, the construction of the Hoa Binh dam downstream. Between 1986 and 1989 households were compelled to move to slightly higher ground to make way for a new reservoir which would flood the valley (Table 1). A large portion of the most fertile rice land was lost under the water permanently for most residents, and seasonally for some of the residents of Tuong Ha,

20 who could plant just one rice harvest. While aquatic resources in earlier periods were primarily valued as a source of water for irrigation and household use, and as a location for small‐scale fishing activities, they now played a far more significant role in people’s lives as communities were compelled to adapt their livelihoods following the loss of their paddy lands.

Fishing activities in the new reservoir were promoted and supported through the governments Project 747, although this was by no means straightforward for households who were not traditionally large‐scale fisher people. Kinh fishers from the lowlands were the first to benefit from the new reservoir. They would migrate seasonally and set up temporary floating homes in shallow sections of the reservoir for a few months a year, and would fish with large fixed ‘lift nets’ and with seine nets from small boats. They continue to reside here, and over the years their fishing skills were gradually transferred to local people, whose livelihood strategies today include a diversity of aquatic and non‐aquatic dependent activities.

Table 1. Timeline of villages

Year Events

1986 – 1989 Move to higher place because of construction of Hoa Binh dam

1990 – 1991 No wetland cultivation because of high water level

1995 Project 747 supports planting forest and equipment for fishing and aquaculture

1996 Having electric system. Animal disease because of new higher living place

1997 CARE project supports construction of water tank, training technical planting trees and breeding livestock, cattle.

1999 Started constructing road No 114 (provincial road) that was finished in 2009

2002 Storm destroyed ten roofs on houses

2005 Number of lift nets increase but hand nets decrease

2007 Flooding caused muddy water and many fish and shrimp died. Yield decreased

2008 Successful soybean crop due to new seed and area of soybean much increase

2009 Unsuccessful corn crop due to the damage of rats

(In focus group from 14/4/2010 – 23/10/2010 in Tuong Ha and Tuong Tien commune)

Wealth ranking

Patterns of resource use today and livelihood strategies vary considerably within the study communities. In order to gauge these differences it is first necessary to identify the livelihood

21 resources or ‘assets’ available to different groups of households. The first step in this process entailed a wealth ranking exercise (see Table 2).

Table 2. Characteristics of household according to well‐being ranking of study villages

Villages Worse‐off households Medium Better‐off households households

Dằn 1 ‐ Low level income, ‐Normal income, Stable income

‐More dependent people ‐Some ‐Subsidy from government (200,000 ‐ (children ,old person), inheritance of 600,000 VND/ month, capital from ‐Family members with illness parents. ‐Access to pension,

‐ New household, ‐No access to ‐Capital investment, ‐ Lack of capital, bank loan ‐Higher education for children ,

‐Obliged to take loan with high ‐Some land ‐Head of village or commune interest ‐Involvement in business or trading ‐ Involvement only in agriculture and fishing, ‐Enough food for whole year

Dằn 2 ‐Lack of labour, having many NO DATA ‐Stable income, dependent people (children) ‐Only two children, ‐Family members with illness ‐Happy family, ‐Not enough food all the year. ‐Enough food for whole year ‐No motorbike ‐Motorbike ‐Limited access to loans ‐Higher education for children ‐Lack of land ‐Large land holdings

Tầm Ốc 1 ‐Income lower than 200.000 ‐Income from ‐Income more than VND/month/person 300,000 to 400,000/person/month 400,000/person/ ‐Lack labour month ‐Inheritance of capital from parents ‐ Stable income ‐Two small children and old No ill people person ‐Access to subsidy or pension ‐No access to ‐Poor health bank loan ‐Children studying at university ‐New divided HH from poor ‐ Involvement in business

22 Households ‐ Hard working

‐Lack of capital,

‐Obliged to take loan with high interest

‐Little land

Tầm Ốc 2 ‐Many people in the family, ‐Works hard but ‐Access to, subsidy lack capital. ‐New households, many small ‐Inheritance of capital from parents children ‐Good health, knowledge Access to household labour (4‐5 main ‐Lack of valuable asset, labourers), ‐Good labour ‐Poor health management ‐ Knowledge of integrated agriculture, ‐Limited knowledge. ‐Fishing with animal husbandry

‐More than 10 cattle

‐Hard working

Tặt ‐Ineffective use of capital ‐Having many ‐High income children at ‐Less labour and many small school ‐ Inherit capital from parents children ‐Main ‐ Access to pension/ allowance ‐Many children and old people, occupation is ‐ Access to loan to invest in plantation ‐poor health, agriculture forest and animal husbandry

‐Newly started household , ‐ Good ‐Hard working agricultural ‐Limited knowledge. productivity ‐Few dependent people

‐All husband and wife have no ‐Children have higher education and education stable job

‐Government job

‘Worse‐off’ households are those that lack land or capital to invest and have limited education. Without adequate holdings of wet rice land, households often must cultivate cash crops such as corn and cassava on the fragile upper slopes or carry out small scale fishing to generate cash to purchase rice in the market. Even holdings of land on the upper slopes are sometimes marginal. Given the lack of opportunities to generate a surplus in this context there are fewer opportunities to diversify their livelihoods through entry into trade and other occupations. Another cause of poverty is demographic. Households classified as ‘poor’ often have a large number of dependent family members such as young children or elders, which means there is a shortage of food or income

23 relative to the amount of productive labour in the household. Poor health can also increase the numbers of dependent family members and can incur additional expenses. Such households usually have a small house with more limited space to live, with day to day food insecurity and no valuable assets such as motorbikes. They are often dependent upon loans from the bank or private lenders, often at high interest rates.

‘Medium’ wealth households have larger holdings of wet rice land and can usually meet their subsistence needs through agriculture and fishing. They also are not constrained by large numbers of dependent family members or illness. However, most households in this category lack significant savings and there is limited capital investment to expand the household asset base.

‘Better‐off’ households have a lot of land and cattle which assures them year‐round livelihood security and allows them to generate a surplus product which when sold can be used to accumulate wealth. Profits are sometimes invested in more advanced agricultural inputs and machinery, or are diverted into other activities such as aquaculture. This explains the higher average investment over the last year of 3,519,000 VND on agriculture, livestock and aquaculture inputs by ‘better‐off’ households as compared to the 2,283,000 invested by ‘medium’ households and 1,736,000 spent by poor households. Furthermore, the survey showed that 7 sampled ‘rich’ households owned high value machinery such as threshing and husking machines, while only three ‘medium’ and one ‘poor’ household had made such investments. The consumption pattern of households reflects these wealth differences. According to ‘better‐off’ households, they spend considerably more on building and maintaining their homes than their medium and ‘worse‐off’ counterparts. They also have more electrical equipment such as televisions and refrigerators and spend more money on gas to cook.

Children in the ‘better‐off’ category have a better education, family sizes are reportedly smaller, and the general health of the household is better. Although educational expenditure per person was reportedly higher for richer households larger family sizes amongst poorer households may be why average educational expenditure over the last year remains the same for all wealth categories.

In order to understand the basis for wealth differences, a first step is to examine each livelihood resource, and examine who has access to them. Natural resources include wetlands, hills, fields, forests and water surfaces. In the research areas, there is more than 200ha of water surface. The reservoir is by far the most important aquatic resource in the study site. The watershed belonging to the Hoa Binh hydropower dam has a high potential for fishing and aquaculture (The Social‐Economic Report for Tuong Ha Commune in 2009; The Social‐Economic Report for Tuong Tien Commune in 2009) .The reservoir is effectively ‘common property’, in that any household with appropriate fishing equipment can utilise its resources. Aside from this, there are some small artificial ponds which are privately owned and built by households for aquaculture. There are also several smaller streams which are sources of aquatic produce such as molluscs.

Marshy wetlands were traditionally used for wet rice cultivation, although since 1994, the water level in this area has increased due to the storage of water in the Hoa Binh hydropower dams and they are underwater. Before resettlement, all the villages had a large area of wet fields but now most of it is under water, so local people are lacking wet land for rice cultivation especially in Tầm Ốc 1 and Tầm Ốc 2 village, where each household previously had 2ha wetland area which was distributed by the village leader. However the yield of agricultural products harvested in these areas depends on natural conditions and water level. The annual rice production is about 5.6 – 6.6 ton/ha

24 (Tuong Ha People Committee, 2009; Tuong Tien People Committee, 2009). Furthermore, wet rice holdings are not equally distributed. Wealthy households have larger holdings of wet rice land than their poorer counterparts, explaining their stronger livelihoods. Households classified as ‘poor’ and ‘medium’ own on average 533 and 430m2 of wet rice land respectively, while ‘rich’ households own 904m2.

Hill land and dry fields are the main land for agriculture activities in the study site. Cultivation in dry fields includes dry rice (Oryza sativa), corn (Ostrinia nubilalis), cassava (Manihot esculenta), soybean (Glycine max) and dong giềng (Canna edulis). Techniques of cultivation are different between villages, depending on the natural conditions and habit of local people. In general, the quality of land is decreasing due to soil erosion, deforestation and unsustainable farming techniques.

Regarding forest resources, there are two kinds: natural forest and cultivated forest. Natural forests are listed as national assets that are entrusted to local communities for protection. Beside natural forest, each household has also been given two hectares of hill land to plant and manage. On these kind of land, local people are growing forest treed such as Keo (Acacia mangium), Luồng (Dendrocalamus membranaceus munro) and Tếch (Tectona grandis).

Aquatic resource use

Livelihoods depend on a combination of both aquatic and non‐aquatic resource based activities. Agriculture is the predominant livelihood activity in Tat, Dan 1 and Dan 2 villages, while both fishing and agriculture provide the main income in Tam Oc 1 and Tam Oc 2.

Aquatic resources in Hoa Binh reservoir today play an important role in the livelihoods of respondents in each of the three villages. A diverse range of fish are caught, as is displayed Table 3. Households in Tam Oc are most dependent upon aquatic resources, primarily because this village had lost the most wet rice lands due to the reservoir, obliging households to diversify their livelihoods.

Table 3. Species of fish caught locally

Local name English name Latin name Harvest seasonal

Cá Chép Common carp Cyprinus caprio (Linnaneus, 1958) July to August next year

Cá rô phi Tilapia Oreochromis mossabicus (Peters) All year

O. niloticus (Linnaeus, 1758)

O. aureus (Steindachmer, 1864)

Tôm sông Shrimp September ‐ April next year

Cá tạp Trash fish From January to July

Cá Mè trắng Silver carp Hypophthalmichthys Bleeker, 1860 July ‐ August next year

Cá Trắm cỏ Grass carp Ctenopharyngodon idellus (Cuvier & Valenciennes July ‐ September 1844)

25 Cá Trôi Mud carp Cirrhinus molitorella (Cuvier & Valenciennes 1844) July ‐ September

Cá Ngão Ancherythroculter daovantieni Banrarescu, 1967 September ‐ February next year

Cá Bò Pelteobagrus fulvidraco (Richardson) October ‐ December

P. tonkinensis Hao, 2001

P. intermedius (Nichols & Pope)

Cá Lăng Hemibagrus guttalus (Lacepede, 1803) October ‐ December

Cá Măng Milk fish Elopichthys bambusa (Richardson, 1844) All the year

Local people use a number of different tools for fishing such as lift nets, traps, hand nets and cover nets. Some methods have been forbidden, although the fishers still use these techniques secretly on some occasions, such as the use of explosives or electricity. According to the survey, the total yield of fishing was 46 tons in 2009 in Tuong Ha Commune and 14 tons in Tuong Tien. The fishing method includes lift nets, boat fishing and small scale fishing (line fishing and using trap). Among 94 households interviewed, 54 households (57.4%) were involved in fishing, with 5 households using boats with an engine and 55 using small boats and 32 households used lift nets.

Many people use traps to catch shrimp. They go out very early in the morning (4‐5am) to lay the traps, and then return in the evening to collect them. This is mostly done closer to the village. A household who used 1000 traps (cost for one trap was 2600 VND) could earn 1.5 to 1.7 million VND per fishing month per person. However the season is only about six to seven months (from late September to the following March). Traps can also be used to catch very small fish. Often these ‘trash fish’ sell for about 8000VND per kilogram and they can catch up to 10kg per day. Boat fishing often involves long distance travel on larger boats with motors. This is practiced mostly by Kinh fishers, and one or two households in each village. The common species collected include shrimp, common carp, silver carp, mud carp and “trash fish”. Fishermen said that the quantities of fish are decreasing due to overfishing and soil erosion which has worsened water turbidity and promoted accumulation of mud.

In the five villages surveyed, Tầm Ốc 1 and Tầm Ốc 2 villages have a higher rate of households involved in fishing with the proportion of 94.4% and 78.4% respectively; followed by Dằn 2 (47.8%), Tặt (34.8%) and Dằn 1 (32.6%). In Tầm Ốc 1 and Tam Oc 2 village, people spent most of the time fishing because they lack wet rice land, while the upland field soil quality is poor and crops are frequently damaged by rats. The proportion of poor and medium households involved in fishing is higher than for better‐off households, suggesting that they are more dependent upon aquatic resources, perhaps due to their limited ownership of land and other productive assets. There are more than 60% of medium and poor households engaged in fishing as compared to just 50% of the wealthy households. The reason is perhaps the fact that better‐off households have more land and higher income from animal husbandry than their poorer counterparts, and therefore spend more time engaged in agricultural activities. Within the household, men participated in fishing more than women (Table 4) and the men usually go out to fish in the afternoon and return in the morning the

26 next day. In some households the husband goes fishing for a few months and their wives stay at home to take care of her children and work in the field.

Aquaculture

Another livelihood activity which depends upon aquatic resources is fish culture. The large surface area of the reservoir and the availability of bamboo to make cages suggest there is a good potential for cage culture development. From 1990 to 1991, the government supported a policy on cage culture development in Hoa Binh reservoir but it was not successful because of fish disease and water fluctuation. At the same time, the complicated topography of the mountains limited the potential for pond culture. Each village has 3 or 4 ponds with an area of 70 to 100 m2. Pond culture is normally carried out by some wealthier households who can afford the investment, although productivity is generally low. For example, one ‘better‐off’ household was raising tilapia in a pond. Some was sold and the rest was kept for the family. The common culture species include tilapia, common carp, grass carp, mud carp, catfish and silver carp which are highly adaptable species that can survive on available food waste such as cassava and banana leaves and grass. All households wish to participate in cage culture because despite its limitations, it is one way to supplement their income in the context of soil erosion and climate change.

Gender and age

In terms of aquatic resource dependent activities, both women and men are involved in fishing near the village, using shrimp traps, lift nets and small boats. It is primarily women who are involved in fishing from smaller streams near to the villages, which is compatible with their work responsibilities in the home and existing gender ideologies. It is however, considered dangerous for women to travel out onto the distant shores on the larger boats. Occasionally they do participate, but only with their husbands, and this is normally due to labour shortages. When husbands go fishing it is normally overnight and they return in the early morning. This allows them to travel quite far, often as far as Moc Chau, the next district, where the fish stocks are more plentiful. By staying the night the nets can be left out, and it saves them the fuel which would be used if they had to return to the village and then come back to collect the nets in the morning. The tendency for men to migrate to other provinces both on a temporary and permanent basis has increased women’s role in many aquatic dependent activities. We heard of some women who had been learning fishing and shrimp catching techniques from their husbands who were now migrating outside.

Table 4. Household activities ranking by women group in Tầm Ốc 1 village

Activities Men Women Boys Girls

Fishing + + + + + + + +

Sowing crop and planting + + + + + + + +

Transplanting rice 0 + + + + 0 +

27 Ploughing fields + + + + 0 0 0

Gardening + + + + + +

Going to market to buy product + + + + + + + +

Selling product + + + + + + 0 0

Tidy up house + + + + + + + + +

Repairing house + + + + 0 0

Cleaning the house + + + + + + +

Collecting wood + + + + + + + +

Level: + + + : Very involved; + + : Moderately involved; + : Least involved; 0 : Not involved

Aside from gender divisions, there are significant differences in labour responsibility according to age. Boys usually play a more important role in fishing activities. Young boys who do line fishing derive their fishing knowledge from their fathers and elder siblings. They also enjoy watching older men fishing. Boys usually go to the reservoir to catch fish by boat, hand net or trap. Girls’ fishing activities are normally restricted to catching snails or small fish near the river’s edge. Any money which is earned by boys or girls through fishing is normally given to their parents to buy rice and cover family expenses. Some children wish to keep a little money for themselves such as to buy new clothes, notebooks, or shoes. Girls aspired to buy clothes, shoes and books while boys wanted to buy bicycles, mobile phones and balls to play. However, sources of personal income were generally low and children generally felt a responsibility to give all their catch to their parents.

While girls play a limited role in fishing, they play a more important role in agricultural activities, and the maps they produced for the focus groups showed much more detail for the different agricultural environments when compared to those produced by boys. Girls also make a significant contribution to household reproductive activities such as washing clothes, cooking, washing bowls, collecting wood or working in the garden. Boys however, play a more marginal role in these activities.

The activities which boys ‘enjoy’ most include fishing, swimming, catching snakes, trapping birds in the field, and studying, whereas activities boys least enjoy include washing clothes, washing bowls, working in the fields, collecting wood and cooking. The girls said that the activities which they most enjoy as include catching snails, cleaning the house and planting vegetables. Activities they least enjoy include preparing food for pigs, working on the fields, collecting wood and taking care of buffalo. Some actually noted catching snail as a ‘least enjoyable’ activity.

Education is really valued by both boys and girls, and they feel that their parents allow them to focus on this when they get older and work less. When they were younger they were expected to contribute significantly to household labour, but when they are in high school, they are allowed to

28 focus on their studies during free time. Girls for example, noted how when they were younger (up to age 12) they used to go out to collect snails from the smaller streams with their friends. However, now they no longer have time.

5. Overview of institutions, policy and conflict (WP5) In the local governments view aquaculture and fisheries are important livelihood activities for local people hence these activities are encouraged and promoted. Aquaculture activities and outputs are planned to be doubled and tripled within the next 5 to 10 years and with introduction of new species this is expected to impact the biodiversity and natural resources conservation. Present fishing practices are unsustainable and illegal and regulations and penalties are not enforced.

Aquatic catch and markets in Phu Yen District, Son La Province Research carried out in two communes Tuong Ha and Tuong Tien (Phu Yen District, Son La Province) showed that fish is the main aquatic market product and fish are being traded in a well defined network (Figure 10).

Household consumption

Small fish sold in village Small low value fish (trash fish)

Fish and shrimp sold at village market

Fish dried, large Aquatic products collected in project sites volumes for sold

(fish, molluscs, plants…)

Bigger and Local collectors District/city markets special fish

High value fish from other provinces

Figure 10: Fish market chain in Phu Yen District

29 Fish collected are divided into big, high value fish and small, low value fish (trash fish1). Normally, the big fish and special fish are sold to local collectors who will bring them to the city markets or restaurant. Trash fish with higher volume are dried for sale, used for pigs as well as used for household consumption. Sometimes, the small fish are transported by bike to sell in the village. Fish and shrimp are also sold at the local market, which opens three times a month. This market is more important for ethnic minorities’ living at the top of the mountain such as Hmong people who often take a day to go to the market to buy fish and other products such as salt, sugar candies, seeds and oil for lighting (field trip in Tuong Ha).

There are estimated to be one or two fish and shrimp collectors in the commune who collect shrimp in the village in the morning (5‐7 am) and afternoon (5‐7 pm) on a daily basis. Intermediate traders then buy all the fish and shrimp for further distribution to cities such as Hanoi, Hai Phong and Hai Duong for sale. It was estimated that three trucks are used for the distribution of fish collected around watersheds in Phu Yen District and neighbouring areas which equates to about 10 tonnes of aquatic products being traded per day. In Phu Yen, restaurants often order fish, shrimp and snails from traders collected from streams (Restaurant interview, Sep 2010). There are 8‐9 fish retailers in Phu Yen District markets, of which four sell river fish, including two people from Phu Tho Province who both catch and sell fish directly. Because, the price of wild caught big fish is a lot more expensive than cultured fish, wild fish are sold in markets in the cities, while cultured fish are brought from other provinces to supply in Son La. With such an exchange of fish it is difficult to ascertain figures of the real catch of fish in the areas. And no authority controls the trade in fish.

Stakeholders related to highland aquatic conservation Stakeholders involved in biodiversity and conservation of highland aquatic resources include:

• Fishers: those people have livelihoods heavily dependent on fisheries resources, part or their total income related to fishing.

• Traders: wholesalers, middleman or small traders in fish and aquatic product.

• Consumers: consumers who use aquatic product as daily food or restaurants who cook aquatic product.

• Managers: staff from the central to local agencies who are involved in agriculture, fisheries and environmental management.

• Researchers: researchers who participate in the study of fisheries resources and have knowledge in aquatic resources in mountainous areas.

• Non‐governmental organizations: active in the field of aquatic resource conservation, environmental managers and hydroelectric managements.

1 The term ‘trash fish’, although used widely locally, is indicative of the low monetary value associated with some species and size classes and greater awareness is needed concerning the broader benefits of maintaining and enhancing aquatic biodiversity to sustain stocks and flows of ecosystem services supporting broader social‐economic development

30 There are many development pressures on and threats to aquatic resources in Son La Province, including hydropower development, gold and mineral mining, agricultural cultivation, industrial activities and deforestation. And according to a Government official in Phu Yen District (Interview, September 2010) is it challenging to balance economic development and aquatic conservation, and to ensure poverty reduction, food security and sustainable use of aquatic resources. The key finding with regard to pressures, threats and conflicting interests are presented in the following sections.

Conflicting interests in hydropower generation and aquatic resources conservation In Phu Yen District, Tuong Ha and Tuong Tien Communes are located on the reservoir of Hoa Binh hydropower scheme with the capacity of 1,920MW and Son La hydropower with the capacity of 2400MW. In addition, according to the master plan 2009‐2020 there will be four more small hydropower schemes (Suoi Sap 1, Suoi Sap 2, Suoi Sap 3 and Muong Lang) with the capacity of 8‐15 MW in Phu Yen District (Phu Yen People Committee 2009). The fishers in Phu Yen, Son La said that fish production is greatly reduced since hydropower stations were constructed; the construction of dams destroyed breeding ground, fish could not migrate to breeding areas, sediment load covered the living areas for fish, there are too many people involved in fishing and many of them use destructive fishing equipment (although banned) such as mine, electric and small mesh nets (General notes from Tuong Ha and Tuong Tien observation interviews, 11/4‐22/4) the construction of hydroelectric power leads to migration and resettlement, the population growth leads to excessive exploitation of natural resources, changing habitats, changing the natural living areas to make room for the activities of human life. However, a local authority said “if we manage the hydropower well, the aquatic resources will not be affected” (Interview, Sep, 2010).

There is an environmental impact assessment before the construction of hydropower schemes, but there is no research on the changes in aquatic resources after (Key informant interview, Jan, 2010). However, the construction of hydropower leads to changes in land use; water filling up rice fields leading to the cessation of rice cultivation which forces people to cut down trees to create new planting areas. People in these areas use old cultivation techniques so productivity is low and poverty high which emphasizes deforestation and destructive fishing; finally, the environment has been continuously destroyed. It is evident that the development of hydropower and poverty are the most important factors explaining declining biodiversity in Phu Yen. This shows that there are many conflicting interests between the hydropower development plans and biodiversity conservation.

Conflicting interests between mineral exploiting and biodiversity conservation

In Phu Yen District, policies are being developed to attract investment from investors and companies that wish to come and exploit and process minerals such as copper ore (Cu), lead ore (Pb) and nickel. In the master plan, it is proposed to set up two factories to process copper ore in Gia Phu Commune and lead‐zinc processing in Muong Coi Commune and build ore exploiting stations in Da Do and Suoi Bau Communes. Furthermore, plans include building an NKP fertilizer factory in Gia Phu to use the by‐products from ore factories (Phu Yen People Committee, 2009). Based on this, exploitation of mineral resources could have a devastating impact on the environment and reduce biodiversity. It is clear that the master plan for mineral exploiting in Phu Yen is in conflict with biodiversity conservation.

31 Conflicting interests between agriculture and biodiversity conservation

In Phu Yen, it is apparent that agriculture production (rice farming, soybean farming and tea cultivation) use chemicals and pesticides that can be discharged into the environment and cause water pollution. Many people said they were actively cultivating higher slopes and using plant protection agents, notably pesticides. Given problems with erosion and the prevailing climate it is likely that rain will wash such chemicals into rivers and lakes and create negative impacts (Focus group at Tuong Ha, Oct 2010). However, in the master plan of Phu Yen District in the period 2009‐ 2020, a change in emphasis for agricultural development is encouraged, focusing on intensive farming, limiting farming on highly sloping land, increase long‐term industry trees (tea and rubber trees) and increasing livestock numbers. In addition, distribution of forest land to households and community management of these holdings is included with an aim of having 17,455ha of forest in 2020 with forest cover at about 60% (Phu Yen People Committee 2009). Following this master plan, livestock proportion will be more prominent in the agricultural sector, thus waste and chemical use will increase and negative effects on the environmental and biodiversity can be foreseen.

Conflicting interests between fisheries and aquatic conservation Fisheries and unsustainable aquaculture have led to negative impacts on natural resources conservation in Phu Yen District. The Master Plan of Phu Yen District for 2009‐2020 encourages aquaculture, especially cage culture and fisheries in Da Reservoir. It is estimated that the total area suitable for aquaculture would be 159ha in 2020 with average production of 1.5‐2 tonne ha‐1 under aquaculture. The main culture species are mud carp, common carp, silver carp, tilapia, frog and turtle. Following this policy, cage culture and aquaculture with introduced species will create an impact on environment and native species in this area. In addition, people living in Son La Province face very difficult circumstances; rice field loss due to flooding and the replacement of hydropower dams and low yields of maize and cassava due to soil erosion. Therefore fishing is one of the main livelihood activities. Recently, illegal fishing with inappropriate net sizes and electric equipment has led to decreasing aquatic resources. If policies encouraging fishing on the Da Reservoir are carried out when illegal fishing is still an issue, aquatic resources and biodiversity will be reduced rapidly.

Local authorities believe that propaganda promoting fishing laws and awareness‐raising for aquatic conservation are important for biodiversity conservation. However, fishing within the boundaries of the law does not provide the people with enough fish to ensure survival so they are still pushed into illegal fishing. If fishing is strictly banned people will lose their job and livelihood so there is no easy solution for this issue (Interview, 9/2010). Thus, it is important to educate people about the role of biodiversity in the livelihoods of local people in the long term and create alternative jobs for local people instead of promoting dependence on fishing.

Conflicting interests in factory development and environmental protection According to the Master Plan for development of Phu Yen District for 2009‐2020, there will be four industrial zones in Gia Phu, Huy Thuong, Huy Ha and Muong Coi Communes. Consequently, there will be many factories built such as tunnel brick factories, ceramic factories, textile and agriculture product processing factories (Phu Yen People Committee 2009). If all these factories are built and do not strictly comply with environmental regulations then there will be a significant risk from water pollution. Recently, some processing facilities in Phu Yen District discharged waste to the river and affected the lives of local people. However, at the district level, there is not enough equipment for

32 water quality checks or reports that could lead to penalties for the factories. Therefore, it is very difficult to prevent and stop the discharge of factory waste (Interview, 9/2010).

6. Synthesis chapter Problems from WP 3 Soil erosion is a major problem owing to cultivation on sloping fields, poorly suited to agricultural production. Aquatic resources are declining as fishing tools and methods for exploiting fish stocks are unsustainable, with over fishing and use of small size nets, mining, electricity and lift nets being widespread. Water resources are polluted by soil erosion (resulting in turbid rivers and causing fish kills) and petrol from boats on the river.

Major aquatic habitats in the HighARCS site in Phu Yen are predominantly artificial, with the reservoir levels dictated by the management of the Hoa Binh hydroelectric dam which was constructed in 1989 (communities were relocated up the catchment to allow for the reservoir). The construction of the dam on the Da River is likely to have had major impacts upon the native biodiversity, particularly those not adapted to lacustrine conditions, requiring migrations to complete their lifecycles or not able to survive large changes in water levels. The exact impacts (which species no longer occur at the site) are unknown, though many native species still occur there providing an important resource to the local communities. Based on a collaborative project between Research Institute for Aquaculture No1 and the Ministry of Agriculture and Rural Development called Assessment of Inland Fisheries in Son La Province 2008‐09 126 species of fish are known to occur in the Da River (Bui The Anh et al. 2009). Of these, 8 species are non‐native, many of which are known to have negative impacts upon native species and habitat quality.

Key threats to biodiversity and ecosystem services at the site are overfishing and the use of destructive fishing methods, agricultural pollution, deforestation, and the changing water levels caused by hydropower dam operation. All the threats apart from overharvesting are driven by factors outside of scope of community control, with land use changes upstream and dam control impacting the biodiversity and ecosystem services at the site.

Ecosystem service prioritisation work has shown that different stakeholder groups value the services differently. The regulating services were valued the highest by the Provincial and District level governance (group 1) and the Commune level governance (Group 2), in particular wetland water storage during dry season, habitat provision for economic species, flood control and the maintenance of genetic diversity of valuable fish species. Whereas the villagers (group 3) also value the provisioning services, especially fishes for commercial and subsistence use as highly as the regulating services. Many of the highly prioritised ecosystem services are dependent upon the reservoir (an artificial environment) and the dam management providing suitable levels of water for harvesting of fish and water.

Problems from WP4

Major problems elicited during livelihoods focused research and assessment activities include:

• Lack of wet land for rice cultivation in Tam Oc 1 and 2 villages • Hard climatic conditions

33 • Low agriculture productivity so that there is a lack of food for four to six months (January to June) • Lack of water for drinking, domestic use and cultivation in Tat Village; cultivation mainly depend on rain water • Animal diseases • No addition occupation to earn extra income • Lack of capital to invest in animal husbandry and fishing • Irregular water level change in the reservoir

Potential mitigation measures to compensate for these problems identified during focus groups with community members are summarized in Table 5 whilst solutions favoured by government officials include agricultural cultivation along river banks and cage culture in reservoirs.

Table 5 Problems and suggestion solution from focus groups Problems Suggestion solutions Lack of water Increasing level of forest covering that keep ground water so people could make for drinking well to collect water for domestic use. In addition, building and maintaining and domestic water tank to store rain water in rainy season. use Degradation Planting the suitable plants in high slope that prevents erosion and increase of soil and soil benefit. Setting steps field, planting soybean and increasing the level of forest erosion covering. Damage crop Commune and schools is encouraging people to trap and catching rats Each by rats household should have at least one cat. Lack of technique in Communes organize annual training courses on planting, animal husbandry and planting and aquaculture to improve knowledge for local people. Establishing groups in animal sharing experience of breed and plant in village. husbandry Lack of capital Government support and making good condition for loan with low interest Degradation Improving people’s knowledge about sustainable fishing. Strictly forbidden in of aquatic using destructive fishing methods such as bomb, poisonous, explosive and resources electric equipments. Fishing households should join into a group or fishing union and making fishing regulation. All villagers need to understand and make agreement on it regulation as village’s regulation. Need the good cooperation between communes, villages leader and police and army in carrying out the village’s regular Animal The agricultural staffs in commune combine with village organizing annual diseases training course and injecting vaccine for cattle and livestock to prevent disease No addition Find and establishing the suitable addition occupation such as make broom, occupation handicraft …in order to increase household’s income (In focus group from 14/4/2010 – 23/10/2010 in Tuong Ha and Tuong Tien commune)

Problems from WP5

Major issues identified concerning policies, institutions and processes included:

• Limited awareness of local people and staff on aquatic conservation • Fishery law is issued in 2003 but local people cannot access it

34 • Due to a preoccupation with making a living people are not engaging in aquatic resources conservation • Lack of staff for aquatic conservation with only one aquaculture staff at district level and none at commune level • Lack of access preserver natural resources and fishery law • Lack of a detailed guide on how to conserve natural resources • Limited collaboration between stakeholders at difference levels • Allowing people outside community come to caught fish but don’t manage their tools and methods, makes conflict between them with local people • Limited progress in devising workable solutions for decentralization of management based on allocation of responsibility for selected surface water areas

The following key recommendations related to policies, institutions, and implementation in practice, should be considered when developing the action plans for sustained provision of ecosystem services, in view of improved resource use, tackling user conflicts and conserving aquatic resources:

• Integration of biodiversity conservation into development plans: it is recommended that biodiversity issues and targets are more fully integrated into the People’s Committees at Provincial, District, and Commune levels to ensure a more integrated approach to development and conservation and to enable budget allocation for conservation.

• Addressing the issue of overlapping institutional mandates: it is recommended that functions and tasks for aquatic resource conservation should be clarified and the detailed responsibilities at sub‐national levels developed. Moreover, the provinces should develop a shared database where all documents and data are uploaded and easy to use for any employee from any department working in the field of natural resources. This database would also help in new policy making, making it easier to ensure coordination and that all policies aimed at controlling biological resources are active and taken into account when making new policies. • Enhancing management and technical capacity of technical units at all sub‐national levels: by clarification of the management areas (as mentioned above), and by building management and technical capacity for staff and creating full time positions in all departments, districts and communes is essential in order to implement existing and future policies properly.

• Strengthening enforcement of regulations: it is recommend to 1) develop detailed guidelines for provinces, districts, and communes, and 2) to enhance the human resources for implementing the laws and regulations. This could be done with security teams for better and stricter management of destructive fishing. Binding funds for supervision would bring more attention to control and implementation of regulations, which is essential in assuring implementation and compliance to the laws and regulations.

• Enhancing community participation for improved management and use of aquatic resources: To address the challenge with lack of staff capacity for aquatic resource management, we recommend decentralization in management of aquatic resources and encouraging local people to participate in the management of aquatic resources and build regulation in villages to protect aquatic resources. This should also include the mobilisation

35 of a budget specifically for enhancing local people’s knowledge about fish stocks and aquatic environment issues. • Balancing poverty reduction/alternative livelihood creation and aquatic resource conservation: to address the issue of it is recommended that ‘green’ jobs are created ie. by starting environmental initiatives like green energy businesses or payments for protecting the environment when making a living.

• Improving wastewater monitoring in Phu Yen District: the problem of illegally discharged waste needs more attention. Having someone assigned specifically for control and supervision of water quality would be an improvement on its own. However, there is insufficient equipment for water quality control, which complicates the report making necessary for catching and fining the polluters. • Addressing the negative impacts of mining: the development plans for mineral exploiting in Phu Yen is a conflicting interest to biodiversity conservation as exploitation has devastating effects on the environment. Mineral exploitation should be minimized in areas with vulnerable natural resources and regulations to reduce its impact on the environment should not only be strengthened but also communicated and enforced.

7. Action Planning Process and Methodology Objectives

• Enhanced biodiversity

• Stronger livelihoods

• Stronger management of institutions

Figure 11. Methodology and approach: integrated activities of WP3, WP4 and WP5

36 Step to implement proposals included stakeholder meeting discussions (SOS meeting), revised IAP, finalized IAP, implementation, monitoring and evaluation.

Initial action plan

An outline for the IAP for the Phu Yen site is presented in Table 6. Suggestions for district government included training actions:

o Cage culture training ‐ this was something mentioned by respondents during interviews.

o Farmers without paddy lands in particular, could be provided with training in fishing techniques, particularly shrimp fishing which is carried out close to the village, and is the domain of both men and women.

o Fish pond culture training, particularly amongst the H’mong community in higher areas. There were already several ponds in the village above Tuong Tien. Although not ‘dependent’ on aquatic resources, they are probably the poorest and most marginalized community in the field site and should perhaps be more central to the HighARCS action planning agenda. They are also responsible for management of large parts of the upper watershed, and poor soil quality and run‐off here affects reservoir water quality and the livelihoods of the study villages in the valley.

More ambitious ideas centred on:

• Poor soil and extensive erosion were raised as problems by respondents. This is perhaps one of the most significant problems in Son La, and is responsible for declining agricultural yields as well as soil run‐off and increased water turbidity. Some respondents suggested they needed support in planting trees to protect the hillsides from erosion. Sustainable afforestation or forest regeneration schemes may be appropriate, (although not monoculture). More research is necessary in this area. These could be community managed. Evidence from other parts of Asia suggests that community managed forests generally are better conserved than state managed forests whereby it is difficult to enforce regulations. Again, both the H’mong community higher in the watershed and the Muong and Thai communities in the valleys would need to be involved. We would however need to think of ways that income could also be generated by forests, as afforestation would involve giving up agricultural land, the yields of which are very low anyway.

37 • In Tuong Tien, water problems were one of the most significant issues raised. We could look at possibilities for water harvesting or introduction of a piped water supply. This would be expensive and logistically challenging, requiring the input from technical experts, but it is at least something we can discuss with the local government as a possible intervention. However, it would not relate directly to proposed actions to improve conservation or promote wise‐use and it would be necessary to see how this could help alleviate pressure on local aquatic resources.

The implications for policy and practice of the current study lend strong support to addressing the problems of local people, in particular the inclusion of degradation of aquatic resources and lack of technique in fishing and aquaculture. It has demonstrated that the critical importance of aquatic resources in livelihoods and economic terms. It has documented the importance of implementing fisheries regulations. The on‐going local‐level planning process offers a key opportunity to make operational current national policies of decentralized and participatory environmental management.

When discussing the implications of formulating action plans the main considerations are; implications to who or what, when and why? In theory, no action has the most positive impact on livelihoods. It is very important to engage policy makers, authorities and communities to link alternative livelihood options, income generating activities with awareness raising and conservation. It is also necessary to facilitate the participation of men, women, boys and girls. The action should aim to target specific groups such as children, fishers, communities and local authorities.

For the children: A contest about understanding of law/regulation in fisheries and conservation of biodiversity and aquatic resources might be carried out. The contestants are students at primary and secondary school (from 9‐15 years old/ grade 3‐9) in the district. The form of contest might be poster presentation within class, oral presentation for some excellent candidates or written paper.

For fishers: A technique training on cage and pond culture and fishing regulations could be carried out. In addition, integrated pond culture could be practiced. In this model, the impact of different types of culture on income could be tested.

For communities and awareness rising: A broad poster could be put in public areas such as commune’s office and village leader’s house. The contents should convey in pictures the rules relating to conservation of aquatic resources and fishing. Another option is a simple HighARCS notebook or calendar (including simple and practical fishing regulations and HighARCS findings) could be given freely to household involved in the project and to local officers. The dissemination of posters/calendar could be carried out with a set questionnaire administered at the beginning of

38 poster hanging and then after 6 or 12 months to see how much awareness has improved by age, gender and among different stakeholders.

For local authorities: Some suggestions and recommendation for integrated livelihoods diversification and income generation for sustainable development will be communicated to different levels of authorities. For example, suggestions about improvement of policy and mechanism, management strengthening. The agreement in fishing regulation is also suggested to put in village’s conventions and it might be one of criteria for family culture. Evaluation would also be carried out after a year with an open questionnaire to see if something had changed their concerns or improved their action plan.

Table 6. Outline Integrated Action Plan for Son La

Rank PROBLEM SOLUTIONS ACTION PLANS

1 Soil erosion causes muddy Development of ‐ Planting forest and strengthening forest river policy and legal management framework

2 Over‐fishing and Development of ‐ Detailed and suitable regulation in indiscriminate fishing policy and legal aquatic conservation. methods (use of poison and framework electricity, light net, small ‐ Master plan in breeding ground and size of the nets), fishing areas uncontrolled fishing

Enforcement ‐ Clear punishment regulation for destructive fishing

‐ Better and stricter management of destructive fishing

Training capacity ‐ Train commune/village staff and local people in fishing regulations

‐ Training in sustainable fishing

Local ‐ Setting up an aquatic resources management in management group in commune aquatic resources ‐ Decentralization in aquatic resources management

‐ Build village regulation in aquatic resources

39 Awareness ‐ Awareness raising in aquatic resources raising conservation

3 Not enough document, Training capacity ‐ Train commune/village staff and local policy and regulation in people in fishing regulations aquatic conservation (commune and local people)

4 Not clear collaboration Development of ‐ Making detailed plans and policy for regulation from province to policy and legal implementation in each department and commune and between framework level organizations

5 Waste (domestic, small Enforcement ‐ Clear punishment regulation for factory) discharge waste

‐ Better and stricter management of waste from factory

6 Migratory fishers Development of ‐ Better and stricter management of policy and legal destructive fishing framework ‐ Setting up aquatic resources management groups in communes

7 Hard climate condition, low Training capacity ‐ Training on cage culture to diversify agriculture productivity livelihood

‐ Setting model in aquaculture

‐ Training on culture in high slope land and husbandry

8 No budget for aquatic Development of ‐ Setting‐up project to evaluate aquatic conservation (district, policy and legal resources commune level) framework

9 Irregular water level change Development of ‐ Hydropower companies should be and turbid water due to policy and legal notified of changing rules regarding water hydropower framework level management of hydropower dam

10 Weak controlling and Local ‐ Setting‐up aquatic resources inspection of aquatic management in management groups in communes resources and ineffective aquatic punishment resources ‐ Should have 1 staff at commune for aquatic resources management

‐ Build village regulation in aquatic resources

40 Revised Integrated Action Plan:

Figure 12. Integrated Action Plan for HighARCS Son La

8. Management proposals Concerning proposed actions to address management issues at the site they need to be feasible, achievable with the resources available and acceptable to and supported by stakeholders. Furthermore, actions and monitoring should both be sustainable beyond the HighARCS project. Following an initial formulation of action plans in early 2011 the Integrated Action Plan (IAP) was refined based on HighARCS project outputs related to conservation, livelihood and policy and presented at the project management group meeting in China (Table 7). Specified objectives for the IAP were: enhance biodiversity of aquatic resources; improve livelihoods and living conditions; stronger management and institutions. Furthermore, the effectiveness of IAP implementation should be considered with regards the prioritization and focus of HighARCS, scale of pilots and possible funding, agreed timing and responsibilities, including who do what and by when, how will this be carried out and how will it be monitored and evaluated.

41 Table 7. Integrated Action Plan for Phu Yen study site, Son La Province Objective Activities Indicators (monitoring) Main responsible agency Monitoring and Evaluation

Awareness Training in fisheries law and 2 trainings for 2 communes RIA1 and Tuong Ha and A set questionnaire will raising environment protection in general for Tuong Tien communes carried out at the beginning staff and local people and after 6 or 12 months; assessment how much Communication tools: campaign in 1 contest for school children RIA1 and Tuong Ha and awareness improved by age, gender and different biodiversity conservation; HighARCS (poster/oral/presentation/written) Tuong Tien communes calendar; poster presentation at public 1 poster at commune station stakeholder groups places Conferences, festival, field trip Participatory assessment Poster presentation in public places 2 posters at commune office for 2 RIA1 and Tuong Ha and communes Tuong Tien communes

Publication Articles/news of HighARCS will be RIA1, FIN posted on Quang Tri website, TV, radio program by local language Local Decentralization in aquatic management Setup management group Commune People Group of management management and environmental protection Quantities of fish collected Committee & village people for better Performance of its assessed after 6 or 12 months conservation Set‐up village convention in aquatic 3 conventions for 3 communities RIA1, villages, commune, 3 conventions for 3 of aquatic conservation and environmental district people committee communes resources protection Participatory assessment of its affect Improve Training in cage culture Training course RIA1, Phu Yen district’s Numbers of training and livelihoods People Committee; participants and living communes conditions Building aquaculture model Set up model RIA1, Phu Yen district’s Success of model People Committee; communes Training livestock and agriculture in Training course Phu Yen district’s People Numbers of training and slope land of mountain Committee; communes participants

Planting forest Training; support seed Phu Yen district’s People Numbers of training and

42 Committee; communes participants

Development Clear punishment and regulation for Detailed regulations Province; district; commune Detail regulation of policy and illegal fishing legal Develop master plan in breeding ground Survey and estimate on reservoir and RIA1 and provinces and Finding breed ground and framework and fishing areas up stream district levels fishing area

Hydropower needs to notify local Give note before opening the dam to Province; hydropower Stableness of water level in communities of the changing of water local people factories reservoir; local people can level culture fish in cage and agriculture cultivation

Selected detail and suitable regulation in Detailed regulations Provinces and district levels Detail regular fishing law Make detail plan and note responsibility Detailed regulations Provinces and district levels Detail regular for management in each department Enforcement Better management and stricter Punishment; Village Number of species conserve punishment in illegal fishing tools More staff monitoring commune Illegal fishing tool reduced district Better management of forests More staff; punishment Village Areas of forest increase; commune prevention of cutting and district burning forest

Set up specific staff for fish conservation More staff monitoring Village Knowledge of staff about commune aquatic conservation; district Practices of conservation improve

43 9. Annexes Annex 1. Fish species harvested in Tuong Ha and Tuong Tien communes, identified through focus group discussions. The IUCN Red List categories are EX – Extinct; EW Extinct in the Wild; CR – Critically Endangered; EN – Endangered; VU – Vulnerable; NT – Near Threatened; LC – Least Concern; DD – Data Deficient. The categories CR, EN and VU are classed as the ‘threatened’ categories. ‘*’ indicates a draft Red List assessment, that still needs to be peer reviewed. Vietnamese Binomial Viet Nam IUCN Red Collected Collected Fishing Fishing name National List before now? season ground Red List 1990? Cá Thiểu Chanodichthys LC No Many Jul‐Aug Tuong Ha erythropterus commune Tép dầu Pseudohemiculter VU No Many Jul‐Aug Tuong Ha dispar commune Lươn đồng Monopterus albus LC Rare Rare Rice fields Cá Trê Clarias fuscus LC* Rare No Cá quả Channa striata LC Rare Rarer Cá chày mắt Squaliobarbus LC No Many đỏ curriculus Trôi trắng Cirrhinus mrigala LC Rare More Tuong Ha than commune before Trắm đen Mylopharyngodon DD Rare Rare piceus Cá Chiên Bagarius yarrelli VU NT Rare No Aug‐Sep Tac stream Chạch bùn Misgurnus LC Rare Rare anguillicaudatus Cá chép Cyprinus carpio Introduced Common Any time Along the Rô phi Oreochromis Introduced species of year river niloticus wheneve Mè trắng Hypophthalmichth DD r water is ys harmandi high Trắm cỏ Ctenopharyngodo DD n idella Cá Trôi Labeo rohita LC Cá ngão Culter flavipinnis DD (as Chanodich thys) Cá Bò Pelteobagrus LC (as fulvidraco Tachysuru s) Cá măng Elopichthys VU DD bambusa

Annex 3

Project No: 213015

Project Acronym: HighARCS

Project Title: Highland Aquatic Resources Conservation and Sustainable Development

Title: HighARCS Integrated Action Planning for the Dakrong District study site, Quang Tri Province, Vietnam

Authors: Nguyen Thi Dieu Phuong, Nguyen Thi Hanh Tien, Do Van Thinh, Fraser Sugden, Kevin Smith, Soren Lund and Stuart W Bunting

Date: May 2012

Revision: Version 2.0

Dissemination Level: Public

1 Contents

Section Heading Page 1 Introduction 3 HighARCS study site selection 4 Overall aims of the project at the site 8 2 Assessment Methodology 9 Integrated assessment approach 9 3 Overview of biodiversity and ecosystem service values (WP3) 10 4 Overview of livelihoods (WP4) 12 5 Overview of institutions, policy and conflict (WP5) 16 6 Threats and conflicting interests between development and aquatic 18 resources conservation in Quang Tri provinces Stakeholders related to highland aquatic conservation 18 Conflicting interests between users and uses of aquatic resources 18 Implementation of policies in Quang Tri 20 Implementing regulations at district level 22 Implementing regulations at commune level 22 7 Synthesis chapter 22 8 Action planning process and methodology 23 9 Management proposals 26 Initial proposals 26 Revised proposals 42 Final proposals 43 References 51 Annex 53

Address correspondence to: [email protected]

2 1. Introduction The Highland Aquatic Resources Conservation and Sustainable Development (HighARCS) project aims to analyse the status of highland aquatic resources at five sites including Guangdong, China, Uttarakhand and West Bengal, India, Northern and Central Vietnam. The project examines ecosystem services, livelihoods of poor people and biodiversity conservation issues of highland aquatic resources in order to produce action plans. An integrated action plan on livelihood, conservation and policy issues will be produced and implemented among various stakeholders in order to enhance livelihoods, conserve aquatic biodiversity and encourage sustainable development.

Two study sites in Vietnam were selected based on the following criteria: study sites must occupy areas demonstrating typical characteristics of highland environments that are not situated on the alluvial plains and they should be representative of Northern (Son La Province) and Central (Quang Tri Province) Viet Nam. These areas are situated within the upper reaches of a watershed and provide a home for many poor people. The three communities in the Quang Tri study site are situated along the watershed and are dependent for their livelihoods on aquatic resources, ecosystem services and biodiversity in the watershed. The willingness of communities and authorities to participate in the project was also taken in to consideration when selecting study sites. This report is for the Quang Tri study site which is considered representative for Central Viet Nam.

Situation analysis and management issue identification

Vietnam is a country with a diverse topography, including tropical lowlands, hills and densely forested highlands (Wikipedia Contributors, 2010). Two‐thirds of the total natural area is covered by hills and mountains, with a general downward slope from west to east (Viet Nam Environment Protection Agency, 2005). The country is divided into eight regions including the Northwest, Northeast, Red River Delta, North Central Coast, South Central Coast, Central Highlands, Southeastern and Mekong River Delta (Wikipedia Contributors, 2010). The four highland regions are Northeast region, Northwest region, North Central and Central Highlands which are indicated in Figure 1 below.

Figure 1: Vietnamese regions (Wikipedia Contributors, 2010)

Viet Nam has a tropical monsoon climate and the annual average temperature is above 20oC, average annual humidity is more than 80%, and rainfall averages 1500 mm per year (Vietnam Environment Protection Agency, 2005). The differences in climate between regions, especially in temperature and humidity range widely and strongly influence the biodiversity of each region.

HighARCS study site selection Based on the desk study concerning values, livelihoods, conservation issues and wise‐use options of highland aquatic resources in Central Viet Nam, Quang Tri Province, representative of Central Viet Nam was selected for further study within the framework of the HighARCS project.

Quang Tri Province has a total area of 4746 km2 (Institute of Science and Technology and People's Committee of Quang Tri, 2007), is 600 km from Hanoi and is located between 16o18’ to 17o10’ north and 106o32’ to 107o24’ east in the Central region of Vietnam and there is one city, one town and eight districts in Quang Tri (Quang Tri Statistical yearbook 2010a). Lying to the north is Quang Binh Province, and to the south is Hue Province, Lao P.D.R. shares a 186.8 km long border to the west. The geography of Quang Tri is varied including mid‐range mountains, hills and coastal areas (Informatics Centre of Quang Tri, 2012). Three ethnic groups predominate including the Vietnamese (Kinh), Bru‐Van Kieu and Pa Co‐ Ta Oi. The main income sources for many local people in Quang Tri are agriculture and forest exploitation which combines both collecting and cutting things from formal forestry and natural forests. In addition local people exploit fish and aquatic plants and

4 animals from the river and reservoirs formed behind dams to supply food for family consumption. Fisheries production from rivers, streams and brackish water is about 668 metric tonnes of fish and 87.3 tonnes of shrimp annually (Department of Environment and Natural Resources of Quang Tri, 2006).

Dakrong District was established in 1996 (Government of Vietnam, Decree 83‐CP, 1996). Dakrong has a total areas of 1,223.3 km2, and contains 1 town and 13 communes (Quang Tri Statistical Yearbook, 2010a). This is the poorest district in Quang Tri and is on the list of the 61 poorest districts in Vietnam (Government of Vietnam, Resolution number 30a/2008/NQ‐CP, 2008). Of households in Dakrong District 48% were classified in 2008 by the Government of Vietnam as poor owing to the mountainous terrain, hazard prone nature of the environment and remoteness, whilst 80% of these poor households were home to people classed as coming from ethnic groups. Dakrong Commune in under the jurisdiction of Dakrong District, Quang Tri Province and is located in the highlands and it is difficult to physically access the commune and it is hard to make a living. Many people residing in Dakrong live in close proximity to the Dakrong River. The Dakrong River originates from the Truong Son mountain range near the border of Vietnam with Laos. Upstream of Dakrong the river is known as the Thach Han River and thus whilst the Dakrong River catchment is shown in Figure 2. The commune is located in a valley between the high mountains of the Truong Son range, with the height of mountains ranging from 500 m to more than 2000 m above sea level. People in this commune use river water for domestic uses, fishing and for agriculture purposes.

Three villages of Cu Pua, Chan Do and Kalu within the Dakrong commune that rely upon the Quang Tri River and its tributary the Dakrong River were selected in the project site (Figure 3). This commune was officially recognized as a highland one by Decision No 21/UB‐QD date 26 January 1993 (Committee for Ethnic Minorities, 1993). For more information on the background of the Dakrong, Quang Tri study site, including the social and natural setting of the commune please see the Work Package 1 report “Situation analysis report on highland aquatic resource and sustainable development in Northern and Central Vietnam” (Nguyen et al. 2010).

Box. Outputs from HighARCS WP3 report

The three selected villages (Kalu, Chan Do and Cupua) within the Dakrong Commune, are situated along a 20km stretch of the Quang Tri River halfway up the watershed just below the confluence of the Dakrong River with the Rao Quan River in the foot hills of the Truong Son mountain range (Figure 3). The Rao Quan River flows from Huong Hoa District whilst the Dakrong River originates in the Truong Son mountain range in the south of the Dakrong District. The majority of the land cover upstream to the south is forest partially protected by the Dakrong Nature Reserve, with patches of agriculture, but upstream to the north is predominantly agriculture and shrub with some

5 settlements. Large areas of developed land (urban and managed wetlands) are found downstream, and particularly along the coastal areas.

The Dakrong River is characterised by a high gradient and high speed flow that floods seasonally. At the site villages, river habitats are varied and the water level is strongly influenced by the weather conditions. In some sections, particularly around Cu Pua there are sections of fast flowing water that is channelled between large rocks, has a sloping gradient and a gravel and rock riverbed (Figure 5). In other sections, the channel is slow flowing with a wide channel and sandy deep pools. On the river banks, vegetation changes from plantation woodland and natural forest on the mountains upstream, to maize cultivations closer to the villages on the sandy banks down to the river itself. Here the river forms a number of braided channels; the south side has a series of rapids with fast flowing water, while the north bank is mostly shallow and slow with many stagnant pools. However, the river floods during the wet season or when the hydropower station in Rao Quan (Huong Hoa District) discharges water and the water becomes brown and sediment laden after flooding.

Figure 2. Location of the Quang Tri and Dakrong river catchments in central Vietnam (source , IUCN)

Figure 3. Map showing the HighARCS communities within the Dakrong river catchment (source IUCN)

Figure 4. Habitat map of study areas (source IUCN)

Figure 5. Physical characteristics of Dakrong River

Involvement of stakeholders in the HighARCS project is a critically important issue. The stakeholders were identified as anyone who is directly or indirectly involved with aquatic resources either collecting, managing, marketing or using them and they may have been involved in household interviews, focus groups and stakeholder meetings. When participating in the stakeholder Delphi, the stakeholders were divided into groups at: (1) province and district level (people living outside study site, policy making & management); (2) commune level (people living in the study site, involved in fishing or making plans for the commune and management) and (3) village level (fishers and people living in HighARCS villages). Stakeholders have had a significant impact on the formulation of recommendations and will be central to implementing action plans and could be significantly impacted by the proposed actions.

Overall aims of the project at the site Overall objectives for the HighARCS project include using interdisciplinary approaches to develop knowledge on the importance of aquatic resources in highland areas and formulate integrated conservation, livelihoods and policy action plans. With local communities of Dakrong District in Quang Tri Province (Central Vietnam), the importance of aquatic resources in the livelihoods of people in Cu Pua, Ka Lu and Chan Do villages, threats to biodiversity of fish species in Dakrong River as well as stakeholder ideas have been explored and understood. Action planning was proposed for wise‐use, assumed here to be sustainable utilisation for the benefit of local people in a way that maintains the natural properties of the ecosystem for current and future generations (adopted from the definition of wise‐use of wetlands, from the 3rd Ramsar Conference of the Contracting Parties

8 (COP3, 1987) (Ramsar Convention Secretariat, 2010). Better Management Practices aimed at conserving biodiversity and sustaining ecosystem services will be communicated to potential users to promote uptake and enhanced policy formulation.

2. Assessment Methodology

Integrated assessment approach The Integrated assessment process was developed at the Project Management Group (PMG) meeting in Hanoi (June 2010) in order to develop the most appropriate framework for planning in the HighARCS project. Following the PMG meeting, integrated research activities for the HighARCS project were designed for data collection for WP3, WP4 and WP5. The integrated approach of HighARCS means action plans will no longer take three different formats of Conservation Action Plans, Livelihoods Action Plans as well as Policy Action Plans. Instead, for each study site, one integrated action plan (Springate‐Baginsky et al. 2008, IUCN 2008) has been formulated addressing aquatic biodiversity conservation, livelihoods and policy issues.

Integrated Non-integrated assessment process assessment process

Ecology & Livelihoods &

Ecology & Livelihoods & Policies &

Biodiversity Resource Use Institutions Policies &

Biodiversity Livelihoods Policy

analysis analysis analysis Integrated analysis

Integrated management plan Integrated management plan

Action Plans informed by all issues

Figure 6. An integrated assessment and action planning approach of HighARCS (adapted from the IUCN Wetland Assessment Toolkit, 2009)

9 3. Overview of biodiversity and ecosystem service values (WP3) Results of the WP3 studies undertaken during the first two phases of HighARCS show the fish diversity at the site in Dakrong River in Quang Tri consisted of 38 fish species belonging to 26 Genera, 9 Families and 5 Orders. The Family Cyprinidae accounted for the most species (50% of the total), followed by Gobiidae with 6 species (16%) and Balitoridae with 4 species (10%). There is a possibility that 5 new and endemic species have been found and consequently the number of species recoded in the WP3 survey may be an underestimate of the true fish diversity at the site. In the list of species collected, there were no globally threatened species, one species was globally Near Threatened and six species were listed as Data Deficient, whilst three species on the list of endangered aquatic species in Vietnam were identified. There are 7 species identified as ‘high value’ out of 15 economically valuable species, with, unfortunately eight species known to be declining at the site (Table 2). It is important that more survey work at the site is undertaken in order to confirm whether or not the specimens collected are indeed species new to science; especially as they may be endemic to a very small area and be of global conservation concern.

Table 2: Fish species identified from the Dakrong River through field surveys. IUCN Red List categories are EX (Extinct); EW (Extinct in the Wild); CR (Critically Endangered); EN (Endangered); VU (Vulnerable); NT (Near Threatened); LC (Least Concern); DD (Data Deficient). The categories CR, EN and VU are classed as the ‘threatened’ categories. ‘*’ indicates a draft Red List assessment, that requires peer review.

Family Binomial Common name National IUCN Red List Economic Population Red List status importance trends at status the site Anguillidae Anguilla Cá Chình hoa VU LC High value Rapidly marmorata economic declining species Cyprinidae Opsariichthys Cá Cháo LC* bidens Cyprinidae Nicholsicypris Cá Dầm đất suối LC* (as normalis Yaoshanicus) Cyprinidae Hemiculter Cá Mương LC leucisculus Cyprinidae Microphysogobio Cá Đục đanh chấm LC kachekensis Cyprinidae Microphysogobio Cá Đục đanh chấm DD yunnanensis mõm ngắn Cyprinidae Squalidus Cá Đục trắng DD argentatus Cyprinidae Acrossocheilus sp1 Cá Chát đuôi ‐ High value chấm economic species Cyprinidae Acrossocheilus sp2 Cá Chát xám ‐ Economic species Cyprinidae Acrossocheilus sp3 Cá Chát vây đen ‐ Economic species Cyprinidae Spinibarbus Cá Chày đất VU DD* High value Rapidly hollandi economic declining species Cyprinidae Spinibarbus sp Cá Bỗng vây đen ‐ Economic species Cyprinidae Onychostoma Cá Sỉnh gai VU DD* High value Rapidly laticeps economic declining

10 Family Binomial Common name National IUCN Red List Economic Population Red List status importance trends at status the site species Cyprinidae Onychostoma Cá Sỉnh NT Economic Declining gerlachi species Cyprinidae Onychostoma Cá Sỉnh thân cao NA Economic Declining babeensis Hảo & species Hiệp, 2001 Cyprinidae Neolissochilus Cá Dầm LC High value Declining stracheyi economic species Cyprinidae Garra orientalis Cá Bậu LC Cyprinidae Carassius auratus Cá Diếc LC Cyprinidae Carassioides Cá Nhưng LC (as C. Economic Declining cantonensis acuminatus) species Cyprinidae Cyprinus carpio Cá Chép Introduced High value Declining economic species Cobitidae Cobitis laoensis Cá Chạch hoa Lào LC Cobitidae Misgurnus Cá Chạch bùn LC anguillicaudatus Balitoridae Schistura Cá Chạch suối sọc DD fasciolata Balitoridae Sewellia sp1 Cá Đép thấp ‐ Balitoridae Sewellia sp2 Cá Đép cao ‐ Balitoridae Annamia sp Cá vây bằng miền ‐ trung Bagridae Hemibagrus Cá Lăng miền DD* Economic Declining centralus trung species Siluridae Pterocryptis Cá thèo LC cochinchinensis

Mastacemb Mastacembelus Cá Chạch sông 1 LC High value elidae armatus economic species Mastacemb Mastacembelus sp Cá Chạch sông 2 ‐ elidae Gobiidae Rhinogobius Cá Bống khe LC* (as giurinus Papuligobius ocellatus) Gobiidae Rhinogobius Cá Bống chấm LC ocellatus Gobiidae Rhinogobius sp1 Cá Bống trắng ‐

Gobiidae Rhinogobius sp2 Cá Bống ngắn ‐ Gobiidae Cryptrocentrus sp Cá Bống sọc ‐ ngang Gobiidae Glossogobius Cá Bống cát LC giuris Channidae Channa sp1 Cá Tràu suối ‐ Declining quảng trị Channidae Channa sp2 Cá Sộp quảng trị ‐ High value Declining economic species

11 The results from WP3, field observations by RIA1 staff, formal and informal discussions with the various stakeholder groups show that wetland biodiversity and ecosystems provide many benefits for humans living in Dakrong commune in both direct and indirect ways. All stakeholders appreciate the ecosystem services provided by the Dakrong River. However, different groups of stakeholders (Provincial and District level governance; Commune level governance; Villagers) evaluated the ecosystem services as having different levels of importance. The villagers scored the fishes/shrimps for commercial use higher than the other groups while the Provincial and District level governance group prioritised flood control and tourism and aesthetic value higher than the other groups. Potential indicators to monitor the state of ecosystem service and to monitor the impacts of any actions proposed in the IAP include water quality monitoring, water level monitoring, water harvesting monitoring, quantity and quality of fish harvesting, income generated from gold extraction and tourist numbers. These indicators will be developed with local communities and some will be put in place through the IAP.

Through focus group discussions and field visits the key threats to aquatic resources and biodiversity of the Dakrong River at the HighARCS site have been identified. The key threats at the site include the hydropower stations upstream that hold back water during the dry season and discharge water with a high sediment load creating flood surges which affect river transportation and reduce water quality. There are also a number of new dams under construction which will block the river and destroy species habitats and thus impact to aquatic resources and biodiversity in the river. Water pollution from gold mining, agricultural chemicals and domestic waste are also reducing water quality.

4. Overview of livelihoods (WP4) Livelihoods in each of the three communities are highly diverse. On the whole livelihood strategies are dependent upon agriculture and are subsistence oriented, whereby food is produced for household consumption. However, there is an increasing level of involvement in the cash economy in all villages with more households producing food to sell, as well as making and selling handicrafts. Highland aquatic resources play a supplementary role in the livelihoods of most inhabitants in the valley, as it provides a source of nutrition through (fish and molluscs) as well as drinking water.

There were no apparently significant differences of wealth within the villages, and most households experienced some level of livelihood insecurity. The terms ‘better off’, ‘medium’ and ‘worse off’ were used to define wealth differences, as the livelihoods of most respondents were insecure and none of the households could realistically be classified as ‘rich’. Households classified as ‘better off’ generally had access to more land for agricultural which offered them a more secure supply of food,

12 allowing them to divert resources and assets into other activities such as livestock rearing or micro‐ enterprises. Such households were also able to invest more in education and the maintenance, upgrading or expansion of their homes. Another source of wealth for these households included income from skilled or semi‐skilled employment, which in turn contributed to their higher investment in education.

Medium households on the other hand, were still able to gain a basic level of food security from their land, although holdings were smaller and less livestock was owned when compared to their richer counterparts. Some medium households had invested in education, occasionally facilitated by access to scholarships, and levels of skilled employment are lower than their better‐off counterparts. As a result of their lower income, levels of day to day expenditure are lower than for ‘better off’ households.

Many households classified as ‘worse off’ have insufficient land or livestock to meet the household’s subsistence needs. As a result they are more dependent upon labour or natural resources to survive. However, there are also more complex factors that affect their situation. For example, some households suffer from a lack of labour. These include households where adult members are unable physically to work due to illness, or households headed by either young newly married couples with no children, or older people whose sons or daughters have migrated and are unable to support them financially. The lower income or food security as a result of a lack of labour or land inevitably reduces the capacity of such households to invest in education, whilst some are unable to speak Vietnamese and this constrains such households from increasing their wealth through access to skilled employment.

Natural resources

There are 16.5 ha of water area in Dakrong Commune and most of the area is accounted for by the Dakrong River. All water resources are common property and can be used by all wealth groups according to their needs. The Dakrong River has mineral resources such as gold and sand which offer an income generating opportunity for people. Therefore access to it is important to local people in villages who are living nearby Dakrong River. Almost all the water sources supporting the villages come from the Dakrong River through a piped water system, however, in Kalu and Chando there is not enough supply for the whole year. In Cu Pua village, local people have to collect water from the river for drinking and washing.

13 The ecosystem of the Dakrong River is increasingly under threat. According to interviews with households and focus groups, many factors represent threats to the ecosystem including: rising population, economic development on the Khe Sanh plateau upstream, hydro‐power dam construction, whilst turbidity from the construction site had undermined the quality of water. Resulting fluctuations in water levels make fishing dangerous while some fish species have been eradicated (e.g. some eel species). Furthermore, it was suggested that the waste released from the coffee factories upstream entered the river and caused skin problems for local people after swimming in the river, and now people have to walk further than before to collect drinking water from more distant streams.

The total land area for cultivated agriculture was 679.6 ha in Dakrong Commune, of which the area of wet rice was 172.3 ha, up‐land rice was 280 ha, corn 197 ha, cassava 35 ha, vegetable 4 ha and sweet potato and others 50.5 ha1. However, due to the steep slope of the land, in the three villages in the study site in Dakrong there is a lack of land for rice cultivation, especially wet rice land. Only Chan Ro has 0.3 ha area of wet rice land. Most cultivation is of dry rice, corn and cassava. But, the quality was bad, local people’s cultivation techniques are limited and dependent upon climate, leading to low rice productivity at only 1.2 ton per ha. ‘Better off’ and medium households own comparatively more land than worse‐off but do not appear to have a significantly higher agricultural income. ‘Better off’ households may also be able to increase productivity through their greater labour capacity and enhanced investment in inputs, allowing them to generate a greater saleable surplus. Agricultural yields have been falling, however, for all households and soil erosion has been increasing. This may partially be due to the decline in shifting cultivation, which means land is left fallow for shorter periods.

After the war forests were damaged significantly, the Government of Vietnam had a number of programmes to replant forest in conjunction with local people. All the areas of forest have now been re‐planted and forests play an important role in Dakrong people’s livelihoods. Burning and cutting forest to plant rice field is now no longer allowed, whilst ownership of forest land is comparatively higher for ‘worse off’ and ‘medium’ households.

The aquatic resources of Dakrong Rivers are a particularly valuable element of rural livelihoods. The river is a direct source of drinking and washing water. In the villages there is no electricity; therefore micro‐generators provide temporary lighting to some better‐off households.

1 data source the social and economic report (Dakrong Commune, 2009)

14 Agricultural yields are not sufficient to give households food security for the entire year due to poor soil fertility, therefore fishing is a very important source of food, especially in Ka Lu and Chan Do which have the steepest and poorest quality agricultural land. Fishing is small‐scale for fish, snails and crabs which are caught using baskets, hand nets or even traditional cross‐bows, although catches are generally just 0.5‐2 kg per day this is still a valuable source of protein for households.

Worse‐off households are more dependent upon fishing and invest more time and resources in fishing. They have more limited access to good agricultural land and are dependent upon common property resources such as the river.

In terms of gender relations, focus groups showed that the contribution of labour by men, women, boys and girls varied with respect to gender and age. There is an observable gender division of labour: men and women had unique sets of skills and ecological knowledge. Although some tasks were carried out by both men and women, there were some tasks which were more often carried out by men and others were more often carried out by women. Women more often go fishing using basket nets or using bamboo traps to catch shrimp. (Cu Pua observation and informal discussion, 12/5) or fishing with a crossbow or hand net.

About age relations, it was evident that there were distinct divisions of labour between children and adults as well as between men and women. Young people played a particularly important role in helping their parents with agricultural activities, collecting firewood and forest produce and fetching water. While these activities were normally carried out with their parents, other activities would be carried out independently. These included looking after their siblings, cleaning the house or tending livestock.

Young people play an important role in fishing activities, generally using baskets or lines to catch fish, while only a few households use hand nets, which are mostly used by men. Girls often catch shrimp in a large group. Children at about 10‐12 years old usually fish alongside their parents, alone, or with their friends, using hand nets or baskets. Children collecting fishing and shrimp can combine this with swimming in the river, and consequently they can enjoy themselves while working. Children do not enjoy cutting wood or cutting grass for livestock as the wood is heavy and they have to walk a long way through the jungle with no water and they were scared of snakes and ghosts that live in the forest (Cu Pua FG with boys/girls, 14/5, ages 14‐16)

Problems identified by stakeholders There were many problems and difficulties in the study site in Dakrong Commune. First of all, natural resources and soil quality have declined and there is a lack of clean water for those living in villages

15 as local people still depended on water in the Dakrong River. Secondly, electricity is a big problem raised by some households (General notes from Interviews, 12/5‐19/5). There is no electricity in the villages and it is one reason why local people’s knowledge was limited; many people did not know how to read and write. Therefore local people lack techniques for planting and animal husbandry. Thirdly, there is no bridge to cross the river (in Cu Pua and Chan Do villages) and a lack of constructed roads to villages (Cu Pua and Chan Do villages), making it especially difficulty in the flood season when people cannot cross the river to reach the hospital when ill. Fourthly, there are many children in the villages and local people lack knowledge of birth control. No addition occupations were reported (General focus group notes, 11/5‐29/5). Only some better‐off households produced mini electricity hydropower.

5. Overview of institutions, policy and conflict (WP5) WP5 focused on building an understanding of the policies and institutional framework regulating and managing aquatic resources in the Dakrong District study site and market pressures and conflicts between users and uses. Based on this it was proposed to develop recommendations to serve as an input for the action planning stage later in the HighARCS project.

The main factors concerning institutions, policy and conflicts in highland aquatic resources conservation in the Dakrong River in Central of Vietnam relate to:

Vietnam as a one party‐state consisting of three parts: the Communist Party of Vietnam, the Government, and the National Assembly, and the associated political and administrative system which has a complex top‐down party‐state structure with four levels of state apparatus (central, provincial, district, and commune level). The Government supervises the activities of the Provincial People’s Committees (PPC), however devolution of decision‐making power to the PPCs has increased over the past two decades. The Provincial People’s Committee has a high level of influence on decisions about development and environmental policies and how resource management rules are made and implemented.

The national framework of legislation regulating biodiversity conservation, environmental protection, and conservation and use of aquatic resources is comprehensive. There are a range of limitations relating to overlaps between different legislation and policies and between institutions protecting and institutions managing aquatic resources.

There is also a lack of detailed guidelines for implementation of laws and policies at sub‐national levels, which combined with a weak capacity, contribute to weak implementation in practice. A range of stakeholders are involved in biodiversity and conservation and the use of aquatic resources

16 and there are presently many development pressures on and threats to biodiversity and aquatic resources.

A brief description concerning the legal framework and institutional organisation that governs access, exploitation and conservation of aquatic resources is presented below. Figure 7 provides an overview of the key institutions related to biodiversity and aquatic resources conservation and management at all four administrative levels.

The Government

MONRE MARD

Provincial People’s Committee

DONRE DARD

District People’s Committee

Office of NRE Office of ARD

Commune People’s Committee, technical officers

Figure 7: Key government institutions at all level involved in aquatic resources conservation and management

The Government of Vietnam performs unified state management of biodiversity and mandates MONRE as the lead state agency for management of biodiversity (Article 6 of The Biodiversity Law

17 (2008)). Other ministries, ministerial‐level agencies and People’s Committees and departments also execute specific functions assigned by this law and by the government. MONRE and MARD are two key ministries related to biodiversity and aquatic resources conservation. These ministries are accountable to the government for delivery on the functions assigned to these ministries through laws and policies.

6. Threats and conflicting interests between development and aquatic resources conservation in Quang Tri Province

Stakeholders related to highland aquatic resources conservation Stakeholders involved in biodiversity and conservation of highland aquatic resources include:

• Fishers: people whose livelihoods are heavily dependent on fisheries resources, with part or their total income related to fishing.

• Traders: wholesalers, middleman or small traders in fish and aquatic products.

• Consumers: people who use aquatic product as daily food or restaurants who cook aquatic products.

• Managers, staff from central to local agencies who are involved in agriculture, fisheries and environment management. • Researchers: academics and environmentalists who participate in the study of fisheries resources or have knowledge of aquatic resources in mountainous areas.

• Non‐governmental organizations: groups active in the fields of aquatic resource conservation, environmental management and hydroelectric power generation management.

Conflicting interests between users and uses of aquatic resources There are many development pressures on, and threats to aquatic resources in Quang Tri Province, including hydropower development, gold and mineral mining, agricultural cultivation, industrial activities and deforestation.

Conflicting interests in hydropower generation and aquatic resources conservation The development strategy of the Vietnam electricity industry in the period of 2006‐2015 is geared to meeting demand in 2025 and gives priority to the development of hydropower and encourages investment in small‐sized hydropower plants. It is estimated that the total capacity of hydropower plants will reach 15,000MW by 2020. The Government of Vietnam encourages domestic and foreign enterprises to build small and medium scaled hydropower plants (The Thien Nien Net, 2011).

18 In Dakrong, hydropower stations such as Dakrong 1 in Huc Nghi Commune with a capacity of 12MW and Dakrong 2 with a capacity of 14.4 MW are under construction; Dakrong 3 (8MW) has not yet been constructed. Dakrong 4 (21 MW) in Ta Long Commune and Rao Quan hydropower stations have been completed. The current dams are all located upstream of the HighARCS site along the Dakrong River and Dakrong 2 is located at the HighARCS site. Development of hydropower is creating changes in river streams and flow velocities and regimes, thus leading to sedimentation and erosion. The impact of hydropower on rivers is generally well‐known and should have been assessed when the larger hydropower plants were submitted for Environment Impact Assessment. Further information is presented in the WP3 report concerning which aquatic species may be impacted.

Conflicting interests between mineral exploiting and biodiversity conservation In Dakrong District, development of the mineral exploiting sector is given priority. The district intends to focus investment on the exploitation of sand and grit from the Dakrong River (in Ba Long and Mo O Communes). Investment in infrastructure and services for gold mining is ongoing in A Vao, A Bung and Ta Long Communes, but operators are reportedly using local labour and good management to limit environment impacts and increase revenue for the district. Currently, in Dakrong District, there are several places for gold mining. In Dakrong River at A Vao Commune, hundreds of people came to prospect for gold in 2010. The gold miners set up camps, using explosives and other destructive means to try and locate and extract gold deposits. In addition, local people use self‐made instruments for gold mining that create noise in the Dakrong River

Conflicting interests between agriculture and biodiversity conservation In Dakrong, there is a plan to develop areas for agro‐forest products. The plan encourages planting of orchards and industrial trees (principally rubber and pepper) and provides land for forestry plantation (Quang Tri Planning and Investment Department, 2011).

Conflicting interests between fisheries and aquatic conservation Capture fisheries have led to negative impacts on natural resources conservation in Dakrong Districts. The master plan of Dakrong District encourages local people to adopt integrated farming systems (pond‐garden‐livestock) at a household scale. There is no fishery policy in the master plan, even though fish is an important food source for local people and recently aquatic resources have been highly exploited and indiscriminate fishing methods employed. Anecdotal evidence suggests poison and electrical equipment are still being used illegally. Limited awareness of conservation needs and difficulties experienced with local livelihoods has contributed greatly in combination with other threats to the degradation on fish populations. Therefore awareness raising is included in the IAP.

19 Local authorities believe that raising awareness of fishing laws and aquatic resources is important for biodiversity conservation. If fishing is strictly banned people will lose their source of income and livelihood so there is no easy solution for this issue (Interview, 9/2010). Thus, it is important to educate people about the role of biodiversity in the livelihoods of local people in the long‐term and create alternative jobs for local people. Moreover, improving access to and productivity of aquaculture within safe ecological limits e.g. developing or using native local species and methods to restrict escapes could provide alternative livelihoods options.

Conflicting interests in factory development and environmental protection In the Dakrong Master Plan, some animal feed factories, food processing, handicraft, textile and wood processing facilities will be built in the district in the period 2009‐2020 (Quang Tri Planning and Investment Department, 2011). In terms of environment management, the waste from these factories may create a negative impact on the environment as well as water quality and biodiversity.

Implementation of policies in Quang Tri

Biodiversity conservation & Environmental protection Quang Tri Province has paid attention to the conservation of biodiversity and issued a number of policies and implementation plans (see report HighARCS D5.1 for further information); notably the "Action Plan on protection of biodiversity, biosecurity to 2010 and orientation to 2020 in Quang Tri Province" (Quang Tri online 2010). From 2007 investment for resources and environment protection increased and the Department of Natural Resources and Environment (DONRE) for the province collaborated with other departments and organized classes, propaganda and dissemination. And thorough NQ 41/TU Resolution, Decision No. 79/2007/QD‐TTg training in biodiversity for employees in all departments, agencies as well as leaders of the political and social organizations at provincial, district, town and city levels. Quang Tri Province also established the Environment Unit under Quang Tri DONRE which operates in nine out of ten districts. Furthermore, Quang Tri Provincial People’s Committee (PPC) established three nature reserves to protect biodiversity; Dakrong, North Huong Hoa nature reserve and Con Co island marine protected area.

Quang Tri PPC issued “Direction No 09/CT‐UB in 1993 on Environment Protection” and “Direction No 14/Ct‐UB in 1996 on Environmental Impact Assessment Reporting”. In 2007, Quang Tri Province produced an action plan for environment protection in Quang Tri Province to 2020, which gives priority to the programmes on rural environmental protection, biodiversity protection and education on environmental management.

20 Aquatic resources conservation In 2006, Quang Tri Province People Committee approved the “Decision No 53/2006/QD‐UB on fishery development planning to 2010”. In 2007, the Department of Exploitation and Protection of Fisheries Resources in Quang Tri Province proposed a program to protect and develop aquatic resources in Quang Tri province in the period 2007‐2010 as follows: education and raising awareness of aquatic conservation within the community; restoration, regeneration and development of fisheries resources; protection and conservation of the biodiversity of aquatic organisms (Quang Tri Department of Agriculture and Rural Development, 2007). However, the Ministry of Agriculture and Rural Development has given less attention to fisheries programmes and many programmes were proposed but not approved. In Quang Tri leaders have recognized the importance of aquatic resources; however, there has not been a uniform approach to carrying out these proposals (Key informant interview 01/2010).

The priority for Quang Tri includes: surveys of aquatic resources in Quang Tri; breeding indigenous fish species to restock aquatic resources; developing models for community management of fisheries resources; developing and implementing action plans for aquatic resources conservation. These could prove critical and it should be ensured that HighARCS project work supports and does not replicate initiatives from the government or NGOs. There may be ongoing work that can be included within the IAP and where HighARCS could provide support or add value.

Limitations in the conservation of biodiversity in Quang Tri

The following outcomes were from the stakeholder Delphi undertaken as part of the HighARCS project in 2010 but most of it dealt with institutional and legal issues and was less concentrated on livelihoods and WP3:

• Implementation of policies in biodiversity conservation is not carried out especially as fishing in the sea, lakes, rivers and streams by electric shocks, explosives, toxic etc. is still evident.

• Rules are not strong enough to prevent illegal activities affecting biodiversity conservation.

• Management systems in districts and communes are not strong enough and there is a lack of qualified staff.

• Management of biodiversity is a part‐time task for staff and collaboration between organizations is inefficient or management functions are duplicated.

• Financial investment for biodiversity conservation is limited which makes implementation of policies difficult and there is neither equipment nor facilities for inspection and biodiversity monitoring.

21 Implementing regulations at district level In Dakrong District there is one employee in the Department of Agriculture and Rural Development responsible for the field of animal husbandry and aquaculture, but there is no specific policy on aquatic biodiversity conservation (Key informant interview; Department of Agriculture and Rural Development of Dakrong, 2010).

The Department of Natural Resources and Environment has mapped rivers and streams of the district, however, the department is mainly responsible for land and soil management and do not undertake specific tasks regarding aquatic resource conservation (Key informant interview; Department of Natural Resources and Environmental, 2010). Recently, illegal gold and mineral mining has occurred in Dakrong which has caused huge negative environmental impacts. The District People’s Committee has carried out many campaigns to solve this but the number of polices is limited and the gold miners are intelligent and have managed to escape whenever they know the police are coming (Key informant interview; Department of Natural Resources and Environmental, 2010).

Implementing regulations at commune level Throughout Dakrong, there is neither policy nor regulation on aquatic conservation at the commune level. Local people claim the fish resources are degraded owing to soils erosion; hydropower stations; sand mining; flushing out of residues from coffee production. Local people said that there are only a few people involved in fishing while studies under HighARCS revealed that fishing on a daily basis is an important source of food for local people.

7. Synthesis chapter The following section summarises the main outputs from WP3, WP4 and WP5 and highlights the main challenges to reconciling aquatic biodiversity conservation and wise‐use.

Main finding from WP3 Main finding from WP4 Main finding from WP5

‐ Five new fish species may ‐Hard climate condition ‐ Low awareness of local have provisionally been characterised by droughts and people and staff of aquatic identified at the study site. floods resources conservation

‐ Recorded fish species an ‐Poor quality soil, lack of ‐ Weak collaboration in under estimate of total fish productive land, high slope management at different fauna. Three species on the offices Endangered species list of ‐Low agriculture yield resulting ‐ Lack of staff for aquatic

22 Vietnam (all of which are of in not enough food conservation high economic value and rapidly declining at the site). ‐ Poor infrastructure ‐ Lack of finance for information transfer One globally NT species. Eight ‐Lack of water for drinking and DD species. Many economically domestic use ‐ Lack of access to information exploited species. ‐Limited electricity in Cu Pua ‐ Weak enforcement of laws ‐ Biodiversity of fish species is and Ka Lu and control measures threatened with populations of eight fish species known to be ‐ Livelihood difficulties declining. ‐Lack of finance for product ‐Destructive and unstable investment fishing practices continue ‐Low education ‐Water pollution from illegal ‐Disease affecting both human gold and sand mining, from and animal health hydropower operation, from soil erosion due to deforestation, chemical from coffee planting in neighbouring district as well as waste from factory and town from neighbouring district

8. Action planning process and methodology

Objectives of IAP The objectives of the integrated planning approach adopted for the HighARCS project is to combine action to enhance biodiversity, strengthen livelihood as well as promote stronger management of institutions. Key steps in the approach developed for the formulation of integrated action plans in collaboration with stakeholders are summarised below:

‐ Engaging dialogue with local communities and local authorities during the activities of the first phases of HighARCS ‐ Awareness raising ‐ Prepared an Integrated Action Plan (IAP) based on HighARCS WP3, WP4 and WP5 outcomes ‐ Stakeholder meeting discussions ‐ Revised Integrated Action Plan ‐ Finalized IAP: Who do what? by when? How to carry out? How to monitor & evaluate?

23 ‐ Implementation ‐ Monitoring & Evaluation

The process included methodological reflections about the role of the HighARCS team as facilitators, trainers, knowledge providers and action‐researchers. Through the steps outlined above, the process proceeded well and good relations were established with the local stakeholders.

Box. Integrated Action Planning methodology (sources: HighARCS Integrated Action Planning Guidelines)

Integrated Action Planning is central to the HighARCS project and was included as a mechanism to engage stakeholders in joint assessment and decision‐making with respect to highland aquatic resources planning and management. Three strands of action planning were foreseen focusing on conservation, livelihoods and policy, however, it was decided to adopt an Integrated Action Planning approach that would: a.) address perceived conservation, livelihoods and policy needs and deficiencies; b.) evaluate proposed actions with regards potential negative impacts on conservation and livelihoods or conflicts with policy and existing management arrangements; c.) identify appropriate indicators relevant to conservation, livelihoods and policy for monitoring and assessing impacts of Integrated Action Plans (IAPs).

A series of steps for moving from research findings and provisional conservation, livelihoods and policy action plans in some instances, to implementation of IAPs by communities, stakeholders and possibly facilitation by HighARCS team members at each of the study sites was agreed.

Ecosystem services Highland aquatic & biodiversity values resources & livelihoods

Stakeholders, institutions & markets

Figure 8. Finalised Integrated Action Plan for the Quang Tri study site

Figure 8 presents a summary of the finalised Integrated Action Plan for the Quang Tri study site which was formulated initially by the HighARCS team and revised after stakeholders meetings. The evidence for each of the problems mentioned was presented in detail in reports of WP3, WP4 and WP5. The diagram has highlighted short, medium and long‐term actions being proposed and indicated that the HighARCS team can lead on some of the actions but that this will depend on close cooperation with local communities. The IAP was presented in China PMG meeting in August 2011.

Outputs of WP3, WP4 and WP5 highlighted problems at the study site in Dakrong. Based on the goal and objective of the HighARCS project and problems and status of communities at the site actions were proposed, although many of these relate to more than one of our objectives and goals. For example if the management issue identified relates to “declining aquatic resources and biodiversity at the site leading to decreased food security and quality of life”. The objective would be “to improve awareness of biodiversity conservation and its role in the provision of livelihoods for both government officials (at village level) and public (stakeholders)”. This would require various actions to address the different knowledge demands of the respective stakeholder groups.

25 9. Management proposals It is proposed actions that will solve the Management Issue(s) of the site. The proposed actions need to be achievable with the resources, stakeholders and be realistic. The actions and the monitoring both required to be sustainable post HighARCS project.

Initial proposals

Proposal 1: Introduce stricter regulations for coffee factories and hydro companies to reduce pollution levels

Objective: Improve water quality by identifying sources and levels of pollution, improving awareness among different stakeholder groups of their impact on water quality and improving the enforcement of existing pollution regulations. Co Pua Chen Ro Ka Lu Men Med priority Low priority (ranked 8th) Low priority (ranked 10th) Women Med priority Med priority (ranked 7th) Low priority (ranked 10th) Girls High priority Med priority (ranked 5th) High priority (ranked 2nd) Boys High priority N/A High priority (ranked 2nd)

Reasons for prioritization • Respondents complained that pollution from dirty water affects the health of all the people in the village. For example, when the dam was being built, many fish died. Now they believe the coffee factories are causing pollution and that this had led to a decline in fish stocks. It causes skin complaints also when they swim in the river. • From discussions with local people, the district has already been informed. The village leader of Co Pua for example, sent a letter to the district about water pollution from coffee factories. This was raised in the HighARCS SOS meeting. • There did seem to be some uncertainty as to the source of pollution. The Co Pua leader said that after their complaints and action by the district, the factories had stopped putting organic waste in the water, and it is now used to make fertiliser. Some villagers therefore felt that organic waste was no longer a problem. However, they said that now although they cannot see the waste, it is still there as they can smell the coffee, some even said it had got worse since the consultations with the district. They also said that run‐off from pesticides used for rice cultivation by Kinh people up on the Khe Sanh Platteau was also a problem. Significantly, this is not only with coffee, but with wet rice cultivation. Focus Group (FG) respondents said that when people in Khe Sanh began coffee cultivation, there was an increase in pests, and this also affected other crops, so the overall use of pesticides has increased. FG respondents in Da Krong

26 however, made it clear that they rarely use pesticides. Another possible source of pollution raised in Co Pua was the biannual ‘cleaning’ of the hydropower station upstream. This reportedly causes oil and other pollution to enter the river. Respondents were not clear however, of the exact mechanism of pollution. • According to the District Environment Department, waste from Khe Sanh town was the primary source of pollution – both waste water and rubbish from the market. • In Chen Ro, this was not considered such a high priority, perhaps because far fewer households engage in fishing. Women FG respondents also felt that the government already provided factories etc with regulations, so little needs to be done.

Figure 9. Sources of water pollution to the HighARCS site in Dakrong (Source: IUCN)

27 Activities • Develop water quality monitoring at suitable sites to identify sources and levels of pollution in the Dakrong River. Use the maps to identify the suitable sites • Based on results from water quality monitoring, we will engage with the local government to seek better enforcement of pollution regulations • Develop an education and awareness campaign on the impacts of pesticide use targeted at farmers on the Khe Sanh plateau • Develop an education and awareness campaign on and the impacts of household and commercial waste disposal into the river targeted primarily at the market in Khe Sanh. • To raise awareness of pollution in the Dakrong river and improve communication and understanding between the different stakeholder groups.

Potential problems • Identifying the cause of pollution – although an analysis of water quality could be part of the action plan itself. • Seeking commitment from the local government to enforce regulations. • Sources of pollution were reported to not be in Da Krong district but Hoang Hoa, around Khe Sanh. The fact that both regions fall under different administrative umbrellas may create some challenges for effective implementation of projects.

Who will implement this? How will they do this? Over what timescale • water should be analysed for monitoring water quality and investigating pollution. • district environmental office in both Da Krong and Hoang Hoa would need to actually send letters to the coffee factories and other industries and seek to enforce regulations. • the HighARCS team could take a lead in a poster campaign.

What will the indicators of success be? Over what timescale will monitoring continue? • Another set of water quality tests could be carried out after one year. • Further consultations with local people could be completed to assess whether perceived water quality and fish stocks had increased.

28 Objective Improve water quality by identifying sources and levels of pollution, improving awareness among different stakeholder groups of their impact on water quality and improving the enforcement of existing pollution regulations.

Activities Measurable Implementer Indicators Timescale outputs (monitoring)

Develop water quality monitoring at suitable Water quality RIA1 Water quality Water quality sites to identify sources and levels of pollution monitoring data at will be in the Dakrong River scheme set up. It may different sites recorded A report training along the seasonal y or people to take produced after Dakrong river once a month over water 6 months of quality generated until the end monitoring. monitoring every month. of the once project Results report HighARCS is finished produced. project. (e.g. local government Or other stakeholder group) Based on results from water quality Meeting held, RIA1 Government Meeting will monitoring, we will engage with the local and report figures showing be held after 6 government to seek better enforcement of produced number of months of pollution regulations outlining people monitoring discussions and prosecuted for scheme. actions. breaching water pollution regulations

Develop an education and awareness campaign on the impacts of pesticide use targeted at farmers on the Khe Sanh plateau

Develop an education and awareness campaign on and the impacts of household and commercial waste disposal into the river targeted primarily at the market

To raise awareness of pollution in the Dakrong river and improve communication and understanding between the different stakeholder groups

Proposal 2: Improve local people’s knowledge about law and regulations from government about environmental protection. This proposal is about improving local people’s knowledge about laws for environment protection in general. It is not just about forests protection, but also for better fisheries management.

29 Co Pua Chen Ro Ka Lu Men High priority High priority (ranked 3rd) Med priority (ranked 7th) Women High priority High priority (ranked 3rd) Med priority (ranked 5th Girls High priority Med priority (ranked 5th) High priority (ranked 1th) Boys Med priority Med priority (ranked 4th) High priority (ranked 1th)

Reasons for prioritization • FG with men in Co Pua and girls in Chen Ro raised the issue that flooding was increasing due to deforestation. • There was a perception that local people lacked knowledge of how to most effectively manage forests. • In Chen Ro, the men felt that deforestation had increased the levels of mud in the river, also harming fish stocks.

Figure 10. Threats from coffee farming and deforestation affecting the Dakrong River

30 Activities • Arrange training for local people on effective and sustainable forestry methods • A contest about understanding of law/regulation and best practices in forests and fisheries and their implications for the conservation of biodiversity. The contestants could be students at primary and secondary school (from 9‐15 years old/ grade 3‐9) in the district. The form of contest might be poster presentation within class, oral presentation for some excellent candidates or written paper. The expectation under this proposal is that knowledge of local people about environment protection in general will be improved.

• Support for communities and awareness raising through local radio, poster, training for local authorities about fishing and forest regulation and better practices. For example a broad poster will be put in public areas such as commune offices and village leader’s houses to assess how effective it is as a communication tool. The contents should depict in pictures the rules and practices relating to conservation of aquatic resources, for example, using suitable net sizes for harvest, not taking selected fish species or fish below a certain size and not targeting particular species during their breeding season, etc. The existing rules from the government will be reiterated as to date they have largely failed to reach poor communities.

Who will implement this? How will they do this? Over what timescale • The HighARCS team could arrange training and instigate the contest and poster campaign • Government experts would be best placed to actually provide the training.

What will the indicators of success be? Over what timescale will monitoring continue? • A reassessment of changes to local knowledge after six months and one year. The same set of questions covering things on the flagship species sheets/poster i.e. species identification, life histories, problems, fishing methods and conservation needs will be carried out at the beginning of the awareness raising campaign and then after 6 or 12 months to see how much awareness has improved by age, gender and among different stakeholder groups. In addition to identify if the new knowledge has been put in place. By assessing whether illegal size nets are still being used or if the level of deforestation has changed.

31 Proposal 3: Construct water tanks for more easily available drinking water

Reasons for prioritization • Shortage of clean water is the biggest problem outlined in both Chen Ro and Co Pua villages. In Kalu this was not considered a problem as they have a reliable water supply. • There was frustration in both villages as they had previously had water supplies, but these were now defunct. In Co Pua, a well was built, but there is hardly any water. Three letters were written to the government but no response. • In Chen Ro, the water supply system was destroyed in recent autumn storms. The supply was originally built as part of the governments 135 programme. The idea is that the government provides the infrastructure and the village people are expected to pay for and provide labour for maintenance. While this worked well previously, the damage is so severe this time that they cannot afford to repair it. It may not the best supply strategy if severe storms are set to increase in frequency with climate change and may make communities more vulnerable. The pipe is damaged near the water source in the hills to the south. The tank above the village into which water flows is now empty. The supply for the neighbouring village, Khe Ngai, was damaged in 2007. Water comes from the same river. It also has not been repaired. Repairing the supply in Chen Ro was considered increasingly urgent, as the small stream they get their water from at the moment will have dried up by May. After that they will have to get their water from the river. • Water supply is a particularly serious concern for women and girls who bear a disproportionate responsibility for collecting water from the streams when the village supply is out of action. They have to climb up quite high to get to the source.

Co Pua Chen Ro Ka Lu Men High priority High priority (ranked 2nd) Low priority (ranked 11th ) Women High priority Med priority (ranked 2nd) Med priority (ranked 6th) Girls High priority Med priority (ranked 5th) High priority (ranked 3th) Boys High priority High priority (ranked 2nd) High priority (ranked 3th)

Potential problems • Given the considerable expense involved, we have to depend on the commitment of the local government to allocate funds. This is particularly difficult given that many households lost their water supply following recent storms. How does the government prioritise one village over another? According to the local environment department, there are 56 drinking water projects in the district, but many were destroyed in the 2009‐2010 storms. It will take

32 time to make the necessary repairs. The district government said they were still waiting for the budget allocation from the Central Government to repair the supplies. • In Chen Ro, we were informed that the village leaders had already written to the commune, but they had received no response. The question is how to increase the chances of actions having an impact in the future?

Activities • In this context, the only thing we can do is to inform the government of the water problems and the possible options. Then they could decide how to allocate funds. The type of intervention that might be appropriate depends on the village: o In Ka Lu, no intervention necessary. o In Chen Ro, the local people simply want their water supply repaired. We can raise their concerns with the local government during stakeholder meetings. The local people even said they were willing to provide the labour if the government can provide the raw materials. o In Co Pua, the village is spread out in three primary clusters. In FGs it was suggested that the government could either build one large tank in each cluster, or build a small tank for each household, for which households would need to take a loan. In the past some government schemes had covered 70% of the cost while villagers gave 30% towards the costs. There was a worry that when communal water facilities are provided, nobody looks after them. For that reason some respondents stated they prefer private small tanks. This however, is unlikely to be feasible.

What is the likely timescale of the intervention? Who will implement this? How will they do this? Over what timescale? • The scale of such an intervention means it must be implemented by the local government and its contractors. • Local people agreed in focus groups that they would provide labour in the case of Chen Ro, to repair their damaged supply system; they just need materials. What will the indicators of success be? Over what timescale will monitoring continue? • Indicators of success will be an assessment of the number of households in Co Pua and Chen Ro that have access to clean drinking water after one year.

33 Improved livelihoods in terms of improved quality of water for drink is proposed, however, it may be outside the capacity of the HighARCS project in terms of financial and not relate directly to conservation of fish biodiversity.

Proposal 4: Expand the use of and improve mini‐hydro power devices

Reasons for prioritization • This was considered a high priority for all respondents in Co Pua and Chen Ro. Ka Lu has a reliable electricity supply, so it was ranked as a low priority there. Young people in particular would value electricity because it is difficult to study in the evenings. They depend upon using oil lamps which are not really sufficient. Almost all respondents raised this as a key issue during focus groups, both young people and adults. • They would also value TV as this is a valuable source of agricultural and livestock related knowledge. Girls in Co Pua said it was a source of educational knowledge that can help them with their studies.

Co Pua Chen Ro Ka Lu Men High priority High priority (ranked 1st) Low priority (ranked 10th) Women High priority High priority (ranked 1st) Low priority (ranked 9th) Girls High priority High priority (ranked 1st) Low priority (ranked 11th) Boys High priority High priority (ranked 1st) Low priority (ranked 9th)

Activities There are three types of mini‐hydro dam – small, medium and big. The largest can be used for 5 households and the smallest for just 3 households, if they supply only lighting. If they are to be used for TV etc, then one small hydro is required at least for one household. The use of some bigger devices to supply light to several households would be most practical.

In Co Pua, there is the best potential to use devices as there are several sections of fast flowing river around the community. In Chen Ro however, there are few sites to use the devices. The river is slow and far from the village, while the one small fast stream which currently has one tiny device only sometimes has sufficient water for it to operate.

There are several ways we could potentially help based upon our discussions in Co Pua.

34 • Based upon meetings, we could assess who requires power the most i.e. lowest income with greatest number of children. Both the men and girls in Co Pus suggested three large devices for each of the three clusters in the community (there are three sections to Co Pua) • Facilitate setting up of a user group to manage the devices. This group can also be responsible for maintaining the devices. • In the FG respondents informed us that they would supply the wooden frames, but they cannot afford the generators. We could try to seek a commitment from the local government to provide these, otherwise seek a contribution from households. • We could bring a technical expert to the field to identify the most efficient way to set up the devices, and wire them to the household.

For Chen Ro, options are far more limited, and respondents agreed with this. We were informed during FGs that what they really needed was to be linked up to the electricity grid. There are many households, so it is conceivable that this may happen soon. The village is also relatively concentrated, unlike Co Pua which is spread out.

• We can ensure that the local people’s voices are heard by the district government during stakeholder meetings, so their interests are taken into account when allocating resources.

Potential problems • Large sums of money invested by the local government are required for both initiatives. We may not receive their support. • The release of water from the hydro dam in Co Pua can damage devices. We were told however, that the hydro station informs local people in advance, so they can lift them from the water. • Some of the households in Co Pua on the far side of the village from the road may be relocated soon to the area above the road on the opposite bank. They would therefore be a lot further from the river, with a road in the way. • It was felt in Chen Ro that it would be very difficult to ‘share’ their hydro devices. Every household wants one. The village was felt to be too big with 86 households. This situation could lead to conflict. That is another reason why connection to the national grid was only viable option. • Commerce and industry representatives we spoke to said that there were limited financial resources from the government to invest in electricity provision for households and 1400

35 households have no power. The focus of service provision is normally on larger population centres

Who will implement this? How will they do this? Over what timescale • Local government would have to provide the resources to invest in hydro devices • We could assist in accessing government support for setting up self‐help or other suitable groups. • Local people said in FG discussions that they would take responsibility for providing the frames for the devices and would maintain them in the long term.

Proposal 5: Learn about the production of medicinal plants

Reasons for prioritization • This was given low priority for several reasons. In Co Pua, women informed us that people mostly use manufactured drugs, so there is little point in growing medicinal plants. • Male respondents in Co Pua felt that this would be a waste of valuable agricultural land. Also, they feel a priority is planting trees to prevent erosion and flooding. • In Chen Ro, men felt that due to soil erosion, medicinal plants do not grow well. Women agreed that productivity could be low, but felt that perhaps they could do a trial with 2‐3 households and see what the results are.

Co Pua Chen Ro Ka Lu Men Low priority Med priority (ranked 7th) Low priority (ranked 9th) Women Low priority Med priority (ranked 6th) Low priority (ranked 11th) Girls Med priority Low priority (ranked 7th) Med priority (ranked 7th) Boys Low priority N/A Med priority (ranked 7th)

Who will implement this? How will they do this? Over what timescale • Communes would need to take assistance from the Agricultural Department of Dakrong to implement this.

36 Proposal 6: Training in improving livestock production

Reasons for prioritization • Livestock disease was a significant concern. Many people had lost animals due to disease in recent years. This is loss of a large investment and a significant asset. • A new problem raised in Chen Ro FGs was that of the disposal of animal waste. When we spoke of environmental regulations, this was brought up. All FGs in the village raised this issue. They said that animals would be left to wander around the village freely, and would leave their waste around where the children play and around houses. • A previous project – ACEF, had provided 15 cows for 15 households. Recipients had to cover half of the cost. After 3 years if you no longer wanted the cow it would be given to other households. Respondents had positive views of this project.

Co Pua Chen Ro Ka Lu Men High priority Low priority (ranked 4th) Med priority (ranked 4th) Women Med priority Med priority (ranked 5th) High priority (ranked 2nd) Girls High priority High priority (ranked 1st) Med priority (ranked 4th) Boys High priority Med priority (ranked 4th) Med priority (ranked 4th)

Activities • We were informed that visits by government veterinary staff were the most effective way to disseminate knowledge, and direct training is how most technical knowledge comes into the village. We could seek a commitment from the local government for a series of training programmes in the three villages. We were informed by respondents that this would be easy to arrange, and that the head of village could arrange this. In Co Pua they reportedly had received training before in methods to treat disease and building buffalo houses. • In the knowledge and awareness raising activities for proposals 2 and 9 include sections about managing livestock waste. • Consider financial viability of training to build animal houses with possible innovations including raised goat houses where manure is collected below for use as fertiliser.

Who will implement this? How will they do this? Over what timescale • Agricultural Department of Dakrong would be asked to provide technical experts to provide training.

37 What will the indicators of success be? Over what timescale will monitoring continue? This proposal may not do much to improve the sustainable use and conservation of aquatic recourses. It may result in less reliance on fish recourses. Negative implications of more livestock might be pollution and increased demand for water.

Proposal 7: Training in production of broom

Reasons for prioritization • Training to produce brooms was prioritised in all of the villages as it is a high value product which can be created almost entirely using local forest resources. • It is an essential source of cash, particularly in Co Pua village where it is already a well established livelihood activity. Women go to the forests and collect the material; the brooms are made and then sold to Dong Ha. • There were three primary needs i. In Co Pua, there was reportedly not always enough material to make brooms, or makers did not have time to gather material, but they lacked capital to buy the material. There was a project before (ACEF government project) which provided the materials, and they repaid them when the brooms were sold. Materials were sourced from a company near Khe Sanh: 1 kg of material costs 21,000VND (although we were told by girls this was only 5‐8000VND so should be checked), and can make 2 brooms with 1 broom costing 30,000VND this suggests a good profit. This project has been discontinued now. ii. To sell the brooms, households normally need to travel to Dong Ha which is 60 km from their homes. This was raised by boys and women in Co Pua as causing difficulty. According to boys in Co Pua, the price they get at the local Khe Sanh market is not good, so they travel themselves to Dong Ha. iii. In Chen Ro, local people do not have as much experience of making brooms, so would like training. There is a good source of materials there though. Many local people go up to the forests in Sep and Oct to collect the materials and sell them, but few actually make the brooms. The materials are sold for 2000VND per kilo to intermediate traders they meet on the road. It is clear that this is a significant difference in price for what the material is bought for from Khe Sanh as recorded in Co Pua village. It would therefore be more worthwhile for households to make their own brooms.

38 Co Pua Chen Ro Ka Lu Men High priority Low priority (ranked 9th) Med priority (ranked 5th) Women High priority Med priority (ranked 4th) High priority (ranked 3th) Girls High priority Med priority (ranked 6th) Low priority (ranked 8th) Boys High priority Med priority (ranked 5th) Low priority (ranked 8th)

Activities • A contact with a company in Khe Sanh could be proposed with a request that they set up a similar system to before, whereby Co Pua villagers receive materials which can be repaid in cash when the brooms are sold. However, the respondents were quite clear that they did not want to receive cash loans to buy materials, only materials. If they receive cash, it was claimed that it would be wasted buying alcohol and cigarettes etc. This may not be necessary for Chen Ro. • In Chen Ro, we could make contact with the district to request they send someone to Co Pua to give training in producing brooms. There are some households who do not know how to make the brooms in Co Pua so they could also be consulted. Furthermore, training could help households improve the quality of brooms. • We could set up a marketing cooperative, whereby one person takes the brooms en masse to Dong Ha to sell, and profits are shared. This would cut out the need for repeated visits and cut out intermediate traders.

Who will implement this? How will they do this? Over what timescale • Training by the government commerce and industry section. They said this would be possible but concrete commitment needed. • Marketing cooperative could be set up with our assistance in collaboration with commune • We could make contact with company in Khe Sanh regarding supply of materials, but their commitment would be necessary for the success of this intervention. • It is a possible low price of brooms at local market then broom producer/material collector has to sell to intermediate traders. It would be possible to promote direct trading arrangement between communes to cut out intermediate traders performing a service and in cutting cost so may not be so straightforward.

What will the indicators of success be? Over what timescale will monitoring continue? Agreements between communities and numbers of brooms produced or sold by communities.

39 Potential problems To produce broom, resources are needed and may result in damage to the forest and required forest products may become less accessible and consequently the sustainability of this may be questioned.

Proposal 8: Training in production of handicrafts for tourists It is proposed to improve livelihoods by producing local handicrafts and thus improve local people’s income. This initiative is centred on reducing the harvest of aquatic resources from the river and as a result should promote conservation of aquatic biodiversity.

Reasons for prioritization • This was given low priority in Co Pua and Chen Ro primarily because the villages see few tourists, unlike Kalu, so they saw no potential for the production of handicrafts.

Co Pua Chen Ro Ka Lu Men Low priority Low priority (ranked 10th) High priority (ranked 2nd) Women Low priority Low priority (ranked 10th) Med priority (ranked 4th) Girls Low priority N/A Low priority (ranked 9th) Boys Low priority N/A Low priority (ranked 10th)

Proposal 9: Improve local people’s knowledge about fishing regulations and law of fisheries protection. This proposal differs from that presented under Proposal 2 in that it is focused on laws concerning fisheries protection and promoting Better Management Practices for fisheries conservation.

Reasons for prioritization • This was only medium priority, as it was not as important as electricity and water provision. Some respondents felt that they knew all there was to know (i.e. do not fish with poison or electricity). The boys in Co Pua felt there was no need for training on this as fish stocks were already very low, making fishing less important. • Falling fish stocks were still of concern for most households. • Some people in Hoang Hoa use electricity to catch fish at night illegally according to Co Pua villagers. In Chen Ro, it was claimed people come from Krong Klang to do this. They then escape by power boat. • In some villages, people also poison fish using the root of a certain tree and there may be residues constituting a public health hazard.

Co Pua Chen Ro Ka Lu Men Med priority Med priority (ranked 6th) High priority (ranked 3th) Women Med priority Low priority (ranked 8th) Med priority (ranked 7th) Girls Med priority Med priority (ranked 7th) Boys Med priority Low priority (ranked 8th) Med priority (ranked 5th)

Activities • A contest about understanding of law/regulation and Better Management Practices in fisheries and conservation of biodiversity of aquatic resources. The contestants could be students at primary and secondary school (from 9‐15 years old/ grade 3‐9) in the district. The form of contest might be poster presentation within class, oral presentation for some excellent candidates or written paper.

• Support for communities and awareness rising through local radio, poster, training for local authorities about fishing regulation and Better Management Practices. For example posters could be put in public areas such as the commune’s office and village leader’s house. The contents should present pictures depicting rules for the conservation of aquatic resources e.g. suitable net sizes to use for harvest and which fish species and sizes should not be harvested by season, etc.

• Another option is a simple HighARCS notebook/calendar (including simple and practical fishing regulations and HighARCS recommendations) to be given free give to household involved in project and distributed through local officers.

• It is the intention to cooperative with Fishbase and link to the evolving flagship species initiative with key life history, conservation issues and concerns and Better Management Practices and regulations.

What will the indicators of success be? Over what timescale will monitoring continue? • A set of questions will be administered at the beginning of the awareness raising campaign and then after 6 or 12 months to see how much awareness has improved by age, gender and among different stakeholders.

41 Proposal 10: Increase fish stocks

Reasons for prioritization • This question was left quite vague, so we did not receive very rich information. Nevertheless, many of the issues raised for proposals 1 and 2 apply for this. It was useful though to see how local people valued rich fish stocks.

Co Pua Chen Ro Ka Lu Men Med priority Low priority (ranked 8th) Med priority (ranked 6th) Women Med priority Low priority (ranked 9th) Low priority (ranked 8th) Girls Med priority Low priority (ranked 9th) Med priority (ranked 5th) Boys High priority Med ranked 6th Low priority (ranked 11th)

Activities • The primary activities are those outlined for proposals 1 and 2

Potential problems It was agreed by some that they would like to have plenty of fish in the future so their children continue harvesting (Men’s group in Kalu). However the women’s group did not rate it as highly. There may be little point to try and enhance stocks without addressing underlying problems causing the decline i.e. pollution, habitat and ecological disruption, overfishing and use of indiscriminate methods.

Revised Proposals The initial 10 proposals presented above were formulated based on assessment by Fraser Sugden and the RIA1 team carried out in March 2011 and based on outputs of WP4 while outputs of WP3 and WP5 had not been completed. During subsequent discussions between the RIA1 team members and Prof. Soren Lund and Trine Glue Doan it was agreed to develop further an integrated action plan based on all WP outputs. The following Table was developed to summarise the revised proposals.

RANK PROBLEM SOLUTIONS ACTION PLANS 1 Low awareness of local Awareness raising ‐ Enhance local people’s knowledge about fish stock people in aquatic resources and aquatic environment issues conservation ‐ Awareness raising in aquatic resources conservation 2 Destructive and Development of policy and ‐ Detail and suitable regulation in aquatic unsustainable fishing legal framework conservation methods Enforcement ‐ Clear punishment regulation for destructive fishing ‐ Better and more strict management of destructive

42 fishing Training capacity Train local staff in aquatic resources conservation Local management in ‐ Decentralization in aquatic resources management aquatic resources ‐ Build village regulation in aquatic resources Awareness raising ‐ Enhance local people’s knowledge about fish stock and aquatic environment issues ‐ Awareness raising in aquatic resources conservation 3 Hard climatic conditions (lack of water, complicated topography, climate change) 4 Water pollution Development of policy and ‐ Develop policy in environment protection and (agriculture, industry legal framework wastewater treatment policies. waste, hydropower dam) ‐ Undertake environmental protection regulation Enforcement ‐ Enforce environment protection regulation ‐ Stricter punishment in pollution ‐ More strict in giving permission in gold and mineral exploiting ‐ Stricter regulation for coffee factories and hydro‐ companies Training capacity ‐ Train local people to reduce pollution Awareness raising Increase awareness in forest regulation protection 5 Exploiting gold, sand, stone Enforcement Stricter punishment for environmental pollution activities Policy More strict in giving permission for exploiting 6 Weak enforcement Enforcement ‐ Stricter punishment Training Local management ‐ Decentralization in aquatic resources management ‐ Build village regulation 7 Lack of access to ‐ Build village regulation information ‐ Awareness raising 8 Livelihood difficulties Improve livelihood and ‐ Drinking water support: Construct water tank to living condition promote more easily suitable drinking water ‐ Expand use of mini‐hydropower ‐ Promote medicinal plants protection ‐ Training in production of handicrafts for tourism ‐ Training in production of brooms ‐ Training in livestock and aquaculture Supporting policy in co‐ ‐ Setting model co‐operative in broom, textile operative (handicraft, production (because people waste money they agriculture, textile) borrowed, they don’t know how to make benefit from it) 9 Lack of finance, no budget Supporting policy in ‐ Fund raising from Gov, NGO for information transfer transferring information 10 Lack of staff and staff less Local management ‐ Decentralization in aquatic resources management access on policy on aquatic (Communities based management) resources conservation)

Final Proposals The proposals were refined by the RIA1 team and presented at the PMG meeting in China and these are presented in the table below with objectives focussing on: 1. Enhancing the biodiversity of aquatic resources 2. Improving livelihoods and living condition 3. Stronger management and institutions

Activity Indicators Main Monitoring Specific responsible &Evaluation objectives agency Communication tools: 1 contest for school RIA1, A same set of campaign in biodiversity children Darkrong questionnaire will conservation; HighARCS (poster/oral/presen commune carried out at the calendar; poster presents tation/written) beginning and at public place 1 poster at after 6 or 12 commune station months; Conferences, assessment how festival, field trip much awareness Raise Training in law 1‐3 training for improved by age, awareness of environment protection; commune gender and local people regulation and fisheries different on the law for staff and local stakeholder conservation people groups of biodiversity Participatory and aquatic assessment resources Atlas of fish species in Atlas of fish species RIA1, FIN and Dakrong river and for flagship IUCN species Publication Articles/news of RIA1, FIN HighARCS will be posted on Quang Tri website, TV, radio program by local language Decentralization in ‐Setup Commune Group of aquatic management and management group People management environment protection ‐Quantities of fish Committee & people Local collected village Performance of management its assessed after for better 6 or 12 months conservation Setup village convention 3 conventions for 3 RIA1, villages, ‐3 conventions aquatic in aquatic conservation communities commune, for 3 communes resources and environment district people ‐Participatory protection committee assessment its affect Expand using mini mini hydropower villages, No. of mini hydropower commune, hydropower is district people increased Improve committee Quality assessed livelihoods by participatory and living Construct water tank and water tank No. of water tank conditions water filter is increased Quality assessed by participatory

44 Training and setup Training district people Number of cooperative of brooms, cooperative committee training handicraft, textile established Number of produce for tourism participants production Cooperative Quality assessed by participatory Limited in gold and Policy Province Changing in mineral mining and District policy/master limited new hydropower plan (limited factory project for new hydropower; factory permission; budget for conservation Development biodiversity of policy and aquatic legal frame resources; work building staff capacity Detail guideline in Detail regulation Province, Detail regulations environment protection district and wastewater treatment policy Clear punishment and Detail regulation Province, Detail regulations regulation for illegal district fishing tools; gold and mineral mining More strict punishment punishment; village Number of in illegal fishing tools More staff commune species conserve monitoring district Illegal fishing tool reduced More strict punishment More staff village Water quality in gold and mineral mining monitoring commune Dakrong river is and deforestation district improved Enforcement Habitat maintain Forestry cover Factory is strict undertake factory; Number of undertake environment protection district factories signing protection regulation environment and following agreement environment protection agreement

45 Proposal 11. Continue fish sampling survey in order to have more complete list of fish species and fish fauna in the Dakrong River study site.

Reasons for prioritization: One major action is proposed based on the final results of WP3. There were only 38 species found during surveyed from Jan to Jun 2011 which belong to 26 genera, 9 families and 5 different orders (Nguyen et al., 2011). There are 15 economically exploited fish species and the study found three vulnerable species mentioned in the list of endangered aquatic species issued by Ministry of Agriculture and Rural Development in 2008. There were 5 possible new and endemic species identified (Nguyen et al., 2011). Given this development a key action is to conclude a comprehensive fish survey for the Quang Tri study site.

Activities A key action for the IAP is to continue fish sampling in order to have a more complete list of fish species and fish fauna in the Dakrong River. Addition results are needed to promote action on conserving and developing the sustainable use of the aquatic resources in the Dakrong River.

Potential problems Timescale of the intervention: Fish sampling continues for 2 years from Jan 2011 to Jan 2013

Implement: RIA1 staff should take responsibility for fish sampling in cooperation with local people and sampling at local market. Ichthyologist, Mr. Nguyen Van Hao, has over 50 years experience in identifying the composition of fish fauna in Vietnam and is cooperating with the RIA1 team on the analysis of fish samples. The results should be compared to published reference materials e.g. Mai Dinh Yen et al. (2004) results from a survey done in the National Park upstream. In addition comparing differences (if any) due to changes in the environmental condition. Results of the fish survey will be reviewed by selected experts and others can be recommended through the IUCN specialist groups if needed, including taxonomic experts to review and help publish new species (if present) and carry out a Red List assessment. Support from the IUCN freshwater fish specialist group can be sought. Identification of new species through the IAP processes would be a major conservation finding and could be published in Zootaxa in cooperation with fish taxonomists at IUCN.

Indicators of success:

‐ Complete list of fish species and fish fauna in Dakrong River at study site in Dakrong District.

46 ‐ Clarification whether new fish species were identified in surveys

Proposal 12. Develop atlas of fish species in Dakrong River, Dakrong District, Quang Tri Province Based on outputs from fish sampling and survey work develop an atlas of fish species in the Dakrong River, Dakrong District providing a more complete list of fish species and fish fauna in the study site.

There may be legal implications and a need for new legislation, updated species lists, awareness raising and flagship status, more survey work, assessing them for the IUCN Red List, and revised assessment of potential conservation actions.

Contents of the proposed atlas could include:

INTRODUCTION OF HighARCS PROJECT STUDY SITE IN DAKRONG DISTRICT, QUANG TRI PROVINCE, VIETNAM CHARACTERISTICS OF HABITAT IN DAKRONG RIVER FISH COMPOSITION IN DAKRONG RIVER, DAKRONG DISTRICT Cypriniformes Siluriformes Perciformes Anguilliformes Synbranchiformes ..... THREATEN TO FISH BIODIVERSITY AND ECOSYSTEM IN DAKRONG RIVER Development of hydropower Deforestations Agriculture and domestic waster Overfishing Gold and mining Others ACTION PLAN FOR SUSTAINABLE USE AND CONSERVATION OF FISH SPECIES IN DAKRONG RIVER

47 The following information is proposed for presentation in the atlas including bilingual English and Vietnamese:

Species: Loài cá: Classification: Phân loại: Scientific name: ( and synonym) Tên Latin và tên đồng vật: English name: Tên tiếng Việt: Vietnamese name: Tên địa phương: Local name: (e.g. Pako, Van Kieu language): Hình ảnh cá: Figure of fish: Đặc điểm hình thái: Short description/Morphology: Phân bố: Distribution: Mùa vụ khai thác: Biology: Kích cỡ đánh bắt: Fishing season: Ngư cụ khai thác: Size/ weight/age: Giá trị sử dụng: Fishing gear: Using value: IUCN Red List Status: Hiện trạng trong Danh lục đỏ IUCN: References:

Drafts for awareness raising activities that are being addressed are presented below (Figures 11 to 15).

Figure 11. Possible promotional activities: brochures, poster; conservation printed in T shirt

Figure 12. Atlas of fish in Dakrong River in Quang Tri/ Atlas of flagship species in Dakrong River

Figure 13. Publication of HighARCS

Figure 14. Example images of local management

Figure 15. Example of cooperative at local study site as well as develop mini hydropower

However, the success of IAP should be considered against the prioritization and focus of HighARCS aims and objectives, scale of pilot and possible funding, timing agreed. Whilst final agreement would include details of who will do what and by when and specify how this will be carried out and monitored and evaluated. And these aspects will be elaborated further in subsequent project activities and interaction with stakeholders.

References Committee for Ethnic Minorities, 1993. Decision No 21/UB‐QD date 26 January 1993

Department of Environment and Natural Resources of Quang Tri, 2006. Report on State of Quang Tri Environment. Department of Environment and Natural Resources of Quang Tri, Vietnam.

Government of Vietnam, 1996. Decree 83‐CP date 17 December 1996 signed by prime minister on the establishment of Dakrong district Quang Tri province. http://www.thuvienphapluat.vn/archive/Nghi‐dinh/Nghi‐dinh‐83‐CP‐thanh‐lap‐huyen‐DaKrong‐ thuoc‐tinh‐Quang‐Tri‐vb40269t11.aspx.

51 Government of Vietnam, 2008a. Decree No. 01/2008/ND‐CP dated January 03, 2008 of the Government defining the functions, tasks, powers and organizational structure of the Ministry of Agriculture and Rural Development. Government of Vietnam, 2008b. Decree No. 118/2008/ND‐CP dated November 27, 2008 of the Government defining the functions, tasks, powers and organizational structure of the Ministry of Finance. Government of Vietnam, 2008c. Resolution number 30a/2008/NQ‐CP date 27 December 2008 on the programs to support rapid and sustainable poverty reduction in 61 poorest district in Viet Nam http://cema.gov.vn/modules.php?name=Doc&op=detaildoc&pid=812.

Ramsar Convention Secretariat, 2010. Wise use of wetlands: Concepts and approaches for the wise use of wetlands. Ramsar handbooks for the wise use of wetlands, 4th edition, vol. 1. Ramsar Convention Secretariat, Gland, Switzerland.

Websites: www.thesaigontime, 2010) www.vietnam‐immigration.org/en/river‐dakrong‐in‐quang‐tri‐province.html

52 Annex

QUANG TRI ACTION PLANNING FOCUS GROUP Introduction Based on our research with you last year, we have identified a number of possible interventions to address some of the livelihood and environmental problems you raised. We would like to use this meeting to discuss what we propose and hear your opinions.

Questions and activities 1) Prepare the following list of objectives on cards.

• Improve local people’s knowledge about government environmental regulations for rivers. • Improve local people’s knowledge about government environmental regulations for forests. • Construct water tanks for more easily available drinking water • Expand the use of and improve mini‐hydro power devices • Learn about the production of medicinal plants • Support in improving livestock production • Support in production of handicrafts • Development of tourism services in village • Introduce stricter regulations for coffee factories and hydro companies to reduce pollution levels • Improve fish stocks in the river a) Ask respondents to tell us which of these they feel would most improve their lives b) Ask the respondents if there are any other interventions which we have not mentioned that they feel will be effective? c) If there are any other interventions, then why are these considered important, and where would they be placed on the ranking.

2) Go through each intervention one by one. Ask respondents: a) Why this activity is valued high or low in the ranking b) Who would benefit?

53 c) Who may be negatively affected? d) What they feel would be the most effective way to meet these objectives. (e.g. Who would be involved locally to facilitate intervention? Where would be the best place to pursue these activities? ) e) What contribution could you make to meet these objectives f) What problems do you perceive may be present with these interventions? g) Which institutions/departments should be assisting with interventions such as this? Why have they not done this?

3) What do you feel would be most effective way to increase fish stocks in the river?

Interventions which could be worth discussing include:

• Educating local people about environmental regulations • Decreasing the levels of fishing • Entering discussion with coffee companies and hydro company to find ways to reduce the amount of waste released in to water. • Any others?

4) How do people here normally learn new information about:

a) Agricultural techniques, b) Fishing techniques c) Where the best fishing grounds are d) Livestock raising e) How to manage forest f) New technologies e.g. mini‐hydro or water tanks g) tourism and handicrafts opportunities and activities h) pollution events or river water quality i) Medicinal plant properties and production opportunities

5) What problems do you face gaining new information?

6) Do you have any other ideas for interventions?

54 Intervention and Reasons for Livelihoods, Activities to be carried out Timescale of Geographical Who will take the lead? Who will finance Indicators of Problems/risks prioritisation by prioritisation / biodiversity or intervention scale of intervention success respondents problem addressed policy focus? intervention 1) Stricter regulations ‐Increased pollution All three ‐Educational campaign for Entire valley ‐ RIA team could take lead ‐Consultations ‐Uncertainty over cause of for coffee factories in river due to waste farmers re use of from Khe Sanh in arranging poster and with stakeholders, pollution. Some said and hydro companies from coffee factory; pesticides/fertiliser to Krong Klang educational campaigns particularly in factories no longer to reduce pollution. dam construction ‐Seek commitment from with farmers and villages, after one release waste. A water Educational measures and cleaning of local gov to enforce residents of Khe Sanh year quality test may first be to reduce pollution turbines; regulations for coffee ‐Gov would have to take necessary. from other sources ‐Waste from Khe factories lead in better enforcing ‐Test of water ‐Difficulties seeking upstream Sanh market also a ‐Poster campaign in Khe regulations for coffee quality before and commitment from local problem, as was Sanh regarding appropriate factories etc. RIA could after government to enforce (med to high priority) fertiliser run‐off from disposal of market/hh just play mediating role interventions regulations wealthier Kinh waste ‐Sources of pollution farmers on plateau. ‐Arrange stakeholder bridge two districts with ‐Has led to reduced meeting oriented to find a different administrations fish stocks; skin solution disease while washing 2) Increase ‐Respondents cited Biodiversity ‐Arrange training on All three study ‐The HighArcs team could ‐The government experts ‐Questionnaire awareness about an increase in and livelihoods effective and sustainable villages in Da take lead in arranging would have to actually could be forest regulations flooding due to forestry methods Krong valley training provide/finance the distributed to and protection deforestation. ‐Arrange contest about training. boys / girls and ‐Reportedly law/regulation and best ‐HighArcs team could take men/women (high priority) increased water practices in forests with lead in instigating the ‐RIA/HighArcs could before the turbidity school children contest and poster finance school contest as intervention and ‐Perception in ‐Awareness raising through campaign it requires few resources after, to gauge villages that they lack poster campaigns changes in knowledge of ‐Distribute HighArcs info ‐Could RIA/HighArcs fund awareness deforestation booklet the poster campaign 3) Construct water ‐Clean water Livelihoods ‐In Chen Ro, the local Chen Ro and Co ‐We can raise the ‐Government would have ‐Has water supply ‐Regarding failed water tanks to provide shortage biggest people simply want their Pua concerns of Chen Ro to fund the repairing of been repaired in supply in Chen Ro, we more easily available reported problem in water supply repaired. villagers with the local Chen Ro water supply, but Chen Ro? were informed that drinking water Chen Ro and Co Pua ‐A tank could be buit in government during the local people even said ‐Have tanks been leadership has already ‐Co Pua water supply each of the three clusters stakeholder meetings they were willing to built in Co Pua? written to commune but (high prioritisation) out of action since in Co Pua village although we can not provide the labour if the with no response. Will Autumn 2010 actually repair the supply. government can provide our input make a ‐Women have to ‐For Co Pua, we could the raw materials. differences climb high up the create user groups to ‐Gov or NGO would have ‐Heavy burden of gov hillside to collect construct tanks to fund tank materials for already to repair water water Co Pua, although local supply after storms. Still people could provide awaiting budget labour and possibly allocation.

55 limited contribution (e.g. ‐Regarding tanks in Co 30%) Pua, local people felt communally owned infrastructure such as tanks were never maintained. Intervention Reasons for Livelihoods, Activities to be carried out Timescale of Geographical Who will take the lead? Who will finance Indicators of Problems/risks prioritisation / biodiversity or intervention scale of intervention success problem addressed policy focus? intervention 4) Expand use of and ‐Very high priority to Livelihoods ‐Assess who needs power ‐Co Pua, and ‐HighArcs could take lead ‐User group creation ‐How many hhs ‐Release of water from efficiency of mini‐ access electricity the most according to no some identify poor households needs limited financing. have access to hydro dams damages hydros ‐Easier for young of children/economic possibilities in requiring power most Local contributions to the power before and devices people to study wellbeing, and provide Chen Ro. Ka Lu ‐HighArcs could take lead user group could be used after ‐Large sums of money (high prioritisation) ‐Could see TV to generators village already to set up user groups. to purchase frames for implementation required – uncertain learn about ‐Develop user group to has a power HighArcs could also hire devices. External support financing. agricultural manage devices, possibly supply so this is technical expert to assist may be necessary to ‐Some hhs in Co Pua may techniques etc. allowing shared use of not applicable in wiring of new, larger purchase actual devices. be relocated soon to the larger devices. there. devices if necessary Who??? area above the road on ‐Devices for poor the opposite bank. They households could not be would therefore be a lot financed by HighArcs‐ further from the river and seek commitment from with a road in the way. local NGOs, Gov? ‐Limited options for hydro devices in Chen Ro due to slow water 5) Promote medicinal ‐Would provide Livelihoods and ‐Offer training in medicinal ‐HighArcs could take lead ‐Gov would have to ‐How many hhs ‐Lack of interest in plants production income generating biodiversity plant production in arranging training finance training have shifted to medicinal plant opportunity. medicinal plant production (low prioritisation) ‐Would protect soil production after 1 ‐Perception they would stability year not grow well due to poor ‐However, low soil quality priority from ‐Felt it would be waste of respondents agricultural land 6) Training in ‐Livestock disease Livelihoods ‐Offer veterinary training All study villages ‐HighArcs could take lead ‐Gov would have to ‐ Do follow up ‐How do we ensure livestock production significant concern ‐Training to build animal of Da Krong in arranging training finance training analysis after people attend training. ‐Animal waste houses valley intervention (how ‐There should be training (med to high around village many have in the village itself, with prioritisation) considered a problem received training, practical demonstrations in Chen Ro do they feel and effective follow up. knowledge has improved etc) 7) Training in ‐High value product Livelihoods ‐Local people in Co Pua ‐HighArcs team could ‐Making contact with the ‐Is there changed ‐Risk of price fixing and

56 production of brooms that can be made wanted to receive contact company in Khe company for forward hh incomes reduced bargaining power using forest products materials in advance to be Sanh regarding forward supply of materials could following with forward contracts. (high prioritisation) ‐Already established repaid following sale of supply of materials be done with minimal intervention Setting up marketing as successful broom, as had occurred in ‐HighArcs could take lead cost cooperative may help as it enterprise in Co Pua past project. in setting up cooperative, ‐Setting up cooperative could also be involved in ‐In Chen Ro plentiful raw possibly with help of gov could be done with the sourcing of materials materials for broom but commerce and industry minimal cost as well as sale of product. limited experience – section. ‐Gov would need to meet respondents requested ‐Gov commerce and expenses for training training industry section would ‐Set up marketing need to take lead in cooperative training. Intervention and Reasons for Livelihoods, Activities to be carried out Timescale of Geographical Who will take the lead? Who will finance Indicators of Problems/risks prioritisation by prioritisation / biodiversity or intervention scale of intervention success respondents problem addressed policy focus? intervention 8) Training in ‐This was not Livelihoods ‐Few tourists in Chen Ro production of considered important and Co Pua, so limited handicrafts for in Chen Ro and Co market. tourists Pua as they see few tourists. (low priority)

9) Improve ‐Concern that fish Interventions could be ‐The HighArcs team could ‐The government experts ‐Questionnaire knowledge of fish stocks were falling combined with those for take lead in arranging would have to actually could be stocks and associated ‐Illegal activity by plan no 2 on forest training provide/finance the distributed to aquatic people from towns protection. training. boys / girls and environmental issues ‐Was considered only ‐Arrange training on ‐HighArcs team could take men/women medium priority sustainable fishing lead in instigating the ‐RIA/HighArcs could before the (medium though as it was methods contest and poster finance school contest as intervention and prioritisation) important for ‐Arrange contest about campaign it requires few resources after, to gauge livelihoods, but not law/regulation and best changes in as critical an issue as practices in fishing school ‐Could RIA/HighArcs fund awareness electricity supply and children the poster campaign clean water provision ‐Awareness raising through poster campaigns ‐Distribute HighArcs info booklet ‐Raise concerns about illegal fishing with local government

Section 4

INTEGRATED ACTION PLAN ‐ BUXA HIGHARCS (INDIA)

Rajeshwar Mishra and Dhananjay Ray

Centre for the Development of Human Initiatives

Composite Complex Phase II

Jalpaiguri-735101

November 2011 CONTENTS

Page No.

Executive Summary 3

Action Plan 5

1.1 Research Question 5

1.2 Basic Integrated approach 6

1.3 Project Location 7

1.4 Situation Analysis 9

2. Assessment Methodology 11

3. Overview of Research Findings 13

3.1 Overview of Biodiversity 13

3.2 Overview of Livelihoods - 17

3.3 Overview of Institution Policy and conflicts 18

3.4 Synthesis of Result 19

4. Action Planning Methodology 20

5. Action planning proposals 21

5.1 Capacity building of SHGS 21

5.2 Awareness building and information dissemination 26

5.2 Farmers Club 28

5.4 Work with Panchayat 33

5.5 Livestock Promotions 36

6. Rejected Plans 38

7. Summary and Assumptions 39

References 42

Annexure - Extension Material 43

Executive Summary

The HighARCS1 project focused assessment and research related to biodiversity and ecosystem services, institutions and livelihoods during the first phase of implementation. The second phase is the research phase covering selected areas within the overall framework of the project followed by stakeholders evaluation of the eco-system and their views. Based on results of the preceding investigations an Integrated Action Plan (IAP) has been developed in consultation with local stakeholders, including men, women, girls and boys which will be implemented and monitored during the third phase. The IAP includes activities (what), actors (who) and strategy (how) to be implemented within a given time frame.

The IAP is based on the outcome of assessment and research and is based on priorities and preferences indicated by different stakeholders. The research and assessment was guided using an integrated approach (Springate-Baginsky et al. 2009) and used different methodologies and tools including, biodiversity surveys, IUCN Red List assessments, research schedule, PRA tools such as resource mapping, historical transects and wealth ranking, Focused Group Discussion(FGDs) based on gender and age and case-studies. Outcomes of this integrated assessment were shared and discussed with stakeholders to facilitate authentication of data and their validation. Some of the similar tools were used, to ascertain and assess stakeholder preferences for the proposed actions in the light of the key findings of the assessment and research. This helped in identifying action components, strategies to be used and actors to be involved. A tentative time frame has been shown as indicated by the stakeholders. The actions should be considered in the context of their short term, medium term and long terms feasibility.

The IAP encompasses three components, biodiversity conservation and ecosystem services, livelihoods and institutions. Within conservation of biodiversity an important component relates to awareness building and education for different stakeholders and dissemination of relevant information to the concerned stakeholders. It is argued that information and education would help develop proper understanding and sensitivity about different species and their implication for sustainable livelihoods. The next set of plans includes activities related to institutional strengthening which regulate and sustain biodiversity and sustainable livelihoods. Sub-components include strengthening of self-help groups (SHGS) and fine tuning their agenda and activities with biodiversity and livelihoods. Panchayats in India are important institutions for governance covering a variety of components including livelihoods. Farmers Clubs are the other variants which impinge upon livelihoods of the people and they have therefore been included as important IAP components. IAP components related to livelihoods have been considered at both individual and collective levels and this includes components for skills and capacity development. Some of the important components include experiments with development of dairy and livestock. Strengthening of self-help groups and Farmers

1 Acknowledgement and Disclaimer: This publication is an output of the HighARCS project which received research funding from the European Community’s Seventh Framework Programme [Grant Agreement No. 213015]; this publication reflects the authors’ views and the European Community is not liable for any use that may be made of the information contained herein.

Clubs have been proposed as cross cutting institutional interventions to influence livelihoods based on eco-system services and forest biodiversity.

IAPs have evolved following a number of steps and processes. During the assessment, research and interactive sessions several issues emerged which became the reference points for action planning. These points helped during the focused group discussions to define, in greater detail, required actions in consultation with different stakeholders. The IAP should be considered not only as an outcome of the FGDs but as an outcome of the entire process followed during the project period.

The IAPS indicate the priorities of different groups disaggregated by location, gender and age but should not be considered as constituting the full commitment of stakeholders in supporting the implementation of the proposed actions. They offer an understanding of the possibilities to address the issues emerging out of the process. The nitty-gritty will need to be worked out subsequently before the implementation.

Most of the action plans are budget neutral except the time and limited budgetary allocations from the project as there is no clear budgetary commitment for implementing action plans. It is also not possible as some of the proposed actions are quite intensive requiring substantial financial commitments. The approach, as outlined, therefore, has been to develop collaboration and partnership with existing agencies and stakeholders and to dovetail the action with mainstream programs and activities. The action plan, therefore, should be considered flexible and evolving. Also the implementation of the action plans would require committed person power and resources which, as it exists now, does not seem to be adequate. CDHI has long presence in the area and has mobilized local leadership among the farmers and youths who have committed themselves to implement the programs in combination with several other programs concurrently going on as regular programs of the local Panchayats and Government. The outcome of the action plans would depend upon the compatibility of the program with the mainstream programs, financial mobilization, management and strategy adopted. Depending upon the initial trend only a few action plans may prove viable and successful. The action plans have been based on certain assumptions which may not stand up to overwhelming risks and uncertainties. However, the trend and processes would offer important insight into understanding and addressing the issues related to biodiversity and its conservation, institutions and policy and livelihoods.

Several of the actions are cross-cutting with an inter-sectoral interface and they support each other with constructive and positive overlap. Similarly, several of the actions have common stakeholders and support base. The actions have also been considered in relation to gendered and generational issues which affect men, women, girls and boys in different ways. The implementation of the action plans would offer insight into the dynamics of biodiversity conservation and wise-use of the resources. This would help understand limits and extent of institutional and policy support available to conserve biodiversity and sustainable livelihoods.

The final view that emerges sees institutions to mediate in reducing pressure on the aquatic ecosystem as well biodiversity to offer boost to livelihoods opportunity.

1.0 ACTION PLANS: GENERAL INTRODUCTION

The link between environmental degradation and increased vulnerability of poor communities is well known, particularly in the context of climate change and economic globalisation.(High ARCS,2009;Nayak P.2004) In this context however, only limited information is available concerning communities in highland areas, and even less regarding those dependent on aquatic resources and associated ecosystem services. Highland Aquatic Resources Conservation and Sustainable Development (HighARCS) is a project which seeks to better understand the patterns of resource use and livelihoods of communities who utilise highland natural resources in five sites across Vietnam, China and India, with a focus on aquatic resources. The integrated interdisciplinary approach employed by this project seeks to encourage sustainable and wise-use of aquatic and other natural resources while safeguarding ecosystem services, biodiversity and livelihoods of poor and vulnerable groups.

The project is using an integrated approach as defined by (Springate-Baginsky et al. 2009) to assess and value the wetland sites and to produce the IAPs. It is divided into three interrelated phases. The first phase is situation analysis phase, followed by assessment of biodiversity and ecosystem services, livelihoods, institutions and policies at the site (2nd phase) and the third phase, based on findings of the preceding work, is action planning and implementation of selected components concerning biodiversity and livelihoods, whilst assessing the interplay of institutions and policies.

1.1 Research Questions

Considering the objective of the project to reconcile biodiversity conservation and livelihoods the overall research question is: how can highland aquatic resources be sustainably managed and conserved while accommodating the livelihoods of poor and food insecure communities?

This is approached through considering a set of research questions formulated to guide research across the HighARCS (HighARCS 2009) which fall under four broad themes:

1) Biodiversity

i) What is the existing aquatic biodiversity in the selected field sites?

ii) How can these aquatic ecosystems be managed to secure the sustainable provision of ecosystem services and the conservation of biodiversity?

2) Livelihoods

i) What are the dynamics of the multiple livelihood strategies in the selected field sites, how do these strategies utilise resources derived from aquatic ecosystems and what are the differences according to gender, age, ethnicity and class?

ii) How can resource dependent livelihoods be ecologically sustainable and at the same time permit equitable local development opportunities?

3) Policies and Institutions

i) In each selected field site, what are the existing institutions and legislations which mediate access to aquatic resources at multiple scales and levels of government?

ii) What policies and institutional frameworks are needed to resolve conflicts between multiple stakeholders and ensure sustainable resource management whilst maximising local income generating activities?

4) Planning

i) What is the best approach to facilitating interactive participation in assessment, decision- making and planning with respect to aquatic biodiversity conservation and wise-use and promotion of sustainable livelihoods? How do we ensure participation which includes individuals stratified by relations of gender, age, ethnicity and class,

ii) What interventions both in the realms of policy and livelihoods, can be promoted to both protect aquatic biodiversity while offering sustainable livelihood opportunities and enhanced wellbeing for poor and vulnerable groups. How can these be sensitive to gender, age, ethnicity and class?

iii) Can indicators be identified that are appropriate for local communities to assess change?

iv) How can monitoring of aquatic ecosystems, livelihoods, and institutions be established and sustained locally? Who should be responsible? What can be done if something changes?

This report covers these four planning questions, but focuses on identifying the interventions that can be promoted in phase three. Based upon the completion of research dealing with biodiversity and ecosystem service (WP 3), livelihoods and policy (WP 4 and WP5) his report identifies an action plan which seeks to find integrated solutions to some of the problems identified. It outlines the process through which action plans were developed in conjunction with local stakeholders. It proceeds to examine the plans themselves, including the practicalities of interventions, how they will be monitored, and potential challenges.

1.2 Basic integrated approach and strategy to action planning

The basic objective of the project is to make an assessment of the aquatic resources, in the given project sites, and then test the efficacy of institutional and policy inputs in augmenting and regenerating aquatic resources, promote their wise-use and optimize access to and control over the resources of the resource dependent marginalized communities to strengthen and consolidate their livelihood endowments. The concept of wise-use has been adapted from the Ramsar Convention which equates wise use with the maintenance of ecosystems and continued delivery of eco-system services to maintain human well being (Ramsar, 2010). The action plan, therefore, would include all the three components of the project (1) biodiversity and ecosystem services, (2) livelihoods and (3) institutions and policy related to aquatic resources. Since this is a research project with limited scope for program implementation the proposed interventions would be dovetailed, as far as possible with existing schemes and programs governed by existing institutional and policy priorities. Wherever institutional and policy support are inadequate actions will be proposed to focus efforts on creating policy sensitivity using relevant advocacy. The process of stakeholders assessment using participatory tools such as PRA,FGD and also Delphi has evoked initial willingness on the part of the important 6

stakeholders like the forest officials, local community leaders, Panchayats and others from the line departments of the government to consider the issues seriously and proactively deal with the situation. Proposed interventions would, therefore, be a combination of collaborative, involving minimum cost, within the existing institutional and policy framework, whilst the action plan will be integrated to include the above three components. The activities would have a short, medium and long term perspective to be able to analyze the outcome within and beyond project period. For CDHI has a long term involvement in the area it would be possible to continue with some of the long term interventions and also their analysis beyond the formal project life.

1.3 The project location and its characteristics

The project site is located in Buxa, situated in the extreme north east of Kalchini Block under Jalpaiguri District of West Bengal (Figure 1). It lies at 26o 37’ north and 91o 53’ east. The area has rich natural resources with hilly terrain. The population is a mix of people with Nepali and Dhukpa origins. The 11 picturesque villages offer diversity of terrain and remoteness, with Adama being the farthest from Buxa which is the centre of all the 16 villages. All the villages fall under Rajabhatkhaba Gram Panchayat.

The communities in the above villages are recognized as an integral part of the Buxa National Park and form strong partner in the protection of the forest through Forest Protection Committees (FPCs). During the implementation of the Eco-Development Project (World Bank and Government of India) they were offered livelihood support available under the project. During the implementation of the Eco-Development project they were offered training and material inputs for livelihoods. One of the project components was development of a fish pond in Buxa which could not materialize but the communities were given training (personal communication with the communities and the forest officials). This suggests that the Buxa National Park considered the communities as their responsibility to augment their material and skill endowments and at the same time maintain balance of the eco-system services-wise-use

Figure 1. Map showing the location of the HighARCS site in Buxa within India.

Available primary data from the household survey indicate majority of the 681 households in Buxa practice Christianity followed by Buddhism and Hinduism. Religious composition is gradually changing. The majority of households enjoy Scheduled Tribe (ST) status. An interesting aspect of the population, as reveled during the study, is the gender ratio which is skewed in favor of women with the sex ratio being 1213 females for every 1000 males. This is in contrast to the West Bengal sex ratio of 934 females per 1000 males and the overall ratio across India of 933 females per 1000 males. The project site has been divided into three clusters depending upon topography, demographic characteristics, physical characteristics and aquatic resources characteristics (Figure 2). It is important to note that the division of the project site into three clusters has been based on the indicators set by the different stakeholders during focused group participatory exercises. For example Jaynati cluster is considered based on its population, relatively lower altitude and plane topography with a large river where as Buxa and some contiguous villages fall under the same range and has Nepali and Dhukpa population. Adma is the remotest, has predominantly Dhukpa population, several rivers and nomadic tradition with shifting cultivation and animal rearing. Adma also has milk and milk products as one of the important sources of their livelihoods.

Figure 2. Map showing the Buxa site.

1.4 Situation analysis and site management issue(s)

The situation analysis indicates the presence of a multiethnic population distributed unevenly across the three clusters. One of the criteria for the division of cluster is demography. Cluster I (Adma) has a predominantly Dhukpa community combined with Nepalis. Cluster II (Buxa Fort) has mixed communities, almost equally divided into Nepalis and Dhukpas. Cluster III (Jayanti) has a mixed population of Bengalis, Tribals, Nepalis and migrants from other states. The socio-cultural system demonstrates a soft and synergetic culture wrapped in tradition. There is respect for natural resources and their conservation seems to be a shared societal value. The highly undulating terrain presents difficult livelihoods challenges. The small size of land holding and lack of irrigation does not allow planned agriculture. Other inputs for agriculture like technology and implements, manures and fertilizers and seeds are also not easily accessible because of the remoteness. The community in the clusters (I and II) have traditionally been dependent upon forest resources, and agriculture has not been a mainstay. The upper part of Buxa had orange cultivation as the main source of livelihoods for several years but suffered from termite infestation, leading to complete loss of this livelihood option. The Reserve Forest status of the region allows limited access to forest resources. The communities are reduced to labouring and menial work. The situation with regard to livelihoods for cluster III (Jayanti) are adversely effected by land degradation due to flooding and soil erosion and also limited access to forest products and resources.

There is rich biodiversity including aquatic resources. However, because of constant degradation of the water bodies (rivers and rivulets) the aquatic resources have witnessed constant degradation. The community members have indicated rich and diverse species of fish which was confirmed from our 9

observations in the case of clusters I and II. However, the communities from these clusters are not regular fish eaters and fish is not seen as a key component of their diet. During the field survey they indicated that previously fish constituted an important food item which is not the case now perhaps because of declining fish stock. They use fish as an occasional food supplement. Considering a cross- section of the communities in cluster III, the Bengalis prefer eating fish and are also catching fish for selling. For them fish and other aquatic resources are considered marketable commodities.

The situation analysis indicated that the community is permitted access to and control over natural resources although the government policy prescribes strict regulatory norms for use of local natural resources including aquatic resources. “Most households in the three ‘clusters’ rely upon water collected from seasonal streams for drinking whereas the majority of agriculture is rain fed, apart from ‘Jayanti’ where river water irrigation is also used. Harvesting of biodiversity in the BTR falls under the provisions of the Biodiversity Act and Rules but also the Indian Wildlife Protection Act (1972 amended 2003) which aims to control poaching and illegal trade in wildlife. Therefore harvesting is allowed in the BTR, but only by the local communities and only for subsistence use. However, the level of harvesting of aquatic species is relatively small and is ranked below agriculture, livestock and income generated from manual labour or employment gained outside the area(WP 3)

The government officials, however, are reported to be friendly and supportive to the interests of the communities. However, lack of awareness about the regulatory provisions often makes the communities vulnerable to over-stepping permissible limits and thereby falling into legal traps. In the midst of contradictory legislative provisions for and against eviction of the local communities from the reserve forest area (WP 3) there has been an institutional intervention aimed toward developing the area including development of physical infrastructure and social development. Development of drinking water facilities by the Boarder Area Development Agency has been a major program. Swaranayanti Gramin Swarojgar Yojana (SGSY) has helped the people in accessing credit and through development of infrastructure, the District Administration has constructed approach roads and installed non-conventional energy sources, notably solar lighting. NGOs have facilitated social development programs like providing education and health care. Under the National Rural Employment Guarantee Act (NREGA) the villagers have been claiming and getting assured employment for 100 days in a year. These various programmes and initiatives have helped the community develop better.

The area was selected considering its elevation, demographic characteristics of the community, biodiversity and CDHI’s experiences of working in the area in close collaboration with various stakeholders. The main objective of locating the project in the area was to use the experiences and expertise of a multidisciplinary professional team in understanding the rich highland aquatic resource base and be able to propose a number of interventions for conservation of aquatic resources and sustainable wise-use for the livelihoods of marginalized communities that will strengthen or improve the existing institutional and policy framework.

2.0 ASSESSMENT METHODOLOGY - INTEGRATED APPROACH

Bio-diversity and eco-system services have a number of components connected with each other. These inter linkages and interconnectivity mean that the relationships and drivers that affect local ecosystem including wetland are extremely complex, concern both biophysical and socio-economic elements, and involve a series of interactions between them. Without simultaneously dealing with all of these elements it is neither possible to understand the conditions and status of an eco-system within the broader physical and human landscape, nor to assess the likely outcomes and implications of different policy and management scenarios. Such integration reflects an ecosystem approach to wetland management. The ecosystem approach, as established and defined in the Convention on Biological Diversity, recognises the need for a holistic approach to wetland assessment and management. The ecosystem approach is “a strategy for the integrated management of land, water and living resources that promotes conservation and sustainable use in an equitable way” (Ramsar 1971). It supports participatory planning guided by adaptive management to respond to the dynamic nature of ecosystems, in doing so involving all stakeholders and balancing local interests with the wider public interest. It advocates the decentralization of management to the lowest appropriate level, to achieve greater efficiency, effectiveness and equity. These are integrated within an overall approach that focuses on the interaction between human society and the physical environment. Problem- solving activities are undertaken in an inter-disciplinary manner which focuses on how different aspects of the wetlands and their surrounding catchments interact. Considering the above IAP has been developed using an integrated approach.

The interconnectedness can be seen in the following diagram:

Source: Wetland Action 2008

The following diagram depicts the integrated management objectives

Source: Springate-Baginsky et al. (2009): A tool kit for Integrated Wetland Assessment

Even though integrated conservation and development are often both incorporated into the overarching wetland management objective, and an assessment process is instigated in order to identify ways to achieve that goal, the different thematic elements of this assessment tend to remain separated. Individual specialists are commissioned to carry out studies on conservation and development issues. The specialists identify research questions and they collect and analyse their own data. The different experts, then, exchange notes, compare agreements and disagreements and integrate action plans considering conservation as the focus. In case of differing opinions further research is carried out. Lack of integration makes very inefficient use of resources for assessment and analysis of information, erodes trust between conservation and development advocates and puts the onus of conceptual integration and analysis on decision makers (Springate-Baginsky et al. 2009). Following the above framework and considering the nature of conservation and sustainable development as the objective of High ARCS an integrated approach was used in which different elements such as biodiversity institution, livelihoods were studied and analysed by different experts to arrive at Integrated Action Plan (IAP)

2.1 Assessment survey methods

Assessment was carried out using multi-methods. They included questionnaire based quantitative methods, qualitative methods including PRAs, FGDs, case studies and others. For details refer to WP 3, WP 4, and WP 5.

2.2 Age and gender

Age and gender are important consideration for action planning as they form important part of the stakeholders. Also a boy or girl of today will assume adult hood next and assume the responsibilities from the preceding generation. While making priorities age and gender were taken into consideration and their views using different methods obtained-see for reference WP 3, WP 4, WP 5 and D 5.2.

3.0 OVERVIEW OF RESEARCH FINDINGS

3.1 OVERVIEW OF BIODIVERSITY AND ECOSYSTEM SERVICE VALUES (WP3) Research findings suggest that Buxa has a rich biodiversity of both plants and animals (please refer to WP3 report). According to the IUCN Red List assessments undertaken by this project in collaboration with another project the Buxa wider catchment is one of the most freshwater species rich sub- catchments of the whole Ganges and Brahmaputra basin, containing 142 species of fish 81 molluscs and 82 odonate species (Allen et al. 2010). Most of these species are classed a Least Concern but three species (all fishes) are classed as threatened (assessed as Critically Endangered, Endangered, or Vulnerable); Clarias magur – known as the wagur (Endangered); Botia rostrata – known as the Dohser (Vulnerable); and Cyprinion semiplotum – known as the Assamese kingfish (Vulnerable).

Based on the field and market surveys 46 species of freshwater fish and 25 wetland plants were identified to be present within the High ARCS Buxa site. A key finding is that even though no fish species recorded are considered globally threatened, six are classed as Near Threatened (this is the category assigned to species that are very close to meeting the criteria for a threatened category). According to the Red Listing assessments, six species are impacted by over-exploitation (Tor tor, Chitala chitala, Ailia coila, Ompok bimaculatus, Wallago attu, Bagarius bagarius), one by pollution (Chitala chitala) and one by dams (Tor tor). However, based on discussions with villagers and fishermen it was identified that almost all the fishes in the Buxa area are declining in number and that nearly every species are utilised as food. Moreover, size and weight of the fishes is reportedly decreasing year by year due to different reasons including soil erosion. This was revealed through survey as well as oral history by the stakeholders. Therefore, although the nutritional value as well as economic value of fish in the project area are very high, the declining fish stocks has lessened the people’s interest in fishing, and thus livelihood support from fishing has become weak. A total of 25 aquatic plant species were identified from the three cluster sites, none of which are of global conservation concern and nearly half of them being non-native species. .

Based on the observations taken during field work, and discussions with stakeholders the key threats to aquatic biodiversity, resources and ecosystem services were identified and have been mapped (see Ray and Mishra 2011 for a discussion of all threats and maps). The key threats are water pollution from domestic and agricultural sources, soil erosion due to deforestation and sand and boulder mining from river beds (see figures 3, 4 and 5).

Figure 3. Sources of water pollution and areas impacted at the Buxa site.

Figure 4. Sources of sedimentation and areas impacted at the Buxa site.

Figure 5. Sources of sand and stone mining at the Buxa site.

Based on the ecosystem service identification, valuation and mapping work undertaken, the services ‘fishes for commercial use’ and ‘disease regulation’ were valued the highest by the communities at the site. Figure 6 shows that these two services had the greatest proportion of ‘high value’ preferences given to them by the respondants. ‘Tourism’ and sand and ‘stone mining’, were the least valued with the greatest proportion of ‘low value’ preferences. Water for human consumption was not highlighted as a highly valued service through the valuation work, however based on the results of focus group discussions common priorities were shared across many of the differnent stakeholder groups, including the poor water quality for drinking and declining fishes.

Figure 6. Proportion of low, medium and high value scores given to each ecosystem service at the Buxa site

The highly valued ecosystem services identified through the valuation work and focus group discussions (water provision for human use, fishes for food) were mapped to show the areas generating the services and the areas benefiting from the services (figures 7 and 8).

Figure 7. Areas generating and benefiting from the ecosystem service of water provision for human use. 16

Figure 8. Areas benefiting from the ecosystem service of fishes for subsistence and commercial use.

3.2 OVERVIEW OF LIVELIHOODS (WP4) Research findings and our general understanding suggest that Buxa region has a predominantly forest- based and agricultural economy. There used to be rich aquatic resources which people used to exploit for their livelihood. The Bengalis population in Jayanti are fish lovers. Fish, however, is also preferred by all the communities in the three clusters. In Buxa Fort cluster which is home, primarily, to Nepali and Dhukpa communities, labouring remains the primary livelihood activity, and the Department of Forest is the primary employer. ‘Construction labour’ and ‘other labour’ are the most significant income sources, the latter including jobs such as maintaining roads and trails. Much of this work is available through NREGA, which ensures individuals get 100 days work a year, or compensation pay- for the period when a job is not offered after application for registration. Actually NREGA is an employment assurance scheme of the Government to ensure that the unemployed population has access to job opportunities locally. There is also a considerable amount of out- migration, not abroad, but to urban centres such as Siliguri, Kolkata and Delhi. Jobs include working as machine operatives in factories or work in hotels (general notes from HH interviews, Buxa, Oct 2010). Some of the Dhukpa community who are familiar with the language and culture regularly migrate to Bhutan for work. In Lepchakha, for example, it was suggested that up to 90% of the local men work as labourers in Bhutan. This opportunity however is reportedly only available to the Dhukpa community who know the language and can merge into the local population without official documents. Given their lack of citizenship papers however, they can only secure menial employment (interview in Lepchakha village, Oct 2010). In addition to labouring, households raise livestock in the forest, which is mostly for household consumption. Agriculture is limited, given the steep terrain, 17

damage from wild animals, and restrictions imposed from the Department of Forestry. Nevertheless, there is some maize production in most villages, and some production of cash crops such as garlic, ginger and turmeric which are sold to merchants in Santalabari at the foot of the hills on the weekly market days. The weekly market does not ensure remunerative price for their product.

Jayanti cluster is currently home to predominantly Nepali, Adivasi Bengali and Bihari migrants who settled to work in the now abandoned mines. The livelihoods, however, are somewhat similar to the Buxa Fort cluster. Labouring is the primary source of income, along with migration to urban centres. Agriculture is limited to a few fields of maize on the far side of the river, and these are often damaged by elephants. Being a plain, Jaynati has livestock raising as one of the important livelihoods sources.

It is only in Adma cluster, which is populated entirely by the Dhukpa community, where livelihoods follow a more traditional pattern. Although shifting cultivation is less common, local people operate fixed fields of maize and millet, and there is even some rice in the lower valleys. Their livelihood is semi-nomadic. Most households have large herds of cattle which they tend in the lower valleys at the foot of the plains during the monsoon when the upper forests are abundant with leaches, then moving up to the level of the villages in the autumn, and then returning to villages in winter to tend the harvests of millet. In the early spring they move to pastures on the high ridges on the Bhutan border (HH interview, Adma, Nov 2010). They produce cheese, butter, ghee and milk, and sell these in Bhutan, or locally at the surrounding hills. Although some people work as labourers, no out- migration pattern exists in the other two clusters, and much work is simply carried out locally for other villagers. This community however, displays a greater level of self-sufficiency than the other villages in the Buxa region.

In all the three clusters there is a seasonal variation in the availability of livelihoods opportunity. In terms of access to and control over livelihoods resources, there does not seem to be much difference, especially in the Adma and Buxa clusters, where cultural beliefs and practices are favourable to women.

3.3 OVERVIEW OF INSTITUTIONS, POLICY AND CONFLICT (WP5) The report on institutions (WP) suggests that biodiversity conservation is guided by an international treaty (WP 5) which is ratified by India as well. The State of West Bengal is committed to the implementation of the provisions of Biodiversity Act as promulgated by Government of India (GoI, Biodiversity Act, 2002). The project site of HighARCS is situated in the hilly terrain of Buxa (located in North Bengal, the northern part of the State of West Bengal). Buxa is situated in the Reserved Forest famously known as Buxa Tiger Reserve (BTR). BTR recently implemented a World Bank supported eco-development project aimed at reducing biotic pressure on the local biodiversity.

The basic institutional framework on governance follows the federal governance structure and strategy as prevalent in India. The federal governance strategy emphasizes local planning as a tool for sustainable development. The Government of West Bengal also follows a similar strategy. Under the local governance arrangements (through Panchayati Raj Instituions) village planning for Buxa is done by the Gramsabha and Gram Unnyan Sammittees (GUSs). All plans are to be locally done and organized. Since the area falls under the Reserve Forest, governance of the area is influenced by the Department of Forestry on subjects related to forest and natural resources management. This makes things complex. On the one hand where there is the possibility of resources optimization there is 18

always an avoidable conflict between the Department of Forestry and other local agencies including Department of Panchayat. For example, local planning may indicate that the construction of a fish tank at a common place is desirable. However, this can not be done unless ratified by the Department of Forestry. Such coordination takes a lot of time and energy and several useful local initiatives have been sacrificed. The institutional and policy framework, as it exists in Buxa. often comes in to conflict with the local actions people might take for the conservation of biodiversity and livelihoods. For example people can not take such actions without going through a complex system of obtaining permission from the Department of Forestry and other related line departments. Ideally according to current provisions even if a small pond has to be developed for an experimental fish culture permission is required to be obtained. It is another matter that officers who may t trust the local communities’ intentions tend to overlook such well meaning overtures.This is the context for testing the feasibility of local actions related to aquatic resources management taking the community as the anchor. Research findings suggest that although there is the possibility of convergence and synergy among different actors, including communities, this is not achieved because of a number of constraints including lack of awareness about various policy perspectives, conflicting legal regimes and policies and lack of trust among the agencies and individuals. Consequently it was proposed that Integrated Action Planning would hold this as a critical consideration while evolving testable and feasible Integrated Action Plans during the current phase of the project.

3.4 SYNTHESIS OF RESULTS Research results suggest that Buxa has a rich but declining aquatic resource-base which, historically, has been a source of sustenance for the local communities. The institutional and policy framework has mediated access and control over such resources in order for the community to have sustainable livelihoods. Therefore, from the research, it was evident that access to livelihood resources, policy and institutional issues, and biodiversity, are organically connected which this action planning phase will take in to consideration. For example, the multiple livelihood strategies and power relations which shape them are grounded in particular ecosystems, both aquatic and non-aquatic. Livelihood activities impact ecosystems while ecosystem change feeds back to shape livelihood options. At the same time, policies and institutions which have the capacity to regulate natural resources while enhancing as well as limiting access to livelihood resources, play a critical role in mediating this relationship between communities and their environment. The action planning phase will, therefore, seek to work through this framework and see if wise-use of aquatic resources can ensure sustainable livelihoods within the existing institutional and policy environment.

4.0 ACTION PLANNING METHODOLOGY In the context of highly interconnected processes, it is clear that any action planning which seeks to strengthen livelihoods while protecting biodiversity, must take an integrated approach, combining livelihoods, institutional and biodiversity issues. Drawing together data from the reports (WP 3, WP 4 and WP 5) a series of Integrated Action Plans (IAPs) have evolved for the site to meet this strategic goal of the HighARCS project.

The first stage of action planning involved brainstorming within the HighARCS team regarding potential interventions. Ideas were based upon previous fieldwork as well as CDHI’s past experiences of working in the Buxa region. The CDHI team has been intensively using PRA tools and multi stakeholders consultations and the outcomes of these were used for action planning. Some initial proposals emerged, which are discussed below. Over the course of several field visits to Buxa, a series of action planning focus groups were carried out. As during the primary data collection for HighARCS, separate groups were carried out for women, men, girls and boys. Ranking exercises with participants were carried out where they were asked to go through each intervention one by one, deciding where it would be placed on a scale. Then participants were asked to discuss the position each potential intervention was given, and the potential opportunities, practicalities and problems surrounding each intervention. The ranks and positions should be considered indicative in the given time and space and should not be considered strictly.

The action plan was subsequently shared and discussed among the stakeholders, primarily the community members and some selected officials and Gram Panchayat members who offered suggestions and even came out with independent action plans. In the final analysis the action plans, as suggested, are based on the combined outcomes of different steps and processes used during the research and analysis. In the following section we present the action plans formulated during the process. The action plans address issues related to conservation and biodiversity, improved livelihoods and institutional strengthening.

5. 0 ACTION PLANNING PROPOSALS

5.1) BUILD CAPACITY OF EXISTING SELF‐HELP GROUPS FOR BIODIVERSITY CONSERVATION ACTIVITIES Much of the success of proposed interventions depends upon the active collaboration of local institutions with adequate information, sensitivity and capacity. In a decentralized form of governance local people’s institutions as well as local institutions of governance (Panchayats in case if Buxa, India) are important. Among local institutions, self-help groups (SHGS) are particularly valuable. SHGS have emerged as important institutions in contemporary India, as an effective instrument for dealing credit and saving issues for the local marginalized communities. The SHGS have, primarily, emerged as institutions for financial intermediation for excluded communities. As an entry point the SHGS, which usually have 10-12 members from among the local communities, begin with saving schemes. The SHGS are supposed to deal with social and empowerment issues and are expected to expand their areas of activities to cover all other relevant subjects which affect people’s lives. There are examples of SHGS taking up gender-men and women-boys and girls and environmental issues within their locality seriously and systematically. Building on this potential it is planned to involve SHGS in the HighARCS project. Buxa has a substantial number of SHGS in the three clusters with some variation in their number. It is planned to involve SHGS in proactively promoting and conserving biodiversity. In specific SHGS are to be oriented and their capacity built to achieve this objective by checking, reducing and regulating discharge of household pollutants and chemicals from the fields into the river. They are to be involved in reviewing their own bio-diversity stock and embed the implication of a degraded ecology on their life. Adequate capacity would be built among the members by exposing them to appropriate training modules or by fine tuning the existing capacity building inputs already available for SHGS.

ACTIONS

Existing SHGS will be mobilised to carry out several activities:

1. Encourage local people-led by the SHG members - in each village to prepare a biodiversity register to assess local ecology and harness indigenous ecological knowledge. Women’s SHGS will be mobilised for this activity, although children will also be asked to undertake biodiversity mapping of the area around their school. The process of preparing bio-diversity register would help the community, more so young boys and girls, reflect and compare the existing stock with what the area had in the past. Presentation of the bio-diversity register, before the stakeholders, would help them authenticate their findings. The community members doing the biodiversity register would be trained by the local experts from the Department of Forest, Fishery and experts from the University and colleges. Such activities have really enthused them and enhanced their level of awareness. The bio-diversity register would be given to the government departments for their awareness and sensitization about the current trend of bio-diversity in the given area.

2. Through the SHG, offer training to help local people plant certain species which can allow regeneration of biodiversity. Children will, in particular, be encouraged to plant saplings around their school. . Also through lobby and advocacy concerned departments would be impressed upon to check soil erosion and sedimentation by adopting appropriate technology.

Already the Panchayats have included plans to check soil erosion by vigorously undertaking plantation and embanking some water courses and offering channel for smooth flow using a detour.

3. Offer training in the production of medicinal plants-native non invasive species. Again, as a rich floral reserve, Buxa includes important medicinal plants which the local community uses for treatment of different ailments. The current understanding about the medicinal plants are reported to decline over time which would be reversed through fresh plantation of medicinal plants adding further to their conservation and growth. Care will be taken to use only native non invasive species. The local community have indicated the need for training in the use of different plants for medicinal and nutritional purposes. Let us consider community preferences for this component. There are two interventions which were suggested by respondents. One was for training in the identification and use of medicinal plants, in which case they could be collected from the forest. This needs to be followed by an authentication exercise by experts. Another was training in the setting up of gardens for plants surrounding houses. It will be important to make training as participatory as possible, as local people also have rich ecological knowledge of medicinal plants. Perhaps local experts could themselves give training in each of the villages, allowing for a sharing of knowledge between communities. Farmers Clubs are other institutions which can have this as one of their important agenda items. Farmers Clubs can develop action plan for agricultural activities and access credit from the bank. In fact this has emerged as one of the priorities which the banks support.

4. Develop a small fish pond. Request NREGA (2-3 manpower days) with the involvement of the local Panchayat. Some training can be offered in fish culture of native non invasive species. The survey has brought to the fore availability of important aquatic species in the respective clusters of the project site. The local communities may not be quite informed about their ecological and economic values. It is felt that the local communities should be systematically informed about important species with the guidance of the local experts and help them support in laying demonstrations of important species. It is planned to develop a fish pond in Sadarbazar and Jayanti. For successful development the Department of Fisheries should be enlisted to help and provide technical support.

Throughout the process the HighARCS team will: • Play a mediating role to ensure the groups are participatory in nature • Raise awareness during training of SHGS by bringing in bio-diversity components and the benefits they can generate.

GEOGRAPHICAL SCALE

Existing SHGS will be mobilised in all the three clusters. However, training on growing medicinal plants and maintaining a wetland area (household level pond) can be developed and managed through the SHGS in Sadar Bazar. The activity will continue through the project period of two years, until 2013 but from experience, we suggest that this should be integrated into the local milieu.

REASONS FOR PRIORITISATION There was a perception amongst some respondents that the activities of SHGS, which currently exist in the region, are too limited. Eight to ten years ago there was a movement to set up SHGS. They initially received a subsidy from the government, but after a few years the subsidies were stopped and Local NGOs, who were facilitating coordination and capacity building, also have lost interest; now many groups are not functioning. During the eco-development project implemented by CDHI in Buxa, SHGS were quite active in forest protection, promotion of efficient cook stoves and exploring alternative livelihoods strategies to reduce biotic pressure on the local forest. Over the period there has been some slackness on the part of the SHG members and also on the part of the agencies supporting them. Women in particular valued the opportunities to strengthen SHGS for developing micro-enterprises. This is something they can pursue in their spare time. Earlier the members of the SHGS have worked on making brooms and have also enjoyed income. The same can happen now under HighARCS. A sample of men and women in Buxa cluster and women in Jayanti, gave strengthening SHGS a high priority. Women in Adma and girls in Jayanti gave it a medium priority.

Interestingly, SHGS were considered a low priority by some men in Adma. This was because they felt that it would be difficult to bring together local people and coordinate arrangements among themselves. They also thought that illiteracy may be a constraint. Adma is also remote that makes it inaccessible by the outside agencies to visit and support with lower level of exposure among the people. In Jayanti, however, they have shown strong preference for SHGS which earlier also witnessed a strong SHG movement.

Regarding interventions to be carried out through SHGS, local people expressed keen interest in developing a fish pond and learning about fish raising, which is why it has been included as one of the SHG activities. Similarly, collecting medicinal plants was considered important as respondents in all the hill villages emphasised that they were far away from hospitals and dispensaries. This situation was particularly acute in villages such as Adma. Both men and women gave it a high priority during PRA ranking. They could use the medicinal plants to cure minor ailments and whatever are left could be sold. Women in Lapchaka gave SHGS a lower priority, not because they considered it unimportant, but because there were other issues which took precedent over this.

GENDER AND AGE MAINSTREAMING

Only women’s SHGS will be mobilised out of the adult population. This will increase women’s empowerment and will harness their existing ecological knowledge acquired through day to day engagement with the ecosystem as identified in the livelihoods report (Mishra et al., 2011; Sugden and Punch, 2011). It will also expand their ecological knowledge. Young people will be involved not as members of SHGS, but will participate in the first two programmes, namely creating a biodiversity register and planting trees around the school. This will help to improve local people’s ecological knowledge. In the context of out-migration, the livelihoods assessment suggested that young people’s ecological knowledge is declining (Mishra et al., 2011; Sugden and Punch, 2011). Involving them directly in environmental preservation activities will help to strengthen their understanding of the environment for future generations. It will also expand the curriculum of schools which sometimes has limited relevance to local lives and livelihoods.

IMPLEMENTATION

Owing to its strategic positioning and past experiences CDHI is well placed to facilitate the process and training etc. It will be technically supported by local agencies. CDHI has developed local youth workers who would be involved in the mobilization of the groups. This program will also continue as the regular activity in the region. If the SHGS are strengthened credit generation can take place. Since CDHI has been involved in this region for long this activity will be a long term program to have multi-agency support.

INDICATORS OF SUCCESS

Indicators of success will initially be the number of SHGS before the implementation of the Integrated Action Plan, and the number which are still operating up to one year after implementation. However, qualitative analysis will be needed to assess how effective these SHGS are in supporting multiple livelihood activities. Monitoring would continue for at least one year after implementation.

CDHI, with its continued presence, would monitor the functioning of SHGS against the following indicators:

• Number of members present in different meetings • Issues on HighARCS (livelihoods, conservation and institutions) taken up and resolved • Number of members participating in different conservation programs • Number of bio-diversity prepared and used by different agencies • Number/area of plantation • Financial spin offs

POTENTIAL ISSUES

A key problem with all interventions such as this is ensuring they are participatory and are not dominated by more powerful members of the community (Cleaver, 1999, 2001), particularly when the groups are involved in the sharing of resources e.g. water for aquaculture. It would probably make sense to have separate SHGS for men and women, in accordance with the dominant division of labour. For example, men play a more important role in fishing so could take a lead in aquaculture, while women play a more important role in vegetable cultivation, so could take a lead in farming and cash crop schemes. We need to consider the issue of illiteracy, and take measures to ensure those who are illiterate are not excluded from these schemes. This is particularly important in the Adma cluster.

In the Dhukpa community and Nepali community, women often lead the household, especially with migration. However, in the plain area such as in Jayanti, men have more control. These considerations will have to be taken into account when designing any plan in terms of how we prioritise the interventions by clusters.

Another issue is that local people have to take ownership of these programs, they need to have the incentive to continue these projects on their own accord in the long term. Many schemes which have been set up in the past in Buxa reportedly disintegrate after the departure of the initiating organisation. One example was a bee keeping scheme which failed in the past. The local person with overview 24

responsibilities for the scheme had given up. He felt that he was not being paid for this, why he should take responsibility. If communities feel ownership for interventions, these problems are less likely to occur. There are examples of sustainable programs facilitated by CDHI. In this case sustainability will depend upon the strategy for facilitation adopted.

There are problems with some of the SHG initiatives. For example, identifying medicinal plants carries a certain degree of risk, whereby the wrong species may be consumed. This would need to be considered prior to offering training. Furthermore, we would also need to be careful not to undermine local people’s faith in existing medical facilities, particularly when it comes to treating emergency cases. The biggest problem with this idea raised in Jayanti was that the Department of Forestry prohibits collection of medicinal plants from the forest; collection for sale is strictly forbidden. Forest officials can be brought in for their support to the domestic use which is permissible under the existing Forest Act (WP 4).

Objective Build capacity of existing self‐help groups for biodiversity conservation activities regulations.

Activities Measurable Implementer Indicators (monitoring) Timescale outputs

Encourage, support and capacity ‐number of CDHI • Meetings One year build the SHGS SHGS • Training events Number of women • Members involved

‐attendance at the meetings and training programs

Encourage, support and capacity Farmers CDHI • Farmers One year build farmers clubs mobilized • Farmers clubs People preparing for farmers clubs

Encourage local people in each ‐bio‐diversity CDHI • Local people One year village to prepare a biodiversity registers register • Bio‐diversity registers

Planting trees Number of CDHI‐SHGS‐ • Trees and Continuous trees Panchayats plants plus forest department • Community 25

functionaries members

Training in medicinal plants Number of CDHI‐SHGS‐ • Events One year training Panchayats plus forest • Types of Nature of department training trainings functionaries • Training modules

Build small fish pond Number of NREGA‐ • Ponds One year ponds Panchayat‐ SHGS‐CDHI‐ • Fishes Species local nurtured community

5.2 AWARENESS BUILDING AND INFORMATION DISSEMINATION ABOUT BIODIVERSITY AND PREVENTION OF PROVISIONS AND ACTS The objective of this activity is to raise the awareness of local officials and the community to have better (clear) understanding of the acts and their provisions and be able to relate to each other. We have realized that there is missing understanding of specific acts and provisions. Also Government officials at the ground level blindly follow the seniors and in the absence of clear specific understanding they tend to misinterpret Acts and provisions. There have been occasions when the community and the officials have worked collaboratively under clear understanding of provisions. For example, earlier during the Eco-development project both the community and the officials agreed to develop a fish pond and experiment with some activities. A clear understanding is likely to offer such opportunities of collaboration. A number of dissemination activities at the ground level will be prepared to increase awareness about government biodiversity regulations. The focus audiences will be Department of Forestry staff at the ground level, Panchayat members, SHGS and Farmers Clubs.

Preparation of materials will be undertaken as a joint exercise by the different stakeholders. A cultural troupe has already started training the school children on different aspects of biodiversity. The activity shall be extended and spread to all three clusters. Preparation of posters through the school children has started and will be continued. Some more information brochures will be prepared and distributed together with local level consultation and reflection meetings.

Activities:

1) Collation and collection of laws and Acts

2) Translation of such laws and Acts in the local language

3) Dissemination among the stakeholders

4) Discussion among them among the stakeholder

5) Preparation of posters and pamphlets for mass public distribution

6) Discussion and seminars at the local level

7) Encouragement and holding of paintings and debates among the students on the above

TEMPORAL AND GEOGRAPHICAL SCALE This will be carried out across all three clusters and for at least two years of the project period.

REASONS FOR PRIORITISATION During the stakeholders consultation it emerged that there was limited awareness about the provisions of the Biodiversity Act (WP 4). This was causing avoidable confusion resulting in overzealous reactions and animosity between the local community and the government officials. For the government officials, Panchayat Members and SHGS members, awareness building and dissemination of information was considered as number one priority. Adequacy of information could lead to appropriate action without apprehension of being officially charged. Preparation of education and information brochure is considered important. CDHI, earlier, has already prepared pamphlets and posters which should be continued and diversified.

This action has a cross-cutting edge as it will influence orientation of the institutions and policies and has the potential to reduce conflict between different stakeholders who may carry a perception of conflict of interest. Awareness about provisions may also lead to enhanced access to livelihoods resources and their wise-use. A clear understanding of the provisions would sensitize the communities not to over use and exploit the bio-diversity and eco-system services.

GENDER AND AGE MAINSTREAMING The level of literacy differs across male, female and children (boys and girls). While preparing materials different levels of education, gender, age and ethnicity must be accounted for.

IMPLEMENTATION

As earlier said CDHI will facilitate linkages and collaboration with different agencies and will either publish the materials on its own or encourage the agencies to use their resources based on ideas generated by the project.

INDICATORS OF SUCCESS • Level of awareness created which can be measured by explanation of provisions by the stakeholders on various occasions.

• Number of agencies involved

• Resources and collaboration generated

• Policy integration of some of our activities to be measured by government showing interest and accepting the learning in the regular programs.

•

Objective Awareness building and information dissemination.

Activities Measurable Implementer Indicators Timescale outputs (monitoring)

Collection and collation of laws and rules Collected CDHI Quantity One year works

Translation in local languages Number of CDHI Quantity One year translations

Dissemination among stakeholders Materials CDHI/local Number and One year disseminated Panchayats population/

Development of posters and pamphlets Number/nature CDHI/Forest Number Continuous of posters Department Nature

Discussion and seminars at the local Events and CDHI/local Number Continuous levels participants institutions

Painting competition among children Events and CDHI/schools Number Continuous participants

5.3 CATALYZE SETTING UP COMMUNITY OWNED FARMERS CLUBS/ INNOVATION FORUMS Our experience of working in the area suggests that people are not quite organized around meaningful and structured activities. Lack of organization deprives people of their various entitlements and at the same time limits their range of negotiation with different agencies and individuals. State sponsored local institutions have not gone beyond implementing the prescriptions of the government. Officially constituted Forest Protection Committees, Cooperatives and Farmers Clubs have not worked effectively. Livelihoods and biodiversity issues cannot be addressed adequately by state interventions alone; they have to be carried out by self-evolving and self-regulating community-based interest groups/institutions. Farmers’ clubs offer organized platform to the farmers to access credit through banks and other inputs from different institutions. Farmers clubs help the members strengthen and improve their agricultural activities and through this help augment their livelihoods endowments. In case of HighARCS they may help reduce pressure on the aquatic environment by offering additional endowment. The additional opportunity may also help the communities to replace their income loss because of the declining fish stock in the area.

In the present context Farmers Clubs are quite relevant to addressing the issues of livelihoods. Farmers Clubs are formed with a membership of 12-16 farmers around the service areas of a given nationalized banks. The members deposit a fixed amount every month which is collected. The banks, based on their credit worthiness offer credit support to the members of the Clubs.

The money is used to give loans to members for agricultural activities at low interest rates as well as to set up small businesses, the profits of which are shared amongst members. This could be one means through which new agricultural production systems could be promoted. The National Bank of Agriculture and Rural Development (NABARD) supports such clubs through lead banks. The support includes training and credit to the club which is considered as collateral to the members when they want to take credit or have the benefits of holding a Kisan Credit Card (KCC).

Discussion with the local communities, in 28 Busty, Jayanti, suggests there is potential for a Farmers Club or Cooperative. It has rich agricultural land, unlike many of the other communities, making such an activity viable. Respondents suggested that introducing new crops or improving production of existing crops would offer valuable income generating opportunities. Around half of household income comes from farming. Therefore it was considered very important to increase yields on the few plots that they were allowed to farm. A focus will therefore be placed on developing horticulture and floriculture, as well as increasing yields of existing crops.

Farmers Club would encourage and support an ‘innovation forum’ which would be a platform for the local farming communities to try innovation of their activities related to livelihoods and aquatic resources. They can also be encouraged to try process innovations. For example the local communities can agree to try home-based fish culture of rare species (for example ornamental varieties but native non-invasive) and backyard organic manure production for use in their domestic vegetable farms. Such innovations shall be indicators for the success of Farmers Club

Activities : 1) Mobilization of farmers 2) Training and other capacity building inputs 3) Facilitating linkage with banks and other institutions 4) Linking the farmers with the experts and professionals and professional groups 5) Counselling them not to use non-native and invasive species 6) Creating awareness about the existing provisions of conservation using the earlier action plans (5.2) 7) Disseminating the learning to other communities and the government agencies

TEMPORAL AND GEOGRAPHICAL SCALE

This will only be implemented in Jayanti cluster for the full project period. Many farmers from Jayanti cluster are fully dependent on agriculture and the total number of agricultural farmers is greater than the other clusters. The Jayanti cluster has larger land holding farmers than other clusters and therefore the activity would be the priority for Jayanti cluster -28 Basti village. Although Adma and Buxa clusters have shown interest in the clubs their location offers constraint of accessibility. Therefore the farmers club would be initiated in the Jayanti cluster (28 basti) and allowed the learning to spread further to Buxa and Adma if the banks show interest.

REASONS FOR PRIORITISATION This was considered important as everyone has a little land, usually in the jungle. Respondents suggested that introducing new crops or improving production of existing crops would offer valuable income generating opportunities. Around half of household income comes from farming in Buxa cluster for example, and plots are limited. Therefore it was considered very important to increase

yields on the few plots that they were allowed to farm. Also the results of various studies show decline in fish stock and other flora intensification of agriculture would help compensate for the losses because of the decline.

GENDER AND AGE MAINSTREAMING Young people (both boys and girls) will participate in the activities, and members of the women’s SHGS can collaborate and offer their experience and learning. Thus the activities will consider both gendered and generational issues.

IMPLEMENTATION

The first stage would be for CDHI to link up with the local Agricultural Development Office (ADO) to gain a commitment to support training. Buxa Vikash Abhiyan(BVA) a citizen development forum would galvanize the farmers and take-up linkages with the banks and other agencies.

The second stage would be to decide what particular training is necessary: a series of PRA (Participatory Rural Appraisal) tools may be used to have training need assessment and subsequent requirements. Some respondents wanted to improve productivity of existing cash crops. Cash crops such as ginger in particular, require specific skills to produce, and if it is done wrong, the entire crop can be ruined. One respondent stated that you have to “look after it like a child”. This is an important cash crop and respondents said they would like to learn how to maximise production. Reintroduction of previously cultivated crops such as oranges was also suggested. Training on how to effectively use manure was also suggested. Considering forest area and menace of wild animals intercropping can be a better option. Intercropping is the cropping of different species using the vacant land under the trees. Ginger has been used as important crop for intercropping. The HighARCS team could investigate possibilities for initiatives such as drip irrigation, which are very low technology and reduce water lost due to evaporation (Upadhyay et al., 2005). Water is stored in a large enclosed drum which can be refilled manually from any source, and is released gradually through a pipe with small holes in it. According to Upadhyay et al (2005), in a study from Nepal in 2005, the capital investment necessary for a drip kit was about $13 and maintenance costs are small. Another option would be to introduce training on medicinal plant production as is proposed for the SHG initiatives (Action 4.1). Use of environmentally friendly fertilisers and pesticides have earlier been tried which can be tried further.

Financing can be arranged through banks using the Farmers Club as the arm of the farmers. Farmer Clubs are operated as businesses and are funded by loans. Clubs can give proposals for loans for cooperative agricultural-based activities as well as to expand their borrowing capacity for small-scale loans to individual households. They use their own funds and approach the bank, the closest of banks are in Rajabhatkhawa, Alipurduar or Kalchini. The head of the Farmers Club has to contact the DDM (District Development Manager, the coordinator for NBARD in Jalpaiguri). DDM will look at accounts, existing activities of the club etc. If they assess that the Club are following the rules and regulations and have capacity, they will make a proposal to the local level branch. That bank will give the loan as well as training. Each branch has a field officer. The program will continue for a long time as this is a regular program.

INDICATORS OF SUCCESS At the time of implementation, initial data would need to be collected on the income of participating households (or a sample of participating households). A follow-up survey could be carried out after six months and one year after implementation to assess the increase in income for households from producing the new crops. Bioeconomic models could perhaps be used to look at income before and after the intervention.

The indicators would include:

• Membership

• Regularity of meetings

• Trainings organized and capacity building

• Activities organized

• Innovations carried out

• Type of crops tried as intercropping

• Economic activities undertaken and economic benefits incurred

POTENTIAL ISSUES Although open to training in new crops, respondents emphasised that it must be proper training with follow up, or they risk losing their investment in seeds and labour.

Another issue relates to how profits would be shared, particularly in the case of large Farmers Clubs. There are two types of Farmer Club, one where everyone has equal shares, and another where there is a core group of 15-16 who have a stronger role, and thus, get more benefits. In such context, the other members usually join to facilitate access to loans. It is the core group however that are managing it as a business and profiting, while often other members are either notional or employees If the latter option was chosen, it would be important to ensure wealthier more dominant farmers do not take control. Normally clubs initially begin with members sharing equal ownership, but after 6 months or 1 year, core members evolve, notably those who contribute the most time and labour.

Some respondents made it clear that training should be for the entire agricultural cycle. Schemes in the past have offered initial training in planting a specific crop, but they are no follow-up support training at the later stages of crop production, such as tending the growing crop and harvesting. They also emphasised that follow-up training are necessary to address any problems arising during the production period.

Objective Catalyzing farmers’ clubs innovation forums ‐‐‐

Activities Measurable Implementer Indicators Timescale outputs (monitoring)

1) Mobilization of Membership CDHI‐Panchayts‐ Number of farmers One year to farmers farmers clubs and begin with Regularity of Buxa vikash abhiyan Attendance at the and then meeting (no) meetings continue Banks and agriculture department

2) Training and Number and CDHI‐Panchayts‐ Training events Continuous other capacity types of events farmers clubs and building inputs Buxa vikash abhiyan Farmers trained

Banks and Agriculture Department

Linkages CDHI‐panchayts‐ Visit of by the Continuous 3) Facilitating facilitated farmers clubs and bankers linkage with Buxa vikash abhiyan banks and Visit and other Banks and collaboration of institutions Agriculture departments Department Bank facilities –kcc others obtained

4) Counselling Counselling CDHI‐panchayts‐ Number of One year them not to events farmers clubs and counselling events then use non‐native buxa vikash abhiyan continuous and invasive Benefitted farmers Banks and species Issues agriculture department

5) Creating Innovations CDHI‐Panchayts‐ Number of farmers awareness carried out farmers clubs and about the Buxa vikash abhiyan Subjects existing provisions of Banks and conservation Agriculture using the Department earlier action plans (5.2)

6) Disseminating Communities CDHI‐Panchayts‐ Communities and Continuous the learning to farmers clubs and 32

other communities Buxa vikash abhiyan population covered and the government Banks and Activities adopted agencies Agriculture Department New activities taken up

5.4. WORK WITH PANCHAYAT TO REORIENT AND SHARPEN THEIR GOVERNANCE EFFICIENCY

This is a cross-cutting deliverable rather than stand alone intervention which will influence the achievement of other plans. This activity will help develop and implement all other activities.

Panchayats are the local level self-governance institutions which, in India, cover virtually all development programmes and activities. They have a strong interface with the Department of Forestry and others related to agriculture, fish culture, horticulture, livestock, etc. The Indian planning system follows a bottom-up approach which would mean that priority for different programmes and activities would evolve from the bottom, Gram Sabha (Village Assembly) and shall form part of the larger planning process. It is said that quality of governance would be determined by the robustness of Gram Sabhas.

The functionaries of the Panchayati Raj Institutions (PRIs), however, lack awareness and capacity to evolve bottom-up processes and programmes, articulate and analyse various priorities and monitor functioning of different programs objectively. Implementation of various action plans would depend largely on the efficacy of the Panchayats. The FGDs and different levels of consultations bring to the fore the need to orient and strengthen the Panchayat system.

Temporal and geographical Scale

The focus will be on the local Panchayat in Rajabhatkhawa. This would be long term program and would continue beyond the formal project period.

REASONS FOR PRIORITISATION

Strengthening the local Panchayat was considered a high priority by men and women in Buxa and women in Jayanti, and medium priority by men in Adma.

There has been a feeling among the stakeholders especially the local communities that:

• Panchayat Raj Institutions (PRIs) are not working properly in delivering adequate services to the people whom they represent, • Citing examples the communities felt that the most famous employment guarantee scheme of the government has not been able to reach the beneficiaries in good proportion (equitably?), • The governance efficiency of the functionaries needed to be enhanced, • Their level of awareness about the diverse subjects including biodiversity and livelihoods is far from being adequate as a result they are not able to relate to the issues properly, and 33

• They lack comprehensive understanding of the development issues and as a result, they are not able to integrate them.

GENDER AND AGE MAINSTREAMING

This is a cross-cutting deliverable which will affect men, women, girls and boys. Panchayats in West Bengal are deeply entrenched with significant number of women as officials and members of the Panchayat. Improving and strengthening Panchayts would lead to improving the situation of men- women and boys and girls.

ACTIVITIES

Following activities have emerged as the priority:

• Creation of awareness about the objectives and expected outcome of HighARCS research, • Help them integrate the HighARCS components into their priority • Training for micro-planning and helping them fine tune their agenda to support the planned activities of HighARCS under their regular programs • To help them take the learning of the HighARCS to higher levels of their governance system, Panchayat Samittee at the Block level and Zila Parishad at the District level • Catalyze interfacing with different agencies and departments

More specifically the team will:

• Organize awareness building events and activities for the Panchayats • Training on micro-planning and integrating HighARCS components into their agenda • Organize training for the Panchayat staff on the aspects of aquatic resources and their relationship with the livelihoods and institutions, • Organize joint consultations with them on different actions as being proposed • Enlist their commitment to support various actions • Systematically share with them the outcome of the actions and • Involve them in bridging the gap • Produce information and training materials

The training etc can be implemented by the government as part of their regular programme. Since this is an integral part of local governance it would continue indefinitely.

INDICATORS OF SUCCESS

• Awareness building events organized • Number of training programs organized for them, • Number of actions integrated through Gram Sabhas, • Number of components supported by the Panchayats,

• Number of innovative programs supported by them and integrated into their mainstream programs • Number of Farmers Clubs/Cooperatives supported by them • Number of days employment offered to the villagers through NAREGA

POTENTIAL ISSUES

Not much. Availability of resource person may be an issue as many people do not want to traverse the long arduous distance.

Summary

Objective reorienting Panchayats

Activities measurable implementer indicators timescale outputs (monitoring) awareness building on bio‐diversity for ‐aspects on CDHI number of one year the Panchayats which Panchayat awareness line members built Departments of the subjects government

Panchayats training on micro‐planning for fine tuning ‐micro‐ CDHI number of one year high arcs project components into their planning micro‐planning mainstream programs events line events organized Departments organized of the higharcs government number of components subjects linked and Panchayats integrated integrated facilitating linkages of different agencies agencies and CDHI agencies linked continuous with Panchayats actors with line Departments of the government

Panchayats

5.5 SET UP A LIVESTOCK PROMOTION AND INSURANCE PROGRAMME

Livestock promotion has emerged as one of the important interventions to strengthen and supplement livelihoods endowments of the local communities in Buxa. The augmented livelihoods could help the community reduce their dependence on the floral and faunal resources. The animal dung can be an important resource to offer nutritional support to the soil and milk and meat produce would offer nutritional inputs to the community. Use of dung is considered useful supplement for supporting soil fertility and thereby conservation. In the neighbouring area livestock promotion is being attempted through medical care and insurance for the livestock to recover cost in case of death and illness. Insurance has been suggested to be an effective tool to deal with the vulnerability livestock and the local communities face in the event of illness and death of the livestock.

The main objective of the livestock is to promote additional livelihoods to the local communities and enable opportunity for enriched soil fertility. Insurance is proposed to deal with vulnerability livestock may eventually face.

REASONS FOR PRIORITISATION Livestock has been and continues to be an important livelihoods source. The breed, however, is local and vulnerable to various risks including attacks by wild animals and illness of various kinds. In one of our projects in the nearby Turturikhand we found that basic medical health support and insurance against diseases for cattle can be a useful intervention.

In Buxa, this was considered particularly important amongst the Dhukpa community of Adma cluster. This is because they keep large herds of cattle to make churpi, yoghurt etc, much of which are sold. These are crucial livelihood assets. The female respondents in Jayanti also saw this as a high priority; given that there is so little agricultural land people are disproportionately dependent upon livestock. They also face many problems due to animal disease so would like any intervention combined with veterinary training. This was considered a big priority by men and women in Jayanti and men in Adma. It was considered a medium priority in most other focus groups.

GENDER AND AGE MAINSTREAMING

Women and young people play a disproportionate role in livestock raising, so it is important that they are present where possible at training schemes and approaches adopted are responsive to their needs.

To begin with Cattle Health Camp (CHC) would be organized in 28 Basti of Jayanti (a hamlet in Jayanti) which would serve multiple purposes of diagnosis and treatment and the range of diseases that afflict the local breed would be identified. At another level the community members would learn about the basic care and first aid for the cattle. The process may lead to placing some of the paramedics to the areas to offer guidance and treatment. These meetings will be organised as part of Farmer Clubs in the case of Jayanti. In Buxa and Adma separate independent training will be offered, with a focus on pig and goat rearing in Adma.

Insurance is an important instrument, offered by different agencies in the government and the non- government sectors, to recover the cost of the cattle in case they die. However, to receive compensation there is a set norms and procedures which farmers must follow. A training event will, therefore, be organized to create awareness about the existing provisions applicable to different insurance agencies and their products.

Another way to cushion this exigency is to set-up/constitute and maintain an emergency fund. This would operate through mechanisms whereby each member pays a fixed amount, say Rs10 per month to a centralised fund. If someone’s animals die, then they could get money back as insurance. Some respondents also said they would like veterinary training to reduce animal illnesses. This could go side by side with the insurance.

This scheme could form part of the remit for one of the SHGS or Farmers Clubs mobilised for other initiatives outlined in this plan. The intervention can start immediately in all the three clusters where community volunteers can take the lead. CDHI would invite the experts and meet part of their expenses.

INDICATORS OF SUCCESS

We would need to collect data before the intervention, including the number of livestock held by a sample of households, and the number of livestock deaths over a given period. Then 6 months and 1 year after implementation of the scheme, we could ask follow-up questions relating to animal deaths, and whether or not insurance money was received (and the value of the payment) to ensure the scheme is operating effectively.

POTENTIAL ISSUES

We would need to ensure the payments are acceptable and sustainable for participants and agree how money should be collected. Furthermore, a failed scheme previously had made some respondents a little doubtful. There had been a UCO livestock insurance scheme before. One respondent had claimed that he never received the money for a cow of his that had died. He had to take the cow’s ear as proof it had died, but the bank refused to pay out the money.

Women in Jayanti also said that there was a Department of Forestry scheme before offering livestock with insurance papers. However, the local people did not know how to make the monthly instalments, and what the procedure was, and as a result when animals died they did not receive the payments.

Summary

Objective ‐ livestock promotion and insurance …

Activities Measurable Implementer Indicators Timescale outputs (monitoring)

Organization of livestock Number of camps CDHI/Livestock Number of One year Department/

health camp Panchayat camps

Number of cattle examined and treated

Difference in availability of milk/ meat

Training to the cattle owners Number and type CDHI/Livestock Number of One year of training Department/ owners Panchayat Type of training

Training in composting and Number and type CDHI/Livestock Number of One year organic manure preparation of training Department/ community Panchayat members trained

Application of manure in Amount of CDHI/Livestock Quantity of Continuous plantation and fishery manure used Department/ manure Panchayat Nature of use

Insurance plan launched Plan CDHI/SHG/Panchayat Plan One year

Implementation of insurance Implementation CDHI/SHG/Panchayat Persons helped Continuous plan plan Amount of risk cover

6.0 REJECTED PLANS The process of evolving IAP enthused the local communities and some of the local Panchayat members who suggested several activities. On further scrutiny they were rejected because of several factors –impractical and time taking, being cost intensive, interfering with the local native flora and fauna because of their invasive nature and so forth. They were subsequently dropped. Some of the activities earlier planned included:

• Build kitchen gardens in schools

• Building small water storage catchment facility and

• Aquaculture

7.0 SUMMARY AND ASSUMPTIONS OF ACTION PLANS The Integrated Action Plan relates to the three components: conservation and biodiversity; institutions; livelihoods. These are the primary components of the project. The action plans have evolved following a number of steps and processes the project has followed. During the assessment, research and interactive sessions, several issues emerged which became the reference points for action plans. Brainstorming on these points during the focused group discussions (based on gender and age) helped to refine proposed actions in consultation with the different stakeholders. The action plan should be considered not only as outcome of the FGDs but as outcome of the entire methodological process being followed in the course of the implementing the project.

Furthermore, the action plans, indicate priority as emerged out the project process and as such, should not be considered as getting the full commitment of the stakeholders in supporting the implementation of the action plans. Rather, they offer an understanding of the possibilities to address the issues emerging out of the process. Finer details of the action plans will need to be worked out subsequently before implementation.

Most of the action plans suffer limitations of budgetary commitment. The approach, as outlined, therefore, was taken to develop collaboration and partnership with existing agencies and stakeholders, and to dovetail the action with mainstream programmes and activities. The action plan, therefore, is flexible and includes several actions which may not be viable so far testing them on the ground is concerned. Also the implementation of the action plans will require committed person power and resources which, as it exists now, does not seem to be adequate. The outcome of the action plans would depend upon the compatibility of the program with the mainstream programs, financial management and strategy adopted. Depending upon the initial trend only a few action plans may prove viable and successful. The action plans have been based on certain assumptions which may not stand the test of overwhelming risks and uncertainties. However, the trend and processes would offer important insights into understanding and addressing the issues related to biodiversity and its conservation, institutions and policy and livelihoods.

Although it is likely that not all interventions will be able to be followed-up, efforts have been made to ensure the action plan is integrated in character, as Figure 9 demonstrates. Each proposed intervention ties into other interventions, while enhancing livelihoods, institutional efficacy and biodiversity in more than one way. For example, the review of proposed interventions above has demonstrated how the creation of and strengthening of SHGS can potentially be used to facilitate the implementation of other interventions such as livestock insurance as well as training in bee keeping, handloom crafts (first mentioned here in the conclusion, please insert in previous text), non- conventional crops and medicinal plant collection. SHGS can also be used to facilitate sourcing of materials for these activities, as well as for the marketing of produce. The creation of a facility for water storage could enhance the effectiveness of non-conventional crop production through providing a source of irrigation, while also providing water for fish culture. Building of water catchment facilities and fish ponds meanwhile, could mobilise local labour under the NREGA (100 days work) scheme, offering the HighARCS team the opportunity to work with the Panchayat to improve the efficiency of this programme.

How can the proposed action plan meet the overall goals of HighARCS to strengthen rural livelihoods while protecting aquatic biodiversity? Figure 9 shows that each intervention can potentially strengthen rural livelihoods both directly and indirectly. There also has to be sensitivity towards

gendered and generational differences. The strengthening of rural livelihoods through activities not dependent upon forest and river resources such as non-conventional crop production and micro- enterprises can also reduce human pressure on fragile aquatic and non-aquatic ecosystems in the Buxa reserve. At the same time however, there are risks which must be accounted for, particularly with the construction of small water catchment facilities and aquaculture development, which could potentially harm aquatic biodiversity. With regard to institutions, it is evident from Figure 9 that work with the Panchayat on the NREGA scheme and the development of SHGS can enhance local institutions. These same institutions could potentially play a role in activities to manage natural resources in the future.

Figure 9: Diagram mapping the Integrated Action Plan for Buxa, West Bengal, India

The above diagram (Figure 9) has evolved in the process of participatory planning in which various kinds of activities were seen as possible options. Some are dabbles and achievable while others are partially doable and achievable. However, the activities as shown in the diagram represent realities of Buxa. The central theme suggests effective institutions as necessary condition for enhanced bio-diversity leading to enhanced livelihoods opportunities. The institutions are supposed to mediate reduction of pressure on the aquatic as well as forest eco-systems of Buxa. Activities as suggested in the plan are the possible ways to achieve this reduction in the pressure on ecosystems.

REFERENCES

Allen, D. J., Molur, S. and Daniel, B. A. (2011). The Status and Distribution of Freshwater Biodiversity in the Eastern Himalaya: IUCN. Cleaver, F. (1999). "Paradoxes of Participation: Questioning Participatory Approaches to Development." Journal of International Development 11: 597-612. Cleaver, F. (2001). "Institutions, Agency and the Limitations of Participatory Approaches to Development." In B. Cooke and U. Kothari (eds.), Participation: The New Tyranny. London and New York: Zed Books. D. Pritchard (2010). Wise use of Wetlands: Concepts and Approaches for the wise use of Wetlands. 4th Edition, Volume I Switzerland: Ramsar Secretariat Government of India (1972).Indian Wildlife Protection Act,as Ammended in 2003. McCartney, M. and Smakhtin, V. (2010). Water Storage in an Era of Climate Change: Addressing the Challenge of Increasing Rainfall Variability: International Water Management Institute. Mishra, R., Ray, D. and Sugden, F. (2011). "Highland aquatic resources & livelihoods: Buxa, West Bengal." Report Compiled for EC funded project: HighARCS. Jalpaiguri: Centre for the Development of Human Initiatives Springate-Baginsky, O., Allen, D. and Darwall, W. (eds.) 2009. An integrated wetland assessment toolkit. A guide to good practice. IUCN, Gland, Switzerland and IUCN Species Programme, Cambridge, UK Sugden, F. and Punch, S. (2011). Highland Aquatic Resources Conservation and Sustainable Development: Overview Report on Livelihoods and aquatic resource use in upland India, Vietnam and China Stirling: University of Stirling. Upadhyay, B., Samad, M. and Giordano, M. (2005). Livelihoods and Gender Roles in Drip- Irrigation Technology: A Case of Nepal. Colombo: International Water Management Institute. Work Package (WP 3,4,5,5.2,2011). Buxa Site reports, HighARCS, CDHI

Annexure

One of the posters showing integrated eco-system prepared and disseminated among the community in Buxa

Annex 5

ACKNOWLEDGEMENTS

The project “Highland Aquatic Resource Conservation and Sustainable Development (HighARCS) is a European Commission (EC) funded project. This publication is an output of the HighARCS project which received research funding from the European Community’s Seventh Framework Programme [Grant Agreement No. 213015]; this publication reflects the authors’ views and the European Community is not liable for any use that may be made of the information contained herein. This report is the outcome of cooperation between many stakeholders such as National Lake Region Special Area Development Authority (NLRSADA) , Department of Fisheries, Uttarakhand, Directorate of Cold Water Fisheries Research, Bhimtal, Nainital Nagar Palika Parishad (NNPP), Bhimtal Municipality, Naukuchiatal Panchayat, Uttarakhand (Bhimtal) Irrigation Department, local people, local schools‐colleges, local NGOs, Department of Agriculture, Govt. of Uttarakhand, Kisan Bank, Boat drivers, Fishers, Tourists and our research team. The guidance from European Union (EU) experts requires special mention because their guidance were indispensable for us to learn the procedure and method for this research work and to form the framework of this report.

INTEGRATED ACTION PLAN

CONTENTS Page No.

LIST of FIGURES LIST OF TABLES Executive Summary

1. INTRODUCTION 1.1 PROJECT INTRODUCTION 7 1.2 NAINITAL LAKES SITUATION ANALYSIS AND THE MANAGEMENT ISSUE 8 1.3 OVERALL AIMS OF THE PROJECT AT THE SITE 13 2. ASSESSMENT METHODOLOGY 14 3. OVERVIEW OF BIODIVERSITY AND ECOSYSTEM SERVICES VALUES(WP3) 18 3.1 BIODIVERSITY AT THE SITE 19 3.2 THREATS TO BIODIVERSITY 23 3.3 ECOSYSTEM SERVICE VALUES 25 4. OVERVIEW OF LIVELIHOODS 29 5. OVERVIEW OF INSTITUTIONS, POLICY AND CONFLICT 32 6. SYNTHESIS CHAPTER 36 7. ACTION PLANNING PROCESS AND METHODOLOGY 38 8. MANAGEMENT PROPOSALS 43 BIBLIOGRAPHY 76

LIST OF FIGURES

Figure 1 Location of the HighARCS project site in Nainital, Uttarakhand, India 7

Figure 2 Maps of the lakes and surrounding land cover of Nainital (left) and Bhimtal and Naukuchiatal (right) 10

Figure 3 Development process of the proposed Integrated Action Plan 17

Figure 4 Process of Research 18

Figure 5 Maps of Nainital (left) and Bhimtal (right) showing major sources of pollution to the lakes 24

Figure 6 Average score given to each ecosystem service 27

Figure 7 Areas generating and benefiting from the ecosystem services tourism (left) and water provision (right) 29

Figure 8 Flow Chart showing IAP approach 40

Figure 9 Formulation Process of final Integrated Action Plan 42

LIST OF TABLES

Table 1 Globally threatened species (those listed as Critically Endangered, Endangered and Vulnerable) found within the wider catchment of the site according to the IUCN Red List 19

Table 2 Economically important and threatened species found at the site 21

Table 3 Results of the ecosystem service prioritization survey 26

EXECUTIVE SUMMARY

Highland Aquatic Resources Conservation and Sustainable Development or HighARCS encompassing five sites in Asia (Guangdong, China; Uttarakhand and West Bengal, India; and Northern and Central Vietnam) is a study with an aim to conserve the highland aquatic resources and improve livelihood strategies of the local people simultaneously, i.e., sustainable development without affecting the biodiversity of the concerned area. This study is focused on three most important highland water bodies (Nainital, Bhimtal and Naukuchiatal lakes) of the Nainital lake system situated in Nainital district of Uttarakhand. These three highland water bodies are important in terms of environment significance, tourist attraction as well as income and livelihood generation of the local people. The overall purpose of this study is to identify the needs and deficiencies of the different conservation, livelihood and policy issues in these communities, check the vigor of highland aquatic resources, build up and endorse wise‐use, livelihoods diversification(where necessary),augment poor’s livelihoods and conservation, amalgamate sustainable and wise‐use, livelihoods diversification and conservation with watershed, facilitate the adjustment of management priorities throughout the area and then to develop an integrated action plan focusing on these aspects . The approach adopted for this study is based on facilitating the interactive participation of communities and stakeholders who utilize these resources and associated ecosystem services. With this broad aim in phase 1, a situation analysis study (Situation Analysis Report, Uttarakhand Site, India [Work package 1]) was conducted with an objective to identify the site and management issue. In phase 2, separate detailed study on biodiversity values and ecosystem services(Biodiversity and ecosystem service values of Nainital, Uttarakhand [Work package 3] ); highland aquatic resources and livelihoods that depend upon them(Livelihood Report, Uttarakhand Site, India [Work package 4]); and legal and policy aspects regarding the various issue related to environment and protection of natural resources(Institutions, Policy and Conflict, Uttarakhand Site, India [Work package 5]) were undertaken. Then to collate the data on biodiversity, livelihood and institutions, policy & conflict, the integrated approach (toolkit) was pursued. This report is Integrated Action Plan (IAP) which aims to conserve and manage biodiversity along 4

with fulfilling and improving local community interests and livelihoods must combine biodiversity and ecosystem service values, livelihoods and institutions, policy and conflict issues and thereby take an integrated approach because the livelihoods of people are dependent on biodiversity and both biodiversity and livelihoods must be protected by a policy approach.

The proposed Action Plans in the IAP report have evolved as a result of swapping of facts and ideas within our research team and interactive participation on the part of stakeholders using PRA tools such as, Focused Group Discussion (FGDs), personal interview, data collection, workshop, case studies and Delphi method. Interactive participation of stakeholders in action planning and subsequent monitoring and evaluation is considered critical to ensure future development of aquatic resources in the region is sustainable and that aquatic biodiversity is conserved and enhanced.

Draft Integrated Action Plans were formulated on the basis of issues such as information and threats on aquatic biodiversity; its impact on livelihood of local people; socio‐economic facts related to the situation and legal and policy aspects related to aquatic biodiversity, focused on mitigation and or improvement. The issues, mitigation and improvement plans will be verified through a process of joint assessment and decision‐making with stakeholders. And on the basis of these verification discussions, the final Integrated Action Plan will be formulated and agreed.

The proposed actions from our team side, to solve the Management Issue(s) and the general aims of the project at our field site include 1) Monitoring on illegal fishing, 2) Fish release programmes, 3) Monitoring to prevent garbage and waste water disposal in and around the lakes, 4) Marketing of Handicrafts, 5) Marketing of Agricultural products, 6) Crop Protection, 7) Desiltation of Bhimtal lake.

In our Integrated Action Plan we have concentrated on realistic actions and identified their goals, timescale, main agencies in charge of implementation and/or finance, indicators for success, and difficulties which may be faced during implementation. The main focus of the proposed actions is to improve the management and conservation of aquatic resources in the

lakes as well as benefit the local people, which in other words, can also be termed as “Wise‐Use of Wetlands”.

1. INTRODUCTION

1.1 PROJECT INTRODUCTION

Highland Aquatic Resources Conservation and Sustainable Development or HighARCS aims to develop an understanding of the importance of aquatic resources in highland areas of Asia. It is focused on the highland aquatic resources and their functionality, management, exploitation, and their conservation at five sites in Asia, that is, Guangdong, China; Uttarakhand and West Bengal, India; and Northern and Central Vietnam. This study is focused on the Nainital lake system in Nainital District of Uttarakhand, India (Figure 1).

Figure 1. Location of the HighARCS project site in Nainital, Uttarakhand, India.

In phase 1, this study undertook a situation analysis to identify the site and management issue, then in phase 2 pursued the integrated approach (toolkit) to collate data on biodiversity, livelihood and institutions, policy & conflict. This document is the Integrated Action Plan (IAP) which aims to identify the needs and deficiencies of the different conservation, livelihood and policy issues in these communities and then to develop an integrated action plan focusing on these aspects.

1.2 NAINITAL LAKES SITUATION ANALYSIS AND THE MANAGEMENT ISSUE

Situated in the Kumaon foothills of the outer Himalayas and blessed with scenic natural splendor & varied natural resources, Nainital is ideally ‘a glittering jewel in the Himalayan necklace’. Nainital, the 'Lake District of India', possesses more than hundred of lakes amid them some are the exquisite beautiful lakes in India and attracts hundreds of domestic and foreign tourists every year. Although few among them are already dried up (we came to know this information by discussing with the local people). Few lakes attract tourists more than others due to their scenic beauty, easy accessibility and resource availability to becoming a tourist place. Nainital, Bhimtal, Naukuchiatal lakes are the three most important water bodies in Nainital in terms of environment importance, tourist attraction as well as income and livelihood generation of the local people. These lakes have its importance in the socio‐economic and cultural life of the people in the region and have varied uses from tourism, potable water, irrigation, and to fisheries in some cases. The livelihood of the most of the people, specially marginalized people living in the villages adjacent to these lakes are mostly dependent on these lakes. In the past, this area had plentiful aquatic resources and these aquatic resources and associated ecosystem services used to provide great benefits to people living there but there is little information on the present situation. But no detailed and comprehensive study has been conducted to understand the present status of biodiversity in the lake system and the dependence of the local people on these resources for their livelihood activities. This is the main reason why a study was undertaken at the start of the HighARCS project which focuses on the aquatic resources and the livelihood of the people in these areas (see Work package 3 and Work package 4, for further details).

In HighARCS project, Action Planning is the nub. By means, Action Planning involves stakeholders in joint appraisal and decision‐making with respect to highland aquatic resources planning and management. Three elements of action planning consist of conservation, livelihoods and policy issues, however instead of organizing action planning separately for conservation, livelihoods and policy concerns; it was decided to adopt an Integrated Action Planning approach because they (conservation, livelihoods and policy) are all inter‐related 8

concerns (problems and solution) and it’s impractical to hold separate planning activities (on conservation, livelihoods and policy) with the same group of stakeholders. This Integrated Action Planning approach seeks to point out apparent conservation, livelihoods and policy requirements and paucities; appraise anticipated actions with respect to possible depressing effects on conservation and livelihoods or conflicts with policy and existing management provision appraise; recognize suitable indicators applicable to conservation, livelihoods and policy for scientific and partaking supervision and assessment of impacts of Integrated Action Plans (IAPs); choose final action plans with regard to stakeholders’ priority, viability and worth and wise‐use of wetlands.

The three selected communities in our study are Pandeygaon village situated near Bhimtal lake, Chanoti village situated near Naukuchiatal lake, and Nainital proper (the area covering nearly 0.5 km radius surrounding the Nainital lake). Pandeygaon village is selected as it is the closest village to Bhimtal Lake and most of the people living there are engaged in agriculture and depend on the irrigated water of the lake for this, and they also collect water from the canal for different household purposes (to a limited extent). Chanoti village is selected being nearest village to Naukuchiatal Lake and most of the people living there are engaged in boat driving and tourism. Nainital proper area is selected because it is not only the heart of the city but a famous tourist place and the lakes being the centre of attraction of the tourists the livelihood of the local people mostly depends on these lakes, either directly or indirectly.

Figure 2.Maps of the lakes and surrounding land cover of Nainital (left) and Bhimtal and Naukuchiatal (right).

The approach adopted for this study is based on facilitating the interactive participation of communities and stakeholders who utilize these resources and associated ecosystem services. The different stakeholders such as the boat drivers, fishers, tourists, small shop and restaurant owners are dependent on these lakes’ ecosystem and associated services and apart from this, there are various non‐use values attached to the lakes. In our study, we have not included stakeholders related to spiritual interest and the reason behind this is that though Uttarakhand is commonly known as ‘Dev Bhoomi’ because of its religious significance but tourists generally visit our field sites i.e. Nainital, Bhimtal and Naukuchiatal to enjoy its natural scenic beauty. Though it is also true that there they do visit the places of religious interests but it is not generally the main reason behind their trip to HighARCS sites. The livelihood activities in this

region with respect to aquatic resource use and tourism industry, can be characterized into three types: directly dependent on aquatic resources (such as boating, fishing, agriculture etc), indirectly dependent on aquatic resources (such as hotels, resorts, restaurant owners etc), and not dependent on the lakes but are dependent on the tourism economy (such as travel agents, local site seeing services, tourist guides, photographers, car repairing, rickshaw pulling etc). These groups of people are dependent on the lakes (directly or indirectly) and the tourism industry to earn their living and make the most use of aquatic resources i.e. they are the ones who mostly influence the lakes (positively/negatively) and are affected by any changes in the lake. For example, tourists have both positive and negative impacts on biodiversity, supply of ecosystem services, as well as on the livelihoods of local communities. Positive effects associated with tourism development include: creation of job opportunities for unskilled, semiskilled and skilled workers; improvement in infrastructure, local arts and crafts, regional development and standard of living; encouragement of ecological awareness and conservation pollution control measures. Negative impacts attributed to tourism include pollution (throwaway mentality, congestion, hygiene problem , waste water from hotels or restaurants seeping into the lake water etc), destruction of forests for energy, eradication of fauna due to poaching and degradation of grazing lands due to camping activities.

Each year hundreds of domestic and foreign tourists are attracted to the sites included in the HighARCS study due its salubrious climate, scenic beauty, diverse flora and fauna, and range of activities on offer. There is a danger, however, that if the unique features of the region are destroyed, irrespective of who/what factors are responsible, tourists will stop coming and that would result in a serious negative effect on prevailing economic conditions. Different government organizations including the National Lake Region Special Area Development Authority (NLRSADA); Uttarakhand (Bhimtal) Irrigation Department; Nainital Nagar Palika Parishad (NNPP); Uttarakhand Jal Sansthan (UJS); Department of Fisheries, Uttarakhand; Directorate of Cold Water Fisheries Research, Bhimtal; G.B. Pant Institute of Himalayan Environment Development; G.B. Pant Nagar University of Agriculture and Technology and non‐ government organizations [NGOs,Unions,Local people, Schools and Associations] are engaged

in the development of various environmental and associated socio‐economic aspects thereby helping preserve the lakes and their biodiversity, and indirectly maintain the livelihoods of the vast majority of people that depend on these aquatic resources. The different organizations who are engaged in conservation and management of the lake ecosystem and its surrounding regions can be considered as advocates for wildlife and environment flows.The institutional situation at the sites is thus characterised by considerable complexity, making the issue of coordination of management responsibilities and practices one of the most important issues to address. In this respect, Water (Prevention and Control of Pollution) Act enacted in 1974 and Water (Prevention and Control of Pollution) Cess Act enacted in 1977 need special mention. The former act was endorsed to prevent and control water pollution as well as to maintain and restore the wholesomeness of water and lead to the establishment of the Boards for carrying out the aforesaid functions assigning power and functions relating thereto and for matters connected therewith. The Act was amended in 1988. The later act was endorsed to provide for the levy and collection of a cess on water consumed by persons operating and carrying on certain types of industrial activities. This cess is collected with a view to augment the resources of the Central Board and the State Boards for the prevention and control of water pollution constituted under the Water (Prevention and Control of Pollution) Act, 1974. The Act was last amended in 2003. The “Nainital Jheel Parikshetra Vishesh Kshetra Vikas Pradhikaran”, the Lake Development Authority notified under U.P. Special Area Development Act 1986 is a Special Purpose Vehicle (SPV) set up for implementing the restoration works.(See HighARCS 2011: Institutional, Policy and Conflicts Report ,Uttarakhand site, India for further details). According to the study on policies and institutions in Nainital Lake District undertaken in HighARCS, the creation of the National Lake Region Special Area Development Authority, commonly known as Lake Development Authority (NLRSADA) has increased the efficiency of the coordination of the many types of planning and management activities necessary to conserve the state of the aquatic resources of the lakes, regulatory measures have been successfully introduced at the Lake Nainital itself. Yet, such measures have not been sufficiently organised for the two other lakes included in this HighARCS site and this therefore needs to be addressed. However, it appears that the more centralised administrative set‐up has happened at the expense of the 12

participation of the local institutions and community groups, although some successful attempts of involving existing groups have been recorded (HighARCS 2011: Institutional, Policy and Conflicts Report Uttarakhand site, India).

In a nutshell, we can say that the key objective for the proposed action plan should be to monitor the health of highland aquatic resources as well as develop and promote wise‐use. By “wise use of wetlands”, we mean, the maintenance of ecological character, sustainable utilization for the benefit of mankind in a way compatible with the maintenance of the natural properties of the ecosystem (For more details go to Pg.39).Such an approach is necessary for livelihood diversification and to enhance poor livelihoods, by integrating conservation and sustainable development. However, interactive participation of stakeholders in action planning and subsequent monitoring and evaluation is considered critical to ensure future development of aquatic resources in the region is sustainable and that aquatic biodiversity is conserved and enhanced.

1.3 Overall aims of the project at the site

The three sites of Nainital, Bhimtal and Naukuchiatal are based on three sets of aquatic resources that is, the three lakes. Due to population pressure, and dependence on these aquatic resources for livelihoods in the context of limited alternative employment opportunities, there is arguably a need to conserve these resources. The lakes should be managed and maintained well since it is not only an important site for natural attraction but also for its biodiversity. However, livelihoods of poor and vulnerable groups should also be protected. Hence, the purpose of this study is to identify the needs and deficiencies of the different conservation, livelihood and policy issues in these communities, check the vigor of highland aquatic resources, build up and endorse wise‐use, livelihoods diversification(where necessary),augment poor’s’ livelihoods and conservation, amalgamate sustainable and wise‐ use, livelihoods diversification and conservation with watershed, facilitate the adjustment of management priorities throughout the area and then to develop an integrated action plan focusing on these aspects .

2 ASSESSMENT METHODOLOGY

If wetland assessment is to be functional to real‐world wetland management planning and decision‐making, it must espouse an integrated approach. An integrated approach entails evaluating the three major facets of the wetlands interaction with human society:

¾ assessment of the biodiversity and value of the ecosystem services wetlands provide. ¾ contemplation of wetlands’ role in local people’s well‐being through a livelihood assessment. ¾ deliberation of institutions, policies and conflicts since the human management and use of wetlands involves a policy and governance context.

While biodiversity assessment offers the way to set up the associations between ecosystem vigor and the provision of particular goods and services, economic appraisal of ecosystem services conveys the economic connotation of these services for human welfare, livelihoods analysis depicts the elements of human well‐being in relation to ecosystems and the economy and consideration of institutions, policies and conflicts expresses how human use of wetland is mediated. Jointly, an integrated approach to wetland evaluation which includes all these aspects enables the connections between wetland biodiversity and ecosystem services, livelihoods, and human well‐being to be portrayed, and the various institutions, policies, and conflicts which temperate and outline these connections to be comprehended. Precisely, integrated approach includes appraisal of biological, ecological and socio‐economic aspects of wetlands, along with their status, trends, and menaces. To be effectual, evenhanded and sustainable in performance, wetland management rejoinders must be enlightened by a perceptive of all of these facets, including their communal causality and interconnectivity. To assemble the information necessitated to enlighten the action plan for our project, we pursued an integrated assessment approach, which embraces determining the health of the aquatic resources as well as understanding the significance of the livelihoods reliant on it steered by a policy structure. It is the process of unfolding the status and individuality of a particular wetland including its traits, functions and the ecosystem services that it spawns and the measures that

could be taken for the preservation of these resources. Effectual management of these resources cannot happen devoid of proper policies to direct decision‐making and resource allotment. Improved understanding pertaining to the character of policies need can only be attained in the course of an assessment of the aquatic resources and linked ecosystem services.

Previously as part of HighARCS activities in the Uttarakhand field site, a detailed study of biodiversity values and ecosystem services was undertaken (included under Work package 3 and see section 3 for a summary of this work package results). Conservation of aquatic resources in the field site is possible through information on biodiversity and on threats to that biodiversity. It also includes assessing the costs and benefits of investment and development activities. A study was also conducted regarding highland aquatic resources and livelihoods that depend upon them (included under Work package 4) because an analysis of the livelihood conditions of the local men, women, boys and girls, focusing on sustainable resource use promotion and poverty reduction, become necessary. Apart these studies, a study was also commenced to understand the legal and policy aspects regarding the various issue related to environment and protection of natural resources because that would facilitate in formulation and implementation of Action Plans useful for the conservation of the biodiversity of the lakes as well as for nourishing the livelihoods of the people (included under Work package 5). The rationale behind the study of institutions, policy and conflict is that livelihood assessments based on gender and age should not only focus on people’s assets and capabilities, their strategies and opportunities for earning incomes, their level of dependence on aquatic resources for these activities but also on the policies which are aimed on enhancing these incomes. These policies include National Rural Employment Guarantee Bill (providing at least 100 days of guaranteed wage employment in every financial year to every household whose adult members volunteer to do unskilled manual work), Swarnajayanti Gram Swarozgar Yojana (Golden Jubilee Village Self‐employment Scheme: organizes poor families above the poverty line in self‐help groups by providing a mix of bank credit and government subsidies ), Sampoorna Grameen Rozgar Yojana (Full Village Employment Scheme: aims to provide additional wage employment in all rural areas and thereby ensure food security and

improvement of nutritional levels), Rural Employment Generation Programme (creates self employment opportunities in rural areas and small towns), and Prime Minister’s Rozgar Yojana (Prime Minister’s Employment Scheme: provides self‐employment opportunities to the educated unemployed youth by assisting them is setting up any economically viable activity).Findings from these assessments will be used to inform the development of the proposed integrated action plan to maintain the condition of these aquatic resources and establish sustainable and wise‐use of these resources. [Please refer to Figure 3] Based on a number of site selection criteria, the field site in Uttarakhand encompassing Nainital, Bhimtal and Naukuchiatal Lakes and nearby villages was selected for inclusion in the HighARCS project and a series of studies undertaken. Firstly, informal focus groups were conducted separately with men, women, girls and boys around Naukuchiatal Lake who are engaged in different activities like boating or running restaurants. Combined with outcomes of other discussions this revealed that most boatmen or restaurant owners associated with Naukuchiatal Lake are from Chanoti village. From a general discussion with the local people around Bhimtal Lake and from the Irrigation Department in Bhimtal it was ascertained that lake water is channeled through canals to nearby villages. One such village near the lower side of Bhimtal Lake is Pandeygaon where lake water flowing under gravity reaches the village through a canal. People living in the part of the village receiving this water were selected for inclusion in the study and referred to subsequently as the Bilaspur community. Pandeygaon village is selected as it is the closest village to Bhimtal Lake and most of the people living there are engaged in agriculture and depend on the irrigation water of the lake for this, and they also collect water from the canal for different household purposes. Nainital town was selected for assessment as it is the heart of Nainital district as well as famous tourist place and the lakes being the centre of attraction of the tourists the livelihood of the local people mostly depends on this lake, either directly or indirectly. After gaining a general understanding of the livelihood situation, three communities were selected for a survey and more in depth study. After information was gathered from Focus Groups in Nainital, Bhimtal and Naukuchiatal about the livelihoods of men, women and young people and associated problems they encounter, a detailed household study was done in Nainital, Pandeygaon village (Bhimtal) and Chanoti village (Naukuchiatal).In this way, data has 16

INTEGRATED MANAGEMENT OBJECTIVES

RESEARCH/MANAGEMENT QUESTIONS

Post-hoc surveys to fill in key knowledge gaps in interface areas

INTEGRATED REPORT

INTEGRATED BIODIVERSITY&ECOSYSTEM SERVICES, LIVELIHOOD, INSTITUTIONS, POLICIES&CONFLICTS INFORMATION AND MANGEMENT

MANAGEMENT PROPOSALS

Figure 3: Development process of the proposed integrated action plan

been collected by moving from a general and broad overview of the livelihood strategies and aquatic resources to a more detailed and particular understanding (Figure 4).

Selection of Nainital District

Selection of the three main lakes

Naukuchiatal Bhimtal Nainital

Informal Focus Group Informal Focus Group Informal Focus Group

Selection of Three Villages

Chanoti Pandeygaon Nainital

Survey Survey Survey

Focus Group Focus Group Focus Group

Figure 4: Process of Research

3. OVERVIEW OF BIODIVERSITY AND ECOSYSTEM SERVICE VALUES (WP3)

Following the methodology listed above (section 2) the freshwater biodiversity and ecosystem services present at the Nainital site was identified and valued. Below is a summary of the findings, but please see Biodiversity and ecosystem service values of Nainital, Uttarakhand for the full report that presents and discusses all the results.

The Central Himalayan lakes are mostly located at the Kumaon region. Although being at the sub‐tropical part of the globe, the lakes are subject to prevailing sub‐temperate climatic conditions owing to the altitude. The lakes under study include Nainital, Bhimtal, and

Naukuchiatal. These lakes contain not only a diverse array of aquatic biodiversity but as well as provide a number of different ecosystem services.

3.1 Biodiversity at the site

On the basis of resources(time and financial) availability, know‐how and on hand data, the direct utilization of species by communities and the use of species as indicators to check probable actions put in place through the IAP, the taxonomic groups researched at the HighARCS sites had been selected. Accessible information on aquatic biodiversity at the sites is very good for fishes, but less for other groups. As indicators of water quality, which is one of the major threat to ecosystem services at the sites, the monitoring of noxious pollution, bio amassing and changeable populations and/or growth of certain species of fishes, molluscs, and plants were used. Therefore fishes, molluscs, and plants are the taxonomic groups selected for research in the HighARCS sites.

A total of 91 species of fish, 56 molluscs and 62 odonates had been identified and assessed for the wider catchment. Unfortunately due to the lack of reliable location data, it was not possible to identify the aquatic plant species from the wider catchment, however 186 species of aquatic plants from selected plant families had been assessed from the wider Ganges/Brahmaputra basins and the species that are found at the sites can be linked to these assessments but none of these species are globally threatened. An extract of the globally threatened animal species can be found in Table below but all four of these threatened species are fishes.

Table 1. Globally threatened species (those listed as Critically Endangered, Endangered and Vulnerable) found within the wider catchment of the site according to the IUCN Red List.

categories CR, EN and VU are classed as the ‘threatened’ categories. ‘*’ indicates a draft Red List assessment, that still needs to be peer reviewed.

Family Binomial IUCN Red List IUCN Red List Criteria Category

CLARIIDAE Clarias magur EN A3cde+4acde

CYPRINIDAE Puntius chelynoides VU B2ab(i,ii,iii,iv,v)

CYPRINIDAE Schizothorax richardsonii VU A2acd+3cde+4acde

CYPRINIDAE Tor putitora EN A4acde

The results of the biodiversity assessment show that the lakes possess a wide variety of fauna and flora which includes 42 freshwater fish species, at least 9 mollusc species and 14 aquatic plants species.Of the fish species 37 are native while the remaining are non‐native introduced species, namely, Ctenopharyngodon idella (grass carp), Cyprinus caprio (common carp), Hypophthalmichthys molitrix (silver carp) [helps to control algal blooms] and Carassius carassius (crusian carp) and mosquito fish (Gambusia affinis) [helps to control mosquito larvae] all of which can have negative impacts on native species and the ecosystem. In Nainital all five fish species (mentioned above) were introduced, but in Bhimtal and Naukuchiatal, except crusian carp (Carassius carassius), the other four fish species (mentioned above) in addition with grass carp (Ctenopharyngodon idella) were introduced. In Nainital, Bhimtal and Naukuchiatal the common indigenous species are the barbs (Puntius species), Rohu (Labeo rohita), Catla (Gibelion catla) but in case of Nainital one extra name is to be added, that of Barna Baril (Barilius barna) while in case of Bhimtal and Naukuchiatal Mrigala Carp (Cirrhinus mrigala) is common. In Nainital all the common indigenous fish species except the barbs have some economic importance while in Bhimtal and Naukuchiatal, mrigala carp is harvested for food. According to the IUCN RedList, two globally threatened species Tor putitora (Golden Mahseer)

and Schizothorax richardsonii (snow trout) assessed as Endangered and Vulnerable, respectively are present in the lakes. After eutrophication of the lakes, fish stocks severley declined with the mahseers (Tor spp.) and other species becoming extirpated. After conservation measures improved water quality Govind Ballabh Pantnagar University of Agriculture and Technology (for Nainital) and the Directorate of Coldwater Fisheries Research (DCRF) (in Bhimtal and Naukuchiatal) have released mahseer fish fingerlings (Tor tor and Tor putitora) and are continuing conservation stocking of the lakes.

Table 2. Economically important and threatened species found at the site

The IUCN Red List categories are EX – Extinct; EW Extinct in the Wild; CR – Critically Endangered; EN – Endangered; VU – Vulnerable; NT – Near Threatened; LC – Least Concern; DD – Data Deficient; NA – Not assessed. The categories CR, EN and VU are classed as the ‘threatened’ categories. ‘*’ indicates a draft Red List assessment, that still needs to be peer reviewed.

Species binomial Common Lakes present IUCN Red List Economic Population trend name Category importance at site

Carassius carassius Crusian carp Nainital Introduced Negligible Occasionally found

Chagunius chagunio Chaguni Bhimtal; LC High Occasionally Naukuchiatal found

Cirrhinus mrigala Mrigala carp Bhimtal; LC Food fish Common Naukuchiatal

Cyprinus caprio Common Nainital; Introduced Dominant in fish Abundant carp Bhimtal; catches Naukuchiatal

Garra gotyla Sueku head Nainital LC High Occasionally found

Labeo calbasu Orange fish Bhimtal; LC Food fish Occasionally labeo Naukuchiatal found

Species binomial Common Lakes present IUCN Red List Economic Population trend name Category importance at site

Labeo rohita Rohu Nainital; LC High value food Abundant Bhimtal; fish Naukuchiatal

Mastacembelus Spiny eel Bhimtal; LC High value food Occasionally armatus Naukuchiatal fish found

Schizothorax Nainital DD Important for kumaonensis angling

Schizothorax Hill trout Nainital Not assessed Important for plagiostomus angling

Schizothorax Snow trout Nainital; VU Important for richardsonii Bhimtal; angling Naukuchiatal

Tor putitora Golden Nainital; EN Food fish and Abundant Mahseer Bhimtal; angling Naukuchiatal

Tor tor Mahseer Nainital; NT Food fish and Abundant Bhimtal; angling Naukuchiatal

Of the mollusc species identified Lymnaea acuminate, L. luteola ., Gyraulus convexiusculus, Bellamya(viviparous) bengalensis are the important species of molluscs in Nainital, whilst in Bhimtal and Naukuchiatal, mainly Lymnaea sp. are found. Populations of Lymnaea acuminate and Gyraulus convexiusculus are reportedly declining in the lakes as their eggs are being eaten by the introduced mosquito fish. However all of the molluscs species are assessed as Least Concern, according to IUCN Red List Categorization, and none of them were known to have any direct economic or livelihood value.

Fourteen aquatic plant species were identified at the site, of which Potamogeton crispus, Hydrilla verticillata and Persicaria sp are dominant. None of the plants are known to be of global conservation concern (all assessed as Least Concern) or having any notable use except Nelumbo nucifera (lotus flower) which is mainly used for decorative purposes.

Coldwater carps and freshwater bivalves have been identified as potential indicator species as both groups are sensitive to low oxygen levels and pollution.

3.2 Threats to biodiversity

Among the many threats that the lakes are facing the primary threats are pollution from urban waste, agricultural pollution, sedimentation and surface runoff which is causing nutrient levels in the lakes to increase (see Figure 3). Nainital is classed as a nutrient rich hyper‐eutrophic lake, with very low water transparency, and suffers from frequent blue‐green algae blooms (Gupta et al. 2007), with Bhimtal and Naukuchiatal lakes classed as being mesotrophic (Pangare et al. 2006). In Nainital during the winter months, low oxygen levels have led to major fish kills of coldwater carps. Another increasing problem in all the lakes is that of litter, particularly in Bhimtal, and the reason behind this is increasing tourist numbers. Overharvesting of fish has caused the declines of many fish species, but now fishing is banned in Nainital and restricted in Bhimtal and as a result of poor water quality as well as not much and appealing fish availability, fishing is not common in Naukuchiatal. Among the introduced fish species Ctenopharyngodon idella and Cyprinus caprio are known to completely eliminate aquatic plants in introduced habitats altering trophic structure, they also remove spawning substrate, disurb sediment and muddy waters; Hypophthalmichthys molitrix feed on plankton that is required by native species including larval fishes and bivalves; and Gambusia affinis are extremely aggressive and attack other fish, shredding fins and sometimes killing them, they are also increasing the nutrients in the lake due to their large population size and are eating the eggs of native gastropod species. However various programs have been run that help to improve the quality of lakes, such as, hypolimnetic aeration system, Mission Butterfly. National Lake Region Special Area Development Authority (NLRSADA) has taken up a programme to oxygenate the hypolimnic

layer of the lake through a hypolimnetic aeration system, with aim of increase fish growth and reducing winter kills. Also ni 2007 the National Lake Region Special Area Development Authority (NLRSADA) set up a project called Mission Butterfly, which developed an Integrated Solid Waste Management (ISWM) system for 25 clusters (each consisting approximately 250 families) in Nainital town.

Figure 5. Maps of Nainital (left) and Bhimtal (right) showing major sources of pollution to the lakes.

3.3 Ecosystem service values

An ecosystem is a community of animals and plants (macro‐ as well as micro), continually interacting with one another and their physical environment. Ecosystem Services are the benefits that people obtain from these ecosystems (See Work package 3 for further details). The ecosystem provides various services or benefits to the people. These are provisioning, regulating, supporting and cultural services.

Ecosystem services that are valued most are tourism, water purification, recreation and water for drinking, with nutrient cycling, climate regulation and water regulation being the least valued. However, different stakeholder groups prioritized different services, with boatmen, fishermen, hotel owners, National Lake Region Special Area Development Authority, tourists, small shop owners and Nainital Nagar Palika Parishad all valuing tourism the highest, whereas the Irrigation Department and farmers valued water for agricultural use the highest, teachers valued water for drinking and fish harvesting the highest, the Directorate of Cold Water Fisheries Research, Bhimtal and National Lake Region Special Area Development Authority valued water purification, whereas the students valued the educational services provided by the lakes the highest. Thus, it can be said that the lakes serve as a lucrative source of varied ecosystem services, whilst biodiversity supported by the lakes must be protected as it helps maintain the balance and resilience of the ecosystem.

Table 3. Results of the ecosystem service prioritisation survey

Types of Ecosystem Stakeholder Group (10= high value, 1 = low value)

Service Red square = Each stakeholder group highest ranked service

Blue square = Stakeholder group lowest ranked service

Dp. owner

owner

drivers

shop

Sansthan

Boat Fishers Hotel Irrigation DCFR NLRSADA Jal Tourists Teacher Student Farmer NNPP Small Cultural Tourism 10 10 10 9 4 9 9 10 10 3 6 7 10

Spiritual sites and 9 5 8 7 2 4 4 8 8 5 5 5 7 areas

Recreation 8 7 8 7 2 7 7 9 9 3 7 7 8

Education 7 3 8 1 7 1 1 2 8 6 9 1 3

Provisioning Water use for 6 5 6 7 3 7 10 6 5 7 6 7 7 services human

Water use for 7 7 6 10 2 3 3 3 3 5 5 10 3 agriculture water

Fishes for own 6 7 5 3 3 2 2 8 7 7 8 8 6 consumption

Regulating Climate regulation 2 2 4 3 6 4 4 4 2 2 1 2 3 Services Water regulation 2 3 2 5 7 3 3 3 2 2 2 2 5

Water purification 7 8 7 8 8 9 9 9 7 5 6 7 9

Supporting Nutrient cycling 1 1 1 1 3 2 1 1 1 2 1 1 1 services

Figure 6 (below) shows the average score given by each stakeholder group, it indicates how much value each group placed on the ecosystem services provided as a whole. All groups 26

scored between 4 and 6, with hotel owners and boat drivers giving the highest average score of 5.9, closely followed by tourists (5.7) and NNPP and small shop owner (5.6). Teachers and the DCFR gave the lowest average score of 4.3.

Figure 6. Average score given to each ecosystem service

Tourism is the key industry of the Nainital district, providing income for many of the local populace and is also the most valued ecosystem service provided by the lakes. Tourism is the only cultural ecosystem service to receive the highest value score of 10, it receives this from NNPP(issue licenses for boating, impose toll taxes, and collect tax for keeping clean adjacent areas of Nainital Lake and this revenue is highly linked with the tourists generating a larger revenue during tourist season), small shop owner, hotel owner, boat drivers (these three groups depend directly upon tourism for their livelihood), tourists and fishers (even though commercial fishing is not legally undertaken in the three lakes, illegal fishing does exist and is marketed to locals as well as tourists). Tourism receives a score of 8 or more from all the stakeholder groups apart from the farmers (7), students (6), DCFR (4) and teachers (3). Figure 7 illustrates that the entire upper catchment that include the 3 lakes create the natural visual significance that magnetizes tourists to the region. The figure also demonstrates that the areas gaining are much broader as the whole of Nainital District is benefiting because people from distant travel to the lakes to get employment in the tourism industry, also the tourists

themselves who benefit come to Nainital from all across India as well as abroad. However it should be noted that tourism itself, as a cultural ecosystem service, depends significantly on other ecosystem services such as climate regulation (lakes cooling the surrounding area making it more hospitable) and water purification (if the system can no longer clean itself due excessive loads of pollution it will lose some of its aesthetic value).

Water for human use depends a lot upon water purification. Water use for human consumption & water purification are perhaps the second most decidedly assessed ecosystem service given by the lakes. Water use for drinking is given highest score 10 by Jal Sansthan (responsible for supplying drinking water to households) whereas NLRSADA, NNPP (both aim to improve water quality in the lakes for human use), tourists, shop owners, teachers, farmers and students (they require lakes’ water for their personal and household uses rather than livelihood purposes) all of them assessed this ecosystem service with value 7. DCFR and NNPP (responsible for monitoring quality and purity of the water in the lakes so that their biodiversity are maintained) gave water purification nearly the same score 8 and 9 respectively, whereas NLRSADA (LDA) and Jal Sansthan (both playing key roles in the management and conservation of the lakes) scored it 9 and again fishers also gave it a high score of 9(logic behind it is that cleaner water will help them to catch larger amounts of good quality fish) and remaining stakeholder groups have scored this service slightly less but still all above 5, possibly conceding the significance of this service to many of the other services (tourism, fish harvesting, drinking water etc). Figure 7, illustrates that the remaining naturally vegetated areas within the catchments of Bhimtal and Naukuchiatal are means to the creation of these services, even though the lakes are not purely nourished by surface water but by underground springs etc. If these areas were to be degraded or lost completely these important ecosystem services would be significantly spoiled. It also shows the benefitted areas, the urban areas that get drinking water (Bhimtal, Bilaspur, and Chanoti) and also the town of Haldwani that receives drinking water from Bhimtal lake.

Figure 7. Areas generating and benefiting from the ecosystem services tourism (left) and water provision (right)

4. OVERVIEW OF LIVELIHOODS (WP4)

Following the methodology listed above (section 2) the livelihood activities of people residing in HighARCS site was identified and assessed. Below is a summary of the findings, but please see Livelihood Report, Uttarakhand Site, India for the full report that presents and discusses all the findings.

The magnificent beauty of the lakes and the surrounding hilly region attracts tourists from different places of India as well from outside India to come and visit. This makes tourism the most important industry of these areas providing various livelihood earning options such as

boating, agriculture, fishing (though restricted to some sites), hotels, restaurants, operation of small shops, labouring, photography, rickshaw pulling etc to the different stakeholders for the purpose of fulfilling their livelihood objectives. Activities such as boating, fishing, agriculture etc are directly dependent on aquatic resources, whereas hotels, resorts, restaurant owners etc are indirectly dependent. Again activities such as travel agents, local site seeing services, tourist guides, photographers, car repairing, rickshaw pulling etc are not directly dependent on the lakes but are dependent on the tourism economy. However, a large segment of people also work as labourers on others’ land or as fish labourers who are hired by the Pant Nagar University for the catching of fishes. Tourism is a seasonal activity as a result of which there occurs a huge fluctuation in the earnings of the lake related livelihoods. Their earning depends on the arrival of the tourists during peak seasons and during the off seasons they have to pursue other types of livelihood activity. The lake is also an important site of recreation for the local people. Again, due to the seasonality of lake related livelihood activities, in this region seasonal migration of people (out‐migration) occurs. During summer, people from the surrounding regions migrate seasonally from Nepal, Uttar Pradesh, Bihar and other areas to Nainital to enhance their livelihood whereas during winter as there are fewer tourists and so with the necessity for alternative source of livelihood, people of this region often migrate to different places in and around Nainital. With reference to the above part, we can say that there is a huge seasonal fluctuation in the livelihood activities of people residing in HighARCS site.

In concordance with the agreed terminology for all the sites in the HighARCS project, the households here are classified into three different categories: accumulating, subsistence and coping households with respect to their degree of dependence on aquatic resources, the different ways of utilization of aquatic resources and the benefits acquired from these resources. There is no absolute dependence of one household on the other as the people here are engaged in multiple activities and not just on one livelihood option. Richer households may employ labourers for agriculture, boating or fishing purposes and thus can ‘accumulate’ through utilizing the lake resources. For poorer households however, there are few sources of accumulation, although access to the lakeside economy for boating, labouring or small scale

trade is essential for their subsistence. The limited numbers of accumulating households are earning from different types of businesses and are directly dependent on the tourism economy. On the other hand, some of the subsistence income families and most of the coping households are dependent on the lakes directly through irrigated agriculture, boating, fish labour and indirectly through labouring in the tourism economy surrounding the lakes. They are more dependent on aquatic resources for their livelihood. Moreover most of the households possess some land for cultivation to produce vegetables for household consumption.

In terms of gender relations, the roles played by men and women in carrying out the various activities of everyday life and livelihood are different. Women generally do not take part in fishing and boating activities. However women run shops, restaurants and also they perform household activities like cleaning utensils, washing clothes and childcare.

Regarding age, young boys and girls generally concentrate on studies and they help their parents only before and after school in doing household work like fetching water, looking after younger siblings, collecting firewood and livestock rearing. When the boys do not go to school or college they do part time boating and fishing work, whilst girls tend to participate more in domestic labour.

But the negative side of tourism is that it is creating pressure on the land as well as on environmental conditions and it is also leading to an increase in construction activities. Different respondents identified different problems, according to women the unstable climate, erratic rainfall, shortage of drinking water during summer compelling them to travel long distances, fluctuating agricultural yields are the issues of major concern. They also complained about the absence of suitable marketing channels for selling handicrafts and other commodities, stating that the Nainital Nagar Palika is not cooperative and it is difficult to secure a trading permit. According to men only the downstream areas of the lake receive irrigation water from the lakes so a proper irrigation system should be developed for the upstream areas. According to boatmen and fishermen the key problem is the seasonality of livelihoods as during December and January it is very difficult to meet their subsistence needs. For the young boys and girls

transportation is a major problem in their lives as they have to travel to distant places for studying or to find reputed schools and colleges. The transport facility in Bhimtal or Naukuchiatal is not so developed and also fluctuates a lot as a result of which the traveling expenses become high.

Almost everyone, from school‐college teachers to agricultural workers and even small school going boys and girls are aware of the importance of the environment and the need to protect and conserve the biodiversity. The people in these areas are concerned about the preservation of the lakes. They are aware about the problems of the environment and also the importance of the lakes in their lives. So, necessary action plans should be undertaken so that the aquatic resources are protected and preserved from destruction and at the same time the livelihood of those who are dependent on these resources are retained.

5. OVERVIEW OF INSTITUTIONS, POLICY AND CONFLICT (WP5)

From Institution, Policy and Conflict Report, Uttarakhand Site, India we get a compact perception of the legal and policy structure of India and that of the very state, Uttarakhand where the HighARCS site is located. Below is a summary of such understandings, but please see Institution, Policy and Conflict Report, Uttarakhand Site, India for the full report that presents and discusses all the perceptions.

As mentioned earlier, the majority of the population in the HighARCS site is dependent on the lakes directly or indirectly to earn their living. This has created a heavy pressure on the aquatic resources and a situation of high competition for access and control over these resources amongst the users and the authorities. In this situation, appropriate institutional arrangements for effective environmental management of the lakes are needed.

For pursuing all the different livelihood activities like fishing, boating, hotels, restaurants, shops it is necessary to take license. There are certain rules and regulations for pursuing these activities. Respective government departments make the rules. However, general people do not have any influence on the rule making process. Moreover there are also cases of conflict of

interests between the rule making organizations and the people for whom the rules are being made. The lakes constitute the most important factor for tourist attraction and hence most of the effort has been directed towards the conservation and the preservation of the lakes. The different agencies have undertaken different policies and programme to directly preserve the lakes and indirectly to maintain the livelihood of the vast majority of the people who are dependent on these aquatic resources. Both government and non government organizations are involved in this task. In this context, it should be mentioned that the Environment Protection Act is the umbrella legislation for environment protection and improvement through regulation of developmental activities. The Biodiversity Act of 2002 is the most important policy dealing with environmental protection and provides for conservation of biological diversity and sustainable use of its components and permits fair and equitable sharing of benefits arising out of the use of biological resources. The Uttarakhand Environment Protection and Pollution Control Board (UEPPCB) is a statutory Organization constituted under the section 4 of Water (Prevention and Control of Pollution) Act, 1974 to implement Environmental laws and rules within the jurisdiction of Uttarakhand. The Board has been entrusted with the powers and functions under the Water (Prevention and Control of Pollution) Act 1974. Subsequently the implementation of Water (Prevention and Control of Pollution) Cess Act, 1977; Air (Prevention and Control Of Pollution) Act, 1981; Environment Protection Act (1986) and the Public Liability Insurance Act, 1991 was also entrusted to the State Board. The primary objective of all these Acts is for maintaining, restoring and reserving the wholesomeness of quality of environment and prevention of hazards to human beings, terrestrial and aquatic flora and fauna. The involvement of the State Board is right from planning comprehensive programmes for the prevention, control or abatement of pollution, advising state Govt. relating to environmental aspects, collecting or disseminating information related to Environment protection and enforcing various provisions of the above Acts to keep the state's environment in a healthy condition.(For further details see D5.1 report).

The government organizations who are engaged in the development of various environmental and associated socio‐economic aspects thereby help in preservation of the lakes and indirectly

maintaining the livelihood of the vast majority of the people who are dependent on these aquatic resources. Important institutions operating in the HighARCS site are National Lake Region Special Area Development Authority (NLRSADA), Uttarakhand (Bhimtal) Irrigation Department, Nainital Nagar Palika Parishad (NNPP), Uttarakhand Jal Sansthan (UJS), Uttaranchal Pey Jal Nigam (UPJN), Department of Fisheries, Uttarakhand, Directorate of Cold Water Fisheries Research, Bhimtal, G.B. Pant Institute of Himalayan Environment Development, G.B. Pant Nagar University of Agriculture and Technology, National Institute of Hydrology (NIH), Mahseer Conservancy forum, Kisan Bank, Brajendra Sahay Committee, Power Corporation, Forest Department, Forest Research Centre, Indo Dutch Horticulture, SIDCUL Florist Park, Kumaon Mandal Vikas Nigam (KMVN) and Garhwal Mandal Vikas Nigam (GMVN), Statutory Uttaranchal Tourism Board etc.

Local authorities such as National Lake Region Special Area Development Authority (NLRSADA), Nainital Nagar Palika Parishad (NNPP) and Uttarakhand (Bhimtal) Irrigation Department are instrumental in management and conservation of aquatic resources and for carrying out various conservation and improvement projects. Again, local governing bodies such as NNPP, UJS, Uttarakhand (Bhimtal) Irrigation Department are embodied with the authority of collecting water taxes and water charges from the respective villages. Kisan Bank has been set up by the Central Government to cater to the needs of farmers by helping them to buy inputs like seeds, fertilizers and farm equipments. For poverty alleviation and employment generation the most important step was taken by the Indian Government to remove poverty and ensure employment by implementing the National Rural Employment Guarantee Bill which would provide at least 100 days of guaranteed wage employment in every financial year. Also other Government schemes such as Indira Awas Yojana, Pradhan Mantri Gramodaya Yojana are applicable. In the HighARCS field sites, 90 households were interviewed and it was found from the interview that some of the houses were built under the Indira Awas Yojana Scheme. The non‐government associations who are connected in the advancement of diverse environmental and related socio‐economic facets, in that way aid in conservation of the lakes and indirectly sustaining the livelihood of huge mass of people who are reliant on these aquatic resources, in

the HighARCS site are NGOs, Unions (Boat drivers union, Car owners and Drivers union etc), Local people, Schools and Associations (e.g. Maitri Women Organisation). A number of NGO’s such as Chirag, Chea, Gawal Sena have been operating in the area for the benefit of the people. These NGOs and local organizations are trying their best to conserve the lakes and the adjoining areas. Mission Butterfly for solid waste management and the Lake Warden Scheme for controland minimization of lake pollution are two of the conservation plans under taken to protect the biodiversity of the lakes. Fishing is restricted in Bhimtal and Naukuchiyatal and it is strictly prohibited in Nainital. Conflicts between Jal Sansthan and the Irrigation department, Fishermen and Government organizations and Rickshaw Pullers and Nainital Nagar Palika are the few examples of conflict of interests between the rule making organizations and the peoplefor whom the rules are being made.

In Nainital, overexploitation of resources by local people has led to conflict between the ecosystem and the socio‐economic system. Threats facing Nainital Lake are as follows: a) lower level of oxygen in the hypolimnic layer than is required to sustain fish b) decreasing levels of dissolved oxygen throughout the water column and at the sediment‐ water interface c) erosion of forests away from the villages leading to scarcity of fuel, fodder and fruit as well as extinction of medicinal herbs d) watershed management failure leading to drought and flood conditions, soil erosion, landslides, changes in the microclimate, increase in the silting rate, loss of wildlife, drying up of natural springs e) deterioration of forest ecology due to the large‐scale replacement of natural forests as well as fire

To tackle the problems government has taken various managerial steps, such as, several underground high pressure jets supplied with highly pressurized air were laid near the lake bed

at various places throughout the lake to improve the quality of the lake water; a number fish species were introduced among which a number of plankton and algae eating fishes along with mosquito larvae eating mosquito fish were introduced in the lakes but though they were introduced with good thought such as speeding up the cleaning process, controlling algal bloom and mosquito larvae yet a number of introduced species are impacting the native species and the ecosystem; replacements of trees etc.

6. SYNTHESIS CHAPTER

In the HighARCS project, the biodiversity and ecosystem services provided by freshwater systems at the HighARCS site, which may contribute to the assessment of the ecological characteristics of the wetlands, that is the lakes, was identified and valued ,i.e., studied intently. Since these wetlands constitute an important source of livelihood for the people, a study has been conducted on the basis of the perceived need to conserve these wetlands. This however has to be done in a way which will balance the livelihood of the people as well as the lake biodiversity. The different Government and Non‐Government institutions which are at work and the policies formulated by them for the conservation of the lakes have been reviewed as the management and conservation of the lakes cannot take place without any policy issue guiding it. This includes both policies on biodiversity conservation and livelihood enhancement.

Relation between biodiversity and ecosystem services, livelihoods and institutions, policy and conflict: The HighARCS sites i.e. Nainital, Bhimtal and Naukuchiatal are based on three aquatic resources that is, the three lakes and their aquatic ecosystems. Due to population pressure, and dependence on these aquatic resources for livelihoods in the context of limited alternative employment opportunities, improper development and over exploitation of these resources, there is arguably a need to conserve these resources. The lakes should be managed and maintained well not only because of its natural attraction but also for preserving its biodiversity. However, livelihoods of poor and vulnerable groups should also be protected. In other words, the balance between the livelihoods of the people and the lake biodiversity should 36

be supported. Different Government and Non‐Government institutions are at work and formulated policies for the conservation of the lakes as the management and conservation of the lakes cannot take place without any policy issue guiding it. The different stakeholders such as the boatmen, fishermen, tourists, small shops and restaurant owners are dependent on these lakes ecosystem and the services they sustain. These groups of people, who are directly and indirectly dependent on the lakes and utilize the aquatic resources, are the ones who influence the lakes mostly and are affected by any changes in the lake. Since, the livelihoods of the people are dependent on the biodiversity and both biodiversity and livelihoods has to be protected by a policy approach thus we can say there exists relationship between biodiversity and ecosystem services, livelihoods and institutions, policy and conflict. The relationship between biodiversity and ecosystem services, livelihoods and institutions, policy and conflict can be explained with the help of many examples, some of them are: i) the aquatic regions of HighARCS sites are bestowed with large population of both indigenous and exotic cultivable and non‐cultivable fish species, including the globally threatened Golden Mahseer (Tor putitora) and Snow Trout (Schizothorax richardsonii). The presence of such diverse range of aquatic fauna makes fishing an occupation which is pursued by many people to maintain their livelihoods. But the overharvesting of fish along with eutrophication of the lakes has caused the declines of many fish species with the mahseers (Tor spp.) and other species becoming extirpated and thereby hampering the biodiversity of the lakes. The National Lake Region Special Area Development Authority (NLRSADA) has been authorized by the Govind Ballabh Pantnagar University of Agriculture and Technology to formulate decisions regarding the cultivation and catching of fish. To restrict the overharvesting of fish, the way that was taken initially was the introduction of fishing licenses. These licenses are to be issued by the Department of Fisheries, Uttarakhand and in case of Nainital, Nainital Nagar Palika Parishad (NNPP) also do the job. But to maintain the biodiversity of the lakes fishing license was not enough so it was decided to ban fishing in in Nainital Lake, and in Bhimtal and Naukuchiatal to regulate it ( i.e., there is a limit as to how many fish can actually be caught). The relevant authorities; Govind Ballabh Pantnagar University of Agriculture and Technology (for Nainital)

and the Directorate of Coldwater Fisheries Research (DCRF) (in Bhimtal and Naukuchiatal) who are involved in monitoring lakes’ water quality and maintaining and stocking fish stock levels in the lakes have released mahseer fish fingerlings (Tor tor and Tor putitora) and are continuing conservation stocking of the lakes.

ii) Boating for tourists is an important occupation of the people surrounding the lakes in all three sites. But it is exerting negative impact on the biodiversity of the lakes. The tourists who enjoy boating in the lake throw left over edibles, plastic packets and polythene‐bags in to the lakes without any consideration, even though some bins are present on the lakes’ side. This kind of waste is reportedly obstructing the free flow of the fresh water in the lakes and thus it can be said that this throw away mentality of the tourists is responsible for environmental pollution and thereby hampering the biodiversity of the lakes. So to maintain the biodiversity of the lakes and to reduce environmental pollution, district administration authorities (local authorities) have prohibited polythene bags are in Nainital and there are also proposals to ban them in Bhimtal.

Briefly, by providing licenses and making some rules the state government tries to rationalize the use of the lakes, i.e. restricting its exploitation after a certain level. Thus in this way the government restricts fishing and the number of boats and thereby try to maintain a balance between biodiversity of the lakes and livelihoods associated with the lakes.

7. Action Planning Process and Methodology

Any Action Plan which aims to conserve and manage biodiversity along with fulfilling and improving local community interests and livelihoods must combine biodiversity and ecosystem service values, livelihoods and institutions, policy and conflict issues and thereby take an integrated approach. For meeting this requirement a detailed study of the relevant reports, i.e. Biodiversity and ecosystem service values of Nainital, Uttarakhand; Livelihood Report, Uttarakhand Site, India; Institutions, Policy and Conflict, Uttarakhand Site, India; was done and this helped us to understand the issues of aquatic resources conservation and the conflicts for sustainable development more deeply. 38

In the HighARCS project, the freshwater biodiversity and ecosystem services at the HighARCS site, which may aid in evaluation of the ecological attributes of the wetlands, that is the lakes, were recognized and valued ,i.e., studied closely. Since these wetlands comprise a vital source of livelihood for the people, a study has been carried out on the basis of the apparent necessity to preserve these wetlands. This however has to be done in a way which will balance the livelihood of the people as well as the lakes’ biodiversity. The different Governmental Institutions which are at work and the policies formulated by them for the conservation of the lakes have been evaluated. This includes both policies on biodiversity conservation and livelihood enhancement. On the basis of these three reports the Integrated Action Plan report has to be done which includes notable aspects of needs and deficiencies, conflicts of biodiversity conservation, livelihood development within an integrated policy framework.

The need for an integrated assessment and planning approach was highlighted in Figure 8 which shows the amalgamation of conservation, livelihoods and policy‐based approaches. These three strands have been combined because the livelihoods of people are dependent on biodiversity and both biodiversity and livelihoods must be protected by a policy approach. Hence with this integrated view an Integrated Action Plan has to be formulated where the three interdependent issues of needs and deficiencies, conflicts or negative impacts and indicators have been combined together (Figure 8).

IAP Approach

Figure 8. Flow Chart showing IAP approach

The HighARCS survey began on the 17th of April 2010 in the three primary field sites, namely, Chanoti village near Naukuchiatal, Pandeygaon village near Bhimtal and Nainital proper (the area covering nearly 0.5 km radius surrounding the Nainital Lake) (figure 2). Before working on formulating the Integrated Action Plan we identified highland wetlands by considering ecological importance and livelihood potentials in Uttarakhand. Selected wetlands for our project, conducted field visits, collected data, gathered information about these wetland related livelihoods and biological resources from secondary sources. Listed out direct and indirect stakeholders through the analysis of focus group interview and wetland sites, selected sample villages, i.e. Nainital, Chanoti and Pandeygaon on the basis of the place of residence of the families engaged in different types of activities associated with these wetlands. Arranged 40

meetings and workshop with the stakeholders to discuss situation and management issues and adopted the stakeholder Delphi method to structure the joint identification and assessment of problems and management issues affecting the full range of stakeholders associated with the lakes in the study site.

In the selected locations chosen as field sites, the informal focus group interviews were conducted in the villages situated near to the lakes. On the basis of these informal focus group interviews, a detailed discussion with the stakeholders was carried out. For more in depth study, a detailed household survey was carried out in a minimum of thirty households in each village. These included fishers, boat drivers, rickshaw pullers, school going girls and boys and all those men, women and young boys and girls whose livelihoods are in some way related to and dependent on the lakes in this region. Informal interviews were also carried out in villages nearby to each of these sites such as Siloti, Sanguri, Karkotak, Shongaon, Pangot and Pali. Further analyses were made on the issues mentioned by the stakeholders during the interviews. Draft Integrated Action Plans were then formulated on the basis of these issues, focused on mitigation and or improvement. The issues, mitigation and improvement plans will be verified through a process of joint assessment and decision‐making with stakeholders. And on the basis of these verification discussions, the final Integrated Action Plan will be formulated and agreed. The process is summarized in Figure 9.

In our Integrated Action Plan we have concentrated on realistic actions and identified their goals, timescale, main agencies in charge of implementation and/or finance, their capacity and commitment and/or incentives they have for undertaking the action, indicators for success, and difficulties which may be faced during implementation.

Informal Focus Groups

Detailed discussion with the stakeholders

based on the focus groups

Detailed Household Study

Understanding and analysis of the issues identified on the basis of stakeholders’

Proposal of Inte grated Action

Verification and agreement with stakeholders

Fig 9: Formulation Process of final Integrated Action Plan

The field site areas being the lakes and the immediate surroundings, the stakeholders are chosen in accordance to the site, being directly or indirectly associated with the lakes. Here association means any kind of interaction with the chosen lakes. IAP report here covers a diverse range of stakeholders which can broadly be classified into

1) National Lake Region Special Area Development Authority (NLRSADA) and G.B. Pant Nagar University of Agriculture and Technology via NLRSADA. 2) Department of Fisheries, Uttarakhand. 3) Directorate of Cold Water Fisheries Research, Bhimtal. 4) Nainital Nagar Palika Parishad (NNPP). 5) Bhimtal Municipality and Naukuchiatal Panchayat. 6) Uttarakhand (Bhimtal) Irrigation Department. 7) Interested local schools, colleges, NGOs and local people.

8) Department of Agriculture, Govt. of Uttarakhand. 9) Kisan Bank. 10) Boat drivers. 11) Fishers. 12) Tourists. 13) HighARCS team.

The rationale behind the involvement these above mentioned stakeholders in the proposed action plans is given in each action plan accordingly.

8. Management Proposals

The main focus of the proposed actions is to improve the management and conservation of aquatic resources in the lakes as well as benefit the local people, which in other words, can also be termed as “Wise‐Use of Wetlands”. With reference to Ramsar Convention, “Wise Use of Wetlands” is the maintenance of ecological character, sustainable utilization for the benefit of mankind in a way compatible with the maintenance of the natural properties of the ecosystem. That is, the ‘Wise Use of Wetlands’ mainly comprises of three components: 1) Maintenance of biological, chemical and physical components of wetlands. 2) Maintenance of ecological balance between the components of wetlands. 3) Protect the livelihood of the local people who are directly or indirectly dependent on wetlands. Fishing, integrated farming, agriculture, forestry, aquaculture, transportation and nature tourism may be consisted with wise use within certain limits, but can damage wetlands and become unwise uses if they exceed the carrying capacity of the concerned wetland systems.

The recommended actions from our team to solve the Management Issue(s) and the general aims of the project at our field site are as follows:

1) Monitoring on illegal fishing 2) Fish release programmes

3) Monitoring to prevent garbage and waste water disposal in and around the lakes 4) Marketing of Handicrafts 5) Marketing of Agricultural products 6) Crop Protection

7) Desiltation of Bhimtal lake

1) Monitoring on illegal fishing

Objectives o Activities to be carried out

1) Hold stakeholder meetings with local authorities and local stakeholders to discuss the options of how to effectively resist illegal fishing.

2) Expanding the Group/Committee who will be responsible for monitoring the lakes.

3) There should be strict rules/laws which would prevent the fishers, boat drivers, tourists and local people from illegal fishing. But again it should be kept in mind that these rules/laws should be developed with the concern of related authorities and stakeholders jointly because in that way, awareness, legitimacy, and commitment to rules/laws is more likely to emerge.

4) It can be suggested from HighARCS team that the Department of Fisheries, Uttarakhand should have a rule of catch‐and‐release for fish species of conservation concern. For implementation of this catch‐and‐release rule, identification of fish species of conservation concern and expertise on the part of the people involved in fish catches so that they can recognize conservation concern fish species and release them when they are caught are required. Identification of fish species of conservation concern can be done with the help of Directorate of Cold Water Fisheries Research, Bhimtal and G.B. Pant Nagar University of Agriculture and Technology in association with Department of Fisheries, Uttarakhand (if they agree to do so). Expertise on the part of the people involved in fish catches can be achieved 44

through a training programme for the fishers with the help of Department of Fisheries, Uttarakhand (if the department agrees to do so).

5) Poster campaign for fishers and local people to spread awareness about the disadvantages of illegal fishing, involving schools, colleges, local NGOs and interested local people. And also asking fishers, boat drivers, tourist offices and maybe some of the temples to do their bit for successful implementation of this action.

6) Seeking local government assistance to implement this action. o Reasons for Prioritization

1) Though consuming fish is not a traditional practice in Nainital region, the harvesting of fishes in Nainital had increased dramatically mostly to supply the tourist industry, leading to the decline of existing fish stock in the lakes. As a result of which legally fishing is strictly prohibited in Nainital and regulated in Bhimtal and Naukuchiatal. However, enforcement of this ban leads to the common problem of illegal fishing activities.

1) Fishing is strictly prohibited in Nainital, but still it occurs legally by fishermen, boatmen, tourists and local people (we came to know this information by discussing with the local people).

2) In Bhimtal and Naukuchiatal fishing is limited to 4 kg/person per day throughout the year. But whether it is followed or not, cannot be said with certainty. o Potential issues

1) The unprofessional fishermen who are not much conversant with the right methods of fishing are adversely affecting the biodiversity of these lakes.

2) Fishermen, boatmen and local people may not be cooperative as some are less aware about the ecological issues.

o Geographical Scale

The focus should be on Bhimtal lake, Naukuchiatal lake and Nainital lake.

Gender and age mainstreaming

Men are directly involved in fishing and boating, while women and girls do not as a livelihood option participate in fishing and boating in our field sites. Both of these activities are mainly dominated by men. So this will benefit them directly but women and girls indirectly as part of overall household livelihood strategies.

Improved income from tourism due to enhanced environmental quality will be beneficial not only to men, but to male youth who take up a lot of tourism related work in jobs such as boating. Improved income for this group is important given the difficulties finding employment at school leaving age. Women and girls unfortunately have less involvement in the tourism economy in Bhimtal and Naukuchiatal so it will not benefit them directly. However, many women have stalls alongside Nainital Lake, so they may benefit from increased tourist numbers.

Implementer o Who will take a lead in implementing the action?

1) HighARCS team.

2) Department of Fisheries, Uttarakhand.

3) Directorate of Cold Water Fisheries Research, Bhimtal.

4) G.B. Pant Nagar University of Agriculture and Technology.

5) National Lake Region Special Area Development Authority (NLRSADA).

6) Interested local people (taking part in adjusting the rules of access and control and in lake monitoring for prohibiting illegal fishing).

7) Schools, colleges, NGOs and interested local people (taking part in poster campaigns and awareness spreading).

o How will they do it?

1) HighARCS team will take a lead in initiating stakeholder meetings.

2) Fishing licenses are issued by the Department of Fisheries, Uttarakhand. The fisheries department along with Nainital Nagar Palika makes rules on how much quantities and what species of fish can be collected. It prevents over fishing. To maintain the biodiversity of the lake there are restrictions put on by the fisheries department, each fisherman can withdraw 4 kg of fish per day and only the people having the fishing license are permitted to catch fish in these lakes by the method of angling. As per HighARCS team suggestion, the Department of Fisheries, Uttarakhand should have a rule of catch-and-release for fish species of conservation concern and should look after its proper implementation (if the department agree with HighARCS team suggestion and is willing for its implementation). So, Department of Fisheries, Uttarakhand can be approached to take a leading part in implementing this action.

3) Directorate of Cold Water Fisheries Research (DCFR), Bhimtal has the accountability to maintain the biodiversity of the Bhimtal Lake. Being involved in research work related to fishes, Directorate of Cold Water Fisheries Research, Bhimtal can play a role in identification of fish species of conservation concern. So, it can also be approached to take part in implementing this action.

4) G.B. Pant Nagar University of Agriculture and Technology collects the fishes from the lakes when they grow large in number, and instead they plant fish seeds for culture. A large segment of people who also work as labourers in others’ land or as fish labourers are hired by the Pant Nagar University for the catching of fishes thereby providing them a source of livelihood as well as controlling the fish catches. It can be recommended from HighARCS team that apart from hiring fish labourers, G.B. Pant Nagar University of Agriculture and Technology can involve its 47

committed students in this work as part of their project work. Being involved in research work, G.B. Pant Nagar University of Agriculture and Technology can also play a role in identification of fish species of conservation concern. So, it can be approached to take an active part in implementing this action.

5) National Lake Region Special Area Development Authority (NLRSADA) can be approached for implementing this action as they possess the authority to finance this action.

6) HighARCS team in association with Department of Fisheries, Uttarakhand can take the lead in initiating the process of organizing group/committee that will be responsible for monitoring the lakes for prohibiting illegal fishing involving interested local people. Inspite of the fact that this project is a time limited project and HighARCS team live far away from the site, the said group/committee must be socially self-sustaining after the end of HighARCS so the responsibility of it can to given to GB Pant Nagar University or some local NGO with due permission from Department of Fisheries, Uttarakhand.

7) HighARCS team can take part in arranging poster campaigns involving schools, colleges, NGOs and interested local people. o Who will finance the action?

National Lake Region Special Area Development Authority (NLRSADA) comprises of five planning zones Nainital, Bhowali, Mehragaon (khas), Bhimtal (including Sattal) and Naukuchiatal. This authority shoulders the responsibility of preparing and enforcing the development plans for lake conservation. NLRSADA is the nodal agency for Nainital Lake Conservation Project (NLCP).It is commonly known as Lake Development Authority (LDA). So, National Lake Region Special Area Development Authority (NLRSADA) could be approached to finance this action. Along with NLRSADA, Department of Fisheries, Uttarakhand could also be approached to finance this action as it has the accountability to maintain the fish biodiversity of the lakes in Uttarakhand. o Over what timescale? 48

To check whether this action is a success or failure, the minimum time period require is 6 months to 1 year. But this action is proposed keeping in mind that it would be a continuing process and should continue even after the end of HighARCS project for maintaining the fish biodiversity in the concerned lakes.

Indicator o Indicators of success

If illegal fishing is stopped in the concerned lakes then generally we can say that this proposed action is successful. Along with that the annual assessment of fish stock in the three lakes can also be taken as indicator of success of this action. o Who will do the monitoring and evaluation

Whether illegal fishing has stopped or not this information can be obtained from local people and supervising team who will supervise the work of the group/committee responsible for monitoring lakes to prevent illegal fishing. NLRSADA in association with Department of Fisheries, Uttarakhand can be approached for assessment of annual fish stock in Nainital while in case of Bhimtal and Naukuchiatal, DCFR in association with Department of Fisheries, Uttarakhand, can be approached for this assessment.

2) Fish release programmes

Objectives o Activities to be carried out

1) There can be fish release programmes in the lakes which may engage local people as laborers. This fish release programmes will be conducted on the basis current stock management practices which was developed by the concerned department focusing on threatened or decline fish species of the area to maintain the fish biodiversity of the lakes. Fish release programmes should be such that would enhance surveillance and also new introductions of 49

invasive or non‐native species programs should be prevented to eradicate or reduce non‐native species populations.

2) The fish release programmes in the lakes can also involve school and college students because in that way they would be aware about conservation concern fish species of their area and that would help in spreading awareness which is required for future conservation of the lakes.

3) Hold stakeholder meetings with local authorities to discuss the progress of existing fish programmes and the other alternative processes through which these fish release programmes could be conducted.

4) This could be done by tourists whereby they will pay to release the fish, as was observed in Shaoguan, China. If the tourists are willing to release the fish they have to buy them.

5) Directorate of Cold Water Fisheries Research, Bhimtal and G.B. Pant Nagar University of Agriculture and Technology in association with Department of Fisheries, Uttarakhand Department of Fisheries, Uttarakhand can play a role in deciding which fish to release according to present ecological interests. Another fact is that risks from disease and parasite introductions must be considered and managed even when fish species selection is good. These organizations can be approached to initiate proper research work to identify present threatened or decline fish species of the area so that fish biodiversity of the lakes can be maintained.

o Reasons for prioritization

1) Fishermen depend largely on the lakes for their main source of livelihood.

2) Maintenance of fish population in the lakes, thereby protecting biodiversity of the lakes.

3) Better resource availability to the fishermen.

4) Fish release programmes in the lakes which may engage local people as laborers, can increase employment opportunities locally. o Potential issues

1) If fish release programmes are not conducted taking into consideration the ecological interests that may exert negative impact on biological diversity.

2) There is always a risk factor involved with the restocking of fishes, as the restocking of fishes may not suite the current ecological condition of the lakes or wrong fishes may be restocked. Risks from disease and parasite introductions are always there even when fish species selection is good.

3) Fishermen, boatmen, tourists and local people may not be cooperative as some are less aware about the ecological issues.

o Geographical Scale

The focus should be on Bhimtal lake, Naukuchiatal lake and Nainital lake.

Gender and age mainstreaming

This will primarily benefit men and older boys who are engaged in boating and fishing (boating and fishing both are male dominant occupation). Again, enhanced tourism income due to improvement in lakes’ biodiversity and scenic beauty would benefit men, boys, women and girls in the field sites, but men and boys would be directly benefited while women and girls would be benefited indirectly.

Implementation o Who will take a lead in implementing the action?

1) HighARCS team.

2) Department of Fisheries, Uttarakhand.

3) Directorate of Cold Water Fisheries Research, Bhimtal.

4) G.B. Pant Nagar University of Agriculture and Technology.

6) National Lake Region Special Area Development Authority (NLRSADA).

7) School and college students (taking part in fish release programmes). o How will they do it?

1) HighARCS team will take a lead in initiating stakeholder meetings.

2) Any decision and step regarding fish species in Uttarakhand cannot be taken without the concern of Department of Fisheries, Uttarakhand. It also has the power to approve and implement any action related to these species. Hence, it can be approached to take part in implementation of this action as well as identify different organizations that can help in proper implementation of this action.

3) Directorate of Cold Water Fisheries Research, Bhimtal has the accountability to maintain the biodiversity of Bhimtal and Naukuchiatal lakes. The fish culture and study is conducted by them. Hence, it can be approached to take up more fish release programmes, under the Central and State Government projects and it can also hire few local fish laborers and thereby can become a leading organization behind the implementation of this action. Being involved in research work related to fishes, Directorate of Cold Water Fisheries Research, Bhimtal can be approached to play a role in identification of present threatened or decline fish species of the concerned area.

4) G.B. Pant Nagar University of Agriculture and Technology collects the fishes from the lakes when they grow large in number, and instead they plant fish seeds for culture. A large segment of people who also work as labourers in others’ land or as fish labourers are hired by the Pant Nagar University for the catching of fishes thereby providing them a source of livelihood as well as controlling the fish catches. Being involved in research oriented work, G.B. Pant Nagar University of Agriculture and Technology can also play a role in identification of present threatened or decline fish species of the concerned area. Hence, it can also be approached to take an active part in implementing this action.

5) National Lake Region Special Area Development Authority (NLRSADA) can be approached for implementing this action as they possess the authority to finance this action.

6) HighARCS team can recommend to the concerned department that school and college students can be involved in the fish release programmes.

o Who will finance the action?

NLRSADA is in charge for maintaining all the lakes in the Kumaon Region. It is the planning and development authority for Nainital lake region area. It comprises of five planning zones Nainital, Bhowali, Mehragaon (khas), Bhimtal (including Sattal) and Naukuchiatal. This authority shoulders the responsibility of preparing and enforcing the development plans for lake conservation. NLRSADA is the nodal agency for Nainital Lake Conservation Project (NLCP).It is commonly known as Lake Development Authority (LDA). National Lake Region Special Area Development Authority (NLRSADA) could be approach to finance this action. Along with NLRSADA, Department of Fisheries, Uttarakhand could also be approached to finance this action as it has the accountability to maintain the fish biodiversity of the lakes in Uttarakhand.

o Over what timescale?

To check whether this undertaken action is a success or failure, the minimum time period require is 6 months to 1 year.

Indicator o Indicators of success

After releasing figure lings in the lakes, the evaluation of survival/mortality rate of the species and their impact on fish biodiversity. Along with that annual assessment of fish stock in the three lakes to find out whether there is any positive/negative/ no change in the enhancement of the fish stock and to check where the fish population according to ecological interests is balanced or not can also be an indicator of success for this action. o Who will do the monitoring and evaluation

For evaluating the survival/mortality rate of the species, their impact on fish biodiversity and annual assessment of fish stock, NLRSADA in association with Department of Fisheries, Uttarakhand can be approached in case of Nainital while DCFR in association with Department of Fisheries, Uttarakhand can be approached in case of Bhimtal and Naukuchiatal

3) Monitoring to prevent garbage and waste water (nutrients) disposal in and around the lakes

Objectives o Activities to be carried out

1) Hold stakeholder meetings with local authorities to discuss the possible options to prevent garbage disposal in and around the lakes.

2) A strict regular monitoring around the lake to look out and prevent the disposal of garbage and waste water in the lakes of Bhimtal and Naukuchiatal. Local people can be employed for the look after of the lakes and can be paid on daily/monthly basis. This system is already present in Nainital. Around 6 to 7 people can be hired for regular monitoring around Nainital lake, around 8 to 9 people required for Bhimtal lake and 6 to 7 people for Naukuchiatal lake.[ Length of shoreline: Nainital‐3630m; Bhimtal‐ 4023m; Naukuchiatal‐ 3560m. We have assumed that, for monitoring 1 Km, approximately 2 persons are required.]

3) Building awareness of cultural heritage of lakes and need for environmental protection amongst tourists and local people may also help. This could include giving training to guides and boatmen to warn tourists against disposing of garbage in the lakes. This could take more the form of a meeting, and the team could also learn from the guides/boatmen’s own ecological knowledge. The aim would be to gain a commitment from them to inform tourists about environmental issues and encourage ‘ecological’ behavior.

4) Put emphasis on the matter of prohibition of disposal of waste water (nutrients) in and around the lakes, collection of plastics in definite vats and time to time cleaning of vats in the front concerned department in the stakeholder meeting.

5) Visual tools such as posters could be presented next to ticket counters for tourists with an aim to reduce their throw away mentality and imposition of fine if anyone tries to pollute the lake and adjacent areas.

6) Seeking local government assistance to implement this action. o Reasons for Prioritization

1) Throwing away of plastic bottles and polythene by the tourists and local people is degrading the environment day by day.

2) Vats present adjacent to the lakes are found not to be cleaned time to time.

3) Absence of proper sewage system.

4) The protection of the water quality will also help to protect biodiversity of aquatic species.

5) If the visual appearance of the lakes improves, then that will increase the length of tourists stay time and thereby will increase its value as a tourist attraction. As a result, the income of those people whose livelihood depend on tourism industry will enhance and thereby their standard of living.

6) This, alongside the mobilization of local people to assist with monitoring, can increase employment opportunities locally. o Potential issues

1) Waste water (nutrients) from houses adjacent to the lakes, often usually gets disposed in the lakes. The matter more alarming in case of Nainital lake compared to others because it is situated in proper city.

2) Hotels and restaurants situated nearby the lakes, often usually throw their garbage in the lakes.

3) Some tourists while boating have a tendency to throw food packets, plastic packets etc in the lakes.

4) Hotel or restaurants’ owners and local people may not be cooperative as most of them are profit maximizer and some are less aware about the ecological issues.

o Geographical Scale

The focus should be on Bhimtal lake, Naukuchiatal lake and Nainital lake.

Gender and age mainstreaming

Once again improved income from tourism due to enhanced environmental quality will benefit men and older boys (youth). However, it will not directly benefit women or girls given that they have limited involvement in the tourism economy in Bhimtal and Naukuchiatal.

Nevertheless, women and girls can be involved more directly in the actual implementation of the project. For example, women could be employed on the monitoring teams if they agree. Similarly, school children (both boys and girls) could be involved in disseminating and producing publicity materials, such as a school poster competition. This would help give them some ownership of the project, and would also spread environmental awareness amongst the new generation.

Implementer o Who will take a lead in implementing the action?

1) HighARCS team.

2) National Lake Region Special Area Development Authority (NLRSADA).

3) Nainital Nagar Palika Parishad (NNPP).

4) Bhimtal Municipality and Naukuchiatal Panchayat.

5) Schools, colleges, NGOs and interested local people (taking part in lake monitoring for preventing garbage disposal as well as taking part in poster campaigns and awareness spreading). o How will they do it?

1) HighARCS team will take a lead in initiating stakeholder meetings as well as publicity and awareness raising activities.

Regarding Lake monitoring, a meeting will need to be held with the NLRSADA to decide on the next stage.

Regarding Publicity materials/group meeting or training for guides and boatmen

- A first stage would be to agree on the key environmental issues where changed behavior could have an impact. (e.g. disposal of litter in the lake, unnecessary use of plastic bags). - A second stage would be to develop publicity materials, perhaps in collaboration with local school children, college students, local NGOs and interested local people.

- A third stage would be to arrange the meeting for guides and boat drivers.

2) National Lake Region Special Area Development Authority (NLRSADA) can hire people for the regular monitoring of the lakes. There is already a project in Nainital named Lake Warden Scheme, where the local people are engaged to supervise the lake like in the lakeside there are volunteers to look after the lake. Frequently they investigate about the litter floating in the lake collected by them on boats. This can be developed in Bhimtal and Naukuchiatal also. Thus it can be said that NLRSADA can be approached to take a lead for implementing this action and it also possesses the authority to finance this action.

3) Nainital Nagar Palika Parishad is the Municipality of Nainital town. NNPP is chiefly liable for maintenance for the roads and lakeside roads. So, it can be approached to take an active part in implementing this action.

4) Like NNPP in Nainital, Bhimtal Municipality and Naukuchiatal Panchayat is chiefly liable for maintenance for the roads and lakeside roads in Bhimtal and Naukuchiatal respectively. So, they can be approached to take an active part in implementing this action.

5) HighARCS team in association with NLRSADA can take a part in organizing group/committee that will be responsible for monitoring the lakes for preventing garbage disposal in and around the lakes involving interested local people. The team can also take the lead in arranging publicity and awareness raising activities such as poster campaigns, school poster competition etc involving schools, colleges, NGOs and interested local people. 58

o Who will finance the action?

The three lakes (Nanital, Bhimtal and Naukuchiatal) are located in three different administrative jurisdictions of Nainital Nagar Palika Parishad (NNPP), Bhimtal Municipality and Naukuchiatal Panchayat respectively. They are chiefly liable for maintenance for the roads and lakeside roads of their concerned area. Hence, they could be approached to finance this action.

Regarding the lake monitoring teams, there are no taxes as such which is imposed on the tourists. However, there are some local taxes imposed on vehicles, such as, in Bhimtal, there is a tax of Government which is required to be paid by the vehicles at some entry point which is Rs 20 for cars. This is done through tender. Some amount of money from this could potentially pay for the person who will do the monitoring.

Publicity materials and awareness raising activities will not involve significant expenses because it can be done through poster campaigns, school‐college poster competition, school‐college essay competition regarding effects of garbage and waste water disposal etc involving schools, colleges, NGOs and interested local people.

However, if we want to offer training to guides and boat drivers about environmental issues, National Lake Region Special Area Development Authority (NLRSADA) could be approached to finance this action as this authority shoulders the responsibility of preparing and enforcing the development plans for lake conservation and is the nodal agency for Nainital Lake Conservation Project (NLCP).

o Over what timescale?

To check whether this undertaken action is a success or failure, the minimum time period require is 6months to 1 year. But this action is proposed keeping in mind that it would be a

continuing process and should continue even after the end of HighARCS project for maintaining the biodiversity in the concerned lakes.

Indicator o Indicators of success

Half yearly to annually assessment of frequency / amount of litter, garbage or waste water disposal found in and around the lakes along with that half yearly to annually assessment of water transparency of the lakes can be taken as indicators of success for this action. o Who will do the monitoring and evaluation

Half yearly to annually assessment of frequency / amount of litter, garbage or waste water disposal found in and around the lakes along with half yearly to annually assessment of water transparency of the lakes can be done by NLRSADA in involving the group/committee responsible for monitoring to prevent garbage and waste water disposal in and around the lakes.

4) Marketing of Handicrafts

Objectives o Activities to be carried out

1) Hold stakeholder meetings to encourage production and marketing of handicrafts which are generally made by women and girls.

2) Try to find a place where women have a permanent market to sell their handicrafts.

3) Consider exemption from licenses for selling in Nainital bazaar. If this is not possible, we could facilitate the development of a user group, whereby they apply for a license for a stall to sell all the handicrafts, and the profit could be shared‐ a marketing cooperative.

4) Try to seek concerning authority’s assistance in making the process of getting trading license for handicrafts simplified and easy available for the deserving candidate.

5) Try to convince NNPP to be more cooperative while issuing trading license for handicrafts.

6) Seeking local government assistance to implement this action.

7) Seeking local NGOs assistance to implement this action. o Reasons for prioritization

1) Less direct involvement of women and girls in the tourism economy.

2) Lack of proper marketing channels for handicrafts.

3) Lack of proper coordination on the part of concerning authority regarding the issue of trade license for handicrafts.

4) Enhance the involvement of women and girls and provide them with a standard livelihood earning option. o Potential issues

1) NNPP is less cooperative in providing trade license to women for selling handicrafts.

2) No proper marketing channels for selling handicrafts. o Geographical Scale

The focus should be on Pandeygaon, Chanoti and Nainital.

Gender and age mainstreaming

This activity is mainly done by women and girls in their homes. Men and young boys are mainly engaged in other earning activities. So it is hoped this will directly benefit women and girls. And

would provide support to women who specifically complained about the lack of proper marketing channels and in cooperation on the part of NNPP.

Implementer o Who will take a lead in implementing the action?

1) HighARCS team.

2) Nainital Nagar Palika Parishad or NNPP.

3) Local NGOs. o How will they do it?

1) HighARCS team will take a lead in initiating stakeholder meetings and in finding permanent market to sell the handicrafts.

2) Nainital Nagar Palika Parishad (NNPP) is an important local governing body of Nainital as it not only provides licenses to the boatmen of Nainital but also for various other activities like fishing, rickshaw driving, photography, restaurants, hotels, shops etc. Thus, NNPP can be approached to be a leading organization in implementing this action.

3) Local NGOs can also be approached to take an active part in implementing this action either by organizing training programmes for women and girls regarding the production and selling of handicrafts or can tries to convince NNPP to be more cooperative while issuing trading license for handicrafts. o Who will finance the action?

NNPP (Nainital Nagar Palika Parishad) can be approached to finance this action. It is an urban local authority for the famous hill town of Nainital. NNPP it is one of the most important agency responsible for the urban finance in Lake Region.

o Over what timescale?

To check whether this undertaken action is a success or failure, the minimum time period require is 1 year. But this action is proposed keeping in mind that it would be a continuing process and should continue even after the end of HighARCS project for providing livelihood support specially to women and girls in the field sites.

Indicator o Indicators of success

Evaluation of the market for handicrafts, i.e., whether the market for handicrafts has developed or not thereby its impact on income, standard of living and livelihood improvement of the people engage in production and sell of handicrafts, along with that increment in the number of households and members of household engage in this business can be taken as indicators of success for this action. o Who will do the monitoring and evaluation

Nainital Nagar Palika Parishad (NNPP) and some local NGOs can be approached for monitoring and evaluation of the indicators of success of this action.

5) Marketing of Agricultural products

Objectives o Activities to be carried out

1) Agriculture is not commercially practiced in our field sites so hold stakeholder meetings to encourage the farmers for marketing the agricultural products that they produce for their household consumption.

2) In Nainital there is no agricultural land as it is totally an urban area. However, in Bhimtal and Naukuchiatal people have some amount of agricultural land. These agricultural lands are mainly 63

for producing vegetables, fruits and other crops by the families for self consumption. So there is little or no marketing of the agricultural goods. Main crops produced in this region are wheat, maize and rice. Thus, if agriculture could be enhanced by producing more output using organic fertilizer or pestisides then the surplus beyond the consumption could be marketed. Moreover, vegetables mainly come from Haldwani and the local markets are expensive. So if vegetables are produced locally and marketed then that problem could be solved.

3) Seeking local government assistance to implement this action.

o Reasons for Prioritization

1) Since the vegetables come from Haldwani they become more expensive.

2) There is lack of earning opportunities for the local people.

3) Vegetables mainly come from Haldwani and then sell in the local market. Hence because of poor weather conditions, if the transport‐communication system of the area get hampered which is a common phenomenon in hilly region, the availability of vegetables might be affected.

o Potential issues

1) Agricultural land is scarce and all the agricultural produce is used for self consumption.

2) Terrace farming prevents much agriculture.

3) Decreasing interests of younger generations to take part in agricultural activities or taking agriculture as one of their future livelihood options. o Geographical Scale

The focus should be on Pandeygaon, Chanoti and Bilaspur where people depend more on agriculture. 64

Gender and age mainstreaming

A key problem with many of the interventions targeted at improving the environment of the lake and tourist revenue was that women have less direct involvement in the tourism economy, particularly in Bhimtal and Naukuchiatal. With regards to the latter two lakeside communities however, women and girls play a very important role in agriculture, so it is hoped this will directly benefit them. By trying to involving girls also, this will enhance agro‐ecological knowledge amongst the younger generation, something which is crucial when many young people devote less time to agriculture and more time to their education.

Implementer o Who will take a lead in implementing the action?

1) HighARCS team.

2) Department of Agriculture, Govt. of Uttarakhand. o How will they do it?

1) HighARCS team will take a lead in initiating stakeholder meetings.

advanced to the farmers is recovered not monetarily, but in the form the farm produce. The Kisan Bank channelizes the sale of the farmers’ produce, counsels the farmers about the technical aspects in agriculture which is environmentally approving too. Thus, it can be approached to take an active part in implementing this action. o Who will finance the action?

1) Department of Agriculture, Govt. of Uttarakhand provides agricultural credit, crop insurance and ensures remunerative returns to the farmers for his agricultural produce. Thus we can say that it possess the authority to finance this action. So it can be approached to finance this action.

2) Kisan Bank provides financial support to the farmers in form of loan and the interesting part of this advance is that it is recovered not monetarily, but in the form of farm produce. Thus, Kisan Bank can also be approached to finance this action. o Over what timescale?

To check whether this undertaken action is a success or failure, the minimum time period require is 1 year. But this action is proposed keeping in mind that it would be a continuing process and should continue even after the end of HighARCS project for livelihood improvement of the people in the field sites.

Indicator o Indicators of success

Evaluation of the market for agricultural products, i.e., whether the market for agricultural products developed or not, thereby its impact on income, standard of living and livelihood improvement of the people engage in production and sell of agricultural products can be taken as indicators of success for this action.

o Who will do the monitoring and evaluation

Department of Agriculture, Govt. of Uttarakhand can be approached for taking necessary steps required to monitor and evaluate the indicators of success of this action.

6) Crop Protection o Activities to be carried out

1) Hold stakeholder meetings to discuss various possible options of crop protection.

2) The fact of often damage of crops by the wild animals (particularly pigs) should be put forward in the stakeholder meeting and local people(farmers) must be encouraged to form groups for monitoring the agricultural fields so that fields could be protected from wild animals (particularly pigs).

3) Opening of more shops where organic (environmentally friendly) fertilizers, insecticides and pesticides and other products which are required for farming are easily assessable.

4) Making the farmers aware of the fact that the fertilizers, insecticides and pesticides they are using must be organic (environmentally friendly), i.e., awareness generation among people.

5) Seeking local government assistance to implement this action.

6) Training and extension in Integrated Pest Management or environmental stewardship o Reasons for Prioritization

1) Lack of easy access to organic (environmentally friendly) fertilizers, insecticides and pesticides etc in local markets of Pandeygaon, Bhimtal, Chanoti and Naukuchiatal.

2) If fertilizers, insecticides and pesticides local people are using are not organic (environmentally friendly), then they may lead to environmental degradation.

3) Damage of crops by wild animals often lead to discouragement of practicing agricultural activities by the farmers. o Potential issues

1) Crops are often damaged by the wild animals (particularly pigs).

2) Nowadays farmers have reduced maize production because it faces high risk of being eaten by the wild animals.

3) Decreasing interests of younger generations to take part in agricultural activities or taking agriculture as one of their future livelihood options. o Geographical Scale

The focus should be on Pandeygaon, Chanoti and Bilaspur where people depend more on agriculture.

Gender and age mainstreaming

Implementer

o Who will take a lead in implementing the action?

1) HighARCS team.

2) Department of Agriculture, Govt. of Uttarakhand.

3) Kisan Bank. o How will they do it?

1) HighARCS team will take a lead in initiating stakeholder meetings. HighARCS team can also encourage local people (farmers) to form groups for monitoring the agricultural fields so that fields could be protected from wild animals (particularly pigs).

2) Department of Agriculture, Govt. of Uttarakhand is responsible for the formulation and implementation of policies and programmes aimed at achieving rapid agricultural growth through optimum utilization of the state’s land, water, soil and plant resources. The Department undertakes all possible measures to ensure timely and adequate supply of inputs and services such as fertilizers, seeds, pesticides, agricultural implements and also to provide agricultural credit, crop insurance and ensure remunerative returns to the farmers for his agricultural produce. So, it can be approached to be the leading organization in implementing this action.

3) Farmers in Uttarakhand are benefiting from a unique financial institution named Kisan Bank, mooted by the Central Government. Kisan Bank can be termed as a single window institution catering to the needs of farmers. It helps the tillers to buy various inputs like quality seeds, fertilizers and farm equipments. A remarkable aspect of the bank is that the financial support advanced to the farmers is recovered not monetarily, but in the form the farm produce. The Kisan Bank channelizes the sale of the farmers’ produce, counsels the farmers about the

technical aspects in agriculture which is environmentally approving too. Thus, it can be approached to take an active part in implementing this action. o Who will finance the action?

o Over what timescale?

To check whether this undertaken action is a success or failure, the minimum time period require is 1 year. But this action is proposed keeping in mind that it would be a continuing process and should continue even after the end of HighARCS project for livelihood improvement of the farmers in the field sites.

Indicator o Indicators of success

Evaluation of annual agricultural productivity, i.e., whether agricultural productivity has improved or not, per unit yield has improved or not thereby overall income and percentage of income of the farmers derived from agricultural activities have enhanced or not, this can be taken as the indicators of success for the said action.

o Who will do the monitoring and evaluation

Department of Agriculture, Govt. of Uttarakhand can be approached for taking necessary steps required to monitor and evaluate the indicators of success of this action.

7) Desiltation of Bhimtal lake

Objectives o Activities to be carried out

1) Hold stakeholder meetings to encourage the concerned departments to implement better catchment management to help reduce silt loads – appropriate engineering intervention to trap silt and sustainable means of maintaining and renovating this.

2) The HighARCS team can suggests the concerned department to analyze the chemical composition of the silt to characterize it for disposal, the silt may contain heavy metal contamination or hydrocarbons from road runoff that make it hazardous and so cannot be spread to land without remediation. When the quantity and quality of the silt have been established then a disposal plan can be formulated.

3) If the silt is enriched with soil nutrients and there is no presence of heavy metal contamination or hydrocarbons, then farmers to the adjacent areas can be involved to use this silt.

4) Uttarakhand (Bhimtal) Irrigation Department itself has some lake desiltation programmes. HighARCS team can recommend the concerned to take into consideration the above mentioned issues while preparing their future lake desiltation programme plans.

4) Seeking local government assistance to implement this action.

o Reasons for prioritization

1) Bhimtal lake is the source of water for irrigation in case of farmers of Chanoti and Pandeygaon.

2) As agricultural practices are common in Bhimtal, so water for irrigation is very essential there. Thus if high siltation result in reduction of lake’s depth, then it may lead to scarcity of water needed for irrigation in case of farmers of Chanoti and Pandeygaon.

3) Bhimtal water is now classified as unfit for human drinking. o Potential issues

1) High siltation resulting in reduction of lake depth.

2) Less absorption of heavy metals, leading to their depletion in the bed sediments of the lake.

3) Human and organic pollution.

4) Open bazaar drains and uncontrollable garbage and waste from the roadside mushrooming slums or colonies.

5) In spite of installing sewer lines to prevent sewage entering the lake still some effluents from drains, leakage and open defecation add to the eutrophication.

6) Clogging of water channels (drains) in the surrounding hills because of encroachment, leading to poor drainage.

o Geographical Scale

The focus should be on Bhimtal lake.

Gender and age mainstreaming

In Bhimtal, women and girls play a very important role in agriculture. Men and young boys are mainly engaged in other earning activities. So it is hoped availability of irrigation water will directly benefit women and girls. Women and girls also utilize lakes’ water for washing and cleaning but that too is from the water channeled from the lakes. So, this will benefit the entire household but will benefit women and girls directly and men and boys indirectly.

Implementer o Who will take a lead in implementing the action?

1) HighARCS team.

2) Uttarakhand (Bhimtal) Irrigation Department.

3) National Lake Region Special Area Development Authority (NLRSADA).

4) Kisan Bank.

o How will they do it?

1) HighARCS team will take a lead in initiating stakeholder meetings to discuss various techniques to remove the silt and transport it to a disposal area (if possible).

2) Uttarakhand (Bhimtal) Irrigation Department does not derive any services from the lake but it is the protector of the lake. It has the responsibility to take care of the Bhimtal lake and to provide water for irrigation to the farmers of Chanoti and Pandeygaon. Thus, since Irrigation Department of Bhimtal possesses both the responsibility of taking care of the lake as well as providing irrigation water to the farmers and again high siltation resulting in reduction of lake’s depth may lead to scarcity of irrigation water in case of farmers of Chanoti and Pandeygaon. So,

Irrigation Department of Bhimtal can be approached for taking an active part in implementing this action.

3) National Lake Region Special Area Development Authority (NLRSADA) is in charge for maintaining all the lakes in the Kumaon Region. It is the planning and development authority for Nainital lake region area. It comprises of five planning zones Nainital, Bhowali, Mehragaon (khas), Bhimtal (including Sattal) and Naukuchiatal. This authority shoulders the responsibility of preparing and enforcing the development plans for lake conservation. NLRSADA is the nodal agency for Nainital Lake Conservation Project (NLCP).It is commonly known as Lake Development Authority (LDA). So, it can also be approached for implementing this action.

4) Kisan Bank can take a part in implementing this action as it possesses the right to financially help the farmers. o Who will finance the action?

1) Uttarakhand (Bhimtal) Irrigation Department can be approached to finance this action as it possesses both the responsibility of taking care of the lake as well as providing irrigation water to the farmers of Chanoti and Pandeygaon.

2) National Lake Region Special Area Development Authority (NLRSADA) is in charge for maintaining all the lakes in the Kumaon Region which includes Bhimtal lake. It is also the nodal agency for Nainital Lake Conservation Project (NLCP). So, it can also be approached for financing this action.

3) Farmers in Uttarakhand are benefitted from a unique financial institution named Kisan Bank, mooted by the Central Government. Kisan Bank can be termed as a single window institution catering to the needs of farmers. Thus since high siltation resulting in reduction of lake’s depth may lead to scarcity of irrigation water in case of farmers of Chanoti and Pandeygaon and may affect their agricultural produce. So, Kisan Bank can also be approached to implement this action by giving financial help.

o Over what timescale?

Indicator o Indicators of success

Annual evaluation of the depth of lake, i.e., whether the depth of lake has increased or not, along with that whether Uttarakhand (Bhimtal) Irrigation Department has included the HighARCS team recommended actions in their lake desiltation programme or not can be considered as indicators of success for this action.

o Who will do the monitoring and evaluation

Uttarakhand (Bhimtal) Irrigation Department can be approached for monitoring and evaluation of the indicators of success of this action.

Bibliography

1. HighArcs –Highland Aquatic Resources Conservation and Sustainable Development Situation Analysis Report, Uttarakhand Site

2. Biodiversity and ecosystem service values of Nainital, Uttarakhand Work Package 3 report: Highland Aquatic Resources Conservation and Sustainable Development (HighARCS)

3. Livelihood Report, Uttarakhand Site, India

4. Highland Aquatic Resources Conservation and Sustainable Development-Institutional, Policy and Conflicts Report- Uttarakhand Site, India

5. www.ramsar.org/cda/ea/ramsar-about-faqs-what-is-wise-use/main/ramsar/1-36-37%5E 7724_4000_0_

6. www.environment.gov.au/ssd/publications/ir/pubs/ir 401.pdf

7. www.unepscs.org/Wetlands-Training/Wetlands%20Management/12-Wise-Use- Wetlands-South-China-Sea-Note.pdf