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Forest Governance and Economic Values of Forest Ecosystem Services in the Northwest Region of Vietnam

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Forest Governance and Economic Values of Forest Ecosystem Services in the Northwest Region of Vietnam Forest Governance and Economic Values of Forest Ecosystem Services in the Northwest Region of Vietnam Nguyen Minh Duc Submitted in partial fulfilment of the requirements for the degree of Doctor of Philosophy Faculty of Agriculture and Environment The University of Sydney 2017 STATEMENT OF ORIGINALITY This is to certify that, to the best of my knowledge, the content of this thesis is my own work. This thesis has not been submitted for any degree or other purpose. I certify that the intellectual content of this thesis is the product of my own work and that all the assistance received in preparing this thesis and sources have been acknowledged. Nguyen Minh Duc ii ACKNOWLEDGEMENTS I am indebted to many people whose kindness and enthusiasm has enabled me to complete this thesis. I offer my deepest thanks and gratitude to the few I can name here: My primary supervisor, Assoc. Prof. Dr. Tihomir Ancev, who gave me encouraging guidance and showed wholehearted care, which helped me greatly throughout the course of my research. My co-supervisor, Prof. Dr. Alan Randall, who gave me valuable recommendations and suggestions to improve my study. The Australian Awards - Vietnam, and The University of Sydney Australian Awards Unit, the Faculty of Agriculture and Environment of the University of Sydney that made my study possible. The provincial forest managers of Hoa Binh, Son La, Lai Chau and Dien Bien provinces, and other academic experts involved in the area of forest governance in Vietnam, who patiently collaborated, provided and shared useful information with me in the course of my data gathering. Especially, Dr. Nguyen Van Ha, the Deputy Director General of the Vietnam Administration of Forestry, who approved and made my fieldwork possible in Vietnam. Assoc. Prof. Dr. Tran Dinh Thao, Prof. Dr. Nguyen Van Song, Assoc. Prof. Dr. Pham Van Hung, Assoc. Prof. Dr. Quyen Dinh Ha, Assoc. Prof. Dr. Mai Thanh Cuc and other professors and staff at the Faculty of Economic and Rural Development from the Vietnam University of Agriculture, who encouraged me to pursue this course and provided me with exceptional support in many ways during my fieldwork in Vietnam in 2015. The Natural Capital Project Team of Stanford University, particularly Dr. Perrine Hamel, Mr. James Douglass, Ms. Stacie Wolny and Dr. Rich Sharp, who enthusiastically provided me with advice regarding the InVEST models. My Australian, American, Indonesian, Chinese, Sri Lankan, Bangladesh and Vietnamese friends, especially Mr. Phan Hong Tam, who shared their ideas and supported me. And Ms. Giselle Alegria, who kindly edited my thesis. Finally, I would like to express my deepest appreciation to my parents and my beloved wife, Nguyen Thi Tuyet Le, my lovely daughters, Nguyen Ngoc Minh and Nguyen Ngoc Linh, my special uncle and aunt, Nguyen Xuan Mai and Ha Thi Thanh Binh, for their endless love and care. I thank them even though no words of thanks are enough. iii ABSTRACT Forest ecosystems provide valuable services to humanity but have been continually undervalued and degraded. This problem is a result of inadequate institutional arrangements for forest governance. This study aims to assess the effects of alternative forest governance regimes on the provision and the associated economic values of forest ecosystem services, particularly in the Northwest region of Vietnam. It aims to answer three specific questions: 1. What are the possible, feasible and credible forest governance scenarios that could be applied in this region in the future? 2. What are the likely changes in forest cover as a result of implementing alternative forest governance scenarios? 3. What are the likely changes in the provision and valuation of forest ecosystem services under the alternative forest governance scenarios? In answering these questions, this study argues for the framework that integrates the ecosystem services’ approach with the assessment of forest governance regimes. The framework incorporates mapping land use and land cover (LULC) changes stemming from possible changes in forest governance regimes, quantifying the resulting changes in the provision of forest ecosystem services (FESs) and estimating the associated economic values. In the context of the study site in the north-western uplands of Vietnam, I tested three alternative forest governance scenarios: business-as-usual, with a dominant government role; community-based governance; and private forestry governance. For each forest governance scenario, the changes in forest LULC were mapped based on land suitability analysis and transition likelihood for the period 2010−2020. The resulting maps were used with other variables related to climate conditions and biophysical attributes of forest ecosystems (e.g., precipitation, reference evapotranspiration, plant evapotranspiration coefficient, soil characteristics, digital elevation model, carbon pools, etc.) as inputs into the InVEST model (Integrated Valuation of Environmental Services and Trade-offs). The InVEST model was used to estimate the quantity of three specific FESs: carbon storage/sequestration, provision of water for hydropower production and reduction of sediment load to reservoirs. I applied various valuation methods to value these services: the social cost of carbon was used to estimate the economic value of carbon storage/sequestration; the replacement cost of removing sediment deposited into reservoirs was applied for valuing the reduction of iv sediment yield; and the residual value of water supply for hydropower generation was used for valuing water yield. The study shows that forest governance plays an important role in the provision of FESs and, accordingly, in determining the associated values of FESs. It indicates that forest LULC is likely to improve under the business-as-usual and community-based scenarios, while there is little change under the private forestry scenario. Consequently, the aggregated annual value of the three services of interest is likely to increase under all scenarios, but it is particularly significantly under the business-as-usual and the community-based scenarios. The findings also indicate that the value of the services is highly dependent on both the supply of these services and the benefits that they contribute to society’s welfare. Based on the findings, I argue that community-based forest governance is an alternative forest governance regime that can effectively replace the current state-dominant regime. This study makes contributions to knowledge in three specific ways. Firstly, it integrates the frameworks of forest ecosystem service valuation with the assessment of the effects and effectiveness of forest governance. Secondly, it is the first study that has applied the InVEST model (the combination of ecological production functions and economic valuation approaches) to determine the outcomes of forest governance (in terms of changes in values of FESs) in the context of Vietnam. This is particularly significant as Vietnam is a developing country with limited data availability. In addition, it is one of the few applications of InVEST in the tropics. Thirdly, the findings regarding the provision and the associated values of the FESs could be very useful in terms of policy design and evaluation. This is very important in Vietnam, as it has been a country on the forefront of the application of incentive-based programs for forest conservation. The existing Payments for Forest Ecosystem Services system in Vietnam can be adjusted and calibrated based on the findings provided in this study to achieve better forest conservation outcomes. v TABLE OF CONTENTS STATEMENT OF ORIGINALITY ........................................................................................... ii ACKNOWLEDGEMENTS ..................................................................................................... iii ABSTRACT .............................................................................................................................. iv LIST OF FIGURES .................................................................................................................. xi LIST OF TABLES ................................................................................................................. xiii CONFERENCE PAPERS ........................................................................................................ xv ABBREVIATIONS ................................................................................................................ xvi Chapter 1 INTRODUCTION ..................................................................................................................... 1 1.1 Motivation for the Study ...................................................................................................... 1 1.1.1 Sustainable Development Problems ............................................................................. 1 1.1.2 Theoretical Views on the Problem of the Unsustainable Use of Natural Resources .... 3 1.1.3 Problems with Applied Research on Ecosystem Services ............................................ 7 1.1.4. Problems of Forest Governance in Vietnam ................................................................ 9 1.1.5 Research Gaps ............................................................................................................. 10 1.2 The Statement of the Research Problem ............................................................................ 11 1.3 The Research Questions ....................................................................................................
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