Land System Resilience: Linking Land Use Change, State Policy and Ethnic Minority Resource Management in Northern Upland Vietnam
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LAND SYSTEM RESILIENCE: LINKING LAND USE CHANGE, STATE POLICY AND ETHNIC MINORITY RESOURCE MANAGEMENT IN NORTHERN UPLAND VIETNAM Kate Trincsi Department of Geography McGill University Submitted March 2017 A thesis submitted to McGill University in partial fulfillment of the requirements of the degree of Master of Science. © Kate Trincsi ABSTRACT In the Socialist Republic of Vietnam, state policies governing land use, market integration, and poverty reduction largely determine the prospects for social-ecological resilience. In turn, land system change in the northern uplands has largely been shaped by market liberalization and the integration of ethnic minority farmers into state development practices and ideologies. Hybrid crops and plantation forestry are increasingly being adopted with important implications for local livelihoods and ecosystems, although the long-term outcomes of such land changes remain poorly understood. The aim of this thesis is to explore the relationships between state policy, land use change, and social-ecological resilience from 1999 to 2014 in Lào Cai Province, Vietnam. To do so, I draw on a conceptual framework integrating social-ecological systems, resilience, land system change, and sustainable livelihoods. Taking a mixed methods approach, I developed 15m resolution object-oriented land cover classifications, which I analyzed for change in landscape structure and function from 1999 to 2014. I also completed qualitative fieldwork including 75 semi-structured and informal interviews with government officials and Hmong, Yao, and Tày farmers. I find that there has been an important increase in plantation forestry, cash crops, and urban areas. Concurrently, total area under agricultural cultivation and secondary vegetation have declined, pointing to a land system regime shift. Farmers described an increase in opportunities to gain financial capital, yet also noted a severe degradation of natural capital. Furthermore, there has been a loss of socio-ecological resilience due to increasing incidents of extreme weather events, market price fluctuations, and pest outbreaks. Long-term resilience planning is largely absent at the household or state level, with households having to respond to ongoing disturbances mostly through short-term adaptation mechanisms such as changing crop varieties, applying increasing amounts of chemical fertilizers, and pursuing off-farm income opportunities. I conclude with context-relevant policy recommendations to increase diversity and the self-organizing capacity of the social-ecological system. ii RÉSUMÉ Au sein de la République socialiste du Vietnam, les politiques gouvernementales relatives à l’utilisation du sol, l’intégration aux marchés économiques ainsi que la réduction de la pauvreté matérielle déterminent la vision à l’égard de la résilience socio-écologique. En revanche, le changement dans le système d’occupation du sol dans ces régions a également été largement influencé par la libéralisation des marchés économiques et l’intégration des paysans de minorités ethniques au sein des pratiques et idéologies étatiques pour le développement national. Les cultures hybrides et les plantations forestières sont de plus en plus adoptées, et ce avec d’importantes retombées pour les moyens de subsistance des populations ainsi que pour les écosystèmes, malgré que les effets de ces changements d’usages demeurent encore peu connus. L’objectif de ce mémoire est d’explorer la relation entre les politiques de l’État, les changements dans l’utilisation du sol et la résilience socio-écologique, de 1999 à 2014, dans la province de Lào Cai au Vietnam. Ma recherche utilise un cadre conceptuel intégrant les systèmes socio- écologiques, la résilience, le changement du régime d’utilisation des terres et les moyens de subsistance durables. J’ai développé une méthode de classification de la couverture du sol orienté objet, ayant une résolution de 15 mètres au sol, afin d’analyser le changement dans la structure et la fonction des paysages. Employant une méthodologie mixte, j’ai également réalisé 75 entretiens semi-structurés et informels avec des officiels du gouvernement et des paysans des minorités Hmong, Yao, et Tày. Mon analyse montre qu’il y a eu une augmentation significative des plantations forestières, des cultures de rente et des zones urbaines car les paysans s’intègrent de façon grandissante dans l’économie de marché. Parallèlement, les zones cultivées et la végétation secondaire ont diminué, indiquant un changement dans le régime d’utilisation des terres. Par ailleurs, les paysans ont décrit une augmentation des occasions pour accumuler du capital financier, mais une dégradation importante du capital naturel. De plus, il existe une perte de résilience socio-écologique, causée par une augmentation de l’incidence d’événements météorologiques extrêmes, la fluctuation des marchés et les infestations d’insectes ravageurs. La planification pour la résilience à long-terme est largement absente à l’échelle du ménage et au niveau étatique. Les ménages doivent le plus souvent répondre à ces perturbations à travers des mécanismes d’adaptation à court-terme, tel qu’en variant les types de cultures, en appliquant davantage d’engrais chimiques et en cherchant des sources de revenus en dehors du secteur agricole. Pour conclure, je recommande des politiques adaptées au contexte afin d’augmenter la diversité et la capacité d’organisation du système socio-écologique. iii ACKNOWLEDGEMENTS First and foremost, I would like to sincerely thank my supervisor Sarah Turner for her advice and guidance from the initial conceptualization of this thesis to the final draft. I would also like to extend my gratitude to my committee advisor Hien Pham for providing insight and guidance on remote sensing methods and land use change in Vietnam. Finally, I would like to thank the examiner of this thesis for offering many helpful suggestions. I am grateful for the help and support I received from Vietnam National University in obtaining research permissions and navigating the fieldwork process. Thank you to Pham Van Cu and his colleagues, Dieu Dinh, Bui Quang Hung, Nguyen Tham, and Ha Kieu Anh, for opening many doors, and for your guidance. Many thanks to my four research assistants for easing my transition into northern Vietnam and for helping me navigate the complexity of working with four different ethnic groups. Thank you also to the many contacts at the People’s Committee of Lào Cai, who helped organize my time in Bảo Yên District, and to the Hmong, Yao, and Tày interviewees for their curiosity, enthusiasm, and patience. A special thank you goes to Noelani Eidse: her friendship, help navigating Hanoi, and support while in Vietnam was more than I could have asked for. Thank you also to the other members of the Southeast Asian Massif research lab for their support, inspiration, and constructive criticism. I would also like to extend my gratitude to my friends in the Department of Geography. Melody Lynch: thanks for pushing me to work harder, for editing my thesis, and for being a travel partner. Lewis Archer: thank you for the moral support, words of encouragement, and many cups of coffee. Laurence Cote-Roy: thank you for translating my abstract. I would also like to acknowledge the generous financial support I received from Sarah Turner, Roger Warren, the Department of Geography at McGill University, Mitacs Globalink, and the Social Sciences and Humanities Research Council of Canada. Thank you also to Margaret Kalascka, Pablo Arroyo, and the Geographic Information Centre of McGill University for ongoing GIS and remote sensing assistance. Finally, I would like to thank my friends and family for their support and encouragement. Thank you to my puppy Yukon, whose hugs brought many smiles to my face during the final preparation of this thesis. To my partner Daniel Haberman: thank you for supporting my journey, allowing me to bounce ideas off you, and for inspiring me to be the best person I can be. Most of all, thank you to my brother, parents, and grandmother for believing in me and your endless love. iv TABLE OF CONTENTS CHAPTER 1 INTRODUCTION .................................................................................................1 1.1 Thesis aim .......................................................................................................................... 3 1.2 Thesis outline ..................................................................................................................... 4 CHAPTER 2 CONCEPTUAL FRAMEWORK ...........................................................................5 2.1 Social-ecological systems................................................................................................... 5 2.1.1 Social-ecological systems as complex adaptive systems ..............................................6 2.1.2 Adaptive renewal cycle and disturbances .....................................................................6 2.1.3 Regime shifts in SESs .................................................................................................8 2.2 Resilience framework ......................................................................................................... 9 2.2.1 Vulnerability, adaptation, and sustainability .............................................................. 10 2.2.2 Applying the resilience framework ............................................................................ 11 2.3 Land system science ........................................................................................................