Phonesay District Agro-Ecosystems Analysis

LSUAFRP Field Report No 2004/05

Ministry of Agriculture and Forestry

National Agriculture and Forestry Research Institute

Draft Report on

Phonesay District Agro-ecosystems

Analysis

Luang Prabang Province

Land Management Component - Soils Survey and Land Classification Centre

Lao Swedish Upland Agriculture and Forestry Research Programme August, 2004

Ministry of Agriculture and Forestry

National Agriculture and Forestry Research Institute

LSUAFRP Field Report No. 2004/05

Draft Report on Phonesay District Agro-ecosystems Analysis

Luang Prabang Province

Land Management Component - Soils Survey and Land Classification Centre

August 2004

Lao-Swedish Upland Agriculture and Forestry Research Programme

Table of Contents

1 INTRODUCTION AND BACKGROUND ...... 1 1.1 INTRODUCTION...... 1 1.2 PARTICIPANTS IN PILOT AEA ACTIVITY ...... 1 1.3 AGRO-ECOSYSTEM ANALYSIS PROCESS ...... 1 1.4 OVERALL PURPOSE AND OBJECTIVES OF AEA...... 2 2 AEA PROCEDURES AND METHODOLOGY ...... 2 2.1 KEY OUTPUTS ...... 2 2.2 AEA PROCEDURES...... 2 2.3 AEA IMPLEMENTATION STAGES ...... 4 2.4 AEA ANALYSIS TOOLS...... 4 3 SYSTEM DEFINITION...... 5 3.1 REQUIRED OUTPUTS FROM SYSTEM DEFINITION...... 5 3.2 PURPOSE AND OBJECTIVES DEFINED ...... 5 3.3 DEFINING THE BOUNDARIES OF THE SYSTEM...... 6 3.4 GENERAL DESCRIPTION OF PHONESAY DISTRICT...... 6 3.5 DISTRICT CONTEXT...... 7 3.6 DISTRICT SYSTEMS HIERARCHY ...... 7 3.7 SECONDARY DATA NEEDS...... 8 3.8 BIO-PHYSICAL DATA...... 9 3.9 SOCIO-ECONOMIC DATA ...... 9 4 AGRO-ECOLOGICAL ZONING ...... 14 4.1 REQUIRED OUTPUTS FROM ZONING...... 14 4.2 ZONING TOOLS USED...... 14 4.2.1 Map Overlay Techniques...... 14 4.2.2 Description of Secondary Data Used...... 14 4.3 ZONING PROCEDURES ...... 15 4.3.1 Preliminary District AE Zones Delineated...... 16 4.3.2 Draft Zone Descriptions...... 16 4.3.3 Key Issues Emerging from Zoning ...... 17 4.4 PREPARATION FOR FIELDWORK ...... 18 4.4.1 Additional Information Needs...... 18 4.4.2 Follow-up on Key Issues ...... 19 5 FIELDWORK ...... 20 5.1 REQUIRED OUTPUTS FROM FIELDWORK ...... 20 5.2 LOGISTICS, TEAM FORMATION AND OPERATION...... 20 5.3 FIELD TOOLS USED ...... 21 5.3.1 Focus Groups ...... 21 5.3.2 Transect Walks ...... 21 5.3.3 Key Informants ...... 21 5.3.4 Problem Census...... 21 5.3.5 Market Studies ...... 22 5.4 INFORMATION ACQUIRED FROM FIELD WORK ...... 22 5.5 KEY ISSUES EMERGING FROM FIELDWORK ...... 22 6 SYSTEMS ANALYSIS...... 24 6.1 REQUIRED OUTPUTS FROM SYSTEMS ANALYSIS ...... 24 6.2 ANALYSIS TOOLS USED ...... 24 6.3 DETAILED DESCRIPTION OF DISTRICT SYSTEM ...... 25 6.3.1 Phonesay District Agro-ecological Zone Map ...... 25 6.3.2 Phonesay District Agro-ecosystems Transect Table ...... 25 6.3.3 Key Issues and Important Problems ...... 33 6.3.4 Application of Available Farming System Technologies...... 33 6.3.5 Proposed Solutions...... 35 7 DISTRICT AGRO-ECOLOGICAL ZONE DESCRIPTIONS...... 36

7.1 ZONE 1- LOWER ELEVATION, POTENTIALLY PRODUCTIVE UPLAND AGRO-ECOSYSTEM...... 36 7.1.1 Spatial Analysis ...... 36 7.1.2 Time Analysis...... 37 7.1.3 Flow Analysis ...... 38 7.1.4 Zone 1 System Properties Analysis ...... 40 7.1.5 Zone 1 Key Questions, Problems & Proposed Solutions ...... 40 7.2 ZONE 2 - NATIONAL BIODIVERSITY CONSERVATION BUFFER ZONE AGRO- ECOSYSTEM ...... 41 7.2.1 Spatial Analysis ...... 41 7.2.2 Time Analysis...... 42 7.2.3 Flow Analysis ...... 42 7.2.4 Zone 2 Systems Properties Analysis...... 43 7.2.5 Key Questions, Problems & Proposed Solutions ...... 44 7.3 ZONE 3 - FOREST PROTECTION AND SUSTAINABLE USE AGRO-ECOSYSTEM ...... 45 7.3.1 Spatial Analysis ...... 45 7.3.2 Time Analysis...... 47 7.3.3 Flow Analysis ...... 48 7.3.4 Zone 3 System Property Analysis...... 49 7.3.5 Key Questions, Problems & Proposed Solutions ...... 50 7.4 ZONE 4 - MOUNTAINOUS, RECURRING SUB-WATERSHED AGRO-ECOSYSTEM...... 51 7.4.1 Spatial Analysis ...... 51 7.4.2 Time Analysis...... 52 7.4.3 Flow Analysis ...... 53 7.4.4 Zone 4 System Properties Analysis ...... 54 7.4.5 Key Questions, Problems & Proposed Solutions ...... 56 7.5 ZONE 5 - HIGH ELEVATION PLATEAU, ROLLING GRASSLAND & MULTIPLE USE AGRO- ECOSYSTEM...... 57 7.5.1 Spatial Analysis ...... 57 7.5.2 Time Analysis...... 59 7.5.3 Flow Analysis ...... 60 7.5.4 Zone 5 System Properties Analysis ...... 61 7.5.5 Key Questions, Problems & Proposed Solutions ...... 61 7.5.6 District Agro-ecological Zone Innovation Assessments...... 62 8 CONCLUSIONS AND LESSONS LEARNED ...... 68 9 FURTHER WORK REQUIRED ...... 72

Appendix 1: Participants in AEA Pilot Exercise...... 71 Appendix 2: Poverty Alleviation Priority Villages - 2004 - Phonesay District...... 72 Appendix 3: List of Phonesay District Development Area Maps...... 73

1 Introduction and Background

1.1 Introduction

An objective for land management research as described in the Lao Swedish Upland Agriculture and Forestry Research Program (LSUAFRP) document is: “current land use systems are described and appropriate land use zones in the uplands are identified, demarcated and mapped”. A component activity of this objective is “develop agro-ecological and forest land use zoning”.

A pilot agro-ecosystem analysis (AEA) in Phonesay District of Luang Prabang Province was undertaken in April and May 2004 to accomplish these objectives. A comprehensive report was prepared which explains the procedures and methods and the results of two AEAs conducted, one of the Phonesay District agro-ecosystem and one of the Long Nam Pa Development Area agro-ecosystem.

This second document reports on the results and achievements of the AEA of the District agro-ecosystem. A third document reports on the results and achievements of the AEA of the Long Nam Pa Development Area agro-ecosystem. A fourth document, a draft manual on procedures and methods for AEA, derived from the pilot activity in Phonesay District, has been prepared for further testing in Na Mo District.

This report begins by explaining the purpose and objective of the district AEA and then continues with a description of the procedures followed, systems definition, agro- ecological zoning, system analysis, and finally, descriptions of each of the five agro- ecological zones defined in the District.

1.2 Participants in Pilot AEA Activity

A multi-disciplinary team was formed representing the various research components of the LSUAFRP, NAFES, the Northern Regional Agriculture and Forestry Research Centre, the Phonesay District Administration, and the Phonesay DAFO.

During the field work the central team was complimented with 12 district staff members who are responsible for development programs within the development zones (boriwen) and the village development groups (kum ban patana).

A list of participants is presented in Appendix 1.

1.3 Agro-ecosystem Analysis Process

The AEA was conducted in five phases:

Phase Main Activities Preparation Work planning, budgeting, selecting participants, identifying sources of secondary data, producing district GIS maps. Workshop 1 Staff orientation, AEA objectives, systems definition Workshop 2 Agro-ecological Zoning (AEZ), secondary data collation for AEZs,

initial AEZ characterisation, identifying additional data required in the field Field Work Acquiring additional data, verifying system boundaries, identifying key issues and problems in each AEZ, undertaking special studies to contribute to the final analysis Workshop 3 Final analysis and AEZ characterisation, system properties analysis, collation and prioritisation of key issues and problems for each AEZ, innovation assessment, final discussions and results.

1.4 Overall Purpose and Objectives of AEA

The overall objectives of an agro-ecosystem analysis of any system are as follows.

Objective 1: To identify, delineate and characterise different agro-ecological zones within a given land area. Objective 2: To obtain an improved understanding of agricultural systems in these zones and their key characteristics. Objective 3: To identifying key issues related to the performance of the entire system and it’s agro-ecological zones Objective 4: To identify agricultural research and extension priorities for the system Objective 5: To help plan programs, projects and development activities for the system.

2 AEA Procedures and Methodology

Agro-Ecosystems Analysis (AEA) is a methodology for zoning and analyzing agricultural systems in order to plan and prioritize research and development activities in the fields of agriculture and natural resource management. 2.1 Key Outputs

AEA provides a range of useful outputs, the most important of which include: • The delineation and description (bio-physical and socio-economic) of distinct agro-ecological zones. • An improved, holistic understanding of the major livelihood systems of each zone. • A prioritized list of important problems and opportunities for each zone. • A prioritized set of research and development interventions to solve the problems. • Enhanced interdisciplinary cooperation and improved research and extension linkages.

2.2 AEA Procedures

AEA is based on the concepts of systems, hierarchies, agro-ecosystem zones, and the system properties of productivity, stability, sustainability and equitability. Ideally,

AEA is conducted by a multi-disciplinary group whose joint experience and technical knowledge cover all disciplines relevant to the study.

The step-by-step procedure is shown in Figure 1 and further explanation is provided in Table 1.

Figure 1. Procedure for Agro-Ecosystems Analysis

PURPOSE & OBJECTIVES SYSTEM DEFINITION BOUNDARIES & HIERARCHY

SPACE TIME

SYSTEMS ANALYSIS SYSTEM PROPERTIES

FLOW DECISIONS

KEY QUESTIONS IDENTIFICATION OF DEVELOPMENT OPTIONS PRIORITISE

IMPLEMENTATION PROGRAM DESIGN

Table 1: Brief Explanation of AEA Procedures

Stage Description Systems Agree on the purpose and objectives of the analysis. Definition Precisely define the system(s) to be studied Clearly identify and delineate the system’s boundaries (physical, social, administrative, etc.). Describe its position in the hierarchy of other systems. System Analysis Identify and describe the major agro-ecological zones (agro-ecosystems) within the system and the important interactions among them. Analyse each zone in regard to: 1. Space – spatial diversity, sub-systems and key relationships 2. Time – long-term (trends) and short-term (cyclical) changes in the system over time. 3. Flow – the movement of materials, money, information, etc. both within and into and out of the system. 4. Decisions – the decision making process and choices/options for key decision makers (farmers, government, projects, etc.) Identify the key attributes of the system that contribute either positively and negatively to the productivity, stability, equitability and sustainability of each agro-ecosystem. Identify the key processes determining the overall performance of each agro- ecosystem. Identification of As an understanding of the system is developed, a number of key issues,

Stage Description development problems and development opportunities begin to emerge. options These are further developed and elaborated into hypotheses or ‘key questions’ for further analysis. System properties analysis is used to identify those attributes of each agro- ecosystem that impact positively and negatively on productivity, stability, equitability and sustainability. The results of this are used to further develop the key questions. The key questions are interfaced with available technologies to identify appropriate solutions or development options for each question. Research Design Proposed development options are assessed using innovation assessment and techniques. This provides a rating for each which are then used to set Implementation development priorities. High priority development options will include proposals for research, extension and management (district planning) interventions. These are used by the appropriate agency (NAFRI, NAFES or District Authority) to develop appropriate implementation plans. Once these activities have been implemented, their results should be re-assessed in the context of AEA and any new lessons used to modify plans.

2.3 AEA Implementation Stages

AEA proceeds through a series of stages involving interdisciplinary workshop analysis sessions interspersed with sub-group tasks and fieldwork. These stages are as follows:

Stage Explanation 1 Planning and preparation 2 Secondary data collation and organisation. 3 Preliminary analysis 4 Fieldwork in the system of study 5 Systems analysis 6 Reporting and write-up 7 Use of the outputs

Further explanation of these stages are provided in the AEA Draft Manual

2.4 AEA Analysis Tools

AEA uses a variety of tools to assist with the analysis of space, time, flow and decision-making. Many are similar to PRA tools and all emphasize simplicity, participation and objectivity. The major tools are listed below and their use is illustrated in the analysis and system description sections of this report.

These tools are further explained in the AEA Draft Manual.

Tool Explanation 1 Transect diagrams (space analysis tool) 2 Historical Profiles (time analysis tool) 3 Seasonal Calendars (time analysis tool) 4 Flow diagrams (flow analysis tool) 5 Venn diagrams (decision analysis tool) 6 Problem-cause diagrams (decision analysis tool) 7 System properties tables (system properties analysis tool 8 Pairwise ranking (prioritization tool) 9 Impact assessments 10 Innovation assessment (prioritization tool)

3 System Definition

Systems definition involved identification of the District agro-ecosystem, system boundaries, and system heirarchies.

3.1 Required Outputs from System Definition

The outputs required from system definition were as follows:

• Developing a purpose statement and agreeing on AEA objectives • Defining the boundaries of the system to be analysed • Identification and portrayal of system hierachies above and below the district and boriwen ecosystems (using hierachy descriptions and diagrams) • Deciding on secondary data needs to undertake the agro-ecosystem analysis

These outputs were achieved using plenary discussions and brain-storming sessions among workshops participants

3.2 Purpose and Objectives Defined

Two key elements were considered in determining the purpose and objectives:

1. The improvement of land use planning and management practices at district level 2. The alleviation of poverty in villages most affected by poverty

Purpose • To use AEA and AEZ methodologies to contribute to policy development, planning and implementation related to improved land management practices, and poverty alleviation in upland areas of Lao PDR. Objectives • To develop a procedure that will collate and consolidate various LSUAFRP and other information to assist the agro-ecosystem analysis activity • To undertake agro-ecological zoning (AEZ) in Phonesay District • To use AEA to characterise the current agro-ecosystems in Phonesay District • To create a procedure that will be compatible with district level planning systems, and that will assist District Authorities with more objective planning of rural development programs focusing on poverty alleviation

• To identify key research questions and to develop proposals and guidelines that will assist future research and extension • To encourage and create research and extension co-operation at district and provincial levels.

3.3 Defining the Boundaries of the System

It was determined that the boundary of the agro-ecosystem for study was the Phonesay District administrative boundary.

The primary considerations in making this decision were:

1. To ensure that the AEA focused at the level most appropriate for district planning

2. To ensuring that the district administration and planning representatives played a key role in determining the level at which the AEA should be undertaken.

3.4 General Description of Phonesay District

Phonesay District is located in the northern region of Lao PDR and is characterised by rugged terrain interspersed with narrow valleys along rivers and streams. It is estimated that 80 + % of District area is mountainous which limits the area of land available for paddy land development, and dictates that upland rain fed farming systems dominates the landscape. The total area of paddy land is approximately 190 hectares. At higher altitudes there are isolated pockets of elevated rolling plateaus which support both natural forest and grasslands, and are used by highland villagers to raise cattle.

The District has rather limited areas of natural forest remaining, the most important and least disturbed being the south-western extremity of the Nam Et- Phou Loei National Biodiversity Conservation Area (NBCA) and two adjacent areas, bordered by the Nam Khan River. These areas still have fairly rich forest stands and support a range of protected wildlife species. They are also important non-timber forest production areas and livelihood contributors for villagers. Other areas in the District were declared as Provincial Conservation and Provincial Protection Forests in 1996, however the status of these requires a review because they have been degraded by upland cultivation.

The District has a total population of 24,237, and is inhabited by the three main ethnic groupings; Khamu (62.50 % of total households), Hmong (24.50 % of total households) and ethnic Lao (13.00 % of total households). Generally the Lao occupy the river-side valleys, the Khamu the valleys and the hill slopes, and the Hmong the higher elevated country. These distinctions are however quite rapidly changing due to both voluntary migration and planned re-location from the more mountainous and isolated areas to the lower-lying areas. There are presently many villages of mixed ethnicity.

3.5 District Context

The District has a total area of approximately 246,104 hectares and is bounded by Luang Prabang District to the west, Pak Xeng (LPB) and Viengkham District (Houa Phanh Province) to the north, Phoukood District (Xieng Khuang Province) to the east, and Phoukhoun District (Xieng Khuang Province), and Xieng Ngeun District (LPB Province) to the south. There are four main river systems in the District, the Nam Pa, flowing west, the Nam Ter, flowing north east, the Nam Bak in the south, and the Nam Khan which bounds the District to the east. The Nam Khan is an important communication and transport system to Xieng Ngeun District and Luang Prabang.

The District has a good standard gravel all-weather road reaching the District Headquarters, 46 Km from the main Luang Prabang road. It continues west to the area near Sop Chia village. Minor access roads extend to Phonthong (Nam Ter) and Sob Hout near the Nam Khan river. The access track network is being expanded, and presently approximately 16 villages have access to a road or an access track.

Phonesay is one of the 10 poorest districts in the country. Of the 56 registered villages today, only five villagers are in the low poverty bracket, 10 are less poor (medium poverty) and 41 villages or 73% are classed in the severe poverty bracket. Opium addiction is common, there being 876 addicts in 53 of the 56 villages. Of the total, 674 are ethnic Khamu and 198 are ethnic Hmong. Seventeen villages have permanent clean water supplies, there are approximately 31 lower level schools, often inadequately staffed by teachers, one hospital at Phonesay, and eight permanent health centres.

3.6 District Systems Hierarchy

LUANG PRABANG PROVINCE

PHONESAY DISTRICT

River-side flats Upland annual Highland Mountainous and lowland rain-fed plateau and mixed forest paddy areas cropping areas grassland areas areas

• Paddy rice • Upland rice • Upland rice • Conservation forest • Vegetables • Field crops • Cattle grazing • Shifting cultivation • Field crops • Teak planting • Animal raising (upland rice, field • Teak planting • Fish Ponds • Field crops crops) • Fish Ponds • Fruit trees • Vegetables • Livestock ranging • Fruit trees • NTFP gathering • Fruit trees • Timber gathering • NTFP gathering • Animal raising • NTFP gathering • NTFP gathering • Animal raising • Wildlife hunting

3.7 Secondary Data Needs

Agro-ecosystem analysis is largely dependent on the collation and analysis of secondary information. In the Lao PDR substantial secondary data is available at provincial, district, and village levels, including bio-physical, socio-economic, digital spatial data and numeric data.

Prior to the first workshop, the types and sources of data that would be needed were considered and identified. An initial list using various headings and categories was compiled and prepared for each of the units that would be involved in the AEA. Responsibilities for data collation were identified. Examples are provided below.

Table 2: Information and Data Sources Prepared for Workshop No. 1

Type of Information Format in Format in Group or Information Source which Data which Data Individuals Available Required Responsible Socio-economic LSUAFRP Word reports Market flow S-E Unit diagrams Poverty World Food LECS 2 District Poverty S-E Unit Program; District (Expenditure & maps Authorities; PPA Consumption Excel or Access Survey 2) files Land Management and LSUAFRP; Digital ESRI Digital ESRI GIS Unit; Soils NAFRI GIS Unit; format; maps format SSLCC Soils Survey Centre Demographic National Statistics Word Reports; Excel tables; Land Management Information Centre (NSC); Excel spread District village re- Component; District District sheets location plans Authorities Authorities Land Use and Forest Forest Inventory Digital ESRI Digital ESRI Land Management; FIPD Cover & Planning format; maps format; A3 and Division (FIPD) A4 size maps Forest Systems, Agro- Research Centres; Word reports Tables; trialed LSUAFRP; forestry & NTFPs LSUAFRP; technologies; Forestry Research NTFP Projects Component Farming Systems Research Centres; Word reports Tables; on-shelf LSUAFRP; LSUAFRP technologies; Farming Systems recommendation Component domains; Livelihood calendars Climatic Information Met and Hydro. Annual statistics Graphs; tables; Met and Hydro. Dept Dept (MHD); climatic maps (MHD); NAFRI Research NAFRI Research Division Division

These various types of information were presented at the first workshop and discussed by multi-disciplinary groups broadly comprised of persons responsible for the following five areas of responsibility: technology development, technology transfer, area characterisation, service provision, and program policy and planning.

The data sheets were examined by the working groups and the data needs were refined in order that follow-up action could be undertaken to secure the information required for the Second Workshop. This was summarised into a revised list of data, data sources and data formats required and distributed to the AEA participants for 8

follow-up. Responsibilities and timeframes for acquiring the data were outlined and presented in the following format:

Type of Information Guiding Data Format in Format in which data Information Source Comments Available which data is required & (Yes - No) Available Responsibility

The following is a summary of data that was gathered.

3.8 Bio-physical Data

Topographic • District and Development Area administration boundaries; village boundaries (boriwen only); village locations (before 1999; 2004) • Watershed classification • Land form; elevation; land slopes Climatic • Annual rainfall and distribution • Annual temperature and distribution Water Resources • Rivers and stream locations • Weirs and irrigation benefit areas Geology and Soils • Geological series and distribution • Soil types and distribution • Soil properties and production potential Communications & • Roads and tracks Infrastructure • Market locations Land Use • Forest management categories and zones • Land use zoning: forest areas, agricultural areas, grazing, cash crops, and urban areas • Past land use and present land use • Land suitability • Optimum land use

3.9 Socio-economic Data

Agriculture • Annual crops and seasonal cropping calendars; labour inputs; economic inputs; commercial tree crops, livestock and grazing, fish Agro- Forestry • NTFP types and collection Ethnicity • Traditional and cultural calendars Markets • Market locations and commodities Poverty • Poverty ranking and distribution (district and development area) Opium • Opium addiction and distribution (district and development area)

The following bio-physical and socio-economic maps were produced in digital format in readiness for agro-ecological zoning.

District Bio-physical Maps • Context map (showing surrounding Districts); Boundary; Village point (before 1999), Village point (2004); • Rivers and streams; • Roads and tracks; • Mean annual rainfall; Mean annual temperature; • Watershed classification; Slope categories ; Elevation categories ; • Soils ; Geology ; • Irrigation areas; Land Use and Forest Management ; Land use planning (forest & agriculture); Past land use (1992) and (2000); Land suitability; Optimum land use Socio-economic Maps • District poverty status (2004) Thematic Sketch Maps • Health Centres (District coverage) • Permanent Clean water • Schools

Several of the types of maps printed from the NAFRI GIS data bases are illustrated below.

Examples of Biophysical Maps Used for Agro-ecological Zoning and Agro-systems Analysis

Phonesay District Elevation Map Phonesay District Watershed Classification Map

Phonesay District Slope Map Phonesay District Soil Map

Phonesay District Land Use Map (2000) Phonesay District Land Use and Forest Management Map

Phonesay District Land Suitability Map Phonesay District Optimum Land Use Map

Phonesay District Rivers -Streams Map Phonesay District Road Map

Phonesay District River Systems Phonesay District Road and Access Track Network

Phonesay Village Point Map (1999)

4 Agro-Ecological Zoning

4.1 Required Outputs from Zoning

The following outputs were required from District zoning:

1 Draft zonation of the agro-ecosystems in Phonsay District. 2 An initial description of agro-ecosystems in Phonsay District 3 An initial understanding of the major farming systems of each agro-ecological zone in the district 4 An initial list of key agricultural problems and development opportunities for each zone in the district

4.2 Zoning Tools Used

The zoning tools used to facilitate boriwen agro-ecological zoning were map overlay techniques and various map sets produced from data sets held in the NAFRI GIS Unit data base. 4.2.1 Map Overlay Techniques

Map overlay techniques, involving the sequential overlay of all available maps, were used to identify distinct zones with fairly homogenous biophysical and socio- economic conditions. This was done using an overhead projector with maps of the same scale printed to fit on A4 transparencies. The maps were overlaid sequentially to elicit ideas and comments from participants about likely zones and zone boundaries.

The map overlay technique used A4 maps of watershed classification, elevation, slope, soils, geology, climate (temperature and rainfall), current land use, forest cover, land suitability, optimum land use, rivers, communications, administrative boundaries, village locations, population density, poverty, etc. Some of these, particularly those for socio-economic parameters were thematic maps using village point locations as village boundary data were not available.

System ‘context’ maps showing areas outside but adjacent to the system of study were also produced for important parameters such as watershed classification, topography, forest cover and land use. These were used to explore issues regarding those agro- ecological zones that extended outside the boundary of the district. They helped to resolve land form and land cover questions and were considered extremely valuable.

4.2.2 Description of Secondary Data Used

The following map sets produced from digitized spatial databases held at NAFRI were used for zoning.

A3 Size Maps: Digitised maps of the District showing system boundaries, roads, rivers (watersheds), village points, village poverty (sketch maps), watershed classification, elevation, slope, soils, geology, land use planning and forest zoning, climate (temperature and rainfall), land use, forest cover, (1992 and 2000), and land suitability/optimum land use maps.

A3 System ‘Context’ Maps: Digitised maps including areas outside but adjacent to the district, including watershed classification, topography, forest cover and land use.

A4 Size Maps: Digitised maps of the district, including; system boundaries, roads, rivers (watersheds), village points, village poverty (sketch maps), district "context" (district and surrounding areas), watershed classification, elevation, slope, soils, geology, land use planning and forest zoning, climate (temperature and rainfall), current land use, forest cover, (1992 and 2000), and land suitability/optimum land use maps.

Transparency Maps: A4 size overhead transparencies of all of the types of maps listed above for use on the overhead projector during brainstorming sessions.

In addition to the spatial data, numeric attribute data sets on the socio-economic parameters of poverty, health, education, and village water (dis-aggregated to the village level) were used to produce thematic maps for these factors from data sets held by the district planning authorities in hardcopy format. Secondary data were sourced from the National Census (2000), the Agricultural Census (1998/99) which are being used for producing other thematic maps on population, ethnicity and agriculture.

4.3 Zoning Procedures

The zoning activity was facilitated by a "zoning facilitator" using the overhead maps.

The larger A3 size maps were posted on display boards for consultation and clarification in the brainstorming sessions. The A4 size overhead transparency maps were used on the overhead projector to project large images of the maps onto an overhead screen. This facilitated the active involvement of all participants in the zoning process.

A variety of maps of various biophysical and socio-economic parameters were displayed sequentially on an overhead projector. A transparent district boundary map was overlaid on each of the maps in turn from which impressions were formed by participants on possible agro-ecoecological zone boundaries.

As possible zones were identified, they were drafted onto a transparency which was overlaid once more with all the maps to check for accuracy and to refine the zone boundaries.

These initial boundaries were further clarified using a number of iterations of map overlays and open discussions until a concensus was reached, following which the zone boundaries were drawn onto the transparent district boundary map. The larger A3 size maps were consulted from time to time to verify bio-physical information and to help verify agro-ecological zone boundaries. During the process of agro-ecological zoning, poster paper was used for recording key issues that arose for follow up during field work.

4.3.1 Preliminary District AE Zones Delineated

The following preliminary agro-ecological zones delineated in Phonesay District are depicted on Map 1.

Zone 1: Lower elevation, potentially productive upland agro-ecosystem Zone 2: National biodiversity conservation area and buffer zone agroecosystem Zone 3: Forest protection and sustainable use agro-ecosystem Zone 4: Mountainous, recurring sub-watershed agro-ecosystem Zone 5: High elevation plateau, rolling-grassland and multiple use agro-ecosystem

Map 1: Preliminary District Agro-ecological Zones Delineated

4.3.2 Draft Zone Descriptions

Initial description of the zones was undertaken during Workshop 2 using a variety of tools including:

• Transect tables • Time lines (historical profiles) • Seasonal calendars • Flow diagrams • Venn diagrams

These zone descriptions required further elaboration using additional data that would be collected in the field by the workshop participants. The draft zone descriptions are not presented at this point in the report. Full descriptions, incorporating the initial information from workshop group work and the information from field work, are presented in Section 7 titled: District Agro-ecological Zone Descriptions".

4.3.3 Key Issues Emerging from Zoning

During the process of agro-ecosystem zoning key issues regarding the performance of the zones started to emerge. For example, various Provincial Conservation Forests delineated in 1996 within the district boundary were found to be located in the "mountainous, recurring sub-watershed agro-ecosystem" and the "high elevation plateau, rolling-grassland and multiple use agro-ecosystem", both of which are rather heavily populated and are characterised by upland and highland agricultural production systems.

Further work was required in the field to elaborate these key issues more accurately.

Table 3 provides a summary of the key issues and development opportunities identified for the district agro-ecosystem during initial zoning

Table 3: Key Issues and Opportunities Identified from Initial Agro-ecosystem Zoning of the District Agroecosystem

Zone Key Issues Development Opportunities Zone 1: Lower elevation, • Villagers still do substantial shifting • Improve upland farming systems, potentially productive cultivation while there is potential to incorporating conservation measures upland agro-ecosystem improve farming systems • Expansion of paddy areas • Areas with irrigation potential have not • Construction of small weirs to increase been developed and irrigation irrigated production areas infrastructure needs expanding • Introduce vaccination programs • Improvement of cattle breeds and control of cattle disease epidemics • Education levels in villages is low; only to level 5 • Access tracks to and between villages are inadequate • Seasonal epidemics, ie, malaria, dysentry Zone 2: National • Are there needs for a buffer zone or • Eco-tourism potential in the NBCA biodiversity conservation protection zone in the forest areas west of via the Nam Khan River area and buffer zone the Nam Et - Phou Loi NBCA? • Investigation of need for buffer zone agroecosystem • The proposed route of the road from the to the west of the NBCA to protect Nam Ter area passes through the NBCA, NBCA natural resources, involving and although providing communication villages that currently encroach on the and transportation benefits, would result in NBCA various negative impacts on the NBCA • Development of comprehensive resources. Is there an alternate route for the Natural Resources Management road? Agreements with adjacent villages • Population growth in villages adjacent to NBCA (greater impact o resources) • The adjacent villages of Viengthong, Buakkham and perhaps Hat Jong gather NTFPs and hunt wildlife in the NBCA Zone 3: Forest protection • Access roads to the area will have both • Eco-tourism potential in a Protected and sustainable use agro- negative and positive results. Is boat Forest Area using the Nam Khan ecosystem communication and transportation using River for transportation the Nam Khan River a viable alternative? • Sustainable harvesting of NTFPs and • Clean water, schooling and health services non-banned wildlife are inadequate, particularly in Khamu • Road connection to Don Kham villages Zone 4: Mountainous, • Is the Provincial Conservation Area • Convene discussions with the recurring sub-watershed located in the centre of the zone (near the Provincial Forestry Office to discuss

Zone Key Issues Development Opportunities agro-ecosystem District Centre) an appropriate land the criteria and procedures used to classification? undertake the delineation of Provincial • What is the status of the Provincial Conservation Forests and Provincial Protection Forest located in the north of Protection Forests in Phonesay District this zone adjacent to the northern boundary in 1996 between Phonesay and Pak Xeng Districts? • Consider the re-delineation of the • Is this Protection Forest category Provincial Forests based on the current consistent with the category in Pak Xeng land use situation and village District? livelihood systems within the agro- • Roads, small village hydro dams, and re- ecological zones. location of villagers to riverside locations • Consider the opportunities for are causing depletion of fish species and delineation of alternate Protection fish populations in the Nam Pa River • NTFP collection, marketing structures may be causing unfavourable prices for villagers selling NTFPs to concessionaires Zone 5: High elevation • Inadequate clean domestic water for • Improved large livestock production plateau, rolling-grassland villages • Survey to investigate the potential to and multiple use agro- • Unreliable water for livestock improve domestic and livestock water ecosystem • Access roads do not reach villages in the availability (deep bores; better zone except for a dry season track to Lom pondage of water) Yom Yai village. • Eco-tourism potential (because it is an • All households are in the severe poverty elevated area with an ethnic Hmong category population ) • A Provincial Conservation Forest, declared • Organic vegetables and maize in 1996 covers the whole of this zone, • The sustainable harvesting of NTFPs (although it is clearly a village grazing and has potential production area) • An assessment of "population carrying • There are negative social and land use capacity" of the area to assist planning impacts resulting from re-locating villagers development activities. from this zone to river-side locations, eg, • Extending access tracks to four Huay Man and Huay Maha; villages • All households are in the severe poverty • Review of the status of the Provincial category. Conservation Forest

4.4 Preparation for Fieldwork

Additional or missing data needs were identified during the working group sessions when the secondary data list was examined by the five multi-disciplinary groups, and during the preliminary agro-ecological zoning plenary session.

4.4.1 Additional Information Needs

The additional data required to complete the description of each zone were documented prior to the field work being undertaken. These data needs are summarised in Table 4.

Table 4: Additional Information Needs Required from Field Work

Zone Additional Data Required Zone 1: Lower • The boundaries of this zone are still not properly defined; further consideration is needed elevation, potentially when in the field productive upland • Diversity of NTFPs, location and NTFPs marketed, (in the areas adjacent to Sop Chia agro-ecosystem market)

Zone Additional Data Required • Wildlife and fishing availability and exploitation Zone 2: National • Which villagers (and populations) access the NBCA from Zone 1, and what impacts is this biodiversity having, ie, on NTFPs, wildlife and fish. Are there logging impacts in the NBCA? conservation area and • The areas of the NBCA that are being affected by shifting cultivators from Zone 1 buffer zone • What are the plans for the road that has been mooted to link Phonesay District with Houa agroecosystem Phanh. Is there an alternate route for the road? • Follow-up on information on forestry and agriculture relationships in the NBCA area; shifting cultivation etc. • Possible location of the proposed buffer or protection zone for the NBCA • Flow diagrams for NBCA impacts and management Zone 3: Forest • Demographic information on villages impacting on the forests in the zone protection and • Information on farming system and labour inputs sustainable use agro- • Information on forest and agriculture relationships ecosystem • Exploitation and marketing of NTFPs to outside locations • Information on potential for eco-tourism in the zone using the Nam Khan River for access • History - Time Line for Zone 3 villages • Infrastructure and services information Zone 4: • Prepare a History or Time Line for the zone Mountainous, • Village population data; extract and summarise data for the zone recurring sub- • Description of the farming systems of the zone. The seasonal calendar is very basic; watershed agro- collect additional information to improve it. ecosystem • Acquire additional information on NTFP locations, species, marketing and prices • Income data • Number of villages with access roads • No of Health Care Centres • Cultural calendar for the various ethnic groups • Credit systems that exist in zone 4 villages • Additional NTFP market information from Sop Chia market centre • Complete sample transects in two locations to provide indicative information on agro- ecological sub-systems or recommendation domains at varying altitudes and slopes within the zone Zone 5: High • Complete History - Time Line elevation plateau, • Gather information on re-location and merging of villages and impacts on host villages in rolling-grassland and lower-lying river side locations multiple use agro- • More information on marketing of vegetables from Zone 5 ecosystem

4.4.2 Follow-up on Key Issues

The key issues for each agro-ecological zone, as listed in Table 2, were recorded so that the groups responsible for each zone had references for follow-up during field activity in the District.

The task in the field was to investigate the key issues that arose from zoning during the second workshop, ie,:

• verify that the issue actually existed • Investigate the parameters of the issues verified and gather additional information to clarify the nature of the issues • Document the additional information that would be useful in the final analysis during the third workshop

5 Fieldwork

5.1 Required Outputs from Fieldwork

The outputs required from field work were:

1 Orientation and training on AEA procedures for District staff responsible for rural development activities at the boriwen and village development group (kum ban patana) levels 2 The acquisition of additional and more concise secondary information to assist with the final analysis during the 3rd AEA workshop, including; - market information, - agricultural production - villager perceptions of rural development problems and needs, - up-to-date population data, - village poverty status and poverty related problems - Provincial Protected Areas status within the District - Infrastructure and communications 4 A more detailed description of agro-ecosystems in Phonsay District 3 A clearer definition of the boundaries of the AEZs for the District 5 A more detailed understanding of the major farming systems of each agro-ecological zone in the District 6 A more complete list of key development and agricultural problems and development opportunities for each zone in the District 7 A description of the agro-ecological sub-systems, or recommendation domains, that exist within the mountainous, recurring sub-watershed agro-ecosystem (Zone 4) 9 A clearer understanding of "system properties" and preparation of information to assist system property analysis during the 3rd workshop

5.2 Logistics, Team Formation and Operation

The AEA field team was based at Phonesay District and accommodated at the District Government Guesthouse during field activities. Multi-disciplinary teams of staff were formed comprising centrally based staff at NAFRI and 12 district staff members responsible for rural development activities in each of the district boriwen (development areas) and village development groups (kum ban patana). The district staff provided more depth and local knowledge to the work teams. The teams undertook focus group discussions and field excursions to gather additional data for each of the five district and two boriwen agro-ecological zones

Group discussions for data gathering were undertaken at the district centre and field excursions were made to various field locations to the extent that the weather and access road conditions would allow.

A list of the district staff members involved in the AEA, and their areas of responsibility, is presented as Appendix 6.

These field visits focused on the mountainous, recurring sub-watershed agro- ecosystem (District Zone 4 and Development Area Zone 2) and the high elevation

plateau, rolling-grassland and multiple use agro-ecosystem (District Zone 5 and Development Area Zone 1).

5.3 Field Tools Used

During the field activity the teams made use of various AEA tools, such as focus groups (staff), key informants (villagers), transect walks (staff and villagers), problem census meetings (staff and villagers) and supplementary market studies (staff and villagers). These AEA tools are described below. 5.3.1 Focus Groups

Four focus groups were formed with responsibilities for the five District and the two Boriwen agro-ecological zones:

Group District Agro-ecological Zones Boriwen Agro-ecological Zones 1 Zone 1: Lower elevation, potentially productive Not applicable upland agro-ecosystem 2 Zone 2: National biodiversity conservation area Not applicable and buffer zone agro-ecosystem Zone 3: Forest protection and sustainable use Not applicable agro-ecosystem 3 Zone 4: Mountainous, recurring sub-watershed Zone 2: Mountainous, recurring sub-watershed agro-ecosystem agro- ecosystem 4 Zone 5: High elevation plateau, rolling grassland and Zone 1: High elevation plateau, rolling grassland multiple use agro-ecosystem and multiple use agro-ecosystem

Each group worked with the aid of a complete set of A4 sized maps, the list of missing data, and the initial list of key questions for their particular zone to acquire additional information. The Boriwen and Village Development Group staff played a key role in providing information based on their intimate knowledge of their areas. 5.3.2 Transect Walks

Two representative transects walks were undertaken in Tapo and Sop Chia villages in District Zone 4, the zone of priority importance in the District. The work was undertaken by two groups comprised of staff and land users from each village. The transect studies provided information on land uses and farming systems in five slope categories identified within the zone. 5.3.3 Key Informants

District staff and farmers assisted with acquiring additional information needed. Both village men and women were consulted during the two transect walks, a problem census meeting and discussions on vegetable and NTFP marketing. 5.3.4 Problem Census

A problem census meeting was conducted at Sop Chia village In AE Zone 4 to acquire a better understanding of villager perceptions on rural development

constraints and problems. Groups of men and women contributed to the discussions which provided a list of priority problems as viewed by the community. 5.3.5 Market Studies

Specific market enquiries were made with village representatives as follows:

District Zone 5: Cool season vegetable production and marketing - High elevation plateau, rolling grassland and Yom Long Yai village multiple use zone District Zone 4: NTFP collection, purchasing and marketing in the Mountainous, recurring sub-watershed zone eastern sector of the zone at Sop Chia village.

5.4 Information Acquired from Field Work

The four multi-disciplinary focus groups acquired the following information:

Areas of Focus Type of Information Acquired District Agro-ecosystems: • A more detailed and accurate description of agro-ecosystems in (Zones 1, 2, 3, 4 and 5) Phonsay District, including; agro-ecosystem context, land form, slope, soils, elevation, relative climatic conditions, land cover and trends, current land use, farming and livestock systems, fishing, wildlife and hunting, NTFPs, farming and forestry interactions, demography and ethnicity, infrastructure and communications, major livelihood problems, key poverty issues, and development opportunities. • Agricultural production information • Village poverty status and poverty related problems • Provincial Protected Areas status within the District • Up-to-date population data • Infrastructure and communications • A clearer definition of the boundaries of the AEZs for the District • A more detailed understanding of the major farming systems of each District agro-ecological zone. • A more complete list of key development and agricultural problems and development opportunities for each District zone • A clearer understanding of "system properties" and preparation of information to assist system property analysis Specific Market Studies • Cool season vegetable production and marketing: Yom Long Yai village Zone 5 • NTFP collection, purchasing and marketing at Sop Chia village in the eastern sector of District Zone 4 Indicative villager perceptions of • Gender dis-aggregated Problem Census Sop Chia village to define and rural development problems and prioritise problems in a representative village of District Zone 4 1 needs Indicative agro-ecological sub- • A description of the land uses and cropping systems in Tapo and Sop Chia systems, or recommendation villages, for five sub-zones: riverside paddy land, gentle lower slopes, domains in District Zone 4 moderate slopes, steep slopes and highland Sub-Zones2.

5.5 Key Issues Emerging from Fieldwork

1 The Sop Chia Problem Census, presented in Section 7.4.5 provides full details 2 See Figure 1, Tapo Village Transect, District AE Zone 4, 19th May, 2004 22

In addition to the key issues identified during the initial agro-ecological zoning activity, the multi-disciplinary working groups identified additional key issues, problems and development opportunities during field work. These are presented in Tables 5.

Table 5: Additional Key Issues, Problems and Development Opportunities Identified for the District Agro-ecosystem During Field Work

Zone Key Issues and Problems Development Opportunities Zone 1: Lower elevation, • Education levels in villages is low; only to • There are potential production areas potentially productive level 5:lack teachers & school materials & which could absorb people from other upland agro-ecosystem equipment areas within the District • Inadequate government services, ie • Improve government services education, health, electricity, including education, health, electricity, communications ,agricultural extension communications ,agricultural and forestry extension and forestry • Some villagers from this zone still collect • Improve agricultural extension NTFPs from the NBCA (Zone 2) systems • Wet season poultry disease outbreaks • Develop village level credit systems • Lack agricultural and livestock techniques • Conduct opium consumption reduction • Heavy rains (floods) cause stream programs and initiate a detoxification pollution program • Villagers lack finance for production and • Consider the consequences of re- development: new paddy land , fish pond location and conduct land use planning expansion, agricultural tools, & vaccines to studies before attempting re-location protect livestock • A lot of opium addiction, 149 people: (women - 11, men 138) • Village merging (Ban Sop Kuan & Hat Saang) and land allocation for villagers has not been done • Some people still hunt prohibited wild animals Zone 2: National • Adjacent villagers in Zone 1 graze cattle in (See opportunities proposed in Section biodiversity conservation the NBCA 4.3.5) area and buffer zone agro- ecosystem Zone 3: Forest protection • Lack of suitable farming land • Clean water supplies for Had Jong and and sustainable use agro- • Lack funds to invest in agricultural Hat Gap villages ecosystem production • Improved health facilities • Lack knowledge in improved farming • Address opium addiction; methods detoxification centre • No paddy land potential • Permanent school buildings in Hat • Opium addiction is quite severe Jong and Hat Gap • Developing a market place at Don Kham Zone 4: Mountainous, • Village re-location and merging has caused • Review the impacts of the village re- recurring sub-watershed many problems; administration, ethnic location program with the aim of agro-ecosystem incompatibility, cultural incompatibility, minimising the negative impacts of confusion & lack of production land this program. • Social services are not good enough, ie, • Improve social services, ie, communications, health (hospitals), communications, health (hospitals), schools, & village water supplies schools, & village water supplies • The dissemination of technical information • Develop village level credit systems and GOL policies by officers is not • Improve agricultural extension consistent systems to improve information flow • Village finances for production are lacking, and agricultural production knowledge ie, improved seed, fertilizer at village level • It is necessary to improve villager • Awareness and education programs to knowledge levels so they can absorb new mitigate the problem of declining 23

Zone Key Issues and Problems Development Opportunities technical information stream fish species and populations • Not all households are willing to invest in household and village productivity Zone 5: High elevation • There are negative social and land use • Eco-tourism potential (because it is an plateau, rolling-grassland impacts resulting from re-locating villagers elevated area with an ethnic Hmong and multiple use agro- from this zone to river-side locations, eg, population ) ecosystem Huay Man and Huay Maha • Organic vegetables and maize • The sustainable harvesting of NTFPs has potential • An assessment of "population carrying capacity" of the area to assist planning development activities. • Review the plan to move more people from this zone to lower river-side locations

6 Systems Analysis

Following field work and the acquisition of additional information, an analysis of each of the District and Boriwen agro-ecosystems was undertaken during the third and final workshop.

6.1 Required Outputs from Systems Analysis

The required outputs from systems analysis are as follows:

A final zonation of agro-ecosystems of the District agro-ecosystem Detailed agro-ecological descriptions of each of the zones of the District agro- ecosystem A prioritised list of key issues and development opportunities identified for each of the zones in the District An outline of proposed solutions to the key problems identified for each of the zones of the District.

6.2 Analysis Tools Used

The analysis tools used in the final system analysis were as follows:

Analysis Output Tools Used 1. Final Zonation A complete set of bio-physical maps of the District and Long Nam Pa Boriwen Plenary session to review of the AE Zones following enquiries in the field 2. Detailed agro- Time-line of events in each zone ecological Zone Transect of each District and Boriwen zone Descriptions Seasonal calendars for agriculture, livestock and NTFP and traditional/cultural events Flow diagrams regarding agricultural production, marketing, and use of natural resources Venn diagrams concerning administration linkages and management systems

3. Systems Property Systems Properties Table to assess the four properties: Analysis productivity, stability, sustainability, and equitability 4. Key Issues and Key Issue" (paden samkhan) and Problem (bunha) Explanation Problems Table (to distinguish key questions and problems) Key Question and Problems Table Innovation Assessment Table 4. Outline of Proposed Key Question and Problems Solution Table Solutions Available Technology Tables - Farming Systems and Agro- forestry Systems

6.3 Detailed Description of District System

The Phonesay District system is described using the District agro-ecological zone map, and the district agro-ecosystems transect table. (See below)

Detailed descriptions for each of the five AE zones within the District are provided in Section 7: District Agro-ecological Zone Descriptions, in which are included, a transect table description, history time lines, seasonal calendars, flow diagrams, system property analysis, key questions and problem analysis, and innovation assessments.

6.3.1 Phonesay District Agro-ecological Zone Map

The AE Zone map was modified slightly following discussions in the field with district staff and a closer scrutiny on the various larger sized (A3) bio-physical maps in Vientiane. The final district agro-ecological zoning map is presented below.

6.3.2 Phonesay District Agro-ecosystems Transect Table

The district agro-ecosystems transect table was prepared using information recorded during the second workshop and addition information gathered in the field by the multi-disciplinary teams.

The transect table includes various descriptors to provide a general description of the district agro-ecosystem. Some descriptors provide bio-physical information while others provide socio-economic information as summarised below.

Bio-physical Descriptors Socio-economic Descriptors • Agro-ecosystem context • Current land use • Land form • Farming systems (inc. livestock) • Elevation • Fish and fishing • Slope • Wildlife and wildlife uses • Geology • NTFPs and uses • Soils • Farm and forestry inter-actions • Relative climatic conditions • Demography and ethnicity • Land and Forest cover • Livelihood problems • Infrastructure and communications • Poverty related problems • Development opportunities

Figure 2 : Transect Description of Phonsay District Agro-Ecosystems

1. Agro-ecosystem context An extension of a similar AE Centred on the Nam Pa and Centred on the Nam Ter river Southern-most part of Nam Et - A forested area adjacent to zone zone in neighbouring Luang Nam Bak river systems at the system in the eastern end of the Phou Loei NBCA; adjacent to 2; bordered by the Nam Khan Prabang District; the smallest of western end of the District; the District; lower population than zone Houa Phan Province; some river; eco-tourism potential; the five zones; ethnic Hmong mostly heavily populated area; 4 & has potential to absorb more upland cultivation by villages NTFPs and wildlife resources population; accessible in dry has the best infrastructure & people; has paddy land development from zone 1; potential for being exploited by outsiders; season communications systems potential delineation of a "buffer zone" very low population.

2. Landform, elevation, slope Mountainous & rolling plateau; Mountainous, mid elevation Less mountainous; mid-elevation Mountainous; higher elevation Mountainous; higher elevation high elevation (900 - 1700 (500 - 900 masl); slopes (500 - 1000 masl); slopes mostly (500 - 1000 masl); slopes (mostly 500-1500 masl); slopes masl); slopes between 2% to > between 15% to > 55% between 8% & 20%, some areas mostly between 30% and 55%; mostly between 30% and 55%, 55% steeper some areas steeper some areas less steep 3. Geology and soil types Geology: Pcl -Calcaeous series; Geology: Pca - Argillite series, Geology: Pca - Argillite series, Geology: Pca - Argillite series, Geology: Pca - Argillite Series; mainly massive limestone with shale, mudstone, siltstone and shale, mudstone, siltstone and fine- shale, mudstone, siltstone and shale, mudstone, siltstone and conspicous relief, subordinate fine-grained sandstone grained sandstone fine-grained sandstone; a litle fine grained sandstone ("hin shale and sandstone Soil types: Ferric Luvisols, Soils: Gleyic Cambisol (Cmg), Pcl -calcaeous series garb leung" and "hin garb Soil types: Plinthic Alisols and about 5% of the land area: Haplic Acrisol (Ach) Haplic Soils types: Mid-zone area : dum") Gleyic Acrisols Harplic Lixisols about 95% of Luvisols (Lvh), Plinthic alvisols Luvisols; Surrounding the Soils types: Gleyic and Ferric the land area (Alp); good cropping land NBCA: Acrisols and Lixisols Acrisols. 4. Relative climatic conditions Area I: Mean average Mean average temperature Mean average temperature range : Mean average temperature Mean average temperature temperature in 14 to 22º C range: 14º C- 20º C 20-24 C range: 18º - 24º C; Average range: 16º - 26º C; range Average annual rainfall Estimated annual rainfall range: Average annual rainfall range: 1700 annual rainfall range: 1,600 - Average annual rainfall range: range: 1,600 to 1,800 mm 1,700 to 1,800 mm - 1800 mm 1,800 mm about 1,700 to 1950 mm 5. Forest cover and future trends Mostly "unstocked forest" and Mixed forest about 30 %; Forest cover of various types is Forest cover is approximately About 60 % is undisturbed scrub; forest cover varies bamboo forest, upland approx. 30 to 40%, but this is 60%; de-forestation in some forest, 30 % degraded forest, between about 10 % and 60%. cultivation & other forest types difficult to estimate from land use areas by upland cultivation. and 10 %, secondary scrub. Grassland in the less steeply over the remainder. Forest area maps. Forest cover is decreasing in Wildlife and NTFPs are being Potential to be classified as a sloping land. Cattle grazing decreasing as population density areas where village re-location has exploited by outsiders. "Provincial Protected and potential increases (relocation) resulted in population increase. Sustainable Use Forest" 6. Current land use Upland swidden cultivation; Provincial Protection Forest and Scattered natural forest; secondary Part of Nam Et - Phou Loei Natural forest, about 60% of Cattle grazing on natural Provincial Conservation Forest forest in fallow agricultural National Biodiversity land area; grasslands; declared in the Nam Pa area; systems; upland agriculture; Conservation Area (NBCA); Agricultural cultivation and Small scale vegetable Upland cultivation, paddy rice irrigated rice Shifting cultivation and other uses, about 40% of the

High elevation plateau, Mountainous, recurring Lower elevation, potentially National biodiversity Forest protection and rolling-grassland and sub-watershed agro- productive upland agro- conservation buffer zone sustainable use agro- multiple use ecosystem ecosystem agroecosystem ecosystem agroecosystem production production , & livestock uncontrolled cattle grazing land area. production 7. Farming systems major crop/livestock enterprises Upland rain-fed rice, maize and Farming System: A rainfed Upland rice and mixed crops using Shifting cultivation (upland Upland rain fed rice based vegetables cultivation; upland rice farming system; upland cultivation (rotational rice), uncontrolled cattle and farming system. Other crops Cattle, buffalo, pigs, goats, other crops grown include swidden); wet season paddy rice buffalo grazing in NBCA by planted include, job's tear, poultry (chickens ducks) maize and job's tear; and production adjacent villages in zone 1 sesame and some maize. raising; NTFPs Extensive-natural cattle raising Livestock: cattle and buffaloes, Livestock System: Cattle, pigs pigs and poultry and poultry 8. Fish and Fishing None; no natural streams and no Natural river fish conservation Natural stream fishing including pa Natural stream fishing including Natural stream fishing including ponded fish "ponds" are managed by far, tao (turtle), and others "pa jart" and others Pa Jart and Pa Hian villagers in five villages. Varieties include: Pa far; Fish ponds exist in several villages inc, Nam Bor & Thapo 9. Wildlife Wildlife species have Wildlife resources include: Hunting of khwang, farn, wild bear, Hunting of wildlife by adjacent Wildlife resources include: diminished because of Tiger, khwang, deer (farn), ngeuang (like wildgoat), tiger, villages in zone 1: Kathing, kathing, tiger, deer (khuang and deforestation and annual khating, mia, wild pig, kahor, kathing, ngean (wild cat -civet), ga tiger, deer (khuang and farn), farn), wild pigs and monkeys. grassland burning; it is probable kua (chicken), wild chicken, tua hoh (mouse, rat), wild chicken, (gai wild pigs and monkeys. that no protected species lin, lan (iguana) and snakes khua) and other birds species survive in this zone (ngou luang). Non-prohibited spp are hunted, consumed and /or sold in reasonable quantities 10. NTFP’s for subsistence and sale Villagers collect a wide range Commercial NTFPs: Por sa, NTFP collection in natural Main NTFPs harvested in the The main NTFPs marketed are of about 50 NTFPs, including puak muak, bamboo grubs (tua forests; mainly mai ketsana, NBCA for sale are: mai por sa (paper mulberry), puak economic, medicinal, and mae), mak tao, khaem, rattan, & mak neng, por sa, puak muak, ketsana, por sa, doot tiang, muak, toot tiang, khaem, and housing products. Main ones yams. Two NTFP traders and rattan. There is limited khaem, puak muak; sold locally some mai ketsana. Substantial

High elevation plateau, Mountainous, recurring Lower elevation, potentially National biodiversity Forest protection and rolling-grassland and sub-watershed agro- productive upland agro- conservation buffer zone sustainable use agro- multiple use ecosystem ecosystem agroecosystem ecosystem agroecosystem are: Por sa, mushrooms, khaem, operate in the zone; markets commercial trading because of roads in the Phonthong market (Zone quantities are marketed in nor hok, dok euang, yao dong, available all year. Inadequate reach only 5 of the 10 villages 1) and in Xieng Ngeun District Xieng Ngeun District using & mai saang. drying of products cause price villages using Nam Khan river Nam Khan river transportation reduction and market losses transportation. 11. Farming – forestry interactions Part of this zone was declared a Villagers are expanding the land Rotational swidden cultivation and Shifting cultivation (upland Had Chong and Don Kham Provincial Conservation Forest area for agricultural production cropping in forested areas; rice) and uncontrolled cattle and villages practice upland in 1996, however large areas in by bringing more forest areas cattle grazing in forests; forest trees buffalo grazing in NBCA by cultivation in the zone. The this zone are natural grassland under cultivation. This is partly used for field fencing; NTFP villages adjacent to the NBCA forest areas are also a source of which villagers use for cattle caused by in-migration, some collection supplements agricultural located in Zone 1 NTFPs and wildlife. Some teak grazing. The conservation forest by District; some voluntary production is planted in Don Kham village. classification therefore needs to be re-considered 12. Demography and ethnicity Total of 5 villages in Zone Within the Zone there are five Total of 10 villages in the zone; No resident population in the Three "straddle villages" are Hmong 4 villages Village Development Groups, & Three ethnic groups, Lao; 70 NBCA; adjacent impact adjacent to the NBCA: Khamu 1 village 18 villages in which all three families; Lao Theung 479 families villages: Mixed Lao Theung + Lao Lum 125 families; major ethnic groups reside. and Lao Soong, 62 families Lao Lum: Had Jong; Lao Theung 130 families, Total families: 369 Lao Theung : 11 villages Population is 3,722 people; 611 Lao Lum: Pak Vang Total: 255 families. Population 2,567; Mixed Ethnicity : 4 villages families Lao Theung: Vieng Chaleon & Total population: 1,446 Hmong 2,290, Khamu 277 Hmong: 2 villages Lao: 1 vill. Buakkham; 13. Infrastructure and communications Walking tracks exist between Villages as far as Sop Chia have Schools: non-permanent - 8; An access road reaches The Nam Khan River to the all villages; a 4WD vehicular quite good road access to the permanent - 1; Phonthong village in the south is the main transportation road reaches only 1 village main road connecting to Luang VWS: Every village has a VWS adjacent Nam Ter River area, system to Xieng Ngeun District (LomYom Yai) Prabang. Other villages do not Health Post: 1 health post; 9 villages from where there are walking and Luang Prabang. A road One school and health post have access to roads. Other have "medicine boxes" tracks into the NBCA. reaches the village of Sop Hout, services include 7 health posts, Roads: Roads reach 5 villages west of the zone boundary. 18 basic schools & 12 Radio: Radio broadcasts from Don Kham village has a water permanent village water Province and Vientiane supply and a level 3 school. supplies

14. Major livelihood problems No clean domestic water; no Soils fertility levels are being Villagers still dependent on forests None: No resident population in No road access reliable all weather vehicular depleted; available farming land for survival the zone Insufficient farming land with road, low income, no toilets, is usually quite steep; little Health levels are low moderate slopes limited access to schooling potential for more paddy land Knowledge levels are low Education levels are low Health levels are low 15. Key issues in regard to poverty Severe poverty levels in all Food production levels are low No economic production system None: No resident population in Lack moderately sloping villages; shifting cultivation is & consumption needs are high (still subsistence rice system) the zone farming land; lack capital to the main form of agriculture; Improved crop production Lack funds to invest in agricultural invest in agricultural lack of production investment methods have not been adopted production production; low knowledge on funds; development Production does not follow the Road system still inadequate; some improved farming methods; no opportunities are limited until market needs; villagers lack villages do not have road access potential paddy land available; reliable access roads are built market information Opium addiction is quite severe 16. Development opportunities If an access road reaches the Potential to further develop Irrigation weirs; expand paddy Bio-diversity conservation Markets for commercial crops villages the zone is very livestock production systems areas; approximate 100 ha; NTFP (flora and fauna) and eco- exist in Xieng Ngeun and suitable for planting short Some areas used for cultivation domestication; fruit trees, tourism. Luang Prabang season crops (organic - young fallow - could be commercial trees, and vegetables Detailed NTFP, wildlife and A road connection between Sop vegetables) for sale in Luang regenerated to forest. Animal raising: cattle,buffalo, goats fish surveys Hout and Don Kham to provide Prabang. Improve production by adopting and pigs Land use planning in adjacent road access to Phonsay and the If domestic and livestock water new varieties and improved Extension of the road to Houa villages to improve resource use market at Don Kham. facilities are improved, there is agricultural production methods Phanh Province in the NBCA Clean water supplies & latrines considerable potential for Infrastructure could be Paper Mulberry growing Village Natural Resource in Hat Jong and Hat Gap permanent settlement of improved through-out the zone Develop markets in Phonthong and Management Agreements to Opium detoxification centre to villages, improved livestock Improving access to education Huay King increase village co-operation in treat opium addicts production, fruit trees and Improve extension, management NBCA resource management. Improved health facilities vegetables and use of NTFPs Potential to establish an NBCA Permanents schools in Hat Jong Formation of production groups protection zone) along the and Hat Gap Permanent primary & secondary boundaries of the NBCA and in Eco-tourism activities using the schools & health posts the mountainous and forested Nam Khan river to provide Potential for eco-tourism area to the south west of the access for tourists. (Buddist

6.3.3 Key Issues and Important Problems

Key issues and important problems identified in the district agro-ecosystem are presented in detail in two tables:

Table 2: Key Issues and Opportunities Identified from Initial Agro-ecosystem Zoning of the District Agro-ecosystem

Table 5: Additional Key Issues, Problems and Development Opportunities Identified for the District Agro-ecosystem During Field Work

6.3.4 Application of Available Farming System Technologies

The characterisation of specific recommendation domains for available technologies assists in targeting the replication of technologies to other areas where the technology can be used appropriately. It is possible to match the recommendation domains of improved technologies with the agro-ecological and socio-economic conditions found in any zone because AEA uses a similar set of descriptors to characterise and describe the agro-ecological zones. (Refer to the descriptions for each agro-ecological zone in the transect table above)

A number of technology options were identified by the Farming System Component that could be replicated in the zones where similar agro-ecological and socio- economic conditions match the particular recommendation domain. The recommendation domains in this case are determined by slope categories, ie, flat, moderately sloping and steeply sloping land.

The list of technology options were derived by considering several factors in the AEA study areas:

1. Results of PRA 2. Results of on-station research (recommended technology options) 3. Results of 2002-03 on-farm research trials 4. Socio-economic Diagnostic Survey 5. Farmers’ preferences 6. District priorities 7. Considering agro-ecological factors versus “technology sets”

Technologies are matched with slope categories to provide the most appropriate technology options for each category. Examples of matching technology options with different slope categories found in the District and Boriwen agro-ecological zones are provided below.

Slope category Technology focus Technology Sets Technology Subsets (some examples) Flat lands - • Sustainable Integrated nutrient Riverbed gardens management

Slope category Technology focus Technology Sets Technology Subsets (some examples) management of Multiple cropping annuals + annuals; annuals + soil fertility perennials; intercropping, relay • Low external cropping input agriculture Integrated crop-animal Animal + feed crops; fodder banks + • Increased land systems animals productivity Agroforestry Hedgerow intercropping, boundary/live fence systems, • Sustainable Integrated pest Biological agents, bio pesticides, management of management cultural practices, crop rotations pests Gentle slopes and • Some degree of Agroforestry Hedgerow intercropping, Mid-slopes soil disturbance is Boundary/live fence systems, Taungya possible but soil systems, improved fallows, silvo- and water pastoral systems conservation Soil and water Minimum tillage, contour farming, measures are conservation mulching, strip cropping, cover desirable cropping • Sustainable Integrated nutrient Green manuring, legume integration, management of management crop residue management soil fertility Integrated pest Biological agents, biopesticides, • Low external management cultural practices input agriculture Integrated crop-animal Animal + feed crops; fodder banks + • Increased land systems animals productivity Multiple cropping Annuals + annuals; annuals + perennials; intercropping, relay cropping Steep slopes • Minimal soil Forestry Plantations (avoid large tracts of disturbance monoculture); • Soil and water Assisted natural regeneration (ANR) conservation Agro-forestry Multi-story intercropping, (essential) Perennial crop block planting Soil and water Zero tillage, rock-walls, terracettes, conservation check dams, vegetative contour strips

These agricultural and agro-forestry technology options could be used to address a number of agricultural key issues and problems that have been identified by the AEA in each District and Boriwen zone, PRAs conducted by the Farming Systems Component and Diagnostic Studies conducted by the Socio-economic Unit in the Long Nam Pa zones.

Only subsistence rice production systems used Increasing population levels Must use steeply sloping agricultural land High land demand Insufficient moderately sloping land available Declining soil fertility Lack of knowledge on improved farming methods Accelerated soil erosion and technologies Lack of suitable land for paddy development Shortened field rotations Low yields and low food production Vigorous weed growth Pests and diseases Agro-forestry Technologies Available

The Forestry Research Component presented a number of forestry and agro-forestry technology options that could be considered for the agro-ecological and socio- economic conditions described in the Tapo Village Transect. These are presented in Table 6.

Table 6: Agro-forestry Technologies Options Under Research by Forestry Research Centre (FRC) - 2003-2004

1. Trees and NTFPs 2. Natural Forest Management Research Trial Topic Planting techniques for Chianglom Forest management of productive village (Dendrobium pulchellum) forest Broom grass (khaem) planting in fallow Direct seeded forest enrichment planting land techniques and methods Khingdam (black ginger) planting in Seedling forest enrichment techniques and fallow land methods using trees and NTFPs Rattan planting on sloping land 3. Agro-forestry Touttieng (Boemieria Sp.) plant spacing Integrated upland cropping system using in open slope areas hedge-rows, interplanted fruit trees, and annual crops Red cardamom shading in natural forest Eagle wood planting in combination with fruit trees, bananas and annual crops Cardamom species and spacing (3 Eagle wood planting in combination with Species) (on-going) other woody trees, NTFPs and annual crops Single teak tree establishment and Upland rice varieties in integrated cropping silviculture in upland forestry systems systems (on-going) (on-going) Integrated tree (Sp.?) planting on steep slopes Bitter bamboo planting time during rainy season (on-going)

The Forestry Research Component is also conducting a "tree plantation zoning" study which may provide valuable information for matching tree species to different forestry and agro-forestry recommendation domains. 6.3.5 Proposed Solutions

Proposed solutions for key issues and important problems identified in the district agro-ecosystem are presented in the following tables in Section 7:

Table 7: Key Questions, Problems and Proposed Solutions - Zone 1 Table 8: Key Questions, Problems and Proposed Solutions - Zone 2 Table 9: Key Questions, Problems and Proposed Solutions - Zone 3 Table 10: Key Questions, Problems and Proposed Solutions - Zone 4 Table 11: Key Questions, Problems and Proposed Solutions - Zone 5

7 District Agro-ecological Zone Descriptions

The descriptions of each agro-ecological zone were derived from information prepared during the second workshop and additional information gathered in the field. This information was complemented with a systems property analysis for each zone, (productivity, stability, sustainability and equitability), the documentation of key issues and problems and a problem solutions assessment (innovation assessment). The descriptions of each zone are presented below.

7.1 Zone 1- Lower elevation, potentially productive upland agro-ecosystem 7.1.1 Spatial Analysis

1. Zone Transect

Descriptor Information Land Form The land form is undulating; some areas are higher Slope In the range 8 to 30+% Elevation In range 500 to 999 masl Soils Gleyic Cambisol (Cmg), Haplic Acrisol (Ach) Haplic Luvisols (Lvh), Plinthic alvisols (Alp) These soils are fertile and suitable for cropping and livestock production Relative Climatic Temperature Range : 20-24 C Conditions Average annual rainfall: In the range : 1700 - 1800 mm There is heavy cloud cover and cool misty conditions every year, some years more than others; very cold winters in 1992, and 2001 Forest Cover and The forest cover is approximately 30 to 40%. The forest cover is decreasing each year, Trends caused by village re-location and merging where populations have increased There are some opportunities to conserve and regenerate forests in selected areas where the "conditions are suitable" ; village LUP and forest zoning would facilitate this. Present Land Use Scattered natural forest; secondary forest in fallow agricultural systems; upland agriculture; bunded irrigated rice. There are opportunities to undertake permanent field cropping in selected locations where slopes are favourable Major Farming Upland rice and mixed crops; wet season paddy rice and Livestock Small scale pig and poultry raising; buffaloes for paddy cultivation and economic security; Systems limited cattle raising Livelihood Mostly natural (extensive) methods of upland cultivation (rotational swidden) Systems Paddy cultivation where available NTFP collection in natural forests Extensive-natural cattle raising NTFP Resources Mai ketsana, mak neng, Por sa, Puak Muak, rattan and others Wildlife and Fish Wildlife: Khwang, farn, wild bear, ngeuang (like wildgoat), tiger, kathing, ngean (wild cat - Resources civet), ga hoh (mouse rat), wild chicken,(gai khua) and other birds species Fish; Pa far, tao (turtle), and others Farming - Rotational swidden cultivation and cropping Forestry Large animal raising: cattle, buffaloes and goats; open grazing in forests Interactions Wood cutting (trees) for domestic use, and NTFP collection Population and In 10 villages in the zone: Na Pieng, Sop Hout, Huay King, Kiew lay, Na Ngoui, Ban Ethnicity Phonthong, Na Ngiou, Ban Buakkham, Phou Samay and Vieng Chaleon. The population is 611 families and 3,722 people, Females: 1,804; Males

Descriptor Information There are 3 ethnic groups; Lao; 70 families; Lao Theung 479 families and Lao Soong, 62 families Infrastructure, Schools: Native/natural materials - 8 locations; Permanent School: 1 location; Communications There are 2 villages with schools that do not have teachers and Information VWS: Every village has a semi permanent or permanent VWS Health Post: There is 1 health post in the Zone; 9 villages have only "medicine boxes" Roads: Roads reach 5 villages Wireless: There is wireless-phone "phoney" in the Zone at Phonthong owned by the Army Radio: Can receive radio broadcasts from Province and Vientiane Major Livelihood Food: Villagers very dependent on forests for their livelihoods Problems Health: Level of health is low Knowledge levels are low Poverty Related Villagers are restricted to shifting cultivation farming which limits their opportunities to Problems overcome poverty No economic production system - still subsistence rice system Lack funds (investment) for agricultural production Lack of road access in some villages Development and Construction of irrigation weirs Conservation Expand paddy areas; approximate 100 ha ; (a survey has been made of 30 hectares) Opportunities There are areas available to expand cropping, ie, mai ketsana, fruit trees, industrial and commercial trees, and vegetables Animal raising: cattle ,buffalo, goats and pigs Potential to extend the road network to reach adjacent Provinces (Xieng Khwang and Xam Neau) Mulberry growing for silk production Market places in Phonthong and Huay King Improve extension, management and use of NTFPs (mai ketsana, mak neng, por sa, puak muak, rattan and others Build "development-economic- production - technique" groups" Build permanent Mattayom school - secondary schools Build permanent health posts Potential for developing a natural tourist industry (eco-tourism) Manage and use (sustainability) stream fish (agreements) 7.1.2 Time Analysis

1. Time Line - Historical Profile

Events Period Information There were 5 villages in this zone; Ban 1960 - 1969 There was potential for new paddy but it was not been Na Mart, Na Ngoui, Ban Poung, Ban developed , Hian, and Ban Mun. They were located The main occupation was upland swidden along the Nam Ter River At this time there were difficulties 1970 - 1979 • The villagers fled to the forest during the war - 1970 associated with the war to 1973. They started a new village in 1974 Villagers started to build paddy fields 1980 - 1989 The paddy rice varieties were introduced from Ban Nga, Phonesay. Equipment to undertake production came from Xieng Khwang There were some security concerns 1990 - 1999 There was a bush fire in Ban Phon Thong in 1992 in the area. Disease epidemic "thong daeng" in the area in 1993-94 Sickness outbreak, 40 people died in 2000 - 2004 Government started to merge villages in the area 2000. "Mak daeng" and throat Villagers started to use new higher yielding rice varieties infections, outbreak in 2004 - 73 people from Xieng Khwang; "khao kai noy", "khao arnong" died.

2. Seasonal Calendar

Activity\Month 1 2 3 4 5 6 7 8 9 10 11 12 Climate/weather Wet season Cool season Hot season Cropping: Paddy Rice Upland Rice NTFP Harvest: Cardamom Por Sa Puak Muak Mai Ketsana Livestock: Cattle/Buffalo Goats/Pigs Poultry

7.1.3 Flow Analysis

Commercial and Economic Inputs and Outputs

7.1.4 Zone 1 System Properties Analysis

Positive Aspects (+) Negative Aspects (-) Productivity • Suitable climate for food production • Market access lacking • High rice yield; rice sufficiency - medium to high • Access roads lacking • Soils are good and there are areas available for • Agricultural production techniques need improvement expanding production • There is potential for a variety of crops Stability • Production levels each year are fairly level • Produce prices are low; lack permanent and stable • The people/families that have rice shortage can find markets seasonal work in the zone or in adjacent zones • Poor road access in wet season for marketing • Sustainability • Large areas available for agriculture and there is • The natural resources are not managed well potential for irrigation development • Land use planning has not been done yet (allocation of • New areas are being developed for cropping; a small agricultural land) weir is planned with a benefit area of 30 hectares • Forest cover is reducting • Moderately sloping land being cultivated therefore there is potentially less soil erosion. • Longer upland fallow cycles are being maintained Equitability • Most people have access to farming land • Population increase from re-location • Most people have access to NTFP collection areas • Education and health levels are not good; they are lower than other zones • Some families do not own or have access to paddy land

7.1.5 Zone 1 Key Questions, Problems & Proposed Solutions

The key questions, problems and proposed solutions for the Lower Elevation, Potentially Productive Upland Agro-ecosystem are presented in Table 9

Table 7: Key Questions, Problems and Proposed Solutions - Zone 1

KEY QUESTIONS PROPOSED SOLUTIONS Lower Elevation, Potentially Productive Upland Agro-ecosystem - Zone 1 Some people in the Zone in Viengthong, Buakkham, • Conduct LUP-LA in the 3 villagers that utilise the forest Na Ngiou, and Phou Samay villages gather NTFPs and and land resources in the NBCA to designate the forest hunt wildlife in the Phou Khoum and Phou Sa areas of and land areas they have rights to access the Nam Et- Phou Loei NBCA • Prepare Village Forest and Land Use Agreements for these villagers in consultation with NBCA staff at District and Provincial levels • Delineate a buffer zone in the area between the villagers and the NBCA boundary There is a lack of school teachers and school materials • Secure funds from outside sources, international donors, and equipment NGOs, and the private sector to support school construction, school equipment and upgrade teacher skills Villagers lack funds for family production activities • Develop village based savings and loan groups to

KEY QUESTIONS PROPOSED SOLUTIONS support production inputs (GOL and Villagers); low interest rates on inputs to create incentives Village merging is incomplete in some places, ie, Sop • Assess the need for village merging before proceeding Kuan and Hat Saang. • Assess the availability of land in proposed village Land allocation has not been undertaken merging locations for proposed new settlers • Delineate village boundaries and land use zones before proceeding with land allocation There are many disease outbreaks (epidemics) ; • Secure funds from outside sources, international donors, intestinal and "mak daeng" NGOs, and the private sector to support health centre construction; District Health Service undertake training on hygiene, sanitation, and disease prevention Road access between villages is lacking/inadequate • Expand the road network between villages; involve villagers in the road network expansion; also extend electricity to villagers in the future Villagers still practise a lot of shifting cultivation • Training and demonstration of improved conservation farming methods; study tours/exchange visits to outside areas Many villagers still consume a lot of opium; a total of • Conduct education programs on the risks/impacts of 149 persons in the zone; males 138 and females 11 opium addiction; conduct detoxification clinics at the District centre; Depletion of stream fish populations • Prepare village agreements and management rules to help villagers manage the fish resources

7.2 Zone 2 - National biodiversity conservation buffer zone agro- ecosystem 7.2.1 Spatial Analysis

1. Zone Transect

Descriptor Information Land Form Undulating and rolling land in lower elevation areas; mostly steep land; steep rocky cliff faces adjacent to the Nam Khan River Slope Mostly in the 30% to 55% range with the steeper mountainous areas > 55% Elevation In the range: 500 to 1999 masl Soils In the middle of the zone: Luvisols; surrounding the NBCA: Acrisols and Lixisols Relative Climatic Average mean annual temperature is in the range 18º - 24º C Conditions Average annual rainfall is in the range 1,600 - 1,800 mm Forest Cover and Forest cover is approximately 60% of the total area; Trends Trends: there is some encroachment from adjacent villages (shifting cultivation and cattle grazing) so there is a small trend towards de-forestation in these areas. Wildlife and NTFPs are being exploited by outsiders. Future possibilities include: conserving NTFPs, watershed protection & wildlife protection Present Land Use Part of Nam Et Phou Loei National Biodiversity Conservation Area (NBCA); Shifting cultivation and seasonal cattle grazing by the "adjacent" villages of Vieng Chaleon, Buakkham and Phou Samay, in Zone 1, and Pak Vang on the boundary of the NBCA Major Farming and There are no resident enclave villages in the NBCA Livestock Systems Livelihood There are no "enclave" villages in the NBCA. The three "adjacent" villages open graze cattle Systems and conduct shifting cultivation in the NBCA; villagers collect and sell NTFPs, eg, mai ketsana, wildlife (and perhaps wood) from the NBCA. Shifting cultivation is practised by villagers from Viengthong District of Houaphanh Province in the eastern part of the NBCA and from Viengkham District of LPB Province, in the north -west part of the NBCA. NTFP Resources The main NTFPs harvested for sale are: mai ketsana, por pa, toot tiang, khaem, puak muak;

these are sold in the Phonthong market (Zone 1) and in Xieng Ngeun District using Nam Khan river transportation. Wildlife Resources Wildlife present are: kathing, tiger, deer (khuang and farn), wild pigs and monkeys. Fish Resources Reasonable quantities are still available in NBCA streams including, Pa Jart and Pa Hian Farming -Forestry Adjacent villagers conduct shifting cultivation and cattle grazing in the NBCA forested areas Interactions (as explained above). Population and No resident population inside the NBCA, however there are "impact" villages, that use Ethnicity resources of the NBCA, ie, Had Jong; Lao Lum-Lao Theung; Pak Vang; Lao Lum; Vieng Chaleon & Buakkham; Lao Theung Infrastructure and A basic access road reaches Don Kham and Phonthong villages in the adjacent Nam Ter River Communications area, from which there are walking tracks into the NBCA. The adjacent villages can receive information from radio broadcasts Major Livelihood Diseases such as malaria and stomach infections impact negatively on livelihoods of families in Problems villages adjacent to the NBCA Poverty Related Opium addiction makes a significant contribution to poverty in villages adjacent to the NBCA, Problems eg, Buakkham and Vieng Chaleon villages have 14 and 26 addicts respectively; the opium is brought in from outside. Low education and technical knowledge levels contribute to poverty. Development and Bio-diversity conservation (flora and fauna) and eco-tourism. Conservation Opportunities exist for more detailed NTFP, wildlife and fish surveys; (see note on WCS Opportunities surveys below) Land use planning in adjacent villages has potential to rationalise and improve resource use in the NBCA; Village Natural Resource Management Agreements would be useful tools in increasing village awareness and co-operation in NBCA resource management and use There is potential to establish an NBCA buffer zone (or protection zone) along the boundaries of the NBCA and in the mountainous and forested area to the south west of the NBCA, adjacent to Phoukhoun and Phoukood Districts. 7.2.2 Time Analysis

1. Timeline - Historical Profile

Year Information About 80 + Pak Vang, a Lao Lum village, was established at the mouth of the Vang River in the southern part years ago of the NBCA About 50 + The villagers of Nongkhae, Vieng Chaleon, Buakkham, Na Kaew, Phonethong and Nang Oi were years ago established along the Nam Ter River to the west of the Nam Et - Phou Loei NBCA. These villagers have accessed forest areas in the western part of the NBCA for many years 1994 Nam Et - Phou Loei NBCA formed, part of which is located in the eastern end of Phonesay District. The NBCA is bounded by the Nam Ter River and catchment area to the west and the Nam Khan to the south. The Vang River flows south through the NBCA to join the Nam Khan 1999-2001 The Nam Et - Phou Loei NBCA received support from a Danida funded Project; project influence on the part of the NBCA in Phonesay District was minimal 1995 - 2003 Adjacent villagers from the Nam Ter area continue to access the western part of the NBCA to do shifting cultivation 2003 A proposal to construct a road from Xieng Khwang Province to link to the village of Phonthong in adjacent Zone 1 is under consideration 2003-2004 WCS undertaking wildlife surveys (on-going) focusing on tiger population analysis using "camera traps" to map the tiger habitats and understand predation occurrences on livestock and wildlife; villagers are heavily involved in this activity. 2004 AEA conducted, which initiated discussion about a possible "buffer zone" in the forested area west of the NBCA between the Nam Ter and Nam Khan rivers

7.2.3 Flow Analysis

7.2.4 Zone 2 Systems Properties Analysis

PRODUCTIVITY Positives (+) Negatives (-)

1. There are quality forest resources and high 1. Adjacent villagers do swidden farming, cattle raising, diversity values; ie, forests, wildlife, NTFPs and NTFPs in the NBCA STABILITY Positives Negatives 1. The forests provide continuous ground cover 1. Villager farming practices (swidden and cattle raising) and reduce the impact of rain on soil erosion increase soil erosion in the NBCA SUSTAINABILITY Positives Negatives 1. The forest areas provide sustainable habitats for 1. Diversity and quantities of NTFPs and wildlife are being valuable wildlife and NTFPs diminished by villagers exploiting the resources of the NBCA 2. If the road passes through the NBCA to Houa Phanh there will be negative impacts on the NBCA resources resulting from road side settlement and convenient access EQUITABILITY Positives Negatives 1. Villagers (3 Villagers) derive income from 1. Outsiders benefit from illegal trading in wildlife. harvesting NTFPs, catching wildlife, and food from swidden cultivation 2. If road passes through the NBCA wealthy outsiders are likely to exploit NBCA resources and

7.2.5 Key Questions, Problems & Proposed Solutions

Table 8: Key Questions, Problems and Proposed Solutions - Zone 2

KEY QUESTIONS PROPOSED SOLUTIONS National biodiversity conservation buffer zone agroecosystem - Zone 2 How can the rich forest cover and natural resource base • Conduct LUP-LA in the 3 villagers that utilise the forest and of this area be maintained while simultaneously land resources in the NBCA to designate the forest and land allowing productive use by adjacent villagers that areas they may access encroach into the NBCA from AE Zone 1 • Prepare Village Forest and Land Use Agreements for these villagers in consultation with NBCA staff at District and Provincial levels • Delineate a buffer zone in the area between the villagers and the NBCA boundary Are there any buffer zone needs in the area abutting • District and Provincial authorities hold consultations about (adjoining) the Phou Loei NBCA?. Should the area the desirability of delineating a buffer zone. (using various next to Phou Loei NBCA be considered for a maps) Protection Area or Buffer Zone for the NBCA.? • If agreement is reached, conduct surveys to establish the location and extent of the buffer zone using land use and forest cover maps available maps. • Prepare maps indicating the buffer zone area • Document an agreement describing the buffer area (including maps). The construction of a proposed of main road to link • Prepare a submission on the probable impact of the road, Phonesay District and Houa Phanh Province would based on information that has arisen from the AEA, for pass through the NBCA and have large potential consideration by District and Provincial Authorities impacts on the NBCA resources. Is the road necessary, • The District and Provincial authorities consult to understand or is their an alternate route for the road ? what proposals have been made for the construction of the road. • If there are firm plans for a main road, ascertain if feasibility and environmental impact studies have been made, and the results of such studies • Prepare a detailed submission presenting a case for

KEY QUESTIONS PROPOSED SOLUTIONS considering the re-alignment of the road to avoid environmental damage in the NBCA. District Authorities do not know exactly where the • Identify reference points on NBCA maps and locate them on NBCA boundaries are on the ground which limits the the ground. Place NBCA signs where walking tracks cross effectiveness of NBCA management. How can the the NBCA boundary. boundaries of the NBCA be marked on the ground to improve staff commitment to NBCA management.

Problems Proposed solutions NBCA and Buffer Zone Area - Zone 2 Opium addiction • Establish co-operation between Phonesay District and neighbouring Districts to reduce the trafficking of opium into the area • Establish a rehabilitate centre at the District for detoxification of addicts and prepare agreements with cured addicts (not to return to opium consumption) • Train cured addicts in appropriate livelihood activities • Undertake appropriate extension and seed fund activities to assist cured addicts take up alternate occupations Villagers use steep land for agricultural production • Undertake LUP-LA to introduce appropriate land and forest uses and agreements on appropriate use of land • Train villagers in conservation farming systems that are appropriate to the sloping land areas, eg, no tillage, increasing ground cover, conservation strips etc • Integrate agro-forestry, tree crop or fruit tree technologies into farming systems • Undertake trials and demonstrations of appropriate conservation farming and agro-forestry systems Natural climate disasters • No solutions proposed Increasing population • Introduce birth spacing education programs • Encourage villagers to use birth control methods Villagers lack knowledge regarding regulations and • District staff undertake LUP-LA in these villages rules regarding forest land use and management • Introduce villagers to relevant regulations on forest and land management

7.3 Zone 3 - Forest protection and sustainable use agro- ecosystem 7.3.1 Spatial Analysis

1. Zone Transect

Descriptor Information Zone Context The northern part is adjacent to AE Zone 1; The southern part is adjacent to Phoukoon District of Xieng Khwang Province The eastern part is adjacent to Phoukhout District of Xieng Khwang Province The western part is adjacent to AE Zone 1 This area, which still has about 75% good forest cover, is an extension of the forested area that is being proposed as a buffer zone for the NBCA Land Form The land form falls into three Watershed Classes; Class 1 about 40%; Class 2 about 40% and Class 3 about 20 %. The area therefore has potential as a protected forest and sustainable forest use zone. Slope Most of the area is in the slope range 30-55 %, with some areas steeper than 55%; the

remainder is moderately sloping land in the range 2 - 30% Elevation The zone comprises two main elevation categories: 500 - 1000 masl range, about 60 % of the land area, and the 1000 - 1500 masl range, about 40% of the land area. Geology Pca - Argillite Series; shale, mudstone, siltstone and fine grained sandstone ("hin garb leung" and "hin garb dum") Soils The soils of the area are all of the same series, ie, Gleyic and Ferric Acrisols. Relative Climatic The temperature map indicates three temperature ranges: Most of the area is in the 20 - 24º Conditions: C range, probably about 70 % of the land area; some lower lying areas, about 5-10% of the Temperature and land area, have slightly warmer temperatures probably in the 25-26 º C range. The Rainfall remaining more elevated areas, about 20% of the land area, have cooler temperatures, probably in the 16 - 20º C range. The rainfall map indicates that there are two average annual rainfall ranges; in the southern half of the area in the more mountainous terrain, the range is from about 1,800 to 1950 mm; while in the northern half, where it is less mountainous, the range is about 1,700 to 1,800 mm. Forest Cover and Trends Forest composition is as follows: About 60 % is undisturbed forest, mainly Upper Mixed Deciduous, Upper Dry Evergreen, Dry Dipterocarp, and some isolated coniferous forest (Mai Paek and Mai Hing). About 30 % is degraded forest, and the remainder, about 10 %, secondary scrub and other forest types. This forested area offers potential to be classified as a "Provincial Protected and Sustainable Use Forest" as there are both undisturbed areas and degraded forest areas that have been used for agricultural cultivation Present Land Use Natural forest, about 60% of land area; and agricultural cultivation and other uses, about 40% of the land area. Major Farming and Upland rain fed rice based farming system. Other crops planted include, job's tear, sesame Livestock Systems and some maize. The livestock system comprises large animals, cattle and buffaloes, pigs and poultry, mainly chickens and ducks.Markets for commercial crops exist in Xieng Ngeun and Luang Prabang Livelihood Systems Farming and livestock systems as described above. In addition forest products NTFPs and wildlife make quite important contributions to the livelihood system, but to what extent is not known. NTFP Resources The main NTFPs marketed are por sa (paper mulberry) and puak muak, toot tiang, khaem, and some Mai Ketsana Wildlife Resources Wildlife resources of the zone include: kathing, tiger, deer (khuang and farn), wild pigs and monkeys. Fish Resources Similar to Zone 2; Pa Jart and Pa Hian inhabit the streams of the area Farming -Forestry The villages of Had Chong and Don Kham practice upland cultivation in the zone. The Interactions forest areas are also a source of NTFPs and wildlife. The villagers of Don Kham plant some teak. Population and Ethnicity There are three (2) villages that straddle the north- western boundary of the zone, Don Kham (Lao Lum) and Had Chong (Lao Theung). The Lao Theung village of Had Gap is located near the southern boundary along the Nam Khan River Ethnicity: Lao Lum 125 families; Lao Theung 130 families, total 255 families. Total population is 1,446 Infrastructure and The Nam Khan River to the south of the zone is the main transportation system, providing Communications access to Xieng Ngeun District and Luang Prabang. A gravel road from Phonesay District Office reaches the village of Sop Hout, north of the zone boundary. Villagers can receive radio and television stations programs Don Kham has a village water supply and a Matayom 3 level school. There are simple bush material schools in Had Chong and Had Gap villages; These villages have no reticulated village water supplies, but they are planned for FY 2005. Major Livelihood Access roads are not convenient and readily accessible, Particularly in the wet season. Problems Insufficient farming land on moderate slopes (farming on steeper slopes) Education levels are low No telephone communication possible Poverty Related Problems Lack of moderately sloping farming land Lack capital to invest in agricultural production and marketing activities Lack knowledge on improved farming methods No potential paddy land available

Opium addiction is quite severe Development and Extend the road connection between Sop Hout and Don Kham to provide better access to Conservation Phonsay and a market at Don Kham. Opportunities Clean water supplies and latrines in Had Chong and Had Gap (2005 plan) (CESVI Project may support). The building of an opium detoxification centre to treat opium addicts Improve health services in Had Chong and Had Gap; now only "medicine boxes" available. (the Red Cross may support) Construction of permanents schools in Had Chong and Had Gap Eco-tourism activities using the Nam Khan river to provide access for tourists. (Buddist images are housed in caves in Don Kham)

7.3.2 Time Analysis

1. Time Line - Historical Profile

Year Information Don Kham Village 1900 estim.) • A Lao Lum village founded on the banks of the Nam Khan River (about 100 years + ago ) 1950 estim.) • Established for many years as a trading post in consumer products used river transportation 1950 to • Trading centre for forest products (NTFPs), timber, wildlife etc 1990 to • Home products such as woven products are also traded present day 1990 to • In more recent times villagers started planting commercial crops such as job's tear and sesame 2004 • A permanent school established (Matayom) ; health post established; latrines still not constructed • No road access to date • Current population is 600 Had Gap 2002 • Had Gap was formed by merging three villages; Ban Had Khoun, Ban Lang Tor and Ban Pak Pa • A Lao Theung village with a population of 618 • Schooling levels are very low; Patom 1 and 2 • Opium addiction is high - 54 addicts ; Poverty level is severe. • No clean water supply and no latrines • Upland rain fed farming is the main occupation Had Chong Prior to • This Lao Theung population lived in two different locations; firstly in Ban La Mart, and then in Ban 1995-96 Don Kham ; main occupation was upland rain fed cultivation 1995-96 • The village moved to the present site and has since been known as Had Chong Since 1996 • Main occupation continues to be upland rain fed cultivation • Secondary occupation is NTFPs and wildlife trading using the Nam Khan River • An animist society with a population of 228 people; Low schooling levels; (Pathom 1 and 2) • Opium addiction is moderate - 13 people

2. Seasonal Calendar

7.3.3 Flow Analysis

7.3.4 Zone 3 System Property Analysis

Positives (+) Negatives (-) PRODUCTIVITY 1. There are quality forest resources and diversity, 1. Villagers cultivation practices reduce forest resources, ie, forests, wildlife, NTFPs NTFPs, wildlife, and wood 2. Villagers derive livelihood benefits from the 2. Opium addiction reduces villager productivity in the forest areas, ie, shifting cultivation , NTFPs, cattle area. grazing STABILITY Positives Negatives 1. The forest areas provide environmental 1. Villager farming practices (swidden and cattle raising) protection for sloping land areas and contain soil increase soil erosion in the Protected Area forest erosion SUSTAINABILITY Positives Negatives 1. The forest areas provide sustainable habitats for 1. Diversity and quantities of NTFPs and wildlife are valuable wildlife and NTFPs decreasing due to villagers encroaching on the forest area 2. Long swidden cycles provide sustainable rice yields 3. Low population densities reduces pressure on natural resources and the environment EQUITABILITY Positives Negatives 1. There is potential for villagers to increase 1. Outsiders benefit from illegal trading in wildlife to a income from eco-tourism activities greater extent than the villagers 2. Access to the Nam Khan river provides 2. The river provides easy access to the area and therefore marketing outlets for villagers in the area increases potential for exploiting resources

7.3.5 Key Questions, Problems & Proposed Solutions

Table 9: Key Questions, Problems and Proposed Solutions - Zone 3

KEY QUESTIONS PROPOSED SOLUTIONS Forest Protection and Potential Eco-tourism Agro-ecosystem - Zone 3 How can the rich forest cover and natural resource • Designate the area as a Provincial or District base of this area be maintained while simul- Conservation Forest. taneously allowing productive and sustainable use • Develop an ecotourism program involving villagers for villagers? • Develop eco and social tourism and NTFP concessions or rights directly to resident villages only • Develop Agreements between villages and the District and Provincial authorities regarding the management and use of land and forest resources • Consider and encourage alternate occupations for villagers (instead of shifting cultivation) What impacts on the natural resource base will the • Development of a river/boat access strategy linked to the district’s current road access plan have on this new road head at Don Kham to be constructed by area, and could it be modified/adapted to allow CESVI. access for sustainable uses such as ecotourism, • District cooperate with CESVI in developing a river/boat while restricting access for non-sustainable uses access strategy such as logging and uncontrolled NTFP • Develop management and use agreements for the harvesting? sustainable management and use of NTFPs and the extraction of timber

The forest in this zone is more suitable for • District consult with the Provincial Forest Office about protection purposes than the area of Conservation the feasibility of this proposal based on studies of Forest in Zones 4 and 5; should this forest be various land use, population, livelihood and poverty declared a Protected Forest in lieu of the Zone 4 maps produced in the AEA and Zone 5 forest conservation areas. • If agreement reached, prepared detailed proposals for making the changes. • Prepare the necessary maps and supporting documents to re-delinate the land use areas. Opium is being brought into villages in Zone 3 • Hold consultations with neighbouring Districts to causing widespread opium addiction and discuss inter-district measures to control drug trafficking contributing to poverty. How can co-operation into this zone with neighbouring Districts be improved to prevent opium trafficking in Phonesay District??

PROBLEMS PROPOSED SOLUTIONS Forest Protection and Potential Eco-tourism Zone - Zone 3 Access to the area is inadequate, particularly in the • Implement the plan for road improvement from Ban Sop wet season Hout to other villagers including Don Kham so that villagers have access to river transportation (Nam Khan) Lack of suitable land for agricultural production • Develop an eco-tourism program involving villagers • Develop eco and social tourism and NTFP concessions or rights directly to resident villages only • Consider and encourage alternate occupations for villagers (instead of shifting cultivation) Lack of livelihood development information • Improve extension services in this area Opium addiction • Establish co-operation between Phonesay District and neighbouring Districts to reduce the trafficking of opium into the area • Establish a rehabilitate centre at the District for

PROBLEMS PROPOSED SOLUTIONS detoxification of addicts and prepare agreements with cured addicts (not to return to opium consumption) • Train cured addicts in appropriate livelihood activities • Undertake appropriate extension and seed fund activities to assist cured addicts take up alternate occupations Lack funds for investment in agricultural • Consider the establishment of village savings and loan production groups with villagers contributing some capital Lack knowledge of improved agricultural • Train villagers in conservation farming systems that are production technologies appropriate to the sloping land areas, eg, no tillage, increasing ground cover, conservation strips etc • Integrate agro-forestry, tree crop or fruit tree technologies into farming systems • Undertake trails and demonstrations of appropriate conservation farming and agro-forestry systems • After technologies understood and trialed, consider the introduction of appropriate credit systems

7.4 Zone 4 - Mountainous, recurring sub-watershed agro- ecosystem 7.4.1 Spatial Analysis

1. Zone Transect

Descriptor Information Land Form About 68 % is steep land and about 32% is high and mountainous Slope Slope range16-30%; about 3 % of the land area Slope range 31-55 %; about 37% of the land area Slope range >55%; about 60% of the land area Elevation Range < 500 masl; about 2% of the land area Range 500 to 1,000 masl; about 48% of the land area Range > 1,000 masl; about 56% of the land area Soils There are two main soil types: Ferric Luvisols, about 5% of the land area: Mixture of clay bottom and BS > than 50%. Harplic Lixisols about 95% of the land area: Mixture of clay bottom and SB > than 50% Relative Climatic Temperature: Cooler than most zones in the District; Average mean temperature is in 14º C to Conditions 20º C range Rainfall: 80% of the area: estimated annual rainfall of 1,700mm; 20% of the area; estimated annual rainfall of 1,800 mm Forest Cover and Five different forest cover categories are distinguishable: Trends Mixed forest in the mountainous areas; about 30 % of land area; bamboo forest about 10% of land area; swidden cultivation and paddy about 50 % of land area; and other lands about 10% of the araea Regeneration of forest in some old fallow areas may be possible using village land use planning Present Land Use Provincial Protection Forest and Provincial Conservation Forest are declared in the Nam Pa area; there is potential, using village level LUP to classify some areas as protection forest, areas for upland cultivation, paddy areas, and areas for short season crops, wet and dry seasons, and also for livestock grazing Major Farming and Farming System: A rainfed upland rice farming system; other crops grown include maize and Livestock Systems job's tear; and NTFPs Livestock System: Cattle, pigs and poultry Farming -Forestry KumNam Bor: D-S and W-S -commercial (short season) Interactions?? Kum Pak Nga: D-S commercial (short season) Kum Jom Chiang: Livestock raising, short WS season crops, (crops and paddy )

Descriptor Information Kum Huay Hao; Maize (commercial), large animal raising Kum Tang Sa Leuang: Rice and large animal raising Kum Sop Chia: Short seasoc crops (WS - upland) and livestock raising (maize, sesame and Mak duay) Livelihood The main livelihood systems are the rain-fed upland rice farming system and the livestock Systems systems; Food and income is also derived from NTFPs

NTFP Resources Not reported on Wildlife and Fish Not reported on Resources Farming -Forestry Villagers collect NTFPs from the forest and they are expanding the land area for agricultural Interactions production by bringing more forest areas under cultivation Population and All three major ethnic groups are represented; Ethnicity Kum Nam Bor ; 3 villages, Lao Theung ?? Kum Tang Sa Leuang: 3 villages Lao Theung Kum Sop Chia: 6 villages, Lao Theung; 1 village Lao Soong Kum Pak Nga: 1 village, Lao Theung Kum Jom Jiang: 1 village, Lao Theung, 1 village Lao Soong Kum Nam Bor: 3 villages, mixed ethnic Kum Sop Chia: 1 village mixed ethnic Kum Pak Nga: 1 village, Lao Lum Infrastructure and Villages along the Nam Pa river area as far as Sop Chia have quite good road access to the main Communications road connecting to Luang Prabang. The more distant villages do not have access to roads. Other infrastructure is quite well developed, including including 7 health posts, 18 basic schools & 12 permanent village water supplies. Major Livelihood Soils are not very fertile and land is usually steep; Problems (adjacent Flat land very little; the people are not industrious (kart doo mun) villages only) Health levels are low Poverty Related Food production levels are low while consumption needs are high Problems (adjacent Improved methods of crop production have not been adopted villages only) Production does not follow the market needs; villagers lack market informatiom Development and There is potential to further develop livestock production systems Conservation Some areas used for cultivation - young fallow - could be regenerated to forest. Opportunities Villagers could improve production by adopting new varieties and appropriate agricultural production methods Infrastructure could be improved through-out the zone Improving access to education Other Problems UXO; surveys would be beneficial through-out the zone.

7.4.2 Time Analysis

1. Time Line - Historical Profile

Period Information 1800's Pak Vie and Pak Nga villages migrated from Houa Phanh Province between 100 and 200 years ago and started paddy rice cultivation in the area adjacent to Phonesay District Centre 1800's to 1959 Pak Vie was the main Lao Lum population centre in the area 1959 A village fire destroyed many houses in Pak Vie and successive severe floods caused the majority of villagers to move to Pak Nga 1959 onwards Pak Nga became the main population centre and paddy land was expanded

Period Information 1988/89 The EU project constructed a permanent weir at Pak Nga which has a benefit area of 74 hectares; Pak Vie has a paddy area of 13 hectares About 1988/89 A rural access road was built to the District Centre at Phonesay 1998/99 The access road was improved by the EU project 1999 onwards Hmong villagers from the highland zone started to establish houses near Pak Nga so their children could attend school in Phonesay 2001 onwards Hmong villagers from the highland villages of Pha Toup, Phou Soong Noy and Pha Cha Norm have been migrating to Huay Maha village area as part of the GOL re-location program. Land use conflicts and confusion has occurred as a result of these the population increase 2001 onwards The LSUAFRP has been working in 5 target villages and some adjacent villages Currently Ethnic Khamu comprise about 59% of households, Hmong 29%, and ethnic Lao 12% in the zone

2. Seasonal Calendar

Seasonal Calendar - Agriculture and Livestock Activity Month- 1 2 3 4 5 6 7 8 9 10 11 12 Temperature Cold Hot Rainy Cold Upland Rice • Site Selection • Clearing • Burning • Post burn Clean Up • Planting • Weeding (1) • Weeding (2) • Weeding (3) • Harvest Vegetables • -Harvest Rice Livestock • Chickens • Pigs

7.4.3 Flow Analysis

7.4.4 Zone 4 System Properties Analysis

Positive Aspects (+) Negative Aspects (-) Productivity

Positive Aspects (+) Negative Aspects (-) • Good quality agricultural land is available along water • Most upland has only wet season potential courses and there are upland areas and good quality • Upland crop yields are declining grassland is available • Very little paddy land available; limited potential for • A range of local varieties are normally used in expanding paddy agricultural production - varietal diversity. • Knowledge about selection of good farming sites is • Farmers have experience and techniques for selecting not yet broadly understood. Villagers use only local appropriate cropping areas for a range of various knowledge for production crops • Re-location has caused land use problems, including • Forest resources, NTFPs, fish and wildlife are in encroachment into forests and more exploitation of reasonable condition and abundance NTFPs • The elevated areas offer opportunities for a more • Villagers use only "old" crop varieties - no new diverse range of crops eg, vegetables and fruit trees varieties introduced Stability • Two season cropping is possible in some areas with • Mountainous land soils are not the most suitable and irrigation which stabilises production to some degree fertile for cropping, eg, Phou Hong (high and steep) • Some villages have good road access, both main roads • Crop yields are declining because of increasing and tracks which stabilises product marketing population and shortened field fallows • Access to forest products helps stabilise livelihood • Lack of technical knowledge causes frequent systems, both for consumption and markets livestock epidemics and livestock mortalities • Livestock raising helps stabilise production systems in • Rain (& bad roads) interrupt product transportation years when staple crops yields are reduced by diseases from the field to markets and floods • Crop diseases and floods cause yield reductions from year to year Sustainability • Markets are available for agricultural crops, NTFPs, • NTFP resources are being over exploited in some and domestic livestock villages and there is no conservation measures • Local varieties are tolerant and adapted to local • Villagers do not change local varieties for new environmental conditions (weather conditions) improved varieties. • Backyard vegetable production for consumption can • There are numbers of species facing extinction, ie, be sustained all year orchids, stream fish and wildlife; eg, "phou lou", "pa • The local areas provide villagers with herbal far" (fish spp) , and "lin" (lizard spp) medicines and materials for housing, etc (self • People do not understand and practise government sufficiency) regulations and agreements on sustainable natural • There is a local produce market every 10 days and resource management NTFP market locations which encourages increased production of economic commodities • There are rules and systems for managing all natural resources Equitability • Most villages have access to schools (Pathom) - equal • In some villages the crop land is not enough for all education opportunity family • Most villages have health posts - equal health service • In some areas the land is only suitable for a few types opportunities of crops only • Division of labour between man and women is shared • Some villages do not have communications and equally; (Lao Lum only) access to information during the wet season • Most villagers can engage in raising both large and • Not all people can produce sufficient food small livestock which provides broader benefits • In some ethnic groups, the women have too many among the population children, labour a lot, have no time for rest, and no family planning ie, Lao Theung and Lao Soong • Produce prices are not consistent between villages in the zone; some villages have fewer opportunities • Lack of land for farming and land disputes because of village re-location • Villagers are not able to negotiate good commodity prices because the middle men with concessions have monopolies.

7.4.5 Key Questions, Problems & Proposed Solutions

The key questions, problems and proposed solutions for the Mountainous, Reoccurring Sub-watershed Agro-ecosystem are presented in Table 10

Table 10: Key Questions, Problems and Proposed Solutions - Zone 4

KEY QUESTIONS PROPOSED SOLUTIONS Mountainous, Reoccurring Sub watershed Agro-ecosystem - Zone 4 Villagers are short of agricultural land ; the amount of Land shortages are in part caused by increasing land available does not meet demand populations due to villagers being re-located and merged in this Zone, (more so than other zones), ie, concentrating populations. • Make more land accessible for villagers by extending access tracks to former production areas in old village locations • Curtail future plans for merging or re-locating more villages to alleviate population concentration • Undertake land capability assessments to understand land carrying capacities before moving villages • Calculate and compare population densities in District AE zones and prepare development strategies based on populations. • Increase research and extension activities in this zone with the aim of increasing crop yield and production levels • Improve infrastructure (clean water etc) in less accessible villages Unsatisfactory education of the population • Improve the education levels of both adults and children • Improve the knowledge of teachers so they can provide better education for children • Provide better and more school materials and equipment to primary schools • Provide education opportunities and funds for ethnic children living in the more isolated villages Insufficient funds have been used to enable/ support • Encourage villagers to use more of their own funds families to engage in agricultural production that will and resources for agricultural production and match alleviate poverty this with funds from government or other sources

Indicative Problems Zone 4 (From Problem Census - Sop Chia Village) No. Women's Group Men's Group Village Problem Priority Ranking 1 Lack funds to buy crop seeds Lack funds for agricultural Lack funds to buy crop seeds and and improved livestock breeds production improved livestock breeds 2 Families with a lot of children Agricultural land is not suitable; Our families have a lot of children are poor it is mountainous and steep which makes us poor 3 Expenditure is more than Low crop production and lack Prices of cash crops fluctuate income cash crops 4 Children do not attend school Prices of cash crops fluctuate Only one cropping season because because there is a shortage of there is no paddy land teachers 5 Lack access roads linking Shortage of land for agriculture Inadequate and poor quality access villages for marketing products roads Short of farming land and lack Lack knowledge on improved Short of suitable less steep farming knowledge of agricultural cropping techniques land and lack knowledge of

Indicative Problems Zone 4 (From Problem Census - Sop Chia Village) techniques agricultural techniques 6 Animals often die because there We have many children which Education levels are low and is no vaccinations makes us poor schooling inadequate; too few teachers 7 There are many illnesses and Lack labour for agricultural Health is not good because we lack we have very little money to production nutritious food and we have little buy medicines money to buy medicines 8 Women labour a lot and have Inadequate and poor quality There is no family planning because no time to rest and leisure access roads we do not know birth control methods 9 There is a lack of equitability Education levels are low Labour shortage. Women can not between men and women work because they have many children 10 Farm production areas are very Health is not good because we Animals often die because there are no isolated, portage is difficult & lack nutritious food vaccinations we carry babies to the fields 11 There is no family planning There is a lack of equitability between because we do not know birth men and women control methods 12 We can not work, labour Farm production areas are very shortage because we have many isolated, portage is difficult and we children have to carry babies to the fields 13 Lack nutritious food and Women labour a lot and have no time therefore health is not good to rest and take leisure

Problem Summary by Sector - Sop Chia Village - Zone 4

Agricul- Product- Lack farm Agric. Live- Lack farm Lack cash Declin- Land too Live- No paddy ture ion funds land know- stock labour crops ing yields steep stock land ledge vaccine breeds Economic Poverty Low Family Produce incomes planning prices fluctuate Health Poor Lack Many Heavy nutrition medicines children work loads (women) Social Social Birth No rest- inequity control & leisure family (women) planning Educat- Poor Lack ion education teachers Infra- Lack structure good roads

7.5 Zone 5 - High elevation plateau, rolling grassland & multiple use agro-ecosystem

There are three distinct areas comprising this Zone, Area I, centred on Lom Yom Yai village, Area II, an extension of Phou Soong in Luang Prabang District, and Area III adjacent to the boundary between Xieng Ngeun and Phonesay District in the south west part of the Phonesay District.

7.5.1 Spatial Analysis

1. Zone Transect

Descriptor Information Elevation Area 1: In the range of 800 to 1,730 masl. Area 2: In the range of 500 to 1,000 masl. Area 3: In the range of 745 to 2,130 masl Slope Varies in the ranges: 0-2%; 2-8%; 8-16%; 16-30% and 30-55%. Some mountainous areas > 55% Land Form Mountainous country in Areas 1, 2 and 3. A combination of quite flat, undulating land, and rugged terrain Watershed A combination of: Class Class 1: (steep slopes, rugged; should be protected), Class 2: (steep slopes, less susceptible to erosion; can be used for forest, agro-forestry & grazing with conservation measures), Class 3: (moderate to steep slopes, less erosive, use for trees, grazing, forest, and cropping with conservation measures) Class 4: (Gently sloping land, wide range of uses possible; conservation measures) Geology Area I: Mainly Pcl Calcaeous series, massive limestone with conspicous relief, sub-ordinate shale and sandstone Area II: Mainly Pca + Argillite series, shale, mudstone, siltstone and fine-grained sandstone Area III: Combination of Pcl and Pca series. Soils Area I: Plinthic Alisols and Acrisols; shallow A horizon overlaying rock and gravel; Area II: Acrisols; combination of heavy clay and sandy soils & other soil types Area III: Gleyic Acrisols Relative Temperature Climatic Area I: Mean average in range 18 - 22º C Conditions Area II: Mean average in range 14 - 20º C Area III: Mean average in range 14 - 20º C Rainfall Areas I and II: Mean average annual in range 1,600 to 1,700 mm Area III: Mean average in range 1,700 to 1,800 mm Forest Cover Areas I and II: Mostly "unstocked forest" and scrub; forest cover Area 1, about 20%; Forest cover Area 2, about 10% Area III: A variety of forest types; forest cover about 60%. Forest Cover In Area 1, the reduction in population due to re-location, may increase the possibility that Trends forest cover will increase. Present Land Agricultural swidden cultivation, cattle grazing on natural grasslands Use Livelihood Upland rain-fed rice, maize and vegetables cultivation; traditional Systems production methods - (patom patarn) (Farming Livestock raising; cattle, buffalo, pigs, goats, poultry (chickens ducks) system & Animal Raising) Forest Products Villagers collect a wide range of NTFPs; the NTFP survey conducted by the Land Management component, indicates there are as many as 50 NTFPs, including, economic, medicinal, and housing products. Wildlife and A range of wildlife species are hunted. Wildlife species have diminished because of Fish deforestation and annual grassland burning; it is probable that no protected species survive in this zone Agriculture and Area 1 was declared a Provincial Conservation Forest in 1996, however large areas in this Forestry zone are natural grassland which villagers use for cattle grazing. The conservation forest Relationships classification therefore needs to be re-considered Population and Lao Soong - 4 villages; Lao Theung 1 village Ethnicity Total families: 369; Lao Soong 321 families; Lao Theung 48 families; Total population 2,567; Females 1,265; Lao Soong 2,290, Female 1,132; Lao Theung 277, Females 133 Infrastructure Walking tracks exist between all villages; a 4WD vehicular road reaches only 1 village

Descriptor Information Communication (LomYom Yai). There is no irrigation Livelihood No clean domestic water; no vehicular road to all villages, low income, little sanitation Problems Poverty Severe poverty levels in all villages; shifting cultivation remains the main form of Problems agriculture; lack of production investment funds; communications and roads are difficult; development opportunities are limited until reliable access roads reach the villages Development The zone is very suitable for organic vegetables for sale in Luang Prabang. If domestic and Opportunities livestock water facilities are improved, there is considerable potential for permanent settlement of villages, improved livestock production, fruit trees and vegetables. Other Problems When villagers migrate from this zone to other villages, social and land use problems occur in the host villages, ie, social incompatibility and land use confusion and shortage.

7.5.2 Time Analysis

1. Time Line - Historical Profile

Period Historical Information 18th -19th Villagers migrated from China and established a village at Pha Toup; villagers later divided centuries to other villagers in the area, ie, Pha Toup Neua, Pha Toup Neua, and Phou Soong Noy. 1969 A village fire destroyed about 100 houses, and many cattle were killed 1970 A Tasaeng was established at Pha Toup; this village was a strong revolutionary village 1970 - 2000 Little development activity took place during this period, villagers undertaking subsistence agriculture, livestock raising and opium production 2000 The EU project built a dry weather access road to Long Yom Yai from the road connecting Phonesay to Luang Prabang; also a village water supply, health post and a school An access road was also built by the EU project part of the way to Pha Toup Neua from Pak Vie village near Phonesay District centre. Some families moved to Pak Vie, so that their children could attend school at Phonesay. A village water supply was also built at Pha Toup Neua 2002-2003 Approximately 90 families moved from Pha Toup Tai, Phou Soong Noy and Pha Cha Norm villagers to Huay Maha as part of the District's re-location plan, and others migrated to Long Yom Yai attracted by the services provided by the EU project. The movement of many families to Huay Maha has reduced land availability for both the new settlers and the original Khamu residents 2004 Solar power was installed in Long Yom Yai by the EU project

2. Seasonal Calendar

Farm Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Activity Hill Rice Clear Clear Burn Prepare Plant Weed Weed Weed Harvest Job's Tear Clear Clear Burn Prepare Plant Weed Weed Weed Harvest Sesame Clear Clear Burn Prepare Plant Weed Weed Weed Harvest Por Sa Harvest Harvest Maize Clear Clear Plant Plant Weed Weed Harvest Vegetables Harvest Harvest Plant Plant Harvest Harvest Plant Plant Harvest Livestock ------NTFPs Khaem Khaem Khaem Khaem Khaem Khaem Por Por Sa Por Sa Por Sa Por Sa Por Sa Por Sa Por Sa Jandai Puak Por Sa Sa Khaem Khaem Jandai Puak Muak Puak Puak Muak Muak Muak

7.5.3 Flow Analysis

7.5.4 Zone 5 System Properties Analysis

Positive Aspects (+) Negative Aspects (-) Productivity • Climatic conditions and soils are suitable for cropping • Access roads do not reach all villages and the one and livestock grazing road to Long Yom Yai is in bad condition • Able to grow vegetables during two seasons • markets are distant and commodity prices fluctuate • Livestock production is good • Lack of water for vegetable production in the dry • There are still reasonable quantities of NTFPs season available • Markets do not exist for some types of NTFPs • There is a market for a range of NTFPs since the road was constructed to Long Yom Yai village Stability • Grassland areas are can be grazed all year • Lack reliable water for livestock raising in the dry • When villagers are short of staple foods they are able season to sell NTFPs, cattle and vegetables for purchasing • The population suffers frequent disease epidemics rice because of unsanitary village water supplies • Access is variable, ie, possible in dry season, very difficult in the wet season Sustainability • Reduced population in the area from re-location has • NTFP and other natural resources availability in improved land availability for the remaining lowland settlement villages has declined because of population; better land use opportunities. (Villagers of the re-location of villagers from this zone (population Long Yom Yai have migrated to Long Sa Ao in Pak increase) Xeng, and Pha Toup villagers to Huay Maha) • NTFP harvesting methods are inappropriate which • Large livestock management methods are integrated will cause further reduction in quantities available. with upland rice production; upland rice and cattle are rotated on selected areas to maintain rice yield and to improve cattle fodder availability • NTFPs and forest areas are under less pressure because of population decrease Equitability • All families have open access to NTFPs • There are land use disputes in lowland villages, ie, Huay Maha, because of re-location of villagers from this zone • Services between villages are not equally shared because government programs have not provided access roads, health posts, village water supplies and schools.

7.5.5 Key Questions, Problems & Proposed Solutions

Table 11: Key Questions, Problems and Proposed Solutions - Zone 5

KEY QUESTIONS PROPOSED SOLUTIONS High Elevation Plateau, Rolling Grassland and Multiple-use Agro-ecosystem - Zone 5 • Improved water supplies for villagers and livestock • Conduct surveys to investigate the potential to would facilitate permanent residency in the highland improve domestic and livestock water availability villages (deep bores; better pondage of water) • Access roads need extending beyond Long Yom Yai • Extend road access beyond Long Yom Yai to the to the other three villages to improve market access other three villages • There is potential for other crops and improvement • Investigate the potential for eco-tourism to exploit the

of cropping systems, eg, fruit trees, that should be quite unique attractions of this elevated area with it's investigated ethnic Hmong population • The zoning of this area as a Provincial Conservation • Promote organic vegetables and maize and investigate Forest in the past is now questionable because the the potential for fruit trees area is populated by Hmong villages and is therefore • Promote the sustainable harvesting and use of NTFPs a livelihood production area. The zoning category • Review of the status of the Provincial Conservation needs re-consideration Forest • Land use problems and conflicts are caused in the • Conduct an assessment of "population carrying river side communities at Huay Maha when villagers capacity" of the area to assist rural planning and from this zone are re-located development activities.

Problems Problem Solutions • Unsatisfactory domestic water supplies in Phou Cha • Investigate options for clean water supplies in these Norm and Pa Toup two villages • Livestock diseases of poultry • Introduce improved large livestock production methods after road access is improved 7.5.6 District Agro-ecological Zone Innovation Assessments

Innovation assessments (or problem solution ranking) of the proposed solutions to key questions and problems of each agro-ecological zone are undertaken to assist planners with development priority setting. Key question or problem solutions are given a ranking based on an assessment of the relative benefit that would arise should the various proposed solutions be implemented, ie,

+++ Expectation of high or positive benefit ++ Expectation of medium or neutral benefit + Expectation of low or negative benefit

Some of the key questions and problems for each of the zones were assessed during Workshop 3, the results of which are summarised in Table 14.

In general terms these assessments indicate that:

• Livestock disease control from vaccination programs would provide high and direct livelihood benefits • Improved health services, family planning and provision of clean domestic water would provide high relative benefits, particularly for women who endure very arduous lifestyles. • Improving availability and access to family production funds is viewed as having high relative benefits • Improving access to suitable land, the dissemination of information on improved agricultural technologies, and the introduction of improved conservation farming systems were considered to provide high relative benefits • Improvement of access roads is ranked as a priority development activity, however high cost and time spent reduce the relative value of this livelihood improvement and poverty reduction strategy when compared to less costly activities • Land use planning and preparation of forest and agricultural land use agreements in impact villages was recognised as providing high benefits for bio-diversity conservation in conservation areas (NBCA) and buffer zones.

Table 12 : District Agro-ecological Zone Innovation Assessments: (page 1 of 3)

+++ Expectation of high or positive benefit ++ Expectation of medium or neutral benefit Zone 1 + Expectation of low or negative benefit

Proposed solutions Productivity Stability Sustainability Equitability Cost Time Feasibility Poverty impact Score Ranking 1. Health services ++ +++ +++ +++ ++ ++ +++ +++ 27 2 2. Villager Training & +++ +++ +++ +++ +++ ++ +++ +++ 28 1 Exchange 3. Promote Village +++ +++ +++ ++ ++ ++ +++ +++ 21 2 Self reliance 4.Village production +++ ++ +++ ++ +++ +++ ++ +++ 21 2 funds 5. Pool donor funds ++ ++ +++ ++ + ++ + ++ 15 4 from various sectors 6. Delineate village & + +++ +++ +++ ++ ++ ++ +++ 19 3 zone boundaries

Zone 2 Proposed solutions Productivity Stability Sustainability Equitability Cost Time Feasibility Poverty impact Score Ranking 1. NBCA + +++ +++ ++ +++ +++ ++ + 18 3 encroachment prevention 2. NBCA buffer zone + +++ +++ ++ +++ ++ +++ + 18 3 establishment 3. Inter-district road + +++ +++ ++ ++ ++ ++ + 16 4 impact assessment 4. Conservation +++ +++ +++ +++ +++ ++ + +++ 21 2 farming on steeper land in impact villages 5. Population +++ ++ +++ +++ +++ +++ ++ +++ 22 1 management in impact

villages 6. Forest -land use +++ +++ +++ ++ +++ +++ +++ ++ 22 1 management rules in impact villages

Table 12: District Agro-ecological Zone Innovation Assessments: (page 2 of 3)

+++ Expectation of high or positive benefit Zone 3 ++ Expectation of medium or neutral benefit + Expectation of low or negative benefit

Proposed solutions Productivity Stability Sustainability Equitability Cost Time Feasibility Poverty impact Score Ranking 1. Productive & +++ +++ +++ +++ ++ ++ ++ +++ 21 2 sustain-able forest use activities 2. River ++ ++ +++ ++ ++ ++ +++ ++ 18 5 transportation strategy versus road 3. Opium reduction +++ ++ +++ +++ ++ ++ ++ +++ 20 3 activities 4. Family funds for +++ ++ +++ +++ + ++ ++ +++ 21 2 agricultural production 5. Mitigating lack of +++ +++ ++ +++ ++ ++ ++ ++ 19 4 suitable agricultural land 6.Improved +++ +++ +++ +++ +++ ++ ++ +++ 22 1 agricultural production technologies

Zone 4

Proposed solutions Productivity Stability Sustainability Equitability Cost Time Feasibility Poverty impact Score Ranking 1. Education-learning +++ +++ +++ +++ +++ ++ ++ +++ 22 1 knowledge 2. Village merging + ++ + + + ++ ++ + 11 5 3. Family production +++ ++ +++ +++ + ++ ++ +++ 19 3 funds 4. Land shortage +++ ++ +++ +++ ++ ++ ++ +++ 20 2 mitigation 5. Family planning +++ ++ +++ +++ +++ +++ ++ +++ 22 1 6. Access roads +++ ++ +++ +++ + + ++ +++ 18 4

Table 12: District Agro-ecological Zone Innovation Assessments: (page 3 of 3)

+++ Expectation of high or positive benefit Zone 5 ++ Expectation of medium or neutral benefit + Expectation of low or negative benefit

Proposed solution Productivity Stability Sustainability Equitability Cost Time Feasibility Poverty impact Score Ranking 1. Water; domestic & +++ +++ ++ +++ ++ ++ +++ +++ 21 3 for livestock 2. Communications- +++ +++ ++ +++ + + ++ +++ 18 5 roads 3. Livestock disease +++ +++ +++ +++ +++ ++ +++ +++ 23 1 control 4. Land use ++ ++ +++ +++ ++ + ++ +++ 18 5 improvement 5. Health services +++ +++ ++ ++ +++ + ++ +++ 19 4 6. Change Provincial +++ ++ +++ +++ +++ ++ +++ +++ 22 2 Conservation Forest to Agricultural Production category.

8 Conclusions and Lessons Learned

1. Benefits from Multi-disciplinary Stakeholder Involvement in AEA

This pilot exercise involved representatives from six agencies, units or components, ie, LSUAFRP, NAFRI, NAFRC, NAFES, Phonesay District, National Statistics Centre, and World Food Program. Two Minor Field Studies Masters students of the Department of Physical Geography and Ecosystems Analysis, Lund University, Sweden also participated.

During the AEA and AEZ they worked as a large group in plenary sessions and in task groups when specific tasks were being undertaken. This enabled representatives of each of these units to contribute information and experiences required for the analyses and zoning activities. The benefits were:

• Co-operation between the various agencies, components and units was improved • A wide range of components and units were familiarised with AEA and AEZ • The collection and collation of secondary data was facilitated • The exercise complemented other AEA work being undertaken by units in NAFRI • The district representatives played a major role in the pilot work and contributed ideas on the areas of focus of the AEA activity

2. Interfacing Technologies with Agro-ecological Zone Characteristics and Needs

Some initial activity was undertaken on matching agricultural and agro-forestry technologies and technology options with agro-ecological zone characteristics. The tools used were:

• Preparation of district agro-ecological zone transects for each of the five district AE zones • Representative transect walks in two villages of Long Nam Pa Development Area to gather information on farming and agro-forestry systems in different slope categories. • A compilation by the farming systems component of procedures and criteria for defining farming system technology options, including matching technology options with slope categories, and examples of matching technology options with water availability (rainfall + soil water holding capacity). • Compilation by the forestry research component of a list of potential agro forestry technology options including; trees and NTFPs, natural forest management, and agro forestry combinations.

These activities indicated that much work needs to be done to source available technologies and then prepare the technology information in such a way that it can be used effectively by extension workers in the different AE zones and recommendation domains. Further comment is made on this subject in Section 9: Further Work Required

3. Research and Extension Linkages

A representative of the Technical Division of NAFES attended the AEA workshops. While this was only a small step in consolidating improved co-operation between NAFRI and NAFES, it opened the door for more discussion with the extension service on utilising AEA and AEZ to assist District extension programs. It is therefore proposed that when the write up of the LSUAFRP experiences and results of AEA and AEZ in Phonesay and Na Mo Districts are completed, a seminar be arranged to discuss this matter with NAFES.

4. Institutional Home for AEA in the Future

In addition to item 3 above, discussion between NAFRI and NAFES on finding an institutional home for AEA in the future, would be beneficial should the Ministry of Agriculture and Forestry decide that AEA would be used more extensively as a tool to facilitate rural development and poverty alleviation programs. The importance of this matter is significant at a time when Sida and MAF are in the process of designing a development project for the uplands, in which AEA could play an important role. At present the LSUAFRP, a project within NAFRI is undertaking pilot work on AEA and AEZ, because it has the resources to undertake this work, however in the future it may be more appropriate for the extension service to take the lead in AEA activity.

5. Matching District Administrative Zones with AEA Zones

During the AEA process the Phonesay District Government representatives raised the question of matching the District Administrative Zones with AEA Zones. This arose from a realisation that the planning and implementation of rural development programs would be more effective if they followed the AE zones defined within the District. At present there are four development areas and five agro-ecological zones.

Administrative Zones or Boriwen Agro-ecological Zones Boriwen 1: Long Nam Pa Zone 1: Lower elevation, potentially productive upland agro-ecosystem Boriwen 2: Nam Bak Zone 2: National biodiversity conservation area and buffer zone agro-ecosystem Boriwen 3: Phonthong Zone 3: Forest protection and sustainable use agro-ecosystem Boriwen 4: Jom Jiang Zone 4: Mountainous, recurring sub-watershed agro- ecosystem Zone 5: High elevation plateau, rolling-grassland and multiple use agro-ecosystem

Matching these two sets of zones would be quite easy to effect, requiring: • A district decision to effect the change. • A readjustment of the Development Area boundaries to match the AE zone boundaries, which could be facilitated and mapped in the GIS • A re-organisation of the Village Development Groups (khum ban patana), within the AE Zones, which could also be facilitated and mapped in the GIS • A re-organisation of village data sets to match the AE Zones, ie, village points and populations, ethnic composition, village poverty rankings, etc

• A re-adjustment of development group staff responsibilities to match the revised Village Development Group areas of responsibility • The programming of development activities to follow the particular needs of each of the AE Zones and Village Development Groups.

The Land Management Component of LSUAFRP and the GIS Unit of NAFRI could assist the District in accomplishing these changes, should the District request it.

6. Agro-ecosystem Analysis and Provincial Zoning

The Phonesay District AEA revealed that some of the land use categories appearing on Land Use and Forest Management Maps are questionable. Examples are: • The Provincial Conservation Forest covering AE Zone 5, the "high elevation plateau, rolling-grassland and multiple use agro-ecosystem", • The Provincial Production Forest adjacent to the District Office, which is part of AE Zone 4, the "mountainous, recurring sub-watershed agro-ecosystem" • The Provincial Conservation Forest (adjoining the Provincial Production Forest east of the District office), which is part of AE Zone 4, the "mountainous, recurring sub-watershed agro-ecosystem"

In each of these areas, forest cover has been diminished considerably, there are substantial village populations, and the land use is predominately up-land farming systems. In the eastern part of the District, however, there are substantial tracts of forest land where populations are extremely low, which have potential to be declared as protected forest areas. Examples are:

• The area south of the Nam Khan River which forms AE Zone 3, "forest protection and sustainable use agro-ecosystem" • The area adjacent to the Nam Et - Phou Loi NBCA which forms part of AE Zone 2, "the national biodiversity conservation area and buffer zone agro-ecosystem"

Preliminary discussions were held with the Provincial Forestry Office regarding these questions. It was agreed in principle, that it would be more appropriate if the forested and very low populated areas in the eastern parts of the District were zoned as protected forests, and the populated degraded forest areas in the western parts of the District, were classified as agricultural livelihood areas.

These land classification questions arising from AEA in Phonesay District indicate that Provincial AEA and AEZ would assist in classifying provincial agricultural and forest areas more appropriately and accurately.

7. Agro-ecosystem Analysis and Poverty Alleviation

The Phonesay District representatives indicated that AEA and AEZ activity would be of considerable value to them in planning rural development programs that addressed poverty alleviation. It is concluded therefore that further discussions should be held with the District to identify how AEA findings and results can be incorporated in district planning. The District has prepared a "plan" for poverty alleviation in 2004 which lists the villages in which poverty will be reduced. However the types of activities that would be used to implement the plan are not indicated in the plan.

The information documented from the district AEA could be used to substantiate proposals to attract National Poverty Alleviation Program (NPEP) funding for poverty alleviation activities. To maintain continuity with action research, the LSUAFRP could work with the District on developing proposals for NPEP in priority poverty alleviation areas and villages.

8. Procedures for Future AEA Exercises

The pilot exercise for Phonesay District provided many lessons concerning organisation, preparation, and implementation. As it involved three successive workshops in Vientiane and field work in the District, the format was very demanding of participants time, and rather expensive. It is therefore envisaged that the workshops for the next exercise in Na Mo District would be conducted in Oudomsay provincial centre rather than Vientiane, and that the work would proceed continuously. This would require that the preparations in Vientiane would have to be very thorough, particularly with regard to gathering secondary data and preparing the various maps needed. The participants would also have to commit themselves to the whole exercise continuously in Oudomsay. A multi-disciplinary meeting will therefore be necessary to plan all steps in the next AEA so that an appropriate plan and budget can be prepared.

9. Village Boundary Delineation in the Other Three Development Areas

The village boundaries of Long Nam Pa Development Area were delineated to facilitate the AEA at the Development Area level. Various administrative and socio- economic maps have also been produced that will be useful for planning purposes at various levels, ie, • District level • District agro-ecological zone level • Long Nam Pa Development Area level • Village level (in Long Nam Pa Development Area)

These GIS based maps will provide the district administration authorities with great flexibility in planning, as it enables socio-economic attribute data to be imported into the GIS, analysed, and displayed on maps, for example, populations and population densities, poverty status in the different zones and villages, distribution of services and infrastructure etc.

It is therefore proposed that the District should progressively delineate village boundaries in the other Development Areas, ie, Nam Bak, Phonthong, and Jom Jiang, and/or in the agro-ecological zones, and have this information digitised. The district planners would then have spatial information for the whole District down to the village level, the benefits of which would be significant for rural development planning for poverty alleviation.

9 Further Work Required

1. Updating the Phonesay District Boundary map

During the AEA it was learned that one section of the District boundary adjacent to Luang Prabang District had recently been adjusted and a new inter-District boundary agreement has been prepared. These adjustments were made on the Long Nam Pa Boriwen map using information gathered by a DAFO team when it delineated the boundaries of all villages within the boriwen.

It is understood that the National Geographic Department (NGD) has the authority to approve district boundary changes in which case the District and Provincial authorities should supply the information and a proposal to NGD to effect a district boundary realignment. For the present, however, maps using the old district boundary alignment are presented in this report.

2. Debriefing Meeting in Phonesay District

A seminar on the AEA exercise will be necessary in Phonesay in the near future to present the draft report for consideration by district officials. Issues and follow-up activity required would be discussed. Relevant provincial staff should be invited so they gain an understanding of the work undertaken in the District and to provide them with an opportunity to comment. A final report would be prepared following this seminar in which any necessary changes would be included.

3. Technology Formatting of Farming System and Agro Forestry Technologies

Matching technologies with agro-ecological zone characteristics and needs was initiated during the third AEA workshop, and is discussed in Section 8 above.

For extension services to successfully transfer a new technology to farmers, they require the following types of information about the technology: • A description - the rationale for why the technology has been developed, the problem(s) it helps to solve, what it does and the benefits it provides. • Technical procedures - a set of instructions, steps, methods and aids for implementing the technology. • A recommendation domain - a description of the agro-ecological and socio- economic conditions necessary for it to perform as intended Specific recommendation domains need to be described for each technology or technology option to assist in targeting the replication of the technology or option to other areas where it can be used appropriately. Recommendation domains are developed using physical, climatic, agro-ecological, socio-economic, and where appropriate, other criteria. The basic descriptors required to describe a recommendation domain for an agricultural or agro-forestry technology are; land type, slope, land use, soil type, water source, climate, and socio-economic. Environmental, gender and poverty considerations may also be incorporated. It is possible to match the recommendation

domains of improved technologies with the agro-ecological and socio-economic conditions found in any zone because AEA used a similar set of descriptors to characterise and describe the agro-ecological zones identified during the analysis.

Such a comparison would thus provide a ‘first attempt’ at targeting research technologies to specific zones. At the present time this could be done manually within LSUAFRP, but as the number of proven research technologies increases and if AEA is expanded to other districts and development areas, manual comparisons become more difficult and the need for a computerized system may arise. If this becomes necessary, a management information system (MIS) specifically designed for this purpose has been developed by CAAEP in Cambodia, and could be modified to meet the specific needs of NAFRI.

4. Production of an AEA Manual or Field Guide

A draft manual or field guide is being prepared for use during the follow-up pilot AEA exercise in Na Mo District, during which time it could be further field tested, modified and improved. The production of the draft manual in the Lao language will take some time, however, and therefore it is recommended that the activity in Na Mo District be programmed to take place after the draft manual is available in the Lao language.

5. Further Piloting of Agro-ecosystem Analysis

The pilot action research activity in Phonesay focused at the district and development area (boriwen) levels. This was done because these are the levels at which rural development and poverty alleviation programs are planned. The follow-up work in Na Mo District will probably follow this pattern. At the final workshop a suggestion was made by participants that AEA could be considered at provincial levels.

The questions that the District analyses brought to light regarding provincial forest and agricultural land use categories suggests that there would be distinct advantages from undertaking AEA at the provincial level. This is a matter that could be considered after the Project acquires more experience and a better understanding of benefits of AEA at the district level.

6. Consideration of Future Research Focus in LSUAFRP

Currently the research focus of LSUAFRP is restricted to a limited number of villages in one zone, (actually one small area in one boriwen), and so is not covering the variance in conditions existing in different parts of the District. The analyses conducted for each agro-ecological zone suggests that there would be benefits if the focus of farming systems and agro-forestry research was widened to address research issues or questions in the various zones through-out the District.

It is considered this issue should be considered during on-going discussions on planning a Phase 2 Program.

Appendix 1: Participants in AEA Pilot Exercise

Organisation Project, Unit or Participants Component LSUAFRP Project Management Sysongkham Mahathirath, Calle Mossberg (Adviser) Land Management Anolath Chanthavongsa, Thongphath Leuangkhamma, Component Somsak Sysomvang, Hongthong Amphaychith, Khamphou Phouttavong, Khongkeo Phachomphon, Peter Jones (Adviser) Farming Systems Research Manivong Thepphavong, Khampha Chanthirath, Blesilda and Extension Component Calub (Adviser) Forestry Research Khamporn Sengdala, Nang Somchanh Nanthavong, Component Socio-economic Unit Vongphaphanh Manivong, Vongphachan Thongpradith, John Raintree Information Services Bandith Ramangkoun, Michael Victor (Adviser) Head, Capacity Building Phouthorn Sophathirath NAFRI Planning Division Research Management Tavorn Inthavong Division Information and Data Base Khamphay Manivong, Phaythoun Pilakorn, Phounsap Management Division, Vilayheuang including the GIS Unit NAFRC Director Houmchitsavath Sodarak NAFES Technical Division Bouneur Wattanakhamdy (and replacement) PHONSAY District Administration La Soudaporn, (Deputy Governor) DISTRICT Office (Governor's Office) District Planning Office Thonglay Symalar, (Head of Planning Office) District Agriculture and Bounchanh Lattanavongkot, (Deputy Head, DAFO) Forestry Office Development Area and Messrs Khampan, Khamla Liengpradith, Otsaykhumsit, Village Development Gaying Hur, Seevanh, Somlith Jithkaporn, Somporn Groups Premasone, Seechan Ratsamy, Viengthong Hatsajan, Thongphan Singprasert, Onsee Sayasorn, and Ms. Bounmay Chaleonthong, MINOR FIELD Two Masters students of the Ms Anna-Karin Svensson and Ms Emelie Nilsson STUDIES Department of Physical Geography and Ecosystems Analysis, Lund University, Sweden

Appendix 2: Poverty Alleviation Priority Villages - 2004 - Phonesay District

Plan to Solve Poverty By 2004 Boriwen and No. of Development Dev. No. of No. of Total No. of No. Groups Names Groups villages HH Pop Families Villages farmers Pop Responsibility Borwien Long Nam I. Pa 4 25 1685 11152 5379 288 1775 Mr. Khampan 1 Group Pak Nga 8 549 3645 1820 Pak Nga 115 700 Khamla Liengpradith Ms. Bounmay 2 Group Nam Bo 6 396 2399 1249 Nam Bo 55 345 Chaleonthong 3 Group Sop Gia 7 415 2529 1095 Sop Gia 71 379 Otsaykhumsit Long Yom 4 Group Ngern Soong 4 324 2379 1215 Yai 46 352 Ja Bao Tor - Gaying Hur Borwien Long Nam II. Bak 2 7 500 3785 1933 120 941 Khamsee Neesay Group Takang Kathang 1 Sakeung 3 322 2564 1356 Sa Leung 77 616 See Wan 2 Group Huay Hao 5 178 1221 577 Gang San 43 325 Somlith Jithkaporn III. Borwien Phonthong 3 16 1224 7247 3645 328 1930 La Satdaporn

1 Group Phonthong 7 488 2675 1294 Phonthong 71 435 Somporn Premasone 2 Group Don Kham 5 372 2191 1145 Don Kham 105 583 Seechan Ratsamy 3 Group Huay King 4 354 2387 1176 Huay King 68 378 Seechan Ratsamy IV Borwien Jom Jiang 1 6 467 2212 1154 184 534 Viengthong Hatsajan

1 Group Jorn Jiang 6 467 2212 1154 184 1294 Thongphan Singprasert Jorn Jiang 96 694 Onsee Sayasorn Hua Dor 88 600 Onsee Sayasorn

Appendix 3: List of Phonesay District Development Area Maps

7.1 Maps Used for Agro-ecosystem Analysis

District Maps Long Nam Pa Development Area Maps 1. District Context 1. Development Area Context 2. District Boundary 2. Development Area Boundary 3. District Rivers 3. Development Area Rivers 4. District Roads 4. Development Area Roads 5. District Village Points 5. Development Area Village Points 6. Elevation 6. Elevation 7. Watershed Classification 7. Watershed Classification 8. Slope 8. Slope 9. Geology 9. Geology (used the District geology map) 10. Soils 10. Soils 11. Rainfall 11. Rainfall (used the District rainfall map) 12. Temperature 12. Temperature (used the District temperature map) 13. Land Use 1992 13. Land Use 1992 14. Land Use 2000 14. Land Use 2000 15. Land Use and Forest Management 15. Land Use and Forest Management 16. Land Use Planning and Forest Zoning 16. Land Use Planning and Forest Zoning 17. Land Suitability 17. Land Suitability 18. Optimum Land Use 18. Optimum Land Use

7.2 Maps Produced During Agro-ecological Zoning and Agro-ecosystem Analysis

District Maps Long Nam Pa Development Area Maps 1. Preliminary agro-ecological zones 1. Over-lay: Development Area on District Zones 2. District Poverty Status (from the District) 2. Village boundary (26 villages) 3. Final agro-ecological zones 3. Development groups of Development Area 4. District Development Areas 4. Long Nam Pa Agro-ecological zones 5. Overlay: Agro-ecological zones and District Development Areas