Biodiversity Conservation Corridors Initiative Biodiversity Conservation Corridors Initiative
Biodiversity Conservation Corridors Initiative International Symposium Proceedings 27-28 Apri
Biodiversity Conservation Corridors Initiative Biodiversity Conservation Corridors Initiative Biodiversity Conservation Corridors Initiative International Symposium Proceedings 27-28 April 2006, Bangkok
l 2006, Bangkok
Core Environment Program
Greater Mekong SubregionGreater
Contact Information Urooj Malik, Director Dawood Ghaznavi, Chief Operating Officer Greater Mekong Subregion Javed Hussain Mir, Senior Natural Resources Specialist GMS Environment Operations Center Agriculture, Environment and Natural Resources Division 23rd Floor, The Offices at Central World Core Environment Program Southeast Asia Department 999/9 Rama 1 Road, Pathumwan Asian Development Bank Bangkok 10330, Thailand 6 ADB Avenue, Mandaluyong City Tel +66 2 207 4444 1550 Metro Manila, Philippines Fax +66 2 207 4400 Tel +63 2 632 6234 E-mail: [email protected] Website: www.gms-eoc.org Fax +63 2 636 2231 Biodiversity Conservation Corridors Initiative International Symposium Proceedings 27-28 April 2006, Bangkok
Organized by the Greater Mekong Subregion Environment Operations Center
Edited by Jeremy Carew-Reid, Rachel Salazar, and Sylvia Spring
. i Copyright © 2007 Asian Development Bank
All rights reserved
This publication was prepared by staff and consultants of Asian Development Bank. The analyses and assessments contained herein do not necessarily reflect the views and policies of the Asian Development Bank, or its Board of Governors or the governments they represent.
The Asian Development Bank does not guarantee the accuracy of the data included in this publication and accepts no responsibility for any consequences of their use.
Use of the term “country” does not imply any judgment by the authors or the Asian Development Bank as to the legal or other status of any territorial entity.
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April 2007 - 2,000
Print on paper made from fast-growing plantation trees using elemental chlorine-free bleaching processes. ii BCI International Symposium Proceedings. Contents
Foreword vii
Acronyms & Abbreviations ix
Symposium Agenda 1
1. Welcome Remarks 5 Monthip Sritana Tabucanon
2. Opening Remarks 7 Arjun Thapan
3. Conservation of Biodiversity in the GMS - Overview 8 Jeremy Carew-Reid
Plenary Session
4. Landscape Mosaics: Integrating Forest Management and Environmental Services in Tropical Landscapes 25 Markku Kanninen
5. Managing the Environment for Development and to Sustain Pro-Poor Growth 26 Stephen Bass and Paul Steele
6. Potential Impacts of Climate Change and Regional Air Pollution on Terrestrial Biodiversity and 36 Landscape Use Frank Murray
7. Upstream, Downstream: How New York City Saves Millions of Dollars by Paying Upstream 42 Communities to Protect the Natural Water Filtration Qualities of the Catskill/Delaware Watershed Mark Kasman
PANEL 1: Ecosystems Connectivity and Biodiversity
8. Current Status of Biodiversity in the GMS Countries, with a Particular Focus on the Pilot Sites 49 of the Biodiversity Conservation Corridors Initiative Andrew (Jack) Tordoff
9. Biodiversity Loss in Xishuangbanna with the Changes of Land Use and Land Cover over 27 Years 69 Zhu H., Li H.M., Ma Y.X.
10. The Great Green Triangle: An Integrated Approach Towards Regional Planning and Biodiversity 72 Conservation in the PRC/Lao PDR/Viet Nam Border Region David Wescott and Jin Chen
11. Watershed Management in the Yangtze, Mekong, and Salween Rivers 77 Marc Goichot
12. Wetland Connectivity and Fish Migration in the Lower Mekong Basin 90 Poulsen A.F., Ouch Poeu, Sintavong Viravong, Ubolratana Suntornratana, Nguyen Thanh Tung and Barlow, C. . Contents iii Contents (continued)
13. Analyzing the Impacts of the GMS Biodiversity Conservation Corridors Initiative: A Toolkit 98 of Policy Relevant Indicators and Models Ben ten Brink, Tonnie Tekelenburg, Rob Alkemade, Mireille de Heer, Fleur Smout, Michel Bakkenes, Jan Clement, Mark van Oorschot, Jan Janse
14. Transport Infrastructure and Wildlife Trade Conduits in the GMS: Regulating Illegal and 107 Unsustainable Wildlife Trade Chris R. Shepherd, James Compton and Sulma Warne
15. Northern Plains Landscape Conservation - Cambodia 113 Tom Clements
16. Photo-Monitoring of Changes in Biodiversity in Yunnan Province, People’s Republic of China 121 Jim R. Lassoie, Robert K. Moseley
PANEL 2: Local Livelihoods and Poverty Reduction in Biodiversity Corridors
17. Questioning Traditional Livelihood Models: Lessons Learned from Cardamom Mountains 137 Pilot Project (CADP) Cambodia Suwanna Gauntlett
18. A Biofuels-based Livelihoods Strategy: Energy Trees for Electricity, Transport, and 146 Climate Change. Field Experiences from Asia and Africa Emmanuel D’Silva
19. Raising Rural Incomes while Conserving the Environment, Non-Timber Forest Products, 149 Specialty Agriculture Products, and Compatible Enterprise Development in Cambodia and Viet Nam Maureen DeCoursey
20. Linking Communities to Employment Opportunities and Markets: Policy and Institutional Design Aspects 156 Ewald Rametsteiner
21. Non-Timber Forest Products and Rural Livelihoods in Lao PDR: Reducing Poverty through 166 Forest Development and Conservation Interventions Andrew W. Ingles, Sounthone Kethphanh, and Andy S. Inglis
PANEL 3: Climate Change and Biodiversity Corridors
22. Interrelationship between Climate Change, Urban Air Quality and Impacts Inside and Outside Cities: 179 Rationale for Addressing Air Pollution and GHG Emissions Cornie Huizenga and May Ajero
23. Air Pollution and Ecosystem: Assessment of Effects of Ground Level Ozone on Agricultural Crops in Asia 187 Nguyen Thi Kim Oanh, Dinh Thi Hai Van, and Le Hoang Nghiem
24. Climate Change and Consequent Impacts in the Mekong River Basin 190 Hans Guttman
25. Addressing Vulnerability to Climate Variability and Climate Change: An Integrated Modeling System 198 Satya Priya, Murthy Bachu, Annes Hassankunju, and Sridhar Gummadi iv BCI International Symposium Proceedings. Contents (continued)
PANEL 4: Sustainable Financing and Biodiversity Corridors
26. Nature-based Tourism as a Funding Mechanism for Protected Areas and Biodiversity Conservation: 209 Plans and Opportunities in the Lao People’s Democratic Republic Paul Rogers
27. Payment for Environmental Services - Lessons Learned from a Diagnostic Study in the People’s 223 Republic of China Zuo Ting, Jin Leshan, Li Xiaoyun
28. Payments for Environmental Services: a Pathway out of Poverty? 227 Katherine Warner
29. Impact Monitoring for Watershed Management 231 Christoph Feldkötter
APPENDIX 1: Participants List 239
. Contents v vi BCI International Symposium Proceedings. Foreword
The best way to address the growing transboundary aspects of natural resource management and biodiversity conservation challenges in the Greater Mekong Subregion (GMS) will be through intensive and well-focused collaboration involving the governments of the region, organizations of civil society, and the private sector.
In early 2006, the Asian Development Bank with support from the Governments of Netherlands and Sweden launched the GMS Core Environment Program (CEP) and its flagship component—the Biodiversity Conservation Corridors Initiative (BCI). The CEP-BCI is a 10-year program to be implemented in three phases through various collaborative arrangements with state and non-state implementing partners.
Also early in 2006, the GMS Environment Operations Center (EOC) was established to coordinate and facilitate the implementation of the CEP-BCI and serve as the Secretariat to the Working Group on Environment (WGE). The WGE has been the focal point for environmental interventions under the GMS Economic Cooperation Program. The launch of the CEP-BCI and the establishment of the EOC are important steps forward in evolving long-term institutional arrangements for subregional environmental management in the GMS.
The long-term vision of the program is to establish subregional environmental protocols on environmental safeguards and codes of practice for development sectors, on environmental assessment and monitoring procedures, and on management of a subregional network of protected areas and biodiversity corridors linking them. The key concern in landscape approaches is the widespread fragmentation problem that needs to be addressed urgently in the GMS. The BCI focuses on establishing connectivity between fragmented protected areas using linear or stepping stone corridors and forest restoration in agreement with community needs for sound land management regimes. It also entails promoting increased participation of local communities in managing local natural resources and benefiting from these in a sustainable manner. Above all, the CEP-BCI program aims at finding ways and means to increase cash and non-cash benefits for poor households inhabiting remote and rural mountainous areas, which form the major backbone of the remaining rich biodiversity landscapes in the GMS. We hope that lessons learned and experience from implementing the CEP-BCI will move us steadily toward achieving our vision.
The GMS countries have lent strong support in the formulation of the Biodiversity Conservation Corridors Initiative as well as in its implementation arrangements. The first symposium of the BCI family has taken place—and these proceedings emanating from that Symposium is a benchmark of our thinking at the outset of the CEP. It is a rich source of information, viewpoints, and priorities for biodiversity conservation action in the GMS. This gathering and others like it will enable us to maintain close working linkages between the pilot site teams, the lead government agencies and the international community—and over time, to form a sharp and united front on the best way forward.
Urooj Malik Director Agriculture, Environment and Natural Resources Division Southeast Asia Department Asian Development Bank
. Foreword vii viii BCI International Symposium Proceedings. Acronyms & Abbreviations
ADB Asian Development Bank
AFLEG Asian Forest Law Enforcement and Governance
AIT Asian Institute of Technology
AQM air quality management
ASEAN Association of Southeast Asian Nations
BCI Biodiversity Conservation Corridors Initiative
BMPs Best Manufacturing Practices
BINU biodiversity indicators for national use
CADP Community Agriculture Development Project
CAI-Asia Clean Air Initiative for Asian Cities
CALM Conservation Areas through Landscape Management
CBD Convention of Biological Diversity
CDM Clean Development Mechanism
CERs Certified Emissions Reduction units
CEPF Critical Ecosystem Partnership Fund
CEP Core Environment Program
CITES Convention on International Trade in Endangered Species of Wild Fauna and Flora
CI Conservation International
COP Conference of Parties
DAP diammonium phosphate
DFRC Division of Forest Resource Conservation
EAPs environmental action plans
EANET Acid Deposition Monitoring Network in East Asia
EBA Endemic Bird Area
EBF Evergreen Broadleaf Forest
EFCF Ecological Forest Compensation Fund
ENSO El Niño-Southern Oscillation
. Acronyms & Abbreviations ix EOC Environment Operations Center
EPA Environmental Protection Agency
ETCG Ecotourism Technical Cooperation Group
FAD Filtration Avoidance Determination
FAO Food and Agriculture Organisation
FFI Fauna & Flora International
GEF Global Environment Facility
GHGs greenhouse gas
GLOBIO Global Methodology for Mapping Human Impacts on the Biosphere
GMS Greater Mekong Subregion
IAE Institute of Agricultural Economics
IBAs Important Bird Areas
ICRAF International Center for Research in Agroforestry
ICRISAT International Crop Research Institute for the Semi-Arid Tropics
IFC International Finance Commission
IIED International Institute for Environment and Development
IPTC International Press Telecommunications Council
IPCC Intergovernmental Panel on Climate Change
IUCN World Conservation Union
IWMI International Water Management Institute
JANBO Japan Association of New Business Incubation Organizations
KBAs Key Biodiversity Areas
LDCs least developed countries
LMS Lower Mekong Migration System
LMP Living Mekong Programme
LNTA Lao National Tourism Administration
LULUCF land use and land use change and forestry
MAF Ministry of Agriculture & Forestry
MAFF Ministry of Agriculture, Forestry, and Fisheries x BCI International Symposium Proceedings. MARD Ministry of Agriculture & Rural Development
MDG Millennium Development Goals
MEA Millennium Ecosystem Assessment
METI Ministry of Economy, Trade and Industry
MNP Netherlands Environmental Assessment Agency
MOA Memorandum of agreement
MPDF Mekong Private Sector Development Facility
MRB Mekong River Basin
MRC Mekong River Commission
MSA mean species abundance
NAFRI National Agriculture and Forestry Research Institute
NBCA National Biodiversity Conservation Area
NFPP Natural Forest Protection Program
NGO nongovernment organization
NGPES National Growth and Poverty Eradication Strategy
NR nature reserve
NTFP non-timber forest product
NZAID New Zealand’s International Aid & Development Agency
OECD Organisation for Economic Co-operation and Development
OTCs open-top chambers
PAFO Provincial Agriculture and Forestry Offices
PES payment for environmental services
PLUP participatory land use planning
PLG Partnership for Local Governance
PRAs Participatory Rural Appraisals
PRC People’s Republic of China
PRS Poverty Reduction Strategy
RCSP Regional Cooperation Strategy and Program
RCEEE Research Center for Ecological and Environmental Economics
. Acronyms & Abbreviations xi SDWA Safe Drinking Water Act
SLCP Sloping Land Conversion Program
SLURP Semi-distributed Land Use-based Runoff Processes
SME small and medium enterprise
SNV Netherlands Development Organisation
SPM suspended particulate matter
SRES Special Report on Emission Scenarios
STEA Science Technology and Environment Agency
SWEC South West Elephant Corridor
SWTR Surface Water Treatment Rule
TNC The Nature Conservancy
UMS Upper Mekong Migration System
UNDP United Nations Development Programme
UNEP United Nations Environment Programme
UNWTO United Nations World Tourism Organisation
UNESCO United Nations Educational, Scientific and Cultural Organisation
UNFCCC United Nations Framework Convention on Climate Change
USAID United States Agency for International Development
WCS Wildlife Conservation Society
WCMC World Conservation Monitoring Centre
WFP World Food Programme
WGE Working Group on Environment
WHO World Health Organisation
WMO World Meteorological Organisation
WWF World Wide Fund for Nature
XNR Xishuangbanna Nature Reserve
YGRP Yunnan Great Rivers Project
YGRPPT Yunnan Great Rivers Project Planning Team
xii BCI International Symposium Proceedings. Biodiversity Conservation Corridors Initiative (BCI) International Symposium 27-28 April 2006, Bangkok, Thailand
The Science and Practice of Biodiversity Corridors
Objectives: • Sharing of experience gained and lessons learned by implementers and practitioners of biodiversity corridors outside the Greater Mekong Subregion (GMS) with implementers of the Core Environment Program (CEP) • Review pilot site proposals of the GMS BCI in light of lessons learned and experience shared • If necessary and possible, make adjustments in the implementation framework of the GMS BCI based on recommendations of the symposium • Identify potential long-term monitoring outlook for the GMS BCI.
AGENDA
Thursday, 27 April 2006 Theme/Activity Presenter
08.30 – 08.40 Welcome Remarks Monthip Sriratana Tabucanon, Deputy Permanent Secretary, Ministry of Natural Resources and Environment (MONRE)
08.40 – 08.50 Opening Remarks Arjun Thapan, Deputy Director General, Mekong Department, Asian Development Bank (ADB)
08.50 – 09.00 Introduction of participants Javed Hussain Mir, Senior Natural Resources Specialist, ADB
09.00 – 09.15 CEP-BCI: Challenges and Opportunities Urooj Malik, Director, Agriculture, Environment and Natural Resources Division (MKAE), ADB
09.15 – 09.30 Overview of Biodiversity Corridor Pilot Hasan Moinuddin, BCI Unit Leader Proposals under the GMS Core Environment Program
09.30 – 09.45 Break Session I: Ecosystems Connectivity and Biodiversity Corridors
09.45 – 10.00 Landscape Mosaics: Integrating Forest Markku Kanninen, CIFOR Management and Environmental Services in Tropical Landscapes
10.00 – 10.15 Plenary Discussion Facilitator
. Agenda 1 Thursday, 27 April 2006 Theme/Activity Presenter
Session II: Local Livelihoods and Poverty Reduction in Biodiversity Corridors
10.15 – 10.30 Managing the Environment for Paul Steele, IPS Development and to Sustain Pro-Poor Growth
10.30 – 10.45 Plenary Discussion Facilitator
Session III: Climate Change and Biodiversity Corridors 10.45 – 11.00 Potential Impacts of Climate Change and Frank Murray, Murdoch University Regional Air Pollution on Biodiversity and Landscape Use
11.00 – 11.15 Plenary Discussion Facilitator
Session IV: Sustainable Financing of Biodiversity Corridors 11.15 – 11.30 Upstream, Downstream: How New York Mark Kasman, US Environment City Saves Millions of Dollars by Paying Protection Agency Upstream Communities to Protect the Natural Water Filtration Qualities of the Catskill/ Delaware Watershed
11.30 – 11.45 Plenary Discussion Facilitator
11.45 – 12.00 Announcements: Panel Discussion Groups Facilitator
12.00 – 13.45 Lunch
13.45 – 17.00 with Break Session V: Panel Discussions 15.30 – 15.45 Panel 1: Ecosystems Connectivity and Discussion Leader: Markku Kanninen Biodiversity
The Terai Arc Landscape: A New Paradigm for Chandra Gurung, WWF Nepal Conservation in Nepal
Biodiversity Loss in Xishuangbanna with the Zhu Hua, XTBG Changes of Land Use and Land Cover Over 30 Years
The Great Green Triangle Project: An Chen Jin, XTBG and David Westcott, Integrated Approach Toward Regional CSIRO Planning and Biodiversity Conservation in the PRC/Lao PDR/Viet Nam Border Region
Management of Watersheds of Large Rivers – Marc Goichot, WWF Yangtze, Mekong and Salween
2 BCI International Symposium Proceedings. Thursday, 27 April 2006 Theme/Activity Presenter
Wetland Connectivity and Fish Migration Chris Barlow, MRC
Current Status of Biodiversity in the GMS Jack Tordoff, BirdLife International Countries, with a particular focus on the pilot sites of the Biodiversity Conservation Corridors Initiative
Measuring and Modeling Biodiversity Gains Ben ten Brink, MNP and Losses for Different Socioeconomic and Corridor Options
Transport Infrastructure and Wildlife Trade Chris Shepherd, TRAFFIC Conduits in the GMS: Regulating Illegal and Unsustainable Wildlife Trade 13.45 – 17.00 with Break Session V: Panel Discussions 15.30 – 15.45 Panel 2: Local Livelihoods and Poverty Discussion Leader: Paul Steele Reduction in Biodiversity Corridors
Community Management of Forests and Khun Chainarong, ONEP Wetlands for poverty Reduction
A Biofuels-based Livelihoods Strategy: Energy Emmanuel D’Silva, ICRISAT Trees for Electricity, Transport, and Climate Change - Field Experiences from Asia and Africa
Raising Rural Incomes while Conserving the Maureen Decoursey, Winrock Environment: Non-timber Forest Products, International Specialty Agriculture Products, and Compatible Enterprise Development
Poverty, Health, Governance and Ecosystems: Paul Steele, Institute of Policy Studies An ADB-IUCN Partnership to Improve Knowledge and Address Challenges
Linking Communities to Employment Ewald Rametsteiner, IIASA Opportunities and Markets: Policy and Institutional Design Aspects
Panel 3: Climate Change and Biodiversity Discussion Leader: Frank Murray Corridors
Interrelationship between Climate Change, Cornie Huizenga, Clean Air Initiative – Urban Air Quality and Impacts Inside and Asia Outside Cities: Rationale for Addressing Air Pollution and GHG Emissions
. Agenda 3 Thursday, 27 April 2006 Theme/Activity Presenter
Air Pollution and Ecosystem: Assessment of Nguyen Thi Kim Oanh, AIT Effects of Ground Level Ozone on Agricultural Crops in Asia
Climate Change and Consequent Impacts in Hans Guttman, MRC the Mekong River Basin
Addressing Vulnerability to Climate Variability Satya Priya, RSMI and Climate Change - An Integrated Modeling System (Case Study from India)
Panel 4: Sustainable Financing and Discussion Leader: Katherine Warner Biodiversity Corridors
Sustainable Finance Mechanisms, Protected Jim Peters, Winrock International Area Networks, and Conservation Corridors: Off-setting the Opportunity Costs of Biodiversity Conservation with Tangible Economic Incentives
Nature-based Tourism as a Funding Paul Rogers, SNV Mechanism for Protected Areas and Biodiversity Conservation: Plans and Opportunities in the Lao Peoples Democratic Republic
Payment for Environmental Services: Lessons Zuo Ting, China Agricultural University Learned from a Diagnostic Study in China
Friday, 28 April 2006
08.45 – 10.00 Panel Discussion (part 3) Discussion Leaders
10.00 – 10.15 Break Session VI: Presentation of Panel Reports
10.15 – 11.15 Presentation of Results by Panels 1 – 4 Panel Rapporteurs
11.15 – 11.45 Plenary Discussion Panel Discussion Leaders
11.45 – 12.15 Response by GMS BCI Implementers GMS BCI (5 minutes per GMS country – 30 minutes for 6 GMS countries)
12.15 – 12.30 Closing of Symposium Director, MKAE, ADB
12.30 Lunch and Departure
4 BCI International Symposium Proceedings. was also expected to address the issues regarding 1. Welcome Remarks harmonization of national environmental legislation Dr. Monthip Tabucanon and regulations within the GMS. The CEP and the Environment Operations Center now provide the focal mechanism and resources to enable the WGE to better Ladies and gentlemen, fulfill those roles.
It is my great pleasure to welcome you to the first The WGE will be successful only if it promotes international symposium under the Greater Mekong and works through partnerships. To meet the growing Subregion (GMS) Core Environment Program (CEP). I need for strong and proactive environmental manage- say first, because, in my view, this is the dawn of a new ment in the GMS, participatory processes embracing era of international cooperation on environment, both the full range of stakeholders are required. As GMS within the region and between the region and the wider environmental institutional arrangements evolve, so too global community. We will be seeing regular symposiums must the methods and opportunities for participation and of this kind under the CEP, nurturing debate and discus- the roles of nongovernment organizations (NGOs), sion on environmental problems facing us and generating community groups, donors, and businesses. new ideas and strategies for addressing them. This is why the Biodiversity Conservation It is a special pleasure for me to open this sympo- Corridors Initiative (BCI)—a flagship activity of the CEP— sium because Thailand has had the honor of hosting a is so important. It is built on partnership between the six series of important regional meetings over the past few Governments of the GMS and between them and other days. We have launched the CEP and formally opened international and national organizations. The BCI pilots the GMS Environment Operations Center—both signifi- demonstrate how all components of the CEP must cant steps in cementing working ties between countries operate. However, this process is still in its infancy. We of the region to safeguard their shared natural systems are learning how to do it step by step and will need and to maintain environmental quality. In the Environ- your full support and patience in the coming years in ment Operations Center, we now have a permanent and experimenting and getting it right. focused secretariat to support the GMS Working Group on Environment (WGE). The first step is to be open to innovative ideas and approaches and to have the capacity and flexibility Last year, the WGE was 10 years old. It has served to test them in meeting real problems on the ground. a critical function as an advisory body on GMS issues This symposium and the BCI aim to begin that process on environment and natural resources management, of open discussion and piloting. I believe there are very reporting to the GMS Ministerial Conference and to good reasons for emphasizing biodiversity corridors in respective governments. It has promoted exchange of this early stage of the CEP. We know we must look information, built good working relationships, and enabled beyond economic progress to achieve sustainable review of the Asian Development Bank’s (ADB) environ- development. Development must be ecologically mental regional technical assistance programs. Now at sustainable. It is now commonly accepted that there its 12th meeting, and the opening of a new decade for are three principles necessary to making sustainable the Group, I feel a growing excitement that it is taking on development work—biodiversity conservation, a more influential and proactive role. intergenerational equity, and the precautionary approach. Together, these approaches aim to prevent and reverse The WGE is intended to facilitate the implementa- adverse impacts of economic and social activities on our tion of priority GMS environmental projects, and ensure GMS ecosystems, while continuing to allow sustainable that environmental issues are properly addressed in equitable development. subregional projects in other sectors, with special emphasis on the large infrastructure projects being For me, the concept of “biodiversity corridors” developed in the transportation and energy sectors. It summons up notions of linking and integrating
. Welcome Remarks 5 conservation and development across landscapes. It for technical staff from our six countries to contribute and recognizes the need to maintain and enhance critical gain skills and experience. In this context, we may need ecosystems for the wider benefits and services they to explore the options for a regional training center or provide. And, it promotes the idea that maintaining the network of training centers as a key capacity building diversity of life intermingled with human communities is strategy underlying and feeding into the CEP. We will the key to achieving stability and quality in our social benefit from your ideas and discussion on this and the and economic systems. other priorities.
This symposium aims to move these and other The Government and people of Thailand have a ideas on the essential ingredients for sustainable long history of involvement in environmental manage- development forward, toward practical application in our ment and biodiversity conservation. We have launched region—one of the most beautiful and diverse in the initiatives to reforest degraded land, to improve air and world. water quality, adopt energy efficient technologies, and invest in air pollution abatement schemes. We have also I would like to end my welcoming remarks by done well in terms of formulating and subsequently identifying three broad priorities for you to consider. The refining policy and institutional frameworks for biodiversity first is the need for transboundary cooperation in the conservation. However, several challenges remain: conservation and management of natural systems. This developing an enabling framework for local participation; is at the heart of the BCI. Transboundary cooperation is arresting overexploitation through appropriate enforce- not easy to achieve and there are many economic, ment; and developing mechanisms for financing political and institutional forces inhibiting it. But when conservation. These issues are all enduring barriers to we in the GMS share so many natural systems of development and our success in addressing them will importance to our cultural identities, to our growing depend a great deal on partnering with other GMS economies and to our overall security—transboundary countries and harnessing the best available technology, cooperation on environment is not a choice, it is a knowledge, and expertise in the region, and globally. prerequisite to the sustainable development of the GMS. It is for you to advise us on how to achieve it. So you see, I have put a lot on your shoulders— we need you to help catalyze momentum for this new Second is the need for integration. By that I mean era of environmental cooperation in the GMS. We in integration of the BCI, its activities, methods, and Thailand will do everything possible to support and lessons, with other components of the CEP. And I mean facilitate your work. integration of the CEP with other components of the over- all GMS development program. The WGE is one of nine Thank you. sector-based working groups under the GMS economic cooperation program. We must ensure that, in our enthusiasm to progress on our immediate biodiversity goals we do not become isolated from the main forces shaping its use and degradation. We must take action across all the CEP components and seek to connect in active and practical ways with the other sector based working groups. We need to influence and help shape what they are doing. In other words we need to become a central force in shaping GMS development.
Third is the need for technical exchange and capacity building within the region. I see the CEP through the Environment Operations Center providing a forum and venue for fresh and expanded opportunities
6 BCI International Symposium Proceedings. Cs: connectivity, competitiveness, and community. The 2. Opening Remarks Second GMS Leaders Summit in Kunming in 2005 reaf- Arjun Thapan firmed this vision and resolved to further enhance the three Cs. It was also at the Kunming Summit where the GMS leaders endorsed the Core Environment Program 2.1 Introduction (CEP), which was developed as a joint initiative of GMS member countries—facilitated by the Asian Development Dr. Monthip Tabucanon, distinguished guests, Bank (ADB)—to address the environmental stresses ladies and gentlemen, thank you for joining us today at likely to be brought about by subregional integration, the International Symposium on the Greater Mekong especially economic corridor development. Subregion (GMS) Biodiversity Conservation Corridors Initiative (BCI). I am delighted to see so many of you 2.3 Economic and biodiversity corridors here. It is doubtless a measure of the sense of urgency that the subject of biodiversity conservation evokes. At the heart of the GMS Program—and ADB’s regional strategy for the Mekong region—are the I presume that many of us here are familiar with economic corridors. The corridors induce integration and the GMS Economic Cooperation Program—or GMS competitiveness and facilitate trade and investment. Program, as it is commonly known. For those who are However, the increase in production and trade within the not, I would like to bring to your attention a few key geographic spaces influenced by the corridor investments features of the program. is potentially accompanied by ecosystem fragmentation. As experts in the field, you will share our view that 2.2 GMS Program protected areas that were traditionally seen as the first line of defense against the fragmentation problem, are The GMS Program commenced in 1992 seeking not sufficient to mitigate this problem. Indeed one of the to promote economic cooperation between Cambodia, main causes of biodiversity loss in the region is the the People’s Republic of China, the Lao People’s destruction of habitat, and the fragmentation and Democratic Republic, Myanmar, Thailand, and Viet Nam. impoverishment of the remaining ecosystems. We As it grew, the program covered cooperation in several are concerned that in the absence of anticipatory sectors and thematic areas including energy, transport, environmental and natural resource management, the telecoms, tourism, environment, agriculture, human effectiveness of our development interventions and resources, trade facilitation, and investment. The investments could be undermined. This can potentially program adopted a pragmatic approach to regional have serious implications for poverty reduction and economic development focused on activities and results sustainable development of the region. rather than on rules. The BCI is a response to this concern. Biodiversity By 1996, much of the infrastructure sector studies corridors are located within the GMS economic corridors and preparations for priority projects were completed. so that they contribute to enhancing the developmental Since then, the program has helped knit the subregion impact of the economic corridors in a sustainable way. together. Vital infrastructure links have been built; These corridors are analogous to economic corridors in policies to overcome barriers to market and trade their functionality: both attempt to increase system scale, expansion, tourism and investment have been designed connectivity, integration, and efficiency. and are being put in place; and human resource, knowledge and institutional building initiatives have The BCI aims to address the urgent issue of commenced. fragmented landscapes arising from accelerated economic development, and the impact of this fragmen- At the 12th Ministerial Meeting in Dali in 2003, the tation on biodiversity in the GMS. The biodiversity vision of the First Summit was translated into a three- corridors will attempt to harmonize economic develop- pronged strategy for the Program. These are the three ment with conservation, and protect the ecological and
. Opening Remarks 7 environmental services that underpin our common and shared development objectives. 3. Conservation of Biodiversity in the GMS – Overview So, we now have a response that conceptually Jeremy Carew-Reid addresses the challenge. Making it work will require imagination, commitment, and industry. As a first step, your discussions will help in responding to the following: Summary (i) how can BCI better align environmental protection and economic development to promote biodiversity A point is reached in the degrading of a natural conservation and mitigate against ecosystem fragmen- system when there is no return. Natural processes and tation; (ii) how do we ensure equitable cost and benefit relationships have been so disrupted and become so sharing especially with local communities that derive their simplified that they are beyond renewal. Many of the livelihoods from this biodiversity; and (iii) what are the elements of biodiversity in the Greater Mekong Subregion best options to overcome policy and institutional (GMS)—species, ecosystems, and genetic material—are fragmentation across national boundaries and sectoral close to that point because of unplanned side effects of jurisdictions. escalating economic development. GMS Governments have responded by mounting the Core Environment 2.4 Closing Program (CEP) overseen by the Working Group on Environment and supported by a permanent secretariat, In closing, let me say that gatherings such as these the Environment Operations Center (EOC). The invigorate our thinking and help reinforce the intellectual Biodiversity Conservation Corridors Initiative (BCI) is a foundations of BCI. To say that the BCI is crucially flagship of the CEP to be integrated closely with other important for the GMS is not simply to state the obvious. program components which seek to influence develop- It is to help us concentrate our attention on the conser- ment in the GMS economic corridors and sectors. This vation and sustainable use of biological diversity that is paper introduces the CEP and BCI and summarizes the fundamental to the future of the GMS and the welfare of papers presented at the first BCI symposium. The main its people. I am sure your discussions will provide BCI a themes are the role and management of biodiversity solid foundation to build upon. corridors, ecologically sustainable livelihoods, the recognition of climate change as one of the most Thank you and good day. important development challenges facing the region, and the economic value of ecosystem services as the basis for sustainable financing of conservation and local livelihoods. Some papers begin to outline a consistent monitoring and reporting framework for the BCI.
3.1 The GMS as a natural system
The GMS is as a natural system. It is a system bound by five shared rivers—the Ayeyarwady, Thanlwin, Chao Phraya, Mekong, Red and Pearl Rivers (Map 3.1). Economic and social development cannot escape this fundamental characteristic of the region—it is a natural system. Over centuries, layers of economic and social patterns of development have grown from it—they have been shaped and determined by its natural capital and potentials. Economic plans and actions must work within the natural system’s ability to regenerate. If they don’t respect those limits, sooner or later GMS development
8 BCI International Symposium Proceedings. will fail. It is beginning to fail now in various hotspots Map 3.1: The GMS as a natural system of five major river throughout the region. basins Signs of development failure in hotspots are sharp inequities, exhausted natural resources, and worsening quality of life for many of the most vulnerable communities. Other signs of failure include diminishing productivity in key economic sectors—where for each unit of investment there is declining output. Most often, the evidence is anecdotal and difficult to interpret—but the evidence from many stories is growing and a clearer picture is emerging. Development within the GMS is proceeding without care for the future—without adequate assessment and safe- guards for sustainability, for its impact on other sectors, and for its effects on the poor.
3.2 GMS development beyond nature’s limits
There are cases of industries driven to collapse because of exhaustion of the natural resource on which they were based—this occurred for a factory in southern Cambodia dependent on the supply of rattan from Ream National Park. The local communities were the losers. After two years, the foreign company concerned packed up and went elsewhere. There are similar cases in other GMS countries of collapse of industries due to decline in forest products. Those hit hardest are the poor. Fifty- two percent of Cambodians live within 10 km of forests, while 33% live within 5 km (Forest Sector Review 2004). The quality of the forest, levels of access, and the nature and extent of markets all play critical roles in the The links between biodiversity and fisheries are benefits poor communities receive from them. Forest also immediate. Reduced biodiversity will lead to loss of products and systems also play an essential role in livelihoods and unfavorable socioeconomic impacts livelihoods in communities not close to forests, even in (Coates et. Al. 2003). Fishing in the Mekong and in other urban areas. For example, up to 90% of Cambodians rivers of the region is not the problem—but the high depend on fuel wood for cooking. The smallest impact of other sectors on aquatic biodiversity. The signs fluctuation in the availability and price of fuel wood has of biodiversity loss are apparent—Mekong fishers are far reaching impacts on the poor throughout the country, reporting a significant reduction in the size of fish and market forces tend to work against them. As the caught—the larger migratory species are under threat. quality of natural systems degrades, the cost of accessing And in some intensively developed areas, catch per unit resources is rising. The returns for input of labor are effort is declining. Coastal fisheries have collapsed reducing. The poor may harvest the resources but the throughout the region. Maintenance of water bodies and principle beneficiaries are those high in the market chain. associated wetlands is a key to maintaining capture The poor move closer and closer to the forest and water fisheries and overall GMS socioeconomic development. bodies, and work harder to exploit them, but benefits are These wet areas include upland tributaries and related not increasing proportionally. systems of streams, reservoirs and headwaters; lowland river channels and lakes; permanently and seasonally
Conservation. of Biodiversity in the GMS – Overview 9 inundated wetlands associated with seasonal rainfall These examples show that in many areas the form and the annual inundation of floodplains, rivers deltas, and scale of development in the region is continuing estuarine and mangrove systems, and in coastal waters, beyond the replenishment rate of natural capital. It is coral reefs and sea grass areas. drawing down heavily on nature’s reserves with unknown and unplanned long-term consequences. Decline in water accessibility and quality affects most sectors. When the Mekong mainstream was 3.3 Scale of GMS economic development interrupted for a week due to construction of a dam in Yunnan Province, People’s Republic of China (PRC), In the 10 years since 1995, the GMS has grown in all vessels over 20 tons in Lao People’s Democratic population from 240 million to 300 million, and gross Republic (Lao PDR), were stranded on the riverbed. regional product has grown from some $250 billion to Water transport, irrigation, drinking water, and water over $400 billion. A Strategic Framework for the supply to industry all contribute to local and national cooperative development of the GMS was adopted by economies. In the GMS, many of these essential natural the 10th GMS Ministerial Conference in November 2001. system-livelihood links are being severed or weakened It is implemented through periodic plans which promote by unwise investment and economic policy applied infrastructure linkages and cross-border trade and without knowledge of its socioeconomic and sustainability investment. For the period 2003-2006, 40 investment and implications. technical assistance projects amounting to about $10-15 billion are designated for priority implementation.1 An outstanding example is the increasing Key to the strategy are three economic corridors–“north- incidence and severity of flooding and drought in south,” “east-west” and “southern”—in which infrastruc- various parts of the region. It is known, although not ture development is linked directly with trade, investment, fully understood, that forest loss and degradation of and production opportunities (Map 3.2). The corridors watersheds has disrupted natural water regulation involve five transport routes crossing and linking the GMS increasing peaks and troughs in water flow. In Cambodia, countries in various combinations. They are the focus the floods in 2000 cost $156 million in damage. In 2001, of major transport system projects and both subregional again the floods struck affecting over 1.6 million people and bilateral agreements on trade, power interconnec- in 12 provinces. The flooding destroyed homes, infra- tion and generation, tourism, and telecommunications. structure, and crops. There is mounting evidence to show All are associated with a wave of targeted investment. that the intensity of flooding events is due in large part to Total transformation of the economies and the environ- development which has reduced river channels and ment of the GMS is underway. raised riverbeds, obstructed natural drainage systems, reclaimed flood plains and wetlands, expanded urban Much of this development is proceeding without and residential areas in sensitive areas and cleared adequate environmental assessment and mitigation. natural forest (ESCAP 2002). Then in 2003, drought Once again anecdotes from local areas provide an struck many areas of the country, which severely affected insight into the full extent of this wave of investment. The fishing yields. In February 2004, the end of the peak development of the three GMS economic corridors is season for the licensed bag net fishery operators, catches facilitated through the establishment of distribution were reported at one-seventh the level of the previous centers which link the network of existing roads to each year. The Mekong River Commission (MRC) is corridor. The centers include provision of warehousing, predicting that serious food security and water conflicts vehicle servicing, and a range of secondary enterprises. will result if these intense drought and flood events Often they are in remote areas of remaining forests continue. The first and most seriously to be affected will populated by poor minority groups. They have far reaching be those 35% of the population which are most vulner- social and environment effects. For example, a new able because of their direct reliance on natural products distribution center connecting to the North South Economic and systems. 1 The content of the development matrix is included in ADB’s Regional Cooperation Strategy and Program 2004-2008: The GMS – Beyond Borders (RCSP).
10 BCI International Symposium Proceedings. was recognized by the GMS Governments. Since its Map 3.2: The GMS economic corridors creation in 1995, the GMS Working Group on Environment (WGE) had played a useful role in sharing information, reviewing the technical assistance program of the Asian Development Bank (ADB), and providing policy guidance. But it remained the least influential of the network of working groups set up to oversee the GMS development program. It had no permanent secretariat and no program of its own.
A 2004 options paper prepared for the WGE proposed the evolution of the WGE to a more proactive and influential body and the adoption of a GMS Core Environment Program as its main operational mechanism (GMS WGE 2004). The logic was spelt out like this: • The planned economic transformation of the GMS has significant environmental implications. • The GMS governments and their development partners must consider a more proactive approach to ensure ecologically sustainable development of the region. • The environmental projects outlined in the GMS development matrix, while important, are unlikely to be sufficient. • Continued development of national environ- mental capacities is important, but also unlikely to be sufficient. • As the GMS now enters its second decade of development a great opportunity exists for the Corridor in Phitsanoulouk, Thailand, now attracts a flow WGE to progressively evolve by taking on a of 700 trucks each day. There are plans for the corridor more proactive role in shifting the GMS to link with Malaysia and Singapore which will multiply development to a sustainable path. the traffic load at the center several times. The ware- • The WGE will need to change significantly to housing and service facilities will attract many meet this challenge. migrants seeking to work leading to further expansion • Postponement of this reform opportunity will and multiplier impacts. mean inevitable environmental damage, loss of crucial ecosystem services, and threaten the This is one of many examples which are now sustainable future of the region. coming to light of the unplanned side effects of “connectivity” as massive investment flows continue to The paper proposes steps in WGE development build momentum. as an institution with increasing levels of capacity and autonomy. The WGE will “gradually shift from a 3.4 The need for a permanent GMS environment program review forum to a proactive permanent body organization responsible for shaping development of the subregion from the earliest stages of planning, through implemen- It is against this backdrop of mounting pressure tation, monitoring and reporting on performance, and on natural capital that the urgent need for a permanent ultimately take on a role in enforcement” under some environment body and regional environment program form of regional environmental agreement (GMS WGE
Conservation. of Biodiversity in the GMS – Overview 11 2004). As a first step, the establishment of an Environment The CEP operates at five levels of collaborative Operations Centre was proposed to act as the technical action: (i) the region as a whole; (ii) the economic secretariat to the WGE. corridors connecting two or more countries; (iii) the national level; (iv) within individual investment sectors; Establishment of the EOC to support the WGE and (v) specific shared landscapes where natural and the implementation of its Core Environment Program systems and biodiversity are of greatest importance to were endorsed at subsequent meetings of the WGE and GMS development. then at a GMS Environment Ministers’ Meeting in Shanghai (May 2005)2 and the 2nd GMS Summit of Leaders held in In the economic corridors, the intention is to Kunming (July 2005).3 identify critical natural systems and detail the specific benefits these natural assets bring to local and regional 3.5 GMS Core Environment Program – a response development. It will examine the cumulative effects of to mounting environmental challenges proposed development plans on natural capital and help implement safeguard plans to minimize the impact of The Core Environment Program aims to conserve planned development on specific ecosystems. For each the GMS as a natural system for the ecosystem products of the economic sectors, the CEP will assess the impact and services it provides. It focuses on the most important of plans and investments on natural and social systems actions over the next 10 years to change the quality of and build environmental codes of practice to maintain GMS economic development so that it is ecologically ecosystem services and sector productivity. sustainable. The CEP’s biodiversity corridors work was identi- The GMS CEP aims to: fied as a flagship activity by GMS Governments in their (i) secure critical ecosystems and environmental Kunming Declaration. Building on the existing network quality in the GMS Economic Corridors and of the protected areas in the GMS, the CEP aims to that economic development in all sectors restore ecological connectivity and integrity in a selected proceeds in a sustainable manner; set of important biodiversity landscapes. (ii) conserve biodiversity within protected areas 3.6 The biodiversity conservation corridors initiative and in corridors linking them; (iii) integrate the environment into national and Biodiversity corridors are areas of habitat that subregional development planning and provide functional linkages between protected areas to adapt, adopt, and apply environmental (i) conserve habitat for species movement and for the performance indicators to measure progress maintenance of viable populations, (ii) conserve and in shifting development to a sustainable path; restore ecosystem services, and (iii) enhance local (iv) establish a secretariat to provide full-time community welfare through the conservation and support to the WGE in implementing the CEP sustainable use of natural resources. Biodiversity and build effective institutional arrangements corridors are similar to economic corridors in their objec- and policy frameworks for transboundary tives: both attempt to increase system connectivity, environmental management and sustainable economies of scale, integration, and efficiency. natural resource use; and Biodiversity corridors do so through rehabilitation, (v) define and implement sustainable financing conservation, and sustainable use and by internalizing strategies to conserve the natural systems biodiversity products and services in the development of the GMS. planning process.4 2 Joint Ministerial Statement, Meeting of the GMS Environment Ministers, 25 May 2005, Shanghai PRC, para 9: “...we endorse the launching of the GMS Core Environment Program and the establishment of the Environment Operations Center for its implementation by early 2006.” 4 For more information see GMS Biodiversity Conservation and 3 Kunming Declaration July 2005. Corridors Initiative Strategic Framework and Technical Assessment.
12 BCI International Symposium Proceedings. The purpose of the BCI is to establish sustainable Pilot sites for demonstrating the corridor management regimes for restoring ecological connec- approach: The GMS Governments then identified seven tivity and integrity in selected corridors. Those regimes pilot sites within six of the nine biodiversity landscapes include the provision of natural resource goods and for implementation of site-level activities during the first services that contribute to improving livelihoods of phase of the BCI (2006-2008) (Map 3.3). These are peoples living in and around the corridors. smaller areas with high potential to demonstrate the value of corridor management approaches that need to be The BCI pilot projects in each corridor will lead to: applied across all nine landscapes. Jack Tordoff • poverty alleviation through sustainable use of describes the attributes of the seven pilot sites in his natural resources and development of paper in this volume (paper 8). livelihoods; Cambodia shares five of the nine priority biodiversity • definition of optimal land uses and harmonized landscapes. All are affected by GMS economic corridors land management regimes; (East-West 2, South 1). Two pilot sites have been • restoration and maintenance of ecosystem selected to reconnect habitats through corridors in the connectivity; (i) Cardamom Mountains and (ii) Eastern Plains Dry • capacity building in local communities and Forest (Map 3.4). For example, Map 3.5 shows the pilot government staff; and site in the Cardamom Mountains will include a network • sustainable financing mechanisms and of corridors to: structures integrated with government planning and budgeting procedures. Map 3.3: GMS biodiversity landscapes and BCI pilot sites The GMS biodiversity landscapes: As a first step in the BCI, all the information on remaining species and habitats in the GMS was combined and analyzed to identify nine large biodiversity landscapes of greatest importance for conservation (Map 3.3). Those land- scapes cross international borders and intersect with the GMS economic corridors. They are the areas which must be kept as far as possible in their natural state for the good of human development and wellbeing in the region. The reservoir of natural capital held in those nine landscapes must be maintained to avoid development failure.
The nine landscapes of particularly high biodiversity value in the GMS are the: 1. Western Forest Complex 2. Tonle Sap Inundation Zone 3. Cardamom Mountains 4. Northern Plains Dry Forest 5. Eastern Plains Dry Forest 6. Tri-Border Forest 7. Central Annamites 8. Northern Annamites 9. Mekong Headwaters
Conservation. of Biodiversity in the GMS – Overview 13 • Reconnect northern with southern forests and G21353 through Mengyang and Mengla). Map 3.6 shows support livelihood alternatives; the proposed corridors at that site are intended to link • Promote rehabilitation and sustainable use of existing and proposed protected areas. coastal zone (mangroves); • Buffer from population pressure from the east; Lao PDR has major shares of three GMS biodiversity and landscapes. One is affected by the East-West 1 Economic • Ensure strict law enforcement along road 48 to Corridor. The Xe Pian-Dong Hua Sao-Dong Ampham prevent ribbon encroachment. Pilot Site was selected to relink habitats in the Tri-Border Forests of the Central Annamites. The corridor areas Viet Nam has large shares of three of the GMS are dissected by roads which are now being upgraded biodiversity landscapes. All are affected by GMS (18A, 18B, 1J, 16). economic corridors (East -West 1 and 2). The Ngoc Linh- Xe Sap Pilot Site has been selected to reconnect Thailand shares one GMS biodiversity landscape habitats in the Central Annamites landscape. The Ho with Myanmar (the Western Forest Complex landscape). Chi Minh Highway dissects the corridor area. In Yunnan While relatively isolated from infrastructure development, Province, the Xishuangbanna Pilot Site has been the region is part of several GMS economic corridors selected to reconnect habitats in the Mekong Headwaters. (overlaps with North-South 1 and East- West 1, proximity It is affected by the North-South 2 Economic Corridor. to East-West 2 and South 1). The Tenasserim Pilot Site Several major roads now cut across protected areas (e.g., Map 3.5: Proposed corridors at the Cardamom Mountains Map 3.4: BCI pilot sites in Cambodia Pilot Site, Cambodia
14 BCI International Symposium Proceedings. Map 3.6: Proposed corridors connecting protected areas at Map 3.7: Proposed corridors in the Tenasserim Pilot Site – the Xishuangbanna Pilot Site Thailand and Myanmar
has been selected to reconnect habitats in the Western investment in alternative livelihoods and enhancing Forest Complex landscape. The proposed corridors are conservation of natural systems by local people. Many framed by two major complexes of protected areas in of the most important biodiversity areas are on interna- western Thailand—the Western Forest Complex and the tional borders and require transboundary management Khang Kha Chan Forest Complex in addition to the responses. relatively closed areas controlled by the Royal Thai Army and a Royal Project (Map 3.7). Because of proximity to 3.7 The BCI symposium border and mountainous terrain the proposed 10-15 km corridor has a limited number of access roads. To implement the BCI pilots, coalitions were formed between government environment and natural The seven pilot sites share a number of common resource agencies and international conservation organi- attributes. Population and development pressures go zations working in each country and at the sites. The up to and within existing protected areas but there are BCI symposium held in April 2006 in Bangkok was also significant biodiversity values remaining outside the intended to bring this immediate BCI family together with protected area networks that are fast being depleted. other organizations and specialists from within and out- There is a high correlation between poverty incidence side the GMS. It was the first of planned regular meetings and remaining biodiversity wealth and significant to take stock, discuss critical issues, and chart the potential for poverty reduction through strategic future. The specific objectives of the 2006 Symposium were to: Conservation. of Biodiversity in the GMS – Overview 15 • Share experience gained and lessons learned Zhu Hua shows how market forces on just two by implementers and practitioners of biodiversity products are leading to serious biodiversity losses in corridors outside the GMS with implementers of Xishuangbanna (paper 9). There, clearing for rubber the CEP plantations and under-planting with Amomum—commercial • Review pilot site proposals of the GMS BCI in plant of ginger family—by local people has lead to light of those lessons and experiences decreases in tropical rainforest biodiversity. The high • Make adjustments to the implementation frame- price of rubber is driving the expansion of plantations. work for the GMS BCI based on recommendations The ginger poses a serious, but largely unrecognized, of the symposium, and threat to natural regeneration of forests, because • Identify a potential long term monitoring outlook gathering of Amomum fruit requires complete clearing for the GMS BCI.5 of young trees, saplings, seedlings, and shrubs. Zhu identifies the challenges to limiting further expansion, to The remaining sections provide an overview of the promoting multi-species agro forestry, and the urgent papers presented at the symposium and some of the need for a biodiversity conservation corridor to stabilize key issues which arose in discussion. the situation.
3.8 Overview of BCI symposium papers Poulsen A.F., Ouch Poeu and their team review how fisheries in the Mekong River play a critical role in The symposium had four linked parts which food security for the poorer communities (paper 12). reflect the critical issues facing effective BCI implemen- Many commercially important species migrate between tation and biodiversity conservation in the GMS overall: flood plains, dry season refuges and spawning areas and (i) biodiversity corridors, (ii) livelihoods, (iii) climate change it is necessary therefore to maintain connectivity between and (iv) sustainable financing. The presentations, these areas. Regional cooperation is required to manage papers, and working groups were divided into these parts. the river basin as an ecological unit. In developing economic activities which may impact on the river, 3.8.1 Biodiversity corridors planning and management authorities must consider the potential impact on fisheries and related livelihoods of Jack Tordoff outlines the key biological attributes the people who live in the Mekong Basin. of each GMS country and looks at the status of species, habitats and ecosystems (paper 8). He paints a pretty The wildlife trade is also a threat to biodiversity in grim and urgent picture. Many of fish species characteristic the GMS—It is driven by consumer demand, high of the five shared rivers are migratory and require the profits, low risk of being caught, low deterrents, and maintenance of intact, large-scale aquatic systems. Most increasing ease of access to remote resources. Chris remaining natural habitats have been heavily fragmented Shepherd and others (paper 14) call for regional coop- and typically persist as isolated patches. In other areas, eration in development of regulations and capacity to such as in the Tenasserim Mountains along the border enforce them, the development of effective deterrents between Myanmar and Thailand and on the plains of and cooperation and awareness building between northern and eastern Cambodia, large, continuous land- agencies as well as educating and empowering poorer scapes of natural habitat remain. But many species are communities to develop sustainable livelihoods. reduced to one or a few sites, with populations numbering in the hundreds or less, and can be considered to be Chen Jin and David Wescott introduce the Great on the verge of extinction. Jack’s paper describes the Green Triangle Project which pilots an integrated biodiversity corridors and sets out options for monitoring approach to regional planning and biodiversity conser- biodiversity in each of the seven pilot BCI sites. vation in the PRC/Lao PDR/Viet Nam border area (paper 10). The Phongsaly region of northern Lao PDR 5 The last objective was picked up in greater detail in a second work- has high biodiversity values and connects major reserve shop organized by the EOC on Biodiversity and Socioeconomic areas in the PRC, Viet Nam and elsewhere in Lao PDR. Assessments – Harmonization of Approaches in the GMS, 4 – 6 October 2006, Siam City Hotel, Bangkok, Thailand. The project is demonstrating management that: (i) uses
16 BCI International Symposium Proceedings. the whole landscape, including areas whose primary Emmanuel D’Silva agrees that empowering land-use is production or extraction, for conservation communities to develop sustainable technologies holds purposes; (ii) recognizes and incorporates both the the key to the maintenance of natural systems in many productive or extractive values of biodiversity and its areas (paper 18). He describes work carried out in services and intrinsic values; and (iii) incorporates Adilabad district, India and in Niger, West Africa to people, their livelihoods and their aspirations along with implement biofuels-based strategies. There the approach biodiversity conservation goals. has helped to preserve forests by giving forest-dependent communities opportunities for alternative employment In his keynote paper (paper 4), Markku Kanninen and improved living conditions. Raw oils from several also advocates “a whole landscape management species have been used to produce electricity, pump up process” rather than management for individual goods groundwater, and run farm equipment. or services. Andrew Ingles and others at IUCN present Marc Goichot reports on the striking contrasts in evidence from a pilot village in Northern Lao PDR of land-management practices and their associated impacts significant and sustained improvements in rural liveli- on freshwater conservation along the Salween, Yangtze, hoods arising from the management and marketing of and Mekong Rivers in the PRC. Within the headwaters non-timber forest products (NTFPs) and forest conser- of the Yangtze, large areas have now been restored vation measures (paper 21). Many households have through a seven-year, large-scale program (covering achieved food security, increased annual cash incomes, 267,000 km2 and costing $600 million) implemented by and improved health. He calls on the CEP-BCI to learn The Yangtze River Water Conservancy Committee. The from this positive experience and support the further Salween is one of the last large free-flowing rivers in the scaling-up of the approaches in the Lao PDR pilot. world, although it is subject to a plan to develop large- scale hydropower generation. The Mekong is rapidly Ewald Rametsteiner reviews the lessons from losing natural condition through unsustainable use and local level development projects and distills a number of development. Mid-slope areas around human settle- key trends toward integrated landscape approaches, ments are becoming extremely fragile and susceptible higher importance placed on tailoring methods to local to landslides. Marc stresses the need for emphasis on contexts, and an emphasis on building access to the role of the upper reaches of these large river markets (paper 20). At the policy level, rules and systems in maintaining the biological integrity of the regulations that protect property rights, enforce contracts, entire basin. enable market-based competition, set appropriate incentives, and provide access to credit have had most 3.8.2 Livelihoods impact. In successful projects, target groups have a sense of “ownership” of ideas and of initiatives. Ewald WildAid Cambodia has concluded that the only points out that local people are quite skeptical of new option for conservation of critical natural systems is to concepts being imposed on them and their way of life. wean poor communities off their dependency on direct exploitation of biodiversity (Suwanna Gauntlett, paper Stephen Bass and Paul Steele advocate what they 17). Increasing human populations in Koh Kong Province call “green growth” which is pro-poor through more is leading to forest destruction and loss of wildlife. WildAid effective environmental management (paper 5). They is testing an agricultural model with poor local communities identify four main environmental problems that under- to allow farmers to relocate to nearby land provided by mine growth and poverty reduction: (i) decline in quantity the government and to become financially self-reliant or quality of natural resources, (ii) degradation of without clearing forests, hunting, and carrying out other fundamental ecosystem processes, (iii) increased illegal activities in forest concessions and protected climate-related environmental hazards such as floods areas. Initial results are very encouraging and by 2008, and droughts, and (iv) water and air pollution. Those close to 400 families will participate in the scheme. problems are increasingly felt in transboundary situations where cross-border trade may cause over-exploitation
Conservation. of Biodiversity in the GMS – Overview 17 of timber or wildlife and growing demands of growth restricted habitat are least able to adapt and most centers for resources such as timber, metals and energy vulnerable to extinction. These special influences of increase environmental pressure throughout the region. climate change challenge assumptions about fencing They propose three strategies—institutional changes to off areas with high levels of biodiversity as the most improve poor people’s access and rights to natural effective way to conserve threatened plant and animal resources, increased private and public investment in species. the environment, and international partnerships in environmental health, sustainable sector development, Cornie Huizenga and May Ajero detail the close and in greening financial markets and private sector. linkages between air pollution and climate change in Asia (paper 22). Rather surprisingly, in the decade from 1993, Natural resource versus non natural resource in many cities there were decreases in pollution levels dependent incomes as a way out of poverty was a key for sulfur dioxide (SO ), total suspended particulate 2 theme emerging in livelihoods working session as matter (SPM), and fine particulates (PM10). Yet, NO 2 recorded by Paul Steele. Depending on the context, there levels are gradually increasing and exceed World Health may be opportunities to support poor people in generating Organization (WHO) standards. Ozone is an emerging larger incomes from natural resources (e.g., non timber pollutant of concern for Asia. Environmental impacts of forest products) or to assist them to move to less natural urban air pollution extend well beyond the cities where resource dependent incomes (e.g., commercial farming). air pollution originates. Ozone, which is a secondary The former may be applicable where population pollutant formed from NOx and HC in warm weather pressure is relatively low, the natural resource relatively conditions, can usually be found in high concentrations abundant, and market opportunities relatively 50 to 70 kilometers downwind from the cities. unexploited. The latter may be more appropriate where population pressure is high, the natural resource scarce, Nguyen Thi Kim Oanh and colleagues conducted and the market opportunities limited. a study on the impact of ground ozone on production of rice and peanut crops (paper 23). They found that ozone 3.8.3 Climate change causes dramatic reductions in productivity. They predict that high levels of ozone from urban and industrial centers Human induced climate change is a serious in Southeast Asia will adversely affect agricultural crops development issue in the GMS—perhaps more than any in the region. Surface ozone is a regional air pollutant other as entire natural systems shift and change and growing in concentration. Frank Murray cites other studies local and national economies are disrupted. that found an increase of 23% in ozone concentration from an ambient level reduces soybean yield by 20%. Frank Murray argues that climate change will soon This concentration is expected to be reached by 2020 in be the major cause of biodiversity and agricultural losses parts of the GMS region. By 2020, increasing ozone in the GMS (paper 6) with emissions from the PRC concentrations are expected to cause yield losses of continuing to dominate the region. He cites the Interna- 2-16% for wheat, rice, and corn, and 28-35% for soybean. tional Panel on Climate Change mid-range climate Ozone is known to have severe impacts on biodiversity. scenarios for 2050 including (i) a general reduction in crop yields, (ii) decreased water availability in water- Hans Guttman and others describe a modeling scarce regions of sub-tropics, (iii) a widespread increase study of the impact of climate change on the Mekong in the risk of flooding, and (iv) increased exposure to River (paper 24). It predicts that the timing and distribu- vector-borne and water-borne diseases. Frank points tion of precipitation will lead to longer dry and shorter, out that climate change intensifies the need for more intense wet seasons all of which will impact on biodiversity corridors. It will change the natural limits of agriculture, flooding, and fisheries. species and ecosystems, leading them to alter distribu- tion, where possible. In most cases, ecosystem frag- Satya Priya presents a more detailed modeling mentation will impede the movement of these plant and study on the impact of climate change on water animal species. Species with limited climate range or resources and agriculture in the Pennar basin, Andhra
18 BCI International Symposium Proceedings. Pradesh State in India (paper 25). He advocates applying filtration system. This experience shows that regular similar methods to the GMS where most people are also monitoring, incentives, and penalties are needed to keep highly dependent on climate-sensitive sectors, such as all parties engaged in delivering program objectives. rain-fed agriculture, forestry and fisheries, which are Once a working regulatory framework is in place, money already vulnerable to current climatic variability, particu- can be invested in natural ecosystem services. larly floods and droughts. The study estimated an increase in runoff of the order of 10-15% with more Paul Rogers discusses nature-based tourism and extremes. Under certain climate change scenarios, all ecotourism and the potential to strengthen them by linking monsoon crops show decreased yields. to protected areas, an approach being piloted in Lao PDR (paper 26). This is achieved by channeling money from Frank Murray and others in this working session ecotourism activities into conservation and by developing called for national and regional development planning to ecotourism activities in and around protected areas. incorporate climate change adaptation strategies. Poor There is a need for regional dialogue and cooperation communities should be helped to develop their own on policies and programs promoting forms of ecotourism priorities to reduce climate change vulnerability through that provide clear and measurable benefits to biodiversity ecosystem management and restoration activities that conservation. sustain and diversify local livelihoods. A regional assess- ment of impacts of climate change and regional air 3.9 Monitoring of biodiversity at the pilot sites pollution on biodiversity and agriculture is needed (paper 6). A number of the papers addressed the need for a monitoring framework for tracking biodiversity in the 3.8.4 Sustainable financing region, and especially for the BCI sites. Jack Tordoff sets out a framework for monitoring changes in the Recognition by governments, the private sector, status of biodiversity at each BCI pilot site through (i) and resource managers that ecosystem services have satellite images and (ii) ground survey of indicator species. economic value is the basis for sustainable financing. Each (except Yunnan) includes a gibbon and an important Zuo Ting (paper 27) and Kadi Warner (paper 28) bird species along with a number of others such as the describe experiences and options for payments for Asian Elephant. environmental services (PES). In the PRC, PES programs are being used to improve watershed services by rewarding The livelihoods working group stressed the need watershed service providers with tangible economic for clear indicators for both poverty reduction and incentives to protect the watershed. Kadi emphasizes biodiversity improvement as livelihood interventions the challenge of developing PES programs aimed at cannot be assumed to have positive impacts on either environmental protection and poverty alleviation by (recorded by Paul Steele). The group concluded that reducing the need for unsustainable natural resource indicators are vital to measure progress toward poverty uses. reduction and biodiversity improvement and that these have not been given enough attention in past interven- Mark Kasman describes how New York City (NYC) tions by many agencies. Too often it has been assumed saves millions of dollars by compensating upstream that positive impacts will result, but this has not always communities to protect the ecosystem services they happened. Possible indicators include: provide, in this case the natural water filtration of the • Poverty and livelihoods Catskill/Delaware watershed (paper 7). This was - Food security achieved through negotiations between all interested - Incomes parties to broker an agreement which catered for NYC’s - Business development need to protect its water supply and the upstream • Biodiversity community’s need for economic sustainability and self- - Ecosystem connectivity determination. Without this agreement, the NYC would - Species richness have had to pay billions of dollars to build a water - Forest Area
Conservation. of Biodiversity in the GMS – Overview 19 • Governance and Policy posium for indicators to be affordable, measurable, and - Infrastructural linkages universally applicable. Most important from the Dutch - Migration perspective is that indicators should be focused on the - Land Allocation key policy questions. - Regulatory Implementation - Incentives 3.10 Conclusion
The group also highlighted the need for discus- The effect of economic development in the GMS sions beforehand to agree on response mechanisms if is measurable in terms of climate change impacts, in the indicators suggest that progress is off track or inter- habitat fragmentation, species loss and loss of environ- ventions are having negative impacts on either poverty mental services. It is also measurable in terms of social or biodiversity. disintegration in some of the poorest communities. Economic corridors are opening up remote areas leading Jim Lassoie describes the use of repeat historical to unplanned losses in natural resources and in the photography by The Nature Conservancy (TNC) in north- capacity of natural systems to renew. western Yunnan to understand rates and patterns of ecosystem change under varying land-uses, to set Economic and social progress depends on base realistic goals for conservation programs, and to establish ecosystem services (for example oxygen production and reliable methods for measuring conservation successes carbon dioxide absorption by plants) and on the health (paper 16). The monitoring work is part of the Yunnan and quality of natural systems. Development also Great Rivers Project. It uses high quality photography implies an improvement in the quality of human life techniques and the efficient management of the resulting through education, equity, community participation, images and metadata, an analytical framework for recreation and a sense of well being. Three principles identifying and measuring visual indicators of change that which drive ecologically sustainable development are are tied to a comprehensive conservation planning intergenerational equity, the precautionary approach and scheme, and a sampling methodology that accounts biodiversity conservation. Together these approaches for the variation inherent in the ecoregions under aim to prevent and reverse adverse impacts of economic consideration. and social activities on ecosystems, while continuing to allow the sustainable, equitable development of societies Christoph Feldkötter sets out an initial impact (Australian NSESD 1992). Those principles need to drive monitoring framework for watershed management in development in the GMS. the Lower Mekong Basin (paper 29). It reflects the need to maintain the watershed’s ecological, social, and It is vital for the BCI and the CEP as a whole to economic functions. One imperative he identifies is to link with the strategic investment framework of the GMS. use appropriate monitoring methods which are well The BCI should not lose sight of the broader GMS established, cost efficient, and sufficiently simple to be investment framework and planning process which has used by local administrations and communities. such fundamental influence on natural resource-liveli- hood links and on environmental quality. This requires Ben ten Brink, Tonnie Tekelenburg, and their clarity on how the BCI pilots link up with GMS sectoral colleagues at the Netherlands Environmental Assessment priorities and investments. In particular, it is important to Agency have applied a wide range of approaches to keep in mind the programmatic context for the BCI. It is biodiversity monitoring in Latin America, Africa, and Asia part of the GMS Core Environment Program. Each including indicators, models, and an assessment frame- component of the program is inextricably linked to the work to analyze and assess biodiversity change in the others—they need to move forward together in a closely past, present, and future as a result of human activities integrated manner. Alone the BCI cannot succeed. (paper 13). They have developed tools to support policy Finally, the BCI needs to embrace and promote the makers in exploring and assessing policy options. They concerns of ethnic minorities and indigenous people, who reinforce the call from Christoph and others at the sym- are often the majority in the pilot sites.
20 BCI International Symposium Proceedings. References Australian Government, 1992, National Strategy for Ecologically Sustainable Development. Department of Envi- ronment and Environment, http://www.deh.gov.au/esd/national/ nsesd/index.html
Coates D., Ouch Poeu, Ubolratana Suntornratana, N Thanh Tung & Sinthavong Viravong. 2003. Biodiversity and fisheries in the Lower Mekong Basin. Mekong Development Series No. 2. Mekong River Commission, Phnom Penh, 30 pages
ESCAP. 2000. State of the Environment in Asia and the Pacific. United Nations, Bangkok, Thailand.
FAO. 2001. State of the Worlds forests. FAO, Rome.
GMS Working Group on Environment, August 2004, Evolution of GMS Working Group On Environment - Options Paper, WGE, ADB
ICEM. 2003a. The economic benefits of protected areas: field studies in Cambodia, Lao PDR, Thailand and Viet- nam. Review of protected areas and development in the Lower Mekong River region. Indooroopilly, Australia.
ICEM. 2003b. Lessons learned in Cambodia, Lao PDR, Thailand and Vietnam. Review of protected areas and development in the Lower Mekong River region. Indooroopilly, Australia.
McKenny, B. and P. Tola. 2003. Natural Resources and Rural Livelihoods in Cambodia – a baseline assessment. Working Paper 23, Cambodia Development Resources Institute, Phnom Penh
MRC. 2003. State of the Basin Report: 2003. Mekong River Commission, Phnom Penh
Conservation. of Biodiversity in the GMS – Overview 21 22 BCI International Symposium Proceedings. Welcome Remarks
PLENARY SESSION
. 23 24 BCI International Symposium Proceedings. (i) visioning and assessment - learning processes 4. Landscape Mosaics: Integrating Forest geared towards defining management goals, Management and Environmental Services in (ii) planning - using existing planning mechanisms Tropical Landscapes if available, Markku Kanninen (iii) incentive assessment - adapting the planning tools and incentive system, (iv) implementation of plans - adaptive ecosystem To keep forest ecosystems resilient in the face of management, facilitation of learning processes, social and economic pressures and changing climates, and one must understand how ecological and social systems (v) monitoring - monitoring the progress. interact to generate particular land use patterns. Often there will be trade-offs between what is globally optimal When applying the “landscape management and what is locally desirable. For instance, the need to process” in practice, we have several methods and tools conserve large areas in “hot spot” regions may not be either already available or that can be easily modified compatible with the livelihood needs of local people for the purpose. The methods include adaptive living in those regions. management of forests, multidisciplinary landscape assessment, participatory land-use mapping, and tools In fragmented landscape mosaics, forests and for developing future management scenarios. In other natural habitats can be maintained only if they are cases—e.g., with monitoring of the environmental services managed in an integrated manner to generate benefits or assessment of vulnerability and risks—research is for local people and to generate income through a underway to develop these methods. combination of products and ecosystem services. In this respect, there are several issues that forest managers In the future, we have to able to identify those and land-use planners have to take into account. These actions that can lead to “negotiated, simple and adaptive” include: landscape management corresponding to local (i) local perceptions of the importance of forests, stakeholders’ vision. Approaches of the kind summarized their products and services, here can promote and facilitate those outcomes. (ii) the role of forests in managing livelihoods and environmental risks, References (iii) existing local mechanisms for forest and CIFOR. (2004). Managing landscape mosaics for sustainable ecosystem management, livelihoods8 p. www.cifor.cgiar.org/publications/pdf_files/ (iv) how to integrate environmental services into research/livelihood/managing.pdf forest and ecosystem management at multiple scales, G. Shepherd. (2004). The ecosystem approach. Five steps to (v) how to efficiently monitor the services implementation. Ecosystem management series No. 3. IUCN produced, Jean-Laurent Pfund and Thomas Stadtmüller. (2005). Forest (vi) mechanisms for rewarding the production of Landscape Restoration (FLR), InfoResources Focus, No 2/05 environmental services, (vii) the role of markets, and S. Maginnis and W. Jackson. (2005). Restoring forest landscapes: Forest landscape restoration aims to re-establish (viii) how to develop and manage multi-functions ecological integrity and human well-being in the degraded of forests for goods and services that are forest landscapes 6 p., IUCN www.iucn.org/themes/fcp/ valued locally and by the wider community. publications/files/restoring_forest_landscapes.pdf
Sheil, D. , R. K. Puri, I. Basuki, M. van Heist, Syaefuddin, In considering these factors, the whole “landscape Rukmiyati, M.A. Agung Sardjono, I. Samsoedin, K. Sidiyasa, management process” needs to be followed, rather than Chrisandini, E. Permana, E. Mangopo Angi, F. Gatzweiler, B. focusing on the production of individual goods or services. Johnson & A. Wijaya. (2002). Exploring biological diversity, This “landscape management process” can be defined environment and local people’s perspectives in forest land- as a cycle consisting of various steps: scapes. Methods for a multidisciplinary landscape assessment. CIFOR, Bogor, Indonesia
Landscape Mosaics: Integrating Forest Management and Environmental. Services in Tropical Landscapes 25 (iv) sustainable fishing, 5. Managing the Environment for Development (v) transboundary rivers management, 1 and to Sustain Pro-Poor Growth (vi) disaster preparedness, Stephen Bass and Paul Steele (vii) greening Asia’s financial markets and private sector, and (viii) pro-poor conservation. Summary 5.1 The environmental challenge facing Asia Asia’s environmental resources have contributed enormously to economic growth and poverty reduction. “Without fuelwood we can’t even boil water.” (Poor A quarter of total national wealth in Asia is comprised of woman in Murad Dhand, Pakistan)2 environmental assets such as fertile soils, rivers, forests, and mineral deposits. These natural assets are often Asia’s rich environmental management traditions critical for the livelihoods of many poor people with few sustained its people for centuries. Practical examples other assets. include the rice terraces of Indonesia and the Philippines, and common property management of Japanese Resource-intensive development has been inland fisheries. Some of the greatest Asian thinkers— achieved at significant environmental cost. Environmen- Buddha, Confucius, and Gandhi—had a profound tal issues such as deforestation, pressure on water appreciation of the dependence of people on the natural supplies, and pollution from industry and energy use pose world. Perhaps such traditions, in part, explain why the real limits to further economic growth. In many Asian Asian public is more concerned about current environ- countries, the cost is equivalent to one third or more of mental impacts on health and well-being than people in gross national savings. They also exacerbate Asia’s high any other region (Environics International 2002). In the vulnerability to natural disasters. (Asia already suffers early stages of Asia’s drive for economic development, 90% of all climate-related disasters, and this is likely to Asian environmental traditions were challenged by increase with climate change.) economic development models which promoted the exploitation of natural resources for export. Forests were The challenge for governments and policymakers cleared, first for high-value hardwoods and then for tea, is to use natural wealth to generate growth and to coffee, and rubber. Mines were developed in previously enable the poor to benefit from this growth, while at the remote areas. same time sustaining its capacity to produce these benefits into the future. Such “green growth” can be Environmental change accelerated with rapid achieved through improvements in three key areas: agricultural and industrial growth in the 20th century, institutions, investment, and international partnerships. becoming more extreme in recent years. Asian agricul- tural production rose 62% from 1990 to 2002. Forests Significant Asian scientific and institutional inno- were cleared rapidly, in part to make way for food vations have already shown what progress can be made. production—Indonesia alone lost 1.7m ha a year of This paper highlights the potential for further progress forests during the 1990s. Large areas were irrigated for through international partnerships that build on existing food production, with high amounts of water and initiatives in: agrochemicals being applied. Asian industrial produc- (i) environmental health, tion rose 40% from 1995 to 2002, compared with 23% (ii) energy and climate change, globally. As in other regions that experienced industrial (iii) sustainable forestry and eradicating illegal revolutions, early industrial developments have involved logging, highly polluting industries. Further developments
1 Paper previously presented to ASIA 2015 Conference – Promoting 2 Pakistan Participatory Poverty Assessment (2003), www.opml.co.uk/ Growth, Ending Poverty, London. 6-7 March 2006. docs/1_Pakistan_PPA_national_report.pdf
26 BCI International Symposium Proceedings. constantly generate new types of environmental pollination, which threatens all livelihoods and burden—e.g., the heavy metal hazards from “e-waste” most economic activity. (computers, phones, televisions, etc.), one of the fastest (iii) Increased climate-related environmental growing sources of waste (UNEP 2004; World Bank hazards such as floods and droughts, which 2005a). impose major costs to life and property. (iv) Water and air pollution, which damages both Asian urbanization, the fastest in the world, is health and infrastructure. posing massive environmental challenges. Today, most of the world’s mega-cities are in Asia, and so also are Environmental problems are increasingly felt at the world’s biggest slums. By 2020, Asia’s urban the regional level. Transboundary resources are often population is projected to double to 2.2 billion from a managed unsustainably, e.g., the diminishing fish stocks little over 1 billion in 1990, and nearly half of Asia’s popu- of the South Pacific or Bay of Bengal; risks to clean air lation will live in cities (United Nations Secretariat 2002/ from Indonesian forest fires or East Asian sand and dust 3). Water supply, housing, wastewater treatment, solid storms; and pollution in shared rivers (e.g., the Indus, waste management, and transport infrastructure already Mekong and recently, the Songha river where a toxic cannot keep pace. For example, municipalities will face benzene spill threatens Russia). Cross-border trade may a more than ten-fold increase in solid waste burdens by cause overexploitation of timber or wildlife (e.g., in South- 2025—with the People’s Republic of China (PRC), east Asia and East Asia). Growing demands by the Indonesia, and Philippines facing the largest increases). region’s growth centers for resources such as timber, Pollution may reach intolerable levels: already, eight of metals, and oil are putting other regions under increas- the world’s 10 most polluted cities are in the PRC, where ing environmental pressure. Regional hazards are also 3–6 million life-years are lost each year from pollution emerging, such as floods and droughts, and zoonotic (World Bank 2005a). Despite having the fourth largest diseases such as Avian bird flu and SARS. fresh water reserves in the world, the Ministry of Water Resources states that more than 400 Chinese cities, Asia has progressed also in some areas of including the capital, face severe water shortages—and environmental management. Exposure to water people are being forced to migrate because of lack of pollution and indoor air pollution has, in general, water (Ramirez 2005). fallen across the region as investment in clean water and electricity has improved. Safe drinking water Such dynamics have brought about enormous now reaches a majority of the population in South Asia— benefits through fuelling the Asian economies and increasing more rapidly over the last decade than in any supporting Asian livelihoods. Many development other region. Many Asian countries have phased out or indicators have directly improved as a result— banned the most dangerous pesticides. Energy efficiency notably GDP, exports, food security, nutritional status, has improved rapidly, particularly in the PRC. Reuse of employment, and levels of poverty. waste products is increasingly handled at the regional level, with waste reprocessing a rapidly growing industry However, these changes are reaching in the PRC. The increase in Asian land area officially unprecedented levels, increasing the severity of four protected for biodiversity (up to 7.6% by 2003) is an over- major environmental problems, which may themselves looked environmental success story—even if there is undermine growth and poverty reduction: often much to be done to ensure local poor people benefit. Yet most environmental trends remain negative, (i) Decline in quantity or quality of natural and more poor people are suffering from them. resources, such as fisheries or soils, which threatens many livelihoods and economic There are many promising political, social, and activities, and thus growth. economic processes in Asia that are driving pro-poor (ii) Degradation of fundamental ecosystem environmental outcomes: processes, e.g., natural cycling of water and nutrients, and biological dynamics such as
Managing the Environment for Development. and to Sustain Pro-Poor Growth 27 (i) Poor people themselves have organized to Reuse and Recycle (3Rs) Initiative” began demand better access to natural resources the trend, and today the PRC Government and improved environmental services, and is exploring ways to develop a “Circular subsequently, to manage resources Economy,” recently committing to generate sustainably and establish improved relations 15% of the PRC’s power from renewable with the authorities. Sometimes this has sources by 2020 (up from 7% now). been done in collaboration with government th as with the 89,000 forest protection committees The 5 Asian Ministerial Conference on Environ- in India, and 13,000 forest user groups in ment and Development has concluded that “long-term, Nepal. Neighborhood groups in the slums effective poverty reduction requires that the natural of South Asia have organized their own environment be protected.” Held in Seoul in 2005, it called sanitation schemes on massive scales, at for pro-poor “Green Growth,” requiring significant costs far lower than those provided governance, policy, and system changes, supported by inefficiently by municipalities. international partnerships. The current paper addresses (ii) Asia’s private sector, as the engine of three questions that are central to achieving this bold growth, can play a vital role in responding to vision: environmental challenges, and is already (i) How can environmental assets continue to responding with real leadership and innova- contribute to pro-poor growth, especially in tion. Japan’s auto industry has sought to lead low-income countries in Asia? the world in low emission vehicles. Asian (ii) How might environmental degradation under- companies are rapidly adopting environmental mine Asia’s growth, and particularly affect management systems, aiming to meet poor people? international standards; 40% of companies (iii) How can pro-poor environmental improvements with the global environmental standard be made, and how can Asia’s development ISO-14001 are from over 100 countries in partners assist? Asia. (iii) Asia’s vibrant civil society has mobilized 5.2 How can environmental assets continue to to press government to manage natural support pro-poor growth, especially in low- resources wisely, with especially significant income countries in Asia? impacts in India and the Philippines. In many countries, faith groups are increasingly “Water is for us what oil is to the Arabs.” (King involved in environmental debate. The Wangchuck of Bhutan)3 media in many countries are increasing their coverage of environmental issues. And Natural assets, such as fertile soils, rivers, forests, judicial activism, notably in India, has been fisheries and mineral deposits, account for a very driving better implementation of government significant proportion of national wealth in Asia. Together, environmental policies through increasing they are worth almost as much as the value of manmade both supply and demand for environmental assets such as infrastructure. The figure is typically justice. higher for lower income countries, i.e., 25% in South Asia, Asian governments are increasingly promoting (iv) compared with 21% in East Asia. Indeed, natural capital better care of the environment: decentralizing is the main asset of many of Asia’s poorer countries (e.g., control over natural resources; entering 64% in Bhutan). management agreements with resource users; and promoting clean technologies through fiscal instruments. The resource intensity of consumption patterns is being addressed, e.g., Japan’s “Basic Law for a 3 Over 40% of Bhutan’s government revenues come from hydropower Recycling-Based Society” and its “Reduce, exports to India.
28 BCI International Symposium Proceedings. should add real value, the poor must not be harmed by Table 5.1: Asia – percentage shares of wealth, 2000 the extraction, and profits must be taxed and used for pro-poor spending. These objectives are not always mutually compatible and there are some difficult choices (%) (DAC/ENVIRONET 2005): Human and institutional capital 54.6 Produced capital 22.8 (i) Avoid subsidizing large-scale resource Natural capital 22.6 extraction. Many countries lose money from Of which: Subsoil 21.1 subsidized exploitation, e.g., by loss-making Land 73.1 state firms (e.g., Sri Lanka’s state timber Forests 5.8 corporation), subsidies to government joint ventures (e.g., the Pacific tuna processing Source: World Bank, 2006. Where is the Wealth of Nations? Washington: industry), large tax write-offs (e.g., Indonesia’s The World Bank. timber industry), permitting excessive logging The historical trend of using natural resources for (e.g., Cambodia) or land conversion (shrimp growth is continuing. Lao PDR, Bhutan, and Nepal are farming – Bangladesh, Viet Nam). This leads developing their water resources to generate hydropower to “boom and bust”: natural capital is asset- exports to their neighbors. While it remains controversial, stripped, and low resource prices encourage the Nam Theun 2 hydropower project in Lao PDR may excessive, inefficient processing, which generate $2 billion in export revenue to Thailand over eventually destroys the viability of the 25 years. Indonesia has used its oil and mineral wealth industry. The key is to reduce incentives for to diversify its economy, while Timor Leste sees its rich overexploitation, notably by dismantling oil and gas resources as its main driver of growth. subsidies that harm the poor and the Nature tourism is a growing sector in Sri Lanka, Nepal, environment. Kyrgyzstan, and Thailand. For example, tourism (ii) Increase the value added by a competitive provides 37% of income in Chiang Mai, Thailand where resource industry. With declining terms forest trekking is popular (Thailand Environment Monitor of trade for primary commodities, successful 2004). The challenge is to use this natural wealth care- businesses have invested in technologies fully, to (i) generate growth, and (ii) enable the poor to that enable increasingly sophisticated benefit from this growth, while (iii) sustaining the resource processing. Asian timber producers, for base and its continued capacity for pro-poor growth. instance, once exported sawn- or round- There are two main ways in which natural resources can wood, but now export furniture and moldings. contribute to pro-poor growth: There is broad consensus that the aggregate worth to the economy of further processing (i) National economic growth – which creates is maximized by promoting competitive jobs and adds to total income and government industry, i.e., without perverse subsidies revenues, and can be used for pro-poor such as artificially low log prices and log/ purposes. rattan export bans. Access to technologies (ii) Development of small- and medium-scale and markets is key, as are capacities to enterprises, through use of forests, fisheries, help set and meet appropriate international and other natural resources owned and standards. managed by primary producers and processors (iii) Ensure that natural resource extraction of natural resources. does not harm neighboring people but, preferably, supports their development. 5.3 How can natural resources drive pro-poor Many large-scale commercial mining, national economic growth? timber, and hydropower investments can come to dominate remote areas with often For natural resources to sustain pro-poor growth, poor and/or minority populations. They may their extraction should not be subsidized, processing compete with subsistence harvesters, for
Managing the Environment for Development. and to Sustain Pro-Poor Growth 29 whom there is usually little legal recognition. 5.5 How can natural resource conservation Harm can be avoided—and preferably benefit poor people? opportunities realized—by careful zoning, local hiring and procurement policies, Loss of natural resources can impose high management agreements, and earmarking economic and social costs. Thus, some Asian countries some of the profits for local level investments. have limited the extraction of key land and sea resources, Several corporate-community forestry as well as introducing completely protected areas where partner-ships in India and Indonesia offer extraction is forbidden (such as national parks). These good examples (Mayers and Vermeulen often represent significant conservation developments. 2001). But in some cases these have been introduced at high (iv) Allocate natural resource revenue towards social costs for poor people, who may suffer from pro-poor growth. While some governments blanket harvesting restrictions, as in most national parks. have failed to invest their natural resource Protected areas can be managed in ways which ensure wealth in pro-poor growth, and thus fall that neighboring poor people still receive substantial under the “resource curse,” others have benefits, and are compensated for any loss of existing allocated natural resource revenues to natural resource use rights. Nature tourism is a fast- poverty-reducing investments. Some have growing industry with potential to provide revenues and earmarked specific natural resource employment for poor residents, as well as to preserve revenues (notably mineral and forest ecosystem services. revenues) to the local administration or local people, as in some mining concessions in 5.6 How might environmental degradation under- the Philippines. mine growth and particularly affect poor people? 5.4 How can natural resource-based small and medium enterprises (SMEs) lift people out of “Rapid economic growth has exerted considerable poverty? pressure on the environmental sustainability of the region and ... could have an adverse effect on achieving Job creation is one of Asia’s biggest challenges, sustainable development.” (Economic and Social and many new jobs will continue to be in the SME Commission for Asia and the Pacific 2005) sector. To lift themselves out of poverty, poor people will wish to use their major assets, usually natural resources, Asia’s rapid growth is, in some cases, being and aim to add as much value as possible. They may directly undermined by environmental degradation. In need to group into associations, to help negotiate better Pakistan, 16% of the land is subject to salinization terms and improve the efficiency of environmental asset resulting from excessive water application, with similar management. Past attempts at forming producer coop- scales of this problem occurring in the Central Asian eratives around subsidized inputs, such as in fisheries, countries. The irrigation mismanagement in Pakistan have often failed due to political interference and elite costs over US$200 million per year in reduced food yields capture with the inputs not reaching the poor. A more (DFID/EC/UNDP/World Bank 2002). In western India, successful approach is to provide an enabling business groundwater pumping has enabled agricultural intensifi- environment through secure resource rights, support for cation, but water tables quickly dropped from 10–15 m common property management, improved access to below ground in the 1970s to 400-450 m by the 1990s. markets and transport, streamlined regulations and In many areas, wells have been abandoned and entire technical support. This is an area for further development: villages have become deserted (Roy and Shah 2002). since they tend to be dispersed, natural resource-based Shrimp farming has declined in some countries, due SMEs are challenging to support, and difficult to regulate primarily to pollution and weak environmental controls; for their environmental impact. resulting disease caused Asia’s shrimp industry losses of over US$1 billion in the 1990s. Marine overfishing has also undermined economic returns. In the Gulf of
30 BCI International Symposium Proceedings. Thailand, average hourly catch has fallen almost 10 times 60% of environmental services (particularly freshwater, from 250 kg/h in 1961 to 18 kg/h. The Republic of Korea air and water purification, climate regulation, and pest saw over 70 anti-pollution protests in the 1990s (Far regulation) have been degraded (Millennium Ecosystem Eastern Economic Review 1990). The PRC has faced Assessment 2005). rural unrest because of increasing pollution. Most poor people in Asia, particularly women, are Investing Asia’s drawdown of natural capital in dependent on natural resources for their livelihoods, but other sectors of the economy can avoid “boom and bust.” suffer from inadequate access and declining resource This is particularly the case of minerals and other non- quality. Most of Asia’s rural poor depend on agriculture, renewable resources which, by definition, are declining for which access to fertile soil and predictable water with extraction. It is clear that, if natural capital is simply supplies is essential. Yet 28% of Asia’s land is already liquidated as consumption, then it will not lead to degraded and water tables are declining (FAO 2004). sustained improvements to the economy. If, however, World Bank studies in the PRC, Cambodia, Lao PDR, profits from natural capital extraction are invested in and Viet Nam suggest that there is a strong overlap physical capital (e.g., infrastructure) and human capital between highly degradable land and where the poor live (e.g., education) to drive further growth, they might make (World Bank 2005b). People without access to a sustained contribution to improved welfare. Where secure land are, perhaps paradoxically, even more there is a windfall natural resource gain, such as a rapid dependent on a wide range of natural resources, as they oil price rise, this can be set aside in a special saving cannot raise financial capital—and women are dispro- account. This in itself can be beneficial environmentally portionately dependent (Jodha 1990). In West Bengal, if future investments in physical and human capital lead three times as many women as men are involved in to more efficient resource utilization, thus reducing gathering non-timber forest products, processing is done further pressure on the resource base. Timing is crucial entirely by women, and twice as many women as men in shifting from pure resource extraction to resource are involved in their marketing (Ford Foundation 1998). management and diversified income sources, before it Fisheries are the key resource for more poor people in is too late and the resource collapses. In many cases, Asia than in any other region (Briones et al. 2004), notably the switch has not been made in time, such as gold in Bangladesh, India, Indonesia, and along the great mining in Kyrgyzstan, oil and gas in Indonesia, and some Mekong River, and many farm households augment their Asian timber enterprises and fishing fleets. food supplies and incomes by fishing (UNEP 2002).
But there are limits to how much drawdown of Many poor people in Asia are exposed to environ- natural capital is economically desirable. Natural capital mental health risks and hazards, both the traditional risks in Asia is already declining dramatically in both quality of dirty air and water, but also new risks from animal- and quantity, while manmade and human capital transmitted (zoonotic) diseases such as bird flu. There continue to grow. Fisheries are depleted, soils eroded have been major environmental health improvements and made saline, aquifers dry up, and forests are over the last decades, with 80% of people in low-income denuded. These impacts are significant enough to Asian countries now having access to improved water reduce gross national savings by almost a third in the sources. However, access to sanitation remains much PRC, Philippines and Cambodia, by almost a half in lower at 44%—partly explaining why water pollution Mongolia and Malaysia, and by nearly 90% in Indonesia remains a significant problem: fecal coliforms in Asian (World Bank 2005b). In addition, there are certain rivers are 50 times the WHO safe maximum (World Bank ecosystem processes which are critical for their life- 2005b). In South Asia, the environmentally caused supporting services, notably nutrient recycling, air and disease burden is now greater than that from malnutrition water purification, pollination and other biological (20%, compared to 15%). Many women and children mechanisms. Loss of this ‘”critical natural capital” is suffer particularly from indoor air pollution (from dirty irreversible and represents a significant threat to the cooking fuels used in confined spaces), causing up to a long-term welfare of the human race. Yet, globally, the million premature deaths each year across Asia. Young Millennium Ecosystem Assessment has identified that children and poorly educated women in poor households
Managing the Environment for Development. and to Sustain Pro-Poor Growth 31 in Bangladesh suffer four times as much from indoor air As Asian countries grow and trade increases, the pollution as men in higher income households (Das Gupta world economy’s environmental impact (“footprint”) et al. 2004). Animal health and human health are becomes heavier, with impacts felt well beyond the main becoming increasingly linked in Asia, as people and live- centers of growth. For example, the PRC is now stock come into closer contact with wildlife when they responsible for half of global cement consumption, a third move into new areas and intensify agricultural production. of coal and steel use, and is the biggest importer of Wildlife acts as a “pool” from which pathogens can timber. This boosts the revenues of resource producing emerge, as with avian bird flu and possibly SARS and countries in the region and beyond, but also increases HIV AIDS. the rate of resource depletion and carries significant environmental risk such as increased pollution, land Environmental changes have exacerbated Asia’s degradation, and climate change.4 A similar picture can high vulnerability to disasters, and this will increase with be painted for large urban centers which obtain many of climate change. Asia has always experienced wide their supplies from far away, at significant environmental climatic variation. Buildings, livelihoods, and social costs on the remote ecosystems on which their continued networks have adapted to cope with natural events. growth depends. The next 10 years are likely to witness Management of normal floods has been integral to significant increases in consumer demand in Asia—in the fishing and farming livelihoods of poor people in the PRC alone it is expected to rise to the equivalent of Bangladesh and Cambodia. However, these natural four more Americas (ADB 2005). Added to the already events are now becoming more frequent and extreme, high, and increasing consumer demand in the West, leading to more lives lost, more property destroyed, and pressures on the world’s natural resource base are also more conflict. In the PRC, natural disasters are now the set to increase exponentially, unless rising commodity main direct cause of people falling back into poverty. price increasing consumer awareness of “footprints,” and The poor tend to suffer most, as they live in the most improved policies and market instruments start to vulnerable areas, e.g., many slum dwellers live on land dismantle predominant high-input/low-efficiency/high- which is highly vulnerable to environmental hazards such waste production processes. as landslides, pollution, and floods. Such vulnerabilities are exacerbated by damage to protective environmental 5.7 How can pro-poor environmental improvements assets, such as coral reefs, coastal mangrove forests, be made, and how can Asia’s development and riverine wetlands, which increase exposure to floods, partners help? as illustrated in some areas by the devastating tsunami. “The global market for environmental goods and Asia includes several larger countries like the PRC services is over $600 billion in 2005. Asia-Pacific and India that are increasingly significant emitters of accounted for $37 billion of this total, but its growth is the greenhouse gases. It is also the continent that will fastest in the world, with the market expected to triple by experience some of the greatest adverse impacts of 2015.” (ADB 2005) climate change, which will affect millions of people in almost all countries. Asia already faces 90% of all There is growing agreement that pro-poor climate related disasters in the world, at a cost of half a environmental change is urgently needed, and moreover, million lives each year. Many development assistance emerging consensus about how to achieve it. The analysis investments have recently been shown to be vulnerable above points to three key areas for improvement: O rise in to climate change (OECD 2004). A further 2 (i) Institutions and governance temperature is expected to cut farmers’ incomes by 25% (ii) Investment (DFID 2004). There is an urgent need to balance (iii) International partnerships energy provision with less pollution, and with investment in adapting land use, infrastructure and other systems to climate change (especially in the vulnerable agricultural 4 The energy used by the PRC’s economy makes it the second biggest drylands of India and the PRC, and the fragile coastal emitter of greenhouse gases. It is likely that, as the world economy’s preferred location for heavy industries continues to shift to Asia, the zones in Bangladesh and the South Pacific). focus of emissions will move with it.
32 BCI International Symposium Proceedings. Institutional and governance changes are key to “Investments into renewables and energy effi- addressing natural resource management and pollution. ciency technologies ... are the best hedge against the Pollution is, in part, a governance issue, when there are economic risks of rising oil prices and declining reserves,” few private incentives to protect public assets. While says the Chief Executive of the Chinese investment simple point-source pollution problems can be tackled banking specialists, London Asia Capital (The Observer by technological solutions, not all environmental problems 2005). As well as reducing risk, environmental investments can be dismissed by assuming that technical fixes will can produce high rates of return. An extensive global become available. On the one hand, investments are review has revealed some very persuasive figures.5 In needed in Asian science, technology, and innovation Thailand, more than 600 firms participating in an systems to generate effective technology. On the other eco-efficiency investment program achieved an aggregate hand, the underlying causes of many broader-scale 47% rate of return (ADB 2005). In the PRC, one of the environmental problems arise primarily from the world’s largest land management investments, in the political, economic, and social systems that drive existing Loess Plateau, has improved the livelihoods of over 1.2 production and consumption patterns. For example, million farmers: combined with other initiatives, numbers many natural assets—fisheries, minerals, forests, and living under the poverty line have halved from 59% in aquifers—are both finite and of key importance, but they 1993 to 27% in 2001 (Zhen Liu 2004). are effectively “unowned,” unvalued, and/or unmarketed. Valuable natural resources are too easily seized by élites There is scope for increased public investment on and contribute little to the national economy. Institutional environmental management. The PRC Government’s change is thus at least as important as technological environmental investment is set to increase from 1.3% change (WRI 2005). Institutional change, to enable during 2001–2005 (based on its Tenth Five-Year Plan: environmental management for pro-poor growth, has 2001–2005), to 1.5% (based on its Eleventh Five-Year begun but may need scaling up. Progress has often Plan: 2006–2010). In most other countries, though, public been the result of changes in who controls the allocation investment in the environment remains low, at 0.3% of and use of environmental assets, as well as better GDP in Indonesia, Malaysia, Philippines, Thailand, incorporation of environmental norms and incentives in Malaysia, and Viet Nam. The private sector will mainstream institutions (Bass et al. 2005). It is remarkable undersupply environmental services unless market and how many institutional innovations have begun in Asia. regulatory incentives are compelling. Investment by the public sector is often important for leveraging much larger But there is scope for further governance and private investment. For example, the PRC’s State institutional changes to: Environmental Protection Agency has only 300 full time (i) improve poor people’s access and rights to staff members, but without their effective strengthening and enforcement, including means to value environmental natural resources, assets and allocate appropriate funds, the private (ii) develop information, analysis, and political sector will be slow to invest in clean technology (Time capabilities to challenge those sectors that Magazine 2004). affect the environment most, including watchdogs, Private sector environment investment requires (iii) empower poor people and local organizations an enabling context. There is a growing body of to lead action on the ground, and experience on introducing environmental fiscal reform (iv) form institutions and partnerships that link (to reduce overuse of scarce, inefficiently priced development and environment more closely, in debate, planning, accounting, and investment. resources, such as water) and payments for environmental services (to reward those who protect, e.g., biodiversity Investment in environmental management is good for economic growth, good for quality of life, and good 5 for the quality of the global commons. Some 400 cases of pro-poor environmental investment revealed cost:benefit ratios of up to 14:1 for investment in water and sanitation, 4:1 for soil conservation, 5:1 for reef conservation, 7:1 for mangrove conservation, and 7:1 for natural disaster prevention (Pearce 2005).
Managing the Environment for Development. and to Sustain Pro-Poor Growth 33 and watersheds) (Pearce 2005). In essence, environmental causes and effects of climate change. “bads” can be taxed, and environmental “goods” supported, Global carbon trade needs to develop in ways especially where they are pro-poor. Transaction costs that support investment in clean energy can be reduced to help small and medium enterprises (through, e.g., the Clean Development benefit from environmental markets. Micro-credit can Mechanism as well as bilateral arrangements). help, enabling poor households to bear the risks of There are good potentials for partnerships investing in environmental assets. within the region on clean energy, e.g., hydropower from Nepal and Bhutan, which International partnerships can provide important could also form the hub of regional energy support to Asian countries’ management of the environment strategies—but these would have to be for pro-poor growth. Many Asian countries are taking a planned to minimize environmental risks. lead in improving management of environmental assets, There is a strong need for partnerships to as we have described above. Their development partners improve learning, innovation, and investment can also play a key role. Development assistance to in adapting to climate change. The G8 Asia could help mainstream environment within partner Gleneagles Plan of Action highlighted governments’ poverty reduction strategies or equivalent many such areas for partnership, and national and local planning processes, budget support, energy will be the theme of the next G8 sector-wide programs, and projects. Specific initiatives assembly. could be supported that help improve the capacity of (iii) Sustainable forestry and eradicating illegal Asian authorities to manage the environment. Together, logging: illegal logging costs countries Asian countries and development partners can share billions of dollars in lost revenue, and harms technology and knowledge, catalyze environmental poor people. The Asian Forest Law investment, and forge institutional change in a number Enforcement and Governance initiative of priority areas. There are knowledge challenges in all (AFLEG) addresses supply- and demand- the following suggested partnerships. Asian scientists side incentives for illegal logging, and assures and their colleagues from other regions need to play a wood is traded from legal sources alone. This key role in them, particularly to invigorate regional and process serves as a high-profile means to national innovation systems. There are also institutional encourage radical institutional change. It and investment challenges, and it is important for them may be usefully supplemented with efforts to build on existing Asian-led processes: to encourage Asian consumers to discriminate (i) Healthy Asia, healthy environment: Environ- in favor of good environmental practice, and mental health improvements in air and water fair trade, through certification. Sustainable fishing pollution can lead to major reductions in (iv) : Given the importance mortality. Improvements in water quality and of both fish production and fish consump- quantity also lead to significant health tion in Asia, improved management is vital. One innovative approach is fisheries certifi- benefits.6 There are a number of promising public-private part-nerships across the region cation which is now beginning but only to increase access to clean water and air. covers 4% of the world’s catch. Without such approaches, the long-term future of Asia’s fish (ii) Transition to sustainable energy,7 and tackling climate change: A meaningful post- producers is threatened. Asian rivers management Kyoto regime is now within reach to limit the (v) : Transboundary rivers pose a major challenge: they are critical assets for growth in the countries that share them, but without effective cooperation, 6 Asia’s prospects for meeting the sanitation target of the Millennium the environmental services they offer will be Development Goal 7 (Environment) by 2015 are poor—in India alone, undermined. Where means for cooperation for instance, only 30-40% of the urban population is currently linked to sanitation systems. Rural sanitation coverage is especially low. are secured such as in the Indus River Treaty 7 See also the paper on energy produced for the Asia 2015 conference. and Mekong River Commission, they provide
34 BCI International Symposium Proceedings. a powerful vehicle for larger regional World Bank, and David McCauley and Nessim Ahmad cooperation. There is scope to strengthen of the Asian Development Bank. work in these established forums, and to extend such approaches to other basins in References the region. ADB (2005). Asian Environment Outlook. Manila, Asian (vi) Greening Asia’s financial markets and private Development Bank. sector: Asia’s private sector is booming and interest in environmental management is Bass, S., Reid, H., Satterthwaite, D. and Steele, P. (eds) (2005.) growing. This can be stimulated through the Reducing Poverty and Sustaining the Environment, The Politics of Local Engagement. London, Earthscan. commercial and investment banking sectors, export markets and private sector accr Briones, M., Dey, M.M. and Ahmed, M. (2004). The Future of editation. OECD markets are vital for Asian Fish in the Food and Livelihoods of the Poor in Asia. NAGA exports and can provide important incentives Worldfish Centre Quarterly 27.3 and 4: July–December. www.worldfishcentre.org/demandsupply for environmental improvements. (vii) Disaster preparedness and risk reduction: DAC/ENVIRONET Task team and Poverty Environment The deaths of over 70,000 in the South Asian Partnership on Pro-poor Growth and Natural Resources (2005). Sustaining Pro-Poor Growth or Boom and Bust? The Politics earthquake and of over 280,000 in the of Natural Resources. Revised draft, October. tsunami have brought home once again the vulnerability of Asia to disasters. Two things Das Gupta, S., Huq, M., Khaliquzzmam, M., Pandey, K. and stand out: typically, it is the poor who suffer Wheeler, D. (2004). Who Suffers from Indoor Air Pollution? Evidence from Bangladesh. World Bank Policy Research most and, with climate change, the risk of Working paper 3428, October. extreme weather events is increasing. Disaster preparedness requires strengthening the DFID (2004). Climate Change and Poverty: Making existing coping strategies of the poor combined Development Resilient to Climate Change. London, DFID. with good information systems and appropriate DFID, EC, UNDP, World Bank (2002). Linking Poverty technical, financial and physical support. The Reduction and Environmental Management Economic and response to the 2004 Asian Tsunami and Social Commission for Asia and the Pacific (2005) Report 2005 South Asia Earthquake illustrated the of the 5th Ministerial Conference on Environment and Development in Asia and the Pacific, Seoul 28–29 March. strengths of (as well as the challenges of ECOSOC E/ESCAP/MCED/(05)/Rep. managing) multiple national–international partner-ships, including with the UN and the Environics International (2002). International Environmental military. Monitor: Global Public Opinion on Environmental and Resource Issues. Toronto, Environics International. (viii) Pro-poor conservation: Since Asia has already invested over 7% of its land in FAO (2004). Towards a Food-secure Asia and Pacific: Regional protected areas, there is an urgent need to Strategic Framework. Bangkok, FAO Asia Pacific Regional both demonstrate and secure their potential Office. contributions to pro-poor growth. One Far Eastern Economic Review (1990). Kicking up a Stink, South approach is for development partners to Korean Government Suffers from Anti-pollution Backlash. 18 capitalize local environmental conservation October. and nature tourism funds that can trigger Ford Foundation (1998). Forestry for Sustainable Rural larger environmental investments. Development: A Review of Ford Foundation Supported Community Forest Projects in Asia. New York, Ford Foundation.
Jodha, N.S. (1990). Rural Common Property Resources: Acknowledgments Contributions and Crisis. Economic and Political Weekly. 30 June: A65–A78. We acknowledge valuable comments from DFID colleagues, coordinated by Leo Horn and Yvan Biot, John Mayers, J. and Vermeulen, S. (2001). Company-community Forestry Partnerships: From Raw Deal to Mutual Gains? Humphreys of IDS, Jan Bojo and Kirk Hamilton of the London, IIED.
Managing the Environment for Development. and to Sustain Pro-Poor Growth 35 MEA (2005) Millennium Ecosystem Assessment. www.millenniumassessment.org/en/index.aspx 6. Potential Impacts of Climate Change and Regional Air Pollution on Terrestrial OECD (2004). Mainstreaming Climate Responses in Development, Issues Paper. Paris, Environment Directorate, Biodiversity and Landscape Use EPOC. Frank Murray Pearce, D. (2005). Investing in Environmental Wealth for Poverty Reduction. New York, UNDP.
Ramirez, L. (2005) Water Shortages are Potential Threat to Summary China’s Growth, Stability. Voice of America. 18 March. www.voanews.com/english/archive/2005-03/2005-03-18- Human-induced climate change is a serious voa41.cfm environmental and development issue. The Inter- Roy, A.D. and Shah, T. (2002). Socio-ecology of Groundwater governmental Panel on Climate Change (IPCC) states Irrigation in India. IWMI-TATA International Water Management that observed changes in climate have already affected Institute. www.iwmi.org/iwmi-tata ecological, social, and economic systems, and sustain- able development is threatened by climate change. Thailand Environment Monitor (2004). Ministry of Natural Resources and Environment and World Bank. Examples of currently observed changes include: (i) shifts in plant and animal distribution ranges, The Observer (2005). Bank Invests in Clean Air for China. Heather Connon, London, 4 December. (ii) a general reduction on crop yields in many tropical and subtropical regions, Time Magazine (2004). Bad Air Days. December 13: 17–23. (iii) decreased water availability in water- UNEP (2004). An Overview of Our Changing Environment. scarce regions of subtropics, and GEO Year Book 2004/5, Nairobi. (iv) increased exposure to vector-borne and water-borne diseases. UNEP (2002). Global Environmental Outlook 3. Nairobi.
United Nations Secretariat (2002/3). World Population Under some recently published climate change Prospects: The 2002 Revision and World Urbanization scenarios, climate change poses a greater threat of Prospects: The 2003 Revision. Population Division of the species extinction than deforestation or habitat destruction. Department of Economic and Social Affairs. esa.un.org/unup However, there are many opportunities for both mitigation World Bank (2005a). Environment Strategy for the World Bank and adaptation to climate change while enhancing the in the East Asia and Pacific Region. conservation of biodiversity and landscape use.
World Bank (2005b). Little Green Data Book 2005. Washington, The World Bank. Surface ozone is a regional air pollutant growing in concentration. Mean global surface ozone concen- WRI (2005). The Wealth of the Poor, Managing Ecosystems to trations are predicted to increase by about a quarter by Fight Poverty. UNDP, UNEP, World Bank, WRI. 2020 in parts of the Greater Mekong Subregion (GMS). Zhen Liu (2004). China: the Loess Plateau Watershed A number of important crops in the GMS are adversely Rehabilitation Project. Paper for the World Bank, Shanghai affected by ozone at current concentrations. Recent Conference on Poverty Reduction. studies predict East Asia is about to experience reductions in crop production due to increasing ozone with major yield losses for wheat, rice, corn, and soybean. There is much less knowledge about impacts of ozone on biodiversity than on major crops, but ozone is known to have severe impacts on biodiversity. Impacts of other regional air pollutants, including acid deposition and the atmospheric brown cloud could also be important in the GMS within the next decade or two.
36 BCI International Symposium Proceedings. Due to the dependence on agriculture in the 6.2 Climate change region to support local livelihoods, these crop reductions will have major social, economic, and environmental IPCC reports show that human-induced climate consequences. Assessments and adaptation to enable change is a serious environmental and development these changes to be factored into developments issue and in conjunction with other stresses threatens planning are needed. ecological systems, their biodiversity and development, especially for the poor in developing countries, due to 6.1 Background impacts on agriculture, water supplies, and health (IPCC, 2001b; Pachauri, 2004). As the economy of the GMS has grown from about US$250 billion in 1992 to over $400 billion now, so have The Earth is warming, with most of the warming emissions of air pollution and greenhouse gases. of the last 50 years due to human activities. The global Emissions of air pollutants and greenhouse gases are mean surface temperature has increased by about 0.6OC inextricably linked, as they are both associated with use over the last 100 years, and is projected to increase by a of energy for transport, industrialization, urbanization, and further 1.4–5.8OC by 2100 (IPCC, 2001a). More recent economic development (Unger et al. 2006). analyses by IPCC estimate temperature changes at the top of this range. Emissions from the People’s Republic of China (PRC) dominate other emissions in the region. Emissions The patterns of precipitation are changing, and the from the PRC in the year 2000 were estimated to be sea level is rising. The spatial and temporal patterns of
3,820 million tons of CO2, 20.4 million tons of SO2, 11.4 precipitation have already changed and are projected to million tons of NOx, 116 million tons of CO, 38.4 million change even more in the future, with an increasing tons of methane, 17.4 million tons of non-methane incidence of floods and droughts. Sea levels have volatile organic compounds, 1.05 million tons of black already risen by 10–25 cm during the last 100 years and carbon, 3.4 million tons of organic carbon, and 13.6 are projected to rise an extra 8–88 cm by 2100 (IPCC, million tons of ammonia (Streets et al. 2003). Emissions 2001a) and the frequency and intensity of extreme of most of these pollutants are expected to increase as weather events have increased (IPCC, 2002). These the industrialization of the region continues, and energy changes in climate have affected the timing of reproduc- shortages remain. Demand for coal and oil is expected tion in plants, animals and the migration of animals, the to double or triple in the next 30 years in the region (Cofala length of growing seasons, the range, distributions and et al. 2004). population sizes of plant and animal species, and the frequency of pest and disease outbreaks (IPCC, 2002). Just as Europe and North America experienced For example, there is direct evidence of decreased rice significant impacts of these pollutants on agricultural and yields from increased night temperature associated with natural ecosystems during industrialization, so the coun- global warming (Peng et al. 2004). Climate change is tries of the GMS are starting to experience impacts due also changing the frequency and intensity of disturbances to growing industrialization, urbanization, and use of such as wildfires and wind erosion, and increasing transport and energy, associated with economic trans- pressures on resources such as water (IPCC, 2002). formation. Asian sulfur emissions now exceed those of Europe and North America combined. The impacts on Factors causing loss of biodiversity, such as the agricultural and natural ecosystems will grow as removal, modification, and fragmentation of habitats and emissions continue to grow. the spread of non-native species interact with climate change, and in some regions will be intensified by Biodiversity is inextricably linked with climate and climate change. Climate drying is expected to cause the livelihoods of people, especially poor people who are regional die-off of overstory woody plants at a subconti- directly dependent on agriculture and rainfall. This paper nental scale (Breshears et al. 2005). Changing patterns will briefly review linkages between climate change and of climate will change the natural distribution limits of regional air pollution with biodiversity and landscape use. species and communities, leading them to alter distribution,
Potential Impacts of Climate Change and Regional Air Pollution on Terrestrial. Biodiversity and Landscape Use 37 where possible. In most cases, ecosystem fragmenta- Forests are a major global store of carbon, so the tion will impede the movement of these plant and animal replacement of forests with land uses that store less species. For example, national parks and protected carbon, such as agriculture or urban land uses, areas are often surrounded by agricultural and urban land release large amounts of carbon into the atmosphere. uses that impede migration and ecozone shift. Climate Deforestation is occurring largely in the tropics, and at change intensifies the need for biodiversity corridors. It current rates it is estimated to be responsible for the also challenges the assumptions about fencing off annual release of 1.1-1.7 billion tons of carbon, about areas with high levels of biodiversity as the most 20% of human-related carbon emissions. In contrast, effective way to conserve threatened plant and animal effective management of biodiversity can lead to higher species under climatic change. levels of carbon sequestration. Activities such as reafforestation, agroforestry on cleared land, increasing Species with limited climatic ranges or restricted rotation age, and use of buffer zones, can achieve habitat requirements particularly with small populations co-benefits for mitigation of climate change and are the most vulnerable to extinction. In contrast, biodiversity (Reid 2004). species with extensive distributions, long-range dispersion, or large populations are at less risk from extinction due 6.2.1 Some adverse impacts on communities to climate change. A recent study used projections of species distributions for future climate scenarios to Poor people generally depend more on agriculture assess extinction risks for sample regions representing and ecosystems services than wealthy people. In many 20% of the Earth’s terrestrial surface. Using three different less-developed countries, up to 70% of working people approaches, their results were similar. On the basis of in rural areas are directly dependent on agriculture for mid-range climate scenarios for 2050, Thomas et al. their livelihoods (Maxwell, 2001) and they use grazing (2004) predicted that 15-37% of the species in their land and forests to provide income, food, medicines, fuel, sample regions would be committed to extinction. This fodder, construction material, and other uses (Reid 2004). is a loss that would exceed that expected from the A climate-induced general increase in crop failures, destruction of their habitat. flooding, droughts, and cyclones in many tropical and subtropical regions will dramatically affect the most Another recent study modeled the effects on plants vulnerable communities, those with least capacity to if the atmospheric concentration of carbon dioxide adapt. The predictions of the IPCC, based on models doubled from pre-industrial times, which is expected by and other studies (IPCC 2001a), include: the end of the century, in order to project habitat changes (i) a general reduction in crop yields in most and associated extinctions (Malcolm et al. 2006). In tropical and subtropical countries, the worst-case scenario, the doubling of present (ii) decreased water availability in water- carbon dioxide levels and resulting temperatures rises scarce regions of subtropics, could potentially eliminate 56,000 plant and 3,700 (iii) increased exposure to vector-borne (e.g., endemicvertebrate species in the 25 global biodiversity malaria) and water-borne diseases (e.g., hotspot regions. Areas particularly vulnerable to cholera), extinctions are those with species with restricted (iv) a widespread increase in the risk of flooding, migration options due to geographical limitations. The and estimated rates of species extinctions associated with (v) poor coastal communities are most vulnerable. global warming in tropical hotspots in some cases et al. exceeded those due to deforestation. Malcolm Adaptation actions combining benefits for (2006) concluded that under certain scenarios, global biodiversity, climate change, and livelihoods should aim warming could be a more serious threat to biodiversity to build the resilience of communities to climate-related than deforestation. stresses, through improving the soil, erosion prevention, water management, agricultural productivity, and hillside Just as climate change affects biodiversity, so protection (IISD 2003). Afforestation and reforestation changes in land use can affect the global climate. activities can have positive, neutral, or negative impacts
38 BCI International Symposium Proceedings. on biodiversity, depending on the ecosystem being agriculture is needed. It requires modeling of likely replaced, and management actions. The best opportu- impacts of climate change and regional air pollution on nities for positive action are afforestation or reforesta- biodiversity, agriculture and water availability. Coordi- tion on degraded lands with natural regeneration and nated assessments of impacts on important vegetation, native species and with minimal clearing of pre- monitoring, modeling and policy implications need to be existing vegetation. Avoided deforestation can provide conducted by institutions in the region, using agreed, the greatest biodiversity benefits (IPCC 2002). harmonized protocols. High priority should be given to this type of partnership and technology transfer approach 6.2.2 Adaptation with institutions in the region.
Adverse consequences of climate change can be Capacity building of key national institutions is reduced by mitigation and adaptation measures, but required to enable them to participate in modeling and cannot be eliminated. Both mitigation and adaptation national and regional assessments of impacts of climate measures have important roles in responding to climate change and regional air pollution on biodiversity, change. Climate change is already a reality and adap- agriculture, and water availability. This would enable tation to these changes needs to be incorporated into them to respond to issues raised by their national policy- national development planning. Even with best-practice makers and support vulnerable communities. The management it is inevitable that some species will be development of regional and national policy dialogues lost, some ecosystems irreversibly modified, some to communicate and discuss the modeling and assess- environmental goods and services severely damaged, ments and their policy implications is essential. and some vulnerable communities adversely affected (IPCC 2002). 6.3 Regional air pollution
Existing capacities at both national and local Ground-level ozone is easily the most important community levels may be weak, but they are the starting air pollutant for impacts on agricultural production in North point for adaptation actions to protect biodiversity and America and Europe (Emberson et al. 2003) and its communities. The capacity to adapt to climate change concentrations in the GMS region are increasing. Mean is closely related to how communities develop their global surface ozone concentrations are predicted by the technological capability, the level of support provided to IPCC to increase by 23% by 2050 and by 2% per year in them and type of governance. Capacity building activi- parts of the Asian region, due to rapidly growing economies ties should include support for communities to develop emitting growing emissions of the precursors of ground- their own priorities to reduce climate change vulnerabil- level ozone (IPCC 2001a). However, recent assess- ity through ecosystem management and restoration ments demonstrate the likely huge impact of growing activities that sustain and diversify local livelihoods (Reid surface ozone concentrations on agriculture in Asia. 2004). Recent studies show a predicted increase of 23% in ozone concentration from an ambient level of 56 to 69 The key to adaptation to climate change and ppb over two growing seasons, will reduce soybean yield regional air pollution at regional, national, and local levels by 20% (Morgan et al. 2006). This concentration is depends upon an adequate understanding of the likely expected to be reached by 2020 in parts of the GMS impacts of climate change on the countries of the region (Dentener et al. 2005). region, and the effective communication of this informa- tion to empower decision-makers and communities. This Other studies indicate that East Asia is about to is essential to capacity building to enable adaptation of experience substantial reductions in grain production. By vulnerable communities and the formulation of development 2020, increasing ozone concentrations are expected to policies that incorporate adaptation. cause yield losses of 2-16% for wheat, rice, and corn, and 28-35% for soybean. Compliance with ozone A regional assessment of impacts of climate standards would increase annual grain revenues by change and regional air pollution on biodiversity and US$2.6-27 billion in the PRC (Wang and Mauzerall 2004).
Potential Impacts of Climate Change and Regional Air Pollution on Terrestrial. Biodiversity and Landscape Use 39 6.3.1 Ozone and biodiversity 6.4 Lessons learned
There is much less knowledge about impacts of Human-induced climate change is a serious ozone on biodiversity than on major crops. Ozone and environmental and development issue and in other air pollutants have severe impacts on some forest conjunction with other stresses, it threatens social, types and species of biodiversity and economic impor- economic, and ecological systems and biodiversity. tance. For example, high levels of mortality in North- Under some recently published climate change Eastern hardwood forests of the US and Eastern Canada scenarios, climate change poses a greater threat of since the early 1980s have been directly linked to air species extinction than deforestation or habitat destruc- pollution (Percy, 2003) and impacts of ozone on native tion. However, there are many opportunities for both forests in Europe, Japan, the PRC, India, Mexico, mitigation and adaptation to climate change while Australia, and elsewhere have been documented enhancing the conservation of biodiversity and landscape (Emberson et al. 2003). Ozone also affects insect use. infestations and diseases. Recent studies predict East Asia is about to 6.3.2 Atmospheric brown cloud experience substantial reductions in crop production due to increasing surface ozone concentrations. Impacts of Asia has experienced large decreases in sunlight other regional air pollutants, including acid deposition and intensity at ground levels in recent years due to the the atmospheric brown cloud could also be important in atmospheric brown cloud. Emissions of sulfur dioxide the GMS within the next decade or two. Due to dependence and black carbon have increased rapidly reducing solar on agricultural and natural ecosystems in the region to radiation at the surface, evaporation and summer support local livelihoods, these impacts will have major monsoon rainfall (Ramanathan et al. 2005). This is social, economic, and environmental consequences. expected to result in a doubling of drought frequency Assessments, capacity building, communication, and with major impacts on biodiversity, agriculture, and adaptation to enable these changes to be factored into water availability. development planning are needed.
6.3.3 Acid rain 6.5 Conclusions and future steps
Emissions of acid air pollutants are expected Climate change and regional air pollutants are to increase as the industrialization of the region soon to be major drivers of biodiversity and agricultural continues and energy shortages remain. The IPCC losses in the GMS region. A regional assessment of scenario A1B envisages rapid economic growth with a impacts of climate change and regional air pollution on balance between fossil fuel and renewable energy biodiversity and agriculture is needed. It requires sources. Under this scenario by 2030, emissions from modeling of likely impacts of climate change and regional India of sulfur dioxide and nitrogen dioxide are expected air pollution on biodiversity, agriculture, and water avail- to increase by 400% and 500%, respectively, and for the ability. High priority should be given to a partnership, PRC, by 33% and 100%, respectively (Unger et al. 2006). technology transfer approach with key national institutions Demand for coal and oil is expected to double or triple in in the region to enable assessments, capacity building, the next 30 years in the region (Cofala et al. 2004). With and communication, and to facilitate the outcomes the growing emissions of acid gases, the importance of being factored into development planning. acid rain and its impacts on biodiversity will grow. The Chinese EPA estimates that economic losses due to References damage caused by acid rain to forests and farmlands increased five times from 1996 to 2000 and losses were Breshears D.D. et al. (2005). Regional vegetation die-off in estimated to be US$13.25 billion in 2000 (Shah et al. response to global-change-type drought. PNAS. 102: 15144- 2000). 15148.
40 BCI International Symposium Proceedings. Cofala J, Amann M, Gyarfas F, et al. (2004). Cost-effective Reid, H. (2004). Climate change – biodiversity and livelihood control of SO2 emissions in Asia. Journal of Environmental impacts. International Institute for Environment and Management. 72: 149-161. Development, London, UK.
Dentener F, et al. (2005). The impact of air pollutants and Shah J. et al. 2000. Integrated analysis for acid rain in Asia. methane emission controls on tropospheric ozone and radiative Policy implications and results of RAINS-Asia model. Annual forcing: CTM calculations for the period 1990-2030. Review of Energy and Environment. 25: 339-375. Atmospheric Chemistry and Physics. 5: 1731-1755. Streets DG, Bond TC, Carmichael GR et al. (2003). An Emberson L, Ashmore M, and Murray F, (Eds) (2003). Air inventory of gaseous and primary aerosol emissions in Asia in pollution impacts on crops and forests: A global assessment. the year 2000. Journal of Geophysical Research. 108: No.D21, Imperial College Press, London. 8809.
IISD (2003). Livelihoods and climate change: combining Thomas C.D. et al. (2004). Extinction risk from climate change. disaster risk reduction, natural resources management and Nature. 427: 145-148. climate change adaptation to reduce vulnerability and poverty. UEA, (2003). Global climate change and biodiversity. IISD, SEI, Intercooperation. Information Paper 2, December University of East Anglia, Norwich, UK. 2003. Unger N. et al. (2006). Cross influences of ozone and sulfate IPCC (2001a). Climate change 2001: The scientific basis Inter- precursor emissions changes on air quality and climate. PNAS. governmental Panel on Climate Change. UNEP, Nairobi and 103: 4377-4380. WMO, Geneva. Wang X. and Mauzerall D.L. (2004). Characterizing IPCC (2001b). Climate change 2001: Impacts, Adaptation and distributions of surface ozone and its impact on grain Vulnerability. Intergovernmental Panel on Climate Change. production in China, Japan and South Korea: 1990 and 2020. UNEP, Nairobi and WMO, Geneva. Atmospheric Environment. 38: 4383-4402.
IPCC (2002). Climate change and biodiversity. Intergovernmental Panel on Climate Change. Technical Paper V. UNEP, Nairobi and WMO, Geneva.
Malcolm J. et al. (2006). Global Warming and Extinctions of Endemic Species from Biodiversity Hotspots, Conservation Biology. 2: 538-548.
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Potential Impacts of Climate Change and Regional Air Pollution on Terrestrial. Biodiversity and Landscape Use 41 9 million people in the New York City metropolitan area. 7. Upstream, Downstream: How New York City The watershed is 2,000 square miles in size and reaches Saves Millions of Dollars by Paying Upstream over 125 miles and 8 counties. It contains 19 reservoirs Communities to Protect the Natural Water and 3 controlled lakes. The Delaware System provides Filtration Qualities of the Catskill/Delaware 50%, the Catskill System provides 40%, and the Croton Watershed System 10% of the City’s drinking water. Ninety-five Mark Kasman percent of the drinking water is delivered by gravity and only 5% is pumped to maintain pressure. Figure 7.1 shows the relationship between the water supply Summary systems and New York City.
This paper discusses how New York City saves 7.2 Taking action to protect the city’s drinking millions of dollars by compensating upstream communities water to protect the ecosystem services they provide, in this case the natural water filtration qualities of the Catskill/ What the map in Figure 7.1 does not illustrate, Delaware Watershed. It will show how the State of New however, is the deep-seated anger, resentment, and York, City of New York, and upstream communities grievances left in the City’s wake as it aggressively developed a model consensus approach to resource acquired water in these regions. For much of the 20th management. Together they developed a plan for Land Century, many upstate communities felt exploited by both Acquisition, Stream Management, Sustainable Agricul- tural Development, Stream Restoration, Infrastructure Development and Maintenance, and Tourism and Figure 7.1: New York City’s water supply system Recreation Opportunities to protect the watershed. This approach balances the need of upstate communities for economic development and self-determination, with the City’s need to provide clean drinking water to its citizens.
7.1 Background
It is helpful to understand the context of New York City’s drinking water supply. The City’s first drinking water source was a well dug at Bowling Green in lower Manhattan. It quickly became contaminated and inadequate as New York City grew. Consequently, the City began a north and westward search for clean drinking water. In the early 1800s, it became clear that the fast-growing City needed a new source, far from the City. Croton River in Westchester County was impounded and the Croton aqueduct became operational in 1842. However, by the end of the 19th century, the Croton system was at full capacity.
The City reached across Hudson River to the Catskills in the early 20th Century. The Catskill system was completed in the late 1920s and the Delaware system completed in 1967. Today, New York City has one of the largest unfiltered surface water supplies in the world. About 1.3 billions gallons a day is delivered to
42 BCI International Symposium Proceedings. the City and the State in the quest for more water. Some- new rules and regulations, land acquisition—explicit goal times, towns were submerged. About 5,800 people were of 80,000 acres—and the upgrading of wastewater displaced. Recreation areas were lost. It is this infrastructure. collective anger and fear that the City would have to deal with when years later they came back to the Catskills in 7.3 Rethinking the program an effort to protect the system with additional watershed regulations and a program to buy more land. This is when history caught up with the City. The anger, mistrust, and resentment toward the City that had However uncomfortable the task might be for city been building up through the decades, was released in officials, new Federal regulations forced the city to take a torrent of lawsuits. Upstate communities did not want action to protect New York City’s drinking water. The additional regulations telling them what they could or mandate of the US Environmental Protection Agency couldn’t do on their land. They didn’t want the City (EPA), through the Safe Drinking Water Act (SDWA), buying their land and limiting their opportunity for growth. specifically, the Surface Water Treatment Rule (SWTR), They feared that, if pushed, the City would again resort requires that all drinking water taken from surface role to eminent domain, or the seizure of private land for the be filtered to remove microbial contaminants. However, public good. They also feared that the cost of these the SWTR does allow EPA to grant relief from the expensive new infrastructure programs would filtration requirement if the water supplier (e.g., New York ultimately be borne by the people living in the Catskills. City) can show that it meets a strict set of criteria. The It became apparent to EPA that the program was not “watershed control” criterion requires that the water progressing as planned—it was dead in the water. supplier control “...all human activities in the watershed that may have an adverse impact on the microbiological By early 1995, EPA was prepared to require the quality of the source water.” That is a very high bar. City to filter its Catskill/Delaware system, a requirement that would have cost the City at least $6 billion. To avoid Relief from filtration or “Filtration Avoidance” is the this expense, the Governor of New York brought the exception to the rule. Nationwide, excluding the New parties together in an attempt to broker an agreement. York City system, only 6 out of 235 large systems (those The negotiating parties included New York City, New York serving over 100,000 people) are able to avoid filtration. State, EPA, the upstate watershed communities, and a Most of those systems draw from watersheds in pristine number of environmental groups. The parties partici- areas that are entirely owned by either the federal or pated in over 150 negotiating sessions over an 18-month state government or the water purveyor. EPA first period. Ultimately, EPA had to be satisfied with the provided New York City relief from the requirement to outcome if it was to continue to provide New York City filter its Catskill/Delaware system in January 1993. The relief from the filtration requirement. basis for EPA’s decision included: (i) the high quality of the source water, 7.4 New York City watershed MOA signed (ii) the mostly rural and low density population in the Catskill Mountain area, It is worth emphasizing how stakeholder (iii) the substantial distance between the source empowerment and collaboration framed the entire water and the City, and watershed protection program. They were key (iv) the stringent source water protection elements that were built into the watershed memoran- program that the City presented to EPA in dum of agreement (MOA), and it would have never been 1992 as part of its application to avoid signed without them. It was very important for the upstate filtration. communities that they were not only part of the decision-making process in how programs were However, EPA provided the City a Filtration implemented, but that they were also a collaborative Avoidance Determination (FAD) for the Catskill/Delaware participant in doing the on-the-ground work. system in 1993 that was conditioned on the City’s implementation of a number of new initiatives including:
Upstream, Downstream: How New York City Saves Millions of Dollars by Paying Upstream Communities to Protect the Natural Water Filtration Qualities. of the Catskill/Delaware Watershed 43 The outcome of this process was the 1997 New 7.5 Two critical components of the MOA: land York City Watershed MOA. The MOA is a balancing act: acquisition and agricultural programs On one side it addresses the upstate towns’ needs for economic sustainability and self-determination. On the Land ownership is the best means of protecting other, it addresses New York City’s needs to protect its water quality. In 1997, the city owned about 7% water supply and to meet EPA’s requirements for filtration (approximately 8,000 acres) of watershed land. Under avoidance. After the MOA was signed, EPA issued the the MOA, the Land Acquisition Program requires the City City a 5-year conditional filtration avoidance determination. to solicit 355,050 acres of vacant land for purchase from This relieved the City of the requirement to build a $6 willing sellers. Purchases were prioritized by their billion-plus filtration plant. To comply with EPA’s FAD, proximity to reservoirs and distribution systems. The which was reissued in 2002, the City is spending Land Acquisition Program represents a $300-million approximately $1.2 billion in watershed protection/ commitment by New York City over 15 years. remediation investments. Figure 7.2 illustrates some of the progress made Elements of these investments include: with land acquisition since 1997. While this chart only goes through June 2004, as of December 30, 2005, close (i) Objective criteria compliance to 70,000 acres (69,745) had been protected or acquired (ii) Land acquisition under contract at a cost of $167.7 million. This total (iii) Agricultural program includes: (i) lands purchased by the City, (ii) lands (iv) Infrastructure protected through conservation easements by the City, a. Septic systems and (iii) lands protected through farm easements by the b. Wastewater treatment plant upgrade Watershed Agricultural Council. Recently, business program tycoon Donald Trump donated 436 acres to develop a c. Stormwater controls state park. This land is heavily wooded and includes (v) Waterfowl management some significant wetlands. When he bought this land in (vi) Forestry program the early 1990s for about $2 million, he had planned to (vii) Wetlands protection develop it into homes and a golf course. One hundred (viii) Monitoring/modeling/geographic information fifty four acres of this land was designated Priority A for system acquisition by the City because of its significance to the (ix) Watershed rules and regulations City’s watershed. Trump’s donation allows the City to (x) Inspection program redirect some of its resources toward other priority land. (xi) Disease surveillance Predictably, the state park will be named the Donald J. (xii) Cross connection controls Trump State Park. To date, the City has protected about (xiii) Education and outreach 10% of the watershed lands, with about 20% protected (xiv) Stream management by other governments (mostly State) and land trusts. (xv) Total maximum daily loads
Another component of the FAD is the Agricultural The elements under the MOA are living programs. Program. The objective of the Agricultural Program is to They are regularly monitored and modified as appropriate. improve water quality through source control, transport A regular dialogue with the community and concerned reduction across the farm, and prevention of contami- organizations helps keep the program on track and aimed nant deposition in watercourses. There are over 300 dairy at achieving its objectives. To renew its FAD, the City farms located in the watershed. The waste from these must demonstrate its progress in meeting the terms and farms is a potential source of pathogens and nutrients to spirit of the agreement. Progress has been made in most source water. The Watershed Agricultural Council, Soil components, but this paper will focus on the Land and Water Conservation Districts, and individual Acquisition and Agricultural Programs. farmers work together to develop Whole Farm Plans which are like individual Best Manufacturing Practices (BMPs) for the farms.
44 BCI International Symposium Proceedings. Contentious players can agree to a mutually beneficial Figure 7.2: Land acquisition status – March 1997-June 2004 agreement. While differences of opinion or approach are bound to occur, it is important to have a structure in place to deal with these issues. It is necessary to ensure continued compliance to protect the ecosystem services provided.
With a regulatory framework in place, money can be saved by investing in the natural ecosystem services upon which development depends.
References
Acers Acquired “New York City’s Catskill/Delaware Drinking Water Supply: Filtration Avoidance Determination Status Update-May 2005,” provided by New York City Watershed Protection Team, U.S. Nearly all of the farms have signed up for the Environmental Protection Agency. Agricultural Program with over 90% of the farms having “New York City Watershed Partnership,” provided by New York commenced their whole farm plans. Substantial City Watershed Protection Team, U.S. Environmental implementation of these plans has been completed at Protection Agency. about 60% of these farms. A recent program has started “Watershed Agreement Overview,” provided by New York City to serve small farms. Another component helps take Department of Environmental Protection. cropland/pastureland out of production. Three hundred seventy six stream miles have been protected by riparian buffers under this effort.
Each of the components of the MOA helped to protect the watershed. Household septic systems were repaired and upgraded to prevent human waste from contaminating the watershed. Comprehensive forest management planning and logger training helped sustain the forest resources and prevent erosion. Regular monitoring helped to measure progress and infrastructure was improved.
7.6 Lessons learned
Many lessons have been learned through the experience New York has had balancing upstream resources and downstream needs. It is critical for the parties to recognize that ecosystem services have a real economic value. Without this basic acknowledgment, it is difficult to motivate the parties to come to an agreement. Regular monitoring, incentives, and potential penalties help keep the parties actively engaged in meeting the objectives of the program. As time passes, it is important to regularly monitor and advance the programs of the MOA to maintain private and public investment.
Upstream, Downstream: How New York City Saves Millions of Dollars by Paying Upstream Communities to Protect the Natural Water Filtration Qualities. of the Catskill/Delaware Watershed 45 46 BCI International Symposium Proceedings. PANEL 1: Ecosystems Connectivity and Biodiversity
. 47 48 BCI International Symposium Proceedings. richness of plant and animal species. The fauna and 8. Current Status of Biodiversity in the GMS flora of northern and montane parts of the GMS have Countries, with a Particular Focus on the strong Sino-Himalayan influences, while peninsular Pilot Sites of the Biodiversity Conservation Thailand and southern Myanmar have strong Sundaic Corridors Initiative influences. In addition, the biota of the GMS has a Andrew (Jack) Tordoff significant endemic element, with endemic species being concentrated on montane isolates, in limestone karst formations and in lowland wet evergreen forests. Summary
The GMS is one of the most densely populated This paper begins with an overview of the current regions on the planet. Human populations have been status of biodiversity in each of the six Greater Mekong concentrated, since historical times, in the floodplains Subregion (GMS) countries, which outlines the key and deltas of the region’s major rivers: the Irrawaddy biological attributes of each country and highlights key (Ayeyarwady); Salween (Thanlwin; Nu Jiang); Chao trends in the status of species, habitats, and ecosystems. Phraya; Mekong (Lancang Jiang); Red; and Pearl (Zhu This overview is then followed by a discussion of the Jiang). In these regions, natural habitats have been options for monitoring the impacts of investments in the extensively cleared, to make way for agriculture, human conservation and sustainable management of each of habitation and, increasingly, industry. Human populations the seven pilot sites of the Biodiversity Conservation are not evenly distributed across the GMS, however, and Corridors Initiative (BCI). Specifically, potential biodiversity significant areas of natural habitat can still be found in indicators are proposed for each pilot site, and the avail- more sparsely populated areas, particularly in mountainous ability of baseline data is summarized. areas or other areas marginal for agriculture. In some areas, such as Guangxi and northern Viet Nam, remaining 8.1 Current status of biodiversity in the GMS natural habitats have been heavily fragmented and typically persist as isolated patches. In other areas, such The GMS comprises the Kingdom of Cambodia, as in the Tenasserim mountains along the border Lao People’s Democratic Republic (Lao PDR), the between Myanmar and Thailand and on the plains of Union of Myanmar, the Kingdom of Thailand, Viet Nam, northern and eastern Cambodia, large, continuous land- and Yunnan Province and Guangxi Zhuang Autonomous scapes of natural habitat remain. Such landscapes have Region of the People’s Republic of China (PRC). Con- the greatest potential to maintain, over the long term, full sistent with the focus of the GMS BCI, this paper biotic communities, including populations of megafauna reviews the status of terrestrial, freshwater, and coastal species, such as Tiger Panthera tigris, Asian Elephant biodiversity in the region. Marine biodiversity is not Elephas maximus, and Gaur Bos gaurus. covered, although this is in no way a reflection of its relative importance. Due to loss and degradation of natural habitats, arising from population expansion, economic growth and The GMS is a region of extremely high significance increasing consumption, many species in the GMS are for the conservation of biodiversity. The GMS lies threatened with global extinction. These threats are almost wholly within the Indo-Burma Hotspot, although compounded by exploitation of plant and animal species, northern parts of Yunnan province are included within driven in many cases by demand from the rapacious the Mountains of South-western China Hotspot, the wildlife trade. The 2004 IUCN Red List of Threatened extreme north of Myanmar lies within the Himalayas Species (IUCN 2004) lists over 100 non-marine globally Hotspot, and the extreme south of peninsular Thailand threatened species in each GMS country, a significant lies within the Sundaland Hotspot (Mittermeier et al 2004). proportion of which are Critically Endangered, the highest category of threat (Table 8.1). The geological and evolutionary history of the GMS is complex, and the wide variation in topography and For GMS countries, comprehensive global threat climate within the region has allowed the development assessments are typically only available for mammals, of a wide diversity of natural habitats, supporting a high
Current Status of Biodiversity in the GMS Countries, with a Particular Focus on the Pilot Sites of the Biodiversity. Conservation Corridors Initiative 49 Other highland areas include the Annamite mountains, Table 8.1: Non-marine globally threatened species in the GMS the western extremes of which extend into the northeast and southeast of the country. The lowlands of Cambodia are bisected by the Mekong River, which runs north-south Country CR EN VU Total through the country. The other major aquatic system in Cambodia 23 37 49 109 the country is Tonle Sap Lake, the largest freshwater Lao PDR 17 28 56 101 lake in the GMS. Tonle Sap Lake is connected to the Myanmar 27 41 81 149 Mekong by the Tonle Sap River. During the wet season, PRC* 113 271 379 763 the rising water level in the Mekong causes the Tonle Thailand 49 55 111 215 Sap River to change direction and fill, rather than drain, Viet Nam 47 82 157 286 Tonle Sap Lake. This process accounts for the annual expansion of the lake across a vast inundation zone. *Figures are for whole country birds, amphibians, and some groups of reptiles. For some The inundation zone of Tonle Sap Lake contains countries, most notably Myanmar, national species some of the most unique ecosystems in the GMS, inventory data are incomplete for most, if not all, major including seasonally inundated swamp forest and complex taxonomic groups. As a result, all GMS countries can mosaics of seasonally inundated grassland, scrub, and be expected to support more globally threatened deepwater rice. The swamp forest around the lake species than are currently listed by IUCN (2004). supports the GMS’s largest remaining breeding colonies of large waterbirds, such as Spot-billed Pelican Recent decades, in particular the last 15 years, Pelecanus philippensis, Greater Adjutant Leptoptilos have witnessed increasing efforts by GMS governments, dubius and Oriental Darter Anhinga melanogaster. The with support from donor agencies and nongovernmental inundation zone of the lake supports a unique bird organizations (NGOs), to halt the loss of natural habitats community for the GMS, including the world’s largest and the decline of plant and animal populations. These population of Bengal Florican Houbaropsis bengalensis. efforts have included establishment and expansion of The lake itself is of high importance for freshwater protected area systems, initiatives to control trade in wild- biodiversity, and supports one of the most productive life, and development of mechanisms to integrate freshwater fisheries in the region. environmental considerations into the policies, plans, and programs of economic sectors. In the context of these Other important aquatic ecosystems in Cambodia efforts, there have been very few recorded plant and comprise the Mekong River and its major tributaries: the animal extinctions in the GMS to date. Nonetheless, Sekong, Sesan, and Srepok. These lowland rivers are many species are reduced to one or a few sites, with wide, slow-flowing, and braided in places by large populations numbering in the hundreds or less, and can sandbars or punctuated by rocks. These riverine eco- be considered to be on the verge of extinction. Effective systems support rich freshwater communities, including measures are urgently required if the GMS is to avoid a several globally threatened species, most notably Giant wave of species extinctions and an accompanying Catfish Pangasianodon gigas, the largest freshwater fish decline in the ecosystems whose products and services in the world. Many fish species characteristic of these underpin sustainable economic development in the region. rivers are migratory, and require the maintenance of intact, large-scale aquatic systems. Planned infrastruc- 8.1.1 Cambodia ture developments, particularly dam construction, threaten to disrupt their migration patterns. Cambodia’s Habitats and ecosystems lowland riverine ecosystems are also important for The topography of Cambodia is predominantly communities of riverine mammal, bird, and turtle species, lowland. The most significant area of highlands in the including otters, fish eagles and sandbar-nesting birds. country is the Cardamom and Elephant Mountains in the These communities have disappeared from large parts southwest, which reach 1,756m above sea level (asl) at of the GMS, as a result of over-exploitation, disturbance the summit of Phnom Aural, Cambodia’s highest mountain. and clearance of riverine habitat.
50 BCI International Symposium Proceedings. The hills and mountains of Cambodia support the country, the Cardamom Mountains (Davis et al 1995), evergreen forest ecosystems, with plant and animal while BirdLife International has defined two Endemic Bird communities very distinct from those of the adjoining Area (EBAs) that include parts of the country: the Southern plains. Because of the relative inaccessibility of these Vietnamese Lowlands; and the Thailand-Cambodia areas, they still support extensive landscapes of Mountains (Eames et al 2002, BirdLife International 2004). continuous forest, particular in the south-west and north- east of the country. However, in upland areas suitable The most important center of plant and animal for cash crop cultivation, forest is being converted to endemism in Cambodia is the Cardamom and Elephant coffee and other crops, while logging is contributing to Mountains. Although these mountains are still being forest degradation and loss in a number of places. explored scientifically, studies to date have revealed significant numbers of endemic and near-endemic species, The plains of northern and eastern Cambodia are such as Chestnut-headed Partridge Arborophila characterized by dry forest ecosystems, which comprise cambodiana, Cambodian Laughingthrush Garrulax habitat mosaics dominated by deciduous dipterocarp ferrarius, and Cardamom Banded Gecko Cyrtodactylus forest, interspersed with patches of semi-evergreen intermedius (Daltry and Momberg 2000). forest, grassland and wetlands, many of which are subject to seasonal monsoon inundation. As recently as Globally threatened species the 1950s, these ecosystems supported large herds of According to IUCN (2004), Cambodia supports ungulates, including Gaur, Banteng Bos javanicus, 109 non-marine globally threatened species, of which Kouprey B. sauveli, Wild Water Buffalo Bubalus bubalis, 23 are Critically Endangered, 37 are Endangered, and and Eld’s Deer Cervus eldii. So impressive was the wild- 49 are Vulnerable. Although none of these species are life spectacle of these dry forest ecosystems that they endemic to Cambodia, the country is of high global were considered to be one of the “great gamelands of significance for the conservation of many of them. For the world” (Wharton 1957). Unfortunately, following three example, Cambodia supports the majority of the global decades of civil war, the wildlife populations of the dry populations of Giant Ibis Thaumatibis gigantea and forests have been decimated, and one of the flagship White-shouldered Ibis Pseudibis davisoni, two Critically species, Kouprey, may have gone globally extinct. Endangered bird species, as well as the largest-known remaining population of Siamese Crocodile Crocodylus The dry forest ecosystems of Cambodia’s northern siamensis, another Critically Endangered species. and eastern plains and adjacent parts of Lao PDR, Thai- Cambodia is also notable for the conservation of land, and Viet Nam are recognized (under the name globally threatened primate species, supporting the largest “Indochina Dry Forests”) as one of the Global 200 and most significant populations of Yellow-cheeked Ecoregions: the earth’s most biologically outstanding Crested Gibbon Nomascus gabriellae (Vulnerable), terrestrial, freshwater, and marine habitats (WWF 2005). Pileated Gibbon Hylobates pileatus (Vulnerable), and Other Global 200 Ecoregions in Cambodia comprise the Black-shanked Douc Pygathrix nigripes (Endangered) in Annamite Range Moist Forests, the Cardamom Mountains the world. Moist Forests, and the Mekong River. Key sites for conservation Species diversity and endemism An analysis by BirdLife International, Wildlife Compared with the other countries in the GMS, Conservation Society, and the Government of Cambodia Cambodia is not especially rich in species. Considering identified 40 Important Bird Areas (IBAs), internationally the best-studied group, birds, over 530 species have important sites for the conservation of birds and been recorded in Cambodia to date (Seng Kim Hout et biodiversity, in Cambodia (Seng Kim Hout et al 2003). al 2003), the lowest number for any GMS country This network of key sites for conservation covers 4.4 (Smythies 1986, Duckworth et al 1999, Robson 2000, million ha, equivalent to 24% of the total land area of Round 2000, MacKinnon and Phillips 2000). Moreover, Cambodia. In 2003, approximately 65% of Cambodia’s Cambodia only supports moderate levels of endemism. IBA network was under some form of legal protection, IUCN has identified a single Center of Plant Diversity in although only 55% was under the strictest forms of legal
Current Status of Biodiversity in the GMS Countries, with a Particular Focus on the Pilot Sites of the Biodiversity. Conservation Corridors Initiative 51 protection (national park and wildlife sanctuary). Of the Northern Highlands, which are characterized by rugged different ecosystems in Cambodia, IBAs supporting and steep topography. The highest peak in the Northern examples of offshore island, lowland riverine, and Highlands is Phou Bia, at 2,820m asl, although elevations seasonally inundated grasslands were significantly are typically in the range from 500 to 2,000m asl. In the under-represented within areas under the strictest form center and south of the country, the key topographical of legal protection (Seng Kim Hout et al 2003). feature is the Annamite mountains, which run along the international border with Viet Nam, and reach a maximum Conservation corridors elevation of 2,711m asl. To the west of the Annamite A recent conservation-priority-setting exercise mountains lies the Mekong plain, which is characterized supported by the Critical Ecosystem Partnership Fund by plains and low hills. The major river in Lao PDR is (CEPF) defined a set of “conservation corridors” across the Mekong, which runs from north to south, and drains most of the GMS, excluding northern and central almost all of the country apart from the extreme north- parts of Yunnan and Guangxi (Tordoff et al in prep.). east. Conservation corridors comprise interconnected land- scapes of core areas, linked by actual or potential habi- Although forest cover in Lao PDR has declined tat corridors that are potentially of sufficient size to greatly over the past century, the country still retains maintain intact biotic assemblages and natural processes extensive areas of forest, particularly in the center and over the long-term. Nine conservation corridors were south (Duckworth et al 1999). In the Northern Highlands, defined in Cambodia (Tordoff et al in prep.), based on natural habitats were dominated originally by dry ever- the results of an earlier ecoregion-based conservation green forest, with substantial areas of deciduous forest assessment conducted by WWF (Baltzer et al 2001). also present. Much of the original forest cover has, however, been lost as a result of shifting cultivation and The conservation corridors defined by CEPF- associated fire, and replaced by Imperata grassland, supported exercise were used by the BCI as the basis bamboo, and other secondary vegetation (Duckworth et for defining “Biodiversity Conservation Landscapes,” the al 1999). Dry evergreen forest is also the dominant establishment of which would help maintain the quality natural habitat type in the Annamite mountains, although of ecosystems, ensure sustainable use of shared wet evergreen forest is found in areas where the main natural resources, and improve the livelihoods of people mountain ridge is sufficiently low for them to be influenced in the GMS. Cambodia includes all or part of five by the northeastern monsoon. In the northern section of Biodiversity Conservation Landscapes: the Cardamom the Annamite chain, in Khammouan province, extensive and Elephant Mountains (which comprises the areas of limestone karst, supporting specialized vegetation Cardamom and Elephant Mountains conservation formations, can be found. In addition, upper montane corridor); the Tonle Sap Lake and Inundation Zone (which evergreen forest can be found at higher elevations in comprises the Tonle Sap Inundation Zone corridor); the both the Northern Highlands and Annamite mountains. Northern Plains Dry Forests (which comprises the Although large areas of the Annamite mountains have Northern Plains Dry Forests Conservation Corridor); the been affected by shifting cultivation, forest loss has not Eastern Plains Dry Forests (which comprises the Eastern been as extensive as in the Northern Highlands. Never- Plains Dry Forests and Southern Annamites Western theless, many forest areas have been degraded by Slopes corridors); and the Tri-border Forests (which logging (Duckworth et al 1999). comprises the Cambodia-Lao PDR-Viet Nam Tri-border Forests and Sekong Plains corridors, together with the The original vegetation of the Mekong plain was Xe Khampho-Xe Pian corridor in Lao PDR). dominated by semi-evergreen forest, with extensive areas of deciduous dipterocarp forest and mixed deciduous 8.1.2 Lao PDR forest. Although the semi-evergreen forest has been the focus of logging activities, large areas remain relatively Habitats and ecosystems intact, particularly on steep slopes. The major focus of Lao PDR is predominantly a hilly and mountainous human activities has been low lying areas in the floodplain country. The north of the country is dominated by the of the Mekong River, and the original forest cover of these
52 BCI International Symposium Proceedings. areas has been largely converted to permanent agriculture. considered reasonably likely to occur (Duckworth et al Lao PDR still supports significant examples of dry forest 1999). Lao PDR also supports at least 160 reptile and ecosystems dominated by deciduous dipterocarp forest, amphibian species (Duckworth et al 1999), although particularly in Champasak and Attapu provinces. However, herpetological species inventory data for the country are these are typically subjected to higher levels of human not exhaustive. In particular, the north of the country disturbance and support lower densities of megafauna and areas over 1,000m asl have been under-represented than similar ecosystems in Cambodia. by herpetological surveys to date (Duckworth et al 1999).
Aquatic ecosystems in Lao PDR range from fast- The main center of endemism in Lao PDR is the flowing mountain streams to wide, slow-flowing lowland Annamite mountains. These mountains, which also lie rivers, such as the Mekong and Sekong. Aquatic eco- within Viet Nam and, marginally, Cambodia, support systems make an important contribution to the livelihoods remarkable levels of endemism in plants and animals, of a significant proportion of the rural population, and including a significant proportion of the species endemic support a number of globally threatened species. to the GMS. These levels of endemism have been Almost all aquatic ecosystems in Lao PDR are subject attributed to the mountains’ geological and evolutionary to fishing and other forms of human disturbance, usually history. Specifically, fluctuations in the relative extent of at high levels (Duckworth et al 1999). Specific threats to evergreen forest during Pleistocene glacial episodes are these ecosystems include unsustainable fishing practices thought to have enabled evergreen-forest-specialist and changes to river flow patterns due to widening of species to evolve in isolation (Baltzer et al 2001). Species navigation channels or construction of hydropower dams. endemic to the Annamite mountains include Saola Pseudoryx nghetinhensis, Red-shanked Douc Pygathrix Four Global 200 Ecoregions defined by WWF nemaeus, Annamite Striped Rabbit Nesolagus timminsi, (2005) lie wholly or partly within Lao PDR: the Northern and Crested Argus Rheinardia ocellata. Within Lao PDR, Indochina Subtropical Moist Forests; the Annamite Range several of these species are associated with wet ever- Moist Forests; the Indochina Dry Forests; and the green forest, located in areas influenced by the north- Mekong River. eastern monsoon.
Species diversity and endemism Lao PDR includes parts of three EBAs defined by As with all countries in the GMS, species inventory BirdLife International: the Annamese Lowlands, the Kon data for Lao PDR are far from comprehensive, even for Tum Plateau, and the Eastern Himalayas (Ounekham the better-studied groups, such as large mammals, birds, and Inthapatha 2003). The former two lie within the and reptiles. New species continue to be added to lists Annamite mountains. In addition, IUCN has identified a for the country (e.g., Duckworth et al 2002), and recent single Center of Plant Diversity in Lao PDR, the Bolaven years have seen a number of discoveries of new species Plateau, which is located in the south of the country to science. Most notable among the recent discoveries (Davis et al 1995). has been that of Laotian Rock Rat Laonastes aenigmamus (Jenkins et al 2005) from limestone karst areas in the Globally threatened species center of the country, which represents not only a new According to IUCN (2004), Lao PDR supports 101 species and genus but also a new family of mammals. globally threatened species, comprising 17 Critically Other notable discoveries over the last decade include a Endangered, 28 Endangered and 56 Vulnerable species. large number of new fish species from the Mekong Although no globally threatened species is endemic to basin (e.g., Kottelat 1998, 2000; Vidthayanon and the country, Lao PDR supports an endemic species of Jaruthanin 2002). primate, Lao Leaf Monkey Trachypithecus laotum, which is currently assessed as Data Deficient. Lao PDR is of Lao PDR has a rich and diverse avifauna, reflecting very high global significance for the conservation of the wide range of habitats in the country. Approximately several globally threatened species, particularly ones 700 species of bird are known or provisionally recorded endemic to the Annamite mountains, such as Saola and from Lao PDR, and a further 100 or so species are Red-shanked Douc (both Endangered). Moreover, within
Current Status of Biodiversity in the GMS Countries, with a Particular Focus on the Pilot Sites of the Biodiversity. Conservation Corridors Initiative 53 the GMS, Lao PDR supports some of the most impor- plains, and several major rivers. Much of Myanmar is tant regional populations of a number of large mammal drained by the Irrawaddy (Ayeyarwady) River and its species, including Tiger and Asian Elephant (both tributary the Chindwin, although the country also encom- Endangered). passes stretches of the Salween (Thanlwin) and Mekong Rivers. Key sites for conservation An analysis by BirdLife International, Wildlife Due to its great topographical and climatic varia- Conservation Society, and the Government of Lao PDR tion, Myanmar supports a correspondingly wide range identified a total of 27 IBAs in Lao PDR (Ounekham and of natural ecosystems. Forest types range from lowland Inthapatha 2003). These sites cover a total area of 2.4 wet evergreen forest in the south of the country to million ha, equivalent to 10% of the total land area of the sub-alpine forest at high elevations in the far north; in country. During a recent conservation-priority-setting between, montane evergreen forest, mixed deciduous exercise supported by CEPF, the results of this analysis forest, deciduous dipterocarp forest, thorn forest, and were expanded, by including data on other taxonomic freshwater swamp forest can be found. Natural forest groups, to define a provisional list of 38 “Key Biodiversity covers around 66% of the country’s land area (Leimgruber Areas” (KBAs): sites of international importance for et al 2004), making it one of the most forested countries conservation (Tordoff et al in prep.). Of the 38 KBAs in in the GMS. Myanmar is particularly notable for supporting Lao PDR, only 22 (58% of the total) are included, partly extensive, little disturbed areas of lowland wet evergreen or fully, within gazetted protected areas (Tordoff et al in forest, a forest type that has been extensively degraded prep.). and cleared elsewhere in Southeast Asia, through commercial logging and conversion to cash crops (Tordoff Conservation corridors et al 2005). The priority-setting exercise supported by CEPF also defined 11 conservation corridors in Lao PDR In addition to forest habitats, Myanmar also supports (Tordoff et al in prep.), based on the results of an earlier a wide diversity of freshwater ecosystems, ranging from ecoregion-based conservation assessment conducted by fast-flowing mountain streams to wide, slow-flowing low- WWF (Baltzer et al 2001). These conservation corridors land rivers, as well as large lakes and other non-flowing were used by the BCI as the basis for defining Biodiversity wetlands (Tordoff et al 2005). Important habitats Conservation Landscapes, four of which lie partly within associated with lowland rivers include ox-bow lakes and Lao PDR: the Northern Annamites (which comprises the alluvial grasslands, which have been extensively lost Northern Annamites, Central Indochina Limestone, and throughout the rest of the GMS (Tordoff et al 2005). As Quang Binh-Quang Tri-Xe Bangfai conservation corridors); elsewhere in the GMS, Myanmar’s freshwater ecosystems the Central Annamites (which comprises the Central are frequently subjected to high levels of human use, Annamites corridor); the Northern Plains Dry Forests often with negative implications for biodiversity (Tordoff (which comprises the Northern Plains Dry Forests et al 2005). conservation corridor); and the Tri-border Forests (which comprises the Cambodia-Lao PDR-Viet Nam Tri-border Although the coastal ecosystems in Myanmar are Forests and Xe Khampho-Xe Pian corridors, together among the most extensive and least disturbed in the with the Sekong Plains corridor in Cambodia). GMS, they have not escaped the threats that have led to the extensive degradation and loss of these ecosystems 8.1.3 Myanmar elsewhere in the region, such as aquacultural expansion and fuelwood collection (Tordoff et al 2005). Mangrove Habitats and ecosystems ecosystems are experiencing some of the highest rates Myanmar is one of the largest countries in the GMS of loss in the country: over 20% of the forest cover of the and exhibits an extraordinary diversity of topography and Ayeyarwady Delta was lost between 1990 and 2000, for climate. Elevations range from sea level to 5,881m asl example (Leimgruber et al 2004). at the summit of Mount Hkakaborazi in the far north. In between are several mountain ranges, extensive lowland
54 BCI International Symposium Proceedings. The global significance of Myanmar’s natural putaoensis, believed to be the smallest deer in the world, habitats and ecosystems has been recognized by a was discovered in the north of the country (Amato et al number of conservation priority setting exercises. The 1999). Recent surveys of other groups have resulted in country includes all or part of nine Global 200 Ecoregions the description of 14 new species of reptiles and defined by WWF (2005): the Eastern Himalayan Alpine amphibians (e.g., Slowinski and Wuster 2000, Vindum Meadows; the Eastern Himalayan Broadleaf and Coni- et al 2003) and 27 new species of freshwater fish (e.g., fer Forests; the Naga-Manupuri-Chin Hills Moist Forests; Kullander and Britz 2002, Kottelat 2004). the Kayah-Kayin/Tenasserim Moist Forests; the Northern Indochina Subtropical Moist Forests; the Mekong River; One of the main centers of endemism in Myanmar the Salween River; Inle Lake; and the Andaman Sea. is the Central Dry Zone, an area of plains, which experi- ences a very dry, seasonal climate, as a result of being Species diversity and endemism sheltered from the southwest and northeast monsoons Available data indicate that Myanmar supports by surrounding mountain ranges. Other centers of extraordinarily high plant and vertebrate diversity. A endemism include the Eastern Himalayas, which extend recent checklist catalogued 11,800 species of gymno- into northern Myanmar, although many of the species sperms and angiosperms for the country (Kress et al endemic to these mountains are shared with neighboring 2003). Northern Myanmar is particularly rich floristically: countries. Myanmar includes all or part of four EBAs Kingdon-Ward (1944-5) recorded 6,000 vascular plant defined by BirdLife International: the Eastern Himalayas, species in this area, of which perhaps 25% are endemic. the Irrawaddy Plains, the Yunnan Mountains, and the IUCN identified five Centers of Plant Diversity in Andaman Islands (Stattersfield et al 1998). Regarding Myanmar, comprising: Northern Myanmar (with an freshwater biodiversity, Inle Lake is known to support estimated 6,000 vascular plant species); Tanintharyi (with several nationally endemic fish species but other centers an estimated 3,000); Natmataung National Park and the of endemism may have been overlooked due to patchy Chin Hills (with an estimated 2,500); the Bago Yoma collecting effort elsewhere. Range; and the Shan Plateau (each with an estimated 2,000) (Davis et al 1995). Globally threatened species According to IUCN (2004), Myanmar supports 149 Myanmar supports at least 250 species of mammal, non-marine globally threatened species, of which 27 are including seven that are thought to be endemic to the Critically Endangered, 41 are Endangered and 81 are country (Groombridge and Jenkins 1994, Bates et al Vulnerable. Nine of these species are thought to be 2004). Regarding birds, Myanmar supports at least 1,020 endemic to Myanmar: Joffre’s Pipistrelle Pipistrellus species (Smythies 1986), the greatest diversity of any joffrei; Anthony’s Pipistrelle P. anthonyi; White-browed GMS country apart from the PRC (Duckworth et al 1999, Nuthatch Sitta victoriae; Burmese Star Tortoise Robson 2000, Round 2000, MacKinnon and Phillips Geochelone platynota; Arakan Forest Turtle Heosemys 2000). Myanmar supports at least 270 species of reptile depressa; Burmese Roofed Turtle Kachuga trivitatta; and 80 species of amphibian, including seven Burmese Eyed Turtle Morenia ocellata; Burmese Frog- nationally endemic species of turtle (Tordoff et al 2005). faced Softshell Turtle Chitra vandijki; and Burmese The freshwater fish fauna of Myanmar is little known but Peacock Softshell Nilssonia formosa. the country is estimated to support at least 350 species, a significant fraction of which may be national endemics In addition to these endemic species, Myanmar is (S. Kullander, C. Ferraris, Jr and Fang Fang in litt. 2004 of high global significance for the conservation of a to Tordoff et al 2005). number of other species. These include Gurney’s Pitta, a Critically Endangered species endemic to southern For all major taxonomic groups, national species Myanmar and peninsular Thailand, which is highly inventories are still incomplete: new species records for threatened by clearance of its lowland forest habitat; Eld’s the country are being continually made, and new Deer, a Vulnerable species, which, outside of Myanmar, species for science are regularly described. In 1997, for is restricted to small, isolated populations in example, a new species of muntjak, Leaf Deer Muntiacus northeastern India, Lao PDR, Cambodia, and Hainan
Current Status of Biodiversity in the GMS Countries, with a Particular Focus on the Pilot Sites of the Biodiversity. Conservation Corridors Initiative 55 Island; and Hoolock Gibbon Bunipithecus hoolock, an and mangroves, two ecosystems that are significantly Endangered species of which Myanmar potentially under-represented within the protected area systems of supports the largest remaining population in the world. the GMS. Unfortunately, the lowland wet evergreen forests of the Sundaic Subregion are under severe and Key sites for conservation immediate threat of conversion to oil palm plantations, A list of 55 IBAs in Myanmar has been prepared while its mangrove habitats are threatened by conver- by BirdLife International (2004). This analysis was sion to aquaculture. Other threats to biodiversity in the expanded by the addition of globally important sites for corridor include hunting, mining, timber extraction, and the conservation of other taxonomic groups, to prepare over-exploitation of Non Timber Forest Products (NTFPs) a preliminary list of 76 KBAs (Tordoff et al 2005). The (Tordoff et al 2005). total number of globally important sites for conservation in Myanmar would undoubtedly be greater, were more 8.1.4 PRC (Yunnan and Guangxi) detailed data available on the distribution and conserva- tion status of species in Myanmar, particularly in Shan Habitats and ecosystems State. Of the 76 KBAs in Myanmar, only 23 (or 30% of Yunnan Province and Guangxi Zhuang Autonomous the total) are designated or officially proposed as protected Region are located in the south of the PRC. Both areas areas, while the remaining 53 (70%) are unprotected have a more tropical climate than the rest of the country, (Tordoff et al 2005). There may be, therefore, a need to and have close faunal and floral affinities with the rest of review and expand the national protected area system, the GMS. The main exception to this is highland areas in order to increase the coverage of under-represented in Yunnan, which have strong Sino-Himalayan affinities. species and habitats, and/or to develop alternative approaches to site conservation outside of formal protected Yunnan is situated to the southeast of the Tibetan areas, such as conservation by local communities. (Qinghai-Xizang) Plateau, which is the origin of two of the major rivers in the GMS: the Salween (Nu Jiang) Conservation corridors and Mekong (Lancang Jiang). Western Yunnan is Fifteen conservation corridors have been defined drained by these two rivers, while the southeast is drained in Myanmar, covering a total area of 293,400 km2, by the Red River and parts of the northeast are included equivalent to 43% of the national land area (Tordoff et al within the catchment of the Yangtze (Chang Jiang). 2005). These corridors include the Nan Yu Range, in Yunnan has some of the most complex topography in the northeast of the country, which is included within the the world, with high mountain ranges extending south- BCI’s Mekong Headwaters Biodiversity Conservation eastwards from the Himalayas bisected by deep gorges. Landscape. They also include the Sundaic Subregion Yunnan contains the highest peak in the GMS: Mount (44,200 km2), an extremely large block of natural habitat Kagepo (6,740m asl). in Tanintharyi Division and neighboring Mon and Kayin States, which comprises the Myanmar portion of the BCI’s Guangxi does not contain the high mountain ranges Western Forest Complex Biodiversity Conservation Land- that characterize Yunnan. Rather, it is characterized by scape. The available information indicates that the hilly topography, with several moderately high mountain Sundaic Subregion still supports rich lowland evergreen ranges and significant areas of limestone karst, most forest communities, including important populations of notably around Guilin in the northeast. Much of Guangxi Asian Tapir Tapirus indicus (Vulnerable), Tiger Panthera is drained by the Pearl River (Zhu Jiang), one of Asia’s tigris (Endangered), and Plain-pouched Hornbill Aceros largest rivers. subruficollis (Vulnerable) (Lynam 2003, Tordoff et al 2005). Of greatest significance, the Sundaic Subregion Terrestrial ecosystems range from alpine meadows supports the vast majority of the global population of and coniferous forests at higher elevations in Yunnan’s Gurney’s Pitta (Critically Endangered) (Eames et al 2005). mountains, to lowland moist evergreen forests in Xishuangbanna prefecture in the southwest of the The Sundaic Subregion is particularly important province. Montane evergreen forest is distributed in high- for the conservation of lowland wet evergreen forests land areas in Yunnan, although it has been cleared and
56 BCI International Symposium Proceedings. degraded in many areas. Lowland areas in both Yunnan Yunnan and Guangxi support a large number of and Guangxi have been extensively cleared of forest, endemic species. They are particularly important for the following centuries of human settlement. Much of the conservation of endemic plant species. Moreover, the natural forest that does remain at low elevations is importance of Yunnan and Guangxi for the conservation distributed on limestone karst formations, which are of restricted-range bird species is illustrated by the fact largely unsuitable for conversion to other land uses. that they contain parts of five EBAs defined by BirdLife Although greatly fragmented, remaining patches of lime- International: the Central Sichuan Mountains, the stone forest are very important for the conservation of Chinese Subtropical Forests, the Eastern Himalayas, the endemic species, particularly plants, primates, and Southeast Chinese Mountains, and the Yunnan Moun- invertebrates. While limestone forests are less threatened tains (Stattersfield et al 1998). by conversion to agriculture that many other terrestrial ecosystems, the plant and animal species they support Globally threatened species are often threatened by over-exploitation, while the very According to IUCN (2004), the PRC supports 763 existence of the karst formations themselves is, in places, non-marine globally threatened species, of which 113 threatened by quarrying. are Critically Endangered, 271 are Endangered, and 379 are Vulnerable. These figures are for the whole country, The high significance of the PRC for the conser- however, and only a proportion occurs within the GMS. vation of natural ecosystems is illustrated by the fact that Because of the high levels of local endemism in Yunnan 17 of the Global 200 Ecoregions defined by WWF (2005) and Guangxi, many of the globally threatened species in lie wholly or partly within the country. Of these, nine the Chinese portion of the GMS occur nowhere else in Global 200 Ecoregions are located partly or fully within the world. A number of these species have extremely the GMS: the Northern Indochina Subtropical Moist restricted global ranges. These include: Nyssa Forests, the Southeast China-Hainan Moist Forests, the yunnanensis, Vatica xishuangbannaensis and Eastern Himalayan Broadleaf and Conifer Forests, the Pterospermum menglunense, three Critically Endan- Hengduan Shan Coniferous Forests, the Eastern gered plant species known only from Xishuangbanna in Himalayan Alpine Meadows, the Mekong River, Xi Jiang Yunnan; P. kingtungense, a Critically Endangered plant Rivers and Streams, the Salween River, and Yunnan species known only from Babian Jiang in Yunnan; and Lakes and Streams. Guangxi Warty Newt Paramesotriton guangxiensis, an Endangered amphibian species known only from Species diversity and endemism Paiyangshan in Guangxi. Specific species inventory data are not available for the parts of the PRC within the GMS. Nevertheless, Key sites for conservation given the size of Yunnan and Guangxi, and the degree A preliminary list of 20 IBAs in Yunnan was of topographical and climatic variation within them, they prepared by BirdLife International (2004). This analysis can be expected to support comparable levels of was expanded by the addition of seven additional sites species diversity to the other GMS countries. of international importance for the conservation of other taxonomic groups (Tordoff et al in prep.) to prepare a list Nine Centers of Plant Diversity defined by IUCN of 27 KBAs for the province. In Guangxi, a provisional lie wholly or partly within Yunnan and Guangxi (Davis et list of 40 IBAs was prepared (BirdLife International 2004), al 1995). These comprise: Xishuangbanna Region (with and then expanded by the addition of 12 sites important an estimated 4,000 to 4,500 vascular plant species, of for other taxonomic groups to prepare a list of 52 KBAs which 120 species are strictly endemic); Nanling Mountain for the autonomous region (Tordoff et al in prep.). These Range (with over 3,000 species); Guangxi Zhuang Lime- lists of KBAs are far from comprehensive, in particular stone Region (with an estimated 2,500 to 3,000 species); because the analysis of taxonomic groups other than Ailao Shan (with an estimated 2,000 species); South birds only included the parts of Yunnan and Guangxi that Yulong Mountains; Haba Snow Mountains; Gaoligong lie within the Indo-Burma Hotspot (Tordoff et al in prep.). Mountains, Nu Jiang River and Biluo Snow Mountains; and Southern Guangxi.
Current Status of Biodiversity in the GMS Countries, with a Particular Focus on the Pilot Sites of the Biodiversity. Conservation Corridors Initiative 57 Of the 27 KBAs defined in Yunnan to date, 25 (93% The lowlands of peninsular Thailand originally of the total) are partly or fully included within protected supported large expanses of lowland wet evergreen areas. For Guangxi, 42 out of 52 KBAs (81%) are partly forest. The faunal and floral communities of this or fully included within protected areas. These figures ecosystem are species rich, and have a very strong indicate that the coverage of sites of global conservation Sundaic component. However, because of the suitability importance within protected areas may be relatively good of these areas for the cultivation of cash crops, such as in the parts of the GMS within the PRC. rubber and oil palm, and the abundance of valuable timber species, Thailand’s lowland wet evergreen forests have Conservation corridors been extensively cleared and fragmented. Some of the Nine conservation corridors have been defined in largest and least disturbed patches that remain can be the parts of Yunnan and Guangxi within the Indo-Burma found along the international border with Malaysia. Hotspot (Tordoff et al in prep.). Two of these conservation corridors are included within the BCI’s Mekong The growth of Thailand’s economy and human Headwaters Biodiversity Conservation Landscape: population, coupled with unsustainable management Xishuangbanna-Simao; and the Mekong River and practices, have resulted, over the last half-century, in Major Tributaries. severe over-exploitation of the country’s natural resources. For example, Thailand’s forest cover declined 8.1.5 Thailand from an estimated 53% in 1961 to 26% in 1995 (WCMC 1997). The impacts on certain other terrestrial ecosys- Habitats and ecosystems tems were even greater: natural grasslands, which were Like many other countries in the GMS, Thailand once widespread in Thailand, particularly in the has a very diverse topography. Elevations range from floodplains of rivers, almost totally disappeared, as a sea level, along the coasts of the Andaman Sea and Gulf result of conversion to agriculture, human settlement, and of Thailand, to 2,595m asl, at the summit of Doi Inthanon other land uses. in the northwest. The principal lowland areas are the Central Plain, in the center of the country, and the Khorat Aquatic ecosystems in Thailand include slow- Plateau, in the northeast. The Phetchabun mountains flowing, lowland rivers, such as the Mekong, the Chao divide these two lowland areas. The highest mountains Phraya and their major tributaries, fast-flowing, rocky in the country are in the north but there are also signifi- mountain streams, and freshwater lagoons, such as cant mountain ranges along the international borders with Thale Noi. Coastal ecosystems include intertidal mudflats, Myanmar, Lao PDR, and Cambodia. Two of the GMS’s sandy beaches as well as significant areas of mangrove. major rivers, the Salween and Mekong, flow along Thai- As is the case with terrestrial ecosystems, aquatic and land’s northwestern and eastern borders, respectively, coastal ecosystems have been severely impacted by while a third, the Chao Phraya, drains much of the center unsustainable natural resource use: fish stocks have and north of the country. been depleted, mangroves have been extensively converted to aquaculture, and freshwater ecosystems In mountainous areas throughout Thailand, montane have been affected by industrial, agricultural, and evergreen forest is the predominant natural ecosystem. domestic pollution (Bugna and Rambaldi 2001). This ecosystem remains widespread and relatively undisturbed, although significant areas have been In spite of the declines in extent and condition affected by shifting cultivation and associated fire, undergone by natural habitats in Thailand over recent particularly in the north. At lower elevations, lowland decades, significant areas of relatively extensive and moist evergreen and semi-evergreen forests are widely little-disturbed natural habitat remain, particularly within distributed, while deciduous dipterocarp forest is the north, west, south and southeast of the country. concentrated in parts of the west, north, and northeast. These areas still support faunal and floral communities Deciduous dipterocarp forest has been degraded and that are near to complete in terms of species composition. cleared in many areas, particularly in the northeast. Thailand includes parts of eight Global 200 Ecoregions
58 BCI International Symposium Proceedings. defined by WWF (2005): the Northern Indochina Sub- Globally threatened species tropical Moist Forests, the Kayah-Karen/Tenasserim Thailand supports 215 non-marine globally threatened Moist Forests, the Peninsular Malaysian Lowland and species, of which 49 are Critically Endangered, 55 are Montane Forests, the Cardamom Mountains Moist Endangered, and 111 are Vulnerable (IUCN 2004). Nine- Forests, the Indochina Dry Forests, the Mekong River, teen of these species are known only from Thailand. the Salween River, and the Andaman Sea. They comprise: two species of mammal, Neill’s Long- tailed Giant Rat Leopoldamys neilli (Endangered) and Species diversity and endemism Surat Serotine Eptesicus dimissus (Vulnerable); one species Because of the wide climatic, latitudinal, and of bird, White-eyed River-martin Eurochelidon sirintarae altitudinal variation within Thailand, the country supports (Critically Endangered); two species of amphibian, Thai relatively high species richness. The country has been Slender Toad Ansonia siamensis and Smith’s Wrinkled estimated to support between 20,000 and 25,000 Frog Ingerana tasanae (both Vulnerable); seven species species of vascular plant, and over 3,000 species of of fish, Betta simplex, Cryptotora thamicola, Nemacheilus vertebrate (MacKinnon 1997). Regarding the best-studied troglocataractus, Oreoglanis siamensis, Puntius speleops, group, birds, Thailand supports at least 960 species Schistura jarutanini and S. oedipus (all Vulnerable); and (Round 2000). seven species of plant Cycas chamaoensis, C. tansachana (both Critically Endangered), C. pranburiensis, Knema IUCN has identified nine Centers of Plant Diversity austrosiamensis, K. conica, Wrightia lanceolata, and W. in Thailand, comprising: Thung Yai-Huai Kha Khaeng viridifolia (all Vulnerable). (which is estimated to support over 2,500 species of vascular plants); Khao Yai (with an estimated 2,000 to One of the above species, White-eyed River- 2,500 species); Doi Suthep-Pui (with over 2,000 species); martin, may already be extinct, not having been Tarutao (with an estimated 2,000 species); Doi Chiang conclusively recorded since 1978 (BirdLife International Dao (with over 1,200 species); Doi Inthanon; Khao Soi 2001). However, it is possible that this rare and Dao; the Limestone Flora; and the Wet Seasonal Ever- enigmatic species still survives somewhere in the GMS. green Forests of South-east Thailand (Davis et al 1995). At least one mammal species that formerly Compared with other GMS countries, Thailand occurred in Thailand is thought already to have gone supports moderate levels of endemism, at least within extinct globally: Schomburgk’s Deer Cervus relatively better-studied taxonomic groups. Thailand schomburgki. This species once inhabited the plains and supports at least 120 endemic plant species (Bugna and swamps of the Central Plain but the last known individual Rambaldi 2001), while endemic vertebrate species was killed in 1938 (Lekagul and McNeely 1977). A second comprise at least six mammals, 31 reptiles, eight mammal species that formerly occurred in Thailand and amphibians, and 29 fish (OEPP 2000). The number of may also have gone extinct globally is Kouprey. There endemic species in these groups may be higher than have been no confirmed records of this Critically these figures indicate, as new species to science continue Endangered species, which also formerly occurred in to be described for the country (e.g., Vidthayanon 2003, Cambodia, Lao PDR, and Viet Nam, for more than 20 Vidthayanon and Kottelat 2003). years. Thailand also supports the last known population of Hairy Rhinoceros Dicerorhinus sumatrensis in the One reason for the moderate levels of national- GMS. A small population of this Critically Endangered level endemism in Thailand is that many species with mammal species survives at Hala-Bala Wildlife Sanctuary restricted global distributions are found in mountainous in the far south. areas, which, in Thailand’s case, are concentrated along international borders. It is no surprise, therefore, that Key sites for conservation the two EBAs defined in Thailand by BirdLife Interna- A total of 62 IBAs have been identified in Thailand, tional are shared with neighboring countries: Sumatra covering a total area of 4.4 million ha, equivalent to 9% and Peninsular Malaysia; and the Thailand-Cambodia of the total land area of the country (Bird Conservation Mountains (Bird Conservation Society of Thailand 2004). Society of Thailand 2004). The IBA analysis was expanded
Current Status of Biodiversity in the GMS Countries, with a Particular Focus on the Pilot Sites of the Biodiversity. Conservation Corridors Initiative 59 during a recent conservation-priority-setting exercise Evergreen forest ecosystems are widely distributed supported by CEPF, by the inclusion of data on other in Viet Nam, particularly in the north and center of the taxonomic groups, to define 113 KBAs in the country. country. Lowland evergreen forest is distributed at low Eighty four percent of these KBAs are partly or wholly elevations, in areas with high rainfall and a short dry season. included in gazetted protected areas. This partly reflects Montane evergreen forest is the dominant natural habitat Thailand’s high protected area coverage, which, at over above 1,000m asl throughout the country, except in parts 17% of the national land area, is one of the highest in of the southern Annamite mountains, where natural the GMS. It may also partly reflect the fact that recent coniferous forest is distributed over large areas. In areas biodiversity surveys have been heavily focused on with greater seasonality, such as parts of the Central protected areas, with areas of natural habitat outside of Highlands and the lowlands of southern Viet Nam, semi- protected areas receiving relatively little survey effort. evergreen forest and mixed deciduous forest are distributed. Deciduous dipterocarp forest is found in areas with an Conservation corridors extended, pronounced dry season: lowland areas in the Nineteen conservation corridors were defined in Central Highlands, and localized areas in the coastal Thailand through a recent conservation-priority-setting zone of south-central Viet Nam. exercise (Tordoff et al in prep.). These corridors were based on an analysis of forest complexes conducted by Other terrestrial ecosystems in Viet Nam include the Royal Forest Department (1999). The 19 conserva- limestone forest, which is distributed on limestone karst tion corridors include the Western Forest Complex, which, formations in central and northeastern Viet Nam, with together with the Sundaic Subregion corridor in Myanmar, smaller areas elsewhere in the country. Limestone comprises the BCI’s Western Forest Complex Biodiversity forest ecosystems are characterized by high levels of Conservation Landscape. localized endemism, particularly in plants and inverte- brates. However, they are threatened in many areas by 8.1.6 Viet Nam quarrying to supply the growing demand for construction materials. Habitats and ecosystems The major rivers in Viet Nam are the Red River in Viet Nam also supports a wide diversity of fresh- the north and the Mekong in the south. The deltas of water ecosystems, including rivers, natural lakes and these two rivers comprise large alluvial plains, which are seasonally inundated grasslands. Wide, slow-flowing, the main centers of human population. The other major lowland rivers are the focus of human settlement lowland areas in the country are the coastal plain, which throughout Viet Nam and, as a result, the assemblages runs along the length of the country, and western parts of riverine species that characterize these ecosystems of the Central Highlands, which are drained westward elsewhere in the GMS have been dissociated almost by tributaries of the Mekong River. The main highland everywhere. Seasonally inundated grasslands are an areas in Viet Nam are the Hoang Lien mountains in the important habitat for such species as Sarus Crane Grus northwest, which contain Mount Fan Si Pan (3,143m asl), antigone, and Wild Rice Oryza rufipogon, the wild Viet Nam’s highest peak, and the Annamite mountains, ancestor of cultivated rice. However, these ecosystems, which extend the full length of the country, and reach a which were once widespread throughout the Mekong maximum elevation of 2,711m asl. The lowlands of Viet Delta, are now reduced to a few small fragments, as a Nam have been largely converted to agriculture and result of conversion to agriculture and aquaculture human settlement, with the result that natural lowland (Buckton et al 1999). habitats are fragmented and vastly reduced in extent. In many highland areas, on the other hand, human population Coastal ecosystems in Viet Nam include densities are lower, and significant, continuous areas mangroves, intertidal mudflats and offshore islands. of natural habitat remain, particularly in the Annamite Mangroves were once distributed along long stretches mountains. of the coastline of Viet Nam, particularly in the Red River and Mekong Deltas but are now vastly reduced in extent. Intertidal mudflats, which are concentrated at
60 BCI International Symposium Proceedings. river mouths, are an important habitat for migratory Century, the entire Vietnamese Mekong Delta was one waterbirds, including several globally threatened species, uninterrupted mosaic of wetlands and forests, such as Spoon-billed Sandpiper Eurynorhynchus spanning 3.9 million ha. Today, the region has been pygmeus and Black-faced Spoonbill Platalea minor (both almost entirely converted to rice farming and other human Endangered). These ecosystems are subjected to high uses, and natural freshwater wetlands are reduced to a levels of human disturbance, and are threatened in places few isolated fragments, mainly in areas of acid sulphate by afforestation with mangrove (Pedersen and Nguyen soils, which are unsuitable for agriculture ( Buckton and Huy Thang 1996). Safford 2004).
A prolonged period of rapid economic growth and While Viet Nam no longer supports extensive land- population expansion, preceded by a series of armed scapes of undisturbed natural habitats, such as can still conflicts, has had significant impacts on Viet Nam’s natural be found in certain other GMS countries, it does support ecosystems. Over the period 1945 to 1995, natural forest very high levels of species endemism for a continental cover declined from 43% to 29% of the national land country. For many species, habitats, and ecosystems, area (MARD 2001a), and much of the remaining forest Viet Nam represents the best (or only) opportunity in the was degraded by over-exploitation. Although wartime world for their conservation. The global significance of bombing, spraying of defoliants, and mechanized land Viet Nam for the conservation of natural ecosystems is clearing resulted in the loss of significant areas of natural recognized by WWF (2005), who have defined six Global forest (Collins 1990), the major causes of forest loss in 200 Ecoregions partly within the country: the Northern Viet Nam have been agricultural expansion, infrastructure Indochina Subtropical Moist Forests, the Southeast development, commercial logging, over-exploitation of China-Hainan Moist Forests, the Annamite Range Moist firewood and other forest products, and reliance on Forests, the Indochina Dry Forests, the Mekong River, destructive forms of pioneer agriculture by some and Xi Jiang Rivers and Streams. representatives of the ethnic minorities (De Koninck 1999, Baltzer et al 2001). Species diversity and endemism Viet Nam supports relatively high levels of According to official statistics, the decline in Viet biodiversity for a medium-sized country. Viet Nam has Nam’s forest cover is beginning to be reversed: forest been evaluated as one of the 16 most biologically cover increased from 9.3 million ha in 1995 to 12.1 million diverse countries in the world (WCMC 1992), and is ha in 2003 (MARD 2001b, 2005). However, these figures especially significant for the conservation of particular mask the true situation, as over half of this increase can taxonomic groups. For example, Viet Nam is ranked be accounted for by an increase in the area of plantation fourth in the world for a number of endangered primates, forest, which typically has limited biodiversity value. and supports five of the world’s top 25 most endangered Moreover, remaining natural forests are mostly degraded primates (CI, MMBF, IUCN/SSC and IPS 2002). and fragmented, and host depauperate faunal and floral communities. Only a very small proportion of Viet IUCN has identified seven Centers of Plant Diversity Nam’s forests could be considered to be in an undisturbed in Viet Nam, comprising: Phu Khan (with an estimated condition, and these are concentrated on steep slopes, 4,000 to 5,000 species of vascular plants); Mount Fan Si at high elevations or in other inaccessible areas. Pan (with over 3,000 species); Bach Ma-Hai Van (with an estimated 2,500 species), Cat Tien (with an estimated The picture for coastal ecosystems is even bleaker. 2,500 species); Langbian-Dalat Highland (with an estimated Over the second half of the 20th century, over 80% of 2,000 species); Cuc Phuong (with nearly 2,000 species); Viet Nam’s mangrove forests were lost, initially due to and Yok Don (with an estimated 1,500 species) (Davis wartime damage, and later through massive expansion et al 1995). of shrimp aquaculture. Between 1991 and 2001, the total area of coastal and marine aquaculture in Viet Nam Since the early 1990s, Viet Nam has drawn the increased by 94% (MoFi 2001). The situation for aquatic attention of the global scientific community, with a series ecosystems is little better. At the beginning of the 19th of remarkable discoveries of new mammal species. Five
Current Status of Biodiversity in the GMS Countries, with a Particular Focus on the Pilot Sites of the Biodiversity. Conservation Corridors Initiative 61 of these species, Grey-shanked Douc Pygathrix cinerea (both Vulnerable); one reptile species, Vietnamese Pond (Nadler 1997), Saola (Vu Van Dung et al 1993), Large- Turtle Mauremys annamensis (Critically Endangered); antlered Muntjac Muntiacus vuquangensis (Do Tuoc et and five amphibian species, Theloderma bicolor, Hoang al 1994, Timmins et al 1998), Annamite Muntjac M. Lien Moustache Toad Vibrissaphora echinata (both truongsonensis (Pham Mong Giao et al 1998, Timmins Endangered), Annam Spadefoot Toad Brachytarsophrys et al 1998), and Annamite Striped Rabbit (Averianov et intermedia, Leptolalax tuberosus, and Vietnamese al 2000), are known only from the Annamite mountains, Salamander Paramesotriton deloustali (all Vulnerable). highlighting the significance of this area as a center of Viet Nam also supports an endemic taxon of White- endemism. Other recently discovered species from the headed Leaf Monkey Trachypithecus poliocephalus Annamite mountains include three birds: Golden-winged (Critically Endangered), which is considered by some Laughingthrush Garrulax ngoclinhensis (Eames et al authorities to be a separate species. 1999a), Chestnut-eared Laughingthrush G. konkakinhensis (Eames and Eames 2001), and Black-crowned Barwing In addition, 55 globally threatened plant species Actinodura sodangorum (Eames et al 1999b). are endemic to Viet Nam: Cycas fugax, Hopea cordata, H. hongayanensis, Shorea falcata, Xanthocyparis Other centers of endemism in Viet Nam include vietnamensis (all Critically Endangered), Alstonia limestone karst areas in the north and center of the country, annamensis, Amentotaxus hatuyensis, Cinnamomum which support many endemic plants and animals, including balansae, Cycas aculeata, C. hoabinhensis, Dalbergia several primates, such as Delacour’s Leaf Monkey annamensis, D. mammosa, Mangifera dongnaiensis, Trachypithecus delacouri and Tonkin Snub-nosed Monkey Schefflera kontumensis, S. palmiformis (all Endangered), Rhinopithecus avunculus, and several conifers, such as Actinodaphne ellipticbacca, Alleizettella rubra, Amentotaxus hatuyensis and Xanthocyparis vietnamensis. Amentotaxus poilanei, Aquilaria banaensae, BirdLife International has identified five EBAs, centers Bennettiodendron cordatum, Bursera tonkinensis, of bird endemism, in Viet Nam: the Annamese Lowlands, Caesalpinia nhatrangense, Camellia fleuryi, C. gilbertii, the Da Lat Plateau, the Kon Tum Plateau, the Southeast C. pleurocarpa, Cleistanthus petelotii, Craibiodendron Chinese Mountains, and the Southern Vietnamese scleranthum, Croton phuquocensis, C. touranensis, Lowlands (Tordoff 2002). Cycas elongata, C. condaoensis, C. inermis, C. lindstromii, C. micholitzii, C. nongnoochiae, C. Globally threatened species pachypoda, Goniothalamus macrocalyx, Helicia According to IUCN (2004), Viet Nam supports 286 grandifolia, Horsfieldia longiflora, Huodendron globally threatened species, the largest number of any parviflorum, Knema mixta, K. pachycarpa, K. pierrei, K. country in the GMS outside of the PRC. Of these species, poilanei, K. sessiflora, K. squamulosa, Mangifera 47 are Critically Endangered, 82 are Endangered, and minutifolia, Mouretia tonkinensis, Phoebe poilanei, 157 are Vulnerable. Pinus krempfii, Pistacia cucphuongensis, Sinoradlkofera minor, Styrax litseoides, Trigonostemon fragilis and The high levels of faunal and floral endemism Vitex ajugaeflora (all Vulnerable). supported by Viet Nam are reflected in the 72 globally threatened species that are endemic to the country. Despite the large and growing number of threatened These include: five mammal species, Small-toothed Mole species in Viet Nam, relatively few species are known to Euroscaptor parvidens, Viet Nam Leaf-nosed Bat have become nationally extinct. Vertebrate species Paracoelops megalotis, Tonkin Snub-nosed Monkey, thought to have become extinct in Viet Nam since 1900 Delacour’s Leaf Monkey, and Chapa Pygmy Dormouse include Hairy Rhinoceros Dicerorhinus sumatrensis, Typhlomys chapensis (all Critically Endangered); six bird Sika Cervus nippon, Kouprey Bos sauveli, Wild Water species, Grey-crowned Crocias Crocias langbianis, Buffalo Bubalus arnee, Indian Skimmer Rynchops Collared Laughingthrush Garrulax yersini, Edwards’s albicollis, White-crowned Hornbill Aceros comatus and Pheasant Lophura edwardsi, Vietnamese Pheasant Mangrove Terrapin Batagur baska. Of these, only Kouprey L. hatinhensis (all Endangered), Chestnut-eared may have become extinct globally. Laughingthrush and Golden-winged Laughingthrush
62 BCI International Symposium Proceedings. Although Viet Nam appears to have retained most 8.2 Options for monitoring the status of biodiversity of its species into the 21st Century, many species that do in the BCI pilot sites survive persist only as small, highly fragmented populations of doubtful long-term viability. For example, Seven pilot sites have been identified for imple- three of Viet Nam’s four endemic primates have mentation of site-level activities during the first phase populations of under 500 individuals (Nadler et al 2003), (2006-2008) of the BCI. These are distributed among while the population of Lesser One-horned Rhinoceros five of the six countries of the GMS, and cover six of the Rhinoceros sondaicus at Cat Tien National Park, one of nine Biodiversity Conservation Landscapes defined by only two known populations of this species in the world, the BCI. In order to evaluate the impact of the BCI pilot numbers only 6 or 7 individuals (Polet et al 1999). It is projects, identify key trends in biodiversity in the likely that, if current trends continue, the first decades of Biodiversity Conservation Landscapes and GMS Economic the 21st century will witness a wave of species extinctions Corridors, and monitor progress towards attaining the in Viet Nam, unprecedented in the country’s history. goals of the BCI, it will be necessary to monitor the status of biodiversity in the BCI pilot sites. This section Key sites for conservation presents options for monitoring the status of biodiversity An analysis by BirdLife International and the at each pilot site, and briefly reviews the availability of Government of Viet Nam identified 63 IBAs in Viet Nam, baseline data. covering a total area of 1.7 million ha, equivalent to 5% of the country’s land area (Tordoff 2002). During a For all BCI pilot sites, it will be possible to monitor recent CEPF-supported conservation-priority-setting large-scale changes in condition and extent of natural exercise, the results of this analysis were expanded, by habitats by means of remote sensing data, in particular including data on other taxonomic groups, to define a satellite images, supported by ground truthing. However, provisional list of 102 KBAs: sites of international impor- many key changes in the status of biodiversity at pilot tance for conservation (Tordoff et al in prep.). Of the sites can be difficult or impossible to detect using 102 KBAs in Viet Nam, only 35% are included within remote sensing data. In particular, changes in population gazetted protected areas, in whole or in part, the lowest densities of animal and plant species, resulting from over- proportion for any GMS country (Tordoff et al in prep.). exploitation, disturbance and/or habitat degradation, are seldom possible to detect using remote sensing data. In Conservation corridors such cases, site-level monitoring will be required to Eighteen conservation corridors were defined in detect trends. Because of resource limitations, coupled Viet Nam through the recent conservation-priority-setting with the fact that many species are difficult, if not exercise supported by CEPF (Tordoff et al in prep.). impossible, to monitor with an acceptable degree of These were, in turn, based on an earlier analysis led by accuracy, it will be necessary to monitor the populations WWF (Baltzer et al 2001). Seven of these corridors are of a subset of species at each site, termed “indicator included within the Biodiversity Conservation Land- species.” In order for the monitoring results to be scapes: the Northern Annamites, Central Indochina Lime- informative as to the overall status of biodiversity at a stone, and Quang Binh-Quang Tri-Xe Bangfai Lowlands site, the indicator species should be ones that respond (which, together, comprise the Northern Annamites land- to pressures in a similar fashion to other species of scape); the Central Annamites (which comprises the conservation concern. In addition, in order that monitoring Central Annamites landscape); the Cambodia-Lao PDR- can be conducted in a cost-effective, sustainable manner, Viet Nam Tri-border Forests (which, together with the the indicator species should be ones that can be monitored Sekong Plains corridor in Cambodia and the Xe with low to moderate resources, and, ideally, by local Khampho-Xe Pian corridor in Lao PDR, comprise the stakeholders, such as researchers, site managers, or Tri-border Forests Landscape); and the Eastern Plains local community members, rather than by scientists from Dry Forests and Southern Annamites Western Slopes outside the area. Moreover, in order that trends can be (which, together, comprise the Eastern Plains Dry identified over the timeframe of the BCI, indicator Forests landscape). species should be ones that are expected to undergo measurable change over a 10-year period (i.e., by 2015).
Current Status of Biodiversity in the GMS Countries, with a Particular Focus on the Pilot Sites of the Biodiversity. Conservation Corridors Initiative 63 8.2.1 Cardamom Mountains • Asian Elephant (Endangered; the Eastern Plains support one of the largest populations of this Site description species in the GMS) This pilot site is situated within the Cardamom and • Banteng (Endangered; the Eastern Plains Elephant Mountains Biodiversity Conservation Land- support one of the largest populations of this scape and comprises three ecological corridors in the species in the world) Cardamom Mountains of Cambodia. • Eld’s Deer (Vulnerable; the Eastern Plains support one of the largest populations of this Indicator species species in the GMS) Potential indicator species for the Cardamom • Green Peafowl Pavo muticus (Vulnerable; Mountains Pilot Site include the following: the Eastern Plains support one of the largest • Pileated Gibbon (Vulnerable; endemic to the populations of this species in the world) GMS; the Cardamom and Elephant Mountains • Giant Ibis (Critically Endangered; endemic may support the largest population of this to the GMS; the Eastern Plains support one of species in the world) the largest populations of this species in the • Asian Elephant (Endangered; the Cardamom world) and Elephant Mountains support one of the largest populations of this species in the GMS) Availability of baseline data • Chestnut-headed Partridge (Vulnerable; Baseline studies of Asian Elephant in the Eastern endemic to the GMS; the Cardamom and Plains have been conducted by FFI, and a population Elephant Mountains support the majority of the estimate has been produced. No baseline population global population of this species) data are available for the other four species. • Siamese Crocodile (Critically Endangered; 8.2.3 Khao Yai-Thab Lan endemic to the GMS; the pilot site supports the largest known population of this species in the world) Site description This pilot site is situated outside of the nine Baseline data Biodiversity Conservation Landscapes defined by the Baseline studies of Pileated Gibbon, Asian BCI, and comprises the Khao Yai-Thab Lan corridor in Elephant, and Siamese Crocodile in the Cardamom and Thailand. Elephant Mountains have been conducted by Fauna & Flora International (FFI), and population estimates for Indicator species all three species have been produced (Daltry et al 2003, Potential indicator species for the Khao Yai-Thab Traeholt et al in prep.). No baseline population data are Lan Pilot Site include the following: available for Chestnut-headed Partridge, although they • Gibbons: White-handed Gibbon (Near Threatened) ought to be relatively straightforward to obtain, given that and Pileated Gibbon (Endangered, endemic to the species can be readily detected by its call. the GMS) • Asian Elephant (Endangered) 8.2.2 Eastern Plains • Gaur (Vulnerable) • Large carnivores, particularly Tiger (Endangered) Site description • Hornbills, particularly Great Hornbill (Near This pilot site is situated within the Eastern Plains Threatened) Biodiversity Conservation Landscape and comprises six ecological corridors in Mondulkiri province, Cambodia. Availability of baseline data Hornbill Project Thailand has established base- Indicator species line data for hornbill populations. Local NGOs around Potential indicator species for the Eastern Plains Khao Yai National Park have collected some baseline Pilot Site include the following: data on Gaur populations. Researchers at Mahidol
64 BCI International Symposium Proceedings. University have established a 30 ha permanent sample Indicator species plot to study plant-animal interactions; data on bird and Potential indicator species for the Tenasserim primate densities have been collected in a systematic Pilot Site include the following: way since 2001. Population surveys of large carnivores • White-handed Gibbon (Near Threatened) and Asian Elephant have also been carried out at the • Asian Elephant (Endangered) pilot site. • Gaur (Vulnerable) • Large carnivores, particularly Tiger (Endangered) 8.2.4 Ngoc Linh-Xe Sap • Hornbills, particularly Great Hornbill (Near Threatened) Site description This pilot site is situated within the Central Availability of baseline data Annamites Biodiversity Conservation Landscape and Hornbill Project Thailand has established base- comprises the Ngoc Linh-Xe Sap corridor in Viet Nam. line data for hornbill populations at several sites within the Kaeng Krachan and Western Forest Complexes. Indicator species Wildlife Conservation Society has initiated a monitoring Potential indicator species for the Ngoc Linh-Xe program at Kaeng Krachan National Park, focusing on Sap Pilot Site include the following: large carnivores. For the pilot site itself, accurate popula- • White-cheeked Crested Gibbon Nomascus tion estimates are not available for most of the indicator leucogenys (Data Deficient; endemic to the species listed above, and baselines would need to be GMS; the Central Annamites may support one established. of the largest populations of this species in the world) 8.2.6 Xe Pian-Dong Hua Sao-Dong Ampham • Red-shanked Douc (Endangered; endemic to the GMS; the Central Annamites supports one Site description of the largest populations of this species in the This pilot site is situated within the Tri-border world) Forests Biodiversity Conservation Landscape and • Crested Argus Rheinardia ocellata (Vulnerable; comprises the Xe Pian-Dong Hua Sao-Dong Ampham the Central Annamites supports one of the corridor in Lao PDR. largest populations of this species in the world) Indicator species Availability of baseline data Potential indicator species for the Xe Pian-Dong WWF has established baseline data on primate Hua Sao-Dong Ampham Pilot Site include the following: populations in Quang Nam province in the south of the • Yellow-cheeked Crested Gibbon (Vulnerable; pilot site (Minh Hoang et al 2005). BirdLife International endemic to the GMS) has established baseline data on populations of all three • Asian Elephant (Endangered) indicator species in Quang Tri province in the north of •Large carnivores, particularly Tiger (Endangered) the pilot site. • Hornbills, particularly Great Hornbill (Near Threatened) 8.2.5 Tenasserim Availability of baseline data Site description Baseline data on population densities of all the This pilot site is situated within the Western above indicator species will need to be established. Forest Complex Biodiversity Conservation Landscape and comprises an ecological corridor, linking Thailand’s Kaeng Krachan and Western Forest Complexes.
Current Status of Biodiversity in the GMS Countries, with a Particular Focus on the Pilot Sites of the Biodiversity. Conservation Corridors Initiative 65 8.2.7 Xishuangbanna Buckton, S. T. and Safford, R. J. (2004) The avifauna of the Viet Namese Mekong Delta. Bird Conservation International. 14: 279-322. Site description This pilot site is situated within the Mekong Head- Bugna, S. and Rambaldi, G. (2001) A review of the protected waters Biodiversity Conservation Landscape and com- area system of Thailand. ASEAN Biodiversity. 1(3): 36-41. prises the Xishuangbanna National Nature Reserve Com- CI, MMBF, IUCN/SSC and IPS (2002) The world’s top 25 most plex in Yunnan. endangered primates. Washington DC: Conservation Interna- tional, Margot Marsh Biodiversity Foundation, IUCN/SSC Indicator species Primate Specialist Group and International Primatological Potential indicator species for the Xishuangbanna Society. Pilot Site include the following: Collins, M. ed. (1990) The last rain forests: a world conserva- • Asian Elephant (Endangered) tion atlas. New York: Oxford University Press. • Green Peafowl (Vulnerable) Daltry, J. C., Chheang Dany, Em Phal, Poeung Mora, Sam Han, • Rufous-necked Hornbill Aceros nipalensis Sonn Piseth, Tan Thara and Simpson, B. K. (2003) Status of (Vulnerable) the Siamese Crocodile in the central and southern Cardamom mountains, Cambodia. Phnom Penh: Fauna & Flora Interna- tional Cambodia Programme and Department of Forestry and Availability of baseline data Wildlife. Baseline data on population densities of all the above indicator species will need to be established. Daltry, J. C. and Momberg, F. eds. (2000) Cardamom Mountains: Biodiversity Survey 2000. Fauna & Flora International: Cambridge. References Davis, S. D., Heywood, V. H. and Hamilton, A. C. eds. (1995) Amato, G., Egan, M. and Rabinowitz, A. (1999) A new species Centres of plant diversity: a guide and strategy for their of muntjac Muntiacus putaoensis (Artiodactyla: Cervidae) from conservation. Volume 2: Asia, Australasia and the Pacific. northern Myanmar. Animal Conservation. 2: 1-7. Cambridge, U.K.: IUCN Publications Unit.
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68 BCI International Symposium Proceedings. moist forest, tropical montane evergreen broad-leaved 9. Biodiversity Loss in Xishuangbanna with the forest, and tropical monsoon forest (Zhu et al 2006). In Changes of Land Use and Land Cover over Xishuangbanna, the tropical rain forest landscape 27 Years stretching down to the border of Lao PDR is the location Zhu H., Li H.M., Ma Y.X. of the biodiversity corridor conservation pilot site.
9.2 Changes of land use and land cover over past Summary 27 years
The major land-use change in Xishuangbanna has Conspicuous changes in land use and land cover, been an increase in rubber tree plantations and a decrease especially in the tropical seasonal rain forest cover, have in the tropical rain forest. In 1976, approximately 11% of taken place in the region since the 1970s. The tropical rain the region was the tropical seasonal rain forest, but by forests cover of 10.9% of the total area of Xishuangbanna 2003 this forest type was reduced to 3.6%, and rubber in 1976, decreased to 8.0% in 1988 and to 3.6% in 2003, plantations increased from 1% to 11%. while the rubber plantations cover of 1.1% of the total area in 1976, increased to 3.8% in 1988, and to 11.3% in Therefore, the decrease and fragmentation of the 2003. The majority of rubber plantations occurred tropical seasonal rain forests due to rubber planting was below 1000m in areas which were originally seasonal the principal factor leading to loss of biodiversity in the tropical rain forest (Li et al 2006). Shrub lands made up region. In addition, Amomum (a commercial plant of 11.6% of the total area in 1976 and 12.4% in 1988, ginger family) planting underneath the seasonal rain increasing to 18.4% in 2003, mainly by replacing the forests poses a serious threat to natural regeneration of tropical montane forests and developing from slash and forest, because it destroys the sapling-seedling bank of burn lands. Montane rain forest also decreased in area, the rain forest causing the forest to lose its regeneration from 15.8% of the total area in 1976, down to 10.4% in capability. It is urgent to conduct a Biodiversity Conser- 2003. Other land covers have had no significant change vation Corridors Initiative (BCI) for this region to limit (Figure 9.1 and Table 9.1) (Li et al 2006). further expansion of rubber plantations and to promote multispecies agroforestry systems. As the forest cover decreased, fragmentation of tropical rain forests occurred. The tropical rain forests 9.1 Introduction consisted of a total 2,306 patches with an average patch area of 90.6 ha in size in 1976, increasing to 3,668 Xishuangbanna is an administrative region of patches with an average patch area of 18.9 ha in 2003 southern Yunnan. It is located in the southern section of (Table 9.2) (Li et al 2006). the Mekong Headwaters. The region has an area of 19,690 km2 and has a typical monsoon climate and The splitting index of the fragments of the seasonal annual precipitation of 1500 mm in its lowland areas. tropical rain forests was 1,138 in 1976, increasing to The region has a rich tropical flora and a typical tropical 133,702 in 2003. The tropical montane rain forests rain forest in the lowland areas. The flora of the region consisted of a total 2,643 patches with an average patch consists of 3,336 native seed plant species belonging to area of 114.7 ha in 1976, increasing to 3,820 patches 1,140 genera in 197 families (Li 1996). The fauna with an average patch area of 51.9 ha in 2003, and the consists of 539 species of vertebrate, 400 bird species, splitting index of the fragments increased from 1,048 in and 36-44 reptile species, which make up one fourth of 1976 to 5,197 in 2003. On the other hand, rubber the total vertebrates and one third of the birds in the PRC, plantations consisted of a total 1,100 patches with an respectively (Xu et al 1987). average patch area of 19.9 ha in 1976, increasing to 4,592 patches with an average patch area of 47.1 ha in The primary vegetation in the region can be 2003, and the splitting index of the rubber plantations organized into four main vegetation types: tropical rain decreased conspicuously from 660,472 in 1976 to 672 forest (including two subtypes, i.e., tropical seasonal rain in 2003 (Table 9.3) (Li et al 2006). forest and tropical montane rain forest), tropical seasonal
Biodiversity Loss in Xishuangbanna with the Changes of .Land Use and Land Cover over 27 Years 69 Figure 9.1: Land use and land cover in 1976, 1988 and 2003 in Xishuangbanna respectively Table 9.1: Comparison of areas under different land use and land cover
1976 1988 2003 (% of the total area of Xishuangbanna) Tropical seasonal rain forests 10.9 8.0 3.6 Rubber plantations 1.1 3.8 11.3 Slash and burn lands 11.1 15.0 11.6 Arable lands 4.1 2.7 3.1 Shrub lands 11.6 12.4 18.4 Montane rain forests 15.8 14.7 10.4 Others no significant changes
Table 9.2: Number of patches and average patch area of different land uses Average area of patch No. of patches (ha) 1976 1988 2003 1976 1988 2003 Tropical seasonal 2,306 2,852 3,668 90.6 53.5 18.9 rain forests Montane rain forests 2,643 3,126 3,820 114.7 90.1 51.9 Rubber plantations 1,100 3,106 4,592 19.9 23.4 47.1 Shrub lands 22,269 21,934 14,862 10.0 10.9 23.7 Slash & burn lands 15,863 14,752 10,503 13.4 19.5 21.1
9.3 Biodiversity loss with the changes of land use and land cover
The tropical rain forests lost their tree species diversity after they were replaced by rubber plantation with single rubber tree species. Although there is a flora composed largely of shrub and herbaceous plants underneath rubber plantations, it has much less biodiversity richness than natural forests (Figure 9.2).
With fragmentation of the tropical rain forests, species diversity reduced, and the smaller the fragment, the less the species richness. The more seriously disturbed the fragment, the more the species richness diminished (Figure 9.3) (Zhu et al 2004). Tree species with small populations were lost first in the process of rain forest fragmentation.
70 BCI International Symposium Proceedings. A neglected, but serious threat to biodiversity of Table 9.3: Comparison of splitting index of different land uses the tropical rain forest in the region is the planting of Amomum (a commercial plant of ginger family) under- 1976 1988 2003 neath the tropical rain forests by local people. Amomum planting is as widely practiced as rubber plantations in Tropical seasonal rain forests 1,138 6,657 133,702 Xishuangbanna as well as in SE Asia. This poses a Montane rain forests 1,048 2,009 5,197 serious threat to natural regeneration of forests, because Rubber plantations 660,472 42,557 672 gathering of Amomum fruit requires complete clearing Shrub lands 9,754 18,814 1,802 of young trees, saplings, seedlings and shrubs (Zhu et Slash and burn lands 37,662 13,935 14,366 al 2002). The tropical rain forests regenerate from their sapling-seedling bank, especially the lower tree layer and sapling-shrub layer. If clearing takes place, there is destruction of sapling-seedling bank of the rain forest Figure 9.2: Comparison of species diversity of shrub-herb that causes the forest to lose its regeneration capability layer between the natural forest and the rubber plantation (Figure 9.4). based on 500m2 sampling plots
Figure 9.4: Comparison of sapling density between a 3.3616 Natural forest: primary forest and the forests with Amomum villosum plantation based on 0.25 ha sampling plots Rubber plantation
$ 3,500 3,113 $ 3,000 1.0204 0.9536 0.8247 $ 2,500 2,431
$ 2,000 1,758
$ 1,500 No. of sapling
$ 1,000 725 Shannon-Winner’s index Simpson index $ 500 $ 0 12 34 Amomum cover Figure 9.3: Number of tree stems and species per 0.25 ha 1 primary forest without Amomum; 2 forest with 20-40% Amomum Cover; 3 forest with 40-60% Amomum cover; 4 forest with over 90% sampling plot in primary rain forest and fragmented rain Amomum cover forests 9.4 Conclusions 250 No. of tree stems 207 No. of species The tropical rain forests with the most species 200 182 richness lost their tree species diversity after rubber
152 152 plantations replaced them. The plant species diversity 150 135 was also reduced in the fragmented forests. Therefore, 113 decrease and the consequent fragmentation of the 100 tropical rain forests due to rubber planting were the
No. of tree/species principal factors leading to loss of biodiversity in the 50 region.
0 Local officers largely ignored the threat to natural Primary Fragment 1 Fragment 2 regeneration of the tropical rain forests by Amomum
planting, because no timber collection took place. However, the threat is serious and should be highlighted.
Biodiversity Loss in Xishuangbanna with the Changes of .Land Use and Land Cover over 27 Years 71 The high price of rubber continues to promote the expansion of rubber plantations in Xishuangbanna. To 10. The Great Green Triangle: An Integrated meet this challenge, it is urgent to conduct a BCI for this Approach Toward Regional Planning and region. Limiting further expansion of rubber plantations Biodiversity Conservation in the PRC/Lao and promoting multispecies agroforestry systems will be PDR/Viet Nam Border Region expected by the implementation of a BCI in the region. David Westcott and Jin Chen
References Summary Li H.M., Aide,T.M., Ma, Y., Liu, W.,and Cao M. (2006). Demand for rubber is causing the loss of high diversity rain forest in SW China. Biodiversity and Conservation (in press). The Phongsaly region of northern Lao People’s Democratic Republic (Lao PDR) is a remote area with Li, Y.H. (ed). (1996). List of plants in Xishuangbanna. Yunnan low population densities and an economic base focused National Press, Kunming. on shifting agriculture. The area has high biodiversity Xu, Y.C., H.Q. Jiang and Quan, F. (1987). Reports on the values and connects major reserve areas in the People’s Nature Reserve of Xishuangbanna. Yunnan Science and Republic of China (PRC), Viet Nam and elsewhere in Technical Press, Kunming. Lao PDR. The development of major road infrastructure Zhu, H., Cao, M. and Hu H. (2006). Geological history, flora, in nearby Luang Namtha and Yunnan is expected to have and vegetation of Xishuangbanna, southern Yunnan, China. effects on both the social and conservation setting in Biotropica. 38(3): 310-317. Phongsaly. Here we review the values of the region and suggest that an opportunity exists to build on current Zhu, H. et al (2004). Tropical rain forest fragmentation and its ecological and species diversity changes in southern Yunnan. activities and linkages to develop an integrated conser- Biodiversity and Conservation. 13:1355-1372. vation and development program for the region that would ease the transition to greater social and economic Zhu, H. et al (2002). A discussion on the loss of biodiversity of mobility in the province and contribute to conservation tropical rain forest by Amomum planting underneath in South Yunnan. Guihaia. 22(1):55-60. efforts by its neighbors.
10.1 Background and introduction
The threats to the maintenance of biodiversity, natural ecosystems, and the services they provide by both current and foreseeable development and population growth represent one of the major challenges for Asia in the 21st century. High population densities, intensive agriculture, and increasing levels of exploitation of natural resources through land conversion, logging, hunting, and water use are all placing increasing pressure on the region’s natural assets and through this, on the future health and prosperity of its peoples. These processes impact negatively on ecosystems and people alike.
Natural ecosystems are increasingly restricted to ever more ecologically isolated reserves and fragments. In the long-term this ecological isolation removes many reserves from landscape-level processes, such as dispersal and recruitment, which sustain them. Inevitably, isolation results in the gradual loss of diversity and eco- logical value. At the same time these natural systems
72 BCI International Symposium Proceedings. remain integral to the livelihoods of many rural commu- managed with the objective of maintaining or restoring nities, either directly through exploitation or indirectly ecological functions so as to conserve biodiversity while through the ecosystem services they provide. As these simultaneously providing appropriate opportunities for the systems decline, so too does their value in sustaining sustainable use of natural resources and socio-economic human livelihoods. development in the context of the economic development corridor. Maintaining the values of natural ecosystems while providing the opportunity for rural communities to develop One of the nine corridors selected for implemen- is no simple task. The tight linking of natural and human tation in 2006-15 is the Northern Mekong. The southern systems leads inevitably to the conclusion that successful component of this project links the protected areas of integration of conservation and development requires a the Xishuangbanna Nature Reserves and will, in Phase landscape level approach that seeks not to maximize 2 of the GMS-BCI, link these with the Nam Ha National the returns of conservation or development in isolation Biodiversity Conservation Area (NBCA) across the Lao but instead seeks to identify means of achieving the goals PDR border. These reserves protect significant forested of both across the landscape. areas with high conservation and ecosystem services value. Thus, successful conservation requires an approach that i) utilizes the whole landscape, including areas whose Here, we suggest an extension of the Northern primary land-use is production or extraction, for conser- Mekong BCI to incorporate existing reserves and areas vation purposes; ii) recognizes and incorporates both the of shifting cultivation in both Lao PDR and Viet Nam. productive or extractive values of biodiversity and its The proposed extension would require a focus on services and intrinsic values: and iii) incorporates biodiversity conservation, land use planning, and liveli- people, their livelihoods, and their aspirations along with hoods development in Phongsaly and Buon Neua biodiversity conservation goals. Provinces of Lao PDR. This is an area with superior biodiversity values, high ecosystem integrity, and low A major determinant of the nature of exploitation current population pressure, but is one which faces of natural systems is the larger economic context in which dramatic social and demographic changes in the near they are located, particularly access to markets and future as a result of the development of the Economic opportunities for economic activity. Key to the Asian Corridor in the area immediately adjacent. Development Bank’s Regional Cooperation Strategy and Program (RCSP 2004-2008) in the Greater Mekong Though currently remote, it is expected that the Subregion (GMS) is the development of regional economic area will gain dramatically improved market access as a corridors which are expected to play a crucial role in consequence of the corridor development. Importantly, meeting development goals by facilitating trade through the area is at a developmental stage where appropriate the movement of goods and people. There is concern, decisions, made now, can have an enormous influence however, over the indirect impact of increasing development on future trajectories and outcomes. Consequently, the activities and population pressures in these economic area represents an opportunity for significant on-ground corridors on biodiversity and ecosystem services. conservation and socioeconomic impact.
Recognizing the threat that degradation of the 10.2 Biodiversity setting region’s natural ecosystems would pose to long-term socioeconomic development and environmental security, The Phongsaly and Buon Neua districts lie in the the GMS Biodiversity Conservation Corridors Initiative northernmost part of the Lao PDR, between the People’s (BCI) seeks to develop landscape scale linkages between Republic of China and Viet Nam (Figure 10.1). the region’s major reserves to protect ecosystem services and integrity across the region. Overall the vision is for The region is rugged and is covered by a mosaic a system of core protected areas connected by natural of natural vegetation types, the principle type being and/or semi-natural landscape elements configured and tropical rain forest (Figure 10.2).
The Great Green Triangle: An Integrated Approach Toward Regional Planning and Biodiversity Conservation in the. PRC/Lao PDR/Viet Nam Border Region 73 3,700 years as is the case in neighboring Xishuangbanna, Figure 10.1: The proposed Mengla – Phou Dene Din Corridor and this has transformed climax vegetation type in some areas. Current vegetation types reflect local environ- mental conditions, current and past land use and time since disturbance. The existing formations are diverse and range from primary rain forests to Imperata cylindrica savannah (Ducourtieux et al 2006). The relatively continuous forest cover indicated in available vegetation mapping based on remote sensing (Figure 10.2) and the low population densities of the region (Ducourtieux et al 2006) all suggest relatively high levels of ecological integrity. This is further supported if comparison is made with Xishuangbanna to the immediate west in Figure 10.2.
Natural vegetation types in the Phongsaly districts are broadly similar to Xishuangbanna, and include tropical (Figure from GMS Biodiversity Conservation Corridors Initiative, Strategic Approaches and Priorities, Annex 3) rainforest, tropical seasonal forest, monsoon forest, and tropical evergreen broad-leaved forest (Zhu et al in press; Figure 10.2: Coarse vegetation map of the Tri-Border Region Figure 10.2). Surveys in Xishuangbanna (Zhu et al in and showing the general area of interest (encircled) and press) and Nam Ha (Tizard et al 1997) to the west and indicating relatively high levels of forest cover and integrity southwest and Muong Nhe (BirdLife International 2004) to the east (Figure 10.1) suggest that diversity will be high with potentially ca. 3,300+ species and 1,000+ genera PR China of plants to be expected and ca. 35 large mammal species and 250 bird species. Significant proportions of these are likely to be species of conservation concern. While SR Vietnam no biodiversity surveys have been conducted in the area, large mammals such as Asian elephant, gaur, banteng, Asiatic black bear, sun bear, leopard, and tiger are believed to occur there.
Lao PDR The area contains a single conservation reserve. Located in the east of the province, Phou Dene Din NBCA covers an area of 222,000 ha of rugged mountain (to LEGEND 2,000m) terrain on the border with Viet Nam. Like the Evergreen Mountain Forests (> 1000m) Evergreen Lowland Forests (> 1000m) rest of the province, the NBCA consists of a mosaic of Fragmented and Degraded Evergreen Forests Deciduous Forests vegetation types reflecting environmental and human Mangrove Forests Swamp Forests and Inundated Shrubland influences and including mid-montane and montane Evergreen Wood & Shrubland and Regrowth Mosaics Deciduous Wood & Shrubland and Regrowth Mosaics forest, newly cleared areas and fallow areas of up to 20 Mosaics of Cropping and Regrowth Other Land Rocks years of age. Water Bodies Excerpt from Stibig and Beuchle (2003), scale is 1: 4 000 000. 10.3 Socioeconomic and agricultural setting
The population of Phongsaly and Buon Neua is It represents a transition zone between the Sino drawn primarily from Sino-Tibetan ethno-linguistic and Indo-Malaysian bio-geographic regions, between groups. Many of these groups extend across the inter- temperate and tropical, and dry and wet ecosystems. national borders into the PRC and Viet Nam. Approximately While much of the forest cover remains, the area has a 20,000 farmers in Phongsaly live in 82 rural villages, of long history of agricultural activity, perhaps as much as
74 BCI International Symposium Proceedings. which 80% are sufficiently remote as to have no vehicular between 800 and 1,800 m); 1,705 ha of upper montane access, and live largely from swidden agriculture (75% evergreen forest (distributed at elevations above 1,800 of food resources) (Ducourtieux et al 2005). Agricultural m); and 15,925 ha of bamboo forest. The remaining area alternatives are limited by topography, primarily the of the nature reserve comprises 204,201 ha of grassland, absence of arable flatlands in the V-shaped valleys, and 43,980 ha of shifting cultivation and scrub (Nguyen access to markets, and, a high incidence of disease in et al 2001). Populations of large mammals such as Asian stock (Ducourtieux et al 2005). elephant, banteng, guar, tiger, and white-cheeked crested gibbon persist but are threatened by hunting. Bird surveys An unwillingness to see family farmed areas indicate between 158 and 270 bird species are to be reduced to unviable sizes means there is a tendency for found in the reserve. Although long called for at a local young people to leave the area (Ducourtieux et al 2005). government level, Muong Nhe Nature Reserve was This trend, along with a population-wide drift to urban officially established in September 2005. In this initial areas, has seen rural populations decrease with about stage, lack of capacity in Nature Reserve management 20% of the villages having been lost and a third of the is apparent with only four employees and a separate families having left the region since 1966. Today, the building is scheduled for construction next year. population density is about 8 inhabitants/km2 (Ducourtieux et al 2006). Between 1995 and 2003, popu- In the PRC on the Lao PDR Border, the Mengla lation growth rate in rural areas of Phongsaly averaged - Nature Reserve (NR) is a part of the network of reserves 0.3% year-1 while the province’s growth rate averaged that comprise the Xishuangbanna Nature Reserve (XNR). 0.3 between 1995 and 2005 (Ducourtieux et al 2005). Together these reserves cover 241,000 ha with the dominant vegetation types being mid-elevation and Despite the shifting nature of the main agricultural montane tropical rain forest with strong similarities to the activities, some cash cropping, most notably in the form rain forests of Southeast Asia (Zhu et al 2006). These of cardamom growing is now widespread in the region similarities include some Dipterocarp forests dominated (Ducourtieux et al 2006). In addition, attempts at sugar by Shorea and Vatica spp. Across all its reserves, the cane production have been made and commercial XNR contains significant biodiversity including about forestry companies are increasingly interested in the 3,300 of plant, 427 bird, 113 mammals, and 100 species area. Interest in similar activities is bound to increase of fish. Listed species include Asian elephants, several with increased proximity to transport links. species of cat and bear, and crested gibbon. Mengla NR consists of about 93,994 ha with vegetation that 10.4. Conservation opportunity consists primarily of tropical montane broadleaf ever- green forest with smaller areas of tropical rain and The close proximity of national boundaries in the monsoon forest. It surrounds two towns, Yaoqu and area mean that conservation issues in Phongsaly and Mengban and has significant populations living on its Buon Neua would be most effectively viewed within an boundaries. international context. As noted above, there is both cultural and biogeographic continuity across the borders The existence of these reserves and their of the three nations. In addition, there are reserves in biodiversity significance, the fact that despite political both the PRC and Viet Nam that are immediately boundaries the area represents a single biogeographic adjacent to the borders and to the study area. and ecological zone with strong cultural links, provides a real opportunity to develop a transnational collaboration. In Viet Nam on the Lao PDR border is the Muong Management and development activities undertaken by Nhe Nature Reserve. This is a mountainous reserve one country in the region, inevitably impact on the with peaks up to 2,124 m. Muon Nhe has a total area of adjacent regions of the neighboring countries. Current 396,176 ha with a total of 45,581 ha as core area. This examples of successful collaboration include farmer figure comprises 9,920 ha of lowland evergreen forest exchanges and joint fire management between the PRC (distributed at elevations below 800 m); 19,850 ha of and Lao PDR in the area and provide a good base for lower montane evergreen forest (distributed at elevations building a much broader collaboration.
The Great Green Triangle: An Integrated Approach Toward Regional Planning and Biodiversity Conservation in the. PRC/Lao PDR/Viet Nam Border Region 75 10.5. Conclusions and future steps References
BirdLife International. (2004). Sourcebook of Existing and We are suggesting a project that will extend the Proposed Protected Areas in Viet Nam, Second Edition. northern BCI into the Phongsaly region of Lao PDR. We http://www.birdlifeindochina.org/source_book/pdf/1%20north% suggest an integrated conservations and development 20west/Muong%20Nhe.pdf approach, designed and implemented at a landscape Ducourtieux, O., Laffort, J-R and Sacklokham, S (2005). Land scale, to identify future trajectories for the Phongsaly Policy and Farming Practices in Laos. Development and region which strengthen: Change. 36(3): 499–526.
(i) the resilience of livelihoods through income Ducourtieux, O., Visonnavong. P., Rossard, R. (2006). diversification and linkage through the region, Introducing cash crops in shifting cultivation regions – the (ii) retention of natural systems and biodiversity experience with cardamom in Laos. Agroforestry Systems. values across the landscape, and 66:65–76. (iii) quality of life and social capital of communities. Nguyen DT, Le TT, Le VC. (2001). A rapid field survey of Muong Nhe Nature Reserve, Lai Chau Province, Viet Nam. Hanoi: A key consideration will be how best to incorpo- Birdlife International Viet Nam Programme and the Forest Inventory and Planning Institute. rate livelihoods, development and conservation in the same landscape. Evaluation of the synergies between Tizard R, Davidson, P, Khounboline, K and Slivong, K. (1997). ecosystem processes and economic enterprises and the A wildlife and habitat survey of Nam Ha and Nam Kong trade-offs that might be necessary between biodiversity Protected Areas, Luang Namtha Province, Lao PDR. Final Report, Dept. of Forest Resource Conservation and the protection and wealth generation thus becomes a Wildlife Conservation Society, pp 75. fundamentally important step in designing future trajec- tories. This evaluation will rely on quantification of the UNEP. (2000). State of Environment Report, Lao PDR 2001. ecological, economic, and social attributes of land uses http://www.rrcap.unep.org/reports/soe/laosoe.cfm and management strategies and the development of Zhu, H., M. Cao, and H. B. Hu. (2006). Geological History, modeling tools to allow for cost-benefit assessment of Flora, and Vegetation of Xishuangbanna, Southern Yunnan, alternative landscape design options. China. Biotropica. 38:310-317.
Fundamental to the long-term sustainability of our approach is the engagement and participation of local peoples. Local knowledge and insight into all aspects of the work, from natural history through to regulation, will identify the most appropriate options and local owner- ship and commitment to the goals will enable their achievement. Consequently, the initial task of this project will be to enlist the participation of local communities and government in the project’s design and implementation. Effective development of this collaboration means that initially we will work with broadly stated objectives for the latter stages of the project to enable meaningful input from collaborators and stakeholders.
76 BCI International Symposium Proceedings. successful work in Yangtze can help to 11. Watershed Management in the Yangtze, ensure not only a healthier river but also Mekong, and Salween Rivers longer life spans of the existing reservoirs. Marc Goichot Application of standards for road construc- tion, sustainable and appropriate irrigation schemes, and regulation of mining practices Summary will help to ensure that the Mekong River will continue to provide the products and services In the “three parallel rivers” area of the People’s needed for sustainable economic and social Republic of China (PRC), we can see striking contrasts development for its population. in land-management practices and their associated impacts on freshwater conservation among the Salween 11.1 Introduction (or Nu), Yangtze, and Mekong (or Lancang) Rivers. While the headwaters of the Salween are relatively pristine, This paper was written to give a freshwater the headwaters of the Mekong present a very different conservation perspective to the Biodiversity Conserva- picture. Degradation is now proceeding rapidly. Serious tion Corridor Initiative and provide suggestions for the erosion is resulting from road construction, irrigation on consideration of the Environment Operation Center, the steep slopes, and unregulated small-scale mining. The Core Environment Program, and the Greater Mekong headwaters of the Yangtze have also been badly Subregion (GMS) Working Group on Environment. degraded over the last 50 years or more. “Freshwater research may be less sexy than that in the terrestrial or marine realm, but trajectories of species loss In terms of management of the three rivers, we make it arguably the most urgent” (Abell 2002). The see the following scenarios: Mekong, Yangtze, and Salween basins are among the (i) Within the headwaters of the Yangtze, large World Wife Fund for Nature (WWF) Global 200 Priority areas have now been restored in an exemplary Ecoregions. WWF has already developed basin-wide effort by the PRC Government, and pictures environmental action plans (EAPs) for the Mekong and of the Yangtze headwaters now show a very Yangtze (Figure 11.1). attractive land-scape of stable tree-covered slopes and agricultural valleys. These efforts The study areas cover the sections of the Mekong in the Yangtze should be encouraged to (called Lancang in the PRC in the studied section), the ensure that the river continues to provide the Salween (called Nu in the studied section) and the Yangtze services and products to the people living rivers from the margins of the Tibetan Plateau at an altitude around it. above 3,000 meters until those rivers reach down to an (ii) The situation in the Salween is different altitude just below 1,000 m some 500 km downstream. where the government will have to decide In this section, the three great rivers run in parallel in whether the most beneficial use of the river deep gorges flowing from the Tibetan Plateau into Yunnan is to protect and maintain its natural state— Province. Steep slopes and high water discharges make being of global and regional importance in this region attractive for the development of large-scale terms of biodiversity it being one of the last hydropower. Both the Mekong and Yangtze now have large free-flowing rivers in the world—or dams on the main stem. The Salween main stem, however, whether to develop the potential for large- remains un-dammed for the time being. Northwest scale hydropower generation. Yunnan has been designated as a biodiversity hot spot (iii) Although the Mekong River is still in relatively (Makinnon et al 1996). Furthermore, an important part good condition when compared with many of the section of the three rivers studied in this paper has large rivers around the world, this is rapidly been listed as “The Three Parallel Rivers” World Heritage changing as unsustainable development is Site by the United Nations Educational, Scientific and impacting on the river’s health. The promotion Cultural Organisation (UNESCO). of rehabilitation of slopes modeled on the
Watershed Management in the. Yangtze, Mekong, and Salween Rivers 77 The unique but fragile natural ecosystems of the Figure 11.1: Study area studied area have been valued for the following (van der Meer and Wang 2005): (i) Protection function - e.g., regulating water and erosion input to rivers, thus preventing severe flooding, silting of downstream reservoirs (ii) Biodiversity function - sustaining natural hydrology and aquatic habitat (iii) Production function - sustaining economic activities
The studied stretches of the three rivers share a main feature that contributes to their uniqueness but also makes them particularly vulnerable to human impact: their very steep slopes. Over the past centuries, many of the natural ecosystems have gradually given way to grazing land, agriculture, and agro-forestry systems. Although the traditional land management system with terraced agriculture on alluvial fans and slopes and extensive grazing was relatively sustainable, it remained very fragile, thus settlements developed only on the most favorable locations. Since the 1950s, demographic pressure and the need to increase productivity brought more pressure on the slopes. Terraced agriculture is very labor intensive, so less sustainable practices appeared. Slope stability was closer to dangerous thresholds, and severe erosion problem started in the The uniqueness of both terrestrial and aquatic more accessible sub watersheds of the Yangtze. biodiversity of the area can be explained by the variety of habitat conditions from the combination of altitude Recently, additional pressure was put on the variation and the favorable subtropical monsoon climate, slopes affecting even the westernmost districts. The localized important variation in rainfall due to orographic author identified three factors causing the destabilization effect, geological differences, the high gradient of the of the slopes: (i) newly introduced irrigation, (ii) small- river, and the ice-fed hydrology. scale mining, and (iii) roads. Yet, at this stage, a striking difference remains in the way the three river basins are Furthermore, the authors of the study would like affected and land use is managed. This is seen as a to put emphasis on the role of the upper reaches of these unique opportunity to draw lessons and suggests a large river systems to the entire basin. The quality and regional approach to the conservation of the studies hydrology of the water originating from the Tibetan Plateau areas in line with the rational that led to the Greater is very different from that in the lower part of those Mekong Subregion program. basins, and therefore it is anticipated that it plays a vital role in supporting biodiversity basin wide. Even if the This paper summarizes the main findings from field flow contribution can be seen as modest (18% of total work conducted in 2005 (Bravard & Goichot 2006). The average annual flow for the Mekong [MRC 2003]), it is author would also like to acknowledge the contributions crucial because of its glacio-nival hydrological charac- by Hans Guttman (Mekong River Commission). teristics and therefore very different from the remaining input that is all tropical.
78 BCI International Symposium Proceedings. 11.2 Program for the prevention and control of soil Photo 11.1 erosion and land degradation in the middle and upper reaches of the Yangtze River - a model for landscape management?
This is a seven-year, very large-scale program (covering 267,000 km2 and costing $600 million) implemented by The Yangtze River Water Conservancy Committee. It falls under priority 5—conservation and sustainable utilization of natural resources—of the Priority Program for the PRC’s Agenda 21. Realizing the scale of the erosion problem and its implication on agriculture land loss, the program allows for the restora- tion of 41 watersheds, seeking to alleviate poverty, improve agricultural production, and restore the ecological balance of the region. Moreover, it is believed that the reduction of soil erosion in the upper reaches of the Yangtze Further downstream, on the banks of the main River will decrease siltation and lessen the potential for stem or large tributaries, restoration of riparian forest natural disasters throughout the entire Yangtze River. associated with embankments can also be observed. Amongst the benefits of this program, according to the This also serves to protect agricultural land and restoring official document, are the longer life spans of the the ecosystem and its functions (Photo 11.2). hydropower reservoirs downstream.
The authors visited one of the demonstration sites in the Chang Jiang River upstream of the city of Shigu, Photo 11.2 near Judian. The landscape showed a relative master- ship of erosion by humans. It was clear that slopes were controlled through a policy aiming at protecting them from erosion by field farming and by cattle. While lower slopes, shaped in thick and red colluviums, or alluvial fans, are still intensively farmed with paddy fields, corn, and nut trees, mountain slopes display a transformed landscape. The steepest slopes exclude any agriculture and have been reafforested with pine trees. Grazing seems to be permitted below the trees, but it is very extensive and does not affect the trees. Tracks are opened from the villages up to the upper areas in the mountain. They are used by cattle and by loggers. These tracks provide the only erosion features visible in the landscape (ravines created by concentration of cattle and hauling of logs by 11.3 The state of the Upper Mekong (Lancang buffalos). Giang) slopes
Under the program, the communities benefit from Analysis of photographs taken during the WWF the policies. They receive funds for maintaining the Living Mekong Programme (LMP) fact-finding mission forest and their commitment to decrease the surfaces to Yunnan and Tibet (June 2004) identified a recurrent devoted to farming (Photo 11.1). phenomenon—mid-slope areas around human settle- ments becoming extremely fragile and susceptible to landslides. In many cases, the threshold of the land had
Watershed Management in the. Yangtze, Mekong, and Salween Rivers 79 already been reached and significant erosion was ing natural sediment input to the river systems. This is a visible. A rapid literature study and a follow-up field consequence of the extreme topography and is a great mission in June 2005 confirmed the severity of the challenge to the transport sector to offer local population issue. LMP started an analysis of the processes leading an effective service. But these planning mistakes can to this extreme situation. also be attributed to poor knowledge or consideration of the environmental processes of slope geomorphology. The adverse effects of high loads of suspended matter and deposited fine sediment on fish and other From the pass linking the Lapu River to the aquatic life have been well documented in a wide range Lancang River down to the valley of the Yongchun River of river systems globally. One study presented a good (close to the city of Waxi), a new road has been opened synthesis of the known impacts (Mol and Ouboter 2004). in 2004 after two years of work. This road shows the “Suspended and deposited sediment have adverse efforts to connect the western part of Yunnan to the rest impacts on fishes and other aquatic life. They kill fish of this province. It provides a good insight on the condi- outright, usually by clogging or damaging the gills, or tions of development undertaken in this part of the PRC. reduce growth rate and thus tolerance to disease; The authors selected this area as a case study to better reduce the suitability of spawning habitat and hinders understand the impacts of new roads on the tributary development of fish eggs, larvae, and juveniles; modify watershed of the Lancang-Mekong. A following step will the natural migration patterns of fish; reduce the be to extrapolate the result of this study to the larger abundance of fish food by reducing light penetration and studied area to better estimate the extent of the impact primary production; impede the feeding activities of on the scale of the entire Lancang-Mekong system. invertebrate prey; and affect the efficiency of hunting, particularly in the case of visual feeders.” The new road has been opened across steep mountain slopes and significant efforts have been done In the case of the Upper Mekong, the impact of such as concrete bridges, tarring, and gutters on each suspended matters is particularly relevant for the tribu- side to collect water from rainfalls. Nevertheless, the taries that have naturally very clear waters. The main road, shaped into crumbly alterites of metamorphic rocks, stem is naturally very turbid. has destabilized the slopes. The platform is about 8-10 m wide, including the road and the two road shoulders. If the impact of suspended matters is well Eroded slopes above the road and filling material below documented, the change of bed load is more difficult to the large road represent major scars in the landscape of measure; yet the role of bed load on the morphological Labadi and Haduku villages. Trees are covered by thick stability of tropical rivers has been demonstrated (Tinkler layer of sediment and will probably not resist such treat- and Wohl 1998; Gupta et al 2002). Furthermore, beyond ment (Photo 11.3). the environmental impact, the potential impact of the life span of existing hydropower reservoirs must be empha- These artificial slopes are quite unstable because sized. Ensuring that existing reservoirs deliver the serv- of the thickness of the alterites exposed to creep, land- ices they were designed to deliver is a major concern of slides (due to compaction processes), and gullying, conservationists as this will reduce the need for new ones. where water flows over the road, is concentrated before pouring downslope to the rivers. In many places, the 11.3.1 The Yongchun River Watershed: a case study filling material, which has an unstable gravity slope, fills to look at impact of new roads on a tributary of in the talweg below and is reworked by floods, which the Lancang-Mekong increases instability of the slopes and the bed load of the river which displays depositional features. This is With the rapid pace of development, new roads very significant in the last kilometers where the road has are often being constructed in fragile slopes, causing been notched into weak red sandstones. Small terraces large scars in the landscape. The extent of observed one to two meters high have been shaped into thick erosion can be said to be very significant in relation to alluvial deposits by a recent flood. human density and rainfall, and thus, seriously impact-
80 BCI International Symposium Proceedings. One should understand that this is a dynamic Photo 11.3 process in progress. The “sediment wave” produced by road construction has been transiting along the tributary for about two to three years, and should move further downstream in the next years. Generally speaking, aggradation of a riverbed means that the river flow is unable to transport the sediments in excess, the sediment balance having been disturbed by the increase of input. Paddy fields, the most productive places in the watershed, are threatened, but aquatic habitats are also severely altered. It can be anticipated that the negative impacts to irrigated agriculture and aquatic habitat will increase in the future considering the fact that the slopes in the watershed are durably destabilized. Indeed, aggradation of a riverbed raises the level of the floods and overall favors the deposition of bed load upon the alluvial plain. So the present difficulties of farmers who have to deal with the destruction of their fields by floods should increase notably in the future, due to the combi- nation of hydraulic and hydrologic features linked to the impact of road construction.
In the long term (5-10 years and more), the sediment wave will be delivered to the Lancang River, increasing bed load. However, the relative importance of this sediment input from one tributary may remain relatively modest considering the sediment transport capacity of the Lancang. This said, the occurrence of very heavy rainfalls might trigger much more severe destabilization of the upstream slopes impacted by new roads. Furthermore, one needs to quantify the cumula- It is noticeable that these recent erosion features tive impact of a number of impacted watersheds. The are far more extended and potentially detrimental to the authors’ relatively short mission didn’t allow to estimate environment than the tracks which have been opened this properly, so the significance of the impact on down- for decades to facilitate logging in the vicinity of Labadi— stream reservoirs is not yet adequately demonstrated. a community living out of wood cutting and the cultiva- tion of corn on steep slopes. 11.3.3 Roads in riverbeds
11.3.2 The Yongchun River downstream the City of Road construction can bring another severe erosion Waxi: evidence of riverbed aggradation scenario. This is when the valley is narrow and the slope too steep, then the road is built on an embankment in Aggradation is evident downstream of the the active riverbed (Photo 11.4). Narrowing the natural confluence of the river draining the watersheds impacted riverbed causes the flood flows to erode the opposite by road construction (described above), about 6-7 km bank, which in turn causes severe destabilization of from Waxi and at an elevation of about 2,120 m. Along terraces and alluvial fans, resulting in loss of valuable the Yongchun River, the input of coarse sediment from farmland and settlements and significantly increasing the the tributary increases dramatically the aggradation of sediment load of the draining river. But again, measuring the riverbed, inducing several types of impacts. bed load is difficult, so precise estimation is still difficult to ascertain. Watershed Management in the. Yangtze, Mekong, and Salween Rivers 81 11.4.1 Slope conditions Photo 11.4
Slope conditions along the Salween – geology and climate The Salween shares many characteristics of the neighboring Lancang and Yangtze river basins. However, visual assessments show that the slopes surrounding the Salween (also known as Thanlwin in Myanmar or Nu in the PRC) in its upper reaches appear much more stable than those of the Mekong River (Photo 11.5). This is evident from observations in the Mekong and Salween basins, as well as from studying satellite images, which in both cases offer a striking contrast. The landscapes of the Nu are much wetter and greener and the slopes are far more stable and often still covered with dense forests. The WWF report provided several other case studies. Only the impact of road on the Yongchun River is presented in detail. Other case studies demonstrate Photo 11.5 that irrigation and mining cause similar damage (Annexes 11.1 and 11.2).
11.4 Salween (Nu Jiang): the last free-flowing river
Within the ecological hotspot of the Three Parallel Rivers, the Salween basin presents a unique ecological feature, as the only two rivers to maintain a connection from the Tibetan Plateau downstream to the sea, thus presenting an outstanding ecological continuity for different species of fish and river species. There are around 140 known species of fish in the entire basin, of which 47 are endemic. The area also has the world’s greatest diversity of turtles, including riverine species, such as the stream terrapin Cyclemys dentata, giant Asian pond terrapin Heosemys grandis, and bigheaded Underlying this greater stability is a geological turtle Platysternon megacephalum (WWF 2001). On the structure consisting of narrow valleys made of hard valley walls, terrestrial flora and fauna are well preserved, crystalline and metamorphic rocks alternating with wider often, in pristine conditions. Some species are protected, basins of softer rocks (weak sandstones). This natural such as the golden-eyed monkey, small panda, the wild heritage is combined with less human pressure, tradi- ass of Dulong, and the wild ox, among others. tional agriculture techniques that are in better keeping with the landscape, and a less aggressive climate. This section examines some of the unique condi- tions that contribute to the ecological importance of the Slope conditions - livelihoods and landscapes Salween, the imminent threats to the river valley, and The rural habitat of the Lisu people (the main alternative options for achieving economic development ethnic group in a valley populated with many different without compromising the integrity of the Salween groups) is well preserved. Almost all villages at the corridor. valley bottom are built on alluvial fans. Once boulders have been cleared off the land, alluvial fans provide good
82 BCI International Symposium Proceedings. space for agriculture that are easy to terrace and the Slope erosion by agricultural practices is not a torrents that form them provide convenient access for major concern here. In the narrow valley bottom, paddy fisheries, water for irrigating paddy fields, and energy for fields and corn are grown on alluvial fans and in some small water mills to grind cereals. Along the river, many places of low slopes. Most land tenures are located far traditional techniques of fishing are still in use, like above the river, on slopes of mid-altitude. Despite the throwing a net held by two wooden poles. wetness of the climate, erosion is controlled, probably because the density of vegetation covers plays a An outstanding landscape is Bingzhongluo, about positive role. 40 km north of Gongshan. Bingzhongluo is a protected rural area where both natural and rural landscapes are Finally, traditional management and less pressure well preserved. Farms are still covered with slates, some- from lower populations may play a role. Traditional times with thatch. A series of three ingrown meanders1 management is proving effective, although it is very labor- into dark schists is visible from an upper road. Former intensive to build terraces and to maintain the existing riverbeds, hanging at different altitudes over the present ones. course of the Salween River with the blocks carried in ancient times, are settlement places with hamlets and Nevertheless, even if the slopes are a bit less paddy fields. fragile than in the neighboring valleys, the slopes of the Salween are still very steep and prone to destabilization. On the right bank of the Salween, 14 km north of This can be accelerated by unsustainable use of the river. Gongshan, a small tributary is fed by springs originating in limestones providing dissolved carbonates. Above it, 11.4.2 Exploiting the river’s energy – from small to large this river is actively building a large terrace of travertine. hydropower This latter area, like many others, displays rural land- scapes of high quality. Farmers grow corn and paddy, The steep slopes together with reliable water and breed dwarf goats. Another outstanding place is discharge make the Salween and its tributaries an ideal located a few kilometers upstream of the village of Maji, location for hydropower development. Until now, hydro- associating valley sinuosities, small peaks, and alluvial power development has been confined to tributaries. The fans in a misty atmosphere. The most renowned place reach from Gongshan to Liu Ku has 13 small hydropower is called “Stone Moon” from a place in the mountain where plants built along the Salween, providing energy from a hole in the rock has been opened by weathering. From high artificial falls with intakes along tributary torrents. the view point, the gorge is fascinating. Downstream is the magnificent site of Lamateng with its rapids linked to Although these hydropower plants may have some a large rock fall. negative impacts on the forest cover and on the stability of slopes, they do not significantly alter the life of local Slope conditions – conclusions people—in some cases, they provide the opportunity of As seen above, the slopes along the Salween are building concrete bridges which solve the problem of in a better condition than in the neighboring river basins crossing the Salween—nor do they affect significantly of the Mekong and the Yangtze. The question is whether the natural morpho-dynamics of the Salween. this is because the slopes are naturally less vulnerable, whether it is because there is less pressure on the slopes, Plans for large-scale development of the main or whether they are better managed. stem of the river are now moving ahead in both the PRC and Myanmar. The upper stretch of the Salween in In all likelihood, it is a combination of these three Yunnan Province is earmarked for a cascade of 13 dams, factors. The Salween has a different geology and higher with a total capacity of 21,320 MW. rainfall than the more eastern Mekong valley. Such large-scale development, involving dams 1 An ingrown meander displays a steep concave bank notched by the built across the gorge with a wall height of up to 300 river and a soft convex bank shaped during the translation of the river towards the other bank. meters, will irreversibly disrupt the ecological integrity of
Watershed Management in the. Yangtze, Mekong, and Salween Rivers 83 the Salween river basin and affect the important corridor Globally, free-flowing rivers are under threat, and functions, both terrestrial and aquatic, provided by the in particular, the state of large rivers, those that stretch river. The construction of the dams will necessitate the over a distance of more than 1,000 km, is dire. Accord- resettlement of villages located in the bottom reaches of ing to a recent report (WWF 2006), only a third of the the valley, as well as reconstruction of the main roads on world’s 177 large rivers remain free-flowing, unimpeded higher grounds. This is likely to open up many of the by dams or other barriers and only 21 of these actually forested areas on the surrounding hillsides and the run freely from source to sea. The Salween River is one combined impacts of an influx of people, increased of these and one of the last in Asia. logging, and introduction of agriculture on unsuitable slopes is likely to be substantial. Among the many reasons for preserving the natural state of large rivers, including the services they Significantly, most of the small hydropower plants provide to people, is the uncertainty about the losses along the river are of recent construction or are still caused by disrupting ecological integrity. Our under- under development. The construction of large dams will standing of the mechanisms of free-flowing rivers over mean decommissioning the existing plants, many of long distances and the contributions made by these which are newly built. rivers to the global ecosystem is still limited, and so for scientific reasons alone, there is an important need to 11.4.3 The importance of Salween as a free-flowing protect free-flowing rivers. With so few major free- river flowing rivers now left, we are on the brink of losing another natural phenomenon without fully understanding the Free-flowing rivers, aside from their ecological costs of these losses. The loss of the integrity of the significance, provide numerous benefits and services to Salween could prove to be a particular loss as this people, including provision of food and water, regulation represents the last free-flowing river draining eastwards services such as water purification, sediment transport to the sea from the Tibetan Plateau. and deposition, and cultural and aesthetic purposes. All these are in evidence in the Salween River, which also 11.4.4 Options for sustainable development of the contributes to the maintenance of the hydrological cycle upper Salween further downstream, and the ecosystems and livelihoods that depend on this. The author would like to emphasize In the view of WWF, an alternative exists for the impact of decreased sediment flux to the costal exploiting the upper Salween, without compromising on areas. “Costal retreat is directly influenced by the economic development and without sacrificing the reduction of river supplied sediment; change in sediment important terrestrial and biological corridor provided by supply can greatly influence the benthic environment of the river. This scenario calls for the further development coastal estuaries, coral reefs, and sea grass communi- of small-scale hydropower along tributaries, in combina- ties; in addition, nutrients fluxes, particularly carbon, are tion with development of tourism. White-water rafting, in intimately tied to the flux of sediment, which has implica- particular, could prove to be an important economic driver. tion on coastal fisheries; sediment offers delivery will also affect harbor maintenance and the potential for burial of 11.4.5 Tourism potential pollutants” (Syvitsky et al 2005). Furthermore, drastic decrease in input of sediment from rivers has led to a The area has a tropical mountain climate with global tendency observed in most major river systems temperatures between 20-30OC in summer. This where, simultaneously, sediment input is increased up- temperature is very suitable for tourism. The Salween stream through soil erosion, yet the flux of sediment valley (i.e., the river, its banks and valley walls, and the reaching the coast has decreased (Syvitsky et al 2005), tributary valleys) display a lot of outstanding opportunities and therefore, most natural sea beaches are receding for developing the economy taking into account the local worldwide (Paskoff 2004). forces, the labor of people inside their environment, instead of relying on the revenues of the energy of high dams and on emigration of the poor to large cities in
84 BCI International Symposium Proceedings. search for uncertain employment. Diffusing a type of Erosion and Land Degradation in the Middle and Upper tourism respectful of local people, able to consume local Reaches of the Yangtze River” to protect biodiversity in products and hire people for activities based upon local tributaries and ensure long life of existing reservoirs resources, is a guarantee for sustainable development, downstream. Furthermore, a comprehensive program in this valley as well as in other ones. The possibilities could include the following elements: and their social and environmental impacts need to be (i) Standard for roads building on steep slopes further explored. and in upper reaches of watersheds. The Flood Management and Mitigation Program 11.4.6 Developing the rapids – rafting Instead of dams of the Mekong River Commission, Delft Cluste, and WWF are currently collaborating A WWF mission made brief field observations and on a project to develop guidelines to develop took pictures on all the 170 rapids located between roads in the floodplains of the Mekong in Gongshan and Liu Ku to understand their localization, Cambodia and Viet Nam. This model could their origin, and their potential difficulty for white water be adapted to the roads of the Upper Basin. uses. The mission believes that the Salween offers a (ii) Sustainable irrigation. This might include remarkable potential for high-end river rafting (Annex 3). awareness-raising campaigns and technical transfer to local farmers on use of irrigation 11.5 Conclusions/recommendations on steep slopes and regulations for develop- ment of irrigation. The use of sprinklers could Infrastructure is as much the cause for increased be recommended in the most sensitive erosion as it is a victim of its impact. The abnormally areas where gravity irrigation from canals is high erosion observed is believed to cause direct impact proved to be unsustainable. In some cases, to the aquatic habitats of the tributaries but also on the it might be worth evaluating the benefits of a livelihoods of local populations. In addition to the local conversion from paddy to more profitable impacts, it can be assumed that the excess sediment crops (e.g., fruit trees), requiring less input created by this erosion—as they seem to be intensive irrigation. repeated on a number of the Lancang tributary water- (iii) Promote regulations for small-scale mining. sheds cumulatively representing a large scale—has a Measure more accurately the basin-wide direct impact on the life span of the hydroelectric reservoirs impact of abnormally high erosion on life span downstream. of reservoirs on main stem and evaluate the economic implications. This may call for the 11.5.1 Yangtze development of a mechanism for investment in management of watersheds upstream. There is a need to support further development of (iv) Measure more accurately the basin-wide the program for “Prevention and Control of Soil Erosion impact of abnormally high erosion on life span and Land Degradation in the Middle and Upper Reaches of reservoirs on main stem, and evaluate the of the Yangtze River.” The results observed are positive economic implications. This may call for the and impressive. development of a mechanism for investment in management of watersheds upstream. 11.5.2 Lancang-Mekong 11.5.3 Nu-Salween Promote the same model and scale of intervention2 as the program for “Prevention and Control of Soil (i) Promote the conservation of the Salween as one of the planet’s last free-flowing large river from the Tibetan Plateau to the sea. (ii) Promote small- to medium-scale hydropower 2 A limited number of watersheds in the Lancang have been included in the program, but this would need to be extend to many more in with derivation canals to meet the local order to have a significant impact at basin scale. demand rather than large-scale reservoirs on the main stem. Watershed Management in the. Yangtze, Mekong, and Salween Rivers 85 (iii) Undertake an economic analysis and World Wide Fund for Nature. (2001). Global 200 Ecoregion environmental impact analysis for Profiles. Available: http://www.panda.org/about_wwf/ where_we_work/ecoregions/global200/pages/list.htm#water development of white river rafting in the Salween. (This might be an opportunity WWF report, Free-Flowing Rivers – Economic Luxury or for further collaboration between the Ecological Necessity? defines a free-flowing river as any river Working Group on Environment and the that flows undisturbed from its source to its mouth, at either the coast, an inland sea, or at the confluence with a larger Working Group on Tourism.) river, without encountering any dams, weirs, or barrages and without being hemmed in by dikes or levees. Available: http:// References www.panda.org/freshwater
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Syvitsky, James P. M., Charles J. Vorosmarty, Albert J. Kettner, and Pamela Green. (2005). Impact of Humans on the Flux of Terrestrial Sediment to the Global Coastal Ocean. Science Vol. 308. 15 April.
Tinkler, K.J., and E.E. Wohl. (1998). Rivers Over Rock: Fluvial Processes in Bedrock Channels. Geophysical Monographs, Vol. 107. van der Meer, Peter, and Chongyung Wang. February (2005). Forest and Agriculture Ecosystem Functioning. In Integrated Ecosystem and Water Resources Management of the Lancang (Upper-Mekong) River Basin: A Pilot Research in Fengqin and Xiaojie Catchments.
86 BCI International Symposium Proceedings. Annex 11.1: The Lancang River Gorge: slope manage- However, one can also see some sustainable ment, the impact of new agriculture practices, and examples of newly developed irrigated perimeters. For small-scale mining on the stability of the slopes instance, on the right bank downstream Zhoupai, a large area has been developed with a new village, irrigated 1. Unsustainable ways of managing soil and paddy fields on the upper part, dry corn fields on the irrigation in the context of the intensification steepest slopes closer to the gorge or where delivery of of practices water is impossible. The old gullies have been controlled, but fresh gullies originate from a large dirt road opened Irrigated agriculture has been traditionally between the village and the fields developed on alluvial fans, where soils are the most fertile, slopes less extreme, and where it is easy to 2. When thresholds are passed on tilled land divert water from the torrents. The land use practices are well adapted, but the local conditions are still quite In this reach of the Lancang River, the cross profile extreme and the life of farmers is very difficult. Natural of the valley slopes are convex, which means that the setting—slopes and climate—being so extreme, an steepest slopes are close to the river while the valley external factor can easily disturb this fragile equilibrium opens at a higher altitude, below the mountain forest. between humans and nature. Irrigated agriculture has been developed on very small alluvial fans when tributary torrents entrench the valley In the region between Zhoupai and Shideng, one walls. Usually, they benefit water diversion from torrents, can see striking examples of the impact of irrigation on manure from the litter of pine forest and from lime. Corn slopes when the delivery of water is not correctly mastered. is the only possible crop on non-irrigated tenures and Failure in canals or simply open-ended irrigation system when the slopes are too steep for the construction of pouring water down slope induces severe landslides terraces and paddy fields. across the fields, then gullies into the loose deposits. The main issue is managing excess water downstream Three types of land tenures have been developed the irrigated paddy fields when it is poured along the with characteristic landscapes: slope without any respect to the weakness of slope (i) On gentle slopes less than 20-25O, paddy deposits. is grown on terraced irrigated fields. The plots of land are constructed, manured, and The landscape shows three examples of landslides perennial. induced by poor management of irrigation on slopes (ii) On slopes comprised between 20-25O O where agriculture has been intensified. and 50 , corn is grown on dry land, tilled (i) An old inactive landslide surrounded by with the hoe, sometimes watered using hedges pails. (ii) A large and active landslide displaying (iii) On the steepest slopes located along the mudflows, gullies in the middle lower part of the gorge, land is tilled with (iii) A fresh mudflow which covers corn fields temporary corn fields. These slopes below irrigated paddy fields on the right of associate corn, fallow, and pastures. the picture The lowest and steepest slopes are prone to land- This leads to the loss of large areas of cultivated slides when soils are saturated. These landslides occur land. in thick weathered rocks and in slope deposits.
Furthermore, the construction or widening of a road The most fragile soils are on weak rocks (schists, through a main irrigation channel can have some severe soft sandstones). Those soils are easier to crop due to impacts, when farmers try to restore them without fully their thickness, thus they suffer the most intense pres- understanding the risk of saturating the surface deposits sures. A large number of landslides were observed in and therefore creating landslides. the vicinity of Yingpen. It must be stressed that erosion
Watershed Management in the. Yangtze, Mekong, and Salween Rivers 87 does not always have an obvious and direct human if the meadows are probably flooded, they are not cause. Many landslides have been observed not only fossilized by sediments during floods. The river shows on tilled land prone to rill erosion, but also on ancient the morphological features of a bed which does not fallows protected by grass and shrubs. display much gravel transport along a steep reach. Other features, such as boulders deposited by tributary torrents, In some narrow sections of the Lancang River, confirm that the long profile is stable. small-scale mining adds to the pressure from agricul- ture. In the area situated 10 km south of Yingpen, the These impacts must be considered in the perspec- gorges are intensively mined for lead. Along dirt tracks tive of the normal behavior of the river during floods and linking the mines to the river, processions of donkeys between floods. Along this reach, the conquest of paddy carry the ore and some wood in a bare landscape. Natural fields is compromised by the occurrence of large floods forest has been cut down to sustain the mine galleries, which deposit gravel and small boulders on the adjacent for processing ore, or just for fuel for the minors. Some alluvial plain. The upper level, close to the slope, has slopes are covered by recent eucalyptus plantations. been aggraded by colluvium and is cultivated with corn Other areas downstream present very similar features relying on rain falls. Closer to the river, stands a belt and this allow us to state that the most depredated slopes conquered to the detriment of the active tract of the river, occur during mining, intense grazing, and when corn are result of tenacious work performed by the farmers. in competition on fragile soils. Levees and small irrigation canals made of stones sepa- rate the small paddy fields; longitudinal embankments Traditional agricultural practices have limited made of boulders line up the river in order to constrict impact on the natural erosion process. Because the the alluvial tract. However, this conquest has been natural conditions are so harsh, the most remote tenures destroyed by recent large floods and is presently under and isolated farms are often abandoned. Only a limited reconquest. Corn fields have been settled on freshly number of erosion forms due to grazing have been deposited gravels, before the cultivation of paddy. observed. But introduction of small-scale mining is Farmers told us, the situation was different a few years sufficient to destabilize the traditional harmony and ago. trigger severe erosion on significant areas. Annex 11.3: Developing the rapids – rafting Instead Annex 11.2: Yongchun of dams
Along the downstream reach of the tributary: A WWF mission made brief field observations and (i) Undermining of the slopes and slumping took pictures on all the 170 rapids located between (ii) Burying of nut trees in the neighboring fields Gongshan and Liu Ku to understand their localization, their origin, and their potential difficulty for white water Along the Yongchun River itself: uses.
(i) Deposition of sediment (fine gravel and sand The rapids may be classified in three categories depend- over the riverine paddy fields) which are ing on their geomorphologic origin: locally ruined (i) Rapids linked to the constriction of the (ii) Alterations to the riparian forest channel when the alluvial fan impinges into it The length of the impacted reach is about 2-3 km - These alluvial constructions are downstream Waxi and the confluence which commands rejuvenated by floods on the tributaries; most of the transformation. The riverbed morphology boulders have a medium size and can be downstream the tributaries delivering their normal sedi- reworked by the floods of the main river. (ii) Rapids linked to the deposition of large mentary input, is again in equilibrium with land occupa- rounded boulders (several meters in tion. The elevation of the bank is approximately 1.5 m diameter) originating from tributaries into above the bed, irrigation intakes are not destroyed, and the Nu River - Usually, they originate from
88 BCI International Symposium Proceedings. steep and narrow gorges drained by powerful torrents (or debris flow torrents, Table 11.1: Number of rapids between Bingzhongluo and when the boulders are transported inside Fugong (Upstream) mud). During floods of the tributary, all sizes of material reach the Nu River, the Big Valley Alluvial boulders Large floods of which clean up the deposits % % % Total type fan from rockfall letting only the bigger boulders. tributary (iii) Rapids linked to large rock falls from steep V gorges 41 79 4 8 7 13 52 valley slopes shaped into metamorphic rocks basin for instance - This material is usually coarse U gorges 12 55 6 27 4 18 22 and not rounded due to its origin. Total 53 72 10 14 11 14 74 The rapids have been attributed to one of two characteristic types of valleys: (i) V-shaped valleys or open gorges with Table 11.2: Number of rapids between Fugong and Liu moderate slopes facilitating agriculture Ku (Downstream) and settlements - These valleys are shaped into soft rocks (schists, weak sandstones) Big (ii) U-shaped valleys, with steep or vertical Valley Alluvial Large % boulders % % Total slopes, few hamlets or farms, narrow bed, type fan from rockfall fast-flowing waters along steep reaches - tributary These valleys are shaped into hard rocks V gorges 50 77 7 11 8 12 65 (limestone = canyon, granite, resistant basin metamorphic rocks) U gorges 17 45 11 29 10 26 38 Total 67 56 18 17 18 17 103 Two reaches have been selected: (i) Between Bingzhongluo and Fugong (ii) Between Fugong and Liu Ku Table 11.3: Number of rapids between Bingzhongluo and Comments Liu Ku (i) At the valley scale, 2/3 of the rapids are linked to alluvial fans, i.e., to river con Big Valley Alluvial boulders Large striction linked to torrential processes. % % % Total type fan from rockfall The other rapids are shared into two tributary equal parts, boulders and blocks from V gorges 91 78 11 9 15 13 117 rock falls basin (ii) If one considers the total population of U gorges 29 48 17 28 14 24 60 rapids of the two reaches, the upper one Total 120 67 28 16 29 17 177 has more rapids linked to alluvial fans than the downstream one, probably because the upper part is higher and drained by more torrents. (iv) Considering the type of valley, V gorges (iii) In the downstream reach, boulder and basins are prone to the large rapids and rock falls are more represented, development of alluvial fans, while U probably because of the steepness of the gorges are prone to the other types linked valley slopes. to active slope processes
Watershed Management in the. Yangtze, Mekong, and Salween Rivers 89 Excellent quality of water The quality of water is excellent since the cities, 12. Wetland Connectivity and Fish Migration in 1 even if they do not purify their releases, are small. Few the Lower Mekong Basin industries, of very small size, are present along the rivers Poulsen A.F., Ouch Poeu, of the watershed. This situation should not change in Sintavong Viravong, the near future and might even improve if waste waters Ubolratana Suntornratana, are collected and treatment plants are constructed. Nguyen Thanh Tung and Barlow, C.
Sand beaches Summary When rafting downstream a river, it is important to be able to stop the raft on soft sandy beaches to take a The fisheries of the Mekong are immensely im- rest or to spend the night. This section of the river offers portant both nutritionally and economically for the liveli- many “pocket” beaches on both sides of the river, even hoods of people in the basin. The fisheries are exploited during high waters. Usually those beaches are found predominantly by the poorer sections of society, and so downstream alluvial fans where the counter currents have an important role in terms of food security as well. decrease velocity and allow the depositions of suspended The high yield from the river is primarily due to the an- sediments. These beaches will disappear if a dam on nual flood, flat topography providing extensive flood the main stem is constructed upstream. plains, and high level of exploitation. Hamlets and villages where meeting people Migration is a key feature of many commercially Some small market towns like Gongshan, Fugong important species. Three major migration areas have can provide accommodation and necessity products. been identified on the mainstream, although there is Just downstream Bingzhongluo, in the protected area, a considerable overlap and mixing between them. There hamlet of the Dulong people (the mountain of supernatural are no constructed barriers on the mainstream below turtles) provides accommodation and ethnic food. the People’s Republic of China (PRC), so the connectivity between seasonally important habitats is intact. These habitats can be broadly described as flood plains for feeding and growth, dry season refuges (particularly deep pools in the main river and larger tributaries), and spawning areas. Maintenance of healthy fisheries in the Mekong will require that connectivity between these areas is preserved.
12.1 Introduction
The fishery of the Mekong River Basin is probably one of the largest and most important inland fisheries in the world. The main reasons for this are: (i) The river contains an unusually large number of species (probably more than 1,200).
1 This paper is adapted from Poulsen A.F., Ouch Poeu, Sintavong Viravong, Ubolratana Suntornratana and Nguyen Thanh Tung, 2002. Fish migrations of the Lower Mekong River Basin: implications for development, planning and environmental management. MRC Technical Paper No. 8, Mekong River Commission, Phnom Penh.
90 BCI International Symposium Proceedings. (ii) A large number of people are involved in 12.2 Fish migration in the Mekong River fisheries activities in the basin. (iii) Large areas of floodplain remain accessible In a multi-species fisheries environment such as for fish production. the Mekong system, it is useful to distinguish different (iv) The annual flood pulse, which drives fish species groups based on different life history strategies. production on the floodplain, has not been The broadest classification of fishes in the Mekong greatly affected, in contrast to most other fisheries context is the classification of fishes into black- large rivers. fishes and whitefishes (Welcomme 1985). (v) In most of the basin, large-scale fish migrations provide the basis for the seasonal Black-fishes are species that spend most of their fisheries along their migration routes. These life in lakes and swamps on the floodplains adjacent to migrations have not been affected as in most river channels and venture into flooded areas during the other large rivers. flood season. They are physiologically adapted to with- stand adverse environmental conditions, such as low The issue of fish migration is of particular interest oxygen levels, which enable them to stay in swamps and to the MRC, since many migratory fish stocks constitute small floodplain lakes during the dry season. They are transboundary resources, i.e. resources shared between normally referred to as non-migratory, although they two or more of the riparian countries. perform short seasonal movements between permanent and seasonal water bodies. Examples of black-fish Fish migrations in the Mekong River Basin are of species in the Mekong are the climbing perch (Anabas great significance to the local people. Many fishing testudineus), the clarias catfishes (e.g. Clarias batrachus) communities along the rivers of the basin have adapted and the striped snakehead (Channa striata). their way of life to the seasonal patterns of fish migrations. A few of the most conspicuous examples White-fishes, on the contrary, are fishes that are: depend on habitats within river channels for the main part of the year. In the Mekong, most white-fish species (i) Throughout the basin, villages have adapted venture into flooded areas during the monsoon season, to the seasonal migration of groups of small cyprinid fishes belonging to the genus returning to their river habitats at the end of the flood Henicorhynchus which takes place at the season. Important representatives of this group are some Cyclocheilichthys enoplos beginning of the dry season (October- of the cyprinids, such as and Cirrhinus microlepis, as well as the river catfishes of the February). These migrations support very family Pangasiidae. large fisheries and the surplus yield creates the foun-dation for a variety of fish processing activities. Recently, an additional group within this classifi- (ii) From December to February, villages near cation has been identified. It is considered an interme- certain sites along the river exploit the seasonal diate between black-fishes and white-fishes and there- spawning migration of the large cyprinid fore has been referred to as greyfishes (Welcomme Probarbus jullieni (and also Probarbus 2001). Species of this group undertake only short labeamajor), one of the high profile ‘flagship’ migrations between floodplains and adjacent rivers and/ species of the Mekong. or between permanent and seasonal water bodies within et al (iii) The seasonal spawning migration of the the floodplain (Chanh . 2001; Welcomme 2001). giant Mekong catfish (Pangasianodon gigas) has experienced a dramatic decline Virtually all fishes of the Mekong are exploited and in recent decades, and in 2006 fishers have therefore constitute important fishery resources. All fishes are also vulnerable to impacts from development activities, voluntarily stopped fishing for the giant including transboundary impacts. However, long- catfish at the only remaining traditional distance migratory species (i.e. white-fish species) are fishery, in northern Thailand. particularly vulnerable because they depend on many
Wetland Connectivity and .Fish Migration in the Lower Mekong Basin 91 different habitats, are widely distributed, and require migrate from dry-season shelters to the floodplains to migration corridors between different habitats. For these feed. Thus, the life cycles of migrating fish species eco- important fishes, the term ‘transboundary’ has double logically connect different areas and habitats of rivers. meaning: they are transboundary resources that may be From their point of view, the river basin constitutes one affected by transboundary impacts of human activities. ecological unit interconnecting upstream spawning habitats with downstream rearing habitats. 12.3 Important fish habitats in the lower Mekong basin 12.3.2. Dry season refuge habitats
12.3.1. Flood plains When water recedes from flooded areas at the end of the flood season, fishes have to move out of the The flood-pulse during the monsoon season is the seasonal habitats and return to their dry season refuges. driving force of the Mekong River ecosystem. As is the In a broad sense, two types of dry season refuge habitats case for most tropical floodplain river systems, the seasonal exist: permanent floodplain lakes and swamps; and river habitats on the floodplains created by the monsoon floods channels. Floodplain lakes are mainly used by the group are the main “fish production sites” of the Mekong of black-fish species, whereas river channel refuges are (Sverdrup-Jensen 2002). These areas are very rich in mainly used by whitefishes. nutrients, food and shelter during the flood season, and most Mekong fishes depend on these resources for at Within rivers, deep areas are particularly important least certain parts of their early life cycle. as dry season refuges. These areas are most often referred to as deep pools. Certain stretches of the The main floodplain habitats occur in the lower Mekong River emerge as important locations for deep part in southern Cambodia and the Mekong Delta in Viet pools. In particular, the stretch from Kratie to the Khone Nam. The most important floodplain complex is associ- Falls in northern Cambodia contains a large number of ated with the Tonle Sap River/Great Lake system in deep pools that are used by many species during the Cambodia. In the upper parts of the basin, in Thailand dry season. The river stretch immediately upstream from and Lao PDR, floodplain areas are smaller and are mainly the Khone Falls, as far upstream as Khammouan/Nakhon associated with Mekong tributaries. In the upper parts Phanom, and the stretch from the Loei River to Luang of the basin, i.e. approximately upstream from Vientiane, Prabang also contains many deep pool habitats. floodplain habitats become more and more scarce as the river gradually changes to become a typical moun- 12.3.3. Spawning habitats for migratory fishes tain river with steep riverbanks. Although little is known about spawning habitat The migratory behavior of many fishes is an requirements for most Mekong fishes, spawning habitats adaptation to these hydrological and environmental are generally believed to be associated with: (i) rapids conditions. The timing of migrations is “tuned” to the and pools of the Mekong mainstream and tributaries; and flood-pulse, and although different species may have (ii) floodplains (e.g., among certain types of vegetation, tuned their migrations in different ways, some general depending on species). patterns can be elucidated. In general, most species spend the dry season in refuge habitats. The arrival of River channel habitats are, for example, used as the monsoon and its floodwaters is an ecological trigger spawning habitats by most of the large species of for both spawning and migration. Spawning at the right pangasiid catfishes and some large cyprinids such as time and place will enable offspring to enter floodplain Cyclocheilichthys enoplos, Cirrhinus microlepis, and habitats, where they can feed. Some species spawn on Catlocarpio siamensis. Floodplain habitats are used as the floodplain itself, whereas others migrate upstream to spawning habitats, mainly by black-fish species. Other spawn within the river channel and then rely on the river species may spawn in river channels in the open-water current to bring the offspring to the downstream rearing column and rely on particular hydrological conditions to habitats. Many larger juveniles and adult fish actively distribute the offspring (eggs and/or larvae) to down- stream rearing habitats. 92 BCI International Symposium Proceedings. Information on spawning habitats for migratory spe- e.g., in deep pools along the Kratie-Stung Treng stretch, cies in the river channels of the Mekong Basin is scarce. towards the floodplain habitats in southern Cambodia Only for very few species, such as Probarbus spp. and and the Mekong Delta in Viet Nam. Here they spend the Chitala spp., spawning habits are well described because flood season feeding in the fertile floodplain habitats. these species have conspicuous spawning behavior at Some species spawn on, or near the floodplain, whereas distinct spawning sites. For most other species, in others spawn far upstream, i.e., above Kratie, and rely particular for deep-water mainstream spawners such as on the water current to bring offspring to the floodplain the river catfish species, spawning is virtually impossible rearing areas. to observe directly. Information about spawning can instead be obtained through indirect observations such One of the key factors for the integrity of this system as observations of ripe eggs in fishes. For fishes that is the Tonle Sap/Great Lake system—a vast and complex spawn in main river channels, spawning is believed to system of rivers, lakes and floodplains. As a result of occur in stretches where there are many rapids and deep increasing water discharge from the Mekong River at pools, e.g. (i) the Kratie–Khone Falls stretch; (ii) the the onset of the flood season, the water current of the Khone Falls to Khammouan/Nakhon Phanom stretch; Tonle Sap River changes its direction, flowing from the and (iii) from the mouth of the Loei River to Bokeo/Chiang Mekong into the Tonle Sap River and towards the Great Khong. Lake. This enables fish larvae and juveniles to enter the Tonle Sap from the Mekong by drifting with the flow. 12.4 Migration systems in the Mekong Together with the floodplains of the Mekong Delta in Viet Nam, these floodplains are the main “fish factories” of Three main migration systems have been identi- the lower basin. fied in the lower Mekong River mainstream. These three systems have been termed the Lower Mekong Migration An important group of species, which undertakes System (LMS), the Middle Mekong Migration System this type of migration, belongs to the genus Henicorhynchus. (MMS), and the Upper Mekong Migration System (UMS). In terms of fisheries output, these fishes are among the most important of the Lower Mekong. For example, in It is important to note that the different migration the Tonle Sap River dai fishery, species of the genus systems are inter-connected and, for many species, over- Henicorhynchus account for 40 percent of the total lapping. Furthermore, their classification as ‘systems’ is annual catch (Lieng et al 1995, Pengbun and Chanthoeun based on the fact that migration patterns are different in 2001). Larger species, such as Catlocarpio siamensis, each. In general, the migration patterns are determined Cirrhinus microlepis, Cyclocheilichthys enoplos, and by the spatial separation between dry season refuge Probarbus jullieni, as well as several members of the habitats and flood season feeding and rearing habitats family Pangasiidae, also participate in this migration within each system. This again demonstrates how system. migration habits are deeply embedded in the environment within which they occur. The Sesan tributary system (including the Sekong and Srepok Rivers) deserves special mention. This 12.4.1 The Lower Mekong Migration System (LMS) important tributary system is intimately linked with the LMS, as evidenced by many species such as This migration system covers the stretch from the Henicorhynchus sp. and Probarbus jullieni extending their Khone Falls downstream to southern Cambodia, including migration routes from the Mekong River mainstream into the Tonle Sap system, and the Mekong Delta in Viet Nam. the Sesan tributary system (Chanh Sokheng, personal The migrations in this region are driven by the spatial communication, December 2001). In addition, the Sesan and temporal separation of flood-season feeding and tributary system also appears to contain its own rearing habitats in the south with dry-season refuge habitats migration system. in the north. The rise in water levels at the beginning of the flood season triggers many migrating fishes to move Many of the species (e.g., all the species from the dry season habitats just below the Khone Falls, mentioned above) are believed to spawn within the
Wetland Connectivity and .Fish Migration in the Lower Mekong Basin 93 Mekong mainstream in the upper stretches of the and part of the middle migration system as a mature adult. system (from Kratie to the Khone Falls, and beyond) at For example, important species such asCyclocheilichthys the beginning of the flood season in May-June. Eggs enoplos and Cirrhinus microlepis are mainly reported as and larvae subsequently drift downstream with the juveniles and sub-adults in the LMS and as adults in the current to reach the floodplain feeding habitats in south- MMS. The same may be true for a number of other ern Cambodia and Viet Nam. species, including the Giant Mekong Catfish. For other species, it may be the case that genetically distinct 12.4.2 The Middle Mekong Migration System (MMS) sub-populations are involved in the different migration systems. However, further research is needed before From just above the Khone Falls and upstream to conclusions can be made on this issue. the Loei River, Thailand, the migration patterns are determined by the presence of large tributaries connect- 12.4.3 The Upper Mekong Migration System (UMS) ing to the Mekong mainstream. Within this section of the river, floodplain habitats are mainly associated with the The third migration system occurs in the upper tributaries (e.g., the Mun River, Songkhram River, Xe section of the river, approximately from the mouth of the Bang Fai River, Hinboun River, and other tributaries), so Loei River and upstream towards the border between Lao fishes migrate seasonally along these tributaries from PDR and the PRC (probably continuing into PRC, although mainstream dry season habitats to floodplain feeding/ we have no data to confirm this). This section of the river is rearing habitats. At the onset of the flood season, fishes characterized by its relative lack of floodplains and major generally move upstream within the Mekong main- tributaries (although there are some floodplains associated stream until they reach the mouth of one of these major with tributaries in the far north, i.e. the Nam Ing River, in tributaries. They swim up the tributary until they can move Thailand). This migration system is dominated by up- into floodplain habitats. At the end of the monsoon, fishes stream migrations at the onset of the flood season, from move in the opposite direction, from floodplains through dry season refuge habitats in the main river to spawning the tributary river and, eventually, to the Mekong main- habitats further upstream. This is also a multispecies stream, where many fishes spend the dry season in deep migration system, and some of the species participating pools. in the previous migration systems further downstream also participate in this migration, although the total This is of course a very simplistic description of number of species may be lower. the main movements, and there are considerable variations in the general pattern, both between different The most conspicuous member of this migration species and within species. Furthermore, there are system is the Giant Mekong Catfish, Pangasianodon complex interconnections to the lower migration system gigas. Henicorhynchus sp., which is so important for described above, i.e. many of the same species participate the fishery further downstream, is also important along in both systems, either as genetically-distinct populations, this stretch of the river. For example, a fisherman from or at different stages of their life cycle. Bokeo in northern Lao PDR reported a catch of between 100 and 200 kg per day of this fish during the month of It is important to emphasize that the two different October 2001. This may be a genetically distinct stock migration systems (LMS and MMS) are not “closed” compared with downstream stocks (research is ecological systems, isolated from each other. The two currently underway to determine if this is the case). systems are in fact interconnected. Many species are known to migrate over the Khone Falls, both during the Whereas the LMS and the MMS are inter- flood season and during the dry season, thereby connected to a large degree, the UMS appears to be demonstrating that the Falls is not a barrier for fish move- relatively isolated, with little “exchange” between the UMS ments (Baird 1998; Roberts 1993; Roberts and Baird and the other migration systems. Deep pool habitats 1995; Roberts and Warren 1994; Singanouvong et al. are rare for a long stretch of the Mekong between the 1996a and 1996b). For some species, the same fish MMS and the UMS. Along the same stretch, observa- may be part of the lower migration system as a juvenile, tions of mature fishes with eggs are also rare. This
94 BCI International Symposium Proceedings. indicates that for many migratory species, the stretch 12.5 Key issues for management of the migration from Paksan to the mouth of the Loei River is a systems functional barrier. For management of migratory fishes, the most Interestingly, the geographical extent of these three important issue is that critical habitats are maintained in migration systems corresponds with elevation contours time and space. This includes the maintenance of con- of the lower Mekong Basin. In particular, there is a clear nectivity between them, i.e., through migration corridors. area overlap between the extent of the LMS and the The importance of the annual hydrological pattern is extent of the 0-149 m elevation of the Mekong Delta/ paramount, including its role in the creation of seasonal Cambodian lowlands. A correlation also occurs between floodplain habitats, as well as its role as a distributor of the MMS and the 150-199 m elevation represented largely fish larvae and juveniles through passive drift. by the Korat Plateau. The UMS correlates with a plateau of 200-500 m elevation. This demonstrates how fish The following key ecological attributes for migration has evolved within the surrounding physical migratory species are identified, based on the three environment. major migration systems described above along the Mekong mainstream.
Table 12.1: The Lower Mekong Migration System (LMS)
General ecological attributes Mekong-specific ecological attributes
Dry season refuge habitats: Deep pools in the Kratie-Stung Treng stretch of the Mekong mainstream. These habitats are extremely important for recruitment for the entire lower Mekong Basin, including floodplains in southern Cambodia (including the Tonle Sap/Great Lake System) and the Mekong Delta in Viet Nam. Flood season feeding and rearing Floodplains in the Mekong Delta in Viet Nam, in southern Cambodia, and in the Tonle Sap system. habitats: These habitats support the major part of Mekong fisheries. Spawning habitats: Rapids and deep pool systems in the Kratie – Khone Falls, and in the Sesan catchment. Floodplain habitats in the south (e.g. flooded forests associated with the Great Lake). Migration routes: The Mekong River from Kratie – Stung Treng to southern Cambodia and the Mekong Delta in Viet Nam. Between the Mekong River and the Tonle Sap River (longitudinal connectivity). Between floodplain habitats and river channels (lateral connectivity). Between the Mekong mainstream and the Sesan subcatchment (including Sekong and Srepok Rivers). Hydrology: The annual flood pattern responsible for the inundation of large areas of southern Cambodia (including the Tonle Sap system) and the Mekong Delta is essential for fisheries productivity of the system. The annual reversal of the flow in the Tonle Sap River is essential for ecosystem functioning. If the flow is not reversed (or if reversal is delayed), fish larvae drifting from upstream spawning sites in the Mekong River cannot access the important floodplain habitats of the Tonle Sap System. A delayed flow reversal would also lead to a reduced floodplain area adjacent to the river and lake, and thus, reduced fish production. Changed hydrological parameters, e.g., as a result of water management schemes, result in changed flow patterns, which in turn may change sedimentation patterns along the river. Examples of this already exist in some tributaries where hydropower dams have been constructed, resulting in sedimentation, and thus in disappearance of deep pool habitats.
Wetland Connectivity and .Fish Migration in the Lower Mekong Basin 95 Table 12.2: The Middle Mekong Migration System (MMS)
General ecological attributes Mekong-specific ecological attributes
Dry season refuge habitats: Deep pool stretches of the Mekong mainstream and within major tributaries. Of particular importance is the stretch from the Khone Falls to Kammouan/Nakhon Phanom. Deep pools immediately downstream from the Khone Falls also are important for this migration system (thereby linking the MMS and the LMS). Flood-season feeding and Floodplains of this system are mainly associated with major tributaries (e.g. the Mun/Chi system, rearing habitats: Songkhram River, Xe Bang Fai River, Hinboun River). Spawning habitats: Rapids and deep pool systems in the Mekong mainstream (particularly along the stretch from the Khone Falls to Khammouan/Nakhon Phanom). Floodplain habitats associated with tributaries. Migration routes: Connections between the Mekong River (dry season habitats) and major tributaries (flood season habitats). Access to floodplain habitats from main river channels must be maintained. Hydrology: The annual floods that inundate floodplain areas along major tributaries must be maintained.
Table 12.3: The Upper Mekong Migration System (UMS)
General ecological attributes Mekong-specific ecological attributes
Dry season refuge habitats: Occur throughout the extent of the UMS, but are most common in the downstream stretch from the mouth of the Loei River to Louang Prabang. Flood season feeding and rearing The UMS occurs within a section of the Mekong, which is dominated by mountainous rivers with habitats: limited floodplain habitats. Floodplain habitats therefore play a less important role, compared to MMS and LMS. Large catches of Henicorhynchus sp. in Bokeo Province of Lao PDR suggest that even the limited areas of available floodplains are important. Spawning habitats: Spawning habitats occur mainly in the upper stretches of the system. They are mainly situated in stretches with alternating rapids and deep pools. Migration routes: Migration corridors between downstream dry season refuge habitats and upstream spawning habitats should be maintained. Hydrology: The annual flood pattern that triggers fish migrations and causes inundation of floodplains.
12.6 Khone Falls species have been documented through intensive sam- pling programs over the past decade (Baird 1998; The Khone Falls are situated on the border Roberts 1993; Singanouvong et al. 1996a and 1996b). between Cambodia and Lao PDR and thus also demar- Thus, the LMS and the MMS are in fact inter-connected. cate the “border” between the LMS and the MMS. It is important to emphasize that the Khone Falls are not a What makes the LMS and the MMS different from barrier to migration. The Khone Falls area is probably each other is not that they are geographically isolated. the most studied site along the whole of the Mekong, The difference is that in the LMS, the dry season refuge and large-scale migrations involving a large number of habitats are situated upstream from the flood season
96 BCI International Symposium Proceedings. feeding and rearing habitats, whereas in the MMS, they Singanouvong, D., C. Soulignavong, K. Vonghachak, B. Saadsy are situated downstream from the flood season & T. J. Warren. (1996a). The main dry-season fish migrations of the Mekong mainstream at Hat Village, Muang Khong habitats. Therefore, at the onset of the flood season, in District, Hee Village, Muang Mouan (Sic) District and Ban the LMS fishes migrate downstream towards flood Hatsalao Village, Paxse. IDRC Fisheries Ecology Technical season habitats, whereas in the MMS, fishes migrate Report No. 3. 131 pp. upstream towards flood season habitats. As Singanouvong, D., C. Soulignavong, K. Vonghachak, B. Saadsy mentioned earlier, in some cases the same fish may & T. J. Warren. (1996b). The main wet-season migration through participate in both migration systems at different stages Hoo Som Yai, a steep-gradient channel at the great fault line of their life cycle. on the Mekong River, Champassack Province, Southern Lao PDR. IDRC Fisheries Ecology Technical Report No. 4. 115 pp.
The UMS may be relatively isolated from the two Sverdrup-Jensen, S. (2002). Fisheries in the Lower Mekong migration systems further downstream. It thus may Basin: status and perspectives. MRC Technical Paper No. 6. represent genetically distinct populations of fishes. If Mekong River Commission, Phnom Penh. 103 pp. so, these populations should be regarded as separate Welcomme, R. (1985). River Fisheries. FAO Fisheries Techni- management units. Further research, particularly on cal Paper No. 262. 330 pp. population genetics, is needed to clarify this issue. Welcomme, R. (2001). Inland Fisheries Ecology and Manage- References ment. Fishing News Books, Blackwell Science, Oxford. 358 pp.
Baird, I. G. (1998). Preliminary fishery stock assessment results from Ban Hang Khone, Khong District, Champasak Province, Southern Lao PDR. Technical Report. Environmental Protection and Community Development in the Siphandone Wetland, Champasak Province, Lao PDR. Funded by European Union, implemented by CESVI. 112 pp.
Chanh, S., C. K. Chhuon & J. Valbo-Jorgensen. (2001). Lateral migrations between Tonle Sap River and its flood plain. p. 102- 111. In: Matics, K.I. Editor. Proceedings from the Third Technical Symposium on Mekong Fisheries, 8-9 December 2000. Mekong Conference Series No. 1. Mekong River Commission, Phnom Penh.
Lieng, S., C. Yim & N. P. van Zalinge. (1995.) Freshwater fisheries of Cambodia, I: the bagnet (dai) fishery in the Tonle Sap River. Asian Fisheries Science, 8:255-262.
Pengbun, N. & H. Chanthoeun. (2001). Analysis of the dai catches in Phnom Penh/Kandal. p. 44-51. In: Matics, K. I. Editor. Proceedings from the Third Technical Symposium on Mekong Fisheries, 8-9 December 2000. Mekong Conference Series No. 1. Mekong River Commission, Phnom Penh.
Roberts, T. R. (1993). Artisanal fisheries and fish ecology below the great waterfalls of the Mekong River in Southern Laos. Natural History Bulletin Siam Society, 41:31-62.
Roberts, T. R. & I. G. Baird. (1995). Traditional fisheries and fish ecology on the Mekong River at Khone Waterfalls in south- ern Laos. Natural History Bulletin Siam Society, 43:219-262.
Roberts, T. R. and T. J. Warren. (1994). Observations on fishes and fisheries in Southern Laos and Northeastern Cambodia, October 1993 – February 1994. Natural History Bulletin of the Siam Society. 42:87-115.
Wetland Connectivity and .Fish Migration in the Lower Mekong Basin 97 generated will help policy makers assess different 13. Analyzing the Impacts of the GMS Biodiversity options for the BCI and foresee what consequences their Conservation Corridors Initiative: A Toolkit decisions may have on ecosystem functions and human of Policy Relevant Indicators and Models wellbeing. Ben ten Brink, Tonnie Tekelenburg, Rob Alkemade, Mireille de Heer, Figure 13.1 Fleur Smout, Michel Bakkenes, Jan Clement, Mark van Oorschot,
Jan Janse Assessment tools
indicators monitoring modelling
Summary 100% baseline biodiversity/ policy target good & services/ The Greater Mekong Subregion (GMS) is under- food & income going rapid economic developments, which are expected policy measure 1 policy measure 2 to have a severe impact on the region’s biodiversity. The International Biodiversity (IB) Project of the Netherlands policy measure 3
0% Environmental Assessment Agency (MNP) offers past present future indicators, models, and an assessment framework to analyze and assess biodiversity change in the past, present, and future as a result of human activities. These 13.2 Tool 1: What is changing - indicators and could be useful tools to support policy makers in exploring monitoring and assessing policy options. This paper presents a generic outline of the tools offered by the IB Project, with Indicators keep track of changes in biodiversity, an emphasis on their potential use for regional policy ecosystem goods and services, and human well-being, support. in the context of policy goals. The challenge is to create tangible and powerful indicators that accurately describe 13.1 Introduction trends in biodiversity loss and ecosystem goods and services. Indicators give meaning to data and must be The Greater Mekong Subregion Biodiversity quantitative, sensitive, affordable, measurable, and Conservation Corridors Initiative (BCI) is meant to universally applicable. Once indicators have been counterbalance the negative effects of rapid economic designed, cost-efficient monitoring programs are needed development on the region’s biodiversity by safeguarding to collect data in the “real world” for reliable and frequent a significant part of the area for nature. Major questions updates. regarding the design of the Corridor will include its size, location, and the benefits for biodiversity it will have. At 13.2.1 The 2010 biodiversity indicators the same time the question is how the livelihoods of people in the area can be secured. To evaluate progress towards the 2010 target, the Convention of Biological Diversity (CBD) has selected a The IB Project of the MNP offers tools to analyze set of headline indicators (decision VII/30). These biodiversity change in the past, present, and future as a indicators cover, among others, the following focal result of human pressures and conservation measures. areas: (i) status and trends in biological diversity, e.g., The main tools relevant for the BCI will be biodiversity indicators on ecosystem extent, species abundance, indicators and models. The indicators serve to describe status of threatened species, coverage of protected changes in biodiversity in a policy relevant way, whereas areas; (ii) sustainable use; (iii) pressures, e.g., nitrogen the models predict the effects of changes in the land- deposition, climate change; and (iv) ecosystem integrity scape and the environment on biodiversity in terms of and goods and services, e.g., marine tropic index, fresh- the same indicators (Figure 13.1). The information water quality. The coherence between the indicators is
98 BCI International Symposium Proceedings. of utmost importance, as ultimately the set of indicators Figure 13.2 will have to tell the story of biodiversity loss, the causes of change, what we can do about it, and why this is important.
Processes have been started at the global, regional, and national levels to implement the indicators for the 2010 target. The IB project contributes to this (e.g., in the project Streamlining European Biodiversity Indicators for the 2010 target) and applies the indicators in modeling and assessments. Furthermore, the project works with common socioeconomic indicators and Millennium Development Goals (MDG) indicators for human well-being, such as the gross national product per capita, calories food intake, and access to clean water.
13.2.2 Supporting partners on indicators and monitoring
The IB project supports partners in establishing indicators and monitoring. It uses a step-wise approach, focused at the key questions of the policy makers (Figure An example of collaboration in this area is the 13.2). Data are collected and the indicators calculated. project “Biodiversity Indicators for National Use” (BINU), In an iterative process the results are fed back to the where the IB project together with the United Nations policy makers to see whether the indicators sufficiently Environment Programme (UNEP) World Conservation answer their questions. The resulting indicators are used Monitoring Centre supported four developing countries to produce an indicator-based national ecosystem or (Philippines, Kenya, Ukraine, and Ecuador) in the biodiversity assessment. For frequent updates of the production of indicator-based assessments. Among the indicators, a permanent monitoring system is needed. successfully tested indicators were the MSA (species abundance) and ecosystem extent. Reports from the project can be found on www.unep-wcmc.org.
Box 13.1: Homogenization and the mean species abundance index
Biodiversity loss consists of loss of natural area and changes in species abundance in the remaining area. The change in species is generally characterized by the decrease in abundance of many original species and the increase in abundance of a few other—opportunistic—species, as a result of human activities. Extinction is “just” the last step in a long degradation process. As a result, many different ecosystem types are becoming more and more alike, the so-called homogenization process (Pauly et al 1998; Ten Brink 2000; MEA 2005).
The Mean Species Abundance (MSA) is an index which addresses the homogenization process by dealing only with the original species in an area. Thus, it is avoided that the increasing opportunistic species mask the loss in the original “ Fishing down the food chain” (Pauly et al 2001) species. The IB project applies the MSA, as a universal end term, to give meaning to monitoring data and in modeling studies.
Analyzing the Impacts of the GMS Biodiversity Conservation Corridors Initiative: A Toolkit. of Policy Relevant Indicators and Models 99 1.0
0.5 Index
0 1981 1990 2000
The Kenya WildLife Services and various researchers have over the decades censused water birds on several lakes in Deforestation trend in the central Andes region in Kenya. As a result many time series of population size are Ecuador (Cotopaxi, 1979 - 2004, and projection 2015). The available. Though these data are too complex in their raw example shows how side-by-side presentation of maps allows form to be interpreted by most people, they can be simplified people to visually identify the ecosystems under pressure. into meaningful indicators in different ways to answer different questions. Calculating a multi-species indicator (in Source: Ecociencia, Ecuador. this case for 8 bird species on lake Naivasha) using the method of the Living Planet Index provides an overview of the trend in species status over time in these wetlands and by implication of the trend in biodiversity status more generally.
13.3 Tool 2: Why is it changing - biodiversity modeling model EcoOcean of the University of British Colombia. The impacts of the various pressures are combined into Models capture knowledge on the relationship the overall change in biodiversity in terms of extent of between human activities, the environment and ecosystems and species abundance and distribution, in biodiversity. Thus they can answer questions on the line with the CBD 2010 indicators. impacts of policies on biodiversity, ecosystem goods and services and human wellbeing. A model may also help 13.3.2 Collaboration on modeling to find the major causes of change and the most impacted areas. Furthermore models are used to check When regional data and expert knowledge on whether and when targets can be met. species are available, the generic GLOBIO 3 model can be elaborated into a region-specific biodiversity model. 13.3.1 The GLOBIO 3 Model To this end, partners develop so-called ecoprofiles, containing habitat and climate requirements and infor- The Netherlands Environmental Assessment mation on distribution and ecology of species. Using Agency, the UNEP World Conservation Monitoring this information, the model predicts changes in species Centre and UNEP-GRID Arendal developed the GLOBIO distribution and abundance as an impact of land use, (Global Methodology for Mapping Human Impacts on the climate change, or other pressures. Based on the Biosphere) 3 model. GLOBIO 3 uses quantitative results for the individual species, aggregated indices relationships between environmental pressure factors can be calculated across the species. and biodiversity, based on state-of-the-art knowledge from literature. Pressure factors comprise climate Regional biodiversity models have been change, land use change, nitrogen deposition, fragmen- developed in Africa and are currently being developed in tation, infrastructure and settlements. The model links to Meso-America, the Northern Andes region, and Ukraine. several other global models, including the global fisheries
100 BCI International Symposium Proceedings. Figure 13.3: Biodiversity relationships in the GLOBIO 3 Model - impact of nitrogen, infrastructure, land use, and climate change on abundance of original species
1,0 a. b.
0,8 Grassland
0,6 Boreal
Deciduous 0,4 Tundra
0,2 Tropical rainforest Grasslands Remaining original species richness 0,0 0 5 10 15 20 0,00 0,25 0,50 0,75 1,00 1,25 1,50 1,75 2,00 Exceedance of critical loads for nitrogen (meq m2 yr-1) Road density (km road km-2)
1,0 c. d. Tundra 0,8 Boreal 0,6 Deciduous
Grassland 0,4
0,2 R2 = 0,70, p<0.01
Remaining original species richness 0,0 1 2 3 4 5 6 7 0,0 0,5 1,0 1,5 2,0 2,5 3,0 3,5 Landuse category Temperature change (oC)
13.4 TOOL 3: Why is it important - biodiversity- level of well-being is reached, some biodiversity can be poverty linkages regained (b). In other cases, biodiversity loss stabilizes at a certain level when economic activity continues Poor people are highly dependent on natural to increase (c). However, there is also the risk of resources in their immediate surroundings. They extract overexploitation of the ecosystem, resulting in a loss of timber, fish, crops, and water, and make use of soil biodiversity (d and e) and finally a failure to deliver goods fertility and watershed protection as well as non- and services, and consequently, a decline in human well- material benefits. If more goods are extracted than being (e). generated, livelihoods eventually will become at stake. The conceptual framework (Figure 13.5) of the Millennium Given these possible pathways the key questions Ecosystem Assessment shows how human wellbeing is on the biodiversity-poverty relationship are: linked to biodiversity (MEA 2004). (i) How can poverty be avoided as a result of biodiversity loss? (path e) However, the conceptual framework does not (ii) How can poverty be alleviated without predict how the biodiversity-poverty relationship will work biodiversity loss? (path c) out. In general, one would expect an environmental (iii) How can biodiversity restoration facilitate Kuznets curve (Figure 13.6) that shows increased poverty alleviation? (path b) income at the expense of biodiversity loss (a). This loss might continue for a long time, but ideally, after a certain
Analyzing the Impacts of the GMS Biodiversity Conservation Corridors Initiative: A Toolkit. of Policy Relevant Indicators and Models 101 Figure 13.4: Ecoprofile example Gorilla gorilla
Species name : Gorilla Gorilla
Habitat : African tropical moist forest African tropical mountain forest African tropical lowland forest High human impact African tropical swamp forest Medium-high impact Low-medium impact Land use : Secondary and fragmented forest Primary forest and forest mosaics
Unsuitable land use : Savanna and croplands
Distance to roads : > 1 km
Distance to water : Not relevant High human impact
Altitude : 0-4000 m Medium-high impact
Low-medium impact Min. Area Requirement : 100 km2
Dispersal : 1 km2 (daily average) Modeling primate habitat for current (2000) and future (2030) impact of infrastructure with GLOBIO 2 model. Source: African Mammals Databank. Animal Diversity Web, IUCN, UNEP-WCMC. Source: GRASP.
Figure 13.5 Figure 13.6
Indirect drivers of ▲
change Human well being - Population (a) and poverty reduction - Economic (b)
- Technology
- Lifestyle (meat cons.) Biodiversity Assumed biodiversity resilience threshold
Direct drivers of change (e) (d) - Land use change Life on earth - Climate change ▲ - Biodiversity - Bio fuels GDP per capita
- N-deposition - C-sequestration - Forestry - Infrastructure development
102 BCI International Symposium Proceedings. 13.4.1 How to link biodiversity and poverty (ii) A top-down approach to find globally applicable relationships using literature The constellation of drivers causing both poverty and biodiversity loss is different in every occasion, but Outputs of both approaches are used to build a “lose-lose” situations are probably determined by a few biodiversity-poverty module as part of the GLOBIO 3 typical constellations of drivers, such as “poverty-driven” model, for predicting areas with high risk of poverty and and “capital-driven” mechanisms of change. The IB exploring options to timely avoid poverty traps. project and its partners carry out studies to explore these mechanisms, using two approaches: 13.4.2 Working with partners on biodiversity-poverty case studies (i) A bottom-up approach by case study research, correlating drivers that might cause both poverty and biodiversity loss. So far the A step by step approach supports partners to carry project has set up 10 case studies in selected out case studies. Some of the major steps are: countries in Asia, Africa, and Latin America.
Step 1: Resource user categorization This example shows how biodiversity loss can be decoupled from increasing farm income by intensification of production on a smaller area of land (horizontal arrow) or by diversification of production or sustainable production management in the same area (vertical arrows). Source: UCA-ADAA, Managua Nicaragua
Step 2: Historical land use pattern analysis This example shows that pasture is converted into secondary forests and plantations. Although this is not the same as the former primary forests (which are still in decline), this still is beneficial to biodiversity. Source: CATIE, Turrialba, Costa Rica
Step 3: Future impact assessment This example shows how a major ecosystem good (fodder) is getting lost in a business-as-usual (base- line) scenario, but can be maintained with an alter- native sustainable policy package. Source: T. Struif-Bontkes & J.J. Kessler, Wageningen, The Netherlands
Analyzing the Impacts of the GMS Biodiversity Conservation Corridors Initiative: A Toolkit. of Policy Relevant Indicators and Models 103 Results from different case studies are combined 13.5.1 Global assessments to understand linkages at the global scale. For example, outputs from three Latin-American case studies at farm Models and indicators developed by the IB project and landscape level were used to identify constellations facilitate evaluations of socioeconomic and environmental of drivers that cause a lose-lose situation for biodiversity policies that possibly have effects on land use, climate, and poverty (Figure 13.7). These poor to extremely poor and biodiversity. Using these tools, the IB project communities all depend on natural resources with no contributes or has contributed to UNEP’s Global alternatives and are confronted with increasing scarcity Environmental Outlooks, assessments by the Organisa- of these resources—the so-called poverty trap. Popula- tion for Economic Co-operation and Development tion growth is high to very high and adequate support by (OECD) and the Food and Agriculture Organization way of rural development policies is lacking. (FAO), the Millennium Ecosystem Assessment, and the 2nd Global Biodiversity Outlook. In the latter, six global policy options were explored for their contribution to Figure 13.7 meeting the 2010 biodiversity target:
Constellations of factors causing biodiversity loss (i) Trade liberalization and decrease in human wellbeing (ii) Trade liberalization combined with poverty favourable alleviation in Sub-Sahara Africa Maize and bean (iii) Sustainable meat production farming system in (iv) Bio-energy intensive climate change Chiapas, Mexico unfavourable mitigation (v) Large-scale wood plantation favourable Livestock production (vi) Protection of 20% of all ecoregions system in Central Nicaragua unfavourable The following maps (see page 105) show the mean Highland mixed favourable species abundance of the original species in the base- small farmer line scenario for the years 2000 and 2050. production in unfavourable Cotopaxi, Ecuador 13.5.2 Supporting national and regional assessments
In national or regional assessments, the specific
Access to land physical characteristics and specific policy problems of Suitability of the Population growth land for productionRural developmentPoverty compared the area can be taken into account. Generic indicators policies to national average and models can be fed with national data to analyze 13.5 Tool 4. What can we do about it - assessments causes of biodiversity change and to explore policy options. In collaborative projects, the IB project can Governments on national to global scales develop support partners to produce such assessments. and implement Biodiversity Action Plans, Socioeconomic Development Plans and Poverty Reduction Strategy For national assessments the following information Papers. In these processes, assessments are needed can be used: to answer key questions of policy makers in a coherent (i) Land use data manner: (ii) Data on pressures • What is changing? (iii) Scenarios • Why is it changing? (iv) Policy options • Why is it important? • What can we do about it? An example of a regional assessment is a study on the greater Mekong region in Southeast Asia, with project partner UNEP Regional Resource Center in Asia
104 BCI International Symposium Proceedings. MSA(%)
Figure 13.8
Mean species abundance (as % of original) in 1970 Mean species abundance (as % of original) in 2000 Mean species abundance (as % of original) in 2030
Analyzing the Impacts of the GMS Biodiversity Conservation Corridors Initiative: A Toolkit. of Policy Relevant Indicators and Models 105 and the Pacific. The state and trends of biodiversity were Figure 13.9 assessed for 1970, 2000, and 2030 with the GLOBIO 3 model (Figure 13.8). The historical trend and the business- as-usual scenario for 2030 show an increasing rate of Baseline development - South and East Asia mean species abundance (%) biodiversity depletion. The mean species abundance 100 drops from 70% to 60% to 40%. The graphs (Figure 13.9) Climate Fragmentation show the share of different sectors in the loss of 90 Infrastructure biodiversity under a baseline scenario (left) and the /settlement 80 Nitrogen effects of six global policy options for the reduction of Forestry biodiversity loss (right) in South and East Asia. 70
60 Agriculture 13.6 Lessons learned
50 Biodiversity indicators as selected by the Convention 40 on Biological Diversity enable track changes in biodiversity 2000 2050 over time and its linkages with human well-being. In combination with models, these can help to better understand what has happened in the past, what probably will happen in the future with current policies, and what Change in mean species abundance - South and East Asia % options we have to adjust in the future to fulfill our needs.
These tools help to determine minor and major causes level 2000 and which combinations of measures are most promising 0 from the point of view of different interests and cost- effectiveness. These tools were used and appeared to be useful in UNEP’s Global Environmental Outlook 1-4, -10 in the Millennium Ecosystem Assessment, in the safe landing options analyses for the second Global Biodiversity Outlook as discussed at the 8th Meeting of the Conference of the Parties (COP8) in Brazil, and regional assessments -20 Baseline Liberalisation Climate Sustainable Sustainable Protected on, for example, the Himalayas. Especially in a region 2050 change meat prod. forestry areas such as the GMS, in which socioeconomic development is so rapid and large scale, these tools may be of great What is MNP? help to avoid unchecked development with unnecessary The Netherlands Environmental Assessment losses of ecological, social, and economic capital. Agency (MNP) is an independent assessment agency in the Netherlands. MNP has assumed the role of 13.7 Conclusion and future steps charting the current status of the environment and nature in collaboration with a range of scientific The indicator Mean Species Abundance and the institutes and other national assessment agencies to GLOBIO model can be useful to support policymakers support a broad, ecologically based, political and social in their search into a sustainable future. Moreover, these discussion. Policy makers use MNP research findings generic tools can be further improved by replacing to develop, implement, and enforce environmental policy. generic cause-effect relationships into region-specific The MNP teams share their knowledge and expertise relationships and adding region-specific pressures, policy with national and regional governments, and with options, and species-modules. We propose elaborate supranational bodies around the world. specific adjustments and applications for the GMS Biodiversity Conservation Corridors Initiative iteratively in discussion with the partners in the BCI process.
106 BCI International Symposium Proceedings. Wildlife trade, along with habitat loss, is regarded 14. Transport Infrastructure and Wildlife Trade as the most serious threat to the biological diversity of Conduits in the GMS: Regulating Illegal and the GMS, and in some key areas has been assessed to Unsustainable Wildlife Trade be the greatest threat to remaining animal populations (e.g., Baltzer, et al 2001). In general terms, Cambodia, Chris R. Shepherd, James Compton Lao PDR, and Myanmar act as sources for wildlife trade and Sulma Warne while Viet Nam, Lao PDR, and Thailand play dual roles as source and re-export countries. The People’s Republic of China (PRC) is the greatest consumer country in the Summary GMS, particularly for flora and fauna species used as food and in traditional medicines (World Bank 2005). The Harvest or extraction of wild animals and plants PRC also supplies traditional medicine ingredients (e.g., from the ecosystems of the Greater Mekong Subregion medicinal plants) to its neighbors and globally to the (GMS), largely driven by the demands of domestic and ethnic Chinese diaspora. international trade, has been assessed to be one of the greatest threats to the remaining biological diversity in Local populations of numerous species native, and the six countries. Rates of extraction and trade generally in some cases endemic, to this region have declined have increased over the past two decades with rapid markedly due to over-exploitation to supply persistent economic development and rises in purchasing power, demand. As economies have opened up and continued with many harvesting regimes moving from subsistence to develop in the GMS over the past decade, increased to commercial levels of extraction to satisfy domestic and purchasing power has created a concurrent increase international demand. in the scale of demand for wild animals and plants. This is driven by a combination of increasingly powerful At the same time, access to previously remote local and regional (i.e. within the GMS) markets, and areas has been facilitated by transport infrastructure international market demand from East Asian countries, development: even when habitats remain largely intact, including the PRC; but it is important not to discount the the trend towards the ‘empty forest syndrome’ is of ma- significance of the market in the EU and North America jor concern. The existing protected area systems of the for particular species and products. GMS countries provide the last reserves of habitat and biodiversity, but as expanding transport infrastructure Species found in the GMS countries that have combined with land conversion encroaches on their suffered drastic declines due to over-exploitation include boundaries, these last outposts are likely to become even the more charismatic megafauna such as Tiger Panthera more threatened unless realistic mitigation measures are tigris, Sumatran Rhino Dicerorhinus sumatrensis, Javan designed and implemented to prevent the “economic Rhino Rhinoceros sondaicus, and Asian Elephant corridors” becoming wildlife trade superhighways. Elephas maximus, but also numerous lesser known animal and plant species, such as pangolins Manis spp., 14.1 Background tortoises and freshwater turtles, agarwood Aquilaria spp, timber (e.g., Fokienia hodginsii) and numerous wild “Mandalay, Lashio and Muse cities in Burma are orchid species. now connected by a smooth highway and this is a major trade route between Burma and Yunnan. If people learn The PRC, in terms of both volume and frequency that there is a good price for pangolins in China, they of demand, is the most significant consumer country in go hunting for them. Turtles and otters are rapidly the GMS. The PRC’s demand encompasses animal and disappearing; pangolins and tigers are already extinct in plant specimens and cargoes sourced from other parts most parts of Burma”. – From Myint Zaw, Inter Press of the world, including Southeast Asia, that may be Service News Agency, May 2005. transiting GMS countries en route to end-destination markets. This demand is driven by long-established
Transport Infrastructure and Wildlife Trade Conduits in the GMS: Regulating. Illegal and Unsustainable Wildlife Trade 107 patterns of consumption for use as traditional medicines, implementation and law enforcement to combat illegal wild meat and tonic foods, and is concentrated in the and unsustainable trade, known as the “ASEAN Statement south-eastern provinces of the PRC including Yunnan, on CITES” (see www.aseansec.org/17750.htm). Adding Guangxi and Guangdong. Wildlife enters the PRC weight to this regional commitment was the Prime directly (by road) from Viet Nam, Myanmar, and Lao PDR Minister of Thailand’s opening address to CITES CoP13, at a number of major crossings, the most significant in which he called for the establishment of a ‘wildlife probably being via Viet Nam through the northern Interpol’ to combat wildlife crime. border provinces of Lang Son, Lao Cai, and Quang Ninh. As the north-south transport corridors connecting That same year, the Prime Minister of Viet Nam Myanmar, northern Thailand and Lao PDR to PRC officially endorsed a five-year National Action Plan become more developed, however, this current primacy specifically on improving wildlife trade controls; and two of Viet Nam as a conduit to the PRC may shift. provinces of Viet Nam (Ha Tinh and Quang Binh) signed a transboundary cooperation agreement specific to wild- There are, in addition to the PRC, other centers of life trade with their provincial counterparts in Lao PDR demand within the GMS countries for wildlife and wild- (Bolikhamsay and Khammouane). life products for use as building materials (timber), traditional medicines, ornamental decorations (horns and In 2005, momentum at the ASEAN level stepped antlers, orchids, wild cat skins), luxury souvenirs (ivory, up further with the development and Ministerial endorse- Hawksbill Turtle, Eretmochelys imbricata shell) and pets ment of the ASEAN Regional Action Plan on Trade in (particularly birds and reptiles). Many of these nodal Wild Fauna and Flora 2005-2010 (www.aseansec.org/ points (e.g., across Myanmar, Thailand, Lao PDR, 17753.pdf), under which five objectives address needs Cambodia and Viet Nam) are becoming increasingly for improved legislation, better regional law enforcement connected as east-west transport corridor linkages co-operation, increased scientific research to inform become complete. wildlife trade management decision making, and to encourage industry groups, trade associations/traders However, despite escalating concern that the and local communities to comply with legality and volumes and frequency of extraction and trade are not sustainability requirements of CITES and national being adequately addressed on the ground, the regional regulations policy environment to deal with illegal and unsustainable wildlife trade has never been more supportive towards This process in turn catalyzed the formulation addressing this complex set of threats. With Cambodia of the ASEAN Wildlife Law Enforcement Network (1997), Myanmar (1997), and finally Lao PDR (2004) (ASEAN-WEN) which was launched in December 2005 becoming Party to the Convention on International Trade (www.aseansec.org/17933.htm), and had its first official in Endangered Species of Wild Fauna and Flora (CITES), meeting in May 2006 where a Terms of Reference was all six GMS countries now have the same international agreed. ASEAN-WEN aims to address critical elements regulatory obligations for many of the species of animals of wildlife trade law enforcement co-operation, notably and plants threatened by trade. bringing Customs and Police jurisdictions into more structured collaboration with government departments In 2004, Viet Nam hosted the inaugural meeting tasked with natural resource management. These of the six GMS countries to improve CITES and wildlife national-level structures will then provide the building trade co-operation, which produced a concrete set of blocks for bilateral and regional co-operation on wildlife action points. (A second meeting on issues pertaining trade law enforcement under ASEAN-WEN. When to Mekong Sub-regional CITES Implementation and considering the producer-consumer trade dynamics, it Enforcement was held in Kunming, PRC, in July 2006.) is significant that the PRC has also attended ASEAN- Later that year, as Thailand hosted the 13th Conference WEN events as an observer. of the Parties to CITES, the 10 Member Countries of the Association of Southeast Asian Nations (ASEAN) The regional policy context, as outlined above, signed a commitment to increase co-operation on CITES would seem to be very much conducive to translating
108 BCI International Symposium Proceedings. this political commitment in the GMS countries into Chelonians are also among the most voluminous action on the ground. species transported from Southeast Asia to the PRC, often by air. Nearly all species of Asian freshwater 14.2 Current situation turtles and tortoises are consumed in South PRC (Ades, et al 2000), although the bulk of species observed in Over the past few years, numerous seizures Chinese markets are Southeast Asian species (Compton involving large volumes of endangered species have 2000). Trade represents the greatest threat to the long- been made in the GMS, involving tons of reptiles (e.g., term survival of Asia’s freshwater turtles and tortoises snakes, monitor lizards and freshwater turtles), (van Dijk 2000). The PRC and, to a lesser extent, ethnic mammals (e.g., pangolins), plants (orchids), and timber Chinese communities, make up the bulk of the consumer (Table 14.1). Despite these successes, animal and plant market for freshwater turtles and tortoises, for food and species continue to be collected in source countries, and traditional medicines (Compton 2000). when compared with volumes still observed in the markets of the PRC, it is clear that seizures of illegal To date, a number of attempts have been made to shipments represent no more than a small percentage quantify the value of illegal trade in wildlife and although of what is actually being traded. it is extremely difficult to make exact estimates, evidence would suggest that it is a multi-billion dollar business. In Among the most commonly seized animals are 2002, Viet Nam’s wildlife trade alone was estimated at pangolins, freshwater turtles and tortoises, and snakes; over US$ 65 million annually (World Bank 2005). all of which are in high demand for their medicinal value, as well as for consumption in the PRC, and to a lesser Although it is widely recognized that illegal wildlife extent, Viet Nam. Other species of concern transported trade is a significant factor in the rapid decline, and even along these routes to destination markets, whether live local extirpation, of some species, what is less considered or as products and derivatives, include bears, leopards is the impact it has on rural communities many of which and tigers. are still largely dependent upon the natural resources of their environments. For many rural communities, wild- Pangolins are one of the most frequently traded sourced plant and animal species form the basis of food, species groups from and through the GMS, predomi- medicine, fuel, building materials, and clothing upon nantly for end-consumption in the PRC where the meat, which they depend for survival. The decline and loss of blood and scales are either consumed as “tonic food” or these species is exacerbated through larger-scale com- used in traditional medicinal applications. The skin is mercial exploitation, often driven by outside business also tanned to make leather products. As populations of interests. It could be argued, therefore, that the shift to pangolins nearer to the PRC have been depleted (e.g., largely unmanaged commercial levels of extraction, aided in Lao PDR and Viet Nam), sourcing has diversified into by more efficient transport infrastructure, poses a direct Thailand, Malaysia, and Indonesia. In 2002, personnel threat to the livelihoods of these communities. transporting pangolins from Thailand to Lao PDR stated to a TRAFFIC investigator that pangolins were now 14.3 Regulation and control of transport by land extremely difficult to find in Lao PDR, and the large volumes they were regularly moving through Lao PDR It is now widely agreed that consumer demand for from Thailand to Viet Nam and on to the PRC were from wildlife and wildlife products in the PRC, Europe, and Malaysia. This fact is borne out by numerous seizures of North America is one of the most significant drivers of north-bound pangolin cargoes by authorities in peninsular wildlife trade. Underpinning this, however, are other Malaysia. Increasingly, shipments of pangolins bound for driving factors such as the massive profits associated the PRC are coming also from Sumatra, Indonesia, indicating with the trade, the very low risk of being caught, minimal that the populations in Malaysia may also be declining. disincentive in terms of the punishment associated with These shipments are largely made by road—and the wildlife crime, and increasing ease of access to resources transit time has become increasingly faster as the road through transport infrastructure development. infrastructure has improved in the GMS countries.
Transport Infrastructure and Wildlife Trade Conduits in the GMS: Regulating. Illegal and Unsustainable Wildlife Trade 109 Table 14.1: Examples of recent seizures made in the GMS
Date Species seized Location of seizure Origin Destination Mode of transport
26 May 2004 500kg of turtle Border of Myanmar Myanmar (possibly Chengdu, PRC plastron said to be and Yunnan other countries, as from Indotestudo Province, PRC Orlitia borneensis is elongata, Orlitia not found in borneensis and Myanmar) Morenia ocellata
5 April 05 3.5 tons of turtles Thanh Hoa Mekong Delta PRC Truck and 2 tons of Province, Viet Nam province of Long An. monitor lizards, Animals are suspected snakes and pangolins to have been smug- gled from Cambodia or Myanmar
14 June 05 330kg of turtles, Bac Ninh Province, Unknown PRC Public bus 90kg of pangolins, Viet Nam and 8kg of snakes
2 March 06 147 Long-tailed Quang Ninh, Viet Hai Phong City, Viet PRC Public bus Macaques Macaca Nam Nam fascicularis (291kg)
27 March 06 5 Malayan porcu- Da Nang City, Viet Unknown North Viet Nam and Public bus pines Hystrix Nam PRC brachyura and one civet.
29 March 06 70 Long-tailed Phu Yen, Viet Nam Unknown Vinh City, Nghe An, Mini-bus Macaques Viet Nam
7 April 06 Approx. 100 Thai-Lao Friend- Southern Thailand PRC Private Vehicle pangolins ship Bridge (Udon Thani to Vientiane)
7 June 06 Tiger bones Panthera Don Muang Hat Yai, southern tigris (amounting to 6 Airport, Bangkok, Thailand tigers) Thailand
26 June 06 245 pangolins and 63 Don Muang Penang, Malaysia Lao PDR Air freshwater turtles Airport, Bangkok, Thailand
As harvest areas move further away from collection As road transport infrastructure improves, and new centers and end-use markets, efficient transport becomes airports and seaports open up to international traffic, so increasingly important. Large quantities of live specimens too does the efficiency of transporting wildlife. Illegal are moved by air, to keep mortality levels low, but for shipments of wildlife move from source to market with other hardier species, transport by road is preferred. small chance of interception, as current levels of enforce- Species that are already dead are also often sent by ment, regulation and control of the transportation of road. wildlife and other illicit cargoes along these major road networks are generally very poor.
110 BCI International Symposium Proceedings. Inefficient regulation and low capacity to monitor increasing the deterrent to participate in and enforce legislations pertaining to the wildlife trade illegal activity through efficient legislation, along these major transport routes allows the illegal trade monitoring and surveillance, detection, to continue on a large scale. As the number and quality seizures and prosecutions. of land routes increases, so too does the importance of these routes to wildlife smugglers. However, the capacity (ii) Enforcement capacity in GMS countries to of the enforcement agencies responsible for controlling address illegal and unsustainable wildlife this trade is not increasing at the same pace. trade is limited and weaknesses such as these are being taken advantage of by well- Clear evidence of this was apparent at a 2006 “training organized crime networks. of trainers” workshop on CITES implementation, for Customs officers in Viet Nam organized by TRAFFIC, (iii) Rapid economic development, and associated where most of the participants had little, if any, knowledge infrastructure development, is making formerly about the Convention, and of more concern, almost no remote biodiversity reserves more accessible, understanding of the role they were required to play in and with that rates of extraction and trade of implementing it. wildlife and wildlife products are likely to increase. Lack of knowledge on international Conventions (and the national laws that support them) is only one (iv) Wildlife trade concerns need to be integrated aspect of the problem. The overall situation is exacerbated into economic development planning by a range of other factors such as: low awareness of processes so that mitigation measures are national laws regulating wildlife harvest and trade; very adequate and effective, and that sustainable little capacity to identify species and distinguish between development goals are supported. protected and non-protected specimens; minimal levels of intra- and inter-agency co-operation; and an overall (v) Although illegal and unsustainable wildlife lack of human resources, equipment and access to trade is increasingly gaining recognition as important resource materials. Furthermore, Customs are an issue of concern in the GMS, it needs to only one part of the law enforcement equation. Other be accorded a much higher political profile important law enforcement agencies, most of which are and more funds and resources need to be also limited in their capacity and understanding of the invested for the problem to be effectively impacts of illegal and unsustainable wildlife trade, include addressed. the police, prosecutors and the judiciary, quarantine, and staff involved with the functions of national CITES (vi) A growing middle class is demanding wildlife Management and Scientific Authorities. and wildlife products inside GMS countries, and the associated commercial wildlife trade These are critical issues because without such activity is servicing external markets. an inter-agency law enforcement mechanism in place throughout the GMS, economic development via (vii) Together these factors are having serious increased transport infrastructure will indeed facilitate negative impacts on species diversity and these corridors to become the ‘super highways’ of the richness, ecosystems, and the environment wildlife trade. in general.
14.4 Lessons learned 14.5 Conclusions and future steps
(i) Illegal wildlife trade is an attractive and The economic development of the GMS since lucrative business and will persist unless 1992 has focused primarily on increased connectivity and robust mechanisms are put into place to integration via economic corridors aligned both north- address the problem systematically, including south and east-west. Within these economic corridors
Transport Infrastructure and Wildlife Trade Conduits in the GMS: Regulating. Illegal and Unsustainable Wildlife Trade 111 are transport infrastructure networks that are already References important conduits (by road, air, sea, and rail) for the Ades, G., Banks, C. B., Buhlmann, K. A., Chan, B., Chang, H., transport of many natural resources, including illegally Chen, T., Crow, P., Haupt, H., Kan, R., Lai, J., Lau M., Lin, H. and unsustainably harvested animals and plants. The and Haitao Shi. (2000). Turtle Trade in Northeast Asia: more streamlined these economic corridors become, in Regional Summary (China, Hong Kong, and Taiwan). In: van an increasingly liberalized trade environment, the Dijk, P. P., Stuart, B. L. and Rhodin, A. G. J, eds., (2000). Asian Turtle Trade: Proceedings of a Workshop on Conservation and greater the potential impact on remaining reserves of Trade of Freshwater Turtles and Tortoises in Asia, Phnom Penh, biodiversity—including in protected areas and other Cambodia, 1-4 December, 1999. Chelonian Research extant ecosystem habitat that becomes increasingly Monographs, No. 2; Chelonian Research Foundation. adjacent to this expanding infrastructure. Baltzer, M. C., Nguyen Thi Dao and Shore, R. G. (Eds.) (2001). Towards a Vision for Biodiversity Conservation in the Forests If viable populations of wild animals and plants in of the Lower Mekong Ecoregion Complex. WWF Indochina/ the GMS, and throughout Southeast Asia, are to persist, WWF US, Hanoi and Washington D.C. urgent interventions are required to disrupt the regular Compton, J., (2000). An Overview of Asian Turtle Trade. flow of illicit wildlife shipments along these major In: van Dijk, P. P., Syuart, B. L. and Rhodin, A. G. J, eds. (2000). transport routes. Asian Turtle Trade: Proceedings of a Workshop on Conservation and Trade of Freshwater Turtles and Tortoises in Asia, Phnom Increased capacity and resources for the various Penh, Cambodia, 1-4 December, 1999. Chelonian Research Monographs, No. 2; Chelonian Research Foundation. agencies responsible for controlling this trade, especially at the numerous international border crossings is van Dijk, P. P. (2000). The Status of Turtles in Asia. In: van essential; including the ability to enforce CITES (to which Dijk, P. P., Stuart, B. L. and Rhodin, A. G. J, eds., (2000). Asian all ASEAN countries—and the PRC—are Parties) and Turtle Trade: Proceedings of a Workshop on Conservation and Trade of Freshwater Turtles and Tortoises in Asia, Phnom Penh, national laws and regulations. Cambodia, 1-4 December, 1999. Chelonian Research Monographs, No. 2; Chelonian Research Foundation. The issue of illegal wildlife trade must be accorded priority among the various donors and other stakeholders Lin, J. (2005). Tackling Southeast Asia’s Illegal Wildlife Trade, Singapore Year Book of International Law. involved in the development of transport infrastructure in the region. Combating illicit movements of wildlife trade World Bank. (2005). Going, Going, Gone: The Illegal Trade may best be addressed by linking GMS development in Wildlife in East and Southeast Asia. Environment and Social Development Department, East Asia and Pacific Region. priorities with the goals of the ASEAN Wildlife Enforcement Washington D.C. Network, the wider ASEAN Regional Action Plan on Trade in Wild Fauna and Flora 2005-2010, and the ongoing co-operation between the six GMS countries on matters pertaining to wildlife trade.
There would seem to be, therefore, great opportunity for the Asian Development Bank’s Core Environment Program and specifically the Biodiversity Corridors Initiative to include as a priority for its work with the GMS countries the establishment and implementation of necessary safeguards (inter alia technical, human and regulatory capacity, training and strategy) to ensure that any further negative impacts on biological diversity and long-term sustainable development are mitigated.
112 BCI International Symposium Proceedings. or movement of a road due for rehabilitation under a 15. Northern Plains Landscape Conservation - World Bank project, to better serve local communities. Cambodia Tom Clements 15.1 Background
The Northern Plains of Cambodia is one of the Summary largest remaining extensive intact block of a unique land- scape of exceptional global importance for biodiversity The Northern Plains Conservation Landscape conservation. The area is either a last refuge for, or Project of the Wildlife Conservation Society (WCS) is maintains a key population of 36 species on the IUCN working with the Royal Government of Cambodia to Red List, including six listed as Critically Endangered— improve overall conservation planning across a large, a greater number of Globally Threatened species than complex landscape containing Protected Areas, rural any other landscape in Cambodia (Table 15.1). It is communities, logging concessions, and unclassified equivalent to the ADB Biodiversity Conservation Land- forests. Extensive research has demonstrated that the scape. Northern Plains Dry Forests contains a large protected area network is incapable of effectively portion of one of WWF’s Global Priority Ecoregions conserving the biodiversity values of the landscape: (Olson and Dinerstein 1998, Wikramanayake et al 2001), areas are either inappropriately located, do not capture is within the Indo-Burma biodiversity hotspot (Myers et the range of species and habitats present, or have little al. 2000) and includes four Important Bird Areas connectivity. The ramifications of this are that landscape- (Stattersfield et al 1998). level biodiversity conservation outcomes will require strategies both inside and outside protected areas, Many species that rely on these forests are known including measures to improve linkages across the land- to be extinct elsewhere in their historical range, thus scape between conservation areas. heightening the value of this landscape. One, the Giant Ibis Pseudoibis gigantea, was only known from a handful In response, the project has developed a land- of records in the 1900s, until rediscovered by WCS in scape-level plan for the Northern Plains that aims to considerable numbers in the Northern Plains. Conservation deliver biodiversity outcomes within productive land- of these species is particularly challenging because the scapes through the application of innovative landscape- majority of them—large birds and mammals—have large level tools to map conservation, development and spatial requirements. cultural values. The plan recognizes four ‘key sites for conservation’ that together include a representative The landscape is defined by the geography of the sample of key habitats and species in areas sufficient area, its boundaries being naturally delimited by the to maintain the ecological integrity and connectivity of Dangrek Mountains to the north, the Mekong River to the landscape. These are complemented by areas of the east and the Tonle Sap Great Lake to the south and importance for cultural values, local livelihoods, or west. The total region covers over 19,000 km2. Land agro-industrial development. tenure in the area is complex as the Northern Plains stretches across the borders of five Provinces, includes In partnership with national and provincial government three Protected Areas and seven currently dormant agencies, WCS has been implementing the landscape logging concessions (see Map 15.1). The landscape is plan since late 2005. It is being adopted as the provisional continuous with similar habitats in Lao PDR and basis for zonation of conservation areas—including core, Thailand, including Dong Kanthong proposed National buffer and community zones—and is now being further Biodiversity Conservation Area (NBCA) in Laos and Yot refined through participatory land and natural resource Dom Wildlife Sanctuary and Phu Jong Na Yoi National planning with local communities. Further, the plan is now Park in Thailand, all on the border of Cambodia. used by government agencies to guide development decisions—for example the recent designation of a The area is one of the most remote regions of rubber plantation outside the key sites for conservation, Cambodia, a country that ranks amongst the poorest in
Northern Plains. Landscape Conservation - Cambodia 113 Table 15.1: Biodiversity values of the Northern Plains in comparison to other landscapes
a) Globally Threatened Mammals
Faunal Area CR EN VU NT DD Total
Northern Plains 1 4 8 5 6 24 Eastern Plains 4 7 4 5 20 Southern Annamites 4 8 3 4 19 Cardamoms 2 5 7 4 18
(b) Globally Threatened Birds
Faunal Area CR EN VU NT Total
Northern & Eastern Plains 4 2 5 7 18 Tonle Sap 1 2 7 6 16 Mekong River 1 2 4 7 Cardamoms 1 2 3 6 Southern Annamites 2 3 5 Coastal 1 2 2 5
South-East Asia. From the early 1970s the region was a capital in the early 10th century under Jayavarman IV, central base of the Khmer Rouge and as a consequence while Preah Khan of Kompong Svay was the largest experienced long periods of conflict and civil war, which temple complex constructed by the empire. only ceased in 1998. Many of the local communities belong to the indigenous Kui ethnic group. The vast Escalating land and resource use across the majority of families rely on subsistence rain-fed paddy Northern Plains is leading to competing human-wildlife rice growing, collection of forest products and seasonal requirements and loss of key biodiversity and local fishing at forest pools. Chamkar (shifting cultivation) is livelihood values. Human land and resource use has practiced by many families for vegetables and either to increased partly as a result of increasing human popula- supplement rice production from paddyfields, or as an tion and in-migration, but also because, as security alternative. Fish from forest pools are the principal source returns to the area, there is much greater potential for of protein. Livelihood assessments have highlighted the resource exploitation particularly by outsiders. The prevailing food insecurity in the region, which is only conflicts are exacerbated by the current “open-access” mitigated by the extensive availability of forest products, management system of natural resources across the which provide up to 50% of livelihood needs (Navarro Northern Plains—local residents have no recognized 2003, McKenney et al 2004). legal or management rights over land and natural resources. This leads to over-exploitation of forest, In addition to the landscape’s importance for wildlife and water resources through scramble biodiversity conservation and local livelihoods, it also has competition between those best placed to extract them. significant cultural and tourism values. Molu Prey, in the centre of the landscape, was the site of one of the first 15.2 Establishing CALM (Conservation Areas through Stone Age settlements in Cambodia. During the Khmer Landscape Management) Empire (9th-15th centuries A.D.) cities, temples and roadways were constructed across the Northern Plains. Although the landscape contains three protected Some of the cities are of particular historical and tourism areas in Cambodia and three further proposed or existent interest: Koh Ker (in southern Preah Vihear) was the protected areas in Laos and Thailand, they form a
114 BCI International Symposium Proceedings. Map 15.1: Northern Plains
network that currently is incapable of effectively conserving 2002; Redford et al 2003; Coppolillo et al 2004)—a wild- the biodiversity values of the landscape: areas are life-based strategy pioneered internationally by WCS to either inappropriately located, do not capture the range define conservation landscapes, identify threats and of values or have little connectivity. Simply put, the achieve conservation outcomes at the landscape scale spatial and ecological requirements of key species are in a cost-effective manner by prioritizing conservation often inadequately met by the existing protected areas. investments. The ramifications of this are that landscape-level biodiversity conservation outcomes will require strate- The LSA centers on preserving the ecological gies both inside and outside protected areas, including integrity of a large area or wilderness through under- measures to improve linkages across the landscape standing and conservation of a suite of landscape species, between conservation areas. selected as being ecologically representative of that land- scape. The approach is to develop strategies for the The WCS Northern Plains Landscape project has conservation of large, complex ecosystems that are worked in support of the Royal Government to develop integrated in wider landscapes of human influence which a landscape plan for the Northern Plains. The plan aims includes, but is not restricted to, protected areas, to deliver biodiversity outcomes within productive land- community land, forestry concessions, plantations and scapes through the application of innovative landscape- other areas of economic importance. For landscape level conservation tools. The project has applied the scale conservation to be socially as well as ecologically Landscape Species Approach (LSA), (Sanderson et al sustainable, strategies must succeed in a mosaic of
Northern Plains. Landscape Conservation - Cambodia 115 different land uses that not only conserve biodiversity, each zoned into core and buffer areas and linked by but also allow people to make a living. corridors (Clements 2003).
The focus on landscape species allows the The selection of these key sites implies that landscape to become geographically tangible and successful management of each, for all of the key species, ecologically meaningful and makes the targets for, and will result in the maintenance of all components of outcomes of, conservation investments explicit and biodiversity across the Northern Plains landscape. How- measurable. In other words, the approach defines where ever, only two of the key sites, Kulen Promtep Wildlife interventions should achieve site-based outcomes in Sanctuary and the Preah Vihear Protected Forest are order to have broader landscape-level impacts. The within formal protected areas. The other sites are the Northern Plains are ideally suited to this approach as O’Scach and O’Dar rivers within the Cherndar Plywood the main biodiversity values reside in populations and logging concession, which is contiguous with the Preah unique assemblages of large mammals and waterbirds Vihear Protected Forest, and the Phnom Tbeng plateau, which have broad spatial and ecological requirements. inside the TPP logging concession. The remainder of the Cherndar Plywood logging concession is important Simple decision rules were used to select a suite in order to maintain a corridor linking the key sites. The of ten landscape species (or species groups) that WCS Northern Plains Conservation Landscape project is together covered the range of habitat requirements and designed to work together with the Government Ministries threats (Table 15.2). and provincial authorities integrate biodiversity values within the human land-use systems found in these key During 2002-2003, the distribution of each species sites with the aim of maintaining local populations of key was mapped across the Northern Plains. This distribu- species. If the assumptions of the LSA are valid then the tion was analyzed in comparison with human threats and suite of sites selected will be (importantly) sufficient for used to select four key sites for conservation (Map 15.2), the successful conservation of all key components of biodiversity across the landscape.
Table 15.2: Landscape species
Core Landscape Species Name Conservation Status Key resources
Asian Elephant, Elephas maximus Endangered Evergreen forests Giant Ibis, Pseudibis gigantea Critical Dry forests and waterbodies Eld’s Deer, Cervus eldi siamensis Data Deficient Dry forests and waterbodies Large Cats, Panthera spp. Endangered (P. tigris) Prey populations Sarus Crane, Grus antigone Vulnerable Grasslands and waterbodies White-winged Duck, Cairina scutulata Endangered Riverine forests Wild Cattle, Bos spp. Endangered (B. javanicus) Evergreen and dry forests Vulnerable (B. frontalis)
Special Elements, species of limited range but of conservation importance, or indicators of particular resources Name Conservation Status Key resources
Oriental Darter, Anhinga melanogaster Near-threatened Flooded rivers Vultures, Gyps spp. and Sacrogyps spp. Critical, (G. bengalensis, G. tenuirostris) Prey populations Near-threatened (S. calvus) White-shouldered Ibis, Pseudoibis davisoni Critical Waterbodies
116 BCI International Symposium Proceedings. Map 15.2: Key sites for conservation and landscape plan
15.3 Community conservation- integrating the resource. The best example is fish, which is the main conservation and local livelihoods source of protein for most villagers. Stocks are declining due to increased harvesting by outsiders for local markets, The second component of the Northern Plains especially using electric shock equipment or artificial Landscape plan relates to integrating conservation poisons. priorities with the livelihoods of local people. Rural Khmer and particularly Kui villages are heavily reliant on collec- Establishing local rights to land and forest resources tion of forest products for their livelihoods. Although the is essential therefore in order to protect livelihoods and rights of local communities to access land and forest ensure that the transition to the opportunities and risks resources are recognized in Cambodian Law, this legal of the modern market economy does not lead to increased framework is new and has yet to be applied in the Northern poverty. WCS is assisting Government departments to Plains. Local communities therefore are vulnerable use Participatory Land-use Planning (PLUP) as a tool to and poorly equipped to resist resource exploitation by identify and establish local rights to land and forest immigrants and power figures. resources and to resolve conflicts. The PLUP outputs include maps of land zones around communities together Land is being lost through forceful land grabs and with regulations on land and natural resource exploita- through illegal sales, which reduces the availability of tion, which are recognized by the relevant government land for the original residents and either causes worsened authority. This can eventually lead to land titling in poverty or drives them to clear more forest. Forest villages that request it. Map 15.2 shows some products are threatened by illegal harvests that damage examples of community agricultural areas.
Northern Plains. Landscape Conservation - Cambodia 117 Land and natural resource rights established for local guides as well as contributions to a community through the PLUP process provide the basis for more development fund in exchange for community agree- advanced community development planning. This could ments not to hunt wildlife, particularly the large waterbirds. include, for example, agricultural assistance, community Revenue in 2005-6 was greater than $4,000—a commercial forestry (McKenney et al 2004), eco-tourism considerable sum for a poor Cambodian village—in development, or creation of new markets. WCS has addition to service payments. The project has led to engaged a local development NGO, Farmer Livelihood substantial reductions in hunting, in addition to significant Development, to provide specific agricultural assistance increases in community conservation awareness and in support of existing land-use plans. This is helping ‘pride’ in their populations of critically endangered ibises. poor families to improve their agricultural output and to diversify their systems (through, for example, creation of 15.4 Planning development activities fish ponds) within the village agricultural area. Effective landscape management requires the Recent reviews of Integrated Conservation and adoption of an integrated development plan, which Development Projects have shown that there are very recognizes biodiversity conservation, local livelihood and few incidences where increasing peoples livelihoods or cultural values in addition to national development meeting developmental needs has contributed to ambitions. Uncoordinated development is a major threat conservation objectives (Wells et al 1999; Chape 2001; both to local livelihoods and to biodiversity conservation. Ferraro and Kiss 2002). Many conservation projects Local people are vulnerable to harm from many aspects around the world are emphasizing more direct incentives of national development, including logging concessions, approach or in some cases a direct payment for biodiversity and agro-industrial plantations if these do not respect conservation. These payment plans are based on a their current livelihoods. Similarly, uncoordinated person or group of people producing conservation development could significantly impact biodiversity outcomes in exchange for a payment in cash or in conservation if priority areas were not recognized. (Ferraro and Kiss 2002). The WCS Northern Plains Landscape project is “Direct payments” and “conservation easements” working to introduce biodiversity values into landscape- are actually much more accepted in developed countries level planning processes, through building the capacity than developing (e.g., set-aside payments under the EU’s of provincial departments and authorities to integrate Common Agricultural Policy). Proponents argue that conservation priorities with established provincial in addition to being more effective at delivering the planning processes. A key partner is SEILA/PLG conservation objective they may actually be simpler to (Partnership for Local Governance), an aid mobilization implement and therefore more efficient, cost-effective, and coordination framework in support of the govern- sustainable and deliver more substantial development ment’s decentralization and deconcentration reforms, benefits. In the Northern Plains, WCS is piloting a range whose goal is to contribute to poverty alleviation through of incentives to encourage the adoption of sustainable good governance. livelihood practices and, in some cases, establish a legal market value for maintenance of wildlife populations PLG specifically provides technical assistance and and habitats. funding to provincial government, provincial departments and district and communal authorities in support and The most successful example of this approach is implementation of development plans. The Northern the innovative Tmatboey Ibis Eco-tourism project, Plains Landscape project is contributing to those plans implemented in partnership with the Ministry of through training officials and representing biodiversity Environment. The flagship species—the Giant and conservation priorities at the various planning stage, e.g. White-shouldered Ibises—are amongst the rarest bird a recently proposed World Bank funded road upgrade species in the world and attract international visitors from planned to rehabilitate an historical road line that is now around the world. Tourists provide direct employment barely used (Map 15.3).
118 BCI International Symposium Proceedings. Map 15.3: Proposed road development
This line would, however, not serve local commu- populations of all natural habitats and species found in nities who have relocated over the last 40 years to an the Northern Plains. Biodiversity corridors have been alternative road. In addition, the proposed road would identified to link the key sites and ensure ecological severely impact the natural habitats inside the Preah connectivity. The key sites for conservation are being Vihear Protected Forest, one of the key sites for conser- integrated with local livelihood priorities, using participa- vation. Accordingly the WCS Northern Plains Landscape tory land-use planning techniques, to develop specific project is working together with district officials and local maps and regulations which can be recognized by provincial departments to advocate an alternative road government departments. At the provincial and national line, which would better serve local communities and scale, the plans are being used to inform development reduce the impact on the natural habitats. activities – such as the location of road upgrades or agro- industrial plantations. 15.5 Conclusions Acknowledgments The Northern Plains Biodiversity Conservation Landscape is of global importance for biodiversity The author would like to thank the Wildlife conservation. These conservation priorities have been Conservation Society for support and funding, particularly recognized in an integrated landscape plan developed Joe Walston and Colin Poole. Survey work was by WCS with the Ministries of Environment and conducted by Tan Setha, Sin Polin, Tong Yee, Prum Agriculture, Forestry and Fisheries. The plan recognizes Sovanna, Kong Kim Sreng, An Dara, Sok Ko, Men a complementary set of key sites for conservation which Soriyun, Pech Bunnat, Thong Sok Ha, Songchan together contain ecologically viable areas and Socheat, Frederic Goes and Pete Davidson. Part of the project was financed by a PDF-B grant from UNDP/GEF.
Northern Plains. Landscape Conservation - Cambodia 119 References Wikramanayake, E.D., E. Dinerstein, C. Loucks, D. Olson, J. Morrison, J. Lamoreux, M. McKnight, and P. Hedao. (2001). Chape, S. (2001). An overview of integrated approaches to Terrestrial ecoregions of the Indo-Pacific: a conservation conservation and community development in the Lao People’s assessment. Island Press: Washington, D.C. Democratic Republic. Parks. 11: 24-32.
Clements, T.J. (2003). Mapping Biological and Human Landscapes in the Northern Plains, Cambodia. WCS Cambodia Program, Phnom Penh.
Coppolillo, P., Gomez, P., Maisels, F. and R. Wallace (2004). Selection criteria for suites of landscape species as a basis for site-based conservation. Biological Conservation. 115: 419-430.
Evans, T. D., Hout, P., Phet, P. and Hang, M. (2002). A study of resin-tapping and livelihoods in southern Mondulkiri, Cambodia with implications for conservation and forest management. WCS Cambodia Program, Phnom Penh.
Ferraro, P.J. and Kiss, A. (2002). Direct payments to conserve biodiversity. Science. 298: 1718-1719.
McKenney, B., Yim Chea, Prom Tola and Evans, T (2004). Focusing on Cambodia’s High Value Forests: Livelihoods and Management. Phnom Penh. Cambodia Development Resource Institute and WCS Cambodia Program, Phnom Penh.
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Sanderson, E.W., Redford, K.H., Vedder, A., Coppolillo, P.B. and S.E. Ward. (2002). A conceptual model for conservation planning based on landscape species requirements. Landscape and Urban Planning. 58: 41–56.
Stattersfield, A.J., M. Crosby, M.J. Long, D.C. Wegge. (1998) Endemic Bird Areas of the World. Priorities for biodiversity conservation. BirdLife International, Cambridge, U.K.
Wells, M., Guggenheim, S., Khan, A., Wardojo, W., & Jepson, P. (1999). Investing in biodiversity: a review of Indonesia’s integrated conservation and development projects. Directions in development series. World Bank, Indonesia and Pacific Islands Country Department, Washington D.C.
120 BCI International Symposium Proceedings. monitoring transects for establishing the baseline for the 16. Photo-Monitoring of Changes in Biodiversity long-term monitoring of ecological changes. The photo- in Yunnan Province, People’s Republic of graphic temporal assessment that eventually will result 1 China will help assess conservation and development Jim P. Lassoie, Robert K. Moseley activities across geographically extensive and diverse ecoregions, and serve as a means for monitoring the outcomes of conservation programs at specific locations. Summary 16.1 Introduction Barring abrupt natural or anthropogenic disasters, ecological changes in terrestrial landscapes proceed at Northwestern Yunnan Province in the southwestern a pace not readily detected by humans. The use of part of the PRC is considered a conservation “hot spot” historical repeat photography can provide valuable worldwide owing to its spectacular landscapes and information about such changes, but these studies are abundant biological diversity (Myers et al 2000). This opportunistic in that they must rely on old photographs. region is also home to three million people, whose lives Hence, their ecological interpretative power is compro- depend on the sustainable utilization of its natural mised by the intention of the original photographer, the resources. Faced with rapidly changing socioeconomic quality of original photographs, an incomplete and conditions and development expectations, however, potentially misrepresentative sampling design, and a some of their livelihood strategies (specifically, enhanced limited analytical framework for interpreting ecological agricultural and livestock production, and the increased changes. The Nature Conservancy (TNC) has been collection of wood and various non-timber forest using repeat photography to document ecological products) are now threatening the area’s rich biodiversity changes in northwestern Yunnan Province as part of its (Li 2002; Xu and Wilkes 2004). As a consequence, north- conservation planning efforts in the People’s Republic of western Yunnan (NWY) is receiving much attention from China (PRC). This experience supported the development the international conservation community, as well as all of a forward-sampling, ground-based, photo-monitoring levels of the Government. methodology designed around a high quality digital camera and a comprehensive database management The Nature Conservancy (TNC) was invited by the system, which was tested during the summer and fall of provincial government in 1998 to address the threats to 2003 across two adjacent ecoregions in northwestern biodiversity in the NWY using its collaborative and Yunnan: the Hengduan Mountains and the Nujiang- systematic “Conservation by Design” process (TNC Lancang Gorge. Based on results from a collaborative 2001). Called the Yunnan Great Rivers Project (YGRP), ecoregional conservation assessment for the region, the collaboration produced an ecoregional assessment visual indicators obtainable from the resulting photo- in 2002, which identified 19 conservation areas of graphs were identified and used to assess the threat sta- biodiversity significance across the five ecoregions that tus (for example, logging, grazing, mining) for five key intersect NWY (YGRPPT 2002). ecosystem conservation targets (cold evergreen oak, evergreen broadleaf forest, mixed forest, subalpine Following the assessment phase, TNC and local forests, alpine mosaic). A sampling design strategy then partners then concentrated their efforts at five action sites was developed based on the inherent geographical within the YGRP to produce conservation plans and variation in the distribution of targets, ethnic minorities strategies for effectively protecting and enhancing (a surrogate for land-use), and climactic zones (based biodiversity and the livelihoods of local people (Moseley on precipitation and temperature) across the region. This et al 2004). However, TNC and the Yunnan government distribution information is being used to design photo- also are concerned about conservation and rural development across the portfolio of 19 conservation 1 This paper appeared in the proceedings from the 2004 conference in areas of biodiversity significance identified during the Denver, Colorado on “Monitoring Science and Technology Symposium: ecoregional assessment. While some species-level Unifying Knowledge for Sustainability in the Western Hemisphere” (USDA Forest Service Proceedings RMRS-P-42CD). inventories exist and detailed vegetation maps are
Photo-Monitoring of Changes in Biodiversity in Yunnan. Province, People’s Republic of China 121 being assembled for the region, there has been little to glaciated peaks at over 6500 m within a distance of research on important landscape-level questions, such 20 km or less. Although at a subtropical latitude, the as rates of ecosystem succession, scale and frequency region’s climate is characteristically temperate, modified of disturbance regimes, and patterns and intensity of past by a summer monsoon season leading to warm, wet and ongoing threats to conservation targets (Moseley summers and cool, dry winters. The topographic extremes 2004). that characterize the region cause major microclimatic differences associated with changes in elevation, slope, TNC has been using repeat historical photography and aspect. (e.g., see Rogers 1984; Hall 2001; Turner and others 2003) to understand rates and patterns of ecosystem The region’s wide ranging environmental conditions change under varying land-uses, to set realistic goals support a biological diversity rivaling that found in the for conservation programs, and to establish reliable tropics (CBD 2001). Five World Wildlife Fund (WWF) methods for measuring conservation successes (Moseley ecoregions (Olson and Dinerstein 1998) are found within 2004). Such investigations also provide a base for the YGRP, the largest being the Nujiang-Lancang Gorge developing a comprehensive photo-monitoring system and the Hengduan Mountains (Figure 16.1). Ten different for the entire YGRP. Such forward-sampling, ecological vegetation types occur across the region with the most studies of landscape changes are very important to important being the alpine mosaic and a variety of designing and implementing sustainable conservation natural forest ecosystems, the latter covering over 60 and management strategies (Lunt 2002; Pickard 2002) percent of region (Xu and Wilkes 2004). and, hence, are critical to the future of biodiversity and local people in NWY, and elsewhere. All landscapes in NWY have been influenced by human activities for thousands of years. Population Here we report the development of a relatively density is relatively low, especially compared to eastern simple, yet rigorous, methodology that employs ground- PRC, and except for a few modest urban centers, most based, repeat photography as an extensive, efficient, and people live in rural areas. Although income-generating cost-effective means for monitoring ecological changes endeavors are becoming more important, local people at the landscape level across expansive ecoregions. historically have focused on subsistence agriculture, Specifically, this study: (i) designs, tests, and refines an including livestock production and the collection of plants image capturing and processing workflow methodology and animals from natural areas. All but two counties in that includes image and metadata management; (ii) the YGRP are considered poverty counties under the develops and tests an indicator-based analytical frame- Chinese classification system. Fourteen ethnic minority work for assessing ecological changes identifiable and groups are living within the region, which is significant quantifiable from oblique, ground-based photographs; because of their differing cultures and practices relative and (iii) designs a sampling methodology for selecting to land-use (Xu and Wilkes 2004). photo-monitoring transects representative of spatial and temporal variations in landscapes across NWY. 16.3 Methods
16.2 Study area 16.3.1 Workflow development
This study was conducted across the YGRP, an An extensive review of repeat photography area of over 66,000 km2, comprising 15 counties and literature and modern photographic techniques and four prefectures (Figure 16.1). The region’s biophysical equipment was conducted. Equipment had to be durable uniqueness arises from its location between the Qinghai- and dependable under wet or dusty field conditions, Tibet and the Yunnan-Guizhou Plateaus and from the extremely portable, able to take and process potentially four major rivers (Jinsha, Lancang, Nu, and Dulong) that thousands of images, and capable of daily operation for cut deep, parallel gorges in the landscape all within 90 multiple weeks without access to AC power. We km of one another. This results in very steep elevation examined data management programs for their gradients that can rise from river valleys below 1500 m comprehensive capabilities to catalogue a large number
122 BCI International Symposium Proceedings. Figure 16.1: Yunnan Great Rivers Project study area
China WWF ECOREGIONS Southeast Asia Subtropical Forest
Nujiang-Lancang Gorge
Hengduan Mountains
Yunnan Plateau
North Indochina Tibet Subtropical Forest
Sichuan 28˚N
27˚N
26˚N ▼ Guizhou 25˚N YGRP Boundary Yunnan Guangxi
Myanmar
Vietnam Laos
98˚N 99˚N 100˚N 101˚N of images in formats useful for future analysis. Back up indicators of change to biodiversity and threats. TNC’s and archival needs were examined in relation to current four-part conservation framework called ‘Conservation technology. A comprehensive workflow was designed in by Design’ provides this important analytical context (TNC Ithaca, New York during the first half of 2003, and tested 2001). The framework was developed to systematically during the summer and fall in NWY, all leading to a focus conservation action on priority biodiversity and refined system for image capture, management, and critical threats in a dynamic, adaptive process involving storage. setting geographic and threat priorities through ecoregional assessments, developing strategies, taking 16.3.2 Analytical framework actions, and measuring conservation impacts (Groves et al 2002; Groves 2003). Critical to the successful use of repeated photo- graphs for measuring the impacts of conversation The conservation planning framework for programs is the analytical framework for interpreting ecoregional assessments includes four steps relevant
Photo-Monitoring of Changes in Biodiversity in Yunnan. Province, People’s Republic of China 123 to the current study: (i) selecting focal conservation ecoregions. Even stratified randomization is inoperable targets from the universe of possible species and here owing to the extent of the areas involved, challenges ecosystems, (ii) setting representation and quality goals of accessibility in rugged landscapes, and the need to for conservation targets, (iii) evaluating the ability of gain a landscape perspective that is often distant from conservation targets to persist (in other words, assessing the indicator(s) under consideration. Our approach was viability and ecological integrity) and (iv) selecting and to stratify the study area by features central to the designing a network of conservation areas of biodiversity analytical framework and then to use TNC’s GIS significance (Groves 2003). Because Conservation by database to determine the area represented by each. Design is an adaptive process, it requires monitoring the conservation status of ecoregions. Critical attributes of This work was carried out during the summer of ecoregional measures include: 2004 in preparation for the fall field season. The features examined were: (i) WWF ecoregions, (ii) (i) tracking progress toward quantitative goals conservation areas of biodiversity significance identified set for each conservation target during during the ecoregional assessment, (iii) distribution of ecoregional assessments, key conservation targets from the ecoregional assess- (ii) informing whether current management is ment, (iv) principle ethnic minority present (a surrogate sufficient to protect the viability and persistence for culturally based land-use practices), and (v) modeled of conservation targets in the long run, climatic zones (B. Baker, Climate Change Scientist, TNC; (iii) providing a gauge of conservation priorities and whether they should shift as environmental personal communication) (Table 16.1). conditions change over time, and (iv) measuring threat status within an ecoregion Next, we designed transects for obtaining ‘base- to provide an ‘early warning system’ to detect line’ photographs. The scheme devised sampled each changes more quickly than relying solely on feature proportional to its distribution within each biodiversity health measures. stratum. For example, if the mixed forest target covers 34 percent of the Baima Conservation Area, then about After completing the YGRP ecoregional assessment, we developed a monitoring framework of 28 prioritized indicators—nine being health indicators (e.g., size, Table 16.1: Features used to stratify Yunnan Great Rivers erosion, fragmentation) for conservation targets and 19 Project area for determining photo-monitoring sampling being threat indicators (e.g., unsustainable collection of design fuelwood and non-timber forest products, over-grazing, mining). This ecoregional photo-monitoring methodology is designed to assess several of these threat and target FEATURE ELEMENTS health indicators that are observable from examining Ecoregions (n = 5) e.g. Hengduan Mountains, Nujiang- photographs of landscapes. These were tested for Lancang Gorge, Yunnan Plateau usefulness based on earlier work using historical photo- Conservation e.g., Baima, Nushan, Zhongdian Highlands graphs by Moseley (2004). Additional land cover, land- Areas (n = 19) use, development infrastructures, geopolitical and conservation classifications were developed based on Conservation CEO: cold evergreen oak; EBF: evergreen Targets broadleaf forest; MF: mixed forest; SAF: experience in the study area. Combined, all were used subalpine forests; AM: alpine mosaic (shrub, as ‘keywords’ for classifying images taken during the meadow, scree) 2003 field season. Ethnic Minorities e.g., Lisu, Naxi, Tibetan (n = 14) 16.3.3 Sampling design 1: hot summers, cool winters, very wet; 2: Climatic Zones cool summers, cold winters, moderate (Clusters) precipitation; 3: warm summers, cool winters, A unique feature of the work presented is the moderate precipitation; 4: warm summers, development of a sampling methodology that accurately warm winters, moderate precipitation; 5: represents the diversity inherent across extensive warm summers, cool winters, dry
124 BCI International Symposium Proceedings. 34 percent of the photographs in this area should be sensor, thus providing the greatest amount of image taken of this target. Each feature was examined in relation information possible while also allowing the greatest to one another to gain a qualitative assessment of the amount of post-exposure manipulation (Cardinal and sampling needs. Since the location of roads and/or trails Peterson 2001). is critical logistically, accessibility also was addressed when designing transect locations. Lens quality is an important variable in photography and various high quality professional zoom lenses 16.4 Results and discussion representing digital camera focal lengths from 30 to 600 mm were tested during the 2003 field season. Based on 16.4.1 Workflow development this work, two new lenses designed for the digital camera were purchased for the 2004 field season. These yield The workflow process was designed to yield an effective focal length range of 18 to 180 mm, which is images and their supporting metadata that could be used well suited to expansive landscapes typical of NWY. in the analysis of indicators of landscape change over time (discussed later). It consisted of four interrelated In-camera image capture and temporary storage steps: (i) initial image capture, metadata collection, and capacities must be relatively fast and large owing to the temporary storage; (ii) imaging processing; (iii) image large files involved. Although we found that carrying two and metadata management; and (iv) storage of working 512 MB cards provided enough storage capacity for two and archival data files. It is presented in generic fashion, or three days of intensive photo-sampling, there was a but specifications for all equipment and software are avail- need to have a portable image storage unit during longer able from the senior author. Although the entire process trips into remote areas. A number of rechargeable storage could be conducted under field conditions, it was found devices are available, the most useful and expensive that inclement weather conditions and the lack of AC being those capable of image display. However, because power over long periods of time made computer processing of a concern over battery longevity, we used a relatively difficult, thus making all but the image capture step better inexpensive (about US$200), 220-volt rechargeable, 20 suited for the office. GB Chinese unit that lacked image display capabilities. The major considerations when deciding to rely on such Image capture devices are their battery life, durability under adverse The system was built around a professional conditions, and their cost relative to purchasing multiple, quality, high resolution, digital single lens reflex camera in-camera storage cards. For this project, having three capable of accepting exchangeable lenses. Such cameras or four 1 GB cards would be sufficient storage for a field offer many options for capturing, modifying, and storing trip lasting two weeks, thus forgoing the uncertainty of images. For this study, settings were selected to maximize an additional piece of battery-powered equipment. The the quality of resulting images, which simplifies to holding use of multiple cards is recommended because of the the camera steady and striving for the highest quality possibility of malfunctioning of a single, large-capacity captures possible. A sturdy tripod matched with a ball card. head was used to precisely position the camera enabling level, overlapping images typically representing views The rechargeable proprietary battery used in our o of 180-360 and, as necessary, to hold it steady during camera proved to be long lasting under the conditions of long exposures. A low effective ISO rating (125 – 200) this study (approximately 100 images/day, no flash, and was used to reduce digital noise (similar to grain in film limited use of the camera’s LCD screen), and two were cameras). Images were taken in the RAW 12-bit data sufficient for trips lasting up to two weeks. However, file format yielding uncompressed files approximately 8 digital cameras, and most of their modern film counter- MB in size. When storage capacity in the field was limited, parts, are totally inoperable without battery power. RAW files were compressed by 50 – 60 percent using a Hence, adequate back up is a must – this project used a proprietary process reported to cause only a minor loss 30-watt, 220-volt rechargeable unit during long periods in image quality (Cardinal and Peterson 2002). The RAW in the field. The auxiliary battery also allowed greater format yields unadjusted data from the camera’s CCD use of the camera’s LCD screen to examine tonal
Photo-Monitoring of Changes. in Biodiversity in Yunnan Province 125 histograms in the field leading to improved exposures individual pieces of stored information. For this study, (Cardinal and Peterson 2001). such characterizations had to describe visible or other- wise discernable indicators of impacts or threats on key Metadata associated with each image arose from conservation targets. Custom fields were designed for two sources. First, the camera tags an EXIF (Exchange- this study primarily to identify photo-monitoring locations able Image File Format; see: http://www.exif.org/) text in relation to geographical, ethnic, conservation, and file to all images that provides a record of shooting political boundaries (Table 16.2), while keywords focused information (for example, date, time file format, lens, on identification of ecoregional conservation targets, land focal length, shutter speed, etc.). In addition, when cover, land-use, infrastructure, and disturbance (Table properly connected to a GPS unit (Cardinal and Peterson 16.3). 2002), longitude, latitude, and elevation are added to this file. Comments also can be added at the time of Data storage downloading images to the computer. The second source Great care was taken in developing and utilizing a of metadata was a written record of location; transect, multiple storage/archival system owing to the large stop, and view numbers; weather conditions; and investment of time and money that was required to camera compass and tilt orientations. This information obtain the original images. Original RAW images and was added to each image’s IPTC (International Press resulting processed images were backed up on the laptop Telecommunications Council; see: http://www.iptc.org/ computer’s secondary hard disk and a portable hard disk, metadata/) file during the image processing stage. as well as archived on a desktop workstation’s hard disk and on high quality DVDs. The final image database Imaging processing catalogue was backed up on the portable hard disk and Once in the office, RAW images from the camera’s archived on a high quality CD-R. storage cards (or the storage unit) were transferred to a high capacity laptop computer using proprietary transfer 16.4.2 Analytical framework software. These were opened using 12-bit RAW soft- ware and adjusted as needed (for example, tonal range, The YGRP ecoregional monitoring framework color balance, sharpening, white balance, etc.) to identified indicators for discerning trends in key conser- provide the high quality images possible. Camera data vation targets and related threats. As illustrated in Table from the EXIF files were automatically added to the IPTC 16.4 for the Evergreen Oak Forest Target in the Hengduan files while written information had to be added manually. Mountains Ecoregion, this information was used to These images can be opened in any professional image generate related indicators of changes in target health processing software and further manipulated as needed. that could be visually detected from landscape images. All images were numbered consecutively from 00000 and stored in folders by transect. These were in turn either tied to specific keywords used to catalogue landscape images in the database Image and metadata management (Table 16.3) or were detectable from examining changes A high capacity, versatile professional software in the target over time (for example, structural changes package was used for image and data management. This in canopy, extent of burning or clearing, etc.). Figure program uses low-resolution ‘thumbnail’ images linked 16.2 illustrates how a few of these indicators appear in to original files, which are rapidly searchable using a an image from about 3900 m in one conservation area system of predetermined keywords and custom fields in the Hengduan Mountains Ecoregion. (for example, date/time, numbers, text, etc.). Each thumbnail also carries general information that is not When accessing the image database, custom searchable (for example, title, IPTC data, information fields are used to restrict the search to certain ecoregions, about the image file and when it was catalogued, etc.). specific conservation areas, and/or other geopolitical units (Table 16.2), and then keywords (Table 16.3) are The linchpin for any searchable database is the used to further sort for conservation concerns. For development of standardized framework for cataloging example, all photographs of dark needle forests (with
126 BCI International Symposium Proceedings. Table 16.2: Custom fields used for cataloging images in database management system
CUSTOM FIELD NAME DEFINITION Camera Orientation Direction (degrees) camera is pointed for image County County where image is located (n =16) Ecoregions Ecoregion where image is located (multiple entries possible) (N = 5) Ethnic Groups Ethnic groups found in area image is located (multiple entry possible) (N = 14) Focal Length Lens focal length (mm) used for image GPS Latitude (UTM), Longitude (UTM), and Altitude (m) Image Repeat # (0=original) Identifies whether image is original, 1st retake, 2nd retake, etc. Location/Directions Description of the location and directions to photo-stop Miscellaneous Other information including whether telephoto lens is used, whether camera is tilted up or down, whether there was a mistake in the shot, or whether the image is linked to other projects (e.g., Alpine Ecosystem Project, Historical Repeat Photography Project, etc.) Conservation Areas TNC identified Conservation Areas where image is taken in (multiple entries possible) (n = 19) Prediction/Significance Comments on whether we predict any changes or see any significant impacts worth mention Prefecture Prefecture that image is taken Protected Area If applicable, government protected area where image is taken Stop Code The photo-stop number along the given transect TNC Conservation Action Area If applicable, TNC Conservation Action area where image is taken (N = 5) Transect Code Transect number (e.g., 1-15 for 2003 field season) View Code View number for a given photo-stop number Weather, Air/Light Quality Description of weather and air/light quality when image is taken.
Table 16.3: Selected list of keywords used in image database
ECOREGIONAL TARGETS LAND COVER LAND USE INFRASTRUCTURE DISTURBANCE
• alpine mosaic • warm conifer forest • commercial logging • bridges • disturbed forest • evergreen broad-leaf forest • warm scrub • crop fields • roads • human caused fire • mixed forest • upper/lower timberline • grazing • trails • logging roads • dark needle conifer forest • humid shrub • horticulture • public utilities • natural forest disturbance • deciduous broad- leaf forest • arid grassland • fuelwood harvesting • seasonal houses • skid trails • cold evergreen oak forest • lacustrine aquatic • mines & mining • towns & villages • soil erosion
Photo-Monitoring of Changes. in Biodiversity in Yunnan Province 127 Table 16.4: Example of indicator matrix for Evergreen Oak Forest Target in the Hengduan Mountains Ecoregion
Threat Target Health Visual Indicators Target Category Size clearing
Fuelwood structural changes Condition extraction methods
Livestock Bedding Condition structural changes
Size (loss of native Roads, Buildings/structures for tourism, trails, cableways, habitat) billboards Evergreen Oak Tourism & Condition (erosion, Roads, Buildings/structures for tourism, trails, cableways, Forest Infrastructure pollution) billboards Landscape context Roads, Buildings/structures for tourism, trails, cableways, (fragmentation) billboards
Size (loss of native mines, roads, waste material, buildings, impacts to hydrology, habitat) evidence of soil erosion Condition (erosion, mines, roads, waste material, buildings, impacts to hydrology, Mining pollution) evidence of soil erosion Landscape context mines, roads, waste material, buildings, impacts to hydrology, (fragmentation) evidence of soil erosion
their respective ICPT information), in Baima Conservation Figure 16.2 Area and also Deqin County, that show commercial logging, logging roads, and soil erosion can be quickly located from a catalogue of thousands of images from across the entire YGRP area. The power of the system as a search engine is obvious, but its real value to this project arises from its use as an analytical framework for assessing changes in conservation targets and threats over time.
This project has developed a new methodology that will be used for an initial survey to document ‘base- line’ conditions of the YGRP. Hence, comparison photo- graphs will not be available until some time in the future. However, Moseley’s (2004) historical repeat photogra- phy work makes it possible to test the potential interpre- tative value of having an extensive set of paired and well- into a Tibetan alpine valley in the Nushan Conservation documented photographs for all conservation targets Area (Figure 16.3). across all ecoregions and conservation areas in the YGRP area. For example, Moseley (2004) presented two photographs separated by almost 80 years looking
128 BCI International Symposium Proceedings. Figure 16.3
This comparison illustrated marked increases in However, the high quality images resulting from the ecological impacts of yak grazing on the Alpine this methodology offer more options for interpretation. Mosaic Conservation Target: increased number of trails Figure 16.4 illustrates the same valley just discussed, through meadows and rhododendron shrublands, but taken in the fall of 2003. increased number of herder camps, and reduced cover of juniper shrublands due to burning. The conclusion The ability to digitally ‘stitch’ multiple images was, at least for this area, that there has been an increase together into panoramas greatly enhances the landscape in grazing pressure by yaks during the past 80 years. perspective over single images, and the use of high- Moseley (2004) went on to analyze 115 paired photo- resolution color strikingly improves the ability to discern graphs basically assessing whether they showed an vegetation, landscape, and land-use features over using increase, decrease, or no change in area or density of black and white images, which is necessary when various land cover (for example, settlements, glaciers, comparing them to historical photographs. In addition, lower and alpine treelines) and vegetation (for example, the high image quality means that post-capture digital crop fields, subalpine forests, alpine meadows) types, enlargements or telephoto images in the field of portions drawing ecological and conservation conclusions based of a landscape can provide excellent details for fine-scale on the changes observed. This ‘qualitative’ assessment interpretations. of temporal ecological change has been a common and useful approach to interpreting repeated historical photographs (for example, Meagher and Houston 1998).
Photo-Monitoring of Changes. in Biodiversity in Yunnan Province 129 Figure 16.4
Table 16.5: Comparison of photo-monitoring coverage of five conservation targets relative to their geographical extent for three conservation areas
Conservation Targetsb Conservation Total for all Areaa EBF CEO SAF MF AM Areas Images Area Imagesc Aread Images Area Images Area Images Area Images Area % % % % % % % % % % % % Baima 14 18 2 1 5 6 41 47 25 4 42 28 Nushan 20 18 <1 4 0 1 17 35 37 12 35 23 Zhongdian Highlands 48 24 0 <1 10 2 50 46 10 6 34 35 a Images N = 1501; Area N = 3.033 x 106 ha for 19 areas b See Table 1 for codes c Percentages of images from conservation area (N: Baima = 202, Nushan = 303, Zhongdian Highlands = 726; 270 of 1501 were from outside the conservation areas) dPercentage of conservation area
16.4.3 Sampling design A comprehensive GIS database, developed by TNC, was used to examine the variation in key features across the A significant limitation of repeat historical photo- region (Table 16.1). graphy as an ecological tool is the inherent lack of a sampling methodology that assures representative The proportional coverage of particular targets for coverage of natural variation within and between each conservation area was found to best serve the ecologically diverse areas (Pickard 2002; Moseley 2004). purposes of this study (Table 16.5). Distribution maps of This study attempted to overcome this problem by first dominant ethnic minority groups and climatic zones were examining the general variation represented across the used in refining the sampling conclusions arising from YGRP, and then by designing a series of photo-monitor- an examination of the proportion of targets sampled. ing transects that proportionally sampled this variation.
130 BCI International Symposium Proceedings. 2003 data set Fieldtrips were opportunistic in that they took During the summer and fall of 2003, 15 transects advantage of trips arranged for other TNC program along roads and trails were conducted in NWY, yielding purposes. As a result photographs came from only two 157 geo-referenced photo-points and 1501 images (Hengduan Mountains and the Nujiang-Lancang Gorge) (Figure 16.5). of the area’s five ecoregions, and only three (Baima, Nushan, and Zhongdian Highlands) of its 19 conserva- Overlapping, multiple images at different camera tion areas. Only three minority groups (Lisu, Nu, and orientations were taken at each photo-point to allow Tibetan) were represented out of 14 inhabiting the region. photomontages (Figure 16.4) and to avoid the ‘subject All five conservation targets were sampled, but since bias’ criticism commonly directed at historical repeat pho- much of the fieldwork was conducted in association with tography studies (Pickard 2002). This data set primarily TNC’s Alpine Ecosystem Ecology Project, there was a served to test and refine the methodological workflow disproportionate sampling of the Subalpine Forest and discussed earlier. As such, the focus was on developing Alpine Mosaic targets relative to their areas. For similar appropriate camera techniques and image and metadata reasons, almost 90 percent of the images represented management, and not on acquiring a representative sam- landscapes influenced by Tibetan communities, as they ple. Hence, some images and transects were flawed predominately graze livestock at higher elevations making their analysis difficult. However, those that throughout the YGRP area (Xu and Wilkes 2004). were adequate for the purpose of analysis, particularly transects from the latter part of the 2003 field season Baseline sample (fall), will become part of the baseline sample (discussed The three conservation areas surveyed in 2003 in the next section). were examined to determine voids in the database and to design transects needed to complete the coverage of Figure 16.5 the variation represented by the conservation targets, principle ethnic minorities present, and the climatic zones. For example, for Baima additional images of the Subalpine Forests Target are needed in the northern portion of the area (Table 16.5), and a complete sampling scheme is needed for the southern portion in order adequately represent the area’s distribution of two additional ethnic groups and two additional climatic zones (Figure. 16.6). When working in this southern portion, transects and photo-points will be established to sample the distribution of targets proportional to their representation (Table 16.5).
Next, the locations of transects required to cover the sampling requirements need to be determined. Owing to the rugged topography, existing roads and trails must serve as transect paths. Fortunately, the long history of human use in NWY means that trails are common, even across the most isolated regions. GIS-generated maps show the general location of roads and trails in relation to conservation targets (Figure 16.6), but deter- mining the exact location of transects requires input from professionals and local people knowledgeable of the region.
Photo-Monitoring of Changes. in Biodiversity in Yunnan Province 131 eight years. This time period will illustrate relatively little Figure 16.6 ecological change in undisturbed landscapes. However, socioeconomic conditions are changing quickly in NWY leading to rapid changes in land-use and infrastructure, which are represented by changes in threat indicators. For example, a current government program aimed at rehabilitating many over-grazed lands is fencing thousands of hectares across the region (‘Grazing to Grassland’), roads are being built to improve access to remote areas as well as to open new routes for mining and tourism development, and the 1998 logging ban remains in effect. In addition, intensive conservation efforts underway by TNC and other organizations and government agencies are influencing indicators of target health and threats. Hence, it is highly probable, depending on the location, the degree of human disturbance, and the type and extent of conservation interventions, that marked changes in certain landscapes might be detected within a few years. How TNC and its partners address these changes in relation to their conservation activities across the YGRP area is a challenge they are currently addressing. In any case, the systematic and complete ecoregional photo-monitoring of NWY will provide one tool, an analyzed visual database, to help with such determinations.
16.5 Conclusions
This project developed a forward-sampling, ground-based photo-monitoring system for examining ecological changes in landscapes within five major ecoregions in northwestern Yunnan, PRC. It is unique in its design, as other studies rely on historical photographs to support conclusions concerning the present ecological Future sampling conditions of the landscapes in question. The approach The baseline photo-monitoring survey will be reported will yield a comprehensive inventory of such completed over the next two or three years, yielding conditions over time and a means for analyzing visual thousands of images across the YGRP area. The health indicators of ecological change across extensive ecoregion. indicators identified in this project change relatively slowly, but there is little doubt that repeated photographs 50- Three features of this study are critical to its 100 years hence will illustrate marked differences future success as a tool for measuring the impact of (Moseley 2004). However, if repeat photo-monitoring is conservation programs. First, is the use of high quality to be useful to conservation planning by TNC and photography techniques and the efficient management others, it must yield insights much quicker, within a of the resulting images and metadata. Second, is the decade or less. design of an analytical framework for identifying and measuring visual indicators of change that are tied to a It is expected that photo-sample points will be comprehensive conservation planning scheme, here relocated and landscapes re-photographed in three to TNC’s Conservation by Design process. Lastly, is the
132 BCI International Symposium Proceedings. design of a sampling methodology that accounts for the Li, Bo. (2002). The lost horizon: in search of community-based variation inherent in the ecoregions under consideration. natural resource management in nature reserves of northwest Yunnan, China. MS Thesis, Cornell University, Ithaca, New York. 257 p. This project was designed within a conservation context specific to protecting biodiversity and local liveli- Lunt, I. D. (2002). Grazed, burnt and cleared: how ecologists hoods in northwestern Yunnan. Hence, it will prove useful have studied century-scale vegetation changes in Australia. Australian Journal of Botany. 50(4): 391-407. in monitoring not only TNC-specific activities in the region, but also the efforts of other organizations and govern- Meagher, M.; Houston, D. B. 1998. Yellowstone and the ment agencies concerned with the conservation and biology of time: photographs across a century. University of sustainable development of this particular biodiversity Oklahoma Press, Norman, Oklahoma. 287 p. hotspot. However, this methodology also should be Moseley, R. K. (2004). Ninety years of landscape change in adaptable to other locations and different conservation the Tibetan region of Yunnan, China. The Geographical contexts—especially situations where detailed ecological Journal. (in press). data are sparse, access to aerial photographs and satellite Moseley, R. K.; Tam, C.; Mullen, R.; Long Y. C.; Ma J. Z. (2004). data is limited, and relatively rapid and inexpensive land- A conservation project management process applied to moun- scape-level or ecoregional inventories are needed. tain protected area design and management in Yunnan, China. In: Harmon, D.; Worboys, G., eds. Managing mountain protected areas: challenges and responses for the 21st Acknowledgments century. Andromeda Editrice, Colledara, Italy: 227-234.
The authors would like to thank Dr. Ruth Sherman, Myers, N., Mittermeier, R. A.; Mittermeier, C. G.; da Fonseca, Cornell University, for her editorial suggestions and Mr. G. A. B.; Kent, J. (2000). Biodiversity hotspots for conservation priorities. Nature. 403(6772): 853-858. Wu Ning, Peking University, for his assistance with the GIS analysis used in developing the sample design strategy Olson, D. M.; Dinerstein, E. (1998). The Global 2000: a and for helping to draft the figures used in this paper. representation approach to conserving Earth’s most biologically valuable ecoregions. Conservation Biology 12(3): 502-515.
References Pickard, J. (2002). Assessing vegetation change over a century using repeat photography. Australian Journal of Botany. Cardinal, D.; Peterson, B. M. (2001). The D1 generation. Moose 50(4): 409-414. Press, Mammoth Lakes, California. 255 p. Rogers, G. F., Malde H. E., Turner, R. M. (1984). Bibliography Cardinal, D.; Peterson, B. M. (2002). The D100 D1 generation of repeat photography for evaluating landscape change. update: an eBook. Moose Press, Mammoth Lakes, California. University of Utah Press, Salt Lake City, Utah. 179 p. CD-R. 101 p. TNC (The Nature Conservancy). (2001). Conservation by CBD (Convention on Biological Diversity). (2001). Global design: a framework for mission success. The Nature biodiversity outlook. Secretariat of the Convention on Conservancy, Arlington, Virginia. (5 October 2003; Biological Diversity, Montreal, Canada. (1 November 2002; www.conserveonline.org). www.biodiv.org/gbo/). Turner, R.; Webb M.; Bowers, R. H.; Hastings, J. E.; Rodney, Groves, C. G. (2003). Drafting a conservation blueprint. Island J. (2003). The changing mile revisited: an ecological study of Press, Washington, D.C., 457 p. vegetation change with time in the lower mile of an arid and semiarid region. The University of Arizona Press, Tucson, Groves, C. G.; Jensen, D. B.; Valutis, L. L.; Redford, K. H.; Arizona. 334 p. Shaffer, M. L.; Scott, J. M.; Baumgartner, J. V.; Higgins, J. V.; Beck, M. W.; Anderson, M. G. (2002). Planning for biodiversity Xu, J.C.; Wilkes, A. (2004). Biodiversity impact analysis in conservation: putting conservation science into practice. northwest Yunnan, southwest China. Biodiversity and BioScience. 52(6): 499-512. Conservation. 13(5): 959-983. Hall, F. C. (2001). Ground-based photographic monitoring. YGRPPT (Yunnan Great Rivers Project Planning Team). 2002. General Technical Report PNW-GTR-503, U.S. Department of Yunnan Great Rivers Project: northwestern Yunnan ecoregional Agriculture, Forest Service, Pacific Northwest Research conservation assessment. The Nature Conservancy, Kunming, Station, Portland, Oregon. 340 p. Yunnan, China. 78 p.
Photo-Monitoring of Changes. in Biodiversity in Yunnan Province 133 134 BCI International Symposium Proceedings. PANEL 2: Local Livelihoods and Poverty Reduction in Biodiversity Corridors
. 135 136 BCI International Symposium Proceedings. (iii) Community-based organizations had to be 17. Questioning Traditional Livelihood Models: practical and results-oriented, addressing the Lessons Learned from Cardamom Mountains real financial and organizational needs of the Pilot Project (CADP) Cambodia farmers. Suwanna Gauntlett Research included a survey of soil conditions and crops at the target group sites, and at 10 village sites in the Coastal Cardamoms, visits to pilot projects from the 17.1 Introduction Ministry of Agriculture, the University of Preit Leap Faculty of Agronomy, and Cambodian NGOs, visits to The Community Agriculture Development Project farm settlement models in Israel, and an agriculture (CADP) is an alternative livelihoods component of the pre-feasibility study by senior agronomists from the GMS-BCI Coastal Cardamom pilot project located in Hebrew University of Jerusalem (Ayre and Oved 2003). Sovanna Baitong village, Kandal commune, Koh Kong province. In 2006, 193 families are participating in CADP Taking into account hurdles in implementation and 200 additional families will join in 2007 and 2008. during the first three years (2004-2006), the model The project was designed in January - September, 2003 evolved through lessons learned, undergoing several and started in October 2003. modifications with input from the Agriculture Association, observations from the WildAid technical team, and In Year 1, the model was based on low-tech, low expert missions of international agronomists (Volk and revenue crops and focused on subsistence/ food security. Oved 2005). Even though the model of Year 1 did not Practical problems and obstacles created the need for survive, the initial planning and research process yielded continuous learning and adaptive management. Today, invaluable information on the causes of poverty in the in Year 3, the model is based on modern agriculture with Coastal Cardamoms. irrigated cash crops and aims at significantly raising farmer’s standard of living. We have compared the causes of poverty with three types of aid models and have come to the following Every stage of model design is the result of (i) a conclusions: participatory planning process, (ii) research conducted by WildAid technical team, (iii) results produced by the (i) The community-based natural resource Agriculture Association, and (iv) expert advice from management aid model can be a positive international senior agronomists. In the 2003 project step toward helping farmers protect the design and preparation phase (Figure 17.1), WildAid forest through ownership of community facilitated a joint planning process with the farmers while forests and utilization of agro-forestry methods. they were still living in the forest, with the commune council, However, in order to offer a viable alterna- district and provincial government, and the Ministries of tive to forest cutting/burning and wildlife Agriculture, Land Management, and Environment. To poaching, it must be combined with other support the planning process, WildAid gathered relevant means of food and revenue production. If it is agriculture development data and identified models which implemented alone, it encourages farmers to could be applied in the Coastal Cardamoms. use natural resources in a destructive way. This model creates a loss for both the farmers Research was based on three main criteria: and the forest. (ii) The traditional agriculture aid model of (i) Poor slash and burn farmers had to generate low-tech subsistence crops might work in rich enough food to no longer need to rely on soils and mild climatic conditions. It cannot forest resources. work in tropical climates on soils previously (ii) Crops had to be adapted to hot sandy soils occupied by tropical forest. This model does with heavy rains. not provide a viable alternative livelihood for farmers to stop forest destruction because it
Questioning Traditional Livelihood Models: Lessons Learned from Cardamom .Mountains Pilot Project (CADP) Cambodia 137 Figure 17.1: 2003 Participatory Planning Process
Participatory Process - CADP Planning and Design Phase
▲ Chi Phat
LAND ENCROACHMENT FA - WA Identified ▲
100 - 300 Hectares forest burnt/month ▲ SWEC Pilot Project areas where ▲ Chay Araing ENDANGERED WILDLIFE POACHING 1 year destruction
32 elephants and 12 tigers killed in May 2001 - April 2002 - March 2003 was the worst December 2002 ▲ Talam
PLAN Participatory Planning Process 1. Demarcation (WA)
▲ 2. Assist slash and burn farmers • ID land (MAFF + DG Thmar Bang) Village chiefs, Commune Council, • Give land titles (MLMUP) District Governors, Governor, • PRA (WA) National Steering Committee • Research (WA) (MAFF, MOE & MLMUP), WildAid • Create agriculture project (WA) • Funding (WA)
3. Continue law enforcement (FA) ▲
PRA ▲
Population Census Land Surveys Aerial Surveys
GIS Mapping ▲
Demarcation (Participatory Process) ▲
Agriculture Pre-feasibility Study CADP 2004
▲ Pilot Project
Design of CADP ▲
Fund-raising ▲
MAFF donated land for 400 families over 4 years
does not yield enough food nor enough revenue. 17.2 Benchmark socioeconomic data1 (Table 17.1) With the low-tech subsistence model, farmers simply continue hunting, burning and logging The Cardamom Mountains have a total population as before. of 166,186 representing 70,610 families. In the Coastal (iii) CADP aid model based on modern agriculture Cardamoms, where the GMS-BCI Pilot Project is located, encourages farmers to produce food and there is a population of 70,610, with 13,472 families. The revenues and helps them become responsible majority of families have six to 12 children and live below stewards of natural resources. Instead of the poverty line at an average $82 per household (poverty using the forest for consumption, they line at $200 per household). Based on SEILA data, preserve the forest for anti-erosion and approximately 20% of the population is illiterate. In April watershed, and as an asset for eco-tourism. 2002, when the Forestry Administration, the Department We believe that this model can help farmers of Nature Conservation and Protection and WildAid in tropical regions to access a higher standard started their biodiversity protection program in the of living and truly lift them above the poverty line. It does require more funds, but international aid efforts miss the mark if they don’t plan 1 The baseline socioeconomic data was gathered by the SEILA teams long-term programs where money is spent in Koh Kong province. The revenues per family were collected by in the field, providing the poor with land, WildAid during Participatory Rural Appraisals (PRAs) conducted in 2003, 2004 and 2005 in the villages of Chi Phat, Teuk Laak, Chomsla, equipment, capital, on-the-job technical training, and Kamlot (Chi Phat Commune), Veal Tapou (Trapeang Rung and access to markets. commune) Pongkan (Tatai commune), Preik Tanon, Kompong Pleu, Morseat, Thamar Andet and Thamar Domrei (Andong Tuek commune), Bak Angrut (Dong Peng commune), Prolean (Kandal commune).
138 BCI International Symposium Proceedings. Cardamoms, the majority of families’ revenues were in Chi Phat who grows oranges on 5 ha and makes about 100% dependant on forestry and fisheries resources. 20,000/year; a handful of pepper growers near Sre Ambel This included logging, burning the forest for charcoal with unknown revenues seem to be making a good production, slash and burn2 of forest for agriculture living), or small businesses such as restaurants, mechanics production, and a small amount of agro-forestry. Most repair shops, hardware stores, construction equipment villagers were hunting wildlife everyday for subsistence rentals and clothing. and supply to the wildlife trade. 100% of the restaurants were serving wildlife dishes. Fisheries were already It is interesting to note that, even after working in depleted in 2002 because of industrial trawling from Sre Chi Phat commune for over four years, and having Ambel and Tmar Sa: too many boats with nets too long conducted two participatory rural appraisals (PRAs) with and too deep, coming too close to shore. Additional population censuses, we still don’t know the exact destruction was routinely implemented through illegal number of families living in the commune. In 2005, fishing methods such as use of nets with mosquito net WildAid’s PRA identified 292 residents in Chi Phat fabric, industrial spot lights at night, Cyanide and village along with 22 non residents (owned land in the various pesticides, dynamite, and electrocution. village but did not have a house and did live there). The same year, in 2005, SEILA’s count was different, with When the Forestry Administration and WildAid 270 families in Chi Phat village. In 2006, WildAid’s land threat assessment started in April 2002 with the South use planning team is now facilitating the PLUP process West Elephant Corridor (SWEC) program pilot project, (Participatory Land Use Planning) in the four villages of there were 37 to 40 criminal forest fires any given day. It Chi Phat Commune and, here again, there are discrep- was identified that these were the result of local authorities ancies in numbers. During the information gathering clearing state forests to sell the land. This is important phase of Chi Phat zoning and demarcation, our team socioeconomic data supporting the findings that most of received the list of residents of the four villages from the the population of the Coastal Cardamoms is heavily Commune Council. The team then visited every family dependant on the forest for subsistence and revenues. on-site to take exact UTMs of the land for which they The local authorities make their revenues through sale claim ownership. The following discrepancies were of state land, logging and charcoal sales across the identified: border. Poor people contribute through labor. Charcoal (i) There were 401 names on the Commune list. production is controlled by a few wholesalers who (ii) 199 of these residents could not be found assure smooth exports to Thailand. The logging business (the village chiefs are now searching for them is lead by individual military stations which have created to see if they live with other relatives and do fiefdoms and well organized trade routes. The wildlife not own land, or have moved out of the trade is centered around Chi Phat, Tmar Bang, and commune). Kamlot with middlemen seemingly reporting to one main (iii) 222 additional residents with land ownership wholesaler. were identified by the WildAid land-use planning team, who are not on the list provided The top traders in logs, charcoal and wildlife are by the Council 3. considered affluent, along with a few quarry owners who (iv) 69 land owners were identified that are not supply stones and gravel to the province. An emerging residents of the area (i.e. they own land but middle class is establishing itself in Koh Kong and Sre don’t have a house there and don’t live there) Ambel towns and, to a lesser measure in Andong Tuek, and are from Phnom Penh, Koh Kong or Sre Trapeang Rung, and Tatay. This middle class owns small Ambel towns, Andong Tuek or Tmar Bang fruit or spice plantations (there is one plantation owner villages.
2 Most of the slash and burn conducted in the Coastal Cardamoms is not based on cyclical swidden agriculture where forest lots are burned 3 This list has now been given to each village chief to help identify if on a rotational basis, allowed to regenerate and cultivated again after a these additional residents are family relatives of the residents on the number of years. commune list.
Questioning Traditional Livelihood Models: Lessons Learned from Cardamom .Mountains Pilot Project (CADP) Cambodia 139 Table 17.1: Baseline socioeconomic data of the Cardamom Mountains
Information from SEILA database
All villages in BCI pilot site Villages in Coastal Cardamoms incl’ Bokor No. province 6 2 No. districts 15 7 No. communes 51 27 No. villages 281 86 Population 166,186 70,610 females 84,924 35,411 males 81,262 35,199 age 0-5 yrs 24,661 9,772 age 6-17 yrs 57,400 25,549 No. families 33,503 13,472 rural 31,138 11,107 urban 2,365 2,365 Illiterate population 29,592 13,906 females 16,468 7,685 males 13,124 6,221 Primary school enrolement (0-5 yrs) 179 179 females 81 81 males 98 98 Secondary school enrolement (6-17 yrs) 40,013 15,226 females 19,609 7,290 males 20,404 7,936 No. families with access to piped water 416 416 rural 0 0 urban 416 416
Information from Chi Phat PRA 2004 (average) Chi Phat (from SEILA database) Population 1,192 Agriculture production (metric tons’ 000, per annum) females 572 Rice (slash & burn) 0.234 males 620 Rice (grass) 0.034 age 0-5 yrs 219 Per Capita income ($) 82.04 age 6-17 yrs 330 Income based on source % ($) No. families 270 Rice (87%) 71.38 Illiterate population 196 Salary (5%) 4.10 females 134 Resin (3%) 2.46 males 62 Fishing (2%) 1.64 Primary school enrolement (0-5 yrs) Tepirou oil (1%) 0.82 females 0 Other crop (1%) 0.82 males 0 Other income (1%) 0.82 Secondary school enrolement (6-17 yrs) females 98 CADP (estimated) 2004 (average) males 158 Per Capita income ($) 245.27 No. families with access to piped water 0
17.3 Project population target selected as the primary target group for the alternative livelihoods project because, of the three communes, this The project model targets the poorest farmers of is where farmers had caused the largest forest destruction— the Coastal Cardamoms who survive on unsustainable 13,400 ha of tropical forest burned and cleared. Chi Phat slash and burn agriculture and wildlife trade. WildAid also represented the largest hub for the wildlife trade. identified the population target through a nine-month threat assessment of the Coastal Cardamoms4. Three WildAid’s Participatory Rural Appraisal in 2003 communes were identified where forest clearing was at its identified that 280 families in Chi Phat commune5 had worst: Chi Phat, Talam, and Chhay Areng. Chi Phat was been conducting unsustainable slash and burn agriculture since 1980. These farmers were previously sedentary rice 4 This list has now been given to each village chief to help identify if these additional residents are family relatives of the residents on the 5 These 280 farmers came from four villages in the commune of Chi commune list. Phat—Chomsla, Teuk Laak, Kamlot and Chi Phat.
140 BCI International Symposium Proceedings. farmers during the sixties and early seventies. In 1975, signal boundaries beyond which farmers the Khmer Rouge imposed collectivism, confiscated plowing could no longer burn the forest equipment and buffalos. When the regime collapsed in (iv) Ranger patrolling - to enforce the demarcation 1979, farmers ran away into the forest, with no other option line than to burn the forest to cultivate their rice. Crops initially benefited from tree ashes as fertilizers, but as soon as the Joint responsibilities were agreed upon: heavy rains arrived, they washed away top soil, ashes (i) Agriculture research and assistance would and most of the seeds. As a result, the soil was no longer be provided by WildAid fertile the following year, forcing farmers to burn a new lot (ii) The land for the project would be donated by of forest again. They went through the same cycle every the Ministry of Agriculture and land titles year, each family destroying approximately 1-1.5 ha of would be facilitated by the Ministry of Land new forest per season, producing only meager yields6 . Management (iii) Demarcation would be facilitated by the To make things worst, families would take out the Commune Council, District Governor and tree trunks and roots, in the hope of gaining more land WildAid for their crops. This unfortunate practice destroyed the (iv) Ranger patrolling would be conducted by the eco-system even further— heavy rains no longer had Forestry Administration tree roots to act as conduits to help water seep into the soil and reach underground water aquifers. Instead, It took us a year, working with the farmers and the water would accumulate on the ground, compacting the government at all levels to come up with a practical, soil. As a result, one single kind of grass was able to feasible solution. We facilitated a considerable amount grow, Aland alang (Imperata grass), with tall, fibrous of participatory planning (Figure 17.1) and conducted leaves and very deep, thick roots that quickly invaded research in Chi Phat commune at the farming sites of the cleared areas, preventing the tropical forest from slash and burn farmers as well as at 10 village sites regrowing and completely eliminating plant biodiversity. throughout the Coastal Cardamoms. It was identified that agriculture production in villages in Talam (located Thus imprisoned in a cycle of poverty and destruction, between Chi Phat commune and road 48) were benefiting Chi Phat farmers moved further and further into the forest from better soil conditions, better water supply and better each year, living in isolation from their original communities. access to roads for transport of products to market. We worked with the Ministry of Agriculture (MAFF) to identify 17.4 Project planning subsistence models that could be replicated in the Car- damoms. The most successful pilot sites were those Based on this data, WildAid worked closely with implemented by MAFF in cooperation with the Food and the Chi Phat Commune Council, the Governor of Koh Agriculture Organization (FAO). Other sites focused on Kong, the Ministries of Agriculture and Land Management soja production, diversification of vegetable production to issue a joint plan that would solve the problem of ever and seed yield improvement. WildAid visited research increasing forest destruction in the Commune of Chi Phat plots at the Preit Leap Agriculture University and studied and help the families transition out of the forest. the Kiboutz and Mushava models in Israel.
The plan specified four action steps with roles and After compiling the research data, we shared the responsibilities: results with the Chi Phat families practicing slash and (i) Agriculture assistance - so farmers could burn and worked together to create a new agriculture return to permanent agriculture model for them. It was decided that a new village would (ii) Land titles - to prevent further migration be created in Talam, close to road 48 to benefit from soil (iii) Forest demarcation - on-the-ground posts to and terrain conditions, water supply, and access to road 48. The Ministry of Agriculture donated 1,500 ha for the project and the governor of Koh Kong committed to 6 Average yields were 250 kilos per hectare. providing the permits for the new village, the new school,
Questioning Traditional Livelihood Models: Lessons Learned from Cardamom .Mountains Pilot Project (CADP) Cambodia 141 the Agriculture Association and to facilitate the import of and facilitation for the creation of two community-based equipment and seeds. The project started in October 2003 organizations (an Agriculture Association and a Community with preparation of village infrastructure, road Fund). construction, drainage, soil leveling, school, delineation of lots with the Ministry of Land Management, plowing and This Year 1 pilot project (2004) was based on soil preparation. Families started arriving in February 2004. local crops that can sustain rough climatic conditions but it failed because it met even tougher weather than 17.5 CADP model anticipated. The 2004 dry season was the longest the province had known in 50 years, with nine and a half WildAid designed its CADP to benefit both the months of drought. It quickly became apparent that forest and the people, with the aim of helping farmers irrigation was necessary. We realized very quickly that generate enough revenues so that they could stop this model was too focused on subsistence, and too burning and hunting altogether. reliant on weather conditions. It would not even allow farmers to subsist properly without hunting. Good This was a real challenge given the severe farmers initially worked hard and made a profit but, climate conditions that prevail in most of Cambodia— facing drastic climatic conditions, basic vegetable crops long dry seasons without any rain, followed by long rainy did not survive and the second rice harvest failed. seasons with excessive rain. In the Cardamoms Mountain watershed, rain is even more severe than in the rest of We measured success through monthly house- Cambodia with 3,000-5,000 mm/year. Given these hold surveys to identify revenues. A model based on one constraints, most of the growing takes place at the harvest of rice during wet season, and one harvest of beginning and at the end of the wet season, when rains drought resistant field crop (cassava, sugar cane) was are intermittent. Rice is about the only crop that grows not enough to supply a family, even if they had two successfully during the rainy season, along with a small piglets and three chickens and a home garden. During amount of agro-forestry products such as cashew nuts. the whole first year and a half, the project had to Sugar cane, cassava and taro are about the only field supplement food supply with rice distributions. Distribu- crops that can grow during the dry months. However, tions only stopped when irrigation was installed for all rice provides only subsistence and, even when families the families in late 2005 and the first crops of vegetables have large yields, they tend to keep their harvests in could be sold. reserve and distribute portions to their relatives, rather than selling for revenues. Sugar cane and cassava We came to the conclusion that we wanted to provide provide very slow growing crops (seven months average) farmers with more than just subsistence. Subsistence because they stop growing during the dry season until alone would not be enough to help them change their the next rains arrive. As a result, these crops only provide behavior. We wanted them to stop hunting, charcoal small revenues to the families. production, and slash and burn and shift their aware- ness—to stop reliance on resources and not always look In Year 1, the model was entirely centered around at the forest as their survival base. This subsistence subsistence because of the nature of the data that had model would ultimately lead farmers to return to the been collected during the planning and design phase. forest. We needed to make improvements. Every piece of local data that we collected said that the only crops that could succeed in the area were the ones In October 2004, we launched a four ha pilot farmers were already cultivating—i.e., rice, taro, and irrigation project and invited two teams of international sugar cane. In an attempt to increase the rate of success experts to provide advice on improvements. In January of this subsistence model, we added small livestock 2005, the irrigation lot was already had yielding yielded distribution (two piglets and three chickens per family), in four months, 10 times more revenues for the pilot creation of family home gardens with vegetables and fruit families than they had previously collected through trees, provided a relatively small amount of equipment drought resistant crops. Irrigated crops included tomatoes, contribution (tractor plowing only), a mini-credit scheme, eggplant, squash, and corn.
142 BCI International Symposium Proceedings. A team of senior agronomists from the Hebrew (ii) Better technical training in the field (no more University of Jerusalem came to CADP in November classroom teaching!) with capacity building 2004, to study the feasibility of irrigated cash crops of of family group trainers7. Working with the vegetables. In January 2005, a team of tropical agriculture farmers has proven to be much more effective experts came from the Universities of Essex in the UK than theoretical training. Our experience is and Khon Kaen in Thailand (Volk and Oved 2005). Both showing that, when it comes to implementation, teams recommended the installation of an irrigation the best practice is hands-on soil preparation, system and specialization of vegetable and fruit tree cash planting and harvesting with the farmers. crops. In addition, the tropical agronomy experts advised on the need to rebuild top soil with cow manure, compost, Discussions on problem-solving and issues resolution termite mound soil and green manure and invited the can be conducted in the assembly room, but for agriculture leaders of the Agriculture Association to visit the lessons, they must be practical and on-site. neighboring province of Surin in Thailand to learn from farmers that had started irrigated vegetable cash crops 17.6 Assumptions of the CADP model 20 years ago and were making a good profit. The CADP model is based on a number of This is the tipping point at which we started moving assumptions: away from the subsistence agriculture model to adopt a (i) that poor uneducated farmers can vastly combination of modern agriculture, top soil rebuilding improve their standard of living when given techniques and agro-forestry perennials. This approach, the opportunity, called Integrated Agriculture Systems, is the one that is (ii) that the popular subsistence model of farmers implemented by farmers today in CADP. The model is living off forest resources is unsustainable for now in its third year and still undergoing refinements. In both the forest and the people, Year 3, CADP’s biggest improvement efforts focus on: (iii) that most aid programs today adopt low-cost, (i) Better identification of markets and better short-term options for poverty reduction, planning for market niches - farmers are getting (iv) that true poverty reduction in tropical climates organized by Centers to identify separate requires long-term investments, and markets and diversify production (for example, (v) that, ultimately, no. (iv) will be the only option Center 1 could focus on production of spices left for aid agencies (no more forest, no more and herbs, Center 2 on flowers, Center 3 on food, then we’ll have to start looking at real vegetables). solutions for the poor).
Table 17.2: Year 1 - model for food security
Each family receives 1.5 ha land, capital, equipment, inputs and capacity building on-the-job I. Food security
a. Home garden: 0.25 ha b. Subsistence crops: 0.75 ha c. Small cash crops: 0.5 ha • Vegetables and fruit trees • Rice (wet season) cassava • Home nursery sugar cane, taro, • Fast growing firewood sweet potato • Livestock (2 piglets, 5 chickens) (dry season) • Home compost and natural pesticide
7 Families are grouped by ten and each group elects a group leader. The leader becomes the technical expert for the group and trains two more technicians who help the families in the field.
Questioning Traditional Livelihood Models: Lessons Learned from Cardamom .Mountains Pilot Project (CADP) Cambodia 143 Table 17.3: Year 2 - model for food security and long-term economic sustainability
Each family receives 1.5 ha land, capital, equipment, inputs and capacity building on-the-job I. Food security
a. Home garden: 0.1 ha b. Subsistence crops: 0.4 ha c. Small cash crops: 0.5 ha • Vegetables and fruit trees • Rice (wet season) Sugar agro-forestry • Home nursery cane, taro, sweet potato (firewood, vanilla, • Fast growing firewood (dry season) ginger) • Livestock (2 piglets, 5 chickens) • Home compost and natural pesticide
II. Long-term economic sustainability
a. Irrigated vegetables and fruit trees b. Sale of products on local and c. Capacity building • Intensive vegetable growing (0.1 ha) international markets: • Agriculture technical • Fruit tree orchard intercropped with • Spices and vegetables (ginger, corn, and marketing skills vegetables (0.4 ha) pineapple, gourds, long beans • Business management skills • Fruits (citrus, jackfruit, mango, and community services rambutan, durian, longan, banana, and lychees) • Sale of handicrafts
Table 17.4: Year 3 - model for food security and long-term economic sustainability
Each family receives 1.5 ha land, capital, equipment, inputs and capacity building on-the-job
Farmers get organized to target specific national and international markets Market planning is now segmented per Center8 to diversify produce and assure stepped production every week, instead of massive yields every 3 months
17.7 Conclusion Asia, through fires for commercial plantations, and through massive logging. Wildlife has disappeared in Having worked for the past 12 years with govern- most Asian countries now and wildlife viewing is a rare ments and communities to help protect biodiversity in occurrence. The wildlife trade is everywhere, starting national parks in six countries, WildAid has observed that with poor villagers hunting every night to sell their catch the natural resource subsistence model cannot work in to their local middleman. It is time to conserve what is the new millennium. With overpopulated communities left. Instead, we give the forest and wildlife to the poor and ever shrinking forests, aid agencies should no longer people to finish it off. encourage poor farmers to live off natural resources. Forests are being wiped off the map all over Southeast Although minority populations have conducted agro-forestry methods for hundreds of years with varying degrees of sustainability, their populations were small 8 A Center is three family groups = 30 families. and contained. We think that, today, the carrying capacity
144 BCI International Symposium Proceedings. of the forest can no longer afford this type of exploitation c) access to technical know-how, equipment by local communities. With exponential increases in and inputs population (each family has six to 12 children) and d) access to national and international markets drastic reduction in forest resources, it is unwise to build alternative livelihood projects on forest products. For Outputs subsistence alone (and no sale to the trade), one person (i) farmers evolve beyond hand-to mouth, have would need one square km of forest to provide enough enough revenues to buy, borrow and save protein through wildlife catches. For example, there are (ii) subsistence from forest and wildlife is eliminated 401 families in Chi Phat commune with 2,807 people to (1 hectare of forest preserved per family per feed (counting each family with an average of seven year) children), which each require one square kilometer of (iii) awareness has shifted: forest is now under- forest, or a total of 2,807 square kilometers! stood as watershed, erosion protection, and a destination for eco-tourists Using the above assumptions, the CADP WildAid (iv) lifestyle is improved: families live in a model aims at helping farmers to completely stop their community with support services (Community reliance on forest resources. Fund, Agriculture Association, school, health services) The target group, objectives and outputs of the (v) education level is raised (all children go to model can therefore be summarized as follows: school) Target group (vi) families no longer live in debt (i) poorest farmers With first steps come good results, but also set- (ii) 100% dependant on natural resources (forest and wildlife) backs. CADP is a learning organization and is refining (iii) do not own agriculture land (70% have its model — not just as an Agriculture Association, but also as a community. Some families are more successful houses with small non-cropped lots, 30% than others, some farmers are very interested in learning have no houses) from lessons learned and others are not. Reaching the (iv) destroying natural resources: non-sustainable slash and burn and intensive hunting, causing goals stated above will take time, but the results are worth eco-system fragmentation the investment. We believe that there really is no other (v) do not have tilling equipment: conduct option than to invest for the long-term: poverty reduction subsistence “chamka” slash and burn rice and biodiversity conservation walk together and hold our cultivation with low yields (average 800 kg/ future in their hands. ha), some roots (taro) and sale of wildlife to wildlife traders for revenue References (vi) live isolated (vii) children do not go to school Pretty J. and Sawaeng Ruaysoongnern (2005). WildAid Community Agriculture Development Project: Towards Agricul- (viii) indebted ture Sustainability University of Essex, UK University of Khon Kaen, Thailand Model objective Volk, A. and D. Oved (2003). Agriculture Pre-Feasibility Study (i) Create a model that will reverse the cycle of in Koh Kong Province poverty and destruction where both people and natural resources are destroyed Volk, A. and Oved Daphna, (2005). Feasibility Study for (ii) Help farmers become financially self-sustaining Agriculture Sustainability at WildAid Community Agriculture Development Project and reduce their reliance on natural resources (iii) Provide farmers with: a) land ownership b) access to capital
Questioning Traditional Livelihood Models: Lessons Learned from Cardamom .Mountains Pilot Project (CADP) Cambodia 145 South Asia and West Africa. These species are also 18. A Biofuels-based Livelihoods Strategy: providing opportunities for improving rural livelihoods and Energy Trees for Electricity, Transport, and alleviating poverty. Oil extracted from Pongamia, neem, Climate Change. Field Experiences from and Jatropha seeds, in particular, can be used to produce Asia and Africa biodiesel—a methyl ester formed by transesterification of vegetable oils with methanol in the presence of a Emmanuel D’Silva catalyst. The Indian government has proposed a blend of five percent biodiesel with 95% petroleum diesel by 2010 as a means to increase energy security. Summary
The high price for international crude oil—reaching a peak of US$ 75 per barrel—has generated a lot of interest in renewable energy, including oils extracted from tree-borne seeds. There are an estimated 300 tree species in the tropical world from whose seeds oil can be obtained, but only four or five have been tested.
My paper focuses on the various value additions that are possible from at least three species—Pongamia pinnata, Jatropha curcas, and Azadirachta indica. Raw oils from these species have been used to produce electricity, pump up groundwater, and run farm equipment. Andhra Pradesh leads other states in India in promoting the new oil These species can be grown mainly on degraded land economy. The Forest Department and other agencies have planted rather than good agricultural land, often as part of millions of Pongamia and Jatropha saplings on degraded public lands. In Adilabad district, where most of my efforts have been concentrated, a government programs in afforestation, watershed million Pongamia saplings were planted in 2005. An additional million management, and agroforestry development. Several saplings will be planted in 2006. These saplings will begin to yield community-level enterprises have developed in processing seeds in six to seven years when they become mature trees. Some 19,500 raw oils and packaging oilcake. Local, state, and federal self-help groups of women and over 1,000 forest communities are involved in tree planting and seeds collection. Community groups are governments in several countries have begun to take also active in extracting oil from these seeds. interest in biofuels because of the potential for creating rural employment, increasing income, improving the environment, and displacing oil imports. 18.2 Benefits
Improving rural livelihoods is the main focus of the India has an estimated 130 million hectares of biofuels-based strategy adopted in Adilabad district, wastelands. The government has estimated at least 40 India and in Niger, West Africa. This strategy can help to million hectares of such land can be used for biofuel plan- preserve forests and conserve biodiversity by giving tations. Pongamia and Jatropha, in particular, grow well forest-dependent communities opportunities to escape in these areas. For a farmer, one hectare of 400 rural poverty. There are also possibilities for mitigating Pongamia trees can provide a net present value of Rs climate change. 193,000 (over US$ 4,200) over a period of 40 years with an internal rate of return of 25%. For the community, the 18.1 Introduction benefits include incomes from oil, oilcake, and carbon.
A little known tree originating in South Asia Other rural benefits of biofuel include generation (Pongamia pinnata), an exotic bush emanating from of electricity, pumping ground water, and running farm Central America (Jatropha curcas), and a tropical tree equipment. For the general public, there is also the added with cross continental appeal (Azadirachta indica) are environmental benefit of biodiesel reducing harmful helping to lay the foundation of a new oil economy in greenhouse gases by more than 50%. There is a vast,
146 BCI International Symposium Proceedings. generally untapped source of carbon trading under terms over three years, equivalent to about 75 hectares of land. of the Kyoto Protocol. Farmers can also use oilcake as Based on current consumption, just a hectare of a substitute for chemical fertilizers. Pongamia trees would have been sufficient. However, the surplus seeds should ensure a sustainable income Women have been in the forefront of these efforts. in the future. They collect Pongamia seeds from forests, crush these seeds into oil at specially installed oil extractors, and 18.3.2 Water system market both the oil and the residue. The success of women-run enterprises has spread beyond Adilabad In Kishtapur village, a new water system has been district to other areas in Andhra Pradesh and India and put in place which provides groundwater to the local beyond. The experiment is now being replicated in Niger, community for drinking and irrigation. The water system West Africa. is presently powered by a blend of Pongamia oil (20%) and petroleum diesel (80%), but in five years—when the The overall objective of this new biofuel-based 20,000 Pongamia trees planted begin to yield oilseeds - initiative is to provide a source of livelihood to the rural it will be run purely on Pongamia oil. A 300-feet deep poor—in particular, indigenous women - increase borewell pumps up water for distribution to 25 farmers. employment and income, while also supporting reforesta- Each farmer gets water sufficient to irrigate one acre. tion and improving the environment. The strategy Water supply is metered. Farmers pay for the water in adopted is to plant Pongamia trees as part of govern- cash. A participatory hydrological monitoring system ment programs in reforestation, watershed management, ensures that the water is not over-extracted. A village- and other programs. To avoid monoculture, mixed tree level committee comprising representatives of participat- species are planted alongside Pongamia. During the ing farmers and the seven women’s groups active in the five to six years it takes for Pongamia trees to bear seed, village runs the water system. The water system was a number of income-generating activities are taken up; installed at a cost of about $7,000. The local community these include, vermi-composting, bee-keeping, tree contributed 10% of the capital cost, while the rest came nurseries, and value addition to bamboo. Carbon in- from the USAID project. Farmers hope to use the water come is an additional incentive. to grow second and third crops, which will have a positive impact on their incomes. 18.3 Community enterprises 18.3.3 Oil mill 18.3.1 Power system The women of Powerguda are the proud owners Generating electricity locally is a powerful idea. of the first community-owned mill that crushes Pongamia In the village of Chalpadi, where this experiment first seeds into oil. The machine has a capacity to crush 50 began in 2001, two power generators (one served as a kgs of seeds per hour. Residents of nearby Kommuguda back-up in case of malfunction) each with a capacity of and faraway Ravenpalli bring their Pongamia seeds here 7.5 KVa were installed. The generator ran on Pongamia to be converted into oil for use in their power generators. oil. It took about two liters of oil (equivalent to eight kgs The women of Powerguda have a good business sense. of seeds) to fuel the generator per hour. The village They buy Pongamia seeds and sell Pongamia oil and generated 10-12 KW of power to light 12 family homes the oilcake. They also extract oil for a fee. The women’s and public areas. Each household supplied one kg of group keeps track of diesel oil price at the local gas station seed per day, or 300 kgs per year. Marubai and other and adjusts the price for Pongamia oil accordingly. The women of the village ran the decentralized energy local government paid for the mill cost of $5,600, but system built at a cost of $6,000. The local government Powerguda’s women bear the costs of operation and paid this capital cost so it could serve as a demonstra- maintenance. The machine runs on Pongamia oil tion project, but the costs of operation and maintenance instead of electricity. The mill should reach its full were met by the women’s group. To ensure future oil potential in 2007 by which time the thousands of newly supply, the villagers planted 30,000 Pongamia saplings planted Pongamia trees will begin to yield oilseeds.
A Biofuels-based Livelihoods Strategy: Energy Trees for Electricity, Transport, and Climate Change.. Field Experiences from Asia and Africa 147 18.3.4 Oilcake 18.4 Conclusions
The residue from oil extraction - roughly 75% of the The small, village-level experiments in biofuel Pongamia seed by weight - can serve as a good substitute production and use are having a big impact on state and for chemical fertilizer. The N:P:K content of Pongamia federal governments in India. These governments have oilcake is better than farmyard manure. Field studies recognized the enormous potential of biofuels production conducted by the International Crop Research Institute in generating rural employment and incomes, rehabili- for the Semi-Arid Tropics (ICRISAT) in Adilabad indicate tating degraded public lands, and displacing petroleum that Pongamia cake increases yields by at least 25% when imports. The Andhra Pradesh state government has compared with farmer’s practices. However, the optimum created a new department to promote biofuel plantations solution is a 50:50 mix of Pongamia cake and inorganic and value additions in mainly arid districts. At the federal fertilizer (Table 18.1). As a result, Pongamia oilcake has level, a National Biodiesel Board has been proposed for become a good byproduct for sale to farmers. this purpose. A national task force on biofuel, which covers both ethanol and biodiesel, has proposed a series of actions, regulations, and policies to promote Table 18.1: Impact of Pongamia fertilizer on cotton, the use of biofuel in the transport sector. Powerguda Village, 2004 The other conclusions that can be reached from Fertilizer treatment Average cotton Increase over field-level work are the following: yield (g/sq m) farmers’ practice (%) (i) The biofuels-based strategy can help lift people out of poverty through right interventions Farmers’ practice: 1 bag DAP 125 -- in land, water, and energy. Inorganic fertilizer: 120 kg N/ha 174 39 (ii) Oil-bearing energy trees could serve as a fulcrum of development and a source to Pongamia oilcake: 300 kg/ha 156 25 reduce pressure on biodiversity. 50:50 mix: Inorganic fertilizer 179 43 (iii) Pongamia, neem, and Jatropha plants provide (60 kg N/ha) + Pongamia cake (150 kg/ha) an important source for producing electricity, Note: 1 bag of Di-Ammonia Phosphate (DAP) contains 9 kg of N and for pumping ground water, and for substituting
23 kg of P2O5 fossil fuel. Source: D’Silva et al. (2004) (iv) Carbon income could provide “seed money” for tree planting activities. 18.3.5 Biodiesel (v) The biofuels strategy could be packaged into watershed development, community forestry, The most valuable end of the biofuel value chain combating desertification, and protecting is biodiesel production. In Europe, biodiesel is produced biodiversity. mainly from rape seed and in the United States from (vi) Experiments in India, now replicated in Niger, soybeans. Most of the raw material in the production of could be expanded to other countries if the biodiesel in India will come from Pongamia pinnata and enabling conditions are right. Jatropha curcas grown mainly on degraded lands. Several commercial-size and community-owned biodiesel plants References with daily capacities ranging from one ton to 50 tons per D’Silva, E.H., S.P. Wani, and B. Nagnath. 2004. The Making of day are coming up across the country. Small farmers, New Powerguda. Community Empowerment and New women’s groups, and forest communities are going to Technologies Transform a Problem Village in Andhra Pradesh. become important suppliers of raw materials for these Patancheru, Andhra Pradesh. International Crops Research plants. Considering India’s energy needs, and its Institute for the Semi-Arid Tropics. dependence on oil imports, domestic biodiesel production from a forest-based resource has important implications for the forest sector.
148 BCI International Symposium Proceedings. A cornerstone of the study was to assess the 19. Raising Rural Incomes while Conserving the environmental compatibility and impact of rural enterprise Environment, Non-Timber Forest Products, development and expanded commercialization of small- Specialty Agriculture Products, and holder resources. Aspects of environmental compatibility Compatible Enterprise Development in and impact include: Cambodia and Viet Nam (i) production and processing is non-polluting, Maureen DeCoursey does not consume large amounts of energy, or create excessive waste; (ii) potential for organic/integrated/chemical free 19.1 Introduction and background production or sustainable wild harvests; (iii) suitability for land rehabilitation and sustainable In 2005, USAID and Winrock International under- agriculture systems including agroforestry, took a study to better understand the opportunities and permaculture and other low-impact and tech- constraints of environmentally sound rural income nologically-appropriate farming methods; generation in Asia. The study was conducted in Viet (iv) suitability for production in buffer zones of Nam and Cambodia and focused on smallholder national parks and wildlife preserves, natural resources, in particular on-farm specialty agriculture forests, watersheds, biodiversity corridors products and non-timber forest products (NTFPs). These and other areas of critical environmental products were chosen because of their direct relation- concern; and ship to smallholder incomes, lack of information (espe- (v) minimum ecological footprint—low/no impact cially on market potential), and linkage with environmental on terrestrial and aquatic ecosystems, wild- conservation objectives. The goal of the study was to life habitat and ecosystem services. contribute to USAID’s efforts to overcome constraints in promoting smallholder resources on a larger scale while safeguarding the natural resource base on which they Definition: environmentally-compatible rural enterprises are viable commercial activities that have minimum environ- depend. mental impact through the full production and processing cycle. They are typically small-scale, involve people that are In Cambodia, the study team conducted a broad- highly dependent on the environment, and are conducted based rapid assessment of existing opportunities and in a way that protects or enhances biodiversity, ecosystem services, natural resources, and general landscape values. constraints. In Viet Nam, they focused on learning about the SUCCESS Alliance (Sustainable Cocoa Extension Services for Smallholders) as a potential model for These findings are based on a rapid assessment environmentally sound rural enterprise development and only; more research is needed to refine observations and public-private partnership. The main objective of both recommendations. efforts was to provide analysis and concrete examples of how to more widely raise rural incomes while 19.2 Environmentally compatible rural enterprise: conserving natural resources in Asia. Secondary objec- lessons learned tives centered on direct technical assistance to the AID mission and projects in each country. The lack of successful, environmentally sound rural enterprises stems from many site-specific factors In addition to specifics on NTFPs and specialty that are too varied and numerous to address here, however agriculture products, larger issues of policy, business and some of the more prevalent ones are summarized investment climate, governance, infrastructure, capacity, below. These are relevant for NTFPs, on-farm specialty donor support and credit facilities were investigated to agriculture products, and small-medium enterprise (SME) gain a better idea of the context in which smallholder development in general. enterprises operate and the constraints and opportunities (i) Interventions aimed at improving the returns of micro and small rural businesses in general. from NTFPs and specialty agriculture products often took on too many products and/or the
Raising Rural Incomes while Conserving the Environment, Non-Timber Forest Products, Specialty Agriculture Products, and Compatible Enterprise. Development in Cambodia and Viet Nam 149 whole sector, as opposed to strategically new crops were also rarely considered, and choosing one or two key products and working if so, were often chosen without adequate to improve the value chain of each. market knowledge and linkages. (ii) Project strategies lacked accurate market (x) Segmented technical assistance did not information and were not demand-driven. address the whole supply/value chain. (iii) Strategic alliances and concrete linkages with Agriculture and natural resource projects industry were lacking. tended to be production or management (iv) Conservation, agriculture and natural resource focused, while enterprise development management projects and organizations projects focused mostly on processing and typically lacked business development sales. The lack of attention to understanding expertise. the whole supply chain often made for (v) Small-medium enterprise (SME) development uninformed and wasteful interventions that projects (and to a lesser extent agriculture had few long-term benefits. and natural resource management projects) (xi) There was not enough emphasis on small- typically lacked the expertise, time and holders, women and micro-enterprise. Benefits resources to address resource management from firm or cluster-based SME development issues for NTFPs effectively. The time and rarely trickled down to the beginning of the resources needed to improve resource supply chain and hence had little positive management and commercial operations for impact on smallholders and their families. ONE NTFP are often formidable; many (xii) The need to build local/national businesses projects failed trying to work with several institutions and capacity was not given products at one time in the typical project time enough attention. frame (3-5 years). (xiii) Cluster Theory-based approaches to enterprise (vi) Resource tenure and access rights were often development were and continue to be not adequately addressed in a typical SME unrealistic as currently conceived and or NTFP projects. implemented. Projects often dealt with too (vii) SME development schemes tended to be many divergent products and industries at biased towards urban and more established one time, limiting their ability to deal with all firms in the formal sector: rarely did they the needed and often unique issues for each address the network of raw material producers supply/value chain in an effective manner. in rural areas that “feed” a given industry. The time frame is too short, there are not (viii) Projects dedicated to SMEs, NTFPs and enough resources, and raw material production specialty agriculture products tended to focus and environmental issues are ignored. on market development first and foremost and (xiv) Policy, governance and business climate typically ignored environmental management issues were often ignored. concerns. Raw material supply, processing (xv) Expectations about the benefits of certification issues, localized and landscape level and premium pricing for rural producers from environmental impacts were not sufficiently green, organic and niche product marketing addressed in project activities. were often over-estimated. (ix) Many past projects were narrowly focused (xvi) Rural producers were often poorly matched on conventional agro-enterprises/commodities, with target markets. ignoring the range of traditional and/or informal (xvii) Private entrepreneurs who are committed, income generation activities available. These skilled and reasonably “connected” were included seasonal, home-based and natural often missing from the development assistance resource-based enterprises such as NTFP “team.” collection and processing. Specialty and or
150 BCI International Symposium Proceedings. 19.3 The SUCCESS Alliance in Viet Nam: A model (i) focus on a single crop that meets agroeco- of public-private partnership for environmentally logical, market, and social criteria, sound rural development? (ii) focus on the whole supply/value chain from producer to local buyer, international The SUCCESS Alliance is an innovative, market- commodity brokers and industry end-buyers, driven, public-private partnership aimed at assisting (iii) environmentally-sound growing methods smallholder farmers to produce high-quality cocoa beans such as agroforestry, multi-cropping and in an environmentally sound manner. The objectives of permaculture planting systems in degraded the Winrock assessment were to better understand i) areas, the use of native species and other the potential role of the private sector in rural develop- commercial crops, limited use of agrochemicals, ment and poverty alleviation, and ii) the environmental (iv) a socially sound strategy that targets small- benefits of the project and how they can be expanded or holders and facilitates women’s involvement, replicated in other projects. This included identifying reduces risk by incorporating other commercial “best practices” in partnership development as well as crops, and develops/strengthens local project design and implementation, highlighting the great institutions (“cocoa clubs”), value and benefits to be had from focusing on one (v) capitalizes on mutual needs and mutual specific product and the whole supply/value chain. The benefits—meets a true industry need for overall mission of the SUCCESS Alliance is: more cocoa and better production/pest control methods, and meets a social need To promote prosperity amongst cocoa smallholder for better incomes from agriculture in farmers through the growth of a cocoa industry world- impoverished rural areas of Viet Nam, wide that is socially, economically, and environmentally (vi) mainstreams cocoa production and extension sustainable. in government policy and programs (both central and provincial levels), Viet Nam is one of the fastest developing countries (vii) has a unique and visionary private sector in the world. It is also a country of major ecological partner who believes that environmentally importance, harboring a large array of rare and threatened sustainable cocoa production supports the plants, animals and habitats, many of which do not exist long-term business interests of the industry, anywhere else on the planet and are irreplaceable. (viii) has a long-term time frame, and Rapid economic growth has resulted in numerous (ix) has commitment and cooperation from all environmental problems including (but not limited to): parties at all levels - industry, project, government, farmers. (i) loss of forest cover through conversion to agricultural land; 19.4 Cambodia: constraints and opportunities in the (ii) pollution of air, water and soil; development of non-timber forest products (iii) biodiversity and habitat loss; and on-farm specialty agriculture products (iv) degradation of environmental services such as watershed function Over 80% of Cambodia’s 13 million people are a) threatens supply of clean and ample smallholder and subsistence-based farmers. At least 25% water for drinking, lives in or near forest areas and strongly depend on b) hydroelectricity generation, forest products to add to their meager incomes and c) irrigation for downstream users. supply personal needs such as cooking and heating fuel, food and medicine. Forests therefore play a crucial role The SUCCESS Alliance appears to be sound in meeting rural livelihood needs as well as providing a model for both public-private partnerships as well as wealth of resources needed by the whole country. Even environmentally sound rural development. Key elements so, forests are decreasing at a rapid rate due to large include: scale deforestation from government sanctioned logging operations.
Raising Rural Incomes while Conserving the Environment, Non-Timber Forest Products, Specialty Agriculture Products, and Compatible Enterprise. Development in Cambodia and Viet Nam 151 The overall quality and extent of the natural service provision, including management of natural environment is also diminishing due to water/soil resources) and association development of all kinds. pollution, extensive and improper use of agrochemicals, Even though few rural businesses or smallholder loss of habitat, non-renewable energy use, and over- commercial farming operations are truly sustainable, it harvesting of aquatic resources (especially fish) and appears that with the needed support and/or as long as terrestrial resources (wildlife, plants). These trends do they remain “under the radar screen,” they can operate. not bode well for the people of Cambodia nor the conservation of biodiversity in country and the Mekong 19.4.1 Non-timber forest products Basin as a whole. A non-timber forest product (NTFP) is defined here Even though food and security issues have been to describe all non-woody plant materials that originate mostly resolved, country indicators are worse than they and grow naturally in forests and other ecosystems. In were 10 years ago. Domestic markets for conventional Cambodia, well over 1000 species are collected for a agriculture products are approaching saturation and the wide variety of subsistence and commercial purposes. need for diversification in both products and markets This study focused on commercial species due to the great. large volumes involved, their demonstrated market value and existing marketing infrastructure, and the lack of The biggest challenge for rural enterprise develop- attention paid to this sector. While there are many ment of any kind is the Cambodian government. serious resource management issues to contend with, Corruption at all levels is high, stemming from the unholy the opportunities for development are good because of alliance among government bureaucrats, the private the demand and the local familiarity with the projects. sector, the military and the police. Rural smallholders have little ability to meet the high transaction costs Common commercial NTFPs include: of doing business, and without outside support, their (i) resin from the trees Dipterocarpus allatus, prospects for success are dim. Cambodia is also the Shorea guiso, Shorea vulagris, etc., most expensive place in Asia to do business of any kind; (ii) fruits of the Samrong Tree (Scaphium as such, most commercial business is conducted along macropodium), informal/illegal channels. (iii) heartwood (Eaglewood) from the tree Aquilaria crassna, Even so, there are some glimmers on the horizon. (iv) “Yellow Vine”— the stem of the forest liana There have been many improvements in infrastructure Teramnus labialis, (communications—especially cell phones, transportation (v) stem and bark of the Cinnamomum and roads, storage facilities) which have improved cambodianum, market access for Cambodia products. There is also an (vi) mushrooms of various kinds, especially emerging “Made in Cambodia” movement featuring “Sokrum” (Xylia xylocarpa), specialty products grown and processed in-country, (vii) rattan (various species for construction, fiber, often by social entrepreneurs. These include organics, furniture, etc.), “pesticide free” product, essential oils, honey, silk, (viii) bamboo (various species for food, construction, handicrafts, gourmet foods and animal feed as well as furniture, etc.), and conventional foods such as fish sauce, noodles and (ix) medicinal plants (600+). soymilk. These are produced for the domestic markets, tourists, upscale urban markets in Phnom Penh, as well Any NTFP slated for commercialization must as for limited export. include a sound resource management strategy to ensure sustainability — to do otherwise risks causing or The number of supermarkets and other retail outlets exacerbating harvesting pressures and local extirpation. are also increasing, and Cambodia’s first even trade fair was held recently. Other positive trends include govern- NTFPs with development potential in Cambodia ment decentralization (commune level government include:
152 BCI International Symposium Proceedings. (i) bamboo for domestic/international food and (vii) Use NTFP business development to improve furniture markets, governance and increase transparency in (ii) tree resins for the boat repair, paint, and rural areas, including an overhaul and perfume industries, simplification of the existing regulatory system (iii) fuelwood and charcoal for the domestic market, and better enforcement of existing laws. (iv) medicinal plants for domestic markets, and (viii) Provide assistance to commune councils to (v) essential oils (cinnamon, eaglewood, and manage and develop NTFPs profitably and others) for domestic/export markets. sustainably. (ix) Work to establish NTFPs as a priority Some of the main obstacles to development include: sub-sector for pro-poor trade initiatives and (i) lack of good governance, value-added processing improvements. (ii) policy weaknesses and lack of enforcement, (x) Review and revise the regulatory framework (iii) lack of regional and international market for all NTFPs. information, (xi) Conduct a comprehensive study of NTFPs (iv) lack of scientific and enforceable resource in locations of interest to determine site- management, specific opportunities and needs. (v) little/no value added locally, 19.4.2 On-farm specialty agriculture products (vi) lack of species-specific production and resource management information, and (vii) very few sources of sustainable supply. Some of the on-farm specialty crops grown by smallholders in Cambodia are: Recommendations (i) Pepper (ii) Vanilla (i) Choose NTFPs for development strategically (iii) Chilies (Capsicums) on the basis of biological/ecological suitability, (iv) Other Spices (i.e. turmeric, ginger) market demand, socio-cultural compatibility (v) Medicinal plants (Artemesia annua) and familiarity, and business feasibility. (vi) Essential oil plants (basil, lemongrass, etc.) (ii) Use “Community-Based Tree and Forest (vii) “Pesticide Free” fruits and vegetables (for the Products: Market Analysis and Development” Phnom Penh market) (FAO) and Supply Chain Analysis to selection (viii) Organics (certified)—rice, cashews, possibly the “best bets.” others (iii) Focus on one or two key products and (ix) Palm trees for the production of wine, vinegar, improve the whole supply/value chain candy, soft drinks for domestic and export a) Resource management can be difficult markets (10,000+ at risk from over-harvesting (x) Mulberry trees for silk production globally; difficulties in enforcing manage- ment/tenure rights; harvesting can destroy Due to the rapid nature of this assessment, only the plants, etc.) one product—pepper—could be investigated in detail. b) Market improvements can be challenging. Other products may have better potential for development, (iv) Boilerplate approaches do not work—each but more targeted research is needed to better under- NTFP, community, situation is very different stand the pros and cons of each. and requires a tailored approach. (v) Traditional products are much easier to Cambodia currently produces black pepper but improve than developing new products. estimates vary widely – from 2,500 MT to 11,000 MT. (vi) Explore market potential with local, national, Most of is produced is sold “unofficially” to Viet Nam and regional, international buyers via industry Thailand. The inherent quality of Cambodian pepper insiders and natural product trade shows appears to be good, but samples should be checked in such as the Natural Product Expo. a laboratory. There appeared to be a lot of “light berries”
Raising Rural Incomes while Conserving the Environment, Non-Timber Forest Products, Specialty Agriculture Products, and Compatible Enterprise. Development in Cambodia and Viet Nam 153 in the current product – this is a sign that there could be (ix) Explore opportunities to grow pepper in significant improvements in farming and growing practices areas of high conservation value such as which would yield significant improvements. Pesticides buffer zones of national parks, wildlife corridors may also be an issue (not just for pepper.) and watersheds. (x) Cambodia should consider branding their As far as spices are concerned, pepper probably pepper under the name Kampot pepper. In has development potential while vanilla and chilies order for the branding to be successful, a probably do not. Obstacles to development are similar quality assurance and control system must to those for NTFPs. be successfully instituted to insure that the merchandise exported under the brand meets Recommendations all of the buyer’s needs and specifications. (xi) Research sales other than black pepper, i.e. Main opportunities for pepper are to: white pepper, green peppercorns, etc. (i) improve quality and production (xii) Ensure that any value-added activity beyond (ii) improve market access and marketing skills increasing yield and quality (i.e., milling, packaging, etc.) is done in conjunction with Other recommendations are: ready buyers. Too often producers assume that they will be able to sell value-added (i) Provide support to the Cambodia Spice products, but ultimately find out that the Association. This includes market, agronomic market is not interested. and post-harvest handling training, as well as general capacity-building. 19.5 General conclusions and recommendations (ii) Emphasize environmentally-sound growing practices, including organic and/or integrated Environmentally compatible rural development is production methods. These may be more no longer an option—it is an absolute necessity. More cost effective in the long-term and offer entry than 1 billion people now live below the poverty line in into specialty markets. the 25 global biodiversity hotspots identified by Conserva- (iii) Conduct targeted market research. Explore tion International. In Asia especially, rapidly expanding opportunities in the organic and specialty economic development activities have stressed irreplace- markets including direct exports to the US, able ecosystems and dramatically reduced important France, India and other countries. biodiversity areas. They have fragmented the landscape (iv) Learn about industry standards and buyer and reduced its ability to deliver a range of critical envi- specifications, market segment, end-uses, ronmental services such as water supply, delivery and GMPs (good manufacturing practices, for filtration and flood control. They have also greatly example the American Spice Trade Association compromised future socioeconomic and market devel- “Clean Spices” program), etc. opment potentials. Environmental sustainability has (v) Work with a local research institutes and been recognized as central to the success of reaching industry to design Best Management Practices the Millennium Development Goals of eradicating and help Cambodia develop a reputation as hunger and poverty. As such, rural development of all a high quality and trusted producer. kinds must now be completely compatible with and (vi) Develop a smallholder farm model to compare supportive of environmental health at all levels. conventional with organic production methods and determine which is the most cost-effective Conventional approaches are not adequate to in the short and long-term. protect biodiversity, maintain critical environmental (vii) Improve quality and yield through better services AND improve the livelihoods of the rural poor. farming and post-harvest handling practices. Clearly we need a new model, one that brings together (viii) Forge linkages and collaborate with legitimate the wealth of sustainable living technologies as well as buyers and end users in Phnom Penh, Viet business and market development skills that are tailored Nam, and internationally. to the needs of the rural poor. 154 BCI International Symposium Proceedings. Annex 19.1: Guidelines for raising rural incomes the (viii) To reduce poverty, target smallholders, green way raw-material collectors, and women in the development of the whole supply chain. (i) Development decisions are often made Women are often highly dependent/involved based on poor market and opportunity in NTFPs and specialty agriculture already. assessments. (ix) Make sure the budget and timeframe of the a) Need market research - what does industry project are realistic—the time needed to need/want? “institutionalize” results is often long. b) Explore market development opportunities (x) Use indicators and measures that deal with at all levels (local/regional/tourist/interna- quality, NOT quantity. tional markets) (xi) Stress environmentally sound production c) Match producer capacity with appropriate (agroforestry, integrated, organic, etc.) in markets areas of conservation concern (watersheds, d) Specialty markets may be easier to protected area buffer zones, conservation access due to volume requirements and corridors, etc.). natural products “culture” (xii) Consult with reputable environmental groups (ii) Focus on one or two products; projects are during project design to maximize environ- often too broad given the budget and resources mental benefits and achieve real sustainability. available. (xiii) Attend trade shows and use private sector (iii) Focus on traditional products first. expertise for technical assistance. (iv) Conduct adequate baseline research (xiv) Orient initial project activities toward improving a) Step 1: Use Community-based Tree and raw material quality, price, and delivery to Forest Product Enterprises: Market Analysis establish a credible supplier reputation. and Development, and other rapid (xv) Mainstream product support/extension, research and business planning tools to sustainable production practice and identify the range of products, issues, pro-smallholder policies into national frame- opportunities, and players. works. b) Step 2: Choose 1-2 priority products/ enterprises using market, environmental, social, and technical/logistical selection criteria. c) Step 3: For each, conduct an in-depth supply chain analysis; foster partnerships with key players; tailor an approach to the unique needs and potentials for each product, enterprise, and country—boiler- plate strategies will not achieve satisfactory results. (v) Policy and business climate issues often create significant obstacles but may be over- come with single product focus and public private partnerships. (vi) Develop strategic alliances with the “right” private sector partners—not all are interested or equipped to support social and environ- mental goals. (vii) Market, product and human resource develop- ment are equally important.
Raising Rural Incomes while Conserving the Environment, Non-Timber Forest Products, Specialty Agriculture Products, and Compatible Enterprise. Development in Cambodia and Viet Nam 155 growth. By the end of the millennium, poverty reduction 20. Linking Communities to Employment and the closely linked issue of local and landscape level Opportunities and Markets: Policy and development took a prominent role, while integrating Institutional Design Aspects environmental aspects seriously has become more wide- spread. Development initiatives today are comprised of Ewald Rametsteiner better coordinated and well-balanced portfolio of measures that complement bottom-up implementation with top- down approaches. The following principles of develop- Summary ment work are often explicitly stated: pro-poor targeting, conservation and sustainable use of natural resources, The paper briefly reviews insights from different decentralization and equal citizens’ rights, local gover- economic and policy disciplines in relation to the promotion nance and capacity development, multi-stakeholder of local level economic development. They show conver- partnerships. gence on a number of lessons and recommendations that are applicable in a rural forest-based development program Dependency on rural economies and income is planning context. These include a strong trend toward high in the GMS, as is the threat to future biodiversity more integrative and holistic approaches, higher impor- and natural resources by overexploitation and habitat tance placed on contextualization and local involvement, loss, which in turn has detrimental effects on rural poverty. emphasis on market-supporting institutions and people Biodiversity conservation corridors, such as those promoted empowerment. While such “best practice rules” are by in the BCI, have become important and complement now rather well acknowledged on a general basis, many protected areas with the goal to restore severed or differences and difficulties emerge on a more concrete degraded corridors or habitat linkages between core and practical level of development program design and areas. This needs to be linked to poverty reduction implementation. measures that provide opportunities for local people to participate in paid corridor restoration work and in its A number of cases largely from outside the Greater management. Further, it is essential to ensure and Mekong Subregion (GMS) are presented for policy and improve the economic basis for regions with high institutional designs in relation to program implementa- emphasis on conservation. This can be achieved through tion geared towards local level involvement, sustainable reducing market-distorting rules and price-distorting economic development and livelihood as examples to illegal products and the structure of markets for tradi- illuminate experiences with their practical application. tional forest or agro-forest products, market supporting The cases, while not necessarily directly transferable to measures for a wide range of underdeveloped markets the GMS region, provide food for thought and an oppor- of non-wood products as well as creating or promoting tunity to learn from experience made toward building markets for services, including recreational (eco-tourism), sound policy and institutional frameworks for longer-term educational and ecosystem services. All of these forest-related local or rural development in the context produce additional benefits and provide sources of of the GMS Biodiversity Conservation Corridors Initia- supplementary income. Linking local actors and tive (BCI). communities1 to markets and exploiting market oppor- tunities is thus an essential component of sustainable 20.1 Introduction conservation efforts (Scherr et al 2002, Vedelt et al 2004, Sunderlin et al 2005). The last decades saw big changes in development thinking. In the 1990s, development concepts and goals were increasingly linking the notions of economic growth, distribution and poverty reduction. By the latter half of 1 The term “local community” is used in its meaning of having ‘some- the 1990s the complementarity of states and markets thing in common’ in a local setting, and can refer to a neighbourhood, was increasingly widely acknowledged. This consensus village, town, etc. but also to local groups with a shared socio-economic understanding. Community capacity is the collective ability of a postulates that private enterprises operating through the community to respond to challenges and to create and take advantage market are the main engine of sustained economic of opportunities.
156 BCI International Symposium Proceedings. This paper presents and discusses insights from studies exist of development programs being stymied different initiatives in relation to the design of policies by capture of local governments by powerful local elites and programs that aim to promote local level economic which distort and divert public programs to benefit development with a view to linking communities to themselves at the expense of poor minorities4 . employment opportunities and markets. Linking local communities to markets requires determined efforts by Many issues related to decentralization have been many actors on different levels as well as sound policies covered recently by intensive research on: experiences and institutions2 . This paper focuses on the institutional of decentralization and devolution (Ribot 2005, Interlaken design part of policy and program making, not on 2004, Enters et al 2000, Shackleton et al 2002), tenure specific project implementation. It does so by high- and property rights (White and Martin 2002, Interlaken lighting two core components-namely empowering local 2004), accountability (Agrawal and Ribot 1999, Bischof communities and assisting in their linking to markets. 2001), local level asset assessment and participatory Examples are taken from outside the GMS region. By planning and decision making (Sheil et al 2002, Larson showing cases from developed regions the aim is to 2004, Agrawal and Gupta 2005), etc. Figure 20.1 shows complement other initiatives presented at the symposium commonly found forms of transfer of rights and respon- that focus on developing country cases. sibilities away from central governments towards local populations and related accountability relationships. 20.2 Empowering local communities: decentraliza- tion and bottom-up emergence Decentralization being one of the strongest policy trends of the last decade, many development initiatives Decentralization3 of authority and devolution of targeted at local communities have had similar experi- power to local communities has recently become wide- ences, both good and bad. In many cases the evalua- spread. Decentralization and devolution are tools for tion of project implementation and direct experience promoting development and are aimed at increasing revealed that a number of factors are frequently cited to efficiency, equity and democracy. These initiatives have be of crucial importance for success. Amongst others, it transferred responsibility, from central ministries to local is often found that in successful projects the target group governments or community representatives, over has a sense of “ownership” of ideas and of initiatives. In procurement, selection of local projects and identifica- rural communities of poor countries, in particular, social tion of beneficiaries. It is viewed as a way to make norms sharply distinguish ‘outsiders’ from ‘insiders’. government more responsive, efficient and accountable. People are often wary of “outsiders” such as employees Effectiveness and efficiency should increase because of central government or international NGOs and are greater local input should result in better-targeted quite skeptical of new concepts being imposed on them policies and lower transaction costs. While is expected and their way of life. to increase local accountability, this is frequently ques- tioned, since it is based on the assumption that local On the other hand, lack of capacity and initiative democracy will function effectively. Numerous case impedes local communities to effectively take things in their hands. Furthermore, implementers of development concepts and projects have learned the importance of 2 The term “institution” is used in its broad meaning, i.e. the prevailing tailoring model approaches to local contexts. The move rules of the game in society. This includes informal (e.g., moral codes, self-enforcing agreements, social networks) and formal rules (legal rules towards more contextualized approaches not only in the enforced through third parties). planning phase of development policies but in all stages of policy planning, implementation and evaluation is 3 Decentralization is usually referred to as the transfer of powers from central government to lower levels in a political-administrative and territorial hierarchy (Agrawal and Ribot 1999). Deconcentration, refers to a transfer to lower-level central government authorities, or to other 4 At the local level in situations of high inequality collusion may be local authorities who are upwardly accountable to the central govern- easier to organize and enforce in small proximate groups but it is no ment (Ribot 2002). Political, or democratic, decentralization refers to secret that the state is also sometimes captured by special-interest groups the transfer of authority to representative and downwardly accountable and lobbies who do not have, to use Olson’s (1982) phrase, an “encom- actors, such as elected local governments. Devolution is the relocation passing interest” in the productivity of the society and may thus of power away from a central location (Fisher et al 2000). prolong socially inefficient institutional settings.
Linking Communities to Employment Opportunities and Markets: . Policy and Institutional Design Aspects 157 Figure 20.1: Different forms of power transfers and related accountability (Ribot 2005)
Central Government Accountability ▲ Ministries: Donors Big NGOs Health Power Transfers ▲ Environment Education P RI Contracts and Grants V
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▲ ▲ ? ? ▲ ▲ STRONG WEAK
Local Populations certainly a great step forward in acknowledging that the emphasis on accountability, especially through enhanced conditions as well as the routes to successful develop- transparency of procedures and decisions as well as ment are too diverse to be adequately covered by an enhanced participation. Institutions of local democracy off-the-shelf approach (Rodrik 2004, Roda et al 2005). and mechanisms of political accountability are often very weak. Usually the competency of staff in local bureauc- Overall, development seems to continue to be racies is very low, in undertaking basic accountability directed towards a local or landscape level focus beyond tasks like accounting and record keeping. Effective rent a specific sector, such as agriculture. There is an seeking and capture by local elite groups and exclusion increasing emphasis on people and the need for learn- of disadvantaged groups is thus a frequent issue that ing and knowledge accumulation. This is variously needs to be adequately addressed. If poverty allevia- expressed by using different terms such as social capital, tion is an explicit or implicit goal, explicit steps to effec- empowerment, participation or an emphasis on learning. tively reach the poor, often in remote backward areas, This reflects an increasing recognition that facilitating are needed. better access to opportunities or creating a situation which allows households to create their own opportunities is In respect to building markets it is important to likely to be more cost effective for improving livelihoods emphasize that local level economic development is than focusing support on a particular sector or sub-sector embedded in national economies. National economic or rural economic activity (Ellis, 1999). This calls for a development, according to a wide consensus amongst strong focus on demand-driven tacit empowerment and development economists, requires states to be active the creation of “learning-by-doing” enabling environments. and get things right in a few key areas. The most impor- Domestic and international market and market access tant institutions are those rules and regulations that building is likely to continue shifting towards the center protect property rights, enforce contracts, enable of institution building in development oriented work of market-based competition, set appropriate incentives, national and international organizations. sound money, and sustainability of debt. The list of first- order principles for economic growth was augmented in Equally important is the strengthening of institu- the second half of the 1990s with a series of so-called tions that provide stable and simple rules and put specific second-generation reforms that were more institutional
158 BCI International Symposium Proceedings. in nature and targeted at problems of “good governance” (SMEs) and micro-enterprises are particularly important (Rodrik 2004). Institutions and governance take center in the development of rural economies. stage as weak institutions are not only an inequitable burden on citizens, they also act as a brake on economic During the economic crisis in Japan in the 1990s, growth and reduce private enterprising or divert it into the ministry often seen as hugely influential in the rent-seeking or other socially unproductive activities. economic success model of Japan a decade earlier, the Institutions are equally relevant for both functioning Ministry of Economy, Trade and Industry (METI) reoriented markets and functioning governance structures. its administrative structure to fill the huge gap between top-down implementation of policies and the bottom-up 20.3 Case 1: institutional and administrative emergence of SMEs. Beginning in the late 1990s, a restructuring – putting the local level first total of 55 local governments throughout Japan established regional platforms merging public-owned agencies, which The first example of institutional design is taken previously each fulfilled a different function (Colovic- from an unlikely corner: industrial policy in a developed Lamotte and Tayanagi 2004). METI reoriented the country - Japan. Throughout the 1980s, this country was mission of the Regional Bureaus of METI (RBETIs) to admired for its highly effective institutional design for node regional/local networks and established the Japan economic development policy. The case is taken to Association of New Business Incubation Organizations illuminate a central concept of institutional design: central (JANBO). Both moves were made to support and governments do not know “what to do”, especially in less promote regional platforms, with the establishment of favoured regions, as they lack information on local level one-stop coordination systems for various regional contexts, capabilities and opportunities. One conse- actors such as SME managers, university professors, quence often was government support to large firms, with entrepreneurs, business consultants, local officers etc. a disregard of the needs and opportunities of local micro- This in effect was a copernical change from a top-down enterprises. The latter, being bound by the local limits of large-scale industrial policy to a support system for capabilities, often lack the “know-how” to break out of promoting and facilitating bottom-up emergence of SME their local limitations. Small and medium enterprises activities (see Figure 20.2).
Figure 20.2: Organizational change model of METI’s regional economy and industrial policy
Source: Colovic-Lamotte and Tayanagi 2004.
Linking Communities to Employment Opportunities and Markets: . Policy and Institutional Design Aspects 159 The problem for central governments is that they promote rural development through a new, small-scale have very little information on the local needs, delivery approach to rural development in particularly lagging costs and the amount actually delivered. Many programs areas. It was started as a program in 1991 with LEADER in developing countries have thus a large gap between I (217 initiatives supported), continued with LEADER II a commitment of resources at the central level and (1994 – 1999, 998 local action groups and other collec- effective delivery of services at the local level. Decen- tive bodies supported), and is now in its third phase, tralization, by shifting control rights from the central LEADER+ (2000 – 2006). bureaucrat to a local government, typically tends to expand service deliveries as authority goes to those more The LEADER concept is based on elaborating and responsive to user needs. implementing a «local action plan» which has to be put in action within a period of six years based on a partner- The lesson from this case is quite wide-ranging ship between local public and private actors. It is thus when put in a context of the GMS-BCI: If local communities following an area-based approach whose focus is to and micro-enterprises are to be the core actors for provide opportunities for funding small-scale initiatives development in certain rural regions, ministries that are developed by local groups, building on region specific strongly related to rural development, such as agriculture contexts. It puts a strong emphasis on capturing inno- and forestry, are well advised to re-think their adminis- vative ideas and answers to existing problems through trative models of service delivery from centralized top- local multi-sector integrated approaches. The public- down “one-size-fits-many” to the effective support of private interaction on local level should enable joint local network-building. In service deliveries as well as in learning and network-building. local business development, control rights in governance structures should be assigned to people who have the According to an independent evaluation of requisite information and incentives, and the responsi- LEADER II, the program proved to be adaptable to every bility for the (political and economic) consequences of rural socio-economic and governance context. It brought their decisions. At the same time it is important to keep local actors, administrations and support structures closer in mind that structures of local accountability are often together and mobilized the potential of voluntary work not in place, and local governments are often at the mercy among local people. It fitted well to small-scale area-based of local power elites. Capture of the local government, activities and projects in lagging regions and vulnerable i.e., the tendency for the service to be overprovided to rural territories. The efficiency of the initiative was local elites at the expense of the non-elite, needs to be reduced where the local group started late and did not actively counterbalanced. To facilitate this, central have enough time to implement the local program. government may sometimes have to play an activist role Another hindering factor was a disempowering adminis- in enabling (if only as a ‘catalyst’) mobilization of people trative environment which means: cumbersome decision in local participatory development, in neutralizing the making processes, sectoral barriers to the territorial power of local oligarchs, in providing supra-local support approach and lacking support for the local group (ÖIR in the form of pump-priming local finance, supplying 2003). technical and professional services toward building local capacity, acting as a watchdog for service quality The same evaluation showed that LEADER II standards, evaluation and auditing, investing in larger effectively closed the gap between a top-down program infrastructure and providing some coordination in the face and the local people, their needs, aspirations and potential. of externalities across localities (Bardhan 2002). It conveyed responsibility to local partnerships and contributed by re-linking public and private, profit- 20.4 Case 2: capturing local ideas and initiatives making and non-profit activities, as well as infrastructural for market-led development and entrepreneurial activities. It induced a mentality change among local actors from passive to active The second case presented is a policy designed attitude. The leverage effect on private funding turned to capture ideas emerging “bottom-up” on the local level. out to be higher than expected almost everywhere. The The European Community Initiative “LEADER” aims to effectiveness of the initiative was reduced if the
160 BCI International Symposium Proceedings. implementation time was too short to let the local group 20.5 Case 3: bundling and focusing of local initiatives come into direct contact with the people’s initiatives, and to strengthen market access if the local leaders generally disregarded the bottom-up approach. This was often combined with a weak and Amongst a large number of examples for promoting unrepresentative local partnership (ibid.). market related development and market access for local communities, the following two cases are chosen as It opened up new avenues creating added value examples of effective initiatives: producer cooperatives in rural areas and creating synergies between existing and cluster policies. value added chains. It contributed to capacity building at local level in and around the local partnership. Many 20.5.1 Producer cooperatives local programs integrated environmental concerns into social and economic development at a strategic level. Producer cooperatives are not new. In fact they Public and private actors started to act in common, or have a long history. In countries or regions where intensified their cooperation. The initiative could not regimes have forcibly taken private property and established contribute to sustainable development, if the local part- communal management, these forms of management nership and technical assistance were prematurely often have a loaded image that is difficult to overcome disrupted through cutting funds at the end of the once the principle of private property or at least communal programming period. It had also difficulties to serve this property is re-established. Whereas in the former case goal, if the continued dominance by a single sector or cooperation was a forced political imperative or driven public actors constituted a barrier to meet the develop- by political or ideological motives, it is a free decision ment needs of the area. driven by efficiency and profitability considerations in a market system. The design of this program is one of the best documented examples of a bottom-up local development Cooperation of owners/producers strengthens the initiative that does not pre-define the areas to be devel- individual owner’s position and is beneficial for developing oped but leaves it to the local community or to local his own enterprise. The goals of producer cooperatives actor networks to identify opportunities and develop ideas are often very similar. They are installed to promote better how to bring them to fruition. While the program design forest or land management, to reduce the amount of in- has faced some scepticism at the beginning for its low dividual investment by pooling and sharing machinery, level of top-down orientation, it has proven to be one of time and know-how. They are very often established the best accepted and most effective programs that has primarily to strengthen the negotiation position of its further developed into mainstream development policy members in the market, like wood buyers. By collecting for rural areas in the EU. wood from many individuals cooperatives can offer the market more attractive volumes and reduce transaction In the context of the GMS-BCI initiative the example costs. The extra profits of the cooperative remain with was chosen to challenge the standard approach of top- the members and do not go to middle men (Sjunnesson down oriented program designs for local level development. 2004, Weyerheuser et al 2006). Practice shows that programs that are built around the concept of promoting ideas and local initiative emergence Producer cooperatives face similar difficulties that are particularly well suited in diverse and heterogeneous emerge from this form of largely non-hierarchical organi- settings. It allows for decentralized empirical testing of zations with low exit barriers and often limited tangible different approaches and markets in a wide array of incentive to cooperate in concrete conflicts. It is, after areas, making use of a larger pool of knowledge than all, a form of competitors’ co-operation whose benefits could be conceived by central “paternalizing” planning are partly based on solidarity behaviour and trust. Many and strategic decision making on future directions of examples have shown that having a capable and deter- markets. It also enables “learning-by-doing”. Particularly mined leader is an effective means to establish and for larger regions a program targeted towards this goal maintain strong co-operatives. Visible early real benefits might be a useful and effective complementary component in terms of additional income for members are a clear for linking local communities to markets.
Linking Communities to Employment Opportunities and Markets: . Policy and Institutional Design Aspects 161 incentive. Especially if governments promote such The success of a cluster is in a large part due to cooperatives through seed funds, there is a tendency of people from very different but linked sectors forming erosion of enthusiasm over time and a termination of quality relationships and networking to achieve results. activities once governmental funds are removed. As in These linkages are informal, and are supported by more any rather loose organizational arrangement involving formal organisations/institutions. They work best at a financial flows, the equitable sharing of costs and profits community level where participants in the local industry through clear and transparent rules are an issue. It has already have formed a wide variety of relationships, and also often been found that it is essential to build up solid there is already some degree of dialogue and trust. Clus- technical, managerial and especially marketing know- tering builds on the teamwork that is already in place. A how amongst members – in many of these areas the key component of any cluster is extensive informal and benefits of building up such knowledge is considerably formal networking between firms - even competitors - lower than the costs involved for individual small scale right across the cluster, and between firms and their producers. There is thus a severe under investment in supporting infrastructure. Soft networks (such as local know-how that producer cooperatives can and should professional and trade associations) and hard networks address. (strategic alliances between firms) are both important (IRE 2005). 20.5.2 Cluster-building policies In terms of development policies the following Cluster-building, more often identified with high-tech aspects stand out in comparison to traditional development or manufacturing industries, is further market-based approaches: clusters focus on groups of firms and on development policy approach that particularly tries to local or regional value adding, but not on individual firms. develop the local and regional level through a people- They build on local agglomerations of SMEs, not on large centered approach. The success of such policies in the firms. They (ideally) emerge from and promote indigenous last decade is, as all concepts developed in some other growth processes, and are not based on the idea of kick- context, not necessarily useful or reliable in the GMS starting development by large inward investment. Clusters region, and possibly the least directly applicable of the aim at stimulating strong parts of regional economy, and cases presented for the BCI initiative. Nonetheless, it is not on the improvement of the weakest parts. Policies quite useful to reflect on the changes that many industrial supporting cluster-building aim at stimulating interaction policies in developed countries have had to undergo to between local players rather than at the provision of reorient towards the cluster concept. They stand in stark financial incentives (low-intervening). Public bodies act contrast to industrial policies as practiced and preached as facilitators or brokers with a view to stimulating links in the 1970s. Many industry-oriented development between actors of local business environments as well concepts in developing countries are still following the as between local and regional or international players. old pattern. Moreover, while most of the cluster concepts The emphasis of policy is on enhancing interconnectivity applied in industrialized countries today are still industry- in a market exchange context. and high-tech oriented, they are nonetheless just as applicable for clusters of service-handicraft industries 20.6 Case 4: market demand creation through such as those needed to establish attractive and diverse targeted procurement low-impact eco-tourism regions, also in BCI contexts. Finally, it should be noted that cluster concepts have In all countries, governments are large players in often been promoted and/or taken up with high enthusiasm markets as buyers of a huge range of products and but with a low level of understanding of the difficulties services. This market power is increasingly recognized involved in establishing loose co-coordinative mechanisms and used by governments of developed countries to amongst a multitude of actors with very different back- promote the achievement of sustainable development. grounds and interests. As we know from Olson (1982), In respect to rural areas the most visible example for heterogeneity makes collective action problems more market-based policy making have been public procurement difficult. Clusters are thus one or two dimensions more schemes in a number of large consumer countries in complicated than producer cooperatives to build up and run. relation to legal and sustainably harvested timber. Public
162 BCI International Symposium Proceedings. procurement schemes to support markets for such products approach than other regions (Pagiola et al 2005). PES are now established in UK, Germany, Denmark, USA, programs have also been explored in the GMS region, and Japan, amongst others. While such policies are not with Viet Nam possibly having the largest experience to likely to be adopted by many developing countries on a date. Frequent challenges in building markets for PES national level in the near future, it is nonetheless worth- include not only creating markets, but in parallel it while to reflect on the possibilities that exist for organi- requires establishing sustainable financing mechanisms, sations or policy programs to build in such components developing incentives to land managers, developing the in a limited form. institutional framework to match local conditions and finally, ensuring an equitable distribution of the costs and Public procurement policies in a restricted sense benefits among different stakeholders. are conceivable for a large number of products and services where local, regional or national governments are intending Table 20.1: Payment for environmental services – market to establish or develop markets. This includes non-wood watch overview April 15, 2006 forest products, bioenergy from agricultural or forest biomass, and recreation. What is important here, how- Biodiversity Water Carbon ever, is a thorough and critical reflection of the rationale and market impact of intervention. In some cases it might Market volume 375,908,799 373,655,115 92,344,370 (US$) be required to build a clear strategy for market-based production capacity building that is sustainable also under Transactions 997 149 38 non-protective regimes after a certain development Land Area 5,886,364 ha 350,513 ha 886,364 ha period, and an exit strategy from market based govern- Protected /Restored mental intervention. Period 01/87-08/05 12/94-04/05 01/95-02/06
20.7 Case 5: market creation – the example of Source: The Ecosystem Marketplace. Payment for Environmental Services (PES) Costa Rica has been at the forefront of the development and implementation of PES policies and Markets provide powerful incentives and efficient instruments. Costa Rica has developed a specific means of conserving forests and the public goods they economic instrument related to the value of conserving, provide while at the same time offering new sources of protecting or managing forested land. ‘Pagos por income to support rural livelihoods. Recent years have Servicios Ambientales’ or ‘Payments for Environmental seen considerable interest in using Payments for Envi- Services’ (PES) rewards land owners for carbon, ronmental Services (PES) to enhance conservation biodiversity, watershed management and landscape (Mayrand and Pacquin 2004). PES programs seek to beauty services, which are legislated and defined in the capture part of the benefits derived from environmental Costa Rican Forestry Law. The scheme is mainly services and channel them to natural resource managers administered by the National Fund for Forest Financing who generate these services, thus increasing their (Fondo Nacional de Financiamiento Forestal, incentive to conserve them. The most frequent environ- FONAFIFO) to which landowners cede their rights, e.g. mental services considered under PES programs are sequestered carbon to sell on the international market. biodiversity conservation, water services, carbon services as well as landscape amenity services. Table 20.1 shows Throughout Costa Rica, local and regional organi- indicative market volumes of the three most well developed zations provide bundling services to small farmers to markets, the number of transactions and land areas access the ESP program resources, reducing transac- protected or restored through these programs as tion costs related to contracting of environmental services compiled by the Katoomba Group’s “Ecosystem Market- for small landowners as well as for FONAFIFO. Such place”. bundling allows small forest owners to access the ESP program, through legal assistance and technical advice PES are in operation in many regions in the world, relating to conservation and sustainable use of forest with Central America seemingly more attuned to this ecosystems. Bundling numerous small landowners
Linking Communities to Employment Opportunities and Markets: . Policy and Institutional Design Aspects 163 together serves to reduce the unit cost of such services to mainstreaming PES in developing regions of the world while supporting landowners who might otherwise have is the lack of buyers. While some buyers are unaware difficulty complying with ESP program regulations. Figure or little informed about the PES concept, others point 20.3 outlines the main mechanisms and institutions out the risks inherent in mechanisms to trust. The costs involved in the Costa Rica case. The Ecomarkets Project and difficulties involved in connecting buyers and sellers of Costa Rica is widely considered as the most successful quickly and efficiently is likewise a major barrier. Another environmental services approach worldwide. is the lack of or difficulty of arranging deals due to the nature of property rights where communities may face In 2005 a total of approximately US$4 million was barriers to the negotiation of deals stemming from a lack redistributed to forest owners through the PES scheme. of tenure rights, literacy, or familiarity with contracts. A Around 50% was handed out for protection (mainly number of institutions and capacities need thus to be biodiversity protection) contracts, around 30% for refor- built up to create markets for PES that allow efficient estation and the rest for agroforestry and other activities trading. (FONAFIFO 2006). 20.8 Conclusion In order to better understand why PES is not currently a common tool for conservation, Forest Trends Rearranging policies and institutions to empower recently conducted a study focusing on what is required local communities to recognize market opportunities and for deals to work on the ground in Latin America, Asia, to facilitate bottom-up emergence of initiatives for local and Africa. 57 interviews were conducted with NGOs, development is a key strategy for linking local communities governments, and businesses working on the establish- to markets. This must go hand in hand with further work ment of PES globally. They found that the biggest barrier to remove well-known obstacles such as weakly defined
Figure 20.3: PES system Costa Rica
Buy Certified Tradable Offsets (CTO) DONORS INVESTORS M ▲ ▲ i (US$) Sale CTOs Contracts and
▲ n receives ▲ i Joint Implementation Office ▲ certification National or international certifier ▲ ▲ s Transfer services Monitors, t US$ from Transfer of Provide certifies
Information carbon stocks ▲ CTOs ▲ r Payments for Environmental Services (US$) ▲ & (US$) y National Forestry Fund Forestry owners, public and private ▲ ▲ ▲ o ▲ Give carbon rights f Promotion and Promotion and technical assistance technical assistance E n
v Pay for the environmental services ▲ Independent regents, foundations i or NGOs r o n Fuel Tax National Hydroelectric m Company of companies e Power and n Electricity t
Source: Landell-Mills and Porras 2002
164 BCI International Symposium Proceedings. property rights and often even more weak law enforcement, Hobley M., Shields D. (2000) The Reality of Trying to Trans- inadequacies in stable and transparent land-use planning form Structures and Processes: Forestry in Rural Livelihoods; Overseas Development Institute, London. and the difficulties perpetually created by continuously changing rules and regulations. Interlaken (2004) Decentralization, federal systems in forestry and national forest programs: Report of a workshop co-organ- Getting adequate institutional frameworks in place ized by the Governments of Indonesia and Switzerland. Final report of the Interlaken workshop 27-30 April 2004, Interlaken, makes a huge difference for local level development. Switzerland. Well suited and locally adapted policies and programs and related implementation designs are crucial to create IRE (2005). How to get started Going from cluster mapping to conducive institutional frameworks. The examples actual implementation; Innovating Regions in Europe; Innovating Regions Network, Brussels, Belgium. described have all dealt successfully with adaptive designs to fit local circumstances. Many combine the Landell-Mills N., and Porras I. (2002) Silver Bullet or Fools’ important features of trust, transparency, openness and Gold? A Global Review of Markets for Forest Environmental flexibility, and involve stakeholders who traditionally would Services and Their Impact on the Poor. IIED. London. not sit together at the same table. Larson A. (2004): Democratic Decentralisation in the Forestry Sector: Lessons Learned from Africa, Asia and Latin America: References paper presented at the Interlaken Workshop, April, 2004, Switzerland
Agrawal, A and Ribot J. (1999) Accountability in Decentraliza- Mayrand K., Paquin M. (2004) Payments for Environmental tion: A Framework with South Asian and West African Environ- Services: A Survey and Assessment of Current Schemes; mental Cases. The Journal of Developing Areas 33: 473-502. Unisféra International Centre, Montreal.
Agrawal A. and Gupta K. (2005). Decentralization and Partici- ÖIR. (2003) Ex-post Evaluation of the Community Initiative pation: The Governance of Common Pool Resources in LEADER II. Final Report Volume 1: Main Report. Nepal’s Terai; World Development, Volume 33, Issue 7, p. 1101- Österreichisches Institut für Regionalentwicklung – 1114. Managementdienste GmbH, Vienna, Austria.
Bardhan, P. (2002), ‘Decentralization of Governance and Olson, M. (1982) The Rise and Decline of Nations: Economic Development’, Journal of Economic Perspectives, 16(4), Growth, Stagflation, and Social Rigidities. Yale University Press, 185-206. New Haven, CT.
Colovic-Lamotte A. and Tayanagi E. (2004) “What direction Pagiola S., Arcenas A., Platais G. (2005) Can Payments for should the cluster policy take - Top-down implementation or Environmental Services Help Reduce Poverty? An Exploration bottom-up emergence?: The case of Japan” in Uddevalla of the Issues and the Evidence to Date from Latin America; Symposium 2003: Entrepreneurship, Spatial Industrial World Development Vol. 33, No. 2, pp. 237–253, 2005. Clusters and Inter-Firm Networks, Research reports 04:01, University of Trolhattan/Uddevalla, pp. 319-337, 2004. Ribot, J. (2002) Democratic Decentralization of Natural Resources: Institutionalizing Popular Participation. World Ellis, F. (2000) Rural Livelihoods and Diversity in Developing Resources Institute, Washington, D.C. Countries. Oxford University Press, Oxford. Ribot, J. (2005) Waiting for Democracy – The Politics of Choice Enters, T., Durst, P.B., and M. Victor (eds). (2000) Decentrali- in Natural Resource Decentralization. World Resources zation and Devolution of Forest Management in Asia and the Institute, Washington D.C. Pacific. RECOFTC Report N.18 and RAP Publication 2000/1. Bangkok, Thailand. Roda J., Mutamba M., Campbell B., Kowero G. (2005) Forests-based livelihoods and poverty reduction: Paths from Fisher R., (2000) Decentralization and Devolution in Forest local to global development; in: Forests in the Global Balance Management: A Conceptual Overview; in: Enters, T., Durst, P.B., – Changing Paradigms; IUFRO World Series Vol. 17, IUFRO, and M. Victor (eds). (2000) Decentralization and Devolution of Vienna, Austria. Forest Management in Asia and the Pacific. RECOFTC Report N.18 and RAP Publication 2000/1. Bangkok, Thailand. Rodrik D. (2004) Growth Strategies; Draft paper for the Hand- book on Economic Growth; New York University, N.Y. FONAFIFO (2006) Statistics accessed 20. April 2006: http:// www.fonafifo.com/paginas_english/environmental_services/ Scherr, S. J.; White, A.; Kaimowitz, D. (2002) Making Markets sa_estadisticas.htm Work for Forest Communities; Forest Trends, Washington D.C.
Linking Communities to Employment Opportunities and Markets: . Policy and Institutional Design Aspects 165 Shackleton S., Campbell B., Wollenberg E., Edmunds, D., (2002) Devolution and community-based natural resource 21. Non-Timber Forest Products and Rural Live- management: creating space for local people to participate and benefit? ODI Natural Resource Perspectives 76; Overseas lihoods in Lao PDR: Reducing Poverty Development Institute, UK. through Forest Development and Conservation Interventions Sheil, D., R. K. Puri, I. Basuki, M. van Heist, Syaefuddin, Rukmiyati, M.A. Agung Sardjono, I. Samsoedin, K. Sidiyasa, Andrew W. Ingles, Sounthone Kethphanh, Chrisandini, E. Permana, E. Mangopo Angi, F. Gatzweiler, B. and Andy S. Inglis Johnson & A. Wijaya (2002). Exploring biological diversity, environment and local people’s perspectives in forest land- scapes. Methods for a multidisciplinary landscape assessment. CIFOR, Bogor, Indonesia. Summary
Sjunnesson S. (2004) Producers’ Cooperatives - A Tool for Properly planned and executed interventions in the Developing Small-Scale Forestry; Forestry Seven Broby, management and marketing of Non-Timber Forest Products Sweden. (NTFPs) by forest-dependent communities in Lao People’s Sunderlin W. D., Belcher B., Santoso L., Angelsen A., Burgers Democratic Republic (Lao PDR) can simultaneously P., Nasi R., Wunder S. (2005) Livelihoods, forests, and reduce poverty and assist in the conservation of forest conservation in developing countries: An Overview; World biodiversity. Evidence of significant and sustained Development, Vol. 33 No. 9, pp 1383-1402. improvements in rural livelihoods, arising from such Vedeld P., Angelsen A., Sjaastad E., Kobugabe Berg G. (2004) NTFP-related interventions, is presented from a pilot Counting on the Environment. Forest Incomes and the Rural village in Northern Lao PDR. Food security has been Poor. Environmental Economics Series, Paper No. 98, The achieved, annual cash incomes to households are World Bank, Washington D.C. significantly higher, people are healthier and all major Weyerhaeuser, H., Wen, S., and Kahrl, F. (2006). Emerging development indicators for the village show marked forest associations in Yunnan, China: Implications for livelihoods improvements. The benefits from the interventions have and sustainability. IIED Small and Medium Forest Enterprise been distributed equitably and a significant proportion of Series No. 13. International Institute for Environment and Development, Edinburgh, UK. households have graduated out of a locally defined poverty situation. In addition to telling the story about White A., Martin A. (2002) Who Owns the World’s Forests? how this all happened, this paper makes the case that Forest Tenure and Public Forests in Transition, Forest Trends Washington, D.C. the Core Environment Program and Biodiversity Con- servation Corridors Initiative (CEP-BCI) should take note Wunder S., Dung The B. Ibarra E. (2005) Payment is good, of this experience and support the further scaling-up of control is better – Why payments for forest environmental serv- such interventions within its program of work in Lao PDR. ices in Vietnam have so far remained incipient; CIFOR, Bogor, Indonesia. 21.1 Introduction
“The forests of Lao PDR are one of few potential sources of sustainable economic growth for the country. A relatively large amount of remaining forest resources and the high level of forest dependence by local communities, coupled with the extent of rural poverty in Lao PDR, presents unique opportunities and challenges to combine forestry with poverty alleviation approaches to help meet national development goals.” (Morris et al 2004).
From 1995 to 2001, The World Conservation Union (IUCN) and the National Agriculture and Forestry Research Institute (NAFRI) of Lao PDR, with funding from
166 BCI International Symposium Proceedings. the Government of the Netherlands, implemented a About five million people or 80% of the population project to promote the sustainable use of NTFPs. The in Lao PDR pursue rural livelihoods within which NTFPs1 project had the dual aims of improving rural livelihoods play a significant role in food security, income generation, and conserving forest biodiversity. Pilot sites were and provision of numerous other non-food and non-cash selected and used by the project to learn about and inputs to households. demonstrate forest-based livelihood interventions that would help achieve these aims. The project’s lessons After rice, wild forest foods dominate the daily diet. and its impacts at pilot sites were assessed during and More than 450 edible species have been identified, and after the project was completed. Another follow up collectively they provide the bulk of animal protein, leafy assessment was undertaken between December 2005 green vegetables and micro-nutrient intake of rural and April 2006, approximately 10 years after the project households (Clendon 2001; Foppes and Kethpanh began work in pilot sites, and 4 years after the project 2000a, 2000b, 2004; WFP 2004). In remote upland areas, ceased operations. households commonly experience rice shortages for up to 3 months. NTFPs provide food security through This paper describes the role of NTFPs in rural either direct consumption or through their barter or sale livelihoods, the work of the NTFP project and its impacts to obtain rice. The “safety net” function of NTFPs is even in one of the pilot sites (Ban Nampheng, Oudomxai more important in bad times when crops fail or are Province), and then makes the case for the adoption of destroyed. similar interventions in the CEP-BCI. The World Food Programme (WFP) of the United 21.2 The relevance of NTFPs to rural livelihoods and Nations first attempted a nationwide survey of forest- forest conservation in Lao PDR based food security in 2004 (WFP 2004). They found that all villages in the country had some dependency on Despite the economic growth achieved over the forests for food and that about 41% of all villages were last 15 years, Lao PDR remains one of the poorest countries dependent on food obtained from forests within and in the world, having the 5th lowest Human Development around Lao PDR’s national system of protected areas. Index in Asia (cited in Emerton 2005). It is also one of More significantly, 24% of all villages were found to be the least densely populated countries in the region, but dependent on forest foods but only have access to mostly the predominantly rural population is growing rapidly and degraded forests, and as a result suffer from food in having an increasing impact on its natural resource base. security. These areas are shown in Figure 1 (source It has been estimated that although some 46% of the WFP 2004). The WFP says these villages require a original forests of Lao PDR remained in the year 2000 priority intervention in food aid as a result of declining (ICEM 2003), only about 2% of the original forest cover forest resources. was relatively undisturbed and large enough to contain the original biodiversity (Dauvergne 2001 cited in Lamb The Government of Lao PDR has set aside 12% and Gilmour 2002). of the country’s land area (30,000 km2) as National Biodiversity Conservation Areas (NBCAs) within a Forest loss and degradation continues mainly national system of protected areas. These protected through land conversions through infrastructure devel- areas are on the map presented in Figure 21.1 and opment and agricultural encroachment, unsustainable represent the cornerstone of forest conservation strategies forms of shifting cultivation, over-exploitation of forest in Lao PDR. There is a clear overlap of food security products, over-grazing and misuse of fire (World Bank concerns and forest conservation interests in nearly half et al 2001). This presents a problem for both rural of all the villages of Lao PDR. development and forest conservation.
1 The term NTFPs is used in its broadest sense to include all non- timber products collected from forested landscapes that include closed and open forests, individual trees, tree plantations, shrub lands, regrowth from shifting cultivation, wetlands and other fresh water habitats.
Non-Timber Forest Products and Rural Livelihoods in Lao PDR: Reducing Poverty through Forest Development. and Conservation Interventions 167 In such villages, NTFPs sales commonly generate Figure 21.1: Food security and forests in Lao PDR about 50% of cash income to households (Foppes and Kethpanh 2000a, 2000b, 2004; Ingles et al 1999; Morris et al 2004). These sales are very important because they allow the purchase of goods and services in situa- tions where there are few alternative income sources. In addition to food and cash, NTFPs also directly provide fuel wood, medicine, building materials, tools and handicrafts, fibers, resins and dyes used in the subsistence- oriented livelihoods commonly found in Lao PDR. The total economic value of NTFPs consumed or sold by households is considerable.
In one study undertaken in the poorest district of the poorest province of Lao PDR, total NTFP use was estimated to be worth an average of $313 per house- hold per year (Figure 21.2) in a province where the aver- age per capita GDP is a mere $204 per annum. NTFPs were found to contribute one third of the household economy, almost all energy, medicinal and building needs, 80% of (non-rice) food consumption by weight, and 30-50% of all protein types. Figure 21.2 presents estimates of the cash and domestic consumption value of NTFPs in households of Houaphan Province in Northern Lao PDR (Emerton, 2005).
Nationwide it has been found that the dependency on forests for domestic consumption and income generation purposes is highest for the poorest house- holds and of greatest importance to women because they dominate (non-hunting) collection and management of Source: WFP, 2004. NTFPs (Foppes and Kethpanh 2000a, 2000b; Ingles et alone is substantial. An estimate of the value of wildlife al 1999; Broekhoven 2002; Morris et al 2004). traded along one road going into Viet Nam in 2000 came to a total annual value of US$11.8 million at Chinese At the national level, forest products, including wholesale prices (cited in Broekhoven 2002). It is timber and NTFPs, have played an important role in believed that shipments of wildlife products may have export and foreign exchange earnings. Broekhoven increased in value in recent years and that a large part (2002) reported that between 1994 and 1998, NTFPs of the internal trade in wildlife meat is not for subsistence, contributed between 13% and 49%, or an average of as is often assumed (Nooren and Claridge 2001). 28% or $90.2 million, of total exports. Variation is mainly due to the volume of NTFP exported in different years, 21.3 The pilot site of Ban Nampheng and the NTFP rising as high as 50% of total forest exports in 1995 and Project 1996. Ban Nampheng is a small village of some 50 In addition to the official records, there is a significant households located in Oudomxai Province in the moun- informal or illegal (and hence unregistered) export of tainous North of the country. In 1996, it was selected as NTFPs within the region, which has yet to be quantified one of 12 pilot sites for the NAFRI/IUCN NTFP Project comprehensively. However, the value of the wildlife trade because it represented a common situation where poor,
168 BCI International Symposium Proceedings. 2001). This aim was split into five objectives to provide Figure 21.2: An example of the economic value of NTFPs, Huaphan Province greater clarity to the design of interventions at the pilot site, as follows: Cash income $84/household/year (i) sustainable harvesting: to develop sustain- able systems of NTFP harvesting that contribute directly to the conservation of
forest biodiversity; Wild plants 5%
Wood 19% Wild meat/fish 3% (ii) community forestry: to promote community- based organizations that can NTFPs; (iii) domestication: to reduce pressure on forests and improve the well-being of village commu- nities through domestication of NTFPs Wood 27% outside forests; (iv) well-being: to reduce pressure on forests and Wild meat/fish 42% Wild plants 4% to improve the ability and motivation of village communities to manage forests by improving their well-being; and (v) marketing: to motivate forest users to manage Home consumption $229/household/year forest resources sustainably by increasing Source: Emerton, 2005. income derived from forest products through upland farmers pursue forest-based livelihoods, which improved marketing and processing of NTFPs. are dominated by the cultivation of upland rice in shifting swidden fields and by the exploitation of NTFPs from As will be seen in the following sections, activities standing forests and regenerating swidden fields. See undertaken under objectives i, ii, iv and v were the most Box 21.1 for more information about the village at this influential in creating positive changes in people’s liveli- time. hoods. The project promoted a participatory approach to the planning and implementation of interventions at Ban Nampheng, using Rapid Rural Appraisal and Box 21.1: Ban Nampheng in 1996 Participatory Rural Appraisal tools. In early 1996, the “When the NTFP project first arrived in Nam Pheng in following situation in regard to NTFP use was thus 1996 the village contained 43 households with 244 people diagnosed: (“field report #4”, 1996). Households cultivate an average of 1 ha per year, yielding approximately 1.2 tonnes per (i) NTFPs were being over-exploited and poor hectare (of rice) and maintaining fallow cycles of seven to prices were being received from traders nine years. Most households also raised livestock, primarily because local collectors: cows and secondarily pigs and buffalo. The nearest school a) had taken loans from traders2 during rice was in the neighbouring village of Nam Hou, but attendance deficit periods, which were repaid later from Nam Pheng was low. The main residential water source was a nearby stream. Illnesses were prevalent, especially with agreed quantities of NTFPs, diarrhoea and malaria. The villager’s main source of cash b) lacked secure access rights to the forests income was NTFP’s, although they were mostly collected and had to compete with outsiders during and bartered on a small scale. Bamboo shoots, in particular, peak collection periods, were sold to traders exporting to China and Thailand.” (Morris et al. 2004) c) lacked adequate market information,
The aim of the project’s work at Ban Nampheng 2 was to demonstrate sustainable systems of NTFP use Although the loans provided by traders was seen as a negative “service” locking asset and cash-poor people into low-price agreements that would contribute simultaneously to both forest at vulnerable times of year, some villagers still commented on this conservation and human well-being (Ingles and Karki, service in a predominantly positive light.
Non-Timber Forest Products and Rural Livelihoods in Lao PDR: Reducing Poverty through Forest Development. and Conservation Interventions 169 d) were adding little value to products through In response, a number of project interventions grading and processing, were undertaken in Ban Nampheng to address these e) were in open competition with other sellers, problems and contribute to the five objectives for pilot and sites as described above. The main interventions are f) sold valuable NTFPs by the bundle, rather presented and explained in Table 21.1. than by weight. (ii) Opportunities to invest in NTFP-based The impacts of these interventions on livelihoods activities or other livelihood pursuits were and poverty were investigated in 2002, one year after limited by the absence of village infrastructure, the project ceased operations in 2001 (Morris et al 2004), credit services and alternative income sources. and some basic wealth and development indicators were (iii) Development opportunities for women were updated in 2006. Information about the impacts on live- further restricted due to their heavy workloads. lihoods and poverty is presented in the next section.
Table 21.1: Main NTFP project interventions in Ban Nampheng
INTERVENTION & PURPOSE KEY RESULT Village rice bank: a store of rice and an organization established Replaced the need to over-exploit NTFP resources and sell too to allow the village to cope with their rice-deficit period better cheaply to traders because of loans taken to buy rice and reduce the pressure to collect NTFPs to pay off loans to traders Forest land allocation and collaborative management: land-use Provided secure forest access and use rights to a defined user planning and an agreement made with Government for village group, allowing for (better) harvesting rules, off-take regulation, management of specific forest areas and for spatial confinement and investments in forest management of shifting cultivation Marketing groups: An organization was established that developed Organized collusion in price setting, enhanced knowledge of agreed rules for harvesting and selling bitter bamboo shoots market prices, grading and processing (see below) and selling by (Indosas sinensis) and cardamom pods (Amomum spp.). The weight using scales resulted in significant increases in income to organization also created and managed a NTFP development households and better returns for labor inputs3 . A successful fund generated through a locally applied tax of 10% on NTFP village development fund was created. The organization continued sales to facilitate further development of marketing strategies and facilities Grading and processing: Capacity built for adding value to Significant increase in income from cardamom sales because of cardamom pods (Amomum spp.) used in the production of improvements in the quantity and quality of the product through Chinese medicine drying and grading Drinking water supplies: A local drinking water supply scheme Reduced time spent by women and children in fetching water, was established allowing more time for participation in NTFP collection and in marketing and savings groups Women’s savings group: An additional organization was created Provided credit for local initiatives and strengthened collabora- to encourage the effective use of additional cash circulating in tion within the village the village Domestication of important NTFP species: Planting trials were A marginal increase in the resource base and some raised undertaken for three NTFP species (Paper mulberry, Cardamom, awareness about the concept of domestication generally and Eaglewood)
3 The local price for cardamom for example, was raised from 500 kip per kilogram to 35,000 kip per kilogram in 1998, and although prices later dropped, prices of around 12,000 kip per kilogram were sustained over time (Morris et al. 2004) (US$ 1 = about 10,000 kip).
170 BCI International Symposium Proceedings. In regard to forest conservation, both local users composition and structure need to be quantified through and Government officials have consistently reported that formal surveys. the condition and productivity of forests allocated to Ban Nampheng have improved since 1996. Illegal cutting of 21.4 The positive impacts on livelihoods at Ban timber is reported to have decreased because of Nampheng increased food security and the enhanced returns from NTFP collection. While the value of NTFPs from the An assessment of the impacts of the NTFP forests has increased, increasing the general pressure Project’s interventions at Ban Nampheng was undertaken for harvesting, villagers believe that they have greater in 2002 and published by Morris et al (2004). The main control over such pressure through the allocation of findings from this study are summarized here alongside exclusive use rights to them and the establishment of updated indicators and additional data collected in early harvesting rules among the user group (Morris et al 2004). 2006. The changes will be presented first, followed by In addition, grazing pressure on surrounding forests has an explanation of them. been reduced because of new investments in animal husbandry that have changed livestock numbers. There A participatory poverty assessment was under- are fewer cows and goats, and instead there are more taken in 1996, 2002 and 2006. Such assessments use chickens, pigs and buffalo (Table 21.2). However, infor- locally recognized indicators of wealth and poverty4 and mation about the impact of NTFP-related interventions require village informants to rank each household on forests remains largely anecdotal. Changes in forest accordingly. The changes in relative wealth ranking from
Table 21.2: Changes in village development indicators 1996 - 2006
Development indicators 1996 2002 2006
Food security 25-30 households lacked rice Now rice is “not much worry” Secure for 3-4 months, during which and no longer need to hire time they had to leave the out labor or cut timber village to hire out labor or cut timber illegally Child mortality (under 5) 10 0 0 Illnesses Malaria, diarrhea and lung Same illnesses, but now able Same illnesses, but now able infection (for elderly) to access medical services and to access medical services and purchase medicines purchase medicines
Formal education 30 children 67 children 67 children
Agriculture & forestry 0 ha of paddy rice 5 ha of paddy rice 10 ha paddy rice 45 ha of upland cultivation 30 ha of upland cultivation 30 ha upland cultivation Forests not allocated 515 ha of allocated forest 520 ha of allocated forest 5 ha fruit orchards 4 fish ponds
Animal husbandry 60 cattle 28 cattle 17 cattle 10 buffalo 12 buffalo 19 buffalo 13 goats 55 goats 12 goats 30 pigs 40 pigs 120 pigs 100 poultry 200 poultry +1,000 poultry
4 Locally recognized indicators for each wealth class are as follows: Well-off: permanent house, equipment and accessories (e.g. truck, TV/VCD), enough money or rice for one year, some livestock and enough labor. Middle: semi-permanent house (i.e. thatched grass roof, stripped bamboo walls), insufficient money or rice for half year, few livestock and enough labor. Poor: temporary house (i.e. bamboo or small trees for beams and pillars), insufficient rice for full year, no livestock and insufficient labor. (Morris et al 2004).
Non-Timber Forest Products and Rural Livelihoods in Lao PDR: Reducing Poverty through Forest Development. and Conservation Interventions 171 1996 (the baseline) to 2002 (Morris et al 2004) and from eradication of child mortality, the doubling of school 2002 to 2006 are presented in Tables 21.3 and 21.4, enrolment rates (gender balanced), and increases in live- respectively5 . stock.
The village has also benefited from new infrastruc- Table 21.3: Changes in wealth ranking for households existing in 1996 and 2002 ture, equipment and services that have been supported by the NTFP Project, the NTFP development fund established by the marketing group, and indirectly 1996 2002 through private loans made from that fund. Table 21.5 Wealth rank House- % of total House- % of total provides a summary of the additional developments holds holds associated with the NTFP interventions and Table 21.6 presents the annual incomes to the NTFP Development Well-off 11 28% 16 40% Fund since the NTFP Project ended. Middle 16 40% 20 50% Poorest 13 33% 4 10% Figure 21.3: Changes in wealth classes Total households 40 100% 40 100%
Changes in wealth ranking for households 1996 - 2006, Ban Nampheng
Fourteen households graduated one wealth class 60% between 1996 and 2002. Over the next four years 50% another 7 households graduated one wealth class while 1996 previous gains were held by all but one household that 40% 2002 slipped back a class. Overall, the proportion of house- 2006 30% holds in the poorest wealth class fell from 33% in 1996 to 13% in 2006. 20% Percentage of total households Percentage 10% Table 21.4: Changes in wealth ranking for households existing in 2002 and 2006 0% well-off middle poorest
Wealth Rank
2002 2006 In 2006 it was found that the sale of NTFPs still Wealth rank House- % of total House- % of total dominate household income sources, providing approxi- holds holds mately 60% of cash income to households, mainly from the sale of bitter bamboo shoots. The next most important Well-off 17 36% 21 45% source of cash income is animal husbandry (20%), Middle 21 45% 20 43% followed by cash cropping (15%) of sesame seeds and Poorest 9 19% 6 13% corn. On average each household is earning about $200 Total households 47 100% 47 100% per year by selling bitter bamboo shoots. Recently, the village head has reported that Ban Nampheng has become Figure 21.3 graphically presents this data by locally famous for its recent development success and showing the proportion of households in three wealth he now holds applications from 30 households, located classes in 1996, 2002 and 2006. Table 21.2 presents elsewhere, requesting permission to move and settle in changes in key development indicators for Ban Ban Nampheng. This is significant given that there are Nampheng over the same period of time. Notable only about 50 households residing in this village. Both changes include the attainment of food security, the the process for considering these applications and the extent to which new arrivals will be permitted is unknown 5 The data includes only those households that were present at each at this stage. measurement, so it does not include those households that had recently arrived, had left or had split into separate new households between measurements.
172 BCI International Symposium Proceedings. Table 21.5: Other developments associated with or arising from NTFP interventions
Supported by the NTFP Development Purchased by individuals (through credit Supported by NTFP project Fund from NTFP Fund) Rice bank (1997) Electric generator for village power supply 2 Dryers for mushrooms and other NTFPs 3 clean water taps (1999) and fuel to run it (ongoing) (2000, 2001) 2 room school (1998) Village meeting room (2002) Rice mill Village food storage structures (2002) 3 Tractors Credit fund providing loans to households 1 small truck (2003 – 2005) Operational costs for village office (2003 – Investments in animal husbandry 2006) Investments for engagement in trading Incentive payments for village officers (2002 – 2006) Salary for 2 teachers (2002 – 2006) Contribution to new school building (2003) Social welfare and support to traditional village events (2002 – 2006) Additional electric generator for village power supply (2006) Roofing materials for village NTFP market space (2006)
In 2002, respondents reported that the main factor Table 21.6: Annual incomes to the NTFP development fund in graduating from the poorest to the middle wealth class since the project ended 2002 – 2006 (note: other income was also accrued during the period 1997 – 2001) was the increased availability of labor to poor house- holds (Morris et al 2004). This increase can be explained in part by improvements in human health arising from Year Total income generated by the marketing the combination of a health promotion program run by 6 group’s tax of 10% of NTFP sales (US$) the Red Cross, and increased household expenditure 2002 $1,505 on food, health services, and medicines (made possible 2003 $1,379 by increased NTFP-based incomes). 2004 $1,757 Perhaps more significant is that following the NTFP 2005 $1,660 interventions, any increase in labor availability could be 2006 Fund balance is $2,533 (April 2006) exploited successfully by households by applying the additional labor to the collection and marketing of NTFPs. An explanation of poverty changes at Ban Indeed, the collection and sale of NTFPs equals or Nampheng starts with the recognition that two of the key betters the most common economic opportunities in the characteristics of being poor in this area are insufficient locality, such as road construction, heavy agricultural labor and insufficient rice. The rice problem was solved labor, and fuel wood collection (Morris et al 2004). rapidly through the rice bank and through private rice purchases made possible by the increased incomes from In summary, it can be argued that the main reasons NTFP sales. why poverty rates were reduced in Ban Nampheng were that: (i) food security was achieved, mainly through the NTFP Project’s rice bank, forest land- 6 Amounts in kip were converted at the rate of 10,000 kip = US$1.
Non-Timber Forest Products and Rural Livelihoods in Lao PDR: Reducing Poverty through Forest Development. and Conservation Interventions 173 allocation and marketing group interventions (iv) women can participate readily in NTFP that increased the income from NTFP sales development due to existing gender roles and from which to buy rice; through such participation, they can address (ii) available labor increased through improvements specific issues concerning women and in health-care and nutrition; become more politically organized; (iii) the returns on labor from NTFP collection and (v) households can graduate into higher wealth sale were increased significantly; and classes and hold the gains based on both (iv) additional labor was applied productively to commercial and subsistence oriented NTFP the collection and sale of NTFPs. activities; and (vi) new economic activities can be funded by In addition to its major role in helping to reduce private and common funds generated by poverty levels in the village, the NTFP project’s interventions enhanced NTFP sales. also provided a basis for further economic development through: 21.5 Opportunities for the CEP-BCI i) the establishment of an NTFP Marketing Group and NTFP Development Fund that: In the case of Lao PDR there is now more than a a) paid for improvements in formal and decade of experience with NTFP-based interventions, informal education (see Table 21.5); and mostly in the context of protected areas and their b) provided credit in support of private surrounding forests, creating a wealth of experience equipment purchases and investments in about: agriculture, trading, transport and animal (i) how to identify, qualify and quantify the role husbandry. of NTFP use in local livelihoods; ii) the substantial and robust increases in NTFP- (ii) how to facilitate group processes for sustainable based incomes that have allowed for private and profitable NTFP production and marketing; investments and livelihood diversification. (iii) how to domesticate wild NTFPs; and (iv) how to develop forest management rules and It is clear that the NTFP Project’s interventions regulations for forest conservation, focused have had a significant, positive and long-lasting impact on NTFPs. on Ban Nampheng village. The combination of the NTFP- based interventions and the subsequent and related In addition, there are more than 60 organizations activities undertaken by the villagers themselves, have with interests in NTFPs forming the basis of a network provided resources, capacity and options for further for further development and expansion of successful development. In this way, NTFP development has provide techniques (FRC/NAFRI and SNV 2004). There are a households with an “escape ladder” out of poverty. Properly number of places around the country, such as Ban planned and executed NTFP interventions are highly Nampheng, that can act as demonstration sites for appropriate to supporting the sustainable development supporting local replication. of forest-dependent communities because: (i) food security can be achieved through NTFP- Already, villages such as Ban Nampheng have related interventions; become well known in the country and receive many (ii) cash income to households from NTFP sales exchange visits sponsored by Government and Non- can be increased and maintained over time, Government organizations, development projects and under collaborative agreements for sustain- private individuals, to see and learn about the sustain- able forest management; able development that has occurred there. (iii) benefits can accrue equitably within a village because the poorest groups can use available For these reasons, the CEP-BCI should: labor to take advantage of the economic (i) be fully aware of the important role of NTFPs opportunities provided by NTFP development; in rural livelihoods for forest dependent peoples;
174 BCI International Symposium Proceedings. (ii) recognize the significant opportunities for ICEM (2003). Regional Report On Protected Areas And achieving both conservation and poverty Development: Review Of Protected Areas And Development In The Lower Mekong River Region. ICEM, Indooroopilly, reduction objectives by supporting the Queensland, Australia. sustainable development of NTFPs in Lao PDR such as demonstrated by the IUCN/ Ingles, A. and Karki, S. (2001). Project Completion Report. NAFRI NTFP Project; and NAFRI/IUCN NTFP Project. Vientiane, Lao PDR. (iii) develop and support integrated efforts to Ingles, A., Saypaseuth, T., Foppes J., Baker, J., Khetphanh, achieve food security, increase cash income, S., Bounsou S., and Sengkeo K. (1999). A Rapid survey of the and conserve forests through NTFP-related use and Government regulation of non-timber forest products interventions. (NTFPs) from the Nakai-Nam Theun National Biodiversity Conservation Area (NNT NBCA), Central Lao PDR. IUCN Vientiane, Lao PDR. While taking up these opportunities, the CEP-BCI should be aware that more work is required to study and Lamb, D. and Gilmour, D. (2002). Forest Conservation In The document the impact of NTFP interventions on forest Lower Mekong Basin. Paper prepared for the 2nd regional workshop for the Review Of Protected Areas And Development biodiversity, and on power and equity within and between In The Lower Mekong River Region, ICEM, Indooroopilly, households and villages. Queensland, Australia.
Morris, J., Hicks, E., Ingles, A. and Ketphanh S. (2004). Linking References poverty reduction with forest conservation: case studies from Broekhoven, G. (2002). Sustainable Management Of NTFPs Lao PDR. IUCN, Bangkok, Thailand. In Lao PDR: A Discussion Paper for the Forestry Strategy to Nooren, H. and Claridge, G. (2001). Wildlife Trade in Laos: the the Year 2020 for Lao PDR. Consultant report to Sida and FAO, End of the Game, The Netherlands. Netherlands Committee Vientiane, Lao PDR. for IUCN. Clendon K. (2001). The Role of Forest Food Resources in World Bank, SIDA, Government of Finland (2001). Lao PDR Village Livelihood Systems: A study of three Villages in Salavan production forestry policy – status and issues for dialogue – Province, Lao PDR. IUCN, Vientiane, Lao PDR. Vol 1: main report & Vol 2: annexes. World Bank, Government Dauvergne, P. (2001). Loggers and Degradation in the Asia- of Lao PDR, SIDA, FINNIDA, Vientiane Lao PDR. Pacific: Corporations and Environmental management. Cam- World Food Programme (2004). Lao PDR: Analysis of Forest bridge University Press. Dwelling Populations and Vulnerability to Food Insecurity at Emerton, L. (2005). Making The Economic Links Between the Village Level. UN World Food Programme: Vulnerability Biodiversity And Poverty Reduction: The Case Of Lao PDR. Analysis and Mapping Unit, Vientiane Lao PDR. IUCN: The World Conservation Union, Ecosystems and Liveli- hoods Group, Colombo Sri Lanka.
Foppes, J., and Kethpanh, S. (2000a). Forest extraction or cul- tivation? Local solutions from Lao PDR, Paper presented at the workshop on the evolution and sustainability of “intermediate systems” of forest management. FOREASIA, Lofoten Norway.
Foppes J. and Ketphanh S. (2000b). No more timber, more non-timber – discussion paper. DoF-IUCN.
Foppes J. and Ketphanh S. (2004). NTFP Use and Household Food Security in Lao PDR. Paper presented to the Sympo- sium on Biodiversity for Food Security, 14 October, 2004. FAO and National Agriculture and Forestry Research Institute, NAFRI Vientiane, Lao PDR.
FRC/NAFRI and SNV (2004). Networking on Non-Timber Forest Products in Lao PDR. Proceedings of a workshop held in Vientiane 9 July 2004 (NAFRI, Vientiane Lao PDR)
Non-Timber Forest Products and Rural Livelihoods in Lao PDR: Reducing Poverty through Forest Development. and Conservation Interventions 175 176 BCI International Symposium Proceedings. PANEL 3: Climate Change and Biodiversity Corridors
. 177 178 BCI International Symposium Proceedings. rural-to-urban migration. Coupled with this trend is rapid 22. Interrelationship between Climate Change, motorization in Asia especially in cities where economic Urban Air Quality and Impacts Inside and activities are concentrated. Some countries’ fleets are Outside Cities: Rationale for Addressing Air in fact doubling every five to seven years. Pollution and GHG Emissions Continued urbanization, motorization and energy Cornie Huizenga and May Ajero use in Asia, especially in the People’s Republic of China (PRC) and India, will put additional pressure on its atmospheric environment. Emissions of both greenhouse Summary gases and air pollutants are increasing; likewise atmos- pheric concentrations are exhibiting upward trends. Recently, more information has become available National and local governments in Asian countries have on the linkages between air pollution and climate change. begun to implement air quality reduction strategies of These linkages influence local climate patterns in Asia varying scope and effectiveness; a number of Asian as well as global climate patterns. The Atmospheric countries have submitted their National Communication Brown Cloud has been linked to changes in rainfall (NatCom) to the United Nations Framework Convention patterns in different parts of Asia, while increased on Climate Change (UNFCCC or Convention). emissions from Asia have been linked to the melting of the polar ice caps. 22.1.1 Air pollution status Growing knowledge in this field is of relevance to An ongoing study2 by the CAI-Asia, summarizing policy makers and is expected to facilitate and speed up air quality data from 20 cities in Asia for the period 1993 policy making on controlling emissions within the Asian to 2004 shows that, on average, there has been a region and to strengthen commitments to enforce moderate to slight decrease in pollution levels for sulfur current and future regulations. Although the primary dioxide (SO ), total suspended particulate matter (SPM), emphasis of the Clean Air Initiative for Asian Cities 2 and fine particulates (PM10). Although particulate (CAI-Asia)1 is on urban air quality, it is increasingly matter remains at levels above the limits set by the World focusing on the impacts of air pollution in areas surrounding Health Organization (WHO), US Environmental Protection cities. Improved knowledge of these impacts helps to Agency and the WHO-European Union, SO levels are raise awareness for action and makes it more likely that 2 now, on average, below the guideline values set by the action will be taken to address sources of air pollution. WHO—proving that air quality management policies and The paper details current structures for air quality measures can work in Asia. Ambient concentrations of management in the Greater Mekong Subregion (GMS) NO are gradually increasing but are fairly stabilized and compares these to other parts of the Asian region. 2 around the WHO guideline of 40 µg/m3, despite the An overview of factors constraining effective policy continued increase in motorization especially of two and making and implementation in the GMS countries will be three wheelers in the region. This air quality data given. It will indicate how improved knowledge of collected by CAI-Asia from various government agencies the impact of urban emissions on rural areas can be and other sources has been validated by the appropriate integrated in policy making. government agency in each city (Figure 22.1). 22.1 Air quality and its management in Asia and the GMS
2 In recent decades, Asian cities experienced rapid CAI-Asia, in cooperation with the UNEP and WHO supported project, Air Pollution in the Major and Mega-cities of Asia, is conducting urbanization primarily due to population growth and the 2nd Stage of the Benchmarking Study on Air Quality Management Capability of selected Asian cities. Cities included in the study: 1 The Clean Air Initiative for Asian Cities is a multistakeholder initia- Bangkok, Beijing, Busan, Colombo, Dhaka, Delhi, Hanoi, Ho Chi tive which promotes better air quality management in Asian cities. It Minh, Hong Kong, China, Jakarta, Kathmandu, Kolkata, Mumbai, undertakes knowledge management, capacity building, networking, Manila, Seoul, Shanghai, Singapore, Surabaya, Taipei, China, and policy development, and strategy formulation. Tokyo.
Interrelationship between Climate Change, Urban Air Quality and Impacts Inside and Outside Cities: Rationale for Addressing. Air Pollution and GHG Emissions 179 Figure 22.1: Trends of Major Criteria Air Pollutants (1993-2004)
300 concentrations in µg/m 3
250 TSP limit: WHO (1979): 60-90 µg/m 3 TSP PM10 limit: WHO (2005): 20 µg/m3 200 USEPA (1997): 50 µg/m3 EU: 40 µg/m3
SO2 limit: WHO (2000): 50 µg/m3 USEPA (1997): 80 µg/m3 150 EU: 20 µg/m3
NO2 limit: WHO (2000): 40 µg/m3 PM10 USEPA (1997): 100 µg/m3 100 EU: 40 µg/m3
N O 2 50
S O 2
0 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004
TSP PM10 SO2 NO2
Ozone is an emerging pollutant of concern for Asia also exhibited a decreasing tendency yet exceed the and is increasingly being monitored in major cities in Asia; WHO guidelines. PM10, on the other hand, is showing but in most cases, it is still not monitored by secondary the tendency to increase in the coming years for most of or smaller cities. When monitored, reporting of ozone the cities and will continue to exceed WHO guidelines. NO is increasing in Bangkok, Hanoi, HCMC and Shanghai, results are not made as frequent as other pollutants, e.g., 2 PM10. Ambient standards and averaging times for ozone with Shanghai and Bangkok already exceeding WHO NO guidelines. SO tendencies in the cities are are highly variable from one city/country to another. 2 2 variable. SO is increasing for Hanoi and Shanghai but Monitoring of air quality in Asia is concentrated mostly in 2 the urban areas, often only limited to major cities and decreasing for Ho Chi Minh and Beijing. capitals. Air quality monitoring in secondary cities and rural areas are rarely conducted. Although regulatory monitoring of criteria air pollutants like PM10, TSP, SO , NO , etc. are not 2 2 The Greater Mekong Subregion (GMS), covering routinely undertaken in some areas of the GMS, the areas from 6 countries: Cambodia, Laos, Myanmar, PRC, subregion is actively involved in the monitoring of acid Thailand, and Viet Nam, is no exception to this limitation rain. The Acid Deposition Monitoring Network in East on availability of air quality information. Except for Thai- Asia (EANET) program has about 25% of its monitoring land and the PRC, and very few cities in Viet Nam, little sites in the GMS (Figure 22.3 – GMS region in red box). is known about air quality monitoring activities in Lao These stations measure parameters such as air concen- trations of SO , NOx, O and particulates as well as PDR, Cambodia, and Myanmar. 2 3 rainfall activity, rain and soil pH and changes in tree cover As with the general pollution trend in Asia (Figure to evaluate occurrence of acid deposition and its impact 22.2), Ambient TSP results in cities of GMS countries on soil, vegetation, and inland aquatic environment. (Bangkok, Beijing, Hanoi, Ho Chi Minh and Shanghai)
180 BCI International Symposium Proceedings. Figure 22.2: Trends of major air pollutants in GMS Countries 1997- 2004
PM10 trends in GMS countries, 1997 to 2004 200
180 Bangkok
160 Beijing 3 140 Hanoi
Ho Chi Minh 120 Shanghai 100
80
60 WHO (2005) PM10 limit, 40 20 µg/m3
Ambient PM10 concentrations, µg/m 20
0 1997 1998 1999 2000 2001 2002 2003 2004
SO trends in GMS countries, 1997 to 2004 2 140
Bangkok 120 Beijing Hanoi Ho Chi Minh Shanghai 100
3 WHO SO2 limit
80
60 concentrations, µg/m 2
40 Ambient SO
20
0 1997 1998 1999 2000 2001 2002 2003 2004
NO trends in GMS countries, 1997 to 2004 2 80
70 3 60
50
40 concentrations, µg/m 2 30 Bangkok Hanoi Ho Chi Minh Ambient NO 20 Shanghai
WHO NO2 limit 10
0 1997 1998 1999 2000 2001 2002 2003 2004
Interrelationship between Climate Change, Urban Air Quality and Impacts Inside and Outside Cities: Rationale for Addressing. Air Pollution and GHG Emissions 181 AQM capability range from “minimal” to “limited” and will Figure 22.3: Location of EANET sites in 2004 be characterized by the lack of routine air quality monitoring, growing concern on air pollution, and ad hoc AQM. Viet Nam will be categorized somewhere in the limited to moderate range because some cities such as Ho Chi Minh have already advanced air quality management systems while some cities still do not conduct routine air quality monitoring. On the other hand, Thailand and PRC have more advanced AQM capacities than rest of GMS countries (Table 22.2). The generally low AQM capabilities of GMS countries may indicate a generally low concern for air pollution as national priority.
22.1.3 Climate Change in Asia and the GMS
All parties (Annex I and non-Annex I) to the Convention are required to submit their National Communications to the Convention (NatCom), except for least developed countries, which may do so at their 22.1.2 Air quality management (AQM) discretion. All six countries of the GMS region are parties to the UNFCCC and are classified as Non- The levels of air quality management and the Annex I countries—with Cambodia, Myanmar and Laos strategies being implemented to address air pollution are further classified under Least Developed Country (LDC) 3 widely diverse in Asia. To understand how Asian cities Category . All the six countries, except for Myanmar are responding to the urban air pollution problem, a have submitted their First NatComs allowing them to recent study assessed the current AQM capabilities of report their greenhouse gas emissions inventory as well 20 Asian cities, according to four AQM capability as enumerate capacity, status and assessments on climate indices: (i) capacity to measure and monitor air quality; change mitigation, adaptation, and vulnerability, etc. (ii) capacity to interpret data and availability of data and analyses; (iii) capacity to estimate emissions from The greenhouse gas emissions inventory that is sources and (iv) AQ management enabling capacity. The contained in the NatCom provides the basis of informa- cities were carefully selected to represent various tion as to how much greenhouse gas each country is economic levels and geographic coverage. Based on contributing to the atmosphere. The inventories from their scores on the different indices, the cities’ final AQM non-Annex 1 parties, however, are often accompanied capability bands (Table 22.1) indicated that cities with by disclaimers that the activity data on which they were high levels of economic development tend to have well- based were not necessarily of good quality. In addition, developed AQM systems. Cities from GMS countries the emission factors for the inventory in most of the Asian exhibited varying AQM capabilities. Bangkok and Shanghai NatComs only use Intergovernmental Panel on Climate were categorized as having “excellent” AQM with Beijing Change (IPCC) default values. coming in third under the “good” category. Hanoi (Limited AQM) and Ho Chi Minh (Moderate), both of which are According to the greenhouse gas (GHG) inventories cities in Viet Nam, fell under different levels, suggesting (base year 1994) submitted by the GMS countries, Thailand, that AQM systems in Viet Nam are dependent on local PRC, and Viet Nam are considered net emitters of GHGs government capacity. 3 LDCs are given special consideration under the Convention on Estimating the AQM capabilities of GMS on a country account of their limited capacity to respond to climate change and adapt to its adverse effects. Parties are urged to take full account of the special level would indicate that three of the GMS countries situation of LDCs when considering funding and technology-transfer (Laos, Cambodia and Myanmar) will have an estimated activities.
182 BCI International Symposium Proceedings. Table 22.1: AQM capability of 20 Asian cities
AQM Capability AQM Capability Cities Level of Economic Development/ Scoring Trends of Air Pollution
Excellent I 91-100 Hong Kong, Singapore, • High technology applied Taipei, Tokyo • Low air pollution
Excellent II 81-90 Bangkok, Seoul, Shanghai
Good I 71-80 Beijing, Busan • Maturing of cleaner processes, use of cleaner fuels and mature emission controls Good II 61-70 New Delhi • Further improvement of air quality
Moderate I 51-60 Ho Chi Minh, Jakarta, • Cleaner processes developed. Systematic AQM procedures Kolkata, Manila, Mumbai developed • Air pollution decreasing from high levels Moderate II 41-50 Colombo
Limited I 31-40 Hanoi, Surabaya • Urbanisation, industrialisation and mobilisation continued. Initial systematic AQM procedures applied Limited II 21-30 Dhaka, Kathmandu • High but stabilising levels of air pollution. Serious health and environmental impacts
Minimal 0-20 - • Increased urbanisation, mobilization and industrialisation. Only ad hoc AQM • Deterioration of air quality through rising levels of air pollution
Table 22.2: Estimated AQM capability range of GMS countries
Country Estimated AQM capability Description of Air Quality Status and AQM
Cambodia Minimal to Limited Air pollution is a growing concern. Air quality monitoring is not institutionalized and AQM is ad hoc.
Laos Minimal to Limited Air pollution is a growing concern. Air quality monitoring is not institutionalized and AQM is ad hoc.
Myanmar Minimal to Limited No information on air quality data. No specific national legislation governing air pollution.
PRC Moderate to Excellent Pollutant concentrations are highly variable for the different cities and provinces which may range from low air pollution to very poor air quality. Air quality is consistently monitored and data in air pollution index available.
Thailand Good to Excellent Air quality is being monitored consistently with data readily available. Air quality management capability is generally good.
Viet Nam Limited to Moderate Air quality monitoring system is most advanced in HCMC but relatively ad hoc in other areas.
Interrelationship between Climate Change, Urban Air Quality and Impacts Inside and Outside Cities: Rationale for Addressing. Air Pollution and GHG Emissions 183 while Cambodia and Laos are net sequesters of GHGs. climate by absorbing sunlight, heating the air and thereby These two GMS countries also reported industry GHG altering large-scale atmospheric circulation and hydrologic contributions as zero primarily because their industry is cycle. In addition, soot can also block the sun’s energy largely dominated by agriculture4 . from the ground and reduce crop yields.
22.2 The linkages between climate change, air NASA research on the Arctic atmosphere7 indicated pollution and crop yields that the warming of the Arctic and the diminishing of the sea-ice cover and glaciers have been attributed to changing 22.2.1 Air pollution and climate change weather and effects of pollution. Black carbon (soot) has again been implicated in playing a role in the melting The linkage between climate change and urban of ice and snow. When the dark soot falls on the ice surface, air quality problems, especially the science, is still an it increases the albedo, reduces its capability to reflect evolving field. In 2001, the IPCC Working Group I in its back radiation thereby causing increase in temperature Third Assessment Report5 recognized that air pollutants and melting of the ice. About one-third of this soot comes such as dust, tropospheric ozone, black Carbon, from South Asia, one-third from burning biomass or sulphates and other aerosols have an impact on the vegetation around the world, and the remainder from radiative forcing of climate but that the level of scientific Russia, Europe and North America. understanding of the processes that surround these are still ranging from “low” to “very low” (“medium” for tropo- Studying this linkage further is attracting more spheric ozone). Greenhouse gases such as CO2, CH4 attention from the IPCC and the rest of the scientific and N2O, on the other hand, are given a category of high community. The upcoming IPCC Fourth Assessment under the level of scientific understanding. Report of Working Group 1: The Physical Science Basis (to be completed in 2007) proposes a section (Chapter The scientific linkage between air quality and 7) to discuss “Air Quality and Climate Change.” Further- climate change can be explained by the characteristic of more, another IPCC Expert Meeting8 conducted a particulate matter (or aerosol) to scatter as well as preliminary assessment of issues that relate to aerosol absorb infrared radiation. Depending on the size, vertical emissions. A lot of uncertainties on the effect of aerosols position and concentration, particulate matter may cause on climate (whether direct/indirect forcing) were discussed. positive (warming effect) or negative (cooling effect) The current limited understanding of the relationships radiative forcing on the climate. Smaller particles have also results from the numerous data gaps in the emissions higher radiative forcing than bigger particles because they data for aerosols, and it was recommended that further scatter and absorb infrared radiation more efficiently. The meetings be held on this issue. These meetings may net effect of air particulates on the climate may not be as suggest, then, that air pollution problem may be expected great as the greenhouse gases, but it has the potential to have a more substantial impact on climate and will to become more and more significant as the load of require more in-depth attention. pollutants in the atmosphere is expected to continually increase. 22.2.2 Air pollution and crop yields
A NASA study6 revealed that large amounts of Environmental impacts of urban air pollution extend black carbon (soot) particles and other pollutants are well beyond the cities where air pollution originates. causing changes in temperature and precipitation patterns Ozone, which is a secondary pollutant formed from NOx over the PRC. The black carbon can affect regional and HC in warm weather conditions, can usually be found
4 GHG emissions from industry entail GHGs during chemical proc- esses of cement, iron and steel manufacture, etc. Fuels used to power 7 NASA, 2005. Black and White: Soot on Ice. http://www.nasa.gov/ industries are reported under the Energy sector of the GHG inventory. vision/earth/environment/arctic_soot.html. 5 IPCC, 2001. The Third Assessment Report. The Scientific Basis. 8 IPCC Expert Meeting on Emission Estimation of Aerosols Relevant 6 Goddard Space Flight Center, 2002 - Goddard Space Flight Center to Climate Change convened by the Task Force on National Green- Top Story. http://www.gsfc.nasa.gov/topstory/20020822blackcarbon.html. house Gas Inventories last 2-4 May, in Geneva.
184 BCI International Symposium Proceedings. in high concentrations 50 to 70 kilometers downwind from Although there has been some study on crop the cities where the NOx and the HC originated. losses, there is little attention given to the ecological damage or social consequences of the growing nega- The harmful effects of surface ozone on agricul- tive impacts of air pollution on vegetation in the GMS tural crops and other plants have been well documented (Emberson, Ashmore and Murray 2003). With projected for the United States and Europe, and some studies have increase in their intensities, impacts of other regional air also confirmed the same impacts in the PRC. A sophis- pollutants, including acid deposition and the atmospheric ticated atmospheric chemistry model called MOZART-2, brown cloud would increasingly be important in the GMS which simulated ozone concentrations for 1990 and 2020 within the next decade or two. GMS countries are largely over Asia, revealed that ozone concentrations were dependent on agriculture to support local livelihoods responsible for 1 to 9% loss in wheat, rice and corn and and economic development. Crop yield reductions 23-27% yield loss in soybeans for PRC, Japan, and the will have major social, economic and environmental Republic of Korea. Assuming that there is no change in consequences. agricultural production practices, projections of ozone concentrations for 2020 will cause an expected 2-16% 22.3 Rationale for tackling air pollution and GHG yield loss in wheat, rice and corn and 28-35% yield loss emissions in the GMS in soybeans (Wang and Mauzerall 2004). Aside from the science that proves the direct Another study estimated that reductions in 1990 connection between the air pollution and climate change crop yields in the PRC were 3% for most crops (except problem, there are more reasons that support the rationale soybeans). The same study also projected that crop for tackling air pollution and GHG emissions in an losses for soybeans and spring wheat might reach 20% integrated manner. and 30% by 2020 (Aunan et al 2000). Research also indicated that the rice strains in the PRC may be more The Third Assessment Report (TAR) of the IPCC sensitive to O3 than the rice varieties grown in Pakistan, indicates that the effectiveness of climate change Japan and the US (Zheng et al 1998). mitigation policies can be enhanced when integrated with the non-climate objectives of national and sectoral policy SO and NO , emitted from urban activities, are development, more so when integrated into strategies 2 2 precursors of acid rain which also affect crop growth in to achieve long-term social and technological changes surrounding area of city sources. Emissions of acid air for a sustainable development11 . This stems from the pollutants (SO , NO ) are expected to increase as the fact that some climate policies may actually yield extensive 2 2 industrialization of the region continues and energy short- benefits (non-climate) among which would be reduction ages remain. Under IPCC scenario A1B9 , 2030 emis- of air pollution and associated health benefits. Sustainable sions of sulphur dioxide and nitrogen dioxide in India are development is one of the high priorities of all countries expected to increase by 400% and 500%, respectively, as well as an important agenda for development agencies, and for the PRC by 33% and 100%, respectively (Unger an integrated approach will imply a possibility of et al 2006). With the growing emissions of acid gases, “win-win” strategy to achieve climate change abatement the importance acid rain and its impacts on biodiversity and sustainable development. will grow. The Chinese EPA estimates that economic losses due to damage caused by acid rain to forests and Greenhouse gases and air pollutant emissions are farmlands increased five times from 1996 to 2000 and often strongly correlated in Asia because they have losses were estimated to be US$13.25 billion in 2000 common drivers—urbanization, population growth, energy (Shah et al 2000)10 . consumption and mobilization.
9 Scenario of rapid economic growth with balance between fossil fuel energy and renewable energy. 10 Shah J. et al, 2000. Integrated analysis for acid rain in Asia. Policy 11 UNFCCC, 2003. Subsidiary Body for Scientific and Technological implications and results of RAINS-Asia model. Annual Review of En- Advice - Eighteenth session Bonn, 4–13 June 2003 - http://unfccc.int/ ergy and Environment, 25, 339-375. resource/docs/2003/sbsta/misc02.pdf.
Interrelationship between Climate Change, Urban Air Quality and Impacts Inside and Outside Cities: Rationale for Addressing. Air Pollution and GHG Emissions 185 Other reasons include: (ii) provide institutional strengthening in the GMS (i) both GHG and air pollutant concentrations on the techniques involved in conducting in the atmosphere are exhibiting increasing assessments and measurements of acid rain trends; and ozone, regional scenarios, impacts, and policy responses to climate change, ozone and (ii) both have impacts on human health, environ- acidification using locally relevant information mental (agricultural) and economic impacts; and priorities to develop scenarios based on (iii) there is a scarcity of resources and capacity national policy objectives; to work on air quality management. The same (iii) facilitate monitoring at pilot sites and modelling scarcity is true for climate change; by institutions in the region for future integrated (iv) emissions inventory is key to both problems. assessments; Integrated development of emissions factor, (iv) strengthen the knowledge and evaluation collection of activity data and inventory skills in sectoral policy areas, including water training can reduce cost of capacity building; management, disaster mitigation, agriculture, and power generation, transport, urban planning, (v) expansion of AQ management activities and national economic development; and (quantity and quality) will require substantive (v) raise awareness, communication and funding. Likewise, expansion of climate networking among decision-makers about change mitigation activities will require the associated policy issues. substantive funding.
The results of the evaluations of impacts of climate Furthermore, both the air quality community and change and regional air pollution on important crops, climate change community find difficulty in capturing the forests, water resources and water availability will feed interest of decision-makers and an integrated approach into assessments of social and economic impacts and allows these two communities to work together in vulnerability, and contribute to meeting the aims of the communicating with policy makers and other GMS CEP-BCI. stakeholders.
22.5 Conclusions 22.4 Proposed pilot project under the GMS CEP
Although the main impacts of urban air pollution A pilot project on “Strengthening capacities to adapt to the effects of climate change and regional air are felt strongly within city boundaries, the impacts of air pollution to the surrounding areas of the cities are also pollution on crops, forests and water availability” is increasing in relevance. Increased knowledge on being proposed by CAI-Asia, Murdoch University and the current and future impacts of air pollution on crops and Stockholm Environment Institute to the GMS Core ecosystems helps to raise awareness for action and Environment Program (CEP) and the Biodiversity makes it more likely that action will be undertaken to Conservation Corridors Initiative (BCI), known as the address sources of air pollution. Policy makers will find “CEP-BCI”, being implemented by the Asian Develoment this growing knowledge base increasingly relevant; it is Bank. The proposed project aims to build capacities and expected to facilitate and speed up policy making on the knowledge base in the GMS to adapt to the effects controlling emissions within the Asian region and to of climate change and regional air pollution on the strengthen commitments to enforce current and future communities and economies in the region, based on regulations. world-class knowledge. Specifically the project will: (i) generate new knowledge on the current and future impacts of climate change and air pollution on crops and ecosystems of the GMS;
186 BCI International Symposium Proceedings. References
Aunan, K., Berntsen, T.K., and H.M. Seip. (2000). Surface ozone 23. Air Pollution and Ecosystem: Assessment in China and its possible impact on agricultural crop yields. of Effects of Ground Level Ozone on Ambio. 29(6): 294–301. Agricultural Crops in Asia
CAI-Asia, (2006). Air Quality in Asian Cities. http:// Nguyen Thi Kim Oanh, Dinh Thi Hai Van, www.cleanairnet.org/caiasia/1412/articles-59689_AIR.pdf and Le Hoang Nghiem Eanet. (2006). http://www.eanet.cc
Emberson L, Ashmore M, and F. Murray (Eds). (2003). Air Summary pollution impacts on crops and forests: A global assessment. Imperial College Press, London. A study on the effects of ozone on crops is being Goddard Space Flight Center. (2002). Goddard Space Flight conducted using both experimental and modeling Center Top Story. http://www.gsfc.nasa.gov/topstory/ approaches at the Asian Institute of Technology (AIT). The 20020822blackcarbon.html study examined the effects of ozone on two selected IPCC. (2001a). Climate change 2001: The scientific basis. agricultural crops, rice and peanuts, using open-top cham- Intergovernmental Panel on Climate Change. UNEP, Nairobi bers (OTCs). Different ozone levels were introduced into and WMO, Geneva. the chambers and the effects of ozone were observed. These include visible injury, growth and yield related NASA. (2005). Black and White: Soot on Ice. http:// www.nasa.gov/vision/earth/environment/arctic_soot.html parameters, as well as the reduction in biomass and yields of both crops. The modeling work involves prediction of Schwela, D., Haq, G., Huizenga, C, Han, W., Fabian, H., and ozone for the continent Southeast Asia using the CMAQ- M. Ajero. Urban Air Pollution in Asian cities: Status, Challenges MM5 modeling system, which is ongoing. Ozone levels are and Management. Earthscan, UK. (For publication). being calculated for the entire typical rice growing season Shah J. et al (2000). Integrated analysis for acid rain in Asia. in Southeast Asia. The AOT40 is calculated to determine Policy implications and results of RAINS-Asia model. Annual the potential effects of ozone on rice crop in the region. Review of Energy and Environment. 25: 339-375.
Unger N. et al (2006). Cross influences of ozone and sulfate 23.1 Introduction precursor emissions changes on air quality and climate. PNAS.103: 4377-4380. Ground-level ozone, a secondary pollutant formed UNFCCC. (2003). Subsidiary Body for Scientific and in photochemical reactions between hydrocarbons and Technological Advice - Eighteenth session Bonn, 4–13 June nitrogen oxides under sunlight, has become a major 2003. - http://unfccc.int/resource/docs/2003/sbsta/misc02.pdf environmental issue in many metropolitan regions. The emission of ozone precursors from industrial activities, Wang, Xiaoping and Denise L. Mauzerall. (2004). Characterizing distributions of surface ozone and its impact on grain energy production and traffic is rapidly increasing in many production in China, Japan and South Korea: 1990 and 2020. regions of Asia. Ground level ozone could affect human Atmospheric Environment. 38: 4383 – 4402. Available from this health, properties, forestry and agricultural production. link: http://www.wws.princeton.edu/mauzerall/papers/ Wang.Mauzerall.Atmospheric.Environment.pdf The phytotoxicity of ozone to agricultural production Zheng, Y., Stevenson, K.J., Barrowcliffe, R., Chen, S., Wang, and crop cultivation is relatively well documented. In H., Barnes, J.D. (1998). Ozone levels in Chongqing: a potential USA, ozone in combination with sulfur dioxide and nitrogen threat to crop plants commonly grown in the region? Environ dioxide was found to be responsible for up to 90% of the Pollut. 99(3): 299-308. crop losses due to air pollution. The estimated crop loss in China due to the predicted excess ozone levels in 2002 would be 3.7-4.5% for rice, and 20.9% for soybean. Examples of ozone effects on various crops reported in different countries are presented in Table 23.1. The AIT study on effects of ozone on crops used both experi- mental and modeling approaches.
Air Pollution and Ecosystem: Assessment of Effects of Ground. Level Ozone on Agricultural Crops in Asia 187 Table 23.1: Yield loss in different crop plants due to ground O3
3 Crop O3, µg/m % Yield reduction Country Reference Wheat 86 40 Pakistan Wahid et al 1995a Rice 143 40-60 Pakistan Wahid et al 1995b Soybean 80-150 64 Pakistan Wahid et al 2001 Radish 55-67 30 Egypt Hassan et al 1995 Turnip 55-67 17 Egypt Hassan et al 1995 Bean 686 40 Mexico Laguette-Rey et al 1986 Tomato 88-90 24 India Varshney and Rout 1998 Soybean 46-65 16-31 India Varshney and Rout 2003
Source: adapted from Varshney (2003), presented at RAPIDC workshop, AIT, Bangkok.
23.2 Experimental study Visible injuries, growth and yield related parameters, as well as the protein and starch content of rice grain, The experimental study examining the effects of and oil content of peanut, were determined. Ozone ozone on two selected agricultural crops, rice and peanuts, exposure caused reductions in the biomass and yields using open-top chambers (OTCs) was conducted in of both crops. Exposure of the rice species to the highest Hanoi, Viet Nam. The rice (Oryza sativa L.) and peanut ozone concentration (113 ppb), which corresponds to (Arachis hypogaea L.) species were exposed to ozone accumulated exposure over a threshold ozone concen- during the flowering stage. The species were grown in tration of 40 ppb (AOT40) of 12,800 ppb.h, resulted in typical fertilization conditions of normal farming. Five the highest reduction rate of grain (48%) and straw yields ozone treatments were employed: non-filtered air (39.5%) as compared to the ambient air. For the peanut, (ambient condition) as the control OTC; and non-filtered the yield loss was also the highest in treatment 5 (AOT40 air with introduced ozone mixing ratios of 32 ppb, 62 of 14,800 ppb.h) with a reduction in the seed yield of ppb, 85 ppb and 113 ppb. The species were exposed to 49% and, in the above-ground biomass, of 23%. ozone seven hours per day for 25 days for rice and 29 days for peanut.
Figure 23.1: Rice grain and straw yield in different ozone Figure 23.2: Peanut seed and straw yield (kg/ha) vs. ozone treatments concentrations
10,000 6,000
9,000 Grain yield Seed yield Straw yield Straw yield 8,000 5,000
7,000 y = -29.614x + 8069.6 R2 = 0.8333 4,000 y = -10.404x + 5109.1 6,000 R2 = 0.9748
5,000 3,000
Yield (kg/ha) 4,000 Yield (kg/ha) 2,000 3,000 y = -22.412x + 5471.1 R2 = 0.9558 y = -11.862x + 2746.9 2,000 1,000 R2 = 0.8905 1,000
0 0 0204060 80 100 120 0 20 40 60 80 100 120 Ozone concentrations (ppb) Ozone concentrations (ppb)
188 BCI International Symposium Proceedings. 23.3 Modeling study seed and biomass) and ozone in the experimental range are approximately linear. The yield of rice grain and The modeling work involves prediction of ozone peanut seed was reduced around 4.5% per every 10 ppb for the Southeast Asia Continent using the CMAQ-MM5 increase in exposed ozone levels. The biomass yield modeling system. An example of calculated ozone loss was smaller, 3.7% and 2.1%, respectively. The levels at a particular time over the modeling region is modeling results show high levels of ozone over shown in Figure 23.3. Continental Southeast Asia have a high potential to adversely affect the agricultural crops in the region. Figure 23.3: Ground level ozone concentration over Continental Southeast Asia produced by CMAQ-MM5, References 15:00 BKK time, March 26, 2004 Dinh Thi Hai Van (2005). Assessment of ozone effects on crops in Asia: case study with the selected crops in the Northern CONTOUR MAP OF OZONE OVER CSEA DOMAIN - 15:00 LST MARCH 26, 2004 Vietnam. AIT thesis, EV-05-8.
Kobayashi, K., Okada, M. 1995. Effects of ozone on the light use of rice (Oryzasativa L.) plants. Agriculture, Ecosystems and Environment. 53: 1-12.
Wahid, A., Maggs, R., Shamsi, S.R.A., Bell, J.N.B., Ashmore, M.R., 1995. Effects of air pollution on Rice yield in the Pakistan Punjab. Environmental Pollution. 90(3): 323–329.
The ozone prediction, an on-going study, is being done for a typical rice growth season in Southeast Asia. The AOT40 will be calculated and the potential effects of ozone in the region will be determined based on the region land use map. The experimental data on dose- effect of ozone on rice as well as the literature reported data will be used for the effect assessment.
23.4 Conclusions
The experimental study shows that ozone can have adverse effects on tested rice and peanut species at a level much lower than normal ambient levels in the suburbs of highly urbanized areas of Asia. The effects on growth variables such as plant height, leaf areas, total area of brown spots on the leaf, and dry weight exaggerate with the exposure time and with the ozone concentrations. The relationship between yields (grain,
Air Pollution and Ecosystem: Assessment of Effects of Ground. Level Ozone on Agricultural Crops in Asia 189 In summary, the predictions are that the overall 24. Climate Change and Consequent Impacts in water balance will not change drastically over the next the Mekong River Basin 30 years, however the timing and distribution of precipi- tation will change leading to longer dry seasons and Hans Guttman shorter, more intense wet seasons. This will have direct impact on agriculture and flooding, however it is uncer- tain if the changes are significant enough to impact the Summary ecology and composition of upper watersheds. By the end of the century the temperature will have risen The Mekong River Basin (MRB) is dominated by significantly (by 3-4oC) and precipitation increased by up the seasonal monsoonal weather regime. It has shaped to 10%, which in turn will potentially have a significant current ecological characteristics and it is an important impact on the Mekong River water regime and conse- factor in determining the biological diversity of the region. quent changes in the biophysical environment. Global climate change will impact on the timing 24.1 Introduction and magnitude of the monsoon, which in turn will affect the upper watersheds, the river and its floodplains. In The Mekong (Lancang) River rises in the Himalayas order to assess the type and magnitude of such change in western PRC, flows through the mountainous south- and the impact on the water regime, global climate west, where the Nu (Salween) river and the Yangtze river change model results for the MRB were downscaled and also have their headwaters, through Yunnan province analyzed in terms of impact on water resources. The whereafter it forms the border of northern Laos and study investigated the climate change predictions for the Myanmar, and later Thailand. It plunges into Cambodia MRB for 2010-2039 and 2070-2099 based on scenarios after the Kone falls and joins the Tonle Sap river at Phnom provided by the Intergovernmental Panel on Climate Penh, forming unique wetlands in the floodplain and Change (IPCC) using HADCM3 developed by the Hadley forming a delta which joins the South China Sea by Centre for Climate Prediction and Research (IPCC 2003). running through southern Viet Nam. The results indicated that the mean temperature The population in the MRB is largely rural and the in the whole MRB will increase from the current 24.3oC majority of people are employed in agricultural or related to 25.3oC during 2010-2039, rising to between 27.2 to activities, with rice as a major crop. Rice cultivation and 28.3o C by 2099. In addition the variation in temperature fisheries form much of the basis for food production in (as indicated by minimum and maximum temperatures) the lower part of the basin. Thus the majority of people will also increase. in the Basin are directly affected by any changes in water resources. The mean precipitation shows an overall increase however the change in precipitation varies from one In general, water resources in the MRB as a whole sub-basin to another. Compared with the baseline of are not highly developed. However, there are several 1961-90 the mean precipitation in different sub-basins emerging issues regarding water usage in the Basin. The varies by about ± 6% during 2010-2039. However, for need for economic development in the region prompts the MRB as a whole, mean precipitation only varies by the development of untapped hydro-power resources, ±0.2% for the same period. By the end of the century to further develop food production and irrigation develop- (2070-2099) mean precipitation in different sub-basins ment, both through pumping schemes and water storage is expected to vary from about –12% to +32% from the are part of riparian countries agricultural development baseline. An increase is expected in 9 sub-basins with strategies. This will alter the water resources and risk higher percentage compared to a reduction in 4 sub- jeopardizing the natural productivity of fisheries and basins. These variations lead to an overall increase wetland resources, upon which much of the rural popula- between 9-10% in the basin as a whole. tion bases significant parts of their livelihoods. It will be a delicate act to balance the benefits from water
190 BCI International Symposium Proceedings. resources development and reduction in the natural 24.2 Methodology productivity. IPCC (2001) concluded that the climate has The MRB is dominated by the seasonal monsoonal changed during the 20th century and larger changes are weather regime. It has shaped current ecological char- projected for the 21st century; such change will have acteristics and it is one important factor in determining both beneficial and adverse effects on both environmental the biological diversity of the region. As much of the and socioeconomic systems, but the larger the change Mekong River Basin is located in Southeast Asia, the and the rate of change in climate, the more adverse climate is governed by monsoons - steady winds that effects predominate; adaptation is necessary and its blow alternately from the northeast and the southwest, costs can be reduced by anticipation, analysis and each for about half of the year. The southwest monsoon planning. begins in May and continues until late September, and brings moisture from the oceans in over the lower Mekong Among the predicted main regional impacts of River Basin resulting in a distinct “rainy season” (Figure climate changes in the MRB are (IPCC 1997): 24.1). The northeast monsoon is from November to (i) increased annual floods and droughts, as a March rises over mainland PRC and is drier (and during result of the seasonal shifts in monsoon late December and January much colder), which results weather patterns; in a dry cold period followed by a dry hot period until the (ii) increased number of Tropical Cyclones; onset of the southwest monsoon. (iii) other extreme events include high-temperature winds; and Figure 24.1: Mean rainfall distribution (mm/Month) in (iv) more extreme impacts from the El Niño- the lower MRB (IMC 1988) Southern Oscillation (ENSO) phenomenon, influencing inter-annual variability of climate.
292 299 300 269 241 Global climate change will impact on the timing 198 200 165 and magnitude of the monsoon, which in turn will affect the upper watersheds, the river and its floodplains. In 77 100 54 order to assess the type and magnitude of such change 40 8 15 14 and the impact on the water regime, the ADAPT project 0 used an approach of downscaling global climate change Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec model results for the MRB, which were analyzed in terms of impact on water resources. The study investigated In addition cyclonic disturbances may cause wide- climate change predictions for the MRB for 2010-2039 spread rainfall of long duration during July to Septem- and 2070-2099 based on scenarios provided by IPCC ber, which can cause serious flooding. Finally, as the using HADCM3 (IPCC 2003). Mekong rises in the snow capped mountains of western PRC, snow melt in early spring causes the river to rise The latest scenarios provided by IPCC (2001) are before the onset of the southwest monsoon. assembled in the Special Report on Emission Scenarios (SRES). In simple terms, the four marker SRES This paper is based on the results of the ADAPT scenarios combine two sets of divergent tendencies: one project1 as reported on in Hoanh et al (2003) and Hoanh set varying between strong economic values and strong et al (2004). environmental values, the other set between increasing globalization and increasing regionalization. The storylines are presented in Annex 24.1.
1 The project was funded by the Dutch government. The six other basins are the Rhine (Western-Europe), Sacramento (USA), Syr Darya (Central Asia), Volta (Ghana), Walawe (Sri Lanka) and Zayandeh (Iran).
Climate Change and Consequent. Impacts in the Mekong River Basin 191 The A2 and B2 scenarios from this set were used 24.3 Temperature in this study, using climate change projections for 2010- 2039 and 2070-2099 compared with the baseline The mean temperature in the MRB will increase scenario of 1961-1990, a 30-year “normal” period as from 24.3oC in 1961-90 to 25.3oC during 2010-2039 in defined by the World Meteorological Organisation both scenarios A2 and B2; 28.3oC and 27.2oC during (WMO), using projections by the Hadley Centre for 2070-2099 in A2 and B2 respectively. Trends of changes Climate Prediction and Research, referred to as in mean temperature from 1961-90 to 2010-39 and 2070- HADCM3. Details of the preparation of the data and 99 in the MRB under scenarios A2 and B2 are shown in down-scaling are presented in Hoanh et al (2003). Figure 24.2. Although the trend of mean temperature in A2 is higher than B2, variation in B2 is larger.
Figure 24.2: Variations and trend of mean monthly temperature of the MRB under scenarios A2 and B2
Mean temperature (A2) (0c) 35
30
25
20
15 1961 1971 1981 1991 2001 2011 2021 2031 2041 2051 2061 2071 2081 2091 Year
Mean temperature (B2) (0c) 35
30
25
20
15 1961 1971 1981 1991 2001 2011 2021 2031 2041 2051 2061 2071 2081 2091 Year
Although variations in maximum and minimum During 2010-2039 in scenario A2, mean temperature temperatures are slightly different in these two scenarios, in every sub-basin will increase about 3.7% to 4% the common trend is an increase of about 5oC from 1961- compared with the baseline 1961-1990. The same 90 to the end of 21st century. In many months during increase is found during 2010-2039 in scenario B2. 2070-2099, maximum monthly temperature will be over During 2070-2099, the increments in mean temperature 40oC and minimum temperature will be over 25oC, and in scenario A2 by sub-basin vary from 14.0% (Delta) to the number of these months is higher in A2 than in B2. 21.8% (Nam Ou) compared with the baseline 1961-1990.
192 BCI International Symposium Proceedings. However, in this period, the increments in mean all sub-basins, change in precipitation varies from one temperature in scenario B2 are lower, from 10.0% (Delta) sub-basin to another (Figure 24.3). to 15.7% (Nam Ou). Compared with the baseline 1961-90, during 2010- In summary the results indicated that the mean 39, mean precipitation in different sub-basins varies from temperature in the whole MRB will increase from the about -6% to +6% in both scenarios A2 and B2. However, current 24.3oC to 25.3oC during 2010-2039, rising to for the MRB as a whole, mean precipitation during 2010-39 between 27.2 to 28.3oC by 2099. In addition the only varies by +0.2% and -0.2% in scenarios A2 and B2. variation in temperature (as indicated by minimum and maximum temperatures) will also increase. During 2070-99, mean precipitation in different sub-basins varies from about –12% to +32% in both 24.4 Precipitation scenarios A2 and B2. The positive variations occur in 9 sub-basins with higher percentage compared to Change of mean precipitation from 1961-90 to negative variations in four sub-basins. These variations 2010-39 and 2070-99 in Mekong River sub-basins lead to an increase of 9.8 and 9.4 % in the MRB as a under scenarios A2 and B2 show an overall increase in whole in scenarios A2 and B2, respectively.
Figure 24.3: Variations and trend of monthly precipitation of the MRB under scenarios A2 and B2
Precipitation (mm/month) (A2) 600 500 400 300 200 100 0 1961 1971 1981 1991 2001 2011 2021 2031 2041 2051 2061 2071 2081 2091 Year
Precipitation (mm/month) (B2) 600 500
400
300 200 100
0 1961 1971 1981 1991 2001 2011 2021 2031 2041 2051 2061 2071 2081 2091 Year
The mean precipitation shows an overall increase to vary from about –12% to +32% from the baseline. An however the change in precipitation varies from one sub- increase is expected in 9 sub-basins with higher basin to another. Compared with the baseline of 1961- percentage compared to a reduction in 4 sub-basins. 90 the mean precipitation in different sub-basins varies These variations lead to an overall increase between by about ± 6% during 2010-2039. However, for the MRB 9-10 % in the basin as a whole. as a whole, mean precipitation only varies by ±0.2% for the same period. By the end of the century (2070-2099) Regarding other factors affecting water resources, mean precipitation in different sub-basins are expected there is increase in wind speed (increasing evapotranspiration)
Climate Change and Consequent. Impacts in the Mekong River Basin 193 and a decrease as relative humidity. In all cases, the (in Cambodia) due to climate change are shown in amplitude of variation in A2 is higher than in B2. Figure 24.4. Although the general trend shows only slight increases, higher extremes are expected in the future. 24.5 Climate and water resources Maximum monthly flows in some sub-basins increased in 2010-39 compared with 1961-90 period (e.g. 10-14% In order to see the resultant impact of climate around Kratie). In 2070-99 the increments are even changes described above, the results were put through higher (e.g., 35-41% around Kratie). The monthly aver- a hydrological model (SLURP– Semi-distributed Land age flow is almost unchanged in 2010-39, but increased Use-based Runoff Processes) developed by the Inter- in 2070-99 with a lower level than the maximum (17% national Water Management Institute (Kite 2000). The around Kratie). On the other hand, minimum monthly SLURP Model is outline in Annex 24.2. The resultant flow will decrease slightly in 2010-39 (e.g. 7-15% the changes in water flows and inundation were assessed. Delta), but significantly in 2070-99 (26-29% in the Delta). In this scenario, maximum daily flow also increased The results indicate that the impacts on water significantly in both Mekong 3 and Delta in 2070-99, about resources were as follows. The trend and monthly 30% in A2 and 15% in B2. variations in stream flow of the sub-basin around Kratie
Figure 24.4: Trend and variation of stream flow in sub-basin Mekong 3 under A2 and B2
Q (m 3/s) Monthly Q - A2 - Mekong 3 70,000 60,000 50,000 40,000 30,000 20,000 10,000 0 1961 1971 1981 1991 2001 2011 2021 2031 2041 2051 2061 2071 2081 2091 Month
Q (m 3/s) Monthly Q - B2 - Mekong 3 70,000 60,000 50,000 40,000 30,000 20,000 10,000 0 1961 1971 1981 1991 2001 2011 2021 2031 2041 2051 2061 2071 2081 2091 Month
This would result in more frequent extreme events (i) Water shortages in Thailand: the level of (floods and low flows) although there is great change to irrigation development of the north-east Thailand the overall annual flow. The main current water issues in region, as well as in neighboring, agriculturally the MRB may be accelerated through climate change important Chao Phraya Basin in Thailand has (WUP 2001): resulted in a lack of water during the dry season.
194 BCI International Symposium Proceedings. (ii) Salinity intrusion in delta: the extent of the Hoanh C.T., H. Guttman, P. Droogers and J. Aerts. (2004). Will intrusion of saline water into the Mekong We Produce Sufficient Food under Climate Change? Mekong Basin (South East Asia), Chapter 8 in Aerts J. and P. Droogers Delta depends on the magnitude of the dry- (eds.) Climate Change in Contrasting River basins – Adapta- season flows from upstream and the level of tion Strategies for Water, Food and Environment. CABI, abstractions for irrigation. Oxfordshire, 264 p. (iii) Floods: the flood in 2000 was the highest IMC. (1988). Perspectives for Mekong Development. Revised flood in over 40 years, with significant loss of Indicative Plan (1987) for the Development of Land, Water and life and high damages of crops and infrastruc- Related resources of the Lower Mekong basin. Committee ture in Cambodia and Viet Nam. report, Interim Committee for Coordination of Investigations of the Lower Mekong Basin, Bangkok.
24.6 Conclusions IPCC. (2001). Climate Change 2001 – Synthesis report. An assessment of the Intergovernmental Panel on Climate In summary the predictions are that the overall Change. Watson (ed.) Cambridge University Press, Cambridge. water balance will not change drastically over the next IPCC 2003 Intergovernmental Panel on Climate Change, Data 30 year, however the timing and distribution of precipita- Distribution Centre. http://ipcc-ddc.cru.uea.ac.uk/dkrz/ tion will change leading to longer dry seasons and shorter dkrz_index.html more intense wet seasons. This will have a direct Kite G. (2000). Developing a Hydrological Model for the Mekong impact on agriculture and flooding, however it is uncer- Basin. Impacts of basin development on fisheries productivity. tain if the changes are significant enough to impact the Working Paper 2. International Water Management Institute ecology and composition of upper watersheds. By the (IWMI), Colombo, Sri Lanka. end of the century, the temperature will have risen WUP. (2001). Review of historic water resources development significantly (by 3-4oC) and precipitation increased by up and water use. Working Paper No. 2 prepared by Halcrow to 10%, which in turn potentially will have a significant Group Ltd. In association with WRCS, Water Studies Pty, impact on the Mekong River water regime and Finnish Environment Institute, EIA Centre of Finland Ltd, consequent changes in the biophysical environment. Team Consulting Engineers Co. Ltd, CamConsult Ltd, Laos Consulting Services and Water Resources University of Ha- noi. Mekong River Commission, Phnom Penh. The main change in water resources is predicted to be more frequent extreme hydrological events, such as floods and low flows, which result in significant impacts on people living in the floodplains.
The Mekong River Commission (MRC) is currently re-analyzing the impacts of the climate change predic- tions on the water resources using a more detailed modeling program (MRC-DSF) to better ascertain the impact predicted for 2010-2040 and 2070-2100.
References
Carter, T.R., M. Hulme and M. Lal. (1999). Guidelines on the use of Scenario data for climate impact and adaptation assessment. Version 1. December 1999. Task Group on Scenarios for Climate Impact Assessment, Intergovernmental Panel on Climate Change (IPCC).
Hoanh C.T., H. Guttman, P. Droogers and J. Aerts. (2003). ADAPT – Water, Climate, Food and Environment under Climate Change – Mekong Basin in Southeast Asia. Final Report. International Water Management Institute (IWMI), Mekong River Commission Secretariat (MRCS), Institute of Environmental Studies (IVM).
Climate Change and Consequent. Impacts in the Mekong River Basin 195 Annex 24.1: Emission scenarios population growth, and less concern for rapid economic development. Based on Carter et al (1999) the storylines are briefly described as: B1: A convergent world with rapid change in economic structures, “dematerialization” and introduction of clean A1: A future world of very rapid economic growth, low technologies. The emphasis is on global solutions to population growth and rapid introduction of new and more environmental and social sustainability, including efficient technology. Major underlying themes are concerted efforts for rapid technology development, economic and cultural convergence and capacity building, dematerialization of the economy, and improving equity. with a substantial reduction in regional differences in per capita income. In this world, people pursue personal B2: A world in which the emphasis is on local wealth rather than environmental quality. solutions to economic, social, and environmental sustainability. It is a heterogeneous world with less rapid, A2: A differentiated world. The underlying theme is and more diverse technological change but a strong that of strengthening regional cultural identities, with emphasis on community initiative and social innovation an emphasis on family values and local traditions, high to find local, rather than global solutions.
Annex 24.2: SLURP model details
Table 24.1: Sub-basins and land covers in the MRB (used for SLURP model)
Land covers as % of sub-basin area
No. Sub-basin Area Urban Agriculture Semi- Shrub- Deciduous Evergreen Mixed Water Tundra (km2) desert land forest forest forest 1 Mun 60,912 0.1 92.2 0 5.1 0.8 1 0.3 0.5 0 2 Chi 55,985 0 75.9 0.1 16.2 2.3 1.8 2 1.7 0 3 Chi-Mun 4,175 0 71.7 0 13.6 6.4 0.1 0.1 8.1 0 4 Lancang 225,562 0 2.4 31.2 16 9.4 16.9 22.3 0.3 1.5 5 Nam Ou 30,708 0 0.3 0 1.6 8.1 61 29 0 0 6 Nam Ngum 8,886 0 5.4 0 7.7 20.6 30.1 32.4 3.8 0 7 Mekong 1 156,509 0 17.3 0.1 24.3 15.4 26 15.6 1.3 0 8 Mekong 2 20,558 0 29.7 0 20 17.2 19.7 9.8 3.6 0 9 Sekong 28,601 0 12.1 0.1 16.6 12.3 52.9 5.7 0.3 0 10 Srepok 48,318 0 10.6 0 25.9 10 34.3 18.5 0.7 0 11 Mekong 3 27,701 0 27.1 0.1 26.7 9.1 24.2 9 3.8 0 12 Tonle sap 86,594 0.2 44.7 0 22.6 7.3 13.3 8.2 3.7 0 13 Delta 40,492 0.5 78.8 0 10.8 0.8 4.8 0.4 3.9 0 Total 795,000 0.1 28.6 8.9 17.7 9.1 19.8 13.9 1.5 0.4
196 BCI International Symposium Proceedings. Figure 24.5: Sub-basins and stream network in the SLURP Figure 24.6: Land use in the Mekong River basin - SLURP model for MRB (Kite, 2000) model (Kite, 2000)
Urban Agriculture Semi-desert Shrubland Lancang Dec. Forest Con. Forest Mixed Forest Water Nam Ou Tundra Mekong1 Nam Ngum
Mekong2 Chi-Mun
Chi Se Kong
Mun Sre Pok
Tonle Sap Mekong3
Delta
Meters Grid North 500,000.00
Climate Change and Consequent. Impacts in the Mekong River Basin 197 to increase river flooding, without increasing the amount 25. Addressing Vulnerability to Climate Variability of water available. For more than a decade now, India and Climate Change: An Integrated Modeling has been facing climatic implications in one or other form System due to global warming and sea level rise which in turn has resulted into (Shukla et al 2003): Satya Priya, Murthy Bachu, Annes Hassankunju, (i) an increase in the severity of droughts and the and Sridhar Gummadi intensity of floods in various parts of the country; (ii) a general reduction in the quantity of available runoff, particularly in areas that are already experiencing acute Summary water scarce conditions; (iii) an increased risk of food insecurity, affecting production on small and marginal India’s vulnerability to current climate variability farms; and (iv) a worsening of some of the existing coastal and climate change is well established. Nearly two-thirds zone problems, e.g., erosion, flooding, and degradation of India’s population live in rural areas and are highly of coastal ecosystems. dependent on climate-sensitive sectors, such as rain-fed agriculture, forestry, and fisheries, which are already Therefore, the objective of this particular study is vulnerable to current climatic variability, particularly floods to assess: “How climate is projected to change at the and droughts. The objective of the study is to review the regional level and what are the projected impacts on impacts on water resources and agriculture using the water resources and agriculture? Which regions and projected HadRM3, third-generation Hadley center community groups are most vulnerable to climate regional level climate changes for two SRES emission changes in water resources and agriculture sectors, and scenarios (A2 and B2). Water resources assessment was which adaptation strategies are needed to cope with the carried out using Soil and Water Assessment Tool projected changes?” It is particularly aimed at answering (SWAT). An impact assessment on groundnut, jowar, the question on the subject through development of an sunflower, and rice were done through the Erosion integrated modeling system. Productivity Impact Calculator (EPIC) Model. Study estimated an increase in runoff in the order of 10–15% 25.2 Study area and data used with more extremities in A2 compared to B2. All monsoon crops show decreased yields under A2, whereas B2 The study was conducted in Pennar Basin in seemed to be relatively better (except rice) than A2. The Andhra Pradesh State in India. Pennar Basin extends decrease in yield for groundnut was found to be significant over an area of 55,213 km2, which is nearly 1.7% of total but moderate for other rain-fed crops. geographical area of the country. The basin lies in the states of Andhra Pradesh (48,276 km2) and Karnataka 25.1 Introduction (6,937 km2). Pennar River rises from the Chenna Kesava hills of the Nandi ranges of Karnataka and flows for about Changing climate is expected to increase both 597 km before outfalling into Bay of Bengal. Topography evaporation and precipitation in most areas of the world. of the area is generally flat, having mostly slopes of less In those areas where evaporation increases more than than 6.5%. The basin is divided into 58 sub-basins precipitation, soil will become drier, reservoir water covering four districts namely Kurnool, Ananthpur, levels will drop, and rivers will carry less water. Lower Cuddapah, and Chittor. Study area is located between, river flows and lower lake reservoir levels could impair 77.10 –80.15oE and 13.3–15.8oN. Location map of study navigation, hydroelectric power generation, and water area, block studies, and delineated sub-basins are shown quality, and reduce the supplies of water available for in Figure 25.1a. Drainage features of the basin are shown agricultural, residential, and industrial uses. Some in Figure 25.1b. Climate is predominately semi-arid to areas may experience both increased flooding during arid. In general, there are four seasons in this region. monsoon, as well as lower supplies during summer. More Hot weather (from March to May), Southwest monsoon generally, the tendency for rainfall to be more concen- (from June to September), Northeast monsoon (from trated in large storms, as temperatures rise would tend October to December) and winter (from December to
198 BCI International Symposium Proceedings. February). Summers are hot but after the rain begins in 25.3 Integrated modeling system (IMS) the middle of June, there is a decline in the temperature. Lowest temperatures are recorded in December. In April An integrated modeling system (IMS) has been and May, on individual days temperature may go up to developed to establish functional links between the more than 40oC. However, annual mean maximum water and agriculture resources representing a core part temperature varies between 30–37oC and mean mini- of the livelihood. Under this study the water and main mum temperature vary between 21–25oC. Weather data cereal crop productivity is assessed with an emphasis viz., maximum temperature, minimum temperature, on water management to clarify its vulnerability to solar radiation, relative humidity and wind speed for four climate change. The assessment includes following IMD stations have been used in the study. Station Names components: (i) Baseline climatology and meteorology, are Kurnool, Anantapur, Cuddapah, and Chittor in which (ii) Third generation Regional Climate Model (HadRM3) the study area lies. derived projected climate scenarios, (iii) Hydrological modeling using SWAT including irrigation water and IRS LISS IV 23.5 m resolution images are used in agricultural crop modeling using EPIC modeling. SWAT, developing the land use and land cover grid. Land use which stands for Soil and Watershed Assessment Tool land cover map of Pennar basin is shown in Figure 25.1c. (Arnold et al 2003), was developed to predict the The area is covered with different soils. These soils include impact of land management practices on large, complex the red soils (locally known as “Chalkas”) and black soils. river basins or watersheds. EPIC (Erosion Productivity The red soils are mostly the Alfisols, Inceptisols and Impact Calculator)—a biophysical crop growth model is Entisols formed from granite and gneisses. National used to simulate agricultural crop yields. (Sharpley, and Bureau of Soil Survey & Land Use Planning map of 1:250 k Williams 1990). IMS has been implemented for a basin has been used for the study. Soil distribution map of in India. Two-component architecture, streamlined Pennar basin is shown in Figure 25.1d. procedures were adopted to ensure that common data
Figure 25.1: Study area
(a) Location (b) Drainage
(c) Land use (d) Soil
Addressing Vulnerability to Climate Variability and Climate Change: . An Integrated Modeling System 199 can be transferred to SWAT and EPIC; however, it does (and other constituents) will change in the future is not alleviate the burden of processing the large number needed. A range of emissions scenarios has been of individual input files. The “embedded” architecture developed in the Intergovernmental Panel on Climate is virtually impractical in this case. The design of the Change (IPCC) Special Report on Emission Scenarios integration system includes an add-on external user (SRES) and reflects a wide range of the main demo- interface and a shared internal database to couple the graphic, technological and economic driving forces of two systems. Supporting hydrologic and agro-metrological future emissions (Nakicenovic et al, 2000). Four ‘Marker’ modeling is the primary function of this system; thus the scenarios, namely A1, A2, B1 and B2, have been design accommodate the requirements of the SWAT and identified each of which describes a different world EPIC modeling linkages through IMS architecture as evolving through the 21st century and each of which shown in Figure 25.2. may lead to quite different greenhouse gas emission trajectories. Figure 25.2: Integrated modeling system – architecture The A2 scenario describes a very heterogeneous world. The underlying theme is self-reliance and preser- vation of local identities. Fertility patterns across regions converge very slowly, which results in continuously increasing global population. Economic development is primarily regionally oriented and per capita economic growth and technological change are more fragmented and slower than in other scenarios. The B2 scenario describes a world in which the emphasis is on local solutions to economic, social, and environmental sustainability. It is a world with continuously increasing global population at a rate lower than A2, intermediate levels of economic development, and less rapid and more diverse technological change than in the B1 and A1 scenarios.
25.6 Hydrological modeling 25.4 Climate Model – HadRM3 Datasets
Hydrological Modeling aims at studying the impact The third-generation Hadley Centre RCM in water resources due to climate change projections. It (HadRM3) is based on the latest GCM, HadCM3. It has tries to answer the questions, how does it is going to a horizontal resolution of 50 km with 19 levels in the affect the water resources, its distribution both spatially atmosphere (from the surface to 30 km in the strato- and temporally? River runoff is one of the main charac- sphere) and four levels in the soil. In addition to a teristics describing available water resources. One of the comprehensive representation of the physical processes aims of this study is to estimate the climate change in the atmosphere and land surface, it also includes the impact on river runoff in Pennar basin, India. A distributed sulphur cycle. This enables it to estimate the concentra- hydrological water balance model viz., SWAT 2000 tion of sulphate aerosol particles produced from SO 2 (Arnold et al 2003), has been used to quantify the emissions. These have a cooling effect as they scatter impact of the climate change on the water resources and back sunlight and also produce brighter clouds by is capable of performing continuous, long-term allowing smaller water droplets to form. simulations for watersheds composed of various sub basins with different soils, land uses, crops, topography, 25.5 IPCC SRES emission scenarios weather, etc.
To predict future climate change, a projection of how anthropogenic emissions of the greenhouse gases
200 BCI International Symposium Proceedings. The basic model components simulated by temperature in A2 and 2oC in B2. The warming trend is SWAT2000 include weather, surface runoff, return flow, almost uniform across the Blocks with a range of 2.9 to percolation, ET, transmission losses, pond and reservoir 3.3oC in A2 and 2.0 to 2.3oC in B2 as shown in Table storage, crop growth and irrigation, groundwater flow, 25.1. Annual cycle of rainfall shows increase except in reach routing, nutrient and pesticide loading and water January and July, whereas temperature shows warming transfer. SWAT2000 requires daily precipitation, maxi- in all months. The kharif season depends entirely on the mum/minimum air temperature, solar radiation, average southwest monsoon receiving over 70% of the annual ag- daily wind speed, and relative humidity. This information gregate rainfall during monsoon months of June to Sep- can come from observed data or it may be generated tember. Kharif is characterized by a gradual fall in tem- from the weather generator database. The precipitation perature, more numerous cloudy days, low light inten- may be homogenous for the entire watershed; however, sity, a gradual shortening of photoperiod, high relative spatial variability may lead to unique climate conditions humidity and cyclonic weather. for the various sub basins in the model. 25.8.2 Water resources assessment 25.7 EPIC - Agro-met model SWAT simulation consist of an initial calibration EPIC model is selected on the basis that it and then followed by a second phase in which the provided a more coherent modeling environment and impact of Climate change were assessed. SWAT model there was relevant experience available to the team in runs are performed basically for two sets of rainfall data the application of EPIC in relevant parts of India (Priya & viz., 1. IMD rainfall and 2. Block rainfall data. IMD runs Ryosuke 1998 & 2001). It simulates the effects of made use of the data for 4 stations where as block level management decisions on soil, water, nutrient, and data made use of 120 stations of rainfall data. Rainfall pesticide movements, and their combined impact on soil data for the period 1985 – 95 has been used for IMD loss, water quality and crop yields for areas with homo- runs. Block level runs made use of the rainfall for the geneous soils and management. Some of the important period 1988 to 2002. Other data sets viz., Soil, temperature components of EPIC are: weather generator (WxGEN); and weather data remains same in both the runs. Flow hydrology, erosion and sedimentation, nutrient cycling; data sets used for calibration include, Upper Pennar crop growth; tillage; economics; and plant environment Reservoir – 1971-2000, Tadipatri – 1974-98, Pennar control. Anicut – 1983-91, Somasila Reservoir – 1979-93. Simu- lated annual and observed runoff at Tadipatri and daily 25.8 Results and discussions flow Pennar Anicut are shown in Figure 25.3. Results showed a good match between simulated and observed 25.8.1 HadRM3 findings for Pennar runoff. It was observed that runoff in the basin is in the range of 5 – 8% coincides with the results of UNDP The change in rainfall is in the range of 10 to 28% report on Andhra Pradesh Rural Livelihoods program in A2 and 1 to 8% in B2 in the Pennar region. The region water audit (2003). will experience about 3oC raise in the annual maximum
Table 25.1: Projected climate changes in Pennar region
Change in Max temp (C) Change in Min temp (C) % Change in Rainfall Scenarios Period Highest Lowest Mean Highest Lowest Mean Highest Lowest Mean A2 Vs Baseline Kharif 3.5 3.0 3.1 3.4 3.1 3.2 20.8 -4.5 8.1 B2 Vs Baseline Kharif 2.5 2.1 2.3 2.6 2.3 2.4 3.9 -12.0 -5.7 A2 Vs Baseline Annual 3.3 2.9 3.1 3.7 3.4 3.6 28.2 9.8 21.3 B2 Vs Baseline Annual 2.3 2.0 2.2 2.7 2.5 2.6 7.7 1.0 4.1
Addressing Vulnerability to Climate Variability and Climate Change: . An Integrated Modeling System 201 Figure 25.3: Comparison of observed and simulated runoffs at two gauge stations
Annual Rainfall - Runoff at Tadipatri on Pennar River 1000 July 1989 Daily Flow at Pennar anicut
900 IMD Precip 5000 Block Precip 800 4500 Sim IMD Runoff Simulated 4000 700 Sim Block Runoff Observed 3500 600 Obs Runoff 3000 500 2500 400 2000
300 Flow (cumecs) 1500 Precip/Runoff (mm) 1000 200 500 100 0 0 06/01/89 06/21/89 07/11/89 07/31/89 08/20/89 1989 1990 1991 Year Date (a) Tadipatri (b) Pennar Anicut
25.8.3 Impacts of climate change on water resources Evapotranspiration losses are high. It varied from 80 to 95%. In the climate change scenario, runoff in percent- Average annual rainfall is about 660 mm historically; age of rainfall is about 19% in A2 and 15% in B2. it increased to 709 mm in A2 scenario and 683 mm in B2 scenario. The region will experience about 3oC raise in In the climate change scenario, study estimated the annual maximum temperature in A2 and 2oC in B2, that the mean annual flow in the river system would be respectively. The warming trend is almost uniform across increased by 8% in A2 and 4% in B2. Evapotranspiration the Blocks with a range of 2.9 to 3.3oC in A2 and 2.0 to losses were decreased by about 10% in A2 and 12% in 2.3oC in B2. Annual cycle of rainfall shows increase B2. The flows showed high inter-annual variability, which except in January and July, whereas temperature shows in turn reduce the river flow in dry years significantly, warming in all months. There is an about 8% increase in which would have serious effects on irrigation supply. An rainfall in A2 and about 4% increase in rainfall in B2 average rainfall increase of 4-8% caused a 10–15% scenario. It is observed that the runoff in the basin is increase in river flows. This may be due to an estimated varied from 4–11%. It may be due to intensive water wet condition in the climate change scenario. In A2 abstraction in the form of numerous tanks in the basin. scenario, there is about 20% chance that the rainfall
Figure 25.4: Monthly rainfall and runoffs under climate change scenarios
Average monthly rainfall predicted for Climate Change Average monthly runoff predicted for Climate Change scenarios scenarios 180 90 A2 Rainfall 160 80 B2 Rainfall A2 Runoff 140 70 IMD Rainfall B2 Runoff 60 120 Block Rainfall IMD Runoff 100 50 Block Runoff Runoff 80 40 Rainfall
60 30
40 20
20 10
0 0 Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Month Month (a) Monthly rainfall (b) Monthly runoff
202 BCI International Symposium Proceedings. exceeds by 1 σ and 4% exceeds by 2 σ. Similarly number coefficients. The climate change scenario predicted an of instances in which rainfall is below 1 σ is 14% and 2 σ increase in rainfalls in May, September and October is 4%. The corresponding numbers in B2 scenario are months and decrease in rainfall in June-July as shown 18%, 6%, 14% and 2% respectively. These values in Figure 25.4. Also, spatial distribution of rainfall, and indicate that the extremities in runoff will relatively high evapotranspiration are shown in Figure 25.5 a and b in A2 than B2. Changes in rainfall are amplified in runoff, respectively. with a bigger amplification in catchments with low runoff
Figure 25.5: Spatial distribution of average annual evapotranspiration in climate change
(a) Rainfall distribution
(b) Evapotranspiration
Addressing Vulnerability to Climate Variability and Climate Change: . An Integrated Modeling System 203 25.8.4 Crop yield assessment Validation at districts are carried out using block level simulated outputs for the years 1989 through 1996 The area is characterized by two growing season. and the annual reported yields for the selected four crops The main growing season starting in June lasting until viz., rice, jowar, groundnut and sunflower. The validation September (Kharif). The main source of water for crop was done using Kharif simulated crop yield for the Kharif production is the Southwest monsoon. The second season, which were compared with annual (Kharif + Rabi) growing season starts in December and last until April reported yields, which were the only data available. (Rabi). The main crop grown during this period is rice. Validations at districts are carried out using block level simulated crop yields for the above-mentioned period and The four crops – rice, groundnut, sunflower, and were compared using annual reported yields. Validation jowar (sorghum) – selected for analysis in this study had charts for Groundnut crop (Chittor and Kurnool) and for already been included in EPIC, but needed to be Rice crop (Cuddapah and Anantapur) are shown in modified to reflect AP conditions. The model was run for Figure 25.6. all four crops for Kharif season only where except Rice remaining three crops are rain-fed crops. Rice being an 25.8.5 Climate change impact on crop yields irrigated crop simulation is carried out based on the prevailing conditions in the field. About 47 parameters Using HadRM3 data for Pennar basin, A2 and B2 related to crop phenology, its environment and crop scenarios were perturbed in observed climatic history at growth in a stressed environment are used in EPIC. regional scale. EPIC model is applied to run the model Parameter values for the selected crops and the to assess the impact of climate change at that scale. management practices associated with them are based The results obtained showed in general crop yields were on previous modeling exercises with EPIC and on declining in both A2 and B2 scenarios. advice from experts at the ANGR Agricultural University, Hyderabad.
Figure 25.6: Crop Validation
KurnoolKurnool - -Groundnut Groundnut Cuddapah - Rice
1.61.6 3.5
KHARIF DIST SIM AV KHARIF DIST SIM AV REPORTED DIST AV 1.4 REPORTED DIST AV 1.4 3
1.21.2 2.5
1 2
0.80.8
Yield (t/ha) 1.5 0.60.6 Yield (t/ha) 1 0.40.4
0.20.2 0.5
00 0 19881988 1989 1991 1992 1993 1989 1992 1993 1994 1996
(a) Groundnut – Kurnool (b) Rice – Cuddapah
ChittorChittor - - GroundnutGroundnut Anantapur Rice
1.6 KHARIF DIST SIM AV 3 KHARIF DIST SIM AV REPORTED DIST AV REPORTED DIST AV 1.4 2.5
1.2
2 1
0.8 1.5 Yield (t/ha)
0.6
0.6 Yield (t/ha) 1 0.4
0.2 0.5
00 19891989 1990 19921992 1993 1994 1994 1996 1996 0 1989 1991 1992 1993 1994 1995 1996 1997 (c) Groundnut – Chittor (d) Rice – Anantapur
204 BCI International Symposium Proceedings. Climate Change and Mr. Bilal H Rahill, Lead Environ- Figure 25.7: Impact on Crop yield under climate change mental Specialist, to strengthen this study by providing scenarios technical advice, analysis, support and guidance through-
0.0 out this study. Authors also want to thank the South Asia
-5.0 Environment and Social Unit World Bank Headquarters, Washington DC who financed this study. -10.0 Baseline 2.89 t\ha -15.0 Baseline 1.06 t\ha Baseline Baseline We would like to recognize the insights provided -20.0 1.17 t\ha 0.90 t\ha by Dr. Rup Kumar Kolii, IITM Pune and Dr. D. Raji Reddy, -25.0
% Change in Yields Senior Scientist, ANGR Agricultural University, -30.0 A 2 B 2 Hyderabad through their work and experience in HadRM3 -35.0 Rice Jowar Gnut Sunf data supply and analysis Crops References Under regional perturbed climate change (CC) scenarios (includes both A2 and B2), groundnut showed Arnold JG, Williams JR, Srinivasan R, King KW, (2003), Soil maximum deviation and proved to be detrimental, where and Water Assessment Tool, USDA-ARS, Temple Tx. decrease in yield appears to be 30% in case of A2 and IPCC, 2001: Climate Change 2001: Impacts, Adaptation, and 13% in case of B2 SRES scenarios. Jowar crop showed Vulnerability - Contribution of Working Group II to the IPCC moderate decrease in the range of 13 to 10% whereas Third Assessment Report. sunflower with 15% for both A2 and B2 scenarios Satya Priya, R Shibasaki (2001) National spatial crop yield respectively. Rice being an irrigated crop showed simulation using GIS-based crop production model. Ecological minimum impact with decrease in yield by 8% and 2% Modelling, 135 (2001) 112-129. for A2 and B2 scenarios. Pennar falls under semi-arid and arid climatic region in the country with predominant Satya Priya Shibasaki, Ryosuke and Shiro Ochi (1998) Model- ling Spatial Crop Production: A GIS approach, Proceedings of drought conditions. Decrease in yields are mainly due to the 19th Asian Conference on Remote Sensing, 16-20 Nov, the further increase in temperature under CC scenarios, 1998 held at Manila. pp A-9-1 to A-9-6. as has also been observed in experiments. Sharpley, A. N., and J. R. Williams (Eds.), (1990): EPIC- Erosion/productivity Impact Calculator: 1. 1. Model Documen- Results obtained showed that B2 results are less tation, U. S. Department of Agriculture Technical Bulletin No. detrimental than A2. This is due to A2 being warmer 1768, 93-124. compared to B2. In general B2 scenario, temperatures are a bit lower when compared with A2 (i.e., 2.5 against Shukla PR, Subodh K Sharma, RH Ravindranath, Amit Garg and Sumana Bhattacharya, (2003), Climate change and India o o 3.5 C and 2.3 against 3.3 C for A2 and B2 scenarios both Vulnerability Assessment and Adaptation, University Press, for kharif season and annual average respectively). Overall India. in Pennar region climate change impact on yields is the combined effect of increased temperature, increased rainfall and increased CO2. All monsoon crops show decreased yields under A2, whereas B2 seemed to be less detrimental (except rice) than A2. The decrease in crop productivity is significant for groundnut but moderate for other rain-fed crops. Decrease in yields is mainly due to the further increase in temperature under CC scenarios, as has also been observed in experiments.
Acknowledgments
Authors would like to thank The World Bank Wash- ington office stakeholder namely Dr. Ian Noble, Lead
Addressing Vulnerability to Climate Variability and Climate Change: . An Integrated Modeling System 205 206 BCI International Symposium Proceedings. PANEL 4: Sustainable Financing and Biodiversity Corridors
. 207 208 BCI International Symposium Proceedings. has been the fastest growing tourism region in the world 26. Nature-based Tourism as a Funding over the last decade. Mechanism for Protected Areas and Biodiversity Conservation: Plans and Focusing on the GMS, in 2004 the subregion Opportunities in the Lao People’s Democratic received 17.8 million international visitor arrivals or Republic around 14% of total international arrivals to the Asia- Pacific region and an estimated 2.5% of total global Dr. Paul Rogers arrivals. In November 2002, in its “Mekong Tourism Development Project” document for Cambodia, Lao PDR Summary and Viet Nam, the ADB described the GMS as “the fastest growing tourism destination in the world”. UNWTO trends This paper assesses justifications, options and over the last ten years however, suggest the subregion’s opportunities for tourism activity to fund protected area rate of growth over the last decade was slightly slower and biodiversity conservation management programs in than that of the Asia-Pacific region (7% compared to the Greater Mekong Subregion (GMS). The paper is around 8% per annum). In 2004 the industry generated divided into three sections. Section 1 examines the scale around 12 billion in gross receipts for the GMS, contributed and trends in tourism activity in the GMS. It briefly between 0.5 and 9% of total GDP and sustained some describes the opportunities and constraints of this 3.5 million jobs. It is therefore reasonable to conclude ongoing development and summarizes the implications that tourism is a key and expanding component of the for protected area managers. Section 2 describes the GMS economy – and its future significance in the region different forms of funding mechanisms that can be used is highly likely to further expand. to channel funds from tourism activity to conservation objectives, and considerations that are likely to influence It is important to note that although the figures different choices and priorities for implementation. The quoted above appear extremely large and somewhat third and final section describes the approach being difficult to comprehend, the industry is also very much adopted in the Lao PDR to develop ecotourism activity local in its character and has, in many locations, the ability in and around its protected area network – and so to induce rapid economic, social and environmental enable ecotourism to strengthen and help fund protected change. The extent to which these changes are likely to area management. be positive or negative, or even occur at all, will depend upon a series of variables. The most important among 26.1 Tourism and the GMS these are access to sites and physical security (freedom from harm). Others include the type and quality of the 1 At the global level the travel and tourism industry primary and secondary resources and, for example, the is frequently quoted to be the largest and fastest growing extent of any planning, management and marketing that industry in the world. After peaking at just over 700 may have been undertaken. In the context of the GMS, million arrivals in 2002, due to the impact of SARS, terrorist for example, the ADB’s recently completed tourism strategy activities and the Iraq War, total arrivals fell back to 694 for the region concludes that: million with gross receipts in the vicinity of US$514 billion. Figures prepared by the UN World Tourism • “while the subregion has great product and market Organisation (UNWTO) indicate that global tourism potential, the current pattern of tourism is volumes and receipts recovered strongly in 2004 to reach characterized as high in volume, moderate to well beyond the 700 million, demonstrating the industry’s high in growth, relatively low in yield – at least resilience against internal and external shocks. for the less developed countries, and benefits poorly distributed. Although some improvements At the regional level, after Europe, the Asia- Pacific is the second-most visited region in the world 1 Primary resources refers to the natural or cultural features that serve as the basis of the tourism product, while secondary resources refers to accounting for 119.1 million arrivals (17.16 % of total world the roads, airports, hotels, restaurants etc. that make tourism activity international tourism), US$88.6 billion in receipts, and possible.
Nature-based Tourism as a Funding Mechanism for Protected Areas and Biodiversity Conservation: Plans and Opportunities. in the Lao People’s Democratic Republic 209 in the equitable sharing of the benefits of tourism tourism activity that are simply based in and around development are likely, the current inequitable natural resources. Whereas ecotourism activity demon- pattern of tourism will probably persist unless strates a clear and direct commitment to conservation greater efforts are made at the subregional level and development, which may for example be expressed to bring about a more desirable outcome on the in the form of partnerships between tour operators, above indicators. The main causes of this relatively protected area managers and local people. inequitable and undesirable pattern of tourism are: • insufficient subregional product development From another perspective it can be seen that the and quality limitations; private sector often uses the term ecotourism as a green • destination image and product marketing limitations; marketing label to sell their products, often when there • access and other support infrastructure needs is little conservation value in the tours or products being and deficiencies into and within the subregion; sold. This issue makes estimates as to the size and • human resource and related institutional capacity financial turnover of the nature-based tourism or limitations; ecotourism market to be almost meaningless. Never- • weak capacities in the management of natural theless, solid research on this controversial topic and cultural areas and sites of importance to suggests that ‘true’ ecotourists are likely to be female, tourism; well-educated, over 35 years of age (some reports • insufficient attention to managing the adverse suggest 50 years plus), have high spending patterns and social consequences of tourism; originate from western markets, especially Europe and • the relative imbalance of tourism benefits between North America. the GMS countries relative to their tourism resources; While this may provide a general picture of the • the high concentration of tourism flows within a average ecotourist, it is clear from many in-depth studies few destination points in the GMS; that nature-based and ecotourism are expanding • weak mobilization of the private sector in tourism markets. Moreover the internet revolution is playing a marketing at the national and subregional level; large role in fuelling this growth as travelers seek out and specialist experiences on-line. An IFC report “A Review • continuing barriers to the movement of tourists of International Markets, Business, Finance and Technical across borders in the subregion.” Assistance Models for Ecolodges in Developing Countries” (Epler Wood International 2003) is one such report that In other words, while tourism to GMS countries provides a quality and in-depth analysis of the global can be expected to expand and diversify on an impressive ecotourism market. scale – a lack of access, mobility and human resource capacity are key restraints to destination development 26.2 Funding mechanisms and the maximizing of any positive benefits that can reasonably be expected to occur, especially with regard Protected area managers that seek to raise funds to forms of tourism activity that are pro-poor and/or from tourism activity have a series of options and choices. support biodiversity conservation objectives. The suitability of different mechanisms for any particular area will depend upon a number of factors including the: Focusing upon nature-based tourism and (i) structure and management of the protected ecotourism, research confirms that a growing number of area body (whether public or private or tourists are interested to visit natural and cultural combination of the two, the level and type of resources. In the recent past, ecotourism has regularly community and/or NGO involvement); been quoted in the academic literature to be the fastest (ii) overall objectives of the protected area; growing sector of the overall tourism industry. The (iii) scale and type(s) of tourism activity being extent to which this may be true depends very much on promoted; definitions of ecotourism and ecotourists. According to (iv) physical location of the tourism activity and many critics nature-based tourism refers to forms of access points to these locations; and
210 BCI International Symposium Proceedings. (v) nature of the commercial or private sector traditionally be funded by the government; a collection interests in the products being promoted. and accounting mechanism may be difficult and expensive to set up; or, there may be a fear of resistance from users. As will become clear from the explanation and Studies have shown that visitors are willing to pay more discussion of the options provided below, some forms of if they know their money will be used to enhance their tourism activity clearly lend themselves better than experience or conserve the special area they are visiting, others to the different funding mechanisms. It is also and that visitors are often willing to pay higher entrance worth noting that to maximize the contribution of tourism fees than those currently charged, particularly for parks towards protected area and biodiversity conservation with a high level of demand. objectives, much more needs to be considered than simply the different funding mechanisms alone. Due to Entry fees are often literally collected at the point its income generation potential, for example, tourism can of entry to the park, with a set amount per car or per be used as a vehicle to gain much needed local community individual. Where tour operators are involved this can support and advocacy for protected areas. Promoting be added to the tour package price in advance. In some and encouraging research tourists may also be a useful cases ‘point of entry’ collection may be difficult because component of a protected area strategy to help provide of the size of the park or if there are multiple entry points. much needed data and information on flora and fauna. In such cases, it will be easier and more effective to levy Funding mechanisms should be seen as one component user-fees at the point of activity, for example with of a broader strategy to develop and promote tourism in car-parking or camping grounds. The entrance fee may and around protected areas. Similarly, tourism should include an immediate tangible return in the form of a map not be seen as a panacea to solve all funding needs for and/or information on the protected area. Where roads a protected area. Rarely is tourism able to provide the pass directly through a protected area there may be lion’s share of protected area management costs, and opportunities to charge vehicle users modest entry should therefore been viewed as one of a series of (transportation access) fees. complementary sources of finance. Establishing a policy on entry fees should begin The options given below draw heavily on exerts by defining the purposes of the fee program. Pricing from the WWF publication “Pay Per Nature View: under- policies should be set at national level. In some countries, standing tourism revenues for effective management it may be decided that each park should then use these plans” (Font et al 2004), which contains a wealth of policies to set their own prices, while in other countries information on this topic and is highly recommended as centralized governmental control may be necessary to a first reference point for anyone developing tourism provide an overview of relative pricing between parks at funding mechanisms for protected areas. national level or so that, for example, it would be possi- ble to implement a visitors’ pass system for access to 26.2.1 Entry fees several parks. Many protected areas have begun with a single level of admission fee and gradually developed a Setting an appropriate park entry fee—one that differential or tiered pricing system. More sophisticated covers the protected area capital costs and operating pricing policies allow parks to charge visitors according costs, and ideally even the indirect costs of ecological to a number of factors including the time of year, the damage—is one of the best and most used ways for level of service provided and the income or place of management agencies to capture a share of the economic origin of the visitor. value of tourism in protected areas. Although a very popular mechanism, few protected areas generate The Nam Ha National Protected Area in Lao PDR substantial revenues from this source, and generally the has an example of revenue generation through entrance charges do not reflect the service and product offered fees. Every tour group that enters the Nam Ha protected by the protected area. There may be a reluctance to area, whether trekking or river rafting, pays a US$1 per charge the full cost of running the park for various day/per person entrance fee. If 5,000 tourists go on an reasons: low visitor numbers; the protected areas may overnight tour into the Nam Ha Protected area each year,
Nature-based Tourism as a Funding Mechanism for Protected Areas and Biodiversity Conservation: Plans and Opportunities. in the Lao People’s Democratic Republic 211 this equals US$10,000 in revenue generation. Countries sports and recreational equipment. A concession or lease like Costa Rica and Ecuador raise millions of dollars per may consist of a set fee over an agreed length of time year in entry fee revenues. In the GMS, entry fees (either annually or in advance), or the amount may relate typically are US$2-6 per day. In Thailand, foreigners to the income of the concessionaire, or the fee may pay 200 Baht and locals pay 20 Baht to enter national include elements of both. In many cases, there may be parks. an overlap between the operation of concessions and user fees: for instance trophy hunters may book a tour 26.2.2 User fees through a private operator but pay a per capita trophy fee to the protected area. As noted, in some cases it may be difficult to collect ‘entry fees’ due to geographical factors or because Concessions or licenses can be granted to it is more appropriate to levy management and conser- private companies, community groups, or NGOs or other vation contributions from users of facilities within the not-for-profit enterprises, and can offer a way of ensuring protected area. User fees may therefore be charged for that communities living in and around the protected area using facilities such as car-parks, campsites, visitor are able to receive economic benefits. Concessions take centers, mountain huts, or canopy walkways, or for the form of detailed agreements that clearly state the carrying out activities in the park such as fishing, hiking roles and responsibilities of the signing parties. They or mountain climbing, sailing, or hunting. Two of the most may also contain a community or environmental element lucrative forms of user fees are for scuba diving and (such as employment of local people) and an environmental trophy hunting. The important thing here is presentation, impact analysis. The principal rationale for the system in other words the charges should be presented in such is that private operators bring tourism expertise to the a way as to make the tourist happy to pay. protected area. The private sector is generally better able to adapt to changing markets and product innovations 26.2.3 Concessions and leases than the public sector, and as long as the licensee is successful, it is likely that the protected area will receive Leasing of tourism resources, products or services an ongoing source of revenue. Another advantage is to the private sector is an important area for protected that the system is more acceptable to tourists as they area financing. Traditional attitudes to the private sector are generally not aware of paying a fee for the use of the have encompassed a range of approaches including park, since it is part of the product price. In Nepal’s trying to keep them out or ignoring them, licensing or Chitwan National Park, the Tiger Tops jungle lodge leases restricting them, competing with them, and forming land from the park. In 2003 they paid US$75,000 for the partnerships with them. In a climate of shrinking funds land-lease agreement and were one of seven concessions for conserving protected areas, however, coupled with that raised US$1.9 million for the Park. increased awareness of the value of managed market forces, the approach is now tending very much towards Licenses and permits can be sold through auctions. cooperation, and governments increasingly recognize the Auctions work best when administrative structures are value of providing an enabling environment for the efficient and honest, access to protected areas can be private sector operation in protected areas. controlled, visitor numbers are restricted, and revenue considerations rank high among pricing objectives. It is The term “concessions” may be used to cover a essential for the park authority to retain ultimate control range of permits, leases, and licenses. Common features over the concessionaire’s operations to assure that are that all allow private companies or individuals to run resources are not over-exploited or damaged, and that commercial operations while generating financial benefits conservation is not neglected in favor of profit-making. for the protected area. Activities may include tour guiding, Also, although concessions can be a very useful establishing a bird-hide, trekking or diving operations, revenue-generating tool, all profit made by the accommodation provision, restaurants, souvenir shops, concessionaire is in fact income lost by the park agency sport fishing or hunting trips, horse-trekking, hire of itself. kayaks or mountain bikes and the hire or sale of other
212 BCI International Symposium Proceedings. The negative aspects of concessions concern the users of protected areas; the freedom to use funds to success of the business venture. If it is not successful suit a variety of needs, as accountability is to the public then less revenue will be generated for the park. The at large and not to a specific donor; the possibility of concessionaire may ignore contractual requirements, using such funds as a “matched” component of funding constructing more facilities than permitted or expanding from international donors, who are increasingly requiring the scope of their business. Employees may be poorly evidence of national commitment as a prerequisite for trained or lack conservation awareness, or the business support; and, ease of collection, since there is usually culture of the operator may compromise conservation no need to set up a new collection system. approaches. There are also disadvantages to taxation. One is 26.2.4 Direct operation of commercial activities that it can be seen as less fair than collecting fees directly from protected areas users, as all visitors to the An alternative to the system of private concessions country/region are taxed for services/resources they is for protected areas management bodies to generate might not use. Other difficulties may arise in winning income through operating services themselves. This may political support for new taxes and setting them aside for include services such as accommodation, guiding, equip- conservation, particularly in countries where conserva- ment hire, or sales of merchandise. With the increasing tion is a low priority. sophistication of the tourism industry and, in some coun- tries, increased ease of finding skilled personnel and an 26.2.6 Volunteers and donations awareness of the contribution tourism can make to protected area revenues, protected areas might choose Some protected areas have a policy of involving to become involved in such commercial activities in their volunteers in their work, either through providing guiding own right in order to maximize park revenue. This can and interpretation services, fund-raising or through staffing be done either directly or indirectly through a state-owned key services such as entry booths. This generally works company. A suitable format might also be some kind of best in industrialized countries where a pool of relatively public-private sector partnership such as a joint venture wealthy people with considerable disposable time exists. with a private company or with local communities. This kind of arrangement can help to stem the ‘siphoning-off’ A further way of generating funds for protected of funds through over-allocation of private concessions, areas through tourism is via donations by tourists who and in the case of local communities could help them have been to the area or have some interest in it, and by with marketing and capacity-building. private companies keen to demonstrate corporate social responsibility credentials. In areas where there is Another area, which can provide income, is when a high conservation interest (such as tiger habitats, for parks are used as the set for filming, and a fee is paid. example,) this can be a useful way of transferring funds Books written by parks personnel can provide another from richer Northern communities concerned about source of income in the royalties generated, although conservation of the world’s natural resources to poorer this is never likely to be large. Southern communities who lack the finances to conserve these resources themselves. There are various ways 26.2.5 Taxes of operating these schemes, including through trust funds and ‘Friends of...’ organizations. An additional Taxes take many forms including: a national tax conservation benefit of such groups is that subscribers levied on all visitors to the country; users of a particular can be encouraged to lobby against specific threats to service or product; a local tax levied on users of a the conservation of the area they are interested in. protected area; or, surcharges on the use of equipment. The levies raised are then used for conservation. The Tourism companies can also be persuaded to set advantages of using the tax system include the ability to aside small portions of their profits or make donations generate funds nationally (or regionally) and on a long-term per visit or booking to clearly specified activities that basis; the burden of payment can be targeted towards support conservation or humanitarian objectives.
Nature-based Tourism as a Funding Mechanism for Protected Areas and Biodiversity Conservation: Plans and Opportunities. in the Lao People’s Democratic Republic 213 Companies may also encourage their clients to make conservation efforts, and it is this wider rational and donations to specific causes or projects they may visit effort currently being adopted in the Lao PDR that is as part of a guided tour, a joint effort can be made, for described below. example, on the part of the tour company and the conservation agency to point out work programs, their 26.3.1 Background objectives and funding requirements and then leave it up to the tourists to decide if they should like to make a The Lao PDR has developed a forward looking donation. Donation boxes, signboards, visitor centers and regionally unique National Ecotourism Strategy and and food and retail outlets can be designed to encourage Action Plan that aims to promote forms of ecotourism such philanthropic giving. activity that actively and directly support the management of biodiversity conservation in and around protected 26.2.7 Research fees areas. Formulated in 2004/5 as an extension of the National Biodiversity Strategy, the Ecotourism strategy’s Some protected areas, especially those rich in strong focus of approach is of interest to other GMS exotic species, may be of interest to national and inter- nations, especially the less-economically developed national universities and research institutions as field countries with rapidly expanding tourism economies study sites. Where such opportunities exist measures (Cambodia, Viet Nam, Myanmar and Yunnan Province, can be taken to ensure such groups pay for their interest. PRC). The GMS countries recognize that the future In addition to what they pay for locally sourced food, trans- success of its burgeoning tourism industry depends upon portation and research counterparts, it might also be measures to conserve the region’s outstanding natural possible to sell research permits or rent specialist and cultural heritage. accommodation or research station facilities inside the protected area. These stations might be owned by the Tourism is one of the Lao PDR’s four priority protected area or developed in partnership with a local development sectors. With less than fifteen years institution (national university) or NGO. In terms of the experience in the industry, tourist arrivals to Lao PDR research itself it is important to establish guidelines on increased from 14,400 in 1990 to almost 900,000 in 2004 ownership of intellectual material and research results – the average annual growth over this period exceeds generated. 27%. In 2005 1.1 million arrivals generated over $146 million in foreign exchange earnings, cementing the 26.3 Ecotourism in the Lao PDR industry’s position as the country’s most lucrative eco- nomic sector. The Lao PDR opened its borders to international tourists in 1990 and currently is enjoying strong interest Looking to the future, by 2013 Lao PDR hopes to and growth as an up and coming tourist destination. This attract over 1 million overnight tourists and around 2 section of the paper examines the opportunities and million day visitors per annum (it is estimated that constraints for developing tourism in and around its approximately 50% of the current arrivals are short-stay protected areas, and initiatives underway to promote this visitors from Thailand and Viet Nam). If these targets particular sector. As the discussion makes clear, Lao can be achieved, tourism earnings can be expected to PDR has little experience of tourism funding mechanisms increase to around US$500 million per annum. Around to support protected area management. A summary of 70% of arrivals are interested in nature and culture-based this limited experience and plans currently being developed tourism – this high level of interest suggests a significant for the near future are described below. A key option for proportion of this income could directly benefit provincial the future, concessions and lease agreements, is also economies. Recognizing the importance of the tourism discussed. As already mentioned programs to develop sector and its significance in helping to achieve the tourism funding mechanisms for protected area manage- Millennium Development Goals, the National Growth and ment should be one component of a wider strategy. Poverty Eradication Strategy (NGPES) states that tourism Tourism activity can support a number of interrelated growth should be achieved through the promotion of objectives that serve to strengthen and promote pro-poor community-based tourism and ecotourism.
214 BCI International Symposium Proceedings. To oversee the implementation of the Lao National Focusing on the strengths of the Lao protected Ecotourism Strategy, the Lao National Tourism Adminis- area network, a 2001 review noted: tration (LNTA), in partnership with the Division of Forest (i) the sound legal and scientific basis upon Resource Conservation (DFRC) and the Science Tech- which the network has been established; nology and Environment Agency (STEA), have formed (ii) the World Conservation Union (IUCN) an Ecotourism Technical Cooperation Group (ETCG). The recommends that nations set aside 10% of priority work programs of the ETCG seek to strengthen: their land as biodiversity conservation areas (i) ecotourism funding mechanisms for – Laos has exceeded this commitment and biodiversity conservation; is one of only a small number of Asian countries (ii) the regulatory environment for ecotourism to make such a ‘progressive and farsighted’ activity in and around protected areas; commitment; (iii) stakeholder coordination and collaboration at (iii) the recent and comprehensive profile of the centre and local levels; Lao wildlife species serves as an ‘excellent (iv) community participation in ecotourism and information base’ for biodiversity planning protected area management; and and management; (v) regional cooperation and collaboration in (iv) the commitment of the government to an ecotourism planning, management and inclusive and cooperative approach to promotion. protected area planning that involves local stakeholders; and 26.3.2 Rational and objectives of the ETCG (v) that management projects have been started in most NPAs which has established a good Lao PDR, home to the richest, most intact eco- foundation for their future management. systems in the GMS, embraces four eco-regions from the global 200, namely the: Greater Annamites; Indochina Against these strengths, however, these areas are Dry Forests; Northern Indochina Sub-tropical Moist faced with a series of serious and pressing management Forest; and, Mekong River. The economic, environmental problems. There is also growing pressure to assist the and social value of these ecosystems is strongly acknowl- people that reside in and around both national and edged in planning documents across the GMS. Also provincial protected areas, to reduce their dependency recognized is the importance of these resources to the upon natural resources and develop alternative livelihood rural poor. Next to Bangladesh, Lao PDR has the lowest strategies and sources of income that support the human development index on the Asian continent. primary objective of these special areas – conservation. Agriculture and fisheries serve as the main economic The above 2001 review and the 2003 Lao PDR activity for over 85% of the Lao population; hunting for Biodiversity Country Report acknowledge the following food continues as an activity of central importance to the challenges for protected area management and livelihoods of the rural poor. biodiversity conservation: (i) a lack of dialogue, coordination and support In 1993 Lao PDR designated its NPA network to between government agencies at the center conserve key habitats and ecosystems, which is level and their counterparts at the provincial composed of 20 protected areas covering approximately level; 14% of the total land area. Responsibility for the (ii) a lack of dialogue and coordination between management of this network rests with the DFRC (of the government agencies (centre and provincial) Department of Forests under the Ministry of Agriculture with shared responsibilities for conservation and Forests) and their counterparts from Provincial issues; Agriculture and Forestry Offices (PAFO). Despite its (iii) a lack of authority and capacity among protected area network being one of the best designed protected area staff at the provincial level; in the world, the country faces a series of pressing (iv) a lack of funds for conservation programs; management problems that severely restrict the conser- vation potential of these areas.
Nature-based Tourism as a Funding Mechanism for Protected Areas and Biodiversity Conservation: Plans and Opportunities. in the Lao People’s Democratic Republic 215 (v) insufficient regulations and specific guide- development and promotion of ecotourism lines that allow for the interpretation and activity; and enforcement of conservation acts and decrees; (vii) conservation advocacy at the national and (vi) a lack of local community and wider public local levels and increased vigilance against awareness of conservation issues; illegal hunting and harvesting practices. (vii) a lack of data and knowledge on what constitutes sustainable resource use; and With development pressures and the hand-to- (viii) the hunting of wild animals and unsustainable mouth needs of local communities placing increased harvesting of NTFPs for sale in the national demands on natural resources, there is widespread and and regional marketplace. growing stakeholder support at the local and national levels, to develop and promote ecotourism activity as a Despite past attempts to strengthen biodiversity livelihood alternative. This support stems from highly conservation, wildlife throughout Lao PDR is declining. successful pilot projects and a growing body of interna- The Wildlife Conservation Society estimates that if tional evidence that support the view that carefully current trends continue, 53% of turtle species (8/15), 38% planned ecotourism: of mammal species larger than a squirrel (28/74) and 15% (i) is a non-consumptive labor intensive activity, of bird species larger than a pigeon (20/136) face local (ii) generates local employment and incomes, extirpation. The loss of these species will not only have (iii) strengthens the management of biodiversity a global impact on overall biodiversity, but will also have conservation, and negative impacts on local forest ecology and (iv) increases the national profile and economic sustainable subsistence lifestyles. The main reason for value of protected areas. these declines is direct human use, not habitat conversion. While forest-cover remains relatively high (47%), the At the local level it is of note to stress that commu- forests are being emptied of wildlife and valuable non- nities have traditionally viewed protected area manage- timber forest products. Human use takes two forms; a) ment approaches as being restrictive and threatening to unsustainable local hunting/extraction for consumption incomes. Yet evidence from the NZAID funded UNESCO or to protect crops and livestock; and b) illegal hunting / LNTA Nam Ha Ecotourism Project suggests communities by outsiders for trade in oriental medicines, meat, pets view ecotourism as a viable alternative income that is and trophies. consistent with protected area management objectives – interestingly, this is the first practical opportunity these The work of the ETCG is therefore focused upon communities have had to understand what is meant by a series of actions at both the centre and local levels conservation through development. that seek to progressively address each of the above threats. These include: In line with these challenges and prospects, the (i) encourage dialogue and cooperation at the work of the ETCG aims to build on local, national and national, provincial and local levels; international interest (from the public and private sectors (ii) build the capacity and status of protected and the growing number of tourist arrivals) to strengthen area managers; national and provincial capacity to develop ecotourism (iii) develop and -promote ecotourism funding policies and practices that can be tested nationally and, mechanisms for protected area management; where there is interest, promote and apply them (iv) review legal and regulatory mechanisms to regionally. As such, the central objective of the ETCG is promote ecotourism activity in and around to develop and promote ecotourism management protected areas; practices that provide clear and measurable benefits to (v) raise local awareness of the relationship biodiversity conservation and poverty alleviation. between ecotourism activity and good conservation practice; Formed in May 2005 by a government decree, the (vi) provide alternative sources of income and ETCG reports to government line agencies (LNTA, MAF, improve local livelihoods through the STEA) and the National Tourism Management Committee
216 BCI International Symposium Proceedings. (NTMC) a high-level cross-sector committee chaired by (vi) disseminate work findings and operational the Deputy Prime Minister. The ETCG is composed of practices to other protected areas. technicians from: 26.3.3 Expected outcomes and outputs of the ETCG (i) the Lao National Tourism Administration (3 people); (ii) the Ministry of Agriculture and Forestry / There are three key expected outcomes of the Division of Forest Resource Conservation (2 ETCG: people); (i) Protected area programs are benefiting from (iii) the Science Technology and Environment increased annual budgets and more financial Agency (1 person); sustainability. (iv) 4 protected area heads (from the Nam Ha, (ii) As a result of a clearer understanding of Phou Khao Khouay, Phou Hin Poun, and Xe ecotourism policy and regulatory mechanisms Pian NPAs); among regional, national and local (v) the protected area Provincial Tourism Office stakeholders, communities living in and counterparts (from Luang Namtha, around protected areas are more actively Borikhamxay, Khammouane and Champassak involved in the planning and management of provinces); and protected areas – especially with regard to (vi) advisors from NGOs (SNV, Wildlife Conser- ecotourism. vation Society, WWF, IUCN etc. as appropriate). (iii) A strong policy and institutional framework for ecotourism is addressing the needs for The protected areas represented on the ETCG are poverty alleviation, income generation, and, being used as “test-beds” and models of best practice biodiversity and cultural conservation. for developing ecotourism in and around all protected areas. These four protected areas have been selected Eight outputs to be implemented over the next five due to their high tourism potential, the value of their years will help achieve the outcomes. biodiversity and the experience of the management staff. Output 1: The implementation of financial mechanisms Specific roles and responsibilities of the ETCG are to help ensure tourism activity in and around NPAs to: supports the primary purpose of these areas – biodiversity conservation (i) develop policy recommendations to submit to their line agencies and the NTMC for Lao PDR is currently experimenting with small developing ecotourism in and around the scale ecotourism projects including the NZAID funded national and provincial protected area UNESCO / LNTA Nam Ha Ecotourism Project, SNV network; supported initiatives in Dong Phu Vieng and Phu Xan (ii) design ecotourism management systems for He protected areas and the work programs of the ADB implementation in all national and provincial supported Mekong Tourism Development Project. The protected areas; Nam Ha project in particular has achieved certain (iii) develop participatory ecotourism strategies notoriety across the region and served to convince and management plans for the target NPAs; government agencies and other stakeholders that (iv) liaise and work with donor and development ecotourism can help raise awareness and support for agencies engaged in activities embraced in the management of NPAs. Each of the projects has also actions set out in the National Ecotourism helped raise the level of tourist and entrepreneurial Strategy; interest in the ecotourism sector. Significantly, the (v) advise protected area and PTO offices on the Nam ha project has received an UNDP award for its creation of multi-stakeholder committees to contribution towards poverty alleviation. Despite these plan and develop ecotourism activity at the positive achievements, however, their direct financial site level; and contribution to biodiversity conservation is negligible. In
Nature-based Tourism as a Funding Mechanism for Protected Areas and Biodiversity Conservation: Plans and Opportunities. in the Lao People’s Democratic Republic 217 the case of Nam Ha in 2005, for example, the entry fee (vi) monitoring of progress and replication in for trekking in the protected area dropped from $1 per other sites. person per day to $1 per visit – the annual sum received from these fees arguably fails to cover the increased Output 2: The implementation of data collection management costs of this activity. Similarly, entry fees systems to measure and analyze visitor use of for vehicles into Phou Khao Khouay protected area, just protected areas one hours drive from Vientiane, are around 25 cents per vehicle which fails to cover, for example, costs associated Ecotourism activity is currently being developed with providing and managing car parking and camping in nine of Lao PDR’s twenty national protected areas. facilities, toilets, and visitor centers. With access to the wider network improving year by year, planning is underway for activity to be expanded to a The DFRC and LNTA appreciate the value and further five national protected areas in the near future. potential of entry fees, and are keen to set in place practices Just two of the protected areas currently collect statistics that are common to all protected areas. The ETCG has to record the number of visitor entries into these areas developed a work plan to raise the entry fees to $2 per (Phou Khao Khouay and Nam Ha). This data is stored tourist per day for the three target protected areas, while at the provincial level – there is currently no system to the figure for Phou Khao Khouay will be set at $4 per compile and assess the data at the centre-level. Manage- entry. These fees will be applied to all international ment systems and processes are needed at the local visitors over the age of 16 years regardless of their and national levels to collect and analyze basic data – purpose of entry2 . Visitor price sensitivity will be tested, with a view to collecting more sophisticated (visitor and recommendations developed to develop and expand profile) data in future years. Such information is critical the fees nationally. Other options for additional funding in terms of: mechanisms are also being explored and will be (i) assessing domestic and international visitor implemented as appropriate (initial discussions suggest use of these areas; fees for transport and parking, research, concessions (ii) assessing seasonal usage patterns; and leasing land for retail outlets are favored options). (iii) assessing trends in use over time; In setting out a coherent funding mechanisms strategy, (iv) profiling the types of tourists attracted to the ETCG recognize that key challenges include upgrading these areas; the quality of visitor information and, importantly, existing (v) the ongoing management of funding ecotourism products. There is a high priority to attract mechanisms; investment in new forms of accommodation and associated (vi) allocating budgets and resources; services that appeal to higher spending more lucrative (vii) developing policies, rules, regulations and markets. codes of conduct for ecotourism activity in these areas; and Program activities to help achieve this output include: (viii) marketing and promoting visitor use of these (i) stakeholder workshops to identify and areas. prioritize appropriate mechanisms; (ii) quantification of set up and management It is clear from ETCG discussions that, due to low costs; staffing levels at the provincial level, the creation of a (iii) quantification of possible incomes from reliable data collection system represents a major selected mechanisms; challenge. Factors such as low numbers of entrees, (iv) selection of mechanisms; unclear NPA boundaries and low staffing levels suggest (v) development and application of management innovative solutions will be required to address this need. systems in selected sites; and Given these issues, careful consideration is required as to the cost effectiveness, process and timing for developing such systems. Program activities to support 2 Entry fees currently only apply to visitors on trekking trips and misses, this output include: for example, day visitors picnicking in Phou Khao Khouay.
218 BCI International Symposium Proceedings. (i) develop an “issues report” to address the there are few if any benefits accredited to the protected needs, implications and options for establishing area management or local communities in this agreement. standardized procedures for collecting such data at the local level and compiling and A review and assessment of emerging rules, analyzing such data at the centre-level; regulations and management practices is required to set (ii) discussion of the issues report with DFRC, out a clear ecotourism policy environment and to develop ETCG and other protected area managers well-defined legal and regulatory mechanisms pertain- to set out a work-plan; ing to the sector. Activities to achieve this output include: (iii) quantification of the costs of data collection; (i) a review of tourism-related legislation and (iv) refinement of management practices and regulatory mechanisms that relate to protected processes and training of staff in data areas and the environment to identify strengths, collection techniques in target protected areas; weaknesses and gaps in the process; (v) undertake six month review of working (ii) an assessment of regulatory practices in key practices and opportunities for replication in countries with a strong profile in this field other protected areas; and (South Africa, Nepal, Costa Rica, Australia); (vi) compile and assess data. (iii) develop an issues report (discussion paper) and stage national and local workshops to Output 3: The design and implementation of legal determine what policy, legislative and regulatory and regulatory mechanisms to promote and manage measures are required at the national and ecotourism activity in and around protected areas local levels to develop and promote the ecotourism sector; Visitor usage of Lao protected areas currently (iv) design amendments to existing legal and encompasses activities such as trekking / walking, boating, regulatory mechanisms; picnicking, home-stays, bird watching and sightseeing. (v) an institutional analysis of organizations In a small number of cases, permission has recently been concerned with the effective implementation granted for outside investors to lease land to the private of the new procedures; and sector to develop lodges and accommodation in and (vi) prioritize and undertake capacity building around protected areas. While these and other planned requirements for effective implementation of activities offer opportunities to support biodiversity new regulations. conservation efforts, they also have the potential to impact negatively on the natural and cultural environment Output 4: Ecotourism strategies and management of these areas. plans developed for target protected areas
Center-level legislation clearly recognizes the While a number of Lao protected areas have value of protected areas as tourism resources and states various standards of management plans that are under that tourism should be promoted when and where different stages of implementation, no Lao protected areas appropriate, yet there is no direct reference to any rules currently have ecotourism strategies or management and regulations that set out how such activities should plans. Of the four target protected areas three have plans be planned, managed or monitored. At the NPA level developed in 2000, while Nam Ha protected area some local rules and regulations are starting to emerge management plan is currently in the final stages of in a few key areas – although there is a lack of consistency approval. Although each of the target protected areas and enforcement of these practices. In Phou Xang He have varying levels of tourism activity, there is a lack of protected area, for example, a bonus system has been vision and coherent strategic planning to ensure such devised to reward former hunters working as tourist activity is consistent with, and contributing towards, the guides when they show rare and key wildlife species to primary objective of these areas. tourists, but this has yet to be applied elsewhere. In Xe Pian protected area land was recently leased to an To help ensure ecotourism activity makes the accommodation provider to develop an ecolodge, but greatest possible contribution towards the ongoing and
Nature-based Tourism as a Funding Mechanism for Protected Areas and Biodiversity Conservation: Plans and Opportunities. in the Lao People’s Democratic Republic 219 future management of biodiversity, there is a need to set (i) raising local awareness of protected area out broad ecotourism strategies and to develop these management issues and constraints; into ecotourism management plans that can be implemented (ii) forming local ecotourism management and monitored over time. There is a need to replicate committees; this practice in each protected area in Lao PDR where (iii) stressing the importance of biodiversity ecotourism activity is either planned or underway. Program conservation to successful ecotourism activities to help achieve this output include: development; and (i) reviews of ecotourism stakeholders (identities, (iv) working with local communities to plan and interests and activities) in and around the develop alternative livelihood practices in the target NPAs. ecotourism sector. (ii) working with the target protected areas to: Program activities to help achieve this output a) assess the current tourism situation, include the following: b) determine the desirable ecotourism scenario, (i) forming district and/or village-based c) open dialogue with local and national ecotourism management committees; stakeholders to gather ideas for strategic (ii) raising local awareness of tourism opportu- plan, and nities, benefits and constraints; undertaking a series of participatory ecotourism d) draft strategy document for feedback, (iii) planning and management activities; refinement and approval. (iv) developing and promoting community-based (iii) working with target protected areas to ecotourism products and services in and develop strategies into working management around NPAs (providing small and medium plans, this will involve: enterprise training and access to loans); and a) establishing coordination mechanisms to (v) engaging local communities in monitoring involve local stakeholders, and evaluation exercises to assess the b) establishing tourism management zones, impact of ecotourism on local livelihoods and c) assessment of visitation types and biodiversity conservation. characteristics, d) assessing business opportunities, Output 6: Increased national and international e) developing physical facilities, investment in ecotourism activities and accommo- f) creating interpretive systems, dation in and around protected areas g) establishing training systems, h) setting up partnerships, and The UNESCO / LNTA Nam Ha Ecotourism Project i) developing monitoring and evaluation has proved itself to be an effective income alternative protocols. for local communities in and around this protected area. Output 5: Increased involvement of local communities The extent to which the ecotourism activities have in the management of ecotourism activity and contributed towards biodiversity conservation has yet to biodiversity conservation be fully assessed. It is well recognized, however, that the products developed are targeted primarily at low-end As noted, contributory factors of weak management markets and there is growing interest and potential to of protected areas in Lao PDR include insufficient aware- develop products and services that are geared towards ness of conservation issues, low involvement of local middle and high-end markets. There are few if any examples of such products and services in or immediately communities, over-harvesting of key species and few live- adjacent to the Lao NPAs. Based upon good practice lihood alternatives. It is expected the work programs experiences in other countries and one or two good described here will significantly improve the current practices in rural areas in Lao PDR, there is growing scenario over time by: interest to encourage outside investment in forms of accommodation that provide direct and measurable
220 BCI International Symposium Proceedings. benefits to local communities and the protected area Output 7: Tourism and conservation research management bodies. partnerships with international and national bodies
Work programs are therefore underway to further There is a need and a desire to raise the international examine and assess the potential to attract outside profile of the Lao PDR as an ecotourism destination. investment and set in place mechanisms and procedures Critical to successful development, will be rigorous and to develop forms of accommodation that appeal to higher ongoing evaluation of the impacts, benefits and constraints spending tourists. In this regard the dialogue is underway of this activity on local communities and biodiversity con- with the tourism program head of the IFC’s Mekong servation. Although monitoring and evaluation activities Private Sector Development Facility (MPDF), Epler Wood are built into the frameworks of many project activities, International and USAID concerning the development of the costs and demands associated with in-depth cost an ecolodges development program for the Lao PDR benefit analysis are often beyond the scope and of and wider region. The aim of this initiative is to identify national and international staff directly engaged in such viable business plans for ecolodges and, working closely initiatives. It is therefore planned to establish a ‘research with local communities and protected area heads, fund’ to identify international universities interested to provide local entrepreneurs with the range of mentoring, partner local bodies and undertake research projects to financial, technical and training support services that are monitor and evaluate impacts and progress over time. required to establish viable businesses3 . This initiative Dialogue with potential research institutions from Europe, is also elaborated as one of the strategic projects specified Asia and Australia confirm there is very strong interest in in the ADB’s tourism strategy for the GMS. Program this approach – and significant potential to obtain activities to achieve this output include: additional ‘matched funding’ and support from other (i) identification of sites with strong ecotourism sources. SNV Lao PDR has an agreement with the and ‘ecolodge’ potential; National University of Laos which centers upon needs to (ii) study tours for national and local level develop tourism teaching materials, build tourism research capacity and develop staff expertise in tourism. stakeholders to understand good practice examples of ecolodges in alternative This output will serve three key purposes. Firstly, destinations; to develop Lao tourism and biodiversity conservation (iii) liaison with MPDF, Epler Wood International, research capacity. Secondly, to ensure the results of USAID and other actors and agencies as monitoring and evaluation procedures help steer and appropriate to develop full Ecolodges direct ongoing ETCG planning and management Development Programme proposal; practices and, thirdly, to generate international focus and (iv) liaison with regional actors concerned with attention on the products and services being developed. tourism promotion (Pacific Asia Travel Program activities to achieve this output include: Association, tourism media etc.) to organize investment workshops and take potential (i) establish a research committee and fund with investors to identified sites; and clear rules and guidelines for use of the funds; (v) developing mutually beneficial partnership (ii) develop dialogue with international universities agreements on a case by case basis to link interested in research opportunities in Lao investors with local communities, protected PDR; area management bodies and, where (iii) develop research partnership agreements appropriate, NGOs and development agencies and programs with selected universities; that can assist with development and (iv) undertake base-line studies and ongoing promotion activities. monitoring and evaluation assessments; and (v) publish articles in academic journals, specialist interest magazines, newspapers and other 3 This approach is based upon the IFC publication ‘Ecolodges: exploring media outlets. opportunities for sustainable business’. Copies of ToRs and concept papers being developed with the partners, which can be considered work in progress are available on request.
Nature-based Tourism as a Funding Mechanism for Protected Areas and Biodiversity Conservation: Plans and Opportunities. in the Lao People’s Democratic Republic 221 Output 8: Increased regional dialogue and cooperation funding mechanisms, laws, rules and regulations etc. It on policies and programs to promote forms of may also be possible to assess options for regional funding ecotourism that provide clear and measurable benefits proposals or exchange ideas on marketing and promotion to biodiversity conservation and poverty alleviation (specialist tour packages).
The ETCG is keen to support the growing regional References interest in natural and cultural heritage tourism and, in particular, efforts to improve the management and Asian Development Bank. (2006). GMS Tourism Sector promotion of these forms of tourism. A strategy is being Strategy Study. developed to report the aim and objectives of the ETCG Epler Wood, International. (2003). A Review of International to a series of regional forums. An active network with Markets, Business, Finance and Technical Assistance Models interested parties will be created with a view to identifying for Ecolodges in Developing Countries. Report for Interna- specific key practices and issues that will form the basis tional Finance Commission (IFC)/GEF Small-Med Enterprise Project. for a regional ecotourism conference to be held in Lao PDR in 2010. The conference will present and discuss Font, X., Cochrane, J. and R. Tapper. (2004). Tourism for examples of good ecotourism practice throughout ASEAN Protected Area Financing: Understanding tourism revenues for and the future challenges and prospects for forms of effective management plans. Leeds Metropolitan University, Leeds (UK). nature-based tourism that are pro-poor and focused upon biodiversity conservation. Program activities to help Government of Lao PDR. (2005). National Biodiversity achieve this output: Strategy to 2020 and Action Plan to 2010. (i) reporting the aim, objectives and ongoing Lao National Tourism Administration. (2005). Lao National activities at regional forums; Ecotourism Strategy. (ii) building linkages and synergy between related projects and programs in the GMS; (iii) networking with government agencies, donor and development agencies, universities and the private sector that are actively engaged in developing ecotourism and biodiversity conservation-related projects, to discuss and formulate ideas for a regional ecotourism conference; (iv) finalizing a program and funding strategy for the conference; (v) identifying partners to cofinance and organize the conference; and (vi) staging an international ecotourism conference in the Lao PDR.
26.4 Concluding comments
By way of conclusion to this paper, it is noted that the author and the Lao Ecotourism Technical Cooperation Group are interested to share experiences and lessons on ecotourism and protected areas. This might include, for example: sharing ecotourism strategies and plans for protected areas; exchanging research papers; promoting study tours to sites of good practice; sharing conference or workshop ideas; and/or, exchanging information on
222 BCI International Symposium Proceedings. (v) At the local level, various kinds of PES 27. Payment for Environmental Services - initiatives are found, which are more market Lessons Learned from a Diagnostic Study or negotiation based. Examples are trade of in the People’s Republic of China1 water rights in Jinhua watershed in Zhejiang province and Supa watershed in Yunnan Zuo Ting, Jin Leshan, Li Xiaoyun province, proposed payment by hydro-power plant to upstream communities in Yunnan province, conservation contract in Jiangxi Summary province, and Resettlement Development in Zhejiang province; and PES initiatives vary Environmental services from watersheds are because they are site-specific. Local socio- becoming scarcer in the People’s Republic of China economic and hydro-geological factors have (PRC) as land is claimed for economic development and to be considered in setting up any local PES water is withdrawn for activities with more market scheme. values, e.g., irrigation, power generation, and domestic withdrawal. Payment for environmental services (PES) 27.1 Background is becoming a way, among others, to restore, maintain, and/or improve the watershed services by rewarding Payment for environmental services, usually called watershed service providers with tangible economic Ecological Compensation in the PRC, has become a hot incentives to protect the watershed. topic in the country in recent years. Several factors have contributed to this. The first and foremost was the great A diagnostic study on PES in the PRC shows some flood in the main river basins in the PRC in 1998. The preliminary results: flood was seen as being the result of deforestation, soil (i) PES is one way, but not the only way, for erosion, and environmental degradation in the upper watershed management. The door should reaches of the river basins. Promptly, several large scale be always open for any possible option for public payment schemes, such as the Sloping Land better ecosystem/watershed management; Conversion Program (SLCP) were launched by the (ii) the PRC government initiated a number of central government. Huge amounts of money were paid large PES programs to address its concerns by the central government to those who converted their on perceived large scale problems with farming land to forest land or those who carried out other ecosystem/watershed management. The types of ecological rehabilitation. Sloping Land Conversion Program (SLCP), the Natural Forest Protection Program Financial constraints or pressures appeared after (NFPP), and the Ecological Forest Compen- two or three years of experiments with the large scale sation Fund (EFCF) are three examples of public payment schemes, and some of the public such large public schemes; schemes were substantially cut in size. But the policy (iii) Large public schemes predominate in the that those who provide the environmental services should PRC’s PES. Government is an active and a be paid, remained. The central government encourages key player in this area; local governments and other social entities to explore (iv) Land use patterns are driven by agricultural PES in their own way. As market oriented reform or trans- policy as well as environmental policy - two formation proceeds in the PRC, interest in market based sector policies which often conflict with each solutions to the PES problems increases in society as a other. The Development Zoning initiative in whole. the 11th Five Year Plan might be a way out of the prolonged conflict; 27.2 Diagnostic study on PES
Given the PRC is an area for many social 1 This paper is part of the research supported by IIED Market for Watershed Environmental Service Project. experiments, the International Institute for Environment
Payment for Environmental Services - Lessons Learned from a Diagnostic. Study in the People’s Republic of China 223 and Development (IIED) included the PRC as one of six end of 2004, and both the annual payment and the countries to conduct a diagnostic study on PES. We forest land areas doubled with the payment rate have done two policy reviews and five case studies with unchanged. Some local governments launched their own colleagues from the World Agroforestry Centre (ICRAF)- compensation programs, such as in Guangdong, PRC, the Institute of Agricultural Economics (IAE), and Zhejiang, and Fujian provinces. Zhejiang compensates the Research Center for Ecological and Environmental 105 yuan/ha, the Guangdong government compensates Economics (RCEEE). Environmental policies, agricultural 120 yuan/ha, and the compensation in Shenzhen policies, and other land use related policies were municipality could be as high as 360 yuan/ha (Zuo Ting reviewed. We explored PES initiatives at both the et al 2005). national level and the river basin level. 27.2.2 River basin level 27.2.1 National level In the river basin level, we explored four small- At the national level, we examined two big scale PES initiatives. Three are outlined below. programs dealing with payment for watershed services in the PRC. The central government acts as buyer of Water trade in the Jinhua River, Zhejiang province, the watershed services and the providers are the east PRC numerous farmers. Local governments act as brokers. The city of Dongyang is rich in water and has a reservoir, the Hengjin, in the upper reaches of the Jinhua Sloping land conversion program (SLCP) River. The city of Yiwu is in the lower reach of the Jinhua In this program, the central government provides River and is in severe water deficit. Political endeavor grains and money to farmers who convert their sloping to divert water from Dongyang to Yiwu failed after four land from crop growing to plant trees. The payment rate rounds of negotiation over the past four decades. On 24 is $417/ha/yr for farmers in the Yangtze River Basin, and November 2000, the two cities reached a water agreement, $290/ha/yr for farmers in the Yellow River Basin. From in which Yiwu paid Dongyang 200 million yuan (US$25 1999 (when the program began) to 2005, the central million) for the permanent right of annually diverting 50 government provided 103 billion yuan (US$12.8 billion) million m3 of water from the Hengjin Reservoir. The water to 30 million households in 25 provinces for converting quality was specified as national water standard class I their 9 million ha of sloping land into forest land and in the deal. In addition, Yiwu will pay Dongyang for the planting trees in 12.6 million ha of barren mountains. The water actually diverted, a price of 0.1 yuan (US$0.0125)/ program is carried out mainly in poor Midwest PRC, and m3. This additional fee is subject to change according to 90% of the PRC’s poor people are involved in it (SLCP policies at higher levels (Zhang Lubiao et al 2005). Office 2006). Conservation contract in the Meijiang Watershed, Compensation for ecological services of forest Jiangxi province, east PRC program The Meijiang Watershed in southern Jiangxi has In this program, the central government provides long been famous for its heavy soil erosion and for its money to local forest sectors that plant and take care of navel oranges (Gan-nan-qi-cheng). An average house- forests in the headstream area or around large reservoirs. hold has one ha of orange orchard, too small to resist In total, there are 57 million ha of forests that are not market forces and risk. The local government tried to covered by the Natural Forest Protection Program and help establish larger orange orchards in hilly areas with whose main function is to provide ecological services. sparse vegetation. These hilly areas are unfertile with The program began on a trial basis in 2001, when the very low productivity and are either left fallow by land- central government funded 1 billion yuan (US$125 holders or extensively used. However these lands have million) annually for planting and managing of 13 million sufficient rainfall, sunshine, cumulative temperature, and ha of forests in 11 provinces. The compensation rate unique day-night temperature differences, which are all was 75 yuan (US$9.4)/ha/yr of forest by the central conditions favorable for navel orange planting. government. The program was launched formally at the
224 BCI International Symposium Proceedings. Bearing in mind that these hilly lands are also the Salween Rivers. From its origins in Baicai Village, the main target for soil conservation, the local government river flows through Luozhai Village, then joins the Dong combined the two objectives and undertook the role of River and finally flows into the Nujiang River. While part broker, bringing small pieces of individually held hilly land of the Xiaozhaizi River originates in Baicai, only about 6% into a large piece of land for developers to rent and to (or 900,000 m2) of the roughly 15.5 million m2 watershed establish orange orchards. While investors could lies in Baicai; the majority of the watershed lies in Luozhai. potentially make big profits in establishing the orchards, Jinji Village’s water consumption is relatively high because they have obligations to conserve the hilly land and of its large agricultural sector and growing population. prevent soil erosion. In this case, the developer pays for watershed conservation and he/she is paid back by the In consideration of both its continued agricultural profit from the development. Typically, there are three development and the worsening quality of its drinking contracts involved: water, in 2000, the Jinji Township government began to search for solutions to the village’s (and the township’s (i) A contract on orchard development is signed by default) longer-term water problems. In 2002, the by a developer and one or more village township government brokered an agreement between committee. The village committee is a semi- government organization and it is responsible Jinji and Luozhai Villages, whereby Jinji would purchase for bringing the small and individual pieces water from Luozhai. of land together. (ii) The village committee signs a contract on Provincial guidelines recommend that water fees land lease with individual households, which in Yunnan should be charged at a rate of 0.04 yuan 3. Based on an estimated annual flow specifies the rent and timing etc. The land is (US$0.005) per m of 180,000 m3 of water to Jinji, Jinji would pay Luozhai usually rented for 30-70 years with a rent of 7,200 yuan per year in water fees at provincial rates. 10-20 yuan/mu/year (US$18-36/ha/year). After a series of negotiations, Jinji’s annual water payments (iii) In addition, the developer has to apply to the County government for a license to establish to Luozhai were set at 4,000 yuan (US$500), or at about 3 the orchard. The government agency will 0.022 yuan (US$0.00275) per m , just over half of issue him/her such a license if: suggested provincial water fees. The water purchase a) the orchard is large enough (more than agreement involved three stakeholders: 100 mu, i.e. 6.7 ha), (i) Luozhai Village Committee (Supplier); b) there is a soil conservation plan, which (ii) Jinji Village Committee (Buyer); and is subject to inspection by government (iii) Jinji Township government and the Jinji agencies on a regular basis after it is Water Station (Facilitators). implemented, and c) there is a certified land lease contract. The terms of agreement specified that the Jinji Village Committee would pay the Luozhai Village Com- The practice started in 2003 and about 20,000 mu mittee a one-time fee of 10,000 yuan in August 2002, (1,333 ha) of hilly land was brought together and rented with a 4,000 yuan user fee to be paid before July 30 of to developers. Another 15,000 mu (1,000 ha) of hilly each year. The Jinji Water Station facilitated negotiations land was developed in 2004 (Jin Leshan et al 2005). for the water purchase. Initially, the head of the Luozhai Village Committee and a number of villagers in Luozhai Water deal in the Xiaozhaizi Watershed, Yunnan advocated installing a water meter to measure the province, PRC volume of water flowing to Jinji Village and basing In 2002, two of the Xiaozhaizi Watershed’s four charges on metered use. Instead, the Jinji Water villages — Jinji and Luozhai — signed an agreement in Station argued that Jinji Village, dominated by rural which Jinji agreed to purchase water from Luozhai. The farmers with a much smaller township population, could 10.37 km Xiaozhaizi River is located in the eastern not afford the payments and should be charged at a flat portion of Yunnan Province’s Baoshan Municipality, rate lower than that stipulated in provincial guidelines lying between the Lancang-Mekong and Nujiang- (Weyerhaeuser et al 2005).
Payment for Environmental Services - Lessons Learned from a Diagnostic. Study in the People’s Republic of China 225 27.3 Lessons learned which are more market or negotiation based. Examples are trade of water rights in Jinhua watershed in Zhejiang Some preliminary results appear from the province and Supa watershed in Yunnan province, diagnostic study: proposed payment by hydro-power plant to upstream communities in Yunnan province, conservation contract There are already several large public payment in Jiangxi province, and Development in Another Place schemes in place. The Chinese government has initiated (Yi-di-kai-fa) in Zhejiang province. The variety implies a number of large PES programs to address its concerns the site-specific nature of PES. It further implies that on perceived large scale problems with ecosystem/ local socio-economical and hydro-geological factors have watershed management. Sloping Land Conversion to be considered in setting up any local PES schemes. Program (SLCP), the Natural Forest Protection Program (NFPP), and the Ecological Forest Compensation Fund PES is one possible way, but not the only way, (EFCF) are three outstanding examples of such large for watershed management. In some contexts, regulatory public schemes. instruments, voluntary agreements, or even merging could better serve watershed management. Government predominates in PES. Large public schemes predominate in the PRC’s PES. Government, References either central government or local government, is active Jin Leshan et al 2005. Development Contract with Terms of and a key player in this area. Individuals seldom Watershed Conservation: A Win-win Opportunity for positively participated in existing PES schemes in the Development and Environment in the Meijiang Watershed, PRC. It is largely a region to region compensation. There Ningdu County, Jiangxi Province, China. Project report (contact are three essential groups of stakeholders in the PRC’s person: Jin Leshan, [email protected]) PES schemes: SLCP Office, 2006. CNY103 billion yuan has been invested in (i) payment provider: central or high-level the SLCP in the past 7 years. See official website of SLCP Office (in Chinese) http://www.tghl.gov.cn/baodao/ government, hydro-power plant, water plant, baodao_show.aspx?id=1485 (ii) broker: local government, and (iii) ES provider: local communities, farmers, Weyerhaeuser H. et al 2005. Scale Matters: Paying for Water- rural households. shed Services in the Xiaozhaizi Watershed. Project report (contact person: Horst Weyerhaeuser, [email protected])
In the three interest groups, ES providers are the Zhang Lubiao et al 2005. Paying for watersheds services in poor, less educated, marginalized, and most disadvan- Jinhua watershed in Zhejiang province, China. Project report taged groups in Chinese society. They have lower (contact person: Zhang Lubiao, [email protected], [email protected]) environmental awareness and they are not often aware of their rights. This group is often taken as a tool by the Zuo Ting et al 2005. Moving Toward A Market-Oriented PES broker in negotiation with payment providers. They Approach: Case Study of Forest Ecological Compensation often do not take part in the negotiation and do not Program in Miluo Watershed, Hunan, China. Project report. (Contact person: Zuo Ting, [email protected]) benefit from the payment.
Policy conflict. Land use patterns are driven by agricultural policy as well as environmental policy. The two sector policies often conflict with each other. Agri- culture often wins the conflict as a result of widespread concern of national food security especially after the WTO entry. The Development Zoning initiative in the 11th Five Year Plan might be a way out of the prolonged conflict.
Site-specific nature of PES initiatives. At the local level, various kinds of PES initiatives are found,
226 BCI International Symposium Proceedings. resources in receiving PES. Figure 28.1 illustrates the 28. Payments for Environmental Services: a PES theory, describing the minimum and maximum Pathway out of Poverty?1 payment required for a PES scheme to be feasible (based on Pagiola 2004). Katherine Warner, Ph.D. From an economic standpoint, the payments the sellers receive must be equivalent to the opportunity costs Summary of foregoing alternative land-use practices (minimum payment). In other words, the sellers should not feel any Payments for environmental services (PES) financial loss in foregoing alternative land-use practices. programs, especially in developing countries, are in a At the same time, buyers must be convinced that their nascent, experimental phase with a diversity of payments for environmental services are cost-effective approaches that reflects geographic and cultural variation, and less than the costs of unsustainable natural resource services provided, and preferences of buyers. In most management in the uplands (maximum payment). In the of the these programs, payments for environmental case of watersheds, PES programs are ideally most services were used for conservation and only indirectly suitable where opportunity costs are low upstream and intended to benefit the poor; however, PES programs benefits are high downstream. are increasingly considered a mechanism for transfer- ring financial resources to the socially and economically PES theory and practice has evolved slowly from vulnerable. The challenge is to develop PES programs mostly large-scale conceptualization to greater applica- that both protect the environment and address poverty bility at the local level. Initially focusing primarily on alleviation. Many proponents of PES in developing international buyers and markets, experience in countries are shifting their attention from international biodiversity conservation and carbon sequestration has markets to programs that focus on national markets that not attracted the level of funding as originally anticipated. link domestic/regional buyers of water services with Many proponents of PES, in turn, have shifted their watershed providers/sellers as a more promising area in emphasis to local issues, such as watershed protection, which to introduce PES programs. And it is in water- as a response to increased water demands (and growing shed programs, especially those providing water related awareness of the links between upland land uses and environmental services for hydroelectric/municipal buyers, the quality and quantity of downstream water resources). that can provide opportunities for poverty reduction. 28.2 Status of payments for environmental services 28.1 Payments for environmental services The development of environmental service PES are based on a “beneficiary pays” model payment programs is rooted in the growing interest in (Pagiola 2004). Placing an economic (or qualitative) value market-based instruments to improve natural resource on the environmental service provided through conser- management. The majority of payments for environmental vation potentially enables those who are managing the services—watershed protection, biodiversity conservation natural resource, the sellers, to receive payments from [including landscape beauty], carbon sequestration, have downstream buyers—those who would otherwise have evolved during the past decade. to pay a higher cost given the negative impacts of unsustainable forest and land conversion in the uplands. 28.3 Biodiversity conservation services It is assumed that the sellers will then have an incentive to continue to protect the watershed and other natural Buyers of biodiversity conservation service commodities range from private corporations (the most 1 This paper is largely based on the results of a feasibility study, Financial Incentives to Communities for Stewardship of Environmental Resources, prevalent), international NGOs and research institutes, that was conducted by Winrock International for the U.S. Agency for donors, governments, to private individuals (the least International Development [USAID] under an award through the Leader prevalent) and tend to focus on species-rich habitats or with Associates Cooperative Agreement (number LAG-A-00-99-00037- 00) with funding provided by the Asia and Near East Bureau. global hotspots in which to invest. Such investment in
Payments for Environmental. Services: a Pathway out of Poverty? 227 Figure 28.1: “Beneficiary Pays” model
Forest/land Conservation Conversion Conservation with payment for service
Payment Benefits to Minimum Payment Opportunity land users costs (sellers)
Costs to Maximum Payment downstream populations (buyers)
Source: Based on Pagiola 2004. protection and management of forest environmental services, particularly for protected areas, however, Box 28.1: Commodities commonly associated with payments appears to be declining (Jenkins, Scherr, and Inbar 2004). for carbon sequestration It is questionable if such approaches to payments for • Certified emission reductions biodiversity conservation services will be sustained. And • Carbon offsets/credits PES biodiversity conservation programs have generally (Landell-Mills and Porras, 2002) not focused on their impact on poverty reduction.
However, ecotourism or other related payments hampered development of a market for carbon,2 and for private access to species or habitats have been highly international markets and buyers have been slow to successful. Ecotourism is indeed growing rapidly; tourists emerge and early projections of large amounts of funding show a willingness to pay entrance and other fees, for carbon sequestration in developing countries have especially where rare or unique fauna/flora or “pristine” yet to be realized. The sellers, especially rural commu- areas are found. Where communities are increasingly nities, are further disadvantaged by the high transaction benefiting from such programs, however, fees are costs of carbon projects. commonly paid as compensation for lost land and income, rather than as a PES directly linked to resource management. 2 Interest in international trade in carbon emerged from the Kyoto Protocol. Of the articles in the Kyoto Protocol, Article 12 defines the “Clean Development Mechanism” (CDM), the mechanism relevant to 28.4 Carbon sequestration services developing countries. It is a project-based mechanism between Annex 1 (industrial countries that agreed under the UNFCCC to take the lead Given the Kyoto Protocol’s attempt to address in reducing greenhouse gas emissions) and non-Annex 1 countries, whereby projects are implemented in the latter countries. The market global warming, carbon sequestration has also received instrument used is the “certified emissions reduction (CER) unit” derived a great deal of attention at the international level. The from CDM projects and issued by the CDM registry. Developing Kyoto Protocol created the expectation that developed countries can sequester carbon and then trade CER units with developed countries. With the advent of the Marrakech Accord (Conference of countries would purchase carbon from developing Parties [COP] 7), land use and land-use change and forestry (LULUCF) countries and communities would have the opportunity is acknowledged as a vehicle for carbon sequestration, but is limited to to participate in carbon trades and receive payments for reforestation (vegetation introduced onto nonforested land as of December 31, 1989) and afforestation (conversion of land not forested environmental services. The delay in approval of the for at least 50 years to forested land). The Marrakech Accord sets a Kyoto Protocol and the Conference of Parties’ process limit of CERs from afforestry and reforestation activities to one percent of base-year emissions for Annex 1 countries—thereby limiting the of narrowing qualifications for certified emissions portion of an Annex 1 country’s emissions allowed to be bought and reduction units (CERs), however, have significantly sold on an international (rather than domestic) carbon trading market (see Scherr, White, and Khare 2004).
228 BCI International Symposium Proceedings. 28.5 Watershed services developing countries. Due to lack of monitoring and data collection, it is unclear, however, what socio-economic Watershed/hydroelectric-based PES do not share impact payments for environmental services are having many of the inherent constraints of other environmental on poverty alleviation; because poverty alleviation is not services, such as carbon sequestration and biodiversity the main objective of most PES programs, baseline conservation. They do not, for example, require assessments and performance-based monitoring of international signed agreements or protocols, because social impacts on the poor are not typically considered. they are mostly domestic or regionally focused. In The challenge is to develop PES programs that both addition, mechanisms in many countries are often in protect the environment and address poverty alleviation. place to collect a royalty or fee for energy generation. A number of complex issues, such as tenure and rights, and incorporation of gender and marginalized community members (e.g., where caste systems exist) are critical Box 28.2: Commodities commonly associated with to consider with any poverty alleviation objective. watershed protection watershed management contracts • Water quality credits Most PES programs currently focus on • Water rights stream flow reduction licenses environmental protection and benefit larger, wealthier • Reforestation contracts landowners. Given the inherent links between poverty • Protected areas and dependency on natural resources, designing PES (Landell-Mills and Porras, 2002) programs where the poor receive compensation for being good stewards of natural resources is essential. PES programs need to ensure that the poor do not lose their Watershed communities are in many instances rights of land, their ability to harvest products, or provide already providing the environmental services that hydro- environmental services, employment, and their control electric facilities need and for which they are willing to and flexibility over local development options (Scherr, pay. In many places, watershed communities are utilizing White, and Khare 2003). Participation in PES programs agricultural and forestry practices that effectively reduce should be voluntary (e.g., not force people to resettle or the amount of sediment and other pollutants entering force farmers to make conservation investments) and waterways, prolonging the productive lifespan of hydro- do no harm (e.g., damage or deny access to cultural or electric facilities and providing improved water quality religious sites or divert water to urban users) (Scherr and quantity downstream. The challenge is for “buyers” 2003). Payments for environmental services do not have to provide payments that enable natural resource stewards to be in cash at the household level, but could go to (the “sellers”) to capture the financial benefits from con- community development funds. Concerns have been serving ecosystem; if not, alternative land-use systems raised as to whether community funds for development that overexploit forest and other natural resource may activities provide sufficient motivation to influence occur. “Good stewardship needs to be more profitable individual behavior. However, there are examples of than bad stewardship” (Jenkins, Scherr, and Inbar 2004). where community based organizations, such as the community forestry user groups in Nepal, have been 28.6 Poverty: can benefits be captured by the poor? successful.
Currently, payments for environmental services are 28.7 Lessons learned used for conservation and only indirectly intended to benefit the poor; however, PES programs are increasingly Lessons learned from current PES programs high- considered a mechanism for transferring financial light the importance of such factors as low transaction resources to the socially and economically vulnerable. costs, monitoring, resource rights and tenure, transparency, This growing interest in strengthening the poverty and equity. There is strong potential for designing and reduction focus reflects the global commitment to implementing environmental service payment programs Millennium Development Goals (MDGs) and the that enable stewards of watersheds to receive payments preparation of Poverty Reduction Strategies (PRSs) in from national/local programs, especially where hydro-
Payments for Environmental. Services: a Pathway out of Poverty? 229 electric facilities are involved. A review of current PES dependency of utilities on environmental services from programs suggests that watershed-based payment watersheds, poverty alleviation becoming a national programs are feasible given certain preconditions. Real priority in many countries in the region in response to potential exists for designing and implementing PES poverty alleviation strategies, and increasing decentrali- programs that enable stewards of watersheds to receive zation of roles and responsibilities from national to local payments from national and local programs, especially governments. those involving hydroelectric facilities. Hydropower plants can provide a steady stream of royalties for as long as To address both poverty and conservation concerns the facility is operational, and the lifespan of a hydropower and provide sustainable financing, these projects should plant (30–50 years) enables a long-term self-sustaining be based on the flow of funds from hydroelectric utilities program. Financial resources currently being collected to environmental stewards for maintaining and improving through royalties and fees could be channeled to envi- watershed management and explicitly linked to water- ronmental stewards who continue to adopt appropriate shed management and monitoring of environmental land-use practices for effective watershed management. benefits.
For this to occur, it is necessary to bridge the gap These projects should be based on the following that currently exists between environmental stewards— principles: the sellers of services—and hydroelectric companies and (i) Programs should be financially self- utilities—the buyers of such services. This bridge can sustainable. Although external funds may be be built by identifying the services for which the payments necessary for assessment, design, and initial will be made and who is providing the services, and by implementation, the program should be cost- developing a “transfer mechanism” that clearly links effective and market based with clearly payments to effective watershed management. The identified sellers and buyers. potential outcome is a flow of benefits that provides (ii) Transaction costs should be minimized. incentives to upland communities and results in cost- (iii) Flow of funds and information should be effective improved and maintained watershed manage- transparent. ment and, in turn, water for hydroelectric facilities. (iv) Smallholders should be targeted as service providers where appropriate. 28.8 Conclusions and future steps (v) Poverty reduction activities should make special efforts to include women and other Real opportunities exist to develop PES programs disadvantaged groups. particularly related to hydroelectric production and (vi) Best management practices should be locally community based natural resource management. The defined and monitored for implementation rising demand for electricity and water, growing recogni- and environmental benefits. tion of the failure of current watershed management programs, ongoing decentralization, and increasing References focus on poverty reduction creates opportunities for the development and implementation of PES programs. Conservation Finance Alliance. (2002). Conservation Finance Current programs already contain many of the critical Guide. Available at http://guide.conservationfinance.org/chapter/ index.cf elements. GEF (Global Environment Facility). (1998). Evaluation of What is needed is designated PES programs that Experience with Conservation Trust Funds. Monitoring and work at the national and local levels to reward environ- Evaluation Team. Washington, D.C. mental stewards for providing recognized services. PES IIED (International Institute for Environment and Development). projects focusing on linking hydroelectric and utilities to (2002). Markets for Watershed Protection Services and watershed management can build on what is already in Improved Livelihoods. Proceedings from meeting, March 12, occurring in the region: establishment of royalty structures 2002, Mary Ward House, London. for hydroelectric utilities, growing recognition of the
230 BCI International Symposium Proceedings. IIED (International Institute for Environment and Development). (2002). Markets for Watershed Protection Services and 29. Impact Monitoring for Watershed Management Improved Livelihoods. Proceedings from meeting, September 24–25, 2002, Regent’s College, London. Christoph Feldkötter Jenkins, M., S. J. Scherr, and M. Inbar. (2004). Scaling Up Biodiversity Protection: Potential Role and Challenges of Markets for Biodiversity Services. Forest Trends, Washington Summary D.C.
Johnson, N., A. White, and D. Perrot-Maitre. Developing Mar- Orientation towards impact has received growing kets for Water Services from Forests: Issues and Lessons for attention in international development cooperation in Innovators. Forest Trends, Washington, D.C. recent years, as evidenced for instance by the UN Millennium Declaration. Prompted by these develop- Landell-Mills, N. and I. Porras. (2002). Silver Bullet or Fools’ Gold. A Global Review of Markets for Environmental Services ments, this paper discusses some fundamental design and Their Impact on the Poor. London: International Institute aspects of a broadly applicable operational impact for Environment and Development. monitoring system for watershed management in the Lower Mekong Basin. The paper examines local and Landell-Mills, N., I. Powell, and A. White. (2002). Developing Markets for the Environmental Services of Forests. Forest external impacts and gives examples for both categories. Trends, Washington D.C. It concludes that operational impact monitoring for watershed management should primarily focus on Pagiola, S. (2003). “Economics Overview.” The Importance of external impact on water flow and quality measured Forest Protected Areas to Drinking Water: Running Pure. Edited by Nigel Dudley and Sue Solton. World Bank/WWF at the outlet point of a watershed, accompanied by Alliance for Forest Conservation and Sustainable Use. Wash- monitoring of local impact within the watershed, using ington, D.C. methods matched on a case by case basis to the type of development intervention being implemented. While a Pagiola, S. (2004). “Environmental Services Payments in Central America: Putting Theory into Practice.” Presented at definitive set of parameters to be operationally monitored the “Environmental Economics for Development Policy,” Training can not be identified in this paper, it is obvious that, in Course World Bank Institute, July 19–30, 2004, Washington order to avoid redundancy, the establishment of an D.C. operational impact monitoring system needs to build as Pagiola, S., A. Arcenas, and G. Platais. (2003). Ensuring that much as possible on existing efforts and experiences of the Poor Benefit from Payments for Environmental Services. national agencies in the Lower Mekong Basin countries. Proceedings from “Reconciling Rural Poverty Reduction and Resource Conservation: Identifying Relationships and 29.1 Introduction Remedies,” International Workshop Cornell University, Ithaca, New York. Orientation towards impact, or management for Perrot-Maitre, D. and P. Davis. (2001). Case Studies of development results, has received growing attention in Markets and Innovative Financial Mechanisms for Watershed international development cooperation in recent years, Services from Forests. Forest Trends, Washington D.C. as evidenced for instance by the UN Millennium Rosales, R. (2003). Developing Pro-Poor Markets for Environ- Declaration [1], the UN Millennium Development Goals mental Services in the Philippines. London: International [2] and the related Road Map [3], and more recently the Institute for Environment and Development. Paris Declaration on Aid Effectiveness [4]. Scherr, S. J. (2003). “Social Overview.” The Importance of Forest Protected Areas to Drinking Water: Running Pure. Edited Prompted by these developments, this paper by Nigel Dudley and Sue Solton. World Bank/WWF Alliance discusses some fundamental design aspects of an for Forest Conservation and Sustainable Use. Washington, D.C. operational impact monitoring system for watershed Scherr, S. J., A. White, and D. Kaimowitz. (2002). Making management in the Lower Mekong Basin, which could Markets Work for Forest Communities. Forest Trends, Wash- be broadly applied in the Basin’s watersheds. Doing so, ington, D.C., and CIFOR, Bogor, Indonesia. it attempts to serve a dual purpose:
Impact. Monitoring for Watershed Management 231 • To establish fundamental design elements of a “related resources” is only loosely defined in the 1995 monitoring system to observe the impact of MRC Agreement2 and the related commentary [8]. For interventions supported by MRC’s Watershed the purpose of this document we therefore assume that Management Project. related resources are natural resources the status or uti- • To contribute to creating a replicable model that lization of which3 : may be broadly applied in other watersheds as • Impact on water flow (quantity and temporal well. variation) – such as vegetation cover and its human induced change, or It is hoped that the reflections made in this paper • Impact on water quality - such as land may in future help to establish a monitoring system and development through industrialized agriculture related toolkit, elements of which local decision makers with input of fertilizers or pesticides. could ultimately use to evaluate and guide their own watershed management related interventions. This reflects the overall understanding that the status of the watershed (or catchments) has an indirect 29.2 Rationale for impact monitoring yet major impact on river health and thus on human welfare depending on it. There seems to be considerable ambiguity regarding the definition of impact and its monitoring, and defini- The use of the term “mutual benefit” in the 1995 tions abound. For the purpose of this paper, we will MRC Agreement (for instance in Article 1), the doctrines follow the definitions given in [5]: of “sovereign equality and territorial integrity” (see Article • Impacts are in general terms defined as changes 4 of the MRC Agreement and [8]), as well as the principles in a situation brought about by an intervention. of subsidiarity and decentralization/deconcentration (see Only those changes that obviously derive from e.g., [9]) further suggest that MRC, being a trans-national an intervention can be described as impacts of organization, would not normally involve itself in domestic that intervention. issues of its member countries, unless such issues at • Impact monitoring is in general terms defined least potentially created externalities of trans-boundary as the collection, evaluation and documentation nature, i.e. had an identified or to-be-expected trans- of information on the impacts of an intervention boundary impact on water or related resources. that is relevant to further steering. These basic assumptions and premises – involve- In order to determine what this general definition ment of MRC only if clearly linked to potential externalities of “impact” would imply with regard to MRC and specifi- of trans-boundary nature pertaining to water and related cally to its work related to watershed management, a resources – lead to a number of consequences for brief look at some of MRC’s fundamental documents watershed management as supported by the MRC: seems appropriate. • Watershed management obviously needs to aim at achieving impact at the local scale – most Key passages from MRC’s founding document (the importantly at improving local rural livelihoods 1995 MRC Agreement [6], in particular articles 1, 3, and through optimizing the use of water and related 7) and related documents (in particular the MRCS resources. However, achieving impact at the 1 as outlined e.g. in [7]) suggest that whichever mission local scale would not in itself be sufficient to activities MRC involves itself in should have a clear link justify a continued involvement of MRC. to management of water and related resources. The term 2 Article 1: “...including, but not limited to irrigation, hydro-power, navigation, flood control, fisheries, timber floating, recreation and tourism...” 1 “To promote and coordinate sustainable management and 3 Note that water related natural resources could also be water bound development of water and related resources for the countries’ mutual resources such as fish stocks. Such resources are however not the benefit and the people’s well-being by implementing strategic programs immediate concern of watershed management as understood in this and activities and providing scientific information and policy advice.” paper.
232 BCI International Symposium Proceedings. • Rather, watershed management at the local the scope of impact monitoring in greater detail by scale, besides benefiting the local population, analyzing which potential impacts watershed manage- would be expected to have a measurable external ment can have at different scales. It further analyses impact on the flow and/or quality of water leaving which of those impacts can be monitored with generic the watershed, and thus to plausibly contribute methods, i.e. methods applicable in every watershed and to trans-boundary management of water or independently of its individual characteristics, and which related resources, securing or even improving require specific monitoring methods devised to match livelihoods downstream. local conditions or types of interventions. In doing so, this section also addresses the question of where (in This understanding of the need to achieve external geographic terms) impact monitoring needs to take place. impact is reflected in the working definition of watershed Our current understanding of watershed management, management as used within the context of the Water- in line with the principles of sustainable development, shed Management Project: “Watershed Management is differentiates three watershed functions that watershed the process of people guiding and organizing water, land management is meant to maintain [11]: and forest resource use on a watershed in order to provide • Ecological: Provision of sufficient water flow over desired goods and services without adversely affecting time with a minimum required quality. Provision water, soil and vegetation resources. Embedded in this of other goods and services: erosion control, concept is the recognition of the ecological interrelation- soil fertility, biodiversity, clean air, carbon ships among land use, soil and water, and the ecological, sequestration. social and economical linkage between upstream and • Economic: Provision of sufficient natural downstream areas.” (e.g. [10]). resource products: food, fuel wood, timber, water, fish, etc. Provision of hydraulic energy Achieving “measurable impact” in this context does (hydro-power). Creation of income generating not necessarily imply an improvement of the flow and/or opportunities. quality of water, and does not even mean preservation • Social: Maintenance of social structures. of their present (undisturbed) state, but could comprise Protection and development of knowledge and the maintenance of agreed minimum standards while lifestyle arrangements. Maintenance and other resources in a watershed are being developed. revitalization of cultural identity and values. Recreational opportunities. 29.3 Conclusion: Why monitoring? These three watershed functions determine the Impact monitoring is essential to give feedback broad observation categories within which watershed on the effectiveness of watershed management. It needs management may have an impact. Depending on the to cover the local as well as the external impacts of watershed function considered, watershed management watershed management. Impact monitoring needs to may further have an impact at different scales: assess the impact of watershed management related interventions in various fields (governance, institutional • Local: in the watershed itself development, planning, implementation) on the mainte- • External: outside the watershed nance of watershed functions, i.e. on the provision of desired goods and services, prominent among which In line with the definitions of impact and impact from MRC’s trans-boundary point of view is a sufficient monitoring made in the previous section, comprehensive water flow over time with a minimum required quality [10]. impact monitoring would entail the collection, evaluation and documentation of information on changes in any 29.4 Impact categories and levels - What can/should aspect of any of the above three watershed functions at be monitored? any of the above two scales brought about by water- shed management related interventions. The following This section extends the general considerations table attempts to provide an overview of the plethora of made in the previous section, attempting to determine impacts that may potentially occur depending on obser- vation category and level considered:
Impact. Monitoring for Watershed Management 233 SCALE Local External OBSERVATION Changes in: CATEGORY • Provision of natural resource products/services: • Availability of natural resource products/ food, fuel wood, timber, water, fish, services: food, fuel wood, timber, water, fish, Economic hydro-power, etc. hydro-power, etc. • Income generating opportunities
• Water quality (sediment, nutrient, etc. load) • Water quality (sediment, nutrient, etc. load) • Water flow (quantity and timing) • Water flow (quantity and timing) • Air quality • Air quality Ecological • Carbon sequestration • Carbon sequestration • Erosion control • Soil fertility • Biodiversity (e.g., distribution and composition of vegetation cover)
• Health (e.g., occurrence of water borne • Health (e.g., occurrence of water borne diseases) diseases) Social • Social structure and stability (e.g. conflicts) • Social stability (especially conflicts) • Recreational opportunities
Obviously, it will not be possible to operationally Besides monitoring the local impact watershed monitor all of the above potential impacts in any given management has on specific aspects of watershed watershed. Rather, we will need to identify those impacts functions, monitoring of its impact on overall poverty that can be monitored broadly with generic methods, i.e. alleviation is of critical importance and needs to be in every watershed and independently of its individual addressed. This could be achieved by using local adap- characteristics, versus those which require specific tations of generic poverty or poverty-environment monitoring methods devised to match local conditions indicators, such as those suggested in recent World Bank or types of interventions. [12] or DFID [13] publications. Also, poverty data and indicators compiled by other organizations, which are 29.4.1 Local Impact often readily available, might be suitable. The drawback would likely be that this approach might be too highly Local impact may occur anywhere within the aggregated in order to yield sufficiently specific “infor- watershed itself. Its monitoring in detail strongly depends mation on the impacts of an intervention that is relevant on the measures being implemented, which may greatly to further steering”. It might not allow attributing changes differ in focus (agriculture, irrigation, forestry, etc.) and to interventions as required for operational impact location (uplands, lowlands), and address rather different monitoring [14], but might rather reflect the impact of target groups (individual farmers, forestry enterprises, external factors, such as changes in macro-economic local industries, etc.). Monitoring local impact in detail, framework conditions. including for instance the design of baseline surveys that may be required to document the status prior to an For the various reasons pointed out above, an intervention, is therefore highly specific and situation- in-depth discussion of monitoring local impact is beyond dependent, and thus requires specific monitoring the scope of this paper. However, the issue can and must methods. In this context, monitoring costs are an impor- be taken up on a case by case basis once the focus, tant consideration that often rule out monitoring of local location, and target groups of specific watershed impact in detail altogether. management related interventions have been deter-
234 BCI International Symposium Proceedings. mined. Also, monitoring external impact at the outlet point further downstream. The most obvious impacts to be of a watershed may significantly reduce requirements monitored are changes in water flow (quantity and for monitoring local impact in detail, as will be discussed timing) and water quality (sediment, nutrient, etc. load) below. at the outlet point of the watershed. Flexible and cost- efficient methods for such monitoring exist, which in many 29.4.2 External Impact parts of the world are being applied by local communities themselves (see e.g., [15]). They will need to be adapted External impact occurs outside the watershed to suit the conditions in remote rural watersheds of the itself. They may be geographically unspecific, occurring Lower Mekong Basin. anywhere outside the watershed (e.g., changes in the availability of most natural resources products, air quality, Note, however, that in order to allow those changes carbon sequestration), or may be geographically more to be attributed to interventions implemented in the or less specific in the sense of being confined to down- watershed, certain essential framework conditions that stream areas (water flow and quality). Monitoring geo- influence water flow and quality need to be monitored, graphically unspecific impact, although different in scope, as has been pointed out in numerous earlier works (e.g., is subject to similar restrictions as is monitoring local [16], [17]). These are in particular: rainfall, land cover impact. Changes in the availability of natural resources changes, water abstractions (such as irrigation), devel- products (e.g., in markets external to the watershed, but opment of water polluting industries (both organic4 and originating from it) could only be monitored once the anorganic5 ), and changes in amount and treatment of focus of specific interventions had been determined, and human waste. In most watersheds of the Lower Mekong would perhaps anyhow better be monitored at the point Basin, only a subset of these framework conditions may of origin i.e. locally. Changes in public goods, such as air need to be monitored: in the absence of polluting industries quality, would in all but a few exceptional cases not be and large concentrations of human population, the attributable to interventions in any particular watershed. important framework conditions would be rainfall and land Monitoring geographically unspecific impact is hence cover changes. difficult to operationalize, and is thus not explored any further in this paper. The results of monitoring external impact at the outlet point of a watershed obviously reflect the cumulative Geographically specific impact confined to down- impact of all measures taken in the watershed6 . There- stream areas can occur in close proximity to the water- fore, far reaching conclusions about local impact (i.e. the shed (e.g., a change in water quality at its outlet point), health of the watershed itself) can be drawn from moni- or can be a “far field” impact occurring remotely (e.g., a toring external impact, such as: if an improvement in water change in the occurrence of water borne diseases far quality is measured at the outlet point, there must be a downstream due to changes in water quality). In the case corresponding improvement in water quality within the of “far field” impact, the problem of its not being attribut- watershed itself. This may significantly reduce require- able once again prevents its operational monitoring in all ments for monitoring local impact in detail. but a few exceptional cases, and normally limits its being addressed by watershed management to plausibility 29.5 Conclusion: What can/should be monitored? considerations. The design of a broadly applicable operational Thus, monitoring of external impact occurring in impact monitoring system for watershed management, close proximity to the watershed is left as the immediate in the light of current knowledge, should primarily focus focus of a generic operational impact monitoring system for watershed management. This might appear narrow, 4 Organic pollution could originate e.g. from pig, poultry, or also in-stream fish farming. but occupies a crucial junction: without external impact 5 being measurable here, there can be no plausible Anorganic pollution could include e.g. effluents from chemical or mining industries. contribution to trans-boundary management of water or 6 For instance, significant reductions in the use of fertilizers could be related resources, and hence no impact on livelihoods reflected in an improvement of water quality monitored at the outlet point.
Impact. Monitoring for Watershed Management 235 on monitoring external impact at the outlet point of a Annex 29.1: Sources consulted watershed, where changes in water flow (quantity and timing) and water quality (sediment, nutrient, etc. load) [1] United Nations 2000: Millennium Declaration. would need to be monitored. In addition, in order to http://www.un.org/millennium/ Accessed April attribute impact to interventions implemented in the 2006. watershed, certain essential framework conditions need [2] United Nations 2000: Millennium Development to be monitored, in particular: rainfall and land cover Goals http://ddp-ext.worldbank.org/ext/GMIS/ changes. Such monitoring of external impact needs to gdmis.do?siteId=2&menuId=LNAV01HOME1 be accompanied by monitoring of local impact within the Accessed April 2006. watershed, using methods matched on a case by case basis to the type of development intervention being [3] United Nations 2001: Road map towards the implemented. implementation of the United Nations Millennium Declaration. http://www.un.org/documents/ga/ 29.6 Outlook docs/56/a56326.pdf Accessed 24 April 2006.
National agencies in the riparian countries of the [4] Paris High-Level Forum 2005: Paris Declaration Lower Mekong Basin already practice monitoring with on Aid Effectiveness. http://www1.worldbank.org/ varying degrees of intensity, in close cooperation with harmonization/Paris/FINALPARISDECLARATION. the MRC whenever issues of regional relevance as pdf Accessed April 2006. defined in the 1995 MRC Agreement [6] are concerned. [5] GTZ 2004: The World of Words at GTZ. Some rules and procedures for basin-wide monitoring, agreed between the riparian countries, are already in [6] Mekong River Commission 1995: Agreement on place (e.g. [18]). In order to avoid redundancy, the the Cooperation for the Sustainable Development establishment of an operational impact monitoring of the Mekong River Basin. system for watershed management should obviously build as much as possible on these existing efforts and [7] Mekong River Commission 2004: MRC Work experiences. Programme 2005. http://www.mrcmekong.org/ download/programmes/work_program_05.pdf A definitive set of parameters to be operationally Accessed April 2006. monitored can not be identified in this paper, but will need to be developed through dialogue with the various [8] Radosevich, Dr George E. 1995: Agreement on stakeholders involved – MRC itself, the government the Cooperation for the Sustainable Development sectors of the riparian countries, NGOs, and civil society. of the Mekong River Basin – Commentary & History. Considering that the watersheds of the Lower Mekong [9] Mekong River Commission 2006: Strategic Plan Basin are mostly remote rural areas, an obvious imperative 2006 – 2010 – Draft. is to use appropriate monitoring technologies - well established, cost efficient and sufficiently simple to be [10] Mekong River Commission, Watershed Management used by local administrations and communities. Project 2006: Programme Document.
Additional research that can support the dialogue [11] Tuyll C. 2005: What is Watershed Management on development of an operational impact monitoring all about? system for watershed management with scientific [12] Shyamsundar P. 2002: Poverty – Environment evidence is ongoing, for example in the Water Utilisation Indicators. World Bank, Environmental Economics Programme, the Environment Programme, and the Series, Paper No. 84. Watershed Management Project of MRC. [13] Nunan F. et al 2002: Poverty and the Environment: Measuring the Links. A Study of Poverty-Environment Indicators with Case Studies from Nepal, Nicaragua
236 BCI International Symposium Proceedings. and Uganda. DFID, Environment Policy Department, Issue Paper No. 2.
[14] GTZ 2004: Results-based Monitoring - Guidelines for Technical Cooperation Projects and Programmes.
[15] Streamwatch 2004: The Streamwatch Manual - 3rd Edition. https://www.streamwatch.org.au/ streamwatch/resources/file/eb8e114ef08485a/ StreamwatchManual.pdf Accessed 12 Feb 2006.
[16] Thailand Development Research Institute + Harvard Institute for International Development 1995: The Economics of Watershed Management: A Case Study of Mae Taeng.
[17] Walker A. 2002: Forests and Water in Northern Thailand. Resource Management in Asia-Pacific Program, Australian National University: Working Paper No. 37.
[18] MRC Water Utilisation Programme 2005: Technical Guidelines for the Implementation of the Rules for Water Quality.
Impact. Monitoring for Watershed Management 237 238 BCI International Symposium Proceedings. 14. Mr. Bryan Walsh, Country Director, Conservation Appendix 1 International, Cambodia
15. Mr. Chatri Moonstan, Senior Program Officer, Development Cooperation, Royal Norwegian Biodiversity Conservation Corridors Initiative (BCI) Embassy, Thailand International Symposium 27-28 April 2006, Bangkok Thailand 16. Mr. Cheang Dany, Deputy Director, Wildlife Protection Office, Forestry Administration, Cambodia Participants List 17. Mr. Chen Jin, Director, Xishuangbanna Tropical 1. Ms. An Bollen, Junior Professional Officer, Botanical Garden, PRC Biodiversity Issues, UNEP, Thailand 18. Mr. Chrin Sokha, Deputy Director General, Directorate 2. Mr. Anak Pattanavibool, Country Program Director, of Technical Affairs, Ministry of Environment, Cambodia WCS, Thailand Program, Thailand 19. Mr. Christer Holtsberg, Director of SENSA, SIDA, 3. Mr. Andrew Ingles, Regional Group Head, Ecosystems Thailand and Livelihoods, IUCN-The World Conservation Union, Asia Regional Office, Thailand 20. Mr. Christoph Feldkotter, Watershed Management, MRC Secretariat, Lao PDR 4. Mr. Andrew Tordoff, Programme Officer, BirdLife International Asia Division, Viet Nam 21. Mr. Christopher Holtz, Asia Grant Director, Critical Ecosystem Partnership Fund, USA 5. Ms. Angie Woo, GMP Policy and Advocacy Coordinator, WWF Greater Mekong Programme, Thailand 22. Mr. Christopher R. Shepherd, Regional Programme Officer, TRAFFIC Southeast Asia, Malaysia 6. Mr. Apichai Thirathon, Senior Program Development Specialist, USAID, Thailand 23. Mr. Chu Ngoc Quan, Senior Officer of Natural Conservation Division, FPD, Ministry of Agriculture 7. Mr. Arjun Thapan, Deputy Director-General, South- and Rural Development, Viet Nam east Asia Department, ADB, Philippines 24. Mr. Chuon Chanrithy, Director, Ministry of Environment, 8. Mr. Barney Long, MOSAIC Project Manager, WWF Cambodia Greater Mekong Vietnam Programme, Viet Nam 25. Mr. Cornie Huizenga, Head of Secretariat, Clean Air 9. Mr. Belinda Stewart-Cox, Project Director, Elephant Initiative for Asian Cities, Philippines Conservation Network, Thailand 26. Mr. David McCauley, Senior Environment Economist, 10. Mr. Ben Ten Brink, Climate Change, MRC Secretariat, ADB, Philippines Lao PDR 27. Mr. David Westcott, Senior Research Scientist, 11. Mr. Benjamin Zech, First Secretary, Royal Netherlands CSIRO, Sustainable Ecosystems, Australia Embassy, Viet Nam 28. Mr. Dechavut Sethapun, Technical Forest Officer, 12. Mr. Bi Cheng-Ying, Director of the Board, National Park Research Division, DNP, Thailand Xishuangbanna Forest Biological Diversity Development Co., Ltd., PRC 29. Mr. Diep Thanh Phong, Director, Forest Protection Department, Viet Nam 13. Mr. Bouaphanh Phanthavong, Deputy Chief, DFRC, Ministry of Agriculture and Forestry, Lao PDR 30. Mr. Dietrich Schmidt-Vogt, Associate Professor, Asian Institute of Technology, Thailand
. Appendix 1 239 31. Mr. Dinh Xuan Hung, Senior Officer, ICD, Ministry 49. Ms. Kanisara Chetbandit, Technical Forest official, of Natural Resources and Environment, Viet Nam DNP, Protected Area Management Regional Office 3, Thailand 32. Mr. Emmanuel D’Silva, Visiting Scientist, ICRISAT, India 50. Ms. Karin Bjerner, SENSA Representative, Thailand
33. Mr. Eric Coull, Program Director, WWF Greater 51. Ms. Katherine Warner, Country Group Head, IUCN Mekong Program, Viet Nam Colombo, Sri Lanka
34. Mr. Ernst Kuester, Chief Technical Advisor, Viet Nam 52. Mr. Keith Syers, Professor, Mae Fah Luang University (MFLU), Thailand 35. Mr. Ewald Rametsteiner, IIASA, A-2361 Laxenburg, Austria 53. Mr. Kent Jingfors, Regional Programme Coordinator, IUCN-The World Conservation Union, Asia Regional 36. Mr. Frank Murray, Assoc Professor, Murdoch University, Office, Thailand School of Environmental Science, Australia 54. Ms. Keobang A. Keola, Deputy Director General of 37. Mr. Goeran Axberg Nilsson, Senior Research Fellow, Cabinet, Department of STEA, Prime Minister’s Stockholm Environment Institite, Sweden Office, Lao PDR
38. Mr. Hans Guttman, Environment Programme 55. Mr. Khamphay Luanglath, Director, Xepain National Coordinator, Mekong River Commission, Lao PDR Protected Area, Forestry Division, Lao PDR
39. Mr. Henry Voigt, Senior Advisor, Yunnan Provincial 56. Ms. Lai Thi Thu Ha, Expert, Foreign Economic Relations Environmental Protection Bureau, PRC Dept., Ministry of Planning and Investment, Viet Nam
40. Ms. Htwe Nyo Nyo, Deputy Director, NCEA, Ministry 57. Mr. Lasse Nymoen, Counsellor, Development of Forestry, Myanmar Cooperation, Royal Norwegian Embassy, Thailand
41. Ms. Huynh Thi Mai, Senior Expert, Department of 58. Mr. Le Minh Tue, Expert, Management Board for Environment, MONRE, Viet Nam Forestry Projects (MARD), Viet Nam
42. Mr. Iran Ruzicka, ADB, Philippines 59. Ms. Lei Ji, Financial Specialist, Xishuangbanna Forest Biological Diversity Development Co., Ltd., 43. Mr. Javed Hussain Mir, Senior Natural Resources PRC Officer, ADB, Philippines 60. Ms. Malee Hutacharoen, DEQP, Ministry of Natural 44. Mr. Jim Peters, Chief of Party, Winrock International Resources and Environment, Thailand / USAID, Viet Nam 61. Mr. Marc Goichot, IRBM Coordinator, WWF Greater 45. Ms. Jing Guo, Interpreter, Xishuangbanna Forest Mekong Program, Lao PDR Biological Diversity Development Co., Ltd., PRC 62. Mr. Maria Berlekom, Programme Coordinator, Swedish 46. Mr. Joe Heffernan, Senior Conservation Biologist, International Biodiversity Program, SwedBio, Sweden Fauna and Flora International, Cambodia 63. Mr. Mark Kasman, Senior Development Advisor, 47. Mr. Jose Padilla, Consultant, ADB, Philippines Environmental Protection Agency, USA 48. Mr. Josef Margraf, Scientific Adviser, TianZi 64. Mr. Mark Treacy, Country Director, Fauna and Flora Biodiversity Research and Development Center, International, Cambodia PRC
240 BCI International Symposium Proceedings. 65. Mr. Markku Kanninen, Director, Environmental Services 83. Ms. Piyanut Luekhuntod, Ministry of Natural and Sustainable Use of Forests, CIFOR, Indonesia Resources and Environment, Thailand
66. Mr. Marko Keskinen, Socio-Economist, Helsinki 84. Mr. Ranjith Mahindapala, Deputy Regional University of Technology / WUP-FIN Project, Finland Programme Coordinator, IUCN-The World Conservation Union, Asia Regional Office, Thailand 67. Ms. Maureen Decoursey, Deputy Chief of Party, Winrock International, Viet Nam 85. Mr. Robert Mather, Thailand Country Programe, WWF Greater Mekong Programme, Thailand 68. Ms. Michelle Owen, Assistant Fundraiser, WildAid, Phnom Penh, Cambodia 86. Mr. Roland Eve, Country Director, WWF Program, Lao PDR 69. Ms. Monthip Tabucanon, Deputy Permanent Secretary, Ministry of Natural Resources and Environment, 87. Mr. Ronasit Maneesai, Research Forester, Division Thailand of Wild Fauna and Flora Protection, National Park, Thailand 70. Mr. Nguyen Luong Bach, Lecturer and Program Manager, Mae Fah Luang University, Thailand 88. Mr. Sangmin Nam, UNESCAP, Rajadamnern Nok Avenue, Thailand 71. Mr. Nguyen Ngoc Dung, Vice Director, Department of Natural Resources and Environment, Viet Nam 89. Ms. Sango Mahanty, Regional Analysis and Represen- tation, Regional Community Forestry Training Centre 72. Ms. Nguyen Thi Kim Oanh, Associate Professor, AIT, for Asia and the Pacific, Kasetsart University, Thailand Thailand 90. Mr. Satya Priya, General Manager (GIS), RMSI, India 73. Mr. Nguyen Van Tai, Deputy Director General, Department of Environment, MONRE, Viet Nam 91. Mr. Saw Eh Dah, Director, Forest Department, Ministry of Forestry, Myanmar 74. Ms. Nirawan Pipitsombut, ONEP, MONRE, Thailand 92. Ms. Solos Khankhrua, DEQO, MONRE, Thailand 75. Ms. Nisakorn Kositrana, Secretary-General, ONEP, MONRE, Thailand 93. Ms. Song Xiaozhi, Deputy Director General, Foreign Economic Cooperation Office, SEPA, PRC 76. Mr. Okitsuga Fujiwara, Advisor to the President, Mae Fah Luang University, Thailand 94. Mr. Songtam Suksawang, Director, National Park Research Division, Thailand 77. Mr. Ouk Kimsan, Program Manager, CI, Central Cardamom Protected Forest Conservation Program, 95. Ms. Sulma Warne, Programme Coordinator, TRAFFIC Cambodia South East Asia – Indochina, Viet Nam
78. Mr. Paul Rogers, Senior Advisor Pro-poor Sustainable 96. Mr. Sura Pattanikiat, Mahidol University, Thailand Tourism & Ecotourism, SNV (Netherlands Development Organisation), Lao PDR 97. Ms. Suwanna Guantlett, Country Director, WildAid, Cambodia 79. Mr. Paul Steele, Environmental Economist, Sri Lanka 98. Mr. Sy Ramony, Chief of National Park and Wildlife 80. Mr. Peter John Meyneh, MWBP, Viet Nam Sanctuary Office, Ministry of Environment, Cambodia
81. Mr. Peter Noel King, Senior Policy Advisor, Institute 99. Mr. Tan Liang, Division Director, Planning and for Global Environmental Strategies, Japan Finance Division, PRC
82. Ms. Piyachart Pradubraj, USAID, Thailand 100.Mr. Tariq Banuri, Director, SEI, Thailand
. Appendix 1 241 101.Mr. Teak Seng, Country Director, WWF Cambodia 120.Mr. Xayaveth Vixay, Deputy Director General, Department of STEA, Prime Minister’s Office, Lao PDR 102.Mr. Tim Redford, Director, Surviving Together Program, WildAid Foundation, Thailand 121.Mr. Yang Yun, Chief, Department of Nature Conser- vation, PRC 103.Mr. Tom Clements, Technical Advisor, Wildlife Conservation Society (WCS), Cambodia 122.Mr. Ye-Qiang Fan, General Manager, Xishuangbanna Forest Bilogical Diversity Development Co., Ltd., PRC 104.Ms. Tran Thanh Hien, Officer, State Bank of Viet Nam 123.Mr. Yongyut Trisurat, Faculty of Forestry, Kasetsart 105.Ms. Udomlak Sritusnee, Senior Environmental University, Thailand Officer, DEQP, MONRE, Thailand 124.Ms. Yuwaree In-na, Environmental Affairs Officer, 106.Mr. Udomphan Indrayodha, Forest Official 7, DNP, UNEP Regional Office for Asia and the Pacific, Thailand Thailand 125.Mr. Zakir Hussain, Director, Constituency, IUCN-The 107.Mr. Ulrich Apel, Consultant, PRC World Conservation Union, Asia Regional Office, Thailand 108.Mr. Urooj Malik, Director, Agriculture, Natural Resources and Environment Division, ADB, Philippines 126.Mr. Zhou Bo, Division Chief, Foreign Techno Economic Cooperation Division, PRC 109.Mr. Usman Ali Iftikhar, Coordinator Regional Environmental Economics Programme Asia, IUCN 127.Mr. Zhu Hua, Director of Herbarium, Xishuangbanna - The World Conservation Union, Colombo, Sri Lanka Tropical Botanical Garden, PRC
110.Ms. Vanthakone Dejvongsa, Technical Officer, 128.Mr. Zuo Ting, Professor, China Agricultural University, Department of STEA, Lao PDR College of Humanities and Development, PRC 111. Mr. H.E. Vutha Tan, Ministry of Environment, Cambodia
112.Mr. Wang Jie, Assistant Professor, Department of International Cooperation, SEPA, PRC
113.Mr. Wang Xin, Deputy Division Director, Foreign Economic Cooperation Office (FECO, SEPA), PRC
114.Mr. Wanlop Preechamart, Environmental Officer, ONEP, MONRE, Thailand
115.Ms. Wantanee Petchampai, Ministry of Natural Resources and Environment, Thailand
116.Mr. Warasak Phoangcharoen, Environmental Official, ONEP, MONRE, Thailand
117.Mr. Weerasak Siangwan, DNP, Phaholyothin Road, Thailand
118.Mr. William Schaedla, Deputy Chief of Party ASEAN- WEN Support Project, WildAid Foundation,Thailand
119.Mr. Winston Bowman, Director, Regional environment Office, USAID, Regional Development Mission, Thailand
242 BCI International Symposium Proceedings.