SITUATION ANALYSIS: MANGROVE COMMUNITIES, MARKETS, STAKEHOLDERS, INSTITUTIONS AND POLICIES IN VIETNAM - Full 10 điểm

Situation Analysis: mangrove communities, markets, stakeholders, institutions and policies in Vietnam Stuart W Bunting 1 1 Centre for Environment and Society, Department of Biological Sciences, University of Essex, Colchester, UK Centre for Environment and Society Back to Office Report 2007-SWB2, University of Essex, Colchester UK Citation: Bunting, S.W., 2007. Situation Analysis: mangrove communities, markets, stakeholders, institutions and policies in Vietnam. Centre for Environment and Society Back to Office Report 2007-SWB2. University of Essex, UK. Author contact details: Centre for Environment and Society Department of Biological Sciences University of Essex Colchester CO4 3SQ UK Email: swbunt@essex.ac.uk Acknowledgement and disclaimer: This report is an output of the MANGROVE project which received research funding from the European Community’s Sixth Framework Programme [Contract: INCO-CT-2005- 003697]; this publication reflects the author’s views and the European Community is not liable for any use that may be made of the information contained herein. © The author retains the copyright to materials presented in this report ii Glossary ADB Asian Development Bank CBO Community Based Organisation CP Communication Plan DFID Department for International Development (UK Government) DoE Department of Environment DoF Department of Fisheries EC European Commission FAO Food and Agriculture Organization (UN) IUCN International Union for Conservation of Nature and Natural Resources IWMI International Water Management Institute KAP Knowledge Attitudes and Practices MANGROVE Mangrove ecosystems, communities and conflict: developing knowledge- based approach to reconcile multiple demands (EC project) MERD Mangrove Ecosystem Research Division NGO Non-Government Organisation NR Natural Resources NRSP Natural Resources Systems Programme PAP Participatory Action Planning PAPD Participatory Action Plan Development PU-PAPi Peri-Urban Participatory Action Planning and Implementation STEPS Social, Technical, Environmental, Political, Sustainability UN United Nations UNCDF United Nations Capital Development Fund UNDP United Nations Development Programme WB World Bank WWF World Wildlife Fund iii Contents Section Heading Page Glossary iii 1 Introduction 1 2 Progress review - Vietnam National University 1 3 Site selection 1 4 Stakeholders 2 4.1 Stakeholder terminology 3 4.2 Stakeholder analysis 4 5 Institutional Analysis 5 5.1 Agreed Institutional Analysis outline 6 6 Participatory Community Appraisal and Rapid Rural Appraisal 7 7 Markets 7 8 Activities to finalise WP1 commitments 10 8.1 Agreed forward work plan 10 9 Preparation for P2 reporting 15 References 16 Annex 1 Work programme & Workpackage 1 – Situation Analysis outline presentation Annex 2 VNU progress report presentation Annex 3 Situation Analysis, Institutional Analysis and Site selection review Annex 4 Tools and approaches for stakeholder analysis and interaction in mangroves and adjacent coastal areas Annex 5 Some experience from education activities on mangrove protection in coastal areas, Vietnam Annex 6 Draft news item for MANGROVE website Annex 7 Reporting checklist for MANGROVE partners Annex 8 Schedule of meetings Hanoi 3rd - 10 th Feb 2007 Tables and Figures Object Heading Page Table 1 Selection criteria for the field site in Vietnam 2 Figure 1 Venn diagram showing relationships between stakeholders 4 Table 2 Marketing checklists developed during the INCO-DEV PAPUSSA project 8 Table 3 Agreed timeline for MERC and CERE activities 11 iv 1 1. Introduction Situation Analysis (WP1) objectives stated in the project proposal are to: complete a multidisciplinary situation appraisal of mangrove ecosystems at sites in Indonesia, Thailand and Vietnam; raise awareness of their role in poor livelihoods; conduct an institutional analysis. The Situation Analysis commenced at the start of the project in August 2005 and background information collated and presented at the project inception meeting in Bangkok, November 2005. However, owing to the delay in fully implementing the project owing to the withdrawal of one partner the completion of this phase of work, planned for March 2006, was significantly delayed. Having taken into account the delay in project implementation and the dispersal of funds it is considered reasonable to expect that this phase of the project will now be completed in June 2007. An overview presentation concerning the status of the project, proposed work plan and detailed description of Workpackage 1 – Situation Analysis was presented to the MERD team at the start of the visit (Annex 1). 2. Progress review - Vietnam National University During the inception workshop members of the Vietnam National University team gave presentations on the current status of mangroves in Vietnam (MANGROVE Project, 2005). Appropriate study sites were proposed based on mutually agreed selection criteria and stakeholder groups associated with the sites identified and their positions and relationships explored; institutional, legal and policy frameworks were discussed. During the PMG and Project Inception meeting 2 members of the VNU team participated in planning WP1, 2, 3 and 4 activities. As with other partners, VNU faced a significant delay in implementing fieldwork activities owing to the withdrawal of a partner jeopardising the project. Despite this it was possible to retain the core of the team and to make further progress on collating background information and data, as well as developing contacts with other university faculties and Hanoi University of Education, Hanoi. Following the decision to disperse the pre-financing payment to the consortium the Coordinator at VNU undertook to find replacement team members and new appointments have been made. An overview of progress was presented to the coordinator by the VNU team (Annex 2). 3. Site selection Cognisant of changing circumstances since the project inception meeting, criteria developed to assess the suitability of potential study sites (Table 1) were reviewed and the earlier assessment and site selection reconsidered. Having reviewed the situation again it was apparent that, based on criteria agreed by the consortium at the Project Inception Meeting in Bangkok i.e. the significance of the remaining mangrove area, associated livelihoods, ecosystem services provided, existing knowledge and logistics, Nam Dinh still represented the most promising study site for the MANGROVE Project. However, owing to recent development and a significant increase in research activity in the proposed Nam Dinh National Park and Ramsar site area, it was decided to shift the focus of research in the MANGROVE Project to the adjacent Tien Hai Nature Reserve. Table 1. Site selection criteria for the field site in Vietnam Criteria Quang Ninh Hai Phong Nam Dinh Can Gio Ben Tre Ca Mau Existing knowledge/data 3 4 5 5 3 3 Significance 3 4 5 5 4 4 Livelihood 5 5 5 3 3 2 Typhoon buffer 4 5 5 2 2 2 Carbon sink /accumulation 3 3 3 5 5 5 Replanting ages 3 3 4 5 4 2 Logistics Permission 4 4 5 5 4 4 Travel 3 4 4 3 2 2 Communication 3 4 4 4 2 3 Existing projects 2 3 5 4 3 4 Total 12 15 17 16 11 13 Note: preliminary identification: 5, very high; 4, high; 3, average; 2, low; 1, very low. 4. Stakeholders Several user groups, civil society groups, CBOs, NGOs, local and national government departments associated with mangroves and adjacent coastal areas were identified during the project inception meeting (MANGROVE Project, 2005). This section aims to provide some guidance on how these groups, collectively referred to as stakeholders, can be further differentiated and their positions and relationships explored, highlighting areas of conflict and tension that the project team can subsequently work to resolve. Within this strategy the concept of engagement is central; DFID (2001) described the nature of engagement as: 2 ‘Involving those who stand to win or lose from policy or institutional reform, or who may influence the reform process, helps to make the interests of key stakeholders transparent and to build ownership of the reform process.’ 4.1. Stakeholder terminology Basic terminology draws on the DFID Sustainable Livelihoods Guidance Sheets (DFID, 2001) where primary stakeholders are the intended beneficiaries of reform and key stakeholders are those who can influence the outcome of the reform process 1 . Within the category of key stakeholders it has sometimes been found useful to differentiate further between secondary and tertiary stakeholders - based on geographic scale, management role and interest. Stakeholders have been further categorised by various authors and authorities, for example, Grimble (1998) described direct stakeholders as being ‘those involved with the causes or consequences of a problem or issues and affected by actions taken to alleviate in’ and indirect stakeholders as those ‘who can positively or negatively influence the process and can play a role in strategies to solve the problems’. Perhaps practical sometimes to categorise stakeholders in broad, unsophisticated hierarchies, as in some aspects of the MANGROVE Project proposal, this is a shortcoming that demands consideration. Such an approach fails to acknowledge the capabilities of poor and vulnerable people (excluding perhaps poorest of the poor) to influence livelihood outcomes. As Chambers (2005) says ‘The challenge is how to give voice to those who are left out and to make their reality count’. Furthermore, although not wishing to perpetuate divisive patron-client relationships, Chambers (2005) noted that ‘The tendency for local elites to capture projects and programmes and use them for their own benefit should indeed by recognized as a fact of life.’ Dealing with such realities and understanding the roles of leadership, patronage, unions, political parities and frequently coercion and extortion, may present opportunities to achieve more effective implementation and sustainable livelihoods enhancements for poor people (Bunting, 2006). Discussing the probability that local elites will monopolise initiatives, Chambers (2005) comments: 3 1 Reference to beneficiaries implies passive receipt of aid or assistance from a benefactor or supporter, this feels at odds with the concept of participatory action and learning. Similarly, reform invokes a sense of fundamental reorganisation, root and branch reform, whereas the actual outcomes might be more subtle. ‘there are benefits as well as costs in this. Leaders are often leaders because they have ability, and projects may be better managed through their participation. Leaders, especially where there is an active political party, may seek support and legitimacy and so have an incentive to spread the benefits of projects to more rather than fewer people.’ 4.2. Stakeholder Analysis Five elements constituting a situation analysis were outlined in the DFID Sustainable Livelihoods Guidance Sheets (DFID, 2001) thus: - identify and define level of influence of primary stakeholders, - identify and define characteristics of key stakeholders, - assess manner in which they might affect or be affected by reform, - understand relations between stakeholders, including real or potential conflicts and expectations between stakeholders, - assess capacity of different stakeholders to influence reform process. Considering urban governance, Rakodi and Lloyd-Jones (2002) proposed that the relationship between stakeholders could be represented using a Venn diagram (Figure 1). Figure 1. Venn diagram showing relationships between stakeholders (source Rakodi and Lloyd-Jones, 2002) 4 Martin et al. (2001) proposed a series of approaches to identify and explore stakeholder interests: - small meetings with a few key stakeholders where other stakeholder groups are identified, - stakeholder workshops to facilitate detailed exploration of activities, interests, contributions and opportunities for new networks, with information tabulated or represented using Venn diagrams (Figure 1) - individual interviews with representatives of the main stakeholder groups, to discuss issues, perceptions, constraints and significant in relation to the MANGROVE Project objectives, potential areas of conflicts - in-depth discussions with separate stakeholder groups - joint focus groups with representatives of each stakeholder groups, to discuss issues arising from earlier meetings and develop a strategic vision for uptake promotion with policy makers. Within the various framework proposed above it is important to remember that policy makers are stakeholders too, and that their involvement is critical in developing a strategic vision. It is important to engender ownership of the process as policy-makers are unlikely to adopt an innovative strategy developed by other stakeholders in isolation. However, where it is difficult to involve policy-makers, an autonomous initiative to plan and resolve tensions would probably gain recognition, and if it were sufficiently representative and authoritative would be difficult to ignore. The outline of the Stakeholder Analysis was presented to the VNU team and discussed at length (Annex 3) as were participatory research tools that might prove useful when working in physically, socially and institutionally complex coastal settings (Annex 4). 5. Institutional Analysis Referring to the project proposal a number of objectives were set out for the institutional analysis and associated policy review activities described within the broader Situation Analysis. The first step is to identify and describe institutions, including their motivations and agendas. Having identified the various groups the next step is to sketch out the relationships between groups, possible presenting this with a Venn diagram or matrix. Legal frameworks and the policy process, including policy-making and policy statements, 5 will also be reviewed and potential linkages with planned project activities highlighted. Critical in several cases will be an assessment and understanding of the interaction between local and centralised decision-making. 5.1. Agreed Institutional Analysis outline Meet key stakeholder representatives to discuss mangrove management and planning: - define their role/responsibilities/influence - identify principles/planning framework/legislation/etc…that guides decision-making - give emphasis to issues relevant to coastal livelihoods: classification of activity, zoning, relevant legislation, references to livelihoods in official documentation, - define the priority of mangrove conservation with respect to other activities - elicit perceived constraints to mangrove conservation and wise use - investigate initiatives to address these problems - discuss the perceived benefits of mangrove conservation and wise use - discuss historical land-use change that has impacted on mangrove area and discuss future prospects in light of planning initiatives, state level development objectives, globalization, international agreements, climate change Describe actor/stakeholder roles in managing coastal natural resources and in guiding the formal land-use planning process, including their jurisdiction, sphere of influence and their position within the overall hierarchy. Furthermore, identify strategically significant user groups, institutions or committees, and individuals therein, that guide and influence policy formulation. Develop the management/planning hierarchy to include landowners, leaseholders, community management bodies and employees and their power, influence and roles. Assess the knowledge needs of key actors/stakeholders interviewed and the most appropriate pathways for disseminating project outputs i.e. workshop participation, technical reports, media communications. VNU presented a summary of key work undertaken concerning education activities focused on mangrove protection (Annex 5). 6 Assess the potential role of strengthened civil society groups, producer associations and more informed advocates for the poor and local planners in developing appropriate management/development strategies for mangroves and adjacent coastal areas. Develop a work programme to assess systematically the priority assigned by different institutions to mangrove conservation and wise use, constraints and opportunities associated with these practice and strategies to manage these systems equitably Report back on findings at stakeholder forum for verification and triangulation 6. Participatory Community Appraisal and Rapid Rural Appraisal Capacity building workshops focused on Sustainable Livelihoods Analysis and Participatory Rural Appraisal were planned for each project site, the intention being to enhance the skills of project staff tasked with fieldwork, and to involve other stakeholder groups so as to raise their awareness, initiate a constructive dialogue and begin to engender a sense of ownership (Ha et al., 2006). The workshop was completed in Vietnam and a workshop report has been published (STREAM, 2006). 7. Markets Conventional market transactions should be assessed at each stage in the marketing network, from producer, collector or harvester to consumer or user. The first step is to assess what products, derived directly and indirectly, from mangrove areas are being marketed. This might best be facilitated through interviews with key informants or through participatory activities such as resource mapping, seasonal activity and income calendars, stakeholder analysis, or ideally a combination of the two. A simple checklist might be invoked to guide the assessment, as was the case in the previous INCO-DEV PAPUSSA project (Table 2). Key elements assessed at each stage in the marketing network included product, quantity, source, pre-harvest and post-harvest handling, buyer types, nature of the transaction, administration, legislation and licensing, overall number or proportion of traders dealing in aquatic foods, seasonal changes, trends and additional data. 7 8 Table 2. Marketing checklists developed during the INCO-DEV PAPUSSA project Checklist of topics to discuss: Collectors Wholesale market management Wholesalers Collectors Retail market management Retailers Consumers Quantity – bought/sold/transported/traded Spp. / price Quantity/day Volume traded per day / price Spp. price Quantity/day Buy/sell price Spp./ quantity per day Source: where from, rural or peri-urban, distance/travel cost, when collected Which district/ province? Rural/PU- distance- when/how collect/deliver Bought from where? Rural/PU Distance – when delivered /collected (time) Where – province Rural/PU- distance- when/how collect/deliver Where Rural/PU- distance-when collected/deliver ed/wholesaler/pr oducer Pre-harvest and post-harvest handling Processing & preservation Processing & preservation Processing & preservation Methods Types of buyer - rich / poor Products sold where? Products sold where? Products sold where? Products sold where? Occupation Age range Transactions e.g. contracts How many permanent & temporary contracts How often do you collect? Organisation Bought from collector or producer? How many permanent & temporary contracts with sellers/buyers How many permanent & temporary contracts How often do you collect? Organisation How many permanent & temporary contracts – any relationship with sellers/buyers? No. of buyers on average? Administration fee Tax Type of admin fee? Tax Type of admin fee? Tax Type of admin fee? Tax Type of admin fee? Tax Type of admin fee? Legislation/ licence Any licence/ legislation? Institutional arrangements Is a licence required? Do you require a licence? Any licence/ legislation? Institutional arrangements Is a licence required? Is a licence required? Number/ proportion of traders dealing in aquatic foods No. of collectors No. of wholesalers at market No. of collectors No. of retailers at market Seasonal changes: quantity and price Constitutes, timeline, trend and choice Any change due to seasonal variation? Quantity/price/ Spp. etc. Any change due to seasonal variation? Quantity/price/ Spp. etc. Any change due to seasonal variation? Quantity/price/ Spp. etc. Least / most consumed Any change due to seasonal variation? Quantity/price/ Spp. etc. Any trend in buying apparent? Additional data collection proposed for Production in ww region? Are you also wholesaler/ retailer? Do you employ anyone/use family members? Other important information? Difficulties/ recommendations? Start date? Home of wholesalers? Other important information? Difficulties/ recommendations? Do you employ anyone/use family members? Other important information? Difficulties/ recommendations? Production in ww region? Other important information? Difficulties/ recommendations? Start date? Home of retailers? Other important information? Difficulties/recommendations? Which Spp. preferred by buyer? Other important information? Difficulties/recommendations? What fw products do you buy? Spp. most liked? Size you like? Concerned about price? Why do you like to eat this fish? [combined in matrix] Other problems? 9 10 Commodities might be traded on a local, regional, national or international basis and this will have implications for the health and wellbeing of both producers and consumers; the balance of trade against subsistence needs also demands consideration. Furthermore, although perhaps not traded in formal markets, the supply and appropriation of environmental good and services, or ecosystem services, derived from mangrove areas should be considered; this should highlight indirect benefits accruing to poor and vulnerable communities, and society more generally. Assessing ‘values’ attributed to mangroves will provide a more comprehensive account concerning existing and potential future benefits of conserving and restoring mangrove areas. 8. Activities to finalise WP1 commitments Various reference have been gathered together by the VNU team, including workshop proceedings, scientific papers and reports and training manuals from Government Departments, proving a sound basis from which to compile the background to the Situation Analysis report. 8.1. Agreed forward work plan Following various discussions of the elements constituting the Situation Analysis, the MERD team prepared a provisional work plan including background data collection and collation, stakeholder and institution analysis, PCA fieldwork, market assessment, State of the System (SOS) workshop and reporting (Table 3). The MERD team undertook to provide regular updates on progress and the project coordinator undertook to assist in the implementation of the work plan where possible. 11 Table 3. Agreed timeline for MERC and CERE activities Main outputs Expected outputs Description Methods Mainly Responsible Date Introduction of the project Introduction of the project Meetings with local authorities Prof. Hong, Dr. Tri 12-13/2/2007 Overview report on natural conditions, socio- economics, mangrove ecosystem Background (geography, climate, population, coastal ecosystems, etc…) Statistically collecting data, administrative map, population, climate, coastal ecosystems. 12/2-1/3/2007 Background on study site Overview report on the study site - general description - Site selection (importance, logistics, data, access) Collecting data on importance, logistics, data, access) of the study site (province, district and 3 selected communes) Dr. Dao, Dr. Tuan, MERD 12/2-1/3/2007 Identify stakeholders (user groups, civil society, CBOs, NGOs, gov, others) 12/2-4/3/2007 Surveys Stakeholder meeting individual interviews 10/3 – 20/3/2007 Report on Stakeholder analysis Stakeholder analysis Primary and Key? Primary, Secondary, Tertiary? Analysis of surveyed data Stakeholder analysis Dr. Dao, Dr. Tuan, MERD 20/3/2007 – 1/4/2007 Institutional, policy and legal analysis Report on institutional analysis Surveys Stakeholder meeting Ranking Venn diagram individual interviews Dr. Dao, Dr. Tuan, MERD 10/3 – 20/3/2007 Identify and describe: - institutions motivations - relationships - legal frameworks governing mangrove exploitation and management. Data analysis Institutional analysis 20/3/2007 – 1/4/2007 Surveys Individual interviews Stakeholder meeting Ranking 10/3 – 20/3/2007 Report on policy analysis Policy framework formulation linkages interaction between local and centralised decision-making Data analysis Policy analysis CERE (Dr. Tri) and Ph.D student Tho (to be confirmed) 20/3/2007 – 1/4/2007 Surveys (different target/gender groups) Mapping Interview (key person, leaders, authorities, etc.) Group meeting Ranking/Scoring 10/3 – 20/3/2007 Disaggregate community by wealth and gender and focusing on livelihoods of poor people Data analysis Desk analysis 20/3/2007 – 1/4/2007 Participatory Community General report on livelihoods in association with mangrove conservation and rehabilitation weight / rank significance of good / services in livelihoods Data analysis Desk analysis CERE (Dr. Tri) 20/3/2007 – 1/4/2007 12 explore vulnerability (with focus groups and household interviews and seasonal calendars) Data analysis Desk analysis 20/3/2007 – 1/4/2007 assess assets (natural, physical, financial, human, social) Data analysis Desk analysis 20/3/2007 – 1/4/2007 Appraisal Map spatial distribution of mangroves with secondary stakeholders - phân bሷ rባng ngሁp mሑn liên quan vቇi các hoᆉt ቅng c቙a ngᄳ቉i dân (th቙y sᆑn, nuôi vᆉng, RNM…) - dòng hàng hóa và dሱch v቗ trong c቙a cቅng ሹng ph቗ thuቅc vào RNM (direct use, indirect use, ecosystems services) - GIS - PRA (maping) - Interview - Data analysis CERE (Dr. Tri) 20/3/2007 – 1/4/2007 Biogeochemical, hydrological and ecological setting of mangroves Collect existing data and indigenous knowledge (biogeochemical, hydrological, ecological) 20/3/2007 – 1/4/2007 Biogeochemical, hydrological and ecological setting of mangroves Report on Biogeochemical, hydrological and ecological setting of mangroves Surveys to fill gaps in the knowledge- base Collect data/Group meeting/Interview Prof. Hong, MERD 10/3 – 20/3/2007 Surveys Interview Meetings Ranking 10/3 – 20/3/2007Market analysis Report on market networks for goods (and services) and assess magnitude Map market networks for goods (and services) and assess magnitude Data analysis Map making Dr. Dao, MERD 20/3/2007 – 1/4/2007 13 Surveys Interview Meetings Ranking 10/3 – 20/3/2007 Report on Market analysis power relations, market forces and processes related to globalisation on ecosystem functioning, livelihood strategies and institutional arrangements Data analysis Desk analysis Dr. Dao, MERD 20/3/2007 – 1/4/2007 Surveys Gender group meeting Ranking 10/3 – 20/3/2007Gender analysis Report on Gender Framework Analysis Address specific gender issues Data analysis Desk analysis CERE (Dr. Tri) 20/3/2007 – 1/4/2007 Workshop proceedings Workshop proceedings Present outcomes in workshops at each site with stakeholders (check and verify findings) Hold a local workshop (1 -2 days) MERD, CERE 13-18/5/2007 Situation appraisal report Final report Situation appraisal report Prof. Hong, Dr. Tri 1/4 - 31/4/2007 - Extra surveys will be conducted during 8-14/4/2007 14 15 9. Preparation for P2 reporting Based on the proposed timing of WP1 activities it was agreed that a joint consortium and PMG meeting in June would be appropriate to review progress in each of the field sites and plan WP3-5 activities in detail. This meeting would also provide an opportunity to review reporting responsibilities and commitments and draft relevant report sections so that P2 reporting to the EC can be completed in a timely fashion. The second reporting period for the project (P2) ends on the 31st July 2007, the deadline for submission of final reports to the EC is 45 days later. A reporting checklist and timetable was revised based on discussions during the week (Annex 7) and will be circulated to the project consortium using the MANGROVE Project email list managed by NACA. References Bunting SW (2006) Low impact aquaculture. Centre for Environment and Society Occasional Paper 2006-3. University of Essex, UK. Chambers R (2005) Ideas for Development. Earthscan, London. DFID (2001) Sustainable livelihoods guidance sheets. Department for International Development, London, UK. Grimble R (1998) Stakeholder methodologies in natural resource management. NRI, University of Greenwich, UK. MANGROVE Project (2005) Inception workshop proceedings. NACA, Bangkok. (online at: www.streaminitiative.org/Mangrove) Martin A, Oudwater N, Gundel S (2001) Methodologies for situation analysis in urban agriculture. Synthesis Paper for workshop on ‘Appropriate Research and Planning on Methodologies for urban and peri-urban agriculture’ 2-5 October 2001, Nairobi, Kenya. ETC, CGIAR, UNDP-UNCHS. Ha NS, Tran NM, Smith E, Suspita A, Haylor G (2006) Capacity building on sustainable livelihoods analysis and participatory rural appraisal. Working Paper NSH1: EU Project MANGROVE INCO-CT- 2005-003697. STREAM/NACA, Hanoi, Vietnam. Rakodi C, Lloyd-Jones (2002) Urban Livelihoods. Earthscan, London. STREAM, 2006. Workshop on capacity building for situation analysis of mangroves ecosystem and communities. Hanoi and Nam Dinh, Vietnam, 4-8 December 2006. ( online at: www.streaminitiative.org/Mangrove) 16 Annex 1 Dr Stuart Bunting Centre for Environment and Society, University of Essex, Colchester, CO4 3SQ, UK Tel: +44 (0)1206 872219; Email: swbunt@essex.ac.uk :RUN3URJUDPPH :RUNSDFNDJH 6LWXDWLRQ$QDO\VLVRXWOLQH )HEUXDU\ &HQWUHIRU1DWXUDO5HVRXUFHVDQG(QYLURQPHQWDO6WXGLHV 0DQJURYH(FRV\VWHP5HVHDUFK''''LYLVLRQ9LHWQDP1DWLRQDO8QLYHUVLW\+DQRL9LHWQDP 3UHVHQWDWLRQRXWOLQH o 3URMHFWDLPV o :RUNSODQ o :RUNSDFNDJHV o ''''HOLYHUDEOHV o 3URMHFWFRRUGLQDWLRQ o :RUNSDFNDJH RXWOLQH 3URMHFWDLPV o ''''HYHORSDFWLRQSODQVWRUHFRQFLOHPXOWLSOHGHPDQGV SODFHGRQPDQJURYHVDQGDGMDFHQWDUHDV o /RFDODQGQDWLRQDOOHYHOVWDNHKROGHUVSDUWLFLSDWHLQDFWLRQ SODQQLQJ o $FWLRQSODQVSLORWHGE\VWDNHKROGHUVDQGLPSDFWVRQ HFRV\VWHPVOLYHOLKRRGVDQGLQVWLWXWLRQVDVVHVVHG o 1HZNQRZOHGJHRQPRVWHIIHFWLYHDSSURDFKHV FRPPXQLFDWHGWRDJHQFLHVUHVSRQVLEOHIRU&=0 o 7RDVVLVWLQIRUPXODWLQJ&RGHVRI3UDFWLFHDQGSROLFHVWR 50''''SODFHGRQPDQJURYHVDQGDGMDFHQWDUHDV :RUNSODQ JHQHUDOGHVFULSWLRQ o 2IILFLDOVWDUWGDWH VW $XJXVW o 3URMHFWGXUDWLRQ PRQWKV o 3KDVH PRQWKV o 3KDVH PRQWKV o 3KDVH PRQWKV o (QGGDWH VW -DQXDU\ " 7UDQVLWLRQWR3KDVHLVGHSHQGHQWRQFRPSOHWLRQRI*HQGHU )UDPHZRUN$QDO\VLV Annex 1 &RQVRUWLXP 1. Centre for Environment and Society, University of Essex (UOE), England 2. Fisheries and Fish Culture Group, Wageningen University (WUR), The Netherlands 3. Stockholm Environment Institute (SEI), Sweden 4. Mulawarman University (MU), Indonesia 5. Kasetsart University (KU), Thailand 6. Vietnam National University (VNU), Hanoi, Vietnam 7. Network of Aquaculture Centres in Asia-Pacific (NACA), Thailand 8. Sub-contractors 6XEFRQWUDFWRUV - support the evaluation of mangrove derived goods and services with stakeholders (e.g. application of the damage schedule approach outlined by Chuenpagdee and Vasconcellos (2000)) - support for ecological survey and data analysis - *gender expert to support the design, implementation and evaluation of project activities (Gender Framework Analysis) - audit (under management budget) *a commitment was made that each Asian partner would employ at least one researcher with a background in social sciences Annex 1 :RUNSDFNDJH RXWOLQH 1. Background (geography, climate, population, coastal ecosystems, etc…) 2. Site selection (importance, logistics, data, access) 3. Map spatial distribution of mangroves with secondary stakeholders Employing appropriate RRA techniques (map flows of goods and services supporting communities) identify 3 communities whose members depend on goods and services originating from mangroves (direct use, indirect use, ecosystems services) 4. Map market networks for goods (and services) and assess magnitude :RUNSDFNDJH RXWOLQH 5 Gender Framework Analysis – 6 Participatory Community Appraisal – disaggregate community by wealth and gender and focusing on livelihoods of poor people – weight / rank significance of good / services in livelihoods – explore vulnerability (with focus groups and household interviews and seasonal calendars) – assess assets (natural, physical, financial, human, social) :RUNSDFNDJH RXWOLQH 7 Existing data and indigenous knowledge (biogeochemical, hydrological, ecological) document existing data collection programmes / arrangements (local, regional and national) 8 Stakeholder analysis (user groups, civil society, CBOs, NGOs, gov, others) Primary and Key? Primary, Secondary, Tertiary? :RUNSDFNDJH RXWOLQH 9 Institutional analysis – identify and describe institutions – motivations – agendas – relationships – Venn diagram – legal frameworks 10 Policy framework – formulation – linkages – interaction between local and centralised decision-making :RUNSDFNDJH RXWOLQH 11 Synthesis – Impact of power relations, market forces, globalisation on ecosystem functioning, livelihood strategies, institutional arrangements 12 Present outcomes – Local and national stakeholders in workshops at each site (check and verify findings) Annex 2 Organizing a group’ meeting: - To assign on detailed tasks of each team; - To discuss the methods to implement the tasks. Rational for site selection • Important for the country • Example for the world • Representativeness for the wetland/mangrove Location Mangrove Ecosystem Research Station(MERS) belonging to MERD at Giao Thuy District, Nam Dinh Province Methodology Collect existing information, documents, reports and all relevant data and literature at the national, provincial, district and community levels; Identify and fill gaps (of data and information); Analyze collected data and information to clearly define any outstanding problems for the Vietnamese policy contexts; Carry out additional surveys and interviews if needed; Propose scenario(s) and estimate impacts; Evaluate analysed methodology and application. A. Surveys of existing conditions/ Status 1. Natural conditions - Land use / Land cover - Plant species composition and trends - Animal species composition and trends - Ecosystems and their functions - Water resources Annex 2 A. Surveys of existing conditions/ Status 2. Socio-economic conditions Social Income Income redistribution system/ Equity of income Education level Poverty (National standard) Land tenure Access to resources Population (including fertility rate) density and growth Pollution and diseases Infant mortality Access to food and other basic needs A. Surveys of existing conditions/ Status Economic/ Production Identify economic sectors; Category of economic structure; Investment capital for exploitation Potential markets (export) Market failures A. Surveys of existing conditions/ Status Policies Mechanism of unsustainable changes Socio-economic development programmes (National and provincial levels) Poverty reduction (CPRGS) Biodiversity Action Plan (BAP) Subsidies (minor) Five million hectare program (reforestation) Land titling or exclusion Decree 109/2003 B. Linkage 1. Biodiversity Ecosystem types Ecosystem area change Ecosystem quality (Quality of forest – 3 categories: rich, medium, poor; Reflection of species diversity); Species trend indices (all species) Natural stocks of economic value (economic value species: animal, NTFP) B. Linkage 2. Human wellbeing (Goods and services of ecosystems) Supporting services Habitat Fishery production (aquaculture/catching) Agricultural production Fish, craps, etc. Waterbirds Non-timber forest products Water quality Flood/ storm, mitigation; Soil erosion control Coastal and dyke protection Soil stabilization B. Linkage Provisioning services (products obtained from ecosystems) Seafood Claim rearing Fuel-wood Genetic resources Handicraft materials Annex 2 B. Linkage Cultural services (non-materials obtained from ecosystems) Recreation and ecotourism Environmental Propagation and Education Indigenous knowledge Output Overview of historical data on land-use, economic , social, ecological and production indicators, including available GIS maps Description and analysis of related variables that influence the relation between biodiversity and human well-being Schematic flowchart model of the above mentioned variables Analysis of policy options ( 1 or 2) that could increase biodiversity and/or human well-being Description of used methodology, results, conclusions and recommendations for extended research Implemented activities Each team collected existing information, all relevant data and literature: - Scientific reports; - Statistical data of Tien Hai and Giao Thuy Districts - Legal documents, socio-economic development plans, action and programme relevant to the policy issues described in the proposal ; and sum-up and relevant reports on these issues Implemented activities Conduct a survey in Giao Thuy and Tien Hai District - Interview Chairman of District People’s Committee about present critical issues of Giao Thuy and Tien hai Districts - Collect annual sum-up reports on socio-economic situation and statistical data of Giao Thuy District Collected data, documents and references 1. Scientific papers: - Biodiversity, natural systems/ecosystems - Socio-economic, natural resource management and policy - Statistical data and reports of local authorities 2. Reports of local authorities 3. Statistical data 4. Maps Scientific papers: Biodiversity, natural systems/ecosystems 1. Ministry of Fisheries, 2003. Scientific research works of the fishery sector for the phase of 1996 - 2000. Hanoi Agricultural Publishing House: 472pp. (in Vietnamese) 2. Phan Nguyen Hong, Tran Van Thuy (project leader), 2004. Project: Assessing diversity of plant vegetation and flora in Giao Thuy District, Nam Dinh Province – a scientific basis for planning sustainable development of wetland ecosystems in coastal zones of Northern Vietnam. Programme of the oriented planning for some wetland ecosystems in the coastal zones of Northern Vietnam for sustainable development: 102pp. (in Vietnamese). 3. Phan Nguyen Hong, Tran Van Thuy (project leader), 2004. Project: Assessing diversity of plant vegetation and flora in Thai Thuy District, Thai Binh Province – a scientific basis for planning sustainable development of wetland ecosystems in the coastal zone of Northern Vietnam. Programme of the oriented planning for some wetland ecosystems in the coastal zones of Northern Vietnam for sustainable development: 103pp. (in Vietnamese). 4. List of phytoplankton species in the Red River mouth area (in Vietnamese) 5. Le Xuan Hue, Nguyen Thi Thu Ha, 2002. Insects in the mangrove area of Giao Thuy District (Nam Dinh) and Tien Hai District (Thai Binh) (in Vietnamese). 6. Duong Van Coi (Program leader), 1998. Investment project of establishment of protective mangrove forests in Nam Dinh Province for the phase 1999-2010 (in Vietnamese). 7. Forest Inventory and Planning Institute, Ministry of Agriculture and Rural Development, 2003. Investment project of Xuan Thuy National Park of Nam Dinh Province (in Vietnamese). 8. Mangrove Ecosystem Research Division, 2002. Report on Can Gio Mangroves – Ho Chi Minh City and Xuan Thuy Ramsar site in the Red River Delta. UNEP project (in Vietnamese). 9. List of lower plant species in the coastal and estuarine areas of Thai Binh (in Vietnamese). 10. Vu Trung Tang, Tran Thanh Than, 2001. Fish species composition in Tien Hai Nature Reserve, Thai Binh Province (in Vietnamese). 11. Mai Trong Nhuan. Brief summary for Ba lat estuary demonstration site Annex 2 Scientific papers: Biodiversity, natural systems/ecosystems In: Mangrove Ecosystem Research Division, 2004. Mangrove Ecosystem in the Red River coastal zone: Biodiversity, Ecology, Socio-economics, Management and Educ