Farm level economic impact of econogically based rodent managemeed rice system the case study of rice farming in the mekong river delta, vietnam

TABLE PAGE 11 Changes in farmer’s attitudes and beliefs towards rats and rat management, 221 sample rice farmer-respondents under the treatment and control sites, An Giang Province, Meko

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MANAGEMENT IN AN INTENSIVE IRRIGATED RICE SYSTEM: THE CASE STUDY OF RICE FARMING IN THE MEKONG RIVER DELTA, VIETNAM

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APRIL 2013

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BIOGRAPHICAL SKETCH

The author was born on September 02, 1982 in Huong Son district, Ha Tinh Province,

Vietnam He is the fourth child of Ho Viet Luong and Nguyen Thi Tan

He graduated with a Bachelor of Science in Agricultural Economics from Hanoi University of Agriculture, Vietnam in 2005 He has worked as a lecturer at the Department of Quantitative Analysis, Faculty of Economics and Rural Development, Hanoi University of Agriculture (HUA) since 2006

In 2009, he was awarded a scholarship grant funded by the World Bank and Ministry of Education and Training of Vietnam through the Training and Research Improvement Grant Project of HUA (TRIG-HUA), which enabled him to pursue his Master of Science in Agricultural Economics at the Department of Agricultural Economics, College of Economics and Management, University of the Philippines Los Baños (UPLB) His academic performance had been outstanding having obtained an overall average grade of 1.125 from all the graduate courses that he took during the first and second semesters, SY 2009-2010 leading to a Master of Science degree in Agricultural Economics Considering that his overall weighted average grade met the academic requirement for the straight Doctor of Philosophy (PhD) program, he continued to pursue his PhD degree in Agricultural Economics since the first semester of SY 2010-2011 under the TRIG-HUA Scholarship grant

In June 2011, the Southeast Asian Regional Center for Graduate Study and Research in Agriculture (SEARCA) granted him a scholarship grant to enable him to continue his straight Ph.D degree in Agricultural Economics at UPLB In March 2012, he was awarded a PhD dissertation research grant by the Irrigated Rice Research Consortium (IRRC) through the Social Sciences Division (SSD), International Rice Research Institute (IRRI)

He is happily married to Lai Phuong Thao and blessed with a lovely daughter, Ho Ngoc Phuong

HO NGOC NINH

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ACKNOWLEDGEMENT

I wish to express my since rest gratitude and appreciation to the following people to make the completion

of this research work possible:

To Dr Corazon T Aragon, my academic advisor and chair of my Advisory Committee and Dr Florencia

G Palis, co-major adviser, for their encouragement, invaluable advice, heartfelt guidance, and hearted supports to finish the study

whole-To Dr Flordeliza A Lantican, Dr Zenaida M Sumalde, and Dr Ma Victoria O Espaldon, members of my Advisory Committee, for their valuable suggestions and constructive comments, and encouragement to improve the quality of this study

I would like to extend my gratitude and appreciation to Dr Roderick M Rejesus, for answering my queries related to my research and for providing invaluable advice I also would like to extend my appreciation to

Dr Grant R Singleton, Coordinator of IRRC, IRRI, for allowing me to utilize the EBRM Project data and for his invaluable contributions to the development of this research

To the staff of the College of Economics and Management (CEM); School of Environmental Science & Management; the UPLB Graduate School; the UPLB Foundation Inc.; the Social Sciences Division (SSD) and the Training Center of IRRI, for their kind help, support and good services

To the local authorities and officers at the Plant Protection Subdivision, and the Department of Agriculture and Rural Development in An Giang Province, for their cooperation in providing me the needed information Special thanks also to Ms Truong Thi Ngoc Chi for her help in data collection

To the World Bank and the Ministry of Education and Training of Vietnam, and the management and the staff of the TRIG-HUA, for granting full financial support to enable me to pursue my M S degree and partial financial support for my Straight PhD Program

To the Southeast Asian Regional Center for Graduate Study and Research in Agriculture (SEARCA), for granting a scholarship to enable me to continue my straight PhD Program, especially to Dr Gil C Saguiguit, Jr., Director and Dr Editha C Cedicol, Head of the Graduate Scholarship Department (GSD) I would like also to express my gratitude to all the staff of GSD for responding to all my scholarship-related requests so graciously

To Dr Tran Duc Vien, Rector; Dr Vu Van Liet, Vice-Rector, of Hanoi University of Agriculture; Dr Do Kim Chung, former Dean; Dr Tran Dinh Thao, current Dean; Dr Nguyen Thi Minh Hien, and Dr Nguyen Van Song, Deputies, of the Faculty of Economics and Rural Development; Dr Pham Van Hung, former Head; Dr Nguyen Thi Duong Nga, current Head; and Dr Nguyen Tuan Son, of the Department of Quantitative Analysis, for their logistical and moral encouragement and valuable advice for the pursuit of

my Ph.D degree To all my colleagues and professors at the Department of Quantitative Analysis for their encouragement and to those who took over my academic responsibilities during my study leave

To Dr Tuong, Dr Vinh and their families, as well as, all my Vietnamese and international friends at UPLB and IRRI, for their understanding, encouragement, and full support during the period of my study; and special thanks to Ms Trina Leah T Mendoza for editing my dissertation manuscript

To my dear parents Ho Viet Luong and Nguyen Thi Tan; my dear parents-in-law Lai Huy Binh and Vu Thi Thu Huong; my dear grandmother-in-law Nguyen Thi Chat; my dear uncles and uncles-in-law and their families; my dear brothers, sisters and their families; and my dear brother-in-law, who were sources of my inspiration, for their support, encouragement, patience, understanding, and for taking care of my wife and daughter during the period of my graduate study; and

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Finally, to my beloved wife Lai Phuong Thao, and my wonderful daughter, Ho Ngoc Phuong, for their love, patience, sacrifices, support and understanding, to whom this research work is dedicated

2.1.1 Empirical Studies Related to the Evolution of Ecologically- Based Rodent Management

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Efficiency of Rice Farmers in Vietnam

4.1.2 Selection of the Sample Rice Farmer-Respondents 89 4.2 Types of Data and Methods of Data Collection 91

4.3.4 Estimation Procedures and Empirical Specification for Impact Assessment Using Panel Data

96 4.3.5 Analysis of Stochastic Production and Efficiency 103

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CHAPTER PAGE

5.1 Characteristics of the Sample Rice Farmer-Respondents and Their Rice Farms

114

5.2 Changes in the Rice Farmers’ Attitudes Towards Rodent Management and Their Rodent Management Practices

124 5.2.1 Dissemination of the EBRM Technology in Vietnam 124 5.2.2 Changes in the Rice Farmers’ Knowledge on Rodent

5.2.3 Changes in the Rice Farmers’ Attitudes and Beliefs Towards Rats and Rat Management 135 5.2.4 Changes in Rodent Control Practices of the Sample

5.3 Comparison of the Mean Levels of Input Use and Paddy Yield Among the Sample Rice Farmer-Respondents 142 5.3.1 Input Use and Yield Comparison of the Sample Rice

5.3.2 Input Use and Yield Comparison between the Treatment

5.3.3 Input Use and Yield Comparison Among the Project Sites 157 5.3.4 Input Use and Yield Comparison by Rice Variety 160 5.3.5 Input Use and Yield Comparison between Farm

Size Groups

162

5.4.1 Change in the Profitability of Rice Production over Time 164 5.4.2 Profitability Comparison between the Treatment

5.4.3 Profitability Comparison between Improved

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CHAPTER PAGE

5.4.4 Profitability Comparison between Farm Size Groups 186

5.4.5 Profitability Comparison Among Project Sites 188 5.5 Impact of Ecologically-Based Rodent Management

on Rice Yield and Income of Its Beneficiaries 190

5.5.2 Results of Estimated Average Impacts of the EBRM Technology and Its Components on Rice Yield and Income

of the Beneficiaries

197

5.6 Estimated Impact of the EBRM Technology and Its Components

on Technical Efficiency of the Beneficiaries

5.7 Estimated Impact of the EBRM Technology and Its Components

on Allocative and Economic Efficiency

258 5.7.1 Allocative Efficiency of the Sample Rice Farmers 259 5.7.2 Economic Efficiency of the Sample Rice Farmers 264

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LIST OF TABLES

1 Number of sample rice farmer-respondents by study area, An Giang

Province, Vietnam, 2006 and 2009

90

3 Age, educational attainment and farming experience of 221 sample

rice farmer-respondents by farmer groups, An Giang Province,

Mekong River Delta, Vietnam, 2009

116

4 Average household size by farmer group, 221 sample rice

farmer-respondents, An Giang Province, Mekong River Delta, Vietnam,

2006 and 2009

119

5 Average farm size by farmer groups of 221 sample rice

farmer-respondents, An Giang Province, Mekong River Delta, Vietnam,

2006 and 2009

121

6 Type of rice variety adopted by farmer groups, 221 sample rice

farmer-respondents, An Giang Province, Mekong River Delta,

Vietnam, 2006 and 2009

123

7 Changes in farmers' knowledge on rodent pest management, 88

sample rice farmer-respondents under the control group, An Giang

Province, Mekong River Delta, Vietnam, 2006 and 2009

131

sample rice farmer-respondents under the EBRM treatment, An

Giang Province, Mekong River Delta, Vietnam, 2006 and 2009

132

sample rice farmer-respondents under the CA treatment, in An Giang

133

sample rice farmer-respondents under the CTBS treatment, in An

134

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TABLE PAGE

11 Changes in farmer’s attitudes and beliefs towards rats and rat

management, 221 sample rice farmer-respondents under the treatment

and control sites, An Giang Province, Mekong River Delta, Vietnam,

2006 and 2009

136

12 Changes in farmer’s attitudes and beliefs towards rats and rat

management, 133 sample rice farmer-respondents under the CA and

CTBS treatments, An Giang Province, Mekong River Delta,

137

13 Changes in percentages of farmer rodent control practices by farmer

group, 221 sample rice farmer-respondents before and after the

implementation of the EBRM Project, An Giang Province, Mekong

River Delta, Vietnam

139

14 Percentage of farmers who applied rat control in each rice-growing

stage in the summer-autumn rice crop by the control and EBRM

farmer groups before and after the implementation of the EBRM

Project, 221 sample rice farmer-respondents in An Giang Province,

Mekong River Delta, Vietnam

141

15 Percentage of farmers who applied rat control in each rice-growing

stage in the summer-autumn rice crop by the CA and CTBS farmer

groups before and after the implementation of the EBRM Project,

133 sample rice farmer-respondents in An Giang Province, Mekong

141

16 Mean levels of input use and paddy yield in the summer-autumn

season by year, 221 rice farmer-respondents in An Giang Province,

Mekong River Delta, Vietnam, 2006 and 2009

145

season by year, 88 rice farmer-respondents under the control group in

An Giang Province, Mekong River Delta, Vietnam, 2006 and 2009

147

season by year, 133 rice farmer-respondents under the EBRM

treatment in An Giang Province, Mekong River Delta, Vietnam, 2006

and 2009

148

season by year, 63 rice farmer-respondents under the CA treatment in 150

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An Giang Province, Mekong River Delta, Vietnam, 2006 and 2009

season by year, 70 rice farmer-respondents under the CTBS treatment

in An Giang Province, Mekong River Delta, Vietnam, 2006 and 2009

151

21 Comparison of the mean levels of input use and paddy yield in the

summer-autumn season between the control and EBRM treatment

groups before and after the implementation of the EBRM Project,

221 rice farmer-respondents in An Giang Province, Mekong River

Delta, Vietnam

153

summer-autumn season between the control and CA treatment groups

before and after the implementation of the EBRM Project, 151 rice

farmer-respondents in An Giang Province, Mekong River Delta,

Vietnam

155

summer-autumn season between control and CTBS treatment groups

before and after the implementation of the EBRM Project, 158 rice

farmer-respondents in An Giang Province, Mekong River Delta,

Vietnam

157

season in the project sites before and after the implementation of the

EBRM Project, 221 rice farmer-respondents in An Giang Province,

159

season by rice variety before and after implementation of the EBRM

Project, 221 rice farmer-respondents in An Giang Province, Mekong

161

season by farm size group before and after implementation of the

EBRM Project, 221 rice farmer-respondents in An Giang Province,

163

27 Cost and returns per hectare of paddy in the summer-autumn season

by survey year, 221 sample rice farmer-respondents in An Giang

165

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TABLE PAGE

28 Cost structure per hectare of paddy in the summer-autumn season by

year, 221 sample rice farmer-respondents in An Giang Province,

Mekong River Delta, Vietnam, 2006 and 2009

167

by year, 88 sample rice farmer-respondents under the control group

169

by year, 133 sample rice farmer-respondents under the EBRM

and 2009

171

by year, 63 sample rice farmer-respondents under the CA treatment

173

by year, 70 sample rice farmer-respondents under the CTBS

and 2009

174

33 Cost and returns per hectare of paddy of the control and EBRM

groups in the summer-autumn season before and after the

implementation of the EBRM Project, 221 sample rice

farmer-respondents in An Giang Province, Mekong River Delta, Vietnam

177

34 Cost and returns per hectare of paddy of the control and CA groups in

the summer-autumn season before and after the implementation of

the EBRM Project, 151 sample rice farmer-respondents in An Giang

Province, Mekong River Delta, Vietnam

180

35 Cost and returns per hectare of the control and CTBS groups in the

summer-autumn season before and after the implementation of the

EBRM Project, 158 sample rice farmer-respondents in An Giang

183

36 Cost and returns per hectare in the summer-autumn season by rice

variety before and after the implementation of the EBRM Project,

185

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TABLE PAGE

37 Cost and returns per hectare in the summer-autumn season by farm

size group before and after the implementation of the EBRM Project,

187

38 Cost and returns per hectare in the summer-autumn season by the

project site before and after the implementation of the EBRM Project,

189

39 Probit results for participation in the EBRM treatment, 221 sample

Vietnam

193

40 Probit results for participation in the CA treatment, 151 sample

Vietnam

194

41 Probit results for participation in the CTBS treatment, 158 sample

Vietnam

195

42 Estimated mean impact of the EBRM technology on paddy yield

obtained by the farmer-beneficiaries using the unmatched sample, An

Giang Province, Mekong River Delta, Vietnam

199

obtained by the farmer-beneficiaries using the 1-to-1 nearest

neighbor matched sample, An Giang Province, Mekong River Delta,

Vietnam

200

obtained by the farmer-beneficiaries using the kernel matched

sample, An Giang Province, Mekong River Delta, Vietnam

201

45 Estimated mean impact of community action (CA) on paddy yield

obtained by the farmer-beneficiaries using the unmatched sample, An

204

46 Estimated impact of community action (CA) on paddy yield obtained

by the farmer-beneficiaries using the 1-to-1 nearest neighbor matched 205

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47 Estimated mean impact of community action (CA) on paddy yield

obtained by the farmer-beneficiaries using the kernel matched

206

48 Estimated mean impact of the community trap barrier systems

(CTBS) component on paddy yield obtained by the

farmer-beneficiaries using the unmatched sample, An Giang Province,

209

farmer-beneficiaries using the 1-to-1 nearest neighbor matched sample, An

210

farmer-beneficiaries using the kernel matched sample, An Giang Province,

211

51 Estimated mean impact of the EBRM technology on real net farm

income of rice farmers using the unmatched sample, An Giang

213

income of rice farmers using the 1-to-1 nearest neighbor matched

214

income of rice farmers using the kernel matched sample, An Giang

215

54 Estimated mean impact of community action (CA) on real net farm

income of rice farmers using the unmatched sample, An Giang

218

income of rice farmers using the 1-to-1nearest neighbor matched

219

income of rice farmers using the kernel matched sample, An Giang 221

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(CTBS) component on real net farm income of rice farmers using the

unmatched sample, An Giang Province, Mekong River Delta,

Vietnam

223

1-to-1 nearest neighbor matched sample, An Giang Province,

225

kernel matched sample, An Giang Province, Mekong River Delta,

Vietnam

226

60 MLE of the Cobb-Douglas stochastic production and technical

inefficiency functions for model 2 using the kernel EBRM matched

sample, 216 rice farmer-respondents in An Giang Province, Mekong

River Delta, Vietnam, before and after the implementation of the

EBRM Project

236

61 Technical efficiency (TE) comparison by socio-economic and farm

specific factors, 216 rice farmer-respondents using the kernel EBRM

matched sample in An Giang Province, Mekong River Delta,

Vietnam, before and after the implementation of the EBRM Project

243

inefficiency function for model 2 using the kernel CA matched

EBRM Project

246

inefficiency functions for model 2 using the kernel CTBS matched

EBRM Project

249

64 Technical efficiency (TE) comparison between the EBRM farmers

and the control farmers using the EBRM unmatched and kernel

matched samples, An Giang Province, Mekong River Delta, Vietnam,

251

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before and after the implementation of the EBRM Project

65 Technical efficiency comparison between the CA farmers and the

control farmers using the CA unmatched and kernel matched

samples, An Giang Province, Mekong River Delta, Vietnam, before

and after the implementation of the EBRM Project

254

66 Technical efficiency comparison between the CTBS farmers and the

control farmers using the CTBS unmatched and kernel matched

samples, An Giang Province, Mekong River Delta, Vietnam, before

and after the implementation of the EBRM Project

257

67 Impact of the EBRM technology and its components on allocative

efficiency (AE) using the kernel matched samples, An Giang

261

68 Results of regression analysis showing the effects of socio-economic

and farm-specific factors on economic efficiency, 216 rice

farmer-respondents using the EBRM kernel matched sample, An Giang

265

farmer-respondents using the CA kernel matched sample, An Giang

266

farmer-respondents using the CTBS kernel matched sample, An Giang

268

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LIST OF FIGURES

1 Theoretical framework for impact evaluation of the EBRM

technology using DID method

64

3 Output-oriented productivity efficiency measure 71

4 Analytical framework of impact assessment of the EBRM Project in

5 Conceptual framework showing the effects of factors on production,

technical and economic efficiency in rice production in the Mekong

8 Distribution of technical efficiency by farmers’ knowledge index on

rodent management, 216 rice farmer-respondents using the EBRM

kernel matched sample, An Giang Province, Mekong River Delta,

239

9 Distribution of technical efficiency by educational attainment, 216

rice farmer-respondents using the EBRM kernel matched sample, An

241

10 Technical efficiency comparison by the membership in a farmers’

organization, 216 rice farmer-respondents using the EBRM kernel matched sample, An Giang Province, Mekong River Delta, Vietnam, 2006 and 2009

242

11 Technical efficiency comparison by the project site, 216 rice

farmer-respondents using the EBRM kernel matched sample, in An Giang

243

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FIGURE PAGE

12 Technical efficiency comparison between the EBRM farmers and the

control farmers using the kernel matched sample, An Giang

252

13 Technical efficiency comparison between the CA farmers and the

255

14 Technical efficiency comparison between the CTBS farmers and the

258

15 Allocative efficiency comparison between the EBRM farmers and

the control farmers using the kernel matched sample, An Giang

260

16 Allocative efficiency comparison between the CA farmers and the

262

17 Allocative efficiency comparison between the CTBS farmers and the

263

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LIST OF APPENDIX TABLES

APPENDIX

1 Area damaged by rats (ha) in the Mekong River Delta and other

parts of Vietnam, 1992-1997 (adapted from Hung et al 1998)

302

2 Results of the t-test of means to determine the significance of the

differences in the mean levels of input use and paddy yield per hectare between the EBRM farmers and the control farmers, before and after the implementation of the EBRM Project

304

differences in the mean levels of input use and paddy yield per hectare between the CA farmers and the control farmers, before and after the implementation of the EBRM Project

305

differences in the mean levels of input use and paddy yield per hectare between the CTBS farmers and the control farmers, before and after the implementation of the EBRM Project

306

differences in the mean levels of input use and paddy yield per hectare between the project sites, before and after the implementation of the EBRM Project

307

differences in the mean levels of input use and paddy yield per hectare between conventional and improved varieties, before and after the implementation of the EBRM Project

308

differences in the mean levels of input use and paddy yield per hectare by farm size group, before and after the implementation

of the EBRM Project

309

8 Estimated costs of establishing a CTBS per 1,000-sq m area, 2008

summer-autumn rice season, An Giang Province, Mekong River Delta, Vietnam

310

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APPENDIX

differences in the mean production costs and income per hectare between the EBRM farmers and the control farmers, before and after the implementation of the EBRM Project

311

differences in the mean production costs and income per hectare between the CA farmers and the control farmers, before and after the implementation of the EBRM Project

312

differences in the mean production costs and income per hectare between the CTBS farmers and the control farmers, before and after the implementation of the EBRM Project

313

differences in the mean production costs and income per hectare by rice variety, before and after the implementation of the EBRM Project

314

differences in the mean production costs and income per hectare

by farm size group, before and after the implementation of the EBRM Project

315

differences in the mean production costs and income per hectare

by the project sites, before and after the implementation of the EBRM Project

316

15 Comparison of the means of pre-intervention observable farm

characteristics: EBRM vs Non-EBRM farmers in the study area (Unmatched vs Matched samples)

317

characteristics: CA vs Non-CA Farmers in the study area (Unmatched vs Matched samples)

318

characteristics: CTBS vs Non-CTBS farmers in the study area (Unmatched vs Matched samples)

319

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APPENDIX

18 Hypothesis test to determine the most appropriate functional

form (Cobb-Douglas vs Translog model), using the EBRM unmatched and kernel matched samples in An Giang Province, Mekong River Delta, Vietnam, before and after the implementation of the EBRM Project

320

19 MLE of the Cobb-Douglas stochastic frontier production

functions and technical inefficiency functions for Model 1 before and after the implementation of the EBRM Project, using the EBRM unmatched and kernel matched samples in

An Giang Province, Mekong River Delta, Vietnam

321

functions and technical inefficiency functions for Model 2 before and after the implementation of the EBRM Project, using the EBRM unmatched and kernel matched samples in

322

21 Hypothesis test to determine the presence of technical

inefficiency effects (OLS vs MLE) in the Cobb-Douglas model before and after the implementation of the EBRM Project,

using the EBRM unmatched and kernel matched samples in An Giang Province, Mekong River Delta, Vietnam

323

22 Hypothesis test to determine the most appropriate functional form

(Cobb-Douglas vs Translog model) before and after the implementation of the EBRM Project, using the CA unmatched and kernel matched samples in An Giang Province, Mekong River Delta, Vietnam

324

functions and technical inefficiency functions for Model 1 before and after the implementation of the EBRM Project, using the CA unmatched and kernel matched samples in An Giang Province, Mekong River Delta, Vietnam

325

functions and technical inefficiency functions for Model 2 before and after the implementation of the EBRM project, using the CA unmatched and kernel matched samples in An Giang Province, Mekong River Delta, Vietnam

326

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APPENDIX

using the CA unmatched and kernel matched samples in An Giang Province, Mekong River Delta, Vietnam

327

26 Hypothesis test to determine the most appropriate functional form

(Cobb-Douglas vs Translog model) before and after the implementation of the EBRM Project, using the CTBS unmatched and kernel matched samples in An Giang Province, Mekong River Delta, Vietnam

328

functions and technical inefficiency functions for Model 1 before and after the implementation of the EBRM Project, using the CTBS unmatched and kernel matched samples in

329

functions and technical inefficiency functions for Model 2 before and after the implementation of the EBRM Project, using the CTBS unmatched and kernel matched samples in

330

using the CTBS unmatched and kernel matched samples in An Giang Province, Mekong River Delta, Vietnam

331

30 Pearson correlation results for the Cobb-Douglas production

function for Model 2, 216 rice farmers using the EBRM kernel matched sample, An Giang Province, Mekong River Delta, Vietnam, 2006 and 2009

332

function for Model 2, 147 rice farmers using the CA kernel matched sample, An Giang Province, Mekong River Delta, Vietnam, 2006 and 2009

334

function for Model 2, 148 rice farmers using the CTBS kernel matched sample, An Giang Province, Mekong River Delta, Vietnam, 2006 and 2009

336

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LIST OF APPENDIX FIGURES

APPENDIX

1 Estimated rice area infected by rodents in An Giang Province,

Mekong River Delta, Vietnam, period 1998-2012

303

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ABSTRACT

HO NGOC NINH University of the Philippines Los Baños, April 2013 Farm-Level Economic Impact of Ecologically-Based Rodent Management in an Intensive Irrigated Rice System: The Case Study of Rice Farming in the Mekong River Delta, Vietnam

Major Professor: Dr Corazon T Aragon

Using panel data from 221 sample rice farmers in An Giang Province, Mekong River Delta, Vietnam, a comparison of means (t-test) and regression-based strategies along with propensity score matching (PSM) method were employed to assess the impact

of ecologically-based rodent management (EBRM) technology and its components on rice yield and net income of the rice farmer-beneficiaries of this technology Among the estimation methods used, fixed effects with the PSM method were found to be the most appropriate approach to evaluate the farm-level economic impact of the EBRM technology In addition, the study also determined the effects of the EBRM technology and its components on technical, allocative, and economic efficiency of rice farmers in the Mekong River Delta for the period 2006-2009 using stochastic frontier analysis with the PSM method

Results showed that the adoption of the EBRM technology and its components had a significant and positive impact on rice yield, real net income, technical, allocative,

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and economic efficiency The contributions of the EBRM technology to incremental paddy yield, real net income, technical, allocative and economic efficiency were approximately 0.58-0.60ton/ha, VND1.50-1.57 million/ha, 10.5 percent, 0.7 percent, and 10.1 percent, respectively Moreover, the mean effects of the community action (CA) component on paddy yield, real net income, technical, allocative and economic efficiency

of its beneficiaries were approximately 0.43-0.45ton/ha, VND1.16-1.19 million/ha, 8.9 percent, 0.5 percent, and 8.9 percent, respectively The study also found that the community trap barrier system plus community action (CTBS) component had significant contribution to the increases in paddy yield, real net income, technical, allocative and economic efficiency of the farmer-beneficiaries by approximately 0.70-0.72ton/ha, VND1.77-1.80 million/ha, 12.3 percent, 0.7 percent, and 11.7 percent, respectively These findings implied that the adoption of the EBRM technology and its components may have partly contributed to food security and household income of rice farmers in these communities

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CHAPTER I

INTRODUCTION

1.1 Background of the Study

Agriculture is an important sector in Vietnam’s economy since it provides 48.7 percent of employment and contributes about 20.6 percent to Gross Domestic Product (GDP) in 2010 (GSO, 2011) The significant food crop in Vietnam is rice, both in terms

of food security and for cultural and lifestyle reasons Vietnam is the fifth rice producer and the second largest rice exporting country in the world (behind Thailand) In 2008, it produced 38.7 million tons of paddy rice, accounting for six percent of the total world rice production (FAO, 2009) Rice is planted on about 7.4 million hectares (ha), accounting for 53.3 percent of the country’s agricultural land area and 66.3 percent of the annual crop land (GSO, 2010) It also provides about 80 percent of carbohydrate and 40 percent of protein intake of the Vietnamese people (Bui Ba Bong, 2000)

Rodents are significant pre- and post-harvest pests of lowland irrigated rice crops throughout Southeast Asia In Vietnam, about eight species of rodents are found in rice

fields and are likely to cause damage, but the key rice rodent pest is Rattus argentiventer

(Brown et al., 2006), and crop damage is approximately 10% each year (Singleton, 2003)

In Vietnam, rodent infestation is considered one of the three most important problems

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faced by agricultural producers (Huynh, 1987) In some years, rodent damage can be up

to 100% in some locations (Tuan et al., 2003) Other significant impacts include harvest losses, transmission of diseases to people and livestock (Meerburg et al., 2009), contaminated food and water, and damaged buildings and other possessions As in other areas of Asia, the rodent problem in Vietnam has increased since the 1970s in rice-based farming systems (Singleton, 2003) The most likely reasons for this are increases in area and intensity of rice production, and asynchronous planting of crops (Singleton and Petch, 1994, and Singleton, 2003)

post-The level of rodent damage is more severe for poor rural households who lack the capacity to effectively absorb the losses and damage caused by rodents Furthermore, this strongly affects households that are dependent on rice production for their livelihoods (Brown et al., 2010) With intensification of rice-growing from two to three rice crops a year, the rodent population and, consequently its damage to crops, has escalated Damage

to food crops caused by rat infestation has contributed to food insecurity in Vietnam Therefore, reducing the damage and yield loss caused by rodents will obviously have significant benefits not only for individual farmers but also to the national food security

in Vietnam

Farmers often use inappropriate methods to reduce rodent population and the negative impacts of rodent infestation They rely heavily on chemicals, causing risks to non-target species and to the environment, and generally providing poor return on investment (Singleton, 2003) Nevertheless, rodenticides are likely to remain the central management tool for controlling rodent damage in tropical agriculture (Buckle, 1999;

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Wood and Fee, 2003) Other techniques involve trapping using locally made kill traps, using a plastic barrier around their fields to exclude rodents, digging up burrows using dogs to locate active burrows, hunting rats at night with a spotlight, encouraging cats around houses, fumigating burrows, and flooding burrows with water (Tuan et al., 2003) Rodent management undertaken by farmers is generally conducted individually, in an uncoordinated manner, or is only carried out when rodent damage has already occurred (Brown et al., 2006)

During the period 1992 -2008, the average area of rice severely affected each year

by rodents was about 100,000 ha, which is about 1.3 percent of the area planted In some years, however, the area of severe damage can reach 700,000 ha (in 1998) or 8.9 percent

of the area planted High crop losses to rodents occurred in Vietnam during 1996 to 1999 The cause of these outbreaks was attributed to unusual rainfall events, which led to asynchronous planting and harvesting of rice crops over large areas (Hung et al, 1998) (Appendix Table 1) Hence, high-level national policies aimed at reducing the rodent problem were released in 1998 The Prime Minister of Vietnam at that time promulgated

Decree No 09/1998/CT-TTg on 18 February 1998, which stressedon urgent measures to manage rodents and protect crop production The Ministry of Agriculture and Rural

Development (MARD) subsequently issued Circular 05/1998/TT-BNN-BVTV, which provided detailed guidelines for provinces in implementing Decree No 09/1998/CT-TTg MARD officially requested that the provinces implement Decree No 09/1998/CT-TTg by

focusing on the following key measures: traditional practices to catch rats such as trapping, digging, sticky baiting, etc., restrictingthe use of highly toxic chemicals,

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banning the use of electric current for rat control, and encouragingthe production of biochemical products that are not harmful to human health and the environment (Huan et al., 2010) Since then, the rodent pest problem had been solved significantly However, farmers continued to rely essentially on chemicals, which could have negative impacts on human and animal healthand biodiversity in rural areas

In addition, governments tended to respond to outbreaks rather than chronic problems, and farmers relied on chemical and physical methods applied after rodents have already damaged the crop (Palis et al., 2007) Some common rodent control methods used by farmers were the application of poison chemicals, field sanitation (cleaning up of food sources and piles of rubbish that provide rodent habitat), digging of rodent burrows to catch rats, and electrocution However, these methods were ineffective

in controlling rats in the field since farmers lacked the knowledge of the ecology of rodent pest species, the relationship between cropping systems and rodent population dynamics, and the awareness on rodent management at the community level (community- based approach) during the early 1990s

As a consequence of the widespread outbreaks of rodent populations in the 1990s,

a concerted effort was made to study rodent population ecology, the damage rodents cause, and to design appropriate management strategies The Australian government, through the Australian Centre for International Agricultural Research (ACIAR)-funded collaborative research from 1996 to 2002, concentrating on the basic ecology of the major rodent pest species, and developing and validating management options, and, from

2006 to 2010, concentrating on adoption, outreach, and impact assessment These

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projects led to increased capacity within the country and also rigorous assessment of community-based rodent control strategies tested through participatory engagement with farmers and extension agencies (Huan et al., 2010)

In more detail, ACIAR-funded three projects in 1994, 1996 and 1998 regarding the management of rodent pests in Southeast Asia (including Vietnam) The first two

projects entitled Management of rodent pests in Southeast Asia(AS1/1994/020), and Management of rodent pests in Vietnam(AS1/1996/079)aimed to establish a better understanding of the population ecology and habitat use of rodent pests, examine rat damage in rice fields, test management strategies including the rigorous assessment of the trap plus barrier system (TBS) and thereby develop environmentally friendly and sustainable rodent control technologies (Palis et al., 2004, and Brown et al., 2010)

The results of these two projects provided a solid platform for the implementation

of a 4-year follow-up project entitled Managing rodents pests in rice-based farming systems in Southeast Asia(AS1/1998/036), which had five components: (1) the community trap barrier system (CTBS), (2) integrated rodent management at the village level (IRM-V), (3) forecasting and ecology of rodent populations, (4) biological control, and (5) rodent pest network and training The key aims of this work were to field-test a combination of community actions (CA) for rodent management in combination with the CTBS In Vietnam and Indonesia, large-scale replicated field studies were conducted over a 4-year period that involved farming communities in the testing and evaluation of the practices There was a pre-treatment period, and then 3years of ecologically-based rodent management (EBRM) strategies were implemented Assessments were made of the

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knowledge, attitudes and practices of farmers to rodent management, and economic assessments of management were conducted using benefit-cost ratios (Palis et al., 2004, and Brown et al., 2010)

In 2006, ACIAR funded another rodent management project, entitled

Implementation of rodent management in intensive irrigated rice production systems in Indonesia and Vietnam (ADP/2003/060) This is the fourth in a line of projects that have

addressed the problem of rodents in the lowland irrigated rice farming system, and identified and tested a range of management strategies leading to some large-scale replicated field experiments at the village-level to develop recommendations for management This project was designed to implement EBRM which can reduce rat damage, increase yields and reduce the reliance on rodenticides This project builds on the findings from previous ACIAR projects (AS1/1998/036) EBRM relies on an understanding of the ecology of rats which then governs better integrated community actions (synchronised cropping, field and village hygiene, rat hunts at key times) and the CTBS(a plastic fence set with rat traps enclosing a small area of early-planted rice) These approaches need community cooperation Key issues are how to deliver EBRM to the wider farming community, develop extension materials, increase cost-effectiveness, build the capacity of support staff, and develop pathways to enhance the adoption of EBRM Project activities occurred in lowland irrigated rice systems in Vietnam (Ha Nam Province

in the Red River Delta and An Giang Province in the Mekong River Delta) It involved a multidisciplinary team of research and extension agencies in Vietnam, Philippines and Australia (Brown et al., 2010)

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The key issues that were to be addressed in the current project (ADP/2003/060) were to: (1) understand how community-based management recommendations could be incorporated within existing structures; (2) understand the social and economic constraints that might enable farmers to take up the technologies; (3) enable functional institutional arrangements that allow effective communication to facilitate delivery of technologies through to influencing government policy; (4) provide joint ownership of projects (farmers through to government officials); (5) improve farmers’ livelihoods through adoption of EBRM strategies; (6) develop efficient extension networks; and (7) involve nongovernment organizations (NGOs) to assist with regional adoption of EBRM

This project was implemented in two provinces/regions in Vietnam, namely: An Giang Province (Mekong River Delta) and Ha Nam Province (Red River Delta) from 2006-2010 While both are lowland irrigated rice cropping systems, they are different, and the findings from this project can demonstrate the utility and robustness of EBRM strategies over a range of lowland irrigated rice agro-ecosystems However, this study only focused on the implementation and its economic impact on rice production in the Mekong River Delta, Vietnam

1.2 Statement of the Problem

Rice is grown in many areas throughout Vietnam, but the two principal areas are the Red River Delta in northern Vietnam, and the Mekong River Delta in southern Vietnam, which are large low-lying areas with good soil and water resources Rice

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production in Vietnam is mostly concentrated in the Mekong River Delta, which consists

of 13 provinces and covers12 percent of the total country’s land area The Mekong River Delta covers more than 4million ha of natural land area, two-thirds of which is agricultural land, and the rest is comprised of rivers and other uses (GSO, 2009) The Mekong River Delta plays a significant and strategic role in attaining the food security of Vietnam It contributes about 52 percent of the country’s rice production and 40 percent

of the regional Gross Domestic Product (GDP) as well as accounts for 90 percent of the country’s rice export in volume

Rice cultivation is the most important sub-sector in the Mekong River Delta since

it plays a crucial role in employment creation and income generation, especially from rice exports, poverty reduction, and food security for the region and for the country as a whole However, it is difficult to expand rice production by increasing rice land area or crop intensification since almost all the agricultural land in the Mekong River Delta has been utilized The Mekong River Delta is an intensive irrigated rice farming system which grows two or three rice crops per year There are also limitations related to crop intensification such as soil erosion, pest infestation, and especially high yield losses due

to rodent pest damage in rice fields

In the Mekong River Delta as in other regions in Vietnam, rodent pest damage is one of the main constraints in rice production Rodent pests were a growing problem in the rice agro-ecosystems of the Mekong River Delta, and in Vietnam as a whole during the early 1990s However, little is known about which rodent species are responsible for losses to crop production, let alone how best to manage their impact According to Brown

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et al.(1999), a survey of rat species in nine provinces in the Mekong River Delta found

that the dominant rodent species in rice ecosystems were the ricefield rat, Rattus argentiventer (60%) and the lesser rice field rat, Rattus losea (15%) Ten other species

accounted for the remaining 25 percent of the population, and were unlikely to cause significant damage to pre-harvest rice The area damaged and yield losses by rats increased over time and reached 130,000 ha over most provinces of the Mekong River Delta in 1996 (Brown et al., 1999) The factors that have led to increased losses include more intensive farming and a general increase from two to three crops planted per year (Singleton and Petch, 1994)

During the project implementation period (2006-2009), positive results from the adoption of EBRM were observed and documented in some publications such as reducing rodenticide use, increasing rice yield, and changing farmers’ attitudes and practices towards rodent management However, particularly in the Mekong River Delta, many rice farmers still opt to use rodenticides and traditional practices in an uncoordinated manner to manage the rodent pest instead of the EBRM technology Perhaps, there is lack of information on the overall economic benefits of adopting the EBRM technology Hence, there is a need to conduct an empirical study on the economic impact of the EBRM technology on rice production in the Mekong River Delta, Vietnam, as a case study

Furthermore, most EBRM studies, particularly in the Mekong River Delta of Vietnam, focused more on analyzing the biological, social and cultural aspects of rodent management and its impact on rice production in general using experimental methods or using household survey data at the farm level by applying simple descriptive statistical

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methods To date, no analysis has been done to measure the economic impact of EBRM

on rice production using “new generation” impact evaluation methods such as regression analysis with difference-in-difference method and propensity score matching techniques using farm level panel data In addition, there have been no studies on technical efficiency, allocative efficiency and economic efficiency of rice production in the Mekong River Delta associated with adopting the EBRM technology Hence, this study provided more reliable methodologies of good ex-post impact evaluation techniques to assess the farm-level economic impacts of the EBRM technology in Vietnam

1.3 Objectives of the Study

The general objective of the study is to assess the farm-level economic impact of the EBRM technology on rice productivity, farm income, and economic efficiency of rice farmers in the Mekong River Delta, Vietnam Specifically, the study aimed to:

1 Describe the socioeconomic characteristics of the sample rice farmer-participants and non-participants of the EBRM Project;

2 Determine the changes in the rice farmers’ attitudes towards rodent management and their rodent management practices over time;

3 Assess the impact of adopting the EBRM technology and its components on rice productivity and net income from rice production;

4 Measure and compare the impact of EBRM on technical efficiency, allocative efficiency and economic efficiency levels between EBRM participants and non-

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participants and identify the major determinants of technical and economic efficiency of rice farmers; and

5 Recommend policy measures to improve the performance and increase the adoption of the EBRM technology to achieve sustainable resource management and food security in Vietnam

1.4 Significance of the Study

Results of the study provided useful information on the economic impacts on rice producers of adopting EBRM in the rice sub-sector in the Mekong River Delta Such information can guide policymakers in formulating appropriate intervention and strategies to increase the adoption of rodent management technologies to reduce production risks of rice farmers and improve their economic welfare in the Mekong River Delta Furthermore, the results of this study will contribute to a better understanding of the economic benefits of adopting EBRM on rice production and then will encourage rice farmers to adopt this technology effectively and sustainably

Finally, the study serves as a methodological guidance using “new generation” research methods for future studies on the economic impact assessment of a given agricultural technology

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CHAPTER II

REVIEW OF LITERATURE

2.1 Ecologically-Based Rodent Management

2.1.1 Empirical Studies Related to the Evolution of

Ecologically-Based Rodent Management

In 1996, a review of pest management of insects and weeds by the Board on Agriculture of the National Research Council (NRC) of the United States of America, highlighted that the practice of integrated pest management (IPM) has generally not been consistent with its underlying philosophy They contend that there has been too much focus on pest scouting and precise application of pesticides They argue that there is a need to refocus objectives from pest control to pest management and this requires greater emphasis on ecological research and a systems approach (National Research Council, 1996) This extension and refocusing of the ecological aspects of IPM led the NRC to develop a concept termed ‘ecologically-based pest management (EBPM)’ The fundamental goals of EBPM are threefold: (1) to minimize adverse effects on non-target species and the environment; (2) to develop an approach that is economic for end-users,

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particularly farmers, in both developed and developing world; and (3) to establish an approach that is durable (Singleton et al., 1999a)

The development of IPM for rodents has followed a path similar to IPM for insects The primary foci have been the development of simple monitoring systems to decide whether or not to instigate a baiting campaign, and the development of effective patterns of use for particular rodenticides Generally, the focus in rodent control has been mostly to achieve a visible increase in mortality, without appropriate attention to other demographic processes or ecological compensation mechanisms (Singleton et al 1999a)

For rodents, an ecological basis for control was suggested many years ago (Hansson and Nilsson 1975; and see also Redhead and Singleton, 1988) but the implementation of those early ideas has been largely overlooked (Singleton et al., 1999a) After several decades of unsuccessful control, a new strategy was developed based on a long-term population dynamics study and biological simulations A complete solution of the problem was obtained in less than 6 years through integrating knowledge about the animal’s biology and behavior with well-organized control scheme with attractive incentive for trappers (Gosling and Baker, 1989) The advantages of viewing biological control of rodents as part of an integrated ecologically based approach to rodent management rather than a simple panacea for control has been reviewed by Singleton and Brown (1999b) For simplicity, they proposed that this strategy be termed ‘ecologically-based rodent management (EBRM)’,

EBRM, whose primary aim is to provide effective and economic management of rodent pests, is regarded as the most rational strategy for the future EBRM is essentially

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