The Reducing Emissions from Deforestation and Forest Degradation (REDD+) programme is offering developing countries financial incentives by creating financial values for the carbon stored in forests. The main aim of this initiative is to combat climate change, deforestation and forest degradation. It also includes forest conservation, sustainable management of forests and enhancement of forest carbon stocks. However, in a decade in which community forest management initiatives are rising, the REDD+ programme could reverse this process in putting forest governance on national level again. This could have severe consequences for local forestdependent communities. Many local forest communities are indigenous peoples. They have often created complex forest management systems, which are deeply intertwined with their social, cultural and religious lives. Many of those systems have already been changed or altered by the state or other conservation agencies, but communitybased forest management (CBFM) and benefit sharing mechanisms (BSM) seemed to have revised indigenous forest management systems. Vietnam has implemented various REDD+ programmes, including that of the United Nations (UNREDD), the World Bank and various nongovernmental organizations (NGOs). Besides that, the country is home to many forestdependent indigenous peoples. Since the late 1980s, forest governance has been devolving in Vietnam, and local governments, communities and local households have more involvement and rights in the forest management of the country. BSM and CBFM have been introduced, and communities and local households were entitled to financial and inkind rewards for forest conservation. The question which arises is in what way will REDD+ be implemented in the forestgovernance arrangements of Vietnam, as well as the socioecological systems of the affected communities. Therefore, the central question of this study is: In what way does REDD+ integrate into the local forest governance context, and what will be its outcomes on livelihoods and socio II ecological systems?
Rethinking Livelihoods, Forest Governance and Socio-ecological Systems: The State of REDD+ in Vietnam BAYRAK, Mucahid Mustafa A Thesis Submitted in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy in Geography and Resource Management The Chinese University of Hong Kong July 2015 ProQuest Number: 10037080 All rights reserved INFORMATION TO ALL USERS The quality of this reproduction is dependent upon the quality of the copy submitted In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted Also, if material had to be removed, a note will indicate the deletion ProQuest 10037080 Published by ProQuest LLC (2016) Copyright of the Dissertation is held by the Author All rights reserved This work is protected against unauthorized copying under Title 17, United States Code Microform Edition © ProQuest LLC ProQuest LLC 789 East Eisenhower Parkway P.O Box 1346 Ann Arbor, MI 48106 - 1346 Thesis Assessment Committee Professor FUNG Tung (Chair) Professor Lawal Mohammed MARAFA (Thesis Supervisor) Professor NG Sai Leung (Thesis Co-supervisor) Professor XU Yuan (Committee Member) Professor LIU Jinlong (External Examiner) Abstract of the thesis entitled: Rethinking Livelihoods, Forest Governance and Socio-ecological Systems: The State of REDD+ in Vietnam Submitted by Bayrak, Mucahid Mustafa for the degree of Doctor of Philosophy in Geography and Resource Management at The Chinese University of Hong Kong in July 2015 The Reducing Emissions from Deforestation and Forest Degradation (REDD+) programme is offering developing countries financial incentives by creating financial values for the carbon stored in forests The main aim of this initiative is to combat climate change, deforestation and forest degradation It also includes forest conservation, sustainable management of forests and enhancement of forest carbon stocks However, in a decade in which community forest management initiatives are rising, the REDD+ programme could reverse this process in putting forest governance on national level again This could have severe consequences for local forest-dependent communities Many local forest communities are indigenous peoples They have often created complex forest management systems, which are deeply intertwined with their social, cultural and religious lives Many of those systems have already been changed or altered by the state or other conservation agencies, but community-based forest management (CBFM) and benefit sharing mechanisms (BSM) seemed to have revised indigenous forest management systems Vietnam has implemented various REDD+ programmes, including that of the United Nations (UN-REDD), the World Bank and various non-governmental organizations (NGOs) Besides that, the country is home to many forest-dependent indigenous peoples Since the late 1980s, forest governance has been devolving in Vietnam, and local governments, communities and local households have more involvement and rights in the forest management of the country BSM and CBFM have been introduced, and communities and local households were entitled to financial and in-kind rewards for forest conservation The question which arises is in what way will REDD+ be implemented in the forest-governance arrangements of Vietnam, as well as the socio-ecological systems of the affected communities Therefore, the central question of this study is: In what way does REDD+ integrate into the local forest governance context, and what will be its outcomes on livelihoods and socioI ecological systems? This research will focus on four communes in Vietnam: Huong Hiep, Thuong Nhat, Hieu and Bao Thuan Huong Hiep has pre-REDD+ and pre-BSM arrangements, Thuong Nhat has BSM arrangements, Hieu is involved in a REDD+ programme of a NGO, and Bao Thuan is involved in the UN-REDD programme First, Huong Hiep and Thuong Nhat commune are analyzed to explore the potential livelihood impacts of REDD+ Then, Hieu and Bao Thuan are analyzed to explore the integration of REDD+ in the socio-ecological systems of the affected communities Finally, the last part of this thesis will deal with the role of CBFM in REDD+ and BSM Could CBFM mitigate the negative impacts of REDD+ and BSM? II 摘要 再思社區生計、森林管治和社會及生態系統：越南 REDD+項目的狀況 通 過 減 少 砍 伐 森 林 和減 緩 森 林 退 化 而 降 低溫 室 氣 體 排 放 的 專 案（ 簡 稱 為 REDD+），將森林碳匯轉換為了財政價值，極大激勵了發展中國家的發展。 這個項目主要是為了應對氣候變化、森林砍伐以及森林退化而提出。它同時也 包括森林保護、森林可持續管理以及增強森林碳儲藏等方面的內容。然而，近 十年來，隨著社區森林管理專案的興起，REDD+專案可以借此機會將森林管 制重新提升到國家層面。這可能會嚴重影響當地一些依賴森林發展的社區。許 多當地的森林社區住著土著居民。他們經常創建複雜的森林管理系統，並與他 們的社會文化及宗教生活交織在一起。許多管理系統已經被政府或者其他保護 機構改變，但是以社區為基礎的森林管理（簡稱為 CBFM）以及利益導向機制 （簡稱為 BSM）似乎已經修訂了本土的森林管理體系。 越南已經貫徹實施了各種 REDD+專案，包括聯合國（UN-REDD）、世界銀 行以及不同非政府機構（NGOs）發起的專案。除此之外，越南還居住著許多 依賴森林的土著居民。自 20 世紀 80 年代以來，越南的森林管制權利已逐漸下 放，當地政府、社區以及本地居民擁有更多的權利，並參與到國家的森林管理 中。隨著 BSM 和 CBFM 這兩種方式的逐漸推廣，社區和本地居民有權分享到 森林保護帶來的各種金錢和實物回報。同時，也會引發一些問題，例如， REDD+如何結合越南當下的森林管制系統以及社會生態系統進行具體的貫徹 實施。因此，這項研究的中心問題是：REDD+將以哪種方式融入到本地森林 管制背景中，它將對生計和社會生態系統造成什麼樣的效果？ 本研究將以越南的四個社區為例，即 Huong Hiep, Thuong Nhat, Hieu and Bao Thuan。Huong Hiep 社區沒有 REDD+和 BSM 方式，Thuong Nhat 有 BSM 方式， Hieu 參與了一個 NGO 的 REDD+專案，Bao Thuan 參與了一個聯合國的 REDD 專案。首先，對比分析 Huong Hiep 社區和 Thuong Nhat 社區，探討 REDD+專 案對於生計的潛在影響；其次，對比分析 Hieu 社區和 Bao Thuan 社區，探討 REDD+專案與本地社會生態系統的整合；最後，論文分析了 REDD+項目中 CBFM 和 BSM 分別發揮的作用，以及 CBFM 是否能減少 REDD+和 BSM 方式 帶來的負面效應。 III PUBLISHED PAPERS DURING PHD STUDY Refereed Journals 1) Bayrak, M.M., Tran, T.N and L.M Marafa 2014 Creating Social Safeguards for REDD+: Lessons Learned from Benefit Sharing Mechanisms in Vietnam Land 3(3), 1037-1058 2) Bayrak, M.M., Tran, T.N and P Burgers 2013 Restructuring space in the name of development: the socio-cultural impact of the Forest Land Allocation Program on the indigenous Co Tu people in Central Vietnam Journal of Political Ecology 20, 37-52 Refereed Book Chapters 3) Bayrak, M.M and L.M Marafa 2015 The Role of and for Sacred Forests and Traditional Livelihoods in REDD+: Two Case Studies in Vietnam's Central Highlands In: M Cairns (ed.) Shifting Cultivation Policy: Trying to Get it Right Oxon and New York: Earthscan, Routledge (forthcoming) 4) Bayrak, M.M., Tran, T.N and P Burgers 2015 Formal and Indigenous Forest Management Systems in Central Vietnam: Implications and Challenges for REDD+ In: M Cairns (ed.) Shifting Cultivation and Environmental Change: Indigenous People, Agriculture and Forest Conservation Oxon and New York: Earthscan, Routledge, pp.319-334 5) Tran, T.N and M.M Bayrak 2014 Integrating REDD+ and customary forest management in Vietnam In: Broekhoven, G and Wit, M (eds.) Linking FLEGT and REDD+ to Improve Forest Governance Wageningen, the Netherlands: European Tropical Forest Research Network and Tropenbos International, pp 109 - 117 6) Bayrak, M.M., Ha, V.T and L M Marafa 2013 Making REDD+ Local in Vietnam – The Dynamics and Challenges of a Pre-REDD+ Commune in Quang Tri, Vietnam In: Marios, S., Chris, G., Le, T.T., and Nguyen, V.T (eds.) Sustainable Built Environment: For Now and the Future Hanoi: Construction Publishing House, pp 597 – 604 Policy Briefs 7) Liem, D.T., Bayrak, M.M and V.D Tran 2015 FPIC-Based Community Consultation in Developing REDD+ Projects: Lessons Learnt from Kon Tum Province and Other Sites Fauna & Flora International REDD+ Policy Brief #002, January 2015 8) Liem, D.T and M.M Bayrak 2015 Lessons Learned From Forestland Allocation and Land Tenure Arrangements Fauna & Flora International REDD+ Policy Brief #001, January 2015 Conference Proceedings 9) Bayrak, M.M and L M Marafa 2014 Changing the indigenous landscape of the Co Tu people in Vietnam Proceedings of the International Conference on “Transforming Societies: Contestations and Convergences in Asia and the Pacific”, Chiang Mai University and the Asia Pacific Sociological Association, Thailand IV ACKNOWLEDGEMENTS This thesis has been supported by the Worldwide Universities Network (WUN) Research Development Fund (Titled: Adopting REDD+ for Conservation, Sustainable Community Livelihood and Climate Change Mitigation), Zhongjian Dongfang Gao's Scholarship for Resource Management Study, and Lion Dr Francis K Pan Scholarship This thesis has been institutionally supported by the Department of Geography and Resource Management of the Chinese University of Hong Kong (CUHK), CUHK Graduate School, Hue University of Agriculture and Forestry (HUAF), Hue University (Hue Uni.), and North-Central Vietnam Forestry Science and Production Center (NCFSPC) I have also worked on my thesis at the School of Geosciences of the University of Sydney as Visiting Scholar, which was sponsored by the CUHK Global Scholarship Programme All opinions expressed in this thesis are mine and not necessarily represent the opinions of the individuals and organizations mentioned here, and any errors that remain are my sole responsibility I would like to offer my sincere gratitude to everyone who helped me in writing this thesis Without the support of you all, I would have never been able to write this thesis I am grateful to all, and this thesis is an ode to everyone who has supported me for the last four years First of all, my sincere thanks go to Prof Lawal M Marafa He was not only my academic supervisor, but also mentor, friend, and life coach I have disturbed him so many times with my questions, but he was always there and always helpful He introduced me to his wonderful family He also took the time to travel with me to Vietnam for a research visit I couldn’t have wished for a better supervisor than Prof Marafa Thank you Professor Lawal Marafa My sincere thanks also go to my co-supervisor Prof Ng Sai Leung, my committee chair Prof Fung Tung and committee member Prof Xu Yuan, Head of Department Prof Shen Jianfa, Head of the Graduate programme Prof Xu Jiang, Prof David Chen, Prof K.C Chau, Prof Leung Yee, Prof Edward Yiu, and all the members of the Department of Geography and Resource Management, my family for the last four years Sincere thanks also to Prof Liu Jinlong (Renmin Uni.) and Prof Mervyn R Peart (HKU) for examining my long thesis My special thanks are also reserved for my wonderful colleagues I am very sad to leave you guys, but I thank you for the friendship, collegiality, and support during V Rasul, G., Thapa, G B., & Zoebisch, M A (2004) Determinants of land-use changes in the Chittagong Hill Tracts of Bangladesh Applied geography, 24(3), 217-240 RECOFT – The Center for People and Forests (2010) Evaluation and Verification of the Free, Prior and Informed Process under the UN-REDD Programme in Lam Dong Province, Vietnam, November 2010 Redford, K.H & Adams, W.M (2009) Payment for Ecosystem Services and the Challenge of Saving Nature Conservation Biology 23(4): 785 -787 Reed, P (2011) REDD+ and the Indigenous Question: A Case Study from Ecuador Forests 2(2): 525-549 Reid, A., Teamey, K., & Dillon, J (2002) Traditional ecological knowledge for learning with sustainability in mind Trumpeter, 18(1) Research Center of Forest and Wetlands – Forwet (2013) Báo Cáo Kết Quả Khảo Sát Tình Hình Khoán Bảo Vệ Rừng Cho Hộ Dân Ở Xã Đa Sar Và Giao Rừng Cho Cộng Đồng Ở Xã Bảo Thuận, Xã Phú Hội, Tỉnh Lâm Đồng [Survey Report on forest contracts to Da Sar commune and forestland allocation to communities in Bao Thuan and Phu Hoi commune, Lam Dong Province], December, 2013, Ho Chi Minh City Research Centre for Forest Ecology and Environment - RCFEE (2011) Final Report on Forest Ecological Stratification in Vietnam UN-REDD Programme, Hanoi, Vietnam Resosudarmo, I A P., Atmadja, S., Ekaputri, A D., Intarini, D Y., Indriatmoko, Y., & Astri, P (2014) Does tenure security lead to REDD+ project effectiveness? 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The Companion to Development Studies Oxon and New York: Routledge, pp 230 – 235 351 352 [...]... well as governments and private actors are involved in REDD+ readiness activities and pilot projects 1.1.3 Changing narratives in forest governance REDD+ is part of the changing trends in the global forest governance Current trends in forest governance show three processes: 1) decentralization of forest management; 2) logging concessions in publicly owned commercially valuable forests; and 3) timber certifications... Figure 1.1: Increase in average global temperature (1850-2020) Source: IPCC WG1 2013 1.1.2 Reducing Emissions from Deforestation and Forest Degradation One of the outcomes of the COPs is the Reducing Emissions from Deforestation and Forest Degradation programme (REDD+) REDD+ is a global programme, which was initiated in 2007, that recognizes the significance of forests in reversing and mitigating global... on The tragedy of the commons” and followed up by Ostrom’s (1990) response with “Governing the commons” Various key principles were identified which should ensure sustainable forest and natural resource management, including setting boundaries, rules and sanctioning process, monitoring, and so on (Agrawal 2001) Around the same time the theory on the commons was being developed, the resilience and. .. stresses, and shocks, such as floods, droughts, and natural hazards (ISPONRE 2009) It should therefore not come as a surprise that Vietnam is one of the pioneering countries of REDD+ and UN-REDD, destined to combat the negative consequences of global climate change on the country and its people 1.2 PROBLEM STATEMENT Global climate change, changing approaches in forest governance, and the complex and interdependent... arrangements question Hardin (1968)’s thesis on the tragedy of the commons Namely, these arrangements prove that institutions and rule-making do matter in sustainably managing the commons, and that the tragedy of the commons is not necessarily inevitable (Ostrom 1990) REDD+, however, proves a new challenge to the world’s forests Are external agencies on a global level able to implement forest governance mechanism... customary institutions and classifications in BSM and CBFM 273 9.2.3 A typology of forest- dependent households in Vietnam 274 9.3 How did REDD+ shape socio-ecological systems? 276 9.3.1 REDD+ and the coffee smallholders of Bao Thuan 278 9.3.2 REDD+ and the swiddeners of Hieu 279 9.3.3 Implications for REDD+ 281 9.4 What roles do local communities have? 9.4.1 Communities and the mitigating effects of CFM... disasters, and contain cultural and spiritual values for many people and communities Forests not only contribute to our own well-being but to all living species on Earth (MEA 2005a) As a response to the devastating state of forests and the natural environment in the 1980s, Our Common Future (WCED 1987) was one of the first influential documents which coined the term sustainable development Sustainable... 2008) The way how REDD+ shapes current forest governance processes remains a matter of debate (Phelps et al 2010) Simultaneous to REDD+ implementations, new forms of forest management and governance have emerged, including: community-based forest management, benefit sharing in forest protection, payment for environmental services, and devolution of forest tenure and rights (Agrawal et al 2011) These... Second-tier attributes of the SES framework 60 Table 2.4: Similarities between the SES framework and the framework on socialecological practices 61 Table 2.5: Conceptualizing space in the forests, livelihoods and governance debate 63 Table 3.1: REDD+ and forest- dependent communities 87 Table 4.1: Forest cover in Vietnam 100 Table 4.2: Forest classifications in Vietnam in 2012 102 Table 4.3: Forest management... countries for conserving their forests through carbon credits (UN-REDD 2013) Currently, the two main multilateral readiness platforms for REDD+ are the United Nations Collaborative Programme on Reducing Emissions from Deforestation and Forest Degradation in Developing Countries (UN-REDD) and the Forest Carbon Partnership Facility (FCPF) of the World Bank Furthermore, various international and non-governmental ... (Committee Member) Professor LIU Jinlong (External Examiner) Abstract of the thesis entitled: Rethinking Livelihoods, Forest Governance and Socio-ecological Systems: The State of REDD+ in Vietnam Submitted... Forests in Vietnam 98 4.3.1 The ecology of Vietnam 98 4.3.2 Forest governance and administration in Vietnam 100 4.3.3 Trends in forest governance 105 4.4 REDD+ in Vietnam 111 4.4.1UN-REDD in Vietnam. .. Changing narratives in forest governance REDD+ is part of the changing trends in the global forest governance Current trends in forest governance show three processes: 1) decentralization of forest