Gis application to identify payment for forest environment service case study in dak nong hydropower plant dak nong province

MINISTRY OF AGRICULTURE AND RURAL DEVELOPMENT VIETNAM FORESTRY UNIVERSITY STUDENT THESIS GIS APPLICATION TO IDENTIFY PAYMENT FOR FOREST ENVIRONMENT SERVICE: CASE STUDY IN DAK NONG HYDROPOWER PLANT, DAK NONG PROVINCE Major: Natural Resources Management (Advanced Curriculum) Code: D850101 Faculty: Forest Resources and Environmental Management Student: Le Chi Dung Student ID : 1053091724 Class: K55 Natural Resources Management Course: 2010 – 2014 Advanced Education Program Developed in collaboration with Colorado State University, USA Supervisor : Asso Prof Tran Quang Bao, Ph.D Hanoi, November 2014 ACKNOWLEDGEMENT Thesis “Gis application to identify payment for forest environment service: case study in Dak Nong hydropower plant, Dak Nong province” was completed under the advanced training program, collaboration between Vietnam Forestry University and Colorado State University, USA Foremost, I would like to express my sincere gratitude to my supervisor, Assoc Prof Tran Quang Bao for his patience, motivation, enthusiasm, and immense knowledge His guidance helped me in all the time of research and writing of this thesis Besides my supervisor, I would like to thank the rest of my thesis committee: Prof Lee H MacDonald, MSc Pham Van Duan, MSc Le Sy Doanh, and MSc Nguyen Viet Hung for their encouragement, insightful comments, and hard questions A special thanks to my family Words cannot express how grateful I am to my parents, and my sister for all of the sacrifices that you’ve made on my behalf I would also like to thank all of my friends who supporting and encouraging me in process of thesis completion Because of limited proficiency in many aspects, this thesis cannot be avoided certain shortcomings I am very happy to receive any comments I sincerely thank you! Hanoi, November 2014 Student Le Chi Dung TABLE OF CONTENTS ACKNOWLEDGEMENT I INTRODUCTION II OBJECTIVES III METHODOLOGY 3.1 Data source 3.2 Method of defining watershed boundaries for DAK NONG hydropower plant 3.3 Method of mapping K coefficient 3.3.1 Method of mapping K1 coefficient based on forest status 3.3.2 Method of mapping K2 coefficient based on forest type 3.3.3 Method of mapping K3 coefficient according to forest’s formative origin 3.3.4 Method of mapping K4 coefficient based on the difficulty level of forest protection 3.3.5 Method of mapping of the synthetic K coefficient 3.4 Method of determining of the amount of money paid for forest environmental services for forest owners in the basin IV RESULTS 10 4.1 Dak Nong hydropower watershed boundaries 10 4.2 K coefficient map 11 4.2.1 K1 coefficient map based on forest status 11 4.2.2 K2 Coefficient Map based on forest types 13 4.2.3 K3 coefficient map according to the forest’s formative origin 15 4.2.4 Map of K4 coefficient based on the difficulty levels of forest protection 16 4.3 Map of synthetic K coefficient 28 4.4 Applications of K coefficient map to determine amount of money paid for PFES for forest owners in the basin 29 V DISCUSSION 32 VI CONCLUSIONS 34 REFERENCES LIST OF ABBREVIATIONS PFES Payment for forest environment service FES Forest environment service DEM Digital elevation model VND Vietnam Dong PFF Provincial forest protection and development fund MARD Ministry of Agriculture and Rural Development IFEE Institute for Forest Ecology and Environment LIST OF TABLES Table 4.1 Morphological features of Dak Nong hydropower basin 10 Table 4.2 : Aggregate area under forest status of Dak Nong hydropower basin 12 Table 4.3 Aggregate area under forest types of Dak Nong hydropower basin 14 Table 4.4 Aggregate area according to the forest’s formative origin 16 Table 4.5 Status, forest area according to the distance to nearest road 18 Table 4.6 Status, forest area according to slope levels 21 Table 4.7 Status, forest area according to elevation levels 24 Table 4.9 Aggregate forest area of Dak Nong hydropower basin according synthesis K coefficient 29 Table 4.10 Amount paid for each forest status in Dak Nong hydropower basin 31 LIST OF FIGURES Figure 4.1 : Dak Nong hydropower watershed boudaries 10 Figure 4.2 : K1 coefficient Map according to the forest’s state 11 Figure 4.3 : K2 coefficient map based on forest type 13 Figure 4.4 : K3 coefficient map according to the forest’s formative origin 16 Figure 4.5 : sub K4 coefficient map according to distance to nearest road 17 Figure 4.6 : Sub K4 coeficient map according to slope 20 Figure 4.7 : Sub K4 coefficient map according to elevation 23 Figure 4.8 : K4 coefficient map based on the difficulty level of forest protection 26 Figure 4.9 : Synthetic K coefficient map 28 I INTRODUCTION Natural ecosystems play an important role for life and human existence, especially forest ecosystems Forests not only provide raw materials such as fire wood, wood for some manufacturing, but also help maintain and protect habitat, contribute to the sustainability of every country in the world However, the current situation of forest resources in the world in general and Vietnam in particular are reducing in both quantity and quality Consequently biodiversity and ecological functions of forests in environmental protection, disaster prevention, global warming are declining At the real situation, for better management and use of forest resources in a sustainable manner, Vietnam government has implemented national forest inventory to detect the changes of forest resource annually, in order to grasp precise data on the number and quality of forest Simultaneously issued policies to support and promote the protection and development of forests, such as a system of laws and policies to support reforestation investment, payment for forest environmental services policies, forest protection and management The policy of payments for forest environmental services (PFES) is considered as one of the promising methods for protection and sustainable forest development, contributing to the implementation of strategies national forestry development Payments for forest environmental services is an additional source of budget for forest workers, the people their lives depend on forests The money from PFES can be used for planting and protecting forest recourses For over 10 years, payments for forest environmental services and its applications has received considerable attention of environmental researchers, scientists and policy makers in the Southeast Asia region In Viet Nam, PFES begin with Decision No.380/QĐ-TTg dated 10/4/2008 PFES is one of the important directions in order to achieve the objective of planning 44% area for forestry development PFES has been applied pilot in Lam Dong and Son La provinces After two years of pilot application, there are many positive results and the initial lessons experience have been obtained Estimated in the pilot forest areas, no longer occurs encroachment of forest land and the number of violations of forest law has reduced more than 50% To contribute to improving management capacity, protection and exploitation of forest resources in a coherent and effective way On 24/9/2010, Viet Nam Government has issued Decree No 99/2010/NĐCP on policy of forest environmental service This is the first policy considered forest environment as services for forest development and conservation of forest ecosystems and biodiversity and landscape protection All individuals, businesses and organizations in society using these services have to pay for forest owners The implementation of this policy is an important innovative step to develop Vietnamese forestry in accordance with the rules of the commodity production However, besides the results achieved during the implementation of policies in the pilot provinces and implementing on a national scale, the issue of defining K coefficient (According to decree 99, K coefficient used to adjust payment level for PFES) for each forest plot is still difficult Furthermore, there are the lack of database be used for PFES, so the implementation of the policy were difficult and obstacles especially in the provinces began implementing as Dak Nong province in particular and the other province in general In order to promote the implementation of Decree 99 on payment for forest environmental services in Dak Nong hydropower basin in particular and other provinces in general I carried out subject: “Gis application to identify payment for forest environment service: Case study in Dak Nong hydropower plant, Dak Nong province” II OBJECTIVES General objective: Contribute to the implementation of Decree 99 about payments for forest environmental services in the hydropower plant basins Specific objective: Create and apply K coefficient map to calculate amount paid for forest owners in Dak Nong hydropower basin III METHODOLOGY 3.1 Data source - Digital elevation model (created by the Ministry of Industry, Trade and Economics Japan in collaboration with NASA) spatial resolution is 30mx30m - Forest inventory map of Dak Nong province in 2013 created by Institute for Forest Ecology and Environment, Vietnam Forestry University - Roads map and map of population distribution inherited from Department of Natural Resources and Environment of Dak Nong 3.2 Method of defining watershed boundaries for DAK NONG hydropower plant Using the GPS (Global Positioning System) to determine outlet of the basin and enter the coordinates into the computer, show it on a DEM map Watershed boundaries are delineated automatically from digitized elevation model (DEM) follow the sequence of steps: - Fill the pits in the DEM Most natural DEMs have depressions in them (also known as sinks or pits) Such sinks should be filled to ensure proper delineation of basins and streams If the sinks are not filled, a derived drainage network may be discontinuous Navigate to the Spatial Analyst > Hydrology Tools > Fill in the Toolbox or search for the Fill tool, specify the original input DEM - Calculate flow direction The next step is to calculate flow directions Again in the Toolbox, go to Spatial Analyst Tools -> Hydrology Tools -> Flow Direction Specify the pit-filled DEM (NOT the original DEM) as the Input raster, and specify the new output raster as a flow direction raster Using this flow-direction grid for other hydrology analyses - Define flow accumulation Search for the Flow Accumulation tool or in the toolbox: Spatial Analyst Tools > Hydrology > Flow Accumulation The dialog box prompts you to input flow direction raster Change the symbology of the flow accumulation raster to show classes Make the smaller values class "no color" and the larger values something that will show well on your map (double click on the symbol box to change symbol properties) - Delineate watershed Click on the Watershed tool in the Spatial Analyst Hydrology Tools Toolbox In the dialog box, specify flow direction grid as the input flow raster Specify the shape file with the outlet point as the feature pour point data 3.3 Method of mapping K coefficient Payment for forest environment services means a provision and payment relationship in which users of forest environment services pay to providers of these services Forests environmental services is a form has been applied in a number of countries around the world, but it is a relatively new concept for Vietnam Under Decree No 99 “The amount of payment for a type of service to a forest owner shall be determined by-multiplying the forest area of the forest owner providing such service by the average payment for hectare of forest and by the payment coefficient (K) corresponding to such forest owner A forest that provides many forest environment services is entitled to all payments for these services” K coefficient is identified for individual forest status plots K coefficient is basis to calculate forest environmental services (FES) payable to forest owners Forest plots of similar status located on the same basin and provide specific environmental services of similar features share the same K coefficient K coefficient of individual forest status plot is an aggregation of different sub K coefficient (K1, K2, K3, K4) Statistical results showed that the basin has 27.1% of forest area with a slope less than 10 degrees, 57.5% of forest area with a slope of 10 to 20 degrees and 15.4% of the forest area slopes greater than 20 degrees According to the elevation The thesis determined the average elevation of forest plots and based on the opinions of the forest owners about the difficulties encountered in the process of forest management due to topographic height causes, divide the elevation of the basin into three levels: Level – elevation < 800m, Level – elevation 800-1100m, Level – elevation greater than 1100m (Figure 4.7) 22 Figure 4.7: Sub K4 coefficient map according to elevation 23 Table 4.7 Status, forest area according to elevation levels No Status Area (ha) % Watershed area 14017 Forest land 7561 54.6 Elevation 1100m 578 7.6 12 Rich ever - green 121 20.9 13 Medium ever - green 442 76.5 14 Poor ever - green 15 Mixed wood and bamboo 1.6 The results showed that forest area with elevations below 800 meters account for 7.4%, from 800-1100m above the sea level account for 85% and greater than 1100 m above the sea accounts for 7.6% of total forest area of the basin 24 Decentralized difficulty levels in forest protection in Dak Nong hydropower Basin The difficulty level of forest protection in watershed are identified through: the distance to residential areas, distance to roads, according to the elevation and slope If forest plot have distance to roads or residential areas 1100m, slope >20 degrees then it is less difficult in protect forests The remaining cases are difficult in forest protection From this principle, this study decentralized difficulty level of forest protection for all forest plot in the basin and mapping difficulty level in forest protection of the basin 25 Figure 4.8: K4 coefficient map based on the difficulty level of forest protection 26 Table 4.8 Statistical area, forest status according to difficulty levels in forest protection of Dak Nong hydropower basin No Status Area (ha) % Watershed area 14017 Forest land 7561 54.6 Extremely difficult level 53 0.7 Poor ever - green 0.4 0.8 Plantation 52.6 99.2 Difficult level 7508 99.3 Rich ever – green 215 2.9 Medium ever - green 5928 79 Poor ever – green 726.6 9.6 Rehabilitation ever - green 33 0.4 Mixed wood and bamboo 184 2.5 Plantation 421.4 5.6 Results of mapping coefficient K4 show that the forest area at extremely difficult to protect of watershed is 53 with K4 coefficient = 1; forest area at less difficult to protect is with K4 coefficient = 0.9 and forests area at difficult to protect is 7508 coefficient K4 = 0.95 (Figure 4.8) 27 4.3 Map of synthetic K coefficient Figure 4.9: Synthetic K coefficient map 28 Table 4.9 Aggregate forest area of Dak Nong hydropower basin according synthesis K coefficient No K coefficient Area (K1*K2*K3*K4) (ha) Status Watershed area 14017 Forest land 7561 Plantation 0.62 119 Plantation 0.65 45 Plantation 0.68 246 Plantation 0.72 47 Plantation 0.76 17 Poor ever – green 0.77 686 Poor ever – green 0.85 41 Mixed wood and bamboo 0.77 179 Mixed wood and bamboo 0.81 10 Rehabilitation ever – green 0.77 33 11 Medium ever – green 0.81 5928 12 Rich ever – green 0.85 215 Research results showed that synthetic K coefficient of forest plots in the basin ranges from 0.62 to 0.85 4.4 Applications of K coefficient map to determine amount of money paid for PFES for forest owners in the basin Determine the amount of payment for forest environmental services to forest owners in the basin follow the total money supply for basin: From formula: 29 ∑ We calculated Sk = 6032.5 Determine the average payment amount per hectare paid by a specific user for a certain service: Of which: Tbq: average per hectare payment amount, which has been converted using K Coefficient B1: FES actual annual revenue received by provincial forest protection and development Fund (PFF) Q1: administration costs of PFF (under point A, clause 2, article 15, decree 99 of Viet Nam government then Q1 (max) = 10% of B1) P: Contingency (under point B, clause 2, article 15, decree 99 of Viet Nam government then P (max) = 5% of B1) Because information about FES actual annual revenue received by provincial forest protection and development Fund of Dak Nong hydropower Plant is unavailable This study assumed this amount is billion VND to facilitate the calculation ( ) ( Tb q = 298383 VND/Ha Define FES amount paid by for forest owners with the following formula: Of which: B2: FES amount paid to forest owners Amount paid for each forest status is shown in the following table: 30 ) Table 4.10 Amount paid for each forest status in Dak Nong hydropower basin No Forest Type Si*Ki Amount of paid (VND ) Rich ever – green 183 54 000 000 Medium ever – green 4800 432 000 000 Poor ever – green 565 169 000 000 Rehabilitation ever – green 31 000 000 Plantation 311 93 000 000 Mixed wood and bamboo 143 43 000 000 31 V DISCUSSION Challenges in applying the K-coefficient A K-coefficient is used to adjust the payment level for PFES The value of each Kcoefficient is provided in Circular 80/2011/BNNPTNT on methods to determine payments for forest environmental services (issued by MARD), as follows: K1 (forest volume status): 0.9 for regrowth and poor forest; 0.95 for medium forest; 1.0 for rich forest K2 (forest function): 0.9 for production forest; for protection forest or specialuse forest K3 (origin of forest): 0.8 for plantation; 1.0 for natural forest K4 (difficulty of forest protection): 1.00 for very difficult; 0.95 for difficult; 0.90 for not very difficult However it is difficult to explain the system to communities and can provoke conflicts between community members An additional problem is that local communities have not agreed on the values of the K-coefficients Given the lack of forest inventory data, their inability to classify forest quality and the high costs incurred in determining forest area in each K-coefficient class Respondents revealed that at no time were all four Kcoefficients used in allocating payments, with K2 and K3 used most often In the process of pilot application, authorities in Lam Dong and Son La decided to apply a Kcoefficient of for all service suppliers to ensure they all receive equal payments According to interviews with local forestry management staff and households, setting a uniform K-coefficient has not led to improved forest quality Applying a flat rate might not always be efficient and effective because, as many households pointed out, everyone received the same payment regardless of whether they had successfully enhanced forest quality, which community members found to be unfair 32 Method of calculate amount paid for PEFS to each forest owners: According to decree No.99, PFES payments are calculated at a per-hectare rate: the total PFES fee paid by buyers of environmental services (after management fees and the reserve fund contribution are deducted) is divided by the total area of forest protected (in hectares) Using this method of calculation, watersheds with a percentage of forest area receive a smaller PFES payment per hectare, and watersheds with a lower percentage of forest area receive a larger PFES payment per hectare Although the larger payments create a greater incentive for forest protection in areas with less forest, the smaller payments stimulate land conversion in areas with more forest Either way, buyers of environmental services gain little value from PFES because they pay the same rate regardless of the condition of the watershed This finding suggests that PFES could be combined with other conservation programs to enhance overall watershed protection Some of the policy options worth considering are as follows: - Determine whether payment rates should be based on the percentage of watershed that is forested - Direct PFES funding to key areas that supply specific environmental services For example, forests adjacent to streams could receive a higher level of payment for watershed protection than forests at a greater distance, or forests with high biodiversity value could receive a higher level of payment for landscape beauty and biodiversity services than forest areas that not supply these services - Use some of the fees collected, or pair PFES with other government programs, to improve the overall health of watersheds, for example by restoring forests or applying soil and water best management practices in other land uses to reduce erosion and sedimentation 33 VI CONCLUSIONS Thesis has identified the boundaries of Dak Nong hydropower basin by the method of automatic delineated from digital elevation model (DEM) through Arcgis software From the traffic map, residential distribution map, elevation map, slope map through dedicated software has built the map of hierarchy difficulty levels in forest protection of Dak Nong hydropower basin Combining forest inventory map and map of hierarchical difficulty levels for forest protection in the basin, has created: (1) A map defining the K1 factor based forest status (2) A map defining the K2 factor based on forest type (3) A map defining the K3 factor according to the forest’s formative origin (4) A map defining the K4 factor based on the difficulty level of forest protection From the map defining component k coefficient, build a map defining synthetic K coefficient for Dak Nong hydropower basin and calculated amount paid for PFES to each forest plot in the basin The entire database about watershed boundaries, area, forest owners, forest status, forest types and forest’s formative origin were managed by digital map; amount paid for PFES was aggregated for each forest plot 34 REFERENCES Decree No.99/2010/ND-CP dated 24/9/2010 on the policy on payment for forest environment services Circular No 34/2009 / TT-BNNPTNN, dated 10/6/2009 of the Ministry of Agriculture and Rural Development on criteria for identification and classification of forest Circular No 60/2012/TT- BNNPTNT on Methods of determining the forests area in the basin served payments for forest environmental services Circular No 80/2011/TT-BNNPTNT on Methods guiding identification of payment for forest environmental services (PFES) Phung Van Khoa, Pham Van Duan (2013), Xay dung ban he so K phuc vu chi tra moi truong rung, Vietnam Journal of Forest Science No.2, Vietnamese Academy of Forest Science Pham Van Duan (2012, Nghien cuu xay dung ban kiem ke rung tu anh ve tinh co phan giai cao phuc vu xac dinh he so K va tien chi tra dich vu moi truong rung cho cac chu rung tai luu vuc Son Diem, Huong Son, Ha Tinh, Master of Forestry Science thesis, Vietnam Forestry University Ha Minh Tam (2013), Nghien cuu xay dung he thong theo doi chat luong va co che chi tra dich vu moi trương rung o huyen Thuong Xuan, tinh Thanh Hoa, Master of Forestry Science thesis, Vietnam Forestry University Pham Thu Thuy, Karen Bennett, Vu Tan Phuong, Jake Brunner, Le Ngoc Dung, Nguyen Dinh Tien (2013) Payments for forest environmental services in Vietnam: From policy to practice Occasional Paper 93 Bogor, Indonesia: CIFOR APPENDIX Forest status map of Dak Nong hydropower basin ... services in Dak Nong hydropower basin in particular and other provinces in general I carried out subject: ? ?Gis application to identify payment for forest environment service: Case study in Dak Nong hydropower. .. for medium forest; 1.0 for rich forest K2 (forest function): 0.9 for production forest; for protection forest or specialuse forest K3 (origin of forest) : 0.8 for plantation; 1.0 for natural forest. ..ACKNOWLEDGEMENT Thesis ? ?Gis application to identify payment for forest environment service: case study in Dak Nong hydropower plant, Dak Nong province? ?? was completed under the advanced training program,