Key factors influencing to the participation of local households in REDD program in ban cam commune bao thang district lao cai province

MINISTRY OF AGRICULTURE AND RURAL DEVELOPMENT VIETNAM NATIONAL UNIVERSITY OF FORESTRY STUDENT THESIS Title Key factors influencing to the participation of local households in REDD+ program in Ban Cam commune, Bao Thang District, Lao Cai Province Major: Natural Resources Management Code: D850101 Faculty: Forest Resources and Environmental Management Student: Dang Thi Hai Ha Student ID: 1253091616 Class: K57 - Natural Resources Management Course: 2012 - 2016 Advanced Education Program Developed in collaboration with Colorado State University, USA Supervisor: Dr Le Dinh Hai Ha Noi, 10/2016 Abstract Nowadays, the impact of climate change is affecting directly to the forests and the livelihoods of people who depend on forests, and REDD+ project is expected to bring in greater space for local level planning and management for forest ecosystem restoration In 2015, Vietnam applied REDD+ to Ban Cam commune, Lao Cai province There are a wide range of factors influencing directly and indirectly to the decision of participating REDD+ The decision to participate in REDD+ program were effected by ten factors: (1) Ethnicity; (2) Age; (3) Education level of household head; (4) Occupation of household head; (5) Household wealth ranking; (6) Number of labour; (7) Concerning about forest degradation; (8) Forest land area; (9) Rationality of the government payment, and (10) Understanding of local people about REDD+ policy By using IBM®SPSS® Statistics v.23, there are key factors were determined including ethnicity, concerning about forest degradation, forest land area, the rationality of the government payment, and the understanding of local people about REDD+ policy Moreover, the study have found some potential solutions for increasing the number of people who participate REDD+ program They are focused on land allocation, the hamlet leaders and education activities to raise the local people‘s awareness about forest area management Acknowledgement I am pleased to have an opportunity to express my gratitude to everyone who supported me throughout the study process I am sincerely grateful to them for sharing their truthful and illuminating views on a number of issues related to this research I express my warm thanks to Dr Le Dinh Hai from Faculty of Economics and Business Management, Viet Nam National University of Forestry for his continuous support, patient guidance and enthusiastic encouragement during this research I am deeply indebted to Prof Lee Macdonald, Department of Ecosystem Science and Sustainability, Colorado State University for his enthusiastic guidance to during the planning of this research work My joy knows no bounds in expressing my cordial gratitude to Mr Dao Van Tuan, vice president of Ban Cam Communal People‘s Committee and the leaders in Ban Lot, Ban Cam, Nam Tang, Nam Choong, Nam Chu, and Na Nang hamlet who devoted their time to help me during the field survey I humbly extend my thanks to local people in Ban Cam commune for providing me helpful information in this study Finally, I owe a deep sense of gratitude to my friends and family for their supports, encouragements during the process of doing research and going field works CONTENTS LIST OF FIGURES LIST OF TABLES INTRODUCTION STUDY GOALS AND OBJECTIVES 3 CONCEPTUAL FRAMEWORKS 4 3.1 Social capital aspects 3.2 Socio-economic and demographic attributes 3.3 Formal institutions METHODOLOGY 4.1 4.1.1 Lao Cai province 4.1.2 Ban Cam commune 10 4.3 Data collection 13 4.3.1 Questionare design 13 4.3.2 Questionnaire pretesting 13 4.3.3 Questionnaire revision 14 4.3.4 Sampling design 14 4.4 Selection of research site Data analysis methods 14 RESULTS 19 5.1 Descriptive statistics on surveyed households in Ban Cam commune 19 5.1.1 Quantitative variables 19 5.1.2 Qualitative variables 19 5.2 Key drivers affecting to the participation to REDD+ program of local households 23 5.2.1 The correlation between the surveyed factors and the participation of local people to REDD+ 23 5.2.2 The key factors influencing to the participation of local people to REDD+ program 24 DISCUSSION 26 6.1 Socioeconomic status background of local households 26 6.2 The household factors that leading to the decision of participating to REDD+ program 27 6.3 Potential actions which may increase the number of participation in REDD+ program in Ban Cam commune 29 6.4 Limitations and suggestions for future research 32 6.5 Recommendations 32 CONCLUSIONS 33 REFERRENCES 34 LIST OF FIGURES Figure Factors influence to the parcitipation to REDD+ program Figure Map of Lao Cai Province, Vietnam Figure Map of Bao Thang district, Lao Cai Province 10 Figure Map of Ban Cam commune, Bao Thang district, Lao Cai Province 10 Figure Map of forest management before 1979 12 Figure Map of forest management after 1979 (January 2015) 12 Figure Educational level of household heads in Ban Cam commune 21 Figure Occupation of household heads in Ban Cam commune 21 LIST OF TABLES Table Particular socioeconomic characteristics in Ban Cam commune 12 Table Survey sampling design in Ban Cam commune 14 Table List of independent variables 16 Table Dependent variable and independent variables 18 Table Descriptive statistics of the quantitative variables 19 Table Ethnic minorities in Ban Cam commune 20 Table Household wealth ranking and forest land area in Ban Cam commune 20 Table Concerned about forest degradation in Ban Cam commune 22 Table The rationality of payment from the government 22 Table 10 The understanding about REDD+ program 23 Table 11 Significant correlation of factors to the participation of respondents in REDD+ program 24 Table 12 Classification table of predicting the participation of local people to REDD+ 24 Table 13 Key drivers affecting to the participation to REDD+ program of surveyed households 25 Table 14 Table of influential factors and their orders 29 INTRODUCTION Climate change is one of the most serious issue that the world is facing today The impact of it is affecting directly to the forests and the livelihoods of people whose living depend on forests The Fourth Assessment Report of the Intergovernmental Panel on Climate Change indicates that the forestry sector, mainly through deforestation, accounts for about 17% of global greenhouse emissions In many developing countries, carbon dioxide emissions mostly come from the deforestation, forest degradation, forest fires and slash and burn practices Obviously, moving people out of the forest is not always the viable solution to reduce the greenhouse gas emissions Hence, the goal of scientists is find out the way for ensuring the life of people who living near the forest Many countries are launched the program: ―Reducing emissions from deforestation and forest degradation‖ (REDD) That is a mechanism designed to provide financial rewards for ensuring the forest land is going to provide continuing benefits REDD+ strategies go beyond deforestation and forest degradation, it include the role of conservation, sustainable management of forests and enhancement of forest carbon stocks in reducing emissions Several international agencies are creating REDD+ programs for developing countries to preserve their forest, including Vietnam The UN-REDD Vietnam Phase II program, processed by Vietnam Administration of Forestry from 2013 to 2015, was applied to six pilot provinces of Lao Cai, Bac Kan, Ha Tinh, Binh Thuan, Lam Dong and Ca Mau Lao Cai is the Northern mountainous province of Vietnam which has total forest land area of 638,389 (UN-REDD, 2013) This is the province that has complex drivers of deforestation and forest degradation, including conversion of degraded natural forest to rubber plantation, forest fire, mining activities, illegal logging and selective logging The first place in Lao Cai that applied REDD+ programs is Ban Cam commune in Bao Thang district, which has the area of 42.14 km2 and a population of 3118 people in 1999 Once REDD+ programs are fully functioning, forest land will be allocated to local people, especially ethic minorities by the government Owners of forests may be eligible to receive money for environmental benefits provided by the trees, and they can be lent the money from REDD+ program for their animal husbandry activities instead of totally depending on forests In addition, their management is necessary to implement the methods of maintaining and increasing carbon stocks as well as providing a cheap but effective form to control forest Therefore, the participation of local people plays a vital role in the succession of REDD+ program This study with the title ―Key factors influencing to the participation of local households in REDD+ in Ban Cam commune, Bao Thang District, Lao Cai Province‘ is conducted to indicates some factors that might influence to the decision of household participating in REDD+ program 2 STUDY GOALS AND OBJECTIVES  Goals: Identifying the key factors influencing on the participation to REDD+ program of local people in order to provide suggestions in implementing REDD+ program in Ban Cam commune, Bao Thang district, Lao Cai province  Specific objectives: o To define the socioeconomic status background of local households which are participating and not participating to REDD+ program o To determine the household factors that leading to the decision of participating to REDD+ program o To provide the potential suggestions for REDD+ program which may encourage people to participate in the program which approved in 1997 and involved millions of forest In this project, residents could be paid for the area of forest which they planted People expected the similar actions in REDD+ project Local people had a chance to approach to REDD+ program by the hamlet leaders There are a small number of people believed that participating REDD+ was a stringent rule that they had to follow without cleared about its policies While most of all non-participation people had no idea about REDD+ program Hamlet leaders were the persons who effect strongly to the participation of local people In the survey, just over a quarter of total surveyed respondents were approved to REDD+ by the propagation of their hamlet leader In fact, hamlet leader is the person who was considered a role model of local in a place, so people had a tendency to follow what their leader said On the other hand, the own decision were important If local people clear about REDD+ program, they would agree to participate into it 6.2 The household factors that leading to the decision of participating to REDD+ program Ten factors related to REDD+ program were chosen to determine the key factors influencing to the local people‘s participation (including ethnicity, age, education level of household head, occupation of household head, household wealth ranking, number of labour, concerning about forest degradation, forest land area, rationality of the government payment, and the understanding of local people about REDD+ policy) By applying binary logistic regression method, it is statistically determined that there are five main factors which strongly influence to the participation in REDD+ program (ethnicity, concerning about forest degradation, forest land area, the rationality of the government payment, and the understanding of local people about REDD+ program) In the Ethnicity variable We have B1 = 1.794, P0 = 10%, eB1 = 6.012; 27 Suppose that an initial probability of participation is 10%, and other factors has no changes, the participation probability of one more Giay or Dao‘s household is predicted to be 5.7% It decreases 4.3% compared with the initial probability In the Concerned about forest degradation variable We have B2 = 2.887, P0 = 10%, eB2 = 17.947; Suppose that an initial probability of participation is 10%, and other factors has no changes, the involvement probability of one more household that concerns about forest degradation is predicted to be 15.3% It increase 5.3% compared with the initial probability In the forest land area variable We have B3 = 3.791, P0 = 10%, eB3 = 44.297; Suppose that an initial probability of participation is 10%, and other factors has no changes, the participation probability of one more household that has larger than hectares of forest land is expected to be 30.9% It strongly increases 20.9% compared with the initial probability In the Rationality of the government payment We have: B4 = 2.144, P0 = 10%, eB4 = 8.537; Suppose that an initial probability of participation is 10%, and other factors has no changes, the involvement probability of one more household that is on par with the 28 government payment is anticipated to be 7.9% It decreases 2.1% compared with the initial probability In the Understanding about REDD+ policies We have: B5 = 3.838, P0 = 10%, eB5 = 46.450; Suppose that an initial probability of participation is 10%, and other factors has no changes, the involvement probability of one more household that is clear about REDD+ policies is expected to be 15.3% It significantly increases 21.9% compared with the initial probability Each influential factor plays a different role in the participation of local people to REDD+ program Therefrom, after applying binary logistic regression, and calculating the probability, we have the table of factors influencing and their orders (table 14): Table 14 Table of influential factors and their orders Independent variables P0=10% Increase/ Influential B Exp(B) P1 (%) decrease rate (%) order 1.794 6.012 5.7 - 4.3 2.887 17.947 15.3 5.3 Forest land area 3.791 44.297 30.9 20.9 The rationality of the government payment 2.144 8.537 7.9 - 2.1 3.838 46.450 31.9 21.9 Ethnicity Concerned about forest degradation Understanding about REDD+ policies Dependent variable: the participation of local people in REDD+ program 6.3 Potential actions which may increase the number of participation in REDD+ program in Ban Cam commune 29 It is clear that The understanding about REDD+ policies is the most important factor which influences to the involvement of local people to REDD+ program As Karly and Banskota (2009) mentioned about their research, communities might not participate in carbon trading under REDD if they would not see any benefit in it Other factors can be ordered from the strongest influence to the lowest, including Forest land area, Concerned about forest degradation, The rationality of government payment, and Ethnicity, respectively Obviously, if local people understand clearly about REDD+ policies that they can receive after participating REDD+ program, they would enthusiastically participate in it Thus, the government are now strongly focusing on improving the local awareness about this program Besides, some people who has just over of land were not inclined to participate REDD+ Because planting forest trees spent at least – years before harvesting, doing agricultural activities would have more profits So they decided to use their land for agriculture instead of planting forest trees On the other hand, according to the research of forest tenure of Larson (2011) Without secure tenure rights, local communities are ―vulnerable to dispossession – which could be a major concern if REDD+ increases land values and outside interest‖ Therefore, forest land area is the important factor in the viewpoint of local people Besides, people, especially Giay people, were firmly concerned about forest degradation Water is an essential resources for people who live in Ban Lot hamlet The hamlet leader named Dang Van Quang said that: ―In the period after Vietnamese war (after the year 1975), people cut down all the trees in the forest In 1982, our stream was shoal, we had no water to use and agricultural activities From that time, we made effort to stringently protect our forest from hunter, or illegal logging activities‖ Mr Quang and residents in his hamlet committed to participate in REDD+ program, expected this project could help them to protect forest effectively 30 Hamlet leader exactly influence to the participation of local people Mr Quang is an example, he is the person who prematurely recognized the vital role of forest This hamlet leader promulgated his villagers to protect their land from hunters, leading to the fact that the forest in Ban Lot hamlet has no change in compare with that in the past It is in stark contrast with other hamlets in Ban Cam commune, people overused forest land and its resources and made the forest become degraded, including hamlet leaders He shared the payment of government equally to local, so most of people in this hamlet was harmony with the government and protecting the forest together Giay and Dao are two ethnic minorities groups who live in Ban Lot and Ban Cam hamlet respectively are strongly contributing to REDD+ program The forest is at the heart of the life of the culture of ethnic minorities It reflects the culture, customs and traditional values carried from generation to generation and the loss of forests will be detrimental to the community members‘ spiritual lives and traditional customs (Tauli-Corpuz 2010) They are the major stakeholder in the places that implemented REDD+ program in Vietnam Based on the results of binary logistic regression and from the field work, it is expected that applying the potential actions to five key factors would influence effectively to the participation in REDD+ program These actions would be: - Focusing to raising awareness of each hamlet leader, educating to them about the importance of the land which they are managing in REDD+ programs and forest management - Each ethnicity has a different cultural, understanding and educating people based on their cultural would maximize the effective of the education actions in REDD+ - Allocating land to the households who not have forest land In the small land area, people should be introduced about the advanced techniques of planting 31 forest trees, and the types of tree which fit well with the environment of Ban Cam commune - In raising awareness to local people action, the residents should be educated by realistic activities rather than hearing the presentation from REDD+ lecturers in order to help them willingness to protect forest not only by their benefits but also by their future living 6.4 Limitations and suggestions for future research The study does have a wide range of limitations in terms of designing the interpretation of the results on the field work survey Because of the restrictions on time and capacity, the research could not covered all area in Bao Thang district Besides, the study should be extended more factors that related to the participation of local households such as environment, land use policy, and culture And finally, there is a risk of social desirability bias which the respondents were inclined to give the incorrect answer for the question related to government policy 6.5 Recommendations Based on the shortcomings, the time scale of the study should be expanded in order to conduct the surveys according to each stage of REDD+ program Moreover, the number of respondents should be increased to have more consistent results as well as determining more factors related to the participation of local households 32 CONCLUSIONS Climate change is one of the most serious issue that the world is facing today The impact of it is affecting directly to the forests and the livelihoods of people who depend on forests, and REDD+ project is expected to bring in greater space for local level planning and management for forest/ecosystem restoration (Singh, Rawat et al 2015) In 2015, Vietnam applied REDD+ to Ban Cam commune, Lao Cai province, in which this program was considered that most of all people were ready to participate However, in fact, there are a mixture diverse of factors influencing directly and indirectly to the decision of participating REDD+ The agreement to participate in REDD+ program were effected by ten factors including ethnicity, age, education level of household head, occupation of household head, household wealth ranking, number of labour, concerning about forest degradation, forest land area, rationality of the government payment, and the understanding of local people about REDD+ policy By using IBM®SPSS® Statistics v.23, there are key factors were determined including ethnicity, concerning about forest degradation, forest land area, and the individuals that effect to the local people decision The study have found some essential solutions for increasing the number of people who participate REDD+ program They are focused on land allocation, the hamlet leaders and education activities to raise the local people‘s awareness about forest area management 33 REFERRENCES Arnstein, S R (1969) "A ladder of citizen participation." 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Forest Science 42(4): 442-449 25 http://www.laocai.gov.vn/ from http://www.laocai.gov.vn/ 35 APPENDIXES Table 15 Land use in 2014 in Ban Cam commune Types of land Total area Unit (ha) Structure (%) 4,200 Agricultural land 2,740.07 65.24 1.1 Agricultural land 265.07 9.67 - Land for annual plants 164.26 61.96 - Perennial crops land 106.82 40.30 1.2 Forestry land covered by trees 2,475.0 90.33 - Land in production forest area 938.2 37.91 - Land in protective forest area 1536.8 62.09 - Others 19.7 0.8 1.3 Land for aquaculture 13.68 0.5 - - Non-agricultural land 252.96 6.02 1.1 Homestead land 21.20 8.38 - Rural 21.20 8.38 1.2 Specially used land 118.58 46.88 - Land used by offices and non-profit agencies 0.19 0.16 - Security and defense land 2.8 2.36 - Land for non-agricultural production and business 40.87 34.47 - Land use for public purposes 74.72 63.03 1.3 Land use for cemeteries 1.18 0.47 1.4 Land with rivers, streams, and special use water surface 112.0 44.28 1,206.97 28.74 1.4 Another agricultural land 1.5 Another non-agricultural land Unused land (Source: Inventory land data on January 1st , 2014 at Ban Cam commune, Bao Thang district, Lao Cao province) Table 16 Area of forest types in Ban Cam commune Area of forest planning Types of forest Total area Another areas Total Upstream protection forest Production forest 4 Total forest area 2,475.0 2,445.6 1,512.0 933.6 29.4 I Forest land 1,979.6 1,979.6 1,333 646.6 - Natural forest 1,741.2 1,741.2 1,316 425.2 - 1.1 Timber forest 1,523.7 1,523.7 1,188.7 335 - 1.1.1 Rich forest - - - - - 1.1.2 Moderate forest 616.35 616.35 484.35 132 - 1.1.3 Poor forest 712.35 712.35 584.35 128 - 1.1.4 Restoration forest 195 195 120 75 - 1.2 Bamboo forest 85 85 - 85 - 1.3 Mixed forest (timber and bamboo) 5.2 5.2 - 5.2 - Plantation forest 238.4 238.4 17 221.4 - II Another land 495.4 466 179 287 29.4 Seedling land - - - 179 179 179 - - 305.6 285.2 285.2 20.4 1.8 1.8 1.8 - Bare land Land that has agricultural crops Another forest land - Table 17 Pearson correlation coefficient between dependent variable and indipendent variables No Factors Pearson correlation Sig (2tailed) N Ethnicity 0.412 0.000 100 Age of household head -0.019 0.853 100 Educational level of household head - 0.21 0.839 100 Occupation of household head -0.12 0.902 100 Household ranking -0.25 0.807 100 Number of labour -0.55 0.589 100 Concerned about forest degradation 0.520 0.000 100 Household forest land area 0.541 0.000 100 0.321 0.001 100 0.680 0.000 100 10 Rationality of payment from the government Knowledge about REDD+ program HOUSEHOLD SURVEY QUESTIONARE (Ban Cam commune – Bao Thang district – Lao Cai province) Date: Order number: ……… I Household characteristic factors Hamlet: Name of household head: Age: Education level: Sex: Male □ Female □ Ethnic minority: Dao □ Giay □ Others □ Occupation: Household wealth ranking: Poor household Moderate household Rich household □ □ □ How many labours are there in your family? II Information of the understanding about REDD+ program Present forest land holding of household: 0.5 – □ > □ Household income: Income from forest □ Yes □ No Income from other activities □ Yes □ No If yes, which activities? If forest was degraded, does your family care about? Yes No □ □ REDD+ program is applying in our commune, you have any idea about it? Yes No □ □ If yes, how you know about it? □ Magazine □ Hamlet leaders □ Neighbours □ Others: ………………… Does your family participate in REDD+? Yes No □ □ □ TV/ Radio III The forest dependent level of the household 10 What tree you plant in your forest land? ST T Name of the tree Density (tree/ha) 11 Does the economic of your family completely depend on forest? Yes No □ □ 12 Is the income from forest enough for your living? Yes No □ □ 13 The payment of government for forest protection activities are rational, which means it is realistic significance for local Do you agree or disagree? Yes No □ □ 14 Reason of participating/non-participating in REDD+ program Reason Answer I‘m propagated to involve in I‘m worried about the effect of forest degradation I would get benefits when I participate REDD+ would bring nothing to my family Others Do you think that you will participate in REDD+ in the future? Yes No □ □ IV Question for non-participation respondents: 15 Why don‘t you participate in this program: V Question for participation respondents 16 Who affect to your decision of participation in REDD+? My self □ 17 Did you get any trouble of planting forest after participating in Yes □ Hamlet □ leader My □ Others □ company No □ this program? 18 What activities were you able to attend after participating in REDD+ V Institutional policies Yes □ No □ 20 Are they important for your family Yes □ No □ 21 Have you ever participated any other programs related to forest? Yes □ No □ 19 Does he government have any policies for Interviewee’s Signature ... local households in REDD+ in Ban Cam commune, Bao Thang District, Lao Cai Province? ?? is conducted to indicates some factors that might influence to the decision of household participating in REDD+ ... Bao Thang district, Lao Cai Province Figure Map of Ban Cam commune, Bao Thang district, Lao Cai Province b Topographic There are high rocky mountains on the North and North East of Ban Cam commune. .. participating to REDD+ program Ten factors related to REDD+ program were chosen to determine the key factors influencing to the local people‘s participation (including ethnicity, age, education level of