tsukuba university ‘international symposium on environmental policy- 2011’ lecture environmental...
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TSUKUBA UNIVERSITY‘International Symposium on Environmental Policy- 2011’
LectureENVIRONMENTAL POLICY &
BIODIVERSITY CONSERVATION
Dr. Le Van KhoaHoChiMinh City University of Technology (HCMUT)
11/29/2011
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Content:
A. THEORY ON PUBLIC POLICY & ENVIRONMENTAL POLICY
I. POLICY FORMULATION PROCESSII. POLICY EVALUATION AND ANALYSIS
III. INSTRUMENT FOR ANALYSING POLICY
IV. ENVIRONMENTAL POLICY INSTRUMENTS
B. POLICY IN BIODIVERSITY CONSERVATION
I. GENERAL CONCEPTSII. POLICY INSTRUMENTS IN BCIII. BIODIVERSITY CONSERVATION IN
VIETNAM 11/29/2011
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I. POLICY FORMULATION PROCESSII. ENVIRONMENT POLICY EVALUATION
AND ANALYSIS III. INSTRUMENT FOR ANALYSING POLICY
IV. ENVIRONMENTAL POLICY INSTRUMENTS
A. THEORY ON PUBLIC POLICY & ENVIRONMENTAL POLICY
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CONCEPTS
Policy ?
• “Whatever governments choose to do or not to do”. (Dye, 1972, p. 18)
• “A course or principle of action adopted or proposed by a government, party, business or individual". (New Oxford Dictionary of English)
• ‘Policy is rather like the elephant – you know it when you see it but you cannot easily define it’ (Cunningham, 1963, cited in Hill, 1997:6).
I. POLICY FORMULATION PROCESS
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• Policy or policy research refers to the process of creating the important institutional decisions including the identification of different plans such as priority programs or issues resolved, and among of them, the plan of which selected based primarily on their impacts.
• A public policy can be understood as a broad statement of the State includes determined goals and the implementation process, associated with solving of a specific social, economic or environmental problem.
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Origins of public policy [1]
• Policy issues can be divided into two categories: those already on the public policy agenda, and those that are not.• 03 criteria for an issue needs to get on the agenda : - Sufficient scope (a significant number of people or communities are affected); - Intensity (the magnitude of the impact is high); and/or - Time (it has been an issue over a long period).
• The need or trigger for public policy development may come from a number of sources: Reactive, preactive, or proactive. [1] Source: Bruce Smith, 2003.11/29/2011
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Types of Public Policy
-Vertical policy is developed within an organization that has authority and resources for implementation.
-Horizontal policy, sometimes referred to as integrated policy, is developed by two or more organizations, each of which has authority or ability to deal with only a part of the situation. Sectoral Multi-sectoral Integrated Less Complex .........> More Complex
- Barriers in horizontal policies: Fragmentation; Superficiality; and Dissociation.
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MODELS OF POLICY PROCESS
• Policy process theories seek to understand how various elements of the socio-political environment interact with the structure and institutions of government to yield a set of policies.
• The current models on the policy process aim in search of answers: How was policy made? Who participated, inside or outside the government, should do or not,...?
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Figure 1. A simplified input-output model of the political and policy systemSource: Jack Rabin (ed.), 2005
• Easton’s Systems Model
Inputs- Public opinion
- Media coverage
- Election results
- Knowledge
THE POLITICAL
SYSTEM
Outputs- Decisions
-Laws
- Benefits & Burdens
- Rules & Regulations
The policy making environment
Feed back
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• The linear modelAgenda phase Decision phase Implementation phase
Reform issue
On agenda
Not on
Decision for reform
Decision against
Successfully implemented
UnsuccessfulStrengtheninstitutions
Fortify political will
Time
Figure 2. The linear model of policy processSource: Grindle & Thomas, 1990 (In: Rebecca Sutton, 1999)
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Issue emergen-
ce
Agenda setting
Alternati-ve
selection
Enactm-ent
Implem-entation
Evaluati-on
Figure 3. The stages or textbook model of the policy processSource: Thomas Birkland, trong Jack Rabin (ed.),2005
• The stages model
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Identifying problem/issue
Formulating Policy
Implementing Policy
Evaluating Policy
New issues arise
Diagnosing problem
Awareness raisingAnalyze, synthesis, forecast
Adjusting policyComparing objectives
Figure 4. Policy Cycle Model
• Policy Cycle Model
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The Steps in Policy Cycle Model
Step 1: Identify issues which need to policy formulationWhich are the existing problems to be solved? Which are issues priority? Does it need to issue a new policy or just modify and supplement old one?
Step 2: Policy FormulationThe purpose of the policy? The measures support to achieve the objectives? Conditions and resources need to implement the policy? Who get benefits and who are affected by the policy? Time and place for policy implementation?
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Step 3: Policy ImplementationActivities turn the policy and its objectives into concrete results through the assignment, cooperation and mobilization of instruments, resources and different organizations.
Step 4: Policy Evaluation - Has the evaluation, particularly the effectiveness, achieved the objectives set out? Why not? - What are the existent problems of policy? - Is there influences of economic, political, social, and environmental factors which emerging (new issues) to the current policy? - Consider policy whether need to be renovated, complement, or continue to do the same.
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PHASE
Political weight
Figure 5. Policy Life Cycle and Political Weight
1. RECOGNITION
2. FORMULATION
3. IMPLEMENTATION
4. CONTROL & EVALUATION
Degree of dissension
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Figure 6. Policy Formulation Process in American
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Prime minister
Minister
Composing Group
Ministry of Legal & Other
Ministries
Other MinistriesForeign Experts
National Assembly
Propose
ProposeDemand
Revise, Advise
Data
Internal evaluation, Advise from other Ministries, Local Authorities &
stakeholders
Technical Assistance(not often)
Consider, ApproveConsider,
Approve
Figure 7. Policy Formulation Process in Vietnam
Demand
Communities, Social organizations
Reflect economic, social &
environmental issues
Government
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POLICY PROCESS ANALYSIS
The key factors and considerations in the development of policies [*]
06 factors for formulating sound public policy: • Public interest• Effectiveness• Efficiency• Consistency• Fairness and equity• Reflective
[*] Source: Bruce Smith, 200311/29/2011
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03 criteria for good public policy:
• Socially acceptable: Citizens and interest groups feel that the policy reflects their important values, e.g., fairness and equity, consistency, justice.
• Politically viable: The policy has sufficient scope, depth, and consensus support that elected officials are comfortable with the decision.
• Technically correct: The policy meets any scientific or technical criteria that have been established to guide or support the decision.
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1. Problem definition
a) Problem recognition or identification
b) Situation analysis
c) Problem definition
d) Determine overall priority for this problem
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a) Consider values and goals of stakeholders and society
b) Clarify the normative foundation
c) Describe the desired results
d) Establish criteria and indicators
2. Value and Goal Clarification
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a) If we do not know where we are going, ideas about how to get there may be premature.
b) Formulation of alternatives
c) Thinking outside the box–beyond the existing policy paradigm.
3. Option Generation
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a) Use tools to evaluate alternatives– cost-benefit analysis; social impact
assessment; EIAb) Understand potential impactsc) Consider/debate alternativesd) Close the loop with stakeholders, especially if
their views and interests could not be accommodated.
4. Selection
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a) Policy success is dependent upon a number of different factors
b) Assign responsibility for delivery.c) Assess existing structure of organization for
capacity.d) Choose instrumentse) Ensure alignment with existing legislative and
policy context.f) Transfer responsibility to operational staff
5. Implementation
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a) Monitoring/feedbackb) Comparison of actual results with desired
objectivesc) Lessons Learningd) Willingness and ability to modify policy as
necessary.
6. Evaluation
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Policy Process – Conclusion
Policy formulation should be understood as a political process rather than analysis process or problem resolving.
‘The whole life of policy is a chaos of purposes and accidents. It is not at all a matter of the rational implementation of the so-called decisions through selected strategies.’ (Clay and Schaffer, 1984):
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Evaluation ?“The systematic application of social research procedure for assessing the conceptualisation, design, implementation and utility of public programmes” (cf. Rossi and Freeman, 1993)“An independent, objective examination of the background, objectives, results, activities and means deployed, with a view to drawing lessons that may be more widely applicable” (cf. MEANS Glossary).
“The judgement of public interventions according to their results, impacts and the needs they aim to satisfy” (cf. EC, Directorate-General for Development, 1993).
1. Introduction
II. ENVIRONMENTAL POLICY EVALUATION AND ANALYSIS
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- Stakeholder model: from subjects affected by policy and/or related to the implementation of policies.
- Goal-free evaluation model
" What are expectations, wishes from the stakeholders or their needs?"
- Goal-achievement model: "Have achieved results consistent with the objectives set out?"
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Can also group the evaluation methods in three following models:
- effectiveness model,
- economic model, and
- professional models.
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• Third step, classify the quality of the effects
- Other appropriate model for the evaluation of environmental policy tools as “side-effect evaluation”.
• In this method, the effects of the selected tool are first divided into the expected and unexpected effects.
• Then in second step, analysis these effects whether occur inside or outside the target area.
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Effects
Expected - Un-expected
Inside target area
Outside target area
Inside target area
Outside target area
BenefitsExample: Environmental quality is improved
BenefitsExample: Supply more jobs
Impact to:Example: Environment-al quality
Impact to:Example: - Renovation- Trading- Natural resource useCost/
damageCost/
damage
Figure 8: Side-effect evaluation model11/29/2011
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Because the time between actions and ultimate effect of environmental policies often very long, so not all effects can be assessed at any time
- Actors could be the implementation organizations and addressees being objectives of the policy;- Inputs;- Outputs; and- Outcomes.
The evaluation includes the elements and the causal relationship :
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Needs of society, etc.
Impacts- on the environment and human health, etc
Outcomes- Effects on target groups/human behavior
Objectives of legislation
Inputs – Human and
financial resources
Activities Outputs –
Policy measures of various kinds
Effects-The impacts of the measure on human behavior,
the environment, the economy & society
Policy
process
Evaluation
questions
Relevance? – Are the objectives justified in relation to needs?
Efficiency or cost-effectiveness? – Have the objectives been achieved at lowest cost?
Effectiveness? – Are the outcomes and impacts meeting the objectives of the measure?
The outside world
Figure 9. Evaluation Framework for Environmental Policy
(modified from EEA, 2001 & Nagarajan and Vanheukelen 1997)11/29/2011
Value Criteria for Evaluating Environmental policy Relevance Are the objectives of the policy refers to the major
environmental problems?
Impact One can determine the effects of the policy and its implementation causes? All effects can be considered within the framework of this criterion, despite they occur inside or outside the target area.
Effectiveness Results obtained (outcomes and impacts) meet the objectives of the policy in which levels?
Sustainability Are the effects remain the way they have a lasting impact on the environmental situations?
Through this criterion, the effects outside the target region and the unexpected effects which could create new problems may also be considered.
Flexibility Has policy solved problems when conditions change?
Predictability Is the management, outputs and outcomes of the policy can foresee? Therefore, we can adjust?
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Some economic criteria for evaluating environmental policy
Efficiency(cost-benefit)
Are the benefits commensurate with costs?Both benefits and costs are valued in money.
Efficiency(cost-effectiveness)
Do the results justify the use of resources?Can results be achieved with the use of less resources?
Other criteria
Legitimacy Individuals and agencies such as NGOs, relevant organizations, companies accept policies in which degree?
Transparency Outputs, outcomes and implementation of the environmental policy are observed in which degree for the outsiders?
Equity How are results and costs of policy distributed ?Have all stakeholders same ability to participate and influence the governance process?
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Environmental protection is a moving and ongoing process.
People who carry out environmental policies/programs need to continually evaluate the effectiveness of the success of the policy, after each implementing stage whether it achieve the objectives against that period or not.
2. Using effectiveness criterion to evaluate an environmental policy
II. ENVIRONMENTAL POLICY EVALUATION AND ANALYSIS
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- Monitoring regularly and promoting successes- Pointing out new ideas for environmental protection, pollution control and mitigation.- Pointing out areas needed to improve.- Supervising the compliance of State’s regulations and law - Identifying exactly all additional measures to policy.- Maintaining information update to the members of policy implementation.
Effectiveness evaluation of environmental policy/program will help :
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Step 1: Determining the objectives of the policy.
There are three steps to evaluate the effectiveness:
Step 2: Identifying the effects of the policy
Step 3. Combining and comparing the created effects of policy with its objective to determine the effectiveness of the policy
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Step 1: Determining its objectives “To what are policy expect to achieve? “ a) Which are objectives goal we need to focus on? b) What is the nature of the objectives? c) The time range of the objective? d) Objectives of the policy tend to change over time?
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This relates to two activities:
Step 2. Identifying the effects of the policy
(2) Determined changes caused by policy in which results but not from other factors such as economic development, implementing a new technology or by the pressure of stakeholders.
(1) Find out what had happened in the adjusted area (target area), and
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- If a objective is not achieved, is there policy, itself or its objective is a matter of reasonable?
Step 3. Combining the effects of policy with its objective to determine the effectiveness
Có một số thách thức được đặt ra như sau:- If a objective is achieved, is it a sign of a successful policy or is it not a vague objective?
- In some cases, when the objective is not achieved, it is not less successful policy that its objective is too ambitious.
- If a objective has achieved higher than proposed, is there a threat of an over achievement?
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STRUCTURING
ANALYSING
JUDGING
Understanding the policy formation process
Describing the main contents of the policy
Analyzing the outcomes of the policy
Analyzing the implementation process
Proposing new initiatives for policy
3. MAIN STEPS TO EVALUATE AN ENVIRONMENTAL POLICY
II. ENVIRONMENTAL POLICY EVALUATION AND ANALYSIS
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Step 1: Understanding the context of policy formation process - network analysis
1. Who (actors) related to the formation of policy?
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2. Describing the differences between core actors and peripheral actors3. Analyzing the relationship between the core actors in policy network
4. Provide evaluations of different stages in the process of policy formulation so far
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Step 2: Describing the main contents of the policy
1. What are the objectives and purposes of government’s policy on environmental protection?
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2. How do the objectives in the environmental policy regard the requirements of environmental experts?
3. How long for achieving the objectives of policy ? 4. Which were policy instruments applied to carry out general objectives and specific objectives?
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5. Which types of conditions and situations need to meet, according to theory, to carry out successfully the policy instruments?
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6. What were the different actors (government, local authorities, industry, plant) responsible in the process of formulation and implementing of policy?
7. Type of surveillance system which has been applied to monitor the success of objectives in the process of formulation and implementation of policy
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Step 3: Analyzing the outcomes of the environmental policy
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1. What is the outcomes of the policy based on the impacts to the behavior of actors and groups, environment, economy and society, until now?
2. At which rate do the objectives set out in policy achieve up to now (effectiveness)? 3. Which is objective that we can not evaluate its success?4. Which are unexpected impacts (social or economic) to make trouble for developing society?
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Step 4: Analyzing the implementation process
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1. Did the tools and measures set out achieve effectiveness and success (product)?
2. What’re the role, in the process of the policy implementation, of different main actors in the policy system ?
3. Were there unexpected developments (economic, social and political) which interfere to the policy implementation process?
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5. May you draw conclusions about the success or failure of environmental policy in achieving the objectives ? Otherwise, which are the additional research activities and data (monitoring framework, investigation & interview, information of technology, ...) necessary to draw those conclusions? 11/29/2011
4. Was domestic development blocked or promoted by international developments?
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Step 5: Proposing new initiatives/policy for environmental policy
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1. List new valuable ideas about the measures, approaches and policy instruments, or other ideas how resolve the existing problems in the implementation of current policy .
2. What are new ideas’ strengths-weaknesses? What are opportunities and economic or non-economic costs? 3. What are the outside conditions under which the new promising ideas will take to succeed?
4. The new ideas will replace some existing policy measures or may be considered as a supplementary part of the current policy?
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INSTRUMENT FOR ANALYSING POLICY Role of Stakeholders: Triad Network Analysis
Environmental/ Natural Resources
Issues
Economic Network
Policy Network
Social Network
?
?
?
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• Stakeholder analysis/Network analysis is a technique used to identify and assess the importance of key stakeholders in a development activity.
• In conflicts over natural resources/environmental issues, stakeholder analysis provides a framework for examining who is involved, where their interests lie, and how they relate/react to each other in terms of power.
• Ultimately, the goal is to help find ways to create a “win-win” situation, where potential areas of conflict are turned into opportunities for partnership and mutual benefit.
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Step 1: Identify all the people, groups, and institutions that will affect, be affected
Step 2: Identify the specific interests that each stakeholder has in the policy/project, their attitudes, and how influential they are.
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Step 3: This step identifies the stakeholder importance.
Step 4: The final step considers the actions that are needed to obtain stakeholder support and reduce conflict.
Analysis the role of Stakeholders: Triad Network Analysis
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Type of participation
Stage in the policy cycle
Who needs to be informed
Who will be consulted
What partnerships must be formed
Who takes control?
Problem Identifying Policy formulation
Implementation
Monitoring & evaluation
Source: Modified from Danish, 2007
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ENVIRONMENTAL POLICY
Basic principles:
• precautionary principle
• polluter-pay principle and natural resource user-pay principle
• principle of cooperation or communication principle
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03 basic policy instruments:
1) Command and control (CAC or C&C)
2) Economic instruments
3) Communication instruments
Environmental Policy Instruments
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· License or approval paper on environment
· Law, regulations, decrees
· Standards
- Standards on environmental quality
- Standards on emission/discharge
1) Command and control instruments
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2) Economic instruments
• Redefine property of natural resources
• Tax & fee on natural resources or environment
• Subsidies including subsidy, soft loan, encourage tax, reducing custom tax
• Deposit and deposit-refund
• Pollution quota
• Environment Fund
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3) Communication instruments
Categorizing:
- "one-way“ information tools for propagandizing traditionally ('read'; 'listen'; 'view'), ecological label.
- "two-way" information tools as the EMS, agreement, covenant -> Cooperation with adjustment; self-regulation
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B. POLICY & BIODIVERSITY CONSERVATION
I. GENERAL CONCEPTSII. POLICY INSTRUMENTS IN BIODIVERSITY
CONSERVATIONIII. BIODIVERSITY CONSERVATION IN
VIETNAM
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Biological diversity• Biodiversity is defined as the variability among living organisms from all sources, including, inter alia, terrestrial, marine and other aquatic ecosystems and the ecological complexes of which they are part; this includes diversity within species, between species, and of ecosystems (Heywood & Bates, 1995)[1]
• There are three levels at which biodiversity is important: the gene, the species and the ecosystem [1] In: Yongyut Trisurat, Rajendra P. Shrestha, Rob Alkemade (ed.),
2011
I. GENERAL CONCEPTS
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This diagram illustrates the major components of the earth’s
biodiversity-one of the earth’s most important renewable resources and a key component of the planet’s natural capital
Source: Tyler Miller Jr. & Scott E. Spoolman, 201011/29/2011
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Conservation, which means maintaining the ability of species to evolve, and
Preservation, which provides only for the maintenance of individuals or groups of species, not for their evolutionary change.
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Extinction has been caused by:• the removal of forests and bush-land for agriculture, forestry and urban development; • competition from introduced and cultivated plants and animals; • and pollution of and changes to waterways.
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Milestones & Recent Events of Biodiversity Conservation
• Convention on Biological Diversity (CBD) (1992) at the Earth Summit in Rio de Janeiro on 5 June 1992 and entered into force on 29 December 1993.• Biosafety Protocol (2000): seeks to protect biological diversity from the potential risks posed by living modified organisms resulting from modern biotechnology.• Global Plant Conservation Strategy (2002) adopted a 16 point plan aiming to slow the rate of plant extinctions around the world by 2010.• Convention on Biological Diversity’s 10th Conference of the Parties in Nagoya, Japan (2010) -> Strategic Plan for Biodiversity and the Aichi Biodiversity Targets; • Nagoya Protocol on Access & Benefit Sharing (ABS) (2010). Its objective is the fair and equitable sharing of benefits arising from the utilization of genetic resources, thereby contributing to the conservation and sustainable use of biodiversity.• International Day for Biological Diversity • International Year of Biodiversity • Intergovernmental Platform on Biodiversity and Ecosystem Services (IPBES)• United Nations designated 2011-2020 as the United Nations Decade on Biodiversity (Resolution 65/161). • Plan of Action on Sub-National Governments, Cities and Other Local Authorities for Biodiversity (2011–2020)
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BIODIVERSITY IN ASIA
According to UNESCAP (2010), with regard to number of threatened animal and plant species, Indonesia has the highest threatened mammal species (183), bird species (115), reptiles (27), where as it is Malaysia which has highest threatened amphibian species (47) and plant species (686) among the countries in the region.
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Southeast Asia is also equally rich on marine biodiversity. Malaysia, Indonesia and Philippines are mega diversity countries with 80 % of the global biological diversity. Some of the last remaining intact expanses of mangroves occur in South-East Asia and around 30 % of the world’s coral reefs are situated in the region.
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The threats to biodiversity include land use change (forest conversion, agricultural expansion mono-cropping), forest fire, hunting for wildlife trade, fragmentation due to infrastructure and agricultural development.
Deforestation is the major threat to accelerating loss of biodiversity. Southeast Asia now has the highest deforestation rate in Asia-Pacific and the region could lose three quarters of its original forests by 2100 and up to 42% of its biodiversity (Sodhi et al., 2003). Brook et al. (2002) projected that habitat loss through continuing deforestation would lead to extinction of 21-48% mammals in the region by 2100.
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Forest fire which has occurred all the times in the region is also an important cause of biodiversity loss besides other impacts of forest fire on people’s health, navigation, and damage to properties. Southeast Asia is also considered as a major hub of wildlife trade both of illegal and legal types.
Conservation of biodiversity is a complex and challenging issue. This requires an understanding of direct and indirect causes of biodiversity loss and developing appropriate strategic solutions to address those causes.
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(1) Reversal of evidentiary burden (or the “burden of proof”), by establishing a presumption that certain activities should not be allowed to proceed without a demonstration that they are not harmful, rather than operating on the presumption that certain activities should be allowed to proceed unless there is evidence that they are harmful.
• US Wild Bird Conservation Act disallows commercial import of wild birds unless stringent conservation requirements are satisfied.
• Some countries take a precautionary approach to the control of alien invasive species by prohibiting the import of all species except those assessed in advance as “safe”.
Precautionary Approach in Biodiversity Conservation [*]
Source: Cooney R. , 2004.
II. POLICY INSTRUMENTS IN BIODIVERSITY CONSERVATION
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(2) Placing the evidentiary burden on proponents • The evidentiary burden may then be placed on
the proponent of an activity to demonstrate that it will not cause harm.
• For instance, national forest regulations might require an applicant for a forest concession to demonstrate that it would not negatively impact on biodiversity.
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(3) High standard of proof • Stronger versions of precaution may require
there to be unambiguous evidence (rather than e.g., a suggestion, some indication or a reasonable inference) that an activity will not cause harm before allowing it to proceed.
• For instance, under the Revised Management Procedure developed under the International Whaling Commission, the risk of overexploitation is quantified and can be set at an extremely low level.
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(4) Complete prohibition of particular activities Where there are threats of particularly
serious or irreversible harm, certain classes of activities judged as particularly dangerous may be entirely prohibited.
• In many countries any intentional hunting or “take” of endangered species is entirely banned. There is a global moratorium on large-scale driftnet fishing.
• South Africa Marine Living Resources Act (1988) prohibits the use of dynamite or poison to catch fish.
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(5) Leaving “margin of error” • A common means of implementing precaution, particularly in the
fisheries context, is simply leaving a margin of error when establishing harvest limits.
(6) Information and monitoring requirements.• One response to the recognition of potential threat or harm is to
require monitoring or research to determine the likelihood and/or magnitude of threat.
• Commission for the Conservation of Antarctic Marine Living Resources requires monitoring of the incidence and biological impact of marine debris in Antarctic waters
• Forest Stewardship Council (FSC) Principles and Criteria require monitoring to assess inter alia environmental impacts of forest management activities (Principle 8).
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(1) Better defined property rights (use rights of natural resources )
which has been allocating land and forests to local residents for management for some years
• Under the mechanism, local authorities assign the task of managing and protecting the land and forests to local residents and pay for the management. • The model not only has helped residents settle down in their land, heighten the awareness of protecting the land resources, but also created a premise for the sustainable forest management.
Specific (Economic) Instruments in Biodiversity Conservation
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(2) Payments for Ecological Services or Payments for Environmental Services (PES)
• The practice of offering incentives to farmers or landowners in exchange for managing their land to provide some sort of ecological service. These programs promote the conservation of natural resources in the marketplace. PES programs are voluntary and mutually beneficial contracts between consumers of ecosystem services and the suppliers of these services
• In 24 specific ecosystem services identified, there are “big three”: climate change mitigation, watershed services and biodiversity conservation, which are currently receiving the most money and interest worldwide.
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(3) Community-based natural resource management model (CBNRM)
• Ways in which the state can share rights and responsibilities regarding natural resources with local communities.
• Co-Management (CM) of natural resources is used to describe a partnership by which two or more relevant social actors collectively negotiate, agree upon, guarantee and implement a fair share of management functions, benefits and responsibilities for a particular territory, area or set of natural resources (Borrini-Feyerabend et al. (2004, 69))
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Figure: CBNRM embedded in the institutional set-up and national context
• Dialogue partners should include representatives from the public sector (and not only environmental authorities), civil society , private sector as well as financial institutions.
• A successful implementation of CBNRM often requires changes at three different levels of society:
1) the national level, 2) the local level and the link between these, and 3) the intermediate level.
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(4) Certification and eco-labeling of forest productsCertification is envisaged as a market-driven mechanism that promotes sustainable forest management in three main ways:• by establishing standards for forest practices and management that guarantee a certain level of management performance;• by enhancing marketing opportunities for productsfrom sustainably managed forests; and• by promoting public education about improved forestmanagement, for both producers and consumers.
Source: http://www.cfa-international.org/Durst%20et%20al..pdf
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(4) Certification and eco-labeling of forest productsReasons for less certified forests (13%) are located in developing countries : • weak market demand for certified products in global markets;• wide gaps between existing management standards andcertification requirements; • weak implementation of national forest legislation, policies and programs in developing countries; • insufficient capacity to implement sustainable forest management at the forest management unit level and to develop standards and delivery mechanisms; and • the high direct and indirect costs of obtaining certification in developing countries.
Source: http://www.cfa-international.org/Durst%20et%20al..pdf11/29/2011
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(5) Biodiversity banking (also known as biodiversity trading, biodiversity offsets or conservation banking)is a process by which biodiversity loss can be reduced by creating a framework which allows biodiversity to be reliably measured, and market based solutions applied to improving biodiversity.
• “A market where credits from actions with beneficial biodiversity outcomes can be purchased to offset the debit from environmental damage. Credits can be produced in advance of, and without ex-ante links to, the debits they compensate for, and stored over time”. Biodiversity credits include both habitats and species. (Source: Eftec, IEEP et al., 2010)
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(5) Biodiversity banking • USA: The "mitigation banking" process applies to impacts on
wetlands. It requires that developers firstly avoid harm to wetlands, but if harm is considered unavoidable, then similar wetlands of similar functions and values must be "protected, enhanced or restored" in compensation for those that will be damaged.
• China: The one program with a biodiversity compensation focus is the Forest Vegetation Restoration Fee, a national regulatory program that requires developers impacting lands zoned for forestry to avoid, minimize, and then pay a Forest Vegetation Restoration Fee .
• Global market size is $1.8-$2.9 billion at minimum, and the conservation impact of this market includes at least 86,000 hectares per annum of land under some sort of conservation management (Madsen, Becca; Carroll, Nathaniel; Moore Brands, Kelly; 2010)
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(6) REDD – a green solution?• One such financial mechanism is known as ’REDD’ (reducing
emissions from deforestation and forest degradation) – sometimes extended to REDD+, where the ‘+’ signifies the role of conservation, sustainable management of forests and enhancement of forest carbon stocks.
• REDD and REDD+ have real potential for offering significant, stable flows of income to poor forest communities. But the right safeguards must be in place to ensure that their knowledge and rights over the forests are recognized, and that biodiversity and ecosystem services are maintained.
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Legally back ground• Law on Land (2003) specifies the transference of long-term (renewable) land
use rights to various entities, including organizations, individuals, households, and communities.
• Law on forest protection and development (2004) stipulates the management, protection, development, and usage of forest; rights and obligations of forest owners.
• Law on environmental protection (2005). • Decision on Forestry Development Strategy for Vietnam period 2006-2020
(2007)• Law on biodiversity (2008): Regulating the conservation and sustainable
development of biodiversity, rights and obligations of organizations, households and individuals in the conservation and sustainable development of biodiversity.
• The Action Plan Framework (APF) for Adaptation to Climate Change in the Agriculture and Rural Development Sector for the period 2008-2020
III. BIODIVERSITY CONSERVATION IN VIETNAM
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Vietnam signed:• Convention on Biodiversity and Cartagena
Protocol on bio safety• UN Framework on Climate Change & Kyoto
Protocol• UN Initiative on Reducing Emissions from
Deforestation and forest Degradation (REDD)
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Role of Stakeholders: Triad Network Analysis
Biodiversity Conservation in
Vietnam
Economic Network
Policy Network
Social Network
?
?
?
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• Economic Network- UNEP, UNDP, UN-REDD National Program- World Bank, World Bank’s Forest Carbon Partnership Facility (FCPF); FAO, IUCN, SIDA, ADB - Forest owners (Including: State forest enterprises (SFEs), Management boards of protection forest (MB-PFs), Management boards of special-use forest (MB-SFs), Joint -venture enterprises, Individual households, Collectives, Army units, and People’s Committees (PCs)).-Forest protection groups (FPGs)- Business- Scientific community: Researchers, scientists
Role of Stakeholders: Triad Network Analysis
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Policy Network• Ministry of Agriculture and Rural Development (MARD): Within MARD are the: Forest Department (FD) and Forest Protection Department (FPD) in charge of forestry issues. At the provincial level are DARD and Sub-FPD. • Ministry of Natural Resource and Environment (MONRE): Within MONRE, are the Land Department (LD), Land Registration and Inventory Department, and Institute of Strategy and Policy on Natural Resources and Environment (ISPONRE). At the provincial level is DONRE.• Local Authorities : People’s Committees (PCs). The PC is the state representative organization at each administration level. It is responsible for implementing the state management functions in various fields (including forest and agriculture) within its locality. PCs at provincial (i.e. PPC) and district (i.e. DPC) levels are responsible for granting land use titles to organizations (PPCs) and individuals, households, and groups (DPC).• Parliamentarians
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• Social Network- Media (TV, radio, newspaper,…)- Indigenous and Local Communities - Civil Society Organizations (CSO): Youth’s Union, Women’s Union - NGOs: Professional associations, under Vietnam Union of Sciences and Technology Associations - INGOs in the forestry resources arena include: Netherlands Development Organizations (SNV), Care International, Actionaid, WWF, Helvetas, and Oxfam.
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Economical barriers
• Lack of financial and human resources needed for implementation of policies -> less effective!
• Rapid and not planned hydropower and irrigation development projects.
• Poor!• Market demand leads to over-exploitation of forest
production (medical plants; rare animals)• Lack of right and legal benefits of local people in
access to forest land (not appropriate with FPIC)
Barriers to Biodiversity Conservation in Vietnam
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Policy barriers• Inconsistency about target, content, and time for implementation of
forest protection, biodiversity policies and overlap in implementing those policies and program.
• Inadequate law enforcement and ineffective management of protected areas, encroachment and infrastructure development occurring within and close to Vietnam’s protected areas
• Not been instructing circulars; or circulars are insufficient, difficult to understand and even not in accordance with laws and policies.
• Not public’s participation mechanism in (top-down) policy making process -> policies impractical.
• Not been able to control forest exploitation by projects.• Lack of a mechanism for policy feedback• Lack of a mechanism to ensure corruption prevention and control.• Lack of an effective supervising mechanism. • Lack of a network of communities participating in biodiversity
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Social barriers
• Low awareness: (Indigenous) people/cadres have not had opportunities to approach knowledge about biodiversity conservation and roles of forests in the life of communities and humankind in general.
• The culture of friendly reaction to nature is no longer existed, instead they chase profit without re-enriching land and gene source;
• Social issues have not resolved development projects, but for economic objectives;
• Not participation of relevant parties, particularly communities (including villagers/indigenous peoples) in process of establishing preservation forest, biodiversity conservation;
• Lack of propaganda, dissemination of information, legal documents to local communities.
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A case-study: Javan rhino is now extinct in Vietnam !
The skull of the last known Javan rhino in Vietnam , Photo: WWF
In 1990s, Vietnam established the Nam Cat Tien National Park to safeguard the rhino and ensure its food sources.
The Javan rhinoceros (Rhinoceros sondaicus annamiticusare) was believed to be extinct in mainland Asia until an individual was killed by hunters in Vietnam's Cat Tien region in 1988.
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• The Indochinese tiger, Asian elephant and endemic species such as the saola, Tonkin snub-nosed monkey and Siamese crocodile are also facing extinction in Vietnam.
• Loss of habitat, which allegedly results from expanded agricultural production and hydropower plants, has also contributed to the decline of such endangered animals.11/29/2011
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Lessons learnt : What did stakeholders say?
Tran The Lien, Director of the Nature Conservation Department admitted that the forest system in Vietnam was receiving less attention from the government and was mainly financed or funded by international conservation organizations.
Head of the Party Committee of Cat Tien District said “all must bear responsibility”, “We need a more determined focus on conservation,” “In protected areas, conservation actions should be given the highest priority.”
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Lessons learnt : What did stakeholders say?
Nick Cox, Manager of WWF’s Species Programme said “The tragedy of the Vietnamese Javan rhinoceros is a sad symbol of this extinction crisis,”“The single most important action to conserve Vietnam’s endangered species is protecting their natural habitat and deterring poaching and illegal wildlife trade – the report shows that these actions were inadequate to save the Javan rhino in Vietnam and this continued situation will no doubt lead to the extinction of many more species from Vietnam. Vietnam’s protected areas need more rangers, better training and monitoring, and more accountability.”
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Causes of Extinction
• Loss of habitat, such as arable land• Inadequate law enforcement and ineffective
management of protected areas, encroachment and infrastructure development occurring within and close to Vietnam’s protected areas
• due to overexploitation of forests,• increased pressures on agricultural land, • water pollution• degradation of coastal areas.• rapid population growth and• intense agricultural development.
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CONCLUSION REMARK
Japan Airlines introduces United Nations Decade on Biodiversity logo on special “Eco Jet”
“LIVING IN HARMONY WITH NATURE”
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References• Bruce L. Smith, 2003. Public Policy and Public Participation: Engaging Citizens and
Community in the Development of Public Policy. Atlantic Regional Office, Health Canada.• Cooney R. , 2004. The Precautionary Principle in Biodiversity Conservation and Natural
Resource Management: An issues paper for policy-makers, researchers and practitioners. IUCN, Gland, Switzerland and Cambridge, UK.
• Eftec, IEEP et al., 2010. The use of market-based instruments for biodiversity protection –The case of habitat banking – Technical Report. http://ec.europa.eu/environment/enveco/index.htm
• Jack Rabin (ed.), 2005. Encyclopedia of Public Administration and Public Policy - First Update Supplement. Taylor & Francis Group.
• Madsen, Becca; Carroll, Nathaniel; Moore Brands, Kelly; 2010. State of Biodiversity Markets Report: Offset and Compensation Programs Worldwide. Available at: http://www.ecosystemmarketplace. com/documents/acrobat/sbdmr.pdf
• Rebecca Sutton, 1999. The Policy Process: An Overview. Overseas Development Institute. Chameleon Press Ltd.
• Tyler Miller Jr. & Scott E. Spoolman, 2010. Living in the Environment, 17e. Brooks/Cole, Cengage Learning.
• Yongyut Trisurat, Rajendra P. Shrestha, Rob Alkemade (edt.), 2011. Land Use, Climate Change and Biodiversity Modeling: Perspectives and Applications . Information Science Reference
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