Räumliche Modellierung der Dynamik von Landnutzung in Hessen und ihrer Wirkung auf die biologische Kohlenstoffspeicherung - Entwicklung eines GIS-basierten Modellsystems

Die gegenwärtige Entwicklung der internationalen Klimapolitik verlangt von Deutschland eine Reduktion seiner Treibhausgasemissionen. Wichtigstes Treibhausgas ist Kohlendioxid, das durch die Verbrennung fossiler Energieträger in die Atmosphäre freigesetzt wird. Die Reduktionsziele können prinzipiell durch eine Verminderung der Emissionen sowie durch die Schaffung von Kohlenstoffsenken erreicht werden. Senken beschreiben dabei die biologische Speicherung von Kohlenstoff in Böden und Wäldern. Eine wichtige Einflussgröße auf diese Prozesse stellt die räumliche Dynamik der Landnutzung einer Region dar. In dieser Arbeit wird das Modellsystem HILLS entwickelt und zur Simulation dieser komplexen Wirkbeziehungen im Bundesland Hessen genutzt. Ziel ist es, mit HILLS über eine Analyse des aktuellen Zustands hinaus auch Szenarien über Wege der zukünftigen regionalen Entwicklung von Landnutzung und ihrer Wirkung auf den Kohlenstoffhaushalt bis 2020 zu untersuchen. Für die Abbildung der räumlichen und zeitlichen Dynamik von Landnutzung in Hessen wird das Modell LUCHesse entwickelt. Seine Aufgabe ist die Simulation der relevanten Prozesse auf einem 1 km2 Raster, wobei die Raten der Änderung exogen als Flächentrends auf Ebene der hessischen Landkreise vorgegeben werden. LUCHesse besteht aus Teilmodellen für die Prozesse: (A) Ausbreitung von Siedlungs- und Gewerbefläche, (B) Strukturwandel im Agrarsektor sowie (C) Neuanlage von Waldflächen (Aufforstung). Jedes Teilmodell umfasst Methoden zur Bewertung der Standorteignung der Rasterzellen für unterschiedliche Landnutzungsklassen und zur Zuordnung der Trendvorgaben zu solchen Rasterzellen, die jeweils am besten für eine Landnutzungsklasse geeignet sind. Eine Validierung der Teilmodelle erfolgt anhand von statistischen Daten für den Zeitraum von 1990 bis 2000. Als Ergebnis eines Simulationslaufs werden für diskrete Zeitschritte digitale Karten der Landnutzugsverteilung in Hessen erzeugt. Zur Simulation der Kohlenstoffspeicherung wird eine modifizierte Version des Ökosystemmodells Century entwickelt (GIS-Century). Sie erlaubt einen gesteuerten Simulationslauf in Jahresschritten und unterstützt die Integration des Modells als Komponente in das HILLS Modellsystem. Es werden verschiedene Anwendungsschemata für GIS-Century entwickelt, mit denen die Wirkung der Stilllegung von Ackerflächen, der Aufforstung sowie der Bewirtschaftung bereits bestehender Wälder auf die Kohlenstoffspeicherung untersucht werden kann. Eine Validierung des Modells und der Anwendungsschemata erfolgt anhand von Feld- und Literaturdaten. HILLS implementiert eine sequentielle Kopplung von LUCHesse mit GIS-Century. Die räumliche Kopplung geschieht dabei auf dem 1 km2 Raster, die zeitliche Kopplung über die Einführung eines Landnutzungsvektors, der die Beschreibung der Landnutzungsänderung einer Rasterzelle während des Simulationszeitraums enthält. Außerdem integriert HILLS beide Modelle über ein dienste- und datenbankorientiertes Konzept in ein Geografisches Informationssystem (GIS). Auf diesem Wege können die GIS-Funktionen zur räumlichen Datenhaltung und Datenverarbeitung genutzt werden. Als Anwendung des Modellsystems wird ein Referenzszenario für Hessen mit dem Zeithorizont 2020 berechnet. Das Szenario setzt im Agrarsektor eine Umsetzung der AGENDA 2000 Politik voraus, die in großem Maße zu Stilllegung von Ackerflächen führt, während für den Bereich Siedlung und Gewerbe sowie Aufforstung die aktuellen Trends der Flächenausdehnung fortgeschrieben werden. Mit HILLS ist es nun möglich, die Wirkung dieser Landnutzungsänderungen auf die biologische Kohlenstoffspeicherung zu quantifizieren. Während die Ausdehnung von Siedlungsflächen als Kohlenstoffquelle identifiziert werden kann (37 kt C/a), findet sich die wichtigste Senke in der Bewirtschaftung bestehender Waldflächen (794 kt C/a). Weiterhin führen die Stilllegung von Ackerfläche (26 kt C/a) sowie Aufforstung (29 kt C/a) zu einer zusätzlichen Speicherung von Kohlenstoff. Für die Kohlenstoffspeicherung in Böden zeigen die Simulationsexperimente sehr klar, dass diese Senke nur von beschränkter Dauer ist.

Composition and stability of organic matter fractions in soils under different land use regimes

Soil organic matter (SOM) vitally impacts all soil functions and plays a key role in the global carbon (C) cycle. More than 70% of the terrestric C stocks that participate in the active C cycle are stored in the soil. Therefore, quantitative knowledge of the rates of C incorporation into SOM fractions of different residence time is crucial to understand and predict the sequestration and stabilization of soil organic carbon (SOC). Consequently, there is a need of fractionation procedures that are capable of isolating functionally SOM fractions, i.e. fractions that are defined by their stability. The literature generally refers to three main mechanisms of SOM stabilization: protection of SOM from decomposition by (i) its structural composition, i.e. recalcitrance, (ii) spatial inaccessibility and/or (iii) interaction with soil minerals and metal ions. One of the difficulties in developing fractionation procedures for the isolation of functional SOM fractions is the marked heterogeneity of the soil environment with its various stabilization mechanisms – often several mechanisms operating simultaneously – in soils and soil horizons of different texture and mineralogy. The overall objective of the present thesis was to evaluate present fractionation techniques and to get a better understanding of the factors of SOM sequestration and stabilization. The first part of this study is attended to the structural composition of SOM. Using 13C cross-polarization magic-angle spinning (CPMAS) nuclear magnetic resonance (NMR) spectroscopy, (i) the effect of land use on SOM composition was investigated and (ii) examined whether SOM composition contributes to the different stability of SOM in density and aggregate fractions. The second part of the present work deals with the mineral-associated SOM fraction. The aim was (iii) to evaluate the suitability of chemical fractionation procedures used in the literature for the isolation of stable SOM pools (stepwise hydrolysis, treatments using oxidizing agents like Na2S2O8, H2O2, and NaOCl as well as demineralization of the residue obtained by the NaOCl treatment using HF (NaOCl+HF)) by pool sizes, 13C and 14C data. Further, (iv) the isolated SOM fractions were compared to the inert organic matter (IOM) pool obtained for the investigated soils using the Rothamsted Carbon Model and isotope data in order to see whether the tested chemical fractionation methods produce SOM fractions capable to represent this pool. Besides chemical fractionation, (v) the suitability of thermal oxidation at different temperatures for obtaining stable SOC pools was evaluated. Finally, (vi) the short-term aggregate dynamics and the factors that impact macroaggregate formation and C stabilization were investigated by means of an incubation study using treatments with and without application of 15N labeled maize straw of different degradability (leaves and coarse roots). All treatments were conducted with and without the addition of fungicide. Two study sites with different soil properties and land managements were chosen for these investigations. The first one, located at Rotthalmünster, is a Stagnic Luvisol (silty loam) under different land use regimes. The Ah horizons of a spruce forest and continuous grassland and the Ap and E horizons of two plots with arable crops (continuous maize and wheat cropping) were examined. The soil of the second study site, located at Halle, is a Haplic Phaeozem (loamy sand) where the Ap horizons of two plots with arable crops (continuous maize and rye cropping) were investigated. Both study sites had a C3-/C4-vegetational change on the maize plot for the purpose of tracing the incorporation of the younger, maize-derived C into different SOM fractions and the calculation of apparent C turnover times of these. The Halle site is located near a train station and industrial areas, which caused a contamination with high amounts of fossil C. The investigation of aggregate and density fractions by 13C CPMAS NMR spectroscopy revealed that density fractionation isolated SOM fractions of different composition. The consumption of a considerable part (10–20%) of the easily available O-alkyl-C and the selective preservation of the more recalcitrant alkyl-C when passing from litter to the different particulate organic matter (POM) fractions suggest that density fractionation was able to isolate SOM fractions with different degrees of decomposition. The spectra of the aggregate fractions resembled those of the mineral-associated SOM fraction obtained by density fractionation and no considerable differences were observed between aggregate size classes. Comparison of plant litter, density and aggregate size fractions from soil under different land use showed that the type of land use markedly influenced the composition of SOM. While SOM of the acid forest soil was characterized by a large content (> 50%) of POM, which contained high amounts of spruce-litter derived alkyl-C, the organic matter in the biologically more active grassland and arable soils was dominated by mineral-associated SOM (> 95%). This SOM fraction comprised greater proportions of aryl- and carbonyl-C and is considered to contain a higher amount of microbially-derived organic substances. Land use can alter both, structure and stability of SOM fractions. All applied chemical treatments induced considerable SOC losses (> 70–95% of mineral-associated SOM) in the investigated soils. The proportion of residual C after chemical fractionation was largest in the arable Ap and E horizons and increased with decreasing C content in the initial SOC after stepwise hydrolysis as well as after the oxidative treatments with H2O2 and Na2S2O8. This can be expected for a functional stable pool of SOM, because it is assumed that the more easily available part of SOC is consumed first if C inputs decrease. All chemical treatments led to a preferential loss of the younger, maize-derived SOC, but this was most pronounced after the treatments with Na2S2O8 and H2O2. After all chemical fractionations, the mean 14C ages of SOC were higher than in the mineral-associated SOM fraction for both study sites and increased in the order: NaOCl < NaOCl+HF ≤ stepwise hydrolysis << H2O2 ≈ Na2S2O8. The results suggest that all treatments were capable of isolating a more stable SOM fraction, but the treatments with H2O2 and Na2S2O8 were the most efficient ones. However, none of the chemical fractionation methods was able to fit the IOM pool calculated using the Rothamsted Carbon Model and isotope data. In the evaluation of thermal oxidation for obtaining stable C fractions, SOC losses increased with temperature from 24–48% (200°C) to 100% (500°C). In the Halle maize Ap horizon, losses of the young, maize-derived C were considerably higher than losses of the older C3-derived C, leading to an increase in the apparent C turnover time from 220 years in mineral-associated SOC to 1158 years after thermal oxidation at 300°C. Most likely, the preferential loss of maize-derived C in the Halle soil was caused by the presence of the high amounts of fossil C mentioned above, which make up a relatively large thermally stable C3-C pool in this soil. This agrees with lower overall SOC losses for the Halle Ap horizon compared to the Rotthalmünster Ap horizon. In the Rotthalmünster soil only slightly more maize-derived than C3-derived SOC was removed by thermal oxidation. Apparent C turnover times increased slightly from 58 years in mineral-associated SOC to 77 years after thermal oxidation at 300°C in the Rotthalmünster Ap and from 151 to 247 years in the Rotthalmünster E horizon. This led to the conclusion that thermal oxidation of SOM was not capable of isolating SOM fractions of considerably higher stability. The incubation experiment showed that macroaggregates develop rapidly after the addition of easily available plant residues. Within the first four weeks of incubation, the maximum aggregation was reached in all treatments without addition of fungicide. The formation of water-stable macroaggregates was related to the size of the microbial biomass pool and its activity. Furthermore, fungi were found to be crucial for the development of soil macroaggregates as the formation of water-stable macroaggregates was significantly delayed in the fungicide treated soils. The C concentration in the obtained aggregate fractions decreased with decreasing aggregate size class, which is in line with the aggregate hierarchy postulated by several authors for soils with SOM as the major binding agent. Macroaggregation involved incorporation of large amounts maize-derived organic matter, but macroaggregates did not play the most important role in the stabilization of maize-derived SOM, because of their relatively low amount (less than 10% of the soil mass). Furthermore, the maize-derived organic matter was quickly incorporated into all aggregate size classes. The microaggregate fraction stored the largest quantities of maize-derived C and N – up to 70% of the residual maize-C and -N were stored in this fraction.

Uncover the Concealed Link: Gender & Ethnicity-Divided Local Knowledge on the Agro-Ecosystem of a Forest Margin

This research is a study about knowledge interface that aims to analyse knowledge discontinuities, the dynamic and emergent characters of struggles and interactions within gender system and ethnicity differences. The cacao boom phenomenon in Central Sulawesi is the main context for a changing of social relations of production, especially when the mode of production has shifted or is still underway from subsistence to petty commodity production. This agrarian change is not only about a change of relationship and practice, but, as my previous research has shown, also about the shift of knowledge domination, because knowledge construes social practice in a dialectical process. Agroecological knowledge is accumulated through interaction, practice and experience. At the same time the knowledge gained from new practices and experiences changes mode of interaction, so such processes provide the arena where an interface of knowledge is manifested. In the process of agro-ecological knowledge interface, gender and ethnic group interactions materialise in the decision-making of production and resource allocation at the household and community level. At this point, power/knowledge is interplayed to gain authority in decision-making. When authority dominates, power encounters resistance, whereas the dominant power and its resistance are aimed to ensure socio-economic security. Eventually, the process of struggle can be identified through the pattern of resource utilisation as a realisation of production decision-making. Such processes are varied from one community to another, and therefore, it shows uniqueness and commonalities, especially when it is placed in a context of shifting mode of production. The focus is placed on actors: men and women in their institutional and cultural setting, including the role of development agents. The inquiry is informed by 4 major questions: 1) How do women and men acquire, disseminate, and utilise their agro ecological knowledge, specifically in rice farming as a subsistence commodity, as well as in cacao farming as a petty commodity? How and why do such mechanisms construct different knowledge domains between two genders? How does the knowledge mechanism apply in different ethnics? What are the implications for gender and ethnicity based relation of production? ; 2) Using the concept of valued knowledge in a shifting mode of production context: is there any knowledge that dominates others? How does the process of domination occur and why? Is there any form of struggle, strategies, negotiation, and compromise over this domination? How do these processes take place at a household as well as community level? How does it relate to production decision-making? ; 3) Putting the previous questions in two communities with a different point of arrival on a path of agricultural commercialisation, how do the processes of struggle vary? What are the bases of the commonalities and peculiarities in both communities?; 4) How the decisions of production affect rice field - cacao plantation - forest utilisation in the two villages? How does that triangle of resource use reflect the constellation of local knowledge in those two communities? What is the implication of this knowledge constellation for the cacao-rice-forest agroecosystem in the forest margin area? Employing a qualitative approach as the main method of inquiry, indepth and dialogic interviews, participant observer role, and document review are used to gather information. A small survey and children’s writing competition are supplementary to this data collection method. The later two methods are aimed to give wider information on household decision making and perception toward the forest. It was found that local knowledge, particularly knowledge pertaining to rice-forest-cacao agroecology is divided according to gender and ethnicity. This constellation places a process of decision-making as ‘the arena of interface’ between feminine and masculine knowledge, as well as between dominant and less dominant ethnic groups. Transition from subsistence to a commercial mode of production is a context that frames a process where knowledge about cacao commodity is valued higher than rice. Market mechanism, as an external power, defines valued knowledge. Valued knowledge defines the dominant knowledge holder, and decision. Therefore, cacao cultivation becomes a dominant practice. Its existence sacrifices the presence of rice field and the forest. Knowledge about rice production and forest ecosystem exist, but is less valued. So it is unable to challenge the domination of cacao. Various forms of struggles - within gender an ethnicity context - to resist cacao domination are an expression of unequal knowledge possession. Knowledge inequality implies to unequal access to withdraw benefit from market valued crop. When unequal knowledge fails to construct a negotiated field or struggles fail to reveal ‘marginal’ decision, e.g. intensification instead of cacao expansion to the forest, interface only produces divergence. Gender and ethnicity divided knowledge is unabridged, since negotiation is unable to produce new knowledge that accommodates both interests. Rice is loaded by ecological interest to conserve the forest, while cacao is driven by economic interest to increase welfare status. The implication of this unmediated dominant knowledge of cacao production is the construction of access; access to the forest, mainly to withdraw its economic benefit by eliminating its ecological benefit. Then, access to cacao as the social relationship of production to acquire cacao knowledge; lastly, access to defend sustainable benefit from cacao by expansion. ‘Socio-economic Security’ is defined by Access. The convergence of rice and cacao knowledge, however, should be made possible across gender and ethnicity, not only for the sake of forest conservation as the insurance of ecological security, but also for community’s socio-economic security. The convergence might be found in a range of alternative ways to conduct cacao sustainable production, from agroforestry system to intensification.

Shifting cultivation and forest resources in Nagaland, N.-E. India

Die vorliegende Studie befasst sich mit der Ressourcennachhaltigkeit der traditionellen, auf Wanderfeldbau beruhenden Subsistenzwirtschaft in zwei Dörfern (Hongphoy und Minyakshu) in Nagaland im Nordosten Indiens. Hierbei werden die Cerealien Produktion, der Feuerholz Konsum und auch die Folgen der intensivierten Bewirtschaftung (Forstdegradation und Bodenverarmung) im Hinblick auf das Bevölkerungswachstum diskutiert. Während das traditionelle System des Wanderfeldbaus (Jhum) seit Jahrzehnten die Bedürfnisse der ehemals kopfjagenden Stämme Nagalands erfüllte, ergab unsere Studie durch Interviews und Feldaufnahmen in 2004 und 2005, dass die steigende Nachfrage einer wachsenden Bevölkerung nach Cerealien und Feuerholz als wichtigste Ressourcen der Subsistenzwirtschaft zu einer verkürzten Brachezeit und letztlich der Degradation von Naturressourcen geführt hat: Pro Hektar Ernten sind reduziert und der Zuwachs der Holzvorräte auf den Feldern kann durch die verkürzten Bracheperioden nicht mehr die Feuerholz Nachfrage decken. Eine Nahrungsmittelknappheit wurde durch die Gegenüberstellung des Energiebedarfs einer Person und die jährlichen pro-Kopf Erntemengen und unter Berücksichtigung des Zukaufs von Reis reflektiert: In Hongphoy ergab dies ein Defizit auf Dorfebene von 130 Tonnen Reis, in Minyakshu von 480 Tonnen, die nicht durch Ernten gedeckt werden konnten. Diese Nahrungsmittelknappheit erweist sich vor allem vor dem Hintergrund eines Bevölkerungswachstums von 6.7% und marginalen Einkünften als problematisch. Für fünf verschiedene Waldformationen (zwei Brachewälder, zwei Dorfwälder und ein Naturwald) wurden die unterschiedliche Artenzusammensetzung (Diversität) und Bestandesvolumina durch Forstinventuren beschrieben. Der dem Bestandesvolumen der Brachewälder gegenübergestellte pro-Kopf Feuerholz Bedarf ergab ein jährliches Defizit von 1,81m³ in Hongphoy und 0.05m³ in Minyakshu. Der Unterschied dieses Defizits zwischen beiden Dörfern wurde in einer abweichenden Bestandesstruktur (Dominanz der N2 fixierenden Baumart Alnus nepalensis in den Brachewäldern Minyakshus) begründet. Über den erhobenen Feuerholzbedarf wurde ein theoretischer pro-Kopf Flächenbedarf an Brachewald errechnet, der nötig wäre um den gesamten Feuerholz Bedarf innerhalb des Wanderfeldbau Systems zu decken. Das daraus resultierende Defizit wurde mit den Feuerholzvolumina der Dorfwälder und des verbliebenen Naturwalds gegenüber gestellt. Hieraus ergibt sich die Bedeutung der Feuerholzernte und des Wanderfeldbau als Ursache für die fortschreitende Entwaldung und Forstdegradation in Nagaland. Mit Hilfe dieser Informationen und aktuellen Angaben zum Bevölkerungswachstum werden die Ergebnisse anhand einschlägiger Literatur diskutiert und letztendlich die Nachhaltigkeit und Tragfähigkeit des Wanderfeldbau Systems in dieser Region bestimmt. Mögliche Verbesserungsstrategien um der zunehmenden Ressourcendegradation zu begegnen, werden andiskutiert.

Effects of tillage on processes of organic matter sequestration

To increase the organic matter (OM) content in the soil is one main goal in arable soil management. The adoption of tillage systems with reduced tillage depth and/or frequency (reduced tillage) or of no-tillage was found to increase the concentration of soil OM compared to conventional tillage (CT; ploughing to 20-30 cm). However, the underlying processes are not yet clear and are discussed contradictorily. So far, few investigations were conducted on tillage systems with a shallow tillage depth (minimum tillage = MT; maximum tillage depth of 10 cm). A better understanding of the interactions between MT implementation and changes in OM transformation in soils is essential in order to evaluate the possible contribution of MT to a sustainable management of arable soils. The objectives of the present thesis were (i) to compare OM concentrations, microbial biomass, water-stable aggregates, and particulate OM (POM) between CT and MT soils, (ii) to estimate the temporal variability of water-stable aggregate size classes occurring in the field and the dynamics of macroaggregate (>250 µm) formation and disruption under controlled conditions, (iii) to investigate whether a lower disruption or a higher formation rate accounts for a higher occurrence of macroaggregates under MT compared to CT, (iv) to determine which fraction is the major agent for storing the surplus of OM found under MT compared to CT, and (v) to observe the early OM transformation after residue incorporation in different tillage systems simulated. Two experimental sites (Garte-Süd and Hohes Feld) near Göttingen, Germany, were investigated. Soil type of both sites was a Haplic Luvisol. Since about 40 years, both sites receive MT by a rotary harrow (to 5-8 cm depth) and CT by a plough (to 25 cm depth). Surface soils (0-5 cm) and subsoils (10-20 cm) of two sampling dates (after fallow and directly after tillage) were investigated for concentrations of organic C (Corg) and total N (N), different water-stable aggregate size classes, different density fractions (for the sampling date after fallow only), microbial biomass, and for biochemically stabilized Corg and N (by acid hydrolysis; for the sampling date after tillage only). In addition, two laboratory incubations were performed under controlled conditions: Firstly, MT and CT soils were incubated (28 days at 22°C) as bulk soil and with destroyed macroaggregates in order to estimate the importance of macroaggregates for the physical protection of the very labile OM against mineralization. Secondly, in a microcosm experiment simulating MT and CT systems with soil <250 µm and with 15N and 13C labelled maize straw incorporated to different depths, the mineralization, the formation of new macroaggregates, and the partitioning of the recently added C and N were followed (28 days at 15°C). Forty years of MT regime led to higher concentrations of microbial biomass and of Corg and N compared to CT, especially in the surface soil. After fallow and directly after tillage, a higher proportion of water-stable macroaggregates rich in OM was found in the MT (36% and 66%, respectively) than in the CT (19% and 47%, respectively) surface soils of both sites (data shown are of the site Garte-Süd only). The subsoils followed the same trend. For the sampling date after fallow, no differences in the POM fractions were found but there was more OM associated to the mineral fraction detected in the MT soils. A large temporal variability was observed for the abundance of macroaggregates. In the field and in the microcosm simulations, macroaggregates were found to have a higher formation rate after the incorporation of residues under MT than under CT. Thus, the lower occurrence of macroaggregates in CT soils cannot be attributed to a higher disruption but to a lower formation rate. A higher rate of macroaggregate formation in MT soils may be due to (i) the higher concentrated input of residues in the surface soil and/or (ii) a higher abundance of fungal biomass in contrast to CT soils. Overall, as a location of storage of the surplus of OM detected under MT compared to CT, water-stable macroaggregates were found to play a key role. In the incubation experiment, macroaggregates were not found to protect the very labile OM against mineralization. Anyway, the surplus of OM detected after tillage in the MT soil was biochemically degradable. MT simulations in the microcosm experiment showed a lower specific respiration and a less efficient translocation of recently added residues than the CT simulations. Differences in the early processes of OM translocation between CT and MT simulations were attributed to a higher residue to soil ratio and to a higher proportion of fungal biomass in the MT simulations. Overall, MT was found to have several beneficial effects on the soil structure and on the storage of OM, especially in the surface soil. Furthermore, it was concluded that the high concentration of residues in the surface soil of MT may alter the processes of storage and decomposition of OM. In further investigations, especially analysis of the residue-soil-interface and of effects of the depth of residue incorporation should be emphasised. Moreover, further evidence is needed on differences in the microbial community between CT and MT soils.

Evaluation of water retention capacity and flood control function of the forest catchment

This research quantitatively evaluates the water retention capacity and flood control function of the forest catchments by using hydrological data of the large flood events which happened after the serious droughts. The objective sites are the Oodo Dam and the Sameura Dam catchments in Japan. The kinematic wave model, which considers saturated and unsaturated sub-surface soil zones, is used for the rainfall-runoff analysis. The result shows that possible storage volume of the Oodo Dam catchment is 162.26 MCM in 2005, while that of Samerua is 102.83 MCM in 2005 and 102.64 MCM in 2007. Flood control function of the Oodo Dam catchment is 173 mm in water depth in 2005, while the Sameura Dam catchment 114 mm in 2005 and 126 mm in 2007. This indicates that the Oodo Dam catchment has more than twice as big water capacity as its capacity (78.4 mm), while the Sameura Dam catchment has about one-fifth of the its storage capacity (693 mm).

Transaction costs of farmers’ participation in forest management: Policy implications of payments for environmental services schemes in Vietnam

Recent research on payments for environmental services (PES) has observed that high transaction costs (TCs) are incurred through the implementation of PES schemes and farmer participation. TCs incurred by households are considered to be an obstacle to the participation in and efficiency of PES policies. This study aims to understand transactions related to previous forest plantation programmes and to estimate the actual TCs incurred by farmers who participated in these programmes in a mountainous area of northwestern Vietnam. In addition, this study examines determinants of households’ TCs to test the hypothesis of whether the amount of TCs varies according to household characteristics. Results show that average TCs are not likely to be a constraint for participation since they are about 200,000 VND (USD 10) per household per contract, which is equivalent to one person’s average earnings for about two days of labour. However, TCs amount to more than one-third of the programmes’ benefits, which is relatively high compared to PES programmes in developed countries. This implies that rather than aiming to reduce TCs, an appropriate agenda for policy improvement is to balance the level of TCs with PES programme benefits to enhance the overall attractiveness of afforestation programmes for smallholder farmers. Regression analysis reveals that education, gender and perception towards PES programmes have significant effects on the magnitude of TCs. The analyses also points out the importance of local conditions on the level of TCs, with some unexpected results.