Social Impact Assessment (SIA) is the process of analyzing, monitoring and managing the social effects of planned or implemented development interventions. The primary purpose of SIA is to bring about a sustainable and equitable biophysical and social environment. SIA is a prerequisite in FAO and World Bank aided projects which cover sectors of mining, agriculture, fishery, dams and transportation. In forestry it has the great potential of enhancing sustainable forest management, taking into account rural development objectives and local needs. SIA can be applied before and after the implementation of projects and programs. In the context of recent policy changes in China, the Natural Forest Protection Program (NFPP) has been implemented in a “top-down” process from 1998 to 2010. A large part of the forests on main river basins in Western regions are being conserved with severe restrictions for commercial use. The social effects of the NFPP are still debatable, indicating a need for conducting a SIA of the NFPP using a systematic conceptual approach. Objectives of the research are: (1) To understand how and to what extent the NFPP affected the local forest-dependent communities and their households; (2) To identify the local strategies currently used to cope up with the impacts; and (3) To develop the optimal strategies likely supported for a better harmonization between livelihood and the NFPP implementation in different regional contexts. The empirical research is approached through quantitative and qualitative social research methods for data collection and analysis. For the case studies, four villages with a total number of 175 respondents were selected for field surveys where questionnaires, interviews and group discussions were employed. The research findings indicate that, the NFPP has significant impacts on the population characteristics, institutional arrangements and infrastructure and public services at the community level and at household level, the income derivation, expenditure, labour time distribution, perceptions on public health/safety and changing values of forests perceived by individuals. The research reveals that, synthesizing de facto impacts of the NFPP makes potential negative social impacts predictable. The policy-makers and project teams implementing the NFPP should be aware that, the NFPP results in dynamic change processes which include the de facto and potential impacts as well as the influence factors; among these, contribution of strategies derived from local communities and households as the spontaneous reactions to cope with the NFPP impacts should be taken into consideration. Recommendations are given referring to a better implementation of the NFPP and the need for future researches concerning the SIA for sustainable forest management in different regional contexts. / Social Impact Assessment (SIA) ist ein Prozess, der Analyse, Monitoring und Bewältigung der sozialen Effekte geplanter oder durchgeführter Entwicklungsinterventionen umfasst. Das Hauptanliegen von SIA ist, eine nachhaltige und gerechte biophysische und soziale Umwelt zu schaffen. SIA ist für Projekte der FAO und der Weltbank in den Sektoren Bergbau, Landwirtschaft, Fischerei, Talsperren und Transport eine Grundvoraussetzung. Für die Forstwirtschaft ergibt sich daraus das Potenzial, nachhaltige Waldbewirtschaftung zu stärken und dabei die Ziele ländlicher Entwicklung und lokale Erfordernisse zu berücksichtigen. SIA kann vor und nach der Durchführung von Projekten und Programmen angewendet werden. Im Zusammenhang mit den aktuellen politischen Veränderungen in China wird das Natural Forest Protection Program (NFPP) im Zeitraum von 1998-2010 nach dem top-down-Verfahren durchgeführt. Die sozialen Auswirkungen des NFPP sind noch immer umstritten. Das unterstreicht die Notwendigkeit der SIA unter Anwendung einer systematischen konzeptionellen Herangehensweise. Ein besonders kritischer Faktor dabei ist, dass ein erheblicher Anteil der Wälder in den Wassereinzugsgebieten wichtiger Flussläufe in den westlichen Regionen durch strikte Einschränkungen der kommerziellen Nutzung geschützt wurden. Die Ziele der Forschung sind: (1) Aufzeigen wie und in welchem Ausmaß das NFPP die örtlichen waldabhängigen Gemeinden und ihre Haushalte beeinflusst hat; (2) Identifizieren lokal entwickelter und angewandter Strategien, um die Auswirkungen des NFPP zu bewältigen; und (3) Entwickeln optimaler Strategien für eine bessere Harmonisierung der Lebensgrundlagen mit der Umsetzung des NFPP in unterschiedlichen regionalen Kontexten. Die empirische soziale Forschung bedient sich quantitativer und qualitativer Methoden zur Datensammlung und Datenanalyse. Für die Fallstudie wurden vier Dörfer mit insgesamt 175 Befragten ausgewählt. Bei der Primärdatenerhebung kamen Fragebögen, Interviews und Gruppendiskussionen zur Anwendung. Die Forschungsergebnisse zeigen, dass das NFPP signifikanten Einfluss ausübt auf Größe und Anteil armer Bevölkerung, auf institutionelle Rahmenbedingungen, die Infrastruktur und den öffentlichen Dienstleistungssektor auf Gemeindeebene. Auf Haushaltsebene wurde signifikanter einfluss nachgewiesen für die Generierung von Einkommen, die Ausgaben, die Arbeitszeitverteilung, die Vorstellungen über Gesundheitswesen und Sicherheit als auch auf die Wahrnehmung der sich verändernden Werte des Waldes. Es wird ersichtlich, dass durch Zusammenführen der de facto-Auswirkungen des NFPP potenzielle negative soziale Einflüsse vorhersagbar werden. Entscheidungsträger und Projektteams sollten sich darüber bewusst werden, dass das NFPP zu dynamischen Veränderungsprozessen führt, welche die de facto- und potentiellen Auswirkungen sowie die Einflussfaktoren betreffen. Dies schließt den Beitrag der lokal entwickelten Strategien ein. Empfehlungen betreffen die bessere Umsetzung des NFPP sowie die Notwendigkeit weiterer Forschung hinsichtlich der SIA im Zusammenhang nachhaltiger Waldbewirtschaftung in verschiedenen regionalen Kontexten.

Social Impact Assessment (SIA) is the process of analyzing, monitoring and managing the social effects of planned or implemented development interventions. The primary purpose of SIA is to bring about a sustainable and equitable biophysical and social environment. SIA is a prerequisite in FAO and World Bank aided projects which cover sectors of mining, agriculture, fishery, dams and transportation. In forestry it has the great potential of enhancing sustainable forest management, taking into account rural development objectives and local needs. SIA can be applied before and after the implementation of projects and programs. In the context of recent policy changes in China, the Natural Forest Protection Program (NFPP) has been implemented in a “top-down” process from 1998 to 2010. A large part of the forests on main river basins in Western regions are being conserved with severe restrictions for commercial use. The social effects of the NFPP are still debatable, indicating a need for conducting a SIA of the NFPP using a systematic conceptual approach. Objectives of the research are: (1) To understand how and to what extent the NFPP affected the local forest-dependent communities and their households; (2) To identify the local strategies currently used to cope up with the impacts; and (3) To develop the optimal strategies likely supported for a better harmonization between livelihood and the NFPP implementation in different regional contexts. The empirical research is approached through quantitative and qualitative social research methods for data collection and analysis. For the case studies, four villages with a total number of 175 respondents were selected for field surveys where questionnaires, interviews and group discussions were employed. The research findings indicate that, the NFPP has significant impacts on the population characteristics, institutional arrangements and infrastructure and public services at the community level and at household level, the income derivation, expenditure, labour time distribution, perceptions on public health/safety and changing values of forests perceived by individuals. The research reveals that, synthesizing de facto impacts of the NFPP makes potential negative social impacts predictable. The policy-makers and project teams implementing the NFPP should be aware that, the NFPP results in dynamic change processes which include the de facto and potential impacts as well as the influence factors; among these, contribution of strategies derived from local communities and households as the spontaneous reactions to cope with the NFPP impacts should be taken into consideration. Recommendations are given referring to a better implementation of the NFPP and the need for future researches concerning the SIA for sustainable forest management in different regional contexts.:TABLE OF CONTENT ACKNOWLEDGEMENTS ..................................................................................................... i LIST OF FIGURES ................................................................................................................ vi LIST OF TABLES ................................................................................................................ viii LIST OF BOXES .................................................................................................................... ix LIST OF ACRONYMS ............................................................................................................ x ABSTRACT ........................................................................................................................... xii ZUSAMMENFASSUNG ..................................................................................................... xiii 1 INTRODUCTION ........................................................................................................ xiii 1.1 Background .................................................................................................................. 1 1.2 Problem statement and justification ............................................................................. 5 1.3 Research objectives ...................................................................................................... 6 1.3.1 General research objectives .................................................................................. 6 1.3.2 Specific research objectives .................................................................................. 7 1.4 Structure of the dissertation ......................................................................................... 8 2 CURRENT STATE OF KNOWLEDGE AND INFORMATION ............................... 10 2.1 General remark .......................................................................................................... 10 2.2 Forestry reforms in China .......................................................................................... 10 2.2.1 China‘s forestry sector since the economic reform in 1978 ................................ 10 2.2.2 Forest tenure and administration ......................................................................... 13 2.2.3 Chronology of sectional reforms in China and their consequences .................... 14 2.2.4 Policy reforms in the forestry sector ................................................................... 18 2.3 The Natural Forest Protection Program ..................................................................... 21 2.3.1 Background and objective .................................................................................. 21 2.3.2 Scale and main contents ...................................................................................... 21 2.3.3 Implementation process ...................................................................................... 22 2.3.4 Budget ................................................................................................................. 23 2.3.5 Legal basis .......................................................................................................... 23 2.3.6 Current implementation status and main achievements ..................................... 23 2.3.7 Various impacts of the NFPP derived from previous researches ........................ 23 2.4 Social Impact Assessment as a development tool ...................................................... 25 2.4.1 Concepts of Social Impact Assessment .............................................................. 25 2.4.2 A brief history of Social Impact Assessment ...................................................... 27 2.4.3 Principles and guidelines for Social Impact Assessment .................................... 29 2.4.4 Basic model of Social Impact Assessment ......................................................... 29 2.4.5 Process of Social Impact Assessment ................................................................. 31 2.4.6 SIA case study examples and matrix of common social indicators .................... 31 3 CONCEPTUAL FRAMEWORK AND THEORETICAL PERSPECTIVES ........... 38 3.1 General remark .......................................................................................................... 38 3.2 Basic settings in the ―Function evaluation‖ approach ............................................... 40 3.3 Integration framework: indirect and direct human impacts ....................................... 42 3.4 Conceptual framework of SIA: focusing on changes in social setting ...................... 46 3.5 Human ecosystem as an organizing concept for SIA ................................................ 47 3.5.1 Concept of human ecology and human ecosystem models ................................ 47 3.5.2 Systems model of human ecology ...................................................................... 48 3.5.3 Concept model of human ecosystems ................................................................. 50 3.5.4 Learning from the two conceptual models of human ecosystem ........................ 51 3.5.5 A local forest-dependent community as a small scale human ecosystem ........... 53 3.6 Framework conceptualizing social impacts in the empirical context ........................ 55 3.7 Research questions ..................................................................................................... 57 4 RESEARCH METHDOLOGY ..................................................................................... 60 4.1 Defining and operationalizing the research indicators .............................................. 60 4.1.1 Foundation of the definition ............................................................................... 60 4.1.2 Defining and operationalizing the selected research indicators .......................... 62 4.2 Selection of case study areas ..................................................................................... 68 4.3 Methods for quantitative and qualitative data collection ........................................... 71 4.3.1 Introduction ......................................................................................................... 71 4.3.2 Field reconnaissance survey ............................................................................... 71 4.3.3 Secondary data collection ................................................................................... 71 4.3.4 Primary data collection ....................................................................................... 72 4.4 Data processing and analysis ..................................................................................... 75 4.5 Research procedure .................................................................................................... 76 4.6 Discussion on the attribution gap ............................................................................... 76 4.7 Reliability and validity of the field research process ................................................. 76 5 SCOPING AND OBSERVATION OF THE STUDY AREAS ..................................... 79 5.1 General remark .......................................................................................................... 79 5.2 Case study area 1: Gansu Xiaolongshan state-owned forest area .............................. 79 5.2.1 General information of Gansu Province ............................................................. 79 5.2.2 Profile of Xiaolongshan state-owned forest area ................................................ 81 5.2.3 Profiles of the villages investigated .................................................................... 84 5.2.4 Characteristics of household respondents in the two villages ............................ 86 5.3 Case Study Area 2: Chongqing collective-owned forest area .................................... 87 5.3.1 General information of Chongqing Municipality ............................................... 87 5.3.2 Information on Dazu County and its collective forest area ................................ 90 5.3.3 Profiles of the villages investigated .................................................................... 92 5.3.4 Characteristics of household respondents in the two villages ............................ 93 6 ASSESSMENT OF SOCIAL IMPACTS AND CAUSAL ANALYSIS ....................... 96 6.1 Social impacts on the local community level ............................................................ 96 6.1.1 Change in the community population characteristics ......................................... 96 6.1.2 Change in the community institutional arrangements ........................................ 99 6.1.3 Change in the community infrastructure and public services ........................... 111 6.2 Social impacts on the household level ..................................................................... 118 6.2.1 Impacts on households and families ................................................................. 118 6.2.2 Impacts on individuals ...................................................................................... 131 7 DIAGNOSIS: COMPARATIVE ANALYSIS AND DISCUSSION .......................... 145 7.1 General remark ........................................................................................................ 145 7.2 The de facto impacts of the NFPP on local communities and households .............. 145 7.2.1 The social change processes in the local community ....................................... 145 7.2.2 Human impacts on the local households ........................................................... 149 7.3 External and internal factors influencing the extent of impact results..................... 152 7.3.1 Introduction ....................................................................................................... 152 7.3.2 The external factors at community level ........................................................... 152 7.3.3 The internal factors at household and individual level ..................................... 154 7.4 Potential impacts of the NFPP on the local community and households................. 154 7.5 Dynamics of de facto and potential impacts, local strategies and influence factors 155 8 CONCLUSION AND RECOMMENDATIONS ........................................................ 157 8.1 General remarks ....................................................................................................... 157 8.2 Recapitulation of major findings and conclusions ................................................... 157 8.3 Scope and limitations of the empirical study ........................................................... 158 8.4 Recommendation for future policy implementation ................................................ 160 8.5 Relationship between theory and findings ............................................................... 163 8.6 A critical review of methodology and implications for SIA research ...................... 165 REFERENCES ..................................................................................................................... 168 APPENDICES ...................................................................................................................... 179 Appendix 1: Some data and background information available in literature ..................... 180 Appendix 2: Supplementary material and material information used in research ............. 195 Appendix 3: Questionnaires used in the field surveys ....................................................... 203 Appendix 4: Part of the data collected in the field ............................................................. 212 Appendix 5: Photos in the fields ........................................................................................ 234 / Social Impact Assessment (SIA) ist ein Prozess, der Analyse, Monitoring und Bewältigung der sozialen Effekte geplanter oder durchgeführter Entwicklungsinterventionen umfasst. Das Hauptanliegen von SIA ist, eine nachhaltige und gerechte biophysische und soziale Umwelt zu schaffen. SIA ist für Projekte der FAO und der Weltbank in den Sektoren Bergbau, Landwirtschaft, Fischerei, Talsperren und Transport eine Grundvoraussetzung. Für die Forstwirtschaft ergibt sich daraus das Potenzial, nachhaltige Waldbewirtschaftung zu stärken und dabei die Ziele ländlicher Entwicklung und lokale Erfordernisse zu berücksichtigen. SIA kann vor und nach der Durchführung von Projekten und Programmen angewendet werden. Im Zusammenhang mit den aktuellen politischen Veränderungen in China wird das Natural Forest Protection Program (NFPP) im Zeitraum von 1998-2010 nach dem top-down-Verfahren durchgeführt. Die sozialen Auswirkungen des NFPP sind noch immer umstritten. Das unterstreicht die Notwendigkeit der SIA unter Anwendung einer systematischen konzeptionellen Herangehensweise. Ein besonders kritischer Faktor dabei ist, dass ein erheblicher Anteil der Wälder in den Wassereinzugsgebieten wichtiger Flussläufe in den westlichen Regionen durch strikte Einschränkungen der kommerziellen Nutzung geschützt wurden. Die Ziele der Forschung sind: (1) Aufzeigen wie und in welchem Ausmaß das NFPP die örtlichen waldabhängigen Gemeinden und ihre Haushalte beeinflusst hat; (2) Identifizieren lokal entwickelter und angewandter Strategien, um die Auswirkungen des NFPP zu bewältigen; und (3) Entwickeln optimaler Strategien für eine bessere Harmonisierung der Lebensgrundlagen mit der Umsetzung des NFPP in unterschiedlichen regionalen Kontexten. Die empirische soziale Forschung bedient sich quantitativer und qualitativer Methoden zur Datensammlung und Datenanalyse. Für die Fallstudie wurden vier Dörfer mit insgesamt 175 Befragten ausgewählt. Bei der Primärdatenerhebung kamen Fragebögen, Interviews und Gruppendiskussionen zur Anwendung. Die Forschungsergebnisse zeigen, dass das NFPP signifikanten Einfluss ausübt auf Größe und Anteil armer Bevölkerung, auf institutionelle Rahmenbedingungen, die Infrastruktur und den öffentlichen Dienstleistungssektor auf Gemeindeebene. Auf Haushaltsebene wurde signifikanter einfluss nachgewiesen für die Generierung von Einkommen, die Ausgaben, die Arbeitszeitverteilung, die Vorstellungen über Gesundheitswesen und Sicherheit als auch auf die Wahrnehmung der sich verändernden Werte des Waldes. Es wird ersichtlich, dass durch Zusammenführen der de facto-Auswirkungen des NFPP potenzielle negative soziale Einflüsse vorhersagbar werden. Entscheidungsträger und Projektteams sollten sich darüber bewusst werden, dass das NFPP zu dynamischen Veränderungsprozessen führt, welche die de facto- und potentiellen Auswirkungen sowie die Einflussfaktoren betreffen. Dies schließt den Beitrag der lokal entwickelten Strategien ein. Empfehlungen betreffen die bessere Umsetzung des NFPP sowie die Notwendigkeit weiterer Forschung hinsichtlich der SIA im Zusammenhang nachhaltiger Waldbewirtschaftung in verschiedenen regionalen Kontexten.:TABLE OF CONTENT ACKNOWLEDGEMENTS ..................................................................................................... i LIST OF FIGURES ................................................................................................................ vi LIST OF TABLES ................................................................................................................ viii LIST OF BOXES .................................................................................................................... ix LIST OF ACRONYMS ............................................................................................................ x ABSTRACT ........................................................................................................................... xii ZUSAMMENFASSUNG ..................................................................................................... xiii 1 INTRODUCTION ........................................................................................................ xiii 1.1 Background .................................................................................................................. 1 1.2 Problem statement and justification ............................................................................. 5 1.3 Research objectives ...................................................................................................... 6 1.3.1 General research objectives .................................................................................. 6 1.3.2 Specific research objectives .................................................................................. 7 1.4 Structure of the dissertation ......................................................................................... 8 2 CURRENT STATE OF KNOWLEDGE AND INFORMATION ............................... 10 2.1 General remark .......................................................................................................... 10 2.2 Forestry reforms in China .......................................................................................... 10 2.2.1 China‘s forestry sector since the economic reform in 1978 ................................ 10 2.2.2 Forest tenure and administration ......................................................................... 13 2.2.3 Chronology of sectional reforms in China and their consequences .................... 14 2.2.4 Policy reforms in the forestry sector ................................................................... 18 2.3 The Natural Forest Protection Program ..................................................................... 21 2.3.1 Background and objective .................................................................................. 21 2.3.2 Scale and main contents ...................................................................................... 21 2.3.3 Implementation process ...................................................................................... 22 2.3.4 Budget ................................................................................................................. 23 2.3.5 Legal basis .......................................................................................................... 23 2.3.6 Current implementation status and main achievements ..................................... 23 2.3.7 Various impacts of the NFPP derived from previous researches ........................ 23 2.4 Social Impact Assessment as a development tool ...................................................... 25 2.4.1 Concepts of Social Impact Assessment .............................................................. 25 2.4.2 A brief history of Social Impact Assessment ...................................................... 27 2.4.3 Principles and guidelines for Social Impact Assessment .................................... 29 2.4.4 Basic model of Social Impact Assessment ......................................................... 29 2.4.5 Process of Social Impact Assessment ................................................................. 31 2.4.6 SIA case study examples and matrix of common social indicators .................... 31 3 CONCEPTUAL FRAMEWORK AND THEORETICAL PERSPECTIVES ........... 38 3.1 General remark .......................................................................................................... 38 3.2 Basic settings in the ―Function evaluation‖ approach ............................................... 40 3.3 Integration framework: indirect and direct human impacts ....................................... 42 3.4 Conceptual framework of SIA: focusing on changes in social setting ...................... 46 3.5 Human ecosystem as an organizing concept for SIA ................................................ 47 3.5.1 Concept of human ecology and human ecosystem models ................................ 47 3.5.2 Systems model of human ecology ...................................................................... 48 3.5.3 Concept model of human ecosystems ................................................................. 50 3.5.4 Learning from the two conceptual models of human ecosystem ........................ 51 3.5.5 A local forest-dependent community as a small scale human ecosystem ........... 53 3.6 Framework conceptualizing social impacts in the empirical context ........................ 55 3.7 Research questions ..................................................................................................... 57 4 RESEARCH METHDOLOGY ..................................................................................... 60 4.1 Defining and operationalizing the research indicators .............................................. 60 4.1.1 Foundation of the definition ............................................................................... 60 4.1.2 Defining and operationalizing the selected research indicators .......................... 62 4.2 Selection of case study areas ..................................................................................... 68 4.3 Methods for quantitative and qualitative data collection ........................................... 71 4.3.1 Introduction ......................................................................................................... 71 4.3.2 Field reconnaissance survey ............................................................................... 71 4.3.3 Secondary data collection ................................................................................... 71 4.3.4 Primary data collection ....................................................................................... 72 4.4 Data processing and analysis ..................................................................................... 75 4.5 Research procedure .................................................................................................... 76 4.6 Discussion on the attribution gap ............................................................................... 76 4.7 Reliability and validity of the field research process ................................................. 76 5 SCOPING AND OBSERVATION OF THE STUDY AREAS ..................................... 79 5.1 General remark .......................................................................................................... 79 5.2 Case study area 1: Gansu Xiaolongshan state-owned forest area .............................. 79 5.2.1 General information of Gansu Province ............................................................. 79 5.2.2 Profile of Xiaolongshan state-owned forest area ................................................ 81 5.2.3 Profiles of the villages investigated .................................................................... 84 5.2.4 Characteristics of household respondents in the two villages ............................ 86 5.3 Case Study Area 2: Chongqing collective-owned forest area .................................... 87 5.3.1 General information of Chongqing Municipality ............................................... 87 5.3.2 Information on Dazu County and its collective forest area ................................ 90 5.3.3 Profiles of the villages investigated .................................................................... 92 5.3.4 Characteristics of household respondents in the two villages ............................ 93 6 ASSESSMENT OF SOCIAL IMPACTS AND CAUSAL ANALYSIS ....................... 96 6.1 Social impacts on the local community level ............................................................ 96 6.1.1 Change in the community population characteristics ......................................... 96 6.1.2 Change in the community institutional arrangements ........................................ 99 6.1.3 Change in the community infrastructure and public services ........................... 111 6.2 Social impacts on the household level ..................................................................... 118 6.2.1 Impacts on households and families ................................................................. 118 6.2.2 Impacts on individuals ...................................................................................... 131 7 DIAGNOSIS: COMPARATIVE ANALYSIS AND DISCUSSION .......................... 145 7.1 General remark ........................................................................................................ 145 7.2 The de facto impacts of the NFPP on local communities and households .............. 145 7.2.1 The social change processes in the local community ....................................... 145 7.2.2 Human impacts on the local households ........................................................... 149 7.3 External and internal factors influencing the extent of impact results..................... 152 7.3.1 Introduction ....................................................................................................... 152 7.3.2 The external factors at community level ........................................................... 152 7.3.3 The internal factors at household and individual level ..................................... 154 7.4 Potential impacts of the NFPP on the local community and households................. 154 7.5 Dynamics of de facto and potential impacts, local strategies and influence factors 155 8 CONCLUSION AND RECOMMENDATIONS ........................................................ 157 8.1 General remarks ....................................................................................................... 157 8.2 Recapitulation of major findings and conclusions ................................................... 157 8.3 Scope and limitations of the empirical study ........................................................... 158 8.4 Recommendation for future policy implementation ................................................ 160 8.5 Relationship between theory and findings ............................................................... 163 8.6 A critical review of methodology and implications for SIA research ...................... 165 REFERENCES ..................................................................................................................... 168 APPENDICES ...................................................................................................................... 179 Appendix 1: Some data and background information available in literature ..................... 180 Appendix 2: Supplementary material and material information used in research ............. 195 Appendix 3: Questionnaires used in the field surveys ....................................................... 203 Appendix 4: Part of the data collected in the field ............................................................. 212 Appendix 5: Photos in the fields ........................................................................................ 234