The KwaZulu-Natal Drakensberg, South Africa, is predominantly a grassland ecosystem maintained by fire. The effect of the current burning regime on invertebrate and flowering forb diversity in this ecosystem is poorly understood. The overall aim ofthis study was to contribute towards the development of an effective burning regime for the KwaZulu-Natal Drakensberg that will conserve invertebrates and indigenous forbs, two major components of biodiversity. The objectives were to examine the effect of fire and fire frequency on flowering forb and invertebrate species diversity, to determine whether fire frequency, time since last burn or locality were influencing species composition, and to identify potential biodiversity indicators that reflect overall species richness for use in monitoring of invertebrates and forbs. Sampling took place in March, September and November of 2002 at Giants Castle Game Reserve. Invertebrates were sampled using sweep netting and targeted netting along transects, yellow pan traps and soil quadrats. Invertebrate taxa sampled were ants (Formicidae), butterflies (Lepidoptera), grasshoppers (Orthoptera), leafboppers (Cicadellidae), bees (Apoidea), bee flies (Bombyliidae), hover flies (Syrphidae), robber flies (Asilidae), spiders (Araneae), earthworms (Oligochaeta) and millipedes (Diploda). These were identified to species level with the assistance of taxon experts. Flowering forbs were sampled using five replicates of five by five metre quadrats randomly placed in each site. Overall flowering forb and invertebrate species diversity was higher in grasslands that were burnt for two consecutive years in 2001 and 2002 than in grasslands that were not burnt during those two years. Frequently (annual) and intermediately (biennial) burnt grasslands had significantly higher invertebrate and flowering forb diversity than infrequently (five years without burning) burnt grasslands. This, together with the fact that grasslands burnt during the year of sampling had higher species richness than grasslands burnt two and five years previously suggests that invertebrates and forbs are generally resilient to fire and many forb species appear to be stimulated by fire. However, each burn frequency had its own suite of unique flowering forb and invertebrate species. Invertebrate communities were influenced mostly by locality and the length of time past since the last fire and flowering forb communities were influenced mostly by the length oftime past since the last fire. Fire frequency had the least influence on both invertebrate and forb communities. Ecological succession occurred after each fire in the invertebrate communities but forb communities appear to need more than five years without fire for ecological succession to occur. The findings of this study therefore suggest that using a combination of three fire frequencies would result in patches of grassland in various stages of ecological succession, and would conserve species unique to each burning frequency, and would therefore conserve maximum diversity. Flowering forb species richness and certain invertebrate taxa (ants, leafboppers, spiders and bees) have the potential to act as indicators of overall invertebrate species richness for use in monitoring programmes. / Thesis (M.Sc.)-University of KwaZulu-Natal, Pietermaritzburg, 2006.

Knowledge of the geospatial distribution of vegetation is fundamental for resource management. The objective of this study is to investigate the possible use of airborne LIDAR (light detection and ranging) data to improve classification accuracy of high spatial resolution optical imagery and compare the ability of two classification algorithms to accurately identify and map wetland vegetation communities. In this study, high resolution imagery integrated with LIDAR data was compared jointly and alone; and the nearest neighbor (NN) and machine learning random forest (RF) classifiers were assessed in semi-automated geographic object-based image analysis (GEOBIA) approaches for classification accuracy of heterogeneous vegetation assemblages at Everglades National Park, FL, USA. / Includes bibliography. / Dissertation (Ph.D.)--Florida Atlantic University, 2014. / FAU Electronic Theses and Dissertations Collection

Oregon's ocean waters are a potential source of wind, wave, and tidal energy; of interest to renewable energy entrepreneurs and to the U.S. government as it seeks to bolster energy security. In order to install technology to capture this energy, however, it may be necessary to mitigate conflict with existing ocean space users. The objective of this research was to construct a conflict analysis model in a GIS to answer the following research questions: (1) Within the study area off the coast of Oregon, where are stakeholders currently using ocean space and how many uses overlap? (2) To what extent might existing ocean space use present potential for conflict with renewable energy development? (3) How do various types of uncertainty affect analysis results? (4) What are the implications of these findings for ecosystem based management of the ocean? All available spatial information on ocean space usage by commercial fishing, commercial non-fishing, recreational, Native American, and scientific communities was gathered. Stakeholder outreach with these communities was used to vet the collected data and allow each to contribute knowledge not previously available through GIS data clearinghouses maintained by government or interest groups. The resulting data were used as inputs to a conflict visualization model written in Python and imported to an ArcGIS tool. Results showed extensive coverage and overlap of existing ocean space uses; specifically that 99.7% of the 1-nm² grid cells of the study area are occupied by at least 6 different categories of ocean space use. The six uses with the greatest coverage were: Fishing – Trolling, Habitat, Military, Fishing - Closure Areas, Protected, and Marine Transportation - Low Intensity. An uncertainty analysis was also completed to illustrate the margin for error and therefore the necessity of appropriate stakeholder outreach during the renewable energy siting process, as opposed to relying only on a GIS. Ranking of each category by its potential for conflict with renewable energy development demonstrated which areas of the ocean may be particularly contentious. Because rankings are subjective, a tool was created to allow users to input their own rankings. For the purpose of this report, default rankings were assigned to each as justified by the literature. Results under these assumptions showed that space use and potential for conflict were highest between the coast and approximately 30 nm at sea. This is likely because certain space use is limited by depth (e.g., recreational use); there is increased shipping density as vessels approach and depart major ports; and increased fuel costs associated with traveling further from shore. Two potential applications of model results were demonstrated. First, comparison with existing wave energy permit sites highlighted relative potential for conflict among the sites and the input data detailed the specific uses present. Second, comparison with areas determined most suitable for development by the wave energy industry illustrated that areas of high suitability often also had high rankings for potential for conflict. It appeared that the factors that determined development suitability were often the same factors that drew current ocean space users to those locations. Current support at the state, regional and federal level under the National Ocean Policy for the use of marine spatial planning as a tool to implement ecosystem based management of the oceans requires that tools such as the one developed in this research are used, to ensure that all components of the marine ecosystem are considered prior to implementation of a management plan. The addition of renewable energy to the current social landscape of the ocean will reduce the resource base for many categories of ocean space use. Model results demonstrated that mitigation of conflict between development and existing space use is not merely a best practice supported by current policy, but a necessity. Results presented a visualization of the social landscape of the ocean that could help managers determine which stakeholders to engage during the initial stage of choosing a site for development. / Graduation date: 2012

The development of human societies rests on functioning ecosystems. This thesis builds on integrated theories of linked social-ecological systems and complex adaptive systems to increase the understanding of how to strengthen the capacity of ecosystems to generate services that sustain human well-being. In this work, I analyze such capacity in human-dominated production ecosystems in Tanzania and Madagascar, and how this capacity is related to local management practices. Resilience of social-ecological systems refers to the capacity to buffer change, to re-organize following disruption, and for adaptation and learning. In Papers I and II, qualitative interview methods are used for mapping and analyses of management practices in the agroecosystem of the Mbulu highlands, Northern Tanzania. Practices such as soil and water conservation, maintenance of habitats for pollinators and predators of pests, intercropping, and landscape diversification, act to buffer food production in a variable environment and sustain underlying ecological processes. The practices are embedded in a decentralized but nested system of institutions, such as communal land rights and social networks, that can buffer for localized disturbances such as temporary droughts. Paper II compares these findings with practices in a farming system in Sweden, and suggests that similar mechanisms for dealing with uncertainty and change can exist in spite of different biophysical conditions. In Papers III and IV, interviews are combined with GIS tools and vegetation sampling to study characteristics and dynamics of the dry forests of Androy, southern Madagascar. Paper III reports on a previously underestimated capacity of the dry forest of southern Madagascar to regenerate, showing areas of regeneration roughly equal areas of degenerated forest (18 700 ha). The pattern of forest regeneration, degradation, and stable cover during the period 1986-2000 was related to the enforcement of customary property rights (Paper III). Paper IV reports on a network of locally protected forest patches in Androy that is embedded in a landscape managed for agricultural or livestock production and contributes to the generation of ecosystem services and ecosystem resilience at a landscape scale. Forest protection is secured by local taboos that provide a well-functioning and legitimate sanctioning system related to religious beliefs. In Paper V, two spatial modeling tools are used to assess the generation of two services, crop pollination and seed dispersal, by the protected forest patches in southern Androy. The functioning of these services is dependent on the spatial configuration of protected patches in the fragmented landscape and can be highly vulnerable to even small changes in landscape forest cover. In conclusion, many of the identified practices are found to make ecological sense in the context of complex systems and contribute to the resilience of social-ecological systems. The thesis illustrates that the capacity of human-dominated production ecosystems to sustain a flow of desired ecosystem services is strongly associated with local management practices and the governance system that they are embedded in, and that, contrary to what is often assumed, local management can and does add resilience for desired ecosystem services. These findings have substantial policy implications, as insufficient recognition of the dynamics of social-ecological interactions is likely to lead to failure of schemes for human development and biodiversity conservation.

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.

This study examined the current plant diversity status and the impact of drivers of change on the peat basins of the Kromme River peatland. It was conducted at six sites over sixty one years in the Eastern Cape Province of South Africa. I reviewed the rapid habitat and biodiversity loss of wetlands globally and discussed the distribution of wetlands and specifically peatlands in South Africa. Plant species diversity was assessed using Modified- Whittaker plots. The influence of environmental variables on floristic composition and distribution was investigated using ordination techniques (DCA and CCA). Land use dynamics were assessed by applying GIS techniques on orthorectified aerial images. Six different peat basins were subjectively classified into good, medium and poor condition peat basins. The good condition peat basin (Krugersland) was the most diverse in plant species (4.1 Shannon-Weiner’s index) (p> 0.20; F = 11.04; df = 2), with the highest mean number of plant species (32.5 ± 3.4). This was followed by the medium condition class (Kammiesbos) (26.5 ± 9.0) and poor condition class (Companjesdrift) (22.5 ± 8.9). On average, species composition was not evenly distributed across the peat basins (p> 0.21; F = 0.94; df = 2), since 77.8% of the Shannon-Weiner evenness index obtained were less than one. However, there were variations in plant species richness across six peat basins as confirmed by Oneway ANOVA test (p= 0.0008, F = 1241.6, df = 4). Key environmental variables that influenced plant species distribution and structure were erosion and grazing intensity, potassium, phosphorus, soil pH and calcium. Total species variance accounted for in the first two axes for ground cover and plant height were 40.7% and 56.4% respectively. Alien species (e.g. Acacia mearnsii and Conyza scabrida) were common in degraded peat basins, whereas good condition peat basins supported indigenous species (e.g., Cyperus denudatus, Chrysanthemoides monolifera and Digitaria eriantha). Analysis of aerial images revealed a general progressive decrease in the peatland area between 1942 and 1969 in the good (Krugersland) and poor (Companjesdrift) condition class, with a marginal increase from 1969 to 2003. Peatland area in the good and poor condition class decreased by 5.3% and 8.3% respectively between 1942 and 1969, with a marginal increase of 1.5% and 4.1% respectively from 1969 to 2003. Annual net rate of change in peatland area over the 61 year period was -0.32% (good condition class) and - 0.79% (poor condition class). Transformed lands were impacted by drivers of change such as alien invasives, agricultural activities, erosion and sediment transport. The area under alien invasives increased by 50% between 1942 and 2003, with an annual net rate of change of +0.82 (good condition class) and +1.63% (poor condition class).

Savannahs regulate an agro-ecosystem crucial for the production of domestic livestock, one of the main sources of income worldwide as well as in South African rural communities. Nevertheless, globally these ecosystem functions are threatened by intense human exploitation, inappropriate land use and environmental changes. Leaf area index (LAI) defined as one half the total green leaf area per unit ground surface area, is an inventory of the plant green leaves that defines the actual size of the interface between the vegetation and the atmosphere. Thus, LAI spatial data could serve as an indicator of rangeland productivity. Consequently, the accurate and rapid estimation of LAI is a key requirement for farmers and policy makers to devise sustainable management strategies for rangeland resources. In this study, the main focus was to assess the utility and the accuracy of the PROSAILH radiative transfer model (RTM) to estimate LAI in the South African rangeland on the recently launched Landsat 8 sensor data. The Landsat 8 sensor has been a promising sensor for estimating grassland LAI as compared to its predecessors Landsat 5 to 7 sensors because of its increased radiometric resolution. For this purpose, two PROSAIL inversion methods and semi- empirical methods such as Normalized difference vegetation index (NDVI) were utilized to estimate LAI. The results showed that physically based approaches surpassed empirical approach with highest accuracy yielded by artificial neural network (ANN) inversion approach (RMSE=0.138), in contrast to the Look-Up Table (LUT) approach (RMSE=0.265). In conclusion, the results of this study proved that PROSAIL RTM approach on Landsat 8 data could be utilized to accurately estimate LAI at regional scale which could aid in rapid assessment and monitoring of the rangeland resources. / Environmental Sciences / M. Sc. (Environmental Science)

Through a combination of theoretical discussion and case study analysis from two villages in the Eastern Cape Province, South Africa, this thesis explores the relationship between institutional change and ecosystem dynamics through a multi-scale approach that combines local and scientific knowledge. Several conceptual approaches were combined in this study. These included; the Resilience perspective, the Sustainable Rural Livelihoods approach, the Millennium Assessment framework and principles, and the Environmental Entitlements approach. Various participatory research techniques were employed which combined with GIS technologies, existing data sets, and historical records. Common pool resource areas are social spaces, where local values attached to resources are institutionally mediated, politically nuanced, economically interpreted and historically situated. Political driving forces at various scales have played a disproportionate role in local level institutional functioning in the case study area. In particular, inappropriate state-lead interventions into land use planning have weakened local level institutions, and have reduced the ability of the linked social-ecological system to cope with change and uncertainty. People and ecosystems become more vulnerable when driving forces such as political upheaval, economic depression and drought over-lap. However, rural people are not mere spectators in the face of these driving forces; they respond both reactively and proactively to ensure resilience to change and uncertainty. Ecosystems at Mt Coke play a key role during times of crisis in rural livelihoods. These ecosystems have undergone various short-term cyclical changes largely in response to rainfall fluctuations, and some longer-term changes linked to political events and trends that have affected management practices and local institutions over time. Orthodox ecological interpretations of ecosystem change appear to ignore four key factors identified in this study: 1) the role of institutions in shaping access to resources, 2) the demand for resources in rural livelihoods, 3) the dynamic interaction between social and natural systems, and 4) the interaction between social and natural systems across scales of analysis. The future of common pool resource management lies in the combination of local and scientific knowledge through an adaptive management approach that encourages learning and adaptation in local level institutional structures.

PhD (Zoology) / Department of Zoology / Ecosystem services and disservices are important features in agro-ecosystems and both can have relevant economic impacts on farmers. While there has been much research on the value of ecosystem services, especially that of pest control by bats and birds, ecosystem disservices are often overlooked or estimated separately. Both, services and disservices, however, change with landscape and may be supported by natural vegetation. It is hence inevitable to assess them together to uncover their relative value and importance. Habitat loss and fragmentation are major threats to biodiversity and ecosystem services. Agricultural intensification can cause habitat loss and can negatively affect natural ecosystems and their services. However, the removal of natural vegetation can also reduce ecosystem disservices that origin from natural areas. This study focused on the economic trade-off between biocontrol by bats and birds and crop raiding by vervet monkeys in South African macadamia orchards, using vertebrate exclusion experiments. Crop quality and yield were assessed and extrapolated to income values. The study furthermore focused in more detail on the impact of orchard edge habitat and farm management on bats as ecosystem service providers as well as the arthropod community, which can provide both services (pollination, biocontrol) as well as disservices (crop damage). The macadamia industry is highly profitable and plantings are expanding worldwide. South Africa is currently the largest macadamia producer in the world and the study area, Levubu, holds some of the oldest macadamia plantings in the country. The subtropical climate and high annual rainfall make this area an intensively farmed landscape. Levubu lies at the foothills of the Soutpansberg, a centre of biodiversity and patches of natural vegetation wind through orchards of macadamia, avocado, banana and timber. Insect pest pressure is high in the macadamia industry, with several stink bug species (Hemiptera) and two moth species (Lepidoptera) accounting for most of the damage to the crop. Chapter One provides a detailed overlook over the South African macadamia industry, describes the major pest insect species and their impact on the crop and highlights the role of ecosystem services and disservices and the potential importance of remaining natural areas. Over three consecutive seasons, between September 2015 and May 2018, bats, birds and monkeys were excluded, using cages with nets, from a total of 96 macadamia trees. Four treatments were applied (Full, Day, Night, Control) to distinguish between effects of the different functional groups. Exclusions took place at orchard edges with natural or human-modified edge habitat to assess the impact of vicinity to natural vegetation on pest control and crop raiding. Results presented in Chapter Two showed that biocontrol by bats and birds was stronger near natural vegetation and significantly impacted crop quality as well as yield. Effects of bats and birds were still significant at human-modified edges, whereas crop raiding by monkeys is limited to the natural orchard edges. The economic impact analysis shows that the benefits of biocontrol through bats and birds outweighed the income losses due to crop-raiding monkeys. The value of bats and birds was as high as USD 5000 per hectare per year through prevented insect damage and a 60% crop increase. Crop-raiding affected the yield, which dropped by about 26% and resulted in losses of about USD 1500 per hectare. These results highlight the importance of integrating natural areas into agricultural landscapes, even if they incur the risk of being disadvantageous. Farmers need to be made aware of the enormous economic benefits. Effective crop raiding mitigation strategies still need to be researched to avoid negative association with natural areas. These can, however, possibly also limit access for biocntrol agents, like bats and birds and thereby reduce their economic impact. Especially the removal of natural areas or establishment of buffer zones of unpalatable crops between agricultural land and forests is not advisable. Integrative research in agro-ecosystems on trade-offs between a variety of ecosystem services and disservices is necessary in future, rather than assessing them separately. The bat community on macadamia farms was monitored monthly and compared between orchard edges. Stationary bat detectors were placed at each set of exclosures for two consecutive nights a month, automatically recording from sunset to sunrise. Recorded bat calls were identified manually to species level and activity converted to Miller’s activity index, which counts the number of active minutes per species per night. We analysed the activity per feeding guild over season and landscape setting, estimated species richness and diversity (Hill’s numbers) and species turnover between farms, season and landscape setting, using diversity partitioning. The bat community was mostly influenced by seasonality with season turn-over accounting for 21% of total bat diversity (21.25 species). Edge habitat on the other hand only accounted for 5%. We found higher species richness and activity in the high season compared to the low. While there was no difference in diversity in the high season between the two orchard edge types, species diversity at the human-modified edge was lower than in the natural during the low season. Natural habitat might therefore be more important in the low season, while its effect is overwritten by high food availability during the high season. Clutter-edge species furthermore were more active at the natural orchard edges than open-air feeders, which were in turn more active at human-modified edges. Both activities dropped significantly during the low season. Chapter Three concludes that the macadamia landscape is able to support a high bat species diversity, which is affected by seasonal differences, probably due to food availability. Natural areas are important to be maintained to support sensitive species, relying on clutter habitat and natural roosts. Habitat features as well as farm management can also influence arthropod communities. Visual observations took place each month for 20 minutes per tree. Observations were counted and identified to at least order level. Chapter Four concentrates on the impact of orchard edge habitat and insecticide treatment on honey bees (83% of Hymenoptera observations) abundance. Honey bees were the only taxon significantly responding to both variables, with higher abundance close to natural areas and increasing abundance with increasing time since pesticide application. Honey bees furthermore seemed to recover slightly quicker from population crashes after insecticide treatments at natural edges than they did at human-modified edges. Hymenoptera can be highly beneficial to macadamia farmers, as farmers are heavily relying on pollination by honey bees and parasitoids are known to feed on major macadamia pest insect species. These ecosystem service providers were mostly affected by habitat and management practices, which may compromise their ecosystem service provision. Although commercial bee hives are exposed throughout macadamia orchards, they do not appear to fully replace the pollination and biocontrol services provided by feral species, which can be enhanced through resource supplementation by patches of nearby natural vegetation. Chapter Five concludes with emphasizing the general importance of natural vegetation in landscape planning of agricultural areas. This study proved confidently that benefits through ecosystem services largely outweigh negative impacts of ecosystem disservices, both stemming from these natural areas. Through the inclusion, maintenance and restoration of such patches of natural vegetation, farmers can potentially increase the value and effectiveness of biocontrol by bats and birds or other services. Seasonality largely determined bat species diversity, and a general high species diversity was observed in the macadamia landscape, possibly due to a certain degree of landscape heterogeneity and high food availability. Activity patterns of clutter-edge and open-air feeding bats varied with edge habitat, while clutter-dependent bat species / NRF

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