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S’il paraît attesté que les énergies renouvelables (EnR) participent à la lutte contre le changement climatique, leur influence sur le développement des espaces ruraux reste encore en grande partie à explorer. L’objet de ce travail comparatif est précisément d’étudier dans quelle mesure les initiatives locales dans le domaine des énergies renouvelables affectent les espaces ruraux français et allemands. La mobilisation des concepts de capital social, capital territorial et de multifonctionnalité a permis de montrer le rôle décisif de facteurs territorialisés dans la réalisation des projets. L’étude empirique montre ensuite que la réalisation de projets photovoltaïques et éoliens contribue à dynamiser les territoires et à accroître leur résilience. En fonction de caractéristiques locales, deux types de développement ont été identifiés : un développement territorial institutionnel et un développement territorial citoyen. / It is indisputable that renewable energies contribute to the struggle against climate change but their influence on the development of rural space remains to be further explored. The aim of this comparative study is to analyse the effect of local initiatives and projects in the domain of renewable energies on French and German rural areas. Using the concepts of Social Capital, territorial capital and multifunctionality, we show that the implementation of endogenous photovoltaic- and windpowerplant projects contribute to push the development of these areas and reinforce their resilience. On the base of the noted principle, two forms of development can be identified: an intuitional territorial development and a citizen territorial development. / Es ist unstrittig, dass erneuerbare Energien zum Kampf gegen den Klimawandel beitragen, aber ihr Einfluss auf die Entwicklung ländlicher Räume verdient es dennoch weiter erforscht zu werden. Das Ziel dieser vergleichenden Studie ist es, den Einfluss lokaler Initiativen und Projekte im Bereich der erneuerbaren Energien auf ländliche Räume in Frankreich und Deutschland zu erforschen. Unter Verwendung der Konzepte von Sozialkapital, territorial capital und Multifunktionalität wird gezeigt, dass raumbezogene Faktoren eine entscheidende Bedeutung für die Verwirklichung der Projekte haben. Weiterhin geht aus der empirischen Untersuchung hervor, dass die Verwirklichung von endogenen Photovoltaik- und Windprojekten dazu beiträgt, die Entwicklung der betreffenden Räume voranzutreiben und deren Resilienz zu stärken. Ferner konnten auf Grundlage der untersuchten lokalen Merkmale zwei Entwicklungstypen identifiziert werden: eine institutionalisierte Regionalentwicklung und eine bürgernahe Regionalentwicklung.

More than 16 years post-apartheid, South Africa is still regarded as the most unequal society in the world. The government is facing various obstacles and challenges in improving the standard of living and quality of life for all its citizens, for example in facilitating the access to clean drinking water and sanitation, building houses and providing basic education. In addition, the country is facing the world’s largest HIV/AIDS epidemic with a national prevalence rate of 18.1 %, equalling approximately 5.7 million people who are currently infected. (Pressly, 2009; UNAIDS, 2008c) Against this background, the aim of this thesis was to study the Madwaleni community, situated in a deeply rural area of the former apartheid homeland Transkei. Applying the Community Oriented Primary Care approach, a strategy of ‘community assessment and diagnosis’ was used to obtain a holistic community profile and to determine the perceptions of its community members regarding their health and social problems and needs, intending to make recommendations to health care providers working at Madwaleni Hospital regarding future health education and disease prevention programmes. (Brown and Fee, 2002) This research used a cross-sectional design. In a preliminary survey, qualitative data was collected in short interviews with health care providers working at Madwaleni Hospital (N=46). The information served as a basis to develop and design parts of the Madwaleni community survey questionnaire. The questionnaire consisted of 36 questions, complying with the aim and objectives of this thesis. It was used for the structured interviews with the main study population, all of whom were members of the Madwaleni community (N=200), whereas half of the main study population were men and half were women, then again, half were unaware of their HIV status and half were HIV+ and had joined the Madwaleni HIV/AIDS programme. Key findings 1) Madwaleni community profile and characteristics Thoughtful sexual behaviour: Particularly interesting in light of the HIV/AIDS epidemic, more than 90 % of the sexually active community members were monogamous at the time of the survey. While only 36.4 % of the men and women unaware of their HIV status used condoms, 76.5 % of the HIV+ community members claimed to do so, indicating that the Madwaleni HIV wellness programme and especially its counselling and health education components are adequate and valuable in serving their purpose. High rates of illiteracy and insufficient education: Only 56.5 % of the interviewed community members were ‘functionally literate’ at the time of the survey. Of those, only 8 % had received a matriculation and not one of the community members had received any higher degree. In addition, 19.5 % of the sampled men and women were not able to read at all. High rates of unemployment, poverty and dependency on welfare grants: Only 20 % of the Madwaleni community members were employed at the time of the survey. Taking the daily income per capita as a reference, one third of the community members suffered from ‘moderate poverty’, defined as an income of 1 to 2 US $ per day, while the other two thirds suffered from ‘extreme poverty’, defined as an income of less than 1 US $ per day, although more than 90 % of the corresponding households received at least one type of welfare grant already. Large household sizes and predominance of traditional dwellings: In the Madwaleni community, an average of eight people lived together per household at the time of the survey, whereas 95 % of the community members lived in traditional dwellings, constructed from freely occurring natural resources. In need of safe drinking water, sanitary systems and access to electricity: More than 80 % of the Madwaleni community members obtained their drinking water from rivers or stagnant dams, while only 6.5 % used rain water and 9.5 % had access to piped water. In addition, almost 70 % of the community members had no access to any sanitary systems, using nearby bushes instead. Furthermore, more than 90 % had no access to electricity. The majority used paraffin for cooking, candles for lighting and wood for heating their homes. Small-scale cultivation to provide an extra source of food: In the Madwaleni area, 90 % of the families owned a small garden patch attached to their houses, used for small-scale cultivation. In addition, almost 90 % owned livestock, mainly poultry, cattle and goats. Crops and animals were used to provide an extra source of food; however, not one of the households could solely live on subsistence farming. Difficulties in accessing health care facilities: On average, each of the community members needed three-quarters of an hour to access their closest clinic and almost one and a half hours to reach Madwaleni Hospital, with 40 % and 60 % respectively depending on public taxi transport to get there. No substantial improvement of the living circumstances since apartheid: Comparing the Madwaleni community characteristics with corresponding data from apartheid-times, no substantial improvement of the living circumstances and conditions could be noticed, proving that governmental and non-governmental actions, programmes and services have not yet reached all remote communities. Similar community characteristics in the neighbouring communities: Comparing these characteristics with corresponding features of communities in the immediate or surrounding areas, namely Cwebe, Ntubeni, Mboya, Shixini and Zithulele, various similarities could be detected, indicating that the living circumstances and conditions might be generalisable to a certain degree, at least to deeply rural communities in the former Transkei area. More disadvantaged than the general South African population: The Madwaleni community differed significantly from the general South African population in 75 % of the compared characteristics. For example, amongst the community members the illiteracy rate (21.7 % vs. 13.6 %, p = 0.002) and unemployment rate (80.5 % vs. 25.5 %, p < 0.001) were significantly higher. In addition, the ‘poverty headcount ratio of 2 US $ per day’ showed that significantly more people were suffering from poverty in the Madwaleni area (92.2 % vs. 34 %, p < 0.001). The Madwaleni community members were less likely to have access to clean drinking water, along with significantly higher proportions of them using river water as their main source of drinking water (75.5 % vs. 5.1 %, p < 0.001). Also, they were less likely to have access to any sanitation or toilet facilities (31.3 % vs. 91.8 %, p < 0.001) or to electricity (8.5 % vs. 80.2 %, p < 0.001). 2) Weightiest health and social problems as experienced by the Madwaleni community In the Madwaleni area, the three health problems with the highest impact on the community were TB, HIV/AIDS and hypertension. On the basis of the applied 3-to-0-point rating matrix, they were rated by more than 95 % of the community members as being relevant problems, with mean values of 2.33, 2.30 and 2.14 respectively. Interestingly, women rated HIV/AIDS higher than men. Musculoskeletal problems and headache were additional health problems with relevant impact on the Madwaleni community, rated by more than 90 %, with mean values above 1.80. While pain and discomfort experienced by PLWHA have been recognised and researched before, there are no corresponding studies on rural communities and further research is necessary to identify the contributing factors. Additional relevant health problems: Interestingly, six health problems were rated higher by HIV untested than by HIV+ community members, namely bilharzia/ schistosomiasis, epilepsy, Herpes Zoster, HIV/AIDS, lung infections and stroke. Since the HIV+ men and women were educated about and screened for all of those diseases within the Madwaleni HIV/AIDS programme, this might explain the deviating rating patterns between the different sub-samples. Moreover, these results demonstrate that health education and disease prevention programmes are able to reduce the perceived burden of health problems and might therefore serve as a substantial argument in their favour. Interestingly, for the Madwaleni community, social matters had a higher impact on their lives than health problems, whereas the three social problems with the highest impact on the community were alcohol abuse, dependency on social grants and smoking. They were rated by more than 98 % of the community members as being relevant problems, with mean values of 2.75, 2.73 and 2.72 respectively. In accordance with these findings, employment & lack of work opportunities, education & illiteracy, food supply and poverty were additional social problems with relevant impact in the Madwaleni area, rated by more than 90 %, with mean values above 2.00. 3) Recommendations for future health education and disease prevention programmes At the time of the survey, the three most relevant health education and disease prevention topics for the Madwaleni community were HIV/AIDS, TB and healthy nutrition. They were rated by more than 95 % of the community members as being relevant health education problems, with mean values of 2.65, 2.51 and 2.36 respectively. In addition, STIs, alcohol & drug-related problems, water & sanitation and body & muscle pain were rated as the subsequent issues of relevance, with mean values above 2.00, supporting the identified community characteristics as well as the listing of the weightiest health and social problems. In addition, valuable new insight could be gained. For instance, HIV untested men rated the topic HIV/AIDS lower than all other community members, which is particularly interesting since men only constitute a minority of 20 % of the people testing for HIV in the Madwaleni area. Besides, topics not previously considered, such as injury prevention and basic first aid, were in-fact relevant for more than 85 % of the community members and require further attention. Furthermore, deviating rating patterns between men and women and the corresponding need for gender-specific educational workshops became evident, for example, for men about prostate & testicular cancer check-up or erectile dysfunction and for women about breast & cervical cancer check-up & papsmears or nutrition & growth. In addition, HIV+ community members rated depression & stress and psychiatric diseases higher than HIV untested men and women, with further studies required to identify the underlying reasons for these deviating rating patterns. Taking all findings from this Madwaleni community survey into consideration, health care providers working at the hospital and its peripheral clinics should first and foremost concentrate their efforts on maintaining the existing programmes, particularly, the Madwaleni HIV/ARV programme and the workshops on hypertension and diabetes mellitus. In addition, if qualified and motivated personnel can be recruited and the necessary funding can be raised, future health education and disease prevention programmes should focus on TB, alcohol & substance abuse-related problems as well as water & sanitation.

LEADER bereichert den Tourismus in ländlichen Regionen, wie die Ergebnisdokumentation für die Förderperiode 2014-2020 anschaulich vermittelt. Ein Fünftel der 5.640 LEADER-Vorhaben dienten der Umsetzung touristischer Ideen: von origineller Themen-Pension, über gemeindeübergreifenden Mountainbike-Touren bis hin zu Angeboten für eine bessere Erlebbarkeit des industriellen Erbes. Mit einer sehr guten Rücklaufquote von 82 Prozent geben die Ergebnisse einer Online-Befragung einen aktuellen Einblick über geförderte Beherbergungskapazitäten. Der Bericht verdeutlicht, dass die Akteure in den LEADER-Gebieten die Chancen des Tourismus kreativ genutzt haben. Die Veröffentlichung richtet sich an alle, die ihre ländliche Region voranbringen wollen einschließlich der lokalen Aktionsgruppen, Regionalmanagements sowie der regionalen Tourismusvereine und -verbände. Redaktionsschluss: 30.11.2021

Diese Broschüre informiert Sie zu den Förderangeboten des GAP-Strategieplans 2023-2027 im Freistaat Sachsen für verschiedene Vorhaben in den ländlichen Regionen, in der Land- und Forstwirtschaft, im Naturschutz, zu Kooperationen, zu Innovationen und zum Wissensaustausch. Sie stellt die wichtigsten Inhalte der einzelnen angebotenen Förderbereiche dar. Für weiterführende Informationen sind Sie eingeladen, die enthaltenen Verweise und Kontaktadressen zu nutzen. Redaktionsschluss: 30.04.2024

Die vorliegende Dissertation widmet sich methodischen und empirischen Forschungsfragen mit Bezug auf saisonale Arbeitsmärkte und Politiken zur nachhaltigen Nutzung natürlicher Ressourcen. Hierfür wird ein gesamtwirtschaftlicher Modellierungsansatz angewendet, für den das im südöstlichen Himalaya gelegene Königreich Bhutan als empirische Fallstudie dient. Das methodische Forschungsziel der Arbeit ist, die Relevanz der Darstellung von saisonalen Arbeitsmärkten innerhalb von allgemeinen Gleichgewichtsmodellen (sog. CGE Modelle) zu ergründen. Dies stellt eine Neuheit in der Literatur dar. Die Arbeit zeigt auf, dass Modelle ohne saisonale Arbeitsmärkte systematisch Ergebnisse, wie Angebotsreaktionen und Wohlstandseffekte, verzerren. Die Saisonalität von Arbeit hat eine hohe Relevanz für gesamtwirtschaftliche Analysen im Kontext landwirtschaftlich geprägter Volkswirtschaften, insbesondere für Untersuchungen des Strukturwandels und agrarpolitischer Interventionen. Empirisch wird die wechselseitige Abhängigkeit von Politiken zum nachhaltigen Management natürlicher Ressourcen mit Zielen des Umweltschutzes und der ländlichen Entwicklung untersucht. Basierend auf unterschiedlichen Modellierungsansätzen, konzentrieren sich drei Studien auf agrar- und forstpolitische Szenarien in Bhutan. Es wird gezeigt, dass Bhutans Ziel, seinen landwirtschaftlichen Sektor auf 100% ökologische Landwirtschaft umzustellen, zu substantiellen Wohlfahrtsverlusten und negativen Folgen für die Ernährungssicherung führen würde. Die Analyse verschiedener forstpolitischer Szenarien demonstriert, dass eine höhere Forstnutzung in Bhutan im Sinne der gesamtwirtschaftlichen und ländlichen Entwicklung nachhaltig möglich ist. Die Arbeit weist auf verschiedene zukünftige Forschungsfelder hin, wie zum Beispiel die Integration von Ökosystemdienstleistungen, was als eine der wesentlichen Einschränkungen bei der modellgestützten Analyse von Politiken zur Nutzung natürlicher Ressourcen identifiziert wurde. / Using an economy-wide modelling approach, this dissertation investigates methodological and empirical research questions related to seasonal labour markets and natural resource policies. The Kingdom of Bhutan, located in the south-eastern Himalayas, serves as a case study. The methodological research objective of this thesis is to gain an understanding of the relevance of seasonal labour markets in the context of economy-wide modelling. The depiction of seasonal labour markets at national scale using a seasonal social accounting matrix (SAM) and computable general equilibrium (CGE) model presents a novel development within the literature. It is demonstrated, that the absence of seasonal labour markets leads to systematic bias of model results. The consequences are distorted supply responses and biased welfare effects, underlining the pivotal implications of seasonality for economy-wide analysis in the context of agrarian economies, particularly for scenario analysis involving structural changes and agricultural policy interventions. The empirical research objective addresses the interdependence of natural resource policies with objectives of environmental conservation and rural development. Employing modelling techniques, three studies focus on specific agricultural and forest policy scenarios in Bhutan. Simulating Bhutan’s ambitious policy objective to convert to 100% organic agriculture demonstrates substantial welfare losses and adverse impacts on food security, causing trade-offs with objectives of rural development and food self-sufficiency. Analysing forest policy reforms shows that increased forest utilization contributes to economic development, particularly in rural areas, without jeopardizing the country’s forest conservation agenda. The dissertation points at numerous areas of future research, as for example the incorporation of ecosystem services, which is identified as one key limitation of economy-wide analysis of natural resource policies.

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.

Im Frühjahr 1999 wurden bei der Verlegung der Erdgastrasse JAGAL zwischen Großzöberitz und Zörbig (Lkr. Bitterfeld; deshalb zuständig: LfA Halle/Saale) Reste einer mittelalterlichen ländlichen Siedlung, einer Wüstung entdeckt. Das Grabungsteam unter der Leitung von Frau Dr. K. Bemmann legte auf vier Teilflächen 88 Befunde frei. Besonders interessant waren ein Gebäude mit Sodenwänden und ein Haus mit Steinfundamenten. Durch die Auswertung der Funde und Befunde wurden Siedlungsphasen chronologisch eingegrenzt, Strukturen der Siedlung näher untersucht und wirtschaftliche sowie soziale Fragen diskutiert. Ferner ging es darum, den Namen der „Fundstelle 1“ (unbekannt oder bekannt?) und die Ursachen des Wüstungsprozesses zu ermitteln. / Remains of a medieval rural village have been found between Großzöberitz and Zörbig (County Bitterfeld) in the spring 1999 during the building of the gas pipeline JAGAL. The excavation team run by Dr. K. Bemmann had excavated 88 features on four areas. Two buildings, one with grass packing walls and one with stone basements, were especially interesting. Through the analysis of finds and features were settlement phases chronologically fixed, structures of the settlement looked at in more detail, and social questions discussed. Furthermore, the name of ‘site 1’ (known or unknown?) and the reasons for deserting were a matter of concern.

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