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Filename: CARD-CFM, Milestone 3, Output 1, Baseline Survey, FINAL VERSION, 6 August 07.doc
Ministry of Agriculture & Rural Development
Project Report
MILESTONE 3, OUTPUT 1
THE BASELINE SURVEY
Sustainable community-based forest development and management in some high poverty areas in Bac Kan Province
Project No: 017/06 VIE
Report prepared by
Thai Nguyen University of Agriculture and Forestry Department of Forest Protection in Bac Kan Province and
Ensis – the Joint Forces of CSIRO and SCION
6 August 2007
CONTENTS
1. INTRODUCTION
2. THE REQUIRED OUTPUTS AS IN THE TABLE OF MILESTONES AND OUTPUTS
3. PREPARATION AND IMPLEMENTATION OF THE BASELINE SURVEY 3.1 Terms of Reference
3.2 Training
3.3 Implementation 3.4 Data Processing 3.5 Draft Reports
4. ANALYSIS OF DATA IN RELATION TO THE REQUIRED OUTPUTS
5. PROJECT RISK ASSESSMENT
6. SUMMARY AND RECOMMENDATIONS
ATTACHMENTS
1. The Terms of Reference for the Surveyors 2. The Survey Report
3. The Detailed Risk Assessment
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1. INTRODUCTION
The substantive part of the Baseline Report will be found in Attachment 2, which is the full (Second Draft) Report of the Baseline Survey. This Attachment should be read in conjunction with Attachment 1 (The Terms of Reference for the Surveyors).
The following notes will amplify some aspects of the Report. In addition, the Project Table of Milestones and Outputs requires that the Project Risks should be assessed and a Risk Management Strategy detailed. These are presented in Section 5 below and Attachment 3.
2. THE REQUIRED OUTPUTS AS IN THE TABLE OF MILESTONES AND OUTPUTS
The Baseline Survey is required to obtain quantitative and qualitative measures to include data from four pilot villages including, but not limited to:
• Information on knowledge, skills attitudes and practices including areas bio-diversity, management practices, ownership and access status
• Attitudes and practices of local authorities to allocation of land for Community Forestry Management (as distinct from household allocation) and areas of forest land not yet allocated
• Socio-economic and environmental issues identified and opportunities for project interventions to provide economic, social and environmental benefits detailed
This information and analysis is presented in Section 4 below, and in Attachment 2.
In addition, the Report for Milestone 3, Output 1, is required to present an Assessment of Project Risks and Risk Management Strategies.
3. PREPARATION AND IMPLEMENTATION OF THE BASELINE SURVEY
3.1 Terms of Reference
The Terms of Reference for the Baseline Survey were prepared by Thai Nguyen University of Agriculture and Forestry, and are presented in Attachment 1.
The Objectives of the Baseline Survey were:
1. To assess basic information relating to socio-economic status, community forest management status, community forestry quality, experiences of local communities on forest management and potential livelihood interventions of target villages.
2. To develop the indicators that can be used to monitor the progress and impacts of the project interventions.
The Baseline Survey Questionnaire was prepared by Thai Nguyen University of Agriculture and Forestry, and is to be found as Appendix 1 to Attachment 2.
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3.2 Training
The Survey Team included four staff members from Thai Nguyen University of Agriculture and Forestry and four from the Department of Forest Protection in Bac Kan Province. Before proceeding to the field, the Survey Team discussed and modified several successive versions of the questionnaire, and tested each other in pairs in “play acting” as if one person was the surveyor and the other the respondent. The final version of the Questionnaire is included as Appendix 1 to Attachment 2.
The participatory tools used included:
• In-depth discussions with key stakeholders; • Focus group discussions;
• Cause-and-effect diagrams; • Venn diagrams; and
• Semi-structured interviews with group members and leaders
3.3 Implementation
The Baseline Survey collected and assessed information from a variety of sources, including: (i) project participants; (ii) field observations; (iii) project documents and other records, including secondary data; and (iv) counterparts and other local stakeholders.
Field work to implement the Baseline Survey was undertaken in early April 2007, with several follow-up visits to check on various matters.
In addition to the four project villages (Na Muc, Khuoi Lieng, To Dooc and Ban Sang), two more non-target villages (Na Ngoa and Khau La) were selected for study under the Baseline Survey as control villages for monitoring and evaluation during project implementation.
People within 146 households in six villages were selected for interview. There were 80 households in Van Minh Commune and 66 households in Lang San Commune. Both men and women, representing the very poor, poor, medium, good and rich households, participated in the survey (Table 1).
Table 1. Selected villages and households for basic evaluation
Commune Van Minh
Lang San
Villages
Na Ngoa (control) Na Muc
Khuoi Lieng Ban Sang Tu ðoc
Khau La (control)
Number of interviewees % 18 12.3 25 17.1 37 25.3 37 25.3 18 12.3 11 7.5
Household economic ranking
No information 11 7.5 Rich 1 0.7 Above average 17 11.6 Average 41 28.1 Poor 68 46.6 Very poor 8 5.5
Total 146
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Forty four women participated in the Baseline Survey, representing 35.5% of total respondents.
3.4 Data Processing
The voluminous information from 146 questionnaires and other information was compiled into a comprehensive database. The information was filtered for outliers and then analyzed using standard social science statistical packages, including the SAS 8.1 software program.
3.5 Draft Reports
The First Draft of the Baseline Report was prepared in April, with some subsequent delays due to translation problems. A Second Draft, to correct some inconsistencies in the presentations, was prepared in July and is included here as Attachment 2.
4. ANALYSIS OF DATA IN RELATION TO THE REQUIRED OUTPUTS
The main parts of the Report (Attachment 2) present voluminous data in Sections 4 and 5, and discuss:
• Section 4.1: The background to the project area;
• Section 4.2: Basic information about households (population and ethnic minority groups, ethnic minority structure of the respondents, educational backgrounds and household wealth rankings)
• Section 4.3: Income generation activities (livelihood activities)
• Section 4.4: Forest production (forest areas of households, the difficulties of forest production, the solutions to overcome difficulties for forest production, people’s awareness of the politics of forest management and protection and the actualities of forest use)
• Section 5.1: Household expenditure in 2006
• Section 5.2: General information on income and land ownership
All this information addresses, in various Sections of the Baseline Report, the required topics:
• Information on knowledge, skills attitudes and practices including area biodiversity, management practices, ownership and access status
• Attitudes and practices of local authorities to allocation of land for Community Forestry Management (as distinct from household allocation) and areas of forest land not yet allocated
• Socio-economic and environmental issues identified and opportunities for project interventions to provide economic, social and environmental benefits detailed
The Baseline Survey employed a range of social survey methods, and a high respondent rate was reported. Data was collected from six villages, using two (non-project) villages as controls. Forty four women, or about 35% of respondents, were women. All ethnic groups participated. The Baseline Report provides a great deal of useful quantitative and qualitative data about most aspects of village life, and confirms the predominant poverty (poor and very poor) of about 60% of the villagers, although no household is completely landless. There are virtually no “rich” villagers. Considerable information was collected about crop production and its difficulties, animal production and its difficulties, household incomes and expenditures, and possible methods for improvement of crop and animal production.
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