Rural Development Project Dak Lak (RDDL) Vietnam REPORT ON A COMMUNITY-BASED FOREST MANAGEMENT CONCEPT. Björn Wode

Transcription

1 Rural Development Project Dak Lak (RDDL) Vietnam REPORT ON A COMMUNITY-BASED FOREST MANAGEMENT CONCEPT Björn Wode Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) GmbH November 2003

2 Your contact person with GFA-Terra Systems is Gudrun Krause Rural Development Project Dak Lak (RDDL) Vietnam Report on a Community-Based Forest Management Concept Björn Wode Address GFA - Terra Systems M.B.H. Eulenkrugstraße Hamburg Deutschland Telephone Telefax Asien@gfa-terra.de

3 TABLE OF CONTENTS EXECUTIVE SUMMARY 1 1 INTRODUCTION 2 2 EXPERIENCES WITH COMMUNITY- BASED FOREST MANAGEMENT IN DAK LAK PROVINCE 3 3 CONTEXT FOR COMMUNITY FORESTRY IN THE PROJECT REGION Biophysical conditions Socio-economic conditions 5 4 COMMUNITY-BASED FOREST MANAGEMENT CONCEPT Conceptual Framework Organizational and Technical Procedures Application for communes Clarification of Forest Land Allocation Community-based legal framework on forest protection and development Long-term forest development and utilization vision Participatory Forest Resource Assessment Forest development and utilization planning base Monitoring and Evaluation system Administrative Procedures 16 5 PROPOSAL FOR PILOT IMPLEMENTATION IN DAK LAK PROVINCE Required steps for pilot implementation M&E framework for pilot implementation 30 6 PROPOSED TRAINING MEASURES FOR THE PILOT IMPLEMENTATION 31 i

4 TABLE OF FIGURES Table 1: Roles of different agencies in the community based forest management process ANNEXES Annex 1: Terms of Reference Annex 2: Mission Itinerary Annex 3: List of Persons Met Annex 4: Reference data on forest land use in the project region Annex 5: National Working Group for Community Forestry Management - Matrix on Establishment of CFM Pilot Schemes in Annex 6: Forest Stewardship Council (FSC) Principles Annex 7: Available CBFM-Training documents and technical guidelines Annex 8: Further References Annex 9: Activity Plans for Pilot Implementation Annex 10: Proposed Commune Application Form Annex 11: Design suggestion for Forest Protection and Development Regulations Signboard Annex 12: Management Goal Poster (Example) Annex 13: Approval sheet for five-year Community Forestry Management Plan ii

5 Abbreviations ACO ADB AWP CBFM CDP CFMP CPC CTA DARD DPC ES ETSP FDSD FE FIPI FLA ForHue FPDR FPSD FPU GPS GTZ LUP MARD M&E NGO NTFP PC PFRA PPC PRA RDDL RECOFTC SFDP SFSP SMRP ToT VDP VMB Agriculture and Cadastral Office Asian Development Bank Annual Work Plan Community-based Forest Management Commune Development Plan Community Forest Management Plan Commune People s Committee Chief Technical Advisor Department of Agriculture and Rural Development District People s Committee Extension Station Extension and Training Support Project SDC MARD Cooperation Programme Forest Development Sub-Department Forest Enterprise Forest Inventory and Planning Institute Forest Land Allocation Project on Strengthening Forestry Management Capacity in Thua Thien Hue Province Village Forest Protection and Development Regulations Forest Protection Sub-Department Forest Protection Unit at district level Global Positioning System German Agency for Technical Cooperation Land Use Planning Ministry of Agriculture and Rural Development Monitoring & Evaluation Non-governmental Organization Non-Timber Forest Products People s Committee Participatory Forest Resource Assessment Provincial People s Committee Participatory Rural Appraisal Project on Rural Development Dak Lak Regional Community Forestry Training Center- Thailand Social Forestry Development Project Song Da Social Forestry Support Program Project on Sustainable Management of Resources in the lower Mekong Basin Training of Trainers Village Development Planning Village Management Board WG-FLA/JFM Working Group on Forest Land Allocation & Joined Forest Management (Dak Lak) Exchange rate: 17,900 VND (Vietnamese Dong) = 1 iii

6 EXECUTIVE SUMMARY This report outlines the proposed concept and details requirements and steps for implementation of a community based forest management pilot scheme to be applied in the project Rural Development in Dak Lak province. The project envisions poverty alleviation and improved livelihood of the rural population through participatory planning, development and piloting of sustainable natural resource management systems. In this context, conceptual development and support to introduction of a community based forest management concept at all concerned administrative levels have been identified as the main focus for project intervention. With a provincial forest cover of over 50% and more than 24,000 ha of forest land being allocated to local people a practicable concept for communitybased forest management is urgently needed to support the provincial forest development initiatives. The awareness of this need is strongly articulated by the provincial Working Group on Forest Land Allocation & Joined Forest Management 1 (WG- FLA/JFM) providing a very supportive framework for further project activities in this field. As a result, the presented concept has been developed in joined cooperation with the provincial working group members, the RDDL and ETSP project and local stakeholders at village, commune and district level. The project is recommended to develop one pilot commune in each of the two pilot districts. The selected communes are mainly dominated by ethnic minorities living in proximity to remaining forest areas and strongly depending on forest resources for economic, environmental and cultural motivations. However, due to various internal and external reasons and biophysical conditions the forest status and access to forest resources in the two proposed pilot areas differ to a great extent with distinct options for forest development. Considering these ecological and socio-cultural differences within the two districts a distinct focus of the envisioned concept is recommended for each of the proposed pilot areas. As in the case of Lak district with limited benefits to be expected from forest management in the near future due to depleted forest resources (mostly heavily degraded forest and barren land of Ia, Ib, Ic according to the forest land classification) activities in forest development are mainly limited to means of afforestation, natural regeneration or agro forestry models. In areas of Ea Hleo district with existing forest resources of over 1,500 ha being allocated to a single commune a clear focus on natural forest management providing immediate benefits for local forest users should form the main focus of project involvement in that area. Being an integral part of the overall project goal, the proposed concept, however, can only gain the desired impact in a supportive general set-up including effective networking among projects and state institutions up to provincial level and within an efficient overall training system followed by frequent monitoring and evaluation. 1 Established by provincial Decision 272/QD, dated 18 March

7 1 INTRODUCTION The project on Rural Development Dak Lak (RDDL) is being implemented by the Department of Planning and Investment of Dak Lak Province with support from the German Agency for Technical Cooperation (GTZ). The Project started operation in January The project objectives are to alleviate poverty and improve livelihoods of the rural population through development and/or adjustment of participatory planning procedures, which enable community and social organizations as well as government institutions to identify and thereafter support sustainable natural resource management systems. Following the results of the national workshop on Community Forestry Management in May 2003 the project committed itself to develop and trial a Community Based Forest Management (CBFM) pilot scheme for Dak Lak province. The objective of this short-term assignment is to develop a CBFM concept defining required administrational, organizational and technical procedures as well as to detail required steps as a practicable guidance for implementation. Special attention is given to local socio-ecological and environmental conditions in the two project sites. For the detailed terms of reference of the assignment, please refer to Annex 1. The conceptual framework is based on the local context for forestry development, the lessons learnt from Forest Land Allocation as initiated in 1999 by the provincial working group and draws from experience made in the province and from other projects in the region. It is in line with the current forest policy in Vietnam and largely conforms to approaches already tested by other projects elsewhere in Vietnam. The assignment has been jointly completed by a national and an international advisor, Mr. Dang Thanh Liem and Dr. Björn Wode. The presented concept has been developed in close cooperation with the provincial working group on forest land allocation and joined forest management, project staff from RDDL and ETSP, members of the target groups and representatives of related institutions and projects. A detailed account of the mission's itinerary and the persons met is provided in Annexes 2 and 3. In this context, I would like to express my gratitude to Dr. Daniel Wahby, Mr. Maurice Gallen, and all project staff of RDDL and ETSP, the provincial and district authorities and representatives of the participating farmers who supported the consultants work and thus contributed to the results as summarized in this report. The consultancy was carried out from 06 October to 04 November

8 2 EXPERIENCES WITH COMMUNITY- BASED FOREST MANAGEMENT IN DAK LAK PROVINCE Dak Lak province has witnessed rapid changes in land use and livelihood over the last decade caused by massive expansion in agricultural production and a partly uncontrolled inflow of migrants into the province. Within this period population has increased by 80 percent leading to social tensions and an average annual forest loss of around 30,000 ha. In order to address these causes the local authority of Dak Lak province initiated the forest land allocation (FLA) to individual households, group of households, and communities with Red Book Certificates. This measure aims at actively involving local people into forest management by handing over ownership and responsibilities in forest management to local forest users. So far over 24,000 ha of forest land have been allocated to communities, groups of households and individuals by granting land-use rights for a period of at least 50 years. This initiative and the continuing commitment of the province towards the shift from state managed forest to participatory forest management have been influential up to national forestry policy development. However, focusing mainly on the approach of forest land allocation, forest loss continued or even increased in some areas allocated to local people as no practicable concept is in place to guide the new forest owner in sustainable forest management. Local people often lack sufficient understanding about their new rights and obligations and no supporting system from relevant forest agencies has been developed so far. Follow-up activities of FLA are limited to initial project activities carried out by the SMRP, SFSP and ETSP 2. In Ea Hleo, Lak and Krong Bong districts SMRP supported the development of so-called Village Forest Management Regulations in 14 villages with support of district Forest Protection Officers. The project furthermore involved six households in Diet village in on-farm trials with agro-forestry systems like cashew plantations, agricultural trials on scattered bare land within existing forests and controlled grazing in natural forest stands. The latter approach however cannot be recommended for further replication, as no experiences on potential impacts of grazing on the forest development are available. Possible effects could be undesired changes in the species composition, reduced density of regenerated trees or soil damage caused by trampling. Participatory Technology Development (PTD) has been promoted by SFSP in Dak Rtih commune with rambutan, longan, durian and cinnamomum plantations as well as bamboo shoot cultivation near the riversides. The methodology has been incorporated into the Commune Development Plan (CDP) and results are being further disseminated. 2 SFSP Social Forestry Support Program SMRP ETSP Project on Sustainable Management of Resources in the lower Mekong Basin Extension and Training Support Project SDC MARD Cooperation Programme 3

9 Up to now, the only serious attempt to tackle natural forest management however has been carried out by the ETSP in cooperation with the Tay Nguyen University and the Quang Tan Forest Enterprise. In this attempt a forest user group of village 6 in Dak Rtih commune was supported to carry out thinning activities in which participants gained 3 Mio. VND per households from timber sales. However, participants mentioned that they only followed instructions given by the experts and that they considered the approach as too complex. They also stated that after the training course they still did not feel confident enough to carry out a second thinning alone. Apart from these separated activities no comprehensive CBFM concept considering planning, monitoring, reporting and supporting structures have been envisioned so far in Dak Lak province. 3 CONTEXT FOR COMMUNITY FORESTRY IN THE PROJECT REGION 3.1 Biophysical conditions Dak Lak is located in the south western Truong Son mountain range with a total natural area of 1,959,950 hectares. The existing provincial forest cover accounts for over 1 Mio. hectares or around 50% of the total land area out of which only 1% are plantation. According to the forest function classification production forest comprises for 51% while the remaining 49% are classified as protection and specialuse forest in equal shares. During the process of FLA over 24,000 ha of forest land have been allocated to local people. Often these resources are only poor bamboo forest or even bare land with very limited benefits to be expected in the near future e.g. in Dak Nue commune where 85% of the allocated forest resources are classified as bamboo and bare land of type Ia, Ib, Ic. However, in some areas like Ea Son commune, the opposite situation occurs with only 8% of the allocated forest area accounting for bare land and bamboo and the majority of the allocated forest resources are defined as existing forest of the categories IIIa, IIa and IIb (further reference on forest land use in the project region is given in Annex 4). Due to these great differences in forest status and access to forest resources in the two proposed pilot areas a distinct focus of the envisioned concept is recommended for each of the proposed pilot areas. As in the case of Lak district, Dak Nue commune with limited benefits to be expected from forest management in the near future due to depleted forest resources activities in forest development are mainly limited to means of afforestation, natural regeneration or agro forestry models. In the area of Ea Hleo district, Ea Son commune with existing forest resources of over 1500 ha being allocated to even a single commune a clear focus on natural forest management providing immediate benefits for local forest users should form the main focus of project involvement in that area. 4

10 3.2 Socio-economic conditions The project districts Lak and Ea Hleo are characterized by domination of ethnic minorities comprising indigenous groups like Mnong, Ede and Gia Rai and groups recently settled form Northern Vietnam as Thai, Tay and Nung. Domination of Kinh majority is limited to major settlement areas near the district centers. Main threats to forest resources differ in the two districts and even within one commune including illegal logging for construction timber or pepper poles, conversion of forest land into agriculture land for shifting cultivation or permanent cash crops like coffee. In Ea Hleo uncontrolled immigration and conversion of forest for coffee and rubber plantation by large-scale commercial enterprises are important factors for changes in land use. Villagers who formerly cultivated the land where coffee and rubber plantations have been established and who do not find sufficient income there as laborers often encroach the forest resources for agriculture cultivation. Pepper cultivation which has been rapidly expanding during the last years, has resulted in illegal logging for pepper poles. However, this activity is mainly carried out by Kinh people as minorities often cannot afford the initial investment needed and are more concerned about financial punishment from forest protection officers. In Lak district immigration is not considered a major problem due to its remoteness and limited land resources suitable for profitable agricultural use. In spite of government regulations prohibiting slash-and-burn cultivation, upland cultivation obviously plays an important role as land for irrigated agriculture is very limited 3. This fact certainly underlines the importance of sustainable development of natural forest resources in this area. Due to historical reasons village locations have changed frequently over time with varying affects on customary village structures and traditions. However, in the area of Ea Hleo traditional village structures seem to be still alive resulting in effective regulations on natural resource management and traditional by-laws. In the case of Ea Son commune, Cham village traditional law effectively ensured the protection of forest areas of over 20 ha in proximity to the village center and surrounding areas like Chu Phot mountain 4. The community furthermore shows a very strong commitment on forest protection by independently arresting and fining outsiders engaged in illegal logging activities in their village forest area even though no forest protection regulations were in place and no support from Forest Protection staff was available. Traditional forms of resource protection and management should therefore be strengthened and incorporated into modern forms of participatory forest management to a greatest possible extent. However, even within the same commune other villages are facing severe forest losses caused by armed outsiders of Kinh majority encroaching into areas of allocated forest, and the forest owner do not dare to act in fear of revenge actions. 3 In Jol village, Dak Nue commune, where 139 people share 8 ha paddy land. 4 see Brigitte Junker (1999) 5

11 In Dak Nue commune, Jol village customary laws on natural resource management seem to be more eroded as reflected in the wish of the villagers to allocate forest land to individual households only. Forest resources are under high pressure of conversion into agriculture and can only withstand if sufficient economical benefits can be obtained in the near future. Consequently villagers clearly expressed their interest in the establishment of plantations with fast growing species like Acacia. 4 COMMUNITY-BASED FOREST MANAGEMENT CONCEPT 4.1 Conceptual Framework The proposed forestry concept has to be understood as an integral part of the overall forestry strategy of the province, which can only gain the desired impact if the following cross-cutting measures support the project implementation: An effective cooperation at province level is established to provide information exchange and to enable effective collaboration among different agencies, projects and national programs. An overall training system has to be defined to ensure standard of training implementation especially in aspects of training of trainers, training development and follow-up activities such as coaching, feedback and evaluation. Capacity building should focus on implementing district agencies such as Forest Protection and Agriculture and Cadastral Office (ACO). It is recommended to involve these partners from the early stage of testing and during the process of evaluation to ensure that the outcome is a joined product owned by the respective agency. Especially in view of sustainability and institutionalization of the methodology a joined development and refinement is essential. Training documents should provide detailed information about objectives, time frame and materials needed for all involved steps as well as further suggestions and examples for facilitating the learning exercise of the participants to ensure sufficient guidance for the trainer. Clear and demand-oriented information facilitates target groups to make informed decisions. Information has to be provided timely before any decision-making takes place and has to be presented in an appropriate way meeting the capacity of the target groups. Long-term commitment and independent continuance can only be expected if tasks and benefits are clearly understood by participants from the very beginning. Furthermore, structures have to be developed to channel information requests from the village back to the project in order to precisely respond to the real learning interest of the concerned stakeholders. Monitoring and evaluation provide the main basis for further adjustment and improvement of developed methodologies. A main 6

12 focus should be given to enable district staff to facilitate communitybased monitoring and reporting systems as these provide one main source of feedback for the project management board. The conceptual framework proposed hereafter mainly follows the matrix on establishment of CBFM pilot schemes as developed by the National Working Group on Community Forestry Management (see Annex 5) and draws from experience made in other projects in Vietnam. The concept attempts to tackle the main causes for forest degradation in the province by emphasizing on a clear shift towards increased rights over forest resources being transferred to communities, groups of households and individuals. The CBFM concept considers (i) approved long-term land use rights after forest land allocation, (ii) participatory resource assessment for informed and detailed forest management planning and (iii) silvicultural capacity building at grass roots level as the main pillars to ensure sustainable Community-Based Forest Management (CBFM). Traditional forest management among ethnic minorities in the Central Highland has a long tradition and resulted in locally adapted effective concepts of forest protection and utilization based on ecological, social and cultural considerations i.e. watershed protection forest or graveyard forests. However, traditional forest users are not familiar with modern concepts of participatory forest management planning and therefore capacity building at the level of the community has to be considered a crucial precondition to actively involve villagers into sustainable forest management after the process of forest land allocation. It has to be emphasized that participation in this context does not mean that stakeholders have to carry out all tasks in forest management alone, but that they are involved at all stages to ensure that the outcome is owned by them. Consequently, supportive structures at various administrative levels have to be identified and/or developed to support local forest users in their new tasks and responsibilities. As community forestry is not only a new concept for local forest users but also for the existing forest agencies and other supportive structures in place, capacity building has to be considered at all administrative levels. However, this can only be effectively implemented if a clear commitment is communicated to staff in support of community forestry e.g. through provincial directives; policy statements, budget allocation etc. Handing over user rights further includes increased independent planning, management and self-reliance in decision-making. In this context the key organization for planning and monitoring is envisioned to be the commune People Committee in line with Decision No. 245/TTg dated December Consequently, a regulatory framework has to be developed at provincial level, clearly defining tasks and responsibilities and providing technical guidance for decentralized planning and implementation of forest activities at commune and district level in the future. 7

13 4.2 Organizational and Technical Procedures The procedures proposed hereafter specify the technical and organizational requirements for granting communities with long-term permits on Community based Forest Management. As mentioned, the procedures are structured along the matrix on establishment of CBFM as developed by the National Working Group. However, when concretizing details for the context of Dak Lak it was realized that some changes and additions to the matrix were required which are justified in the following. For reference to the national matrix the original numbering is given in brackets for each step. The system envisions communities or groups of households as main decision-makers and beneficiaries to whom forest land is allocated, while commune administration provides services in coordination and controlling of resource planning and utilization. District level authorities are main bodies for approval of forest development and utilization plans and administration of justice in cases where conflicts on forest resources can not be solved within the commune. The following technical and organizational procedures are proposed for the establishment of CBFM schemes, while they are detailed in the following chapters, their key characteristics are given below: Application for communes (# 0) Community based forest management cannot be imposed upon a community but has to be requested by the community. Supporting systems in terms of techniques applied and finance are identified (national programs, international donors, NGOs). Clarification of Forest Land Allocation (# 1) Information about total forest area, ownership, function and spatial distribution of forest types have to be aggregated and approved. Community-based legal framework on forest protection and development (# 3a) Community-based forest regulations are in place to regulate and enforce access rights and restrictions of allocated forest resources. Long-term forest development and utilization vision (# 3a) Silvicultural management regime developed along a long-term management goal to ensure consistent management during the entire rotation cycle. Participatory Forest Resource Assessment (# 2) Assessment and evaluation of forest resources as basis for informed forest planning and management. 8

14 Provides effective monitoring for adaptive management of forest resources. Forest development and utilization planning base (# 3) Forest development and utilization plans are the foundation of a wellmanaged forest. Plans define when, what, how, and why interventions are carried out. Monitoring and evaluation system (# 4) Assess validity and feasibility of CBFM concept in terms of technical, organizational and financial arrangements. Results lead to continuation, revision or withdrawal of CBFM permit Application for communes Community based forest management cannot be imposed upon a community but has to be requested by the community itself. If people do not develop a self-interest in forest management and a sense of ownership in the decision-making process, implementation will be half-hearted, probably misunderstood and will more likely fail. Therefore, communities are requested to submit an application for the approval of a CBFM permit which will be prepared by the Commune People Committee (CPC) and submitted to District People Committee (DPC). Responsible for the appraisal and approval of the CBFM permit is the chairman of PC at district level. For the process of appraisal and approval the Agriculture and Cadastral Office and the Forest Protection Unit are further consulted. To facilitate this process a commune meeting in the respective commune has to be organized in which the objectives, specific tasks and benefits of a CBFM model are introduced to representatives of the commune and the involved villages. Especially long-term benefits and rights, which may be out of the planning horizon of stakeholders, have to be revealed in details. Based on this meeting the village representatives then pass the information on to their villages and support them during the decision-making process. Prepared leaflets can help as reminder, provide guidance and ensure that no information will be left out during the dissemination in the village meetings. If communes express their interest in applying for a CBFM permit they are requested to submit an application for approval. The application format has to be prepared in a standard format as a guidance for the CPC. The application is then submitted to the DPC for approval. The Agriculture and Cadastral Office and the Forest Protection Unit are consulted to verify the data provided and the suitability of the commune. In the process of appraisal and approval, the DPC Chairman has to ensure that necessary supporting systems are provided with respective budgets out of local and national government programs or projects i.e. donor contributions or NGOs. 9

15 4.2.2 Clarification of Forest Land Allocation Before any informed forest management can be initiated, the total forest area, type of ownership, function and spatial distribution of forest types have to be agreed upon and aggregated during the process of land use planning and land allocation. During this process decisions are made for each forest area concerning specific ownership and functions like protection, special use or production and defined areas are further delineated on a map. Following the Decree 02 5 and Decree forest land can be allocated to individual households, groups of households and communities. The final product of the LUPLA process are land use right certificates (Red Book Certificates) ensuring long-term security to invest labor and finance in forest management and protection. For Dak Lak province technical guidelines have been developed supported by SMRP and are currently under revision. FLA allocation has to be carried out in a participatory manner to avoid inequity causing conflicts within a community and between communities. Participatory Rural Appraisals (PRA) should form the starting point for the land allocation process, aiming at a better understanding of the local conditions, problems and potentials. The results of the PRA are documented in a report, and are to be followed by activities to promote improved practical land management. Traditional PRA tools include the preparation of simple land use sketch maps, village transects, or 3-D village models made from local available materials. However, high time expenditure and often low accuracy of gained data are critical limitations in this process. Consequently, orthorectified photomaps should be used instead as an accurate, economical and non-literate tool to engage farmers in discussions on natural resource use, planning and management. In the course of FLA, photomaps could be used to (i) identify and agree on the form of allocation to be selected and to (ii) facilitate villagers to delineate individual plot boundaries within the total forest area as proposed for allocation by the Forest Enterprises (FEs). In this process villagers identify and delineate forest blocks under a common system of management on transparencies laid over a geo-referenced aerial photograph, which will be transferred into the computer to produce accurate land use maps. A Global Positioning System (GPS) receiver further complements data collection and allows instant verification of the developed village forest land use map at the site. Apart from higher spatial accuracy of the developed map the involvement of local stakeholders allows a rapid identification of social, economic and environmental problems to be taken into consideration in the following planning process. Field implementation in SFDP Song Da project showed high level of participation and engagement especially from women, most likely due to the authentic nature of the data. 5 Decree 02/CP 1994 on the contraction and allocation of forestland use rights to organisations and households 6 Decree No. 163/1999/ND-CP of November 16, 1999 on the assignment and lease of forestry land to organisations, households and individuals for stable and long-term use of forestry purposes 10

16 Participation ensures that not only ideas of leaders and experts but also ideas from local people are incorporated and that the planning considers traditional resource management and development targets of the respective villages. Especially the suitable form of land allocation (to individuals, groups of households or communities) has to be based on the demand of the stakeholders and should further consider the ecological conditions of the area. Two forms are recommended based on the intended silvicultural interventions. In cases where financial investment for afforestation is required to develop the existing forest resources issuing of red books to individuals is of advantage, as clear tasks and responsibilities can be transferred to individuals, and thus effective monitoring can be ensured. However, it is essential to analyze how this will influence the incentives of the households to co-operate in village forest protection activities. If the forest land allocation is considered unfair by the households which received less or no land, their incentive to co-operate in forest protection may be reduced. In areas with existing forest resources where main silvicultural interventions include extraction of forest products in the process of thinning or harvesting, allocation to groups of households is more beneficial to ensure effective protection and equal share of benefits. Villagers themselves stated allocation to the entire village as unsuitable as nobody would feel responsible later. However, even if red book certificates have been issued to individuals the formation of user-groups could still be facilitated if required or desired by stakeholders. In view of the matrilineal organization of many ethnic minority groups, the question of whether the name of the women heading the household should appear in the red book certificate should receive particular attention Community-based legal framework on forest protection and development Following the results of land use planning and land allocation, increased rights and obligations are transferred to local communities to protect and sustainably manage forests within their village boundaries. Consequently, a legal framework or community-based forest law has to be developed to regulate and enforce the access rights and restrictions of a resource base that can be easily encroached by community members or even outsiders due to an often remote location at village or even commune boundaries. In order to provide the legal environment for communities to enforce their forest tenure rights village level Forest Protection and Development Regulations (FPDR) have to be put in place as stipulated in Circular 56/1999/TT-BNN-KL. However, the approach as stipulated by law does not point out the necessity of a participatory approach and often results in a list of prohibitions forced upon a community only causing counterproductive effects. Therefore, it is important that communities themselves formulate their own regulations suitable for their local conditions and specific needs. FPDRs aim at improving stakeholders capacity to analyze their forest resources and traditional regulations, and adopting the forest regulations that will best respond to stakeholders and government forest management needs and interests. Strengthening people s capacity in managing and 11

17 protecting their forest according to regulations developed by them and approved by the relevant authorities is considered crucial in selfenforcement and for a socially accepted forest management. Involving local stakeholders in the decision-making process further facilitates a rapport of trust and exchange of information with local authorities. The process of formulating FPDRs include village meetings in which community members share their ideas and opinions on the purpose of the Forest Protection and Development Regulations and agree upon what they would like to achieve with them. In the following the villagers discuss jointly their regulations containing detailed information about (a) areas grouped according to specific purposes, (b) benefits and compensation, (c) hunting and grazing regulations and (d) fire prevention. Once the village FPDRs have been developed and agreed by all community members, the regulations are then submitted by the village leader to the commune authorities, and from the commune to the district authorities for approval. The result of the approval is a legal binding document to enforce land use rights and to consult higher level administration for support in violation cases that can not be solved by the village alone. At village level the farmers themselves are responsible to ensure that regulations designed by them are followed. This is one of the main reasons why participation of community members in the design process is of crucial importance. In the process of implementing and enforcing FPDRs, local people are getting familiar with their rights and responsibilities as well as the fines applied to violations. Forest protection groups are further formed among villagers to ensure compliance with the agreed regulations. The formation of protection groups further reduces opportunity costs when several households co-operate and protect their forest resources together. Apart from the obligations of only protecting forest resources the regulations should provide further opportunities for local people to enjoy benefits from timber and non-timber forest products. FPDRs can only prove an effective tool if villagers awareness is kept alive after the development of the regulations. This can be facilitated by frequently reflecting on the ongoing implementation during village meetings and regular monitoring and evaluation (M&E) to be conducted on an quarterly or annual basis. During the M&E process the development process, present knowledge on FPDRs, and the implementation standard are assessed. The M&E exercise combines external monitoring by supportive agencies like Forest Protection Units (FPU) with internal monitoring carried out by the community to increase awareness of stakeholders and to assess the need for adjustment or further external support based on the demand of the villager Long-term forest development and utilization vision As a result of the FLA process forest status and specific ownership have been defined and delineated on a present land use map which should be 12

18 available at the village. Based on these data villagers have to further identify their future production aim for each specific forest patch. This longterm vision should clearly define desired species, species composition, and the final harvestable diameters required for the final products. As the potential of natural forest stands differs in terms of species distribution, productivity and functions, the management system applied has to be tailored accordingly to ensure maximized benefits in the long term. Only if the management system applied is consistent with a management goal defined from the very early stages counter-productive interventions can be avoided over the whole production period. In other words a clear vision of the desired forest structure that can provide the desired tangible and non-tangible forest functions and products has to be established before carrying out any silvicultural management regime. The process is facilitated by reflecting on the currently available resources (distribution of valuable timber species and non-timer forest products (NTFP) species) and site conditions (soil fertility as indicator for forest growth potential) during a short walk in the forest patch and by linking this with the forest user demand. By defining what products are desired from what species and with which minimum harvestable diameter a clear forest structure can be drawn. The differences between the present stage and the desired future structure will then define the management regime to be applied. Facilitating this planning through a participative approach helps local people to understand why and how management decisions are made and ensures that their demand and expectations are incorporated in the results. It is assumed that forest users who have the opportunity to express their needs and incorporate their local knowledge into the process have an increased sense of ownership and are willing to take over management responsibilities in the long-run. This independent follow-up forms a crucial factor to achieve the desired long-term goal. Therefore, increasing people s participation in the decision-making process to identify and agree on a suitable management goal is considered the principal mechanism available to facilitate sustainable use of natural resources and thereby linking forest utilization with effective forest protection. Forest patches containing similar forest types and similar production aim as identified by the farmers are further grouped to a forest block. Forest blocks are defined as areas containing the same forest type under the same management and form the basic unit for forest inventory and planning Participatory Forest Resource Assessment The main objective of the participatory forest resource assessment (PFRA) is to evaluate the forest resources and to supply information for forest management and planning purposes. Resource assessment in form of forest inventories is carried out on a sample base at specific intervals and varying intensity depending on the size of the forest area and the type and accuracy of data needed. 13

19 In the context of community forestry development in Vietnam appropriate methods to assess forest resources have to be based on simple participatory resource assessment rather than on inventories of scientific accuracy. A scientific inventory is likely to produce a set of data that local people would find extremely difficult to interpret. If forest users were not properly involved in the resource assessment, they would not have a sense of ownership over the results and would be unwilling to follow a management plan developed from that data. Consequently, simplicity of guidelines is important to ensure that understanding, enforcement, and monitoring of forest management planning is within the capacity of the forest user group. Full participation by local forest users must be ensured during the entire process, making use of simple but effective techniques of forest inventory and subsequent data analysis. The resource assessment should be undertaken as a joint activity involving the commune forest management board as technical resource person, extension worker as facilitator and local forest users. Participation during the entire process will (i) support stakeholders to gain confidence in the techniques which will enable them to independently carry out future resource assessments (ii) reduce the workload of the involved agencies like Forest Protection Units and (ii) establish mutual trust and exchange of information between Forest Protection staff and local stakeholder. First field experiences in Son La and Lai Chau province confirmed sufficient capacity and a high interest of forest users in the process, and often villagers themselves emphasized the need for reliable data for improved forest management. The PFRA including data collection, data aggregation and analysis is carried out for each individual forest block using simple tools as measurement tapes and rope for plot demarcation. Main characteristic of this PFRA is that no tree height is measured and no volume is calculated. Off-take levels are quantified by defining the number of trees and diameter class as practicable criteria for implementation and monitoring within the capacity of farmers and supportive staff. After the inventory is completed in the field, the gained data has to be aggregated, analyzed and stored in an inventory database for future yield determination and regulation. As this task requires some basic mathematic skills and simple tools like pocket calculators it has to be carried out with support of trained technicians or extensionists. However, the forest users are actively involved during the whole process. Experiences gained so far indicate that the method is a suitable tool in the context of community forestry and simple enough to be readily understood and applicable by rural population. During repeated or dynamic inventories over a period of time essential knowledge on growth dynamics will be gained to further refine and adjust the silvicultural management in an iterative process Forest development and utilization planning base Based on the data acquired during resource assessment and forest land allocation, Community Forest Management Plans (CFMP) are elaborated during meetings at village level. The planning requires careful thought 14

20 about what is intended or has to be expected and involves the co-ordination of all activities to achieve the desired long-term management goal. CFMPs are the foundation of a well-managed forest. Management plans are working documents and should be available for and used by everyone who has a decision-making role. The plans should detail silvicultural interventions including quantified off-take levels based on the inventory results, financial arrangements for afforestation and clear responsibilities. CFMPs have to further document and justify the choice of the selected silvicultural system to ensure that all management levels have a clear understanding of what they are doing and why. The purpose is not only to set out approved management objectives but to communicate these to the stakeholder who are concerned with the implementation of the plan. CFMPs are the main monitoring and planning tool for forest users, relevant agencies and the project. During the planning process forestry activities of the community are identified and quantified in order to balance the supply and demand ratio of the village forest resources. The supply situation is assessed by comparing the actual situation as obtained during the PFRA with an ideal model or standard developed for the specific forest type. In case of insufficient resources of a specific forest product, possible solutions are discussed to raise future supply. This leads to a long-term five year CFMP, which is submitted by the village leader to the commune authorities, and from the commune to district authorities for approval. After approval the ACO in charge of the commune feed the approved plan back to the village management board. Legal approval is an important step to ensure that commitments made (including utilization rights for villagers) are implemented and enforced. It links the CFMP as developed during participatory planning based on field level data with a set of binding standards developed at a higher level. After reaching the approval the long-term five year CFMP is broken down into annual work plans (AWP) to gradually achieve the long-term management goals. The AWP is a written tabular form listing particular activities to be carried out for a one-year period and assigns clear responsibilities and duties to the respective forest owners. The plans are further incorporated into the Village and Commune Development Plans (VDP&CDP) to ensure that forestry is developed within the framework of rural development. Since CDP is accepted and supported by the local government institutions the incorporation also ensures that community forest management planning becomes an internal element in the local institutional environment. It has to be emphasized again that FPDRs have to be effectively applied and enforced as a precondition for any planned forest management. Only if forest resources are well protected by the community, a forest management plan can be effectively implemented and enforced, thus emphasizing the mutual link between these two methodologies. After 5 years the CFMP can continue for a further 5-year period subject to the results of a qualitative resource assessment aimed at identifying positive changes in forest condition or socio-economic conditions affecting resource utilization. After 10 years the planning cycle starts again with a new PFRA. 15

21 4.2.7 Monitoring and Evaluation system During the ongoing implementation monitoring has to be carried out at different levels to assess the progress or fulfillment of the assigned tasks for each involved party. Monitoring at village level should be carried out in form of participatory monitoring in which stakeholders take over tasks and responsibilities in assessing their own progress towards the defined planning goal. In this process the community itself analyses information that they have determined as important (e.g. number of forest violation cases, effectiveness of grazing regulations or impact of silvicultural measures like thinning or harvesting). At the second level commune and district staff monitor the fulfillment of reporting and approval procedures (timber harvest application form or tax and benefit sharing arrangements) and the effectiveness of training measures conducted at village and commune level. At the province level the project together with relevant provincial agencies conduct evaluation on a random basis at all involved levels to assess need for adjustment of the tested CBFM scheme or the need for further capacity building or additional financial support. Provincial level monitoring can provide valuable information for adjustment of the provincial forest policy framework. A final evaluation has to be conducted at the end of the piloting phase to evaluate the validity and feasibility of the technical, organizational, administrative and financial arrangements developed during the piloting phase. The district PC is the main responsible body for the evaluation with support of other parties involved, like consultancy from respective Departments at province level as Forest Development or Forest Protection Sub- Department. The outcome of the evaluation will detail whether necessary requirements for the grant of a long-term CBFM permit have been met or whether further improvement or adjustments are needed to make the community eligible for granting. In cases of serious mismanagement of forest resources or omission of requested tasks the CBFM permit should be terminated and this cancellation may even result in revoking of red book certificates. 4.3 Administrative Procedures Community forestry can not be sustainable if it is developed outside the legal forest policy framework and outside existing administrative structures. Consequently a legal approval for the CBFM process has to be given by the province in order to provide a supportive legal framework for piloting CBFM. This commitment has to be further communicated to government staff in charge of the pilot communes to give them an unambiguous role in support 16

22 of the process. Involving relevant agencies and field staff in the piloting process will furthermore provide valuable data on workload, involved costs and required capacity building when considering up-scaling of the concept outside the pilot communes. Direct involvement also ensures that capacity building will focus straight on relevant agencies at district and commune level rather than limiting these efforts on training of mediating staff from projects or training institutions. Developing and testing the CBFM concept in a close dialogue with provincial agencies further ensures that the developed concept will be a joined outcome shaped according to the demand and the capacity of the provincial forestry sector. During a workshop on the 14 th of October with members of the provincial working group on forest land allocation and joined forest management in Dak Lak the main concept for a CBFM pilot scheme has been jointly developed and agreed upon. In the first part, technical and organizational procedures envisioned in the process of piloting a CBFM approach have been defined. Main procedures of the concept follow the Matrix on Establishment of CBFM Pilot Schemes in as developed by the National Working Group for Community Forestry Management and are therefore in line with national level forest policy development. In the second part, clear administrative responsibilities for every procedure at each respective administrative level have been assigned and agreed upon. The results are shown in Table 1 as a matrix of responsibilities for the CBFM process. Guidance for forest users has to be provided in terms of technical and administrative extension service. Technical support would fall into the mandate of vocational schools and existing extension structures. At present, the vocational school for ethnic minorities 7 is conducting trainings at village level via so-called mobile training units in cooperation with the extension center and intends to offer training modules on silviculture (fire prevention, forest management, as well as timber and bamboo harvesting) in the near future. Support in administrative procedures could be provided by ACO and FPUs in cooperation with social organizations at village and commune level. Administrational procedures have to be simple, time- and cost-effective as they are supposed to be fulfilled as additional tasks to the already existing mandate of involved agencies and most likely without additional budget or time allocated. The same applies for reporting and planning procedures at village level. At present villagers have a clear focus on agriculture and invest most of their labor in agricultural production. Additional benefits at present from forest management are expected to be only marginal due to the forest status of allocated forest recourses and unfavorable benefit sharing arrangements for the first years after allocation. High time requirements for complicated reporting procedures would only cause higher opportunity costs without 7 Vocational School for Ethnic minorities in 594 Le Duan, Buon Ma Thuot, Daklak 17

23 bringing immediate additional benefits as access to forest resources prior and after forest land allocation did not change significantly according to most interviewed villagers. At present only the guaranteed right to bestow the forest land to their children, may have a high incentive to invest labor or even finance into forest management, even though the discounted present value of their investment is low. Difficult application and reporting procedures could furthermore lead to an undesired shift of encroachment into forest areas that have not been allocated yet. In the long run incentives could be created by providing payments for communities for the fulfillment of approved management plans which could be used by the villagers to compensate individuals for their labor inputs or to contribute to communal activities in the village in form of a forest fund. Required finance could be made available by national programs like by shifting from annual forest protection contracts to payments of sustainable forest management. At present, direct payments to villagers in the form of annual protection contracts with payments of up to 50,000 VND/ha only increase dependency; reduce the sense of ownership and responsibility by the community and are difficult to sustain in the long run. There may be some justification for such payments as an interim measure where the resource is highly degraded but ultimately the incentive for villagers needs to come through sustainable forest management. 8 Decision 661/QĐ-TTg/1998 on Objectives, Tasks, Policies and Implementation of the 5 Million ha Afforestation Project. 18

24 Table 1: Roles of different agencies in the community based forest management process (numbers in brackets refer to national matrix) Village (applies framework) Commune (guides application of framework) Steps Responsible Tasks Responsible Tasks Application for communes (# 0) Village Management Board Organise village meeting Participate in commune meeting Sign in application Commune People Committee Develop and submit application to district Clarification of Forest Land Allocation (# 1) Village Management Board Forest users Participate in planning Develop 3-D model Commune Forest Management Board Mass organisations Guidance during planning Legal framework on forest protection and development (# 3a) Village Management Board Facilitate village meeting Commune Forest Management Board Aggregate and submit to district Long-term forest development and utilization vision (# 3a) Participatory Forest Resource Assessment (# 2) Forest development and utilization planning base (# 3b) Approval of 5 year plan (# 3b) Forest users Forest users Forest users Forest users Develop management goal Commune Forest Management Board Commune Extensionist Facilitate and record results Plot measurement Commune Forest Management Board Plan preparation Commune Forest Management Board Village head endorses written plan Commune People Committee Data recording Guidance during planning Cross-check and aggregate District (approves) Responsible Agriculture and Cadastral office 1 District People Committee Forest Enterprise Steering committee Working group 2 Legislation section Forest Protection unit District People Committee Forest Enterprise Agriculture and Cadastral office Forest Enterprise Agri. and Cadas. office Forest Protection unit Forest Enterprise Agriculture and Cadastral office Forest Protection unit Agriculture and Cadastral office District People Committee Tasks Appraisal 1 and approval Monitoring & appraisal and approval 2 Support implementation Approve regulations Link Macro with Micro-LUP goals Support to villagers & technical advice Involved and support to forest users Approve plan Province (sets framework) Responsible Tasks Forest Development Sub-Department Approval of process Development of format Department for natural Resources and Environment Department for Agriculture and Rural Development Forest Development Sub- Department Participate in approval meeting Legislation Department Forest Protection Sub-Department Approval of methodology Department for natural Resources and Environment Department for Agriculture and Rural Development Set MACRO-LUP strategic goals Forest Development Sub- Department Appraisal of methodology Submit to DARD for approval Forest Development Sub- Department Approve planning methodology Forest Development Sub- Department Set approval criteria referring to FSC standards 19

25 Table 1 contd.: Roles of different agencies in the community based forest management process (numbers in brackets refer to national matrix) Steps Annual working and investment plan (# 3c) Implementation (# 6) Community-based controlling and reporting systems (# 4) training/coaching and implementation of measures (# 5) M&E (# 7) Village (applies framework) Commune (guides application of framework) Responsible Forest users Forest users Village Management Board Individual forest protection groups Forest users Tasks Plan silvicultural interventions Prepare annual plan Self monitoring of regulations Responsible Tasks Forest Enterprise Commune Forest Management Board Technical support Commune People Committee Commune Extensionist 3 Report aggregated plans to district 3 Support forest users Mass organisations 4 Commune Forest Management Board 5 Commune People Committee 6 4 Monitoring and enforcement of regulations 5 Aggregate and report to CPC 6 Report to DPC Village Management Board Forest users Participate in short-training courses Commune Forest Management Board Mass organisations Commune Extensionist Participate in training courses Forest users Self-monitoring. Annual report to Commune People Committee Commune Forest Management Board Commune People Committee Commune Extensionist Monitor against planned activities District (approves) Responsible Tasks Financial Section Forest Enterprise Forest Protection unit Agriculture and Cadastral office Technical and logistical support Financial Section Agriculture and Cadastral office Only if changes to 5-year plan or for financial expenditure occur submit to DPC for approval Forest Protection unit Agriculture and Cadastral office District People Committee Supervision and solving of conflicts Agriculture and Cadastral office Forest Enterprise Forest Protection unit Extension station Support in introducing new techniques Forest Protection unit Agriculture and Cadastral office Monitor impact (using national FSC standards) 5-year re-assessment Province (sets framework) Responsible Tasks Forest Development Sub- Department Recommend changes to application of decision 178 Forest Development Sub- Department Set monitoring criteria based on FSC standards Vocational training centre for Ethnic Minorities 7 Extension Centre 7 Tay Nguyen University 8 7 Training of farmers and extensionists 8 Training for district and province staff Forest Development Sub-Department Develop FSC monitoring standards 20

26 In the following specific tasks envisioned, responsibilities and present limitations of main administrative bodies involved in the process are further detailed. Forest Development Sub-Department Due to the fact that the Forest Development Sub-Department (FDSD) is only presented at provincial level no direct support during implementation at lower administrative levels can be expected. The important role of FDSD lies in the development and adjustment of a suitable forest policy framework and the legal approval of procedures and techniques for CBFM implementation. Detailed tasks would include the setting of standards for forest management planning; approving methodologies like participatory forest resource assessment and community forestry management planning as well as developing silvicultural guidelines. Criteria for approval could be linked to the draft of the national standard for Forest Certification developed by a national working group 9. This working group is defining a national standard including a set of criteria and indicators based on the internationally recognized standards of Forest Stewardship Council (FSC) (for further details please refer to Annex 6). Forest Protection Unit Traditional concepts of forest protection have been proven insufficient to tackle severe forest degradation as witnessed in Vietnam. Nowadays, forest protection via sustainable utilization is considered the fundamental mechanism to facilitate sustainable utilization of natural resources as initiated by the process of Forest Land Allocation in Dak Lak province. Forest management plans based on forest resource assessment with full participation of all stakeholders are the basic tools identified to facilitate sustainable forest management and thereby linking forest utilization with effective forest protection. Consequently, facilitating these activities directly falls into the given mandate of Forest Protection but at the same time requires a shift in orientation from law enforcement towards administrative and technical support and supervision. The initiation towards this shift however cannot come from the implementation level at district but has to come from the provincial government in form of provincial directives or policy statements. A shift in the mandate furthermore implies a shift in tasks and skills required. As these new skills can not be assumed capacity building of involved staff is required. Both, the need for a shift in roles and the need for better skills amongst field staff are not unique to Vietnam. In many countries a large program of staff 9 Draft -Vietnam Principles and Criteria for Sustainable Forest Management drawn by the National FSC Working Group on Sustainable Forest Management and Forest Certification after the sixth workshop in January

27 reorientation and skills development for forestry field staff has been necessary for up-scaling of community forestry. For the establishment of village level Forest Protection and Development Regulations FPUs already have a clear mandate as stipulated by Circular 56/1999/TT-BNN-KL 10. Forest Enterprises As stipulated by Decision 187/QD-TTg 11 forest enterprises (FE) have been the main bodies in conducting the pilot trial on forest land allocation in Dak Lak province. Further involvement in follow-up measures to support local stakeholders in forest management however is not part of their mandate. Technical support in form of training or extension as carried out by the FE Quang Tan in Dak Rlap has only been conducted on a voluntary basis in order to support the ETSP project in testing thinning activities with local stakeholders 12. However, in view of sustainability further technical support can only be expected if clear budget allocation for providing these services can be ensured as FEs have been transformed into business enterprises following the reorganization of the forestry sector 10. Agriculture and Cadastral Office The Department of Agriculture and Rural Development (DARD), presented by the Agriculture and Cadastral Office (ACO) at district level is responsible for planning processes at commune and village level (Agriculture and Rural Development and Land Administration are merged at district level). At present ACO is mainly involved in the field of agriculture and further acted as a provider for technical training 13. In the field of forestry ACO is supporting the FEs in verification of forest land projection and mapping results during field checks and in issuing of Red Book Certificates. Experiences in forest management however are limited at present and capacity building is required to effectively involve ACO in the CBFM concept. ACO would be a main partner in facilitating communities in preparing and submitting long-term forest management plans and supporting CPCs in administrative planning procedures and submitting plans to the DPC for approval. Extension Center Extension in Dak Lak is organized via the Extension Center at province level and implemented by Extension Stations (ES) at district level. The Center has cooperated with DANIDA and Helvetas and received training courses from national Universities and Institutes. 10 Circular 56/1999/TT/BNN on the guidelines to establish community Forest Protection and Development Regulations in hamlets and villages 11 Decision 187/1999/QD-TTg on the renovation of State Forest Enterprises 12 Training on thinning conducted in village 6, Dak Rtih commune 13 ACO conducted technical training on bamboo shoot and cashew cultivation in Dak Rtih commune 22

28 At district level ESs include 3-4 staff members and are managed by ACO with direct funding through district funds since The stations are mainly responsible for setting up trials and demonstrations, distribution of subsidized seed, farmer-to-farmer extension and setting up farmer extension clubs. At commune level 195 commune extensionists are contracted. However, support is mainly provided in agriculture and capacity building is required to effectively perform as a forestry service provider. District People Committee The District People Committee (DPC) is the main supervising and approval body for the implementation supported by respective agencies in technical and legislative details. It further regulates the management of the extension stations as stipulated in Decision 69/2002/QD-UB and by this could be influential in defining tasks and desired performance of the extension towards CBFM. The DPC is mainly supported by the Forest Protection Units and ACO. Commune People Committee The Commune People Committee (CPC) is an administrative unit with governmental management functions and fulfils important roles in advising village level planning, aggregating data and submitting these to district level for approval. As for most organizations involved in the implementation clear directions from higher level (in this case DPC) and capacity building are crucial prerequisites for a proper involvement in CBFM and also strongly requested by CPCs visited. Commune Forest Management Board Commune Forest Management Boards (CFMB) as stipulated in Decision 441/QD-UB of Dak Lak province comprise four members of the commune administration namely PC chairman, PC vice chairman of commune, one police officer and one security officer, as well as one officer from the district FPU. At present CFMBs are not functioning effectively and are not known by most villagers or even commune level staff of other governmental organizations. CFMBs members have to fulfill concurrent tasks and responsibilities and lack required capacity on forest management especially in the context of community forestry. A realistic involvement of CFMBs into the CBFM concept is difficult to assess at present and has to be evaluated during the piloting. Social organizations Social organizations like Women s Union, Farmers Association, Fatherland Front or Youth Union established at village and commune level are supposed to communicate and propagate state policy and regulations to involved stakeholders. Within a CBFM concept these organizations could be effectively involved as a media for dissemination and evaluation of 23

29 planning and implementation procedures and as an information provider of forest policy for local stakeholder. In reality however, the effectiveness and impact of these organizations very much depend on the real commitment of involved individuals rather than on their given tasks and mandate. Consequently, the integration of the organizations has to be evaluated in each case and capacity building has to be concentrated on identified key persons in the group who can later disseminate knowledge to other members of the community. 5 PROPOSAL FOR PILOT IMPLEMENTATION IN DAK LAK PROVINCE 5.1 Required steps for pilot implementation Appraisal and approval of pilot scheme by the province Piloting requires legal approval at provincial level which has to be reached during an approval workshop with members of the WG-FLA/JFM and provincial representatives of DARD, DPI and PPC. The approval has to detail technical and administrative procedures and responsibilities at all administrative levels and further includes an action plan for implementation in the respective pilot communes. Scale of piloting and selection of pilot communes It is strongly recommended to limit the CBFM pilot to one commune per project district only, and even to limit specific procedures to two or three villages per commune for the time being. In view of initial capacity building even within the project and of adjustment of methodologies from other areas to the local context this has to be considered the utmost realistic scale for initial piloting. The selection of the two pilot communes was based on a set of criteria e.g. access to the area, ethnic groups, poverty, forest conditions, interest of local people and status of FLA and is intended to cover distinct situations after FLA as for Dak Nue commune with a clear need for agro forestry and afforestation and a focus on natural forest management of existing resources in Ea Son commune. Responsible: VMB CPC DPC ACO Application for communes After identifying potential communes, meetings at commune and village level have to be held to provide the involved population with sufficient information to consider application for a CBFM permit. Logistical guidance for the planning is given in Annex 9. It would be of great value to have representatives of provincial line agencies participating in the first commune meeting to back up the mandate for the involved district and commune organizations in the CBFM process. As no standard format has 24

30 been developed so far the project is requested to take over this responsibility (a proposed application form is given in Annex 10). The application should describe the below listed information: Name of commune, participating villages, status of Forest Land Allocation, total forest land area, brief description of forest status and forest land classification (protection, special-use, production forest) and intended management. Organizations, institutions and key persons involved in the formulation process. Minutes of Meeting of respective meetings in participating village(s). Request letter for granting of CBFM permit and provision for required supporting systems. Signatures of village head men and village level organizations. Expected outcomes of the application procedure: o Involved stakeholders are informed about their tasks, responsibilities and benefits in a CBFM model o Communities are enabled to make informed decisions of whether to apply or reject joining in the CBFM model o Application form submitted to district and approved by DPC Responsible: VMB Steering Committee CFMB Clarification of Forest Land Allocation For the proposed two project communes in the districts of Lak and Ea Hleo the process of FLA has been mostly finalized. The implementation has been carried out by provincial initiative partly with support from the SMRP project. Implementing agencies were the FEs of the respective districts. As revealed during village meetings in both districts and different communes the participation of stakeholders during the process of FLA differed to a great extend. In some cases insufficient information was provided to the stakeholders during the preparatory stage. Especially poor village members were reluctant to receive forest land as they were afraid that with receiving land use certificates they were also expected to invest into the forest area. In other cases the form of land allocation (to individuals, groups of households or communities) was not decided by the community but was imposed by the implementing agencies (e.g. in Ka Ri village in Ea Sol commune where farmers now request to reallocate land to the whole community which has been recently allocated to individual households). Therefore, the project has to evaluate the FLA already implemented by assessing (i) the information level of the stakeholders about their rights, obligations and benefits in the process of FLA and (ii) the suitability of the form of allocation, in other words if stakeholders agree to the status quo or whether inequity or chosen form of allocation is expected to lead to conflicts in the near future. Reallocation of forest resources has to be facilitated if the latter one of the above mentioned problems occurs. The process of reallocation can base upon the forest survey and mapping results as conducted by the FEs thus 25

31 reducing finance and labor requirements to a great extent. If available orthorectified photomaps should be further used as an effective tool to ensure full participation of stakeholders in the process. Most important result is to have a situation free of conflicts to start from with forest management. In view of further up-scaling of FLA it has to be emphasized that existing provincial guidelines are still too complex and not practicable enough for the implementing agencies. It is therefore strongly recommended that a revised and simplified guideline is developed by the WG-FLA/JFM possibly with additional support from the ETSP. Technical guidelines from the provinces of Dak Lak and Son La as well as training material as prepared by SFDP for participatory LUPLA are available for reference (see Annex 7). Logistical guidance for the assessment is given in Annex 9. Expected outcomes of the FLA evaluation: o Villagers are informed about responsibilities, benefits and policies concerning ownership of forestland o Form of allocation and distribution of forest resources is accepted by the entire community and red book certificates are issued accordingly Community-based legal framework on forest protection and development Responsible: Enforceable rights to exclude outsiders from encroaching forest areas allocated to individuals or communities is a crucial ownership right. VMB However, as in the case of Du Mah or Kari village, farmers stated that they CPC are not confident in dealing with violation cases and in most cases did not DPC apply punishment to violators at all. FPU Consequently, facilitating communities in establishing enforceable regulations on forest protection is a crucial follow-up of the allocation process, which has to be supported by the project. The role of the project is to facilitate the participatory development of FPDRs for all villages within the pilot communes having forest resources inside the traditional village boundaries. Main lead is given to FPUs at district level coached by the project and further training experts to ensure a participatory approach. Regulations have to be carried out for the entire commune forest resources. If some areas will remain without FPDRs villagers may shift encroachment and logging activities to these areas which are not effectively protected. If in some villages regulations have already been carried out it is strongly recommended to assess the participation in the development process and the awareness and acceptance by the local people. One main indicator to be assessed is whether areas under specific management (forest for firewood exploitation, protected graveyard forest, watershed forest etc.) are explicitly mentioned in the regulations with local names and whether farmers can identify the mentioned areas in the field. Often regulations are only prepared blueprints that were just handed out during the meeting without giving villagers a chance to incorporate their wishes and needs. FPDRs have to contain specific information about (a) areas grouped according to specific purposes, (b) benefits and punishment, (c) hunting 26

32 and grazing regulations and (d) fire prevention as a result of a joint discussion during two to four half-day village meetings. Once the village FPDRs are agreed by all community members, such regulations need to be written down in a simple document that will then be submitted to the CPC and DPC for approval. Signboards have to be further installed at the main village path to the forest (for a design suggestion see Annex 11). The overall process from the design over approval to the dissemination of printed regulations may take about 2 months. Training material and technical guidelines as developed by the SFDP and approved in the provinces of Lai Chau and Son La are available at the websites of Mekong info in PDF print format (see Annex 7). Logistical guidance is given in Annex 9. Expected outcomes of the FPDRs: o FPDRs are developed in a participatory manner and based on the local conditions and demands of the villager o FPDRs are approved at district level and form a legal basis for enforcement of utilization rights over village forest resources o Regulations are made available in form of posters at main village meeting points and as signboard at the main village path to the forest Long-term forest development and utilization vision Responsible: In a first stage, the project can limit its efforts on two villages in each commune which will be further facilitated in participatory forest resource Commune Extensionist assessment as detailed later. The exercise is expected to take around half a day per forest block and additional time if essential basics about ACO silviculture are introduced during practical exercises e.g. selection of target trees or undesired trees for thinning. For an average village with around five forest blocks this should be feasible within around five days including some field practice. The exercise is limited to production forest only, as the management of protection forest is sufficiently covered by the FPDRs. The main outcomes are a clear management goal for each forest area illustrated in form of a poster (example given in Annex 12) and forest patches of the same management goal grouped to forest blocks and further delineated on a village land-use map. Detailed step by step guidance including visual training aids is available from SFDP at the websites of Mekong info in PDF print format (see Annex 7). Logistical guidance for the pilot implementation is given in Annex 9. Expected outcome of the management goal exercise: o Based on the production potential of existing forest resources forest users have identified their desired long-term production aim for each forest block o Forest users have a basic idea about the silvicultural system to be applied to reach the desired production aim o A management goal poster has been developed for each forest block 27

33 Participatory Forest Resource Assessment Responsible: A participatory forest resource assessment (PFRA) is only required for areas where existing production forest has been handed over to local CFMB people and silvicultural interventions like thinning or harvesting can be ACO carried out within the next 5 years. Consequently, no inventory is required FPU for forest land of the type Ia, Ib and Ic according to the forest land classification. The project should limit the implementation to one or two pilot villages first and complete the entire planning process up to the five-year and annual forest management plans for these. This realistic rate of progress would give time for careful implementation of the planning methodologies during the phase of testing, and would ensure that good examples of community managed forest would be developed to stimulate a demand in the approach from other villages. In order to apply the PFRA methodology, adequate ideal models for the respective forest types have to be developed prior to the implementation of training. The aim is to develop ideal models or standards of a forest structure under sustainable management which can be compared against the real forest structure in order to reveal quantifiable options and/or constraints for future forest management. In case different long-term forest management goals have been identified by the forest users e.g. high forest for construction timber and coppice with standards for firewood and timber production, distinct models have to be developed accordingly. Due to the absence of reliable data on forest growth and forest structure in the region different sources from in- and outside Vietnam have to be used. Data collection includes measurement of annual growth rings from available stumps in the forest and the use of local knowledge of ethnic groups on growth potential of forest trees or forest history or age of specific forest patches. For example in Cham village, Ea Sol commune farmers clearly remember the age of forest patches on abundant shifting cultivation areas. Undisturbed forest patches under customary protection rules can further provide a valuable insight about the growth potential of primary forest in the area. Moreover, interviews of local forest user groups regarding their demand of forest products are necessary to calibrate the model in order to address local needs. For the area of Son La and Lai Chau suitable models have been developed and at present models are further developed in Thanh Hoa and Gia Lai province, supported by the ADB forest sector project for the context of the Central Highland region of Vietnam. Therefore, the project can draw on these experience, and it is recommended to further involve the Tay Nguyen University in calibrating these models for the specific forest types in Dak Lak province. Detailed guidance on the PFRA methodology as developed by SFDP is given in the training manual Community Forest Management Planning which further details the development of CFMPs. Standards for ideal forest structures as developed for the watershed Song Da area are available for reference in the technical guideline Silviculture Guidelines for CFM in the Song Da watershed (see Annex 7). Detailed guidance for the implementation is given in Annex 9. 28

34 Expected outcomes of the PFRA: o Based on the preliminary forest survey standards for the local forest types under a specific management are developed o Status quo of forest resources has been assessed in terms of quality and quantity for each forest block o Forest users are informed about their forest production potential Forest development and utilization planning base Responsible: Based on the PFRA results the selected villages are supported in the development of their CFMPs. If sufficient labor and time is available CFMPs CFMB for the remaining villages should be developed even though for some areas FE no inventory has been carried out yet. Very conservative estimations for offtake levels can minimize the risk of unsustainable forest use for the time DPC being, and for activities like afforestation no inventory is needed anyway. ACO The implementation should be carried out prior to the elaboration of the FPU VDP and CDP to ensure that the identified forestry activities can be incorporated into CDP activities and will be considered during the budget planning of the district. This is of major importance for activities which require external financial support and material supply like afforestation. Main lead in the process is given to ACO having the legal mandate for planning in natural resource management as stipulated by law. Forest Protection could be consulted for any issues related to forest law. The planning is conducted during village meetings and draws on information from the long-term forest management goal and data collected during the PFRA. For each forest block a separate management plan has to be developed and documented. When assuming an average of five forest blocks per village the planning process should take around one week excluding the approval process at district level. Logistical guidance is given in Annex 9. Detailed step by step guidance on the development of CFMPs is given in the training material Community Forest Management Planning as developed by SFDP available at Mekong info (see Annex 7) including standard formats for the five-year and annual plan. A proposed form for approval of the five-year plan is provided in Annex 13. Expected outcomes of the CFMP development: o Forest users have developed CFMPs for each forest block based on the defined long-term management goal and on data from the PFRA o Five-year plans are approved and annual work plans developed accordingly Project support during Implementation In order to provide sufficient incentives for villagers in CBFM sources for immediate benefits have to be explored in particular, including utilization and marketing of NTFPs and development of agroforestry models. As stipulated in the technical guideline for FLA these models could be developed on 20% of the total area of allocated barren forest land. 29

35 5.2 M&E framework for pilot implementation As tasks and responsibilities within the CBFM concept are shared at different administrative levels the project should consider distinct monitoring techniques for each level involved. At village level participatory monitoring is recommended in order to reduce workload for the involved commune staff and to receive unbiased feedback directly from the target group about their point of view of the progress achieved. This data can provide valuable feedback about level of involvement and understanding of stakeholders and will strengthen their sense of ownership over the program. The steps required for this include the set up of a monitoring group with clear responsibilities of what each person and in which way each person wants to contribute. Monitoring should be based on indicators defined by listing main activities and define the kind of information that would help stakeholders to know, on an ongoing basis, if activities are progressing as planned. Main monitoring tool to be utilized is the annual work plan and its achievement towards the long-term five-year plan. After determining what will be measured it has to be decided how these items will be measured. Stakeholders should be encouraged to select local measurement units they prefer. Stakeholders have to be supported during these steps by good field staff follow-up during frequent extension visits. Especially FPDRs have to be followed-up by effective monitoring to increase villagers awareness. This can be facilitated by frequently reflecting on the ongoing implementation during village meetings and regular evaluation events to be conducted on an quarterly or annual basis. The FPSD of Lai Chau province recently developed an M&E system which combines internal and external monitoring based on standardized questionnaires. During this M&E process the following points assessed: (i) the development process e.g.: Were stakeholders able to incorporate their opinions into the regulations? who supported the village meetings?, (ii) present knowledge on FPDRs e.g. :Can villagers repeat main points of the regulations? Do they know to whom to report cases of forest violation?, and (iii) the implementation standard e.g.: How are the regulations disseminated? Have the number of violation cases increased, decreased? At the commune and district level approval and reporting procedures are main subject to monitoring. This includes procedures for fining forest violators according to the FPDRs, tax and benefit sharing arrangements and the execution of activities defined in the annual work plan. A further focus would be the evaluation of training measures and the assessment of further training needs as requested by the villagers. 30

36 At the third level provincial agencies and the project will conduct joint monitoring and evaluation. The monitoring is carried out on a random basis at all involved levels and will lead to adjustments of the CBFM schemes in terms of technical, administrative and financial procedures. The evaluation has to appraise the below listed processes: Practicability and transparency of technical, financial and administrative reporting procedures Practicability and validity of community-based controlling/supervision and sanction systems Explore further supporting systems and their economic feasibility to be applied in the specific commune (national programs, international donors, NGOs). Expected outcomes of the M&E process: o Monitoring groups are established and are supported by field staff o Commune and district level effectively monitor approval and reporting procedures o Monitoring results are regularly channeled to the project for effective evaluation 6 PROPOSED TRAINING MEASURES FOR THE PILOT IMPLEMENTATION A detailed assessment of institution building and training requirements has been recently carried out for the project by an international consultant 14. According to the report the envisioned training program consists of two main phases: In the first phase existing training methodologies and experiences from inand outside the province are tested and amendments made if considered necessary to adjust to the local context. The final product are training approaches and training packages for different administrative levels for further dissemination. The second phase tackles the institutionalization and development of a qualified trainer pool in view of sustainability of the approach after project completion. In view of the scope of this report only the first phase will be briefly discussed as this directly relates to the piloting of the CBFM concept. Training measures should directly focus on real implementation rather than investing in Training of Trainers (ToT) courses. A detailed ToT concept should only be developed after an agreement on the methodology has been reached and a request for further replication of the CBFM pilot is expressed by the province. 14 Dr. Elke Förster (May 2003): Report on the results of training needs and institutional analysis 31

37 During the piloting phase training has to be conducted with direct involvement of the respective agencies and coached by experienced trainers from other training institutions or projects in Vietnam. It is strongly recommended to develop a close cooperation among the RDDL and ETSP to draw on existing capacities and experiences and to test the approach under different socio-economic and socio-ecological site conditions of the two project sites. Existing training materials form the region (see Annex 7) should be utilized and further adjusted to the local context rather then to invest into new methodology development. 32

38 ANNEXES

39 ANNEX 1 TERMS OF REFERENCE

40 ANNEX 1 TERMS OF REFERENCE for an international short-term expert on Development of a CBFM-Concept for Dak Lak Province The project on Rural Development Dak Lak (RDDL), which is implemented by the Department of Planning and Investment with assistance of the German Agency for Technical Cooperation (GTZ), envisages poverty alleviation and improved livelihood of the rural population through development and/or adjustment of participatory planning procedures, which enable community and social organisations as well as government institutions to identify and thereafter support sustainable natural resource management systems. Participatory approaches to village and community development planning (VDP), to forest management and land use planning (FMP / LUP) and to land allocation (LA) as well as the direct involvement of land users in identification, testing, and dissemination of sustainable resource management practices will be key processes to be tested exemplarily in the project areas and their replication where successful to be supported. As project areas two communes have been targeted in each of two districts in the Province. The project strategy relies mainly on: Capacity development through training measures at all levels of planning and decision making Support to organisational development and service delivery at district and community level Strategic allocation of local grants (confidence building measures) supporting sustainable natural resource management and community development. With regard to result 3 of the project plan of operation, the project will assist the forest management planning at District, Commune and hamlet (village) level. In this context, conceptual development and support to introduction of community based forest management at all involved levels have been identified as the main focus for project intervention. In a first step, RDDL intends to support the on-going development of a concept for introduction and implementation of CBFM. This concept will be tested in terms of a pilot scheme in the project areas in a second step in order to identify and integrate required adjustments. The revised CBFM concept will finally be discussed at Province level and submitted to PPC for approval in a third step. Based on preparatory assessments financed by GTZ and ADB, the final CBFM-concept will outline the required steps for actual introduction of CBFM in the Province, the organisational and technical procedures related to an effective and sustainable management of allocated forest resources, as well as the required administrational procedures which enable effective implementation and monitoring of the concept. RDDL therefore intends to engage an international expert in CBFM for 1 PM who will facilitate condensation of existing approaches into an overall concept in close cooperation with project staff and experts from the Provincial Working Group for Forest Land Allocation & Joint Forest Management. The following results are expected: 1. Based on the concept for introduction of CBFM proposed by the National Working Group on Forest Management, the approaches to CBFM which have been developed at Provincial level are reviewed. In this context the approaches which have been developed and tested by Provincial agencies and other projects in Dak Lak Province (SFSP/ETSP, SMRP) and in the Central Highland Region are considered in particular. Annex 1-1

41 2. The socio-economic situation in the rural areas of the Province and in particular in the project areas is reflected. Particular attention is hereby given to access of target groups to resources, such as forest land and inputs, to social and cultural requirements of ethnic minorities with regard to appropriate forest management strategies and to integration of women into the processes of planning, decision making, implementation and monitoring. 3. Potential approaches and experiences to sustainable CBFM are discussed with relevant experts within the Province with regard to technical, legal, administrational, social and cultural feasibility. 4. On this basis, a concept is developed which explicitly includes: a brief overview of the natural, socioeconomic and socio-cultural situation in the Province and in the project areas in particular related to forest management a description of required administrational procedures which enable effective implementation and monitoring of the concept a description of organisational and technical procedures required at all levels to ensure an effective and sustainable management of allocated forest resources an outline of required steps for actual introduction of CBFM in the Province a proposal for pilot-implementation of the CBFM-concept in the project areas a M&E framework for the pilot-implementation The assignment should be carried out within 1 PM including travel to and from the project location: 4 days for travel, development and discussion of a work schedule 4 days for review of existing conceptual CBFM approaches 2 days for general overview over natural, socio-economic and socio-cultural conditions in the Province 7 days for visit to the project areas of RDDL and ETSP (Dak R'Lap) 4 days for discussion with resource persons at Provincial level 6 days for preparation of a 1 st draft concept 3 days for integration of comments and preparation of final draft The proposed period for this assignment is The 1 st draft report will have to be submitted by The final draft will be submitted latest one week after receipt of comment from RDDL. Annex 1-2

42 ANNEX 2 MISSION ITINERARY

43 ANNEX 2: MISSION ITINERARY Period: 06/10/ /11/2003 D A Y A N D D A T E LOCATION AND TASK Mon, October 06 Travel to Dak Lak Preparation and discussion of activity schedule Tue, October 07 Briefing with Project Director Mr. Son and CTA Dr. Daniel Wahby; Document review; meeting with Extension Center; Vocational school for ethnic minorities Wed, October 08 Meeting with Forest Development Sub-Department Thu, October 09 Travel to Lak district; meeting at Jol village, Dak Nue commune; meeting with chairman of CPC Dak Phoi; meeting at Du Mah village; State Forest Enterprise Lak district Fri, October 10 Travel to Ea Hleo district; meeting at Ta Li village; meeting at State Forest Enterprise Ea Hleo district Sat, October 11 Document review, report writing Sun, October 12 Document review, report writing Mon, October 13 Meeting at ETSP project office; preparation for meeting Tue, October 14 Meeting with provincial working group on forest land allocation and joint forest management Wed, October 15 Meeting with project staff Thu, October 16 Travel to Dak Rlap district; meeting at Forest Protection Unit; meeting at State Forest Enterprise Quang Tan; travel to Dak Rtih commune Fri, October 17 Travel to Village 6, Dak Rtih commune; Meeting at Dak Rtih Commune People Committee Travel back to Buon Ma Thuot city Sat, October 18 Document review, report writing Sun, October 19 Document review, report writing Mon, October 20 Office work, preparation for field trip Tue, October 21 Travel to Ea Hleo district; meeting at Cham village; meeting at Kari village; meeting with Women Union of Ea Sol commune; meeting at Agriculture and cadastral Office Ea Hleo district; Travel back to Buon Ma Thuot city Wed, October 22 Office work, preparation for meeting Thu, October 23 Meeting with Dr. Daniel Wahby Chief Technical Advisor RDDL, Mr. Maurice Gallen Technical Advisor RDDL and TA Mr. Ruedi Felber Technical Advisor ETSP Fri, October 24 Meeting with Mr. Ruedi Felber Technical Advisor ETSP Annex 2-1

44 Sat, October 25 Document review, report writing Sun, October 26 Document review, report writing Mon, October 27 Preparation for provincial approval workshop Tue, October 28 Preparation for provincial approval workshop Wed, October 29 Meeting with Dr. Bao Huy, Mr. Nguyen Van Le and ETSP and RDDL staff Thu, October 30 Preparation for provincial approval workshop Fri, October 31 De-briefing Project Director Mr. Son, CTA Dr. Daniel Wahby, Project Forest Advisor Mr. Maurice Gallen and RDDL staff. Sat, November 01 Report writing Sun, November 02 Report writing Mon, November 03 Report writing Tue, November 04 Travel to Hanoi Annex 2-2

45 ANNEX 3 LIST OF PERSONS MET

46 ANNEX 3: LIST OF PERSONS MET Mr. Nguyen Thanh Son Deputy Director of DPI - Director of RDDL Dr. Daniel Wahby Chief Technical Advisor RDDL Mr. Maurice Gallen Technical Advisor Natural Resource Management RDDL Mr. Rüdi Felber Technical Advisor ETSP M. Hoang Cong Thang Project Coordinator RDDL Mr. Dang Thanh Liem National foresty expert RDDL Assoc. Prof. Dr. Bao Huy Tay Nguyen University Faculty of Agriculture & Forestry Mr. Phan Van Ngau Vice Director of Dak Lak Agricultural Extension Centre and Breed Plant Animal Mr. Ngo Viet Chau Officer Dak Lak Agricultural Extension Centre and Breed Plant Animal Mr. Pham Ngoc Chau Headmaster of Vocation Training School for Ethnic Minority (VTSEM) Mr. Y Khoan E Ban Trainer of mobil training section Vocational Training school for ethnic Minorities Mr. Nguyen Van Hung Forestry Trainer Vocational Training school for ethnic Minorities Ms. Quynh Anh Forestry Trainer Vocational Training school for ethnic Minorities Mr. Nguyen Van Xuan Director of Forest Development Sub-Department Dak Lak Mr. Y Thuot Phok Village headman Jol village Mr. Y Bach Inhabitant of Jol village; employee of the State Forest Enterprise Lak district Mr. Nguyen Van Tuan Chairman commune People Committee Dak Phoi Mr. Y Krong Triet Village headman Du Mah village Mr. Tran Quang Toan Director Sate Forest Enterprise Lak district Mr. Hoang Kim Head of technical section Sate Forest Enterprise Lak district Mr.Nay Ky Vice-headman Ta Li village Mr. Ksor Hal Inhabitant of Jol village Mr. Nguyen Hiu Hoa Vice-director State Forest Enterprise Ea Hleo Mr. Tran Huu Nghi Helvetas; Previous Field coordinator, GTZ/SMRP; member of Consultative Working Group for forest land allocation Mr. Y Ghi Nie Kdam Vice Director Department of Science and Technology Dak Lak province Mr. Tran Dinh Van Officer Forest Protection Sub-Department Mr. Nguyen Van Le Officer Forest Development Sub-Department Mr. Le Duc Quang Chairman District People Committee Ea H Leo Mr. Doan Van Thanh Officer Krong Bong State Forest Enterprise Krong Bong Mr. Ha Van Lien Vice Director State Forest Enterprice Krong Bong Annex 3-1

47 Mr. Nguyen Van Doan Mr. Le Thanh Ngan Mr. Dung Ngoc Quang Mr. Dieu Khuon Mr. Nguyen Van Tho Mr. Nay Noen Mr. Nay Hoe Mrs. Nguyen Thi Thuan Mr. Ksor Yan Mrs. Nay Hpek Mr. Nguyen Van Nhat Mr. Mai Phuong Freelance expert previous working for SMRP Head of Forest Protection unit Dak Rlap district Director State Forest Enterprise Quang Tan Forest owner village 6, Dak Rtih commune Chairman of commune people council Dak Rtih commune Policeman Communist Party Secretary Vice-head Women Union Ea Sol commune Vice headman of Kari village Head of Women Union Kari village Forestry staff Agriculture and Cadastral office Ea Hleo district Vice-head Agriculture and Cadastral office Ea Hleo district Annex 3-2

48 ANNEX 4 REFERENCE DATA ON FOREST LAND USE IN THE PROJECT REGION

49 ANNEX 4: REFERNCE DATA ON FOREST LAND USE IN THE PROJECT REGION Table 1: Area of protection and production forest in the province and in each of the two pilot districts. and visited communes Location Protection forest Production forest Province Lak Dak Nue Bong Krang Dak Phoi Ea Hleo Ea Son Ea Hiao Table 2: Area of forest land allocated to local people and future plans for allocation in two districts of the pilot communes Area Implemented Planned Province Lak Ea Hleo Table 3a: Present forest land use in Dak Nue commune Land use type Hhs. SFE CPC Special-use management board Without owner Total Agriculture land Existing forest Natural forest Plantation Production Special-use Production -- Special-use Other land Settlement Fallow land Annex 4-1

50 Table 3b: Present forest land use in Ea Son commune Land use type Hhs. SFE + others CPC Special-use management board Without owner Total Agriculture land Existing forest Natural forest Production Protection Plantation Production Special-use Other land Settlement Fallow land Table 4a: Allocated forest area and types in Dak Nue commune Villages with FLA Area Forest type IIIa. IIb. IIa Ia. Ib. Ic Bamboo Hhs. Ethnic group KDie Minority KDie Minority Jon Minority Yen Thanh Kinh Yen Thanh Table 4b: Allocated forest area and types in Ea Son commune Forest type Villages with FLA Area Hhs. Ethnic group IIIa. IIb. IIa Ia. Ib. Ic Cham Gia Rai Ta Li Gia Rai Diet Gia Rai Kari Gia Rai +10 Kinh hhs Annex 4-2

51 ANNEX 5 NATIONAL WORKING GROUP FOR COMMUNITY FORESTRY MANAGEMENT - MATRIX ON ESTABLISHMENT OF CFM PILOT SCHEMES IN

52 Annex 5: National Working Group for Community Forestry Management Matrix on Establishment of CFM Pilot Schemes in Procedural Steps in Establishment of CFM Pilot Schemes Supporting Action for Completion of Guidelines and Procedures Involved Parties No. Task No. Task Location Timing Leading Supporting 0 Formalized CFM Application by Communes 1. Preparation of an example of a CFM permit Hanoi 6/2003 MARD DFD SFDP Song Da - Name of commune, participating villages, forest land area request (Ms. Van) ADB FSP - People, institutions that were involved in formulating the 2. Agreement with involved province and district Son La, Hoa Binh, Gia Lai, 7/2003 MARD NWG CFM SFDP Song Da application PPCs on CFM pilot schemes Dak Lak, Thanh Hoa DARDs province level KfW 3 - Minutes of Meeting of respective meetings in participating village(s) ADB FSP ETSP Helvetas - Request to grant CFM permit and provide the necessary RDDL Dak Lak supporting systems 3. Presentations to MARD senior level and FSSP; Hanoi mobilization of additional funds to NWG CFM III-IV/ 2003 MARD NWG CFM MARD Management SFDP Song Da ADB FSP for CFM pilot schemes, if necessary Board for Forestry Projects 1 Clarification of forest land allocation 1. Review and simplification of forest Hanoi 6/2003 MARD DFD SFDP Song Da a Overview over forest land (ha) and ownership categories classification criteria and guidelines for (based on existing materials KfW 3 - Unallocated forest land to be allocated to CFM system - Forest land already allocated to households to be included in production and protection forests in view of integrated silviculture systems in CFM from SFDP Song Da, KfW and ADB FSP) ADB FSP ETSP Helvetas CFM system - Forest land allocated to organisations to be included in CFM 2. Clarification of legal aspects of forest land Hanoi 6/2003 MARD Policy SFDP Song Da system allocation to village communities (Mr. Phuong) ADB FSP b Clarification of arrangements with households/organisations that agree to include their forest land in the CFM system c Preparation of proposal for forest land allocation to villages communities/group of households that will participate in the CFM system 2 Inventory of forest resources including classification of 1. Preparation of draft guidelines for Hanoi 7/2003 MARD DFD SFDP Song Da forest land (protection, production, special use) Participatory Forest Resource Inventory (Dr. Quan) ADB FSP 2. Test of inventory guidelines in selected CFM pilot schemes Son La, Hoa Binh, Gia Lai, Dak Lak, Thanh Hoa 8-10/ 2003 MARD NWG CFM SFDP Song Da ADB FSP Helvetas ETSP 3. Review of field tests and preparation of final Hanoi 11/2003 NWG CFM core group VIFA guidelines 3 Preparation of forest development and utilization planning 1. Preparation of draft guidelines for Hanoi 7/2003 MARD DFD SFDP Song Da base Participatory Forest Management Planning (Ms.Van) KfW 3 a Long term forest development and utilization vision (50 years) 2. Preparation of draft harvesting regulations for Hanoi 9/2003 MARD DFD ADB FSP b Five-year forest management and investment plan main forest types as guideline for province c Yearly Working and Harvesting Plan governments to issue respective regulations d Economic feasibility e Benefit sharing arrangements 3. Preparation of draft guidelines for benefit sharing Hanoi 9/2003 MARD Policy (Mr. Phuong) 4. Test of planning, harvesting and benefit Son La, Hoa Binh, Gia Lai, 10/2003 -MARD NWG CFM SFDP Song Da sharing guidelines in selected CFM pilot Dak Lak, Thanh Hoa 9/2004 ADB FSP 5. Review of field tests and preparation of final guidelines Hanoi 10-11/ 2004 NWG CFM core group Helvetas ETSP RDDL Dak Lak Annex 5-1

53 Annex 5: National Working Group for Community Forestry Management Matrix on Establishment of CFM Pilot Schemes in Procedural Steps in Establishment of CFM Pilot Schemes Supporting Action for Completion of Guidelines and Procedures Involved Parties No. Task No. Task Location Timing Leading Supporting 4 Establishment of community-based controlling and 1. Preparation of draft guidelines for financial Hanoi 9/2003 MARD PD (Mr.Phuong)SFDP Song Da reporting systems management and reporting at village/commune MoF?? ADB FSP level 2. Test of accounting and financial reporting Son La, Hoa Binh, Gia Lai, 10/2003- SFDP Song Da guidelines in selected CFM pilot schemes Dak Lak, Thanh Hoa 9/2004 ADB FSP 3. Review of field tests and preparation of final Hanoi 10-11/ NWG CFM core group Helvetas ETSP guidelines 2004 RDDL Dak Lak 5 Implementation of training / coaching measures 1. Preparation of training and extension materials Hanoi, based on pilot 7-11/ NWG CFM core group SFDP Song Da a Inventory methods and approaches for CFM development schemes in Son La, Hoa 2004 KfW 3 b Forest development and management planning 2. Development of curricula for training of Binh, Gia Lai, Dak Lak, Adjust to ADB FSP trainers Thanh Hoa workplan Helvetas ETSP Helvetas RDDL Dak Lak c Economic feasibility and benefit sharing arrangements 3. Determination of contents and costs for 10-11/ d Harvesting and Processing standard training courses eligible for financing 2004 e Community organizations development out of government programmes 6 Implementation of yearly work and harvesting plans 1. Ongoing guidance and support of CFM pilot Hanoi, based on pilot 10/2003 NWG CFM core group SFDP Song Da a Reforestation/Afforestation schemes in selected locations, regular schemes in Son La, Hoa onwards ADB FSP b Tending exchange of information among pilot schemes Binh, Gia Lai, Dak Lak, Helvetas ETSP c Harvesting via NWG CFM Thanh Hoa RDDL Dak Lak 7 Evaluation of performance during establishment phase 1. Preparation of draft guidelines for inspection Hanoi 03/2004 MARD DFD + PD SFDP Song Da and evaluation of CFM schemes by District NWG CFM core group ADB FSP 2. Test of inspection and evaluation guidelines in Son La, Hoa Binh, Gia Lai, 07-09/ Helvetas ETSP selected CFM pilot schemes Dak Lak, Thanh Hoa 2004 RDDL Dak Lak 3. Review of field tests and preparation of final Hanoi 10-11/ NWG CFM core group guidelines 2004 Annex 5-2

54 Nhãm Qu n lý l m nghiöp céng ång quèc gia Matrix vò lëp kõ ho¹ch thý ióm QLLNC n m Thñ tôc c c b íc trong x y dùng kõ ho¹ch thý ióm vò QLLNC Ho¹t éng hç trî cho viöc hoµn thiön c c h íng dén vµ c c thñ tôc. C c n vþ liªn quan No. NhiÖm vô No. NhiÖm vô Þa ióm Thêi gian Chñ tr Hç trî 0 ChÝnh thøc ho néi dung Ò xuêt QLLNC cña c c x. 1. ChuÈn bþ mét méu Ò xuêt kõ ho¹ch QLLNC Hµ néi 6/2003 Côc ph t trión L m nghiöp - MARD (Bµ - Tªn x, th«n tham gia, tæng diön tých Êt LN V n) - Ng êi vµ c c n vþ tham gia vµo x y dùng Ò xuêt kõ ho¹ch. 2. Thèng nhêt víi UBND c c tønh vµ huyön tham gia thùc hiön thý ióm kõ ho¹ch QLLNC S n La, Hßa B nh, Gia Lai, 7/2003 Nhãm quèc gia vò l m nghiöp céng ång, RDDL D k Lak SFDP Song Da KfW 3 - C c biªn b n häp cña c c th«n tham gia k L k, Thanh MARD vµ Së NN&PTNT ADB FSP - Ò nghþ tµi trî kinh phý cho QLRC vµ cung cêp hö thèng hç trî cçn thiõt Hãa c c tønh. ETSP Helvetas RDDL Dak Lak 3. B o c o víi Bé NN&PTNT vµ Dù n hç trî Hµ Néi III-IV/ 2003 Nhãm LNC quèc SFDP Song Da ADB FSP ngµnh (FSSP); Huy éng thªm ng n s ch cho NWG CFM hç trî kõ ho¹ch thý ióm QLLNC, nõu cçn thiõt. Ban qu n lý c c dù n LN, MARD. SFDP S«ng µ, Dù n KVLN ADB (ADB FSP) Dù n ETSP Helvetas Dù n 1 Lµm râ viöc giao Êt l m nghiöp 1. nh gi vµ n gi n ho c c h íng dén vµ c c Hµ Néi 6/2003 Côc PTLN, MARD SFDP Song Da a T nh h nh Êt l m nghiöp vµ së h u Êt chø tiªu ph n lo¹i rõng èi víi rõng s n xuêt vµ (Dùa vµo c c tµi KfW 3 - Êt LN ch a giao sï îc a vµo QLRC - Êt LN giao cho hé gia nh sï îc a vµo hö thèng QLRC rõng phßng hé trªn c së xem xðt hö th«ng l m sinh cña QLRC. liöu hiön cã cña SFDP S«ng µ, ADB FSP ETSP Helvetas Dù n KfW vµ ADB FSP) - Êt LN giao cho tæ chøc sï îc a vµo hö thèng QLRC 2. Lµm râ c c khýa c¹nh vò ph p lý liªn quan Õn Hµ Néi 6/2003 Vô chýnh s ch, MARD SFDP Song Da giao Êt l m nghiöp cho c c céng ång th«n/ b n (. Ph ng) ADB FSP b Lµm râ c c tho thuën víi hé gia nh/tæ chøc îc giao Êt LN vµ thèng nhêt a nh ng diön tých Êt nµy vµo hö thèng QLLNC. c X y dùng ph ng n giao Êt LN cho céng ång th«n/nhãm hé sï tham gia vµo hö thèng QLRC. 2 iòu tra tµi nguyªn rõng bao gåm c ph n lo¹i Êt rõng (phßng 1. ChuÈn bþ h íng dén dù th o vò iòu tra tµi Hµ Néi 7/2003 Côc PTLN, MARD SFDP Song Da nguyªn rõng cã sù tham gia. (TS. Qu n) ADB FSP ETSP Helvetas 2. Thö nghiöm h íng dén iòu tra tµi nguyªn rõng ë S n La, Hßa 8-10/ 2003 Nhãm LNC quèc gia, SFDP Song Da c c kõ ho¹ch thö nghiöm QLLNC îc lùa chän. B nh, Gia Lai, k L k, Thanh MARD ADB FSP ETSP Helvetas Hãa 3. nh gi c c thö nghiöm t¹i hiön tr êng vµ chuèn bþ c c h íng dén cuèi cïng. Hµ Néi 11/2003 Nhãm chñ chèt cña Nhãm LNC quèc gia. VIFA Annex 5-3

55 Nhãm Qu n lý l m nghiöp céng ång quèc gia Matrix vò lëp kõ ho¹ch thý ióm QLLNC n m Thñ tôc c c b íc trong x y dùng kõ ho¹ch thý ióm vò QLLNC Ho¹t éng hç trî cho viöc hoµn thiön c c h íng dén vµ c c thñ tôc. C c n vþ liªn quan No. NhiÖm vô No. NhiÖm vô Þa ióm Thêi gian Chñ tr Hç trî 3 1. ChuÈn bþ c c h íng dén dù th o cho X y dùng Hµ Néi 7/2003 Côc PTLN, MARD. SFDP Song Da ChuÈn bþ c së cho viöc x y dùng kõ ho¹ch sö dông vµ ph t kõ ho¹ch qu n lý rõng cã sù tham gia. (Bµ V n) KfW 3 trión rõng a ViÔn c nh sö dông vµ ph t trión rõng (50 n m) 2. ChuÈn bþ quy Þnh dù th o vò Khai th c cho c c Hµ Néi 9/2003 Côc PTLN, MARD ADB FSP b KÕ ho¹ch qu n lý rõng vµ Çu t 5 n m lo¹i rõng chýnh, Quy Þnh nµy îc xem nh mét (TS.Qu n) c KÕ ho¹ch ho¹t éng vµ khai th c hµng n m h íng dén Ó chýnh quyòn cêp tønh ra c c quy d TÝnh kh thi vò kinh tõ Þnh vò khai th c cña tønh. e X¾p xõp chia sî lîi nhuën 3. ChuÈn bþ H íng dén (dù th o) cho chia sî lîi nhuën. Hµ Néi 9/2003 Vô chýnh s ch, MARD (.Ph ng) 4. Thö nghiöm c c h íng dén x y dùng kõ, khai S n La, Hßa 10/ Nhãm LNC quèc gia, SFDP Song Da th c vµ chia sî lîi nhuën ë c c kõ ho¹ch thý ióm B nh, Gia Lai, MARD ADB FSP vò QLLNC îc lùa chän. k L k, Thanh Hãa 9/ nh gi c c thö nghiöm t¹i thùc vµ chuèn bþ c c Hµ Néi 10-11/ 2004 Nhãm chñ chèt cña Helvetas ETSP h íng dén cuèi cïng. Nhãm LNC quèc gia. RDDL Dak Lak 4 ThiÕt lëp hö thèng b o c o vµ kióm so t dùa vµo céng ång 1. ChuÈn bþ c c h íng dén dù th o cho Qu n lý tµi chýnh vµ B o c o ë cêp th«n/ x. Hµ Néi 9/2003 Vô chýnh s ch, MARD (.Ph ng) Bé Tµi chýnh?? SFDP Song Da ADB FSP 2. Thö nghiöm c c h íng dén vò B o c o kõ to n vµ S n La, Hßa 10/2003- SFDP Song Da tµi chýnh ë c c kõ ho¹ch thý ióm vò QLLNC îc lùa chän. B nh, Gia Lai, k L k, Thanh 9/2004 ADB FSP ETSP Helvetas 3. Hãa nh gi c c thö nghiöm thùc Þa vµ chuèn bþ c c Hµ Néi 10-11/ 2004 Nhãm chñ chèt cña RDDL Dak Lak h íng dén cuèi cïng. Nhãm LNC quèc gia. 5 Thùc thi c c ho¹t éng µo t¹o/ hç trî kìm cæp 1. ChuÈn bþ c c tµi liöu khuyõn n«ng vµ µo t¹o vµ Hµ Néi, dùa vµo 7-11/ 2004 Nhãm chñ chèt cña SFDP Song Da a Ph ng ph p iòu tra ph ng ph p tiõn hµnh cho viöc ph t trión QLLNC c c kõ ho¹ch thý ióm ë S n La, Nhãm LNC quèc gia. KfW 3 ADB FSP Hßa B nh, Gia b LËp kõ ho¹ch qu n lý vµ ph t trión rõng 2. Ph t trión ch ng tr nh gi ng d¹y cho µo t¹o Lai, k L k, / chønh theo Helvetas ETSP gi o viªn Thanh Hãa kõ ho¹ch cña RDDL Dak Lak Helvetas c TÝnh kh thi vò kinh tõ vµ nh ng x¾p xõp chia sî lîi nhuën 3. X c Þnh néi dung vµ Chi phý cho c c kho µo 10-11/ 2004 t¹o tiªu chuèn, hîp lö Ó c c ch ng tr nh cña ChÝnh phñ cêp vèn. d Khai th c vµ chõ biõn e Ph t trión tæ chøc céng ång Annex 5-4

56 Nhãm Qu n lý l m nghiöp céng ång quèc gia Matrix vò lëp kõ ho¹ch thý ióm QLLNC n m Thñ tôc c c b íc trong x y dùng kõ ho¹ch thý ióm vò QLLNC Ho¹t éng hç trî cho viöc hoµn thiön c c h íng dén vµ c c thñ tôc. C c n vþ liªn quan No. NhiÖm vô No. NhiÖm vô Þa ióm Thêi gian Chñ tr Hç trî 6 Thùc thi kõ ho¹ch ho¹t éng vµ kõ ho¹ch khai th c hµng n m 1. TiÕp tôc h íng dén vµ hç trî cho c c kõ ho¹ch Hµ Néi, (dùa Tõ 10/2003 Nhãm chñ chèt cña SFDP Song Da QLLNC thý ióm ë c c ióm îc lùa chän, vµo c c kõ Nhãm LNC quèc gia. ADB FSP th êng xuyªn cã sù trao æi th«ng tin gi a c c kõ ho¹ch thý ióm a Trång rõng/t i t¹o rõng ho¹ch thý ióm th«ng qua Nhãm quèc gia vò ë S n La, Hßa Helvetas ETSP b Ch m sãc LNC. B nh, Gia Lai, RDDL Dak Lak c Khai th c k L k, Thanh Hãa) 7 nh gi kõt qu cña giai o¹n thiõt lëp 1. ChuÈn bþ h íng dén dù th o cho viöc kióm tra vµ Hµ Néi nh gi cña chýnh quyòn huyön èi víi c c kõ 03/2004 Côc PTLN, MARD + Vô chýnh s ch ho¹ch QLLNC. Nhãm chñ chèt cña Nhãm LNC quèc gia. 2 Thö nghiöm c c h íng dén kióm tra vµ nh gi S n La, Hßa 07-09/ 2004 ë c c kõ ho¹ch thý ióm vò QLLNC îc lùa B nh, Gia Lai, chän. k L k, Thanh 3. Hãa nh gi c c thö nghiöm thùc Þa vµ chuèn bþ c c Hµ Néi h íng dén cuèi cïng / 2004 Nhãm chñ chèt cña Nhãm LNC quèc gia. SFDP Song Da ADB FSP Helvetas ETSP RDDL Dak Lak Annex 5-5

57 ANNEX 6: FOREST STEWARDSHIP COUNCIL (FSC) PRINCIPLES

58 ANNEX 6: FOREST STEWARDSHIP COUNCIL (FSC) PRINCIPLES PRINCIPLE 1: Compliance with Laws and FSC Principles Forest management respects all applicable laws and legislation of the country relating to forest and forestry, and international treaties and agreements to which the country is a signatory, and complies with all FSC Principles and Criteria PRINCIPLE 2: Compliance with Forest Land Use Rights and Responsibilities Long-term use rights to the forest land and forest resources are clearly defined, documented, mapped and certified according to the present laws. PRINCIPLE 3: Indigenous People s Rights The legal forest and forestland use rights of indigenous peoples are recognized and respected. PRINCIPLE 4: Community Relations and Workers Rights Forest management operations well maintain or enhance the long-term social and economic well being of forest workers and local communities. PRINCIPLE 5: Management, Use and Promotion of Benefits from the Forest Forest management encourages the efficient use of the forest's multiple products and services to ensure economic viability and a wide range of environmental and social benefits. PRINCIPLE 6: Environmental Impact Forest management strives to conserve biological diversity and its associated values, water resources, soils, unique and fragile ecosystems and landscapes, maintain the ecological functions and the integrity of the forest. PRINCIPLE 7: Management Plan A management plan with long-term objectives of management and means of achieving them has been written, implemented, and kept up to date. PRINCIPLE 8: Monitoring and Assessment Monitoring and assessment is conducted appropriately to the scale and intensity of forest management to assess the condition of the forest, yields of forest products, chain of custody, management activities and their social and environmental impacts. PRINCIPLE 9: Maintenance of high conservation value forests Primary forests, well-developed secondary forests, secondary degraded forests capable of natural regeneration and sites of major environmental, social or cultural significance shall not be replaced by plantations or other land uses. PRINCIPLE 10: Environmental Management of Plantation Plantations shall be planned and managed in accordance with Principles and Criteria 1-9, and Principle 10 and its Criteria. While plantations can provide an array of social and economic benefits, and can contribute to satisfying the world's needs for forest products, they should complement the management of, reduce pressures on, and promote the restoration and conservation of natural forests. (Extracted from the draft - Vietnam Principles and Criteria for Sustainable Forest Management, drawn by the National FSC Working Group on Sustainable Forest Management and Forest Certification after the sixth workshop in January 2001) Annex 6-1

59 ANNEX 7: AVAILABLE CBFM-TRAINING DOCUMENTS AND TECHNICAL GUIDELINES

60 ANNEX 7 AVAILABLE CBFM-TRAINING DOCUMENTS AND TECHNICAL GUIDELINES Title Author Version Language Source/ Project Land use Planning and Land allocation methodology TOT-Manual Participatory village mapping using photomaps-trainer Guide Guideline on participatory land use planning and land allocation applied at commune level in Son La Province Technical guideline on Forest Land Allocation Dak Lak Forest Protection and Development Regulations-Trainer Guide Guideline Material for M&E of Forest Protection and Development Regulations at village level Decision No: 1495/QD-UB Guidelines on establishment of village forest protection and development regulations applied in Son La Community Forest Management Planning-Session Materials Participatory Resource Assessment- Reference Material Commune Forestry Extension Worker-Reference Material Commune Forestry Extension Worker-Monitoring Book Commune Forestry Extension Worker Reflection workshop-session Materials Commune Forestry Extension Worker Reflection workshop-handout Materials Nursery Trouble shooter- Extension Material Participatory elaboration of management goals for natural forests- Trainer Guide Participatory elaboration of management goals for natural forests- Flip Charts Christ, Tuan July 1999 V&E SFDP Müller, Wode May 2003 V&E SFDP Son La Provincial People Committee April 1999 V&E SFDP DARD Oct V DARD Miagostovich May 2000 V&E SFDP FPSD Lai Chau, SFDP Son La Provincial People Committee Nov V&E SFDP July 2000 V&E SFDP Branney May 2003 V&E SFDP Wode forthcoming V&E SFDP Wode July 2002 V&E SFDP Wode July 2002 V&E SFDP Triraganon July 2002 V&E SFDP Triraganon July 2002 V&E SFDP Wode April 2002 V&E SFDP Wode August 2001 V&E SFDP Wode August 2001 V&E SFDP Annex 7-1

61 Participatory elaboration of management goals for natural forests- Poster Books Silviculture Guidelines for CFM in the Song Da watershed-technical Guideline Forestry Extension - Nursery Leaflet No. 1 Forestry Extension - Tree planting Leaflet No. 2 Forestry Extension - Pruning Leaflet No. 3 Forestry Extension - Timber Harvesting Leaflet No. 4 Manual for Participatory Technology Development Manual on teaching methodology of the Social Forestry Support Programme Wode August 2001 V&E SFDP Branney, Wode May 2003 V&E SFDP Wode April 2002 V&E SFDP Wode April 2002 V&E SFDP Wode forthcoming V&E SFDP Wode May 2003 V&E SFDP Social Forestry Training Network 2003 V&E? Helvetas Vietnam SFSP July 2002 V&E? SFSP PTD Field Manual for Extensionists Helvetas 2002 V&E Helvetas Cao Bang Working paper - Technical guideline on FLA SNV 2003 V&E SNV ForHue Provincial guideline on FLA Forthcoming V SNV ForHue For SFDP training documents in PDF format please refer to Annex 7-2

62 ANNEX 8: FURTHER REFERENCES

63 ANNEX 8: FURTHER REFERENCES ADB (2003): Forest development for livelihood improvement in Tay Nguyen. Workshop on project introduction Brigitte Junker (1999): Traditional Natural Resource Management of the Jarai in Ea Sol Commune, Ea Hleo District, Dak Lak Province on behalf of the MRC_GTZ SMRP CF Working Group Gia Lai province in cooperation with ADB-Vietnam Forestry Sector Project (2003): Draft report - Scope and options for community forestry development in Gia Lai province DARD, Province Dak Lak (2003): Report on Existing Forest Management and Options for Community Based Forest Management in Dak Lak Dr. Elke Förster (2003): Report on the results of Training Needs and institutional analysis GFA Terra Systems (2002): Scope and Basic Features of Community Forest Management (CFM) in Vietnam Hung, Luu and Vorpahl, Markus (1997): Traditional Natural Resource Management Strategies of the Mnong in Lak District, Dak Lak Province, Report to GTZ, June National FSC Working Group on Sustainable Forest Management and Forest Certification (2001): Draft - Vietnam Principles and Criteria for Sustainable Forest Management, after the sixth workshop in January 2001 PPC and DARD, Province Dak Lak: Draft Forest Development Strategy Dak Lak province Dr. Regina Birner (2000): Forest Land Allocation to Households Experiences from the pilot project in Dak Lak province - Draft Report - Insights from the first experiences in Ea Sol and Dak Phoi communes. Institute of Rural Development University of Göttingen, Germany Consultant to the MRC-GTZ SMRP SNV (2003): Strengthening Forestry Management Capacity in Thua Thien Hue Province Tay Nguyen University, SFSP (2002): Plan for thinning natural forests under the management and use of the M nong compatriots household group 1, Village 6, Dak R tih commune, Dak R tih district, Dak Lak province. Tran Huu Nghi, Thomas Sikor, Dang Thanh Liem, Nguyen Van Doan, Vu Van Manh (2002): Devolution of forest management Six years of experience in Dak Lak. MRC- GTZ SMRP Annex 8-1

64 Tran Ngoc Thanh, Nguyen Quang Tan, Thomas Sikor (2003): Local Impact Assessment after Forest Land Allocation. MRC-GTZ SMRP Tran Ngoc Thanh, Nguyen Quang Tan, Thomas Sikor (2003): The local outcomes of Forest Land Allocation. MRC-GTZ SMRP Annex 8-2

65 ANNEX 9: ACTIVITY PLANS FOR PILOT IMPLEMENTATION

66 ANNEX 9: ACTIVITY PLANS FOR PILOT IMPLEMENTATION Step: Application for communes (# 0) Location: xxx district, xxx commune, all villages with forest land and/or allocated forest Starting date: xx/xx/2004 Steps Area Main outcome Participants Material Time input Costs External support 1 st Commune 1. Commune admin. and village CPC Information leaflets 1 day Stationary Representatives Commune heads are informed about Village heads Daily province level meeting tasks, responsibilities, benefits allowance for Project staff in CBFM participants 2. Minutes of meeting Village meeting Village w. forest land a/o FLA 3. Communities make informed decisions of whether to apply or reject 4. Minutes of meetings Village head Social organisations Villagers Info. leaflets Minutes of meetings 1 st com. meeting 1 day Stationary Daily allowance for participants Project staff 2 nd Commune meeting Commune 5. Presentation of village meeting results 6. Preparation of application form 7. Minutes of meeting CPC Village heads Minutes of village meetings Application form 1 day Stationary Daily allowance for participants Project staff 8. Submission to DPC District meeting Commune 9. Appraisal and approval of CBFM pilot permit 10. Preparation and signing of approval doc. DPC Minutes of all meetings Application form Approval form 1 day Daily allowance for participants ACO Project staff 3 rd Commune meeting Commune 11. Feedback of results from approval 12. Hand over of approval doc. CPC Village heads Approval document ½ day Daily allowance for participants ACO Project staff Annex 9-1

67 Step: Clarification of Forest Land Allocation (# 1) Location: xxx district, xxx commune, all villages with completed forest land allocation Starting date: xx/xx/2004 Activities Area Main outcome Participants Material Time input Costs External support 1 st Village Village 1. Information level of Village Prepared leaflet 2 days Stationary FE Ea Hleo meeting stakeholders is assessed organisations Present land-use Daily ACO 2. Stakeholders are properly Forest owner map of village allowance for Project staff informed about FLA process, Key villager participants relevant forest policies without forest 3. Minutes of meeting land 2 nd Village meeting Village 4. Suitability of form of allocation assessed 5. Conflict potential identified 6. Agreement on whether form of allocation has to be redone 7. Minutes of meeting Village organisations Forest owner Key villager without forest land Red book certificates 2 days including plot verification in the field Stationary Daily allowance for participants FE Ea Hleo ACO Project staff Annex 9-2

68 Step: Clarification of Forest Land Allocation (# 1) Location: xxx district, xxx commune, all villages with completed forest land allocation Starting date: xx/xx/2004 Following steps only required in case form of forest allocation is considered inequitable and villagers request reallocation Activities Area Main outcome Participants Material Time input Costs External support 3 rd Village meeting Village requesting reallocation 1. Identification of suitable form of FLA 2. Merging of allocated forest area 3. Reallocation to villagers 4. Results delineated on present land-use map 5. Minutes of meeting Village organisations Villagers Cadastral staff Old Red book certificates Present land-use map of village Aerial photomaps (if available) 5 days including plot verification in the field Stationary FE Daily ACO allowance for Project staff participants Printing cost aerial photomaps (if available) Commune meeting Commune 6. Data aggregation and submission to DPC for approval CPC Cadastral staff Minutes of 3 rd village meeting Revised land-use map of village 2 weeks Stationary FE ACO Project staff District meeting Commune 7. Appraisal and approval 8. Red book certificates issued DPC ACO FE Red book certificates 1 month Printing costs of Red Books FE Commune meeting Commune 9. Feedback of results to CPC CPC Cadastral staff Approval letter New Red book certificates 1 day Project staff 4 th Village meeting Village requested reallocation 10. Feedback of results to villagers 11. Handover of red books Village organisations Villagers New Red book certificates 1 day CPC ACO Project staff Annex 9-3

69 Step: Community-based legal framework on forest protection and development (# 3a) Location: xxx district, xxx commune, all villages with forest land inside the traditional village boundary Starting date: xx/xx/2004 Activities Area Main outcome Participants Material Time input Costs External support 1 st Village Villages 1. Information level of VMB Present FPDRs ½ day Stationary FPU meeting with stakeholders is assessed Key farmers Present land-use Daily Project staff already 2. Suitability of regulations to map of village allowance for existing local context are assessed FPDRs Aerial photomaps participants 3. Minutes of meeting (if available) 4. Agreement on whether regulations have to be revised or not Note: Regardless whether FPDRs are already in place or not, the project has to set up a FPDR signboard in each village at the main path to the village forest. (Design suggestions are provided in Annex 10) Annex 9-4

70 Step: Community-based legal framework on forest protection and development (# 3a) Location: xxx district, xxx commune, all villages with forest land inside the traditional village boundary Starting date: xx/xx/2004 Following steps only required in case FPDRs are revealed as not suitable and villagers requested revision of regulations. Activities Area Main outcome Participants Material Time input Costs External support 1 st Commune 1. Commune administration CPC Circular 56/1999/TT/BNN ½ day Stationary FPU Commune and village heads are Village heads Daily Project meeting informed and implementation allowance schedule agreed 1 st Village training Village 2. Forest patches are classified 3. Main problems in forest protection identified VMB Key farmers SFDP - FPDRs - Trainer guide Decision 1495/QD-UB 1 day Stationary Daily allowance FPU Project 4. FPDRs are designed Present land-use map, aerial photomaps 2 nd Village training Village 5. Regulations agreed upon by village 6. FPDRs are documented and send to CPC for appraisal VMB Villager 1 day Stationary Daily allowance FPU Project 2 nd Commune meeting Commune 7. Data aggregation and submission to DPC for approval CPC Approval document 2-3 days Stationary FPU Project District meeting Commune 8. Appraisal and approval 9. Printing of FPDRs poster DPC Aggregated documents from all villages in the commune 1 month Printing costs for poster FPU ACO 3 rd Commune meeting Commune 10. Results are disseminated to commune representatives and village heads CPC Village heads Approved regulations FPDRs posters FPDR signboards 1 day Daily allowance FPU Project Annex 9-5

71 Step: Long-term Forest Management Goal (# 3a) Location: xxx district, xxx commune, all villages with completed forest land allocation of production forest Starting date: xx/xx/2004 Activities Area Main outcome Participants Material Time input Costs External support 1 st Part of Village training Allocated production forest 1. Need based forest resource assessment carried out 2. Future forest structure and management goal generated 3. Forest blocks are defined and delineated on present land-use map 4. Management goal poster developed for each block Forest owner Present land-use map, aerial photomaps SFDP - Participatory elaboration of management goals for natural forests - Trainer guide Visual aids as provided in SFDP - Participatory elaboration of management goals for natural forests- Flip Charts & Poster Books ½ day per forest block (the entire village forest should be classified in not more than 5 blocks) Stationary Daily allowance Commune Extensionist ACO Project 2 nd Part of Village training Allocated production forest 5. Forest owner are introduced to basics of silvicultural interventions to achieve their management goal 6. If required target tree selection carried out Forest owner Management goal posters ½ day per forest block (tested in one or two blocks for practice only) Daily allowance Commune Extensionist Project Annex 9-6

72 Step: Participatory Forest Resource Assessment (# 2) Location: Selected sample sites of representative forest types for Dak Lak province Starting date: xx/xx/2004 Preliminary forest survey for elaboration of ideal forest models Activities Area Main outcome Participants Reference material Time input Data collection/ interviews of key informants 1 Samples in different forest types in Dak Lak 1. Main forest types identified 2. Field measurement in sample plots carried out 3. Measurement of annual growth rings carried out 4. Indigenous knowledge explored 5. Secondary data analysed Tay Nguyen University Project FIPI 2 SFDP - Silviculture Guidelines for CFM in the Song Da watershed-technical guideline ADB case studies Thanh Hoa, Gia Lai province (forthcoming) Estimated 1 week Costs Expert fees Daily allowance External support International/local short-term expert Data analysis Indoor 6. Field data aggregated and analysed Tay Nguyen University Project Survey data Secondary data 2-3 days Expert fees Daily allowance International/local short-term expert FIPI Development of models Indoor 7. Ideal model for diameter stemnumber distributions developed for each forest type under specific management Tay Nguyen University Project FIPI Survey data Secondary data 4 days Expert fees Daily allowance International/local short-term expert 1 Old people from communities in proximity to forest resources; traditional natural resource manager of ethnic minorities (see Brigitte Junker:1999). 2 Forest Inventory and Planning Institute Annex 9-7

73 Step: Participatory Forest Resource Assessment (# 2) Location: xxx district, xxx commune, all villages with completed forest land allocation of production forest Starting date: xx/xx/2004 Activities Area Main outcome Participants Material Time input Costs External support Village 1. Forest block description Forest owner Present land-use map, 3 days Stationary Commune training aerial photomaps Extensionist Allocated production forest blocks 2. Forest product demand quantified 3. Forest owner are trained in forest resource assessment 4. Exemplary forest product supply quantified 5. Exemplary 5-year and annual work plan developed Management goal posters Ideal models for diameter stemnumber distributions SFDP - Community Forest Management Planning - Session Material Daily allowance ACO FPU CFMB Project Forest resource assessment Allocated production forest blocks 6. Forest resource assessment for the entire allocated production forest finalised Forest owner Coloured diameter tape Rope Inventory forms One group 1 can measure around 7-8 plots per day 2 Measurement tools Stationary Daily allowance Commune Extensionist ACO FPU CFMB Project Data aggregation Forest area with completed inventory 7. Block summary forms for each forest block finalised Forest owner Inventory forms Block summary forms Pocket calculator 2-3 forest blocks per day Stationary Daily allowance Commune Extensionist ACO CFMB Project 1 (measuring team of 3 forest owner, 1 supporting staff for recording) 2 Total number of plots depend on number of forest blocks and total forest area as detailed in the training material prepared by SFDP) Annex 9-8

74 Step: Forest development and utilization planning base (# 3) Location: xxx district, xxx commune, all villages with completed participatory forest resource assessment Starting date: xx/xx/2004 Activities Area Main outcome Participants Material Time input Costs External support Village Allocated 1. diameter stemnumber Forest owner Block summary forms 2 forest Stationary Commune workshop forest area distributions of inventory VMB for each forest block blocks per Daily Extensionist results prepared and Ideal model for day allowance ACO discussed diameter stemnumber CFMB 2. Forest product demand, distribution supply and balance identified Project Present land-use map, 3. Five-year cf management aerial photomaps plan developed Commune meeting All villages with completed 5-year plan 4. Five-year cfm plans are aggregated and submitted to district for approval Village heads CPC CFMB Village five-year cfm plans 2 days Daily allowance ACO CFMB Project District meeting Commune 5. Appraisal and approval of five-year cfm plans 6. Approved plans are send back to commune ACO DPC Village five-year cfm plans 1 week Daily allowance Commune meeting Commune 7. Village heads receive approved five-year village cfm plans Village heads CPC CFMB Approved village fiveyear cfm plan ½ day Daily allowance ACO Project Village workshop Forest area under cfm plan 8. Annual work plans developed and agreed upon Forest owner VMB annual work plans are developed based on 5- year cfm plan 1 day Daily allowance ACO Project Commune Extensionist Annex 9-9

75 ANNEX 10: PROPOSED COMMUNE APPLICATION FORM

76 ANNEX 10: PROPOSED COMMUNE APPLICATION FORM COMMUNE APPLICATION FOR COMMUNITY-BASED FOREST MANAGEMENT PERMIT Commune. District.. Province... Village Signature of Village head Village Signature of Village head Village Signature of Village head The signatories prove that (i) village meetings have been carried out with participation of all households, (ii) all villagers are informed about rights, obligations and benefits in CBFM, (iii) the decision to apply for a CBFM permit was reached during voting by all village members. Commune People Committee Agriculture and Cadastral Office.. District Forest Protection Unit... Commune Cadastral Officer The signatories approve the participatory process of the application procedure and technical content and data of all mentioned villages and the commune.

77 TABLE 1: SOCIO-ECONOMIC DATA OF THE COMMUNE No. Village Total area (ha) Total agricultural land (ha) Number of households Ethnic groups Main source of income (subsistence agriculture, cash crops, forestry, husbandry, processing ) Total

78 TABLE 2: FOREST RESOURCES OF THE COMMUNE No. Forest type according to forest land classification Area (ha) Owned by local Authorities Owned by Forest Enterprise/ Special-use Forest Management Board Owned by Households Red Book Green Book I Special-use forest ( a + b ) a Natural forest b Plantation II Protection forest ( c + d ) c Natural forest d Plantation III Production forest ( e + f ) e Natural forest f Plantation IV Bareland ( g + h ) g Land for plantation h Land for natural regeneration Total land area in ha ( I + II + III + IV )

79 TABLE 3: OPPORTUNITIES, GOALS AND PROBLEMS OF VILLAGE FOREST RESOURCES Village:.. Village head.. Activity Priority High Medium Low Notes AFFORESTATION MANAGMENET Timber trees Fruit trees NTFPs Watershed, soil protection forest Existing natural forest Plantation NTFPs FOREST THREATS Immigration Illegal logging Fire Grazing Implemented forest programs, projects, etc. Year Area Activity Notes

80 ANNEX 11: DESIGN SUGGESTION FOR FOREST PROTECTION AND DEVELOPMENT REGULATIONS SIGNBOARD

81 ANNEX 11: DESIGN SUGGESTION FOR FOREST PROTECTION AND DEVELOPMENT REGULATIONS SIGNBOARD Signboard Sample Front View Ghost forest Protection forest Settlement Bamboo forest for poles and shoots Grazing area Production forest for timber Annex 11-1

82 Remember Signboard Sample Back View what you agreed upon in your village Forest Protection Regulations Respect areas for watershed protection forest it will ensure the water supply for your whole community Make firewood from dead trees and branches avoid cutting young trees as they can provide valuable timber in the future Send request letter before timber harvest by doing this you ensure that your forest is not overexploited Avoid forest fire fire will destroy your own resources and the future forest resources of your children Don t let your buffalo graze in the forest you will have no young trees to replace the old ones you harvested Always inform your village head when you see somebody violating your forest regulations If you protect your forest well your whole village will benefit from it Here you can place public information notes for everyone to see Annex 11-2

83 ANNEX 12: MANAGEMENT GOAL POSTER (EXAMPLE)

84 ANNEX 12: MANAGEMENT GOAL POSTER (EXAMPLE) Forest Product Rotation Tree name Ratio 30 years DØ, Thæ, Mun, Ban, Muçn rõng 5 years C y Lang, L t, N m H¾n, D y Leo, Si 80% big trees and 20% small trees mixed in the same forest All desired species mixed in the same area What can we do to build up a forest like this? Permanent mark future timber trees Protect enough small trees as a reservoir for future target trees Adjust density to support future timber trees Ensure suitable light conditions for target trees Cut only bad formed, undesired species and diseased for fuelwood Maintain small trees and shrubs to ensure soil and watershed protection Annex 12

85 ANNEX 13: APPROVAL SHEET FOR FIVE-YEAR COMMUNITY FORESTRY MANAGEMENT PLAN