4 forestland allocation quephong 3 5 2013

SOCIAL POLICY ECOLOGY RESEARCH INSTITUTE - SPERI
FOREST AND LAND
ALLOCATION IN HANH DICH
COMMUNE, QUE PHONG
DISTRICT, NGHE AN
PROVINCE
PILOT ON IMPLEMENTATION OF JOIN
CIRCULAR 07/2011/BNN-BTNMT
REPORTED BY PHAM VAN DUNG
HANOI, DECEMBER 2012

2012.9.17. pvdung lichsu quantri dat rung va GDGR HanhDich Quephong 2
Table of Contents
FOREST AND LAND ALLOCATION IN HANH DICH COMMUNE, QUE PHONG DISTRICT, NGHE
AN PROVINCE ....................................................................................................................... 1
Table of Contents .......................................................................................................... 2
FOREST AND LAND ALLOCATION IN HANH DICH COMMUNE, QUE PHONG DISTRICT, NGHE
AN PROVINCE ....................................................................................................................... 4
Part I. Introduction................................................................................................................ 4
Part II. Summary of the system of State Forestry Enterprises and other forestland users in
Hanh Dich............................................................................................................................. 6
Part III. Inconsistencies in natural resource distribution in Hanh Dich................................... 9
3.1. The issue of ‘suspended’ planning and system of planning maps ................................ 9
3.2. Inadequacies in the conversion of land and capacity of forestland management ........ 11
3.3. Inadequacy in land distribution in Hanh Dich until 2011........................................... 12
Part IV. SPERI’s Approach on Community Development and Strategy for Enriching Social
Capital ................................................................................................................................ 13
4.1. SPERI’s view on community forest and social capital............................................... 13
4.2. The Development Support of SPERI/TEW in Hanh Dich from 1999 to 2011............ 14
3. Forest allocation associated with forestland allotment in 2011-2012................................ 17
3.1. Legal basis ............................................................................................................... 17
3.2. Practical basis........................................................................................................... 18
3.3. Overview of the pilot on implementation of the Joint Circular 07 in Pom Om........... 18
3.4. Approach steps for implementation of the pilot on forest allocation and forestland
allotment in Pom Om ...................................................................................................... 20
Step 1: Preparation of legalities, human resources and facilities................................... 20
Step 2: Conduct studies on customary law and local knowledge in forest and land
management and use.................................................................................................... 21
Step 3: Training for capacity building for communal and district officials ................... 22
Step 4: Overall assessment, conflict resolutions and planning for forest and land
allocation..................................................................................................................... 23
Step 5: Village meetings for discussion on the current status of forest and land, and
agree upon the content, approach and plan for forest and land allocation ..................... 24
Step 6: Field measurement and demarcation................................................................ 25
Step 7: Setting up community regulations on forest land co-management, usage and
sharing benefit amongst the users in Pom Om.............................................................. 26
Step 8: In-door work and procedure preparation for official approval .......................... 27
Step 9: Forestland allocation in the field ...................................................................... 28

Step 10: Organize a workshop for reviewing lessons learnt.......................................... 28
3.5. Initial results............................................................................................................. 29
Part V. Discussion............................................................................................................... 32
1. Inconsistency in the legal framework on forest and land .............................................. 32
2. Inconsistency of forestland allocation in Hanh Dich .................................................... 34
Part VI. Recommendations.................................................................................................. 35
1. Related to the Legal framework................................................................................... 35
2. Related to policy implementation ................................................................................ 36
Annex : Simplify the complex procedures for forest and land allocation to ethnic minorities38

FOREST AND LAND ALLOCATION IN HANH DICH COMMUNE, QUE
PHONG DISTRICT, NGHE AN PROVINCE
Part I. Introduction
Hanh Dich is a mountainous commune in Que Phong district, Nghe An province. Up
to 2012 all commune has 11, 691 households with 3294 inhabitants. 98% of the
population is the Thai ethnic; the rest is Kinh (Vietnamese majority) who are teachers,
traders and soldiers.
Figure 1: Location of Hanh Dich commune in GoogleEarth
The first group of Thai moved to live in Que Phong District since about 1835 from
Thanh Hoa province (Vietnam), Lao PDR and Thailand1
. There are two groups of
Thai: ‘Tay Thanh’ and ‘Tay Muong’. The ‘Tay Thanh’ group lives mostly in remote
areas and higher altitude, from Khom to Hua Muong village, next to the Lao-Vietnam
border. The ‘Tay Muong’ lives mainly in the lower altitude region, from Pom Om
downward Chieng village (VNDT) 2007). While the ‘Tay Muong’ group insofar has
1
The Environment Policy and Community Development Journal, The Literature on Weekly (2007)

had fewer opportunities to go out, the ‘Tay Thanh’ more exposed to the Kinh majority
and outside society outside as a whole.
With the support of the Towards Ethnic Women (TEW), the forest and land allocation
in Hanh Dich was implemented in 2003, in which 2,132 hectares of forestland have
been allocated to 203 households under Decree 163/1999/ND-CP, as well 265 ha were
temporarily assigned (without land use right certificates) for 19 mass-organizations
i.e. Village Farmers’ Union and Women Union. Accordingly, the area of forestland
allocated to individuals and households is 0.78 ha per capita. However, due to the
increasing in population, this number is reduced to 0.65 ha / capita in 2012.
Insofar, the forest and land is are vital space of the people to do cultivation, make
houses and grazing livestock. As well, the forests are spaces of the communities for
cultural activities, with the sacred forests as ‘Lac Xua’ – where worships the first
settler and founder of particular area, ‘’San’ as sacred forest for organizing the
traditional rituals, ‘Dong’ – the forest cemetery (SPERI 2007). People selected land
for cultivation and set up land boundaries in their traditional ways and be recognized
and respected by the whole community, so the community is competent to adjust the
issues arising in the course of forestland use. The Thai people have long history
experiences in the use of trees as medicines, food and drink. There are many remedies
to cure incurable diseases, save lives inside and outside the community. Timber,
firewood, non-timber forest products (NTPFs) such as rattan, bamboo are mainly used
within families such as making houses and means for living and production.
The poverty rate in Hanh Dich remains very high; it is 80.1% in 2007, and 60.8% in
2012 (Hanh Dich communal People’s Committee, 2008 - 2012). Only Cham and Pom
Om of the total 11 villages are self-sufficient in food. The area of allocated arable land
and forests is remaining limited. Rice land is only 450 m2 / person or about 0.2 ha per
household. Therefore, people have to switch from the traditional farming (rotational
shifting cultivation) to stable farming on narrow sloping land. So, in order to secure
livelihoods, in addition to food production and livestock, people collect bamboo
shoots and some non-timber forest products, even working as timber cutter for the
outside illegal logging traders. Each village has only 1-2 well-off families who are the
Kinh majority traders. Some Thai families have to turn into opening small shops, but
the number of sales and revenue are still much lower than that of the Kinh majority
families in the same village Kinh. Another controversial issue is that young people are
seeking to leave their homes to go elsewhere to make a living. Early 2012 when a
company to recruit labors in Hanh Dich, a dozen of young people was employed to be
workers in leather and other jobs in the South of Vietnam.
According to the cadastral management books of Hanh Dich issued in 2011, the entire
commune has an area of 18,026 hectares, including 16,187.7 ha of forestland

(accounting for 89.8%). Nevertheless, in which approximately 10,533.2 ha are under
the management of the Pu Hoat National Conservation Area and 3,227.62 ha is
managed by the Que Phong Management Board of Protection Forest and Hanh Dich
Communal People’s Committee. It means that the amount of land planned for the Que
Phong Management Board of Protection Forest has not yet been defined.
In fact, many land users are holding forestland under the planning and decision of the
province authority, but be yet clearly shown on the map and cadastral books, or are in
conflicts about boundaries. That is the Pu Hoat National Conservation Area and Que
Phong Rubber Plantation Farm - now converted into the Nghe An General Investment
Joint Stock Company on Rubber Development and the Que Phong Management
Board of Protection Forest. The volatility and reality of forest management of these
entities will be described in details in the next section.
Part II. Summary of the system of State Forestry Enterprises and
other forestland users in Hanh Dich
By 2002, the land and forest users over 17,862 ha of the total natural area in Hanh
Dich are listed in the following table:
Chart 1: Forest and land users in Hanh Dich by năm 2002
The process of conversion of forestland amongst users outside Hanh Dich started from
the establishment and dissolution of the Phu Phuong State Forestry Enterprise, so-
called Phu Phuong Enterprise. The period from 1975 to the 80s, the Phu Phuong State
Forestry Enterprise managed almost forest area of Hanh Dich and other communes.
The enterprise used to hold and administer the proceeds from the 327 program for the
sake of re-greening barren hills across the country, namely the 327 program in the
early 90's. After the end of 327 program, along with the conversion of operational

mechanism in accordance with the 661 program (5 million ha of planted forests) and
other national development projects from the late 1990s to 2002, a part of the area
held by the enterprise was transferred to the Management Board of Pu Hoat National
Conservation Area, Nghe An General Youth Volunteers Association Team 7, namely
the Youth Association. The rest is retained for the Phu Phuong Enterprise – currently
converted into the Que Phong Management Board of Protection Forest, whereas, until
2002 the entire population in Hanh Dich was not allocated forest and land.
The Nghe An General Youth Volunteers Association Team 7 was established under
the decision of Nghe An Provincial People’s Committee dated 24/06/2002 with the
task of building models on agro-forestry extension and farms for economic
development in the border district as Que Phong. Then, the Youth Association was
allocated by the Nghe An Provincial People’s Committee the forestland within the
land of Hanh Dich with the sake of expanding and promoting rubber plantations. In
2011, the Nghe An Provincial People's Committee has decided to merge the Youth
Association into the Nghe An General Investment Joint Stock Company on Rubber
Development (hereafter called the Nghe An General Rubber Company). In this
process, the status quo of the project and forestland from the Nghe An Youth
Association, which are 8,752 ha of the land area of Hanh Dich and Tien Phong
communes.
The Nghe An General Rubber Company was established in July 2007 to implement
the project on development of rubber plantations in the province. This company is
belonged to the Vietnam Rubber Industry Group. The Nghe An General Rubber
Company joins by 9 shareholders, in which the largest shareholder is the Vietnam
Urban and Rubber Industrial JSC – GERUCO (46.5 billion Dong); the least
shareholder is the Rubber Finance Company (7.5 billion Dong). The remaining seven
companies (shareholders) all contribute 12 billion Dong, which are Dong Nai Rubber
Company Limited Corporation, Tay Ninh Rubber Joint Stock Company, Tan Bien
Rubber Company Limited, Noc Linh Rubber Company Limited, Hoang Anh – Mang
Yang Rubber Company Limited, Saigon-Hanoi SHB Commercial Joint Stock Bank,
and Nghe An Agricultural Material Joint Stock Corporation.
After the merger, in 2011 the Nghe An General Rubber Company has decided to
change the Nghe An Youth Association as Que Phong Rubber Plantation Farm. This
farm planned to plant 2,000 ha of rubber so-called ‘big farm’, and contract with
individual farmers to plant about 1,000 ha of rubber namely ‘small farm’ in the near
future.
On the legal term, the Nghe An General Rubber Company is currently a enterprise
within the system of the parent-subsidiary company of the State for the task of
economic development in the province. However, in reality this company operates

based on the capital, management and decision of the individual shareholders on
production and distribution of profits. The decision as well as majority of the almost
profits belong to the largest shareholders. The following diagram describes the
structure of the parent – subsidiaries companies and the joint venture and joint stock in
capital of the Nghe An General Rubber Company.
Diagram 2: Structure and shareholders of the Nghe An General Rubber Company
Regardless the impacts to the environment and the livelihoods of local communities,
the Nghe An General Rubber Company itself currently reveals internal problems. The
Vietnam Agriculture News dated 08/08/2012 warned: "The rubber plantation project
in Nghe An is untimely dying." The main cause of this situation is the debt of the
shareholders, the delay in the implementation of contracts in buying varieties and
planting rubber, also means that the future revenues offset get more distant.
Meanwhile the cost of maintaining the management apparatus and workers’ wages is
increasingly weighing on the rapidly exhausted capital of this company.
An entity which holds a large amount of land in Nghe An is the Nghe An
Management Board of Biosphere Reserve located in the West of Nghe An certified by
UNESCO on 20/9/2007, with a total planned area of 1,303,278 ha. Currently, about
437,822 populations including Hanh Dich people are living in this area. The Pu Hoat
National Conservation Area is the third core zone of this Biosphere Reserve. This
Conservation Area is in the list of Special-Use Forest System of Vietnam, which has
VIETNAM GENERAL RUBBER GROUP
Nghe An General Rubber
Company
Rubber
Plantatio
n Farm
12/9 and
other
units
Nghe
An
Youth
Associa
tion
(2002)
Other companies
Dong
Nai
Rubber
Compan
y
Limited
Corporat
ion (12
billion
Dong)
GERUC
O (46,5
billion
Dong)
Saigon-
Hanoi
SHB
Commer
cial
Joint
Stock
Bank
(12 tỉ đ)
Rubber
Finance
Compan
y (7.5
billion
Dong)
5 other
companie
s (12
billion
Dong)
Que
Phong
Rubber
Plantatio
n Farm
(2012)

recorded in Decision 194/CT of the President of the Council of Ministers (now the
Prime Minister). This area includes special-use and protection forests located in the
north of the Chu River and sub-area III of production forest which have been recorded
in the map of overall economic development of Nghe An decided in 1996. The Pu
Hoat National Conservation Area was proposed to set up with an area of 67,900 ha
under Document No. 310/CV.UB of Que Phong People's Committee which was
submitted to the Nghe An Provincial People’s Committee for approval2
.
Part III. Inconsistencies in natural resource distribution in Hanh
Dich
3.1. The issue of ‘suspended’ planning and system of planning maps
Local communities have traditionally had land for rotated slash-burnt cultivation,
collecting forest products to secure their life over generations. The government has
issued policies to reorganize and renovate the state forestry enterprises in order to
return land to the local community and ensure residential and productive land for
ethnic minorities. Instances of abovementioned policies are Resolution 28-NQ-TU of
the Politburo dated 16/06/2003, Decision 132/2002/QD-TTg, Decree 170/2004/ND-
CP, Decree 200/2004/ND-CP, Decision 134/2004/QD-TTg, Decision 146/2005/QD-
TTg and Decision 74/2008/QD-TTg. But the paradox still exists in Hanh Dich as well
as many otherwise. Although the local people lack of land, but are not allocated land
as the forestland is being suspended planning for the Nghe An Youth Association.
Sub-areas 83-85 where are critical watershed land areas of Pom Om and the
surrounding are being planned for rubber plantations. Although the Que Phong
Rubber Plantation Farm has not been officially granted the land use right certificate, in
fact, it still holds the land as planned.
From 2002 to 2003, TEW – the precursor of SPERI had collaborated with Hanh Dich
communal and Que Phong district People’s Committee to implement a pilot on
forestland allocation to the peoples in 8 villages in Hanh Dich. The remaining 3
villages in Hanh Dich is not yet implemented the forestland allocation such as Na Xai,
Hua Muong and Chieng. Na Xai and Hua Muong are currently located in the
suspended planning to set up the Pu Hoat National Conservation Area for many years.
The forest within this ‘suspended’ planning area has been destroyed as the forest
owner is only titled on paper, but in reality is unable to complete its responsibilities.
Chieng village is also o trapped by the Que Phong Rubber Plantation Farm; so that,
there is a little land left for allocation. As having not enough land, the forestland
allocation in Chieng village did not happen.
2
Website of the Pu Mat National Conservation Area

The fact that, most of the communes in Que Phong are in the list of poverty, so that
hardly access to the forestland allocation of the government. For example, Que Son –
another commune of Que Phong is also influenced by the similar status quo as Hanh
Dich. According to the Bao Moi News (2002), Que Son has an area of 3,724.55
hectares with 3,569 inhabitants. However, the land for production is only 218.9 ha,
including water area (60.7 hectares). In 2003, Nghe An Province People's Committee
decided to grant a ‘red book’ (land use right certificate) for the Que Phong State
Forestry Enterprise the area of about 5.000 hectares, including part of Muong Noc and
Tien Phong communes, and all of Que Son. Thus, the entire land area of Que Son is
under the management of the Que Phong State Forestry Enterprise. Then, the Nghe
An Provincial Department of Agriculture and Rural Development and Nghe An
Provincial People's Committee agreed to return 1,000 hectares of forestland for local
peoples. However, the process faced the complexity of procedures, lack of financial
sources, the forestland was not implemented, the Que Phong State Forestry Enterprise
still continues to manage and use this area for Acacia plantations.
The Que Phong Start Forestry Enterprise which has only 15 workers manages over
8,752 hectares of land and forest. It means, it is about 583.5 hectares / worker.
Meanwhile the allocated land area in Hanh Dich is around 0.65 hectares / capita, and
the area of arable land of Que Son is only 0.06 ha / capita. With such differences, the
question is how to ensure fairness and equality between enterprises / businesses and
local people in the implementation of rights and responsibilities to use and benefit
from land and forest?
Consequences of the suspended forestland planning
As presented above, the current forestland planning and allocation does not harmonize
the needs of different actors. The ‘suspended planning’ also causes the situation that
the rights and obligations are not tied to specific forest entities. The Pu Hoat
Management Board of Special Use Forest is allocated forest and land, but in fact, this
area is under the direct management and protection of the offices of forest protection,
management board of the Pu Hoat National Conservation Area, and Communal and
District People’s Committees3
. Since the unclear responsibilities for specific entities,
as a consequence, forest is not protected.
Local people lack of the land due to the ‘suspended’ planning; so that it is hard to
address poverty reduction. If there is reallocation of productive land, people will not
have the opportunity to escape poverty and conflicts between people and state forestry
enterprises would be increasingly tensed.
3
The website of the Pu Hoat National Conservation Area

3.2. Inadequacies in the conversion of land and capacity of forestland
management
In the period of collectivism from the 1960s to 1980s, the peoples in Hanh Dich had to
relocate twice at the behest of their superiors to merge cooperatives together into the
larger scale production and the resettlement program happened in the years 1977-
1978. Although some people moved on the instructions, but each family retains a
number of people to take care of their houses, farms in the former villages. After some
times, the entire removed people found that in the new places there are many
difficulties and not enough land for production; so that they all got back to the former
locations. Since then the population stays the same so far.
The loopholes in the planning process have created conditions for a number of
organizations to take advantages to convert the forest land use purposes. The Nghe An
Youth Association continuously holds the land from 2002 to 2011, and then
transferred to the Que Phong Rubber Plantation Farm. The land holding and transfer
as a such has lacked of the consideration of local realities as well as the requirements
of the upper authority levels, that is, ‘the conversion from agricultural land and natural
forestland under the category of poor productive forest to rubber plantations must be
public and transparent ". The guidance of the Ministry of Agriculture and Rural
Development at Circular 58/TT-BNNPTNT dated 9/9/2009 which requires rubber
plantations must implement environmental impact assessments (Clause 2 of Article 2).
At the same time, the technical criteria and standards in land planning for rubber
plantations (article 3) is only allowing the conversion of degraded forest into rubber
plantations (Article 4). However, the lack of consideration in rubber plantations to the
environmental and social impacts, the planning does not prioritize to ensure forestland
and livelihoods of the peoples in Hanh Dich. Even, rubber plantations are planned on
the sacred forests and watersheds areas. Some villages currently do not have enough
land to allocate for peoples i.e. Chieng village. The company still took land closely
next to the residential locations, sometimes to the foot of the stairs for rubber
plantations. Given such plans, only when the peoples and Hanh Dich authorities have
strong recommendations, and supports from TEW the land and forest allocation could
be implemented.
Similar to the land for rubber plantations, the forestland keeping and maintenance of
the Management Board of Forest Protection are also based on the planning of
government on budget for the planned protection and special-use forests, but not refer
to the needs and ability of forest protection. For example, the Que Phong Management
Board of Protection Forest only has 39 staffs, but manages around 48,496 hectares of
forestland – about 1,243.5 ha per person. Although this Management Board exists, it
is unable to manage such a huge of forest due to its limited human resources.

3.3. Inadequacy in land distribution in Hanh Dich until 2011
Sacred forests as ‘Lac Xua’, ‘San’, ‘Dong’ and wet fields which over many
generations attach the peoples and communities whose are still not entitled the land
use right certificates (red books). Since before the August Revolution in 1945, the
forms of community and private forest management based on the customary laws used
to be existed in Hanh Dich. The village boundaries were delineated by the
representatives. If any disputes arose, the elderly and land owners of the relevant
villages are responsible to resolve. Currently, this role is jointly taken by elderly and
village management board, including Veterans’ Association, Farmer’s Union, and
formal village leaders.
Chart3: Comparison of number and forestland area per capita in Hanh Dich by 2011
Apparently, Hanh Dich has a large average of forestland area per capita, but actually
land for allocation to the peoples is relatively limited. The cause which is not only
taken place in Hanh Dich, but also many other locations is due to the delay in land
allocation. Outside entities excused that either the areas in Hua Muong, Na Xai are
watershed forests or the land planned for rubber plantations in other villages would
not allocated to peoples and communities. While the local populations lack of
forestland (only allocated 0.65 ha / person), then the average forestland area per
official of the Que Phong Management Board of Protection Forest is 1,243 hectares,
and each staff of the Nghe An General Rubber Company obtained about 61.3 ha.
Over 60 years (the period of setting up the system of state forestry enterprises and
collectivism) the concept of private forest was existed within the Thai communities. In
some periods, the Phu Phuong State Forestry Enterprise used to manage almost
forestland in Hanh Dich. Since 2002, part of the area of this enterprise has been
transferred to the Nghe An Youth Association and Que Phong Management Board of

Protection Forest. The remaining is assigned for Hanh Dich communal people’s
committee to manage.
As chart 3, it clearly sees the irrationality in the allocation of forestland resources
distribution in Hanh Dich. The population of the commune is bigger compared to
other units (3,168 people compared to 39 staffs of the Que Phong Management Board
of Protection Forest and 230 workers of the Nghe An General Rubber Company.
However, the proportion of forestland distributed for the peoples in Hanh Dich is very
much lower than that of the Que Phong Management Board of Protection Forest and
Nghe An General Rubber Company.
Part IV. SPERI’s Approach on Community Development and
Strategy for Enriching Social Capital
4.1. SPERI’s view on community forest and social capital
Local communities involving in management and use of forest and land is the central
process with their beliefs on the Mountain Spirit, Forest Spirit, Water Spirit, the
community rituals, customary laws in natural resources governance. Specifically, the
Thai in Hanh Dich has maintained their religion in worshiping the ‘Lac Xua’ as Land
Spirit and Village Founder, Herbal Medicine Spirit, forbidding cutting trees in ‘San’
as sacred forests, ‘Dong’ – cemetery forest and watershed forest. Such belief and
customary law have formed the collective will and awareness to help the communities
to protect and develop forests.
The forest allocation aiming to increase the responsibility of local communities for
effective use and management is fitting to the state policy on community forestry.
That is the requirement to use forest resources for the livelihoods and culture of the
local communities, not for profit, not sale and mortgage. Many community forests
would help to secure and stabilize the livelihood of local peoples while all disputes are
resolved. On that basis, the forestry could be developed; so that, those who involve in
forestry can survive and enrich their careers.
Allocation of the forestland aiming to help the local communities to maintain and
practice their cultural values is an effective solution for the enrichment of social
capital. Social capital closely relates to trust, community cohesion, mutual helps via
the community traditional institutions and organizations. If the forest is lost, the
community will lose the spaces of traditional ritual - an important element to link and
promote community identity. So, in the development approaches, SPERI not only
pays attention to the promotion of traditional institutions and integration between the
customary laws and statutory laws, but also tries to ensure the necessary conditions
and environment for survival of such values – that is forestland for the local

communities. One of the requirements set out for the forest and land allocation for the
local communities is to find proper solutions to the shortcomings, harmonize different
interests and concerns within the community and between communities and relevant
land users. Therefore, the community forestland not only makes sense for the
community particularly, but also has inter-regional impacts and society as a whole.
The mountainous areas with the advantages of forest and forestry are totally different
to the lowlands characterized by agricultural production. The difference expressed in
natural conditions along with ways of organizing production and lifestyle of each
region. The traditional rotational swidden farming practices which reflect the
traditional method of production is consistent for a long time in preventing soil runoff
in the highlands, while the lowland is often well-known for the intensive cultivation in
the limited land condition. While the tendency of increased use modern medical drugs
in the lowland, the traditional healing and herbal medicinal plants are still popular in
the highlands due to the transportation constraints and limited public health care
services. Therefore, it is hard to apply modern techniques and thinking of the lowland
agricultural mode to impose on the mountainous forest regions. For example, the large
production organization, bringing tractors up hills would be costly, inefficient, even
causing runoff; landslides and flash floods...Alternatives for such problems are to
responsibly study, respect and promote the traditional customs and local knowledge
which have been adapted with nature for many generations.
In contrast to the knowledge and farming practices, the resources uses which have
been stable over many generations in the upland communities is the profit orientation
of most businesses. If the only companies are prioritized for maximizing the
exploitation of forest resources for profits, it would be unavoidable the adverse
impacts to the up and down stream environment characterized with its sensitivity.
Therefore, policy makers need to raise and answer the question: should accept and
encourage a forest society for the safety of local livelihoods and nation or allow
benefit for a few of businesses in order to gain short-term profit and tax, but cause a
enormous negative impacts and insecurity in the long-run?
4.2. The Development Support of SPERI/TEW in Hanh Dich from 1999 to
2011
The Towards Ethnic Women (TEW) which is the precursor of SPERI begin to
conduct studies and support building capacity for community development, natural
resource management in Hanh Dich since 1999. By 2006, TEW, Center for Human
Ecology Studies of Highlands (CHESH) and Center for Indigenous Knowledge and
Development (CIRD) merged into SPERI. Over the years working with ethnic
minorities, SPERI has empowered key persons and coordinators who are prestigious

farmers and progressive local authorities and able to make linkages, coordinate and
implement the community development task. Therefore, at the same time, SPERI has
strongly reform internally, handling its direct coordination and implementation of the
development projects to local key farmers and coordinators. Then, SPERI has
emphasized much on bridge-building and linking initiatives and best practices
between project sites via the National Key Famer’s Networks (NKN), and now as
thematic networks i.e. customary law in watershed natural resources management,
herbal medicine, eco-farming, etc. of the Mekong Community Networking and Eco-
trading (MECO-ECOTRA).
From 1999 to 2011, TEW / SPERI has empowered the capacity of local communities
in natural resources management via a series of training, study exchanges, workshops
on eco-farming, herbal medicines, traditional handicraft textiles and community
organization. On the basis of integration the values of the clan based organizations,
namely ‘Phuong Hoi’ in different topics i.e. harvesting, housing, funeral, wedding, a
range of common interest groups gardening, saving-credit, herbal medicine, etc. was
formed during the period from 2000 to 2003. In which, the Herbal Medicine Group is
seen as the most effective and sustainable operation. The Group has been developed
from the 12 initial members by 2003 up to 26 in 2007. Healing members are not only
interest in promoting healing, but also imparting the medicinal knowledge to the
younger generations through the admission of more young members, organizing
practical sharing among healers in the commune.
In 2007, the Group has organized a seminar on “Conservation and development of the
traditional herbal medicine" with 54 participants, of which there are 12 heads of
communal clinics in Que Phong, 4 chairmen of the Communal People’s Committees,
Chairman of Que Phong District Oriental Medicine Association, director of the Que
Phong Health Care Center. Significantly, the Group has achieved the recognition of
National Ten Standards of Heath Care at Communal Level, and being recruited as a
unit of the Que Phong District Oriental Medicinal Association since 2007. Afterwards,
the Group has actively lobbied Hanh Dich authorities to allocate 04 herbal plant
forests with total area of 10 hectares. Besides, the Group promoted its members to
develop household herbal plant gardens, especially that of Mr. Ha Van Tuyen in Pom
Om.
The forestland allocation to local communities is to assert the legal rights of
community forestland management and use. Actually, it is not only the right, but at
the same time, determines the obligations of those who are in charge of protecting the
cultural values and local knowledge in the community forests. With the TEW support,
203 households in Hanh Dich were entitled the rights to 2,132 hectares of forestland
under Decree 163/1999/ND-CP. The communities whose representatives are village

mass-organizations such as the Veterans’ Association, Farmers Union, Youth Union
and Women's Union were temporarily allocated 265 hectares of forestland. This is due
to the fact that there is not available legal framework at that time for the allocation of
forestland to the community.
Due to the heterogeneity between the actual forestland owners (community) in
accordance to the tradition and the on-behalf land owner (mass), the management of
forest and land temporarily allocated for village mass-organizations was not as
effective as expected. Some cases, heads of village mass-organizations free-rode to
sell bamboo in such above forests for the Huong Thao Company and Ha Tay
Company in 2008. This situation was resolved after having the complaints of villagers
to the communal and district authorities.
Until 2007, the government still does not have a detailed legal framework to guide the
allocation of forest and land to the local communities. On the other hand, the
government issued some legal documents to allocate forest to the community, but
some shortcomings and inconsistencies remained. For instance, the concept of
"community" must be associated with the village level (Clause 13 of Article 3 of the
Law on Forest Protection and Development, 2004), or the obligation to classify and
identify the category, quantity of forest which requires expensive costs (point 5c,
Section II, Circular 38/2007/TT-BNN). So that, in 2003, TEW proposed Hanh Dich
Communal People’s Committee to assign forest and land for the Herbal Medicine
Group for preservation of herbal plants. Although not yet having official land use
certificate (red book), with the regulation of group and voluntary contribution, healer
members have well protected these forests while the surrounding forest are be
increasingly exploited.
Allocation of forest and land to households and individuals has encouraged the local
people to confidently organize production in the long-run. In fact, after the allocation
of land and forest, there is an occurrence of different self-help groups which work
relatively effectively in a range of themes such as gardening, ecological forestry
gardening like models of Mr. Vi Van Nhat and Vi Van Thanh in Na Xai village or
bio-diversity garden with variety with the medicinal species of Mr. Ha Van Tuyen in
Pom Om. Such initial results and the limitations of forest and land taken place in 2003
are good experiences for SPERI to continue to carry out pilots on forest allocation
associated with forestland allotment in 2011 - 2012.

3. Forest allocation associated with forestland allotment in 2011-
2012
3.1. Legal basis
In recent years, the Vietnam government has issued many documents regarding the
decentralization on land management, as the Politburo's Resolution 28 dated
06/26/2003 on continuity of restructuring, innovation and development of state agro-
forestry enterprise, the Law on Land in 2003, the Law on Forest Protection and
Development in 2004, Decree 181/2004/ND-CP dated 29/10/2004 on the
implementation of the Land Law, Decree 200/2004/ ND-CP dated 3/12/2004 of
reorganization, renovation and development of state forestry enterprises; Decision
18/2007/QD-TTg dated 5/202007 on approving the forestry development strategy for
2006-2020.
Clause 3 of Article 9 in the Law on Land regulated that the community is an entity of
land use so that is entitled to the forestland rights. To specify that provision, the
Ministry of Agriculture and Rural Development has issued Circular 38/2007/TT-BNN
dated 04/25/2007 on guiding the order and procedures for allocation, lease of forests,
forest withdrawal from organizations, households, individuals and
villages/communities.
To support the forestry professions who can live and develop by their careers, the
State has policies on payments for environmental services i.e. Decree 99/2010/ND-CP
dated 09/24/2010, the payment mechanism of REDD i.e. Decision 799/QD-TTg of the
Prime Minister dated 27/6/2012 on approving the National Program of Action on
"Reducing Greenhouse Gas Emissions through efforts to limit deforestation and forest
degradation, sustainable management of forest resources, conserve and enhance forest
carbon stocks" for the period 2011 - 2020. Accordingly, the requirement is that each
forest and land must have its own proper legitimate user.
Given the slow and inconsistent implementation of forest and land allocation in
reality, the Ministry of Agriculture and Rural Development and Ministry of Natural
Resources and Environment have issued Joint Circular 07/2011/TTLT-BNNPTNT-
BTN&MT dated 29/01/2011 (hereafter called Joint Circular 07) on guiding some
contents regarding forest allocation and lease associated with forestland allotment and
lease. The issuance of this document has two sides of the coin. In one hand, it
legalizes the rights and obligations of the community to forest and land while ensuring
the rights of livelihood, religion, co-responsibility and participation of all local actors.
In other hand, the document could create favorable conditions for several entities to
compete each other for land and benefit from forest. Given the current context in the
mountainous ethnic minority regions where local peoples have limited education

qualification as well as financial resources, clearly, elite groups such as businesses and
well-off individuals would have more advantages to approach the legal policies. If
local communities are not clearly confirmed on the legal documents, they would
hardly receive forest and land in reality.
3.2. Practical basis
The Thai community in Pom Om has the traditional customs, religious beliefs
associated with the nature spirits as worshiping the forest spirit, big tree spirit, guard
of the sacred forests, ghost forests and using medicinal herbs for health care...The
community has a need to get the land use right certificates in long-run in order to
manage natural resources, practice spiritual rituals and sustain livelihoods.
As mentioned above, the Hanh Dich Herbal Medicine Group (Hanh Dich Oriental
Medicine Association) was already allocated temporarily the forests for preservation
and use of herbal plants in accordance the customary law based regulation. However,
it would have uncertainties and challenges – that is the boundary overlapping, and
‘suspended’ planning of the Que Phong Rubber Plantation Farm, if the community
have not yet received the land use rights.
The government policy on forest and land allocation for the local communities under
the Joint Circular 07 has been taken by Que Phong leaderships via the pilot in Pom
Om. On 21/10/2011, Que Phong District People’s Committee issued the Plan 84/KH-
UBND to implement the Joint Circular 07 in Hanh Dich. This decision meets the
needs of use and protection of forest and land of the community while it provides an
enabling legal environment for SPERI to work with local communities.
3.3. Overview of the pilot on implementation of the Joint Circular 07 in Pom
Om.
The implementation of model on forest allocation associated with forestland
allotment ((FLA) for the community in Pom Om, Hanh Dich commune, Que Phong
district aims to :
1. Decentralize the rights to the community in Pom Om village, Hanh Dich
commune on forest and land management, protection and use;
2. Pilot a model on community forest management in Pom Om village, Hanh
Dich commune on the basis of integration between customary law and statutory
law;
3. Have lessons learnt on decentralizing the right of management of forest and
land to local community as a basis for proposing recommendations of
expansion to other locations.

The process of implementing this pilot is in compliance with the laws and policies on
land for local ethnic minorities such as Decision 134/2004/QD-TTg, Decision
146/2005/QD-TTg Decision 198/2007/QD-TTg and Joint Circular 07. The pilot
further promoted the values of belief, local knowledge and full participation of local
community as well as other relevant local actors towards sustainable co-management,
use and benefit from forest and land resources.
Chart 4: Actors involved in FLA in Pom Om
To ensure the transparency and effective as well as resolve conflicts peacefully, the
full participation of relevant actors is vital. The first actor is Pom Om community
which is both beneficiaries and taking responsibility to effectively manage the
allocated forest and land. The second group is village mass-organizations and self-
help groups i.e. the Herbal Medicine Group who co-manage and share benefit from
the forest and land resources. The competent agencies which represent the government
to supervise the forestland allocation as well as management and use of the allocated
forestland include Que Phong Steering Committee on Forestland Allocation, Hanh
Dich Communal Council on Forestland Allocation, Hanh Dich Communal People’s
Committee as well as relevant agencies. Joining in the process of facilitation and
coordination of the pilot incorporates district and communal coordinators of the
Mekong Community Networking and Eco-trading (MECO-ECOTRA) in Que Phong.
The Central Joint Stock Company on Agriculture Consultancy involved in the pilot as
a technical service provider. SPERI played a role in advising the methodological

approaches, finance as well as connecting with different relevant actors to take-part in
the pilot. There was also the involvement of other actors such as the Border Army
Station in Hanh Dich and Que Phong Oriental Herbal Association.
3.4. Approach steps for implementation of the pilot on forest allocation and
forestland allotment in Pom Om
The approach taken place throughout the implementation of the pilot includes the
following 10 steps:
Step 1: Preparation of legalities, human resources and facilities
1. To create an umbrella for participation of different actors in the pilot, Que Phong
People’s Committee set up a Steering Committee on Forestland Allocation (SCFA)
which includes district vice chairman being as the leader and representative members
such as Office of Natural Resources and Environment, Office of Agriculture and
Rural Development, Office of Forest Protection, Management Board of Protection
Forest, MECO-ECOTRA coordinator with advise of SPERI. Hanh Dich Council on
Forestland Allocation is then set up, including communal chairman, communal
cadastral official and representatives of Mass-Organizations in Pom Om such as
village Fatherland Front, Youth Union, Women Union, Farmers Union and village
head.
2. Organize technical training on community based FLA for members of the District
and Communal FLA Teams and Communal Council on FLA;
3. Collect relevant available documents, information i.e. reports on land use, forest
and land planning at communal and district levels;
4. Anticipation of the size and position of the traditional forest and land allocation of
the community on the basis of the review of land use planning, forest use planning (3
types of forest) at district and commune levels;
5. Make plans on FLA in Pom Om.
The discussions were afterwards conducted between SPERI and district authorities on
how to approach the implementation of pilot on FLA under the Joint Circular 07.
Then, both sides agreed upon through a Memorandum of Understanding (MoU) on
"Coordinating the pilot on forest allocation associated with the allocation of forestland
to villages/communities in Hanh Dich, Que Phong”. The Memorandum has defined
duties of the parties, under which the Que Phong District People's Committee directs
the functional agencies such as Office of Natural Resources and Environment, Office
of Forest Protection take charge of involving in the process of allocation of forest and
land as well as issues relevant decisions of the allocation of forestland within its
jurisdiction. The Communal People's Committee assigns it staffs and village head, as

well mobilizes villagers to participate in the FLA process. SPERI is responsible to
facilitate the approach on community-based FLA, conduction of basic surveys,
training, documentations, and advice on community regulations on forestland
management, land and forest use planning as well as financial support.
Through the discussions, local actors especially district and communal functional
agencies get better understanding of the concept and practices of community based
FLA allocation. The approach maximizes and empowers local peoples to take-part and
play the main role in every activity and stage in FLA. Local authorities and other
agencies involved in FLA with the roles as government’s representatives and learning
the traditional values of community such as local knowledge, customary law and
community organization in forest and land use management and use; then, they could
integrate flexibly the government policies, guidelines with the local norms to meet the
actual needs and effectiveness of FLA as well as natural resources management and
use in the post allocation.
Step 2: Conduct studies on customary law and local knowledge in forest
and land management and use
Coordinators of MECO-ECOTRA in Que Phong and Hanh Dich, and SPERI staff
under the technical advises of The Central Joint Stock Company on Agriculture
Consultancy conducted studies to record the customary law and local knowledge of
the community in forestland management and use. Simultaneously, they implemented
assessments of the present situation of socio-economic and environment, as well
community organizations related to forestland resources management and use;
investigate to identify the characteristics of forest and land; measure and make
mapping of the current status of forest and land. The project also implemented the
FLA's needs assessment and survey at households and community, meanwhile
mobilized elderly and healers to describe and draw diagrams of their village boundary
and the status of different types of forest. With the experiences of elderly and key
villagers in the community, positions of the spiritual forests, sacred forests and
production forests for cultivation, farmland, paddy rice and the traditional boundaries
between villages have been clearly described and visible for local peoples.
This study and assessment not only the authority of district, commune, SPERI and
local officials who involved in FLA to clearly understand the situation, needs of the
community, but also promote the local knowledge, role of the community in resolving
disputes regarding forest and land. Since then the district authorities also have a solid
basis to determine the content, FLA plan for the communities in Hanh Dich
particularly, other villages in Que Phong in general.

The assessment of community needs revealed that all villagers in 11 villages in Hanh
Dich desire to be entitled the rights to forest and land, as well additional allocation of
forestland to households who have not yet received land titles under Decree
163/1999/ND-CP. However, due to the limited forestland, the forestland allocation to
the community in some village is not feasible. Through fact-finding, the FLA Team
found problems and timely resolved before proceeding with the next steps. Relevant
stakeholders have discussed and agreed upon a forestland allocation plan, area and
boundaries of the planned allocation as well as preparation of legal procedures for
allocation of forestland for communities. The FLA Team then submitted necessary
documents regarding the area, locations and types of forest allocated for the
community to the competent authorities for approval. Que Phong People’s Committee
has issued Document No. 84/KH-UBND dated 21/10/2011 to approve the content and
plan of FLA for communities.
As a result, Pom Om is prioritized a the pilot to conduct the allocation of forest
associated with forestland allotment to the community as Pom Om represents to the
needs of other 11 villages and the practices of the Thai ethnic in community forest
management. Further, the Herbal Medicine Group in Pom Om is contemporarily
entitled to the herbal plant forest, but not yet obtains the ‘red book’. A number of
forestland which was just contemporarily allocated to families, Village Women Union
and Farmer’s Association necessitates to be reallocated accordance to the provisions
of Joint Circular 07.
Step 3: Training for capacity building for communal and district officials
84 people who are communal officials and representatives of 11 villages in Hanh Dich
attended a series of training; so that, they are better understand the legal knowledge of
community forests i.e. Law on Land, Law on Forest Protection and Development,
Circular 38 /2007/TT-BNN and Joint Circular 07. The trainings are not only for
dissemination of guidelines and policies on LFA i.e. the rights and obligations of
participants in the land, forest use and management as well as contents of forest
allocation associated with forestland allotment, but also at the same time to identify
needs and aspirations of individuals, families and communities, discuss on plans of
FLA at communal level, analysis of forest and land areas expected for allocation.
Key farmers (i.e. elderly, healers and clans’ heads) are selected to participate in
implementing the forestland allocation. Also, the community assigned its
representatives who are not necessarily village leader to be in charge to coordinate all
activities from planning, implementation, monitoring to evaluation, of the forestland
allocation. These representatives are afterwards formed as ‘Village Management
Board’ which will be named in the land use right certificate of the community.

This training activity is not merely a one-way communication and dissemination of
the techniques and policies, but more important is the discovery and encourage
community initiatives, seek integration between the customary law with the formal
law in the process of enforcement of the community based forest and land
management. On the other hand, plans and programs of action on FLA can be clearly
identified to the application of knowledge from the training.
Step 4: Overall assessment, conflict resolutions and planning for forest and
land allocation
District and Communal Teams on FLA with community representatives reviewed
overall current status of forest and land use, identified difficulties and confirm the
forest and land boundaries between community, households and businesses. Disputes
over forest and land are then consulted and resolved by villagers, especially forestland
users. So, the Team held village meetings i.e. meetings of clans’ heads, village
leaderships and whole villagers in order to make plans for community based
forestland allocation, use and management. On the basis of the community based
forest and land planning and the proposal of Hanh Dich People’s Committee, Que
Phong District People's Committee has issued an Official Document 533/UBND.TN
date 08/11/2011 to allocate plots 4, 7, 8, 11 of the sub-area 85 of forest and land for
Pom Om.
Through working with community, the difficulties and inconsistencies are detected
and effectively resolved on time. The results of the assessment, especially disputes
arose were consulted with villagers via village meetings in order to have solutions. For
instance, in the forest and land area planned for allocation to Pom Om community,
some households have already made perennial gardens before, such as planting palm
trees for thatching houses and acacia. Some villagers especially women have grown
cassava in the Ten Puc are. It is necessary to reclaim the land areas being cultivated by
above households and individuals into the community forestland. After several
community meetings, Pom Om agreed to these households to continue farming on
these areas. But, they are not allowed to transfer these lands, not expand into other
areas for cultivation. Entire these areas are entitled into the management of
community. When there is no need to use these land areas, the land users must return
to the community.

Map 2: Positions of the plots and current status of
forestland in Pom Om village, Hanh Dich commune on
the satellite image (SPOT 5) by 2010.Source: The
Central Joint Stock Company on Agriculture
Consultancy
In the process of assessment and
evaluation of the current status of
forestland planned to allocate to
Pom Om community, villagers
reclaimed that why the land for
rubber plantations of Que Phong
Rubber Plantation Farm is large
while the productive land of
villagers is small. Meanwhile,
more than 10 years ago since the
planning, this area has been not
managed well; so that the
situation of illegal exploitation of
forest is a serious problem.
Villagers in Muong Noc
commune who practice invasive
farming as cattle ranches
supported outsiders to do illegal
logging in the Pu Hoat National
Conservation Area. Therefore, on
the basis of people’s needs, Hanh
Dich Communal People’s
Committee proposed the Que
Phong district authority to
reallocate above areas for Pom
Om to manage. After several
meetings amongst the District
Communist Party Standing Committee, the District People’s Committee issued a
decision to reallocate such areas for Pom Om.
Step 5: Village meetings for discussion on the current status of forest and
land, and agree upon the content, approach and plan for forest and land
allocation
The Communal and District FLA Teams presented all results from step 3 to step 4 to
the entire community for comments and adjustment. Through discussion, the entire
community agreed upon a consensus and clarified the entire current status of
forestland resources management and use. Officials and local people discussed and
agreed the resolutions for conflicts mainly based on the customary law. The parties
discussed to unify content, planning and forestland allocation plans for the

community, including appropriate attention on integration between the customary law
and statutory law.
Before conducting measurement and demarcation, the FLA Teams held meetings with
villagers to develop detailed plans for implementing the allocation of forest and land
for community. On the basis of such meetings, villagers set up different groups, with
5-7 people each. These groups will conduct a range of topics such as boundary survey,
forest volume measurement and forest classification. The boundary survey group
involves villagers who are familiar with different terrains; know the specific names of
streams, mountains and ways in the region. The forest volume measurement group
includes those who know names of the trees. The forest classification group involves
villagers who are able to make planning for forest and land use and management.
These groups with the District and Communal FLA Teams make a detailed plan to
conduct field surveys and measurement of forest volume and structure in order to
develop the profile for allocation of forest and land for the community.
With above steps, the concept of community based FLA is clearly understood and
confidently applied by local actors. Accordingly, the values of cultural identity, belief,
customary law and knowledge of the community are respected and applied throughout
FLA. Villagers actively involved in every activity and stage of FLA.
Step 6: Field measurement and demarcation
The FLA Team, Que Phong Management Board of Protection Forest and villagers in
Pom Om made land boundary marks. With the local participation, the survey of forest
states in parcels such as 4, 7, 8, 11 of sub-plot 85 have completed. Forestland
boundaries and forest states are mapped and recorded. In which, the boundaries
between forestland of community and families, productive land and watershed forest
have been clearly defined. The areas of land of families for cultivation and forest
plantations are identified and calculated. Timber volume, timber species and other
forest trees were statistically recorded, classified and identified by scientific and Thai
names. The community forests are identified by two main categories such as mixed
timber bamboo and young forests after shifting cultivation. Then, a series of village
meetings were held in order to inform and consult the field survey results. Finally, the
FLA Team summarizes and synthesizes such results into a report – a basis for further
FLA steps.
The survey showed that, although the timber volume of forest is no longer significant,
but the species is very diverse. After a long-duration of being exploited and shifting
cultivation, the forest state has changed. Many species are started to re-generate, the
thickness of forestland soil has increased. For the Thai, these re-generated forest trees
are very valuable as materials for medicinal healing.

After surveying and measuring in the field, the FLA Team has drafted a plan for
management and use of the community forestland. This plan was afterwards consulted
among different village groups such as clans’ heads, women and youths. The fact
shows that there is a clear distinction in the process of production organization
between village groups. Normally women's groups specialize for farming and
collecting bamboo shoots while men are usually in charge of cutting timbers for
making houses. Elderly are more interested in spirit forest and watershed protection
forest. Therefore, the discussions of community forest planning through the group's
view somewhat reflect specific wishes and needs of the villagers.
The active participation of villagers has contributed to reduce human resources and
costs for technical advice. This is seen as a solution for the requirement mentioned in
the Article 5c, Section II of Circular 38/2007/TT-BNN which obliges to have external
assessment of the forest state. The participation of villagers, community
representatives and adjacent land entities to identify the actual boundaries help the
users to be confident during the process of management and usage. At the same time,
the problems and conflicts are detected and discussed, resolved on the spot, avoid the
unsettled problems and disputes arise in the future.
Step 7: Setting up community regulations on forest land co-management,
usage and sharing benefit amongst the users in Pom Om.
The FLA Team conducted records regarding the practices of forest and land
management and use in Pom Om. Then, the Team consulted with Pom Om village
leaders and key villagers to draft a community regulation in forestland management
and use. The regulation was also followed up the existing community based regulation
for forest management set up in 2006. The regulation is as well referred and reviewed
in accordance with the Circular 106/2006/QD-BNN of the Ministry of Agriculture and
Rural Development (MARD) on guiding the establishment of community regulations
in forest protection.
Five meetings were held with the participation of whole villagers to discuss and agree
up on rules for management and use of each type of the allocated community forest
land on the basis of customary law / traditional institution. Different village groups
which are responsible to manage and protect each type of the community allocated
forest are also established. Then, the community regulation on forestland management
and use is made in accordance with the villagers’ discussion, debate and agreement.
The draft regulation is afterwards submitted to the district authority for approval.
The importance of setting up the community regulation is practice bases and
community agreements on ensuring their livelihoods, the respect and maintenance of
sacred forests, protected forests and grazing areas. It is necessary to facilitate different

village sectors i.e. healers and women groups to discuss and form rules to manage and
use their forestland areas assigned by the community. As proposed by women group
as well as the needs of the community, the small land stripes within the community
forestland are planned for cassava cultivation to make the traditional wine. This land
is preserved, but not expanded.
The regulation reflects the cultural institutions of community in protection of
forestland through rules in planning, management and sanctions. The traditional self-
help institutions, namely ‘Phuong Hoi’ have been integrated into the community
regulation. Importantly, the Village Management Board for the community forestland
management includes elderly and clans’ heads. Such representatives are leaderships of
different ‘Phuong Hoi’. As long as the role of male representatives, gender equality is
paid much attention within the structure of Village Management Board. The provision
regarding contributions of villagers in forest protection is agreed in line with that of
the ‘Phuong Hoi’.
Step 8: In-door work and procedure preparation for official approval
The FLA Team completed a plan of forestland allocation, maps, land use planning and
community regulation on forest management and use, and other related documents in
accordance with the provisions of Circular 38/2007 and Joint Circular 07/2011 in
order to submit Que Phong People’s Committee for review and approval. Then, the
dossier is reviewed by the district competent authority. The review’s result is
afterward submitted to the district People’s Committee to issue the certificate of
forestland use right for Pom Om community.
As reported by the head of Que Phong District Office of Natural Resources and
Environment, the issuance of the certificate of forestland use right for Pom Om
community is different in terms of process compared with forestland allocation to
other entities i.e. families and organizations. The procedures for issuing the certificate
of forestland use right for are not yet incomplete, no specific and complete guidelines.
On the other hand, the implementation of forest allocation associated with forestland
allotment, mapping methods, map symbols, map content under the Joint Circular 07
require differences compared to the provisions of forestland allocations in the
previous legal documents / guidelines. There is no any clear provision in the legal
framework regarding issuing the certificate of forestland use right for the community.
The procedures applied for the case of Pom Om are implemented on the basis of
"flexibility" in order to complete the pilot on implementation of the Joint Circular 07.
This has caused the longer duration for completion of procedures of forestland
allocation to Pom Om community as up to 5 months. It is obvious that, with the
current incomplete legal basis, local communities alone like Pom Om cannot complete
all required dossier regarding forest allocation associated with forestland allotment

(the Joint Circular 07). Even, the local authorities at commune and district are not able
to make FLA records for forestland allocation to the community under the Joint
Circular 07 and Circular 38/2007/TT-BNN if there are no supports and advices of
external consulting agencies.
Step 9: Forestland allocation in the field
The forestland allocation in the field for Pom Om community is implemented with the
participation of different representatives including village leader, elderly, key farmer,
and village groups i.e. women and healers which are assigned to manage the
community forestland. Then, these representatives conducted boundary markers in the
field, and also signed the handover, received the decision and record regarding FLA.
The measurement, land boundary identification and forestland allocation in the field in
accordance to the land use right certificate are necessary to confirm the scope of rights
and responsibilities for all forestland users.
As reflected by Que Phong district officials, currently someone does not want to get
forestland. Some even sold the allocated forestland after allocation for ‘lowlanders’,
who have money. This means that there are people who do not really understand and
appreciate the value of forest land use rights. So, the forestland allocation in the field
is an opportunity for people to understand the value of forest land use rights.
Step 10: Organize a workshop for reviewing lessons learnt
The FLA Team and Communal Council on FLA prepared contents and plan for
organizing a workshop to review and withdraw lessons learnt from the pilot on forest
allocation associated with forestland allotment in Pom Om. Que Phong People’s
Committee hosted the workshop. The FLA team prepared a final report of the FLA
including lessons learnt regarding the contents, methods and plans of community-
based FLA.
This workshop is to not only draw meaningful marks for the completion of the pilot
on forest allocation associated with forestland allotment based on the community, but
more importantly is the opportunity to share the lessons learned. Moreover, the
workshop is to identify possibilities of replication of the pilot into other locations in
Que Phong. The shortcomings in the legal framework and enforcement of forestland
regarding the livelihoods of local communities, especially ethnic minorities are also
raised in the workshop with concrete policy recommendations.

3.5. Initial results
Through mapping the village, most of the village leaders and villagers understood
clearly the boundaries and current status of the forestland management, and
preliminarily identified challenges and problems possibly appeared. The community
forestland planning is openly defined, reasonable and specific for each functional area
within the community forestland. These areas are included in the community
regulation in forestland management, use and development.
Chart 5: Classification for different functional areas within Pom Om community
forestland
As the watershed area, namely ‘Nhot Huoi’ and Nhot Nam’, sacred forest ‘Hua Huoi’
and ‘Pu Ke’ of the plot e of lot 8; plot f of lot 14; plot b, c, g of lot 9 are situated in the
sub-area 85 with a total area of 123.16 ha. These are strict protected to maintain and
promote the traditional spiritual values and protect water resources. The areas of
regenerated forest, namely ‘Pa Lieng Ban’ belong to the plot d, e of plots 8; lot h, j of
plot 7. These areas all locate in the sub-area 85, with a total area of 23.39 ha for multi-
valued biodiversity; so that forests can become rich after the period of regeneration
and protection. The herbal medicinal forest on the foothills southwest of the Pu Huot
Mountain has an area of 5.75 ha. This forest locates in plots f of the sub-regional 85 is
for preserving herbal plants as well as traditional medicinal knowledge of the
community. Grazing area, namely 'Tung Lieng Quai’ in plot i, g of plot 8; lot h, i of
plot 14; lot a, b, c of plot 15 of the sub-area 85, with a total area of 37.2 hectares are
for raising livestock such as cattle, goats, pigs, poultry in accordance with the

traditional practices of the community. Agro-forestry production area, namely ‘ Din
Hay’ in lot o of plot 7; lot b,c,d of plot 14, lot b,g,i of plot 8; lot b,i,j,g of plot 9, with a
total area of 24.04 ha are for planting crops, perennial crops, forest trees, livestock,
poultry and aquatic. Cemetery area, namely ‘Pa Dong’ in lot a of plot 8 has an area of
1.78 ha. This area is shared with Pa Co village for burial ceremonies in accordance
with the Thai tradition. Each functional area is assigned and clearly described in the
community regulation, to help villagers to know, is what to do, what not to do (ban),
thus limiting their use of forest land for the wrong purposes, or to take advantage
logging and land acquisition in forest communities.
Hanh Dich commune officials and villagers in Pom Om had enabling opportunities to
involve in discussion and resolving problems related to the forestland boundary
between Pom Om community and Que Phong Rubber Plantation Farm, and between
the community and families whose cultivated land located in the community
forestland area. They are key actors for all decisions in the process of forestland
allocation. So, they understand and grasp the method on community based forestland
allocation as well as legal provisions within and after forestland allocation. With
knowledge and experience in forest management, conflict resolutions, Pom Om
villagers and leaders get confident to better make forestland planning, management
and utilization in the post-allocation. With the consensus of District/Communal
People’s Committee and villagers, the progress of forestland allocation is in reality
efficiently carried out. Que Phong District People's Committee has clearly defined
planning areas within Pom Om land boundary for the Que Phong Rubber Plantation
Farm and Hanh Dich commune to manage. This is an important basis for the
allocation of the sub-area 85 for Om Pom community. The clarification of the
boundaries between communities with the Que Phong Rubber Plantation Farm helped
to resolve the current problems regarding the area and boundaries, as well prevent
conflicts and overlapping boundaries arise in the future.
As of May 6/2012, the legal procedures for the pilot on forest allocation associated
with forestland allotment for Pom Om community has been fully completed. The FLA
Team has completed the FLA file for 11 lots in plots 58 of the sub-area 85 to allocate
an area of 426.52 ha of forestland for Om Pom community. This area is mainly the
sacred forest, watershed forest, common use forest and forest in the border with other
villages, communes. Four sacred forests, watershed forest with a total area of 123.15
hectares are respected and allocated for Pom Om community. This has contributed to
maintain the cultural spaces for the community to organize the traditional rituals to
pray the Forest Spirit, Land Spirit, Water Spirit, etc. while the natural resources
(water, forest and land) are protected in accordance to the Thai customs and
customary laws.

Map 3: Planning for forestland use in Hanh Dich commune. Source: Pom Om community, 2012

The herbal medicinal forest with an area of 5.75 ha in plot f of the sub-area 85 is
officially allocated to Pom Om community. Then, this forest is assigned by Pom Om
community to the Village Herbal Medicine Group for management and use. As a part
of the community forest, herbal medicine forest is referred in the community
regulation and plan for forest management. The rationalization of procedures for the
allocation of herbal medicine forest is also a key element to promote the process of
entitling the community right to forestland in Pom Om. The first step was to develop a
pilot on allocation of community forest under the Joint Circular 07/2011/TTLT which
demonstrates its feasibility and applicability to other locations with the same
conditions.
Thus, Om Pom has become the first community in Que Phong district to be officially
recognized its rights to use and manage forest land. Moreover, the customary law of
Pom Om is recognized by the district administration through the integration between
the traditional rules of the community in the community regulation in forest land
management and use. This regulation is a way to promote grassroots democracy in
which all community members actively involved and raised their voices throughout
the process of forestland allocation, management and use. On the other hand, the
regulation mentions the role of traditional institutions of the community; that is the
role of elders and representatives of the Village Herbal Medicine Group. These
representatives form a Village Management Board, which represents the entire
community to implement the community regulation in forestland management and
use. The plan on forest land use is built on the basis of local knowledge. This plan is
integrated into the overall planning of the commune.
Part V. Discussion
1. Inconsistency in the legal framework on forest and land
Although the government has issued the policies regarding allocation of forest and
land to the community, it has been not yet implemented or with very limited results in
reality. The main obstacles are the complicated requirements regarding documents and
procedures. The mandatory procedures relate to community meetings for agreement
on the forestland allocation application, plans on forestland management and use,
evaluation of the competent agencies to the records / profiles of forestland allocation,
and financial obligations, etc. (under clause 5, Section II, Circular 38/2007/TT-BNN).
Therefore, it is hard for local communities, especially in remote and ethnic minority
regions could fulfill all the above requirements.
Notably, the requirement relates to the identification of forest characters which is
conducted by the external consultant agencies; the allocation of forest must be

consistent with the planning of protection and development of forest, land use
planning or plans for the three types of forest; the requirement regarding the viability
of forest management plans of local communities (in point 5b, 5c, Section II, Circular
38/2007/TT-BNN) are reasons for district officials (if not willing) easily dismiss all
efforts of local communities in the process of preparing procedures to receive
forestland rights.
Without the commitment of the local government, an effort of the community, and
methodological support and funding of SPERI, the pilot on allocation of forestland in
Pom Om is hard to complete as described above. So, it is necessary to raise a question
with all the other communities, if there is no any above support whether the allocation
of forestland to the community is feasible or not?
Decision of the Prime Minister dated 3/6/2009 750/QD-TTg to approve the
development plan of rubber plantations up to 2015 with the vision until 2020 requires
environmental impact assessment, but does not compel assessment of socio-cultural
impacts. The decision clearly stated: "rubber development plan must be based on
market demands. Exploitation, and promote effectively the advantages of land, nature
in some areas for sustainable development". Moreover, it requires intensive
applications of techniques to increase productivity. Although, this decision
emphasizes conditions related to market and nature to meet the rubber demands, but
does not require social impact assessments. Human factors, sustainable livelihoods,
culture of the affected communities are not considered. To synchronize with the
requirements regarding livelihood security, poverty reduction, it is necessary to
specify a principle of rubber plantations, which is “to ensure productive land and
cultural space, living space (such as the sacred forests, livelihood forestland etc.) of
the affected communities. This should be confirmed not only for cash crops such as
rubber, but also for other projects i.e. hydropower dams and mining. On the other
hand, the technical application needs to be required to promote local knowledge of the
local areas, avoiding monoculture which could bring about long-term consequences
on the environment.
Circular 58/2009/TT-BNNPTNT dated 9/9/2009 on guiding the rubber planting on
forestland, which allows the conversion of degraded forests to rubber plantations.
Similarly, Decision 750/QD-TTg, this Circular does not require social impact
assessments. Article 4 mentions: "Where the forests with an area of less than 3
hectares with the greater reserves compared to that stated in the Clause 4 of Article 4,
Chapter II of this Circular, and are interspersed amongst forests are converted to
rubber plantations in order to ensure the continuity of ecological areas”. The fact is
that, the sacred forests which are normally narrow and located between
neighbourhoods or poor watershed forests, and productive land, would be targets for

rubber plantations. Quite often, the majority of business or corporate are sensitive to
profits, but the lack of understanding, respect and proper behave to the lives and
culture of local communities. If the sacred forests are cut down, it could cause the
endanger to the traditional cultures, and create conflicts between local communities
and business companies.
2. Inconsistency of forestland allocation in Hanh Dich
Due to the legal provision that the provincial people’s committee is assigned the right
to allocate forest and land for organizations and collective entities, communities in
Hanh Dich have not completed procedures for land allocation from 2002 to present.
So, on the basis of community consensus, TEW has to propose the solution which
temporarily allocates forestland without official land use right certifications for village
mass-organizations e.g. Youth’s Associations, Women’s Union, Veterans’
Association and Herbal Medicine Groups. Some forests are managed quite effectively
by the Herbal Medicine Groups. Forest areas which are temporarily allocated to
village mass-organizations are not shown to be effective in management and
protection. Even, some cases, heads of these organizations illegally transferred the
allocated forestland. In the tendency of asserting legal entities from the existing forest
land areas which are managed by the communal people’s committee (about 1,347.60
ha), local communities are disadvantage in terms of approaching the formal
procedures as well as financial obligation compared to business companies /
enterprise.
Although, there is still available forestland in Hanh Dich, the current ‘suspended land
use planning for Que Phong Rubber Plantation Farm and Pu Hoat National
Conservation Area has caused difficulties for forestland allocation to local
communities. The planned area for Que Phong Rubber Plantation Farm is still not
clearly defined. So, families in three villages in Hanh Dich are still not allocated forest
and land. On the other hand, forest and land allocation for households is in reality
implemented for one time with rare or quite long-time adjustments. Therefore, current
families could get land rights, but may be difficult for the young couples in the future
due to forestland were already allocated. So, the land use planning is required to
foresee the future need on land, especially productive land for the expansion of new
families in order to make an enough land reserve.
One of the main reasons for the delay in allocation of forestland for communities is
that local entities such as Que Phong Rubber Plantation Farm, Management Board of
Pu Hoat National Conservation Area and Que Phong Management Board of
Protection Forest are assigned to manage a large area of forest land. Another paradox
is that, despite management with a large area of forest land as such, but these entities

lack of human resources. This has led to severe deforestation in the areas of such
entities (Agriculture Electronic News and Tuoi Tre Electronic News in 2012). The
function of Management Board of Pu Hoat National Conservation Area is to manage
the special forest. However, in reality, this function is implemented by forest
protection office (forest ranger). The current structure in forest protection has created
a vicious circle in terms of responsibility. When asked, the communal people’s
committee said, forest protection is the responsibility of forest protection agency.
Whilst the forest protection agency ranger said, that is the responsibility of
Management Board of Pu Hoat National Conservation Area (on the basis of the
Decision 245/1998/QÐ-TTg of the Prime Minister dated 21/12/1998 on the
implementation of the responsibility of the State management at all levels to forest
and land).
Part VI. Recommendations
1. Related to the Legal framework
The forest and mountainous area primarily function for forestry development, so it is
completely different from agriculture in the plains. Forest has its protection function,
supplies energy and nutrition for the agricultural sector. The spatial separation
between nature and society is related to the geographical planning and functional
planning. Because of the differences and particularities of the mountain, it would be
inappropriate and ineffective if we apply rigidly the lowland agriculture mode which
makes the forestry spatial variations to become intensive agricultural production or
industrial parks.
There should be provisions in the legal framework to confirm the priority in allocation
of forest land for ethnic minorities. The current legal documents on forest land
allocation remain vague, and evenly arrange the priorities regarding land users.
Therefore, the business sector has more advantages to benefit the legal documents
than other entities i.e. local people and communities. For example, Circular
38/2007/TT-BNN and Circular 07/2011/TTLT guide the allocation of land to different
entities, but not made clear priority for communities and local people. To ensure that
ethnic minorities are able to escape poverty situation in a sustainable way, the local
governments need to implement effectively the policy on supporting residential land
and agricultural land by specific plans and activities. There should be regulations to
ensure the community forest land from the current suspended land use planning or or
forest land withdrawn from enterprise. The government needs to monitor and allocate
forest land for landless poor ethnic minorities in order to ensure their sustainable
livelihoods. Local people and communities must be prioritized to allocate forest and
land as they are primary forces in place for forest protection. If they are not entitled

the rights to forest, forest will be deforested. Simultaneously, there is a need to
systematize the planning of three types of forests and coordinate between receptor
different forest managers / users for these three types of forest a responsible and
transparent way.
Ensuring forest land for mountainous peoples and communities must be clearly
defined in the legal documents as their current standard of living is very low, whereas
they have been over many generations closely attached to forest. The expectation of
conversion of upland people to other jobs or work in industrial parks is not suitable
and feasible. In the trend on implementation of payment for environmental services
from forest, it is necessary to allocate forestland for upland residents in order to
improve and stabilize their lives via getting benefits from such services. If they are
entitled to get forestland rights and benefits from such above incentives, forests will
be protected effectively.
The Law on Land in 2003 (Clause 3 of Article 9), the Law on Forest Protection and
Development in 2004 (Clause 13 of Article 3) should be expanded to suit the trend of
development of social forestry in the mountains. It can refer to the concept of
'Cooperative' in according to Decree 151/2007/ND-CP dated 10/10/2007 of the
Government. The ‘cooperative’ with the endorsement of the communal people’s
committee, although it is not yet entitled the legal status but it is fully representative
and can be traded, self-reliance and self-responsibility. A community which is not
entitled the complete legal status can still be as equivalent to a 'cooperative'.
The legal framework should recognize the sacred forest of community which has
equal position with small-scale special-use forest. In fact, mountainous communities
have their own of knowledge systems and customary laws in classifying different
categories of forests for instance the sacred and cemetery forests (ghost forests),
watershed forest, use forests i.e. collecting bamboo shoots, firewood, medicinal herbs,
harvesting non-timber forest products, and forest land for rotational shifting
cultivation. Forest is living space and where local communities practice their
traditional cultures. Forest protection by spirituality and customary law is great
strength of the community, because it is associated with conscious, voluntary and
community cohesion. So the recognition, respect and promotion of the living space
and practices of the community meet the material and spiritual needs, and are
consistent with the policy on preservation and promotion of the traditional cultural
identities.
2. Related to policy implementation
The implementation of policy on allocation of forestland to local communities and
peoples is currently hampered as most of the community does not have the conditions

to completion of the procedures required. The local communities are almost poor, so
virtually do not have financial resources to pay for forestland allocation procedures (as
required by Point 5, Section II, and Circular 38/2007/TT-BNN). Moreover, many of
them are not able to write applications and procedures for forestland allocation,
because of the constraint of low education level. Therefore, it is necessary to not
considered requiring such communities to complete the complicated procedures and
pay financial obligations as other entities. The priority for allocation of forest land to
local communities must be evident in forest land-use planning, development planning
and the resolution of the Council of People's commune, district and provincial levels.
It needs to change the definition and understanding of "community". There should not
be confined to forest land allocation to communities associated with village units. If
the allocated forest is associated with the village unit and representative role of the
village head, it will be very difficult to clarify the responsibilities and rights of forest
owners and actual forest protectors with the village representative. The self-claimed
forestland areas by different clans or groups of families within the community should
be entitled the rights of management and use. Doing so will ensure the equality in
terms of forestland rights and benefit distribution between different land users within
the community.
The forest land allocation procedures under Circular 07/2011 need to be revised in
order to ensure the accessibility of the community. The state should clearly define the
synchronization between priorities in allocation for community with forest planning.
Moreover, the government should support finance for local communities to cover all
expenditures regarding forestland allocation. The legal aid without charge for poor
peoples and communities is necessary to help them to complete the legal procedures
for getting forestland rights. To reduce the budget for the consulting firms, there is a
need to change the approach in forest investigation i.e. forest volume identification. It
needs to clearly define the rights and responsibilities of peoples to participate in this
process with the support of technicians and advisory agencies.

Annex : Simplify the complex procedures for forest and land
allocation to ethnic minorities
With the supports of Social Policy Ecology Research Institute (SPERI), recently, Que
Phong District People's Committee, Nghe An province have signed the certificate of
the right to use 426,7 hectares of forest land for Pom Om village (the Thai ethnic),
Hanh Dich commune in compliance with laws and customs of the Thai ethnic.
However, during the implementation process, many inconsistencies, gaps in the legal
framework for forest and land has revealed. These should be adjusted promptly.
Inconsistencies in forest and land allocation
Although the State has issued the policy on forest and land allocation for ethnic
minorities, but in fact its result is very limited. In particular, the biggest obstacle is the
requirement of profiles, procedure which are too complex. According the Circular
38/2007/TT-BNN on guiding the sequence, procedures of forest allocation, to
complete a set of records it is required to have meetings among local authorities and
people to approve the application, the forest management plan after allocation,
assessment records, reports together with the records, minutes of forest granting in the
field and the financial obligations ... "A minority and commune government normally
do not or is very hard to fulfill all the above requirements. Regardless the ethnic
minority who face with language barriers, the above procedures are actually and
questions and insurmountable" – shared by Vice Chairman of Hanh Dich commune,
Mr. Luong Quoc Viet. He also said: If we did not have the support of funding and
methods of SPERI, the Forest and land allocation model in Pom Om would not able to
complete. The complexity of the procedures not only interferes with the local
authorities, but also for individuals and households. Mr. Vi Dinh Van, a coordinator of
the key farmers network in Hanh Dich which has been supported by SPERI said: The
requirements and procedures are too complex. While ethnic minorities are poor, so
almost of them do not have enough resources to cover expenses for forest land
allocation procedures as prescribed in Circular 38/2007/TT-BNN. On the other hand,
the education qualification of villagers in most of villages are very limited, so asking
them to write applications and prepare procedures to be considered for land allocation
is not possible.
In addition to the complexity of the procedures, the current forest and land allocation
also ‘prioritizes’ enterprises and business who are holding forestland, but does not pay
attention to local ethnic minorities. In Hanh Dich where has the large forestland area
per capita, but the ratio of land allocated to the people is too low. While the local
population lack of forest land (only allocated 0.65 ha / person), then the average of
forestland per official of the management board of protection forest is 1,243 ha, and
each staff of the Nghe An General Investment Joint Stock Company on Rubber
Development is allocated around 61.3 ha. This situation is not only happened in Hanh
Dich, but also popular in many other places. The main reason is that the legal
documents do not have the proper priorities for the ethnic minority land-users.

Ethnic minorities - first priority in forest and land allocation
Priority of forest and land allocation to ethnic minorities is a necessary as the current
standard of living of the ethnic minorities are very low. Moreover, upland agriculture
is completely different that in the plain due to it associates forestry and forestry
development. Therefore, forest and land allocation to households and individuals will
create conditions to assure production. In fact, after the allocation of land and forest,
there is an occurrence of different self-help groups which work relatively effectively
in a range of themes such as gardening, ecological forestry gardening like models of
Mr. Vi Van Nhat and Vi Van Thanh in Na Xai village or bio-diversity garden with
variety with the medicinal species of Mr. Ha Van Tuyen in Pom Om.
To do this, the priority on land allocation for local people needs to be clear in forest
land-use planning and lawful documents from the central to local levels. Accordingly,
it requires to simplify the procedural requirements in forest and land allocation and
flexibility in financial obligations as we cannot see and ask households and ethnic
minorities to have to complete the complex procedures and pay financial obligations
like the entities who competent in finance and educational qualification.
In addition, the ‘hanging’ plans have had direct impacts on the allocation of land and
forests for people. Although the State has policies and legislations to require
reorganization and renewal of state agro-forestry enterprise to return land to local
poeple and ensure residential and production land for ethnic minorities, but in Hanh
Dich and many other locations in Que Phong dsitrict, while lacking of land for
production, people are still allocated land because the forestland was planning on
"hanging" for Nghe An General Youth Volunteers Association Team 7– later
converted as Que Phong Rubber Plantation Farm. Plot No. 83 and 85 where are
watershed forests of Pom Om and other surrounding villages are being planned for
rubber plantations. Although the Que Phong Rubber Plantation Farm has not been
granted the land use right certificates, it still keeps these areas.
The implementation of pilot on forest and land allocation to the Thai community in
Pom Om village, Hanh Dich commune, Que Phong district revealed many
inadequacies in the legal framework for forest management. Amending and
supplementing proper legal documents, as well identify the priority of forest and land
allocation for ethnic minority groups and local people is an urgent task, contributing to
the socio-economic development, defense and security stability in mountainous ethnic
minority areas. At the same time it creates a local major force for effective and
sustainable forest protection.

Sources
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xuat/147/8477606.epi
2. Nghe An Online Newspaper, 2012, “Rừng đại ngàn vẫn ào ào bị đốn hạ”
http://www.baonghean.vn/news_detail.asp?newsid=87885&CatID=13
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