1. Introduction
Mountainous regions cover two-thirds of Vietnam's territory and are home to over 24 million people belonging to 54 ethnic groups, particularly communities of ethnic minorities whose lives are intimately connected to land and forests. These areas are also the primary focus of forestry activities. Therefore, the socialization of the forestry sector is not only a practical requirement in Vietnam but also aligns with global development trends.
The Land Law of 2003 and 2013, the Forest Protection and Development Law of 2004, and the Forestry Law of 2017 have provided legal frameworks for forest management through land allocation and forest allocation to communities. Local communities are now considered genuine stakeholders with established rights to land and forest use, as well as entitlements, obligations, and benefit-sharing mechanisms from forests. In some areas, land and forest have been allocated to communities as stable, long-term management entities. Practical experiences have shown that community-based forest management is a feasible model economically and socially, suitable for the traditional production practices of many ethnic groups in Vietnam. However, communities have only been granted limited rights and control over the allocated areas.
Thanh Hoa province's Thuong Xuan district is a mountainous area located in the western part of the province. The region's diverse terrain consists mainly of hills and mountains, with a large forested area covering 80% of the natural land. These forests play a crucial role in environmental protection and improvement, serving as protective forests at the headwaters of the Chu River basin, regulating water resources during both dry and rainy seasons. Due to the coexistence of multiple ethnic groups (Muong, Kinh, Thai, etc.) in Thuong Xuan district, forest management predominantly relies on local communities, particularly in the Xuan Lien Nature Reserve. This reserve is situated at the transition zone between the Northwest and North Central regions, boasting high biological diversity and a rich ecosystem composition. In recent years, the Xuan Lien Nature Reserve has implemented forest contractual arrangements with surrounding villages and communes.
However, practical implementation has revealed various existing issues in community-based forest management in the Xuan Lien Nature Reserve. Therefore, this study aims to investigate the current situation of community-based forest management in the Xuan Lien Nature Reserve, Thuong Xuan district, and propose effective solutions to contribute to community benefits.
2. Literature review
2.1. The formation process of community-based forest management
According to the report by Do Anh Tuan and colleagues, community-based forest management in Vietnam has been implemented since the 1980s. Initially, the form of community-based forest management was carried out by assigning forest management responsibilities to households. Later, this model was expanded and developed with two community-based forest management approaches applied in Vietnam, including forests assigned to communities for self-management and forests assigned to households, which can form associations to manage the forests.
2.2. Community-based forest management in areas near conservation and other areas
a. Similarities
- Focus on enhancing the role of local communities in natural resource management.
- Aim to ensure sustainability in forest resource exploitation and use.
- Require attentiveness and flexibility to ensure the effectiveness and sustainability of forest resource management.
b. Differences
- Community-based forest management in areas near conservation sites is usually stricter and more closely monitored than in other areas, as these areas are particularly sensitive and require sustainable forest resource protection. In contrast, forest management in other areas may be more flexible, depending on the specific needs and conditions of the community and forest resources.
- Areas near conservation sites often face more risks in forest management, such as violations of forestry and criminal laws, encroachment on conservation-planned areas, illegal logging, and the use of harmful chemicals. Therefore, close contracts need to be established between the parties to ensure the rights and obligations of each party in forest management. These contracts should ensure transparency, openness, adherence to deadlines, and strict enforcement. In contrast, in other areas, community-based forest management also requires transparency and openness but may not have strict legal regulations like in Nature Reserve.
- Areas near conservation sites have higher political and social influences due to their location and the level of government and international organization interest in forest conservation. Therefore, implementing community-based forest management in these areas may require closer collaboration with conservation support organizations and groups. In contrast, other areas may not face such political and social challenges.
2.3. Forests assigned to communities in nature reserve in Vietnam
a. Pu Hu Nature Reserve
Pu Hu Nature Reserve is located in Quan Hoa and Muong Lat districts, in the northwest of Thanh Hoa province, Vietnam, about 134km northwest of Thanh Hoa city.
In Pu Hu, community-based forest management is carried out through the establishment of groups and the formation of a forest management council, with members representing households and working together with the Management Board of Pu Hu Nature Reserve. These groups hold regular meetings to discuss forest management-related issues, make decisions, and propose appropriate solutions. Some activities carried out by the local communities in Pu Hu include forest monitoring, afforestation, timber harvesting, and selling forest products. However, all these activities are conducted under the supervision and guidance of the Pu Hu Nature Reserve Management Board to ensure that they do not harm the environment and ecology of the reserve.
The community-based forest management approach in Pu Hu has brought many benefits to both the local community and the environment. Through active participation in forest management, this model helps improve incomes for households while maintaining and protecting forest resources for future generations. However, to date, no community in the area has been granted a certificate of land use rights for forests. The Pu Hu Nature Reserve Management Board only provides forest protection contracts on an annual basis according to Government Decree No. 168/2016/ND-CP dated December 27, 2016.
b. Nam Kar Nature Reserve
Nam Kar Nature Reserve covers a total area of 24,555 hectares, with the core area located in Lak district, Dak Lak province, Vietnam. The reserve plays a significant role in protecting forest ecosystems, conserving endangered animal and plant species, and also serves as a watershed for the Mekong River.
The management board of Nam Kar Nature Reserve has collaborated with authorities at all levels and local communities to establish agreements and commitments to protect the forest. These agreements include not practicing slash-and-burn cultivation, hunting, trapping wild animals, and harvesting forest products that could negatively impact forest resources. Additionally, the activities of forest protection management stations throughout the region have achieved positive results. However, external support has been ineffective, and there is no common understanding of the purpose of forest resource conservation between Nam Kar Nature Reserve and local communities in the buffer zone. These communities still exert various adverse impacts on forest resources due to their unmet daily needs.
2.3. Lessons learned
Based on a comprehensive study of community-based forest management in several Nature Reserve in Vietnam, the following conclusions can be drawn:
- Community-based forest management has become one of the popular approaches worldwide and in Vietnam to manage forest land, contributing to the livelihood stability of ethnic minority communities who rely on forests.
- Village communities have established regulations for forest management and use. However, there is a need for more organized and equitable mechanisms for sharing the benefits derived from forests among community members.
- Forest management in many communities has shown clear environmental effectiveness, but economic effectiveness is still limited. Therefore, community-based forest management needs to balance economic feasibility, social equity, and environmental sustainability.
- Community-based forest management in Vietnam takes various organizational forms, including village-level, ethnic minority-based, and household group-based management. In practice, there is no single optimal form of management that applies universally but rather depends on specific community
3. Method
3.1. Data collection methods
a. Secondary data collection method
Relevant legal documents related to community-based forest management, as well as documents and materials related to land and forest allocation, leasing, and transfer to communities, were collected from the People's Committee of Thanh Hoa Province and various levels of state management agencies responsible for land and forest resources (such as the Department of Statistics, the Department of Natural Resources and Environment, and the People's Committees at the district and commune levels in Thanh Hoa Province).
b. Primary data collection method
Direct interviews were conducted with one leader and one forest management officer responsible for community-based forest management. Additionally, 60 households from five buffer zone communes participating in community-based forest management in the Xuan Lien Nature Reserve were interviewed.
These interviews provided information on the management process, policies, and methods of community-based forest management, as well as the challenges and limitations encountered during implementation. Furthermore, interviews with households in the buffer zone helped gain a deeper understanding of the motivations, needs, perspectives, and awareness of local communities regarding community-based forest management. Based on these findings, appropriate solutions can be proposed to enhance the effectiveness of community-based forest management and meet the communities' needs.
3.2. SWOT analysis method
The Strengths, Weaknesses, Opportunities, and Threats (SWOT) analysis framework was used to analyze community-based forest management in the Xuan Lien Nature Reserve, Thuong Xuan District, Thanh Hoa Province. The results of the analysis serve as an important basis for proposing solutions to strengthen community-based forest management in the Xuan Lien Nature Reserve.
3.3. Analysis and Synthesis method
Analyzing the results and evidence obtained during the study on community-based forest management in Xuan Lien Nature Reserve, Thuong Xuan District, Thanh Hoa Province, and then synthesizing them to propose more effective solutions for community-based forest management.
3.4. Descriptive Statistics and Data Analysis using SPSS Software
Summarizing, describing, quantifying, and analyzing data systematically and simply, evaluating important characteristics of the dataset quickly and efficiently.
4. Results and Discussion
4.1. Description of the Study Area
Thuong Xuan is a mountainous district located in the western part of Thanh Hoa province. It is situated 54 km west of Thanh Hoa city. Thuong Xuan shares borders with administrative units such as Bac Quang (Ha Giang province) to the north, Mai Son and Quan Hoa to the east, Thach Thanh and Bim Son to the south, Muong Lat and Tua Thanh (Dien Bien province) to the northwest, Song Ma and Ham Tan (Son La province) to the west. In terms of topography, the entire district gradually slopes from the northwest and west to the east and south. There are many mountain ranges, such as Chom Vin in Bat Mot commune, which reaches an elevation of 1,442 meters above sea level. The terrain is divided by rivers, including Khao River, Chu River, Dat River, and Dan River. There are numerous terraced hills and small-scale agricultural lands. The highland communes mainly consist of terraced rice fields that rely on passive irrigation and are prone to erosion. Thuong Xuan has a temperate climate, with cold winters and cool summers.
Xuan Lien Nature Reserve is located in the upper watershed of Chu River, within the administrative boundaries of five communes: Bat Mot, Yen Nhan, Luong Son, Van Xuan, and Thuong Xuan town, Thuong Xuan district (Thanh Hoa province). Xuan Lien Nature Reserve is evaluated as a biodiversity center representing the Northwest and North Central regions. The total area of Xuan Lien Nature Reserve is 27,668 hectares, including 19,800 hectares of strictly protected area, 7,848 hectares of ecological restoration area, and 20 hectares of service and administrative area. Xuan Lien Nature Reserve is renowned for its diverse and abundant forest flora and fauna, with characteristic evergreen tropical forests typical of northern Vietnam. The ethnic communities living around the Nature Reserve, mainly the Muong and Thai people, have preserved many unique cultural customs, lifestyles, and traditional practices. All the valuable natural and human resources provide a basis for the development of ecotourism and community-based ecotourism activities.
4.2. Forest Land Management Model in Xuan Lien Nature Reserve Changes Community Awareness of Forest Protection
Community participation in forest management and use has been established for a long time. With land and forest allocation policies and the implementation of various other policies, people's perception of the role of community-based forest management and land use has significantly changed. Survey data shows that the majority of residents believe that community-based forest management and land use play a significant role in protecting water resources (78.3%). Over 60% of respondents consider it very important for increasing income, but most people believe it is less important in terms of firewood and forest product exploitation.
Table 1. Community interview responses on benefits of participating in Community-Based Forest Management
Benefits of Participating in Community-Based Forest Management
|
Households (count)
|
Percentage (%)
|
Income generation
|
40
|
66,7
|
Water resource protection
|
47
|
78,3
|
Timber and firewood exploitation
|
3
|
5
|
Non-timber forest product exploitation
|
3
|
5
|
Source: Compiled by the author based on survey results
The research results indicate that community-based forest management and land use play a crucial role in water resource protection, ensuring water sources for production and livelihoods. Additionally, it contributes to income generation for community members. However, the revenue from firewood and timber exploitation in community forests is not significant and does not contribute much to household economies. Nevertheless, the benefits derived from community forests still hold importance for the local households.
4.3. Community-based forest management contributes to improving environmental quality
Changes in forest quality
The allocation of land and forests to community management, along with community-based regulations, has significantly influenced forest quality. Since being handed over to community management, forest areas have witnessed thriving vegetation with dense canopies and vibrant undergrowth. This is an important factor in reducing the impact of rainfall on the forest floor, mitigating the flow rate, limiting soil erosion, and enhancing the forest's water retention capacity. These visible changes can be observed through naked-eye observations and are reflected in the results of interviews with local residents, as shown in Table 2.
Table 2. Community assessment of forest quality
Forest Quality
|
Households (count)
|
Percentage (%)
|
Improved
|
58
|
96,7
|
Unchanged
|
2
|
3,3
|
Declined
|
0
|
0
|
Total
|
60
|
100
|
Source: Compiled by the author based on survey results
The survey results indicate that the majority of respondents from the village communities (96.7%) believe that forest quality has improved, with no one perceiving a decline in forest quality. This demonstrates that the allocation of land and forests to community management has contributed to enhancing forest quality.
Soil erosion reduction
Soil erosion is a process influenced by various factors such as climate (rainfall, wind, floods), and sometimes human activities (deforestation for agriculture, infrastructure development, etc.) that impact the land surface, resulting in the loss or displacement of topsoil, humus, layers of weathered rock, and sediment along slopes. Through interviews with local residents, indirect assessments of soil erosion can be made (Table 3).
Table 3. Community responses on the degree of soil erosion
Degree of Soil Erosion
|
Households (count)
|
Percentage (%)
|
Reduced
|
47
|
78,3
|
Unchanged
|
7
|
11,7
|
Increased
|
6
|
10
|
Total
|
60
|
100
|
Source: Compiled by the author based on survey results
Through naked-eye observations made by local residents, it can be observed that soil erosion has significantly decreased, especially in areas previously affected. Now, instead of barren land, the landscape is covered by regenerated forests, grass carpets, shrubs, and a thicker layer of organic matter (darker-colored topsoil).
The survey data reveals that 78.3% of respondents believe that community forests contribute to reducing soil erosion. This is evident in the absence or minimal presence of erosion channels in cultivated land and undisturbed topsoil. Only 10% of respondents consider that erosion has increased, attributing it to soil washouts in flower fields and strong soil erosion during heavy rainfall.
Improvement in water quality
Water sources for production and domestic use in the buffer zone of the Xuan Lien Nature Reserve largely depend on natural sources, mainly rivers and streams. These water sources have been subject to declining water quality due to chemical use in agricultural practices by local communities. The use of chemicals, especially herbicides, in agriculture at the upstream areas has resulted in pollution. However, after the handover of forest tenure to the community, their increased responsibility for forest management and protection has led to greater concern for forest conditions and associated ecosystems, including water resources. This has led to the implementation of forest protection measures such as afforestation, reforestation, fire prevention, and more sustainable forest exploitation. These actions help retain water within the forest and facilitate its supply to the community. Protected forests ensure the conservation and development of plant and animal species within them, which, in turn, helps maintain ecological balance and preserve water in both the soil and the forest. Consequently, it can improve the quality and the potential for the community to reuse water for production and daily activities.
Survey results show that over 80% of the population believes that the water source for production and daily activities has shown improvement compared to before. A small portion, less than 20% of the respondents, reported no change in the water quality, and there were no evaluations indicating a decline in water quality. This indicates that community-based management practices have indeed brought significant effectiveness in improving water quality for the local population. It is essential to continue and enhance these management efforts to ensure a sustainable water supply for the community's production and daily needs.
Table 4. Community respoonses on water quality
Water Quality
|
Water for production
|
Water for daily activities
|
Households (count)
|
Percentage (%)
|
Households (count)
|
Percentage (%)
|
Improved
|
50
|
83,3
|
51
|
85
|
Unchanged
|
10
|
16,7
|
9
|
15
|
Declined
|
0
|
0
|
0
|
0
|
Total
|
60
|
100
|
60
|
100
|
Source: Compiled by the author based on survey results
4.4. Factors influencing Community-based Forest Management at Xuan Lien Nature Reserve
Theoretical studies and direct surveys and interviews with two relevant local officials involved in community-based forest land management in Xuan Lien Nature Reserve revealed that factors related to legal regulations have a significant impact on the management and utilization of community-based forest land. These factors include regulations on forest land management, regulations on land and forest allocation to the community, regulations on benefits and financial support, rights and obligations of the community, and regulations and rules for community-based forest management.
The officials also highlighted the importance of natural and infrastructure conditions related to the allocated forest land. These factors, such as the scale of forest land area, distance from the community's residence to the allocated forest land, infrastructure, and particularly the quality and availability of forest resources, have a significant influence. Economic factors, such as household economic conditions, market for forest products, borrowing and utilization of loans by communities, are also of interest.
Table 5. Factors influencing Community-based Forest Management at Xuan Lien Nature Reserve
No
|
Code
|
Factors
|
Group 1
|
|
Legal Regulations (LR)
|
1
|
PL01
|
Enactment of legal documents
|
2
|
PL02
|
Implementation of legal documents
|
3
|
PL03
|
LR on land and forest allocation to the community
|
4
|
PL04
|
LR on types of forest land allocated to the community
|
5
|
PL05
|
LR on benefit issues
|
6
|
PL06
|
LR on support policies
|
7
|
PL07
|
LR on law violations
|
8
|
PL08
|
Conventions and agreements of villages/communities
|
Group 2
|
|
Natural and Infrastructure Factors
|
9
|
TN01
|
Scale of forest land area allocated to communities
|
10
|
TN02
|
Distance from the community's residence to the allocated forest land
|
11
|
TN03
|
Topography of allocated forest land
|
12
|
TN04
|
Social infrastructure (service system, market)
|
13
|
TN05
|
Technical infrastructure (transportation, irrigation)
|
14
|
TN06
|
Availability of forest resources
|
Group 3
|
|
Economic Factors
|
15
|
KT01
|
Dependence on forests by local residents
|
16
|
KT02
|
Market for forest products
|
17
|
KT03
|
Borrowing from banks and credit institutions
|
18
|
KT04
|
Utilization of community forest management funds
|
19
|
KT05
|
Sources of community forest management funds
|
Group 4
|
|
Social Factors
|
20
|
XH01
|
Indigenous knowledge of the community
|
21
|
XH02
|
Customs, traditions, beliefs
|
22
|
XH03
|
Role of forest rangers, agricultural officers
|
23
|
XH04
|
Role of other organizations (Farmers' Association, Women's Union, Youth Union)
|
Source: Compiled by the author based on survey results
One of the factors that receives special attention directly related to the communities is their indigenous knowledge, customs, traditions, and beliefs, as well as the role of other organizations in the community. These factors have a significant influence on community-based forest land management. Other factors, such as the level of education and age of laborers, receive less attention, which is consistent with previous studies. Since this is a form of community-based forest land management, these factors have less impact compared to other management approaches.
Exploratory Factor Analysis (EFA) Results
Specifically, the research team used Principal Components Analysis with Varimax rotation to analyze 4 independent factors comprising 23 observed variables. The first EFA analysis resulted in all observed variables being suitable and grouped into 4 factor groups: PL, TN, KT, and XH.
Table 6. Rolated Component Matrix
|
Component
|
1
|
2
|
3
|
4
|
TN03
|
.848
|
|
|
|
TN02
|
.840
|
|
|
|
TN04
|
.820
|
|
|
|
TN05
|
.723
|
|
|
|
TN01
|
.674
|
|
|
|
PL08
|
.625
|
|
|
|
PL06
|
.549
|
|
|
|
PL05
|
.525
|
|
|
|
KT03
|
.525
|
|
|
|
PL02
|
|
.870
|
|
|
PL03
|
|
.862
|
|
|
PL01
|
|
.805
|
|
|
PL04
|
|
.737
|
|
|
XH03
|
|
.722
|
|
|
KT04
|
|
|
.767
|
|
KT05
|
|
|
.759
|
|
XH01
|
|
|
.740
|
|
XH02
|
|
|
.739
|
|
XH04
|
|
|
.693
|
|
TN06
|
|
|
.601
|
|
PL07
|
|
|
|
.784
|
KT02
|
.503
|
|
|
.686
|
KT01
|
|
|
|
.684
|
The results indicate that the Bartlett's test yielded a P-value (sig. = 0.000) < 0.05, indicating that the observed variables in the factor analysis are statistically significant. The Kaiser-Meyer-Olkin (KMO) measure of sampling adequacy is 0.880, satisfying the condition (within the range of 0.5-1), indicating the suitability of factor analysis. The Total Variance Explained is 80.171%, which is greater than the required threshold of 50%, indicating that the four factors explain 80.171% of the data variation. The Eigenvalues of all factors are greater than 1, meeting the requirement.
4.5. SWOT Analysis in Forest Management Based on Community Participation in Xuan Lien Nature Reserve
In order to achieve sustainable forest management and conservation in Xuan Lien Nature Reserve, involving the local community in the forest management and protection process is an effective approach. SWOT analysis is an important tool for evaluating internal and external factors in Xuan Lien Nature Reserve, helping managers develop appropriate strategies to enhance strengths, address weaknesses, seize opportunities, and cope with challenges.
Below is the SWOT analysis of forest management based on community participation in Xuan Lien Nature Reserve.
Table 7. SWOT Analysis of Forest Land Management Based on Community Participation in Xuan Lien Nature Reserve
Strengths (S)
- Favorable land and climate conditions for forest land utilization.
- Potential for community-based forest management and utilization.
- Potential land resources for community-based management and utilization.
- Communities with longstanding traditions of land management and utilization.
- Forest land management and utilization based on community participation have contributed to improving income, especially for the poor, and have changed people's perception of the forest's role.
|
Weaknesses (W)
- Policies and laws related to forest land management and utilization lack specific regulations for the community.
- Limited issuance of land use certificates for forest land, restricting community land use rights.
- Low income from the forest, accounting for a small proportion of household income, leading to a lack of motivation and attention.
- Market for forest products is unstable.
|
Opportunities (O)
- Formation of linkages in the process of forest land management and utilization (co-management; linkages in the consumption of goods and services).
- Community-based forest land management and utilization is receiving more attention as it has proven effective in many localities.
|
Threats (T)
- Difficulty in expanding forest land areas assigned to communities.
- Future revenue from forest land is difficult to increase due to the increasingly scarce forest resources.
- Expanding the market for product consumption is challenging.
|
Source: Compiled by the author based on survey results.
5. Conclusion
Community-based forest management in Xuan Lien Nature Reserve is a long-standing land use method influenced by natural and socio-economic conditions in the communities residing in and participating in forest land management. Community-based forest management has been implemented in Xuan Lien Nature Reserve for a long time, with various communities involved, mainly the Thai and Kinh ethnic communities living in Thuong Xuan province.
In Xuan Lien Nature Reserve, forest land allocation has been carried out for 12 villages in five buffer zone communes, covering an area of 14,285 hectares (51.63% of the total forest area in the reserve). All communities participating in forest land management have established forest land management regulations, and local authorities annually disseminate information to the residents in these communities. The benefits derived from community forest land, mainly non-timber forest products, are distributed according to these regulations.
Community-based forest management in Xuan Lien Nature Reserve contributes to increasing the income of local residents and stabilizing their livelihoods. Although the average income from forest land is not high for households, it is still a significant source of income for those who heavily rely on the forest. The main reasons for the relatively low income include the decreasing direct forest resources, inadequate land management and utilization mechanisms, and limited development of alternative forest resources such as tourism and related services. However, community-based forest management has helped change the perception of local residents regarding forest land management.
In the process of community-based forest management in Xuan Lien Nature Reserve, there are favorable conditions such as climate, land availability, community traditions, local knowledge, and cultural practices. However, there are also limitations and challenges, including inappropriate policies and laws specifically targeting the community, as well as limited rights of the community. Additionally, there are challenges in addressing regulatory changes, revenue generation from community forests, and product market consumption. On the other hand, there are opportunities for community-based forest management, such as the attention from the Party, the State, political and social organizations, and the community, the awareness of the residents in the community, the linkages between communities, and market opportunities. These strengths, opportunities need to be leveraged and limitations, challenges need to be addressed for further development.
To enhance the effectiveness of community-based forest management, several integrated solutions should be implemented, including increasing income from community-based forest management, enhancing activities that change the economic conditions of the participating communities, improving policies and laws related to community-based forest management, utilizing local knowledge, and further strengthening the role of local authorities and other organizations within the community.
Nguyen Quang Hong, hongktqd@neu.edu.vn
Do Mai Linh, mailinh14062002@gmail.com
National Economics University, Hanoi, Vietnam
(International Conference ICSEED2023)
References
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