Effectiveness and efficiency of community-Based forest management in hoang lien national park, lao cai province

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JOURNAL OF FORESTRY SCIENCE AND TECHNOLOGY NO. 5 - 2017 161
EFFECTIVENESS AND EFFICIENCY 
OF COMMUNITY-BASED FOREST MANAGEMENT 
IN HOANG LIEN NATIONAL PARK, LAO CAI PROVINCE 
Nguyen Ha Anh1, Tran Thi Thu Ha2 
1,2Vietnam National University of Forestry 
SUMMARY 
Community-based forest management (CBFM) is a strategy aiming to improve livelihoods of forest user, 
reduce poverty, conserve natural resources, and promote good governance and decentralization by increasing 
the role of local people in governing and managing forest resources. Since 2004, Vietnam has started to adopt 
CBFM as an important land-use policy and applied in several mountainous areas, mostly for areas which have 
National Park. This study aims at assessing the efficiency and effectiveness of CBFM implementation in Hoang 
Lien National Park, Lao Cai province. The results showed that the current CBFM implementation in Hoang 
Lien National park is receiving more attention from local community than before. However, the participation of 
community just reaches moderate level associated with low educational and income level or local awareness of 
forest resources, which are the factors that influence CBFM efficiency and effectiveness. Solutions are also 
recommended and focus on raising local awareness to enhance people’s participation, increasing human 
resource capacity for management and supporting local incomes. 
Keywords: Community-based forest management, Hoang Lien National Park, Lao Cai province. 
I. INTRODUCTION 
A new phase in the development of forest 
policies and programs came into use in the 
1970s, which made significant progress to the 
present community-based forest management 
(CBFM) program and strategy, and since then 
become a popular intervention across Asia and 
Africa. CBFM is government-approved form 
of forestry practices involving direct forest 
users in common decision-making processes 
and implementation of forestry activities, and 
as such it requires decision-making autonomy 
to the direct forest users in setting objectives, 
local control in forest management and 
utilization, and ownership of the benefits of the 
forest (Bowler et al, 2012). It also can be 
considered as a state-community forest 
management strategy aiming to improve 
livelihoods of forest user, reduce poverty, 
conserve natural resources, and promote good 
governance and decentralization (Tapan K.N, 
et al., 2016). CBFM includes “initiatives, 
sciences, policies, institutions and processes 
that are intended to increase the role of local 
people in governing and managing forest 
resources” (RECOFT, 2013), then encourage 
indigenous community in protecting forests as 
well as help them to get benefit from those 
forest resources. 
CBFM emerged as a search for alternative 
and less contested approaches to forest 
management in parallel with a growing 
international interest in participatory 
development and linkages between land rights 
movements and the environmental movement 
(N.K. Menzies, 2003). According to Runge 
(1986), CBFM played an important role in 
nurturing scarce natural resources. Local 
communities have been managing forests for a 
long time,that is exploiting, sustaining and 
manipulating them for productive products 
(McDermort, 2009). They base their forest 
management in a traditional knowledge and 
own rules sufficient to sustain the biophysical 
condition of their forests resulting long-term 
ecological sustainability incompatible with 
locally set priorities (Hayes and Persha, 2010; 
Rutt et al, 2015). 
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Since 2004, after the 2003 Land law and the 
Forest Development and Protection law were 
amended, supplemented and enforced, CBFM 
was officially recognized as an important land-
use policy, with due consideration to local-
specific conservation and development 
requirements (UN-REDD, 2016). This model 
allows indigenous people to be forest owners 
associated with local authorities, or take part in 
forest contraction, replantation programs. After 
applied in several mountainous areas, it 
showed that CBFM model is suitable for 
indigenous people’s knowledge, traditional 
customs and ensuring the livelihoods of local 
people, besides managing, conserving, and 
developing forest resources. 
The study was conducted in Hoang Lien 
National Park, one of many national parks that 
have implemented CBFM policy to increase 
community role in forest protection and 
management, and have got some achievements. 
Two communes selected as study sites are San 
Sa Ho and Ta Van. The overall objective of the 
study is to improve the efficiency and 
effectiveness of community-based forest 
management in Hoang Lien National Park, Lao 
Cai province with the specific objectives are: (i) 
to assess the current situation of forest 
protection and management in Hoang Lien 
National Park; (ii) to assess the current 
situation of community-based forest 
management in Hoang Lien National Park; (iii) 
to determine factors that influence on 
efficiency and effectiveness of community-
based forest management in Hoang Lien 
National Parkand (iv) to propose solutions to 
improve efficiency and effectiveness of 
community-based forest management in Hoang 
Lien National Park. 
II. RESEARCH METHODOLOGY 
Secondary data about Hoang Lien National 
Park geographic condition, a current status of 
fauna and flora biodiversity, forest areas; 
economic and social condition of surrounded 
communes; policy system were collected from 
Hoang Lien District forest protection (DFP) 
and People’s committee of two selected 
communes. 
The two communes were selected for 
primary data collection are San Sa Ho and Ta 
Van because of their representation in term of 
socio-economics and natural conditions for the 
region. These communes also play an 
important role in forest protection and 
management in Hoang Lien National Park. The 
primary data were selected from several 
sources: (i) Households survey in 2 communes 
San Sa Ho and Ta Van, each commune 
interviewed 50 households; (ii) Fifteen semi-
structured interviews with local government 
officers from commune, district and provincial 
levels; (iii) Two focus group discussons (FGDs) 
with farmers each commune in order to discuss 
more about the issues of the constraints and 
challenges in implementing sustainable land 
use and recommendations to overcome these 
challenges. 
III. RESULTS 
3.1. Current situation of forest protection 
and management in Hoang Lien National 
Park 
a. Assessing forest resources. 
Forest vegetation in Hoang Lien National 
Parkis is divided into 4 main types: Dense 
tropical evergreen forests has 196.01 ha of 
total area (account for 0.68% of natural area); 
Subtropical evergreen forests total area about 
12,329.29 ha (43% of natural area); Humid 
temperate rainforests is 15,394.86 ha, more 
than 54% of natural area and temperate forest 
has 692.7 ha (about 2.4% of natural area). 
Flora: About 2,847 vascular plant species 
belonged to 1,064 orders and 226 families; 113 
species are listed in Vietnam Red Book, 34 
species are in Red Data Book. Especially, there 
are 6 species are listed as prioritized protection 
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according to Degree 160/2013/ND-CP 
including Abies delavayi, Berberis julianae, 
Coptis quinquesecta, Coptis chinensis, Panax 
bipinnatifidum and Panax stipuleanatus. 
Fauna: There are 555 vertebrate species 
have been found including 96 mammal species, 
346 bird species, 63 reptile species and 50 
amphibians species. In which, 60 species are 
listed in Viet Nam Red book (1992), 33 
species are in IUCN Red List, 5 endemic bird 
species and other 25 bird species which only 
live in Hoang Lien Son mountainous area. 
Table 1. The types of forest land within Hoang Lien National Park area 
Type of land Area (ha) Percentage (%) 
Natural forest 24,857 87.2 
Plantation forest 256.7 0.9 
Non-forest land 3,028.6 7.5 
Land for other purposes 1,251.6 4.4 
Total 28,509 100 
(Sources: Report of Hoang Lien DFP, 2016) 
b. Current situation of forest protection and 
management in Hoang Lien NP 
During 2007-2009 periods, Hoang Lien 
National Park has built 8 ranger stations in 4 
communes San Sa Ho (2 stations), Ta Van (2 
stations), Lao Chai (1 station), Ban Ho (1 
station), Fansipan mountain road (2 stations), 
and 4 watchtowers. Boundaries between 
different forest types are defined and fully 
molded, core zone is divided into many 
subzones and managed by forest rangers. 
Hoang Lien National Park management 
board has strengthened law enforcement, 
regularly patrols the forests, normally every 
month, as well as intensifies forest inspection 
in order to prevent illegal trading of forest 
products such as timber or wild animals. 
According to the report of Hoang Lien DFP, 
the number of violation of Laws of forest 
protection and development tends to decrease 
from 2014 to 2016. Illegal transport of forest 
products reduces nearly by half compared to 
2014 whereas the number of illegal 
deforestation increases up to 7 cases in 2016. 
In general, forestry laws violations decrease is 
the results of forest protection efficiency and 
effectiveness. Table 2 presents the detailed 
number of violations in recent 3 years. 
Table 2. Number of law violation cases 
Years 
2014 2015 2016 
Illegal transport of forest products 36 17 20 
Illegal deforestation 1 2 7 
Illegal forest exploitation 2 1 0 
Illegal trading 4 3 2 
Violation of fire prevention regulations 3 0 2 
Violation of general regulations on forest protection 6 13 2 
Total 52 36 33 
(Source: Report of Hoang Lien DFP, 2016) 
Besides, Hoang Lien National Park also 
focuses on raising people’s awareness by 
education and training about forest protection 
laws organizing by Environmental Education 
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and Services Center. They usually hold 
meetings with various forms suitable for 
customs and habits of ethnic people such as: 
using ethnic language, banners or posters to 
propagate; organizes contests to learn about 
Law of forest protection and development for 
many years, etc. Moreover, Hoang Lien DFP 
also informs to students from primary to high 
school about forest protection through 
meetings, extra class activities or practical 
experiences, etc. Each year, they have about 40 
– 70 meetings with thousands of people living 
in core zone and buffer zone attending. Overall, 
thanks to Hoang Lien DFP as well as local 
government’s efforts, people’s awareness has 
been improved and they start actively 
participating in forest protection, management 
and development scheme, and programs at the 
local level. 
Moreover, Hoang Lien DFP also pays 
attention to genetic resource conservation 
through rescue and reintroduces wild animals 
to their natural habitat, propagate many 
valuable and rare plant species, mostly 
endemic species and all those work is in charge 
by Center for Rescue and Conservative 
Organism (CRCO). After 15 years since 
establishment, CRCO has received 103 cases 
of rescue wild animals with 256 individuals 
belonged to 57 species; 07 cases of plant 
rescue belonging to 7 species with the total 
individuals up to 35.120 trees. 
3.2. Assessing the efficiency and 
effectiveness of CBFM in Hoang Lien 
National Park 
a. Community participation in forest 
protection and management 
Table 3 presents the participation level of 
indigenous community based on assessment 
criteria of Hosley (1996), with 7 levels of local 
participation from low to high. 
Table 3. Participation level of local communities in forest protection and management 
Participation level 
Local people take part in management 
activities 
N % 
Engaged participation 5 5 
Passive participation 6 6 
Participation in information giving 44 44 
Participation for material incentives 29 29 
Functional participation 5 5 
Interactive participation 7 7 
Self-mobilization 4 4 
(Source: Field survey by the authors, 2017) 
The results shows the participation level of 
indigenous people in Hoang Lien National 
Parkare at level 3 – participation in 
information giving with the highest number of 
respondents of 44 or 44%. It means that there 
are still many people who only participate in 
forest protection and management scheme by 
answering questionnaires given by project’s 
staffs, not really involve in forest protection by 
actions. There were 29% of interviewees said 
that they were paid for participating in forest 
protection and tree plantation. The percentage 
of interactive participation and self-
mobilization is 7% and 4% respectively; those 
numbers need to be increased for more 
efficient forest protection. 
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b. Assessment of efficiency and effectiveness 
of CBFM 
Hoang Lien DFP has been showing a lot of 
efforts in implementing CBFM since 2012. 
According to Decision No.116/QD-TTg, the 
indigenous community living inside national 
park area and Hoang Lien DFP can collaborate 
within forest co-management to share 
responsibilities and benefits of forest 
management. 
Every year, about 50 – 70 ha of replantation 
forest, mostly Fructus docyniae indicae, are 
planted to restore forest land lost by wildfire as 
well as provide agricultural products for 
poverty reduction and reduce pressure on 
forest resources. More than 2000 ha of forest 
are being zoned off and become mature forest 
after 2 – 3 years with the efforts of both 
indigenous community and Hoang Lien DFP, 
contribute to the increase of forest cover as 
well as forest quality. 
Moreover, a policy of payment for forest 
environmental services (PFES) has been 
applied and after 5 years, it makes significant 
changes in forest protection and management. 
Since 2012 up till now, more than 8,500 ha of 
forest land are protected by people in 19 
hamlets through forest contracting each year, 
associated with strictly control and 
management from government and the national 
park management board, therefore 
indiscriminate logging is prevented. There are 
2146 households with more than 50% of poor 
ones have been joining in forest protection 
contracting and receiving payment from PFES 
by contributing efforts to forest protection. The 
total payments for local community have stable 
increase each year from 2012 to 2016, it is 
shown in the table 4. 
Table 4. Total payments for PFES from 2012 to 2016 
Year 
Indicator 
2012 2013 2014 2015 2016 
Payment for 1 ha 
(VND) 
137,000 191,000 256,000 327,000 267,000 
Forest contracting 
areas (ha) 
5,618.43 5,618.43 8,573.3 ... hnic 
group so it might be easier in setting for a 
common goals as well as managing forest 
resources. On the other hand, Ta Van 
commune has 2 ethnic groups: H’mong and 
Giay, so the group components are more 
complex with different interests over forest 
resources. Through the interview with foresters 
in charge of Ta Van village, they said that most 
of forest violations are caused by H’mong 
people, not by Giay people. It makes the 
implementation of forest protection and 
management in general and CBFM, in 
particular more difficult, since people living 
within commune do not have the same 
livelihood strategy and interests over the forest 
resources. 
The educational level also influences the 
efficiency and effectiveness of CBFM 
implementation. Mbwambo (2000) argued that 
education has a direct influence on people’s 
participation in natural resources management 
and promotes sustainable utilization of the 
resources. Through the survey, the study found 
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that 38% of interviewed people just pass 
primary education, the percentage of people 
who took secondary and tertiary education are 
24% and 20% respectively, and 18% of them 
are illiterate. Low educational level leads to 
many difficulties during conducting CBFM in 
local areas, such as low awareness of forest 
protection, ethnic people do not know 
Vietnamese so they cannot fully understand 
while attending education programs about 
forest protection; or do not know effective 
agricultural practices to produce higher crop 
yield for improving income to reduce the 
pressure on forest resources. 
Level of income is also a factor that may 
affect the efficiency of CBFM implementation. 
Recently, the percentage of poor households 
has been decreasing due to agricultural 
development support programs and new 
income source from CBFM, however, people 
still have to deal with unfavorable weather 
conditions and crop diseases that make 
unstable crop yields, associated with small area 
of agricultural land which cannot fulfill people 
needs, then lead to income reduction. 
Eventually, although forestland in Hoang Lien 
National Park is special-use forests, indigenous 
have no choice but have to go into forest 
searching for NTFPs such as bamboo shoots 
and mushrooms. 
During CBFM implementation, economic 
incentives play a quite important role which 
affects directly to the participation of the 
community. Stanley (1991) emphasise that 
income generated from the forest serves are a 
crucial incentive to mobilize community 
protection of the environment or according to 
Baland and Platteau (1996), villagers are 
usually reluctant to participate in local CPR 
management efforts if they do not receive 
immediate and adequate compensation for the 
sacrifices entailed, whether these sacrifices 
take in the form of restraint in using the 
resource or of investment in resource-
preserving infrastructure. 
On the other hand, about the sources of 
information about forest protection programs 
that people can receive, most of the 
respondents said they were informed by forest 
rangers or staffs from local government, 
account for 91% and 85% respectively, not 
often got from TV or other social media. It 
shows that there is a good communication 
between government and local community in 
forest co-management process, usually, people 
can get the information directly from forest 
rangers. 
Table 6. Sources of information about forest protection and management projects 
Information sources 
Usually Often Rare No information 
N % N % N % N % 
Local government 85 85 9 9 6 6 0 0 
National Park 
Management Board 
91 91 5 5 4 4 0 0 
TV/social media 0 0 16 16 58 58 26 26 
Others 0 0 21 21 70 70 9 9 
(Source: Field survey by the authors, 2017) 
3.4. Opportunities and challenges of CBFM 
implementation 
a. Opportunities 
In recent years, forestry policies has 
affected positively to forest protection and 
management activities. It creates motivation 
for local community to participate in forest 
protection programs, provides economic 
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JOURNAL OF FORESTRY SCIENCE AND TECHNOLOGY NO. 5 - 2017 168
incentives and technical support for 
agricultural development, make stable incomes 
to reduce pressure on forest resources. Forest 
land allocation and contracting as well as 
PFES policies continue to develop and get 
benefits according to national regulations. 
Since local livelihood depends on the forest, 
people living there have the basic knowledge 
that related to forest protection and 
development, such as forest topography, plant, 
and animal classification, forest land use. They 
also contribute a huge potential labor source 
for forest protection activities, therefore, 
guidance and technical training about forest 
resources protection and development for the 
local community is very important. 
Local government is having more 
opportunity to receive funding support from 
local and international NGOs programs for 
sustainable agricultural development and 
resource conservation. Those programs are 
running with the aim of creating jobs and 
improving sustainable income, then reduce 
pressure on natural resources and help preserve 
local biodiversity. 
b. Challenges 
During the implementation of CBFM, 
foresters meet many difficulties, including low 
educational level, the difference in language 
and culture among ethnic people and foresters. 
They also lacking essential equipment and 
facilities; human resource, especially skillful 
staffs, is not enough for effective management. 
With the programs for supporting local 
livelihood or conservation programs, there is a 
possibility of fund withdrawal or fund lacking 
while conducting projects, due to state’s 
limited budget for running many programs at 
the same time. 
3.5. Propose solutions to improve efficiency 
and effectiveness of CBFM in Hoang Lien 
National Park 
CBFM implementation in Hoang Lien 
National park have reached some 
achievements and gradually got more attention 
from the local community, but it still needs 
much more efforts from Hoang Lien National 
Park Management board and local government. 
To increase the efficiency and effectiveness of 
CBFM in the local area, some following 
solutions are proposed. 
Firstly, focus on raising local awareness of 
forest protection and management. Basic 
knowledge of forest resources protection 
should be brought into primary and secondary 
education curriculum, including both lectures 
in class and outside activities to raise students’ 
awareness, orient which ways they can do to 
help protect forest resources. More meetings or 
education and propaganda programs should be 
organized at local level to attract the attention 
of the whole community, with printed 
materials such as posters, leaflets, guidelines 
handed to every household in order to improve 
their awareness of forest protection and 
management; encouraging people to take part 
in forest fire prevention, forest replantation 
programs; sign annual contracts with District 
Forest Protection with the aim of maintaining 
forest resources. 
Secondly, local government, as well as 
Hoang Lien DFP need to co-operate to 
continue supporting for local’s income sources 
by carrying more agricultural development 
support programs attached to poverty reduction 
policy, with the aims of sustainable 
agricultural production and reducing pressure 
on forest resources, technical support is also 
important in order to use effectively land and 
natural resources such as agricultural, forestry 
and small processing techniques. Those 
programs must be suitable for the local 
economic condition in order to bring as many 
benefits as possible for the community. 
Moreover, the allocation and forestland 
contraction need to be continuously conducted 
with expanded forest area and higher payment 
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JOURNAL OF FORESTRY SCIENCE AND TECHNOLOGY NO. 5 - 2017 169
from PFES program to improve not only 
people income but their awareness. In order to 
do that, there is a need to enhance policies and 
institutions that would enable financing for 
extension services on CBFM implementation. 
Furthermore, local government should focus 
more on ecotourism development to promote 
the potential of tourism resources, contribute to 
income improvement, increase people 
awareness and reduce pressure on forest 
resources. 
Thirdly, updating staff skill who are in 
charge of CBFM implementation to improve 
management quality and help them effectively 
communicate with the local community, since 
the continuity of good relations between 
forestry staff and local people is vital to have 
sustainable management. In order to do that, 
all staff members should be trained about how 
to communicate and co-operate with local 
people, through training courses and 
exchanging of knowledge and experiences. 
Besides, capacity building among villagers is 
also be concerned, the importance of it to the 
attitude change for stakeholders. Training for 
capacity building and competence 
development of the villagers creates immediate 
interest of the people to participate in forest 
management activities. 
Finally, besides depending on state funds, 
other funding sources from local and 
international NGOs should be searched and 
called for investment, not only financial but 
also technical support, to enable the continuity 
of CBFM implementation as well as extension 
services or running income support programs. 
IV. CONCLUSION 
CBFM implementation in Hoang Lien 
National Park have reached some 
achievements and got more attention from the 
indigenous community; many agricultural 
development support programs are conducted 
to create jobs and improve sustainable income, 
and then reduce pressure on natural resources. 
The forestland allocation and contraction is 
also enhanced, each year there is more than 
8,500 ha of forest land are allocated and 2,000 
ha of forest are replanted. 
The survey results shows the participation 
level of local people, although people’s 
awareness is raising, there is still a part of 
indigenous community who just participate in 
forest protection and management by 
answering questionnaires given by staff, not 
really involve in the scheme, and there are 
more than 30% of respondents are participating 
for material incentives, such as payment for 
forestland contracting or PFES program. 
However, not much interactive participation 
and self-mobilization are recorded through the 
survey. 
The factors that influence the efficiency and 
effectiveness of CBFM implementation are 
educational level, level of incomes and the 
sources of the information about forest 
protection program. In particular, since 
educational level and level of income are still 
quite low so they may have negative effects on 
the awareness and behavior of people about 
forest protection. However, there is a good 
communication between community and 
government because most of information 
people get come from foresters and staffs. 
The research has proposed some solution to 
improve efficiency and effectiveness of CBFM 
such as raising people’s awareness by 
propaganda and education about Laws of forest 
protection and development; supporting for 
improving local’s livelihood; paying more 
attention on ecotourism development; 
increasing the availability of human resource 
and update staff skills to improve management 
quality and calling for international investment. 
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HIỆU LỰC VÀ HIỆU QUẢ CỦA HOẠT ĐỘNG LÂM NGHIỆP 
CỘNG ĐỒNG Ở VƯỜN QUỐC GIA HOÀNG LIÊN, TỈNH LÀO CAI 
Nguyễn Hà Anh1, Trần Thị Thu Hà2 
1,2Trường Đại học Lâm nghiệp 
TÓM TẮT 
Lâm nghiệp cộng đồng là chiến lược hoạt động nhằm hướng tới cải thiện sinh kế cho người dân sống phụ thuộc 
vào rừng, giảm nghèo, bảo tồn tài nguyên, thúc đẩy quản trị tốt và phân quyền thông qua vai trò của người dân 
địa phương trong quản lý và sử dụng tài nguyên rừng. Nghiên cứu này nhằm đánh giá hiệu lực và hiệu quả của 
hoạt động lâm nghiệp cộng đồng ở Vườn quốc gia Hoàng Liên, tỉnh Lào Cai. Kết quả nghiên cứu cho thấy hoạt 
động lâm nghiệp cộng đồng hiện nay ở VQG Hoàng Liên đã nhận được sự quan tâm của người dân nơi đây. 
Tuy nhiên sự tham gia của cộng đồng chỉ ở mức độ trung bình do hạn chế về trình độ giáo dục, thu nhập và 
nhận thức về tài nguyên rừng, là những yếu tố ảnh hưởng đến hiệu lực và hiệu quả của hoạt động lâm nghiệp 
cộng đồng. Các giải pháp đề xuất tập trung vào nâng cao nhận thức của người dân nhằm thúc đẩy sự tham gia, 
nâng cao năng lực trong quản lý và hỗ trợ sinh kế cho người dân địa phương. 
Từ khoá: Lâm nghiệp cộng đồng, tỉnh Lào Cai, Vườn quốc gia Hoàng Liên. 
Received : 08/9/2017 
Revised : 10/10/2017 
Accepted : 19/10/2017