The Governance Capacity of Forest Land Allocation Policy in Vietnam

The governance capacity of forest land allocation policy in Vietnam Thi Kim Phung Dang Thesis committee Promotor Prof. Dr B.J.M. Arts Professor of Forest and Nature Conservation Policy Wageningen University Co-promotor Dr I.J. Visseren-Hamakers Assistant professor, Forest and Nature Conservation Policy Group Wageningen University Other members Prof. Dr A.P.J. Mol, Wageningen University Prof. Dr R.G.A. Boot, Utrecht University, Netherlands Dr Y. Yasmi, Food and Agriculture Organization, Bangkok, Thailand Dr M.W. van der Zouwen, KWR Watercycle Research Institute, Nieuwegein, Netherlands This research was conducted under the auspices of the Wageningen Graduate School of Social Sciences (WASS) The governance capacity of forest land allocation policy in Vietnam Thi Kim Phung Dang Thesis submitted in fulfilment of the requirements for the degree of doctor at Wageningen University by the authority of the Rector Magnificus Prof. Dr M.J. Kropff, in the presence of the Thesis Committee appointed by the Academic Board to be defended in public on Wednesday 10 September 2014 at 1.30 p.m. in the Aula. Thi Kim Phung Dang The governance capacity of forest allocation policy in Vietnam, 212 pages. PhD thesis, Wageningen University, Wageningen, NL (2014) With references, with summaries in Dutch and English ISBN 978-94-6257-074-0 CONTENTS List of figures ....................................................................................................................................vi List of tables ....................................................................................................................................vii List of appendices ............................................................................................................................viii Abbreviations ...................................................................................................................................ix Chapter 1. General introduction ....................................................................................................1 Chapter 2. Changing forestry discourses in Vietnam in the past 20 years ......................................27 Chapter 3. A framework for assessing governance capacity: an illustration from Vietnam’s forestry reforms ..................................................................................49 Chapter 4. The institutional capacity for forest devolution: the case of forest land allocation in Vietnam ..................................................................................................71 Chapter 5. Forest land allocation in Vietnam: from rhetoric to performance ................................95 Chapter 6. Synthesis and conclusions .........................................................................................127 References ......................................................................................................................................155 Summary ......................................................................................................................................177 Samenvatting ................................................................................................................................183 Appendices ....................................................................................................................................189 Acknowledgements .........................................................................................................................197 Scientific Publications ....................................................................................................................199 Completed training and supervision plan ........................................................................................200 Funding ........................................................................................................................................201 v FIGURES Figure 1.1 Nested case studies on the FLA policy in Vietnam .........................................................17 Figure 1.2 Location of the three cases .............................................................................................21 Figure 2.1 Structure of the policy discourse analysis .......................................................................32 Figure 3.1 Conceptualization of ‘governance capacity’ ....................................................................56 Figure 4.1 Study areas ....................................................................................................................80 Figure 5.1 A policy arrangement .....................................................................................................99 Figure 5.2 The three cases shown on a map of Vietnam ................................................................102 vi TABLES Table 1.1 Overview of the two FLA instruments for different actors and forest types .......................7 Table 1.2 Four dimensions of a policy arrangement ........................................................................14 Table 1.3 Overview of key informants in semi-structured interviews ..............................................19 Table 2.1 Comparison between agricultural land-use rights and forest land-use rights ....................38 Table 3.1 The governance capacity framework ...............................................................................57 Table 3.2 FLA bundles of rights .....................................................................................................61 Table 4.1 The framework for assessing FLA institutional capacity ..................................................77 Table 4.2 The three case studies ......................................................................................................79 Table 4.3 Codification of rights in the three cases ...........................................................................83 Table 4.4 Allocation of forest lands to different actors ....................................................................86 Table 4.5 Overview of FLA institutional capacity in the three case studies ......................................90 Table 5.1 The framework for assessing FLA governance performance ...........................................100 Table 5.2 FLA recipients’ rights regulated by the Decision No 08/2001/QĐ-TTg .......................104 Table 5.3 FLA recipients’ practising of rights ...............................................................................107 Table 5.4 Changes in the area and quality of forests (ha/%) from 1999 to 2010 under the FLA policy ...113 Table 5.5 Sources of income from FLA.........................................................................................115 Table 5.6 Recipients' income (US$/household/year) from FLA ....................................................116 Table 5.7 Recipients' income (US$/household/year) from forests and from intercropping ............117 Table 5.8 Overview of FLA governance performance ....................................................................120 Table 6.1 The governance capacity framework ..............................................................................134 Table 6.2 The governance capacity of the FLA policy ...................................................................142 vii APPENDICES Appendix 1. Background information on survey respondents ......................................................189 Appendix 2. Guiding questions for semi-structured interviews .....................................................190 Appendix 3. The questionnaire used in the survey ........................................................................191 viii ABBREVIATIONS Anon Anonymous ASEAN The Association of Southeast Asian Nations CADViet The Training Center CADViet Dak Lak PPC The Provincial People’s Committee of Dak Lak province DARD The Department of Agriculture and Rural Development DFP The Department of Forest Protection of Vietnam DNRE The Department of Natural Resources and Environment DoF The Department of Forestry of Vietnam DOSM The Department of Survey and Map of Vietnam FLA Forest land allocation FIPI Forest Inventory and Planning Institute. FMB Forest management board FOs Forest owners FPs Forest plantations GSRV The Government of Socialist Republic of Vietnam Km2 Square kilometer Ha Hectare HH Household ICEM The International Center for Environment Management IISD The International Institute for Sustainable Development IUCN The International Union for Conservation of Nature Lao Cai PPC The People’s Committee of Lao Cai province LUC Land-use certificate MARD The Ministry of Agriculture and Rural Development of Vietnam MoF The Ministry of Forestry of Vietnam NEA The National Environmental Agency of Vietnam NFs Natural forests NGO Non-governmental organization NTFPs Non-timber forest products PAA Policy arrangement approach PPC The Provincial People’s Committee SFIPI The Southern Institute of Forest Inventory and Planning Tay Ninh PPC The Provincial People’s Committee of Tay Ninh province UN The United Nations UNCED The United Nations Conference on Environmental and Development UNDP The United Nations Development Programme UNFPA The United Nations Population Fund US$ US dollar VND Vietnamese dong WWF The World Wide Fund for Nature ix Chapter 1 General introduction Chapter 1 1.1 Background Human beings have always engaged in collective action. It is crucial to hunter gatherers and is of great concern to modern

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