SUSTAINABLE COMMUNITY FOREST MANAGEMENT IN LOCAL DEVELOPMENT: COMMUNITY PRACTICE, PEOPLE PARTICIPATION AND THE SUCCESS OF FOREST CONSERVATION Pornthep Sritanatorn A Dissertation Submitted in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy (Development Administration) School of Public Administration National Institute of Development Administration 2009 ABSTRACT Title of Dissertation Sustainable Community Forest Management in Local Development: Community Practice, People Participation and the Success of Forest Conservation Author Mr. Pornthep Sritanatorn Degree Doctor of Philosophy (Development Administration) Year 2009 Community forest is an evolving and dynamic concept, which underlines the significance of process of local people’s participation. The concept has been widely accepted and implemented in numerous forest countries such as Nepal, India, Bhutan, Philippine, Vietnam, etc. In accordance with the concept, forests are perceived as a valuable asset and belonged to local community itself. In light of this notion, accountability in conserving forest is not particularly narrowed to government officials as it was in the past, but the local people in community forest that gain direct and indirect benefit from their forests are encouraged to share responsibility as well. In Thailand, the role of community forests has become more important for a decade, and the numbers of community forests has been increasing significantly every year. This research aimed to explore four successful community forests in the North of Thailand. In addition, a field study to Khao Wong in Chaiyaphum, the best model of community forest in 2008 under the Royal Forest Department, is conducted as a supplementary study. The research used case study method. The main research methodology is qualitative research method supported by quantitative research methodology. Four successful community forests in the North: Ban Samkha and Huay Mae Hin in Lampang, Ban Talad Kee Lek in Chiang Mai, and Ban Mae Rawan in Tak, were selected on the ground of best practice according to their success in forest conservation. All community forests were explored extensively and the key informants were interviewed. iv Based on qualitative study, major findings are highlighted on 1) the practice of local community forest to help forest survive, 2) major factors that allow the community to achieve their success, and 3) Participation is confirmed by both qualitative and quantitative data. The four case studies reflected that community forest and its forest committee were formally existed with rule, structured, and acceptance from stakeholder. Four major practices in forest conservation: the check dam model forest in Ban Samkha; the innovation of bamboo model forest in Huay Mae Hin; the cultural reproduction model forest in Ban Talad Kee Lek; and the networking model forest in Ban Mae Rawan, were identified in this research. Although four community forests focused on different kinds of practice, they shared some similarities and achieved the success. Every forest was taking cared by community forest committee, with a set of forest regulation. The selection and the administrative structure of forest committee was found informal in all case studies. The degree of enforcement in forest regulation varied among each community forests. In conclusion, the field study revealed that different practice of four community forests could lead to the success and sustainability of their forest. Key success factors to forest conservation have emerged in the Thai rural community forest’s setting. All four community forests shared common key success factors: strong sense of community, sharing benefit, leadership, strong natural leader, local organization, strong sense of belonging, common value in culture, network, rule, clear and defined boundary, people’s participation, conflict resolution mechanism, and external support. Additional success factors were found very outstanding in particular community forest in the Thai setting: the strong kinship relation, historical driving force, group reputation, indigenous innovation, and the application of the Philosophy of Sufficiency Economy. All factors have constituted for the success of forest conservation in the case study. As the qualitative study found people participation as one of success key factors in forest conservation, the quantitative study supported the finding in detailed activities. For future research, replication of the study to community forest in other region of the country could generate a wider perspective concerning to practice and key factors to the success of various community forest throughout the country. Also, the future study of successful and unsuccessful community forest in the same region would be an alternative to explore the success factors of community forest in Thailand. ACKNOWLEDGEMENTS The author would like to dedicate this research to my beloved mom, Duangnapa Phuengtherddhama, who has been passed away during this long journey of study. Without her great support and care, it was not possible for me to accomplish this study. My remembrance to her inspiration always wakened me up from difficulties, stress, and exhaustion. I wish she could share this moment for this end of study. Also, this study could not be finalized without the strong support from my dad, Kamthorn Sritanatorn. I am very much indebted for his moral support and financial assistance throughout the course. I would like to convey million thanks to Assistant Professor Pairote Pathranarakul for his instruction, advice, and encouragement. His patience to this long and cumbersome study is highly appreciated. I am gratitude to Associate Professor Apichart Pataratuma and Professor Pichit Pitakthepsombat for his academic comment, moral support, and valuable advice. Special thanks are also given to Dr. Ampon Kittiampon, the Secretary General of the Office of National Economic and Social Development Board, for his advice and encouragement, and to Dr. Chuwit Mitrchob for his guidance when I was tired and fatigued from work and study. I could not forget the great support from Ubon Janthik, the president of Ngao Development Model Forest, all key informants and all villagers: Suthad Rajchai, Pradit Srivilai, Pongsiri Nondhachai, Chai and Srinuan Wongtrakul, Somboon Thiyantho. Without cooperation from these community leaders and villagers in all forest communities, this study could not be successfully finalized. I am very impressive to the kind assistance from Royal Forest Department’s officials, Kittiporn Tunhawanuskul, Sumai Munmai and Sakda Maneewong, thanks for your generosity and support to my field study. Lastly, thanks to Narongsak Boonyapathr, who assisted me in arranging appointment, transporting to the field studies, photo takings, and tape recordings for the study. Pornthep Sritanatorn December 2009 TABLE OF CONTENTS Page ABSTRACT iii ACKNOWLEDGEMENT v TABLE OF CONTENTS vi LIST OF TABLES ix LIST OF FIGURES x ABBREVIATIONS xvii CHAPTER 1 INTRODUCTION 1 1.1 Statement of the Problem and Significant of Study 1 1.2 Objective of the Study 4 1.3 Research Questions 4 1.4 Scope of the Study 5 1.5 Limitation 6 1.6 Expected Benefit of the Study 7 CHAPTER 2 REVIEW OF LITERATURE 8 2.1 Forests in Thailand 8 2.2 Development of Forest Management in Thailand 11 2.3 Paradigm Shift of Forest Policy in Thailand 14 2.4 Community-Based Forest Management 17 2.5 Stakeholder of CBFM 18 2.6 Community Forest 20 2.7 International Experience of Community Forest 29 2.8 Community Organization and Community Strength 31 2.9 Sustainable Development 36 2.10 Participation and Relevant Research 36 2.11 Social Capital 44 vii 2.12 Leadership 46 2.13 Relevant Studies 46 2.14 Conceptual Framework 49 CHAPTER 3 RESEARCH METHODOLOGY 51 3.1 Method Used 51 3.2 Selection of the Cases 52 3.3 Data Collection 57 3.4 Test of the Questionnaire 59 3.5 Data Analysis 60 CHAPTER 4 DESCRIPTION OF FOUR SELECTED CASES OF COMMUNITY FOREST IN NORTHERN THAILAND 62 4.1 Ban Samkha: A Check Dam Forest 63 4.2 Huay Mae Hin: A Model of Bamboo Harvesting 77 4.3 Ban Talad Kee Lek: A Model of Cultural Forest 85 4.4 Ban Mae Rawan: A Model of Network Forest 97 4.5 Khao Wong: A Supplementary Case Study 106 CHAPTER 5 FINDINGS, ANALYSIS, AND SYSTHESIS IN FOREST PRACTICE, VARIABLE TO SUCCESS, AND PARTICIPATION IN SELECTED COMMUNITY FOREST 114 5.1 Experience and Practice 115 5.2 Key Success factors 151 5.3 Participation in Forest Conservation 190 5.4 Conclusion and Key Findings 253 5.5 Synthesis of the Four Case Study 261 CHAPTER 6 CONCLUSIONS AND RECOMMENDATIONS 268 6.1 Concluding Analysis 268 6.2 Recommendations 271 6.3 Recommendations for Future Research 273 viii BIBLIOGRAPHY 275 APPENDICES 285 Appendix A Aerial Photo of case study 286 Appendix B Correspondence, Questionnaire, Content validity 292 Appendix C List of Key Informants 316 Appendix D List of Model Community Forest in Thailand 325 BIOGRAPHY 334 LIST OF TABLES Tables Page 1.1 Remaining Forest Area of Thailand in1961-2004 3 1.2 Community Forests in Thailand Under the Royal Forest Department (2000-2008) 5 2.1 Remaining Forest area classified by region, 2004 9 2.2 Development of Forest Management in Thailand 13 2.3 Community Forest Classification 23 2.4 Benefit of Community Forest 24 2.5 Key to success of Community Forest 28 2.6 Characteristic of Community Forest in Thailand 29 2.7 Factors Determining to Community Strength 34 3.1 Selected Case Studies of Community Forest 56 3.2 Population and Sample Returned 59 3.3 Data Analysis 61 4.1 Community