Circular No. 28/2018/TT-BNNPTNT dated November 16, 2018 on sustainable forest management

• Official number: 28/2018/TT-BNNPTNT
• Legislation Type: Circular
• Organization: The Ministry of Agriculture and Rural Development
• Signer: Ha Cong Tuan
• Issued Date: 16/11/2018

MINISTRY OF AGRICULTURE AND RURAL DEVELOPMENT -------	THE SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness ---------------
No. 28/2018/TT-BNNPTNT	Hanoi, November 16, 2018

CIRCULAR

SUSTAINABLE FOREST MANAGEMENT

Pursuant to the Government’s Decree No. 15/2017/ND-CP dated February 17, 2017 defining the functions, tasks, powers and organizational structure of the Ministry of Agriculture and Rural Development;

Pursuant to the Law on Forestry dated November 15, 2017;

At the request of the Director General of the Vietnam Administration of Forestry;

The Minister of Agriculture and Rural Development hereby promulgates a Circular on sustainable forest management.

Chapter I

GENERAL

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This Circular elaborates contents of sustainable forest management plans (hereinafter referred to as “SFMPs”); procedures for preparing and approving SFMPs; SFM criteria, principles and indicators and SFM certificates.

Article 2. Regulated entities

This Circular applies to organizations and forest owners involved in preparation, approval and implementation of SFMPs, SFM criteria, principles and indicators and SFM certificates.

Article 3. Preparing, implementing and adjusting SFMPs

1. Every forest owner shall prepare and implement SFMP as prescribed in Clause 1 Article 27 of the Law on Forestry.

2. The forest owner may prepare SFMP or hire a consultancy unit to do so.

3. An SFMP shall be implemented within 10 years from the date on which it is approved. If the adjustment to forest area or forestry land by a competent authority affects intended purposes of a forest or an investor wishes to the management, production and business plan, the investor shall adjust the SFMP and request the competent authority to approve adjustments.

Article 4.Documents and maps serving preparation of SFMPs

1. Documents and maps serving preparation of SFMPs shall be of legal origins and remain effective.

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3. Types and scales of maps serving preparation of SFMPs:

a) Types of maps: forest status map (according to TCVN 11565:2016); current land use map (according to regulations laid down by the Ministry of Natural Resources and Environment);

b) Scales of maps:  1/5.000 or 1/10.000 or 1/25.000 or 1/50.000 using VN 2000 reference system. The investor shall select a map scale that corresponds to forest area.

Chapter II

CONTENTS OF SFMPs

Article 5. Contents of an SFMP tailored for special-use forests

1. Assessing natural and socio-economic conditions, national defense and security; current status of forest ecosystems, biodiversity, historical and cultural sites/monuments, landscapes:

a) Assessing current use of land, status of forests, forest ecosystems, biodiversity, historical and cultural sites/monuments and landscapes within forests; assessing natural conditions in terms of geography, terrain, weather, hydrography, soil, society and economy according to the provided statistics;

b) Consolidation of population characteristics, workers, ethnic groups, per capital income (Form No. 01 in the Appendix VII hereof);

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d) Assessing current use of land by forest owners according to the statistics provided by the commune authorities in the year preceding the year in which the SFMP is prepared (Form No. 03 in the Appendix VII hereof);

dd) Consolidating and assessing forest status and forest reserves according to the results of surveys, inventories and monitoring of forest transitions (Forms No. 04 and No. 05 in the Appendix VII hereof);

e) Assessing main forest plant and animal species diversity; determining whether forest plant and animal species are endangered, precious or rare, endemic species and their habitat; determining degraded forest ecosystems that need to be protected, landscape areas that need to be protected and consolidation of list of forest plants and animals (Forms No. 06, 07, 08 and 09 in the Appendix VII hereof).

2. Determining objectives and scope of SFM during the period when the plan is implemented:

a) Regarding environment: determining total area of forests under protection, forest cover, area of degraded forests that need to be rehabilitated; ecosystems, biodiversity, endangered, precious and rare forest plant and animal species and endemic species under protection; developing and conserving indigenous tree species; reducing the number of forest fires and violations against the law on forestry;

b) Regarding society: providing employment and raising income of workers; stabilizing livelihoods of people living in buffer zones; raising awareness of SFM; gradually improving infrastructure system;

c) Regarding economy: determining sustainable finance obtained from payments for forest environmental services, ecotourism, leisure activities, recreation, forest environment lease, fees and charges; production of wood from planted forests serving scientific research or experiment purposes, non-wood forest products and forest carbon stocks.

3. Determining areas of degraded forests that need to be rehabilitated and conserved in dedicated areas:

a) Area of degraded forests that need to be rehabilitated and conserved, including poor natural forests, extremely poor natural forests and non-stock forests;

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4. Management, protection, conservation, development and use of forests:

a) Consolidating land use plans of forest owners from land use plans of communes (Form No. 10 in the Appendix VII hereof);

b) Preparing plans for forest and forest ecosystem management and protection according to Article 37 of the Law on Forestry and Forest management regulation and consolidating forest protection plans (Form No. 11 in the Appendix VII hereof);

c) Preparing plans for biodiversity conservation and protection of endangered, precious and rare forest plant and animal species and endemic species according to Article 38 of the Law on Forestry and Forest management regulation and determining high conservation value forests according to the Appendix IV hereof;

d) Preparing a forest fire prevention and control plan according to Article 39 of the Law on Forestry and Forest management regulation;

dd) Preparing a plan for prevention and elimination of organisms harmful to forests according to Article 40 of the Law on Forestry and Forest management regulation; adopting a procedure for using chemicals and agrochemicals and determining high conservation value forests in a manner that ensures environmental safety;

e) Preparing a forest development plan: determining locations, area and species of plants; determining silvicultural measures and special-use forest development measures according to Articles 45 and 46 of the Law on Forestry and Forest management regulation of the Ministry of Agriculture and Rural Development on silvicultural measures; consolidating forest development plans using the Form No. 11 in the Appendix VII hereof;

g) Preparing a scientific research, training and practice plan according to Clause 1 Article 53 of the Law on Forestry and Forest management regulation;

h) Preparing an ecotourism, leisure and recreation development plan that unlocks potential of a forest according to Clauses 2, 3, 4 and 5 Article 53 of the Law on Forestry and Forest management regulation;

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k) Preparing plans to build and maintain infrastructures serving forest protection and development according to Article 51 of the Law on Forestry and Forest management regulation and consolidate them according to the Form No. 13 in the Appendix VII hereof;

l) Preparing plans to assist residential communities and locals in cultivars, techniques and training in forest protection and development, SFM and infrastructure management;

m) Preparing a plan to disseminate laws on forest protection and development and SFM;

n) Preparing a plan for payment for forest environmental services and forest environment lease;

o) Preparing a plan to assign local households, individuals and residential communities to protect and develop forests under a contract in accordance with the State’s applicable regulations;

e) Monitoring forest transitions according to Article 35 of the Law on Forestry and regulations laid down by the Ministry of Agriculture and Rural on monitoring of forest transitions.

5. Solutions for implementing the SFMP:

a) Organization and personnel solution;

b) Solution for cooperating with related parties;

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d) Solution for raising capital investment;

dd) Other solutions.

6. Organizing implementation of the SFMP:

a) Assigning tasks;

b) Carrying out inspection and supervision.

7. Form of the SFMP of a forest owner that is a forest management organization is provided in the Appendix II hereof.

Article 6. Contents of an SFMP tailored for protection forests

1. Assessing natural and socio-economic conditions, national defense and security; current status of forest resources and biodiversity according to Clause 1 Article 5 hereof.

2. Determining objectives and scope of SFM during the period when the plan is implemented:

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b) Regarding society: providing employment and raising income of workers; stabilizing livelihoods of people living in buffer zones; raising awareness of SFM; gradually improving infrastructure system;

c) Regarding economy: determining sustainable finance obtained from payments for forest environmental services, ecotourism, leisure activities, recreation, forest environment lease, fees and charges; production of wood from sanitation harvesting and salvage collection, wood from planted forests, non-wood forest products and forest carbon stocks.

3. Determining protective functions of forests according to the criteria for determining protection forests set forth in the Forest management regulation in a manner appropriate to the allocated forest area.

4. Determining plans for management, protection, development and use of forests:

a) Consolidating land use plans of forest owners; preparing a plan for forest and ecosystem protection; for biodiversity conservation and forest plant and animal species protection; for forest fire prevention and control; for prevention and elimination of organisms harmful to forests according to Points a, b, c, d and dd Clause 4 Article 5 hereof;

b) Preparing a forest development plan: determining locations and area, and selecting plant species; determining silvicultural measures and special-use forest development measures according to Articles 45 and 47 of the Law on Forestry and Forest management regulation of the Ministry of Agriculture and Rural Development on silvicultural measures; consolidating forest development plans using the Form No. 11 in the Appendix VII hereof;

c) Preparing a forest product harvesting plan: determining area, types, production and locations of forest products according to Articles 55 of the Law on Forestry and Forest management regulation of the Ministry of Agriculture and Rural Development on harvesting of forest products. Production of wood from forests shall be calculated as prescribed in the Appendix V and forest product harvesting plans shall be consolidated using the Form No. 12 in the Appendix VII hereof;

d) Preparing a scientific research, training and practice plan according to Clause 1 Article 56 of the Law on Forestry and Forest management regulation;

dd) Preparing an ecotourism, leisure and recreation development plan that unlocks potential of a forest according to Clauses 2, 3, 4 and 5 Article 56 of the Law on Forestry and Forest management regulation;

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g) Prepare a plan to build and maintain infrastructures; to provide services to residential communities; to pay for forest environmental services and forest environment lease; to disseminate laws; to assign local households, individuals and residential communities to protect and develop forests under a contract; to monitor forest transitions according to Points k, l, m, n, o and p Clause 4 Article 5 hereof.

5. Solutions for implementing the plan and implementary organization shall comply with Clauses 5 and 6 Article 5 hereof.

6. Form of the SFMP of a forest owner that is a protection forest management organization is provided in the Appendix II hereof.

Article 7. Contents of an SFMP tailored for production forests

1. Assessing natural and socio-economic conditions; current status of forest resources; business performance; assessing markets affecting activities of forest owners;

a) Assessing natural and socio-economic conditions; current status of forest resources and biodiversity according to Clause 1 Article 5 hereof;

b) Assessing business performance of a forest owner in 03 consecutive years preceding the year in which the SFMP is prepared using the Form No. 14 in the Appendix VII hereof;

c) Assessing domestic wood and wood product consumption markets that affect activities of forest owners; forecasting market impacts on business performance, forest products processing and trade; capability to promote cooperation in production.

2. Determining objectives and scope of SFM during the period when the plan is implemented:

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b) Regarding environment: determining total area of forests under protection, forest cover; conserving biodiversity, protecting endangered, precious and rare forest plant and animal species; reducing the number of forest fires and violations against the law on forestry; area of forests issued with SFM certificates;

c) Regarding society: providing employment and raising income of workers; providing training and raising awareness of protection, development and use of forests and SFM; gradually improving infrastructure system.

3. Determining plans for management, protection, development and use of forests and forest products trade:

a) Consolidating land use plans of forest owners; preparing a plan for forest and ecosystem protection plan; for biodiversity conservation and forest plant and animal species protection; for forest fire prevention and control plan; for prevention and elimination of organisms harmful to forests according to Points a, b, c, d and dd Clause 4 Article 5 hereof;

b) Classifying forest functions by high conservation value forests according to the Appendix IV hereof;

c) Preparing a forest development plan: determining locations, area and plant species; determining silvicultural measures and production forest development measures according to Articles 45 and 48 of the Law on Forestry and Forest management regulation of the Ministry of Agriculture and Rural Development on silvicultural measures; consolidating forest development plans using the Form No. 11 in the Appendix VII hereof;

d) Preparing a forest product harvesting plan: determining area, types, production and locations of forest products according to Articles 58 and 59 of the Law on Forestry and Forest management regulation of the Ministry of Agriculture and Rural Development on harvesting of forest products. Production of wood harvested from forests shall be calculated as prescribed in the Appendix V and forest product harvesting plans shall be consolidated using the Form No. 12 in the Appendix VII hereof;

dd) Preparing a scientific research, training and practice; an ecotourism, leisure and recreation development plan that unlocks potential of a forest according to Clauses 3, 4 and 5 Article 60 of the Law on Forestry and Forest management regulation;

e) Preparing a combined forestry-agriculture-fishery production plan according to Clauses 1 and 2 Article 60 of the Law on Forestry and Forest management regulation;

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h) Preparing a plan to issue SFM certificates appropriate to intended purposes of forests;

i) Preparing a forest products processing and trade plan: determining locations, scale of factories, technologies, machinery, equipment, raw material sources, types of products, markets and sources of investment.

4. Solutions for implementing the plan and implementary organization shall comply with Clauses 5 and 6 Article 5 hereof.

5. Form of the SFMP of a forest owner that is a production forest management organization is provided in the Appendix II hereof.

Article 8. Contents of an SFMP tailored for households, individuals, residential communities and smallholder groups

Households, individuals and residential communities or households and individuals consolidated into a smallholder group shall voluntarily prepare and organize the implementation of SFMPs as prescribed in the Appendix III hereof.

Article 9. Contents of an SFMP tailored for forest owners managing more than two forest types

1. Every owner managing more than two forest types shall tailor one SFMP for forest types.

2. Contents of the SFMP are specified in this Circular. Form of the SFMP of a forest owner is provided in the Appendix II hereof if the owner is an organization and in the Appendix III hereof if the owner is a household, individual or residential community or households and individuals consolidated into a smallholder group.

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PROCEDURES FOR PREPARING AND APPROVING SFMPs

Article 10. Procedures for preparing an SFMP

1. The forest owner shall make an outline and estimate to serve preparation of an SFMP.

2. Review and assess current documents and maps.

3. Conduct an investigation and collect additional documents and maps.

4. Prepare an SFMP.

Article 11. Approving an SFMP of the forest owner that is a special-use forest management organization affiliated to the Ministry of Agriculture and Rural Development

1. The authority that has the power to approve the SFMP is the Ministry of Agriculture and Rural Development.

2. An application for approval for an SFMP includes:

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b) The SFMP, which is made using the Appendix II hereof;

c) Maps specified in Clause 3 Article 4 hereof.

3. The forest owner shall submit the application in person or by post or through public postal services or online.

4. Procedures:

a) The forest owner shall submit 01 application as specified in Clauses 2 and 3 of this Article to the Vietnam Administration of Forestry. If the application is unsatisfactory, within 01 working day from the receipt of the application, the Vietnam Administration of Forestry shall instruct the forest owner in person or in writing to complete the application;

b) Within 20 working days from the receipt of the satisfactory application, the Vietnam Administration of Forestry shall consider it and collect comments from relevant Departments and units about contents of the SFMP.

If the contents are satisfactory, the Vietnam Administration of Forestry shall submit the SFMP to the Ministry of Agriculture and Rural Development for approval.

If the contents are unsatisfactory, the Vietnam Administration of Forestry shall provide a written explanation to the forest owner that will complete the plan within 05 working days before submitting it to the Ministry of Agriculture and Rural Development for approval;

c) Within 03 working days from the receipt of the application, the Ministry of Agriculture and Rural Development shall approve the SFMP and return final result to the forest owner. In case of rejection, a written explanation shall be provided.

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1. The forest owner that is a business entity self-investing in planting of production forests on the land leased out by the State; the forest owner that is a foreign-invested enterprise leased out land by the State to plant production forests shall approve and implement the SFMP itself.

2. The forest owner that is a household, individual or residential community or households and individuals consolidated into a smallholder group shall approve and implement the SFMP themselves.

Article 13. Approving the SFMP of an owner other than that specified in Article 11 and Clause 1 Article 12 of this Circular

1. The authority that has the power to approve the SFMP is the People’s Committee of a province.

2. An application for approval for an SFMP is provided in Clause 2 Article 11 hereof.

3. The application shall be submitted using the methods specified in Clause 3 Article 11 hereof.

4. Procedures:

a) The forest owner shall submit 01 application as specified in Clauses 2 and 3 of this Article to the Department of Agriculture and Rural Development. If the application is unsatisfactory, within 01 working day from the receipt of the application, the Department of Agriculture and Rural Development shall instruct the forest owner in person or in writing to complete the application;

b) Within 20 working days from the receipt of the satisfactory application, the Department of Agriculture and Rural Development shall consider it and collect comments from the Department of Natural Resources and Development, Department of Finance, Department of Planning and Investment, Department of Industry and Trade about contents of the SFMP.

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If the contents are unsatisfactory, the Department of Agriculture and Rural Development shall provide a written explanation to the forest owner that will complete the plan within 05 working days before submitting it to the People’s Committee of the province for approval.

c) Within 03 working days from the receipt of the application, the People’s Committee of the province shall approve the SFMP and return final result to the forest owner. In case of rejection, a written explanation shall be provided.

Chapter IV

SFM CRITERIA, PRINCIPLES AND INDICATORS AND SFM CERTIFICATES

Article 14. SFM criteria, principles and indicators

There are 07 principles, 34 criteria and 122 indicators for SFM. They are provided in Appendix I hereof.

Article 15. Types of SFM certificates

1. SFM certificates include:

a) SFM certificates issued by a Vietnam’s competent authority;

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c) SFM certificates issued by a Vietnam’s competent authority in cooperation with an international organization.

2. The SFM certificates specified in Clause 1 of this Article serve as the evidence confirming legal origin of wood.

Article 16. SFM certification organizations

1. SFM certification organizations include:

a) Vietnamese SFM certification organization;

b) International SFM certification organization;

c) SFM certification organization established by a Vietnam's competent authority in cooperation with an international organization;

2. An SFM certification organization shall operate as prescribed in the Government's Decree No. 107/2016/ND-CP dated July 01, 2016.

Article 17. Issuance of SFM certificates

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2. Regarding issuance of SFM certificates:

a) A forest owner shall be issued with an SFM certificate if the conditions set forth in Clause 2 Article 28 of the Law on Forestry are met;

b) The SFM certification shall be carried out under the guidance of the SFM certification organization.

Chapter V

IMPLEMENTATION

Article 18. Responsibilities of regulatory authorities at all levels

1. The Vietnam Administration of Forestry shall:

a) request the Ministry of Agriculture and Rural Development to amend Vietnam’s SFM criteria, principles and indicators in harmony with international SFM standards.

b) provide training in and guidance on preparation and approval of SFMPs and issuance of SFM certificates nationwide;

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2. The People’s Committee of a province shall:

a) direct the Department of Agriculture and Rural Development to instruct forest owners to prepare and implement SFMPs as prescribed in Clause 1 Article 27 of the Law on Forestry and regulations of this Circular;

b) direct the Department of Agriculture and Rural Development to submit SFMPs within its province in accordance with regulations of this Circular;

c) direct relevant authorities to provide capital and guidance on using funding for preparing SFMPs and issuing SFM certificates organizations, and perform SFM activities in accordance with regulations of law.

3. The Department of Agriculture and Rural Development shall:

a) instruct forest owners to prepare and implement SFMPs;

b) cooperate with relevant authorities in inspecting the preparation and implementation of SFMPs of forest owners;

c) before December 15, submit a report on preparation and implementation of SFMPs and issuance of SFM certificates within its province to the People’s Committee of the province and Ministry of Agriculture and Rural Development (via the Vietnam Administration of Forestry).

4. People’s Committees of districts shall direct People’s Committees of communes to instruct forest owners that are households, individuals and residential communities or households and individuals consolidated into a smallholder group to perform SFM activities and issue SFM certificates.

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a) instruct households and individuals that have forests and forestry land to consolidate each other into a smallholder group to prepare and implement SFMPs and issue SFM certificates;

b) supervise the performance of SFM activities by forest owners within its commune according to the approved SFMPs.

Article 19. Responsibilities of forest owners

1. Every forest owner shall prepare and submit an SFMP to a competent authority for approval or approve it itself/himself/herself and organize the implementation thereof in accordance with regulations of this Circular.

2. The forest investor shall itself/himself/herself supervise and inspect approved SFM activities.

3. Before December 15, the forest owner that is an organization shall submit a report on implementation of its SFMP to the Department of Agriculture and supervisory unit (if any) according to the Appendix VIII hereof.

Article 20. Responsibilities of SFM certification organizations

1. comply with Vietnam’s laws during its operation, assessment and issuance of SFM certificates.

2. take responsibility for quality and results of issuance of SFM certificates.

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Article 21. Transitional clause

Any forest owner that has an SFMP as prescribed in the Circular No. 38/2014/TT-BNNPTNT dated November 03, 2014 of the Ministry of Agriculture and Rural Development; any special-use forest owner that has a report on planning for conservation and sustainable development of special-use forests as prescribed in Clause 1 Article 2 of the Circular No. 78/2011/TT-BNNPTNT dated November 11, 2011 which is approved by a competent authority before the effective date of this Circular shall continue to perform SFM activities according to the approved plan or report.

Article 22. Effect

1. This Circular comes into force from 01 January, 2019.

2. The Circular No. 38/2014/TT-BNNPTNT dated November 03, 2014 of the Ministry of Agriculture and Rural Development is null and void from the effective date of this Circular.

3. Difficulties that arise during the implementation of this Circular should be promptly reported to the Ministry of Agriculture and Rural Development for consideration.

PP. THE MINISTER
THE DEPUTY MINISTER




Ha Cong Tuan

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