© Mokhamad Edliadi/CIFOR

Understanding mangrove
governance
Research methods and guidelines
Pham Thu Thuy, Esther Mwangi, Vu Tan Phuong and Hoang Tuan Long
© 2022 Center for International Forestry Research

Content in this publication is licensed under a Creative Commons Attribution 4.0 International
(CC BY 4.0), http://creativecommons.org/licenses/by/4.0/

DOI: 10.17528/cifor/008478

Phạm TT, Mwangi E, Vu TP and Hoang TL. 2022. Understanding mangrove governance:
Research methods and guidelines. Bogor, Indonesia: CIFOR.

CIFOR
Jl. CIFOR, Situ Gede
Bogor Barat 16115
Indonesia

T +62 (251) 8622-622

F +62 (251) 8622-100
E cifor@cgiar.org

cifor.org

We would like to thank all funding partners who supported this research through their contributions to the CGIAR
Fund. For a full list of the ‘CGIAR Fund’ funding partners please see: http://www.cgiar.org/our-funders/

Any views expressed in this publication are those of the authors. They do not necessarily represent the views
of CIFOR, the editors, the authors’ institutions, the financial sponsors or the reviewers.
Table of contents

Acknowledgments iii

1 Introduction 1

2 Guide to focus group discussions (FGDs) 2

2.1 Aims of focus group discussions 2
2.2 Background information 2

3 Participants 3
3.1 Introduction 3
3.2 Mapping current land uses/livelihoods 3
3.3 Identifying changes in land uses/mangrove changes/livelihoods 4
3.4 Identifying drivers of changes in land uses/mangrove uses/livelihoods 4
3.5 Identifying rights and rulemaking related to mangrove governance 5
3.6 Identification of policies, projects and investment in mangrove
improvements 5
3.7 Closing: summary, verification, thank you 5

4 Guidelines for key informant interviews 10

4.1 General information 10
4.2 Status of mangrove and drivers of mangrove deforestation and
degradation 10
4.3 Changes in organizations and institutions (regulating mangrove
forests and related resources) 10
4.4 Changes in rights and access, and related organizations and institutions 11
4.5 Conflicts over mangrove forest resources 11
4.6 Tenure security 12
4.7 Mangrove conservation programmes and projects 12
 Acknowledgments

We would like to express our special thanks to the United States Agency for International
Development (USAID) for financing this work through the Sustainable Wetlands Adaptation
and Mitigation Program (SWAMP).
© Mokhamad Edliadi/CIFOR
1 Introduction

Mangrove governance requires cross- complexities of mangrove governance

sectoral and multistakeholder collaboration. is challenging and requires appropriate
Effective mangrove management also research methods. As part of our SWAMP
requires institutional setup, rules of the research, the Center for International
game, and a clear tenure regime and Forestry Research and the Vietnamese
distribution of rights and responsibilities Academy of Forest Sciences developed a
between stakeholders. The outcomes of set of research methods and guidelines to
mangrove protection and conservation understand opportunities and challenges for
will be different under different mangrove mangrove governance in different political,
management regimes (state-owned, social and economic contexts. This mix of
community-led initiatives, private sector- methods includes focus group discussions,
led initiatives, co-management between key informant interviews and household
the state and local communities, or public- surveys. Each of these methods is presented
private partnerships). Understanding the in details in the following sections.
2 Guide to focus group discussions
(FGDs)

Province : District :
Commune : Group :
Facilitator : Note taker :
Date :
Start time : End time :

List of participants
No. Participant name Age Ethnicity Gender

2.1 Aims of focus group 2.2 Background information

discussions
Having sufficient background information
• Collective reflection on the will greatly aid in understanding context
changes in mangrove area and directing the discussions. Some of the
over time, drivers of mangrove necessary general information is available
deforestation and degradation; from reports from the first phase, but for some
• Collective reflection on the locations it needs to be gathered in advance. The
effectiveness of mangrove team might arrive one day prior for background
protection policies and projects; information and necessary logistic steps. The
• Collective reflection around the information includes:
nature of property rights and • Location and general description (political,
changes associated with the use administrative, geographical, historical,
and management of mangroves; cultural especially related to different ethnic
• To reflect on various aspects of groups)
mangrove tenure, resource status • Main sources of livelihood and level of income
and outcomes including reducing • Land use and tenure
vulnerabilities to climate variability. • Governance systems
3 Participants

The unit of analysis is the smallest administrative division in the Vietnam government
hierarchy: village.

In each selected study site, three FGDs are conducted, one with women, one with men and
one with young people (both young men and women between 16–25 years old). There will
be around 10 participants for each FGD. Participants are randomly selected. Head of villages
are not invited to these FGD meetings.

In general, the FGD is conducted according to the following general steps:

a. Introduction:
b. Mapping d. Indentifying
brief introduction c. Indentifying e. Closing:
current land drivers of
about the project, changes in land summary,
uses/mangrove changes in land
obtaininformed uses/mangrove verification,
changes/ uses/ mangrove
consent from uses/livelihoods thank you
livelihoods uses/livelihoods
participants

3.1 Introduction Explain carefully and clearly the objectives

of this discussion, what we will do (process)
The facilitator begins by welcoming and how long it might take. Refer to the
the participants and thanking them for prepared agenda. Encourage participants to
coming. ask questions if the process is unclear or if
they need further explanation.
Explain briefly about the project.
Explain about informed consent, that
the participation in this discussion 3.2 Mapping current land uses/
is voluntary, that we will record
the discussion solely for clarity
livelihoods
and discussion note purposes, that Ask participants what the current land uses
information will only be used for and mangrove uses are in their village. Ask
research, and we will report back. Ask if participants to identify any local practices
the participants understand/agree with that involve maintaining or planting
it. Ask if we can proceed. mangroves.
04 Pham Thu Thuy, Esther Mwangi, Vu Tan Phuong, Hoang Tuan Long

Ask participants to rank current land axis for a visual aid. Probe questions for
uses based on their importance for the possible dynamics of trends between time
village community. Note down the rank benchmarks.
for each land use on the flip chart. Allow
participants to define ‘importance’; it could
be importance in a monetary context (the 3.4 Identifying drivers of changes
amount of money it generates), the size of in land uses/mangrove uses/
land, cultural values, or numbers of people livelihoods
involved (most people in the village are
involved in the land use). Explain to participants that now we will look
for the causes of the main changes identified
Ask participants the extent to which before. If many changes have been identified,
mangroves contribute to their livelihoods. focus on one particular change first.
Are mangrove resources important in their
livelihood portfolios? Depending on the audience, you can
distribute several meta-plans to each
participant and ask participants what
3.3 Identifying changes in land uses/ they think has caused / is causing the
mangrove changes/livelihoods change. They can write or draw pictures
to represent the cause (one cause on one
Ask participants if land uses/mangrove meta-plan). Alternatively, when it appears
uses/livelihoods have changed over time. that participants might have difficulties in
Ask what major changes have occurred writing, the facilitator can ask participants
when using a historical axis drawn on the and write their answers on the meta-plan.
flip chart. Start with the present time and Ensure to clarify if you have the cause right.
work backwards. The land uses meta-plans
identified previously can be placed under the Explore why changes occurred, to whom,
present time. Leave participants to decide the and how and what impacts the changes had
time benchmark (It could be a particular year on them. Also ask which actors are involved
or important event such as independence, in driving the changes. During this process
reformation, new sub-district). participants might come out with some
more causes. Note down each of these
If necessary, the facilitator can draw a trend additional causes on a meta-plan and add to
curve for the changes alongside a historical the flip-chart.

All of this Large forest

area was area was
forest burned

1999 2005 2010 2015 Now

Re-allocated agriculture
A lot of forest
and forest land. A lot of
effort on has good
forest was converted to
reforestation coverage
agriculture land
 Understanding mangrove governance: Research methods and guidelines
05
3.5 Identifying rights and rulemaking • Today, do you think community members
related to mangrove governance follow the rules? (Always, frequently,
not often, never) Which ones would you
Ask participants who has the right to exploit say are the most commonly followed/
mangroves, who has the right to make violated? Why?
decisions about mangrove practices, how • Have there been any conflicts over the
they take part in mangrove decision making monitoring and enforcement of rules?
rules. Have any of these rules changed over Please describe them, including parties
time? (Focus on approximately the last 20 to conflicts, causes of conflicts and
years) Explain changes. What caused the frequency. Were the conflicts resolved?
changes? By whom? Who is responsible for
resolving conflicts over monitoring and
Ask participants if there have been any enforcement? In your opinion are they
conflicts over decision making. Please effective? Do they resolve conflicts fairly?
describe them, including parties to conflicts,
causes of conflicts, and frequency.

Ask participants about rule compliance,

3.6 Identification of policies, projects
monitoring and control:
and investment in mangrove
• Who enforces rule compliance about improvements
extraction and forest use and management
Ask participants about specific policies,
practices in the village? Note: Refer to
projects, actions and interventions that
specific situations: What happens if I break
the province, district, commune, groups/
the rules? Say I take too much timber…
individuals have implemented in order to
is there a sanction? Who enforces it?
improve their mangrove resources. For
When was the last time someone was
each policy, project and activity, mention
sanctioned? Explain. How many people
who initiated it (whether community, state
were sanctioned in the last year?
agency, NGO, etc.), when you started it,
• In cases where rules are not complied
when it ended or whether it is ongoing, and
with, what types of sanctions exist?
how they organized the implementation
• Do you think this enforcement is fair and/
of the actions/interventions. The actions/
or effective?
interventions may include restoration/
• Who has the right to establish sanctions
rehabilitation of mangrove trees, improving/
when rules are violated? Are the village
enriching tree species, extending mangrove
regulations written? (Are there any
forest cover, or others they may name, etc.
bylaws?) Are members aware of these?
• Who monitors rule compliance about Ask participants to discuss factors
extraction/mangrove management that enable or constrain the effective
practices in the village? implementation of these policies, projects
• Can rights to forests (to extract products) and actions, and their views on whether
be taken away? What happens in such these actions/interventions have been
situations? successful, and why.
• Has any external actor (e.g., government,
private company, NGO) kept you from
extracting products from mangrove
3.7 Closing: summary, verification,
forests? If yes, which external actor?
For what products? What were the
thank you
reasons for imposing these restrictions? The last part of the FGD is its closing. The
What were your responses to these facilitator summarizes the discussion and
restrictions? conducts a final verification, then thanks the
• Have any of these rules or sanctions on participants for their active engagement in
extraction changed over time? (Focus on the discussion process. As a final step, the
approximately the last 20 years) Explain facilitator might invite the participants to ask
changes. What caused these changes? questions.
06 Pham Thu Thuy, Esther Mwangi, Vu Tan Phuong, Hoang Tuan Long

3. Household survey questionnaire

ID : Name of Interviewer :
Study Site : Date :
Start time : End time :

1. General information
1.1. Name of respondent:________________________
1.2. Sex of respondent: 1= Male 2= Female
1.3. Are you the household head?
1= Yes
2= No
1.4. If No, what is the sex of the household head? 1= Male 2= Female
1.5. (a) Respondent’s age:___________ (b) Age of the household head:_____________
1.6. Marital status of the household head:

1= Married 3= Widowed 5= Separated

2= Single 4= Divorced 6= Other:______________

1.7. (a) How many years have you lived in this village?________________
(b) How many years has the household head lived in the area?______________
(c) Where did you live before moving here? ______________
1.8. Household gender distribution: (a) Male:__________ (b) Female:______
1.9. Household age distribution:
(a) < 5:_________ (b) 5-18:_________ (c) 19-60:_________ (d) > 60:_________

1.10. Please fill-in the number corresponding with the highest education lever of the:
(a) Household head: __________ 1= No education 5 = Completed secondary
(b) Respondent:__________ 2= Incomplete primary 6= Incomplete high school
3= Completed primary 7= Completed high school
4= Incomplete secondary 8= University, college

1.11. (a) Respondent’s occupation:______________________

(b) Household head’s occupation:__________________________
 Understanding mangrove governance: Research methods and guidelines
07
1.12. Please list main source(s) of household income in 2017.
Sources of income Details Income (đ/month)
1. Agricultural production
2. Livestock
3. Trading
4. Salary
5. Wages
6. Pension
7. Aquaculture
8. Exploiting aquatic resources
from mangroves
9. Wages from planting and
protecting forests
10. Other (specify)

2. Utilization of mangroves
2.1. Are mangroves important to your family?
1= Yes, explain why
2= No, explain why
2.2. Does your household extract products from the mangrove forest? 1= Yes 2= No
2.3. Which products do you harvest from the mangrove forest and how often do you harvest them?

Products Frequency of Alternative Alternative Rank the

harvest sources of sources: mangrove
1= Daily product if 1= Purchased products
2 = Weekly mangroves 2=Obtained in order of
3= Bi-weekly are not for free) importance
4= Monthly available and (1-3)
where these
are found.
1= Firewood
2= Building poles
3= Boat making materials
4= Furniture making
5= Fishing stakes
6= Fence
7= Medicine
8= Animal feed
9= Fertilizer
10= Seafood
11= Other (specify):
………………………………………
08 Pham Thu Thuy, Esther Mwangi, Vu Tan Phuong, Hoang Tuan Long

3. Local governance structures, characterization, roles and acceptance

3.1. Do you know who is in charge of managing the mangrove forest? 1= Yes 2= No
3.2. If yes, mention the specific individual(s) and their position:
3.3. Are there community groups involved in the management of mangrove forests in the area?
1= Yes 2= No
3.4. If yes, which groups?
3.5. Are the local community leaders involved in conservation and management of mangroves?
1= Yes 2= No
3.6. Are you currently managing an area of ​​mangrove forest?
1= Yes, explain
2= No, explain
3.7. Are you aware of any rules and regulations governing the management of mangroves?
1= Yes 2= No
3.8. If yes, which ones?
1= Law on Protection & Development/Law on Forestry
2= Provincial, district and commune mangrove protection plans and plans – give examples
3= Local regulations (province, district, commune) on mangrove protection – give an
example
4= Traditional customs (conventions, conventions, etc.) – give an example
5= Other (specify):_________________________________________________
3.9. To what extent are you satisfied with the rules and regulations? (Tick as appropriate)
1= Very satisfied 2= Satisfied 3= Average
4= Dissatisfied 5= Very Dissatisfied

4. Local attitudes and perceptions on the state of the mangrove ecosystem

4.1. In your view, how has the area of mangroves changed in recent decades?
No change
Slightly declined
Severely declined
Very severely declined
4.2. What is your view on the overall condition of the mangrove ecosystem in the past 20 years?
Not degraded Slightly degraded
Severely degraded Very severely degraded
4.3. What is your view on drivers of mangrove deforestation and mangrove degradation?
 Understanding mangrove governance: Research methods and guidelines
09
4.4. Do you feel responsible for the conservation and management of the mangrove forest?
Yes, why? No, why?
4.5. In the village and commune where you live, are there any programmes and projects on
mangrove conservation?
Yes, please list each programme and project, specify who initiated them, how they have
been implemented, and what activities have been implemented
No
4.6. Do you participate in any of the above programmes and projects on mangrove conservation?
Yes, which programme(s) or project(s)? Why you participate?
No, why?
4.7. If you answered Yes to Question 4.6., how do you participate in the programme(s)/project(s)?
Being paid by government
Being paid by companies
Being paid by projects
Voluntary
Other (specify)
4.8. What are opportunities and challenges for these programmes and projects?
4.9. How effective are these programmes and projects at conserving mangroves? Why?
4.10. What can be done to improve the effectiveness of these programmes and projects?

Thank you very much for answering the questions!

4 Guidelines for key informant
interviews
Province:
District:
Sub-district:
Village:
Name of respondent/Occupation/Gender/Age:
Role in the province/district/commune/community/village/clan (e.g., head of
forestry department, village leader):
Role in forests (e.g., member of forest management committee):
Date/Time:
Interviewer:

4.1 General information pasture or grazing; recreational and spiritual

uses; hunting; gardening; housing. Add other
• What is your current role? relevant categories as needed).
• How long have been working in this • Who is involved in these activities? State
position? the distribution of tasks/uses according
to age, gender, wealth status, etc. Forest
user groups: who uses the forest/forest
4.2 Status of mangrove and drivers resources/forested landscapes? For what,
of mangrove deforestation and when, how and why?
degradation • What external actors use these areas? How
and why?
• Has the area of mangrove forest changed • Who is the formal owner of the mangrove
in recent decades? forests that people in this village use? (1)
• What is your view on mangrove quality? individual – some level of collective action
Has it changed in recent decades? around resources; (2) area designated for
• What and/or who has driven these collective use; (3) area is the property of the
changes? state
• How has the use of mangrove forests
changed over time? When and why? Ask
4.3 Changes in organizations questions about changes in mangrove
and institutions (regulating forest uses, what triggered these changes,
mangrove forests and related and when. Allow respondents to recall
several episodes of such changes if they
resources)
can remember, but try to at least cover
How are mangrove forests used? Who uses major changes during the past 10–30 years.
them? (gather information on harvesting Focus on the most significant changes that
timber and NTFPs; clearing for farming, respondents’ recall.
 Understanding mangrove governance: Research methods and guidelines
011
4.4 Changes in rights and access, 4.5 Conflicts over mangrove forest
and related organizations and resources
institutions
What are main forest-related conflicts
• What were the key reasons driving between this village and people from
changes in rights to mangrove resources? outside the village? (Neighbouring villages,
Who granted (or removed or modified) government agencies, migrants, private
these rights? (e.g., land agency, court, companies, other)
forest institute or ministry, regional • What were the main sources of conflict?
government, village leaders; after • How have these changed over time?
long struggle by the village, or by (Type, source, degree and intensity)
another organization, after conflict with • How did you resolve the conflicts?
neighbours, etc.) Explain. What were the main challenges faced in
• How were local residents involved (or resolving conflicts?
not) in rights changes? • Did these conflicts affect people’s
• Did the changes involve the creation of rights to forests? (e.g., access, use, and
new village organizations/committees management)
and/or arrangements? For what purpose? • Have these conflicts affected the overall
What is the composition of these village condition of the forest?
committees/organizations, and their roles • Are there legal guidelines for conflict
and responsibilities? resolution? How frequently are they
• What are your overall perceptions of applied in the event of conflict? For
these changes? Have they improved what kinds of conflicts are they usually
people’s rights and access? Have they applied? In your experience, are legal
improved people’s livelihoods? Have they guidelines/statutory law the main way in
improved the status and condition of which conflicts are resolved? If not, why
mangroves? not?
• Have there been any interventions in
this village that have changed rights to What are the main forest-related conflicts
mangroves? (i.e., what people are able to inside the village?
do in mangrove forests, who has access • How have these changed over time?
to what) (Type, source, and degree and intensity)
• Account for changes among external • What were the challenges you faced
actors? (We want to determine whether when trying to resolve the conflict?
people are now excluded from these • Have these conflicts affected people’s
areas after the interventions. We also rights to forests? (e.g., access, use,
want to determine whether or not the management)
village has new exclusion rights) • Are there legal guidelines for conflict
• What are the rules for mangrove forest resolution? How frequently are they
use today? applied in the event of conflict? For
what kinds of conflicts are they usually
− Who makes the rules for forest use? applied? In your experience, are legal
− Are there any special rules that guidelines/statutory law the main way in
limit the activities carried out in the which conflicts are resolved? If not, why
mangrove forest? not?
− Who makes the rules regarding who • Over the last five years, what do you
is allowed to access which resources think of the level of conflict within the
and for what purpose? (or to convert group? (please explain) Increased /
forest. Also, rules may differentiate Unchanged / Decreased / Interfered with
between what can be accessed for daily activities / Channelled in ways that
home use versus sale) do not interfere with daily activities
012 Pham Thu Thuy, Esther Mwangi, Vu Tan Phuong, Hoang Tuan Long

4.6 Tenure security 4.7 Mangrove conservation

programmes and projects
Do you think that villagers rights to
mangrove forest resources are secure or • Are there any mangrove conservation
insecure? Why? (By tenure security we programmes and projects in your area?
mean “Your confidence that the members of Who initiated them? How are they
this village will continue to be able to use, implemented?
at least for the next 25 years, the mangrove • Do external actors provide financial
forests you now use and benefit from in that support? How much? Which activities
particular area”). are supported? Do they provide technical
• What makes tenure secure/insecure? List support on forestry? What kind of
3 main reasons. support? Do they provide support for
• For whom is tenure secure/insecure? women’s groups? What kind of support?
(Women, men, migrants, elites etc.) • Are you satisfied with the range of
• How has tenure security changed over services and effectiveness of services
time? provided by external actors? Please
• On a scale of 1 to 5 where 1 is very explain. If appropriate, please indicate
insecure and 5 is very secure, where some of the things that can be done to
would you put this village currently? improve interactions between external
actors and your village.
• What are opportunities and challenges
for these programmes and projects?
• How effective are these programmes and
projects in conserving mangroves? Why?
• What can be done to improve the
effectiveness of these programmes and
projects?
CIFOR-ICRAF
The Center for International Forestry Research (CIFOR) and World Agroforestry (ICRAF) envision a more equitable
world where trees in all landscapes, from drylands to the humid tropics, enhance the environment and well-being for all.
CIFOR and ICRAF are CGIAR Research Centers.