CBFM Implementation Rules and Regulations

Policy basis and strategy concepts

The State policy under Section 1 is to protect and advance the right of the Filipino people to a healthful environment.
The State policy under Section 1 is to improve socio-economic conditions through social justice, equitable access, and sustainable development of forest land resources.
The State policy under Section 1 requires respect for indigenous peoples’ rights to ancestral domains by taking into account customs, traditions, and beliefs in formulating laws and policies.
CBFM’s key strategies include active and transparent community participation and security of tenure (Section 1).
Section 2 provides that CBFM rests on principles of social equity, sustainability, and community participation in forest management and biodiversity conservation.
Section 2 requires DENR, LGUs, and other government agencies to collaborate with NGOs and private entities to provide an enabling environment for local communities managing forest lands and coastal resources sustainably.
Section 2 requires DENR to provide security of tenure and technical assistance to local communities.

Key definitions and governing terms

CENRO refers to the DENR Community Environment and Natural Resources Office (Section 3).
PENRO refers to the DENR Provincial Environment and Natural Resources Office (Section 3).
RENRO refers to the DENR office headed by the Regional Executive Director responsible for coordination and implementation of DENR policies, regulations, programs, and projects in the region (Section 3).
RED refers to the Regional Executive Director of the DENR (Section 3).
A Certificate of Stewardship is an agreement entered into by and between the government and individuals/families actually occupying or tilling portions of the forestlands covered with a CBFMA (Section 3).
Community means a group of people occupying a territory extending from ecosystem, geographical, political/administrative, cultural boundaries, and resources go with it (Section 3).
A Community-Based Forest Management Agreement (CBFMA) is an agreement between the government and the local community, represented by the People’s Organization, as forest managers, with a term of twenty-five (25) years, renewable for another twenty-five (25) years (Section 3).
A Community-Based Forest Management Program is any forest development program adopting the CBFM strategy as its core concept (Section 3).
Forests are lands of more than 0.5 hectare with tree crown cover (or equivalent stocking level) of more than 10%, with trees able to reach at least five (5) meters at maturity in situ; it includes closed and open forest formations, and includes young natural stands and all forestry plantations that have yet to reach crown density >10% or height 5 meters (Section 3).
Forest Lands are lands of the public domain classified as such under DENR land classification, and all unclassified lands of the public domain (Section 3).
Non-timber forest product refers to all forest products except timber forest products and geologic resources in forest lands (Section 3).
People’s Organization (PO) is a group established by the community (association, cooperative, federation, or other legal entity) to undertake collective action addressing community concerns and needs and share benefits (Section 3).
Watershed means land drained by a stream or fixed body of water and tributaries having a common outlet for surface runoff (Section 3).
Sustainable Development uses the World Commission on Environment and Development meaning: meeting people’s needs without compromising future generations (Section 3).
Sustainable Forest Management means managing, developing, and utilizing forest lands to achieve desired products/services without impairing inherent productivity and without undesirable effects on physical and social environment (Section 3).
Prior Vested Rights are established claims, privileges, prerogatives, or ownership over land or natural resources enforceable before a court or appropriate administrative agency (Section 3).
National Integrated Protected Areas System (NIPAS) adopts the definition in the NIPAS law (Section 3).

Coverage, participants, and eligibility qualifications

CBFMS applies to all forest lands, subject to prior vested rights (Section 4).
The strategy integrates and unifies people-oriented forestry programs, including ISFP, UDP, FLMP, CFP, LIUCP, RRMP, NRMP, FSP, and CEP (Section 4).
Indigenous Cultural Communities/Indigenous Peoples (ICCs/IPs) with recognized ancestral domains/lands through CADCs or CALCs, or recognized by themselves and neighboring communities, may participate at their option (Section 4).
The principal participants in the CBFM program are local communities represented by their organizations called People’s Organizations (POs) (Section 5).
To participate, a PO must have Filipino citizen members (Section 5).
PO members may qualify under any of these situations: (a) actually tilling portions of the area to be awarded; (b) traditionally utilizing the resource for all or substantial portion of livelihood; or (c) actually residing within or adjacent to, dependent on and actually developing portions of the areas to be awarded (Section 5).

PO incentives and affirmative responsibilities

POs are entitled to occupy, develop, protect, manage, and utilize forest lands and resources within a designated CBFM area, and claim ownership of introduced improvements (Section 6(a)).
POs may allocate to members and regulate rights to use and sustainably manage forest resources within the CBFM area when appropriate (Section 6(b)).
POs are exempted from paying land rental for use of CBFM areas (Section 6(c)).
DENR must inform POs and consult them on government projects in the area, and must secure PO consent before granting/renewing contracts, leases, and permits for extraction/utilization of natural resources within the area to a third party.
Before DENR grants/renews such third-party contracts, leases, and permits, an equitable sharing agreement must be executed by the third party with the PO (Section 6(d)).
DENR must give POs preferential access to available assistance for development and implementation of the Community Resource Management Framework and 5-year Work Plan (Section 6(e)).
POs may enter agreements/contracts with private or government entities for development of the whole or portions of the CBFM area and/or economic activities therein (Section 6(f)).
POs must take the lead in boundary delineation using customs, traditions, and beliefs, and must undertake parcellary surveys when needed (Section 7(i)).
POs must designate areas for sustainable use and allocate/regulate resource-use rights consistent with national laws, rules, and regulations and native customs when appropriate (Section 7(ii)).
POs must prepare and implement the Community Resource Management Framework (CRMF) and 5-yr Work Plan (Section 7(iii)).
POs must develop and implement equitable benefit-sharing arrangements among members (Section 7(iv)).
POs must protect, rehabilitate, and conserve natural resources within the CBFM area and assist government protection of adjacent forest lands (Section 7(v)).
POs must develop and enforce policies on members’ rights and responsibilities and the accountability of PO leaders (Section 7(vi)).
POs are accountable for violations committed by a subcontractor where the PO entered into the subcontract for development of the entire CBFMA area or portions thereof and/or economic activities (Section 7(vii)).
POs must develop conflict-resolution mechanisms including rules, regulations, and sanctions regarding forest use and protection, and must apply indigenous processes and mechanisms for ICCs/IPs (Section 7(viii)).
POs must be transparent and promote participatory management and consensus building (Section 7(ix)).
POs must pay forest charges for forest products harvested from natural forest and pay fees and other required taxes (Section 7(x)).
POs must undertake other responsibilities stipulated in the CBFM Agreement (Section 7(xi)).

Implementation stages and site preparation steps

CBFM program implementation has four stages: (a) Preparatory Stage; (b) PO Formation and Diagnostic Stage; (c) Planning Stage; and (d) Implementation Stage.
The Preparatory Stage aims to (a) inform and educate POs, NGOs, LGUs, and the general public on CBFM; (b) establish institutional linkages between DENR and LGU; and (c) identify and delineate CBFM areas (A. Preparatory Stage).

Institutional linkages and IEC

DENR must promote and support active participation in adopting CBFM, and all DENR units implementing CBFM programs must give highest priority to establishing and consolidating public-private partnerships (Section 8).
RENRO/PENRO/CENRO must conduct continuing systematic orientation for local executives (barangay, municipal, provincial), relevant national agency units, civil society organizations, academic institutions, and financing organizations on CBFM concepts, principles, objectives, processes, and activities (Section 8).
Partnerships formed through orientation must be encouraged to expand IEC coverage through joint CBFM activities (Section 8).

CBFM site identification and delineation

DENR field offices must maintain and continuously update control maps and registries showing ENR projects and tenure instruments over forestlands in their jurisdiction (Section 9).
Control maps and registries must be harmonized with LGU Comprehensive Land Use Plans (Section 9).
Control maps and registries must be open to the public (Section 9).
PENRO must make preliminary map delineation of forest management units based on watershed/sub-watershed physical boundaries (Section 9).
Preliminary delineation maps must be presented to Provincial and Municipal Working Groups organized under Joint DENR-DILG Memorandum Circular 98-01 as reference for their work (Section 9).
Delineation maps must be used as reference material to promote CBFM participation through IEC (Section 9).
The delineated forest management units serve as the basis for metes and bounds of discrete areas to be eventually handed over to CBFM POs whose membership is exclusive to those directly dependent on land and forest resources within the management unit (Section 9).

Site selection criteria

CBFM may be implemented in uplands and coastal lands of the public domain, except for areas that fall under the following exclusions (Section 10(a)):
- Areas covered by existing prior rights, except when the lessee, permitee, or agreement holder executes a waiver in favor of the PO applying for the CBFM Agreement; when any such pre-existing permit for non-timber forest products terminates, it must not be renewed and any new permit must be granted to the CBFMA holder (Section 10(a)(i)).
- Protected areas mandated under RA 7586 (NIPAS Law) and its implementing rules and regulations (Section 10(a)(ii)).
- Forest lands assigned by law under administration and control of other government agencies, except upon written consent of the concerned government agency (Section 10(a)(iii)).
- NCIP certified ancestral lands and domains, except when ICCs/IPs opt to participate in CBFM (Section 10(a)(iv)).
Site selection must consider presence of communities residing within or adjacent to forest lands and largely dependent on forest resources for livelihood (Section 10(b)).
Site selection must consider areas adjacent to or adjoining existing CBFM projects (Section 10(c)).

Conflicting claims processing

Adverse claimants or parties alleging conflicting claims over an identified CBFM area (or portions) must file complaints before the next higher approving authority within thirty (30) days from the date of first publication or notification (Section 11(a)).
The concerned official must resolve the complaint within thirty (30) days after receipt (Section 11(b)).

PO formation, security of tenure instruments, approvals

The PO Formation and Provision of Security of Tenure stage aims to (a) encourage participation of local communities in CBFMP; (b) start community organization building or strengthening; and (c) define existing conditions relevant for planning (B).

Validation of potential participants

A multi-sectoral group at local level must be created to validate CBFM participants under Section 5 qualifications (Section 12).
The multi-sectoral group must include DENR, LGU, other government agencies, NGO, NCIP if IPs are involved, and other concerned sectors, and must prepare minutes of consultation meetings (Section 12).
Where no existing PO exists, the CENRO must facilitate PO formation, and PO formation must proceed only after validation of qualified CBFM participants (Section 12).

PO formation and registration

The CENRO, concerned LGU, and NCIP (if IPs involved) must assist PO formation (Section 13).
The PO must be duly assisted to accomplish requirements and registration with the SEC, CDA, or other registering agency (Section 13).
The CENRO must fully explain CBFMA terms and conditions to the PO before the CBFM Agreement application is processed (Section 13).

Tenurial instruments

The following tenurial instruments are issued to qualified participants (Section 14):

A) Community-Based Forest Management Agreement (CBFMA)
- CBFMAs are agreements between DENR and participating POs (Section 14(A)).
- Each CBFMA lasts twenty-five (25) years and is renewable for another twenty-five (25) years (Section 14(A)).
- A CBFMA provides tenurial security and incentives to develop, utilize, and manage specific portions of forest lands pursuant to approved CRMFs (Section 14(A)).
- Contract rights and responsibilities remain in effect for the agreement’s term until expiry unless modified, rescinded, or amended by agreement of the parties (Section 14(A)).
B) Certificate of Stewardship (CS)
- The CS recognizes individual occupancy rights co-terminous with the CBFMA (Section 14(B)).
- The CS is issued by the CENRO upon PO recommendation based on a census of actual forest occupants conducted, provided the area is within the applied CBFM area and the applicant is a regular member of the PO (Section 14(B)).
- For married members, both spouses’ names must be indicated in the stewardship agreement (Section 14(B)).

Processing and approval of CBFMA application

The Working Group under Joint Memorandum Circular No. 98-01 and 2003-01 with the CENRO leading must seek comments from the concerned LGU on CBFMA applications (Section 15.1).
The CENRO must assist the PO to comply with these requirements (Section 15.2):
- PO Certificate of Registration;
- List of officers and members and their addresses;
- Resolution authorizing an officer to file the CBFMA application; and
- NCIP certification precondition pursuant to Section 59 of Republic Act No. 8371 (Indigenous Peoples Rights Act of 1997).
The CENRO must prepare a delineation map forming part of the CBFMA within five (5) working days from PO filing, and must prepare a more precise map based on actual ground survey during project implementation (Section 15.3).
The CENRO must review applications within ten (10) working days; if in order, the CENRO approves applications covering 500 hectares and below, and endorses areas more than 500 hectares to the PENRO (Section 15.4).
The PENRO must review endorsed applications within five (5) working days; if in order, the PENRO approves areas covering more than 500 to 5,000 hectares, and endorses areas more than 5,000 hectares to the RED (Section 15.5).
The RED must review endorsed applications within five (5) working days; if in order, the RED approves areas covering more than 5,000 to 20,000 hectares, and endorses areas more than 20,000 hectares to the DENR Secretary through the Forest Management Bureau (Section 15.6).
The Forest Management Bureau must review applications endorsed by the RED within five (5) working days, then forward to the DENR Secretary for approval within five (5) working days (Section 15.7).
The approving authorities by area are: CENRO (500 and below); PENRO (more than 500 to 5,000); RED (more than 5,000 to 20,000); Secretary (more than 20,000) (Section 15).
The flow of activities and timeline is indicated in Annex B (Section 15).

Binding terms, termination effects, and compensation

CS/CBFMA terms and conditions are binding between the DENR issuing authority concerned and the PO (Section 16).
The parties may pre-terminate or modify/amend terms and conditions by written mutual consent consistent with existing laws, rules, and regulations (Section 16).
If the CBFM area is reclassified as alienable and disposable or to any other legal status allowing settlers’ ownership rights greater than those offered under the CS/CBFMA, the rights and obligations under the agreement become unenforceable (Section 16).
If CS/CBFMA terminates not due to the fault or negligence of CS/CBFMA holders, holders are entitled to just compensation for all improvements based on fair market value as of termination date assessed by a government assessor or disinterested and qualified third party, less all charges and obligations accruing to the government (Section 16).
Affected participants may harvest or remove temporary improvements reasonably removable consistent with applicable policies; the value is deducted from just compensation (Section 16).

Transferability and contracting

The CS must be transferred to the legal heirs in case of death or incapacity of the CS holder (Section 17).
The CBFMA is non-transferable (Section 17).
The PO may enter contracts with private or government agencies for development of the entire area or portions, and/or other economic activities, provided that transparent contracting procedures are followed (Section 17).
Such development/activities must be consistent with the CRMF of the CBFM area (Section 17).
If the subcontractor or third party fails to fulfill CBFMA conditions, accountability must be borne by the CBFMA holder (Section 17).
The PO may use standing crops as collateral subject to affirmation of the DENR issuing authority concerned (Section 17).

CRMF, environmental compliance, and work plan

The Planning Stage assists POs in preparing the CRMF and 5-year work plans, with RENRO, PENRO, and CENRO enlisting support of LGU and NCIP (if IPs involved) (C).

CRMF requirements

The CRMF is the community’s strategic plan for managing and benefiting from forest resources sustainably, describing long-term vision, aspirations, commitments, strategies, and detailed first five (5) years activities that serve as the 5-year work plan (Section 18).
The CRMF must be prepared within thirty (30) days after approval of the CBFMA (Section 18).
CRMF preparation includes these steps (Section 18):
- PO orientation/PO planning team training on CRMF preparation, with CENRO orientation support and HRD Service coordination for training needs and programs/courses;
- Defining vision, mission, goals, objectives, and physical development goals/objectives for indicative forest management strategies;
- Determining CRMF components, including livelihood identification and livelihood enterprises; assessing land uses within the CBFM area with CENRO adviser role; establishing and regularly updating a market information system; and adopting criteria and indicators for CBFM project management, monitoring, assessment, and reporting;
- Developing financing strategy, accessing resource funds, and marketing strategies to attain financial viability and increased economic activities through livelihood and present/potential economic activities;
- Networking and linkaging with market and funding institutions with DENR and LGU assistance;
- Drafting the CRMF in English and the community’s own dialect, discussing it in a general assembly with CENRO, LGU, and other stakeholders present, preparing consultation minutes by the PO with CENRO assistance, and ratifying the CRMF under the PO’s constitution/by-laws and existing rules and regulations (Section 18).

CRMF affirmation and environmental compliance certificates

The ratified CRMF must be jointly endorsed by the PO and the CENRO to the PENRO within fifteen (15) working days, together with consultation minutes (Section 19).
PENRO’s affirmation is treated as DENR’s commitment to support PO implementation (Section 19).
The CRMF is considered affirmed after fifteen (15) working days from PENRO receipt if PENRO fails to act, unless the PO is notified in writing of any deficiency (Section 19).
The affirmed CRMF serves as the Initial Environmental Examination (IEE) for CBFM and must describe environmental impacts plus mitigation/enhancement measures (Section 20).
The affirmed CRMF is the basis for Environmental Compliance Certificates (ECC) issued by the Regional Director of the Environmental Management Bureau (Section 20).
The affirmed CRMF must be reviewed whenever necessary but in no case longer than five (5) years, and SWOT of different components must be used in revisions (Section 20).
POs of CBFM projects are exempted from payment of administrative fees (Section 20).

5-year work plan preparation and affirmation

The PO, jointly with CENRO and LGU, must prepare a 5-year work plan (5-Yr WP) consistent with the affirmed CRMF, using the outline in Annex F (Section 21).
The 5-Yr WP must include baseline information, detailed strategies, activities, and targets for five years on protection, rehabilitation, development, resource utilization, organizational strengthening, financing, marketing, and enterprise development, among others (Section 21).
The 5-Yr WP must include annual activities and work targets for the plan period and must be prepared three months before the expiration of the existing plan for affirmation by the CENRO (Section 21).
Preparation steps for 5-Yr WP include PO orientation/training; preparing priority activities and targets with supervision and guidance; and ratification in a general or special meeting called by the PO with CENRO and LGU assistance (Section 22).
The ratified 5-Yr WP must be endorsed to CENRO for affirmation confirming participatory preparation, and CENRO affirmation is deemed approval and proof of active DENR involvement and commitment (Section 23).
A copy of affirmed 5-Yr WP must be provided to the concerned municipal/provincial LGU and RENRO, PENRO, and CENRO (Section 23).
The 5-Yr WP submitted by the PO is considered affirmed if CENRO fails to act after 15 days from receipt; CENRO must notify the PO in writing, and the PO must proceed with implementation (Section 23).

Implementation duties, protection measures, and governance

Development and management activities

CBFM area development and management must conform with the CRMF (Section 24).
The PO, with CENRO assistance, must determine appropriate land use and forest management systems in production forest and protection forest to ensure sustainability and stability (Section 24).
Management activities include plantation establishment in open areas and silvicultural programs such as Timber Stand Improvement (TSI) and Assisted Natural Regeneration (ANR), and other silvicultural management systems in plantation and natural forests, including development of non-timber forest resources and activities for biodiversity utilization and conservation (Section 24).
Agro-forestry and mixed planting of agricultural crops, fruits, and forest trees must be done in areas identified as suitable for agriculture (Section 24).

Forest protection responsibilities and deputization

The PO, with assistance from CENRO and LGU, is primarily responsible for protection and conservation of natural resources within CBFMA coverage (Section 25).
The community-identified protection forest must be protected from illegal cutting and/or extraction (Section 25).
The PO must observe no cutting along gullies, steep slopes, river channels, and other identified critical areas as part of forest protection activity (Section 25).
POs must assist government protection of adjacent forestlands and actively participate in forest protection activities (Section 25).
DENR must deputize qualified PO members as Deputy Environment and Natural Resources Officers (DENROs) to give legal authority to apprehend illegal loggers/cutters and confiscate illegally cut timber (Section 25).

Harvesting, processing, and transport; production sharing

Harvesting, processing, and transport of forest and biodiversity products in CBFM areas must comply with existing rules and regulations (Section 26).
Forest products harvested from forest plantations established using government funds or by former TLA holders must be subject to a sharing agreement negotiated between the CBFMA holder and DENR pursuant to existing rules and regulations (Section 27).

PO contract services and assistance

The PO may enter into contracts with private and government entities or individuals for development of portions or the entire CBFM area consistent with the CRMF and the 5-years Work Plan (Section 28).
DENR, LGU, and other assisting organizations must continue supporting POs by linking them to resource institutions and monitoring PO outputs to ensure technical requirements in the CBFMA are observed (Section 29).

Multi-sector monitoring and evaluation

A participatory annual monitoring and evaluation through a composite team must be conducted based on critical activities to assess issues, problems, and constraints in implementing and strengthening CBFM (Section 30).
The composite team must include representatives from RENRO, PENRO, CENRO, LGU, AOs/NGOs, and other concerned sectors (Section 30).
The CENRO must submit the M&E project report highlighting problems, opportunities, and recommendations to the RED and furnish the Forest Management Bureau (FMB) a copy (Section 30).
RENRO, PENRO, and CENRO must conduct regular M&E beyond the multi-sectoral monitoring (Section 30).

Process documentation

CENRO must document PO activities and outputs on organizational, social, and economic development and corresponding influence/impact for