ASIA-PACIFIC FORESTRY COMMISSION

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2 RAP publication 2003/05 ASIA-PACIFIC FORESTRY COMMISSION Practical guidelines for the assessment, monitoring and reporting on national level criteria and indicators for sustainable forest management in dry forests in Asia Based on the work of Michael Kleine, Phalguni Gangopadhyay and Gopa Pandey Editors: S. Appanah, F. Castaneda and P.B. Durst Forestry Research Support Programme for Asia and the Pacific & Food and Agriculture Organization of the United Nations Regional Office for Asia and the Pacific Bangkok, Thailand June 2003

3 The designations employed and the presentation of material in this publication do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers and boundaries. All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic mechanical, photocopying or otherwise, without the permission of the copyright owner. Applications for such permission, with a statement of the purpose and extent of the reproduction, should be addressed to the Senior Forestry Officer, Food and Agriculture Organization of the United Nations, Regional Office for Asia and the Pacific, 39 Phra Athit Road, Bangkok, Thailand. Cover photo: FORSPA For copies of the report, write to: Patrick B. Durst Senior Forestry Officer FAO Regional Office for Asia and the Pacific 39 Phra Atit Road Bangkok Thailand Tel: (66-2) Fax: (66-2) Patrick.Durst@fao.org FAO 2003 ISABN

4 Abbreviations and acronyms CIFOR CSCE dbh FAO FMIS FMU FORSPA FRA FSI GDI GDP GIS ha HDR IIFM ITTO kg LISS m MP NGO NWFP R&D SFM UNCED UNDP UNEP USDA/FS WCU - Center for International Forestry Research - Conference of Security and Cooperation in Europe - diameter at breast height - Food and Agriculture Organization of the United Nations - Forest Management Information System - Forest Management Unit - Forestry Research Support Programme for Asia and the Pacific - Forest Resources Assessment (FAO) - Forest Survey of India - Gender-related Development Index - Gross Domestic Product - Geographical Information System - hectare - Human Development Reports - Indian Institute of Forest Management - International Tropical Timber Organization - kilogram - Linear Imaging and Self Scanning Sensor - metre - Madhya Pradesh - Non-governmental organization - Non-wood forest product - Research and Development - Sustainable Forest Management - United Nations Conference on Environment and Development - United Nations Development Programme - United Nations Environment Programme - United States Department of Agriculture Forest Service - World Conservation Union iii

5 Foreword For much of the last two decades forestry discussions have been dominated by calls for sustainable management of forest resources. But practical solutions are few and far between. Among the few exceptions have been the development of criteria and indicators for sustainable forest management. Following United Nations Conference on Environment and Development s adoption of the Forest Principles, Agenda 21 (1992), the call was made for the formulation of scientifically sound criteria, indicators and guidelines for moving the management of forests towards sustainability. The International Tropical Timber Organization (ITTO) pioneered the development of criteria and indicators for sustainable forest management of tropical forests in Since then, several regional and eco-regional initiatives have evolved to assist countries in developing and implementing similar criteria and indicators. These forest management tools have assumed a prominent position in international forestry foras have helped raise awareness of the concept of sustainability, and have set in motion extensive policy debates related to forestry including monitoring, assessment and reporting. Criteria and indicators provide a meaningful and practical means for countries to gauge periodic progress towards sustainable forest management. While these tools cannot be viewed as a panacea for the world's forest management problems, they can be important tools for promoting sustainable forest management and related activities where the underlying problems are correctly identified and addressed. There are currently nine on-going international and/or regional criteria and indicators initiatives, involving approximately 150 countries. In 1999, with support from the Food and Agriculture Organization of the United Nations and the United Nations Environment Programme and in collaboration with the International Tropical Timber Organization, the Indian Institute of Forest Management and the United States Department of Agriculture Forest Service, a workshop on Development of National-Level Criteria and Indicators for the Sustainable Management of Dry Forests in Asia was held in Bhopal, India, under the auspices of the Asia-Pacific Forestry Commission. Now referred to as the Dry Forest in Asia Process, ten Asian countries jointly developed a regionally applicable set of national-level criteria and indicators relevant for dry forests in the region. A preliminary report on the criteria and indicators was produced in However, to be relevant and useful, and to implement these tools in an efficient way, criteria and indicators must be translated into action. This requires the development of practical guidelines for the assessment and monitoring of criteria and indicators, and for reporting on progress. This publication supports that need. It describes in a simple, straightforward manner: (a) the means for assessing and verifying each indicator, (b) periodicity of measurement and units of measurement and (c) the formats used in reporting the results and monitoring the changes. The assessment methodology is specially tailored for evaluating dry forests in all the countries in the Asian region but could be applicable to similar regions in the world as well. Overall, they can be used for accurately gauging the progress made by countries towards sustainable management of their dry forests. Now the task falls on the individual countries to develop the local standards of performance and begin the actual monitoring of their management. It is expected that the practical guidelines set forth in this publication will support and simplify these monitoring efforts. He Changchui Assistant Director-General and Regional Representative FAO Regional Office for Asia and the Pacific 25 June 2003 iv

6 Acknowledgments The authors would like to thank a number of individuals and organizations for bringing to completion this report: T. Enters critically reviewed the document, and provided many suggestions to improve the presentation; K. Meechantra provided much general assistance towards completion of the manuscript; We owe our individual organizations much for giving us the time to undertake this task (International Union of Forest Research Organizations and the Forest Department, Government Madhya Pradesh, India); The funds for this work were provided by the FAO Regional Office in Bangkok, the FAO/Netherlands Partnership Programme (GCP/INT/829/NET) and the Forestry Research Support Programme for Asia and the Pacific (FORSPA). v

7 Executive summary At the United Nations Conference on Environment and Development held in Rio de Janeiro in 1992, countries across the world agreed to develop mechanisms for assessing progress towards sustainable management of their forests. Over the past decade, national and international initiatives concerned with the development and implementation of criteria and indicators (C&I) for sustainable forest management in Asian countries largely focused on boreal, temperate and tropical moist forests. Recognizing the need to develop criteria and indicators specifically oriented towards the unique demands and features of dry forest management, ten Asian countries started the Regional Initiative for the Development and Implementation of National-level Criteria and Indicators for the Sustainable Management of Dry Forests in Asia (also called the Dry Zone Asia Process ). Within this initiative a reference set of criteria and indicators for dry forest management was developed. In their efforts to implement these criteria and indicators, participating countries commenced with an exchange of relevant information on methodologies, and cooperated with national institutions in conducting research and testing. The practical guide for the assessment, monitoring and reporting on national-level criteria and indicators for dry forests in Asia, is a comprehensive instruction book on the process of collecting and assembling national level information and reporting. The guidelines provide tools or detailed information on (a) formulating aspects to be assessed for each individual indicator, (b) describing how to obtain, compile and process the relevant information, (c) identifying the means (e.g. documents, sources) used for data collection, and (d) periodicity of measurement and measurement units to be used. In addition, a format for (a) reporting on each individual assessment aspect, and (b) monitoring the indicators using the information collected in two or more subsequent assessments is also provided. Following a brief introduction on dry forest management in Asia, the reference set of criteria and indicators developed by the regional initiative is presented. This set of eight criteria and 49 indicators provides the basis for the assessment system, subsequently described in terms of its components and formats used for reporting and monitoring. Some examples taken from the aforementioned set of criteria and indicators for dry forests are provided. In the main part of the guidelines a comprehensive outline of the assessment system, including reporting and monitoring is presented. For each indicator the assessment procedures, means of verification, periodicity of measurement and units of measurements are outlined. In addition, a format for reporting the results for each indicator is proposed followed by a monitoring format to be used in identifying important aspects of the progress made towards sustainable forest management. The presentation of an individual indicator concludes with a paragraph on interpretation of results. Here, some ideas on positive trends towards sustainable forest management and/or levels to be achieved are given. These interpretations are intended to assist in drafting an overall synthesis on the progress made towards sustainable management for dry forests in a particular country. The guidelines conclude with a chapter on some aspects of assessment implementation such as institutional arrangements, preparations for the assessment, training needs and further application of the system for the improvement of forest management. vi

8 Contents Abbreviations and acronyms Foreword Acknowledgments Executive summary Chapter 1: Introduction 1.1 Purpose of the guidelines 1.2 The dry forests in Asia 1.3 National-level criteria and indicators for sustainable management of dry forests in Asia 1.4 The contents of this practical guide and its use Chapter 2: The system for assessment, reporting and monitoring 2.1 Assessment 2.2 Reporting on assessable verifiers/indicators 2.3 Monitoring of indicators Chapter 3: Guide to assessment, reporting and monitoring 3.1 Criterion 1: Extent of forest and tree cover 3.2 Criterion 2: Maintenance of the health and vitality of the ecosystem 3.3 Criterion 3: Maintenance and enhancement of biodiversity 3.4 Criterion 4: Conservation and enhancement of soil and water resources and other environmental functions 3.5 Criterion 5: Maintenance and enhancement of forest productivity 3.6 Criterion 6: Extent of forest resource utilization 3.7 Criterion 7: Socio-economic, cultural and spiritual needs 3.8 Criterion 8: Policy, legal and institutional framework Chapter 4: Reporting on progress towards sustainable forest management 4.1 Background information 4.2 Synthesis 4.3 Monitoring the results 4.4 Assessment of the results Charter 5: Provisions for assessment system implementation 5.1 Institutional arrangements 5.2 Preparations for the assessment 5.3 Training 5.4 The use of the assessment system for improving forest management Appendices Appendix 1: Appendix 2: Appendix 3: Regional initiative for the development, assessment and measurement of national-level criteria and indicators for the sustainable management of dry forests in Asia Definitions and basic principles of sustainable forest management in relation to criteria and indicators Literature used iii iv v vi

9 Chapter 1 Introduction 1.1 Purpose of the guidelines Over the past decade, national and international initiatives concerned with the development and implementation of criteria and indicators for sustainable forest management involving Asian countries largely focused on boreal, temperate and tropical moist forests. The seventeenth session of the Asia- Pacific Forestry Commission in 1998, therefore, recognized the need for an initiative for Asian countries with substantial areas of dry forests for the development of criteria and indicators specifically oriented towards the unique demands and features of dry forest management. A workshop in Bhopal, India in 1999, organized jointly by the Food and Agriculture Organization of the United Nations (FAO), the United Nations Environment Programme (UNEP), the International Tropical Timber Organization (ITTO), the United States Department of Agriculture Forest Service (USDA/FS) and the Indian Institute for Forest Management (IFFM) gave rise to the Regional Initiative for the Development and Implementation of National-level Criteria and Indicators for the Sustainable Management of Dry Forests in Asia (also called the Dry Zone Asia Process ). Participating countries in this initiative include Bangladesh, Bhutan, China, India, Mongolia, Myanmar, Nepal, Pakistan, Sri Lanka and Thailand. Thus far, the initiative has developed a reference set of criteria and indicators for use at the national level, comprising eight criteria and 49 associated indicators. This reference set provides the basis for further refinement and improvement to fit national ecological, economic and sociocultural conditions. With regard to the implementation of the criteria and indicators for dry forests in Asia, it was recommended that participating countries should exchange relevant information and methodologies and cooperate with national institutions to conduct more research and testing. In pursuance of the workshop s recommendations on methodology for criteria and indicators implementation, the present practical guide is a comprehensive instruction on the process of collecting and assembling national-level information and its reporting. The guidelines will assist countries in Asia participating in the Dry Zone Process to develop their own systems for the assessment, monitoring and reporting on national-level criteria and indicators. The guidelines provide tools or detailed information on: Formulating aspects to be assessed for each individual indicator; Describing how to obtain, compile and process the relevant information; Identifying the means (e.g. documents, sources) used for data collection; Periodicity of measurement and measurement units to be used; A format for reporting on each individual assessment aspect; and A format for monitoring the indicators using the information collected in two or more subsequent assessments. In addition, the guide describes an overall format for reporting the progress made towards sustainable management of dry forests and the provisions that need to be in place in order to ensure successful implementation of the assessment system. These provisions include institutional arrangements, preparations for assessments and training needs. 1.2 The dry forests in Asia Forests in Asia account for 14 percent of the world forest area. According to FAO s global ecological zoning, the largest proportion of Asia s forests (47 percent) is in the tropical zone. Tropical and subtropical dry forests in Asia account for 21 percent of the world s dry forests. Twenty-three percent of the world s tropical dry forests are located in Asia, while Asia s subtropical dry forests account for 11 percent of the world s subtropical dry forests. Table 1 provides area statistics of dry forests in the member countries of the Dry Zone Asia Process (Prasad 1999; FAO 2000). 1

10 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Table 1. Extent of dry forests in member countries of the Dry Zone Asia Process Country Total land area* Extent of forests Dry forest as % (000 ha) Area* (000 ha) % of total land area* of total forest area** Bangladesh Bhutan China India Mongolia Myanmar Nepal Pakistan Sri Lanka Thailand *FAO 2001; **unpublished India, Myanmar, Pakistan and Sri Lanka have about 70 percent of their forests categorized as dry zone forests. In Nepal and Thailand dry forests cover about 50 percent of the total forest area. Bangladesh, Bhutan and China have 11, 15 and 5 percent of dry forests, respectively. Apart from natural forests, the Asian region accounts for 62 percent of the world s plantation forests. With regard to the extent of plantation area, India and China are among the leading nations with a substantial proportion of their forest plantations situated in the dry forest zone. The dry forests of Asia occur in areas with rainfall ranging from 500 to mm per year. The forests, which represent a repository of rich biodiversity, are relatively open and the dominant forest type is deciduous. Many of these forests are fragile and unsustainable harvests, even if of light intensity, can lead to severe degradation, weed infestation and increased susceptibility to fire and insect damage. Large areas have degenerated to grasslands and open scrub forests. Dry forests in these areas often merge into arid or even desert margin zones where natural tree cover becomes increasingly sparse. The main problem in implementing forest management schemes in the dry forests is the intensity of land use. People living in and around the forests depend heavily on the forest for the collection of food, fodder, medicines, fuel and a wide range of other products and services. Forests are of critical importance to the livelihoods of these communities. Considering the fragility of the dry forest areas and recognizing that the policing approach of conservation and protection has not succeeded, greater emphasis is given to people s participation in forest management. In the last decade the majority of Asian countries has experimented with collaborative or co-management programmes to various degrees involving the local communities. More recently, collaborative forest management has been introduced on a larger scale in almost all the member countries of the Dry Zone Asia Process. This is reflected in the national forest policies of these countries emphasizing devolution of forest management by involving people s active participation. Collaborative management has been termed variously as joint forest management in India, community forest management in Nepal and participatory management in other countries. This broadly defines the practice as sharing of products, responsibilities, control and decision-making authority over forest land between governmental forest departments and local user groups, based on a formal agreement. Experience has shown that participatory forest management is capable of reversing the trend of forest degradation. Therefore, the various approaches of participatory management have come to be recognized as an important strategy for attaining the objectives of sustainable forest management. 2

11 Chapter 1 Introduction 1.3 National-level criteria and indicators for sustainable management of dry forests in Asia During the first workshop of the Regional Initiative of Dry Forests in Asia held in Bhopal in 1999 a consensus on a reference set of criteria and indicators including eight criteria and 49 indicators was achieved (FAO 2000). The objectives of developing these criteria and indicators were: To arrive at a commonly agreed upon definition of sustainable forest management in the dry forest region of Asia; To develop a tool for assessing the implementation of Forest Principles or any possible successor or international forest agreement; To facilitate the selection of a national-level set of criteria and indicators for sustainable management of dry forests in the region, in accordance with the ecological, economic and sociocultural conditions of the member countries; To provide an agreed upon framework for assessing and reporting progress towards sustainable forest management; and To assist in the development of policies, regulations and legislation related to forests that foster sustainable development. The reference set of criteria and indicators of the Dry Zone Asia Process includes the following criteria: Extent of forest and tree cover; Maintenance of ecosystem health and vitality; Maintenance and enhancement of biodiversity; Conservation and enhancement of soil and water resources and other environmental functions; Maintenance and enhancement of forest productivity; Extent of forest resource utilization; Socio-economic, cultural and spiritual needs; Policy, legal and institutional framework. The complete list of this reference set including the indicators is provided in Appendix 1. In the process of developing a system for the assessment, reporting and monitoring of the criteria and indicators for the dry forests of Asia each individual indicator was revisited and evaluated with regard to its practicability and ease of assessment. This evaluation revealed that in some cases slight refinements of indicators were necessary in order to make them more appropriate for an efficient implementation process. The refined formulations and justifications for the proposed amendments are given in the various chapters dealing with the assessment of the respective indicators. 1.4 The contents of the practical guide and its use The contents of this practical guide provide a comprehensive description of the assessment system ranging from the theoretical base to practical implementation. In Chapter 2 the system for the assessment, reporting and monitoring of national-level criteria and indicators for dry forests in Asia is presented. The system is implemented at the indicator level and thus includes for each individual indicator (a) a procedure for the actual assessment; (b) a format for reporting the results; and (c) a format for monitoring. The components of the system are explained with the help of examples. Assessment system developers can use this chapter to familiarize themselves and others with the method used for the actual assessment and the formats proposed for reporting and monitoring. Chapter 3 of the guide describes how the assessment, reporting and monitoring systems can be applied to the reference set of criteria and indicators for dry forests in Asia. For each individual indicator the 3

12 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia entire process of assessment including the types of verifiable evidence, periodicity of measurement and measurement units are outlined. Since this practical guide is intended to assist in the development of national assessment systems on dry forest management in Asia, it is beyond this document to present a final assessment system for direct application that fits the local conditions in all 10 member countries of the Dry Zone Asia Initiative. Instead, the assessment system developer will find typical aspects related to dry forest management in Asia that need to be addressed within the context of a certain indicator. The examples of formulations of parameters and assessment procedures provided in this chapter serve to stimulate discussions among the developers, so that they arrive at their own locally adapted set of assessment parameters within the framework of the reference set of criteria and indicators for dry forests in Asia. One of the aims of assessing and monitoring national-level criteria and indicators is to produce, from time to time, a report on the overall progress made towards sustainable management of dry forests. Chapter 4 provides a reporting format that includes (a) background information about the assessment; (b) an overall synthesis of the progress made towards sustainable management; (c) reporting on detailed monitoring results; and (d) reporting on the assessment results. The reporting format is structured according to the information needs of the various clients such as politicians, managers, NGOs and professionals in the field of natural resource management. Finally, Chapter 5 outlines some additional provisions that need to be in place, in order to ensure successful application of the assessment, reporting and monitoring system. These provisions include institutional arrangements, preparations for the assessment and training needs. 4

13 Chapter 2 The system for assessment, reporting and monitoring 2.1 Assessment A simple and efficient system to assess criteria and indicators at the national level would specify: What specific information/data should be gathered for an individual indicator; Where the information can be found; and How it should be measured or collected. The system should also provide a format of reporting for each individual indicator. This format, presented in a tabulated fashion should be simple, contain only a few but most important details, and thus be easy to comprehend and use in monitoring. In a final step, the results obtained for the indicators will enter a monitoring table that allow a comparison of the current assessment with previous measurements. In keeping the monitoring tables simple, trends over time can be interpreted easily. The concept developed for the assessment system is illustrated below. Under the criteria and indicators guidelines for Dry Zone Asia, all criteria are to be monitored on the basis of individual indicators. As an example, Criterion 3 Maintenance and Enhancement of Biodiversity has, among others, the following three indicators dealing with: Extent of protected areas; Number of threatened, keystone, flagship and endemic species of plants and animals; Mechanisms for the conservation of genetic resources. Straightforward and simple indicators may be measured directly, while those of more complex nature require assessment by two or more parameters that make up the indicator. These parameters are called assessable verifiers. They are defined as data or information that enhance the specificity or ease of assessment of an indicator (according to CIFOR 1999). Assessable verifiers represent features of an ecosystem or social system or prevailing policy or management conditions. An example of how an indicator is assessed through appropriate assessable verifiers is given below. Example: Indicator 3.1. Indicator Indicator 3.1 Extent of protected areas Assessable Verifiers Assessable Verifier Extent of protected areas Assessable Verifier Representation of forest types in the protected areas Information about the assessable verifier is measured or obtained through the process of assessment. This process is called assessment procedure and involves methods and techniques to obtain and compile the desired information. This is usually done through: Reviewing documents; Compiling and aggregating data from field, district and provincial levels; Consulting relevant agencies, practitioners, scientists and experts; and Discussing relevance and accuracy of data with information providers. The process of obtaining the relevant information is specified for each individual assessable verifier. These processes essentially represent instructions to the assessor and will guide him or her through the assessment task. Most of the information required at the national level represents an aggregation of more detailed data collected at a subnational level such as the village, forest management unit (FMU), 5

14 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia district or province. In order to provide clear instructions to the assessor, data collection at the source (subnational level) and aggregation at the national level are described separately. In addition to the assessment procedures, the means of verification are also given suggesting the type of objective evidence documents, interviews or discussions the assessor should consider in order to obtain the most relevant information. Because assessment systems always need to be tailored to local conditions it is of utmost importance that the means of verification are formulated in such a way as to reflect the locally used terminology for the relevant documents, actions (e.g. operations in the field) and types of communications (e.g. participatory planning platforms, reporting mechanisms). For each individual assessable verifier or indicator the period between assessments or periodicity of measurement is specified. This period between measurements depends on the subject, type of data collection needed and availability of updated information. For reporting on the status of the assessable verifier or indicator and the changes of the monitored parameters the measurement units to be used are also specified. An example of the assessment instructions for Assessable Verifier is given below. Assessable Verifier Representation of forest types in the protected areas. Assessment procedure Data collection at the subnational level: Review forest type classification for each protected area and generate area statistics of forest types. Compile the extent of forest types within the protected areas for individual districts/provinces. Aggregation/collection of data at the national level: Compile the total area of forest types in protected areas at the national level. Means of verification Forest type map. Area statistics of the forest department, department of environment. Vegetation surveys of expert institutions. Periodicity of measurement 5 years Measurement unit Status: ha Changes: ha and % The use of assessable verifiers along with assessment procedures and means of verification, periodicity of measurement and measurement units will ensure that the information and data for each individual indicator are collected in the most efficient manner and each of the relevant issues is addressed with the desired scope and level of detail. 2.2 Reporting on assessable verifiers/indicators Following the assessment instructions, a reporting format for each assessable verifier/indicator is presented. In order to facilitate easy interpretation and use in monitoring, the table should be presented in a clear and unambiguous manner. As an example, the reporting format of Assessable Verifier is presented below. 6

15 Chapter 2 The system for assessment, reporting and monitoring Reporting on Assessable Verifier Date of assessment:. Forest types Area Percentage of total protected area (ha) (%) Type 1: Dry deciduous teak forest. Type 2: Dry and thorny forest Type 3: Deserts Etc. Total protected area 100% 2.3 Monitoring of indicators Monitoring is performed for individual indicators by means of tables showing the results of at least two assessments. These tables have been designed for easy interpretation and refer either to all data collected within one indicator or to individual assessable verifiers. An example of a monitoring format for Indicator 3.1 is presented below. Table showing the extent of the protected area by forest type. Monitoring format for Indicator 3.1 Forest types in protected areas Assessment 1 (date) Assessment 2 (date) Net area change (ha) (ha) (ha) % Type 1: Dry deciduous teak forest Type 2: Dry and thorny forest Type 3: Deserts Etc. Total protected area The assessment system presented here allows an organized implementation of the entire set of criteria and indicators for dry forests in Asia. For each indicator all instructions are provided at one location in the practical guide, thus facilitating the consultation of the guidelines during the assessment task. 7

16 Chapter 3 Guide to assessment, reporting and monitoring 3.1 Criterion 1: Extent of forest and tree cover This criterion relates to the area under forest and trees based on legal land-use classification and actual tree cover of natural and planted forests. In the dry zone of Asia where large parts of the population depend heavily on forest resources for their livelihood, the forests have been modified extensively and influenced by human activities. Forest and tree cover, therefore, play a prominent role in sustainable social and economic development. Indicator 1.1 Area of natural and planted forests This indicator refers to the total forest area of natural and plantation forests as legally notified by the forest and land survey authorities (Assessable Verifier 1.1.1). In addition, information is also provided on the extent of forest cover within the legally notified forest area irrespective of ownership categories (Assessable Verifier 1.1.2). This verifier can only be assessed if the boundaries of the legally notified forest area can be overlaid on the digital forest cover map. In countries where the boundaries of the legally notified forest area are not available in digital format, Assessable Verifier should be used. This verifier covers the entire forest area as interpreted from the forest cover map irrespective of any legal ownership classification. Although not always applicable, information on natural and plantation forests should be collected to the extent possible. ASSESSMENT AND REPORTING Assessable Verifier Area of natural and planted forest as legally notified. Assessment procedure Data collection at the subnational level: Relevant records on the legally notified forest area are maintained by the forest department or land survey department at the district level. Access statistics on legal ownership categories and area. Compile the area figures separately for natural forests and plantations. Aggregation/collection of data at the national level: Aggregate this information available at district and provincial levels. Compile the area figures of the various ownership categories in hectares (ha) as indicated in the result table. Means of verification Legal documents. Maps and area statistics of ownership and legally notified forest area. Periodicity of measurement 5 years Measurement unit Status: ha Changes: ha/year and %/year 8

17 Chapter 3 Guide to assessment, reporting and monitoring Reporting on Assessable Verifier 1.1.1: Date of assessment:. Ownership Natural forest Planted forest Total (ha) (ha) (ha) Permanent forest estate (public land) Communal land Private land Others (as applicable) Total Assessable Verifier Area of natural and planted forest within the legally notified forest area as interpreted from forest cover mapping. Assessment procedure Data collection at the subnational level: Data are to be collected at the national level. Aggregation/collection of data at the national level: Use the forest cover map that shows the boundaries of the legally notified forest area. Extract the relevant area figures for the respective country from the national forest cover mapping statistics or the FAO FRA. Identify and exclude areas that do not support tree cover. Means of verification Forest cover map (national FRA or FAO FRA). Area statistics of forest cover mapping (national FRA or FAO FRA). Periodicity of measurement 5 10 years Measurement unit Status: ha Changes: ha/year and %/year Area % of total land area Reporting on Assessable Verifier Permanent forest Communal land Private land Total estate (ha) (ha) (ha) (ha) 9

18 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Assessable Verifier Area of natural and planted forest irrespective of legal notification as interpreted from forest cover mapping. Assessment procedure Data collection at the subnational level: Data are to be collected at the national level. Aggregation/collection of data at the national level: Use the forest cover map. Extract the relevant area figures for the respective country from the national forest cover mapping statistics or the FAO FRA. Means of verification Forest cover map (national FRA or FAO FRA). Area statistics of forest cover mapping (national FRA or FAO FRA). Periodicity of measurement 5 years Measurement unit Status: ha Changes: ha/year and %/year Forest area (ha) Reporting on Assessable Verifier Date of assessment:. MONITORING Changes in forest area as legally notified (use the information collected under Assessable Verifier 1.1.1). Monitoring format for Indicator 1.1 Ownership Assessment 1 (date) Assessment 2 (date) Permanent forest estate Communal land Private land Others (as applicable) Total Permanent forest estate Communal land Private land Others (as applicable) Total Net area change per year (ha) (ha) (ha) % Natural forest Planted forest Changes in area within the legally notified forest area as interpreted from forest cover mapping (if Assessable Verifier is applicable, use the information collected under Assessable Verifiers and 1.1.2). 10

19 Chapter 3 Guide to assessment, reporting and monitoring Monitoring format for Indicator 1.1 Forest area Assessment 1 (date) Assessment 2 (date) Annual net area change Legally notified: Natural forests Plantation forests Non-forest From forest cover mapping: Forest area (ha) (ha) (ha) % Changes in forest area irrespective of legal notification as interpreted from forest cover mapping (if Assessable Verifier is applicable, use the information collected under Assessable Verifier 1.1.3). Forest area Monitoring format for Indicator 1.1 Assessment 1 (date) Assessment 2 (date) Net area change per year (ha) (ha) (ha) % INTERPRETATION OF RESULTS This indicator provides information on the trends in the size of the forest area according to total forest cover or legally notified forest area. Depending on the forest policy in a country it would be considered desirable if the legally notified forest area remains stable or increases in size. Regulations may be applicable where permanent forest areas converted to permanent non-forest uses should be replaced by a new afforestation area of comparable size. Within the legally notified forest area a desirable trend towards sustainable forest management is when the non-forest area moves towards zero. However, it needs to be taken into account that some portions of the legally notified forest area may not support tree growth (deserts, waterlogged areas, elevations above the timberline etc.). Thus these areas need to be excluded for the calculation of forest cover. Indicator 1.2 Area of dense, open and scrub forest This indicator refers to the forest cover irrespective of whether an area belongs to the legally notified forest area or any other legal land-use category. The indicator essentially provides information on the extent and stocking conditions of all forests within the dry forest zone of a particular country. The assessment of this indicator is made on the basis of a completed forest cover mapping carried out with the help of remote sensing techniques. For interpretation of the results derived from remote sensing imagery one should note that there are certain cartographic and technological limitations in the assessment of forest cover. In visual interpretation, the minimum size in the imagery that can be mapped is 2 x 2 mm. This corresponds to 25 ha on the ground on a 1: scale and 1 ha on a 1: scale. Depending on the resolution of the sensors used for taking the imagery (e.g. LISS-II or LISS III with and 23.5 m, respectively), forest patches with sizes less than the resolution are not recorded. 11

20 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Considerable details on the ground may be obscured in areas having clouds and shadows. It is difficult to interpret such areas without the help of collateral data. The reflectance of young plantations with small crown and low chlorophyll content is not recorded by satellite sensors. Gregarious occurrence of bushy vegetation like lantana, tea and coffee poses problems in delineation of forests as their reflectance is similar to that of the forest. Indicator 1.2 can be assessed directly. Therefore, assessable verifiers need not be introduced here. ASSESSMENT AND REPORTING Indicator 1.2 Areas of dense, open, scrub forest and non-forest Assessment procedure Data collection at the subnational level: Data are to be collected at the national level. Aggregation/collection of data at the national level: Use the forest cover map that distinguishes between forest cover classes. Extract the relevant area figures for the respective country from the national forest cover mapping statistics or the FAO FRA. Discuss the results with provincial and district staff of the forest department in order to verify the results of this assessment. Means of verification Forest cover map (national FRA or FAO FRA). Area statistics of forest cover mapping (national FRA or FAO FRA). Periodicity of measurement 5 10 years Measurement unit Status: ha Changes: ha/year and %/year Reporting on Indicator 1.2 Date of assessment:. Forest cover classes Area Percentage of total area (ha) (%) Dense forest Open forest Scrub forest Total The forest cover classes may be defined as follows (FAO 2000): Forest cover class Dense forest Open forest Scrub forest Description Forests where trees in the various storeys and the undergrowth cover a high proportion (> 40%) of the ground (interpreted as foliage coverage) and do not have a continuous dense grass layer. They are either managed of unmanaged forests, primary or in advanced state of reconstitution and may have been loggedover one or more times, having kept their characteristics of forest stands, possibly with modified structure and composition. Forests with discontinuous tree layer but with coverage of at least 10% and less than 40% of canopy cover. Generally, there is a continuous grass layer allowing grazing and spreading of fires. Forests where the dominant woody elements are shrubs i.e. perennial plants, generally more than 0.5 m and less than 5 m high on maturity and without a definite crown. 12

21 Chapter 3 Guide to assessment, reporting and monitoring MONITORING Changes in forest cover classes as interpreted from forest cover mapping. Monitoring format for Indicator 1.2 Forest cover classes Assessment 1 (date) Assessment 2 (date) Net area change (ha) (ha) (ha) % Dense forest Open forest Scrub forest INTERPRETATION OF RESULTS A desirable trend towards sustainable forest management is when the size of scrub and open forest areas declines with a corresponding rise in open and dense forests, respectively. Indicator 1.3 Area under trees outside forests This indicator refers to tree resources that exist outside the legally notified forest area (for a more detailed definition refer to Appendix 2). These trees are important sources for fuelwood, timber, fodder and other NWFPs. Because of limitations associated with remote sensing techniques the assessment of these scattered resources requires field sampling. Thus, Indicator 1.3 should only be included if periodic field inventories of areas outside forest can be implemented. ASSESSMENT AND REPORTING Indicator 1.3 Area under trees outside forests. Assessment procedure Data collection at the subnational level: Conduct field surveys of trees outside forests at the district level separately for rural and urban areas employing the following approach: (a) stratified random sampling on the basis of an agro-ecological land classification; (b) individual villages serve as sampling units; (c) distribution of sampling units over the agro-ecological zones is proportionate to the size of these zones; (d) all trees with dbh above 10 cm are enumerated in each sampling unit according to tree categories as shown below; (e) growing stock information is calculated for each tree category. Conduct field surveys of trees outside forests in urban areas following the approach in rural areas with the following exceptions: (a) sampling units are blocks of 120 to 160 households as have been defined by a statistics department for census purposes; (b) trees to be enumerated are grouped according to tree categories in urban areas as presented below; (c) growing stock information is calculated for each tree category. Aggregation/collection of data at the national level: Aggregate data of trees outside forest at the national level by using the results of the district-level field surveys. Means of verification Field surveys. Summary of field inventory results. Periodicity of measurement 5 years Measurement unit Status: ha, m 3 Changes: ha/year, m 3 /year 13

22 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Categories of trees outside forests in rural areas: Farm forestry Village woodlots Block plantations Roadside plantations Pond side plantations Railway line plantations Canal side plantations Others Trees along the farm bunds and in small patches up to 0.1 ha in area. Naturally growing or planted trees on community land. Compact plantations covering an area of more than 0.1 ha and not falling in any of the above categories. Trees planted along roadsides. Trees planted in and around water ponds. Trees planted along railway lines. Trees planted along canals. Trees not falling in any of the above categories. Categories of trees outside forests in urban areas: Farm forestry Woodlots Block plantations Roadside plantations Pond side plantations Railway line plantations Canal side plantations Homesteads Others Trees along the farm bunds and in small patches up to 0.1 ha in area. Naturally growing trees/planted trees on community land such as parks/gardens/institutional plantations etc. Patches covering an area of more than 0.1 ha and not falling in any of the above categories. Trees planted along roadsides. Trees planted in and around water ponds. Trees planted along railway lines. Trees planted along canals. Trees appearing in the house area and not covered in the first three categories. Trees not falling in any of the above categories. Detailed information about the sampling design and data processing methods is provided in Forest Survey of India (2001). Date of assessment:. Tree categories outside forests Farm forestry Village woodlots Block plantations Roadside plantations Pond side plantations Railway line plantations Canal side plantations Homesteads Others Reporting on Indicator 1.3 Area Total growing stock (ha) (m 3 ) 14

23 Chapter 3 Guide to assessment, reporting and monitoring MONITORING Monitoring format for Indicator 1.3 Tree categories outside forests Assessment 1 (date) Assessment 2 (date) Farm forestry Village woodlots Block plantations Roadside plantations Pond side plantations Railway line plantations Canal side plantations Homesteads Others Net change per year Area Gr.stock Area Gr.stock Area Gr.stock (ha) (m 3 ) (ha) (m 3 ) (ha) (m 3 ) This table shows the results of at least two assessments at five-year intervals and the change of the area and growing stock within the various tree categories outside forests as assessed through field sampling. INTERPRETATION OF RESULTS For a meaningful interpretation of the results of this indicator a comparison with the land-use and forest policy is necessary. For reasons of maintaining or achieving food security within the dry zone area in Asia prevailing land-use policies in many countries do not encourage the establishment of forests on productive agricultural land. However, the maintenance of sufficient tree cover for protection purposes e.g. to prevent soil erosion, and the production of wood and NWFPs on marginal lands is desirable. Indicator 1.4 Forest areas diverted for non-forestry use This indicator refers to the conversion of legally notified forest areas to permanent non-forest uses. This is a legal process that for many different reasons related to development may take place, e.g. establishment of infrastructure such as roads, power transmission lines, industrial estates, settlements or agriculture. Since legal processes are well documented by all forestry administrations this indicator can be assessed directly using the official records. ASSESSMENT AND REPORTING Indicator 1.4 Forest areas diverted for non-forestry use. Assessment procedure Data collection at the subnational level: Extract the relevant area figures from the official records at the district/provincial level. Aggregation/collection of data at the national level: Aggregate the area figures from the districts and compile results at the national level. Means of verification Official records such as diversion orders from the forestry department and land/survey departments. Annual administrative reports. Periodicity of measurement 5 years Measurement unit Status: ha Changes: ha/year and %/year 15

24 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Reporting on Indicator 1.4 Date of assessment:. Non-forestry uses Area Percentage of total area before diversion (ha) (%) Agriculture Settlements Urbanization Irrigation Hydroelectric power generation Mining Industrial estates Others (specify if applicable) Total area MONITORING Changes in diversion rate (five-year period) from permanent forest to non-forestry uses. Monitoring format for Indicator 1.4 Assessment 1 (diversion of last 5 years) Non-forestry uses Area % of total area before diversion Agriculture Settlements Urbanization Irrigation Hydroelectric power generation Mining Industrial estates Others (specify if applicable) Total area Assessment 2 (diversion of last 5 years) Area % of total area before diversion Diversion trend per year (last 10 years) Area % of total area (ha) (%) (ha) (%) (ha) (%) INTERPRETATION OF RESULTS The trend in diversion of permanent forest areas to non-forestry uses needs to be interpreted in relation to prevailing land-use and forest policy stipulations. Indicator 1.5 Extent of encroachment in forest areas With this indicator it is intended to quantify the impact of illegal occupation in forest areas. This can be assessed using two assessable verifiers, one on the number of legal proceedings filed against individual encroachment cases (Assessable Verifier 1.5.1), the other on the impact of encroachment activities on forest stocking conditions (Assessable Verifier 1.5.2). The latter can only be included in the assessment if forest cover maps with boundaries of the permanent forest estate and GIS processing facilities are available. 16

25 Chapter 3 Guide to assessment, reporting and monitoring ASSESSMENT AND REPORTING Assessable Verifier Number of cases of encroachment. Assessment procedure Data collection at the subnational level: Access the official records on encroachment cases. Aggregation/collection of data at the national level: Aggregate the area figures from the districts and compile results at the national level. Compile the number of encroachment cases and area figures of the various encroachment categories as indicated in the result table. Means of verification Official records on encroachment cases. Annual administrative reports. Periodicity of measurement 5 years Measurement unit Status: number, ha Changes: ha/year and %/year Reporting on Assessable Verifier Date of assessment:. Types of encroachment Encroachment cases Area affected by encroachment Agriculture Settlements Others (if applicable) Total (number) (ha) Assessable Verifier Extent of drastic changes from dense/open forests to non-forest conditions. Assessment procedure Data collection at the subnational level: Aggregation/collection of data at the national level: Use the forest cover maps and area statistics of two consecutive interpretation exercises (e.g. 5 or 10- year intervals). Check the area statistics for an increase of non-forest areas. If there is a drastic increase of the non-forest area, obtain more detailed information on the area changes from dense forest to non-forest and open forests to non-forests through GIS data processing at very specific localities (e.g. contiguous forest blocks). Encroachment is often represented by potholes created in the cover map. Means of verification Forest cover map. Area statistics of forest cover mapping (national FRA or FAO FRA). Periodicity of measurement 5 years Measurement unit Status: number, ha Changes: ha and % 17

26 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Date of assessment:. Area changes: Dense forest to non-forest Area % of dense/open forest area Reporting on Assessable Verifier Area changes: Open forest to non-forest Area changes: Dense/open forest to nonforest (ha) (ha) (ha) MONITORING Comparison of encroachment cases and actual area change in forest cover classes. Monitoring format for Indicator 1.5 Ownership Encroachment cases Area change from dense/open forest to nonforest for a period of 5 or 10 years Number of cases Area Agriculture Settlements Others (as applicable) Total (number) (ha) (ha) % INTERPRETATION OF RESULTS The comparison of encroachment cases and changes in the actual forest cover can only provide some crude indication of what has happened in the context of declining forest area. Both approaches have their limitations in that not all encroachments are recorded and followed up by legal action. Also, the same encroachment spot may be registered more than once in case of subsequent legal action on the same forest area. Furthermore, smaller patches (i.e. < 25 ha for maps with a scale of 1: and < 1 ha for maps with a scale of 1:50 000) cannot be identified on the forest cover map. However, the information provided by this indicator would, to some extent, shed some light on the contribution of illegal encroachment in the decline of forested areas. 3.2 Criterion 2: Maintenance of ecosystem health and vitality This criterion relates to the conditions of the dry forests and the biological functioning of the forest ecosystems. The health and vitality of forests can be affected by a variety of human actions and natural occurrences. Within certain limits the forest ecosystem is able to withstand disturbances and recuperate on its own. Natural or human-induced events of severe or even catastrophic extent may cause irreversible damage to the forest and lead to a decline of the forest. The indicators under this criterion attempt to capture the primary (Indicator 2.1) and secondary (Indicator 2.2) causes that negatively affecting forest health. Indicator 2.1 Extent of natural regeneration This indicator refers to the natural successions of forests on unstocked or partially stocked lands that are considered as forest. Within a natural forest management system, stands that are near to maturity 18

27 Chapter 3 Guide to assessment, reporting and monitoring or will be harvested need to have natural regeneration that is adequate in species composition and stocking. The existence of natural regeneration indicates the functioning of ecosystem processes and is also important for maintaining the forest s productivity. Since natural regeneration is relevant only at the local, site-specific level, the respective information is collected and updated through regular forest management planning. Consequently, adequate information about natural regeneration is only available for those areas under management plans. Therefore, this indicator exclusively refers to forests for which management plans have been prepared. ASSESSMENT AND REPORTING Indicator 2.1 Extent of natural regeneration. Assessment procedure Data collection at the subnational level: Review forest management plans for information about extent of natural regeneration. Compile area statistics on forest stands that require natural regeneration in order to maintain productivity and protective functions. Compile information on areas under adequate regeneration. Calculate ratio of area in need of natural regeneration and area under adequate regeneration. Aggregation/collection of data at the national level: Calculate the average ratio of area in need of natural regeneration and area under adequate regeneration. Means of verification Forest management plans. Consultation with district staff of the forestry department. Periodicity of measurement 5 years Measurement unit Status: ha, % Changes: % Date of assessment:. Forest area in need of natural regeneration Reporting on Indicator 2.1 Forest area under adequate natural regeneration Ratio between forest area in need of natural regeneration and area under adequate regeneration (ha) (ha) (%) Adequacy of natural regeneration. MONITORING Ratio between forest area in need of natural regeneration and area under adequate regeneration. Monitoring format for Indicator 2.1 Assessment 1 Assessment 2 Change (date) (date) % % % 19

28 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia INTERPRETATION OF RESULTS An overall ratio of about 1 would indicate that all areas that need to be regenerated show adequate stocking of natural regeneration species. Trends towards this situation are desirable for long-term maintenance of ecosystem functioning and productivity of the forests. In interpreting this indicator it should be mentioned that the results only apply to the area under management plans. Indicator 2.2 Extent of secondary forests Secondary forest usually refers to vegetation that establishes after the original natural tree cover has been destroyed either through natural or human-induced influences. In dry forests of Asia such areas are categorized under scrub forests in the forest cover mapping exercise. Since the area of scrub forests is assessed under Indicator 1.2, it is proposed not to deal further with this issue here. Indicator 2.3 Extent of forest areas affected by noxious weeds and pests/diseases This indicator relates to disturbances of the forest ecosystem by weeds and pests/diseases of epidemic proportions. These are largely the consequences of natural and human-induced phenomena as described in Indicator 2.4. Noxious weeds, for example, can thrive in forests that for a long time have been subject to grazing with associated soil compaction and destruction of the natural flora and fauna (Assessable Verifier 2.3.1). Another factor is related to pests and diseases that occur in proportions not regular in extent and duration (Assessable Verifier 2.3.2). ASSESSMENT AND REPORTING Assessable Verifier Extent of area under noxious weeds. Assessment procedure Data collection at the subnational level: Compile data on areas affected by noxious weeds. Aggregation/collection of data at the national level: Compile the figures obtained at the district level to provincial and national levels. Means of verification Annual reports by district forest offices on areas affected by noxious weeds. Working plan/management plan data where they exist. Periodicity of measurement 5 years Measurement unit Status: ha Changes: ha/year, %/year Reporting on Assessable Verifier Date of assessment:. Types of noxious weeds Area affected Total forest area Area affected as % of total forest area (ha) (ha) (%) Lantana camara Parthenium Flemingia Others, if applicable Total 20

29 Chapter 3 Guide to assessment, reporting and monitoring Assessable Verifier Extent of area affected by pests and diseases of epidemic proportions. Assessment procedure Data collection at the subnational level: Review records of areas affected by pests and diseases of epidemic proportions. Assess the area according to the most relevant pests and diseases*. Aggregation/collection of data at the national level: Compile the figures obtained at the district level to provincial and national levels Means of verification Annual reports by district forest offices on areas affected by pests and diseases. Periodicity of measurement 5 years Measurement unit Status: ha Changes: ha/year, %/year * In order to assess this parameter, a country specific classification on pests and diseases occurring in the dry forests needs to be compiled. An example from India is given here: Reporting on Assessable Verifier Date of assessment:. Type of pest/disease Shorea heartwood borer Teak defoliator/skeletonizer Root fungus (Fusarium) Total Area affected (ha) MONITORING Table showing the types of noxious weeds and pests and diseases. Types of noxious weeds, pests and diseases Lantana camara Parthenium Flemingia Others, if applicable Total Shorea heartwood borer Teak defoliator/skeletonizer Root fungus (Fusarium) Others, if applicable Total Monitoring format for Indicator 2.3 Assessment 1 Assessment 2 Net area change (date) (date) (ha) (ha) (ha) % INTERPRETATION OF RESULTS The extent of noxious weeds, pests and diseases provides some general indication about the health status of the forests. Frequent diseases of epidemic proportions would warrant some action in order to keep the ecosystem healthy and vital. Thus trends towards reduced areas affected by diseases would clearly indicate a path towards sustainable management. 21

30 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Indicator 2.4 Extent of forest area affected by human-induced and natural occurrences This indicator relates to disturbances caused by human activities such as burning and grazing, and to natural disturbances such as strong winds/storms and floods. Because the impacts of these occurrences on the forests are measured in different ways, separate assessable verifiers have been formulated, for each uncontrolled fire (Assessable Verifier 2.4.1), grazing (Assessable Verifier 2.4.2), wind/storm (Assessable Verifier 2.4.3) and flooding (Assessable Verifier 2.4.4) event. ASSESSMENT AND REPORTING Assessable Verifier Extent of area affected by uncontrolled* fire. Assessment procedure Data collection at the subnational level: Relevant records on fires in the legally notified forest area are maintained by the forest department at the district level. Compile summary statistics on number of fire incidences and the area affected. Aggregation/collection of data at the national level: Access statistics on fires at district/provincial levels. Aggregate this information, available at district and provincial levels. Compile the number of fire outbreaks and the area affected on an annual basis. Means of verification Reports on fires by the forest department. Periodicity of measurement 5 years Measurement unit Status: number of cases and ha Changes: ha/year and %/year *Within the context of fire protection for dry forest areas this assessable verifier exclusively refers to uncontrolled fires. Controlled burning to remove litter layers and the clearing and burning of fire breaks to prevent fires from spreading are important fire management control measures not accounted for in this assessable verifier. Monitoring of fire incidences is carried-out in all forest areas under the jurisdiction of the forest department. Other forests are usually not covered. Depending on the country-specific situation the area covered by fire monitoring needs to be specified for this assessable verifier. Date of assessment: Number of incidences Area affected Reporting on Assessable Verifier Annual area affected by fire Year 1 Year 2 Year 3 Year 4 Year 5 Total in 5 years 22

31 Chapter 3 Guide to assessment, reporting and monitoring Assessable Verifier Extent of area affected by grazing. Assessment procedure Data collection at the subnational level: Roughly identify those forest areas that are not affected by grazing. This allows obtaining an approximation of the area constantly or sporadically affected by grazing. Experienced forestry staff are able to identify these areas on forest maps. Determine the number of head of cattle in the vicinity of forests. This can be done if a regular cattle census is carried out and the term vicinity of forests is also specified (each country to define the respective zone). Calculate the number of head of cattle per unit forest area affected by grazing. Define the carrying capacity for each locality (district, province etc.) in consultation with expert organizations such as agricultural departments, universities etc. Calculate at the district level the area affected by grazing at two intensity levels: (a) below carrying capacity and (b) above carrying capacity. Aggregation/collection of data at the national level: Access statistics on the area affected by grazing at the district level. Calculate the total area affected by grazing that is below or above carrying capacity. Aggregate this information, available at district/provincial levels, to obtain the figures for the national level. Means of verification Reports on cattle censuses. Statistics on areas affected by grazing (maps). Periodicity of measurement 5 years Measurement unit Status: number of cattle, ha Changes: ha/year and %/year Reporting on Assessable Verifier Date of assessment:. Grazing intensity Average number of cattle head per unit Area affected by grazing forest area affected by grazing (n) (ha) Below capacity Above capacity Total 23

32 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Assessable Verifier Extent of area reforested after destruction by severe winds/storms or floods. Assessment procedure Data collection at the subnational level: Compile data on areas affected by severe winds/storms or floods over the last 5 years for each district. Review records for areas restocked by natural or artificial means. Define level of rehabilitation (e.g. blank, partly stocked, fully stocked)*. Compile annual figures of affected areas and restocked areas. Aggregation/collection of data at the national level: Compile the figures obtained at the district level to provincial and national levels. Means of verification Annual reports at district forest offices on areas destroyed by winds/storms and floods. Annual activity reports on reforestation measures. Reports on investments into forest rehabilitation after natural disasters. Periodicity of measurement 5 years Measurement unit Status: ha Changes: ha/year, %/year *A simple classification of the level of rehabilitation needs to be developed that allows forestry staff to group the destroyed areas according to the progress made in restocking them either by natural means or planting. Date of assessment:. Status of Area affected by rehabilitation winds/storms (last 5 years) Blank Partly stocked Fully stocked Total Reporting on Assessable Verifier Area affected by floods (last 5 years) Total area affected by natural disasters (last 5 years) Total (ha) (ha) (ha) (ha) Table showing the results of fire-affected areas. MONITORING Area affected by uncontrolled fire (5-year period) Number of cases Area Monitoring format for Indicator 2.4 Assessment 1 Assessment 2 (date) (date) Net area change (n)/(ha) (n)/(ha) (n)/(ha) % 24

33 Chapter 3 Guide to assessment, reporting and monitoring Table showing the results of areas affected by grazing. Area affected by grazing (5-year period) Average number of cattle head per unit forest area affected by grazing. Area affected by grazing below capacity. Area affected by grazing above capacity. Monitoring format for Indicator 2.4 Assessment 1 Assessment 2 Net area change (date) (date) (n)/(ha) (n)/(ha) (n)/(ha) % Table showing the status of rehabilitation of areas affected by natural disasters. Status of rehabilitation of areas affected by winds/storms and floods (last 5 years) Blank Partly stocked Fully stocked Total Monitoring format for Indicator 2.4 Assessment 1 Assessment 2 (date) (date) Net area change (n)/(ha) (n)/(ha) (n)/(ha) % INTERPRETATION OF RESULTS Although heavily dependent on the overall climatic circumstances (e.g. drought, temperature, rainfall) long-term trends in reducing the incidences of uncontrolled fire provide some indication about the efforts made and quality achieved towards sustainable forest management. Similarly, controlling grazing by limiting the use of forests as grazing grounds will also demonstrate the effectiveness of conflict resolution and participatory planning between forestry agencies and local communities. In contrast, natural disasters like severe winds and storms or floods cannot be prevented as such. However, efforts towards repairing environmental damage and rehabilitating the forest can be used to measure the level of ecosystem health and vitality. 25

34 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia 3.3 Criterion 3: Maintenance and enhancement of biodiversity Under this criterion an assessment of the status of biological diversity in the dry forests is undertaken. Because protection areas play a major role in the conservation of the rich diversity of plant and animal species, the size of their area is monitored. The protection areas are also classified according to the forest type they represent providing additional valuable information about the range of biological diversity captured in fully protected zones. At the individual species level, threats to biodiversity are assessed through the lists of threatened and extinct plant and animal species along with the existing regulations on protecting these species. At the level of gene resources, the level of conservation efforts is measured by looking at the occurrence of threatened species in one of several ongoing gene conservation mechanisms. Indicator 3.1 Extent of protected areas This indicator refers to forest areas that are protected by law. It also provides information about the occurrence of the natural forest types within these protected zones. The rationale for this proposed amendment is as follows: Besides the fact that a minimum percentage of the total forest area should be fully protected, it is of equal importance for the conservation of biodiversity that these areas adequately represent the natural forest types which are typical for the dry forest zone in a particular region. Each of the two aspects (i.e. area of protected forest and forest type within these conservation zones) is assessed with a separate assessable verifier as outlined below. ASSESSMENT AND REPORTING Assessable Verifier Extent of protected areas. Assessment procedure Data collection at the subnational level: Review relevant area records on protected areas maintained by the forest department, departments of environment etc. at district or provincial levels. Compile summary statistics for each district/province on size of protected areas according to the official protected area classification. Aggregation/collection of data at the national level: Compile total area of protected areas at the national level. Means of verification Area statistics of the forest department, ministry of environment, department of environment etc. Official maps of protected area networks. Periodicity of measurement 5 years Measurement unit Status: ha Changes: ha and % 26

35 Chapter 3 Guide to assessment, reporting and monitoring Reporting on Assessable Verifier Date of assessment:. Protected area classification (according to IUCN)* Area Percentage of total protected area (ha) (%) Strict nature reserves/wilderness areas National parks Natural monuments Habitats/species management areas Protected landscapes Managed resource protection areas Total protected area 100% * If the IUCN protected area classification is not in use it needs to be replaced by a nationally accepted system. Assessable Verifier Representation of forest types in the protected areas. Assessment procedure Data collection at the subnational level: Review forest type classification and mapping for each protected area and generate area statistics of forest types. Compile the extent of forest types within the protected areas for individual districts/provinces. Aggregation/collection of data at the national level: Compile the total area of forest types in protected areas at the national level. Means of verification Forest type map. Area statistics of the forest department, department of environment. Vegetation surveys of expert institutions. Periodicity of measurement 5 years Measurement unit Status: ha Changes: ha and % Reporting on Assessable Verifier Date of assessment:. Forest types Area Percentage of total protected area (ha) (%) Type 1: Dry deciduous teak forest. Type 2: Dry and thorny forest Type 3: Deserts Etc. Total protected area 100% 27

36 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia MONITORING Table showing the extent of the protected area by forest type. Monitoring format for Indicator 3.1 Forest types in protected areas Assessment 1 (date) Assessment 2 (date) Net area change (ha) (ha) (ha) % Type 1: Dry deciduous teak forest Type 2: Dry and thorny forest Type 3: Deserts Etc. Total protected area INTERPRETATION OF RESULTS The information on total protected areas and representation of forest types within these protected areas provides a general picture about biodiversity conservation in the dry forest zone of a country. Long-term trends in protected area development and forest type representation will allow the identification of future conservation measures. These may include the expansion of the protection zone to include forest types and sites of special conservation value into the existing network of protection areas. Indicator 3.2 Number of threatened, keystone, flagship and endemic species of plants and animals This indicator refers to the official lists of threatened plant and animal species that have been compiled by expert organizations in the field of botanical and zoological sciences. In addition, information on special measures in place for the protection of threatened species is also collected under this indicator. It should be noted that a slight change to this indicator is proposed here. This indicator should exclusively deal with threatened species. These species are well defined through their occurrence on the list of threatened species and their status has been verified by experts. Also adding to this assessment keystone, flagship and endemic species would lead to some overlap in assessment and make interpretation of results more complicated. It is also proposed to add an assessment of the provisions in place to protect the threatened species. The proposed revised wording of this indicator is: Number of threatened species of plants and animals and provisions in place to protect them. The list of threatened plant and animal species is dealt with by Assessable Verifier 3.2.1, while information on special protection measures is compiled through Assessable Verifier

37 Chapter 3 Guide to assessment, reporting and monitoring ASSESSMENT AND REPORTING Assessable Verifier Number of threatened species of plants and animals and species driven to extinction. Assessment procedure Data collection at the subnational level: Information to be collected at the national level. Aggregation/collection of data at the national level: Review the relevant documents to obtain the latest updated and approved lists of threatened/extinct plant and animal species. Verify the lists through discussions with expert institutions. Means of verification Reports by scientific organizations on threatened species. Decrees, circulars by the ministry of forestry, environment or agriculture. Interviews with experts. Periodicity of measurement 5 years Measurement unit Status: number Changes: number Date of assessment:.. List of threatened/extinct species List of plants extinct List of plants threatened List of animals extinct List of animals threatened Reporting on Assessable Verifier Individual species (scientific name, vernacular name) Total number of species under each list Assessable Verifier Provisions in place to protect threatened species. Assessment procedure Data collection at the subnational level: Information to be collected at the national level. Aggregation/collection of data at the national level: Review the relevant documents to obtain information about the level of protection of threatened plant and animal species. Discuss with expert institutions the level of protection and its impact through practical implementation. Means of verification Laws on environmental protection, forestry and wildlife management. Regulations issued by the ministry of forestry, environment or agriculture. Periodicity of measurement 5 years Measurement unit Status: categories (level of protection) Changes: % 29

38 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Reporting on Assessable Verifier Date of assessment:.. Threatened species lists Threatened species Fully protected No protection List of plants: Species 1 Species 2 List of animals Species 1 Species 2... MONITORING Changes in number of threatened and extinct species of plants and animals. Monitoring format for Indicator 3.2 Assessment 1 (date) Assessment 2 (date) Total number of Total number of Total species species number of species Net changes Moved to list of extinct species Newly threatened species List of extinct plant species List of extinct animal species List of threatened plant species List of threatened animal species Changes in protection measures for threatened species of plants and animals. Monitoring format for Indicator 3.2 Assessment 1 Assessment 2 (date) (date) Percentage of number Percentage of number of species of species Changes Percentage of number of species List of threatened plant species List of threatened animal species Fully protected No protection Fully protected No protection Fully protected No protection INTERPRETATION OF RESULTS Changes in the total number of plant and animal species in the list of extinct and threatened species reflect the status of conservation of biological diversity within the dry forest zone. Countermeasures by the land and forest administration to protect threatened species can be derived from the assessment 30

39 Chapter 3 Guide to assessment, reporting and monitoring of protection regulation in place for the individual species. This information will clearly indicate desirable future steps to be undertaken towards enhanced conservation measures. Indicator 3.3 List of flora and fauna Under this indicator the plants and animal species occurring in the dry forest zone of Asia are documented. Expert institutions in the field of botany and zoology need to be involved in this task. The level of detail on plants and animal species and the format for reporting are to be decided in close cooperation with the respective experts. Indicator 3.4 Extent of non-destructive harvest Although one of the most important ingredients of good management, low/reduced impact harvesting operations can only be monitored at the FMU level, provided a systematic process of management/operational planning and monitoring/reporting is followed. In many regions of the dry forests in Asia this is still the exception and thus such data are neither available at the FMU level nor at the national level. At the current stage, it appears very difficult to obtain adequate data for this indicator. In areas with systematic forest management planning and control of implementation of forest operations one may assess the annual area that is harvested with reduced-impact methods. The extent of these areas could serve as examples for non-destructive harvest operations. Indicator 3.5 Percentage of cover by forest type This indicator assesses the distribution of forest types in the legally notified forest area. Forest type usually refers to a classification of forest land based on species forming a plurality of live-tree stocking. Type is determined by species composition of all live trees that contribute to stocking. In measuring this indicator a locally relevant classification needs be adopted taking into consideration the natural forest type and any major forest type created through human influences such as plantations. Indicator 3.5 Percentage of cover by forest type. Assessment procedure Data collection at the subnational level: Review forest type classification and mapping for the entire legally notified forest area at the district level. Compile the extent of forest types for individual provinces. Aggregation/collection of data at the national level: Compile the total area offorest within the dry forest zone at the national level. Means of verification Forest type map. Area statistics of the forest department, department of environment. Vegetation surveys of expert institutions. Periodicity of measurement 5 years Measurement unit Status: ha Changes: ha and % 31

40 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia. Indicator 3.5 Date of assessment:. Forest types Area Percentage of total protected area (ha) (%) Dry deciduous teak forest. Dry and thorny forest Plantations Etc. Total protected area 100% Table showing the extent of area by forest type. MONITORING Forest types in the legally notified forest area Dry deciduous teak forest. Dry and thorny forest Plantations Etc. Total protected area Monitoring format for Indicator 3.5 Assessment 1 Assessment 2 Net area change (date) (date) (ha) (ha) (ha) % INTERPRETATION OF RESULTS Trends in the coverage of forest types provide, at a general scale, information about the changes in tree species composition and structure of forest stands. If the forest type classification distinguishes between natural and human-induced stand structures, the monitoring results will also allow reporting on the success or failure to maintain the extent of certain natural and/or semi-natural forest ecosystems. Indicator 3.6 Mechanisms for the conservation of genetic resources In the context of maintaining or even enhancing the level of biological diversity the mechanisms for the conservation of genetic resources of threatened species is of utmost importance. Therefore, this indicator looks at the list of threatened plant species and establishes which of these species are covered by established gene conservation mechanisms. Since this information can be assessed directly a further breakdown of the indicator into assessable verifiers is not required. 32

41 Chapter 3 Guide to assessment, reporting and monitoring ASSESSMENT AND REPORTING Indicator 3.6 Mechanisms for the conservation of genetic resources. Assessment procedure Data collection at the subnational level: Collect information on existing gene conservation methods. Compile statistics on species used in individual gene conservation methods. Aggregation/collection of data at the national level: Compile statistics on species used in individual gene conservation methods at the national level. Means of verification Reports on gene resource conservation by the forest department, national or provincial research institutions. Periodicity of measurement 5 years Measurement unit Status: numbers Changes: % Date of assessment:. Threatened species Reporting on Indicator 3.6 In-situ conservation* Gene conservation mechanism Ex-situ Germplasm conservation* bank* Tissue culture* Species 1 Species 2 Species 3 Etc. Total number of species covered *Definitions: In-situ conservation: Specially marked conservation plots within natural forests (trees are permanently marked). Ex-situ conservation: Planted trees outside natural forests. Germplasm bank: A reserve plot where important species are planted and maintained as a gene bank for further propagation of the species. Tissue culture: Reproducing species through the techniques of tissue culture using plant components. 33

42 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia MONITORING Changes in coverage of threatened species in gene conservation mechanisms. Gene conservation mechanisms Monitoring format for Indicator 3.6 Assessment 1 (date) Assessment 2 (date) Changes Percentage of threatened species Percentage of threatened species Percentage of threatened species Fully covered Partly covered Not covered Fully covered Partly covered Not covered Fully covered Partly covered Not covered In-situ conservation Ex-situ conservation Germplasm bank Tissue culture Definition of full coverage, partial coverage: Full coverage is achieved if the threatened species is at least covered by in-situ and ex-situ mechanisms. It is only partly achieved if the species is covered by one of the four methods. INTERPRETATION OF RESULTS Changes in the coverage of threatened species in one or more gene conservation mechanisms provide some insight into the active conservation efforts undertaken by the forest authorities. A desirable situation would be achieved if the majority of the threatened species is covered by at least two out of four gene conservation mechanisms. 3.4 Criterion 4: Conservation and enhancement of soil and water resources and other environmental functions This criterion deals with the protection of soil and water in the forest. First, it has a bearing on maintaining the productivity and quality of forest and related aquatic ecosystems and on the health and conditions of the forests; secondly, it also plays a crucial role outside the forest in maintaining downstream water quality and flow and reducing flooding and sedimentation. In this context the assessment concentrates on the extent of forest area primarily managed for the protection of soil and water and parameters measuring the duration of streamflow, water yield and water table. Indicator 4.1 Extent of watershed areas under management This indicator addresses the issue of forest land-use planning whereby areas that aim at the protection of soil and water are delineated and allocated to a special protection zone (e.g. Protection Working Circle in India). Harvesting of forest produce in this zone is mostly limited to the collection of NWFPs and fuelwood; cutting of trees for timber is prohibited. For assessing this indicator at the national level one needs to distinguish between forest with and without periodic management planning at the FMU level. In areas with FMU-level forest management plans a delineation of the various protection zones has been made on the basis of topography and site conditions. Aggregating the area information obtained from individual FMUs will provide the extent of the soil and water 34

43 Chapter 3 Guide to assessment, reporting and monitoring protection zone at the national level. In countries without management plans at the FMU level, an approximation of the soil and water protection zone can be derived from the forest cover map in combination with overlays of topography and water courses. For each approach a separate assessable verifier has been formulated. ASSESSMENT AND REPORTING Assessable Verifier Extent of forest area managed for the protection of soil and water based on FMU-level planning. Assessment procedure Data collection at the subnational level: Compile area figures of soil and water protection zones at district/fmu levels according to topographic maps, soil and site information and forest cover classification. Compile summary statistics for each district/province on size of areas for soil and water protection. Aggregation/collection of data at the national level: Compile total area of soil and water protection zones. Means of verification Compartment records. Forest management plans. Periodicity of measurement 5 years Measurement unit Status: ha Changes: ha and % Reporting on Assessable Verifier Date of assessment:. Forest cover classes Area Percentage of total soil/water protection area (ha) (%) Dense forest Open forest Scrub forest Non-forest Total area 100% For the development of a national assessment system, soil and water protection areas may be delineated on the basis of the attributes shown in the table below. In case other classifications are in use in a particular country these should be employed. Soil and water protection Areas with slopes > 25. areas include: Areas on slopes < 25 but with soil conditions susceptible to erosion. Areas without or minimal tree cover not suitable for forest growth. 35

44 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Assessable Verifier Extent of forest area managed for the protection of soil and water derived from remote sensing data Assessment procedure Data collection at the subnational level: Carry out an interpretation of those areas that meet the criteria defined for soil and water protection by using the forest cover map with overlays of topography and water courses. Compile for each district/province summaries of soil and water protection zones according to the forest cover classification. Aggregation/collection of data at the national level: Compile total area of soil and water protection zones. Means of verification Forest cover maps, topographic maps. Statistics of national forest cover assessments. Periodicity of measurement 5 years Measurement unit Status: ha Changes: ha and % Reporting on Assessable Verifier Date of assessment:. Forest cover classes Area Percentage of total soil/water protection area (ha) (%) Dense forest Open forest Scrub forest Non-forest Total area 100% For definitions of soil and water protection areas see Assessable Verifier MONITORING Table showing the extent of areas managed for soil and water protection by forest cover classes. Monitoring format for Indicator 4.1 Forest cover classes Assessment 1 (date) Assessment 2 (date) Net area change (ha) (ha) (ha) % Dense forest Open forest Scrub forest Non-forest Total area INTERPRETATION OF RESULTS Information on the areas managed for soil and water protection according to forest cover classes provides some indication to what extent these forests fulfil their protective function. Non-forest and scrub forest formations obviously would need active rehabilitation measures to increase crown cover density. It should be noted that areas which do not support tree growth (high mountain sites, waterlogged areas) should be excluded when quantifying future rehabilitation targets. Trends in the proportion of cover density classes in the soil/water protection zone will clearly show whether or not current practices of protection and/or rehabilitation measures are adequate. 36

45 Chapter 3 Guide to assessment, reporting and monitoring Indicator 4.2 Area under shelter- and green belts This indicator refers to trees outside forests that have been planted in predominantly agricultural land for the protection of soil and water. An assessment of this indicator can be combined with data collection for Indicator 1.3 Areas under trees outside forests. During field sampling, areas stocked with trees along rivers, streams, canals, around wells and on steeper slopes could be recorded as for protection of soil and water. In this way, the proportion of areas with trees particularly serving soil and water protection purposes can be calculated. ASSESSMENT AND REPORTING Indicator 4.2 Area under shelter- and green belts. Assessment procedure Data collection at the subnational level: Field inventory at the district level in combination with the survey for trees outside forests (Indicator 1.3). Areas with trees that specifically serve soil and water protection are marked in the inventory field sheets.* Compile area figures from field surveys at district/fmu levels. Aggregation/collection of data at the national level: Compile total area of trees with soil and water protection functions outside forests. Means of verification Results of field survey on trees outside forests. Periodicity of measurement 5 years Measurement unit Status: ha Changes: ha and % * There should be a provision in the field inventory for separately recording these areas. In addition, a clear definition of shelterbelts and green belts with protective functions for soil and water is a prerequisite for proper assessment (e.g. trees along rivers and streams, steep slopes etc.). Reporting on Indicator 4.2 Date of assessment:. Area Percentage of total area of trees outside forests (ha) (%) Shelter- and green belts Other areas covered by trees outside forests Total area of trees outside forests 100% MONITORING Shelter- and green belts Other areas covered by trees outside forest Total area of trees outside forest Monitoring format for Indicator 4.2 Assessment 1 (date) Assessment 2 (date) Net area change (ha) (ha) (ha) % 37

46 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia INTERPRETATION OF RESULTS Trends in the extent of areas covered by trees planted and maintained for the purpose of soil and water protection provide some insight into the level of awareness and importance of soil conservation measures in agriculture. In case the trend is negative (i.e. declining areas covered with trees) possible causes should be established and countermeasures worked out. Indicator 4.3 Duration of streamflow and water yield This indicator describes the roles of forests in converting precipitation into perennial flow of water through infiltration and base flow. The duration of streamflow assessed here is a measure of the infiltration and water retention capacity of the soil. Indicator 4.3 Duration of streamflow. Assessment procedure Data collection at the subnational level: Organize and maintain an information network on measuring sites for streamflow at the district/provincial levels. Obtain data on duration of streamflow from expert institutions, rural development projects and village communities. Obtain data on annual rainfall from relevant measuring stations. Aggregation/collection of data at the national level: Compile information at the national level, by grouping the measuring sites into a meaningful classification in order to reflect the influence of forests on the duration of streamflow (see reporting below). Means of verification Official assessment procedures for streamflow. Reports of soil and water departments or hydrological departments, rural development projects. Interviews with village communities. Periodicity of measurement 5 years Measurement unit Status: days/year Change: days/year Rainfall: mm Reporting on Indicator 4.3 Date of assessment:. Measuring sites located... Average annual rainfall during measuring period Average duration of streamflow in the last 5 years (mm) (days/year) In the forest* Outside and adjacent to forests* Outside and distant from forests* *For the development of a national assessment system an appropriate classification of measuring sites, particularly those adjacent to forests and distant from forests needs to be selected. This should be done in a way that best captures the influence of forest and trees on the duration of streamflow. 38

47 Chapter 3 Guide to assessment, reporting and monitoring Changes in duration of streamflow. MONITORING Measuring sites located... In the forest Outside and adjacent to forests Outside and distant from forests Monitoring format for Indicator 4.3 Assessment 1 Assessment 2 Changes (date) (date) Average Duration of Average Duration of Average Duration of rainfall streamflow rainfall streamflow rainfall streamflow mm (days/year) mm (days/year) mm (days/year) INTERPRETATION OF RESULTS The specific climate in the dry forests of Asia with its seasonal rainfall and longer dry periods is often prone to a negative water balance in the ecosystem. This water balance can be described with the duration of streamflow. However, it should be noted that the influence of the actual annual rainfall and the location of the reference point where the observations have been taken play a significant role in the interpretation of trends in the water balance, and have therefore been included in the assessment. Long-term trends may provide some indication on how the water situation develops over time, although the contribution made by forests and trees on the water balance cannot be determined exactly. Indicator 4.4 Extent of soil erosion Soil erosion is an important aspect in land management, particularly for maintaining long-term soil fertility and thus forest productivity. The rate of soil erosion varies with site-specific parameters such as slope gradient, soil type, soil texture and structure, rainfall, vegetation type and management interventions. Measuring soil erosion is a difficult task usually requiring long-term studies in larger test areas with calibration periods and subsequent application of different management regimes. Extrapolating the results of these studies to a regional level in order to arrive at the total area affected by a certain level of soil erosion is rather problematic because of the variability of erosion rates. Due to these difficulties it is proposed to exclude this indicator from an assessment at the national level. 39

48 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Indicator 4.5 Change in level of the water table This indicator deals with the percolation of water into subsurface soil layers and can be gauged by the level of the groundwater table. Indicator 4.5 Change in the level of the water table. Assessment procedure Data collection at the subnational level: Organize and maintain an information network on measuring sites for assessing the level of the water table. Obtain data on the level of the water table from expert institutions that maintain groundwater observation points. Aggregation/collection of data at the national level: Compile information at the national level, by grouping the groundwater observation points into a meaningful classification in order to reflect the influence of forests (see reporting below). Means of verification Official procedures for groundwater table assessment. Reports of soil and water departments or hydrological departments. Periodicity of measurement 5 years Measurement unit Status: m Rainfall: mm Reporting on Indicator 4.5 Date of assessment:. Measuring sites located... Average annual rainfall during measuring period Average water table in the last 5 years mm m Near to forest* Distant from forest* *Appropriate measuring sites for assessing the level of the water table are to be selected in close cooperation with expert institutions. Changes in the level of the water table. MONITORING Measuring sites located Near to forest Distant from forest Monitoring format for Indicator 4.5 Assessment 1 Assessment 2 (date) (date) Average Average Average Average rainfall water table rainfall water table in the last 5 in the last 5 years years Average rainfall Changes Average water table in the last 5 years mm m mm m mm m 40

49 Chapter 3 Guide to assessment, reporting and monitoring INTERPRETATION OF RESULTS The specific climate in the dry forests of Asia with its seasonal rainfall and longer dry periods is often prone to a negative water balance in the ecosystem. This water balance can also be described with the level of the water table. Regular monitoring of the water table takes place on agricultural land and in rural settlements for purposes of monitoring water availability for human consumption and irrigation. For assessing the influence forest management may have on the level of the water table carefully selected measuring sites are needed. Maintaining the water table within long-term regular fluctuations and avoiding a steady downwards trend could be a desired situation to which forests and forest management can contribute. Indicator 4.6 Change in sediment load Sediment load in rivers and streams consists of soil particulates that are exported from the ecosystem through soil erosion. The rate of soil erosion varies with site-specific parameters such as slope gradient, soil type, soil texture and structure, rainfall, vegetation type and management interventions. Being closely associated with soil erosion, sediment loads are very difficult to extrapolate at the national level and thus it is proposed to refrain from assessing this indicator. 3.5 Criterion 5: Maintenance and enhancement of forest productivity This criterion deals with the economic function of the forests in terms of wood and non-wood forest produce. Maintaining or increasing the productivity of forest is considered an important aspect of forest management. This is particularly important in the dry forest zone of Asia where forests are under considerable pressure to provide a wide range of goods such as timber, fire wood, fodder and other non-wood forest products. Key aspects to be assessed under this criterion refer to the area under forest management plans, growing stock and harvest levels, regeneration of forests and the efforts made by society to develop and apply new technologies for the management and utilisation of forests. Indicator 5.1 Extent of forest area under forest management plans This indicator refers to the forest area that is managed based on documented plans. In some countries within the dry forest zone of Asia systematic forest management planning has a long tradition, in others such planning is not yet widely applied. On public land forest management plans are usually prepared according to standard procedures approved by the forest department and revised every 10 years. This indicator which directly can be measured assesses the forest area covered by management plans. 41

50 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia ASSESSMENT AND REPORTING Indicator 5.1 Extent of forest area under forest management plans Assessment Procedure Data collection at sub-national level: Review official statistics on forest area under management plans. Compile the total forest area under management plans at district-level according to ownership categories. Aggregation/collection of data at national level: Compile information at the national level, grouped into areas with management plans and areas without management plans. Means of Verification Official records at the district-level Periodicity of Measurement 5 years Measurement Unit Status: ha Changes: % Reporting on Indicator 5.1 Date of Assessment:. Ownership Area under management Area not under Total plan management plan (ha) (ha) (ha) Permanent forest estate (Public land) Communal land Private land Others (as applicable) Total MONITORING Table showing the extent of forest area under management plan. Monitoring Format for Indicator 5.1 Ownership Assessment 1 (Date) Assessment 2 (Date) Area under Area not Area under Area not management under management under plan management plan management plan plan Permanent forest estate (public land) Communal land Private land Others (as applicable) Total Area under management plan Area Change Area not under management plan (ha) (ha) (ha) (ha) % % 42

51 Chapter 3 Guide to assessment, reporting and monitoring INTERPRETATION OF RESULTS The extent of area under forest management plans provides an indication on the level of systematic forest planning applied within a country. The preparation of such plans requires the application of standard procedures such as forest inventories, growth and yield calculations and/or social baseline surveys and a systematic compilation of the collected information. Given that management decisions based on sound information are superior compared with decisions made without such background the changes in extent of area under plans provides some indication on how a country moves towards achieving sustainable forest management. Indicator 5.2 Changes in growing stock of wood and NWFPs This indicator measures the level of growing stock that is available in the forest in terms of the total standing volume of wood per ha or any other forest produce. Growing stock information can be derived from FMU-level planning through the process of forest management planning or forest cover mapping at the national level combined with field verification. Depending on the available information for the dry forests in the particular country the assessment can be done by using either Assessable Verifier or Assessable Verifier In case a specific NWFP is of particular relevance and the respective information is available at the FMU-level a third Assessable Verifier could be applied under this indicator. ASSESSMENT AND REPORTING Assessable Verifier Changes in growing stock* of wood based on FMU-level planning Assessment Procedure Data collection at sub-national level: Review the growing stock information provided in forest management plans available at forest district level. Compile the average growing stock based on the area of different stocking densities. Aggregation/collection of data at national level: Compile the average growing stock at the national level for each stocking density Calculate the overall growing stock as weighted average based on area. Means of Verification Forest management plans Periodicity of Measurement 5 years Measurement Unit Status: m 3 /ha Changes: % *Definition: Growing stock: Stem volume of all living trees more than 10 cm diameter at breast height, dbh, (or above buttresses if these are higher), over bark measured from stump to the top of the bole. Excluded are all branches. Commercial growing stock: Part of the growing stock that consists of species considered as actually or potentially commercial under current local and international market conditions, at the reported reference diameter (dbh). Includes: species which are currently not utilised, but potentially commercial having appropriate technological properties. 43

52 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Reporting on Assessable Verifier Date of Assessment:. Forest cover classes Total growing stock Commercial growing stock (m 3 /ha) (m 3 /ha) Dense forest Open forest Scrub forest Others (as applicable) Total Assessable Verifier Changes in growing stock* of wood based on forest cover map Assessment Procedure Data collection at sub-national level: Aggregation/collection of data at national level: Use the forest cover map that distinguishes between forest cover density classes. Extract the relevant area figures for the different cover density classes from the national forest cover mapping statistics. Review field inventory data particularly in terms of their usefulness to represent the stocking conditions as interpreted from the forest cover map. Discuss with experts about realistic estimation of average growing stock levels for each forest cover class. Means of Verification Forest cover map and statistics Inventory records (national or FMU-level inventories) Periodicity of Measurement 5 years Measurement Unit Status: m 3 /ha Changes: % *Within the context of forest cover mapping a definition of growing stock is required and depends on the type of field verification plots and resolution of remote sensing data available. Reporting on Assessable Verifier Date of Assessment:. Forest cover classes Total growing stock Commercial growing stock (if data available) (m 3 /ha) (m 3 /ha) Dense forest Open forest Scrub forest Others (as applicable) Total For this verifier one would need to specify a certain NWFP for which growing stock information, at least in some FMUs is available. 44

53 Chapter 3 Guide to assessment, reporting and monitoring Assessable Verifier Changes in growing stock of XXX (NWFP) based on FMU-level planning* Assessment Procedure Data collection at sub-national level: Review the growing stock information provided in forest management plans available at forest district level. Compile the average growing stock based on the area of different stocking densities. Aggregation/collection of data at national level: Compile the average growing stock at the national level for each stocking density Calculate the overall growing stock as weighted average based on area. Means of Verification Forest management plans Results of NWFP inventories and field assessments Periodicity of Measurement 5 years Measurement Unit Status: depends on the type of NWFP/ha (e.g. kg/ha or litre/ha) Changes:% *Applicable if this NWFP species is covered in FMU-level management planning. Examples: Diospyros melanoxylon leaves, Shorea robusta (Sal) seeds; gums, resin. Reporting on Assessable Verifier Date of Assessment:. Forest cover classes Total stocks of NWFP (Species Y) (if data are available) Dense forest Open forest Scrub forest Any other classification Total (e.g. kg/ha; litre/ha) Changes in growing stock of wood. MONITORING Forest cover class Dense forest Open forest Scrub forest Average over all forest cover classes Monitoring Format for Indicator 5.2 Assessment 1 Assessment 2 Changes (Date) (Date) Total Commercial Total Commercial Total Commercial growing growing stock growing growing stock growing growing stock stock stock stock (m 3 /ha) (m 3 /ha) (m 3 /ha) (m 3 /ha) (%) (%) Changes in growing stock of NWFP (Species Y). 45

54 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Monitoring Format for Indicator 5.2 Forest cover Assessment 1 Assessment 2 Changes class (Date) (Date) (if data are Total stocks of NWFP Total stocks of NWFP Total stocks of NWFP available) (e.g. kg/ha; litre/ha) (e.g. kg/ha; litre/ha) (%) Dense forest Open forest Scrub forest Average overall forest cover classes INTERPRETATION OF RESULTS In general, information on the average growing stock of larger forest areas expressed as standing wood volume per hectare is an indication for the productivity of the forest. In this context it is important to maintain this average growing stock at an optimum level. This optimum level is defined as the level of growing stock at which a maximum or near-to-maximum wood production is attained. Monitoring the changes of the average growing stock provides an excellent means of assessing forest productivity against defined management objectives. Given the fact that considerable portions of the dry forests are scrub and open forest stands, an increase in the average growing stock level may in the medium-term - be a desirable trend towards sustainable forest management. Indicator 5.3 Difference between allowable and actual cuts This indicator essentially is a comparison between harvestable volumes of forest produce as prescribed in forest management plans and actual harvest volumes obtained from the forest over a specified period. Allowable and actual harvests or cuts can only be assessed in areas under management planning. Allowable harvests prescribed in the management plan for periods of 10 years are calculated using standard yield regulation procedures based on field inventory data, growth and yield estimations and silvicultural systems applied. Through yield regulation processes harvest levels are identified that can be maintained over long periods and doe not lead to a depletion of the forest s growing stock. Information for this indicator can directly be obtained from relevant documents. ASSESSMENT AND REPORTING Indicator 5.3 Difference between allowable and actual cuts Assessment Procedure Data collection at sub-national level: Compile summary tables for each FMU giving the prescribed annual allowable cut and the actual harvest volume obtained in that year. Calculate the average difference between the allowable and actual cuts for a 5-year period. Aggregation/collection of data at national level: Compile a summary table showing the average difference for each FMU Calculate an overall average figure for this difference for all FMUs combined. Means of Verification Forest management plans Periodicity of Measurement 5 years Measurement Unit Status: m 3 Changes: % 46

55 Chapter 3 Guide to assessment, reporting and monitoring Reporting on Indicator 5.3 Date of Assessment:. FMU Annual allowable cut Average actual annual cut over 5-year period Difference between allowable and actual annual cut (m 3 ) (m 3 ) (m 3 ) FMU 1 FMU 2 FMU 3 FMU 4.. Overall average* * Average difference between allowable and actual cut over all FMUs within the dry forest zone of a country. MONITORING Trends in the difference between allowable harvest and actual cut. Monitoring Format for Indicator 5.3 Assessment 1 Assessment 2 Changes (Date) (Date) Average difference between annual allowable and actual cut Average difference between annual allowable and actual cut (m 3 ) (m 3 ) % Region 1* Region 2 Etc. Average *If appropriate, one may also report the difference between allowable and actual cut separately for each region within a country. INTERPRETATION OF RESULTS The annual amount of timber to be harvested is usually prescribed at conservative levels that ensure a non-declining growing stock over time. In degraded forests this level is even below the actual annual growth, in order to increase the growing stock and thus productivity of the forest. Maintaining the actual harvest volume within the limits prescribed in the management plan is therefore an important ingredient for the sustainability of forests. Indicator 5.4 Annual NWFP removable This indicator refers to annual harvest levels of certain NWFPs. Usually reliable data on NWFP stocks and sustainable rates of extraction are absent. However, information on specific NWFPs such as tendu leaves could be available in certain FMUs or regions. In these cases, one should follow the same procedure as outlined under Indicator 5.3 dealing with the comparison of allowable and actual timber extraction rates. Indicator 5.5 Area of afforestation and new plantations including agroforestry This indicator assesses the extent of area where either measures to promote natural regeneration or planting activities have been implemented. Agroforestry is not assessed under this indicator because tree resources growing in intercropping systems belong to trees outside forest and are covered by 47

56 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Indicator 1.3. For planting activities it is also of interest whether indigenous or exotic species have been used in the plantation. Since there is usually more detailed information on forest management available in the legally notified forest area compared with the forest area outside the legally notified forests, two separate verifiers are used in this assessment. Moreover, data collection in the area outside forest may not be confined to documents available at the forest department, but could also involve interviews with land owners and communities. Today, under-stocked forest stands in the dry forest area are increasingly rehabilitated by means of natural regeneration. Experience have shown that in some regions this is a cheaper means of bringing the forest back into production or restore its functions, particularly soil and water protection and conservation of biodiversity. ASSESSMENT AND REPORTING Assessable Verifier Area of natural regeneration treatment or planting in the legally notified forest area. Assessment Procedure Data collection at sub-national level: Compile at district level the annual area that has been subject to any type of natural regeneration treatment or planting. For the planting area distinguish between plantings with indigenous and exotic species. Aggregation/collection of data at national level: Aggregate the areas of natural regeneration treatment and planting collected at the district level. Means of Verification Forest management plans and associated reports Reports of afforestation projects Periodicity of Measurement Annual data collected every 5 years Measurement Unit Status: ha Changes: % Date of Assessment:. Type of regeneration treatment Natural regeneration Planting with indigenous species Planting with exotic species Total area treated/planted Reporting on Assessable Verifier Annual treatment/ planting area Total area in Year 1 Year 2 Year 3 Year 4 Year 5 5 years (ha) (ha) (ha) (ha) (ha) (ha) 48

57 Chapter 3 Guide to assessment, reporting and monitoring Assessable Verifier Area of natural regeneration treatment or planting outside the legally notified forest area. Assessment Procedure Data collection at sub-national level: Compile at district level the annual area that has been subject to any type of regeneration treatment or planting. In case there is no documentary evidence, carry out interviews with land owners and communities to establish the size of planted/regenerated areas in the district. Aggregation/collection of data at national level: Aggregate the areas of regeneration treatment and planting collected at the district level. Means of Verification Reports of afforestation projects Interviews with land owners and community representatives Periodicity of Measurement Every 5 years Measurement Unit Status: ha Changes: % Reporting on Assessable Verifier Date of Assessment: Type of regeneration treatment Total area in 5 years Natural regeneration Planting with indigenous species Planting with exotic species Total area treated/planted (ha) MONITORING Changes in area subject to regeneration treatment or planting in the legally notified forest area. Type of regeneration treatment Natural regeneration Planting with indigenous species Planting with exotic species Total area treated/planted Monitoring Format for Indicator 5.5 Legally notified forest area Assessment 1 Assessment 2 (Date) (Date) Total area regenerated/ Total area regenerated/ planted in 5 years planted in 5 years Changes Changes in the total area regenerated/ planted in 5 years (ha) (ha) % Changes in area subject to regeneration treatment or planting outside legally notified forest area. 49

58 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Type of regeneration treatment Natural regeneration Planting with indigenous species Planting with exotic species Total area treated/planted Monitoring Format for Indicator 5.5 Outside the legally notified forest area Assessment 1 Assessment 2 (Date) (Date) Total area regenerated/ Total area regenerated/ planted in 5 years planted in 5 years Changes Changes in the total area regenerated/ planted in 5 years (ha) (ha) % INTERPRETATION OF RESULTS As many regions within the dry forest zone in Asia are faced with problems of forest degradation efforts towards rehabilitation and re-stocking of forests stands are considered an important activity contributing towards sustainable forest management. The level of area treated and/or planted, therefore, provides some indication on the efforts made towards this end. Indicator 5.6 Degree of technological input This indicator refers to the development and application of new, innovative technologies that aim at improving forest management and the utilisation of forest products. The various types of technological input may be grouped according to the following four areas of application: Procurement of planting material example, seed orchards, seed storage methods, propagation techniques etc.; Forest operations example, planting techniques, thinning, reduced impact logging etc.; Wood processing example, composite wood, utilisation of juvenile timber through ammonia fumigation, plasticization, timber engineering techniques, use of improved energy saving devices such as stoves etc.; Non-wood forest produce example, conservation and processing methods of fruits, bark, essential oils etc. 50

59 Chapter 3 Guide to assessment, reporting and monitoring ASSESSMENT AND REPORTING Indicator 5.6 Degree of technological input during the past 5 years Assessment Procedure Data collection at sub-national level: Review management practices in the four areas of application. Consult expert organisations (research institutes, universities, processing industries) in order to identify relevant technologies under development at the time of assessment. Describe the new technologies in terms of function and applicability. Assess the degree of applicability in forestry for the technologies developed over the past 5 years according to the following scale: + research and development + field testing + sporadically applied in the field + commonly practiced Aggregation/collection of data at national level: Compile a table showing the types of technological input and the assessment of applicability. Means of Verification Reports on research results, field testing Documents summarising the experience made in practical application of new technologies Interviews with scientists and practitioners Periodicity of Measurement Every 5 years Measurement Unit Status: scale Changes: description Date of Assessment:. Type of technology Procurement of planting material Method 1 Method 2 Etc. Forest operations Method 1 Method 2 Etc. Wood processing Method 1 Method 2 Etc. Non-wood forest produce Method 1 Method 2 Etc. Reporting on Indicator 5.6 Level of applicability R & D Field testing Sporadically applied Commonly practiced 51

60 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia MONITORING AND INTREPRETATION OF RESULTS Changes in the development and application of innovative technologies can be described by comparing the result tables of two or more consecutive assessments. Important comments would be made on the number and type of new technologies being developed and also how far new technologies have moved from the development stage towards full field implementation. Since monitoring of this indicator is more of a descriptive nature, a specific monitoring format is not provided here. Indicator 5.7 Contribution of forest to GDP through total economic value GDP is a macro-economic measure for the economic performance of all producing sectors within a country during a specified reporting period. It is essentially the monetary value of all goods and services produced locally minus the value of goods consumed in the production process. The contributions of forests to the GDP are included as goods and services derived from forestry activities that can be expressed in terms of their monetary values. Monetary valuation is possible for those timbers and NWFPs that are traded in the market. Services from forests such as tourism and recreation can also be included as long as these services are subject to selling and buying. This indicator, therefore, concentrates on those parameters that are recorded in monetary values at the national level. It should also be noted that difficulties may arise from the fact that national-level economic statistics will provide overall forest-related data and not necessarily separate the goods and services from dry forests from those derived from other forest types. Indicator 5.7 Contribution of forest to GDP Assessment Procedure Data collection at sub-national level: Data will be collected at the national level. Aggregation/collection of data at national level: Review data on GDP for the past five years. Extract data relevant to forest management/utilisation. Compile the monetary value of goods and services produced by different forest uses. Means of Verification Reports on GDP issued by ministry of economic and trade Interviews with national economists Periodicity of Measurement Every 5 years Measurement Unit Status: US$ Changes: % REPORTING AND MONITORING Forest uses Timber NWFP 1 NWFP 2 Tourism Etc. Total Reporting and Monitoring Format for Indicator 5.7 Assessment 1 (Date) Assessment 2 (Date) Changes Monetary Share of Monetary Share of Monetary Share of value GDP value GDP value GDP (US$) (%) (US$) (%) (US$) (%) 52

61 Chapter 3 Guide to assessment, reporting and monitoring INTREPRETATION OF RESULTS Trends in the contribution of forests to the GDP are an expression of the importance of forestry activities for a country s economy. However, because monetary valuation is possible only for a rather small fraction of goods and services derived from forests, the results of this indicator do not reflect the much more important intangible benefits derived from dry forests such as water, soil and biodiversity conservation and the production of non-marketable goods such as food, natural medicines, fuel wood and fodder. 3.6 Criterion 6: Extent of forest resource utilisation This Criterion provides some baseline data on per capita consumption of wood and non-wood forest products. In addition, information is also given on imports and exports of timber and non-wood products. Indicator 6.1 Per capita wood and NWFP consumption Under this indicator information is collected at the national level on per capita consumption of wood and non-wood forest produce. The amount of products that are traded in official markets can be assessed based on trade statistics. However, it should be noted that this will not provide a complete picture of forest resource utilisation in the dry forest zone, particularly in the case of firewood and NWFP. These products are largely collected from the forest for subsistence purposes or sold using barter trade mechanisms. Thus, these products do not appear in the official trade statistics. Estimates about the volume of forest produce that are not officially traded can only be assessed with specially designed social surveys. For monitoring purposes it is therefore important to indicate what type of source data have been used to compile the per capita consumption figures. In order to account for differences in the assessment depending on the type of source data available, separate assessable verifiers, one each for timber, firewood and NWFP have been formulated. The results obtained are simple per capita consumption figures. These figures are summarised directly in a monitoring sheet comparing the consumption figures of two or more assessments. 53

62 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia ASSESSMENT AND REPORTING Assessable Verifier Per capita timber consumption Assessment Procedure Data collection at sub-national level: Carry out representative social baseline surveys at village level. Aggregation/collection of data at national level: Aggregate data obtained through social baseline surveys. Co-operate with relevant ministries and trade organisations to identify information sources. Compile information from annual trade statistics. Seek to separate timber consumption of imported and locally harvested wood. Means of Verification Social baseline survey Official trade statistics on timber consumption Import statistics of timber products Periodicity of Measurement Annual Measurement Unit Status: m 3 per capita Changes: % Assessable Verifier Per capita fire wood consumption Assessment Procedure Data collection at sub-national level: Carry out representative social baseline surveys at village level. Aggregation/collection of data at national level: Aggregate data obtained through social baseline surveys. Compile information from social baseline surveys. Compile statistics on firewood trade. Means of Verification Reports of social baseline surveys Official trade statistics on fire wood consumption Periodicity of Measurement Annual Measurement Unit Status: m 3 per capita Changes: % 54

63 Chapter 3 Guide to assessment, reporting and monitoring Assessable Verifier Per capita NWFP consumption Assessment Procedure Data collection at sub-national level: Identify specific NWFP that can be assessed because of availability of data. Carry out representative social baseline surveys at village level. Aggregation/collection of data at national level: Compile information from social baseline surveys. Compile statistics on NWFP trade. Means of Verification Reports of social baseline surveys Official trade statistics on NWFP consumption Periodicity of Measurement Annual Measurement Unit Status: per capita consumption in units such as litre (essential oil), kg (leaves, fruits), etc. Changes: % MONITORING Table showing the per capita consumption of timber, firewood and NWFPs. Monitoring Format for Indicator 6.1 Commodity Assessment 1 (Date) Data source Per capita consumption per year Timber (m 3 ) Firewood (stacked) NWFP: Tendu leaves (kg) Essential oils (litre) Fruits (kg) Data source: 1= from trade statistics; 2=from social baseline surveys; 3=both. Assessment 2 (Date) Data source Per capita consumption per year Change (%) INTERPRETATION OF RESULTS Per capita consumption of wood and non-wood forest produce provides some information about the importance of these products for the national economy. An increase in the per capita and total consumption may indicate higher pressure on the forests. As such, however, this information does not point to the progress made towards sustainable forest management, unless it can be compared with sustainable harvest levels. In order to make this comparison, imports of wood and non-wood products need clearly be separated from locally harvested products. Indicator 6.2 Import and export of wood and NWFPs Under this indicator information on volumes of wood and NWFP annually exported and imported is collected. Since the assessment is by simple compilation of national data on forest resource trade obtained from the relevant trade ministry, this indicator can directly be used. The converted or finished products can be accounted for with volume and monetary value. 55

64 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia ASSESSMENT AND REPORTING Indicator 6.2 Import and export of wood and NWFP Assessment Procedure Data collection at sub-national level: Data collection at national level Aggregation/collection of data at national level: Co-operate with relevant ministries and trade organisations to identify information sources Compile information from annual trade statistics Means of Verification Official trade statistics on wood and NWFP exports and imports Periodicity of Measurement Annual Measurement Unit Status: m 3, kg Changes: % MONITORING Table showing the export and import of wood and NWFPs. Import Export Monitoring Format for Indicator 6.2 Commodity Assessment 1 (Date) Assessment 2 (Date) Volume Monetary Volume Monetary value value Wood (m 3 ) NWFP 1 (unit) NWFP 2 (unit) Other products Wood (m 3 ) NWFP 1 (unit) NWFP 2 (unit) Other products Volume in % Change Monetary value in % INTERPRETATION OF RESULTS Trends in imports of unprocessed or semi-finished forest products in terms provide some indication about the resource supply situation for the local processing industry. Increased imports may reduce pressure from local forests while increased exports of finished products could indicate accelerated harvesting activities in the forests. Export figures should, however, be treated with caution because for many composite and finished wood products it is difficult to identify the origin of the various components; thus some exported products may be based on imported raw material. Indicator 6.3 Recorded and unrecorded removals of wood and NWFPs Removals of wood and NWFP from the forest is an important parameter to be assessed within the context of sustainable management. This aspect is dealt with in Indicator 5.3 Difference between annual cut and actual cuts. 56

65 Chapter 3 Guide to assessment, reporting and monitoring 3.7 Criterion 7: Socio-economic, cultural and spiritual needs Countries in Asia are adapting to a structural and attitudinal transformation in the forestry sector to embrace decentralisation and devolution of power and decision-making. Keeping the forest inhabitants living in and around the forests adds new socio-economic, cultural and spiritual considerations to forest planning and implementation. This criterion attempts to capture the major aspects describing the needs of people for mostly intangible benefits and forest uses. Indicator 7.1 Extent of contribution of forest management activities to food security and other livelihood needs This indicator relates to a wide range of benefits that society derives from forests. While the contribution of forests to food security is extremely difficult to measure at the national level, other livelihood needs such as employment are addressed in Indicator 7.3 Gender related indices in forestry, Indicator 7.5 Direct and indirect employment in forestry and forest industries and Indicator 7.6 Contribution of forest to the income of forest-dependent people. Indicator 7.2 Level of recreation, cultural, religious and aesthetic needs This indicator assesses the forest areas used for recreational/tourism purposes and those forest sites that play an important role in the cultural and religious life of people. Recreational activities take place primarily within the forest area whereas cultural and religious sites such as temples, shrines or holy trees (e.g. Ficus religiosa) are mostly located outside larger forest tracks or at the fringes of forests. The focus of assessment of recreational needs is on number of visitors and facilities available for recreational activities. For cultural and religious sites the number of visitors and level of protection of these sites is to be assessed. Because of these differences two separate assessable verifiers have been formulated. ASSESSMENT AND REPORTING Assessable Verifier Extent of forest area used for recreation including level of available facilities. Assessment Procedure Data collection at sub-national level: Review records and statistics of Forestry Department on extent of forest areas used for recreation. For each recreational area compile total area, number of visitors per ha and a list of recreational facilities available. Aggregation/collection of data at national level: Compile a list of all forest areas used for recreational purposes at national level. Compile the number of visitors, available facilities for each recreation forest given in the list. Compile overall statistics for the national level on areas with recreational facilities as follows: (a) Sanitary facilities/catering (b) Information center/hiking trails (c) Tourist guides/activity programme Means of Verification Records of departments of environment, forestry and tourism Records of NGO s involved in nature conservation and eco-tourism Periodicity of Measurement Every 5 years Measurement Unit Status: ha, number of visitors per year, descriptive Changes: % and descriptive 57

66 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Date of Assessment:. Name of recreation Area forest Reporting on Assessable Verifier Visitors per year (ha) (n) Sanitary facilities/ catering* Forest 1 Forest 2 Forest 3 Etc. Visitors: is defined as the total number of visitors per year. Facilities: categorises the facilities into available or not available. Facilities Information Centre/ hiking trails Tourist guides/ activity programme Assessable Verifier Extent of area/sites used for cultural/religious purposes Assessment Procedure Data collection at sub-national level: Review records and statistics of ministry of culture, departments of agriculture, environment and NGO s on information about cultural/religious sites. Compile a list of major sites at district/provincial level. Establish the level of protection according to the following categories (a) by customary right (b) by law or regulation Aggregation/collection of data at national level: Compile the list at national level. Means of Verification Records of ministry of culture, departments of agriculture, environment and NGO s Periodicity of Measurement Every 5 years Measurement Unit Status: description Changes: % and description Date of Assessment:. Reporting on Assessable Verifier Name of major forest/site used for cultural/religious purposes Site1 Site 2 Site 3 Etc. Total Average number of visitors per year Level of protection 58

67 Chapter 3 Guide to assessment, reporting and monitoring MONITORING Forest area used for recreational purposes and available recreational facilities. Forest area used for recreational purposes Total area Number of visitors per ha and year Total recreation area with sanitary facilities only Total recreation area with information centre/hiking trails only Total recreation area with sanitary facilities and information centre/hiking trails Total recreation area with sanitary facilities, information centre and activity programme Total recreation area without any facilities Monitoring Format for Indicator 7.2 Assessment 2 Assessment 2 (Date) (Date) Percent of Area/ total number Area/ number Percent of total Change (%) Cultural and religious forest/sites and level of protection. Major cultural/ religious forest/sites Protected by customary rights Protected by laws/regulations Total Monitoring Format for Indicator 7.2 Assessment 2 Assessment 2 (Date) (Date) Number of major Number of major cultural/religious cultural/religious forest/sites forest/sites Change (%) Number of major cultural/religious forest/sites INTERPRETATION OF RESULTS Trends in the extent of recreational forest areas and number of visitors per hectare provide information on how the forestry sector caters for the needs of people for recreation and tourism. Changes in the number of visitors per ha of available recreational area combined with information about available recreational facilities allows to estimate the pressure on forests due to recreational activities. This may have negative effects on the forest ecosystem and the progress made towards sustainable forest management. For the cultural/religious sites the level of protection to ensure that the needs of the society are met is central to the assessment. Changes in the needs of people for cultural/religious places, for example, as identified in the assessment may warrant amendments to current laws and regulations. 59

68 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Indicator 7.3 Gender-related indices in forestry This indicator concentrates on the employment situation of women in the forest sector. Indicator 7.3 Gender-related indices in forestry (employment). Assessment Procedure Data collection at sub-national level: Review records forestry department and timber associations on employment of women. Carry out interviews with private contractors involved in forest operations and establish figures on employment of women. Aggregation/collection of data at national level: Compile employment figures at the national level separately for: (a) Forestry department (b) Private contractors (c) Forest-related industry Calculate the ratio between employment of women and total number of jobs available in the forestry sector. Means of Verification Records of forestry department and timber associations Interviews with private contractors Periodicity of Measurement Every 5 years Measurement Unit Status: number Changes: % Date of Assessment:. Employer of women in the forest sector Forestry Department Private contractors Forest-related industry Total Reporting on Indicator 7.3 Number of women employed Percentage of total number of jobs (n) (%) Employment of women in the forest sector. MONITORING Employer of women in the forest sector Forestry Department Private contractors Forest-related industry Total Monitoring Format for Indicator 7.3 Assessment 2 Assessment 2 (Date) (Date) Percentage of women Percentage of women employed employed Change (%) Percentage of women employed 60

69 Chapter 3 Guide to assessment, reporting and monitoring INTERPRETATION OF RESULTS Income generation through employment in the forest sector constitutes an important contribution of forestry to human welfare, particularly through employment of women. Current level of employment of women in the dry forest zone of Asia is still rather small. Therefore, trends provided by this indicator can establish the progress made towards an increase in participation of women in forestrelated works. Indicator 7.4 Extent of application of traditional knowledge Indigenous knowledge is applied by many communities in the use of forest produce. Most of these products originate from the natural forests. Leaves of different species are used to cure wounds. Brushing teeth is frequently accomplished with the help of twigs from the Neem tree (Azadirachta indica). Many different types of food are prepared from fruits, mushrooms and other products from the natural forest. Thus the survival and sustainable management of natural and semi-natural forests is vital to maintain the application of traditional knowledge. This indicator attempts to establish the most commonly applied indigenous knowledge through interviews of traditional natural forest users. ASSESSMENT AND REPORTING Indicator 7.4 Extent of application of traditional knowledge Assessment Procedure Data collection at sub-national level: Review records and statistics of Forestry Department, Agriculture Department, and NGO's on extent of application of traditional knowledge. Carry out representative surveys at village level to collect additional information on the application of traditional knowledge. Main information to be collected for each type of traditional knowledge (a) percentage of population applying traditional knowledge (b) Level of supply using categories such as satisfactory or declining. Aggregation/collection of data at national level: Aggregate the information collected at the district and provincial levels and create simple output table as shown below. Means of Verification Records of forestry and agriculture departments Records of NGO s involved in nature conservation and rural development Interviews with village communities Periodicity of Measurement Every 5 years Measurement Unit Status: %, descriptive Changes: %, qualitative rating Date of Assessment:. Types of applications of traditional knowledge Type 1 Type 2 Type 3 Etc. Reporting on Indicator 7.4 % of local people applying traditional knowledge Level of supply 61

70 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Application of traditional knowledge. MONITORING Types of applications of traditional knowledge Monitoring Format for Indicator 7.4 Assessment 2 Assessment 2 (Date) (Date) Change (%) Type 1 Type 2 % of local people using Level of supply % of local people using Level of supply % of local people using Level of supply INTERPRETATION OF RESULTS The percentage of local people applying traditional knowledge can serve as indication about the dependencies of local households on the supply of mainly non-wood produce from the forest. Decline in forest area would most likely lead to a decline in supply of traditional forest produce. This in tern could cause economic hardship for local households because the substitutes would need to be bought with cash in the local market. The trend in the application of traditional knowledge is essentially an indicator for the well-being of forest dependent communities. Indicator 7.5 Employment in forestry and forest industries This indicator deals with the employment in the forest sector. Indicator 7.5 Employment in forestry and forest industries Assessment Procedure Data collection at sub-national level: Review records forestry department, department of tourism and timber associations on employment. Aggregation/collection of data at national level: Compile employment figures at the national level separately for: (a) Forestry department (b) Private contractors (c) Forest-related industry (d) Forest recreation/tourism. Means of Verification Records of forestry department, department of Tourism, timber associations Interviews with private contractors Periodicity of Measurement Every 5 years Measurement Unit Status: person/day Changes: % 62

71 Chapter 3 Guide to assessment, reporting and monitoring Date of Assessment:. Employer in the forest sector Forestry Department Private contractors Forest-related industry Forest recreation/tourism Total Reporting on Indicator 7.5 Number of persons employed (person/day) Employment in the forest sector. MONITORING Monitoring Format for Indicator 7.5 Employer in the forest sector Assessment 2 Assessment 2 Change (Date) (Date) Number of persons employed Number of persons employed Number of persons employed (person/day) (person/day) (%) Forestry Department Private contractors Forest-related industry Forest recreation/tourism Total INTERPRETATION OF RESULTS Trends in the level of employment in the forest sector are an indication for opportunities to people provided in rural areas. However, employment figures in the forest sector should always be compared with overall job opportunities, in order to arrive at a meaningful interpretation of the results and subsequent policy decisions. Indicator 7.6 Contribution of the forest to the income of forest dependent people In addition to the income from employment in the forest sector, this indicator assesses the other types of benefits forest-dependent people can derive from the utilisation of forests. In the dry forest zone of Asia participatory mechanisms that allow local people to have a stake in forest management have evolved over the past years. One concept is joint forest management with benefit sharing between the government (i.e. forest owner) and local people. Two assessable indicators have been identified, one on the extent of forest area under joint forest management, the other one on benefit sharing mechanisms. The latter may also be assessed under Indicator

72 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia ASSESSMENT AND REPORTING Assessable Verifier Extent of forest area under joint forest management Assessment Procedure Data collection at sub-national level: Review records and statistics of forestry department on extent of forest areas under joint forest management. Aggregation/collection of data at national level: Aggregate this information at the national level. Means of Verification Records of forestry department Periodicity of Measurement Every 5 years Measurement Unit Status: ha Changes: % Date of Assessment:. Area under joint forest management Total forest area Reporting on Assessable Verifier Area Percent of total forest area (ha) ASSESSMENT AND REPORTING Assessable Verifier Benefit sharing mechanisms Assessment Procedure Data collection at sub-national level: Review records of forestry department s regulations on benefit sharing mechanisms in place. Conduct representative interviews with local people who participate in joint forest management arrangements and inquire about the level of satisfaction with these arrangements. Aggregation/collection of data at national level: The results of the representative surveys are valid at the national level. Means of Verification Forestry department regulations and joint forest management contracts Interviews with local people Periodicity of Measurement Every 5 years Measurement Unit Status: descriptive Changes: descriptive Date of Assessment:. Type of benefit sharing mechanism Type 1 Type 2 Etc. Reporting on Assessable Verifier Level of satisfaction Description 64

73 Chapter 3 Guide to assessment, reporting and monitoring Extent of area under joint forest management. MONITORING Joint forest management Monitoring Format for Indicator 7.6 Assessment 2 (Date) Assessment 2 (Date) Area under joint forest Area under joint forest management as management as percent of total forest percent of total forest area area Change Area under joint forest management as percent of total forest area (%) (%) (%) Monitoring of the level of satisfaction by local people with benefit sharing arrangements can be accomplished by describing the outcome of two representative surveys among local communities. A separate format for this comparison is not provided here. INTERPRETATION OF RESULTS The total area under joint forest management provides some indication about the level of participation of local people in the management of forest resources. The level of satisfaction with benefit sharing mechanisms is an important component and indicates whether the arrangements in place require adaptations. The results of the interviews will also provide information about amendments desired by the beneficiaries of these mechanisms. 3.8 Criterion 8: Policy, legal and institutional framework This criterion covers the general institutional requirements for sustainable forest management to succeed. It addresses policy and legislation (Indicator 8.1), participation of forest stakeholders (Indicator 8.2), investment in forest research and development (Indicator 8.3), capacity building (Indicator 8.4), dissemination of information (Indicator 8.5), economic incentives for investing in forestry (Indicator 8.6), benefit sharing among forest stakeholders (Indicator 8.7) and conflict management (Indicator 8.8). Indicator 8.1 Existence of national forest policy and legal framework This indicator deals with policies and laws related to forests and their sustainable management. The assessment focuses on the major elements of sustainable forest management and the frequency of updating specific policies and laws. 65

74 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia ASSESSMENT AND REPORTING Indicator 8.1 Extent of national forest policy and legal framework Assessment Procedure Data collection at sub-national level: Information about this indicator can be collected at the national level. Aggregation/collection of data at national level: Review relevant laws and policies and establish their last date of amendment. Describe the changes made to the laws and policies. Based on the above analysis classify the laws and policies into: (a) minor amendments (b) major amendments (c) total revision. Means of Verification Documents of relevant laws and policies Periodicity of Measurement Every 5 years Measurement Unit Status: descriptive Changes: descriptive Date of Assessment... Name of Law/Policy Forest Enactment Law on wildlife protection Environmental Act Etc. Date of last amendment Reporting on Indicator 8.1 Description of issues amended Degree of amendment MONITORING Monitoring Format for Indicator 8.1 Name of Law/Policy Assessment 1 (Date) Assessment 2 (Date) Date of last Degree of Date of last amendment amendment amendment Law 1 Law 3 Etc. Policy 1 Policy 2 Etc. Degree of amendment Change Description INTERPRETATION OF RESULTS In order to keep up with the changes taking place in society, laws and policies require continuous updating and amendment. Trends in the updating activities, coupled with the descriptions of the issues that have been amended or added provide some insight into the priorities given by politicians to forest resources management. 66

75 Chapter 3 Guide to assessment, reporting and monitoring Indicator 8.2 Extent of community, NGO and private sector participation in forestry activities This indicator first, assesses the existing legal and regulatory provisions for participation of stakeholders in forest management (Assessable Verifier 8.2.1) and second, measures the extent of participation of communities, NGO s and the private sector in forestry activities. ASSESSMENT AND REPORTING Assessable Verifier Legal and regulatory provisions for participation of stakeholders in forest management Assessment Procedure Data collection at sub-national level: Information about this indicator can be collected at the national level. Aggregation/collection of data at national level: Review relevant sections of laws and regulations on participation of stakeholders in forestry activities. Describe the changes made to the sections on stakeholders' participation. Based on the above analysis classify the laws and policies into the following categories: (a) minor amendments (b) major amendments (c) total revision. Means of Verification Documents of relevant laws and policies Periodicity of Measurement Every 5 years Measurement Unit Status: descriptive Changes: descriptive Date of Assessment... Section of law/policy and relevant to stakeholder participation Joint forest management Involvement of NGO s Land ceiling policy Tax relaxation policy Policy on loans and credits in forestry Etc. Reporting on Assessable Verifier Date of last amendment Description of amendments 67

76 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Assessable Verifier Extent of forest area managed with participation of stakeholders Assessment Procedure Data collection at sub-national level: Review at district level the statistics on forest ownership, joint forest management and other forms of participation of stakeholders in forest management. Prepare statistics at district level on the type of involvement of stakeholders and forest area affected. Aggregation/collection of data at national level: (a)aggregate district-level information on extent of area managed with participation of stakeholders (b) Compile a summary table on types of participation and ownership. Means of Verification Ownership documents, contracts Statistics about joint forest management at district-level Periodicity of Measurement Every 5 years Measurement Unit Status: ha, descriptive Changes: ha, descriptive Date of Assessment... Permanent forest estate (public land) Community Private land Total forest land Reporting on Assessable Verifier Area managed by stakeholders Managed by community Managed by NGO s Managed by private sector Percent of total (ha) (ha) (ha) (%) MONITORING The legal provisions for participation and the extent of participation are separately monitored with the help of the following two tables. Monitoring of amendments to regulations and policies related to the participation of stakeholders in forestry activities. Monitoring Format for Indicator 8.2 Name of Law/Policy Assessment 1 (Date) Assessment 2 (Date) Date of last Major issue of Date of last amendment amendment amendment Joint forest management Involvement of NGO s Land ceiling policy Tax relaxation policy Policy on loans and credits for forestry Etc. Major issue of amendment Change Description Monitoring of the extent of area under management by stakeholders. 68

77 Chapter 3 Guide to assessment, reporting and monitoring Types of applications of traditional knowledge Managed by community Managed by NGO Managed by private sector Extent of area Monitoring Format for Indicator 8.2 Assessment 1 Assessment 2 (Date) (Date) Percent of total forest area Extent of area Percent of total forest area Extent of area Change Percent of total forest area ha (%) ha (%) (%) INTERPRETATION OF RESULTS Increasing accountability towards society and participation of a wide range of stakeholders in the management of forests requires that the necessary legal provisions are in place. The type and frequency of improvements of these regulations somewhat demonstrates the efforts made to shape a proper environment for increased stakeholder participation. The actual results of theses efforts are measured with the extent of actual area under participatory management. The desired level of participation depends on the local circumstances such as job market, alternative land-uses and the mechanisms for benefit-sharing. The interpretation of Indicator 8.2 is in part closely related to Indicator 7.5 on Contribution of forest to the income of forest-dependent people. Indicator 8.3 Investment in forestry research and development This indicator assesses the level of investment into forestry research and development (R&D). Both, investments by the government and private sector are captured providing some insight into the willingness to promote innovation in the management and conservation of forests and the processing of forest produce. Figures on investments can be measured directly at the indicator level. 69

78 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia ASSESSMENT AND REPORTING Indicator 8.3 Investment in forestry research and development Assessment Procedure Data collection at sub-national level: This information can be obtained at the national level. Aggregation/collection of data at national level: Review annual reports of the forestry department for annual expenditures and investment figures for research and development and total investment into forestry. Consult the private sector (timber associations etc.) for estimates on their expenditures for research and development and total investment into forestry. Compile the following parameters: (a) Total annual government expenditure: includes plan expenditures (i.e. new investments) and recurrent budget provided by the government for the entire forestry sector (b) Total annual private sector expenditure for forestry (c) Relative level of government and private sector expenditures for R&D. This is the annual R&D expenditures as percent of total expenditures, overall and separately for government and private sector spending. (d) Optionally, the expenditure for R&D can also be expressed per hectare total forest area or area of the production forest. Means of Verification Annual reports of forestry department, records at the ministry of forestry Interviews with private sector representatives/individual managers Periodicity of Measurement Every 5 years Measurement Unit Status: US$ Changes: % Reporting on Indicator 8.3 Date of Assessment... Investment into forestry Total Per hectare forest area Total annual government expenditure in forestry (US$) Relative level of Government R&D expenditures (%) Total annual private sector expenditure in forestry (US$) Relative level of private sector R&D expenditures MONITORING Monitoring Format for Indicator 8.3 Investment in forestry Assessment 1 (Date) Total annual government expenditure in forestry (US$) Relative level of Government R&D expenditures (%) Total annual private sector expenditure in forestry (US$) Relative level of private sector R&D expenditures Assessment 2 (Date) Change (%) 70

79 Chapter 3 Guide to assessment, reporting and monitoring INTERPRETATION OF RESULTS The magnitude of investment into forestry provides a direct expression of the priorities given by governments and/or the private sector to innovations in managing the forests including down-stream processing. It is also an indication of the political will to further developing the forestry sector and achieving sustainable forest management. In order to establish an optimal level of nationally and internationally funded forestry research, the trends in the level of investment established through this assessment can be compared with research investments in other countries of the dry forest zone in Asia. Indicator 8.4 Human resource capacity building mechanisms With the help of this indicator the capacity building mechanisms for professionals at all level that are established within a country area assessed. Because of differences in the assessment two main aspects of capacity building, namely long-term training (Assessable Verifier 8.4.1) and short-term training (Assessable Verifier 8.4.2) are distinguished. ASSESSMENT AND REPORTING Assessable Verifier Long-term professional training in forestry Assessment Procedure Data collection at sub-national level: Information for this assessable verifier are collected at the national level Aggregation/collection of data at national level: Compile the number of graduates and the annual demand for professionals for the following level of education: (a) M.Sc. Forestry (b) B.Sc. Forestry (c) Forester (d) Forest Guard (complete the list according to the national education system) If available, the above figures should be calculated as average of a 5-year period. Calculate the difference between supply and demand for the 5-year period, expressed as percentage of demand. Means of Verification Records of forestry department, ministry of education and/or ministry of agriculture and forestry Periodicity of Measurement Every 5 years Measurement Unit Status: number Changes: % 71

80 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia Date of Assessment... Level of forestry education M.Sc. Forestry B.Sc. Forestry Forester Forest Guard Etc. Reporting on Assessable Verifier Number of graduates per annum (supply) Annual demand for professional foresters Ratio: Annual supply/ demand (n) (n) (%) Assessable Verifier Short-term course programme in forestry Assessment Procedure Data collection at sub-national level: Information for this assessable verifier are collected at the national level Aggregation/collection of data at national level: Compile the number of trainees who are participating in skill-upgrading courses offered annually. Provide these figures for the major types of courses, such as: (a) Courses for academic level (b) Courses for supervising staff (c) Practical courses in forestry operations (d) Etc. (complete the list according to the national course programme) Calculate, for a period of 5 years, the average ratio between total staff employed in above training categories and annual number of trainees joining the skill- upgrading courses. Means of Verification Records of forestry department, ministry of education and/or ministry of agriculture and forestry Periodicity of Measurement Every 5 years Measurement Unit Status: number Changes: % Date of Assessment... Level of courses offered in the national shortterm training programme Reporting on Assessable Verifier Number of trainees per annum Total number of staff Ratio: trainees/ total staff Courses for academic level Courses for supervising staff Practical courses for forestry operations Etc. (n) (n) (%) 72

81 Chapter 3 Guide to assessment, reporting and monitoring MONITORING Human resource capacity building mechanisms Monitoring Format for Indicator 8.4 Assessment 1 (date) Assessment 2 (date) Change Long-term training M.Sc. Forestry B.Sc. Forestry Forester Forest Guard Supply/ demand Trainees /total staff Supply/ demand Trainees /total staff Supply/ demand Trainees /total staff (%) (%) (%) (%) (%) (%) Short-term skill-upgrading courses Courses for academic level Courses for supervising staff Practical courses (forest operations) Etc. INTERPRETATION OF RESULTS Long-term training in forestry provides the basic education for staff needed within the forestry sector. In many countries in Asia professional staff is provided with in-service training, except those joining private sector companies. Trends in the ratio of the number of graduates to actual demand for professionals provide an insight about the adequacy of the existing capacity building mechanism within a country. Similarly, the number of trainees who participate in the annual skill-upgrading programme compared to the total staff employed in the forestry sector is an indication about the level of refresher training given to existing staff. In order to allow forestry professionals to join refresher courses every 10 years, at least 10 percent of the staff must undergo training annually. Indicator 8.5 Existence of forest resource accounting mechanisms This indicator refers to natural resource accounting an approach increasingly used by governments to maintain national accounts about their natural resources such as fish, forests, minerals and the like. The assessment of this indicator is only possible if natural resource accounting is implemented in the respective country. The indicator would briefly describe the accounting system applied with special reference to forest-related parameters. Indicator 8.6 Monitoring and evaluation mechanisms This indicator deals with the procedures in place to monitor and evaluate forest management activities. The assessment is essentially a list of mechanisms that according to local laws and regulations are being implemented. 73

82 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia ASSESSMENT AND REPORTING Indicator 8.6 Monitoring and evaluation mechanisms Assessment Procedure Data collection at sub-national level: Information about this indicator can be collected at the national level. Aggregation/collection of data at national level: Review relevant sections of laws and regulations on monitoring and evaluation mechanisms Describe these mechanisms in terms of their field of application as follows (examples): (a) Monitoring of sustainable forestry at the national level (criteria & indicators?) (b) Forest resource assessment (FRA of FAO) (c) Revision of forest management plans at the FMU-level (d) Annual reporting and operational planning at the FMU-level (e) Field inspections at the operational level (f) Monitoring and evaluation of specific-purpose projects. Means of Verification Documents of relevant laws and regulations available with the forestry department Periodicity of Measurement Every 5 years Measurement Unit Status: descriptive Changes: descriptive Reporting on Indicator 8.6 Date of Assessment... Monitoring and evaluation mechanisms Level of application Monitoring of sustainable forestry (criteria National level & indicators?) Forest resource assessment (FRA of FAO) Revision of forest management plans FMU-level Annual reporting and operational planning FMU-level Field inspections at the operational level Field level Monitoring and evaluation of specificpurpose projects Project Etc. Description INTERPRETATION OF RESULTS The results of this indicator provide a summary of mechanisms applied and can assist in identifying any additions or amendments for the monitoring and evaluation procedures in place. Indicator 8.7 Existence of mechanisms for information dissemination Dissemination of information about forests and forest utilisation is considered an important ingredient in today s multi-stakeholders approaches to forest management. A wide range of mechanisms are needed to promote the conservation and sustainable use of forests among society. This indicator assesses the existing mechanisms for dissemination of forest-related information by governmental organisations, NGO s and the private sector. 74

83 Chapter 3 Guide to assessment, reporting and monitoring ASSESSMENT AND REPORTING Indicator 8.7 Existence of mechanisms for information dissemination Assessment Procedure Data collection at sub-national level: Information for this assessable verifier is collected at the national level Aggregation/collection of data at national level: Compile a list of information dissemination mechanisms separately for (a) government (e.g. ministry/forestry department) (b) NGO s (e.g. nature conservation, rural development) (c) private sector (e.g. processing industry). For each listed mechanism describe the annual output, in terms of number of publications, videos etc. or status of development. The latter is best described using the following classification: (a) initial (b) advanced stage (c) completed. Means of Verification Records of forestry department, ministry of agriculture and forestry Interviews with NGO s and private sector companies Periodicity of Measurement Every 5 years Measurement Unit Status: number of publications, videos, etc.; description Changes: % Reporting on Indicator 8.7 Date of Assessment... Mechanisms for information dissemination Government: Printed information material (brochures, leaflets etc.) Electronic information material (videos, films, television spots) Information gatherings (meetings, workshops, presentations) Forest management information system (FMIS) NGO s: Printed information material (brochures, leaflets etc.) Electronic information material (videos, films, television spots) Information gatherings (meetings, workshops, presentations) Forest management information system (FMIS) Private sector: Printed information material (brochures, leaflets etc.) Electronic information material (videos, films, television spots) Information gatherings (meetings, workshops, presentations) Forest management information system (FMIS) Annual output (n) Status of development 75

84 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia MONITORING Mechanisms for information dissemination Monitoring Format for Indicator 8.7 Assessment 1 (Date) Assessment 2 (Date) Change Annual output Status of develop. Annual output Status of develop. Annual output Government: (n) (n) (%) Printed information material (brochures, leaflets etc.) Electronic information material (videos, films, television spots) Information gatherings (meetings, workshops, presentations) Forest management information system (FMIS) NGO s: Printed information material (brochures, leaflets etc.) Electronic information material (videos, films, television spots) Information gatherings (meetings, workshops, presentations) Forest management information system (FMIS) Private sector: Printed information material (brochures, leaflets etc.) Electronic information material (videos, films, television spots) Information gatherings (meetings, workshops, presentations) Forest management information system (FMIS) Status of develo pment INTERPRETATION OF RESULTS The list of existing information dissemination mechanisms including the annual output indicates the level of activities in this field pursued by the government, NGO s and private sector companies. Desired mechanisms to be used and levels of output to be achieved depend on the priorities given to community/society participation as laid down in the official forest policy of a country. Indicator 8.8 Extent of transfer of technology The issue of technology transfer is assessed with Indicator 8.4, particularly Assessable Verifier on Short-term course programme. Indicator 8.9 Fiscal and monetary incentives for investing in forestry activities This indicator looks at laws and regulations that provide for incentives to investors in the forestry sector. Because of its comparatively slow growth of trees and thus extended production periods forestry is a long-term business and requires support in order to remain attractive to investors. As 76

85 Chapter 3 Guide to assessment, reporting and monitoring experience from other regions show effective incentives may promote investments into forestation, conservation of forest and down-stream processing of wood and NWFPs. ASSESSMENT AND REPORTING Indicator 8.9 Fiscal and monetary incentives fore investing in forestry activities Assessment Procedure Data collection at sub-national level: This information can be obtained at the national level. Aggregation/collection of data at national level: Review relevant tax laws and regulations that govern subsidies in the natural resource management sector. Prepare a list with the relevant sections and briefly describe the type of incentive. Means of Verification Tax law, law on land lease, regulations on subsidies for forestation etc. Periodicity of Measurement Every 5 years Measurement Unit Status: date, description Changes: description Reporting on Assessable Verifier 8.9 Date of Assessment... Section of law/policy relevant to fiscal Date of last amendment and monetary incentives Tax relaxation policy Policy on loans and credits for forestry Law on subsidies for forestry activities Land lease policy Etc. Description of incentive MONITORING Section of law/policy relevant to fiscal and monetary incentives Monitoring Format for Indicator 8.9 Assessment 1 (date) Assessment 2 (date) Change Tax relaxation policy Policy on loans and credits for forestry Law on subsidies for forestry activities Land lease policy Etc. Date of last amendment Date of last amendment Remarks on amendment 77

86 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia INTERPRETATION OF RESULTS In the dry forest zone of Asia large tracks of forest land are under-stocked and would, in one way or another, need rehabilitation. The necessary investment will not come forward unless attractive incentives are in place. The trend in providing new incentives compared with the actual achievements in forest rehabilitation will reveal whether or not existing incentive tools are sufficient or changes to these incentives are necessary. Indicator 8.10 Benefit sharing mechanism for stakeholders engaged in forest management activities This indicator is closely linked to Indicator 7.5 Contribution of the forest to the income of forest dependent people and 8.2 Extent of community, NGO and private sector participation in forestry activities. Benefit sharing mechanisms are assessed with this indicator by looking at laws and regulations that govern the distribution of benefits to stakeholders. ASSESSMENT AND REPORTING Indicator 8.10 Benefit sharing mechanism for stakeholders engaged in forest management activities Assessment Procedure Data collection at sub-national level: This information can be obtained at the national level. Aggregation/collection of data at national level: Review relevant laws and regulations on joint forest management and other collaborative arrangements that govern benefit sharing mechanisms in the natural resource management sector. Prepare a list with the relevant sections and briefly describe the type of benefit sharing mechanism. Means of Verification Laws and regulations in joint forest management Periodicity of Measurement Every 5 years Measurement Unit Status: data, description Changes: description Date of Assessment... Section of law/policy relevant to benefit sharing mechanisms Regulation on benefit sharing within joint forest management agreements Reporting on Indicator 8.10 Date of last amendment Description of incentive Etc. 78

87 Chapter 3 Guide to assessment, reporting and monitoring MONITORING Section of law/policy relevant to benefit sharing mechanisms Monitoring Format for Indicator 8.10 Assessment 1 (Date) Assessment 2 (Date) Change Regulation on benefit sharing within joint forest management agreements Date of last amendment Date of last amendment Remarks on amendment Etc. INTERPRETATION OF RESULTS Benefits derived from forest management that are competitive with other income sources are usually the driving force behind successful joint forest management arrangements. Considering the socioeconomic environment in the dry forest zone of Asia, people s involvement in systematic forest management is essential. Benefit sharing mechanisms, thus, are central to maintaining productive and healthy forests. Proper documentation of the mechanisms to be applied and their continuous adaptation to changing social needs would provide information of the appropriateness of the available benefit sharing mechanisms. Indicator 8.11 Existence of conflict management mechanisms The involvement of many parties in the planning, implementation and control of forest management requires provisions for conflict management. This indicator looks at the legal and regulatory provisions that are in place to deal with conflicts between the various groups of stakeholders. 79

88 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia ASSESSMENT AND REPORTING Indicator 8.11 Existence of conflict management mechanisms Assessment Procedure Data collection at sub-national level: This information can be obtained at the national level. Aggregation/collection of data at national level: Review relevant laws and regulations on conflict management mechanisms and arbitration. Inquire from NGO s and private sector companies* about their approaches to conflict management. Prepare a list with the relevant mechanisms and briefly describe the type of conflict management and its effectiveness to solve conflicts. Means of Verification Laws and regulations in joint forest management or participatory community forestry Interviews with NGO s, private sector companies. Periodicity of Measurement Every 5 years Measurement Unit Status: data, description Changes: description Date of Assessment... Section of law/policy relevant to conflict management mechanisms Reporting on Indicator 8.11 Date of last amendment Description of conflict management approach Etc. Conflict management mechanisms. MONITORING Section of law/policy relevant to conflict management mechanisms Monitoring Format for Indicator 8.11 Assessment 1 (Date) Assessment 2 (Date) Change Date of last amendment Date of last amendment Remarks on effectiveness of approach Etc. INTERPRETATION OF RESULTS The effectiveness of conflict management approaches is very difficult to measure. However, the various stakeholders gain experience in using these tools and provide some indication about the effectiveness to avoid conflict or reduce the incidence of conflict. The description of the effectiveness of these mechanisms combined with information about the number of registered forest offences (Indicator 8.12) and area affected can provide some indication whether or not the applied conflict management tools contribute to reduce conflicts between the various stakeholders. 80

89 Chapter 3 Guide to assessment, reporting and monitoring Indicator 8.12 Changes in number of forest offences Record of forest offences is a measure of control on forest resources being managed and participation of locals in the management process. Indicator 8.12 Changes in number of forest offences Assessment Procedure Data collection at sub-national level: Review records of the forestry department on the number of registered forest offences separately for the various types of offences (e.g. illegal logging, timber theft, occupation of forest area etc.) Compile area affected by the registered forest offences. Aggregation/collection of data at national level: Aggregate the data at the national level. Means of Verification Records of forestry department Periodicity of Measurement Every year Measurement Unit Status: number, ha Changes: % Reporting on Indicator 8.12 Date of Assessment... Type of forest offence Forest offences Area affected (number) (ha) Illegal harvesting Occupation Etc. Changes in forest offences. MONITORING Monitoring Format for Indicator 8.12 Type of forest offence Assessment 1 (Date) Assessment 2 (Date) Illegal harvesting Occupation Etc. Change Forest offences Forest offences Forest offences Number ha Number ha % % 81

90 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia INTERPRETATION OF RESULTS Information about the number of registered forest offences and area affected can provide some indication whether the applied control and conflict management tools are effective. Overall, these tools aim at contributing to reduce conflicts between the various stakeholders, particularly between the government/landowners and local communities. 82

91 Chapter 4 Reporting on progress towards sustainable forest management Reporting on the progress made towards sustainable management of dry forests will be done on a country to country basis (i.e. country report). The report essentially presents (a) the information collected in the last assessment and (b) the results of monitoring including an interpretation of the trends obtained through the comparison of at least two assessments. The reporting format comprises the following components: Background information on country and criteria & indicators reference set. Synthesis on progress made towards sustainable management of dry forests. Presentation of the results of monitoring. Presentation of the results of the last assessment. As can be seen from above structure of contents the report, in its first part, focuses on the presentation of the broad picture of the results. More detailed information about the outcome of the monitoring and assessment exercises is presented in the second part of the report. The proposed structure of content allows the for various target groups such as politicians, government decision-makers, managers, forestry professionals and experts in forest-related fields to study the report up to the desired level of detail. Clients who only require less detailed information can obtain these without being forced to read through the entire report. 4.1 Background information The report begins with a brief introductory section informing the reader about key parameters of the assessment and monitoring system including the set of criteria & indicators used as basis for this reporting. The key parameters may include the following: Name of the country Total geographical area Total forest area and area of the dry forest zone Reporting period Reporting institutions and collaborating agencies The complete criteria and indicators set should be presented comprising the criteria, indicators and assessable verifiers. This section can also be used to explain why certain indicators could not be measured or monitored. In order to keep this section brief the table on criteria and indicators and associated descriptions should be placed in an appendix. 4.2 Synthesis In this section, a summary of the progress achieved towards sustainable management of the dry forests within a country is presented. The synthesis is essentially based on the monitoring results discussing major trends occurred over time as revealed by the more detailed comparisons between the indicators measured in two or more assessments. It is important that the synthesis focuses on the major trends providing the big picture in the development towards sustainable forest management in the dry zone. This concise summary is intended for use by politicians and high-level government decision-makers. Because of their usually limited time to deal with specific and mostly technical issues one should refrain from presenting details that do not further enhance the understanding of the basic trends revealed in the monitoring process. The length of the synthesis should not exceed two pages. 83

92 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia 4.3 Monitoring results This section presents the results of the monitoring activities essentially revealing the trends towards sustainable management of dry forests over a specified period of time. For each individual indicator the monitoring results are presented here using the monitoring format outlined in Chapter 3. As an example, the monitoring format of Indicator 3.6 Mechanisms for the conservation of genetic resources is shown below. Changes in coverage of threatened species in gene conservation mechanisms. Gene conservation mechanisms In-situ conservation Ex-situ conservation Germplasm bank Tissue culture Monitoring Format for Indicator 3.6 Assessment 1 (Date) Assessment 2 (Date) Percentage of threatened Percentage of threatened species species Fully Partly Not Fully Partly Not covered covered covered covered covered covered Changes Percentage of threatened species Fully Partly Not covered covered covered The presentation of the monitoring format is accompanied by an interpretation of the monitoring results. Through the comparison of two or more assessments trends towards sustainable forest management can be described. The results obtained from one indicator should be discussed here and put into the context of broader sustainability issues associated with the respective indicator. Theses explanations provide the basis for writing the synthesis to be presented at the beginning at the progress report. 4.4 Assessment results This section presents detailed information about the results obtained from the last assessment exercise. Reporting is performed at the level of individual assessable verifiers or indicators. For each of verifiers and indicators employed in the assessment the reporting format outlined in Chapter 3 is given here. As an example, the reporting format for Indicator 3.6 Mechanisms for the conservation of genetic resources is presented below. Date of Assessment:. Threatened species Species 1 Species 2 Species 3 Etc. Total number of species covered Reporting on Indicator 3.6 In-situ conservation Gene conservation mechanism Ex-situ Germplasm conservation* bank* Tissue culture The figures and information provided in the reporting format of verifiers and indicators is entered into the monitoring format as explained in Chapter

93 5.1 Institutional arrangements Chapter 5 Provisions for assessment system implementation Based upon the decision to implement an assessment system for Criteria and Indicators for Dry Forests in a particular country in Asia, a lead agency has to be appointed. For most countries the obvious choice for a lead agency would be either a unit of the ministry in charge of forestry affairs or the forestry department. The lead agency is responsible for the following tasks: (a) Establishment of a Steering Committee. This committee overlooks the implementation of the assessment, is chaired by a high-level officer of the ministry. Members of the steering committee include a representative of the lead agency, national forest research organisation, private sector and environmental/rural development NGO. (b) Building a network of collaborators. The success of the assessment depends to a large extent on a functioning cooperation of professionals from different fields of expertise. Relevant partner organisations such as ministries, research institutions, technical departments, private sector companies and NGO s need to be informed about the assessment system and motivated to act as data providers and advisors to the lead agency. (c) Preparation of a country-specific assessment system guideline. Based on the present practical guide a country-specific version containing the local specifications, particularly for the relevant assessable verifiers employed and the documents and procedures used in the assessment needs to be prepared. The preparation should be done in close cooperation within the network of collaborators. (d) Coordination of assessment system implementation. The lead agency is responsible for work plans, contracts for data provision and advisory services, evaluation of collected information, compilation of monitoring results and preparation of the final report on progress towards sustainable forest management. (e) Capacity building. Training courses are essential to familiarise the experts and support staff with the special requirements of the assessment system, desired level of detail and accuracy of the information to be collected and possibilities to further develop and improve the system. 5.2 Preparations for the assessment In principle, the collection and compilation of the necessary information should be accomplished in a decentralised fashion, involving several partner institutions and organisations. The present practical guide is designed in such a way as to facilitate this decentralised approach. All the information required to accomplish the assessment and reporting for an individual indicator can be found at one place in the document. These instructions can be handed out to the data providers and partners who have been assigned one or more indicators for assessment. Actual assessment should be preceded by intensive discussions between members of the lead agency and the experts of collaborating institutions. The aim is to develop a common understanding of the nature of the various indicators, review the assessment procedures and clarify any open issue associated with reporting and monitoring of the assessment results. During building of the assessment system one may also consider to undertake a few tests on indicator assessment, reporting and monitoring. These tests will allow the identification of problems associated with data collection, sources of information, processing procedures and presentation of the assessment results. Furthermore, tests will provide an opportunity to evaluate the interpretation results for any incompatibility with the criteria and indicator formulations. 85

94 Practical guidelines for the assessment, monitoring and reporting of indicators for sustainable forest management in dry forests in Asia 5.3 Training It is commonly recognised that only qualified professionals are able to implement an assessment system such as this one covering a wide range of ecological, social and economic subjects. The selection and further training of assessment staff is therefore crucial in achieving good results in assessment system implementation. There are basically two types of personnel involved in the assessment: (a) Specialists in various fields, mostly outside the regular forestry profession who act as partners for the lead agency. These experts are contracted for very specific assignments within the assessment. Examples of such assignments are associated with issues such as soil and water analyses, innovative technologies or macro-economics. (b) General forestry professionals who deal with the forestry-related assessment. The qualification requirements for these professionals include good knowledge of the ecological, technical and socio-economic of dry forests, ability to form an opinion based on factual evidence, adequate communication and reporting skills. Training efforts should be directed towards the general forestry professionals for improving the above mentioned skills. Training of the external specialists contracted as data providers or consultants only need to be made familiar with the assessment system and the forest context in which this assessment is implemented. 5.4 The use of the assessment system for improving forest management The reference set of Criteria and Indicators for Dry Forests in Asia that form the basis of the assessment system at the national level could also serve to improve forest management. For this purpose one would need to define a norm for each individual indicator or assessable verifier. Norms are measurable thresholds, performance standards and/or reference procedures which represent the desired reference value of the assessable parameter. Setting appropriate norms would require an extensive dialogue among the forest stakeholders to reach agreement. At the level of government which is concerned with policy formulation and amendments of laws and regulations the current set of national-level criteria and indicators can largely be used to identify areas for improvements. In order to apply this assessment system at the FMU and operational levels, new assessable verifiers would need to be introduced and also certain indicators re-formulated. These amendments would consider best practices to be employed in forest operations in order to meet environmental and social standards. 86

95 Appendix 1 Regional Initiative for the Development, Assessment and Measurement of National-level Criteria and Indicators for the Sustainable Management of Dry Forests in Asia* Criterion 1: Extent of forest and tree cover 1.1 Area of natural and man-made forests 1.2 Area of dense, open and scrub forest 1.3 Area under trees outside forests 1.4 Forest area diverted for non-forestry use 1.5 Extent of encroachment in forest areas Criterion 2: Maintenance of ecosystem health and vitality 2.1 Extent of natural regeneration 2.2 Extent of secondary forests 2.3 Extent of forest area under: Noxious weeds Pests and diseases of epidemic proportions 2.4 Extent of forest area affected by: Grazing Fire Storms Floods Droughts Wind Criterion 3: Maintenance and enhancement of biodiversity 3.1 Extent of protected areas 3.2 Number of threatened, keystone, flagship and endemic species of plants and animals 3.3 List of flora and fauna 3.4 Extent of non-destructive harvests 3.5 Percentage of cover by forest type 3.6 Mechanisms for the conservation of genetic resources Criterion 4: Conservation and enhancement of soil and water resources and other environmental functions 4.1 Extent of watershed areas under management 4.2 Area under shelter-and green belts 4.3 Duration of streamflow and water yield 4.4 Extent of soil erosion 4.5 Change in level of water table 4.6 Change in sediment load * Developed by participants from India, Bangladesh, Bhutan, Nepal, Myanmar, Thailand, China, Mongolia and Sri Lanka during the Workshop on National-Level Criteria and Indicators for Sustainable Management of Dry Forests in Asia organised by FAO/UNEP/ITTO/IIFM, Bhopal, India, 30 November to 3 December

96 Criterion 5: Maintenance and enhancement of forest productivity 5.1 Extent of forest area under forest management plans 5.2 Changes in growing stock of wood and NWFPs 5.3 Difference between annual allowable and actual cuts 5.4 Annual removable NWFP 5.5 Area of afforestation and new plantations including agroforestry 5.6 Degree of technological inputs 5.7 Contribution of forest to GDP through total economic value Criterion 6: Extent of forest resource utilization 6.1 Per capita wood and NWFP consumption 6.2 Import and export of wood and NWFPs 6.3 Recorded and unrecorded removals of wood and NWFPs Criterion 7: Socio-economic, cultural and spiritual needs 7.1 Extent of contribution of forest management activities to food security and other livelihood needs 7.2 Level of recreation, cultural, religious and aesthetic needs. 7.3 Gender-related indices in forestry (GDI in HDR of UNDP) 7.4 Extent of application of traditional knowledge 7.5 Direct and indirect employment in forestry and forest industries 7.6 Contribution of forest to the income of forest-dependent people Criterion 8: Policy, legal and institutional framework 8.1 Existence of national forest policy and legal framework 8.2 Extent of community, NGO and private sector participation in forestry activities 8.3 Investment in forestry research and development 8.4 Human resource capacity building mechanisms 8.5 Existence of forest resource accounting mechanisms 8.6 Monitoring and evaluation mechanisms 8.7 Existence of mechanisms for information dissemination 8.8 Extent of transfer of technology 8.9 Fiscal and monetary incentives for investing in forestry activity 8.10 Benefit sharing mechanism for stakeholders engaged in forest management activities 8.11 Existence of conflict management mechanisms 8.12 Changes in number of forest offences 88

97 Appendix 2 Definitions and basic principles of sustainable forest management in relation to criteria and indicators Afforestation: Establishment of forest plantations on land that was not classified as forest. Implies a transformation from non-forest to forest areas. Assessment: The process by which information about forest management is collected with a view to establishing, within a defined framework of expectations, the current status and probable future director of interactions between human beings and forests, using certain criteria and indicators. Biological diversity: The variability among living organisms from all sources including, inter alia, terrestrial, marine and other aquatic ecosystems and the ecological complexes of which they are part; this includes diversity within species, between species and of ecosystems. Biomass: Is defined as the total aboveground living organic matter in trees expressed as oven-dry tonnes per unit area. It is referred to as biomass density when expressed as mass per unit area, e.g. tonnes per ha. Excluded are stumps and roots (belowground biomass), foliage, flowers and seeds. Different procedures in estimating biomass will be followed for the different vegetation types. Conservation forest: Areas set aside by law or some other ruling for conservation purposes, for example: national parks, biological reserves, water reservoirs. Criterion: A category of conditions or process through which sustainable forest management can be assessed. A criterion is characterized by a set of related indicators, which are monitored periodically to assess change (Montreal Process 1995). A criterion describes the different sides of sustainability on a conceptual level. It is a distinguishing element or set of conditions or processes by which a forest characteristic or management measure is judged (Plan-European Forest Process 1994). Deforestation: Conversion of forest to another land use or the long-term reduction of the tree canopy cover below the minimum 10 percent threshold. Desertification: Land degradation in arid, semi-arid and dry subhumid areas resulting from various factors, including climate variations and human activities. Ecosystem: A community of plant and animal species and micro-organisms, considered together as a functional system which includes the complex, ever changing relations that exist among plants, animals and microbes, including humankind, and their environment. The term is used in identifying a certain forest site type (e.g. health forest). The term habitat is used in a general sense for the place where an organism is found (FAO 1989). Endangered species: Species classified by an objective process (e.g. national Red Book as being in the IUCN categories critically endangered and endangered. A species is considered to be critically endangered when it is facing an extremely high risk of extinction in the wild in the immediate future. It is considered endangered when it is not critically endangered but is still facing a very high risk of extinction in the wild in the near future. Endemic species: Species is endemic when found only in a certain strictly limited geographical region, i.e. restricted to a specified region or locality. 89

98 Exotic (introduced) species: Tree species occurring outside their natural vegetation zone, area or region. May also be termed non-indigenous species. Exploitable forest: A forest on which there are no legal, economic or technical restrictions on wood and non-wood production. It includes areas where, although there are no such restrictions, harvesting is not currently taking place; for example, areas included in long-term utilization plans. Forest: Land with tree crown cover (or equivalent stocking level) of more than 10 percent and area of more than 0.5 ha. The trees should be able to reach a minimum height of 5 m at maturity in situ. May consist either of closed forest formations where trees of various storeys and undergrowth cover a high proportion of the ground, or of open forest formations with a continuous vegetation cover in which tree crown cover exceeds 10 percent. Young natural stands and all plantations established for forestry purposes which have yet to reach a crown density of 10 percent or tree height of 5 m are included under forest, as are areas normally forming part of the forest area which are temporarily unstocked as a result of human intervention or natural causes but which are expected to revert to forest. Includes: Forest nurseries and seed orchards that constitute an integral part of the forest; forest roads, cleared tracts, firebreaks and other small open areas within the forest; forest in national parks, nature reserves and other protected areas such as those of special environmental, scientific, historical, cultural or spiritual interest; windbreaks and shelterbelts of trees with an area of more than 0.5 ha and a width of more than 20 m; plantations primarily used for forestry purposes, including rubberwood plantations and cork oak stands. Excludes: Land predominantly used for agricultural practices. Forestry: Activities related to the management of forests and other wooded land for the production and supply of wood or other goods and services. Forest degradation: Impoverishment of standing woody material mainly caused by human activities such as overgrazing, overexploitation (for firewood in particular), repeated fires, or attacks by insects, diseases, plant parasites or other natural causes such as cyclones. Very often degradation does not show up so much in decrease of woody vegetation but rather as a gradual reduction in biomass, changes in species composition and soil degradation. Forest ecosystem: An ecological system composed of interacting biotic and abiotic components of the environment in which trees are a major constituent, such that their canopies cover 20 percent or more of the area. Forest goods and products: Wood and non-wood forest products obtained from forests. Forest land: Countries have defined forest land differently and, as such, a single definition is not possible here. When reporting, each country should provide its own definition for forest land. Forest management units: A clearly demarcated area of land covered predominantly by forest, managed to a set of explicit objectives and according to a long-term forest management plan. A forest management unit may cover several hundred hectares to fractions thereof. The entire area of the forest management unit will have to be clearly demarcated on the ground and usually also on a map. Under the broad objectives to which the entire management unit is subjected, subunits may be managed under different and separate management regimes. Forest services: Protection (against soil erosion by air and water, avalanches, mud and rock slides, flooding, air pollution, noise etc.). Social and economic values (e.g. hunting and fishing, other leisure activities including recreation, sport and tourism). 90

99 Aesthetic, cultural, historical, spiritual and scientific values (including landscape and amenities). Forest type: Classification of forest land based on species forming a plurality of live-tree stocking. Type (e.g. low forest, multi-layered forest, even-aged forest etc.) is determined on the basis of species plurality of all live trees that contribute to stocking) Pan-European Forest Process 1994). Function: The set of processes that results from interactions among biotic and abiotic components of the ecosystem. Four classes of processes are important: Processes that affect the rate and total quantity of energy; Processes that affect the rate and total quantity of nutrient cycling; Processes that influence ecosystem services important to human beings; and Processes that affect the life and diversity of living organisms over both short- and long-time periods. Growing stock: Stem volume of all living trees more than 10 cm dbh (or above buttresses if these are higher), over bark measured from stump to top of the bole. Excluded are all branches. Commercial growing stock: Part of the growing stock that consists of species considered as actually or potentially commercial under current local and international market conditions, at the reported reference diameter (dbh). Includes: Species which are currently not utilized, but potentially commercial having appropriate technological properties. Guideline: A recommendation that leads or directs a course of action to achieve a certain goal. Indigenous tree species: Tree species which have evolved in the same area, region or biotope where the forest stand is growing and are adapted to the specific ecological conditions predominant at the time of the establishment of the stand. This may also be termed native species or autochthonous species. Indicator: The fulfillment of a criterion is evaluated by using indicators. A typical indicator is a measure of an aspect of the criterion or a measurable quantitative or descriptive variable which when compared to previous measurements demonstrates changes or trends. The indicator has to be judged on a scale of acceptable standards of performance, which may vary widely from region to region and from time to time. Some aspects of criteria cannot be quantified. Their fulfillment can only be judged through the existence and effective implementation of a regulatory framework. By repeatedly measuring the fulfillment of the criteria, countries can evaluate whether forest management is moving towards or away from sustainability. Also, they can be used as a tool for reporting on the implementation of the commitments made and thus whether the objectives set are being met. Monitoring: Based on repeated data collection, periodic and systematic measurement and assessment of changes in indicators. Natural forest: Natural forests are forests composed of indigenous trees, not planted by humans. Or in other words forests excluding plantations. Natural forests are further classified using the following criteria: Forest formation (or type): closed/open; Degree of human disturbance or modification; and Species composition. Natural forest undisturbed by humans: Forest which shows natural forest dynamics such as natural species composition, occurrence of dead wood, natural age structure and natural regeneration processes, the area of which is large enough to maintain its natural characteristics and where there has been no 91

100 known human intervention or where the last significant human intervention was long enough ago to have allowed the natural species composition and processes to have become re-established. Natural forest disturbed by humans: Includes: logged over forests associated with various intensity of logging various forms of secondary forests, resulting from logging or abandoned cultivation. Natural regeneration on forest land: Natural succession of forest on temporarily unstocked lands that are considered as forest. Non-wood forest products: Products for human consumption: food, beverages, medicinal plants, and extracts (e.g. fruits, berries, nuts, honey, bush meat, mushrooms, etc.). Fodder and forage (grazing, range) Other non-wood products (e.g. cork, resin, tannins, industrial extracts, wool and skins, hunting trophies, Christmas trees, decorative foliage, mosses and ferns, essential and cosmetic oils, etc.) Other wooded land: Land either with a tree crown cover (or equivalent stocking level) of 5-10 percent of trees able to reach a height of 5 m at maturity in situ; or a crown cover (or equivalent stocking level) of more than 10 percent of trees not able to reach a height of 5 m at maturity in situ (e.g. dwarf or stunted trees) and shrub or bush cover of more than 10 percent. Other land: Land not classified as forest or other wooded land as defined above. Includes agricultural land, meadows and pastures, built-on areas, barren land etc. Plantation: Forest stands established by planting or seeding in the process of afforestation or reforestation. They are either: Of introduced species (all planted stands); or Intensively managed stands of indigenous species which meet all the following criteria: one or two species at plantation, even age class, regular spacing. Note: Area statistics on forest plantations provided by countries should reflect the actual forest plantation resource, excluding replanting. Replanting is the re-establishment of planted trees, either because of afforestation or reforestation failed, or tree crop was felled and regenerated. It is not an addition to the total plantation area. Principle: A fundamental law or rule as a guide to action; a rule of conduct; a fundamental motive or reason for action, especially one consciously recognized and followed. A principle is commonly formulated around a core concept based on social ethics, values, and tradition as well as on scientific knowledge. Usually principles can be expressed concisely and crisply, for example, sustainable development principle, sustained yield principle, sovereignty principle, polluter pays principle, and a set of forest principles negotiated at the World Summit (CSCE Seminar and Montreal Process 1993). Production forest: A forest managed to harvest forest products and to sustain the bioproductivity of the system. Productive forest: An area of forest capable of producing wood for more than a certain predicted amount, e.g. the increment volume is more than 1 m 3 /ha/year in the foreseeable future. Protected area: As defined by the World Conservation Union (WCU) a protected area is an area of land or sea especially dedicated to the protection and maintenance of biological diversity, and of natural and associated cultural resources, managed through legal or other effective means. Protection forest: The function of forest/other woodland in providing protection for soil against erosion by water and wind, prevention of desertification, the reduction of risk of avalanches and rock or mud slides; and in conserving, protecting and regulating the quantity and quality of water supply, including the prevention of flooding. Includes: Protection against air and noise pollution. 92

101 Reforestation: Establishment of forest plantations on temporarily unstocked lands that are considered as forest. Shrub- and brush land: Woody perennial plants, generally of more than 0.5 m and less than 5 m height, and often without a definite stem and crown. Trees outside the forest are excluded. Sustainable development: The management and conservation of the natural resources base, and the orientation of technological and institutional change in such a manner as to ensure the attainment and continued satisfaction of human needs for present and future generations. Such sustainable development (in agriculture, forestry and fisheries sectors) conserves land, water, plant and animal genetic resources, is environmentally viable and socially acceptable. Sustainable forest management: It is the stewardship and use of forests and forest lands in a way, and at a rate, that maintains their biological diversity, productivity, regeneration capacity, vitality and their potential to fulfil, now and in the future, relevant ecological economic and social functions, at local, national and global levels, and that does not cause damage on other ecosystems. Tree: A woody perennial with a single main stem, or in the case of coppice with several stems, having a more or less definite crown. Includes bamboo, palms and other woody plants meeting the above criterion. Trees outside forests: Trees on land other than forest or other wooded land. Includes: Trees on land that meets the definitions of forest and of other wooded land except that the area is less than 0.5 ha and the width is less than 20 m; scattered trees in permanent meadows and pastures; permanent tree crops such as fruit tree orchards and coconut palm plantations; trees in parks and gardens, around buildings, in hedgerows and in lines along streets, roads, railways, rivers, streams and canals; trees in shelterbelts and windbreaks of less than 20 m in width and 0.5 ha in area. Unproductive forest: A forest which is not regularly managed, yielding timber less than a certain amount, e.g. the increment volume is less than 1 m 3 /ha/year in the foreseeable future. Vegetation type: Mixture of vegetation covering a forest site. Used in identifying a certain forest site type, e.g. heath forest (Ministerial Conference on the Protection of European Forests and the Pan- European Forest Process 1994.). 93

102 Appendix 3 Literature used The references contained in this list have either been cited in the text or used as general background information to develop the practical guidelines. Appanah, S. & Kleine, M Auditing of sustainable forest management: A practical guide for developing local auditing systems based on ITTO s Criteria and Indicators. Forestry Research Support Programme for Asia and the Pacific (FORSPA). FAO Regional Office for Asia and the Pacific, Bangkok, Thailand. CIFOR The CIFOR criteria and indicators generic template. The Criteria & Indicators Toolbox Series 2. FAO. 2000a. Development of national-level criteria and indicators for the sustainable management of dry forests in Asia: Workshop report. FAO Regional Office for Asia and the Pacific, Bangkok, Thailand. FAO. 2000b. Development of national-level criteria and indicators for the sustainable management of dry forests in Asia: Background papers. FAO Regional Office for Asia and the Pacific, Bangkok, Thailand. FAO Global forest resources assessment Main Report. FAO Forestry Paper 140. Forest Survey of India Inventory of non-forest areas of Hoshangabad District (MP). Forest Survey of India, Central Zone, Nagpur, India. Ministry of Environment and Forests State of forest report Forest Survey of India, Dehra Dun, India. Prasad, R Sustainable forest management for dry forests in South Asia. In: Development of national-level criteria and indicators for the sustainable management of dry forests in Asia: Background papers. FAO Regional Office for Asia and the Pacific, Bangkok, Thailand. Prasad, R., Kotwal, P.C., Chadurkar, D., Jadhav, Y.D., Horo, N.V. & Dugaya, D Manual for operationalising criteria and indicators for sustainable forest management at the forest management unit level in India. IIFM/ITTO Report, Bhopal, India. 94

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