Practical guidelines for the assessment, monitoring and reporting on national level criteria and indicators for sustainable forest management in dry forests in Asia

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.

ASSESSMENT AND REPORTING

Assessable Verifier 6.1.1
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: m³ per capita
Changes: %

Assessable Verifier 6.1.2
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: m³ per capita
Changes: %

Assessable Verifier 6.1.3
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)		Assessment 2 (Date)		Change (%)
Commodity	Data source	Per capita consumption per year	Data source	Per capita consumption per year
Timber (m³)
Firewood (stacked)
NWFP:
Tendu leaves (kg)
Essential oils (litre)
Fruits (kg)

Data source: 1= from trade statistics; 2=from social baseline surveys; 3=both.

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.

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: m³, kg
Changes: %

MONITORING

Table showing the export and import of wood and NWFPs.

Monitoring Format for Indicator 6.2
	Commodity	Assessment 1 (Date)		Assessment 2 (Date)		Change
	Commodity	Volume	Monetary value	Volume	Monetary value	Volume in %	Monetary value in %
Import
	Wood (m³)
	NWFP 1 (unit)
	NWFP 2 (unit)
	Other products
Export
	Wood (m³)
	NWFP 1 (unit)
	NWFP 2 (unit)
	Other products

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".

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 7.2.1
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

Reporting on Assessable Verifier 7.2.1 Date of Assessment:..........
Name of recreation forest	Area	Visitors per year	Facilities
Name of recreation forest	(ha)	(n)	Sanitary facilities/catering*	Information Centre/hiking trails	Tourist guides/activity programme
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".

Assessable Verifier 7.2.2
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

Reporting on Assessable Verifier 7.2.2 Date of Assessment:..........
Name of major forest/site used for cultural/religious purposes	Average number of visitors per year	Level of protection

Site1
Site 2
Site 3
Etc.
Total

MONITORING

Forest area used for recreational purposes and available recreational facilities.

Monitoring Format for Indicator 7.2
Forest area used for recreational purposes	Assessment 2 (Date)		Assessment 2 (Date)		Change
Forest area used for recreational purposes	Area/number	Percent of total	Area/number	Percent of total	(%)
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

Cultural and religious forest/sites and level of protection.

Monitoring Format for Indicator 7.2
Major cultural/religious forest/sites	Assessment 2 (Date)	Assessment 2 (Date)	Change (%)
Major cultural/religious forest/sites	Number of major cultural/religious forest/sites	Number of major cultural/religious forest/sites	Number of major cultural/religious forest/sites
Protected by customary rights
Protected by laws/regulations
Total

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.

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: %

Reporting on Indicator 7.3 Date of Assessment:..........
Employer of women in the forest sector	Number of women employed	Percentage of total number of jobs
Employer of women in the forest sector	(n)	(%)
Forestry Department
Private contractors
Forest-related industry
Total

MONITORING

Employment of women in the forest sector.

Monitoring Format for Indicator 7.3
Employer of women in the forest sector	Assessment 2 (Date)	Assessment 2 (Date)	Change (%)
Employer of women in the forest sector	Percentage of women employed	Percentage of women employed	Percentage of women employed
Forestry Department
Private contractors
Forest-related industry
Total

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 forest-related 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

Reporting on Indicator 7.4 Date of Assessment:..........
Types of applications of traditional knowledge	% of local people applying traditional knowledge	Level of supply
Type 1
Type 2
Type 3
Etc.

MONITORING

Application of traditional knowledge.

Monitoring Format for Indicator 7.4
Types of applications of traditional knowledge	Assessment 2 (Date)		Assessment 2 (Date)		Change (%)
Types of applications of traditional knowledge	% of local people using...	Level of supply	% of local people using...	Level of supply	% of local people using...	Level of supply
Type 1
Type 2

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.

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: %

Reporting on Indicator 7.5 Date of Assessment:..........
Employer in the forest sector	Number of persons employed
Employer in the forest sector	(person/day)
Forestry Department
Private contractors
Forest-related industry
Forest recreation/tourism
Total

MONITORING

Employment in the forest sector.

Monitoring Format for Indicator 7.5
Employer in the forest sector	Assessment 2 (Date)	Assessment 2 (Date)	Change
	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 20-30 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 8.7.

ASSESSMENT AND REPORTING

Assessable Verifier 7.6.1
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: %

Reporting on Assessable Verifier 7.6.1 Date of Assessment:..........
	Area	Percent of total forest area
	(ha)
Area under joint forest management
Total forest area

ASSESSMENT AND REPORTING

Assessable Verifier 7.6.2
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

Reporting on Assessable Verifier 7.6.2 Date of Assessment:..........
Type of benefit sharing mechanism	Level of satisfaction
Type of benefit sharing mechanism	Description
Type 1
Type 2
Etc.

MONITORING

Extent of area under joint forest management.

Monitoring Format for Indicator 7.6
	Assessment 2 (Date)	Assessment 2 (Date)	Change
	Area under joint forest management as percent of total forest area	Area under joint forest management as percent of total forest area	Area under joint forest management as percent of total forest area
	(%)	(%)	(%)
Joint forest management

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.

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

Reporting on Indicator 8.1 Date of Assessment...........
Name of Law/Policy	Date of last amendment	Description of issues amended	Degree of amendment
Forest Enactment
Law on wildlife protection
Environmental Act
Etc.

MONITORING

Monitoring Format for Indicator 8.1
Name of Law/Policy	Assessment 1 (Date)		Assessment 2 (Date)		Change
Name of Law/Policy	Date of last amendment	Degree of amendment	Date of last amendment	Degree of amendment	Description
Law 1
Law 3
Etc.
Policy 1
Policy 2
Etc.

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.

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 8.2.1
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

Reporting on Assessable Verifier 8.2.1 Date of Assessment...........
Section of law/policy and relevant to stakeholder participation	Date of last amendment	Description of amendments
Joint forest management
Involvement of NGO's
Land ceiling policy
Tax relaxation policy
Policy on loans and credits in forestry
Etc.

Assessable Verifier 8.2.2
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

Reporting on Assessable Verifier 8.2.2 Date of Assessment...........
	Area managed by stakeholders
	Managed by community	Managed by NGO's	Managed by private sector	Percent of total
	(ha)	(ha)	(ha)	(%)
Permanent forest estate (public land)
Community
Private land
Total forest land

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)		Change
Name of Law/Policy	Date of last amendment	Major issue of amendment	Date of last amendment	Major issue of amendment	Description
Joint forest management
Involvement of NGO's
Land ceiling policy
Tax relaxation policy
Policy on loans and credits for forestry
Etc.

Monitoring of the extent of area under management by stakeholders.

Monitoring Format for Indicator 8.2
Types of applications of traditional knowledge	Assessment 1 (Date)		Assessment 2 (Date)		Change
	Extent of area	Percent of total forest area	Extent of area	Percent of total forest area	Extent of area	Percent of total forest area
	ha	(%)	ha		(%)	(%)
Managed by community
Managed by NGO
Managed by private sector

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.

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)	Assessment 2 (Date)	Change (%)
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

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 8.4.1
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: %

Reporting on Assessable Verifier 8.4.1 Date of Assessment...........
Level of forestry education	Number of graduates per annum (supply)	Annual demand for professional foresters	Ratio: Annual supply/demand
Level of forestry education	(n)	(n)	(%)
M.Sc. Forestry
B.Sc. Forestry
Forester
Forest Guard
Etc.

Assessable Verifier 8.4.2
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: %

Reporting on Assessable Verifier 8.4.2 Date of Assessment...........
Level of courses offered in the national short-term training programme	Number of trainees per annum	Total number of staff	Ratio: trainees/total staff
	(n)	(n)	(%)
Courses for academic level
Courses for supervising staff
Practical courses for forestry operations
Etc.

MONITORING

Monitoring Format for Indicator 8.4
Human resource capacity building mechanisms	Assessment 1 (date)		Assessment 2 (date)		Change
	Supply/demand	Trainees/total staff	Supply/demand	Trainees/total staff	Supply/demand	Trainees/total staff
	(%)	(%)	(%)	(%)	(%)	(%)
Long-term training
M.Sc. Forestry
B.Sc. Forestry
Forester
Forest Guard
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.

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	Description
Monitoring of sustainable forestry (criteria & indicators?)	National level
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 specific-purpose projects	Project
Etc.

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.

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	Annual output (n)	Status of development
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)

MONITORING

Monitoring Format for Indicator 8.7
Mechanisms for information dissemination	Assessment 1 (Date)		Assessment 2 (Date)		Change
	Annual output	Status of develop.	Annual output	Status of develop.	Annual output	Status of development
	(n)		(n)		(%)
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)

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 8.4.2 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 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 and monetary incentives	Date of last amendment	Description of incentive
Tax relaxation policy
Policy on loans and credits for forestry
Law on subsidies for forestry activities
Land lease policy
Etc.

MONITORING

Monitoring Format for Indicator 8.9
Section of law/policy relevant to fiscal and monetary incentives	Assessment 1 (date)	Assessment 2 (date)	Change
	Date of last amendment	Date of last amendment	Remarks on amendment
Tax relaxation policy
Policy on loans and credits for forestry
Law on subsidies for forestry activities
Land lease policy
Etc.

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

Reporting on Indicator 8.10 Date of Assessment...........
Section of law/policy relevant to benefit sharing mechanisms	Date of last amendment	Description of incentive
Regulation on benefit sharing within joint forest management agreements



Etc.

MONITORING

Monitoring Format for Indicator 8.10
Section of law/policy relevant to benefit sharing mechanisms	Assessment 1 (Date)	Assessment 2 (Date)	Change
	Date of last amendment	Date of last amendment	Remarks on amendment
Regulation on benefit sharing within joint forest management agreements



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 socio-economic 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.

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

Reporting on Indicator 8.11 Date of Assessment...........
Section of law/policy relevant to conflict management mechanisms	Date of last amendment	Description of conflict management approach




Etc.

MONITORING

Conflict management mechanisms.

Monitoring Format for Indicator 8.11
Section of law/policy relevant to conflict management mechanisms	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.

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 (number)	Area affected (ha)
Illegal harvesting
Occupation

Etc.

MONITORING

Changes in forest offences.

Monitoring Format for Indicator 8.12
Type of forest offence	Assessment 1 (Date)		Assessment 2 (Date)		Change
	Forest offences		Forest offences		Forest offences
	Number	ha	Number	ha	%	%
Illegal harvesting
Occupation
Etc.

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.