1030-B4
Stuart M. Davey, James R. L. Hoare and Karl E. Rumba 1
The conceptual bases for sustainable forest management and the ecosystem approach to sustainable forest management will soon be considered in international forums on forests and biological diversity. Considerable national activity in both conservation and the sustainable management and use of forests has occurred over the last decade in Australia, leading to the unification of both concepts. The principles and operational guidelines of the ecosystem approach have been effectively incorporated into the concept of ecologically sustainable forest management under the National Forest Policy Statement, and now underpin Australia's Regional Forest Agreements. This paper explores these concepts and demonstrates how they have been adapted and incorporated into Australian forest management under Regional Forest Agreement processes.
Governments are seeking to achieve an optimal balance between environmental management, economic development and social values to meet the needs of society on a sustainable basis. This is particularly the case for forests around the world. A balanced approach to forest issues internationally is being handled mainly under two United Nation arrangements; the United Nations Forum on Forests and the Convention on Biological Diversity (CBD). Sustainable forest management and the ecosystem approach are important components, respectively, of these arrangements. A comparative study to clarify the conceptual basis of the ecosystem approach in relation to the concept of sustainable forest management, with adequate consideration for regional conditions, has been requested by the Conference of Parties to the CBD2.
Australia has experience in applying the ecosystem approach to forests (Commonwealth of Australia 2000). Here we explore Australia's approach to sustainable forest management and how Australia has applied the ecosystem approach systematically to the management and conservation of its commercial forest regions.
The Conference of the Parties recognised "the need to develop and implement methods for sustainable forest management which combine production goals, socio- economic goals of forest-dependent local communities, and environmental goals, particularly those related to biological diversity. Sustainable forest management should ensure that components of biological diversity are used in a way and at a rate that does not lead to the long-term decline of biological diversity, thereby maintaining its potential to meet the needs of present and future generations. ... Sustainable forest management should take an ecosystem approach ... comprising such elements as forest composition, natural regeneration, patterns of ecosystem variation, ecosystem functions and ecosystem processes over time" (CBD 2001, p. 331). What is sustainable forest management and what is an ecosystem approach?
The CBD (2001, p. 566) describes the ecosystem approach as a strategy for the integrated management of land, water and living resources that promotes conservation and sustainable use of biological diversity in an equitable way. It requires the application of appropriate scientific methodologies focused on levels of biological organization, which encompass the essential structure, processes, functions and interactions among biological organisms and their physical environment. It recognises that humans, with their cultural diversity, are an integral component of many ecosystems. The ecosystem approach thus requires adaptive management to deal with the complex and dynamic nature of ecosystems and in the absence of complete knowledge or understanding of their functioning. Table 1 outlines the principles and operational guidelines to be applied in implementation of the ecosystem approach. The ecosystem approach is not spatially specific; that is, the approach can refer to any functioning unit at any scale but is determined by the generic issue and parameterisation of the problem being addressed (eg. stand, a forest, a landscape).
Table 1 Principles and operational guidance of the ecosystem approach (from CBD 2001, p. 566-570)
The concept of sustainable forest management is based on the principle of ecological sustainability and sustainable yield. Sustainable forest management integrates consideration of biodiversity, ecosystem health and vitality, ecological productivity, and socio-economic sustainability within a framework of intergenerational equity and a precautionary approach to forest management. Biodiversity provides the essential underpinning for ecological, social and economic sustainability (Cork 2002) typically provided in the form of ecosystem services. The concept of ecosystem services is incorporated within the principles of sustainable yield; whereby the production of goods, provision of regeneration and stabilising processes for ecosystems, life-fulfilling functions and preservation of opportunities to generations of human societies are implied and assumed.
Ecosystem vitality is an important consideration for ecological sustainability as it refers to the ability of a system to respond to and/or recover from a disturbance. Components of the forest ecosystem (including ecosystem processes) respond to management activities as an integrated functioning whole. Maintaining forest ecosystem vitality under different management regimes requires consideration of the viability of the components of the forest ecosystem such that the functioning whole is not compromised or jeopardised over the foreseeable future.
Sustainable yield is a key element of ecological productivity. It is concerned with maintaining a capacity for the continual flow of products, such as timber and water, and services from a forest ecosystem in ways that ensure the functioning of the forest system as a whole is maintained in perpetuity. The flows of products change over time within defined bounds depending upon the balance and emphasis of sustainable use objectives given environmental and societal needs (Chikumbo et al. 2001, Turner et al. 2002).
The Australian government established a number of strategic forest initiatives that informed the National Forest Policy Statement (NFPS 1992). The Statement provides for ecologically sustainable development of forests based on the principles of maintaining ecological processes, maintaining biological diversity, and optimising the benefits to the community from all uses of forests within ecological constraints. It seeks a balanced return to the community from all forest uses within a regionally-based planning framework that integrates environmental, commercial, social and heritage objectives so that, as far as possible, provision is made for all forest values. It is Australia's national strategy for the sustainable forest management and use of forests as envisaged under the Convention (Article 6a) and UNCED Forest Principles. The ecosystem approach is an important component of the Statement and Australia's implementation of sustainable forest management.
The Australian concept of ecologically sustainable forest management can be defined as "the integration of commercial and non-commercial values of forests so that the welfare of society (both material and non-material) is improved, whilst ensuring that the values of forests, both as a resource for commercial use and for conservation are not lost or degraded for current and future generations" (Davey et al. 1997, Chikumbo et al. 2001).
Incorporated into ecologically sustainable forest management is the concept of sustainable use as defined in the Convention. That is, "sustainable use means the use of components of biological diversity in a way and at a rate that does not lead to the long-term decline of biological diversity, thereby maintaining its potential to meet the needs and aspirations of present and future generations" (CBD 2001, p. 86). Primary goals of ecologically sustainable forest management are:
Regional Forest Agreements (http://www.rfa.gov.au/) provide a mechanism for achieving an equitable balance between conservation and sustainable use of the natural and cultural, and economic and social values of Australia's forests in the commercial forest regions of Australia. They are an Australian example of an ecosystem approach (Commonwealth of Australia 2000).
Twenty-year Agreements are now in place for 11 of the 12 commercial forest regions around Australia (Figure 1)3. These Agreements provide a cross-tenure plan for the conservation and sustainable use of forest biological diversity as envisaged under Article 6b of the Convention. They strive to achieve balanced and long-term resolution of government, industry, environment and community interests in the forests based on scientific assessments while meeting legally based specifications. Outcomes include a world-class conservation reserve system; secure access to forest resources; opportunities for the development of an internationally competitive forest industry; and a long-term basis for ecologically sustainable management of forest resources.
Figure 1 Australian forests and woodlands and regions with signed Regional Forest Agreements (source National Forest Inventory, August 2001)
The NFPS (1992) provides the principles for an assessment of ecologically sustainable forest management in regard to forest management systems, processes and practices, biodiversity conservation and management and industry development through which the principles of the ecosystem approach are addressed.
In alignment with the ecosystem approach, comprehensive regional assessments addressed the full range of forest values and their functional relationships (Operating Guideline 1) considered important by society and involved all relevant sectors of society and scientific disciplines (Principle 12). Engagement of the public in strategic planning was an important element. An objective of the Regional Forest Agreement process was to increase the net social benefit derived from the mixture of forest uses and values (Operational Guideline 2) within ecological constraints, in terms of management of land, water and biological resources in forest regions (Principle 6), whilst maintaining options for the future. Society was involved through comprehensive public participatory arrangements. Arrangements and mechanisms for public involvement varied between regions and included regional stakeholder forums and workshops, representation on technical and steering committees, and involvement in integration and option development (Operational Guideline 5). The public and stakeholders were given the right to comment on the information collated through the comprehensive regional assessment process and options that were to be considered in arriving at a regional forest agreement (Principle 1).
Independent scientific assessments of the State's forest management systems and processes were carried out to determine the extent to which ecologically sustainable forest management for the full range of forest values was achieved. State management systems and processes were benchmarked against the requirements of the international environmental management system model (AS/NZISO 14001, 1996). Seven forest management criteria for sustainable forest management from the Montreal Process (1995) and two over-arching principles were used (Table 2). Where deficiencies were identified, recommendations for improvement were made and incorporated into final Agreements. These included continuing development of forest management systems and the use of criteria and indicators for assessing progress towards achieving sustainable forest management. Sustainability criteria and indicators were developed for application at both national and regional scales. Environmental management systems that were capable of responding to varying temporal scales, lag effects and changes of forest ecosystems as a means of achieving ecologically sustainable forest management (Principle 8) were established on public lands (Operational Guideline 3).
Table 2 Assessment criteria and principles for management systems and processes (Davey et al. 1997).
Conservation of biological diversity both on and off-reserves is a key element underpinning the ecosystem approach and achieving ecologically sustainable forest management. A forest reserve system was the prime instrument for in-situ conservation using Commonwealth and State governments agreed reserve criteria (JANIS 1997). The reserve system was designed to protect a range of biodiversity conservation values as well as old-growth forests and wilderness areas based on principles of comprehensiveness, adequacy and representativeness. Principles, targets, standards and guidelines of comprehensiveness (covering the full range of forest communities across the landscape), adequacy (maintenance of ecological viability and integrity of populations, species and communities), and representativeness (biodiversity of forest communities reserved is reasonably reflected across the landscape) were used to design reserve system outcomes for Regional Forest Agreements (Davey et al. 2002).
Importantly, the conservation of biodiversity across the landscape to be achieved under RFAs occurred not only through the establishment of a formal conservation reserve system, but also through off-reserve management strategies aimed at complementary management of production forests on public and private lands (Principle 3). This was achieved through approved forest management plans, codes of forest practice, prescriptions for conserving and protecting flora, fauna and their communities, and soil and water values at both regional and local scales (Principles 2 and 5 and Operational Guideline 4).
An integral part of developing Regional Forest Agreements was the evaluation of economic costs and benefits, regional employment, development of trade-off options to compensate communities and the forest industry for loss of resource through more intensive forest use, industry initiatives and restructuring, and improved productivity and economic returns on the sustainable use of forest resources. Social assessments of likely impacts of decisions over resource allocation and intensity of forest use within the regions, particularly in timber dependent towns, were carried out and used to inform final decisions on resource allocation and use. As with the ecosystem approach, the regional forest agreement process arrived at decisions within an economic context (Principle 4), whilst recognising that the objectives of management of land, water and living resources were a matter of societal choice (Principle 1). In seeking to achieve a balance between, and integration of, conservation and use of biological diversity (Principle 10), resource allocations in some regions reflected society's priorities for conservation of biological diversity over economic values, where such values were identified as important, restricted or at risk. The Agreements aim to reduce any market distortions that could adversely affect the conservation of biological diversity - through the establishment of a permanent reserve system protected by legislation, and making secure to industry the balance of the forest resource for sustainable use and management.
The development and implementation of national and sub-national (regional) criteria and indicators of sustainable forest management, drawing on the Montreal Process Working Group (1999), is a significant achievement in sustainable forest management in Australia (Commonwealth of Australia, 1998). Indicators were designed to be practical, cost-effective and to measure changes in forest values over different spatial and time scales, including lag-effects. This approach permits a wide range of ecosystem values that are characterised by dynamic changes to be adaptively managed on a spatial and temporal basis (Principles 7, 8 and 9). Indicators apply to all forested tenures and are used to monitor and report on forest management outcomes, including those achieved under RFAs (Operational Guideline 3). Regional Forest Agreement performance is assessed through monitoring sustainability indicators together with formal review of commitments every five years (see RPDC 2002). Trends of change in indicators are used to determine long-term policy formulation and continuous improvement in forest management (Figure 2).
Establishing linkages between criteria and indicators of sustainable forest management and environmental management systems at the forest management unit level (Principle 2) is another step towards achieving sustainable forest management not only for environmental values, but also social and economic objectives (Rumba et al. 2001). This approach lays the foundations for adaptive management and the development of robust forest certification schemes. Such schemes provide additional market-based incentives for ongoing improvement in sustainable forest management by permitting forest managers to objectively and independently demonstrate their environmental credentials to retailers and consumers.
Figure 2 Australia's approach to sustainable forest outcomes within a cycle of continuous improvement of forest and environmental management systems, processes and practices (adapted from Rumba et al. 2001).
There is a growing recognition of the complementary nature of performance-based and process-based standards. Performance-based standards provide an objective basis against which managers can check and improve management performance. Process-based standards enable managers to systematically address environmental aspects and impacts of management within a process of continual improvement, such as provided by environmental management systems. Both standards provide a framework for assessing and demonstrating progress towards sustainable forest management outcomes (Kanowski et al. 2000).
The Australian Forestry Standard is a voluntary standard for independent, third party certification (www.forestrystandard.org.au) that integrates both types of standards. Performance requirements are based on criteria and indicators from the Montreal Framework considered important to society. The process requirements are based on an ISO14001 environmental management systems approach. Development of the Standard was through a broad-based stakeholder group working towards a consensus view of performance measures. It is a logical extension of the advances made towards sustainable forest management in Australia under Regional Forest Agreements. The Standard will be a useful tool for providing technical rigour and promoting "best practice" sustainable forest management.
The international forest community is grappling with the concepts and application of the ecosystem approach and sustainable forest management. The principles and operational guidelines of the ecosystem approach to sustainable forest management has been effectively implemented in Australia through the Comprehensive Regional Assessment and Regional Forest Agreement processes in the commercial forest regions of Australia. In effect, ecologically sustainable forest management may be considered the equivalent of the ecosystem approach. The ecosystem approach is a broad concept that provides an ecosystem-based strategy using specified guidelines to support the conservation and sustainable use of biodiversity resources in an equitable way across human generations.
The application of the ecosystem approach to forest policy development under Regional Forest Agreements now provides a benchmark for the allocation and sustainable use of forest resources that reflects societal choice based on detailed scientific and community assessments of forest values of importance to the community. The National Forest Policy Statement, criteria for assessing and determining forest reserves, regional forest agreements, sustainability indicators and the Australian Forestry Standard for voluntary certification are key elements in the Australian approach to sustainable forest management practice, and ensures that the ecosystem approach to ecologically sustainable forest management is implemented within secure institutional arrangements.
These elements, within a framework of adaptive management and continual improvement, provide an enduring approach to achieving forest sustainability under ever-changing environmental, social and economic factors. Environmental impacts from forestry will reduce. Market place and public acceptance that forest management is sustainable as a result of voluntary certification and product labelling will be an important outcome of Australia's approach. Wider community and market confidence in sustainable forest management will result. As will, protecting and maintaining the full suite of forest values for current and future generations and improving market access. The approach is recommended as a model for use by other countries.
We would like to thank Drs Oliver Chikumbo and Brian Turner and those officers from Environment Australia and Agriculture, Fisheries and Forestry Australia for their comments.
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1 Bureau of Rural Sciences, P.O Box E11, Kingston ACT 2604, Australia. [email protected]
2 (UNEP/CBD/COP/6/ Decision 20, p 226).
3 The forests outside of RFA regions are managed and protected under State and Commonwealth legislation.