Description: The Process identifies 7 criteria and 66 indicators applicable both at the national and forest management unit levels in humid tropical forests of member tropical countries.
Initiated: 03/1992; Yokohama, Japan, (revised 1999)
Member Countries: (55 countries: 29 producers, 25 consumers and the European Union): Australia, Austria, Belgium/Luxembourg, Bolivia, Brazil, Cambodia, Cameroon, Canada, Central African Republic, China, Colombia, Cote-d'Ivoire, Democratic Republic of Congo, Denmark, Ecuador, Egypt, European Union, Fiji, Finland, France, Gabon, Germany, Ghana, Greece, Guyana, Honduras, India, Indonesia, Ireland, Italy, Japan, Liberia, Malaysia, Myanmar, Nepal, The Netherlands, New Zealand, Norway, Panama, Papua New Guinea, Peru, Philippines, Republic of Congo, Republic of Korea, Spain, Suriname, Sweden, Switzerland, Thailand, Togo, United Kingdom, Unites States of America and Venezuela.
www address: http://www.itto.or.jp/Index.html
Criteria and Indicators:
All the criteria are valid at both the national level and the level of the forest management unit. In the case of the indicators, all are applicable at the national level but only some at the level of the forest management unit. The two sets are presented together. The level at which an indicator applies is noted with a +; if it does not apply, with a -.
Criterion 1: Enabling conditions for sustainable forest management
This criterion covers the general institutional requirements for sustainable forest management to succeed. It addresses policy, legislation, economic conditions, incentives, research, education, training and mechanisms for consultation and participation. Many of the indicators are necessarily descriptive. Taken together, the information gathered indicates the extent of a country's political commitment to sustainable forest management. It would be useful if countries could supplement the indicators by providing relevant documentation.
Indicators of Policy and Legal Framework: |
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1.1 Existence of a framework of laws, policies, and regulations to govern: |
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Indicators of economic framework: |
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1.2 Amount of investment and reinvestment in forest management, administration,
research, and human resource development from: |
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1.3 Existence of economic instruments and other incentives to encourage
sustainable forest management. |
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Indicators of institutional framework: |
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1.4 Number and adequacy of institutions to support sustainable forest
management. |
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1.5 Number and adequacy of trained professional and technical personnel
at all levels to perform and support management, implementation, research
and extension. |
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1.6 Existence and application of appropriate technology to practise sustainable
forest management and the efficient processing and utilisation of forest
produce. |
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1.7 Capacity and mechanisms for planning sustainable forest management
and for periodical monitoring, evaluation and feed-back on progress. |
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1.8 Degree of public participation in forest management, such as in planning,
decision making, data collection, monitoring and assessment. |
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1.9 Adequacy and timeliness of information to increase public awareness
about forest policies, legislation and sustainable forest management practices. |
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Criterion 2: Forest resource security This criterion relates to the extent to which a country has a secure and stable forest estate, which could include plantations, to meet the production, protection, biodiversity conservation and other social, cultural, economic and environmental needs of present and future generations. This is essential for long-term sustainable forest management. Indicators of description of resource base: |
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2.1 Extent (area) and percentage of total land area under: |
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2.2 Extent (area) and percentage of total land area under each forest
type |
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2.3 Length and percentage of external boundaries of the permanent forest
estate demarcated or clearly defined. |
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2.4 Area of the permanent forest estate converted to permanent non-forest
use |
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2.5 Existence of procedures to control encroachment, fire, grazing and
illegal exploitation of forests. |
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Criterion 3: Forest ecosystem health and condition This criterion relates to the condition of a country's forests and the healthy biological functioning of forest ecosystems. Forest condition and health can be affected by a variety of human actions and natural occurrences, from air pollution, fire, flooding and storms to insects and disease. Indicators of area of forest damaged by human activities and degree
of damage: |
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3.1 Within the permanent forest estate, the extent and nature of: |
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(These should be specified.) |
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Indicators of area and degree of forest damage by natural causes: |
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3.2 Within the permanent forest estate, the extent and nature of forest
damage, caused by: |
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Indicators of conservation and protection procedures: |
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3.3 Existence and implementation of quarantine and phytosanitary procedures
to prevent the introduction of pests and diseases. |
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3.4 Existence and implementation of procedures to prevent the introduction
of potentially harmful exotic plant and animal species. |
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3.5 Availability and implementation of procedures covering: |
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Criterion 4: Flow of forest produce This criterion is concerned with forest management for the production of wood and non-wood forest products. Such production can only be sustained in the long-term if it is economically and financially viable, environmentally sound and socially acceptable. Forests earmarked for production are able to fulfil a number of other important forest functions, such as environmental protection and the conservation of biological diversity. These multiple roles of forest should be safeguarded by the application of sound management practices that maintain the potential of the forest resource to yield the full range of benefits to society. Indicators of resource assessment: |
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4.1 Extent and percentage of forest for which inventory and survey procedures
have been used to define: |
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4.2 Estimate of level of sustainable harvest for each main wood and non-wood
forest product for each forest type. |
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4.3 Quantity (volume) of wood and important non-wood forest products
harvested for each forest type. |
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Indicators of planning procedures: |
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4.4 Existence and implementation of: |
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4.5 Extent and percentage of: |
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4.6 Existence of long-term projections, strategies and plans for production,
including the use of tree plantations. |
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4.7 Availability of historical records on the extent, nature and management
of forest. |
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Indicators of management guidelines: |
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4.8 Availability and implementation of management guidelines for each
of the main wood and non-wood forest products to be harvested, to cover: |
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4.9 Availability and implementation of procedures to monitor and review
the management guidelines. |
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4.10 Availability and implementation of guidelines for reduced/low impact
logging to minimise damage to residual stand. |
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Indicators of monitoring and evaluation: |
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4.11 Availability and implementation of: |
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4.12 Percentage of area harvested for which: |
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Criterion 5: Biological diversity This Criterion relates to the conservation and maintenance of biological diversity, including ecosystem, species and genetic diversity. At the species level, special attention should be given to the protection of endangered, rare and threatened species. The establishment and management of a geographic system of protected areas of representative forest ecosystems can contribute to maintaining biodiversity. Biological diversity can also be conserved in forests managed for other purposes, such as for production, through the application of appropriate management practices. Indicators of ecosystem diversity: |
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5.1 Statistics of protected areas in each forest type. |
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5.2 Percentage of total number of protected areas connected by biological
corridors or 'stepping stones' between them. |
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Indicators of species diversity: |
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5.3 Existence and implementation of procedures to identify endangered,
rare and threatened species of forest flora and fauna. |
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5.4 Number of endangered, rare and threatened forest dependant species.
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5.5 Percentage of original range occupied by selected endangered, rare
and threatened species. |
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Indicators of genetic diversity: |
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5.6 Existence and implementation of a strategy for in situ and/or ex
situ conservation of the genetic variation within commercial, endangered,
rare and threatened species of forest flora and fauna. |
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Indicators of management guidelines: |
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5.7 Existence and implementation of management guidelines to: |
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Indicators of monitoring and evaluation: |
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5.8 Existence and implementation of procedures for assessing changes
of biological diversity of the production forests, compared with areas
in the same forest type kept free from human intervention. |
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Criterion 6: Soil and water This criterion deals with the protection of soil and water in the forest. The importance of this is two-fold. First, it has a bearing on maintaining the productivity and quality of forest and related aquatic ecosystems (and therefore on the health and condition of the forest, Criterion 3); secondly, it also plays a crucial role outside the forest in maintaining downstream water quality and flow and in reducing flooding and sedimentation. The environmental and social effects of mismanagement (landslides, flooding, water pollution) can be enormous and restoration very costly. National-level data for indicators will normally be derived from the aggregation of data collected periodically at the forest management unit level. Indicators of extent of protection: |
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6.1 Extent and percentage of total forest area managed primarily for
the protection of soil and water. |
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6.2 Extent and percentage of area to be harvested for which off-site
catchment values have been defined, documented and protected before harvesting.
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6.3 Extent and percentage of area to be harvested which has been defined
as environmentally sensitive (e.g. very steep or erodible) and protected
before harvesting. |
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6.4 Extent and percentage of area to be harvested for which drainage
systems have been demarcated or clearly defined and protected before harvesting.
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6.5 Percentage of length of edges of watercourses, waterbodies, mangroves
and other wetlands protected by adequate buffer strips. |
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Indicators of conservation and protection procedures: |
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6.6 Existence and implementation of procedures to identify and demarcate
sensitive areas for the protection of soil and water. |
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6.7 Availability and implementation of guidelines for forest road lay-out,
including drainage requirements and conservation of buffer strips along
streams and rivers. |
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6.8 Availability and implementation of harvesting procedures: |
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Indicators of monitoring and evaluation: |
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6.9 Existence and implementation of procedures for assessing changes
in the water quality of streams emerging from production forests as compared
with streams emerging from the same forest type kept free from human intervention.
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Criterion 7: Economic, social and cultural aspects This criterion deals with the economic, social and cultural aspects of the forest, besides those mentioned under Criteria 4, 5 and 6. As a renewable resource, the forest has the potential, if sustainably managed, to make an important contribution to the sustainable development of the country. Indicators of socio-economic aspects: |
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7.1 Value and percentage contribution of the forestry sector to the Gross
Domestic Product. |
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7.2 Quantity (volume) and value of wood and non-wood forest products
traded in: |
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7.3 Quantity (volume) and value of wood and non-wood forest products
for subsistence use, including fuelwood. |
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7.4 Ratio of domestic log production to the processing capacity of wood-based
industries. |
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7.5 Efficiency of utilisation in terms of the percentage of felled volume
processed. |
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7.6 Existence and implementation of mechanisms for the effective distribution
of incentives and the fair and equitable sharing of costs and benefits
among the parties involved. |
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7.7 Existence and implementation of procedures to ensure the health and
safety of forest workers. |
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7.8 Employment in the forestry sector: |
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7.9 Employment in the forestry sector: |
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7.10 Number of people dependent on the forest for subsistence uses and
traditional and customary lifestyles. |
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7.11 Area of forest upon which people are dependent for subsistence uses
and traditional and customary lifestyles. |
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7.12 Number of visitors to forest for recreational purposes. |
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7.13 Total amount of carbon stored in forest stands. |
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Indicators of cultural aspects: |
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7.14 Number of important archaeological and cultural sites identified,
mapped and protected. |
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Indicators of community participation: |
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7.15 Extent to which tenure and user rights over the forest are documented
and recognised. |
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7.16 Extent to which forest planning and management practices and processes
consider and recognise legal or customary rights with respect to indigenous
people and local communities, forest dwellers and other forest-dependent
communities. |
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7.17 Extent of participation by indigenous people and local communities,
forest dwellers and other forest-dependent communities in forest-based
economic activities. |
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7.18 Number of agreements involving local communities in co-management
responsibilities. |
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