lei standard 5000-3 sustainable community-based forest management system

LEI STANDARD 5000-3

SUSTAINABLE COMMUNITY-BASED FOREST MANAGEMENTSYSTEM

LEI Standard 5000-3 ii of 22

TABLE OF CONTENT

TABLE OF CONTENT....................................................................................................... i1. Introduction.................................................................................................................. 12. Scope .......................................................................................................................... 13. Categorization.............................................................................................................. 14. Reference ................................................................................................................... 25. Definition...................................................................................................................... 26. Detailed Criteria and Indicators of Sustainable Community-Based Forest Management.. 3

LEI Standard 5000-3 1 of 22

LEI STANDARD 5000-3

SUSTAINABLE COMMUNITY-BASED FORESTMANAGEMENT SYSTEM

1. IntroductionThe Sustainable Community-Based Forest Management (SCBFM) is defined as all forms of forest andforest products managements by the communities applying traditional methods, organized into acommunity unit, a community-based business unit (cooperative in wider sense) or an individual(household), with small scale up to medium scale, conducted in sustainable manner in their relation toproduction, ecological and social aspects.This document describes standard for Sustainable Community-Based Forest Management Systemderived from LEI Standard 5000 (Framework for Sustainable Production Forests Management System).The Guidelines for implementation of the SCBFM certification is further elaborated in LEI Guideline 99-40,LEI Document 05, and LEI Document 06.

2. ScopeThis document consist the framework of evaluation for Sustainable Community-Based ForestManagement (SCBFM) certification and is used as a reference for the management units in implementingSCBFM.

3. CategorizationAs form of forest management growing and rooting from the community culture, CBFM practices has anumber of variations. Their sustainability dimensions also differ from one to another, affected by the landuse, land tenure, type of products, and business orientation. There are 48 types of CBFM found (seeTable 1) that may be further simplified into six categories as follows:1) Category I is the group of CBFM types that produce timber with their business orientation for

commercial gain, and are situated inside the state land, which is according to formal land use,allocate for the Protected Area (PA);

2) Category II is the group of CBFM types that produce timber with their business orientation forcommercial gain, and are situated inside the state land, which is according to formal land use,allocated for the Forestry-Cultivated Area (FCA);

3) Category III is the group of CBFM types which produce timber with their business orientation forcommercial gain, and are situated inside the customary or private land, which is according to formalland use, allocated for the Forestry-Cultivated Area (FCA). Or, the group of CBFM types whichproduce non-timber forest products with business orientation for commercial gain, and are situated atthe customary, private or state lands, which is according to formal land use, allocated for theProtected Area (PA) or Forestry-Cultivated Area (FCA);

4) Category III is the group of CBFM types which produce timber and non-timber forest products withtheir business orientation for subsistent gain, and are situated at the customary, private or state


lands, which is according to legal land use, allocated for the Protected Area (PA) or the Forestry-Cultivated Area (FCA);

5) Category IV is the group of CBFM types which produce timber and non-timber forest products withtheir business orientation for commercial gain, and are situated at the customary, private or statelands, which is according to legal land use, allocated for the Non-Forestry-Cultivated Area (NFCA);

6) Category IV is the group of CBFM types which produce timber and non-timber forest products withtheir business orientation for subsistent gain, and are situated at the customary, private or statelands, which is according to legal land use, allocated for the Non-Forestry-Cultivated Area (NFCA);

4. ReferenceLEI Standard 5000, Framework for Sustainable Production Forest Management System.

5. DefinitionThe definition of terminologies related to Sustainable Community-Based Forest Management System, isderived from general and forestry technical terms. The definition of the following terms is used as areference to this standard:5.1 Community-based refers to terms be managed by community, organized into community unit,

community-based business unit (cooperative in wider sense) or individual (household) unit withsmall scale up to medium scale. The main feature is the existence of strong influence from the localsocial-cultural system into the managerial decision making structure.

5.2 Sustainability of Production Function is the assurance of continuity of forest product utilizationand business profitability.

5.3 Sustainability of Forest Resources refers to the stability and security of community-based forestareas to ensure long-run businesses.

5.4 Sustainability of Forest Products refers to the continuity and/or increase in forest production fromtime to time due to the improvement in forest management efforts.

5.5 Sustainability of Business refers to the capacity of management units in managing community-based forest to generate profits within the sustainability of forests.

5.6 Sustainability of Ecological Function refers to the assurance of forest functions as a life supportsystem to a variety of endogenous species and their ecosystem within the management unit.

5.7 Ecosystem Stability refers to the dynamic balance measure of forest ecosystem functions andstructures and their components to ensure optimum production capacity within the parameter oftheir ecological flexibility.

5.8 Survival of Endemic/Endangered/Protected Species refers to the ability of endemic/endangered/protected flora and fauna species to acclimatize to community-based forest habitat.

5.9 Sustainability of Social Function refers to the assurance of stability for forest utilization functionsfor local community livelihood that, directly or indirectly, depends on the forest intergeneration.

5.10 Guaranteed Community Resilience and Economic Development refers to the continuity ofeconomic activities and benefits to the welfare of the community, including the utilization of job andbusiness opportunities for the continuity of community livelihood intergeneration.

5.11 Fair Benefit Sharing refers to the efforts of creating benefit sharing among connected parties inaccordance with fairness principles.


5.12 Area Management is a series of management activities in forest areas to ensure the security of theareas in the long-run, through activities of stabilizing, arranging and conducting security in theareas.

5.13 Area Stabilization is a series of activities to obtain legal acceptance and recognition of connectedparties.

5.14 Area Arrangement is a series of activities to organize community-based forest areas into thesmallest management unit within the entity of production forest management.

5.15 Area Security is a series of activities to prevent and resolve conflict of interest, and disturbancesagainst the area and community-based forest resources.

5.16 Forest Management is a series of production forest management activities aimed at regulating theuse of forest products in sustainable means and preventing the negative impact of forest utilization,including the impacts related to the presence of management units, through production,environmental and social managements.

5.17 Production Management is a series of activities to regulate and sustain forest production within thecarrying capacity limits of the forest resources.

5.18 Environmental Management is a series of activities to minimize the negative impacts andmaximize the positive impacts of forest utilization upon species and their ecosystem.

5.19 Social Management is a series of management activities to increase benefits and minimize thenegative impacts of forest utilization, including the impacts related to the presence of managementunits, towards the livelihood of local community’s intergeneration.

5.20 Institutional Structuring is a series of management activities to improve managerial skills in forestutilization by strengthening the organization, human resources and finance.

5.21 Public Accountability refers to the capability of management units to account for their activities topublic.

5.22 Organizational Arrangement is a series of activities aimed at defining the mechanism of decisionmaking which ensures that the implementation of management dimensions are in compliance withthe principles of sustainable community-based forest management.

5.23 Human Resource Strengthening is a series of activities intended to increase capabilities of thoseinvolved in management unit and other related activities in implementing and overcoming theproblems related to forest utilization and forest products trade.

5.24 Financial Management is a policy of a management unit to ensure the availability of fund allocationfor reinvestment into forest resources in order to support the continuity of long-term business.

6. Detailed Criteria and Indicators of Sustainable Community-Based Forest ManagementThe standard of criteria and indicators described in this document is limited to CBFM with timber as themain forest products produced. Recalling that there is a variety of CBFM types, the standard of criteriaand indicators presented in this document is the complete ones; with the possibilities to exclude severalindicators irrelevant to type or category of CBFM in accordance with relevant certification scheme.Sustainable Community-Based Forest Management will be accomplished if the output dimensions(outcomes) can be achieved through a series of appropriate management strategies and activities(management dimensions). Indicators of the SCBFM achievement are formulated through a matrix ofevaluation framework as presented in Table 2. The explanation related to the evaluation framework andthe matrix of SCBFM criteria and indicators are presented in Attachment 1 and Attachment 2.


Details of SCBFM Criteria and Indicators are as follows:

Sustainability of Production Function

Criterion-1. Sustainability of forest resourcesIndicators:P.1.1. Status of area and boundaries are clear.P.1.2. Degree of change in forest’s cover area.P.1.3. Management of forest maintenance.P.1.4. Silviculture system is in accordance with forest carrying capacity.

Criterion-2. Sustainability of forest productsIndicators:P.2.1. Management intensity of area arrangement.P.2.2. The assurance of production potency for sustainable harvest.P.2.3. Management intensity of production arrangement.P.2.4. Management intensity of forest utilization efficiency.P.2.5. The validity of timber tracking system in the forest.P.2.6. Infrastructure of forest management.P.2.7. The existence of fair benefit sharing.

Criterion-3. Sustainability of forest businessIndicators:P.3.1. Financial condition of the management unit.P.3.2. The capability to access markets.P.3.3. Management information system (MIS).P.3.4. The availability of skill workers in forest management.P.3.5. Investment and reinvestment for forest management.P.3.6. Contribution to an increase in social and economic conditions of local community.


Sustainability of Ecological Function

Criterion - 1: Forest ecosystem stability can be maintainedIndicators:E1.1 The availability of production management regulations minimizing disturbances against

environmental integrity.E1.2 The proportion of well-designed protected area to the total size that should be protected and has

already been delineated in the field.E1.3 The impacts of production management activities on stability of forest ecosystem (land, water,

forest structure and composition) and their intensity are documented.E1.4 The existence of delineation and plan of areas which should be protected.

Criterion - 2: Survival of endangered/endemic/protected species can be sustainedIndicators:E2.1 The availability of information on endangered/endemic/protected species and the significant role

of their habitat in the forest areas.E2.2 The existence of efforts to minimize the impacts of production management activities on

endangered/endemic/protected species and their effectiveness.

Sustainability of Social Function

Criterion - 1 : The clearness of land tenure system and forest communityIndicators:S1.1. The status of areas is not in the process of conflict with the member of the community or others;S1.2. The clearness of area boundaries with other areas;S1.3. The function of areas in accordance with the community interest are recognized as permanent

forest areas;S1.4. Applying fair and democratic mechanism of conflict resolution towards claim over claim conflict at

the same forest areas;S1.5. CBFM actor truly the members of the community, implementing by forest management by

oneself or partnership.

Criterion - 2 : Guaranteed resilience and development of community economyIndicators:S2.1. The economic sources of the community able to increase or at least remain able to support the

continuity of community livelihood intergeneration;


S2.2. The use of production techniques able to increase or at least remains able to sustain the currentlevel of person-power absorption for both male and female;

S2.3. The forest management and post-harvest activities as long as possible be developed within thecommunity areas and recruit the person-powers of the community.

Criterion - 3: Established symmetrical social relationship pattern in production processIndicators:S3.1. The social relationship pattern established among parties involved in CBFM operation (owner,

employee, trader) is symmetrical;S3.2. Democratic and clear sharing of authority within CBFM institution;

Criterion - 4 : Fair benefit sharing in accordance with community interestIndicators:S4.1. The existence of compensation agreed by all members of the community over the loss of the

community caused by forest management activities;S4.2. All members of the community and public have opportunity open to involve themselves in CBFM

activities;S4.3. The availability of mechanism for the management units to account for their activities towards

community and/or public.

Table 1. Matrix of CBFM Typology

Product Type, Business Orientation Land Tenure Statusand Legal Land Use State Customary Land Private

Land Communal Individual Land

KD 01 02 03 04Commercial KBK 05 06 07 08

TIMBER KBNK 09 10 11 12KD 13 14 15 16

Subsistent KBK 17 18 19 20KBNK 21 22 23 24

KD 25 26 27 28Commercial KBK 29 30 31 32

NON- KBNK 33 34 35 36TIMBER KD 37 38 39 40

Subsistent KBK 41 42 43 44KBNK 45 46 47 48


ATTACHMENT 1

1. Explanation of Necessary Conditions, Core of Activities, and Sufficient ConditionsIn every management activity, involving a number of processes or factors in order to achieve a desiredobjective, grouping are required according to their position in that management. Necessary conditions,core of activities, and sufficient conditions are such classifications.Necessary conditions are all those processes or factors that must be fulfilled before the next process orfactor is done.Core of activities are all those processes or factors that should be done in a management procedure.Sufficient conditions are all those possible supporting processes or factors for achieving managementobjectives.

2. Explanation of Area ManagementThe definition of area management for private/customary/community forests may be different from that ofstate forests. The term “long-run security” is irrelevant to private/customary/community forests.Incentives must be provided to support private/customary/community forests, which according to the legalland use plan should be sustained as forests, because their owners have effectively contributed to thepublic functions of those forests. Forest products produced from private/customary/community forests,which according to the legal land use plan need not be sustained as forests, may be exempted fromcertification. In the event that the market requires certification from private/customary/community forests,CBFM certification system accommodates the assessment and the issuance of such certification.

3. Explanation of Evaluation Framework MatrixThe matrix shows that the objective can be achieved through three main management activities(management dimensions): area management, forest management, and institutional structuring.Information identifying the outputs (output dimensions) achieved through the three main activities istranslated into indicators.

4. Explanation of Classification of Management DimensionsIn the formulation of indicators for Community-Based Forest Management (CBFM), the classification ofmanagement dimensions into area management, forest management, and institutional structuring is putinto context.


Table 2. Evaluation Framework of SCBFM on Management Unit Level

OUTPUT DIMENSION

Sustainability of Production Function Sustainability of EcologicalFunction

Sustainability of Social FunctionMANAGEMENT

DIMENSION(Out-Based

Achievement Strategy)Sustainability offorest resources

Sustainability offorest products

Sustainability offorest business

Forest ecosystemstability can be

maintained

Survival ofendangered/ende

mic/ protectedspecies can be

sustained

The clearness ofland tenuresystem and

community forest

Guaranteedresilience and

development ofcommunityeconomy

Establishedsymmetrical social

relationshippattern inproduction

process

Fair benefitsharing in

accordance withcommunity

interest

1. Area Management1.1. Area Stabilization1.2. Area Arrangement1.3. Area Security

INDICATORS INDICATORS INDICATORS INDICATORS INDICATORS INDICATORS INDICATORS INDICATORS INDICATORS

2. Forest Management2.1 . Production Management2.2 . Environmental Management2.3 . Social Management

INDICATORS INDICATORS INDIKATORS INDICATORS INDICATORS INDICATORS INDICATORS INDICATORS INDICATORS

3. Institutional Structuring3.1 . Organization Arrangement3.2 . Human Resources3.3 . Financial Management

INDICATORS INDICATORS INDIKATORS INDICATORS INDICATORS INDICATORS INDICATORS INDICATORS INDICATORS

Note :

Necessary Conditions Core of Activities Sufficient Conditions

Comment [L1]: gunakan matriks baru


ATTACHMENT 2. MATRIX OF COMPLETE CRITERIA DAN INDICATORS OF SCBFM

OUTPUT DIMENSION


Sustainability of Social FunctionMANAGEMENTDIMENSION

(Output-BasedAchievement

Strategy)Sustainability

of forestresources


Sustainabilityof forestbusiness


maintained

Survival ofendangered/endemic/protected species can

be sustained

The clearness ofland tenure system

and communityforest

Guaranteed resilienceand development ofcommunity economy


relationship pattern inproduction process

Fair benefit sharing inaccordance with

community interest

1. Area Management1.1. Area Stabilization P1.1.

The areas incompliancewith the legalland use

S1.1The status of areasis clear, not in theprocess of conflictwith the member ofthe community orothers.

S 1.2The clearness ofareas boundarieswith other areas

1.2. AreaArrangement

P 1.2The areasstatus andboundariesare clear

P 1.3Degree ofchange inforest coverareas

P2.1Managementintensity of areaarrangement

E 1.4.The existence ofdelineation and planof areas which shouldbe protected.

S 1.3The function ofareas in accordancewith communityinterest recognizedas permanent forestareasS 1.4Applying fair anddemocraticmechanism ofconflict resolutiontowards claim overclaim conflict at thesame forest areas


OUTPUT DIMENSION



DIMENSION(Output-BasedAchievement

Strategy) Sustainability offorest resources




maintained

Survival ofendangered/ende-

mic/protectedspecies can be

sustained


and communityforest



Establishedsymmetrical socialrelationship pattern

in productionprocess

Fair benefit sharingin accordance withcommunity interest

2. Forest Management2.1 Production

ManagementP1.4Managementintensity of forestmaintenance

P2.2The assurance ofproduction potencyfor sustainableharvest

P2.3Managementintensity ofproductionarrangement

P2.4Managementintensity of forestutilizationefficiency

P2.5.The validity oftimber trackingsystem in theforest

P3.1Financial conditionof the managementunit

E 1.1The availability ofproductionmanagementregulationsminimizing thedisturbancesagainstenvironmentalintegrity

E1.3.The impacts ofproductionmanagementactivities onstability of forestecosystem (land,water, structureand composition)and their intensityare documented

E 2.1The availability ofinformation onendangered/ende-mic/protectedspecies and thesignificant role oftheir habitat in theforest areas

S2.1The economicsources of thecommunity able toincrease or at leastremain to supportthe continuity ofcommunitylivelihoodintergeneration

S2.2.The use ofproductiontechniques able toincrease or at leastremains to sustainthe current level ofperson-powerabsorption for bothmale and female

S3.1The socialrelationship patternestablished amongparties involved inCBFM operation(owner, employee,trader) issymmetrical

2.2 EnvironmentalManagement

P1.5The sylviculturesystem applied incompliance withland fragility andforest regeneration

P2.6Infrastructure offorestmanagement

E1.4.The availability ofenvironmentalmanagement planand their activityeffectiveness

E 2.2The existence ofefforts to minimizethe impacts ofproductionmanagement onendangered/ende-mic/protectedspecies


OUTPUT DIMENSION

Sustainability of Production Function Sustainability of Ecological Function Sustainability of Social FunctionMANAGEMENT


Strategy)Sustainability offorest resources




maintained



sustained


community forest






2.3 Social Management P2.7The existence offair benefit sharing

P3.2The capability toaccess markets

S2.3The forestmanagement andpost-harvestactivities as longas possible bedeveloped withinthe communityareas and recruitthe person-powersof the community

S4.1The existence offorest providesdirect and indirectbenefits for themembers of thecommunity byreferring tocommunityinstitution.S4.2The losses of thecommunity causedby the CBFMoperation arecompensated inaccordance withthe agreementsmade by thecommunitymembers.

3. InstitutionalStructuring

3.1 Public Accountability P3.3Managementinformation system

S4.3All members of thecommunity andpublic have anopportunity opento accessinformation onCBFMimplementation.


OUTPUT DIMENSION



DIMENSION(Output-Based





maintained



sustained


community forest





process



interest

3.2 Organization Arrangement S4.4The mechanism toaccount for forestmanagementactivities to publicprovidesopportunity forpublic to accessand understand it.

3.3 Human Resources P3.4The availability ofskill workers inforestmanagement

3.4 Financial Management P3.5Investment andreinvestment forforestmanagement

P3.6Contribution to anincrease in socialand economicconditions of thelocal community


3.5 Law Assurance S3.2Male and femalehave equal rightsand obligations indecision making ofCBFMimplementation.S3.3.Male and femaleas well as thedifferences inreligion, tribe,race, have equalrights andobligations oftenure over stateforests managedwith CBFM model.


ATTACHMENT 3. MATRIX OF CRITERIA AND INDICATORS OF SCBFM FOR SCHEME 2 (TPC – B)

OUTPUT DIMENSION




Strategy) Sustainabilityof forest

resources




maintained

Survival ofendangered /endemic

/protected speciescan be sustained


and communityforest





community interest

1. Area Management1.2. Area Stabilization S1.2

The status of areasis clear, not in theprocess of conflictwith the member ofthe community andothers

S 1.2The clearness ofarea boundarieswith other areas

1.3. AreaArrangement

S 1.3The function ofareas in accordancewith the communityinterest arerecognized aspermanent forestareasS 1.4Applying thedemocratic and fairmechanism ofconflict resolutiontowards claim overclaim conflict at thesame forest areas


OUTPUT DIMENSION








maintained

Survival ofendangered

/endemic/protected speciescan be sustained


and communityforest







ManagementE 1.1The availability ofproductionmanagementregulationsminimizing thedisturbances againstenvironmentalintegrity

E1.2The impacts ofproductionmanagementactivities on stabilityof forest ecosystem(land, water, foreststructure andcomposition) andtheir intensity aredocumented

E 2.1The availability ofinformation onendangered/endemic/protected speciesand the significantrole of their habitatin forest areas

S2.1The economicsources of thecommunityincrease or at leastremain able tosupport thecommunitylivelihoodintergenerationS2.2.The use ofproductiontechniques able toincrease or atleast remains tosustain the currentlevel of person-powers absorptionfor both male andfemale

S3.1The socialrelationshipestablished amongparties in CBFMoperation (owner,employee, trader)is symmetrical


E1.3The availability ofenvironmentalmanagement planand their activitieseffectiveness

E 2.2The existence ofefforts to minimizethe impacts ofproductionmanagementactivities onendangered/endemic/protected species


OUTPUT DIMENSION








maintained




and communityforest






2.3 Social Management S2.3The activities offorestmanagement andpost-harvest aslong as possiblebe developedwithin thecommunity areasand recruit theperson-powers ofthe community

S4.1The existence ofthe forest providesdirect and indirectbenefits for thecommunitymembers byreferring tocommunityinstitutionS4.2The loss ofcommunity causedby the seedlingand productstransport (e.g. roaddamages) iscompensated inaccordance withthe agreementsmade by thecommunitymembers

3. InstitutionalStrengthening

3.1 Public Accountability S4.3All members of thecommunity andpublic haveopportunity open toaccess informationon the CBFMimplementation


OUTPUT DIMENSION

Sustainability of ProductionFunction

Sustainability of EcologicalFunction


DIMENSION(Output-Based





maintained




community forest





process



interest

3.2 Organization Arrangement S4.4The mechanism ofpublicaccountabilitymakes it possiblefor public easilyaccess andunderstand it.

3.3 Human Resources3.4 Financial Management3.5 Law Assurance S3.3

Both male andfemale have equalrights andobligations indecision making ofthe CBFMimplementationS3.4.Both male andfemale have equalrights andobligations overthe tenure of stateforest managedwith CBFM model


ATTACHMENT 4. MATRIX OF CRITERIA AND INDICATORS OF CBFM FOR SCHEME TYPE I-C

OUTPUT DIMENSION





resources




maintained




and communityforest





community interest

1. Area Management1.3. Area Stabilization S1.3

The status of areasis clear, not in theprocess of conflictwith the member ofthe community andothers

S 1.2The clearness ofthe area boundarieswith other areas

1.4. Area Arrangement S 1.3The function ofareas in accordancewith the communityinterest arerecognized aspermanent forestareasS 1.4Applying democraticand fair mechanismof conflict resolutiontowards claim overclaim conflict at thesame forest areas


OUTPUT DIMENSION








maintained




and communityforest







ManagementE 1.1The availability ofproductionmanagementregulationsminimizing thedisturbancesagainstenvironmentalintegrity

E1.2The impacts ofproductionmanagementactivities onstability of forestecosystem (land,water, foreststructure andcomposition) andtheir intensity aredocumented

S2.1The economicsources of thecommunityincrease or at leastremain able tosupport thecommunitylivelihoodintergenerationS2.2.The use ofproductiontechniquesincrease or at leastable to sustain thecurrent level of theperson-powersabsorption for bothmale and female

S3.1The socialrelationshipestablished amongparties involved inthe CBFMoperation (owner,employee, trader)is symmetrical


E1.3The availability ofenvironmentalmanagement planand their activitieseffectiveness


OUTPUT DIMENSION








maintained




and communityforest






2.3 Social Management P2.7The validity oftimber trackingsystem (Chain ofCustody) in theforest .

S2.3The activities ofthe forestmanagement andpost-harvest aslong as possiblebe developedwithin thecommunity areasand recruit theperson-powers ofthe community

S4.1The existence offorest providesdirect and indirectbenefits to thecommunitymembers byreferring tocommunityinstitutionS4.2The loss ofcommunity causedby the seedlingand producttransport (e.g. roaddamage) arecompensated inaccordance withthe agreementsmade by thecommunitymembers

3. InstitutionalStructuring

3.1 Public Accountability S4.3All members of thecommunity andpublic haveopportunity open toaccess informationon the CBFMimplementation


OUTPUT DIMENSION





resources




maintained




and communityforest





community interest

3.2 OrganizationArrangement

S4.4The mechanism ofpublic accountabilitymakes it possible forthe public to easilyaccess andunderstand it

3.3 Human ResourcesStrengthening

3.4 FinancialManagement

3.5 Law Assurance S3.3Both male and femalehave equal rights andobligations in thedecision makingprocess of the CBFMimplementation

S3.4.Both male and femalehave equal rights andobligations over thetenure of state forestmanaged with CBFMmodel

lei standard 5000-3 sustainable community-based forest management system

Documents

types of cbfm

lei document

sustainable manner

community culture

lei guideline

state land

formal land use

management units