principles of sustainable tropical forest management where wood production is the primary objective

8/9/2019 Principles of Sustainable Tropical Forest Management Where Wood Production is the Primary Objective

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Principles of sustainable tropical forest management where woodproduction is the primary objective

The basic principles forming the foundation of practical action for sustainable management of tropical forests wherewood production is the primary management objective are explained in this chapter.Figure 2: The Basic Principles of Tropical Forest ManagementThe basic principle of tropical forest management comprise the following elements:

National Policy and Legal framework

Security of Tenure of Forest Resources and Land

Effective Forest Protection

Knowledge on Sustainability of Tropical Forest Ecosystems

aintenance of Site Productivity

Forest anagement Planning

!oals and "b#ectives for Forest anagement

$efinition of Forest Resources

%pplication of %ppropriate Silvicultural Systems

inimisation of %dverse Environmental &mpacts

% Regard for t'e &nterests of Forest($ependent )ommunities

)ommercial Sustainability and *usiness anagement

onitoring of anagerial Performance

1 Bacground issues concerning sustainable forest management!hat is forest management"

The termforest managementis applied in situations where an integrated, coordinated series of actions are taken,directed towards the achievement of specified objectives. It is because of the many different situations wherechoices need to be made in manipulating forest resources to meet particular objectives that the term has come tohave different meanings to different people. In the broadest sense, forest management is a process whicheffectively integrates the biological, social and economic factors which influence the decisions leading towards theimplementation of one or more specified objectives. An FA understanding of forest management is shown inFigure !.Figure #: $n F$% &nderstanding of Forest ManagementForest anagement+Forest Management deals with the overall administrative, economic, legal, social, technical and scientific aspects related to natural and

planted forests. It implies various degrees of deliberate human intervention, ranging from actions aimed, at. safeguarding andmaintaining the forest ecosystem and its functions, to favouring specific socially or economically valuable species or groups of speciesfor the improved production of goods and services. Sustainable forest management will ensure that the values derived from the forest

meet present-day needs while at the same time ensuring their continued availability and contribution to long-term development needs."Source:FA. #$$!. The hallenge of Sustainable Forest Management - what future for the world!s forests"%

&istorically, forest management has mostly considered biological issues with a strong focus upon silviculture for theproduction of wood. As the forestry profession has grown, an understanding of the term 'forest management' hasbroadened to span wider environmental issues, such as conservation of biological diversity, social and economicmatters and, more generally, the concept of sustainability.TheForest Principles'developed at the #arth Summit -the (nited )ations *onference on +nvironment andevelopment "()*+, held in -rail in #$$/% 0 have defined forest management as a part of a 1tatement of2rinciples for a global consensus on the management, conservation and 1ustainable development of all types offorests3 it is expressed in Figure 4.Figure (: $n &)*+, ,efinition of Forest ManagementForest anagement+Forest resources and forest lands should be sustainably managed to meet the social, economic, cultural and spiritual human needs of

present and. future generations. These needs are for forest products and services, such as wood and -wood products, water, food,fodder, medicine, fuel, shelter, employment, recreation, habitats for wildlife, landscape diversity, carbon sin$s and reservoirs, and forother forest products. %ppropriate measures should be ta$en to protect forests against harmful effects of pollution, including air-borne

pollution, fires, pests and diseases in order to maintain their full multiple values."1ource5 ()*+. #$$/. #arth Summit - &io 'eclaration ( Forest )rinciples.%

$ definition of sustainable tropical forest management for wood productionIt is important to define the meaning of the termsustainable management of tropical forestswhere it is applied tothe production of wood. A study undertaken for the International Tropical Timber rganiation led to a definitionhaving these primary considerations5I. 1ustainable forest management should be practised on an operational and not an experimental scale.II. It should embrace a balanced and comprehensive range of management activities that include working plans,yield prediction and control and other technical re6uirements.


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III. It should include the wider political, social and economic criteria without which sustainability is probablyunattainable.

-TT% forest management guidelines2rior to ()*+ in #$$/, ITT established a set of principles that comprise an international reference standard forthe development of more specific national guidelines for sustainable management of natural tropical forests forwood production. *riteria for monitoring of sustainability in tropical moist forests were also defined by ITT. TheITT principles were published as5*uidelines for the Sustainable Management of +atural Tropical Forests, ITT 2olicy evelopment 1eries )o. #.In #$$! the ITT principles were supplemented by guidelines for the establishment and management of planted

forests in tropical regions and guidelines for the conservation of biological diversity in tropical production forests.The development, application and enforcement of national guidelines based on the ITT reference standard arematters for national decision by individual countries. The primary features of the ITT guidelines, many havingpolicy and operational implications, are summaried in Figure 7.

*riteria and indicators for sustainable forest management+#' and Sustainable Forest ManagementThe need to reconcile the productive functions with the protective, environmental and social roles which all types offorests fulfil was firmly expressed at ()*+. A declaration of /8 guiding principles focusing on the rights andobligations of sovereign states with respect to environment and development was agreed to at ()*+.It included the Forest )rinciples -a 1tatement of 2rinciples for a global consensus on the management,conservation and 1ustainable development of all types of forests and to provide for their multiple andcomplementary functions and uses. As one positive step aimed at developing the Forest )rinciplesthere has beenbroad international agreement to formulate scientifically sound criteria and indicators for the management,conservation and development of all types of forests.riteria and Indicators for Sustainable Management at the Forest evel*riteria and indicators are tools which can be used to define, implement and monitor 1ustainable forestmanagement in the broadest sense of the term, nationally and at the forest level.Figure .: Features of the -TT% /uidelines *oncerning 0ustainable Forest Management at )ational andForest evels)$T-%)$ ++

Policy and Legislation

- Forest policy - +ational forest inventory

- )ermanent forest estate - Forest ownership

- +ational forest service

F%3+0T ++

Planning- Static and dynamic inventory - Setting of management obectives

- hoice of silvicultural concept - /ield regulation

- %nnual allowable cut - Management inventory

- Mapping - )reparation of wor$ing plans

- #nvironmental impact assessment

,arvesting

- )re-harvest prescriptions -&oads

- #0traction -)ost-harvest stand management

Protection

- ontrol of access - Fire protection

- se of chemicals

Legal %rrangements

- oncession agreements - Salvage permits- ogging permits on private or customary land

onitoring and Researc'

- /ield control and silviculture - #nvironmental impact studies

"Source: ITT1, 2334. *uidelines For the Sustainable Management of +atural Tropical Forests.%

I9.*riteria:*riteria define the essential factors of forest management against which forest sustainability may beassessed. +ach criterion relates to a key management factor which may be described by one or more 6ualitative,6uantitative or descriptive indicators.9.-ndicators:Through measurement and monitoring of selected indicators, the effects of forest managementaction, or inaction, can be assessed and evaluated and action adjusted to ensure that forest managementobjectives are more likely to be achieved.International Initiatives to 'efine Forest Management riteria and Indicators


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1ince ()*+, criteria and indicators for sustainable forest management have been formulated within theframework of several international and national meetings. These include the 5elsin$i )rocess"for +uropean forests,#$$4%, the Montreal )rocess"for temperate and boreal forests, #$$! to #$$7%, the Tarapoto )roposal"AmaonForests #$$7%, the 'ry 6one %frica )roposal "#$$7%, the +ear #ast )roposal"#$$:% and the epateri7ue )rocess ofentral %merica"#$$8%. The international initiatives are summaried in Annex #.Internationally coordinated efforts in the testing of criteria and indicators at the forest management unit level arebeing led by *IF; in tropical and temperate countries. *riteria and indicators which can be considered objective,cost0effective and relevant in the assessment of the sustainability of prevailing forest management practices arebeing identified, taking into account ecological, institutional, social and economic conditions and needs.

)atural forest management as a conservation tool(ndisturbed forest land where natural forest management can be considered as a conservation tool should includeat least some of the following conditions50 2roximity of a forest resource to agricultural frontiers from where agricultural expansion might occur,0 +xpanding local populations or rural communities,0 &igh local rates of deforestation or forest degradation occur,0 +asily accessible road access into tropical forest resources already exists and is regularly used by localcommunities,0 &igh local immigration rates occur into localities where manageable forest resources exist,0 *lose proximity of a forest resource to wood markets and to wood0processing industries.This approach to forest management is sometimes called the 'use it or lose it' principle.

2 $ national policy and legal frameworPolicy frameworFor sustainable forest management to succeed a sound forest policy is essential. Anational forest policyshouldbe part of a national land use policy, assuring balanced forest use and conservation with agriculture and other landuses. Forest policies should not contradict the policies of other sectors. 2olicies should also reflect developmentpatterns for a country and regional policies where appropriate. Forest policies are basically statements of goals forthe forestry sector without going into detail about how they will be implemented.

A key policy feature of sustainable forest management is a commitment by governments to define, and defend apermanent forest estate based on secure, long0term land tenure for communities, concession holders and otherforest users. Although each country decides best how to translate development themes which balance human

activities with resource management into development policies, a basic feature for sustainable management is afirm and consistent commitment, including management plans and budgetary support, by governments to implementthe forest policies it has formulated and approved. It should be a re6uirement of a national forest policy thatmanagement of tropical forests will be undertaken in a planned and disciplined manner.

Forest legislation?aws and regulations comprising forest legislation are the legal instruments which are necessary to put into effectmany of the objectives of a forest policy. ?egislation permits the translation of policy objectives into specific legalprovisions affecting both forest use and forest land and the way forest resources enter into the life and developmentof communities and countries.Forestlegislationenacted by the government should reflect the principle of sustainability in order to supportimplementation of forest policy. epending upon social needs and prevailing ecosystems in a country, the objectivesof forest law may cover a range of forest management issues. 2oints concerning sustainable tropical forest

utilisation and management which should be included in forest legislation are50 @aintaining or enlarging the amount and regional distribution of forest cover needed to secure a stableenvironment and to provide a basis for sound economic and social forest development.0 2rotecting in a network of protected areas representative examples of all natural forest ecosystems in order tomaintain an acceptable level of biological and landscape diversity.0 2reparing management plans for all 1tate forest land and for forest lands in non01tate tenure.0 +stablishing and supporting a viable and multi0functional forest economy, combining ecological conservation andeconomic resource utilisation.

# 0ecurity of forest tenure and the permanent forest estate

0ecurity of forest tenure


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0ecurity of tenureof forest resources and access to forest land is a basic principle and a prere6uisite forsustainable tropical forest management Appropriate and reliable forms of forest and land tenure should beestablished by legislation, including various forms of forest ownership and usage rights. The following provisionsconcerning security of tenure should be recognised50 Two broad categories of forest land tenure, namely, private holdings "such as corporations and communalownership% and public land "such as central, provincial or community government%.0 The rights and obligations of different categories of forest owners, including local communities.0 *ategories and the nature of usage rights.

)ational land use planning and the permanent forest estate

A fundamental component of national land use planning is identification of a permanent forest estate'comprisingforests of all ownership types, based on secure, long0term land tenure for local communities, concession holdersand other forest users. 1ustainable management of tropical forests, irrespective of purpose, cannot be planned andeffectively implemented in the absence of a permanent forest estate. ?and use planning should balance thedevelopmental needs of the country as a whole, or for specific states or provinces within a country, with those ofnatural resources conservation, including sustainable forest management.

A permanent forest estate should be classified into productive and protective ones on the basis of a national forestinventory, ecological considerations and community consensus. Forest management units for wood productionwithin the permanent forest estate should be identified and responsibility for management allocated amongstvarious owners and users.

( Forest management planning!hat is a forest management plan and why is it needed"

Aforest management plantranslates national or regional forest policies into a thoughtfully prepared and well co0ordinated operational programme for a forest and for regulating forestry activities for a set time period through theapplication of prescriptions that specify targets, action and control arrangements. It is an indispensable part of aforest management system and should regulate protection, inventory, yield determination, harvesting, silviculture,monitoring and other forest operations. It should always50 2rovide firm guidance on the log yields which may be cut,0 1pecify where and under what conditions and constraints the yield may be harvested.

A forest management plan is re6uired to provide continuity in managerial operations over time, to formaliseadministrative arrangements and to provide a basis for monitoring forest activities. A key criterion for the sustainablemanagement of tropical forests is the existence and effective implementation, including monitoring, of an approvedmanagement plan that has been prepared using up0to0date and accurate information. A forest management planhas the purpose not only of setting out approved management objectives and specified action but, e6uallyimportantly, of communicating these to people who are concerned with the implementation of a plan in a forest or

group of forests to which it applies.0ustainability in forest management;ecognition of the fundamental importance of the principle ofsustainability is essential in the preparation andsubse6uent implementation of prescriptions in a forest management plan, irrespective of the objectives ofmanagement. 1ustainable management of tropical forests may be regarded as one of the most importantcontributions which the forestry sector can make to programmes of national development in tropical developingcountries.

/oals and objectives of forest managementThe identification of a management goal and specific objectives for a forest management unit, according to policypriorities, resources potential and constraints, is a basic forest management principle.$ goalis a long0term aim, derived from forest policies or determined as the end0point of a strategy to achievesustainable forest resources development. nly one goal should be determined and defined for any particular forest

management unit.%bjectivesare measurable activities, or outputs, which state specific results to be achieved during a specifiedperiod of time. 1everal objectives may be determined and defined in a forest management plan. +ach objectiveshould be clear about50 =hat activities will be undertaken,0 =here they will happen,0 =ho has responsibility for taking action,0 =hen the action should be taken,0 =hen action should be completed,0 &ow much will be achieved, or specific 6uantitative statements concerning outputs,0 =hy an activity will contribute to achievement of an objective.

. Permanent definition of forest boundaries


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A basic principle of tropical forest management is clear andpermanent definition of forest boundaries4irrespective of land ownership and tenure 0linked to permanent marking, surveying and mapping of boundaries.2ermanent definition and subse6uent surveying of boundaries are essential steps in defining and mapping apermanent forest estate. They also contribute towards achieving effective protection of a forest from degradation orloss. It is not possible, in practice, to define the area of a forest where planned sustainable management isproposed, nor to derive an annual allowable harvest in the absence of permanently defined, surveyed and mappedforest boundaries.

5 +ffective forest protectionForest protection from fire, from conversion to other land uses and from losses caused by shifting cultivation and

unlawful logging is a fundamentally important principle of sustainable tropical forest management, irrespective of theobjectives. 1ustainable forest management cannot be achieved in the absence of a firm and lasting commitmentand appropriate action to effectively protect a forest management unit from the threats and activities that mightimpair the achievement of forest management objectives.

6 Maintenance of forest ecosystems and site productivityBiological diversity conservation and forest genetic resourcesBiological diversitymeans the variety of life forms of both plants and animals, the ecological roles they performand the genetic resources they contain. An important feature of natural tropical forests is their great biologicaldiversity. It is estimated that tropical forests contain at least 7 per cent and probably more of all living species in theworld, including a large proportion of the higher plants and mammals. Apart from the small number of tree species ofcurrent economic importance, or of domestic importance to local communities, there are likely to be many otherspresent having lesser known values. 1ome of these will be important to ecosystem stability, others might form an

important part of future wood harvests or other forest products, in response to changing environmental conditionsand market demands.


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- Soil erosion should be minimised.

- The forest structure should, as far as possible, be maintained to ensure that the biological regeneration capacity is preserved.

- &emoval of inorganic nutrients should be minimised by leaving branches and foliage, and debar$ing logs, in the forest.

- #cologically sensitive areas, especially buffer 8ones along water courses, should be protected

- Forest management operations should not cause avoidable ponding or waterlogging

- There should be no chemical contamination of soils and food chains.

aintenance of *iological $iversity

- Sites important for rare or localised species should not be disturbed.

- #ndangered plant and animal species should be protected.

- Forests should not be unnecessarily fragmented if it will lead to loss of species which need to range widely or e0ist at low densities.- Small areas of undisturbed forest can preserve wildlife species which can recolonise a forest which regenerates after logging.

aintenance of t'e ,arvest of all Forest Products

- Sustainability cannot be based upon a single product9 management should aim at the production, and potential production, of adiversity of forest products.

8 $ssessment of forest resources*lear and reliable definition of all resources comprising a forest management unit, irrespective of ownership orcontrol, is a critically important element of forestry planning.


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- population and location - community structure

- social relationships with forests - recreation interest or potential

Economic &nformation

- wood prices - wood mar$ets

- ta0ation issues - costs

1< The choice of an appropriate silvicultural systemThe aim of silviculture1ilviculture is a set of techni6ues that can be applied to help attain specified forest management objectives. It aimsto achieve the implementation of objectives through manipulation of the composition and structure of a forest. In

most instances in a wood production forest, the aim of silviculture is to enhance the growth and 6uality of potentialcrop trees.

Types of silvicultural systemsThe systematic application of an appropriatesilvicultural systemis a basic principle in the planned, sustainablemanagement of tropical forests. 1ince planned management of tropical forests was first introduced in the nineteenthcentury a number of silvicultural systems have been developed, each comprising a basis for tropical forestmanagement for wood production. @ost systems aim to achieve regeneration of trees through natural seed fall fromseed trees. =here necessary, artificial regeneration that relies on the planting of nursery0raised seedlings is used tosupport the natural regeneration systems. The systematic application of an appropriate silvicultural system formanagement of natural tropical forests depends upon ac6uiring an understanding of the ecology of the forest forwhich management is being planned. 1ilvicultural management of natural tropical forests is superior in bothecological and economic terms to attempts at plantation forest establishment on the same infertile sites.

The primary characteristics of silvicultural systems which have been applied at various times in tropical forests in?atin America, Asia and Africa are summarised in Figure C. The polycyclic, selective cutting system is the mostwidely applied system in hill forests. It offers a flexible, practical, technically and commercially realistic basis forharvesting and at the same time it influences forest composition and structure in favour of the next crop.*learcutting in narrow strips and group selection cutting patterns are applied in some localities but have thedisadvantage of causing damage to remaining trees.

=arvesting: a silvicultural and a log production operation&arvesting of logs from forests managed under polycyclic and, to a lesser extent, monocyclic systems is asignificant silvicultural intervention as well as being a log production operation. The long0term managerial effect ofrelatively low impact log extraction is that it is also the most formative silvicultural operation to be applied during themanagement cycle in any particular area of forest through its effect on the future structure, composition and growthof a forest.Figure 8: 0ilvicultural 0ystems That *an be &sed in Tropical Forests

The )olycyclic System is applied in all-aged forests where the log harvest is cut from specified si8e-classes and species of trees atintervals which are about one-half of the growing period ta$en to reach industrial log si8es. %dvanced growth is retained. There is onesub-system.

Selection )utting of )rop Trees+

%ims at maintaining uneven aged forests9 regeneration is either present before logging or can be encouraged to develop followingharvesting by leaving seed, or mother, trees9 a range of tree si8e classes e0ists and the forest does not have a uniform composition.onocyclic Systemsare applied in uniform forests where age-classes e0ist or are to be formed. +ew crop trees are derived fromregeneration, seedlings and. saplings of commercially important species and not from older and larger trees which may have or still docomprise the forest structure. %dvanced growth is retained. %t the end of a fi0ed rotation crop trees are either removed by clearcuttingor, in the case of the uniform shelterwood system, harvested through a regeneration period. There are three sub-systems.

-niform System+

%ims at achieving even-aged stands composed of trees of generally uniform si8e: regeneration is present in sufficientdensity before harvesting to provide tree stoc$s for the ne0t crop.

Tropical S'elterwood System+%ims at achieving even-aged stands through the formation of a shelterwood of mother "seed%trees

which are subse7uently removed when regeneration has become established.&rregular S'elterwood System+%ims at achieving continuing forest development in situations where regeneration is uncertain and

retention of trees below specified cutting limits is necessary and will comprise a part of a future crop.

?og harvesting should not only be considered as being a cost incurred in wood production but also as a silviculturalinvestment in the production of logs for the next harvest. In particular, it has a major thinning effect in that pole0siedtrees, saplings and seedlings are provided with 'growing space' whilst soil disturbance creates conditions whichenable seed of many species to germinate and become established. As a matter of principle, the logger and thesilviculturalist should work as partners with the understanding that harvesting is a part of silvicultural treatment but,at the same time, ensuring that logging operations and management objectives are commercially realistic.

The relationship of silviculture to forest management objectivesThe choice of a silvicultural system is determined, firstly, by the ecological characteristics of a forest for whichsustainable management is being planned and, secondly, by the management goal and objectives for a specific


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forest management unit. 1ustainable management of tropical forests is at the core of a forest development strategyand implies silvicultural manipulation, or intervention, in order to achieve objectives written in a forest managementplan.The following guidelines should be considered in designing an appropriate silvicultural system for a forestmanagement unit50 The forest planner should provide an appropriate basic framework for silvicultural treatment. The framework shouldinclude clear management objectives.0 The silvicultural concept should express basic principles but should leave firm decisions on the nature of specificsilvicultural operations 0 what and when specific activities will take place 0 to local foresters.

0 The definition of short0 and medium0term stocking and regeneration targets is an important step in achieving adesirable forest composition and structure. iagnostic sampling should be applied as a step in determining stockingand regeneration targets.

11 Minimisation of adverse environmental impactsMinimisation of adverse environmental impactsin the planning and practical implementation of tropical forestoperations is a basic principle of sustainable forest management. At all stages in forest management, be it woodharvesting, silvicultural operations, forest protection, harvesting of non0wood products or other activities, forestmanagers should safeguard the integrity of both land and forest through thoughtful planning and sensitiveimplementation of forestry operations.+nvironmental impact assessmentis a useful tool for assessing the environmental impacts of forestmanagement. It is a systematic, stepwise procedure which gathers information and evaluates the likely impact of thechange of circumstances that might result from implementation of a management programme. An important aspectof environmental assessment is to ensure that adverse impacts of harvesting activities 0 road design andconstruction, cutting, extraction, landing and transport operations 0 are minimised. As a general principle, themaintenance of environmental values and services should be supported by revenue from wood production, exceptwhere forest land is located in places not oned for production.

12 *ommercial sustainability and business management*ommercial sustainability

As a basic principle of sustainable tropical forest management, all operations comprising a balanced programme ofactivities need to be financially supportable from revenue earned from sales of forest products, primarily from logharvesting. It is the commercial operation of a forest management unit which is the driving force for the generationof revenue from which all forest conservation and development activities should be funded.The policy and trading environment of a country or province should enable a forest management unit to becommercially as well as ecologically sustainable and should permit sound business arrangements to beimplemented that, in turn, will enable long0term forest management programmes to be achieved. It should however

be noted that sustainable forest management which follows ecologically sound environmental standards can beexpected to be more expensive than is unregulated exploitation. ?ower expectation by immediate profit by theprivate sector is an important pre0re6uisite to achieving sustainable management of tropical forests.

Private sector participation in forest management@ost large0scale harvesting and management in tropical forests is undertaken by the private sector, most commonlyby concession holders having exclusive rights for defined periods of time in designated areas of 1tate forests.+xamples may be found in Indonesia, @alaysia, -olivia, *ameroon, *ongo,


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forest users who depend on tree and forest resources for their survival and for economic development are theprimary beneficiaries of community forestry activities. Forest managers should work with forest communities inassessing, planning and monitoring the management of natural tropical forests, according to locally definedconcerns, needs and goals, in order to better address rural communitiesD needs. +ffective mechanisms should beformulated that will enable the achievement of effective and enduring two0way communication between forestmanagers and forest communities.Three features should be recognised in encouraging rural community participation in sustainable forestmanagement50 A clear recognition and respect for the rights of indigenous peoples who live in or have a traditional dependence on

tropical forests.0 2romoting collaboration amongst people and institutions who are involved in the various aspects of forestmanagement, including wood production, integrating professional skills and training with traditional knowledge andresources of local populations in order to more effectively support the needs of rural communities and to minimise oravoid conflicts in forest management.0 +nhancement of the well0being of forest workers and local communities.

1( Monitoring of managerial performanceMonitoringthe implementation of activities set out in an approved forest management plan is fundamental tosustainable forest management and forms the basis for transparent accountability of operational activities.@onitoring of forest management has several functions. It allows for the control of current management activities, forthe evaluation of the operating performance of a forest management unit and for the evaluation of managementprogrammes. ne approach to monitoring involves making comparisons between physical achievements andprogramme targets, and between financial expenditure and budgets at the end of specified time periods, forexample, at three0 or six0monthly intervals. Another approach is to monitor specified key indicators continuously,which enables information on the progress of plan implementation to be collected more fre6uently, such as atweekly intervals.

principles of sustainable tropical forest management where wood production is the primary objective

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