Course Title: Sustainable Forest Management

Course Code: NRM 351

Course Credit; [Link]/ECTS: 3 (2+1)/5

Course objective:
After having the course students should:
 Explain Sustainable Forest Management
 Describe about principles of sustainable forestry
 List and explain the basic elements and methods of forest management
 Acquainted with the knowledge and skills of Forest inventory and mensuration Practices
 Describe the concepts of forest protection
 Explain the pillars of sustainable forest management
 Brief the issues in forest policy and governance
 Explain the attachments of biodiversity and livelihoods in forest management

CHAPTER 1
Introduction
Forest management is branch of forestry concerned with overall administrative, economic,
legal and social aspects and with essentially scientific and technical aspects especially
silvicltural, protection and forest regulation. This includes management for aesthetics, fish,
recreation, urban values, water, wilderness, wood products, forest genetics resource and other
forest resource value. Management can be based on conservation, economics, or mixture of the
two. techniques include timber extraction, planting and replanting of various species, cutting
roads and pathways through forest and preventing fire.

What is sustainable forest management (SFM)?

Forest management is the process of planning and implementing practices for the stewardship
and use of forests to meet specific environmental, economic, social and cultural objectives. It
deals with the administrative, economic, legal, social, technical and scientific aspects of
managing natural and planted forests. It may involve varying degrees of deliberate human
interventions, ranging from actions aimed at safeguarding and maintaining forest ecosystems and

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their functions, to those favoring specific socially or economically valuable species for the
improved production of forest goods and services.

A globally agreed definition of sustainable forest management (SFM) is impractical beyond a

very general level because of the huge diversity of forest types, conditions and socioeconomic
contexts worldwide. In general, however, SFM can be viewed as the sustainable use and
conservation of forests with the aim of maintaining and enhancing multiple forest values through
human interventions. People are at the center of SFM because it aims to contribute to society’s
diverse needs in perpetuity.

Applying sustainable forest management

In “scientific” forestry, the concept of sustainability developed mainly in the context of ensuring
sustainable timber production and meeting economic objectives. In recent decades, however, the
scope of SFM has broadened to cover social, cultural and environmental forest values equally.
This has also widened the contexts in which SFM can be applied to all kinds of natural, modified
and planted forests, which may be managed for different objectives. At the same time, the
complexity of implementing SFM has increased due to the multiple objectives and the difficulty
of valuing and obtaining remuneration for many of the social, cultural and environmental
benefits of forests (collectively referred to as forest ecosystem services).

1.1. Definitions of Terminologies

Sustainable forest management is frequently defined in terms of providing a balance of social,

environmental, and economic benefits, not just for today but for the future too. It might be seen
as the practice of maintaining forests to ensure they remain healthy, absorb more carbon than
they release, and can continue to be enjoyed and used by future generations.

Sustainable Forest Management can contribute towards preserving forests and forest bio-
diversity thereby strengthening their resilience and enabling them to adapt and mitigate for
climate change impacts.

Glossary of Forest Management Terms

Sustainable Forest Management: the management of forests according to the principles of

sustainable development- trying to find a balance between social, economic, and environmental

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values.

Adaptive Management: A process for continually improving management policies and

practices by learning from the outcomes of the operations.

Forest Management Plan: A plan for the management of a forest area usually for a full rotation
cycle; includes the objectives, prescribed management activity.

Forest Tenure: the right to harvest and sell timber from Crown Land.

Forest Certification: procedure where an independent third party inspects forest management
and utilizations practices to assess compliance with a set of ecological, economic and social
standards for sustainable forestry.

Private Land: land owned by individuals. Crown Land:

Silviculture: the art and science of growing trees.

Annual Allowable Cut: amount of wood permitted to be harvested within a one-year period on
a sustainable basis; it considers factors including forest inventory, growth rates, regeneration
success, natural mortality, impact of fire, insects and disease; it also takes into account other
forest uses outside of timber production.

Even-aged: a stand that contains trees of one or two age classes; usually managed with clear-cut
harvest system

Uneven-aged: a stand that contains trees of all, or almost all, age classes; usually managed with
selection harvest system

Clear Cut: a method of harvesting used in even-aged stands, involves removing all or most of
the trees in an area in one operation.

Shelter wood: a method of harvesting that leaves individual trees or groups of trees or
alternating strips standing to provide seed and cover conditions for natural or artificial
regeneration

Selection harvest: a method of harvesting used in uneven-aged stands; selected trees are
harvested leaving residual trees with more space to increase their growth, also used to promote
the regeneration of trees Timber Cruising: sample measurement of a stand that is used to

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determine an estimate of the amount of standing timber that the forest contains; measurements
are collected at sample locations (plots); can give information on stand conditions, species
composition, and volume.

Basal area: a basis of measurement that is used to determine how a piece of land is stocked with
trees; BA = 0.005454 x DBH2, it is the measurement of the cross-sectional area of a tree stem at
1.3m above ground (diameter at breast height (DBH)); usually calculated at square feet per acre.

Pre-commercial thinning: silvicultural technique that involves removing undesirable trees from
young forest stands before the trees are large enough to be of commercial value; trees that are
left behind have access to more space, sunlight, moisture and nutrients and therefore grow faster
and stay healthy.

Skidder: vehicle used in a logging operation for pulling cut trees out of a forest; logs are
transported from the cutting site to a landing where they are loaded onto a truck

Feller buncher: vehicle with an attachment that can rapidly cut and gather trees; pinching device
grabs trees while a circular saw then cutes it and places it is a stack for a skidder

Forwarder/porter: vehicle that carries cut logs from the stump to the roadside landing; different
from a skidder in that it carries logs clear of the ground

Timber: wood in any of its stages

Reforestation: the establishment of trees on a harvested area; can be done through artificial
(seeding, planting) or natural regeneration

Deforestation: the removal of a forest and replacement with something else; transformation of
forest area to non-forest

Afforestation: the establishment of a forest in areas where the land use was not forest

Careful logging: techniques used by loggers to minimize damage to the forest, soil, wildlife
habitat and hydrology

Natural Disturbance Emulation: choosing the silvicultural system (clear-cut, shelter wood,
selection) that best imitates natural disturbance patterns for a given forest type

Certified Tree Marker: individual who decides what to cut and what to leave in partial-cut

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harvests. The Tree Marker is responsible for compliance with all ecological standards and
guidelines (i.e wildlife habitat retention)

Tree-length harvest: tree limbs and crown are removed and left on site

Full-tree harvest: limbs and crown are removed after taking the tree off site

Vegetation Management: use of manual (brush saw), natural (fire) or chemical (herbicide)
treatments to promote regeneration of desired tree species after harvest

Forest Resource Inventory: a provincial database of all Crown forests, providing information
on species composition, age and volume. FRI data is collected via aerial photography and
analyzed by trained interpreters

Free-to-grow: the growth stage at which regenerating trees have sufficiently outcompeted
surrounding vegetation and can be re-entered into the Forest Resource Inventory

Non-Timber Forest Products: products such as maple syrup, mushrooms or herbs that can be
collected from forests without removing trees

Dedrochronology: the study of patterns of tree rings- age and history.

Dendrology: The scientific study of trees

1.2. Scope of Sustainable Forest Management

Sustainability may be a near-universally accepted goal of modern society, but its interpretation
and assumptions vary with every attempt at application. At its simplest, the problem reverts to a
question of what resources or values, in what geographic arena, should be sustained?
Sustainable forest management takes into account all of the different ways people use forests
and ensures they are managed for the long term.

Challenges in implementing sustainable forestry

Despite being an enshrined principle of responsible forestry for centuries, and even while the
concept is being adopted by other sectors of society, it has been challenging to implement and
demonstrate sustainable development in the context of operational forest management. Such
challenges are understandable for a number of renewable resources – such as wild fish stocks
that are difficult to track and annual agricultural crops that are sensitive to vagaries of a single

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season’s weather – but why should it be difficult to manage forests sustainably, when trees and
forests are long-lived, stationary and can be readily counted and measured? Even if trying to
simply achieve sustainable fiber (timber) production, one dimension of the problem is that the
key elements of wood supply sustainability depend on estimation. Many key parameters and
coefficients inherent to wood supply projections and allowable harvest determinations are fluid:
estimates of growing stocks, growth rates and regeneration delays; and losses to pests, fires and
storms are all subject to error and uncertainty. Year-to-year variation in weather conditions, seed
crops and small mammal populations can affect regeneration success. Tree growth and mortality
rates also vary with weather and weather events, and can depend on conditions of stand structure
and inter-tree spacing that maybe imperfectly characterized and understood. Timber losses to
disturbance events wildfires, windstorms, mass movements, floods, pest outbreaks –can be
particularly difficult to anticipate; planning that depends on historical averages can grossly
overestimate or underestimate impacts. The greatest challenge in implementing sustainable
forestry is probably in achieving agreement on precisely what should be sustained, over what
area of land, and with what priority to rank the forest values that inevitably conflict.

1.3. Objectives of Forest Management

Forests play a critical role in supporting the livelihoods of people worldwide, particularly in
meeting the daily subsistence needs of the world’s poor. Sustainable forest management can
contribute to economic development by providing income, employment, food security and
shelter where it is most urgently needed. Finding ways to balance human needs with concerns
over the long-term sustainability of forest resources is the very essence of sustainable forest
management. Forest management aims to achieve three main functions, namely, (1) Control of
composition and structure of growing stock; (2) Harvesting and marketing of forest produce; (3)
Administration of forest property and personnel.

The aim of sustainable forest management (SFM) is to ensure that forests supply goods and
services to meet both present-day and future needs and contribute to the sustainable development
of communities. The United Nations General Assembly in 2007 recognizes SFM as a dynamic
and evolving concept that aims to maintain and enhance the economic, social and environmental
values of all types of forests for the benefit of present and future generations, considering the

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following seven thematic elements as a reference framework: (1) extent of forest resources; (2)
forest biodiversity; (3) forest health and vitality; (4) productive functions of forest resources; (5)
protective functions of forest resources; (6) socio-economic functions of forests; and (7) legal,
policy and institutional framework.

1.4 Factors Affecting Forest Management

What are the factors that affect the sustainable forest management?

These include: addressing the loss of forest cover and forest degradation, forest-based economic,
social and environmental benefits and protecting forests, as well as mobilizing financial
resources for the implementation of sustainable forest management. These negative impacts
include: destruction of forest cover, loss of biodiversity, ecological imbalance, soil compaction,
soil erosion, flooding, desert encroachment and disruption of hydrological cycle.

1.5 Abuses of Forests

Logging, increased demand for agricultural land and ranches, poor management and the violation
of existing regulations, air pollutants, pests and diseases, forest fires, poor harvesting
and silvicultural practices, and climate variations have all resulted in severe forest-losses across
the globe

1.6 Managing Forest Values

Forest management is a branch of forestry that involves protecting and restoring forests and other
vital ecosystems and reducing hazards. The world's forests—which today cover 30% of the
earth's land surface—are an incredibly valuable resource, storing massive amounts of carbon,
helping to purify water and air, ensuring natural biodiversity, and providing livelihoods for
millions of people.

Forest Values and Benefits: A brief description of the many benefits provided by these forests
includes Employment and Income, Timber and Wood Products, Nontimber Forest Products,
Urban and Community Benefits, Recreational Opportunities and Ecological Benefits.

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 CHAPTER 2

FOREST ECOLOGY
Definition. Forest ecology is the study of all aspects of the ecology of wooded areas,
including rainforest, deciduous and evergreen, temperate and boreal forest. It includes the
community ecology of the trees and other plant and non-plant species, as well as ecosystem
processes and conservation. Ecology is the study of ecological systems and the mutual
interactions between organisms and the environment. The primary objective of forest ecology
is to understand what controls the patterns of distribution and abundance of different organisms
in forests of the world. The primary objective of forest ecology is to understand what controls the
patterns of distribution and abundance of different organisms in forests of the world.

2.1 Forest Ecosystem Management (FEM)

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Forest ecosystems are areas of the landscape that are dominated by trees and consist of
biologically integrated communities of plants, animals and microbes, together with the local soils
(substrates) and atmospheres (climates) with which they interact.
Forest ecosystems are both a stand-level and a landscape phenomenon, the latter being a mosaic
of stands that vary in age, species composition, structure, function and time since disturbance.
Periodic disturbance is a key attribute of most forest ecosystems, and maintenance of their
historical character and values will generally require maintenance of historical disturbance
regimes, or the ecological effects thereof.

Because a forest ecosystem is an integrated biophysical system, a forest is as much a set of

ecosystem processes as a set of forest ecosystem components. Short-term changes in the
structure of the forest do not constitute loss of the forest, as long as the processes of the forest
ecosystem remain in operation at acceptable levels.
What are the characteristics of a forest ecosystem?
Forests are ecosystems characterized by a dominance of tree cover and they contain a variety
of other organisms (e.g., other plants, animals). Forests differ in composition and structure.
These are both affected by biotic (e.g., animals, plants, humans) and abiotic (e.g., soil, moisture,
sunlight, climate) factors.
FEM approaches forest conservation, utilization, administration and regulation on the basis that
the forest is a highly integrated, complex, generally resilient, multi-value biophysical system that
has thresholds of tolerance for disturbance (either too much or too little) beyond which its
resilience and certain values and environmental services are changed, and often reduced. FEM is
the management of forest ecosystem processes and disturbance regimes to sustain the desired
values and ecosystem services from a shifting mosaic of different ecosystem conditions across
the landscape, and a non-declining pattern of change over time in the values and services
provided by each stand in that landscape. It is also the management of the human use of, and
interactions with the forest, because humans are part of forest ecosystems.

Based on these definitions, it is clear that FEM is far more than a politically correct buzzword.
However, if we are to be successful in implementing it as the biophysical template for
sustainable, multi-value forestry, we must understand the impediments to, and the necessary

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conditions for its successful application. Successful application of the FEM concept as the basis
for forestry involves much more than mere acceptance that FEM is a nice idea.

Elements of forest ecosystem management

There are many suggested lists of the basic attributes of FEM. Chistensen et al. (1996) propose
that it includes the following elements:

Sustainability: FEM sees intergenerational sustainability as a precondition.

Goals: FEM sets measurable goals that specify future processes and outcomes necessary for
sustainability.
Sound ecological models and understanding: FEM relies on research performed at all levels of
ecological organization.
Complexity and connectedness: FEM recognizes that biological diversity and structural
complexity strengthen ecosystems against disturbance and supply the genetic resources
necessary to adapt to long-term change.
The dynamic character of ecosystems: FEM avoids attempts to "freeze" ecosystems in a
particular state or configuration.
Context and scale: FEM recognizes that ecosystem processes operate over a wide range of
spatial and temporal scales, and their behavior at any given location is greatly affected by
surrounding systems.
Humans as ecosystem components: FEM values the active role of humans in achieving
sustainable management goals.
Adaptability and accountability: FEM acknowledges that current knowledge and paradigms of
ecosystem function are provisional, incomplete and subject to change.
Some prerequisites for forest ecosystem management
There are many conditions that must be met before FEM can become an effective paradigm
for forestry. These include:
Appropriate tenure systems and management plans
Forests can only be managed as ecosystems if all values are managed under a single, integrated,
multi value and ecologically based plan by a single agency/organization/collective over time
scales that are consistent with the ecosystem processes responsible for resilience and

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sustainability. The tenure and plan should also cover an area large enough to encompass the key
ecosystem processes. The objectives of the plan must be established by a multi stakeholder
process.
Establishment of overall long-term objectives
There must be an explicit definition of a "desired forest future". Only when the management plan
has a statement of the full range of values and conditions that are to be available at various times
in the future can there be a plan as to how to achieve this. Short-term values are important, but
these must be balanced against the achievement of long-term goals.
Adequate inventory
An FEM plan must be based on an inventory of ecological, biological and social diversity.
Acceptance of the dynamic nature of ecosystems
A key prerequisite for FEM is acceptance of the dynamic nature of forest ecosystems, and the
role of ecosystem disturbance in the long-term maintenance of desired values.
Founding FEM on the concept of "ecological rotations"
Because of the vital ecological role of ecosystem disturbance, and because forest management
involves management of "natural" and human-caused disturbance, sustainable FEM should be
founded on the concept of "ecological rotations"
An ecological rotation is that combination of severity, scale, pattern and frequency of ecosystem
disturbance and ecosystem resilience (speed of return to pre disturbance condition, or to some
desired new condition) that results in non-declining patterns of stand-level change, and a shifting
landscape mosaic of acceptably constant overall character.

The ecological rotation concept provides foresters with choices. If rotations are to be short for
economic or other reasons, the higher frequency of disturbance may need to be matched by lower
severity and scale of disturbance. Where higher levels of disturbance are required for ecological
or social reasons, the frequency of disturbance should be reduced (longer rotations).
Alternatively, management interventions can be made to increase the resilience of the ecosystem
(e.g. planting, competition control, fertilization) so that more frequent and/or more severe
disturbance remains sustainable.

Different values have different ecological rotations, which suggests that variable retention
silviculture (where different elements within the ecosystem are managed on different ecological

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rotations) should be a major component of ecological rotation-based forestry.

Selection of that balance of frequency, severity, scale and management of resilience that meets
the objectives of FEM most effectively is a challenging task. It calls for ecologically based
planning tools - ecosystem-management models - capable of dealing with ecosystem processes,
multiple values, the spatial and temporal scales involved, and the interactive effects of severity,
scale, frequency of disturbance and ecosystem resilience.

Economic sustainability

Unless forestry is economically viable it may revert to exploitation, which is not forestry. FEM is
based on the concept that humans are part of and dependent on forest ecosystems, and therefore
in self-interest must manage them sustainably, but this is expensive. Exploitation is cheaper in
the short term. Therefore, the endeavour must be economically viable. Where the economics of
forestry are marginal, over-cutting may occur. On the other hand, where the economics of stand
thinning prevents this management practice, stands may become more "natural", increasing
values that are dependent on the accumulation of dead trees in the ecosystem. By marketing non-
timber as well as timber forest products - a major feature of FEM - forestry that is uneconomic
based on timber alone may become economic.
Communication and planning tools
Establishment of ecologically and socially achievable objectives, and evaluation of the most
acceptable way of satisfying these, requires planning tools that have capabilities far in excess of
those traditionally used in forestry, and an improved capability to communicate the output of
such tools to the public.

2.2 Ecological Role of Forests

Ecological roles of forest include carbon storage, nutrient cycling, water and air purification, and
maintenance of wildlife habitat. social and cultural benefits such as recreation, traditional
resource uses and spirituality.

2.3. Ecological Principles in Forest Regeneration

Successful forest landscape restoration integrates a number of guiding principles,

including:

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 Focus on landscapes. It restores entire landscapes, not individual sites. Restoration
typically entails balancing across the landscape a mosaic of interdependent land uses—
such as protected forest areas, ecological corridors, regenerating forests, other natural
ecosystems, agroforestry systems, agriculture, improved fallow systems, well-managed
plantations, and riparian strips—to meet a variety of human needs.
 Restore ecological functionality. It restores the ecological functionality of the
landscape, such as its richness as a habitat, its ability to contain erosion and floods, and
its resilience to climate change and various disturbances. This can be done in many ways,
one of which is to restore the landscape toward the pre-human disturbance or “original”
vegetation, but other strategies may also be used.
 Allow for multiple benefits. It generates a suite of ecosystem goods and services by
intelligently and appropriately increasing tree cover across the landscape. In some places,
trees are added to agricultural lands without forming a forest canopy in order to enhance
food production, reduce erosion, provide shade, and produce firewood. In other places,
trees are added to create a closed canopy forest capable of sequestering large amounts of
carbon, protecting downstream water supplies, and providing rich wildlife habitat.
 Recognize that a suite of interventions are possible. It embraces a wide range of
strategies for restoring trees on the landscape. For instance, some strategies make way for
“nature to take its course” (e.g., curtailing livestock grazing to allow trees to
spontaneously regrow), while others involve very active human intervention (e.g., tree
growing).
 Involve stakeholders. It actively engages local stakeholders — including landowners,
land managers, communities, civil society, governments, and the private sector—in
decisions regarding restoration goals, implementation methods, and trade-offs. It is
important that the restoration process respects local stakeholders’ rights, aligns with their
land management needs, and provides them with benefits. Active, voluntary involvement
of local stakeholders can lead to better buy-in, greater access to local knowledge,
motivated land managers, and less need for external resources.
 Tailor to local conditions. It adapts to fit local social, economic, and ecological
contexts; there is no “one size fits all.”

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  Manage adaptively. It adjusts restoration strategies over time as environmental
conditions, human knowledge, and societal values change. It leverages continuous
monitoring and learning to make adjustments as the restoration process progresses.
 Avoid conversion of natural ecosystems. It does not call for increasing tree cover
beyond what would be ecologically appropriate for a particular location, and should not
cause any loss or conversion of natural forests, grasslands, or other ecosystems (e.g., into
tree or crop plantations). Restoration should complement, not undermine, ecosystem
conservation efforts.

CHAPTER 3

[Link] OF SUSTAINABLE FORESTRY

3.1 Principle of Sustained Yield

A sustained yield is the amount of a certain resource that can be harvested or obtained without
causing depletion. Sustained yields are most commonly applied to forestry and fishing activities
and limit short-term harvests to allow for longer-term regeneration of resources from the
remaining parent material.

The principles of sustainability are the foundations of what this concept represents. Therefore,
sustainability is made up of three pillars: the economy, society, and the environment. These
principles are also informally used as profit, people and planet.

3.2. Forest Sustainability Criteria and Indicators

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Criteria and indicators are tools which can be used to conceptualize, evaluate and implement
sustainable forest management. Criteria define and characterize the essential elements, as well as
a set of conditions or processes, by which sustainable forest management may be assessed.
Periodically measured indicators reveal the direction of change with respect to each criterion.

Criteria and indicators of sustainable forest management are widely used and many countries
produce national reports that assess their progress toward sustainable forest management. There
are nine international and regional criteria and indicators initiatives, which collectively involve
more than 150 countries. Three of the more advanced initiatives are those of the Working Group
on Criteria and Indicators for the Conservation and Sustainable Management of Temperate and
Boreal Forests (also called the Montréal Process), Forest Europe, and the International Tropical
Timber Organization. Countries who are members of the same initiative usually agree to produce
reports at the same time and using the same indicators. Within countries, at the management unit
level, efforts have also been directed at developing local level criteria and indicators of
sustainable forest management. The Center for International Forestry Research, the International
Model Forest Network and researchers at the University of British Columbia have developed a
number of tools and techniques to help forest-dependent communities develop their own local
level criteria and indicators. Criteria and Indicators also form the basis of third-party forest
certification programs such as the Canadian Standards Association's Sustainable Forest
Management Standards and the Sustainable Forestry Initiative.

There appears to be growing international consensus on the key elements of sustainable forest
management. Seven common thematic areas of sustainable forest management have emerged
based on the criteria of the nine ongoing regional and international criteria and indicators
initiatives. The seven thematic areas are:

 Extent of forest resources

 Biological diversity
 Forest health and vitality
 Productive functions of forest resources
 Protective functions of forest resources
 Socio-economic functions
 Legal, policy and institutional framework.

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This consensus on common thematic areas (or criteria) effectively provides a common, implicit
definition of sustainable forest management. The seven thematic areas were acknowledged by
the international forest community at the fourth session of the United Nations Forum on Forests
and the 16th session of the Committee on Forestry. These thematic areas have since been
enshrined in the Non-Legally Binding Instrument on All Types of Forests as a reference
framework for sustainable forest management to help achieve the purpose of the instrument.

Criteria and indicators (C&I) have emerged as a powerful tool in implementing sustainable forest
management. In a relatively short period, around 150 countries have adopted C&I. Criteria &
Indicators of Sustainable Forest Management (C&I) are policy instruments by which
sustainability of forest management in the country/region, or progress towards Sustainable forest
management (SFM), may be evaluated and reported on. C&I is a conjunctive term for a set of
objectives and the variables/descriptions allowing to evaluate whether the objectives are
achieved or not. Criteria and indicators (C&I) have emerged as a powerful tool in promoting
sustainable forest management (SFM). Use of C&I can provide structure and facilitate a common
understanding of SFM at the national level. In addition, C&I can help to promote agreement on
key issues, create a link to required data and resources, serve as a reference framework for policy
design, planning and programming, and facilitate the monitoring of results. Also developed in
the follow-up to UNCED, national forest programs (NFPs) are a generic concept encompassing a
wide range of approaches to SFM, which are applicable to all countries and all types of forests.
Integrating C&I into NFPs provides a solid basis for enhancing results-based management
(RBM) in the forest sector, since an RBM approach to designing and implementing an NFP
requires that results be identified, prioritized and measured – and that is exactly the function of
C&I. A number of countries are not using C&I at all, and in some countries where they are being
used, it is not done in an effective manner. Areas that need improvement in order to promote the
use of C&I include: (1) strengthening concepts and definitions; (2) rationalizing criteria and
indicators; (3) further research on indicators; and (4) utilizing C&I in more effective ways.

Criteria and indicators are applied at different levels

 global - the sets of C&I for global use have to be universal enough for the
various biogeographic regions, countries at different stages of development of forestry
(with different ability to provide data), etc.;

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  regional (supranational regions, such as Pan-European, are meant);
 national and sub-national;
 local (forest management units, community forestry land, concession areas and other) - as
being focused on much smaller scale, the sets for this level can significantly differ from
sets for the above-mentioned levels and they are used mainly for forest certification
purposes.

3.3 Forest Regeneration

Tree regeneration is the process that allows a forest to sustain itself through the growth and
survival of seedlings and saplings that replace large forest trees as they die. Forest restoration can
enhance the supply of ecosystem services that have been depleted by land degradation, including
through protection and rehabilitation of watersheds, increased carbon storage, and
recovery of native biodiversity. Forest regeneration is the very foundation of sustainable
forestry. While many forests are regenerated using natural techniques, increasing annual wood
harvests will depend upon plantation forestry. Moreover, planting is necessary
for afforestation on degraded lands, abandoned agricultural lands, or anywhere that trees are to
be reintroduced without a natural seed source.
CHAPTER 4

ELEMENTS AND METHODS OF SUSTAINABLE FOREST MANAGEMENT

4.1 Elements of Sustainable Forest Management

Thematic elements of sustainable forest management

The seven thematic elements of sustainable forest management described below are based on the
nine ongoing regional/international processes on criteria and indicators for sustainable forest
management and have been acknowledged by FAO member countries and the UNFF.

1. Extent of forest resources

The theme expresses an overall desire to have adequate forest cover and stocking, including trees
outside forests, to support the social, economic and environmental dimensions of forestry. For
example, the existence and extent of specific forest types are important as a basis for
conservation efforts. The theme encompasses ambitions to reduce deforestation and to restore

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and rehabilitate degraded forest landscapes. It also includes the important function of forests and
trees outside forests to store carbon and thereby contribute to moderating the global climate.

2. Biological diversity

The theme concerns the conservation and management of biological diversity at ecosystem
(landscape), species and genetic levels. Such conservation, including the protection of areas with
fragile ecosystems, ensures that diversity of life is maintained, and provides opportunities to
develop new products in the future, including medicines. Genetic improvement is also a means
of increasing forest productivity, for example to ensure high wood production levels in
intensively managed forests.

3. Forest health and vitality

Forests need to be managed so that the risks and impacts of unwanted disturbances are
minimized, including wildfires, airborne pollution, storm felling, invasive species, pests, diseases
and insects. Such disturbances may impact social and economic as well as environmental
dimensions of forestry.

4. Productive functions of forest resources

Forests and trees outside forests provide a wide range of wood and non-wood forest products.
This theme expresses the ambition to maintain an ample and valuable supply of primary forest
products, while at the same time ensuring that production and harvesting are sustainable and do
not compromise the management options of future generations.

5. Protective functions of forest resources

The theme addresses the role of forests and trees outside forests in moderating soil, hydrological
and aquatic systems, maintaining clean water (including healthy fish populations) and reducing
the risks and impacts of floods, avalanches, erosion and drought. Protective functions of forest
resources also contribute to ecosystem conservation efforts and have strong cross-sectoral
aspects, because the benefits to agriculture and rural livelihoods are high.

6. Socio-economic functions

The theme covers the contributions of forest resources to the overall economy, for example
through employment, values generated through processing and marketing of forest products, and

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energy, trade and investment in the forest sector. It also addresses the important forest function
of hosting and protecting sites and landscapes of high cultural, spiritual or recreational value, and
thus includes aspects of land tenure, indigenous and community management systems, and
traditional knowledge.

7. Legal, policy and institutional framework

The theme includes the legal, policy and institutional arrangements necessary to support the
above six themes, including participatory decision-making, governance and law enforcement,
and monitoring and assessment of progress. It also involves broader societal aspects, including
fair and equitable use of forest resources, scientific research and education, infrastructure
arrangements to support the forest sector, transfer of technology, capacity-building, and public
information and communication.

4.1.1 Legal and policy framework

Sustainable forest management (SFM) can be viewed as the sustainable use and conservation of
forests with the aim of maintaining and enhancing multiple forest values through human
interventions. People are at the center of SFM because it aims to contribute to society's diverse
needs in perpetuity. Sustainability framework (SF) is the most important document for your
sustainability strategy or a profile. It defines your vision and strategy, your sustainability goals
and objectives, their alignment with Sustainable Development Goals and your key performance
indicators (KPIs). The policy statement forms the basis of relationships between the forest
organization and local communities, governments, buyers and other stakeholders. It lets
stakeholders know what they can expect from the organization – and provides an opportunity for
public discussion about operations. It should help build consensus and reduce conflicts about
operations.

4.1.2 Sustained and optimal production of forest products

SFM means more than ensuring the sustained production of timber or non-timber products
(NTFPs) from the forest. Overall planning of forest operations, definition of sustainable yields to
be harvested, monitoring the effects of management, protection of the forest from illegal
activities and optimization of the range of benefits derived from the forest are all essential.

4.1.3 Protecting the environment

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How does sustainable forestry help the environment?

In a properly managed forest, trees have an important role in preserving the natural environment.
For example, forests help prevent soil erosion, provide habitats for wildlife, help remove carbon
dioxide from the atmosphere, and provide settings for recreational activities.

4.1.4 Wellbeing of people

Forests and trees supply an abundance of ecosystem services that help in creating healthy living
environments: forests play an important role in mitigating floods, droughts, the effects of noise,
purifying water, binding toxic substances, maintaining water quality and soil fertility, helping
erosion [Link] opposite Loss of forest – whether through clearance or through forest fires –
leads to cli- mate change, and this in turn leads to impacts on human health. Some of these
impacts are direct, for example, through temperature-related illness and death, extreme weather
events and air pollution; others may be indirect.

4.2. Forest Management Methods

Forest management is a branch of forestry that involves protecting and restoring forests and other
vital ecosystems and reducing hazards. Forest management is the process of protecting and
maintaining a forested area. Forest management also requires creating strategies for handling
various natural disasters such as wildfires and ensuring the safety of the people who live nearby.
Individuals who work in forest management may also develop plans for managing a given
ecosystem. The ecosystems they manage can range from large forests to smaller community
parks.
Forest management strategies

To properly manage a forest ecosystem, people working in forest management are typically
responsible for the following:

A) Harvesting timber

Harvesting is the act of cutting down trees for timber. People working in the timber industry
typically conduct this strategy to sell timber and earn income. A forestry manager might harvest
wood from a forest responsibly, ensuring that the act of cutting down trees avoids affecting the
surrounding area. For example, they may only cut down mature trees that are nearing death.

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B) Thinning trees

Thinning involves removing trees or other plant life to promote the growth of naturally occurring
species in an ecosystem and remove any invasive species. This practice helps improve the value
of timber and ensures that an ecosystem remains healthy. For example, a forestry manager may
decide to thin trees that don't positively contribute to wildlife habitats or wood production,
leaving more space for the trees that do to grow.

C) Planting trees

Forestry managers often consider the long-term goals of the forest service where they work
before implementing growing practices to replace the trees they previously remove. Planting
trees to replace burned or damaged areas can help support an ecosystem's wildlife. Since it can
take many years to regrow trees, it's often important for forestry managers to introduce growth
strategies as early as possible. This often involves choosing locations for new trees and plants
and testing the soil.

D) Managing wildlife

Another forest management practice involves managing the wildlife within a forested ecosystem.
Foresters are responsible for ensuring that the actions they take don't harm existing wildlife
while also helping promote the health of an endangered species. They may track different species
to monitor their population growth, reintroduce species into a forested area and create strategies
for handling predators. Forestry managers may also examine bodies of water, such as streams
and rivers, to ensure the wildlife has safe water to live in and drink.

E) Controlling risk

Many forested areas are at risk of wildfires and other natural disasters. There are a variety of
causes for wildfires, including lightning strikes and human accidents. Fires can spread quickly,
so it's often important for forest management officials to develop strategies to reduce the
destruction they cause. They may decide to engage in controlled burning, which involves
burning off dry, dead timber on a forest floor to help to slow the spread of future wildfires.

Different Management Categories

Like the IPCC report, this description differentiates the management options into four different

21
management categories. These categories are:

1. Maintaining or increasing forest area through reducing deforestation and degradation.

2. Maintaining or increasing forest area: afforestation/reforestation

3. Forest management to increase stand- and landscape-level carbon density

4. Increasing off-site carbon stocks in wood products and enhancing product and fuel
substitution

The main types of forest management practices.

Timber Harvesting. This practice enhances the health of the woodland and wildlife and for
industrial and economic purposes, such as paper production or the organization of tourist routes.

Timber Thinning: Thinning is the term foresters apply to removal of some trees from a stand
to give others more room (and resources) to grow. The purpose of thinning is to increase
economic gain. The gain may be achieved by offsetting the expense of carrying establishment
costs to rotation age, increasing the value of the product, and/or increasing stand utilization.

Prescribed Burning: Prescribed burning is the controlled application of fire to the land to
reduce wildfire hazards, clear downed trees, control plant diseases, improve rangeland and
wildlife habitats, and restore natural ecosystems. The four firing techniques most commonly used
are: 1) the backing fire, 2) the strip-heading fire, 3) the flanking fire, and 4) the ring fire.
prescribed burn, provided wind speed and wind direction remain steady.

Objective of prescribed burning?

Prescribed burning is a management practice that aims to remove deadwood and other fuel
biomass with the main objective of reducing the fire risk.

Reforestation: Reforestation (occasionally, reforestation) is the natural or intentional restocking

of existing forests and woodlands (forestation) that have been depleted, usually
through deforestation but also after clearcutting.

Forest Succession: Forest succession is simply the succession or the orderly and predictable
change in the dominant species of forest plants. The change in dominance occurs because the
plants that dominate early often die early, allowing longer lived plants dominance.

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4.2.1. Developing, Evaluating, and Applying Prescriptions

Prescriptions should be explicit, directly related to objectives expressed in a plan and be

sufficiently comprehensive to ensure that objectives are able to be implemented without
difficulty.
* A plan having sustainable production of wood as the primary objective should, as a
minimum, include prescriptions on the following topics:
· Forest and land use zoning. demarcation and mapping of protection forest on steep slopes,
natural regeneration, water sources, fragile soils and swamps, endangered species, etc.

· Pre-harvest wood inventory for annual yield planning.

· Continuous forest inventory for determination of forest growth and derivation of yields.

· Specification of a periodic (5 year), or annual cut.

· Tactical harvest planning. wood harvesting and log transport arrangements.

· Forest protection and security arrangements.

· Diagnostic sampling

· Specification of an appropriate silvicultural system (s).

· Specification of silvicultural operations.

· Specification of environmental prescriptions on issues influenced by production management.

· Accountability prescriptions to ensure that progress in plan implementation can be regularly

and reliably monitored and subsequently reported.

· Specification of the action that should be taken, before a plan terminates for its review and
for preparation of a new plan.

4.2.2. Describing and Classifying Forestlands for Management Purpose

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All forest lands subject to management rule shall be classified into one of the following four
classifications: General Stewardship, Focused Stewardship, Special Use, or High Value
Conservation Areas.

The choice between different forest management practices is a crucial step in short, medium, and
long-
term decision making in forestry and when setting up measures to support a regional or national f
orest policy. Some conditions such as biogeographically determined site factors, exposure to maj
or disturbances, and societal demands are predetermined, whereas operational processes such as
species selection, site preparation, planting, tending, or thinning can be altered by management. I
n principle, the concept of a forest management approach provides a framework for decision mak
ing, including a range of silvicultural operations that influence the development of a stand or gro
up of trees over time. These operations vary among silvicultural systems and can be formulated a
s a set of basic principles. Consequently, forest management approaches are essentially defined b
y coherent sets of forest operation processes at a stand level.

4.2.3. Predicting Forest Condition and Outcomes

The future of our forests in Earth System Models can vary a lot, depending on the scenarios that
scientists are looking at. Many of the impacts from climate change vary based on location,
temperature rise, and have to balance the complex relationship between trees and our climate. As
an example, we might compare tropical forests and boreal forests. Tropical forests are under
pressure from increased temperatures, changes in rainfall patterns and human disturbances such
as deforestation. Boreal forests, usually found further from the equator, are also threatened by
temperature and rainfall changes, as well as increased fire risks. According to recent research,
forest loss may accelerate in future if temperatures rise beyond the Paris Agreement targets. And,
if temperatures rise even further, scientists expect around a third of the carbon locked within
rainforests to be released, leading to additional heating.

4.2.4. Preparing Plans

The forest management planning process

1. The basic elements of planning

Planning is an active process requiring careful thought about what could or should happen in the

24
future and involves the coordination of all relevant activities for the purpose of achieving
specified goals and objectives. Planning is an integral component of forest management; is about
determining and expressing the goals and objectives which government, rural communities or
companies have, and for deciding the targets and steps that should be taken in order to achieve
those objectives.
Planning need not be a complicated process but it requires clear objectives which a government
or other group aims to achieve. It requires imagination and a willingness to consider all points of
view having relevance to a given situation. The planning process should lead to the formation of
a balanced outlook from which proposals for effective management can be written. An element
of flexibility is desirable and necessary, however, in order to cope with unforeseen events which
could affect the achievement of the objectives.
A range of information is used in planning to evaluate the benefits and drawbacks of alternative
courses of action, which enables preferred options to be determined, coordinated with other
activities, and expressed in writing. Information should be of good quality. Information of
questionable quality should either be discarded or, if used, it should be noted that it is of poor
quality and one of the activities of the plan should be acquiring better quality information.

2 Two time horizons of planning

Forest management plans should have a minimum duration, or length, of 10 years. A shorter
period than 10 years does not provide the medium-term stability that is needed to guide
consistent implementation of sustainable forest management activities. A realistic maximum
length is 20 years. The duration is also called the term, or period, of a plan. A management plan
should include prescriptions that provide for:

· Review at the mid-point of the plan,

· Review in the final year of the plan,
· The preparation of a new plan upon expiry of the present plan.

Annual plans of operations are written for a one-year period and should be derived from a five-
year (or longer) management plan. A Plan of Operations should express specific activities in
tabular form for one year only and for a specific locality, such as a felling area.

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3 Legislation for management planning

A component of forest legislation that applies to a country or province should be that

management plans are to be prepared for State forest land and for forest lands in non-State tenure
the conservation of which is in the national or provincial interest or where subsidiaries or
incentives are paid to promote forestry development.

The following guidelines indicate the primary requirements that should be included in forests
legislation in respect of forest management planning:

 Subject to the rights existing in a forest when a management plan comes into operation,
forests legislation should specify that a plan must regulate the management of forest land in
conformity with the management objectives for a specified time period. The maximum
number of years for which a management plan can be in operation should be specified. It
should not be less than five years nor more than 20 years. Scope for review of a plan during
the planning period should be provided.

Commonly Used Terms in Forest Management plan

Forest Management Plan: A document that translates forest policies into a coordinated
programme for a forest management unit and for regulating production, environmental and
social activities for a set period of time through the use of prescriptions specifying targets, action
and control arrangements.
Forest Management Unit: An area of forest for which an approved. Forest Management Plan is
in operation, or any subdivision of it, such as a block (a specified locality) or a felling series.
Felling Series: Specific compartments of a Forest Management Unit that are being managed in
a specific way for silvicultural reasons and also have an independently calculated harvest yield.
Plan of Operations: A tabular statement showing the order and extent of forest work to be
carried out during one year and is based upon the prescriptions of a Forest Management Plan.
The term is synonymous with Annual Work Plan.
Compartment: A permanent, geographically recognizable unit of forest land forming the basis of
prescription and permanent record of all forest operations.
Sub-compartment: A sub-division of a compartment, sometimes temporary, where because of

26
particular characteristics an area of forest has a special description and requires separate
silvicultural treatment.
Prescription: A concisely written specification in a forest management plan that translates an
objective, or a part of one, into an operational activity.
Mean Annual Increment (MAD): The total increment, usually volume, up to a specified age,
divided by that age.
Current Annual Increment (CAI): The average increment, usually volume, for a management
plan prescription, including where, when and how the yield should be extracted.
Yield Regulation: The determination of the yield and its expression in a management plan
prescription, including where, when and how the yield should be extracted.
Working Circle: One or more parts of a working plan area, not necessarily adjoining, having
the same objectives, silvicultural system and prescriptions.
Working Plan: A document that regulates wood production, silviculture and tending activities
for a specific period of time through the application of prescriptions specifying targets, action
and control arrangements. A Working Plan is not synonymous with a Forest Management Plan.
Each forest management plan should specify:

the maximum area from which forest produce may be harvested, or the maximum quantity of
forest produce which may be harvested, or both, in a given time period,
the forest protection operations to be carried out,
the forest development operations to be carried out, including silviculture,
other matters which are necessary or appropriate in order to implement management
objectives effectively. This could include forest inventory, mapping, technical and social
surveys, and public consultation. A management plan to be applied to State or private forest
land should be approved by the Ministry responsible for forestry or other specified authority.
4 Balance between production, social and environmental objectives

Forests provide a wide range of benefits at local and national levels. Log production is usually
the main objective and revenue earned for governments and companies is the major driving force
in tropical forest harvesting. Revenue earned from log harvesting will usually be the main
funding source for long-term sustainable tropical forest management.

27
Many communities depend heavily upon non-wood forest products for subsistence and as a basis
for local trade, for example, canes, medicinal and food plants, gums, resins and wildlife. Tropical
forests are an essential source of energy for many communities, directly through burning of
wood for cooking and heating and indirectly to protect watersheds as source of water for
hydroelectricity generation. They have an important role in protecting physical and biological
environments at local and provincial levels. Tropical forests are dwelling places for many
millions of people and are increasingly of value for recreation and tourism, notably "eco-
tourism". They are important havens for wildlife and are the habitats of many endangered species
of plants and animals. It is essential in tropical forest management planning to achieve a balance
between the long-term between wood production, social and environmental management
objectives.

5 The participation of all interest groups in planning

The initiative for the formulation of a forest management plan should be taken by the forest
owner, such as the state, or by a concession holder on behalf of the owner. Local communities
and others having historical rights or privileges in a forest are important stakeholders and must
be involved in planning. The likelihood that sustainability will be achieved will be considerably
enhanced if local people who live in and around tropical forests have a say in and participate in
management planning and are able to share in the benefits of forest use to ensure that their basic
needs are met. The steps that can be taken can include:

 Granting secure tenure to existing productive farmland within the forest

 Local participation in management decision-making.
 Guaranteed access to forest products.
 Provision of employment.
 Shared benefits in forest harvesting.

Accommodation of the respective interests of forest management companies and local

community groups can be eased with the recognition that companies and indigenous
communities are, in most cases, interested in different things - industrial logs by forest
management companies on the one hand and small dimension wood and non-wood products by

28
local communities on the other. A positive approach towards adapting the interests of both
groups is to include rural communities as partners in forest management and to share the benefits
of wood production with them.

Forest Management planning structure and format

A Four-Part Forest Management Plan Structure

To be effective a forest management plan should comprise basic information having direct
relevance to the management of a forest, a long-term management goal, and specific
prescriptions to achieve each of the objectives. The management plan structure should be flexible
depending upon the characteristics of the forest for which long-term management is being
planned. A logical, easily assembled and practical plan structure has four main parts.

Basic Information:
Basic geographic, ecological, resources, social, industry and environmental information having
direct relevance to issues concerning future forest management. It is helpful to identify the
managerial implications of specific features of each feature of basic information that are
presented.

Management Goal and Specific Objectives:

One goal and several specific objectives, preferably not more than five, with the primary
objective being related to wood production.

Management Proposals:
Prescriptions should be directly related to objectives and include forest protection arrangements,
the yield and how it will be controlled, silviculture, monitoring and reporting arrangements.

Records of Forest History:

Information on all forest operations, recorded in compartment history records and measured
annually.
A Model Forest Management Plan Format

The subject matter of a plan is likely to vary from one locality to another, depending upon the
characteristics of the land and forest being considered as well as upon objectives, opportunities

29
and risks. There is however a basic list of contents which should be considered where plans are
to be assembled for tropical forests that are being managed for the production of wood. The
model format which follows provides an effective framework for drafting a management plan for
tropical forests.
Part I Basic Information
* Authority, Period of Operation and Policies
- Name of Management Plan
- Legal (or controlling) Authority
- Period of Operation (Term)
- Local or National Policy Statement
* Location, Area and Legal Description of Forest Lands
- Location and Area
- Legal Description
* Physical Resources
- Climate
· Rainfall, Humidity and Winds (only if relevant)
· Temperature and Sunshine
- Hydrology
- Managerial Implications of Climate and Hydrology
* Geology
- Topography
- Rock Types and Erosion (only if relevant)
- Managerial Implications of Geology
* Soils and Land Use
- Soil Types
- Land Uses
- Land Use Capability Classification (only if relevant)
- Managerial Implications of Soil Types and Land Use Capability Classifications
* Forest Resources
- Vegetation Types
· Natural Forest Types and Distribution

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· Ecological Succession and Ecological Changes in Natural Forests. Biological Diversity
Amongst Plants
· Ecological Problems Concerning Vegetation
- Summary of Forest Type and Land Use Classes
- Managerial Implications of Forest Ecology Issues
- Summary of Forest Resources Data (tables).
· General Forest Inventory Data.
· Species, Volume and Tree Size Data.
· General Non-wood Forest Resources.
· Overall Forest Resources Summary
- Silvicultural System (s) - type (s), strengths and limitations
- Forest Growth and Yield Data (tables)
- Assessment of the Potential for Sustainable Wood Production
* Log Harvesting and Transport Issues
- Strategic Harvest Plan
- Tactical Harvest Planning
- Logging Methods and Machinery, including potential for minimizing environmental impacts of
wood extraction
- Log Transport Methods (roads, railways, barging, etc)
- Managerial Implications of Log Harvesting and Transport.
* Forest Industry Issues
- Summary of Existing Forest Industry
- Wood Industry Development Potential (preferred and under-utilized species, resources, log
sizes)
* Social Issues Involving Natural Forests
- Characteristics of Community Groups: ethnic origin (s), populations, distribution and size of
villages, etc)
- Social Dependency Patterns on the Natural Forests
- Summary of Social Conflicts, or Potential Conflicts with Forests
- Managerial Implications of Social Issues with Forests.
* Wildlife Resources

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- The Forest "Landscape" as Habitat for Wildlife
- Significant Wildlife Resources
- Biological Diversity Amongst Animals
- Managerial Implications of Wildlife Relationships with Natural Forests
* Environmental Issues
- Summarize Environmental Issues Influenced by Wood Production Management, for example,
Soil and Water Conservation, Biodiversity and Wildlife Conservation, Eco-tourism
* Forest Protection and Security
- Summary of the Issues and Data Concerning Protection of a Forest Management Unit from
Fire, Trespass, Shifting Cultivation and other potential threats
- Managerial Implications of Forest Protection and Security Issues
Part II Goal and Objectives
* Goal
* Objectives
- Forest Protection
- Wood Production
- Non- Wood Production
- Other Objectives, such as social development, reforestation, afforestation, research,
environmental conservation and business development.

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 CHAPTER 5
5 FOREST INVENTORY AND MENSURATION

There is much demand for forest information at the regional, national, and international level,
covering aspects as varied as growing stock, carbon pools, and non-wood forest products, as well
as information on forest biodiversity, risks, and disturbances, or social indicators

5.1 Forest Inventory

Forest inventory is the systematic collection of data and forest information for assessment or
analysis. An estimate of the value and possible uses of timber is an important part of the broader
information required to sustain ecosystems. When taking forest inventory the following are
important things to measure and note: species, diameter at breast height (DBH), height, site
quality, age, and defects. From the data collected one can calculate the number of trees per acre,
the basal area, the volume of trees in an area, and the value of the timber. Inventories can be

33
done for other reasons than just calculating the value. A forest can be cruised to visually assess
timber and determine potential fire hazards and the risk of fire.

It refers to the process of collecting information about the extent and condition of forest
resources within a specified area. Traditionally, forest inventories were primarily carried out to
determine the quantity of available timber, but increasingly the scope of such inventories has
been expanded to include ecological variables such as measures of the quality of habitat provided
for different species. A forest inventory may therefore be carried out to obtain a range of
different information.

5.1.1 Purpose of forest inventory

The aim of the statistical forest inventory is to provide comprehensive information about the
state and dynamics of forests for strategic and management planning.

5.1.2 Types of forest inventory

They include regional inventories (portions of the country area); reconnaissance inventories
(rough insights of forest resources in a limited area); diagnostic sampling to orient silviculture
and forest management; exploitation surveys (focused at assessing harvestable timber availability
and planning of harvest

Three broad classes of forest inventories can be considered based on the depth of the
investigation:

1. Reconnaissance inventory: this class of inventory is based upon an exploratory

investigation of the forest population. The information derived is primarily intended for
preliminary management decisions. The inventory data are summarized on a regional or total
area basis.
2. Management inventory: this inventory represents a low intensity investigation of a large
tract of forested area; for example, a forest reserve. The information produced is primarily
intended for broad-based management decisions, allowable cut calculations and long range
planning.
3. Operational inventory: an operational inventory is based upon an intensive investigation of
a relatively small area. The information produced is primarily intended for use in short term
or “operational” planning, e.g. related to the harvesting of timber volumes within local

34
 cutting compartments or logging units.
5.1.3 Planning forest inventory

The main task of forest inventory is to collect information efficiently and present it in a form,
which is readily understood. This requires, however, much thought and preparation, i.e.,
planning. Forest inventories like any other projects require planning. There must be an explicit
information requirement that justifies the need for an inventory to be carried out. Make
discussions with decision makers or others who request the information in order to make clear &
illustrate options and limitations of a forest inventory.

A good forest inventory;

 Should be conform to the objectives
 Should provide adequate precision
 Methodologically sound & follow statistical sampling criteria
 Have comprehensive & transparent reporting & documentation
 Overall credibility

Procedure of planning a forest inventory

Setting the foundations
◦ Justification, funds, objectives, defining mandates, etc
Inventory planning
◦ Definition of technical objectives, development of inventory design, inventory protocol
(Write the
field manual, which gives a detailed information of the measurement procedure in the
field; and
design form sheets.), etc.
Data collection
◦ Remote sensing (selection of imagery – map products) and/or
◦ Field data: organization, training, implementation, supervision, etc
Data management & analysis
◦ Database development, data entry, data analysis, database maintenance, etc
Reporting

35
The following planning principles can be used as checklist
1) Objectives

The objectives of the inventory must be clear right at the beginning of the planning stage
including the variables/parameters to be estimated (e.g. diameter, girth & heights). Furthermore,
the units of measurement, desired precision at a specified level of probability, the kind of
recording forms and the style of presentation of the results must be worked out before the
commencement of the inventory. The amount of time and cost involved need to be studied
thoroughly in relation to the importance of the forest to be surveyed and its profitability, or
whether it is cost efficient or not.
2) Standardization
Most inventories are undertaken as separate and distinct projects. As a result, little or no attempt
has been done so far to ensure that the results are presented in such a way that they could either
be combined or compared with results from other inventories. Some of the specifications, which
could be standardized in order to facilitate easy comparison of forest inventory results, are:
a) Definition of terms and symbols
b) Forest type classification
c) Inventories to be designed to give an expression of sampling errors and its probability level
d) Use of the metric system and volume expressed in cubic meters under bark
e) Standardization of size classes and limits of merchantability
f) The concept of “accessibility” should be based on economic and not physical considerations.
A better word would be “operability” based on costs and financial returns
3) Time and Funds
The size of the sample and the degree of precision of forest inventory task are governed by the
time and fund available. In many cases an inventory design that gives the desired information
with an acceptable limit of error for the lowest cost is chosen. Thus, make sure that there is
sufficient resource to carry out the work (of a reasonable forest inventory).
4) Forest classification
The classification of a very large forest area into smaller sub-divisions enables the observer or
the surveyor to have a better understanding of the forest. Furthermore, this sub- division allows
more efficient sampling and maps can also be prepared showing the different forest and land
types.

36
5) Sampling and plot designs
The information collected by an inventory is obtained either by observations and measurements
in the field or aerial photographs or by a combination of both methods. In most cases the
combined approach is used.
6) Maps
Before the commencement of the inventory work, maps must be adequately available.
7) Field measurement procedures

Organize logistics (transport, measurement devices), Make a time table for field work and for
image interpretation.
8) Calculation and compilation
Design a data base and make a “pseudo”-analysis with dummy data in order to be sure that you
can analyze the data as you would like it.
5.1.4 Sampling Designs in Forest Inventories
A sampling design is determined by the kind of sampling units used, the number of sampling
units employed, and the manner of selecting and distributing these sample units over the forest
area, as well as the procedures for making measurements and analyzing the results.

5.2 Forest Mensuration and Stand Parameters

5.2.1. Basics of mensuration (Tree variables measurement)
1. Diameter measurement of a single standing tree

Diameter of a stem is a length from the outside of the bole through the center to the opposite side
of it. There are two different views of tree diameter, Longitudinal/side view and Cross-sectional
view.

37
Usually diameter is measured with bark so that a reduction needs to be applied if only the wood
is of interest.

Sometimes instead of diameter tree girth is measured. It is the circumference/perimeter of the

stem.
C = 2πr, C = πd
Tree diameter and girth measurement are the most important tree variables because:
They are in most cases easily and directly measured
From the diameter the basal area (which is closely correlated to tree volume) is directly
calculated
The diameter distribution of a stand gives a good insight to the stands structure and potentially
necessary silvicultural treatments.
The diameter at breast height (DBH)
The standard position for diameter measurement at standing tree is at breast height. It is defined
at 1.30 meter above ground in most countries, but there are some countries where diameter at
breast height is measured at different heights.
Why DBH is preferred?
At breast height the instrument is easily handled (convenience and ease). Also on most trees the
influence of buttress on the stem form is already much reduced at breast height. However,
irregularities of tree stems do sometimes prevent the measurement of diameter at breast height.
The followings are some of the cases:
Trees on slope: measure Dbh at the standard height above the floor/ground on the uphill side of
the tree. Leaning tree: measure parallel to the lean on the lower side of the lean Buttress tree: if

38
the buttress height is more than one meter then measure DBH from the point where buttress
ends, otherwise measure normally. Abnormalities at breast height: swellings, knots, crooks, etc
Measure the DBH above or below the abnormalities and indicate the height at which diameter is
measured. Sometimes measurement is done at equal distance above and below breast height and
then DBH is estimated by taking the mean of the two readings.
Bifurcation: If a tree bifurcates above breast height then measure DBH as usual. But, if a tree
bifurcates below breast height then measure DBH on each stem separately.
Instruments used for measuring
Calipers and diameter tape are the most commonly used instruments. But also Biltmore stick can
be used (very rare presently).
Caliper
Is the most efficient to measure DBH directly whenever there is direct access to the tree. It can
be made of wood, metal or aluminum. It has two arms one fixed and a graduated bar/beam on
which the second arm slides. To measure with a caliper, hold it firmly and horizontally as well as
perpendicular to stem axis at the same time. Usually two readings are taken perpendicular to
each other rat breast height and then the average value will be recorded.

Figure 1. Caliper

Diameter tape

There are diameter tapes from which the tree diameter can be directly read. Tree diameter can
also be determined from circumference measurement which can be done by diameter tape or any
tape since circular tree stem shape is assumed.
C = 2 π r = π d; d = C/ π
Calipers Vs diameter tape
• Tapes are easy to carry than calipers (especially in dense forest)
• Measuring with caliper is faster than with tape.

39
• Bigger trees can be measured with tapes easily (calipers have an upper bound) tapes can be
extended by joining them
• Tapes are good to maintain consistency in measuring diameter regularly.
Measuring upper stem diameter
Upper stem diameter of a tree is measured for instance to describe the shape of a stem (derive
taper curve). It is measured at various heights. Upper stem diameters are most easily observed on
felled trees; however, there are situations in which upper stem diameter need to be measured on a
standing tree. Upper stem diameter is measured either at a fixed point (X meter) or at relative
height (X% of height).
Methods
1. Using Finn caliper (Finnish parabolic caliper)
Used to measure diameter up to 7m
Difficult to carry mostly beyond this height

Figure 2. Upper stem diameter measurement with Finn Caliper

2. Optical caliper (parallel beams)
Needs determination of height before or after diameter measurement
Read diameter when the two images of the trunk coincide
It is independent of distance measurement

Figure 3. Upper stem diameter measurement with optical caliper

3. Measuring upper diameter with angle measurement technique

40
 Figure 4. upper stem diameter measurement by angle measurement techniques
4. Measuring upper stem diameter with mirror relaskop

Figure 5. Upper stem diameter measurement using mirror relaskop

Tree cross-sectional area estimation
If the cross-section of a tree is determined using the diameter at breast height, then it is called
basal area. It is denoted by “g”.
g = (π d2)/4
Basal area is commonly expressed in square meter (m2)
Importance of basal area measurement:
• The sum of the basal areas of all trees in crop is a useful measure of stocking.
• In a uniform plantation of a single species volume is closely related to basal area.
Tree Height Measurement
Why tree height is needed to be measured?
Height is a tree variable that is used to estimate or determine the volume of a tree. It (dominant
height) also helps to deal with the issues of site classification.
Tree height Vs tree length

41
Tree height is defined to be the perpendicular distance between the ground level and the top of
the tree. While, Tree length is the distance between the stem foot and the top along the stem
Types of tree height:
Total height: the distance between the ground and top of the tree.
Bole height: the distance between the ground and the crown point.
Merchantable height: the distance between the ground and the terminal position of the last
useable portion of the tree stem.
Stump height: the distance between the ground and the position where a tree is cut.
Merchantable length: is the distance between the top of the stump and the terminal position of
the last useable portion of the tree stem.
Dominant height: is the average height of 100 thickest trees per hectare.
Methods of tree height measurement
1. Direct method: It involves climbing or using height measuring rods. It is rarely used and only
for small trees.
2. Indirect method:
2.1. Using geometric principle
2.2. Using trigonometric principle
Method using geometric principle
A christen hypsometer or ruler of a certain length (30cm for example) and a pole of constant
length/height used to estimate/measure tree height.
Technique:
 Place a pole of known length at upright position against the tree to be measured.
 Hold ruler (of known length) vertically and parallel to the tree to be measured.
 Find the sighting position by moving back and forth and/or right and left so that the top of the
ruler exactly aligned with the tip of the tree and the bottom of the ruler with the base of the
tree.
 Take ruler reading in line with the top of the pole. Then apply the following formula.

42
Figure 6. Tree height measurement technique by geometric principles
∆ABC ≅ ∆Abc
(BD/BC) ≅ (bd/bc); (bc/BC) = (bd/BD)
Known ruler length ( bc) X Known length of pole (BD)
Tree height (BC) =
Ruler reading on the pole (bd)
Advantages:
+ no distance measurement is required
+ height reading is not influenced by slope
Drawbacks:
- In dense forest it is difficult to find suitable point of observation
- Only with a steady hand can serious misreading be avoided.

Methods employing trigonometric principles

The followings are some of the instruments used to measure tree height based on trigonometric
principles.
1. Sunto hypsometer
2. Silva hypsometer
3. Haga altimeter
4. Blume-leiss
5. Sunto clinometers: measure inclination angle in degree or percent

General steps (for the first 4 instruments mentioned above)

43
 Stand at a fixed horizontal distance from the base of the tree (usually 10, 15, 20, 25 meters,
and so on)
 Sight at the top of the tree and read the value ‘A’ (top reading)
 Again sight at the bottom of the tree and read the value ‘B’ (bottom reading)
 Then the total height of the tree is top reading ‘A’ minus bottom reading ‘B’
 Bottom reading +ve or –ve (above and below eye level)

Sin α = opposite / hypotenuse; (a/c)

Cos α = adjacent / hypotenuse; (b/c)
Tan α = opposite / adjacent; (a/b)
Case 1: If the observer is on a flat terrain

Figure 7. Tree height measurement on a flat terrain.

tan α1 = BC / D
BC = tan α1. D
tan α2 = AC / D
AC = tan α2. D
AB (height) = BC + AC
AB = tan α1. D + tan α2. D

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AB = D (tan α1 + tan α2)

Case 2: upslope
AB = BC – AC
AB = tan α1. D - tan α2. D
AB = D (tan α1 - tan α2)

Figure 8. Tree height measurement on uphill terrain

Case 3: down slope,
When the tree base is below the eye level of the observer
AB = AC + BC
AB = tan α1. D + tan α2. D
AB = D (tan α1 + tan α2)
Clinometer method
It follows the same principles as above, but in this case we measure/read the inclination angle
and then calculate height after knowing the horizontal distance between the observer and the
tree.

45
Figure 9. Tree height measurement using clinometers
• If measured in percent:

(TR – BR) x D
Ht = 100

• Or if measured in degree:
H = D (tan α1 +/- tan α2)
Possible sources of error in height measurement
1. Error from failure to correctly identify the top of the tree

Figure 10. Error during height measurement (failure to detect correct tree top)

2. Lean tree
When the leaning is away from the observer then the value will be under estimation and the vice
versa.

Figure 11: Error during measuring height of a leaning tree

The correct length/height BD can be calculated after the angle of the lean is determined

46
BD = DB’ / cosα

DB’ is equal to the average of EB and FB

3. If the distance is not correctly measured
 If not reading is taken according to the scale
 If slope distance is measured instead of horizontal distance
Other important tree variables to be measured include:
• Bark thickness
• Crown attributes
• Form factor
• Etc

5.2.2. Measurement of tree parameters

There are three basic parameters commonly measured to characterize the size of a single trunk
tree: height, girth, and crown spread (in detail discussed under 5.2.1).

5.2.3. Determination of tree volume, weight, and biomass

In forest mensuration, a tree has been traditionally considered as consisting of four primary
components: roots, stump, stem, and crown.

Tree volume is one of many parameters that are measured to document the size of individual
trees. Tree volume measurements serve a variety of purposes, some economic, some scientific,
and some for sporting competitions. Measurements may include just the volume of the trunk, or
the volume of the trunk and the branches depending on the detail needed and the sophistication
of the measurement methodology. Volume measurements can be achieved via tree climbers
making direct measurements or through remote methods. In each method, the tree is subdivided
into smaller sections, the dimensions of each section are measured and the corresponding volume
calculated.

5.3. Stand Parameters

Stand structure is the distribution of species and tree sizes within a stand or forest area. The most
important stand parameters characterizing structure include age, species composition, diameter
and basal area, height and crown closure, density and stocking, volume, weight, and site

47
quality.

5.3.1 Age, Species composition

Forest composition refers to all plant species found in a stand or landscape, including trees,
shrubs, forbs, and grasses. It also refers to forest communities at the stand or landscape level
whose canopies may be dominated by a single tree species or contain a mixture of species.
species composition refers to the contribution of each plant species to the vegetation.

5.3.2 Diameter, Height

Tree diameter is usually measured at 4.5 feet (ft) above ground level. Measurement at this
height is referred to as diameter at breast height or DBH.

Tree diameter data can inform foresters about crown competition, stocking levels, and forest
health. Stand management decisions, such as when and how much to thin a stand, rely heavily
on data derived from measuring tree diameters. In addition, tree diameter is needed to determine
a tree's wood volume. How to calculate diameter? It is twice the length of the radius of a circle,
i.e., Diameter = 2 × Radius.

48
Tree height is the vertical distance between the base of the tree and the tip of the highest
branch on the tree, and is difficult to measure accurately. It is not the same as the length of the
trunk. If a tree is leaning, the trunk length may be greater than the height of the tree.

Calculating tree height requires the use of basic trigonometry: h = Tan A x d, where h is the tree
height, d is the distance from tree, and A is the angle to the top of the tree. Since your
measurements will be made at eye level, you need to know your eye height (height of your eye
above the ground).

Forest height is a fundamental parameter in forestry. Tree height is widely used to assess a site's
productivity both in forest ecology research and forest management. Thus, a precise height

49
measure represents a necessary step for the estimation of carbon storage at the local, national,
and global scales.

5.3.3 Crown and canopy measurement

In forestry, a tree crown measurement is one of the tree measurements taken at the crown of a
tree, which consists of the mass of foliage and branches growing outward from the trunk of the
tree. The average crown spread is the average horizontal width of the crown, taken from dripline
to dripline as one moves around the crown. The dripline is the outer boundary to the area located
directly under the outer circumference of the tree branches. When the tree canopy gets wet, any
excess water is shed to the ground along this dripline. Some listings will also list the maximum
crown spread which represents the greatest width from dripline to dripline across the crown.
Other crown measurements that are commonly taken include limb length, crown volume, and
foliage density. Canopy mapping surveys the position and size of all of the limbs down to a
certain size in the crown of the tree and is commonly used when measuring the overall wood
volume of a tree.

Forest canopy is often measured by the GRS densiometer, Forest canopy cover, also known as
canopy coverage or crown cover, is defined as the proportion of the forest floor covered by the
vertical projection of the tree crowns. estimation of forest canopy cover has recently become an
important part of forest inventories. First, canopy cover has been shown to be a multipurpose
ecological indicator, which is useful for distinguishing different plant and animal habitats,
assessing forest floor microclimate and light conditions, and estimating functional variables like
the leaf area index (LAI) that quantifies the photosynthesizing leaf area per unit ground area.

spherical densiometer, or hemispherical photograph analysis. Spreading, weeping,

columnar, rounded, oval, vase and pyramidal are some of the canopy forms of trees.

5.3.4 Understory and regeneration

The understory is the underlying layer of vegetation in a forest or wooded area, especially
the trees and shrubs growing between the forest canopy and the forest floor. Plants in the
understory comprise an assortment of seedlings and saplings of canopy trees together with
specialist understory shrubs and herbs. What is the function of understory? The forest understory
is typically a sheltered layer that is warm and damp. Dominated by saplings, shrubs, and vines if

50
patches of light allow small trees to grow. Forest understory plants provide food and shelter for
small animals and birds and large predators which live in the trees.

How is forest regenerated? Forest regeneration includes practices such as changes in tree plant
density through human-assisted natural regeneration, enrichment planting, reduced grazing of
forested savannas, and changes in tree provenances/genetics or tree species.

Tree regeneration is the process that allows a forest to sustain itself through the growth and
survival of seedlings and saplings that replace large forest trees as they die. What are the
methods of regeneration? Three reproduction cutting methods are available for natural
regeneration of even-aged stands: clearcutting, seed tree, and shelter wood. clearcutting can be
used to regenerate small blocks, patches, or narrow strips if there is an available seed source
from adjacent stands

5.3.5 Site Quality

Site quality refers to the inherent ability of a forest to produce biomass; that is, grow trees. It
is the composite expression of a variety of physical and chemical attributes of a forested area,
including its soil, topography and climate. There are two basic ways to quantify site quality in
forests, i.e., via Earth based indices, in which environmental data (climate, topographical, and
soil conditions) are used to characterize site and productive capacity; or via plant-based indices
in which productive capacity is described using stand growth measures.

5.3.6 Density and stocking

What is density in forest?

Definition: Forest Canopy Density (FCD) refers to the proportion of an area in the field/ground
that is covered by the crown of trees and is expressed in percentage of the total area. Forest cover
is shown in three density classes viz., very dense forest (VDF) with more than 70% canopy
density, moderately dense forests (MDF) with canopy density between 40% and 70% and open
forests (OF) with canopy density between 10% and 40%

What is the formula for species density?

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The formula for calculating population density is Dp= N/A. In this equation, Dp is the density of
population (tree), N is the total population as a number of people, and A is the land area covered
by that population

Stocking is a quantitative measure of the area occupied by trees, usually measured in terms of
well-spaced trees or basal area per hectare, relative to an optimum or desired level of density. It
is also known as a measure of the growth potential of a site that may be affected by vegetation in
the area along with other nearby trees. Stocking can be shown as a ratio of the current stand
density to the stand density of a maximally-occupied site. Stocking measures account for three
things: the cover type and species mixture in the stand, the basal area per acre, and the number of
trees per acre. Stocking allows for the comparison of stands that may have
diverse ecology. Stocking is a major part of forest management and how to control the growth of
trees in certain areas. They have developed more approaches that account for different ages of
stands and grow areas. When managing forests, foresters want the most amount of growth and
volume in different stands and areas across the world. A desirable level of stocking is often
considered that which maximizes timber production, or other management objectives. Once the
stands have been measured, they are marked as either being overstocked, 50% stocked, or
understocked. When an area is overstocked it means that it has too many trees in the given area,
and it will be affecting the growth of other trees that are around it. When an area is understocked,
it means that the stand site is not up to its full potential in tree growth. More trees should be
planted there if they want to maximize the tree growth in the stand site.

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 CHAPTER 6

FOREST RESOURCE PROTECTION

Forest protection is a branch of forestry which is concerned with the preservation or

improvement of a forest and prevention and control of damage to forest by natural or manmade
causes like forest fires, plant pests, and adverse climatic conditions (global warming). Forest
protection also has a legal status and rather than protection from only people damaging the
forests is seen to be broader and include forest pathology too. Due to the different emphases
there exist widely different methods forest protection.

6.1 Forest Fire Management

Integrated forest fire management (IFFM) comprises a systematic approach to forest fire
management. It encompasses both the traditional efforts of fire prevention and fire suppression
as well as the use of prescribed fire as a tool, community involvement, and forest law
enforcement. Commonly used management practices include grazing systems, prescribed fire,
forest management, tillage, fertilization, crop rotation, water management, liming, and
cover crops.

53
  The most common hazard in forest is “forest fire”
 They pose a threat not only to forest wealth bust also the entire region to fauna and flora
seriously disturbing the biodiversity
 During summer when there is no rain for months, the forest become littered with dry
leaves which could burst into flames ignited by the sughtest spark
 Basically the forest fire causes imbalances in the nature and endangers biodiversity
Why forest fire

More than 95% forest fire are caused either by negligence or unknowingly by the human being.
The rest of the fire are caused by natural reasons like lightning, extreme rise in temperature
etc…which are very [Link] general all over the world the main cause of forest fires is
anthropogenic

Causes of forest fire

 Natural causes
 Man mad causes
Types of forest fire

 Surface fire
 Underground fire
 Ground fire
 Crown fire

How fire spreads?

54
Effects of forest fire

 Loss of valuable timber resources

 Loss of wildlife
 Loss of biodiversity
 Global warming

Fire presentations and control

 Preventing the occurrence of forest fires is perhaps the best way to minimize or
completely eliminate the damage caused by [Link] is very economical to prevent
forest fire from breaking out than to control or put them out once they have
occurred
 Fire danger rating
 Good will of local communities
 Educating local communities
 Rewards, awards and punishments

55
  Signs and notices

6.2 Forest Insects, Pests and Diseases Management

The occurrence patterns of forest insect pests and diseases have been altered by global events
such as climate change. Changes in the distribution of forest pests, increases in the numbers of
and damage from invasive species, and outbreaks of new species have been observed in many
countries, apparently due to climate change and the increase in international trade.
Enormous numbers and varieties of insects, fungi, bacteria, and viruses occur in forests and are
adapted to live on or around trees. Many of these are beneficial, and even the destructive ones
are usually held in check by their natural enemies or an unfavorable environment. The normal
population levels of pest organisms result in limited reduction in tree growth or the total
destruction of only a small number of trees in the forest. The losses are generally accepted by
foresters as unavoidable and are tolerated as long as the annual destruction does not seriously
affect the net annual increase in wood production.

Every part of a growing tree—root, trunk, bark, leaf, flowers, and seeds—is potentially subject
throughout every stage of its life to attack by some harmful insect or fungus. Insects actually
destroy more standing timber than does any other agent. Bark beetles, including species
of Dendroctonus and Ips, are among the most destructive insects. They bore into the tree and
feed just below the bark, where they create tiny channels that disrupt the flow of food to the
roots, often killing the tree. Diseases frequently retard growth of trees and are less of a factor in
mortality. A particularly destructive disease is caused by fungi that decay the wood of trees. The
heart rot fungi gain entrance through any wound resulting from fire scars, broken limbs, or
anything else that damages the tree’s protective tissue. Were it not for heart rot, a large number
of conifers and broad-leaved trees could be left to grow for many more years.

Insect and disease organisms accidentally introduced to forests from other parts of the world,
known as invasive species, often develop serious epidemic conditions because of the lack of any
natural control. Because of rapid global transportation, insects and fungal spores can be spread
easily throughout the world and arrive in a healthy condition. The seriousness of the situation
cannot be overestimated, and the enforcement and improvement of plant quarantine laws is
essential. Typically, disasters have arisen where quarantine has failed or has been imposed too

56
late.

Because effective direct control of insects and diseases of standing timber is generally expensive,
it is employed only when the potential mortality or loss in growth is extreme. Routine monitoring
of insects and diseases allows foresters to schedule timely harvests of infested trees and to limit
the spread of the problem to uninfested trees or areas. These sanitation and salvage harvests,
coupled with piling and burning the limbs and branches left after logging, reduce the material
and conditions that allow pest populations to develop. Traps baited with sex-attractant chemicals,
or pheromones, are a promising method to reduce breeding populations of certain insects.
Application of insecticidal or fungicidal sprays from the ground or from low-flying aircraft offer
a short-term measure to check sudden plagues of insects or outbreaks of fungal diseases. Action
has most frequently been taken against exceptional outbreaks of defoliating caterpillars.

Management of Forest Pests

 Countries to establish a network to address the following activities:
 Training
 Information exchange, through a newsletter
 Collaborative research, detection and monitoring, screening of insecticides, ecological
and socio-economic impact studies, integrated pest management
 Quarantine services
 Exchange of expertise
 Public awareness and education
 Sufficient attention to forest insect management
6.3 Invasive Species Management
An invasive species is an alien [non-native] species whose introduction does or is likely to cause
economic or environmental harm or harm to human health. Species invasions are one of the main
ecological consequences of global changes in climate and land use. Most invasions over the past
several centuries have involved species transported directly or indirectly by humans.
The most economical and safest way to manage invasive species is by prevention. Early
detection and rapid response of invasive species is much more effective than trying to control a
widespread infestation. If eradication is not possible, the invasive species may be subject to

57
control and management efforts. Herbicides are among the most effective and resource-efficient
tools to treat invasive species. Control of invasive forest pests can be undertaken through several
methods, including chemical control, biological control, or physical (mechanical) control.
characteristics of invasive species
fast growth. rapid reproduction. high seed production and dispersal ability. tolerance of a wide
range of environmental conditions.
An integral part of sustainable forest management is measures to protect forests from natural
threats such as fire, insects and diseases. Increasingly, an additional and more severe threat has
been affecting the forest sector worldwide - invasive species. Invasive species are any species
that are non-native to a particular ecosystem and whose introduction and spread causes, or are
likely to cause, socio-cultural, economic or environmental harm or harm to human health. The
increasing global movement of people and products is also facilitating the movement of alien
species around the world. These species may be unintentionally introduced to new environments
in shipments of food, household goods, wood and wood products, new and used tires, animal and
plant products, containers, pallets, internal packaging materials and humans. In the absence of
their natural predators, competitors and pathogens, they can prosper in new environments and
spread at the expense of native species, affecting entire ecosystems.
Not all invasive species have been inadvertently introduced, however. Particularly challenging to
natural resource management are non-native species that have been intentionally introduced into
an ecosystem to provide economic, environmental or social benefits. Many species of plants,
trees and animals have been introduced outside their native ranges as ornamentals for gardening
or for the pet industry. These species have escaped to become serious problems in forests and
other ecosystems. This is a considerable concern in the forest sector since many of the tree
species used for agroforestry, commercial forestry and desertification control are alien or non-
native to the area. It is vital to ensure that such species serve the purposes for which they were
introduced and do not escape to cause negative effects on native ecosystems.
While the definitions and impacts of invasive species on the forest sector are still debated and
need reviewing in the context of forest management, a number of initiatives, programs and
activities have been initiated. Most programs focus on damage caused to local forest ecosystems,
or to a particular species or group of species, by a given pest * over a period of time. There is an
overall lack of information on invasive species and the forest sector at the global scale.

58
Information sharing is necessary in the planning and implementation of any strategy for the
management of invasive alien species.
What are the primary sources for invasive species?
Invasive species are spread primarily by human activities, often unintended. People, and goods
transported, travel quickly around the world, and often carry uninvited species with them.
Invasive species can be introduced to an area by ship ballast water, firewood, accidental release,
and by people.
The negative consequences of invasive species are varied and can range from mild to
catastrophic. These include the loss or alteration of native habitats, the killing of large numbers
of native species, extinction of native species, impacts on human health, and escalating economic
costs.
6.4 Protection from illegal harvesting.
Why does the forest need to be protected?
Forests are vital to life on Earth. They purify the air we breathe, filter the water we drink, prevent
erosion, and act as an important buffer against climate change. Illegal logging is the harvest,
transportation, purchase, or sale of timber in violation of laws. The harvesting procedure itself
may be illegal, including using corrupt means to gain access to forests; extraction without
permission, or from a protected area; the cutting down of protected species; or the extraction of
timber in excess of agreed limits. Illegal logging is a driving force for a number of environmental
issues such as deforestation, soil erosion and biodiversity loss which can drive larger-scale
environmental crises such as climate change and other forms of environmental degradation.
6.5 Protection from Animals
The negative impacts of wildlife on forest resources can be extensive. Although damage is most
often considered in terms of reduced productivity or delayed harvest cycles, attempts to
replace trees after a harvest or a fire can also be complete failures because of foraging wildlife.
The full impact of wildlife on forest resources is frequently difficult to assess because of the
complexity of the resource. This complexity is inherent because of the spatial and temporal
scales of forests. Newly established forestry plantations are particularly vulnerable to damage by
livestock and wild animals. The main problems are caused by animals that like to browse on the
shoots of young plants i.e. sheep, deer, rabbits, hares and occasionally wild goats. Animal
damage can result in stunted, forked and dead trees causing failure of a plantation which is costly

59
to replace. Cattle will browse young trees but can also cause serious damage by trampling.
Depending on the species, young trees can remain susceptible to browsing for many years after
planting. Repeated browsing can seriously check growth and it can take many years before trees
are robust and tall enough to overcome its effects.
6.6 Protection from Adverse Climatic Conditions

Human-induced climate change is a global issue that is starting to become apparent in many
parts of the world. It is the primary environmental challenge of this century. Increasing levels
of greenhouse gases such as carbon dioxide are enhancing the natural greenhouse effect and
accelerating irreversible changes in the climate. The impacts of climate change present very
serious global risks and threaten the basic components of life, including health, access to water,
food production and the use of land. As the earth gets warmer the damage from climate change
will accelerate.
Climate change could alter the frequency and intensity of forest disturbances such as insect
outbreaks, invasive species, wildfires, and storms. These disturbances can reduce forest
productivity and change the distribution of tree species

CHAPTER 7

APPROACHES AND PILLARS OF SUSTAINABLE FOREST MANAGEMENT

60
Sustainable forest management creates outcomes that are socially just, ecologically sound and
economically viable – the three pillars of sustainability.

7.1 Approaches to Forest management

Various methods have been developed and used to facilitate natural forest management. These
methods include inducement of natural regeneration, enrichment planting, protection of
regeneration against weeds, fires and grazing/browsing.
7.1.1 Protected areas

A protected area is a clearly defined geographical space, recognized, dedicated and managed
through legal or other effective means to achieve the long-term conservation of nature with
associated ecosystem services and cultural values. When forests are placed in protected areas
there is an expectation that this protection will be permanent and effective. However, there is
growing recognition that many forest protected areas are not secure and that a significant
proportion are being degraded and destroyed. Investing time and effort in the selection and
designation of forest protected areas only makes sense if there is a reasonable chance that such
areas can be secured for the foreseeable future. This expectation of permanence is central to the
whole concept of protected areas. Even if forest protected areas do have a management system in
place, they may remain under threat: from poaching (of wildlife, fish, timber and other
resources), illegal mining, encroachment by settlers, over-use by tourists and from the
development of infrastructure such as roads and dams. Sometimes local opposition to protected
areas contributes to their loss; in other cases, governments themselves undermine protected areas
when they contain valuable resources. Improved habitat management and protected areas can
help to reduce the vulnerability of communities by maintaining essential natural resources and
agricultural productivity and protecting ecosystem services, such as water supplies.

7.1.2 Sustainable use of tree species

Sustainable forestry is the practice of managing forests to meet current needs and desires of
society for forest resources, that is products, services, and values, without compromising the
availability of these for future generations. Selective Logging Is the Most Sustainable Method Of
Harvesting Trees. Although there are many benefits of using selective logging as the most

61
sustainable method of harvesting trees

Every day, we rely on a huge variety of services and products – from clean water to medicines to
timber – that can only be provided by trees. Around the world, different tree species are used in a
multitude of different ways. Forests play a significant role in so many people’s lives – in fact it is
estimated that more than half of the global population use non-timber forest products to support
their well-being and livelihoods1, and timber is the world’s most valuable wildlife commodity.

Sustainable use

These amazing examples of sustainable tree use and management may be inspiring you to adopt
more sustainable habits at home. Here are some ideas to help you get started:

 Avoid contributing to illegal and unsustainable timber extraction by purchasing wood and
paper products certified by the Forest Stewardship Council (FSC). Look for the FSC “tick
tree” logo, which means you can buy these products with the confidence that you are not
contributing to the destruction of the world’s forests.

 Ensure any investments you make (or made on your behalf) are sustainable. For example,
shortlisted for a Responsible Investor award, SPOTT supports investors and buyers by
creating transparent assessments of the environmental standards of timber companies and
publishing the results.

 Repair, restore or adapt an existing item, perhaps buying second hand or making
something yourself.

7.1.3 Forest restoration

Forest restoration is defined as “actions to re-instate ecological processes, which accelerate

recovery of forest structure, ecological functioning and biodiversity levels towards those typical
of climax forest” i.e. the end-stage of natural forest succession. Climax forests are relatively
stable ecosystems that have developed the maximum biomass, structural complexity and species
diversity that are possible within the limits imposed by climate and soil and without continued
disturbance from humans (more explanation here). Climax forest is therefore the target
ecosystem, which defines the ultimate aim of forest restoration. Since climate is a major factor
that determines climax forest composition, global climate change may result in changing

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restoration aims. Additionally, the potential impacts of climate change on restoration goals must
be taken into account, as changes in temperature and precipitation patterns may alter the
composition and distribution of climax forests. Forest restoration is a specialized form
of reforestation, but it differs from conventional tree plantations in that its primary goals
are biodiversity recovery and environmental protection.

Forest restoration may include simply protecting remnant vegetation (fire prevention, cattle
exclusion etc.) or more active interventions to accelerate natural regeneration, as well as tree
planting and/or sowing seeds (direct seeding) of species characteristic of the target ecosystem.
Tree species planted (or encouraged to establish) are those that are typical of, or provide a
critical ecological function in, the target ecosystem. However, wherever people live in or near
restoration sites, restoration projects often include economic species amongst the planted trees, to
yield subsistence or cash-generating products.

Forest restoration is an inclusive process, which depends on collaboration among a wide range of
stakeholders including local communities, government officials, non-government organizations,
scientists and funding agencies. Its ecological success is measured in terms of increased
biological diversity, biomass, primary productivity, soil organic matter and water-holding
capacity, as well as the return of rare and keystone species, characteristic of the target ecosystem.
Economic indices of success include the value of forest products and ecological services
generated (e.g. watershed protection, carbon storage etc.), which ultimately contribute towards
poverty reduction. Payments for such ecological services (PES) and forest products can provide
strong incentives for local people to implement restoration projects. Active restoration has been
shown to accelerate the carbon recovery of human-modified tropical forests by as much as 50%.

Many restoration projects are now being implemented under the umbrella of “forest landscape
restoration” (FLR), defined as a “planned process to regain ecological integrity and enhance
human well-being in deforested or degraded landscapes”. FLR recognizes that forest restoration
has social and economic functions. It aims to achieve the best possible compromise between
meeting both conservation goals and the needs of rural communities. As human pressure on
landscapes increases, forest restoration will most commonly be practiced within a mosaic of
other forms of forest management, to meet the economic needs of local people.

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7.2 Approaches for Implementing Sustainable Forest Management

7.2.1 Top-down development

top-down approach means that management and funding is imposed from the top such as by the
national government. Top-down approaches save time by providing establishing program
objectives, and providing guidelines, planning and funding processes, and information. the top-
down approach attempts to move from the general to the specific.

What are the benefits of top-down approach?

The top-down approach results in clear, well-organized processes that leave little room for
confusion. Because all decisions are made in one place and all communication flows in one
direction, mix-ups and misunderstandings happen less frequently than with other management
styles.

disadvantages of top-down approaches?

Significant limitations of the top-down approach include low community ownership and
sustainability and high levels of dependency.

 Community Ownership.

 Self-Silencing.

 Backlash.

 Poor Sustainability.

 Weak Focus on Prevention

7.2.2 Top-down conservation planning

Top-down planning traditionally involves the definition of corporate goals and their subdivision
into specific goals, which are then dealt with in phases. Top-down planning or retrograde
planning is an approach that aims to gradually move from the top to the bottom level of a
particular hierarchy.

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7.2.3 Bottom-up development

It is an approach that allows the local community and local players to express their views and to
help define the development course for their area in line with their own views, expectations and
plans. To delegate decision-making powers – Adopting the bottom-up approach
means delegating decision-making powers from other levels of governance to the local level.
Participatory local decision-making allows new ideas and projects that have emerged to be
managed and integrated to the full. Building blocks are an example of bottom-up design because
the parts are first created and then assembled without regard to how the parts will work in the
assembly. A bottom-up approach emphasizes the fact that those who are out “in the field” every
day can provide significant insights that management, from their perspective a bit higher up,
might fail to notice. With this approach, organizations can also lessen the risk of surprising teams
with any unexpected tasks or processes. A bottom-up approach involves all members of the team
working together to determine the necessary tasks to reach that final end product.

There are advantages and disadvantages to both approaches. Bottom-up budgeting often results
in a more accurate budget, but it also requires significantly more time and resources to
complete. In some cases, bottom-up budgeting may have the downside of resulting in cost
overruns as well.

The bottom-up approach is to strengthen the demand for good governance, which means
strengthening accountability and transparency to enable better oversight of the public sector.
Improving the quality of governance means improving the quality of public services through
stronger accountability relationships between state and no state actors, and between service
providers and beneficiaries

7.2.4 Participatory action

Participatory Forest Management deliberately involves forest-adjacent communities and

other stakeholders in the management of forests within a structure that contributes to the
communities' livelihoods. PFM has contributed to increased conservation awareness leading to
better conservation of forests. What are the steps of participatory forest management?
Options for technical field methods involved in the three key stages of PFM: Investigation,

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Negotiation, and Implementation.

7.3 Pillars of Sustainable Forest Management

"The stewardship and use of forests and forest lands in a way, and at a rate, that maintains their
biodiversity, productivity, regeneration capacity, vitality and their potential to fulfill, now and in
the future, relevant ecological, economic and social functions, at local, national, and global
levels, and that does not cause damage to other ecosystems."
7.3.1 Ecological sustainability
Sustainable forestry secures the long-term availability of renewable resources, protects
biodiversity and helps to combat global warming.
7.3.2 Social sustainability
The forest sector bears a social responsibility both as an employer and as a player in society. The
sector enables people to live and work in all parts, and in many areas it is a vital hub in the local
community. Other aspects of social sustainability relate for example to the sector’s efforts to
make the forest an important place for recreation and being outdoors.
7.3.3 Economic sustainability
The forest should be used in a responsible, profitable way, always creating competitiveness and
increased value for coming generations. With the vision “The forest sector drives growth in the
global bio economy”, the sector wants to work for sustainable economic growth based on

CHAPTER 8

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 BIODIVERSITY AND LIVELIHOODS IN FOREST MANAGEMENT
It is estimated that 60 million indigenous people are almost wholly dependent on forests, while
350 million people depend on forests for a high degree for subsistence and income
8.1 Biodiversity in Production Forest
The International Tropical Timber Organization (ITTO) and the International Union for
Conservation of Nature (IUCN) have developed “Guidelines for the conservation and
sustainable use of biodiversity in tropical timber production forests” (ITTO and IUCN 2009).
The guidelines include, amongst others:
1. Observe national laws, plans and practices of local communities in forest management
activities, and support the implementation of international biodiversity related agreements.

2. Establish a forest management plan in which biodiversity conservation objectives are clearly
and explicitly identified for each area of forest under management.
3. In preparation of harvesting plans, pay particular attention to the local occurrence of species or
habitats of special conservation concern and species that perform vital ecological functions
4. Plan the allocation of tropical production forests at a landscape scale and plan harvesting
blocks in ways that do not disrupt the continuity of mature forests.
5. Raise public and political awareness on international/national laws and disseminate
biodiversity information and strategies using various media.
6. Coordinate actions of forest owners, users and managers across landscapes to best ensure the
maintenance of sufficient high quality connected habitat for species.
7. Large-scale planted forests can provide a forest matrix within which areas of high
conservation value can be protected and managed. Encourage the establishment of representative
natural forest within the plantation estate and, where possible, the restoration of natural forests
on appropriate sites.
Forests are amongst the most biologically-rich terrestrial systems. Today, it is understood that
forest biodiversity underpins a wide range of goods and services for human well-being:
 storage and purification of drinking water
 mitigation of natural disasters such as droughts and floods
 storage of carbon and regulation of climate
 provision of food, rainfall, and a vast array of goods for medicinal, cultural and

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 spiritual purposes.
Conserving forest biodiversity is a prerequisite for the long-term and broad flow of forest
ecosystem services.
Forestry can have a variety of negative impacts on biodiversity, particularly when carried out
without management standards designed to protect natural assets.
Biodiversity loss: Unsustainable forest operations and other pressures on forest resources, such
as gathering of fuelwood, can lead to forest degradation and permanent losses in biodiversity.
Climate change: As forest ecosystems are important stores for carbon, their loss has serious
implications for climate change. Deforestation and forest degradation are estimated to cause
about 20% of annual greenhouse gas emissions (SCBD 2008).
Livelihoods of forest dwellers: Forestry can also have negative impacts on indigenous and
local communities, and on the livelihoods of other forest dwellers by competing with these
communities for access to a finite forest resource base, and by disregarding cultural or spiritual
sites and practices.
Illegal hunting: Increased hunting continues to be a major threat to forest biodiversity in many
countries. The depletion of wildlife is intimately linked to the food security and livelihood of
numerous tropical forest-region inhabitants, as many of these forest-dependent people have few
alternative sources of protein and income. Unsustainable hunting pressures are often linked to
logging activities
Illegal settlements: Another side effect of forestry operations, illegal settlements are a threat to
forest biodiversity following construction of new forest access roads to previously inaccessible
regions
8.2 Agroforestry
Agroforestry is defined as: a land-use system in which woody perennials (trees, shrubs, palms,
bamboos) are deliberately used on the same land management unit as agricultural crops (woody
or not), animals or both, in some form of spatial arrangement or temporal sequence.
 Trees can provide a range of benefits in agricultural systems:
 fruit trees for nutrition and medicinal trees to combat disease.
 fodder trees that improve smallholder livestock production
 timber and fuelwood trees for shelter and energy
 Agroforestry landscapes have higher biodiversity per unit than agricultural landscapes, and

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 they offer habitats to numerous rare species
 Agroforestry contributes to human well-being by providing additional income; increasing
food security through a higher diversity of agricultural products (e.g. fruits, nuts, and edible
oils); and by providing fuelwood and construction material and thus reducing deforestation.
8.3 Forest Landscape Restoration
 Estimates of the amount of land available for forest landscape restoration (FLR) activities
range from 350 to 850 million ha.
 The Global Partnership on Forest Landscape Restoration identifies three main principles
which characterise FLR:
1. Restoration of a balanced and agreed-upon package of forest functions;
2. Active collaboration and negotiation among a mix of stakeholders; and
3. Working across a landscape.

Restored forest landscapes may include areas protected for watershed management and nature
conservation, well-managed commercial plantations, tree buffers or strips along rivers to protect
against flooding and erosion, agroforestry systems, and planned community development.
Restored forest landscapes can provide a range of benefits such as employment opportunities, a
source of timber for forest industries and local communities, increased habitats for animals and
plants, a secure and high-quality supply of water, and recreation and tourism opportunities.
8.4 Forest Protected Area
A protected area is defined by IUCN as: an area of land and/or sea especially dedicated to the
protection and maintenance of biological diversity, and of natural and associated cultural
resources, and managed through legal or other effective means.
 Forested protected areas can help safeguard a range of ecosystem goods and services,
and are therefore a vital tool in managing for resilient forest ecosystems, and forest-
dependent communities.
 Protected areas provide valuable and numerous benefits to:
 Protect biological diversity and evolutionary processes
 Prevent and reduce poverty by supporting livelihoods, providing social and cultural
governance and subsistence values
 Ensuring breeding grounds for wildlife and fish, critical to food security
 Generate tremendous direct economic benefits, and serve as a key asset for the

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 tourism industry—critical to many developing economies.
8.5 Non-Timber Forest Product
The Millennium Ecosystem Assessment estimates that up to 96% of the value of forests is
derived from non-timber forest products (NTFPs) and services. Most of the more than 5,000
commercial forest products are non-timber products, including pharmaceuticals and food. Forests
are often the ‘pharmacy’ and ‘supermarket’ for the rural poor. Yet, the important role of NTFPs
in the national and particular rural economy is often not reflected in national statistics, or in
relevant strategies and plans. Good forest governance, including clear tenure rights and proper
law enforcement, plays a crucial role for the sustainable use of NTFPs. The most successful
approaches for governance are based on a ‘tri-partite approach’, with government, civil society,
and the private sector jointly agreeing upon necessary reforms and improvements.

8.6 Unsustainable, Unregulated and Unauthorized Harvesting

The omission of NFTPs from government development strategies and policies makes them more
susceptible to unsustainable, unregulated and unauthorized harvesting, as in the case of bush
meat hunting.
 Bush meat hunting is the extraction from the wild of any non-domesticated terrestrial
mammal, bird, reptile, and amphibian.
 Hunting for food in tropical forests is an issue of concern as the scale of hunting occurring in
these regions threatens many tropical forest species; it is also linked to the food security and
livelihood of numerous tropical forest-region inhabitants, who have few alternative sources
of protein and income.
 Greater attention must therefore be given to governance issues (e.g. policy and legislation,
links to development assistance) and treating the high-value bush meat trade as an aspect of
the national economy.
 Local empowerment of resource users is a potential key strategy to achieve long-term
sustainability.
8.7 Payments for Environment Services

Payments for environmental services (PES) can be defined as: voluntary transactions whereby a
defined environmental service (or a land-use likely to secure that service) is bought by a buyer
from a provider, on the condition that the provider secures provision of the service. PES is a type

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of economic instrument that provides incentives to land owners to supply environmental
services, which benefit society more broadly. Environmental services markets have been
developed for carbon sequestration, watershed services, biodiversity conservation, and landscape
beauty / recreation. PES projects can potentially serve the dual goals of preserving critical
ecosystem services and the biodiversity upon which they depend, while also contributing to
poverty reduction.
8.8 Role of Indigenous and Local Communities
Forests are home to an estimated 60 million indigenous people, who are directly dependent on
forest resources and the health of forest ecosystems for their livelihoods. The cultural and
spiritual identity of Indigenous Peoples is often linked to intact primary forests with their rich
biodiversity. In the Amazon basin, for example, knowledge of the medicinal, nutritional and
cultural uses of over 1,300 different forest plants is common in local indigenous communities.
Forest operations, as well as landscape-level planning, should take into account both the rights
and traditional knowledge of indigenous and local communities. The main principle for
achieving this is through the effective participation of indigenous peoples and local stakeholders
in decision-making and governance processes, on the basis of free, prior and informed consent to
any projects, plans or changes that affect their communities, traditional lifestyles, and
environment.
8.9 Forest Biodiversity in National Strategies and Action Plans
National Biodiversity Strategies and Action Plans (NBSAPs) are important national tools for the
conservation and sustainable use of forest biodiversity, but forests are also addressed in a number
of other strategies and action plans, such as Poverty Reduction Strategy Papers (PRSPs). PRSPs,
NBSAPs, National Forestry Programs, and other strategies and plans, must converge towards a
holistic approach to natural resource management at a landscape level.

National Strategy / Action Description Leading International

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Plan Process
National Biodiversity Main policy document for Secretariat of the Convention
Strategies and Action Plans national implementation of on Biological Diversity
(NBSAPs) CBD
National Forest Programmes National strategy for FAO / UNFF
(NFPs) sustainable forest management
National Adaptation National plans for UNFCCC / international
Programmes of Action implementation of adaptation implementing organizations /
(NAPAs) measures under the UNFCCC bilateral cooperation agencies
Poverty Reduction Strategy National and regional strategies World Bank and International
Papers (PSRPs) for development Monetary Fund
National and local forest Basic tool for forest decision- National and local forest
inventories and management making at local level administrations
plans

8.10 Access and Benefit-Sharing

The third objective of the Convention on Biological Diversity provides for “the fair and equitable
sharing of the benefits arising out of the utilization of genetic resources…” The properties of
some genetic resources from timber and non-timber forest products have contributed to the
development of a broad range of products, including pharmaceuticals and cosmetics. The
Convention establishes that a person or institution seeking access to a biological resource in a
foreign country in order to use its genetic material, should seek the prior informed consent of the
country in which the resource is located. The sharing of benefits, through technology transfer,
research results, training, and profits can contribute to poverty reduction and sustainable
development in biodiversity rich developing countries. Sharing of benefits can take the form of
payment of royalties, joint ownership over property rights, provision of equipment, etc.
8.11 Communication, Education and Public Awareness
One of the core principles of Sustainable Forest Management (SFM) is that it reflects a diverse
range of societal values in reference to forest conservation and use. Public awareness raising and
communication activities play a critical role in informing and educating the public, thereby
allowing them to more effectively participate in SFM decision-making. SFM requires the

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support at varying times and places from different government departments, NGOs, indigenous
and local communities, business and industry, scientists, women’s groups, youth, and
community-based groups. To work with these different groups, communication, education and
public awareness (CEPA) are crucial instruments to build trust, understanding and shared
agreements for action and to reduce conflict. CEPA is needed to help people work together and
innovate, and spread information, knowledge, values and goals.

CHAPTER 9

FOREST POLICY AND GOVERNANCE

9.1 General Overview

The forest policy framework sets overall legislative, administrative, stimulation,

communication and other conditions for forest management. It is an essential component of
sustainable forest management, considering the environmental and socio-economic conditions at
international, national and sub-national level. Forest governance and forest policy reform
processes at the national and international level provide opportunities to improve legal
frameworks, expand access to resources for local communities and indigenous people, and work
towards sustainable management of resources. Effective forest governance results in clear policy
and legal frameworks that are conducive to meaningful participation of all groups, holds
governments accountable and promotes action toward the achievement of shared goals, such as
forest protection and improved land tenure and access to natural resources.

The evidence shows that weak forest governance results in negative impacts, not just on forest
landscapes and their ecosystems, but also on societies, and, in particular, those who are most
dependent on forest lands. Poor governance in the forest sector has been a concern for several
reasons. Forest crime—such as illegal logging, arson, poaching, or encroachment—is a severe
problem. In many countries, corruption in the forest sector (e.g., in concession allocation and
revenue collection) and rent seeking have led to the loss of public revenue and diminished the
reputation of forest agencies in the eyes of the public.

Poor governance in the forest sector is an impediment to achieving optimum development

outcomes in the sector. In developing countries, an estimated 1 billion rural poor depend at least

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partially on forests for their livelihoods, and about 350 million live in and around forests and are
heavily dependent on them for economic, social, and cultural needs. Forests ensure the
sustainability of environmental services such as biodiversity conservation, carbon sequestration,
and watershed protection. All these services are at risk if forests are not managed in a sustainable
manner or governance is poor. For example, forests can play an important role in climate change
mitigation, but these expectations cannot be met if forests and rural landscapes in general are
poorly managed. Thus, all schemes to reduce emissions from the Reducing Deforestation and
Forest Degradation program (REDD+) emphasize the fundamental importance of good
governance.

9.2 Forest Management Problems of Ethiopia

Potential Opportunities of Forestry Development and Conservation in Ethiopia

In Ethiopia, there are several potential opportunities for better forestry development and
conservation practice. These opportunities includes: Existence of forest policies and legislations
(the development and promotion of CRGE; watershed protection; increasing demand for
organic forest products; involvement of NGOs and donor support for in situ conservation of
biodiversity), the presence of large land size and diversified types of agro ecology (extensive
area for forest development (identified and demarcated), best practice on area enclosure,
afforestation/ reforestation program, the presence of potential plantation species, agroforestry
practices, payments for environmental services such as carbon financing from REDD+;
Participatory forest management are some of them. In order to minimize various forms of
threats to vegetation cover, the country has been striving for different conservation strategies
like, watershed management, afforestation, and reforestation, restoration, and rehabilitation
programs. These practices were found crucial to achieve better vegetation cover and contribute
to improve livelihoods of local people

Ethiopia is one of the centers of biodiversity in the world and it relies on its diverse biological
resources mainly on forests for its national and local socio-economic development. However,
these resources are now under severe pressure and the socio-economic contribution of the
forestry sector is still lowest amount and not as it is expected in the country. Despite the
potential opportunities, there are a number of challenges in development and conservation of
forest resources in Ethiopia. habitat and species are being lost rapidly as a result of the

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combined effects of environmental degradation, agricultural expansion, deforestation and over
harvesting of species and this is further enhanced by human and livestock population increase
thus hastening the overall rural livelihood impoverishment and loss of the biological diversity in
Ethiopia. The decline of vegetation cover is one of the most serious challenges facing
humankind today. The forest resources in Ethiopia have been declining from time to time both
in size as well as quality. These problems are challenging the forestry sub-sectors. Deforestation
and forest degradation, livestock and free grazing system, forest fire, an increasing demand for
wood and wood products, etc. appear to be the major challenges to forest development and
conservation in Ethiopia. Such challenges pose a significant threat to the future wellbeing of the
human and animal populations that have for generations, relied on these resources to combat
various ailments.

Challenges of Forestry Development and conservation in Ethiopia

Despite the potential opportunities, there are a number of challenges in development and
conservation of forest resources in Ethiopia. Habitat and species are being lost rapidly as a
result of the combined effects of environmental degradation, agricultural expansion,
deforestation and over harvesting of species and this is further enhanced by human and
livestock population increase thus hastening the overall rural livelihood impoverishment and
loss of the biological diversity in Ethiopia. The decline of vegetation cover is one of the most
serious challenges facing humankind today. The forest resources in Ethiopia have been
declining from time to time both in size as well as quality. These problems are challenging the
forestry sub-sectors. Deforestation and forest degradation, livestock and free grazing system,
forest fire, an increasing demand for wood and wood products, etc. appear to be the major
challenges to forest development and conservation in Ethiopia that this review focused on it.
Such challenges pose a significant threat to the future wellbeing of the human and animal
populations that have for generations, relied on these resources to combat various ailments.

Deforestation and forest degradation Forest degradation and its causes in Ethiopia

It is estimated that in Ethiopia, 40 percent of the land area was covered with forests at the
beginning of the 19th century. Despite the rich biodiversity resources and the potential benefits
from biodiversity including forests, today’s threats to species and ecosystems are the greatest
recorded in recent history. Ethiopia currently faces a number of environmental challenges. The

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forest resources in Ethiopia are depleting due to deforestation and forest degradation. One of the
major challenges facing Ethiopia in its struggle for agricultural development is environmental
degradation, which is the process of progressive deterioration of biological (flora and fauna)
and physical (soil, water, micro-climate, etc.) resources of the land, as well as loss of
biodiversity. Deforestation is the conversion of forest to an alternative permanent non-forested
land use such as agriculture, grazing or urban development. Deforestation is a primarily concern
for developing countries in the tropics as it is shrinking areas of the tropical forests causing loss
of biodiversity and enhancing the greenhouse effect. Deforestation and conversion to permanent
cultivation is the primary cause for declining tropical biodiversity in Ethiopia and the practice
has already threatened a number of plant species, including the gene pool of wild populations of
Coffee arabica . The National Conservation Strategy of the Federal Democratic Republic of
Ethiopia (FDRE) identifies deforestation as a major problem, not only in the forest sector, but
also as it affects other sectors such as crops, animal husbandry, water resources, and wildlife
habitat, as a result of which people are suffering from poverty and food insecurity. A significant
deforestation rate (160,000 to 200,000 ha yr-1) in the country has resulted in shrinkage of high-
forest cover from 16% in the 1950s to 2.7% in the early 1990s. Ethiopia lost over two million
hectares of forest, with an annual average loss of 140 000 hectares between 1990 and 2005.

Different studies show that land and forest degradation, often caused by deforestation, is a
severe problem in Ethiopia. This degradation virtually is largely caused by directly or indirectly
from human activities and mismanagement, aggravated by rapid population growth and the
consequent increase in the need to exploit the natural resources unsustainably. The forest
degradation in Ethiopia is closely linked to the ongoing population growth. Biodiversity in
Ethiopia is being negatively impacted by human activities. It is estimated that 83% of
endangered plant species loss is primary caused by human activities. More people generally
lead to an increasing demand on land for living and for agricultural production. Forests have
become depleted at a large scale as a result of expansion of agriculture and settlement areas.
Population growth in highlands exerts great pressure on the natural forests. As a result,
northwestern highlands of Ethiopia have only fragments of natural forests scattered & confined
to inaccessible and sacred places, which suggested that the highlands were once covered by
high forests. In Ethiopia, the majority of the tree plantings operations are not successful either
due to technical and other constraints. Declining standard of livelihood or poverty of the

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farming communities and their close dependence on forests have led to clearing/burning of the
forest resources for subsistent farming, cutting of trees/shrubs for fuel wood and charcoal
production (both for consumption and sale). Similarly, increasing demand and rise in market
value of forest products such as office and household furniture resulted in selective harvesting
pressure on some forest trees particularly indigenous species such as Cordia africana and
Hagenia abyssinica. Therefore, the impacts of human activities on forests have been significant,
with average annual deforestation rates estimated at 85,000 ha per year. The forest resources of
Ethiopia’s are increasingly under threat as the growing population requires more fuelwood and
agricultural products, which leads to farmland expansion. Road, energy and water infrastructure
construction is also accelerating deforestation and forest degradation in Ethiopia. Projections
indicate that unless action is taken to change the traditional development path, an area of 9
million ha might be deforested between 2010 and 2030. Forests in general have reduced from
covering 65% of the country and 90% of the highlands to 2.2% and 5.6% respectively.
Deforestation is major problem in Ethiopia as the people rely on biomass energy for cooking.
However, large scale forest destruction at the national level is not the only change, rather major
land cover changes have also occurred at the local level. These local level changes play a
pivotal role in affecting the health and existence of forest ecosystem.

Forest degradation and its consequences in Ethiopia

Deforestation takes place in both forests and farm woodlands and is recognized as the most
severe environmental problem in Ethiopia. Human interference, mainly for subsistence and
economic reasons, is the most chronic force for the fast depletion and serious degradation of the
forest resources in Ethiopia. Forest devastation in turn has brought adverse effects on land
productivity, availability of wood products, biodiversity resources, and the tourism industry of
the country. The problems are causing bio-physical land resource degradation and hence
hampering agricultural development in the country. The problems of land degradation and low
agricultural productivity in Ethiopia, resulting in food insecurity and rural poverty, are
particularly severe in the central highlands where the average soil loss from farmland was
estimated to be 100 tons’ ha-1yr-1. Moreover, deforestation coupled with improper crop
production practice on the mountainous topography that dominates the highlands of Ethiopia is
considered to be the root cause of the excessive soil erosion in the country. In general, reduction
in forest cover has number of consequences including soil erosion and reduced capacity for

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watershed protection with possible flooding, reduced capacity and loss of biodiversity. This
leads to instability of ecosystem and reduced availability of various forest products and services
as well as threat and decline in number and distribution of many plant species.

Livestock and free grazing system

Agriculture is the foundation and dominant sector of Ethiopian economy accounting for 52% of
the GDP, over 80% of the total export revenue, supplies around 73% of raw materials
requirements of agro-based domestic industries and employs about 85% of the labor force.
Livestock is the integral component of the agriculture on which 83% of the population depends.
Ethiopia has the largest livestock population in Africa with 52.1 million heads of cattle, 24.2
million sheep, 22.6 million goats and 44.9 million poultry. In developing countries like
Ethiopia, livestock play an important role in most small-scale farming systems. Majority of the
rural people keep livestock as a means of livelihood or to use livestock as inputs for various
activities. They provide draft power to cultivate fields, manure to maintain crop productivity,
and nutritious food products for human consumption and income-generation including
insurance against risks. However, there are many constraints in livestock production in
Ethiopia. Among constraints of livestock production, inadequate livestock nutrition is a major
factor affecting the development of viable livestock industries. Livestock production in the
tropics (including Ethiopia) is mainly sustained on free grazing as a major feed source. 75%
livestock population is concentrated and grazes in the highlands. The remaining 25% graze in
the rangelands. Livestock feed sources in Ethiopia, ruminants and equines are mainly (80- 85%)
natural grazing. Animal husbandry is largely constrained by feed quality and availability due to
an imbalance between animal population and pasture size and productivity. The availability of
browse to animals, especially in the dry seasons is essential when grass and herbaceous legume
forages are scarce. In Ethiopia, livestock density and unfettered grazing patterns lead to
overgrazing. Since animal yield is low due to genetic and managerial problems the natural
reaction of farmers has been to increase their herds. Overstocking and overgrazing associated
with poor livestock management, mainly based on the free grazing system causes biological and
physical resource degradation. Overgrazing is believed to be the most important cause of soil
degradation worldwide, sharing about 35.8% of all forms of land degradation. This showed that
heavy grazing pressure significantly increased surface runoff and soil loss and reduced
infiltration capacity of the soil which in turn undermines suitability of sites for germination. The

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natural regeneration of the forest resources is difficult due to high populations of grazing and
browsing livestock within the forests. Livestock can compact soil, exacerbate erosion, consume
and trample tree seeds, seedlings and browse saplings, and thereby preventing forest
regeneration. Though the magnitude of the reduction depends on the tree species involved,
livestock grazing affecting regeneration of tree species and healthy population forest structure.
The free grazing system has a negative effect on the conservation efforts, as trampling animals
often damage planted seedlings in open fields as well as physical conservation structures such
as stone terraces and soil bunds. Forests grazing clearly had a strong negative effect on
germination, seedling survival and growth of seedlings although species effects are different to
some extent. The lack of regeneration for a number of tree species can be related to the negative
grazing impact. Therefore, to achieve indigenous tree species regeneration in natural forests and
plantation establishment efforts controlling livestock pressure is mandatory.

Forest fire hazards in Ethiopia

Fires are a major tool used in clearing the forest for shifting and permanent agriculture and for
developing pastures. Fire has been a constant companion of humans; we have used it to our own
benefit and been threatened by it. This means that fire used responsibly can be a valuable tool in
agricultural and forest management but if abused it can be a significant cause of deforestation.
Forest fires have varied causes, but the majority is due to human influences, while few are due
to natural causes such as lightening. The traditional practice of using fire as a means to prepare
land for agriculture and the enormous demographic growth intensify the impact of forest fires.
In the highlands of Ethiopia, where there is rapid population growth, fires are used as the major
tool to clear forest land and convert it to agricultural use. Smoking out wild bees in order to
gather honey is also another cause of forest fires. Both wild and deliberate fire are frequent in
some parts of the country (e.g. North Gondar, Bale, Benishangul Gumuz Regional State) and
are causing serious damages on forest genetic resources. More than 90% of forest fire is caused
by human activity. As FRA indicates, over 16,000 ha of forest area was affected by fire in
Oromia Regional State alone. On the other hand, cigarette-caused fires mostly occur in areas
where there is a large amount of traffic on roadsides, particularly along main trucking routes or
in forest areas that must be crossed on the way to major town markets. Ethiopia is still not
prepared and does not give adequate attention to efficiently protect its natural forest resources.
Many other fires have been caused by negligence and carelessness of those people who permit

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agricultural burns to get out of hand or where control burns in forests have escaped from the
burn area. Fire is a major hazard to a natural forest stands especially during the dry season.
When forest’s litter (dead leaves and small branches on the ground) and dead stems and other
grasses are flammable, hence the forest becomes susceptible to fire. It is known that Ethiopian
farmers have been using fire as a means of production or as a farming tool for a long time.
Every year, just before the short rainy season, when farmers start preparing their land, it is
common to see deliberately set fires. Most of the fires are attended, managed and controlled by
the community members who set it. There are also fires set recklessly or accidentally. Despite
inherent potential risks with fires, farmers consider it as the cheapest and most common tool
used for a variety of production activities. However, there have been times when fires have
broken out on a large scale and brought about serious economic, political, social and
environmental shocks and devastation. Historical evidence indicates that high forests of
Ethiopia remain victims of war, conflict and forest fires. Yodit/ Gudit (849-897 A.C.) ordered
her army and the local people to set fire to forests stretching from Tigray to Gonder and Wello
in suspected hiding grounds for the soldiers of Emperor Dilnaad. Similarly, Gragn Mohamed
(1527-1542 A.C.) ordered his troops to clear and burn all the forests stretching from the eastern
lowlands to the central highlands to make access to battlefields easier and to destroy strategic
hiding grounds of the soldiers of Emperor Libne Dingil and clergies. Prior to the forest fires in
2000, the last major outbreak was in 1984 when the fires damaged approximately 308,200 ha of
forests.

Demand for forest products

Ethiopia recognizes the key role forestry plays in setting the country on a sustainable and green
development path. The current 15.5 per cent forest cover is inadequate to provide an economic
and ecological support system in this mountainous and climatically precarious country. While
protecting the existing 17.35 million hectares of forest, Ethiopia also intends to undertake
largescale afforestation and reforestation to increase total forest cover to 30 per cent by 2030.
Afforestation and reforestation are also key to alleviating the pressure on natural forests.

To support the implementation of national restoration and economic targets and initiatives,
Ethiopia has introduced a new forest law in 2018 “Forest Development, Conservation and
Utilization” in which different options and incentives are listed to attract private sector

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engagement in the forestry sector to contribute to the effort of restoring degraded lands by the
public and the government. This law has also categorized forests based on the type of forest and
ownership status into:

State forest: means any exclusively, conserved, and productive forest, which is under the
ownership of the Federal Government or a Regional State;

Private forest: means a forest other than State, association and community, and developed on
private or institutions’ holdings;

Community forest: means a forest developed, conserved, utilized and administered by the
community on its private or communal possession based on by laws and plans developed by the
community; Association forest: means a forest developed, conserved, utilized and administered
by associations established to develop forest;

Participatory forest management means a forest management approach executed through the
agreement between the state and the local community that inhabit inside or around the forest area
over the management, protection and utilization of forests owned by the state on the basis of
predefined responsibilities and benefit sharing mechanisms.

Concession: means a contract given to a person with legal standing to develop, conserve or to
utilize a given State forest for a defined period;

Protected forest: means a forest that provides various ecosystem services and is utilized in
accordance with a forest management plan developed by the responsible body without affecting
the sustainability of the forest eco-system value.

Preserved forest: means a forest that is free from human and domestic animal intervention
preserved for the purpose of conservation of biological diversity, historical and research purpose;

Production forest: means a forest that is mainly developed for economic purpose;

Plantation forest: means a forest developed by humans;

Natural forest: means a forest which is composed of naturally grown trees, shrubs and other
woody and non-woody plants.

Ethiopia’s economic growth requires an increasing use of forest resources, including wood
products for construction, furniture, electrification, and the pulp and paper industry. Further,

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nontimber forest products such as bamboo, honey, forest coffee, fodder, gum and resin, beeswax,
traditional medicinal herbs are important sources of livelihood for local forest-dependent
communities. Forest establishment and sustainable management not only contribute to economic
goals, but also have significant potential to generate social and environmental benefits, reduce
poverty in rural areas while addressing land degradation, soil erosion and improving water
filtration and retention.

9.3. Ethiopian Forest Policy, Strategies and Laws

A forest policy is a purposeful course of action, or inaction, undertaken by an individual or an

organization that is dealing with a concern regarding the use of forest resources. A new era in
forest governance started in 1975 after a new socialist government came to power. This
government gave high political attention to forestry. Forest governance in Ethiopia is
characterized by the complex interaction of factors such as nationalization of land, weak state
structures, the persistence of traditional local institutions, and socio-cultural heterogeneity
promoted by state-enforced resettlement. What are the important characteristics of forest policy
and laws? Core issues addressed in forest policies may include the extent of forest resources
(including goods and services); forest biological diversity; forest health and vitality; the
productive functions of forest resources; and the legal, policy and institutional frameworks.

The 2018 National Forest Law – a revised version of the 2007 forest law – now clearly
recognizes the rights of communities and acknowledges their role in managing natural forests
and establishing plantations, without unduly compromising ecological services or biodiversity

9.4. Local Forest Governance in Ethiopia

Effective governance is key to ensure sustainable use and conservation of the world’s forest
cover and resources. In the second half of the 20th century, many African countries underwent
transformation processes in which forest governance structures became increasingly formalized
and top‐down state‐administered. However, in reality many formally government‐owned forests
in Africa are managed on the basis of community‐initiated local institutions. Local institutions
represent the critical forest governance module by providing determinations and regulations
defining human access to forest resources, thereby “bringing order into disorder”. They often

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provide the legislative power defining which person has in practice the right to use which forest
resource, to what extent, and at what time. In this sense they are not neutral, but may contradict
individuals’ attempts to gain short‐term benefits and can grant or deny individuals or groups
access to forest resources. In many developing countries, local institutional settings are
characterized by structural plurality and imbalances between actors as well as conflicts arising
out of these features, especially when resources are central to local livelihoods, as forest
resources often are.

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