E/CN.17/IPF/1996/10 SCIENTIFIC RESEARCH, FOREST ASSESSMENT AND DEVELOPMENT OF CRITERIA AND INDICATORS FOR SUSTAINABLE FOREST MANAGEMENT

United Nations

E/CN.17/IPF/1996/10

Economic and Social Council

Distr. GENERAL
20 February 1996
ORIGINAL: ENGLISH

COMMISSION ON SUSTAINABLE DEVELOPMENT
Ad Hoc Intergovernmental Panel on Forests
Second session
11-22 March 1996
Item 4 of the provisional agenda*

* E/CN.17/IPF/1996/1.

SCIENTIFIC RESEARCH, FOREST ASSESSMENT AND DEVELOPMENT OF
CRITERIA AND INDICATORS FOR SUSTAINABLE FOREST MANAGEMENT

Programme element III.2: Criteria and indicators for sustainable
forest management

Report of the Secretary-General

SUMMARY

The present paper reviews the extent and status of on-going activities
aimed at the definition of criteria and indicators for sustainable forest
management. It examines basic principles, common denominators and
comparability of the criteria and indicators presently under development and
testing by the ITTO and within the Helsinki, Montreal, Tarapoto and Dry Zone
Africa processes. The paper underlines the need for increased, inter-sectoral
linkages and improved information exchange to clarify and promote issues
underlying the emerging, broadened concept of sustainability in forestry
development. It stresses the desirability of urgently arriving at common
concepts and terminology, and draws attention to continued and increased need
for international dialogue to help facilitate common understanding and
compatibility of action between countries and regions. The paper makes some
preliminary suggestions for issues on which the Ad Hoc Intergovernmental Panel
on Forests may wish to focus its discussions in the future.

CONTENTS

Paragraphs Page

INTRODUCTION ............................................... 1 - 10 3

I. OVERVIEW OF CRITERIA AND INDICATORS FOR SUSTAINABLE
FOREST MANAGEMENT .................................... 11 - 24 5

II. CURRENT STATUS ....................................... 25 - 38 16

A. International initiatives prior to UNCED ......... 25 16

B. Post-UNCED initiatives ........................... 26 - 38 16

1. Intergovernmental initiatives for action at
the national level ........................... 27 - 33 16

2. Action at forest management unit level by
Governments and non-governmental organizations 34 17

3. Field testing of criteria and indicators at
national and forest management unit levels ... 35 - 38 17

III. EFFORTS TOWARDS THE EXTENSION OF THE PRESENT COVERAGE
AND COMPARABILITY BETWEEN INITIATIVES ................ 39 - 48 18

IV. HIGHLIGHTS OF EXPERIENCES: LESSONS LEARNT ........... 49 - 59 23

A. Definitions of national-level criteria and
indicators ....................................... 49 - 55 23

B. Links between national and forest management unit
level activities ................................. 56 - 59 24

V. PRELIMINARY SUGGESTIONS FOR ITEMS FOR DISCUSSION ..... 60 25

INTRODUCTION

1. This document reports on implementation of decisions of the United
Nations Conference on Environment and Development (UNCED) related to the
second programme element of Category III, "Scientific research, forest
assessment and development of criteria and indicators for sustainable forest
management", of the work programme of the Ad Hoc Intergovernmental Panel on
Forests. It includes a general overview of the issue, a short update of the
current status, followed by a description of the range of considerations for
the initial discussion of this programme element at the second session of the
Panel.

2. The work under programme element III.2 is guided by the decisions taken
by the Commission on Sustainable Development at its third session in
April 1995 and further elaborated by the Panel at its first session in
September.

3. At the third session of the Commission, the follow-up to UNCED in
forestry was reviewed and discussed and the development of criteria and
indicators for sustainable forest management was identified as being among the
major tasks and priorities for the Panel, which was established within the
framework of the Commission. More specifically, the Commission requested the
Panel to "encourage national implementation of criteria and indicators for
sustainable forest management and study the feasibility of further developing
internationally agreed upon criteria and indicators against which progress
towards sustainable forest management of all types of forests could be
measured, taking into account the specific regional and subregional conditions
of forests and the diversity of economic, social and cultural
environments". 1/ The Commission further requested that the work of the Panel
"facilitate the engagement of regions and countries not yet involved in
developing criteria and indicators of sustainable forest management; share
experiences in testing and implementing them; and examine the need to promote
comparability and the appropriateness of convergence among international
initiatives in this regard". 2/

4. At its first session, held in New York from 11 to 15 September 1995, the
Panel decided to undertake initial discussion of the issue of criteria and
indicators at its second session and requested that "A report for discussion
under this item should include, for all types of forests: a review of
experience of the development and implementation of national level criteria
and indicators; an exploration of ways and means of facilitating the
engagement of regions and countries not yet involved in a process for the
development of criteria and indicators; and an examination of the need to
promote comparability as well as the appropriateness of international
compatibility in this regard, should this be judged necessary. Work under
this element should take into account regional and subregional characteristics
of forests and the diversity of economic, social and cultural environments.
The report should consider the progress of various initiatives including those
of ITTO, the Helsinki Process, the Montreal Process, the Tarapoto Process as
well as the results of FAO/UNEP regional meetings" (E/CN.17/IPF/1995/3, para.
18, III.2). The present paper has been prepared to facilitate discussion in
this regard.

5. At its first session the Panel decided to schedule programme element
III.2 for initial discussion at the second session, to be held in Geneva from
11 to 22 March 1996.

6. The present report was prepared by the Food and Agriculture Organization
of the United Nations (FAO) as lead agency for programme element III.2, in
consultation with the secretariat of the Ad Hoc Intergovernmental Panel on
Forests in the Division for Sustainable Development of the Department for
Policy Coordination and Sustainable Development of the United Nations
Secretariat. Comments and inputs were also received from the World Bank.

7. The report is an initial response to the request of the Panel at its
first session, taking into account the complexity of the subject and the fact
that the Panel had decided on an initial discussion of this topic at its
second session and a substantive discussion at its third session.

8. The pivotal role of all types of forests in sustainable development was
recognized at the UNCED Conference. The Non-Legally Binding Authoritative
Statement of Principles for a Global Consensus on the Management, Conservation
and Sustainable Development of All Types of Forests (the "Forest
Principles"), 3/ agreed upon at the Conference, underlined the need to
reconcile the productive functions with the protective, environmental and
social roles performed by forests.

9. Consistent with the Forest Principle 8 (d), and in accordance with
principles contained in chapter 11 of Agenda 21 of UNCED, "Combating
Deforestation", Governments agreed to pursue, in cooperation with special
interest groups and international organizations, "the formulation of
scientifically sound criteria and guidelines for the management, conservation
and sustainable development of all types of forests" (sect. 11.22 (b)).

10. The above agreements constituted major catalysts to actions aimed at the
definition of criteria and indicators for sustainable forest management at
regional and national levels. Criteria and indicators for sustainable forest
management also constituted a major focus of several international post-UNCED
meetings. The Seminar of Experts on Sustainable Development of Boreal and
Temperate Forests organized by the Conference on Security and Cooperation in
Europe (CSCE), held in October 1993 in Montreal, Canada, contributed to the
Helsinki and Montreal Processes. The significance of criteria and indicators
was underlined in the Bandung Declaration, arising from the Global Forest
Conference, organized by the Government of Indonesia (February 1993); the New
Delhi resolution, passed by the international workshop, Towards Sustainable
Forestry: preparing for the Commission on Sustainable Development 1995
(July 1994), organized jointly by India and the United Kingdom of Great
Britain and Northern Ireland; and the conclusions and recommendations of the
workshop, Science, Forests and Sustainability - a policy dialogue, organized
jointly by the Government of Indonesia and the Centre for International
Forestry Research (CIFOR) (December 1994), and the Tarapoto Proposal of the
Amazon Cooperation Treaty. The two meetings of the Inter-Governmental Working
Group on Global Forests (April 1994 and October 1994), sponsored jointly by
the Governments of Malaysia and Canada, also included criteria and indicators
for sustainable forest management among the seven items discussed. 4/

I. OVERVIEW OF CRITERIA AND INDICATORS FOR SUSTAINABLE
FOREST MANAGEMENT

11. Sustainable forest management is commonly viewed as one of the most
important contributions which the forestry sector can make to sustainable
development objectives of many nations, particularly those richly endowed with
forests.

12. In general terms, sustainable forest management deals with the
administrative, economic, social, legal, technical and scientific aspects of
the conservation and sustainable use of forests within the framework of
technically sound and politically accepted national land-use plans. It
implies various degrees of human intervention, ranging from action aimed at
safeguarding and maintaining the structure and function of forest ecosystems,
to favouring socially or economically valuable species or groups of species
for the improved production of goods and environmental services.

13. In operational terms, sustainable forest management includes the
formulation and implementation of forest management plans, which help to
control and regulate harvesting of specified goods, combined with
silvicultural and protective measures applied in varying intensity to sustain
or to enhance the social, ecological and economic value of subsequent
generations of the managed forests.

14. During the past decade, the perspective on forests has evolved from
management of forests largely for sustained yield of wood to environmentally
sustainable forest management. This changing perspective may be described as
follows:

Sustained yield of wood, timber and other products, such as fruits
and berries, fodder, gum arabic, tannins, cork, game animals etc. has
for decades, in some cases for centuries, been a stated aim of forest
management in many countries around the world. Harvesting of priority
products, especially in developed countries, was frequently combined
with the provision of selected environmental services (notably
maintenance of the biological resource base, including the wildlife and
the conservation of soil and water) and, with efforts to enhance
recreation and aesthetic values of forests and woodlands for an
increasingly urbanized human population. Social aspects and multiple
benefits have been, and continue to be, at the centre of forestry
activities in diverse conditions such as, for example, those in Finland
(smallholder forestry for wood and timber production, for sustenance and
off-season income generation of farmers), and the Sudan (income
generation from the collection of gum arabic from the fallow crop by
small-scale farmers).

15. Environmentally sustainable forest management recognizes that forests
simultaneously provide a wide range of socio-economic, environmental and
cultural benefits, values and services at the local, national, regional and
global levels. Forests are no longer viewed as primarily a source of
industrial or fuel wood but as complex ecosystems that need to be maintained
in a healthy state for the benefit of present and future generations. A shift
from sustained yield to sustainable forestry requires a corresponding shift
from forest management to forest ecosystem management.

16. Approaches to the implementation of environmentally sustainable forest
management are yet in a state of infancy. Lack of implementation is partially
attributed to lack of resources, expertise and political commitment and to
insufficient availability of factual and scientific information on, for
example, successional change and variables such as growth and yield of tree
species under varying intensities of forest management, relationship between
harvesting practices and forest ecosystem functions etc. The lack of
scientifically sound information is even more acute in relation to ecological
processes on which increasing emphasis has been made in recent years. These
include information on, for example, long-term influence of varying
intensities of harvesting of wood and non-wood products on associated species
and on-site productivity in different climatic and soil conditions; ecosystem
dynamics; evolution and evolutionary potential of forest-dependent species;
the role and importance of intra-specific variation in the buffering of forest
ecosystems against environmental change etc. Information is also largely
lacking on a range of social and economic variables, without which the
balancing of the various components of sustainability, as defined at UNCED,
cannot be assured.

17. In accordance with forest-related agreements reached at UNCED, the use
and potential of forests should include productive, protective and
environmental functions. There is now an urgent need to reach international
consensus on the principal elements of sustainable forest management. There
is, however, a need to ensure wide, field-level application of forest
management practices that satisfy the notion of sustainable forest management.

18. Criteria and indicators are tools that can be employed both in
characterization and in implementing, or moving towards sustainable forest
management in its broadest sense.

19. The role of criteria is to characterize or define the essential elements
of forest management against which the sustainability of forestry practices
may be assessed. Each criterion relates to a key element of sustainable
forestry and may be characterized by one or more related quantitative,
qualitative (i.e. descriptive) indicators. Through periodic measurement and
monitoring of these indicators, the overall impact of forest management
interventions, or effects of non-intervention, can be assessed and corrective
action undertaken to meet stated aims and objectives.

20. Criteria and indicators may be identified at various geographic levels:
global, regional (and eco-regional), national and subnational, i.e. the forest
management unit level. Criteria and indicators are essential to: 5/

(a) Characterize sustainable forest management (criteria) and to provide
quantitative and qualitative yardsticks (indicators) to assess progress
towards sustainable forest management;

(b) Formulate policies, regulations and guidelines governing sustainable
forest management;

(d) Clarify issues related to certification of forest products from
sustainably managed forests;

(e) Develop consensus on concepts, terms and related vocabulary to
facilitate ongoing international dialogue on sustainable forest management;

(f) Facilitate international cooperation and assistance aimed at
sustainable forest management.

21. At the level of forest management unit, it should be noted that all
national and/or internationally agreed criteria for sustainability may not be
fully applicable. For example, a particular forest management unit with
limited forest areas may not be significant in terms of biological diversity
or carbon sequestration. However, at the national aggregate level, the
applicable criteria must meet the acceptable levels of performance in order to
maintain forests as healthy ecosystems.

22. Accordingly, it would be generally acceptable to prioritize and assign a
priority status among agreed criterion and to its related indicators in any
one forest area to reflect local circumstances.

23. Over the past years, attempts have been made, in a number of
international initiatives, to identify criteria and define indicators
corresponding to each criterion. The number of countries involved in these
initiatives, and the ecological region and the area covered by each is
summarized in table 1.

24. A review of these ongoing initiatives shows that the criteria in all of
the given initiatives include the following six elements:

(a) Extent of forest resources (table 2)

(b) Biological diversity (table 3)

(d) Productive functions (table 5)

(e) Protective and environmental functions (table 6)

(f) Development and social needs (table 7)

In addition, all initiatives except the Helsinki process, include the
criterion:

(g) Legal policy and institutional framework (table 8). 6/

Table 1. Coverage of ongoing initiatives on criteria and
indicators for sustainable forest management by
ecological region a/

------------------------------------------------------------------------------
Ecological region and initiative a/ Number of Forest area
countries (thousand hectares)
b/
------------------------------------------------------------------------------

Temperate and boreal forests c/

Helsinki Process (incl.
Russian Federation) 38 d/ 904 577

Montreal Process (incl.
Russian Federation) 12 e/ 1 500 000

Tropical forests

ITTO producer countries f/ 25 1 305 046
Tarapoto Proposal g/ 8 540 000 h/

Dry-zone forests

Sub-Saharan dry-zone Africa i/ 27 278 021

Initiatives planned

North Africa and the Near East 18 10 573
------------------------------------------------------------------------------

a/ As of December 1995.

b/ Information on forest area is taken from FAO forestry papers, No. 112
and No. 124.

c/ Some countries are represented in more than one initiative, notably
Russia (with a forest area of 739,729,000 ha), which is included in both the
Helsinki and the Montreal processes.

d/ The number of countries refers to signatory States to Helsinki
resolutions H1 and H2; plus those newly independent States that subsequently
participated in the work of the Helsinki Process; plus Albania (which did not
originally sign the resolutions, but which has participated in the work of the
Helsinki Process recently). See note 7 to main text for list of participating
countries.

e/ Argentina and Uruguay joined the Montreal Process at its seventh
session in New Zealand in November 1995. See note 8 to main text for list of
participating countries.

f/ At the end of 1995, ITTO had 54 member countries. The forest area
indicated in the present table includes that of the 25 producer countries
which are members of the organization.

g/ Of the eight participating countries, only Suriname is not a member
of ITTO. See note 9 to main text for list of participating countries.

h/ Amazonian forests only.

i/ Including member countries of the permanent Inter-State Committee on
Drought Control in the Sahel (CILSS), the Intergovernmental Authority for
Drought and Development (IGADD) and the Southern Africa Development Community
(SADC).

The extent of compatibility of various criteria and associated indicators
between five initiatives is remarkably significant (tables 2-8).

Table 2. Review of national level indicators of the
criterion "Extent of resources", included
under various initiatives

------------------------------------------------------------------------------
Extent of forest resources HELS. MONT. a/ ITTO TARA. Dry-Z
indicators Africa
------------------------------------------------------------------------------

Area of forest cover Yes - Yes Yes Yes b/

Wood-growing stock Yes - - No Yes

Carbon stock Yes Yes - No -

Successional stage - Yes - Yes No

Age structure Yes Yes Yes No No

Rate of conversion of forest
cover to other uses - - - Yes Yes
------------------------------------------------------------------------------

Key: HELS.: European Process; MONT.: Montreal Process; ITTO:
International Tropical Timber Organization; TARA.: Tarapoto Proposal; Dry-Z
Africa: Proposal for the sub-Saharan dry-zone African countries. "Yes":
indicator is explicitly mentioned in the initiative; dash (-): indicator is
not fully enunciated, although it may have been implicitly considered; "No":
no explicit or implicit reference has been made to the indicator in question.

a/ The extent of the forest resources is not expressed as an explicit
criterion in the Montreal Process.

b/ Including other wooded lands and plantations (and their changes over
time).

Table 3. Review of national level indicators of the
criterion "Biological diversity", included
under various initiatives

------------------------------------------------------------------------------
Biological diversity HELS. MONT. ITTO TARA. Dry-Z
indicators Africa
------------------------------------------------------------------------------
-----------------------------------------------------------------------------

Ecosystem

Distribution of forest ecosystems Yes Yes - Yes Yes

Extent of protected areas Yes Yes Yes Yes Yes

Fragmentation - Yes - No Yes

Area cleared annually,
containing endemic species - - - No Yes

Area and percentage of
forest lands with fundamental
ecological changes - - - Yes No

Species

Number of forest-dependent
species Yes Yes - Yes Yes

Number of forest-dependent
species at risk Yes Yes - Yes Yes

Extent of mixed stands Yes - - - No

Reliance on natural regeneration Yes - - Yes Yes

Resources exploitation
systems used No No - No Yes

Measures for in situ
conservation of species at risk - - - Yes No

Genetic

Number of forest-dependent
species with reduced range - Yes - - Yes

Population levels of key
species across their range - Yes - Yes Yes

Management of genetic resources Yes - - Yes Yes

Average number of provenances No No - No Yes
------------------------------------------------------------------------------

Table 4. Review of national level indicators of the
criterion "Health and vitality", included
under various initiatives

------------------------------------------------------------------------------
Health and vitality HELS. MONT. ITTO TARA. Dry-Z
indicators Africa
a/
------------------------------------------------------------------------------

External influence

Deposition of air pollutants Yes Yes No - No

Climate change - - No Yes No

Drought No No No No Yes

Damage by wind erosion No No - No Yes

Forest vitality

Incidence of defoliation Yes Yes - - No

Reproductive health - Yes - Yes -

Bush encroachment No No No No Yes

Forest influence

Insect/disease damage Yes Yes - Yes Yes

Fire/storm damage Yes Yes - Yes Yes

Wild animal damage Yes - - - Yes

Anthropogenic influence

Domestic animal browse damage Yes Yes No No Yes

Competition from introd. plants - Yes - No Yes

Nutrient balance and acidity Yes - - Yes Yes

Trends in crop yields No No No No Yes

Percentage of population
employed in crop/livestock
farming No No No No Yes
------------------------------------------------------------------------------

a/ In the Dry-Zone African proposals, the full title of this criterion
is: "Health, vitality and integrity".

Table 5. Review of national level indicators of the
criterion "Productive functions", included
under various initiatives

------------------------------------------------------------------------------
Productive functions HELS. MONT. ITTO TARA. Dry-Z
indicators Africa
------------------------------------------------------------------------------

Percentage of forests/other
wooded lands managed according
to management plan Yes Yes Yes Yes Yes

Growing stock - Yes Yes No Yes

Wood production Yes Yes Yes Yes Yes

Production of non-wood
forest products Yes Yes - - Yes

Carbon sequestration - Yes No No No

Annual balance between growth
and removals of wood products Yes Yes Yes Yes Yes

Level of diversification of
sustainable forest production No No - Yes No

Degree of utilization of
environmentally friendly
technology No No - Yes No
------------------------------------------------------------------------------

Table 6. Review of national level indicators of the
criterion "Protective and environmental
functions", included under various initiatives

------------------------------------------------------------------------------
Protective and environmental HELS. MONT. ITTO TARA. Dry-Z
functions indicators Africa
------------------------------------------------------------------------------

Soil conditions - Yes Yes Yes -

Water conditions - Yes Yes Yes -

Management for soil protection Yes Yes Yes Yes Yes

Watershed management Yes Yes Yes Yes Yes

Areas managed for scenic
and amenity purposes - - - Yes Yes

Areas and percentages of
forest lands managed for
environmental protection - - - Yes -
------------------------------------------------------------------------------

Table 7. Review of national level indicators of the criterion
"Developmental and social needs", included under various
initiatives

------------------------------------------------------------------------------
Developmental and social needs HELS. MONT. ITTO TARA. Dry-Z
indicators Africa
------------------------------------------------------------------------------

Economic benefits

Value of wood products - Yes Yes Yes Yes

Value of non-wood products - Yes Yes Yes Yes

Hunting and recreation Yes Yes - Yes Yes

Share of forest sector in GNP/GDP Yes Yes - Yes Yes

Value from primary and
secondary industries No Yes - No Yes

Value from biomass energy No No No No Yes

Forest sector trade balance No - No - Yes

Investment in forests and
forest industries Yes Yes - Yes Yes

Economic profitability of
sustainable forest management No - - Yes No

Efficiency and competitiveness
of forest product production
and processing No No - Yes No

Rate of return on forest
investments No Yes No Yes No

Rate of recycling of
forest products No Yes No No No

Distribution of benefits

Employment generation/conditions Yes Yes Yes Yes Yes

Cultural, social and
spiritual values Yes Yes Yes Yes Yes

Forest-dependent communities - Yes Yes Yes Yes

Subsistence use/food security - Yes - Yes Yes

Average per capita income
in different forest sector
activities No - - Yes No

Impact of the economic use
of forests on availability
of forests for local people No Yes Yes Yes No

Quality of life of local
populations - - Yes Yes Yes

Other

Research, development and
education (level of expenditure) - Yes - Yes -

Relation between direct and
indirect uses of forests No No No Yes No
-----------------------------------------------------------------------------

Table 8. Review of national level indicators of the criterion
"Legal, policy and institutional framework", included
under various initiatives

------------------------------------------------------------------------------
Legal, policy and institutional HELS. MONT. ITTO TARA. Dry-Z
framework indicators a/ Africa
------------------------------------------------------------------------------

National forest policy,
legislation and regulations - Yes Yes Yes Yes

Institutional instruments
and tools - Yes Yes Yes Yes

Concrete implementation and
capacity to monitor - Yes Yes Yes Yes

Economic framework and
financial instruments - Yes Yes Yes Yes

Community consultation
and information tools - Yes Yes Yes Yes

Research and development
capacity - Yes Yes Yes Yes

Valorization of local expertise,
knowledge and technologies - Yes Yes Yes Yes

Transfer and adaptation of
appropriate technologies - - Yes Yes Yes

Capacity to implement
international instruments No No Yes Yes No
------------------------------------------------------------------------------

a/ In the Helsinki Process, this criterion is covered by descriptive
indicators identified within each of the six identified criteria.

II. CURRENT STATUS

A. International initiatives prior to UNCED

25. Prior to UNCED, guidelines for the sustainable management of natural
tropical forests had been elaborated in 1990 under the auspices of the
International Tropical Timber Organization (ITTO), followed by the definition
of ITTO criteria for monitoring of sustainability in tropical moist forests,
published in early 1992. Subsequently, in 1993, these were supplemented by
guidelines for the establishment and sustainable management of planted
tropical forests, and by guidelines on the conservation of biological
diversity in tropical production forests. In continuation of this work, ITTO
is presently developing guidelines for the protection of tropical forests from
fire, guidelines for sustainable forest industries, and guidelines for the
sustainable management of tropical tidal forests.

B. Post-UNCED initiatives

26. Since UNCED was held in Rio in 1992, significant progress has been made
on defining criteria and indicators of sustainable forest management at the
intergovernmental forest management level; and work has now started at field
testing of these criteria and indicators.

1. Intergovernmental initiatives for action
at the national level

27. Since UNCED, criteria and indicators for sustainable forest management
have been formulated through several international and national, governmental
and non-governmental initiatives. Intergovernmental activities in this
respect have been conducted mainly within the framework of three major
international initiatives.

28. The Helsinki Process focuses on the development of criteria and
indicators for the sustainable management of European forests, 7/ in line with
principles laid down in two ministerial conferences on the protection of
forests in Europe (Strasbourg 1990, Helsinki 1993). The European countries
have agreed upon 6 criteria, 20 quantitative indicators, and a number of
descriptive indicators for sustainable forest management. These are presently
being tested by countries concerned. A consolidated report on national-level
performance in these criteria and indicators was presented at the third
meeting of the Commission for Sustainable Development in April 1995.

29. The Montreal Process is carried out in follow-up of the CSCE Seminar of
Experts on Sustainable Development of Temperate and Boreal Forests, held in
Montreal in September-October 1993, and deals with the definition of criteria
and indicators for sustainable forest management in temperate and boreal
forests outside Europe. The 12 participating countries 8/ agreed in February
1995 on a set of 7 non-legally binding criteria and 67 indicators for
sustainable forest management, identified for national implementation. The
area covered by the Montreal Process encompasses forests in the northern as
well as the southern hemisphere and includes both developing and developed
countries.

30. The Tarapoto Proposal of Criteria and Indicators for Sustainability of
the Amazon Forest, was adopted in February 1995 in Tarapoto, Peru, in a
meeting held under the auspices of the Amazon Cooperation Treaty. 9/ Within
the framework of this initiative, 7 criteria and 47 indicators were identified
for national-level implementation. Criteria and indicators were also
identified for implementation at forest management unit and global levels.
The recommendations and conclusions of the meeting have been subsequently
submitted to the Governments of countries concerned for their approval and
ratification.

31. A UNEP/FAO Expert Meeting on Criteria and Indicators for Sustainable
Forest Management in Dry-Zone Africa, was held in Nairobi, on 21-24 November
1995. This initiative, its background and outcome, is described in more
detail in paragraphs 41-43 below.

32. In addition to the above initiatives, there have been moves towards
starting an intergovernmental process on the development of criteria and
indicators for sustainable forest management in Central America, under the
auspices of the intergovernmental Central American Commission for Environment
and Development (Comisio'n Centroamericana de Ambiente y Desarrollo (CCAD)).
A workshop or an expert meeting, to be organized by the Central American
countries in collaboration with FAO and other interested agencies and
institutions, is preliminarily planned to be held during 1996.

33. Notable progress has been made in further elaboration of criteria and
indicators at the national level, through multi-State holder consultation
processes in Finland and Canada.

2. Action at forest management unit level by Governments
and non-governmental organizations

34. Over the past few years, the above intergovernmental initiatives have
been complemented by a number of national activities carried out by both
governmental agencies and national and international non-governmental
organizations. The activities of the latter include, inter alia, those of the
Forest Stewardship Council (FSC) and the World Wide Fund for Nature (WWF),
which are both aimed at the identification of criteria and indicators at the
forest management unit level. In addition, the FSC offers its services to
national Governments as a "certifier of certifiers" for forest products moving
in international trade.

3. Field testing of criteria and indicators at national and
forest management unit levels

35. Simultaneously with the intergovernmental action taken to date or
planned, it has been recognized that as an integral part of such work, the
processes leading towards sustainable forest management should not be limited
to the identification of criteria and indicators, but should include their
testing, as well as field level, pilot-scale implementation.

36. Internationally coordinated efforts in the testing of criteria and
indicators at the forest management unit level are under way under the
project, "Testing Criteria and Indicators for Sustainable Management of
Forests". This project is coordinated by CIFOR in collaboration with several
governmental and non-governmental organizations in tropical and temperate
countries. The project aims at identifying those criteria and indicators that
can be considered objective, cost-effective and relevant in the assessment of
the sustainability of prevailing forest management practices, taking into
account parameters related to ecological, institutional, social and economic
conditions and needs. The project includes field trials in a number of
countries in tropical and temperate regions.

37. Interested countries are, furthermore, benefiting from work coordinated
by Canada within the framework of its national and international "Model
forests" programmes. This initiative involves the implementation of selected
stand-level criteria and indicators, carried out at pilot level in a number of
developed and developing countries. The Working Group on Timber
Certification, a European initiative under the auspices of the Timber
Committee of the Economic Commission for Europe (ECE) and FAO, is reviewing
the potential role of forest-level criteria and indicators for the
certification of forest products. A report on this work was presented to the
ECE Timber Committee in November 1995.

38. In relation to future activities to be carried out in support of the
deliberations of the Ad Hoc Intergovernmental Panel on Forestry, the
Government of Finland offered, at the third session of the Commission in 1995,
to promote and encourage national implementation and further development of
criteria and indicators for sustainable forest management as well as their
comparability and international compatibility.

III. EFFORTS TOWARDS THE EXTENSION OF THE PRESENT COVERAGE
AND COMPARABILITY BETWEEN INITIATIVES

39. From 13 to 16 February 1995, FAO in collaboration with ITTO, organized
an Expert Meeting on the Harmonization of Criteria and Indicators for
Sustainable Forest Management. The meeting included experts from countries
and organizations involved in the international processes and initiatives
mentioned above, as well as experts knowledgeable of those geographical and
ecological regions which, at the time, had not been involved in international
activities in this field. The aims of the meeting were to: (a) review the
thematic and geographical coverage of ongoing, national-level initiatives on
criteria and indicators for sustainable forest management; (b) seek ways and
means of involving countries and regions not covered by such initiatives; and
(c) promote comparability, and possible harmonization, of ongoing initiatives.

40. In line with the recommendations of the FAO/ITTO Expert Meeting, the
twelfth session of the Committee on Forestry (COFO) (Rome, 13-16 March 1995),
requested

"that FAO, in collaboration with other international organizations
concerned, promote the exchange of information, research results, data
and experience between and among [ongoing and forthcoming] initiatives,
and involve countries which had not to date been part of ongoing
international initiatives".

The Rome Statement on Forestry, issued by the ministers responsible for
forestry, meeting in Rome on 16-17 March 1995, emphasized the need to

"continue to develop and apply criteria and indicators for the
sustainable management of all types of forests, and to demonstrate and
evolve the concept of sustainable forest management through their
application, taking into account specific regional and subregional
conditions as well as the need to promote comparability in international
initiatives in this regard".

41. The FAO/ITTO Expert Meeting noted that, among others, arid and semi-arid
areas of Africa and the Near East had not received attention under the
international initiatives related to the identification of criteria and
indicators; and that the environmental conditions and socio-economic needs
governing forest management in these areas in which forestry played an
essential role in the survival and sustenance of local human populations, was
likely to require special, complementary or additional considerations not
evident in ongoing initiatives.

42. In consideration of the above, and in consultation with other
international stakeholders including the secretariat of the Commission, FAO
and the United Nations Environment Programme (UNEP) jointly organized an
Expert Meeting to discuss criteria and indicators for sub-Saharan, dry-zone
African countries (Nairobi, 21-24 November 1995).

43. The Expert Meeting requested UNEP and FAO to draw the conclusions and
recommendations of the meeting to the attention of the forthcoming African
Ministerial Conference on the Environment (1996) at its sixth session; and to
inform the secretariats of the Comite' inter-Etats de lutte contre la
se'cheresse au Sahe'l (CILSS) and the Intergovernmental Authority on Drought
and Development (IGADD), as well as the Forestry Sector Technical Coordination
Unit of the Southern Africa Development Community, of the outcome of the
Expert Meeting, for appropriate national-level action under overall,
subregional coordination. FAO and UNEP were also requested to inform the
panel of the outcome of the meeting; and to help to ensure comparability and
global compatibility of action taken.

44. The report of the UNEP/FAO Expert Meeting was submitted to the African
Forestry and Wildlife Commission at its tenth session, held in South Africa
from 27 November to 1 December 1995. The Commission endorsed the information
contained in the report, and reiterated the call for further, subregional and
regional consultation. It also stressed the need for early testing and
implementation of the national-level criteria and indicators identified in the
Expert Meeting.

45. FAO plans to organize a similar expert meeting for the Mediterranean
climate, North African and Near East countries, in collaboration with other,
concerned international organizations. The meeting will be held in October
1996 just prior to the twelfth session of the Near East Forestry Commission.
The conclusions and recommendations of the Expert Meeting will be submitted to
the Commission for consideration.

46. The degree of compatibility among the five initiatives can be assessed
in tables 2 to 8. It seems possible to arrive at a core set of globally
agreed-upon national-level criteria and a small number of corresponding,
common indicators, to assist in a shift towards sustainable management of all
types of forests (table 9).

47. Within the framework of the activities of the panel, the Government of
Finland has offered to organize a meeting to help further coordinated, global
action in the identification and in field testing and verification of
national-level criteria and indicators for sustainable forest management.
This Intergovernmental Seminar on Criteria and Indicators for the Sustainable
Management of Forests (ISCI) will, according to plans, be organized by
Finland, from 19 to 22 August 1996. A first meeting of an International
Contact Group, established by the Finnish Government to advise and help
prepare for the ISCI, was held in Finland on 17-18 December 1995.

48. As outlined in the preceding section, UNCED stressed the need to ensure
that all kinds of forests are wisely managed and that the contribution of
forests and the forestry sector to the sustainable development of nations is
fully realized. Over the past years, the commitment made at Rio has been
translated into a number of international, regional and national-level efforts
to define commonly acceptable criteria for sustainable forest management, and
to identify indicators for each of these criteria.

Table 9. Summarized overview of criteria

CriteriaHELS.MONT.ITTOTARA.Dry-Z
AfricaLevelsForest management unit No No Yes Yes NoNational Yes Yes Yes Yes YesGlobal No No No Yes NoThematic categories Forest resources: Extent of forest resources Yes a/ Yes c/ Yes Global carbon cycles Yes Yes No No d/ Forest ecosystem health and
vitality Yes Yes No - Yes Biological diversity in
forest ecosystems Yes Yes b/ Yes Yes Forest functions: Productive functions of
forests Yes Yes Yes Yes Yes Protective and environmental
functions of forests Yes Yes Yes Yes Yes Development and social needs: Socio-economic functions and
conditions Yes Yes Yes Yes Yes Institutional framework: Policy and legal framework,
capacity to implement
sustainable forest management - Yes Yes Yes Yes
Key: HELS.: European Process; MONT.: Montreal Process; ITTO:
International Tropical Timber Organization; TARA.: Tarapoto Proposal; Dry-Z
Africa: proposal for the sub-Saharan dry-zone African countries. "Yes":
indicator is explicitly mentioned in the initiative; dash (-): indicator is
not fully enunciated, although it may have been implicitly considered; "No":
no explicit or implicit reference has been made to the criterion in question.

(Footnotes on following page)

(Footnotes to table)

a/ In the Montreal Process, the forest resource is not considered a
separate criterion, but an indicator for two other criteria: (a) conservation
of biological diversity; and (b) maintenance of the productive capacity of
forest ecosystems.

b/ ITTO has developed a set of supplementary guidelines, addressing the
issue of biological diversity, rather than including this as a criterion in
its forest management guidelines.

c/ In the Tarapoto Proposal the criteria: "Extent of forest resources"
and "Biological diversity", are merged into a single criterion: "Conservation
of forest cover and of biological diversity".

d/ In the Dry-Zone African proposal, the criteria: "Global carbon
cycles" and "Extent of forest resources", are merged into a single criterion.

IV. HIGHLIGHTS OF EXPERIENCES: LESSONS LEARNT

A. Definitions of national-level criteria and indicators

49. In this regard, the Helsinki Process has concentrated on the geographic
region of Europe and thus covers boreal-, temperate- and Mediterranean-type
forests. Other initiatives, in turn, have been based on ecological regions,
or a combination of geographic and ecological regions. For example, ITTO's
Guidelines and Criteria, covers forests of ITTO producer countries in all
tropical regions; the Montreal Process encompasses the temperate and boreal
zone forests outside Europe in both the northern and southern hemispheres; the
Tarapoto Proposal includes humid tropical, tidal and riverine forests in the
Amazon basin; and the recent UNEP/FAO Dry-Zone Sub-Saharan Africa initiative
covers the arid, semi-arid and dry sub-humid-zone forests and woodlands.

50. In the initiatives described above, a range of institutional approaches
were employed. Whereas the Helsinki and Tarapoto proposals were initiated
under the umbrella of a political institutional framework, the Montreal
Process was driven by the desire of like-minded countries to work together
towards a shared objective. From a biological and silvicultural point of
view, an eco-regional approach facilitates technical and scientific level
dialogue and the formulation of proposed strategies of action. On the other
hand, there is a need to ensure early endorsement of recommendations of expert
level meetings by intergovernmental forums to ensure their political
acceptance and, thus, national implementation. Such policy level forums often
operate at subregional or regional, in addition to global, levels.

51. The step-wise approach used in many of the ongoing initiatives in the
development of criteria and indicators for sustainable forest management,
includes early dialogue and regular reviews and refinement at technical and
scientific level, complemented by subsequent policy level discussions and
endorsement of principles developed. The new and emerging initiatives in this
field may wish to examine this approach based on both ecological regions and
political (regional and subregional) groupings. The forthcoming FAO Expert
Meeting in October 1996 will focus on dry-zone, Mediterranean and
sub-temperate forests in North Africa and the Near East, and cover those
countries which collaborate within the framework of the Near East Forestry
Commission; the Central American initiative, presently in the planning stages,
is likely to cover humid and sub-humid forests and woodlands and involve
countries collaborating within the framework of the CCAD. In summary it can
be concluded that both technical and scientific agreement and policy level
approval and endorsement, are essential for success.

52. Many recent forums concerned with the issue of criteria and indicators
for sustainable forest management at national level have consistently
recommended further strengthening international dialogue and ongoing efforts
on this topic. In these forums, special reference has been made to the need
to expand activities to cover all kinds of forests, with a view to arriving at
a complete global coverage of clearly defined criteria and indicators of
sustainable forest management, applicable to countries in all geographic and
ecological regions of the world. Accordingly, encouragement of
country-driven, eco-regional and other regional initiatives, carried out under
an international umbrella, that can complement ongoing initiatives, may be
considered. There is a need to provide, to the extent possible, international
guidance and support to these initiatives.
53. To promote common understanding there has, further, been a general
consensus that the use of internationally agreed-upon concepts and commonly
accepted methodologies for measurement and evaluation, should be actively and
vigorously promoted. 10/ Whenever possible, already existing and accepted
international terminology should be employed to help to further international
dialogue, promote comparability and compatibility between initiatives and,
eventually, to help to facilitate possible harmonization of initiatives. 11/

54. Throughout the development of the various processes and initiatives
concerned with criteria and indicators of sustainable forest management, there
has been frequent contacts between them. It is essential that vigorous
dialogue continue to be facilitated among such initiatives, as well as between
ongoing initiatives and new and emerging ones, in order to share experiences
and to ensure that recommended actions are mutually compatible. Regular
dissemination of information should be one of the aims of a globally
coordinated programme on criteria and indicators for sustainable forest
management.

55. Experience has shown that there are often gaps in the flow of
information and understanding, at both international and national levels,
between the various sectors, with regard to the development of criteria and
indicators aimed at defining, measuring and monitoring of sustainability. It
will be of utmost importance to more strongly link relevant activities in
forestry to existing, global conventions and to efforts in other sectors, such
as e.g. those related to combating desertification (follow-up to chapter 12 of
UNCED), sustainable mountain development (chapter 13), and conservation of
biological diversity (chapter 15), to ensure that action taken in each
individual sector is conceptually understood by, and compatible with that of,
other sectors, and that it fully contributes towards common, defined national
development goals without causing detrimental, inter-institutional friction.

B. Links between national and forest management unit
level activities

56. International initiatives related to sustainable forest management have
been largely focused on the development of national-level criteria and
indicators in support of improved forest management practices in the countries
concerned. This focus is likely to continue in the future given. However,
countries engaged in international trade in forest products are likely to
increasingly strive to complement criteria and indicators at the national
level with practices at the forest management unit level, with a view to
facilitating future forest product certification.

57. As stressed above, criteria and indicators defined at the national level
are aimed at improving the quantity and quality of information available to
decision makers and the general public about progress towards sustainable
forest management, and thus to assist in the policy and decision-making
process; the ultimate aim in this regard is to further improve forest
management practices over time. Forest management unit level criteria and
indicators defined and implemented in support of forest product certification,
on the other hand, are mainly aimed at setting performance standards, and to
define acceptable forest management practices for specific forest areas.

58. The scope and purpose of criteria and indicators at the national level,
and at the forest management unit level, are thus decisively different, all
national-level criteria and indicators may not be directly applicable in
support of programmes aimed at forest product certification. On the other
hand, it is important that criteria and indicators developed at the forest
management unit level to underpin certification programmes, are compatible
with those defined at the national level. Furthermore, national-level
criteria and indicators can help to guide the definition of forest management
unit level criteria and the identification of corresponding indicators. These
two levels should, therefore, be conceptually linked and compatible.

59. For the third session of the Panel, the Secretary-General will prepare a
report presenting further proposals for action guided by the preliminary
discussion of the Panel at its second session. During the first session the
Government of Finland made a proposal to sponsor an Intergovernmental Seminar
on Criteria and Indicators for Sustainable Forest Management. The Seminar
will be held in Helsinki, Finland, on 19-22 August 1996, and will produce
comprehensive documentation on the issue of criteria and indicators for
sustainable forest management, as well as provide options and opportunities
for the use of the Panel at its third session.

V. PRELIMINARY SUGGESTIONS FOR ITEMS FOR DISCUSSION

60. In the light of the contribution that the application of national-level
criteria and indicators can provide to the management of all types of forests,
and in the light of past experiences, ongoing processes and planned, new
initiatives documented in the present paper, the Panel may wish to focus
discussion on the following issues:

(a) Possibilities for developing a global consensus on concepts, terms
and definitions, concerned with sustainable forest management;

(b) Ways and means to further expand and intensify activities in the
identification of socio-economically, environmentally, biologically and
institutionally relevant criteria and indicators for sustainable forest
management, with special reference to promoting national initiatives in those
ecological and geographic regions or subregions which are presently not
covered by, nor are participating in, ongoing international initiatives; and
the need for special ways and means to assist those developing countries in
which forests and woodlands are essential in meeting basic subsistence needs
of rural populations and forest dwelling peoples;

(c) Possibilities and practical ways to conceptually link ecological
zones in different geographic regions of the world (for example, dry zones in
Africa, the Near East, Asia, tropical/sub-tropical America and the Caribbean),
as a first step towards internationally compatible criteria and indicators of
sustainable management of all types of forests;

(d) Research and methodologies to quantify indicators presently recorded
as qualitative and descriptive; and encouragement of objective monitoring of
related national trends over time;

(e) Possibilities of forging closer links between action related to the
ITTO "Target 2000" with other ongoing international initiatives aimed at the
definition of criteria and indicators for sustainable forest management;

(f) Mechanisms to ensure the continued, dynamic development and
promotion of national, field-level application of criteria and indicators
within the framework of ongoing, international processes by countries
concerned; 12/

(g) Ways and means to further expand and develop activities related to
the field testing of indicators; to promote their standardized measurement and
monitoring; and the development of common methodologies for the storage and
easy retrieval of corresponding data, for country level analysis and
evaluation; development of rapid assessment methods;

(h) Linkages with the work in forest management and forest resources
assessment; 13/

(i) Ways and means to maximize the exchange of information, experiences
and know-how at global level in all issues related to criteria and indicators
for sustainable forest management; and to promote cross-sectoral linkages;

(j) Further examination and clarification of links between the national-
level and forest management unit level activities.

Notes

1/ See Report of the Commission on Sustainable Development on its third
session, Official Records of the Economic and Social Council, 1995, Supplement
No. 12 (E/1995/32), chap. I, sect. D, annex I, III.2.

2/ Ibid.

3/ Report of the United Nations Conference on Environment and
Development, Rio de Janeiro, 3-14 June 1992, vol. I, Resolutions Adopted by
the Conference (United Nations publication, Sales No. E.93.I.8 and
corrigendum), resolution 1, annex III.

4/ For a summary of initiatives and meetings, see also the special
publication (1995) by the Commonwealth Forestry Association: "The World's
Forests: International Initiatives since Rio". A. J. Grayson, ed. (available
from Oxford Forestry Institute, South Parks Road, OX1 3RB Oxford, United
Kingdom).

5/ See the outputs of the Helsinki, ITTO, Montreal, Tarapoto and Dry-
Zone Africa initiatives as well as the deliberations at the Seminar of Experts
on Sustainable Development of Boreal and Temperate Forests organized by the
Conference on Security and Cooperation in Europe, held at Montreal, Canada,
September-October 1993.

6/ The titles of the seven criteria, as listed, are for illustrative
purposes only. They describe common principal features and elements. The
titles are intended to convey the intent of these seven criteria, incorporated
in different initiatives.

7/ The European Process includes, in principle, temperate, boreal and
Mediterranean-type forests. The following countries are signatories of the
relevant Helsinki resolutions H1 and H2: Austria, Belarus, Belgium, Bosnia
and Herzegovina, Bulgaria, Croatia, Czech Republic, Denmark, Estonia, Finland,
France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia,
Liechtenstein, Lithuania, Luxembourg, Malta, Monaco, Netherlands, Norway,
Poland, Portugal, Republic of Moldova, Romania, Russian Federation, Slovakia,
Slovenia, Spain, Sweden, Switzerland, Turkey, Ukraine, United Kingdom of Great
Britain and Northern Ireland. In addition, Albania has applied and reported
upon the criteria and indicators of the European Process, in spite of not
having, originally, signed the corresponding resolutions in Helsinki. The
European Union has also ratified resolutions H1 and H2.

8/ Participating countries 1993-1995: Australia, Canada, Chile, China,
Japan, Mexico, New Zealand, Republic of Korea, Russian Federation and United
States of America. At the seventh session of the Montreal Process Group in
New Zealand in November 1995, the number of participating countries was
increased to 12, with Argentina and Uruguay joining the process by official
endorsement of the Santiago Declaration.

9/ Participating countries: Bolivia, Brazil, Colombia, Ecuador,
Guyana, Peru, Suriname, Venezuela.

10/ FAO and IUFRO have recently entered into a collaborative agreement
related to clarifying and harmonizing basic, forest-related concepts and terms
in use in various countries, within the overall framework of activities
carried out within the framework of the global forest resources assessment
programme coordinated by FAO.

11/ Several of the ongoing international initiatives, as well as the
FAO/ITTO Expert Meeting on the Harmonization of Criteria and Indicators for
Sustainable Forest Management, have made special reference to the terms and
definitions developed within the framework of the Global Forest Resources
Assessment Programme coordinated by FAO, which has been considered to
constitute a useful framework for international activities in this regard.

12/ Discussion might include the desirability of reviewing the ITTO
Guidelines and Criteria on sustainable management of moist tropical forests,
which were the first to be developed at an international level, and which
could potentially benefit from experiences and outcome of more recent
initiatives. Discussion in this regard could also help to promote a stronger
commitment to the Guidelines, and their further application by the ITTO
producer countries.

13/ For a discussion on the possibilities of linking activities in
sustainable forest management with the periodic assessment of the world's
forests, see report related to programme element III.1 of the programme of
work of the Panel (E/CN.17/IPF/1996/2).

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Date last posted: 7 December 1999 12:45:30
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