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**August 10, 1998**

**Revised draft**

## 6A Proposed Purpose, Goals, and Principles

**36 Code of Federal Regulations § 219.1**

**Purpose, Goals, and Principles**

\(a\) Purpose. The National Forest System constitutes an extraordinary
national legacy created by people of vision and preserved for future
generations by diligent and far-sighted public servants and citizens.
They are the people's lands, emblems of our democratic traditions.

The national forests and grasslands can provide many and diverse
benefits to the American people. These include clean air and water,
productive soils, biological diversity, goods and services, employment
opportunities, community benefits, recreation, and naturalness. They
also give us intangible qualities such as beauty, inspiration, and
wonder.

Yet all of these benefits depend upon the long-term sustainability of
the watersheds, forests, and rangelands. Accordingly, the first priority
for stewardship in the national forests and grasslands must be to
maintain and restore the sustainability of watersheds, forests, and
rangelands for present and future generations. Building on this
foundation of sustainability, the national forests and grasslands should
provide a wide variety of uses, values, products, and services that are
important to so many Americans, including outdoor recreation, range,
timber, wildlife and fish, water use, and minerals.

The objective of planning for the National Forest System is to guide
stewardship so as to fulfill the purposes of the national forests and
grasslands and to honor their unique place in American life. The
regulations in this subpart set forth a process for developing,
adopting, implementing, and revising land and resource management plans
for the National Forest System as required by the National Forest
Management Act of 1976 (hereafter, "NFMA"), the Forest and Rangeland
Renewable Resources Act of 1974, the Organic Act of 1897, the
Multiple-Use, Sustained-Yield Act of 1960, the Endangered Species Act of
1973, the Clean Water Act of 1977, and other applicable statutes.

\(b\) Major Goals and Principles. Forest planning shall strive to
achieve the following major goals and embody the following principles:

###  Goal One. PLANNING STRIVES TO ASSURE THE ECOLOGICAL, ECONOMIC AND SOCIAL SUSTAINABILITY OF OUR WATERSHEDS, FORESTS, AND RANGELANDS. 

The guiding star for planning is sustainability. Like other overreaching
national objectives, sustainability is broadly aspirational and can be
difficult to define in concrete terms. Yet, especially considering the
increased human pressures on the national forests and grasslands, it
becomes ever more essential that planners focus on the heart of the idea
of sustainability, that our use today does not impair the functioning of
ecological processes and the ability of these natural resources to
contribute economically and socially in the future.

While one function of sustainability is to chart a broad and idealistic
objective, important aspects of sustainability can also be defined and
measured with some precision in the planning process. First, species
viability, which is essential to ecological sustainability, is a
powerful metric. Second, useful measurements can be made of ecological
productivity, through such indicators as water purity, air quality, soil
fertility, fire and flow regimes, plant growth, and the variety and
distribution of forests and rangelands. By seeking to sustain biological
diversity and ecological productivity --- by emphasizing what we leave,
rather than what we take --- forest planning can play a crucial role in
laying the necessary foundation for the economic and social components
of sustainability: making contributions to strong, productive economies
and creating opportunities for enduring human communities.

Principles

\(a\) [Planning first provides for the diversity of native plant and
animal communities and the productive capacity of ecological
systems\--the core elements of ecological sustainability]{.underline}.
All aspects of sustainability depend upon biological diversity and
ecological productivity, which make possible the economic and social
benefits that national forests and grasslands can provide. Biological
diversity and ecological productivity in turn, depends on the viability
of individual species\-\--diversity is sustained only when species
persist. In addition, they depend on maintaining the characteristic
composition, structure, and processes of ecosystems in the presence of
human and natural disturbances \-\--on maintaining the ecological
integrity of these systems. The obligation of planners and managers to
provide for species viability and ecological integrity is at the center
--- scientifically, economically, socially, and morally --- of
stewardship of the national forests and grasslands.

\(b\) [Planning must be based upon science and other knowledge of the
world, including the use of scientifically based strategies for
ecological sustainability]{.underline}. The best available ecological,
economic, and social information and analysis must be the foundation of
land and resource planning. Planning should consider information from
sources such as Native people and other knowledgeable residents.

\(c\) [Planning requires independent scientific review of plans before
their publication]{.underline}. Regional assessments should suggest
methods and strategies for providing for species viability and
ecological integrity. Using that information, planning should construct
conservation strategies and have them reviewed by Forest Service and
other scientists before a plan becomes final.

\(d\) [Plans include mechanisms for evaluating whether stewardship goals
have been achieved.]{.underline} Because one of the core functions of
planning is to foster informed management decisions through ongoing
assessment and evaluation, effective monitoring is a crucial aspect of
planning and management. Additionally, independent field review by
Forest Service and outside technical and scientific experts plays an
important role in monitoring. When appropriate, the results of
monitoring and these independent reviews should be incorporated into the
plan through amendments.

### Goal Two. AS PART OF THE OVERALL GOAL OF SUSTAINABILITY, PLANNING AND MANAGEMENT PROVIDES FOR A WIDE VARIETY OF USES, VALUES, PRODUCTS, SERVICES, AND COMMUNITY BENEFITS. 

The national forests and grasslands have been a grand experiment in
providing for the multiple uses --- outdoor recreation, range, timber,
wildlife and fish, water use, and minerals --- of these lands on a
permanent basis, following Gifford Pinchot's dictates that the lands be
devoted to "their most productive use for the permanent good of the
whole people . . . always bearing in mind that the *conservative use* of
these resources in no way conflicts with their permanent value." These
lands should be a shining example for the entire world of stewardship
that provides a wide variety of uses, values, products, and services in
ways that are compatible with long-term sustainability.

Principles

\(a\) [Planning searches for strategies and actions that contribute to
economic and social sustainability by providing for many uses, values,
products, and services]{.underline}. The national forests and grasslands
should direct much of their planning and implementation energies toward
developing, applying, and rewarding strategies and actions that enable
the multiple uses to occur in ways that promote long-term
sustainability. As part of this effort, planning searches for strategies
that produce revenue from these uses, values, products, and services.

\(b\) [Planning recognizes the interdependence of healthy forests,
rangelands, and watersheds with healthy communities]{.underline}. Many
communities depend on the national forests and grasslands for much of
their economic, social, and cultural sustenance. Planning takes generous
account of compelling local circumstances. This includes the needs of
ranching, farming, timber, and Indian communities. Further, many
Hispanic communities in the Southwest depend on the former Spanish and
Mexican land grants, which remain critical to them for watershed
protection, livestock grazing, subsistence hunting and fishing, firewood
gathering, and other purposes.

\(c\) [Planning recognizes the rights of American Indian
Tribes]{.underline}. Indian tribes possess unique and important rights
recognized by federal treaties, statutes, and executive orders. The
agency has a general trust responsibility to federally recognized tribes
and a duty to acknowledge them as sovereign governments and to work with
them on a government-to-government basis. Depending on the circumstances
of particular tribes and national forests, such lands also may provide
for tribal hunting, fishing, and gathering rights, access to sacred
sites, protection of graves and other archaeological sites, and
watershed protection for downstream Indian reservations, and fishing
sites. Stewardship of the national forests must give full recognition to
applicable Indian laws and comply with them.

### Goal Three. PLANNING RECOGNIZES, AND IS EFFICIENTLY INTEGRATED INTO, THE BROADER GEOGRAPHIC, LEGAL, POLITICAL, AND SOCIAL LANDSCAPE WITHIN WHICH NATIONAL FORESTS AND GRASSLANDS EXIST. 

In every sector of the country, the Forest Service and the national
forests and grasslands are just one important agency and one important
land system among many important governmental and private entities and
land ownerships. Some of these agencies have statutory authority over
the national forests. Other agencies, governments, corporations, and
citizens manage land in and around the national forests. Still others
have a keen interest in the national forests and can affect the way the
political process views Forest Service action.

Sustainability of watersheds and other natural areas in which national
forests and grasslands are located will inevitably depend upon
activities on nearby federal lands, tribal, and state lands, and private
lands and on the actions and attitudes of a wide variety of agencies,
governments and citizens. These landowners will vary in their abilities
as well as their interest in providing the mix of uses, products,
values, and services that people seek from forests and rangelands.
Planning, therefore, must be outward-looking with the goals of
understanding the broader landscape in which the national forests and
grasslands lie and achieving the highest values for management of these
lands within the context of how people, businesses, and governments will
conserve, regulate, and use the lands within and around the national
forests and grasslands.

Principles

\(a\) [Assessment and planning requires a coordinated approach by all
affected federal agencies]{.underline}. Cooperation from the beginning
with all federal agencies with statutory authority over the national
forests and grasslands is essential. Obtaining early participation of,
and joint planning with, all federal land management agencies in the
area is another key to successful planning. While the Forest Service
cannot require participation and joint planning with other federal
agencies, the agency should accommodate and encourage it.

\(b\) [Planning proceeds from start to finish in close cooperation with
state, tribal, and local governments]{.underline}. Success in achieving
goals for the national forests and grasslands may depend upon decisions
made by other jurisdictions. Similarly, the Forest Service often can
help other jurisdictions achieve their objectives through cooperation.

\(c\) [Planning is interdisciplinary]{.underline}. Planning must respond
to a broad range of scientific, economic, and social concerns.
Therefore, planning teams must represent diverse disciplines and work
together collectively and collegially to develop information and
alternatives. Consultants can be employed to tap other relevant sources
of knowledge.

\(d\) [Planning must be based on the spatial and temporal scales
necessary to assure sustainability and provide for multiple
use]{.underline}. Ecological boundaries that also have social meaning,
such as river basins, mountain ranges will be useful for planning in the
future. These planning boundaries often do not follow the boundaries of
the national forests and grasslands. In order to achieve long-term
sustainability, planning must often take account of cumulative effects
on resources, within and beyond the boundaries of the national forests
and grasslands, well beyond the life of a plan.

\(e\) [Planning acknowledges the limits and variability of likely
budgets]{.underline}. Plans that are unrealistic in budget terms can
seldom be implemented, and hence fail to provide proper management
guidance, lead to public frustration and anger, and undermine
high-quality stewardship. Plans should be resilient in the face of
erratic budgets.

### 

### Goal Four. PLANNING MEANINGFULLY ENGAGES THE AMERICAN PEOPLE IN THE STEWARDSHIP OF THEIR NATIONAL FORESTS AND GRASSLANDS. 

The national forests and grasslands belong to the American people. For
these truly to be the "people's lands," the people must understand the
lands' condition, potential, limitations, and niche in resource
conservation in this country. Just as the Forest Service can help the
American people learn about the limits and capabilities of the national
forests and grasslands, so too must the managers be educated by the
unique knowledge, advice, and values of the American people. Citizens
can provide a wide array of services, ranging from volunteer work on
trail crews to participating in collaborative efforts aimed at resolving
disputes over specific projects. The national forests should draw on
this knowledge, wisdom, and energy by building relationships, dialogues,
and partnerships with the groups and individuals who wish to have a role
in setting the future course for the national forests and in
implementing these decisions.

Principles

\(a\) [Planning encourages extensive collaborative citizen
participation]{.underline}. Forest planning must encourage broad-based,
vigorous, and ongoing opportunities for collaboration with the public.
These dialogues must be open to any person at any time, conducted in
non-technical terms readily understandable to the general public, and
structured in a manner that recognizes and accommodates differing
schedules, capabilities, and interests. Citizen participation should be
encouraged from the beginning, when the issues will be defined, and
continue through plan development, implementation, monitoring, and
amendment.

\(b\) [Planning builds upon the human resources in local
communities]{.underline}. Just as local communities depend on the
national forests and grasslands, so too does the health of many forests,
rangelands, and watersheds depend, in turn, on healthy communities. Many
restoration actions are needed on these lands, including programs to
improve riparian conditions, reduce fuel loads, and rebuild and
decommision roads. These efforts will require entrepreneurs and a
trained workforce. The surrounding communities, assuming that they
continue to exist and prosper, can help provide these services. Planning
and management must realize the full potential of these human resources
to further the stewardship of the national forests and grasslands.

\(c\) [Planning and plans are understandable to the American
people]{.underline}. A central purpose of planning is to speak directly
to the public. The language of planning must be clear and
straight-forward. These are the people's lands, and planning must be
welcoming to the public.

\(d\) [Planning restores and maintain the trust of the American people
in the management of the national forests]{.underline}. Planning is a
principal setting in which the Forest Service relates to the public. It
can be a valuable forum in which to reestablish the public's confidence.
Planners need to work on the premise that a good plan cannot be achieved
without the public's respect and trust. Therefore, planning should
integrate the public into the process, give the public accurate and
complete information in a way that can be understood, make extensive use
of public input, and meet public expectations by adopting realistic
plans and fulfilling their objectives until amended. The Forest Service
should welcome independent field review of its plans and actions.

### Goal Five. PLANNING, WHICH MUST BE AT ONCE VISIONARY AND PRAGMATIC, GUIDES DECISION-MAKING. 

Planning has long been viewed as a burdensome exercise with little
connection to management. In fact, planning must be an organic part of
stewardship of the national forests and grasslands: plans must be
working guides that Forest Service employees find useful and motivating.
Given the frequency with which new issues arise, new information becomes
available, and unforeseen events occur, planning should be viewed as an
ongoing process, where guidance and directions are adapted as necessary
to new understandings.

Principles

\(a\) [Planning organizes around a collective vision of the desired
future]{.underline}. Developing a collective vision of future landscape
conditions, and the uses, products, values, and services that will be
provided by these conditions, is our best hope for a "coming together"
of the people and groups that care about the national forests. Pictures,
maps, and computer imagery of future conditions, including consideration
of the larger landscape within which a planning area is located, will
help people visualize alternatives and reach agreement on a shared
vision. A plan should begin with a short mission statement that captures
this vision\--a mission statement that is broad but vivid and evocative,
a dream rooted in reality. The detailed "desired future condition", and
the outcomes associated with it, should serve as the central reference
point for planning and management of the national forests. Performance
measures, monitoring, and budgets should be directed toward achievement
of the actions and conditions needed to move toward the desired future.

\(b\) [Planners must actively seek out and address key issues,
especially the toughest ones.]{.underline} Planning cannot avoid
controversy by trying to bury it. The best guidelines will emerge from
an open, candid, and collaborative process that tackles key issues.

\(c\) [Plans should be efficient in achievement of their
goals]{.underline}. Strategies that simultaneously address multiple
goals and find the least-cost method for achieving these goals are
important to developing efficient plans.

\(d\) [Planning must be at once practical and innovative]{.underline}.
Planning is not an end in itself but rather must be a useful endeavor
that furthers real-world objectives, including serving as a working
guide for stewardship. At the same time, planning must encourage
risk-taking and creativity. Valuable innovations have been developed
during Forest Service planning, ranging from successful collaborative
efforts to multi-agency watershed and large-landscape assessments.
Planners should be ever alert to new and exciting opportunities that may
arise from the unique circumstances surrounding a particular plan.

\(e\) [Plans must be done expeditiously]{.underline}. Lengthy planning
efforts frustrate public participants, strain Forest Service resources,
and can result in plans that are outdated when adopted. Planners should
aim for the completion of a plan, from the assessment phase through the
formal adoption of small landscape plans, within three years and
preferably less than two. To accommodate this goal, analytical
requirements should be kept to a minimum consistent with the achieving
the purposes of planning. In the future, when plans are regularly kept
current through the amendment process, plan revisions should be
completed in an even shorter time.

\(f\) [Plans are dynamic and adaptable]{.underline}. There is no such
thing as a "final plan." While a plan should strive to attain a
reasonable degree of predictability in its implementation, everyone also
must recognize that unpredicted events, ranging from natural
disturbances to changed market conditions, will occur. Forest Service
officials must respond adaptively to new circumstances through plan
amendments, small and large, so the plans will remain fully current.
Plans must be living documents.