ITTO Policy Development Series No.7

CRITERIA AND INDICATORSFOR SUSTAINABLE MANAGEMENT OF
NATURAL TROPICAL FORESTSINTERNATIONAL TROPICAL TIMBER ORGANIZATIONORGANISATION INTERNATIONALE DES BOIS TROPICAUXORGANIZACION INTERNACIONAL DE LAS MADERAS TROPICALES

ii

Table of Contents
FOREWORD ......................................................................................................................... iv
I.

INTRODUCTION ......................................................................................... 1

II.

DEFINITIONS ............................................................................................... 5

III.

CRITERIA AND INDICATORS ................................................................. 6
Criterion 1:
Criterion 2:
Criterion 3:
Criterion 4:
Criterion 5:
Criterion 6:
Criterion 7:

Enabling Conditions for Sustainable Forest Management............... 6
Forest Resource Security ..................................................................... 8
Forest Ecosystem Health and Condition ............................................ 9
Flow of Forest Produce ........................................................................ 11
Biological Diversity............................................................................... 13
Soil and Water ...................................................................................... 15
Economic, Social, and Cultural Aspects............................................. 17

Appendix 1

Schematic Tabulation of Criteria ............................................................ 19

Appendix 2

Definitions of the Protected Area Management Categories of theWorld Conservation Union (IUCN)......................................................... 20

iii

FOREWORD
This publication, "Criteria and Indicators for Sustainable Management of Natural Tropical
Forests" marks further progress in the work and activities of the International Tropical Timber
Organization (ITTO) to promote the conservation, management and sustainable development of
tropical forests within the framework of the International Tropical Timber Agreement of 1994. It
builds upon ITTO's pioneering "Criteria for the Measurement of Sustainable Tropical Forest
Management" adopted by the entire membership of the ITTO at the end of 1991 and published in
March 1992. Equally, it is significant because it was negotiated in the ITTO forum whose
membership accounts for the bulk of the world's tropical forests and almost all the trade in tropicaltimber. In the discussions to formulate and adopt these Criteria and Indicators, representatives of
non-governmental conservation organizations and timber trade associations were actively involved
from the beginning when an Expert Panel was established to develop a draft.
During the process of developing these Criteria and Indicators the definition, theory andprocedure for 'principles', 'criteria', indicators' and 'measurements' were discussed and some common
standards accepted. ITTO's initial Criteria and Indicators, being the first of its kind, served an
important role in the evolving process in pursuit of the sustainable management of tropical forests,
particularly in the context of the ITTO year 2000 Objective, providing a focus and urgency foraction, international cooperation and assistance.
By decision of the ITTO Council in November 1996 two consultants, Professor Duncan
Poore (United Kingdom) and Mr. Thang Hooi Chiew (Malaysia), were engaged to draft a new set of
Criteria and Indicators. The draft was further elaborated by two Expert Panels under the leadershipof Mr. Don Wijewardana (New Zealand) and discussed during the Council Session in December
1997 and finally adopted at the following Council Session in Libreville, Gabon in May, 1998 after
further deliberations.
It is with great pleasure that I introduce this new and revised set of ITTO's "Criteria andIndicators for Sustainable Management of Natural Tropical Forests". As with the earlier version, it is
my hope that these revised Criteria and Indicators will receive wide recognition and application, andthat they will form the basis for Members to report to Council enabling it to confer annually on
progress towards the ITTO year 2000 Objective. The discussions will also provide feedback on theuse of these Criteria and Indicators, enabling their refinement and revision based on actual field
experience.
It is also the intention of the Organization to develop a manual of instructions to make therevised Criteria and Indicators user-friendly by giving suggestions and guidelines on how to measure
the level of the indicators whether quantitative or qualitative. However, considering the enormous
differences between the countries and forests of the producer Member countries, this will be achallenging task.
The adoption of the these "Criteria and Indicators for Sustainable Management of Natural
Tropical Forests" is another major milestone and contribution by the ITTO to assist its Member
countries to sustainably manage their tropical forests in conjunction with the various ITTO
guidelines.
Dr. B.C.Y Freezailah
Executive Director
International Tropical Timber Organization

Yokohama
6 July 1998

iv

CRITERIA AND INDICATORS FORSUSTAINABLE MANAGEMENT OF NATURAL TROPICAL FORESTS
I. INTRODUCTION(1)This publication updates ITTO’s Criteria for the Measurement of Sustainable Tropical
Forest Management which was published in March 1992. It benefits from the experience gainedby tropical countries in implementing the ITTO Guidelines for the Sustainable Management of
Natural Tropical Forests and ITTO Criteria for the Measurement of Sustainable Tropical Forest
Management. It also reflects developments over the last five years which have improved
understanding of the components of sustainable forest management.
(2)
Since ITTO undertook its pioneering work in the early 1990s, several international andregional initiatives on criteria and indicators for sustainable forest management have emerged,
stemming from the UN Conference on Environment and Development held in Rio de Janeiro inJune 1992. These initiatives involve more than 100 countries and include the Pan-European
Helsinki Process, the Montreal Process for temperate and boreal forests, the Tarapoto Proposal
for the Amazon, and regional initiatives for Dry-Zone Africa, the Near East, Central America
and the African Timber Organization. In February 1997, the UN Commission on Sustainable
Development’s Intergovernmental Panel on Forests endorsed the concept of criteria andindicators for sustainable forest management and called on all countries to become involved in
implementing them.
(3)
In view of these developments, the International Tropical Timber Council determinedthat the time had come to update ITTO’s Criteria and Indicators in order to make them more
operational and useful. Moreover, the original ITTO criteria and indicators focused primarily onsustainable management for the production of timber while this update covers the full range offorest goods and services, including biological diversity and other non-timber values.
Meanwhile, the ITTO Guidelines for the Establishment and Sustainable Management of Planted
Tropical Forests and ITTO Guidelines for the Conservation of Biological Diversity in Tropical
Production Forests, published respectively in January and September 1993, laid the foundation
for a wider interpretation of sustainable forest management by ITTO.
More recently, in
September 1997, ITTO has published the ITTO Guidelines on Fire Management in Tropical
Forests.
(4)
Natural forests are a very important renewable natural resource in most tropicalcountries; they produce the bulk of tropical timber, are very rich in biodiversity and provide
many other socio-economic, cultural and environmental benefits. This publication concentrates,
therefore, on the identification and formulation of criteria and indicators for assessing progress
towards the sustainable management of natural tropical forests. Reference to planted forests isonly made when their management is relevant in supporting the sustainable management of
natural forests.
(5)
Although the criteria for both types of forest are the same, there are many features innatural tropical forests which do not occur or are of little significance in planted forests; and,conversely, many important features in the management of plantations (selection of site, species,
genotype etc.) which do not apply in natural tropical forests. Appropriate criteria and indicators
are, of course, also important in assessing the management of planted forests.

1

The Purpose of Criteria and Indicators(6)
The purpose of ITTO’s Criteria and Indicators is to provide member countries with an
improved tool for assessing changes and trends in forest conditions and management systems at
the national and forest management unit levels. By identifying the main elements of sustainable
forest management, the criteria and indicators provide a means of assessing progress towards the
ITTO Year 2000 Objective: “To enhance the capacity of members to implement a strategy forachieving exports of tropical timber and timber products from sustainably managed sources by
the year 2000”, as well as a tool for tracking progress into the next century. The Year 2000
Objective is enshrined in the current International Tropical Timber Agreement of 1994 (Chapter
I, Article 1 (d)), which entered into force on 1 January 1997, and establishes a special funding
mechanism known as the Bali Partnership Fund to assist producer member countries inachieving the Year 2000 Objective (Chapter VI, Article 21).
(7)
These indicators identify the information needed to monitor change, both in the forest
itself (outcome indicators) and in the environmental and forest management systems used (input
and process indicators). If the values of any indicator are placed in a time sequence, they
provide information on the direction of change, either towards or away from sustainable forest
management. The indicators cannot, however, by themselves, establish whether management is
or is not sustainable.
(8)
The information generated, through using these Criteria and Indicators in assessing thestate of the forest, will help policy- and decision-makers to communicate the status of the efforts
towards sustainable forest management more effectively to the public. It will also assist in
developing policies and strategies for sustainable forest management, in focusing research
efforts where knowledge is still deficient, and in identifying those areas which are in special
need of international assistance and co-operation.
(9)
If the indicators are made operational and appropriate prescriptions and standards are set,a sound basis would be created for measuring sustainable forest management. It should beemphasised that determination of sustainability, and therefore the indicators identified, should bespecific to each nation or to each management unit.
(10) The Criteria and Indicators identified in this document should be reviewed and refined
periodically to benefit from experience and to reflect new concepts of sustainable forest
management. This revision should take into account evolving knowledge about the functioningof forest ecosystems, human impacts on the forests whether planned or unplanned and thechanging needs of society for forest goods and services. Moreover, the capability to measureindicators will increase and knowledge will improve about the nature of ‘best’ indicators toassess forest management.
Levels of Application(11) This document covers criteria and indicators for both the national level and the level atwhich the forest is managed. In large countries, and those with a federal structure, it may be
helpful to use indicators at a lower level than the nation (states or provinces), and to aggregate
these to provide a description of the whole nation. The size of the forest management unit may
also vary greatly, depending on such factors as forest administrative structures and forest
ownership or landscape patterns. Each country must make its own decisions about how toapproach these questions.

2(12) All the criteria are valid at both the national level and the level of the forest management
unit. In the case of the indicators, all are applicable at the national level but only some at thelevel of the forest management unit. The two sets are presented together. The level at which anindicator applies is noted with a “+”; if it does not apply, with a “-”.
(13) It is important to address the subject at both these levels for two reasons. First, theoverall sustainability of the management of a nation’s forests depends substantially upon actions
taken at the national level, such as decisions on the balance of land use between forestry andother land uses and, within forestry, between production, conservation and protection. Secondly,
the evaluation of sustainable forest management at the national level depends upon the quality ofmanagement of the aggregate of all forest management units.
The Criteria(14) A criterion describes a state or situation which should be met to comply with sustainable
forest management. Ideally, this meaning should be reflected in the way criteria are formulated.
In this publication, however, for reasons of easy communication and simplicity, the criteria
themselves are formulated as subjects of attention, while the full meaning of the criterion iselaborated in accompanying text.
(15) Seven criteria are identified as essential elements of sustainable forest management.
Criterion 1, Enabling Conditions for Sustainable Forest Management, is concerned with thegeneral legal, economic and institutional framework without which actions included under theother criteria will not succeed. Criteria 2 and 3 on Forest Resource Security and Forest
Ecosystem Health and Condition, respectively, are concerned with the quantity, security andquality of forest resources. The remaining four criteria deal with the various goods and services
provided by the forest, including Flow of Forest Produce, Biological Diversity, Soil and Water
and Economic, Social, and Cultural Aspects. The order of presentation of the criteria represents
a logical sequence but does not indicate priority or relative importance. The seven ITTO criteria
are shown schematically in Appendix 1.
The Indicators(16) The indicators presented here have been carefully identified and formulated so that achange in any one of them would give information that is both necessary and significant inassessing progress towards sustainable forest management. They have also been defined so thatthey are clear, practical and easy to monitor, and based as far as possible on available researchknowledge and statistics. It should, therefore, be possible for countries to provide information
on many of them, although only a few countries will immediately be able to provide informationon them all.
(17) Countries face a considerable load in reporting to different international organisations.
This load can be eased by ensuring that the nature of the data required is as similar as possible.
Indicators have, therefore, been chosen so as to be compatible with those being requested for
FAO’s Forest Resources Assessment (FRA-2000).
(18) Wherever possible, quantitative indicators have been suggested but, in some instances,
this is not possible or would prove too expensive. Where this is the case, qualitative or
descriptive indicators are provided.
3

(19) It is important, if the indicators are to give an accurate picture of trends, that comparable
methods should be used between one time of assessment and the next; and that there should be ameans of estimating the degree of accuracy of any data presented. Over time, lessons will belearnt about the collection of certain data. Ideally, all countries should use the same methods ofmeasurement and assessment, but this is unlikely to be for some time. Countries should,
therefore, give a description of the methods used and an estimate of the accuracy of their figures
and any difficulties encountered in their collection.

4II. DEFINITIONS

The following are definitions of some important terms as they are used in this publication. If thedefinitions currently used in any reporting country differ from these, the country should givereferences or quote its own definitions.
Biological Diversity
The variability among living organisms from all sources including, inter alia, terrestrial,
marine and other aquatic ecosystems and the ecological complexes of which they are
part; this includes diversity within species, between species and of ecosystems. (Source:
The Convention on Biological Diversity)
Criterion
An aspect that is considered important by which sustainable forest management may beassessed. A criterion is accompanied by a set of related indicators.
Forest Management Unit
A forest management unit (FMU) is a clearly defined forest area, managed to a set of
explicit objectives and according to a long-term management plan.
Forest TypeA naturally occurring community of trees and associated plant species of definite
botanical composition with uniform physiognomy (structure) and growing in uniform
ecological conditions whose species composition remains relatively stable over time.
These are most often scientifically described at the ‘association’ level.
Indicator
A quantitative, qualitative or descriptive attribute that, when periodically measured ormonitored, indicates the direction of change.
Permanent Forest Estate
Land, whether public or private, secured by law and kept under permanent forest cover.
This includes land for the production of timber and other forest products, for theprotection of soil and water, and for the conservation of biological diversity, as well as
land intended to fulfil a combination of these functions.
Sustainable Forest Management
Sustainable forest management is the process of managing forest to achieve one or moreclearly specified objectives of management with regard to the production of a continuous
flow of desired forest products and services without undue reduction of its inherent
values and future productivity and without undue undesirable effects on the physical andsocial environment.

5III. CRITERIA AND INDICATORS
Criterion 1: Enabling Conditions for Sustainable Forest Management
This criterion covers the general institutional requirements for sustainable forest
management to succeed. It addresses policy, legislation, economic conditions,
incentives, research, education, training and mechanisms for consultation andparticipation. Many of the indicators are necessarily descriptive. Taken together, theinformation gathered indicates the extent of a country’s political commitment tosustainable forest management. It would be useful if countries could supplement theindicators by providing relevant documentation.
Indicators

National

FMU

+

-

+

-

+

-

+
+
+
+

-

+

-

(a) national and sub-national governmental
sources,(b) the Bali Partnership Fund,(c) otherinternational
governmental
contributions, and(d) private sources, domestic and foreign.

+

+

+
+

+

+

+

Existence of economic instruments and otherincentives to encourage sustainable forest
management.

++

Policy and Legal Framework
1.1

Existence of a framework of laws, policies,and regulations to govern:(a) national objectives for forest including
production, conservation and protection,(b) the establishment and security of thepermanent forest estate,(c) land tenure and property rights relating
to forests,(d) the control of forest management,(e) the control of forest harvesting,(f) the control of encroachment,(g) the health and safety of forest workers,and(h) the participation of local communities.

Economic Framework
1.2

1.3

Amount of investment and reinvestment inforest management, administration, research,and human resource development from:6

Indicators

National

FMU

Institutional Framework1

1.4

Number and adequacy of institutions to
support sustainable forest management.

+

-

1.5

Number and adequacy of trained professional
and technical personnel at all levels toperformandsupportmanagement,
implementation, research and extension.

+

+

1.6

Existence and application of appropriatetechnology to practise sustainable forest
management and the efficient processing andutilisation of forest produce.

+

+

1.7

Capacity and mechanisms for planningsustainable forest management and for
periodical monitoring, evaluation and feedback on progress.

+

+

1.8

Degree of public 1 participation in forest
management, such as in planning, decision
making, data collection, monitoring andassessment.

+

+

1.9

Adequacy and timeliness of information toincrease public awareness about forest
policies, legislation and sustainable forest
management practices.

++

This is taken to include all interested parties, individuals, communities, organisations etc.

7

Criterion 2: Forest Resource Security
This criterion relates to the extent to which a country has a secure and stable forest estate,
which could include plantations, to meet the production, protection, biodiversity
conservation and other social, cultural, economic and environmental needs of present andfuture generations. This is essential for long-term sustainable forest management.
Indicators

National FMU

Description of Resource Base
2.1

Extent (area) and percentage of total land area
under:(a) natural forest,(b) plantation forest,(c) permanent forest estate, and(d) comprehensive integrated land-use plans.

+
+
+
+

+
+
+
+

2.2

Extent (area) and percentage of total land area
under each forest type2.

+

+

2.3

Length and percentage of external boundaries ofthe permanent forest estate demarcated or
clearly defined.

+

+

2.4

Area of the permanent forest estate converted topermanent non-forest use.3

+

+

+

+

Protection Procedures
2.5

2

3

Existenceofprocedures
encroachment, fire, grazing
exploitation of forests.

tocontroland illegal

Each country should use the classification of forest types available to it which is most suitable for giving
an assessment of biological diversity (i.e. a classification based on species composition, if available, ismore useful than one based on forest structure; and a classification based on localised forest communities
is more useful than one based on broad regional categories).
The baseline for this indicator should be the extent of the permanent forest estate at the time of a country’s
first report. It is only in subsequent reports that changes can be recorded.

8

Criterion 3: Forest Ecosystem Health and Condition
This criterion relates to the condition of a country’s forests and the healthy biological
functioning of forest ecosystems. Forest condition and health can be affected by avariety of human actions and natural occurrences, from air pollution, fire, flooding andstorms to insects and disease.
Indicators

National

FMU

Area of Forest Damaged by Human Activities and Degree of Damage
3.1

Within the permanent forest estate, the extent
and nature of:(a) encroachment,(b) agriculture,(c) roads,(d) mining,(e) dams,(f) unplanned fire,(g) shifting agriculture,(h) nomadic grazing,(i) illegal exploitation,(j) inappropriate harvesting practices,(k) harvesting more than once during the
cutting cycle (re-entry),(l) hunting, and(m) other forms of forest damage such aschange in hydrological regime, pollution,
introduction of harmful exotic plant andanimal species, browsing and grazing.
(These should be specified.)

+
+
+
+
+
+
+
+
+
+
+

+
+
+
+
+
+
+
+
+
+
+

+
+

+
+

+
+
+
+
+

+
+
+
+
+

+

-

Area and Degree of Forest Damage by Natural Causes
3.2

Within the permanent forest estate, the extent
and nature of forest damage, caused by:
(a)
(b)
(c)
(d)
(e)

wild fire,
drought,storms or natural catastrophes,
pests and diseases, andother natural causes.

Conservation and Protection Procedures4
3.3

4

Existence and implementation of quarantine
and phytosanitary procedures to prevent the
introduction of pests and diseases.

Many further procedures are listed under other criteria.

9Indicators
3.4

Existence and implementation of proceduresto prevent the introduction of potentiallyharmful exotic plant and animal species.

3.5

Availability and implementation of procedures
covering:(a) use of chemicals in the forest, and(b) fire management.

10

National

FMU

+

-

+
+

+
+

Criterion 4: Flow of Forest Produce
This criterion is concerned with forest management for the production of wood and nonwood forest products. Such production can only be sustained in the long-term if it is
economically and financially viable, environmentally sound and socially acceptable.
Forests earmarked for production are able to fulfil a number of other important forest
functions, such as environmental protection and the conservation of biological diversity.
These multiple roles of forest should be safeguarded by the application of soundmanagement practices that maintain the potential of the forest resource to yield the fullrange of benefits to society.
Indicators

National

FMU(a) the quantity of the main forest products,and(b) resource rights and ownership.

+

+

+

+

4.2

Estimate of level of sustainable harvest foreach main wood and non-wood forest productfor each forest type.

+

+

4.3

Quantity (volume) of wood and important
non-wood forest products harvested for each
forest type.

+

+

+
+

+
+

+

+

+

+

Resource Assessment
4.1

Extent and percentage of forest for whichinventory and survey procedures have beenused to define:Planning Procedures
4.4

Existence and implementation of:(a) forest management plans, and(b) forest harvesting (operational) plans.

4.5

Extent and percentage of :(a) production
forestcoveredbymanagement plans, and(b) compartment/coupes harvested according
to harvesting (operational) plans.

11

Indicators

National

FMU

4.6

Existence of long-term projections, strategies
and plans for production, including the use oftree plantations.

+

+

4.7

Availability of historical records on theextent, nature and management of forest.

++(a) the assessment of natural regeneration,and(b) measurestosupplement
naturalregeneration where necessary.

+

+

+

+

4.9

Availability
and
implementationofprocedures to monitor and review the
management guidelines.

+

+

4.10

Availability and implementation of guidelines
for reduced/low impact logging to minimise
damage to residual stand.

+

+

+

+

+

+

+

+

+

+

+

+

Management Guidelines
4.8

Availability
and
implementationofmanagement guidelines for each of the mainwood and non-wood forest products to be
harvested, to cover:

Monitoring and Evaluation
4.11

Availability and implementation of:(a) procedures for comprehensive evaluationof the implementation of management
guidelines,(b) procedures to assess damage to theresidual stand, and(c) post-harvest surveys to assess theeffectiveness of regeneration.

4.12

Percentage of area harvested for which:(a) management guidelines have been
completely implemented, and(b) post-harvest
surveyshave
been
conducted to assess the effectiveness ofregeneration.

12

Criterion 5: Biological Diversity
This Criterion relates to the conservation and maintenance of biological diversity,
including ecosystem, species and genetic diversity. At the species level, special attention
should be given to the protection of endangered, rare and threatened species. The
establishment and management of a geographic system of protected areas ofrepresentative forest ecosystems can contribute to maintaining biodiversity. Biologicaldiversity can also be conserved in forests managed for other purposes, such as for
production, through the application of appropriate management practices.
Indicators

National

FMU(a) number,(b) extent,(c) percentage of forest type covered,(d) range of sizes and average size of protected
area, and(e) percentage of boundaries demarcated or
clearly defined.

+
+
+
+

-

+

-

Percentage of total number of protected areas
connected by biological corridors or ‘steppingstones’ between them.

+-

Ecosystem Diversity
5.1

5.2

Statistics of protected areas5 in each forest type.

Species Diversity
5.3

Existence and implementation of procedures to
identify endangered, rare and threatened species6of forest flora and fauna.

+

+

5.4

Number of endangered, rare and threatened
forest dependant species.

+

+

5.5

Percentage of original range occupied by
selected endangered, rare and threatened species.

+

+

5

According to the IUCN protected area categories I to VI, see Appendix 2.

6

IUCN categories should be used where possible.

13

Indicators

National

FMU

+

+

+

+

+

+

+

+

+

+

Genetic Diversity
5.6

Existence and implementation of a strategy forin situ and/or ex situ conservation of the genetic
variation within commercial, endangered, rare
and threatened species of forest flora and fauna.

Management Guidelines
5.7

Existence and implementation of management
guidelines to:(a) keep undisturbed a part of each production
forest,(b) protect endangered, rare and threatened
species of forest flora and fauna, and(c) protect features of special biologicalinterest, such as seed trees, nesting sites,
niches and keystone species.

Monitoring and Evaluation
5.8

Existence and implementation of procedures forassessing changes of biological diversity of the
production forests, compared with areas in thesame forest type kept free from humanintervention.

14

Criterion 6: Soil and Water
This criterion deals with the protection of soil and water in the forest. The importance of
this is two-fold. First, it has a bearing on maintaining the productivity and quality offorest and related aquatic ecosystems (and therefore on the health and condition of theforest, Criterion 3); secondly, it also plays a crucial role outside the forest in maintaining
downstream water quality and flow and in reducing flooding and sedimentation. The
environmental and social effects of mismanagement (landslides, flooding, waterpollution) can be enormous and restoration very costly. National-level data for indicators
will normally be derived from the aggregation of data collected periodically at the forest
management unit level.
Indicators

National

FMU

Extent of Protection
6.1

Extent and percentage of total forest area
managed primarily for the protection of soil
and water.

+

+

6.2

Extent and percentage of area to be harvested
for which off-site catchment values have been
defined, documented and protected before
harvesting.

+

+

6.3

Extent and percentage of area to be harvested
which has been defined as environmentallysensitive (e.g. very steep or erodible) andprotected before harvesting.

+

+

6.4

Extent and percentage of area to be harvested
for which drainage systems have been
demarcated or clearly defined and protected
before harvesting.

+

+

6.5

Percentage of length of edges ofwatercourses, waterbodies, mangroves andother wetlands protected by adequate buffer
strips.

++Conservation and Protection Procedures
6.6

Existence and implementation of procedures
to identify and demarcate sensitive areas forthe protection of soil and water.

+

+

6.7

Availability
and
implementationofguidelines for forest road lay-out, including
drainage requirements and conservation of
buffer strips along streams and rivers.

+

+

15

Indicators
6.8

National

FMU

+

+

+

+

+

+

Availability and implementation of harvestingprocedures:(a) to protect the soil from compaction by
harvesting machinery, and(b) to protect the soil from erosion during
harvesting operations.

Monitoring and Evaluation
6.9

Existence and implementation of procedures
for assessing changes in the water quality ofstreams emerging from production forests ascompared with streams emerging from thesame forest type kept free from humanintervention.

16

Criterion 7: Economic, Social and Cultural Aspects
This criterion deals with the economic, social and cultural aspects of the forest, besides
those mentioned under Criteria 4, 5 and 6. As a renewable resource, the forest has thepotential, if sustainably managed, to make an important contribution to the sustainable
development of the country.
Indicators

National FMU

Socio-Economic Aspects+-(a) the domestic market, and(b) the international market.

+
+

+
+

7.3

Quantity (volume) and value of wood and nonwood forest products for subsistence use,
including fuelwood.

+

+

7.4

Ratio of domestic log production to theprocessing capacity of wood-based industries.

+

-

7.5

Efficiency of utilisation in terms of thepercentage of felled volume processed.

+

+

7.6

Existence and implementation of mechanisms
for the effective distribution of incentives andthe fair and equitable sharing of costs andbenefits among the parties involved.

+

+

7.7

Existence and implementation of procedures toensure the health and safety of forest workers.

+

+

7.8

Employment in the forestry sector:
+
+
+
+

+
+

7.1

Value and percentage contribution of theforestry sector to the Gross Domestic Product.

7.2

Quantity (volume) and value of wood and nonwood forest products traded in:(a) number employed,(b) percentage of total work force,(c) average wage rate, and(d) injury rate.

17

Indicators
7.9

National

FMU

+
+
+

+

+

+

Number and extent of forest sites available
primarily for:(a) research,(b) education,(c) the direct use andcommunities, and(d) recreation.

benefit

of

local

7.10

Number of people dependent on the forest for
subsistence uses and traditional and customary
lifestyles.

+

+

7.11

Area of forest upon which people are dependent
for subsistence uses and traditional andcustomary lifestyles.

+

+

7.12

Number of visitors to forest for recreational
purposes.

+

+

7.13

Total amount of carbon stored in forest stands.

+

-

+

+

Cultural Aspects
7.14

Number of important archaeological and culturalsites identified, mapped and protected.

Community Participation
7.15

Extent to which tenure and user rights over theforest are documented and recognised.

+

+

7.16

Extent to which forest planning and management
practices and processes consider and recognise
legal or customary rights with respect toindigenous people and local communities, forest
dwellers
and
otherforest-dependentcommunities.

+

+

7.17

Extent of participation by indigenous people andlocal communities, forest dwellers and otherforest-dependent communities in forest-based
economic activities.

+

+

7.18

Number of agreements involving local
communities in co-management responsibilities.

+

+

18

Appendix 1
SCHEMATIC TABULATION OF CRITERIA

Criterion #1
Enabling Conditionsfor Sustainable
Forest Management

Criterion #7
Economic, Social,
andCultural Aspects

Criterion #2
Forest Resource
Security

Criterion #3
ForestEcosystem
Health and Condition

Sustainable Managementof
Natural Tropical Forests

Criterion #4
Flow of Forest
Produce

Criterion #5
Biological
Diversity

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Criterion #6
Soil and Water

Appendix 2

Definitions of the Protected Area Categories1of the World Conservation Union (IUCN)Classification schemes aid in the quantification of “protection” and “protected area,” and thereby
aid also in the identification of gaps in protection. This is an important step in building thecommon understanding necessary for the establishment of expansion of forest protected area
networks. It is also a necessary complement to priority actions such as conducting forest
inventories and assessments of management effectiveness within existing protected areas.
IUCN’s protected area classification system was designed to facilitate the collection anddissemination of comparable data and to improve communication among countries, and toprovide comparability between parks and protected areas in differing ecosystems and in different
political, legal, and cultural contexts, by using management objectives as the basis forcomparison. It provides sufficient flexibility to account for a range of possible combinations ofmanagement objectives, socio-economic contexts, and ecosystems.
IUCN defines a protected area as an area of land and/or sea especially dedicated to theprotection and maintenance of biological diversity, and of natural and associated cultural
resources, and managed through legal or other effective means. Under the IUCN definitions,the objective of protection must be the maintenance of biodiversity and natural resources, andthere must be an explicit legal or social basis for protection activities. Multiple-use sites thatcombine attraction, recreation, and nature conservation can qualify, but 75% or more of the area
included must be managed primarily for conservation purposes. Non-consumptive and lowintensity uses are compatible with some categories within the IUCN scheme (e.g., Category V
and VI designations), but sites such as forest plantations managed primarily for timber
production would not qualify.
IUCN has defined a series of protected area management categories based on management
objective. Definitions of these categories, and examples of each, are provided in Guidelines forProtected Area Management Categories (IUCN, 1994). The six categories are:
CATEGORY Ia: Strict Nature Reserve: protected area managed mainly
for science Area of land and/or sea possessing some outstanding or
representative ecosystems, geological or physiological features and/or species,
available primarily for scientific research and/or environmental monitoring.
CATEGORY Ib: Wilderness Area: protected area managed mainly forwilderness protection Large area of unmodified or slightly modified land,
and/or sea, retaining its natural character and influence, without permanent orsignificant habitation, which is protected and managed so as to preserve its
natural condition.
Category I sites are typically remote and inaccessible, and are characterized by being“undisturbed” by human activity. They are often seen as benchmark, or reference sites, and1This paper was prepared by IUCN in February 1998, upon request by G-8 countries, as backgroundinformation during the development of the G-8 Forest Action Programme. For further information pleasecontact either David Sheppard at IUCN headquarter in Gland, Switzerland, or John Waugh at IUCN-U.S.

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access is generally restricted or prohibited altogether. They range in size from vast areas to verysmall units (typically a “core” of a larger protected area). Selection should be on the basis ofquality and significance.
CATEGORY II: National Park: protected area managed mainly forecosystem protection and recreation Natural area of land and/or sea,
designated to (a) protect the ecological integrity of one or more ecosystems forpresent and future generations, (b) exclude exploitation or occupation inimical
to the purposes of designation of the area and (c) provide a foundation for
spiritual, scientific, educational, recreational and visitor opportunities, all ofwhich must be environmentally and culturally compatible.
Category II covers National Parks and equivalent reserves. Category II sites are characterized
by the experience of “naturalness”. While managed to protect ecological integrity, Category II
sites tend to serve to facilitate appreciation of the features protected, and typically include
provisions for human visitors. Selection should be on the basis of representativeness and/or
special significance, and sites should be large enough to contain one or more (relatively intact)ecosystems.
CATEGORY III: Natural Monument: protected area managed mainly
for conservation of specific natural features Area containing one, or more,
specific natural or natural/cultural feature which is of outstanding or uniquevalue because of its inherent rarity, representative or aesthetic qualities orcultural significance.
Category III covers areas that are typically not of the scale of Category II sites, but can beimportant as protected components within a broader managed landscape for the protection ofparticular forest communities or species. Selection should be on the basis of the significance ofthe features, and should be of a scale that protects the integrity of that feature and its
immediately related surroundings.
CATEGORY IV: Habitat/Species Management Area: protected area
managed mainly for conservation through management intervention Areaof land and/or sea subject to active intervention for management purposes so as
to ensure the maintenance of habitats and/or to meet the requirements ofspecific species.
Category IV covers areas managed mainly for conservation through management intervention;
habitats and other features may be manipulated to enhance the presence of species orcommunities of species, through, for example, artificial wetlands or the cultivation of preferredfood crops. Category IV sites do not include production units primarily for exploitation, such as
forest plantations. Category IV sites should be selected on the basis of importance as habitats tothe survival of species of local or national significance, where conservation of the species or
habitat may depend upon its manipulation.
CATEGORY V: Protected Landscape/Seascape: protected area managed
mainly for landscape/seascape conservation and recreation Area of land,with coast and sea as appropriate, where the interaction of people and nature
over time has produced an area of distinct character with significant aesthetic,
ecological and/or cultural value, and often with high biological diversity.
Safeguarding the integrity of this traditional interaction is vital to theprotection, maintenance and evolution of such an area.
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Category V areas are characterized by a long-term socio-ecological interaction commensuratewith high biodiversity values. Category V areas should be selected on the basis of diversity ofhabitats of high scenic quality combined with manifestations of unique or traditional land-use
patterns and opportunities for public enjoyment through recreation and tourism.
CATEGORY VI: Managed Resource Protected Area: protected area
managed mainly for the sustainable use of natural ecosystems Area
containing predominantly unmodified natural systems, managed to ensure longterm protection and maintenance of biological diversity, while providing at thesame time a sustainable flow of natural products and services to meet
community needs.
Category VI areas are characterized by predominantly unmodified “natural systems” that aremanaged to provide both maintenance of biological diversity and a sustainable flow of natural
products and services. The expression “natural system” can be interpreted many different ways.
For purposes of the IUCN categories it can be taken to mean “ecosystems where since theindustrial revolution (1750) human impact (a) has been no greater than that of any other native
species, and (b) has not affected the ecosystem’s structure. Climate change is excluded from thisdefinition.”2 For an area to qualify for Category VI designation, not only must the site meet thedefinition of a protected area, but at least two-thirds of the site should be, and is planned toremain, in a natural condition. Large commercial plantations must not be included, and, as in all
categories, a management authority must be in place. Category VI sites should also be large
enough to absorb sustainable resource uses without detriment to the sites’ overall long-term
natural values.
---------Because many protected areas, particularly forest areas, are established for multiple objectives,at least three-quarters of a designated area must be managed primarily for one of the above
management objectives in order for it to be listed under the corresponding category. The
management of the remaining area must not be in conflict with that primary purpose. In cases
where parts of a single management unit are classified by law as having different management
objectives, or where one area is used to ‘buffer’ or surround another, they would be listed
separately.
All protected areas must meet a test of management responsibility and ownership. Management
authority may be through national government, local authority, informal community group, nongovernmental organization, or private ownership, provided that it provides the capacity toachieve the given management objective. In general more strictly protected sites require state
power for full protection, but recent experiments in vesting legal power in private entities fornature conservation objectives leave open the possibility of exceptions. Ownership of a unit
must also be compatible with achievement of management objectives in order for the site to belisted.
*2**

IUCN (1991), Caring for the Earth; a strategy for survival. IUCN, UNEP, WWF. Michell Beazley,
London, 150 pp.

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Published by

INTERNATIONAL TROPICAL TIMBER ORGANIZATION (ITTO)

INTERNATIONAL ORGANIZATIONS CENTER, 5TH FLOORPACIFICO-YOKOHAMA, 1-1-1, MINATO-MIRAI, NISHI-KU, YOKOHAMA, 220-0012 JAPANTEL: (81-45) 223-1110, FAX: (81-45) 223-1111
E-mail:itto@mail.itto-unet.ocn.ne.jp
http://www.itto.or.jp/

Copyright © 1998 International Tropical Timber Organization (ITTO)

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