ITTO pioneered the development of C&I in tropical forestsin the early 1990s with the aim of enabling the assessment of
the condition of tropical forests in producer member countries
and identifying weaknesses in forest practices and theimprovements needed. Since then, nine C&I schemes coveringsome 150 countries have been established, collectively
encompassing all the world’s major ecozones.

Criteria and Indicators for the Sustainable Management of Tropical Forests

Criteria and indicators (C&I) for sustainable forest management(SFM) are arguably one of the most important and innovative
policy instruments for operationalizing the concept of SFM. Criteria
characterize the essential components of SFM, and indicators
are ways of assessing those components. When monitored
over time, C&I show changes and trends in the biophysical,
socioeconomic and policy conditions relevant to SFM.

POLICY DEVELOPMENT

21

ITTO
criteria and indicators forthe sustainable managementof tropical forests

The aim of this revised edition of ITTO’s C&I is to ensurethat this instrument continues to meet the evolving needs oftropical forest stakeholders and to comprehensively inform thedevelopment of tropical forest policies and management practices.
Among other things, it will help tropical countries in reporting to
ITTO and other processes, such as the Sustainable Development
Goals, and in establishing baselines for REDD+.

Policy development series 21

INTERNATIONAL TROPICAL TIMBER ORGANIZATIONInternational Organizations Center, 5th Floor, Pacifico-Yokohama, 1-1-1, Minato-Mirai, Nishi-ku, Yokohama, 220-0012, Japan
Tel 81-45-223-1110 Fax 81-45-223-1111 Email itto@itto.int Web www.itto.int© ITTO 2016

ITTO

International Tropical Timber Organization

criteria and indicators for the sustainable management of tropical forests

1

Criteria and indicators for the sustainable
management of tropical forests

ITTO Policy Development Series 21

2

Criteria and indicators for sustainable forest management
Preferred citation: ITTO 2016. Criteria and indicators for the sustainable management of tropical forests. ITTO Policy
Development Series No. 21. International Tropical Timber Organization, Yokohama, Japan.
The International Tropical Timber Organization (ITTO) is an intergovernmental organization promoting the conservation andsustainable management, use and trade of tropical forest resources. Its members represent the bulk of the world’s tropicalforests and of the global tropical timber trade. ITTO develops internationally agreed policy documents to promote sustainable
forest management and forest conservation and assists tropical member countries to adapt such policies to local
circumstances and to implement them in the field through projects. In addition, ITTO collects, analyzes and disseminates dataon the production and trade of tropical timber and funds projects and other actions aimed at developing sustainable forest
industries at both the community and industrial scales. Since it became operational in 1987, ITTO has funded more than 1000
projects, pre-projects and activities valued at more than US$400 million. All projects are funded by voluntary contributions, themajor donors being the governments of Japan, Switzerland, the United States of America and Norway, and the European Union.
© ITTO 2016
This work is copyright. Except for the ITTO logo, graphical and textual information in this publication may be reproduced inwhole or in part provided that it is not sold or put to commercial use and its source is acknowledged.
Disclaimer
The designation employed and the presentation of material herein do not imply the expression of any opinion whatsoeverconcerning the legal status of any country, territory, city or area, or of its authorities or concerning the delimitation of its
frontiers and boundaries.
ISBN 978-4-86507-028-6
Front-cover photo: Measuring REDD+: Local people receive training in measuring tree diameters to estimate carbon stocks
in the Meru Betiri National Park, East Java, Indonesia, as part of ITTO project PD 519/08 Rev.1(F). Photo: FORDA.
Back-cover photo: Species inventory: Foresters establish a monitoring plot during a national inventory of Dalbergia species
in Guatemala as part of a project funded by the ITTO–CITES Programme. Photo: R. Martinez/FNPV

criteria and indicators for the sustainable management of tropical forests3

4

Contents
Contents.................................................................................................................................... 4
Foreword . ................................................................................................................................. 6
Acknowledgements..................................................................................................................... 7
Acronyms................................................................................................................................... 8
1 Introduction......................................................................................................................... 9
History of C&I, and lessons learned ..................................................................................... 9
Evolving context of C&I...................................................................................................... 10
Benefits................................................................................................................................ 10
Sustainable forest management and permanent forest estate................................................. 11
Rationale and process for this revision.................................................................................. 12
2 A brief explanation of criteria and indicators ................................................................... 14
The purpose of criteria and indicators.................................................................................. 14
The criteria........................................................................................................................... 15
The indicators...................................................................................................................... 15
Levels of application of the ITTO C&I .............................................................................. 16
Annexes, terms and definitions............................................................................................. 16
Linking SFM objectives, principles of natural tropical forest management and C&I............ 17
3 ITTO criteria and indicators for the sustainable management of tropical forests........... 18
Criterion 1: Enabling conditions for sustainable forest management................................... 18
Criterion 2: Extent and condition of forests........................................................................ 18
Criterion 3: Forest ecosystem health and resilience.............................................................. 19
Criterion 4: Forest production............................................................................................ 19
Criterion 5: Forest biological diversity................................................................................. 19
Criterion 6: Soil and water protection................................................................................. 20
Criterion 7: Economic, social and cultural aspects............................................................... 20
4 C&I monitoring, assessment and reporting format.......................................................... 21
Criterion 1: Enabling conditions for sustainable forest management................................... 21
Policy, legal and governance framework: indicators 1.1–1.3................................................. 21
Institutional framework: indicators 1.4 and 1.5................................................................... 24
Planning and monitoring framework: indicators 1.6–1.9..................................................... 26
Economic framework: indicators 1.10 and 1.11................................................................... 28
Criterion 2: Extent and condition of forests ....................................................................... 30
Extent and condition of forests: indicators 2.1–2.8.............................................................. 30
Criterion 3: Forest ecosystem health and resilience.............................................................. 36
Addressing threats to, and vulnerabilities of, forests: indicators 3.1–3.3............................... 36
Restoration of degraded forests and lands: indicators 3.4 and 3.5 . ...................................... 39
Criterion 4: Forest production............................................................................................ 41
Resources assessment: indicators 4.1–4.4............................................................................. 41
Harvesting planning and control procedures: indicators 4.5–4.7.......................................... 45
Silviculture in natural and planted forests: indicators 4.8–4.10............................................ 47
Criterion 5: Forest biological diversity................................................................................. 50
Ecosystem diversity: indicators 5.1 and 5.2.......................................................................... 50
Species diversity: indicators 5.3 and 5.4............................................................................... 52
Genetic diversity: indicator 5.5............................................................................................ 53
Biodiversity conservation in production forests: indicators 5.6 and 5.7 ............................... 54

criteria and indicators for the sustainable management of tropical forests

5

Criterion 6: Soil and water protection................................................................................. 55
Extent of protection: indicators 6.1 and 6.2......................................................................... 55
Protective functions in production forests: indicators 6.3–6.5.............................................. 56
Criterion 7: Economic, social and cultural aspects.............................................................. 58
Economic aspects: indicators 7.1–7.3 . ................................................................................ 58
Social and cultural aspects: indicators 7.4–7.9...................................................................... 60
Community and indigenous peoples’ rights and participation in forest management:
indicators 7.10–7.12 ........................................................................................................... 64
References............................................................................................................................... 66
Annex 1: Schematic representation of the ITTO criteria and indicators forsustainable forest management................................................................................................. 70
Annex 2: Definitions................................................................................................................ 71
Annex 3: IUCN protected-area management categories........................................................... 77
Annex 4: IUCN Red List categories and criteria...................................................................... 78
Annex 5: CITES Appendices................................................................................................... 79
Annex 6: Ownership and management rights of forests .......................................................... 80

6Foreword
ITTO pioneered the development of criteria and indicators (C&I) for sustainable forest management(SFM) in the early 1990s to assist in monitoring and assessing the condition of natural tropicalforests in the Organization’s producer member countries and in identifying improvements neededin forest practices. ITTO published Criteria for the Measurement of Sustainable Tropical Forest
Management in 1992 and revised versions in 1998 and 2005.
In addition to its pioneering normative work on C&I, ITTO has provided strong leadership in theimplementation of C&I in its producer member countries. ITTO has invested around US$30 million
in projects to build the capacity of tropical forest countries to use and apply C&I, and it has
convened 28 C&I training workshops attended by participants from 30 ITTO tropical producer
member countries; overall, ITTO’s investment in C&I is the single-biggest such investment by any
international organization. Submissions by ITTO member countries according to the C&I haveprovided data for two editions of Status of Tropical Forest Management, ITTO’s periodic survey offorest management in the tropics.
In 2014, ITTO’s governing body, the International Tropical Timber Council, decided anothercomprehensive review was needed to ensure that ITTO’s C&I continue to meet the evolving needsof forest stakeholders and to fully inform the development of forest policies and management
practices. This revised edition of the ITTO C&I is the outcome of that process. It is timely in lightof recent global developments in forest policy, such as those related to climate-change mitigation
and adaptation, the Convention on Biological Diversity’s Aichi Biodiversity Targets, and theSustainable Development Goals (SDGs), as well as in view of recent work among C&I processes
and the Food and Agriculture Organization of the United Nations (FAO) to streamline andrationalize national reporting on forests. The use of the C&I is voluntary; their purpose is to assist
countries in their efforts to achieve SFM and also to help bring consistency to international data.
I have no doubt that this new edition of the ITTO C&I will make an important contribution toforest policy discussions and ITTO’s ongoing work, and it will also help member countries inreporting to ITTO and FAO, among others, and in establishing baselines for REDD+ and reportingon the SDGs. I thank all those who contributed to it.
Steve Johnson
ITTO Officer-in-Charge
Yokohama, Japan, August 2016

criteria and indicators for the sustainable management of tropical forests

Acknowledgements
Many people provided important inputs to the development of this document. There are too many
to name them all here, but ITTO especially acknowledges: Jürgen Blaser (the coordinator of thereview process); Olivier Ahimin, Heiko Liedeker, John Parrotta, Cesar Sabogal and Thang Hooi
Chiew (the other members of the review team); Roberto Hoft, Ichiro Nagame and Ian Thompson,
who provided written comments; Alastair Sarre for editing; Jelena Markovic, who provided logisticalsupport for the meeting of the review panel; Debra Butt and Bill Pearson for design and layout; andthe members and observers of the International Tropical Timber Council, who provided a wide
range of inputs that greatly improved the document.
Even though he was not directly involved in this revision of the ITTO C&I, ITTO acknowledges
the pivotal contributions of Professor Duncan Poore to its work on C&I over the past 30 years.
Professor Poore played key roles in the development of all previous versions of the ITTO C&I
and had agreed to review this revision prior to his passing in March 2016. ITTO dedicatesthis version of the C&I to his memory.

7

8

Acronyms
C&I

criteria and indicators

CBD

Convention on Biological Diversity

CITES

Convention on International Trade in Endangered Species of Wild Fauna
and Flora

FAO

Food and Agriculture Organization of the United Nations

FLEGT

forest law enforcement, governance and trade

FLR

forest and landscape restoration

FMU

forest management unitGDPgross domestic product

INDCs

intended nationally determined contributions

ITTC

International Tropical Timber Council

ITTO

International Tropical Timber Organization

IUCN

International Union for Conservation of Nature

NAMA

nationally appropriate mitigation action

NTFP

non-timber forest product

PFEpermanent forest estate

REDD+

See Annex 2

SFM

sustainable forest management

UNCCD

United Nations Convention to Combat Desertification

UNFCCC

United Nations Framework Convention on Climate Change

UNFF

United Nations Forum on Forests

criteria and indicators for the sustainable management of tropical forests

1 Introduction
History of C&I, and lessons learned
Criteria and indicators (C&I) for sustainable forest management (SFM) are arguably one of themost important and innovative policy instruments for operationalizing the SFM concept (ITTO
2011). Criteria characterize the essential components of SFM, and indicators are ways of assessing
those components. When monitored over time, C&I show changes and trends in the biophysical,
socioeconomic and policy conditions relevant to SFM.
Since 1990, nine C&I schemes covering some 150 countries have been established, collectively
encompassing all the major ecozones—boreal; temperate; subtropical and tropical dry; and tropicalhumid. Grainger (2012) provided a critical and comprehensive analysis of the schemes and theirstrengths and weaknesses.
ITTO pioneered the development of C&I in tropical forests in the early 1990s, publishing theworld’s first set of criteria for SFM (Criteria for the Measurement of Sustainable Tropical Forest
Management; ITTO 1992) with the aim of enabling the assessment of the condition of tropicalforests in producer member countries and identifying weaknesses in forest practices and theimprovements needed. By 2000, based on ITTO’s early work and the outcomes of the 1992 Rio
Earth Summit, C&I initiatives had been launched worldwide (Caswell et al. 2014), including theMontreal Process (1994) for temperate and boreal forests; the Tarapoto process for the Amazon
countries (starting in 1995); Principles, Criteria and Indicators for the Sustainable Management ofAfrican Natural Tropical Forests (published by the African Timber Organization and ITTO in 1995);
and Forest Europe (for European forests), beginning in 1995.
ITTO published Criteria and Indicators for Sustainable Management of Natural Tropical Forests in1998 (ITTO 1998a,b), an updated version of its original criteria (i.e. ITTO 1992) that included
manuals for applying the C&I at the national and forest management levels. ITTO published the
Revised ITTO Criteria and Indicators for the Sustainable Management of Tropical Forests including
Reporting Format in 2005 (ITTO 2005), updating the C&I and providing a clear template for amonitoring and reporting format.
Since 2005, significant progress has been made in further developing C&I as policy instruments.
The predominant view is that C&I are tools for adapting management over time (rather than an
end in themselves) to maintain the health and productivity of forests in the light of changing
economic, social and environmental conditions and demand for forest goods and environmental
services. Taking this view into account, a conference of interested parties (including ITTO) in 2003
identified “seven thematic areas” of SFM based on the criteria common to the major C&I processes.
From 2005, these seven thematic elements have formed the basis and provided the organizing
framework for the periodic global forest resources assessments (FRAs) produced by the Food andAgriculture Organization of the United Nations (FAO). They were also ultimately incorporated in
the Non-Legally Binding Instrument on All Types of Forests of the United Nations.
Nevertheless, fully applying the ITTO C&I (or any other set of C&I) remains a major challenge
for many tropical forest countries, which often lack sufficient capacity, financing, commitment,
policy frameworks and stakeholder engagement. For example, all countries are able to collect dataon some indicators, but very few can report on all of them. The specific nature and extent of thechallenges vary widely by country, too. Some challenges can only be addressed internally by raising
the level of priority given to forests in national agendas, taking into account cost-effectiveness andtechnical feasibility. Other challenges can be overcome through increased international cooperation,
public–private partnerships, and collaborative initiatives among countries in particular C&I
processes and between the various processes. In many countries, strengthening the capacity to collect9

10

data, report on indicators, and integrate C&I into policies and programmes at an operational level
will continue to be important for decision-making on SFM. Existing sets of C&I present challenges
for some users. In particular, indicators at the level of the forest management unit (FMU)1 may
benefit from review with respect to their suitability and feasibility for use by local communities andsmall forest enterprises.

Evolving context of C&I
C&I are playing important roles in a range of forest-related developments and issues, including asa foundation for international initiatives to assess forest governance in the context of REDD+2 andto establish principles, criteria and indicators for sustainable intensive woodfuel production (FAO
2010). C&I are also relevant to the assessment of forest-related trends pertaining to the Aichi
Biodiversity Targets (CBD 2013).3
A number of countries apply C&I in national forest carbon calculations and in related efforts to put
a value on carbon in the broader context of SFM. C&I frameworks have served as models fordeveloping national environmental indicators and C&I applicable to, for example, rangelands/
grasslands, agricultural crops, water and minerals.
The value of C&I in addressing forest-related global challenges is increasingly evident and warrants
further attention. The experience and expertise gained in developing and applying the ITTO C&I
and other sets of forest-related C&I processes could be valuable in similar initiatives in other fields(Caswell et al. 2014).
Many actors at the national and landscape levels have interests in forests (Figure 1), some of which
are compatible and some of which are not. For example, some stakeholders might want to preservea forest untouched, while others might want to clear it for commercial crops or mineral extraction.
Between these two extremes is a wide range of actors with a broad set of forest uses. For them, C&I
can help in ensuring that all forest values are accounted for in the management and use of the resource.

Benefits
C&I constitute a common policy tool to assist countries in monitoring, assessing and reporting on
trends in forest conditions and progress toward SFM at various levels, while allowing for differences
within and between countries. Improvements in the quality, coverage and consistency of C&I data
in an increasing number of tropical countries has enabled more comprehensive regional and global
forest assessments, such as ITTO’s reports on the status of tropical forest management (Blaser et al.
2011) and FAO’s FRAs. Countries that use C&I for monitoring, assessment and reporting are likely
to be well-positioned to respond to external requests for forest-related reporting.
The version of the ITTO C&I presented in this document is designed to address the four objectivesof SFM enumerated in the Voluntary Guidelines for the Sustainable Management of Natural Tropical
Forests (ITTO 2015):
1. providing the enabling conditions for SFM;
2. supporting forest ecosystem health and vitality;
3. maintaining the multiple functions of forests to deliver products and environmental services; and4. integrating economic, social and cultural aspects in forest management.
1
2
3

An FMU is a clearly defined forest area, managed to a set of explicit objectives according to a long-term management plan. See Annex 2
for a glossary of terms used in this document.
The term given to the efforts of countries to reduce emissions from deforestation and forest degradation and foster conservation,
sustainable management of forests, and enhancement of forest carbon stocks (www.forestcarbonpartnership.org/what-redd).
Aichi Biodiversity Targets—see www.cbd.int/sp/targets.

criteria and indicators for the sustainable management of tropical forests

Figure 1: The various sectors with direct influence on the conservation and sustainable managementof natural tropical forests
Private sector

The forest
conversion
drivers

Governments

The forest
extraction(“logging”)
drivers

Natural tropical forests
The REDD+
andconservation
drivers

Local communities

The local
interests/
access toresources
drivers

Global community
Source: ITTO (2015).

The ITTO C&I provide a logical structure for countries to use in monitoring, assessing andreporting on their progress towards SFM and in reporting to ITTO on the status of tropical forest
management (Annex 1).

Sustainable forest management and permanent forest estate
The ITTO C&I have been developed to suit the situations of tropical forest countries. Two key
concepts underlie them: 1) SFM to ensure the sustainable supply of forest goods and environmental
services; and 2) application in areas destined to remain under forest cover “in perpetuity”—that is,as permanent forest estate (PFE) (ITTO 2015).
In general, SFM involves the application of the best-available practices based on current scientificand traditional knowledge that allow multiple objectives and needs to be met without degrading theforest resource (ITTO 2015). SFM also requires effective and accountable governance and thesafeguarding of the rights of forest-dependent peoples. Nevertheless, the concept of SFM will changeover time in response to the dynamic and evolving needs of society, and this may be partly the reason
for the lack of precision in defining it.
SFM embraces the view that forests produce an array of forest products and social (including
cultural) and environmental services. SFM therefore supports the multiple use of forests. It refers
not just to the flow of goods and environmental services but also to maintaining forest ecologicalprocesses essential for maintaining ecosystem resilience—which is the capacity of a forest ecosystem
to recover following disturbance (Thompson et al. 2009).

11

12

An important dimension of SFM is the scale at which it is applied, as discussed below:•

At the global and national/subnational scales, the concept of SFM has evolved in the past 20
years as an approach that balances economic, social (including cultural) and environmental
management objectives. The guiding objective is to contribute to the management, conservationand sustainable development of forests and to provide for their multiple and complementaryfunctions and uses. The global environmental services provided by forests, such as those related
to the carbon cycle and biodiversity, should be addressed at the international level because all
people have an interest in their maintenance; global payment mechanisms for such services arebeing discussed in international fora. Much of the policy development on SFM initiated at theinternational level, including ITTO’s work on C&I and various guidelines, has influenced
policies at the global and national levels.

•

At the landscape scale within a country, the objective of maximizing wood yields has
traditionally been overwhelmingly important. The landscape scale affords a means of considering
several land-use systems—such as forestry, agriculture and livestock production—in a more
integrated manner and for reconciling the varying needs among stakeholders. Growing
awareness of the broad role of forests has led to new approaches to SFM that give weight to thefull range of economic, social and environmental objectives. At the landscape scale, tradeoffs
will usually have to be made in the mix of products, environmental services and values offeredby forests. Ideally, such tradeoffs are agreed in a planning process involving all stakeholders andrepresenting a consensus view on what constitutes SFM in a particular landscape within physicaland other constraints. Questions to be addressed in such processes include: How much forest
do we need or want? What kinds of forests should there be? Where should they be situated?
How should they be conserved and managed?

•

At the FMU scale, SFM has three elements: 1) the management of forests for multiple
objectives; 2) achieving a balance among outputs (of goods and environmental services), rather
than the maximization of any single one; and 3) designing and implementing management
practices compatible with the social and ecological processes that sustain forest resources andecosystems. The management of forest stands may vary within an FMU and still be compatible
with SFM; for example, some stands may temporarily have low or no tree cover, while others
at different growth stages may be fully stocked.

In summary, the essential aim of SFM is to maintain and enhance the potential of forests (at all
scales) to deliver the goods and environmental services that people and societies require of them overtime. Thus, the use of forests should be planned at the national, landscape and FMU scales, andeach FMU should be managed sustainably for the purposes for which it is intended in the landscape.
Permanence is a necessary condition for SFM. As defined in ITTO (2005), the PFE comprises land,
whether public or private, secured by law and kept under permanent forest cover. It includes land
for the production of timber and other forest products, for the protection of soil and water, and forthe conservation of biodiversity, as well as land intended to fulfil a combination of these functions.
The production PFE comprises permanently maintained forest areas (natural and planted) in whichtimber harvesting and other forms of resource use are permitted, subject to certain conditions. The
protection PFE comprises permanently maintained natural forest in which such exploitation is
generally not permitted. The ITTO C&I are applicable to all these types of PFE, although emphasis
is given to production PFE.

Rationale and process for this revision
C&I have helped increase awareness of the benefits of forests beyond the production of timber andfibre. They also point to the importance of governance systems that integrate the economic, socialcriteria and indicators for the sustainable management of tropical forestsand environmental values of forests, including through cross-sectoral coordination and themeaningful involvement of stakeholders at all levels. The scope and scale of C&I has widened asforests have become more prominent in international fora such as the Convention on Biological
Diversity (CBD) (e.g. the Aichi Biodiversity Targets) and the United Nations Framework
Convention on Climate Change (UNFCCC) (and its attention to REDD+). C&I constitute acomprehensive package for accounting for all the functions of forests; they enable a holistic approach
to forest management and thereby provide an essential tool for decision-making on forest
management.
In 2014, the International Tropical Timber Council decided to initiate a process to comprehensively
review and improve the ITTO C&I based on lessons learned and recent developments, taking into
account ITTO’s Voluntary Guidelines for the Sustainable Management Of Natural Tropical Forests(ITTO 2015) and other relevant guidelines, as well as recent updates by other C&I processes; theuse of the seven thematic elements of SFM for international reporting; and recent trends incertification and the local control of forests. The Council decided that emphasis should be given to
relevant global developments and emerging issues related to, among others, REDD+, the increased
use of woodfuel, biodiversity conservation, and the emergence of the bio-economy. Special
consideration was to be given to:•

streamlining aspects at the indicator level at the national, landscape and FMU scales;•

the further elaboration of indicators, as appropriate, on forest governance, sustainable woodfuelproduction, the contribution of forests to the global carbon cycle, and the role of forests inclimate-change adaptation; and•exploring connections among the ITTO, African Timber Organization/ITTO and Tarapoto
C&I and the feasibility and merits of enhanced convergence.

Box 1 provides an overview of relevant developments in ITTO that were taken into account inrevising the ITTO C&I.
Box 1: Developments on C&I in ITTO since 2002
2002–2014

Convening of 28 national C&I training workshops attended by 1280 participantsfrom 30 countries in the three tropical regions (Africa, Asia and the Pacific, andLatin America and the Caribbean), and the funding of C&I projects

2003–2005

Development and publication of the African Timber Organization/ITTO Principles, Criteria
and Indicators for the Sustainable Management of African Natural Tropical Forests

2004–2005

Review and publication of the Revised ITTO Criteria and Indicators for the
Sustainable Management of Tropical Forests, including Reporting Format

2006, 2011

Publication of ITTO’s flagship report, Status of Tropical Forest Management,
based on national C&I reporting

2002, 2009, 2015

Publication of:• ITTO Guidelines for the Restoration, Management and Rehabilitation of Degraded
and Secondary Tropical Forests (2002)• ITTO/IUCN Guidelines for the Conservation and Sustainable Use of Biodiversity inTropical Production Forests (2009, a revision of similar guidelines published in 1993)• Voluntary Guidelines for the Sustainable Management of Natural Tropical Forests(2015, a revision of similar guidelines published in 1991)

13

14

2 A brief explanation of criteria and Indicators
The purpose of criteria and indicators
The ITTO C&I provide tropical forest countries with a tool for monitoring, assessing and reportingon changes and trends in forest conditions and management systems at the national/subnational4
and FMU levels. C&I identify the main elements of SFM at the jurisdictional levels applicable in acountry, thereby providing a means of assessing progress towards SFM. The ITTO C&I, therefore,
can be used for monitoring, assessing and reporting on the production and protection of goods andenvironmental services in all types of tropical forests, both natural and planted, and for addressing
the needs of specific stakeholder groups in tropical countries. Figure 2 schematizes the use of C&I.
Figure 2: The use of the ITTO C&I as a tool for monitoring, assessment and reporting on sustainable
forest management at the national level
International reporting:Status of Tropical Forest
Management, and others

National level: compilation of reports from FMUs and, where appropriate, at the landscape level, thus
consolidating information for monitoring, assessment and reporting on SFM and fulfilling national reporting
requirements to ITTO and other international fora

Landscape level (where appropriate)

FMU 1 (forest
concession)

FMU 2(planted forest)

FMU 3(community forest)

FMU…

The information generated through the use of the ITTO C&I helps in communicating the status
of SFM and efforts to achieve it. It assists countries in developing strategies for SFM as well as for
REDD+, forest law enforcement, governance and trade (FLEGT) and forest and landscaperestoration (FLR) initiatives. The C&I enable the identification of research and development needs
in areas where knowledge is deficient, as well as weaknesses in the implementation of SFM. They
assist in improving policies and strategies for SFM and in identifying the need for international
assistance and cooperation.
The ITTO C&I are designed as a framework, within which each country can develop its own systemfor determining sustainability at the national and FMU levels. C&I are an evolving concept andtherefore need periodic review and refinement in the light of experience and changing economic,
social and environmental conditions. Such revision should take into account new knowledge on thefunctioning of tropical forest ecosystems, the vulnerability of forests to natural hazards, the humanimpacts on forests (planned and unplanned), and the ever-changing needs of society for forest goods
4

Subnational where appropriate, such as in countries with federal governmental structures.

criteria and indicators for the sustainable management of tropical forestsand environmental services. Moreover, the capacity to measure indicators, and their technical,
financial and political feasibility, will change over time, and knowledge will improve on the “best”
indicators with which to assess, monitor and report on tropical forest management.

The criteria
C&I reflect a holistic approach to forests as a landscape component providing multiple benefits.
Criteria are the essential elements of SFM and indicators are ways of measuring them. The
development of criteria common to the various C&I processes globally led to the identification of“seven thematic elements of SFM”, which ultimately were incorporated in the Non-Legally Binding
Instrument on All Types of Forests of the United Nations.
Box 2: Criteria and indicators for sustainable forest management
A criterion is defined as an aspect of forest management that is considered important and by which SFM
may be assessed. A criterion accompanied by a set of related indicators describes a state or situation thatshould be met to comply with SFM.

The ITTO C&I specify seven criteria as essential elements of SFM. Criterion 1, “Enabling conditions
for sustainable forest management”, is concerned with the general legal, economic and institutionalframework, without which actions included under the other criteria will not succeed. Jointly with
Criteria 2, “Extent and condition of forests”, Criterion 1 provides the necessary information to assess
the enabling conditions for SFM. Criterion 3, “Forest ecosystem health and resilience”, is concernedwith the risk to forests posed by destructive agents and stresses. Criteria 4, “Forest production”,
Criterion 5, “Forest biological diversity”, and Criterion 6, “Soil and water protection”, are concernedwith maintaining the multiple functions of forests to deliver products and environmental services.
Criterion 7, “Economic, social and cultural aspects”, addresses the economic, social and cultural valuesof forests and the extent to which forest management maintains those values, for example by adherence
to social safeguards established in national and international financing mechanisms.
The order of presentation of the criteria does not indicate priority or relative importance. Annex 1
presents the seven ITTO criteria schematically.

The indicators
An indicator is a quantitative, qualitative or descriptive attribute that, when measured and monitored
periodically, indicates the direction of change in a criterion. Indicators identify the informationneeded for assessing and monitoring change, both in the forest itself (outcome indicators) and as
part of the environmental and forest management systems used (input and process indicators). A
time series of the values of any measurable or clearly descriptive indicator can provide informationon the direction of change, either towards or away from SFM. The indicators cannot by themselves
establish the sustainability of management, however.
The indicators presented in this document have been identified and refined based largely on theinformation received in the 28 C&I national workshops convened by ITTO from 2002 to 2014.
The measurement of any one of these indicators over time will provide information that is bothnecessary and significant in assessing progress towards SFM. The indicators have been defined sothey are clear and practical to monitor; to the greatest extent possible, they are based on available
knowledge and data.
It is clear, however, that information is not readily available for all indicators in any given country.
Where data are lacking, a self-rating system for assessing data quality (e.g. “high”, “medium” or“low”) at the indicator level could be used in national C&I reporting systems, where a rating of“low” data quality might exclude such data from ITTO’s aggregated reporting.

15

16

Countries face a considerable burden in reporting on various aspects of forest management todifferent international organizations. This burden can be minimized by ensuring that institutions(e.g. the CBD; FAO; ITTO; the United Nations Convention to Combat Desertification—
UNCCD; the UNFCCC; and the United Nations Forum on Forests—UNFF) coordinate theirrequests for forest-related data. To the greatest extent possible, the indicators described in thisdocument have been selected for their compatibility with internationally agreed standards anddefinitions. If the indicators are to give an accurate picture of trends, it is important that comparable
methods are used between one assessment and the next and that there is a way of estimating theaccuracy of the data presented. Ideally, the same methods of measurement and assessment will be
used over time, but data collection and analysis techniques are dynamic: for example, themeasurement of forest extent and quality using remote sensing and geographic information systems
is evolving quickly. Moreover, certain forests are monitored independently (e.g. under forest
certification schemes) and can provide valuable new inputs to official reporting. In each C&I report,
therefore, countries should describe the methods used, estimate the accuracy of the data, andindicate any difficulties encountered in collecting or analyzing the data.

Levels of application of the ITTO C&I
This document provides C&I for the national/subnational scale, the landscape scale (whereappropriate), and the local (FMU) scale. Although the overall sustainability of a nation’s forests
depends substantially on actions taken at the national scale (such as macro-scale decisions on land
uses and, within the PFE, between production and conservation), analysis at the FMU scale is the
key to assessing, monitoring and reporting on SFM. Experience in data collection in the last decadesuggests that, in many tropical countries, issues remain with respect to the provision or reliability ofdata obtained from FMUs. In principle, the national-level analysis of indicators may involve theaggregation of data collected at the FMU scale. The wide variability in the size and administrativeor ownership structures that commonly apply to FMUs, however, means that the validity of suchaggregation varies greatly. It is important, therefore, that countries provide clear descriptions of theirapproaches to defining FMUs, the variability in size of the FMUs, and their governance arrangements(e.g. concessions, government enterprises, community forests or private forests, or a mix of these).
All criteria are valid at the national, landscape and FMU scales. The level at which an indicator applies
is denoted in this document by üü if fully applicable, ü if partially applicable, and û if not applicable.
Nevertheless, the levels at which specific indicators are applicable may vary between countries. In
reporting against the ITTO C&I, therefore, countries should provide relevant information at what
they judge are the most appropriate levels in their contexts and provide explanations as necessary.
Cross-references are provided for each indicator to indicate where information might be available
beyond the local, subnational and national sources used to describe the indicator. Such references
are incomplete and might become outdated. It is expected that countries using C&I for monitoring
SFM will specify and update such references over time.

Annexes, terms and definitions
Annex 1 of this document outlines the concept of the seven criteria and the links between the ITTO
C&I and ITTO’s technical guidelines on various aspects of SFM. Annex 2 presents definitions of
the main terms used in this document—a clear understanding of terms such as FMU, PFE, SFM
and resilience is essential for the application of the ITTO C&I. If the definitions used in any
reporting country differ from those in Annex 2, those definitions should be provided, withreferences. Annex 3 lists the protected-area management categories of the International Union forConservation of Nature (IUCN), and Annex 4 refers to the IUCN Red List categories and criteria.
Annex 5 provides an overview of the Convention on International Trade in Endangered Species ofWild Fauna and Flora (CITES) Appendices, and Annex 6 classifies terms as they relate to ownership andmanagement rights in forests. An electronic “fillable” version of this document is available at www.itto.int.

criteria and indicators for the sustainable management of tropical forests

Linking SFM objectives, principles of natural tropical forest management and C&I
Table 1 summarizes the interrelationship between the ITTO criteria, the four objectives of SFM
enumerated in the Voluntary Guidelines for the Sustainable Management of Natural Tropical Forests(ITTO 2015), and the principles for managing tropical forests.
Table 1: The ITTO C&I as they relate to the management of tropical forests
SFM objective
1. Providing
the enabling
conditions for
SFM

Criterion
Criterion 1:
Enabling
conditionsfor SFM
Criterion 2:
Extent andcondition offorests

2. Ensuring
forestecosystem
health andvitality

Criterion 3:
Forestecosystem
health andresilience

Principles for managing tropical forests
Principle

Observations

Principle 1: Forest
governance andsecurity of tenure

Political commitment, supportive national policies,
strong institutions, laws and regulations,appropriate governance, security of forest
tenure and clearly defined access and use
rights, including customary and traditionalrights, are all necessary conditions for SFM

Principle 2: Landuse planning,permanent forest
estate and forest
management
planning

Managing tropical forests sustainably requiresthat land allocation and spatial planning within
and outside forests maintain or enhance theeconomic, social and environmental values offorests at a landscape scale. This requires the
adoption of a forest planning framework at thenational, subnational or landscape scale

Principle 3:
Ecologicalresilience,
ecosystem healthand climate-change
adaptation

Resilience is a key tenet of SFM in tropicalforests; it is essential that it is maintained orenhanced to reduce risks to sustainability.
Climate change is likely to affect tropical forests
and the people who depend on them. It isessential to identify, prevent, monitor andmanage threats to forests and to protect themfrom destructive agents and stresses.
There is a close interrelationship between
criteria 3 and 5

3. Maintaining
the multiple
functions offorests todeliver
products andenvironmental
services

Criterion 4:
Forestproduction

Principle 4:Multipurpose forest
management

Criterion 5:
Forestbiodiversity

Principle 5:
Silvicultural
management

4. Integratingsocial,cultural andeconomic
aspects toimplement
SFM

Criterion 7:
Economic,social andcultural
aspects

Criterion 6:
Soil and water
protection

Source: Modified from ITTO (2015).

Principle 6: Social
values, community
involvement andforest-worker safety
and healthPrinciple 7:
Investment in forest
management andeconomic
instruments

The role of tropical forests as providers of multiple
goods and environmental services should besafeguarded by the application of sound planningand management practices that maintain orenhance ecosystem functions and the potentialof the forest to yield the full range of benefits tosociety. In timber production forests, it is essential
to have an approved management plan withclearly stated objectives and the silvicultural
measures required to help meet those objectives
SFM needs to accommodate forest-based
production (particularly of timber), environmental
protection and local development concerns.
Natural tropical forests in particular perform
a wide range of socioeconomic and culturalfunctions, which must be recognized andmaintained

17

18

3 ITTO criteria and indicators for the sustainable
management of tropical forests
The ITTO C&I for the sustainable management of tropical forests, as revised in this document,
comprise seven criteria, 18 indicator groups that subdivide the criteria, and 58 indicators.

Criterion 1: Enabling conditions for sustainable forest management
Policy, legal and governance framework
1.1 Policies, laws and regulations for governing forests
1.2 Forest tenure and ownership
1.3 Forest governanceInstitutional framework
1.4 Institutions responsible for, and supportive of, forest management
1.5 Availability of professional and technical personnel to perform and support forest management

Planning and monitoring framework
1.6 Integration of forests in national and subnational land-use planning
1.7 Capacity and mechanisms for management planning and the periodic monitoring of implementation
1.8 Long-term projections, strategies and plans for production PFE and protection PFE
1.9 Stakeholder participation in land-use and forest management planning, monitoring and assessment

Economic framework
1.10 National, subnational and international public and private funding committed to SFM
1.11 Incentives to encourage SFM

Criterion 2: Extent and condition of forests
2.1 Extent and percentage of total land area under comprehensive land-use plans
2.2 Extent of forests committed to production and protection
2.3 Extent and percentage of total land area under each forest type
2.4 Multiyear forest management plans in FMUs
2.5 Forest area in compliance schemes
2.6 Change in forested area
2.7 Forest condition
2.8 Forest carbon stockcriteria and indicators for the sustainable management of tropical forests

Criterion 3: Forest ecosystem health and resilience
Addressing threats to, and vulnerabilities of, forests
3.1 Threats to forests caused directly by human activities
3.2 Vulnerability of forests to natural disturbances
3.3 Forest resilience and climate-change adaptation

Restoration of degraded forests and lands
3.4 Degraded forests and landscapes restored
3.5 Area of formerly degraded forest or forest land restored

Criterion 4: Forest production
Resource assessment
4.1 Natural production forest inventories, by product4.2 Actual and allowable harvest of wood and non-wood products in natural forests
4.3 Actual harvest of wood and non-wood products in planted forests
4.4 Forest carbon stock

Harvesting planning and control procedures
4.5 Timber harvesting arrangements in natural production forests
4.6 Forest product tracking systems or similar control mechanisms
4.7 Historical records on the extent, nature and management of forests

Silviculture in natural and planted forests
4.8 Reduced impact harvesting and silvicultural operations
4.9 Silvicultural management in planted forests
4.10 Strategic monitoring of silvicultural systems in natural and planted forests

Criterion 5: Forest biological diversity
Ecosystem diversity
5.1 Forest extent in protected areas
5.2 Buffer zone management and connectivity of protected forest areas

Species diversity
5.3 Threatened forest-dependent species
5.4 Procedures for conserving tree species diversity in natural tropical forests

Genetic diversity
5.5 In situ conservation of genetic variation within specified forest tree species

19

20

Biodiversity conservation in production forests
5.6 Biodiversity conservation measures in natural production forests
5.7 Biodiversity conservation in planted forests

Criterion 6: Soil and water protection
Extent of protection
6.1 Forest area managed primarily for the protection of soil and water
6.2 Protection of downstream catchment values at the landscape level

Protective functions in production forests
6.3 Soil productivity and water retention capacity in production forests
6.4 Area of production PFE considered environmentally sensitive and protected
6.5 Forest engineering for soil and water protection

Criterion 7: Economic, social and cultural aspects
Economic aspects
7.1 Contribution of the forest sector to gross domestic product
7.2 Value of domestically produced forest products and environmental services
7.3 Wood and non-wood forest product processing capacities and efficiency

Social and cultural aspects
7.4 Capacity building of the workforce in forest management and forest industry
7.5 Procedures to ensure the health and safety of forest workers
7.6 Mechanisms for the equitable sharing of the costs and benefits of forest management
7.7 Mechanisms for resolving disputes between forest stakeholders
7.8 Local livelihoods and forest management
7.9 Forests reserved for specific cultural, research or educational purposes

Community and indigenous peoples’ rights and participation in forest management
7.10 Tenure and user rights of indigenous peoples and local communities over publicly owned forests
7.11 Involvement of indigenous peoples and local communities in forest management
7.12 Recognition and value of forest-management knowledge and skills of local peoplecriteria and indicators for the sustainable management of tropical forests

4 C&I monitoring, assessment and reporting format
Criterion 1: Enabling conditions for sustainable forest management
The necessary enabling conditions for SFM at all scales—national/subnational, landscape and local(FMU)—are political commitment and supportive policies, laws and regulations; conducive economic
and financial conditions; appropriate institutions and adequate and equitable governance; adequate andsecure forest tenure, access and use rights, including customary and traditional rights; and appropriate
planning, monitoring and reporting frameworks.

A technician working for ITTO project RED-PD 045/11 Rev.2 interviews a farmer in Veracruz, Mexico, as part of an assessment of the valueof forest environmental services. The participation of local stakeholders is an important aspect of SFM. Photo: C. Ramirez/INECOL

Policy, legal and governance framework: indicators 1.1–1.3
Forests, especially those in the PFE, should be secured, protected and managed in accordance with best
management practices involving all stakeholders, in particular indigenous peoples and local communities
dependent on forests.
Indicator 1.1
Policies, laws and regulations for governing forests

National
level

FMU
level

Landscapelevel1üüüûProposed monitoring and reporting format
Framework governing:

Policies

Laws

Regulationsa) National SFM objectives, including production,
protection and investmentb) Mechanisms for cross-sectoral policy coordinationc) Establishment and security of the PFE
1 üü = fully applicable; ü = partially applicable; û = not applicable.

Continued next page

21

22

Indicator 1.1 (continued from previous page)
Proposed monitoring and reporting format
Framework governing:

Policies

Laws

Regulationsd) Forest tenure and associated rightse) Participation of local communities and otherstakeholders in forest managementf) Control of forest management operationsg) Control of illegal activities in forest areash) Health and safety of forest workers
Notes• List all relevant policies, laws and regulations• For each policy, law and regulation, give a brief description of any sections relevant to a) through h)• List significant gaps in the coverage of policies, laws and regulations (taking into account a) through h)• List significant changes made to laws, policies and regulations since the previous report
Cross-references
ITTO (2015), Principle 1; Blaser et al. (2011) and other editions of Status of Tropical Forest Management;
Convention No. 169 of the International Labour Organization; UN Declaration on the Rights of Indigenous
Peoples; UNFF reporting

Indicator 1.2
Forest tenure and ownership

National
level

FMU
level

Landscapelevel1üüüûProposed monitoring and reporting format
Class

Category

PFE

Publicly owned– State (including subnational states orprovinces, where applicable), including
share designated as leasehold– Municipal/communal or public associations– Other public [please specify]

Area (ha)Privately owned– Private investment firms– Foundations– Private associations of smallholders,
communities– Individuals/families
Indigenous-owned
Continued next page

criteria and indicators for the sustainable management of tropical forests

23

Indicator 1.2 (continued from previous page)
Proposed monitoring and reporting format
Class

Category

NonPFE

Publicly owned– State (including subnational states orprovinces, where applicable), including
share designated as leasehold– Municipal/communal or public associations– Other public [please specify]

Area (ha)Privately owned– Private investment firms– Foundations– Associations of smallholders, communities– Individuals/families
Indigenous-owned
Notes• Indicate the specific tenure and ownership situation according to the country’s legal context• Where applicable, specify differences between land and tree ownership, and forest carbon ownership• Distinguish between natural and planted forest
Cross-references
FAO (2015); Rights and Resources Initiative tenure data (www.rightsandresources.org/en/resources/
tenure-data)

Indicator 1.3
Forest governance

National
level

FMU
level

Landscape
level

üü

û

û

Yes/NoFurther information

Proposed monitoring and reporting format
Questions to characterize the indicatora) Does the forest law include a specific statement that
constitutes the national (or subnational, whereapplicable) policy for, or objective of, SFM?
b) Are the laws governing the use of forest resources
consistent and clear?
c) Do laws recognize traditional and indigenous rights toforest resources?
d) Are there mechanisms in government to address forestrelated policies and implementation cross-sectorally?
e) Does the law protect non-marketed goods and services(e.g. ecosystem integrity, water quality, cultural resources)?
f) Are stakeholders able to provide input to the creationof forest policies, public forest management plans
and subsidiary rules?
g) Are inventory data, management plans, laws andbudgets for state-owned forests easily accessible tothe public?
Continued next page24

Indicator 1.3 (continued from previous page)
Proposed monitoring and reporting format
Questions to characterize the indicator

Yes/NoFurther informationh) Is the collection, sharing and redistribution of forest
taxes, royalties, charges and rents effective?
i) Does the administration’s effort to combat forest crimes
encompass the whole forest supply chain (transport,
processing and trade)?
j) Do serious conflicts exist between the state andstakeholders that interfere with forest use?
k) Does the public have opportunities to report corrupt
practices to appropriate authorities?
l) Are there regular audits of the forest agencies, and isaction taken on the findings?
m) Do communication strategies and feedback
mechanisms exist to increase awareness of SFM?
Notes
• Based on national consultation processes as appropriate
Cross-references
ITTO (2015), Principle 1; PROFOR Forest Governance Toolbox

Institutional framework: indicators 1.4 and 1.5
Appropriate and capable institutions with effective linkages between them are essential for SFM. Wellorganized implementing agencies and research and educational institutions with sufficient appropriately
trained personnel are needed to ensure that forests are managed in accordance with scientific, technical,
socioeconomic and traditional knowledge.
Indicator 1.4
Institutions responsible for, and supportive of, forest
management

National
level

FMU
level

Landscape
level

üü

ü

û

Proposed monitoring and reporting format
Institutions

Name

Nature of responsibilities

Primary ministry in charge for forest management
Other public [please specify]
Semi-public (e.g. public enterprises)
Supporting
Other [please specify]
Continued next page

criteria and indicators for the sustainable management of tropical forests

25

Indicator 1.4 (continued from previous page)
Notes• Describe public institutions (e.g. forest agencies and enterprises) with primary responsibilities for forest
management, wildlife resources, REDD+, etc.
• “Other” institutions may include, for example, ministries and public agencies dealing with aspects
relevant to forest management, such as environment, energy and water; educational, training andresearch organizations; private-sector organizations (e.g. producer organizations); civil-society
organizations; the informal sector; and financial and investment institutions
Cross-references
Blaser et al. (2011) and other editions of ITTO’s Status of Tropical Forest Management reports; FAO (2015);
FAO (2014a) and other editions of FAO’s State of the World’s Forests; FAO policy papers; PROFOR policy briefs

Indicator 1.5
Availability of professional and technical personnel toperform and support forest management

National
level

FMU
level

Landscape
level

üü

üü

û

Proposed monitoring and reporting format
Category of personnel

Public [number]

Private [number]

Forest management
Professionals in forest management (universityeducated/technical)
Trained forest workers in forest management
Forest-based research and forest-based education
Others [please specify]
TOTAL
Downstream forest product industries andtrade
Professionals (university-educated/technical)
Trained workers
Other indirect employment [please specify]
TOTAL
Notes
• Forest management encompasses forest management planning, the implementation of forest
management plans, and monitoring, assessment and reporting, including administrative duties• As per Indicator 1.4, “public” comprises the primary ministry in charge of forest management,semi-public institutions, and those public institutions listed in “other”; it also encompasses forestry
administration, research and education• “Private” includes forest concessions, private operations, professional organizations, non-governmentalorganizations, etc.
Cross-references
FAO (2015); data from the International Labour Organization (www.ilo.org/global/statistics-and-databases)

26

Planning and monitoring framework: indicators 1.6–1.9
Planning is needed at the landscape scale—that is, over areas large enough to be resilient in the face ofenvironmental change and to maintain ecological integrity. Landscape-scale planning is essential for thesustainable management of natural resources, including forests, and it requires coordinatedinterinstitutional action and the participation of diverse stakeholders. Planning for SFM thus needs anadequate framework, combined with the use of appropriate technologies and effective monitoring and control.
Indicator 1.6
Integration of forests in national and subnational land-use
planning

National
level

FMU
level

Landscape
level

üü

ü

üü

Proposed monitoring and reporting format
Land-use policies and planning

Notes• Describe the mechanisms used to formulate land-use policies aimed at the conservation andsustainable use of natural resources, including land, soils, forests and water• Describe the extent to which SFM planning is part of landscape-level planning• Describe how multiple-use forest management is integrated into wider land-use planning• List the major constraints encountered in the integration of forests in land-use planning
Cross-references
World Bank sector analysis strategies (www.worldbank.org/en/projects-operations/country-strategies)
Indicator 1.7
Capacity and mechanisms for management planning andthe periodic monitoring of implementation

National
level

FMU
level

Landscape
level

üü

üü

û

Proposed monitoring and reporting format
Capacity and mechanisms

Notes• Describe the mechanisms used for planning SFM (including periodic monitoring, evaluation andfeedback on progress)• Describe how periodic national and subnational forest resource assessments are carried out and how
data are used
• Describe how multiyear forest management plans are developed and used for management planning at
the FMU level• Describe the capacity available and the institutions responsible for management planning and monitoring• List the major constraints encountered in management planning and monitoring
Cross-references
FAO (2015)

criteria and indicators for the sustainable management of tropical forests

27

Indicator 1.8
Long-term projections, strategies and plans for
production PFE and protection PFE

National
level

FMU
level

Landscape
level

üü

û

üü

Proposed monitoring and reporting format
Production PFE (including expanded use of planted forest)[Textual response, if possible with estimatesin hectares]

Protection PFE (including expanded use of planted
forest for protection purposes)[Textual response, if possible with estimatesin hectares]

Notes• Describe projections (five years and beyond), strategies or plans for production (including expanded
use of planted forest) to bring the management of harvesting practices and patterns into alignment
with SFM objectives and forest protection, based on categories as described in annexes 3, 4 and 5
Cross-references
FAO (2015); FAO (2014a) and other editions of FAO’s State of the World’s Forests; national REDD+
strategies; Aichi Biodiversity Targets

Indicator 1.9
Stakeholder participation in land-use and forest
management planning, monitoring and assessment

National
level

FMU
level

Landscape
level

üü

û

üü

Proposed monitoring and reporting format
List the institutions responsible for stakeholder
participation in land-use management planning
Describe the processes of stakeholder participation,
indicating the parties involved and their levels of
involvement
Describe any improvements proposed and any
constraints to their introduction
Notes• List the institutions responsible for stakeholder participation in land-use management planning at thelandscape scale (for small countries, this may also be the national level)
Cross-references
ITTO (2015), Principle 2; Rights and Resources Initiative (2015); REDD+ readiness: FCPF (2013); UNEP (2014)

28

Economic framework: indicators 1.10 and 1.11
One of the most important requirements for achieving SFM is the availability of financial resources (e.g.
grants, concessional funding and loans) and the provision of incentives and appropriate economic instrumentsthat promote and support SFM. Capturing the full value of forests, including forest products andenvironmental services, and ensuring the equitable distribution of costs and benefits, are essential for SFM.
Indicator 1.10
National, subnational and international public
and private funding committed to SFM

National
level

FMU
level

Landscape
level

üü

û

û

Proposed monitoring and reporting format
SourceAmount(US$’000)

Comment(including reference year)

Government sources- National government- Subnational government
International aid partners- Grant- LoanPrivate sources- Domestic- Foreign
Notes• Provide the exchange rate if reported in national currency• Indicate if funding is annual or multiyear budget
Cross-references
Collaborative Partnership on Forests Sourcebook; REDD+ financing reporting; Matta (2015); statistics of theInternational Finance Corporation; Forest Trends reporting on international private funding in forestry/REDD+

criteria and indicators for the sustainable management of tropical forests

29

Indicator 1.11
Incentives to encourage SFM

National
level

FMU
level

Landscape
level

üü

û

û

Proposed monitoring and reporting format
Assess and briefly describe the framework conditions (e.g.
legal, policy, institutional) to attract investments in forestry
Are economic instruments and other incentives being
implemented to encourage SFM?
• If yes, give the name of each economic instrument/
incentive, a short description and explanation of how it
is used, and the main institution(s) and mechanism(s)responsible for its implementation
Existence of a forest fund to support SFM (natural forests,
planted forest). Specify the yearly amount and the major use
Notes• Incentives to encourage SFM include financial instruments, such as national/bilateral /multilateralaid/financing/grants/loans/subsidies; financial guarantees; differential/preferential interest rates; tax
reductions; and transfer/compensation payments. They also include other kinds of economic incentive,
such as capacity development; market commitment; preferred market access (e.g. FLEGT); market
recognition (e.g. forest certification); risk mitigation; value adding; recognition and/or restitution of use(tenure/traditional) rights; and gains in efficiency and/or effectiveness
Cross-references
Collaborative Partnership on Forests Sourcebook; Matta (2015)

30

Criterion 2: Extent and condition of forests
SFM is a long-term enterprise that depends on the stability and security of the PFE. This criterion lays
the foundation for SFM within a well-planned distribution of production and protection forests. It
considers the extent and percentage of land under natural and planted forests and the wider context ofland-use planning, the need for the conservation of biodiversity and soil and water protection through themaintenance of a range of forest types, and the integrity and condition of forest resources.

Field officers conduct a forest inventory in the Kabaung Reserved Forest, Myanmar, as part of activities under ITTO project RED-PD 038/11
Rev.3 (F). Good information about the extent and condition of forests is essential for SFM. Photo: Myanmar Forest Department

Extent and condition of forests: indicators 2.1–2.8
Indicator 2.1
Extent and percentage of total land area undercomprehensive land-use plans

National
level

FMU
level

Landscape
level

üü

ü

üü

Total area (ha)Comment

Proposed monitoring and reporting format
Description/title of land-use plan

Notes
• Provide the area and percentage of the total land area under comprehensive land-use plans;
specify the area classified as PFE in the land-use plan
• Describe the processes for undertaking land-use/landscape planning• Indicate new trends in land-use planning (e.g. REDD+ and forest-related “Nationally Appropriate
Mitigation Actions”—NAMAs)
Cross-references
FAO (2015); Blaser et al. (2011) and other editions of ITTO’s Status of Tropical Forest Management reports

criteria and indicators for the sustainable management of tropical forests

31

Indicator 2.2
Extent of forests committed to production
and protection

National
level

FMU
level

Landscape
level

û

üü

û

Proposed monitoring and reporting format
Dedicated to:Wood (and nonwood forest product)
production (ha)Forest protection (ha)Natural forest- PFE- Non-PFE*
Planted forest- PFE- Non-PFE*
Area of PFE with boundaries physically demarcatedNotes• *Countries lacking a PFE should complete the non-PFE row• Indicate reference year and source• Indicate the area of privately held forest in the PFE• Indicate the extent and boundaries of the PFE that are uniquely identified, registered and formallyrecognized
Cross-references
FAO (2015); Blaser et al. (2011) and other editions of ITTO’s Status of Tropical Forest Management reports

Indicator 2.3
Extent and percentage of total land area under each
forest type

National
level

FMU
level

Landscape
level

û

üü

û

Proposed monitoring and reporting format
Forest type

Total

Total forest (ha)%Part of PFE (ha)Part of non-PFE (ha)

100

Notes
• Describe the forest (ecological) type classification used. Include azonal (non-climax) forest types(e.g. mangroves, swamp forests, limestone forests and saline forests)• Classifications of forest types based on species composition are more useful than those based onforest structure
Cross-references
FAO (2015) based on the classification of the World Conservation Monitoring Centre; Iremonger andGerrand (2011); WWF ecoregions (Based on Olson et al. 2001)

32

Indicator 2.4
Multiyear forest management plans in FMUs

National
level

FMU
level

Landscape
level

û

üü

û

Total forest(ha)

PFE (ha)Non-PFE(ha)

Proposed monitoring and reporting format

Production forests: natural forests and naturalregeneration forests, including protected areas inproduction forests)- Number of management plans- Area (ha)Production forests: planted forests- Number of management plans- Area (ha)Protected forests(including for soil, water and biodiversity)- Number of management plans- Area (ha)- Purpose of protection
Describe the effectiveness of implementation of forest
management plans. How is implementation monitored?

[Textual response]

Notes• Management plans include multiyear multipurpose forest management plans to manage forest products
and environmental services in natural forest areas and forest management plans in planted forests forany purpose• Please indicate the year(s) to which data apply
Cross-references
Blaser et al. (2011) and other editions of ITTO’s Status of Tropical Forest Management reports; national
data; FAO (2015)

criteria and indicators for the sustainable management of tropical forests

33

Indicator 2.5
Forest area in compliance schemes

National
level

FMU
level

Landscape
level

üü

üü

üü

Proposed monitoring and reporting format
Total
forest(ha)Comments

Forest management certification- Natural forests, including natural regeneration forests- Planted forests
Other legality assurance system[Please specify]

Notes• See definitions of “natural” and “planted” forests in Annex 2• Natural forest may include assisted natural regeneration, including the second generation of initiallyplanted trees• Specify the forest management certification schemes in place• Indicate the year(s) to which data apply
Cross-references
Forest Stewardship Council website (ic.fsc.org); Programme for the Endorsement of Forest Certification
website (www.pefc.org); ITTO Market Information Service (www.itto.int/market_information_service)

Indicator 2.6
Change in forested area

National
level

FMU
level

Landscape
level

üü

û

üü

Total forest(ha)

PFE (ha)Non-PFE(ha)

Proposed monitoring and reporting format

Forest area legally converted to agriculture sinceprevious report [please give year span]
Forest area legally converted to settlements andinfrastructure since previous report [please give year span]
Forest area legally converted for other purposes [please
specify] since previous report [please give year span]
Area legally converted to forests since previous report[please give year span]
Estimated forest area deforested illegally since previous
report [please give year span]Continued next page

34

Indicator 2.6 (continued from previous page)
Proposed monitoring and reporting format
Total forest(ha)

PFE (ha)Non-PFE(ha)

Forest area added since previous report[please give year span]:- Planted forest (afforestation)- Natural regrowth (as available)
Notes• Differentiate, if possible, between PFE and non-PFE• To the extent possible, the period for which change is reported should immediately follow the period
covered in the previous report
Cross-references
REDD+ reporting; FAO (2015)

Indicator 2.7
Forest condition

National
level

FMU
level

Landscape
level

üü

û

üü

Total area(ha)

PFE (ha)Non-PFE(ha)

Proposed monitoring and reporting format

Undisturbed/unmanaged natural forest
Managed natural forest
Degraded natural forest
Secondary forest (successional forest)
Degraded forest lands presently unstocked
Notes• See definitions in Annex 2 and ITTO (2015)• Undisturbed natural forests are forests without visible disturbances by humankind
Cross-references
ITTO (2002); Bonn Challenge (www.bonnchallenge.org); national REDD+ strategies

criteria and indicators for the sustainable management of tropical forests

35

Indicator 2.8
Forest carbon stock

National
level

FMU
level

Landscape
level

üü

û

û

Carbon stock
in total forest
area (’000
tonnes)Carbon stockin PFE (’000
tonnes)Carbon stockin non-PFE(’000 tonnes)

Proposed monitoring and reporting format
Reference year:

Aboveground
BelowgroundAll five carbon pools
Indicate the area of “total forest” (ha)Describe the method of measurement/formula applied
Notes• The five carbon pools in forests are: 1) aboveground biomass; 2) belowground biomass; 3) dead wood;4) litter; and 5) soil organic matter
Cross-references
Intergovernmental Panel on Climate Change Best Practices; formula in Chave (2005); Winrock (2012)

36

Criterion 3: Forest ecosystem health and resilience
Natural tropical forests and planted forests can be affected by a variety of human actions, such as
encroachment, illegal harvesting, human-induced fire, pollution and contamination, animal grazing,
mining, poaching, invasive species and the spread of pests. Forests are also affected by natural phenomena,such as extreme weather events (e.g. severe winds, heavy rainfall, flooding and drought), wildfire, andpests and diseases. SFM requires attention to forest health, which may include restoring vulnerable anddegraded forests and taking measures to increase the resilience of forest ecosystems.

Addressing threats to, and vulnerabilities of, forests: indicators 3.1–3.3
There is concern in tropical countries about the impacts of climate change and climate variability on forest
health. Approaches are needed to monitor the threats to, and vulnerability of, forest ecosystems. Specificmanagement practices may be required to monitor damage, keep abreast of emerging threats, anddetermine when interventions are necessary.

SFM requires attention to forest health. Photo: Sarawak Forestry Department

Indicator 3.1
Threats to forests caused directly by human activities

National
level

FMU
level

Landscape
level

üü

üü

üü

Area ofcontrol (ha)Estimated
effectivenessProposed monitoring and reporting format
List the five major direct human threats on forests (in particular in the PFE)
Direct human threats on forests

Area affected(ha)Control
procedures

1
2
3
4
5
Continued next page

criteria and indicators for the sustainable management of tropical forests

37

Indicator 3.1 (continued from previous page)
Describe the extent and nature of forest encroachment,
degradation and disturbance caused by humans and thecontrol procedures applied
List the invasive species observed in forests, identify the
species of greatest concern, and indicate the measures
undertaken to control invasive species
Notes• If appropriate, indicate the institutions responsible for implementing control procedures• In “estimated effectiveness”, list constraints in implementing control procedures and any proposed
improvements
Cross-references
ITTO (2002); Thompson et al. (2013)

Indicator 3.2
Vulnerability of forests to natural disturbances

National
level

FMU
level

Landscape
level

üü

üü

üü

Proposed monitoring and reporting format
List the five most important natural disturbances that make forests vulnerable
Major natural
disturbances

Area affected(ha)Control
procedures

Area of control(ha)

Estimated
effectiveness

1
2
3
4
5
Describe the causes of the enumerated
natural disturbances and the remedialactions taken to reduce the vulnerability offorests to biotic and abiotic stresses[Textual response]

Describe the steps taken to strengthen thecapacity of forest managers to address newand emerging issues affecting the health andresilience of forests[Textual response]

Notes• Indicate the extent and nature of forest degradation and disturbance due to natural causes and thecontrol procedures applied• Indicate the institutions responsible for implementing control procedures• List the constraints in implementing control procedures and any proposed improvements
Cross-references
FAO (2013); ITTO (2015), Principle 3

38

Indicator 3.3
Forest resilience and climate-change adaptation

National
level

FMU
level

Landscape
level

û

û

üü

Proposed monitoring and reporting format
Yes/NoComment

Are climate-related trends known andmonitored in the forest area?
Are the frequency and severity ofclimate-change-related impacts on naturaland planted forests being monitored?
Are studies available to assess impacts
on forests (natural and planted forests)?
Have short and long-term climate-relatedrisks been assessed?
Do forest management plans in naturalforests and afforestation plans describe
measures to address the resilience oftrees and forest ecosystems?
Are adaptation measures being appliedin forest management planning to address
vulnerability and resilience?
Describe research work being undertaken(e.g. on species genetics; droughts;
forest fire)[Textual response]

Notes• In comments, indicate any differences between natural and planted forests in the approach taken
Cross-references
CIFOR (2008); FAO (2013)

criteria and indicators for the sustainable management of tropical forests

39

Restoration of degraded forests and lands: indicators 3.4 and 3.5
FLR is an emerging approach that encourages the involvement of stakeholders in all affected land-use
sectors as well as participatory decision-making. The objective of FLR is to restore degraded landscapes toa healthy and productive state in order to fulfil the needs of people and the environment in a sustainablefashion. FLR makes use of collaborative approaches to harmonize the land-use decisions of stakeholders
with the aims of restoring ecological integrity, forest resilience and economic productivity and enhancing
the socioeconomic development of local communities.
Indicator 3.4
Degraded forests and landscapes restored

National
level

FMU
level

Landscape
level

üü

û

üü

Proposed monitoring and reporting format
Yes/NoComment

Have there been efforts to assess thedegree of forest degradation at thelandscape level and to identify
restoration opportunities?
Has a baseline study been conducted
to assess the causes of degradation?
Are field-level FLR activities being
conducted? If yes, please indicate
the area involved and describe themeasures taken
Are local stakeholders involved in thedevelopment of restoration strategies
and their implementation? If yes, please
describe such involvement
Are local stakeholders involved in theparticipatory monitoring of landscaperestoration activities?
Has a national/subnational forest
restoration strategy/plan beenformulated?
• If yes, is the strategy/plan being
implemented?
– If yes, what is the scale andtimeframe of the effort, and whatpercentage of area has been
restored in recent (e.g. previous
three) years?

[Textual response]

Cross-references
ITTO (2002); Global Partnership on Forest and Land Restoration (www.forestlandscaperestoration.org);
the World Resources Institute’s Global Restoration Initiative; the Restoration Opportunities Assessment
Methodology (ROAM)—IUCN and World Resources Institute (2014)

40

Indicator 3.5
Area of formerly degraded forest or forest
land restored

National
level

FMU
level

Landscape
level

üü

û

üü

Proposed monitoring and reporting format
Area (ha)Comment

Total area restored (3-year period)[please indicate applicable years]
Total area restored through naturalregeneration/combination of enrichment(3-year period) [please indicate applicable
years]
Total area restored through plantations,
including in agroforestry systems (3-year
period) [please indicate applicable years]
Notes• Where possible, indicate the area of forest land restored with planted forests and woodlots, the areaof forest land restored though (assisted) natural regeneration, the area of degraded forest restored
through silvicultural practices, the area of land restored with agroforestry systems, and the area of land
restored with improved fallows
Cross-reference
ITTO (2002)

criteria and indicators for the sustainable management of tropical forests

41

Criterion 4: Forest production
This criterion addresses the objective of maintaining the multiple functions of forests and their capacity todeliver products and environmental services. Such functions and capacity can only be sustained in the longterm if forest management is economically and financially viable, environmentally sound and socially acceptable.
Forests earmarked for timber production are able to fulfil a number of other important functions, such asenvironmental protection, carbon storage and the conservation of species and ecosystems. These multiple
roles should be safeguarded by the application of sound management practices that maintain the potentialof the forest resource to yield the full range of benefits to society.

A log landing in Ravenscott, Sarawak, Malaysia. Production forests can also perform many other important functions. Photo: J. Blaser

Resources assessment: indicators 4.1–4.4
Forest resource assessments carried out periodically are vital for ensuring the sustainable production offorest goods and environmental services for society. They provide information not only on the quantities
of wood and non-wood products that may be harvested sustainably but also on other forest values andhow those might change over time.
Indicator 4.1
Natural production forest inventories, by product

National
level

FMU
level

Landscape
level

û

üü

û

Proposed monitoring and reporting format
Area inventoried[please give reference year]

PFE

Non-PFE (ha)
ha

%

ha

%

Timber (industrial roundwood)
Other wood (locally used, woodfuel)Non-wood forest products
Total inventoried area
Continued next page

42

Indicator 4.1 (continued from previous page)
Notes• Indicate the extent and percentage of forest for which inventory and survey procedures have been used todetermine the quantity of the main forest products (e.g. wood, fibre, gums, saps, food animals and plants,
and medicines)
Cross-references
Blaser et al. (2011) and other editions of ITTO’s Status of Tropical Forest Management reports;
FAO (2015); FAO Forest Monitoring and Assessment programme

Indicator 4.2
Actual and allowable harvest of wood andnon-wood products in natural forests

National
level

FMU
level

Landscape
level

üü

üü

û

Proposed monitoring and reporting format
Total forest area
(i.e. PFE + non-PFE)
Numberof species
harvested
Timber(industrial
roundwood)

Other wood(e.g. locally used;woodfuel)

Non-wood
forest products[please specify]

Top five
speciesharvested,by volume

PFE
AnnualactualharvestNon-PFE
Annualallowable
harvestAnnualreal
harvestAnnualallowable
harvest

1

m3

m3

m3

m3

2

m3

m3

m3

m3

3

m3

m3

m3

m3

4

m3

m3

m3

m3

5

m3

m3

m3

m3

1

m3

m3

m3

m3

2

m3

m3

m3

m3

3

m3

m3

m3

m3

4

m3

m3

m3

m3

5

m3

m3

m3

m3

1

kg

kg

kg

kg

2

kg

kg

kg

kg

3

kg

kg

kg

kg

4

kg

kg

kg

kg

5

kg

kg

kg

kg

Notes
• Indicate average harvesting levels for the most recent 3-year period for which data are available (give thesource of the data and the unit of measurement)• Describe the method for estimating the annual allowable cut for industrial roundwood
Cross-references
Blaser et al. (2011) and other editions of ITTO’s Status of Tropical Forest Management reports

criteria and indicators for the sustainable management of tropical forests

43

Indicator 4.3
Actual harvest of wood and non-wood products inplanted forests

National
level

FMU
level

Landscape
level

üü

üü

û

Proposed monitoring and reporting format
Total annual
planted-forest
harvestTimber(industrial roundwood)

Other wood(e.g. locally used;woodfuel)

Non-wood forest
products

m3

m3

kg

List the top five species harvested (by volume or weight) for
each category, and actual annual harvest
1

m3

2

m3

3

m3

4

m3

5

m3

1

m3

2

m3

3

m3

4

m3

5

m3

1

kg

2

kg

3

kg

4

kg

5

kg

Notes
• Indicate the reported average harvest levels over the latest 3-year period, together with the source of the data
Cross-references
FAO (2015); Blaser et al. (2011) and other editions of ITTO’s Status of Tropical Forest Management reports;
Jürgensen et al. (2014); FAO’s webpage on non-wood forest products: www.fao.org/forestry/nwfp/en

44

Indicator 4.4
Forest carbon stock

National
level

FMU
level

Landscape
level

üü

û

û

Forest area(ha)

Tonnesof carbon
committed

Timeframe(years)

Proposed monitoring and reporting format

Forest carbon stocks conserved through the sustainable
management of natural forests and forest conservation
Restoring degraded carbon stocks through theenrichment of degraded forests and guided natural
restoration
Creating new carbon stocks through afforestation andreforestation in non-forested areas
Notes• Include all forest-related climate-change mitigation programmes, such as REDD+, forest NAMAs,
INDCs, Clean Development Mechanism Afforestation/Reforestation• Where possible, distinguish on the basis of the currently applied REDD+ strategy
Cross-references
Forest Carbon Partnership Facility Carbon Fund; UN-REDD Programme (www.un-redd.org); UNFCCC’s
REDD+ web platform (http://redd.unfccc.int); Clean Development Mechanism Afforestation/Reforestation(https://cdm.unfccc.int)

criteria and indicators for the sustainable management of tropical forests

45

Harvesting planning and control procedures: indicators 4.5–4.7
Harvesting planning procedures in natural forests should enable good technical control, provide safe andhealthy working conditions, minimize costs, and reduce environmental impacts. Sound and effective
harvest planning procedures will help ensure that forest investments yield adequate financial, economic
and social returns while minimizing environmental damage.
Indicator 4.5
Timber harvesting arrangements in natural
production forests

National
level

FMU
level

Landscape
level

û

üü

û

Duration ofcontract(years)Annualallowable
harvestand areaof harvest(m3; ha)Proposed monitoring and reporting format
Natural forest
harvesting contracts[please indicate
reference year]

Total
number ofcontracts

Total area
contracted(ha)

Smallest/
largestarea
contracted(ha)Annualactualharvest(volumeand area)(m3; ha)Long-term private
concession
Long-term
community
concession
Medium-term logging
concession/ contract
Short-term logging
permit (area-based)
Short-term logging
permit (volumebased)
Other[please specify]
Notes• Specify the main terms of the various natural forest harvesting contracts currently in place• Indicate the share of harvesting contracts operating under multiyear forest management plans• Indicate the share of other official harvesting permits (small-, medium- and large-scale permits)
operating without forest management plans
Cross-reference
FAO (2001a)

46

Indicator 4.6
Forest product tracking systems or similar control
mechanisms

National
level

FMU
level

Landscape
level

üü

û

üü

Proposed monitoring and reporting format
Type of tracking

System inplace[Yes/No]

Responsible
institution(s)Comment (e.g. scale ofapplication, efficiency)

Log tracking (from stump to processing unit)
Wood tracking(from processing unit to port/end-user)
Tracking of other forest products(e.g. wild meat, wildlife, charcoal, othernon-wood forest products) [please specify]
Notes• In comments, describe the type(s) of system, and implementation (e.g. responsible parties, scope and scale)
Cross-reference
Seidel (2012)

Indicator 4.7
Historical records on the extent, nature andmanagement of forests

National
level

FMU
level

Landscape
level

üü

üü

ü

Proposed monitoring and reporting format
Natural forests

Planted forests

Describe the availability of historical records on theextent, nature and management of forests (nationally,
subnationally or locally)
Do archives of forest data (e.g. growth, yield, health anduses) exist, and are they accessible for forest planningand management?
Have permanent sample plots been established?
If yes, specify when they were established and the yearof most recent re-measurement
Notes• In many countries, records exist of historical forest trials and measurements of the growth of tree species,
as well as of harvesting and silvicultural practices in natural and planted forests. Such records have often
been neglected, but they could be valuable sources of information on the long-term behaviour andgrowth of tree species and forest stands
Cross-references
Archives of forest concessionaires; national forest research institutes

criteria and indicators for the sustainable management of tropical forests

47

Silviculture in natural and planted forests: indicators 4.8–4.10
The provision of clear silvicultural guidelines helps ensure that all forest operations are carried out
according to high standards. In natural forests, these may encompass harvesting inventories as a means ofestablishing sustainable cutting levels (for wood and non-wood forest products), inventories for assessing
the condition of forests after harvesting, and the types of silvicultural treatments required to ensure
adequate regeneration and long-term forest health. Guidance is also needed to reduce forest damage causedby harvesting and on silviculture in planted forests, forest restoration, and procedures for the monitoringand evaluation of management practices.
Indicator 4.8
Reduced impact harvesting and silviculturaloperations

National
level

FMU
level

Landscape
level

û

üü

ü

Proposed monitoring and reporting format
Natural forests

Planted forests

Describe existing recommended harvesting systems
and guidelines and the extent to which they are being
implemented
Describe existing recommended silvicultural systems
and guidelines for wood and non-wood forest products,
and the extent to which they are being implemented
Indicate the extent to which reduced impact harvestingand silvicultural treatments are being monitored, including
by whom and at what geographical scale
Indicate the extent to which monitoring data are beingarchived to allow the evaluation of the cumulative effects ofharvesting systems and silvicultural treatments over time
Describe post-harvesting surveys to assess theeffectiveness of harvesting and silvicultural activities toenhance forest stands and tree regeneration establishment
and the monitoring of silvicultural treatments
Notes• A silvicultural system is a process by which forest trees are tended, removed and replaced by newtrees. Silviculture comprises all operations used in manipulating forest stands, including harvesting
operations (see Annex 2 for a definition of reduced impact harvesting)
Cross-references
ITTO (2015), principles 4 and 5; FAO (1996); Tropical Forest Foundation (2007); ITTO (1993); FAO (2006b)

48

Indicator 4.9
Silvicultural management in planted forests

National
level

FMU
level

Landscape
level

û

üü

û

Proposed monitoring and reporting format
Silvicultural issue in planted forests

Indicate the approaches taken

Species selection for planted forests (e.g. whether local
species, introduced species, including consideration ofinvasive species, source of planting materials)
Use of biotechnology and genetic modification of species
Selection of the silvicultural treatment and maintenanceof planting sites beyond first rotation
Control of pests and diseases (e.g. use of herbicides,
pesticides, fungicides and other chemicals)
Use of fertilizers (nursery, afforestation sites)
Fire control
Water management in planted forest landscapes
Notes• Defining the specific silvicultural and operational treatments for planted forest management is important,whether it is for productive or protective functions, or a combination of these
Cross-references
ITTO (1993); FAO (2006a); FAO (2006b); Evans (2009)

Indicator 4.10
Strategic monitoring of silvicultural systems
in natural and planted forests

National
level

FMU
level

Landscape
level

üü

üü

ü

Proposed monitoring and reporting format
Describe the system in place for strategically monitoring
the impacts of harvesting and the implementation of thesilvicultural system
Silvicultural system at FMU level

Total area per year (ha)Natural production forest (PFE) (natural forest timber
concessions, licences, community harvesting, non-woodforest product harvesting)- Area over which yield control is applied- Area over which pre-harvesting operations are applied- Area over which post-harvesting operations are applied- Area over which silvicultural treatments to induceor assist natural regeneration are applied- Area over which enrichment planting [please specify
main species] is performed
Continued next page

criteria and indicators for the sustainable management of tropical forests

49

Indicator 4.10 (continued from previous page)
Proposed monitoring and reporting format
Describe the system in place for strategically monitoring
the impacts of harvesting and the implementation of thesilvicultural system
Planted forest (PFE) (Industrial plantations timber/fibre/
woodfuel; community plantations; protective planting)Total area per year (ha)- Tending and thinning in monospecific plantations[please specify main species used]- Tending and thinning in multispecies plantations[please specify mix of species used]- Replacement of forest stand after harvesting [pleaseindicate the % of replacement]
Notes• Strategic monitoring provides data on the long-term effects of forest operations so that potential
problems can be identified and resolved. To guide silvicultural decisions, a simple assessment method(diagnostic sampling) can be applied at the FMU level to determine the need for specific treatment• Indicate reference year
• Common treatments to induce or assist natural regeneration include tending natural regeneration,soil scarification, prescribed burning, the liberation of future crop trees, thinning, liana cutting andenrichment planting
Cross-references
ITTO (2015); FAO (1996); Tropical Forest Foundation (2007); ITTO (1993)

50

Criterion 5: Forest biological diversity
This criterion relates to the conservation and maintenance of biodiversity, including ecosystem, species andgenetic diversity, with an emphasis on biodiversity conservation in production forests and at the landscapescale. The ITTO/IUCN Guidelines for the Conservation and Sustainable Use of Biodiversity inTropical Timber Production Forests (ITTO/IUCN 2009) are designed to support the monitoring of
biodiversity in forest landscapes. The general principles and definitions used here are those established by
the Convention on Biological Diversity and IUCN.

Ecosystem diversity: indicators 5.1 and 5.2
The conservation of ecosystem diversity can best be accomplished by maintaining functional landscapes andthrough the establishment and management of a system of protected areas (combinations of IUCN
categories I–VI)5 containing representative samples of all forest types linked as far as possible by biological“corridors” or “stepping stones”. This can be ensured by effective land-use policies and systems for choosing,establishing and maintaining the integrity of protected areas in consultation with and through the
involvement of local communities.

5

See Annex 3.

A heron takes flight in a flood forest in Veracruz, Mexico, an area rich in biodiversity. Photo: Gerardo S. Sánchez Vigil

Indicator 5.1
Forest extent in protected areas

National
level

FMU
level

Landscape
level

üü

ü

û

Proposed monitoring and reporting format
IUCN protected-area category

a. Forest protected areas
Total

I–II

III–IV

V, VI

Number of protected areas (not necessarily forested;
excluding sea)
Range in size (smallest to largest protected area; ha)Continued next page5

See Annex 3.

criteria and indicators for the sustainable management of tropical forests

51

Indicator 5.1 (continued from previous page)
Proposed monitoring and reporting format
IUCN protected-area category

a. Forest protected areas
Total

I–II

III–IV

V, VI

Area of forest in protected areas (ha)Area of ecological forest types represented in protectedareas [please specify]
Ecological forest types considered to beunderrepresented in protected areas [please specify][textual response]b. Forest conservation concessions
If not included in (a), indicate the number and area offorest conservation concessions, and their status andduration
Notes• The area of forest in protected areas constitutes the protection PFE• Forest conservation concessions are areas within production forest allocated to conservation organizations
for conservation purposes (and in which wood production is excluded). Although formally production forests,
such areas should be reported here as protected areas, albeit only for the period of the leases
Cross-references
ITTO/IUCN (2009); IUCN protected-area categories (see Annex 3)

Indicator 5.2
Buffer zone management and connectivityof protected forest areas

National
Level

FMU
level

Landscape
level

üü

ü

û

Proposed monitoring and reporting format
IUCN category

Areas of bufferzone managed(ha)

Number offorested protectedareas connected

Description

I–II
III–IV
V–VI
Describe the national or subnational strategy for ensuring(or increasing) connectivity between forested protected areas
Cross-references
ITTO/IUCN (2009); IUCN protected-area categories (see Annex 3)

52Species diversity: indicators 5.3 and 5.4
In strategies for preventing species from becoming rare, threatened, endangered or extinct, it is importantto have national/subnational procedures for monitoring and protecting species diversity. Emphasis should
be given to the monitoring of key tree species in production forests.
Indicator 5.3
Threatened forest-dependent species

National
Level

FMU
level

Landscape
level

üü

ü

û

Proposed monitoring and reporting format
Forest-dependent
species groupTotal
numberof species

Of which:Threatened

Legallyprotected
at national
level

Endemic

List the three most important
species (keystone species)

Trees
Flowering plants
Ferns
Mammals
Birds
ReptilesAmphibians
Freshwater fish
Butterflies
Others[please specify]
Notes• Indicate sources• “Threatened” includes vulnerable, endangered or critically endangered according to the IUCN Red List
Cross-references
IUCN categories of threatened species (see Annex 4 of this document)

Indicator 5.4
Procedures for conserving tree species diversity innatural tropical forests

National
Level

FMU
level

Landscape
level

û

üü

û

Proposed monitoring and reporting format
Comment on whether there have been declines in
populations of key tree species (e.g. high-valuecommercial species)
List the major commercial tree species (wood and nonwood forest products) for which conservation status haschanged in the last five years
Continued next page

criteria and indicators for the sustainable management of tropical forests

53

Indicator 5.4 (continued from previous page)
Proposed monitoring and reporting format
Describe measures (in FMU) for analyzing theconservation status of tree species and interventions(e.g. age and diameter class distribution of key species)
List the tree species in each of the CITES Appendices
Describe the measures undertaken to maintain species
diversity at the FMU level, in particular the most commonlyused wood and non-wood product species
Describe procedures undertaken to maintain the stockof major wood and multipurpose tree species in naturalforests
Indicate the type and area (ha) of in situ conservationof forest tree species nationally
Notes• Describe procedures to identify, list and protect recover/restore threatened species of forest flora and fauna• List the institutions responsible and describe any recent changes in the procedures
Cross-references
FAO (2014c); ITTO (2005); IUCN Red List (www.iucnredlist.org)

Genetic diversity: indicator 5.5
Biodiversity conservation involves maintaining the genetic diversity of all species of fauna and flora. Thismay be difficult to ensure in practice, and it is appropriate to focus limited resources on species that are
threatened or that have identified commercial value.
Indicator 5.5
In situ conservation of genetic variation within
specified forest tree species

National
level

FMU
level

Landscape
level

üü

ü

û

Proposed monitoring and reporting format
Comment
Forest tree species identified to serve as indicatorspecies for the conservation of genetic variation
Plans and projects in place to ensure the in situ and exsitu conservation of the genetic variation of key speciesof flora and fauna [please specify the species]
Notes• Conserving genetic diversity within tree species of actual or potential economic, environmental, scientificor societal value is essential for ensuring continued ecosystem productivity and health and the capacityof species to adapt to climate change and other environmental change
Cross-references
FAO (2014c); FAO et al. (2004)

54

Biodiversity conservation in production forests: indicators 5.6 and 5.7
Management measures in production forests can make important contributions to biodiversity conservation(for example, logging intensity is directly related to the presence or absence of birds and other seed
distributors), which should be fully integrated into forest management plans and harvesting plans.
Indicator 5.6
Biodiversity conservation measures in natural
production forests

National
level

FMU
level

Landscape
level

û

üü

û

Proposed monitoring and reporting format
Total area (ha)% of total

Area set aside for biodiversity conservation in natural
production forests (FMU level)
Measures for retaining undisturbed areas (FMU level)[Textual response]

Procedures for protecting ecologically important features(e.g. nesting sites, seed trees, niches and keystone species)[Textual response]

Procedures for protecting particular tree species andother plants for local livelihood needs, cultural values,
food security, etc.

[Textual response]

Average volume of wood harvested (FMU level)[m3 per ha per year]

Notes• In textual responses, indicate the effectiveness of the procedures being monitored• In textual responses, indicate procedures for assessing changes in biodiversity values in production
areas compared with control areas
Cross-references
ITTO/IUCN (2009); Burivalova et al. (2014)
Indicator 5.7
Biodiversity conservation in planted forests

National
level

FMU
level

Landscape
level

û

üü

û

Averageannual area(ha)Year span

Main species
used

Proposed monitoring and reporting format

Area of planted forest established (3-year average[please specify])
Afforestation: planted forest on non-forested land(not replacing natural forest habitats)
Reforestation: planted forest on previously forested sites(e.g. degraded forest and forest land)
Planted forests established using native tree species
Describe measures undertaken to conserve native faunaand flora in planted forest landscapes*[Textual response]

Notes* e.g. keeping natural sites along waterways, creating biological corridors or stepping stones
Cross-references
ITTO (1993); FAO (2006b)

criteria and indicators for the sustainable management of tropical forests

55

Criterion 6: Soil and water protection
This criterion addresses the crucial landscape-scale role of forests in maintaining downstream water quality andflow and controlling flooding and sedimentation. It also pertains to maintaining the productivity and qualityof soil and water within forests (and associated aquatic ecosystems) and therefore forest health and condition.
Information on the effects of forest management on soil and water is difficult to obtain and is seldom
available for more than a limited number of sites. Valid national indicators should be derived from theaggregation of data from indicators at the landscape and FMU levels, or from the existence and adequate
enforcement of national guidelines in conformity with local conditions.

Two people navigate a river on the border between Cameroon and Gabon, where a long-term ITTO project helped in the establishment andmanagement of the Mengamé Wildlife Sanctuary. Forests play crucial landscape-scale roles in maintaining downstream water quality and flow
and controlling flooding and sedimentation. Photo: M.J. Dourojeanni/ITTO

Extent of protection: indicators 6.1 and 6.2
An essential element of multipurpose forest management is the landscape-scale maintenance of downstream
benefits, such as water quality and flow and reductions in flooding and sedimentation.
Indicator 6.1
Forest area managed primarily for the protectionof soil and water

National
level

FMU
level

Landscape
level

üü

ü

üü

Proposed monitoring and reporting format
Area (ha)%Forest area (natural and planted, PFE and non-PFE)
managed primarily for the protection of soil and water
Forest area (natural and planted, PFE and non-PFE)
managed for other protection purposes [please specify
purposes]Continued next page

56

Indicator 6.1 (continued from previous page)
Notes• Collect national or subnational data
• Other protection purposes might include cultural heritage sites, belts around industrial complexes,
military sites, etc.
• For each specific purpose, indicate the responsible agencies (e.g. forest agency, environmental agency,
water agency, mining agency)
Cross-references• FAO (2015); UNEP and UNISDR (undated)

Indicator 6.2
Protection of downstream catchment values at thelandscape level

National
level

FMU
level

Landscape
level

üü

ü

üü

Proposed monitoring and reporting format
Describe the procedures in place in both the PFE and thenon-PFE to ensure the protection of downstream catchment
values, and the extent to which such procedures arebeing implemented
Describe the extent to which forests are integrated into
national and regional disaster risk management
Notes• Trees and forests play fundamental roles in disaster risk management, such as by sustaining watersupplies, protecting soils and reducing the impacts of natural hazards such as floods and landslides
Cross-references
UNEP and UNISDR (undated); FAO (1990); FAO (2005a)

Protective functions in production forests: indicators 6.3–6.5
As an integrative part of multipurpose forest management, it is important to ensure effective soil and water
management as a way of maintaining the productivity and health of forests and their hydrologicalregulation functions.
Indicator 6.3
Soil productivity and water retention capacity inproduction forests
Proposed monitoring and reporting format
Describe the procedures in place to protect soil
productivity and retain water in production forests
Describe the extent to which provisions are being applied
to prevent the degradation of forest soils and water
Cross-references
FAO (1990); FAO (2005a)

National
level

FMU
level

Landscape
level

û

üü

üü

criteria and indicators for the sustainable management of tropical forests

57

Indicator 6.4
Area of production PFE considered environmentallysensitive and protected

National
level

FMU
level

Landscape
level

û

üü

û

Proposed monitoring and reporting format
Area defined as environmentally sensitive(and therefore protected) due to:

Area (ha)% of production PFE

Comment

Slope/elevation[please specify parameters—e.g. >X%]
Drinking water sources
Buffer strips (e.g. along water courses)
Poor drainage
Other characteristics [please specify]
Cross-references
FAO (1990); FAO (2005a)

Indicator 6.5
Forest engineering for soil and water protection

National
level

FMU
level

Landscape
level

û

üü

û

Proposed monitoring and reporting format
In production PFE:a) Indicate required measures to ensure adequate
water management (drainage) during and afterwood harvestingb) Indicate requirements for buffer strips along streams
and riversc) Indicate the measures required to minimize soil
compaction by harvesting machineryd) Indicate the measures required to protect soil from
erosion after harvesting operations
Indicate the measures in place to ensure theimplementation of a–d
Notes• Are the measures being implemented? Is their effectiveness being monitored? At what geographical scale?
Cross-reference
Bonell and Bruijnzeel (2005)

58

Criterion 7: Economic, social and cultural aspects
This criterion deals with the economic, social and cultural aspects of forests. A well-managed forest is a self-renewing
resource that produces a host of benefits for people. For example, forests provide opportunities for recreationand ecotourism and generate employment and investment in processing industries. Sustainably managed
forests, therefore, can make important contributions to the overall sustainable development of countries.

Economic aspects: indicators 7.1–7.3
The economic challenge for forest management is to make SFM a profitable activity that is attractive toinvestors and competitive with other land uses. A viable forest products industry is likely to be an essential
element in addressing this challenge.

A woman works in a tree nursery in Benin. Ensuring the health and safety of workers is an important aspect of SFM. Photo: J. Blaser

Indicator 7.1
Contribution of the forest sector to gross domestic
product

National
level

FMU
level

Landscape
level

üü

ü

ü

Proposed monitoring and reporting format
Total gross domestic product(GDP; US$)
Reference year [please specify here]
Reference year minus five years [please
specify here]
Indicate which economic activities arecounted under “forest sector”[Textual response]

Indicate the extent to which the informal
forest sector contributes to GDP[Textual response]

Describe the national/subnational
environmental accounting system
in place (if any)

[Textual response]

Cross-reference
World Bank (2016)% of forest-sector
contribution to GDPcriteria and indicators for the sustainable management of tropical forests

59

Indicator 7.2
Value of domestically produced forest products
and environmental services

National
level

FMU
level

Landscape
level

üü

û

û

Proposed monitoring and reporting format
Markets (US$ or local currency; if the latter, please indicate theexchange rate for US dollars)
Domestic market(rural/urban)

ExportmarketInformal domestic/transboundary

Timber products
Woodfuel
Non-wood forest products
Water
Carbon (US$ or local currency—
please specify—per tonne CO2)
Ecotourism/recreation(entry fees, etc.)
Other [please specify]
Notes• Indicate reference year for data
• Values for timber products should be the sums of primary and secondary products (including wood
furniture); indicate which products are included
Cross-references
ITTO Market Information Service (www.itto.int/market_information_service); Ecosystems Marketplace(www.ecosystemmarketplace.com)

Indicator 7.3

National
level

FMU
level

Landscape
level

üü

üü

ü

Industrial
roundwoodintake (m3)Conversion
rate (%)

Wood and non-wood forest product processing
capacities and efficiency
Proposed monitoring and reporting format
Forest product processing stage

Roundwood (forest to mill)

No. ofcompanies

n/a

No. of full-time
equivalent
employees(formal)n/aPrimary wood processing
Secondary wood processing
Tertiary wood processing

n/a

n/a

Industrial non-wood forest
product processing [please
specify products]

n/a

n/a

Continuity of supply of woodand non-wood products[Textual response]
Continued next page

60

Indicator 7.3 (continued from previous page)
Notes• “Industrial roundwood intake” includes roundwood from domestic production and imported roundwood
processed in the country—it is the total volume of roundwood processed in mills (not the volume of
harvested wood)• Conversion rate is the ratio of output volume to input volume, expressed as a percentage
Cross-references• ITTO Market Information Service (www.itto.int/market_information_service); national statistics

Social and cultural aspects: indicators 7.4–7.9
SFM should recognize and aim to meet social and cultural needs as they relate to forests, including by
ensuring the provision of education, employment and safe working conditions. Forest management
decisions should consider the livelihood needs of forest-dependent people. SFM should be participatory andinclusive, and the costs and benefits should be shared equitably among involved parties.
Indicator 7.4
Capacity building of the workforce in forest
management and forest industry

National
level

FMU
level

Landscape
level

üü

üü

ü

Proposed monitoring and reporting format
The number and main focus of universities, technicalinstitutions, vocational training and other professional
schools with formal programmes on SFM
Existing capacity for training and support using appropriatetechnology, including through technology transfer, for SFM
and the efficient use and marketing of wood and non-woodforest products and environmental services [please describe
and quantify]
Number of people graduated (tertiary, technical andvocational) from forest-related courses in the last three
years [please specify years]
Percentage of graduates (tertiary, technical and vocational) offorest-related courses in the previous three years obtaining
employment in the forest sector [please specify years]
Number of graduates from professional training
programmes for forest managers, previous three years[please specify years]
Other training courses not included above (e.g. capacity
development programmes for small and medium-sized
forest enterprises)
Cross-references
Convention No. 169 of the International Labour Organization (www.ilo.org); ITTO (2015), Principle 6

criteria and indicators for the sustainable management of tropical forests

61

Indicator 7.5
Procedures to ensure the health and safety of forest
workers

National
level

FMU
level

Landscape
level

ü

üü

û

Proposed monitoring and reporting format
Existence and implementation ofpolicies addressing:

National level (Yes/No)

FMU level (Yes/No)• Elimination or control of risks in forest
management operations• Provision of safe work methods andprocedures• Procedures for ensuring maximum
safety of machinery and handlingof chemicals, etc.
• Use of safety gear and provisionof workforce training on workplace
health and safety• Proper compensation for employees
in case of accidents, injuries anddamage during the performanceof duties
What mechanisms are in placenationally/subnationally to ensure thehealth and safety of forest workers?

[Textual response]

To what extent are such mechanisms
being implemented? Please identify any
constraints[Textual response]

Are such mechanisms in conformity with
the International Labour Organization’s
Convention No. 169?

[Yes/No]The number of serious accidents inforest management operations overthe past three years, by cause:

No. of deaths

No. of serious injuries

Cause 1 [please specify here]
Cause 2 [please specify here]
Cause 3 [please specify here]
Cause 4 [please specify here]
Cross-references
Convention No. 169 of the International Labour Organization; ITTO (2015), Principle 6; FAO Harvesting(www.fao.org/forestry/harvesting/86024/en)

62

Indicator 7.6

National
level

FMU
level

Landscape
level

û

üü

û

Yes/NoComment

Mechanisms for the equitable sharing of the costs
and benefits of forest management
Proposed monitoring and reporting format
Policies in place for:
• The equitable treatment of stakeholders in activities
related to the use and management of forests• Providing opportunities to be employed under comparable
conditions to those in other economic sectors• The sharing of profits obtained by forest companies andinvestors through forest use with local communities andother stakeholders• Providing forest landowners or rights-holders(e.g. government, private, community) with opportunities
to receive fair returns for forest use
Mechanisms in place for the distribution of incentives
and the fair and equitable sharing of costs and benefits
among stakeholders [please comment on whether suchmechanisms are being implemented, the obstacles totheir implementation, and any proposed improvements][Textual response]

Cross-references
Convention No. 169 of the International Labour Organization; ITTO (2015), Principle 6

Indicator 7.7
Mechanisms for resolving disputes between
forest stakeholders

National
level

FMU
level

Landscape
level

û

üü

üü

Proposed monitoring and reporting format
Matters that may be taken into account:

Yes/NoComment• The existence of effective mechanisms forcommunication and the resolution of conflicts
between interested parties• The extent to which stakeholders have an effective
voice in decisions related to forest management,
including consideration of gender equity• Early consultation on major new decisions toinvest in forest management, in both natural andplanted forests• Mechanisms for conflict resolution, the extent
to which they are being implemented, and any
obstacles to implementation[Textual response]

Cross-references
FAO resources for conflict management in forestry (www.fao.org/forestry/conflict/56824/en); FAO (2014b);
United Nations Declaration on the Rights of Indigenous Peoples (www.un.org/esa/socdev/unpfii/
documents/DRIPS_en.pdf)

criteria and indicators for the sustainable management of tropical forests

63

Indicator 7.8
Local livelihoods and forest management

National
level

FMU
level

Landscape
level

û

üü

üü

Proposed monitoring and reporting format
Forest-dependent people (FMU level)

No. female

No. male

Total

Number of people in the FMU practising
mainly subsistence farming
Proportion of forest-dependent people
who have lived in the FMU for morethan one generation (%)
Forest area for subsistence andtraditional use:

Forest area (ha)Comment• In informal areas within existing
FMUs [please specify land uses andmeasures for managing overlapping
land uses]• On land reserved for livelihood
activities—e.g. indigenous peoples’
reserves, community forests, otherreserved areas [please specify
whether in or adjacent to FMU]
Cross-references
ITTO (2015), Principle 6; FAO (2015)

Indicator 7.9
Forests reserved for specific cultural, research andeducational purposes

National
level

FMU
level

Landscape
level

üü

û

û

No. of forests

Area (ha)Protection
status

Proposed monitoring and reporting format
Extent of forest area assigned to specific uses
Archaeological sites in the forests
Cultural sites in forests
Sacred forests (as defined in the country)
Forests for research and educational purposes
Forests for recreation, local tourism and peri-urban uses
Other [please specify]
Cross-reference
ITTO (2015), Principle 6

64Community and indigenous peoples’ rights and participation in forest management:
indicators 7.10–7.12
Community participation is vital at all levels of forest operations to ensure transparency and accountability
in forest management, conservation and development and that all interests and concerns are taken into
account. Forest agencies, forest owners and concessionaires must be willing and able to adapt their
behaviour in light of such participation.
Indicator 7.10
Tenure and user rights of indigenous peoples andlocal communities over publicly owned forests

National
level

FMU
level

Landscape
level

üü

üü

üü

Proposed monitoring and reporting format
Area (ha)Comment

Area of publicly owned forest for which the tenure anduser rights of indigenous peoples and other communities
are recognized and practised
Estimated area of PFE or FMU with recognized tenure
and use rights for indigenous peoples and other local
communities
Processes for resolving disputes over the forest-related
rights of indigenous peoples and other local communities[Textual response]

Notes• Describe any constraints and proposals for improvements
Cross-references
ITTO (2015), Principle 6; FAO (2015); Rights and Resources tenure database (www.rightsandresource.org)

Indicator 7.11
Involvement of indigenous peoples and local
communities in forest management

National
level

FMU
level

Landscape
level

û

üü

üü

Proposed monitoring and reporting format
Indicate the extent of involvement of indigenous peoples,
local communities and other forest dwellers in forest
management capacity building, consultation processes,
decision-making and implementation
Describe the legislative and other efforts in place forachieving gender equity in forest management planningand implementation, in particular to enable the participationof indigenous and other local women
Cross-references
ITTO (2015), Principle 6; United Nations Declaration on the Rights of Indigenous Peoples (www.un.org/
esa/socdev/unpfii/documents/DRIPS_en.pdf); SFM Toolbox module on gender in forestry (www.fao.org/
sustainable-forest-management/toolbox/modules/gender-in-forestry/basic-knowledge/en)

criteria and indicators for the sustainable management of tropical forests

65

Indicator 7.12
Recognition and value of the forest-management
knowledge and skills of local people
Proposed monitoring and reporting format
Indicate the extent to which indigenous and traditional
forest-related knowledge and practices are integrated inforest management planning and implementation, andthe constraints to greater integration
Cross-references
ITTO (2015), Principle 6

National
level

FMU
level

Landscape
level

ü

üü

û

66

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Annex 1: Schematic representation of the ITTO criteria
and indicators for sustainable forest management
Maintaining the multiple
functions of forests
Criterion 1:
Enabling conditionsfor SFM
Providing theenabling conditionsfor SFM
Criterion 2:
Extent and conditionof forests

Criterion 4:
Forest production

Criterion 5:
Forest biologicaldiversity

Sustainable forest management

Criterion 7:
Economic, socialand cultural aspects

Criterion 3:
Forest ecosystem
health & resilience
Ensuring
ecosystem healthand vitality

Criterion 6:
Soil and water
protection

Integrating social, culturaland economic aspects

ITTO defines sustainable forest management as: “the process of managing forests to achieve one ormore clearly specified objectives of management with regard to the production of a continuous flowof desired forest products and services without undue reduction of its inherent values and future
productivity and without undue undesirable effects on the physical and social environment”.

criteria and indicators for the sustainable management of tropical forests

Annex 2: Definitions
Adaptive management(also “adaptive resource
management”)

A structured, iterative process of optimal decision-making in theface of uncertainty, with the aim of reducing uncertainty overtime via systematic monitoring. In forestry, adaptive management
is a process by which forest managers adjust their strategies formeeting forest management objectives as conditions change

Afforestation

The establishment of a planted forest on non-forested land

Agroforestry

A collective term for land-use systems and technologies in which
woody perennials (trees, shrubs, palms, bamboos, etc.) are deliberately
used on the same land-management units as agricultural crops
and/or animals, in some form of spatial arrangement or temporalsequence. In agroforestry systems there are both ecological andeconomical interactions between the different components(Lundgren and Raintree 1982 cited by Nair 1993)

Allowable cut

The volume of commercial wood that may be harvested in agiven area (e.g. a forest management unit) in a specified period

Best practices

The methods, processes, incentives, systems and policies that havebeen demonstrated to achieve superior results in an area of work

Biodiversity(also “biological diversity”)

The variability among living organisms from all sources, including,inter alia, terrestrial, marine and other aquatic ecosystems and theecological complexes of which they are a part: this includes diversity
within species, between species, and of ecosystems (Convention on
Biological Diversity, Article 2)

Biomass stock

Organic material, both aboveground and belowground and bothliving and dead (e.g. trees, crops, grasses, tree litter and roots)

CanopyIn a simplified model of a tropical rainforest, four canopy layers
can be distinguished: A-layer, containing emergent canopy
species; B-layer, containing intermediate canopy species; C-layer,
containing subcanopy species; and D-layer, comprising tree
regeneration

Carbon pools

Defined places in forest ecosystems where carbon is stored. The
Intergovernmental Panel on Climate Change distinguishes fivecarbon pools in the category of land-use, land-use change andforestry: 1) living biomass above and 2) below ground, 3) deadbiomass above ground, 4) litter and 5) organic soils

Carbon stock/forest carbon
stock

The amount of carbon held in the biomass of a given area of forest

Criterion

A category of conditions or processes by which sustainable forest
management may be assessed

Deforestation

The conversion of forest to another land use

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Degraded forest

Forest that delivers a reduced supply of goods and environmental
services from a given site and maintains only limited biodiversity.
Degraded forest has lost the structure, function, species
composition and/or productivity normally associated with thenatural forest type expected at that site

Degraded forest land

Former forest land severely damaged by the excessive harvestingof wood or non-wood forest products, poor management,
repeated ﬁre, grazing or other disturbances or land uses thatdamage soil and vegetation to a degree that inhibits or severely
delays the re-establishment of forest after abandonment

Elastic capacity (of forest
ecosystems)

A measure of the capacity of a forest ecosystem to return to its
equilibrium state after disturbance [closely related to resilience]

Endemic species

A species native to, and restricted to, a particular geographicalregionEnrichment (planting)

The planting of desired tree species in natural forest with theobjective of creating a forest dominated by desirable tree species

Environmental services

The benefits people obtain from forest ecosystems. They include
provisioning services, such as food and water; regulating services,such as the regulation of floods, droughts, land degradation anddisease; supporting services, such as soil formation and nutrient
cycling; and cultural services, such as recreational, spiritual,religious and other nonmaterial benefits. Forest environmental
services perform a range of functions, such as: moderating
weather extremes and their impacts; dispersing seeds; mitigating
drought and floods; cycling and moving nutrients; protecting
stream and river channels and coastal shores from erosion;
detoxifying and decomposing wastes; controlling agricultural
pests; maintaining biodiversity; generating and preserving soils
and renewing their fertility; contributing to climate stability;
purifying air and water; and pollinating crops and naturalvegetation. Tropical forests provide all these services and are often
particularly important for carbon sequestration, biodiversity
conservation, the protection of water catchments and theregulation of regional climates

Food security

Food security exists when all people, at all times, have physical,
social and economic access to sufficient, safe and nutritious foodthat meets their dietary needs and for an active and healthy life
(World Summit on Food Security, Rome, November 2009)

ForestDefined at the national level. In general terms, a forest is land
containing trees with a minimum specified percentage tree
canopy cover, with trees capable of reaching a minimum specified
height in situ when mature. Various international bodies haveprovided generic definitions of forests (see Annex 7 of ITTO 2002)

criteria and indicators for the sustainable management of tropical forests

73

Forest concession

A tract of forest land under a (usually multiyear) licenceagreement, lease or permit with individuals, communities or
corporations for the sustainable production of wood and otherforest products, usually with obligations for the protection andconservation of the goods and environmental services provided
by the forest

Forest degradation

A reduction in the capacity of a forest to provide goods andenvironmental services. “Capacity” includes the maintenance ofthe elasticity of ecosystem structures and functions

Forest-dependent species

Species unable to complete at least one part of their life cycles
outside the forest

Forest fallow

The intermediate time between two periods of shifting
agriculture. In a functional shifting agriculture system, the fallow
period is long enough that a functional secondary forest standcan develop (ie >20 years)

Forest governance

The process of governance in a forest area

Forest management unit

A clearly defined forest area managed to a set of explicit objectives
according to a long-term management plan. It may be a large
contiguous forest concession or community forest, or a group ofsmall forestry operations, possibly with more than one owner; theunifying element is a common system of management

Forest rehabilitation

A management strategy applied in degraded forest lands thataims to restore the capacity of a forest to produce products andenvironmental services

Forest stakeholders

Individuals or groups directly or indirectly affected by, or interested
in, a given forest resource and with a stake in it

Forest restoration

A management strategy applied in degraded forests with the aimof restoring the forest to its pre-degradation state (e.g. in function,
structure and species composition)

Forest type

A naturally occurring community of trees and associated plant
species of deﬁnite botanical composition with uniform
physiognomy (structure) and growing in uniform ecologicalconditions whose species composition remains relatively stable
over time

Forestry

The art and science of managing forests and trees, embracing abroad range of concerns such as the provision of wood and nonwood forest products, biodiversity management, wildlife habitat
management, watershed management, water quality management,
recreation, landscape protection, erosion control, employment,
and carbon sequestration

Forest zoning

The classification of an area into production, restricted andprotective zones based on the determined functions

74

Governance

The process of determining the way in which society is managed
and how the competing priorities and interests of different groups
are reconciled. It includes the formal institutions of government
but also informal arrangements.
Governance is concerned with the processes by which citizens
participate in decision-making, how governments are accountable
to their citizens, and how society obliges its members to observe
its rules and laws (FAO 2009)

Indicator

A quantitative, qualitative or descriptive attribute that, whenmeasured or monitored periodically, indicates the direction ofchange in a criterion

Invasive species

A species not native to a particular ecosystem whose introduction
causes or is likely to cause economic or environmental harm or
harm to human healthLandscapeA cluster of interacting ecosystem types, either pristine or
modified by humans

Liberation(of future crop trees)

A cutting that releases young seedlings, saplings and trees in the
canopy C-layer from overhead competition

Managed/modified naturalforestNatural forests managed or exploited for wood or non-woodforest products, wildlife or other purposes. The more intensive
the use, the more that forest structure and composition is alteredcompared with primary forests. Ecologically, such alterations
often represent shifts to earlier successional stages. Two major
categories can be distinguished: managed primary forest, anddegraded and secondary forests

Natural forest

Forest composed of native species and in which trees regenerateby self-sown seeds or natural vegetative means

Native species

Species that grow naturally in the wild in a particular region

Natural regeneration

Renewal of trees by self-sown seeds or natural vegetative means(Ford-Robinson, cited in Wadsworth 1997)

Non-timber forest products

Goods of biological origin other than timber (i.e. they may
include woodfuel) derived from forests, other wooded land andtrees outside forests (see categories below)

Non-wood forest products

Goods of biological origin other than wood (i.e. they exclude
woodfuel) derived from forests, other wooded land and trees
outside forests

Nutrient cycle

A natural process in which nutrients, mainly minerals, are taken
up from the soil, used for plant growth and, once the plant dies,
returned to the soil through decomposition processes

Permanence of carbon stocks

The capacity for maintaining existing forest carbon stocks and forcontinuous carbon sequestration by avoiding deforestation andforest degradation and deploying sustainable forest management

criteria and indicators for the sustainable management of tropical forests

75

Permanent forest estate

Land, whether public or private, secured by law and kept underpermanent forest cover. This includes land for the production oftimber and other forest products, for the protection of soil and water,
and for the conservation of biodiversity, as well as land intended
to fulfil a combination of these functions. The main categories ofthe permanent forest estate are protection and production

Planted forest

A forest stand established by planting or seeding

Primary forest

Forest that has never been subject to human disturbance, or has
been so little affected by hunting, gathering and tree-cutting thatits natural structure, functions and dynamics have not undergone
any changes that exceed the elastic capacity of the ecosystem

Production permanent
forest estate

That part of the permanent forest estate assigned to the
production of wood and/or to other extractive uses

Protected area

An area of land and/or sea especially dedicated to the protection andmaintenance of biodiversity, and of natural and associated cultural
resources, and managed through legal or other effective means

Protection permanent forest
estateThat part of the permanent forest estate in which the productionof wood (and commonly other extractive uses) is prohibited

Readiness preparation
proposal

A working process, endorsed at the national level, to prepare acountry for the implementation of REDD+ throughmultistakeholder consultation processes to define a national
REDD+ strategy, including the definition of a forest carbon
reference level and the monitoring, reporting and verification
process needed to implement the REDD+ strategy

REDD+

Policy approaches and incentives for reducing emissions fromdeforestation and forest degradation, including the role ofconservation, sustainable management of forests andenhancement of forest carbon stocks

Reforestation

The re-establishment of trees and understorey plants at a site
immediately after the removal of natural forest cover

Resilience

The capacity of a forest ecosystem or landscape to maintain or
regain a desired ecological condition following disturbanceSecondary forest

Woody vegetation regrowing on land that was largely cleared of
its original forest cover. Secondary forests commonly develop
naturally on land abandoned after shifting cultivation, settled
agriculture, pasture, and failed tree plantations

Silviculture/silvicultural

Pertaining to the art and science of producing and tending forests
by manipulating their establishment, species composition,
structure and dynamics to fulfil given management objectives

Shifting agriculture

The burning and cleaning of forest vegetation and the subsequent
plantation of agricultural crops for a short period of time (1–5
years) followed by abandonment (used here as a synonym forshifting or swidden cultivation)

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Succession

Progressive change in species composition and forest structurecaused by natural processes over time

Sustainable forest
management

The process of managing forest to achieve one or more clearlyspecified objectives of management with regard to the productionof a continuous flow of desired forest products and services
without undue reduction of its inherent values and future
productivity and without undesirable effects on the physical andsocial environment

Sustainable yield

The volume of wood or other product that may be removed froma forest annually, which is equal to or less than the rate of
replacement in a given area over the long term

TenureAgreement(s) held by individuals or groups, recognized by legal
statutes and/or customary practice, regarding the rights andduties of ownership, holding, access to or use of a particular land
unit or the associated resources (such as individual trees, plant
species, water or minerals) therein

Use rights

Rights to the use of (forest) resources as defined by local custom
or agreements or prescribed by other entities holding accessrights. These rights may restrict the use of particular resources tospecific harvesting levels or specific extraction techniques

Yield regulation

The technique for calculating and controlling the sustainable
yield (e.g. of wood)

Non-wood forest product categories
Categories

Material

End useAnimal fodder

Leaves, twigs

FodderFibre

Rattan, bamboo, lianas, cork

Construction, crafts

Foodstuff (animal based)

Bushmeat, wild game, insects, honey,
snails, etc.

Food, trophies

Foodstuff (plant based)

Fruits, leaves, vegetables, fungi/
mushrooms, nuts/seeds, berries, roots

Food, oils, drinks,
colouring and dye

Gum and sap

Latex, rubbers, gums, resins, chemicals

Chemical raw materials

Medicinal

Medicinal plants and aromatic
herbs, spices

Medicine, flavouring,fragrancecriteria and indicators for the sustainable management of tropical forests

Annex 3: IUCN protected-area management categories

6

IUCN has defined the following six protected-area management categories based on management objective:
Category Ia: Strict Nature Reserve are strictly protected areas set aside to protect biodiversity andalso possibly geological/geomorphical features, where human visitation, use and impacts are strictly
controlled and limited to ensure protection of the conservation values. Such protected areas canserve as indispensable reference areas for scientific research and monitoring.
Category Ib: Wilderness Area are usually large unmodified or slightly modified areas, retaining
their natural character and influence without permanent or significant human habitation, which areprotected and managed so as to preserve their natural condition.
Category II: National Park are large natural or near natural areas set aside to protect large-scaleecological processes, along with the complement of species and ecosystems characteristic of the area,
which also provide a foundation for environmentally and culturally compatible, spiritual, scientific,
educational, recreational, and visitor opportunities.
Category III: Natural Monument or Feature are set aside to protect a specific natural monument,
which can be a landform, sea mount, submarine cavern, geological feature such as a cave or even aliving feature such as an ancient grove. They are generally quite small protected areas and often havehigh visitor value.
Category IV: Habitat/Species Management Area aim to protect particular species or habitats andmanagement reflects this priority. Many Category IV protected areas will need regular, active
interventions to address the requirements of particular species or to maintain habitats, but this is
not a requirement of the category.
Category V: Protected Landscape/ Seascape area where the interaction of people and nature overtime has produced an area of distinct character with significant, ecological, biological, cultural andscenic value: and where safeguarding the integrity of this interaction is vital to protecting andsustaining the area and its associated nature conservation and other values.
Category VI: Protected area with sustainable use of natural resources, conserve ecosystems andhabitats together with associated cultural values and traditional natural resource management
systems. They are generally large, with most of the area in a natural condition, where a proportionis under sustainable natural resource management and where low-level non-industrial use of natural
resources compatible with nature conservation is seen as one of the main aims of the area.

6

Available at: www.iucn.org/about/work/programmes/gpap_home/gpap_quality/gpap_pacategories.

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Annex 4: IUCN Red List categories and criteria
The full text of the IUCN Red List categories is available at: www.iucnredlist.org/static/categories_
criteria_3_1#categories.
Red List species categories:•

EXTINCT (EX)•

EXTINCT IN THE WILD (EW)•CRITICALLY ENDANGERED (CR)•ENDANGERED (EN)•VULNERABLE (VU)•

NEAR THREATENED (NT)•LEAST CONCERN (LC)Further:•

DATA DEFICIENT (DD)A taxon is Data Deficient when there is inadequate information to make a direct, or indirect,
assessment of its risk of extinction based on its distribution and/or population status. A taxon
in this category may be well studied, and its biology well known, but appropriate data on
abundance and/or distribution are lacking. Data Deficient is therefore not a category of threat.

•

NOT EVALUATED (NE)A taxon is Not Evaluated when it is has not yet been evaluated against any criteria.

criteria and indicators for the sustainable management of tropical forests

Annex 5: The CITES Appendices
Appendices I, II and III to the Convention on International Trade in Endangered Species of Wild
Fauna and Flora (CITES) are lists of species afforded different levels or types of protection fromover-exploitation.
Appendix I lists species that are the most endangered among CITES-listed animals and plants. They
are threatened with extinction and CITES prohibits international trade in specimens of these species
except when the purpose of the import is not commercial, for instance for scientific research. In
these exceptional cases, trade may take place provided it is authorized by the granting of both animport permit and an export permit (or re-export certificate). Article VII of the Convention provides
for a number of exemptions to this general prohibition.
Appendix II lists species that are not necessarily now threatened with extinction but that may
become so unless trade is closely controlled. It also includes so-called “look-alike species”, i.e. species
whose specimens in trade look like those of species listed for conservation reasons. International
trade in specimens of Appendix-II species may be authorized by the granting of an export permit
or re-export certificate. No import permit is necessary for these species under CITES (although apermit is needed in some countries that have taken stricter measures than CITES requires). Permits
or certificates should only be granted if the relevant authorities are satisfied that certain conditions
are met, above all that trade will not be detrimental to the survival of the species in the wild.
Appendix III is a list of species included at the request of a Party that already regulates trade in thespecies and that needs the cooperation of other countries to prevent unsustainable or illegal
exploitation. International trade in specimens of species listed in this Appendix is allowed only on
presentation of the appropriate permits or certificates.
Species may be added to or removed from Appendix I and II, or moved between them, only by the
Conference of the Parties, either at its regular meetings or by postal procedures. Species may be
added to or removed from Appendix III at any time and by any Party unilaterally (although theConference of the Parties has recommended that changes be timed to coincide with amendments
to Appendices I and II).
The names of species in the Appendices may be annotated to qualify the listing. For example,
separate populations of a species may have different conservation needs and be included in different
Appendices (e.g. the wolf populations included in Appendix I are only those of Bhutan, India,
Nepal and Pakistan, whereas all others are included in Appendix II). Such specifications can appear
next to the species name or in the Interpretation section. For this reason, the Appendices should
always be consulted alongside the Interpretation with which they are presented.
Parties may enter reservations with respect to any species listed in the Appendices in accordance withthe provisions of Articles XV, XVI or XXIII of the Convention.
Source: www.cites.org/eng/app/index.php.

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Annex 6: Ownership and management rights of forests
Ownership
Term

Definition

Explanatory notes

Forestownership

Generally refers to the legal right tofreely and exclusively use, control,transfer or otherwise benefit from aforest. Ownership can be acquired
through transfers such as sales,
donations and inheritance

Forest ownership refers to the ownershipof the trees growing on land classified asforest, regardless of whether the ownershipof these trees coincides with the ownershipof the land itself

Publicownership

Forest owned by the state oradministrative units of the public
administration, or by institutions or
corporations owned by the public
administration

Includes all the hierarchical levels of public
administration within a country, e.g. state,province and municipality. Shareholder
corporations that are partially state-owned
are considered as under public ownershipwhen the state holds a majority of theshares. Public ownership may exclude
the possibility to transfer

Publicownership by
the state at thenational level

Forest owned by the state at the national
scale or by administrative units of the
public administration, or by institutions
or corporations owned by the public
administration

Publicownership by
the state at
subnational
government
scale

Forest owned by the state at the
subnational government scale, byadministrative units of the public
administration, or by institutions or
corporations owned by the public
administration

Privateownership

Forest owned by individuals, families,
communities, private cooperatives,
corporations and other business entities,
private religious and educational
institutions, pension or investment funds,
non-governmental organizations, nature
conservation associations or otherprivate institutions

Privateownership byindividuals

Forest owned by individuals and families

Privateownershipby private
business
entities andinstitutions

Forest owned by private corporations,cooperatives, companies and otherbusiness entities, as well as privateorganizations such as NGOs, nature
conservation associations, and private
religious and educational institutions, etc.

Includes both profit and non-profit entities
and institutions

criteria and indicators for the sustainable management of tropical forests

81

Privateownership bylocal, tribal andindigenous
communities

Forest owned by a group of individuals
belonging to the same community residing
within or in the vicinity of a forest area, orforest owned by communities of indigenous
or tribal people. The community members
are co-owners who share exclusive rights
and duties, and benefits contribute to thecommunity development

Unknownownership

Forest area where ownership is unknown
includes areas where ownership is unclear
or disputed

Indigenous and tribal people include: people
regarded as indigenous on account of theirdescent from the population which inhabitedthe country, or a geographical region towhich the country belongs, at a time ofconquest or colonization or the establishmentof present state boundaries and who,
irrespective of their legal status, retain someor all their own social, economic, culturaland political institutions; and tribal people
whose social, cultural and economic
conditions distinguish them from othersections of the national community, andwhose status is regulated wholly or partly
by their own customs or traditions or by
special laws and regulations

Management rights
Term

Definition

Management rights by
public administration

The public administration (or institutions or corporations owned by the public
administration) retains management rights and responsibilities within thelimits specified by the legislation

Management rights byindividuals/households

Forest management rights and responsibilities are transferred from the public
administration to individuals or households through long-term leases ormanagement agreements

Management rights byprivate companies

Forest management rights and responsibilities are transferred from the public
administration to corporations, other business entities, private cooperatives,private non-profit institutions and associations, etc., through long-term leases
or management agreements

Management rights bycommunities

Forest management rights and responsibilities are transferred from the public
administration to local communities (including indigenous and tribal
communities) through long-term leases or management agreements

Other forms ofmanagement rights

Forests for which the transfer of management rights does not belong to any of
the categories mentioned above

Source: Adapted from FAO (2015).

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ITTO pioneered the development of C&I in tropical forestsin the early 1990s with the aim of enabling the assessment of
the condition of tropical forests in producer member countries
and identifying weaknesses in forest practices and theimprovements needed. Since then, nine C&I schemes coveringsome 150 countries have been established, collectively
encompassing all the world’s major ecozones.

CRITERIA AND INDICATORS FOR THE SUSTAINABLE MANAGEMENT OF TROPICAL FORESTS

Criteria and indicators (C&I) for sustainable forest management(SFM) are arguably one of the most important and innovative
policy instruments for operationalizing the concept of SFM. Criteria
characterize the essential components of SFM, and indicators
are ways of assessing those components. When monitored
over time, C&I show changes and trends in the biophysical,
socioeconomic and policy conditions relevant to SFM.

POLICY DEVELOPMENT

21

ITTO
CRITERIA AND INDICATORS FOR
THE SUSTAINABLE MANAGEMENT
OF TROPICAL FORESTS

The aim of this revised edition of ITTO’s C&I is to ensurethat this instrument continues to meet the evolving needs oftropical forest stakeholders and to comprehensively inform thedevelopment of tropical forest policies and management practices.
Among other things, it will help tropical countries in reporting to
ITTO and other processes, such as the Sustainable Development
Goals, and in establishing baselines for REDD+.

Policy development series 21

INTERNATIONAL TROPICAL TIMBER ORGANIZATIONInternational Organizations Center, 5th Floor, Pacifico-Yokohama, 1-1-1, Minato-Mirai, Nishi-ku, Yokohama, 220-0012, Japan
Tel 81-45-223-1110 Fax 81-45-223-1111 Email itto@itto.int Web www.itto.int© ITTO 2016

ITTO

International Tropical Timber Organization