PREFACE

The Forest Service has a strong commitment to its mission: “Caring for the Land and Serving 

People”. Monitoring for sustainability of our National Forests and Grasslands, as a result of 

ecosystem management, is a key component of this commitment. Our goal in the Forest Service 

is to work with our partners, the American public, to strike the right balance between sustainable 

social, economic and ecological systems. In this way we can satisfy the values of the present 

without compromising the needs of future generations. 

This report documents the second major step the Forest Service has taken to establish 

sustainability monitoring on National Forests and Grasslands. In the first project, completed in 

1999, the Inventory and Monitoring Institute tested the application of the Center for International 

Forestry Research (CIFOR) forest management unit scale “Criteria and Indicators of 

Sustainability”. The Boise National Forest, Forest Service Research and International Programs 

cooperated in this effort. While the CIFOR project showed very promising results for the 

application of sustainability assessments on National Forests and Grasslands, it also highlighted 

the need for a more thorough test of the methodology in a variety of social, economic and 

ecological settings. 

In 1999, my office asked the Inventory and Monitoring Institute to undertake the Local Unit 

Criteria and Indicators Development (LUCID) project. This report, and supporting 

documentation, is now available to assist and guide the development of sustainability assessments 

on National Forests and Grasslands, as part of the planning process. The LUCID monitoring 

methodology will continue to evolve, as each National Forests and Grasslands tailors 

sustainability assessments to local ecological conditions, and to meet the needs of collaborators in 

both public and private venues. There is not a single sustainability assessment for all National 

Forests and Grasslands. The LUCID test has identified common social, economic and ecological 

threads that can be woven together to tell the sustainability stories of our National Forests and 

Grasslands. Sustainability is the common ground between all public values. Sustainability 

assessments provide the information that we, and the American people, can use to assure the 

continued long-term integrity of the social, economic and ecological systems we depend on from 

the lands we manage. I am proud to convey this report to the Forest Service and to the American 

people. Sustainability assessments provide a blueprint for us to use as we work together toward 

the next 100 years of public land management. 

DALE N. BOSWORTH 

Chief 

	



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Original LUCID 

CORE 

Tongass Ottawa Modoc Mt. Hood 

Blue 

Mountains Allegheny 

Involvement 

values 

Involvement 

Traditional 

ecological 

knowledge 

Involvement 

values 

Public 

involvement 

Collaborative 

Stewardship 

 Involvement in 

National Forest 

management and 

decision-making. 

Access Access Land ownership, 

access and value 

Access Access to forest 

resources 

Forest-based 

human health 

values 

Forest-based 

human health 

values 

Forest-based 

human health 

values (all 

forests/owners) 

Forest-based 

human health 

and safety values 

 Health, safety 

and services 

Human health 

and safety 

Spiritual and 

cultural values 

 Spiritual and 

cultural values 

Cultural and 

spiritual values 

and uses 

Spiritual and 

cultural values – 

sense of place 

Social and cultural 

values 

Community 

and cultural 

identity 

Spiritual and 

cultural values 

Recreational 

values 

Recreation Recreation, 

tourism and 

education 

opportunities 

Recreation 

values 

Education 

programs 

Social and cultural 

values* 

Educational, 

cultural and 

recreational 

opportunities 

and values 

Recreational, 

tourism, and 

educational 

opportunities 

Noneconomic 

gathering values 

Spiritual selffulfillment and 

gathering 

 Social and cultural 

values 

 

Nonmarket 

gathering 

Aesthetic values Aesthetic values Aesthetic values Aesthetic values Social and cultural 

values 

 

Other criterion 

with no LUCID 

Core equivalent 

 Legal and 

institutional 

framework within 

the region (all 

forestry 

agencies) 

Equity Institutional 

adequacy 

Community livability 

Community 

resilience 

Cohesion and 

conflict 

Population

Environmental 

justice 

* The Mt. Hood identified one very broad criterion -- social and cultural values -- that included components similar to several other Forests’ criteria.

 	
 	 	

	 	




 		

 



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Intergenerational Equity: The term sustainable development was popularized by the World Commission on 

Environment and Development (1987) as "development that meets the needs of the present without compromising the 

ability of future generations to meet their own needs." A foremost characteristic of this definition is the concept of 

intergenerational equity, which embraces the notion that the needs of future generations are as important as the needs of 

the current generation. This term encompasses concerns about long-term productivity, maintenance of ecological 

integrity, and making investments in natural capital. 

Intragenerational Equity: All individuals of the present generation have an equal right to benefit from the use of 

resources. This form of equity has two important components: social equity and geographical equity. "Social equity" 

refers to the fair distribution of the benefits and costs of natural resource use and environmental protection, taking 

account of such basic human needs as food, shelter, employment, public facilities and services. To many, social equity 

in the context of sustainability also means the improvement of equity in a broader sense, for example, more equitable 

distribution of income, and the elimination of discrimination. The second essential component of intra-generational 

equity is "geographical equity". This term was coined by Haughton and Hunter (1995) to underline the undesirability 

of achieving economic growth, or a higher quality of life, in one community at the expense of environmental 

degradation in another. They contend that this type of development is inequitable unless some form of reparation or 

compensation takes place between the communities. Geographical equity also implies that sustainable communities 

support global sustainability by minimizing their contribution to global environmental problems, such as global 

warming and depletion of the ozone layer. Sample questions include: 

- Are local people involved in decision-making? 

- Is there an equitable and positive rent share to all participants? 

- Is there transparent allocation of rights or concessions? 

Minimal Impact on the Environment: This term implies that waste discharges of all types (including emissions to the 

air, water effluents, contaminants of land and biota, and the disposal of solid waste) should not exceed the assimilative 

capacity of the natural environment, where “assimilative capacity” refers to the capacity of physical, biochemical, and 

geochemical processes in the ecosystem to decompose and render inert certain types of waste products. Impacts due to 

development and management practices should also be minimal so that habitat and natural ecosystem functions are 

preserved as much as possible. 

Living off the Interest of Renewable Resources: Sustainability means that the depletion rates for renewable 

resources, such as timber and fisheries, should not exceed the regenerative capacity of the natural system that produces 

them. Sample questions include: 

- Is there a sustained flow of environmental services and products? 

- Are we living off the interest of renewable resources? 

- Are investments made in the natural capital? 

Carrying Capacity: The concepts of “minimum impact” and “‘living off the interest” make up "carrying capacity," 

which has been defined as " the maximum rate of resource consumption and waste discharge that can be sustained 

indefinitely in a given region without progressively impairing the functional integrity and productive activity of 

relevant ecosystems" (Rees 1992). 

Community Capacity: The collective ability of residents to respond (the communal response) to external and internal 

stresses; to create and take advantage of opportunities; and to meet the needs of residents, diversely defined. 

Community capacity includes consideration of issues such as: 

- The state of the physical capital (the physical elements and resources in a community and financial capital); 

- The state of human capital (the skills, education, experiences, and general abilities of residents); and 

- The state of social capital (the ability and willingness of residents to work together for community goals). 

Minimal Use of Nonrenewable Resources: Consumption of nonrenewable resources is unsustainable because the 

resources will eventually run out. Therefore, the emphasis must be on minimizing their use, using them as efficiently 

as possible, through reduction, reuse, and recycling, and by seeking renewable resource substitutes. 

Efficiency: Increased efficiency in the consumption of resources reduces the need to harvest or extract additional 

resources. 

Long-Term Economic Development: Enduring economic vitality is an essential component of sustainability. This 

condition is also frequently described as economic "prosperity.” 

Diversity: Diversity in the economic, biological, and cultural elements of an economic system may help to decrease its 

fragility thereby increasing its ability to adapt to change and perturbations. 






	


 !
	


 	
 	 	

	 


  		



Subsidiarity in Organization: Decision-making in society should be located at the lowest appropriate level. 

Decentralization should prevail so that decisions can be made by and for the communities and individuals most 

affected, with higher level organizations being “subsidiary” to lower ones. 

 Sample questions include: 

- Is decision-making effected at the lowest possible level? 

- Is there an increasing flow of information between local and management? 

- Do communities participate in making the management decision? 

Externalities: Ecosystems provide many ecological services in the production of goods and services including 

assimilation of pollutants or the provision of clean water. Typically, ecosystem charges are external to the decision 

maker or manager; and as they are unpriced, they are not part of the decision. The issue of externalities refers to the 

practice or the tendency to ignore the entire costs associated with the production of goods and services. 

Resiliency: The ability to return to the original form or elasticity. 

Sample questions include: 

- Is the community resilient to changes and fluctuations? 

- Is the economy diverse? 

- Is population age distribution stable? 

- Is the physical infrastructure of communities diverse, being maintained, or extended? 

Trade Balance: The ratio of imports to exports. 

Sample questions include: 

- Is there a positive economic trade balance? 

- If the trade balance is positive, is it positive because capital stocks are being depleted? 

- If the trade balance is positive, is it positive because human capital is being depleted or imported? 

Capital Substitution: The exchange or transfer of one form of capital for another. 

Sample questions include: 

- Is built capital a substitute for natural capital? 

- Is this substitution efficient? 

- Is the decision (substitution) irreversible? 

Human Well Being: An individual's well-being extends to his or her physical, social, and mental conditions. Health 

and education, by developing human potential, contribute to individual well-being, which also requires the satisfaction 

of basic physical and economic needs. Sample questions include: 

- Is the ratio of property value to local income stable? 

- Are a diverse array of human opportunities being provided for? 

Precautionary Management: In the face of risk and uncertainty, be cautious in managing natural environments. 

Adapted from: Woodley et al. 2000, Doak and Kusel 1997

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Core Criteria Allegheny Blue Mts Modoc Mt. Hood Ottawa Tongass 

Wealth and 

capital 

Capital and 

wealth 

Land, labor 

and capital 

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capital 

Sustain 

minimum 

capital 

stocks 

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wealth: land, 

labor, and 

capital 

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stocks 

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and 

consumption 

Production 

and use 

Production 

and 

consumption 

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lands 

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market or 

marketrelated 

goods and 

services 

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goods and 

services 

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Ottawa 

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forest goods 

and services 

Trade and 

distribution 

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and 

employme

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distribution 

Distribution 

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trade 

Economic 

trade and 

distribution 

Seek benefit 

and cost 

distributional 

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Maintain 

trade 

balance 

Economic 

trade 

Economic 

distribution 

New Production 

efficiency 

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health of 

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MEASURE

Ecosystems are dynamic and can be characterized by vegetation types that

change over time in response to normal successional processes as well as

disturbance (including human disturbance). The intent of this measure is

to compare historic vegetation types with current vegetation types.

It is recognized that ecosystems are dynamic systems. The dynamics are

generally successional in nature and/or a response to disturbances.

Disturbances are critical to maintaining ecosystem viability and structural

diversity. Ecosystems have the capability to recover from "normal" levels

of disturbances. However, when disturbances outside of a ’normal’ range

occur, ecosystem resiliency is tested.

McNab, W.H. and P.E. Avers. 1994. Ecological Subregions of the United

States. USDA Forest Service Report. WO-WSA-5

http://www.fs.fed.us/land/pubs/ecoregions

Definition

Relationship to Sustainability

References

Measure

Type

Enabling

Condition

Shared

Measure None

Recommended No

Associated

Principle

Associated

Criterion

Associated

Indicator

All

Measures ?

M2.2.1.1 Assessment of vegetation community types by

seral stage including permanent conversions
	


  	
	 	

  		





	















	













	



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P1 Social

Well Being AND

AND

AND

AND

AND C1.1 Collaborative

stewardship

C1.2 Institutional and

Community Capacity

C1.3 Social equity

C1.4 Social and cultural

values

I1.1.1 Contribution of local &

traditional & ecological knowledge

I1.1.2 Collaborative decision-making

I1.1.3 Stewardship activities

I1.1.4 Local area empowerment

and development

I1.2.1 Community resiliency

I1.2.2 Institutional adequacy

I1.2.3 Ownership patterns

I1.2.4 Government to government

relationships

I1.3.1 Environmental justice and

civil rights

I1.3.2 Disabled access

I1.3.3 Worker health and safety

I1.3.4 Public health and safety

I1.3.5 Community/environmental

health

I1.4.1 Gathering

I1.4.2 Aesthetics and Solitude

I1.4.3 Education and research

I1.4.4 Cultural values and

historic features

I1.4.5 Spiritual values and

special places

I1.4.6 Access and use rights

I1.4.7 Recreation and tourism

I1.4.8 Customs and culture

	





	


 	 
	
		

	 

  		



P2 Maintain

Ecological Integrity AND

I2.5.1 Population viability

I2.6.1 Populations of indigenous

species

I2.8.1 Genetic diversity

I2.2.1 Landscape diversity

I2.2.2 Landscape patterns

I2.3.1 Productive Capacity

I2.3.2 Functional Diversity

I2.3.3 Invasive species

I2.3.4 Nutrient cycling

I2.3.5 Carbon sequestration

I2.3.6 Stream function

I2.4.1 Air, soil and water quality

I2.4.2 Ecological legacies

I2.4.3 Special habitats

I2.4.4 Species richness

I2.7.1 Genetic mixing

I2.7.2 Genetic migration

I2.7.3 Genetic selection

I2.1.1 Disturbance processes

I2.1.2 Hydrologic function

I2.1.3 Long-term community

dynamics

AND

AND

AND

AND

AND

C2.3 Ecosystem

function

C2.4 Ecosystem

structure/composition

C2.1 Landscape function

C2.2 Landscape

structure/composition

C2.5 Population function

C2.6 Population

structure/composition

C2.7 Organism function

C2.8 Organism

structure/composition

	




 	 
	
		

	 	




 		

 

P3 Economic

Well Being AND

I3.4.1 Net Rent

I3.1.1 Natural capital - forests

I3.1.2 Natural capital - recreation

I3.1.3 Natural capital - wildlife/fish

I3.1.4 Natural capital - range

I3.1.5 Other natural capital

I3.1.6 Built infrastructure -

roads and trails

I3.1.7 Built infrastructure -

recreation facilities

I3.1.8 Built infrastructure -

other facilities

I3.1.9 Human capital

I3.2.1 Production of marketed

goods and services

I3.2.2 Production of non-marketed

goods and services

I3.3.1 Trade balance

I3.3.2 Workforce diversity

I3.3.3 Income

I3.3.4 Equity

C3.1 Capital and wealth

C3.2 Flows of products

and services

C3.3 Trade and

distributional equity

C3.4 Efficiency

AND

AND

AND

AND

	



	


 	 
	
		

	 

  		




		

	
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forests

SOR

AND

M3.1.1.2 Amount of

productive forest

M3.1.1.3 Value of

productive forest

M3.1.1.1 Compare productive

forest to total forest

MO3.1.1.1 Total amount

of forest

	
 
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Processo naturales

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Migracion de

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Patron del Paisaje

Longevidad de especies

existences

Tipo de vegetacion y clases de

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animal

Processos

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CANCEL OK

What are the acres of white-tailed deer herbivory

disturbance? What is the existing inventory?

What is the spatial scale needed?

Over what time scale?

Name

Alias

Hyper Link

2.2.6 Percentage of deer mgmt units heavily affected

Comment Explanation Domain Source

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