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ANNEX 2. CRITERIA AND INDICATORS: CONCEPTS AND DEFINITIONS[7]


National-level criteria define the range of forest values to be addressed and the essential elements or principles of forest management against which the sustainability of forests may be assessed. Each criterion relates to a key element of sustainability. Indicators measure specific quantitative and qualitative attributes (and reflect forest values as seen by the interest group defining each criterion) and help monitor trends in the sustainability of forest management over time. Changes in national-level indicators between periods indicate whether a country is moving towards, or away from, sustainability. Criteria and indicators as applied at the forest management unit level provide similar information for individual FMU’s.

Viewed this way criteria and indicators are similar, for example, to economic indicators such as interest rates and inflation rates that governments use to assess the health of an economy. If these indicators suggest that an economy is moving away from the desired direction, the government is able to adjust its management policies to achieve the preferred outcome. Change in the indicators of SFM provides similar information to policy makers and practicing foresters to allow them to intervene appropriately to correct any undesirable trends (FAO 2000).

National level indicators will contribute towards the development and regular updating of policy instruments (laws, policies, regulations), while trends in the indicators at the forest management unit level will help adjust forest management prescriptions over time to meet established national goals The overall aim of the development of both national and forest management unit level criteria and indicators is to achieve better forest management over time. While criteria and indicators developed at these two levels differ in concept and substance, forest management unit level criteria and indicators should be linked to the national level, and the two levels must be mutually compatible (FAO 2001a).

Criteria and indicators, at both national and forest management unit level, are neutral assessment tools for monitoring trends, they cannot be used as substitutes for minimum agreed-upon forest management standards which underpin certification. On the other hand, forest management unit level criteria and indicators can be used to guide the development of minimum standards of performance at the management unit level, thus indirectly linking criteria and indicators at this level with forest products certification. (FAO 2001a).

Certification is one of a number of market-based instruments that may contribute to improved management of forests and improved forestry sector development. The goal is to link trade in forest products to the sustainable management of the forest resource, by providing buyers with information on the management standards of the forests from which the timber came. While assessment results from criteria and indicators work cannot be compared between countries, the specified performance standards used for certification purposes can, by definition, be compared. (FAO 2001a).

Certification processes need to be closely linked to national and forest management unit level criteria and indicators because a number of macro-level criteria for certification, such as the legal and policy frameworks, should be based on the national level data provided within national criteria and indicators processes. A similar dependence of national level criteria and indicators on certification, however, need not exist. In other words, certification, though helpful, is not a necessary condition for achieving sustainable forest management (FAO 2001a).


[7] Source: Forest Resources Division, Forestry Department, FAO/Rome. Unpublished File Note, 1 April 2001.

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