3.4. Criterion 4: Conservation and enhancement of soil and water resources and other environmental functions

This criterion deals with the protection of soil and water in the forest. First, it has a bearing on maintaining the productivity and quality of forest and related aquatic ecosystems and on the health and conditions of the forests; secondly, it also plays a crucial role outside the forest in maintaining downstream water quality and flow and reducing flooding and sedimentation. In this context the assessment concentrates on the extent of forest area primarily managed for the protection of soil and water and parameters measuring the duration of streamflow, water yield and water table.

Indicator 4.1 "Extent of watershed areas under management"

This indicator addresses the issue of forest land-use planning whereby areas that aim at the protection of soil and water are delineated and allocated to a special protection zone (e.g. Protection Working Circle in India). Harvesting of forest produce in this zone is mostly limited to the collection of NWFPs and fuelwood; cutting of trees for timber is prohibited. For assessing this indicator at the national level one needs to distinguish between forest with and without periodic management planning at the FMU level. In areas with FMU-level forest management plans a delineation of the various protection zones has been made on the basis of topography and site conditions. Aggregating the area information obtained from individual FMUs will provide the extent of the soil and water protection zone at the national level. In countries without management plans at the FMU level, an approximation of the soil and water protection zone can be derived from the forest cover map in combination with overlays of topography and water courses. For each approach a separate assessable verifier has been formulated.

ASSESSMENT AND REPORTING

For the development of a national assessment system, soil and water protection areas may be delineated on the basis of the attributes shown in the table below. In case other classifications are in use in a particular country these should be employed.

For definitions of soil and water protection areas see Assessable Verifier 4.1.1.

MONITORING

Table showing the extent of areas managed for soil and water protection by forest cover classes.

INTERPRETATION OF RESULTS

Information on the areas managed for soil and water protection according to forest cover classes provides some indication to what extent these forests fulfil their protective function. Non-forest and scrub forest formations obviously would need active rehabilitation measures to increase crown cover density. It should be noted that areas which do not support tree growth (high mountain sites, waterlogged areas) should be excluded when quantifying future rehabilitation targets. Trends in the proportion of cover density classes in the soil/water protection zone will clearly show whether or not current practices of protection and/or rehabilitation measures are adequate.

Indicator 4.2 "Area under shelter- and green belts"

This indicator refers to trees outside forests that have been planted in predominantly agricultural land for the protection of soil and water. An assessment of this indicator can be combined with data collection for Indicator 1.3 "Areas under trees outside forests". During field sampling, areas stocked with trees along rivers, streams, canals, around wells and on steeper slopes could be recorded as "for protection of soil and water". In this way, the proportion of areas with trees particularly serving soil and water protection purposes can be calculated.

ASSESSMENT AND REPORTING

* There should be a provision in the field inventory for separately recording these areas. In addition, a clear definition of shelterbelts and green belts with protective functions for soil and water is a prerequisite for proper assessment (e.g. trees along rivers and streams, steep slopes etc.).

MONITORING

INTERPRETATION OF RESULTS

Trends in the extent of areas covered by trees planted and maintained for the purpose of soil and water protection provide some insight into the level of awareness and importance of soil conservation measures in agriculture. In case the trend is negative (i.e. declining areas covered with trees) possible causes should be established and countermeasures worked out.

Indicator 4.3 "Duration of streamflow and water yield"

This indicator describes the roles of forests in converting precipitation into perennial flow of water through infiltration and base flow. The duration of streamflow assessed here is a measure of the infiltration and water retention capacity of the soil.

*For the development of a national assessment system an appropriate classification of measuring sites, particularly those "adjacent to forests" and "distant from forests" needs to be selected. This should be done in a way that best captures the influence of forest and trees on the duration of streamflow.

MONITORING

Changes in duration of streamflow.

INTERPRETATION OF RESULTS

The specific climate in the dry forests of Asia with its seasonal rainfall and longer dry periods is often prone to a negative water balance in the ecosystem. This water balance can be described with the duration of streamflow. However, it should be noted that the influence of the actual annual rainfall and the location of the reference point where the observations have been taken play a significant role in the interpretation of trends in the water balance, and have therefore been included in the assessment. Long-term trends may provide some indication on how the water situation develops over time, although the contribution made by forests and trees on the water balance cannot be determined exactly.

Indicator 4.4 "Extent of soil erosion"

Soil erosion is an important aspect in land management, particularly for maintaining long-term soil fertility and thus forest productivity. The rate of soil erosion varies with site-specific parameters such as slope gradient, soil type, soil texture and structure, rainfall, vegetation type and management interventions. Measuring soil erosion is a difficult task usually requiring long-term studies in larger test areas with calibration periods and subsequent application of different management regimes. Extrapolating the results of these studies to a regional level in order to arrive at the total area affected by a certain level of soil erosion is rather problematic because of the variability of erosion rates. Due to these difficulties it is proposed to exclude this indicator from an assessment at the national level.

Indicator 4.5 "Change in level of the water table"

This indicator deals with the percolation of water into subsurface soil layers and can be gauged by the level of the groundwater table.

*Appropriate measuring sites for assessing the level of the water table are to be selected in close cooperation with expert institutions.

MONITORING

Changes in the level of the water table.

INTERPRETATION OF RESULTS

The specific climate in the dry forests of Asia with its seasonal rainfall and longer dry periods is often prone to a negative water balance in the ecosystem. This water balance can also be described with the level of the water table. Regular monitoring of the water table takes place on agricultural land and in rural settlements for purposes of monitoring water availability for human consumption and irrigation. For assessing the influence forest management may have on the level of the water table carefully selected measuring sites are needed. Maintaining the water table within long-term regular fluctuations and avoiding a steady downwards trend could be a desired situation to which forests and forest management can contribute.

Indicator 4.6 "Change in sediment load"

Sediment load in rivers and streams consists of soil particulates that are exported from the ecosystem through soil erosion. The rate of soil erosion varies with site-specific parameters such as slope gradient, soil type, soil texture and structure, rainfall, vegetation type and management interventions. Being closely associated with soil erosion, sediment loads are very difficult to extrapolate at the national level and thus it is proposed to refrain from assessing this indicator.

3.5. Criterion 5: Maintenance and enhancement of forest productivity

This criterion deals with the economic function of the forests in terms of wood and non-wood forest produce. Maintaining or increasing the productivity of forest is considered an important aspect of forest management. This is particularly important in the dry forest zone of Asia where forests are under considerable pressure to provide a wide range of goods such as timber, fire wood, fodder and other non-wood forest products. Key aspects to be assessed under this criterion refer to the area under forest management plans, growing stock and harvest levels, regeneration of forests and the efforts made by society to develop and apply new technologies for the management and utilisation of forests.

Indicator 5.1 "Extent of forest area under forest management plans"

This indicator refers to the forest area that is managed based on documented plans. In some countries within the dry forest zone of Asia systematic forest management planning has a long tradition, in others such planning is not yet widely applied. On public land forest management plans are usually prepared according to standard procedures approved by the forest department and revised every 10 years. This indicator which directly can be measured assesses the forest area covered by management plans.

ASSESSMENT AND REPORTING

MONITORING

Table showing the extent of forest area under management plans.

INTERPRETATION OF RESULTS

The extent of area under forest management plans provides an indication on the level of systematic forest planning applied within a country. The preparation of such plans requires the application of standard procedures such as forest inventories, growth and yield calculations and/or social baseline surveys and a systematic compilation of the collected information. Given that management decisions based on sound information are superior compared with decisions made without such background the changes in extent of area under plans provides some indication on how a country moves towards achieving sustainable forest management.

Indicator 5.2 "Changes in growing stock of wood and NWFPs"

This indicator measures the level of growing stock that is available in the forest in terms of the total standing volume of wood per ha or any other forest produce. Growing stock information can be derived from FMU-level planning through the process of forest management planning or forest cover mapping at the national level combined with field verification. Depending on the available information for the dry forests in the particular country the assessment can be done by using either Assessable Verifier 5.2.1 or Assessable Verifier 5.2.2. In case a specific NWFP is of particular relevance and the respective information is available at the FMU-level a third Assessable Verifier could be applied under this indicator.

ASSESSMENT AND REPORTING

*Definition:

Growing stock: Stem volume of all living trees more than 10 cm diameter at breast height, dbh, (or above buttresses if these are higher), over bark measured from stump to the top of the bole. Excluded are all branches.

Commercial growing stock: Part of the growing stock that consists of species considered as actually or potentially commercial under current local and international market conditions, at the reported reference diameter (dbh). Includes: species which are currently not utilised, but potentially commercial having appropriate technological properties.

*Within the context of forest cover mapping a definition of growing stock is required and depends on the type of field verification plots and resolution of remote sensing data available.

For this verifier one would need to specify a certain NWFP for which growing stock information, at least in some FMUs is available.

*Applicable if this NWFP species is covered in FMU-level management planning.

Examples: Diospyros melanoxylon leaves, Shorea robusta (Sal) seeds; gums, resin.

MONITORING

Changes in growing stock of wood.

Changes in growing stock of NWFP (Species Y).

INTERPRETATION OF RESULTS

In general, information on the average growing stock of larger forest areas expressed as standing wood volume per hectare is an indication for the productivity of the forest. In this context it is important to maintain this average growing stock at an optimum level. This optimum level is defined as the level of growing stock at which a maximum or near-to-maximum wood production is attained. Monitoring the changes of the average growing stock provides an excellent means of assessing forest productivity against defined management objectives. Given the fact that considerable portions of the dry forests are scrub and open forest stands, an increase in the average growing stock level may - in the medium-term - be a desirable trend towards sustainable forest management.

Indicator 5.3 "Difference between allowable and actual cuts"

This indicator essentially is a comparison between harvestable volumes of forest produce as prescribed in forest management plans and actual harvest volumes obtained from the forest over a specified period. Allowable and actual harvests or cuts can only be assessed in areas under management planning. Allowable harvests prescribed in the management plan for periods of 10 years are calculated using standard yield regulation procedures based on field inventory data, growth and yield estimations and silvicultural systems applied. Through yield regulation processes harvest levels are identified that can be maintained over long periods and doe not lead to a depletion of the forest's growing stock. Information for this indicator can directly be obtained from relevant documents.

ASSESSMENT AND REPORTING

* Average difference between allowable and actual cut over all FMUs within the dry forest zone of a country.

MONITORING

Trends in the difference between allowable harvest and actual cut.

*If appropriate, one may also report the difference between allowable and actual cut separately for each region within a country.

INTERPRETATION OF RESULTS

The annual amount of timber to be harvested is usually prescribed at conservative levels that ensure a non-declining growing stock over time. In degraded forests this level is even below the actual annual growth, in order to increase the growing stock and thus productivity of the forest. Maintaining the actual harvest volume within the limits prescribed in the management plan is therefore an important ingredient for the sustainability of forests.

Indicator 5.4 "Annual NWFP removable"

This indicator refers to annual harvest levels of certain NWFPs. Usually reliable data on NWFP stocks and sustainable rates of extraction are absent. However, information on specific NWFPs such as tendu leaves could be available in certain FMUs or regions. In these cases, one should follow the same procedure as outlined under Indicator 5.3 dealing with the comparison of allowable and actual timber extraction rates.

Indicator 5.5 "Area of afforestation and new plantations including agroforestry"

This indicator assesses the extent of area where either measures to promote natural regeneration or planting activities have been implemented. Agroforestry is not assessed under this indicator because tree resources growing in intercropping systems belong to trees outside forest and are covered by Indicator 1.3. For planting activities it is also of interest whether indigenous or exotic species have been used in the plantation. Since there is usually more detailed information on forest management available in the legally notified forest area compared with the forest area outside the legally notified forests, two separate verifiers are used in this assessment. Moreover, data collection in the area outside forest may not be confined to documents available at the forest department, but could also involve interviews with land owners and communities. Today, under-stocked forest stands in the dry forest area are increasingly rehabilitated by means of natural regeneration. Experience have shown that in some regions this is a cheaper means of bringing the forest back into production or restore its functions, particularly soil and water protection and conservation of biodiversity.

ASSESSMENT AND REPORTING

MONITORING

Changes in area subject to regeneration treatment or planting in the legally notified forest area.

Changes in area subject to regeneration treatment or planting outside legally notified forest area.

INTERPRETATION OF RESULTS

As many regions within the dry forest zone in Asia are faced with problems of forest degradation efforts towards rehabilitation and re-stocking of forests stands are considered an important activity contributing towards sustainable forest management. The level of area treated and/or planted, therefore, provides some indication on the efforts made towards this end.

Indicator 5.6 "Degree of technological input"

This indicator refers to the development and application of new, innovative technologies that aim at improving forest management and the utilisation of forest products. The various types of technological input may be grouped according to the following four areas of application:

• Procurement of planting material - example, seed orchards, seed storage methods, propagation techniques etc.;

• Forest operations - example, planting techniques, thinning, reduced impact logging etc.;

• Wood processing - example, composite wood, utilisation of juvenile timber through ammonia fumigation, plasticization, timber engineering techniques, use of improved energy saving devices such as stoves etc.;

• Non-wood forest produce - example, conservation and processing methods of fruits, bark, essential oils etc.

ASSESSMENT AND REPORTING

MONITORING AND INTREPRETATION OF RESULTS

Changes in the development and application of innovative technologies can be described by comparing the result tables of two or more consecutive assessments. Important comments would be made on the number and type of new technologies being developed and also how far new technologies have moved from the development stage towards full field implementation. Since monitoring of this indicator is more of a descriptive nature, a specific monitoring format is not provided here.

Indicator 5.7 "Contribution of forest to GDP through total economic value"

GDP is a macro-economic measure for the economic performance of all producing sectors within a country during a specified reporting period. It is essentially the monetary value of all goods and services produced locally minus the value of goods consumed in the production process. The contributions of forests to the GDP are included as goods and services derived from forestry activities that can be expressed in terms of their monetary values. Monetary valuation is possible for those timbers and NWFPs that are traded in the market. Services from forests such as tourism and recreation can also be included as long as these services are subject to selling and buying. This indicator, therefore, concentrates on those parameters that are recorded in monetary values at the national level. It should also be noted that difficulties may arise from the fact that national-level economic statistics will provide overall forest-related data and not necessarily separate the goods and services from dry forests from those derived from other forest types.

REPORTING AND MONITORING

INTREPRETATION OF RESULTS

Trends in the contribution of forests to the GDP are an expression of the importance of forestry activities for a country's economy. However, because monetary valuation is possible only for a rather small fraction of goods and services derived from forests, the results of this indicator do not reflect the much more important intangible benefits derived from dry forests such as water, soil and biodiversity conservation and the production of non-marketable goods such as food, natural medicines, fuel wood and fodder.