0390-B1
Robert J. Miller[1] and Corrinne Nelson
To fully define and report on forest sustainability, the Ontario Ministry of Natural Resources developed a set of forest sustainability indicators. An adaptive approach was used to design a comprehensive sustainability evaluation and reporting framework to meet Ontario’s legal and policy obligations, and to provide a structured and documented guide outlining how sustainability evaluation will be accomplished.
The monitoring, evaluation and reporting stages of sustainable forest management are all considered and described in Ontario’s framework, which takes a systematic, hierarchical approach, beginning with guiding principles and values that are based on public policies. The hierarchy of goals and objectives starts at the provincial level and continues through to specific goals and objectives in forest management plans at the management unit level. A comprehensive evaluation of sustainability occurs within the framework of these goals and objectives. Ontario’s first state of the forest report, published in spring 2001, is the culmination of the development of Ontario’s criteria and indicators framework, linking high-level policies of sustainable forest management with detailed public reporting of the best available indicator data. Over time, results from this report will be incorporated into modifications of policies, program direction, and on-the-ground forest management practices, to provide for the long-term sustainability of the forest resource.
Sustainable forest management is the foundation for all current forest policies in Ontario, Canada. The province has taken a proactive approach towards forest sustainability by developing a comprehensive set of policies and legislation relating to sustainable forest management. Keystone legislation, the Crown Forest Sustainability Act (Crown Forest Sustainability Act 1994) and associated policy documents commit Ontario to sustainable development and an ecological approach to forest management, and provide the foundation for continued development of policy and legislation related to forest sustainability.
In order to fully define and report on forest sustainability at the provincial scale, Ontario’s Ministry of Natural Resources (OMNR) developed a complete set of forest sustainability indicators for Ontario, in the context of a broader and more comprehensive sustainability evaluation and reporting framework. The development process included reviewing and summarizing Ontario’s legal and policy requirements, designing an evaluation framework and monitoring system to meet these requirements, and identifying additional policy, research and monitoring needs suggested by the proposed framework.
An evaluation framework is a structured and documented guide that outlines how sustainability evaluation will be accomplished. OMNR developed a framework that describes what is being evaluated, the intended users and uses of the information, the issues and questions to be addressed, the sources and methods used to collect the information, and the frequency of data collection. The evaluation framework provides a useful “road map” and set of “sign posts” for evaluating progress in sustainable forest management. As a tool for forest management, the evaluation framework was designed to be practical for the stakeholders who use it, whether within or outside government.
Evaluating forest sustainability is a key component of implementing sustainable forest management. The sustainable forest management process itself has several stages. The planning stage includes the development of management objectives, which are then implemented through approved forest-management plans. The monitoring stage involves the collection of data related to the implementation of management decisions and the expected effects of those decisions. The evaluation stage determines whether the management objectives established in the planning stage were achieved, and whether these objectives continue to be desirable and achievable. The final stage, reporting, ensures that information from the planning, monitoring and evaluation stages is presented to managers and stakeholders in an organized format, for input into future decision-making and objective-setting. These stages are linked to the extent that evaluation is possible only with planned, documented objectives developed in the planning stage, sound data and information generated through a comprehensive monitoring program, and an adaptive reporting system which ensures that the decisions, results and learning experiences from the various stages are incorporated into future policies and management plans.
Monitoring of forest sustainability requires careful sampling design, data collection, and data management. Sampling design is important because it may not be practical or possible to collect the desired data for all indicators. Data collection is expensive and time consuming, so monitoring programs need to be focussed and efficient. Forest monitoring programs can generate large data sets that require temporal and spatial referencing, making effective data management critical.
Monitoring is driven by the need to get data trends over time for each chosen indicator. Learning that can be applied in future decision-making is enhanced when monitoring data can be compared to indicator predictions following the implementation of management decisions. Monitoring programs are most effective when designed with the explicit intention of testing specific forecasts or predictive mathematical models.
The goal of evaluation is to render judgement. In evaluation, monitoring data are analyzed and interpreted to make at least two kinds of decisions: to determine whether management hypotheses and forecasts are valid, and to determine whether management actions are moving indicators in the desired “sustainable” direction. When monitoring data are based on sampling rather than census information, the evaluation process needs to differentiate between “real” trends and normal sample variation. Therefore for some kinds of sampling data, evaluation is as likely to be a subjective, qualitative judgement, as it is to be an objective judgement based on clear, quantitative evidence.
In determining whether progress toward sustainable forest management is being achieved, a crucial issue is determining whether the trends measured by specific indicators are indeed the result of forest management practices. Evaluators will need considerable insight if they are to draw valid conclusions, as other factors may confound the links between management actions and sustainability indicators. For example, forest-dwelling songbird populations may be affected by habitat changes following forestry activities, but weather events and habitat problems in distant countries where these species overwinter may play an even greater role. Distinctions that relate the scope of conclusions to forest management influences will be required.
Reporting is the final stage of the sustainable forest management process. The reporting stage ensures that the information planned for, collected and evaluated in previous steps is presented to stakeholders in an organized format and is used for future management planning purposes, which includes input into decision-making and modifications to future management actions.
For efficiency’s sake, OMNR sought ways to have various types and scales of sustainability reporting link where possible. Streamlining of the reporting process was accomplished by combining all required longer-term reports into one comprehensive volume - a “state of the forest” report. This report evaluates forest sustainability every five years, and assesses results within the framework of Ontario’s forest sustainability criteria and indicators-based evaluation framework.
OMNR used the Canadian criteria and indicators (Canadian Council of Forest Ministers 1995) as the basis to develop a set of criteria and indicators unique to Ontario, that would fit within Ontario’s proposed overall sustainability evaluation framework. OMNR included a seventh criterion from the Montreal Process (Montreal Process Working Group 1999), to encompass Ontario’s legal and institutional framework. The Ontario criteria, expressed in the form of sustainable forest management goals, include:
1. Conserving Biological Diversity in Ontario’s Forests
2. Maintaining and Enhancing Forest Ecosystem Condition and Productivity in Ontario
3. Protecting and Conserving Ontario’s Forest Soil and Water Resources
4. Monitoring Ontario’s Forest Contributions to Global Ecological Cycles
5. Providing for a Continuous and Predictable Flow of Economic and Social Benefits from Ontario’s Forests
6. Accepting Ontario’s Social Responsibilities for Sustainable Forest Development
7. Maintaining and Enhancing Ontario’s Framework for Sustainable Forest Management
OMNR also adopted the “element” sub-structure (formerly known as “critical elements”) associated with the Canadian Council of Forest Ministers criteria. The elements represent a more detailed definition of the goals and values embodied in each of the criteria. The criteria, elements and indicators define the basis for the overall sustainability evaluation framework process at the provincial level. The criteria and elements represent a broad range of values that the people of Ontario place on their forests, and the provincial indicators represent the terms in which these values are appropriately monitored and measured. However, in most sets of criteria and indicators a very wide gap exists between the higher level goals of the criteria and element levels, and the indicators to be measured and monitored to assess progress towards those goals. OMNR adopted a new approach at the provincial level to fill that gap, using a systematic, hierarchical approach.
The approach begins with guiding principles and values. These are high-level public policy statements that provide an overall context for sustainable forest management. Guiding principles and values are followed by the criteria and elements, which are framed as provincial sustainable forest management goals. These goals each have a series of objectives, and each objective has an associated indicator. The hierarchy of goals and objectives starts at the provincial level and continues through to specific goals and objectives in forest management plans at the management unit level. It is within the framework of these goals and objectives that forest sustainability is most effectively evaluated.
OMNR’s sustainability evaluation framework also explicitly shows the rationale for the selection and use of each indicator. This demonstrates the relationship between the indicator chosen, the criterion and element it is intended to address, OMNR’s legal and policy commitments and public forest values.
The perspective in OMNR’s criteria and indicators system differs from other systems, in that goals and objectives set the policy context for all the indicators. The goals and objectives are based on public policy and values, and signify commitment to those values. These values are the driving force for sustainable forest management. The indicators themselves are a monitoring tool and a means to assess how well OMNR is achieving specific policy goals and objectives. This system allows for a separation of public values and scientific assessment, which are combined at the indicator level in most other criteria and indicators systems. The State of Maine has taken an approach similar to Ontario’s, also using goals and objectives. “Simply defining a vision and goals for sustainable forest management will not ensure their realization. Measurable benchmarks, accountability standards, and monitoring procedures must be established. With measurable benchmarks, we can determine where we are at a given time, whether we have achieved a given goal, and, if not, how far we have to go” (Maine Council on Sustainable Forest Management 1996). The following examples illustrate Ontario’s hierarchical goals and objectives-based criteria and indicators framework.
Criterion 1, expressed in the form of a goal, is “Conserving Biological Diversity in Ontario’s Forests”. The first element, which is a subdivision of a criterion providing a more specific goal, is “Conserving Landscape Diversity in Ontario’s Forests”. One of the objectives under the goal of conserving landscape diversity is “Maintaining the Structure and Composition of Ontario’s Forests”. This objective is based on the policy statement “The broad composition of Ontario’s Crown forests must be maintained and, where necessary and practical, improved to reflect the desired future forest condition” (Ministry of Natural Resources 1998). The indicator associated with this objective is “Composition and structure of forest types by age class”.
Criterion 5 provides an example of a social criterion. This criterion, expressed in the form of a goal, is “Providing for a Continuous and Predictable Flow of Economic and Social Benefits from Ontario’s Forests”. The fourth element in this criterion is “Maintaining or Enhancing Recreation, Tourism and Other Social and Environmental Values Associated with the Forest”. One of the objectives under this goal is “Conserving and Maintaining Social and Environmental Values in the Forest Environment”. This objective is based on the policy statement “Often, the value of natural areas or special features lies in the knowledge of their existence and the satisfaction that they are securely protected. The social and environmental value that society places on protecting these resources must be fully recognized and fairly considered in all resource management decisions” (Ministry of Natural Resources 2000). The indicator, which reflects this objective is “Percent area classified as old growth (by cover type), wilderness, protected areas, and parks”.
Ontario has also linked the criteria and indicators approach to provincial forest management guidelines, compliance and audit. Ontario has a series of guidelines (currently over 30) that provide direction for the implementation of forest management activities. The implementation of management actions is monitored on the ground using a provincially-coordinated compliance verification system. The overall forest management planning, public consultation, implementation and monitoring system is verified through the use of Independent Forest Audits on each management unit. In cases where direct information about the effects of forest management is limited or difficult to obtain, the goals, objectives and indicators are linked directly to the guidelines, compliance and audit system. This approach is carried out to the fullest extent in Criteria 3 and 7.
In criterion 3 “Protecting and Conserving Ontario’s Forest Soil and Water Resources”, a sub-goal, element 3.2, is “Minimizing the Effects of Forest Management Practices on Water Resources in Ontario’s Forests”. One of the objectives under this goal is “Minimizing the Effects of Forest Management Practices on Fish Habitat in Forested Areas”. This objectives is based on the public policy statement “Forest practices must minimize adverse effects on soil, water, remaining vegetation, fish and wildlife habitat, and other values” (Ministry of Natural Resources 1994). The indicator based on this objective is “Compliance with forest management guidelines for protecting fish habitat”.
In criterion 7 “Maintaining and Enhancing Ontario’s Framework for Sustainable Forest Management”, element 7.2, is “Maintaining and Enhancing Ontario’s Institutional Framework for Sustainable Forest Management”. One of the objectives under this goal is “Maintaining and Enhancing a Provincial Forest Audit System”. This objective is based on a legislated requirement for independent forest audits, and on public policy statements such as “Monitor the use, conservation, and protection of natural resources to ensure compliance with approved plans, and to measure progress toward the achievement of stated goals, objectives, targets and desired planning outcomes” (Ministry of Natural Resources 1997). The indicator based on this objective is “Licensee compliance with provincial forest management legislation, policies, and guidelines, as assessed through forest audits”.
As can be seen from the examples, the approach used in Ontario’s criteria and indicators framework provides a comprehensive, continuous and seamless system, from high-level goals at the criterion level right down to the indicators themselves, all anchored in public policy. A rationale for the selection of each indicator, drawn from scientific and technical literature, provides a scientific grounding for the indicator monitoring and assessment carried out under the criteria and indicators framework.
The development of Ontario’s criteria and indicators framework has been carried through to implementation, in the form of Ontario’s State of the Forest Report, 2001 (Ministry of Natural Resources 2002). This report culminates the development of Ontario’s criteria and indicators framework, linking high-level policies of sustainable forest management with detailed public reporting of the best information currently available for 63 indicators of sustainable forest management. The evaluation of these and other indicators is continuing. Over time, the results of this evaluation will be incorporated in adjustments made to policies, program direction, and on-the-ground forest management practices, to provide for the long-term sustainability of the forest resource. This evaluation will also provide input and direction, through an adaptive approach, for ongoing refinements to Ontario’s criteria and indicators framework.
Canadian Council of Forest Ministers, 1995. Defining Sustainable Forest Management: A Canadian Approach to Criteria and Indicators. Canadian Council of Forest Ministers: Ottawa, Ontario. 22 p.
Crown Forest Sustainability Act, 1994. Statutes of Ontario 1994, Chapter 25. Queen’s Printer for Ontario: Toronto, Ontario. 35 p.
Maine Council on Sustainable Forest Management, 1996. Sustaining Maine’s Forests: Criteria, Goals, and Benchmarks for Sustainable Forest Management. Department of Conservation: Augusta, Maine. 62 p.
Ministry of Natural Resources, 1994. Policy Framework for Sustainable Forests. Queen’s Printer for Ontario: Toronto, Ontario. 6 p.
Ministry of Natural Resources, 1997. Lands for Life A Land Use Planning System for Ontario’s Natural Resources. Queen’s Printer for Ontario: Toronto, Ontario. 19 p.
Ministry of Natural Resources, 1998. Forest Resource Assessment on Crown Lands in Ontario. Queen’s Printer for Ontario: Toronto, Ontario. 16 p.
Ministry of Natural Resources, 2000. Beyond 2000. Queen’s Printer for Ontario: Toronto, Ontario. 20 p.
Ministry of Natural Resources, 2002. State of the Forest Report, 2001. Queen’s Printer for Ontario: Toronto, Ontario. 320 p.
Montreal Process Working Group, 1999. Criteria and Indicators for the Conservation and Sustainable Management of Temperate and Boreal Forests: The Montreal Process (Second Edition). Montreal Process Liaison Office, Natural Resources Canada: Ottawa, Ontario. 19 p.
| [1] Ontario Ministry of Natural
Resources, Forest Management Branch, 70 Foster Drive, Sault Ste. Marie,
Ontario Canada P6A 6V5. Tel: (705) 945-5812; Email: [email protected];
Website: http://www.gov.on.ca |