39

A guide to multiple-use forest

management planning for small

A guide to multiple-use forest management planning for small and medium forest enterprises
and medium forest enterprises

For more information, please contact:

Forestry Division - Natural Resources and Sustainable

Production ISBN 978-92-5-137974-5 ISSN 2664-1062

E-mail: [email protected]
Web address: www.fao.org/forestry/en FORESTRY

ISSN 2664-1062
WORKING
Food and Agriculture Organization of the United Nations 9 789251 379745 PAPER
FAO

39
Rome, Italy CC6780EN/1/09.23
A guide to multiple-use forest FORESTRY
WORKING
PAPER

management planning for

small and medium forest 39
enterprises
Hubertus van Hensbergen
Eco-Innovation Foundation
Stockholm

Kenichi Shono and Jonas Cedergren

Food and Agriculture Organization of the United
Nations
Rome

FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS

ROME 2023
Required citation:
van Hensbergen, H., Shono, K. & Cedergren, J. 2023. A guide to multiple-use forest management
planning for small and medium forest enterprises. Forestry Working Paper, No. 39. Rome, FAO.
https://doi.org/10.4060/cc6780en

The designations employed and the presentation of material in this information product do not imply the
expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United
Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its
authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies
or products of manufacturers, whether or not these have been patented, does not imply that these have been
endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned.

The views expressed in this information product are those of the author(s) and do not necessarily reflect the
views or policies of FAO..

ISSN 2664-1062 [Print]

ISSN 2664-1070 [Online]

ISBN 978-92-5-137974-5
© FAO, 2023

Some rights reserved. This work is made available under the Creative Commons Attribution-NonCommercial-
ShareAlike 3.0 IGO licence (CC BY-NC-SA 3.0 IGO; https://creativecommons.org/licenses/by-nc-sa/3.0/
igo/legalcode).

Under the terms of this licence, this work may be copied, redistributed and adapted for non-commercial
purposes, provided that the work is appropriately cited. In any use of this work, there should be no suggestion
that FAO endorses any specific organization, products or services. The use of the FAO logo is not permitted.
If the work is adapted, then it must be licensed under the same or equivalent Creative Commons licence. If a
translation of this work is created, it must include the following disclaimer along with the required citation:
“This translation was not created by the Food and Agriculture Organization of the United Nations (FAO).
FAO is not responsible for the content or accuracy of this translation. The original English edition shall be
the authoritative edition.”

Disputes arising under the licence that cannot be settled amicably will be resolved by mediation and arbitration
as described in Article 8 of the licence except as otherwise provided herein. The applicable mediation rules
will be the mediation rules of the World Intellectual Property Organization http://www.wipo.int/amc/en/
mediation/rules and any arbitration will be conducted in accordance with the Arbitration Rules of the United
Nations Commission on International Trade Law (UNCITRAL).

Third-party materials. Users wishing to reuse material from this work that is attributed to a third party, such
as tables, figures or images, are responsible for determining whether permission is needed for that reuse and
for obtaining permission from the copyright holder. The risk of claims resulting from infringement of any
third-party-owned component in the work rests solely with the user.

Sales, rights and licensing. FAO information products are available on the FAO website (www.fao.org/
publications) and can be purchased through [email protected]. Requests for commercial use should
be submitted via: www.fao.org/contact-us/licence-request. Queries regarding rights and licensing should be
submitted to: [email protected].

Cover photograph: Naturally regenerated beech (Fagus sylvatica) forest managed for multiple purposes.
©FAO/Kenichi Shono
 iii

Contents

Acknowledgements ix
Acronyms and abbreviations x
Glossary xi

PART I. INTRODUCTION 1

1. Concept and evolution of forest management planning 3

2. Requirements for forest management planning 4

3. Planning for multiple-use forest management 7

4. Forest management planning for small and medium forest

enterprises 8

5. The process of forest management planning 10

5.1. The management cycle 10
5.2. Understanding risks 11
5.3. Stakeholder engagement 12

6. Objectives of this guide 14

7. How to use this guide 15

PART II. GATHERING INFORMATION 17

8. Describing the forestland 18

8.1. Location 18
8.2. Land use and forest management history 19
8.3. Physical environment 20
8.3.1 Topography 23
8.3.2 Climate and weather-related disasters 24
8.3.3 Waterbodies 26
8.3.4 Soils and geology 27
8.3.5 Infrastructure and associated facilities 29
8.4. The living environment 30
8.4.1 Ecosystems and habitats 30
8.4.2 Flora 33
iv

8.4.3 Fauna 34
8.4.4 Ecosystem services 35
8.4.5 Biodiversity 37
8.5. Forest resources 39
8.5.1 Timber 39
8.5.2 Growth and yield modelling 43
8.5.3 Non-wood forest products 44
8.6. Social and cultural features 46

9. Describing the social, economic and regulatory environment 48

9.1. Identifying local stakeholders 48
9.2. Describing local populations 49
9.3. Local businesses and markets 50
9.4. Regional businesses and markets 51
9.5. Understanding product requirements and opportunities for
value addition 51
9.6. Forest rights and tenure 53
9.7. Laws and regulations 54

PART III. DOCUMENTING THE FOREST MANAGEMENT PLAN 57

10. Forest management plan format 59

11. Setting management objectives 64

11.1. Situation analysis 65
11.2. Objectives for forest production 66
11.2.1 Tree crops 67
11.2.2 Non-wood forest products 69
11.3. Objectives for ecosystem services 69
11.4. Objectives for biodiversity 70
11.5. Objectives for the people 71

12. Silvicultural plan 74

12.1. Defining forest compartments and stands 74
12.2. Identifying the silvicultural system 74
12.3. Scheduling of silvicultural operations 77
12.4. Harvest planning 78
12.5. Non-wood forest products planning 81
12.6. Associated forest management activities 82

13. Ecosystem services and biodiversity management plans 84

13.1. Ecosystem services planning 84
13.2. Biodiversity planning 86
 v

14. Social and cultural services plan 89

15. The business plan 92

15.1. Business organization 92
15.2. Products and markets 93
15.3. Estimating costs 94
15.4. Estimating revenues 95
15.5. Cash flow analysis 96

16. Abnormal events and disasters 99

16.1. Extreme weather events 99
16.2. Fires 101
16.3. Pests and diseases 102
16.4. Accidents and their prevention 103
16.5. Learning from incidents and taking corrective actions 104

17. Monitoring and evaluation 105

17.1. Defining what and how to monitor 106
17.2. Analysing and presenting monitoring results 108
17.3. Adaptive management 109

18. Conclusion 111

References 113

Appendix 1. Sample forest management plan framework 117

Appendix 2. Further reading, tools and data sources 121

vi

Boxes
Box 1. Sustainable Forest Management Toolbox 16
Box 2. Open Foris - free open-source solutions for
environmental monitoring 21
Box 3. High conservation value (HCV) approach 31
Box 4. Open Foris Arena for collecting, storing, managing
and analysing forest inventory data 61
Box 5. Forest management planning for small-scale forest
management in Chile 62
Box 6. Considerations in sustainable harvesting of different
categories of NWFPs 83
Box 7. FAO RuralInvest software for financial calculations 97

Tables
Table 1. Ecosystem services belonging to four categories 36
Table 2. Socially and culturally important sites and resources
that may be found in a forest 46
Table 3. Types of services and markets provided by local
businesses and organizations 50
Table 4. Aspects typically addressed in forestry laws and
regulations 54
Table 5. Key information contained in the hand-drawn map
presented in Figure 15 60
Table 6. SWOT analysis for a hypothetical teak plantation 66
Table 7. Forest production objectives for two diverse types
of forest 67
Table 8. Categorization of Scots pine (Pinus sylvestris) timber
assortments by dimensions 68
Table 9. Broad categorization of silvicultural systems 75
Table 10. The most common silvicultural activities 76
Table 11. Planning of silvicultural activities in a year under
a group selection system 77
Table 12. Various ways in which timber can be felled, cut
to length, moved to forest landing and loaded
for transport 79
Table 13. A portion of a spreadsheet showing NPV and IRR
for a forest stand managed on a 40-year rotation 96
 vii

Table 14. Simple cost and income analysis for a 1-ha forest
stand over a 40-year rotation period 98
Table 15. Examples of prevention, preparedness, response
and recovery actions to hazardous events 99
Table 16. Examples of alternate objectives capable of being
monitored 105
Table 17. Examples of quantitative and qualitative indicators 107
Table 18. Growth monitoring data of teak stands 109

Figures
Figure 1. The hierarchy of forest management planning 5
Figure 2. An example of adaptive management framework for
natural resource management. 11
Figure 3. A process for structured stakeholder participation 13
Figure 4. Sketch of a forest management area in Dapingdi
Village, Yunnan Province, China 19
Figure 5. Land cover and land use change over a span
of 18 years near Victoria, Chile 20
Figure 6. Slope map of an area to the southwest of
Kumasi, Ghana 23
Figure 7. Climatogram showing the average monthly rainfall
and minimum and maximum temperatures 25
Figure 8. Soil maps at scales of 1:250 000 and 1:25 000 28
Figure 9. Comparison of soil maps drawn by farmers
and scientists 29
Figure 10. Habitat map of a small forest area in Scotland 33
Figure 11. A Global Forest Watch map showing priority areas
for biodiversity conservation in Jambi Province,
Sumatra, Indonesia 37
Figure 12. A map showing species of conservation concern
that are likely to occur in an area in Chile 38
Figure 13. Intact forest landscapes in an area in Papua
New Guinea 38
Figure 14. Cross-section of a tree trunk showing clear
growth rings 42
Figure 15. Hypothetical diameter distribution of a dryland forest
measured at age 10 and modelled to 40 years 43
Figure 16. Structure of a typical growth and yield model
for a forest 44
Figure 17. Map of a small forest estate in Patagonia, Chile 59
viii

Figure 18. A sample organogram for a medium-sized

forest operation 93
Figure 19. Illustration of bias and precision 106
Figure 20. A multistep process of turning data into
usable information 108
 ix

Acknowledgements

This publication was developed in partnership between FAO and the Eco-
Innovation Foundation. Kenichi Shono and Jonas Cedergren coordinated
the work, and Hubertus van Hensbergen led the drafting of the document.
Maria Ines Miranda provided materials for the Chile case study. Sheila Wertz-
Kanounnikoff, Thomas Hofer and Thais Linhares-Juvenal provided overall
supervision. Bianca Sipala conducted the scoping study which formed the
basis of this initiative.
We thank the following persons for providing valuable inputs during
the publication development process: Fady Asmar; Klas Bengtsson; Marco
Boscolo; Xavier Bouan; Ben Caldwell; Magnus Grylle; Matieu Henry; Daphne
Hewitt; Ying Hong; Aaron Kaplan; Rikiya Konishi; Jarkko Koskela; Isilda
Nhantumbo; Cristiana Orlandi; Peter Pechacek; Cesar Sabogal; U Thiha;
and Lauri Vesa.
Robin Leslie provided copyediting, and Roberto Cenciarelli undertook
the design and layout.
x

Acronyms and abbreviations

AAC annual allowable cut

CITES Convention on International Trade in Endangered Species of
Wild Fauna and Flora
DBH diameter at breast height
FAO Food and Agriculture Organization of the United Nations
FIS forest information system
FMU forest management unit
FPIC free, prior and informed consent
FSC Forest Stewardship Council
GIS geographical information system
HCS high carbon stock
HCV high conservation value
IRR internal rate of return
IUCN International Union for Conservation of Nature
MAI mean annual increment
MYRLIN Methods of Yield Regulation with Limited Information
NGO non-governmental organization
NPV net present value
NTFP non-timber forest product
NWFP non-wood forest product
PEFC Programme for the Endorsement of Forest Certification
PES payment for ecosystem services
RIL reduced impact logging
SFM sustainable forest management
SMFE small and medium forest enterprise
SWOT strengths, weaknesses, opportunities and threats
WRB World Reference Base for Soil Resources
 xi

Glossary

Annual allowable cut. The volume of timber that may be harvested during
a year that is specified by a sustained-yield forest plan.1

Annual plan of operations. A plan that sets out and schedules the operations
to be carried out in a particular year.

Basal area. Single tree: The cross-sectional area of a single stem including
the bark measured at breast height (1. 37 m above-ground). A stand: The
cross-sectional area of all stems of a species or all stems in a stand measured
at breast height and expressed per unit of land area.1

Clearcut system. A silvicultural system in which essentially all trees in a stand

are removed, producing a fully exposed microclimate for the development of
a new aged class. Regeneration can be from natural seeding, direct seeding,
planted seedlings, or advance reproduction. Depending on management
objectives, a clearcut may or may not have reserve trees left to attain goals
other than regeneration.1

Compartment. A portion of a forest under one ownership, usually contiguous

and composed of a variety of forest stand types, defined for purposes of
locational reference and as a basis for forest management.1

Continuous cover forest management system. A silvicultural system in

which trees are harvested singly or in small groups, continuously maintaining
tree cover in an uneven-aged forest stand. Regeneration takes place within
the stand by natural regeneration, planted seeds or seedlings, or coppicing
from harvested trees. The system does not equate to any one silvicultural
system, but it is typically based on single-tree selection.

Forest owner/rights holder. A person or legal entity having the formal or

customary right to access and benefit from forest resources.

Forest management. The practical application of biological, physical,

quantitative, managerial, economic, social, and policy principles to the
regeneration, management, utilization and conservation of forests to meet
specified goals and objectives while maintaining the productivity of the forest.1
xii

Forest manager. A person or legal entity who has been delegated by the forest
owner to manage the forest for the benefit of the forest owner. The forest
owner and forest manager may be the same person or legal entity.

Forest management unit. An area of land managed according to a single forest

management plan. An FMU may include areas of land without trees that are
used for other purposes such as agriculture, conservation or infrastructure
development.

Forest rights. The right to access forest resources and forestland a wide range
of purposes. Forest resources may include timber and non-wood (or non-
timber) forest products (NWFPs or NTFPs) as well as ecosystem services.

Forest succession. The gradual supplanting of one community of plants by

another.1

Forest tenure. The right – statutory or customary – that determines who

can use, manage, control or transfer forestland and resources such as wood
or the multitude of NWFPs. Forest tenure defines for how long and under
what conditions these rights are held. 2

Growing stock. All the trees growing in a forest or in a specified part of it,
usually commercial species, meeting specified standards of size, quality, and
vigour, and generally expressed in terms of volume.1

Mean annual increment. The total increment (growth or increase in total or

commercial volume) of a tree or stand up to a given age divided by that age.1

Risk and hazard. A hazard is an event that may occur and when it occurs has
some negative consequence. Risk is the chance that an event occurs combined
with the severity of the negative consequence. There is an elevated risk when
a hazard with strong negative consequences has a high chance of happening.

Selection system. A silvicultural system in which only a portion of trees in

a stand is removed. It regenerates and maintains a multi-aged structure by
removing some trees in all size classes either singly, in small groups, or in
strips. The system is also referred to as uneven-aged system, and includes group
selection, group selection with reserves, and single tree selection methods.1

Silviculture. The art and science of controlling the establishment, growth,

composition, health, and quality of forests and woodlands to meet the diverse
needs and values of landowners and society on a sustainable basis.1
 xiii

Silvicultural prescription. A planned series of treatments designed to change

current stand structure to one that meets management goals.1.

Silvicultural system. A planned series of treatments for tending, harvesting,

and re-establishing a stand. The system is based on the number of age classes
or the regeneration method used.1

Species of conservation concern. Any plant and animal species whose

long-term viability within a landscape country or other geographical area
is a concern. These may include species listed as Vulnerable, Endangered or
Critically Endangered on the International Union for Conservation of Nature
(IUCN) Red List of Threatened Species as well as species of concern listed
on relevant national lists.

Stand. A contiguous group of trees sufficiently uniform in age class

distribution, composition and structure and growing on a site of sufficiently
uniform quality, to be a distinguishable unit.1 Stands may be smaller than or
sometimes much larger than compartments.

1
Helms, J.A. 1998. The dictionary of forestry. Bethesda, MD: Society of American
Foresters.
2
FAO. 2021. Forest tenure. [Cited 1 December 2022]. http://www.fao.org/
forestry/tenure/en
 1

PART I. INTRODUCTION

©FAO/Kenichi Shono
 3

1. Concept and evolution of

forest management planning

Forest management plan is “a document that translates forest policies into

a coordinated programme for a forest management unit and for regulating
production, environmental and social activities for a set period of time through
the use of prescriptions specifying targets, actions and control arrangements”
(FAO, 1998). Helms (1998) defines it as “a predetermined course of action and
direction to achieve a set of results, usually specified as goals, objective and
polices” with a note that it is a working document that changes in response
to feedback and changing conditions, goals, and policies. Forest management
plan is often seen as a prerequisite for sustainable forest management (SFM)
as it translates the intent to manage forests for long-term purposes into a
planned course of action.
The concept of forest management planning has evolved over centuries to
an increasingly holistic one as societal expectation on the role of forests have
diversified. Initially, at the time of the Industrial Revolution, forest planning
was introduced to ensure adequate flow of timber for industrial needs in view
of dwindling forest resources (Paletto, Sereno and Furuido, 2008). During
the 1800s, yield regulation systems, combined with intensified silviculture
based on monocultures or other simplified forest systems, became widely
established.
From the 1950s onwards, forest management objectives have increasingly
broadened to integrate environmental dimensions including a wider range of
forest ecosystem services. The timber production aspect of forest management
planning has now merged completely with the planning frameworks designed
for conservation of non-consumptive values as the overall scope of these
plans have become more holistic. For private forest owners in some countries,
payment for ecosystem services (PES) comprises a valuable income stream
that justifies the costs of planning and managing for these non-consumptive
services.
4

2. Requirements for forest

management planning

The objectives of forest management planning are to: 1) set out a strategic
vision for the forest including the commitment to protect multiple forest values;
2) identify and describe the objectives of forest management; 3) assess the
current state of the forest and forest resources; 4) identify the desired future
state of the forest and values provided; and 5) describe the steps (harvesting,
regeneration, etc.) to be taken to achieve the management objectives.
Forest management planning provides a fundamental basis of SFM, which
can be used to meet various needs and requirements including as:
• Formal legal document specifying silvicultural activities for a forest
management unit (FMU);
• Formal legal document that forms the basis of a concession or lease
agreement between the government and a forest operator or manager;
• Document that is formally approved by a forest authority to permit
certain forest management activities; and
• Document developed by the forest manager to guide and facilitate
sustainable management of forest resources.
Consequently, forest management plans can take many forms ranging
from a single map with basic information to a substantial document with
comprehensive descriptions, analyses and syntheses of forest operations
covering extended periods.
Forest management plans are part of a hierarchy of tools used by government
authorities and private forest owners to ensure that forests are managed
sustainably for the designated objectives (Figure 1). This guide is aimed at
forest management planning at the level of an FMU, which describes site-
specific operations based on the forest-level assessment of environmental,
economic and social conditions. The forest management plan defines the
silvicultural prescriptions and brings together all relevant considerations with
the aim to provide long-term benefits through SFM (Forestry Commission
Edinburgh, 2014). Operational plans guide the implementation of specific
forest management operations at the compartment and stand levels according
to the forest management plan, whereas the implementation plan sets out the
details of each operation, for example in terms of the number of workers,
exact timing, equipment to be used, etc.
Requirements for forest management planning 5

Figure 1. The hierarchy of forest management planning

National forest policy
Developed by national government
Sets national-level objectives for forests and their goods and services

Regional strategic forest plan

Developed by regional government
Sets strategic planning for forest products and services, forest industries,
and allocation of land uses

Forest management plan

Developed by forest manager
Sets objectives for the FMU and defines actions needed to achieve them

Operational plan
Developed by forest manager
Determines and schedules activities needed in each part of the forest and
allocates resources based on the forest management plan

Implementation plan
Developed by forest manager or operator
Sets out in detail how each operation in a compartment will be carried out

Source: Authors’ own elaboration.

Requirement for forest management planning has increasingly become

legally formalized in many parts of the world. In the European Union, most
countries require forest management plans for publicly owned forests and
many also require them for privately owned forests (European Commission,
2014). In many countries, forest management plans are needed to obtain a
concession license to harvest timber from state-owned forests. The plans form
part of the contractual obligation between the state and the concessionaire
and are designed to provide information that the state requires for oversight
functions.
Due to the diverse requirements of governments and forest managers in
different countries and contexts, forest management plans vary in approach,
emphasis and comprehensiveness. They also range widely in quality from
those that are unlikely to be implementable to those that provide an excellent
framework for forest management.
The duration of forest management planning also varies according to
national policies, legal requirements, length of forest tenure, etc. Generally,
forest management plans should have a duration of 10 years or more as shorter
periods do not provide the medium-term stability that is needed to guide
6 A guide to multiple-use forest management planning for small and medium forest enterprises

consistent implementation of sustainable forest management. A realistic

maximum length is 20 years (FAO, 1998).
Forest management plans are also a minimum requirement under
international forest certification standards such as the Forest Stewardship
Council (FSC) and the Programme for the Endorsement of Forest Certification
(PEFC). Under these standards, forest management plans are used to
demonstrate compliance with the certification requirements at the FMU
level. Such forest management plans are inspected by auditors to ensure that
they are appropriate to scale, intensity and risks associated with the proposed
forest management activities.
Forest managers, ranging from smallholders to large corporations who are
genuinely committed to responsible forest management, have been developing
and implementing forest management plans for many decades. Properly
formulated forest management plans confer many benefits to forest managers.
The preparation of a management plan encourages careful consideration of
the various forest values, including aspects that may not have seemed relevant
initially. It also helps to clearly identify management objectives and address
any trade-offs among the multiple objectives. Furthermore, it facilitates the
planning of future activities, and provides reassurance that the forest operation
is a sound business proposition in the long-term.
In addition, the process of management planning, when conducted through
community engagement and participation, can serve as a valuable tool for
building trust and agreeing on the sharing of benefits among the local
stakeholders. Local communities can assume various roles and responsibilities
in forest management, including as forest owner, forest manager, provider of
auxiliary services, source of labour, and beneficiary of social support services.
 7

3. Planning for multiple-use

forest management

In recent decades, forests have been called upon to provide a wide range
of products and services beyond timber. These include: water regulation;
climate change mitigation; provision of timber and non-wood forest products
(NWFPs); contribution to food security; biodiversity conservation; cultural
and spiritual values; and support to livelihoods. The Statement of Principles
on Forests, made at the Earth Summit in 1992, affirms that forests should
be managed to meet the social, economic, ecological, cultural and spiritual
needs of present and future generations (Sabogal et al., 2013).
Globally, 749 million ha of forest (22 percent of the total forest area of
the reporting countries) are managed with the primary objective of multiple
use (FAO, 2022). In addition, many forest areas are managed for multiple
primary and secondary objectives (e.g. managing production forest also for
watershed services). Forests managed by smallholders are often used for
multiple purposes, for instance providing timber, fuelwood, edible plants
and wildlife for local consumption, medicinal plants and cultural values.
Although we are still far from implementing a truly holistic, multiple-use
approach to forest management worldwide (Sabogal et al., 2013), considerable
expanses of forests are indeed managed for multiple values and benefits, either
formally or informally.
Multiple-use forest management can potentially increase the monetary value
that communities, managers and owners obtain from the forest. However,
operationalizing multiple-use forest management in a deliberate and technically
informed manner remains a challenge in many places due to economic,
technical and administrative constraints. As a result, timber is still the only
forest commodity with readily accessible markets that is managed based on
reliable technical knowledge (Sabogal et al., 2013).
Nevertheless, forest management planning that recognizes the various
values and benefits that people derive from forests can go a long way in
ensuring not only continued productivity but also environmental, social
and cultural sustainability of forest management. Therefore, adopting an
integrated approach to forest management planning which considers social
and environmental contexts in addition to timber production in a more
formal and comprehensive manner would be an excellent starting point for
promoting multiple-use forest management that enhances and optimizes the
total value derived from forests.
8

4. Forest management
planning for small and medium
forest enterprises

Small and medium forest enterprises (SMFEs)3 make significant economic

contributions to the livelihoods and well-being of considerable numbers
of poor people around the world. SMFEs also provide employment and
contribute to forest-based economies in both developed and developing
countries (Kozak, 2007). Smallholder forestry is a well-established forest
management modality in many parts of the world. It is widely recognized
that fostering and strengthening SMFEs can be part of an effective strategy
to combat poverty and improve the livelihoods of communities living in or
near forests in developing countries (Kozak, 2007).
To fulfil this potential, several barriers need to be addressed. These include:
creating enabling policy environments; providing various support tools
(business development, marketing, financing, technical capacity and so
forth); developing equitable benefit-sharing mechanisms; ensuring resource
sustainability; and overcoming management challenges (Del Gatto et al., 2018;
Paudel et al., 2018). Furthermore, it is noted that an integrated approach is
needed to remove perceived investment risk for both investors and investees.
Around the world, customary forest tenure of local communities and
Indigenous Peoples is increasingly recognized. This will create a growing
number of people with rights to small areas of forest who will require support
in preparing forest management plans with an appropriate level of detail.
Enhancing the capacity to develop and implement technically sound forest
management plans can also help address many of the challenges associated
with promoting SMFEs. Such plans can demonstrate legal compliance, mitigate
social and environmental risks, ensure sustainability of forest resources, and
support marketing and value chain development.
3
There is no universally accepted definition of SMEs, and standards vary from country
to country. The European Union defines medium-sized enterprises as employing less
than 250 people with a turnover of less than EUR 50 million, and small enterprises as
having fewer than 50 employees with a turnover of less than EUR 10 million. Spantigati
and Springfors (2005) define “forest based small-scale enterprises” as “enterprises whose
economic activities are undertaken mainly at the individual or household level, usually
employing members of the family or close relatives and neighbours, and where salaried
labour is negligible”. In this publication, we use this term to encompass community-
based forest enterprises, individuals and smallholders involved in the production of forest
products that meet the national thresholds of SMEs.
Forest management planning for small and medium forest enterprises 9

In situations where rural communities are working together to manage

forest areas, preparing a forest management plan provides an opportunity
to: empower local forest users; identify and involve local stakeholders; agree
on management objectives and strategies; negotiate and agree on sharing
of benefits, responsibilities and costs; and combine local knowledge with
technical information (FAO, 2004a).
In many parts of the world, help in developing management plans is available
to SMFEs from a variety of sources. These include: forest and agricultural
extension services; commercial forestry and wood-processing companies
who may be seeking outgrowers to provide them with a reliable source
of timber; and environmental and social non-governmental organizations
(NGOs) that understand the value of well-managed forests for supporting
ecosystem services and livelihoods. Local universities and colleges that train
forestry professionals could also be a source of technical support as it may
be possible to engage students in supporting forest management planning as
part of their field curriculum.
10

5. The process of forest

management planning

The process of forest management planning follows a series of steps laid

out in this publication as follows:
1. gathering information, including on land-use history, physical
environment, natural environment and forest resources (Chapter
8), as well as on socio-economic and regulatory context (Chapter 9);
2. deciding on the appropriate format of the forest management plan
(Chapter 10);
3. defining forest management objectives (Chapter 11);
4. developing a silvicultural plan (Chapter 12);
5. developing ecosystem services and biodiversity management plans
(Chapter 13);
6. developing social and cultural services management plan (Chapter 14);
7. developing a business plan (Chapter 15);
8. planning for unusual events and disastes (Chapter 16); and
9. developing a monitoring system (Chapter 17).
These steps should be conducted in this sequence as much as possible.
However, it should be noted that the process is reiterative as the information
on which the plan is based will never be entirely complete and is subject to
change.

5.1. THE MANAGEMENT CYCLE

Forest management planning is not a linear process carried out at the beginning
of the forest management activity. Rather, it is a continuous adaptive learning
process in which the results of forest management are evaluated and plans are
adapted to meet the new reality. For example, monitoring of forest management
activities may indicate the need to revise or develop an additional management
objective. This in turn will necessitate additional data collection, operational
planning, and identification of appropriate monitoring indicators. In this
way, the forest management plan will continue to adapt and evolve to meet
the changing needs and situations. Figure 2 illustrates this cyclical process.
The process of forest management planning 11

Figure 2. An example of adaptive management framework for natural

resource management.

ADAPTIVE
MANAGEMENT

Source: Ashton, I. W., Baldwin, B., Bobowski, B. & McLaughlin, P. 2016. Honoring the past and
celebrating the present: 100 years of research at Rocky Mountain National Park. Park Science,
32(2): 68–69.

5.2. UNDERSTANDING RISKS

All forest management activities will have some impact, and stakeholders are
often concerned about the negative effects that forest operations may have
on forest resources, environmental services and socio-cultural values. It is
the responsibility of the forest manager to assess and minimize such risks to
ensure continued flow of products and services from the forest under their
management. Higher potential for more severe impacts would necessitate more
detailed planning, implementation and monitoring of measures to manage
such risks, while lower potential for minimal risks may only require staying
vigilant of the situation.
In general, the magnitude of environmental and social risks associated with
forest management increases with the area and intensity of management.4 On
the other hand, investment risks may decrease with the increase in the size of
the enterprise and the forest area under management due to both economies
of scale and risk averaging. However, it should be noted that most risks
are context and issue specific. For example, even low-intensity harvesting
of a small forest area may have high environmental and social risks if the
forest management area includes critical habits for endangered species with
4
As a reference, FSC defines small and low intensity managed forests (SLIMFs) as
those with an area of less than 100 ha (or up to 1 000 ha in some countries) and rate of
harvesting of less than 20 percent of the mean annual increment or annual harvest of less
than 5 000 m3 from the total production forest area (FSC, 2004).
12 A guide to multiple-use forest management planning for small and medium forest enterprises

overlapping indigenous tenure claims. Thus, it is difficult to devise a general

risk classification scheme that uniformly applies to the economic, social and
environmental aspects of forest management.
Therefore, this guide provides two recommended levels for data collection
and planning with a focus on SMFEs. The minimal requirement would
likely apply to all situations while the more rigorous requirement would be
recommended for aspects for which risks are perceived to be higher. These
requirements are provided as general guidance only and should be adapted
according to national legal requirements, availability of resources and capacity,
data availability and site-specific context.

5.3. STAKEHOLDER ENGAGEMENT

The engagement of stakeholders is a critical part of the process in developing

a socially acceptable forest management plan. A process for structured
participation of stakeholders (Figure 3) starts with the identification of
stakeholders, which may include local communities, forest industries
and associations, local government officials, extension officers and other
local forest-related organizations. This is following by creating awareness
among the stakeholders on the status of forest resources, ecosystem services
provided by the forest, and the planned forest management activities. The
next step is informed discussions to reach decisions on the targets for multiple
forest ecosystem services. Roles, rights and responsibilities of the involved
stakeholders must be clearly identified. Finally, actions undertaken must be
monitored to keep the stakeholders accountable for their agreed responsibilities
(Baskent et al., 2020).
The process of forest management planning 13

Figure 3. A process for structured stakeholder participation

Identification of stakeholders

Awareness creation

Meetings, discussions and decisions

Sharing of rights and responsibilities

Accounting

Source: Baskent, E.Z., Borges, J.G., Kašpar, J., Tahri, M. 2020. A Design for Addressing Multiple
Ecosystem Services in Forest Management Planning. Forests 11(10):1108.

This process of negotiating expectations and building consensus helps deal

with the complexities of multiple-use forest management. Any existing or
potential conflicts over tenure and forest resource use will also be identified
during this process. As well, integrating qualitative data based on perceptions
and traditional knowledge of local stakeholders leads to better understanding
of the real situation and improved decision-making (Baskent et al., 2020).
Participation should take place throughout the forest management process,
from the planning, implementation to monitoring.
14

6. Objectives of this guide

Forest management planning has been a feature of forestry for centuries, and
the structure and content of the plans have become relatively uniform around
the world. Unfortunately, forest management plans are often inadequate in
certain respects. Most commonly, management plans adopt broad objectives
in line with national forest policies without developing locally derived
objectives, which would require a detailed analysis of local needs, trends
and potentials. Another frequent problem is a wish list of activities that
does not have appropriate resources allocated, and are therefore unlikely to
be implemented (FAO, 2004a). Furthermore, plans are often prepared by
consultants for legal compliance without the commitment and engagement of
the forest managers. The use of external experts can also result in customary
rights holders being sidelined in the planning process and their rights not
being respected. The business aspect of forestry – including business planning,
processing, transporting, marketing and financial management, which are
all necessary to strengthen a forest enterprise – is often ignored or described
poorly. Environmental concerns may be mentioned but not translated into
objectives. Even where forest management plans are prepared to a high
standard, they are often not implemented due to lack of capacity or inadequate
enforcement. In addition, there is little experience and support for SMFEs
in preparing forest management plans.
SMFEs often cannot afford to develop plans at the same level of detail as
large forest estates. However, consideration should be given to the fact that
the external risks associated with management failures are generally reduced
for smaller operations. Unfortunately, there is little or no guidance available
for small and medium forest managers, who are often managing forest for
multiple benefits with the engagement of local stakeholders, on the appropriate
level of forest management planning.
This guide is intended to provide a framework for forest management
planning with a focus on multiple-use and SMFEs. It leads the forest manager
through the planning process in a stepwise fashion and provides advice on
sources of information that are needed during the planning process. The
guidance provided is general in nature as the socio-economic context and
the range of products and benefits derived from forests vary widely among
countries and specific locations. The frameworks presented can be adapted
to national and local context in line with relevant regulatory requirements.
 15

7. How to use this guide

This guide has three main parts.

Part I provides the background, including an introduction to the concept
and evolution of forest management planning, multiple-use aspects and
planning considerations for SMFEs. It also describes the general planning
process.
Part II guides the readers through the processes of data collection and
analysis, focusing on the use of approaches and tools that are accessible,
affordable and easy to use. Data collection may need to be repeated as
conditions change or when forest management objectives are revised.
Part III deals with the compilation of the forest management plan, from
deciding on the format of the plan, setting forest management objective,
and to developing a management plan for each forest management objective.
Preparedness planning for natural disasters and accidents is also covered.
Finally, guidance on developing a monitoring and evaluation system is
provided.
For each step of the forest management planning process, recommended
requirements are described issue by issue. The “minimum” requirements
are necessary actions that all forest managers need to complete regardless
of the scale of operations and the environmental context. “Good to have”
requirements are additional actions that could be implemented depending
on the availability of resources and capacity as well as the magnitude of risks
with respect to specific issues.
A sample template of a forest management plan is provided in Appendix 1,
which can be adapted according to the local context and requirements.
List of resources including tools, guidelines and data sources in Appendix 2
provides further guidance on the various aspects of forest management
planning.
Readers are referred to FAO’s Sustainable Forest Management Toolbox
(Box 1) for a comprehensive package of information and guidance on the
various themes related to sustainable forest management.
16 A guide to multiple-use forest management planning for small and medium forest enterprises

Box 1. Sustainable Forest Management Toolbox

The implementation of SFM is an ongoing challenge worldwide, due

largely to limited capacity and enabling conditions. Another hurdle is the
inaccessibility (or a lack of awareness) of the considerable body of existing
knowledge on, and experiences in, implementing SFM. To help overcome
this latter problem, FAO has developed the SFM Toolbox.
The SFM Toolbox is a comprehensive package of tools, best practices and
examples of their application. It serves as a valuable resource for a wide
range of users, especially public and private forest and land managers, as
well as the staff of extension services and civil society organizations, NGOs
and private sector organizations with roles in promoting SFM.
The SFM Toolbox has been designed as a user-friendly web-based platform
that can respond to the diverse needs of people interested in putting SFM
into practice. It includes:
• modules on SFM thematic areas, which draw on the extensive
technical knowledge of experts in FAO forestry practices and
elsewhere. The modules comprise an overview, in-depth information,
links to related tools, case studies and other throughput. These
modules address a wide range of topics of relevance to forest
management planning; and
• a database of SFM tools and case studies in an easy-to-access format.

The SFM Toolbox brings together a broad range of guidelines, manuals,

knowledge products, case studies and other tools produced by FAO and
its partners in the Collaborative Partnership on Forests, as well as by other
organizations and by Member Nations. The SFM Toolbox is global in scope
and covers all types of forests. It also includes tools that are specific to
regions, countries and landscapes.

Source: FAO. 2023. Sustainable Forest Management (SFM) Toolbox. Rome. [Cited 1 February 2023].
http://www.fao.org/sustainable-forest-management/toolbox
How to use this guide 17

PART II. GATHERING

INFORMATION

©FAO/Daniel Hayduk
18

8. Describing the forestland

8.1. LOCATION
Documenting the location and boundaries of the FMU is the first step in
describing the forestland. For small-scale operations, maps of the forest area
are often attached to the title deed of the property or the lease agreement, or
they may be held by the local authority or the national cadastral service. For
community-managed forests, maps should be developed in a participatory
manner and agreed by the community members. Where there are customary
rights involved in the FMU, it is often useful to walk around the forest area
with the local community members to determine the locations and boundaries
of the claimed customary land.
For small and low-intensity forest operations, hand-drawn maps may be
appropriate for documenting the location, boundaries and other key features of
the FMU (Figure 4). Adequate maps can also be prepared using freely available
remote sensing platforms, for example with the use of Google Earth,5 which
allows for uploading of spatial information including the FMU boundaries.

5
https://earth.google.com/web
Describing the forestland 19

Figure 4. Sketch of a forest management area in Dapingdi Village, Yunnan

Province, China

Source: Youn, Y. C., Jinlong, L., Sakuma, D., Kim, K., Ichikawa, M. Shin, J. H. & Yuan, J. 2011.
“Northeast Asia” In Traditional Forest-Related Knowledge: Sustaining Communities, Ecosystems
and Biocultural Diversity, edited by Parrotta, John A. and Ronald L. Trosper, 281-313. New York,
NY: Springer, 2012.

Recommended requirements:
Minimum Good to have
• A hand-drawn map showing the • A digitized map showing the
FMU location. A remote sensing location and boundaries of the
image of the area (e.g. from FMU. Existing maps, orthophotos
Google Earth) with the FMU or high-resolution remote sensing
boundaries overlaid could also be imagery can be used as the basis
appropriate of such a map.

8.2. LAND USE AND FOREST MANAGEMENT HISTORY

History of land use in the FMU must be documented to understand the
natural and anthropogenic processes that have shaped the pattern of land
uses and the current condition of the forest. Productive use of the land in
the past may also confer customary tenure rights.
Information on land-use history can be obtained from several sources
including historical maps, old photographs, historical satellite imagery
(Figure 5), and the collective memories of local communities which should
not be overlooked.
20 A guide to multiple-use forest management planning for small and medium forest enterprises

Figure 5. Land cover and land use change over a span of 18 years near Victoria,
Chile
2003 2013 2021

Note: The satellite images showing forestland cleared for tree planting (2003), well-developed forest
plantation (2013), and natural regeneration after harvesting of plantation trees (2021).
Source: Google Earth. [Cited 1 February 2023]. https://earth.google.com/

In addition to land use history, other factors such as natural disasters (e.g.
landslides, floods, and fires) may have had significant impact that still influence
the situation today. In areas with a long history of forest management, the
previous silvicultural regime has likely influenced the current condition of the
forest. The history of these interventions will often be held in compartment
records if available. Where there are no written records, it may be possible
to reconstruct forest management history by consulting local stakeholders.

Recommended requirements:
Minimum Good to have
• Previous land uses documented. • Previous land uses documented
• Records of forest management and mapped.
in the past. • Customary tenure and suitability
for forest management
documented based on previous
land uses.

8.3. PHYSICAL ENVIRONMENT

The physical environment determines the availability of light, water and
nutrients to support plant growth, which dictates the composition and structure
of vegetation that establishes naturally. The physical environment also has a
strong influence on forest productivity and drives decision-making on forest
management, including species selection. These physical environmental factors,
including climate, topography, soils and the presence of waterbodies, also
influence the site’s vulnerability to natural disasters. It is therefore important
to develop an understanding of the physical environment, within which the
FMU is located, to inform the forest management planning process.
Describing the forestland 21

Box 2. Open Foris - free open-source solutions for

environmental monitoring

Open Forisa is a set of free and open-source software tools that facilitates
flexible and efficient data collection, analysis and reporting. Of these,
those that are particularly relevant as spatial tools for forest management
planning include the Collect Earth, SEPAL, and Earth Map.

Collect Earthb / Collect Earth Onlinec

Collect Earth enables data collection through Google Earth and provides
for augmented visual interpretation for land monitoring. Through this
tool, users can analyse high and very high resolution satellite imagery
for a wide variety of purposes, including: forest inventories; monitoring
agricultural land and urban areas; validation of existing maps; collection
of spatially explicit socio-economic data; and quantifying deforestation,
reforestation and desertification. Its user friendliness make it a perfect tool
for performing fast, accurate and cost-effective assessments. It is highly
customizable for the specific data collection needs and methodologies.
Collect Earth Online is the next generation of web-based, crowd-sourcing
technology for Earth Science analyses. It increases customization over
Collect Earth desktop version and adds a variety of imagery resources
and processing capabilities. This makes it suitable for a broader spectrum
of applications including landscape change, land cover monitoring, and
deforestation studies.

SEPALd
SEPAL, which stands for “system for earth observation, data access,
processing, analysis for land monitoring”, allows users to query and process
satellite data quickly and efficiently, tailor their products for local needs, and
produce sophisticated and relevant geospatial analyses quickly. Harnessing
cloud-based supercomputers and modern geospatial data infrastructures
(e.g. Google Earth Engine), SEPAL enables access and processing of historical
satellite data as well as newer data from Landsat and higher-resolution
data from Europe’s Copernicus programme.

Earth Mape
Earth Map was created to support land monitoring in an easy, integrated
and multi-temporal manner. It allows everyone to visualize, process and
analyse satellite imagery and global datasets on climate, vegetation,
fires, biodiversity, geosocial and other topics. Users need no prior remote
sensing or geographic information system (GIS) knowledge. Its features
22 A guide to multiple-use forest management planning for small and medium forest enterprises

are based on Google Earth Engine’s big data capabilities, allowing users
to undertake complex analysis of earth observation, environmental and
climate data in a simple manner.
Earth Map’s data are divided into thematic groups (climate, geosocial,
vegetation, land degradation neutrality, water, satellite images, land
maps, forestry, fire, geophysical, soil and biodiversity) and allow the user
to visualize layers (maps) and to generate statistics to describe the areas
of interest. Layers of relevance to forest management planning include:
• biodiversity;
• climate (aridity index, heat stress, precipitation and temperature);
• fire (burned area);
• forest cover and change;
• slope and elevation;
• settlements and population;
• hydrology;
• land use and land cover;
• soils;
• vegetation indices; and
• waterbodies.
Google Earth Engine gives Earth Map the capacity to run statistics on
the fly on several metrics such as temperature, precipitation, burned areas,
tree-covered areas, among others. These statistics can be aggregated at
different time periods (yearly, monthly averages and monthly time series)
and different time periods.

Notes:
a
https://openforis.org
b
https://openforis.org/tools/collect-earth/
c
https://openforis.org/tools/collect-earth-online/
d
https://openforis.org/tools/sepal/
e
https://earthmap.org

Source: FAO. 2023. Open Foris: Free open-source solutions for environmental monitoring.
Rome. [Cited 1 February 2023]. https://openforis.org/
Describing the forestland 23

8.3.1 Topography
Topography refers to the forms and features of land surfaces in an area. It is
important to consider topography, particularly the steepness of slopes, in forest
management. On steep slopes, it is difficult or impossible to operate heavy
equipment, and there are increased health and safety risks to workers. Slope
of 45 percent (24°) is generally considered the limit for wheeled harvesters
and skidders (FAO, 2004b), and areas with steeper slopes should be off limits
to harvesting unless specific measures are taken to ensure operational safety
and reduce soil disturbance 6. Steep slopes are also more prone to erosion,
and most landslides occur on slopes ranging from 15˚ to 35˚ (Çellek, 2020).
The Open Foris Earth Map platform (Box 2) allows users to view slope
maps over an area of interest using the Shuttle Radar Topography Mission
(SRTM)-derived elevation data (slope data layers can be found the under
Geophysical tab) (Figure 6). These maps require field verification but provide
reasonable indications of areas where forest management activities may be
difficult.
Where there is sufficient capacity in GIS applications, global digital elevation
model raster data (in 30-m resolution) are freely available from the European
Space Agency7 and the National Aeronautics and Space Administration8 to
facilitate slope mapping with statistics on slopes in the area of interest.

Figure 6. Slope map of an area to the southwest of Kumasi, Ghana

Source: FAO. 2023. Earth Map. Rome. [Cited 1 February 2023]. https://openforis.
org/tools/earth-map/

6
Slope of 50 percent (26.6°) is the absolute limit for ground-based equipment
recommended by the International Labour Organization (ILO, 1998).
7
https://spacedata.copernicus.eu/web/cscda/dataset-details?articleId=394198
8
https://asterweb.jpl.nasa.gov/gdem.asp
24 A guide to multiple-use forest management planning for small and medium forest enterprises

Recommended requirements:
Minimum Good to have
• A hand-drawn map showing • A map showing areas with slope
areas with slope of more than exceeding 15, 30 and 50 percent
15 percent. (or other slope thresholds based
• Areas of landslips and active on national regulations or code
erosion indicated on a map. of practice), verified through field
survey.
• Contours and areas susceptible to
landslips and erosion mapped.

8.3.2 Climate and weather-related disasters

Climate is the average weather of an area over a longer period. Climate
includes expected temperatures or rainfall in different months or days of the
year. Climate also encompasses the likelihood of particular weather events,
such as extreme wind speeds, temperatures, rainfall and drought, to occur
at a certain place. Weather is the actual atmospheric conditions including
rainfall, snowfall, solar radiation, temperature, wind speed and direction, and
relative humidity experienced at a particular moment in time. Weather can
change constantly over short periods. Both weather and climate are relevant
considerations for forest management.
Climate data is often summarized in a climatogram showing the variation
in precipitation and temperature over the course of a year (Figure 7). A
climatogram with average monthly minimum and maximum temperatures
enables the assessment of risks of frost that could kill trees or excessive
heat that could affect the performance of workers. The Global Wind Atlas9
provides wind information, including average wind speeds and interannual
variations, that may also be useful for forest managers.

9
https://globalwindatlas.info
Describing the forestland 25

Figure 7. Climatogram showing the average monthly rainfall and minimum

and maximum temperatures

Source: Source: BBC (British Broadcasting Corporation). n.d. London. [Cited

11 January 2022]. https://bam.files.bbci.co.uk/bam/live/content/z98tvcw/large

Weather-driven natural disasters are becoming more frequent and severe due
to climate change. Natural disasters can be extremely damaging, completely
destroying forest stands or rendering trees unsuitable for economic uses.
Disasters also pose serious threat to human lives and properties, which can
affect forest operations, the local residents and markets for forest products.
Many disasters have both natural and human aspects, for example wildfires
ignited by humans spreading quickly under extremely dry conditions.
Common natural disasters and extreme weather events that impact forest
management include:
• flooding;
• storm surge or tsunami;
• extreme winds (e.g. typhoons, storms and tornados);
• snow and hailstorms;
• extreme frost;
• wildfires;
• landslides;
• droughts;
• volcanic eruptions; and
• pests and diseases.
Information on disaster risks is often difficult to find and may be presented
in forms that are difficult for a layperson to interpret. However, there is
often a great deal of knowledge available in the collective memory of local
communities on past events. In particular, the elderly in the community will
likely remember past fires, floods, landslides and other disasters of significance.
26 A guide to multiple-use forest management planning for small and medium forest enterprises

Recommended requirements:
Minimum Good to have
• Knowledge of past natural • Climatogram for the FMU or the
disasters that have affected the surrounding area
FMU and surrounding areas. • Record of previous extreme
weather events and natural
disasters in and around the FMU.
• Extreme weather events and
natural disasters for which a
preparedness and response plan
is needed identified based on the
frequency and impact of these
events.

8.3.3 Waterbodies
Waterbodies constitute areas of surface water which can be moving (such as
rivers and streams) or stationary (such as marshes, reservoirs and lakes). Some
waterbodies are seasonal, only containing water during a particular season,
while others are perennial, holding water throughout the year. Waterbodies
serve as source of water to downstream ecosystems and communities. Health
risks due to spillages of chemicals or fuels into the river is a key consideration
if downstream communities obtain water for domestic use from the river.
Waterbodies may also provide critical habitats and resources supporting
biodiversity. As well, water is an essential resource for forest managers,
providing water for nurseries and for forest fire fighting.
For the purpose of forest management planning, the location and type
of waterbodies in the FMU should be documented. It is beneficial to know
the extent of permanently saturated soils around a waterbody. Rivers in
and around the FMU may be prone to flooding, which can have profound
consequences for the forest and the infrastructure needed to maintain forest
management activities. Forest managers need to be aware of the risks and
benefits associated with these waterbodies for both natural ecosystems and
nearby communities.
Describing the forestland 27

A riparian buffer zone

signposted to prohibit
tree harvesting and
electric fishing.

©FAO/Kenichi Shono
Recommended requirements:
Minimum Good to have
• A hand-drawn map showing • A digitized map containing the
the types and locations of minimum information.
waterbodies in the FMU, the • Buffer zones around waterbodies
direction of flow of moving mapped and marked in the forest.
water, the presence of
downstream populations up to • Information on downstream
a distance of 15 km, and the populations, water-dependent
extent of local floodplains. activities (e.g. irrigation) and
habitats (wetlands and marshes)
up to a distance of 25 km
documented.
• Risks of flooding from nearby
rivers evaluated.

8.3.4 Soils and geology

Soil is a complex and dynamic living system that directly supports most
above-ground vegetation, including trees. Soils differ in their ability to
support vegetation depending on their depth, nutrient availability and
water holding capacity. Knowledge of soils is essential to ensure successful
forest management. Soil type is a key factor in determining the fertilization
requirements for seedlings and is also a major determinant of site index.10
There are numerous national and international systems for describing soils
for different purposes. World Reference Base for Soil Resources (WRB) is an
10
Site index is a species-specific measure of actual or potential forest productivity or site
quality, expressed in terms of the average height of trees included in a specified stand
(Helms, 1998).
28 A guide to multiple-use forest management planning for small and medium forest enterprises

international soil classification system generally accepted by soil scientists, but

in many countries, locally or regionally developed systems are commonly used.
Soil data is available in maps of different scales (Figure 8). SoilGrids11
provides global soil information at a resolution of 250 m including an estimate
of the soil type according to the WRB classification system. This information
is not based on detailed fieldwork at all sites but is interpolated based on
knowledge of soil-forming processes. Global soil maps of 1: 5 000 000 scale
are available from FAO/UNESCO Soil Map of the World.12

Figure 8. Soil maps at scales of 1:250 000 and 1:25 000

Source: Jones, A., Breuning-Madsen, H., Brossard, M., Dampha, A., Deckers, J., Dewitte, O., Gallali,
T. et al., eds. 2013. Soil atlas of Africa. Luxembourg, European Commission, Publications Office of
the European Union. 176 pp. https://esdac.jrc.ec.europa.eu/content/soil-map-soil-atlas-africa

In most countries, agricultural extension officers will have basic knowledge

of soil types in the region where they work. Additionally, farmers in many
parts of the world have developed their own systems of naming soils that
correlate with suitability for growing different crops. Farmers are often
capable of drawing useful soil maps based on their local knowledge and
experience (Figure 9).

11
www.isric.org/explore/soilgrids
12
www.fao.org/soils-portal/data-hub/soil-maps-and-databases/faounesco-soil-map-of-the-
world/en
Describing the forestland 29

Figure 9. Comparison of soil maps drawn by farmers and scientists

Source: Jones, A., Breuning-Madsen, H., Brossard, M., Dampha, A., Deckers, J., Dewitte, O., Gallali,
T. et al., eds. 2013. Soil atlas of Africa. Luxembourg, European Commission, Publications Office of
the European Union. 176 pp. https://esdac.jrc.ec.europa.eu/content/soil-map-soil-atlas-africa

Recommended requirements:
Minimum Good to have
• Basic knowledge of the dominant • An indicative soil distribution map
soil types in the FMU and their for the FMU based on available
suitability for agriculture and national or finer scale soil maps,
forestry activities. updated over time based on field
observation, with areas of fragile
soils indicated.

8.3.5 Infrastructure and associated facilities

Infrastructure and associated facilities located in and around the FMU affect
the ways in which forest management can be carried out. The condition and
standard of access roads to the FMU may limit the type of vehicles that
can be used to transport forest products from the FMU. The availability of
accommodation close to the forest may affect the potential for ecotoursim.
Connection to reliable electricity supply is a prerequisite for certain types
of processing facilities, while reliable water supply is essential for various
purposes. Within the forest, a network of trafficable roads is usually needed
for timber harvesting as well as for rapid access in case of emergencies such
as accidents or fires. Housing and other infrastructure in the forest, such as
storage facilities and workshops, can also be locations of risks, for example
from chemical or effluent release.
30 A guide to multiple-use forest management planning for small and medium forest enterprises

Recommended requirements:
Minimum Good to have
• A hand-drawn map showing the • A digitized map showing the
locations of infrastructure in the locations of infrastructure within
FMU (including roads, housing, the FMU, access routes to the
and third-party infrastructure FMU, and nearby towns and
such as railways, electricity cables, villages.
pipelines and irrigation channels).

8.4. THE LIVING ENVIRONMENT

The living environment constitutes the totality of all living organisms and the
interactions among them. Forest management will have impact on the living
environment in and around the FMU; at the same time the living environment
will dictate what types of forest activities can be conducted, how, where and
when. A description of the living environment is therefore critical as it presents
both opportunities and constraints for forest management.
Large organizations typically employs ecologists to describe the living
environment in the FMU. This may not be feasible or practical for smaller
operations. Medium-sized operations may still be able to contract specialists
for limited periods during forest management planning, but small-scale
owners are unlikely to have access to such expertise. However, help is often
available from local NGOs and networks of people interested in nature.
University and college biology departments are often searching for field
projects for their students, and student labour can usually be attracted in
exchange for the learning opportunity and basic provisions. In addition,
there is an increasing number of freely available online resources that can be
used to obtain information on the living environment, which are described
in detail in the following sections.
High conservation value (HCV) approach (Box 3) provides a useful
framework for assessing and identifying the presence of important ecological,
environmental and social values present in the forested landscape.

8.4.1 Ecosystems and habitats

The term ecosystem refers to “a spatially explicit, relatively homogenous
unit of the earth that includes all interacting organisms and components
of the abiotic environment within its boundaries” (Helms, 1998). Habitats
are defined as the place where an animal, plant, or population naturally or
normally lives and develops. An aggregation of habitats having equivalent
structure, function and response to disturbance, or those capable of producing
similar plant communities at climax, comprise a habitat type (Helms, 1998).
Forest managers should have maps showing the locations of different
ecosystems and habitat types in the FMU (see example in Figure 10). Typically,
this would include mapping of different forest types and other habitat types
Describing the forestland 31

Box 3. High conservation value (HCV) approach

High conservation value (HCV) refers to a biological, ecological, social or

cultural value of outstanding significance or importance at the national,
regional or global scale (Stewart et al., 2007). The concept was initially
developed by the FSC for use in forest management certification, under
which forest managers must identify and manage to maintain or enhance
any HCVs that occur within the FMU (Jennings et al., 2003).
The six categories of HCVs are as follows (Jennings et al., 2003).
HCV 1: Areas containing globally, regionally or nationally significant
concentrations of biodiversity values (e.g. endemism, endangered species,
refugia).
HCV 2: Globally, regionally or nationally significant large landscape-level
areas where viable populations of most, if not all, naturally occurring species
exist in natural patterns of distribution and abundance.
HCV 3: Areas that are in or contain rare, threatened or endangered
ecosystems.
HCV 4: Areas that provide basic ecosystem services in critical situations
(e.g. watershed protection, erosion control ).
HCV 5: Areas fundamental to meeting the basic needs of local communities
(e.g. subsistence, health).
HCV 6: Areas critical to local communities’ traditional cultural identity
(areas of cultural, ecological, economic or religious significance identified
in cooperation with such local communities).

With the role of forests in climate change mitigation becoming ever

more important, the carbon held in forests is also a key consideration.
The high carbon stock (HCS) approach aims to delink deforestation from
commodity production to support the realization of “No Deforestation
in High Forest Cover Landscapes”. The HCS approach does not define HCS
forest by an absolute carbon threshold. Instead, it uses field data on levels
of biomass, vegetation structure and composition, together with remote
sensing data, to create an HCS classification ranging from high-density
forest to degraded former forest areas of scrub and open land. The HCS
approach complements the HCV approach as some forests that provide
essential carbon storage, habitat for biodiversity and forest products for
local communities may not be considered as HCV (Rosoman et al., 2017).
In some countries, the results of national HCV assessment are available
to guide forest managers in understanding the presence of HCVs at a
broad scale. To identify the presence of HCVs at the level of an FMU,
an HCV assessment need to be conducted by a team of specialists. The
32 A guide to multiple-use forest management planning for small and medium forest enterprises

HCV Resource Networka is a not-for-profit organization that provides

information on HCV and links to assessors. The HCV toolkit prepared by
Proforest and the ‘good practice guidelines for HCV assessments’ (see
Appendix 2) are useful tools for assessing HCVs as well as for managing
and monitoring HCVs. Detailed guidance on HCS approach is available at
https://highcarbonstock.org.

Notes:
Jennings, S., Nussbaum, R., Judd, N. & Evans, T. 2003. The High Conservation Value Forest
Toolkit. Oxford, Proforest. http://www.proforest.net/fileadmin/uploads/proforest/Documents/
Publications/hcvf-toolkit-part-1-finalupdated.pdf
Stewart, C., George, P., Rayden, T. & Nussbaum, R. 2008. Good practice guidelines for High
Conservation Value assessments: A practical guide for practitioners and auditors. ProForest,
Oxford
Source: Authors’ own elaboration

such as grasslands and scrublands, as well as aquatic habitats. Ideally, such

maps should identify different habitats at the compartment-level so that
habitat-specific management activities can be implemented. Some ecosystems
and associated habitats are rare and/or seriously threatened by anthropogenic
activities. These areas should be protected from activities that cause further
damage or decline.
The Habitat Classification Scheme13 is useful for high-level classification
of habitats. One Earth14 also has course-scale maps of the most import
ecoregions in the world and their habitats which can provide context for
forest management planning.

13
www.iucnredlist.org/resources/habitat-classification-scheme
14
www.oneearth.org/bioregions
Describing the forestland 33

Figure 10. Habitat map of a small forest area in Scotland

Source: Scottish Forestry. 2010. Habitat Survey Map, Jan 2010. Edinburgh. [Cited 11 January 2022].
https://forestry.gov.scot/publications/566-habitat-survey-map-example/viewdocument/566

Recommended requirements:
Minimum Good to have
• A hand-drawn map indicating the • A digitized map indicating the location
approximate location and extent and extent of different forest types,
of different natural ecosystems and ecosystems and habitats present in the
habitats along with their simple FMU.
colloquial descriptions. • Description of the different ecosystems
with reference to the vegetation
structure and their conservation status.

8.4.2 Flora
It is important to understand the composition and structure of plant species in
the forest area as they form the basis of both production (of timber and NWFPs)
and biodiversity. Plants can be identified through traditional knowledge or
locally available expertise including from local forestry offices, colleges,
universities and NGOs. It can also be supported by mobile apps such as
iNaturalist15 and Pl@ntnet,16 which uses citizen science to share and confirm
data among a network of users.

15
www.inaturalist.org
16
https://plantnet.org/en
34 A guide to multiple-use forest management planning for small and medium forest enterprises

The following online resources can support the listing of both flora and
fauna species of conservation concern in a defined area:
• Map of Life17 produces a list of plant (and animal) species within 50 km
of a point.
• The IUCN maintains an international database of species of conservation
concern (IUCN Red List18) as well as a mapping platform19 which can
be used to generate a list of species likely to occur within a radius of
25 km from a point or within a defined polygon.
• Checklist of CITES (Convention on International Trade in Endangered
Species of Wild Fauna and Flora) species20 can be used to produce a
national list of species that are at risk due to international trade.
In addition to documenting the common and the economically or ecologically
valuable species, invasive alien plants that are known to be problematic in the
area should be identified. Invasive species can cause considerable economic
and ecological damage by inhibiting the growth of crop trees and NWFP
species and altering native ecological processes.

Recommended requirements:
Minimum Good to have
• A list of the most common plant • A list of common plant species in
species in the FMU developed the FMU developed through field
using local knowledge (plants survey, literature review, existing
identified by local or common species lists and/or databases.
names). • Plant species of economic, social
• Plant species of value to the and/or cultural value to the forest
forest manager and the local manager and the local people
people identified. identified.
• Currently existing problematic • Problematic invasive alien plants,
invasive alien plants identified. including those that show signs of
expansion, identified.

8.4.3 Fauna
Fauna is a vital component of biodiversity that plays a critical role in
maintaining ecological processes. In some forests, wildlife conservation is
one of the main objectives of forest management either for consumptive use,
ecotourism or the maintenance of cultural heritage.
Local residents are usually an excellent source of information on the
presence and abundance of animal species around the forest area (both in the
past and present). Forest workers in the FMU should also have records or
recollections of animals they have encountered in the forest, either through
direct sighting or indirect signs (footprints, nests, dens, scats, calls, etc.).
There is an increasing number of online tools available for preparing
17
https://mol.org
18
www.iucnredlist.org
19
www.iucnredlist.org/fr/search/map
20
https://checklist.cites.org/#/en
Describing the forestland 35

preliminary species list and for identifying species from photographs or

sound recordings (see list of online tools listed in Section 8.4.2 which can
be used for both flora and fauna species). In addition, eBird 21 collates bird
species lists generated by volunteers from many parts of the world with links
to the IUCN conservation status of species.
The (likely) presence of animals in and around the FMU that meet the
following criteria should be documented: 1) species of special conservation
value; 2) animals that provide essential ecosystem services, such as pollination
of agricultural crops and control of pests and weeds; 3) animals that cause
human-wildlife conflict; and 4) other species that contribute to local economies,
food security and cultural preservation. Appropriate measures are needed to
protect these species and their habitats as required, or to manage conflicts
if any.
Finally, pests and diseases that are known to be common and problematic
in the area should be noted. Damage caused by forest pests, with insects
being the most common, can significantly reduce local biodiversity and alter
natural forest landscapes by decimating one or more tree species. Some pests
may necessitate changes in management regimes, including switching to
alternative tree species in plantations. Diseases , usually caused by bacteria,
viruses and fungi, can also result in large-scale damage of economic, social
and environmental significance.

Recommended requirements:
Minimum Good to have
• A list of animals that are known • A list of animals that are confirmed
to occur in the FMU developed or likely to be present in the FMU
using local knowledge developed through field survey,
(identified by local or common literature review, existing species
names). lists and/or databases.
• Species that are considered • Species of conservation concern
important for any reason by the with a known distribution
local people identified. overlapping the FMU identified.
• Problematic pests and diseases • Common pests and diseases
present in and around the FMU present in and around the FMU,
documented. including those that show signs of
range expansion, documented.

8.4.4 Ecosystem services

Ecosystem services, which include provisioning, regulating, supporting
and cultural services, generate a wide range benefits for human society,
underpinning many production systems (Table 1). This section is principally
concerned with regulating services as most other aspects are covered elsewhere
in greater detail.

21
https://ebird.org/home
36 A guide to multiple-use forest management planning for small and medium forest enterprises

Table 1. Ecosystem services belonging to four categories

Provisioning Regulating Cultural services Supporting

services services services
Non-material
Products Benefits benefits obtained Services
obtained from obtained from from ecosystems necessary to
ecosystems regulation produce all
Spiritual and
of ecosystem other ecosystem
Food religious
processes services
Fresh water Recreation and
Climate
ecotourism
Fuelwood regulation
Soil formation
Aesthetic
Fibre Disease
Nutrient cycling
regulation Inspirational
Biochemicals
Primary
Water regulation Educational
Genetic resources production
Water Sense of place
purification
Cultural heritage
Pollination

Source: Millennium Ecosystem Assessment. 2003. Ecosystems and human well-being: a framework for
assessment. USA, Island Press. http://pdf.wri.org/ecosystems_human_wellbeing.pdf

Quantifying intangible ecosystem services is often complex and time-

consuming, requiring expertise that may not be readily available locally.
HCV approach provides a useful framework for assessing ecosystem services,
but implementing a full HCV assessment may not be feasible or practical
for SMFEs given the financial constraints and the limited area extent of
the FMU. In these cases, consultations with local communities provide an
effective approach to identifying the most important ecosystem services that
benefit the local populations either directly or indirectly. It should be noted,
however, that local communities often have difficulty in identifying such
ecosystem services without prior awareness raising and effective moderation
(Wangchuk et al., 2019).
There are some freely available online resources to support this task,
including the Ecosystem Services Identification & Inventory Tool 22 and
Spurring INnovations for forest eCosystem sERvices in Europe (SINCERE),23
which provide links to a range of tools for different circumstances. Some
of these tools enable the comparison of ecosystem services provided under
different land-use allocations and management scenarios.

Recommended requirements:
Minimum Good to have
• Ecosystem services that provide • An HCV assessment conducted to
important benefits to local identify critical ecosystem services
communities identified through provided by the forest in the FMU.
consultations. • An assessment of the impact of
forest management on ecosystem
services provisioning.

22
www.esiitool.com
23
https://sincereforests.eu/resources/toolkit/assessing-and-valuing-ecosystem-services
Describing the forestland 37

8.4.5 Biodiversity
Forests, including those managed primarily for production, play a critical
role in the conservation of biodiversity (Harrison et al., 2022). It is therefore
important to understand the presence and status of key biodiversity resources
that are present in the FMU to ensure that forest management activities do
not threaten these species, habitats and resources. Sections 8.4.2 and 8.4.3
deal with identifying flora and fauna, which comprise key components of
biodiversity. This section presents some useful online tools that can support
the identification of critical areas for biodiversity conservation at the landscape
level.
• Global Forest Watch24 provides maps that can be overlaid with various
biodiversity indicators including threatened ecosystems (Figure 11). In
the below figure, areas of global biodiversity significance (from IUCN/
BirdLife International/UNEP-WCMC) are shown in purple and Key
Biodiversity Areas (from Birdlife International) in blue

Figure 11. A Global Forest Watch map showing priority areas for biodiversity
conservation in Jambi Province, Sumatra, Indonesia

Source: Global Forest Watch. 2022. Washington, D.C. [Cited 11 January 2022]. www.
globalforestwatch.org

• Nature Map Explorer 25 provides a set of integrated global maps on

biodiversity and ecosystems services at a course scale that can provide
context for the FMU.
• IUCN’s Red List mapping platform26 can be used to identify species of
conservation concern likely to occur within 25 km around a point or
within a defined area of at least 2 000 km 2 (Figure 12).

24
www.globalforestwatch.org
25
https://explorer.naturemap.earth/map
26
www.iucnredlist.org/fr/search/map
38 A guide to multiple-use forest management planning for small and medium forest enterprises

Figure 12. A map showing species of conservation concern that are likely to
occur in an area in Chile

Source: IUCN. 2023. The IUCN Red List of Threatened Species Version 2022-2. Gland. [Cited 11
January 2023]. https://www.iucnredlist.org

• Intact Forest Landscapes (IFL) interactive mapping platform 27 can be

used to determine if the FMU forms part of an intact forest landscape,28
Figure 13 shows the extent of intact forest landscapes in bright green
and areas of degradation in red and orange.

Figure 13. Intact forest landscapes in an area in Papua New Guinea

Source: The IFL Mapping Team. 2021. Intact Forest Landscapes. [Cited 11 January 2023]. https://
intactforests.org/index.html

27
www.intactforests.org/world.webmap.html
28
Intact forest landscape is defined as “an unbroken expanse of natural ecosystems within
the zone of current forest extent, showing no signs of significant human activity and large
enough that all native biodiversity, including viable populations of wide-ranging species,
could be maintained” (www.intactforests.org)
Describing the forestland 39

Recommended requirements:
Minimum Good to have
• Any conservation status • The presence of critical areas
attached to the FMU determined for biodiversity conservation in
in consultation with local and around the FMU identified
government forestry officers. through an HCV assessment.
• The presence of critical areas for
biodiversity conservation in and
around the FMU identified by
consulting global databases.

8.5. FOREST RESOURCES

This section deals with the assessment of forest resources of economic, social
and cultural values.

8.5.1 Timber
Timber resources typically comprise the most commercially valuable
commodity from the forest and form the backbone of most forest enterprises.
Timber can be harvested and regrown, either through natural regeneration
or planting, for future harvest. The economic viability of forest enterprises
is dependent on income from the timber (and NWFP) harvest covering all
costs of forest management.

Forest inventory and growing stock

The volume of commercial timber available for harvesting, or the growing
stock, must be determined through a forest inventory. 29 This involves
measuring trees to determine how much timber of different species and
dimensions is present. Traditionally, this has been done through ground-based
surveys, but there is now an increasing use of remote sensing data either from
satellite or aircraft-borne instruments.
Forest inventory is a specialized field in forestry. There are many different
approaches and methods to forest inventory, and the choice will be determined
by many factors including the forest type (e.g. monoculture forest plantation
vs. diverse natural forest) and the types and accuracy of information required
for decision-making. The method used should be the least-cost method that
provides the required information. In most cases, sampling approach is taken
as it is not practical nor beneficial to measure all trees in the forest.
By convention, measurement of a tree diameter is carried out at breast
height (1.37 m) usually using a tape measure. It is possible to use diameter
tapes that are calibrated to measure the diameter of a cylindrical object, but
a standard tape measure can also be used, in which case the circumference is
divided by π (3.142) to derive the diameter. The diameter is a commercially
29
Forest inventory can compass not only commercial timber species but also all other
aspects of the physical and living environment discussed in this chapter.
40 A guide to multiple-use forest management planning for small and medium forest enterprises

important measure because timber processing plants often have a minimum

diameter that they can use, and legal restrictions often set thresholds on
minimum or maximum felling diameter.
In the absence of specialized forest inventory instruments, a simple tree-
measuring kit can be prepared using the DIY Tree Measuring Kit (Natural
Resources Wales, 2022). 30 This kit includes callipers for tree diameter, a
hypsometer for tree height and stem height and a relascope for determining the
basal area surrounding a point. There is also an increasing number of mobile
phone apps available31 and the use of drones32 to estimate tree dimensions
and growing stock.
It is common to describe stocking of a site in terms of the basal area,
which refers to the area of the stems measured at breast height per unit area
of ground. The basal area ranges between 5 m 2 / ha and 40 m 2/ ha for most
forest types. The basal area increases as the trees increase in diameter but
decreases when trees die or are removed by harvesting. The basal area is
often used as reference in silvicultural planning. For example, a stand may be
classed as ready for thinning when it reaches a basal area of 25 m 2/ ha. Basal
area can also be combined with usable stem length to estimate commercial
timber volume.
To estimate the volume or biomass of a tree, species-specific relationships
between the tree diameter, volume and biomass need to be known. This
relationship is expressed as an allometric equation, which estimates volume
and biomass using parameters such as tree diameter, height, and wood density.
An international web platform, GlobAllometree,33 is a useful resource that
provides free access to a global database of tree allometric equations. A simple
way of estimating merchantable volume of a tree is to multiply the basal area
by tree height and form factor (Volume = BA x H x FF).34
Large companies usually employ experts to design and implement forest
inventory to estimate growing stock at the required accuracy. Smaller
enterprises may not have the resources or the capacity to do this, in which
case they must use other practical and appropriate methods. Caldwell et al.
(2021)35 describes how groups of smallholders can organize forest inventories
to enable better planning of forest businesses through improved knowledge
of their resources and market opportunities. The document also provides
step-by-step guidance on measuring trees in the forest and using the data to
estimate timber volume.

30
https://cdn.naturalresources.wales/media/688310/template-diy-tree-measuring-kit.pdf
31
For example, www.arboreal.se/en/arboreal-forest and www.moti.ch
32
https://deepforestry.com
33
www.globallometree.org
34
If species-specific form factor is not available, 0.7 can be used as a general default value.
35
www.fao.org/3/cb4905en/cb4905en.pdf
Describing the forestland 41

Recommended requirements:
Minimum Good to have
• A list of commercially valuable • Basal area and volume of
trees available in the FMU. commercial trees estimated for
• Basal area and volume of each stand in the FMU based
commercial trees estimated for on forest inventory data and
representative areas of the FMU. appropriate form factors or
allometric equations.

Forest growth
The rate at which trees grow determines the volume of timber that can be
harvested sustainably. Tree growth rates are extremely variable between
individuals, species, sites and habitats, and therefore requires repeated
measurements of a sufficient sample size of trees under different growing
conditions to estimate at a required level of accuracy.
Tree growth rate can be determined in several ways. In natural forests
managed for timber production, there are often permanent sample plots in
which the same trees are measured every few years to determine long-term
growth rates. In even-aged stands where the timing of a stand replacement
event (e.g. clearcut followed by replanting, fire, or storm blowdown) is known,
the growth rate of the stand can easily be determined by dividing the diameter
by the age of the stand.
Where tree growth is seasonal (due to cold winters or seasonal drought),
growth rings can be used to determine historical growth rates. The growth
rate of individual trees reflects the effects of past silvicultural activities and
growing conditions. The tree in Figure 14 has a circumference of 41. 5 cm
with 11 growth rings. Thus, the annual growth rate of the tree is 41. 5/11π =
1.2 cm. It is likely that the tree benefited from a thinning operation around
year 5 or 6, which accelerated its growth. Weather conditions in year 10 may
have been unfavourable as the growth ring suddenly becomes much narrower.
If it is not desirable or permissible to fell a tree, an increment borer can be
used to obtain a tree core sample. Black Rock Forest (2020) provides a video
on the use of an increment borer.36

36
www.youtube.com/watch?v=sKfK2nqb5XM
42 A guide to multiple-use forest management planning for small and medium forest enterprises

Figure 14. Cross-section of a tree trunk showing clear growth rings

©FAO/Kenichi Shono

Wider rings represent years with favourable growth conditions (e.g. wetter
years, after thinning). Light coloured bands are spring-summer/wet season
growth, while the narrow dark coloured bands represent autumn-winter/
dry season growth. Fire scars may also be visible if the tree was scarred by
fires in the past.
For the common plantation species and intensively managed natural forests
in temperate and boreal regions, extensive research has been conducted
to develop growth rate estimates under different management scenarios.
However, such data are usually not available for natural tropical forests,
where tree species are diverse and do not develop annual growth rings. In
these cases, growth rates of the main commercial timber species may be
obtained from local forestry officers or from the experience of other forest
managers in the area.

Recommended requirements:
Minimum Good to have
• Growth rates of tree species to • Growth rates of the main
be harvested obtained from local commercial timber species
extension officers or other forest in the FMU estimated from
managers in the area. historical growth rates, repeated
measurement of permanent
sample plots, experience of other
forest managers in the area,
or information from the local
forestry offices.
Describing the forestland 43

8.5.2 Growth and yield modelling

The estimated growth rates of the main commercial timber species can be
combined with forest inventory data to estimate the timber assortments that
will be available in the future (Figure 15). For some species and forest types,
these models have been summarized as yield tables for different silvicultural
systems (Matthews et al., 2016). The choice of silvicultural system and the
site-specific growing conditions (availability of light, water, and nutrients)
are usually the most critical factors in determining growth and yield. The
difference in the height trees of the same age, expressed as site index, indicates
forest productivity.

Figure 15. Hypothetical diameter distribution of a dryland forest measured at

age 10 and modelled to 40 years

30

25
Number of trees

20

15

10

0
5 10 15 20 25 30 35 40 45 50 55
Diameter class (cm)
Age (year)
10 20 30 40

Growth and yield models based permanent sample plot data are well
developed for plantation species and intensively managed natural forests in
developed countries (Figure 16). However, there is little information available
for the more complex tropical forests. In tropical forests, the MYRLIN system
can be used to estimate future yields37 and this has been recently updated
with improved parameter estimates for a wider range of moist forest types
(Alder, 2020).

37
https://bio-met.co.uk/myrlin/original
44 A guide to multiple-use forest management planning for small and medium forest enterprises

Figure 16. Structure of a typical growth and yield model for a forest

Growth Information from Forest inventory information

permanent sample plots

Mortality information from

Growth and yield model
permanent sample plots

Thinning information
from silvicultural plan Future state of forest resources

Notes: Green boxes represent inputs from inventories and sample plots; orange box represent inputs
from forest management practices; blue box represents the model and calculations; and the brown
box represents the outcome of forest management, which will include both the future state of forest
resources and available products.

With knowledge on the estimated volume of individual trees or stands

up to a specified point in time, the mean annual increment (MAI) can be
calculated. MAI is the average annual growth of a tree or a stand of trees,
usually expressed as volume per unit area (e.g. m3/year).

Recommended requirements:
Minimum Good to have
• Future stand volume estimated • Stand-level growth and yield
up to the end of the current modelled up to the end of the
forest management period by current forest management
combining the current growing period.
stock and the growth rate. • Mean annual increment of the
forest stands estimated.

8.5.3 Non-wood forest products

The terms non-wood forest products (NWFPs) and non-timber forest products
(NTFPs) are often used interchangeably, although there is a difference in that
NTFPs include fuelwood and small woods while NWFPs exclude all woody
raw materials. In this publication, we use the term NWFPs, which consist
of goods of biological origin other than wood, derived from forests, other
wooded land and trees outside forests. These include bamboo, rattan, palms,
vines, resin, honey, fungi, edible plant parts, medicinal plants and animals.
Many NWFPs play a crucial role in local livelihoods and strengthening
resilience by providing resources for subsistence as well as income generation.
Certain NWFPs also constitute valuable commodities in national and
international markets. Some forest managers may also harvest NWFPs
commercially. In some cases, for example in South Africa with the Boletus
edulis mushrooms, NWFPs generate more income than timber in some years.
 Describing the forestland 45

A local community
member preparing nets
© FAO/Brent Stirton-Getty Images for FAO, CIFOR, CIRAD, WCS

to catch fish in a river in a

forest area.

It is essential to consider NWFPs in forest management decision-making

as certain forest management activities can influence the availability of
NWFPs. The most practical way to obtain information on the use of various
NWFPs is to consult the local people (noting that men and women may have
different relationships with NWFPs). A visit to the local market may also
reveal information on the types and value of NWFPs that are on sale. In
addition, there are online resources available for specific NWFP species in
certain countries or regions (e.g. online database of the Non-Timber Forest
Products-Exchange Programme38 which contains information on various
NWFPs commonly harvested in Southeast Asia).

Recommended requirements:
Minimum Good to have
• A list of NWFPs used by the • Information on the use of NWFPs
forest manager (including forest by local communities (including
workers) and local communities species, quantities, seasons and
compiled through consultations. locations).
• General understanding of how, • NWFP species of conservation
when and where local people concern identified.
collect NWFPs. • Field inventory of NWFPs that are
used commercially by the forest
manager.

38
https://ntfp.org/information-resources
46 A guide to multiple-use forest management planning for small and medium forest enterprises

8.6. SOCIAL AND CULTURAL FEATURES

In addition to ecological, environmental and economic benefits, forest also
provide resources of social, cultural, religious, historical, recreational and
scenic values, which may be of relevance at the local and wider scales (Table 2).
Knowledge on the local use and perception of the forest is vital in accounting
for the needs of local populations in forest management planning.

Table 2. Socially and culturally important sites and resources that may be
found in a forest

Site and resources fundamental Hunting and trapping grounds, NWFPs, fuelwood,
for meeting basic needs plants and animals that serve as sources of food,
building materials, fodder and grazing areas for
livestock, water resources.
Site and resources of cultural Traditional meeting places, archaeological sites,
importance culturally significant trees, plant or animal resources
used in traditional ceremonies.
Religious sites and resources Sacred trees and forests, places of worship, shrines.
Historical sites Battle sites, ancient buildings.
Sites and resources of Picnic sites, forest trails, camping grounds, viewpoints,
recreational and spiritual fishing sites, sites for watching birds or animals.
importance

It is critical that these social and cultural resources are identified with the
engagement of local communities, including representatives from minority,
vulnerable and marginalized groups. Local communities should also validate
and agree to the results and decisions made. Forest management activities, if
poorly planned and without the involvement of local stakeholders, frequently
lead to conflict with local populations.
Some of these resources may be accessed free of charge for those who
have traditionally used them, or they may be used to generate income. It is
not unusual to charge for the use of a picnic site or for overnight camping as
such activities will require management. Non-consumptive uses may also
provide significant local employment in a range of roles including facilities
maintenance, access control, guiding and interpretation, and catering.
One method of collecting this type of information is rapid rural appraisal,
which uses a fairly quick but efficient team-based approach. This can generate
useful information to help guide the process of community engagement.

Recommended requirements:
Minimum Good to have
• Resources of social and cultural • Assessment of risks to social and
significance in the FMU identified cultural resources posed by forest
and mapped in consultation with management activities.
local communities • Awareness of opportunities to
generate income and diversify
forest employment through social
and cultural resources.
Describing the social, economic and regulatory environment 47

A large tree
considered sacred by
villagers.

©Aulia Erlangga/CIFOR
48

9. Describing the social,

economic and regulatory
environment

9.1. IDENTIFYING LOCAL STAKEHOLDERS

Engagement of local communities and considering their needs should be at

the heart of forest management process. In some cases, local communities
own the forest or the right to manage the forest for their benefit, and carry out
the management themselves. Even in these cases, ensuring equitable sharing
of benefits and engaging other community members who are not part of the
forest management group will still be important.
Local communities can also provide support services for forest operations,
including labour and technical services. As well, local residents can also alert
the forest manager in case of timber theft, other illegal activities and fires.
Therefore, maintaining a good relationship with local stakeholders is critical
regardless of whether the forest manager is part of the local community or
a non-local actor.
Where forest management rights are allocated to the forest manger by
government authorities, local communities may have overlapping customary
rights to the forests of the FMU, including the right to harvest NWFPs and
timber. If the local population include Indigenous Peoples,39 a process of free,
prior and informed consent (FPIC) should be followed (see Appendix 2 for
further guidance). Even for community-managed forests, it is necessary to
understand and consider issues such as equity, social exclusion, asymmetric
power relations, elite capture of benefits and gender to ensure effective forest
management and equitable distribution of benefits (Gilmour, 2016).

39
In accordance with international consensus, FAO abides by the following criteria when
considering Indigenous Peoples: 1) priority in time, with respect to occupation and use
of a specific territory; 2) the voluntary perpetuation of cultural distinctiveness, which
may include aspects of language, social organization, religion, and spiritual values, modes
of production, laws, and institutions; 3) self-identification, as well as recognition by
other groups, or by State authorities, as a distinct collectivity; and 4) an experience of
subjugation, marginalization, dispossession, exclusion or discrimination, whether or not
these conditions persist.
Describing the social, economic and regulatory environment 49

A community elder
explaining the location of
sacred forests

©Violet Atieno-CIFOR
Recommended requirements:
Minimum Good to have
• Key local stakeholders to the FMU • Mapping of local stakeholders,
identified with brief descriptions including communities,
of their relationship to the forest. government authorities,
• The identity and location of extension workers, civil society
neighbours who own or manage organizations, forest product
lands adjacent to the FMU. traders, forest enterprises,
industry associations, etc.

9.2. DESCRIBING LOCAL POPULATIONS

Describing local populations is a complex task that involves collecting basic
demographic information as well as understanding their relationship with the
forest. Demographics refers to the structure and distribution of individuals
in a population. Demographic information relevant to forest management
planning include the size, location, age structure and gender composition
of the population. Data on employment and educational attainment levels
may also be relevant. These demographic data provide information on the
availability of forest workers both now and in the future, as well as the local
demand for forest products including fuelwood.
50 A guide to multiple-use forest management planning for small and medium forest enterprises

Demographic information of nearby villages and population centres should

be available from regional or local authorities. In the event that such data are
not available, it may be necessary to carry out surveys to collect data on the
basic demographic parameters.

Recommended requirements:
Minimum Good to have
• Basic demographic information • Assessment of how the
of local villages and towns. demographics of local villages and
towns may affect the FMU in terms
of availability of labour, forest
management expertise and other
services.

9.3. LOCAL BUSINESSES AND MARKETS

Local businesses can provide critical services for forest management and
offers marketplaces for the sale of timber, NWFPs as well as ecosystem
services (Table 3).

Table 3. Types of services and markets provided by local businesses and

organizations

Products Services Markets

Timber • Forest management advisers • Sawmills
• Forestry contractors including • Furniture makers
for harvesting • Charcoal producers
• Vehicle and equipment sales, • House builders
repair and maintenance
• Farmers
• Forestry training
• Biomass users
Non-wood • Agricultural advisers • Local residents
forest products • Value chain development • Vendors in local market
• NWFP collectors and processors
• Traditional healers
Non- • Ecotourism guides • Ecotourists
consumptive • Tourism organization • Youth organizations and
use schools
• Hotels and tourism operators

Local businesses may be both competitors and supporters of the forest

management enterprise for different objectives. Small forest owners often
cooperate when cost savings can be realized (e.g. in sharing a harvesting
contractor) while at the same time competing to sell their products. Large
companies may provide technical and operational support for small forest
owners in exchange for preferential access to the forest products.
Describing the social, economic and regulatory environment 51

Recommended requirements:
Minimum Good to have
• Local timber buyers and • Local buyers and market
producers’ cooperatives opportunities for forest products
identified. identified.
• The local availability of forestry
support services documented.

9.4. REGIONAL BUSINESSES AND MARKETS

Regional businesses and markets offer opportunities for the sale of a wider
range of forest products, including different dimensions and species of timber,
by-products such as sawdust and wood chips for biomass, and various NWFPs.
These opportunities enable forest revenue diversification, enhancing resilience
in view of inherent risks of biological production and market fluctuations. In
most cases, even for products that are ultimately exported, agents servicing
these markets are regionally based.
As well, a more varied range of forestry-related services are typically
available at a higher level of competence in regional markets. These services
may relate to forest health, training, management advisory, forest engineering
and planning support. In many countries, there are national and/or regional
associations of forest managers that can provide advice regarding regional
support services and markets. Such support may be critical to the success of
a forest management enterprise.

Recommended requirements:
Minimum Good to have
• Awareness of regional markets • Regional buyers and market
and buyers of forest products, opportunities for various
as well as product demand and forest products identified and
prices in these markets. documented.
• Availability of forestry-related
support services at the regional
level documented.

9.5. UNDERSTANDING PRODUCT REQUIREMENTS AND

OPPORTUNITIES FOR VALUE ADDITION
Often, small forest owners sell their forest products at the offered price
without exploring ways to maximize the potential value of their products.
As a result, logs with higher potential value may be sold for low-value uses
such as wood chip production. In these situations, simply sorting logs into
categories based on species and dimensions may allow the forest managers to
capture more value as it may be possible to sell some of the timber for high-
value uses. An even better approach would be for the forest manager and the
sawmills to understand the exact requirements in terms of dimensions and
wood properties from the final product manufacturer. This would allow for
 52 A guide to multiple-use forest management planning for small and medium forest enterprises
© FAO/KWC

Sawmill in Ghana
producing legal timber
for domestic and
international markets.

more efficient use of timber and wood residues, as well as enhanced value
generation.
Improved understanding of product requirements may also influence
the silvicultural system to enable production of timber of the right species,
properties and dimensions for the market. A wide range of products can
be produced from timber of various dimensions and species, including the
currently underutilized species. Small pieces of timber may be used to make
utensils, tool handles and chopping boards. Larger dimensions can be used
for construction or furniture making. The largest pieces of timber may be
used for beams or marine piles. Nowadays, it is also possible to create large
wood panels by glue-laminating or cross-laminating smaller pieces of wood.
Smalls-scale producers are often at a considerable disadvantage in the
marketplace because of the small volume of products they sell in relation to
buyer requirements. This can lead to low prices or poor terms of sale dictated
by traders who seek to maximize their margins. Forming forest producer
cooperatives and establishing direct relations with the wood processors may
provide small-scale forest producers with more bargaining power.
Describing the social, economic and regulatory environment 53

To optimize sales price, the forest manager must learn as much as possible
about the market requirements. This can be achieved by speaking to timber
processors to determine their requirements and what they are prepared to
pay for timber that meets their specifications.

Recommended requirements:
Minimum Good to have
• Understanding of the market • Prices of different forest products
requirements for forest and the required specifications in
products in terms of species and terms of species, dimensions and
dimensions. quality documented.
• Understanding of the end uses of
timber locally and regionally.

9.6. FOREST RIGHTS AND TENURE

Forest tenure is the right, statutory or customary, that determines who can
use, manage, control, or transfer forest lands and resources such as wood
or the multitude of NWFPs. Forest tenure may be assigned according to
government laws (statutory law) or by long-held traditions of communities
(customary law). Most aspects of forest rights are linked to landownership,
but forest resources and the land are dealt with separately in some countries.
In most cases, the owner of forest rights can assign the rights to another
party through a contractual agreement. To practise forest management, the
forest manager must be able to demonstrate the possession of relevant rights.
In some countries, particularly those with long traditions of customary
tenure, there can be difficulties in verifying tenure rights. Participatory
mapping approach can be a practical approach to map the current and historical
land use, as well as areas under customary management and resource use
(Brown et al., 2013). FAO has developed the SOLA Suite,40 a set of free,
open-source tools aimed at improving tenure governance by increasing
transparency, reducing the cost for recording, and managing existing tenure
rights in customary or informal tenure systems.

Recommended requirements:
Minimum Good to have
• Documented evidence of forest • The way in which customary
tenure for the entire area of the rights are exercised documented
FMU. in consultation with concerned
• Any overlaps and conflicts in stakeholders.
tenure (e.g. hunting grounds,
customary land occupation)
documented on a map.

40
www.fao.org/tenure/sola-suite/en
54 A guide to multiple-use forest management planning for small and medium forest enterprises

9.7. LAWS AND REGULATIONS

The laws and regulations applicable to forest management vary enormously
among countries and sometimes even within countries, for example between
forest plantations and natural forests. Laws that relate directly to forestry
include those that deal with land and tree ownership, taxes or royalties for
harvesting trees, fees for obtaining permits, rules related to transport of
forest products, environmental provisions, and changes of land use. Forestry
laws may also prescribe or forbid certain silvicultural practices or systems.
Forestry laws cover a range of aspects and may take many forms ranging
from precise instructions to general requirements (Table 4).

Table 4. Aspects typically addressed in forestry laws and regulations

Forest management • Requirements for forest management planning (the content,

planning planning process, intervals for updating, public consultation,
and qualifications required for developing it)
Environmental and • Requirements for environmental and social impact assessment
social impacts
• Enforcement environmental and social performance standards
• Requirements on buffer zones around waterbodies
• Restriction of certain activities on steep slopes
• Designation of set aside areas for environmental protection
• Requirements (or prohibition) on the use of fire
• Protection of biodiversity (species, habitats and ecosystems)
• Restrictions on the use of chemical pesticides and fertilizers
Consultation and • Requirements to engage, consult and reach agreements with
participation local communities
• Specifying levels of compensation to local communities for
timber harvested from community lands
• Specifying social contributions such as roads, schools, clinics,
etc.
• Requirements to allow local community access to forest
resources
Timber harvesting • Minimum felling diameters and rotation periods
and transport
• Felling licences
• Forest road specifications including requirements for road
closure
• Transport permits
• Record keeping of harvest volumes
• Verification of harvests by regulatory authorities
Silviculture • Specifying species permitted for harvesting
• Restrictions on the use of certain species (e.g. non-naïve
species, genetically modified trees)
• Requirements for reforestation, rehabilitation and enrichment
planting
• Restrictions or prohibitions on certain types of silvicultural
activities (e.g. clearfelling)
Forest taxes and • Stumpages
allocation of rights
• Concession fees and rents
• Rules for competitive bidding
• Rules for allocation of concessions
• Rules for allocation of communal forest rights
Describing the social, economic and regulatory environment 55

Labour laws cover the relationship between an employer and the employee,
including the process of employment, disciplinary procedures, employee
dismissals, and compensation requirements when terminating employment.
Labour laws usually define the difference between short-term and long-term
employment and set time limits for repeated short-term employment. These
laws also cover social security payments, insurance for workers, minimum
wages, health and safety requirements, as well as workers’ rights to organize.
Business laws govern the dealings between persons and businesses and
include the regulation of commercial entities as well as commercial transactions.
These laws usually place different requirements on business entities depending
on the size and forms of ownership.
There will likely be many other laws that forest managers need to comply
with in different countries. These could include laws related to mineral rights,
biodiversity conservation, environmental protection, compliance with various
international conventions, Indigenous Peoples’ rights, human rights, etc.
Information on laws relevant to forestry is generally available from
national forest authorities, local forestry officers, forestry extension agents,
forest-related NGOs or local government representatives. In some countries,
information on all laws is available online. As legal language can be difficult
to understand, it may be useful to seek advice from knowledgeable sources,
such as lawyers, local government agents and NGOs. Forest faculties in
some universities also offer extension services. In addition, national or local
forest owners’ associations can be valuable sources of information. Other
potential sources of information and advice on legal requirements include
labour unions and local chambers of commerce.

Recommended requirements:
Minimum Good to have
• Awareness of national and local • Local and national laws relevant
forestry laws pertaining to forest to the forest operations,
operations in the FMU. including forestry laws,
• Understanding of relevant permit business laws, labour laws
requirements and how to obtain and environmental laws,
them. documented.
Describing the social, economic and regulatory environment 57

PART III. DOCUMENTING THE

FOREST MANAGEMENT PLAN

©FAO/Kenichi Shono
58 A guide to multiple-use forest management planning for small and medium forest enterprises

Based on the quantitative and qualitative information gathered and analysed

in Part II, the forest management plan needs to be compiled and documented
in a suitable format with the appropriate level of detail in view of the legal
requirements and the scale and complexity of forest management (Chapter 10).
Objective setting is a critical process whereby the objectives of forest
management are identified for multiple uses considering the economic,
environmental and social pillars of sustainable forest management (Chapter
11). Relevant and realistic forest management objectives should be developed
as appropriate for the environmental, geopolitical and sociocultural context
in which the forest management activity will take place.
For each identified objective, there should be a plan to guide the
implementation of activities towards its achievement. Planning related to
the production of timber and NWFPs is covered in the silvicultural plan
(Chapter 12). If objectives related to ecosystem services, biodiversity, social
and cultural aspects are identified, management plans need to be developed
to address them (Chapter 13 and Chapter 14). The business plan is another
key component of a forest management plan that is often overlooked (Chapter
15). Finally, there should be preparedness plans in place for extreme weather
events, natural disasters and accidents to enable appropriate response actions
(Chapter 16).
As noted previously, forest management planning is an adaptive process in
which the results of forest management are evaluated and plans are revised as
needed. Therefore, each forest management objective needs to be monitored
through appropriate indicators that provide feedback to the forest manager
to ensure effective implementation of planned actions. The final part of the
forest management plan will be the monitoring and evaluation plan that
describes the monitoring protocols and feedback system (Chapter 17).
 59

10. Forest management plan

format

In Appendix 1, a sample format of a forest management plan is provided, which

can be adapted depending on the forest management objectives, relevant legal
requirements, and the environmental, socioeconomic and cultural context.
Traditionally, forest management plans have been produced as physical
documents, parts of which have been replaced in some cases by digital files
and spatial information stored in GIS databases. For very small operations, a
few maps may be sufficient to store most of the required planning information.
The map in Figure 17 was drawn for a small forest estate of Eucalyptus
plantation at the time of planting, which will need to be redrawn in six years
when the stand is harvested and replanted. It contains most of the required
information for forest management planning given the scale and context of
this FMU (listed in Table 5). In Box 5, requirements for forest management
plan documentation for small-scale forest operations in Chile is provided as
an example of a simple, map-based forest management plan.

Figure 17. Map of a small forest estate in Patagonia, Chile

60 A guide to multiple-use forest management planning for small and medium forest enterprises

Table 5. Key information contained in the hand-drawn map presented in

Figure 15

Social • Location and identity of neighbours

information • Location and distance to the nearest villages
• Location of a picnic site used by local people
• Location of housing and subsistence crop growing area
• Location of pasture for livestock
Environmental • Location of natural forest riparian buffer
information • Location of environmentally sensitive areas
• Location of watercourses
Forest • Location and area of compartments
management • Forest management objectives of each compartment
information • Date of planting of each compartment
• Schedule of silvicultural activities for each compartment
• List of silvicultural activities that have been carried out

Many larger forest operations make use of computer software-based forest

information system (FIS) that provides up-to-date site specific information
about the forest area to support effective decision-making and guide field
operations. FIS typically integrate spatial GIS data with growth models,
market information and financial models.
Developing and maintaining such information systems may not be feasible
for small and medium forest owners. Fortunately, there is an increasing
number of forest consultancy organizations that can provide such services
in a cost-efficient manner. In addition, there are freely accessible forest
information tools that can be used to store and present forest management
planning information. For example, myForest41 is used by about 8 000 small
forest owners in the United Kingdom to prepare legally-compliant forest
management plans (Sylva Foundation, 2022). FAO’s Open Foris Arena (Box 4)
may also present a viable solution for SMFEs to store, analyse and manage
forest inventory data including socio-economic, biodiversity and other
parameters of interest.

41
https://myforest.sylva.org.uk
Forest management plan format 61

Box 4. Open Foris Arena for collecting, storing,

managing and analysing forest inventory data

Arenaa is a newest addition to the open-source Open Forisb suite developed

by FAO. It offers a platform for storing, managing and analysing of data
collected in a forest inventory. Arena provides methods for customization
of inventory data structure, multicycle data management and data checks
in a multilingual environment. Arena also offers access to map repositories
and high resolution satellite imageries, such as NICFI Planet Labsc images,
and it offers methods to update data directly from the map user-interface.
The data in Arena’s secure server is hosted by the Amazon Web Services,
and it can be processed using R scripts within RStudio.
Arena Mobile is a fast, intuitive and flexible data collection tool for field-
based surveys. This app allows the completion of complex data structures,
such as biophysical, socio-economic or biodiversity surveys that are designed
on the Open Foris Arena platform. It works both on Android and iPhone
devices.

Arena Mobile’s main features include:

• off-line data collection;

• on-the-fly validation to improve data quality;
• handling of large lists of species or other attributes;
• geo-location through an embedded Global Positioning System
(GPS);
• photo and video recording;
• integration with Arena for data management, analysis and
export to commonly used formats; and
• can calculate attributes for data quality control in the field.

Notes:
a
https://openforis.org/tools/arena
b
https://openforis.org
c
www.planet.com/nicfi

Source: FAO. 2023. Open Foris Arena. Rome. [Cited 1 February 2023]. https://openforis.
org/tools/arena/
62 A guide to multiple-use forest management planning for small and medium forest enterprises

Recommended requirements:
Minimum Good to have
• Hand-drawn map(s) and • Forest management plan in
accompanying documents that the form of a more substantive
demonstrate legal compliance document (~100 pages) supported
and forest tenure. by some information (e.g. spatial
• Documents providing silvicultural data and financial projections)
guidance and responses to as electronic files in appropriate
specific social and environmental format.
issues.

Box 5. Forest management planning for small-scale

forest management in Chile

Since 2000, the focus of forest policy in Chile has shifted from timber
production to restoration and conservation of native forests as well as
support to smallholder forest owners. Forest management plans are
mentioned under a variety of forest laws (Morales, 2002). The framework
for forest law is distinct for plantations of exotic species and management
of native forests. Management planning is closely linked to the payment of
state subsidies for forest management. Management plans require approval
by the National Forest Corporation (CONAF), and for areas exceeding 200 ha,
they must be drawn up by a forest engineer or someone of equivalent
qualifications. CONAF is also responsible for ensuring that management
plans are followed. All large forestry companies currently operating in
Chile hold FSC and national forest management standard (CERTFOR or El
Sistema Chileno de Certificación de Manejo Forestal Sustentable, which is
endorsed by PEFC) certifications. Many smallholders of forest plantations
are also certified under group schemes therefore conforming to group
certification management planning standards.
It is required to consider environmental and social considerations in
forest management planning with an emphasis on protection of high
conservation values (HCVs). The duration of management plans is set at a
maximum of ten years. For small forest owners, forest management plans
are presented for each forest management activity and are supported
by an overview plan of the FMU. This means that historic record of each
intervention is available, but there is little information on the long-term
silvicultural planning. Key challenges associated with this system of forest
management planning include the absence of information on the condition
of the forest (as forest inventory is not required) and the lack of long-term
objectives for forest management.
Forest management plan format 63

The above left document is a management plan presented to obtain

permission to conduct thinning of a Eucalyptus plantation of 21 ha (left).
An overview plan on the right shows the location of different stands,
watercourses and associated riparian protection areas.

Notes: Morales, E. 2002. Changing ownership and management of state

forest plantations: Chile. IIED. https://pubs.iied.org/sites/default/files/pdfs/
migrate/G00303.pdf
Source: Authors’ own elaboration
64

11. Setting management

objectives

Most forest managers will have some ideas on what forest products they wish
to derive from their forests from the outset. The process of examining these
ideas in depth and exploring alternatives often leads to better solutions that
optimize the combination of forest products and services. All categories of
objectives covered in this chapter should be considered and assessed for their
relevance and applicability, including environmental services and benefits to
local stakeholders and the wider society. Even in a community-managed forest,
different individuals and groups within the community may have distinct
needs, which necessitates balancing and negotiating competing objectives.
The objectives for the forest should be considered with a long-term vision
and include all values to be maintained for future generations.
When considering potential management objectives, it should be noted that
there may be issues of interest and relevance for which forest management
at the level of the FMU will have little or no influence. Defining objectives
for such aspects serves little purpose. For example, setting an objective to
maintain populations of wide-ranging fauna may not be meaningful as their
population dynamics will be determined by conditions outside the control
of the forest manager.
To develop objectives that are realistic and practical in guiding sustainable
forest management, a useful guide is to ensure that they are SMART (specific,
measurable, achievable, and time-bound).

Specific: The objective is well-defined, precise and unambiguous.

Measurable: Progress towards the achievement of the objective can be
measured through quantitative or qualitative observations.
Achievable: The objective is attainable within the period covered by the
management plan.
Relevant: The objective is relevant with regards to the overall goals of
forest management.
Time-bound: The objective has a clearly defined timeline within the duration
of the management plan.

Progress towards the achievement of set objectives needs to be monitored

through observations and measurements (described in Chapter 17). The
setting of objectives and monitoring form an iterative process in which the
Setting management objectives 65

objectives are refined to include only those that are relevant and realistic, and
for which there are feasible monitoring methods available.

11.1. SITUATION ANALYSIS

Situation analysis developed from the information gathered previously will

allow for identification of opportunities and constraints for forest management.
For example, there may be areas where timber production cannot be practised
due to the presence of HCVs, for environmental protection or operational
safety. There may also be areas that are unsuitable for forest production due to
soil and moisture constraints. On the other hand, there could be opportunities
for forest management related to product markets, land suitability, social
context, etc. These aspects should be considered in forest management planning
and objective setting so that the most appropriate management objectives and
options can be identified.
A common approach to a situation analysis is a strengths, weaknesses,
opportunities, and threats (SWOT) analysis (Table 6).
66 A guide to multiple-use forest management planning for small and medium forest enterprises

Table 6. SWOT analysis for a hypothetical teak plantation

Strengths Weaknesses
• Sites are excellent for growing teak. • Large buyers may not be attracted
• Natural forest areas have a good given the low levels of expected
mixture of species for biodiversity production.
conservation. • Long-term investment of at least 20
• There is good rapport between the years is needed.
local people and the landowners. • There is a significant capital
• Local knowledge and experience with requirement for plantation
teak silviculture exist from successful establishment and timber processing.
previous rotations. • Road infrastructure for timber transport
• Windstorms are rare. is in poor condition.

• Business partners are well known and

respected in the country.
• Achieving forest certification will be
relatively easy.
• The existing area has good water
supply and adequate road access.
There is a suitable location for nursery
establishment.
Opportunities Threats
• There is a good export market for teak. • There is risk of fire in young stands.
• International teak supply is less than the • Criminal activities in the area pose a
current demand. security threat.
• Local competition is limited. • There is a risk of timber theft when the
• There is high potential for value stand matures.
addition through local timber • Heavy rains causing erosion is common.
processing
• Establishment costs can be reduced
through the use of agroforestry
involving local farmers.
• Certified teak attracts high premium
due to its scarcity in the market.
• There are opportunities for recreational
use of the natural forest area.
• There are opportunities for production
of NWFPs (including turmeric, edible
lilies, indigo) in the teak stands.
• The plantation can serve as a buffer
and wildlife corridor connecting nearby
protected areas, providing biodiversity
benefits at the landscape level.

11.2. OBJECTIVES FOR FOREST PRODUCTION

Both short- and long-term horizons must be considered in planning for
forest production. Forest management activities carried out today should be
directed at producing the desired mix of forest products during the current
management cycle as well as achieving the long-term vision with regards to
species composition and structure of the forest.
Setting management objectives 67

11.2.1 Tree crops

Objectives for the tree crop need to be specified both in terms of the final tree
crop and the pathway (including regeneration, thinning and other silvicultural
treatments) to get there. For forest plantations, this is relatively straightforward
as the regeneration methods, optimal crop tree density, thinning regimes and
growth response to silvicultural treatments are well established. Defining
the final tree crop for natural forests is more complex as the forest’s response
to silvicultural interventions can be unpredictable. For some natural forests
with a long history of management, such as European beech or oak forests,
silvicultural systems are well understood. However, such knowledge is scarce
for more diverse tropical forests. In such cases where the forest dynamics
are less understood, the general pattern of succession need to be inferred
from observation and experience. In such cases, a sensible approach is that of
adaptive management in which different management approaches are tested
in smaller areas.
Objectives for timber production are usually stated in terms of the species,
size distribution and the volume of timber to be harvested during the period
covered by the forest management plan (Table 7). In addition, form is an
important consideration as straight trees have larger usable volume and attain
higher prices. Silvicultural practices, such as removing crooked trees and
thinning, can facilitate the growth of straight trees with clear boles, thereby
increasing the forest value.

Table 7. Forest production objectives for two diverse types of forest

Boreal pine forest of 100 ha Miombo woodland of 100 ha in Mozambique

Annual yield of 250 m of pulp logs,
3
Annual yield of 500 small agricultural
300 m3 of sawlogs, and 100 tonnes poles, 200 large building poles, 150 m3 of
biomass sawlogs, and 100 tonnes biomass
Long-term vision for the forest Long-term vision for the forest
Forest will be regenerated through natural Forest will be regenerated from root
seeding. An average of 1 ha/year will be suckers and coppice stumps after
harvested. Stands will be clearfelled at clearfelling. Some rare high-value species
the age of 80 to 120 years depending that have been reduced by previous
on site conditions. Forest stocking and harvesting will be planted. 1 ha will be
structure will remain similar in the long- clearfelled each year. The future forest
term, although deciduous hardwoods may will have trees of better stem form and
become more abundant due to climate timber properties, and more abundance of
change and natural succession. high-value timber species.

If the mean annual increment has been estimated, this can be used to
calculate the annual allowable cut (AAC) by making allowance for estimated
damage and mortality to the residual stand from timber harvesting. AAC
refers to the volume of timber that can be harvested on a sustainable basis
in a defined forest area in a given year. In the absence of suitable growth
models or the capacity to estimate sustainable yields based on available data,
a simple rule of retaining at least one (preferably two) future crop trees for
68 A guide to multiple-use forest management planning for small and medium forest enterprises

every tree harvested can be followed. The growth of future crop trees can be
accelerated by removing competing trees nearby. However, this will entail
costs that will need to be evaluated against the value of additional timber
growth (Gräfe et al., 2021).
Timber is usually divided into categories according to species, dimensions,
wood quality and the intended end use, with some categories fetching higher
prices than others (Table 8). Depending on the end use, there may be preference
for certain wood properties such as more even growth rings and trees that
are grown slowly.

Table 8. Categorization of Scots pine (Pinus sylvestris) timber assortments by

dimensions

Type of timber Middle diameter Small-end Length Price/m3

assortment (cm) diameter (cm) (m) (EUR)
Sawmill wood (large ≥ 35 ≥ 14 2.5 65.0
thickness class)
Sawmill wood 25-34 ≥ 14 2.5 56.9
(medium thickness
class
Sawmill wood (small ≤ 24 ≥ 14 2.5 48.8
thickness class)
Pulpwood - ≥5 2.5 38.1
Energy wood (stem - - - 13.6
residuals)

Source: Węgiel, A., Bembenek, M., Łacka, A. & Mederski, P. S. 2018. Relationship
between stand density and value of timber assortments: a case study for Scots pine
stands in north-western Poland. New Zealand Journal of Forest Science, 48: 12.

In addition to the scheduled rotational harvest, there will often be low-level

continuous harvest of timber for various purposes, including the collection
of fallen deadwood as fuelwood and the cutting of small trees for poles and
manufacture of furniture and tools. These uses may have a meaningful impact
on the forest income as well as the future state of the forest, and should
therefore be considered in the planning and objective setting.

Recommended requirements:
Minimum Good to have
• The expected appearance and • The expected future structure
structure of the forest in the long- and species composition of the
term described in general terms as forest at the end of the forest
an objective. management period or at 20
• The expected yields of different years, whichever is longer,
timber assortments during the described as an objective.
current forest management period • Annual allowable cut and
included in the objective. expected yields of different
timber assortments for the
current forest management
period or 20 years, whichever
is longer, documented as an
objective.
Setting management objectives 69

11.2.2 Non-wood forest products

For any NWFP species identified as being locally important for subsistence,
trade or as cultural tradition, objectives for their sustainable use should be
included in the forest management plan. In some cases, there may be a risk of
overharvesting valuable products such as edible fungi, fruits, rattans, orchids,
and certain wildlife. In such cases, regulation of harvest and measures to ensure
regeneration may need to be included as objectives. If NWFPs are used only
sporadically or at low levels, objectives may simply relate to allowing access to
the resource when necessary.
Setting objectives for NWFPs is not easy because these species can be
extremely variable in their distribution and availability, both spatially and
temporally, depending on interplay of environmental factors many of which
are outside the control of forest managers.
In addition, there are likely to be trade-offs between the production of
NWFPs and timber. As such, management practices designed to maximize
timber production may need to be modified to accommodate NWFP production.
Collection of some NWFPs, such as pine resins, may directly affect the quality
of timber as resin tapping can damage the cambium resulting in timber defects
(Miina et al., 2020). Where wild animals constitute an important NWFP,
maintaining their habitat quality may be a relevant consideration. Forest
management can also affect food availability for domestic animals that feed
in the forest on fallen fruit or grasses in silvopastoral systems. Some NWFP
species may have specific habitat or microclimate requirements for successful
regeneration, in which case it may be necessary to set objectives to maintain
such conditions.

Recommended requirements:
Minimum Good to have
• Objectives developed to ensure • Objectives developed to maintain
future availability of any NWFPs viable populations of NWFPs
valued by local communities. harvested by the forest manager
and local communities.

11.3. OBJECTIVES FOR ECOSYSTEM SERVICES

In addition to provisioning services in the form of forest products, forests
provide a range of regulating and supporting services. These include services
that are important at local levels (such as for mitigation of local floods and
shallow landslides) as well as those that have implications at larger scales
including water and climate regulation. They also include non-consumptive
resources such as landscape aesthetics and recreational opportunities.
HCV assessment results (Box 3) provide a useful basis for developing
environmental objectives. FSC has recently developed ‘Guidance for
Demonstrating Ecosystem Services Impacts’ (FSC, 2018), which includes
examples of SMART objectives for ecosystem services and provides verifiers
that can be used to demonstrate achievement.
 70 A guide to multiple-use forest management planning for small and medium forest enterprises

There is a growing market for regulating ecosystem services, particularly

for water regulation and carbon storage. However, due to economies of scale
as well as technical and administrative requirements involved in developing
viable PES projects, markets for PES may not be readily and easily accessible
to SMFEs. Secure tenure and the involvement of project developers who
can provide essential technical support and reduce transaction costs are
often necessary in setting up successful PES projects (Peters-Stanley and
Gonzalez, 2014). Nonetheless, there are some government-facilitated PES
schemes, such as tax breaks and payments for watershed conservation, that
even smallholders can take advantage of in some countries. Thus, it would
be in the interest of even small forest owners to be aware of the current and
future opportunities in this regard.

Recommended requirements:
Minimum Good to have
• Objectives developed for key • Objectives developed for
ecosystem services of known ecosystem services that are
concern to local communities. considered important at the local
and landscape levels, including
any identified HCVs.

11.4. OBJECTIVES FOR BIODIVERSITY

With the continuing loss of biodiversity being a key global issue and
considering that forests harbour most of the earth’s terrestrial biodiversity,
maintaining and enhancing biodiversity values in managed forests is a major
© CIFOR \Icaro Cooke Vieira

Community members
collecting bamboo
shoots in forest.
Setting management objectives 71

concern for forest management (Harrison et al., 2022). Biodiversity, which

includes diversity within and among species and ecosystems, forms the basis
of ecosystem services, and thus must be protected and sustainably managed.
Biodiversity conservation may comprise one of the objectives of forest
management, depending on: the scale of forest management; the presence of
critical habitats and species of conservation concern in the FMU; landscape
context; and the interactions between biodiversity and the local people.
It should be noted that biodiversity is particularly complex and costly to
monitor, and it is often difficult to link observed changes in biodiversity to
management actions (Harrison et al., 2022). For example, monitoring the
population of a certain fauna may not provide any actionable feedback to
the forest manager as the population size naturally fluctuates and is affected
by factors outside the control of the forest manager. Thus, in most cases,
biodiversity objectives relate to actions or conditions that are known to
have impact on biodiversity rather than the biodiversity itself. For instance,
an objective could be to protect small-scale critical habitats or conserve key
biodiversity resources (nest sites, feeding grounds, deadwood, old trees, etc.)
rather than to conserve or enhance populations of certain fauna or flora species.
An HCV assessment would include the identification of areas that should be
prioritised for biodiversity conservation and appropriate management actions.

Recommended requirements:
Minimum Good to have
• Objectives for biodiversity • Objectives for biodiversity
developed to protect any critical developed based on HCV
habitats, species of conservation assessment results. Objectives
concern and/or globally important should allow for periodic
areas for biodiversity identified monitoring that provides
in the FMU. Objectives should actionable feedback.
be described in simple terms and
allow for inexpensive monitoring
using local knowledge where
possible.

11.5. OBJECTIVES FOR THE PEOPLE

Social and cultural objectives relate to forest resources, sites, objects and
artefacts in the FMU that may be affected by forest management activities,
which are of social or cultural significance to local stakeholders (including
forest workers, their families, and members of the local community). Even
in the case of community-managed forests or individual ownership of a
forestland by a local community member, it is important to consider social
and cultural impacts of forest management on all local stakeholders, including
marginalized groups of people and those not directly involved in the forest
management or the sharing of economic benefits.
 72 A guide to multiple-use forest management planning for small and medium forest enterprises
Forests managed by Forest User
Groups in Mongolia providing
ecosystem services including water
regulation, biodiversity support and
landscape aesthetics.
©FAO/Kenichi Shono

Objectives for the people encompass those related to employment, including

the number of people employed by the FMU, terms and conditions of their
employment, the composition of employees, occupational training, and health
and safety of forest workers and nearby residents. It is also common for
forest lease agreements to include provisions for social services and facilities
for local communities.
In many societies, forest work has been segregated by gender, often on the
basis of unjustified arguments such as safety risks or requirement for physical
strength. Also, in many countries, men tend to be involved in harvesting of
forest products of higher value for shorter times requiring less travel distances
(Nzunda, 2022).
Objectives relating to gender equity may be needed where gender inequality
is an issue. These objectives could be in terms of gender composition of
employees as well as removal of barriers to employment of women (e.g. through
the provision of segregated bathing and sleeping facilities in forest camps).
Under community-based forestry,42 local people are intimately involved
in forest management activities that are practised on land under communal
tenure and requires collective action. Under such forms of forestry, social
and cultural objectives usually comprise key aims of forest management.
42
FAO originally adopted to the term “community forestry” to refer to “any situation
which intimately involves local people in a forestry activity”. The term “social forestry”
emerged concurrently, which has no clear definition but is used interchangeably with
community forestry by some. “Participatory forestry” is also used as a generic term to
denote the participation of stakeholders in forest management decision-making. FAO
uses the term “community-based forestry” as an umbrella description and includes
both collaborative regimes (forestry practised on land that has some form of communal
tenure and requires collective action) and smallholder forestry (forestry practised by
smallholders on land that is privately owned) (Gilmour, 2016).
Setting management objectives 73

©CIFOR/Axel Fassio
Mapping workshop
to develop a forest
management plan in
Ghana.

The targeted benefits for local communities may include income generation
from timber and NWFP production, fuelwood supply, fodder and shade
for livestock, health benefits, recreational, cultural and religious use, food
supply, and water regulation, among many others. Equitable sharing of
benefits and responsibilities is a critical aspect, which should be considered
in the objective setting process.
If the FMU provides resources of social and cultural value that are
important in the local context, objectives should be developed to ensure their
maintenance. It should be noted that some cultural services can be directly
monetized in some places, for example through access fees for recreational
use of forest and income from associated services (e.g. fees for car parking,
provision of accommodation, catering and sanitary services).

Recommended requirements:
Minimum Good to have
• Objectives developed for: 1) • Objectives developed for social
protection of forest resources and cultural values identified
and sites that are socially or through the HCV assessment (i.e.
culturally important to local HCV 5: community needs; and
stakeholders and that may be HCV 6: cultural values).
affected by forest management
activities; 2) health and safety
of forest workers; 3) social
contributions as required by
law or forest lease agreements;
and 4) social and cultural
aspects considered important by
community members (including
those members that are not
directly involved in forest
management).
74

12. Silvicultural plan

Silvicultural plan is a key component of the forest management plan, which

identifies the silvicultural system and activities to be implemented in
each compartment of the FMU. It comprises a planned set of silvicultural
interventions designed to achieve the desired stand characteristics and to
meet the identified production objectives. The silvicultural plan also forms
the basis of operational planning. There are often country-specific or forest
type-specific silvicultural guidelines available that may be helpful in designing
silvicultural regimes to optimize forest production.

12.1. DEFINING FOREST COMPARTMENTS AND STANDS

The FMU is normally divided into compartments, which is defined as “a

portion of a forest under one ownership, usually contiguous and composed
of a variety of forest stand types, defined for purposes of locational reference
and as a basis for forest management” (Helms, 1998). In smaller forest
holdings, it is possible for the FMU to consist of only one compartment.
Every compartment is managed under a specific silvicultural system, but it
may be composed of stands that are at different stages of forest development.
Forest stand is “a contiguous group of trees sufficiently uniform in age class
distribution, composition and structure and growing on a site of sufficiently
uniform quality, to be a distinguishable unit” (Helms, 1998). Based on the
forest inventory data or field observation, the forest manager must define
forest compartments and stands within the FMU, for which silvicultural
interventions are defined and scheduled.

Recommended requirements:
Minimum Good to have
• A hand-drawn map showing the • A digitized map showing the
compartments in the FMU, along location of all compartments and
with a brief general description of stands in the FMU, along with a
each compartment. description of each stand (e.g.
area, species, and management
history).

12.2. IDENTIFYING THE SILVICULTURAL SYSTEM

Silvicultural system is defined as “a planned series of treatments for tending,
harvesting, and re-establishing a stand” (Helms, 1998). The silvicultural system
is usually defined at the level of the compartment. Silvicultural systems are
Silvicultural plan 75

categorized by the number of age classes or the regeneration method (Table 9).
There are many variants within these broad categories of silvicultural systems,
and different terms may be used in various types of forests across the world.

Table 9. Broad categorization of silvicultural systems

Clearcut system The cutting of essentially all trees producing a fully exposed
microclimate for the development of a new age class. Regeneration
can be from natural seeding, direct seeding, planted seedlings or
advance regeneration (Helms, 1998).

Group selection Trees are removed and new age classes are established in small
groups. (Helms, 1998).

Seed tree system The cutting of all trees except for a small number of widely
dispersed trees retained for seed production and to produce a new
age class in fully exposed microenvironment (Helms, 1998).

Shelterwood The cutting of most trees, leaving those needed to reproduce

system sufficient shade to produce a new age class in a moderated
microenvironment (Helms, 1998).

Selection system Individual trees of all size classes are removed more or less uniformly
throughout the stand, to promote growth of remaining trees and
to provide space for regeneration (Helms, 1998). This can also be
referred to as continuous cover forestry.

A patch of forest
under clearcut
harvesting.

©Unsplash/Roya Ann Miller

76 A guide to multiple-use forest management planning for small and medium forest enterprises

Based on the selected silvicultural system, various silvicultural interventions

will be implemented to direct forest stand development to meet the production
objectives of forest management. The types and timing of silvicultural activities
required may vary among compartments and stands due to differences in
species composition, site index, and the intended product. For example, pruning
is not likely to be done if the wood is intended for chipping as there is no
need to produce knot-free stems. The most common silvicultural activities are
described in Table 10. As some of the interventions are costly, it is important
to evaluate the costs and benefits of each intervention.

Table 10. The most common silvicultural activities

Site preparation Hand or mechanized manipulation of a site that is designed to

enhance the regeneration success (Helms, 1998). Treatments may
include bedding, burning, chemical spraying, chopping, disking,
drainage, raking and scarifying designed to modify the soil, litter or
vegetation.
Planting or direct The planting of seedlings (usually grown in a nursery) or the sowing
seeding of seeds. Fertilizer may be applied to increase growth rate or
overcome nutrient deficiency in the soil (Helms, 1998).
Enrichment Interplanting to improve the percentage of desirable species or
planting genotypes or to increase biodiversity (Helms, 1998). Enrichment
planting is often used to increase the density of commercial timber
species that have been removed by harvesting. This can be done
through generalized planting throughout an area, in strips or in
canopy gaps created by harvesting of individual trees.
Weed control A release treatment in stands not past the sapling stage that
eliminates or suppresses undesirable vegetation (Helms, 1998).
Coppice singling Reduction of the number of shoots arising from a single stump,
or reduction eventually leaving one well-growing stem of good form.
Pruning The removal, close to the branch collar or flush with the stem, of
side branches (live or dead) and multiple leaders from a standing
tree. Pruning is normally done on plantation trees to improve
the tree or its timber, or on urban or rural trees, to improve their
aesthetics or health (Helms, 1998).
Thinning The removal of trees to reduce stand density primarily to improve
growth, enhance forest health, or recover potential mortality
(Helms, 1998). Often, more trees are planted or allowed to develop
initially than will be present in the mature stand; this helps to
produce tall straight trees without side branches. Stands are then
thinned to reduce competition and remove the less desirable
individuals (with defects or of lower commercial value).
Liberation A treatment made in a stand not past the sapling stage to free
the favoured trees from competition with older, overtopping
trees (Helms, 1998). Liberation is usually applied under individual
selection systems to enhance the growth of future crop trees.
Creepers may also be cut as part of liberation treatment.
Silvicultural plan 77

Recommended requirements:
Minimum Good to have
• Silvicultural system selected for • Silvicultural system for each
each compartment and described compartment described based
based on traditional or common on scientific evidence and expert
knowledge. knowledge.

12.3. SCHEDULING OF SILVICULTURAL OPERATIONS

The scheduling of forest management activities that will be carried out to
implement the specified silvicultural system will vary among compartments
and stands due to differences in the management objective, stage of forest
succession or stand age, species composition, site growing conditions, etc.
Natural disturbances can also affect the scheduling of silvicultural activities.
For example, a prolonged drought may slow tree growth and consequently
delay thinning and final harvest. On the other hand, a severe storm that
blows down many trees may bring forward the timing of final harvest in a
clearfelling system or require salvage harvesting followed by interventions
to assist forest recovery.
The annual plan of operations specifies the set of silvicultural activities
that need to be implemented in each compartment each year (Table 11).

Table 11. Planning of silvicultural activities in a year under a group selection

system

Compartment no. Activity

1 Final felling of three stands established in 1950.
Scarification of soil in the felled area to encourage natural
regeneration.
4 Pre-commercial thinning of the stand established in 2010.
5 Weed control in the stand established in 2019.
9 Pruning of trees in stands established in 2005.
Weed control in stands established in 2019.
11 Felling of fire-damaged trees replanting with a mixture of suitable
species.
19 Sanitary cleaning of exotic species from the set-aside area.

It is necessary to understand what silvicultural activities will be required

each year as the costs associated with these activities must be covered by
investment and income generated from the forest. Usually, some flexibility
can be accommodated in the scheduling of silvicultural activities depending
on the availability of labour and financing without significantly affecting
long-term production.
 78 A guide to multiple-use forest management planning for small and medium forest enterprises

©CIFOR/Axel Fassio
Forest stands
at different
silvicultural
stages.

Recommended requirements:
Minimum Good to have
• Schedule of planned silvicultural • Schedule of planned silvicultural
activities documented up to at activities up to the end of the
least the next revision of the current forest management
forest management plan. period together with
compartment records describing
the previous silvicultural activities
carried out.

12.4. HARVEST PLANNING

Harvest planning involves the selection of methods for tree felling, bucking,
transportation of felled trees to landing, and loading of logs onto final
transport. There are many options for how these activities can be conducted
and numerous ways in which the different methods can be combined (Table 12).
Silvicultural plan 79

Table 12. Various ways in which timber can be felled, cut to length, moved to
forest landing and loaded for transport

Tree-felling methods Bucking 43 methods Transport from Loading onto final

stump to landing transport
• Axe • Manual sawing • Manual carrying • Manual loading
• Manual sawing • Power sawing • Cable hauling • Loading with an
• Power sawing • Harvester cross- with mobile excavator
cutting equipment • Loading with a
• Harvester head (tractor, grapple head
• Feller-buncher bulldozer or (on agricultural
skidder) tractor,
• Harvester felling
• Cable hauling dedicated
along the machine or a
ground with truck)
stationary • Bunching
equipment grapple for
• Aerial cable multiple logs
hauling
• Forwarder
• Helicopter
carrying

43
Bucking refers to sawing of felled trees into shorter lengths (Helms, 1998)

Community members
manually carrying
timber to forest log
landing.

©CIFOR/Fiston Wasanga
 80 A guide to multiple-use forest management planning for small and medium forest enterprises

The details of harvesting are planned shortly before the work is carried out.
This is because there may be changes in field conditions, methods and available
equipment, which cannot be predicted at the time of forest management
planning. However, the forest management plan should describe the general
harvesting plan including expected methods to be used from felling to transport
to ensure efficient, safe and environmentally-friendly harvesting operations.
Harvest planning should consider seasonal and weather-related restrictions
on harvesting, methods for harvesting on steep slopes, management of waste
material, prevention of damage to the residual stand, and worker health and
safety.
Tree felling is one of the most dangerous of all forest management activities.
Hazards associated with felling a tree affects not only the person doing the
felling but also other harvesting crew in the vicinity. Harvesting can also
cause damage to other trees around the harvest tree, which may be struck
by the falling tree or be pulled down due to lianas. There are also injury
risks associated with the use of heavy machinery. If the harvesting involves
dragging logs with cables, there are risks of breakage or slippage of cables or
of their anchoring points as well.
The level of hazard varies according to the site conditions, with work on
steep slopes being particularly dangerous. Many countries have regulations or
industry codes of practice with regards to harvesting on slopes, including slope
thresholds for certain types of forest management activities and machineries.

©CIFOR/Axel Fassio

Primary
processing of a
log in the forest.
Silvicultural plan 81

Forestry machineries themselves will also have designed operating limits

set by manufacturers including gradients for moving across and up or down
slopes (Lundbäck et al., 2021; ILO, 1998).
To reduce these hazards, it is vital that safe harvesting methods and
thresholds are defined and followed, and that the harvesting process is planned
in sufficient detail. Occupational health and safety training and provision
of proper personal protective equipment are also critical aspects in reducing
hazard risks.
Smallholding forest owners often sell their timber standing, in which case
the buyer is responsible for planning and carrying out the harvest. Even in
such cases, it is necessary to ensure that harvest planning is done to avoid
unnecessary damage to the forest.
Harvesting and transport are costly activities, and different harvesting
methods have vastly different capital and operational costs associated with
them. Harvesting is likely to have at least a short-term impact on the cash
flow of the forest enterprise although revenues from the sale of harvested
timber normally arrive shortly after harvest. This is another reason harvest
planning is critical as the expected costs of harvesting need to be integrated
into the business plan (described in Chapter 15).

Recommended requirements:
Minimum Good to have
• Expected harvesting methods • Harvesting activities scheduled
described (including tree felling, and costed for the current forest
bucking, transport from stump to management period.
landing, and loading on the final • Required training, supervision
means of transport). and personal protective
• Harvesting costs roughly equipment to ensure worker
estimated. safety during harvesting
• Necessary measures to ensure identified and included in the
worker safety during harvesting harvesting plan.
identified and included in the
harvesting plan.

12.5. NON-WOOD FOREST PRODUCTS PLANNING

NWFPs are extremely diverse and vary widely in the types, species and parts
of plants and animals utilized among the different countries and localities. For
certain NWFP species, there is some knowledge on how forest management
practices can influence their yields and regeneration. For example, production
of some berries in boreal forests may be significantly increased under a
more open canopy and by having longer forest rotations (Miina et al., 2010).
Lactarius deliciosus (commonly known as saffron milk cap or red pine
mushroom) on the other hand are more productive in younger stands of
Pinus pinaster in Spain (Taye et al., 2016).
In many parts of the world, however, the management of NWFPs tends
to be rather unregulated. Little is known about their sustainability, volume
82 A guide to multiple-use forest management planning for small and medium forest enterprises

of harvest, economic value and contributions to local livelihoods. For this

reason, realizing a multiple-use approach that optimizes the management of
timber and NWFPs within the same FMU remain a challenge particularly
in developing countries (Blaser, Frizzo and Norgrove, 2021). In these cases,
it is necessary to adopt adaptive management approaches to determine what
management interventions may help sustain NWFP yields and to establish
sustainable harvesting levels and practices. In Box 6, general considerations
for sustainable harvesting of the main categories of NWFPs are presented.

Recommended requirements:
Minimum Good to have
• The types and quantities of • The availability of intensively
NWFPs collected in the FMU utilized NWFPs monitored
monitored in collaboration through surveys in the forest.
with local communities where • Best practices for harvesting and
appropriate. management of NWFPs identified
• Periodic consultations with local and included in the silvicultural
NWFP collectors conducted to plan.
understand the trends in the • Actions to ensure the achievement
availability of NWFPs in the of both timber production and
forest. NWFP objectives identified in case
there are significant interactions
between these objectives.

12.6. ASSOCIATED FOREST MANAGEMENT ACTIVITIES

There may be other forest management activities that support, but are not
directly part of, silvicultural operations and harvesting. These activities may
include: maintaining buildings, roads, buildings and other infrastructure;
procuring materials, machineries and equipment; and establishing and
operating a tree seedling nursery. Plans for these activities and procurement
can be included in the silvicultural plan or comprise a standalone section of
the forest management plan.

Recommended requirements:
Minimum Good to have
• Key production-related forest • Key activities identified in the
management activities that are minimum requirement also
not described in other sections scheduled.
of the forest management plan
briefly described and roughly
costed.
Silvicultural plan 83

Box 6. Considerations in sustainable harvesting of

different categories of NWFPs

Leaves
• How to reduce damage to reproductive structures, growing points,
branches, bark and trunks.
Exudates
• How to avoid girdling the tree or over-damaging stemwood.
• If making incisions or holes in the tree, setting standards on the
minimum and maximum height on the tree where incisions/holes
are made, as well as the size, length, depth and pattern of the
incisions/holes.
Bark
• How to avoid girdling the tree or over-damaging the cambium
(the thin inner layer from which new bark is produced).
• Setting standards on the minimum and maximum height on the tree
where the bark is removed, the depth of the cut, the percentage
of the total girth removed, the equipment used, and treatment
of the wound after the cut.
Roots
• Deciding on which part of the root, rhizome, culm or bulb to
remove (e.g. lateral rather than taproot), and how to remove it
without causing unnecessary damage to the plant.
• Stems/apical buds
• How to reduce damage to the root base or to immature stems
and shoots.
Fruits
• How to reduce damage to reproductive structures, growing points,
branches, bark and trunks.
• How to avoid harvesting of unripe fruit.
Fungi
• How to minimize trampling of soil or disturbance of the leaf litter
layer, which may damage the underground mycelial colony.
Honey
• How to avoid harvesting immature honey, killing the larvae or
flaming the hives.

Source: Stockdale, M. 2005. Steps to sustainable and community-based NTFP

management - a manual written with special reference to South and
Southeast Asia. Quezon City, the Philippines, NTFP Exchange Programme
for South and Southeast Asia. https://ntfp.org
84

13. Ecosystem services and

biodiversity management
plans

If objectives for ecosystem services and biodiversity are determined as relevant

for the FMU, it is necessary to develop a plan to ensure the achievement of
these objectives. These plans should complement the silvicultural plan and
be integrated into the overall forest management plan including the business
plan. It is likely that there will be trade-offs among the objectives for forest
production and ecosystem services. These trade-offs must be managed to
optimize the balance of forest products and services based on the identified
objectives of forest management.
If an HCV assessment has been undertaken, the assessment report will
have identified and mapped all HCVs present in the FMU accompanied by
HCV management and monitoring plans. This may replace the need for
specific management planning for ecosystem services.

13.1. ECOSYSTEM SERVICES PLANNING

Forests provide a range of regulating ecosystem services (as described in

Sections 8.4.4), and planning should be in place to maintain ecosystem services
for which objectives have been developed under Section 11.3. It is not possible
within the scope of this guide to provide specific guidance on planning
for the wide range of ecosystem services. In this section, we provide some
general guidance on planning for water regulation service as it is often the
most recognized and easily understood forest ecosystem service of concern
to neighbouring communities.
Forests impact water supplies through two main processes. First, trees
consume water through evapotranspiration, which fall back to the ground
in the form of precipitation. Second, trees increase the rate at which water
enters the soil (Restiani, Malmer and Van Hensbergen, 2014). Through these
processes, forests can attenuate peak flows, recharge ground aquifer, and
mitigate water-related disasters such as floods and landslides.
The quality of water in streams is dependent on erosion occurring in
upstream catchments and the amount of sediments that reach the streams.
Thus, the ability of vegetation to stabilize slopes, reduce the amount of runoff
and to slow runoff to enable suspended material to be deposited or filtered
Ecosystem services and biodiversity management plans 85

contributes to maintaining water quality. In well-managed forests, the amount

of erosion in forest stands is typically low, but erosion from forest roads can
be high. As roads are the most significant source of sediments in a managed
forest, forest roads must be appropriately designed, built and maintained
(and closed when no longer needed) to minimize the severity and duration
of impact on water quality. Proper design of stream crossings is also critical.
The management of water quality within the FMU should focus on three
key principles (FAO, IUFRO and USDA, 2021):
1. Minimize soil compaction, which reduces water infiltration. This may
require reducing or eliminating the use of heavy equipment, limiting
forest operations to periods when the soil is less prone to compaction,
and developing road networks to reduce off-road activities of heavy
machines.
2. Minimize soil erosion due to surface waterflows. This may require
avoiding timber harvesting on steep slopes; reducing the size of patch
cut area, and constructing and maintaining roads using best practices
(e.g. construction of proper stream crossings, use of culverts and side
drains, etc.).
3. Maintain appropriate natural vegetation buffers along streams and
other water bodies. This is to ensure continuous tree canopy and litter
cover, which reduces erosion, traps sediments, and minimizes water
temperature fluctuations. As a rule of thumb, the width of the buffer
zone on each side should be at least equal to the width of the stream.

A poorly constructed
stream crossing in a
logging concession
resulting in significant
erosion

©FAO/Kenichi Shono
 86 A guide to multiple-use forest management planning for small and medium forest enterprises

Often, there are national regulations in place regarding protection of

rivers, wetlands and other waterbodies with specifications of buffer zones
and management prescriptions.

Recommended requirements:
Minimum Good to have
• Management prescriptions • HCV management plan providing
specified for objectives related to the basis for ecosystem services
water quality and other ecosystem management.
services.
• Plans in place to ensure
compliance with regulations
related to environmental
protection.

13.2. BIODIVERSITY PLANNING

Setting aside areas of natural forest representing each type of ecosystem

present in the FMU plays a key role in maintaining overall biodiversity.
In many countries, there are national regulations that require setting aside
a certain portion of the FMU (e.g. 15 percent) for conservation purposes,
including for biodiversity. In some cases, this may also entail enlarging and

Native forest vegetation

maintained for biodiversity
conservation and other
ecosystem services within a
forest plantation.
©Zig Koch/Klabin
Ecosystem services and biodiversity management plans 87

restoring natural areas through planting or natural regeneration. Reducing

habitat fragmentation and ensuring connectivity between natural areas in
the FMU and the wider landscape will facilitate species movement and help
maintain populations and their genetic diversity.
Forests at different successional stages support different assemblage
of animals and plants, and maintaining this successional mixture, either
naturally or through silvicultural activities, benefits biodiversity (Harris,
1984). Forest management practices such as selective logging, thinning,
prescribed burning, mowing and coppicing can increase the heterogeneity of
tree communities, thereby helping to enhance the diversity and abundance
of pollinators (Krishnan et al., 2020).
Planted forests, especially monoculture plantations of exotic tree species,
usually support lower levels of biodiversity composed of a limited variety
of generalist species. Maintaining patches of natural forests in these planted
forests can improve their biodiversity value. Natural forest set-asides and
buffer zones within forest plantations also serve key functions in mitigating
wildfire as natural forests burn less easily than plantations, thus helping to
slow or prevent the spread of fire if appropriately designed. Such areas of
natural vegetation can also contribute to pest management by hosting natural
predators of forest plantation species.
Other measures to mitigate the impact of forest management activities
on biodiversity include: 1) protecting key biodiversity resources such as rare

An old tree providing

microhabitats and
structures for a wide
range of plants and
insects.

© FAO/Martín Zamit Menéndez.

88 A guide to multiple-use forest management planning for small and medium forest enterprises

plants, nest sites, large trees, hollow trees, dead wood, fruit trees and seed
sources; 2) sustainably managing timber and NWFP species; 3) mitigating
the impact of forest harvesting through reduced impact logging; 4) avoiding
disturbance to species during critical times in their life cycle; 5) controlling
invasive species; and 6) protecting forests from illegal and unauthorized
activities (Harrison et al., 2022).

Recommended requirements:
Minimum Good to have
• Simple and practical measures • Appropriate measures identified
to prevent negative impacts on to prevent negative impacts on
biodiversity identified according species of conservation concern,
to the biodiversity objective. critical habitats and the overall
biodiversity in the FMU and the
surrounding landscape according
to the biodiversity objective and
the HCV management plan.
 89

14. Social and cultural services

plan

If social and cultural objectives have been developed, a plan of measures to

achieve these objectives must be included in the forest management plan. These
measures should aim to maintain and minimize the impact of forest operations
on these areas and objects in cooperation with the local communities. Effective
engagement and communications with the local communities form the basis
of successfully managing social relations.
Social management activities may be as simple as allowing access to the
forest or involve more complex processes (such as setting up a grievance
mechanism). Potential social and cultural management measures include:
• continuous communications with the local communities (via print media,
digital communications, village meetings, etc.);
• including areas of social and cultural importance in conservation set-
asides;

A forest of cultural
and religious
importance.

©Unsplash/Jeremy Bezanger
 90 A guide to multiple-use forest management planning for small and medium forest enterprises

• restoration of degraded and previously damaged areas;

• reducing the environmental impact of forest harvesting;
• appropriate infrastructure planning to avoid damaging areas and resources
of social and cultural value;
• scheduling of operations (e.g. to minimize disturbance to lifecycles of
critical NWFPs);
• allowing public or selective access to the forest for various purposes;
• controlling illegal activities (e.g. encroachment, poaching, and
unauthorized harvesting);
• agreeing with the local communities on sustainable hunting and fishing
methods;
• developing consensus on customary tenure claims and setting rules on
resource use;
• establishing a grievance mechanism; and
• supporting community development and alternative livelihoods in
cooperation with local government and NGOs.
In addition to social and cultural resources directly used by communities,
recreational services of forests are becoming increasingly recognized across the
world. They may include both intensive (e.g. forest playgrounds, campsites)
and extensive (e.g. walking, hiking, horse riding, and mountain biking) forms
of forest recreation and ecotourism. Management planning for high intensity

Recreational use
of forest at Kakum
National Park, Ghana
©Unsplash/Hello Lightbulb
Social and cultural services plan 91

forest recreation includes identifying the locations and defining technical

specifications of access roads, parking areas, play equipment, footpaths,
sanitary facilities and catering. Plans may also address security, fire prevention,
nature education and interpretation (Douglass, 1982). Even for extensive use
areas, it is likely that management actions, such as providing parking facilities,
maintaining footpaths and properly constructing river crossings to prevent
environmental damage, will need to be specified.
It should be noted that social and cultural management activities may
require financial contingencies. On the other hand, recreational use presents
opportunities to generate income. These financial implications must be
included in the business plan.

Recommended requirements:
Minimum Good to have
• Simple measures to achieve social • A plan of actions to address social
and cultural objectives identified. and cultural objectives identified.
At a minimum, these should These should include continuous
include making neighbours and social engagement with local
local communities aware of the communities and the protection
forest manager’s intentions in of critical social and cultural
relation to forest management. resources.
• Documented process in place
and records maintained on
communications with local
stakeholders.
• A process in place to negotiate
and agree on any verified or
claimed customary tenures within
the FMU.
92

15. The business plan

Forest management activities, with their associated social and environmental

benefits, will only be maintained if the income from the forest meets the cost
of forest management. Thus, a forest management plan must include a viable
business plan, which presents the business concept and its aims, and describes
how they will be reached in a systematic way. Boscolo, Lehtonen and Pra
(2021) break down the process of developing a bankable business plan into the
following ten modules:
1) evidenced business idea;
2) committed and competent management and organization;
3) market outlook;
4) scalable production assets;
5) assessment of market participants and marketing strategy;
6) applied technologies and logistics;
7) assessment of business environment and legal issues;
8) financial analysis;
9) compliance with environment, social and governance criteria; and
10) risk assessment.
It is beyond the scope of this guide to cover the process of business planning
in detail. Readers are referred to an FAO learning guide44 (Boscolo, Lehtonen
and Pra, 2021) and an associated e-learning course,45 which have been developed
to assist smallholders, producer organizations and enterprises in preparing
bankable business plans. In this section, we provide general guidance on
some of the key elements of a business plan, including: business organization;
products and markets; estimation of cost and income; and cash flow analysis.

15.1. BUSINESS ORGANIZATION

A central aim of a business plan is to demonstrate the organizational sustainability

of the planned business (Boscolo, Lehtonen and Pra, 2021). To do so, a business
plan must include information on the organizational structure with defined
roles, responsibilities and the required skills and expertise of those who will be
involved in running the forest business. This can be shown in an organogram
(Figure 18) which visually presents the structure, positions and hierarchy of the
organization together with a description of responsibilities for each identified
position. It is important to ensure that as many of the community members
are employed by the enterprise as possible (unless in the case of a community-
based operation run by the community members themselves).
44
www.fao.org/3/cb4520en/cb4520en.pdf
45
https://elearning.fao.org/course/view.php?id=931
The business plan 93

Figure 18. A sample organogram for a medium-sized forest operation

Source: Authors’ own elaboration.

Recommended requirements:
Minimum Good to have
• A simple organogram of the • Organogram including the roles,
forest business, including the responsibilities and the required
roles and responsibilities of key skills of all positions in the
positions in the organization. organization.
• Employment related targets
in relation to social objectives
included in the business plan
(e.g. composition of employees,
occupational training, worker
health and safety).

15.2. PRODUCTS AND MARKETS

Market assessment plays a critical role in ensuring continued success of
the forest enterprise as it defines the desired product volume, quality and
characteristics. It also identifies market channels and point of sales, as well
as labelling and packaging requirements. The market also defines the existing
and potential scale of the business and consequently the scale of the investment
(Boscolo, Lehtonen and Pra, 2021).
Once the desired mixture of products is determined, silvicultural regime
can be developed to produce these products at the required timing. Various
products can be produced from similar forest stands depending on the
silvicultural regime. For example, a forest stand intended for pulpwood
production will be managed on a short rotation without pruning. On the
other hand, the silvicultural regime aimed at producing larger diameter timber
for sawlogs or veneer logs will have longer rotation period with successive
thinning operations to optimize timber quality.
 94 A guide to multiple-use forest management planning for small and medium forest enterprises

The identification of products and markets, as well as subsequent financial

analysis, also apply to NWFPs and ecosystem services that the forest manager
may be interested in marketing.

Recommended requirements:
Minimum Good to have
• Markets for the main forest • Markets for all relevant forest
products identified and products and services identified
described. and described, including their
• Market requirements in terms of market channels.
timber volume and properties • Market requirements for all
(species, dimensions and quality) relevant forest products and
identified and considered in services considered in silvicultural
silvicultural planning. planning.

15.3. ESTIMATING COSTS

Forest management entails a wide range of costs, including those associated
with labour and materials required for silvicultural activities, infrastructure
maintenance, disaster preparedness, management supervision, planning and
monitoring, and regulatory compliance. There may also be costs associated
with social responsibility programmes and environmental protection.
There are fixed and variable costs in running a business. Fixed costs are
those that do not change based on production output. In forestry, fixed costs

Recently thinned community forest in

Mongolia. Harvested poles were used as
fuelwood and to produce handicrafts
©FAO/Kenichi Shono
The business plan 95

may include land rent, salaries of permanent staff and the costs of maintaining
infrastructure. Variable costs, on the other hand, change according to the
scale of production or operations (e.g. costs of raw materials, consumables,
labour, transport and energy), and are normally expressed as cost per unit of
production. In many countries, forest research organizations and forest owners’
associations provide estimates on the variable costs of forest operations. For
SMFEs, the labour costs may constitute time investment by the forest owner
and family, which are reclaimed as income from the profits of the operation.

Recommended requirements:
Minimum Good to have
• Major fixed and variable costs of • Annual accounting and
forest management estimated scheduling of fixed and variable
for the duration of the forest costs (including social and
management plan. environmental management costs)
developed covering the duration
of the forest management plan.

15.4. ESTIMATING REVENUES

The income of the FMU may come from a variety of sources, with timber
commonly being the main source of revenues. In many cases, a variety of
NWFPs are also harvested and their value may occasionally exceed the timber
value, for example when high-value fungi are in abundance. In addition, there
may be PES and recreational access fees that contribute to the income stream.
For planning purposes, annual revenues should be estimated based on the
expected yields of timber assortment and/or NWFPs using product prices
gathered through market analysis (Section 9.4). Products are sold at different
points of the value chain. For example, trees can be sold standing, at the farm
gate, collection yard or at processing facilities. In estimating revenues, it is
therefore essential to specify the price to be paid given the product type, species,
quality and dimensions, as well as how and where the product will be sold.

Recommended requirements:
Minimum Good to have
• The expected revenues from the • The expected revenues from
sale of major forest products the sale of all major forest
estimated for the duration of the products estimated annually
forest management plan using for the duration of the forest
planned volume of products to management plan.
be sold and their average selling
price.
• The timing of sales of these forest
products planned.
96 A guide to multiple-use forest management planning for small and medium forest enterprises

15.5. CASH FLOW ANALYSIS

A key component of the business plan is an estimate of cash flows46 with
clearly evidenced underlying assumptions such as product prices, volumes,
costs and risks.
As forest management is a long-term activity, profit may not be realized
every year or during the early years of the management period. Some forests
require many years of investment before they become profitable. However,
the eventual financial return must cover the costs of investment and return a
profit.47 For those periods when the costs exceed the income, it is necessary
to have sufficient financial resources to cover the deficit. The cumulative
financial position at a given point in time determines the amount of finance
that is required to continue running the forest enterprise.
The overall profitability of the forest investment is usually calculated as
the internal rate of return (IRR), while the net present value (NPV) represents
the value of all future cash flows generated through the investment. These
calculations can be handled using a spreadsheet (Table 13) but require
understanding and knowledge of basic financial analysis. FAO’s RuralInvest
software may present a viable solution for running a cash flow analysis (Box 7).

Table 13. A portion of a spreadsheet showing NPV and IRR for a forest stand
managed on a 40-year rotation

(USD) Total Year 1 Year 2 Year 3 Year 4 Year 5 Year

6~
Cost 14 667 2 037 250 170 517 970 …
Income 48 400 0 0 0 0 0 …
Cash flow -2 037 -2 287 -2 457 -2 973 -3 943 …
Annual -2 037 -250 -170 -517 -970
income

NPV 8 160 10 442 11 005 11 505 12 367

IRR 6%

Notes: The cash flow position at the end of each year is indicated. During the 40-year rotation, the
worst cash flow position occurs at year 18, and the cash flow does not turn positive until after the
second commercial thinning in the 29th year. This evaluation uses nominal values and does not
consider potential increases in labour costs or timber value. Discount rate is set at 3 percent.

46
Cash flow refers to the net amount of cash and cash equivalents being transferred in and
out of a business.
47
In some cases, forests are managed for non-financial benefits including ecosystem
services that are not monetized directly. In such cases, investment in forest management
may result in net financial losses which are compensated by societal values for which the
forests are managed.
The business plan 97

In the absence of a cash flow analysis, the profitability of forest management

can be estimated with simple calculations of the expected costs and incomes
over the rotation period (Table 14). This approach is probably adequate for
small forest owners who are not seeking investment or financing.

Box 7. FAO RuralInvest software for financial calculations

RuralInvest is a free toolkit designed to support field technicians in their

work with entrepreneurs by allowing the systematization and development
of bankable and sustainable business proposals.
The toolkit comprises user-friendly software, an e-learning course,
tailored face-to-face training, user manuals and a worldwide community
of users. Through a participatory and bottom-up approach, RuralInvest
methodology brings together local communities, rural entrepreneurs,
government field technicians, project staff and financing institutions to
identify, prepare, evaluate and finance small and medium sustainable rural
investment projects.

Source: FAO. 2023. RuralInvest: Fostering Access to Finance for Small-scale

Entrepreneurs. Rome. [Cited 1 February 2023]. https://www.fao.org/
in-action/ruralinvest/en/
98 A guide to multiple-use forest management planning for small and medium forest enterprises

Table 14. Simple cost and income analysis for a 1-ha forest stand over a
40-year rotation period

Cost item USD

Labour 12 667
Establishment 267
Tending 4 000
Protection 1 600
Pruning 400
Thinning 800
Brashing & roading 5 600
Equipment and materials 800
Equipment cost 250
Seedling cost 300
Fertilizer 250
Management overhead 1 200
Total costs 14 667
Income from timber sales 48 400
Profit margin over 40 years 33 733

Notes: Labour costs account for most of the overall cost. ‘Tending’ includes work on the site such as
weed control as well as off-site work such as maintenance of fences and firebreaks. The evaluation
is based on nominal prices.

Forest restoration is currently receiving strong international and government

attention due to the importance of forests as a response to climate change
and for biodiversity conservation. There are often subsidies available for
non-government entities, including communities and private forest owners,
that may cover all or part of the initial costs involved in restoration. If such
subsidies are available, they should be accounted in the cash flow analysis in
the year in which they will be received.

Minimum Good to have

• Simple cost and income analysis • An analysis of profitability and cash
conducted to demonstrate flow by year for the duration of the
that the income exceeds the management plan developed.
costs at the end of the forest • Sources of financing identified for
management period. any required investment.
 99

16. Abnormal events and

disasters

There will always be chances of unexpected events occurring, from accidents

to extreme weather events. It is simply not possible to build in complete
resilience to all hazards. Therefore, being prepared for disasters is a crucial
aspect of forest management planning. This includes planning for four types
of actions: prevention/mitigation; preparedness; response; and recovery
(Table 15).

Table 15. Examples of prevention, preparedness, response and recovery

actions to hazardous events

Prevention Preparedness Response Recovery

• Safety training • Training on • Withdrawing • Repairing
for forest emergency unneeded affected
workers response personnel from infrastructure
• Reducing worker • Maintaining the forest • Restoring
exposure to access roads • Evacuating damaged forests
hazards • Knowing how to injured people • Salvage
• Monitoring contact local civil • Summoning harvesting of
of weather authorities help from civil timber
conditions • Ensuring that authorities • Revision of
• Prescribed all equipment • Activating the forest
burning to needed for response actions management
reduce fuel load response plan considering
is working the losses
properly

16.1. EXTREME WEATHER EVENTS

Extreme weather events include storms, heavy precipitation (rain, snow,

and hail), heat waves and cold waves. These conditions can trigger natural
disasters such as floods, droughts and landslides. Extreme weather and
associated disasters may also weaken trees, making them susceptible to pest
and disease outbreaks.
The design of the FMU in terms of silvicultural regime, planting design
and the choice of species can be of relevance in mitigating the impacts of
extreme weather events. For example, the pattern of harvesting and thinning,
both in natural forests and plantations, can be arranged so that stands are
not destabilized and that susceptible stands are protected by intact forests
surrounding them.
 100 A guide to multiple-use forest management planning for small and medium forest enterprises

Storms, floods and fires can cause severe and extensive damage to forests,
resulting in loss of large volumes of timber. In some case, damaged or fallen trees
can be salvaged for commercial use as part of recovery action. Contingency
plans for these disasters should be in place well before they occur as such
recovery actions must be completed within weeks or at the most a few months
following the event.

Recommended requirements:
Minimum Good to have
• Required actions to prepare for, • A preparedness, response and
respond to and recover from recovery action plan for natural
the most likely natural disasters disasters with higher frequency
identified. and more severe impacts
• A process in place to revise the developed (and reflected in
forest management plan when silvicultural and business plans
a disaster causes severe damage accordingly).
to the forest, infrastructure or
humans that may prevent forest
management objectives from
being achieved according to the
existing plan.

Damaged coconut
plantation to be
salvage harvested.
© FAO/Sasha Guyetsky
Abnormal events and disasters 101

16.2. FIRES
Catastrophic forest fires are becoming a frequent and extremely damaging
disaster in many parts of the world. Severe fires can completely destroy forests,
and even moderate fires may damage trees resulting in loss of economic value.
Fires also threaten lives and property in and around the FMU affecting the
forest business in many ways. Smoke from fires can have adverse health
impacts even on people living at a distance from the FMU, causing respiratory
illnesses that could even lead to death. On the other hand, fires are a part
of the natural disturbance regime necessary to ensure forest regeneration in
certain forest types. Thus, forest fire management should aim to minimize
losses while allowing fire to play its natural ecological role where appropriate.
Forest fire risks can be significantly reduced through an integrated
approach to fire management which includes five key elements as follows: 1)
review (monitoring and analysis); 2) risk reduction (prevention); 3) readiness
(preparedness); 4) response (suppression); and 5) recovery. Forest managers
have important roles to play in all these elements.
Fire management planning spans the overall forest management and
operational planning. The forest management plan should address forest
design aspects that affect fire risks such as the layout of compartments, areas
of natural vegetation in planted forests, and firebreaks. Silvicultural aspects
such as tree spacing, pruning, fuel reduction by litter or weed removal or by

Forest fire caused by

human activity

©FAO/Luis Tato
102 A guide to multiple-use forest management planning for small and medium forest enterprises

prescribed burning also need to be considered. Fire control infrastructure such

as roads and water supplies must be identified and installed, and firefighting
equipment made available. There are also regular activities such as preparing
and maintaining firebreaks that should be included in the annual plan of
operations.

Recommended requirements (if there is a known fire risk in the area):

Minimum Good to have
• Necessary fire mitigation • Fire mitigation measures
measures (e.g. firebreaks identified and integrated in the
and an early warning system) silvicultural plan (e.g. stand design,
identified and put in place. fuel reduction, and firebreak
• Awareness of how to summon establishment and maintenance).
help in fire control when • Fire preparedness and response
needed. plans developed, regularly reviewed
and updated.
• Fire control crews trained and
equipped prior to each fire season.

16.3. PESTS AND DISEASES

Insect pests, diseases and other biotic agents can adversely affect tree growth
and the yield of timber and NWFPs. Therefore, measures to protect forests
from pests and diseases are an integral part of sustainable forest management
(FAO, 2009). These measures may include silvicultural prescriptions aimed
at either reducing the incidence of the pest and disease or at producing
environmental conditions that make it difficult for them to survive, reproduce
and travel. The ability of trees to defend against pest and disease becomes
weakened when they are unhealthy. Thus, silvicultural interventions to keep
trees health may help to ward off pests and diseases. While more information
is available on pests and diseases affecting commercially planted trees in
industrialized countries, little is known of pests associated with trees harvested
from natural tropical forests.

Recommended requirements:
Minimum Good to have
• Common pests and diseases in • Silvicultural interventions designed
and around the FMU identified to minimize risks of pest and
• Necessary measures identified disease outbreaks.
and implemented to prevent • Operational monitoring in place to
or control outbreaks if these enable early detection of pests and
species show signs of becoming diseases.
problematic.
Abnormal events and disasters 103

16.4. ACCIDENTS AND THEIR PREVENTION

Forestry work is among the most dangerous occupations due to the use of
heavy machinery and sharp cutting tools in a natural environment that is
highly variable both in time and space. For example, soil conditions will
change depending on the weather, and soil properties will vary from one
place to another in the forest.
While some forest hazards are associated with the nature of the location,
others occur due to the nature of the work. The first type of hazard can
be mitigated to a certain extent during forest management planning by
identifying and excluding areas that are too dangerous for forest management
activities (e.g. steep slopes or slopes with soils prone to movement). Limits
can also be placed on weather and field conditions that are considered safe
for forest operations. The second type of hazard can be mitigated through
the provision of proper personal protective equipment, training on safe
operational practices, and adequate supervision to ensure compliance with
standard operating procedures.
The first principle of safety is to ensure that every job is done in a correct
and safe manner every time. This requires that all workers are fully trained
and sufficiently skilled to carry out the work properly. When accidents do
occur, it is necessary to ensure that victims can be stabilized and quickly
transported from the site to medical facilities. This requires an adequate road
network and means of communication.
Advice on safety issues is often available from local disaster response
agencies such as fire brigades and the police. In addition, in many countries,
forest industry associations or agricultural cooperatives can provide support.
Finally, there are also accident risks to people not directly involved in forest
management, including those who enter the forest for collection of NWFPs
or for recreation. Activities such as timber transport on public roads can also
pose significant risks to other road users.

Recommended requirements:
Minimum Good to have
• Areas and conditions that are • A system for emergency response
too dangerous for certain forest described.
management activities (e.g. • Safety risks to third parties
harvesting) specified in the forest identified and considered in forest
management plan and relevant management planning.
maps.
• Routes for transport of accident
victims from the forest to a safe
place identified.
• Means of communication made
available to ensure appropriate
response in the event of
accidents.
104 A guide to multiple-use forest management planning for small and medium forest enterprises

16.5. LEARNING FROM INCIDENTS AND TAKING CORRECTIVE

ACTIONS
Any accidents that do occur should be recorded, reported and investigated
so that lessons learned can be used to prevent their occurrence in the future.
This should be a part of the monitoring and feedback system (Chapter 17).
A typical format for such hazard reporting includes:
1) identified hazard or a problem;
2) required corrective action;
3) name of supervisor responsible for the corrective action;
4) date by which the corrective action is to be completed;
5) signature of supervisor responsible for taking correction action; and
6) signature of supervisor confirming that corrective action has been
completed.

Recommended requirements:
Minimum Good to have
• Provision made in the forest • Responsible person(s) for reviewing
management plan for recording incident reports and taking
and reporting incidents and corrective actions identified.
hazards. • Operational practices amended to
• Incident reports evaluated prevent future occurrences based
periodically and appropriate on evaluation of incident reports.
actions taken to prevent future
accidents.
 105

17. Monitoring and evaluation

Monitoring of forest management can be time-consuming and expensive,

and is often considered the most difficult part of the management cycle. The
purpose of monitoring is to track progress towards the achievement of forest
management objectives. Therefore, monitoring must be explicitly linked to
objectives, and the monitoring results should provide feedback that enables
adaptive management. Some monitoring activities may be part of legal or
contractual requirement, in which case the monitoring parameters may not
directly correspond to forest management objectives.
If it is found that feasible monitoring methods do not exist for certain
forest management objectives, it may be necessary to adjust or reformulate
these objectives to enable monitoring (Table 16).

Table 16. Examples of alternate objectives capable of being monitored

Original To reduce soil erosion from To increase biodiversity in the forest

objective harvesting activities in FMU over a over a ten-year period
ten-year period
Problem Soil erosion can be measured Biodiversity includes genetic,
by monitoring sediment load in species, and ecosystem diversity.
streams. However, stream sediment It is not possible to monitor all
load is highly variable depending aspects of biodiversity. Even if the
on rainfall and it can also be monitoring focuses on key indicator
affected by activities upstream of species, population trends may
the FMU. Designing a monitoring fluctuate naturally or be impacted
programme, as well as sample by factors outside the control of
collection and analysis, require forest manager.
expertise that may not be readily
available.
Revised To ensure proper implementation To increase the area of natural
objective of reduced impact logging (RIL) habitat managed for biodiversity
practices through training, twofold in ten years
supervision and monitoring.
Rationale Research results show that RIL Natural habitats support greater
practices significantly reduce soil biodiversity than intensively
disturbance from road construction managed forest stands. Forest area
and skidding. The implementation managed for biodiversity can be
of RIL is under the control of recorded and monitored easily.
the forest manager and can be
monitored effectively.

Monitoring normally involves repeated measurements to detect if

meaningful changes have taken place. Two basic concepts of statistics must
be understood to design robust monitoring programmes. These are bias and
precision (Figure 19).
106 A guide to multiple-use forest management planning for small and medium forest enterprises

Figure 19. Illustration of bias and precision

Adapted from: White, G. C., Anderson, D. R., Burnham, K. P. & Otis, D. L. 1982. Capture – recapture
and removal methods for sampling closed populations. United States. www.osti.gov/biblio/6729610

Tree diameter measurements may be imprecise, for example because the

measuring tape is not always perpendicular to the stem or due to errors in
reading the tape. In another instance, the measurements could be biased
because the surveyor is consistently measuring the diameter 10 cm below
breast height. If these problems are compounded, the measurements will be
both imprecise and biased.
When we measure certain parameters for monitoring, we need to do so in
a way that minimizes bias and maximizes precision. To increase precision of
our estimate, we can increase the number of times we take the measurement.
To decrease bias, we need to consider factors that might influence the result
in a systematic way. In the example above, the surveyor could be provided
with a stick to indicate the exact height at which the diameter measurement
should be taken. Estimates of monitoring parameters should be accurate
enough to detect real changes as appropriate for the scale, intensity and
purposes of forest management.

17.1. DEFINING WHAT AND HOW TO MONITOR

Defining parameters to monitor and how to measure them is an iterative

process as these will continue to evolve as circumstances change and more
suitable monitoring methods become available. Parameters can be measured
through either quantitative or qualitative indicators (Table 17).
Monitoring and evaluation 107

Table 17. Examples of quantitative and qualitative indicators

Quantitative Qualitative
• Tree growth • Feelings towards the forest
• Volume of harvested timber or NWFPs • Beauty of the landscape
• Area of natural vegetation or set-asides • Community well-being
• Sediment load in a stream • Community perception
• Number of visitors to the forest • Cultural values
• Number of employees
• Number of work-related injuries

Key factors to consider in identifying good indicators include the

following:
• Relevant: Is the indicator closely related to the intended objectives and
activities?
• Affordable: How expensive is it to collect and analyse the data?
• Technically feasible: Does date collection and analysis require specialized
knowledge and expertise? Is such technical competence locally available?
• Accessible: Does this indicator rely on access to information that is held
by other entities?
• Understandable: is the indicator easy to understand and interpret for
the forest manager and key stakeholders?
• Practical: Are practical methods available to collect data of sufficient
accuracy.
Once the indicators are selected, it will be necessary to define data collection
methods and responsibilities (i.e. who will collect the data, how, where,
when, and how often). The intensity and frequency of observations should be
minimized to reduce monitoring costs while ensuring detection of changes
at the required accuracy. Many ecological processes take place slowly, hence
frequent observations may not be needed for these parameters. For example,
for trees in dry forests that grow very slowly, it may be sufficient to measure
them every few years when accumulated change will be easier to detect.

Recommended requirements:
Minimum Good to have
• Simple monitoring indicators • Robust monitoring indicators
identified for all forest identified for all forest
management objectives with management objectives with
defined data collection methods defined data collection protocols
and frequency. and responsible persons assigned.
108 A guide to multiple-use forest management planning for small and medium forest enterprises

17.2. ANALYSING AND PRESENTING MONITORING RESULTS

Monitoring information must be analysed and provided in a suitable format
to support forest management decision-making, which requires a multistep
process (Figure 20).

Figure 20. A multistep process of turning data into usable information

Source: Authors’ own elaboration

First, measurements taken in the field are recorded in a data form. The
recorded data are then entered into a computer software for analysis. In some
cases, field data can be recorded directly on a tablet computer, field laptop or
a smartphone, which can be transferred electronically to analysis software.
It is also important to check the field measurements to ensure data reliability
as equipment failures, calibration errors or mistakes in copying data can
result in erroneous monitoring results. The results of data analyses are then
presented in suitable formats (e.g. maps, graphs and tables) that enable detection
of changes over time in the variables of interest (Table 18).
Monitoring and evaluation 109

Table 18. Growth monitoring data of teak stands

Compartment Mean annual increment Target MAI (m3/ha/ Difference (m3/ha/

number (MAI) (m3/ha/year) year) year)
SJ1 7.2 7 0.2
SJ2 7.8 7 0.8
SJ3 6.6 7 -0.4
SJ7 8.3 7 1.3
SE4 8.8 8 0.8

SE8 7.8 8 -0.2

SE12 8.3 8 0.3
QP1 10.4 9.5 0.9
QP2 8.7 9.5 -0.8
QP3 9 9.5 -0.5

Notes: In this example, observed MAIs of teak trees up to age ten for different compartments are
shown. Red numbers in the difference column highlight compartments that are underperforming.

Recommended requirements:
Minimum Good to have
• The way in which monitoring • Standard procedures described
information will be analysed for analysing and presenting
and presented in an easy-to- monitoring information to
understand format described. support forest management
decision-making.

17.3. ADAPTIVE MANAGEMENT

If the monitoring results reveal that one or more of the forest management
objectives are not being achieved, it will be necessary to modify or improve
the associated forest management practices so that the objectives can be
attained. If the objectives are unrealistic or are no longer in line with the
current realities, then the objectives themselves need to be revised.
The monitoring results should be reviewed at least annually and considered
in revising the forest management plan at predetermined intervals (often at
five-year intervals). However, corrective actions should be taken in response to
any major failures with significant consequences as soon as they are detected.

Recommended requirements:
Minimum Good to have
• A process in place to detect and • A plan for periodic review of
respond to any significant failures monitoring information (at least
to achieve forest management annually) in place.
objectives.
 111

18. Conclusion

This guide outlines the processes involved in developing a forest management

plan for multiple use with a focus on SMFEs. In view of the multiple values and
benefits provided by forests at local and landscape levels, a holistic approach
to forest management planning that seeks to optimize the balance of social,
economic and environmental outcomes is needed.
Sound forest management planning helps to ensure the economic viability
of the forest enterprise and sustainability of forest resources along with other
tangible and intangible benefits. Even where forest production is the primary
objective of forest management, considering the multiple values provided by
forests in the planning process can lead to more integrated forest management
resulting in better outcomes for all stakeholders.
In forest management planning for multiple use, SMFEs often face
challenges related to availability of financial resources, knowledge and capacity,
and technical support. This guide sets out the process for assessing the
various benefits provided by forests in forest management planning, including
those services that are not readily marketable but that may be critical to the
well-being of local stakeholders and the global community. This holistic
planning process may also help forest managers to diversify and add value to
their products, improve business profitability, enhance relations with local
stakeholders and increase the flow of environmental and social benefits.
The importance of the participatory approach to forest management
planning with the meaningful engagement of multiple stakeholders is
underscored in this guide as a prerequisite to SFM. It is also critical that local
communities, including marginalized groups, are capacitated and empowered
to participate in forest management not only under community-based forest
management modalities but also in forests managed by other actors.
Efforts to promote SFM need to be supported through an enabling
environment. However, forest management is ultimately implemented by
forest managers who are working on the ground to make sustainable use of
forest resources. Thus, small and medium forest owners have a critical role
to play in achieving SFM, and forest management planning is a vital tool that
can assist forest managers in this regard.
112 A guide to multiple-use forest management planning for small and medium forest enterprises
 113

References

Alder, D. 2020. Updating the MYRLIN models for growth projection in mixed
tropical forest. Report prepared for the Food and Agriculture Organization
of the United Nations, Rome. www.bio-met.co.uk/pdf/FAO-Myrlin-Feb-
2020-Report.pdf
Alder, D., Baker, N., Wright, H.L. 2002. MYRLIN: Methods of Yield
Regulation with Limited Information. University of Oxford, Oxford Forestry
Institute. www.myrlin.org
Baskent, E.Z., Borges, J.G., Kašpar, J., Tahri, M. 2020. A Design for Addressing
Multiple Ecosystem Services in Forest Management Planning. Forests
11(10):1108. https://doi.org/10.3390/f11101108
Black Rock Forest. 2020. Dendrochronology. How to use an increment borer
[video]. Cited 7 February 2022. . www.youtube.com/watch?v=sKfK2nqb5XM
Blaser, J., Frizzo, J. & Norgrove, L. 2021. Not only timber: the potential
for managing non-timber forest products in tropical production forests—a
comprehensive literature review. ITTO Technical Series No. 50. International
Tropical Timber Organization (ITTO), Yokohama, Japan, and Precious
Forests Foundation, Zürich, Switzerland.
Boscolo, M., Lehtonen, P. and Pra, A. 2021. Developing bankable business
plans – A learning guide for forest producers and their organizations. Forestry
Working Paper No. 24. Rome, FAO. https://doi.org/10.4060/cb4520en
Brown, E., Dudley, N., Lindhe, A., Muhtaman, D.R., Stewart, C. & Synnott,
T., eds. 2013. Common guidance for the identification of High Conservation
Values. HCV Resource Network.
Calama, R., Tomé, M., Sánchez-González, M., Miina, J., Spanos, K. & Palahí,
M. 2010. Modelling non-wood forest products in Europe: a review. Forest
Systems, 19(4): 69–85. DOI:10.5424/fs/201019S-9324
Caldwell, B., Gichuru, T., Boscolo, M., Vesa, L., Zapata, J., Grouwels, S.,
Bull, L. & Campbell, J. 2021. Taking stock: what we grow together counts. A
practical guide for family farmers and their associations to develop a planted
forest inventory. Forestry Working Paper, 23. Rome, FAO. DOI.org/10.4060/
cb4905en
Çellek, S. 2020. Effect of the Slope Angle and Its Classification on Landslide.
Natural Hazards Earth Systems Sciences Discussions. https://doi.org/10.5194/
nhess-2020-87
Del Gatto F., Mbairamadji J., Richards M. & Reeb D. 2018. Small-scale
forest enterprises in Latin America: unlocking their potential for sustainable
livelihoods. Forestry Working Paper No. 10. Rome, FAO. 86 pp. Licence:
CC BY-NC-SA 3. 0 IGO.
114 A guide to multiple-use forest management planning for small and medium forest enterprises

Douglass, R.W. 1982. Forest recreation. 3rd Edition. Elsevier. www.elsevier.

com/books/forest-recreation/douglass/978-0-08-028804-8
European Commission. 2014. Forest management plans or equivalent
instruments. Summary of Member States’ replies to the DG ENV questionnaire.
Cited 7 February 2022. https://ec.europa. eu/environment/forests/pdf/
fmp_table.pdf
FAO, IUFRO and USDA. 2021. A guide to forest-water management. FAO
Forestry Paper No. 185. Rome. https://doi.org/10.4060/cb6473en
FAO. 2020. Tenure security for better forestry (updated October 2021). www.
fao.org/forestry/tenure/en/
FAO. 2020. Global Forest Resources Assessment 2020 – Key findings. Rome,
FAO. www.fao.org/3/CA8753EN/CA8753EN.pdf
FAO. 2009. Global review of forest pests and diseases. FAO Forestry Paper
156. Rome, FAO.
FAO. 2004a. Simpler Forest Management Plans for Participatory Forestry.
Rome, FAO.
FAO. 2004b. Regional Code of Practice for Reduced-Impact Forest Harvesting
in Tropical Moist Forests of West and Central Africa. Rome, FAO
FAO. 1998. Guidelines for the management of tropical forests. 1. The production
of wood. FAO Forestry Paper 135. Rome, FAO. www.fao.org/3/w8212e/
w8212e00.htm
Forestry Commission, Edinburgh. 2014. Design techniques for forest
management planning. Cited 7 February 2022. www.gov.uk/government/
publications/design-techniques-for-forest-management-planning-practice-
guide
FSC (Forest Stewardship Council). 2018. FSC-GUI-30-006 Guidance for
Demonstrating Ecosystem Services Impacts Guidance Document (GUI) V(1-
1). https://fsc.org/en/document-centre/documents/resource/336
FSC (Forest Stewardship Council). 2004. FSC-STD-01-003 SLIMF Eligibility
Criteria. https://connect.fsc.org/document-centre/documents/resource/205
Gilmour, D. 2016. Forty years of community-based forestry: A review of its
extent and effectiveness. Rome, FAO.
Gräfe, S., Köhl, M., Eckelmann, C.M., Bremner, Q., Oatham, M., Pacheco,
R., Playfair, M. & Shono, K. 2021. Sustainable management of logged tropical
forests in the Caribbean to ensure long-term productivity. Forestry Working
Paper No. 27. Rome, FAO. https://doi.org/10.4060/cb5484en
Harris, L.D. 1984. The fragmented forest: Island biogeography theory and the
preservation of biotic diversity. Chicago, University of Chicago Press.
Harrison, R.D., Shono, K., Gitz, V., Meybeck, A., Hofer, T. & Wertz-
Kanounnikoff, S. 2022. Mainstreaming biodiversity in forestry. FAO Forestry
Paper, No. 188. Rome, FAO and Bogor, Indonesia, CIFOR. https://doi.
org/10.4060/cc2229en
Conclusion 115

Helms, J.A. 1998. The dictionary of forestry. Bethesda, MD: Society of American
Foresters.
ILO (International Labour Office). 1998. Safety and health in forestry work.
Geneva, International Labour Office. ISBN 92-2-110826-0 ILO. www.ilo.
org/wcmsp5/groups/public/@ed_protect/@protrav/@safework/documents/
normativeinstrument/wcms_107793.pdf
Kozak, R.A. 2007. Small and medium forest enterprises: instruments of change in
the developing world. Washington, DC, USA: Rights and Resources Initiative.
Krishnan, S., Wiederkehr Guerra, G., Bertrand, D., Wertz-Kanounnikoff,
S. & Kettle, C.J. 2020. The pollination services of forests – A review of forest
and landscape interventions to enhance their cross-sectoral benefits. Forestry
Working Paper No. 15. Rome, FAO & Bioversity International. https://doi.
org/10.4060/ca9433en
Lundbäck, M., Persson, H., Häggström, C. & Nordfjell, T. 2021. Global
analysis of the slope of forest land. Forestry: An International Journal of
Forest Research, 94(1): 54–69. DOI.org/10. 1093/forestry/cpaa021
Matthews, R.W., Jenkins, T.A.R., Mackie, E.D. & Dick, E.C. 2016. Forest
yield: A handbook on forest growth and yield tables for British Forestry. 92pp.
https://www.forestresearch.gov.uk/publications/forest-yield-a-handbook-
on-forest-growth-and-yield-tables-for-british-forestry
Miina, J., Kurttila, M., Calama, R., de-Miguel, S. & Pukkala, T. 2020.
Modelling non-timber forest products for forest management planning in
Europe. Current Forestry Reports, 6, 309–322.
Miina, J., Pukkala, T., Hotanen, J.P. & Salo, K. 2010. Optimizing the joint
production of timber and bilberries. Forest Ecology and Management, 259:
2065–71. DOI:10.1016/j.foreco.2010.02.017
Millennium Ecosystem Assessment. 2003. Ecosystems and human well-being: a
framework for assessment. http://pdf.wri.org/ecosystems_human_wellbeing.
pdf
Natural Resources, Wales. DIY Tree Measuring Kit. Cited 12 January
2022. https://cdn.naturalresources.wales/media/688310/template-diy-tree-
measuring-kit.pdf
Nzunda, E. 2022. Assessment of forest planning and management in different
forest types in selected African countries. AFF Working Paper. African Forest
Forum, Nairobi.
Paletto, A., Sereno C. & Furuido, H. 2008. Historical evolution of forest
management in Europe and in Japan. Bull. Tokyo Univ. For., 119: 25–44. www.
researchgate.net/publication/29779770_Historical_evolution_of_forest_
management_in_Europe_and_in_Japan
Paudel N.S., Adhikary A., Mbairamadji J. & Nguyen, T. Q. 2018. Small-scale
forest enterprise development in Nepal: overview, issues and challenges. Rome,
FAO. 84 pp. Licence: CC BY-NC-SA 3.0 IGO.
Peters-Stanley, M. & Gonzalez, G. 2014. Sharing the stage: state of the voluntary
carbon markets 2014. Forest Trends’ Ecosystem Marketplace.
116 A guide to multiple-use forest management planning for small and medium forest enterprises

Restiani, P., Malmer, A. & Van Hensbergen, H.J. 2014. Forest, water, and
carbon storage: creating synergies and balancing trade-offs in view of climate
change. In: A. Jagerskog, T. J. Clausen, T. Holmgren & K. Lexen, eds. Energy
and water: The vital link for a sustainable future. Stockholm, SIWI.
Rosoman, G., Sheun, S.S., Opal, C., Anderson, P., & Trapshah, R., editors.
2017. The HCS Approach Toolkit. Singapore: HCS Approach Steering Group.
Shono, K. & Jonsson, Ö. 2022. Global progress towards sustainable forest
management: bright spots and challenges. International Forestry Review
24(1): 85-97. doi.org/10.1505/146554822835224856
Taye, Z.M., Martínez-Peña, F., Bonet, J.A., Martínez de Aragón, J. &
de-Miguel, S. 2016. Meteorological conditions and site characteristics driving
edible mushroom production in Pinus pinaster forests of Central Spain. Fungal
Ecology, 23: 30–41. DOI:10.1016/j.funeco.2016.05.008
Spantigati, P. & Springfors, A. 2005. Microfinance and forest-based small-scale
enterprises. Forestry Paper 146, Rome, FAO.
Sylva Foundation. 2022. MyForest. Long Wittenham, Oxfordshire, UK. Cited
7 February 2022. https://myforest.sylva.org.uk
Wangchuk, J., Choden, K., Sears, R.R. & Baral, H. 2019. Ecosystem Services
from Forest Management Units in Eastern and Central Bhutan. Working
Paper 248. Bogor, Indonesia: CIFOR.
Wright, H.L. & Alder, D. (editors) 2000. Proceedings of a workshop on Humid
and semi-humid tropical forest yield regulation with minimal data. University
of Oxford, Department of Plant Sciences, Oxford Forestry Institute. OFI
Occasional Papers 52.
Appendix 1. Sample forest management plan framework 117

Appendix 1. Sample forest

management plan framework

A sample content and framework for a forest management plan is provided

below as reference. This generic format can be adapted based on the local
context including prevailing legal requirements related to forest management
planning.

1. Describing the forestland

1.1. Location
1.2. Land-use and forest management history
1.3. Physical description
1.3.1. Topography
1.3.2. Climate and weather
1.3.3. Waterbodies
1.3.4. Soils and geology
1.3.5. Infrastructure and associated services
1.4. The living environment
1.4.1. Ecosystems and habitats
1.4.2. Flora
1.4.3. Fauna
1.4.4. Biodiversity
1.4.5. Ecosystem services
1.5. Forest resources
1.5.1. Growing stock
1.5.2. Forest growth
1.5.3. Non-wood forest products
1.5.4. Social, cultural and aesthetic features
1.6. Social and cultural features

2. Describing the social, economic and regulatory

environment
2.1. Local communities and populations
2.1.1. Demographics
2.1.2. Local use and perception of forest
118 A guide to multiple-use forest management planning for small and medium forest enterprises

2.2. Regional populations

2.3. Local businesses and markets
2.4. Regional businesses and markets
2.5. Product requirements
2.6. Forest rights and tenure
2.7. Laws and regulations

3. Management objectives
3.1. Situation analysis
3.2. Objectives for forest products
3.2.1. Tree crops
3.2.2. Non-wood forest products
3.3. Objectives for ecosystem services
3.4. Objectives for biodiversity
3.5. Objectives for the people

4. Silvicultural plan
4.1. Silvicultural system and prescriptions
4.2. Forest management compartments and stands
4.3. Schedule of silvicultural operations
4.4. Harvest planning
4.5. Non-wood forest products planning
4.6. Associated forest management activities

5. Ecosystem services and biodiversity management plan

5.1. Ecosystem services planning
5.2. Biodiversity planning

6. Social and cultural services plan

6.1. Social and cultural services planning
Conclusion 119

7. Business plan
7.1. Business organization
7.2. Products and markets
7.3. Costs of forest management
7.4. Revenues from forest management
7.5. Cash flow analysis

8. Preparedness plan for abnormal events and disasters

8.1. Extreme weather events
8.2. Forest fires
8.3. Pests and diseases
8.4. Accidents and their prevention
8.5. Learning from incidents and taking corrective actions

9. Monitoring and evaluation

9.1. Monitoring criteria and indicators
9.2. Analysis of monitoring results
9.3. Adaptive management
Appendix 2. Further reading, tools and data sources 121

Appendix 2. Further reading,

tools and data sources

Land cover

Earth Map https://earthmap.org

Collect Earth / Collect Earth https://openforis.org/tools/collect-earth/ https://

Online openforis.org/tools/collect-earth-online/

Google Earth www.google.com/earth

Global Forest Watch www.globalforestwatch.org

Open Foris https://openforis.org

SEPAL https://openforis.org/tools/sepal/

Geophysical parameters and climate

Assessing slope of the land https://rb.gy/6eusy9

FAO/UNESCO Soil Map of the www.fao.org/soils-portal/data-hub/soil-maps-and-

World databases/faounesco-soil-map-of-the-world/en

Global Wind Atlas https://globalwindatlas.info

SoilGridsTM www.isric.org/explore/soilgrids

Habitats and biodiversity

Data Basin https://databasin.org

Earth Map https://earthmap.org

Global Forest Watch www.globalforestwatch.org

A good practice guide for www.hcvnetwork.org/library/common-guidance-

identifying HCVs across different for-the-identification-of-hcv-english-indonesian-
ecosystems and production french-portuguese
systems

Good practice guidelines www.proforest. net/fileadmin/uploads/proforest/

for High Conservation Value Documents/Publications/hcv-20good-20practice_
assessments: A practical guide final.pdf
for practitioners and auditors

Habitats Classification Scheme www.iucnredlist.org/resources/habitat-

classification-scheme

The High Conservation Value www.proforest. net/fileadmin/uploads/proforest/

Forest Toolkit Documents/Publications/hcvf-toolkit-part-1-final-
updated.pdf
122 The protective functions of forests in a changing climate –​European experience

Intact Forest Landscapes https://intactforests.org/world webmap.html

One Earth www.oneearth.org

Nature Map Explorer https://explorer.naturemap.earth/map

Flora and fauna

Checklist of CITES species https://checklist.cites.org/#/en

eBird https://ebird.org/home

iNaturalist www.inaturalist.org

IUCN Red List of Threatened www.iucnredlist.org

Species

Map of Life https://mol.org

Pl@ntnet https://plantnet.org/en

Forest inventory

6 principles of a robust forest https://medium.com/openforests/6-principles-

information system that-help-to-design-a-robust-forest-information-
system-2fb3177dbe22

Dendrochronology: How to use www.youtube.com/watch?v=sKfK2nqb5XM

an increment borer

DIY Tree Measuring Kit https://cdn.naturalresources. wales/media/688310/

template-diy-tree-measuring-kit.pdf

GlobAllomeTree www.globallometree.org

Methods of Yield Regulation https://bio-met.co.uk/myrlin/original

with Limited Information
(MYRLIN)

Open Foris Arena https://openforis.org/tools/arena/

SFM Toolbox module ‘Forest www.fao.org/sustainable-forest-management/

Inventory’ toolbox/modules/forest-inventory/basic-
knowledge/en

Taking stock: What we grow www.fao.org/3/cb4905en/cb4905en.pdf

together counts. A practical
guide for family farmers and
their associations to develop a
planted forest inventory

Non-wood forest products

ASEAN Guidelines for https://ntfp.org/wp-content/uploads/2021/11/20.-

Sustainable Harvest and ASEAN-NTFP-Guidelines-Final.pdf
Resource Management Protocols
for Selected Non-Timber Forest
Products (NTFPs)

Guide for small and medium www.fao.org/3/am804e/am804e.pdf

enterprises in the sustainable
non-timber forest product trade
in Central Africa
Appendix 2. Further reading, tools and data sources 123

Non-Timber Forest Products- https://ntfp.org/information-resources

Exchange Programme (NTFP-EP)
Product Database

Not only timber: the potential www.itto.int/direct/topics/topics_pdf_download/

for managing non-timber forest topics_id=6727&no=1&disp=inline
products in tropical production
forests—a comprehensive
literature review

NTFP Sustainable Harvesting and https://ntfp.org/wp-content/uploads/2021/10/

Resource Management Protocols ASEAN-NTFP-Protocols_Rattan_Final101321.pdf
for Rattan

NTFP Sustainable Harvesting and https://ntfp.org/wp-content/uploads/2021/10/

Resource Management Protocols ASEAN-NTFP-Protocols_Fruits_Final101321.pdf
for Fruits

Rainforest Alliance Technical www.rainforest-alliance.org/business/commodity/

Report: Cooperative Non-Timber non-timber-forest-products
Forest Product Management in
Western Amazonia

SFM toolbox module www.fao.org/sustainable-forest-management/

‘Management of Non-Wood toolbox/modules/management-of-non-wood-
Forest Products’ forest-products/basic-knowledge/en

Steps to Sustainable and https://rb.gy/xjag0u

Community-based NTFP
Management

FPIC and Indigenous Peoples’ rights

FAO e-learning course: ‘Free, https://elearning.fao.org/course/view.php?id=500

Prior and Informed Consent
(FPIC) - An Indigenous Peoples’
right and a good practice for
local communities’

FAO website on Indigenous www.fao.org/indigenous-peoples/our-pillars/fpic/

Peoples en

Social dimensions

FAO SFM Toolbox module www.fao.org/sustainable-forest-management/

‘Collaborative Conflict toolbox/modules/collaborative-conflict-
Management’ management/basic-knowledge/en

FAO SFM Toolbox module ‘Forest www.fao.org/sustainable-forest-management/

Law Enforcement’ toolbox/modules/forest-law-enforcement/basic-
knowledge/en

FAO SFM Toolbox module ‘Forest www.fao.org/sustainable-forest-management/

Tenure’ toolbox/modules/forest-tenure/basic-knowledge/
en

FAO SFM Toolbox module www.fao.org/sustainable-forest-management/

‘Gender in Forestry’ toolbox/modules/gender-in-forestry/basic-
knowledge/en

FAO SFM Toolbox module www.fao.org/sustainable-forest management/

‘Participatory Approaches and toolbox/modules/participatory-approaches-and-
Tools for SFM’ tools-for-sfm/basic-knowledge/en

Forty years of community-based www.fao.org/publications/card/en/c/b7c18106-

forestry c19d-412f-bd77-a35a2aee00b5
124 The protective functions of forests in a changing climate –​European experience

How to use Rapid rural www.treesforlife.info/fao/Docs/P/tr-e01.5.pdf

Appraisal (RRA) to develop case
studies

SOLA and Open Tenure - free, www.fao.org/tenure/sola-suite/en

open-source solutions to protect
and strengthen tenure rights

Ecosystem services

ESII Tool www.esiitool.com

FSC Guidance for Demonstrating https://fsc.org/en/document-centre/documents/

Ecosystem Services Impacts resource/336

SFM Toolbox module ‘Forests www.fao.org/sustainable-forest-management/

and water’ toolbox/modules/forest-and-water/basic-
knowledge/en

SFM Toolbox module ‘Watershed www.fao.org/sustainable-forest-management/

Management’ toolbox/modules/watershed-management/basic-
knowledge/en

Spurring INnovations for forest https://sincereforests.eu/resources/toolkit/

eCosystem sERvices in Europe assessing-and-valuing-ecosystem-services
(SINCERE) toolkit

Silviculture and harvesting

FAO SFM Toolbox module www.fao.org/sustainable-forest-management/

‘Management of planted forests’ toolbox/modules/management-of-planted-forests/
basic-knowledge/en

FAO SFM Toolbox module www.fao.org/sustainable-forest-management/

‘Silviculture in natural forests’ toolbox/modules/silviculture-in-natural-forests/
basic-knowledge/en

FAO SFM Toolbox module ‘Wood www.fao.org/sustainable-forest-management/

harvesting’ toolbox/modules/wood-harvesting/basic-
knowledge/en

Business development and financing

Community-based tree and www.fao.org/3/i2394e/i2394e.pdf

forest product enterprises:
Market analysis and
development

Developing bankable business www.fao.org/3/cb4520en/cb4520en.pdf

plans. A learning guide for
forest producers and their
organizations

FAO e-learning course https://elearning.fao.org/course/view.php?id=931

‘Developing bankable business
plans for sustainable forest-
based enterprise’

FAO e-learning course https://elearning.fao.org/course/view.php?id=675

‘Sustainable financing of forest
and landscape restoration’
FAO SFM Toolbox module www.fao.org/sustainable-forest-management/
‘Development of forest-based toolbox/modules/development-of-forest-based-
enterprises’ enterprises/basic-knowledge/en

Forest business incubation: www.fao.org/3/I8754EN/i8754en.pdf

Towards sustainable forest and
farm producer organization
(FFPO) businesses that ensure
climate resilient landscapes

Local financing mechanisms for www.fao.org/documents/card/en/c/cb3760en

forest and landscape restoration

RuralInvest www.fao.org/in-action/rural-invest/toolkit/en

Monitoring

FAO SFM Toolbox module ‘Forest www.fao.org/sustainable-forest-management/

management monitoring’ toolbox/modules/forest-management-monitoring/
basic-knowledge/en

Disasters

Community-based fire https://www.fao.org/3/i2495e/i2495e.pdf

management: A review

FAO SFM Toolbox module ‘Forest www.fao.org/sustainable-forest-management/

pests’ toolbox/modules/forest-pests/basic-knowledge/en

FAO SFM Toolbox module www.fao.org/sustainable-forest-management/

‘Forestry responses to natural toolbox/modules/forestry-responses-to-disasters/
and human-conflict disasters’ basic-knowledge/en

FAO SFM Toolbox module www.fao.org/sustainable-forest-management/

‘Vegetation fire management’ toolbox/modules/vegetation-fire-management/
basic-knowledge/en

Fire management: Voluntary https://www.fao.org/3/j9255e/j9255e00.pdf

guidelines

Occupational health and safety

FAO SFM Toolbox module www.fao.org/sustainable-forest-management/

‘Occupational health and safety toolbox/modules/occupational-health-and-safety-
in forestry’ in-forestry/basic-knowledge/en

Occupational safety and www.fao.org/documents/card/en/c/ca8773en

health in forest harvesting and
silviculture
 A guide to multiple-use forest
management planning for small
and medium forest enterprises

For more information, please contact:

Forestry Division - Natural Resources and Sustainable

Production ISBN 978-92-5-137974-5 ISSN 2664-1062

E-mail: [email protected]
Web address: www.fao.org/forestry/en FORESTRY

ISSN 2664-1062
WORKING
Food and Agriculture Organization of the United Nations 9 789251 379745 PAPER

39
Rome, Italy CC6780EN/1/11.23