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Forest Ecology and Management 140 (2001) 65±74

Developing and testing of a method for the analysis and assessment


of multiple forest use from a forest conservation perspective
Thorsten Mrosek*,1
University of GoÈttingen, Department of Forestry, Institute of Forest Policy,
Environment Protection and Landscape Management, BuÈsgenweg 5, D-37077 GoÈttingen, Germany
Received 19 July 1999; accepted 17 December 1999

Abstract

The goal of this study was to develop a method for analyzing and assessing multiple forest use from a forest conservation
perspective and to test this method as a case study at a local forest management unit (Haliburton Forest & Wild Life Reserve
Ltd., Ontario, Canada).
The method adopts a model concept and consists of the de®nition of a target system for forest conservation, the design of a
set of criteria and indicators, the assessment of indicator performance, and the formulation of action plans. Implementation of
the method, the state of the forest, and the impact of multiple forest use are analyzed and assessed.
The formulated target system for forest conservation contains the goal of integrated, sustainable and natural forest
management; the objectives of protection of natural processes, naturalness and natural diversity; and operational targets. The
development of the set of criteria and indicators including measurement units is mainly based on the concept of protection of
natural processes, but is modi®ed and extended.
The examined forest management unit shows good to very good performance for most of the indicators. Overall, the state of
the forest can be assessed as good to very good, with only minimal impact caused by the multiple forest use operation. The
method is suitable for analyzing and assessing multiple forest use. It contributes to the evaluation of new forest management
concepts and forest conservation assessment methods, and supports approaches of certi®cation and criteria and indicators for
sustainable forest management at the local level. # 2001 Elsevier Science B.V. All rights reserved.

Keywords: Sustainable forest management; Forest conservation; Concept of protection of natural processes; Criteria and indicators;
Certi®cation; Selection cut silviculture system

1. Introduction increasingly recognized in recent years. Since the


United Nations Conference on Environment and
The importance of concepts in sustainable and Development (UNCED) in Rio de Janeiro in 1992,
nature-oriented forest management has become a variety of international (e.g. the Montreal and Hel-
sinki processes) and national processes have been
*
initiated in order to develop and implement criteria
Tel.: ‡1-416-921-2076; fax: ‡1-416-978-3834. and indicators for sustainable forest management
E-mail address: thorsten.mrosek@utoronto.ca (T. Mrosek).
1
Present address: University of Toronto, Faculty of Forestry,
(Wijewardana et al., 1998). In addition to governmen-
Earth Sciences Centre, 33 Willcocks Street, Toronto, Ontario, tal institutions, non-governmental organizations such
Canada M5S 3B3. as the Forest Stewardship Council (Forest Stewardship

0378-1127/01/$ ± see front matter # 2001 Elsevier Science B.V. All rights reserved.
PII: S 0 3 7 8 - 1 1 2 7 ( 0 0 ) 0 0 2 7 7 - 2
66 T. Mrosek / Forest Ecology and Management 140 (2001) 65±74

Council, 1994) have developed new, nature-oriented in Ontario, Canada. It is located in the Haliburton
forest management and certi®cation standards. Highlands, ca. 300 km northeast of Toronto, Ontario.
Canada has assumed a leadership role in the inter- The soils are characterized by rock formations of
national discussion and is a major player in this the Canadian Shield and the most common soil type
process, because of its large forest area of 453 million is Sherborne Till. The property covers 23,800 ha,
hectares (Canadian Council of Forest Ministers, of which 19,000 ha are forested area. The most
1996). Sustainable forest management (SFM) con- common forest types are tolerant hardwoods,
cepts and certi®cation systems such as the Canadian dominated by Sugar Maple (Acer saccharum Marsh.)
Standards Association (CSM) SFM and the FSC and Beech (Fagus americana Ehrh.). The forest
Principles and Criteria have been developed, but there consists of 33 tree species, includes around 50
is still a need for model forests and case studies for lakes and 250 wetlands, and is characterized by an
integrated, sustainable and natural forest management associated diversity of wildlife (Schleifenbaum,
at the local level, in particular, that test their applica- 1993).
tion (Bull, 1993; Carrow, 1994, 1997). The forest history of this region is characterized by
Haliburton Forest & Wild Life Reserve Ltd. intensive removal of White Pine (Pinus strobus L.)
employs an integrated, sustainable and natural forest after the settlement phase around 1863, and by high-
management concept. As well, it is the ®rst forest grading of Yellow Birch (Betula alleghaniensis Britt.)
company in Canada certi®ed by the FSC. The goal of and other tree species such as Sugar Maple (Acer
this forest company is to enable multiple forest use in a saccharum Marsh.) from 1945 to 1970. These forest
limited area while still guaranteeing ecological and management practices led to heavily altered forests in
economical sustainability (Schleifenbaum, 1993; which stand quantity and quality were reduced (Stitt,
Stecker, 1995). 1994).
The goal of this article is to present a method for the Since 1984, Haliburton Forest & Wild Life Reserve
analysis and assessment of multiple forest use from a Ltd. has been managed under a sustainable, multiple
forest conservation point of view. The application of forest use concept. This concept aims to integrate
this method is used as a case study to examine whether forest use and forest conservation in a limited area
forest conservation objectives are suf®ciently consi- while still guaranteeing ecological and economical
dered by the company. The presented method is sustainability. Forest use forms such as timber harvest-
oriented mainly to the concept of protection of natural ing, hunting, and ®shing are combined with recrea-
processes. This concept consists of a nature-oriented tional use and aspects of forest ecology and
forest management system that tries to mimic natural conservation. The speci®c forms of use are: timber
forest processes and to minimize the impact of forest use; semi-wilderness camping; snowmobiling; moun-
practices (Sturm, 1993, 1995; Sturm and Westphal, tainbiking; ®shing; hunting and trapping; hiking;
1995). outdoor education and other special events
This article will examine and study Haliburton (Schleifenbaum, 1993).
Forest & Wild Life Reserve Ltd. in a critical way;
contribute to the evaluation of new forest management 2.2. Method
concepts and forest conservation assessment methods;
and support approaches of certi®cation and criteria The method for analyzing and assessing multiple
and indicators for sustainable forest management at forest use from a conservation point of view compares
the local level. a desired state with the existing state (Plachter, 1991,
pp. 181±182). The desired state is the natural forest for
2. Methods a speci®c area, and the existing state is the managed
forest of this area.
2.1. Study area In this context, a hierarchical target system for
forest conservation is formulated, oriented to the
Haliburton Forest & Wild Life Reserve Ltd. lies goal of the natural forest model, and based on the
in the Great Lakes Ð St. Lawrence Forest Region existing literature. The objectives for forest conser-
T. Mrosek / Forest Ecology and Management 140 (2001) 65±74 67

Fig. 1. Formal structure of the method for the analysis and assessment of multiple forest use from a forest conservation perspective (modified
from Sturm and Westphal, 1995).

vation are part of the company's comprehensive 3. Results


target system for the integrated management
concept. 3.1. Target system
The objectives are divided into a number of criteria.
A set of descriptive or measurable indicators is The hierarchical target system for forest conserva-
assigned to each criterion (Lammerts van Bueren tion (Fig. 2) de®nes the strategic and abstract goal of
and Blom, 1997). The development of the set of integrated, sustainable and natural forest use, and the
criteria and indicators and the formulation of objectives of naturalness (de®ned as the existing state
measurement units focuses mainly on the German of a forest in comparison to the natural forest) (Ander-
concept of protection of natural processes (Pro- son, 1991) and natural diversity (Scherzinger, 1996),
zeûschutzkonzept) (BuÈrger-Arndt, 1996; FaÈhser, with special regard to natural processes (Sturm, 1993,
1995; Sturm, 1993, 1995; Sturm and Westphal, 1995). A number of operational targets put these
1995). Some indicators and measurement units are theoretical objectives into concrete terms concerning
modi®ed. In addition, some criteria and indicators forest management practices (FaÈhser, 1995; Sturm and
related to forest area and wildlife from a Canadian Westphal, 1995).
concept (Keddy and Drummond, 1996) and some
aspects of multiple forest use are extended. These 3.2. Criteria and indicators
indicators completely depict the entire target system.
They are measured using ordinal units and are The set of criteria and indicators consists of 8
assessed ®nally with regard to target achievement criteria and 24 indicators (Fig. 3). Indicator perfor-
(Fig. 1). The performance of each indicator measured mance is measured by applying ®ve measurement
by its unit is transformed in a basic way into a level of units formulated for each indicator. A detailed
target achievement. The measurement units from 1, description of the range of the ®ve measurement units
very good to 5, very bad are the inverse of the levels of is presented in this paper, for selected indicators only
target achievement of 5, very good to 1, very bad. An (Fig. 4).
assessment of indicator performance is graphically Concerning Criterion 1 (forest area size and forest
presented (BuÈrger-Arndt and Hondong, personal com- road density), it can be stated that because it abuts
munication). Algonquin Provincial Park, the forest area of the
68 T. Mrosek / Forest Ecology and Management 140 (2001) 65±74

Fig. 2. Target system for forest conservation.

examined forest company is part of a relatively closed be assessed as very good (unit 1) (Fig. 4). The optimal
forest area of a size more than 100,000 ha. There is forest area size of 100,000 ha was chosen in order to
very limited forest fragmentation and the road density provide suf®cient habitat for wolf (Canis lupis L.)
is low, being 5 m/ha for forest roads and 4 m/ha for used as an indicator species (Keddy and Drummond,
trails. For these reasons, both indicators 1 and 2 are to 1996).
T. Mrosek / Forest Ecology and Management 140 (2001) 65±74 69

Fig. 3. Criteria and indicators of the method for the analysis and assessment of multiple forest use from a forest conservation perspective
(modified and extended from Sturm and Westphal, 1995; modified from Keddy and Drummond, 1996).

Concerning Criterion 2 (area zoning with different to other land uses at the examined forest company.
use intensities and reference areas), the forest com- Therefore, all the indicators are to be assessed as very
pany shows a simple area zoning of two different good (unit 1).
intensities of land use: productive and non-productive Concerning Criterion 4 (naturalness of forest com-
forest area. Although the non-productive forest, cover- munities), the natural tree species composition was
ing 23.7% of the total forest area, is not managed and found by analyzing the historical data of the ®rst land
has an indirect protected status, explicit protected survey in 1863, in combination with the consideration
areas and reference areas are lacking. For this reason, of ecological characteristics of individual tree species
Indicator 1 is assessed as average (unit 3). (Farrar, 1995; Chambers et al., 1997). The natural
Concerning Criterion 3 (naturalness of soils), forest types and their development phases for this
neither mechanical soil treatments nor chemical appli- region were analyzed as well (Anderson and Rice,
cations take place and old forest sites are not converted 1993; Ontario Ministry of Natural Resources, 1998).
70 T. Mrosek / Forest Ecology and Management 140 (2001) 65±74

Fig. 4. Exemplary measurement units for some selected indicators.

The naturalness of the tree species composition is years. Indicator 1 is assessed as good (unit 2) (Fig. 4).
fundamentally high, but a shift towards tolerant hard- Regeneration occurs naturally and planting does
woods has occurred. For example, the area of stands not take place in the examined forest company. For
dominated by P. strobus was reduced from 11.5% in this reason, Indicator 2 is to be assessed as very good
1863 to 2.4% of the forest area, and the area of B. (unit 1).
alleghaniensis stands was reduced from 12.1% in Concerning Criterion 5 (naturalness of forest devel-
1863 to 2.4% in 1992. The area of stands dominated opment conditions), the performance of four of the six
by A. saccharum and other shade tolerant tree species indicators is very good. These are: Indicator 1 (spon-
like F. americana increased from 28.3% in 1863 to taneity of regeneration); Indicator 3 (intensity of
76.6% in 1992. This shift in the tree species composi- tending operations); Indicator 5 (acceptance of natural
tion shows only the trend in the main productive forest processes); and Indicator 6 (continuity of stand devel-
for which up-to-date inventory data is available, repre- opment). Natural regeneration is relied upon and no
senting 52% of the total forest area. The reasons for tending operations occur. Natural processes (in terms
this development are the intensive use and high grad- of natural disturbances) are accepted and no clear
ing of some tree species in past forest history, as well cutting takes place. Therefore, these indicators are
as the impact of the selection cut system in recent assessed as very good (unit 1).
T. Mrosek / Forest Ecology and Management 140 (2001) 65±74 71

Indicator 2 (spontaneity of stand development) aims nature-oriented way and has no detrimental impact on
at identifying natural forests without any harvesting wildlife populations (monitoring indicates average
activities. An analysis of the forest history and of the population densities and ¯uctuations within normal
actual forest area of the forest company leads to the parameters). The only exception is the decreasing
conclusion that at least 10% of the forest area has not population of Wood duck (Anix sponsa L.) because
been harvested for a minimum of 50 years and consists of habitat loss, which underlines the importance of
of natural forests characterized by high spontaneity of cavity trees in the old growth phase. A restoration
stand development. For this reason, the indicator is program is in place in order to protect and encourage
assessed as average (unit 3) (Fig. 4). Indicator 4 this species.
(nature-oriented harvest operations) is characterized Concerning Criterion 8 (nature-oriented recrea-
by the negative impact of the silvicultural practices of tional use), both indicators show a good performance.
the forest history. The selection cut silviculture system Indicator 1 (recreational use facilities), is assessed as
which is now being practiced, aims at restoring the very good (unit 1), because the road density of <10 m/
stand quantities and qualities over the medium to long ha is low and >30% of the lakes with a high suitability
term. The Indicator is assessed as good (unit 2). for recreation are without any use. The total number of
Concerning Criterion 6 (diversity of ¯ora and biotic 3.5 visitors per hectare is acceptable and major dis-
elements), the performance of three of the indicators is turbances are avoided by effective multiple use of
very good. Indicator 2 (diversity of vertical structures) recreational facilities. One point of criticism is that a
and Indicator 3 (diversity of horizontal structures) are comprehensive recreational use management concept,
assessed as very good (unit 1), because they represent including impact assessments on wildlife is lacking.
the natural vertical and horizontal stand structures Therefore, Indicator 2 (intensity of recreational use) is
determined by the natural disturbance regime of the assessed as good (unit 2).
tolerant hardwoods forest type. Indicator 5 (typical
small structure elements) is assessed as very good 3.3. Assessment
(unit 1), because the whole range of natural small
structure elements (e.g. large rocks, ponds, creeks) is The total assessment of the forest management unit
present. The points of criticism concerning the shift in is shown as a basic assessment pro®le (Fig. 5).
the tree species composition have already been pre- An analysis of the criteria and indicators leads to the
sented. This development leads to reduced tree species result that the examined forest company, Haliburton
diversity and to a homogenization of the stands Forest & Wild Life Reserve Ltd., achieves the for-
towards a dominance of shade tolerant hardwoods. mulated objectives of its target system of forest con-
For this reason, Indicator 1 is assessed as good (unit 2). servation, and is rated overall good to very good, with
Concerning Indicator 4 (typical presence of dead only a few points of criticism. Overall, the state of the
wood), it is problematic that the old growth phases forest can be assessed as good to very good with only
of the natural forest development are not represented minimal impact caused by the multiple forest use
in a suf®cient way and that despite the dif®culties of operation.
measurement, the quantities and quality of dead wood
are too low. Based on previous forest management 3.4. Action plans
policies, only two wildlife trees per hectare are left.
For this reason, this indicator is assessed as average The identi®ed main points of criticism lead to the
(unit 3). formulation of action plans. Haliburton Forest & Wild
Concerning Criterion 7 (diversity of fauna), both Life Reserve Ltd. has implemented most of the
Indicator 1 (diversity of avifauna and large carnivores) recommendations as a result of this study.
and Indicator 2 (nature-oriented hunting) are assessed Since only a simple area zoning of two different
as very good (unit 1). The absolute diversity of these use intensities in the form of productive forest and
animal groups is high and close to the historical non-productive forest area exists, the establishment
species composition and no species is endangered of an area zoning system was recommended. Zones
or threatened. Hunting takes place in a sustainable, of different use intensities such as nature reserves,
72 T. Mrosek / Forest Ecology and Management 140 (2001) 65±74

Fig. 5. Assessment profile with levels of target achievement for the criteria and indicators, with level 5, very good; level 4, good; level 3,
average; level 2, bad; level 1, very bad.

natural forest reserves, forest out of regular use, and Keeping in mind the understocking of the stands,
reference areas were developed. A core of natural the insuf®cient representation of the old growth phase
forest reserves without any use, functioning as refer- and the quantity and quality of dead wood in parti-
ence areas, was designated on 4.2% of the total forest cular, it is recommended that the area of old growth
area. Forest out of regular use with no, or only stands, the number of old and dying trees, and the
extensive use, was designated on 23.7% of the total amount of dead wood should be increased over the
forest area. It is recommended that the number and medium to long term. In order to achieve this objec-
area of natural forest reserves as reference areas be tive, more nature reserves and forest out of regular use
increased to at least 10% over the medium to long should be designated. Furthermore, an increase in the
term, in order to achieve suf®cient representation of number of wildlife trees from an actual two per
the whole range of natural forest communities and hectare to at least ®ve per hectare and a guarantee
their forest development phases. to protect them over the long term is recommended.
There is need for a modi®cation of the silviculture Concerning recreational use, it is recommended that
system in order to decrease the dominance of tolerant a comprehensive management concept be developed
hardwood stand types, thus encouraging tree species in order to coordinate the different use activities and to
such as P. strobus and B. alleghaniensis, and restrict- restrict the establishment of recreational use facilities.
ing shade tolerant tree species such as A. saccharum. It This will assist in achieving forest conservation objec-
was recommended that the declining tree species P. tives and minimizing the impact on wildlife in parti-
strobus be protected and the development of a restora- cular. A ®rst approach to a recreational use planning
tion program be implemented. Both have happened as concept with four zones of different use intensity was
a result of this study. developed as a result of this study.
In principle, the selection silviculture system is
assessed as progressive and positive from a forest
conservation perspective, but it is important to recog- 4. Discussion
nize that it represents a limited range of natural forest
development phases and has an impact on the tree The target system is of special importance for this
species composition. It is recommended that a whole method (Waldenspuhl, 1991, p. 28). A model state of
range of suitable and nature-oriented silviculture sys- the natural forest is de®ned as a quality standard and as
tems (e.g. single tree selection, group selection and a framework for objectives for nature-oriented forest
small clear cuts) be developed in order to mimic the management practices. These objectives are formu-
disturbance regimes of the natural forest types and to lated in a normative way. For this reason, the target
meet the requirements of speci®c tree species. system can only be a compilation of up-to-date expert
T. Mrosek / Forest Ecology and Management 140 (2001) 65±74 73

opinions of the scienti®c community (Sturm and the thesis submitted to the Department of Forestry,
Westphal, 1995, p. 31). The strategic overall goal University of GoÈttingen, in Germany. I have to thank
and major objectives in particular are dif®cult to Prof. Dr. R. BuÈrger-Arndt (Institute for Forest Policy,
assess and justify in an objective way. Environment Protection and Landscape Management,
Concerning the criteria and indicators, it is dif®cult University of GoÈttingen) for scienti®c supervision and
to design an optimal and objective set of criteria and support in Germany. Furthermore, I would like to
indicators at this time. There are a variety of different thank H. Hondong (Centre for Nature Conservation,
approaches of criteria and indicators at different University of GoÈttingen) for valuable discussions and
levels, and the process of designing, improving and advice as well as Dr. B. Stecker (Faculty of Forestry,
adjusting these sets of criteria and indicators is still in University of Applied Sciences of Eberswalde) for
development. There is still a lack of ®eld testing for all support in the project organization. I thank Dr. P.
criteria and indicator concepts (Wijewardana et al., Schleifenbaum (Haliburton Forest & Wild Life
1998). Furthermore, the formulation of measurement Reserve Ltd.) for his scienti®c supervision in Canada
units of each indicator is problematic for qualitative and technical support. Finally, I thank Prof. Dr. D.
indicators in general and for quantitative indicators in Balsillie (Faculty of Forestry, University of Toronto)
particular. Therefore, the presented method can only and M. Johnson for the review and editing of the
be a ®rst approach and should be improved and manuscript.
adjusted in the future.
A sophisticated assessment method is not used in
this concept, in order to avoid problems related to the References
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