Chapter 3: Guide to assessment, reporting and monitoring

3.1. Criterion 1: Extent of forest and tree cover

3.2. Criterion 2: Maintenance of ecosystem health and vitality

3.3. Criterion 3: Maintenance and enhancement of biodiversity

This criterion relates to the area under forest and trees based on legal land-use classification and actual tree cover of natural and planted forests. In the dry zone of Asia where large parts of the population depend heavily on forest resources for their livelihood, the forests have been modified extensively and influenced by human activities. Forest and tree cover, therefore, play a prominent role in sustainable social and economic development.

Indicator 1.1 "Area of natural and planted forests"

This indicator refers to the total forest area of natural and plantation forests as legally notified by the forest and land survey authorities (Assessable Verifier 1.1.1). In addition, information is also provided on the extent of forest cover within the legally notified forest area irrespective of ownership categories (Assessable Verifier 1.1.2). This verifier can only be assessed if the boundaries of the legally notified forest area can be overlaid on the digital forest cover map. In countries where the boundaries of the legally notified forest area are not available in digital format, Assessable Verifier 1.1.3 should be used. This verifier covers the entire forest area as interpreted from the forest cover map irrespective of any legal ownership classification. Although not always applicable, information on natural and plantation forests should be collected to the extent possible.

ASSESSMENT AND REPORTING

Assessable Verifier 1.1.1
Area of natural and planted forest as legally notified.

Assessment procedure

Data collection at the subnational level:
· Relevant records on the legally notified forest area are maintained by the forest department or land survey department at the district level.
· Access statistics on legal ownership categories and area.
· Compile the area figures separately for natural forests and plantations.

Aggregation/collection of data at the national level:
· Aggregate this information available at district and provincial levels.
· Compile the area figures of the various ownership categories in hectares (ha) as indicated in the result table.

Means of verification

· Legal documents.
· Maps and area statistics of ownership and legally notified forest area.

Periodicity of measurement

5 years

Measurement unit

Status: ha
Changes: ha/year and %/year

Reporting on Assessable Verifier 1.1.1: Date of assessment:..........
Ownership	Natural forest	Planted forest	Total
Ownership	(ha)	(ha)	(ha)
Permanent forest estate (public land)
Communal land
Private land
Others (as applicable)
Total

Assessable Verifier 1.1.2
Area of natural and planted forest within the legally notified forest area as interpreted from forest cover mapping.

Assessment procedure

Data collection at the subnational level:
Data are to be collected at the national level.

Aggregation/collection of data at the national level:
· Use the forest cover map that shows the boundaries of the legally notified forest area.
· Extract the relevant area figures for the respective country from the national forest cover mapping statistics or the FAO FRA.
· Identify and exclude areas that do not support tree cover.

Means of verification

· Forest cover map (national FRA or FAO FRA).
· Area statistics of forest cover mapping (national FRA or FAO FRA).

Periodicity of measurement

5-10 years

Measurement unit

Status: ha
Changes: ha/year and %/year

Reporting on Assessable Verifier 1.1.2
	Permanent forest estate	Communal land	Private land	Total
	(ha)	(ha)	(ha)	(ha)
Area
% of total land area

Assessable Verifier 1.1.3
Area of natural and planted forest irrespective of legal notification as interpreted from forest cover mapping.

Assessment procedure

Data collection at the subnational level:
Data are to be collected at the national level.

Aggregation/collection of data at the national level:
· Use the forest cover map.
· Extract the relevant area figures for the respective country from the national forest cover mapping statistics or the FAO FRA.

Means of verification

· Forest cover map (national FRA or FAO FRA).
· Area statistics of forest cover mapping (national FRA or FAO FRA).

Periodicity of measurement

5 years

Measurement unit

Status: ha
Changes: ha/year and %/year

Reporting on Assessable Verifier 1.1.3 Date of assessment:..........
Forest area (ha)

MONITORING

Changes in forest area as legally notified (use the information collected under Assessable Verifier 1.1.1).

Monitoring format for Indicator 1.1
Ownership	Assessment 1 (date)	Assessment 2 (date)	Net area change per year
Ownership	(ha)	(ha)	(ha)	%
Natural forest
Permanent forest estate
Communal land
Private land
Others (as applicable)
Total
Planted forest
Permanent forest estate
Communal land
Private land
Others (as applicable)
Total

Changes in area within the legally notified forest area as interpreted from forest cover mapping (if Assessable Verifier 1.1.2 is applicable, use the information collected under Assessable Verifiers 1.1.1 and 1.1.2).

Monitoring format for Indicator 1.1
Forest area		Assessment 1 (date)	Assessment 2 (date)	Annual net area change
Forest area		(ha)	(ha)	(ha)	%
Legally notified:
	· Natural forests
	· Plantation forests
	· Non-forest
From forest cover mapping:
	· Forest area

Changes in forest area irrespective of legal notification as interpreted from forest cover mapping (if Assessable Verifier 1.1.3 is applicable, use the information collected under Assessable Verifier 1.1.3).

Monitoring format for Indicator 1.1
	Assessment 1 (date)	Assessment 2 (date)	Net area change per year
	(ha)	(ha)	(ha)	%
Forest area

INTERPRETATION OF RESULTS

This indicator provides information on the trends in the size of the forest area according to total forest cover or legally notified forest area. Depending on the forest policy in a country it would be considered desirable if the legally notified forest area remains stable or increases in size. Regulations may be applicable where permanent forest areas converted to permanent non-forest uses should be replaced by a new afforestation area of comparable size.

Within the legally notified forest area a desirable trend towards sustainable forest management is when the non-forest area moves towards zero. However, it needs to be taken into account that some portions of the legally notified forest area may not support tree growth (deserts, waterlogged areas, elevations above the timberline etc.). Thus these areas need to be excluded for the calculation of forest cover.

Indicator 1.2 "Area of dense, open and scrub forest"

This indicator refers to the forest cover irrespective of whether an area belongs to the legally notified forest area or any other legal land-use category. The indicator essentially provides information on the extent and stocking conditions of all forests within the dry forest zone of a particular country. The assessment of this indicator is made on the basis of a completed forest cover mapping carried out with the help of remote sensing techniques.

For interpretation of the results derived from remote sensing imagery one should note that there are certain cartographic and technological limitations in the assessment of forest cover.

In visual interpretation, the minimum size in the imagery that can be mapped is 2 x 2 mm. This corresponds to 25 ha on the ground on a 1:250 000 scale and 1 ha on a 1:50 000 scale. Depending on the resolution of the sensors used for taking the imagery (e.g. LISS-II or LISS III with 36.25 and 23.5 m, respectively), forest patches with sizes less than the resolution are not recorded.
Considerable details on the ground may be obscured in areas having clouds and shadows. It is difficult to interpret such areas without the help of collateral data.
The reflectance of young plantations with small crown and low chlorophyll content is not recorded by satellite sensors.
Gregarious occurrence of bushy vegetation like lantana, tea and coffee poses problems in delineation of forests as their reflectance is similar to that of the forest.

Indicator 1.2 can be assessed directly. Therefore, assessable verifiers need not be introduced here.

ASSESSMENT AND REPORTING

Indicator 1.2
Areas of dense, open, scrub forest and non-forest

Assessment procedure

Data collection at the subnational level:
Data are to be collected at the national level.

Aggregation/collection of data at the national level:
· Use the forest cover map that distinguishes between forest cover classes.
· Extract the relevant area figures for the respective country from the national forest cover mapping statistics or the FAO FRA.
· Discuss the results with provincial and district staff of the forest department in order to verify the results of this assessment.

Means of verification

· Forest cover map (national FRA or FAO FRA).
· Area statistics of forest cover mapping (national FRA or FAO FRA).

Periodicity of measurement

5-10 years

Measurement unit

Status: ha
Changes: ha/year and %/year

Reporting on Indicator 1.2 Date of assessment:..........
Forest cover classes	Area	Percentage of total area
Forest cover classes	(ha)	(%)
Dense forest
Open forest
Scrub forest
Total

The forest cover classes may be defined as follows (FAO 2000):

Forest cover class	Description
Dense forest	Forests where trees in the various storeys and the undergrowth cover a high proportion (> 40%) of the ground (interpreted as foliage coverage) and do not have a continuous dense grass layer. They are either managed of unmanaged forests, primary or in advanced state of reconstitution and may have been logged-over one or more times, having kept their characteristics of forest stands, possibly with modified structure and composition.
Open forest	Forests with discontinuous tree layer but with coverage of at least 10% and less than 40% of canopy cover. Generally, there is a continuous grass layer allowing grazing and spreading of fires.
Scrub forest	Forests where the dominant woody elements are shrubs i.e. perennial plants, generally more than 0.5 m and less than 5 m high on maturity and without a definite crown.

MONITORING

Changes in forest cover classes as interpreted from forest cover mapping.

Monitoring format for Indicator 1.2
Forest cover classes	Assessment 1 (date)	Assessment 2 (date)	Net area change
Forest cover classes	(ha)	(ha)	(ha)	%
Dense forest
Open forest
Scrub forest

INTERPRETATION OF RESULTS

A desirable trend towards sustainable forest management is when the size of scrub and open forest areas declines with a corresponding rise in open and dense forests, respectively.

Indicator 1.3 "Area under trees outside forests"

This indicator refers to tree resources that exist outside the legally notified forest area (for a more detailed definition refer to Appendix 2). These trees are important sources for fuelwood, timber, fodder and other NWFPs. Because of limitations associated with remote sensing techniques the assessment of these scattered resources requires field sampling. Thus, Indicator 1.3 should only be included if periodic field inventories of areas outside forest can be implemented.

ASSESSMENT AND REPORTING

Indicator 1.3
Area under trees outside forests.

Assessment procedure

Data collection at the subnational level:
· Conduct field surveys of trees outside forests at the district level separately for rural and urban areas employing the following approach:
stratified random sampling on the basis of an agro-ecological land classification;
individual villages serve as sampling units;
distribution of sampling units over the agro-ecological zones is proportionate to the size of these zones;
all trees with dbh above 10 cm are enumerated in each sampling unit according to tree categories as shown below;
growing stock information is calculated for each tree category.
· Conduct field surveys of trees outside forests in urban areas following the approach in rural areas with the following exceptions:
sampling units are blocks of 120 to 160 households as have been defined by a statistics department for census purposes;
trees to be enumerated are grouped according to tree categories in urban areas as presented below;
growing stock information is calculated for each tree category.

Aggregation/collection of data at the national level:
· Aggregate data of trees outside forest at the national level by using the results of the district-level field surveys.

Means of verification

· Field surveys.
· Summary of field inventory results.

Periodicity of measurement

5 years

Measurement unit

Status: ha, m³
Changes: ha/year, m³/year

Categories of trees outside forests in rural areas:

Farm forestry	Trees along the farm bunds and in small patches up to 0.1 ha in area.
Village woodlots	Naturally growing or planted trees on community land.
Block plantations	Compact plantations covering an area of more than 0.1 ha and not falling in any of the above categories.
Roadside plantations	Trees planted along roadsides.
Pond side plantations	Trees planted in and around water ponds.
Railway line plantations	Trees planted along railway lines.
Canal side plantations	Trees planted along canals.
Others	Trees not falling in any of the above categories.

Categories of trees outside forests in urban areas:

Farm forestry	Trees along the farm bunds and in small patches up to 0.1 ha in area.
Woodlots	Naturally growing trees/planted trees on community land such as parks/gardens/institutional plantations etc.
Block plantations	Patches covering an area of more than 0.1 ha and not falling in any of the above categories.
Roadside plantations	Trees planted along roadsides.
Pond side plantations	Trees planted in and around water ponds.
Railway line plantations	Trees planted along railway lines.
Canal side plantations	Trees planted along canals.
Homesteads	Trees appearing in the house area and not covered in the first three categories.
Others	Trees not falling in any of the above categories.

Detailed information about the sampling design and data processing methods is provided in Forest Survey of India (2001).

Reporting on Indicator 1.3 Date of assessment:..........
Tree categories outside forests	Area	Total growing stock
Tree categories outside forests	(ha)	(m³)
Farm forestry
Village woodlots
Block plantations
Roadside plantations
Pond side plantations
Railway line plantations
Canal side plantations
Homesteads
Others

MONITORING

Monitoring format for Indicator 1.3
Tree categories outside forests	Assessment 1 (date)		Assessment 2 (date)		Net change per year
	Area	Gr.stock	Area	Gr.stock	Area	Gr.stock
	(ha)	(m³)	(ha)	(m³)	(ha)	(m³)
Farm forestry
Village woodlots
Block plantations
Roadside plantations
Pond side plantations
Railway line plantations
Canal side plantations
Homesteads
Others

This table shows the results of at least two assessments at five-year intervals and the change of the area and growing stock within the various tree categories outside forests as assessed through field sampling.

INTERPRETATION OF RESULTS

For a meaningful interpretation of the results of this indicator a comparison with the land-use and forest policy is necessary. For reasons of maintaining or achieving food security within the dry zone area in Asia prevailing land-use policies in many countries do not encourage the establishment of forests on productive agricultural land. However, the maintenance of sufficient tree cover for protection purposes e.g. to prevent soil erosion, and the production of wood and NWFPs on marginal lands is desirable.

Indicator 1.4 "Forest areas diverted for non-forestry use"

This indicator refers to the conversion of legally notified forest areas to permanent non-forest uses. This is a legal process that for many different reasons related to development may take place, e.g. establishment of infrastructure such as roads, power transmission lines, industrial estates, settlements or agriculture. Since legal processes are well documented by all forestry administrations this indicator can be assessed directly using the official records.

ASSESSMENT AND REPORTING

Indicator 1.4
Forest areas diverted for non-forestry use.

Assessment procedure

Data collection at the subnational level:
· Extract the relevant area figures from the official records at the district/provincial level.

Aggregation/collection of data at the national level:
· Aggregate the area figures from the districts and compile results at the national level.

Means of verification

· Official records such as diversion orders from the forestry department and land/survey departments.
· Annual administrative reports.

Periodicity of measurement

5 years

Measurement unit

Status: ha
Changes: ha/year and %/year

Reporting on Indicator 1.4 Date of assessment:..........
Non-forestry uses	Area	Percentage of total area before diversion
Non-forestry uses	(ha)	(%)
Agriculture
Settlements
Urbanization
Irrigation
Hydroelectric power generation
Mining
Industrial estates
Others (specify if applicable)
Total area

MONITORING

Changes in diversion rate (five-year period) from permanent forest to non-forestry uses.

Monitoring format for Indicator 1.4
	Assessment 1 (diversion of last 5 years)		Assessment 2 (diversion of last 5 years)		Diversion trend per year (last 10 years)
Non-forestry uses	Area	% of total area before diversion	Area	% of total area before diversion	Area	% of total area
Non-forestry uses	(ha)	(%)	(ha)	(%)	(ha)	(%)
Agriculture
Settlements
Urbanization
Irrigation
Hydroelectric power generation
Mining
Industrial estates
Others (specify if applicable)
Total area

INTERPRETATION OF RESULTS

The trend in diversion of permanent forest areas to non-forestry uses needs to be interpreted in relation to prevailing land-use and forest policy stipulations.

Indicator 1.5 "Extent of encroachment in forest areas"

With this indicator it is intended to quantify the impact of illegal occupation in forest areas. This can be assessed using two assessable verifiers, one on the number of legal proceedings filed against individual encroachment cases (Assessable Verifier 1.5.1), the other on the impact of encroachment activities on forest stocking conditions (Assessable Verifier 1.5.2). The latter can only be included in the assessment if forest cover maps with boundaries of the permanent forest estate and GIS processing facilities are available.

ASSESSMENT AND REPORTING

Assessable Verifier 1.5.1
Number of cases of encroachment.

Assessment procedure

Data collection at the subnational level:
· Access the official records on encroachment cases.

Aggregation/collection of data at the national level:
· Aggregate the area figures from the districts and compile results at the national level.
· Compile the number of encroachment cases and area figures of the various encroachment categories as indicated in the result table.

Means of verification

· Official records on encroachment cases.
· Annual administrative reports.

Periodicity of measurement

5 years

Measurement unit

Status: number, ha
Changes: ha/year and %/year

Reporting on Assessable Verifier 1.5.1 Date of assessment:..........
Types of encroachment	Encroachment cases	Area affected by encroachment
Types of encroachment	(number)	(ha)
Agriculture
Settlements
Others (if applicable)
Total

Assessable Verifier 1.5.2
Extent of drastic changes from dense/open forests to non-forest conditions.

Assessment procedure

Data collection at the subnational level:

Aggregation/collection of data at the national level:
· Use the forest cover maps and area statistics of two consecutive interpretation exercises (e.g. 5 or 10-year intervals).
· Check the area statistics for an increase of non-forest areas.
· If there is a drastic increase of the non-forest area, obtain more detailed information on the area changes from dense forest to non-forest and open forests to non-forests through GIS data processing at very specific localities (e.g. contiguous forest blocks). Encroachment is often represented by potholes created in the cover map.

Means of verification

· Forest cover map.
· Area statistics of forest cover mapping (national FRA or FAO FRA).

Periodicity of measurement

5 years

Measurement unit

Status: number, ha
Changes: ha and %

Reporting on Assessable Verifier 1.5.2 Date of assessment:..........
	Area changes: Dense forest to non-forest	Area changes: Open forest to non-forest	Area changes: Dense/open forest to non-forest
	(ha)	(ha)	(ha)
Area
% of dense/open forest area

MONITORING

Comparison of encroachment cases and actual area change in forest cover classes.

Monitoring format for Indicator 1.5
Ownership	Encroachment cases		Area change from dense/open forest to non-forest for a period of 5 or 10 years
	Number of cases	Area
	(number)	(ha)	(ha)	%
Agriculture
Settlements
Others (as applicable)
Total

INTERPRETATION OF RESULTS

The comparison of encroachment cases and changes in the actual forest cover can only provide some crude indication of what has happened in the context of declining forest area. Both approaches have their limitations in that not all encroachments are recorded and followed up by legal action. Also, the same encroachment spot may be registered more than once in case of subsequent legal action on the same forest area. Furthermore, smaller patches (i.e. < 25 ha for maps with a scale of 1:250 000 and < 1 ha for maps with a scale of 1:50 000) cannot be identified on the forest cover map. However, the information provided by this indicator would, to some extent, shed some light on the contribution of illegal encroachment in the decline of forested areas.

This criterion relates to the conditions of the dry forests and the biological functioning of the forest ecosystems. The health and vitality of forests can be affected by a variety of human actions and natural occurrences. Within certain limits the forest ecosystem is able to withstand disturbances and recuperate on its own. Natural or human-induced events of severe or even catastrophic extent may cause irreversible damage to the forest and lead to a decline of the forest. The indicators under this criterion attempt to capture the primary (Indicator 2.1) and secondary (Indicator 2.2) causes that negatively affecting forest health.

Indicator 2.1 "Extent of natural regeneration"

This indicator refers to the natural successions of forests on unstocked or partially stocked lands that are considered as forest. Within a natural forest management system, stands that are near to maturity or will be harvested need to have natural regeneration that is adequate in species composition and stocking. The existence of natural regeneration indicates the functioning of ecosystem processes and is also important for maintaining the forest's productivity. Since natural regeneration is relevant only at the local, site-specific level, the respective information is collected and updated through regular forest management planning. Consequently, adequate information about natural regeneration is only available for those areas under management plans. Therefore, this indicator exclusively refers to forests for which management plans have been prepared.

ASSESSMENT AND REPORTING

Indicator 2.1
Extent of natural regeneration.

Assessment procedure

Data collection at the subnational level:
· Review forest management plans for information about extent of natural regeneration.
· Compile area statistics on forest stands that require natural regeneration in order to maintain productivity and protective functions.
· Compile information on areas under adequate regeneration.
· Calculate ratio of area in need of natural regeneration and area under adequate regeneration.

Aggregation/collection of data at the national level:
· Calculate the average ratio of area in need of natural regeneration and area under adequate regeneration.

Means of verification

· Forest management plans.
· Consultation with district staff of the forestry department.

Periodicity of measurement

5 years

Measurement unit

Status: ha, %
Changes: %

Reporting on Indicator 2.1 Date of assessment:..........
	Forest area in need of natural regeneration	Forest area under adequate natural regeneration	Ratio between forest area in need of natural regeneration and area under adequate regeneration
	(ha)	(ha)	(%)

MONITORING

Adequacy of natural regeneration.

Monitoring format for Indicator 2.1
	Assessment 1 (date)	Assessment 2 (date)	Change
	%	%	%
Ratio between forest area in need of natural regeneration and area under adequate regeneration.

INTERPRETATION OF RESULTS

An overall ratio of about 1 would indicate that all areas that need to be regenerated show adequate stocking of natural regeneration species. Trends towards this situation are desirable for long-term maintenance of ecosystem functioning and productivity of the forests. In interpreting this indicator it should be mentioned that the results only apply to the area under management plans.

Indicator 2.2 "Extent of secondary forests"

Secondary forest usually refers to vegetation that establishes after the original natural tree cover has been destroyed either through natural or human-induced influences. In dry forests of Asia such areas are categorized under scrub forests in the forest cover mapping exercise. Since the area of scrub forests is assessed under Indicator 1.2, it is proposed not to deal further with this issue here.

Indicator 2.3 "Extent of forest areas affected by noxious weeds and pests/diseases

This indicator relates to disturbances of the forest ecosystem by weeds and pests/diseases of epidemic proportions. These are largely the consequences of natural and human-induced phenomena as described in Indicator 2.4. Noxious weeds, for example, can thrive in forests that for a long time have been subject to grazing with associated soil compaction and destruction of the natural flora and fauna (Assessable Verifier 2.3.1). Another factor is related to pests and diseases that occur in proportions not regular in extent and duration (Assessable Verifier 2.3.2).

ASSESSMENT AND REPORTING

Assessable Verifier 2.3.1
Extent of area under noxious weeds.

Assessment procedure

Data collection at the subnational level:
· Compile data on areas affected by noxious weeds.

Aggregation/collection of data at the national level:
· Compile the figures obtained at the district level to provincial and national levels.

Means of verification

· Annual reports by district forest offices on areas affected by noxious weeds.
· Working plan/management plan data where they exist.

Periodicity of measurement

5 years

Measurement unit

Status: ha
Changes: ha/year, %/year

Reporting on Assessable Verifier 2.3.1 Date of assessment:..........
Types of noxious weeds	Area affected	Total forest area	Area affected as % of total forest area
Types of noxious weeds	(ha)	(ha)	(%)
Lantana camara
Parthenium
Flemingia
Others, if applicable
Total

Assessable Verifier 2.3.2
Extent of area affected by pests and diseases of epidemic proportions.

Assessment procedure

Data collection at the subnational level:
· Review records of areas affected by pests and diseases of epidemic proportions.
· Assess the area according to the most relevant pests and diseases*.

Aggregation/collection of data at the national level:
· Compile the figures obtained at the district level to provincial and national levels

Means of verification

· Annual reports by district forest offices on areas affected by pests and diseases.

Periodicity of measurement

5 years

Measurement unit

Status: ha
Changes: ha/year, %/year

* In order to assess this parameter, a country specific classification on pests and diseases occurring in the dry forests needs to be compiled. An example from India is given here:

Reporting on Assessable Verifier 2.3.2 Date of assessment:..........
Type of pest/disease	Area affected
Type of pest/disease	(ha)
Shorea heartwood borer
Teak defoliator/skeletonizer
Root fungus (Fusarium)
Total

MONITORING

Table showing the types of noxious weeds and pests and diseases.

Monitoring format for Indicator 2.3
Types of noxious weeds, pests and diseases	Assessment 1 (date)	Assessment 2 (date)	Net area change
Types of noxious weeds, pests and diseases	(ha)	(ha)	(ha)	%
Lantana camara
Parthenium
Flemingia
Others, if applicable
Total
Shorea heartwood borer
Teak defoliator/skeletonizer
Root fungus (Fusarium)
Others, if applicable
Total

INTERPRETATION OF RESULTS

The extent of noxious weeds, pests and diseases provides some general indication about the health status of the forests. Frequent diseases of epidemic proportions would warrant some action in order to keep the ecosystem healthy and vital. Thus trends towards reduced areas affected by diseases would clearly indicate a path towards sustainable management.

Indicator 2.4 "Extent of forest area affected by human-induced and natural occurrences"

This indicator relates to disturbances caused by human activities such as burning and grazing, and to natural disturbances such as strong winds/storms and floods. Because the impacts of these occurrences on the forests are measured in different ways, separate assessable verifiers have been formulated, for each uncontrolled fire (Assessable Verifier 2.4.1), grazing (Assessable Verifier 2.4.2), wind/storm (Assessable Verifier 2.4.3) and flooding (Assessable Verifier 2.4.4) event.

ASSESSMENT AND REPORTING

Assessable Verifier 2.4.1
Extent of area affected by uncontrolled* fire.

Assessment procedure

Data collection at the subnational level:
· Relevant records on fires in the legally notified forest area are maintained by the forest department at the district level.
· Compile summary statistics on number of fire incidences and the area affected.

Aggregation/collection of data at the national level:
· Access statistics on fires at district/provincial levels.
· Aggregate this information, available at district and provincial levels.
· Compile the number of fire outbreaks and the area affected on an annual basis.

Means of verification

· Reports on fires by the forest department.

Periodicity of measurement

5 years

Measurement unit

Status: number of cases and ha
Changes: ha/year and %/year

*Within the context of fire protection for dry forest areas this assessable verifier exclusively refers to uncontrolled fires. Controlled burning to remove litter layers and the clearing and burning of fire breaks to prevent fires from spreading are important fire management control measures not accounted for in this assessable verifier.

Monitoring of fire incidences is carried-out in all forest areas under the jurisdiction of the forest department. Other forests are usually not covered. Depending on the country-specific situation the area covered by fire monitoring needs to be specified for this assessable verifier.

Assessable Verifier 2.4.2
Extent of area affected by grazing.

Assessment procedure

Data collection at the subnational level:
· Roughly identify those forest areas that are not affected by grazing. This allows obtaining an approximation of the area constantly or sporadically affected by grazing. Experienced forestry staff are able to identify these areas on forest maps.
· Determine the number of head of cattle in the vicinity of forests. This can be done if a regular cattle census is carried out and the term "vicinity of forests" is also specified (each country to define the respective zone).
· Calculate the number of head of cattle per unit forest area affected by grazing.
· Define the carrying capacity for each locality (district, province etc.) in consultation with expert organizations such as agricultural departments, universities etc.
· Calculate at the district level the area affected by grazing at two intensity levels: (a) below carrying capacity and (b) above carrying capacity.

Aggregation/collection of data at the national level:
· Access statistics on the area affected by grazing at the district level.
· Calculate the total area affected by grazing that is below or above carrying capacity.
· Aggregate this information, available at district/provincial levels, to obtain the figures for the national level.

Means of verification

· Reports on cattle censuses.
· Statistics on areas affected by grazing (maps).

Periodicity of measurement

5 years

Measurement unit

Status: number of cattle, ha
Changes: ha/year and %/year

Reporting on Assessable Verifier 2.4.2 Date of assessment:..........
Grazing intensity	Average number of cattle head per unit forest area affected by grazing	Area affected by grazing
Grazing intensity	(n)	(ha)
Below capacity
Above capacity
Total

Assessable Verifier 2.4.3
Extent of area reforested after destruction by severe winds/storms or floods.

Assessment procedure

Data collection at the subnational level:
· Compile data on areas affected by severe winds/storms or floods over the last 5 years for each district.
· Review records for areas restocked by natural or artificial means.
· Define level of rehabilitation (e.g. blank, partly stocked, fully stocked)*.
· Compile annual figures of affected areas and restocked areas.

Aggregation/collection of data at the national level:
· Compile the figures obtained at the district level to provincial and national levels.

Means of verification

· Annual reports at district forest offices on areas destroyed by winds/storms and floods.
· Annual activity reports on reforestation measures.
· Reports on investments into forest rehabilitation after natural disasters.

Periodicity of measurement

5 years

Measurement unit

Status: ha
Changes: ha/year, %/year

*A simple classification of the level of rehabilitation needs to be developed that allows forestry staff to group the destroyed areas according to the progress made in restocking them either by natural means or planting.

Reporting on Assessable Verifier 2.4.3 Date of assessment:..........
Status of rehabilitation	Area affected by winds/storms (last 5 years)	Area affected by floods (last 5 years)	Total area affected by natural disasters (last 5 years)	Total
Status of rehabilitation	(ha)	(ha)	(ha)	(ha)
Blank
Partly stocked
Fully stocked
Total

MONITORING

Table showing the results of fire-affected areas.

Monitoring format for Indicator 2.4
Area affected by uncontrolled fire (5-year period)	Assessment 1 (date)	Assessment 2 (date)	Net area change
Area affected by uncontrolled fire (5-year period)	(n)/(ha)	(n)/(ha)	(n)/(ha)	%
Number of cases
Area

Table showing the results of areas affected by grazing.

Monitoring format for Indicator 2.4
Area affected by grazing (5-year period)	Assessment 1 (date)	Assessment 2 (date)	Net area change
Area affected by grazing (5-year period)	(n)/(ha)	(n)/(ha)	(n)/(ha)	%
Average number of cattle head per unit forest area affected by grazing.
Area affected by grazing below capacity.
Area affected by grazing above capacity.

Table showing the status of rehabilitation of areas affected by natural disasters.

Monitoring format for Indicator 2.4
Status of rehabilitation of areas affected by winds/storms and floods (last 5 years)	Assessment 1 (date)	Assessment 2 (date)	Net area change
	(n)/(ha)	(n)/(ha)	(n)/(ha)	%
Blank
Partly stocked
Fully stocked
Total

INTERPRETATION OF RESULTS

Although heavily dependent on the overall climatic circumstances (e.g. drought, temperature, rainfall) long-term trends in reducing the incidences of uncontrolled fire provide some indication about the efforts made and quality achieved towards sustainable forest management. Similarly, controlling grazing by limiting the use of forests as grazing grounds will also demonstrate the effectiveness of conflict resolution and participatory planning between forestry agencies and local communities.

In contrast, natural disasters like severe winds and storms or floods cannot be prevented as such. However, efforts towards repairing environmental damage and rehabilitating the forest can be used to measure the level of ecosystem health and vitality.

Reporting on Assessable Verifier 2.4.1
Date of assessment:.........

Annual area affected by fire

Year 1

Year 2

Year 3

Year 4

Year 5

Total in 5 years

Number of incidences

Area affected

Under this criterion an assessment of the status of biological diversity in the dry forests is undertaken. Because protection areas play a major role in the conservation of the rich diversity of plant and animal species, the size of their area is monitored. The protection areas are also classified according to the forest type they represent providing additional valuable information about the range of biological diversity captured in fully protected zones. At the individual species level, threats to biodiversity are assessed through the lists of threatened and extinct plant and animal species along with the existing regulations on protecting these species. At the level of gene resources, the level of conservation efforts is measured by looking at the occurrence of threatened species in one of several ongoing gene conservation mechanisms.

Indicator 3.1 "Extent of protected areas"

This indicator refers to forest areas that are protected by law. It also provides information about the occurrence of the natural forest types within these protected zones. The rationale for this proposed amendment is as follows: Besides the fact that a minimum percentage of the total forest area should be fully protected, it is of equal importance for the conservation of biodiversity that these areas adequately represent the natural forest types which are typical for the dry forest zone in a particular region. Each of the two aspects (i.e. area of protected forest and forest type within these conservation zones) is assessed with a separate assessable verifier as outlined below.

ASSESSMENT AND REPORTING

Assessable Verifier 3.1.1
Extent of protected areas.

Assessment procedure

Data collection at the subnational level:
· Review relevant area records on protected areas maintained by the forest department, departments of environment etc. at district or provincial levels.
· Compile summary statistics for each district/province on size of protected areas according to the official protected area classification.

Aggregation/collection of data at the national level:
· Compile total area of protected areas at the national level.

Means of verification

· Area statistics of the forest department, ministry of environment, department of environment etc.
· Official maps of protected area networks.

Periodicity of measurement

5 years

Measurement unit

Status: ha
Changes: ha and %

Reporting on Assessable Verifier 3.1.1 Date of assessment:..........
Protected area classification (according to IUCN)*	Area	Percentage of total protected area
Protected area classification (according to IUCN)*	(ha)	(%)
Strict nature reserves/wilderness areas
National parks
Natural monuments
Habitats/species management areas
Protected landscapes
Managed resource protection areas
Total protected area		100%

* If the IUCN protected area classification is not in use it needs to be replaced by a nationally accepted system.

Assessable Verifier 3.1.2
Representation of forest types in the protected areas.

Assessment procedure

Data collection at the subnational level:
· Review forest type classification and mapping for each protected area and generate area statistics of forest types.
· Compile the extent of forest types within the protected areas for individual districts/provinces.

Aggregation/collection of data at the national level:
· Compile the total area of forest types in protected areas at the national level.

Means of verification

· Forest type map.
· Area statistics of the forest department, department of environment.
· Vegetation surveys of expert institutions.

Periodicity of measurement

5 years

Measurement unit

Status: ha
Changes: ha and %

Reporting on Assessable Verifier 3.1.2 Date of assessment:..........
Forest types	Area	Percentage of total protected area
Forest types	(ha)	(%)
Type 1: Dry deciduous teak forest.
Type 2: Dry and thorny forest
Type 3: Deserts
Etc.
Total protected area		100%

MONITORING

Table showing the extent of the protected area by forest type.

Monitoring format for Indicator 3.1
Forest types in protected areas	Assessment 1 (date)	Assessment 2 (date)	Net area change
Forest types in protected areas	(ha)	(ha)	(ha)	%
Type 1: Dry deciduous teak forest
Type 2: Dry and thorny forest
Type 3: Deserts
Etc.
Total protected area

INTERPRETATION OF RESULTS

The information on total protected areas and representation of forest types within these protected areas provides a general picture about biodiversity conservation in the dry forest zone of a country. Long-term trends in protected area development and forest type representation will allow the identification of future conservation measures. These may include the expansion of the protection zone to include forest types and sites of special conservation value into the existing network of protection areas.

Indicator 3.2 "Number of threatened, keystone, flagship and endemic species of plants and animals"

This indicator refers to the official lists of threatened plant and animal species that have been compiled by expert organizations in the field of botanical and zoological sciences. In addition, information on special measures in place for the protection of threatened species is also collected under this indicator. It should be noted that a slight change to this indicator is proposed here. This indicator should exclusively deal with threatened species. These species are well defined through their occurrence on the list of threatened species and their status has been verified by experts. Also adding to this assessment keystone, flagship and endemic species would lead to some overlap in assessment and make interpretation of results more complicated. It is also proposed to add an assessment of the provisions in place to protect the threatened species. The proposed revised wording of this indicator is: Number of threatened species of plants and animals and provisions in place to protect them.

The list of threatened plant and animal species is dealt with by Assessable Verifier 3.2.1, while information on special protection measures is compiled through Assessable Verifier 3.2.2.

ASSESSMENT AND REPORTING

Assessable Verifier 3.2.1
Number of threatened species of plants and animals and species driven to extinction.

Assessment procedure

Data collection at the subnational level:
Information to be collected at the national level.

Aggregation/collection of data at the national level:
· Review the relevant documents to obtain the latest updated and approved lists of threatened/extinct plant and animal species.
· Verify the lists through discussions with expert institutions.

Means of verification

· Reports by scientific organizations on threatened species.
· Decrees, circulars by the ministry of forestry, environment or agriculture.
· Interviews with experts.

Periodicity of measurement

5 years

Measurement unit

Status: number
Changes: number

Reporting on Assessable Verifier 3.2.1 Date of assessment:...........
List of threatened/extinct species	Individual species (scientific name, vernacular name)	Total number of species under each list
List of threatened/extinct species
List of plants extinct
List of plants threatened
List of animals extinct
List of animals threatened

Assessable Verifier 3.2.2
Provisions in place to protect threatened species.

Assessment procedure

Data collection at the subnational level:
Information to be collected at the national level.

Aggregation/collection of data at the national level:
· Review the relevant documents to obtain information about the level of protection of threatened plant and animal species.
· Discuss with expert institutions the level of protection and its impact through practical implementation.

Means of verification

· Laws on environmental protection, forestry and wildlife management.
· Regulations issued by the ministry of forestry, environment or agriculture.

Periodicity of measurement

5 years

Measurement unit

Status: categories (level of protection)
Changes: %

Reporting on Assessable Verifier 3.2.2 Date of assessment:...........
Threatened species lists	Threatened species	Fully protected	No protection
List of plants:	Species 1
	Species 2

List of animals	Species 1
	Species 2
	.
	.
	.

MONITORING

Changes in number of threatened and extinct species of plants and animals.

Monitoring format for Indicator 3.2
	Assessment 1 (date)	Assessment 2 (date)	Net changes
	Total number of species	Total number of species	Total number of species	Moved to list of extinct species	Newly threatened species
List of extinct plant species
List of extinct animal species
List of threatened plant species
List of threatened animal species

Changes in protection measures for threatened species of plants and animals.

Monitoring format for Indicator 3.2
	Assessment 1 (date)		Assessment 2 (date)		Changes
	Percentage of number of species		Percentage of number of species		Percentage of number of species
	Fully protected	No protection	Fully protected	No protection	Fully protected	No protection
List of threatened plant species
List of threatened animal species

INTERPRETATION OF RESULTS

Changes in the total number of plant and animal species in the list of extinct and threatened species reflect the status of conservation of biological diversity within the dry forest zone. Countermeasures by the land and forest administration to protect threatened species can be derived from the assessment of protection regulation in place for the individual species. This information will clearly indicate desirable future steps to be undertaken towards enhanced conservation measures.

Indicator 3.3 "List of flora and fauna"

Under this indicator the plants and animal species occurring in the dry forest zone of Asia are documented. Expert institutions in the field of botany and zoology need to be involved in this task. The level of detail on plants and animal species and the format for reporting are to be decided in close cooperation with the respective experts.

Indicator 3.4 "Extent of non-destructive harvest"

Although one of the most important ingredients of "good management", low/reduced impact harvesting operations can only be monitored at the FMU level, provided a systematic process of management/operational planning and monitoring/reporting is followed. In many regions of the dry forests in Asia this is still the exception and thus such data are neither available at the FMU level nor at the national level. At the current stage, it appears very difficult to obtain adequate data for this indicator. In areas with systematic forest management planning and control of implementation of forest operations one may assess the annual area that is harvested with reduced-impact methods. The extent of these areas could serve as examples for non-destructive harvest operations.

Indicator 3.5 "Percentage of cover by forest type"

This indicator assesses the distribution of forest types in the legally notified forest area. Forest type usually refers to a classification of forest land based on species forming a plurality of live-tree stocking. Type is determined by species composition of all live trees that contribute to stocking. In measuring this indicator a locally relevant classification needs be adopted taking into consideration the natural forest type and any major forest type created through human influences such as plantations.

Indicator 3.5
Percentage of cover by forest type.

Assessment procedure

Data collection at the subnational level:
· Review forest type classification and mapping for the entire legally notified forest area at the district level.
· Compile the extent of forest types for individual provinces.

Aggregation/collection of data at the national level:
· Compile the total area offorest within the dry forest zone at the national level.

Means of verification

· Forest type map.
· Area statistics of the forest department, department of environment.
· Vegetation surveys of expert institutions.

Periodicity of measurement

5 years

Measurement unit

Status: ha
Changes: ha and %

Indicator 3.5 Date of assessment:..........
Forest types	Area	Percentage of total protected area
Forest types	(ha)	(%)
Dry deciduous teak forest.
Dry and thorny forest
Plantations
Etc.
Total protected area		100%

MONITORING

Table showing the extent of area by forest type.

Monitoring format for Indicator 3.5
Forest types in the legally notified forest area	Assessment 1 (date)	Assessment 2 (date)	Net area change
Forest types in the legally notified forest area	(ha)	(ha)	(ha)	%
Dry deciduous teak forest.
Dry and thorny forest
Plantations
Etc.
Total protected area

INTERPRETATION OF RESULTS

Trends in the coverage of forest types provide, at a general scale, information about the changes in tree species composition and structure of forest stands. If the forest type classification distinguishes between natural and human-induced stand structures, the monitoring results will also allow reporting on the success or failure to maintain the extent of certain natural and/or semi-natural forest ecosystems.

Indicator 3.6 "Mechanisms for the conservation of genetic resources"

In the context of maintaining or even enhancing the level of biological diversity the mechanisms for the conservation of genetic resources of threatened species is of utmost importance. Therefore, this indicator looks at the list of threatened plant species and establishes which of these species are covered by established gene conservation mechanisms. Since this information can be assessed directly a further breakdown of the indicator into assessable verifiers is not required.

ASSESSMENT AND REPORTING

Indicator 3.6
Mechanisms for the conservation of genetic resources.

Assessment procedure

Data collection at the subnational level:
· Collect information on existing gene conservation methods.
· Compile statistics on species used in individual gene conservation methods.

Aggregation/collection of data at the national level:
· Compile statistics on species used in individual gene conservation methods at the national level.

Means of verification

· Reports on gene resource conservation by the forest department, national or provincial research institutions.

Periodicity of measurement

5 years

Measurement unit

Status: numbers
Changes: %

Reporting on Indicator 3.6 Date of assessment:..........
Threatened species	Gene conservation mechanism
Threatened species	**In-situ conservation***	**Ex-situ conservation***	Germplasm bank*	Tissue culture*
Species 1
Species 2
Species 3
Etc.
Total number of species covered

*Definitions:

In-situ conservation: Specially marked conservation plots within natural forests (trees are permanently marked).
Ex-situ conservation: Planted trees outside natural forests.
Germplasm bank: A reserve plot where important species are planted and maintained as a gene bank for further propagation of the species.
Tissue culture: Reproducing species through the techniques of tissue culture using plant components.

MONITORING

Changes in coverage of threatened species in gene conservation mechanisms.

Monitoring format for Indicator 3.6
Gene conservation mechanisms	Assessment 1 (date)			Assessment 2 (date)			Changes
	Percentage of threatened species			Percentage of threatened species			Percentage of threatened species
	Fully covered	Partly covered	Not covered	Fully covered	Partly covered	Not covered	Fully covered	Partly covered	Not covered
In-situ conservation
Ex-situ conservation
Germplasm bank
Tissue culture

Definition of full coverage, partial coverage: Full coverage is achieved if the threatened species is at least covered by in-situ and ex-situ mechanisms. It is only partly achieved if the species is covered by one of the four methods.

INTERPRETATION OF RESULTS

Changes in the coverage of threatened species in one or more gene conservation mechanisms provide some insight into the active conservation efforts undertaken by the forest authorities. A desirable situation would be achieved if the majority of the threatened species is covered by at least two out of four gene conservation mechanisms.