Forest Management and Planning Forest Management and Planning Second Edition Pete Bettinger Warnell School of Forestry and Natural Resources, University of Georgia, Athens, GA, United States Kevin Boston Department of Forestry and Wildland Sciences, Humboldt State University, Arcata, CA, United States Jacek P. Siry Warnell School of Forestry and Natural Resources, University of Georgia, Athens, GA, United States Donald L. Grebner Department of Forestry, Mississippi State University, Mississippi State, MS, United States AcademicPressisanimprintofElsevier 125LondonWall,LondonEC2Y5AS,UnitedKingdom 525BStreet,Suite1800,SanDiego,CA92101-4495,UnitedStates 50HampshireStreet,5thFloor,Cambridge,MA02139,UnitedStates TheBoulevard,LangfordLane,Kidlington,OxfordOX51GB,UnitedKingdom Copyrightr2017ElsevierInc.Allrightsreserved. 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BritishLibraryCataloguing-in-PublicationData AcataloguerecordforthisbookisavailablefromtheBritishLibrary LibraryofCongressCataloging-in-PublicationData AcatalogrecordforthisbookisavailablefromtheLibraryofCongress ISBN:978-0-12-809476-1 ForInformationonallAcademicPresspublications visitourwebsiteathttps://www.elsevier.com Publisher:CandiceJanco AcquisitionEditor:MaryPreap EditorialProjectManager:PatGonzalez ProductionProjectManager:Luc´ıaPe´rez Designer:GregHarris TypesetbyMPSLimited,Chennai,India Dedication This book is dedicated to our wives, children, families, and students Preface Forest Management and Planning arose from our desire Oceania, Asia, and Europe. Although we currently work to provide for students in forestry and natural resource in academia, we have worked for the forest industry and management programs a focused treatment of the topics forestry consultants, as well as state, federal, and interna- that are important for upper-level forest management tional organizations. In addition, our extensive travels courses. This book presents an extensive overview of the have allowed us to gain experience and understanding of methodology one might use to develop forest and natural forest management challenges in other parts of the world. resource management plans, and to analyze a number of Our goal was to develop a book that avoided taking an resource issues that are encountered by managers. A advocacyposition onimportant topics such as sustainabil- portion of the book is devoted to the development of ityandforestcertification, since many ofthesealternative information to support stand-level and forest-level man- management paradigms are used in today’s natural agement planning processes. In this regard, we discuss resource management environment. We attempt to pro- commonly used economic and ecological criteria for vide impartial treatment of these types of topics, since assessing the value and relative differences between plans many are value-laden. As a result, the book provides an of action at both the stand- and forest-level. At the forest- overview of the issues and discusses many of the chal- level, we emphasize the development of traditional com- lengesandopportunitiesrelatedtomanagingforestsunder modityproductionforestplansaswellasthedevelopment alternativephilosophies. of forest plans containing both wildlife goals and other The first part of Forest Management and Planning ecosystem services. We also present alternative methods describesthemanagementplanningprocess(seeChapter1: for developing forest-level plans, such as those that Management of Forests and Other Natural Resources) and involvediscreteyesornomanagement decisions. the development of information necessary for valuing and Many of the topics included in upper-level university characterizing forest conditions (see Chapter 2: Valuing natural resource management courses have remained and Characterizing Forest Conditions). Included in stable over the past 40 years. These topics generally Chapter 2, are physical, economic, and ecological meth- include economic and physiological assessments of forest ods for valuing and characterizing forest conditions. The structure to determine whether proposed courses of action first part of the book also provides an overview of geo- can meet a landowner’s needs. However, quantitative for- graphic databases (see Chapter 3: Geographic Information est planning has broadened and now includes complex and Land Classification in Support of Forest Planning) wildlife goals, spatial restrictions on forest management and the methods used to estimate and project conditions plans, and other advanced issues. In addition, forest sus- into the future (see Chapter 4: Estimation and Projection tainability and forest certification are central issues for of Stand and Forest Conditions). We then turn our land management organizations, and wood supply chain- attention to tree- and stand-level optimization techniques of-custodyandcarboncertificationissuesarenowbecom- (see Chapter 5: Optimization of Tree- and Stand-Level ing important in forest management planning. Therefore, Objectives), graphical techniques for envisioning linear although this book begins with a discussion of methods planning problems (see Chapter 6: Graphical Solution for assessing and valuing fine-scale decisions (e.g., a sin- Techniques for Two-Variable Linear Problems), and lin- gle project), it concludes with discussions of how we ear programming (see Chapter 7: Linear Programming), a might use them to address broader-scale issues for the commonly used mathematical problem-solving technique. managementofnaturalresources. Chapter 8, Advanced Planning Techniques, focuses on Our various experiences in forest management over advanced forest planning techniques such as mixed- the last 40 years have helped us to craft this book. While integer programming, goal programming, binary search, each of the authors has taken and taught forest manage- and heuristics. Forest-level planning generally utilizes lin- ment courses, we have also acquired valuable practical ear programming or these advanced techniques, thus an experience throughout North and Central America, understanding of their similarities and differences is xi xii Preface important for natural resource managers. Starting with Appendix as well. The geographic information system Chapter9,ForestandNaturalResourceSustainability),we databasesrelatedtotheseforestscan beacquiredfromthe begin to associate the planning techniques with broader authors. Appendix B, The Simplex Method for Solving issues prevalent within the field of natural resource man- Linear Planning Problems, provides a description of the agement. Chapter 10, Models of Desired Forest Structure, Simplex Method, which is a process used within linear describes a number of models of desired forest structure, programming to locate optimal solutions to linear plan- and Chapter 11, Control Techniques for Commodity ning problems. Appendix C, Writing a Memorandum or ProductionandWildlifeObjectives,discussesanumberof Report,provides adiscussion andhelpfulhintsforwriting control techniques that one might use to move forests to a memorandumsandreports. desiredstructure.Hereonewillfindtheclassical concepts Although the book contains a number of graphics to ofareaandvolumecontrol. Spatialrestrictions are increas- help students visualize management problems, we incor- inglybeingincorporatedintoforestplans,thereforewepro- porated several photographs as well to associate the con- vide a discussion of several of these in Chapter 12, Spatial cepts described to the management of the land. Most of Restrictions and Considerations in Forest. The remaining the photographs provided in the book were captured by chaptersofthebookcoverotherissuesofimportanceinfor- KellyA.Bettinger,awildlifebiologist,throughherexten- est management and planning, including the hierarchy of sive travels.Theexception is the photograph of Hurricane planning processes typically found in land management Katrina storm damage in Chapter 6, which was taken by organizations (see Chapter 13: Hierarchical System for Andrew J. Londo, assistant director for agriculture and Planning and Scheduling Management Activities), the natural resources extension at Ohio State University. The wood supply chain and its management (see Chapter 14: photograph on the cover of the book is from Durango, Forest Supply Chain Management), and forest certification Mexico, courtesy of Donald L. Grebner. Finally, we are and carbon sequestration (see Chapter 15: Forest grateful for the review of our uneven-aged forest linear CertificationandCarbonSequestration).Newtothesecond programming model contained in Chapter 7, by Dr. John edition, Chapter 16, Scenario Analysis in Support of Wagner, Professor of Forest Resource Economics at the Strategic Planning, provides a discussion of how scenario State University of New York, College of Environmental analysis might be used to further explore the trade-offs SciencesandForestry(SUNY-ESF). amongalterativestrategicforestplans. We hope that readers of this book will find it to be a Three appendices are provided in this book toenhance usefullearningtoolandavaluablereferenceintheirfuture the learning process. Appendix A, Databases Used careers in natural resource management. Our goal is to Throughout Forest Management and Planning, provides provide readers with descriptions and examples of forest data that is used in a number of examples throughout the management and planning tools, so that they may become book. One set of data involves a 100-year projection of a confidentandcompetentnaturalresourcemanagers. single western North American conifer stand, using 5-year time period increments. The development of the PeteBettinger stand in each time period is illustrated with a stand KevinBoston table and several summary statistics. Two forests, JacekP.Siry composed of 80 or more stands, are described in the DonaldL.Grebner Chapter 1 Management of Forests and Other Natural Resources Objectives outcomes from forests that we enjoy today. The ability to Asweprogressthroughthe21stcentury,andasthehumanpopu- meet this expectation is often expressed through a plan, lationcontinuestoexpand,themanagementofnaturalresources which might include statements that reflect our beliefs of isbecomingoneofmaintainingtheconsumptiveneedsofsociety what the managementofthe land mayprovide.Forexam- while alsocaringfor theintegrity andfunctionofecologicalsys- ple,variousactionsinvolvedinthemanagementofforests tems. A large number of natural resource managers today con- may lead to the generation of revenue or supply of forest tinuetomanageforwoodproductionobjectives,whichinitselfis products. A plan might then describe how these actions a noble endeavor. A large number of natural resource managers maintain, improve, or otherwise affect aesthetic values, alsoresearchandadviseonthemanagementofforestsasitrelates biodiversity, the water producing value of a forest, or the to wildlife, fisheries, recreational, and other environmental and productive capacity of the land. Usually a plan describes socialservices.Onmanylandsabalancemustbestruckbetween desired forest conditions and illustrates land use alloca- commodity production and ecosystem goals. This balance is tions, along with a description of lands suitable for vari- explored through planning processes performed at the national, regional,andlocallevels.Thisintroductorychaptercoversissues ous management activities. A plan is informed by the related to forest management and planning and the decision- management practices appropriate for the land, and making environment within which we must operate. To be suc- theobjectivesandconstraintsofthelandowner.Often,the cessful as land and resource managers, we must understand the goals of the landowner are addressed through actions, systemwithinwhichwework,aswellasthesocialsystemwithin whichmayormaynotbefinanciallybeneficial,yetwhich whichweliveandparticipateasprofessionals.Uponcompletion address their perspective on sustainability. These ideas ofthisintroductorychapter,youshouldbeableto: are not new; the thoughts provided in this paragraph were 1. Understandthebasicformsofdecision-makingprocessesas drawn from both a recent United States Forest Service viewedbythemanagementsciences. management plan (US Department of Agriculture, Forest 2. Understandthestepsinageneralplanningprocess,andhow Service, 2014) and a proposed plan for forests in upstate theymightvaryfromonenaturalresourcemanagement New York that was developed over a century ago organizationtothenext. (Hosmer and Bruce, 1901). Both reflect what was noted 3. Understandthehierarchyofplanningcommontonatural in a review by Olson (2010), that the tension between use resourcemanagementorganizations. of the landscape and the need to prevent overuse of the 4. Understandthechallengesrelatedtonaturalresource landscape is the heart of the problem for landowners and planning. 5. Understandhowinformationrelatedtoplanningeffortsflows land managers. For many reasons, the more recent of the two plans is more extensive in its evaluation of resources, withinanorganization. yet the themes of the plans are essentially the same even thoughtheperspectivesonsustainabilitymaydiffer. The need for management and planning of forests per- I. INTRODUCTION haps becomes stronger every year as human populations continue to increase, as societal values evolve, and as The management of forested lands is an important immediate expression of thoughts and ideas are facilitated endeavor. As a society, we expect that forest land man- bytheInternet. Often,forestplanningsituationsare unique agers will meet our current needs for forest-related ser- with regard to the problem setting, the character of forests, vices and sustain forest resources so that future therisksinvolved,thelong-termvisionofthelandmanager generations of people will be able to enjoy the various or landowner, and the desires of the populace (Korjus, ForestManagementandPlanning.DOI:http://dx.doi.org/10.1016/B978-0-12-809476-1.00001-1 ©2017ElsevierInc.Allrightsreserved. 1 2 ForestManagementandPlanning 2014).This book therefore presents concepts, new and old, important ecological and social concerns associated with a thathelplandownersandlandmanagersdevelopandevalu- forestmayinfluencethecharacteranddepthofaplan.Ina ateplansofactionforforests. more general way, forest management can involve the col- lectiveapplicationofsilviculturalpracticessothatanentire II. FOREST MANAGEMENT forestremainshealthyandvigorousbyimposingtreatments onthevariousstands(Heiligmann,2002).Therangeoffor- Forest management involves the integration of silvicultural est management activities (Table 1.1) can include those practices and business concepts (e.g., analyzing economic focused on the economics of forest businesses, or on the alternatives)insuchawayastobestachievealandowner’s ecologyoftheecosystem.Activitiescanincludetreeplant- objectives.Managementofforestsrequiresaplan(however ing, herbaceous weed control, fertilization, precommercial developed), and an assessment of the activities necessary thinning, commercial thinning, final harvests, harvests for to meet the objectives. In addition, a recognition of the habitat improvement, preservation, road construction, road TABLE1.1 TypesofManagementActivitiesaLandManagerMightConsider Activity ForEven-AgedForests ForUneven-AgedForests SitePreparation Burn ü Chop ü Rake ü Plow ü Bed ü Herbicideapplication ü TreeEstablishment Plant ü Coppice ü Seed ü ü EarlyTending Release ü ü Weed ü Fuelreduction ü ü Prune ü Prescribedburn ü ü Fertilization ü TreeCuttingActivities Precommercialthin ü Commercialthin ü Shelterwood ü Seedtreeharvest ü Singletreeselectionharvest ü Variableretentionharvest ü Groupselectionharvest ü Clearcut ü Source:Grebner,D.L.,Bettinger,P.,Siry,J.P.,2013.IntroductiontoForestryandNaturalResources.AcademicPress, NewYork,NY.508p. ManagementofForestsandOtherNaturalResources Chapter | 1 3 obliteration, and prescribed fire, among others. Each may forest management approaches, where management plans haveacostandabenefit,dependingontheobjectivesofthe are developed within a larger framework, take a big- landowner.Choosingthetimingandplacementofactivities picture perspective, and involve a number of values isthemaintaskofforestplanning. derived in and around the area being managed (Palmer, From a forest manager’s perspective, activities imple- 2000). We attempttostay neutral when it comesto favor- mented within a forest may affect the natural succession ing any approach, since each form of sustainability is of forest growth. One way for a forest manager to view used today, depending on the landowner and the land- the development of a forest is to visualize the orderly owner’s objectives. Thus our goal is to describe the change in character of a vegetative community over time, approaches used in practice, and to provide some guid- or the succession of vegetation. Forest succession is thus ance for young professionals on the methods that might the sequential change in tree species, character, and struc- beusedwithineachfordevelopingaforestplan. ture of trees within a given area (Grebner et al., 2013), either naturally or through human intervention. Primary III. THE NEED FOR FOREST MANAGEMENT succession is one of two types of ecological succession of PLANS plant life, and in our case relates to a forest becoming established in a barren area with no substrate (soil), such Forestplansaredescriptionsoftheactivitiesthatshouldbe as land surfaces wiped clean by landslides or overtaken used to best meet the objectives a landowner has for their bysand, rock orlava.Whenforestsbecome establishedin property.Managingaforestwithoutaplaninmindmaybe areas where substrate is available (e.g., after fires, after guided by short-term operational considerations, but this harvests), and which supported vegetation previously, the may in turn have long-term undesirable or unforeseen con- process is called secondary succession. Tree planting sequences for the landowner (Demers et al., 2001). As a activities are one form of establishment of forests through result, the planningprocess is animportant aspect offorest secondary succession. Afforestation, the planting of trees management. If a forest plan is not carefully and thought- on former agricultural or developed lands, is another form fully prepared, the activities that are implemented in the of secondary succession that has been used widely in near future may not yield the result that is desired by the Europe, China, and elsewhere over the last century landowner over a longer period of time. Most of the larger (Krawczyk, 2014). Natural succession on these types of natural resource management organizations in North lands can also occur through seed distributed by wind, America have developed a plan of action for the land that water and animals. It should be no surprise that manage- they manage. However, many small forest landowners do ment activities vary in their use from one region to not (Joshi et al., 2015; Butler et al., 2004). More broadly another, and vary depending on the tree species desired. speaking, it has been estimated that management plans For example, after a final harvest in the southern United have been developed for 52% of the world’s forests (Food States, a land manager may use various site preparation and AgricultureOrganization ofthe UnitedNations,2010). practices (i.e., raking, herbaceous weed control) to Whether planning occurs through a traditional process that develop a site suitable for planting a loblolly pine (Pinus uses mathematical tools such as linear programming to taeda) forest. However, if the desire of the land manager allocate activities to forest strata, a more elaborate process was to develop a deciduous forest on this site, they may that uses heuristic methods to develop a spatially explicit consider other practices to assure that the desired trees harvest schedule, or a seat-of-the-pants (back of the enve- become established through growth from coppice (stumps lope, scratch of the head) method to determine what to do or roots) or seed. The management of uneven-aged or next, some form of planning is generally used. In many multiaged forests may require other approaches that cases, quantitative relationships are employed to separate match desired conditions with natural disturbance regimes thebetterplansfromthemediocreorpoorplans. (O’Hara, 2009) and other functions of forests (e.g., hunt- ingopportunities)thataredesiredbylandowners. Laterinthisbookwediscussconceptsrelatedtoforest A. The Necessity of Plans, Planners, and and natural resource sustainability. In Chapter 9, Forest Planning Processes and Natural Resource Sustainability, we discuss the sus- tainability of timber production, multiple uses, and eco- Why do people develop natural resource management logical systems. The term sustainable forest management plans? Organizations that undergo forest planning gener- tends to favor the latter two approaches, because those ally are interested in plans that will provide them guid- who use it suggest that it involves management actions ance for (1) implementing activities, (2) predicting future that are ecologically sound, economically viable, and harvest levels, (3) optimizing the use of limited resources, socially acceptable. This approach to forest management and (4) maintaining or developing habitat areas, perhaps is similar to, if not consistent with, ecosystem-based while simultaneously balancing several other concerns