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Appendix 3: Audit Design Matrix




                                                      RESEARCHABLE   RESEARCHABLE
           TOPIC           SUB-TOPIC        RSIK                                             CRITERIA
                                                        QUESTION     SUB-QUESTION
           Policy and    Forest Policy  Forest fires.  Does the government   Does a strong and   • A national land use policy aiming for the sus-
           Legislation                  Illegal logging.  have a forest policy   continued political   tainable use of all natural resources, including
                                        Illegal use of land.  ensuring that devel-  commitment at the   the establishment of a permanent forest base.
                                        Conflict.      opment in the forest   highest level exist?  • A national forest policy forming an integral
                                                      sector is effective and     part of the national land use policy, assuring a
                                                      sustainable?                balanced use of forest – one formulated through
                                                                                  a process that seeks the consensus between
                                                                                  all the actors involved: government, local
                                                                                  population, the private sector, and NGOs.
                                                                                  • Information systems with the means to
                                                                                  recognize the full range of forest values and
                                                                                  potentials, with periodic forest-related planning
                                                                                  and assessment of national forest resources.
                                                                                  • A legal/regulatory framework providing an
                                                                                  overall policy framework for conservation and
                                                                                  sustainable management of forests, handling
                                                                                  all aspects of sustainable forest management.
                                                                                  • A legal framework that governs national objec-  51
                                                                                  tives for forestry including production, conserva-
                                                                                  tion protection, and economic investment.
                                                                                  • An economic policy framework and financial
                                                                                  instruments that permit the flow of capital in and
                                                                                  out of the forest sector in response to market
                                                                                  signals and public policy decisions.

                                                                    Does an agreed forest  • Appropriate national and local government
                                                                    policy (supported by   laws and regulations enacted, or revised as
                                                                    appropriate legislation)  needed, to support the established forest
                                                                    exist, one that is in   policy, in harmony with policies, laws, and
                                                                    harmony with laws   regulations in related sectors.
                                                                    concerning related   • Laws and regulations based on analyses
                                                                    sectors?      aimed at solving the country’s forestry
                                                                                  problems and achieving the goals described
                                                                                  in the country’s Forest Policy.
                                                                                  • A legal/regulatory framework maintaining
                                                                                  forest resources and preventing forest
                                                                                  degradation.

                                                                    Does a mechanism   • Provision of adequate funds for research
                                                                    exist for regularly   and monitoring to allow updating of policies.
                                                                    revising policy in the   • Research on evaluation of full economic
                                                                    light of new circum-  benefits (total of marketed and non-marketed
                                                                    stances and/or   goods and services), provided by forests
                                                                    availability of new   primarily managed for timber production,
                                                                    information?  to enable foresters to better state the case
                                                                                  for natural forest management for sustained
                                                                                  timber production.
                                                                                  • A legal/regulatory framework maintaining
                                                                                  forest resources and preventing forest
                                                                                  degradation.

                         National Forest   Biodiversity and   Does the govern-  Is a National Forest   • A legal/regulatory framework allowing for
                         Inventory      ecosystem loss.  ment conduct a   Inventory carried out   collecting and maintaining information about
                                        Forest fires.  comprehensive,   regularly to collect   forest area, growing stocks, and stand
                                        Illegal logging.   regular and flexible   data on the current   descriptions.
                                        Revenue loss.  national forest inven-  status of national   • Area of country’s forest and other wooded
                                        Social problems.  tory?     forest resources   land during certain period (for example 5, 10,
                                                                    and monitoring any   20 etc. years) is stable or changes in area are
                                                                    changes in that   reasonable. If appropriate, area should be
                                                                    status?       classified according to forest and vegetation
                                                                                  type, ownership structure, age structure,
                                                                                  origin of forest etc.
                                                                                  • Total volume of the growing stock, mean
                                                                                  volume of the growing stock and age structure/
                                                                                  diameter distribution on forest land during
                                                                                  certain period (for example 5, 10, 20 etc. years)
                                                                                  are stable or any changes are reasonable.
                                                                                  If appropriate, forest land should be classified
                                                                                  according to forest and vegetation type, site
                                                                                  classes, ownership structure, and origin of
                                                                                  forest etc.
                                                                                  • There are flexible provisions for inventories
                                                                                  to be broadened to include information not
                                                                                  previously covered, if and when needed.
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