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Adaptive Management and the Northwest Forest Plan United States Department of Agriculture Learning to Manage Forest Service Pacific Northwest a Complex Ecosystem: Research Station Research Paper Adaptive Management PNW-RP-567 August 2006 and the Northwest Forest Plan U.S. Department of Agriculture Plan Pacific Northwest Research Station 333 S.W. First Avenue P.O. Box 3890 Will to act Portland, OR 97208-3890 Leadership Official Business Evaluate Penalty for Private Use, $300 Uncertainty Actions Policy Science Capacity to act Learning Outcomes Risk Barriers Civic science Feedback Monitor Act The Forest Service of the U.S. Department of Agriculture is dedicated to the principle of multiple use management of the Nation’s forest resources for sustained yields of wood, water, forage, wildlife, and recreation. Through forestry research, cooperation with the States and private forest owners, and management of the National Forests and National grasslands, it strives—as directed by Congress—to provide increasingly greater service to a growing Nation. The U.S. Department of Agriculture (USDA) prohibits discrimination in all its programs and activities on the basis of race, color, national origin, age, disability, and where applicable sex, marital status, familial status, parental status, religion, sexual orientation, genetic information, political beliefs, reprisal, or because all or part of an individual’s income is derived from any public assistance program. (Not all prohibited bases apply to all programs.) Persons with disabilities who require alternative means for communication of program information (Braille, large print, audiotape, etc.) should contact USDA’s TARGET Center at (202) 720-2600 (voice and TDD). To file a complaint of discrimination, write USDA, Director, Office of Civil Rights, 1400 Independence Avenue, S.W. Washington, DC 20250-9410 or call (800) 795-3272 (voice) or (202) 720-6382 (TDD). USDA is an equal opportunity provider and employer. Editors George H. Stankey is a research social scientist (retired), and Bernard T. Bormann is a principal plant physiologist, U.S. Department of Agriculture, Forest Service, Pacific Northwest Research Station, Forestry Sciences Laboratory, 3200 SW Jefferson Way, Corvallis, OR 97331; Roger N. Clark is a research social scientist (retired), Department of Agriculture, Forest Service, Pacific Northwest Research Pacific Northwest Research Station Station, Pacific Wildland Fire Sciences Laboratory, 400 N 34th Ave., Suite 201, Seattle, WA 98103. Web site http://www.fs.fed.us/pnw Telephone (503) 808-2592 Cover credits Publication requests (503) 808-2138 Mount Hood photo taken by Ron Nicols, Natural Resources Conservation Service; top FAX (503) 808-2130 left photo taken by Dave Powell, USDA Forest Service, www.forestry images.org; top E-mail [email protected] right photo taken by Jeff Vanuga, USDA Natural Resources Conservation Service; lower Mailing address Publications Distribution left photo taken by USDA Natural Resources Conservation Service; lower right photo Pacific Northwest Research Station taken by Roger Ottmar, PNW Research Station. Cover design by Kelly Lawrence. P.O. Box 3890 Portland, OR 97208-3890 Learning to Manage a Complex Ecosystem: Adaptive Management and the Northwest Forest Plan Editors George H. Stankey Roger N. Clark Bernard T. Bormann U.S. Department of Agriculture Forest Service Pacific Northwest Research Station Portland, Oregon Research Paper PNW-RP-567 August 2006 This page is intentionally left blank. Learning to Manage a Complex Ecosystem: Adaptive Management and the Northwest Forest Plan Abstract Stankey, George H.; Clark, Roger N.; Bormann, Bernard T., eds. Learning to manage a complex ecosystem: adaptive management and the Northwest Forest Plan. Res. Pap. PNW-RP-567. Portland, OR: U.S. Department of Agriculture, Forest Service, Pacific Northwest Research Station. 194 p. The Northwest Forest Plan (the Plan) identifies adaptive management as a central strategy for effective implementation. Despite this, there has been a lack of any systematic evaluation of its performance. This study is based on an extensive litera- ture review, 50 interviews with resource managers and scientists involved with the Plan’s implementation, and a survey of over 400 citizens in Oregon and Washington who participated in public involvement programs related to the adaptive man- agement elements of the Plan. The study documents experiences with adaptive approaches, identifies key facilitators of, and barriers to, implementation of such approaches, and suggests needed changes to enhance implementation. Major prob- lems confront efforts to undertake adaptive approaches, and these derive from a complex set of factors including a risk-averse organizational culture; a restrictive legal-political environment; and inadequate training, staffing, and financial resources. Keywords: Adaptive management, decisionmaking, complexity, risk and uncertainty, social learning, precautionary principle. Research Paper PNW-RP-567 Preface This project originated from discussions between Clark, Stankey, and Bormann regarding the need for a critical assessment of the extent to which the concept of adaptive management had been successfully integrated into the Northwest Forest Plan. It was apparent that a team approach would be necessary to provide a diver- sity of perspectives for the evaluation. This led to an invitation to the other authors of this report to participate. A number of meetings involving the team took place, discussing methods, strategies, and results. Completion of the final report was overseen by the three coordinating authors; authorship of the individual chapters is recognized at the outset of each chapter. Learning to Manage a Complex Ecosystem: Adaptive Management and the Northwest Forest Plan Summary This Research Paper assesses the performance of the adaptive management concept and the 10 allocated adaptive management areas (AMAs) across California, Oregon, and Washington that provided a diverse range of biophysical and socio- economic conditions and were to be used as test-beds for the application of adap- tive management principles to meet certain technical and social objectives in the Northwest Forest Plan (the Plan). Particular attention focuses on evidence of imple- mentation of adaptive practices that treat policies as experiments, the factors that facilitate or constrain implementation of adaptive management, and suggestions for changes to enhance its performance. The incorporation of adaptive management in the Plan is the product of a long- evolving series of efforts to improve management of the region’s forests and to secure adequate protection of a range of public values and uses, including endan- gered species, old-growth, commodity production, and community resiliency. Despite several efforts in recent years to ensure appropriate forest management regimes for the maintenance and restoration of species such as the northern spotted owl (strix occidentalis caurina), evidence mounted that the species status continued to decline. Despite major reductions in harvesting levels, with associated impacts on rural communities and people, the decline in habitat and species continued. It reached sufficient proportions to attract attention in the 1992 presidential campaign, leading to the 1993 Forest Summit hosted by President Clinton in Portland, Oregon. He called for creation of a team of experts to identify options to help break the gridlock that paralyzed forest management in the region. In response, the Forest Ecosystem Management Assessment Team (FEMAT) prepared a series of options; the selected alternative—the foundation of the Plan—imbedded the idea of adap- tive management as a key element in its overall approach. Although the concept of adaptive management has an appealing simplicity to it, it remains primarily an ideal rather than a demonstrated reality. A wide variety of definitions of adaptive management exist, ranging from traditional, incremental approaches and trial and error to more rigorous, hypothesis-based tests. The core of contemporary visions of adaptive management involve the explicit design of a protocol that involves an inclusive process of problem-framing, documentation and monitoring procedures, and assessment and evaluation processes. All these are designed to enhance learning from the implementation of policies. Although adap- tive management in a natural resource context, including the Plan, has focused on resolving problems related to the management of biophysical systems, it nonethe- less has an equally important sociopolitical dimension that manifests itself in both Research Paper PNW-RP-567 the problem-framing stage as well as in the evaluation and interpretation of the out- comes of policy implementation. Adaptive management is particularly suited for dealing with problems involving high levels of uncertainty, limited knowledge, and unpredictability. The goal of adaptive approaches is to enhance learning about these complex systems that enables more informed policy formulation and design and implementation of policies in a manner that enhances the learning that will derive from them. However, despite the great potential of an adaptive approach, signifi- cant barriers confront efforts to implement it: institutional constraints, including legal and political (e.g., legal requirements to protect endangered species), socio- psychological barriers (e.g., risk-aversion), and technical-scientific constraints (e.g., lack of adequate knowledge bases). Effective implementation of adaptive manage- ment
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