SUSTAINABLE URBAN MANAGEMENT PLANNING USING CRITERIA AND INDICATORS

2009 Society of Municipal 45th Annual Conference Savannah, GA

Philip van Wassenaer, B.Sc., MFC 1248 Minnewaska Trail Mississauga, Ontario, Canada web: www.ufis.ca email: [email protected] SPEAKER PROFILE Speaker Profile Speaker Philip van Wassenaer Speaker Profile planning materials and development management planning forest valuations assessment methods inventories regulation and risk urban and stewardship : forest in preservation injection law -

Advanced Ravine Appraisals Urban By Tree Strategic

• • • • • • • •

Expertise Since 1994, we have specialized in the preservation, preservation, the in have specialized we 1994, Since forest urban the of and management enhancement based approach. and science research a through Urban Forest Inc. Forest Urban Innovations, wakeforest.nc.gov

INTRODUCTION Objectives The Objective of Urban

To optimize the leaf area of the entire urban forest by establishing and maintaining a canopy of genetically appropriate (adapted & diverse) (and shrubs) with minimum risk to the public, and in a cost-effective manner. - Dr. Andy Kenney Objectives Urban Forest Benefits

The urban forest provides a wide range of services such as:

• Improved air quality • Micro-climate effects (e.g. shading) • Property value & Aesthetics • Storm-water attenuation • Energy conservation • Noise reduction • Wildlife habitat • Physical & Psychological wellbeing • etc. Objectives Maximizing Leaf Area Benefits Leaf Area Leaf

Tree Size UF Management forest management? forest How to incorporate ofall incorporate How to these principles into urban these principles into Approach COMPANY PROFILE The Objective

To present a proven effective model to help you develop and implement a long-term, sustainable and proactive strategic urban forest management plan for your community. Approach COMPANY PROFILE The Approach

• A model for strategic urban forest management planning.

• Criteria and Indicators (C&I) • What are they? • How do they fit into management planning?

• Criteria and Indicators in urban forest management – a case study. Leaftoronto.org URBAN FOREST MANAGEMENT PLANNING Management Planning Management A Model for Urban Forest Management Planning

• van Wassenaer, Schaeffer and Kenney (2000) and van Wassenaer and Kenney (2001) proposed a conceptual model for sustainable urban forest management planning.

• Came about in response to the need for redefinition of urban as more than just daily street tree management.

• All about combining needs of growing urban centres with ecosystem viability and sustainability. Management Planning Management A Model for Urban Forest Management Planning

Strategic planning is an 8-stage process:

1. Identification of urban forest attributes 2. Assessment of relevant resource data where it exists 3. Creation of vision reflecting community values 4. Determination of the current status of various components 5. Identifying gaps between vision and current status 6. Creation of administrative vehicle to close the gaps 7. Formulation of operational plan incorporating vision and goals 8. Implementation and monitoring of the plan Management Planning Management The Question of Planning Horizon While an urban forest management plan spanning 50, 100, or 1000 years would be ideal, the changing realities of politics, economy and society do not make such planning horizons realistic. Conversely 1, 5 or 10 year plans do not provide enough time or continuity to make meaningful changes towards improved management and UF sustainability. Management Planning Management A 20-Year Framework

A 20-year strategic framework, supported by a series of 5- year management plans and annual operating plans enables continuity and ongoing improvement and adaptation. Management Planning Management Adaptive Management

UFs are complex entities, particularly with addition of a human element. Changes and unforeseen events (e.g. droughts, pest infestations, disease) must be accommodated without forcing changes to strategic goals and objectives.

Assess Adopting this principle into a UFMP will enable a community to maintain continuity across the whole planning Design horizon, and beyond.

Implement

Monitor and Adjust Evaluate Management Planning Management Strategic Plan Components

Strategic Urban Forest Management Plan

Goals and Plan Public Education Tree Inventory Budget Objectives Components / Communication

History and Tree Trees Communication Context Establishment Plan

Plantable Maintenance Policies Heritage Trees Spots Plan

Tree Management Community Mapping/GIS Protection Zones Partnership Plan

Inventory Plant Health Maintenance Care Plan

Hazard/Risk Shaded areas are Abatement Plan found in all plan levels Management Planning Management Plan Components

These components are proposed. Based on the needs and values of the community, some can be omitted and others can be added.

Implementation of these components will enable a community to proactively manage its urban forest resources, thereby reducing costs and improving the tree resource. CRITERIA AND INDICATORS Criteria and Indicators Evaluation & Control

The implementation of a strategy must be monitored and adjustments made as needed. This is also called “evaluation and control”.

Evaluation and control consists of the following steps:

1. Defining parameters to be measured. 2. Defining target values for those parameters. 3. Performing measurements. 4. Comparing measured results to the pre-defined standard. 5. Making necessary changes.

Source: http://www.quickmba.com/strategy/strategic-planning/ Criteria and Indicators Criterion

A category of conditions or processes by which sustainable forest management may be assessed.

A criterion is characterized by a set of related indicators which are monitored periodically to assess change.

Source: http://www.rinya.maff.go.jp/mpci/criteria_e.html Criteria and Indicators Indicator

“A measure of an aspect of the criterion. A quantitative or qualitative variable which can be measured or described and which, when observed periodically, demonstrates trends.”

Source: http://www.rinya.maff.go.jp/mpci/criteria_e.html Criteria and Indicators Sustainable Forest Management

From the Montréal Process:

“The criteria and indicators … are intended to provide a common understanding of what is meant by sustainable forest management.”

“They also provide a common framework for describing, assessing and evaluating a country's progress toward sustainability at the national level.”

Source: http://www.rinya.maff.go.jp/mpci/criteria_e.html Criteria and Indicators Canopy Cover As a Planning Objective

Canopy cover percentage is still all too often considered the main determinant of “sustainable” urban forest management.

While increasing canopy cover is good, making it a key objective or indicator does not account for:

• regional variability and carrying capacity • canopy species composition, age classes or size • long-term tree population dynamics

… and can unduly focus attention on just , not true sustainability and management.

From Kenney, van Wassenaer and Satel – “Criteria and Indicators versus Canopy Cover as Measures of Urban Forest Management Success” (in review). Criteria and Indicators C&I and Urban Forest Management Success

Criteria and Indicators first promoted as a tool for successful urban forest management by Clark et al. (1997).

Developed a list of C&I that considers:

• the Vegetation Resource • the Community Framework • the Resource Management Approach Criteria and Indicators C&I and Urban Forest Management Success

Each criterion is assessed by low, moderate, good and optimal indicators of urban forest management success, and is described by a key objective.

Performance Indicators Criteria Key Objective Low Moderate Good Optimal No Street tree Public-private Included in a city-wide Provide for uneven species Species mix assessment inventory sampling GIS distribution. All neighbourhoods At the neighbourhood level, Neighbourhood Isolated and limited City-wide coverage No action organized and citizens understand and action no. of groups and interaction cooperating participate in UF management. Citizen-government- Develop and implement a Existing plan limited Government-wide business resource City-wide management plan for trees No plan in scope and plan, accepted and management plan, management plan and on public and implementation implemented accepted and private property. implemented

From Clark et al. (1997). A Model of Urban Forest Sustainability. Journal of 23(1). C&I for Urban Forests Vegetation Resource

Key Criteria “The engine that drives urban forests.” Canopy cover Uneven age distribution A sustainable vegetation resource provides Species diversity continuous, high level of benefits across the Native vegetation entire community.

hsufp.org chronicle.augusta.com C&I for Urban Forests Community Framework

“All parts of the community share a vision for their forest and act to realize that vision…”

The community must agree on what UF Key Criteria benefits are and act to maximize them. Public agency cooperation Financial burden must be shared, and Involvement of large private and private landowners must recognize the institutional landholders public benefits of their trees. Green industry cooperation Neighbourhood action

Citizen-government-business interaction General awareness of trees as a community resource Regional cooperation

treehugger.com treegrowersdiary.com C&I for Urban Forests Resource Management Approach

Not simply management of the resource, but also “the philosophy of management” Key Criteria Specific policies as well as acceptance and City-wide management plan development of shared vision among gov.’t Funding and constituents. Staffing Management approaches will vary as a function Assessment tools of the forest resource and its extent. Protection of existing trees Species and site selection Standards for tree care Citizen safety Recycling

eastendlex.com C&I for Urban Forests Criteria and Indicators in Strategic Planning

It has been some 12 years since Clark et al. published their list of Criteria and Indicators, yet they are still rarely used in strategic urban forest management planning.

Can C&I be better positioned as planning tools?

www.forestsforwatersheds.org C&I for Urban Forests C&I and Management Planning

• How do C&I’s fit into management planning?

Remember the 8 steps to UF management planning?

4. Determination of the current status of various components

5. Identifying gaps between vision and current status

8. Implementation and monitoring of the plan CASE STUDY – THE TOWN OF OAKVILLE Oakville Oakville Oakville – SUFMP Background –

Oakville (pop. 166,000) is situated on Lake Ontario, just Case Study west of Toronto.

Town Council committed to establishing a UFMP in 2004, in response to concerns about increasingly poor air quality and an expanding suburban population.

Step 1: Identifying urban forest attributes • Capital funding apportioned for a UFORE study - the third Canadian municipality to do such a project. Oakville Oakville Oakville – SUFMP Background – 372 plots measured in all land use type areas. Case Study Oakville Oakville Oakville – SUFMP Background – The result: Case Study

2005’s Oakville’s Urban Forest: Our Solution to Our Pollution

FEATURE MEASURE Number of trees in Oakville 1.9 million Number of trees owned by the Town 820,000 (43%) Top 3 species by leaf area sugar maple, Norway maple, silver maple Average Urban Forest Canopy Cover 29.1% Urban Forest Canopy Cover in 2046 40% Replacement value of the urban forest $878 million 6,000 tonnes/year ($141,000) CO2 filtered by all trees 22,000 tonnes CO2 filtered by Town trees 6,300 tonnes (28% of total CO2 filtered) Criteria pollutants removed 172 tonnes ($1.12 million ) Energy savings $840,000 Major pest damage threat Emerald Ash Borer, $86.1 million Oakville Oakville Oakville – SUFMP Background – In 2006, Council approved capital funding to incorporate Case Study the project results into a 20-year strategic urban forest management plan.

Prepared by Urban Forest Innovations Inc. and associates, the Oakville SUFMP applied the 20-year framework model, and showed how Criteria and Indicators can be effective at all stages of the planning process. Oakville Oakville Oakville – SUFMP Background – Case Study

The planning team suggested several additional criteria and revised indicators, based on the work of Clark et al (1997), for the Oakville plan. C&I for Urban Forests Additional Criteria

Vegetation Resource

Additional Criteria New Key Objectives Establish a population of trees suitable for the Species suitability urban environment and adapted for the regional climate. Establish a genetically-diverse tree population Species distribution city-wide and at the neighbourhood/street segment level. Condition of publicly-owned trees Detailed understanding of the condition and risk (intensively managed) potential of all publicly-owned trees. Detailed understanding of the ecological Publicly-owned natural areas structure and function of all publicly-owned (extensively managed) natural areas. Community Framework

Additional Criteria New Key Objectives No new criteria No new key objectives C&I for Urban Forests Additional Criteria cont.’d

Resource Management Approach

Additional Criteria New Key Objectives Complete inventory of tree resource to direct management, Tree inventory including: age distribution, species mix, tree condition and risk assessment. High resolution assessments of the existing and potential Canopy Cover inventory canopy cover for the entire community. UF renewal is ensured through comprehensive tree Tree establishment planning establishment program driven by species diversity, and implementation distribution and canopy cover objectives. All publicly-owned trees to be pruned to maximize current Pruning of publicly-owned trees and future benefits. Tree health and condition ensure maximum longevity. Management planning and Ecological structure and function of all public natural areas implementation in natural are protected and where appropriate, enhanced. areas Tree risk management All publicly-owned trees are. C&I for Urban Forests Revised Indicators

Vegetation Resource

Criterion Indicators Revised New indicators provide quantifiable comparison between Canopy cover actual and potential canopy cover in a community. • New indicators consider city-wide and neighbourhood- level uneven age distribution. Tree age distribution • Introduce concept of Relative Diameter at Breast Height (RDBH) to assess if trees meeting genetic potential. We expand on the public policy aspect of native species Native species establishment and highlight the importance of project- appropriate species selection.

Overall, the revised vegetation resource indicators provide more easily- quantifiable targets as indicators of urban forest management success. C&I for Urban Forests Revised Indicators cont.’d

Community Framework

Criterion Revised Indicators New indicators distiguish between project-specific and organization (city)-wide formal cooperation, allow tracking Public agency cooperation of incremental progress in reform of administrative structures and procedures. New indicators highlight importance of recognition of social Awareness of trees as a benefits of trees – broadening the extent of potential community resource supportive constituency. C&I for Urban Forests Revised Indicators

Resource Management Approach

Criterion Indicators Revised • New indicators suggest that a broader range of skills beyond arboriculture is required for optimal and City staffing sustainable urban forest management (incl. , planners, ecologists, etc.) • Highlight the importance of multi-disciplinary teams Tree establishment planning Make explicit connections between data sources for and implementation planning and desired biological outcomes Indicators in absolute terms of a risk management program, Tree risk management including inventory and/or strategic risk management plan Oakville Oakville C&I Assessment

4. Determination of the current status of various components – Case Study The new and previous C&I’s were used to assess where Oakville stood on before a plan was developed.

Example Oakville C&I –based assessment: Vegetation Resources Vegetation Resource Performance indicators Criteria Key Objectives Low Moderate Good Optimal Achieve climate- The existing canopy The existing canopy The existing canopy The existing canopy appropriate degree Canopy Cover cover equals 0-25% of cover equals 25-50% cover equals 50-75% of cover equals 75-100% of tree cover, the potential. of the potential. the potential. of the potential. community-wide No tree maintenance Detailed or risk assessment. Complete tree Sample-based Complete tree understanding of the Condition of Publicly- Request inventory which inventory indicating inventory which condition and risk owned Trees (trees based/reactive includes detailed tree tree condition and risk includes detailed tree potential of all managed intensively) system. The condition condition and risk level is in place. condition ratings. publicly- owned of the urban forest is ratings. trees unknown The use of native The use of native species is encouraged Voluntary use of species is required on a on a project- Preservation and No program of native species on project-appropriate Native vegetation appropriate basis in enhancement of local integration publicly and privately- basis in both intensively both intensively and natural biodiversity owned lands. and extensively extensively managed managed areas. areas. Oakville Oakville C&I Assessment

Example Oakville C&I –based assessment: Community Framework – Case Study Community Framework Performance indicators Criteria Key Objective Low Moderate Good Optimal At the neighbourhood Isolated or limited All neighbourhoods Neighbourhood City-wide coverage and level, citizens No action number of active organized and action interaction. understand and groups. cooperating. cooperate in urban forest management. All constituencies in Conflicting goals Formal interaction e.g. the community Citizen-municipality- No interaction among Informal and/or among Tree board with staff interact for the business interaction constituencies. general cooperation. constituencies coordination. benefit of the urban forest. Urban forest Trees acknowledged as recognized as vital to The general public General awareness Trees seen as a Trees seen as providing the communities understanding the of trees as a problem, a drain on important to the environmental, social environmental, social role of the urban community resource budgets. community. and economic services. and economic well- forest. being. Provide for cooperation and Communities Regional planning, Regional Communities share Regional planning is in interaction among cooperate coordination and /or cooperation similar policy vehicles. effect neighbouring independently. management plans communities and regional groups. Oakville Oakville C&I Assessment –

Example Oakville C&I –based assessment: Management Approach Case Study Management Approach Performance Indicators Criteria Key Objective Low Moderate Good Optimal Complete inventory Complete inventory of of the tree resource Complete inventory of publicly-owned trees to direct its Complete or sample- publicly-owned trees AND sample-based management. This Tree Inventory No inventory based inventory of AND sample-based inventory of privately- includes: age publicly-owned trees inventory of privately- owned trees included in distribution, species owned trees. city-wide GIS mix, tree condition, risk assessment. Sampling of tree cover High resolution Sampling of tree cover using aerial assessments of the Canopy Cover No inventory Visual assessment using aerial photos or photographs or satellite existing and potential Inventory satellite imagery. imagery included in city- canopy cover for the wide GIS entire community. Comprehensive plan for Develop and Comprehensive plan for ALL components of the No urban forest Existing plan limited in implement an urban City-wide publicly-owned trees urban forest (private management plan scope and forest management management plan accepted and and public assets) in place implementation plan for private and implemented accepted and public property. implemented. Integrated municipal wide policies that The benefits derived Policies in place to ensure the protection of from large-stature Tree Protection No tree protection Policies in place to protect public and trees on public and trees are ensured by Policy Development policy protect public trees. private trees with private land are the enforcement of and Enforcement enforcement. consistently enforced municipal wide and supported by policies. significant deterrents Oakville Oakville C&I Gap Analysis –

That’s just one way to use C&I as planning tools. Case Study

5. Identifying gaps between vision and current status

Oakville’s urban forest, an equal part of the community’s infrastructure,infrastructure, contributes positively to the health of all residents.

Oakville is a proud leader in urban forest stewardship.

Performance Indicators Criteria Key Objective Low Moderate Good Optimal Complete Complete inventory of the Complete inventory of tree resource to Complete or inventory of publicly-owned direct its sample-based publicly-owned trees AND sample- management. Tree Inventory No inventory inventory of trees AND sample- based inventory of This includes: age publicly-owned based inventory of privately-owned distribution, trees privately-owned trees included in species mix, tree trees. city-wide GIS condition, risk assessment. Oakville Oakville C&I Gap Analysis – Case Study

5. Identifying gaps between vision and current status

Oakville’s urban forest, an equal part of the community’s infrastructure, contributes positively to the health of all residents.

Oakville is a proud leader in urban forest stewardship.

Performance Indicators Criteria Key Objective Low Moderate Good Optimal Comprehensive Develop and Comprehensive plan for ALL implement an Existing plan City-wide plan for publicly- components of the urban forest limited in scope management No plan owned trees urban forest management and plan accepted and (private and public plan for private implementation implemented assets) accepted and public and implemented. property. Oakville Oakville C&I Gap Analysis –

By applying the basic C&I framework, we could see that there were Case Study gaps between where Oakville was (the current status) and where Oakville wanted to be (the vision).

Only then could we develop a plan to help Oakville get there. Oakville Oakville C&I – Adaptive Management –

8. Implementation and monitoring of the plan Case Study

A strategic urban forest management plan is now in place until 2027.

But what will Oakville’s urban forest look like in 17 years?

Emerald Ash Borer Kudzu (recent arrival in Canada)

Norway maple Oakville Oakville C&I – Adaptive Management –

Remember the plan framework? Assess Case Study

As: Design • Oakville re-measures its UFORE plots • and pests move in • climate change continues Implement • urban populations grow • 5-year plans are reviewed Monitor and Adjust • etc. . . . Evaluate Criteria and Indicators will help managers reassess priorities, identify gaps and make the necessary changes in how they think about and manage the urban forest. QUESTIONS? COMMENTS?

Philip van Wassenaer, B.Sc., MFC ISA Certified ASCA Member 1248 Minnewaska Trail Mississauga, Ontario, Canada L5G 3S5 (905) 274-1022 e-mail: [email protected] or [email protected] http://www.ufis.ca