Asim Kumar Mandal

Abel Nicodemus Editors

Textbook
of Forest Science
Textbook of Forest Science
Asim Kumar Mandal • Abel Nicodemus
Editors

Textbook of Forest Science

Editors
Asim Kumar Mandal Abel Nicodemus
Ramakrishna Mission Vivekananda ICFRE-Institute of Forest Genetics and Tree Breeding
Educational and Research Institute Coimbatore, Tamil Nadu, India
Ranchi, Jharkhand, India

ISBN 978-981-97-8288-8 ISBN 978-981-97-8289-5 (eBook)

https://doi.org/10.1007/978-981-97-8289-5

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Preface

Forests have nurtured humans right from their origin and have shaped their course of evolution
in many ways. Even after moving to settled agriculture, people continued to depend on forests
for their livelihood and possessed a deep understanding of the delicate relationship between
farming and forests. With the population increase, the demand for more products from the
forests resulted in the emergence of forestry as a scientific discipline. Till recently deriving
maximum output in terms of timber and other products has been the main focus of forestry.
However, the science of forestry is receiving more attention from researchers, politicians, and
the public than ever before due to growing awareness on the vital importance of forests in the
amelioration of the world’s environment. Forest science has also gained global importance in
the context of climate change since forests are regarded as an important sink for sequestering
carbon. They offer several tangible and intangible benefits, which are essential for human
survival. Currently, the main focus of attention of national governments and international
organizations is to evolve efficient methods of managing forests for human well-being and to
conserve them for posterity.
Forestry is an interdisciplinary subject drawing inputs from almost all branches of science
and engineering. Often students and others interested in forestry are daunted with searching the
vast literature scattered in many sources to get the required information. This book is an attempt
to present the latest developments in all forestry disciplines in a single volume. It is essentially
designed as a text book for undergraduate and postgraduate students providing an in-depth
reading of the traditional and emerging areas of forest science. It will also help them to readily
identify knowledge gaps to which the future research and development efforts have to be
channelized. The increased consciousness on environmental protection and ecological conser-
vation in the context of changing climatic conditions have widened the stakeholder base of
forestry worldwide. This volume will also serve as a reference book for professional
researchers, teachers, practicing foresters, policy planners and anyone interested in forestry
science.
There are 39 chapters grouped into seven sections that include Forests, Policy and Research;
Forest Management and Conservation; Silviculture, Resource Assessment and Sustainability;
Production Forestry; Tree Improvement and Biotechnology; Forest Protection; and Forest
Products and Utilization. Each of these sections has three to nine chapters covering classical
and contemporary areas of forest science written by eminent experts. The authors of the
chapters have taken every effort to present a reappraisal of theory and practice, applications
and future scope of the selected areas of forest science. While the chapters dealing with current
status and traditional aspects of different areas of forestry provide the necessary foundation of
the subject, the recent advances like biotechnology and remote sensing provide an outlook for
future development.
We thank all contributors of chapters for their efforts in bringing out the most comprehen-
sive knowledge and information on their area of expertise. We appreciate their cooperation
during editing and taking up of revisions to make each chapter concise and to ensure that they
are in harmony with other chapters of the book. We wish to place on record our special thanks
to Mohua Mandal, Animesh Sinha, C. Narayanan and Lokesh Kumar Singh for their sincere

v
vi Preface

technical help as and when required. We thank the publisher, Springer Nature, for opportunity
given to us to compile this volume and for all the support received during the preparation and
publishing of the book.
We hope that the vast range of topics address the needs of anyone seeking the latest
knowledge on different areas of forestry. We would consider that our efforts have borne fruit
if the readers find the book useful and easy to read. Any feedback and suggestions from the
readers are welcome to improve the future editions.

Ranchi, Jharkhand, India Asim Kumar Mandal

Coimbatore, Tamil Nadu, India Abel Nicodemus
Contents

Part I Forests, Policy and Research

1 Forest, Forestry, and State of Forests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Animesh Sinha
2 Forest Policy and Forest Acts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Asim Kumar and P. Bhattacharya
3 Forests, Tribals and Forest Rights Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Sanjay Upadhyay
4 Forestry Research, Education, and Extension in India . . . . . . . . . . . . . . . . . 53
H. S. Ginwal and Kirti Chamling Rai
5 Taxonomy: Importance, Relevance and Application . . . . . . . . . . . . . . . . . . . 65
C. Kunhikannan, M. V. Anju, and R. Prasanna
6 Statistical Methods in Forestry Research . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Rajiv Pandey and Abhishek K. Verma

Part II Forest Management and Conservation

7 Forest Biodiversity Conservation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123

Prodyut Bhattacharya
8 Forest Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
A. Balasubramanian, C. N. Hari Prasath, S. Varadha Raj, and S. Suresh Ramanan
9 Forest Soils . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
S. K. Gupta, Pankaj Panwar, Rakesh Banyal, and Suresh Ramanan S
10 Forest Hydrology and Watershed Management: Current Perspectives . . . . . 191
S. Shoba, D. Ravikumar, G. M. Devagiri, and Rajashekhar D. Barker
11 Desert Ecology and Functional Aspects of Desert Ecosystems . . . . . . . . . . . . 227
G. Singh and Sachin Sharma
12 Climate Change and Forest Sector in India . . . . . . . . . . . . . . . . . . . . . . . . . 253
R. S. Rawat and V. R. S. Rawat
13 Community Participation with Special Reference to Joint Forest
Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287
M. R. Baloch
14 Forest Invasive Species and Their Management . . . . . . . . . . . . . . . . . . . . . . 315
N. Roychoudhury

vii
viii Contents

15 Wildlife Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 333

Khursheed Ahmad and Amir Bhat

Part III Silviculture, Resource Assessment and Sustainability

16 Forest Mensuration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361

Ramakrishna Hegde, P. A. Clara Manasa, and Supriya K. Salimath
17 Contemporary Silviculture . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 389
Ramakrishna Hegde, P. A. Clara Manasa, and Supriya K. Salimath
18 Economic Valuation of Ecosystem Goods and Services . . . . . . . . . . . . . . . . . 407
Samrat Goswami
19 Principles and Applications of Geospatial Technology in Forestry . . . . . . . . 415
Sudip Kumar Saha
20 Forest Certification for Promoting Responsible Forest Management . . . . . . 461
Manmohan Yadav and Dharmendra Dugaya
21 Forest Genetic Resources: Conservation, Management and Utilization . . . . . 475
Bhavani Gurudev Singh

Part IV Production Forestry

22 Plantation Forestry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 495

Uday Kumar Lodh, Vimal Chauhan, Sachin Verma, and Krishan Chand
23 Urban Forestry: Scope and Prospects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 505
C. Buvaneswaran and A. Balasubramanian
24 Agroforestry: A Climate Resilient and Sustainable Land Use . . . . . . . . . . . . 531
Inder Dev, Asha Ram, Naresh Kumar, Ramesh Singh, S. N. Meena,
Sushil Kumar, Kamini, Roomi Devi, Babli Joshi, and A. Arunachalam
25 Good Agricultural and Collection Practices of Important
Medicinal Plants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 549
A. K. Pandey
26 Clonal Forestry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 571
R. C. Dhiman

Part V Tree Improvement and Biotechnology

27 Tree Improvement for Enhancing Productivity of Plantation Forests . . . . . . 597

Ashok Kumar and Anchal Rana
28 Genetic Improvement and Conservation of Medicinal and
Aromatic Plants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 611
K. A. Geetha and Satyabrata Maiti
29 Seed Production Systems for Forest Tree Species . . . . . . . . . . . . . . . . . . . . . 633
Abel Nicodemus
30 Forest Seed Technology: Seed Biology, Collection, Quality
Evaluation, Storage and Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 659
Manisha Thapliyal, Karuna Phular, N. K. Namitha, Shweta Rawat,
and Vaisakhy P. Chand
Contents ix

31 Vegetative Propagation of Forest Tree Species . . . . . . . . . . . . . . . . . . . . . . . 679

Santan Barthwal, Sanjay Singh, Romeet Saha, Ravita Tadiya, and Sunita Rawat
32 Micropropagation of Forest Tree Species . . . . . . . . . . . . . . . . . . . . . . . . . . . 703
T. S. Rathore, S. S. Rathore, and A. K. Chauhan
33 Genetic Markers, Genomics and Genetic Modification in Forest Trees:
Current Status and Prospects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 717
Yasodha Ramasamy, Shanthi Arunachalam, Modhumita Dasgupta,
and Mathish Nambiar-Veetil

Part VI Forest Protection

34 Fire Science for Indian Forests: From Theory to Practice . . . . . . . . . . . . . . . 741

Narendran Kodandapani
35 Diseases of Tree Species . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 751
N. S. K. Harsh
36 Insect Pests of Forest Nurseries, Plantations and Natural Forests
and Their Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 775
N. Roychoudhury

Part VII Forest Products and Utilization

37 Wood Properties and Utilization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 811

S. R. Shukla
38 Wood Processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 839
Shakti Singh Chauhan
39 Sustainable Management of Non-Timber Forest Products . . . . . . . . . . . . . . 865
Prodyut Bhattacharya and Rituparna Bhattacharya
About the Editors

Asim Kumar Mandal an Agriculture graduate with Honours from

Visva-Bharati, Santiniketan. He obtained his M.Sc. (Genetics)
followed by Ph.D. (Genetics) from Indian Agricultural Research
Institute, New Delhi. He did his Post-Doctoral research in Forest
Genetics from the University of Edinburgh, UK. He received
advanced training in the management of R & D organization
from Administrative Staff College of India, Hyderabad.
Dr. Mandal began his professional career as Assistant Professor at
the Institute of Agriculture, Visva-Bharati, Sriniketan. He moved to
Indian Council of Forestry Research and Education (ICFRE),
Dehradun as Senior Scientist (Forest Genetics) and worked at the
Institute of Forest Genetics and Tree Breeding , Coimbatore; Tropi-
cal Forest Research Institute, Jabalpur; and Forest Research Institute,
Dehradun, in different capacities from 1990 to 2004. Apart from
research and teaching, Dr. Mandal provided academic and adminis-
trative leadership in all the above institutes as Head of Division. He
researched in the areas of genetic improvement of timber yielding
species, mainly teak and medicinal plants. He joined as Director of
Tropical Forest Research Institute, ICFRE, Jabalpur, in January 2005
and led the institute as its Chief Executive for five and half years.
He has travelled abroad extensively to attend various professional
programs. He is the first National Coordinator of Asia Pacific Forest
Genetic Resources Program and represented ICFRE as Member in
the Board of International Union of Forest Research Organization
(IUFRO). He has served in different national organizations, includ-
ing ICAR, DBT, MoEF, ICFRE, FDCM, and Central Silk Board as
Member/Chairperson of different committees. He is Member and
Fellow of a number of academic bodies.
Dr. Mandal has teaching experience at UG, PG and post PG
levels. He is a recipient of national and international fellowships for
study and research and also recipient of two national awards. He
has successfully guided a number of students for their doctoral
program and has executed a number of research projects funded by
national and international funding agencies. He has released new
improved varieties of medicinal plants and is credited with one
Indian patent. He has 143 publications including books, conference
proceedings, technical bulletins, book chapters and research papers
in national and international peer-reviewed journals. He has
chaired/co-chaired a number of technical sessions in national and
international conferences. On retirement in 2012, he served
R. K. M. Vivekananda Educational and Research Institute, Ranchi,
as Honorary Professor for five years.
xi
xii About the Editors

Abel Nicodemus works at the Division of Genetics and Tree

Improvement, ICFRE-Institute of Forest Genetics and Tree Breed-
ing, Coimbatore as Scientist G (Principal Scientist). He has been
working in the field of forest genetics and tree breeding for over
three decades. His broad areas of research are breeding of short
rotation trees for fast growth and higher wood production, varietal
development and commercialization and domestication and con-
servation of timber yielding trees. He has released new clones of
Casuarina species and their hybrids possessing high adaptability
and fast growth. These new varieties are widely planted throughout
the country and substantially increased the wood production. He
works in close partnership with Australian Tree Seed Centre,
CSIRO and paper industries in India to increase the productivity
of industrial farm forestry plantations and to secure pulpwood raw
material requirements.
Dr. Nicodemus functions as the Deputy Coordinator for the
IUFRO Working Party 20.08.02 on Improvement and Culture of
Nitrogen fixing trees. He has published two books and edited three
volumes in association with international experts. He has guided
doctoral students and published around 50 research papers in peer-
reviewed journals.
 Part I
Forests, Policy and Research
 Forest, Forestry, and State of Forests
1
Animesh Sinha

Abstract other hand, the term “Recorded Forest Area” refers to any
Forest is the sole warehouse of natural resources to the “areas that have been notified as forest under any Govern-
mankind providing food, fuel, and shelter since the dawn ment Act or Rule, or that have been documented as forest in
of human civilization. Forests play the most significant the Government records.” There may or may not be forest
role in sustaining the balance of ecosystem on this planet. cover in the recorded orest area (ISFR 2021). There is overlap
However, industrialization and urbanization have always between recorded forest area and forest cover, but not coter-
threatened the forestlands resulting in the rapid depletion minous relationship. The recorded forest area can be
of its cover round the globe. India’s overall forest cover classified as:
accounts for 23.60% of its entire geographic area and is
divided into 16 major forest types. India is one of the few • Reserved Forest (RF): A fully protected area
countries in the world where forest cover has increased in (PA) declared under the terms of Indian Forest Acts or
the last 10 years. However, the country still faces several State Forest Acts. Unless otherwise approved, all activities
challenges in the sustainable management of its forests, like hunting, grazing, and so forth are forbidden in RFs.
leading to poor production and productivity from this • Protected Forest (PF): An area with limited protection that
sector. Several legislative frameworks and different has been recognized under the Indian Forest Acts or State
policies to generate mass awareness are being Forest Acts. In PFs, permit to activities as hunting and
implemented to conserve the Indian forests. This chapter grazing are occasionally granted to populations living on
will provide a detailed insight to the forests of India with the forest’s outskirts that rely largely or entirely on forest
respect to the global scenario. resources or their derivatives for livelihood.
• Unclassified Forest (UF): A forest area that is not classi-
Keywords fied as reserved or protected forest. State-by-state owner-
ship statuses of these forests differ.
Forestry · Tropical forest · Reserved forest · Forest cover ·
National parks Currently, India’s total recorded forest area is around
23.6% of the country’s entire geographical area, with the
areas under RF, PF, and UF varying in proportion by 4:2:1
1.1 Forest (Table 1.1).

A “forest” is defined as any area of land larger than 0.5

hectare (ha) that has trees higher than 5 m with a canopy 1.1.1 Role of Forests
cover >10%, or trees that can naturally attain these
thresholds (FAO 2006). It excludes land used primarily for Forests have been an integral part of the human ecosystem
urban or agricultural purposes. Nevertheless, the Forest Sur- since ancient times. Forests, nature’s greatest gift to mankind,
vey of India (FSI) defines “Forest Cover” as “an area larger play a vital role in human life. Apart from providing shelter
than 1 ha in size with a tree canopy density of 10% or above, and protection to a large number of living beings, they have
regardless of legal status or species composition.” On the been a major source of food, fodder, fiber, wood, and many
other products. They have enriched human life in diverse
A. Sinha (✉) ways, both materially and psychologically.
ICFRE - Institute of Forest Productivity, Ranchi, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 3
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_1
4 A. Sinha

Table 1.1 Recorded forest areas Categories of forest area Area in ’000 sq km
in India
Reserved forest 442.3
Protected forest 212.3
Unclassified forest 120.7
Total recorded forest area 775.3
Geographical area 3287.5
% of Geographical area 23.6
Source: ISFR (2021)

Table 1.2 Carbon content (Mt) by component in India’s forests between 1995 and 2021
Carbon 1995 2021 Incremental change
In biomass 2692.47 3038.80 346.33
In soil (Including dead wood and litter) 3552.30 4165.20 612.9
Total 6244.78 7204.00 959.23

1.1.1.1 Ethical they create a protective cover that decreases the force of rains
Forests are deeply intertwined with religion and cultural on the soil. Soil anchoring is aided by root systems. They
manifests of India. Most types of education were taught in offer shade, keeping the soil from drying up too much
ancient India in the vicinity of forests. Rabindranath Tagore, enhancing the soil’s ability to retain moisture. Forests are
sometimes referred to as “Gurudev,” is an acclaimed person essential for conserving soil and water, and reducing the
in the field of modern educational theory and is well known siltation of reservoirs. A healthy watershed depends heavily
for his contributions made both in India and beyond. One of on the forests. Rivers that start in forested areas transport
the most remarkable aspects of his educational philosophy organic materials from the forest to downstream, sustaining a
was his belief that education was the most effective instru- diversity of fish and aquatic life.
ment for modernizing India. At Santiniketan, Tagore founded The multitude of different kinds and variations of plants,
his school, Brahmachary-Ashram, in 1901. Later, this insti- animals, and microbes may be found in these Indian habitats.
tution evolved into Visva-Bharati University. The Vedas and A variety of ecosystem services, such as pollination, water
Upanishadas, which comprise India’s national inheritance, supply, and genetic resources, that are necessary for agricul-
left their mark on Tagore’s experimentation. Tagore intended tural systems’ stability and nutritional security are also
to introduce a semblance of ancient ashramic teachings into provided by biodiversity, forests, and trees outside of forests.
contemporary India, where students and teachers would Additionally, they have a significant impact on reducing
cohabit as members of a family. Learning would occur in a pollutants in the environment, droughts, floods, and
cooperative atmosphere involving both the environment and desertification.
other people. The child’s individuality would flourish as a By capturing atmospheric carbon dioxide and reducing the
result of exposure to music, literature, and the arts. The child greenhouse effect, trees replenish the oxygen availability in
would physically assist in daily tasks, much as how the the atmosphere through photosynthesis. Results show that
disciple and other family members of the Guru used to feed between 1995 and 2021, the country’s forest carbon stocks
the animals, milch the cow, and gather seasonal produce from increased by 36.9 metric ton (Mt) of carbon per year, from
the forest in the past. Cleaning the jungle, planting trees, and 6244.8 to 7204.0 Mt (Table 1.2). This rise is attributed to
maintaining the environment all fell within the student’s conservation policies. The country’s annual carbon dioxide
purview. According to Bhattacharya (2013), all of these removal from the forests was sufficient to offset 9.3% of its
activities would afford the child both mental and physical emissions in 2000. In COP 27 (Conference of the Parties),
independence, enabling them to learn impulsively, passion- India committed to developing additional carbon sinks of
ately, and effortlessly. With so many outdoor recreational 2.5–3.0 billion tons of CO2 equivalent through increased
opportunities, forests promote healthy, active lifestyles. By forest cover by 2030. Forests play an important part in the
connecting with others and their surroundings, they also country’s carbon sequestration, which can fetch a handsome
improve their mental and spiritual health. amount of foreign currency in exchange of trading carbon
credits in the international markets (Gorain et al. 2021).
1.1.1.2 Ecological Countries such as India, which have large forests and a
Numerous plant and animal species are protected and large rural population reliant on forest products and services
maintained by the habitat that forests offer. Forests modulate for subsistence, face a dilemma. With approximately 170,000
hydrologic flow. Soil erosion is decreased by plants because settlements categorized as forest fringe villages, around
1 Forest, Forestry, and State of Forests 5

300 million residents rely heavily on the surrounding forests Pulp and Paper Forestry and
(PIB 2023). As a result, people’s reliance on the industry Manufacture Logging
must be lessened by making alternate sources of forest and 18% 24%
tree-based goods available to them. The potential for India’s
forests and tree cover to store carbon may be increased by the
National Mission for a Green India, which will also provide
LPG (liquified petroleum gas), biogas plants, and energy- Manufacture
efficient stoves to mountain dwellers living in the Western of Wood and
Ghats and the Himalayan area, enhancing forest protection Wood
legislation. Products
In the world’s subtropics and tropics, mangroves are the 58%
only tropical coastal forests found where land meets the
ocean (Alongi 2002). Mangroves are extremely prolific
Fig. 1.1 Distribution of employment in forest sector across the world
ecosystems with enormous ecological significance. They
safeguard and maintain coastal zones while also nourishing
and nurturing coastal water. The Sundarbans, located in the
delta of the rivers Ganga, Brahmaputra, and Meghna, are the
Employment
biggest coastal wetland in the world. They are made up of
According to a recent FAO and ILO (International Labour
mangrove forests that span an area of around one million
Organization) study by including 185 nations and 99% of
hectares. About 60% of this mangrove tract is shared by
global forest lands, 33.3 million people were engaged in the
Bangladesh, and the remaining 40% by India. The climate
forest sector globally from 2017 to 2019, accounting for
is subtropical monsoon, with annual rainfall ranging from
barely 1% of total global employment (Lippe et al. 2022).
1600 to 1800 mm and numerous cyclonic storms. Following
Between 2011–2013 and 2017–2019, the overall number
the 2004 Indian Ocean tsunami, one of the most devastating
with respect to (w.r.t) employment associated with forests
natural catastrophes in recent memory, the role of coastal
faced a decrease of 15% from 39.5 million. Increased pro-
forests in reducing the effects of tsunamis suddenly became
ductivity, such as automation, and improved forest manage-
an important topic of discussion. There is substantial evi-
ment methods may explain the declining level of forest-
dence that coastal vegetation may diminish the power,
related jobs. According to Lippe et al. (2022), the production
depth, and velocity of a tsunami, decreasing property damage
of wood and wood products engaged around 19.4 million
and loss of life. Several scientific studies, surveys, and
people, while other subsectors such as logging and pulp-
anecdotes carried out in different countries of South East
paper manufacturing generated 8.0 and 5.9 million employ-
Asia proved that the degree of damage by tsunamis in coastal
ment in this sector, respectively (Fig. 1.1). As per Indian
region is significantly correlated with the absence of coastal
scenario, around 1.6 million people were engaged in forest
forests there (Forbes and Broadhead 2008).
sector, which is only 0.1% of the total population of the
country (Li et al. 2019).
1.1.1.3 Economical
A component of sustainable forest management is the for-
Contribution to GDP (Value-Added)
estry sector’s economic contribution to the country; data on
The overall contribution of forestry sector to world GDP has
this aspect are required to track advancements of the country.
been decreasing continuously over time due to the rapid
A consistent and internationally comparable dataset on the
expansion of global economy. During the period of
contribution of the forestry industry to national economies is
2000–2011, the global GDP has increased around 40%,
made available by the Food and Agriculture Organization of
whereas the total value-added in forestry sector has seen an
the United Nations (FAO) for each and every nation and
uplift of only 3%. The forestry industry generated a total
territory in the world. Three measures are often used to
value-added of US$ 606 billion in 2011 (Lebedys and Li
quantify the forestry industry’s contribution to national eco-
2014). Li et al. (2019) assessed that forest sector in India has
nomics: employment in the sector, gross domestic product
contributed a total of US$ 44.4 billion total value-added to
(GDP) contribution, and trade contribution. Furthermore,
the country’s GDP, which includes US$ 23.4 billion, US$ 8.1
although the economic appraisal of the forest sector is being
billion, and US$ 12.9 billion as direct, indirect, and induced
conducted, the ecological services that forests provide are
value-added, respectively.
sometimes overlooked and underappreciated.
6 A. Sinha

Trade year (https://www.statista.com/statistics/911982/india-eco

Global forest product exports totaled $421 billion in 2011 nomic-contribution-of-forestry-and-logging-indistry/). Since
(Lebedys and Li 2014). Despite fast increase in international the fiscal year 2013, there has been an upward tendency in
trading, growth in trading in forest products is relatively this sector’s contribution (Fig. 1.2). India produces a lot of
slower than growth in other commercial items. Approxi- food, medicine, fuel, lumber, and fodder from its forests. The
mately 90% of the worldwide commerce in forest products ever-growing need for timber is met by forests. In the con-
was conducted in the top four exporting areas, which include temporary economy, NTFPs are enormously significant.
the growing Asia-Pacific region, Northern America, and Wild food goods, certain essential oils, gums, resins,
Western and Eastern Europe. turpentines, tans, colors, bamboo, fibers, tendu leaves, and
Northern America, Western Europe, and the industrialized so on are examples of such products. These items serve as the
Asia-Pacific area are major manufacturers and consumers of foundational raw materials for the phytochemical and
forest products, making up 60% of exports, 23% of employ- phytopharmaceutical industries. Additionally, forests supply
ment, and 50% of value-added. If the forestry industry is only cattle and other livestock with feed. Certain plants have
considered in terms of its contribution to GDP and employ- considerable feed value in their leaves and twigs. Even at
ment opportunities, it is not a significant economic sector crucial times, multipurpose trees such as Grewia optiva,
globally. However, contribution of the sector is undervalued Leucaena leucocephala, Bauhinia variegata, and Morus
both in economic and social terms as majority of times serrata have the capacity to provide animals with high-
indirect use values are either not captured or underestimated quality fodder when harvested at the ideal stage of maturity
(Gorain and Malakar 2020). In many countries, individuals (Navale et al. 2022). The NTFP sector is one of India’s major
gather fuel wood or non-timber forest products (NTFPs) for unorganized sectors, with a dependent population of over
sustenance, which is usually not included as a contribution to 275 million and an annual revenue of more than Rs. 6000
the nation’s GDP. It is challenging to monitor and quantify crores (Kanwal 2014). According to Shivaprasad and
these activities on a national or regional level, even when Chandrashekar (2014), this sector accounts for almost 70%
these goods are gathered for commercial purposes. A of the exports of forest-based products and 50% of the forest
research that evaluated the prospective financial rewards revenue received by the Indian government.
from collecting wood in Peru’s Amazonian rain forest to
those from using non-timber forest products (wild fruits and 1.1.1.4 Social
latex) amply demonstrated the superiority of NTFPs over Forests and trees contribute to food security and nutrition in a
timber (Peters et al. 1989). Compared to the merchantable variety of ways. Diets of individuals living in heterogeneous
timber production of US$ 11.49/ha/year, the sustainable fruit environments are more diverse and forests are capable of
and latex output was predicted to be US$ 422/ha/year. providing food of higher nutritional quality abundantly.
In India, the gross value contributed from forestry and Forests can act as a major source in times of food scarcity.
logging was 1.96 trillion Indian rupees for the 2020 fiscal Forests and tree-based agriculture systems support the lives

Fig. 1.2 Gross value-added from 2.5

the forestry and logging industry
in India

2
Rs. (in trillion)

1.5

0.5

0
2013 2015 2017 2020
Fiscal Year
1 Forest, Forestry, and State of Forests 7

of an estimated one billion people worldwide (Sunderland likely made it impossible to create maps depicting the distri-
et al. 2013). bution of different forest types.
Forest dwellers have several alternatives for self- The first-ever “Forest Type Atlas of India” was published
employment. According to the International Labour Organi- in 2011 by the Forest Survey of India (FSI), which carried out
zation, 1 ha of forest planting requires about 630 man-days a nationwide mapping project of forest types from
from nursery to harvesting. Approximately 70% of the 2005 to 2010. The Champion and Seth categorization was
funding allotted to plantings or afforestation is spent on direct used to create the 1:50,000 scale forest type maps. Table 1.4
pay for workers, with the other 30% going toward the pro- shows the area statistics for the type groupings according to
curement of seeds, planting supplies, equipment, and so on. It ISFR (2021). Group 5 consists of tropical dry deciduous
is worth noting that in India, women and tribals make up half forest (280,547 sq km), followed by Group 3, which consists
of the workforce on forest plantations. Rural women spend of tropical wet deciduous forest (131,805 sq km). These two
70–80% of their working days collecting NTFPs, fuel, and groups together encompass around 58% of India’s forests.
feed. NTFP-related activities offer employment during lulls Despite being largely accepted at the time, Champion and
in the economy as well as a buffer against risk and family Seth’s (1968) categorization was later revealed to have cer-
crises (Singhal et al. 2003). Furthermore, forests serve as tain shortcomings. Champion’s categorization was largely
popular spots for leisure and recreation and also enhance for forest usage, especially lumber extraction. Over time,
the area’s scenic appeal. the focus of Indian forestry shifted to forest conservation,
with a renewed emphasis on the significance of forests in
environment amelioration and climate change mitigation/
1.1.2 Forest Types adaptation. Because of the classification into over
200 subgroups, forest managers encountered extra intricacy.
Champion initiated the first endeavor to categorize India’s The Indian Council of Forestry Research and Education
forests in 1936, and Seth amended it in 1968 (Champion and (ICFRE) sought to simplify this categorization even further
Seth 1968). Employing temperature and precipitation data, by ground-proofing, more surveying, and reclassification
they categorized the Indian forest into 16 type groups (cli- measures. ICFRE (2013) established 10 primary groupings
matic kinds), 6 primary forest groups, and more than 200 sub- and 44 sub-groups (Table 1.5) to decrease redundancy, over-
group types (Table 1.3). The lack of geographic information lap, and to make it easier for practical foresters to work in the
system (GIS) and remote sensing data at the time, however, field.

Table 1.3 Forest types in India—Champion and Seth classification

Major group Group Major group Group
A. Moist tropical forest 1. Tropical wet evergreen forest C. Montane subtropical forest 8. Subtropical broad-leaved hill forest
2. Tropical semi-evergreen forest 9. Subtropical pine forest
3. Tropical moist deciduous forest 10. Subtropical dry evergreen forest
4. Littoral and swamp forest D. Montane temperate forest 11. Montane wet temperate forest
B. Dry tropical forest. 5. Tropical dry deciduous forest 12. Himalayan moist temperate forest
6. Tropical thorn forest 13. Himalayan dry temperate forest
7. Tropical dry evergreen forest. E. Subalpine forest 14. Subalpine forest
F. Alpine scrub 15. Moist alpine scrub
16. Dry alpine scrub

Table 1.4 Area under different forest type groups in India as per ISFR (2021)
Type group Area in sq km % of Grand total Type group Area in sq km % of Grand total
Group 1 19,572 2.74 Group 10 173 0.02
Group 2 69,195 9.69 Group 11 20,185 2.83
Group 3 131,805 18.47 Group 12 28,727 4.02
Group 4 5478 0.77 Group 13 4255 0.60
Group 5 280,547 39.30 Group 14 12,672 1.78
Group 6 13,259 1.86 Group 15 652 0.09
Group 7 835 0.12 Group 16 2396 0.34
Group 8 31,015 4.35 Plantation 75,221 10.54
Group 9 17,801 2.49 Total 713,788 100.00
8 A. Sinha

Table 1.5 Forest type groups in India as per ICFRE (2013)

Major group Subgroup Major group Subgroup
I. Tropical wet evergreen IA. Andaman tropical VI. Dry tropical thorn and scrub type VIA. Dry thorn forest
forests evergreen forest
IB. West coast tropical VIB. Desert thorn and ravine forest
evergreen forest
IC. Assam Valley tropical VIC. Dry scrubs
evergreen forest
ID. Cachar tropical evergreen VID. Dry evergreen forest
forest
II. Tropical wet semi- IIA. Andaman semi-evergreen VII. Southern montane broadleaved VIIA. Southern montane broadleaved
evergreen forests forest forests forest
IIB. West Coast semi- VIIB. Southern montane broadleaved
evergreen forest wet forest
IIC. Assam valley semi- VIII. Northern subtropical broadleaved VIIIA. East Himalayan subtropical
evergreen forest and coniferous forests broadleaved hill forest
IID. Cachar semi-evergreen VIIIB. Khasi wet hill forest
forest
IIE. Moist bamboo forest VIIIC. Assam subtropical pine forest
III. Tropical moist IIIA. Moist teak forest VIIID. Himalayan subtropical pine
deciduous forests forest
IIIB. Mixed deciduous forest IX. Himalayan temperate forests IXA. East Himalayan broadleaved
temperate forest
IIIC. Moist sal forest IXB. East Himalayan mixed temperate
coniferous forest
IIID. Moist peninsular sal IXC. West Himalayan broadleaved
temperate forest
IIIE. Odisha moist deciduous IXD. West Himalayan deodar forest
forest
IV. Littoral and swamp IVA. Littoral forest IXE. West Himalayan mixed
forests coniferous forest
IVB. Tidal mangroves IXF. West Himalayan dry temperate
coniferous forest
IVC. Tidal Heritiera forest IXG. East Himalayan dry temperate
coniferous forest
IVD. Tropical fresh water X. Alpine forests X A. Trans-Himalayan alpine forest
Myristica swamps
IVE. Tropical fresh water XB. West Himalayan alpine forest
seasonal swamp
V. Dry deciduous type VA. Dry teak bearing forest XC. Himalayan Rhododendron
VB. Red sander forest
VC. Dry mix deciduous forest
VD. Dry sal bearing forest
VE. Dry grassland

1.2.1 Silviculture and Silvicultural Systems

1.2 Forestry
The branch of forestry known as silviculture is concerned
Forestry is defined as the science or practice of planting, with the establishment, maintenance, and propagation of
maintaining, utilizing, preserving, and caring for forests and timber stands. It is the process of growing forest trees. The
their related resources for human and environmental principal objectives of silviculture are (1) production of
purposes. Forestry has various branches, and just a few of higher timber volume per unit area, (2) production of superior
the significant ones are mentioned here. quality timber, (3) reduction of rotation age of species,
(4) large-scale production of economically valuable species,
1 Forest, Forestry, and State of Forests 9

(5) afforestation, (6) reforestation, and (7) introduction of protection, innovative timber and composite elements, ana-
exotics. lytical techniques for biorefineries, etc.
The collection of silvicultural practices used to cultivate,
harvest, and replace the crops that make up a forest with new,
distinctively structured crops is known as a silvicultural sys- 1.2.5 Forest Policy and Legislation
tem. The two main categories of silvicultural systems are
coppice forest systems and high forest systems. In high forest The National Forest Policy (NFP) of 1988 placed a strong
systems, where rotation is often lengthy, regeneration emphasis on outside-the-forest tree planting as well as the
originates from seedlings, whether naturally occurring or conservation of forests via public participation. In 2018, a
artificially created. In coppice forest systems, coppice is the draft national forest policy was developed. The policy’s
source of regeneration and has a brief rotation. overarching goal is to protect people’s ecological security
and means of subsistence for both the current and future
generations by managing forests sustainably to maintain the
1.2.2 Forest Mensuration flow of ecosystem services (http://www.
indiaenvironmentportal.org.in/content/452833/draft-
It deals with determining the shape, age, height, girth, weight, national-forest-policy-2018/). For improved management of
volume, and increment of individual trees, stands, or entire the nation’s forests, the National Community Forest Manage-
forests, either standing or after they have been felled. Forest ment Mission (CFM) and National Board of Forestry (NBF),
mensuration aids in estimating the worth of any forest output two national-level organizations, are suggested to be
for sale. It is necessary to quantify the number of standing established under the draft policy. In order to carry out
trees in a forest and their yearly growth in order to use forest afforestation and reforestation activities in degraded forest
products sustainably. Forest mensuration provides crucial regions, forest lands available with forest development
basic statistical data for future forest management planning. corporations, and outside forests, public–private involvement
models may be established.

1.2.3 Forest Resource Utilization

1.2.6 Forest Management
This field of forestry is concerned with the collection, trans-
formation, disposal, and utilization of forest products. Tim- The nation’s approach to managing its forests has evolved
ber, poles, and firewood are the most important forest over time, moving from production to protection to
products. Fruits, leaves, bark, fiber, colors, oils, essential conservation-oriented forestry. The first National Forest Pol-
oils, gum, resins, animal products (lac, honey, wax, silk, icy was formulated in 1894, marking the beginning of scien-
ivory, etc.), mineral goods, medicinal plant items, and so on tific forestry planning in India. Because forests are renewable
are examples of minor forest production. These are also resources, they may be preserved for all time with careful
known as non-timber forest products (NTFPs) or non-wood planning and management. Demands generated by popula-
forest products (NWFPs). tion growth change the requirement for forest management
and planning throughout time (Kumar et al. 2020). India saw
massive tree-felling between the sixteenth and eighteenth
1.2.4 Wood Technology centuries in order to make way for army movements, hunt
animals, and expand agricultural fields. Deforestation
The hard, fibrous, lignin-rich material beneath a tree’s bark is escalated in the mid-nineteenth century due to the East
called wood. The main components of wood are the isomeric India Company’s construction of transportation, railroads,
carbohydrates cellulose and lignin. According to Perlin and electrical lines, as well as for ship building.
(1991), wood is hailed as the “unsung hero” of the revolution For the Pegu Yomo forests in Myanmar, Sir Dietrich
in technology that has propelled humanity from a society of Brandis developed the first forest management plan in 1860
stone and bone to the modern day. Wood technology deals (Singh 2007). He used the Linear Valuation Survey to assess
with mechanical performance of wood and wood products, the rising stock of forests for the first time, and he extensively
durability of wood, drying of wood, high performance in counted rings to determine the growth rates of teak. When the
wood coating, environmental optimization of wood nation’s first forest policy was established in 1864, it may be
said that organized forestry began. The current Indian Forest
10 A. Sinha

Service was established in 1966 to oversee forests following “Prakriti” program. The program’s objectives are to increase
a century of its predecessors. awareness on forests and environment, and spark interest in
preserving a balanced ecosystem among NVS and KVS
students, and raise knowledge of forests. Scientists from
1.2.7 Working Plan ICFRE are educating students on current forestry research
through lectures and interactive workshops. For practical
Working plans have been the primary tool used in Indian experiences, field trips and laboratory visits by educators
forest management for about 150 years in order to maintain a and students from NVS and KVS schools are also planned
sustainable yield (Kumar et al. 2020). The State and Union to ICFRE institutes.
Territory Governments have been given primary authority for
the management and control of forests. Nonetheless, the
Central Government sets general policies and keeps an eye 1.3 State of Forests
on the forest sector. With the exception of wildlife divisions,
the territorial organization consists of 197 circles, 1.3.1 Forest Cover and Forest Plantation
788 divisions, 4706 ranges, 11,685 blocks, and 43,884
beats (FSRI 2010). Using GIS and data from remote sensing, The worldwide forest cover is 4059 m ha, i.e., 30.8% of land
state forest departments develop work plans for the purpose globally. China, Brazil, Canada, the United States, and the
of managing forests scientifically. Russian Federation are the five nations that account for over
50% of the planet’s forests (FRA 2020). The distributions of
global forests in major countries and in different climatic
1.2.8 Forestry in Basic Education regions are depicted in Figs. 1.3 and 1.4, respectively. In
Fig. 1.3, top five countries on the basis of forest area and
By promoting good and sustainable forest management skills India are depicted. India occupies the tenth position with
among elementary school students and, through forestry respect to forest area in the world. The world’s biggest
extension, among youth and adults, there is a great chance geographical zone with forests is found in tropical regions,
to enhance the effects of the changes at higher levels of or the land areas roughly defined by the tropics of Cancer and
education in forestry. Primary school students in underdevel- Capricorn. Tropical forests are commonly assumed to be
oped nations are becoming strong proponents of plant and evergreen rainforests and moist forests; nevertheless,
animal conservation. In a relatively short amount of time, rainforest accounts for only up to 60% of tropical forest.
school children’s influence on parents, neighborhoods, and Seasonally dry tropical forests, mangroves, tropical freshwa-
communities has proven quite effective in changing cultural ter swamp forests, tropical coniferous forests, and savanna
beliefs. Examples of environmental education programs that forests are among the many diverse forest types that make up
provide forestry education and training to elementary school the remaining tropical forests. The boreal climate zone has
students include those run by India’s National Council of the world’s second largest forest acreage and is situated in the
Educational Research and Training (NCERT) for primary Northern Hemisphere, roughly between 50°N and 70°N lati-
and secondary schools (Gasperini 2001). First introduced in tude. A subarctic climate is found in the boreal region. In
the National Policy on Education (1986), the program’s core Europe and Asia, boreal forests are frequently referred to as
tenet is that environmental conservation is a value that should
be ingrained in the curriculum at every level of the educa-
tional cycle. At the end of 2000, NCERT created a national Canada
Brazil
curriculum framework that outlined the anticipated learning 9%
12% USA
results for students across the board. According to the frame-
8%
work, environmental studies is one of the required subjects
for elementary school students’ official curricula and is given Russian China
20% of class time. As students go through the educational Federao 5%
system, environmental education as a distinct topic is phased n
India
out in favor of integrated science, which requires students to 20%
Rest of 2%
reflect on observations made about the environment, such as
the balance of nature and population impacts on natural the world
resources. 44%
The ICFRE signed Memorandums of Understanding
(MoUs) with Navodaya Vidyalaya Samiti (NVS) and
Kendriya Vidyalaya Sangathan (KVS) in 2018 to begin the Fig. 1.3 Distribution of global forests in different countries
1 Forest, Forestry, and State of Forests 11

Subtropica Non- VDF

l forest 3.04%
11% 76.87%
Temperate
Tropical MDF
17%
45% 9.33%
OF
Boreal 9.34%
27% Scrub
1.42%
Fig. 1.4 Distribution of global forests in different climatic regions
Fig. 1.5 Relative compositions of forest cover in India
taiga. Since these ecosystems are inherently susceptible to
global warming, boreal forests are predicted to be particularly utilized to estimate tree cover, while high-resolution satellite
vulnerable and sensitive to climate change. data are employed for stratification. TOF is heavily reliant on
In 1987, the Forest Survey of India (FSI) in collaboration tree cover. The country’s tree cover and TOF are predicted to
with the National Remote Sensing Agency conducted the first be 95,748 sq km and 292,907 sq km, respectively. The
assessment of the nation’s genuine forest cover. Since then, overall forest and tree cover of the nation is 809,537 sq km,
the forest cover has been monitored every 2 years using accounting for 24.62% of the country’s geographical area
satellite imagery. However, the mapping exercise based on (Table 1.6). With 77,493 sq km, Madhya Pradesh has the
remote sensing has several drawbacks. Some of the nation’s highest forest cover, which is followed by Arunachal
constraints are as follows: Pradesh (66,431 sq km) and Chhattisgarh (55,717 sq km)
(Table 1.7). On the other hand, of all the states and union
• Land cover characteristics on the ground with geometric territories, Mizoram (84.5%) and Lakshadweep (90.3%) have
dimensions <23.5 m are invisible due to the 23.5 m reso- the greatest percentages of forest cover overall.
lution of the Linear Imaging and Self Scanning Sensor India is one of the few nations in the world with an
(LISS) - III sensor data. observed growth in the amount of forest cover with a contin-
• The presence of agricultural crops like cotton, sugarcane, uous upward trend (Fig. 1.6). Acacia, eucalyptus, teak, casu-
and others next to forests, as well as weeds like lantana, arina, poplar, pine, and bamboo plantations are the most
results in the mixing of spectral signatures. commonly grown in the country. The large-scale plantations
• Insufficient reflection from newly planted areas and trees of exotics like acacias, eucalyptus, and casuarina and planta-
with reduced foliage or chlorophyll pigments. tion of teak beyond its natural distribution have been
• Atmospheric distortions, etc. undertaken. The plantations have reduced anthropogenic
pressure to a considerable extent on the natural forests. How-
India has 7.14 lakh sq km, or 71.4 m ha, of total forest ever, the plantations in the natural forests have altered the
cover, making up 21.71% of the country’s total land area floristic composition and ecological function of these forests.
(ISFR 2021). Three canopy density classifications are used to
categorize forest cover in the country, i.e., very dense forest
(VDF) with over 70% canopy density, moderately dense 1.3.2 Is the Target of Forest Cover Achievable?
forest (MDF) with 40–70% canopy density, and open forest
(OF) with 10–40% canopy density. India has continuously taken several actions to safeguard its
Figure 1.5 depicts the relative proportions of forest cover natural resources, replenish its forest cover, and progress
in different classes, scrub, and non-forest (including tree toward having one-third of its territory covered by forests.
cover) regions. Any patches of trees that are <1 ha and Progress has been slower than anticipated due to a number of
located outside of a registered forest area (RFA) are consid- factors, including its enormous and expanding population, the
ered to be part of the tree cover. Despite their apparent poverty of a sizable portion of the populace, the growing
similarity, trees outside forest (TOF) and tree cover are two demand for forest products, a lack of funding, and pressure
distinct concepts according to the FSI’s evaluation. TOF on land from its many developmental demands. The National
refers to any trees that grow outside of RFA, regardless of Forest Policy (NFP) of 1952 advocated for a 33% forest cover;
patch size, which can be >1 ha. Consequently, tree cover however, in hilly and mountainous areas, the percentage is
falls under the TOF subset. A sampling-based approach is 60%. The NFP 1988 placed emphasis on this goal, aiming for
12 A. Sinha

Table 1.6 Forest and tree cover in India in 2021

Class Area (sq km) Percentage of geographical area Change (%) w.r.t data in 2019
Very dense forest 99,779 3.04 0.50
Moderately dense forest 306,890 9.33 -0.51
Open forest 307,120 9.34 0.86
Total forest cover 713,789 21.71 0.22
Tree cover 95,748 2.91 0.76
Total forest and tree cover 809,537 24.62 0.28
Scrub 46,539 1.42 0.52
Non-forest (including tree cover) 2,527,141 76.87 -0.07
Total geographic area 3,287,469 100.00

Table 1.7 State-wise forest cover in India in 2021 (as per ISFR 2021)
Total
forest % of Trees outside
cover geographical Forest cover change (%) Scrub Tree cover forest
S. no. State/UT (sq km) area w.r.t 2019 (sq km) (sq km) (sq km)
1 Andhra Pradesh 29,784 18.28 2.22 8276 4679 10,224
2 Arunachal Pradesh 66,431 79.33 -0.39 797 1001 8752
3 Assam 28,312 36.09 -0.05 228 1630 9939
4 Bihar 7381 7.84 1.03 236 2341 4891
5 Chhattisgarh 55,717 41.21 0.19 615 5355 18,605
6 Delhi 195 13.15 -0.23 0.38 147 283
7 Goa 2244 60.62 0.31 0.00 244 1268
8 Gujarat 14,926 7.61 0.46 2828 5489 10,580
9 Haryana 1603 3.63 0.06 159 1425 2654
10 Himachal Pradesh 15,443 27.73 0.06 322 675 5474
11 Jharkhand 23,721 29.76 0.47 584 2867 14,306
12 Karnataka 38,730 20.19 0.40 4611 7494 23,676
13 Kerala 21,253 54.70 0.52 30 2820 14,394
14 Madhya Pradesh 77,493 25.14 0.01 5457 8054 20,775
15 Maharashtra 50,798 16.51 0.04 4247 12,108 26,866
16 Manipur 16,598 74.34 -1.18 1215 169 1934
17 Meghalaya 17,046 76.00 -0.43 663 698 2946
18 Mizoram 17,820 84.53 -1.03 1 444 708
19 Nagaland 12,251 73.90 -1.88 824 365 3988
20 Odisha 52,156 33.50 1.04 4924 5004 24,474
21 Punjab 1847 3.67 -0.11 34 1138 2197
22 Rajasthan 16,655 4.87 0.15 4809 8733 12,828
23 Sikkim 3341 47.08 -0.03 296 39 1326
24 Tamil Nadu 26,419 20.31 0.21 758 4424 13,312
25 Telangana 21,214 18.93 3.07 2911 2848 5366
26 Tripura 7722 73.64 -0.05 33 228 2517
27 Uttar Pradesh 14,818 6.15 0.08 563 7421 13,096
28 Uttarakhand 24,305 45.44 0.01 392 1001 8521
29 West Bengal 16,832 18.96 -0.41 156 2349 12,069
30 A & N Islands 6744 81.75 0.01 1 23 559
31 Chandigarh 23 20.07 3.86 0.38 15 29
32 Dadra & Nagar Haveli and 228 37.83 0.04 4.85 32 100
Daman & Diu
33 Jammu & Kashmir 21,387 39.15 0.14 284 3511 11,722
34 Ladakh 2272 1.35 0.80 279 954 2426
35 Lakshadweep 27 90.33 0.00 0.00 0.05 27
36 Puducherry 53 10.88 1.70 0.00 23 75
Total 713,789 21.71 0.22 46,539 95,748 292,907
1 Forest, Forestry, and State of Forests 13

Fig. 1.6 Trend in forest cover in 720.0

India during 2011–2021
y = 2.266x - 3864 713.8
715.0 712.2
R² = 0.975
710.0 708.3

Area in '000 sq km
705.0 701.5
700.0 697.9

695.0 692.0
690.0
685.0
680.0
2011 2013 2015 2017 2019 2021
Assessment Year

Table 1.8 Number of Indian states/union territories meeting the criteria of forest cover
Sl. no. Classification on the basis of target achievement 2011 2021
1 States/UTs meeting the criteria of 33% forest cover 15 17
2 States/UTs can meet the criteria of 33% forest cover provided entire wasteland is converted to green cover 3 2
3 States/UTs not meeting the criteria of 33% forest cover 17 17
Total 35a 36b
a
Number represents Ladakh as a part of Jammu and Kashmir State and Dadra & Nagar Haveli as a separate UT from Daman & Diu
b
Number representing creation of Telangana and Ladakh

33% of the total area to be covered by forests or trees and 67% establish a framework for collaboration at the local, regional,
of the area to be covered in hills and mountains. and national levels between the forestry industry and other
Joshi et al. (2010) evaluated the possibility of reaching the sectors, particularly the animal husbandry sector for the man-
mandated policy objectives given the current state of land use agement of grazing and fodder production and the energy
practices by analyzing changes in the state’s forest cover. sector for the management of rural energy requirements. The
Only a few Indian states adhered to the mandated policy, Participatory/Joint Forest Management (JFM) initiative is an
whereas the majority of states did not. Three states excellent strategy for reducing forest degradation. JFM
(Jharkhand, Odisha, and Rajasthan) have the potential to policies that are well designed can help to preserve and
attain the 33% target as long as the transition to tree cover enhance community livelihoods, prevent deforestation, and
is not hampered and appropriate resources are accessible on restore forest cover and density.
the state level. The Planning Commission has placed an Forestry research must shift its focus from conventional
emphasis on adding trees outside of forests and other natural silviculture to present requirements in community-based for-
habitats in the XI Five-Year Plan (2007–2012) to increase estry, environmental ethics, ecological economics, urban for-
forest cover. Of India’s entire wasteland (17.45% of the estry, and other fields. Aside from afforestation and
country’s geographical area), only 70% can be put to better replanting in all denuded and degraded forest areas, promo-
use by boosting the amount of greenery (Mathur and tion of trees outside forests and urban greens should be
Sachdeva 2003). India’s green cover may further be undertaken on a mission manner in order to achieve the aim
increased by planting trees in farmlands (5 m ha) and forest of Indian forest and tree cover.
areas (5 m ha) as part of the Green India Mission’s
2010–2020 program. The situation regarding reaching the
aim of 33% forest cover during the past 10 years has 1.3.3 Production of Forest Resources
remained mostly unchanged (Table 1.8). During this time,
only Odisha has achieved the target. With an annual yield of around ten million m3, India’s natural
Degradation of forests in India is mostly caused by forests continued to be the primary source of lumber until the
overgrazing and firewood collecting. It is necessary to 1970s. In 1998, the Indian Supreme Court issued an order
14 A. Sinha

prohibiting the cutting of trees from natural forests without Specific elements that affect productivity include the amount
the Central Government’s prior permission. The yearly yield of trash removed or retained, the condition of the ground
of timber coming from state forests decreased to around three vegetation, the density of the stock that will support future
million m3. The majority of this output might be due to road growth, and protection from substances that inhibit growth.
expansion-related tree cutting. The estimated productivity of these forests, using Paterson’s
India has the capacity to produce 6167.50 million m3 of index and taking into account rainfall, soil conditions, and
wood (ISFR 2021). The prohibition on cutting down forest length of growth period, would vary from 1.35 m3/ha/year in
trees contributes to the growth of trees outside of forests for the dry regions of India to 7.66 m3/ha/year in the moist and
the production of industrial timber. An estimated 58.5 million wet regions, while rest forests of the country produce
m3 of commercial wood are produced nationwide from trees between 3 and 4 m3/ha/year (MoEF 1999).
that are not part of forests (ICFRE 2016). India liberalized the Aside from site quality, the genetic makeup of seed or
importation of wood and wood products in 1996 in response planting material has a significant influence in enhancing
to the growing focus on forest protection. Since then, the forest production, particularly in planted forests. In India,
import of wood and wood products has grown significantly, tree improvement initiatives began in the 1960s. The Indian
averaging around INR 20,000 crores per year till FY Council of Forestry Research and Education (ICFRE),
2020–2021 (IPIRTI 2021). Dehradun, was formed in 1987 as an apex organization
Wood is utilized for fuels in addition to being used for under the aegis of the Ministry of Environment, Forest and
lumber. However, the majority of its manufacturing, trans- Climate Change (MoEFCC), with one of its objectives being
portation, and consumption have stayed inside the informal to boost forest production. To boost productivity, the follow-
economy. Determining the amount of fuel wood produced in ing actions are typically taken:
forests is an extremely challenging task. However, it has been
projected to reach 52 million m3 per year (FSI 2009). Forests • Selection of suitable species for the site
in India fulfill about 40% of the country’s energy demands • Selection of superior trees, their evaluation, and release as
and around 30% of the cattle population’s feed needs. It is varieties or clones
estimated that around 270 Mt of fuel wood, 280 Mt of fodder, • Creating seed production sites, seedling seed orchards,
and innumerable NTFPs are harvested from the forest each and clonal seed orchards will enable the production of
year (Singhal et al. 2003). In India, over 800 different types high-quality seeds
of non-timber forest products (NTFPs) are collected, but • Development of macro- and micro-propagation technique
reliable information about their yearly output is lacking. for mass multiplication
Tendu leaf, bamboo, resins, and other NTFPs are among
the most common. According to Bag et al. (2010), the states Aside from ICFRE and State Forest Department (SFD)
in Central India account for over 70% of all NTFP collection research institutes, commercial sectors, particularly ITC
in India. According to Shivaprasad and Chandrashekar Bhadrachalam, J.K. Paper Mills, Ballarpur Industries Ltd.,
(2014), the gross value of non-timber products and services Mysore Paper Mills, and WIMCO Rudrapur, have played an
derived from India’s tropical deciduous forests ranged from important role in tree development initiatives, particularly in
$219 to $357 per hectare annually. promoting clonal forestry in India. Annual increment of
growth of Indian forests is about 0.8 m3/ha/year, which is
less than the global average of 2.0 m3/ha/year (ICFRE 2016).
1.3.4 Productivity of Forest Despite commendable work carried out on tree improvement
of large number of tree species, unimproved seed of various
The highest timber yield that a forest can produce in a specific tree species is still being used for planting programs. This is
amount of time is a key indicator of site quality, which mostly due to a scarcity of sufficient quantities of high-
determines how productive a forest may be (Katwal et al. quality seeds and vegetative propagules. Refinement/
2003). The quality of the site influences not only the yield of upscaling of protocols/process developed is essential to reap
seeds but also the production of wood and other non-timber the benefit of tree improvement works. Conventional tree
forest products. It is well understood that trees grown in improvement tactics must be combined with high-end molec-
fertile soil blossom more than trees grown in poor soil. ular breeding technologies such as genomic selection and
Productivity for a particular species or forest type depends transgenics. A holistic tree improvement program on priority
on habitat elements such as soil, nutrient condition, rainfall, species should be implemented, without discontinuity, by
and silvicultural management techniques. Forest productivity involving multi-institute/organizations at national level as
can be quantified in terms of mean annual increment (MAI). All India Coordinated Research Programmes (AICRPs).
1 Forest, Forestry, and State of Forests 15

1.4 Conservation of Forests, Wildlife, biodiversity. The following section lists various legislations’
and Biodiversity main features along with how they affect Indian forestry.

The nation boasts an immense range of ecological diversity,

spanning from sea level to the world’s highest mountain 1.4.1 Wildlife Protection Act 1972
ranges; hot and dry conditions in the northwest to cold and
dry conditions in the trans-Himalayan region; tropical wet In order to safeguard the nation’s ecological and environmen-
evergreen forests in North East India and the Western Ghats; tal security, the Indian Government passed this Act in 1972 to
Sundarbans mangroves; and freshwater aquatic to marine preserve wild animals, birds, and plants as well as items
ecosystems (Sharma and Singh 2000). Figure 1.7 illustrates related, auxiliary, or incidental to them. The Act’s primary
the species diversity in India compared to the world. India is goals are (1) to outlaw hunting; (2) to protect and maintain
home to 47,513 plant species, including viruses, bacteria, animal habitats; (3) creation of protected areas (PAs);
algae, fungus, and lichens (Singh and Dash 2014), compris- (4) supervision and oversight of the trade in wildlife parts
ing 10.2% of the world’s flora. Nonetheless, of the 15.66 lakh and commodities; and (5) zoo management.
species worldwide, 101,167 species are known to exist in The Act has been amended many times since then. Some
India, accounting for as much as 6.5% of all animal species of the important amendments are:
(Venkataraman et al. 2020). Ten bio-geographical zones have
been identified by the Wildlife Institute of India based on the • Creation of a Central Zoo Authority 1991
abundance of plants and animals throughout the nation. Bio- • Constitution of National Board of Wildlife and
geography is the study of the distribution of species, Restructuring of State Wildlife Board 2002
organisms, and ecosystems across geographical territory • Creation of National Tiger Conservation Authority
and course of geological time. According to Kumar et al. (NTCA) and Wildlife Crime Control Bureau 2006
(2012), India is ranked tenth globally and fourth in Asia • Creation of Rhino Conservation Authority 2017
among the top 17 mega-diverse nations. The following are
the ten biogeographic zones: (1) Trans-Himalayan, (2) Hima-
layan, (3) Desert, (4) Semi-arid, (5) Western Ghats, 1.4.2 Forest Conservation Act (FCA) 1980
(6) Deccan plateau, (7) Gangetic plain, (8) Northeast,
(9) Coastal, and (10) Islands. There are 27 biogeographic The Government of India adopted this Act to regulate the
provinces that comprise the additional divisions within each conversion of forest land for non-forestry activities such as
zone. Among these ten zones, the northeastern zone may be road and dam building, mining, transmission lines, defense
most abundant in terms of varied groups, species, and indig- objectives, and so on. After reviewing the feasibility, the
enous flora and fauna. Central Government authorizes the project if it is deemed
India has implemented the strict laws and regulations acceptable and imposes specific requirements on the user
needed for the efficient protection of forests, animals, and agencies, such as compensatory afforestation, watershed
treatment, safety zone development, and so on. An equivalent

Fig. 1.7 Diversity of flora and 1800

fauna species in India and
throughout the world 1600
Number of species in '000

1400
1200
1000
800 India
600 World
400
200
0
Flora* Fauna
* plant species including virus, bacteria, algae, fungi and lichens
16 A. Sinha

Fig. 1.8 Average annual 180

diversion of forest land
160
140

Area in '000 ha
120
100
80
60
40
20
0
1951 - 1976 1981 - 2018
Period prior to and aer enactment of FCA, 1980

amount of revenue land or non-forest land, or twice the area (PoWPA) both serve as international declarations of the
of degraded forest land, must be utilized for compensating importance of PAs from national governments. During the
afforestation when a portion of forest land is diverted for CBD Conference of the Parties in 2010 in Japan, the Aichi
non-forestry uses. This property that has been forested is Biodiversity goals were adopted. Aiming to preserve 10% of
designated as Reserved or Protected Forests (RF/PF). Prior coastal and marine regions and at least 17% of terrestrial and
to the implementation of the FCA 1980, the conversion of inland water areas as PAs by 2020 is one of the 20 objectives.
forest land for non-forestry activities was 4.13 m ha during a PAs currently encompass 16.64% of the world’s terrestrial
25-year period (1951–1976), and after implementation it and inland waterways, as well as 7.74% of coastal and ocean
amounted to 1.53 m ha over nearly four decades regions (UNEP-WCMC and IUCN 2020). With 4.85 million
(1981–2018) (eGreenWatch 2020). Following enactment, km2 (24%) of area protected, Latin America and the Carib-
Arunachal Pradesh (0.34 m ha), Madhya Pradesh bean have the most comprehensive coverage at the regional
(0.26 m ha), and Karnataka (0.11 m ha) are the top three level. The Sustainable Development Goals (SDGs) and the
states with the highest areas of forest land diversion. In 2030 Agenda for Sustainable Development were endorsed by
contrast, Lakshadweep, Nagaland, and Pondicherry have no the United Nations in 2015. Aichi Biodiversity Target 11’s
conversion of forest land. Prior to and during the Act, the worldwide protected areas play a significant role in
average yearly diversion of forest area was 165,200 ha over accomplishing SDGs 14 and 15.
25 years and 41,351 ha over 37 years, respectively (Fig. 1.8), Table 1.9 lays out India’s network of 998 PAs, which as of
illustrating how the Act’s enforcement lowered the pace of January 2023 covered just 5.28% of the country’s total land
diversion by up to 75%. area. PAs are divided into four groups: National Park, Wild-
The complete process of tracking plans for the diversion life Sanctuary, Conservation Reserve, and Community
of forest land has been automated. This includes the ability to Reserve. These groups are distinguished by the degree of
submit new proposals online, modify and update proposal protection and utilization of the resources found within each
information, and view the status of proposals at each step of PA. Founded in 1936 to save the Bengal Tiger, which is
the workflow. A web-based application known as currently endangered, Jim Corbett National Park is the first
PARIVESH (Pro Active and Responsive facilitation by Inter- national park in India. Nonetheless, the Wildlife Protection
active and Virtuous Environmental Single-window Hub) has Act of 1972 was amended in 2003, leading to the establish-
been created to facilitate the online submission and tracking ment of Community Reserves and Conservation Reserves. A
of proposals made by proponents seeking clearance from community reserve may be established by the state govern-
district, state, and federal authorities for the environment, ment on any private or community land that is not included in
forest, wildlife, and conservation zones. a National Park, Sanctuary, or Conservation Reserve,
provided that the community or an individual has committed
to protect wildlife and its environment. The state government
1.4.3 Protected Areas and Biosphere Reserves may designate any land it owns as a conservation reserve to
preserve landscapes, seascapes, flora and fauna, and their
Protected areas (PAs) are places where there is little or no habitat after consulting the local communities. This declara-
human habitation or resource exploitation. Article 8 of the tion applies especially to areas bordering national parks and
Convention on Biological Diversity (CBD) and the 2004 sanctuaries and areas connecting protected areas. In addition
adoption of the Program of Work on Protected Areas to allowing local communities to be actively involved in
1 Forest, Forestry, and State of Forests 17

Table 1.9 Number and total area of protected areas in India

Sl. no. Category Number Area (km2) Coverage (%) of country
1 National parks 106 44,403 1.35
2 Wildlife sanctuaries 567 122,565 3.73
3 Conservation reserves 105 5207 0.16
4 Community reserves 220 1455 0.04
Total 998 173,630 5.25
Source: National Wildlife Database, Wildlife Institute of India (January 2023) (wiienvis.nic.in)

planning and conservation, conservation reserves offer a utilizing cutting-edge technologies such as automated segre-
legally permissive environment for the creation of buffer gation of camera trap photographs of species through the use
areas and corridors for animal management. of artificial intelligence and neural network models, as well as
Tiruvidaimarudur Conservation Reserve became operational the electronic collection of primary field data through mobile
in 2005 as the country’s first conservation reserve. phone applications. According to Jhala et al. (2019), the total
In addition to the Pas’ network system that was already in estimated tiger population in India is 2967 (range
place, biosphere reserves (BRs) were first announced in India 2603–3346). The yearly funding allotment for Project Tiger
in 1986 with the goal of providing a broader platform for the used to range from Rs. 300 to 350 crores.
protection of the full spectrum of biodiversity and their eco-
logical bases. It attempts to strike a balance between the 1.4.4.2 Project Elephant (Elephas maximus indicus)
preservation of the natural environment, concomitant cultural This was started in 1991–1992 to safeguard elephants, their
values, and economic and social growth. India has notified habitat, and their corridors; it also looked after the well-being
18 BRs thus far. of elephants kept in captivity and addressed issues of conflict
between humans and animals. Elephants are found in sixteen
states. Its population was estimated to be 29,964 in the latest
1.4.4 Endangered Wildlife Species-Specific census performed in 2017 (PIB 2022). So far 33 Elephant
Conservation Efforts Reserves have been notified (WIIENVIS 2022). Annual allo-
cation of fund for Project Elephant varies from Rs. 30 to 35
India is making special efforts to save and preserve several crores.
species, including vultures, hangul, Ganges dolphin, tiger,
elephant, snow leopard, and Indian (one horn) rhino. A few 1.4.4.3 Snow Leopard (Panthera uncia)
important projects are briefly detailed below. It is found across the majority of Central Asia’s and the
Himalaya’s high altitudes (Jackson 1996). Anon. (2008)
1.4.4.1 Tiger Conservation estimates that the approximate number of snow leopards
The tiger (Panthera tigris) plays a crucial role in maintaining worldwide is 7400, with an estimated 400–700 individuals
and regulating ecological processes as one of the top living in India’s 5 Himalayan states. Given the availability of
predators. To sustain long-term healthy populations, tigers robust density estimates, a revised estimate of the number of
require huge undisturbed stretches of habitat with plenty of snow leopards in India utilizing better technique is probably
prey, thus serving as an umbrella species for the bulk of 516 (range 238–1039) (Bhatnagar et al. 2016).
eco-regions on the Indian subcontinent. The main goal of
“Project Tiger” is to conserve the environment as a whole; in
addition to tigers, all other wild creatures in the project 1.4.5 Are the Conservation Efforts by India
regions must also be multiplied. “Project Tiger” was begun Sufficient?
in 1973, with nine Tiger Reserves (covering approximately
18,278 km2). Among the 13 Tiger Range nations in the Researchers at Yale and Columbia universities in New York
globe, India has the most tigers and their source areas. have found that India is rated the last out of 180 nations in the
Since 2006, the National Tiger Conservation Authority 2022 Environmental Performance Index (EPI) (https://epi.
(NTCA) has been in place to improve tiger conservation. It yale.edu/epi-results/2022/component/epi). The EPI report,
now encompasses 53 Tiger Reserves, or over 75,797 sq km, which ranks 180 nations on 40 performance indicators across
representing roughly 2.31% of India’s total land area (NTCA 11 issue areas spanning environmental health and ecosystem
2022). The national tiger assessment conducted in India is the vitality, has now emerged as the leading metrics framework
world’s largest study of biodiversity. Since 2006, tiger num- for international environmental policy analysis. Over the past
bers in India have been monitored every 4 years. The fourth 10 years, India has been struggling to perform effectively on
cycle of assessment was conducted in 2018 and 2019, a number of environmental challenges; as a result, it has only
18 A. Sinha

received the lowest EPI score of 18.90. India ranks 179th in natural resources, and lower greenhouse gas (GHG)
the world for habitat and biodiversity, mostly due to its emissions if it hopes to rank among the top-scoring nations.
inability to fully use the conservation potential of its
protected areas, particularly with regard to maritime habitats.
The fact that India ranks 165th in the world for reducing 1.5 Disturbance
climate change may be the most significant. Resilient forests
are necessary to guarantee the sustainability of REDD-Plus Numerous disruptions can negatively impact a forest’s health
(resolution to reduce emissions from deforestation and forest and vitality as well as its capacity to offer a complete spec-
degradation) initiatives since climate change is a continuous trum of commodities and ecosystem services. Disturbances
phenomenon that directly affects the existence and health of alter the structure, function, and composition of forests. Abi-
species and ecosystems. otic phenomena like fires, floods, ice storms, and destructive
wind events are examples of natural disturbances, as are
1.4.5.1 REDD-Plus biotic events like bug outbreaks and invading viruses. Here
The resolution to reduce emissions from deforestation and we address only two disruptions.
forest degradation (REDD) in poor countries was approved
by the Conference of the Parties (COP) to the United Nations
Framework Convention on Climate Change (UNFCCC) at its 1.5.1 Invasive Species
13th session in Bali in December 2007. REDD-Plus
activities, which include lowering emissions from deforesta- There is rising concern across the world about the possible
tion and forest degradation, conserving forest carbon stocks, implications of invasive species on native species, animal
managing forests sustainably, and increasing forest carbon habitats, and services provided by ecosystems. However,
stocks, are ways that developing country Parties can contrib- there has not been much focus on invasive plant species in
ute to greenhouse gas (GHG) mitigation efforts in the forest Indian Protected Areas. Twenty-four plant species
sector. This decision was made by the UNFCCC COP during (Table 1.10) are reported to appear in the PAs of India
its 16th session. For REDD-Plus to be implemented, the (Hiremath and Sundaram 2013), based on the list of 100 inva-
following four essential components must be created: sive species worldwide (Lowe et al. 2000). These are a subset
of the 225 foreign plant species that Khuroo et al. (2012)
• National Strategy or Action Plan identified as invasive in India. An additional 134 species
• Forest Reference Level/Forest Reference Emission Level were identified by them as naturalized, although they still
• Safeguards Information System had the potential to spread quickly.
• National Forest Monitoring System Like other parts of the world, invading species have found
their way to India through a number of channels. The major-
Meeting the objectives set forth in the 2015 Paris Climate ity of foreign plant species that are known to be invasive in
Change Agreement requires continuous reductions in India’s PAs were initially brought there as garden
emissions of all greenhouse gases, and the 2022 EPI indicates ornamentals. According to Hiremath and Sundaram (2013),
that just two nations (Denmark and the United Kingdom) are deliberate introduction of foreign species was also done to
decarbonizing swiftly enough to reach these climate change fulfill fuel-wood requirements, stop the spread of the desert,
targets. Policies and programs may be designed to address and cultivate for commercial purposes.
poverty, biodiversity loss, and climate change all at the same India still lacks particular laws to control and screen the
time. India must demonstrate enduring dedication and well- import of potentially invasive species, despite the increased
designed initiatives to safeguard public health, preserve global awareness of alien species invasions. A coordinated
study initiative on “Invasive alien plants in Himalayan states:

Table 1.10 Invasive species found in protected areas of India

Sl. no. Species Sl. no. Species Sl. no. Species
1 Acacia mearnsii 9 Cytisus scoparius 17 Mikania micrantha
2 Ageratina spp. 10 Hyptis suaveolens 18 Mimosa invisa
3 Ageratum conyzoides 11 Imperata cylindrica 19 Opuntia stricta
4 Ageratum houstonianum 12 Ipomoea carnea 20 Parthenium hysterophorus
5 Arundo donax 13 Kappaphycus alvarezii 21 Polygonum polystachyum
6 Chromolaena odorata 14 Lantana camara 22 Prosopis juliflora
7 Clidemia hirta 15 Leucaena leucocephala 23 Sphagneticola trilobata
8 Coffea sp. 16 Merremia peltata 24 Ulex europaeus
1 Forest, Forestry, and State of Forests 19

status, ecological impact and management,” encompassing recreation, education, and the preservation of religious and
all 12 hill states of the Indian Himalayas, was launched by the cultural institutions.
MoEFCC in 2017 after realizing the gravity of the problem. India’s forests have been progressively disappearing due
to accelerated urbanization and the necessity to build homes
and workplaces for the growing population. Among the
1.5.2 Forest Fire issues include ongoing deforestation and degradation, rising
demand for forest products, and legislative and policy
Forest fires are not abnormal. Low-intensity fires prevent barriers to accomplishing the objectives of forest policies.
dead trees, senescent leaves and twigs, tree needles, dead Therefore, it is necessary to harmonize the numerous contra-
grass, and dense undergrowth from naturally accumulating dictory policy announcements. Communities that depend on
on the forest floor each year. Fire has therefore influenced the forests must also show a great deal of commitment and
distribution of species and the patterns of flora in the woods. collaboration. Collaboration and resource sharing across aca-
Not every forest experiences fire in the same way. However, demic and research institutions, communities,
depending on the plant type and climate, the same fire that is non-governmental organizations, and other government
good for one ecosystem might be terrible for another. Tropi- agencies are essential.
cal rain forests are least impacted by fires because they are
engulfed in fog and constantly soaked by mists and rainfall. Lessons Learnt
Because of the considerable precipitation, moisture, and very 1. Significance of forests from an ethical, ecological, eco-
high humidity in temperate deciduous forests, fire occurs nomic, and social perspective
very seldom and causes minimal damage. Whereas, conifer- 2. Classification of forests in India
ous forests and evergreen forests with broad leaves in dry 3. Introduction to major branches of forestry science
regions are often more prone to fire. 4. State of forests in India with respect to global scenario
In India, forest fires are a major source of damage and 5. Production and productivity trend of forest sector in India
forest loss (Satendra and Kaushik 2014). The frequency of 6. Legislative frameworks for conservation of flora and
forest fires and the resulting damage they cause are rising fauna in Indian forests
daily in tandem with the growth in population. The forest 7. Critical impediments to Indian forest management
ecology is being affected by the fire in a number of ways. In
addition to directly harming the forest trees, the fire has a Key Questions
negative impact on soil erosion, wildlife, microclimate, and 1. Describe the major roles that Indian forests serve to the
forest regeneration. Approximately 2.56 lakh hectares of land country in achieving the SDGs.
in India have been affected by forest fires in 2019. Under the 2. What is the significance of forestry to be included as a
Forest Fires Prevention and Management Scheme, states subject in the curriculum of basic education?
earned around Rs. 45–50 billion per year from 3. Elaborate the trends of Indian forests in light of forest
2017 to 2019 (PTI 2020). cover, plantation, production, and productivity. What
measures should be taken to meet the target of 33% forest
cover?
1.6 Conclusion 4. Enumerate the major conservation approaches and the
challenges faced in Indian forestry sector.
With 8.1 billion people on the earth and a total forest area of 5. Describe how forest fires and invasive species are posing
4.06 billion hectares, there are 0.50 ha of forest for every great threats to the native biodiversity in Indian forests.
person. Nonetheless, there is just 0.05 ha of usable forest land
per person in India as of now. Deforestation has resulted in
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and prey in India 2018. Summary report. National Tiger Conserva- 20villages. Accessed 19 Dec 2023
tion Authority, Government of India, New Delhi & Wildlife Institute PTI (2020) Over 2.56 lakh hectare land in India affected by forest fire in
of India, Dehradun 2019. The Week, on September 24, 2020. https://www.theweek.in/
Joshi AK, Pant P, Kumar P, Giriraj A, Joshi PK (2010) National forest news/sci-tech/2020/09/24/Over-2-56-lakh-hectare-land-in-India-
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Kanwal KS (2014) Non timber forest products (NTFP) as a tool for Institute of Disaster Management, Ministry of Home Affairs, New
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Discussion paper. CIFOR, Bogor ElephantReserves_8226.aspx. Accessed 24 Jan 2023
 Forest Policy and Forest Acts
2
Asim Kumar Mandal and P. Bhattacharya

Abstract classified and set aside for different purposes including

Forests are most invaluable natural resources of any coun- grazing, supply of forest produce, and religious needs.
try. Indian forests are rich in floral and faunal diversity. In the early days of British settlement, they considered
Indian forests suffered most at the hands of foreign rulers forests as the main hindrance to the expansion of agriculture.
who pursued an exploitative approach to the forests. The ecological and environmental impacts of forests were
Alarmed by the rapid deterioration of forests that never given due to importance by the British. Most of the
threatened timber supply, the British formulated the first requirements of the government and the people were met
forest policy in 1894 to improve the condition of forests. from the forests without any restrictions. The two most
Post-independence, India enacted two forest policies, one important and versatile timber species of Indian forest are
in 1952 and the other in 1988. Both the policies set target Tectona grandis (teak) and Shorea robusta (sal). The British
to have 33% forest cover. Many schemes including special exploited the best forest areas of both the species for making
initiatives were taken up to achieve the set target but there railway sleeper for expansion of railway network and ship
is still long way to go. This chapter discusses the above building for the Royal Navy. At some point of time the
aspects and other important issues concerning Indian British Empire transferred large parts of forest areas to
forests. landlords and large farmers of Bengal and Punjab. In the
central provinces also most of the forest areas were sold out
Keywords barring a few forest tracts, which were kept for meeting the
requirements of public work. Shortage of forest products for
Forest policy · Forest Act · Afforestation · Forest conser- railway and Royal Navy projects as well as meeting local
vation · Ecological balance requirements became acute.
Realizing the overexploitation of Indian forests, the Brit-
ish in 1864 took the first step toward reversing this trend. The
2.1 Introduction British decided in favor of Sir Dietrich Brandis, a forester
with prior experience of managing forests in Pegu, Myanmar,
Human settlement preceded forest clearance, a tradition that to manage forests in India as the IGF (Inspector General of
is still continuing. Whenever there is requirement for addi- Forests). The Pegu forests supplied teak for about 100 years
tional land for expansion of agriculture, road–rail network but suffered setback due to overexploitation. As IGF, Brandis
development, mining, etc., it is forest that is cleared. There- suggested the British government to manage and administer
fore, the forest remains vulnerable forever. Historically, the forests scientifically and technically. It was Brandis who laid
Indian forest suffered in the hands of native and foreign rulers the foundation of forestry administration in the country.
except during the period of Maurya kings who took special Successful implementation of forestry organization and
interest in protecting forests and wildlife. The forest was administration led to many changes, including initiation of
social forestry, joint forest management (JFM), people’s need
for forest-based products, awareness about forests and wild-
A. K. Mandal (✉) life conservation, etc. All these benefitted local people.
Ramakrishna Mission Vivekananda Educational and Research Institute, To reverse the trend of overexploitation, a number of
Ranchi, Jharkhand, India
initiatives were taken up including providing protection to a
P. Bhattacharya few selected species, introduction of improved methods of
Guru Govind Singh Indraprastha University, New Delhi, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 23
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_2
24 A. K. Mandal and P. Bhattacharya

felling and extraction of trees, and establishment of timber government should exercise and claim proprietary rights
supply syndicate in 1796 in Malabar. Unfortunately, the over all disputed private forests, shifting cultivation should
syndicate did not last long and none of the above methods be banned in the hills, and strict conservation measures should
could improve the condition of forests. The commission put be put in place. Unfortunately, the government did not pay
restriction on the felling of teak trees having growth <21 much attention to the above suggestions and the forest con-
inches. In the meantime, there was shortage of oak in servancy did not flourish to discharge effective function.
England for the Royal Navy. So the Court of Directors in Taking clue from the report submitted by McClelland in
1805 decided to seek clarification to what extent teak can be 1854 in connection with the teak forests at Pegu, Rangoon,
supplied to the Royal Navy. A forest committee was set up the initial guidelines prepared took the form of Forest Policy
that submitted its report with the following suggestions: 1855. Brandis started enumeration of forest trees and
introduced a system of preparing a management plan, popu-
1. The forests near the roads and towns had been severely larly known as forest working plan. In addition, Brandis
exploited. introduced a system of forest improvement and protection.
2. The capacity of forests to supply exploitable timber was He involved people to plant teak under shifting cultivation
overemphasized. and made a beginning of artificial regeneration.
3. Providing protection to forests would result in rehabilita- Soon a beginning was made to establish formal forest
tion of degraded forests. department in India, and in various provinces, forest
4. Roads may be constructed to exploit forests at interior departments were established between 1847 and 1868.
areas. Established forest departments were placed under a Conser-
vator. But with the increase in work load, departments were
Following the above, a special officer having fairly good divided into “circles” and each circle was placed under a
knowledge of the local people and their language was Conservator.
appointed. The main aim was to ensure protection and appli- Shortage of trained foresters was felt in the department.
cation of improved production techniques for teak and final So, people with interest to work in the forest department were
product transferred to the East India Company. The Com- invited. Many people joined and many proved to be fruitful to
pany appointed Captain Watson, a police officer, to look after the department and did outstanding work.
the administration of Madras forest conservancy. He success- In another development, Lord Dalhousie, Governor Gen-
fully did away with private rights in the forest and established eral of India, issued a memorandum in 1855. This memoran-
timber monopoly in the Malabar region. This resulted in dum was based on the report of McClelland who suggested
regular supply of timber for ship building. But due to grow- imposition of restriction to check exploitation of forests by
ing discontent and anger, among the traders, the Governor of private parties. With this Charter of Indian Forestry, other
Madras abolished the post of Conservator in 1823. The policy developments followed at different periods of time.
landlords got back their forests but unrestricted harvesting Each policy was framed to take care of certain aspects of
again deteriorated the general condition of the forest in the forestry and environmental issues important at that time.
absence of any effort toward their regeneration. In a short
period of time when the supply of good-quality timbers
declined, the Royal Navy suggested reopening of conserva- 2.2 Forest Policy and Forest Acts
torship. The Madras government reviewing the situation in
1838 gave the responsibility of teak to a revenue officer and Forest and forest ecosystems are most vital aspects of any
not to an independent authority as done earlier. Following nation. Forest has very high commercial value as well as it
this, the Court of Directors in 1842 took a novel decision and improves quality of life. So even the British thought of
suggested to take up teak plantation for regular supply of teak having a forest policy for maintaining healthy forests. A
timbers. forest policy consists of laws and regulations and basically
The first successful teak plantation was raised by the then includes general guidelines for the government and the peo-
Collector of Malabar, Conoly, in 1842. He first set up a ple. It gives direction to efficiently protect and manage
workable local forest department and framed simple rules forests. Forest policies help in maintaining healthy forest
for plantation and management. The teak plantation set up ecosystem needed for improving quality of life. Acts means
by him in Nilambur, Kerala, is still retained and is known as behaving in the manner specified or the process of doing
Conoly’s plantation. right.
Following this development, the government of Bombay To get a brief but clear idea how the forest policy devel-
and the government of Madras Presidency in 1847 appointed oped in India, an attempt has been made at the following
Gibson and Cleghorn as the Conservator of Forest, respec- paragraphs to discuss management intervention and policy
tively. Both Gibson and Cleghorn suggested that the development.
2 Forest Policy and Forest Acts 25

2.2.1 Forest Policy Prior to British Rule 1894) were promulgated. The Forest Act 1927 is still in
vogue.
Forests were considered as common man’s property. There
were no rules in writing. Interpersonal faith was the basis of 2.2.2.1 Forest Act, 1865
management and sharing of forest resources. Kings, This forest act passed and implemented in 1865 included two
emperors, and even landlords followed these unwritten categories of forests, reserved and protective forests, which
principles religiously. Sometimes they might have converted the forest department under British raj managed and
forest lands for other purposes including as game reserves, protected for extraction of timbers. The extraction was
but they never put any restrictions to common people to use mainly from reserved forests. Mass clearance of forests
forests and forest resources. Pretzsch (2003) observed that started with the implementation of this Act. The local people
symbolic and religious functions of trees complemented the used to collect materials for their own use. There was exis-
institutional framework. tence of private forests also. These were under individual
During the period of Mauryan Empire, forest was classi- control and were not controlled by this Act. The British
fied on the basis of need and use by the people: reserve forest imposed higher tax on the landlords who cleared forests for
for the state and general forests for public use (Dwivedi expansion of agriculture. Gross violation of traditional rights
1980). It was the responsibility of the Panchayat or the to people living in forest fringe areas started around this time
local community-level institution to maintain all natural by depriving them of their livelihoods.
resources at village level. A Panchayat is an administrative
unit at village level. It is constituted of five senior persons 2.2.2.2 Forest Act, 1878
who look after the general village affairs. Guha (1989) noted Unlike the 1865 Forest Act, the 1878 Forest Act classified
that the important duties of Panchayat are settlement of three types of forest, namely reserved, protected, and village
conflicts among villagers for water and land. forests. The village forest was not under the control of British
Borgoyary et al. (2005) gave a detailed account of forest government. Biswas (2002) rightly pointed out that British
land during the Mughal rule. They observed that the Mughal understood the intimate relation of village people with the
Empire did not impose any tax on forest land. State had direct nearby forests. Entry to other two kinds of forests was banned
claim on hunting reserves. For local people, hunting was including grazing. Provisions were kept for imposition of fine
banned but they were allowed to gather fallen tree branches, and imprisonment on the offenders. The British banned col-
leaves, etc. for own use. Borgoyary et al. (2005) further lection of forest produce by the local people. This led to
observed that outside Mughal jurisdiction, local people used conflicts between local people and the personnel managing
to manage local resources using local knowledge. forest affairs. The people resorted to both violent and
non-violent means with limited success. Due to such move-
ment the British administration decided to go for community-
2.2.2 Pre-independence Forest Policy based management of forest, viz. Van Panchayats in Uttar
Pradesh and Forest Cooperatives in Himachal Pradesh (Guha
Revenue generation was the main objective of the British 1983).
rulers. They were interested in species like teak, sal, and
deodar, which produced best-quality timber for the Royal 2.2.2.3 Forest Policy, 1894
Navy, carriages, and sleepers for railway track. The British The Forest Policy 1894 was prepared after studying the report
claimed full control of forests producing the above species in submitted by Dr. Voelcar. This policy classified Indian
abundance. The forests with mixed species and rich in biodi- forests into four types: (1) forests that require protection,
versity were treated as unproductive and cleared of vegeta- (2) timber forests for revenue generation, (3) minor forests
tion for expansion of agriculture. So, the forest policies were of insignificant market value, and (4) forest lands with pas-
aimed, as rightly pointed out by Gadgil and Guha (1992), to ture value (Forest Policy 1894). The last two categories of
have total control on forest resources. The British started forests sustained the livelihood of local people.
destroying the forests with the implementation of the Forest The British did not like the concept of shifting cultivation
Act, 1865. Forest resource exploitation and mass destruction or jhum cultivation. Jhum cultivation was widely practiced in
affected agriculture, hunter gatherer activities, and ecological the northeastern part of India as well as by other tribal groups
state of forests. So, negative economic, social, and ecological in other parts of India. In jhum cultivation an area inside the
effects were very prominent during the British rule (Sinha forest is burnt and cleared of debris for cultivation of crops till
2016). it produces good crops or remains productive. The area is
During pre-independence period, three forest acts, namely abandoned after shifting to another plot of land and in the
Forest Acts 1865, 1878, and 1927 and a policy (Forest Policy process the previous land regenerates. The main reason forest
26 A. K. Mandal and P. Bhattacharya

officials acted against jhum cultivation is not because of and 2006. Forest Rights Act 2006 will not be discussed here
effect of burning on forest ecology and environment but as a separate chapter in this book will exclusively discuss
because of loss of revenue from sale of timber trees. Though this Act.
the British took severe steps against jhum cultivation, it could
not be stopped totally. 2.2.3.1 National Forest Policy, 1952
Kant et al. (1991) in his study observed that local people Following independence, dire need was felt to raise revenue.
used to meet their needs for fuelwood, small timber, and/or Forest was considered an important source for revenue gen-
fodder from minor forests. Apart from the tribal groups, the eration. It was stated in the policy that villagers will not have
common people involved in agriculture also suffered as there any right to collect resources from the forest (Mishra 2002).
was restriction on collection of a number of resources includ- Singh and Khare (1993) and Kumar (2000) critically
ing fuel, fodder, leaves, and small timbers. Common people commented that the local people must be satisfied with mini-
continued to suffer at the hands of British as many timber and mum forest produce. So, it is very clear that though the right
non-timber products were made under the full control of the to minor forest products was granted in the colonial forest
government. Even for grazing, a fee was levied. Many areas policy, the 1952 forest policy totally omitted this right.
were clear felled and replanted with single species. This led As has been done in earlier forest Acts and policies, the
to loss in biodiversity and important forest products needed 1952 policy classified forest into four categories, of which
by the local people. two are national forests and protection forests. The 1952
Apart from people of agricultural classes, the Indian arti- policy prescribed for the first time to have 33% forest cover
san industry also suffered at the hands of colonial manage- of the geographical area in the plain and 60% in the hill areas.
ment. The forest managers imposed restrictions on the raw The policy enlisted a number of vital national needs. On the
material from forest needed by the artisan industry. Bamboo issue of relation between forestry and agriculture, the 1952
was replaced by timber species. Tasar silk industry also forest policy made it very clear that forestry has no inherent
suffered because of duties levied on them for collection of right to best lands, which should be diverted for crop cultiva-
cocoons from forest. The other industries like charcoal-based tion (GOI 1952, para 8).
iron manufacturing also suffered due to very high tax and The policy did not suggest any change for the control of
irregular supply of charcoal. So, it was clear from the above forests by the state. There was increase in forest area due to
that the 1894 forest policy benefitted the British by earning nationalization of forests under the control of landlords and in
revenue through timber sale. princely states. The imperial forest department became the
state forest department managed by Indian Forest Service.
2.2.2.4 Forest Act, 1927 The National Commission on Agriculture prescribed a
This Act went through several changes since its drafting in number of measures to increase productivity of forests by
1865 and was finally accepted in 1927. The Act provided for taking up large-scale plantation of commercially important
stringent measures to take control of forests by the govern- species and use of improved planting materials. Production
ment (Samra et al. 2005). forestry gained momentum in the 1960s with the establish-
This forest Act was very stringent and imposed more ment of 16 Forest Development Corporations (FDC) in dif-
restrictions on the rights of people. It provided for taking ferent states, which undertook reforestation work in normally
control of private forests. Forest department was given total harvested areas. Enough funds were provided to these
rights over forest produce and no rights given to others. This Corporations.
Act entrusted enormous power to forest officers in decision- The forest departments converted forests with mixed spe-
making and taking any action for the interest of Indian forests. cies into forest with species of high value. This situation led
There were prohibitions to the entry in the forest for the to breakdown of ecological balance. The 1952 forest policy
purpose of collecting minor products, fishing, etc. Forest did not produce expected result due to consideration of the
officials had the power to arrest any offenders. The Act suc- fact that forest is a state subject (GOI 1952).
cessfully suppressed the rights of people dependent on forests
for their livelihood. The Forest Act, 1927 faithfully served the 2.2.3.2 National Forest Policy, 1988
interest of the imperial government. This Act is still in vogue. The National Forest Policy, 1988 is presently in force. This
policy is a significant departure in respect of concept and
content from all earlier policies.
2.2.3 Post-independence Forest Policies The forest department was a part of Agriculture Ministry
and Acts till 1985. Later it came under the jurisdiction of Ministry of
Environment and Forests. This prompted the ministry to
Post-independence government of India enacted two forest promulgate the National Forest Policy, 1988. A radicle
policies, in 1952 and 1988, and three Acts, in 1972, 1980, change in the planning process over the earlier one was
2 Forest Policy and Forest Acts 27

evident in this policy. This policy and a circular opened the areas is assessed. Apart from tree component, there are a
scope for participation by local communities in forestry that number of other non-tree natural ecosystems including
led to JFM (joint forest management) in 1990. It enabled the grasslands, deserts, and riparian. Forest Survey of India in
establishment of village institutions to look after the forest their biannual survey now includes all the above components
resources from the designated forest areas. It was observed in assessing green cover of the country.
that by June 1991 as many as 25 states moved resolutions that The national goal of achieving 33% forest cover is some-
enabled local people in managing forests jointly with the times difficult to comprehend when it is treated as an absolute
forest department. figure. A wiser approach would be to look at this from the
Collection of minor forest produce, small timbers, fuel point of view of density and quality of forests, including
wood, etc. is an important source of livelihood for people regenerating capacity.
living in the vicinity of forest areas. Their rights were
recognized. Preserving biodiversity and up-keeping the natu- 2.2.3.3 Forest Policy, 2018 (Draft)
ral resources were given due importance. The principles and guidelines as laid down in the 1988 forest
That the country should have 33% forest cover of the total policy govern Indian forests. An update is offing for more
land mass was first suggested in the 1952 forest policy. The than five years now but it is yet to be finalized. The draft
same suggestion was made again in the 1988 forest policy. policy proposed safeguarding livelihood security of people
The policy assumed that forest to this extent will have posi- and ecological balance through balanced management of
tive effects on controlling soil erosion, degradation of land forests. The draft policy also emphasized mitigation of cli-
mass, stabilizing already fragile ecosystem, and bringing mate change effects.
about environmental stability. The 1988 forest policy The draft policy is withheld due to heavy criticism from all
suggested to take up large-scale afforestation in forest areas fronts on the following grounds: (1) Clear-cut policies on
and in degraded unproductive lands outside forest areas. sustainable management of forests are missing; (2) No clear
Enhancing production and productivity both in forest areas definition of forests accepted nationally has been provided;
and degraded areas was another aim of the policy to achieve. (3) No policy has been prescribed on inviolate forests (forests
The policy laid emphasis on good forestry education, that are to be left untouched); and (4) Suggested to involve
research and extension for development of suitable technol- private players. On the issues of community participation,
ogy, and their transfer to the field. JFM, and Forest Rights Act 2006, the draft policy has moved
As per the latest forest assessment report (ISFR 2021), the backward. The draft policy is under active consultation pro-
country has 23.6% forest cover. ISFR (2021) also reported cess for suitable changes by the government and will be
80,957 sq km of forest and tree cover in the country. Analysis placed for consideration by the Parliament.
done by Forest Survey of India (ISFR 2021) indicates that
only six states have more than 33% forest area. Whereas 2.2.3.4 Wildlife (Protection) Act, 1972
another seven states will have 33% forest cover in near Realization of the fact that game hunting reduced the wildlife
future. As many as a dozen states probably will not make population of India led to the promulgation of an Act known
the target individually. as the Wildlife (Protection) Act, 1972. Main objective of the
To achieve the national target of forest cover, the Govern- Act is to ensure protection of wild animals. The major
ment of India launched a National Forestry Action provisions of this Act are providing protection to wildlife
Programme for 20 years with provisions for capacity build- and effective management of their habitats; protected area
ing, technology transfer, and adequate financial outlay establishment; prohibition of hunting; control of illegal trade
(MoEF 2007). of animals, their parts, and products; establishment of zoos
A number of initiatives to increase the green cover of the and their management; and restricted timber extraction.
country were taken up in different times. A few of them are Among others, Central Zoo Authority, Wildlife Crime
social forestry programs, agroforestry programs, planting Control Bureau, National Tiger Conservation Authority,
trees outside forests, and setting up of a number of agencies etc. were established. The other important establishments
including National Afforestation and Ecodevelopment Board are conservation reserves, tiger reserves, national parks,
(NAEB) and National Wasteland Development Board sanctuaries, etc. The Act annexed four schedules of animals
(NWDB) to oversee forestry plantation activities. These depending on their importance. The Act is still in vogue with
schemes have been effective in increasing forest and tree wide coverage for overseeing the welfare of wildlife.
cover. Excessive firewood collection and grazing are major
causes of forest degradation. Joint forest management seems 2.2.3.5 Forest Conservation Act, 1980
to be an effective tool in checking forest degradation. Rampant use of forest land for purposes other than forestry
In the process of assessing the forest cover of the country, like construction of road, rail networks, mining, transmission
generally the tree component in the forest and outside forest lines, and other infrastructure projects became a matter of
28 A. K. Mandal and P. Bhattacharya

concern. So, after careful consideration, the Government of forests, wildlife, and the ecology. Forest laws were found to
India enacted and promulgated the Forest (Conservation) be more stringent in the Independent India (than British
Act, 1980 for effecting control of diversion. Main Provisions India) as the various rights and benefits enjoyed by the
of the Act are the following: resource-poor people living in the forest fringe areas were
withdrawn considerably. The 1988 forest policy brought
(a) Imposition of restrictions for non-forest purpose some kind of relief and their role in joint management of
(b) Restriction on leasing out of forest land to industries and forests was recognized. Though forest policies of Indepen-
individuals dent India had many progressive ideas, they were not able to
(c) Restriction on the clear felling of trees achieve the magical target of one-third of forest cover of its
(d) Prior approval of the central government for diversion geographical area. At present, this remains to be illusive.
Forests are most valuable and indispensable resources not
On examination of a proposal for diversion of forest land only to human beings but also for all other living organisms.
if found suitable, the central government stipulates conditions Maintaining a right ecological balance is therefore important
like compensatory afforestation, safety zone creation, and for the future generations and for the continuity of forests
catchment area treatment for the user agencies. Effect of as well.
this Act is spectacular in respect of diversion of forest land.
About 4.13 m ha of forest areas were diverted during the Lessons Learnt
period 1951–1976 compared to only about 1.53 m ha for the • Negative social and ecological effects on Indian forests
period 1981–2018 (e-Green Watch 2020). No diversion of were marked during the colonial period.
forest land has been recorded in Nagaland, Puducherry, and • Implementation of the 1865 forest Act catalyzed mass
Lakshadweep. forest clearance.
The Forest Conservation Act, 1980 played an important • Forest policies of Government of India came out in 1952
role in reducing diversion of forest areas significantly. But the and 1988.
Parliament passed the Forest (Conservation) Amend- • The role of local people living in forest fringes in manage-
ment Act, in 2023. One of the reasons given for the amended ment of forest resources was recognized.
Act was to achieve net zero emission by 2070. However, • Maintaining ecological balance is must for sustainability
other contents of the proposal were far from the original of healthy ecosystem for the future generation.
objective of reducing diversion of forest lands.
The amendment is widely feared to reverse the gains made Key Questions
in conservation over the past 40 years as it exempts large 1. What are the forest policies and forest Acts promulgated
forest areas from the purview of the original 1980 Act. The during British India? List out five salient features of the
amendment emphasized that forests falling within 100 km of Forest Act, 1865.
international border will not require forest clearance for 2. Critically compare different provisions of the forest
implementation of key projects like hydro-power projects, policies of 1952 and 1988.
and highways. India has about 15,000 km of international 3. List out the objectives as outlined in the 1988 forest policy
border. Such a vast area houses a number of important of India.
ecosystems including rain forests, wetlands, deserts, grass- 4. Forest Conservation Act, 1980 effectively reduced diver-
land, and many wildlife, which remained virgin till date but sion of forest areas for other uses. Discuss.
will now be vulnerable. 5. Describe the conditions of forests during British India.
The justification on strategic grounds is appreciable. But
even today a large mass of resource-poor people depends on
forest resources for their survival. Time will reveal the effect References
of this landmark amendment on the lives of forest-dependent
people and preservation of forest, wildlife, and natural heri- Biswas A (2002) Forests and people of India: special notes on West
Bengal. In: Basu S (ed) Changing environmental scenario of Indian
tage for the posterity. sub-continent. ACB Publications, Kolkata
Borgoyary M, Saigal S, Peters N (2005) Participatory forest manage-
ment in India: a review of policies and implementation. Working
2.3 Conclusion paper no. 1, Overseas Development Group, University of East
Anglia, Norwich, UK
Dwivedi AP (1980) Forestry in India. Jugal Kishore and Co., New Delhi
India is endowed with astonishing natural generosity. Indian e Green Watch (2020) FCA projects. E Green Watch. https://
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The colonialists did everything to extract forest resources for Gadgil M, Guha R (1992) This fissured land: an ecological history of
India. Oxford University Press, New Delhi
expansion of royal interest. This severely affected the Indian
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Government of India (1952) National forest policy of (NFP) 1952, New MoEF (2007) Interim country report – India for United Nations Forum
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analysis. Economic and Political Weekly, 29 October 1882–1896 Pretzsch J (2003) Forest related rural livelihood strategies in national
Guha R (1989) The unquiet woods. Oxford University Press, New Delhi and global development. Paper presented at the international confer-
ISFR (2021) India State of Forest Report 2021. Forest Survey of India, ence on rural livelihoods, forests and biodiversity, 19–23 May, 2003,
Ministry of Environment, Forests and Climate Change, Dehradun Bonn, Germany
Kant S, Singh NM, Singh KK (1991) Community based forest manage- Samra JS et al (2005) Water harvesting and recycling – Indian
ment system: case studies from Orissa. ISO/Swedforest Indian Insti- experiences. Central Soil and Water Conservation Research Centre,
tute of Forest Management and SIDA, Bhopal Dehradun
Kumar N (June 2000) All is not green with JFM in India. Forest, Trees Singh S, Khare A (1993) People’s participation in forest management.
and People, No. 42 Commonw For Rev 72:279–283
Mishra T (2002) Forests of Bengal. Paschimbanga Vigyan Mancha, Sinha S (2016) Forests in India: a review of colonial ordeal. Int J Res
Kolkata Humanit Soc Stud 3:40–43
 Forests, Tribals and Forest Rights Act
3
Sanjay Upadhyay

Abstract Forest and Panchayati Raj Departments are being included

This chapter discusses one of the most cardinal legal to ensure that the said process is seamless and complete.
instruments that has been enacted post-independence on The chapter also discusses the role of the nodal agency,
the rights of the forest-dwelling communities, which had namely the Ministry of Tribal Affairs, and its interaction
not been recognised and vested hitherto, namely the with the Ministry of Environment, Forests and Climate
Scheduled Tribes and Other Traditional Forest Dwellers Change.
(Recognition of Forest Rights) Act, 2006. The Act also has its set of challenges in its implemen-
The chapter introduces the basic framework and tation and understanding, which is the next focus of the
provides an eagle’s eye view of the legislation. It then chapter. The chapter concludes with a brief summary of
focusses on the often-misunderstood concept of who is the the lessons learnt and leaves some unanswered questions
beneficiary under the Act and explains who is a ‘Forest to ponder over.
Dwelling Scheduled Tribe’ (FDST) and who is an ‘Other
Traditional Forest Dweller’ (OTFD). After establishing Keywords
the beneficiaries under the Act, the chapter attempts to FDST · OTFD · FRA · PESA · Forest land
throw light on the most important aspect, that is, the rights
that are being recognised and vested under the legislation,
namely individual, community and community forest 3.1 Introduction
resource (CFR) rights.
Any legislation of such a nature that attempts to undo The connect between Forest Governance and Scheduled Area
historical injustice will be hollow if it is not backed by a Governance is one of the significant aspects of Natural
robust process that ensures the recognition and vesting of Resource Governance Framework in India. The enactment
such rights, which is the next focus of the chapter. The of Provisions of Panchayats (Extension to the Scheduled
section also dwells on novel concepts such as Critical Areas) Act, 1996 (PESA) and the Scheduled Tribes and
Wildlife Habitats, as well as the empowered duties of the Other Traditional Forest Dwellers (Recognition of Forest
FDSTs and OTFDs, which highlight the fact that the Rights) Act, 2006 (hereinafter Forest Rights Act, 2006 or
legislation also has a conservation element embedded in it. FRA) were some of the landmark developments in
The next significant aspect of the chapter is the strengthening this connect. Particularly, the Forest Rights
authorities that have been established under the legisla- Act of 2006 has heralded a new chapter in forest governance
tion, and it is seen that it is for the first time the unit of by recognising and securing traditional rights of the forest-
governance, i.e. the Gram Sabha, has been given a statu- dependent communities that were hitherto ignored, restricted
tory authority status. Further, a four-pronged approach is or prohibited during the process of reservation.
being implemented for ensuring the recognition and vest- Tribal history is often a history of their changing relation-
ing of forest rights, wherein representatives from all ship with the nature and forest. The traditional practices for
important line departments namely the Revenue, Tribal, conservation and sustainable management of natural
resources of indigenous tribes of Indian States highlight the
predominant dependence of tribals on forests for sustenance.
S. Upadhyay (✉)
Supreme Court of India, New Delhi, India The Constitution of India made the first comprehensive
e-mail: su@chambersofsanjayupadhyay.com attempt at securing the uniqueness of the tribal cultures in

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 31
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_3
32 S. Upadhyay

India through ‘Scheduled Areas’, thanks to the efforts of dignified livelihood source. The FRA provides in detail a
certain tribal advocates such as Shri Jaipal Singh, framework of rights and responsibilities, authorities and
Yudhishthir Mishra, among others. Thus, Scheduled Areas duties to protect, regenerate, conserve and manage commu-
were demarcated in the states of Andhra Pradesh, Telangana, nity forest resources (CFRs).6
Himachal Pradesh, Orissa, Gujarat, Rajasthan, Maharashtra,
Chhattisgarh, Madhya Pradesh and Jharkhand, by the order
Box 3.1 Scheduled Areas in FRA
of the President and were accorded a special status for
The FRA recognises the uniqueness of scheduled areas
administration.1 For effective decentralised governance,
in its frame. In fact, it starts with the basic unit of
Tribal Advisory Councils have been created in all the States
administration that is the village and recognises the
where there is a sizeable population of tribals to advise on
unique village concept under the PESA that is a hamlet
matters pertaining to the welfare and advancement of Sched-
or a group of hamlets that is bound by customary
uled Tribes (STs) and, more importantly, for the administra-
practices, traditions and social norms rather than the
tion of these regions.2 The Governor has been empowered to
conventional revenue village concept that is based on
make regulations for the peace and good governance, espe-
population.7 In other words, it is the hamlet-based
cially on matters related to land transfer by or among
Gram Sabha and consequently the Forest Rights Com-
members of Scheduled Tribe, regulating allotment of land
mittee that initiates the process of recognition and
to members of Scheduled Tribes and regulating money lend-
vesting of forest rights in scheduled areas.
ing with the objective of safeguarding the marginalised from
The FRA also recognises traditional rights and gives
exploitation.3 The Governor can also regulate the operation
precedence to customary law with regard to community
of any Act of the Parliament in the Scheduled Areas and
forest resource management, which is in many ways
allow/disallow it with modifications to suit the context of
unique to the scheduled areas where customs dictate
the Scheduled Areas.4
the day-to-day living of scheduled tribes. The FRA also
The special governance structure created under the Sched-
recognises the record of rights, which are traditionally
uled Areas for Tribal Communities is not only carried for-
recognised by any state and, in this context, it implic-
ward by the FRA, but also it goes a step further in recognising
itly imbibes the record of rights system under the
rights of other traditional forest dwellers. The FRA
tenancy, especially the record of rights within
recognises the powers of vesting with the local communities,
such laws.
through Panchayat Bodies, to manage their natural resources
in accordance with their traditional customary practices (Box
3.1).5 The years preceding FRA witnessed a slew of measures
from the Ministry of Environment and Forests (MoEF), In January 2008, the Scheduled Tribes and Other Tradi-
which categorised forest dwellers as encroachers, and issued tional Forest Dwellers (Recognition of Forest Rights) Act,
detailed Guidelines on restriction of regularisation of 2006 (Rules) was notified. To facilitate the implementation of
encroachment activities by State Governments post the enact- FRA, the Rules elaborate upon the roles, functions and duties
ment of the Forest (Conservation) Act, 1980. It was not until of the Gram Sabha, State District Level Committees, District
2004, that Ministry of Environment and Forests explicitly Level Committee (DLC) and State Level Monitoring Com-
recognised the exclusionary nature of prevailing forest mittee (SLMC) vis-a-vis the recognition and vesting of rights
legislations in incorporating and securing the traditional of the tribals. The Rules have also attempted to clarify the
rights of tribals and stopped referring to them as encroachers. process of recognition by laying down detailed steps and the
In this background, FRA is considered to be a milestone in accompanying documents required to be submitted by
facilitating the forest tribal interface as it aims to secure the claimants for verification of claims and completing the rec-
traditional rights of the tribal communities as well as bona ognition of rights.
fide ‘other traditional forest dwellers’. It recognises those However, the operational arrangements for effective
rights that have not been recorded during the process of implementation of these two important Statutes (FRA and
reservation of forests and by securing tenure, it aims at PESA) and the Rules are still not well understood. The
strengthening the conservation regime while ensuring a Ministry of Tribal Affairs (MoTA) has issued more than
200 instruments for clarifying the implementation of FRA,
1
Article 244 of the Constitution of India, 1950.
the most recent being the September 2023 Guidelines on
2
Part B of the Fifth Schedule of the Constitution of India, 1950.
3
Part B of the Fifth Schedule of the Constitution of India, 1950.
4 6
Ibid. Ibid.
5
ELDF, ‘Towards Creating a Model Forest and Scheduled Area Gover- 7
Section 4(b) of The Provisions of Panchayats (Extension to the Sched-
nance in Chhattisgarh: A Manual on Forest Rights Act and PESA’, 2012. uled Areas) Act, 1996.
3 Forests, Tribals and Forest Rights Act 33

Conservation, Management and Sustainable Use of Commu- Keeping in mind the above-mentioned cardinal principles,
nity Forest Resources. the Forest Rights Act, 2006 is divided into six chapters,
The Ministry of Panchayati Raj along with the States has covering the extent, applicability and definitions in the pre-
also developed several operational arrangements for effective liminary chapter, followed by a chapter enumerating the
implementation of PESA. What is essential is to understand provisions on individual and community forest rights of
the context and the intent with which the said arrangements Forest-Dwelling Scheduled Tribes and Other Traditional For-
have been initiated. The language of the statute or the est Dwellers. The next chapter discusses the provisions
clarificatory instruments issued thereunder often become a pertaining to the recognition and vesting of forest rights in
barrier in effective implementation. The ground-level experi- Forest-Dwelling Scheduled Tribes and Other Traditional For-
ence of the above two Statutes suggests that the knowledge of est Dwellers, which is followed by a chapter on statutory
the law, the rights and duties it creates and the operational authorities and the procedure for vesting of forest rights. The
framework, is inadequate, especially in the tribal-dominated final two chapters deal with offences and penalties and mis-
areas. cellaneous provisions.
Therefore, it is essential to understand the Statute and The Act has been named as the Scheduled Tribes and
particularly how it aims to facilitate the connect between Other Traditional Forest Dwellers (Recognition of Forest
forest governance and scheduled area governance. This Rights) Act, 2006 and extends to the whole of India.13 It
becomes all the more crucial as many believe that the came into force on 2 January 2007 in pursuance of the
abovementioned Statutes could serve as the most important Notification in the official gazette by the Central
tools to overcome social unrest and the economic backward- Government.
ness often associated with tribal-dominated areas in India. The Act defines some key terms that are integral to the
basic structure of the Act. It is safe to presume that terms such
as community forest resource, Critical Wildlife Habitats
3.2 The Discussion on the Act, Rules (CWHs), Forest-Dwelling Scheduled Tribes, forest land, for-
and Guidelines est rights,14 forest villages, Gram Sabha, habitat,15 other
traditional forest dwellers, among others, that pave the way
The Forest Rights Act, 2006 is a landmark legislation based for the recognition and vesting of forest rights, have not been
on the following cardinal principles: envisaged or defined in any other legislation, especially for
the purposes of implementation in scheduled areas (Box 3.2).
• The aim of the Act is to address the historical injustices
meted out to Forest-Dwelling Scheduled Tribes and Other
Box 3.2 What Are Forest Lands?
Traditional Forest Dwellers by recognition and vesting of
Forest land is ‘land of any description falling within
such forest rights, which could not be recorded.8
any forest area and includes unclassified forests,
• The Act provides a framework for recording of rights
undemarcated forests, existing or deemed forest,
including nature of evidence.9
protected forest, reserved forest, sanctuary, national
• The Act also imposes responsibilities on the beneficiaries/
park. Different levels of individual and community
rights holders under the Act and authority for sustainable
forest rights are granted in all these lands to local
use and conservation of biodiversity.10 It mandates that
communities’ (Section 2(d) of FRA, 2006).
the conservation regime shall be strengthened while ensur-
ing livelihood security.11
• The Act further aims to secure the tenure and traditional
rights of the ‘Forest-Dwelling Scheduled Tribes’ and The following sections will now discuss in detail the forest
‘Other Traditional Forest Dwellers’ on forest lands to rights as laid down in the Act along with the process for their
address the long-standing insecurity of tenurial and access recognition, vesting and restoration, and also detail the
rights.12 authorities responsible for the same.

8
Preamble of the FRA, 2006.
9
See Section 6 of the FRA, 2006.
10 13
See Section 5 of the FRA, 2006; read with the Preamble of the Act. Section 1 of the FRA, 2006.
11 14
Ibid. Section 2(e) FRA, 2006.
12 15
Preamble of the FRA, 2006. Section 2(h) FRA, 2006.
34 S. Upadhyay

3.2.1 Beneficiaries Under the Forest Rights Act, 1. What is meant by the right to dwell in a forest land and to
2006 cultivate forest land?22
This specific provision allows FDSTs and OTFDs to hold
3.2.1.1 Forest-Dwelling Scheduled Tribes16 Forest land for self-cultivation or habitation or both either
and Other Traditional Forest Dwellers17 under individual or common occupation. The Amendment
The FRA, 2006 delineates two categories of persons/commu- Rules of 2012 provide for another pragmatic aspect
nity as beneficiaries under the Act, namely the Forest- regarding the extent of land that shall be recognised for
Dwelling Scheduled Tribes (FDST) and Other Traditional self-cultivation. It has explained that the ‘land rights for
Forest Dwellers (OTFD). FDSTs are the members or com- self-cultivation recognised under clause (a) of sub section
munity of the Scheduled Tribes who primarily reside in and (1) of section 3 shall be, within the specified limit, includ-
who depend on the forests or forest lands for ‘bona fide ing the forest lands used for allied activities ancillary to
livelihood needs’18 and include the Scheduled Tribe pasto- cultivation, such as, for keeping cattle, for winnowing and
ralist communities. The definition of OTFD is more restric- other post-harvest activities, rotational fallows, tree crops
tive and it includes members or community who have been and storage of produce’.23 The 2012 Amendment makes
primarily residing and depending on forest land for their bona it clear that the recognition of land for cultivation is not
fide livelihood needs for at least three generations prior to the limited to the actual area under cultivation but also
13th day of December 2005 (Box 3.3). includes the lands that are used for ancillary purposes as
those mentioned above.
It is important to mention here that with regard to the
Box 3.3 Who All Are Included in the Category of OTFDs?
forest rights as mentioned above, the land should be
Any person or community who has been residing and
under the occupations of an individual or family or com-
depending on the forest or forest land for bona fide
munity on the date of commencement of FRA, shall be
livelihood needs for a period of 75 years prior to
restricted to the area under ‘actual occupation’ and shall in
13.12.2005. It is not necessary for the person to belong
no case exceed an area of 4 ha.24
to any tribe or caste to be eligible for the category of
2. What are the individual rights over disputed land
‘other traditional forest dwellers’ (S. 2(o) of the
In case of a dispute over custody of a particular land
FRA, 2006).
between forest department, revenue department and any
other department or even between two States, there is no
3.2.2 Forest Rights Vested with FDSTs restriction on FDSTs and OTFDs from exercising their
and OTFDs right or claim over such land.25
3. Conversion of leases or pattas over forest land into per-
The Forest Rights Act, 2006 has introduced two categories of manent titles
rights, namely Individual Forest Rights19 and Community By virtue of this right, the pattas or leases or grants on
Forest Rights,20 for FDSTs and OTFDs. forest lands, which were issued prior to the enactment of
the FRA, can be converted into permanent titles.26
3.2.2.1 Individual Rights 4. Right to rehabilitation when displaced or evicted from
The Forest Rights Act, 2006 lays down four categories of forest land27
individual rights of habitation and self-cultivation, rights over Right holders under FRA, 2006 can also claim in situ
disputed land, right for conversion of pattas or leases on rehabilitation, alternative land where they have been ille-
forest lands to titles21 and right to in situ rehabilitation for gally evicted, displaced or have not received their legal
FDSTs and OTFDs. entitlement prior to 13 December 2005. The monitoring of
16
such claims is undertaken by the State Level Monitoring
Section 2(c) FRA, 2006.
17
Committee (SLMC).28
Section 2(o) FRA, 2006.
The right to land is one of the crucial forest rights
18
Rule 2(b) of the FRA Rules, 2008 clarifies that bona fide livelihood
needs means ‘fulfillment of livelihood needs of self and family through recognised and vested under the Act to FDSTs and
exercise of any of the rights specified in Sub-section (1) of Section 3 of
the Act and includes sale of surplus produce arising out of exercise of 22
Section 3(1)(a) of the FRA, 2006.
such rights’. 23
19 Rule 12A (8) of the Amendment Rules, 2012.
As enlisted in Clauses (a), (f), (g) and (m) of Sub-section (1) of 24
Section 3. See Section 4(6) of the FRA, 2006 as well as Guidelines of 2012.
25
20
The Amendment Rules of 2012 have categorically specified what Section 3(1)(f) FRA, 2006.
26
would be community rights. They include rights listed in Clauses (b), Section 3(1)(g) FRA, 2006.
27
(c), (d), (e), (h), (i), (j), (k) and (l) of Sub-section (1) of Section 3. Section 3(1)(m) FRA, 2006.
21 28
Section 3(1)(g) of the FRA, 2006. See Rule 10 (f).
3 Forests, Tribals and Forest Rights Act 35

OTFDs provided they establish that they were displaced

from their dwelling and cultivation without land compen- Box 3.4 What Are Community Rights?
sation due to State development interventions, and where The September 2012 Rules, for the first time, clarified
the land has not been used for the purpose for which it was what are community rights. It lists out the rights in
acquired within 5 years of the said acquisition.29 Clauses (b), (c), (d), (e), (h), (i,) (j), (k), and (l) of
Sub-section (1) of Section 3 of the FRA. In simple
3.2.2.2 Community Forest Resource30 terms it means community rights such as Nistar,
The ‘community forest resources’ (CFRs) have been defined Minor Forest Produce (MFP), water bodies including
to mean ‘customary common forest land within the tradi- fish, grazing, rights of pastoralist, community rights of
tional or customary boundaries of the village or seasonal use Particularly Vulnerable Tribal Groups (PVTGs), forest
of landscape in the case of pastoral communities, including villages to revenue villages, rights over community
reserved forests, protected forests and protected areas such forest resource, and those recognised under other state
as Sanctuaries and National Parks to which the community laws or customary laws. Community intellectual prop-
had traditional access’. It also includes the right to protect, erty and right to biodiversity and other traditional rights
regenerate or conserve or manage any community forest are also now clarified as community rights under FRA.
resource that they have been traditionally protecting and The FDST and OTFD can claim them as ‘Community
conserving for sustainable use.31 Rights’.
The concept of community forest resource is one of the
most important rights recognised under FRA from both the
Public Rights over Public Forest Lands
rights and resources perspective. The law mandates that those
The FRA recognises and vests community rights such as
areas that have been traditionally managed and conserved or
Nistar rights, which simply means public rights over public
protected, there should not be just a responsibility but a right
lands and it includes the community rights used in erstwhile
to conserve the same. And in fact, a title deed needs to be
Princely States, Zamindari or any intermediary regimes.34
conferred formalising such a right (as per the September 2012
The community is entitled to rights such as fishing, grazing
Amendment in the Rules).
(both settled and transhumant), traditional seasonal use of
It is this community forest resource where the Gram
resource by the nomadic or pastoralist communities and any
Sabhas as well as similar village institutions have been
other entitlements granted to the community.35 The District
empowered to protect and conserve such CFRs as a matter
Level Committee is the nodal authority for facilitating filing
of duty.32 What is crucial in this concept is the process of
of claims by the pastoralists, transhumant and nomadic
delineation of the community forest resource, with the real
communities in the prescribed format before the concerned
challenge being defining what is customary common forest
Gram Sabhas.36
land within traditional or customary boundary and the conse-
quent conservation and management plan that is now a man-
Minor Forest Produce
date under the September 2012 Amendment Rules. There
Minor forest produce is the life blood of a tribal society and is
should be complete clarity on these terms and their under-
used to meet every household need such as for food, fodder,
standing in operational terms. The concept of CFR not only
fuel wood, medicines, festivals, building material, among
includes the seasonal use of landscape by pastoral
others.37 In this context, the FRA 2006 has entitled the
communities but also extends to all types of forests including
FDSTs and OTFD with the right to own, access to collect,
reserved forests, protected forests and protected areas such as
use and dispose the minor forest produce, which has been
National Parks and Sanctuaries to which the communities
traditionally collected within or outside village boundaries.38
had traditional access.33
Minor forest produce includes ‘all non-timber forest pro-
duce of plant origin including bamboo, brushwood, stumps,
Community Rights
cane, tussar cocoon, honey, wax, lac, tendu or kendu leaves,
The Forest Rights Act, 2006 recognises and vests
medicinal plants and herbs, roots, tubers and the like’.39 The
communities with nine different community rights (Box 3.4).
34
Section 3(1)(b) of the FRA, 2006.
29 35
See Section 4(8) of the FRA, 2006. Ibid.
30 36
Section 2(a) FRA, 2006. Section 3(1)(d) of the FRA, 2006.
31
Section 3 (1)(i) FRA, 2006. 37
ELDF, ‘Towards Creating a Model Forest and Scheduled Area Gov-
32
Section 5, FRA. ernance in Chhattisgarh, A Manual on Forest Rights Act and
33
ELDF, ‘Towards Creating a Model Forest and Scheduled Area Gov- PESA’, 2012.
38
ernance in Chhattisgarh: A Manual on Forest Rights Act and See Section 3(1)(c) of the FRA, 2006.
39
PESA’, 2012. Section 2(i) of the FRA, 2006.
36 S. Upadhyay

phrase ‘and the like’ in the definition of Minor Forest Pro- there were not many claims being filed by the PVTGs, which
duce clarifies that the said definition is inclusive and more led to 2012 Amendment to specifically mandate the District
varieties of plants can be added depending on their usage by Level Committee to ensure that all PVTGs receive habitat
the community. It is also important to highlight that the right rights, in consultation with the concerned traditional
to dispose the minor forest produce includes the right to sell institutions of PVTGs, and their claims for habitat rights are
as well as individual or collective processing, storage, value filed before the concerned Gram Sabhas, wherever necessary
addition, and transportation within and outside forest area by recognising floating nature of their Gram Sabhas.
through appropriate means of transport for use of such pro- In view of the differential vulnerability of PVTGs, the
duce or sale.40 For finality in the number of resources that Amendment Rules of 2012 further mandated the District
could constitute Minor Forest Produce, a list must be Level Committee to ensure that all PVTGs receive habitat
prepared in consultation with the Forest Department and a rights, in consultation with the concerned traditional
formal title to be obtained for the same. institutions of PVTGs, and their claims for habitat rights are
To exercise the right to collect Minor Forest Produce, the filed before the concerned Gram Sabhas, wherever necessary
FDSTs and OTFDs can enter the forest to collect the produce, by recognising floating nature of their Gram Sabhas.46
use or sell it themselves or through cooperatives or
associations or federations for livelihood.41 Right of Conversion of Forest Villages into Revenue
The Committee constituted under the Forest Rights Rules, Villages
2007 and authorised by the Gram Sabha shall modify the The Forest Rights Act, 2006 ensures that old settlements,
transit permit for transportation of Minor Forest Produce. forest villages, old habitations, un-surveyed villages or any
However, the procedural requirement will not impede or other village in forest if not recorded in revenue records of the
restrict the exercise of the right of collection or disposal of government can now be converted into revenue villages
minor forest produce.42 Further, the collection shall be free of under the Forest Rights Act (Box 3.5).47 The conversion to
all royalties, fees or any other charges.43 revenue villages under the FRA, 2006 has certain advantages.

Water Bodies, Grazing and Nomadic Rights over

Box 3.5 Benefits of Conversion of Forest Villages into
Seasonal Resource
Revenue Villages
The Forest Rights Act, 2006 recognises and vests the right to
Although there is some form of recognition of forest
entitlement or use resources such as fish and other products of
villages by the Forest Department, certain revenue
water bodies, grazing (both settled and transhumant) and
benefits including developmental schemes for educa-
traditional seasonal resource access to nomadic or pastoralist
tion, irrigation and sanitation initiated by the govern-
communities.44 For instance, the traditional systems of
ment periodically does not accrue to such villages as
‘chuan’ and other water bodies need to be identified and
they are not technically under the revenue department.
linked with such forest rights in the State of Jharkhand.
This has caused numerous conflicts at the ground level.
Similarly, the identification of the nomadic tribes or
Thus, an urgent need was felt to bring such forest
pastoralists also has to be carried out and linked with the
villages under a legal definition either under the
record of right system in Jharkhand.
Indian Forest Act or recognised as revenue villages
depending on the circumstances. The challenge is to
Right of Habitat for Particularly Vulnerable Tribal
ensure that such conversion does not lead to honey-
Groups and Pre-Agricultural Communities
combing of forests.
The Forest Rights Act, 2006 lays down that if Particularly
Vulnerable Tribal Groups (PVTGs) such as Juang, Chenchu,
or Baiga, and pre-agricultural communities such as Jhumias
or other traditional forest dwellers have been cohabiting in a Forest villages were created by the forest department to
forest land, they can claim the right to their habitat, even if it obtain a sufficient and continuous supply of labour for for-
falls inside a reserved forest or a protected forest.45 However, estry operations such as forest protection and other works of
improvement. An agreement was entered into between the
40
ELDF, ‘Towards Creating a Model Forest and Scheduled Area Gov-
residents of the village and the forest department, which
ernance in Chhattisgarh: A Manual on Forest Rights Act and PESA’,
2012; See Section 3(1)(d) of the FRA, 2006. would define the roles and responsibilities of the members
41
See Amendment Rules of 2012. of the village. The residents would receive several rights to
42
Rule 2(2) of the Forest Rights Rules, 2007. fulfil their livelihood needs in lieu of their services.
43
Rule 2(3) of the Forest Rights Rules, 2007.
44 46
See Section 3(1)(d) of the FRA, 2006. See Rule 12-B of the Forest Rights Rules 2007.
45 47
See Section 3(1)(e) of the FRA, 2006. See Section 3(1)(h) of the FRA, 2006.
3 Forests, Tribals and Forest Rights Act 37

These rights could be land for cultivation, which were to a title. The Amendment Rules of 2012 now adds another
be held as service jagir and could not be transferred by sale, form under which such claim to CFR may not only be
lease or mortgage. However, the residents did not have a title claimed but also a title is given to such community. A process
over the land and it could be taken back at the discretion of has also been delineated in this regard. Further the Amend-
the forest department. No rent was charged on such lands. ment Rules also now correct a long-standing typographical
Besides, free grazing was allowed in the forest area for a error where evidence of such community forest resource was
reasonable number of cattle as determined by the forest wrongly written as evidence for community forest rights.
department.48 The residents were also allowed to collect This also means that to delineate community forest resource,
forest produce such as timber, fruits, flowers, grass and a set of evidences can now be used for a legitimate claim on
bamboo for household and agricultural needs. A separate community forest resource that the community has been
register was maintained by the forest department giving a traditionally protecting.
description of the village, its boundaries, number of It is this community forest resource where the Gram
cultivators admitted and objective of the establishment of Sabhas as well as similar village institutions have been
the village among others. A sketch map of the village was empowered to protect and conserve such CFRs as a matter
also prepared.49 of duty.53 What is crucial in this concept is the process of
delineation of the community forest resource. The real chal-
Right to Protect, Regenerate or Conserve or Manage lenge being defining what is customary common forest land
Any Community Forest Resource within traditional or customary boundary and the consequent
The Forest Rights Act, 2006 also recognises and vests the conservation and management plan that is now a mandate
right to protect, regenerate or conserve or manage any com- under the September 2012 Amendment Rules. There should
munity forest resource that they have been traditionally be complete clarity on these terms and their understanding in
protecting and conserving for sustainable use (Box 3.6).50 operational terms. The concept of CFR also includes seasonal
use of landscape in the case of pastoral communities.
Box 3.6 What Are Community Forest Resource Rights?
Rights That Are Recognised Under State Laws
Community forest resource51 means customary com-
or Autonomous District Council or Autonomous
mon forest land within the traditional or customary
Regional Council
boundaries of a village or seasonal use of landscape
This includes rights that are recognised under any State law
in the case of pastoral communities, including reserved
or laws of any Autonomous District Council or Autonomous
forests, and protected forests such as sanctuaries and
Regional Council or that are accepted as rights of tribals
national parks to which the community had traditional
under any traditional or customary law of the concerned
access.
tribes of any State.54 This primarily deals with those rights
that have been recognised and also where the community has
de facto control over such community resources particularly
This would therefore mean that these are only those areas in the northeastern States of India and more specifically in the
where communities can demonstrate their traditional access special states such as Nagaland, Arunachal Pradesh and Sixth
overlapped with legal categories like reserved forests, Schedule Areas.
protected forests and protected areas such as Sanctuaries
and National Parks under various legislations that would Rights of Access to Biodiversity and Community Right
qualify to be community forest resource.52 to Intellectual Property and Traditional Knowledge
It is a right to protect, regenerate or conserve or manage Related to Biodiversity and Cultural Diversity
any community forest resource that they have been tradition- Tribal communities possess rich culture, long-standing
ally protecting and conserving for sustainable use. Thus far customs, practices and traditional wisdom referred to as
the Rules were silent on how to secure this right in the form of their traditional knowledge. In many cases, this traditional
knowledge has been orally passed for generations from per-
48
ELDF, ‘Towards Creating a Model Forest and Scheduled Area Gov- son to person often through stories, legends, folklore, rituals,
ernance in Madhya Pradesh: A Manual on Forest Rights Act and PESA’, songs and even laws.55 For instance, traditional knowledge
2012; See Section 3(1)(d) of the FRA, 2006.
49 may include knowledge about the medicinal properties of a
Ibid.
50 particular species of plant or a unique farming practice that
See Section 3(1)(i) of the FRA, 2006.
51
See Section 2(a) of the FRA, 2006. 53
52
ELDF, ‘Towards Creating a Model Forest and Scheduled Area Gov- See Section 5 of the FRA, 2006.
54
ernance in Chhattisgarh: A Manual on Forest Rights Act and PESA’, See Section 3(1)(j) of the FRA, 2006.
55
2012; See Section 3(1)(d) of the FRA, 2006. See Section 3(1)(k) of the FRA, 2006.
38 S. Upadhyay

increases crop yield and that is exclusively possessed by the 3.3.1 Recognition and Vesting of Rights: The
members of a particular tribal community as part of their Mandate
culture. Often this time-honoured wisdom of the local
communities is accessed without permission by private The Forest Rights Act, 2006 provides59 for mandatory rec-
companies, individuals who unfairly exploit the knowledge ognition and vesting of rights laid down in Section 3 of the
to earn huge profits without sharing benefits with the local Act for Forest-Dwelling Scheduled Tribes and Other Tradi-
communities who have originally held that knowledge. tional Forest Dwellers. It is preceded by a non-obstante
However, the Forest Rights Act provides a mechanism to clause, which implies that the forest rights in FDSTs and
secure control of the community over their traditional knowl- OTFDs were recognised and vested on the date of the
edge by claiming it as a Community Intellectual Property enforcement of the legislation, i.e. 31 December 2007, and
under the Act. Once this is done, no one can access and use were not subject to any conditions. After such recognition
the knowledge without the permission of the community. and vesting, all that remained was the process for determining
the extent of the right and the subsequent grant of title, for
Any Other Traditional Right Not Mentioned which a detailed process has been envisaged in the later
It refers to any other traditional right customarily enjoyed by sections read with the Rules, 2007 and the Amendment
the Forest-Dwelling Scheduled Tribes or other traditional of 2012.
forest dwellers, as the case may be, which are not mentioned However, the Act itself provides for fulfilment of two
above. However, in the exercise of these traditional rights, pre-requisites, which are highlighted on reading Section 4
Forest Rights Act does not allow hunting or trapping or (3) of the Act together with Section 4(6). First, there should
extracting a part of the body of any species of wild animal. be occupation by the FDSTs and OTFDs before the cut-off
Such a clause is always added where the legislature ordinarily date of 13 December 2005, and second, there should be
cannot envisage the entire gamut of rights and thus adds such continued occupation on the commencement of the Act as
a clause called as a ‘residuary clause’.56 This has been very on 31 December 2007.60 In addition to the two conditions,
creatively used, for example in some states to ensure the the OTFDs also have to prove that they have been resident on
community forest resource title in the absence of such a the said land/habitat over a period of three generations as on
provision prior to the Amendment Rules of 2012. 13 December 2005.
The Act further subjects the recognition and vesting of
right to hold and live in the forest land under the individual or
3.3 The Process of Recognition and Vesting common occupation for habitation or for self-cultivation for
of Forest Rights in Forest-Dwelling livelihood by member/members of FDST and OTFD, to land
Scheduled Tribes and Other Traditional that has been under actual occupation and restricted to the
Forest Dwellers57 ceiling limit of 4 ha.61
The forest rights recognised and vested in the forest
The Forest Rights Act, 2006 has laid down a detailed process dwellers would include those who were displaced from
of recognising and vesting of forest rights for its their dwelling and cultivation due to state developmental
beneficiaries, which is discussed below. activities without land compensation, provided the land was
Chapter III of the Forest Rights Act, 2006 provides not utilised by the State Government for the purpose for
explicit statutory expression for recognition, restoration and which it was acquired for 5 years of its acquisition.62 State
vesting of forest rights in FDSTs and OTFDs. By imputing Level Monitoring Committee has been tasked to ensure right
the authorities with a legally binding mandate to recognise, to land is recognised and vested for such forest dwellers.63
restore and vest the rights of the Forest-Dwelling Scheduled Further, the rights recognised under FRA are free of all
Tribes and Other Traditional Forest Dwellers, it provides encumbrances and procedural requirements as would other-
teeth to the objectives of the Act, ensuring they do not remain wise be imposed for utilisation of forest land under the Forest
redundant on paper. The legal analysis of the process of Conservation Act of 1980 such as payment of ‘Net Present
recognition and vesting also draws references from the Forest
Rights Rules of 2007, which were subsequently amended in
59
2012, to extensively and holistically record the substantive Under Section 4(1) of the FRA, 2006.
60
and procedural legal mandate for recognition and vesting of Letter dated 6 May 2010 from the Ministry of Tribal Affairs to the
Government of Uttar Pradesh.
rights.58 61
Section 4(6) of the Forest Rights Act, 2006; Clause i. (j) of the
Guidelines on the implementation of FRA, dated 12 July 2012.
56
See Section 3(1)(l) of the FRA, 2006. 62
Section 4(8) of the Forest Rights Act, 2006.
57
Chapter III, Sections 4 and 5 of the FRA, 2006. 63
Clause v (e) of the Guidelines on the implementation of FRA, dated
58
As stated under Section 3 of the FRA. 12 July 2012.
3 Forests, Tribals and Forest Rights Act 39

Value’ and ‘compensatory afforestation’ for diversion of

forest area for any other activity, among others.64 Box 3.7 (continued)
In fact, until the process for recognition and vesting of • MoEF&CC is mandated to constitute an expert
rights, including individual65 and community rights,66 is committee to initiate field survey through an open
completed, the beneficiary has complete protection from process of consultation with all stakeholders.
being evicted from the land under his occupation.67 This • After an area is made inviolate within a National
would ensure that on recognition of right, the beneficiary Park or a Sanctuary and rehabilitation proceedings
can claim compensation for resettlement when an area is have been completed, the State Government cannot
declared as a Critical Wildlife Habitat (CWH) or diverted divert the said Critical Wildlife Habitat for any other
for carrying out some other development activity. purpose whatsoever [Proviso to Section 4(2)].
Where a forest dweller has been evicted without comple-
tion of the recognition and vesting of rights, the District Level
Committees may bring such cases to the notice of State Level
The pre-requisites for creation of Critical Wildlife Habitat
Monitoring Committee for taking requisite actions against
requires that the process of recognition and vesting of rights
the violation.
has been completed70 in all the areas under consideration.
The State Government or its agencies in exercise of their
powers under Wildlife Protection Act, 1972 has to establish
3.3.2 Critical Wildlife Habitats68 that the activities or impact of the presence of holders of
rights threaten the existence of wild animals and their habitat.
After forest rights are recognised and vested as mandated in
At the same time, all other reasonable options of co-existence
Section 4(1) of the Act and the process of recognition and
of holders of rights and wildlife, among other reasonable
vesting completed as per Section 6 of the Act, such forest
options, have been deliberated upon and ruled out by the
rights may subsequently be modified or resettled for creating
State Government.
inviolate areas called Critical Wildlife Habitats for wildlife
Once the area has been considered as inviolate for wildlife
conservation (Box 3.7). Such areas are created as an excep-
conservation, a resettlement or alternative package has to be
tion to the implementation of the Forest Rights Act, 2006.
prepared for providing secure livelihood and any other
The Act envisages69 six steps for modification/restriction
requirements of the affected individuals and communities in
of rights in areas that have been declared as Critical Wildlife
the proposed Critical Wildlife Habitat. The Gram Sabha will
Habitats under the Act (Fig. 3.1). However, the resettlement
consider resettlement packages and has to give it free
or modification of rights of STs and OTFDs will only be
informed consent in writing regarding the same.71 The imple-
allowed if all the conditions specified in the Act are fulfilled.
mentation of the resettlement package will be monitored by
the State Level Monitoring Committee.72 Further, resettle-
Box 3.7 Identification and Declaration of a Critical ment will take place only if all the facilities and allocation of
Wildlife Habitat (CWH) land at the proposed site of relocation are complete as per the
The key authority in identifying and notifying a CWH resettlement package that was promised.
is the Ministry of Environment and Forests and Climate If either one of the above-mentioned conditions (Fig. 3.1)
Change (MoEF&CC) through the following process: remains absent, there cannot be any restriction or modifica-
tion of the rights of STs and OTFDs even in Critical Wildlife
• MoEF&CC shall identify areas within National Habitats. The Ministry had released Guidelines for Critical
Parks and Sanctuaries wherein it is specifically and Wildlife Habitats in 2007 and subsequently in 2018. How-
clearly established, case by case, through scientific ever, the same has not been enforced yet by the Centre or by
and objective criteria that such areas are required to the States. Thus, the provision remains redundant on paper.
be kept as inviolate for the purpose of wildlife However, often a parallel has been drawn between Critical
conservation. Wildlife Habitats and Tiger Reserves, although the latter was
given statutory protection much later in 2006 under Wildlife
(continued) Protection Act, 1972 and will not be governed by the regime
64
Section 4(7) of the Forest Rights Act, 2006.
65
Rule 12A of the Forest Rights Rules, 2007. 70
As specified under Section 6 of the Forest Rights Act, 2006.
66
Rules 12B of the Forest Rights Rules, 2007. 71
To be r/w Rule 4(1)(d) of the Forest Right Rules of 2007, which states
67
Section 4(5) of the Forest Rights Act, 2006. the functions of Gram Sabha and includes consideration of resettlement
68
Section 4(2) of the Forest Rights Act, 2006. packages under s. 4(2)(e) and passing resolutions regarding the same.
69 72
Ibid. Rule 10 (e) of the Forest Right Rules of 2007.
40 S. Upadhyay

Co-existence of
Resettlement
widlife and
package secures
forest right
land and
holders not
livelihood
Irreversible possible
Free informed
damage to wild consent of the
animals and Gram Sabha in
threat to their writing
existence and
habitat

Resettlement Facilities and

Process of
or allocation of
recognition and
modification of land at
vesting of rights
right of forest resettlement site
is complete
dwellers is complete

Fig. 3.1 Pre-requisites for creation of Critical Wildlife Habitats

prescribed for critical wildlife areas under the Forest biodiversity and water resources in the land over which
Rights Act. they exercise their rights (Box 3.8).

Box 3.8 Duties Under Section 5 of the FRA

3.3.3 Transfer of Title of Forest Right Holder
(a) Protect the Wildlife, Forest and Biodiversity
Under the Scheduled Tribes and Other
(b) Adequate protection of adjoining catchment area,
Traditional Forest Dweller Act, 2006
water sources and other ecological sensitive areas
(c) Preservation of habitat of the forest-dwelling
The title granted under FRA is heritable and cannot be
communities from destructive practices affecting
alienated or transferred to another party.73 The objective of
their culture and heritage
putting restriction of the transfer of titles is to ensure third
(d) Ensure compliance with decisions of the Gram
parties do not undermine the process of recognition of rights
Sabha regulating access to community forest
through extraneous means of getting the title transferred in
resources and restricting activities that adversely
their favour. The title cannot be pledged with a bank for
affect wildlife, forest and biodiversity
receiving loans.

3.3.4 Duties of Forest Dwellers

The Gram Sabha, to effectively exercise its duties,74 has
Any forest-related legislation would be incomplete without been empowered to create separate Committees with exclu-
according the users of the forest resource or land the duty to sive mandate towards protection of wildlife, forest and biodi-
continue conservation or ameliorative measures for diverted versity.75 The said constituted Committee would also prepare
forest land and resource. The forest right holders also have a conservation plan for management of community forest
not been provided a blanket exemption by virtue of their resources (CFRs) to facilitate sustainable and equitable man-
rights. All forest right holders along with the Gram Sabha agement of such CFRs for the benefit of FDSTs and OTFDs.
and other village-level institutions have corollary duties The conservation and management plan has to be integrated
towards continued conservation of forest, wildlife,
74
Under Rule 5 of the FRA Rules, 2008.
75
Rule 4(1)(e) of the Scheduled Tribe and Other Traditional Forest
73
Section 4(4) of the Forest Rights Act, 2006. Dwellers (Recognition of Forest Rights) Rules, 2007.
3 Forests, Tribals and Forest Rights Act 41

with micro plans or working plans or management plans of Another crucial debate is the cut-off date! This Act has no
forest department, with modifications as considered neces- relevance to the cut-off date, be it 1980 when the Forest
sary by the Committee.76 In 2012, the Amendment to the Conservation Act came into being or December 2005,
Forest Rights Rules also made it mandatory for the Gram which is mandated by the current Act. Historical injustice
Sabha to approve all decisions of the Committee pertaining to has to be proved by historical records. Clearly, 13 December
issue of transit permits, use of income from sale of produce or 2005 is not a historical date and neither is 1980.
modification of such management plans (Table 3.1). A popular myth is whether this Act is about regularisation
of encroachment. This Act is not about regularisation of
encroachment; in fact, it is about recording unrecorded rights
3.4 Nodal Agency for the Act and following a due process. Every Wildlife Protection and
Forest Act in the country lays down a due process of settle-
Section 11 of the FRA states that the Ministry of Central ment of bona fide claimants. The Forest Rights Act attempts
Government dealing with Tribal Affairs or any officer or to better the existing process. Another myth is that several
authority authorised by the Central Government on this hundred thousand hectares will be transferred to tribals and
behalf shall be the nodal agency for the implementation of ownership will be given by the Forest Rights Act. The Act
the provisions of the Act. By virtue of such a provision, the nowhere mentions the word ownership (except for minor
Ministry of Tribal Affairs (MoTA) becomes the nodal agency forest produce) or forest land transfer. In fact, it only secures
for the implementation of the provisions of the Act and any tenure on forest land to those who have been residing since
notifications, clarifications etc. that are to be issued regarding generations.
the Act or its provisions shall be done by the MoTA. There is also this mistrust by sceptics that the Gram Sabha,
Exception: The notification of a Critical Wildlife Habitat the lowest unit of governance, cannot be given this important
(CWH) is issued by the Ministry of Environment and Forests task of initiating the recognition process for they lack capac-
after a process of consultation by an expert committee, which ity. The questions to such sceptics are ‘What are the other
includes experts from the locality including a representative institutional models available at the village level? Why are
of MoTA. we so reluctant to rely on the wisdom of the village (the
ordinary Gram or Gaon)?’ It is time they have their chance
and say!
3.5 Procedure for Vesting of Forest Rights

Procedure for vesting of forest rights is presented in Flow 3.7 Some Facts That Cannot Be Ignored
Chart 3.1.
The FRA also is premised on some basic facts that cannot be
ignored. The process of reservation under Indian Forest Act
3.6 Some Myths and Perceptions (IFA) or the state forest Acts has been faulty and not well
documented. The settlement process under the IFA as well as
There are several myths and perceptions around FRA and its Wildlife Protection Act has been far from satisfactory and the
implementation. The sceptics declared that the Act hands Supreme Court of India has been struggling to set this right
over 4 ha of forest land to every tribal family! The answer since 1995 in the ongoing Center for Environment Law—
is an emphatic No. The recognition is about existing occupa- World Wide Fund for Nature versus Union of India case.
tion up to a maximum of 4 ha, to be validated in a four-level Therefore, the process of recognition and vesting of forest
scrutiny process where every concerned department, includ- rights must be given its due, sans these myths and perceptions
ing forest, tribal, revenue and panchayat, would be involved and in the backdrop of the facts on the ground.
in verifying the veracity of the claims based on sound
evidence.
The question that still remains is whether there is a ratio- 3.8 Preliminary Lessons from the Field:
nale of 4 ha. Clearly, this magical figure of 4 ha was a bargain More Questions than Answers
between 2.5 ha as envisaged in the first draft of the Act on the
basis of existing Forest Village Rules in various states to ‘as Several field visits across central and eastern and northeastern
is where is basis’ advocated by the Joint Parliamentary Com- belts have revealed that when it comes to Forest Rights Act
mittee. Clearly, there is no scientific or legal basis of 4 ha. implementation, we have lost ourselves in only 1 out of the
13 set of rights that is envisaged under the law, i.e. land
76
Rule 4(1)(f) of the Scheduled Tribe and Other Traditional Forest recognition of up to 4 ha. Clearly, the obsession with num-
Dwellers (Recognition of Forest Rights) Rules, 2007. bers has to go. Data from the MoTA show that individual
42 S. Upadhyay

Table 3.1 Authorities under the FRA, their powers and functions
Powers and functions
Authority under the Covered Composition of the Powers and functions under the Rules, 2007
S. no. FRA u/s authority under the Act, 2006 and Guidelines 2012 Remarks
1. Gram Sabha Section 6 All adult members of 1. Initiation of the 1. Resolutions on The Forest Rights
(defined u/s 2(g) of the (1) the village, with full process for vesting of resettlement Committee (FRC) is a
FRA to mean a village and unrestricted forest rights packages subset of the Gram
assembly convened by participation of Gram Sabha initiates The Gram Sabha also Sabha, which has
the Gram Panchayat women the process for considers resettlement been constituted
that shall consist of all determining the nature packages under clause under the Rules of
adult members of a and extent of (e) of sub-section 2007 with the
village and in cases of individual or (2) of Section 4 of the objective of assisting
states having no community forest Act and passes the Gram Sabha in its
Panchayats, Padas, rights or both within appropriate resolutions function to receive,
Tolas and other the local limits of its 2. Demarcation of acknowledge and
traditional village jurisdiction under this boundaries for retain the claims in
institutions and elected Act. This is done by community forest the specified form and
village communities, receiving, resource evidence in support of
with full and consolidating and Gram Sabha to such claims [Rule
unrestricted verifying claims and demarcate the 11(2) of the Rules of
participation of preparing a map boundaries of the 2007]
women) delineating the area of community forest For diversion of
each recommended resource for the forest land for
claim [Section 6(1), purposes of filing non-forest purposes
also Rule 4 and Para claims for the under the Forest
iv.c of Guidelines] recognition of forest (Conservation) Act of
2. Preparation of list rights [Para iv.c of the 1980, the MoEF letter
of claimants Guidelines of 2012] dated 3 August 2009
The Gram Sabha is 3. Constitution of encloses a list of
also mandated under committees from evidences required to
the Act to prepare a list among its members show compliance
of claimants of forest The Gram Sabha also with the provisions of
rights and maintain a constitutes the Forest Rights Act,
register containing Committees for the 2006, which includes
such details of protection of wildlife, letter from the
claimants and their forest and concerned Gram
claims as the Central biodiversity, from Sabha stating their
Government may by among its members, in consent for the
order determine order to carry out the proposed diversion
[Section 6(1), also provisions of Section 5 and compensatory,
Rule 4] of the Act [Rule 4(1) ameliorative
3. Passing a (e) and r/w para iv.e of measures required, or
resolution on the the Guidelines of written consent or
claims presented 2012] rejection of the Gram
The Gram Sabha then 4. Modification of Sabha to the proposal
passes a resolution on Conservation and for diversion of forest
claims on forest rights Management Plan land
after giving reasonable The Gram Sabha has
opportunity to to approve any
interested persons and modification to the
authorities concerned Conservation and
and forwards the same Management Plan
to the Sub-Divisional prepared by the
Level Committee Committee for
(SDLC) [Section 6(1), protection of wildlife,
also Rule 4] forest and biodiversity
4. Regulating access [Rule 4(1)(g)]
to community forest 5. Creation of the
resources Forest Rights
Gram Sabha is Committee (FRC)
empowered to regulate The Rules mandate the
access to community creation of a
forest resources and specialised committee
stop any activity that of not <10 but not
adversely affects the exceeding 15 persons
(continued)
3 Forests, Tribals and Forest Rights Act 43

Table 3.1 (continued)

Powers and functions
Authority under the Covered Composition of the Powers and functions under the Rules, 2007
S. no. FRA u/s authority under the Act, 2006 and Guidelines 2012 Remarks
wild animals, forest as members that the
and bio-diversity Gram Sabha elects
[Section 5(d), also from among its
Rule 4(1)(e)] members, called the
Forest Rights
Committee
6. Institutional set up
of the FRC
The Forest Rights
Committee decides
upon a Chairperson
and a Secretary from
among its members
and intimates the
Sub-Divisional Level
Committee (SDLC)
(Rule 3(2))
7. Composition of the
FRC
The Rules mandate
that two-third
members of the
Committee shall be
from the Scheduled
Tribes
Not less than one-third
of such members shall
be women
8. Raising Awareness
regarding the
provisions of the Act
and Rules
The Guidelines require
the Gram Sabha to be
actively involved in
the task of raising
awareness regarding
the provisions of the
Act and Rules,
especially the process
of filing petitions [Para
vi. c]
2. The Sub-Divisional Section 6 SDLC, which is 1. Examination of the Rule 6 grants the *The SDLC does not
Level Committee (1) of the constituted by the resolutions passed by following powers and have the power to
(SDLC) Act State Government, has the Gram Sabha functions to take decisions on the
the following The SDLC has been the SDLC: claims. Also, the
members: mandated by the Act 1. Providing recommendations of
(a) Sub-Divisional to examine the information to the the SDLC are not
Officer or equivalent resolutions passed by Gram Sabhas about binding on the DLC,
officer: Chairperson the Gram Sabha their duties which means that the
(b) Forest Officer in [Section 6(4)] The Rules mandate the DLC can reject the
charge of a 2. Preparation of the SDLC to provide recommendations of
Sub-division or records of forest information to each the SDLC
equivalent officer: rights [Section 6(4)] Gram Sabha about
Member 3. The SDLC then their duties and duties
(c) Three members of forwards it to the of holder of forest
the Block- or Tehsil- District Level rights and others
level Panchayats to be Committee, with their towards protection of
nominated by the recommendations* on wildlife, forest and
District Panchayat of the veracity of the biodiversity, with
(continued)
44 S. Upadhyay

Table 3.1 (continued)

Powers and functions
Authority under the Covered Composition of the Powers and functions under the Rules, 2007
S. no. FRA u/s authority under the Act, 2006 and Guidelines 2012 Remarks
whom at least two claim for a final reference to critical
shall be from the decision flora and fauna that
Scheduled Tribes, 4. Appellate need to be conserved
preferably those who Authority The SDLC and protected
are forest dwellers or hears petitions from 2. Providing forest
who belong to the persons, including and revenue maps to
primitive tribal State agencies, the Gram Sabha
groups, and where aggrieved by the The SDLC also
there are no Scheduled resolutions of the provides forest and
Tribes, two members Gram Sabhas (petition revenue maps and
who are preferably to be filed within electoral rolls to the
other traditional forest 60 days and Gram Sabha or the
dwellers, and one shall opportunity of being Forest Rights
be a woman member; heard would be Committee
or in areas covered provided) (Section 6 3. Collation of all the
under the Sixth (2) proviso) resolutions of the
Schedule to the concerned Gram
Constitution, three Sabhas
members nominated 4. Consolidation of
by the Autonomous maps and details
District Council or provided by the Gram
Regional Council or Sabhas
other appropriate 5. Examination of the
zonal level, of whom resolutions and the
at least one shall be a maps of the Gram
woman member Sabhas to ascertain the
(d) An officer of the veracity of the claims
Tribal Welfare 6. Adjudicatory
Department in-charge powers
of the Sub-division or The SDLC also hears
where such officer is and adjudicates
not available the disputes between
officer in-charge of the Gram Sabhas on the
tribal affairs (Rule 5) nature and extent of
(Total members: 6) any forest rights
7. Co-ordination with
other SDLCs
The SDLCs shall also
co-ordinate with other
Sub- Divisional Level
Committees for inter-
sub-divisional claims
8. Preparation of
Block/Tehsil-wise
record of rights
The SDLC prepares
Block- or Tehsil-wise
draft record of
proposed forest rights
after reconciliation of
government records
9. Raising awareness
about the Act and the
Rules
The SDLC shall also
raise awareness among
forest dwellers about
the objectives and
procedures laid down
under the Act and in
the rules
(continued)
3 Forests, Tribals and Forest Rights Act 45

Table 3.1 (continued)

Powers and functions
Authority under the Covered Composition of the Powers and functions under the Rules, 2007
S. no. FRA u/s authority under the Act, 2006 and Guidelines 2012 Remarks
10. Ensure easy and
free availability of
proforma of claims to
the claimants
11. Ensure that the
Gram Sabha meetings
are conducted in free,
open and fair manner
with requisite quorum
3. The District Level Section 6 DLC is constituted by 1. Final authority on A. Rule 8 enumerates –
Committee (5) of the the State Government the status of the the following
(DLC) Act with the following claims functions of
members: Section 6(5) authorises the DLC:
(a) District Collector the DLC to consider 1. Ensure that the
or Deputy and finally approve the requisite information
Commissioner: claims and record of under Clause (b) of
Chairperson forest rights prepared Rule 6 has been
(b) Concerned by the SDLC provided to Gram
Divisional Forest 2. Final Appellate Sabha or Forest Rights
Officer or concerned Authority regarding Committee
Deputy Conservator of Status of Claims 2. Examine whether all
Forest: Member The DLC is the final claims, especially
(c) Three members of Appellate Authority to those of primitive
the district panchayat hear petitions from tribal groups,
to be nominated by the persons aggrieved by pastoralists and
district panchayat, of the orders of the nomadic tribes, have
whom at least two SDLC been addressed
shall be from the keeping in mind the
Scheduled Tribes, objectives of the Act
preferably those who 3. Co-ordinate with
are forest dwellers or other districts
who belong to regarding inter-district
members of the claims
primitive tribal 4. Issue directions for
groups, and where incorporation of the
there are no Scheduled forest rights in the
Tribes, two members relevant government
who are preferably records including
other traditional forest record of rights
dwellers, and one shall 5. Ensure publication
be a woman member; of the record of forest
or in areas covered rights as may be
under the Sixth finalised
Schedule to the 6. Ensure that a
Constitution, three certified copy of the
members nominated record of forest rights
by the Autonomous and title under the Act
District Council or as specified in
Regional Council of Annexures II, III and
whom at least one IV of the FRA is
shall be a woman provided to the
member concerned claimant
(d) An officer of the and the Gram Sabha
Tribal Welfare respectively
Department in-charge B. Paragraph iii of
of the district or where the Guidelines
such officer is not provide that DLCs
available, the officer in should:
charge of the tribal 1. Provide a record of
prior recorded Nistar
(continued)
46 S. Upadhyay

Table 3.1 (continued)

Powers and functions
Authority under the Covered Composition of the Powers and functions under the Rules, 2007
S. no. FRA u/s authority under the Act, 2006 and Guidelines 2012 Remarks
affairs or other traditional
(Total members: 6) community rights to
the Gram Sabha.
Further, it has to
ensure that there are
valid reasons for
rejection of claims for
usufructuary rights,
and the same are
recorded in writing
2. Facilitate filing of
claims for pastoralists
in Gram Sabha
3. Play a pro-active
role for ensuring PTGs
(now PVTGs) receive
habitat rights and their
claims are filed before
the Gram Sabha
4. The State Level Section 6 SLMC is constituted 1. Monitoring the A. Rule 10 envisages –
Monitoring (8) of the by the State process of right the functions of the
Committee Act Government with the recognition SLMC as follows:
(SLMC) following members, Section 6(8) mandates 1. Devise criteria and
namely: the SLMC to indicators for
(a) Chief Secretary: monitoring the process monitoring the process
Chairperson of recognition and of recognition
(b) Secretary, Revenue vesting of forest rights 2. Meet at least once in
Department: Member in the State three months to
(c) Secretary, Tribal or 2. Co-ordination with monitor the process of
Social Welfare the Nodal Agency recognition,
Department: Member The SLMC shall be verification and
(d) Secretary, Forest the contacting point vesting of forest rights
Department: Member for the nodal agency 3. Consider and
(e) Secretary, for matters related to address the field-level
Panchayati Raj: the Act, which in this problems, and furnish
Member case is the Ministry of a quarterly report in
(f) Principal Chief Tribal Affairs, and to the format appended
Conservator of submit to the nodal as Annexure V to
Forests: Member agency such returns these rules, to the
(g) Three Scheduled and reports as may be Central Government
Tribes member of the called for by that on their assessment
Tribes Advisory agency regarding the status of
Council, to be claims, the compliance
nominated by the with the steps required
Chairperson of the under the Act, details
Tribes Advisory of claims approved,
Council, and where reasons for rejection, if
there is no Tribes any, and the status of
Advisory Council, pending claims
three Scheduled Tribes 4. Take appropriate
members to be actions against the
nominated by the State concerned authorities
Government under the Act on
(h) Commissioner, receipt of a notice as
Tribal Welfare or mentioned in Section 8
equivalent who shall of the Act, (cognisance
be the Member: of offences: Prior
Secretary notice to be given to
(Total members: 10) SLMC before
initiating any action
(continued)
3 Forests, Tribals and Forest Rights Act 47

Table 3.1 (continued)

Powers and functions
Authority under the Covered Composition of the Powers and functions under the Rules, 2007
S. no. FRA u/s authority under the Act, 2006 and Guidelines 2012 Remarks
under the Act)
[r/w para vi. d of the
Guidelines]
5. Monitor
resettlement under
sub-section (2) of
Section 4 of the Act
(modification and
resettlement of forest
rights in Critical
Wildlife Habitats)
B. Monitor
compliance for
rehabilitation under
S. 3(1)(m) and 4(8) of
the Act.
The Guidelines state
that the SLMC should
monitor compliance
with in situ
rehabilitation in cases
where they have been
illegally evicted or
displaced from forest
land without receiving
legal entitlement to
rehabilitation and
when they are
displaced without land
compensations due to
state development
interventions [para v.
e of the Guidelines of
2012]
C. Take action for
evictions without
settlement of rights
SLMC to take
appropriate action
against violation of the
provisions contained
in Section 4(5) of the
Act, which restrict
evictions or removal
of FDSTs and OTFDs
unless the process of
recognition and
verification is
complete

right, especially recognising lands for agriculture, is a pre- passage of the September 2012 Rules there is a visible shift.
ferred claim than CoFR or CFR. The shortcoming is that Another key lesson is distinguishing community forest
there are no separate State instructions on recognition or resource and Community Rights at the operational level,
delineation process especially for community forest resource which is a must, which is still not visible in most sites.
and/or Community Forest Rights. More recently after the
48 S. Upadhyay

Flow Chart 3.1 Vesting of

forest rights Gram Sabha to be convened by the Gram Panchayat (Rule 3(1)) which shall
elect from amongst its members, a committee of not less than ten but not
exceeding ifteen persons as members of the Forest Rights Committee (FRC).
Two-third of FRC members shall be Scheduled Tribes and not less than one-
third of such members shall be women.

Every claim
form has
three
copies. The
irst copy is
for the The Gram Sabha then calls for the claims and authorizes the Forest Rights Committee to receive (Forms A,
claimant, B and C), consolidate and verify the claims at least two evidences are provided with the claims. The time
the second limit for submitting claims has been set as three months from the date of the irst Gram Sabha
copy is for
the FRC
and the
third copy
is for the
SDLC

After receiving the claim forms, the FRC records the claims and the map and veriies them. Before carrying out
the veriication the FRC intimates the Forest and the Revenue Departments to be present at the time of the
veriication. It is mandatory for these oficials to be present during such veriication visits. If despite notice, the
revenue and forest department oficials are not present, then the decision of the Gram Sabha will be inal. If
these oficials have any objections to the decisions of the Gram Sabha, then they will be provided one more
opportunity to be present before the Gram Sabha.

The FRC then submits its proof of veriication to the Gram Sabha. . In
case there are conflicting claims in respect of traditional or
customary boundaries of another village or if a forest area is being
used by more than one Gram Sabha, the dispute is to be resolved
through joint meetings of the Gram Sabhas and if left unresolved
the same shall be forwarded to the Sub-Divisional Level Committee
(SDLC).

If a person is
aggrieved by the
decision of the
Gram Sabha, then
he has the right to
Gram Sabha then has to pass a resolution either accepting or rejecting the claims, after appeal before the
considering the findings of FRC and forward the resolution and claims to SDLC. It is SDLC within a
mandatory to provide written reasons for rejection of claims. period of 60 days

The SDLC has to collate all the resolutions of the Gram Sabhas, examine the resolutions and the maps of the
Gram Sabha to ascertain the veracity of claims. SDLC then has to prepare a block or tehsil wise draft record
of proposed forest rights after reconciliation with government records

SDLC then forwards the claims with the draft record of proposed forest rights to District Level Committee
(DLC) for final decision.

The SDLC has

no right to
reject claims.

DLC has to consider and finally approve the claims and record of forest rights prepared by SDLC. The
decision of DLC is final (Section 6).
It is mandatory to provide written reasons for rejection of claims. The decision of the DLC is final and
binding.
3 Forests, Tribals and Forest Rights Act 49

3.9 Points to Ponder and Way Forward Union of India & Ors’ (WP (C) No. 50/2008) first directed77
the States to carry out evictions of those persons whose
It is time to identify the real threats! Diversion of forest land claims have been rejected. Before this, the States had been
and fragmentation of habitat are a reality, which is a conse- directed to file the status of the claims vis-à-vis those that had
quence of the rush for the current growth rate. The unholy been granted and those that had been rejected. The
nexus of some executives–politicians–corporates has to be Honourable Supreme Court interpreted the rejected claimants
identified and exposed. New criteria for diversion of various as ‘encroachers’, a term that has neither been mentioned nor
categories of forest land and their livelihood impacts on defined in the FRA, 2006 or any forest law for that matter.
dependent communities, especially in the light of new The above-mentioned Order sent shock waves across the
instruments such as Forest Rights Act, have to be developed. country and over one million ‘tribals’ and ‘other traditional
Can we go for Wasteland first? Further, strict monitoring of forest dwellers’ were at the brink of being evicted from their
diverted land and whether they conform to the general and habitats and livelihoods. At the time, the eviction Order was
special conditions based on which they were granted diver- being seen as a response to the Central and the State
sion permissions are key. There is also a need for reversal of Governments having failed to defend a law that protected
land transfer processes, especially when it has not been used the rights of these communities.
for the purposes for which it was diverted or acquired. Last The Order dated 13 February 2019 was however stayed,78
but not the least, it needs to be recognised that no right is albeit temporarily, when the Honourable Court was appraised
absolute and it needs to be commensurate with duties and of the fact that even though the State Governments had filed
responsibilities. their data on the status of claims including the rejected
claims, the reasons and the procedure adopted for the
rejections had not been stated adequately. It was stated that
3.10 Concluding Remarks: Key Issues there was nothing on record to show as to who had rejected
and Challenges the claims and under which provision of the law were the
evictions to be carried out, along with the competent author-
The FRA, 2006, despite its objectives and scope, has always ity for the same. There were several other lacunae in the
been in the eye of storm, with the Central and the State rejection process that were pointed out, which have been
Governments either selectively implementing the Act, or summarised as following:
implementing it in contravention of the mandate of the Act.
Thus, there have always been two extreme positions on the 1. In most of the matters, tribals have not been served with
Act. One holds that historical injustice has been done to forest the rejection orders of their claims
dwellers while the other believes that the last forest tracts will 2. It is also not clear whether the three-tier Monitoring Com-
be handed over to the people who cannot co-exist with mittee constituted under the FRA, 2006 has supervised the
wildlife, especially tigers. rejections
As has been elucidated in the previous sections, the FRA, 3. Whether the tribals were given opportunity to adduce
2006 conceptualises a process of recognition and vesting of evidence
rights and acts as a one-law army to remedy historical 4. If yes, to what extent and whether reasoned orders have
injustices to the FDSTs and OTFDs. It is for this reason been passed regarding rejection of the claims
that one often, albeit mistakenly, adjudges the success of
FRA, 2006 based on the number of rights that have been Even though the evictions have been temporarily skirted,
recognised and vested after a scrutiny. However, the success there are huge gaps, apart from those mentioned above, that
of the process of recognition and vesting of rights is deter- still plague the implementation of the FRA. They are, to
mined by how effectively the regulatory, institutional name a few:
authorities implement the mandate envisaged under the
FRA, 2006 to ensure that it is not beyond the understanding 1. Discrepancy regarding the details of claims filed, rejected
of the lay person. Therefore, one needs to move beyond the and granted between the Ministry of Tribal Affairs and the
number game to understand the impediments faced in imple- State Department
mentation of FRA, 2006. 2. Rejections by SDLC, or other department(s), even though
At this juncture, it would be prudent to talk about the latest not mandated under the law to reject
developments on the implementation of the Act, which has
far-reaching consequences, to say the least. The Honourable 77
Vide Order dated 13 February 2019.
Supreme Court in the matter titled ‘Wildlife First & Ors vs 78
By the Ld. Solicitor General on 28 February 2019. The Stay Order
continues till date 19 January 2022, after having been extended vide
Order dated 22 January 2020.
50 S. Upadhyay

3. Mismatch between Gram Sabha Resolutions and DLC rejecting claims, even though it is not mandated under the
Certificates law to reject such claims.
4. Extent of cultivation reduced without giving any reasons • There is a huge mismatch between Gram Sabha
5. PVTG habitat rights not granted—despite the requirement Resolutions and DLC Certificates.
of Suo motto enquiry under the Guidelines of 2012 • There is an absolute lack of communication of rejected
6. The issue of procedural gap wherein Gram Sabha is not claims to the claimant.
being empowered to fulfil the mandate of the FRA • The extent of cultivation is reduced without giving any
7. Whether appeals made and pending, and yet rejected reasons.
• PVTG Habitat rights are not being granted, despite the
What we also need to answer is whether mere granting of requirement of Suo motto enquiry under the Guidelines
claims is enough? The FRA Rules were amended in 2012 of 2012.
wherein a new Rule was inserted (Rule 16), which places a • The issue of Critical Wildlife Habitat remains unresolved.
duty on the State Governments to provide post-claim support • The capacity of the Gram Sabha to prepare conservation
to the forest right holders. For this, the State Governments and management plan for conservation and sustainable
have to ensure that all government schemes including those use is still a distant goal sans few exceptions.
relating to land improvement, land productivity, basic • Little or no understanding of which of the Community
amenities and other livelihood measures are provided to Forest Rights are being exercised and how do they relate
such right holders and communities whose rights have been to the legal provisions!
recognised and vested under the Act. A robust post-claim • The confusion between community rights and develop-
strategy is essential to make the land productive so that ment rights still exists.
communities get a more secured livelihood from their own • Delineation of CFR, the operational mechanism, is miss-
land rather than being totally dependent on adjoining forests. ing and communities are confused between traditional
It is clear from field experiences that mere title recognition boundaries and legal boundaries.
without adequate handholding and support is insufficient. • There is no clear linkage of existing Joint Forest Manage-
Support is required from government departments and ment/Participatory Forest Management/Community For-
agencies responsible for supporting agriculture, conservation est Management/Eco Development Committee
and sustainable management of forest to help the institutions or processes with CFR delineation process of
communities in using, conserving and managing both the Forest Protection Committees. It is hoped now that the
recognised land and the community forest resource, the title new provision on aligning the above with the conservation
of which is now vested with them. and management plan may help.
One thing is certain, that the FRA, 2006 is a unique law • Inter-village and inter-panchayat claims that overlap and
with a unique framework for implementation where, perhaps disputes resolution mechanisms still not well developed,
for the first time, four key line agencies have been legally including on community forest resource rights and com-
mandated to scrutinise the dependence, the extent, and the munity forest rights.
post-claim support and, most importantly, secure the tenure • There are no clear guidelines to First Appellate Bodies
on the land on which FDSTs and OTFDs have been histori- such as Sub-Division Level Committee and also to the
cally dependent upon. The implementation of this law, there- District Level Committee on grounds of rejection or
fore, is nothing short of a social engineering marvel. approval including reasoned orders—Now reasoned
However, only time will tell whether this social engineering orders are a must.
experiment created history or the experiment was confined to
history! Key Questions
1. Has the Ministry of Tribal Affairs been able to handhold,
Lessons Learnt monitor and regulate the implementation of the FRA
After having established the details of the FRA, let us sum- effectively?
marise in a nutshell the lessons learnt vis-à-vis the implemen- 2. Why is the Forest Department opposed to the FRA? Are
tation of the Act. the rights under FRA a threat to the forests and its
wildlife?
• There exists a major discrepancy regarding the data on the 3. There is overlapping of provisions of the Forest Rights
details of claims filed, rejected and granted between the Act (Critical Wildlife Habitat79) and Amendments in the
Ministry of Tribal Affairs and the State Departments. Wild Life (Protection) Act of 1972 (Critical Tiger
• More often than not, the reasons for rejection of claims are
not mentioned. It has also been seen that the SDLC is 79
Section 2(b), Scheduled Tribes and Other Traditional Forest Dwellers
(Recognition of Forest Rights) Act, 2006.
3 Forests, Tribals and Forest Rights Act 51

Habitat80). In case of a conflict between the two seemingly conflicting categories need to be understood
legislations, the question is as to which would prevail to iron the rough edges and ensure harmony between the
over which category and how each of these categories two equally significant pieces of legislations?
would be made inviolate? Also, how these new and 4. Whether appeals made and pending, and yet rejected?

80
Section 38V(5), The Wild Life (Protection) Act 1972.
 Forestry Research, Education, and Extension
in India 4
H. S. Ginwal and Kirti Chamling Rai

Abstract planting stock production methods, managing diseases

Forest is the second largest land use in India next to and pests, introducing high-yielding clones, and
agriculture. Protection and management of the forests in introducing exotic species to increase forest productivity.
India have, at different points in the nation’s history, been The National Commission on Agriculture (NCA 1976),
under a set of rules and regulations by different dynasties. a division of the Ministry of Agriculture, proposed the
Forestry research in India is one of the oldest in the establishment of forestry education in India in 1976 with
tropical world. Indian forestry research was looked upon the goal of improving forest conservation, managing nat-
as a model for other countries in the region. When Forest ural resources, and safeguarding the environment. This
Departments were established in the several British proposal was later included in the National Forest Policy
provinces during the early 1960s, scientific forestry got of India (1988). India first launched university-level for-
its start in India. Dietrich Brandis’s appointment as the estry education at Solan, Himachal Pradesh, in 1976.
Inspector General of Forests in 1864 marked the start of Following this, forestry programs were introduced by
the scientific era in forest management. With the advent of numerous agricultural universities in 1985 under the aus-
scientific management of forests, it became clear that pices of the Indian Council of Agricultural Research
organized research was necessary to facilitate proper con- (ICAR) system (ICAR 2009). The nation’s knowledge of
servation and utilization of forests in India. Dehradun has biodiversity, ecology, and shared ground management can
been the center of forestry education since 1884, when be strengthened, diversified, and integrated with the sup-
Imperial Forest College was established, to train rangers port of forestry education. Similarly, ICFRE has been
and foresters. It later came to be known as the Imperial periodically formulating and updating the forestry exten-
Forest Research Institute, which was set up in 1906 by the sion strategy for the country. Recently the “Extension
Government of India for preparing a professional forestry Strategies in Forestry Research” was formulated for the
course of high standard for the officers. Forestry research country by ICFRE in 2011.
in Imperial Forest Research Institute during the Adopting comprehensive, cross-sectoral methods to
pre-Independence period had two broad disciplines, viz. research, teaching, and extension is necessary in light of
biological research and forest products research. The the rising environmental issues and rising global
biological research discipline had silviculture, botany, expectations from forests in the framework of the sustain-
and entomology as its various branches, which conducted able development goals. The nation has a largely good
experimental silviculture and statistical research, prepara- institutional framework in place to handle concerns related
tion of forest floras, and studies on forest insect pest. The to forestry research and teaching under the specialized
Indian Council of Forestry Research and Education, or missions of already-existing institutes. To guarantee suffi-
ICFRE, was established in 1986 as a national umbrella cient coverage of forestry concerns and to prevent dupli-
organization to handle the needs of the nation for forestry cation or overlap of efforts, these institutions’ inter-
research, teaching, and extension. Several significant sectoral coordination and networking must be improved.
accomplishments have been made since organized for- The historical development of scientific forestry is cov-
estry research in India first started. These include ered in this chapter, along with the main concerns of
introducing novel silvicultural techniques, improving forestry research, teaching, and extension in India.

H. S. Ginwal (✉) · K. C. Rai

Forest Research Institute, Dehradun, Uttarakhand, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 53
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_4
54 H. S. Ginwal and K. C. Rai

Keywords in 1842 when Conolly, the Collector of Malabar at the time,

established the first teak plantations at Nilambur with the help
Inspector General of Forests · Imperial Forest College · of an Indian, Chathu Menon, a Sub-conservator of woods.
National Commission on Agriculture · Van Vigyan The plantations had great success and gained international
Kendra renown over time (Shanmuganathan 1997). The Directors of
the East India Company realized that the south Indian forests
needed to be improved as a result of Conolly’s efforts. By
4.1 Historical Perspective inventing the Linear Valuation Survey, Brandis calculated
the current increasing stock in the forest for the first time in
Historically, India has always been famous for its vast wealth relation to their size classes. Comprehensive ring counting
of forests. The country had extensive tracts of wooded land was used to assess the rates of growth of teak. Even though
till the eighteenth century. Brandis in his famous book on Brandis started the process of creating a working plan for a
Indian Forestry noted that the total area of the British Indian few valuable woods, it moved very slowly, and, as a result,
Empire was 1,560,000 square miles with the number of just 0.0282 million hectares of government-owned forests
indigenous trees exceeding 1200 and 120 species of bamboo. were under scientific management.
He also mentioned the important feature of traditional for- Similarly, the National Commission on Agriculture (NCA
estry in India of setting up sacred groves that were numerous 1976) describes the beginning of scientific forestry in the
in Garo and Khasi Hills, the Devara Kadus of Coorg, and the early 60s of the last century with the creation of Forest
hill ranges of Salem district (Brandis 1897). During the early Departments in the various British provinces. The newly
British Rule, the Indian forest went through a massive enacted Indian Forest Act, 1865 required the forest officers
unprecedented destruction. According to Stebbing (1922), to inspect tree-clad lands and all hilly regions to demarcate
an imperial history of Indian woods, the British during this them followed by survey and mapping of suitable areas for
era were not familiar with the fundamentals of forestry sci- “reserved” or “protected” forests. Following this the National
ence. Everyone agreed that, as far as the materials needed Forest Policy of 1894, laid down some general principles on
from the forest were concerned, the forest was boundless. As which the forests were to be managed. The state forests were
a result, the rate of forest degradation increased throughout to be administered with the sole objective of public benefit.
the first few decades of British rule in India and was Therefore, the rights and privileges of the inhabitants residing
unchecked. Only when the government failed to provide in the forest fringes were of the utmost concern for the
local needs, such as lumber for shipbuilding, did it realize conservation and preservation of the forest.
how bad things really were. Since time immemorial, for the village dwellers all over
When Forest Research Institute (FRI), Dehradun, the country, the forests had always provided for their daily
commemorated the centennial of the Indian Forest Depart- needs, be it the fuel with which to cook their food or the small
ment in 1961 with a paper providing a comprehensive history timbers for building shelter and other farm equipment to
of forests prior to this time, scientific forestry reached its cultivate their land, etc. According to C.C. Wilson, a retired
centennial (FRI 1961). The majority of the country was Chief Conservator of Forests and member of the Indian
covered by forest, and most people lived there as forest Forest Service (IFS), when the decrease in the forest cover
dwellers, according to the journal. As agricultural production was first noticed in 1861, scientific forest management
increased in search of food and pasture for cattle, the forests became popular and forest conservation gained traction.
gradually began to disappear. Accessible woodlands suffered The Governor General at the time, Lord Dalhousie, issued a
during the early years of British rule because valuable timber memo on August 3, 1855, which became known as the
trees were cut down on a vast scale. The British realized “Charter of the Indian Forest” according to E.P. Stebbing. It
sooner rather than later that they would need lumber for the laid out the principles for managing forests, which were to be
Navy and the Empire, and that this would necessitate some treated as state property over which no community or indi-
sort of disruption. A commissioner was appointed in the vidual had any rights. As a result, the Forest Act of 1865 was
Malabar region in 1800 to investigate the supply of teak. passed, establishing the Forest Department and governing the
Watson was appointed Commissioner of Forests by the settlement, demarcation, management, and protection of
Madras government in 1806, with the responsibility of forests (FRI 1961). But it did not take long to see that, in
overseeing the production of teak and other timber fit for order to address the more pressing problems facing govern-
shipbuilding. ment and forest officials, a new and more extensive Forest
When Brandis was appointed as the Inspector General of Act was required. In 1869, Brandis drafted a measure that
Forests in India in 1864, the country entered a new era of Baden Powell amended upon in 1874. A final version was
scientific forest management. Nonetheless, the first known then developed and passed as the Indian Forest Act of 1878.
attempt to enhance and restore the nation’s woods was made This is perhaps the most significant event in more than
4 Forestry Research, Education, and Extension in India 55

100 years of scientific forestry in India, as this Act, though were required for the railway companies than developing
modified in 1927 by the Central Government and amended forestry as a new area of scientific research. Till the 1850s,
by several states, continues to be the central piece of legisla- the colonial government through various sporadic
tion governing forest management. proclamations and regulatory rules had asserted its sover-
There was lot of opposition to the newly formed policies eignty over the forests. For the sake of forest management,
of the Government by the forest dwellers, who had lived in the majority of easily accessible woods with “valuable” trees
these forests for centuries. Forests being an integral part of like teak, sandal, etc. were taken over. But when the railroads
their lives were managed and owned by these communities, arrived in 1853, everything suddenly changed. The founda-
mainly tribal people. The colonial forest policies made them tion of colonial rule was the railway system, which required
an outsider in their own land. Their customs were outlawed wood for sleepers to create the lines and as fuel for the
everywhere they could be found to be counterproductive to locomotives. Right up to the end of the nineteenth century,
science. The tribal people rebelled against the colonial firewood served as the primary fuel for railroads. Control
government’s encroachment on their territory as a result. over all of India’s forests became essential to satisfy railroad
The movements for civil disobedience and non-cooperation needs. Due to the current policies and programs for forest
are two major points of criticism to modern forestry. The conservation, the supply of timber was not guaranteed until
Indian National Congress issued a number of resolutions that 1857. The various railway firms’ substantial sleeper
effectively expressed the public’s disapproval of the unfair requirements made the topic of forest conservation a crucial
forest laws and the cruel forest management practices administrative issue. Around this crucial time, Forestry
(Stebbing 1926). The National Forest Policy Resolution Research Institute and College in Dehradun was set up by
(1952) of the Government of India (GOI) essentially the government. Initially, the institute was the place where
reaffirmed the methods and objectives of forest management forest rangers and other foresters were trained. Later, FRI and
that had been established by the British during the preceding College became the ground where forest research became
100 years or so, refusing to acknowledge the inefficiencies associated with forest education with the goals of research,
and injustice inherent in the forest policy. Much of the credit maintenance, and improvement of forest estates; methods of
of framing the new policy is given to M.D. Chaturvedi, the improved utilization of the expensive resources of timber;
first Indian Inspector General of India (1949–1954) (FRI education of young men in order to equip them to work and
1961). administer the work, etc. The institution did not concern itself
for the commercial advancement of any particular material or
product but being devoted to applied research, economic
4.2 Inception of Scientific Forestry in India considerations naturally governed all its investigations. Fur-
ther to ensure the sustainability of the work, the research
Dietrich Brandis, the first Inspector General of Forests in work was divided into five heads: (1) Silviculture, (2) Forest
India, established the Indian Forest Department in 1864, Entomology, (3) Forest Utilization, (4) Forest Botany, and
which gave rise to the idea of scientific forestry. In order (5) Forest Chemistry. Therefore, in the first phase the idea of
for the new department to operate efficiently, legislation was scientific forestry, which in theory aimed to protect Indian
required, and in 1865 the first Forest Act was approved. This forests, was in reality implemented to extend the research
Act allowed the government to regulate the use of forest activities to have a proper extraction of usable trees and other
resources through legislation, but it did not maximize forest products, and here lies the true dichotomy of forest
resource optimization. Reserved woods, protected forests, research in theory and forest preservation system in practice.
and village forests were the three categories into which the The inception of scientific forestry led to a phenomenal
forests were divided by the more detailed second Forest Act growth in forest revenue. The revenue for India during the
of 1878. This classification would not have been possible but year 1937–1938 was Rs. 30.19 million, which increased to
for Dietrich Brandis, who drafted the first Forest Acts and Rs. 124.37 million at the end of WWII in 1944–1945. The
initiated control over the forest resources as well as extended revenue generated from the forest on the eve of Independence
research activities in the highly heterogeneous forest areas in in 1946–1947, was Rs. 104.80 million. During the first
India. Further in 1894 when the forest map was clearer to the 20 years after the enactment of the Forest Act, the total area
Government, the classification for protection became more of government forest was raised to over 100,000 square
effective. The forests that were to be preserved on climatic miles, from a total area of 14,000 sq. miles. This can be
ground, forests to be protected to ensure supply of minor considered as the greatest achievements of the Forest Depart-
forest products, and forests to be used as pasture lands were ment (Stebbing 1923).
divided. Forestry as a science was already prevalent in Europe with
Initially the interest in forestry research in India was more countries such as Germany and France having established
concerned with revenue extractions as large timber woods private forestry schools in the early seventeenth century
56 H. S. Ginwal and K. C. Rai

(Chaney et al. 1998). After the colonization of India by the paper, composite wood, wood seasoning, wood preservation,
British, the changes in the general policy of resource use, wood working, and chemistry of forest products as its
most notably forest, led to the formation of the Forest Depart- branches. The forest products research was given a priority
ment in 1864 (Lawbuary 1999). With the advent of scientific so as to meet the demands of supply during the First and
management of forests, it became clear that organized Second World Wars, which worked with government
research was necessary to facilitate proper conservation and departments (railways, defense) as well as forest-based
utilization of forests in India. Management of forest in the industries to provide suggestions related to forest utilization.
colonial past was mainly aimed at consolidation of forests After Independence, the research facilities were broadened to
through various enactments and their conservation, besides encompass the increasing research requirements in the coun-
utilization for various developments and needs of war. try for the proper implementation of forest development
Dehradun has been the center of forestry education since programs. Subsequently some research sections were made
1878 when the Government of the North-West Province independent branches and a few branches were added, viz.
laid the cornerstone for a Forest School to train rangers and Forest Ecology (1948), Publicity and Liaison (1950), Statis-
foresters. Only Europeans were initially eligible to apply for tics (1950), Timber Engineering (1953), Forest Genetics
gazetted positions, and Indians were not allowed to join the (1957), and Plant Physiology (1958) (Singh 2017). For a
provincial gazetted service until after 1912. When the school long time, FRI was the only research center catering to all
was given to the Government of India in 1884, it was called the State Forest Departments (SFDs) in the country. Later it
the Imperial Forest College. Later on, it gained recognition as was considered necessary to establish regional research
the Forest Research Institute for providing officers with a centers (RRCs) of FRI to cope with the demands of the
top-notch professional forestry training. After the Indian SFDs. The RRCs would supplement the research work of
Agricultural Research Institute, which was founded in 1901, the FRI by focusing on the local problems. With the estab-
it was historically the second central research institute to be lishment of the Indian Council of Forestry Research and
formed by the Indian government (Ranganathan 1950). It Education (ICFRE) and the transfer of responsibility for
was established in 1906. The establishment of the Forest forest research, education, and training to this Council, a
Research Institute in Dehradun provided a significant boost comprehensive reorganization of forestry research across
to the forestry sector’s efforts to maximize industrial growth. the nation was initiated in 1986. Along with the Forest
In November 1929, the Institute moved into a new £750,000 Research Institute, the RRCs were elevated to research
structure, which was dedicated by Viceroy Lord Irwin at institutions under the ICFRE, each with a distinct scientific
the time. and administrative mandate.
The forestry research suffered in the mid-war period when
the demand for timber increased. This was the phase when
4.3 Forestry Research the development of homogeneous forest came into preva-
lence and it affected the forests of India, which was heterog-
India is home to some of the oldest tropical forestry research enous with a large number of species yet to be explored at the
projects worldwide. Other nations in the region looked to time. Single-variety plantation with a high return within a
Indian forestry research as a model. Among the notable short period of time became the utmost aim of the research
accomplishments were guidelines for creating working activities. The uncertain political future also affected the
plans for a range of high and coppice forests, yield foresters in this time. Many of them, like Harry Champion,
regulations, yield and volume tables, thinning techniques, who was involved in the Indian forest service as silviculturist
and similar things (Singhal et al. 2003). Prominent for long, left their job and returned to their home country. In
publications like Troup’s Silviculture of Indian Trees, addition to this, the traditional knowledge of the people for
Beeson’s Forest Insects, and Kanji Lal’s Forest Floras, as protecting the forest was wholly neglected and the concept of
well as by Talbot Brandis, Mooney, and others attest to the Joint Forest Management program, which was propagated by
high caliber and extreme dedication of Indian forestry study Sir Dietrich Brandis much earlier, was completely ignored.
(Singhal et al. 2003).
Forestry research in Imperial Forest Research Institute
during the pre-Independence period had two broad 4.3.1 Forestry Research After Independence
disciplines, viz. biological research and forest products
research. The biological research discipline had silviculture, After the liberation of India, forestry research was still largely
botany, and entomology as its various branches that neglected in the initial years. In fact, the forest department
conducted experimental silviculture and statistical research, was controlled by the Ministry of Agriculture just after the
preparation of forest floras, and studies on forest insect pest. Independence. Some significant moves were made to reorga-
Forest products research had timber mechanics, cellulose and nize the nation’s forestry research and education in the
4 Forestry Research, Education, and Extension in India 57

mid-1980s, keeping this in mind as well as the new (MoEF 1986). Under the former Ministry of Environment
tendencies in forest management. To satisfy the expectations and Forests (MoEF), the ICFRE was established as an auton-
of the State Forest Departments, regional research centers of omous council in 1991 and registered as a society under the
FRI were established in various regions. At a conference in Societies Registration Act, 1860. ICFRE is currently the
1956, the Central Board of Forestry (CBF) Expert Committee highest authority in the national forestry research system,
advocated the creation of Regional Research Centers (RRCs) promoting and carrying out need-based forestry research
to concentrate on local problems and support the FRI’s and extension. It has its headquarters in Dehradun. With its
research efforts (Expert Committee 1956:61–62; GoI 1957: five centers spread across various bio-geographical regions of
30). The purpose was to have one RRC in each region, i.e., the nation and its nine regional institutes, the Council has a
the central, eastern, and southern regions, with FRI handling widespread presence throughout India (Table 4.1). The
the research work of the northern region. Out of the four research institutes at the time of their creation framed
RRCs, two were established in southern region in Bangalore mandates within the purview of which they could formulate
and Coimbatore. The RRC in Bangalore was established in their research programs.
1958 and had its origins in the Forest Research Laboratory The Council’s goals are to conduct, support, encourage,
started by the erstwhile Mysore State in 1938. In Coimbatore, and organize forestry research and its applications as well as
the RRC was established in 1959 by adding a biological education. It also hopes to create and maintain a national
research wing to the Southern Forest Rangers College library and information center for allied sciences and forestry
(Singh 2017). Two RRCs, one each at Jabalpur and Burnihat, research, serve as a clearinghouse for general information and
were established to meet the research requirements of the research, and offer consulting services in the areas of allied
central and eastern Indian states, respectively. sciences, education, training, and forestry research. The
In addition, a number of forestry and associated ICFRE Society oversees the Council’s operations. The
institutions were founded or restructured, and they are crucial Council’s Board of Governors (BOG) is in charge of
to the effective management of the resources related to forests planning, managing, and funding it. The Council’s chief
and animals. Below is a quick summary of significant executive is the Director General (DG), ICFRE. The IFS
national-level organizations. and SFS (State Forest Service) officers joined on deputation
for specific tenures, while the permanent cadre of scientists
and technical workers comprise the scientific, technical, and
4.3.2 Indian Council of Forestry Research administrative personnel of the Council. Through the
and Education (ICFRE) operationalization of the National Forestry Action
Programme (NFAP) and National Forestry Research Plan
In order to handle the nation’s demands for forestry research, (NFRP), the Council hopes to contribute to initiatives
education, and extension, the Indian Council of Forestry aimed at increasing the forest and tree cover as well as
Research and Education (ICFRE) was established in 1986 improving the productivity of forests (ICFRE 2000). In

Table 4.1 List of research institutes and advanced centers of ICFRE

S. no. Name of institute/center Location
Research institute
1. Arid Forest Research Institute (AFRI) Jodhpur
2. Forest Research Institute (FRI) Dehradun
3. Himalayan Forest Research Institute (HFRI) Shimla
4. Institute of Forest Biodiversity (IFB) Hyderabad
5. Institute of Forest Genetics and Tree Breeding (IFGTB) Coimbatore
6. Institute of Forest Productivity (IFP) Ranchi
7. Institute of Wood Science and Technology (IWST) Bengaluru
8. Rain Forest Research Institute (RFRI) Jorhat
9. Tropical Forest Research Institute (TFRI) Jabalpur
Advanced center
1. Advanced Research Centre for Bamboo and Rattans (ARCBR) Aizawl
2. Centre for Forest Livelihood and Extension (CFLE) Agartala
3. Centre for Forestry Research and Human Resource Development (CFRHRD) Chhindwara
4. Centre for Social Forestry and Eco-Rehabilitation (CSFER) Allahabad
5. Forest Research Centre for Coastal Ecosystem Visakhapatnam
58 H. S. Ginwal and K. C. Rai

addition, the Council earns its own funds through patent 4.3.4 Wildlife Institute of India (WII)
registration, externally funded programs, user agency
consultations, and research projects. The Wildlife Institute of India (WII) had to be established in
Numerous significant accomplishments have been made 1982 in order to properly handle research pertaining to wild-
since organized forestry research in India first got underway. life. It was given autonomy in April 1986 and given the
These include the introduction of high-yielding clones and responsibility of training a group of scientists for nature
exotic species suitable for various physiographic zones of the conservation, qualified wildlife managers, and field biologists
nation to meet the growing needs of the wood-based who could gather data on wildlife and protected areas for
industries for raw materials, as well as to increase the amount management purposes. It provides guidance to the govern-
of forest cover and tree cover. They also include the scientific ment on issues pertaining to wildlife resource management
management of non-timber forest products (NTFPs) to and conservation. Primary sources of scientific data, field
address the livelihood concerns of the communities that live sites, are the focus of research programs carried out by WII
near the forest and in the forest, the value addition of NTFPs, around the nation. In addition to offering a 2-year postgradu-
and the endeavor to bring research inputs from the laboratory ate (PG) program on wildlife management, it also offers a
to the field. The major research outputs of ICFRE and state nine-month postgraduate diploma program on wildlife man-
forest research organizations include silvicultural practices agement for forest officers, which is open to applicants from
for a large number of species, agroforestry models, tree overseas. It also organizes three-month certificate course on
improvement work in general and of multipurpose tree spe- wildlife management.
cies in particular, improved methods of resin tapping, wood
seasoning and ammonia plasticization technique for bending
of wood for commercial uses, development of cost-effective 4.3.5 The Forest Survey of India (FSI)
wood preservatives, extraction processes of chemicals from
woods, development of bio-pesticides and natural dyes, tech- The Forest Survey of India (FSI) was established in June
nology for reclamation of degraded lands, development of 1981 with the intention of providing data for national
machines and tools for implementation of various forestry planning, conservation, and management of environmental
operations including firefighting tools and implements, eval- preservation as well as for the purpose of routinely monitor-
uation of physical and mechanical properties and identifica- ing the changing state of land and forest resources. In 1986,
tion of timber of various species, and preparation of volume, following an evaluation of its operations, the FSI underwent a
stand, and weight tables for different species. reorganization. Every 2 years, FSI prepares a comprehensive
State of Forest Report (SFR) that includes a national forest
4.3.2.1 Thrust Areas of ICFRE vegetation map. It also gathers, stores, and makes available
Thrust areas and themes identified by ICFRE (ICFRE the data related to forestry that are needed for planning and
2013) for categorization of various projects are presented in designing methods related to forest surveys. Finally, it
Table 4.2. provides training on contemporary forest survey inventory
systems and supports and supervises the inventory work
carried out by State Forest Departments (SFDs). The Director
4.3.3 Indian Institute of Forest Management is in charge of the FSI, which has its main office in Dehradun.
(IIFM) In addition to IFS officers and Indian Statistical Service
officers appointed through deputation, the administrative
Indian Institute of Forest Management (IIFM), Bhopal, was and technical staff consists of a permanent cadre of technical
established in 1982 to undertake research on forest- and administrative workers. FSI has four regional offices: one
management-related issues, which was not handled by Forest each in Bangalore, Kolkata, Nagpur, and Shimla. Organizing
Research Institute, Dehradun. The objectives of the institute fieldwork to gather inventory data, interpreting aerial photos,
are to provide training in management and related subjects to and carrying out studies on wood use are some of the main
persons and personnel of forest-related industries with a view responsibilities of regional offices. The MoEF has direct
to equipping them to practice the art and profession of man- administrative authority over the FSI.
agement, in a most effective and efficient manner, prepare In the formative years, research in the field of forestry was
outstanding talented persons for careers leading to manage- conducted at FRI and other institutes under the directive of
ment responsibilities in forestry and forest-related systems, ICFRE. Later on, the forestry research started to be
provide up-to-date information on forest management, and undertaken in several state institutes and State Agricultural
carry out research in matters concerning the use of manage- Universities (SAUs) of ICAR. The researches that were
ment and allied techniques and methods conducive to the required to be conducted in laboratories were done by these
development of forestry. institutes and SAUs, which are otherwise difficult to be
4 Forestry Research, Education, and Extension in India 59

Table 4.2 Thrust areas and themes for categorization of research projects
Thrust areas Themes
A. Research
1. Managing forest and forest products for livelihood support and 1. Silviculture
economic growth 2. Social forestry, agroforestry, farm forestry
2. Biodiversity conservation and ecological security 3. Sustainable forest management (SFM)
3. Forests and climate change 4. Forest economics
4. Forest genetic resources management and tree improvement 5. Forest biometrics and yield modeling
6. Participatory forest management
7. Wood science and technology
8. Chemistry of forest products
9. Wood based industries
10. NTFPs resource development
11. Bio-prospecting and bio-piracy
12. Seed science and technology
13. Forest certification
14. Forest hydrology
15. Food security
16. Bio-fuels and Bio-energy
17. Integrated pest and disease management
18. Application of microbes in forestry
19. Weeds and invasive species
20. Forest fire and grazing
21. Bio-informatics and geo-informatics
22. Policy and legal issues
23. Biodiversity conservation
24. Forest botany
25. Ethnic and traditional knowledge systems
26. Forest soils and land reclamation
27. Wetland and marine ecology
28. Watershed management
29. Climate change and forests
30. Forest ecology
31. Conservation of forest genetic resources
32. Tree improvement
33. Vegetative propagation
34. Biotechnology
35. Environment management
B. Forestry education
Forestry education and policy research to meet emerging challenges 1. Improving formal forestry education
2. Accreditation of universities
3. Networking forestry education with research and extension
4. Capacity building of scientific and management cadre
C. Extension
Forestry extension for taking research to people 1. Collection, compilation, and publication of forestry reports/
journals
2. Dissemination of developed technologies
3. Evolving and coordinating comprehensive extension strategies in
forestry research
4. Consultancy services

performed in by the State Forest Departments (SFD) (Singh Parvatiya Krishi Anusandhan Sansthan, Almora; (8) Central
2017). Some of the major research institutes of ICAR Research Institute for Dryland Agriculture (CRIDA),
involved in forestry research include: (1) Indian Grassland Hyderabad; and (9) Central Agricultural Research Institute
and Fodder Research Institute (IGFRI), Jhansi; (2) Central (CARI), Port Blair. Apart from the institutions under the
Agroforestry Research Institute (CAFRI), Jhansi; (3) Central ICFRE and ICAR, a number of other government and semi-
Arid Zone Research Institute (CAZRI), Jodhpur; (4) Central government organizations are directly or indirectly involved
Soil Salinity Research Institute (CSSRI), Karnal; (5) Central in forestry research. Kerala Forest Research Institute, Peechi,
Soil and Water Conservation Research and Training Institute, and State Forest Research Institute, Jabalpur, are the two
Dehradun; (6) ICAR Research Complex for North Eastern State Government institutes that have contributed signifi-
Hills Region (ICAR-RC-NEH), Shillong; (7) Vivekananda cantly to research in tropical forestry and biodiversity
60 H. S. Ginwal and K. C. Rai

conservation. There are still some other institutes like Botan- university forestry education system. It is necessary to design
ical Survey of India (BSI) or the Zoological Survey of India new courses in the framework of sustainable development in
(ZSI) that conduct research on forestry-related issues to gen- a way that is socially, economically, and environmentally
erate information to supplement the work done by ICFRE sound. In order to improve the planning of the forestry
institutes. education system in India, new views on forestry education
Private sector forestry research includes some paper mills should be pursued in order to eliminate the discrepancies
with R&D departments that conduct research to meet their between the current system and national requirements of
specific needs, such as Andhra Paper Limited, Ballarpur forestry professionals/scientists and teachers (Quli et al.
Industries, ITC Bhadrachalam Paper Boards, JK Paper 2013).
Mills, Tamil Nadu Newsprint and Papers Limited, and West
Coast Paper Mills. Research on forestry and agroforestry is
also conducted by several non-governmental organizations 4.3.7 Professional Forestry Training
(NGOs).
Forestry training and education was kept directly under the
MoEF and was split into two parts, i.e., training for IFS and
4.3.6 Forestry Education in India SFS, and training of forest rangers (Singh 2017). National-
level organizations took up the responsibility to train and
In 1878, a college of forest rangers was established in educate personnel and people to efficiently manage and han-
Dehradun to provide a two-year professional forestry training dle problems related to forest and wildlife resources. In 1938,
program. This marked the beginning of forestry education in Indian Forest College was founded in Dehradun with the
India (Arunachalam and Pandey 2019). As part of the third purpose of training Forest Service officers. In May 1987,
National Forest Policy of India, 1988, the National Commis- this college underwent an overhaul and was renamed the
sion on Agriculture (NCA), housed within the Ministry of Indira Gandhi National Forest Academy (IGNFA), serving
Agriculture, Government of India, recommended forestry as a staff college for the IFS under the Ministry of Environ-
education in order to improve forest conservation, manage ment and Forests’ administrative supervision. The Academy
natural resources, and safeguard the environment (Dhaka and acts as the top institution for forestry personnel capacity-
Choudhari 2018; Arunachalam and Pandey 2019). The building and trains a cadre of capable forest officers to man-
National Forest Policy (1952) should be revised, and forest age India’s forest resources. For officers at different levels of
science should be taught in agriculture and other universities, seniority, the Academy arranges forestry professional intro-
according to the recommendation. The NCA also suggested duction training courses, skills-upgradation courses for pro-
that an organization be founded to advance forest science and moted IFS officials, and several regular in-service refresher
education in India. According to the National Forest Policy of courses, training workshops, and seminars. The Academy has
1988, forestry was acknowledged as a professional and sci- hosted several international trainers and trainees who have
entific field. Prior to this, forestry education was governed by completed professional courses. Additionally, the Academy
the Indian Council of Agricultural Research (ICAR), which is strengthening the forestry industry’s capability for knowl-
began in 1985, and forestry education started in about edge management.
14 State Agricultural Universities (SAUs) throughout the The MoEF served as the cadre-governing authority when
nation (Arunachalam and Pandey 2019). the Indian Forest Service (IFS) was established in July 1966
In terms of forestry education, 31 universities currently as an All-India Service pursuant to the All-India Services
provide Undergraduate (UG), Postgraduate (PG), and Doctor (AIS) Act, 1951. The Forest Department is organized into
of Philosophy (PhD) programs in forestry. An estimated four hierarchical levels: field executive staff (which includes
1500 graduates in forestry from various Indian states gradu- deputy range officers, foresters, and forest guards), SFS,
ate on average each year (Arunachalam and Pandey 2019). FROs, and IFS. The Union Public Service Commission’s
The Forest Research Institute, out of all the institutes, has (UPSC) annual all-India competitive examination serves as
come to represent forestry research and education in India. the foundation for the IFS recruiting process. After being
On the advice of the University Grants Commission (UGC), chosen, the officers attend the IGNFA in Dehradun for pro-
Ministry of Human Resource Development, Government of fessional training before being assigned to states or joint
India, FRI was designated as a deemed university in 1991. In cadres in accordance with the shared policies for the three
order to enhance India’s forestry workforce, FRI, Dehradun, AIS. Every 5 years, the GOI reviews each cadre’s strength
launched PhD and postgraduate programs in forestry and and makeup after consulting with the relevant states.
related fields. Under the direct administrative jurisdiction of the MoEF,
The lack of adequate funding and people with the neces- the Directorate of Forest Education, housed on the FRI cam-
sary educational credentials has negatively impacted India’s pus, is in charge of providing induction training for direct
4 Forestry Research, Education, and Extension in India 61

recruit officers of the State Forest Service (SFS) and Forest promotion from SFS through seniority-cum-merit selection.
Range Officers (FROs). For the SFS officers, Forest Range The SFS officers oversee territorial or functional forest
Officers (FROs), and frontline staff (Deputy FROs, foresters, divisions as Divisional Forest Officers (DFOs), or they are
and forest guards), the Directorate also arranges short-term posted as assistant conservator of forest (ACFs) on various
in-service training courses, training workshops, and seminars functional postings in the SFDs.
at the colleges under its jurisdiction and in the State Forest
Training Schools (SFTSs) across the nation. The Directorate
supports State Government efforts to enhance the capabilities 4.3.8 Forestry Extension
of frontline forest workers. Currently, the Directorate of
Forest Education oversees one Central Academy of Forest Extension is regarded as a kind of instruction that is not
Education (CAFÉ) at Kurseong, West Bengal, and three formal. Techniques of forestry extension spread technology
Central Academies for State Forest Service (CASFoS) at and essential knowledge to the intended target audiences.
Dehradun, Coimbatore, and Burnihat. Furthermore, the Extension, in its broadest definition, refers to a method of
Directorate possesses technical supervision over the schools education that links, informs, and persuades individuals.
of the Rangers. Information sharing between farmers and other resource
In the beginning, from 1971–1973 to 1973–1975, training users, researchers, administrators, managers, and leaders is
for State Forest Service officers was done in tandem with made easier by it. Extension efforts have a wide range of
training for Indian Forest Service probationers. Subse- goals, which are determined by the goals of the project or
quently, additional courses were arranged separately for program. Project-specific objectives include things like
Indian Forest Service probationers starting in 1976–1978. A establishing tree nurseries, overseeing block plantations,
distinct college for the training of State Forest Service and promoting agroforestry practices, among other things.
officers was established in May 1976 at Burnihat, Assam, On the other hand, the general goals of extension systems
following the division of the State Forest Service and Indian can be summed up as follows: sharing knowledge, offering
Forest Service classes. In January 1980, a second State Forest technical forestry skills, promoting local involvement, and
Service college was established at Coimbatore to meet the achieving a project’s tangible goals. Forestry extension is an
growing need for State Forest Service officers who were important vehicle for expansion of forest resources in the
trained. The third State Forest Service college was subse- country, and a tool for forest resources conservation and
quently established in May 1981 in Dehradun. The Central development.
Academy for State Forest Service (CASFoS) is the current In order to provide technology packages, including suit-
name for these colleges. able models, to the target groups—farmers, State Forest
The Directorate also has eight accredited institutions Departments, industries, craftsmen, craftspeople, etc.—the
operating under it, viz. (1) Forest Training Institute and ICFRE maintains a fully functional Directorate of Extension.
Rangers College (FTI&RC), Sundernagar, Himachal The Directorate develops comprehensive extension strategies
Pradesh; (2) Gujarat Forest Rangers College (GFRC), and oversees the numerous extension initiatives of ICFRE
Rajpipla, Gujarat; (3) Karnataka State Forest Academy institutions and centers. Additionally, it offers consulting
(KSFA), Gungaragatti, Dharwad; (4) Kundal Academy of services in areas such as environment management. The
Development, Administration and Management (KADAM), Directorate is tasked with transferring technology through a
Kundal, Maharashtra; (5) Odisha Forest Rangers College variety of publications, including yearly reports, the network
(OFRC), Angul; (6) Tamil Nadu Forest Academy (TNFA), of Demo Villages (DVs) and Van Vigyan Kendras (VVKs),
Coimbatore; (7) Telangana State Forest Academy (TSFA), the organization of Tree Growers’ Melas (TGMs) and the
Hyderabad; and (8) Uttarakhand Forestry Training Academy networking of VVKs with Krishi Vigyan Kendras (KVKs) of
(UFTA), Haldwani, Uttarakhand. All these institutes conduct ICAR, and the development of technology demonstration
induction training of Forest Guards and Range Forest centers.
Officers and refresher courses to in-service forest personnel. The nation’s forestry extension strategy has been devel-
One of the top civil services in the states and union oped and updated on a regular basis by the Directorate of
territories (UTs), the State Forest Service is second in com- Extension at ICFRE. The Directorate previously produced
mand. Officers are recruited through their respective State papers for ICFRE such as the “Forestry Research Extension
Public Service Commissions (PSC) in accordance with state- Programme” in 2000 and the “Extension Strategies in For-
specific recruitment regulations, and roughly half of them are estry Research” in 2011. These initiatives sprang from
promoted from the FRO grade. The SFS colleges are in discussions based on real-world forestry extension
charge of organizing the professional induction training. experiences. ICFRE has also periodically developed exten-
Being a feeder service for IFS, SFS fills one-third of the sion programs like Tree Grower Mela and Direct to Con-
positions in the IFS in any state or UT cadre through sumer to address the issues in the forestry extension sector.
62 H. S. Ginwal and K. C. Rai

ICFRE recently created an extension strategy and action plan 4.4 Way Forward
for the nation based on technology, which will be
implemented over the course of 5 years, from 2018 to 2023. India is blessed with a wide variety of forest types, from tropical
In addition, the extension divisions of the regional ICFRE thorn forests in central and western India to tropical wet ever-
institutes act as a liaison between the organization and green forests in the northeast. Despite being the second most
stakeholders and end users, bolstering the findings of the extensive land use in India after agriculture, accounting for
research that ICFRE scientists conduct on many forestry- roughly 23.57% of the country’s total land area (as of 2001),
related topics. As part of their extension activities, the forestry’s contribution to GDP is negligible (only 1.1%). An
divisions have been organizing and carrying out short-term estimated 41% of the nation’s forest cover has seen some level
training programs as well as specially designed courses for of degradation. According to MoEF&CC (2007), up to 78% of
various stakeholders. A number of exhibitions have also been the forest area is prone to excessive grazing, and 50% of the
planned to raise public awareness and highlight the division’s forest area is vulnerable to forest fires. One of the main causes
accomplishments. ICFRE institutes have set up Van Vigyan of forest degradation in the majority of the nation is a mismatch
Kendras (VVKs) and Demo Villages under the extension between the supply and demand for forest products. The
program to assist user groups in States and UTs in accessing demand for fuel wood and lumber in the country is far more
the most recent technical know-how. than what can be sustained. India has established a voluntary
Since the Green Revolution, India’s agricultural output goal to achieve 12 National Biodiversity Targets (NBTs), attain
has increased several times, resulting in agricultural self- land degradation neutrality on 26 million hectares of land, and
sufficiency. It was a coordinated effort involving support trap 2.5 billion tons of carbon dioxide through increased forest
for extension, research, and policy. In the forestry sector, and tree cover by 2030. Forest resources are under tremendous
comparable advancements are still pending. Despite the strain for agriculture output, forest use, water utilization, and
greatest efforts of the ICFRE institutions, the forest depart- other environmental services due to the expanding population
ment, non-governmental organizations, and forestry and rising societal expectations. As a result, the forests’ degra-
universities, the pace of technology transfer and information dation and loss of the products and services they once provided
penetration among users remains slow. The primary cause of continue. Adopting comprehensive, cross-sectoral methods to
this seems to be a shortage of skilled labor and ongoing research, teaching, and extension is necessary in light of the
financial support. When compared to the size of the clientele rising environmental issues and rising global expectations from
that needs their services, the number of forestry extension forests in the framework of the sustainable development goals.
employees is woefully inadequate. In order for forest To meet demand, stress areas must be cultivated and the amount
managers to tackle the current situation, better data, analysis, of forest produce produced from currently accessible land must
and research are needed. The spread of the services has long be increased. Under these circumstances the research should be
been limited by inadequate funding for extension programs. linked with the ongoing programs on tree management.
It is necessary to reinforce the extension and information- A few of the top research areas that need immediate
dissemination system, which includes resources and attention are: creating models for farm forestry and agrofor-
techniques for sustainable development and conservation, estry; creating productive and adaptable varieties; managing
farming and management, harvesting, and processing forest forest fires; involving the community in Joint Forest Manage-
products. The needs and interests of the populace must be the ment; revitalizing and maintaining India’s Preservation Plots;
foundation of extension activities. Micro programs must be quantifying the ecosystem services provided by forests;
created in accordance with needs that vary among people, studying regeneration in various forest types; studying
communities, states, and blocks. It is usually preferable to use hydrology in forests; studying the eradication of exotic inva-
a participatory method to extend forestry projects that guar- sive species; and forestry extension. It is necessary to conduct
antee people’s active engagement. For the successful, timely, research and incorporate findings from forest management
and economical transfer of technology to users, forestry into understanding how climate change affects the structure
extension is essential. Institutional capacity-building and and functions of forests. For India’s forestry research and
continuous extension training programs for forest department education needs, research and development funds must be
personnel, industries, and other stakeholders are needed for established.
better forestry extension service. In order to create high-quality planting material and trans-
mit technology, relationships between research institutes,
4 Forestry Research, Education, and Extension in India 63

state forest departments, and the business sector must be Agriculture’s National Commission on Agriculture (NCA
established. Services for forestry extension must be improved 1976) recommended starting forestry education in India.
or enhanced. These services ought to be focused on assisting This idea was duly included in the National Forest Policy
rural communities in expressing their needs, environmental of India, 1988.
issues, and opinions about potential fixes for problems that • The Indian Forest Service was created in July 1966, as an
have been identified. The nation has a largely good institu- All-India Service under the All-India Services (AIS) Act
tional framework in place to handle concerns related to for- 1951, with the MoEF becoming the cadre-controlling
estry research and teaching under the specialized missions of authority.
already-existing institutes. To guarantee proper coverage of • The State Forest Service is the second-in-command
forestry concerns and to prevent duplication or overlap of among the top civil services in the states and UT. May
efforts, these institutions’ inter-sectoral coordination and net- 1976 saw the opening of a college in Burnihat, Assam, to
working must be improved. Additionally, it is necessary to train State Forest Service staff. In January 1980, a second
improve human resources and increase the capacity of for- State Forest Service college was established at
estry employees. Coimbatore to meet the growing need for State Forest
Service officers who were trained. In May 1981, the
Lessons Learnt third State Forest Service College was subsequently
• In 1864, the Imperial Forest Department was established established in Dehradun. The Central Academy for State
by the British India Government. Dietrich Brandis, a Ger- Forest Service (CASFoS) is the current name for these
man forest officer, was named Inspector General of colleges.
Forests in 1866. The Imperial Forest Service was • ICFRE has been developing and revising the nation’s
established in 1867 after it was realized that a first-rate forestry extension strategy on a regular basis. “Extension
forest service was required to oversee the nation’s diverse Strategies in Forestry Research” were developed by
natural resources and coordinate the operations of the ICFRE for the nation in 2011.
Imperial Forest Department.
• In order for the new department to operate efficiently, Key Questions
legislation was required, and the first Forest Act was 1. What do you understand by Scientific Forestry? Who
approved in 1865. Reserved woods, protected forests, started Scientific Forestry in India? Describe its impor-
and village forests were the three categories into which tance to Indian context.
the forests were divided by the more detailed second 2. When was the first Indian Forest Act enacted, and what
Forest Act of 1878. were its main features?
• Since 1878, when the North-West Province government 3. When was the Forest Research Institute and colleges
set the groundwork for a Forest School to train rangers and established in India? What were the areas initially it
foresters, Dehradun has served as the hub for forestry started working on?
education. In 1884, the school changed its name to Impe- 4. What do you understand by ICFRE? What are its main
rial Forest College. It later came to be known as the Forest objectives, role, and functions in the country?
Research Institute for conducting professional forestry 5. Describe the structure and function of professional for-
course for the officers. After the Indian Agricultural estry training in India.
Research Institute, which was founded in 1901, it was
historically the second central research institute to be
formed by the Indian government in 1906. References
• The Indian Council of Forestry Research and Education,
or ICFRE, was established in 1986 as a national umbrella Arunachalam A, Pandey L (2019) Transforming forestry education for
better job prospects. Curr Sci 117(5):748–752. https://doi.org/10.
organization to handle the needs of the nation for forestry
18520/cs/v117/i5/748-752
research, education, and extension. ICFRE, which has its Brandis D (1897) Indian forestry. Oriental Institute, Woking
headquarters in Dehradun, is currently the highest author- Chaney WR, Pope PE, Edlin HL (1998) Encyclopaedia Britannica,
ity in the country’s forestry research system, promoting s.v. “Internet.” Encyclopaedia Britannica, Chicago. https://www.
britannica.com/science/forestry. Accessed 8 June 2020
and carrying out need-based forestry research extension.
Dhaka RK, Choudhari CK (2018) Forestry education in India:
With its five centers spread throughout various objectives, needs, current status and recommendations. Pharma
bio-geographical regions of the nation and its nine Innov J 7(12):320–324
regional institutes, the Council has a widespread presence FRI (1961) One hundred years of Indian forestry, vol II. Forest Research
Institute, Dehradun
throughout India.
ICAR (2009) New and restructured post-graduate curricula and syllabi
• In order to improve forest conservation, manage natural of forestry. Indian Council of Agricultural Research, New Delhi
resources, and safeguard the environment, the Ministry of
64 H. S. Ginwal and K. C. Rai

ICFRE (2000) ICFRE National Forestry Research Plan, vol 1. Indian Ranganathan CR (1950) Forest research and education in India.
Council of Forestry Research and Education, Dehradun Unasylva 4(3). https://www.fao.org/3/x5356e/x5356e04.htm#forest
ICFRE (2013) ICFRE -Vision 2040. ICFRE Publication. Publisher - %20research%20and%20education%20in%20india. Accessed
Director General, Indian Council of Forestry Research and Educa- 27 Jan 2021
tion, Dehradun, India. Shanmuganathan K (1997) Nilambur teak—the history and a resume of
Lawbuary J (1999) Reclaiming the forests. People’s participation in early planting activities. In: Basha SC, Mohanan C, Sankar S (eds)
forest management, East India. B.Sc. thesis, Human Environmental Proceedings of international teak symposium. Kerala Forest Depart-
Science, King’s College, London ment and Kerala Forest Research Institute, pp 226–31
MoEF (1986) Reorganization of forestry research, education and train- Singh RV (2017) Forestry research in India: evolution, expansion and
ing. Resolution no. 15-48/86-RT dated 31 December 1986. Ministry future challenges. D.K. Printworld (P) Ltd, New
of Environment and Forests, Government of India, New Delhi Delhi, isbn:9788124608777
MoEF&CC (2007) National Biodiversity Action Plan. Ministry of Singhal RM, Kumar S, Jeeva V (2003) Forest and forestry research in
Environment and Forests and Climate Change, Government of India India. Trop Ecol 44(1):55–61
NCA (1976) National Commission on Agriculture, vol IX. Government Stebbing EP (1922) The forests of India, vol I. London, pp 62–63
of India, New Delhi, 350 p Stebbing EP (1923) The forests of India, vol II. London, pp 8–10
Quli SMS, Sivaji V, Srivastava KK (2013) Forestry education in India: Stebbing EP (1926) The forests of India, vol III. London, pp 257–260
retrospect, prospect and recommendations for improvement. Indian
Forester 139(4):316–323
 Taxonomy: Importance, Relevance
and Application 5
C. Kunhikannan, M. V. Anju, and R. Prasanna

Abstract the other is species epithet. The different principles and

Taxonomy is the science of classifying and identifying an rules of plant nomenclature are explained, as well as the
organism using scientific names. The Swedish Botanist notable elements of both the International Code of Botan-
Carolus von Linnaeus brought out a system for the devel- ical Nomenclature (ICBN) and International Code of
opment of plant taxonomy. The development of taxonomy Nomenclature (ICN) for algae, fungi and plants. The
was supported by new discoveries in a variety of scientific accurate identification of a species is critical, because
fields, and it is crucial to regularly update our understand- communication is only possible when the name is correct.
ing of taxonomy and field botany in order to effectively The process of linking an unknown organism with a
communicate research findings to other scientific fields, recognised one is known as identification. It is done by
such as medicine, agriculture and forestry. India possesses consulting a taxonomist or botanical literature, particu-
an abundance of 55,387 plant species (22,108 species of larly flora and herbaria. This chapter also includes infor-
Angiosperms, 83 Gymnosperms, 1319 Pteridophytes, mation on a dichotomous key for easy identification and a
2819 Bryophytes, 3044 Lichens, 15,701 Fungi, 9035 synopsis of Herbarium preparation processes.
Algae and 1278 microbes) accounting for 14.66% of the
global flora. India is home to about 27% of endemic plant Keywords
species. Documentation requirements such as the People’s Taxonomy · Binomial nomenclature · Phylogenetic sys-
Biodiversity Register coming under Biological Diversity tem · APG classification · Herbarium
Act of 2002 and Report on Biological Environment
required for Environmental Impact Assessments (EIAs)
also have a role in taxonomy expertise. 5.1 Introduction
Plant classification is the process of grouping plants
together. It entails recognising and characterising a spe- Taxonomy is a field of science focused with the systematic
cies. The phylogenetic classification system, which is organisation of distinct species; in other words, it is the study
according to evolutionary importance of plants, evolved of classification and identifying plants using scientific names,
from a basic artificial system (based on the morphological and it is concerned with the principles guiding an organism’s
characteristics of the plant species) through a natural sys- categorisation. Augustin Pyramus de Condolle, a Swedish
tem. This chapter examines a variety of classification botanist, invented the term Taxonomy in 1813, which
schemes, including natural, artificial and phylogenetic combines two Greek terms, taxis meaning arrangements
systems of classification. Bentham and Hooker’s classifi- and nomos meaning laws or knowledge. Plant taxonomy is
cation system and the most recent Angiosperm Phylogeny also known as systematic botany. The three most significant
Group IV (APG IV) classification are used as examples. components of taxonomy are classification, identification,
Botanical nomenclature refers to the scientific method and description and providing names to the plants. Knowl-
of naming plants. Carolus Linnaeus proposed a binomial edge of taxonomy depended on shape and structure of
nomenclature system. Every species is assigned a organisms. Different organism groupings are classed differ-
two-worded name: the first word is the genus name and ently. Plant classification is distinct from microbiological and
animal classification. Plant observation began when humans
C. Kunhikannan (✉) · M. V. Anju · R. Prasanna
Institute of Forest Genetics and Tree Breeding, R S Puram, Coimbatore, began using them for livelihood needs like food, housing,
Tamil Nadu, India clothing, medicines and so on. Sufficient knowledge was

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 65
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_5
66 C. Kunhikannan et al.

obtained about agricultural, medicinal and other plants that • Taxonomy will aid in determining the number of creatures
were essential for day-to-day lives of humans in ancient on the planet. So currently, millions of plant and animal
times, even before the beginning of the Christian period, organisms were discovered, named and categorised.
making botany one of the earliest sciences. Egyptians (4000 • The primary goal of taxonomy is to scientifically catego-
BC) used images to record a lot of information about crop rise living entities for greater understanding.
plants and fruit trees. The Chinese had mastered plant culti- • It will provide information on the area’s flora and fauna,
vation by 2500 BC. The Atharvaveda, which was composed which will aid in distinguishing indigenous species.
in India around 2000 BC, included a plethora of knowledge • Taxonomy is composed of three fundamental
on several medicinal plants and their purposes. Botany as a components: identification, nomenclature and
discipline was founded by ancient Greek philosophers and classification.
Indian herbalists.
In his work The Historia Plantarum, Theophrastus Because of the increasing importance of biodiversity,
(370–287 BC) detailed the external and internal there is a rising demand for additional taxonomists. The
characteristics of 480 different species of plants. Botany Conference of Parties (COP) to the Convention of Biological
experiments began in the sixteenth and seventeenth centuries. Diversity (CBD) cited a shortage of taxonomists as an imped-
The Hortus Malabaricus by Hendrik Adriaan van Rheede, iment to implementing convention decisions at the national
published between 1678 and 1693, is the first record of and international levels. One out of a million species has been
printed work on the flora of Asia and the tropics, which lost every year during the past half a billion years. Today’s
contains ethno-medicinal records of Malabar Coast of India, yearly extinction rate is 1000–10,000 times quicker. Our
presently the states of Kerala and Karnataka. The botanical efforts to protect biodiversity will be considerably easier if
descriptions of plants in their natural environments had we understand the fundamental units of species and their
gained the significance of therapeutic herbs, and it is the interactions. Taxonomy facilitates the finding and identifica-
age of herbalists. Taxonomy advanced during the eighteenth tion of these fundamental elements and their interactions.
century. Carolus von Linnaeus (1753), a Swedish botanist, India has a total of 54,733 plant species, with the addition
was instrumental in the establishment of plant classification. of 253 species and intra-specific categories of flowering
plants, pteridophytes, bryophytes, fungi, lichens, algae and
microbes to the Indian flora during the year 2020 (BSI 2021),
5.2 Importance of Plant Taxonomy representing up to 14% of the world flora (BSI 2023). About
28% of the plants that exist in India are endemic to the
Correct plant identification has an impact on all branches of country. These resources include wild relatives of many
botany, either directly or indirectly. It is critical to identify the agricultural species, timber and pulp producing species,
existing organisms and their arrays. Only when a species’ non-wood forest products, and medicinal plants. Correct
name is right can it be communicated with. As a result, species identification is critical for optimal use and conserva-
categorisation is thought to be critical for segregation and tion of these resources. The CBD recognised the problem of a
sorting (Stace 1991). The primary goal of plant taxonomy is dramatic reduction in taxonomic competence and the
to characterise plants and organise them in a systematic order challenges experienced in correctly identifying plants and
using a classification system based on their hierarchical animals and offered a push to revitalise and develop
order. The first stage in surveying vegetation and estimating taxonomy.
phytodiversity is taxonomic identification of plants (Fralish As a CBD signatory, India also launched measures to
and Franklin 2002). Plant taxonomy plays an essential role improve taxonomy knowledge by launching a plan, the ‘All
for biodiversity conservation through the selection of India Coordinated Project on Taxonomy (AICOPTAX)’. The
designated areas and management plans, and the European initiative aims to improve the country’s capacity for
Commission has identified it as a crucial field in the develop- inventorying, monitoring, preserving and using biodiversity,
ment of mitigation methods to safeguard the environment as well as to develop leadership in the area of taxonomy at the
(European Commission 1996). The essential condition for regional and global levels. Recent documentation
every location to be protected for biodiversity is recognition requirements, such as the People’s Biodiversity Register
and well-defined species identification. Knowledge of a spe- mandated by the Biological Diversity Act of 2002,
cies’ presence and composition is required for the species’ concerning biological environment as part of Environmental
preservation, protection and conservation (Williams and Impact Assessment (EIA), look forward to expertise in Tax-
Humphries 1994; Hollingsworth 2003). onomy, which is also linked to various fields of science such
Taxonomy is simply the classification, naming and identi- as medicine, agriculture, forestry and so on (Fig. 5.1).
fication of living things. It will, however, aid in the classifi-
cation of species based on morphological characteristics.
5 Taxonomy: Importance, Relevance and Application 67

Fig. 5.1 Relation of taxonomy

with other branches of science

The process of linking an unknown organism with a

recognised one is known as identification. Identification is Box 5.1 (continued)
the evaluation of whether or not a taxon is comparable to one plant species; for example, the presence of the Southern
already reported (Box 5.1). For example, if a person acciden- birdwing butterfly indicates the presence of plants of
tally comes in contact with a plant leaf in the forest and the Aristolochiaceae family.
experiences itching and feverish symptoms within a few
minutes, he can identify the plant by comparing it to
5.2.1 Questions Generally Asked to Collect
recognised plants with similar features. It is possible to do
Information About a Plant
so by examining the botanical literature, particularly flora, or
by referring to herbaria, or it may be readily recognised based
1. What is the overall form of a plant?
on the description of the taxa, botanical keys supplied in the
• Herbaceous/shrubs/trees, broadleaved, evergreen/
flora. Otherwise, they do a thorough investigation to deter-
deciduous?
mine the relationship, categorise, and identify it as a new
2. Which characteristics do individual plant parts have?
species. Naming has to conform to nomenclature regulations.
• Bark features: colour/texture, spines/thorns, presence
Herbarium is another source of identification. To identify any
of sap/latex, its colour, etc.
plant specimen, the scholar or student should be well-versed
• Leaf type: simple/compound/pinnate or palmate, etc.
in plant morphology.
• Leaf arrangement: alternate, opposite, opposite-
decussate, whorled, etc.
Box 5.1 Tips for Identification in the Field • Types of venations: parallel/reticulate, etc.
In field condition, one will always get clues for identi- • Leaf margins: lobed, wavy, serrate, dentate,
fication. For example, if someone discovers a few crenate, etc.
orange-red matured leaves on an evergreen forest • Flower: type/colour, number of floral parts, etc.
floor, they may be sceptical of the presence of • Fruit/seed: type/colour, number of seeds, etc.
Elaeocarpus species nearby. Similarly, if one sees yel- 3. What are the associated species?
low dried leaves, a Symplocos species may be present. 4. What is the habitat of the plant?
Certain fragrances also signal the presence of certain • Type of habitat: marshy land/dry rocks/grassland/for-
species in the forest. The presence of particular est/sea shore, etc.
butterflies also aids in the identification of specific 5. What are the uses (if known)?
• Edible/fodder, medicinal/timber/cultural uses, etc.
(continued)
68 C. Kunhikannan et al.

5.2.2 Usage of Dichotomous Keys to Identify

Plants Box 5.2 (continued)
throughout the country, and various research institutes/
Taxonomic keys: It is a written method of assisting universities/colleges also can be utilised.
individuals in identifying an unfamiliar plant. Dichotomous A taxonomy student should be a keen observer. He
(forking) keys are widely consulted for identifying plants. or she must spend time in nature. Only an inquisitive
These keys provide users an option between two characters, observer learner may become a taxonomy specialist.
and perfect identification is attainable by making a sequence To sustain competence, one must consistently study,
of selections between two contrasting characters. preserve plant knowledge and share that information
The key is made up of couplets, which are options with others.
between two opposing characters. Using such keys, any
flora of a certain place can aid in identification.
5.2.3 How to Construct Keys Using Contrasting
Following are certain keys to distinguish families/genera
Characters
by using contrasting characters with certain exceptions
(as per Bentham and Hooker’s System) (Table 5.1).
The following are six simple examples of artificial keys for
We need to identify a plant, read the description in flora and
species identification. Following a thorough examination of
confirm for further details. Herbarium specimens also can be
the plants, the principal contrasting characteristics have to be
referred to establish identity or the help of taxonomy specialists
noted on an index card.
can be sought for confirmation of a species (Box 5.2).
Using these characters, keys can be made like the
examples given below.
Box 5.2 How a Student Can Identify a Plant?
1a. Plants erect 2
If a student receives a plant, he should examine it and
1b. Plants not erect 3
compare it to plants with comparable characteristics
2a. Stem woody 4
that he is familiar with. If he does not know the species’
2b. Stem not woody 5
name, he must gather information from existing
3a. Climbing plants with Allamanda
resources such as local available flora or herbaria, or latex on stem and leaves;
consult with experts such as Vaidyas or medicinal plant flowers yellow
collectors to learn its local name or consult with experts
such as college/university professors/scientists with
taxonomic knowledge to identify it. If he obtains
3b. Climbing plants without Jasminum
some information about its group or family, then he latex on the stem and
must describe it in complete detail in botanical leaves; flowers white
descriptions and confer with any plant group specialists
accessible in the locality, region or nation, and then to
the world. He will be happy if he gets a name. If 4a. Stem green with nodes Bambusa
specialists propose or opine that it may be a new and internodes, leaves
species, he must describe it in detail, determine its grass like
relationship and location in the available taxonomic
group or families, identify closest relatives, place it in
4b. Stem grey brown, nodes Mangifera
a suitable family and genus, and publish it as a new and internodes not
species. While publishing, he must follow the Code of prominent, leaves not
Nomenclature. The code requires that herbarium grass like
specimens be created, a type specimen be designated,
deposited in major herbaria, and the name be published 5a. Leaves with aromatic Ocimum
smell
in a reputed journal. For plant identification, there are
several online Apps, groups and websites available.
Different images for the same species may appear on
a website or blog. However, ultimate confirmation 5b. Leaves without aromatic Amaranthus
must be obtained by visiting a knowledgeable special- smell
ist or an actual herbarium. The herbarium of Botanical
Survey of India including its regional herbaria located

(continued)
5 Taxonomy: Importance, Relevance and Application 69

Table 5.1 Key characters for identification of family and genera

Key characters Family or Genera
Dicots
Petals free (Polypetalous)
Thalamus long, swollen, conical; aggregate fruit; ruminate endosperm Annonaceae
Coloured petals; sap yellow/milky; mostly herbs Papaveraceae
Coloured petals, numerous in several whorls; mostly aquatic Nymphaeaceae
Petals-4, free; stamens-6 (4 + 2), free; fruit with an internal partition; mostly herbs Brassicaceae
Capparidaceae
Leaves gland dotted, intramarginal vein absent; fruit hesperidium Rutaceae
Leaves gland dotted, intramarginal vein present; fruit not hesperidium Myrtaceae
Filaments of anthers united into a tube; epicalyx present Malvaceae (except Sida and
Abutilon)
Filaments of anthers united, less than 15; epicalyx absent Sterculiaceae
Filaments of anthers free, numerous Tiliaceae
Papilionaceous flower; fruit legume, dehiscent Fabaceae
Caesalpinaceous flower; fruit indehiscent Caesalpiniaceae
Flowers in head or condensed spike; fruit lomentum, indehiscent Mimosaceae
Plants prickly; stipules adnate; petals coloured Rosaceae
Plants mostly tendrillar; nodes swollen, jointed; fruit berry Vitaceae
Stems angular; tendrillar climbers; unisexual; epigynous; stamens filaments and anthers fused Cucurbitaceae
(synandry); fruit pepo
Mostly trees, glands on the base of the leaf (except Terminalia chebula) Terminalia sp.
Mostly scented herbs; flowers mostly in umbels Apiaceae
Stems fleshy, jointed, bearing large thorns and small spines; xerophytic Cactaceae
Petals united (Gamopetalous)
Mostly herbaceous; flowers in heads; syngenesious (anthers united) stamens Asteraceae
Leaves opposite, intra- or inter-petiolar stipules, epigynous Rubiaceae
Herbs; calyx covered with stalked glands Plumbaginaceae
Trees or shrubs; leaves often gland dotted; absence of stalked glands on the calyx Myrsinaceae
Plants with milky latex; pollinia absent; carpels free Apocynaceae
Plants with milky latex; presence of staminal corona; pollen grains in pollinia; comose seeds Asclepiadaceae
Presence of persistent calyx, extra-axillary inflorescence, sagittate anther Solanaceae
Leaves with cystoliths; stamens-4, didynamous; seeds on retinacula Acanthaceae
Herbs; stems quadrangular, aromatic; inflorescence verticillaster; corolla bilabiate; gynobasic; fruit Lamiaceae
4-lobed
Mostly trees or shrubs; stems quadrangular, non-aromatic, inflorescence not verticillaster; fruits not Verbenaceae
lobed
No distinction of sepals or petals (Monochlamydeous)
Mostly herbs; flowers in spikes; basal placentation; fruit achene Amaranthaceae
Plants with milky latex; inflorescence cyathia or catkin; ovary 3-celled; seeds carunculate Euphorbiaceae
Plants with milky latex; inflorescence hypanthodium Moraceae
Plants with watery sap, mostly covered with stinging hairs; inflorescence not hypanthodium Urticaceae
Leafless herbs; root parasitic herbs; flowers in crowded heads Balanophoraceae
Leafless trees, stems jointed; non-parasitic; flowers in spikes Casuarinaceae
Monocots
Mostly aquatic herbs; unisexual Hydrocharitaceae
Mostly epiphytes; velamen roots; presence of labellum, rostellum Orchidaceae
Climbing shrubs; leaves reticulate; capsule 3-winged Dioscoreaceae
Root stock rhizome or bulb; flowers in umbels Liliaceae
Trees; flabellate-pinnatisect leaves; flowers in compound spadix Arecaceae
Rhizomatous or tuberous herbs; flowers in simple spadix Araceae
Stems 3-angled; leaves 3-ranked; flowers in spikes; fruit nut like Cyperaceae
Stems round; leaves 2-ranked; flowers in compound spike; fruit caryopsis Poaceae
70 C. Kunhikannan et al.

5.3 Plant Classification 2. Natural systems (based on the reproductive parts of the
plants)
Plant classification is the process of categorising plants into 3. Phylogenetic systems (based on the evolutionary signifi-
various groups. It entails characterising (assigning traits to a cance of plants)
taxon) and identifying (figuring out that an unknown element
corresponds to an established one) a species. The ultimate 5.3.1.1 Artificial System
objective is to arrange plants in a logical order according to It was centred solely on one or two superficial characters. The
similarities between them. The plants that are possessing Swedish Scientist Carolus Linnaeus published the famous
similar characters are treated as related and grouped together. book Species Plantarum in 1753 in which descriptions for
Another purpose of classification is to discover the evolution- 7300 species were provided. Based on staminal characters
ary relationships between diverse plant groups. The number like number of stamens, length and union and other
of shared traits decreases as we progress from species to characters the plants were placed in 24 categories. As a result,
family to kingdom, with species sharing the most basic this system is also referred to as the sexual classification
commonalities and creatures in the same kingdom sharing system. Linnaeus’ classification recognised the importance
the fewest. Bessey (1897) has given a thorough link between of floral features, which brought wide acceptability. The
phylogeny and taxonomy in Botanical Gazette. fundamental disadvantage of this approach was that
The categorisation method utilised morphological completely different plants were kept in same group, while
characteristics up to the eighteenth century. This traditional highly related plants were kept in different groups. For exam-
technique is called artificial system (Alpha taxonomy). Evi- ple, plants coming under the Monocotyledon, Zingiberaceae,
dence from other fields of study, notably phylogenetic and the Dicotyledon, Anacardiaceae, have been combined
categorisation, was also considered in subsequent years. In into a single group named Monandria since they have a single
recent years, a multidisciplinary approach to taxonomic stamen. Another flaw in this method was that natural or
examination has gained prominence. DNA information phylogenetic references between plant groups were not
from plant species is also regarded a significant criterion prioritised.
and has become widely acknowledged as an important ele-
ment of the categorisation process at various stages (Stace 5.3.1.2 Natural System
2005). Data from field investigations, experimental gardens, Plants are grouped in this system based on their natural
laboratories, herbariums, libraries and computer use have affinities. Several characteristics were considered in the natu-
resulted in various alterations in the old approach to current ral system. It is mostly based on information gathered during
taxonomic approaches. first-hand plant observation. George Bentham and Joseph
Dalton Hooker, two British botanists, created the significant
natural system of seed plant classification. This
5.3.1 Types of Classification categorisation aids in determining the link between different
plant groups. This method is still used in a number of herbaria
Plant taxonomy has a long history that is intertwined with in India. However, it makes no attempt to uncover evolution-
human evolution. When humans lived a hunter-gatherer life- ary links between distinct plant families.
style, they attempted to categorise plants based on their
usefulness, such as food plants, fuel plants, medicinal plants
and so on. They gradually began categorising plants based on 5.3.2 Benthem and Hooker System of Plant
their requirements. It is vital to highlight that the evolution of Classification
current categorisation systems began with ancient Greek
thinkers and naturalists. The early categorisation systems Benthem and Hooker devised the method of seed plant clas-
were quite simple and based on only a few traits, with sification, which is the well-established natural categorisation
emphasis placed on vegetative characteristics. Floral features system and was published in the Genera Plantarum
being stable in nature were given more weight in later classi- (1862–1883). They described 97,205 seed plant species rang-
fication systems. ing from Ranunculaceae to Gramineae, consisting of 7569
Following are the major types of systems for plant genera and 202 families. This also includes three Gymno-
classification: sperm families.
The genera were determined through natural affinities; the
1. Artificial systems (based on the morphological characters concept was pre-Darwinian. In this approach, all seed-
of the plant species) bearing plants were placed in three groups: Dicotyledons
5 Taxonomy: Importance, Relevance and Application 71

(165 families), Gymnosperms (3 families), and Class 2: Gymnospermae: The plants with naked ovules.
Monocotyledons (34 families). The class consists of three families, viz. Cycadaceae,
Class 1: Dicotyledons: Plant seeds have two cotyledons, Gnetaceae, and Pinaceae.
leaves with reticulate venation and flowers are pentamerous Class 3: Monocotyledons: Trimerous flowers and leaves
or tetramerous in nature. It is classified into three subclasses with parallel venation and seeds with one cotyledon. This
and consists of 14 series, 25 orders and 165 families, viz. class is divided into 7 series and 36 families.
Polypetalae, Gamopetalae and Monochlamydeae.
1. Microspermae: Plants in this family have inferior ovary
1. Subclass—Polypetalae: Plants in this subclass can be with very little seeds.
identified by the presence of separate sepals and free 2. Epigynae: This plant family has a smaller ovary and
petals. It is divided into three series: bigger seeds.
(a) Thalamiflorae, with hypogynous flowers, many 3. Coronarieae: This plant family has a coloured perianth, a
stamens and no disc, is composed of six orders: superior ovary and joined carpels.
Ranales, Parietales, Polygalineae, Caryophyllineae, 4. Calycinae plants feature a green perianth, a superior ovary
Guttiferales, and Malvales. and joined carpels.
(b) Disciflorae having hypogynous flowers with a disc 5. Nudiflorae: Plants lack perianth and have superior ovary.
under the ovaries (four orders under the group are 6. Apocarpae: Plants with superior ovary and more than one
Geraniales, Olacales, Celastrales, and Sapindales). free carpel.
(c) Calyciflorae has Perigynous or epigynous flowers 7. Members of the Glumaceae have blooms wrapped in
with five orders such as Rosales, Myrtales, glumes and a shortened perianth with a superior ovary.
Passiflorales, Ficoidales, and Umbellales.
2. Subclass—Gamopetalae: Plants in this category have 5.3.2.1 Advantages of the Bentham and Hooker
separate sepals and petals, and the petals are united. It is System of Classification
divided into three series: • Every species’ description is equitably precise and
(a) Inferae: Plants with inferior ovary and having three detailed, as it has been recorded by means of the original
orders, namely Rubiales, Asterales, and Campanales. specimens or from the herbarium sheets.
(b) Heteromerae: Members have a superior ovary, one • This technique is extremely practical and may help
or two whorls of stamens and more than two carpels. students of systematic botany identify species quickly.
This series has three orders, viz. Ebenales, • The system provides a geographical overview of species
Primulales, and Ericales. and genera, and generic definitions are extensive, precise
(c) Bicarpellatae: Plants in this family have a superior and are founded on observations made first-hand.
ovary, stamens in one whorl and two carpels. It is • Large genera include subgenera having their own group of
divided into four orders, namely Gentianales, species.
Polymoniales, Lamiales, and Personales. • Ranales are widely regarded as the most basic
3. Subclass—Monochlamydeae: Plants in this subclass angiosperms, however dicots begin with this order in
have apetalous blooms, meaning the perianth is either this system.
absent or sepals and petals are not differentiated. There • The dicots are placed before monocots following histori-
are eight series in it, which are listed below. cal tendencies.
(a) Curvembryeae: Plants usually have coiled embryo • It is also natural to place series Disciflorae between
and one ovule Thalamiflorae and Calyciflorae.
(b) Multiovulateaquaticae: Aquatic plants with many • Because petal union is considered an advanced trait above
ovules the free state, the positioning of gamopetalae after
(c) Multiovulateterrestress: Terrestrial plants with many polypetalae is appropriate.
ovules
(d) Microembryeae: Plants with minute embryo 5.3.2.2 Demerits of Bentham and Hooker System
(e) Daphnales: Plants having one carpel and one ovule of Classification
(f) Achlamydosporae: The ovary is inferior, unilocular • It is unusual to place gymnosperms between dicots and
with one to three ovules monocots.
(g) Unisexuales: Flowers are unisexual • It does not appear natural to place monochlamydeae after
(h) Ordinesanomali: Plants of uncertain relationship gamopetalae.
72 C. Kunhikannan et al.

• The monochlamydeae subclass is extremely artificial. 5.3.3 Phylogenetic System of Classification

• Some monochlamydeae families, such as Chenopodiaceae
and Caryophyllaceae, are closely linked to polypetalae This classification method is based on the evolutionary
groups. Those species showing relatedness are placed far sequence and genetic links between various taxa. Further-
apart, while others are put near together. more, it took into account as many taxonomic features as
• Treating an advanced family like Orchidaceae as primitive accessible. Theory of origin by Charles Darwin inspired the
and placing it at the top of monocotyledons is odd. development of phylogenetic systems. In their work Die
• Compositae (Asteraceae) has also been listed at the top Naturalichen Pflanzen Familien, Adolf Engler (1844–1930)
place under gamopetalae making it unnatural. and Karl Prantl (1849–1893) created a phylogenetic system
• The families Liliaceae and Amaryllidaceae that show rela- of classification. Floral characteristics like a solitary whorl
tionship were separated based only on ovary with perianth or a lack of perianth, as well as anemophilous
characteristics. unisexual flowers were regarded as less evolved under this
• Phylogenetic relations are not considered. paradigm, as opposed to a pair of whorls of perianth and
bisexual flowers pollinated by the insects. They have
Bentham and Hooker’s system of classification is described 288 families in this classification. Plants from the
summarised below (Fig. 5.2): dicotyledon Asteraceae and the monocotyledon Orchidaceae
were highly valued, according to them.

Fig. 5.2 Bentham and Hooker’s system of classification

5 Taxonomy: Importance, Relevance and Application 73

Charles Edwin Bessey (1845–1915), an American and hydrophytic predecessors and sharing affinities with present
disciple of Asa Grey, attempted a categorisation scheme Nymphaeales. The five Liliopsida subclasses are said to have
comparable to those of Bentham and Hooker. During 1883, ecological affinity. The Alismatidae are mostly aquatic,
he presented a system. The ultimate and comprehensive whereas the rest are mostly land plants. The Arecidae are
system was published in 1915. He classified angiosperms often arborescent plants with large leaves and many tiny
(Anthophyta) as Oppositifoliae (Dicots) and Alternifoliae flowers supported by a conspicuous spathe. The
(Monocots). Bentham and Hooker’s cohorts were referred Commelinidae and Liliidae, which are likely descendants of
to as orders in this system, while natural orders were referred a single ancestor, have different and parallel evolutionary
to as families. histories.
John Hutchinson (1874–1972) devised a phylogenetic
system, which was published in Families of Flowering Plants
in two volumes (1926, 1934) and amended in 1948. In this 5.4 APG Classification
system, he has included 328 families and emphasised the
woody and herbaceous natures of plants and so classified During the 1990s, tremendous breakthroughs in molecular
dicots as Lignosae (Woody) and Herbaceae (Herbaceous). research with regard to DNA sequences, notably from the
Hutchinson considered the woody character was basic. plastid gene rbcL, gave fresh and valuable data that
Armen Takhtajan (1910–2009), a Russian botanist of the influenced angiosperm classification schemes and led to the
Soviet Academy of Sciences, Leningrad, USSR, created a rearrangement of numerous families. It is an ordinal classifi-
superior phylogenetic approach by considering every cation proposed by the Angiosperm Phylogeny Group
existing data from different fields of botany in 1954, which (APG), an international group composed of plant
was later improved in 1969 and 1980. Magnoliophyta taxonomists from the Royal Swedish Academy of Sciences,
replaced angiosperms, Magnoliopsida replaced dicots and Upsala University, Sweden; Royal Botanical Garden, UK;
Liliopsida replaced monocots. He employed a Super Order University of Maryland, College Park, USA; and Florida,
extra rank between Subclass and Order with the ending Gainesville and Missouri Botanical Garden, USA. The
‘anae’. In this categorisation, he has described 592 families. APG method combines substantial DNA sequence data
Arthur Cronquist (1911), New York Botanical Garden, with morphological data (for example, the use of pollen
created a similar method and published it in the book Evolu- characteristics to delimit eudicots—the three-pored pollen
tion and Classification of Flowering Plants during 1968. carrying flowering plants). The APG method organised
This was eventually renamed An Integrated System of Clas- families and orders into informal groups that represented
sification of Flowering Plants in 1981. Cronquist considered significant branches in the flowering plant phylogenetic
pteridosperms to be the most likely predecessors of tree. The Monocots, Eudicots, Rosids, and Asterids were
angiosperms. Cronquist (1981), like Takhtajan, adopted the four such significant groups. The APG System is now the
word Magnoliophyta for angiosperms, which have been most widely used for categorisation of flowering plants.
separated into Liliopsida and Magnoliopsida, which are anal- This system, established in 1998, was modified in 2003,
ogous to conventional monocotyledons and dicotyledons, 2009 and 2016. The APG method relies profoundly on mor-
respectively. These were then subdivided into 11 subclasses, phology, anatomy, embryology, phytochemistry and compre-
6 in the Magnoliopsida (Caryophyllidae, Magnoliidae, hensive DNA sequence data, as well as molecular
Hamamaelide, Dilleniidae, Rosidae, and Asteridae, with investigations with reference to DNA sequences. The method
64 orders, 318 families and with about 165,000 species) is according to the good phylogenetic idea of classifying taxa
and 5 in Liliopsida (Arecidae, Alismatidae, Commelinidae, according to confirmed monophyly. The old angiosperm
Zingiberidae, and Liliidae, with 19 orders, 65 families and classification was left behind, and other monocot species
about 50,000 species). were placed between the eudicots and primitive angiosperms.
The Magnoliidae was regarded to be the base complex, The monocots were divided into two categories: commelinids
from which the next five subclasses were formed individu- and the remainder of the monocots. These two families come
ally. The Hamamelidae are primarily pollinated forms with after former angiosperms.
reduced and apetalous blooms, similar to the Amentiferae. The APG 1988 approach recognised 462 families in
Caryophyllales and their near relatives were grouped together 40 monophyletic orders that were further categorised into a
as Caryophyllidae. The Rosidae and Dilleniidae were thought few higher groups that are monophyletic like monocots,
to be parallel groupings because they both had multiple eudicots, rosids, asterids and so on. This system has
stamens that grow centripetally in the former and centrifu- 81 unplaced families (Fig. 5.3). Angiosperms are divided
gally in the latter. The Asteridae descended from the Rosidae into three groups: monocots, eudicots, and four unclassified
and included the most advanced group, such as higher orders: Ceratophyllales, Laurales, Magnoniales, and
gamapetalous families with as many stamens as corolla Piperales. Acorales, Alismatales, Asparagales, Dioscoreals,
lobes. The Liliopsida was thought to be evolved from Liliales, Pandanales, Arecales, Poales, Commelinales and
74 C. Kunhikannan et al.

Fig. 5.3 Phylogenetic inter-relationships among different orders of APG classification. (Reproduced from APG 1998)

Zingiberales are examples of monocot orders. The final four and Asterids, and three unclassified orders, Caryophyllales,
orders are classified as Commelinoids. Eudicots are made up Santalales, and Saxifragales. Eurosids I (Malpigiales,
of Core-eudicots and two unclassified orders: Proteals and Fabales, Rosales, Cucurbitales and Fagales), Eurosids II
Rananculales. There are two groups of Core-eudicots, Rosids (Mirtales, Brassicales, Malvales and Sapindales), and one
5 Taxonomy: Importance, Relevance and Application 75

unclassified order Geraniales are the three groupings of 5.7.2 Mesangiosperms

Rosids. The Asterids are divided into two groups: Euasterids
I (Garryales, Gentianales, Lamiales and Solanales) and 1. Magnolids: 4 orders
Euasterids II (Aquifoliales, Apiales, Asterales and 2. Monocot (11 orders): Commelinds (4 orders, now
Dispacales), plus two unclassified orders (Cornales and merged)
Ericales). 3. Probable sister of eudicots: Ceratophyllales
4. Eudicots (43 orders): 4 orders
Core eudicots (39 orders)
5.5 APG II Order 1: Dilleniales
Superrosids (18 orders)
APG II recognised 457 families classified under 45 orders Order 1: Saxifragales
(Fig. 5.4); 44 of the 45 orders are divided into 11 informal Roside (17 orders)
groups. In contrast to APG 1998, which had 81 unplaced Order 1: Vitales
families, this number has been decreased to 40 in APG Fabids: 8 orders
II. Angiosperms are categorised as Eudicots, Monocots and Malvids: 8 orders
a few unplaced orders (Austrobaileyales) and families
(Amborellaceae, Nymphyaceae, Chloranthaceae) under this
system. Four orders, Canellales, Piperales, Magnoliales, and Superasterids (20 orders)
Laurales, which are classified as Magnolids, are also included Order 3: Berberidales/Santalales/Caryophyllales
in the unclassified ones. Asterids (17 orders)
Order 2: Ericales/Coronales
Lamids: 8 orders
5.6 APG III (2009) Campanulids: 7 orders

APG III (Fig. 5.5) was published in the year 2009 by eight
scientists. The updated edition was directed by Prof. 5.7.3 Family Delimitations in APG with Respect
P.F. Stevens. According to this approach, all plant species to Earlier Classification Systems
were classified into 413 families (with the exception of
10 families such as Ceratophyllaceae and Boraginaceae), • Earlier family Asclepiadaceae is merged with
which were assigned to 59 orders. Except for 5 orders, Apocynaceae
which are not classified, these orders were divided into • Bombacaceae, Sterculiaceae and Tiliaceae are merged
11 clades. Four of them are listed at the beginning, with with Malvaceae
one (Ceratophyllaceae) placed after monocots. This classifi- • Brassicaceae s.l. split into three families, viz. Brassicaceae
cation placed five taxa (two families, Apodanthaceae and s.s., Capparaceae and Cleomaceae
Cynomoriaceae, and three genera, Gumillea, Petenaea, and • Chenopodiaceae is merged with Amaranthaceae
Nicobariodendron) in an ambiguous position. • Euphorbiaceae s.l. is split into Euphorbiaceae s.s.,
Phyllanthaceae, Picrodendraceae and Putranjivaceae
• Fabaceae comprises three subfamilies: Fabaideae,
5.7 APG IV (2016) Ceasalpinioideae and Mimosoideae
• Liliaceae s.l. is split into 14 families and many taxa are
This updated categorisation system was released in March of transferred to Asparagaceae
2016. Angiosperm species were classified into 64 orders and • Molluginaceae and Gisekiaceae are recognised separately
416 families. Unplaced groups were restricted to seven from Aizoaceae
genera in this method. A poster with illustrations is available
at http://www.plantgateway.com/download/2124/. The
categorisation scheme’s abstract is provided below: 5.8 Botanical Nomenclature

Botanical nomenclature is the scientific method of giving

5.7.1 Basal Angiosperms names to the plants. Plant naming is important in determining
their identification and connection. Around the
Ana Grade: Amborellales/Nymphaeales/Austrobaileyales mid-eighteenth century, plant names were mostly
Independent lineage: Chloranthales polynomials, or a succession of words that sounded like a
description of the plant. Caryophyllum is a good illustration
76 C. Kunhikannan et al.

Fig. 5.4 Phylogenetic inter-relationships among different orders and families of APG-II classification. (Reproduced from APG 2003)
5 Taxonomy: Importance, Relevance and Application 77

Fig. 5.5 Phylogenetic inter-relationships among different orders and families of APG III classification. (Reproduced from APG 2009)

of this. Caryophyllum saxatilis folis gramineus umbellatis utilised this methodology to meticulously categorise plants
corymbis means ‘Caryophyllum growing on rocks with in the 1700s. Linnaeus provided several aphorisms and
grass-like leaves and an umbellate corymbose inflorescence’. announcements for naming plants in his
The binomial system was created by Gaspard Bauhinas in FundamentaBotanica (1736) and CiticaBotanica (1737),
1623, but it was Carolus Linnaeus who improved it by and expanded on them later in PhilosophiaBotanica (1751),
employing it in his book Species Plantarum. Linnaeus marking the true foundation of a good system of
78 C. Kunhikannan et al.

nomenclature. There were no acknowledged guidelines for A family is a collection of plants that share similar traits,
naming plants until the eighteenth century, and botanists and particularly reproductive organs such as flowers, fruits and
herbalists did it their own way. Linnaeus’s monumental book seeds, which are used to distinguish them. A family might
Species Plantarum, published in 1753, gathered plant names have as little as one species or as many as a 100. As an
from all over the world under the binomial system of classifi- example, Ginkgoaceae consists of only one genus Ginkgo
cation. It introduced the Binomial System of Nomenclature, biloba whereas Rosaceae includes more than 100 genera
which was an important turning point in the history of plant (Malus, Spiraea, Rosa).
taxonomy.
• A genus (plural genera) is a plant group that is closely
Taxonomic group Suffix related and identifiable by comparable traits (flowers,
Kingdom -a, ae fruit, stem or roots) and genetic affinity. The genus name
Division -ta, ota
is generally a capitalised word that might denote one of the
Class -opsida
following:
Order -eles
Sub order -ineae A plant’s appearance: Hemerocallius (day and beauty)
Family -aceae Medicinal qualities: Pulmonaria (lungwort)
Sub family -oideae Resemblance to body parts: Hepatic (liver)
Tribe -ceae In honour of a person: Aenhenrya (A N Henry)
Sub tribe -ineae
The word that follows genus in a scientific name of the
This system is still in use around the world. The language plant is the specific epithet that is not capitalised and usually
employed in botanical naming is mostly Latin, with Greek adjective in nature like size (big size, grandis), colour (red
and a few other ‘dead languages’. These language’s vocabu- colour, rubra), leaf form (heart shape, cordifolia), growth
lary and meanings are unlikely to change all over time. habit (erecta), in honour of a person (linnae, roxburghiana,
A species’ name has two words in binomial nomenclature. rheedei) and use of the plant (officinalis is used in medicine).
Cocos nucifera, for example, is the binomial nomenclature of The specific epithet may contain information about the plant,
the coconut tree. The term ‘Cocos’ is the genus, and for example:
‘nucifera’ is specific epithet. The plant’s name is made up
of the two terms together. Because the binomial is a binary • Cotoneaster horizontalis (horizontal branching)
name, no two plants may have the same combination of • Tectona grandis (Large size of the tree)
generic and particular names since Linnaeus’s time. • Phyllanthus rheedei (commemorating Van Rheede)
The International Code of Botanical Nomenclature • Madhuca longifolia (long leaves)
(ICBN), which is a set of regulations and suggestions for • Tephrosia purpurea (having purple flowers)
naming plants, governs the official botanical names given to
plants. The International Botanical Congress (IBC) is the The binomial system of naming is based on treating a
only body with the authority to amend the ICBN (Swain population of individuals within a species capable of
1963). The ICBN has established specific standards that interbreeding. Scientific names of species should always be
must be rigorously obeyed, such as the suffixes of taxonomic underlined or italicised. A scientific name is regarded as
groupings. complete only when it ends with the person’s name who
described or named it first, a practice known as author cita-
Old name Alternatives
Palmae Arecaceae
tion. Paddy, for example, has the entire binomial Oryza
Cruciferae Brassicaceae
sativa Linnaeus or Oryza sativa L. A species can be further
Graminae Poaceae subdivided into subspecies (subsp.), varieties (var.),
Leguminosae Fabaceae cultivated varieties or horticultural varieties, and hybrids.
Guttiferae Clusiaceae Plant naming is governed by a collection of rules and
Umbelliferae Apiaceae guidelines known as the International Code of Botanical
Compositae Asteraceae Nomenclature (ICBN), which is now known as the Interna-
Labiatae Lamiaceae tional Code of Nomenclature (ICN). The International Botan-
ical Congress (IBC) can only amend the ICBN. Following
According to Article 18 of the ICBN, the family name Linnaeus, the efforts of various taxonomists and the botanical
must conclude with the suffix ‘-ceae’. However, due to long- congress resulted in a robust Code of Botanical Nomencla-
term usage, eight families were permitted to keep their origi- ture. Their most significant contributions are listed below.
nal names, and new replacements were also offered in accor- de Candolle Augustin (1813): Following Linnaeus, he
dance with the laws. wrote his most important book, Theorieelementaire de la
5 Taxonomy: Importance, Relevance and Application 79

botanique, in which he regarded plant anatomy and morphol- Montreal Code (1961) (Ninth International Botanical
ogy to be key aspects in categorisation. Congress): Appendix II (Special provisions respecting fossil
Steudel (1821): Plant names with synonyms are listed in plants) was included with the introduction of
Nomenclatorbotanicus. More than 3300 genera and almost Nominafamiliarumconservandafor Angiospermae.
40,000 species were classified alphabetically. Edinburgh Code (1966) (Tenth International Botani-
Paris Code (1867): In Paris, the first International Botan- cal Congress): The Congress established a committee to
ical Congress was held to standardise and define Botanical create a glossary of technical words used in the Code,
Nomenclature. Alphonse de Candolle proposed Lois de la which resulted in ‘An annotated glossary of botanical nomen-
nomenclature botanique based on his father’s clature’ (McVaugh et al. 1968).
Theorieelementaire de la boatnique (1813). ‘Laws of Botani- Seattle Code (1972) (11th International Botanical Con-
cal Nomenclature’, published in 1867, was divided into three gress): Articles 22 and 26 have been improved, and the term
parts and had 68 articles. Priority rules, author citation, legit- autonym (automatically established names) has been added.
imate publishing and name approval and rejection were all Leningrad Code (1978) (12th International Botanical
established. Congress): The present ICBN system was adopted based on
Kew Rule: When modifying a plant’s generic name, the the resolution of this conference. Article 69 has been
oldest specific epithet was not kept. amended to read: ‘A name must be rejected if it has been
Rochester Code (1892): N.L. Britton and a group of widely and persistently used for a taxon that does not belong
botanists met in Rochester, New York, to discuss the Ameri- to its type’. The rejected name will be added to a list of
can Association for the Advancement of Science. This Nominarejicienda (Art. 69.1). The Code was outlined by
meeting determined that each species must have a herbarium the Congress in 1978 in Leningrad as follows:
specimen in order to be designated as a Nomenclatural Type This Code aspires for a consistent way of naming taxo-
and recognised binomial nomenclature. nomic categories, avoiding and rejecting names that may
Vienna Code (1906) (The Third International Botani- create mistake or ambiguity, and avoiding the development
cal Congress): Accepted Linnaeus’ Species Plantarum of names that are unnecessary.
(1753) as the beginning point for Nomenclature; generic
description and generic names were preserved; Latin diagno- 1. Despite their unquestionable importance, the code viewed
sis, priority based on publication date. exact grammatical accuracy, regularity or euphony of
American Code (1907): Type concept was accepted. names, more or less prevalent tradition, care for
Brussels Code (1912) (Fourth International Botanical individuals and so on to be somewhat incidental.
Congress): Priority of names and type concept was accepted. 2. The principles serve as the foundation for the botanical
Cambridge Code (1935) (Fifth International Botanical nomenclature system.
Congress 1930): T.A. Sprague and M.L. Green made every 3. The detailed provisions are split into Rules and
effort to establish norms and standards for plant naming and Recommendations, as outlined in the Articles. To explain
embraced the type idea as ‘the application of names of the rules and guidelines, examples are included.
taxonomic groups is determined by nomenclatural types’. 4. The Rules’ purpose is to put the past nomenclature in
Amsterdam Code (1947) (Sixth International Botani- order and to plan for the future; names that violate a rule
cal Congress): All plant diagnoses must be in Latin if cannot be kept.
published after 1 January 1935 rather than 1 January 1932. 5. The Recommendations deal with Secondary concerns,
The Rule was broken down into Chapters and Sections, with the goal of achieving better uniformity and clarity,
which were further separated into Articles and particularly in future nomenclature; names that contradict
Recommendations. There is also a list of a suggestion cannot be used.
NominaGenericaCoservandawas. 6. The provisions governing the amendment of this code
Stockholm Code (1952) (Seventh International Botani- include its final division.
cal Congress): Minor adjustments and additions were 7. With the exception of bacteria, the Rules and
enacted. The term Taxon (plural Taxa) was coined. Recommendations apply to all species classified as plants
Paris Code (1956) (Eighth International Botanical (including fungus), whether recent* or fossil.
Congress): The Code should be published in English, French 8. The only valid reason for altering a name is either a more
and German, with the preamble and principle separated from comprehensive understanding of the facts as a conse-
the Rules and Recommendations. Appendix III (Nomina quence of adequate taxonomic study or the need of
generic conservandaetrejicienda) has been revised and abandoning a rule-breaking nomenclature.
expanded. Appendix IV (Determination of Types) was 9. Established custom is observed in the absence of a rele-
reproduced in adherence with the Nomenclature Section’s vant regulation or when the effects of rules are uncertain.
judgement in Paris.
80 C. Kunhikannan et al.

5.8.1 Some Salient Features of ICBN Melbourne Code (2011), Australia: Electronic publica-
tion is authorised; registration of fungal names is permitted;
1. A singular noun is the general name. Always write the English or Latin descriptions are permitted beginning in
initial letter of the generic name in capital letters. The 2012; and the categories of amorph and teleomorphs (for
particular epithet is always written in tiny characters and fungi) and morphotaxa (for fossils) are removed.
is an adjective. It derives from a variety of origins and may The International Botanical Congress gathered in Paris
consist of one or two words, such as Oryza sativa. during August 1867 and worked to standardise and legislate
2. The name should be brief, accurate and simple to say. nomenclatural procedures. After receiving comments and
3. The binomial names are italicised or underlined. The recommendations (Amendments), it was agreed to meet the
generic name and specific epithet are both highlighted, International Botanical Congress once every 5 years for
for example, Abutilon neilgherrense or Abutilon improvements.
neilgherrense.
4. When a new name is awarded to a plant, the herbarium
specimen preparation of the same plant, along with its 5.8.2 International Code of Nomenclature
previous description, must be retained in any recognised (ICN) for Algae, Fungi and Plants
herbaria. The specimens are referred to as type specimens.
5. The person who first publishes the description of a plant or It was determined during the 2011 International Botanical
gives it a new name is regarded the author. After the Congress in Melbourne, Australia, to include algae, fungi and
specific epithet, the plant name should include the author’s plants within the standards of nomenclature. The Interna-
name or an abbreviated name. This is known as author tional Code of Nomenclature for Algae, Fungi and Plants
citation. For prominent taxonomists, abbreviations were (ICN) superseded the International Code of Botanical
created. Linnaeus’ name was shortened to L. or Linn., Nomenclature (ICBN). It is unaffected by other codes
Robert Brown to R.Br., and Sir Joseph Dalton Hooker to such as:
Hook, for example, Malva sylvestris Linn.
• Animals: International Code of Zoological Nomenclature
Sydney Code (1981), Australia (13th International Botan- (ICZN)
ical Congress): Official versions of the code in English, • Bacteria: International Code of Nomenclature of Bacteria
French and German (with the English version taking prece- (ICNB)
dence in the event of a dispute); conservation procedure (and • Cultivated plants: International Code of Nomenclature of
rejection) extended to species names ‘of major economic Cultivated Plants (ICNCP)
importance’; fungi starting date restored to 1753 with sanc- • Plant associations: International Code of Phytosociologi-
tioned name status established; types of genera and higher cal Nomenclature
categories to become types of species (i.e. the taxa them- • Viruses: International Committee on Taxonomy of Virus
selves are no longer types, only specimens or illustrations). (ICTV)
Berlin Code (1987), Germany (14th International • The term ‘botanical’ was deceptive, implying that the code
Botanical Congress): The official version of the code is only applied to green plants and excluded fungus and
only available in (British) English, subsequent translations varied algae lineages. The term International Code for
are available in French, German and Japanese. Botanical Nomenclature was changed to International
Tokyo Code (1993), Japan (15th International Botani- Code of Nomenclature (ICN) for Algae, Fungi and Plants.
cal Congress): Plant names are being registered; the nomen-
clature code is being reorganised extensively. The official
version of the code is only available in (British) English, 5.8.3 Electronic Publication of Nomenclatural
Chinese, French, German, Italian, Japanese and Russian; Acts (Permitted from 1 January 2012)
Slovak translations followed.
St. Louis Code (1999), USA (16th International Botan- The Nomenclature section unanimously endorsed a number
ical Congress): Refinement of type standards; pictures as of suggestions made by the Special Committee on Electronic
types were mainly prohibited beginning in 1958; morphotaxa Publication, which was established by the Vienna Congress
for fossils. The Bio code and the registration of plant names in 2005 (Chapman et al. 2010). This implies that the new
were among the proposals that were defeated. names of plant fungi and algae (as well as type designations)
Vienna Code (2005), Austria (17th International will no longer need to exist in the printed content in order to
Botanical Congress): Morphotaxa and regular taxa for be effectively published—effective publication being key
fossils; pictures as types mainly prohibited since 2007; glos- condition for the code of approval of any nomenclatural act.
sary added to nomenclature code. Publishing online in Portable Document Format (PDF) in a
5 Taxonomy: Importance, Relevance and Application 81

publication with an International Standard Serial Number To enable standard reference by scientists all around the
(ISSN) or International Standard Book Number (ISBN) will world, the authors’ names are also shortened or quoted as
be accepted as an alternative. provided in ‘Authors of Plant Names’, Royal Botanical Gar-
den, Kew London (1992).

5.8.4 Latin and English

5.8.6 Definitions of Terms
Except for names of fossils, it is presently essential to submit
a description and/or diagnosis in Latin in order to legitimately 1. Valid publication of a name
publish the name of a new taxon, e.g. a species. The Nomen- • A legitimately published name is one that has been
clature section changed this such that the description and/or published in conformity with Articles 32–45 of the
diagnosis must be in either English or Latin for the names ICBN. A taxon’s name has no legal standing under
issued on or after 1 January 2012. This will apply to the the ‘Code’ until it is officially published. Only a
names of new taxa in all the Code’s groupings. It is already lawfully published name can be considered legitimate
required for new fossil taxa names published on or after or illegitimate.
1 January 1996. • The term ‘invalid’ does not occur in the Code; it
The code is divided into three major divisions: typically refers to a name that has not been properly
issued. However, this phrase is frequently incorrectly
1. Principles (1–6) interpreted to mean illegitimate.
(a) Botanical Nomenclature is independent of ICZN, 2. Legitimate name
ICBN and ICTV. • A legally published name or epithet that follows all of
(b) The application of names of taxonomic groups is the criteria.
determined by means of nomenclatural types. 3. Illegitimate name
(c) The nomenclature of a taxonomic group is based • A legally published name or epithet that violates one
upon priority of publication. or more Code Articles. Superfluous names, later
(d) Each taxonomic group with peculiar circumscription, homonyms, and tautonyms are examples of popular
position and rank can bear only one correct name, the illegitimate names.
earliest that is in accordance with rules, except in 4. NominaConservanda
specified cases. • The term NominaConservanda (nom. cons.) was first
(e) Scientific names of taxonomic groups are treated as used at the International Botanical Congress in
Latin regardless of their derivation. Vienna (1905). This was used to avoid unfavourable
(f) The rules of nomenclature are retroactive unless modifications in the names of families and genera
expressly limited. caused by the rigid implementation of the priority
2. Rules/Articles and Recommendations (1–75) principle. These names have been preserved because
The Rules or Articles contain precise prescriptions for of their long use in botanical journals and for the sake
restoring historical nomenclature and planning for the of nomenclatural stability.
future; names that violate a guideline cannot be retained. • Appendix II: The Code consists of a list of conserved
3. Provisions for Modification of the Code families (NominaFamiliarumConservanda).
The Recommendations handle minor problems. Their goal • Appendix III: The Code includes a list of preserved
is to achieve better uniformity and clarity, particularly in and rejected genus names
future nomenclature. Recommendations are frequently (NominaGenericaConservandaetRejicienda). For
practical applications of Rules. They have no bearing on example, Pleurolobus (1812), Desmodium (1813),
the authenticity of a name, yet it would be foolish to Meibomia (1759).
ignore them. 5. Rejected names (Nominarejicienda)
A name must be rejected if it has been extensively and
repeatedly used for a taxon other than its type, i.e. a name
5.8.5 Nomenclature Criteria that is used in several contexts and has long been a cause
of mistake or confusion.
Give the accurate name of the plants along with the author 6. Correct name
citation by referring to the most recent literature such as A legal name required by the regulations for a taxon
floras/monographs/revisions published and websites such as having a certain circumscription, position and rank.
http://www.theplantlist.org, http://www.ipni.org/ or http:// According to different taxonomic definitions, a valid
www.tropicos.org/. name may be right or wrong. For example, the generic
82 C. Kunhikannan et al.

name Hibiscus L. is legal since it follows the standards. homonym Myroxylon J.R. Forst. & G. Forst.
The generic name Abelmoschus Medicus is the same. (1775) in the Flacourtiaceae.
When the genera are maintained distinct, both generic Names that are similar enough to be mistaken are
names are accurate. Augustin de Candolle combined deemed homonymous under the botanical code
Abelmoschus Medicus and Hibiscus L. into a single (Article 53.3).
genus, and when this approach was adopted, as it was For example: Astrostemma Benth. (1880) is an ille-
in the majority of previous Indian floras, Hibiscus L. was gitimate homonym of Asterostemma Decne.
the sole accurate name with this circumscription. How- (1838).
ever, K. Schumann and numerous other monographers A name with same spelling like a validly published
re-established the genus Abelmoschus Medicus. As a name for a taxon of the same rank based on a
result, the real generic name Abelmoschus Medicus may different type.
be valid or inaccurate depending on taxonomic concepts. For example: Jatropha heterophylla Steudel, Nom.
7. Synonym Bot. ed 2.1:799, 1840, and Jatropha heterophylla
Synonyms are names that are different for the same Heyne ex Hook.f. Fl. Brit. India 5:382, 1887.
taxonomic group or taxonomic taxon. In most cases, a The later homonym, i.e. Jatropha heterophylla
synonym refers to a following synonym or synonymous Heyne ex Hook.f., is illegitimate and is replaced
phrase that will be rejected. There are two kinds of by the new name—Jatropha heynei Balakr.
synonyms: Nomenclatural Synonyms and Taxonomic (Bull. Bot. Surv. India 3:41, 1961).
synonyms. • Tautonym
• Nomenclatural Synonyms or Homotypic Synonyms A binary name in which specific epithet identically
are the names based on the same type. replicates the generic name, either with or with-
For example: out the written sign, e.g. Malus malus.
Miliusa tomentosa (Roxb.) Sinclair, Saccopetalum In botanical nomenclature, tautonyms are consid-
tomentosum (Roxb.) Hook.f. & Thoms., and Uvaria ered illegitimate. However, names such as
tomentosa Roxb. are all names derived from the same Cajanus cajan and Bambusa bambos are not
type of specimen and so are nomenclatural synonyms. called as tautonyms as the specific epithets do
• Basionym not repeat exactly the generic names.
For Miliusa tomentosa (Roxb.) Sinclair, the • Autonym
basionym is Uvaria tomentosa Roxb. A name that is automatically assigned to a taxon as
Pl. Cor. T. 35, 1975, and not Saccopetalum a result of proposal of another taxon. For exam-
tomentosum (Roxb.) Hook.f. & Thomson ple, recognising a subspecies or variety that
Fl. Ind. 152, 1855 & Hook.f. Fl. Brit. India 1: lacks the type species automatically establishes
88, 1872. a subspecies or variety that does possess the
• Taxonomic Synonyms, also known as Heterotypic type. As a result, at the infraspecific level, the
Synonyms, are names based on different types that last epithet of an autonym is the specific name
are thought to belong to the same taxon. unaltered but without mention of the author’s
Example: Hibiscus vitifolius L. (1753) and Hibis- name, e.g. Abutilon indicum (L.) Sweet subsp.
cus obtusifolius Willd. (1801) are based on two indicum.
separate type specimens (Linnaeus n. 265 and The publication of the name Crotalaria
Klein s. n. [B-W n. 12899], respectively). On willdenowiana subsp. glabrifoliolata Ellis in
enquiry, both the types are found to be identical, 1965 immediately created the name of another
thus completely dependent on taxonomic subspecies Crotalaria willdenowiana
judgement. DC. subsp. willdenowiana, the type of which
Hence Hibiscus obtusifolius Willd. is a taxonomic is that of the same subspecies Crotalaria
synonym of Hibiscus vitifolius L. willdenowiana DC. subsp. willdenowiana, the
• Homonym type of which is that of the same subspecies
The International Code of Botanical Nomenclature Crotalaria willdenowiana DC.
states that the earliest published homonym of 8. Comb. nov. (Combinatio nova)
two or more is to be utilised; a later homonym is Comb. nov. means new combination, a new name framed
‘illegitimate’ and not to be used unless from a previously existing epithet created by the type of
conserved. As an example: the basionym.
In the Leguminosae, the later homonym Myroxylon When a taxon of lower rank than genus is shifted to
L.f. (1782) is conserved against the older another genus or species, with or without change of
5 Taxonomy: Importance, Relevance and Application 83

rank, based on taxonomic decision, the original epithet if genus. The type specimens are treated as the most important
legitimate (basionym) is retained and the author of the accession in any herbarium and are accorded the maximum
basionym is retained in parenthesis followed by the name care and protection. Such specimens are usually lodged in
of the author who effected the change (the author of the fire-resistant cabinets.
new combination). For example, Miliusa tomentosa The life of herbarium specimens can be prolonged if they
(Roxb.) Sinclair is a new combination based on Uvaria are handled well by the users. To preserve specimens against
tomentosa Roxb. fungus and insects, precautions should be taken. It is usually
When the rank of the taxon is modified during the trans- preferable to employ pesticides that repel insects from her-
fer and its epithet from the name in the former rank has barium specimens. A label is always attached to the herbar-
been retained, the phrase stat. nov. (status novus) is used ium. It contains information such as the botanical name,
to describe the new combination. For example: Abutilon family, habit, location and date of collection, as well as the
indicum (L.). Miq. Sweet subsp. albescens Borgs. is a details of specimen collector and a brief comment.
new subspecific status (stat. nov.) given for the species
Abutilon albescens Miq.
9. Nom. nov. (nomen novum) 5.9.1 Importance of Herbarium
Nom. nov. means a new name. A new name is usually an
alternate to replace an older name, designated by the Herbarium records are vital and verifiable records of a species
type of the older name. This is often shown as such only at a certain location and time. They are regarded as the
by the citation of the older name in the synonomy primary instrument for plant categorisation and naming.
(replaced synonym). A new name is given only when no Dried plant collections are an essential part of plant taxon-
legitimate name is available. omy since they aid in identification, morphological research,
Tabernaemontana gamblei Subr. & Henry is a new name regional distribution, ecology and other aspects. The Italian
for Ervatamia caudata Gamble. Ervatamia caudata Luca Ghini (1490–1556) was the first to use this method,
Gamble. when shifted to the genus Tabernaemontana stating that herbaria are the foundation of the scientific
must be called Tabernaemontana gamblei Subr. & method and approach to plant taxonomy (Funk et al. 2005).
Henry (1972) because of existing of the name The following are the primary purposes and applications of
Tabernaemontana caudata Merr. (1909), denoting to a herbarium:
different species. In other words, the epithet caudata is
already available in the genus Tabernaemontana. • A herbarium serves as a repository of knowledge on the
10. Latin/English diagnosis flora of a region, location or country, as well as a data
A diagnosis is a concise description of characteristics storage facility for plant information.
that distinguishes a taxon from its closest relatives. A • The type specimen aids in precise plant identification.
species’ or infraspecific taxon’s diagnosis might be as • It supplies material for taxonomic, phytogeographical,
simple as stating one or two traits that other species in the palenological, phylogenetic, and anatomical research.
same genus lack. Earlier Latin diagnosis was compul- • Taxonomy has placed a strong emphasis on typical pollen
sory, but after Melbourne Code (2011) this was relaxed. characteristics. Even after over 200 years of storage, the
pollen’s morphological characteristics remain constant.
• It is extremely valuable in the study of cytology, DNA
5.9 Herbarium structure, numerical taxonomy and chemotaxonomy. It
serves as a repository for gene pool research.
A collection of preserved plants serves as voucher specimens
for identifying an unknown plant. Herbarium is essentially a
warehouse of dried and pressed plant specimens that are 5.9.2 Herbarium Techniques
methodically categorised based on generally recognised clas-
sification systems and made available for future scientific The following are the steps taken up while preparing herbar-
research or evaluation of all material of a given taxon. Most ium specimens:
of Indian herbaria, such as the Herbarium of the Botanical
Survey of India, use the Bentham and Hooker categorisation 1. Collection
system. 2. Poisoning and drying
A plant specimen is deposited in a recognised herbarium 3. Mounting and stitching
whenever a new name for a plant is proposed. They serve as 4. Labelling
type specimens. The family name is always based on the type 5. Deposition
84 C. Kunhikannan et al.

1. Collection frequently spreads after few years. The size of the standard
Plant gathering is a serious business. In most cases, a twig herbarium label is 4 × 6 inches or it may vary.
with flowers must be obtained for the specimen. The 5. Deposition
specimen’s part should have evident phyllotaxy and a Deposition is the process by which mounted, tagged and
branching system. Herbs and small shrubs up to 2–3 treated specimens are eventually placed into a herbarium,
ft. tall should be picked, and lateral branches and some where they are carefully preserved and maintained without
leaves may be cut to minimise bulk if necessary. Grasses, harm. Specimens in each herbarium are organised alpha-
algae, bryophytes and ferns should be collected whole. To betically by family, genus and species, using a specific
depict the layout of large shrubs and trees, a twig or tiny classification system.
branch with three or more nearby leaves, or at least leaf
bases, should be used. It must produce flowers and/or
fruits. Plants having distinct male and female flowers, 5.10 Virtual Herbarium
whether monoecious or dioecious, should be sought after
for collection with both male and female flowers. A virtual herbarium is an Internet-accessible digital database
2. Poisoning and Drying that contains photographs of herbarium specimens as well as
To avoid pest and insect attacks, the specimen must be the descriptive label. It is an important improvement in the
poisoned after collection from the field. There are various usage of herbarium, connecting biological specimens with
treatment options available to keep the specimen pest-free digital herbarium over the Internet. It assists researchers in
indefinitely. The specimens are poisoned by immersing integrating comprehensive specimen data, as well as resource
them in an alcoholic solution of mercuric chloride and production and retrieval. Even though a virtual herbarium
then dried between the folds of old newspapers or blotting cannot exist without an actual herbarium, it serves a more
sheets within a press. A plant press is made up of two beneficial function than a physical herbarium. Many large
boards tied by straps that assist tighten the newspapers or organisations, like the New York Botanical Garden
blotting sheets with specimens between the boards. When (KE EMu), the Fairchild Tropical Garden (E-FTG), the
the weather is nice and dry, the press can be kept outside to Australian Virtual Herbarium (AVH) and the Royal Botani-
dry. The sheets must be changed at regular intervals until cal Gardens Kew (ePIC) are creating searchable databases
the plants are thoroughly dry. The drying of plant similar to Virtual herbaria.
specimens is a time-consuming operation. Folded leaves
or flower components can be rearranged during pressing
to properly position the specimen. At the end of the drying 5.10.1 Advantages of Virtual Herbarium
process, any remaining dirt is manually removed using a
needle or scissors. 1. The user does not need to touch physical specimens
3. Mounting and Stitching because photos are provided electronically, preventing
Finally, the pressed and dried specimens are glued or specimen damage to a considerable extent.
mounted on a herbarium sheet. A typical herbarium 2. The time required in sorting out the specimen of a collec-
sheet is 29 cm by 41.5 cm and is made of thick handmade tor or a nation in a physical herbarium will be more than
paper or a card sheet. The paper used to mount specimens that required in a virtual herbarium. The virtual herbarium
should be completely dry. The sheet should be sufficiently on the other hand can achieve this in seconds.
firm to prevent damage during specimen handling. The 3. Traditional herbarium may only have a few visits in a
goal of ‘mounting’ plant specimens is to provide them particular period, while digital herbarium capabilities are
with a sturdy physical support that allows for normal referred to by a huge number of users from all over the
handling with little harm. A variety of methods are used world.
to secure the specimens to the sheet. Some quick and easy 4. It takes a long time for a researcher to obtain essential
ways to secure the specimens are to use sticky linen, paper information from preserved plant specimens in a physical
or cellophane strips. herbarium. Virtual herbarium on the other hand provides
4. Labelling descriptive features such as geographical distribution,
The label is positioned in the bottom right corner of the pictures, drawings, manuscripts, published work, micro-
herbarium sheet, and the relevant information is recorded scopic preparations, gene sequences and nomenclature via
or printed directly on the sheet or on the paper slips that easily accessible hyperlinks.
are glued on the sheets. It is best if the information is typed 5. A physical herbarium can only provide its own specimens
on the label. Handwriting should be done in permanent for research, but portals of large virtual herbaria allow
ink. Ball pens should never be used since the ink users to browse many virtual herbaria at the same time.
5 Taxonomy: Importance, Relevance and Application 85

6. Thousands of specimens and precious holotypes kept in Key Questions

the Berlin Herbarium were lost during World War 1. What is taxonomy? Explain the binomial nomenclature.
II. However, digitised pictures of herbarium can be pre- 2. What is plant classification? Explain the Bentham and
served on several computers in separate places, allowing Hooker’s system of plant classification.
them to be retrieved from any one source even if others are 3. Explain the APG system of plant classification.
destroyed. 4. What is binomial nomenclature? Explain with examples.
7. Because the majority of research projects do not require 5. Describe salient features of International Code of Botani-
physical specimens, computerised pictures may be used, cal Nomenclature (ICBN).
saving time and money on transportation of genuine
specimens.
References

5.11 Conclusion APG (Angiosperm Phylogeny Group) (1998) An ordinal classification

for the families of flowering plants. Ann Mo Bot Gard 85:531–553
APG II (2003) An update of the angiosperm phylogeny group classifi-
Taxonomy is an ever-changing subject. Development in cur- cation for the orders and families of flowering plants: APG II. Bot J
rent fields of sciences gives evidence for the advancement of Linn Soc 141:399–436
taxonomy, while frequent updating of information on taxon- APG III (2009) An update of the angiosperm phylogeny group classifi-
cation for the orders and families of flowering plants. APG III. Bot J
omy and field botany is required to help other branches of
Linn Soc 161:105–121
sciences in effectively and correctly communicating research APG IV (2016) An update of the angiosperm phylogeny group classifi-
results. The CBD recognised the sharp decline in taxonomic cation for the orders and families of flowering plants: APG IV. Bot J
expertise and the difficulties confronting biological sciences, Linn Soc 181:1–20
Bessey CE (1897) Phylogeny and taxonomy of the angiosperms. Bot
and India, as a signatory, launched the All India Coordinated
Gaz 24(3):145–178
Project on Taxonomy (AICOPTAX) with the goal of improv- BSI (2023) Plant discoveries 2022. Botanical Survey of India, Kolkata
ing the country’s capabilities for inventorying, monitoring, Chapman AD, Turland NJ, Watson MF (2010) Report of the special
conserving and utilising biodiversity, as well as establishing committee on electronic publication. Taxon 59(6):1853–1862
de Candolle AP (1813) Théorieélémentaire de la botanique (Elementary
leadership in the field of taxonomy at the regional, national
theory of botany). Déterville, Paris
and global levels. If we have enough time to spend with European Commission (1996) Interpretation manual of European Union
nature, taxonomy is a simple topic. An inquisitive observer habitats. Version EUR 15. European Commission DG XI. European
can build competence, and current devices such as mobile Commission, Brussels
Fralish JS, Franklin SB (2002) Taxonomy and ecology of woody plants
phones, laptop computers and tablets can be efficiently
in north American forests (excluding Mexico and subtropical
utilised to record images of species and their life processes, Florida). Wiley, Hoboken
and many web resources can also be used to develop taxo- Funk VA, Hoch PC, Prather LA, Wagner WL (2005) The importance of
nomic expertise. vouchers. Taxon 54:127–129
Hollingsworth PM (2003) Taxonomic complexity, population genetics
and plant conservation in Scotland. Bot J Scotl 55(1):55–63
Lessons Learnt McVaugh R, Ross R, Stafleu FA (1968) Annotated glossary of botanical
• Various classification systems with historical views nomenclature. Regnum Veg 56:1–31
• Taxonomy applications and current significance Stace CA (1991) Plant taxonomy and biosystematics. Cambridge Uni-
versity, Cambridge
• Finer details of Bentham and Hooker’s plant classification
Stace CA (2005) Plant taxonomy and biosystematics—does DNA pro-
system, its virtues and demerits vide all the answers? Taxon 54(4):999–1007
• Details of the APG plant classification system (APG I, II, Steudel (1821) Nomenclator botanicus—indexed plant names with
III and IV) synonym
Swain T (ed) (1963) Chemical plant taxonomy. Academic, London
• Binomial nomenclature
Williams PH, Humphries CJ (1994) Biodiversity, taxonomic relatedness
• Key properties of various families and genera and endemism in conservation. In: Forey PL, Humphries CJ, Vane-
• Creating a key for species identification Wright RI (eds) Systematic and conservation evaluation. Clarendon
• Various concepts and laws of plant naming with examples Press, Oxford, pp 269–287
• Herbarium preparation and maintenance methods, as well
as their significance
 Statistical Methods in Forestry Research
6
Rajiv Pandey and Abhishek K. Verma

Abstract Keywords
The result of a random experiment provides one outcome Sampling variation · Sample survey · Experimental
out of all possible outcomes. Statistical methods provide design · Analysis of variance · Regression
solution for such experiments for precise decision making
under uncertainty. The decision making under uncertainty
requires three principal stages where experimenter should 6.1 Introduction
take adequate precautions. First precaution requires appro-
priate application of statistical techniques for sample Forestry is a conglomeration of art and science dealing the
selection and subsequently data collection for the required management of forests for ensuring sustained supply of eco-
variables from the specified selected units. Second precau- system services (Kimmins 2002). With time, the focus of
tion requires application of appropriate methods for data forestry research has been shifted from species-specific and
analysis and presentation of the analysis for achieving the production to forest ecosystem and the emergent properties
objectives. Third one requires appropriate interpretation of for sustainable flow of ecosystem services. Precisely, the
the data analysis. This chapter discusses all the three research in forestry has shifted the focus from yield-based
precautions along with suitable examples of from forestry forestry towards more interdisciplinary dimensions of for-
experiments using basic statistical methods. Introductory estry research. In this discourse, forests are ecologically
remark about the forestry experiments along with basics of important and dynamic system leading to a paradigm shift
statistics, that is, variable and measurement scale is to ecosystem-based management integrating the fabrics of
elaborated with examples. Second section discusses the ecological, social and economic objectives. Currently, the
data collection protocol using suitable examples from ecosystem-based researches are pronounced by evaluating
forestry field for the basic experiments, that is, sampling functions and processes of the forests using functional traits,
methods and designing of the experiments. Third section and also ensuring the sustainable flow of ecosystem services.
deals with data analysis for forestry experiments along The researches for achieving the objective about forest
with suitable examples. Data analysis includes the repre- functioning and management require experimentation fol-
sentation of data, that is, qualitative and quantitative lowing scientific methods so that the required knowledge
method of data representation. The inferential examples for the forest may be obtained on various spatial and temporal
are included for testing of the population(s) besides scales. Scientific methods start with a problem followed by a
modeling of the cause and effect relationship. Each exam- procedure for data collection and analysis leading to drawing
ple is elaborated and interpreted for precise information of of a valid conclusion, that is, generation of knowledge.
the experiment as per the data analysis. Moreover, to be parsimony as per Occam’s razor principle,
it is essentially required that simpler explanation, that is,
knowledge for any phenomenon, should be preferred over
R. Pandey (✉)
Indian Council of Forestry Research and Education, Dehradun, India complex explanation, if all other things being equal. The
e-mail: pandeyr@icfre.org generation of knowledge, say explanation of functioning or
A. K. Verma processes of the forest, is based on inductive and deductive
Indian Council of Forestry Research and Education, Dehradun, India approaches. In inductive reasoning, an individual instance
Forest Ecology and Climate Change Division, Forest Research Institute, supports the truth of a generalization, contrary to deductive
Dehradun, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 87
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_6
88 R. Pandey and A. K. Verma

reasoning, where a conclusion is logically drawn based on the comparison of performance of different clones in a locality,
premises. comparison of performance of preservatives on wood pieces of
The deduction approach revolves around hypothesis test- different species, comparison of performance of insecticides
ing through collecting and analyzing the data for testing the on different insect, testing of chemical characteristics of plant
hypothesis/theory. Deductive approaches begin with the parts of medicinal plants, selection of wood for box making
knowledge based on findings on the basis of reasoning and (packaging purposes) in terms of strength and economics, etc.
logic to evolve theories and assumptions from general or However, the value of performance may be estimated on
universal whether conclusion is based on generally accepted average basis based on all the collected values/observation
statements or facts. Inductive approach begins with question, and thus the experiments are estimative. The estimation and
followed by data collection and essentially data analysis comparison require random experimentations and are a prereq-
highlighting the truth. In inductive approach, research study uisite for the solution of any scientific problem under consid-
explored data for regularities, patterns, and themes and eration and the two aspects, that is, estimation and comparison
formed generalizations and subsequently a theory. Inductive are dealt by statistics.
generalization requires a large number of observations from
very different conditions with the condition that none of the
The homogeneity in experimental materials is a pre-
observation statements contradict the general hypothesis.
requisite of the comparative experiments. The homo-
geneity should be ensured by addressing the factors
Major purposes in planning for the collection of data which can cause the variation. In forestry, following
through experimentations, factors caused variation in the response or in experi-
mental materials.
• Validity ensures the validity of the conclusions,
which is logically attainable through investigation • Developmental variation accounts variation in the
and free from personal bias growth and development among units, for example,
• Precision ensures that the variation due to uncon- a mature tree is taller than a young seedling of the
trolled factors (errors) in the experimentation should same species. This sort of variation can be easily
be contained at a low level eliminated by choosing similar units from the popu-
• Coverage ensures the wide applicability of obtained lation; for example, trees of same age are required in
result from the experiment the layout for the experiment.
• Environmental variation accounts variation in the
environment among the units, for example, a tree on
Experimentation in forestry is complex due to the
a good site is gregarious than that of a tree on poor
interactions of various uncontrolled factors leading to produce
site having same age and of same species. Various
random variation. The random variation in the forestry experi-
environmental conditions may vary between sites,
mentation requires the application of a scientific discipline,
such as differences in how clones behave at different
which is designed to evaluate the uncontrolled variation and
latitudes and altitudes. There can also be macro-
is not deterministic rather probabilistic in nature, that is,
variations within a site, such as a fertility gradient
occurrences cannot be predicted well in advance. In 1948,
from one corner of a forest to another, and micro-
Anscombe, a statistician, discussed that in random experimen-
variations within a site, such as changes in nutrient
tation repeated observations of same or similar events do not
availability near neighboring trees or locations.
agree with another exactly, and the researcher cannot make the
Environment variation cannot be eliminated com-
agreement perfect by taking any reasonable precautions to
pletely but can be reduced by taking trees to be
keep conditions constant; for example, the growth of neigh-
compared on the same sites and designing tactfully.
boring trees receiving similar treatments is not equal. It may
• Genetical variation accounts variation in the
happen that the absolute performance of treatments varies
genetic structure and behavior; for example, one
erratically, though the relative performance of two treatments
resin producing tree may produce more resin than
may be fairly consistent. In such cases, it may be possible to
another of the same species and age growing on the
state that in similar circumstances one treatment gives substan-
same site. Genetical variation may be reduced
tially better response than another in relative terms, even when
through the knowledge of the subject
we cannot state at all exactly what results either will give. In
• The above three types of variations in combination
such fields of experimentation, experiments are likely to be
are known as phenotypic variation. The variations
comparative, and only secondary interest is attached to abso-
are due to the experimental materials being used in
lute performance of treatments. In forestry, such comparative
experimentation.
experiments are numerous, namely, comparison of carbon
sequestration potential between natural forest with plantation, (continued)
6 Statistical Methods in Forestry Research 89

and manufactured information, require different approaches

• Sampling variation is due to the study of a repre- for the data collection. The existing information can be col-
sentative subset of the units rather than evaluation of lected through sampling design and the manufactured infor-
all units. mation as per the researcher’s requirement can be collected
• Experimental error originates due to inaccuracies through experimental design (Chart 6.1). Precisely, sampling
of assessment/ measurement/data recording. design aims to draw valid conclusions on the basis of repre-
• The sampling variation and the experimental error sentative samples from the naturally existing population
in combination are termed as the residual variation, through proper scientific technique, such as pH of soil
that is, the variation, which is remaining, when under different tree species in a natural forest. On the other
genetic and the environmental variation have been hand, in experimental design no such population exists in its
identified and addressed already. own way, rather the data has to be manufactured as per the
problem by proper experimentation to answer the posed
problem. In an experimental design, the aim is to study the
Statistical procedures are dealt with scientific approaches,
variation produced in response to purposively introduced
and drawing and generalizing interpretation of the random
variation through factors or applied treatments, such as to
experiments are art. Statistics supports to derive the
evaluate effect of different media for plant growth under
inferences and conclusions from experiments having random
natural condition. For example, the media, that is, factors or
variation by suitably designing as per the objectives, avail-
treatments, are purposely introduced to create the variation in
able conditions, and resources for collecting the information.
response as per the objective. Creation of controlled
The information collected from the experiment is subjected to
conditions is the main characteristic feature of the design of
statistical analysis as per the objectives of experiment and
experiment.
interpretation of results. For example, if a researcher
considers to evaluate water stress impacts on poplar (Populus
sp.) clones, he has to lay an experiment, which facilitates
similar conditions to respond against the external treatment to • An observation is implicitly coded information, for
all the poplar clones so that chances of being in advantage to example—the height of deodar tree is more than
any clones are refuted. The data collected from such an oak tree.
unbiased experiment, once analyzed suitably, may yield • A datum (plural is data) is explicitly coded infor-
valid inferences about the poplar clones for the posed objec- mation, for example—the height of deodar tree is
tive. Statistics provides a kit of tools to deal with random 27.9 m.
experiment only and the inferences drawn therefore are • A variable is a characteristic feature of the unit
generalized for the target population for which the under investigation, which varies with respect to
observations are obtained from the representative sample. time or space or units or for any combination of
The three steps required to obtain valid inferences from the the three.
random experiments are (1) data collection method, (2) data • A qualitative variable represents the information
analysis methods, and (3) techniques for proper interpretation of the variable in terms of quality (non-numeric), for
of results. The three steps are explained in details in the example, the leaf type of various plant species.
following section with some examples. • A quantitative variable represents the values of the
variable in terms of quantity (numeric), for example,
the pH of a forest patch is 6.7.
6.2 Methods of Data Collection • A univariate considers only one variable at a time.
• A bivariate considers two correlated variables
Data, that is, information, may be retrieved either from the simultaneously.
existing information like productivity of different patches of • A multivariate considers more than two variables
a forests or can be constructed (manufactured) as growth of simultaneously.
eucalyptus species under various growth regulators, that is,
NAA, IBA. The two types of information, that is, the existing
90 R. Pandey and A. K. Verma

Chart 6.1 Flowchart of materials in the document

6 Statistical Methods in Forestry Research 91

6.2.1 Sample Survey

units in the population, that is,. the units of the
Sample survey deals with the selection of representative sample for the variable under investigation. The
samples through suitable sample drawing protocol for the statistics estimated from the sample is representing
units of the population under evaluation. The data for the population parameters.
selected units would be analyzed for drawing the inferences • A sampling unit is smallest units, from which a
about the population. The representative sample means a sub- single observation is drawn.
set (or part) of the units from the population (which is a
collection of all units as per objective) containing all sorts of
variation present in the population. Precisely, the sample must
Sampling for any experimentation revolves around
contain all sort of variability present in the population. The
presampling and sampling choices. Presampling choices
sampling is easy, resource saving, and more scientific. The
include the nature of the study, that is, exploratory, descrip-
sampling process includes two types of error. Sampling error
tive, or conformity and variables to be measured along with
exists due to the consideration of only a part of the population,
its measurement protocol for achieving the objectives from
as some of population units are not part of the sample.
the defined target population. Sampling choices include the
Non-sampling error exists due to use of faulty instruments,
listing of the target population, that is, sampling frame, so
data recording, data digitization, and measurements.
that units can be drawn as per sampling design along with the
Characteristic Parameter Statistics acceptable (tolerable) error in the estimate which the
Source (origin) Population (all Sample (representative researchers expect; and sampling techniques and number of
units) units) units drawn in the sample, that is, sample size. The sample
Notation Greek (as μ for Roman (as x bar for sample drawing is of two types: (1) drawing as per the choice of the
(representation) population mean) mean) researcher (non-probability sampling) and (2) drawing by
Fixed value Yes, as it is based No (changes with sample)
any scientific procedure say based on probabilistic phenome-
on all units
Computation No Yes (for each sample,
non (probability sampling).
estimation is being made)

• A unit is the smallest element on which a researcher

wishes to measure the single required information,
for example, leaf area of one leaf for a single
species.
• A population or universe is the collection of all
units, which is under investigation by the researcher.
• A census is an evaluation of all the units in the
population; for example, if researcher is estimating
the biomass carbon of trees of a natural forest, for
census, researcher would measure biomass carbon
of each and every tree of the natural forests.
• A sampling frame is used for selection of the units Non-probability sampling selects the units based on either
for the sample surveys and contains the list of all the convenience or based on choices of the researcher, for exam-
units of the population. ple, selection of healthy seedlings from nursery; selection of
• A sample is a representative subset (part of the forest patches of natural forests near to road. The basic
population) of the units in the population. The rep- limitation of the sampling design is consideration of only
resentative subset considers all sort of variation part of units of the population rather than consideration of
present in the units. all units of the population for drawing the samples. There-
• A population parameter is a value, which is based fore, the generalization of the result based on such sample is
on the measurements of all the units in the popula- not possible and rather limited for the intended use. Several
tion for the variable under investigation. types of non-probability sample designs exist as convenience
• A statistics is a value, which is based on the sampling (samples drawn at the convenience of the
measurements of subset (part of population) of the researcher), quota sampling (samples drawn as per quota,
i.e., specific number of certain types of units to be surveyed),
(continued)
92 R. Pandey and A. K. Verma

Table 6.1 Comparison between the lottery and random number table
Procedure Lottery method Random number table
Population size N N
number of all units in
the population)
Sample size (number N n
of units in the sample)
Sampling frame Required Required
(listing of all units in
the population)
Assigning number to Number 1 to N will be allocated for the N units of the Number 1 to N will be allocated for the N units of the
the units of the population population
population
Process for selection Allocated number of units is marked on N number of Not required
of units identical slips of the paper. All the N number of slips would
be placed in a box
Selection procedure One by one drawing of slips after through reshuffling the A k-digit random number is selected from any point in the
for n units box should be taken place for “n” times or more than “n” random number table (“k” is the number of digits for the
times to derive a sample of size of “n” units number of the last population units). If the number
selected from the table is less than or equal to “N,” then the
unit allocated the number would be selected. If number
selected is higher than “N,” the number will be discarded
Number of draw “n” draw May be more than “n” draw
With replacement Both Both
(WR) and without
replacement (WoR)

judgment sampling (samples drawn based on personal judg- drawn slip would be selected in the sample. The sample
ment), and snowball samples (selection of additional sam- selected by replacing the drawn slips in the box in subsequent
pling unit is based on referrals from the initial units). draw is known as sample with replacement (SWR). In this,
Probability sampling selects the units either based on after the “n” drawing, the researcher gets “n” unit which
equal or non-equal probability, for example, for estimating forms the desired sample. The sample may and may not be
biomass carbon in a natural forest, compartment (smallest having distinct units in the sample. However, if the drawn
management units) number 8 and 13 may be drawn through a slips are not replaced in the box in subsequent draw, then all
random process out of total 17 numbers of compartments in the units will be distinct and the sample is termed as sample
the natural forest. In this sampling, all units are considered without replacement (SWoR). Suppose, the researcher
while drawing the units from the population and therefore, wishes to select ten Shisham (Dalbergia sissoo) trees
the results derived from the sample can be generalized to through a random process from a plantation of 150 trees, he
whole population. A sample is random, provided it is drawn has to marked each tree and the mark would be noted down
by such machinery, that in the long run any one individual of on 150 distinct slips having all similarity. The marked
the population would get selected in sample as often as any 150 folded slips would be placed in a box and the box will
other, according to Peirce. The probabilistic sampling design be thoroughly reshuffled. Thereafter, the researcher would
depends on the objective of the experiments and availability pick ten slips one by one without replacement and the trees
of the resources and several sampling designs are elaborated having the number as marked on the slips would form the
in the literature. Moreover, several methods for the drawing random sample of ten trees. The lottery method is not appli-
of samples through random process are available. cable for the population which has infinite number of units
The simplest random process is age old lottery method due to practicality.
(Table 6.1). In lottery method, “N” number of paper pieces is Another random process can be obtained through the use
made for a population containing “N” units. Each population of random number table (Table 6.1). Random number table is
unit is allocated and assigned a number, and the number is arrangement of numbers in rows and columns in such a
marked on the slips of paper of the same shape, size, and fashion that each of the digits 0, 1, 2, . . ., 9 appears indepen-
color. The marked slips of paper are folded and kept in a box dently and approximately with the same frequency across the
for drawing a sample. Now suppose the researcher attempts table. Drawing samples through random number table pro-
to draw a “n” number of units from the population; therefore, cess is most practical, easy, and inexpensive. Various “Ran-
the researcher will have to make “n” draw one by one either dom Number Table” has been made and named as Fisher and
by replacing or not replacing the drawn slips in the box in Yates random number table, Tippett random number table,
subsequent draw. The unit as per the marked number on the Kendall and Smith random number table, and Rand
6 Statistical Methods in Forestry Research 93

Corporation random number table. The researcher can use units, that is, patches is sampling frame. Selection of a sample
any one table as per his convenience. In random number table of size of “n” units from a population containing “N” units
method, each “N” number unit of the population is allocated through a random process requires allocation of a number
and assigned a number from 1 to “N” and a number from an 1 to N to the units of the population. The Tippett random
identified random number table is selected from the k-digit number table is used for selection of “n” units from the
random number from any point in the random number table. population by selecting numbers from the table. The “n”
The “k” is the number of digits in the number of the last selected units, that is, patches from the population will be
population units; for example, if in a population, there are explored for collection of litter from the patches. The col-
1,15,325 number of trees, then N is 1,15,325 and “k” is lected data will be subjected for the desired analysis as per
6. Suppose, if a researcher wants to select a sample for a objective. The process is exemplified below for better
specified sample size from a population of size N (<99), then understanding.
any two digit random number from anywhere in the random
number table can be selected from (00–99) from the random Selected patches from
Patches of the forest— Selected numbers the patches of the
number table. If the selected number from the table is less population (N = 25) by random forests—Sample
than or equal to N, the unit matches with the selected number (Sampling frame) number table (n = 5)
of the table and is included in the desired sample; otherwise, 1 2 3 4 5 6 9 12 18 19
the selected number of table is discarded, and a new number 6 7 8 9 10 6 9 The 5 at random
from table is selected. The next number not exceeding N may 11 12 13 14 15 12 selected patches
18 19 (sample size) from
be selected systematically either moving horizontally, verti- 16 17 18 19 20
25 patches
cally or any other direction as per the choice of the researcher. 21 22 23 24 25
(population size) of
The process is repeated till the researcher gets the desired the population
number of units for the sample. In this process also, sample is constitute the sample.
These five patches
drawn with or without replacement depending upon whether
will be evaluated for
the selected number is being considered or not in next draws. data collection
Random sampling attaches a selection probability to each
and every unit in the population to be included in the sample Note: It is assumed that patches of forests (represented by number 1–25)
and refers to random manner selection of samples from the are more or less similar. This is pre-requisite for SRS
population; for example, if researcher wants to evaluate the Stratified Random Sampling: Stratified sampling is a fit
productivity of a natural forest containing 12 compartments case for the units of the population where variation across the
through random sampling, he may select any three (sample units of the population is apparent. If the units of the popula-
size) compartments through lottery method or random num- tion are heterogeneous for the variable under investigation,
ber table approach. Following are random sampling stratified random sample may be applicable for collection of
approaches being extensively used in the forestry sample. In this sampling, first the heterogeneous population
experimentation. is classified into different strata (subpopulation) in such a
manner, so that the units of the different strata are homoge-
• Simple random sampling neous within themselves. The strata are designed in such a
• Stratified random sampling manner that they do not overlap each other. Now, the sample
• Systematic sampling size for each stratum is decided either through equal alloca-
• Cluster sampling tion of units from each stratum (termed as equal allocation
procedure) or based on proportion of units of the strata with
Simple Random Sampling: In simple random sampling respect to the total units of the population (termed as propor-
(SRS), each and every unit in the population has equal and tional allocation). A sample as per the size for the stratum is
independent chance of being selected in the sample. The selected through random process and the same process is
information may be collected from the selected units of the followed for all the strata of the population. The collection
sample and used for the analysis. SRS is applicable only if all of all units from each stratum constitutes the stratified random
the units of the population are more or less similar with samples. The information may be collected from the selected
respect to the objective of the investigation. For example, units of the sample and used for the analysis.
the researcher wishes to estimate litter fall in a natural forest. For example, the researcher wishes to estimate soil
In this, the forest area will be divided into small patches organic carbon (SOC) in a natural forest containing
containing some trees, say “N” units. The researcher dominated species from two leaf habits, that is, deciduous
inspected all units and found that more or less all “N” units and conifer in different patches. The SOC is dependent on the
(patch) of forest are having more or less same number of trees tree species, and therefore the species under two leaf habits
with similar growth and development. The listing of all “N” would differ for their SOC stock. Therefore, the forest has to
94 R. Pandey and A. K. Verma

be stratified in two strata one for each leaf habits. In this forest For example, the researcher wishes to estimate crown size
area will be divided into small patches containing different of trees in a huge natural forest containing different species.
tree species of the two leaf habits, say “N” units, and out of N, In this forest, counting or listing of tree is not available rather
conifer species dominates in N1 units and deciduous species not possible also; however, roughly, 1,50,000 trees are pres-
dominates in N2, namely, N = N1 + N2. The listing of all “N” ent in the forests. Therefore, the population size is
units, that is, patches constitutes sampling frame. Selection of 1,50,000 = N and the researcher wishes to evaluate
a sample of size of “n” units from a population containing 150 trees, that is, sample size is 150 = n. The sample size
“N” units through random process in the sampling requires to is estimated through scientific protocol. In systematic sam-
select a sample of “n1” units from conifer and “n2” from pling first, sampling interval has to be estimated which will
deciduous species such that n = n1 + n2. The Tippett random be k = 150,000/150 = 1000. Now, the researcher will select
number table is used for selection of “n1” and “n2” units from the first unit through random process by selecting a number
the two strata by selecting numbers from the table. The from random number table from the first 1000 trees of the
“n = n1 + n2” selected units, that is, patches from the popula- forest. Say, the first tree was selected as 577 and then the
tion will be explored for collection of SOC from the patches remaining trees may be selected as 577 + 1000 = 1577th tree;
under the two strata. The collected data will be subjected for 1577 + 1000 = 2577th tree and the process will continue till
the desired analysis as per objective. The process is all the 150 trees required for the sample is collected. The
exemplified below for better understanding. selected trees will be explored for the data and the collected
data will be subjected for the desired analysis as per objec-
Selected patches
from the patches tive. The process is exemplified below for better
of the forests— understanding.
Sample
Patches of the forest— (n = 3 + 2 = 5)
Selected first
population (N = 15 + 10 = 25) Selected numbers by random proportional number by
(Sampling frame) number table allocation Patches of the forest— random number Selected patches from the
1 2 3 4 5 4 4 7 16 20 23 population (N = 25) table (k = 25/ patches of the forests—
6 7 8 9 10 7 The 5 at random (Sampling frame) 5 = 5) Sample (n = 5)
11 12 13 14 15 selected patches 1 2 3 4 5 4 4 9 14 19 24
(sample size);
16 17 18 19 20 16 20 6 7 8 9 10 9 The 5 selected trees (sample
3 from deciduous
21 22 23 24 25 23 11 12 13 14 15 14 size) with the first as fourth
and 2 from tree as per the selected
Deciduous ConiferDeciduous Conifer conifers from 16 17 18 19 20 19
random number; and
25 patches 21 22 23 24 25 24 remaining four as per
(population size) sampling interval
of the population
(5) constitute the sample.
constitute the These five trees will be
sample as per
evaluated for data collection
proportional
allocation. These
five patches will Note: Due to the non-availability of listing of the trees, systematic
be evaluated for sampling is adopted by obtaining the first unit as fourth tree and
data collection subsequent trees through systematic approach

Note: Due to the heterogeneity in terms of the leaf habits (contribute Cluster Random Sampling: Cluster random sampling is
differentially for SOC), the forest patches (represented by number 1–25) preferred for large-scale surveys where the sampling frame
has been divided into two strata as per the dominance of the conifer or
deciduous tree species. It is assumed that patches of forests are more or for the sample selection is not available. In this sampling, the
less similar within the strata population is divided into smaller groups based on adjacent
units and termed as clusters. The cluster comprises of adja-
Systematic Random Sampling: Systematic sampling is a cent units without overlapping of units and generally decided
fit case for the population, where sampling frame cannot be based on pre-existing units. The units within the cluster
created due to various reasons such as listing of all trees in a should be as diverse as possible and all clusters together
large natural forest. The sampling starts with selection of the should cover the entire population. Ideally, the cluster sam-
first unit through a random process and the remaining units pling would be highly precise, if cluster truly represents the
are selected as per sample size according to some pre-defined entire population. However, since clusters are in general
system. In this sampling interval (k) has been defined as the naturally occurring groups, they are homogeneous than the
integer of the ratio of population size and sample size, that is, population as a whole. The sampling is made by randomly
k = N/n. The first unit is selected by random process from the selecting some clusters from all the clusters following ran-
first k units and subsequent units are selected by adding the dom selection procedure. Cluster sampling is time and
sampling interval with the number of the first selected units, resource efficient, especially for units with widely geograph-
that is, every kth units, starting from the first selected unit is ically spread.
included in the sample.
6 Statistical Methods in Forestry Research 95

Patches of the forest—

Population (N = 30) Selected trees for
the population units, on which the conclusion is
(Sampling frame) Cluster Selected two clusters by biomass estimation
5 (Each containing six random number table (2 clusters each with six generalized. For example, in disease evaluation of
units) (Cluster—2) trees) a small nursery, all seedlings of the nursery may be
1 2 3 4 5 1 2 4 9 14 19 24
considered as experimental material.
6 7 8 9 10 6 7 Two clusters have been
11 12 13 14 15 11 12 selected i.e. all 12 units • A plot is the smallest unit on which a treatment is
have been considered applied and from which single observation is
16 17 18 19 20
for data collection
21 22 23 24 25 23 24 25 recorded. A plot may be an area of land on which
26 27 28 29 30 28 29 30 a crop is grown, may be a piece of animal tissue, a
forest stand, a tree, a group of trees, a branch of
For example, the researcher wishes to estimate the bio- tree, etc.
mass of trees in a large natural forest containing different • A block is a group of homogeneous plots used in the
species. In this forest, counting or listing of trees is not layout of the design and on which various
available easily. However, a group of trees may be treatments are applied.
constituted as clusters. Say for example, a forest contains • A treatment is in a generic sense indication of the
30 trees and researcher can constitute five clusters each stimulus, and is intentionally introduced variation
containing six trees. Now out of five clusters, researcher causing elements to be tested in experimentation.
can select two clusters at random and evaluate each and For example, different insecticides are treatment as
every units of the cluster following random sample selection they are being applied to control the insect
procedure. The selected trees will be explored for the data infestation.
and the collected data will be subjected for the desired analy- • A factor is a well-defined and designed source of
sis as per objective. The process is exemplified below for explainable variability introduced in the experimen-
better understanding. tation and has various doses, termed as levels of the
factor. For example, to evaluate the effect of mois-
ture content on seed germination, different levels of
6.2.2 Design of Experiments moisture content say 30, 40, 50% are three levels of
the factor “Moisture.”
Finney explains that the design of an experiment includes the • A level is distinguishable different qualitatively or
observations selected for comparison; the specification of the quantitatively states of a factor. A factor whose
plots for the application of the treatments; the rules by which levels differs only in a nominal manner is a qualita-
the treatments are to be allocated to plots; and the specifica- tive factor, while a factor whose levels differ only in
tion of the measurements or other records to be made on each quantitative ways is a quantitative factor.
plot. The effective and valid design requires three basic • Selection of levels or does is determined either
principles: randomization, replication, and local control. theoretically or as per the experience of researcher.
Randomization is a “physical basis of the validity of the • A crossed classification accounts multifactor
test or trial” achieved through allocating the treatments to the experiments and ensures that each level of one fac-
experimental units in such a fashion, that is, random process, tor is observed at all levels of the other factor(s).
which ensures independency of observation from each exper- • Ross advocates that when experiments involve
imental units. Cochran and Cox (1957) define many factors at many levels and where there is
“randomisation is somewhat analogous to insurance, in that access to an almost unlimited choice of land, so
it is a precaution against disturbances that may or may not that uniform sites may be chosen, then larger blocks
occur and that may or may not be serious, if they do occur.” may be supported.
The random allocation safeguards the experiment from the • A yield is any quantitative measure obtained from a
continuous influence of extraneous factors. plot against the introduced treatments. For example,
height of plants due to different treatments on yield
for that experiment.
• An experiment is a controlled application, intro- • A control group for comparison is determined as
duction, or intervention of some treatments on a set per the objective of the experiment. Control may be
of individual sampling unit. “no application of treatment” or “a well-established
• An experimental unit is the subject or material or standard” or as per the choice of the researcher.
field on which the external treatment or stimulus is • A layout is the allocation of treatments on the
applied. These experimental units are the subset of experimental units or plots.

(continued)
96 R. Pandey and A. K. Verma

Replication is repetition of the treatment to facilitate into consideration in CRD, due to the homogeneous nature of
increased accuracy of estimates of treatment effect. experimental units.
Replications are necessary to eliminate the factors of Layout of the CRD for data collection: In this arrange-
variability and to estimate the experimental error, in order ment, the experimental material is divided into N number of
to increase the precision of the experiment. The number of plots or pots (in nursery trial) or group of pots, such that for
replications depends upon the permissible expenditure and the v treatments each replicated r times follows v × r = N. For
the required degree of precision, that is, the size of true random allocation of the treatments with their replications,
differences that the experiment is to show as significant. the plots are marked as 1, 2, . . ., N and the treatments are
One of the conventional criteria for determining number of allocated in the plots using random process, that is, through
replications is to consider replications which ensure at least random number table. Unequal replication is also possible in
12 degrees of freedom (df), or preferably more for the error the design and is applicable if some treatments have more
source of variation in the analysis of variance (ANOVA) of variance than others or has greater interest than other
the design applied as below 12 df, the value of “F”- statistic is treatments.
not stable, and test becomes sensitive.
Local control is a tool to control error and ensure reduc- T2R3 T6R4 T5R1 T3R3 T4R2 T6R3
T4R3 T3R1 T3R2 T2R4 T1R1 T4R4
tion in variance of the estimates of the treatment effects and
T5R3 T1R2 T2R1 T1R3 T3R4 T5R4
can be achieved by making the experimental units homoge-
T1R4 T4R1 T6R2 T5R2 T6R1 T2R2
neous or formation of several homogeneous groups. The
basic principle underlying local control is that the experimen- Note: CRD layout for six treatments (T) replicated (R) four times, where
tal units should be as similar as possible before the introduc- TiRj means ith treatment at jth replication
tion of treatment. Another importance of local control is
consistency in the data recording process through using the Application of CRD: This design can be extensively used
same measurement devices (instruments), background in forestry research for:
conditions (aspects, slopes), and unbiased measurements of
the data. 1. Comparative germination tests in nursery or lab
Types of design: The design is classified broadly into two (a) Method of storage of seeds for species
types, that is, orthogonal designs and non-orthogonal (b) Pre-sowing treatments to stimulate germination for
designs. Orthogonal design is a design in which all the levels species
of a factor occur with every level of other factor. Orthogonal- (c) Suitable germination media for species
ity ensures that the effect of a factor is not entangled with the (d) Germination of seeds of some species
effect of other factors. There are three basic designs, which 2. Comparative nursery trials
are commonly applicable in forestry experiments depending (a) Soil preparation experiments
upon the objectives of the experiment and the nature of the (b) Nursery manuring experiments
experimental materials. (c) Shading and sheltering experiments
(d) Nursery weeding experiments
• Completely randomized design (CRD) (e) Watering experiments
• Randomized block design (RBD) 3. Planting experiments in nursery
• Latin square designs (LSD) (a) Entire plants of different ages and sizes
(b) Storage and transplant of plants
Non-orthogonal designs are of several types. Here, we (c) Drought and frost stress
would only discuss about the incomplete block design.
CRD is suited for the comparing of the treatments to be Homogeneity cannot be ensured for large experimental
applied on the homogeneous experimental material. Lab materials and therefore blocking of experimental units,
conditions and nursery conditions, where the conditions are which provides homogeneous groups of units and treated as
similar for all the similar experimental material, are the fit replication is an appropriate way for designing the
case for CRD. For example, if the researcher wishes to experiments. In RBD, random allocation of each treatment
compare the growth of seedlings of four species growing in is made in each block. It is assumed that though the results
a nursery, it can be considered as homogeneous condition differ in different blocks, the relative effects of treatments are
and is suitable for CRD. In such random allocation, the whole same in all the blocks apart from experimental error, that is,
experimental material is homogenous and the differences to there is no interaction between treatments and blocks. In
be observed in the response are completely due to the actual simple words, the differences among treatments are about
differences of the effect of treatments that is the species in the same in all the blocks. Due to this fact, it is not advisable
this experiment. The principle of local control is not taken to have blocks that differ greatly between each other; such
condition may cause interaction with treatment. Interaction, if
6 Statistical Methods in Forestry Research 97

exists, must be eliminated from the experiment, as the large (e) Cover crop experiments
interaction will provide misleading result of the experiment. (f) Crop thinning experiments
Layout of the RBD for data collection: In RBD, all the
“k”(say) treatments to be evaluated are applied randomly in Note: Testing the block effect is not strictly essential, but
all blocks (say r), in a total “kr” number of experimental the ratio of the block sum of squares to the error mean sum of
units, where each of “r” blocks is subdivided into “k” plots. squares provides an indication of the precision gained
In simple RBD, number of replications for all the treatments through blocking. A large block mean sum of squares
is equal. The treatments are allocated to the plots of a block in indicates that the design is more sensitive than a Completely
a random manner and a separate randomization is considered Randomized Design (CRD). However, equal block and error
for allocating treatments in each block. mean sums of squares indicate that blocking does not result in
any improvement in precision.
Block 1 Block 2 Block 3 Block 4 Block 5 Block 6 Latin square design (LSD) accounts for the two directions
T4 T2 T1 T3 T4 T2 variability in the experimental material. In LSD, the plots are
T2 T1 T4 T2 T1 T3
arranged in the form of a square, so that the number of rows
T1 T3 T3 T4 T2 T4
and columns are equal to number of treatments. Each treat-
T3 T4 T2 T1 T3 T1
ment should be allocated in such a way that the treatment
Note: RBD layout for four treatments (T) replicated (R) (shown as should occur only one time in each row and only one time in
block) six times, where Ti represents ith treatment each column. For example, if a researcher wishes to compare
the growth of seedling under four types of fertilizer for four
Application of RBD: RBD is extensively used in forestry provinces, each with four different ages, then LSD is the
research for: appropriate design to study the effect of different treatments.
This arrangement eliminates variations due to different prov-
1. Comparative germination tests enance and different ages, and provides an estimate of the
(a) Pre-sowing treatments in field to stimulate true effect of fertilizers. Generally, a Latin square design is
germination applicable for 4–12 treatments. The basic assumption one has
(b) Tests of germination media for field experiment. to take care while using LSD is that the two sources of
(c) Depth of sowing of seeds in field variability do not interact and they should act independently
2. Comparative field trials without affecting to each other.
(a) Nursery manuring experiments Layout of the LSD for data collection: A Latin square of
(b) Shading and sheltering experiments an arrangement of ν symbols, known as order of Latin square,
(c) Weeding experiments arranged in ν2 cells in ν rows and ν columns, such that every
(d) Watering experiments symbol occurs only once in each row and once in each
(e) Spacing of transplants column. A Latin square is in the standard form, if the symbols
3. Investigations on planting out experiments in the first row and first column are in the natural order.
(a) Entire plants of different ages and sizes in natural
forest Block 1 Block 2 Block 3 Block 4
(b) Partial pruning of plants in root or shading effect T1 T2 T3 T4
(c) Root and shoot pruned plants (stumps) of different T4 T1 T2 T3
dimensions T3 T4 T1 T2
(d) Storage and transplant of plants after removal from T2 T3 T4 T1
nursery
Note: LSD (standard) layout for four treatments (T) and replicated ®
(e) Frequency, date and type of weeding four times
(f) Protection methods for drought and frost
(g) Effect of training and pruning Applications of LSD: LSD is used in the following for-
4. Experiments on single trees on established crops estry experiments:
(a) Coppicing trials
(b) Resin and gum tapping experiments 1. Comparative germination tests
(c) Pruning trials (a) Five pre-sowing treatments for five species in field
5. Experiments on plots of established crops for germination trial
(a) Weeding experiments (b) Four germination media for four humidity in field for
(b) Cutting back and burning experiments growth
(c) Coppice thinning experiments (c) Six depth of sowing with six planting media for
(d) Root competition experiments survival of seedlings
98 R. Pandey and A. K. Verma

2. Comparative trials of the blocks, randomization of the treatments within each

(a) Coppicing trials for five height with five growth block, and a separate randomization in each block.
regulators Applications of IBD: IBD can be applied in various for-
(b) Pruning trials for four directions and four volume of estry experiments where performance of a large number of
pruning treatments is evaluated.

In designing experiment, sometimes, the number of 1. Provenance, progeny, and clonal trials
treatments is more than the number of plots in a block; 2. Carbon capturing potential of various evergreen trees
hence, the all treatment cannot be accommodated in the
block, that is, block is incomplete and such a design termed
as incomplete blocks is called an incomplete block design. 6.3 Methods of Data Analysis
An incomplete block design is defined as balanced incom-
plete block design (BIBD) for v treatments and b blocks each Data collected from the field is in raw form and needs to be
of size k (v > k) such that each treatments is replicated r times summarized, processed, and analyzed to derive the inherent
and each pair of treatments should occur in same number of information. In following section, data summarization and
times. BIBD is applied, if all treatment comparisons have analysis are discussed.
equal importance as BIBD ensures equal precisions of the
estimates of all pairs of treatment effects. The situation
happens when a large number of treatments are required to 6.3.1 Data Presentation
be evaluated; for example, researcher is interested to compare
40 number of provenances of Shisam (Dalbergia sissoo) at a Data and information can be presented in textual, tabular, and
location; for the experiment, 40 plots of same size is graphical forms. Text, tables, and graphs are communication
accommodated in each block, thereby the homogeneity tools for data and information by making them easy to under-
among the plots of a block is difficult to maintain, rather stand, attractive, and to efficiently comprehend large and
leading to large variability within the blocks thereby making complex information. Data presentation should focus on
the design imprecise. simplicity of presentation and choice of presentation should
Precisely, a BIBD is an arrangement of v treatments in b be based on data format, measurement scale, method of
blocks of k plots each (k < v) in following manner, analysis, and objective of the experiment.
Meaningful information from raw data can be obtained by
1. Each treatment occurs only once in r blocks and summarizing the information through various means
2. Each pair of treatments occurs together in λ blocks. depending upon the data, data format, and objective of inves-
tigation. Summarization of quantitative information starts
The integers b (number of blocks), v (number of with arranging the numeric data in ascending or descending
treatments), r (number of replications for each treatment), order and known as array; however, qualitative information
k (number of plots in each block), and λ (number of blocks can be summarized by classifying the data into different
in which each pair of treatments occurs or number of times categories; for example, leaf margin of the tree species can
any two treatments occur together in a block) are parameters be classified into various categories as entire leaf, lobed leaf,
of the BIBD. The following parametric relations are neces- toothed leaf, and parted leaf. Other methods of visual repre-
sarily required for the existence of a BIBD. sentation are discussed below.

1. vr = bk
2. λ (v-1) = r (k-1)
• The raw data are collected directly from field and
3. b ≥ v (Fisher’s Inequality)
have not been processed and organized by any
means.
Incomplete block designs are categories in many types as
• The primary data are collected from the units or
balanced incomplete block design and partially balanced
individuals directly by the researcher for his
incomplete block designs, which contain a very broad class
research purposes. These data are used for the first
of designs.
time for his research.
Layout of the IBD for data collection: The randomization
of treatments to experimental units due to incomplete block (continued)
includes randomization of the treatment label, randomization
6 Statistical Methods in Forestry Research 99

forests. Moreover, data presentation of long list of informa-

• The secondary data are collected by other persons tion in text is difficult to grasp than tables and graphs.
or agency for their defined purposes; however, they Summarization by table presentation: A table is a repre-
are used for other than the primary purposes. sentation of information in rows and columns and is used for
• A frequency is number of total individuals in a representing both quantitative and qualitative information
category. and most suited once researcher is interested to provide
• A frequency distribution is a tabular presentation equal attention for all information (Table 6.2).
of summary of frequency (or number) of individuals Tables summarize accurate information and are useful for
in different non-overlapping classes or categories as comparing quantitative information of variables. However,
per the information or data. the interpretation of information in table requires more efforts
• The relative frequency of a class is the ratio (frac- than the graphs and is also difficult to evaluate the trends.
tion) or proportion of the total frequency of the units Heat map has better visualization of information than
(items) belonging to the class. tables by using colors to the background of cells
• A relative frequency distribution is a tabular pre- (Table 6.2). The colors or color saturation in the cell may
sentation of the summary of relative frequency for be adjusted for precise communication of the information,
each class. and it facilitates the readers to quickly identify the interested
• The percent frequency is the product of relative information.
frequency with 100. Summarization by graphic presentation: A graph is a
• A percent frequency distribution is a tabular pre- way to represent the information in a visual form as line,
sentation of the summary of percent frequency for bar, and picture which facilitate comparison, reveal trends
each class. over time and relationships. Graphs facilitate to simplify
• A comparison chart is used to compare one or complex information using visual tools and presenting data
more data sets. patterns, and are also useful for summarizing, explaining, or
• A relationship chart is used to show a relation exploring quantitative data.
between two or more variables. Bar graph: A bar graph represents and compares values,
• A composition chart is used to display parts of a frequencies, or other statistical parameters of a qualitative
whole and change over time. variable containing discrete categories or groups of a single
• A distribution chart is used to show how variables information. The height or length of a bar represents the value
are distributed across the categories. (or frequency) of information in a category. A bar graph is
also used to represent information in a grouped or subdivided
bar format in cases of more than one information contained in
Data presentation can be of two types, that is, graphical each category; such graph is termed as multiple bar chart
and tabular presentation and numeric presentation. (Fig. 6.1a, b). A bar chart may also be used to represent the
Numerous approaches may be followed for representation sum of each category or percent of each category through the
of the data. The representation depends on the data types and stacks and termed as stacked bar chart or percent bar chart
objective of the research. (Fig. 6.2a, b; Table 6.3).
Summarization by text presentation: Text explains Pie chart: A pie chart is two-dimensional circular repre-
findings, outlines trends, and provides contextual information sentation of nominal data distributed in several categories,
and also express the interpretation of results. Text can be used showing the proportion of category representing the segment
for comparing or discussing two or three scenarios at a certain (Fig. 6.3). The area of segment is proportional to the angles of
time point; for example, the productivity of evergreen species corresponding category and is calculated by multiplying the
is more than the productivity of conifer species in temperate relative frequency with 360.

Table 6.2 Example of a tabular and heat map presentation of diversity indices of some forest types
Table Heat map
Shannon-Weaver Simpson Shannon-Weaver Simpson
Forest type index dominance Forest type index dominance
Banj Oak Forest 3.32 0.95 Banj Oak Forest 3.32 0.95
Dry Deodar Forest 2.7 0.92 Dry Deodar Forest 2.7 0.92
Moist Temperate Deciduous 2.92 0.94 Moist Temperate Deciduous 2.92 0.94
Forest Forest
Moru Oak Forest 3.73 0.97 Moru Oak Forest 3.73 0.97
100 R. Pandey and A. K. Verma

Fig. 6.1 (a) Simple bar chart and (b) multiple bar chart for number of individuals of species

Fig. 6.2 (a) Stacked bar chart and (b) percent bar chart for number of individuals of species

Table 6.3 Suitability of types of charts along with purpose

Purpose Nature Category Chart type
Composition Item (Frequency) One or two per items Bar chart
Over time (Time series) Many periods Circular area/line chart
Few periods Bar/line chart
Relationship If exits Two variables Scatter plot
Distribution Item One Bar/line histogram
Two Scatter chart
Comparison Dynamic Only relative differences Percent stacked bar chart
Relative and absolute differences both Stacked bar chart
Static Simple share of total Pie chart
Accumulation Waterfall chart
Components Percent stacked bar chart with subcomponents

Box and whisker chart: A box and whisker chart highest and lowest values of the data. Besides, box plot also
(Fig. 6.4) is a graphical display of single information and presents individual points outside box, which are outliers
consists of boxes representing inter-quartile range (one to (Fig. 6.5). The relative location of the median within the
three), the mean and median of the data, and whiskers are box provides information about the skewness and the dis-
presented as lines outside of the boxes and reflecting the tance between the two ends of the box is inter-quartile range.
6 Statistical Methods in Forestry Research 101

Line plot with whiskers: A line plot represents time-series

information such as daily or monthly precipitation and annual
productivity of the forests (Fig. 6.6). Line plot is useful for
evaluating trends and patterns for time-series data. For exam-
ple, line chart may be made for the data, measured over the
progression of a continuous variable, such as distance. Line
plot can contain a multiple data sets on a single line graph to
compare and analyze patterns across different data sets.
Scatter plot: A scatter plot is the simplest way to evaluate
the relationship (association) by plotting the pairwise data of
two variables on the two-dimensional graph paper (Fig. 6.7).
Scatter plot provides an indication about the nature of relation-
ship between the two correlated variables; for example, the
relationship between the infected area of leaves against weight
loss with following data can be elucidated by scatter plot.

Weight loss (g) 12 13 16 17 18 10 11 14 9 9 15 16

Infected area 3.5 4.5 5.5 6.5 6.5 3.5 4.5 4.5 2.5 2.1 5.6 6.2
Fig. 6.3 Pie chart representing the proportion of leaf shapes of various
(mm2)
shrubs in a natural forest

Minimum First Quartile Mean Median Third Quartile Maximum Outlier

Fig. 6.4 A box plot with whiskers

Fig. 6.5 Box plot of monthly humidity (%)

102 R. Pandey and A. K. Verma

Fig. 6.6 Line plot for monthly

temperature (°C)

Fig. 6.7 Scatter plot between

infected area with weight loss

The raw data can be represented by summary measures 6.3.2 Averages

through numerical entities. The summary measures describe
the data in precise form with the support of numerical values. Three measures of central tendency or averages are common in
Main summary measures include measures representing the statistical analysis for forestry experiments and are known as
center or middle most values or most common value and the mode, median, and mean. Each measure of the central ten-
spread of the data along the central value. The two summary dency is designed to represent a typical score. The choice of
measures are termed as measures of central tendency or the use of the measure depends on the shape of the distribution
measures of averages and measure of dispersion or mea- (normal vs. skewed) and the measurement scale of the variable
sures of variance. These summary measures describe (nominal, ordinal, interval and ratio) (Table 6.4).
charecteristics of the data set in numerical terms and dealt Mode: Mode represents the most frequent value in a data
under the theme of Descriptive Statistics in statistical litera- set and is typically associated with nominal variables. For
ture. The following section deals with the summary example, in conifer forests, the most common leaf shape is
measures. needle-like, indicating that the predominant leaf shape in
such forests is needle-like. Similarly, in eucalyptus species,
the bole of trees of the species are generally straight and
clean, which suggests that the bole of trees of the eucalyptus
species are straight and clean.
6 Statistical Methods in Forestry Research 103

Table 6.4 Suitability of numerical measures with purpose

Measure Purpose (Scale) Description Interpretation
Mean Middle value (ratio scale) Data value lies above and below to the Measure of central value
middle value
Mode Middle most (nominal The value occurs most times Measure of central item
scale)
Median Middle point (ordinal scale) The midpoint—half above and half below Measure of central point
Standard Spread in a sample (ratio Variation in a sample along mean Spreadness of the data with respect to mean of a
deviation scale) sample
Standard error Spread in population (ratio Variation in a population along mean Spreadness of the data with respect to mean of a
scale) population

Median: Median is the middle point of the data arranged Standard Deviation: Standard deviation (SD) is the posi-
in an order. Any data set can be said to be ordered if the tive square root of the mean-square deviations of the
values of the data is arranged in either descending or ascend- observations from their arithmetic mean. The square of SD
ing order. Median is generally dealt with the ordinal variable, is variance and estimated as below for the observation x1, x2,
for example, the midpoint of a forest. . . ., xn
Mean: Mean is the numerical measure based on all the
observations of the variable and representing the central n
value of the data. Mean is estimated by the ratio of sum of ð xi - xÞ 2
i=1
all the observations and the number of observations. Mean is Standard deviationðSDÞ =
n
also used to predict the values for other items.
The precision of mean in general and for prediction needs Standard Error: Standard error (SE) is the ratio of SD to
to be evaluated. This can be achieved by evaluating the the square root of the size of sample. SE measures the likely
dispersion (spread out or scatteredness) of data on each side discrepancy between the estimated sample mean compared to
of the center. Three measures of dispersion or variation are the population mean.
commonly used in statistical analysis for forestry
experiments as range, standard deviation (SD), and coeffi- SD
Standard errorðSEÞ = p
cient of variation. Each measure of dispersion is designed to n
represent a typical score and the choice of the use of the
measure depends on the shape of the distribution Standard error is a measure of spread and provides the
(normal vs. skewed), and the measurement scale of the vari- precision of a sample mean by measuring the sample-to-
able (nominal, ordinal, interval and ratio) (Table 6.4). sample variability of the sample means. SE decreases with
Range: Range is estimated by the difference between the increase in sample size. If analysis is based on sampling,
largest and the smallest values of the variable in the distribu- which is generally applicable in research, it is always advis-
tion. If x1, x2, . . ., xn are the values of observations of the able to use standard error.
variable, then range (R) of the variable is estimated as Coefficient of Variation: A coefficient of variation
follows: (CV) is a measure of dispersion and is a ratio of the standard
deviation to the mean of the distribution. CV is spread as a
Rðx1 , x2 , . . . , xn Þ = maxfx1 , x2 , . . . , xn g proportion of its mean. CV is a dimensionless number that
- minðx1 , x2 , . . . , xn g can be used to compare the amount of variance between
populations with different means.
Mean Deviation: The mean deviation is a measure of
sx
dispersion and is an average of absolute deviations of indi- CV =
vidual observations from the central value (mean, median, x
and mode) of a series. If x1, x2, . . ., xn are the values of
Example: Following are the leaf area (in cm2) of 25 leaves
observations, then mean deviation of the variable is estimated
of Abies pindrow in a temperate forest of Mussoorie Forest
as follows:
Division, Uttarakhand. Use this data to estimate all relevant
numerical measures.
xi - x
Mean deviation =
n 21.6 22.4 19.9 18.9 22.5 21.5 24.7 17.8 27.6 20.6 21.3 23.3 19.6
24.2 25.7 18.7 20.8 19.6 21.4 20.8 21.9 26.7 19.6 20.4 25.5
104 R. Pandey and A. K. Verma

Solution: n = 25; Maximum observation = 27.6; Mini- Note: It is advisable, in general, to estimate the measure of
mum observation = 17.8 central tendency (especially mean) and standard deviation or
Data processing of leaf area for 25 leaves for estimation of standard error for the collected data in all cases until any other
averages and dispersion measures are prescribed. The estimate forms summary
numerical measures for the data.
Sl. no. Leaf area (x) xi - x jxi - xj ðxi - xÞ2
1 17.8 -4.08 4.08 16.6464
2 18.7 -3.18 3.18 10.1124 6.4 Relationship Estimation
3 18.9 -2.98 2.98 8.8804
4 19.6 -2.28 2.28 5.1984
Relationship can be evaluated between two variables
5 19.6 -2.28 2.28 5.1984
(bi-variate). Many instances in forestry, the relationship eval-
6 19.6 -2.28 2.28 5.1984
uation is critical. For example, the relationship between fol-
7 19.9 -1.98 1.98 3.9204
lowing variables
8 20.4 -1.48 1.48 2.1904
9 20.6 -1.28 1.28 1.6384
10 20.8 -1.08 1.08 1.1664 • Water stress versus biochemical changes in plants
11 20.8 -1.08 1.08 1.1664 • Leaf area versus transpiration rate
12 21.3 -0.58 0.58 0.3364 • Biomass of seed versus oil yield
13 21.4 -0.48 0.48 0.2304 • Tensile strength versus fiber length
14 21.5 -0.38 0.38 0.1444 • Soil microbial biomass carbon versus specific leaf area in
15 21.6 -0.28 0.28 0.0784 temperate forests
16 21.9 0.02 0.02 0.0004 • Leaf biomass versus leaf C/N
17 22.4 0.52 0.52 0.2704 • Leaf N/P versus stomatal conductance in the leaves
18 22.5 0.62 0.62 0.3844 • Leaf carbon versus intercellular CO2 concentration in the
19 23.3 1.42 1.42 2.0164 evergreen species
20 24.2 2.32 2.32 5.3824 • Soil microbial biomass versus soil moisture in temperate
21 24.7 2.82 2.82 7.9524 forest
22 25.5 3.62 3.62 13.1044 • Fragmentation versus species richness in disturbed forest
23 25.7 3.82 3.82 14.5924
24 26.7 4.82 4.82 23.2324
The relationship between two or more variables can be
25 27.6 5.72 5.72 32.7184
assessed by correlation (between two interdependent
Total 547 0 51.4 161.76
variables—linear relation only) and regression (dependent
Mean 21.88 0 2.056 6.4704
sort variables—two or more variables—linear and
Mean = (ΣXi)/N = 547/25 = 21.88 non-linear relation both can be measured).
Median = (Total number of observation + 1)/2 = (25 + 1)/2 = 13th Linear relationship accounts a relation in which the suc-
observation (ordered). Therefore, the 13th observation will be median, cessive increment in one variable is more or less similar due
that is, 21.4.
Mode is most occurring value, which is 19.6 as it is occurring three times
to each unit change in the other variable. The differential
(the most). increments in successive unit change demonstrate in
Range = 27.6 - 17.8 = 9.8 non-linear relationship. In forestry, most of the relationships
jxi - xj are non-linear in general.
Mean deviation = n = 51.4/25 = 2.06
n
ð xi - xÞ
2
p
Standard deviation = i=1
n = 161:76
25 = 6:47 = 2.54
Coefficient of variation = xs = (2.54/21.88) * 100 = 11.61 6.4.1 Types of Assessment of Relationship

Result Presentation The relationship can be assessed by the two approaches

depending upon the data and objective of the research.
Mean ± SD (Min, Max) CV
21.88 ± 2.54 (17.8 - 27.6) 11.61 • Linear relationship—correlation
• Linear and non-linear relationship—regression
SE should be preferred over SD; Min is minimum value and Max is
maximum value in the data set
Linear relationship can be measured or estimated based on
Interpretation: The leaf area of leaves of Abies pindrow following approaches depending upon the data and objective
in temperate forests of Mussoorie Forest Division, of the research.
Uttarakhand was 21.88 cm2 with 12% variability.
6 Statistical Methods in Forestry Research 105

Scatter Plot: The simplest way to evaluate the relationship The value of cov (x, y) depends on the total number of
between two variables can be adjudged by plotting the observations due to the (1/n) factor in the formula and
pairwise data of two variables on the two-dimensional determines the direction of relationship.
graph paper, that is, scatter plot between two variables. The
plot provides an information about the nature of relationship • cov(X,Y) < 0 X and Y are inversely correlated
between the two variables; however, it does not provide any • cov(X,Y) > 0 X and Y are positively correlated
numerical measure. Scatter plot may provide a clear and • cov(X,Y) = 0 X and Y are independent
precise measure of relationship for comparative purposes.
Example: Evaluate the relationship between temperature Covariance is an absolute measure and not a relative
(°C) and infected area (cm2) of leaves for 16 leaves in a measure, which restricts its use. It has unit and measures for
laboratory experiment with the following data.

Temperature 12 13 16 17 18 10 11 14 9 11 12 13 17 18 13 16
Infected area 3.5 4.5 5.5 6.5 6.5 3.5 4.5 4.5 2.5 2.7 4.5 5.8 6.5 6.8 4.4 6.1

linear relationship only. Moreover, if two variables are inde-

Solution: The relationship between two variables may be pendent, then the covariance between the two variables will
evaluated based on scatter plot. be zero, but vice versa is not true.
Correlation for continuous data or Karl Person Correla-
tion Co-efficient: Sir Francis Galton proposed the concept of
correlation in 1894, and described mathematically by Karl
Pearson in 1896. Correlation measures intensity or degree of
linear relationship between two continuous variables by cor-
relation coefficient, which is a unit less quantity having a
range between -1 to 1.
Correlation is quantified by Karl Pearson correlation coef-
ficient, also referred as product-moment correlation coeffi-
cient. Let the observations of the variable X is x1, x2, x3, . . .,
xn; and the variable Y is y1, y2, y3, . . ., yn. Then the correlation
coefficient formula for measuring a numerical linear relation-
ship can be defined as

n
Interpretation: The scatter plot for the data sets shows that ðxi - xÞðyi - yÞ
covðx, yÞ i=1
there is a positive relationship between temperature and r= =
V ð xÞ V ð yÞ n n
infected area. Precisely, it shows that as temperature ðxi - xÞ2 ðyi - yÞ2
increases, the infection in the leaf area also increases in the i=1 i=1
data range.
Covariance—Numerical Measure of Relationship: Assumptions of correlation
Covariance quantifies the degree of linear association (rela- • The two variables should be linearly related.
tionship) between the two variables and is a measure of the • Each of the variables is being affected by a many causes,
corresponding change in one variable due to the change in the so that the variables should follow normal distribution.
second variable. • The cause and effect relationships should be existed between
Let the observations of the variable X is x1, x2, x3, . . ., xn; different forces responsible for changes in the variables.
and the variable Y is y1, y2, y3, . . ., yn. Then the covariance is
Example: Evaluate the relationship between temperature
n
1 and infected area of leaves for 16 leaves in a laboratory with
covðx, yÞ = Sxy = ðxi - xÞðyi - yÞ
n the data from the above example.
i=1
Solution: The various estimates are as follows:
106 R. Pandey and A. K. Verma

Variable Mean Variance Co-variance Co-relation • Correlation is not a robust measure. An unusual or freak
Temperature 13.61 7.66 3.61 0.90 observation of a data may have a strong impact on corre-
Infected area 4.89 1.83 lation coefficients.

Interpretation: The covariance shows positive relation- Correlation cannot measure the cause and effect relation-
ship and correlation showed a strong positive linear relation- ship, and therefore manipulation in the independent variable
ship, that is, increase in infected area is proportional to the and observing the effect on dependent variable require a dif-
increase in temperature. ferent approach to measure the relationship. The approach to
Correlation for other than continuous data or define the relationship between dependent and independent
Spearman’s correlation coefficient: The correlation coeffi- variables or cause and effect relationship can be modeled by
cient for qualitative data is measured by Spearman’s rank regression analysis. Regression analysis can measure both the
correlation coefficient (proposed by Charles Spearman) and dependent and independent relationship. For example, forest
represented by Spearman’s rho (ρ). Rho is a non-parametric functioning can be modeled by diversity and traits of the
measure of statistical relationship (linear) between two species.
variables with qualitative data. Rho measures the relationship Forest functioning = f (diversity, soil traits, plant traits)
between two variables using a monotonic function. Mono- If regression is estimated linear relationship for a single
tonic function is a function between ordered sets that independent variable, then the regression is known as simple
preserves or reverses the given order. regression analysis, for example, biomass = f (diameter). More
Let the n raw scores (characteristic) of the qualitative than one independent variables accounting linear relationship is
variable is assigned ranks as x1, x2, x3, . . ., xn for X and y1, known as linear multiple regression analysis for example,
y2, y3, . . ., yn for Y variable. Then the differences di = xi - yi Wood strength = f (fiber length, wood density);
between the ranks of each observation on the two variables Habitat suitability = f (food availability, biodiversity,
are calculated; if no tied rank is observed, then the correlation distance to water source);
coefficient rho (ρ) for measuring a numerical linear relation- Disease spread = f (temperature, humidity, defense mech-
ship can be defined as anism of plant).
The variable which affects the response variable (depen-
6 d2 dent) is known as independent variable. Therefore in the
ρ=1-
nð n2 - 1Þ above example, forest functioning is depending (dependent)
on the diversity and traits; therefore, these (diversity and
The rho (ρ) is estimated once, one or both of the relevant traits) are known as independent variables. The above exam-
variables are ordinal; thus rho (ρ) relies on ranks rather than ple can be demonstrated as follows:
actual observations. Rho (ρ) is less sensitive to outlying Carbon in forest (C) = f (diversity (I), height (H )
values than Pearson’s correlation coefficient, and it measures Mathematically, a model can be written as
the strength of linear relationship.
General Remarks About Correlation Coefficients: Fol- Y = β 0 þ β1 X þ ε
lowing are the important points about the correlation
coefficients and generally considered for both the approaches Specifically, say for a forest, Y (the dependent variable)
of estimation of correlation coefficients. may be carbon (C); X may be height (H ); and β0 and β1 are
model coefficient; and ε is error. Therefore, the model can be
• Correlation coefficients measure and describe the direc- written as
tion and strength of an association between variables.
• Correlation does not imply causality and therefore infer- C = β0 þ β1 H þ ε
ring causation based on correlation coefficient must be
avoided. Precisely, the statistical model has deterministic model
• Correlation is unsuited for analyses of agreement between and random (error term). This happens as the response of
two measurements by two different instruments. any phenomenon does not remain same in spite of similar
• Scatter plots must be used to evaluate the relationship, as conditions. This nature of experimentation is known as ran-
correlation does not adequately describe nonlinear or dom behavior and occurred as all experimental conditions
non-monotonic relationships. cannot be ensured exactly perfect due to intrinsic nature of
• Low correlation values do not categorically refute exis- living materials. These two interwoven components in
tence of relationship rather if theory supports, chances biological systems describe the following:
might exit for non-linear relationship between the two
variables.
6 Statistical Methods in Forestry Research 107

• A deterministic model describes and measures the deter- • Disease infection = f (plant vigor, climatic parameters)
ministic (measurable/defined) biological process and • Ecosystem functioning = f (leave trait, soil trait)
• A stochastic (random) component describes and measures
the random variation, which influences the biological pro- Regression provides (1) description of system (relation-
cess, which is being modelled. ship definition), that is, the functional relationship between
two sets of variable (dependent and independent) reflects the
The deterministic component typically, in general, forms type of relationship between the two sets of variables;
the biological process of interest. The deterministic model is (2) inference about the system (response mechanism), that
easy to understand and may be relatively straightforward. For is, the functional relationship portray the behavior of the
example, an exponential population growth model may system by utilizing the direction and response due to changes
include a description of multiple populations, such as density in independent variables; and (3) prediction (forecasting) for
independent model or coupled predator–prey models; or may future, that is, future response.
explicitly describe within-population structure, such as Fundamentally, regression approach requires three princi-
density-dependent model or size-structured dynamics. The pal steps. (1) Model selection (Construction and Develop-
stochastic component(s) of a statistical model are described ment), which identifies the most parsimonious set of
by probability distributions based on a wide range of functions. predictors that explain the most variation in the independent
The stochastic component of a statistical model is often an (response) variable along with the model functional relation;
“error” term, that is, variation around a deterministic model. (2) Evaluation of Assumptions (Testing), which ensures the
The functional relationship can be used for two broader fulfillment of the assumptions of the regression model; and
purposes, that is, (1) Prediction for example, predict biomass (3) Model validation, which ascertains the validity of the
for the given diameter of a tree, predict the growth of a tree in model for precise prediction. Regression is based on least
a stand. (2) Quantifying casualty, that is, determine factors square method, which is based on minimization of error.
that relate to the variable to be predicted, for example, species Various model form and equations for one independent
richness as a function of latitude, altitude, and rainfall. In variable (x)
prediction, the goal is to develop a functional form (equa-
Model form Equation Graph Symbol
tion), that is termed as model, that enables predictions about
Linear y = a + bx a and b are
the dependent variable based on the observed values of the coefficients
independent variables. In a causal analysis, the independent
variables are regarded as causes of the dependent variable.
The aim of the study is to determine whether a particular Logarithmic y = a + blnx a and b are
independent variable really has impact on the dependent coefficients
variable, and thus facilitate to estimate the magnitude of
that effect, if any.
Regression: Regression explains the variation in a depen- Logarithmic y = a lnx a is
coefficient
dent variable due to independent variables by using the
variation in independent variables. Regression is, therefore,
an explanation of causation by estimating an appropriate Exponential y = aex a is
functional relationship between variables. The functional coefficient
form is decided based on either understanding of their rela-
tionship (theoretical construct) or through analysis (data);
Exponential y = ae-x a is
sometime hit and trial approaches are also followed. If in coefficient
the estimated model the independent variable(s) sufficiently
explain the variation in the dependent variable, the model can
be used for prediction. Regression is the measure of the Power y = axb a is
average relationship between two or more variables in coefficient
terms of the original units of the data.
Quadratic y = ax2 + bx + c a, b and c are
• Biomass carbon = f (wood density) coefficients
• Habitat = f (food availability, environment)
• Oil yield = f (biomass, chemical composition)
(continued)
108 R. Pandey and A. K. Verma

Model form Equation Graph Symbol Criterion Formula Symbol description

Cubic y = ax3 + bx3 + cx + d a, b, c and d Akaike’s AIC = 2k + 2 ln (L ) k is the number of
are Information parameters in the model,
coefficients. criterion and L is the likelihood
(AIC) function
Schwarz’s BIC = 2 ln (L ) + k ln (n) n = the number of
Logistic y = c/(1 + ae-bx) a and b are
BIC observations
coefficients
k = the number of free
parameters to be estimated
L = the maximized value of
Sinusoidal y = a sin(bx + c) + d a, b and c are the likelihood function for
coefficients the estimated model

Example: Establish a linear relationship between leaf

weight (Y) in gm with leaf area (X) in cm2 for 16 leaves of
General Remarks About Regression: Following are Poplus deltoides.
important points, which must be considered while using Solution: Sample size n = 16
regression. The linear relationship can be adjudged by Y = a + bX
(Equation of straight line); where a is intercept and b is
• Evaluate the choice of the model for its realistic nature. coefficient and needs to be estimated. The formula for
• Fitting the data well is no guarantee for good predictive
performance. n
• Past experience with similar data may facilitate in model ðyi - yÞ  ðxi - xÞ
i=1
form selection. b= n
• Theoretical understanding may also guide for selection of ðxi - xÞ2
i=1
model form.
a = x - b y
• Do not use a model which can predict unrealistic values.
• Avoid complex models for small data sets.
n
• Validation of model may be approached with new data. ðyi - yÞ  ðxi - xÞ
• The SE and p-values do not account for model uncertainty i=1 0:42
b= = = 0:02
rather assume that the model is fixed. n
ðxi - xÞ2
18:43
• “The best choice (of a model) depends on the set of data i=1
being analyzed and requires an exercise in judgment, not
just computation” (“Modeling the US Population” by a = x - b y = 4:48 - 0:02 8:48 = 4:31
Shelly Gordon).
Various model selection criterions Observation Y X ðy i - y Þ ðx i - x Þ ðy i - y Þ 2 ðxi - xÞ2 ðxi - xÞ  yi - y
1 2.50 8.60 -1.98 0.13 3.93 0.02 -0.25
Criterion Formula Symbol description
2 4.60 9.20 0.12 0.73 0.01 0.53 0.09
Residual sum n yi is observed values of
RSS = ðyi - f ðxi ÞÞ2 3 3.50 8.50 -0.98 0.03 0.96 0.00 -0.02
of square i=1 dependent variable 4 3.20 7.50 -1.28 -0.98 1.64 0.95 1.25
(RSS) f(xi) is predicted values of
5 4.50 9.20 0.02 0.73 0.00 0.53 0.01
dependent variable
6 4.50 7.90 0.02 -0.57 0.00 0.33 -0.01
Residual RMS = RSS/(n-k) n = the number of 7 3.50 8.10 -0.98 -0.38 0.96 0.14 0.37
mean sum of observations; k = the 8 4.50 8.60 0.02 0.13 0.00 0.02 0.00
square (RMS) number of free parameters 9 2.90 7.40 -1.58 -1.08 2.50 1.16 1.70
to be estimated
10 5.10 9.20 0.62 0.73 0.38 0.53 0.45
Coefficient of R2 = SSR
SST
SSR—sum of square due to 11 4.50 8.80 0.02 0.33 0.00 0.11 0.01
determination regression 12 2.50 7.90 -1.98 -0.57 3.93 0.33 1.14
(R2) SST—total sum of square 13 4.60 9.10 0.12 0.63 0.01 0.39 0.07
Adjusted R2 2
R =1- n-1
1 - R2 N = number of 14 8.50 10.50 4.02 2.03 16.15 4.10 8.14
n-k
(Adj. R2) observations 15 4.10 9.50 -0.38 1.03 0.15 1.05 -0.39
K = number of 16 8.70 5.60 4.22 -2.88 17.80 8.27 -12.13
independent variables Total 71.68 135.68 0.00 0.00 48.42 18.43 0.42
RSSp
Mallow’s Cp Cp = RMSFULL þ 2p - n RSS is the residual sum of Mean 4.48 8.48 0.00 0.00 3.03 1.15 0.03
square of the model, p is the
number of regression
coefficients in the model,
and RMSFULL is the
estimate for σ using the full
model
(continued)
6 Statistical Methods in Forestry Research 109

Thus, the equation is

Y = 4.31 + 0.02X • A type I error occurs once researcher fails to accept
Therefore, the independent variable, that is, leaf area is the null hypothesis when the null hypothesis is
positively related to the dependent variable, that is, weight. actually true.
Interpretation: The equation clearly demonstrates that • A type II error occurs once researcher does not
the leaf weight is linearly related to leaf area and unit increase reject the null hypothesis although the null hypothe-
in leaf area will contribute 4.31 g leaf weight within the sis is false.
domain of the data. • A level of significance is the maximum probability
of type I error.
• A critical region corresponds to the test statistics,
6.5 Hypothesis Testing which amounts to rejection of null hypothesis.

Statistical methods are applied for an exploratory sense,

during the start of an investigation, when questions are Hypothesis testing facilitates inference about population
imprecise and needs more critical thinking. This exploratory by setting up of hypotheses and thereof testing the claim. In
stage is a creative part of scientific analysis, since it provides each problem, the problem is simplified into two competing
an understanding about the causes, which can be formulated claims formulated as hypotheses, that is, null hypothesis (H0)
as a research hypothesis and causal models. In comparative against the alternative hypothesis (H1), and researcher will
experiments, the interest lies with comparison of treatments choose one based on evidence, that is, based on the data.
rather than their absolute performances. In forestry, such These two competing claims are not treated on an equal basis;
comparative experiments are numerous, namely assessment rather, null hypothesis is favored due to statistical require-
of differences in twin’s behaviors in different environment, ment. We have two common situations:
assessment of genetic fraction of the total variation in a strain
having high fraction than reported value, comparison 1. The experiment has been carried out to disprove or reject
between different progeny of a species in respect of variation the claim. Priority will be attached to “null hypothesis” so
between progenies. However, for the comparative purposes, that rejection of null hypothesis is not possible unless
the experimental materials should be homogeneous so that no sufficiently strong evidence exists against the hypothesis,
other sort of variation may creep into the real performance of for example, there is no difference in tissue width between
the treatments. In forestry experimentation, due to intrinsic poplar and teak wood against there is difference in tissue
and extrinsic variations, any comparison of samples, merely width between poplar and teak wood.
based on observing the numerical magnitudes of the charac- 2. If one of the two hypotheses is “simpler,” the priority will
teristic under consideration, may be misleading. It is, there- be attached to the simpler, to avoid a more “complicated”
fore, quite vexing to decide whether the difference observed theory unless there is sufficient evidence against the sim-
is real, that is, as consequence of treatments applied rather a pler one, for example, a “simpler” claim may be as there is
result of the sampling fluctuations. Inferential statistics, a no difference in wood strength between poplar and melia
branch of statistics, deals with the testing of hypothesis. wood than there is a difference.
Testing of hypothesis deduces the significant difference
between the two situations based on the standard test for the
situation. These test statistics are based on statistical distribu- Steps in a Hypothesis Testing
tion and requirements of the problem under investigation. 1. Formulation of hypothesis: Stating the null (H0) and
the alternate (H1) hypothesis
2. [Facilitate for decision about the single versus
two-tail test]
• A hypothesis is statements about population 3. Set the level of significance (denoted by α).
parameters. 4. Identify the sampling distribution
• A null hypothesis is no difference statement about 5. Calculation of the test statistic
population and contains an equality statement as ≥, 6. Compare the test statistics with standard and make
= or ≤. decision
• An alternative hypothesis contains a statement of
inequality such as <, ≠ or >.

(continued)
110 R. Pandey and A. K. Verma

Hypotheses framing: A statistical hypothesis is actually Sampling distribution and calculation of test statistics:
the presumption based on past experience, or any desired Sampling distribution determines the test statistic of posed
value which researcher desires or is likely to arrive at. Null problem assuming that the H0 (equality condition) is true and
hypothesis asserts no differences between the two treatments the experiment is repeated for an infinite number of times.
and the observed difference is purely due to chance only. For Test statistics is estimated based on the sample data through
example, in a comparative experiment, two media for seedling some defined function under certain condition and used to
growth in nursery may be tested with the following hypothesis: decide the support or rejection of null hypothesis.
H0: The two growth media have similar effect, on average Make decision: If the p-value is less than α (the level of
(μ = μ0); significance), the experimenter would reject H0. If the p-
H1: The two growth media differ in their effects, on value is greater than α, the experimenter would fail to reject
average (μ ≠ μ0) H0. The final conclusion of the test is always reported in
or terms of the null hypothesis. The conclusion of the test
H1: Media “A” is better than the media “B,” on average should be either “Reject H0 in favour of H1” or “Do not reject
(μ > μ0). H0.” The experimenter should never conclude “Reject H1” or
The decision for single tailed and two tailed tests are even “Accept H1.” “Do not reject H0” necessarily mean that
evaluated based on the alternative hypothesis. If alternate there is not sufficient evidence against H0 in favor of H1.
hypothesis has one option, that is, unidirectional, then Rejecting the null hypothesis then suggests that the alterna-
one-tailed test will be applied; otherwise, for more than one tive hypothesis may be true.
options, that is, bi-directional alternate hypothesis, two tailed The sample space is partitioned into two regions for the
test will be used. A one-tailed test is appropriate only when test statistic. One region termed as critical region or rejection
previous data, physical limitations, practical experience, or region accounts for rejection of the null hypothesis H0; how-
common sense are in favor that a difference is directional. ever, the other region accounts the non-rejection of H0 (the
For example, for the experiment of testing the survival of acceptance region). If the observed value of the test statistic
pine seeds under the temperate environment, it may be falls in the critical region, then the conclusion would be states
hypothesized that survival of pine seeds is less than 65%, as H0 does not have ample evidence in favor, and if it does
then it may be a fit case of one-tail test with the hypotheses not fall in the critical region, then H0 has ample (sufficient)
as H0: μ = 65, against H1: μ < 65. In another experiment, the support in favor. This threshold point is known as critical
researcher wishes to test the average primary branch angle of value for a hypothesis test. The level of significance for the
Acacia nilotica wood is 250 and the hypothesis may be as H0: critical value may be more than 0.05 depending upon the
μ = 250, against H1: μ ≠ 250, which is a case of two-tailed test. conservative and demand/expect for a high degree of confi-
Significance level: For example, in a trial of testing dence for 0.10.
growth of a new clone of poplar, the null hypothesis might If the claim is the null hypothesis, then the claim will be
be that the new clone is no better than the best poplar clone in either rejected or determined that there is not enough evi-
terms of growth. A type I error may occur, if researcher dence to reject the claim. If the claim is the alternative
concludes that the two clones are different, whereas the two hypothesis, then the claim will be either supported or deter-
clones are same. However, a type II error occurs if researcher mined that there is not enough evidence to support the claim
concludes that the two clones are similar, whereas the new (Box 6.1).
clone has better growth than the best clone. Calculate the p-value for the test statistic: The probability
A type I error is often more serious, therefore more impor- value is termed as p-value of a statistical hypothesis test. P-
tant to avoid, than a type II error. The hypothesis test proce- value is the probability of getting a value of the test statistic as
dure is, therefore, made balanced so that there is a guaranteed extreme or more extreme than that observed by chance alone,
“low” probability attached for rejecting the null hypothesis if the null hypothesis is true. The p-value is the probability of
wrongly. The probability should be based on the nature and wrongly rejecting the null hypothesis, while the null hypoth-
objective of investigation and the precision required for the esis is in fact true. The p-value is compared with the actual
result. The probability of a type II error is generally significance level of test and; the result is significant if p-
unknown, and denoted by β. Type II error may arise when value is smaller than significance level. Small p-value shows
the sample may small enough to unable to identify the false- that the difference is quite unlikely to be caused by random
ness of the null hypothesis (especially if the truth is very close sampling rather, actually, the populations have different
to hypothesis). For any given set of data to compare through mean, that is, if the null hypothesis is to be rejected at the
statistical tests, type I and type II errors are always present 5% significance level, that is, “p < 0.05.” The p-value
and cannot be completely removed. The two errors (Type I provides a measure of the strength of evidence for rejecting
and Type II) are related inversely, that is, the lower the risk of the null hypothesis, rather than simply concluding rejection
one, the higher the risk of the other. or not rejection H0.
6 Statistical Methods in Forestry Research 111

The p-value of 0.04 means that there is a 4% chance of t-test for testing the mean of one sample: One sample
observing a difference between the estimated and test value hypotheses is useful, when researcher is interested to know
as large as researcher observed even if the two population the effect of a treatment is different than the known yardstick
means are identical. Precisely, it can be said that random or assumed value, for example, soil pH under forest patches
sampling from identical populations would lead to a differ- in comparison to the pH in adjacent soil; or amount of
ence smaller than observed in 96% of experiments and larger photosynthesis under dark conditions in comparison with
than observed in 4% of experiments. light condition.
Statistical significance: A result is statistically significant Suppose a random sample x1 ,. . ., xn of size n (n ≥ 2) is
when the result would be surprising if the populations were collected from a normal population whose variance σ 2 is
really identical. Statistically significant results have two possi- unknown and researcher wishes to test whether the sample
ble explanations. (1) The populations are identical, so there is belongs to the population or not, that is,
actually no difference. By chance, researcher obtained larger H0:μ = μ0, that is, The estimated mean differs with popu-
values in one population than the other population. (2) The lation mean
populations are actually different, so conclusion is correct. H1: μ ≠ μ0
Biological relevance in designing the experiment is criti- Test statistic:
cal for statistical analysis. Biological relevance and statistical
significance are not necessarily linked. However, a broad x - μ0
t= p  t n -1
consensus in modern applied statistics exists that the statisti- s= n
cal significance on its own cannot completely summarize all
n n
the information from the data and therefore the biological where x = 1
xi is sample mean, s2 = 1
ðxi - xÞ2 is
n n
relevance of any change observed should be of primary i=1 i=1
importance in the experimentation rather than the statistical variance.
significance (EFSA Scientific Committee 2011). The computed value is compared with the tabulated value
at desired levels of significance and (n-1) df for inference.
Example: A random sample of 10 trees from a natural
6.5.1 Testing of Hypothesis for Various stand of chir pine had the following girths in cm.
Situations 7.5, 8.8, 11.0, 12.0, 9.8, 9.0, 10.0, 10.5, 8.5, and 9.5.
Do these trees belong to the stand, in which, the mean
Numerous tests are available depending upon the data types girth of tree is 10.0 cm?
and objectives (Table 6.5).

Table 6.5 Situation, tests with assumptions for small samples (n ≤ 30)
Situation/condition Appropriate test and assumption
To test the sample mean (x) differs from hypothetical mean μ of One sample t-test
population or, whether the sample has been actually drawn from the same 1. Parent population should be normal
population with known mean 2. The sample is drawn randomly.
3. The variance of the population is unknown
To test whether observed mean of two samples differ, or whether these Two samples independent t-test
two samples belong to the same population 1. Parent population should be normal
2. The populations’ variances are equal but unknown
3. Two samples are random and independent
To test whether observed mean of two paired samples differ Paired t-test
1. Samples must have some relationships with each other
2. Samples should be drawn from normal populations
3. Variances of two populations are equal but unknown
To test the equality of several means F-test as Analysis of variance (ANOVA)
1. The observations are independent to each other
2. The parent population from which the observations have been
drawn is normal
3. The various treatments and environment effects should be
additive
4. The variances are homoscedastic and mutually uncorrelated
To test whether two independent samples have been drawn from same F-test for test of equality of two variances
population having variance (σ 2), or whether the two independent 1. Parent population should be normal
estimates of the population variance are homogenous 2. The sample is drawn randomly
112 R. Pandey and A. K. Verma

Solution: The question provides following information x1 - x2

t=
μ = 10.0 cm, n = 10, x, s2 are to be estimated from the 1 1
given data. s2 þ
n1 n2
Ho: μ = 10.0 cm, that is, samples are collected from stand
4:6 - 5:7
with mean girth of 10.0 cm. = - 0:52
H1: μ ≠ 10.0 cm, that is, the sample does not belong to the 1 1
31:708 þ
stand. 5 7
Level of significance is 5% (say).
The test statistics: The calculated “t” is less than tabulated “t,” as 1.81 at 5%
and 10 df. The researcher can conclude that there is no
x - μ0 evidence against the null-hypothesis Ho: μ1 = μ2, that is,
t= p  t n -1
s= n the yield from two nitrogen doses does not differ signifi-
cantly. The yield of two samples may be regarded as equal
n
1 15:324 and the observed difference is due to chance.
s2 = ð xi - xÞ 2 = = 1:5
n i=1
10 t- test for difference of means of paired samples: Paired
means that there is a relationship between the observations in
p - 10:00 =
Therefore, t = 9:66 - 0:34
p = -0:84 the first sample and the second sample. Two samples are
1:50=10 0:150
related if each member of one sample corresponds to a
The tabulated value of “‘t” at 5% level, and 9 degrees of member of the other sample. Related samples are paired
freedom is 2.26, that is, t5%, 9 df = 2.26. Thus, the calculated samples or matched samples. Paired t-test is used to test the
“‘t” is less than tabulated “‘t”; hence, there is ample evidence difference of two normal population means when a sample is
in favor of H0 at 5% level of significance, that is, sample is randomly selected from a population such that each member
selected from the stand with mean girth of 10.0 cm. of the first sample must be paired with a member of the
t-test for difference of means of two independent second sample of another population, for example, amount
populations: Let x1 and x2 be the sample means of two of moisture in soil before and after monsoon; body weights of
samples of sizes n1 and n2, respectively, from two normal mice before and after the nutrient supplement; or amount of
populations with mean μ1 andμ2 and uniform unknown vari- photosynthesis under light and dark conditions.
ance of the two populations as σ 2, for example, amount of H0: μ1 = μ2, that is, Means of two populations are same.
moisture in soil in dense and open forest patches; productiv- H1: μ1 < μ2
ity of two tree species under plantation; or amount of photo-
synthesis in two species.
d - μd
H0 : μ1 - μ2 = 0, that is, means of two populations t= p :
sd = n
are same.
x1 - x2
Test statistic: t =  t n1 þn2 -2
d
s2 n1 þ n2
1 1 d=
n
Since σ 2 is unknown, therefore, it is estimated from the
sample: The difference between a data pair, d = x1 - x2 and
ðx2j - x2 Þ
2
ðx1i - x1 Þ2 þ
Pooled sample variance s2 = ðn1 þn2 - 2Þ
n d 2 - ð d Þ2
Example: In a range experiment a group of 5 plots of sd =
nð n - 1Þ
same area treated with nitrogen at 20 kg/ha yielded grass
productivity of 4.2, 3.9, 4.8, 6.0, and 4.1 kg, whereas a
second similar group of 7 plots with same area treated with Example: An industrial unit claims that a preservative
nitrogen at 40 kg/ha yielded productivity of 3.8, 4.2, 5.6, 6.4, developed by them would perform better on the graveyard
6.8, 6.9, and 6.2 kg. Test whether, the higher dose of nitrogen test than standard. The table shows number of the month first
yield more grass productivity? termite attack was observed on two sets containing six num-
Solution: We have ber of homogeneous logs. At α = 0.05, is there enough
n1 = 5, n2 = 7, x1 = 4.6, x2 = 5.7, s2 = (91.22 + 225.86)/ evidence to conclude that the developed preservative is better
(5 + 7 - 2) = 31.708 than the standard?
The problem under study will be tested by two samples Log 1 2 3 4 5 6
independent t-test against the following hypothesis: Month with standard 85 96 70 76 81 78
H0 : μ1 = μ2 , Month with preservative 88 85 89 86 92 89
H1 : μ1 < μ2
6 Statistical Methods in Forestry Research 113

Solution: We have, (Population 1) and non-polluted (Population 2) environment

Hypothesis with the following data. Compare the environmental impact
H0: μd ≤ 0 of pollution.
Ha: μd > 0 (Claim)
Population 1 3 5 4 3 4 5
Population 2 4 10 4 7 7 10
d - 43
d= = ≈ -7:167
n 6
Solution: F-test for testing of equality of variances with
the following hypothesis may be applicable.
n d 2 - ð d Þ2 6ð833Þ - 1849 H0: σ 12 = σ 22. There is no difference in stability of organ-
sd = = ≈ 10:245
nð n - 1Þ 6ð 5Þ ism between the polluted and non-polluted environment.
H1: σ 12 ≠ σ 22
The t-test Level of significance: 5% (Say)
Estimated values of mean and variance as per sample data
d - μd - 7:167 - 0 are as follows:
t= p = p ≈ -1:714:
sd = n 10:245= 6
Population 1 Mean = 4; Variance = 0.8
Population 2 Mean = 7; Variance = 7.2
The calculated “t” is less than tabulated “t,” at 5% and
5 df. The researcher can conclude that there is no evidence s2
Calculate F-test: F = s12 = 7.2/0.8 = 9.0
against the null-hypothesis, that is, there is not enough evi- 2

dence to support the claim at the 5% level that the new Calculated “F” is greater than tabulated “F” (F0.05 (2), 5, 5
preservative is better than the standard preservative. = 7.15); hence, variances are significantly different, that is,
F-test for testing of equality of two variances: “F” is the there are ample evidence that there is instability in organism
ratio of two unbiased estimates of population variance. Let xi, with polluted than non-polluted environment.
i = 1,. . .,n1 and xj, j = 1,. . .,n2 be the two random samples Examples for t-test for testing mean of one sample
with sizes n1 and n2 collected from two independent normal
populations, that is, N (μ1, σ 21 ) and N (μ2, σ 22 ), respectively. 1. Does the new forest management strategy based on the
H0: σ 12 = σ 22 = σ 2, that is, the two population variances returned migrants (due to coronavirus disease 2019
are equal or homogeneous (homogeneity of variances). [COVID-19]) skill based forest guarding requires less
H1: σ 12 ≠ σ 22 resources?
Test statistic: Assuming s21 > s22 (Required as calculated 2. Do the forest fertilizers from the floor of forests improve
“F” is greater than unity due to the nature of “F” table which the farm productivity?
calculates the right tail, and having all values greater than or 3. Do the forest resources yield better result for COVID-19
equal to 1). management than the traditional approach?
Under H0 4. Comparison of new clone of poplar with the most promi-
nent clones (variable of interest—plant growth, productiv-
s21 ity, health, quality)
F=  F n1 -1,n2 -1 5. Comparison of chemical composition between the two
s22
wild varieties of a medicinal plant
6. Do genetically modified plants more productive than the
s21 and s22 are the sample variances of the two samples.
existing control plant
n1 n2
1 1
s21 = ð xi - x1 Þ 2 , s22 = ðxi - x2 Þ2 Examples for t-test for testing means of two indepen-
n1 - 1 i=1
n2 - 1 i=1 dent samples
n1 n2
1 1 1. Comparison of strength of composite boards produced
x1 = xi , x2 = xj
n1 i=1
n2 j=1
from two different production units
2. The economic performances of the two forest manage-
This value will be compared with the table F value for ment regimes
obtaining significance. 3. The response of a disease under two temperatures
Example: In an experiment, compare the stability of 4. Fungal growth in two different environment or media
organism of bird (measured by the difference between length 5. Comparison of two pruning methods for productivity
of largest tarsus with length of smallest tarsus) in polluted improvement
114 R. Pandey and A. K. Verma

Examples for paired t-test for testing means of paired Examples for F-test
samples
1. The researcher might be interested in the difference between
1. The change in resin yield before and after the application the variability of response of inbred lines (little genetic
of chemical stimulants was paired with the same tree resin variation but environmental variation within population)
yield. versus an outbred populations (lots of genetic and environ-
2. The change in number of insects count before and after the mental variation due to outside population too).
spray of an insecticide was paired with the insects on the 2. Comparison of vigor of inbred and outbred of a tree species
same tree. (the vigor may be measured by gregariousness of trees).
3. Comparison between monozygotic twins or clones of
plants can be paired in an experiment.
4. Comparison between twins having one of the twins with a
particular diet and the other twin with a normal diet.

Box 6.1 Decision Making

(continued)
6 Statistical Methods in Forestry Research 115

Box 6.1 (continued)

(continued)
116 R. Pandey and A. K. Verma

Box 6.1 (continued)

receiving of different yields (result) while applying same

6.6 Analysis of Variance treatments on alike experimental units. ANOVA estimates
the variance contributed by known and unknown factors and
Analysis of variance (ANOVA), introduced by Sir R. A. provides information for comparing the variance attributed to
Fisher in 1925, has basic purpose to test the homogeneity of “known causes” with that of “unknown causes.” The com-
mean of treatments or treatment combinations by partitioning parison is based on F-test, which enables us to test the
the total variation in the data into its various components. The homogeneity of several means, simultaneously. ANOVA is
total variability in the data set of random experiment may be a robust technique, that is, violations of a few assumptions of
due to the different components of known causes and ANOVA are not affecting the result in totality.
unknown causes. The known causes, termed as assignable In the synthesis, we are only discussing the analysis of
causes, are introduced in experimental units by researcher to RBD, as the analysis of the CRD and LSD is more or less
see the responses of the factors under study and thus can be similar as RBD; only the differences lies in the factors of
treated as controlled. However, the unknown or assignable causes. The analysis of the RBD is being
non-assignable causes of variation are beyond the control of exemplified below.
researcher and present due to the nature of experimental Example: The fresh weight of plants is noted for an experi-
units. For example, in forestry experiments, which have ment with six treatments in four randomized blocks. Based on
inherent variability, the non-assignable cause may be the the data reported below, compare the significance of
fertility of two adjoining fields, which cannot be exactly treatments. Numbers within parenthesis indicate the treatments.
same in spite of all similar conditions and assignable cause
may be seed of various species, or, height of plants of various Replication Fresh weight
parents. ANOVA technique enables us to partition the total I (1) 24.7 (3) 27.7 (2) 20.6 (4) 16.2 (5) 16.2 (6) 24.9
II (3) 22.7 (2) 28.8 (1) 27.3 (4) 15.0 (6) 22.5 (5) 17.0
variation into its components, that is, known and unknown
III (6) 26.3 (4) 19.6 (1) 38.5 (3) 36.8 (2) 39.5 (5) 15.4
components. The variation due to non-assignable or
IV (5) 17.7 (2) 31.0 (1) 28.5 (4) 14.1 (3) 34.9 (6) 22.6
unknown causes is known as the experimental error that is
6 Statistical Methods in Forestry Research 117

Solution: The analysis of the above data is as follows: treatments have significantly different effects on the fresh
weight of the plants. The post-ANOVA technique, that is,
Treatment LSD results that treatment 3 has similar effects on fresh
Replication 1 2 3 4 5 6 Total
weight of plants as treatment 1 and 2. Treatment 4 and
1 24.7 20.6 27.7 16.2 16.2 24.9 130
5 have least effect for weight gain and statistically similar,
2 27.3 28.8 22.7 15 17 22.5 113.3
that is, the effect of treatment 4 and 5 is similar for fresh
3 38.5 39.5 36.8 19.6 15.4 26.3 176.1
weight of plant.
4 28.5 31 34.9 14.1 17.7 22.6 148.8
T1 119 119.9 122.1 64.9 66.3 96.3 388.5
(GT)
6.7 Interpretation and Reporting of Data
Step 1: Correction factor (CF) = = =ðGT Þ2 34633:25 Analysis
N 24
14430:5
Step 2: Total SS = S2T = ΣΣy2ij - CF = 15780:76 - This section deals with the interpretation of data analysis in
precise manner for most of the methods. One hypothetical
14430:51 = 1350:25
data has been considered for exemplification.
Step 3: SS due to testaments (SST)
Example: Leaves of one evergreen (Euonymus pendu-
= lous) and one deciduous (Pyrus pashia) species were
4
evaluated for chlorophyll content (mg g-1) in the temperate
Step 4: SS due to blocks (SSB) = S2R = 1
6 B2j - C:F: = forest in Mussoorie Forest Division. Following raw data were
j=1 obtained. The various data analysis is being exemplified
87899:63
6 - 14430:51 = 219:43 below for data representation, numerical measures, and t-test.
S2E = TSS - SST - SSB Data of chlorophyll content (CC) (mg g-1) for Euonymus
Step 5: Error SS =
pendulous (EP) and Pyrus pashia (PP)
= 1350:25 - 901:19 - 219:43 = 229:63
Sl. no. EP PP Sl. no. EP PP Sl. no. EP PP
1 12.8 12.3 10 11.9 11.1 19 12.5 12.2
Step 6: Analysis of Variance table 2 14.7 12.3 11 12.2 12.8 20 13.6 14.5
3 13.9 11.5 12 13.2 11.9 21 12.9 13.7
Source of variance df SS MSS F (Cal.) 4 12.9 13.7 13 12.9 12.7 22 14.9 12.3

Treatment 5 901.19 180.24 Ft = 15:31 = 11:8
180:24 5 13.6 13.8 14 14.4 13.2 23 14.7 11.9
Block (replication) 3 219.43 73.14 F b = 15:31 = 4:7
73:14 6 12.6 11.5 15 15 12.4 24 15.8 11.7
Error 15 229.63 15.31 7 11.9 10.9 16 14.9 13.7 25 12.4 12.6
Total 23 1350.25 8 14.2 14.1 17 13.3 12.3
9 12.9 12.3 18 14.4 13.9
Tabulated F0.05 (3, 15) = 5.42 and F0.05 (5, 15) = 4.50
ANOVA table reflects the insignificance of block varia- Solution: The ordered data of both the series are reported
tion and significance of treatment variation, that is, there is below for data processing. Based on the arranged data, mean,
evidence against the null hypothesis H0 for the treatment. median, and mode were estimated. The mean and mode can
Step 7: For getting pair wise comparison, critical differ- be estimated without ordering the data; however, for median
ence (CD) is estimated. the ordering is essentially required as per definition of the
median.
2 × EM:S:S Data processing of chlorophyll content (CC) for 25 leaves
CD = × t 0:05,15 for estimation of averages and dispersion of Euonymus pen-
r
2 × 15:31 dulous (EP) and Pyrus pashia (PP)
CD = × 2:131
4 Si. EP CC PP CC
= 2:7668 × 2:31 = 5:90 no. (x) xi - - x jxi - - xj ðxi - - xÞ2 ( y) yi - - y jyi - - yj ðyi - - yÞ2
1 11.90 -1.64 1.64 2.69 10.90 -2.64 2.64 6.97
2 11.90 -1.64 1.64 2.69 11.10 -2.44 2.44 5.95
Based on this analysis, it can be concluded that the treat-
3 12.20 -1.34 1.34 1.80 11.50 -2.04 2.04 4.16
ment 3 is having maximum weight, which is statistically at 4 12.40 -1.14 1.14 1.30 11.50 -2.04 2.04 4.16
par with treatment 1 and 2. However, the minimum weight is 5 12.50 -1.04 1.04 1.08 11.70 -1.84 1.84 3.39
with treatment 4 which is statistically at par with treatment 5. 6 12.60 -0.94 0.94 0.88 11.90 -1.64 1.64 2.69
7 12.80 -0.74 0.74 0.55 11.90 -1.64 1.64 2.69
Interpretation: The ANOVA results indicate that the
8 12.90 -0.64 0.64 0.41 12.20 -1.34 1.34 1.80
block effect (i.e., replication) is non-significant, while the 9 12.90 -0.64 0.64 0.41 12.30 -1.24 1.24 1.54
(continued)
118 R. Pandey and A. K. Verma

Si. EP CC PP CC (i.e., EP) containing leaves throughout the year have ten-
no. (x) xi - - x jxi - - xj ðxi - - xÞ2 ( y) yi - - y jyi - - yj ðyi - - yÞ2
dency to maintain chlorophyll level more consistent than
10 12.90 -0.64 0.64 0.41 12.30 -1.24 1.24 1.54
11 12.90 -0.64 0.64 0.41 12.30 -1.24 1.24 1.54
deciduous species (i.e., PP) sheds leaf in fall season. The
12 13.20 -0.34 0.34 0.12 12.30 -1.24 1.24 1.54 tendency to maintain the leaves throughout the year assists to
13 13.30 -0.24 0.24 0.06 12.30 -1.24 1.24 1.54 maintain the chlorophyll level without much fluctuation in
14 13.60 0.06 0.06 0.00 12.40 -1.14 1.14 1.30
evergreen species than deciduous species.
15 13.60 0.06 0.06 0.00 12.60 -0.94 0.94 0.88
16 13.90 0.36 0.36 0.13 12.70 -0.84 0.84 0.71 Interpretation
17 14.20 0.66 0.66 0.44 12.80 -0.74 0.74 0.55 The data of chlorophyll ranges from below 12 to above
18 14.40 0.86 0.86 0.74 13.20 -0.34 0.34 0.12 15 (mg g-1) for EP and approximately 11 to above 14 (mg g-1)
19 14.40 0.86 0.86 0.74 13.70 0.16 0.16 0.03
20 14.70 1.16 1.16 1.35 13.70 0.16 0.16 0.03
in PP. Box plot shows that upper range of chlorophyll is
21 14.70 1.16 1.16 1.35 13.70 0.16 0.16 0.03 highly diverse than the lower range of CC in EP and PP.
22 14.90 1.36 1.36 1.85 13.80 0.26 0.26 0.07 Comparison between the CC of two species (Indepen-
23 14.90 1.36 1.36 1.85 13.90 0.36 0.36 0.13 dent Samples t-test)
24 15.00 1.46 1.46 2.13 14.10 0.56 0.56 0.31
25 15.80 2.26 2.26 5.11 14.50 0.96 0.96 0.92
t-test result for comparison between Euonymus pendulous
(EP) and Pyrus pashia (PP) for chlorophyll content (mg g-1).
Averages and dispersion statistics for chlorophyll content W F ( p- Mean SE of t-value
(mg g-1) for Euonymus pendulous (EP) and Pyrus pashia Species N Mean SD SE ( p-value) value) difference differences df ( p-value)
EP 25 13.54 1.07 0.21 0.95 (0.26) 0.74 (0.39) 0.93 0.29 48 3.17 (0.003)
(PP). PP 25 12.61 1.34 0.27 0.95 (0.31)

Mean
Species Size Max Min ΣXi = (ΣXi)/N Mode Median MD Range SD SE CV W—Test of normality (Shapiro–Wilk test)
EP (x) 25 15.80 11.90 338.50 13.54 12.90 13.30 0.93 3.90 1.07 0.21 7.88 Interpretation
PP (y) 25 14.50 10.90 315.30 12.61 12.30 12.30 1.14 3.60 1.34 0.27 10.59
The t-test for testing the mean CC of EP and PP reflects the
Size—No of observation; Max—Maximum observation; Min—Mini- statistically significant difference between the two species
mum observation; MD—Mean deviation; SD—Standard deviation; with high CC in EP. Moreover, the data of CC for both
SE—Standard error species follows the assumptions of the t-test, that is, normally
Interpretation: Numerically, the data of chlorophyll distributed as Shapiro–Wilk test is non-significant and the
ranges from below 11.90 to above 15.80 (mg g-1) for EP variance is also equal by F-test. The lower mean value of CC
and approximately 10.90 to above 14.50 (mg g-1) in in deciduous species (PP) indicates that less chlorophyll is
PP. Mean of chlorophyll is 13.54 and 12.61 (mg g-1) for required to fulfill energy demand in comparison to evergreen
EP and PP, respectively, with low variability in CC for EP species (EP). This experiment also put ups a question to study
than PP as evident by SD and SE (Box plot). The low CV of more about the chlorophyll use efficiency in different leaf
EP demonstrates low variability rather high consistency in types of species.
CC for EP than PP. The result supports that evergreen species

Box plot for chlorophyll content (mg g-1) for Euonymus pendulous (EP) and Pyrus pashia (PP)
6 Statistical Methods in Forestry Research 119

Lesson Learnt References

• Statistical methods are prime for decision-making under
uncertainty for any random experimentation. The applica- Anscombe FJ (1948) The validity of comparative experiments. J R Stat
tion of statistical method requires basic understanding Soc A 111(3):181–211
Cochran WG, Cox GM (1957) Experimental designs, 2nd edn. Wiley,
about the objectives of the experiment and how to apply New York
the statistical method to achieve the objective. Wrong EFSA Scientific Committee (2011) Statistical significance and
application of the statistical methods leads to poor infor- biological relevance. EFSA J 9(9):2372. https://doi.org/10.2903/j.
mation generation and wasteful experimentation. efsa.2011.2372
Kimmins JH (2002) Future shock in forestry where have we come from;
• Details about the basic statistical methods along with their where are we going; is there a “right way” to manage forests?
protocol, assumptions, and application with forestry Lessons from Thoreau, Leopold, Toffler, Botkin and Nature. For
experiments. Demonstrated the application of methods as Chron 78(2):263–271. https://doi.org/10.5558/tfc78263-2
per the requirement of the experiment leading to precise
and unbiased results of the experiment. Attempted to fill
the gap using examples from basic statistical methods. Further Reading
Demonstrated the representation of the result as per the
data analysis protocol along with their interpretation. Suit- Cochran WG (1977) Sampling techniques, 3rd edn. Wiley, New York
Das MN, Giri NC (1991) Design and analysis of experiments, 2nd edn.
able interpretation of the experiment is generally lacking Wiley Eastern Ltd., New Delhi
and therefore, undermining the experimentation. Draper NR, Smith H (1998) Applied regression analysis, 3rd edn.
Wiley, New Delhi
Key Questions Fisher RA (1937) The design of experiments, 2nd edn. Oliver and Boyd,
Edinburgh
1. Elaborate the significance of the statistical methods in Fisher RA (1938) Statistical methods for research workers, 7th edn.
forestry experimentation. Oliver and Boyd, Edinburgh
2. Explain the examples of forestry experimentation where Gupta SC, Kapoor VK (2014) Fundamentals of applied statistics. Sultan
regression modeling is appropriate along with all the nec- Chand & Sons, New Delhi
Gupta SC, Kapoor VK (2017) Fundamentals of mathematical statistics.
essary protocol. Sultan Chand & Sons, New Delhi
3. Elaborate the situations where two sample t-test can be Jayaraman K (1999) A statistical manual for forestry research. FAO,
applied for (1) independent samples and (2) paired Bangkok
samples. Polinko AD, Coupland K (2020) Paradigm shifts in forestry and forest
research: a bibliometric analysis. Can J For Res 51:154. https://doi.
4. Discuss the basic steps for conducting sampling in forestry org/10.1139/cjfr-2020-0311
experiments. Snecdecor GW, Cochran WG (1989) Statistical methods, 8th edn.
5. Define all possible variations for forestry experimentation. Wiley-Blackwell, New York
 Part II
Forest Management and Conservation
 Forest Biodiversity Conservation
7
Prodyut Bhattacharya

Abstract Keywords
Biodiversity is in a broad sense the total expression of life Biodiversity · CBD · Biocultural diversity · Biogeographic
on the earth. India is one of the 12 mega-diversity country; zone · Habitat fragmentation
it has two of the 18 biodiversity hotspots: Western Ghats
and Eastern Himalayas. It covers about 7% of the global
biodiversity. Biodiversity is essential component for the 7.1 Introduction
survival of all species, as each life form is linked to
another in a fragile web of life. Habitat change has a Forests are the preeminent habitats for biodiversity on land,
high and continuing impact on the local biodiversity, as they harbor a vast majority of the earth’s terrestrial species.
whereas climate change impact is moderate, but it may Forests represent the apogee of biodiversity on land. Biodi-
have very rapid change on biodiversity as a whole, due to versity is simply understood by the total expression of life on
overall changes of the area. The systems that cause defor- the earth. The rain forest ecosystem is among the oldest
estation, fragmentation, and degradation are directly or ecosystems on earth, having very rich biodiversity among
indirectly cause the biodiversity loss. However, the most other terrestrial ecosystems. Forests provide plenty of useful
significant contributors to the decline of forest biodiversity products for human beings like timber, fuelwood, pulpwood,
are usually of human origin. The transformation of forests fodder, meat, gum, essential oils, cash crops, and medicinal
into agricultural areas, overgrazing, uncontrolled shifting plants. They meet the livelihood needs for many millions of
cultivation, forest mismanagement, invasive alien flora people globally. But only a fraction of species are known,
and fauna, infrastructure expansion (such as road con- documented, and examined so far for their value. Biodiver-
struction, hydro-electric projects, urban expansion), sity, which constitutes the variety and variability of life forms
mining, oil exploitation, human-induced forest fires, pol- on the planet, results from a cumulative evolutionary process
lution, and climate change collectively contribute to spanning over 3.5 billion years. Its advantages to human
adverse effects and serve as causative factors for the loss societies are diverse, encompassing economic, ecological,
of biodiversity in forest ecosystems. As the forests cultural, social, spiritual, scientific, and aesthetic dimensions.
degrade, the status of the biological diversity also gets The distribution of biodiversity across the globe is not
degraded. This degradation diminishes the resilience of uniform, as a select few countries, predominantly situated
forest ecosystems, rendering them less capable of adapting in tropical regions, contribute significantly to the global bio-
to evolving environmental conditions. This chapter diversity. Specifically, between 60 and 70% of the global
analyzes the forest biodiversity condition, actions, reasons biodiversity is attributed to only a dozen nations. These
for the biodiversity loss, research methodology and biodi- nations are referred to as “Mega-diverse Nations.”
versity legislation, and conservation strategies associated The term “forest biological diversity” is comprehensive,
with this global agenda. encompassing all living organisms within forested areas and
the ecological functions they fulfill. In this context, it extends
beyond trees to include various lower plant forms such as
moss, ferns, algae, fungi, and lichens, as well as animals and
micro-organisms inhabiting forested regions, along with their
P. Bhattacharya (✉)
University School of Environment Management, GGS Indraprastha
University, New Delhi, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 123
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_7
124 P. Bhattacharya

corresponding genetic diversity. Historically and presently, fauna surpassing that above ground, life within the soil is
the predominant emphasis in conservation endeavors aimed largely underestimated and overlooked in the realm of biodi-
at conserving biological diversity has been directed toward versity conservation (Rawal et al. 2013).
species, subspecies, and populations. Forests, along with Widespread human interventions in natural ecosystems in
their biodiversity, function as a crucial safety net for human- recent years have led to a decline in biodiversity.
ity, offering essential environmental services such as ensur- Acknowledging the inevitability of ongoing changes, it
ing clean air, water cycle regulation, carbon sequestration, becomes imperative to make informed decisions about the
natural disaster mitigation, and livelihood support (FAO species that are of critical importance and determine
2018). strategies for their preservation within their natural habitats.
The biological diversity of forests can be examined across While the challenge lies in avoiding an exclusive focus on a
various levels, encompassing the ecosystem, landscapes, spe- select few commercially significant species, it is also impor-
cies, populations, and genetic levels. The intricate tant to recognize and analyze the interests of local
interactions within and among these diverse levels constitute populations who rely on forest resources, particularly indige-
an integral aspect of biodiversity. Within biologically diverse nous groups, their 60–90% dependence revolves around local
forests, this complexity facilitates the gradual adaptation of biodiversity. The current diversity observable in nature is the
organisms to diverse ecological conditions and the ongoing outcome of evolutionary processes spanning several billion
adjustments to micro-environmental changes, thereby sus- years. This implies two significant aspects: first, the existing
taining essential ecosystem functions. At present, approxi- diversity encapsulates a reservoir of genetic information, and
mately 18% (726 M ha) of the worldwide forest area is second, the evolutionary processes have transpired within
actively managed for conservation, while around 30% diverse environmental conditions.
(1.15 M ha) is dedicated for timber and non-wood forest Tropical forests likely comprise more than 50% world’s
products (FAO 2020). species, representing substantial natural capital. Variations in
The global forest area is diminishing by 12 million patterns arise depending on the specific indicator, whether
hectares annually, predominantly affecting tropical rainforest related to mammals, insects, plants, and so forth. Brazil is
characterized by distinctive and diverse biodiversity. considered the most bio-diverse country on the planet, where
Encompassing around 30% of earth’s land surface, forests one-third of the total global species is present. Islands too
play a pivotal role in supplying essential ecosystem goods have a significant role to play, often containing high endemic
and services. They serve as carbon reservoirs, offer habitat species evolved in a particular ecosystem and restricted to
for a diverse array of species, and contribute to the preserva- that area. For example, the recent assessment of IUCN (2022)
tion of land by mitigating degradation and preventing desert- reports Papua New Guinea, a most tree diverse island country
ification. Worldwide, the biodiversity of forests faces having 10,973 described plant species including 2854 trees
imminent threats from rapid deforestation, fragmentation, native to the country of which 1284 are endemic which show
degradation, forest fires, open grazing, hunting, and the intro- the unique biodiversity of the country. Trees and forests are
duction of invasive species from different habitats. Conserv- vital to the livelihoods and well-being of Papua New
ing the myriad species of existing biodiversity necessitates Guinea’s population, with approximately 80% residing in
comprehensive, large-scale strategies implemented at the the country’s rural areas (Barstow et al. 2022).
ecosystem and landscape levels (Franklin 1993). Biodiversity, as defined by Wilson in 1988, encompasses
Various endeavors have been undertaken to preserve the variety and variability of life, along with the interrelated
global biodiversity through the safeguarding of species out- ecological processes and functions. The intricate ecological
side their native habitats, employing ex situ methods. Nota- relationships, processes, and functions sustain the diversity of
bly, economically significant trees are conserved in seed life, illustrating the interdependence among species, plants,
orchards and gene banks to safeguard their genetic diversity. animals, and their abiotic environment and highlighting the
But many forest species have short life seeds (recalcitrant intricate nature of ecological complexities. The term “Biodi-
seeds) that do not survive after storage as they have more oil versity” was first coined by Lovejoy (1980). However, Rosen
content in their seeds, and some animal and plant species are (1985) used the term “Biodiversity” in his publication and
hard to protect once isolated from their ecosystems. The soil Edward Wilson (1986) popularized the concept in his book
biodiversity is significant for stabilizing and regulating the “The Diversity of Life” (1992).
earth’s climate. The invisible soil biota, integral to fostering Biological diversity encompasses the variety of earth’s
healthy soil and, consequently, sustaining healthy flora and species, their genetic makeup, the ecosystems they inhabit,
fauna, is experiencing a decline in genetic diversity attributed and the processes of energy flow and nutrient cycling that
to the detrimental application of pesticides and other forms of support life. Species diversity serves as a crucial indicator of
soil pollution. Despite the magnitude of diversity in soil overall biological diversity, with species richness showing an
7 Forest Biodiversity Conservation 125

increase from polar regions to the equator. The well- numbering in the hundreds or possibly thousands, have
documented high species density in tropical forested areas vanished without study or documentation due to our lack of
is highlighted in research by Reid and Miller (1989). awareness (Singh and Kushwaha 2008).
Establishing protected forest areas is among the most effec- In the field of forest biological diversity, there is an
tive strategies for conserving forest biodiversity. However, increasing focus on the creation and improvement in forest
these areas must either meet a specific size criterion or form a indicators through “Criteria and Indicator” as an applied tool
well-designed network to ensure the continued effective for developing criteria and indicators for sustainable forest
operation of local forest ecosystems. The management of management (SFM) evolved through the International Tropi-
the forest surrounding the protected area (PA) is crucial to cal Timber Organization (ITTO) (1991), Montreal Process
serve as a buffer zone. Moreover, the surrounding forests (1995), Tarapoto Proposal (1995), Dry zone Africa Process
provide an opportunity for local communities to earn a liveli- (1995), Dry Forests in Asia Regional Initiative (1999), etc.
hood without encroaching upon the protected forest. These initiatives promoted regularly the development of
internationally accepted tool for SFM through Criteria and
Indicator, where biodiversity is considered as important
7.2 History of Biodiversity Conservation criteria. In the same manner, Forest Stewardship Council
(FSC) has given the significant importance of biodiversity
Over the previous 8000 years, over 45% of the earth’s natural in the international and national standards including HCV
forest cover has been destroyed, with the majority of this loss (high conservation value) forest for the certification of man-
occurring in the last century. According to the Food and aged and unmanaged forest, natural and plantation forest.
Agriculture Organisation of the United Nations, deforestation Indicators play a crucial role as informational tools, enabling
claims an estimated 13 million hectares of the world’s forests the evaluation of the global status and trends of forest
each year (FAO 2018). resources, including progress toward the Aichi Biodiversity
Historical scriptures provide valuable insights that can be Targets 2011–2020, for action by all countries and
harnessed to cultivate beneficial relationships and services for stakeholders to save biodiversity and increase its benefit for
humankind in conjunction with biodiversity. This knowledge local communities.
is rooted in the co-evolutionary dynamics and interactions
among all species. The biological diversity seen in forests is
the result of thousands or even millions of years of evolution- 7.3 Forest, Biodiversity, and Bio-cultural
ary processes that have been shaped by ecological pressures Diversity Linkages
including competition, disturbance, fire, and temperature. In
addition, the richness of forest ecosystems encompassing About 60% of all angiospermic and gymnospermic species
both physical and biological components is a testament to are found in rain forests, making forests unique among
nature’s high levels of adaptation. earth’s biodiverse environments. Approximately 1300 kinds
India, the seventh largest country globally, has an area of of forest plants are used for medical or cultural purposes in
329 M ha. Despite occupying only 2.4% of the global land the Amazon basin alone, underscoring the significant value
area, the country is home to 7–8% of globally documented of forest biodiversity in providing food, medicine, fodder,
floral and faunal species. Recognized as a prominent center and raw materials. Recently, meeting the sustainable devel-
of crop diversity, India also serves as a habitat for crop wild opment goals is closely tied to forest biodiversity. The pres-
relatives. With the terminology, “biodiversity conservation” ervation of ecological processes within distinct forest
research and study as such in true sense started in India three ecosystems hinges on maintaining their biological diversity.
to four decades ago, but the floristic and faunal documenta- Biodiversity encompasses both the quantity and diversity
tion and herbarium or museum specimen collection for record of organisms within a specific region (Wilson 1992). This
have started in the past century. definition extends to the variability found within and among
In India, a multitude of ecological and climatic conditions, species, as well as within and among ecosystems. Variety and
combined with distinctive physical and cultural features, variability of living organisms are assessed at the following
have fostered a remarkable array of habitats that support three levels:
extensive biological diversity across all levels. While the Species diversity: A number of different taxonomic units
precise count remains uncertain, it is evident that at least in a given region.
10% of India’s documented wild flora, and potentially a Genetic diversity: Species with inter population
higher proportion of its wild fauna, are classified as differences, genetically adapted to specific habitat conditions.
threatened species. Many of these species are on the brink Ecological diversity: Refers to diverse habitats that sup-
of extinction, primarily due to the loss of at least half of port distinct flora and fauna.
India’s forests. There is a likelihood that numerous species,
126 P. Bhattacharya

Biodiversity serves as the foundation for ecosystem allies in biodiversity protection. There are many examples
services, constituting the life support system for human exis- across the globe of successful community conservation
tence. The Millennium Ecosystem Assessment (MEA) in projects that empower local people to actively protect and
2005 categorizes ecosystem services into four groups: enhance their local environment.
Each culture has developed ways of adapting to their way
1. Provisioning services, encompassing goods like timber, of living, drawing on nature for goods, services, inspiration,
honey, water, medicines, fiber; mythology, and much else besides the identity of flora and
2. Regulating services, which include regulation of water, fauna. Biocultural conservation represents a forward-
climate, flood and control of disease, soil erosion; thinking approach that acknowledges and respects the inher-
3. Cultural services, offering benefits in religious activity, ent connections between nature and humanity. This approach
knowledge, awareness; and constructs conservation programs rooted in cultural values
4. Supporting services, involving nutrient balance, and aligned with community priorities. Indigenous
N-fixation, soil formation, and plant growth. Biodiversity communities have preserved their cultural and spiritual heri-
has two main types of values: Trade values and environ- tage, embodying a harmonious coexistence with nature
mental or quality-of-life values (Mendelsohn 2001). Trade across centuries. The livelihoods of millions are intricately
values represent the role of biodiversity as an input to tied to the biodiversity of their surroundings, making biodi-
economic sectors like farming, development, and health. versity conservation a national priority evident in policies,
Quality-of-life values underscore how biodiversity acts, and other legislative measures.
enhances our lives aesthetically and contributes to ecosys-
tem services, even if not directly utilized in the economy.
The extinction of certain species and populations, though 7.4 Current Status of Biodiversity in India
not directly contributing to market values, could result in
significant losses for nations. Native species are those that India, one of the 12 mega-diverse nations, is home to two of
live the habitat or community from where they have the world’s 18 biodiversity hotspots, the Eastern Himalayas
originated, whereas exotic species are deliberately or acci- and the Western Ghats. At about 7% of the world’s biodiver-
dentally introduced into other countries where they are sity, India is home to 81,000 animal species, 45,000 plant
considered as invasive, non-native, alien or introduced species (6000 of which are endemic), 50% of the world’s
species. tiger population, and all the Asiatic lion population. The
diverse edaphic, topographic, and climatic conditions have
The Convention on Biodiversity (CBD) aims to conserve given rise to a broad spectrum of ecosystems, such as
and sustainably utilize forest biodiversity, emphasizing the grasslands, forests, coastal area, wetlands, marine, and desert
just and equitable distribution of benefits derived from using ecosystems. The mountainous region is spread across 100 M
forest genetic resources. As a crucial component of biodiver- ha, while arid and semi-arid zones span more than 30 M ha,
sity targets, there is a focused effort to maintain and improve complemented by an approximately 8000 km-long coastline.
the resilience of biodiversity components to adapt to climate Indian biodiversity is sustained by (1) the Palearctic Realm,
change. It is noteworthy that biodiversity in forests is not which is located in the Himalayas, and the Malayan Realm,
solely influenced by actions within forest management which is located in the remaining sub-continent; (2) five
regimes, whether planned or unplanned. Policies and man- biomes, which include warm deserts and semi-deserts, alpine
agement measures in other sectors can often yield unin- meadows, tropical humid forests, and tropical dry deciduous
tended, and at times intended, consequences for forests and forests (including monsoon forests); (3) ten biogeographic
their biodiversity (CBD 2018). The biocultural diversity is zones and 27 biogeographic provinces.
linked with the biodiversity and human culture, food, reli- With around 45,500 plant species, India ranks fourth in
gious belief system, language, and other dependent and inter- Asia and tenth internationally in terms of plant diversity,
related complex socioecological adaptive system of nature making up approximately 11% of the world’s flora
which people live in. This idea is a major paradigm shift in (Table 7.1). Similar to global patterns, numerous organisms,
biodiversity conservation strategies. A few decades ago, the particularly in lower plant groups like bacteria, algae, fungi,
general consensus was that the most suitable way to protect lichens, and bryophytes, remain incompletely described.
biodiversity was to keep people out of natural reserves like Comprehensive exploration of remote geographical areas is
national parks and sanctuaries. However, today, conservation still needed to enhance our understanding of the full spectrum
strategies are changing to see indigenous people as potential of plant diversity in the country.
7 Forest Biodiversity Conservation 127

Table 7.1 Status of species in major groups of plants and microorganisms

Plant groups No. of species described in India No. of species described in the world % of India to the world
Angiosperms 17,527 2,50,000 7.0
Gymnosperms 67 650 10.3
Pteridophytes 1200 10,000 12.0
Bryophytes 2500 14,500 17.2
Algae 7175 40,000 17.9
Lichen 2223 13,500 16.4
Fungi 14,500 72,000 20.1
Virus and bacteria 850 8050 10.6
Source: BSI (2009)

Major Indian categories of plant species are as below: India’s 14,500 species of fungi, which are divided into 2300
Angiosperms: India has around 17,500 species (7% of the genera and 250 families including subclasses
total globally known) angiosperms. This botanical richness is Deuteromycetes, Ascomycetes, and Basidiomycetes. About
distributed across 247 families and 2984 genera. Several 3500 species of Indian fungi are endemic, with Cercospora
dominant plant families play a significant role in this diver- being the biggest genus with 707 species, followed by
sity, with more than 500 species each: Poaceae (Grasses): Puccinia (328 species) and Phyllosticta (280 species).
1291 species, Orchidaceae (Orchids): 1229 species, Algae: This group is spread across a wide range of
Leguminosae (Legumes): 1225 species, Rubiaceae: 616 spe- habitats, from freshwater and marine to terrestrial, and are
cies, Cyperaceae (Sedges): 545 species, Euphorbiaceae: represented by over 7100 species. The largest family is
527 species, Acanthaceae: 510 species, Asteraceae-892. Chlorophyceae, with 4495 species.
Gymnosperms: Approximately 67 species are represented The Indian region boasts an impressive 11,058 species of
by Pinaceae, Cupressaceae, Ephedraceae, and Gnetaceae. endemic flora, of which 6200 are flowering plants alone.
The Gnetaceae family includes one genus Gnetum, High levels of endemism can be found in regions such as
Cycadaceae includes Cycas, Pinaceae includes Pine & Deo- parts of Himalayan region, peninsular India, and the A&N
dar which are available in Himalayan region, Western Ghats Islands. The status of endemism in different plant groups of
and Andaman & Nicobar Islands. India is given in Table 7.2.
Pteridophytes: India hosts a diverse array of As per Nayar (1997), the Indian wet evergreen forests,
pteridophytes, with approximately 1200 species distributed covering an area of 51,249 sq. km (belonging to 1.5% India’s
across 204 genera, like Marsilea, Azolla, and Salvinia, land), are home to approximately 7000 species of flowering
Acrostichum. The distinctive flora of India is greatly plants. This constitutes nearly 50% angiospermic flora of
enhanced by the approximately 17% of these species that India. The remarkable diversity of tropical forests is
are native to the country. Prominent families and genera in exemplified by the Silent Valley in the Western Ghats,
the pteridophytic flora of the Indian subcontinent include where a mere 90 sq. km area harbors 966 flowering plant
Polypodiaceae, Dryopteridaceae, Athyriaceae, species (Manilal 1988).
Thelypteridaceae, and Selaginellaceae. These families and Although Himalaya being an active speciation zone, still
genera play a pivotal role in shaping India’s diverse new variety of plants develops there due to suitable habitat
pteridophytic landscape. condition. Further Indian biodiversity provided impressive
Bryophytes: These are mosses found mainly in moist, status of the country comprising 7 World Heritage Sites
clean, and pollution-free habitats of North-eastern and Hima- (natural, total 40, 32 cultural), 18 biosphere reserves (BRs;
layan region including Western Ghats, having 2500 species. 2022), 75 Ramsar wetlands, 106 national parks (IUCN Cate-
Nineteen genera and 629 species are endemic to India. The gory II), 565 animal sanctuaries (IUCN Category IV) cover-
Indian bryo-flora has 1576 species, followed by liverworts ing 8.1 million ha accounting for 5–27% of the geographical
and hornworts (924 species). area. India’s rich biodiversity spans diverse habitats,
Lichens: These represent fungal and algal symbiosis; they encompassing dry deserts, cold deserts, alpine regions, tem-
comprise 2200 species, considered to be environmental indi- perate zones, tropical habitats, wetlands covering 4.1 million
cator species found in pollution free areas mostly in the hectares, and mangroves. Varied ecological conditions (high
undisturbed Himalayan and southern region (Western Ghats) rainfall area, coldest place on earth, etc.) also support such
of the country; endemic species make up 23% of the species. diversity. India’s biodiversity thrives across varied altitudes,
Fungi: With a great diversity found in the Western Ghats ranging from sea level to the world’s highest mountain peaks.
and the Himalayan region, they are home to the majority of Geological evidence highlights the Gondwana connection as
128 P. Bhattacharya

Table 7.2 Endemism in different plant groups of India

Plant group Total no. of species in India Number of endemic species reported Percentage
Algae 7175 1925 26.8
Lichens 2223 527 23.7
Fungi 14,500 3500 24.0
Bryophytes 2500 629 25.1
Pteridophytes 1200 193 16.0
Gymnosperms 67 07 14.9
Angiosperms 17,527 6200 35.3
Source: BSI (2009)

a pivotal factor in the evolutionary processes that shaped the diversity of wild species enhances the potential for generating
origin and dispersion of flora and fauna region. new varieties and ensures sustainability in the future.
Biodiversity hotspots are areas of unique biodiversity with An environment with higher species abundance is often
high rates of endemic or monotypic biota but are threatened perceived as more stable than one with lower species abun-
and prone to anthropogenic disturbances (Myers et al. 1988). dance. The necessity of biodiversity becomes evident when
Thirty five world biodiversity hotspots host 44% of all plant considering our dependence on the environment. Human
species which include: reliance on various plant species for diverse needs and depen-
dence on different animal and microbial species underscore
• Unique germplasm centers the critical role of biodiversity in sustaining our way of life.
• Exceptional scientific interest In the past, forests were primarily seen as sources of
• Unique/specialized forest communities (wet humid tropi- timber production. However, in recent decades, there has
cal forests, tropical swamps, sacred forests) been a shift in perception towards a more multi-functional
approach, emphasizing ecosystem functions and biodiversity
Four of the 35 global biodiversity hotspots are located in conservation. A wider understanding of the many roles that
India: the Nicobar Islands, parts of the Sundaland hotspot; forests play is reflected in the recognition of forest functions
parts of the northeast India in the Indo-Burma hotspot; the and services, under sustainable forest management (SFM).
Himalayan range includes the notheast India, Bhutan, and Biodiversity faces threats from habitat loss, resource over-
Nepal; and the Western Ghats along the India’s western exploitation, climate changes, pollution, invasive species,
coast. diseases, hunting, among other factors. Given its economic,
Biodiversity hotspots, characterized by high species rich- ethical, and aesthetic significance, conserving biodiversity is
ness and notable endemism, provide a unique environment crucial. This involves biodiversity management and realizing
showcasing the evolutionary process of speciation. However, the significance of safeguarding ecosystem across different
these areas face severe threats (Myers et al. 2000). The spatial scales. Forest certification schemes like Forest Stew-
Himalaya hotspot includes all mountains greater than ardship Council (FSC) and Programme for the Endorsement
8000 m globally and features some of the deepest river of Forest Certification (PEFC) keep high conservation value
gorges globally. The rich and diverse Indo-Burma hotspot approach in their certification standard for biodiversity con-
covers most of North-eastern India. The Western Ghats–Sri servation in Forest Management Unit (FMU) (Harrison et al.
Lanka hotspot, and further 400 km into Sri Lanka, preserves 2022).
the remaining tropical moist evergreen forests (rainforest)
and corresponding high endemic biodiversity even with
high anthropogenic pressure. 7.6 Biodiversity in Various Forest
Ecosystems

7.5 Why Biodiversity Is Important In India, mountainous regions span across the two global
for Sustainable Forest Management hotspots, the Himalaya and the Western Ghats. In close
observation, within forest ecosystem as such we can identify
Every species has its role to play in the ecosystem, so making various micro-climatic zones, and each zone based on mois-
species diversity is very important for future sustainability. ture, sunlight, temperature, slopes, and altitudes ecosystem
Biodiversity is crucial for the survival of every species, as will have very specific biodiversity components. Biological
organisms are interconnected in a delicate web of life. In diversity in the context of forest management refers to the
ecosystems, various species create a food chain linking variety and variability in the different floral and faunal func-
producers to consumers, playing vital roles. The extensive tional groups.
7 Forest Biodiversity Conservation 129

7.6.1 Himalayan Mountain Forest Biodiversity 7.6.2 Western Ghats Forest Biodiversity

The Indian Himalayan Mountain (IHM) range encompasses The mountain range that stretches from the Vindhya-Satpura
diverse ecological and cultural landscapes, contributing to a hills to the southernmost point of India’s west coast is known
rich biodiversity. Majestic Himalayan Mountain system as the Western Ghats. Its varied habitats include forest types
covers 5.3 lakh km2 area and administratively IHM covers such as tropical wet evergreen, montane evergreen, moist
10 states of India. Himalayan flora is exceptionally diverse, deciduous, and more. The Shola forest habitat, which is
featuring numerous medicinal and aromatic species like home to numerous endemic species, is particularly distinctive
Primula and Rhododendron, along with a significant presence to this area. It is found in the upper elevations of the Sahyadri
of orchids. Notably, the region constitutes 71 endemic genera mountain range.
and 32% endemic species. More than 90% of the species in The World Conservation Monitoring Centre (WCMC) has
Berberidaceae and Saxifragaceae are endemic to the recognized this region as a crucial area for freshwater biodi-
Himalayas (Rawal et al. 2013). versity. Its diverse topography, climate, and geology have
The Eastern Himalayas, Sikkim, and Arunachal Pradesh immensely contributed to local habitat, hosting about 30%
have reported a significant orchid varieties (MoEF 2009). Indian flowering plants. The Nilgiri Biosphere Reserve
Notably, Cordyceps sinensis (Kira jari), a rare and unique (NBR), which spans three states, is the first biosphere reserve
fungus, thrives in alpine meadows above 3500 m asl for established in India. Interestingly, 1500 species covering
2 months. This fungus holds high medicinal value and is 56 genera of flowering plants, with 63% of Indian evergreen
particularly expensive, with a price ranging from 5 to 8 forest tree species, are endemic to the Western Ghats.
lakh rupees per kilogram. It is extensively used in Chinese In the Western Ghats, there are 14 known endemic mam-
and Tibetan traditional medicines. mal species. The mammalian fauna of this region is
The Himalayan region is home to about 300 recorded characterized by a dominance of insectivores, bats, and
mammal species, 12 of which are endemic to the region. rodents. Among the 508 recorded bird species in the Western
Among the varied faunal elements, the region is home to Ghats, 144 are aquatic, and 324 are terrestrial. Sixteen bird
wild chicken and large mammals like Zebu, Mithun, and species are exclusive to the Western Ghats. Out of the total
Yak. Endemic species include the Golden Langur, the Hima- known fauna, 102 species are categorized as threatened, with
layan Tahr, the Pygmy Hog, the Flying Squirrel. The region mammals (30 species; 21.9%) and amphibians (52 species;
boasts around 1200 butterfly species and 979 bird species, 33.3%) being prominent among the threatened groups.
including 15 endemics. Four endemic bird areas (EBAs) Until recently, the forests of the Western Ghats underwent
partially or entirely overlap with the Himalayan hotspot. selective logging, and extensive portions were converted into
Among reptiles (177 species), 49 species are endemic. agricultural lands for monoculture plantations such as euca-
The Himalayan region is home to approximately 60 mil- lyptus, tea, coffee, cocoa, cashew, oil palm, and teak. Addi-
lion people, comprising over 800 culturally distinct tionally, the region has been impacted by road construction,
communities and more than 200 ethnic groups. The tourism infrastructure (hotels, resorts), railways, and the
livelihoods of the inhabitants in this region are directly development of reservoirs. The overlapping requirements of
dependent on a diverse plant and animal resource base. The the locals residing around the forest area contribute to
ecosystem services and bio-resources originating from this human–wildlife conflicts in the area.
area not only support the local population but also extend Approximately 20% of the original forest cover in the
their benefits to the plains. Additionally, these resources play Western Ghats remain relatively pristine. This pressure
a substantial role in ecological and food security at various includes the collection of firewood and non-timber forest
regional scales. products (NTFPs) for subsistence. Common threats to the
The Himalaya has not been immune to the effects of region involve mass tourism, grazing, mining, and forest
human activity, especially development projects that change fires. Widespread poverty persists, though recent economic
land use patterns and cause habitat loss and fragmentation, development has improved conditions in the areas adjacent to
despite its remoteness and difficulty of access. Animals like forests, including protected areas (PAs).
tigers and rhinoceroses are seriously threatened by poaching,
and the unsustainable extraction of medicinal herbs is a
growing source of concern. Even with its abundance and 7.6.3 Mangrove Biodiversity
diversity of natural resources, the area is still underdevel-
oped, and the pervasive poverty there may be a factor in the The mangrove ecosystem is an intricate combination of plant,
deterioration of the environment. animal, and microbes, along with their abiotic environment,
functioning as an integrated unit. This ecosystem serves as a
connection between land and sea water ecosystems and is
130 P. Bhattacharya

located in the inter-tidal zones of shores, creeks, marshes, endemism observed in the Sahara Desert. Notable endemic
mud-flats, estuaries, backwaters, including lagoons. species in the Thar Desert include Calligonum polygonoides
Mangroves are recognized as highly productive and biodi- (Polygonaceae), Prosopis cineraria (Mimosaceae),
verse ecosystems, playing crucial roles as habitats, spawning Tecomella undulata (Bignoniaceae), Cenchrus biflorus
grounds, nurseries, and nutrient sources for numerous (Poaceae), and Suaeda fruticosa (Chenopodiaceae). Many
animals. These habitats support various endangered species, arid, semi-arid, and dry sub-humid regions in India are
including mammals (tigers, deer, otters, and dolphins), prone to desertification, drought, or considered wastelands.
reptiles (like crocodiles, iguanas, and snakes), amphibians, In arid Rajasthan, approximately 92% of the area is affected
and birds (herons, egrets). Only a few plant families, such as by desertification, with 76% experiencing wind erosion and
Rhizophoraceae, Avicenniaceae, and Combretaceae, are 13% facing water erosion. In neighboring Gujarat, about 93%
morphologically adapted to sustain in salt water habitat and of the area is affected by desertification, and 39% is impacted
tidal effects. by water erosion, affecting both agricultural and wild lands.
In India, mangrove vegetation constitutes approximately The landscape is home to a diverse range of species that
5% of the global mangrove area, extending to about 4900 have adapted to its challenging conditions. The mammals
sq. km along the coasts and union territories of the country. include 41 species, featuring the lion, leopard, and tiger.
West Bengal boasts the highest mangrove cover (42.45%) in The region boasts magnificent grasslands and serves as a
the nation, followed by Gujarat (23.66%), A&N Islands sanctuary for the Great Indian Bustard (GIB, Choriotis
(12.39%), Odisha (Bhitarkanika), and Tamil Nadu nigriceps), a charismatic bird facing global threats. Other
(Pichavaram). Sundarbans of West Bengal is considered as mammals include blackbuck, desert cat, antelope, gazelle,
marvels of biodiversity; they are considered as UNESCO striped hyena, grey mongoose, wild ass, chinkara, caracal,
world heritage site due to unique habitat of Royal Bengal and desert fox. The blackbuck, a globally threatened species,
Tiger. Now Sundarban is facing tremendous challenges due finds refuge in this area. Among the 140 bird species
to repeated cyclonic event due to climate change impact. recorded, the GIB stands out as a globally threatened species.
Vigorous endeavors are imperative for the restoration of Additionally, the region serves as a migration flyway for
mangroves to realize ecological and local livelihood benefits, cranes and flamingos.
with a specific emphasis on sustainable mangrove manage- Degradation has taken its toll on a substantial portion of
ment and improving the ecology of the area for enhancing India’s 329 million hectares of geographical area, impacting
fish and crab production. at least one-third of it. The arid regions, encompassing 49.5
million hectares, bear the brunt of degradation, with notable
impact in the western part of Rajasthan, and in arid Gujarat
7.6.4 Desert, Arid and Semi-arid Lands (6.22 million hectares).
Biodiversity Desertification process is biggest threat for local biodiver-
sity in the area. Cyclical droughts, intense winds, nutrient-
India’s arid and semi-arid regions encompass 127.3 million poor sandy soils, and heightened human and livestock
hectares, constituting 38.8% of the total area, and are demands for food, fodder, and fuelwood contribute to the
distributed across 10 states. The hot arid zone predominates excessive exploitation of delicate resources. This leads to
in Rajasthan (60%), Gujarat (20%), Punjab and Haryana issues like erosion, waterlogging, salinity-alkalinity, and deg-
(9%), and Andhra Pradesh, Karnataka, and Maharashtra radation of habitat of flora.
(10%). Meanwhile, the cold arid zones are situated in the Recognizing the significance of local flora and fauna in
Trans-Himalayan region of Jammu & Kashmir, Himachal dry area, various protected areas have been set up in the
Pradesh, Uttarakhand, and Sikkim, covering an area of region. This encompasses national parks covering 3162
184,823 square kilometers or 5.62% of the total sq. km and wildlife sanctuaries spanning 12,914 sq. km.
geographical area. Furthermore, the Rann of Kutch, extending over 12,454
The Thar Desert, located in the hot and semi-arid region, is sq. km, has been designated as the largest biosphere reserve
the seventh biggest desert globally and is recognized as the (BR) in India.
most challenging eco-region. This extensive eco-region is
situated west of the Aravalli Range and is characterized by
extreme climatic conditions. Rainfall is scarce, typically 7.6.5 Urban Biodiversity
ranging between 100 and 150 mm. The flora of the Indian
desert includes 682 species (87 families, 352 genera, The rapid changes in various parameters of the urban envi-
86 angiosperm families, a single gymnosperm family). ronment pose both opportunities and challenges for the spe-
The Thar Desert exhibits a relatively higher degree of cies inhabiting it. These factors influence population size,
endemism in its plant species at 6.4%, surpassing the 3% abundance, density, and the coexistence of diverse species,
7 Forest Biodiversity Conservation 131

thereby shaping urban biodiversity. Urbanization is very The Indian State of Forest Report (2021) indicates that
rapid in some continents of the globe, the urban areas of the Delhi has approximately 195 square kilometers of forest
world is more than 50%, and such a high rate of urban cover inside or outside the recorded forest area. The city
expansion is one of the causes of biodiversity loss. Biodiver- encompasses various types of urban green spaces, including
sity is required by the city dwellers almost same manner as reserved forests, institutional areas, roadside plantations,
we see in rural areas. Urban green spaces (UGS) protect and protected forests, society parks, neighborhood parks, tot
maintain the diverse biodiversity of surroundings in their lots, gardens, green belts, and avenue plantations. Common
various habitats like green habitat, blue habitat, and brown tree species found in these green spaces are Neem,
habitat. UGSs serve as a biodiversity hotspot for significant Gulbakabali, Amaltas, Ashok, Shehtoot, Peepal, Australian
bird and bee population (Aronson et al. 2017), promoting acacia, Arjun, Jamun, Mango, Sissoo, Karanj, Gulmohar,
pollination and seed dissemination (Tian et al. 2020). Biodi- Kali Siris, and Semul.
versity in urban areas plays a crucial role in regulating atmo-
spheric composition, temperature, hydrological cycles, soil
formation, and nutrient cycling. Additionally, it contributes 7.6.6 Urban Biodiversity Park
to essential services such as pollination, while urban green
spaces provide recreational and cultural opportunities. These Establishment of city biodiversity parks as a new model of
areas not only promote healthy living and community spirit urban biodiversity conservation has been practiced in India
but also act as green lungs, fostering biodiversity in the heart for the past two decades. Implementing an in situ conserva-
of the city. Urban areas require per capita 9 sq. m green space tion strategy for urban green spaces and promoting the devel-
area. They are an indispensable component of cities which opment of flora and fauna requires a scientific approach. In
play an important role due to their site specific plants and the NCT of Delhi, Aravalli Biodiversity Park and Yamuna
animals in urban areas (Tian et al. 2020; Zhang and Ramírez Biodiversity Park were established in 2005 to change the
2019). People get benefited from UGSs in terms of physical areas occupied by Lantana and Prosopis (both are invasive
and mental health because they are popular as venue for species) and to conserve the ecosystem and bringing back the
physical activities while also providing peacefulness for original native species of the area.
enhanced restfulness, mental health, and cognitive growth.
In New Delhi, the capital city of India, there are over
18,000 parks and gardens covering approximately 8000 7.7 Biodiversity Measurement
hectares. These green spaces are significant sources of biodi- and Monitoring Study
versity, hosting a variety of plants and animals. Diversity is
the key to safeguard any ecosystem. For example, in an urban Biodiversity indicators are essential for gauging the health
park area 100 individual birds of three species are available, and condition of biodiversity in a specific area. They encom-
whereas, in another park only 50 birds of 12 different species pass various aspects, including species diversity, rare and
available, the second area is having more biodiversity. The threatened species, habitat quality and extent, threat levels,
same is happening in urban area; only a few birds like pigeon, compliance with regulations, ecosystem services, community
myna, and crow are mostly available in large numbers engagement, and ecological resilience. These indicators help
(Bhalla and Bhattacharya 2015). Habitat modification may assess the effectiveness of conservation efforts and provide a
restrict some species to small pockets of the urban environ- comprehensive understanding of biodiversity status. In the
ment. Gradual slow extinction of a few birds and other planning process of forest management, for understanding
animals often go unnoticed by local people and their absence the health of forest, biodiversity status could be a crucial
is felt only a long time after their disappearance. Various parameter to study a forest area. For achieving desirable
agencies, including the Municipal Corporation of Delhi objectives for forest management, foresters should follow
(MCD), Forest Department, Delhi Development Authority procedure based on current condition of the place, long-
(DDA), Public Works Department (PWD), Central Public term interest of the government, and the local communities.
Works Department (CPWD), and Delhi Cantonment Board Following aspects are relevant to take care of biodiversity
(DCB), are involved in maintaining these areas. Residents planning:
Welfare Associations (RWAs) also actively participate in the
upkeep of local neighborhood parks in collaboration with • Make an inventory of mature trees, threatened areas, and
government agencies. To coordinate, manage, and monitor natural forest areas and plantations.
these urban green spaces, the government of the National • Survey of other natural areas (e.g., open grazing/commu-
Capital Territory (NCT) of Delhi established the “Delhi Parks nity land and wetlands).
and Gardens Society” in 2008 (Anand and Bhattacharya • Provision kept for protection of cultural values of local
2021). people.
132 P. Bhattacharya

• Understanding about connections within the forest man- Abundance

agement unit and across other landscape including
Total number of individuals of a species in all plots
grassland. =
Total number of sample plots studied

7.8 Measurements Through Permanent 7.8.1.4 Basal Area

and Temporary Plots Basal area pertains to the ground area covered with tree
stems. It is a reliable indicator of the size, volume, or weight
Using the quadrat method facilitates the evaluation of biodi-
of a tree. Basal area offers insights into the relative domi-
versity through parameters such as species richness, abun-
nance of larger and smaller trees within a community. This
dance, the Simpson index, and the Shannon-Wiener index.
parameter holds significance in estimating the standing bio-
Species richness involves counting the number of species in a
mass in a given area and serves as a metric for productivity.
plot or quadrat. The Simpson and Shannon-Wiener indices
The basal area is calculated by using formula:
consider both richness and the distribution of individuals
among species. Calculating these indices requires informa-
ðCBHÞ2
tion of species and their number of species and corresponding Basal area =
4π
number of individuals across sites in various seasons.
where CBH = circumference at breast height.

7.8.1 Primary Analysis of Vegetation 7.8.1.5 Importance Value Index

The Importance Value Index (IVI) of a species within a
The biodiversity is assessed through collection of the basic community provides insight into its relative importance in
data with regard to vegetation in the sample plots laid under comparison to other species (Curtis 1959). This statistical
different management regimes. The data gathered is used to measure offers a comprehensive assessment of a species’
determining abundance, density, and frequency for each tree significance within the plant community. In calculation rela-
species using the below mentioned formulae (Curtis and tive values are used instead of absolute values. The percent-
McIntosh 1950). age values of relative density, relative frequency, and relative
dominance for a species are summed, yielding the importance
7.8.1.1 Frequency value index. IVI plays a pivotal role in determining the
It is the spread of an individual species in an area and is vegetation status and the importance of component species
expressed in terms of percentage occurrence. It is calculated within a vegetation. It, thus, incorporates following three
by equation: parameters:

Frequency Density of the species

Number of sample plots in which species occurred
Relative density = × 100
= × 100 Total density of all species
Total number of sample plots studied
Frequency of the species
Relative frequency = × 100
Total frequency of all species
7.8.1.2 Density
Density represents the number of individuals of a species in a Dominance of the species
Relative dominance = × 100
unit area. It represents the numerical strength of the species in Total dominance of all species
the community.
IVI = Relative density þ Relative frequency
Density þ Relative dominance
Total number of individuals of a species in all plots
=
Total number of sample plots studied
7.8.1.6 Species Diversity
Species diversity is a measure of the diversity within an
7.8.1.3 Abundance ecological unit. It is calculated as:
Abundance is the measure of the number of individuals of a
species per sampling unit of occurrence. It is calculated as 1. Shannon-Wiener index: It is used to calculate the species
below: diversity in the community and is represented by
H (Shannon and Weaver 1949).
7 Forest Biodiversity Conservation 133

H= - Pi ln Pi of permanent plots in various habitats and forest groups;

(2) by seasonal monitoring of keystone and indicator species;
where, Pi = n1/N. n1 is the number of individuals of the and (3) by employing geo-spatial methods across expansive
species and N is the total number of individuals of all regions. The camera trap technique is utilized for repeated
species. censuses of large mammals (e.g., bison, lion, leopard, rhino,
2. Simpson’s index (1949) tiger, antelope) despite limited accuracy, and further techno-
logical refinement is needed for improvement.
s Monitoring and assessment of keystone species like Ficus
Ds = p2 sp. in the mixed miscellaneous forest of Madhya Pradesh,
i=1 Chhattisgarh, Odisha or Oaks (Quercus sp.) in Himalaya area
and Sal (Shorea robusta) in tropical moist deciduous forests.
where, pi = ni/N (proportional abundance of ith species), Monitoring of exotic weeds such as Prosopis juliflora,
S = number of species, Ni = the total number of Lantana camara, Euphatorium odoratum, Mimosa invasa,
organisms of a particular species, N = the total number and Parthenium hysterophorus are key to evaluating changes
of organisms of all species. in local flora. To study biodiversity over time, it is essential to
correlate the occurence and population size of the selected
7.8.1.7 Species Richness species with the biodiversity level.
Species richness is the number of species in a sample or
habitat per unit area. Higher the value, greater the species
richness. The indices used: 7.8.4 Participatory Assessment
1. Margalef’s Index (1968) 7.8.4.1 Participatory Assessment Monitoring
and Learning (PALM)
s-1
Da = It is one of the Participatory Rural Appraisal (PRA) methods
lnðN Þ used along with local inhabitants in natural forest areas,
wherein villagers monitor the biodiversity of the Joint Forest
where S = total number of species, N = total number of
Management (JFM) areas regarding plants and animals
individuals in the sample, ln = natural logarithm.
including bird species available in their forest areas. This
2. Menhinick’s Index (1964)
provides first-hand information to local community about
s all landscape components and biodiversity highlighlighting
Db = p how new regenration is restoring the native species in their
N
area. Their indigenous knowledge always helps in conserva-
where s = number of species, N = total number of tion of local species in different season. They even do the
individuals. yearly monitoring of biodiversity components, including
water bodies which they utilize for their day-to-day needs.
Villagers may also do the documentation of yearly monitor-
7.8.2 Geospatial Approach ing data in local language place in sign board at the village
meeting, so that all members of village understand about the
Satellite imagery with extensive coverage introduces a new biodiversity status and changes in their village. In such a
aspect to biodiversity assessment. Maps of vegetation types monitoring, local community actively participates under the
derived from satellite data can serve as crucial inputs for a guidance of field experts, which is more effective than the
biodiversity assessment at the landscape level. Various vege- monitoring by the outside consultants, with limited knowl-
tation indices are used like NDVI (Normalized Difference edge about local flora, fauna, and history of the forest area.
Vegetation Index), to identify vegetation health status, along
with other indices to analyze different land use and land
cover changes and trends. 7.8.5 People’s Biodiversity Registers

The Biodiversity Rules of 2004 have introduced an inventive

7.8.3 Temporal Assessment method for cataloging biodiversity at the local level known as
People’s Biodiversity Register (PBR) or Panchayat Biodiver-
Biodiversity monitoring, focusing on the temporal scale, can sity Register. This initiative was initially launched by the
be approached in three ways: (1) through consistent surveys Foundation for Revitalization of Local Health Traditions
(FRLHT) in collaboration with Indian Institute of Science,
134 P. Bhattacharya

Bangalore (Utkarsh et al. 1999), this program has been resources. The country boasts a network of 770 protected
implemented by various State Biodiversity Boards since areas (PAs), covering 1,62,365.49 km2, equivalent to 5.2% of
2010, resulting in nearly 10,520 PBRs by 2020. The knowl- the total geographical area. This network includes
edge of availability of species, seasonality, utilization, habitat 103 national parks, 544 wildlife sanctuaries, 46 community
of occurrence, practices, harvest methods and preservation, reserves, and 77 conservation reserves. Among these, there
as well as local uses of bioresources is available in each are 39 tiger reserves and 28 elephant reserves, and India hosts
panchayat are documented by involving local communities, 6 World Heritage Sites under UNESCO’s framework. Both
school teachers, botanists, zoologists, and foresters (Saha and scientific monitoring and traditional observations affirm the
Bhattacharya 2011). restoration of depleted natural resources and the sustained
preservation of pristine ecological conditions. Notably,
improved conservation effectiveness has yielded positive
7.9 Approaches to Forest Biodiversity outcomes for various species. Tiger and elephant populations
Conservation and Management have shown an increase in recent years, and the conservation
status of the Indian rhino has been upgraded from endangered
It is obvious that the natural forests have more biodiversity to vulnerable.
than the plantation forest. However, effectively managed India has six natural World Heritage Sites recognized for
forests have the potential to sustain biodiversity levels like their “Outstanding Universal Values.” These sites include
those found in untouched forests, contributing to essential Kaziranga National Park, Manas National Park, Keoladeo
ecosystem services (Gibson et al. 2011). Unfortunately, the National Park, Nandadevi National Park, Sundarbans
management and conservation of genetic resources and National Park, and the Western Ghats serial site. Addition-
genetic diversity in productive forests are aspects frequently ally, several other natural sites in India are being tentatively
neglected in forest biodiversity conservation. The crucial assessed and evaluated for potential inclusion as World Heri-
initial step in establishing a biodiversity management plan tage Sites. Furthermore, India has identified 12 Trans-
is to identify and define biodiversity objectives, forming an boundary Protected Areas, and collaborative efforts through
integral component of both short-term and long-term forest bilateral and/or multilateral cooperation have been initiated
planning processes. with neighboring nations in this regard.
Biodiversity conservation is a very complex process
which demands scientific measures to improve the composi- 7.9.1.1 National Parks
tion, diversity, and sustainability. Generally, biodiversity can These are compact reserves managed by the government with
be conserved in the following ways: clearly defined boundaries. Activities such as grazing, for-
estry, and habitat cultivation are strictly prohibited within
• In situ conservation these areas, for example, include Kanha National Park and
• Ex situ conservation Bandipur National Park.

7.9.1.2 Wildlife Sanctuary

7.9.1 In Situ Conservation In such areas, only certain activities like timber harvest,
NTFP collection is allowed without disruption of the conser-
In situ conservation of biodiversity involves the preservation vation efforts. These areas also attract tourists for recreational
of species within their natural habitats, maintaining and purposes. Table 7.3 shows the number and area covered by
protecting the natural ecosystem. The in situ conservation four categories of protected areas under Wildlife Protection
has the following advantages. Act (1972).
In situ conservation proves to be a cost-effective and India has various areas, distinct from traditional protected
convenient method for preserving biodiversity. This areas, that fall under the definition of other effective area-
approach allows the simultaneous conservation of a large based conservation methods (OECM) as per the CBD. These
number of living organisms. Being in their natural ecosys- geographically defined regions, managed in diverse ways,
tem, these organisms can evolve more effectively and readily aim to achieve positive and sustained long-term outcomes
adapt to diverse environmental conditions. Designated for in situ biodiversity conservation, including associated
protected areas like national parks, wildlife sanctuaries, and ecosystem functions, services, and relevant cultural, spiritual,
biosphere reserves serve as important sites for in situ conser- socioeconomic values. These areas exist across different
vation efforts. states and are conserved for diverse purposes, each governed
India has strategically employed its protected area net- by unique mechanisms.
work to manage natural resources for biodiversity conserva- Communities actively conserve community conserved
tion and the welfare of populations dependent on these areas (CCAs) for cultural, religious, and livelihood purposes,
7 Forest Biodiversity Conservation 135

Table 7.3 Number and area Category Number of reserves Area (km2)
covered under different protected
National parks 106 44,402
areas in India
Wildlife sanctuaries 573 123,762
Community reserves 220 1455
Conservation reserves 115 5548
Total protected areas 1014 1,75,167

employing customary practices. Specific legal/administrative restoration plans in collaboration with communities; and
arrangements in some states, such as the Village Council Act offering economic incentives to communities safeguarding
in Nagaland, the Panchayat Proclamation Act in Arunachal and managing sacred groves, thereby ensuring the
Pradesh, and the Van Panchayat Act in Uttarakhand, aid in sustainability of these ecosystems for future generations.
protecting CCAs. Another significant category is “Sacred The National AYUSH Mission and National Medicinal
Groves,” recognized by various names in different regions Plant Board (NMPB) have facilitated the establishment of
of India. With over 7000 sacred groves documented, many 110 Medicinal Plants Conservation Areas (MPCAs), each
preserved in their pristine form through generations; experts averaging 200 hectares in size, covering 34 forest types.
estimate the actual number to be between 0.1 and 0.15 These areas serve as habitats for wild breeding populations
million. including flagship threatened species. As part of the scheme’s
objectives to expand the cultivation, conservation, utilization,
7.9.1.3 Biosphere Reserves and knowledge advancement of medicinal plants,
Biosphere reserves, supported by UNESCO, are multipur- 57 MPCDAs have been established, covering an area of
pose areas that safeguard wildlife, the traditional knowledge 10,702.15 hectares.
of local inhabitants, and domesticated plants and animals. The wealth of biodiversity contributes to the utilization of
These reserves allow for both tourist and research activities. nearly 8000 medicinal plants for health and various purposes
Currently, there are 18 designated biosphere reserves, cover- in various AYUSH systems. The reliance on sourcing medic-
ing an area of 89,531 km2. Ten of these reserves are part of inal plants from the wild has decreased steadily, thanks to the
the World Network of Biosphere Reserves. implementation of various conservation and cultivation
techniques since the 1990s.
7.9.1.4 Sacred Groves and Community Reserves
Several Indian societies hold a deep reverence for nature and
natural elements, considering them sacred and even 7.9.2 Ex Situ Conservation
worshiping them as deities. In alignment with these
traditions, certain communities have designated forest Ex situ conservation entails the breeding and upkeep of
patches as sacred groves, dedicated to ancestral spirits and endangered species within artificial ecosystems, including
deities. These groves are typically maintained in their natural zoos, nurseries, botanical gardens, gene banks, and more.
state, representing a climax stage of vegetation succession. This method reduces competition for resources like food,
Estimates suggest that India may have thousands of sacred water, and space among organisms. In the realm of ex situ
groves, covering a significant percentage of the country’s conservation, various national gene banks have been
geographical area. Various states, such as Meghalaya, established for diverse forms of life, including plants,
Kerala, Maharashtra, Tamil Nadu, Uttarakhand, and animals, insects, fish, and agriculturally-significant
Himachal Pradesh, host sacred groves with diverse floral microorganisms. These gene banks collectively safeguard
and faunal biodiversity. The management and protection of 366,933 unique accessions of plant genetic resources and
these groves vary, with some being overseen by Gram 2517 microorganisms.
Panchayats, communities, or clans, depending on the region Ex situ conservation has the following advantages:
(Malhotra 1998; Pushpangadan et al. 1998; Ramakrishnan
1998). 1. The animals are provided with a longer time and breeding
The preservation of sacred groves in India faces various activity.
challenges, including the erosion of cultural values, forest 2. The species bred in captivity can be reintroduced in
degradation from canopy opening, livestock grazing leading the wild.
to invasive weed infestations, agricultural encroachment, and 3. Genetic techniques can be used for the preservation of
natural disasters. To address these issues and conserve sacred endangered species.
groves, potential strategies include conducting a comprehen-
sive inventory of groves in all biogeographic zones; promot- The National Bureau of Plant Genetic Resources
ing mass education and revitalizing cultural values among (NBPGR), which was founded as the first national gene
local populations; developing site-specific conservation and bank in India, is in charge of conserving both cultivated
136 P. Bhattacharya

plants and their wild counterparts. The National Facility for depletion is also driven by trade in economically and medici-
Plant Tissue Culture Repository (NFPTCR) is engaged in nally valued species. The international trade encompasses a
cryo-preservation activities as well as in vitro culture of wide range, including live plants and animals, various food
plants with ecological significance (Chandel 1996). products, exotic leather, animal products, wooden musical
Numerous botanical gardens and arboreta play a vital role instruments, timber, tourist curios, and medicines. The com-
in the preservation of plant species across diverse categories bination of high levels of exploitation, trade, and habitat loss
for scientific documentation. The National Bio-resource can severely deplete populations of certain plant species and
Development Board (NBDB) established in 1999 is push them close to extinction. The following are some of the
conferred the task of devising suitable strategies for conser- key causes of biodiversity loss.
vation efforts for valuable biological resources.
7.10.1.1 Unsustainable Harvesting
A long list of biodiversity products available in forest areas
7.10 Threats to Forest Biodiversity such as NTFPs are often over harvested by the action of local
people, traders and herbal industries. There are three ways of
The depletion of biodiversity is attributed to factors such as unsustainable harvesting: over harvesting (more amount of
habitat loss, resource over-exploitation, climate change, pol- collection than it should be), pre-harvesting—in this case
lution, invasive species, diseases, and hunting. Given the before the maturity of the product (fruit, roots, barks, etc.)
multitude of economic, ethical, and aesthetic benefits derived they are harvested, faulty method of harvesting—mechanism
from biodiversity, its conservation becomes imperative. In of collection is not proper (e.g., cutting of whole branch for
addition to specific species, communities and systems as a harvesting of Anola fruits from a tree) which result in death of
whole are also facing degradation and decreased resilience. the plant or limited produce in subsequent years. The direct
Every year, approximately ten million hectares of land are harvesting and utilization of species, whether for timber, non-
subjected to deforestation, leading to the substantial loss of timber forest products (NTFPs), animal meat, or the wildlife
forest biodiversity and the services provided by ecosystems trade, can result in significant negative impacts on their
(Gibson et al. 2011; FAO 2020). populations (Ticktin 2004; Shackleton et al. 2018). These
impacts include the erosion of genetic diversity (Thomas et
al. 2014; Chiriboga-Arroyo et al. 2021). Several highly sought-
7.10.1 Indian Biodiversity Loss after timber species such as rosewood, red sanders, and agar
trees are among the 76 species that are currently threatened.
India’s per capita forest area is approximately 0.064 hectares, Overharvesting of animals for bushmeat and medicinal plants,
significantly lower than the global average of 0.64 hectares. as well as the pet trade in many countries, is a pervasive
Around 78% of forest land in the country experiences intense problem, particularly in tropical and subtropical forests.
grazing, and about ten million hectares are affected by
shifting cultivation. Furthermore, extensive areas continue 7.10.1.2 Invasive and Alien Species
to be converted to developmental and infrastructure sites. The term “invasive species” refers to non-native species that
The unsustainable collection of fuelwood from forests has have the potential to cause sociocultural, economic, environ-
emerged as a significant issue, especially in the last decade, mental, or health harm upon introduction. These species can
contributing to forest degradation and consequent biodiver- have negative effects on new environments because they lack
sity loss. The heightened biotic pressure, characterized by natural enemies, which normally maintain population bal-
dense human and cattle populations, is a major factor ance, or because their new host trees are unable or unwilling
contributing to the decline in forest cover. These factors not to resist them. As a result, invasive species can have negative
only lead to the loss of biodiversity but also contribute to effects on forests and the related goods and services they
forest fragmentation. This fragmentation causes disruption in support. Exotic species refer to those introduced from one
the gene flow resulting in genetic impoverishment. geographic region to an area outside their natural range.
Forest timber plantations, featuring species like eucalyp- Exotic species are deliberately or accidentally introduced
tus, teak, rosewood, conifers, and exotics such as rubber, into other countries where they may also be referred as
acacia, alder, and silver oak pose significant threats to natural invasive, non-native, alien or introduced species, such a
diversity. In addition, the biological invasive species like group of species are very important to understand the biodi-
Lantana, Mimosa, and Euphatorium are notably endangering versity of the area. Worldwide, the economic cost of invasive
native biodiversity. species, encompassing losses in crop, pasture, and forest
Approximately 77% of forests in the Western Ghats–Sri production, along with expenses for environmental damage
Lanka region and 75% in the Himalayas have been lost or and control efforts, is estimated to be USD 1.288 trillion over
degraded primarily due to human encroachment. Biodiversity the last 50 years (Zenni et al. 2021). The characteristic which
7 Forest Biodiversity Conservation 137

supports exotics for survival is high adaptability and high to forest health. This perspective persists despite the globally
reproductive success to adopt a new environment. Exotics are accepted notion of prescribed fires and diverse fire regimes,
usually fast growing and they compete for food and habitat recognizing their role in promoting biodiversity and fostering
with indigenous populations. They establish in disturbed hardy timber species. While acknowledging potential adverse
ecosystem with niches or in early successional stage. They effects on timber trees and their regeneration in the short
are usually not comfortable in the stable ecosystem with term, re-evaluation of the overall role of fires in the function-
complex food webs. They have shorter life cycle, long sur- ing of forest systems in India is required. Shifting or jhoom
vival capacity, high dispersal rate. Some of the common cultivation uses native seeds for cultivation, which is much
exotic species are Bilati Babool (Prosopis juliflora), water prevalent in forest areas of north-east part of India, is also
hyacinth (Eichhornia crassipes) native to Brazil, Ipomoea responsible for fire.
fistulash introduced from Mauritius, Argemone mexicana The forest fire is a natural part of the earth’s ecosystem and
from Mexico, Lantana camara from North America, has mostly negative impact on the local flora and fauna,
Parthenium hysterophorous from North America, Eucalyp- though they also have a few positive impacts as well. The
tus species from Australia. negative impacts include the habitat loss for animals; many
Native species live in the habitat or community from endangered or RET species die just after fire happens in any
where they have originated. In numerous instances, area. It also damages soil profile, soil erosion take place and
introduced species assimilate into the native flora or fauna loss of plant biodiversity particularly lower plants like
without causing measurable harm. Over time, these new mosses, fern, fungi which perish soon after the fire incidence.
species may become naturalized during their journey. In the Uncontrolled burn can result in millions of dollars’ worth
forest habitat, they compete for food and habitat, may predate damage to the habitation. Many species like pines, acacias as
on the indigenous populations, transmit parasites and pioneer species come in the forests in large number. The ash
diseases, and have greater viability and reproductive success. left post fire puts nutrients in to the soil, may kill invasive
Invasive species introduced in an area can create genetic species, allowing native biodiversity to regain territory. Fire
pollution as they often breed with native relatives to produce indirectly promotes biological diversity and healthy ecosys-
hybrids, altering the genetic pool irreversibly leading to loss tem. It removes dry, dead wreaked trees and plants to create a
of genetic diversity of the place. Therefore, naturally occur- more open space on the forest floor which allows sunlight for
ring species can be threatened by genetic pollution due to better growth.
regeneration/breeding of wild species.
7.10.1.4 Climate Change Impact on Biodiversity
7.10.1.3 Forest Fire The interconnection between climate change and biodiversity
Large uncontrolled forest fires have become a significant is evident, especially concerning forests. Forests serve as
factor in the drastic degradation of forest bio-resources, lead- both carbon sinks and are susceptible to the impacts of
ing to increased negative impacts globally in recent decades. climate change, making them a crucial consideration for
Biodiversity, especially in dry deciduous forests, faces a various governments and organizations. Recent studies indi-
major threat from the extensive destruction caused by these cate a worldwide reduction in forest resilience due to climate
fires, resulting in significant losses of flora and fauna. Usually change, particularly affecting tropical, arid, and temperate
fire occurs in probability and tendency of spreading damage forests, leading to declines in primary productivity (Forzieri
is quite high, from mid-March to mid-June. Most of the et al. 2022).
human-made fires are associated with acts like collection of The Intergovernmental Panel on Climate Change (IPCC)
mahua flowers from forest floor, sal seed collection, promot- says that the conservation and management of forests offer an
ing better grass growth after the rains and increasing flush of effective means to significantly reduce emissions, with poten-
tendu leaves. Therefore, it is essential to identify the setters of tial co-benefits for adaptation and sustainable development,
fire on dense forest land and these kinds of acts should be namely, ways to reduce land degradation and forest conser-
placed in the offenses under various laws. The results from vation and restoration can enhance co-benefits. Furthermore,
the spatial statistical analysis in fire research show that fire forests play a crucial role in climate change adaptation by
affects first teak mixed dry deciduous forests and then comes retaining ecosystem services and providing livelihood
bamboo, teak, sal mixed dry deciduous and finally mixed options.
plantation vegetation types. The occurrence of fire due to the Climate change is expected to have an impact on forest
thick litter layer which serves as excellent fuel for fire to biodiversity as well as the capacity of forests to provide
occur which is a typical characteristics in tropical dry decid- habitat for species, protection of soil and water, and other
uous forest. ecosystem services. Certain forest ecosystems, including
In India, the role of forest fire management is not ade- mangroves, boreal forests, tropical forests, cloud forests,
quately acknowledged, and fires are still perceived as harmful and dry forests, are identified as particularly vulnerable.
138 P. Bhattacharya

Dry forests face potential negative impacts, given that their context, careful policy analysis of multi-lateral trade
soils are susceptible to erosion. Drylands cover 41% of the agreements is necessary to ensure that the impacts on forests
earth’s land area and support over two billion people. Human and biodiversity are minimized. Current forest certification
activities such as fire, grazing, agriculture, and firewood standards keep the importance and safeguard the biodiversity,
collection have significantly altered many dry forests, leading a high priority area in their mechanism of achieving sustain-
to degradation and desertification threats. Forests managed able forest management (SFM).
for diversity and multiple benefits, as well as primary forests The Biological Diversity Act, 2002, was formulated by
with high biodiversity tend to be more resilient to India in response to the CBD. The primary objectives of the
disturbances. These ecosystems maintain healthy soils, pro- act include the preservation of biological diversity, sustain-
vide natural habitats for forest biodiversity, and serve as a able use of its components, and the fair and equitable sharing
stable carbon store. of benefits arising from the utilization of genetic resources.
Sustainable use, as defined in section 2(o), refers to the
7.10.1.5 Habitat Fragmentation and Destruction utilization of components of biological diversity in a manner
of Biodiversity Corridor and at a rate that avoids the long-term decline of biodiversity,
In forests, large continuous habitats of species that get ensuring its potential to meet the needs and aspirations of
divided into smaller, scattered and isolated patches are called present and future generations. The act envisages a three tier
habitat fragmentation, which happens largely due to anthro- institutional structure for regulation of access to the biodiver-
pogenic causes like construction of road, dam, long boundary sity resources, comprising of:
walls, and other infrastructure. Fragmentation divides the
animal and plant populations into smaller isolated groups 1. National Biodiversity Authority (NBA)
with reduced size. The consequence is breaking up of free 2. State Biodiversity Boards (SBB)
flow of biological association making the population vulner- 3. Biodiversity Management Committees (BMC) at the local
able to extinction as it prevents gene flow among the level
fragmented patches.
Extreme land-use alteration like fragmentation has Many focal areas under biodiversity act which govern-
directly affected the persistency of biodiversity and ecologi- ment follows through the above instruments particularly for
cal processes. Plantations could be the alternative to reestab- the Intellectual Property Right (IPR), bio-utilization,
lish the corridor along with structural modification in the research, transfer and exchange of bio-resources, and Access
habitat which has been fragmented to develop biodiversity and Benefit Sharing (ABS).
again in the same place. Plantation forests typically exhibit a Biodiversity Rules, 2004: Under the authority granted by
uniform age structure and low species and genetic diversity. Section 62 of the Biological Diversity Act, 2002, and
Over time, the biodiversity value of plantation stands tends to superseding the National Biodiversity Authority Rules,
increase due to processes like under storey natural regenera- 2003, the central government established new rules, which
tion and colonization by epiphytes on trunks and branches. became effective on April 15, 2004. The Biodiversity Rules
Large trees within plantations may also offer additional wild- have following points developed for action:
life resources, such as nest sites. The potential of plantations
to support biodiversity is limited by a number of factors, • Procedure for seeking prior approval before applying for
despite their regular management cycle. However, through intellectual property protection
suitable design and management practices, the biodiversity • Criteria for equitable benefit sharing
value of fragmented plantation sites can be significantly • Approval for settlement of dispute under section 50
enhanced. • Safeguarding Traditional Knowledge (TK) linked to
biological resources—requiring suitable legal and institu-
tional mechanisms to acknowledge the rights of tribal
7.11 Biodiversity Conservation Policy, communities over their traditional knowledge related to
Legislation, and Acts biological resources on the global stage.

The formulation of policies and their proper implementation Article 6 of the CBD necessitates the formulation of
through different schemes, in the respective countries “National Biodiversity Strategy and Action Plans”
towards conservation of biodiversity has been in place. Glob- (NBSAPs), a crucial document mandated for creation by
alization of the forest sector in many developed countries has individual countries to implement the CBD’s goals through
primarily focused on the effects of using exotic plantation their national strategies and action plans. Over 190 nations
species and maintaining forest cover as a holistic consider- have committed to enhancing efforts to incorporate biodiver-
ation, rather than specifically improving biodiversity. In this sity into the policies of various sectors such as forestry,
7 Forest Biodiversity Conservation 139

Table 7.4 India’s legislations related to biodiversity conservation

Name of the legislation Key features
Wildlife (Protection) Act, Addresses the safeguarding of wildlife and habitats and outlines provisions for the safeguarding of wild animals,
1972 birds, plants, and associated aspects, aiming to guarantee the ecological and environmental security of the nation
Forest (Conservation) Act, Designed for the conservation of forests and related matters
1980
Biological Diversity Act, Enables the conservation of biological diversity, sustainable utilization of its components, and fair distribution of
2002 benefits arising from the utilization of biological resources, knowledge, and associated aspects
Biological Diversity Deals with internationalizing the Biological Diversity Act
Rules, 2004

fisheries, agriculture, tourism, and more. The Sharm

El-Sheikh Declaration in 2018 expanded this commitment 7.12 Capacity Building in Biodiversity
to additional sectors like energy, infrastructure, Conservation
manufacturing, and processing. India’s NBSAP aimed to
integrate biodiversity issues under varied sectors and ensure The science of biodiversity is an emerging area for education
democratic and equitable decision-making for access to in the field of environment. In the past three decades lots of
biological resources and associated benefits. The NBSAP is skill and capacity building started in the subject of biodiver-
a project of the Ministry of Environment and Forests (MoEF) sity. There are several universities started offering master’s
of the Government of India, funded by the Global Environ- program in Biodiversity Conservation, Natural Resource
ment Facility (GEF) through the United Nations Develop- Management, Wetland Management, Wildlife Management,
ment Programme (UNDP). Table 7.4 presents a list of India’s Forestry, Sustainable Development, etc. and all these subjects
legislations on biodiversity conservation. have a great role to play. These subjects provide reasonable
Following legislations of India further support biodiver- job opportunity for the future generation. Improving biodi-
sity conservation: versity outcomes can be achieved by supporting research and
training in forest management and biodiversity conservation
• The National Working Plan Code, 2014 for Sustainable at higher learning institutions. Governments and educational
Management of Forest and Biodiversity in India institutions play a crucial role in mainstreaming biodiversity
incorporates strategies for managing invasive species to by developing national biodiversity databases and digital
uphold and improve forest health and vitality. tools that incorporate local knowledge and citizen science.
• The National Assessment of Tigers, which is conducted Leveraging innovative technologies can enhance forest law
every fourth year since 2006, is an integral part of enforcement. Collaboration among government departments
evaluating co-predators, prey, and their habitats. Trained (BSI/ZSI), civil society organizations, private sector
biologists and forest staff systematically sample all the companies, and development partners is essential to build
forest patches within the tiger ranges across the country. the capacity of forest managers and staff in integrating biodi-
• The Plant Quarantine (Regulation of Import into India) versity conservation into mainstream forest management
Order, 2003, and the Sub-Mission on Plant Protection and through best practice guidelines and training. At the interna-
Plant Quarantine play a crucial role in preventing the tional, national, and local levels, awareness development is a
introduction of exotic pests, diseases, and weeds that key strategy for biodiversity conservation. National
may be introduced through the import of agricultural governments make international commitments, translate
commodities or plant materials into India. These measures them into National Biodiversity Strategy and Action Plans
also fulfill obligations under the International Plant Pro- (NBSAPs), and integrate them into sectoral laws, regulations,
tection Convention (IPCC). and policies. The National ENVIS (Environment Information
• Plants, Fruits & Seeds (Regulation of Import in India) System) program of the Ministry of Environment, Forest and
Order 1989 (PFS Order 1989): Regulates the import of Climate Change (MoEF&CC) is used for management,
plants, fruits, or seeds in India. research, training organizations, and awareness development
• The Destructive Insects and Pests Act, 1914, along with its for various stakeholders involved in biodiversity
amendments, serves the purpose of preventing the intro- management.
duction into and transport from one state to another in Capacity building of biodiversity (plant, animal) identifi-
India of any insects, fungus, or other pests that may pose a cation, taxonomic study is very crucial for the correct nomen-
threat to forest plantations and agricultural crops. clature of plants and animals. We need to educate local
140 P. Bhattacharya

community member, panchayat member, civil society orga- biodiversity offsetting may not be directly applicable to
nization about the significance of biodiversity for today and developers in the forest sector, projects related to biodiversity
in the future for sustainable environment and livelihood offsetting or Bio-fin could potentially serve as a source of
development. For example, PBR preparation by local people. income for expanding and enhancing protected area manage-
The People’s Biodiversity Register (PBR) is anticipated to: ment, or funding initiatives for forest restoration.
(1) document, monitor, and offer information for the sustain-
able management of biodiversity resources; (2) encourage
development that is friendly to biodiversity; (2) establish 7.14 Conclusions
the claims of individuals and local communities regarding
the knowledge of biodiversity resource uses; (4) preserve and Biodiversity conservation emerged as a prominent global
promote the practical ecological knowledge of local agenda with the ratification of the Convention on Biological
communities for Ayurveda and Unani medicine, aligning Diversity in 1992 by numerous countries. The emphasis on
with the goals of the CBD. This system is particularly crucial preserving biological diversity necessitates a focus on the
to safeguard the interests of India’s indigenous people, who ecosystem level due to the vast number of species, a majority
have been instrumental in conserving the nation’s of which remain unidentified. Globally, about two billion
biodiversity. people indirectly depend on biodiversity-based livelihood
particularity in the developing countries. Biodiversity losses
are irreversible, once a species of plant or animal goes
7.13 Organization and Institution extinct, it is lost forever and will never be seen again,
for Biodiversity Conservation which has to be understood by the society. Biodiversity
conservation has been included in the education curriculum
The National Biodiversity Authority (NBA) was formed in of primary to graduation level. Adopting an ecosystem
Chennai by the Government of India in 2003 to enforce the approach is crucial for conserving processes and habitats,
Biological Diversity Act, 2002. As a statutory body, NBA along with their constituent species. One widely employed
plays a facilitative, regulatory, and advisory role on behalf of landscape-level strategy is the establishment of a suitable
the Indian Government, addressing issues related to the con- system of habitat reserves, a practice observed globally.
servation and sustainable use of biological resources, along The Paris Agreement on climate change (COP21) 2015
with the fair and equitable sharing of benefits from their urges all parties to recognize “the importance of ensuring the
utilization. State Biodiversity Boards (SBBs) advise State integrity of all ecosystems, including oceans, and the protec-
Governments on biodiversity conservation matters, while tion of biodiversity, recognized by some cultures as Mother
Biodiversity Management Committees (BMCs) at the local Earth.” Before undertaking significant operations, forest
level promote conservation, sustainable use of flora and managers should perform biodiversity risk assessments regu-
fauna, and document biological diversity. Since its inception, larly. This process typically involves completing a straight-
NBA has aided in the establishment of SBBs in 28 States and forward checklist of considerations and identifying activities
Union Territories, along with approximately 2,66,499 BMCs. that pose elevated risks. Quantification of forest biodiversity
In many developing countries with lower incomes, should be an ongoing process in the management of forest
protected areas often experience deforestation at similar system. The value and contribution of biodiversity to the
rates to unprotected forests (Anderson and Mammides productive sectors and ecosystem service sector have not
2020; Gaveau et al. 2013; Geldmann et al. 2019). Unfortu- been studied and realized properly. Participatory monitoring
nately, protected areas have proven ineffective in mitigating of biodiversity in managed forest may be introduced to
the decline of wildlife driven by trade in tropical and subtrop- understand after three decades of participatory forestry what
ical forests (Cardoso et al. 2021; Morton et al. 2021). A kind of change has happened in local flora and fauna.
review of 144 updated National Biodiversity Strategies and Our industries, development organizations, NGOs, and
Action Plans (NBSAPs) by Whitehorn et al. (2019) revealed financial institutions must understand the importance of this
that 91% of NBSAPs acknowledge the contribution of biodi- topic for future sustainability, biodiversity research, and take
versity to the national economy, with 43% providing specific care of local biodiversity where they operate, increasingly
details. such action within the stakeholders coming under “Global
Biodiversity offsets represent a novel approach wherein Reporting Initiatives”(GRI) and Environment, Sustainability
developers, either voluntarily or mandated, offset unavoid- and Governance (ESG) which will help to offer private and
able biodiversity loss by preserving, enhancing, or creating public finance for biodiversity conservation.
equivalent habitats elsewhere. In essence, this strategy aims Despite the implementation of favorable forest policies
to foster a pro-development environment while concurrently and robust regulatory frameworks, forest degradation and
safeguarding or enhancing biodiversity. Although biodiversity loss persist globally due to escalating human
7 Forest Biodiversity Conservation 141

population demands, land-use changes, and the spread of • Biodiversity Act 2002 adopted by government of India
invasive alien species. Continuous monitoring of biodiversity has created significant scope for the conservation initiative
loss and active engagement of people in large-scale conser- and appropriate measures to manage bio-resource based
vation and rehabilitation efforts are essential. However, there businesses.
is a concern that an exclusive focus on maximizing carbon • India is a mega-diverse country, for managing its diversity
sequestration may lead to prioritizing afforestation with a appropriate monitoring and habitat conservation and res-
limited number of exotic species. The nexus between carbon toration is need of the day.
storage and biodiversity is complex, and while there may be a • The ecosystem services of biodiversity are high, other
correlation, it may not be guaranteed. Human-induced envi- than provisional services; cultural and religious services
ronmental changes may result in some native species becom- of biodiversity are also important.
ing overly abundant, causing ecological imbalances. In • Maintaining ecological balance is essential for the
regions where large predators are absent, prey populations sustainability of healthy ecosystem and is the need for
can surge, leading to vegetation damage. Therefore, future generation to sustain biodiversity.
harvesting sustainable levels and employing scientifically • A large-scale environmental awareness, knowledge, and
sound methods should be determined through best available capacity building is required for the people to understand
knowledge and adjusted through continuous monitoring. the significance of biodiversity.
It is needed to increase our engagement and cathartic
action at scale and with urgency if it is required to reverse Key Questions
the biodiversity loss that has been witnessed around the globe 1. What is the significance of forest biodiversity conserva-
over the past decades. There are only a few countries of the tion for a country?
world who have the Biodiversity Act in place; India is most 2. List out the strategies of in situ and ex situ methods in
fortunate for that; we must cooperate with our government biodiversity conservation.
for biodiversity conservation and make it as a mass move- 3. Analyze the causes of biodiversity threats and specify how
ment in our country. Developing biodiversity strategies to control those causes.
through broad stakeholder consultation, including relevant 4. What are the international efforts for sustaining biodiver-
line ministries, is crucial for promoting responsibility for sity hotspots of the world?
biodiversity mainstreaming across government sectors. 5. Describe the biodiversity related acts, polices, and legisla-
Allocating financial resources, supporting fund utilization, tion available in India to safe guard its forest biodiversity
and capacity development are essential processes, with aca- resources.
demic institutions playing a critical role in training and teach-
ing. Community-based forest management has been shown to
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 Forest Management
8
A. Balasubramanian, C. N. Hari Prasath, S. Varadha Raj,
and S. Suresh Ramanan

Abstract 8.1 Outlook of Forest Management

Forest management is the operating tool for forest
properties through scientific, technical, and economic Management is an essential attribute for handling any type of
principles. This chapter begins with the history of forest resources, both material and workforce. Forest is a simple
management in India from the British rule till the present term representing the natural resource pool which includes
draft national forest policy 2018. The 1988 forest policy trees, wild animals, grasslands, medicinal plants, and even
has played a significant role in emphasizing the concept of some minerals. The increasing population has been a chal-
ecological balance and environmental stability for future lenge in many sectors. It also heavily impacts forest manage-
generations. Joint Forest Management (JFM) is an impor- ment, where forest policy makers and managers are changing
tant criterion for determining the togetherness of people the management strategies to suit the requirement of effi-
with the forest administration for the development and ciently utilizing the forest resources sustainably, besides
conservation of forests. In the JFM activity, the entire ensuring that the benefits of forest reach all sects of people
crux is taking care and control of the locals’ livelihood (Poffenberger 1990). This is a paradigm shift from conven-
improvement by providing employment opportunities tional forest management. Overall there is no denying that
through non timber forest products (NTFP) collection, there is a change in forest management. However, the tradi-
etc. As per the directions of 1952 National Forest Policy, tional management still holds relevant even today.
forest cover must be one-third of the country’s total geo- Forest management is always pivotal to the scientific
graphical area, which could be brought about by planting forestry approach. It combines the technical inputs from
and afforestation schemes. The importance of forest and main branches of forestry like silviculture, economic botany,
forest management is described in various five-year plans soil science, ecology, geology, pedology, botany, entomol-
from 1951 to 2012 in eleven phases. The criticality and ogy, pathology, economics, and finance to achieve the target.
inevitability of forestry education for managing the forest The target may change depending on the managerial objec-
in a scientific, technical, and economic perspective are tive. Implicitly, forest management is not an academic disci-
also highlighted. pline in and of itself; rather, it is the practical application of
science, technology, and economics to a forest estate to
Keywords accomplish specific goals, such as the production of wood,
timber, and industrial raw materials as well as other forest
Forest management · National Forest Policy · Tribal products (Jodha 1986). One way that forests are managed
development · Five year plan · Centrally sponsored varies based on whether they are used for leisure purposes or
scheme to produce minor forest products. Moreover, the management
regimes and implementing the scientific principles for forest
management vary depending on the forest types (AFC 1994).
A. Balasubramanian (✉) · C. N. H. Prasath · S. V. Raj Thus, practical experience of forester or forest managers is
Forest College and Research Institute, Mettupalayam, Coimbatore, invaluable but the fundamental of forest management has
Tamil Nadu, India
always been the same (Saxena 1996).
S. S. Ramanan By literal definition, forest management is defined as “the
Forest College and Research Institute, Mettupalayam, Coimbatore,
Tamil Nadu, India
scientific, technical and profitable rules of forestry.” Another
definition states “The management of a forest property
Central Agroforestry Research Institute, Jhansi, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 143
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_8
144 A. Balasubramanian et al.

involves the utilization of both technical forestry concepts 8.2 Forest Management in India
and business strategies”. The use of technical forestry ideas
and business practices in the management of a forest property India’s forestry industry is one of the first in the world to be
is known as forest management. Irrespective of the definition, operated using scientific silvicultural principles codes. It just
the economical part or utility purposes decides the manage- so happens that the industrial revolution in the West
rial rules. Classical natural forests are traditionally managed coincided with the establishment and application of forest
for source of timber, but owing to increased concern on management concepts in the middle of the eighteenth century
environmental benefits much of the natural forests across (Saxena 1996). During the pre-independence era, the forests
the globe are protected, that is, timber extraction is either became valuable resources due to the rising need for raw
banned or carried out sustainably (Gilmour and Fisher 1998). materials and the necessity of expanding the railway network
Alternate source of timber from man-made plantations is (Balooni 2002). Thus, at that time, forestry was production-
generated eventually and the area under plantation forestry/ oriented (Raju 1997; Gaikwad 1981). Nonetheless, the
planted forest is showing increasing trend steadily, since National Forest Policy of 1952 brought about the fundamen-
2000. Presently, Global Forest Resources Assessment 2020 tal shift in thinking, moving away from production forestry
by FAO (FRA 2020) explained that more than 130 million ha and toward a focus on achieving the goals of both upholding
of land surface is under plantation forestry which accounts to ecological balance and optimally satisfying stakeholder
be 3% of total global forest area. requirements. (GoI 1952).

8.1.1 Scope of Forest Management 8.2.1 History of Forest Management in India

Like managing any other enterprise, managing forests entails 8.2.1.1 Forest Management Under British Rule
establishing and carrying out policy decisions to accomplish Natural resources are highly valued in India and have long
the owner’s goals. Consequently, a plan of action is included been an essential component of the country’s economy and
in these judgments. Planning, which is the responsibility of culture (Stebbing 1926). Literature, politics, and religion
the states and the center in the case of state-owned forests, is from antiquity attest to the idea that humans have always
governed by the national and state forest policies as general been seen as a natural component of the environment rather
principles (Poffenberger 1995). Professional forest managers than as something superior to it (Raju et al. 1993). The wealth
create detailed management plans, which are carried out by of information regarding forest management regimes under
staff members at the technical level (Murali et al. 2003). The British rule means that the only subjects covered in this part
forest manager must continually control the expanding stock are the colonial approach to forest management and its
to accomplish certain management goals; this involves deter- policies affecting those who depend on forests (Ribbentrop
mining “how much, when, where, and how to chop.” The 1989; Guha 1983; Balooni 2002).
impact of forest management is enormous because it covers a It is commonly known that several Indian forests have
wide range of topics. The most important ones include, been managed at various times throughout the country’s
history under a system of laws and guidelines created by
(a) Control of growing stock, its structure, and composi- various groups (Shepherd 1989; Saldanha 1996). Some of
tion: Site adaptability, species selection/choice, produce the self-initiated forest conservation organizations have
harvesting, stand modification, regeneration, and pro- persisted or been re-established in response to the urgent
tection (Hobley 1996). need to preserve community forests (Eggert 2013; Balooni
(b) Distribution and marketing of produce: Communication 2002).
and transportation, produce sales, marketing data, log-
ging plans, and revenue. 8.2.1.2 National Forest Policy, 1894
(c) Administration of forest property: Forestry Commis- The expansion of agriculture, a significant source of income,
sion, personnel management, keeping an eye on things and commercial interests were the focal points of the British
and exercising control welfare and labor management, government’s forest strategy. The National Forest Policy of
budgetary restraint and economic effectiveness, 1894, India’s first official forest policy, contains specific
performing social duties, and keeping a record for documentation of these goals (Singh 1994; Desloges and
future use. Gauthier 1997). This policy stated that “wherever Forests
which are the reservoirs of valuable timbers should be
8 Forest Management 145

managed on commercial lines as a source of revenue to the 8.2.1.3 Indian Forest Act, 1927
States” and “there is an effective demand for cultivable land Similarly, the people that relied on forests were also impacted
that can only be supplied by a forest area, the land should by the British administration’s enforcement of the Indian
ordinarily be relinquished without hesitation” (Government Forest Act, 1927. The majority of forests were put under
of India 1894). This policy stated that the advancement of public ownership in 1865 when the Indian Forest Act was
state interests was the only reason woods were managed originally enacted. It underwent more revisions in 1878 and
under British administration (CIDA 1991). Few most impor- was combined in 1927 (Government of India 1927). It is
tant goals of the national Forest Policy, 1894 were, crucial to remember that the goals of forest management as
stated in the (Draft) Forest Acts of 1865 and 1878 gave rise to
• Managing forests to ensure the overall welfare of the the National Forest Policy of 1894 (ICFRE 2000). “An Act to
nation. combine the laws pertaining to forests, the transportation of
• Ensuring enough forest cover to preserve the climate and forest products, and the duties imposed on timber and other
physical environment while meeting people’s needs. forest products” was the description of the Indian Forest Act
• The forest strategy stipulated that permanent cultivation of 1927 (Government of India 1927). This act’s content was
should take precedence over forestry, subject to these organized into 13 chapters, each containing a profusion of
objectives. guidelines, sanctions, and processes meant to strengthen
• Local needs should be satisfied at non-competitive rates, government control over forests while undermining
taking into account revenue as a secondary priority. individuals’ rights to use them (Lundmark 1995; Samra
et al. 2002). Consequently, communities lost many of their
For management purposes, the British administration customary rights over forests because of this act’s facilitation
divided the forests into four sections, as described in the of the state’s control over forests. In other words, “privileges
National Forest Policy of 1894 (Kumar 2002). The first replaced people’s rights to use forests, which were
type of forests was thought to be necessary to shield farmed destroyed.” This act strained village communities’ long-
areas from harm brought on by landslides and hill torrents. standing symbiotic relationship with forests even more
These forests were typically found on hill slopes (Bhatt et al. (Inform 2002; Balooni 2002).
2014). They, therefore, played a conservation function that Following their independence in 1947, the Indian states
benefited plains agriculture (Straub et al. 2008; Bathla 1999; enacted the Forest Act of 1927. Later, the act underwent
Haque 1998). The enormous reserves of priceless timber several revisions, the majority of which limited the local
trees, such as Tectona grandis, Shorea robusta, and Cedrus usage of woods (Guhathakurta and Bhatia 1995; Iyengar
deodara, comprised the second class of forests. To encourage 1989). Moreover, the forest acts were enacted by the Indian
the first two species’ natural regeneration and the third spe- states. For instance, the Orissa (State) Forest Act 1972 stated
cies’ artificial regeneration—which is motivated by commer- that areas designated for reservation shall not be subject to
cial interests—forest management strategies were devised claims for shifting cultivation. “Forest offences as defined in
(Kolavalli 1994; Balooni 2002). However, to create the Indian Forest Act 1927 were re-categorized and tougher
techniques for Shorea robusta artificial regeneration, the sanctions were provided” following independence (Balooni
taungya system was employed in several parts of northern 2002).
and eastern India (Government of India 1976).
The British authority did not prioritize the use of forests to 8.2.1.4 Policy Setup on Forest Management After
suit people’s needs. People’s requirements were met by the Independence
third class of forests, known as “minor forests,” which only The necessity to reconsider the forest strategy arose consid-
produced inferior lumber, fodder, or timber, and the fourth ering the most recent developments, following India’s 1947
class, known as “pastures and grazing grounds,” which were independence from British rule. As a result after reviewing
subject to restrictions (Kant et al. 1991). In addition, the the forest policy, the Indian government unveiled the first
policy recommended that “the constitution and preservation National Forest Policy of Independent India in 1952. “India
of forests and, to a greater or lesser extent, the regulation of as a whole should aim at maintaining one-third of its entire
rights and the restriction of privileges of users in those forest land area under forest,” according to the Policy. In essence, it
areas which may have previously been enjoyed by the stated that local communities should be permitted to meet
inhabitants of the immediate neighborhood” be the funda- their requirements, if they do so within justifiable bounds and
mental principle to be observed (Government of India 1894). bear in mind the national interest (Singh and Khare 1993;
In summary, during colonial authority, the state’s commercial Kumar 2000). The policy also addressed issues including
interests overruled the interests of the people when it came to illegal felling and encroachment, restoring timber products,
forests (Bardhan 1993; Karanth et al. 2008). and combating fungal and other forest damage. It also
146 A. Balasubramanian et al.

emphasized how important it is to protect and maintain • Organizing a large-scale public campaign to enhance and
forests as a valuable national resource (Sundar 2000). preserve the amount of forest cover.
But none of the main goals of the National Forest Policy of • Economic benefit extraction will take a backseat to these
1952 were met. The policy’s ecological component was main objectives.
mainly disregarded, which led to the widespread transfer of
“low-value mixed forests” into “high value marketable In addition to the aforementioned goals, the policy made
plantations” (Joshi 1998). There were insufficient efforts additional significant contributions. It was the first significant
made by the policy to tackle the problem of forest depletion, policy that addressed how the tribal people who reside in
and no noteworthy initiatives were made to maintain forests. these forests were treated (GoI 1990). It was stated that the
The 1952 forest policy’s failure is also attributed in part to the legitimate forest dwellers must receive all rights and
fact that forests were a state topic (Government of India concessions pertaining to the forest (i.e., tribals). Further-
1952). more, since these populations depend on the forest for their
The National Commission on Agriculture (NCA), livelihood, they must be intimately involved in its preserva-
instituted in 1976, was the next significant step toward forest tion, regrowth, and development. Their domestic needs
protection. The commission suggested that a modification be should take precedence over the produce of the forests they
made to the government’s policy. It promoted switching from live in, and the rights and concessions must likewise extend
a “conservation-oriented” to a “productive forestry” to the forest produce (Bahuguna 2001).
approach, which is more dynamic (Baland and Platteau The policy stipulated that expert should thoroughly assess
1996; Kanbur 1992). In addition, it suggested social forestry the costs and benefits of converting forest land for non-forest
programs for the states, emphasizing that the policy should be uses, taking into account ecological, social, and environmen-
centered on maximizing forest productivity, avoiding erosion tal factors. It should be mandatory for those converting such
and denudation, maximizing the use of forest resources for land to non-forest uses (such as mining and quarrying) to
goods and services, and increasing the possibility of creating restore and reforest the area in accordance with local forestry
jobs for the benefit of the country. In that same year, the practices. The policy also addressed the preservation of wild-
government proposed a constitutional amendment putting life and the establishment of corridors between protected
woods on the concurrent list, enabling both the centralized areas to preserve genetic continuity among artificially divided
and state governments to pursue laws relevant to them. subpopulations of migratory wildlife (Saravanan 2008).
The Forest (Conservation) Act, 1980 was passed by the The Biological Diversity Act of 2002 was another signif-
central government in 1980. The act’s main goal was to icant piece of legislation introduced at this time. It contained
impede the development of forest land for uses other than elements that, even if they were unrelated to forest protection,
forests. Rather than outright prohibiting such conversion, the would eventually aid in forest conservation (It is noteworthy
act stipulated that it could only be carried out with the central to note that these two laws also resulted from India’s interna-
government’s assent. Additionally, it limited the removal of tional obligations resulting from specific conventions that
reserves from forests (Ballabh et al. 2002a, b). The purpose of were in effect at the time). In addition, the 1988 policy’s
the act was to elevate the concept of forest protection. The mention of wildlife conservation was given effect by
Forest Act lacked powers to prevent such property conver- amending the Wildlife (Protection) Act, 1972. Another sig-
sion (FCA, GoI 1980; Baland and Platteau 1999). nificant legislation from this era that supported the preserva-
With the approval of the National Forest Policy in 1988, tion of forests was the Environment Protection Act (1986)
the government’s perspective underwent a significant para- (Ravindranath et al. 2000).
digm change. In contrast to the 1952 policy’s use-oriented Many environmentalists highly valued the 1988 policy in
approach, this policy placed more emphasis on the environ- light of all these significant systems and modifications that
mental aspect of forests. were implemented after it was first announced. (Government
The aims of the policy were as follows: of India 2001a; Government of India 2001b). The National
Forest Commission further supports this by stating in its 2006
• Preservation and restoration of ecological balance as report that,
needed to maintain environmental stability.
• Preserving the nation’s genetic resources and natural • Scientific research should be prioritized in determining the
heritage. ideal amount of forest cover.
• Expanding the percentage of land covered by forests • Amendment 1927 to the Forest Act.
(33%), for example, through afforestation and social for- • The Forest Department will execute the Environment Pro-
estry initiatives. tection Act of 1986 and the Biological Diversity Act
• Enhancing the efficiency of forests to justify the needs of of 2002.
the region and the country.
8 Forest Management 147

• Rearranging of species in accordance with the 1972 Wild- may be some similarities between the concepts of cooperative
life Protection Act. forest management, community forestry programs, and par-
• The 1988 Policy remains unchanged. ticipatory forest management. (Rastogi 1995; Balooni 2002).

The central government finally revealed the draft National • The term “community forest management” (CFM)
Forest Policy, 2018 in the year 2018. The recent issues that describes community-based initiatives aimed at ensuring
the nation are facing are taken care of by the draft policy. the forest is used sustainably. The history of community-
These issues include decreasing green cover, human-animal managed forests confirms that CFM is a reasonable guid-
conflict, and climate change (Draft NFC 2018). The principal ing principle in forest management, despite its lack of a
attributes of the policy are as follows, definition.

• The objective is to employ scientific methods to ensure As previously said, the definition of CFM is challenging
that forests occupy a minimum of one-third of India’s total due to its diverse forms and circumstances; instead, it is easier
land area. to focus on how the concepts of community engagement,
• Current policy is centered on climate change, as opposed sustainability, and development interact. The method that
to prior policies that addressed ecological balance and administration was done was significantly altered by the
environmental stability. policymakers. Nevertheless, everyone had to support the
• To tackle conflicts between humans and animals, it project that was created by someone (Arnold and Stewart
suggested forming quick response teams comprised of 1991).
skilled and prepared individuals who can evaluate the The Joint Forest Management is different in this situation.
harm and promptly provide aid to the affected parties. Communities and individuals are also involved in the project
• Wildlife observation and management. formulation process in JFM (MacKenzie 1991; Saberwal
• The involvement of both public and private sectors in 2001; Gadgil and Guha 1992). In order to manage public
afforestation and reforestation projects. forest areas sustainably and share benefits with others, the
• Preserve forests by tightly controlling their diversion for Joint Forest Management Program aims to create
non-forest uses. partnerships between state forest agencies and local commu-
nity organizations (Balooni and Singh 2001).
Although the strategy aims to tackle fresh issues facing the According to Malhotra et al. (2006), JFM’s primary objec-
nation, it has also drawn criticism from a significant portion tive is to ensure that forests are used sustainably so that local
of the populace (Arul 1998) for the reasons listed below, demands may be fairly met while environmental
sustainability is preserved. The fundamental idea is that
• Incorporating private interests may result in the local forest-dependent women and men have the most stake
privatization of resources and the establishment of private in sustainable forest management (Balooni 2002). According
forests. to Arnold and Stewart (1991) in Community Forest Manage-
• In view of the competitive demands for forest lands, there ment, the government serves as passive supporter while the
is no system in place to accomplish these goals. community takes the initiative and handles the resources. But
• Regeneration is not as much of a focus as conservation in Participatory Forest Management, the government takes
and protection are. the lead and formulates projects and the community
• Does not address the controversial problem of using forest participates in it, sometimes as hired labor.
land for mining and other uses.

8.3.2 Joint Forest Management: An Inadequate

8.3 Joint Forest Management Approach

8.3.1 Departmental Structure to the Evolution Thus, a people’s campaign to safeguard the nation’s forest
of JFM resources was suggested by the 1988 National Forest Policy
(Balooni 2002). In June 1990, the central government of
According to Jodha (1997) and Kuperus (1987), the 1988 India followed suit and released a circular on Joint Forest
forest policy allows for participatory management of the Management, which addressed community forest conserva-
forest or integrating people in management system. The tion initiatives and operationalized participatory forest man-
Joint Forest Management (JFM) initiative got its name from agement (Gilmour et al. 2004). The explanation of the JFM
a resolution that was approved by all state forest departments circular states:
to allow participation (Arora 1994; Balooni 2002). There
148 A. Balasubramanian et al.

• The 1988 National Forest Policy envisions public involve- this approach (Schabel and Palmer 1999). Additionally, it
ment in the development of forests. Priority should be emphasizes the importance of significantly raising the
given to the needs of the tribal people and other villages nation’s forest production and tree cover to meet needs on a
who live in and around the forests for fuelwood, fodder, national scale (Starfinger 1997; Commander 1986). The
and small timber for building homes (Fernandes and phrase “In order to accomplish the aforementioned goals
Kulkarni 1983; Heinze et al. 2011). According to the and reduce the strain on current forests, a large-scale people’s
policy statement, encouraging forest communities to iden- movement involving women should be established“ was a
tify with the growth and preservation of the forests that unique aspect of this new program, nevertheless. It’s an
provide them with benefits is one of the fundamental extreme change starting the former National Forest Policy,
components of effective forest management. The key which was established in 1952 and called for public involve-
components of the program recommended by the resolu- ment in the preservation and growth of forests. A sign of
tion of the Government of India (Appukuttannair and “management change,” or the transition from government-
Stefanie 2002; Bhatt 1988) are as follows, managed to community-managed forests, is the National
• The recipients will receive usufructs such as grasses, Forest Policy (Ballabh et al. 2002a, b). In the last 10 years,
branch tips and lops, and non-timber forest products. A the Indian government has periodically released directives
percentage of the money made from the sale of mature and recommendations on JFM as a follow-up to the National
trees will be awarded to them upon the successful protec- Forest Policy of 1988 (Chatterjee 2003). This demonstrates
tion of forests (IIM 1994). the government’s determination to mobilize a sizable public
• Planting fruit trees, bushes, legumes, and grasses may be movement and promote involvement in forest management,
allowed in addition to trees that provide fuel, feed, and as stated simply in the National Forest Policy (Desloges and
lumber for the village community. Gauthier 1997).
• The forestlands that the village communities protect are Following this, the Forest (Conservation) Act was passed
not to be used for grazing. To encourage stall feeding, in 1980, requiring the approval of the central government
however, the people can trim and move grass for free. before any forest land could be converted for uses other than
• Usufructuary benefits may be lost if the territory is not reforestation (Angelsen and Wunder 2003). In some ways,
protected against encroachment, grazing, and other the Forest (Conservation) Act of 1980 has assisted in
threats. preventing the conversion of forest land to purposes other
• The advantages of people participating should only benefit than forests. The leap of transition of forest land for
the village communities, not businesses or other interests. non-forest uses declined to roughly 22,625 ha yearly between
1981 and 1988 (ICFRE 2000), compared to 1,43,000 ha
annually prior to 1980 (Balooni 1998; Mishra 1992). This
8.3.3 Policy Trends in Joint Forest act has made it easier to implement the JFM program on
Management forest land in certain ways, as encroachment usually occurs
on area that would otherwise be ideal for JFM management,
8.3.3.1 Policy Directives usually on the edges of existing forests (Balooni and Ballabh
The new National Forest Policy of 1988, which is the funda- 2000). Functional aspects of joint forest management in the
mental to focus the requirement of nation contribution in country are depicted in Flowchart 8.1.
forest management and protection, is considered at the begin-
ning of this section (Ballabh and Singh 1988; Bleeker et al. Expansion of JFM to Non-Forest Areas
2007). This strategy was developed in response to the In addition, the government established a “Standing Commit-
nation’s successful, if limited, implementation of a participa- tee on JFM” in 1988 to examine how JFM programs were
tory forest management scheme (Kerr 1997; Saravanan being implemented and what JFM arrangements were already
2008). The directives and guidelines on JFM issued by the in place in the nation (Ahuja 1998). According to Agarwal
Indian government are cited in this section. (2001a, b) and Balooni (1998), the principal objective of the
committee was to provide guidance to the government
Creating a People’s Movement regarding the operational aspects of JFM, encompassing
The Indian Forestry Sector has undergone a decade-long institutional setups. It was also anticipated that the group
transformation according to the National Forest Policy, will talk about ways to extend JFM outside of forests (Sarin
1988, the country’s second forest policy following indepen- 1998).
dence (Annexure 1). It is focused on both production and In addition to the forest land under the State Forest
conservation. Maintaining environmental stability by Departments’ ownership and management, a sizable portion
protecting forests as a natural legacy is the major goal of of India’s land area (roughly ten million hectares) is dedi-
cated to non-forest and non-agricultural uses, including
8 Forest Management 149

Flowchart 8.1 Functional aspects of joint forest management

permanent pastures, culturable wastelands, and other grazing In a recent move, the tenth Five-Year Plan’s National
areas (Mohanraj and Veenakumari 1996). These lands are Afforestation Program would be formulated using new oper-
sometimes referred to as “common property resources,” yet ational instructions released by the Ministry of Environment
they are legally owned by the revenue department and other and Forests (Agrawal 2001). To ensure “consistency in finan-
government agencies. These areas are primarily considered cial patterns and implementation mechanisms” and “ prevent
“open access resources” (Balooni and Singh 2001). Despite duplication of schemes with similar objectives,” the forestry
being severely damaged due to “the tragedy of commons,” programs that were in place throughout the ninth plan have
these uncultivated lands nevertheless have the potential to been integrated into the National Afforestation Program
help JFM spread throughout the nation. (Balooni 2002). (Molder et al. 2014).
One of the key features of these recommendations is that
JFM in Afforestation Schemes all new centrally financed afforestation schemes would be
In keeping with the administration’s focus on participatory implemented through a two-tier structure consisting of JFM
forest management, the afforestation investments in the Five- Committees and Forest Development Agencies (FDAs) to
Year Plans are being modified to take “people’s involvement allow for greater community involvement in planning and
in project planning and execution” into account (Shrestha execution. There were 165 FDAs in operation in 21 Indian
1996; SPWD 1992). Following India’s 1947 declaration of states as of July 2002. FDAs are recently established institu-
independence, the government introduced a number of Five tional entities that operate at the territorial or wildlife forest
Year Plans featuring specific budgetary allotments for the division level and are registered under the Societies
advancement of different industries. Between 1951 and Registration Act.
1956, the first Five-Year Plan was put into effect (Campbell In addition to JFM Committees, already-existing village
1992; CMA 1994). institutions will serve as the grassroots implementing agency
150 A. Balasubramanian et al.

to address village requirements (TERI 1992). A Memoran- Indian tribes make up a sizable portion of the forest residents
dum of Understanding stipulates that FDAs and JFM (Westoby 1987; GoI 2000).
Committees will collaborate (Agarwal 2001a, b). FDAs Due to JFM assistance, livelihood indicators improved
both establish new JFM Committees and enhance the func- dramatically in the majority of the tribal settlement’s
tion of already-existing JFM Committees. To put it briefly, households. The livelihoods indicators that have improved
the National Afforestation Program seeks to incorporate JFM the most are drinking water, livestock activities, education
as a fundamental component of all afforestation initiatives level, and employment and income (Roering 2004). It
across the nation (Hobley 1996; Agarwal 2001a, b). directly aids in the promotion of group-based micro-entre-
preneurship initiatives as well as small NTFP-based
businesses. Since JFM activities generate a steady income,
Box 8.1 Success of JFM and Non Timber Forest Products
they can freely allocate funds for their own skill development
(NTFPs) (Bhatt et al. 2014)
as well as their children’s education (Saxena 1995). It
The term “NTFPs” refers to all forest-derived goods
supports the sample homes’ educational status in an oblique
other than lumber. Because of the forest’s significance
way. Livestock activity in the study area increases when JFM
for the social, cultural, and economic sustenance of
guidelines are made freely available for gathering animal
these communities, NTFPs are essential to their sur-
fodder from the forest. Most tribal settlements in Forest Pro-
vival. Gathering non-timber forest products (NTFPs)
tection Committee (FPC) construct submersible water tanks
such as anola, chironjee seeds, mahua flowers, tama-
for irrigation and consumption. (Saxena 2000; FAO and
rind, tendu leaves, sal leaves, and various seeds, among
Department for International Development 2001). JFM has
others, offers a supplementary food and financial
been implemented in all the states with extraordinary success
source. NTFPs are important to JFM initiatives for
(Box 8.2).
several reasons. First of all, they are essential to the
survival of populations that depend on forests. They
meet fundamental needs, offer profitable employment Box 8.2 Joint Forest Management in Andhra Pradesh
during hard times, and augment wages and agricultural (AP Forest Department 1999)
revenue. Second, when it comes to the amount of time Realizing the value of community involvement in for-
required to produce sizable amounts of economically est management, the “Joint Forest Management” strat-
valuable output, NTFPs clearly have an advantage over egy was put into practice, involving the inclusion of all
timber. Third, non-timber forest products (NTFPs), fringe forest inhabitants as partners in the administra-
usually in their raw and unprocessed forms, account tion of the forest and granting them a legal claim to the
for more over half of all forest revenue nationally. usufructs. The formation of Vana Samarakshana
Samithis (VSS) by people residing on the edges of
the forests was promoted to preserve and revitalize
JFM and Tribal Development
degraded forest regions.
Most tribal people on the planet reside in remote areas or on
A total of 6580 Vana Samarakshana Samithis (VSS)
the edges of forests. Every indigenous tribe has its own
have been established. Of these, 16.58 lakh hectares of
customs and way of life, and they rely heavily on the natural
degraded forest area have been brought under JFM; of
resources. Without causing any harm to the forest, they have
these, 5.38 lakh hectares have been treated thus far
been gathering resources from it (Locke 1999). They can
through regeneration work, which includes soil and
secure their food and means of subsistence thanks to the
moisture conservation and gap planting. Thirteen thou-
forest. Approximately 100 million people live in forests,
sand VSS members, including six thousand women,
while an additional 275 million people live nearby and
are actively involved in JFM. Through VSS, 24,000
depend on forests for their livelihood. Approximately
hectares of encroaching forestland have been
370 million people rely on forest products for their direct or
rejuvenated.
indirect livelihood, such as fuel wood, fodder, food,
The government’s JFM ruling grants the VSS
medicines, and other natural resource inputs (Box 8.1) that
villagers 100% usufruct rights over forest products,
are then turned into financial outputs and sustenance the
subject to the requirement that the village community
maintenance of forest dwellers (Agarwal 1997). According
set aside funds needed for sustainable forest manage-
to the Indian State Forest Report 2019 (MoEF, GoI 2009),
ment and regeneration. Forest preservation and
most India’s forests are held by the state and span 78.29
enhancement have been major initiatives of the Vana
million hectares, or 24.56% of the nation’s total land area.
Samarakshana Samithis. The members of Samiti are
Important elements of the program’s goal include enhanc-
ing the livelihoods of communities that live near forests, (continued)
lowering rural poverty, and managing and conserving forests.
8 Forest Management 151

Box 8.2 (continued) Box 8.2 (continued)

working together to create forests by clearing weeds Andhra Pradesh’s JFM program has been
and shrubs to allow vital tree species to grow properly ranked as the finest in the nation by the World
and meet the needs of the local population. They are Bank.
utilizing microplans that they have designed for this Success stories from across the state show how
purpose. Another VSS thrust area is village develop- community-driven JFM initiatives have raised produc-
ment, with an emphasis on bettering roads, drinking tivity, raised the water table, created sufficient jobs, and
water quality, community hall construction, and the improved socioeconomic conditions. In a paper titled
economic standing of women via supporting women’s “Jyoti se Jyoti jale Joint Forest Management: Forest
organizations, among other things. Additionally, the conservation with people’s participation: a saga of
Samithis have been effective in uplifting and success,” the A.P. Forest Department chronicled
integrating tribal people into society. these. A few of these accomplishments are listed here.
We appreciate permission to incorporate these research
Special Features of JFM in Andhra Pradesh from A.P., Principal Chief Conservator of Forests.
• Members of VSS have complete ownership rights From Scrub Jungle to Thick Forests
over forest products. A 329-hectare degraded reserve forest is in
• VSS receives half of the net revenue from beedi Kamdhan village, Mahbubnagar district. The ham-
leaves that member collect. let was chosen to implement JFM, and all houses
• Members of the VSS receive 25% of the fines col- joined the VSS after it was established. A PRA exercise
lected from forest offenses that they have arrested. was used to create a microplan for the growth of the
• By using the Joint Account System to transmit the forest. The degraded forest’s vegetation and animals
monies, transparency in VSS activities is have improved because of increased protection and
guaranteed. citizen participation. Five groups of women have
• Investment decisions are based on a microplan that formed and are saving money. The groups have
was created after consulting with VSS members. benefited from a matching grant provided by the Forest
• Women are required to join in the general body at a Department. The organization raised 5000 nursery
rate of 50%, and in the Managing Committee, the seedlings, which were utilized to fill up gaps in the
minimum is 30%. To conserve the money they forest and distributed to nearby villages for planting.
receive from the Samithis, women have organized A regular nominal fee has been established for
into thrift clubs. grazing, and the money collected is paid into the VSS
• Every group of people, including SCs and STs, is corpus fund. The VSS has made NTFP marketing more
included and encouraged to participate actively. regular. Members of the VSS can gather fruits such as
• NGOs are contributing to the enhancement of VSS custard apples for personal use, and the VSS auctions
by means of encouragement, expansion, instruction, off any marketable excess. The corpus find account is
and further assistance. where the sale proceeds are put. Clonal plantations of
• It has been determined which medicinal plants grow Seetaphal, Usiri, and Tamari have been cultivated. The
in forest regions, and members of VSS are urged to VSS suggested grafting more clones and giving them
cultivate and preserve these plants there. to the locals. A percolation tank, a check dam that has
• Obtaining resources from the World Bank, stopped soil erosion, and a raised ground water table
NABARD, Employment Assurance Scheme, and are examples of large-scale soil and moisture conserva-
centrally supported programs to ensure the neces- tion projects undertaken.
sary monies are accessible. Consistent gatherings, instruction, and exposure
• Effective collaboration across departments to ensure trips have raised awareness among VSS members.
the growth of VSS villages into “Model villages”. The VSS was determined to be the finest in the district
in January 1998. In addition to preserving the forest,
Satellite images taken in 1996 and 1998 reveal that, the VSS now actively participates in developmental
under VSS management, the forest cover significantly initiatives, sends kids to school, and organizes into
improved in just two years. thrift groups. The VSS has developed into a strong
institutional structure for the effective localized execu-
(continued) tion of government initiatives.
152 A. Balasubramanian et al.

8.4 Forest Management for Tribal Welfare have high ecological value. These conservation efforts cover
After 2000 a number of rare, endangered, and vulnerable species of
plants and animals, including migratory birds, black bucks,
8.4.1 Scheduled Tribes and Other Traditional peacocks, tigers, elephants, and sea turtles. Despite govern-
Forest Dwellers (Recognition of Forest ment efforts to rid protected areas of human habitation,
Rights) Act, 2006 community conservation zones also encompass the majority
of the state’s tiger, elephant, and protected areas.
The past 20 years have been eventful for conservation policy, A foundation for these long-standing community conser-
with community conservation efforts and resource rights vation efforts on forest land including wetlands and
receiving more attention in global academic discourse, pol- mangroves to be legally recognized has been established by
icy, and practice. In order to defend local communities’ and the Forest Rights Act’s Sect. 3(1)(i) right to protect, conserve,
Indigenous peoples’ rights to forests and other natural regenerate, and manage community forest resources. Many
resources, many nations have recently implemented local environmental groups have already claimed and
modifications to forest tenure (Heinze et al. 2011). Reforms obtained legal authority over their community forests since
to forest tenure are taking place in the background of mount- the Forest Rights Act’s adoption (Sunderlin and Ba 2006;
ing evidence that truth--based tactics to preservation are Sahu 2007).
important, especially when compared to the traditional con-
servation strategy that excludes rights and community 8.4.1.2 Process to Support Social Institutions
involvement (Eggert 2013). These shifts are occurring in for Conservation
the midst of disagreements over how industrialization and Gram Sabha, or village assembly, is empowered by the Forest
the neo-liberal model of resource-based development have Rights Act to start the process of determining rights, involves
affected and continued to harm the lands, forests, and means gathering, compiling, and examining the claims. Forest
of subsistence for local communities and Indigenous peoples Rights Committees are the means by which the Gram
around the globe (Jyotish 2008; Saravanan 2008). Sabha carries out these functions. The Forest Rights Act
The Forest Rights Act has sparked a heated debate about stipulates that women, other populations that live in forests,
conservation since it went into effect in January 2008. One and scheduled tribes must be adequately represented in the
side represents the conservation orthodoxy, which maintains Gram Sabha and Forest Rights Committee, as well as have
that rights and conservation cannot coexist (Prasad 2006). enough involvement. It takes a joint effort on the part of the
affected villages and communities to determine the nature
8.4.1.1 Contribution of Forest Rights and scope of the rights to determine and claim them
to Conservation (Poffenberger and McGean 1996). The process of determin-
Distinct and regular contract over forest lands and forests is ing rights has contributed to the formation of the institutional
guaranteed by the Forest Rights Act. According to Malhotra framework for the management of community forest
and Bhattacharya (2011), the act acknowledges the geo- resources, the revitalization of community institutions, the
graphical rights of Primitive Tribal Groups (PTGs), the rights creation of social capital, and the collective visualization of
of pre-agricultural communities, and the rights over commu- natural landscapes (Chatterjee 2007). It has also aided in
nal management activities. Forest communities have utilized resolving disputes and claim overlaps, addressing social jus-
the act’s provisions to assert a range of forest rights since it tice and equity issues, and creating room for women to
went into effect in 2008 (Singh and Quli 2011; Eggert 2013). participate.
In addition, the act gives privileges to populations ejected by There are three steps in the recognition process. The
state development actions, rights to revenue village conver- process for determining rights and claims is first started by
sion from forest villages, and rights to development amenities the Gram Sabha (Pathak 1994). Subsequently, a district-level
building like roads, schools, health centers, electricity, and team that reviews the claims and develops the top of forest
irrigation in the forest villages (Chatterjee 2007; GOI 2009). rights is advised to review the draft record of forest rights
The protection of such a wide range of rights related to prepared by the sub-district-level committee (Bleeker et al.
conventional accessibility, use, and interactions reflects the 2007). Members of the Panchayati Raj institutions as well as
strong preservation ethic of the many communities that the government representatives from the departments of revenue,
act wants to conserve (Balooni 2002). forest, and tribal welfare sit on the committees at the district
Community conservation zones safeguard some of the and sub-district levels. The potential to add different
most important habitats, such as wetlands, forests, coastal/ authorities and features to the procedure of recognizing forest
estuarine ecosystems, and mangrove ecosystems. These rights has been made possible by the involvement of
ecosystems are vital to local communities’ livelihoods and individuals from several departments (Agarwal 1989).
8 Forest Management 153

Furthermore, Section 5 of the Act empowers Gram Sabha states were primarily carryovers from post-war development
and village-level institutions, as well as holders of any forest plans that had been started between 1947 and 1951 (Review
right, to take action to protect collaborative forest resources of the First Five Year Plan 1957).
and habitat areas from activities that endanger the forest, Plans for plantations and afforestation, bettering forest
wildlife, or biodiversity. Communities employ the rights communications, creating working plans, implementing
and empowered authority clauses to regulate external dangers modern intensive forest management systems, introducing
that harm community woodlands and to bolster community modern logging techniques, defining newly acquired areas
conservation programs (Prasad 2006). to restore them, enhancing growing stock, and fortifying
forest administration were among them (Review of the First
8.4.1.3 Issues of Operation and Suggestions Five Year Plan 1957). Given the pressing need to preserve
for Ways Forward India’s diverse animal history, wildlife conservation was
The Forest Rights Act offers communities enormous viewed as an essential component of forest management
opportunities to be recognized and respected for their cus- (Emma 1998). Because of this, the Indian Board for Wildlife
tomary rights and conservation actions. But the effectiveness was established in 1952 and has since made significant
of the above-discussed legal structure of rights and contributions to the nation’s efforts to preserve its wildlife
empowered local authorities in practice hinges mostly on (Anon 1961). Plans for forestry and wildlife conservation
how government agencies interpret and carry out the act, programs included a total of Rs, 7.64 crores in the budgets
especially its sections regarding community rights (Agarwal for the center and the states.
and Narain 1991). The First Five-Year Plan also highlighted how crucial
Additionally, unimpressive is the state of the nation. By woods are to the preservation of soil. As a result, the Ministry
May of 2015, out of almost 28,22,000 claims made, just 32% of Food and Agriculture established the Central Soil Conser-
had been paid out. Less than 3% of the about 49,000 commu- vation Board in 1953 with the goal of conducting research on
nity claims that were filed were fulfilled by this. The claims soil and water conservation and supporting state-level soil
and recognition status to date depict a depressing picture, conservation initiatives. In addition to funding several cen-
given that there are approximately 1,70,400 forest edge trally managed projects, the board approved a total of Rs,
communities and 275 million forest-dependent people in 47 lakh for soil conservation initiatives (Review of the First
India (Pandey et al. 2011). It may be argued that the Gram Five Year Plan 1957).
Sabhas, who are empowered by the act to determine rights,
lack the knowledge and resources required for the assessment
and validation of claims, including documentation, maps, 8.5.2 Second Five-Year Plan (1956–1961)
proof, and technical assistance (Molder et al. 2014).
Aiming primarily to expand upon the processes started in the
First Plan, the Second Five-Year Plan (1956–1961) allowed
8.5 Forest Management Under Five-Year for significant increases in the rate of forest development
Plans (Azra 2012). Apart from completing the tasks initiated by
the First Five-Year Plan, the Second Plan’s initiatives
8.5.1 The First Five-Year Plan (1951–56) encompassed afforestation, enhancing the condition of the
nation’s less developed forest regions, and extension forestry;
The First Five-Year Plan (1951–56) gave the growth of planting commercial and industrial species; advocating for
forests a lot of attention. The objectives were to assemble approaches to increase the output and accessibility of timber
the developing request for timber and other forest products and other forest products in the near future; preserving wild-
soon, to improve and expand the areas covered by forests, life; enhancing the working conditions of laborers and
and to prepare for the long-term development of forest employees in the forest sector; augmenting the quantity of
resources (Bhaskaran 1990). In addition to this, the income forest research; boosting the availability of technical person-
that forests produced was a significant factor in the manage- nel; and offering central coordination and guidance in the
ment of forests. The New National Forest Policy of India, execution of forest development schemes throughout the
which updated the 1894 Old Forest Policy to meet modern country (The Second Five Year Plan 1956–1961). The plan
economic needs, was a major step in this direction when it (in both the center and state budgets) allocated a total of
was announced in 1952 (Azra 2012). The strategy Rs. 21.21 crores for the development of wildlife and forestry.
highlighted the protective and productive aspects of forests A plan was established that included a budget of Rs. 20 crores
and recommended that one third of the land area (roughly for soil conservation work that was also to be done inten-
33%) be covered by forests as a desirable long-term goal. The sively (The Second Five Year Plan 1956–1961).
First Five-Year Plan’s Forest development initiatives in the
154 A. Balasubramanian et al.

8.5.3 Third Five-Year Plan (1961–1966) lists, Project Tiger and Development of National Parks and
Sanctuaries, were also established, even though it was
During the Third Plan (1961–1966), the nation’s efforts to recognized that habitat protection and efficient management
meet its long-term agricultural and industrial needs were were essential for the preservation of the nation’s abundant
stepped up, and measures to ensure a more cost-effective wildlife. The Fourth Plan’s overall expenditure for forestry
and effective use of the accessible forest products, including programs (including wildlife) in the federal government, the
wood residues and inferior timber, were given special atten- states, and the union territories was Rs. 89.42 crores. This
tion (Azra 2012). The immediate goals were to improve amount included Rs. 1.39 crores for programs sponsored by
forest communications, enhance the use of preservation and the federal government (The Fourth Five Year Plan 1969–
seasoning procedures, and increase output through improved 74).
timber extraction techniques (Anon 2006). The plan states
that “developing the country’s forest wealth on a long-term
basis is essential not only for meeting the needs of develop- 8.5.5 Fifth Five-Year Plan (1974–1979)
ment and various industries, such as paper, rayon, plywood,
matches, and tanning, but also to supply sufficient energy and The Fifth Five-Year Plan (1974–79) saw a change in empha-
timber for the rural areas” (The Third Five Year Plan 1961– sis from forestry focused on conservation to a vigorous
66). producing forestry program. The main goal of the plan was
The plan comprised village and extension forestry, fast- to start clearing trees and planting large-scale artificial forests
growing species plantings, commercial and industrial with institutional funding to increase the production of indus-
plantations, and other significant forest development projects trial timber and other forest products (Gupta 1998). Increas-
(Karan 1994). Although the plan recognized biodiversity ing the supply of fuel and lumber in rural regions by
conservation as a critical component of forest development, developing agricultural forestry and improving damaged
it also contained programs for the establishment of ten wild- forests was the second major goal (Giri 2010). It was also
life sanctuaries, five national parks, and five zoological parks recommended to build a system of pertinent forest surveys in
(Azra 2012). The Third Five-Year Plan (1961–66) allocated a conjunction with an adequate information system in order to
total of Rs. 6.7 crores for centrally funded schemes and an assess the expanding stocks, increments, and predicted
additional Rs. 45.85 crores for various programs of forest enhancements by forest divisions, natural regions, and states
advancement in states and union territories. The plan also (Stebbing 1982). But the plan also highlighted the nation’s
introduced several soil conservation initiatives, with funding widespread deforestation, placed a strong focus on intense
of roughly Rs. 72 crores allocated for their implementation forest development, and made sure that forest areas would
(The Third Five Year Plan 1961–66). not be cleared for the expansion of agricultural lands
(Kishwan et al. 2009). It was suggested that efforts be made
to afforest equal areas out of wastelands to make up for the
8.5.4 Fourth Five-Year Plan (1969–74) lost forest area. In terms of wildlife conservation, the strategy
aimed to, on the one hand, bolster the administration of
The Forth Five-Year Plan (1969–74) outlined three primary wildlife and, on the other, conduct frequent surveys and
goals for the field of forestry: raising forest productivity, enumerations of different wildlife species. In nine designated
connecting forest development to other forest-based areas, where commercial forestry operations would not be
businesses, and fostering the growth of forests as a means conducted, special measures were planned to conserve the
of bolstering the rural economy. Given the extensive need for tiger population (The Fifth Five Year Plan 1974–79).
wood and other forest products for industrial purposes, the According to the plan, the center and state budgets would
plan called for measures to be made in order to construct provisionally allot Rs. 208.84 crores for forestry and wildlife
large-scale plantations of valuable, swiftly developing spe- conservation programs (The Fifth Five Year Plan 1974–
cies as well as species of commercial and economic value 1979).
(Pandey et al. 2011). Achieving self-sufficiency in forest
products was a key goal, particularly for large forest-based
companies (Saigal 2005; Prasad 2006). 8.5.6 Sixth Five-Year Plan (1980–1985)
The strategy called for specialized training in ecology and
conservation when it came to wildlife conservation. In The Sixth Five-Year Plan (1980–1985) set forth the goal of
response, the Forest Research Institute in Dehradun the forestry sector programs, which included the preservation
established specialized training programs in wildlife conser- of the nation’s current forest cover as well as the implemen-
vation, management, and research (The Fourth Five Year tation of a national afforestation and social forestry initiative.
Plan 1969–74). In 1973, two additional centrally supported A number of laws and organizations were established for the
8 Forest Management 155

purpose of protecting the environment and forests throughout wildlife conservation projects in the states, the union
the plan period. For example, the primary goal of the 1980 territories, and the center.
Forest (Conservation) Act was to prevent the use of forest Concerns about the state of forests persisted even after the
land for uses other than forestry (Rosencranz 1991). Seventh Five-Year Plan’s numerous initiatives for forest
Similarly, the Indian Institute of Forest Management was conservation were launched. The nation’s soil and water
founded in Bhopal in March 1981 with the goal of efficiently resources have suffered greatly because of forest destruction
implementing forestry sector activities via the use of contem- and degradation (Kulkami 1989). An estimated 6000 million
porary management methods. Additionally, the National tons of high-quality soil containing vital nutrients were being
Commission on Agriculture’s recommendations led to the washed into the ocean annually. The loss of topsoil, vegeta-
creation of the Forest Survey of India (FSI) in June 1981, tion, uncontrolled surface runoff, and inadequate aquifer
which was tasked with conducting yearly assessments of the replenishment had a detrimental impact on society overall,
nation’s forest resources. Consequently, the Wildlife Institute and on tribal people (The Eighth Five Year Plan 1992–97).
of India was established in 1982–1983 as part of the plan with
the goals of conducting research, disseminating information,
and offering guidance on scientific wildlife management in 8.5.8 Eighth Five-Year Plan (1992–1997)
addition to expanding scientific knowledge on wildlife
reserves (The Approach Paper to the Seventh Five Year The Eighth Plan also launched several programs and
Plan 1985). The plan assigned Rs. 692.49 crores for forestry initiatives pertaining to the preservation and protection of
and wildlife management options in both the center and state forests in light of these issues. The National Afforestation
budgets (The Sixth Five Year Plan 1980–1985). and Eco-Development Board (NAEB) was founded in 1992
as part of the Eighth Plan’s forestry conservation initiative.
Under the NAEB, several afforestation projects were started
8.5.7 Seventh Five-Year Plan (1985–1990) to restore degraded forest regions that bordered forests
(Bowonder 1986). In addition, the Ministry of Rural Devel-
The relevance and significance of the forestry industry for the opment of the Government of India established a new Depart-
nation’s economic development in terms of ecosystem pro- ment of Wastelands Development in July 1992, tasked with
tection and the supply of diverse forest products were prop- developing non-forest wastelands. The program for develop-
erly appreciated for the first time during the Seventh Five- ing national parks and sanctuaries for the conservation of
Year Plan (1985–1990) (Prabhkar 1998). Reaching the goal biodiversity was also included in the plan (The Ninth Five
of having one-third of the nation’s land covered by trees Year Plan 1997–2002). A total of Rs. 4910 crores were
became imperative, and every effort was made to meet the proposed for forestry and wildlife conservation projects in
deadline (Joshi et al. 2011). In December 1988, a revised the center and state budgets (The Ninth Five Year Plan 1997–
National Forest Policy was developed as part of the plan. It 2002).
placed a strong emphasis on managing forests for conserva-
tion and addressing the needs of local communities, with
commercial exploitation and revenue production coming in 8.5.9 Ninth Five-Year Plan (1997–2002)
second (Saigal 2005). Additionally, the strategy promoted
public involvement in forest management and protection. The significance of forests in conserving the earth’s life
Thus, with the implementation of the JFM program in support system, upholding ecological balance, and attaining
1990, a devolved system of forest management was started the objective of sustainable development was acknowledged
in the Seventh Plan (Ballabh 1996; Reddy 1998). The goals by the Ninth Five-Year Plan (1997–2002). Nonetheless, the
and tactics outlined in the plan included protecting biological nation was also gravely concerned about the country’s
diversity in terms of flora and fauna, conserving ecologically declining forested area as a result of population pressure
fragile ecosystems, and meeting basic human needs for fuel and several development initiatives like industry, highways,
wood, fodder, minor forest products, and small timber. Addi- irrigation, agriculture, and power projects (Leelakrishnan
tionally, it made sure that forestry initiatives and the well- 1999). During the plan in 1999, a National Forestry Action
being of indigenous people and other historically forest- Plan was also introduced to address significant concerns in
dependent populations were closely related. It did this by the forestry sector (Balooni and Inoue 2009). Two
emphasizing ecological research and education in particular viewpoints were used to analyze the significant concerns
and by putting the Wildlife Action Plan into action to con- that had surfaced in the convention on biodiversity: national
serve wildlife (The Seventh Five Year Plan 1985). The requirements and activities, as well as international
Approach Paper to the Seventh Five-Year Plan (1985) states negotiations’ needs, commitments, and actions. It was widely
that the plan allotted Rs, 1859.1 crores for forestry and acknowledged that comprehensive law was necessary, and
156 A. Balasubramanian et al.

works on creating the biodiversity conservation through peo- the Tenth Plan (Thakur 1997; World Bank 2006). Further-
ple participations had begun (Chatterjee 2007; Nomani more, it was recommended that the National Afforestation
2004). In the Ninth Plan, it was also suggested that the Program (NAP) incorporate all of the afforestation activities
Ministry of Environment and Forests establish a distinct of the National Afforestation and Eco-development Board
biodiversity cell (Panda and Das 2009). A number of note- (NAEB) (Sunderlin and Ba 2006). In order to protect
worthy initiatives were included in the strategy for the pro- watersheds, encourage the regeneration and
tection of biodiversity, such as 52 new research projects eco-development of degraded forests and surrounding areas,
related to biosphere reserves, the oversight and preservation and preserve natural resources by actively involving the
of wetlands and mangroves, and eco-development projects in public and halting land degradation, deforestation, and biodi-
seven tiger reserves (The Ninth Five Year Plan 1997–2002). versity loss, this 100% Centrally Sponsored Scheme (CSS)
A total of Rs. 8189.09 crores were allocated in the plan’s was launched in 2002–2003 (The Tenth Five Year Plan
center and state budgets for the execution of various forestry 2002). For the purpose of implementing various projects
and wildlife activities (The Ninth Five Year Plan 1997– pertaining to the forestry and wildlife sectors in the union
2002). territories, states, and the center, a total of Rs. 14,344 crores
were allotted by the Plan (The Ninth Five Year Plan 1997–
07).
8.5.10 Tenth Five-Year Plan (2002–2007)

The status of forests in maintaining the sphere’s life support 8.5.11 Eleventh Five-Year Plan (2007–2012)
systems and attaining environmental and economic
sustainability was underlined once again in the Tenth Five- The Eleventh Plan’s approach to the development of the
Year Plan (2002–2007). However, the plan did voice forestry sector was to foster an atmosphere that would enable
concerns about the continued depreciation of forests from a sustainable wildlife and forestry management, with an
social and economic perspective (Misra 2000). Despite mas- emphasis on the socioeconomic goals (Malhotra and
sive resource flows and national concern, it was found that Bhattacharya 2011). As a result, the strategy started several
the potential of forests to reduce poverty, accomplish growth initiatives to improve the state of green cover and grow
in the economy, and contribute towards both the global and forestry (MoEF 2006a, b; ICFRE 2010; GOI 2007).
local environment had not been fully realized. As a result, the In order to meet the goal of increasing the amount of forest
plan called for promoting integrated forest protection, which cover by 5% of the total geographical area, the plan
incorporates all aspects of forest protection and sustainable concentrated on restoring the condition of degraded forests
forest management (Sahu 2007). Tenth Five-Year Plan’s through joint forest management committees, combining
Approach Paper mandated that 25% of the land be covered forests to livelihood and increasing the involvement of
by forests and trees by 2007 and 33% by 2012 (Pandey et al. citizens through the National Afforestation Program (MoEF
2011). The plan placed a strong emphasis on managing 2009; FAO 2006). The strategy called for the intense man-
forests, wildlife, and rural development in a coordinated agement of already-existing commercial plantations using
and balanced manner while incorporating the knowledge, inputs that were scientifically planned to achieve maximum
abilities, and practices of the local population into conserva- output. The Plan (in the center and state budgets) included a
tion strategy, planning, and management (Mathur and provision for forestry and wildlife conservation programs
Sachdeva 2003). According to Vedeld et al. (2004), more totaling an estimated Rs. 15583.02 crores.
targeted actions were needed to preserve natural forests for
the protection of ecosystems and to uphold the local and
global forest values. In order to mitigate the negative effects 8.6 Forestry Education
of natural disasters, the plan included a number of initiatives
related to forest protection, including the development of Forestry education is the process of distilling teaching,
agroforestry, the strengthening and improvement of the learning, story, information, skill, training, values, habits,
protected area network, the creation of national parks and beliefs, and concentrated forestry-related research. For the
sanctuaries, the improvement of productivity on forest benefit of people and the environment, forestry science is
plantations, the expansion of technological advances and both an art and a science (traditional and applied), according
research to boost profitability and generate new products, to Dhaka and Choudhari (2018). Its main goals are the
the avoidance of poaching and the illegal trade in wild comprehension, production, management, preservation, and
animals and plant species, and the development of shelter ethical exploitation of natural resources. “Students studying
belt plantations. Protection of Wildlife outside Protected forest science are better equipped to manage natural
Areas (PWOPA) was a brand-new initiative proposed for
8 Forest Management 157

resources in a way that is sustainable for the environment, that should be made to the recruitment guidelines for each of
society, and economy.” the specialized sub-cadres, as well as the length of training
and education that must be provided to recruits who hold
degrees in fields related to forestry and forestlands, such as
8.6.1 Recommendations for Forestry botany, biology, zoology, ecology, forestry, ethology, and
Education in India environmental sciences, as well as to recruits with other
science degrees (Tewari 1993).
There are fifteen parts and 69 chapters in the 1976 National However, recruits with degrees in forestry-related
Commission on Agricultural Report. Six chapters (Research disciplines must be given preference over those with science
and Education, Forest Policy, Production and Social For- degrees unrelated to forestry and ecology (Bhat 2005).
estry, Minor Forest Produce, Forest Ecology and Wildlife
Management, Forest Protection and Law, and Forest
Planning) which make up Part IX, which studies forestry 8.6.2 Forestry Education and Forest
(NTGCF 1996). But in 1974, the National Commission on Management in India
Agriculture received a comprehensive report from Central
Board of Forestry, which had been founded in 1950. The First offered at the university level in India, forestry educa-
National Commission on Agriculture (1976) made tion began with the M.Sc., in 1976 saw the forestry in Solan,
recommendations on the topic of forestry, emphasizing a Himachal Pradesh. In 1979, the B.Sc. Forestry program was
few themes including planning, policy, education, and established in Ranchi, Jharkhand. A lot of Agricultural
research (NCA 1976). Universities began offering B.Sc. The Indian Council of
According to Paragraph 4.11 on Forestry Education of the Agricultural Research (ICAR) system includes a forestry
National Forest Policy (1988), “Forestry should be program (ICAR 2009). Today, professional degree programs
recognized both as a scientific discipline and a profession” in forestry are offered by 28 central and state agricultural
(NFP 1988). Universities that specialize in agriculture and universities.
other establishments dedicated to advancing forestry educa- Within agricultural universities, there are distinct forestry
tion should design curricula and courses that not only teach colleges; some combine forestry with horticulture colleges.
academic knowledge but also enable postgraduate research However, following the establishment of the Indian Council
and professional competence, considering the labor demands of Forestry Research and Education (ICFRE) in 1988, the
of the country. Candidates for jobs in the State Forest Service Forest Research Institute (FRI), Dehra Dun, was elevated to
and the Indian Forest Service should consider their profes- the status of Deemed University in December 1991. To
sional and academic backgrounds in forestry. It is necessary increase the number of forestry professionals in India, PG
to promote specialized and orientation courses for improving and Ph.D. programs in forestry were offered at FRI, Dehra
management abilities through in-service training, keeping in Dun. Despite this, there are a number of private colleges and
mind the most recent advancements in forestry and allied universities as well as central and state universities that offer
fields (Dhaka and Choudhari 2018). forestry instruction.
Additionally, the National Forest Commission (2006)
suggested using forestry graduates in Chap. 16 with the
items listed as (NFC 2006): Article 301 provides that “Forest 8.6.3 Current Status of Forestry Education in
administration should take advantage of forestry education in India
the universities by at least giving preference in selection for
the posts of forest officers.” Article 302 provides that “B.- When compared to the ICFRE system, forestry education in
Sc. Forestry graduates produced by universities imparting India is currently operating under the ICAR system quite
forestry education should be recruited to forest rangers.” successfully. Out of the 51 central/state agricultural
Article 303 of the Constitution says that “Forestry should universities in the nation, 28 offer high-quality forestry edu-
be recognized as a subject for competitive examinations in cation at the Undergraduate (UG), Postgraduate (PG), and
state and All India Administrative Services.” Lastly, Article Doctor of Philosophy (Ph.D.) levels, 40 years after the
307 states that “Specialization is a prerequisite in forestry to program’s inception.
enable the service to fulfill its role in conserving the forest Under the ICAR system, the nation annually produces
ecosystems and its biota, in extending forestry within and about 1500 forestry experts. Nonetheless, under the ICFRE
without existing forests, and in fulfilling the needs and system, FRI offers 20 Ph.D. and 80 PG degrees in forestry
aspirations of the people” and Article 309: The aforemen- each year (Dhaka and Choudhari 2018).
tioned study should also take into account any modifications
158 A. Balasubramanian et al.

8.7 Management of Forest for Timber 8.7.1.1 Biodiversity Conservation and Wildlife
and Biodiversity Conservation Management Plan
The country requires economic expansion and vigor. But
8.7.1 Forest Management for Biodiversity environmental and ecological preservation and economic
and Wildlife Conservation growth are not mutually exclusive or alternatives. Both
must go hand in hand to preserve or, better yet, restore natural
Biodiversity provides resources that support families, ecosystems for the continuous flow of products and services
communities, countries, and future generations. It is an inte- that are essential to human subsistence. Each entrepreneur
gral element of our everyday existence and way of life. Each must establish a relationship with natural objects and depen-
species, including variations, is distinct and has a specific dent communities while being mindful of the ecological
function to fulfill within an ecological niche. Because of effects of their industry. This will ensure the development’s
human activity, the rate of extinction of species has grown sustainability and provide society with enduring joy.
rapidly during the previous few decades. Many species are The examination and assessment of habitat, regular moni-
declining, and ecosystems are being destroyed or fragmented. toring of animal population status and vegetation cover, and
The biological variety of our planet is seriously threatened by identification of habitat elements that promote and hinder
habitat loss, degradation, and fragmentation. Given our reli- population expansion are all components of wildlife manage-
ance on food crops, medications, and other biological ment. The promotion of welfare factors, the arrest of unfa-
resources, these losses are irrevocable and a threat to our vorable factors, and the mitigation of limiting variables
personal wellbeing (Prasad and Kant 2003). improve habitat carrying capacity and allow populations to
Sustainable resource use is the goal of the Biodiversity reach the intrinsic equilibrium point of the species. The local
Conservation and Management Plan, which entails scientific public’s involvement and support are needed for the conser-
management of the natural wealth in relation to developmen- vation strategy to be successful and for the results to be
tal activities that may have an impact on these resources. In sustained. This conservation plan is designed to lessen the
order to preserve and manage the forest ecosystems in areas impact on the flora and fauna in consideration of the afore-
with diminishing natural resources, a plan known as Biodi- mentioned factors and in compliance with legal requirements
versity Conservation and Management has been developed (WMP 2017).
(Prasad 2006). The recommendations aim to support the
recruitment of significant structural features and long-term
stand level maintenance, including species diversity, wildlife, 8.8 Overview
riparian areas and wetlands, special or unique habitats for
floral and faunal wealth, coarse woody debris, and horizontal The vast industrialization and globalization have put forestry
and vertical structural diversity. sector to many challenges particularly the role of natural
Managing biodiversity is regarded as a challenging forest and its management has made it to paradigm shift
endeavor since it encompasses diversity on all scales, includ- from production to conservation forestry. Accordingly, the
ing genetic, species, and community. It is difficult to execute management options and tools that are used for the forest
biodiversity conservation strategies in places like Arunachal regulations were also changed greatly. In India, the tradi-
Pradesh, northeastern India, where most of the population is tional forest management has made a great shift during eigh-
tribal and views itself as an essential component of the forest teenth century by the introduction of scientific principles and
ecosystem. silvicultural tools in managing and regulating natural forest.
One step toward the conservation of the environment is After realizing the greater exploitation of natural forest for
the creation of a strategy for the management of biodiversity harvesting tangible benefits, many of the forest management
and the conservation of wildlife for a developmental project. activities were geared up towards the promotion of planted
Preventing further habitat degradation is one of the most forest and rejuvenation of natural forest. The era of post-
effective and efficient ways to conserve biodiversity, as independence also gave importance for developmental
human activities such as road construction, urbanization, sectors at the cost of forest resources. During 1978, the forest
and agricultural expansion are thought to pose serious threats was bought under the concurrent list which gave focus on
to wildlife and biodiversity. Reducing anthropogenic pres- conservation and the same was duly supported by Forest
sure, rehabilitating endangered species, in-situ strategy, and Conservation Act 1980 and National Forest Policy 1988.
ex-situ strategy are the four strategies needed for biodiversity Both were insisting on prevention of converting natural forest
management. area to non-forestry purposes. Such policy regulations made
to think new forest management options which brought out
new components in forest regulations like joint forest
8 Forest Management 159

management, sustainable forest management, wildlife man- 4. Describe why much emphasis is given to forestry educa-
agement, and biodiversity conservation. This new array of tion for the upliftment of the management of forests in
forest management has many challenges in terms of India in a scientific way.
converting government into governance. Hitherto, more 5. Elaborate and discuss the need for biodiversity and wild-
importance was not given in the government sector for pro- life conservation and their scientific management.
moting forest management activities compared to other
sectors of the government. Due to policy level changes,
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 Forest Soils
9
S. K. Gupta, Pankaj Panwar, Rakesh Banyal, and Suresh Ramanan S

Abstract average height of trees at a specific age. SI is widely

The well-defined succession of natural horizons with a utilized and valuable due to the direct correlation between
distinct O horizon or organic layer is the unique feature height growth and volume growth, as well as the fact that
of the forest soils. Unlike agricultural soils, vegetation is height growth is not dependent on stocking. Fire nega-
present continuously with minimal disturbance in a for- tively affects soil structure, reducing soil organic matter,
ested landscape. The top layer of soil, called the O hori- porosity, and increasing pH levels. On the other hand,
zon, is split into three parts or strata: 1. Litter layer decomposition positively impacts soil organic matter,
(L-layer), 2. Fragmented layer (F-layer), and 3. Humus mineralization, and nutrient cycling. Climate change
layer (H-layer). The litter layer comprises the remnants of directly impacts soil quality and fertility, while also indi-
deceased flora and fauna. The fully decomposed organic rectly affecting forest soils through increased pest and
substance is referred to as humus. The “H” layer is fre- disease incidence, as well as heightened fire occurrences
quently overlooked due to its easily crumbled texture and that result in reduced carbon sequestration and forest
significant mineral content. Humus is categorized into mor degradation.
humus, mull humus, and duff mull humus based on its Forestry and agroforestry play a crucial role in utilizing
morphological attributes. The forest soils have better soil trees for productive purposes and ecological rehabilitation
texture, soil structure, increased porosity, lower bulk den- due to their ability to thrive in challenging climates and
sity, good aeration, reduced soil temperature, and better soil conditions. For reclaiming saline and alkali soils, trees
water retention capacity. Coniferous forests exhibit lower species like Acacia auriculiformis, Azadirachta indica,
soil pH levels compared to deciduous forests. A soil Ailanthus excels, Casuarina equisetifolia, Prosopis ciner-
having a cation exchange capacity (CEC) value of more aria, Acacia tortilis, Dalbergia sissoo, and Acacia nilotica
than 10 meq/100 g is regarded as high CEC, typically are the ideal ones.
forest soils. The soil’s biological processes include
activities such as litter decomposition, fine root decompo- Keywords
sition, mycorrhizal networks, nitrogen fixation, Soil forming process · Soil profile · Humus · Electrical
contributing to nutrient cycling. conductivity · Nutrient cycling
In the field of forestry, the term used to indirectly refer
to soil quality is site index (SI), which represents the
9.1 Introduction
S. K. Gupta (✉)
Sher-e-Kashmir University of Agricultural Sciences and Technology of
Soil is a unique and important natural resource and under-
Jammu, Jammu, Jammu and Kashmir, India
standing forest soils is essential for a forester for effective and
P. Panwar
efficient forest management. Forest soils are characterized as
ICAR-Indian Institute of Soil and Water Conservation, Research Center,
Chandigarh, Haryana, India soils formed under the impact of forest cover, and their
characteristics are significantly shaped by the composition
R. Banyal
ICAR-Central Soil Salinity Research Institute, Karnal, Haryana, India of the forest. A more appropriate definition of forest soil for
foresters will be “Soil science focuses on the natural resource
S. Ramanan S
ICAR-Central Agroforestry Research Institute, Jhansi, Uttar Pradesh, of soil on earth’s surface, especially in areas covered by
India forests. It explores how the forest and soil interact, affecting

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 165
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_9
166 S. K. Gupta et al.

Table 9.1 Features of forest soils as compared to cultivated soils

S. no Forest soils Cultivated soils
1 Forest soils have a well-defined succession of natural The soil horizons may get damaged due to human activity
horizons
2 The organic horizon is present The organic horizon is absent
3 High and efficient nutrient cycling occurs naturally Poor nutrient cycling, so the addition of nutrients in form of fertilizers is
practiced
4 Rich and diverse microflora and fauna in the soil due to Less diversity in the cultivated soil due to frequent disturbance
modification in the microclimate
5 In a forested landscape, the soil temperature and The soil temperature and moisture levels vary depending on the specific crop
moisture condition are more consistent. being cultivated. Fallow and uncultivated lands will have high soil temperature
and less soil moisture conditions
6 The concentration of organic matter is quite high Limited concentration of organic material
7 Nutrient pumping from deep soil horizon occurs due to No nutrient pumping
fine roots of trees
8 Certain forest soils lack proper drainage, have steep Mostly well-drained, flat, pulverized soils
slopes, and contain large boulders and stones
Source: Binkley and Fisher (2013)

each other’s formation and properties-covering physical, • The mentioned materials have been depleted.
chemical, and biological aspects. The goal is to understand • The soil undergoes alterations as minerals and organic
how these soil properties impact sustainable use for various substances undergo transformations within it.
forest outputs, such as wood, wildlife, water, and environ- • Translocation involves the movement of soil materials
mental well-being”(Osman 2013). from one place to another within the soil. This process is
The distinctive quality of forest soils is influenced by the typically categorized into different phases:
deep roots of trees, the addition of nutrients through litter and – Solution movement (leaching), and.
fine root decomposition, and the array of microorganisms – Suspension movement of organic matter, hydrous
found under the tree canopy. Yet, not every forest soil is oxides and clay.
fertile enough to sustain a diverse range of forest vegetation.
In some places, forest soils are poor in soil fertility, steep-
sloped, and stony, have low moisture, and even may com-
prise of saline or sodic soils (in mangrove forests). Despite
high variability, still, these soils support forest vegetation. 9.2.1 Soil Profile
Table 9.1 outlines the distinctive characteristics of forest soil
in comparison to cultivated soil. A soil profile refers to “A cut section of the soil that displays
different layers, ranging from the top layer to the untouched
parent material and these layers are called as horizons.” In a
9.2 Soil Forming Processes in Forests hypothetical mineral soil profile, one can expect to find O,
A, B, C, and R master horizons, along with all the potential
The pedogenic processes are faster than geological processes sub-horizons (Fig. 9.2).
in transforming lifeless parent material into fertile soil. These The organic horizon O is predominant in forest soils
processes are intricate and ever-changing, encompassing compared to agricultural soil. Unlike agricultural soils, vege-
biological and chemical reactions that occurs in a particular tation is present continuously with minimal disturbance in a
area. Occasionally, one process may counterbalance another, forested landscape. The time between forest disturbances lets
while in other instances, diverse processes collaborate to organic soil layers (O horizon or O layer) form on top of soil.
attain a common result. The functioning of these processes The thickness of the layer depends on the diversity of plants
is influenced by various natural conditions, and the interplay that grow in the forest. For instance, the moist deciduous
of soil-forming factors in different environments dictates the forest has a thick O horizon compared to dry deciduous forest
specific occurrences of soil-forming processes (Binkley and or thorn scrub. Also, animal waste, animal and plant debris,
Fisher 2013). The process involved in soil formation are as microorganisms all contribute to creation of the layer. The
follows (Fig. 9.1): segregation of organic material within forest soils not only
alters root distribution and vegetation growth but also signif-
• The soil gets water from rainfall and receives organic and icantly influences nutrient cycling. This impact extends to
mineral substances. potassium immobilization while aiding in the gradual release
9 Forest Soils 167

Fig. 9.1 Various soil forming process

of nitrogen and phosphorus. The organic substances combine (CEC) is 100–300 C mol(P+)/kg soil, with a density of
with minerals and readily influence the soil aggregate forma- 1.3–1.5 Mg/m3.
tion, thus affecting the soil structure and soil productivity. Humus is categorized by its morphological traits into three
The soil microorganisms thriving on this organic layer pro- main types: mor humus, mull humus, and duff mull humus. It
duce polysaccharide gums and the fungal hyphae network are is the simplest classification possible, though more detailed
the important components aiding soil aggregation. The information is available in Chertov and
organic matter increases the aeration, infiltration and perme- Nadporozhskaya (2018).
ability of soils. This layer is designated into three different
layers or strata as under: (a) Mor humus: Mor humus refers to the surface accumula-
tion of organic residues, featuring a distinct organic
1. Litter layer (L-layer). layer separated from the underlying mineral horizon.
2. Fragmented layer (F-layer). Fungi play a significant role as the predominant
3. Humus layer (H-layer). microorganisms in this type of humus, contributing to
its acidic nature.
The litter layer is the remains of dead plants and animals. (b) Mull humus: Mull humus refers to the complex blend of
This layer still retains the structural integrity, i.e., decompo- amorphous humus and mineral soil. It contains a higher
sition has not yet started. In “F” layer, fragmentation and proportion of organic substances combined with
partial decomposition of the litter has started. The strength minerals like sodium, magnesium, calcium, and potas-
and stability of the litter’s structure start to breakdown. sium. Bacteria and actinomycetes are the prevalent
Finally, in the “H” layer, the litter becomes decomposed microorganisms in mull humus. Unlike mor humus, it
amorphous organic matter. The completely decomposed doesn’t sharply distinguish itself from mineral soils and
organic matter is called humus. The “H” layer is commonly typically showcases a granular or crumb-like structure.
disregarded due to its friable, crumb-like structure, despite Mull humus often hosts large populations of
containing a notable proportion of mineral materials. It is the earthworms.
place where the carbon gets stored in the soil. The C: N ratio (c) Duff mull humus: This humus type shares traits from
of humus is around 10–12:1, cation-exchange capacity both mull and mor humus. It forms due to ongoing
168 S. K. Gupta et al.

Fig. 9.2 Hypothetical soil

horizons (Source: https://cforest.
weebly.com/)

blending of mineral soil into the lower forest floor by The uppermost layer, eluviation horizon, is susceptible to
ants or rodents, maintaining the organic horizons with- leaching, leading to the leaching out of specific soil
out destroying them. constituents. Horizon B, the illuviation horizon, is where
9 Forest Soils 169

these leached materials find redeposition. Horizon C signifies 9.3.1 Physical Properties
the parent material. An analysis of the soil vertical section is
paramount as it encapsulates a historical narrative of soil- Plant growth purely depends upon the root architecture
forming processes. This serves as the cornerstone for peda- linked with water and nutrient uptake. Root spread and
gogical inquiries and soil classification. Understanding the growth are often restricted by mechanical impedance, shal-
soil profile is instrumental in effectively harnessing soil low bedrock, lack of aeration, low temperature, and some-
resources. times even the presence of heavy metals or other toxic
In forest ecosystems, there’s a consistent and substantial substances. Apart from these factors, root growth is ham-
accumulation of organic material, fundamentally enriching pered by soil compaction, hard pans. Holistically this can be
the soil’s physical, chemical, and biological characteristics. comprehended as soil physical properties.
The key physical properties of soil consist of its texture,
structure, porosity, density, aeration, temperature, and water
9.3 Nature of Forest Soils retention capacity. These properties are determined by the
size, distribution, and arrangement of particles within the soil
The properties inherent to soil play a pivotal role in determin- matrix. Starting from the availability of water, water absorp-
ing the health and productivity of forests. The continued tion, ease of root penetration, oxygen availability, and many
presence of vegetation has made forest soils unique com- other vital functions dependent on soil physical properties
pared to other land use. Disturbances (either natural or which act as indicators for soil fertility and productivity.
anthropogenic) inside the forests can alter the soil properties. Human activities such as logging, land operations, and
Foresters generally prefer usage of the term “site quality” shifting cultivation can notably modify the soil’s physical
while discussing with forest soil productivity. Although there properties. (Osman 2013).
are fundamental distinctions in assessing the soil fertility and
site quality, still site quality can be regarded as an indirect 9.3.1.1 Soil Texture
conation of soil properties as site quality is directly deter- Soils are primarily composed of sand, silt, and clay, and their
mined. The site index, which gauges the average height of texture varies based on the proportions of these components.
dominant trees at a specific age within a stand, is considered a It is an innate factor of the soil—an outcome of weathering
gauge of site quality. However, it may not accurately repre- process and is difficult to alter. Different classifications for
sent the genuine physical and chemical attributes of the forest soil texture are provided by organizations such as the US
soils. Public Roads Administration, Massachusetts Institute of
The soil properties are categorized as physical, chemical, Technology, International System (Atterberg Classification),
and biological which are influenced by several factors and US Bureau of Soils, Indian Standards Institution, and British
understanding them becomes essential for the forest as well Standards Institute. Amongst these, the classification by the
as plantation management. US Department of Agriculture presented in Table 9.2 is
widely referred.

Table 9.2 Classification of soil texture

Texture of the soil Sand Silt Clay Textural class
Coarse (sandy soils) 86–100 0–14 0–10 Sand
70–86 0–30 0–15 Loamy sand
Moderately coarse (loamy soils) 50–70 0–50 0–20 Sandy loam
Medium (loamy soils) 23–52 28–50 7–27 Loam
20–50 74–88 0–27 Silty loam
0–20 88–100 0–12 Silt
Moderately fine (loamy soils) 20–45 15–52 27–40 Clay loam
45–80 0–28 20–35 Sandy clay loam
0–20 40–73 27–40 Silty clay loam
Fine (clayey soils) 45–65 0–20 35–55 Sandy clay
0–20 40–60 40–60 Silty clay
0–45 0–40 40–100 Clay
(Source: http://www.fao.org/tempref/FI/CDrom/FAO_Training/FAO_Training/General/x6706e/x6706e06.htm)
170 S. K. Gupta et al.

9.3.1.2 Structure of Soil 9.3.2 Chemical Characteristics of the Soil

It is the segregation of sand, silt, and clay particles, forming
aggregates. Essentially, it’s how primary and secondary Soil is a blend of organic, inorganic solids, solutes, liquids
particles are organized within the soil mass. This structure and gases. The inorganic solids present in soil comprise fine
governs the occurrence of water and air in the soil. For seeds silicate clays, oxides, and hydroxides of elements like iron
and roots to grow, they need ample air and oxygen. Bacterial and aluminum. Additionally, substances such as lime, gyp-
activity also relies on the presence of air and water molecules sum, phosphates, and various essential nutrient ions are part
in the soil. Soil particles can exist individually as grains or as of this composition. All these characteristically influence soil
aggregates—clusters of particles bound into granules or com- chemical properties. Among the chemical properties of soil,
pound particles known as secondary particles. Sandy or silty the most frequently studied ones include pH, cation-
soil mostly comprises single grains, whereas clayey soil tends exchange capacity (CEC), anion-exchange capacity (AEC),
to form aggregates. Individual particles are typically solid, base saturation (BS) percentage, exchangeable sodium per-
while aggregates have a porous or spongy character. Soil centage (ESP), and electrical conductivity.
lacking aggregates is considered structureless, whereas
those with secondary particles are termed aggregate, 9.3.2.1 pH
granulated, or crumb structure. Generally assessed chemical properties is pH, a concept
introduced by Arrhenius. pH represents the negative loga-
9.3.1.3 Soil Density (Bulk and Particle Density) rithm of the reciprocal of H+ ion concentration in the soil
Soil density is commonly described through two key solution, consisting of dissolved solutes like ions, ion pairs,
concepts: particle density and bulk density. ligands, and complexes. Soils are rated on a scale from
Particle density: Particle density refers to the weight per 1 to 14, based on the amount of presence of hydrogen ions.
unit volume of the solid part of soil. It’s quantified in the A pH below 7 indicates acidity, while above 7 indicates
metric system as megagrams per cubic meter (Mg m-3). For alkalinity. For a heterogeneous medium like soil, pH values
instance, if 1 cubic meter of soil solids weighs 2.6 Mg, the between 6.5 and 7.5 are considered fairly neutral. Lower pH
particle density is 2.6 Mg m-3 (since 1 Mg = one million values signify higher acidity.
grams and 1 m3 = one million cubic centimeters). Conse- Coarse-textured, highly weathered, and intensely leached
quently, particle density can also be articulated as 2.6 g cm-3. soils tend to be acidic. Soil acidity can also increase due to the
Typically, normal soils exhibit a particle density of 2.65 increase of organic substance and subsequent decomposition,
grams per cubic centimeter. When a considerable number of leading to humus formation. Typically, soils in coniferous
heavy minerals like magnetite, limonite, and hematite are forests tend to have lower pH levels in contrast to those in
present, the particle density tends to be higher. Conversely, deciduous forests. The pH level alone will not impact plant
as soil organic matter increases, particle density decreases. growth; however, pH value influences the nutrient availabil-
Particle density is also referred to as true density. ity which is vital for plant growth. In acidic soils, essential
Bulk density: Bulk density signifies the weight of a spe- nutrients like phosphate, calcium, magnesium, potassium,
cific soil volume, accounting for pore spaces, after drying in and molybdenum become less available to plants, often lead-
an oven. It consistently registers lower than particle density. ing to deficiency symptoms. Conversely, when soil pH
Sandy soil typically displays a bulk density around 1.6 g cm- exceeds 8, it becomes sodic or alkaline, characterized by a
3
, while organic matter tends to be approximately 0.5. Finer- sodium adsorption ratio (SAR) of 15 or higher. Such soils
textured mineral soils generally exhibit reduced bulk density. face limitations in nutrient availability and are deficient in
This density inversely correlates with total pore space, offer- zinc, iron, phosphorus, and occasionally calcium, potassium,
ing a reliable gauge of soil porosity. Understanding bulk and magnesium. However, nitrogen scarcity becomes the
density is more pivotal than particle density in primary concern in alkaline soils. Sodic soils might contain
comprehending soil’s physical characteristics. phytotoxic concentrations of boron. High bicarbonate levels
Soils boasting low bulk density often provide favorable primarily trigger iron deficiency, which can worsen in high
physical conditions. For instance, forest soils commonly soil moisture or anaerobic conditions.
showcase lower bulk density compared to deforested areas.
Other physical attributes like soil temperature and water 9.3.2.2 Cation Exchange Capacity
retention predominantly concern agricultural or cropped Elements present within the soil solution exist in an ionic
land utilization. form that interacts with soil particles. This interaction is
gauged as exchange capacity, which can be either cation
9 Forest Soils 171

Table 9.3 Classification of soils Nature of soil EC (dS m-1) ESP pH

based on ESP and EC level
Saline >4.0 <15 <8.5
Sodic <4.0 >15 >8.5
Saline-sodic >4.0 >15 >8.5

exchange capacity or anion exchange capacity. Generally, species of varying sizes within the soil. They are classified
most of the soils have negative charges and thus cation into size-based groups: Microfauna (1–1000 μm), including
exchange capacity is commonly measured in soils. It is bacteria, fungi, protozoa, and nematodes; Mesofauna
defined as the quantity of centimoles of charges per kilogram (100 μm to 2 mL), encompassing tardigrades, mites,
of soil. It primarily relies on the presence of clay minerals and microarthropods, and enchytraeids; and macrofauna (also
humus content within the soil. CEC signifies the soil’s ability called megafauna) (>2 mm), comprising earthworms, ants,
to retain cations at particle surfaces. Similarly, for anions, it is termites, and millipedes.
expressed as anion exchange capacity. Predominately the These soil fauna occupy different trophic levels and are
soils have higher CEC due to their innate negative charges. typically grouped based on their feeding habits within the soil
Measuring CEC is important because vital plant nutrients like food web. Some primarily consume microbes (microbial-
potassium, manganese, calcium, magnesium, and zinc are feeders) or litter (detritivores), while others predominantly
present as cations in the soil. CEC is also correlated to the feed on plant roots (herbivores) or other animals (carnivores).
pH and water holding capacity. A soil having a CEC value of Studies have highlighted the prevalence of omnivores in soil
more than 10 meq/100 g is regarded as high CEC, typically food webs, suggesting their tendency to feed across various
the forest soils. Indeed, activities like deforestation, forest trophic levels (Mikola and Setälä 1998). The simplest classi-
fires, and other disturbances diminish the organic content of fication of soil animals based on their body size is tabulated in
the soil, consequently reducing its CEC. Table 9.4.

9.3.2.3 Exchangeable Sodium Percentage (ESP)

and Electrical conductivity (EC) 9.4 Nutrient Dynamics in Forest Soils
Excess of sodium in the soils can hamper plant growth.
Therefore, assessing the sodicity or alkalinity of the soils is 9.4.1 Nutrient Cycling
vital. In agricultural land, measurement of EC and ESP is
crucial as they decide on the nature of crops that can be Understanding interactions between forest trees and soils is
cultivated. On contrary, measurement of EC or ESP in forest an essential pre-requisite for a higher and sustained or pro-
soils will not be so important. However, before taking up any gressive yield of timber. In long-duration forest crops,
afforestation and reforestation activity these are taken into assessing plant-available nutrients becomes complex due to
account. It has a direct implication on microbial diversity thus challenges in correlating soil nutrient availability with their
affecting processes like decomposition, nitrification, denitri- cycling processes. Various methods, including site classifica-
fication, and many others. Depending on the ESP and EC tion, soil analysis, foliar analysis, have been employed to
levels, the soils are classified as given in Table 9.3. define nutrient availability and soil fertility, facilitating the
assessment of nutrient cycling.

9.3.3 Biological Properties (i) Site classification method: The site classification method
addresses soil fertility within forest lands. Originally
“Essentially, all life depends upon the soil ...There can be no developed for British Columbia, this system, adopted by
life without soil and no soil without life; they have evolved the B.C. Forest Service utilizes an edatopic grid. It
together”- Charles E. Kellogg (van Elsas et al. 2019). organizes sites based on soil fertility and moisture regimes
Apart from the mineral and organic component, the soil for effective classification (Klinka et al. 1981; Lowe and
contains water and diverse organisms inside it. Soils function Klinka 1981). One negative point of this system is the lack
as living systems where plant roots intermingle with micro- of an objective method to ascertain soil fertility at a
bial and animal communities thriving within the soil. specific site and time. It relies on classes determined by
The extensive variety of microbes and animals dwelling in the mineralogical composition of parent material, forest
soil forms the soil food web, crucial for recycling organic floor, and ground cover vegetation. Although effective for
substance obtained from plants above ground. This network classifying extensive land areas concerning wood produc-
encompasses a multitude of members, predominantly tion, its adaptability across regions or providing reliable
microbes like bacteria and fungi, alongside diverse animal
172 S. K. Gupta et al.

Table 9.4 Classification of soil animals

Group Known species Estimated species % described
Microfauna
Nematodes 20,000–25,000 1,000,000–10,000,000 0.2–2.5
Protists 21,000 7,000,000–70,000,000 0.03–0.3
Fungi 97,000 1,500,000–5,100,000 1.9–6.5
Bacteria 15,000 >1,000,000 <1.5
Mesofauna
Mites 40,000 100,000 55
Collembolans 8500 50,000 17
Macrofauna
Earthworms 7000 300,000 23
Ants 14,000 25,000–30,000 50–60
Termites 2700 31,000 87
Source: Orgiazzi et al. (2016)

information for various tree species on a particular site can b) Nutrient input from atmospheric sources: Several
be challenging. researchers have documented the atmospheric deposition
(ii) Soil analysis method: The method of soil analysis refines of nitrogen in various forms, including nitrate, ammo-
the classification of forest land into distinct site classes. It nium, and diverse organic nitrogen compounds.
involves assessing the soil characteristics at a specific Researchers have estimated the overall (combining wet
location and establishing connections between anticipated and dry forms) nitrogen quantities in bulk precipitation,
tree growth and soil parameters. In addition to the site- ranging from approximately 3 kg N ha-1 yr.-1 in unpol-
specificity of this approach, it also includes soil luted regions (McColl et al. 1982) to as much as
physiochemical characters that are recognized as growth- 20 kg N ha-1 yr.-1 in polluted areas (Likens et al.
limiting factors. Yet, the accuracy of this approach 1977). While these additions of nitrogen from the atmo-
concerning individual nutrients is restricted due to the sphere might seem minor compared to the nutrient
diversity found within soils. quantities within forest biomass (Cole and Rapp 1981)
(iii) Foliar analysis: Another method to assess nutrient avail- and forest soils (Mahendrappa 1980), over the average
ability involves analyzing the nutrient content present in rotation age of forests (usually 60–80 years), even the
foliage. Foliar analysis diagnoses the deficiency and also lowest rates of annual nitrogen deposition can contribute
helps in the prediction of tree response with fertilizer significantly to the total nitrogen content in forest
applications. Due to numerous limitations in correlating ecosystems. Lindberg et al. (1986) suggested that atmo-
foliar nutrient concentrations with tree growth or soil spheric deposition accounted for 40–100% of the nitrogen
nutrients, it doesn’t seem to serve as a reliable indicator and sulfur needed for annual woody growth in a mixed
of soil nutrient availability. hardwood forest.
c) Nutrients cycled as through fall and stem flow: Through
Thus, to have a fair idea on nutrient cycling a combination fall and stem flow can contribute nutrient transfer to the
of all the methods is essential. Studies on nutrient cycling in soil, particularly the K and Mg (Parker 1983). Despite
forest ecosystem have various factors that are outlined below potassium’s tendency to leach from foliage and its mobil-
and need to be studied at both spatial and temporal scale. ity within forest ecosystems, there is substantial evidence
indicating that forest vegetation efficiently conserves
a) Nutrient uptake in the forest biomass: The way nutrients potassium (Stone and Kszystniak 1977).
are absorbed by forest biomass is comparable to other d) Re-translocation within trees: The movement of
crops, yet the quantity accumulated in forest biomass nutrients inside plants is crucial for their cycling and
typically ranges from one-quarter to one-third of the over- conservation. Before leaves fall, a significant amount of
all uptake (Miller 1981). Coniferous forests typically nutrients, especially nitrogen and phosphorus, is taken
exhibit lower nutrient demands compared to hardwoods, from the leaves and moved within the tree. Research by
although there’s substantial variability within both Miller (1984) suggests that 60–84% of the nutrients in
categories. However, assessments of forest nutrient foliage are re-distributed before the leaves drop. This
requirements are predominantly obtained from previous re-distributed nutrient often meets 50–60% of the needs
studies conducted on relatively homogeneous natural of trees like Pinus nigra in Scotland. Similar patterns are
stands or single-species plantations. observed in Pinus pinea (Rapp et al. 1979). Hardwood
9 Forest Soils 173

trees tend to move more nitrogen before leaf fall compared i) Weathering: Weathering primarily produces base cations
to conifers, and this behavior seems to vary by tree spe- like calcium (Ca), magnesium (Mg), potassium (K), and
cies. The quantity of a nutrient moved within trees is sodium (Na), along with certain acid cations such as iron
influenced by how much of that nutrient is available in (Fe), aluminum (Al), and manganese (Mn). However, it
the soil. Trees in areas with limited nutrients tend to move generates very limited amounts of phosphorus (P).
more nutrients out of their leaves than species in nutrient- Depending on the parent material’s characteristics, the
rich areas (Melillo and Gosz 1983). estimated nutrient contributions (Ca, Mg, and K) from
e) Litter fall: The amount of litter produced in forests is weathering range widely from under 10 to over
closely linked to their basal area and age. Both deciduous 700 kg ha-1 yr.-1 (Johnson et al. 1984). Even the smallest
and coniferous forests shed a substantial amount of leaf estimates of nutrient input from weathering over a rotation
biomass in autumn and smaller amounts throughout the period of up to 100 years can be substantial in supplying
year. In conifers, about 40–60% of the total annual litter nutrients.
fall occurs in autumn (Perala and Alban 1982), while for j) Nitrogen fixation: Within the forest ecosystem, elemental
hardwoods, over 80% happens in autumn (Morrison nitrogen (N2) is converted into plant-absorbable ammo-
1985). Nutrient cycling studies often overlook the yearly nium nitrogen through various processes. The estimated
contribution of organic matter and nutrients from the annual rates of nitrogen fixation by symbiotic or free-
decay of fine roots. Research by Vogt et al. (1982) living organisms vary widely, ranging from 0.22 to over
estimated that in silver fir forests, the return of 50 kg N ha-1 yr.-1, applicable to both hardwood and
macronutrients to the soil from fine roots (including softwood stands. For some stands, the nitrogen needed
mycorrhizae) is 3–10 times greater annually compared to can be fulfilled by the nitrogen fixed by microorganisms.
aboveground litter fall. Additionally, Kimmins and However, soils experiencing high rates of nitrogen fixa-
Hawkes (1978) found that mature white spruce-subalpine tion often exhibit increased leaching of base cations due to
fir stands in British Columbia had significant fine root elevated nitrification rates (Cole et al. 1967).
biomass, measuring 1870 kg ha-1 with 38 kg N ha-1 for
overstory plants, and 7880 kg ha-1 with 139 kg N ha-1 for Other disturbances occurring in forest like forest fire and
understory vegetation. wild animals also affect nutrient cycling.
f) Nutrient supply to the trees: Nutrient uptake by trees
comprises two stages: transporting nutrients to the root
surface and then absorbing them into the tree. Certain 9.4.2 Soil and Its Relation to Stand Dynamics
elements, such as aluminum, chlorine, and sodium, are
filtered out by plants, while they selectively absorb others Changes in stand structure and composition are shaped by
like manganese, calcium, phosphorus, nitrogen, and disturbances, tolerance, and competition (Hart and Chen
potassium (Prenzel 1979). The primary constraint in nutri- 2008; Rohne et al. 2012; St. Clair et al. 2013), as well as
ent uptake for plants lies in how quickly ions moves to the soil attributes. In forestry, soil quality is often indirectly
roots from the soil. Therefore, the abundance of roots measured through site index (SI), which represents the aver-
plays a pivotal role in tree nourishment and nutrient circu- age tree height at a specific reference age. SI serves as an
lation. Tree roots tend to explore deeper soil layers when indicator of the long-term productivity of forest stands. It’s
the soil’s physical and chemical properties are conducive commonly utilized in even-aged single-species stands
to nutrient absorption (Sutton 1969). (Skovsgard and Vanclay 2007) but also used in mixed-
g) Leaching: Forest nutrient uptake decreases when ions species scenarios (Anyomi et al. 2013). The direct correlation
leach beyond the root-absorption zone. According to between stand height growth, volume growth, and the inde-
McColl and Cole (1968), cation leaching in forest soils pendence of height growth on stocking (Skovsgard and
is restricted by mobile soil anions’ availability. Compara- Vanclay 2007) makes SI a widely used and valuable factor
tively, leaching losses are insignificant in forest conditions to calculate the forest productivity. Additionally, Anyomi
when considering the overall nutrient cycling processes et al. (2015), in evaluating stand dynamics and soil
(Mahendrappa and Salonius 1982). relationships, highlighted soil texture as a major influencing
h) Mycorrhiza: The presence of mycorrhizal roots in low factor (R2 = 8%) among various soil parameters.
soil fertility conditions increase nutrient uptake by forest Broadben et al. (2014) conducted research in the Amazon
trees. In nutrient-poor and water-deprived soils, forest forest and discovered notable associations between age of
trees must allocate more photosynthate and energy to stand and various soil properties. They found a counter
create and maintain an active root system (Keyes and correlation value between age of stand and soil d13C
Grier 1981). (R2 = 0.45), while observing positive correlations with
174 S. K. Gupta et al.

cation-exchange capacity (CEC) (R2 = 0.31) and soil nitro- Sharma et al. (1997) mentioned values ranging from
gen (R2 = 0.34). Interestingly, positive correlations of sig- 1.5 to 2.9 Mg ha-1 yr.-1 for leaf and twig components in
nificance were discovered between stand age and the total agroforestry systems in Sikkim Himalayas, India. In humid
soil mass at depths of 0–30 cm (R2 = 0.55), specifically central Kerala’s silvopastoral systems, litter fall varies signif-
within 10–20 cm (R2 = 0.55) and 20–30 cm (R2 = 0.55). icantly among four multipurpose tree species, recording rates
However, there is no significant correlation in between 0 and from 1.92 to 6.25 Mg ha-1 yr.-1.
10 cm depth. Although soil % C did not relate to bulk density, Nutrient recycling hinges on the decomposition of litter by
a primitive negative impact was observed between soil soil organisms, a critical process defining soil quality and
organic substance (%) and bulk density (R2 = 0.26). In a forest productivity (Wang et al. 2008). Rapid nutrient release
study by Feldpausch et al. (2004) on young successional might lead to losses through leaching or volatilization (Palma
stands (14 years), they noticed an increase in soil nitrogen et al. 1998). Conversely, slow decomposition could
while phosphorus relocated from soil to biomass. This trend inadequately supply nutrients to plant roots, thereby limiting
during succession indicates a decline in available soil phos- plant growth and development (Montagnini and Jordan
phorus due to nutrient redistribution to vegetation, leading to 2002). Hence, the rates of litter decomposition and nutrient
soil phosphorus deficit (Markewitz et al. 2004). Soil nitrogen, release are vital factors for ecosystem functioning.
on the other hand, showed potential increases due to symbi- The decomposition of forest litter stands as a pivotal phase
otic nitrogen fixation, particularly in early succession stages in the genesis of soil organic matter. This intricate process is
(Cleveland et al. 1999; Rastetter et al. 2001) and from atmo- subject to modulation by diverse factors encompassing soil
spheric deposition (Holland et al. 1999). Interestingly, soil composition, its physical and chemical attributes. Among
phosphorus did not exhibit variation concerning stand age, these factors, texture emerges as a paramount influencer,
suggesting these alterations were unrelated to the succession exerting pronounced effects on nutrient and water dynamics,
process but exhibited a higher counter correlation with soil porosity, permeability, and surface area. The mineralization
clay. Additionally, Silver et al. (2000) identified an increase of organic nutrients and the equilibrium of carbon within
in soil clay content led to decreased labile phosphorus, while forest ecosystems, as elucidated by Austin and Ballaré
total phosphorus increased, attributed to phosphorus easily (2010), play a pivotal role in steering the nutrient cycle,
forming complexes with exchangeable aluminum and iron. aligning with the findings of Song et al. (2008), thereby
enhancing their accessibility for optimal plant growth, in
line with the insights provided by Pan et al. (2004). More-
9.4.3 Forest Disturbances over, the quality of litter substrate and its attendant rates of
decomposition, as highlighted by Marínez-Yrzar et al.
Among forest disturbances, forest fire is the main factor. Fires (2007), profoundly influence soil nutrient levels, conse-
significantly deteriorate structure of the soil and diminish quently impacting forest productivity. In a reciprocal manner,
humus, leading to decreased porosity and elevated pH levels the availability of soil nutrients assumes significance in dic-
(Verma and Jayakumar 2012). They result in a decline in soil tating the pace of litter decomposition, as soils serve as the
nutrients within forests due to processes like volatilization, fount from which decomposers, such as soil-dwelling
ash transport, leaching, and erosion. These alterations organisms, derive essential nutrients to sustain their life
amplify hydrophobicity, lower infiltration rates, and heighten activities, an aspect underscored by the work of Swift et al.
runoff (Jiménez-Pinilla et al. 2016). Over the long term, fires (1979). The rates of litter decomposition within mixed-
might contribute to reduced nutrient availability by removing species compositions often diverge significantly from the
nutrients obtained from soil humus and microbial biomass cumulative decomposition observed in single-species litter
via runoff and leaching from the ecosystem (Miesel et al. scenarios. Notably, mixed litter configurations exhibit
2012). accelerated decomposition rates, particularly evident when
constituent species vary in their litter’s nutrient
concentrations, as observed in the study by Quested et al.
9.4.4 Forest Litter and Soil Fertility (2002). Ball et al.’s investigation in 2009, focusing on a
temperate forest, delved into a mixed-litter decomposition
Different factors like stand age, density, and development study involving four dominant tree species. Their findings
stage significantly impact litter fall rates. In Acacia underscored that species within a litter mixture possessing
auriculiformis plantations, litter fall ranged from higher nutrient concentrations facilitated enhanced nutrient
12.2 to 14.4 Mg ha-1 yr.-1 (Kumar and Deepu 1992), release, while those with lower nutrient concentrations
while Kunhamu et al. (1994) reported an annual litter fall of tended to retain these vital elements. Similarly, the research
12.9 Mg ha-1. Comparatively, litter fall tends to be lower in by Yang et al. (2002) unveiled that the presence of mixed
agroforestry systems than in tropical forests. For instance, forests, specifically combining Cunninghamia lanceolata
9 Forest Soils 175

and Tsoongiodendron odorum, fostered a higher usable envi- in forests and their soil. Over the ages, factors of climate
ronment for recycling of nutrient. This was evidenced by a change have more or less modified the bio-geochemical
heightened annual litter fall nutrient return and subsequent cycles of carbon, nitrogen, and phosphorous. This, in turn,
nutrient release compared to pure forests. Furthermore, it’s has affected soil productivity having a direct effect on forests
crucial to note that negative interactions might arise in litter as a whole (Raison and Khanna 2011). Numerous scientific
types abundant in secondary compounds, such as tannins, inquiries examining the nexus between climate change and
directly impeding microbial growth and activity, thus affect- vegetation dynamics have illuminated the distinctive
ing decomposition dynamics. correlations between specific climatic regimes and the con-
Adding fertilizer sometimes makes things break down stitution of plant communities or functional types (Walter
faster (Hobbie and Vitousek 2000). When we add nitrogen, 1985). Consequently, there’s a logical inference that climatic
it can stop the breakdown of a tough material called lignin by variations will provoke substantial reconfigurations within
stopping certain helpful enzymes. Nitrogen in the soil is the forest ecosystems (IPCC 1996). Even conservative
main thing that controls this, while phosphorus is usually in projections, envisioning a global temperature rise of merely
short supply in big forests. Inside a pile of fallen leaves and 1–2 °C—substantially below recent forecasts—portend nota-
stuff (litter), calcium, nitrogen, and phosphorus break down ble repercussions in terms of altered species composition,
pretty quickly, but it takes a few weeks or months (Devi and productivity, and biodiversity across diverse global
Yadava 2007). ecosystems. These anticipated impacts bear direct relevance
The shade or exposure to sunlight also affects the decom- to communities reliant on forest resources for sustenance
position of litter. The litter under the forest canopy is softer (Gitay et al. 2002). Insights gleaned from global models
and disappears more quickly than leaves exposed to sunlight suggest that the amplified atmospheric CO2 levels attributed
(Giller and Gadisch 1997). to climate change are poised to augment the net primary
The attribute of litter was also found to have influence on productivity of forests. India, celebrated for its significant
the decomposition rate. In general, the decomposition rate is biodiversity and with forests spanning about 23% of its
high in species with extreme ash and nitrogen contents and geographical expanse, is poised to experience discernible
minimum C/N ratios and lignin contents (Singh 1969). When effects from climate change on its forested regions.
the C:N ratio falls below a certain point (25:l), mineral N
release to the soil increases (Berg and Staaf 1981). The initial
lignin concentration of litter (Fogel and Cromack 1977) and 9.5.1 Climate Change: Role of Forest Soil
litter N concentration (Berg and Staaf 1981) have been
suggested as better predictors of decomposition rates than Carbon emissions play a pivotal role in driving climate
the C:N ratio. High lignin concentrations decrease the rate of change. Forests, in their multifaceted capacity, serve as sub-
decomposition of leaf and needle litter (Melillo et al. 1982). stantial reservoirs for carbon. Of the global carbon stockpile
totaling 650 billion tons, nearly one-third is sequestered
within terrestrial ecosystems, predominantly in forests. Nota-
9.5 Forest Soils and Climate Change bly, forest soils account for approximately 45% of the carbon
stored in the global forest biomass, with an additional 10%
Climate change stands as a paramount concern in contempo- contained in deceased wood and leaf litter within these for-
rary times, exerting a profound influence on forest ested areas. Remarkably, the carbon storage capacity of
ecosystems and the vitality of forest soils. Its dynamic shifts forests parallels that of the earth’s atmosphere. Methodically
directly impact crucial facets like nutrient cycling, the respi- managed forests offer extensive ecosystem services,
ration of ecosystems, and the storage of carbon within forests. mitigating soil erosion, diminishing the risk of geological
The intricate relationship between soils and forests is multi- hazards like landslides and avalanches, and significantly
dimensional, with substantial repercussions on each other contributing to the regulation of clean water sources and the
and the broader environment. Over millions of years, soils maintenance of a balanced water cycle. Forest soils exhibit
have served as the foundational support for trees and entire distinct characteristics due to their relatively low disturbance
forest ecosystems. Their symbiotic interactions create and levels and high organic matter content, endowing them with
support environmental situations needed for agricultural pro- substantial resilience against the climate change effect.
duction. These positive outcomes extend far-reaching Although the influence of change of climate on forest soils
benefits, ensuring the sustenance of a productive food sys- tend to manifest gradually, they accumulate progressively
tem, the enhancement of rural livelihoods, and the preserva- over time. On the other hand, industrial plantations are
tion of a healthy environment amid the challenges posed by often at the behest of frequent disturbances from intensive
climate change. Forest ecosystems are subjected to change in management options (site preparation, fertilizer application,
climate which has already shown a myriad of consequences harvesting, slash burning, etc.). All these factors could
176 S. K. Gupta et al.

contribute to the susceptibility or exposure of climate change 9.5.2 Direct Effect of Climate Change
but with an offer to manage emerging impacts through inten- on Forest Soil
sive plantation management practices. The average carbon
sink capacity linked with agroforestry tree plantations in Temperature: The escalation of global temperature extremes,
India is estimated to be 25 t C ha-1 from 96 million ha area a consequence of advancing climate change, is well-
despite substantial regional variation which found to regulate documented (Hoegh-Guldberg et al. 2018). Elevated
biomass production (Basu 2014). temperatures drive increased metabolic rates across vari-
Climate change directly affects soil moisture by altering ous trophic levels within organisms (Walther et al. 2002).
temperature and rainfall patterns. Among the factors This heightened metabolic activity contributes to
impacted by climate change in soils, the regulation of soil amplified forest productivity, a process intricately
development processes significantly influences the break- regulated by soil nutrient availability and precipitation
down of rocks and minerals. Extensive scientific evidence patterns. (McMahon et al. 2010). At higher temperature
supports the correlation between specific temperature and P concentration in forest litter tends to decrease with the
rainfall conditions and various stages of soil development increase in N:P and C:P ratio, and leads to direct influence
processes. The expected changes in climate variables will, on organisms engaged in the decomposition process of
directly and indirectly, affect the various developmental pro- litter (Yuan and Chen 2009). Rising temperature will
cesses in the forest soils and all such perceived changes are result in increased soil respiration rate, loss of stored C,
summarized in Table 9.5 and Fig. 9.3 for understanding its higher rate of N mineralization, and several subsurface
basic processes with the interactive mechanism. mechanisms influence carbon dioxide (CO2) fluxes. Soil
Climate change induces direct impacts like heightened respiration is intimately linked to the pace of chemical and
temperatures, elevated atmospheric CO2 concentrations, biochemical reactions. Activities such as soil microbes
alterations in precipitation patterns, and increased and root respiration release more CO2 and methane
occurrences of extreme climatic events such as heat waves, gases, contributing to greenhouse gas (GHG) emissions.
droughts, storms, and frosts. Indirectly, it leads to pest and Forests, however, can counterbalance some of these
pathogen outbreaks, frequent fire incidents, modifications in emissions through various biogeochemical processes,
vegetation growth and species composition, and shifts in serving as a vital carbon sink to mitigate the impacts of
litter inputs. These multifaceted influences significantly climate change. Higher temperatures lead to increased
affect various soil processes, directly linking to the health carbon turnover in soils, limiting its availability for forest
status of forest soil. vegetation growth. While plants primarily acquire carbon
through photosynthesis, soil carbon plays an equally

Table 9.5 The influence of climate change factors on soil processes

Climate variable(s) Expected effects
Rising temperature Declination of soil organic substances
Decrease in a readily available organic particle pool
Soil moisture decline
Acceleration of mineralization rate
Deterioration of soil structure
Heightened soil respiration rate
Elevating CO2 concentration Rise in organic matter content in the soil
Enhanced water use efficiency
Greater carbon accessibility for soil microorganisms
Heightened nutrient cycling speed
Augmented soil moisture levels
Increased surface runoff and erosion
Increasing rainfall Nutrient losses through a higher rate of leaching
Increased reduction of Fe and NO3
Higher volatilization losses of nitrogen
Enhanced productivity in arid regions
Decrease in precipitation Decrease in soil organic matter
Increase in the rate of soil salinization
Low nutrient availability for plants and crops
Source: Recreated and modified from Pareek (2017)
9 Forest Soils 177

Fig. 9.3 Direct and indirect effects of climatic change on forest soil health
Source: Recreated and modified from Raison and Khanna (2011)

crucial role in sustaining plant growth and vitality. Soil Precipitation pattern: Climate change is expected to directly
carbon serves as a reservoir for water, nutrients, and an affect the pattern of water availability, supported by vari-
energy source for decomposing microbes. Elevated soil ous climate prediction models. Some models predict lon-
respiration rates result in the release of higher amounts of ger drought and wet periods, while others predict higher
CO2 into the atmosphere (Conant et al. 2008). A higher precipitation rate. However, it is still opaque and unclear
decomposition rate gives a higher amount of organic to confirm that how such a scenario will be changed in the
minerals with less sink of carbon, the source for higher future. But, it is confirmed that climate change is expected
biomass production in forests. Soil nitrogen availability to significantly alter the pattern of water availability which
will be higher in the prevalence of increased temperature will result in the following soil concerns:
which will give the higher carbon sequestration because of • High rainfall intensity and prolonged dry spells will
better and luxuriant growth of plant. On the other hand, N result in a higher risk of soil erosion. Heavy precipi-
removed from the ecosystem will be there because of the tation can accelerate runoff and leaching because of
priming effect of the excess nitrogen. Such losses from the the restricted buffering capacity of each type of soils
ecosystem will give rise to other ecological problems of to absorb and retain water. Contrary to this, the
eutrophication in nearby water course and/or lowering of prolonged dry spell will decrease vegetation cover
pH in soils (Galloway et al. 2003). Therefore, it is neces- and put the soils at the risk of losing organic matter at
sary to monitor the N losses from the forest ecosystems for a faster pace. Erosion at a large scale can also change
assessing the influence of climate change concerning ele- the landscapes by losing stored carbon in forest areas
vated soil respiration and temperature. and reducing plant productivity.
178 S. K. Gupta et al.

• Nutrient loss is the first victim of erosion due to and resulted in the outbreak of pest and diseases and stress
change in precipitation pattern. Arid conditions will factors, causing threat to the existence of such valuable
directly impact surface decomposition and nutrient tree species of the region (Banyal et al. 2009).
cycling, resulting in lower plant biomass. Heavy Fire regimes: Fire regimes are regulated by the frequency,
precipitation can also deplete soil organic matter at timing, and intensity of occurrences, impacting forest
a faster rate due to a higher pace of leaching (Nearing areas by inducing drought and reducing humidity. The
et al. 2004). But still the information on the possible intensity, frequency, and seasonal timing constitute key
changes in forest biomass pattern because of the variables determining fire incidents. The combined inter-
increased rate of erosion are scanty and will be the play of these factors defines the specific fire outbreak to
subject of future research. which forests are exposed. This fire regime, alongside site
• Soil hydrophobicity, or water repellency, may and species characteristics, influences greenhouse gas
become prevalent due to shifts in the microbiome. emissions and the effects of fire on nutrient cycles, forest
This phenomenon could potentially amplify or soil properties, and ecosystem processes. Forest fires
diminish soil carbon loss, depending on specific site occurring more frequently and persisting for longer
conditions (Doerr et al. 2009). durations contribute to a reduction in forest carbon stocks
and soil carbon (Raison and Kirschbaum 2008). Repeated
occurrence of forest fires at shorter intervals has a direct
9.5.3 Indirect Effect of Climate Change effect on trees and underground vegetation on one hand
on Forest Soils and overall tree diversity on the other perceptive. Fertility
may get regulated through all such changes and finally
The indirect effects of climate change are tied to alterations in altering the forest soil health.
forest growing conditions and disturbances that affect eco-
system processes. These changes ultimately regulate the
overall health of forest soils. 9.5.4 Understanding Soil Carbon
and Sequestration in Forest Soils
Change in forest growth, the input of organic matter and
nutrients to soils: Forest growth is regulated by tempera- Soil carbon storage is contingent upon inputs from vegeta-
ture variations which can increase or decrease the limiting tion, losses via decomposition, soil characteristics, and cli-
factors existing in any site. In certain site-specific matic variables such as temperature and precipitation. Forests
situations, increased atmospheric inputs of nutrients limit contribute significantly to the soil organic substances sink via
net primary productivity (NPP). It is already known that diverse sources like leaf litter, coarse woody material, roots,
elevated CO2 concentration is responsible for restricting root exudates, and dissolved organics leached from plants
nutrient availability to vegetation (Norby et al. 2010). and litter layers. These inputs undergo stabilization within the
Dynamics of pests and diseases: The incidence of pests/ mineral soil matrix or biodegradation, releasing carbon diox-
diseases on forests is generally governed by (1) forest ide (CO2) into the atmosphere. The stabilization process is
types, species composition; (2) climatic and edaphic intricately tied to interactions among soil minerals, plants,
factors; and (3) insects, pathogens, vertebrates. All these soil organisms, and organic components, influenced by cli-
governing factors have strong interactions for deciding the mate, stand management, and broader-scale factors. Interest-
forest stand health. Outbreaks can occur when all the ingly, a large aboveground carbon stock doesn’t necessarily
stated factors positively promote pests and pathogens correlate with substantial belowground carbon stocks, as
and negatively for host trees and/or forest stand and the heightened forest productivity can lead to increased nutrient
reverse interactions for recovering the trees from such pools, affecting organic matter decomposition and conse-
epidemics. By considering these actions is imperative for quent carbon release into the atmosphere.
the management of pests and diseases, and it’s essential Contrarily, the decomposition process faces hindrance in
for evaluating potential implications of climate change on conditions of asphyxiation (lack of oxygen) and low
forest health. Pathogens induce mortality across multiple temperatures. The productivity both above and below ground
native plant communities as large-scale mortality in young is regulated by the mineralogical and chemical traits of the
and mature trees of Acacia nilotica and Dalbergia sissoo soil, coupled with drainage provisions. Clay soils typically
was observed in south-western parts of Punjab, India. This harbor higher carbon stocks due to their increased surface
was due to change in climatic factors (extremes in temper- area on clay particles. The adhesive nature of the mineral
ature and precipitation pattern), responsible for the weak- matrix can be linked to the origin of the clay’s parent mate-
ening of plant system by causing physiological changes rial. In the United States, carbon-rich forest soils (Andisols)
9 Forest Soils 179

in the Northwestern region stem from volcanic parent mate- compared to ambient CO2 levels. Elevated atmospheric
rial, resulting in soils with elevated surface areas. These CO2 concentrations often coincide with heightened mycor-
support high-quality mixed conifer hardwood forests, rhizal colonization due to increased plant demand for
boasting the nation’s highest quantities of carbon stored in nutrients, leading to augmented carbon accumulation rates.
the soil. Conversely, sandy soils exhibit lower carbon pool Consequently, mycorrhizal biomass increases as plants allo-
owing to their reduced adsorption area compared to clay soils cate more photosynthates underground, driven by increased
(D’Amore and Kane 2020). nutrient demands alongside carbon assimilation rates (Drigo
Soil carbon dynamics exhibit responsiveness to climate et al. 2008). The drivers of global climate change, such as
change, primarily mediated by the intricate relationships rising temperatures, alterations in rainfall patterns, elevated
among biomass production, decomposition processes, and atmospheric CO2, fire regimes, and nutrient enrichment, are
shifts in vegetation patterns influenced by climatic intricately interconnected at various biological levels, affect-
alterations. Temperature acts as a pivotal regulator, exerting ing carbon, nitrogen, and phosphorus stoichiometry between
both direct and indirect effects on the rates of vegetation producers and the soil biome (Fig. 9.4).
growth and decomposition. Temperature fluctuations notably
influence the release of mineral nutrients through weathering
processes, contributing to carbon dioxide released during the 9.6 Forest Destruction, Fragmentation,
breakdown of organic matter. This, however, presupposes REDD, and REDD+ Approaches
that limiting factors such as oxygen, moisture, and vegetation
inputs are not constraining. The rates of primary production Deforestation transpires when areas predominantly inhabited
and decomposition exhibit potential increases or decreases in by naturally occurring tree species undergo conversion to
response to temperature variations, contingent upon the fulfill specific human demands. It denotes the transition of
nuanced growth and responsiveness of individual forest forests into alternative land uses or a sustained reduction in
components, transcending the influence of temperature tree canopy cover, often falling below the 10% threshold
alone. Alterations in rainfall patterns engender two distinct (FAO 2015). The cumulative effects of deforestation and
extremes: drought and waterlogging. These extremes may forest degradation contribute to approximately 11% of car-
arise from heightened erosion impacting stabilized mineral bon emissions, surpassing the global transportation sector
soil carbon or reduced decomposition attributed to low oxy- and trailing only behind the energy sector. Primary drivers
gen concentrations in waterlogged soils (Wuebbles et al. of deforestation encompass agriculture, unsustainable forest
2014). Scientific investigations suggest an anticipated trans- management, mining, infrastructure projects, and escalated
formation in forest vegetation patterns, with consequential incidences and intensity of fires. Infrastructure endeavors like
impacts on growth and decomposition processes across road construction, while seemingly isolated, exert significant
global forest landscapes. Existing empirical studies, indirect impacts by opening up forests to settlers, initiating
exemplified by Griffith et al. (2009) and Johnson et al. agricultural activities, and other operations. Degradation, a
(2009), contribute to envisioning prospective scenarios the consequence of poor forest management and unsound extrac-
accumulation of carbon in the form of biomass and its storage tion practices, often initiates a gradual and pervasive form of
in the soil across different forest types in diverse climatic deforestation, metaphorically termed as “death by a thousand
conditions. cuts.” Forest fragmentation characterizes the transformation
Under elevated CO2 conditions, plants exhibit a shift in of continuous forest landscapes into fragmented patches
their metabolic allocation, decreasing the creation of interspersed with non-forested areas. It emerges from the
nitrogen-rich metabolites while increasing the quantity of intricate interplay between natural landscapes and escalating
carbon-rich metabolites in root exudates (Tarnawski and societal demands on land, leading to a patchwork of both
Aragno 2006). This leads to heightened microbial activity, natural and human-modified environments (FAO 2007).
resulting in increased CO2 production. The higher CO2 levels It is now clear that the stabilization of global temperatures
impede the storing of carbon in soils, thereby impacting the within 2 °C cannot be achieved without reducing emissions
ability to store carbon in the soil. Carbon isotope studies from the forest sector along with merging mitigation actions.
reveal that CO2 production by roots and microorganisms in According to the Global Forest Resources Assessment
the rhizosphere is notably influenced by elevated CO2 (FRA), global forest cover diminished by 3.16% between
conditions during plant growth. Studies indicate that the 1990 and 2015, currently standing at around 30.6% com-
increase in CO2 respiration in the rhizosphere may surpass pared to 31.6% in 1990. The alarming rate of forest cover
the growth enhancement in root biomass. For instance, decline presents an imminent threat if left unchecked.
Cheng and Johnson (1998) found that while plants exhibited Forecasts indicate that future demands on forest resources
a mere 15–26% increase in biomass under elevated CO2 will intensify competition among nations, leading to an
conditions, and carbon respiration surged by 56–74% estimated annual loss of 18.7 million acres of forest cover
180 S. K. Gupta et al.

Fig. 9.4 Relationship of C, N, and P stoichiometry of primary producer and soil biota
Source: Maaroufi and Long (2020)

(Bradford 2018). Deforestation has multifaceted causes, with aggregates. Sandy soils are the result of weathering process
prominent contributors being forest conversion, wildfires, in rocks specifically granite, quartz and lime stone, poor in
illegal and harvesting, unsustainable logging, fuelwood, water holding capacity and low nutrients availability, making
mining, and the impact of climate change. them unsuitable for agriculture and plantations activities.
Hardpan soils are the feature of red soils due to illuviation
of clay in association with oxides of Fe, Al, and CaCO3.
9.7 Problem Soils and Their Bio-Reclamation Roots could not penetrate the soils, limiting the nutrient
uptake by the plants. Surface crusting in soils arises from
Soils that limit crop production because of nutrient deficiency the aggregation of colloidal oxides of iron and aluminum in
and abiotic stresses are classified as problem soils. These alfisols, resulting in the binding of soil particles during moist
soils are always under the shadow of unfavorable soil conditions. In contrast, peat and marshy soils are products of
properties and need special management for their proper organic matter accumulation, contributing to elevated levels
utilization with productive functions Soils characterized by of soil acidity. Such type of soils is commonly found in
soluble salts, high groundwater tables, impermeable argillic humid regions. Waterlogged soils occur due to excessive
horizons, erosion, low-fertility sandy composition, frequent water content and inadequate aeration in the soil. Acid soils
coastal inundation, and laterites (Oxic soils) and acidic are created because of chemical problems in the soils. pH in
properties fall under the category of problematic soils. This such soils remains below 7.0 and even the range is much
classification encompasses vertisols, acid sulfate soils, saline- below up to 4.75 and 4.0 in extremely acidic conditions. The
sodic soils, peat soils, and fine-textured alluvial soils as the basic reasons for the formation of acidic soils are weathering
commonly encountered problematic soil types. Physical and of acidic parent materials (granite and sandstone), leaching of
chemical characters are responsible for the formation of such bases particularly in high rainfall zones. Temperate soils in
soils. Physical factors are fluffy paddy soil, sandy soil, pine forests are enriched with acid soils. Salt-affected soils,
sub-soil hardpan, surface crusting, water logging, peat, and encompassing both saline and sodic/alkali types, result from
marshy soils, whereas the quantity and nature of salts govern a combination of natural and human-induced factors. Saline
the chemical factors. Fluffy paddy soils are developed due to soils differentiated by the prevalence of neutral salts, includ-
continuous puddling operations for rice cultivation, resulting ing chlorides and sulfates of Na2+, Ca2+, and Mg2+,
in structure less mass of soils due to breaking of soil exhibiting an electrical conductivity (EC) exceeding 4 dS/
9 Forest Soils 181

m, a pH lower than 8.5 but not <7.0, and an exchangeable carbonate variation increases with soil depth, often observed
sodium percentage (ESP) below 15. These soils manifest an in concretions or forming an indurate bed, typically around
excess of soluble salts while maintaining small 1 meter below the surface. The soils with pH > 8.2, ECe
concentrations of exchangeable sodium, yielding favorable >4.0 dS m-1 and ESP >15 are designated as saline-alkali
physical properties, flocculated soil structure, and high per- soils and are commonly known by different names across the
meability akin to conventional soils. Saline soils can be country as Usar, Reh, Kallar, Kshar. These soils exhibit
categorized into three distinct groups: (a) inland saline soils, characteristics of both saline and alkaline soils, and appropri-
usually linked to a high water table and commonly occurring ate reclamation and management strategies are implemented
in irrigation command areas; (b) saline soils arising from the to optimize productivity.
use of saline groundwater for irrigation, prevalent in dry and Abnormal nutrient physiology in plants occurs because of
semi-dry areas; and (c) coastal saline soils. These are ionic non-equilibrium due to high pH (>10) and ESP (>60).
recognized by different regional names such as Shora, The elevated Na:Ca ratio and reduced C:N ratio in sodic soils
Khar, Thur, and Lavniya across various regions in the create an inhospitable environment for sustaining vegetation.
country. The growth of most crops is significantly hindered due to
The soils with a predominance of salts with alkaline in compromised physical conditions, disrupted nutrient avail-
nature are termed sodic/alkali soils. These soils having elec- ability, and suppressed biological activity. On these soils,
trical conductivity (EC) <4 dS/m, pH <8.2 and these soils deficiencies in certain micronutrients (Zn, Fe, Cu, Mn) along-
are typically dominated by sodium carbonate (Na2CO3), side toxicity from other elements (Na, B, Mo) further impede
sodium bicarbonate (NaHCO3) with a kanker pan layer of the growth and development of crop plants. Sodic soils
CaCO3. Physically, soil structure is highly dispersed with commonly exhibit poor water permeability, characterized
poor infiltration rate. Sodic soils exhibit degradation across by reduced hydraulic conductivity and infiltration rates.
several critical properties, including structural, chemical, This limitation stems from pore space interlocking and soil
nutritional, hydrological, and biological aspects and are compactness, which, in turn, hinder the root development of
represented by their compact, heavy nature, featuring a high plants. The hostile conditions in sodic soils contribute to a
bulk density and a silty clay loam texture categorized as restricted range of microbial populations and reduced diver-
Typic Natrustalf. They notably contain a higher proportion sity. Consequently, this environment leads to decreased litter
of sodium relative to other cations, both within the soil decomposition and nutrient mineralization processes. Major
solution and on the exchange complex. In the Indo-Gangetic problem soils are enlisted in Table 9.6 with key
plain, sodic soils typically lack gypsum (CaSO4, 2H2O) but characteristics and major impediments.
contain an amorphous form of CaCO3. This calcium

Table 9.6 Major problem soils of India

S. No. Problem soils Key characteristics of diagnosis Major impediments
1. Clay soil Higher clay particle Soil saturated and compressed with little aeration
2. Sandy Greater coarse sand particles It has a low fertility and less moisture retaining
capacity. So vulnerable to erosion
3. Acid Soil Soil pH < 6.5 The presence of ferrous and aluminum content
4. Salt affected
Saline soil ECe > 4.0 dS m-1 It has greater potential to hold osmotic pressure and
(Solonchak) cations: Ca, Mg, Na and K anions: CO3, HCO3, Cl, SO4 it leads to the imbalance of the nutrient
Sodic or alkali ESP > 15 Carbonates (CO3-) and bicarbonates (HCO3-) of Degraded physical state or compromised physical
soil (Solonetz) Na salts. The amount of Cl- and SO-4 is less condition. Toxicity of sodium, nutrient
disproportion
Saline-Sodic soil ECe > 4.0 dS m-1and ESP > 15 Elevated osmotic potential, degraded physical state,
nutrient disproportion
5. Calcareous soil CaCO3 > 5.0% P and Fe deficiency
6. Waterlogged Water logging, poor permeability Inadequate oxygenation with asphyxiation
soil condition
7. Compacted soil Increased soil density Inadequate oxygenation, restricted root penetration,
water stagnation
8. Impermeable Low hydraulic conductivity and rate of infiltration Inadequate oxygenation, water stagnation
soil
182 S. K. Gupta et al.

9.7.1 Reclamation of Problematic Soils environments. The list of promising tree species suitable in
Through Forestry saline conditions is illustrated in Table 9.7.
Alkali soils tend to support a limited natural vegetation
Trees possess remarkable resilience to thrive in challenging spectrum, often comprised of only a select few species.
climatic and soil conditions, making forestry and agroforestry Notably, P. juliflora has extensively established itself in
pivotal in utilizing their capabilities for both productivity and these soils, forming dense clusters, notably on deserted
ecological restoration. The deposition of tree litter signifi- lands alongside roadways and railway tracks. Other tree
cantly contributes to soil conservation by increasing soil species, including A. nilotica, S. oleoides, S. persica,
organic substance, enhancing its physical properties, and C. decidua, C. septaria, and C. phlomidis, rank among the
simultaneously providing essential nutrients. In natural forest important species that thrive in high-pH soils. Moreover,
ecosystems, the carbon and nutrient cycles operate within a species like A. leucophloea, A. eburnea, M. hamata,
relatively closed system, characterized by extensive recycling P. cineraria, B. monosperma, D. tomentosa, B. roxburghii,
and minimal external inputs and outputs. Reclamation for- and M. emarginatus are commonly found in slightly lower
estry experiences have illustrated the efficacy of trees in pH environments, extending up to 9.0 on the pH scale.
enhancing fertility within problematic soils, showcasing Table 9.8 provides a list of recommended trees based on
their ability to rejuvenate and build up soil fertility. Trees their tolerance to alkaline soils. The soils having higher pH
have a dense network of fine and deep roots, high quality of sustain only for a few tree species with no fruit trees, espe-
litter, bind the soil to prevent soil erosion, ultimately keeping cially in >10 pH soils. But, with the decrease in pH level
nutrients intact on soil surface thus, in all ways, trees promote more trees are accommodating with a wider horizon of
more closed nutrient cycling. However, all trees are not usability in addition to reclamation benefits.
having all the traits to be capable of soil reclamation. Certain Salt affected water logging soil is another type of problem
tree species have been identified by Bhatt et al. (2017) as soils that need special management practices. Pandey et al.
being perfect for recovering alkaline and saline soils. These (2015) highlighted some of the prominent factors like heavy
kinds of trees are A. auriculiformis, A. nilotica, A. tortilis, rainfall in some areas, poor drainage, excess and faulty irri-
A. excelsa, P. cineraria C. equisetifolia, A. indica, and gation methods, hardpan, shallow water table and seepage
D. sissoo. from the canal is a primary contributor to waterlogging
Salt affected soils are a major challenge for rehabilitation. issues. Arid and semiarid regions are the victim of the water
Several tree species got evaluation for their tolerance to logging problem due to canal irrigation without proper drain-
salinity, particularly in dry and semi-dry areas. Through this age options, which also results in secondary salinization. For
assessment, specific species have emerged as particularly managing such soils biodrainage is the only alternative
adept at thriving in saline conditions, surpassing others in approach which is effective, affordable, socially acceptable
their resilience. These standout species have been and environment friendly without causing any degradation to
recommended as principal choices for cultivation in saline natural resources as experienced in some other available

Table 9.7 Relative salinity tolerance of trees

Tolerance range (ECe dS/m) Agroforestry and forest/fruit trees/shrubs
Very high saline soils Inland saline soils
(20–30 dS/m) P. juliflora, P. aculeata, S. oleoides, S. persica, A. farnesiana, S. fruiticosa, S. maritima, Haloxylon spp., Artiplex
spp., T. articulata, T. troupi, T. ericoides
For coastal saline soils
A. marina, A. officinalis, R. apiculata, R. mucronata, B. gymnorrhiza, B. parviflora, C. tagala, A. ilicifolius,
A. volubilis, A. corniculata, E. agallocha, H. fomes, H. littoralis, N. fruticans, S. alba, S. caseolaris,
C. equisetifolia, B. asiatica, C. inerme, Pandanus spp., P. pinnata, C. ubcordata, T. catappa, C. inophyllum,
F. retusa, M. littoralis, T. populnea
Highly saline soils A. auriculiformis, A. nilotica, A. pennatula, A. tortilis, C. lanceolatus, C. equisetifolia, C. gluaca, C. obesa,
(14—20 dS/m) E. camaldulensis, F. limonia, L. leucocephala, P. cineraria, Z. mauritiana
Saline soils A. senegal, C. cunninghamiana, E. tereticornis, A. auriculiformis, A. cartibea, L. shannoni, P. pinnata, S. saman,
(10–14 dS/m) T. arjuna
Moderately saline soils A. procera, M. composita, M. dubia, D. sissoo, E. officinalis, G. ulmifolia, P. granatum, S. saman, A. deamii,
(5.0–10 dS/m) A. guachapele, A. herbertsmithite, C. eriostachya, C. velutina, H. brasiletto, Salix spp., S. cumini, S. fruticosum,
T. indica
Less saline soils A. auriculiformis, A. deamii, A. catechu, S. cumini, S. babylonica, M. azedarach, M. composita, M. Dubia,
(<5.0 dS/m) T. indica, A. lebbeck, L. leucocephala, Populus spp., A. indica, D. strictus, B. monosperma, T. arjuna, A. excelsa,
D. sissoo, B. roxburghii
Source: Banyal et al. (2017)
9 Forest Soils 183

Table 9.8 Tree species recommended with relative tolerance for afforestation of alkali soils
Tolerance range
(pH) Agroforestry and forest/fruit trees/shrubs
Highly alkali soils P. juliflora, A. nilotica, T. articulata
>10.0 (fruit trees are not recommended under this category)
Alkali soils E. tereticornis, C. decidua, P. dulce, P. alba, P. cineraria, C. equisetifolia, S. persica, S. oleoides, T. arjuna, C. carandus,
9.60–10.0 P. guajava, Z. mauritiana, E. officinalis
Moderately alkali C. rothii, A. lebbeck, C. siamea, P. pinnata, S. sesban, P. aculeata, D. sissoo, K. pinnata, B. monosperma, P. granatum,
soils P. dactylifera, A. japota, T. indica, S. cuminii, F. limonia
9.00–9.60
Less alkali soils G. robusta, A. indica, M. azedarach, L. leucocephala, H. binata, M. oleifera, P. deltoids, T. grandis, G. asiatica,
8.20–9.00 A. marmelos, P. persica, P. communis, M. indica, M. alba, Ficus spp., S. laurifolium, V. vinifera

Table 9.9 Tree species recommended with salinity and alkalinity tolerance for waterlogged areas
Tolerance range (pH) Agroforestry and forest/fruit trees/shrubs
Very high saline soils A. farnesiana, P. juliflora, P. aculeata, T. aphylla
(20–30 dS/m)
Highly saline soils V. nilotica, A. pennatula, A. tortilis, C. lanceolatus, C. glauca, C. obesa, C. equisetifolia, E. camaldulensis,
(14–20 dS/m) F. limonia, L. leucocephala, Z. jujube
Saline soils Casuarina spp., E. tereticornis, T. arjuna
(10–14 dS/m)
Moderately saline soils A. lebbeck, D. sissoo, G. ulmifolia, P. pinnata, S. saman
(5.0–10 dS/m)
Less saline soils A. auriculiformis, A. catechu, A. deamii, S. cumini, Salix spp., T. indica
(<5.0 dS/m)
Highly alkali soils Prosopis juliflora, Vachellia nilotica, Tamarix articulata
(>10.0 dS/m)
Alkali soils E. tereticornis, P. alba, P. cineraria, C. equisetifolia, S. persica, S. oleoides, T. arjuna, Z. mauritiana
(9.60–10.0 dS/m)
Moderately alkali soils A. lebbeck, C. siamea, P. pinnata, D. sissoo, B. monosperma, S. cuminii, F. limonia
(9.00–9.60 dS/m)
Less alkali soils A. indica, M. azedarach, L. leucocephala, P. deltoides, Ficus spp., S. laurifolium
(8.20–9.00 dS/m)
Source: Dash et al. (2005), Banyal et al. (2017)

technologies (sub-surface drainage). The trees planted under contributions of various tree species, particularly in problem-
bio-drainage plantation are listed in Table 9.9. atic soils and those affected by salinity. In alkali soils, species
Banyal et al. (2019) showed that Eucalyptus tereticornis such as A. nilotica, T. articulata, and P. juliflora have shown
emerged as the prime choice for drawdown in the water the power to improve salt-affected soil conditions. These
besides soil reclamation in the saline places of trans Indo- species have demonstrated the deduction of exchangeable
Gangetic plains. Soil conditions improved in general and Na % and pH values while contributing to an increase in
0–30 cm profile (plough layer) in particular. There is a soil organic carbon content in the surface layer. The primary
presence of consistent reduction in ECe (Soil salinity) under- drivers of soil improvement include tree roots and leaf litter
neath Eucalyptus trees with an increase in profile depth from that settle on the soil surface. Over time, these factors have
0 to 120 cm than the bare fallow area. The other essential led to alterations in soil properties such as pH, exchangeable
nutrients like organic carbon, N and P were also higher sodium, bulk density, porosity, and water holding capacity.
underneath plantations which clearly showed the reclamation Observations by Garg and Jain (1996) highlighted the alter-
behavior of Eucalyptus in resource-poor waterlogged saline ation of physical and chemical properties in sodic wastelands,
soils. showcasing a decrease in pH and ESP while witnessing an
increase in soil organic carbon, notably more pronounced
under D. sissoo than T. arjuna plantations.
9.7.2 Problem Soils: Reclamation Mechanisms Leaf litter plays a crucial role in nutrient circulation, with
the recycling order being N > Ca > Mg > K > P. Studies by
Trees can play multifarious roles like the reclamation of Singh (1998) emphasized that P. deltoides clones contributed
problem soils, wood products and environmental impacts. to soil amelioration through elevated levels of total nitrogen,
Numerous research findings highlight the positive exchangeable Ca and Mg contents. Further research by Singh
184 S. K. Gupta et al.

Fig. 9.5 Above ground biomass

(t ha-1) of Pj P. juliflora, An
A. nilotica, Ce Casuarina
equisetifolia, Ta Terminalia
arjuna, Pd Pithecellobium dulce,
Et Eucalyptus tereticornis, Pa
Prosopis alba, Pp Pongamia
pinnata, Cs Cassia siamea, Ai
Azadirachta indica. Source: Singh
et al. (2008)

et al. (2011) compared the impact of ten multipurpose tree In saline soils, specific tree species including
species on growth, biomass yield, and physicochemical E. tereticornis, M. composita, A. indica, D. sissoo, and
properties in alkali soils within the Indo-Gangetic alluvial T. arjuna have demonstrated a capacity to reduce the electri-
plains. C. equisetifolia exhibited the highest survival rate cal conductivity (EC) values compared to the initial soil EC
(100%), followed by T. arjuna, P. juliflora, P. pinnata, and levels (CSSRI 2018). In West Bengal, Banik et al. (2018)
P. dulce. C. equisetifolia displayed the highest aboveground noted substantial improvements in soil properties, such as
biomass production, followed by A. nilotica and P. juliflora. pH, EC, and cation exchange capacity (CEC), within planta-
Overall, the specific tree species significantly improved alkali tion strips compared to non-vegetated fields. They observed
soils by reducing ESP and pH & elevating organic carbon variable enhancements in organic C, available NPK content
content. Biomass production was noticed to follow the order: in the topsoil under vegetation canopy compared to open
E.tereticornis>A.nilotica>P.juliflora>C.equisetifolia>P.a- sites. In Haryana, Bhojvaid and Timmer (1998) found that
lba>P.dulce>T.arjuna>P.pinnata>A.indica>C.siamea. P. juliflora stands altered the microclimate and enhanced soil
(Fig. 9.5). moisture status and exchangeable O, N, P, Ca, Mg and
Substantial improvements were noticed in soil attributes K. These alterations contributed significantly to the reclama-
under tree plantations, including a notable deduction in soil tion of sodic sites, resulting in decreased pH, electrical con-
bulk density, declining from 1.57 to 1.21 mg m-3. This ductivity, and exchangeable sodium levels.
reduction was accompanied by an increase in porosity, rising Similarly, Acacia nilotica contributed to organic matter
from 40.7 to 54.3%, and a significant enhancement in infil- and humus buildup after 10 years of tree growth, enhancing
tration rate, escalating from 2.10 to 26.30 mm day-1. More- the soil’s cation exchange capacity through the form of
over, the water holding capacity experienced a remarkable humus as an organic colloid. Under Dalbergia sissoo planta-
increase, reaching up to 64.7% higher than in natural fallow tion, significant improvements were noted in soil properties,
conditions, particularly under P. juliflora tree plantations indicating a notable decrease in pH, electrical conductivity,
(Table 9.10). and exchangeable sodium percentage, alongside increases in
Comparable enhancements were observed in soil organic carbon, nitrogen, and available nutrients (Mishra
parameters within the plantations compared to the natural 2002). Research by Bala et al. (2014) in the Indian desert’s
bare area. These improvements included significant canal command waterlogged area observed higher soil
elevations in soil pH levels, reductions in electrical conduc- organic carbon and electrical conductivity, along with
tivity and substitutable sodium percentage, alongside notable increased nitrate levels in Eucalyptus rudis compared to
increases in organic C content and the presence of nitrogen, Eucalyptus fastigata. Furthermore, in the natural succession
phosphorus, and potassium (Table 9.11). of P. juliflora, T. dioica, and S. munja in response to
9 Forest Soils 185

Table 9.10 Changes in hydraulic and physical properties of alkali soils under 10-year-old plantations
Tree species Bulk density (g cm-3) Soil porosity (%) Water holding capacity (%) Cumulative infiltration rate (mm day-1)
T. arjuna 1.49 ± 0.003 43.51 ± 1.32 41.10 ± 2.32 21.20 ± 3.25
A. indica 1.52 ± 0.002 42.60 ± 1.53 32.40 ± 2.12 21.70 ± 2.20
P. juliflora 1.39 ± 0.001 47.55 ± 1.52 43.20 ± 3.10 26.30 ± 3.12
P. pinnata 1.46 ± 0.003 44.65 ± 0.91 35.60 ± 1.53 24.30 ± 1.10
C. equisetifolia 1.31 ± 0.001 50.35 ± 1.15 38.20 ± 2.10 25.80 ± 2.10
P. alba 1.49 ± 0.010 43.75 ± 1.32 32.30 ± 2.32 20.00 ± 1.52
A. nilotica 1.43 ± 0.005 45.85 ± 1.45 42.20 ± 2.20 21.90 ± 1.40
E. tereticornis 1.44 ± 0.020 45.50 ± 1.50 41.30 ± 1.65 19.70 ± 0.92
P. dulce 1.41 ± 0.004 46.60 ± 1.62 36.20 ± 1.54 23.10 ± 2.12
C. siamea 1.47 ± 0.002 44.55 ± 1.34 36.20 ± 2.10 15.80 ± 3.10
Mean 1.43 ± 0.005 45.49 ± 1.36 37.87 ± 2.09 21.98 ± 2.08
Natural fallow 1.44 ± 0.003 42.05 ± 1.20 26.23 ± 1.63 11.80 ± 1.25
Initial 1.64 ± 0.020 35.50 ± 1.15 3.20 ± 2.450 4.0 ± 0.080
LSD0.05 0.08 2.26 1.23 4.34
Source: Singh et al. (2011)

Table 9.11 Changes in soil chemical properties in alkali soils in 10-year-old plantations
Tree species pH EC2 (dS m-1) ESP OC (%) N (kg ha-1) P (kg ha-1) K (kg ha-1) Na+ (c mol kg-1) Ca++ (c mol kg-1)
T. arjuna 9.80 0.39 55 0.35 122.6 62.5 509.2 1.55 11.3
A. indica 9.80 0.33 51 0.27 114.3 36.4 432.5 1.44 12.4
P. juliflora 9.50 0.30 46 0.43 138.5 76.3 610.4 1.10 14.2
P. pinnata 9.70 0.61 49 0.40 120.0 58.2 512.5 1.35 11.2
C. equisetifolia 10.0 0.68 66 0.36 131.4 64.3 540.3 1.21 10.3
P. alba 9.80 0.63 59 0.33 126.4 56.4 473.5 1.32 11.2
A. nilotica 9.70 0.77 51 0.35 126.3 62.6 522.4 1.42 10.2
E. tereticornis 9.80 0.86 57 0.24 106.5 36.4 410.4 1.50 8.65
P. dulce 9.90 0.70 60 0.27 121.5 56.2 482.5 1.48 9.52
C. siamea 10.0 0.69 66 0.26 116.1 41.5 416.5 1.46 8.63
Natural fallow 10.3 1.24 81 0.12 96.20 26.5 392.4 1.55 7.53
Initial 10.5 1.43 89 0.08 94.00 19.5 388.0 12.7 5.32
Source: Singh et al. (2011)

groundwater table recession, these species significantly rise of saline water through capillary action to the soil sur-
contributed to further lowering the groundwater table and face. Deep-rooted trees aid in mitigating salinity. Their robust
increasing productivity. Generally, forests have important root systems penetrate the soil, enhancing water permeability
turn in reclaiming problematic soils by enhancing their phys- and facilitating salt leaching. Fine roots has a significant turn
ical and chemical properties. While fruit species are typically in rehabilitating soil structure, pH balance, and water perme-
sensitive to salt stress, certain species such as Z. mauritiana, ability. Roots of plant exude various compounds into the
Punica granatum, Syzygium cumini, Emblica officinalis, and rhizosphere-amino acids, sugars, phenolics, and organic
Tamarindus indica demonstrated better performance in saline acids—essential for neutralizing salt in saline soils. Organic
soils (Behera et al. 2015). acids from decomposed leaf litter react with soil calcium
In saline soils, plants and crops employ three primary carbonate, releasing calcium to replace sodium in the soil’s
mechanisms for salt tolerance: salt exclusion, salt excretion, exchange complex. As trees mature, the decomposition of
and salt accumulation (Fig. 9.6). These mechanisms allow abundant litter generates weak acids, like humic and fumic
plants to endure saline conditions and contribute to soil acids, which lower soil pH and electrical conductivity (EC).
remediation. Transpiration have major play in limiting salt Trees also act as bio-drains, extracting sodium through
accumulation on the soil surface. By drawing soil moisture their root systems. The roots produce carbonic acid,
from lower layers, it maintains higher salt concentration solubilizing native CaCO3 in these soils, leads to a decrease
beneath the surface and reduces it on the topsoil. Further- in substitutable Na content. Additionally, tree roots break
more, tree canopies provide shade, slowing soil water evapo- through clay barriers, loosening subsoil, enhancing perme-
ration and decreasing upward water flux containing capillary ability, and aiding in downward sodium translocation. This
186 S. K. Gupta et al.

Fig. 9.6 Salt movement in soil

and plant system in saline
ecology. Source: Banyal et al.
(2017)

process substantially enhances the physical attributes such as improvement of “O” horizon above the mineral soil surface.
bulk density, porosity, soil moisture retention, and infiltration The extent of the “O” horizon is entirely contingent on the
rates (Singh and Dagar 2005). forest vegetation type, rendering the physical, chemical, and
biological attributes of forest soils distinctive. Further, the
nutrient cycling process is holistic in that only a meager
9.8 Conclusion quantity of nutrients gets leached from the system, that is,
efficient nutrient cycling process occurs in the forest ecosys-
Understanding the soil is necessary for foresters to be suc- tem. Soil quality acts as an indirect gauge of forest produc-
cessful in their forestry operations. More specifically, life tivity, typically assessed through methods like site index. In
depends upon the soil. However, anthropogenic factors the realm of climate change, direct soil impacts encompass
including agricultural activities have changed the soil struc- heightened temperatures, increased atmospheric CO2 levels,
ture and its interactions. Therefore, there is demand for altered precipitation patterns, and more often climatic hazards
exclusive research on forest soils as it differs from agricul- like heat waves, droughts, storms, and frosts. Moreover, the
tural soils per se. Forest soils are unique because the occur- indirect effects involve heightened cropping intensity due to
rence of tree species is regulated by the soil type and its amplified occurrences of pests and diseases. Carbon stored in
properties and also, the tree species impact soil formation forest soils is more stable compared to other land use owing
and its characteristics. Hence, understanding forest soils to the slow decomposition and weathering process. Another
involves more than just considering productivity; it important aspect of linkage between forest and soils is in the
encompasses soil development. The forest floor, consisting reclamation process of degraded and wastelands through
of organic debris, forms a crucial part of a forest, often afforestation or agroforestry activity. The exceptional adapt-
holding a substantial portion of its organic matter and ability of trees to thrive in adverse environmental and soil
nutrients both in quantity and composition. Fundamentally, conditions underscores the pivotal role of forestry and agro-
the “O” horizon of forest soils makes the difference. Unlike forestry in productive applications that integrate ecological
agricultural soils, vegetation is present continuously with restoration and soil conservation.
minimal disturbance in a forested landscape allowing the
9 Forest Soils 187

Lessons Learnt Banyal, R., Bhardwaj, A.K., Singh, R.K., Gajender, KM, Aslam P,
• Overview of soil and unique features of forest soils. Jagdish C, Bhatia VK (2019) Impact of Eucalyptus plantations on
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• Basics of forest soil-forming process and characteristics. Report, ICAR-CSSRI, Karnal, Haryana, p 84
• Physical and chemical properties including the organic Basu JP (2014) Agroforestry, climate change mitigation and livelihood
layer of forest soils. security in India. New Zealand J For Sci 44(Suppl. 1):1–10
• Soil biology and its biological properties. Behera L, Nayak MR, Dhiraji Patel D, Abhishek Mehta A, Sinha SK,
Gunaga R (2015) Agroforestry practices for physiological ameliora-
• Stand management practices and their relation to soil tion of salt affected soils. J Plant Stress Physiol 1(1):13–18
properties. Berg B, Staaf H (1981) Leaching accumulation and release of nitrogen
• Implications of change of climate on forest soils. in decomposing forest litter. In: Clark FE, Rosswall T (eds) Terres-
• Problematic soils and their reclamation. trial nitrogen cycles: processes, ecosystem strategies, and manage-
ment impacts. Ecological Bulletins, Stockholm, pp 163–178
Bhatt H, Husain M, Rathore JP, Sah VK (2017) Bioremediation of
Key Questions problematic soils through agroforestry practices. J Pharmacogn
1. Process of eluviating iron and aluminum oxides, humus, Phytochem 6(5):2044–2048
and carbonates from the upper horizons and their accumu- Bhojvaid PP, Timmer VR (1998) Soil dynamics in an age sequence of
Prosopis juliflora planted for sodic soil restoration in India. For Ecol
lation in subsurface horizons is called as. Manag 106(2–3):181–193
(a) Lateralization; (b) Podsolization; (c) Decalcification; Binkley D, Fisher RF (2013) Ecology and management of forest soils,
(d) Calcification 5th edn. Wiley-Blackwell, Wiley Online Library
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3. The intricate mixture of amorphous humus and mineral CB et al (2014) Integrating stand and soil properties to understand
soil is called ___________. foliar nutrient dynamics during forest succession following slash-
4. Tardigrades, mites, microarthropods, and enchytraeids are and-burn agriculture in the Bolivian Amazon. PLoS One 9(2):
e86042. https://doi.org/10.1371/journal.pone.0086042
________. Cheng WX, Johnson DW (1998) Elevated CO2, rhizosphere processes
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in the ______stages of succession. Chertov OG, Nadporozhskaya MA (2018) Humus forms in forest soils:
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 Forest Hydrology and Watershed Management:
Current Perspectives 10
S. Shoba, D. Ravikumar, G. M. Devagiri, and Rajashekhar D. Barker

Abstract various environmental, physiological, and physical drivers

The forests comprise 26% of the world’s land surface area, is crucial for sustainable management of forested
encompassing distinct biotic communities which harbor watersheds.
rich biodiversity and provide diverse ecosystem services. This chapter presents the basic concepts of hydrology
The interaction between forest, water, and soil is multidi- and watershed management. The fundamental properties
mensional as forests provide canopy surfaces to intercept and principles of water energy relationships on earth are
precipitation and allow evaporation back into the atmo- presented which will serve as a basis for understanding the
sphere. The mechanism of regulating the quantum of hydrological processes such as circulation, water form
water reaching the forest floor as through fall and pull transformations, and flow processes that occur in
water from the soil for transpiration is the very basis of watersheds. The subsequent sections deal with hydrologi-
forest hydrology. The hydrological processes in forested cal components, hydrographs, soil erosion, soil loss mea-
watersheds are influenced by various environmental, and surement, watershed delineation using geospatial
physiological factors such as precipitation, radiation, tem- technology, and watershed management.
perature, species type, leaf area, and extent and structure of
forest ecosystems. Of late, the forest watersheds have been Keywords
affected globally by anthropogenic activities such as forest Forest hydrology · Hydrological cycle · Hydrograph ·
harvesting, and conversion of forested landscapes for Watershed · Watershed management
plantations and urbanization. As a result, hydrological pro-
cesses in forested watersheds have been altered and these
changes are expected to accelerate due to climate change 10.1 Introduction
phenomena. Hence, understanding the interaction of
Water is a valuable natural resource to sustain life on earth.
S. Shoba (✉) Although water covers 70% of the surface of the earth, there
DSLD CHEFT, Devihosur, University of Horticultural Sciences,
is an uneven distribution of water which leads to conflict for
Bagalkot, Karnataka, India
e-mail: shobha.s@uhsbagalkot.edu.in its access. The global hydrological cycle amounts to
42,000 km2/year of renewable water resources. Around
D. Ravikumar
DSLD CHEFT, Devihosur, University of Horticultural Sciences, 70.8% of earth’s surface water is saline which amounts to
Bagalkot, Karnataka, India 97.4% of the total water present on earth and the remaining
KVK, Hiriyur, KSNUAHS, Shivamogga, India 2.6% is freshwater. Out of the total freshwater available,
about 77.23% is locked in the polar regions as icecaps and
G. M. Devagiri
DSLD CHEFT, Devihosur, University of Horticultural Sciences, glaciers, 22.2% as underground aquifers, and 0.36% in rivers
Bagalkot, Karnataka, India and lakes (Baumgartner and Reichel 1975)
College of Forestry, Ponnampet, KSNUAHS, Shivamogga, India
R. D. Barker
DSLD CHEFT, Devihosur, University of Horticultural Sciences, 10.1.1 Water Issues
Bagalkot, Karnataka, India
Department of Agricultural Engineering, Hiriyur, KSNUAHS, The internal renewable water resources (IRWRs) from rivers
Shivamogga, India and aquifers are currently depleting; the world water budget

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 191
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_10
192 S. Shoba et al.

Fig. 10.1 Level of water stress of all sectors by major basin (Source: FAO & UN-Water 2021)

is currently under strain, amounting to 44,000 km3/year, and We are concerned about water and forests not only as raw
withdrawals (all sectors) are 4000 km3/year, which is 10% of materials required by cultures and industries but also as key
the IRWRs (www.fao.org). The local impacts of physical factors in the environment. Water and forests are not two
water scarcity and freshwater pollution are spreading and independent natural resources; a close linkage exists between
accelerating. In many cases, the first sign of scarcity from them. Consequently, the study of the interface between these
increased withdrawals is falling groundwater levels as shown two resources, called forest hydrology, has become an impor-
in Fig. 10.1. tant field. It provides basic knowledge and foundations for
The average withdrawal rate of more than 20% of renew- watershed management—a discipline and skill for
able water resources is thought to stressed upon water maintaining land productivity and protecting water resources.
resources in terms of physical water scarcity, with more Forest distributions enhance the forest–water relation sig-
than 40% considered “critical.” Countries are already reced- nificantly. Forests usually grow and develop in areas with
ing beyond crucial thresholds in some regions, most notably annual precipitation of 500 mm or higher. These are also the
the Middle East, Northern Africa, and Central Asia. The way areas suitable for certain agricultural activities. Approximately
these pressures impact ecological systems is becoming more 30% of the area is covered by forests, while 60% of the runoff
and more apparent. According to current estimates, almost is produced by this 30% of forested land (Chang 2012). This
40% of rural populations worldwide reside in river basins means that much of the water that we use for drinking comes
with limited water supplies. from forests. Any anthropogenic activity, development, and
Water and forests both cover large portions of the earth utilization of forested areas will inevitably destroy forest
and both are crucial to lives and the environment. The canopies and disturb forest floors to a certain degree. These
demands of a growing global population are mirrored in the actions may affect water quantity through their impacts on
degree of natural resource utilization. Therefore, the loss of transpiration and canopy interception losses, infiltration rate,
forests and increasing human use of water are two important water-holding capacity, and overland flow velocity.
concerns in natural resources management (Cohen 2008). Water quality is impacted by several factors, including the
Certainly, the most crucial problems facing the twenty-first loss of root system’s capacity to bind the soil, increased
century are associated with water and forests. overland flow, accelerated decomposition of organic
10 Forest Hydrology and Watershed Management: Current Perspectives 193

materials, and direct raindrop impacts on mineral soils. All Based on the land use conditions, hydrology can be clas-
these factors may result in accelerating soil erosion and sified as rangeland hydrology, agricultural hydrology, forest
nutrient losses. All forests should be managed with their hydrology, urban hydrology, wetland hydrology, and desert
impacts on water resources in mind so that water resources hydrology.
can be properly protected and utilized. The proper scientific Forest hydrology is the study of hydrology in forest. It
management of soil and water is of utmost importance to deals with forest in relation to all phases of water and the
avoid the environmental and economic implication of soil influence of forest management on the hydrological pro-
degradation, afforestation, groundwater depletion, and cli- cesses, soil erosion, sedimentation, nutrient losses, floods,
mate change catastrophes. Thus, a basic understanding of and drought. Hydrological cycle has profound influence on
hydrology is crucial for the effective management of forest geography, economics, sociology, agriculture, forestry, and
watersheds. politics. A scientific perspective and knowledge of forest
hydrology are imperative for managing water resources in
forest watersheds, designing, and running projects involving
10.1.2 Hydrology hydropower, irrigation, drainage, flood control, navigation,
coastal works, salinity control, and recreational water use.
The study of occurrence, circulation, and distribution of
earth’s water, its chemical and physical properties and
interactions with the environment is known as hydrology. 10.1.3 Hydrologic Cycle
Hydrology is an interdisciplinary field since it includes
aspects of meteorology, geology, statistics, chemistry, phys- Water is found in the atmosphere as clouds or vapor, and on
ics, and fluid mechanics. The following is the broad classifi- earth’s surface as ice, snow, or water in lakes, streams, and
cation of hydrology. seas. It exists as groundwater and soil moisture below the
surface. Except for deep groundwater, the whole earth’s
(a) Scientific hydrology: It is concerned with the scholarly water supply is constantly moving due to various natural
elements of hydrology. processes. The hydrological cycle is the movement of water
(b) Applied/engineering hydrology: Applied/engineering across the surface or below the earth from the ocean and land
hydrology deals with application aspects of hydrology surface to the air, and from the air to the land and back to the
such as water resources estimation, study of hydrological oceans as shown in Fig. 10.2.
processes and their interactions and, water issues such as The water present in the oceans evaporate due to the solar
floods/drought and its combating strategies. radiation. The clouds are formed due to the evaporation of

Fig. 10.2 Schematic diagram of

the hydrologic cycle
194 S. Shoba et al.

Table 10.1 Annual water balance of earth calculated by different 10.1.4.1 Precipitation
investigators The term precipitation refers to all forms of water derived from
Land Ocean Globe Reference atmospheric vapor and deposited on the earth’s surface. Water
Pt V RO Pt V RO Pt = V vapor in the atmosphere condenses to produce precipitation.
800 485 315 1270 1400 130 1130 Korzoun (1978) Precipitation occurs in different forms, including rain, snow,
hail, frost, and dew. Rain and snow are two of the main types
water from the oceans. A portion of the clouds is forced onto of precipitation that contribute significantly to water content.
the land by winds, while the majority of the clouds condense However, the vegetation canopies prevent some portion of the
and return to the oceans as rain. The clouds that are driven to rain and snow from reaching the earth’s surface. The occur-
the land surface, condense, and precipitate as rain, sleet, hail, rence of rainfall necessitates a few fundamental requirements
and so on onto the land mass. Even while it falls, some of the such as the presence of moisture in the atmosphere and an
precipitation may evaporate and return to the atmosphere. A adequate number of nuclei to facilitate the condensation of
certain portion of precipitation may descend to the ground water vapor into droplets smaller than 0.1 mm. Because the
surface after interception by plants, buildings, and other winds help the clouds move, they are crucial to the precipita-
obstructions. A percentage of the water that falls on land tion process. When the water droplets combine to produce
infiltrates the earth’s surface, increasing the soil’s moisture larger drops, precipitation happens. Once the precipitation
content and reaching the groundwater body. Through tran- reaches the ground, it can move as surface runoff and a part
spiration, vegetation returns a fraction of the water from the may enter the soil as subsurface runoff or base flow. Some part
subsurface to the atmosphere. After fulfilling the of precipitation may again be lost to the atmosphere as evapo-
requirements for infiltration and evaporation, precipitation ration, transpiration or evapotranspiration.
reaches the ground’s surface, travels along the natural Rain: It is the most prevalent type of precipitation, with
slope, passes through a system of gullies, streams, and rivers, water droplets typically larger than 0.5 mm in diameter and
and eventually reaches the ocean. After spending a significant its maximum size is about 6 mm. Any drop that is bigger than
amount of time below the surface, groundwater can emerge this usually fragments into tiny drops as it descends from the
through springs and other outlets. Runoff is the part of clouds. The various type of rainfall categorized based on
precipitation that travels in different directions both above intensity of rainfall are fog, mist, drizzle, light rain, moderate
and below the earth’s surface before it enters a stream chan- rain, heavy rain, excessive rain, and cloud burst (Humphreys
nel. Runoff turns into stream flow after it gets into a stream 1940)
channel. The canopies in the forest intercept the precipitation and
The law of conservation is applicable to the hydrological act as a barrier for the precipitation to reaches the ground.
system, as there exists a balance between the input and output Some portion of the intercepted precipitation reaches the
components of a watershed system. The average annual ground through stems and some portion drips intercepted
balances of precipitation, Pt, vaporization, V and runoff, RO precipitation to reach the ground through the foliage,
for land, ocean, and the globe is given in Table 10.1. It may be branches, or canopy openings. In forest watersheds, approxi-
observed from Table 10.1 that for land the overall precipitation mately 10–25% of annual precipitation is lost due to canopy
is greater than vaporization (V) and the difference appears as interception depending upon evaporation potential, rainfall
runoff to supplement the vaporization required in the ocean. characteristics and vegetation. However, litter interception is
much smaller than canopy interception. The amount of litter
10.1.3.1 Energy Balance interception largely depends upon the thickness of litter,
The sun is the ultimate source of energy for the occurrence of water-holding capacity, the frequency of wetting and evapo-
the hydrological cycle, and the total amount of water avail- ration rate. Generally, about 1–15% of annual precipitation
able on earth is constant. The hydrological cycle requires and <50 mm/year are lost to litter interception (Helvey and
energy in the form of solar radiation to change the state of Patric 1965).
water in the atmosphere and on earth. The average net radia- Rainfall Measurement: Understanding the process for
tion absorbed by the planet is 79 kcal/cm2/year, and 84.5% of gathering and evaluating rainfall data is essential. Rainfall
that energy is lost through evaporation. depth, measured in centimeters or millimeters, is a measure of
the amount of rainfall falling on a level surface. The rain
gauges are used to measure rainfall.
10.1.4 Components of the Hydrologic Cycle

The essential components of the hydrological cycle are

described hereunder:
10 Forest Hydrology and Watershed Management: Current Perspectives 195

10.1.5 General Guidelines for the Location funnel. At a height of about 30.5 cm above the ground, the
of Rain Gauges collector's rim is positioned in a horizontal plane. The
rainfall is discharged from the funnel into a receiving
Improper installation of the rain gauges may cause errors in vessel. The receiving vessel and funnel are stored in a
the rainfall data. While locating the rain gauges, the funda- metal container. Using a properly graduated measuring
mental guidelines need to be considered: glass, the amount of water in the receiving vessel is
determined with an accuracy of up to 0.1 mm.
1. The opening of the rain gauge must be at least 75 cm 2. Recording rain gauge
above the ground surface. When rain gauges are recorded, a continuous plot of
2. The rain gauge should be placed in an open area free from precipitation versus time is created, which provides valu-
obstructions. able data for hydrological storm analysis as it provides
3. The rain gauge should be installed away from any nearby details on the amount and duration of rainfall. The follow-
trees or buildings and conveniently as twice as the height ing are some of the commonly used recording type rain
of obstruction. gauges.
4. The rain gauge should be placed on level ground and 1. Tipping- bucket type
uneven terrain should be avoided. 2. Weighing-bucket type
3. Natural siphon type
The vertical depth of water that would accumulate in the
rain gauge while on a level surface without any losses due to
evaporation, infiltration, or seepage is considered as rainfall. 10.1.6 Natural Siphon Type
Installing rain gauges in strategic places allows one to mea-
sure the amount of rainfall. Rain gauges can be categorized as The natural siphon type rain gauge also called as “float-type
non-recording and recording. gauge" is used to measure the intensity, frequency, duration,
and amount that affect the amount and rate of runoff. The
1. Non-recording rain gauge: The Symons’ gauge as natural siphon type rain gauge is shown in Fig. 10.4.
shown in Fig. 10.3 is the most prominent type of The Natural Siphon type rain gauge is made up of a
non-recording rain gauge that is widely used in India. It galvanized iron cylinder measuring 22.5 cm in diameter and
is a 12.7 cm diameter circular collecting area attached to a 60 cm height, funnel top. The funnel’s opening connects into
a circular brass inner tube. The cylinder collects the water that
falls from the tube. A graph of rainfall against time is
recorded on a record sheet using a pen and is carried by a
clock-driven drum as part of the recording gear. The record-
ing pen is secured to a rod that is attached to the inner
cylinder’s float. The float rises in tandem with the inking

Fig. 10.3 Non-recording rain gauge (Symons’ gauge) Fig. 10.4 Natural siphon type rain gauge
196 S. Shoba et al.

pen, which captures the features of the storm, while water connected by means of straight lines as shown in
builds up in the cylinder. As soon as the cylinder is full, the Fig. 10.5. The perpendicular bisectors are
inner cylinder and siphon tube are connected, the water in the constructed on each of the lines. Such that each of
cylinder is completely drained, and the float and inking pen the rain gauge station is enclosed in a certain area.
return to their zero positions. Data from rain gauges is easier For example, station C is enclosed by the polygon
to analyze and comprehend when presented graphically. O1.O2, O7, O8.
Analysis of rainfall data: The rainfall data that a rain
gauge station gathers is useful for various applications. The
analysis of rainfall can be undertaken as follows. If P1 P2 P3. . . are amount of rainfall recorded in each
station; A1, A2, A3... are the area of the polygons enclosing
1. Mean annual rainfall them. Then average rainfall P over the given area A is as
The average annual rainfall is recorded by using a rain given below
gauge over a period of consecutive years. Mean monthly
or mean weekly rainfalls can similarly be calculated. P1 A1 þ P2 A2 þ P3 A3 þ : . . . . . .
P=
2. Rainfall intensity A1 þ A2 þ A3 þ : . . . . . .
The depth of rainfall received per unit time as expressed in
inches per hour, millimeters per hour, or centimeters per Isohyetal method: A line connecting points of equal
hour is commonly referred as rainfall intensity. If rain rainfall is called as isohyet. The location of the rain gauges
gauges are not recording type, we can obtain only the stations is plotted and the depth of rainfall is recorded at each
daily average rainfall. The automatic rain gauges can station. Isohyets are then drawn by interpolation as shown in
calculate the rainfall intensity. Fig. 10.6.
3. Average depth of rainfall over an area.
The average rainfall depth of an area can be calculated a ðP þP Þ þa ðP þP Þ þ ...:
1 12 2 2 223
using the following three methods. P=
A
(a) Arithmetic mean
(b) Thiessen method where P1, P2.... are the value of isohyets; a1, a2 inter isohyetal
(c) Isohyetal method areas; A is the total area
Arithmetic mean: It is obtained by dividing the total
depth of rainfall recorded at all stations in the loca- 10.1.6.1 Evaporation
tion by the total number of stations. Evaporation is the process where water transforms from a
Thiessen method: The location of the rain gauges is liquid into a vapor state at the free water surface. Both the
plotted on a map of the area and the stations are land surface and water bodies evaporate water during the

Fig. 10.5 Thiessen method O5

A
O4
D
O3
E
O6
O7
O8
O2

O1
10 Forest Hydrology and Watershed Management: Current Perspectives 197

4.5

5.0 4.0 Fig. 10.7 Evaporation pan

10.1.8 Evaporimeter

Evaporimeters are open pans filled with water, allowing the

water’s evaporative loss to be recorded on a regular basis. It
is made up of a shallow pan with water in it that is subject to
Fig. 10.6 Isohyetal method the evaporative effects of the weather. The US Weather
Bureau's Class A Standard Pan is shown in Fig. 10.7. The
hydrologic cycle. Evaporation is a heat and mass transfer Class A Standard Pan has 1.21 m diameter, 25 cm depth, and
process wherein about 585 cal of latent heat of vaporization is placed 15 cm above the ground.
is consumed for evaporating a gram of water. The vapor Evaporimeters are simply open-air pans that hold water,
pressure at the water's surface and in the air above, air and allowing the water’s evaporative loss to be regularly moni-
water temperatures, wind patterns, atmospheric pressure, tored. It consists of a shallow open pan filled with water and
water quality, and the dimensions of the water bodies are exposed to surface evaporation. The industry standard is the
some of the variables that influence the rate of evaporation. Class A Pan from the US Weather Bureau. Its dimensions are
In the case of forest watersheds, which are covered with 1.21 m in diameter, 25 cm in depth, and 15 cm above the
litter floor evaporation occurs from 1% to 2% water surface ground (Fig. 10.7). The readings taken from the pan (Epan)
of the watershed. A portion of the rainfall that is intercepted need to be multiplied by a “Pan Coefficient” (Kpan) to obtain
by obstructions evaporates as water vapor and reaches back ETo.
into the atmosphere.
Thus : ETo = Epan × K pan

10.1.7 Estimation of Evaporation Kpan ranges from 0.35 to 0.85 for the Class A evaporation
pan, with an average of 0.70. An estimate can be made using
The estimation of amount of water that has evaporated from the average value of 0.70 if the exact pan factor is unknown.
the surface of water can be estimated using evaporimeters
and analytical methods. The following formula can be used to 10.1.8.1 Infiltration
determine the rate of evaporation. The movement of water from the soil’s surface and
penetrating downwards into the soil profile is known as
- ρs - ρa infiltration. The term “infiltration rate,” which is typically
E ðg=sq:cm=sÞ =
ra expressed as cm/h, refers to the speed at which water is
permeating the soil's surface at any moment of time. Infiltra-
where,
tion capacity is the highest rate of water absorption by soil at
any instant of time. The rate of infiltration is high in the
ρs - ρa is the vapor pressure gradient (g/cm3)
beginning, but it gradually decreases as water slowly seeps
ra is aerial resistance to vapor diffusion (s/cm)
into the soil pores until it reaches a constant value at which
the rate of infiltration equals the rate at which water is
removed from the soil profile by gravity. The nearly constant
rate attained after elapse of some time since the start of the
198 S. Shoba et al.

precipitation is known as basic infiltration rate. The entire

amount of water that percolates into the soil over a given
amount of time is known as cumulative infiltration, also
referred to as accumulated infiltration. The infiltration rate
and the accumulated infiltration are the two aspects that are
commonly used to evaluate the infiltration properties of soil.
The cumulative infiltration and elapsed time are typically
described by the following equation.

y = at α þ b

where y = accumulated infiltration, cm; t = elapsed time in

min; a, b and α = characteristic constants.

10.1.9 Factors Affecting Infiltration

The initial moisture content, soil surface condition, soil tex-

ture, structure, porosity, tillage, hydraulic conductivity of the Fig. 10.8 Double ring infiltrometer
soil profile, degree of soil swelling, organic matter, vegeta-
tive cover, length of irrigation or rainfall, etc. are the main 10.1.10.1 Transpiration
factors that affect infiltration. Heavy-textured soils often have Transpiration is a process of transferring water from the soil
lower infiltration rates than light-textured soils. Grassland has into the atmosphere in the form of water vapor by living
higher infiltration rates than bare, uncultivated soil. The rate plants. A substantial amount of the water that plants take up
of penetration is significantly increased by the addition of from the soil is lost through transpiration, and only a small
organic waste. percentage of 1% is retained by the plants for growth and
development.

10.1.10 Measurement of Infiltration 10.1.10.2 Runoff

Runoff is that portion of rainfall that flows as surface or
The following are the three commonly used methods for subsurface runoff toward streams, lakes, or oceans. Only
estimating infiltration in soil: that water which enters the stream without seeping into the
earth is considered as surface runoff. But when the word
(a) Infiltrometer method “runoff” is used in isolation, it usually refers to surface
(b) Measurement of subsidence of free water in a large runoff. Surface and subsurface flows fall under the category
basin of stream flow.
(c) Estimation of accumulated infiltration from the water Rainfall is a major contributor for the generation of runoff.
front advance data. Interception is the portion of rainfall that is blocked from
reaching the ground surface by obstructions such as trees,
The measurement of infiltration using a double ring structures, and other objects. Depression storage (original
infiltrometer is shown in Fig. 10.8. The cylinders are made detention) is that portion of rainfall that is held in surface
of 2 mm rolled steel and are typically about 25 cm deep. The depressions and eventually penetrates the soil or evaporates
inner cylinder, which is used to quantify infiltration, has a back to the atmosphere. The excess rainfall after satisfying
diameter of 30 cm and the outer cylinder is 60 cm in diameter these losses tends to travel across the land surface and drains
which acts as a buffer pond. The cylinders are buried in the into a channel or stream is referred to as “runoff.” The various
ground at a depth of roughly 10 cm. Every experiment is runoff pathways are depicted in Fig. 10.9. When rainfall
conducted with the cylinders installed at the same depth. intensity is less than soil infiltration capacity, rainwater is
The infiltration process is greatly impacted by the type, absorbed into the soil. When rain continues to saturate the
texture, structure, permeability, and land use of the soil. soil, the infiltration capacity reduces thereby signaling the
Forest soils will have higher infiltration capacity as compared beginning of an overflow. The length and depth of overland
to similar soil types in urban watersheds. flows are usually small. The overland flow continues to
10 Forest Hydrology and Watershed Management: Current Perspectives 199

Fig. 10.9 Different routes of Precipitation

runoff

Evapotranspiration
Influent flow
Overland flow Effluent
Through flow
stream
To ground water
Evaporation

Water table

Base flow
Ground water

Confining layer

merge into bigger streams from smaller channel flows until it A. Climate factors
reaches the catchment outlet. The climatic factors influencing runoff are discussed
Interflow, through flow, storm seepage, subsurface flow, below.
or quick return flow are terms used to describe a fraction of 1. Types of precipitation
rainwater that returns to the surface after infiltrating and The type of precipitation has a profound influence on
moving laterally through upper layers of the subsurface. the runoff. The precipitation occurring in the form of
The catchment's geological conditions determine how much rainfall will immediately tend to start as surface runoff
interflow occurs. A considerable amount of the filtered water based on the rainfall intensity while the precipitation
also passes through deep percolation to reach the groundwa- received as snow will not result in surface runoff.
ter table. The groundwater takes a complex and long course, 2. Rainfall intensity
eventually reaching the surface. The time lag between the The infiltration rate of soil is dependent upon the
entry of subsurface runoff into soil and the outflow from it is rainfall intensity. If the rainfall intensity is more than
very large, may be months and years. This part of runoff is the infiltration rate of soil, then runoff will be initiated
called groundwater runoff or groundwater flow. with the onset of rainfall. In contrast, runoff begins
The time delay between the onset of rainfall and runoff is later when rainfall is not as intense. High rainfall
used to categorize the runoff as follows. intensities hence result in increased runoff.
3. Duration of rainfall
1. Direct runoff: It is that part of the runoff which enters the The rate of infiltration decreases with the length of
stream immediately after the rainfall. Direct runoff rainfall. The duration of rainfall is directly correlated
includes surface runoff, prompt interflow, and rainfall on with the volume of runoff. Therefore, if the duration of
the surface of the stream itself. the rainfall is prolonged, medium intensity rainfall
2. Base flow: The delayed flow that reaches a stream essen- even produces a significant amount of runoff.
tially as groundwater flow is called base flow. Many times, 4. Rainfall distribution
delayed interflow is also included under this category. Runoff from a watershed depends on rainfall distribu-
tion pattern. It is also expressed as “distribution coef-
ficient” and defined as average ratio of maximum
10.1.11 Factors Affecting Runoff rainfall at a point to the average rainfall of watershed.
5. The prevailing wind’s direction
The following two elements have the most impact on an Peak low occurs when the drainage system and the
area's runoff volume and rate: predominant wind are pointing in the same direction.
A. Climatic factors. When a storm moves toward the stream's slope, it
B. Physiographical factors. produces a higher peak faster than when it moves the
other way.
200 S. Shoba et al.

6. Other climate factors from a sloping watershed is produced by increased runoff

The water losses from the watershed area are velocity, and vice versa.
influenced by additional variables including tempera-
ture, wind speed, relative humidity, yearly rainfall, etc. 10.1.12.2 Aspect
B. Physiographic factors The compass direction that the land surface faces is termed
It encompasses the following features of channels and aspect or orientation. The aspect can be important where
watersheds: there is only one major slope face. On large areas, there are
a multitude of aspects and the average tends to balance out to
1. Size of watershed no specific direction. The aspect affects soil water content,
In comparison to smaller watersheds, larger vegetation, and is also important for soil freezing. In the
watersheds require more time to drain their runoff to northern hemisphere, north-facing slopes receive less solar
the outlet. energy, soil freezes to greater depth, and the period of frost is
2. Shape of watershed longer.
The shape of the watershed has a significant impact on
runoff. Circular or fan-shaped watersheds have high 10.1.12.3 Land Use
rates of runoff when compared to other shapes because Compared to unprotected land surface, the vegetative cover
runoff from different points in the watershed is more of watersheds is likely to reduce storm runoff when soil water
likely to reach the outlet at similar times. High rates of is significantly less than saturation. Vegetation improves the
runoff on small catchments of this shape are short- soil structure and depletes soil water, thus causing more
lived. For long, narrow (elongated) watersheds, infiltration and less surface runoff. Trees and deep-rooted
tributaries join the main stream at intervals along its crops usually consume more soil water by ET than shallow-
length. High flow rates from the downstream rooted crops, especially in dry periods, and consequently
tributaries pass the gage before high flows from the their watersheds have less runoff. Bare soil surfaces where
upper tributaries arrive. Peak flow at the gage is less infiltration rates diminish rapidly have more surface runoff.
than for a fan-shaped catchment but persists for a This is because bare soils tend to have poor structure and are
longer time. less permeable. Even in permeable soils such as sand, a
3. Soil type common problem known as surface sealing often occurs
The infiltration rate varies with type of soil. Geology is shortly after rainfall begins. Surface sealing can be due to
significant for the formation of soil and physical both physical and chemical processes. For example, in an
characteristics of watersheds and the establishment of experiment with a sandstone spoil material from a surface
surface and subsurface flow systems of the hydrologic mine, chemical bonding of particles occurred shortly after
cycle. Geological features (type of rock formations, rainfall. This results in the formation of a very thin, almost
faults, etc.) and processes (such as the movement of impervious layer at the surface. A seal due to physical pro-
glaciers more than 10,000 years ago) have helped cesses occurs when fine soil particles are washed into larger
to define the surface divide or ridge between surface cracks and pores. Soil and water conservation tillage
watersheds, establish and control stream channel practices that maintain high rates of infiltration could reduce
gradients, and the subsurface boundaries which control surface runoff and those that reduce soil water evaporation
the movement of groundwater to surface streams. could increase subsurface runoff. The effect of these practices
Groundwater flow boundaries do not always coincide on runoff depends somewhat on the soil water balance (the
with watershed divides and are more difficult to define. availability of excess soil water for surface or gravity flow).

10.1.12.4 Drainage Density

The ratio of the channel length to the entire watershed area is
10.1.12 Topographic characteristics known as the watershed's drainage density. If the drainage
density of a watershed is higher, then more runoff will be
It includes those topographic features which affect the runoff generated.
such as slope, aspect, and land use.

10.1.12.1 Slope 10.1.13 Methods for Estimation of Runoff

Greater runoff occurs on undulating terrain than on level
terrain because the slope gives runoff water more energy Peak runoff rate: It is the maximum rate of runoff per unit
(velocity) and shorter infiltration time. Land slope affects time. Peak runoff rate is essential to design soil and water
the time of concentration and overland flow. More runoff conservation structures.
10 Forest Hydrology and Watershed Management: Current Perspectives 201

The common methods are: 10.1.17 Empirical Formula

1. Rational method (a) Dicken’s formula

2. Curve number method (hydrologic soil cover complex
number method) Q = CA3=4
3. Soil conservation service method
4. Empirical formula: (a) Dicken’s formula, (b) Ryve’s where, Q = Peak runoff, m3/s; A = Area of the water-
formula shed, km2; C is a constant whose value varies widely
between 2.8 and 5.6 for catchments in plains and
1. Rational method: Rational method is used to predict between 14 and 28 for catchments in hills depending
the peak runoff rate (Q). The peak runoff may be calculated upon catchment characteristics. Dicken’s formula is
using the following equation. used for catchments in north and central India. For
catchments in south India, Ryve’s formula is preferred.
CIA (b) Ryve’s formula
Q=
360
Q = CA2=3
where,
Q = Peak runoff rate, m3/s; C = Runoff coefficient; I =
where Q = Peak runoff, m3/s; A = Area of the water-
Rainfall intensity (mm/h) for duration equal to time of con-
shed, km2; C is a constant whose value varies widely
centration and for a given recurrence interval; A = Watershed
between 6.8 (for flat or plain catchments) and 42.4 for
area (ha)
western coast region.

10.1.14 Rainfall Intensity (I)

10.1.18 Runoff Measuring Devices
Rainfall intensity is defined as the rate of fall of precipitation,
There are many devices for measuring water. Some of the
expressed in depth per time (mm/h)
commonly used water measuring devices are listed below.
I = P=T
1. Weirs
2. Parshall flumes
where I = Rainfall intensity, mm/h; P = Amount of rainfall,
3. Orifice
mm; T = Duration of rainfall, h
4. Meter gates
The value of the intensity of rainfall (I) should be calcu-
lated for the period equal to the time of concentration of the
The use of the above-mentioned device depends on the
catchment.
expected flow rates site conditions.

10.1.15 Time of Concentration

10.1.19 Hydrographs
It is the time required for the runoff water to flow from the
A hydrograph is a graphical representation of the instanta-
most remote point of the area to the outlet
neous runoff rate against time as shown in Fig. 10.10. The
area under hydrograph gives the runoff volume. Runoff
t c = 0:02L0:77 S -0:385
hydrographs are useful in designing structural measures and
also to study the hydrologic effect of any catchment.
tc = Time of concentration, min; L = Length of channel
The response of a specific watershed to rainfall is called a
reach, m; S = Average slope of channel reach, m/m
hydrograph. It encompasses the surface runoff, interflow, and
base flow. Identical storm in different catchments produces
dissimilar hydrographs. The intricate relationships between
10.1.16 Runoff Coefficient
different storms and catchments are remarkable. It is theoret-
ically difficult to analyze hydrographs under such situations
Runoff coefficient is the ratio between the peak runoff rate
since there will be several peaked hydrographs. Therefore,
and intensity of rainfall. The values of runoff coefficient
hydrographs obtained from isolated storms are helpful in
depend upon the land slopes and soil type. It ranges from
hydrograph studies.
0.10 to 0.30 for sandy loam, 0.30–0.50 for clay and silt loam,
0.40–0.60 in silty clay in woodland (Subramanya 2008).
202 S. Shoba et al.

Hydrograph components
MA- Base flow recession
P
AB - Rising limb (Concentration
B C
curve)
Discharge , m3/s

BC- Crest segment

CD - Falling limb (Depletion

M curve)
A D DN- Base flow recession
N
P- Peak point of discharge
Time in hrs
B and C - Inflection points
Fig. 10.10 Hydrograph. Hydrograph components: MA—Base flow recession; AB—Rising limb (Concentration curve); BC—Crest segment;
CD—Falling limb (Depletion curve); DN—Base flow recession; P—Peak point of discharge; B and C—Inflection points

10.1.19.1 Factors Affecting Flood Hydrograph in smaller time base. The basin slope is important in
The climatic and physiographic factors affect the shape of the small catchment where the over land flow is relatively
hydrograph. The climatic factors influence the rising limb more important. In such cases, steeper slope of the
and the recession limb is influenced by catchment catchment results in larger peak discharges.
characteristics only. Drainage density: Drainage density is defined as the ratio
of the total channel length to the total drainage area. A
Climatic Factors large drainage density creates situation for quick dis-
1. Storm characteristics posal of runoff down the channel. This fast response
2. Initial losses will lead to pronounced peaked discharge. In basins of
3. Evapotranspiration smaller drainage densities, the overland flow is pre-
dominant and the resulting hydrograph is squat with
Physiographic Factors slowly rising limb as shown in Fig. 10.12.
1. Basin characteristics: Shape, size, slope, elevation, drain-
age density, etc.
2. Infiltration characteristics: Land use and cover, soil type
and geological condition, lakes, swamps, etc. 10.1.20 Soil Erosion
3. Channel characteristics: Cross-section, roughness, and
storage capacity. The top soil is very important for sustaining the growth and
Shape of the basin: The shape of the basin determines the development of vegetation which has profound influence on
time of concentration. Therefore, it affects the peak and human beings and wildlife. When the top layer especially the
the shape of the hydrograph. Fan-shaped catchment top 30 cm is continuously exposed to the action of erosive
gives high peak and narrow hydrographs. Elongated agents such as water and wind, the top soil layer detaches and
catchment gives broad and low peaked hydrograph as moves from one place to another.
shown in Fig. 10.11.
Size: The behavior of small basins is different from large Soil erosion: It is defined as detachment, transportation, and
basins. In small catchments, the overland flow is pre- deposition of soil particles from one place to another place
dominant over channel flow as rainfall intensity plays a under influence of wind, water, or gravity forces. It is a
key role in small catchments. In large channel flow, three-phase phenomenon consisting of the detachment of
phase is predominant. individual soil particles from the soil mass and their trans-
Slope: Large stream slope gives rise to quicker depletion port by erosive agents such as running water and wind
of storage and hence steeper recession limbs and results
10 Forest Hydrology and Watershed Management: Current Perspectives 203

Discharge,
Discharge,

Discharge
Time, hr Time, hr
Time, hr

Fig. 10.11 Shape of the basin

Fig. 10.12 Shape of the basin B

A

A High density
Discharge

B Low density

Time

when energy to transport the particles is not available then wind, gravity, and glaciers. The rate of geological erosion
third phase called deposition take place. is slower as the soil loss is compensated by soil formation
Erosivity: Erosivity can be defined as the potential ability of by natural weathering process. The vegetative cover like
the rain to cause erosion. It is a function of the physical grasses, shrubs, tree canopy, and forest floor retards the
characteristics of the rainfall. transportation of soil material and control soil erosion.
Erodibility: Erodibility is defined as the susceptibility (vul- Even under the presence of vegetative cover, the occur-
nerability) of the soil to erosion. It is a function of both the rence of some certain amount of geological erosion is
physical characteristics of the soil and the land manage- inevitable.
ment practices. 2. Accelerated erosion: When land is put under cultivation,
natural equilibrium between soil formation and removal is
Soil erosion may be broadly classified into two groups: disturbed. The removal of surface soil takes place at a
much faster rate than it can be built up by the soil forming
1. Geological erosion process. This is known as accelerated erosion or abnormal
2. Accelerated erosion erosion and it is due to artificial causes. The rate of
accelerated erosion is higher than the geological erosion.
Accelerated erosion is one of the major reason for deple-
1. Geological erosion: It is also called as natural or normal tion of soil fertility in agricultural lands.
erosion. This process occurs due to the action of water,
204 S. Shoba et al.

Depending upon the erosive agents, erosion is classified as and concentration of the overland flow increase, it
follows. tends to form rills and then gullies. When this point is
reached, the flowing water is not only transporting
1. Water erosion soil but is actually picking up added soil from the
(a) Raindrop erosion gullies. A good portion of the soil which is picked up
(b) Sheet erosion in this manner is moved along the bottom of the
(c) Rill erosion stream as bed load. The droplet size and its velocity
(d) Gully erosion largely influence the raindrop/splash erosion as large
(e) Stream bank erosion drops may increase the sediment carrying capacity by
(f) Slip erosion 12-fold.
2. Wind erosion and (b) Sheet erosion
3. Sea side or coastal erosion A thin film of soil layer is detached and transported
by the rainwater flowing on the land surface. This
type of erosion is known as sheet erosion. Sheet
10.1.21 Types of Water Erosion and Their Effects erosion may not be evident significantly, but land
subjected to sheet erosion loses a thin layer of top
1. Water erosion: Water erosion is the process by which soil fertile soil every year.
is removed from the exposed land surface by the force of Sheet erosion is the removal of uniform layer of soil
rain drops and flowing water, including runoff from pre- from the land surface by the action of rainfall and
cipitation, melted ice, and snow. The different stages of runoff. In sheet erosion, soil is removed from the
water erosion are listed below. surface in a thin layer or sheet of relatively uniform
(a) Raindrop erosion/Splash erosion thickness. This type of erosion, though extremely
Raindrops falling on land surface cause detachment harmful to the land, is usually so slow that the
of soil particles and are subsequently transported farmer/forester is not conscious of its existence. It is
with the flowing water. The soil splash is caused by common on land having a gentle slope. It results in
the impact of falling raindrops. The rate of raindrops the uniform removal of the top soil with every hard
erosion is influenced by climate, soil properties, rain. The land having loose, shallow top soil is most
topography, and plant cover. The climatic factors susceptible to sheet erosion. The occurrence of sheet
like rainfall and temperature; soil properties like, erosion is not evident visually.
erodibility and infiltration rate; topographic factors Movement of soil by raindrop splash is the primary
like length and degree of slope; plant cover factors cause of sheet erosion. Raindrops cause the soil
such as barren, vegetative cover/residues contribute particles to be detached and the increased sediment
to initiation of raindrop/splash erosion. reduces the infiltration rate by sealing the soil pores.
Raindrop splash is of major contributor to soil ero- As the water passes over a smooth slope, it flows
sion. If raindrops strike on land covered with vegeta- along in a sheet of more or less uniform depth. In
tion, the raindrop breakdowns into a spray of clear areas of unprotected sloping land, the sheet of water
water which eventually moves into soil. On the con- picks up soil particles and carries them down the hill.
trary, when the raindrop strikes bare soil surface, Sheet erosion has damaged millions of hectares of
considerable splashing occurs. The falling raindrops sloping land throughout India.
break down soil aggregates and detach soil particles (c) Rill erosion
from the soil mass; therefore, the fine soil particles Rill erosion is the second stage of sheet erosion,
get suspended to form a muddy splash. As the muddy during which the landscape is characterized by
water percolates into the soil, the finer particles form finger-like rills. Year after year, rills gradually
a thin film on the surface which leads to choking of expand in numbers, shape, and size, but they are
the soil pores. These effects coupled with reduced normally smoothed out by regular farm operations.
infiltration cause higher surface runoff. The higher They get wider and deeper and affect crop
volumes of runoff carry more material and gradually production.
remove the fine material from the soil rendering the Rill erosion is the formation of a series of small
soil less fertile sands and gravelly. shallow branching channels. There is no clear
The major effect of surface flow of water is to carry demarcation between sheet erosion and rill erosion,
off the soil loosened by splash erosion. As the depth but rill erosion is more distinct than sheet erosion.
10 Forest Hydrology and Watershed Management: Current Perspectives 205

The rills tend to expand due to concentrated runoff or more. As they extend backward and cross-lateral
and if neglected further, rills grow into large gullies. drainage ways, or natural depressions, waterfalls are
(d) Gully erosion sometimes formed on the sides of these depressions,
Gully erosion is seen as a more sophisticated form of and branch gullies develop. This branching may con-
rill erosion. When ignored, rills develop larger and tinue until a network of gullies cover the entire
eventually turn into gullies. Gullies can also be drainage area.
caused by runoff concentrating at a point on the (b) Channel erosion: Channel erosion is essentially the
agricultural lands. Gullies when not controlled scouring away of the soil by concentrated runoff as it
expand year after year. Ravines are a form of exten- flows over unprotected depressions. It may also be
sive gullies. caused by the raindrop splash on unprotected soil in
Gully erosion is caused by higher concentration of the gully. Gullies formed by channel erosion usually
runoff which results in the formation of channels of have sloping heads and sides and often called
size 30 cm–10 m or more. Gully erosion is an V-gullies. As the scouring continues, the gully becomes
advanced stage of rill erosion; any concentration of longer, deeper, and wider. The extension in length is
surface runoff is a potential source of gulling. Cattle much faster than the widening of the gully because a
paths, cart tracks, dead furrows, tillage furrows, or greater volume of runoff passes over the gully head than
other small depressions down a slope favor concen- over the sides. The rate at which the gully deepens is
tration of water. Neglected rills get deepened and very rapid on the upper part of the area, where the slopes
widened every year and begin to form gullies. are comparatively steep.
Within a few years an entire landscape may be filled
with a network of gullies. Large areas of fertile lands Channel erosion and waterfall erosion are commonly
thus get swallowed by the ever increasing gullies and found in the same gully. The extension of the gully head is
are rendered uncultivable. Gully erosion is more usually by waterfall erosion; while the scouring of bottom
spectacular than other types of erosion. The distinc- and sides (channel erosion) enlarges the depth and width.
tion between ravine, gully, and rills is that of size. A Gullies usually start with channel erosion. When an over fall
gully is too large to be filled by normal tillage develops at the head of the gully, the gully continues to
practices. develop by waterfall erosion.
A ravine is a deep narrow gorge. It is larger than a The four stages of gully development are described
gully and is usually worn down by running water. hereunder:

Stage 1: Formation stage: In this stage, channel erosion is

initiated due to downward scouring of the top soil.
10.1.22 Principles of Gully Erosion Stage 2: Development stage: It consists of upstream move-
ment of the gully head and gulley expansion.
The rate of gully erosion depends mainly on the runoff Stage 3: Healing stage: Vegetation tends to grow in the gully.
producing characteristics of the watershed, the watershed Stage 4: Stabilization stage: In this stage, gully walls reaches
area, soil characteristics, the alignment, size and shape of a stable gradient and vegetative growth is observed on the
the gully, and the slope of the gully bed. The main processes gulley.
in the development of a gully are waterfall erosion and
channel erosion. During the last two stages, the gully head progresses to the
upper end of the watershed. The rate of runoff into the gully
(a) Waterfall erosion: Water falling over the edge of a head decreases due to the reduction in the drainage area. The
gully or bank of a ditch forms deep and rapidly remaining portion of the runoff enters at different points
expanding gullies. The falling water caves in and the along the length of the gully.
soil so detached is transported from the site by the large
volume of runoff and the waterfall moves upstream. As
the over fall advances up the slope, its vertical height 10.1.23 Classification of the Gullies
increases. In this manner, gullies often start in the bank
of natural water courses that have been eroded to a great Gullies are classified as G1, G2, G3, and G4 depending upon
depth. They extend back into cultivated fields and grow the depth, breath, and side slopes of the gully. G1 gullies are
deeper up the slope, often attaining depths of 15–18 m very small up to 3 m deep, bed width <18 m with varying
206 S. Shoba et al.

side slope; G2 gullies are small gullies up to 3 m depth, bed The RUSLE model is expressed as:
width >18 m, side slope between 8% and 15%; G3 are
medium gullies of depth between 3 and 9 m, bed width not A = R K  LS C  P
<18 m, sides uniformly sloping between 8% and 15% and
G4 are deep and narrow gullies of size 3–9 m deep, bed width where,
<18 m, varying side slope or depth >9 m, bed width and side
slopes varying with mostly steep or even vertical having A = Computed average annual soil loss (tons/ha/y)
intricate and active branch gullies (Tejwani and Dhruva R = Rainfall-runoff erosivity factor
Narayana 1961). This classification was evolved after criti- K = Soil erodibility factor
cally observing ravine areas along most of the river banks in LS = Slope length-steepness factor
Gujarat. C = Cover management factor
Gullies may also be classified as V or U shaped based on P = Conservation practice factor
the shape of their cross-section. Both V- and U-shaped
gullies may be found in the same channel. The L and S factors were calculated as two distinct
As the gullies extend upstream, the most active portion is parameters in the Universal Soil Loss Equation, but in the
at the gully head or the upper end, whereas the most stable RUSLE, both components are consolidated into a single
section is generally at the lower end. Active gullies are those factor (the LS factor) and then computed.
gullies that continue to enlarge. They may be recognized by Rainfall erosivity factor (R): The amount of rainfall
the presence of bare soil exposed on the side slopes. erosion index units (EI30) at the study site over a specific
Drainage channels or gullies convey runoff and sediment time period is the factor R. A storm’s rainfall erosion index
in a watershed from the upper reaches to the catchment outlet. unit (EI30) is described as
Steep slope of a channel causes high runoff velocities with
heavy sediment flow. Hence, reduced channel gradient can KE × I 30
EI30 =
bring the runoff velocities within permissible limits. 100

(c) Stream bank erosion: The erosion of the stream banks where,
by flowing water is known as stream bank erosion. In
certain areas where the river or streams change course, KE represents the storm's kinetic energy.
stream banks are eroded in an accelerated rate. Stream The formula for calculating the KE in metric tons/ha-cm is
bank erosion damages adjoining agricultural lands, KE = 210.3 + 89 log I, where I is the rainfall intensity in
highways, roads, and bridges. cm/h and
(d) Slip erosion: Here the landslides and slips caused due to I30 is the storm’s maximum intensity of rainfall for 30 min
saturation of steep hills and slopes are referred to as slip
erosion. Slip erosion disturbs the natural landscape and The study period can be a week, month, season, or year.
also may damage the highway and add additional sedi- The storm EI30 values for that length of period are summed
ment to stream and rivers. up. A summary of the storm EI30 values for that time frame is
provided. Lines with equal EI30 values, sometimes called
iso-erodent lines, are typically drawn for the region covered
10.1.24 Soil Loss Measurement by the data stations for immediate use in USLE. Annual EI30
values are typically calculated from data available at various
10.1.24.1 Revised Universal Soil Loss Equation meteorological stations. Annual EI30 readings range from
(RUSLE) 250 to 500 all over the Karnataka state, except for the West-
The RUSLE, known as Revised Universal Soil Loss Equa- ern Ghats, which range from 500 to 1500. The state of Tamil
tion is used for assessment and quantification of annual soil Nadu has yearly EI30 readings between 300 and 700.
erosion rate and developing soil erosion risk map. Renard Soil erodibility factor (K): In the event of predicting and
et al. (1996) enhanced and modified the Wischmeier and controlling soil erosion, the soil erodibility factor plays a
Smith (1965, 1978) universal soil loss equation (USLE) and crucial role. The soil erodibility factor (K ) indicates the
developed RUSLE. RUSLE is the most widely used soil change in the soil per unit of applied external force of energy
erosion models worldwide by researchers. by reflecting how easily the soil is separated by splash during
10 Forest Hydrology and Watershed Management: Current Perspectives 207

rainfall and by surface flow. This component explains how 10.2 Watershed
soil parameters affect soil loss during storm events and is
linked to the combined effects of rainfall, runoff, and infiltra- The term watershed has been coined from water and shed
tion. The following methodology, as outlined by Wischmeier originally to refer to the line that separate two river basins.
and Smith (1978), was used to compute the K factor utilizing This line usually occurs as a ridge line of high land where
data on inherent soil qualities (Parysow et al. 2003): rainwater on one side flows into one stream and rainwater on
the other side flows into a different stream. In the word
K =1:2917 2:1×10 -4 M1:14 ð12-aÞþ3:25ðb-2Þþ2:5ðc3=100 watershed, the meaning of shed is “to part” divide or
separate.
where M is equal to (percent silt + percent very fine sand) × The word catchment is used for the area that catches the
(100 - percent clay) runoff and flows into a particular river or lake and the water-
shed is the term for the boundary of the catchment, that is, the
“a” represents percent organic matter ridge line or divide line that separates water on either side. In
“b” denotes the soil structure code (used in soil classification) many countries including India, watershed is the popular
and term to denote the catchment area. The terms watershed,
“c” indicates the permeability class catchment, and drainage basin are synonymously used to
denote the area that catches the runoff for a particular stream
The laboratory analysis provided data on the physical and or river. Some people attribute certain differences between
chemical properties, which were used to estimate soil erod- the terms watershed, catchment, and basin. Watershed is a
ibility. The percentage of clay, very fine sand, silt, and common term to refer to any sort of area that catches the
weighted mean soil organic matter was computed and then runoff. A basin is usually a big watershed, but the outlet must
averaged according to the area of each constituent soil series be sea or ocean, for example, the Indus basin and Kaveri
of a particular mapping unit. basin.
"A watershed is any geographical area that is bounded by
Topographic factor (LS): The topographic factor (LS), a ridge line and includes all of the land that contributes runoff
which is generated by combining the two variables to a common point or outlet." Another name for it is the ridge
L and S, is typically line. Alternatively, a "watershed" is a section of land that is
enclosed by a natural ridge line and from which all surface
m
λ runoff is directed toward a single drainage point. The size and
LS = 65:41Sin2 θ þ 4:56 Sinθ þ 0:065 shape of a watershed are determined by surface topography
22:13
bound on all sides by a divide or ridgeline. The simplest
where λ represents field slope length in meters; “m” method for defining surface watersheds is to locate the
indicates exponent factor (varying from 0.2 to 0.5); “θ” highest points on the land that drain into the body of surface
denotes angle of slope. water.
Crop management factor (C): The impact of multiple crop
management techniques is combined to create this com-
ponent. Table 10.2 provides factor C values for the areas 10.2.1 Concepts of Watershed Management
around specific land use.
Supporting cultivation practice (P): This variable is the Vegetation, soil, and water are the three fundamental natural
ratio of soil loss up and down the slope with a support resources crucial for the existence of both humans and
practice to that with straight-row farming. Factor P is animals. On a watershed basis (a unit of management),
provided for a few support practices in Table 10.2. these three interrelated resources can be managed collec-
tively, conveniently, concurrently, and efficiently.

Table 10.2 Crop cover management (C) and conservation practices

(P) factor 10.2.2 Watershed Delineation Using Geospatial
S. no. Land utilization type C value P value CP factor Technologies
1 Agriculture 0.35 0.5 0.17
2 Plantation 0.38 0.3 0.11 Delineating a watershed involves defining or illustrating the
3 Double crop 0.38 0.3 0.11 region enclosed by a ridge line, contributing runoff at a
4 Scrub land 0.2 1 0.20 common point and dividing or separating it from the
5 Waterbody, habitation 0 0 0 adjoining area.
Source: Ravikumar (2020)
208 S. Shoba et al.

Fig. 10.13 (a) Find the sink (the

red pixel) that is made up of just
one pixel. (b) The pixel in green
should be assigned the smallest
value among its eight neighboring
pixels

Studying survey of India toposheets and conducting and fill sinks. Until every sink inside the designated Z
reconnaissance surveys can help define priority areas to limit is filled, the function iterates. At the edges of the
some extent. On the other hand, this method is not precise filled sections, sinks can form as they fill up; these are
and is time-consuming. Typically, 1:50,000 scale topo- eliminated in the subsequent iteration. The sinks in the
graphic sheets can be employed for this purpose. DEM data will be filled in this stage (Fig. 10.14). This
Watershed-based delineation of priority regions is neces- stage will result in a depression-less DEM, which will
sary because efficient soil conservation techniques require a serve as the basis for the next stages in the process
comprehensive approach to watershed management. The size (Planchon and Darboux 2002).
of the watershed that needs to be drawn must also fall 4. Flow direction
between 10,000 and 20,000 hectares, as this is the range at Determining a surface's hydrologic properties requires
which working plans for soil conservation can be easily and knowing the flow direction from each cell in the raster
practically developed for small watersheds. data (DEM). The flow direction tool is used for this. This
Watershed delineation using latest tools and different data tool displays the direction of flow out of each cell as a
is crucial for watershed management at micro-level. This raster after receiving a surface as input. Selecting the
section describes the watershed delineation using digital output drop raster option results in the creation of an
elevation model (DEM) and other ancillary data by output raster that displays a percentage-based ratio of the
geospatial technologies. The following are the conceptual maximum elevation change from each cell along the flow
overview of watershed delineation: direction to the path length between cell centers. All cells
at the surface raster's edge will flow outward if the option
1. DEM (Digital Elevation Model) data to force all edge cells to flow outward is selected. The
It is a representation of the bare earth (bare ground) eight neighboring cells that flow could enter eight appro-
topographic surface of the earth exclusive of all surface priate output directions associated with them. This
objects, namely, trees and buildings. DEMs are digital method, which is sometimes called an eight-direction
representations of the earth’s topographic surface. (D8) flow model, is based on one presented by Jenson
2. Sink and Domingue (1988) (Fig. 10.15).
Local depressions in a DEM are eliminated by the Fill 5. Flow accumulation
sinks operation, which creates flat areas in the output The calculation of accumulated flow involves summing
DEM in place of the local depressions. A cell or group the weights of all cells that drain into each downslope cell
of spatially related cells that cannot have its flow direction in the resulting raster. In cases where no weight raster is
assigned to one of a flow direction raster's eight permissi- provided, a default weight of 1 is assigned to each cell.
ble values is referred to as a sink. This can happen when The number of cells flowing into each cell is represented
two cells flow into one another, forming a two-cell loop, in the output raster. The accompanying graphic's top-left
or when every nearby cell is higher than the processing image shows the flow direction from each cell, while the
cell (Fig. 10.13a, b). top-right image shows the number of cells that contribute
3. Fill to each cell (Fig. 10.16).
It uses the analogues of several functions, such as focal Jenson and Domingue (1988) propose this technique for
flow, flow direction, sink, watershed, and zonal fill, to find calculating accumulated flow from a DEM. In Tarboton
10 Forest Hydrology and Watershed Management: Current Perspectives 209

Fig. 10.14 An image of a sink

profile taken both before and
after fill

Fig. 10.15 The coding of the direction of flow

et al. (1991), an analytical approach to choosing a suitable positions (Fig. 10.17). With the snap pour point analyst, it
threshold value for stream network delineation is helps to snap the pour points to locations with the greatest
described. flow accumulation within the specified snap distance; so,
6. Snap pour point the locations will have the greatest flow accumulation.
The output raster of the basin analyst has great watershed 7. Watershed
extent, so, in hydrology analysis, sometimes we will need Each watershed's value is derived from the source's value in
to split it to subsets. In this case, we need to learn the the input raster or feature pour point data. The cell values
locations of the pour points of the subset before processing will be utilized if the pour point is a raster dataset. The
the analysis. In some study, users might hope to split to values will originate from the field specified if the pour
subsets by defining the pour points. However, the pour point is a point feature dataset. The watershed delineation is
points defined by users might not fall on the reasonable based on snapped stream gage pour point (Fig. 10.18).
210 S. Shoba et al.

Flow direction Flow accumulation

Fig. 10.16 Determining the accumulation of flow

Fig. 10.17 Determining the snap

pour point

The following is a description of the stages involved in

demarcating a small watershed:

1. After identifying the major streams, divide the overall

watershed into several sub-watersheds.
2. Further, split each sub-watershed into smaller areas,
keeping care of the various tributaries and streams that
flow through each sub-watershed.
3. Finally, further subdivide every small part of the watershed
[ size ranges of 10,000 to 20,000 ha, determined in step (2)].

10.2.3 Classification of Watershed

Based on its size and shape, watersheds are divided into

different categories. Table 10.3 presents the watershed clas-
sification based on area.

Fig. 10.18 Delineation of watershed boundary

10 Forest Hydrology and Watershed Management: Current Perspectives 211

Table 10.3 Classification of Sl. no. Watershed type Area (ha)

watershed based on area
1 Micro-watershed 0–10
2 Small-watershed 10–40
3 Mini-watershed 40–200
4 Sub-watershed 200–400
5 Macro-watershed 400–1000
6 River basin Above 1000

10.2.4 Classification of Watershed Based impact on runoff disposal. The larger the area of the
on Shape watershed, the higher the time of concentration and more
water will infiltrate, evaporate, or get utilized by the vege-
1. Square tation. When the length of the watershed is less than the
2. Triangular width, the situation is reversed.
3. Rectangular Compactness coefficient (Cc)
4. Oval According to Gravelius (1914), the compactness coeffi-
5. Fern leaf (elliptical) cient (Cc) is the ratio of the basin's perimeter to its circular
6. Palm area's circumference, which equals the basin’s area. The
7. Polygon compactness coefficient depends purely on the slope and
8. Circular (Fan shaped) and is not affected by the size of the watershed.
9. Secateur shaped 3. Topography
(a) Soil loss and water disposal are influenced by the
10.2.4.1 Function of the Watershed slope, degree, length, and uniformity of the slope.
Receiving and disposing of incoming precipitation is the The slope’s length and degree have an impact on
primary role of the watershed. This is the fundamental idea water infiltration and time of concentration (Tc).
of conserving water and soil. (b) Drainage: Topography controls the flow of water.
Topography determines the drainage density (length
10.2.4.2 The morphological Features of all drainage channels divided by unit area), as well
of the Watershed as the main outlet's size and dimensions. Concentra-
Every watershed is unique and has many important tion time is impacted by drainage pattern.
characteristics that influence how it functions. There are 4. Geology
seven such characteristics known. Geological formations, rock types, and soil properties all
have an impact on the amount of water erosion, the erod-
1. Size (area) ibility of channels and hill faces, and the creation of
2. Shape sediment. For instance, the dissolution rate of igneous
3. Topography rocks is slower compared to rocks such as phyllites and
4. Geology shales. The physical and chemical attributes of the soil,
5. Climate particularly soil texture, structure, and depth, play a cru-
6. Vegetation and cial role in affecting water processes, including infiltra-
7. Land use. tion, storage, and runoff.
1. Size 5. Climate
The quantity of rainfall that is received, retained, and The state of the climate affects watershed management
discharged (runoff) determines the size of the watershed. and functioning in two ways.
The larger the watershed, the higher would be the basin's (a) Rainfall provides precipitation and all of its attributes,
channel and capacity for water storage. Geology, soil, including strength, frequency, and volume.
climate, vegetation, and terrain are large watershed (b) Factors such as temperature, humidity, wind speed,
characteristics. and rainfall influence the characteristics of the soil
2. Shape and vegetation.
A watershed might be square, triangle, rectangle, oval, 6. Vegetation
palm, fern leaf, or any other shape. The length-to-width Watershed functions such as infiltration, runoff produc-
ratio, or shape index (form factor Ff = WB/Lb), is deter- tion, water retention, sedimentation, and erosion are
mined by the shape of the watershed and has a significant regulated by the type and the extent of vegetation present.
212 S. Shoba et al.

7. Land use data. This data is used to address and prioritize land
Watershed behavior is primarily influenced by the kind, treatment plans, identify issues with watersheds, and
extent, and management of land use. The primary identify the causes and consequences of issues affect-
determinants of watershed behavior are the kind of land ing both people and the land.
use, its extent, and its management. 2. Restoration phase
The restoration phase includes two main stages.
(a) Finding the best treatment plans to problems
10.2.5 Watershed Management identified
(b) Implementation of the treatment plans to the
The watershed management emphasizes the judicious man- problems of the land
agement of three fundamental resources, namely, soil, water, As per the treatment priorities, treatments are
and vegetation, on a watershed basis, to accomplish specific imposed to critical areas initially. After this, proper
objectives for the welfare of people. It involves both measures like biological and engineering measures
biological and engineering approaches for treating the land are applied to all types of lands.
most properly. 3. Protection phase
The protection phase takes care of the overall health of the
10.2.5.1 Objective of Watershed Management watershed and ensures normal functioning. The protection
1. The process of producing food, fuel, and fodder is against all factors that may cause deterioration of water-
2. Pollution management shed condition.
3. Reducing the exploitation of resources 4. Improvement phase
4. Storage of water, prevention of flooding, and monitoring The entire area is covered during this phase, which focuses
of sedimentation on improving the watershed. To meet the goals of water-
5. Wild life protection shed management, emphasis is given to the agriculture
6. Erosion control and prevention of soil, degradation, and production, forest management, forage production and
soil and water conservation management of pasture, as well as the socioeconomic
7. Employment generation through industrial development, conditions.
dairy, fishery production
8. Recharging of groundwater Causes of Watershed Deterioration
9. Recreational facility 1. Degradation of land due to improper forestry, pasture
management, and agriculture practices
10.2.5.2 Steps in Watershed Management 2. Unscientific mining and quarrying
Watershed management encompasses preparation of alterna- 3. Faulty road alignment and construction
tive soil and water resource actions plans to address soil and 4. Industrialization
water related issues. For this reason, information about 5. Forest fire
problems of land, soil, water, and vegetation in the watershed 6. Apathy of the people
is essential.
In order to have a practical solution to above problem, it is Effects of Watershed Deterioration
necessary to go through four phases for a full scale watershed 1. Less production from agriculture, forests, grass lands, etc.
management. 2. Soil erosion
1. Recognition phase, 3. Rapid siltation of reservoirs, lakes and river beds
2. Restoration phase, 4. Less storage of water and lowering of water table
3. Protection phase and, 5. Poverty as a result of less food production
4. Improvement phase.

1. Recognition phase 10.3 Sedimentation

It involves following steps
(a) Identification of the issue Soil erosion, sediment transportation, and deposition within a
(b) An examination of the issue's root cause and impact watershed are examples of natural processes that are closely
(c) Development of alternative solutions of problem related to hydrologic processes. The success and economy of
Many surveys, including those on soil, land many water resources development activities in a watershed
capabilities, agronomy, forests, engineering, and depend on the important parameters like soil and water con-
socioeconomics, are used to gather the necessary servation and reservoir sedimentation.
10 Forest Hydrology and Watershed Management: Current Perspectives 213

10.3.1 Erosion Process • Gulling by concentrated runoff

• Stream channel erosion
The whole watershed, including the waterways, is eroded, • Floods
when raindrops strike with a soil surface during a rainstorm • Erosion caused by activities like construction of roads,
event, their kinetic energy splits the soil aggregates, and rail, clearing of land for housing, and industries
separates the soil particles in the impact area. Surface runoff • Mining and dumps left as waste
carries the separated particles. Deposition of the eroded mate-
rial enrooted depending on the flow conditions, channel
topography, geometry, etc. There are several ways that ero- 10.3.3 Factors Affecting Sedimentation
sion occurs (which were covered in the section on soil ero-
sion), including gully, sheet, channel, and rill erosions. The quantity of sediment that is produced by erosion in a
Integrated river basin development involves construction watershed depends upon the following factors:
of storage reservoirs for the purpose of irrigation, power, and
flood control. The loss of storage capacity caused by silting in • Climate—rainfall intensity, duration, temperature, etc.
these reservoirs is one of the difficulties with their design and • Soil characteristics—soil, type of soil, grain size, shape,
maintenance. The deposition of sediments occurs when the porosity, etc.
transporting capacity of the stream reduces due to sudden • Topography—slope, orientation, degree, length, etc.
entry into the still water of the reservoir. Silt entered into the • Soil cover—vegetation /plant cover.
reservoir settles there itself and after that it is economically • Land use–agricultural practice, mining, roads, building,
not easy to remove it by artificial means. construction, etc.
While planning the reservoirs, it is very essential to make (already discussed in the runoff and erosion section)
provisions for the storage of sediment. This given volume is
referred to as dead storage. Live storage is the term for the
storage capacity used for purposes like electricity and irriga- 10.3.4 Definition
tion, etc. Live storage capacity decreases when the sediment
depositing is increases and it occupies the live storage year Gross erosion: Gross erosion is the sum of all erosions in a
after year and thereby live storage volume decrease watershed.
(Fig. 10.19). Sediment yield: Total sediment out flow from a watershed at a
reference section in a selected time interval is known as
sediment yield. All sediment produced due to erosion in a
10.3.2 Sources of Sediments in Water Storage watershed is not transported, out of it considerable tempo-
Structures rary depositions takes place in various places and
locations. The sediment yield is always less than the
The sources of sediments in water storage structures vary gross erosion.
from catchment to catchment; the various sources of Sediment delivery ratio: The ratio of sediment yield to gross
sediments are given below: erosion is known as sediment delivery ratio (SDR). The
sediment yield of a watershed varies with the size of the
• Sheet erosion from agriculture, forest, and waste lands contributing area.
• Mass movements of soil from landslides, soil creep

Fig. 10.19 Sediment deposition Turbid flow

Live storage Sluice

Sediment

Dead storage
214 S. Shoba et al.

10.3.5 Estimation of Sediment Flow Rate upstream part of the reservoir. Control of sediment deposition
to some extent is achieved by allowing the passage of first
The estimation of the sediment flow rates by a stream is inflow from the catchment out of the storage structure. This
essential to determine the extent of erosion in the catchment process ensures that the major part of the sediment does not
and for assessing the storage life of reservoir. Sediment get deposited in the storage structure. The sediment deposits
observation stations are to be located along with discharge that are settled down becomes economically impracticable to
observations to estimate the sediment loads in stream or remove.
rivers. Sediment particles in stream are transported by three Watershed erosion control includes those measures which
process, that is, suspension, saltation, and surface creep (sim- are effective in preventing the sedimentation into the reser-
ilar to the transportation of soil particles in wind erosion). In voir. The various soil conservation measures for controlling
case of sediment transport by streams, the saltation and sedimentation process are listed below.
surface creep are combined and are known as the bed load.
The sediment transported in suspension is referred to as the • Contour trenching on barren hill slopes
suspended load as shown in Fig. 10.20. The total sediment • Afforestation
load is determined by using both the bed load and suspended • Bench terracing of steep slopes
load. The bed load and suspended load are separately deter- • Diversion channel
mined and added as the bed load moves at lower velocity than • Contour or graded bunding
that of water. • Gully protection
• Construction of small ponds
• Stream bank erosion control
10.3.6 Controlling Sedimentation of Reservoir • Road side stabilization
• Improved agricultural practices like contour cultivation,
The life of a reservoir can be considerably prolonged if crop rotation, strip cropping
proper remedial measures against silting of reservoir are • Water spreading for ground recharge
taken. The method proposed or tried for this purpose may • Control of land slide and land slips, etc.
be broadly divided into six groups. • Pasture development
• Flood plain protection
• Selection of reservoir site • Reservoirs shore line protection, etc.
• Design of reservoir
• Control of sediment inflow
• Control of sediment deposition 10.3.7 Recommended Soil and Water
• Removal of sediment deposits Conservation Measures for Watershed
• Watershed erosion control Management

Design aspects of the reservoir to be taken into consider- The appropriate conservation structures recommended for
ation are provision of adequate capacity taking the expected any area is dependent on the slope percent, severity of ero-
sediment load and provision of sluices in the dam. Sluices sion, amount of rainfall, land use, and soil type.
eject only a part of the sediment settled very near to the dam.
Control of sediment inflow is achieved by constructing
settling basins and propagating vegetative screens in the 10.3.8 Greening of Watershed

As part of the greening program in the watersheds, it is

envisaged to plant a variety of horticultural, forestry, and
other tree species that are edible, economical and produce a
lot of biomass which helps to restore the ecological balance
in the watersheds. The lands that are suitable for greening
program are non-arable lands (land capability classes V, VI,
and VII) and also the lands that are not suitable or marginally
suitable for growing annual and perennial crops. The method
Sediment concerted of planting these trees is given below.
Velocity
It is recommended to open pits during the first week of
Fig. 10.20 Velocity distribution and sediment distribution in a straight March along the contour and heap the dugout soil on the
natural stream lower side of the slope in order to harness the flowing water
10 Forest Hydrology and Watershed Management: Current Perspectives 215

and facilitate weathering of soil in the pit. Exposure of soil in 3. Terraces

the pit also prevents spread of pests and diseases due to 4. Trench cum bunds(TCB)/strengthening
scorching sun rays. The pits should be filled with mixture 5. Crescent bunds
of soil and organic manure during the second week of April
and keep ready with sufficiently tall seedlings produced The description of contour bunds, graded bunds and
either in poly bags or in root trainer nurseries so that planting terraces are detailed below.
can be done during the second or third week of April
depending on the rainfall.
The tree species suitable for the area considering rainfall, 10.3.9 Contour Bund
temperature, and adaptability is listed below (Table 10.4);
waterlogged areas are recommended to be planted with spe- In soil conservation practices, contouring, strip cropping, etc.
cies like Neral (Syzygium cumini) and Bamboo. Dry areas are are important mechanical practices employed to control soil
to be planted with species like Honge, Bevu, and Seetaphal. erosion. Contour bunding works are carried out over wide
The different kinds of conservation structures are listed areas in many parts of India (contour bunds are comparable to
below: the narrow base level terraces).
Contour bund is a small embankment constructed on a
1. Contour bunds contour. In soil conservation practice, contour bunding is the
2. Graded bunds construction of small bunds across the slope of the land on a

Table 10.4 Tree species suitability in greening of watershed

Dry deciduous species Temp (°C) Rainfall (mm)
1. Bevu Azadirachta indica 21–32 400–1,200
2. Tapasi Holoptelea integrifolia 20–30 500–1000
3. Seetaphal Anona squamosa 20–40 400–1000
4. Honge Pongamia pinnata 20–50 500–2500
5. Kamara Hardwikia binate 25–35 400–1000
6. Bage Albizzia lebbek 20–45 500–1000
7. Ficus Ficus bengalensis 20–50 500–2500
8. Sisso Dalbergia sissoo 20–50 500–2000
9. Ailanthus Ailanthus excelsa 20–50 500–1000
10. Hale Wrightia tinctoria 25–45 500–1000
11. Uded Stereospermum chelonoides 25–45 500–2000
12. Dhupa Boswellia serrata 20–40 500–2000
13. Nelli Emblica officinalis 20–50 500–1500
14. Honne Pterocarpus marsupium 20–40 500–2000
Moist deciduous species
15. Teak Tectona grandis 20–50 500–5000
16. Nandi Lagerstroemia lanceolata 20–40 500–4000
17. Honne Pterocarpus marsupium 20–40 500–3000
18. Mathi Terminalia alata 20–50 500–2000
19. Shivane Gmelina arborea 20–50 500–2000
20. Kindal Terminalia paniculata 20–40 500–1500
21. Beete Dalbergia latifolia 20–40 500–1500
22. Tare Terminalia bellirica 20–40 500–2000
23. Bamboo Bambusa arundinacea 20–40 500–2500
24. Bamboo Dendrocalamus strictus 20–40 500–2500
25. Muthuga Butea monosperma 20–40 400–1500
26. Hippe Madhuca latifolia 20–40 500–2000
27. Sandal Santalum album 20–50 400–1000
28. Nelli Emblica officinalis 20–40 500–2000
29. Nerale Syzygium cumini 20–40 500–2000
30. Dhaman Grewia tiliifolia 20–40 500–2000
31. Kaval Careya arborea 20–40 500–2000
32. Harada Terminalia chebula 20–40 500–2000
216 S. Shoba et al.

contour so that the long slope is cut into a series of small ones 10.3.10.2 Ramser’s Formula
and a series of such bunds divide the area into strips and act
as barriers to the flow of water, so they reduce the amount and
velocity of the runoff. No cultivation is allowed on the bund S
VI = 0:3 þ2
like graded bunds. Under contour bunds an area of about 5% 3
is lost for constructing bunds and is not available for cultiva-
tion/plantation. Bunds constructed along contour or with where
permissible deviations from contours are called
contour bund. VI = Vertical interval, m,
Bunds serve two purposes. Bunds constructed along the S = Slope, %
periphery without reference to contour of a field are known as (This formula can be applied for the soils with good
the peripheral bunds. Bunds constructed along the margins of infiltration rates and low rainfall)
roads, streams, or rivers are marginal bunds. Contour bunds
serve as fences and in addition give some protection from 10.3.10.3 USDA Formula
water and wind erosion in areas of low rainfall. But in heavy
rainfall areas having low infiltration rate they do more harm
S
than good. VI = 0:3 þ2
4
A contour bunding is recommended for semiarid areas
where intensive farming is not feasible. Contour bunding is (For soils with low infiltration rates and high rainfall)
done in low rainfall areas and where soils are permeable. These equations were developed for USA based on rain-
Contour bunds can be adopted on all types of relatively fall pattern, and also in the above equations the effects of
permeable soils. In rolling (slopes <6%) and flatter lands climate and vegetative cover had not been taken into account.
with scanty or erratic rainfall contour bunding is practiced. Slope was the only criterion considered in the above equa-
The main objective of contour bunds is to intercept the tion. M.P. Cox suggested the following equation considering
runoff, conserve moisture, as well as to reduce soil erosion. climate and vegetative cover for Indian situation.
The cross-section of bunds differs according to slope, rain-
fall, and depth of soil. 10.3.10.4 Cox Formula

10.3.10 Specifications for Contour Bunds VI = ðXS þ Y Þ0:3

10.3.10.1 Spacing of Contour Bunds where, S = Slope %, X = Rainfall factor (i.e., 0.4–0.8),
Spacing is mainly dependent on the slope of the land. The Y = Infiltration crop cover (1.0–2.0).
distance between contour bunds may be measured either as
the vertical interval (VI) or as the horizontal interval 10.3.10.5 Cross-Section of Bund
(HI) between them. Relationship between VI and HI is as The cross-section of bunds differs according to slope, rain-
follows fall, and depth of soil. The shape of the bund is usually
trapezoidal. Cross-sectional area of the bund can be calcu-
HI × S
VI = lated as,
100

where, Cross‐section of bund

ðTop width þ Bottom widthÞ × Height
=
VI is vertical interval, HI is horizontal interval, 2
S is the percentage of slope
The bund height is mainly dependent on the depth of
impounding water. A freeboard of 20% of depth of water
should be provided to avoid over topping
VI × 100
HI =
S 10.3.10.6 Length of Bund Per Hectare
Total length of bund required per hectare depends upon the
vertical interval and slope.
10 Forest Hydrology and Watershed Management: Current Perspectives 217

Length of contour bund per ha = 10000=HI 10.3.10.10 Calculations

1. Vertical interval, VI = (XS + Y ) 0.3
As HI = ðVI=SÞ × 100 where, X = Rainfall factor; Y = infiltration and crop
factor; S = slope factor
10000 × S 2. Horizontal interval, HI = VI ×S100
L=
100 × VI where, VI = Vertical interval; S = land slope%
3. Calculation of runoff = RO (cm) = Rainfall (cm) -
100S
L= infiltration (cm)
VI
4. Storage area A = 100
RO
× HI
5. Calculation of storage capacity of bund by assuming d,
10.3.10.7 Area Lost Due to Contour Bunding slope of bund, slope of seepage line in terms of d and
When contour bunding is adopted, the structures occupy calculate depth of water to be stored
some area, which are not available for effective cultivation/ 6. Calculate the height of bund H = d þ 20 d
100
plantation. The base width of bunds, slope, and the vertical 7. Base width Bw = xd + yd
interval affects the net area. where, x = Slope of seepage; y = slope of bund and d =
Area lost per ha due to bunding = L × b where, L = length depth of water storage
of contour bund per ha. (m) and b = bottom width in m 8. Top width (Tw) = Bw - yH + YH
9. Cross-sectional area, CSA = TwþBw 2 ×H
As L = 100S=VI
Example: Design a contour bund in medium soil having
100S × b average land slope 2%. Rainfall expected is 650 mm. The
Area lost per ha due to bunding m 3
=
VI infiltration capacity of the soil of the area is 40% of the
rainfall absorbed in the field. Assume rainfall factor (X) –
S×b 0.6, infiltration and crop factor (Y ) – 1.5, slope of seepage
So, percentage area lost per hectare due to bunding =
VI
line to be 4:1 and bund slope to be 1.5:1.
Data given are as follows:

10.3.10.8 Benefits of Contour Bunding Rainfall 650 mm Land slope 2%

1. Betters infiltration of water into the soil X = 0.6 Y = 1.5
2. Replenishes the underground storage
3. Controls the fertile soil erosion.
4. Reduces soil erosion by reducing velocity of flow of Vertical Interval VI = ðXS þ Y Þ 0:3
water. VI = ð0:6 × 2 þ 1:5Þ 0:3
= 0:81 m ðsay 0:8 mÞ
10.3.10.9 Design Procedure of Contour Bund
The design of contour bund primarily consists of collecting Horizontal interval (HI)
basic information related to rainfall, runoff, infiltration
characteristics, soil type and topography. The following VI × 100
steps are followed in the design of contour bunds. HI =
S

1. Spacing of contour bunds (vertical interval) 0:8 × 100

HI = = 40 m
2. Horizontal interval 2
3. Calculation of cross-sectional area of bund
• Calculation of runoff (in cm) Cross-sectional area of bund
• Storage area required behind the bund
• Calculation of storage capacity of the bund
• Calculation of height of the bund (including 20% of Calculation of runoff = RO ðcmÞ = Rainfall ðcmÞ
free board), base width, top width, etc. - infiltration ðcmÞ
218 S. Shoba et al.

(d/S)100
Zd

a2 a1
1.5 : 1 4:1
d

S (i.e 2%)

Rainfall 650 mm = 65 cm,

Consider infiltration = 40% of RF = 65 × 40/100 = 26 cm
Runoff = 65 – 26 = 39 cm d = 0:246 = 0:25 m
Storage area
Consider a free board of 20% of d
RO
A= × HI
100
20
39 H = 0:25 þ × 0:25 = 0:3 m
A= × 40 = 15:6 m2 100
100
So,
Calculate the storage capacity of bund from figure
We know that A = a1+ a2 = 15.6 m2
Assuming the depth of water stored in the bund as d

a1 = ½ × 1:5d × d, that is, ½ zd × d = 0:75 d2

1.5 : 1 4:1

1 d 1 100
a2 = × 100 d a2 = ×d d
2 S 2 2 1.5 d 4d
1
a2 = ð50d Þ d
2

a2 = 25 d 2 Base width = zd þ yd
= 1:5d þ 4d
= 4ð0:25Þ þ 1:5ð0:25Þ
= 1 þ 0:375
A = a1 þ a2 = 0:75 d2 þ 25 d2
= 1:375 m Say 1:4 m

15:6 = 25:75 d2 Top width = Bw–ðzH þ zH Þ or Bw–2ðzH Þ

= 1:4–ð1:5 × 0:3 þ 1:5 × 0:3Þ
= 1:4–0:9
15:6 = 0:5 m
d2 = = 0:606
25:75
10 Forest Hydrology and Watershed Management: Current Perspectives 219

Tw þ Bw 0:5 þ 1:4 Variable graded bunds: These bunds are suitable where the
CSA = ×H = × 0:3 = 0:95 þ 0:3
2 2 length of bunds and discharge are more. Variable grade is
= 0:285 m2 providing in different sections of the bunds so that veloc-
ity of flow is within non-erosion limit.
Assuming a length of bund as 500 m
The height of the bund should not be <45 cm. The grade
Volumeofearthwork = CSA × L of the bund should be sufficient to dispose off the water at
non-erosion velocity. The top width varies from 30 to 90 cm
= 0:285 × 500
depends on weighted bund. The base should be sufficiently
= 142:5 m3 wide so that the seepage line should not appear above the toe
on the downstream side of bund. The graded bunds may be
If rate of earth work is Rs. 40/m3 constructed with manual labor or with animal drawn buck
Then the cost will be = 142.5 × 40 = Rs. 5700 scraper and with bulldozer.

10.3.10.11 Graded Bunds 10.3.10.12 Design of Graded Bund

Graded bunds or graded terraces or channel terraces are laid 1. Collect the basic information
along a predetermined longitudinal grade instead of along 2. Estimate the peak rate of runoff to be carried out by the
contour. They are used for the safe removal of excess runoff bund. By rational formula
in high rainfall areas and regions where soil is relatively
impervious. Q = 0:0276 CIA
Graded bunds consist of constructing wide and relatively
shallow channels across the slope vary near the contour Where,
ridges and at critical intervals. These terraces act primarily Q = Peak RO in m3
as drainage channels for inducing and regulating the excess C = Runoff coefficient (Ref. Table 10.5)
runoff water and drainage the same with mild and I = Maximum average RF (cm/h)
non-erosive velocity. The purpose of graded bunding is to A = Watershed area (ha)
make runoff water to trickle rather than to rush out.
It is adopted in areas where annual rainfall exceeds 80 cm
Time of concentration–
and particularly in clayey soils even with lesser rainfall.
time required to water to flow from remote point to outlet
Specifications: VI and horizontal spacing is adopted as in
case of contour bunds. Tc = 0:0195L0:77 S -0:385
Grade: In general, a grade of 0.2–0.4% is provided
depending on the soil type. In permeable soils, the grade Where,
may vary from 0% at upper end to 0.5% at the outlet ends. Tc = Time of concentration (min)
In case of impervious soils, it may started with 0.2% at L= Maximum length of flow, S = average slope of area
upper end increased to 0.4% at the outlets. (m/m)
where L= HI + Bund length
Graded bunds may have uniform grade or variable grade. 3. Calculate cross-sectional area of bund

Uniform graded bunds: Such bunds are suitable where the HI × L

Area =
length of the bund is less and the discharge behind the 10000
bund or in the channel is not much and uniform grade is
given throughout the length of the bund.

Table 10.5 Runoff coefficient Runoff coefficient, C

values for different topographical
Soil group A Soil group B
conditions
Slope <2% 2–6% >6% <2% 2–6% >6%
Forest 0.08 0.11 0.14 0.10 0.14 0.18
Meadow 0.14 0.22 0.30 0.20 0.28 0.37
Pasture 0.15 0.25 0.37 0.23 0.34 0.45
Farmland 0.14 0.18 0.22 0.16 0.21 0.28
220 S. Shoba et al.

4. Determine the top width, base and height of bund 2. Irrigated bench terraces—Level benches adopted under
Assume depth of bund (say 50 cm) irrigated condition
5. Estimate the velocity of runoff behind the bund using 3. Orchard bench terraces—Narrow width terraces for indi-
Manning’s formula vidual trees

2
R3 S2
1
Bench terraces are also classified depending upon the
V= slope of benches as under (Ram Rao 1974). The different
n
types of bench terraces are shown in Fig. 10.21.
where,
R is hydraulic radius (m), 1. Level bench terrace (for medium rainfall, deep, and highly
n is constant (i.e., 0.018–0.04), permeable soil)
S is slope (%) 2. Inwardly sloping bench terraces (for heavy rainfall)
3. Outwardly sloping bench terraces (for low rainfall)
A 4. Puerto Rican or California type of terraces
R=
P

where, 1. Level bench terrace: Level bench terraces are adopted on

A = C/s area of bund (m2), slopes steeper than 6–7%. Level bench terraces are
P is wetted perimeter (m) required in paddy growing areas on slopes as mild as
6. Observe the safe velocity of flow (calculated velocity 1%, to facilitate uniform impounding of water. These are
should be < safe velocity as in tables) also called as table top or paddy terraces.
7. Calculate the discharge capacity of the channel 2. Inwardly sloping bench terraces: Crops like potato are
extremely susceptible to waterlogging. In this case, the
Q=A V benches are made with inward slope to quickly drain off the
excess water. These are suited for steep slopes, to drain the
where excess runoff towards the inner side with a suitable grade
Q—discharge in m3/s, along its length through a well stabilized vegetated waterway.
A—c/s area (m2), 3. Outwardly sloping bench terraces: In places of low
V—Velocity (m/s) rainfall or shallow soils, these are used to reduce the
8. Compare the discharge capacity of the channel and peak existing steep slope to mild slope (say from 8% to 4%).
runoff rate capacity, that is, calculated discharge should be These type of terraces are constructed on soils not having
more than the peak runoff rate (step7 > step3) good permeability’ provision of graded channels at lower
9. Otherwise assuming d again repeat the above steps end has to be kept to safely dispose of surplus water to some
water way. In very permeable soils, a strong bund with
10.3.10.13 Bench Terraces spillway arrangement may take care of most of the rainfall
Bench Terraces are the platform like constructions, which are events. While during heavy rainfall storms, the excess
constructed along the contour of the sloping land. This type water may flow from one terrace to another. Usually dis-
of terrace is generally constructed on the land slope ranging pose off this to some waterway at an earliest possible spot.
from 6% to 33%. The hilly land is modified in the form of
several steps, which intercept the flowing water on the soil 10.3.10.15 Design of Bench Terraces
surface. Bench terracing is one of the prominent mechanical The design of bench terrace consists of determining the
soil conservation practices adopted by the farmers of India on following components.
sloping and undulating lands. Intensive farming coupled with
bench terracing includes the construction of step like (a) Type of bench terrace
platforms along contours by half cutting and half filling. (b) Terrace spacing or depth of cut
Original slope is converted into level fields and in case of (c) Terrace width
sloping irrigated land, bench terracing aids in proper water (d) Terrace cross-section
management.
Terrace spacing is generally expressed as the vertical
10.3.10.14 Types of Bench Terraces interval between two terraces. The vertical interval is depen-
Bench terraces are broadly categorized as given below: dent upon the depth of cut

1. Hill type bench terrace—Used for hilly areas with reverse

grade towards the hill
10 Forest Hydrology and Watershed Management: Current Perspectives 221

Fig. 10.21 Types of bench

terraces

Depth of terrace (cut) Solution

An inward slope type of terrace is selected (Fig. 10.22). The
WS inner end of the terrace is 30 cm lower than the outer end.
VI = D =
100 Assume width of terrace as 4.5 m (as per established
practice)
where The slope of terrace face (riser) is 1:1
Shoulder bund side slope 1:1,
W = width of terrace, Bund height =30 cm, Bottom width 75 cm (as per practice)
S = Slope Vertical interval between the bunds
D/2 = Depth of cut
WS 4:5 × 20
When batter slope is 1:1 D = WS D= = = 1:125
100 - S 100 - S 100 - 20
When batter slope is ½:1 D = 2WS
200 - S
We know that, S = HL
10.3.10.16 Area Lost for Cultivation Where, L = 4.5 + 150 = 154.5
When batter slope is 1:1 a = 200
Sþ200
þS
H = 0:3 þ ð0:5=100Þ150 = 1:05 m
S 100

When batter slope is ½:1 a = Sþ100

S þ100
200 S

10000
Length per hectare = S=
1:05
= 0:00679
W 154:5
Earth work excavation 12 X W
2 X D
2 So, Time of concentration

10.3.10.17 Design of Bench Terraces Tc = 0:0195 L0:77 S -0:385

Example Design a 150 m long bench terrace for a land
having an average slope of 20%. The soil is clay loam. The
Tc = 0:0195 × 154:50:77 0:00679 -0:385 = 6:4579 min
terrace channel has a uniform grade of 0.5%. Maximum
intensity of rainfall expected during the 10 year recurrence
interval is 10 cm/h.
222 S. Shoba et al.

Fig. 10.22 Design of bench 15cm

30cm

1.125m

Original slope 20%

3.75m

4.5m

Using Fig. 10.23 convert the 1 h intensity of 10 cm/h for a

6.5 min, intensity of rainfall is 24.75 cm a1 = ½ × 0:3 × 0:3 = 0:045 m2
Peak runoff to be carried out by the channel is estimated
by the rational formula a2 = ½ × 3:75 × 0:3 = 0:564 m2
Q = 0.0276 CIA where, C = 0.6 (for clay loam)
A = 150 × 4.5 = 0.0675 ha (watershed area) a = a1 þ a2 = 0:045 þ 0:56 = 0:609 m2
I = 24.75 cm/h
Wetted perimeter (P) of water spread area is
Designrunoffrate Q = 0:0276 × 0:6 × 24:75 × 0:0675
= 0:0276 cum=s S1 2 = ac2 = ab2 þ bc2 ðUsing Pythagoras theoremÞ

Riser slope 1:1

30 cm

a1
30 cm a2
Original slope 20%

3.75m

4.5m

3.75m
30 cm

a1
a2
30 cm
10 Forest Hydrology and Watershed Management: Current Perspectives 223

10.3.11 Grassed Waterways (Vegetated Outlets

and Water Courses)

Grassed waterways are open channels protected with suitable

grasses. These are constructed along the slope and act as
outlet for the terraces or graded bunds. Waterways are vital
water management channels for erosion control, excluding
level terraces and contour bunds. These are used to carry
natural runoff or to handle the discharge from mechanical
structures such as terrace or bund, spillways of water storage
structures, etc. Therefore, the vegetated outlets should be
well established before handling the runoff from bunds,
terraces, diversions channels, etc.
Design: The design of the grassed waterways is similar to
the design of irrigation channels. The design of the grassed
water consists in determining the size and shape of the
waterway.
Size of waterways: The size of the waterway depends
upon the expected runoff. A 10-year recurrence interval is
Fig. 10.23 Relation of one-hour rainfall intensity to intensity at other
duration used to calculate the maximum expected runoff to the water-
way. As the catchment area of the waterway increases
S1 2 = 0:32 þ 0:32 = 0:09 þ 0:09 = 0:18 towards the outlet, the expected runoff is calculated for
different reaches of the waterway and used for design pur-
S1 = 0:42 m pose. The waterway is to be given greater cross-sectional area
towards the outlet as the amount of water gradually increases
towards the outlet. The cross-sectional area is calculated
Similarly, S2 2 = 0:32 þ 3:752 = 14:153
using the formula
S2 = 3:761 m
a = Q=V
P = S1 þ S2 = 0:42 þ 3:761 = 4:18 m
where a = area of cross-section, Q = expected maximum
runoff, V = velocity of flow.

A 0:609 Shape of waterway: The shape of the waterway depends

Hydraulic radius ðRÞ, R = = = 0:146 m upon the field condition and the type of the construction
P 4:18
equipment used. Commonly adopted shapes are
Velocity of flow and carrying capacity of the channel is trapezoidal, triangular, and parabolic. In course of time
Velocity using Manning’s formula V = R2=3 S1=2
= due to flow of water and sediment deposition, the water-
n
0:1462=3 0:0051=2
way shape becomes nearer to parabolic shape. Usually
= 0:497 m=s
0:04 parabolic and trapezoidal shapes are preferred considering
The velocity is non-erosive the crossing of farm machinery equipment.
Therefore, carrying capacity Velocity of flow: The permissible velocity in a grassed
waterway depends on the type, condition, and density of
Q=A V vegetation and erosive characteristics of the soil. An aver-
age velocity of 1.5–2 m/s is used for design purpose.
Q = 0:609 × 0497 = 0:3028 cum=s Channel grade: Grassed waterways generally run down the
slope and the channel grade is usually governed by the
Hence the section has sufficient carrying capacity. land slope. Channel slope should not exceed 10%, while it
is normally desirable to keep the grade within 5%
(A diversion ditch, however, constructed across the slope
224 S. Shoba et al.

Table 10.6 Calculation of area, wetted perimeter, hydraulic radius, and top width
Shape Area Wetted perimeter Hydraulic radius Top width
p
Trapezoidal bd + zd2 b þ 2d z2 þ 1 bdþzd
p
2
t = b + 2dz
bþ2d z2 þ1
T = b + 2Dz
Parabolic 2
3 td 2
t þ 8d3t t2 d t = 0:67d
A
1:5t 2 þ4d2
T = t Dd 2
p
Triangular zd2 2d z2 þ 1 pzd t = 2dz
2d z2 þ1
T = Dd t

for the purpose of intercepting surface runoff and dispose 1

0:3062=3 × 0:041=2 = 2:289 m=s
of it to safe outlet) 0:04
Channel dimensions: After the runoff, channel grade and
design velocity have been determined; next step is to Q = a × v = 1:314 × 2:289 = 3:007 m3 =s
decide the channel dimensions. It is based on Manning’s
formula. The coefficient of roughness “n” assumed as The section is suitable
0.04. Side slope of channel should be 4:1 or flatter. The design dimensions of the parabolic channel are as
About 15 cm freeboard should be provided to take care follows,
of the build up by sediment and variation in the value of Top width 4.15 m, depth of flow of water 47.5 cm
the roughness coefficient. Free board 15 cm

Calculations of area (A), wetted perimeter (P), hydraulic

radius (R), and top width (t, T ) are given in Table 10.6. 10.4 Concluding Remarks

Example Design a parabolic shaped grassed waterway to The natural resources like soil and water are imperative to life
carry a flow of 3 m3/s down a slope of 4%, an excellent stand support system on earth. The increase in population, over
of dub grass is to be maintained in the waterway. exploitation of natural resources for human needs such as
food, fodder, and fuel requirement coupled with unscientific
Solution management of vital natural resources has led to fragile and
Assume that the top width, t = 4 m and depth of flow, d = precariously balanced ecosystem. There exists a mutual rela-
60 cm tionship between water and forest as forests generate 60% of
The cross-sectional area total runoff and a major share of our drinking water supply is
from forest watersheds. The increasing degradation of these
2 resources is affecting the stability and resilience of our
a= t d = 2=3 × 4 × 0:6 = 1:6 m2
3 ecosystems and the environment. The knowledge of hydrol-
ogy is crucial to restore this ecological imbalance and man-
Wetted perimeter, age degraded agricultural, forest and wastelands. The
problem of degraded land and water management is multi-
8d2 8 × 0:62 faceted which necessitates multidimensional approach. This
P=t þ =4 þ = 4:24 m
3t 3×4 process aims to develop human resource in watershed devel-
opment and management and generate awareness about the
a 1:6
Hydraulic radius, R = = = 0:377 importance of sustainable utilization of natural resources.
p 4:24
The effective conservation of natural resources is aimed at
obtaining optimum and sustained returns. Watershed is a
Mean velocity, v = 1n R2=3 S1=2 = 0:04
1
0:3772=3 ×
hydrological unit which responds most effectively to various
0:041=2 = 2:61 m=s engineering, biological and cultural treatments. A right bal-
So, Q = a v = 1.6 × 2.61 = 4.17 m3/s ance between socio-economic and environmental objectives
The velocity is unsafe and the carrying capacity is is important in watershed management. The rising conflicts
excessive for water resources between different stakeholders mandate
Assume, t = 4.15 m, and d = 47.5 cm sustainable water management which is crucial for economic
Then, a = 1.314 m2 p = 4.294 m development and livelihood of the people. It would be very
And R = 0.306 m appropriate and timely to apply the Remote Sensing and
Geographic Information System techniques for watershed
management to mitigate natural disasters such as droughts,
floods, and landslides.
10 Forest Hydrology and Watershed Management: Current Perspectives 225

Lessons Learnt Gravelius H (1914) Flusskunde. Goschen Verlagshan dlug Berlin. En

• Hydrology and hydrological cycle Zavoianu, I. 1985. Morphometry of drainage basins. Elsevier,
Amsterdam
• Essential components of hydrological cycle and their Helvey J, Patric JH (1965) Canopy and litter interception of rainfall by
measurements hardwoods of eastern United States. Water Resources Res 1(2):
• Soil erosion, types, and their effect and soil loss 193–206
measurement Humphreys WJ (1940) Physics of the air, 3rd edn. McGraw-Hill,
New York. (reprinted by Dover Publications, New York, 1964)
• Watershed, its functions, and morphological Jenson SK, Domingue JO (1988) Extracting topographic structure from
characteristics digital elevation data for geographic information system analysis.
• Watershed delineation using geospatial technology Photogram Eng Remote Sensing 54(11):1593–1600
• Steps in watershed management Parysow P, Wang G, Gertner G, Anderson AB (2003) Spatial uncer-
tainty analysis for mapping soil erodibility based on joint sequential
• Soil and water conservation measures for watershed simulation. Catena 53(1):65–78
management Planchon O, Darboux F (2002) A fast, simple and versatile algorithm to
fill the depressions of digital elevation models. Catena 46(2–3):
Key Questions 159–176
Rao MR (1974) Soil Conservation in India. Indian Council of Agricul-
1. What are the different components of hydrological cycle? tural Research
Enlist the major threats. Ravikumar D (2020) Micro level land and water resource development
2. What is the role of forest in watershed management? plan for Koranahalli Subwatershed in Tarikere Taluk, Chikmagulur
3. What is the main problem with watershed management? District Using Remote Sensing and GIS Techniques. Kuvempu
University. Ph.D. Thesis, 34p
4. What is Integrated Watershed Management Program? Renard KG, Foster GR, Weesies GA, McCool DK, Yoder DC (1996)
How is it useful for sustainable management of natural Predicting soil erosion by water: a guide to conservation planning
resources? with the Revised Universal Soil Loss Equation (RUSLE). Agricul-
5. What are the applications of geospatial technology for ture Handbook, p. 400
Subramanya K (2008) Engineering hydrology. McGraw-Hill
forest hydrology and watershed management? Tarboton DG, Bras RL, Rodriguez-Iturbe I (1991) On the extraction of
channel networks from digital elevation data. Hydrol Processes 5(1):
81–100
References Tejwani KG, Dhruva Narayana VV (1961) Soil conservation survey and
land use capability planning in the ravine lands of Gujarat. J Indian
Soc of Soil Sci 9(4):233–244
Baumgartner FA, Reichel E, (1975) The world water balance: mean Korzoun VI (1978) World water balance and water resources of the
annual global, continental and maritime precipitation. Evaporation earth. UNESCO Press, Paris
and Runoff, p 179 Wischmeier WH, Smith DD (1965) Predicting rainfall-erosion losses
Chang M (2012) Forest hydrology: an introduction to water and forests. from cropland east of the Rocky Mountains: Guide for selection of
CRC Press practices for soil and water conservation (No. 282). Agricultural
Cohen MJ (2008) Forest hydrology: an introduction to water and forests. Research Service, US Department of Agriculture
Forest Sci 54(6):658 Wischmeier WH, Smith DD (1978) Predicting rainfall erosion losses: a
FAO (2022) The state of the world’s land and water resources for food guide to conservation planning (No. 537). Department of Agricul-
and agriculture – systems at breaking point. Main report. Rome ture, Science and Education Administration
 Desert Ecology and Functional Aspects of Desert
Ecosystems 11
G. Singh and Sachin Sharma

Abstract populations results in higher within-species diversity and

Deserts are arid to extremely arid ecosystems on the earth is positively related to various functions of the region.
and cover about one-fifth of the global land surface. The However, the growing human population and
deserts cover large barren and abandoned lands dominated corresponding anthropogenic activities coupled with cli-
mostly by hills of sand, though they are also consisting of matic adversities are resulting in habitat degradation and
rocks and mountains. Such areas are characterised by productivity loss. Excessive removal of vegetation for
<250 mm of rainfall annually with extremes of fodder and fuelwood, altered land use, increased atmo-
temperatures. Except Europe, almost every continent of spheric carbon dioxide levels and global warming are
the earth has deserts, which are situated near 23.4° N (the leading factors to habitat loss and land degradation.
Tropic of Cancer) and 23.4° S (the Tropic of Capricorn) Human-induced destruction of the environment results in
latitudes. Subtropical, cool coastal, rain shadow and cold biodiversity loss leading to a decline in ecosystem
winter are climatically delineated deserts, whereas trade functions including water supply, soil functioning and
wind, mid-latitude, rain shadow, coastal, monsoon, polar climate change resilience. This chapter further describes
and montane are geographically demarcated deserts. Such the existing threats to the desert ecosystem, research and
wide differences in latitudinal, altitudinal, climatic, geo- experimentations, developmental programmes and the
morphological and biological features of the deserts lead a way forward to restore and conserve the desert ecosystem
diverse habitats and biological diversity and sustain and its biological treasures.
peoples’ livelihoods in the region. Circadian and seasonal
extremities, intense solar radiation, low water availability, Keywords
high salinity and wind and dust storms jointly affect the Desert · Ecology · Ecosystem · Plants adaptation · Com-
life in desert. While negative biotic interactions play a role pensatory afforestation
in shaping the desert ecology, remarkable ways of
adaptations allow life to sustain in these deserts. The
deserts have a significant role in shaping animals’ and 11.1 Introduction
humans’ lives, and the surrounding environment and pro-
mote the formation and concentration of some of the Desert ecology is described as interactions between biotic
essential minerals, and provide chemical-based adapting and abiotic components of the desert environment. Thus, the
bioresources (animal and plant life) as a source of desert ecosystem is interaction between organisms, the
bioprospecting. These deserts are ideal places of living surrounding atmosphere and other non-living factors that
and for preserving human relics and remains as well. The influence the living environment. The functioning of
desert sands also act as an important carbon sink on the ecosystems on the earth depends primarily on the utilisation
earth. A range of diversity in habitats and isolated of energy and resources (water, minerals) and autotrophs as
the main agents to utilise these resources (Hufnagel et al.
G. Singh (✉) 2018). Among various ecosystems based on the efficient
Arid Forest Research Institute, Jodhpur, Rajasthan, India utilisation of energy and resources, tropical rain forests are
Lucknow, India the most efficient, whereas deserts lie on the other end
S. Sharma constituting a zone of struggle. Because of moisture
Arid Forest Research Institute, Jodhpur, Rajasthan, India constraints, these areas are referred to as ecosystems

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 227
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_11
228 G. Singh and S. Sharma

controlled by water availability—a prime resource required and semi-arid lands with a mean annual rainfall of
for the survival of the desert organisms, which depend pri- 250–500 mm.
marily on the water balance, that is, water inflow and loss. Aridity index (AI) in one criterion for dividing the world
The deserts are not in recent origin rather they have existed into different climatic regions. The aridity index is the ratio of
since glaciers covered large portions of the earth, that is, the average annual precipitation and total annual potential evapo-
great Ice Ages. The deserts are formed by global wind circu- transpiration (PET). Accordingly, FAO (Food and Agricul-
lation patterns including trade winds, westerlies, the polar ture Organization of the United Nations) has classified the
easterlies and the jet streams. Deserts occur from areas close world’s climate into hyper-arid, arid, semi-arid, dry
to the poles and down to areas near the equator of the earth, sub-humid and humid) regions, which have AI values of
hence they are not restricted by latitude, longitude, or eleva- <0.05, 0.05–0.2, 0.2–0.5, 0.5–0.65 and >0.65, respectively.
tion. However, most of the deserts are situated near 23.4° Cold climate areas are the special case where the mean annual
north and 23.4° south latitudes from the equator that is the PET is <400 mm (FAO). Extremely arid and arid zones are
Tropic of Cancer and the Tropic of Capricorn respectively. considered as deserts, whereas semi-arid grasslands are
All deserts have two common characteristics: (i) they are largely referred to as grasslands or steppes. In the process
dry and (ii) they support a smaller number of plants and of desertification, areas with aridity index of <0.5 have
animals’ lives (White et al. 2013). The deserts are not only globally increased from 28.4% to 29.6% (Spinoni et al.
hot but also cold in nature, where all moisture is frozen. The 2013). At the same time, cold climate areas have decreased
percentage of land classified as desert was only around 9% of from 26.6% to 25.4% in the Northern Hemisphere. Compar-
the total earth’s surface in 1882, but by 1950, arid and semi- ing the aridity maps of the two periods (1951–1980 and
arid areas together had occupied up to more than 23% global 1981–2010), the areas which shifted most remarkably to
area (Grove 1974). Recent observations indicate that because lower aridity index values (towards more arid conditions)
of desertification—a process leading to desert-like are Canada, Brazil, the Mediterranean region, Eastern
conditions, the Sahara Desert in North Africa has advanced Europe, most of Africa, the Middle East, Eastern parts of
southward by another 1000 km (Zeng 2003; Kandji et al. China, Borneo in Indonesia and Australia. At the regional/
2006). The study by Thomas and Nigam (2018) indicates that country level, a shift of one class towards a more arid region
the Sahara Desert has expanded by 11–18% depending on the has been observed in the Alaska region of the USA, Alberta
season and by 10% when annual rainfall was considered for (Canada), Patagonia region of Argentina, Pernambuco of
the period of 1902–2013. Brazil, western Peru, Spain, the Southern Sahara and North-
Eastern Kalahari Desert regions, Rajasthan and Madhya
Pradesh provinces in India, Mongolia, the Yang-Tze Basin
11.1.1 Desert Formation of China and the North-Eastern and South-Western
Australian coast regions (Spinoni et al. 2013). On the other
Despite the scarcity of geological evidence, researchers agree hand, Central U.S., Paraguay and Northern Argentina,
that some deserts have always been present. However, they Scandinavia, Northern Australia and Western China have
were possibly smaller in size as compared to the deserts of the shifted to a wetter climate during 1981–2010 (Spinoni et al.
present time. The fossil record of a small species of hippo- 2013).
potamus found in the Arabian Desert, which covers the
Arabian Peninsula and the east of North African regions,
indicates that this region was once a wetland (Engel et al. 11.1.2 Kinds of Deserts
2017). Rock paintings from about 5000 years ago in the
Sahara Desert of North Africa showing pictures of elephants, Global deserts can be divided into five types. These are
giraffes and herds of antelope also indicate their presence in subtropical, coastal, rain shadow, cold winter and polar
the region (Jaroff 1997). The origins and dynamic properties deserts. The subtropical deserts are hot with 30 terrain and
of the desert conditions vary with regional conditions. For high rate of evaporation (Table 11.1). The intense solar
example, the processes of desertification in warm-temperate radiation received in the tropical region lying between the
and sub-arid conditions are manifested with the leading role line of Cancer and the line of Capricorn hits the land surface.
of anthropogenic factors, whereas the processes in tropical This results in setting off the air currents bringing dry winds
and subtropical areas are climate influenced (Zalibekov 2011; to the subtropical regions situated between 25 and 35° lati-
Weber et al. 2013). Geographer Peveril Meigs (in 1953) tude in both the North and South of the equator. This affects
divided deserts of the world into three categories based on precipitation negatively and makes the area deserts. The cool
the amount of rainfall the desert receives. In this, extremely coastal deserts are situated in between the subtropical
arid zone areas are without rainfall for at least 12 succeeding deserts, but the average temperature is much lower because
months, arid lands with a mean annual rainfall of <250 mm, of their position in the western part of the continents. Here the
11 Desert Ecology and Functional Aspects of Desert Ecosystems 229

Table 11.1 Various deserts, their area and distribution in the world
Area
Desert (million
name Location km2) Topographical features
Subtropical deserts
Sahara Covering the countries like Algeria, Chad, Egypt, Eritrea, 9.07 Topography is characterised by shallow basins, large
Ethiopia, Libya, Mali, Mauritania, Morocco, Niger, depressions, gravel plains (70%), plateaus, mountains,
Somalia, Tunisia and Western Sahara. sand sheets, dunes and sand seas (30%). It is the world’s
largest non-polar desert
Arabian It covers Saudi Arabia, Kuwait, Oman, Qatar, United 2.59 Gravel plains and rocky highlands. Southern one -fourth
Desert Arab Emirates, Yemen and parts of Jordan and Iraq area is the Empty Quarter or Rub’ al-Khali desert, which is
the largest unbroken sand hills in the world
Kalahari Mostly the areas of Botswana, but the eastern third of 0.57 Dominant landforms in this desert are sand sheets and
Namibia and the northern Cape area of South Africa also longitudinal/linear dunes with occasional exposed
represent it bedrocks
Great It occupies south- and west Australia 0.35 These deserts are dominated by gravel-covered terrain
Victoria with a thin cover of grasses. However, extensive areas are
Great Sandy It occurs in the Northern Territory and Western Australia 0.27 undulating red sand plains and dune fields, some low rocky
Gibson Western Australia 0.18 ridges with a high degree of laterite development.
Simpson’s straight is parallel sand dunes
Simpson It covers the eastern half of the Australian continent 0.18
and Sturt
Stony
Thar Parts of India and Pakistan 0.20 Rocky, sand and dune fields are the dominant landforms
dotted by saline depressions
Coastal deserts
Namib It covers parts of Angola, Namibia and South Africa 0.034 Dominated by gravel plains
Atacama Part of Chile in South America 0.14 It is dominated by salt depressions, sand and lava
Rain shadow deserts
Great basin Nevada, Oregon and Utah of USA (including Death 0.49 Dominated by basin and hill range topography. About 1%
valley area) area is covered by sand dunes
Chihuahuan Part of Mexico and the Southwestern part of USA 0.45 It is a shrub desert with large basins surrounded by
terraces, mesas and hill ranges
Colorado Arizona, Colorado, New Mexico, Utah and Wyoming 0.34 It is a desert region of the intermontane plateau dominated
Plateau parts of the USA mostly by sedimentary rock and mesas including the
Grand Canyon
Sonoran Arizona and California of USA and the northern part of 0.31 It covers low elevated basins and plains bordered by
Mexico parallel but widely scattered small hill ranges
Mojave Arizona, Colorado, Nevada, Utah and California of USA 0.14 Represented by mountains and basin types of topography.
Hill chains, dry lake beds and dunes rich in CaCO3
Cold deserts
Patagonian Part of Argentina in South America 0.67 Dominated mostly by gravel plains, plateaus and basalt
sheets
Kara-Kum This desert is in Uzbekistan and Turkmenistan 0.35 About 90% area is grey-layered sand, which means ‘black
sand’.
Kyzyl-Kum It covers parts of Uzbekistan, Turkmenistan and 0.30 Sands and rock (red sand) dominate in this desert
Kazakhstan
Iranian Mostly Iran 0.26 Dominated by salt, gravel and rock
Taklamakan China and some parts of Kyrgyzstan 0.27 This desert is dominated by sand dunes and gravel
Gobi It involves parts of China and Mongolia 1.30 Dominated by stony and sandy soil and steppes (the dry
grasslands)
Polar deserts
Arctic It covers the Alaskan part of the USA, Canada, 13.99 It is dominated by snow and glaciers and exhibits a tundra
Greenland, Iceland, Norway, Sweden, Finland and Russia climate
Antarctic Antarctica 14.25 Dominated by ice, snow and bedrock
Source: Extracted from Alsharif et al. (2020) and Smith (2023)

dry inland conditions are induced by the upsurge of the deep move towards the coastal land areas. The Atacama and
cold ocean water and propelled by the ocean currents Namibian Deserts are examples of this kind. Some of the
influencing air to rain on the ocean itself leaving dry air to areas of the Atacama Desert are always under fog but without
230 G. Singh and S. Sharma

rain. Some deserts are also situated on the lee sides of the 11.1.3 Desert Characteristics
mountain ranges and are called rain shadow deserts.
Because these deserts are deprived of ocean/sea-generated 11.1.3.1 Cold Deserts
moisture. Death valley is the best example of this type of Cold deserts are arid regions with annual rainfall of
desert falling in the rain shadow of the Sierra Nevada <250 mm and are situated mainly in temperate and polar
Mountains of North America. Cold winter deserts are regions. Greenland, Antarctic and the Arctic zones of the
noticeable in high-temperature differences between seasons, world fall into this category of deserts. Cold winters and
where temperatures range from -12 °C in the winter season snowfall during the season and sometimes in summer are
to 38 °C in the summer season. Because of the locking up of characteristics of these deserts. Average winter temperatures
all moisture in the ice form, the polar regions are also consid- in these deserts range from -2 °C to 4 °C, whereas during
ered as deserts, that is, Polar deserts covering parts of the summer the average temperature varies between 21 and 26 °C
Arctic and Antarctic regions (UCMP 2010). (Strahler and Strahler 1984). The summer season is short,
The deserts are also classified based on geographical moist and tolerably warm. Mean annual precipitation in these
locations. Intense solar radiations in the trade winds belts of deserts ranges between 150 and 260 mm, and the rain occurs
both northern and southern tropical regions cause heating as in April-May or autumn, depending on the regional variation.
they move toward the equator. These dry winds disperse the The soils of these deserts are heavy, moderately porous with
cloud cover, resulting in more sunlight to reach and heat the varying extents of silt and salt, well-drained favouring
terrain. As majority of deserts lie in the areas crossed by the leaching out of the salts. Plants are scattered, shrubby and
trade winds and hence these deserts are called trade wind deciduous in nature with spiny leaves. The height of this
deserts. The Sahara desert in North Africa is the best exam- vegetation varies from 15 to 122 cm.
ple of trade wind desert. The second category is mid-latitude
deserts that occur between 30 and 50° latitudes in subtropical 11.1.3.2 Hot Deserts
high-pressure zones. These deserts are in general inland Such deserts exhibit extreme temperatures because atmo-
drainage basins distantly situated from the oceans and expe- spheric humidity in this region is extremely low and is unable
rience an extensive range of temperatures annually. Sonoran to interfere with the incoming solar radiations. Average
Desert is an example of this category. The rain-shadow yearly temperature varies from 20 °C to 25 °C, whereas
deserts are developed as a result of prevention of moisture- annual rainfall is very low and concentrated in a very short
rich clouds from reaching the areas on the lee side, or period. The rate of evaporation is greater than the precipita-
protected side of the tall mountain range. The Death valley tion. In some of the regions, rain falling evaporates before it
in California and Nevada parts of the USA are examples of reaches the ground surface. Deserts’ soils are coarse in tex-
rain shadow because these are situated on the leeward side ture, shallow, rocky, gravely and well drained. It is without
(rain shadow) of the Sierra Nevada Mountain range and are subsurface water. Vegetation growing in these deserts is
very hot and dry. The coastal deserts are situated on the mostly scrub and small trees with modified leaves for con-
western limits of the continents and near the Tropic of Cancer serving available water. Some plants open their stomata only
and the Tropic of Capricorn. In general, they are affected by at night to minimise evaporation losses of water. Bushes like
cold ocean currents, which flow along the coast and are opuntia, false mesquite, agaves, some Euphorbias and brittle-
relatively complex because they are at the juncture of terres- bush are some of the plants growing in such types of deserts.
trial, oceanic and atmospheric systems. The Atacama of
South America and Namibian in Africa are examples of this 11.1.3.3 Semi-arid Deserts
type of desert. The other one is monsoon deserts in which Semi-arid deserts are characterised by moderately long and
monsoons develop in response to the temperature variations dry summers. Rainfall is low and normally occurs in winter.
between landmass and the oceans. The Thar Desert in India The cool nights of these deserts reduce moisture loss by
and the Cholistan Desert in Pakistan are examples of mon- transpiration in plants and by sweating and breathing in
soon deserts. Polar deserts are areas with annual precipita- animals, which is beneficial for these biotas inhabiting the
tion of <250 mm and a mean temperature during the warmest region. Soils in these deserts are sandy in texture and include
month is <10 °C. In addition to these, Montane deserts are rock fragments and sometimes gravel. The soil of the moun-
arid areas situated at a very high altitude. The most prominent tainous slopes is shallow, rocky, gravely, and well drained.
examples of this kind of desert are Kunlun mountains in the The soil of the bottomland is sandy and fine-textured. In these
Himalayas and the Tibetan Plateau. deserts, growing vegetations protect themselves with the help
of modified spines that reduce transpiration loss of water.
11 Desert Ecology and Functional Aspects of Desert Ecosystems 231

Some plants have smooth silvery leaves that help the leaves arid, whereas the Thar, Kalahari and Australia deserts are
to reflect the radiation received on them. Larrea tridentata substantially moist in nature. Some of the deserts exhibit
(Creosote bush), Franseria dumosa and Ficus deltoidea high-energy winds, whereas the others deserts have low
(bursage), Crataegus laevigata (white thorn), Dolichandra velocity winds. This helps to explain variations in sand
unguis-cati (cat claw), Prosopis juliflora (mesquite), Encelia dune forms, and hence the presence or absence of wind
farinosa (brittlebush) and Zizyphus jujuba (ber) are some of erosion features results in dune formation and their types.
the important vegetation of the region. Droughts and human activities make the Aeolian deposits
more susceptible to wind erosion. The areas which are more
11.1.3.4 Coastal Deserts sensitive to wind erosion are loess like those of China, desert
Coastal deserts occur in moderately cool to warm areas like margins where man interacts with the arable land, and the
the afrotropical and neotropical realms. The average temper- coastal dune fields. Five basic types of dunes observed across
ature in these deserts varies between 13 and 24 °C. The the globe are crescentic, linear, star, dome and parabolic.
winter temperatures in these deserts decreased down to 5 °C Their formations and movements depend upon the extent
or lower than this. Mean annual rainfall in these deserts varies and direction of the wind energy. The crescentic dunes,
from 80 to 130 mm. The Atacama Desert in Chili, South which are known as barchans or transverse dunes, are usually
America falls in this category and is the driest desert on earth. wider than long. This type of dune moves much faster, that is,
It receives only <1 mm of annual rainfall and is even difficult >100 m a year. The largest dune on the earth is in the Takla
to measure. The soil in the coastal desert areas is fine-textured Makan desert in China having crest-to-crest width of >3 km.
with moderate soil content, porous and well drained. Thick The linear dunes are long, straight, or slightly sinuous sand
and fleshy leaves or stems are characteristics of the vegetation ridges. They are typically much longer than wide. The best
of this region that can store water for future use after absorp- example is >160 km long Simpson’s straight, the linear and
tion during sufficient water availability. Some plants exhibit parallel sand dunes are the longest in the world and available
corrugated surfaces with longitudinal grooves and ridges. in the Sturt Stony desert of Australia. The other type is Star
The Atriplex species (saltbush), Fagopyrum esculentum dunes, which are pyramidal sand mounds having slip-face in
(buckwheat bush), Coleogyne ramosissima (black bush), many directions generally three or more arms that spread out
Leersia hexandra (rice grass), Tetradymia glabrata (little from the highest centre of the sand mound (dune). About
leaf horse brush), Salvia mellifera (black sage), Prosopis 500 m tall sand mound (star dune) has been observed in the
species and cactus species are some of the plants found in Badain Jaran desert in China. The fourth type is Dome
the desert. dunes, which are oval or circular sand mounds. Such dunes
are generally without a slip face and generally increase in
height. It is a rare dune type and occurs at the far upwind
11.2 Landforms and Geomorphology margins of the sand seas. The parabolic dunes are U-shaped
(blowout or hairpins) sand mounds with convex noses in
Various landforms of deserts interacting with climate and front (in wind direction) and trailed by elongated arms back-
biotic factors determine the soil characteristics. Landforms side. The longest known parabolic sand dune was reported
directly affect the inflow and outflow of water and other with a trailing arm of about 12 km long (Kollegger and
materials in the form of run-off, infiltration, erosion, salt Grunert 2017). Parabolic dunes also form from transverse
accumulation and water storage. Different landforms have or barchan dunes, when the dunes stay immobile for a period
different tendencies towards water and hence, they act as to support vegetation to grow on the dune. Some topographi-
one of the agents for bringing heterogeneity in the habitat. cal features are presented in Fig. 11.1.
The formation of these landforms is shaped by wind actions, Among other wind-born features, mesas are wide and flat-
which exposes the bed rocks resulting in the creation of topped erosional structures bearing steep slopes on all sides.
different structures. They are important geomorphic Weak rock material is often withered by wind or water
structures and landforms of these fantastic biomes. Some of actions until a strong cap-rock material arrives to withstand
the wind-borne geomorphic features include dunes of differ- the erosional process, thus constituting a ‘Mesa’. Buttes are
ent types and sizes, mesas and buttes. Other important geo- similar to the ‘Mesas’ but are larger and narrower thus
morphic structures in the desert are playas, alluvial fans, forming a pillar-like structure standing alone or in groups.
bajada, pediments and inselbergs (Dorn 2018). ‘Playas’ are dry lakes where the shallow water layer is lost
Vegetation cover, soil moisture and wind velocity have a because of high rates of evaporation in the region. These are
significant bearing on wind erosion and sand drift. Sand often characterised by mud cracks and salt pans. Here prob-
dunes will not move or sand storms will not generate in the lem of salinity remains a source of concern for ecologists.
presence of ample vegetation and low wind velocity (Meng Alluvial fans are formed due to sediment deposition along the
et al. 2018). Atacama, Libyan and Namib deserts are hyper- slope, typically at the mouth of shallow canyons when these
232 G. Singh and S. Sharma

Fig. 11.1 Shifting sand dune near Bandra Village (left), the riverbed of Sukri River with isolated trees of Prosopis juliflora offering shade to the
domestic animals (centre), and a bare dune near Miyanjhalar (right) in Barmer District of Rajasthan

alluvial fans merge to form a bajada, hence forming a wide diurnal changes in temperature (Rücknagel et al. 2013). The
alluvial rolling surface. The pediments are gently sloping low large variations in diurnal temperature affect the mechanical
structures that often occur adjacent to the mesas, inselbergs, and physical weathering of rocks and wind-blown sands. The
or mountains as a result of erosion of the mountains near their physical breakdown of the rocks results in somewhat large
base. These are often covered by depositions leading to fragments, which are then gradually disintegrated into finer
alluvial fans or bajadas. Inselbergs are residual uplands particles under chemical weathering. Existing flora in the
which survived the erosion process over the years and in region also plays a significant role in the process of soil
other words these are isolated, rocky patches with steep formation by promoting disintegration and chemical
slopes that rise above flat desert plains (Parsons and weathering of rock-fragments and consequently soil organic
Abrahams 2009). matter enrichment by added litter and fine root turn over
In addition, various other features like ephemeral (Phillips et al. 2008). Soil types observed in hot desert areas
watercourses are of immense importance as these streams are formed in an extreme environment leading to the devel-
provide conducive environments for riparian habitats to opment of non-flushing types of soils that accumulate soluble
develop amid the desert. Shady slopes and rock crevices constituents like soluble salts, gypsum and carbonates
along with boulders provide hiding places or shelter for (Khormali and Monger 2020). Thus, soils of this region are
many species of invertebrates and vertebrates (Whitford often limited by the availability of hardpan layer in subsur-
2002). Small sites among the rocky fields often support face layers affecting water-holding capacities of the soil and
species which require relatively more moisture and low rooting depth. These hardpans consist of calcium carbonate
temperatures. Sedimentary rocks with terraced slopes support aggregates or salicaceous materials, which occur continu-
various vascular plants starting from some grasses to the ously in 5–80 cm below the soil surface. However, metres
occasional appearance of large trees. Variation in vegetation of sand deposition over the ground—a general feature in sand
communities is a function of variable geomorphic habitats drifting areas under Aeolian activity may increase the depth
and their age, though variations in water availability also of the hard pan (Verheye 2006; Williams and Eldridge 2011).
influence vegetation structure by regulating soil texture Processes of sand deposition in larger areas have a marked
(Meng et al. 2018). The vegetation distribution in the bajadas effect on the soil nutrient pools by way of increasing the
of Sonoran Desert has also been affected by edaphic and accumulation of plant-available nitrogen on the organic
topographic factors like slope, soil texture and soil salinity crust. However, deposition, accumulation, or decomposition
(Phillips and Mac Mahon 1978). The riparian vegetation of plant material (litters) affects the availability of soil
along the ephemeral water courses provides habitat to many organic matter and thus soil fertility. However, the limited
species which are absent in otherwise desert areas. For exam- organic matter available in the soil is lost quickly under
ple, Senegalia senegal shows very good growth along the cultivation and cultural operations. Further, soils show rigor-
streams and water channels originating from isolated hills in ous weathering of minerals on formerly exposed surfaces and
the Thar Desert, India. are well drained with a high rate of nutrient leaching (Chen
et al. 2000; Sharma and Sharma 2011). Pavements, varnish
and biocrusts are other important features in desert regions. In
11.3 Soil and Water Conditions this, biocrusts help in fixing nitrogen, influence surface run-
off, and protect soils from wind erosion with an additional
Soils vary in their origin, structure and physical and chemical role in the biomineralisation of carbonates (Khormali and
properties depending upon available rocks and the desert Monger 2020).
environments, which are frequently encountered by large
11 Desert Ecology and Functional Aspects of Desert Ecosystems 233

Water availability has an important bearing on human average sea level that adds to the coldness of the regional
settlements and well-being. It supports the two key terrestrial environment. Ladakh is located at an elevation of 2900 m
functions: production and recycling of nutrients. In desert to 5900 m above msl and temperature range of -30 °C to -
regions, most of the water received through rainfall is lost 70 °C resulting in the coldest region of the earth. This is
by evapotranspiration, whereas groundwater recharge is neg- almost barren region and the population is sparse that inhabits
ligible and confined only by seepage of water through the soil mostly along the river banks of Indus, Nubra, Changthang,
profile (Murray 2013). Surface runoff is negligible, and soil Zanskar and Suru in different valleys (Butola et al. 2012; Raj
moisture storage and ground water recharge are highly vari- and Sharma 2013). Annual precipitation is <50 mm most of
able, whereas withdrawal of groundwater far exceeds the which is received in the form of snowfall mainly in the winter
rates of recharge in most of the desert areas (Jain et al. season. In the region, afternoon hours are characterised by
2007; Mzezewa and van-Rensburg 2011). In north-west fast-blowing winds at 40–60 km h-1. Thus, blizzards,
India, a simulation study indicates considerable increases in snowstorms and avalanches are the common features in the
surface runoff by 2070–2099, with a mean change of region. Soils are gravely and sandy loam on the alluvial fans
189 mm/year for 2 °C climate change (Murray 2013). How- to silt clay loam in the Indus plain region. Loose sandy loam
ever, rainfall is shown to have an important bearing on runoff soil with a high percentage of gravel fraction, low water
generation, and the degree to which is also influenced by the holding capacity, high bulk density and low fertility is
quantity of surface runoff (Guhathakurta et al. 2011). In because of the irregular distribution of the sparse vegetation
many areas, water availability for general use is also affected and altitudinal gradient (Charan et al. 2013; Butola et al.
by salinity. The surface water available to the people living in 2012). Some soil patches exhibit alkaline conditions with
the desert regions is confined to some large rivers in the organic matter concentrations of 0.08–2.98% (Singh and
region and originates in areas of higher elevation (Liniger Gupta 1990). Soil water is in frozen condition during winters
et al. 1998). Some of these rivers are the Nile in the Sudan and very low during the summer months. This allows a very
and Egypt in Africa, the Tigris in Iraq, the Indus in the short growing period making the areas bare for most of the
Indo-Pakistan region, the Senegal and the Niger in African parts of the year. Water availability is low and comprises
region and the Colorado in the western United States (IUCN glacier-fed streams. Shifting of tree lines, migrating dunes
2008; FAO 2011). The scarcity of water in the region leads to and changes in soil moisture conditions are the indicators of a
the clustering of human settlements along these rivers’ shift in precipitation pattern from winter to summer. These
courses and/or around some water sources like springs, altogether have increased the process of desertification in this
wells and oases. About 50% of the world’s population is trans-Himalayan region (Sharma 2019). Sometimes, it leads
going to live in areas of high-water scarcity by 2030 under to a very high and intense rainfall resulting in flash floods,
the existing climate change scenario. For this, adopting tradi- cloud bursts, etc. Such events promote erosion of the fertile
tional methods of harvesting, conserving and transporting soil and demolition of agriculture lands, trees and forests in
water, specialised land management techniques and devising areas, which support sparse vegetation. This transforms fer-
structures to capture and retain precipitation, or to promote tile lands into barren and non-productive lands. A recent
groundwater recharge may be important climate change study indicates that about 80% of the glaciers in the region
adaptations in the desert regions. are smaller than one square kilometre in area, whereas these
glaciers are critical to the people, whose drinking water
supply is mainly met by glaciers and snow melt.
11.4 The Indian Deserts

11.4.1 Cold Desert 11.4.2 Thar Desert

Cold deserts in India are situated in the western Himalayas The Indian desert—also known as ‘Thar desert’ encompasses
and range between Ladakh in north-western to the Kinnaur of 200,000 km2 area. It occupies Rajasthan and extends partly
Himachal Pradesh in the south-eastern. It comprises the Leh up to Haryana and Punjab province in the north and northern
and Kargil Districts of the Ladakh region, Lahaul and Spiti Gujarat in south. Eastern Sindh province and the southeastern
Districts and a part of the Kinnaur District in Himachal part of Punjab province in Pakistan are also part of this desert.
Pradesh. This cold desert biome is characterised by harsh The Cholistan desert near the Thar Desert spreads into the
climatic conditions because of its location on the leeward Punjab province of Pakistan. Three principal landforms in the
side of the Himalayas. This rain-shadow area is challenging Thar Desert are: (i) areas predominantly covered by sand,
to the annual south eastern monsoon winds resulting in low (ii) the plains area with isolated hills including the central
rainfall and desert-like conditions. These deserts are situated dune and (iii) the semi-arid area in the west of Aravalli hill
at very high elevations ranging from 3000 to 6000 m above ranges. The slope of this desert is towards the west but
234 G. Singh and S. Sharma

unevenness in topography is mainly due to sand dunes of (Hippophae rhamnoides L.) and apricot (Prunus armeniaca
different heights. The sand dunes in the south region of the L.). This region exhibits semi-desertic to desertic vegetation
desert are up to 152 m in height. In the north region, the dunes depending on the prevailing climatic condition. In some
are lower in height and rise to 16 m above the ground level. areas, the general desert conditions are changing because of
The climate of this desert is characterised by low and erratic the occasional escape of the monsoon winds that bring mild
rainfall, high diurnal and annual temperatures, low moisture rainfall. Annual and perennial herbs and some stunted shrubs
and high wind speed (Pant and Hingane 1988). Summer and bushes dominate in the alpine and high alpine zones of
months of March to June generally exhibit the maximum Ladakh (Kumar et al. 2016). The plants start growing at the
temperature, which varies from 40 to 45 °C, but reaches up beginning of summer when the melting of snow provides
to 51 °C occasionally. Night temperatures range between sufficient soil moisture. The vegetation is in full bloom in the
20 and 29 °C. January is the coldest month when month of August but starts disappearing by the end of
temperatures decrease to -2 °C at night. In western-, north- September months. The mountain slopes, the meadows and
ern- and eastern Rajasthan, the occasional secondary western the alpine grasslands provide a stunning view of flowers of
disturbances cause light rain, but increased wind speed barren mountains of cold deserts. Aconitum violaceum, Aqui-
causes a chilling effect during the winter months. The Thar legia fragrans and Capparis spinosa are some alpine meso-
Desert region receives <100,400 mm rainfall annually. phyte, the zone which exhibits high humidity and rainfall and
Based on rainfall and edaphic factors, the Thar Desert is is found in the Suru valley in the Ladakh region. The oasitic
divided into four subdivisions (Sehgal et al. 1992; Sharma vegetation in the cold desert area of the western Himalayas
and Mehra 2009). These are (i) the transitional plain of Luni represents a variety of exotic and indigenous species. Such
basin, comprising Pali, Jalore and parts of Barmer, Jodhpur, vegetation grows near habitation, along water channels,
Ajmer, Sirohi and Nagaur Districts; (ii) transitional plain of streams, nallahs (drains), or in moist areas and Kargil and
inland drainage encompassing Sikar, Jhunjhunu and northern Leh regions are represented by such types of vegetation.
Nagaur District; (iii) the agriculturally rich district like Little or no rainfall, low humidity, extreme fluctuation of
SriGanganagar and Hanumangarh Districts; and (iv) arid diurnal temperature and high-velocity winds are
western plain that includes Jaisalmer and parts of Barmer, characteristics of the region involving desert vegetation
Jodhpur, Bikaner and Churu Districts of Rajasthan. zone, where maximum numbers of plant species show long
roots and small leaves. Salix elegans, S. alba, S. fragillis,
S. sclerophylla, Populus alba, P. euphratica, P. ciliata,
11.5 Floristics of the Deserts Juniperus polycarpos, J. communis, J. recurva, Astragalus
spp., Artemesia spp., Myricaria bracteata, Hippophae
11.5.1 Cold Desert rhamnoides, Tamarix gallica, Elaeagnus angustifolia,
Caragana pygmaea, Atriplex crassifolia, Ephedra
Vegetation of the cold deserts is dominated by grasses, which gerardiana, Rosa webbiana, Medicago sativa and Haloxylon
tend to grow in clumps and are hence called bunchgrass. The thomsonii are the woody perennials with direct relevance of
terrain is also seen with shrubs and brushes among which the the livelihoods of local population. Medicinal and aromatic
sagebrush is common in the United Kingdom. A unique plants of this region are Aconitum rotundifolium, Arnebia
two-leaved shrub Welwitschia mirabilis grows in the Namib euchroma, Ephedra gerardiana, Ferula jaeschkeana,
desert in south-western Africa (Bombi et al. 2020). This Hyoscymus niger, and have livelihood options for tribal
species produces colourful cones and grows between 0.5 communities in this desertic environment (Butola et al.
and 2 m in heights. The availability of trees is very low in 2012; Tewari and Kapoor 2013; Chauhan et al. 2020).
these cold deserts. Some of them to mention are camel thorn
acacia (Acacia erioloba) that grows in the Gobi Desert, a
small and bushy sexual tree (Haloxylon ammodendron) 11.5.2 Hot Deserts
grows in the Turkestan desert, Pistachio trees (Pistacia
vera) are common in the Iranian desert, and tamarugo trees A diverse range of macrohabitats and corresponding vegeta-
(Prosopis tamarugo) grows in Atacama Desert. Prosopis tion in the desert are because of large topographical, geologi-
tamarugo produces an edible fruit used by livestock as well cal, soil type, seasonal patterns of rainfall, fires, herbivore
as human beings. Cactus species are not common in the cold pressure and human management coupled with water scarcity
deserts as they occur in the hot deserts. However, the giant in such regions (Goudie 2002; Iwara et al. 2011). Deserts are
cardon cactus (Pachycereus pringlei) is found growing in the in general interrupted by varying sizes of streams, rivers and
Atacama Desert of South America. Several medicinal plant floodplains, which are considered to be more productive
species of economic importance are also found in cold desert because of increased water availability as compared to the
areas of Ladakh. Some of these species are sea buckthorn parts of the desert areas (Free et al. 2013). These dry
11 Desert Ecology and Functional Aspects of Desert Ecosystems 235

riverbeds are beneficial in recharging ground waters help in respectively. Among these species, 45 species are considered
the establishment of perennial vegetation and support many as rare and/or endangered (Fig. 11.2). In addition,
ecological functions (Arthington 2012; Steward et al. 2012). gymnosperms (Ephedra foliata) and bryophytes (Fumaria
Based on such variations, one can notice four broad hygrometrica, Marcantia palmata, and Riccia robusta)
categories of adaptation in these drylands. These are: have also been reported in some of the areas of the Thar
Desert (Choyal and Sharma 2011). Most of the grass species
1. Drought escapers are migrating animals that move in of this region are xerophilous. The grasslands comprise the
search of water and foods. Insects escape into the egg or species like Eragrostis species (E. tremula and E. minor),
pupal stage, whereas the plants escape some phenological Aristida adscensionis, Cenchrus biflorus, C. ciliaris,
stage (fruiting). All these biota waits until favourable Cymbopogon species, Cyperus species, Eleusine compressa,
weather condition returns. Panicum species, Lasiurus sindicus, Aeluropus lagopoides
2. Drought evaders are a group of plants like the salt bush, and Sporobolus species depending on the habitat types
which develops deep and efficient root systems and (Mares 1999; Singh 2005). Interestingly, some of the species
reptiles that hibernate themselves belowground to avoid act as indicator species for varying edaphic conditions in the
the heat or unfavourable climatic conditions. region like dune, saline-alkaline, calcareous soil and rocky
3. Drought resistors are the group that includes cacti, which habitat. Electrical conductivity and soil phosphorus have
store water in plant system, and the animal-like camels been found to control the positive to negative associations
that minimise water loss. between the plant species of the region, that is, positive
4. Drought endurers are groups including plants category interaction between Blepharis sindica—Lasiurus sindicus
that go for the dormant period and animals that go aesti- and Lepidagathis cristata—Sonchus asper for example
vate (e.g. frogs) occasionally. (Mathur and Sundaramoorthy 2013). Plants of different
habits include trees (Prosopis cineraria, Tecomella undulata,
Qureshi and Bhatti (2008) recognised five distinct habitats Maytenus emarginata, Ziziphus mauritiana etc.), shrubs spe-
in Nara desert area in Pakistan based on topographical cies like Acacia jacquemontii, Capparis decidua,
features and distinct vegetation composition. The habitats Commiphora wightii, Euphorbia caducifolia, Grewia tenax,
include: (i) top of the sand dune called crest; (ii) sloppy Ziziphus nummularia, etc., the perennial herbs (Tephrosia
area/swale/flanks position; (iii) sandy plain or low-lying flat purpurea, Farsetia hamiltonii, Indigofera linnaei,
areas; (iv) water bodies or wetland habitats; and (v) saline- Trianthema portulacastrum, Echinops echinatus, Convolvu-
sodic areas. Likewise, Prakash (1994) has identified four lus microphyllous, Solanum surattense etc.), annual herbs
major types of habitats in the Indian desert on the basis of (Argemone mexicana, Alysicarpus monilifer, Fagonia
flora and fauna. In this, the Thar Desert is represented by cretica, Vernonia cinerea, Arnebia hispidissima,
about 700 plant species. These species belong to 91 families Heliotropium marifolium, Indigofera cordifolia,
and 385 genera (Shetty and Singh 1993; Sharma and Pandey I. hochstetteri, Phyllanthus amaras, P. neruri) and
2010). In terms of number, the most dominant family is ephemerals (Cleome viscosa, Polygala erioptera, Corchorus
Poaceae followed by Cyperaceae with 125 and 35 species tridens, Tribulus terrestris, etc.).

Fig. 11.2 Ephedra foliata as pendent on Capparis decidua (left), Commiphora wightii growing on a rocky site (centre) and Chascanum
marrubiifolium growing on gypseous soil (right)
236 G. Singh and S. Sharma

11.6 Adaptations and Biotic Interactions groves of various species including P. cineraria, Capparis
decidua, Z. rotundifolia, Salvadora species were because of
11.6.1 Plants Adaptation and Survival varying adaptations. Perennial plants of hot deserts remain
inactive during the dry spells and become active after receiv-
Plants of cold desert regions have many ways of adapting to ing rain during monsoon. Some annuals start germination by
dry, cold and salty climates. One way that these plants deal absorbing water immediately during the onset of rain and
with the dryness is by losing some or all their leaves when complete their life cycle in very short time. Some adapta-
there is dryness or very cold. Other plants are halophytes tional changes in plants of hot deserts are as follows:
adapting to salty environments. Plants in cold desert areas,
particularly high altitude exhibit several environmental, mor- 1. Deep and extensive root systems.
phological and physiological adaptations. These adaptational 2. Stem modification.
changes help the plants to counteract the impact of the harsh 3. Leaf modification.
climate prevailing in the Ladakh region. Some of them are as 4. Physiological adaptations.
follows:
Desert plants grow in a water scares areas and hence
1. Extensive root system. exhibit a deep root system as a mechanism for survival. The
2. Changes in growth characteristics. roots grow deep in the soil profile and absorb soil water,
3. Changes in physiological characters. which is then conveyed to the upper parts of the plants. The
4. Modified reproductive strategies. varieties of plants that adapt themselves by developing very
long and deep root systems are known as phreatophytes.
Roots of most of the plant species are extensive and very Mesquite (Prosopis species) tree or other species with roots
deep so as to absorb ground water from the deeper soil layers. more than 15 metre long is an example of phreatophyte
The extensive root systems are also useful in withstanding (Singh et al. 2017). Calligonum polygonoides—a shrub of
towards strong wings, and snow blizzards and in escaping the Indian desert spreads its root more than 6 times of its canopy
damage caused by subzero ambient winter temperatures as as an adaptation and mines more than 700 tonnes of soils
well. For example, the horizontally spreading roots of (Fig. 11.3). Some plants including cactus and Euphorbias
seabuckthorn (Hippophae rhamnoides L.) in Lahaul valley have shallow rooting systems that extend radially to absorb
extend up to 2.5–6.8 m and generate 9–27 numbers root as much soil moisture as possible, particularly at the time of
suckers per root (Singh and Dogra 1996). Herbs followed seasonal rains. Some plants exhibit both radial and long
by some stunted and highly branched shrubs or bushes dom- taproot systems to maximise soil moisture absorption, that
inate the vegetation composition of the cold desert areas of is, Prosopis juliflora. The horizontal roots of up to 20 m help
the Ladakh region. The dwarf nature of the vegetation of this absorb and store soil moisture after rainfall and perhaps even
cold region is because of suppression of internodes due to also dewfall for its best-fit survival. In a mechanism called
slow growth and a very short growing period, that is, May to ‘hydraulic lift,’ the deeply available soil water is lifted to top
October. It is very much related to the extremely low temper- dry soil layers through the extensive deep roots, especially
ature, high solar radiation and impedance in sap flow in the during night, and helps in improving water balance and
plants. In the case of physiological behaviour, the important nutrient cycling (Singh and Shukla 2011; Davies et al.
characteristic of the plants of the high-altitude area is frost 2012). This may also help to keep the shallow-growing
resistance. The freezing injury in plants is primarily caused lateral rootlets alive during dry spells and assist in quickly
by the formation of ice crystals within the plant cell. Adapta- absorbing soil moisture after rainfall. The second most
tion to freezing temperature reduces ice crystal formation in thoughtful characteristic of desert plants is their ability to
these plants (Stegner et al. 2020). For successful survival of a store water in different organs like roots, stems and leaves.
species in such cold environmental conditions is an effective Opuntia—a cactus species, accumulates water in the
mode of propagation such as reproduction and perennation green, flattened, succulent stem known as phylloclade.
during adverse climatic conditions. Effective reproduction These leaves like structures in these plants perform photo-
and dispersal of seeds enable the plants of cold desert to synthesis to make food and function in the same way as a
survive in the form of sparse vegetation. Reproduction in typical leaf of regular plants do. Welwitschitia mirabilis—a
the plants of cold desert occurs both by sexual and vegetative brown colour plant of the Namibian desert, is adapted to
methods. strong solar radiation and temperature because of stem thick-
In hot desert areas like that in the Thar Desert, most of the ness (spreading on soil surface in about 20 feet) rather than its
vegetation is confined to the area with water availability. height and survives up to 2000 years. Sternberg and
Extreme cases of aridity that had led to the development of Shoshany (2001) observed a decrease in foliage to wood
ratio from the periphery of the crown to the interior of the
11 Desert Ecology and Functional Aspects of Desert Ecosystems 237

Fig. 11.3 Extent of root distribution of Calligonum polygonoides (phog) shrub of Indian Thar Desert

trees and shrubs. In this, foliage biomass and water were whereas the mechanisms related to seed preservation, protec-
found limited mainly to the top 30 cm of the crown in tion and germination are adopted by the plants.
Quercus calliprinos, Phillyre alatifolia, Pistacia lentiscus,
Cistus creticus, Coridothymus capitatus and Sarcopoterium
spinosum. The plants of the desert region with small foliage 11.6.2 Biotic Interactions
and waxy surfaces were to reduce the rate of transpiration,
which helps in conserving water in these species. In some Abiotic factors are more often held responsible as compared
xerophytic plants, the stomatal opening remained close dur- to biotic constituents for the determination of structure of a
ing day time and open only at night. There are no true leaves plant community. However, biotic interactions also play a
in these plants rather the leaves are modified into prickly major role in the determination of desert communities. These
spines not only for reducing water loss but also for protecting interactions are either positive or negative. Thus, presence or
themselves from herbivory. Many plant species in desert absence of a species can change the structure of existing
regions adapt themselves by developing thorns. To survive communities (Allen et al. 2008). As compared to above-
in the existing harsh environmental conditions, some plants ground interactions, below-ground competition is more prev-
develop specific adaptive traits. Plant adaptations for salinity alent in deserts where the roots of some species are vast and
tolerance are avoidance of saline habitats, modification in robust and do not easily let other species establish and grow
root morphology and retention of some toxic chemicals in or are sometimes responsible for regular distribution in for-
vacuoles or granular compartments and osmotic corrections. ested habitats. In contrast, some strong associations are also
Apart from the reverse flux from the leaves to the roots by visible in desert areas where a group of 3–8 species are found
phloem tissues may also help in diluting excessive salts, associated and supporting their survival (Singh 2008a).
238 G. Singh and S. Sharma

Because of the presence of a wide range of animals, animal 11.7 Cultural and Scientific Wealth
husbandry as an important occupation in the desert regions,
interactions between plants and animals are central as these 11.7.1 Cultural and Economic Activities
interactions play significant roles in the evolutionary history
of the region (Singh 2018). Some other biotic interactions Deserts of the world are inhabited by about 8% of the total
observed to play important role in deserts are pollination and population of the world. Humans inhabited deserts since
seed dispersal. However, studies on biotic interaction in ancient times and their livelihood largely depends on natural
deserts still have scope as the exact contribution of biotic resources available there (Fig. 11.4). That in turn is governed
and abiotic interactions is yet to be determined. by ecological aspects of the deserts. Despite harsh environ-
Net primary productivity depends mainly on water avail- mental conditions arid areas were known to support
ability and autotrophic life in the area. However, studies in civilisation including Indus and Harappan that flourished
the Sonoran Desert reveal the productivity of different vege- during 3300–16,000 BCE (Dhir et al. 2017). The earliest
tation types that is affected by temperature or precipitation inhabitants of the desert were hunters and gatherers and it
gradient, which in turn are influenced by topography of the was the culture and means of living for early humans. The
region (Whittaker 1975). Likewise, salinity, edaphic lifestyle of early humans as hunters or gatherers was based on
conditions, nutrient deficiency and substrate instability are their habit of hunting animals and foraging for food. But
often held responsible for the low productivity of deserts. during scarcity, these people used to migrate and start hunt-
Productivity in seasonal plants varies temporally as well as ing at new sites hampering the ecological balance of the area,
spatially. Productivity in desert plants ranges from <100 to which further leads to an imbalance between biotic and
>2000 kg dry weight per hectare per year (Lathrop and abiotic resource utilisation. Knowledge of natural resources
Rowlands 1983). Underground production of desert plants and climatic conditions proved helpful for survival in this
is often more than the production above-ground and it may be kind of livelihood practice, but excessive hunting and
six times or more in some of the plants (Holmgren and gathering and harvesting from nature appeared injudicious.
Brewster 1977). The nutrient most limiting in desert produc- This type of livelihood practice has now been somewhat
tivity is nitrogen as the primary production is reduced in the restricted because of the increased availability of alternative
absence of nitrogen even during the wet months. Annuals means of livelihood under technological advancement
also follow the same trend in case of nitrogen and phosphorus (Rowley-Conwy and Layton 2011).
deficiencies. Conservation of nutrients within the plant Rainfall is a vital factor regulating agriculture, grazing,
organs and the ability of the plant to rapidly cycle the etc. but other parameters are high temperatures and strong
nutrients are the two adaptations which help desert plants to winds. Although humans adapt to these conditions, they
improve productivity (Freidel et al. 1980). Several other show behavioural, cultural and technological adaptations
factors which may have an impact on nitrogen availability instead of morphological and physiological changes. Major
and productivity of desert ecosystems can be microbial bio- livelihood practices in deserts were hunting and gathering in
mass, decomposition rate, presence of nitrogen-fixing plants, the past but with time domestic livestock herding and agri-
soil fauna, excretion by animals, etc. (Singh et al. 2000; culture prevailed along with mining activities and tourism.
Tripathi et al. 2013). Thus, the survival of humans in desert ecosystems primarily
depends on an adequate supply of food, water and shelter.

Fig. 11.4 A village and a hamlet in Thar Desert region of India

11 Desert Ecology and Functional Aspects of Desert Ecosystems 239

Recent technological advancements have made the desert 60.8% of the total livestock population in Rajasthan. Mobil-
slightly comfortable. Industrialisation and an adequate sup- ity is important for successful pastoral activity in the deserts.
ply of goods and services have improved the lifestyle of Early pastoralists used to follow rainfall patterns and different
desert dwellers (Dhir et al. 2017). Besides, solar energy and grasslands that picked up growth in certain areas in some
wind energy utilisation in the region have brought some good years depending on rainfall (Henschel et al. 2005). After a
changes and comfort in the lifestyle of the people. Along with good rain, pastoralists and their herds used to gather in the
the development and use of domestic crops and animals, area where sufficient rain offered good grazing ground
early humans started herding and carrying out agricultural (Kinahan 2016). Nowadays graziers rarely live in deserts
activities in varying proportions. In extreme conditions, the rather use to move in other areas where the availability of
human population of deserts is regulated by changing fodder (grasses and herbs) is generally high and herd
climates, and technological advancements in the field of (gathering) their animals at the places to sell their animal
agriculture, irrigation and renewable resources. Many products in urban markets (Fig. 11.5). Further, the population
institutions including government and non-government are of buffaloes is increasing to meet the local as well as the
engaged in resource management and agricultural and horti- urban milk requirements. However, the shrinking of
cultural activities, which are important for desert develop- rangelands and pastures and their grazing capacity on which
ment (Singh 2017). domestic and wild animals depend are leading to
Pastoralism is a type of livelihood practice wherein overgrazing. Increased livestock numbers bring about
animals are domesticated and utilised for various products overcrowding of grazing lands, and consequently trampling,
such as milk, skins, wool and meat. Camel is the earliest reduced infiltration and accelerated surface runoff and soil
domesticated animal in the hyper-arid deserts and is physio- erosion.
logically more advanced than other commonly domesticated Agriculture has been central to the people of dry regions
animals in the region. In modern times, camels have been since this practice was started. A large chunk of the popula-
replaced by cattle (buffaloes also in the Thar Desert) because tion depends on agriculture and animal husbandry as the two
of their better market value. People have now shifted towards main occupations. Cropped area, cropping pattern and yield
other livestock like cows, buffalos, sheep and goats as they of agricultural crops are governed by soil texture and depth,
provide better income. Animal husbandry is the second most terrain slopes, water availability, severity of natural hazards,
important occupation in western Rajasthan. According to rainfall pattern and socioeconomic conditions of the local
2019 census, Rajasthan has livestock population of 56.80 population. The evolution of irrigated agriculture in different
million, which indicates a decrease in livestock population places depends on water availability and crop adaptability.
by 0.9 million as compared to the 2012 census. Census 2019 Rainwater harvesting, drip and sprinkler methods of irriga-
comprises 13.90 million cattle, 13.70 million buffaloes, 7.90 tion, mechanised farming, crop varieties and access to ground
million sheep, 20.84 million goats and 0.29 million camels as water are a few modifications that took place recently and
compared to 13.33 million cattle, 13.0 million buffaloes, 9.08 these technologies provided better returns to desert dwellers
million sheep, 21.66 million goats and 0.33 million camels in (Singh et al. 2017). Paliwal families in Jaisalmer areas of
2012 census. Goat and sheep combined contribute to about western Rajasthan are accustomed to harvest rainfall on their

Fig. 11.5 Movement of herds of livestock in western Rajasthan. Traditional agriculture involving camel in ploughing
240 G. Singh and S. Sharma

farmlands from the upland areas during the monsoon period groundnut (Arachis hypogea) and cumin (Cuminum
and used to cultivate crops like wheat, gram and mustard cyminum) are also cultivated in Thar Desert, which has
during the Rabi season on the conserved moisture, what is become one of the highest groundnut-producing area.
called ‘Khadin System’ of cultivation (Fig. 11.6). Oases are Though deserts sustain relatively a small human popula-
also known for cultivating many types of crops such as dates, tion, but the environment conditions of the region make these
vegetables, cereals and cash crops. Other crops include salt- people prosperous through increased availability of some
tolerant varieties of barley and fodder crops such as alfalfa. non-renewable mineral resources. These mineral resources
Many local cultivars of these crops have also been developed are exported to non-desert regions frequently and include
to suit the local conditions (Moore et al. 1994). The main gypsum, common salt, limestone and nitrate compounds of
agricultural crops of the Indian desert are cereals, oilseeds, sodium and potassium. Numerous labours are also involved
pulses and others. Cereals include bajra (Pennisetum in excavation, loading, transportation and other related
typhoides), jowar (Sorghum bicolor), maize (Zea mays), activities. However, the expansion of mining activities and
wheat (Triticum aestivum) and barley (Hardenum vulgare) disposal of large quantities of debris are posing a severe
in different locations and their yield vary considerably. Oil- threat to the desert ecosystem. The impact of physical
seed crops include sesame (Sesamum indicum), mustard disturbances to the top soil during stripping, stock piling
(Brassica nigra), taramira (Eruca sativa) and castor (Ricinus and reinstatements results in soil degradation by reduced
communis). Pulses constitute about 10% of the total area soil structure, accelerated soil erosion and leaching, soil
under cultivation and include moong (Vigna radiata), moth compaction, decrease in soil pH, heavy metals accumulation
(V. aconitifolia), cowpea (V. unguiculata) and gram (Cicer in the soils, depletion of soil organic matter, reduction in the
arietinum). Besides these, several other cash crops like cotton soil available nutrients and cation exchange capacity,
(Gossypium spp.), chilli (Capsicum annum), methi decreased microbial activities, soil fertility and productivity
(Trigonella foenum-graecum), Isabgol (Plantago ovata), (Mensah 2015).

Fig. 11.6 Khadin system of cultivation: an ancient system of water conservation for crop cultivation with a dug well down side the slope
11 Desert Ecology and Functional Aspects of Desert Ecosystems 241

11.7.2 Centre of Recreation wind and water and leads to the degradation of land, while
soil compaction reduces the rate of water infiltration. The
Deserts also contribute extensively to culture and tradition negative effect of vehicle movement in desert areas has been
that helps promote tourism in the region. Encampment, dune observed in a study indicating that the tracks made by the
and hill-walking and sometimes fishing and hunting are very single visit of the outdoor vehicles through lichen-rich areas
much popular in desert areas. In search of sunshine, warm remain visible for few decades in Namib desert (Seely 2004).
weather, varying landscapes and remarkable flora and fauna
are other attractions. Off-road vehicle for transport of tourists
on the sand dunes like buggies and bikes or ordinary vehicles 11.7.3 Act as Corridors
are becoming popular nowadays. Movies and books based on
deserts have immense contributions to the rise of tourism in The trading convoys—called caravans, and migrant birds
the region. The Thar Desert has become a recreational centre both use deserts as their corridors. These desert corridors
in view of desert festivals, which are celebrated with great connect one non-desert area as the starting point to another
zeal every year, particularly during the winter season. The non-desertic region as the destination. While using the desert
people of the desert region use to dance and sing unforgetta- corridor, they use to link up with the biotic and a biotic
ble songs of bravery (valour), romance and tragedy following environment of the desert. Earlier evidences indicate that
dressed brilliantly in hued costumes. The fair of the desert traders of western countries like Arab and Afghanistan
includes puppeteers, acrobats and locally available folk cross the Thar Desert to reach Delhi, Agra and other cities
performers. Camels are central to this festival, where the as the trade centre. Likewise, the Garamantes—an ancient
rich and colourful folk culture of Rajasthan is visible. The people and descendent of Berber tribes or Saharan
best example of such tourism activities is an influx of tourists pastoralists that settled in the Fezan region of southwestern
during the winter season in the Sam sand dune area of Libya about 3000 years ago, and used to control trans-
Jaisalmer or another dune in the region making the desert a Saharan trade (Nikita et al. 2012).
vibrant place of living (Tawade 2018; Fig. 11.7).
Nowadays, many desert areas like ‘Thar Desert’ have
become common destinations for tourists. There may be 11.7.4 A Place of Research
chances of increased inflow of public because these deserts
may work as rehabilitation centres for patients suffering from Various experiments are being conducted in many desert
diseases like asthma or arthritis. Although tourism is going to regions of different countries to test science-driven rovers’
be the main source of income generation for the desert operations to improve human–robot interactions in simulated
dwellers in various deserts globally, but again there must be conditions in deserts like those on the celestial bodies such as
some regulations, which should be implemented stringently Moon and Mars (Fosum et al. 2018). India did nuclear
to protect these deserts from degradation. For example, the explosion in the Thar Desert near Chandhan in the Jaisalmer
loosening of surface soils increases erosional processes by District. Low levels of pollution, atmospheric humidity and

Fig. 11.7 Tourist influx to visit Sam sand dune and fossil reserved in Akal Fossil Park in Jaisalmer
242 G. Singh and S. Sharma

air turbulence make the desert region suitable site for such adjustment assists not only the plants but also the mammals
experiments. Further, it is easy to find almost plain and and the birds to animate in an environment where water is
unhindered (treeless) areas with reduced turbulence of air- scars and atmospheric temperature is high (Bhatnagar et al.
flow and limited human interference in deserts. Indeed, some 2011; Yan et al. 2013). But the adaptations in humans are
largest and most expensive astronomical instruments of the solely culture and behaviour based. This is the main driving
international astronomical community have also been placed factor for the researchers to conduct research on the physio-
on mountain tops of the deserts. This is because of reduced logical responses of animals and plants to the surrounding
atmospheric layers between the telescope and the celestial environment. These studies may determine the potential of
object. For example, the very large telescope array (VLT) of biota in familiarizing, rather than adapting to this stressful
the European Southern Observatory (ESO) is located on environment (Shkolnik et al. 1980). The types of adaptations
Cerro Paranal, the high area of the Atacama Desert in acquired by humans and the livestock inhabiting the desert
Chile. This consists of four individual telescopes that are regions also compel the researchers to observe the damaging
equipped with a primary mirror measuring about 8.2 m effects of extreme temperatures, blasting winds, chronic
diameters (Gregersen 2023). Likewise, the Southern African dehydration, and food scarcity on humans and the
Large Telescope (SALT) is located near Sutherland—a town domesticated (like camels, sheep, goats and donkeys) as
in the semi-desert region of the Karoo in South Africa and is a well as wild animals in the region (Singh 2018).
facility of the South African Astronomical Observatory,
South Africa (Buckley et al. 2005). The SALT is operating
since 2005, and other observatories are being scheduled for 11.7.7 A Place of Ecological Research
other desert sites.
Ecological processes in dry regions are governed by environ-
mental conditions, particularly rainfall. Because of the rela-
11.7.5 A Place of Treasure of Paleontological tively a smaller number of species and their population sizes,
Evidences the desert ecosystem looks to be simpler and therefore easy to
comprehend as compared to the other ecosystems, which are
Deserts are characterised by low vegetative cover, shallow relatively complex in nature. These features inspire the
soils, high aridity and large areas under exposed rock, these researchers to use deserts as an outdoor laboratory. Likewise,
all make the region better to work as a natural laboratory. the concept and theories devised in non-desert environmental
Scanty rainfall affects chemicals leaching negatively and conditions can also be tested in desert areas. Evolving
favours the preservation and discovery of fossils available through the specific mechanism of sectionalisation of limit-
in the region. These all together help in interpreting the ing resources empowers many of the desert species to facili-
evolutionary history of different biotic components. Akal tate each other and coexist. This type of association leads to
Fossil Park near Jaisalmer in Rajasthan is indicative of the build up of diverse patches of biota in desert regions
presence of gymnosperms in the Thar Desert. Paleontological (Fig. 11.8). Since soil moisture is limited in top soil layer,
records of pollen grains of the plants of the family the coexistence of many annual plant species is not due to
Graminaceae, Chenopodiaceae, Amaranthaceae, Cyperaceae, drawing water from different soil layers and niche differenti-
etc., and evaporite minerals like gypsum and halite in the soil ation, rather facilitation by the associated species. Some
profiles indicate that this area remained brackish to saline species like Peristrophe paniculata grow well in association
even during the mid-Holocene, that is, Palaya region of Bap with P. juliflora and is because of shade and soil fertility
area of Jodhpur and the surrounding vegetation was improvement by the latter species (Singh and Shukla 2011).
dominated by grass (Deotare et al. 2004). Despite low primary productivity in deserts, long food chains
with several predators on top have also been observed in the
region. Most of the primary produce in the desert are not
11.7.6 A Place of Physiological Adaptation consumed by the herbivores and converts in to plant litter,
which does not decompose readily by the soil micro-
Societies in desert region have a long record of managing the organisms because of low humidity in the atmosphere and
impacts of climate-related events like droughts and floods of soil as well. Therefore, most of the litter accumulates on the
varying levels. By working on these records, additional adap- soil surface and is consumed by a large number of arthropods
tation measures may be adopted to reduce the adverse that leads to an increase in soil organic matter and soil fertility
impacts of projected climate change and variability. (Tripathi et al. 2013).
Researches in dry regions reveal that physiological
11 Desert Ecology and Functional Aspects of Desert Ecosystems 243

Fig. 11.8 Associations of S. oleoides, Clerodendrum phlomidis and Cocculus pendulus (left) and Rivea hypocrateriformis, Capparis decidua and
Lycium barbarum (right) for best fit survival

rising water tables due to the intrusion of salty seawater

11.8 Threats to Desert Ecosystem seeps into underground freshwater aquifers. Diversion and
damming of large rivers passing through deserts to provide
Increased development activities are the biggest threats to water to the nearby cities and agricultural farms cause down-
deserts. However, changes in land use patterns in deserts stream water supplies to dry up and will show a serious
reduce floral diversity in both hot (Singh et al. 2008) and impact on flood plains (by increasing soil salinity) and river
cold desert regions (Oinam et al. 2005). Increasing the area ecology. Salinisation in the Patan area of Gujarat due to the
under irrigation for the cultivation of Arachis hypogaea dam on the river Banas in Palanpur is the best example. Road
(ground nut) and Ricinus communis (castor) in the western construction, habitation expansion, other developmental
region of Rajasthan enhances the economy of the villagers works in the nearby areas, and mining are also common in
but simultaneous increase in the fuel wood consumption the regions making the desert soil erosion prone. Many of the
reduces the vegetation diversity and the natural habitats of small hillocks are being removed in the process of making
some of the species like C. polygonoides and L. sindicus building materials. It may influence the hydrology of the area.
(Singh et al. 2008; Davies et al. 2012; Weber et al. 2013). Some areas have been put under irrigation using groundwater
People are also heading towards the desert for recovery of to cultivate cash crops, which are useful in the near term, but
their health particularly who suffer from various respiratory if water is not supplied in abundance to flow off the land and
ailments leading to crowding in desert areas. Air conditioning carry away the accumulated salts then those salts will build
has also made such an inroad that desert cities began to up, leading to salinisation of the agriculture land or region
thrive. It is also fuelled by large quantities of water inputs influencing vegetation composition and agricultural produc-
from the dams on major rivers, that is, the Colorado in tion (Singh et al. 2007; Ahmed et al. 2013).
America or the Bhakhra dam on Sutlej in India. Water supply Uncontrolled grazing over the carrying capacity of the
by these irrigation projects allows people to plant many areas can have severe impacts on floral abundance. The
species either in lawns or in their agriculture fields grazing animals are often placed in grazing lands in far
influencing microclimate. Many mysterious desert dwellers greater numbers than the land normally supports. In addition
like Coccidioides immitis and Coccidioides posadasii have to trampling and killing of desert plants, the high level of
been found in arid and semi-arid alkaline soil and for them, grazing (animals) alters the composition of indigenous plant
harsh climatic conditions may be right for their growth. The communities and the biodiversity (Wuerthner 2023). The
spores of these fungi reach the lungs and cause infections of increasing population of grazing animals also poses forage
varying intensity like Valley Fever (Kollath et al. 2019). The competition with local wildlife and hence the greatest threat
increasing incidence of malaria in desert regions is a matter of to the desert ecosystem (Wuerthner 2023).
great concern (Baeza et al. 2013) Change in land uses also affects productivity as well as
An increase in irrigation in coastal agriculture makes the soil carbon stock. An estimate on woody perennials of tradi-
region to become much more prone to contamination by tional agroforestry in the Indian cold desert area indicates the
244 G. Singh and S. Sharma

addition of 400 tonnes of carbon through litter and is respon- The climate-induced increase in atmospheric temperature
sible for sequestering about 70,000 tonnes of carbon in the is increasing evapotranspiration (ET) in desert regions. High
system (Kumar et al. 2009). A study conducted in western ET, low rainfall and severe droughts in combine reduce soil
Rajasthan indicated the lowest carbon stock of water—a limiting resource on which desert productivity
6.17 tonnes ha-1 in the soils of roadside, but it was almost depends. The expected increase in air temperature by 20%
close to the carbon stock in the soils of other land uses like in the Thar Desert area will increase ET by 14.8% (Goyal
sacred groves (Oran), grasslands (gauchar), agriculture and 2004). Since all life forms depend on the plants either directly
forest lands (Singh 2015). The highest level of carbon stock or indirectly, changes in the biological diversity of the region
(10.08 tonnes ha-1) was in the fallow land (Singh 2015). are inevitable. A study conducted in Rajasthan indicates that
However, the effect of spatial variations on soil organic the standing biomass of the forests increases with an increase
carbon stock is stronger than the effects of land use, though in rainfall, promoting soil carbon stock and litter production
this variation is also related to rainfall and edaphic factors and showing positive correlation with species richness and
(Singh and Sharma 2017; Venkanna et al. 2014). diversity (Singh 2014). Less mobile animals and plant spe-
Changing landscape, soil and water conservation cies of low dispersal ability may decline in numbers under the
measures, water harvesting and storage, afforestation and influence of global climate change (Croteau 2010). However,
grasslands development along with agriculture, horticulture the species with dispersal rates faster than the expected rate of
and animal husbandry, all influence regional ecology and warming will extend their distribution ranges into the areas
production system (Tewari and Kapoor 2013; Dhir et al. that had been relatively cooler earlier. Recent mortality in the
2017). There may be chances of a change of species in each state tree of Rajasthan, that is, Khejri (Prosopis cineraria)
regional desert. A study conducted in the Chihuahua desert may also be linked with an increase in atmospheric humidity
anticipates the replacement of about 50% of species of birds, under irrigated agriculture and is a point of research.
mammals and butterflies by other species not later than the Plants available in such desert areas are a potential source
year 2055 (Peterson et al. 2002). Rising aridity will favour of new medicines. Global warming may affect some
shrubs in grasslands resulting in a new stable ecosystem. untapped plant species (bioresource) useful in extracting
Likely changes in plant community structure in many deserts anti-cancer and anti-malarial drugs. Because of a decline in
are because of variations in the biochemical pathways of rainfall by 5–15%, the cold deserts like Australia’s Great
photosynthesis in some desert plant species and are respon- Victoria Desert, the Atacama and the Colorado Great Basin
sive to elevated CO2 as compared to the other species of the are becoming much more vulnerable. However, some deserts
same community (Morgan et al. 2001). Some plant species like Gobi and Thar are experiencing an increase in rainfall.
introduced in restoration or other uses from other regions There may be chances of an average increase in air tempera-
have also become invasive and threatening the native vegeta- ture by 3 °C annually in some of the deserts. Furthermore,
tion. Greening the Indian desert by the introduction of plants increase in winds that pick up sand grains off the dunes and
like Prosopis juliflora or ornamental plants like Lantana deposit them in vegetated areas or agricultural lands, thus
camara complex, both have become invasive in most of the turning these arable lands into deserts.
land use systems. Likewise, the dry river beds in western
Rajasthan are also occupied by Tamarix spp.
An increase in global temperature is another potential 11.9 Desert Development Programmes
threat but hard to imagine in desert regions. The people of
the Indian desert region in western Rajasthan have started Because of increasing threats of land degradation and living
realizing a rise in air temperature and heat waves (Singh conditions in deserts and their margins, top priority programs
2018). As a function of climate change, a warming desert for governments, international organisations and nongovern-
may be worse than some of the hot deserts. Even a small mental organisations include various activities under combat-
change in atmospheric temperature or rainfall can have sig- ing desertification. Agenda 21 of the United Nations
nificant impacts on agriculture and desert populations (Gobin specifically lists the steps to be taken to combat desertifica-
et al. 2012; Hasan and Öztürk 2014). In some cases, global tion (United Nations 1992). These are:
warming is predicted to increase the area of deserts under
desertification, but it is not clear that the desert biota will be • Monitoring, modelling, and prediction of desertification
benefited from such changes. However, human activities like for effectively combating desertification and sustaining
gathering of firewood or overgrazing of pastures and com- economic development,
munity lands are converting fragile grasslands into deserts, • Strengthening the knowledge base and developing infor-
particularly in desert fringe area—a process called mation and monitoring systems for region prone to desert-
desertification. ification and drought. This includes the economic and
social aspects of desert ecosystems.
11 Desert Ecology and Functional Aspects of Desert Ecosystems 245

• Use of best fit and site-specific technology involving been treated under afforestation and reforestation using sand
indigenous knowledge in natural resource management, dune stabilisation (SDS), shelterbelt plantation,
control of land degradation such as sand dune eco-restoration, silvipastoral, block plantation, canal side
stabilisation, intensification of agricultural production plantation (CSP), rehabilitation of degraded forest (RDF)
through tree integration focusing on indigenous under the programmes like Desert Development Programme
species etc. (DDP), Combating Desertification Programme (CDP), Com-
• Involvement of local community for effective long-term pensatory Afforestation and Management Planning Authority
solution to desertification. Local people are required to be (CAMPA), Rajasthan Forestry and Biodiversity Project
aware of the types of benefits and participate fully in the (RFBP), Forest Development Agency (FDA), Rajasthan
design and implementation of the programmes. Krishi Vikas Yojana (RKVY), National Bank for Agriculture
• Environmental education to reduce poverty and ensure and Rural Development (NABARD) and Border Area Devel-
food security among the poorest communities of these opment Project (BADP), Harit Rajasthan.
regions.

Major strategies in combating land degradation involve 11.9.1 Compensatory Afforestation

community-based approaches. This includes the promotion
of activities that help in improving the economy and quality In this program, about 57 plus species have been planted in
of living of the local people; generating awareness among the Rajasthan. Frequently planted species are Vachellia tortilis
people about the environment and forests; drought manage- (18.90%), Senegalia catechu (11.55%), Z. mauritiana
ment, preparedness and mitigation; research and develop- (10.84%), Vachellia leucophloea (9.60%), V. nilotica
ment initiatives and interventions best suited and beneficial (8.49%), Dendrocalamus strictus (8.24%), Senegalia
to the locals; and strengthening self-governance leading to senegal (6.02%), Azadirachta indica (2.94%), Albizia
empowerment of the local communities. Land treatment lebbeck, Gmelina arborea, Pongamia pinnata, Prosopis cin-
strategies cover: (i) prevention of land degradation, eraria, Commiphora wightii, Holoptelia integrifolia,
(ii) rehabilitation and restoration and (iii) reclamation. Pre- Bombax ceiba, Terminalia indica, Salvadora oleoides,
vention of land degradation includes policy interventions, Emblica officinalis, Butea monosperma, Ficus religiosa,
protection, land and water management, protection of vege- Dalbergia sissoo, Cassia fistula, etc. Contributions of two
tation cover, encouraging mixed farming, blending indige- indigenous species in desert region such as P. cineraria and
nous knowledge with modern scientific techniques and Tecomella undulata plants in total plantations are only 0.33%
promotion of alternative livelihood. Rehabilitation and resto- and 0.46%, respectively (Table 11.2). Overall survival of
ration approaches involve various methods of afforestation plantations under CAMPA is 49.37%. Sixteen plant species
and reforestation to restore these degraded lands, whereas showed >49.27% survival. T. arjuna, S. cummini, Mitragyna
reclamation includes reclamation of water-logged and parviflora, B. ceiba, Madhuca indica etc. exhibited
saline-alkaline area, wastewater treatment and rehabilitation extremely low survival whereas species showing >49.4%
of mine spoils. survival are S. catechu, S. senegal, V. tortilis, Ailanthus
Various initiatives have been taken by the government of excelsa, A. indica, Anogeissus pendula, B. monosperma,
India and non-government organisations, research C. wightii, Cordia gharaf, D. strictus, F. benghalensis,
institutions, environmentalists, academia and the public in Manilkara hexandra, Moringa oleifera, W. tinctoria and
this direction. These include state policies and rules of differ- Z. mauritiana.
ent state governments including, Rajasthan, Punjab and
Haryana by framing out biodiversity rules, state environment
policies, state action plan on climate change, forest policies 11.9.2 Research and Experimentation
etc. Institutional works involve assessment of groundwater
quality and status and management of biological diversity Though there has been a large amount of research conducted
(Singh 2014, 2008b), vulnerability assessment of the region, on desertification, considering the climatic variations and its
strategies for wasteland development, a proposal for conser- impacts in deserts and dry lands further research work may
vation of flood-prone catchment area, geohydrology and include: (1) dynamic monitoring of Aeolian desertification
geomorphology, stratigraphic development of river basin and environmental resources in the areas, and establishing a
etc. Some initiatives related to forestry and water resource network for monitoring and surveillance all over the country
conservation in Rajasthan regions include afforestation and covering hot and cold areas including inland and coastal
reforestation through various national and international dunes; (2) establishing a representative area in each zone
programmes. By now, about 0.4 million ha of lands have for experimentation and data generation; (3) providing infor-
mation and advisory services; and (4) conducting
246 G. Singh and S. Sharma

Table 11.2 Different species and extent of their use in CAMPA plantation in Rajasthan
S. no. Planted species Total (%) S. no. Planted species Total (%)
1 Senegalia catechu 13.7 22 E. camaldulensis 0.2
2 Vachellia leucophloea 10.1 23 Ficus benghalensis 0.0
3 V. nilotica 8.0 24 F. religiosa 0.0
4 S. senegal 6.2 25 Gmelina arborea 1.3
5 V. tortilis 15.3 26 Holoptelea integrifolia 5.3
6 Ailanthus excelsa 0.6 27 Manilkara hexandra 0.2
7 Annona squamosa 0.1 28 Moringa oleifera 0.0
8 Albizia lebbeck 1.0 29 Madhuca indica 0.3
9 Azadirachta indica 2.7 30 Pithecelobium dulce 0.6
10 Balanites aegyptiaca 0.2 31 Mitragyna parviflora 0.4
11 Bambusa vulgaris 0.0 32 Pongamia pinnata 1.8
12 Aegle marmelos 0.3 33 Prosopis cineraria 0.4
13 Anogeissus pendula 0.0 34 Syzygium cumini 0.6
14 Bombax ceiba 0.6 35 Tamarindus indica 0.1
15 Butea monosperma 0.9 36 Tecomella undulata 0.5
16 Cassia fistula 2.9 37 Tectona grandis 0.3
17 Commiphora wightii 0.0 38 Terminalia arjuna 0.6
18 Cordia myxa 0.1 39 T. bellirica 0.3
19 Dalbergia sissoo 1.4 40 Wrightia tinctoria 0.1
20 D. strictus 9.9 41 Ziziphus mauritiana 10.9
21 Emblica officinalis 1.7 42 Others 0.3

comprehensive research on the relationships of society, the wind erosion are now being planted with trees and shrubs,
economy and types of land degradation for an effective and especially Vachellia tortilis and Calligonum polygonoides
integrated desertification control programme. (phog) and occasionally Prosopis juliflora. A combination
Use of vegetative barriers of tree sticks in wind erosion of C. polygonoides and Cassia angustifolia (sonamukhi) has
control favourably influences soil and water conservation and been found very effective in sand drift control and improving
growth and production of pearlmillet. Strip cropping of economic benefits (Singh and Rathod 2002). Erection of tree
legume crops with grass in 1:3 ratio reduces soil loss at rows in the form of shelterbelts on boundaries of agricultural
20.5 tonnes ha-1 than losses of 48 tonnes ha-1 in bare fields helps in reducing injuries to the newly planted
field. Estimated loss of soil organic carbon and total nitrogen seedlings caused by sandblasting, and hot and desiccating
are 44–48 kg ha-1 and 3.0–3.2 kg ha-1 respectively from the winds. Increasing tree cover on agricultural lands through
soils left in bare after sole cropping (Soni et al. 2007). In the agroforestry of varying kinds involving people also
contrary, promoting grasses and afforestation encourages diversifies income generation opportunities and increases
sediment deposition, and provides a net gain in soil organic the yields of farm products. It enhances the socio-economic
carbon and total nitrogen (Raji and Oguwole 2006). Planting conditions of the farmers besides increasing tree cover in this
‘Aloes’ or thornless cactus (Opuntia ficus-indica) facilitates hostile region. Overall environmental benefits of combating
the effectiveness of grass reseeding for rangeland restoration, desertification are:
enhancing the benefits gained from the more common strat-
egy of using the branch together. The major functions of this • Reduction in amount of atmospheric dust and sand that
cactus are used as food, feed for livestock, income genera- pollute the surrounding areas due to mild to severe sand
tion, environmental protection, fence, firewood, etc. storms.
(Gebretsadik et al. 2013). Small bushes and grasses are better • Provides benefits of carbon sequestration, biodiversity
sand binders as compared to the tree species. However, enhancement, improved soil and climate conditions and
maintaining grasses has an associated problem of uncon- the economic value of associated forest products (Singh
trolled grazing on vulnerable sites covering dunes and and Rathod 2002).
sandy plains and most importantly is the drying of the grasses • Removal of CO2 from the atmosphere and minimisation of
during the summer season, when maximum sand drift takes GHG emissions from the soil by conserving and enhanc-
place. Bio-fencing of locally available non-palatable species ing soil carbon stock.
is a cheaper option and more effective form of barrier. Most • Positive effects of planted trees on micro-climate and
reactivated hairpin parabolic dunes in the zone of very high decrease in soil erosion and sand drift.
11 Desert Ecology and Functional Aspects of Desert Ecosystems 247

11.10 Synthesis and Future Directions groves etc., the deserts hold immense potential for its devel-
opment into a rangeland. Lasiurus sindicus, Cenchrus
A wide difference in latitudinal, altitudinal, climatic, geomor- ciliaris, C. setigerus and Cymbopogon jwarancusa, etc. are
phological and biological features in deserts results in vary- fodder grasses of high nutritive value and are well adapted to
ing nature of habitats. Such variations are responsible for the Thar Desert region. These grasses can be utilised in
enjoyable biological diversity and survival of different spe- restoring degraded community lands or pasturelands. Inva-
cies and sustain the livelihoods of the people living in these sion of many alien species including Prosopis juliflora is also
extreme but amazing areas. Changing life span, growth taking place in the deserts. These invasive species need to be
patterns, physiology and biochemical behaviour are the eradicated and the land should be put into production and
ways by which plants and animals adapt themselves towards cattle rearing. However, large investment costs and techno-
the adversities of the environmental conditions of the world’s logical interventions in the desert restoration process require
deserts. Life forms like ephemerals, annuals and succulent documentation of the causal factors involving the local peo-
and non-succulent perennials are important ways of adapta- ple especially the rural populations in the restoration process
tion among the plants in these deserts. Multiple sorts of and reversing the process of land degradation/
stresses like diurnal and seasonal extremities, intense solar desertification also.
radiation and high temperatures, water scarcity, soil salinity
and wind and dust storms all together influence the life in Lessons Learnt
desert. Biotic stresses such as competitive interactions also • Origins and dynamic properties of desert-like conditions
play an important role in desert ecology. But remarkable depend on region-wide conditions. While anthropogenic
ways of adaptations allow life to be sustained in the desert factors play a leading role in desertification in warm-
region. Deserts are usually low in species richness and diver- temperate and sub-arid areas, the climatic factors influence
sity of the biota with respect to other favourable biomes of the desertification in tropical and subtropical zones. Wind
world. However, diversity in habitats and isolated action is important in shaping different landforms such
populations results in higher within-species diversity and is as dunes of different shapes and sizes, mesas and buttes.
positively related to various functions of the desert ecosys- Other important geomorphic structures are playas, alluvial
tem. However, recent trends indicate degradation in these fans, bajada, pediments and inselbergs. These landforms
habitats because of the increase in population of both live- directly affect the inflow and outflow of water and other
stock and human, and related anthropogenic activities and materials in the form of run-off, infiltration, erosion, salt
climatic adversities. Unsustainable livelihood practices like accumulation, water storage etc. These altogether cause
overutilisation of vegetation for fodder and fuelwood, along heterogeneity in the habitats supporting different flora and
with altered land use, increased atmospheric CO2 level and fauna adapted to the existing climatic conditions. Hence,
global warming are leading to habitat loss and land degrada- deserts are not deserted despite many adversities in the
tion. Their interactive outcome affects biodiversity, water region. This is the biome type, the researchers and
supply, soil functioning and resilience and consequently conservationists do not want to expand, but they ensure
brings a decline in ecosystem services and local economy. that the deserts should not disappear because of coarse
A lot of researches have been conducted and programmes grain production, low biodiversity and extreme climatic
implemented to tackle the problems associated with desertifi- conditions. The deserts are very sensitive, influenced eas-
cation and improve the socio-economy of the desert people. ily by the climatic changes in the adjoining landscapes and
For this, long-term planned restoration efforts are still present a risk of degradation as well to that.
required to check the process of desertification and secure • Deserts are home to 17% of the human population, live-
the essential resources for the ecological and economic stock like camels, goats, antelope, kangaroo and plants
growth of the region. The process of conservation of deserts like dates, figs, olives and other food crops. They are
appeared inconsistent in the past and varied with countries important places of mineral resources with 13 minerals
and the availability of resources. In most of the cases, deserts concentrates, out of 15 minerals on the earth, well-
were considered as wastelands and the only interest in deserts preserved archaeological ruins (e.g. Village Kuldhara
was mining or military testing. near Jaisalmer), generating renewable energy (both solar
The use of fast-growing exotic species Vachellia tortilis in and wind energy), rich archaeological sources and tourist
Thar Desert regions appeared beneficial for the initial phases destination (attract millions of visitors every year). Deserts
of sand drift control and stabilisation under effective protec- support unique biological profiles and species that exist in
tion and caring. However, there is a need to focus on indige- these environments, simply do not appear in other regions.
nous species in replacing the exotics in a sequential manner. Soil physicochemical properties like water content,
Because of the availability of pasturelands, bushlands, sacred organic carbon, salt contents and nutrients and more
importantly human activities are the major forces
248 G. Singh and S. Sharma

regulating plant communities’ distribution and their diver- Bhatnagar C, Meena SS, Pandey VN (2011) Habitat preference of
sity, structure and functions. This is observed through Trapelus agilis Olivier in Thar Desert of Jaisalmer, India. Russian
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 Climate Change and Forest Sector in India
12
R. S. Rawat and V. R. S. Rawat

Abstract vulnerability, impacts, loss and damage, adaptation and

The key issue behind the recent global climate change is a long-term sustainability are priority areas for future
continuous increase in the concentration of greenhouse research in forest sector. Inadequate financial and techni-
gases in the atmosphere. Emission of greenhouse gases cal resources in the country are key barriers for conducting
during the time period from 2010 to 2019 was higher these studies and implementing suitable adaptation
across the globe than the previous time periods in human measures. A programme to reduce emission from defores-
history. The anthropogenic emission of greenhouse gases tation and forest degradation in developing countries
since 1850–1900 is responsible for warming of 1.1 °C. (REDD) was initiated in 2005 by UNFCCC primarily to
Taking note of the serious issues of global climate change, address the causes of deforestation. However, a compre-
world governments in the year 1992 agreed on a global hensive policy approach put forth by India led to the
treaty called ‘United Nations Framework Convention on inclusion of conservation of forest carbon stocks and
Climate Change’ for stabilising the concentration of sustainable management of forests in the agenda of
greenhouse gases. Subsequently, Paris Agreement REDD and since then it was upgraded to REDD+. In
adopted in 2015 aimed ‘to hold global average tempera- India, National REDD+ Strategy, Forest Reference Level
ture increase to well below 2 °C and pursue efforts to limit and Safeguards Information System are already in place to
temperature rise to 1.5 °C above pre-industrial levels’. facilitate implementation of REDD+ activities. Forest sec-
Countries made commitments under the Paris Agreement tor in India is witnessing a number of domestic initiatives
through their nationally determined contribution. to address the climate change issues. Eight national
Protection of forested lands, improved forest manage- missions under the National Action Plan on Climate
ment, restoration of degraded forests and other ecosystems Change reflect India’s vision of sustainable development
have major potential to offset emission of greenhouse along with meeting its climate change mitigation and
gases. As per the India State of Forest Reports, carbon adaptation objectives. The NDC target for forest sector
stocks in India’s forest increased from 6071 million tonnes of India is ‘to create an additional carbon sink of 2.5–3
in 1996 to 7204 million tonnes in 2021. India’s third billion tonnes of CO2 equivalent through additional forest
National Communication to the UNFCCC reveals that and tree cover by 2030’. In India, a strong policy frame-
forests were removing 20% of total greenhouse gas work is already in place for the protection and conserva-
emissions in 2019. Shifting of distribution ranges of tion of forests. The objective of the National Forest Policy
many species would occur in future owing to the changing of 1988 is ‘to ensure ecological constancy and mainte-
climate combined with land-use change. Significant nance of ecological balance with an aim to bring one-third
changes in Himalayan forests with respect to their vegeta- of geographical area of the country under forest and tree
tion composition and distribution pattern at different cover’. The Forest (Conservation) Act, 1980 was brought
altitudes were observed mainly due to changing climate. to check rampant diversion of forest lands for non-forest
Ecosystem-based adaptation and nature-based solutions purposes and to regulate and control the land use changes
can enhance mitigation and adaptation benefits of forests in forests. With the implementation of this act, the rate of
towards climate change. Studies on climate change diversion of forest land for non-forest purposes has been
radically reduced. The National Working Plan Code also
R. S. Rawat · V. R. S. Rawat (✉) attempts to include climate change and biodiversity
Biodiversity and Climate Change Division, Indian Council of Forestry
Research and Education, Dehradun, Uttarakhand, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 253
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_12
254 R. S. Rawat and V. R. S. Rawat

conservation aspects through forest working plans in the According to the sixth assessment report of IPCC, about
country. 34% (20 GtCO2 eq.) of total net anthropogenic greenhouse
gas emissions emitted from energy supply sector, 24%
Keywords (14 GtCO2 eq.) from industrial sector, 22% (13 GtCO2 eq.)
from agriculture, forestry and other land use sector, 15%
Forest · Climate change · Adaptation · Mitigation · REDD+
(8.7 GtCO2 eq.) from transport sector and 6% (3.3 GtCO2 eq.)
from buildings sector. Land is a net sink of (-) 6.6 Gt CO2
per year for the period from 2010 to 2019. The gross sink
12.1 Introduction during this period was reported to be (-)12.5 GtCO2 per year
resulting from both anthropogenic changes and natural cli-
According to the Intergovernmental Panel on Climate
mate variability. Based on book-keeping models, net anthro-
Change, a change in the climate is one that is characterised
pogenic CO2 emission from land use, land use change and
by variations in the mean and/or variability of its features and
forest, was estimated to +5.9 Gt CO2 per year (IPCC
lasts for several decades or more. Climate change refers to
2022a, b).
any long-term shift in climate due to human actions or natural
The findings of the sixth assessment report of the IPCC
variability (IPCC 2007). The United Nations (1992)
reflect that emissions of greenhouse gases from human
described climate change as ‘a change in climate which is
activities were responsible for approximately 1.1 °C of
attributed directly or indirectly to human activity and is
warming since 1850–1900 (IPCC 2021). It is expected that
additional to the natural climatic variability observed so
the average global temperature can reach to 1.5 °C of
far’. The highest emission of greenhouse gas from human
warming over the next 20 years. This warming is associated
activity was reported globally in the past 10 years from
with rising atmospheric concentration of carbon dioxide.
2010 to 2019. Since 2010, emissions of greenhouse gases
Increasing heat waves, longer warm seasons and shorter
have continued to grow reaching 59 ± 6.6 GtCO2 eq. in 2019,
cold seasons are projected for 1.5 °C of warming while a
but the average annual increase in the past 10 years
warming of 2 °C will likely to result in heat extremes that
(2010–19) was 1.3%, which was lower (2.1%) than in the
would more often reach critical tolerance thresholds for
time period of 2000–2009 (IPCC 2022a, b).
agriculture and health. Apparently in some regions, every
Rigorous analysis of all data and lines of evidence shows
additional 0.5 °C of global warming has resulted in changes
that most of the observed climate changes of the past several
in intensity and frequency of droughts with more regions
decades cannot be only explained just by natural causes but
showing increases than decreases. In some regions with
by considering anthropogenic ones. Anthropogenic activities
increasing global warming, increases in frequency and
have significantly disturbed the natural carbon cycle by
intensity of hydrological droughts become larger. Addi-
extracting long-buried fossil fuels and burning them for
tional global warming even at 1.5 °C, will witness an
energy needs, thus releasing CO2 into the atmosphere.
increasing occurrence of some extreme climatic events
The concentration of greenhouse gases increased since
(IPCC 2021).
preindustrial time in the atmosphere such as CO2 increased
Consequent upon the adoption of the Paris Agreement in
by about 40%, CH4 increased by about 150% and N2O
2015, the IPCC special report on Global Warming of 1.5 °C
increased by about 20%. The average concentration of CO2
also concluded that due to anthropogenic activities, average
was measured from 316 ppm in 1959–400 ppm in 2013 at the
global temperature has increased by about 1.0 °C when
Mauna Loa Observatory at Hawaii (Dlugokencky et al. 2014)
compared with pre-industrial levels (IPCC 2018). Extreme
and now its concentration reached 420 ppm. The same rates
weather events have shown an increasing trend both in mag-
of increase have since been recorded at numerous other
nitude and in occurrence. At a warming of 1.5 °C, the effects
stations worldwide. Globally, the emission of greenhouse
of rise in temperature on society and ecosystems are much
gases has been continuously increasing since the release of
greater than expected in previous scientific reports. The over-
the fifth assessment report of IPCC. However, the average
all impact at 2 °C will be disastrous for the developing
rate of emissions of greenhouse gases decreased from 2.4%
countries. IPCC (2018) further emphasised to reduce CO2
(from 2000 to 2010) to 1.3% (from 2010 to 2019). Growth in
emissions by 45% from 2010 levels by 2030 and attaining net
population and gross domestic product are important key
zero emissions by 2050 to keep temperature rise under 1.5 °
factors for increase in emission of greenhouse gases. Interac-
C. A number of climate change impacts that could be avoided
tion of robust improvement in energy efficiency and place-
by limiting global warming to 1.5 °C compared to 2 °C have
ment of low-carbon technologies contributed to reduction in
been highlighted in the report. Few instances include global
emission of greenhouse gases. However, emission reductions
sea level rise of 10 cm lower with global warming of 1.5 °C
were not enough to offset the continued increase of emission
compared with 2 °C by 2100 (IPCC 2021).
at global level (UNEP 2018; IEA 2019; IPCC 2022a, b).
12 Climate Change and Forest Sector in India 255

12.2 Global Efforts Dealing with Climate Kyoto Protocol till 2020 with more ambitious emission
Change reduction targets from Annex I countries.
Paris Agreement: The Paris Agreement was adopted in 2015
The Intergovernmental Panel on Climate Change (IPCC) was and aimed to limit the temperature increase to 1.5 °C
established by World Meteorological Organization and above pre-industrial levels and keep the global average
United Nations Environment Programme. It provides temperature rise well below 2 °C above pre-industrial
assessments reports of the scientific basis of climate change, levels. The agreement also intends to make finance flows
its impacts and future risks and recommends options espe- consistent with a low greenhouse gas emissions and cli-
cially to the policy makers for adaptation and mitigation mate resilient path, and to strengthen nations’ capacity to
aspect of climate change at regular intervals. Assessment address the effects of climate change.
reports of IPCC provide a scientific basis for world Encouraging progressively ambitious climate action from all
governments to develop climate-related policies, and the country Parties on the basis of their voluntarily submitted
findings of these assessment reports are also the basis for Nationally Determined Contributions (NDCs) is the corner-
negotiations at the UNFCCC. The first assessment report was stone of the Paris Agreement (Rajamani 2016). This requires
released by IPCC in 1990 noting that ‘human activities were that all Parties report regularly on their GHG emissions from
considerably increasing the concentration of greenhouse all sources and their efforts on implementation of actions for
gases in the atmosphere’. NDCs. A global stocktake will take place every 5 years and
The Earth Summit in 1992 generated the overwhelming the collective progress towards achieving the purpose of the
concern with the problem of climate change which led to the agreement will be assessed (UNFCCC 2016). Mitigation goal
signing of the international treaty ‘UNFCCC’. The UNFCCC under the Paris Agreement is to achieve a balance between
was established with the objectives to stabilise greenhouse anthropogenic emissions by sources and removals by sinks of
gas concentrations at levels that prevent dangerous anthropo- greenhouse gases in the second half of this century. The
genic interference with the climate system, to ensure that Green Climate Fund (GCF) has been given an important
economic development proceeds in a sustainable manner role in supporting Paris Agreement goals.
and to prevent any threat to future food production. The The Paris Agreement inter alia has also shown strong com-
convention enjoys near universal acceptance with mitment to reducing emissions from deforestation and forest
196 countries joining the treaty (UN 1992). degradation and conservation efforts leading to the enhance-
ment of forest carbon stocks. The Paris Agreement
The Kyoto Protocol: In 1997, country Parties of UNFCCC recognises the role of forests as carbon sink for mitigation
approved an addition to the climate change treaty, called of climate change. Article 5 of the Paris Agreement
the Kyoto Protocol—legally binding measure which came encourages all Parties to act for the conservation and
into force in 2005. The first commitment period of the enhancement of sinks and reservoirs of greenhouse gases,
Protocol begun in 2008 and was to end in 2012. Parties to including forests. The Agreement also encourages countries
the UNFCCC attempted a strong multilateral framework to implement and support activities related to reducing
agreement to ensure that there is no gap between the end emissions from deforestation and forest degradation includ-
of the Kyoto Protocol’s first commitment period in 2012 ing conservation (REDD+) through results-based payments.
and the entry into force of a future climate regime. With Legitimising REDD+ activities under the Paris Agreement is
the enactment of the Kyoto Protocol, industrialised a strong political signal for forest conservation-based mitiga-
countries (Annex I countries of UNFCCC) were legally tion actions. This will boost the confidence of developing
bound to reduce their greenhouse gas emission by 5.2% forested countries to start working with REDD-plus strategy
before 2012 with targets set for each nation based on their and readiness activities (Rawat and Singh 2016a, b).
1990 level. The Kyoto targets covered emissions of the six Glasgow Climate Pact: Glasgow Climate Pact was adopted
major greenhouse gases, namely carbon dioxide, methane, with an aim to make the 2020s as a decade of climate
nitrous oxide, hydrofluorocarbons, perfluorocarbons and action and support. Country Parties agreed on, inter alia
sulphur hexafluoride. With UNFCCC and Kyoto Protocol, supporting efforts to build resilience to climate change, to
carbon became a tradable commodity and carbon trading curb greenhouse gas emissions and to provide the neces-
started happening under the compliance market sary finance for both. Parties reaffirmed their duty to fulfil
supervised by UNFCCC. The Conference of Parties to the pledge of providing 100 billion dollars annually from
the UNFCCC at its seventeenth session (COP 17) held developed to developing countries. Parties also agreed to
in Durban in 2011 agreed to launch a new climate agree- work to close the gap between current emission reduction
ment for post-2020 and a second commitment period of plans and what is needed to reduce emissions, so that the
rise in the global average is limited to 1.5 °C. Nations also
256 R. S. Rawat and V. R. S. Rawat

agreed on the transparent reporting of climate actions and by 4.4 °C comparative to the time period of 1976–2005
support, rules related to market mechanisms and under the Representative Concentration Pathway 8.5
non-market approaches under the Agreement (UNFCCC (RCP 8.5) scenario by the end of this century.
2021a). In the recent time period of 1986–2015, temperature of the
Estimates of the global emissions outcome of current nation- warmest day and coldest night was risen by about 0.63 and
ally submitted mitigation actions in the form of nationally 0.4 °C respectively. The frequencies of occurrence of warm
determined contributions (NDCs) under the Paris Agreement days and warm nights are projected to be increased by 55%
by 2030, would lead to global greenhouse gas emissions of and 70%, respectively relative to the period of 1976–2005 by
52–58 billion tonnes of CO2 eq. per year. Various pathways the end of this century. Magnification of heat stress is
reflecting these NDC actions would not limit global warming expected across India because of rise in surface temperature
to 1.5 °C, even if further supplemented by very ambitious mainly over the Indo-Gangetic and Indus River basins.
emissions reductions after 2030. Avoiding the overshoot of Warming of Indian Ocean: Average surface temperature of
GHGs and reliance on large-scale implementation of carbon the tropical Indian Ocean was risen by 1 °C during the
dioxide removal technologies in the future can only be time period of 1951–2015, which is distinctly higher than
achieved if global CO2 emissions start to decline well before the global average of 0.7 °C for the same time period. The
2030 (IPCC 2018). Indian Ocean had also exhibited an increasing trend in
ocean heat content in the upper 700 m during the past six
decades (1955–2015), while abrupt rise was noticed dur-
12.3 Climate Change Projections for India ing the past two decades of 1998–2015. Further, sea
surface temperature and ocean heat content are projected
The Ministry of Environment and Forests, Government of to be risen continuously in the Indian Ocean during this
India in its Second National Communication submitted to century.
UNFCCC analysed climate change scenarios in India using Changes in Rainfall: A decline of 6% in the summer mon-
the high-resolution regional climate model. Basic parameters soon precipitation (June to September) was recorded from
like air temperature, rainfall and mean sea level pressure were 1951 to 2015 with marked decreases over the Indo-
analysed in order to obtain climatic projections for the end of Gangetic Plains and the Western Ghats. During the sum-
this century. In order to generate an ensemble of future mer monsoon season, a shift towards more frequent dry
climate change scenarios for the Indian region, modelling spells (27% higher for the period 1981–2011 as compared
simulations were carried out for the period from to 1951–1980) and more intense wet spells were observed.
1961 to 2098. The findings include no significant decrease Worldwide increased occurrence in the frequency of
in the monsoon rainfall in the future except in some parts of localised heavy rains has been observed in response to
the southern peninsula. Its simulations for the year 2020, increased atmospheric moisture content. The frequency of
2050 and 2080 indicated an all-round warming. According extreme events of daily precipitation resulting in more
to model projection, the annual mean temperature increase than 150 mm of rainfall intensities per day increased by
will range from 3.5 °C to 4.3 °C by the end of this century about 75% during the time period of 1950–2015 over
(MoEF 2012). central India. The anticipated reductions in future anthro-
Ministry of Earth Sciences, Government of India pogenic aerosol emissions coupled with persistent global
conducted climate change assessment in different parts of warming, models (Coupled Model Inter-comparison Proj-
the country and brought a report titled Assessment of Climate ect Phase 5 CMIP5) projected an increase in the mean and
Change over the Indian Region. The report covered various variability of monsoon precipitation by the end of this
aspects like local climate change, variability of monsoon, century, together with considerable increases in daily pre-
variations in mean temperature, variability in precipitation, cipitation extremes.
variation in greenhouse gas emissions, frequency of droughts Droughts: During the past 6–7 decades, the overall decrease
and floods, impact of ocean warming, rise in sea level and in seasonal summer monsoon rainfall has resulted in an
melting of glacier (Krishnan et al. 2020). The salient features increased tendency of droughts in the country. During the
of this report are highlighted as under: period of 1951–2016, there was a significant increase in
the frequency and spatial extent of droughts mainly over
Changes in Temperature: Increase in the average tempera- central India, southwest coast, southern peninsula and
ture in India was reported to be around 0.7 °C during the north-eastern India where on an average more than
time period of 1901–2018. This rise in temperature was 2 droughts per decade were observed during this period.
largely due to emission of greenhouse gases. However, Over the same period, the area affected by drought
average temperature over India was projected to be risen resulted in 1.3% increase per decade. Climate change
12 Climate Change and Forest Sector in India 257

modelling under the RCP8.5 scenario projected a high warming creates a north-south temperature differential with
probability of increase in the frequency (>2 events/ respect to the tropical Indian Ocean, which is crucial for
decade), intensity and area under drought conditions starting the summer monsoon circulation on a big scale. A
because of the increased variability of monsoon rains peculiar feature of India’s climate is the remarkably robust
and increase in water vaporisation in a warmer atmosphere seasonal wind and precipitation cycle (Turner and Annamalai
by the end of this century in the country. 2012).
Sea Level Rise: Globally, melting of ice and thermal expan- The Indian summer monsoon has a significant role in the
sion of ocean in response to atmospheric warming resulted global climate. The Western Himalaya also receives signifi-
in rise in sea levels. During the period of 1874–2004, sea cant amounts of precipitation from the western disturbances,
level rise in the North Indian Ocean occurred at the rate of which originate in the Mediterranean region, during the win-
1.06–1.75 mm/year. However, during the time period of ter and early spring in addition to monsoonal rains (Dimri
1993–2017, it was enhanced to 3.3 mm/year, which was et al. 2015; Hunt et al. 2018). In addition, the Indian subcon-
quite comparable to the current rate of global mean tinent is vulnerable to a variety of extreme weather events
sea-level rise. At the end of this century, sea level in the such as heat waves, tropical cyclones, thunderstorms, floods
Northern Indian Ocean was projected to be increased by and droughts.
about 300 mm under the RCP4.5 scenario.
Tropical Cyclones: Over the North Indian Ocean basin,
annual frequency of tropical cyclones had shown a signif- 12.4.1 Climate Change Factor in Driving Forest
icant reduction since the time period of 1951–2018. Dur- Dynamics
ing the post-monsoon season, frequency of very severe
cyclonic storms had increased significantly in the time Average temperature in India during the time period of
period of 2000–2018. Rise in the intensity of tropical 1901–2018 increased by about 0.7 °C (Krishnan et al.
cyclones in the North Indian Ocean basin during the 2020). Furthermore, there was a general downward trend in
twenty-first century has also been projected by the climate rainfall, a decrease in seasonal mean rainfall and a rise in
projection models. monsoon break days. Additionally, there was a rise in the
Changes in the Himalayas: During the period of frequency of intense precipitation events and a decrease in
1951–2014, rise in temperature of about 1.3 °C was light and moderate rainfall occurrences (Christensen et al.
observed in the Hindu Kush Himalaya. In recent decades, 2013). The climate change trends in India and their impact on
the declining trend in snowfall and melting of glaciers forests and vegetation formations are one of the most widely
were also observed in several areas of Hindu Kush studied and discussed in recent years. There are many models
Himalaya, while the high-elevation of the Karakoram and projections being developed and tested by many workers
ranges of Himalaya has experienced an increase in snow- all over the country on the trends, and their impact on eco-
fall that contributed to glacier recharge in the region. The system processes, vegetation changes and other biophysical
annual mean surface temperature was projected to be environments (MoEF 2010, 2012; Chaturvedi et al. 2008,
increased by about 5.2 °C under the RCP8.5 scenario 2011, 2012). MoEF (2010) while assessing the impact of
over the Hindu Kush Himalaya by the end of this century. climate change on different sectors concluded that by 2100,
It was also projected (by the CMIP5 projections under the more than one-third of the forest cover will mostly convert
RCP8.5 scenario) increase in annual precipitation and from one type to another type of forest. Increase in net
decrease in snowfall over the Hindu Kush Himalayan primary productivity in the Western Ghats by 23%, in the
region by the end of this century. north-eastern region by 20%, in the Himalayas by 57% and in
the coastal region by 31% is expected in the 2030s. The
distribution of species tends to shift towards higher latitudes
12.4 Impacts of Climate Change on Forests in and altitudes as the earth warms. For each 1 °C of warming,
India tree ranges in the northern hemisphere have the potential to
expand 100 km northward while southern boundaries retreat.
Climate in India is strongly determined by its topographical This is a process which has been tracked since the last ice age
and geographical features, particularly the Himalayas in the (Davis 1989).
north, the seas in the east, west and south and desert in the
west. During the winter, the Indian subcontinent is shielded
from widespread incursions of cold, extratropical winds by 12.4.2 Patterns of Climate Change in India
the Himalayas and the Hindu Kush mountain system. Fur-
thermore, the Himalayas and the Tibetan Plateau’s seasonal Several assessments were made on different climate change
scenarios in India and some are highlighted as under:
258 R. S. Rawat and V. R. S. Rawat

Patterns of Indian Summer Monsoon Rainfall: There are mean minimum increased by 0.7 °C. In east and north east
many studies and reports on the rainfall pattern at the India, mean maximum temperature increased by 0.6 °C. In
all-India level. Based on the rainfall series constructed north India mean maximum, mean minimum and annual
by Parthasarathy et al. (1994), it is found that, over a mean temperatures increased by 0.5 °C, 0.3 °C and 0.2 °C
long period of time, especially when considering the respectively.
all-India time scale, the monsoon rainfall is primarily At national level, total annual rainfall and number of annual
random and devoid of any trend (Mooley and rainy days decreased by 241 mm and 5 days, respectively.
Parthasarathy 1984). However, on a spatial scale, some During this period rainfall in different regions reduced by
trend was noticed by Parthasarathy et al. (1994). Indian 55 mm in western India to 1033 mm in north east India. In
summer monsoon rainfall displays multi-decadal Northeast, this remarkable decrease is attributed mainly to a
variations, in which there was clustering of wet or dry sharp decline in rainfall in Cherrapunjee once rated as the
anomalies (Pant and Kumar 1997). highest rainfall place in India. In Cherrapunjee rainfall
Projections of Climate Change in India: Earlier BIOME decreased from 11,418 mm in 1931–60 to 3675 mm in
model (versions 3 and 4) was applied for making an 1990–2010 period, a net decrease of 7743 mm over the
assessment of possible climate change effects on Indian period. Rainy days also decreased from 3 in west to 10 in
forests (Ravindranath et al. 2006). It was projected that central India.
under A2 and B2 scenarios, there would be shift in forest
types in 77% and 68% of India’s forested grids, respec-
tively due to climate change. Using the current set of 12.4.3 Climate Change Impacts
probable radiative forcing-based greenhouse gas on the Vegetation Composition
emissions scenarios, climate models under the Coupled
Model Inter-comparison Project showed that the Indian Migration of Species Towards Higher Elevations: Climate
subcontinent will warm by 1–2 °C (compared to the combined with patterns of land-use change can result in
1961–1990 baseline) by 2030 under the more moderate the contraction or shift in species ranges. Various studies
Representative Concentration Pathway 4.5. Greater have depicted that, under future climate scenarios, the
warming (2–3 °C) was expected in the northwest and suitable areas for many species would change, reducing
Himalayan regions (Chaturvedi et al. 2012). Under RCP or increasing in size or shifting in latitude and elevation
4.5, projections for the end of the century range from (Dullinger et al. 2012; Niskanen et al. 2019). ICFRE
2 to 3 °C for the most parts of India, with the Himalayas (2013) study revealed that forest types described by
experiencing a 5 °C increase, while under the extreme Champion and Seth (1968) at different elevations have
Representative Concentration Pathway 8.5 scenario shown few significant changes with regard to their
country’s temperatures might rise by 5 °C by the end of distributions. The blue pine found in the higher elevations
the century with Himalayan warming surpassing 7 °C up to 1700 m is now reported from in higher elevations up
(Chaturvedi et al. 2012). Models indicate that during the to 2000 m indicating the shift in the tree lines towards
Indian summer monsoon, there will be an increase in inter- higher elevations. The change may be climate-induced
annual variability along with a rise in the mean and due to the sites becoming warmer (ICFRE 2013).
extremes of rainfall, despite recent downward trends in Impact of Warming on Alpine Flora: Alpine zone is a
rainfall (Christensen et al. 2013). Precipitation was unique vegetation type that occurs in the higher elevations
expected to rise by 6–14% overall later this century of the Himalayas, which are regarded as biodiversity-rich
(Chaturvedi et al. 2012). hot spots. The alpine zone is the critical repository of
Analysis of Climate Data: ICFRE (2013) analysed the cli- biodiversity harbouring a high number of endemic and
matic data of rainfall and temperature for the period of endangered species (Korner 2003; Viviroli and
80 years (1930–2010) from 83 stations representing dif- Weingartner 2004; Woodwell 2004). In Europe, studies
ferent forest types of the country. At the national scale, the of plant communities have indicated lower elevation
analysis of climate data revealed an increase of 0.7 °C, dwarf-shrubs, sedges and meadows to have increased
0.5 °C and 0.5 °C in mean maximum, mean minimum and their cover at high altitudes at the expense of pioneer
average annual temperature from 1931 to 2010 respec- snow-bed communities. There are also studies reporting
tively. Highest increase of 0.9 °C was observed in mean the upward migration of species and increase in species
maximum and mean minimum for central India. In the richness at summits during the last century (Walther et al.
southern region, mean maximum and mean minimum and 2005). Singh et al. (2021) found that though evidences for
annual mean temperatures increased by 0.9 °C, 0.4 °C and the upslope movement of tree line at the study sites
0.6 °C respectively. In western India, mean maximum and (Kashmir, Uttarakhand and Sikkim) are lacking,
12 Climate Change and Forest Sector in India 259

densification of tree line ecotone and advancement of also contributed for such a change. Absence of sal (Shorea
krummholz species (Rhododendron campanulatum) into robusta) in the Kalimpong from the East Himalayan forest
alpine meadows are noticeable. Both can be a serious type is one such occurrence, which is attributed to the
threat to the diversity and integrity of alpine meadows. canopy closure and appearance of semi-evergreen and
In Sikkim Himalaya, Telwala (2012) observed that Alpine evergreen species (ICFRE 2013).
plant life is proliferating and the warming of Sikkim Vegetation Changes in the Western Ghats: Similar to the
Himalaya during the last century has resulted in upward Himalayas, the Western Ghats also have shown some
migration of the range margin of the species. evidences of vegetation changes at the species level.
Changing Himalayan Flora: Studies conducted by the Though it is difficult to establish direct correlations with
Indian Council of Forestry Research and Education on the climate change and the vegetation, the broader
the Himalayan flora indicated very significant changes in indications are available to relate the species composition
the vegetation composition and their distribution pattern in the most fragile ecosystems, which have a very narrow
(ICFRE 2013). The lower Himalayan forests which were range of ecological amplitude. The sholas and the
occupied by the Pinus roxburghii, due to disturbances are grasslands have shown the evidence of changing species
now found either in low proportion or completely absent composition (ICFRE 2013).
from many sites. The causes could be due to both anthro- Changes Observed in Tropical West-Coast Evergreen
pogenic and climate change-induced episodes. In the last Forest Type: The tropical west coast evergreen forest
50 years, the disturbances induced by fire, grazing and types according to the Champion and Seth’s (1968) clas-
lopping have affected the regeneration of broad-leaved sification, predominantly have Dipterocarpus indicus,
species like oaks and at lower elevations broad-leaved Vateria indica, Cullinea spp., Poeciloneuron indicum,
species are missing. It is gratifying to note that some of Lophopetalum wightianum, etc. However, ICFRE (2013)
the sites at higher elevations which were earlier dominated study showed that predominant species of west-coast
by the conifers are now being colonised by the oaks. The evergreen forests such as Dipterocarpus indicus and
study concludes that this may be due to the sites becoming Vateria indica were not found in the study plots. The
warmer during summer, which is favourable for the oaks. change in the species composition particularly the absence
Moisture regimes in the moist temperate climate of the of Vateria and Dipterocarpus spp. can be related to reduc-
Western and Central Himalayas are showing changes in tion in the rainfall by nearly 300 mm and a temperature
the species composition due to the availability of more rise by 1 °C in Kozhikode, a representative station of
moisture in some sites as a result of the melting of snow. southern Western Ghats where the low elevation west
Thus, a twin benefit of sites becoming warmer and moist is coast evergreen forests were found (ICFRE 2013).
favourable for the broad-leaved species (ICFRE 2013). Enlarging Sholas: Sholas are the hill forests found
Chitale and Bahera (2012) based on species distribution distributed on the slopes of Western Ghats mountains
models predicted the geographic ranges of Shorea robusta sometimes in the depressions and valleys surrounded by
(sal) from occurrence records and site-specific environmental the tropical evergreen forests. In the Western Ghats, the
data. The authors have (i) generated the 1960s scenario for top of the hills adjacent to sholas is completely devoid of
sal on the basis of the existing published literature, vegetation and this formation was described by
(ii) confirmed the species occurrence data using satellite Ranganathan (1938) as the climatic climax formation
imagery for the period of 1972–75, (iii) run the Maxent due to repeated fires forming the grasslands. However,
species distribution model to predict the distribution for the ICFRE (2013) study of the site showed the appearance
year 2020 under climate change scenario SRES A1-B and of a few tree species indicating the change in the site
(iv) validated the prediction using more than double the conditions favouring the tree species particularly primary
amount of species occurrence data gathered during the last species to colonise. Thiruvananthapuram, Coonoor and
decade (1998–2008). The model identified moisture as the other places in Kerala and Karnataka have recorded
prominent factor that would influence with >90% certainty increased rainfall by 150 mm over the period of the last
the shift towards northern and eastern India. 80 years (1930–2010) which has favoured the species
North-East India: A few stations of north-Indian states have changes at higher elevations.
shown decreasing trends in rainfall. The change in the Semi-Evergreen Forest Type: These forests are generally
rainfall pattern in the north-eastern India has shown found in the areas where the annual rainfall is limited to
some significant changes in the species composition as 1500 mm. Floristically the predominant species found are
well wherein more evergreen species are becoming domi- Syzygium cumini, Dysoxylum malabaricum, Mangifera
nant in the semi-evergreen and deciduous forest types. indica, Xylia xylocarpa, Terminalia tomentosa, Bambusa
The increased wetness and reduction in the dry period bamboo, Pterocarpus marsupium, Dalbergia latifolia,
260 R. S. Rawat and V. R. S. Rawat

etc. The lateritic secondary semi-evergreen forest type in ecosystems and the services they provide are changing as a
Karnataka exhibited a slight change in the species compo- result of climate change. The long-term ecological
sition wherein there are more evergreen species recorded observatories programme of the Ministry of Environment,
than the moist deciduous type species indicating the Forest and Climate Change, Government of India (MoEFCC
change in the species composition due to progressive 2015a, b) as a constituent activity of the Climate Change
succession of semi-evergreen forests towards evergreen Action Programme of the country is an attempt to address
forest type (ICFRE 2013). these gaps. The fundamental objective of this network is to
Tirunelveli Semi-Evergreen Forest Type: Many stations in understand the biophysical and anthropogenic drivers of eco-
Western Ghats have shown an increased trend of rainfall system change and their effects on social-ecological
which is also in conformity with the rainfall analysis by responses. The programme aims to understand the link
Parthasarathy et al. (1994). Due to the increased wet between climate change and ecological processes by cover-
period, semi-evergreen forest type is showing more ever- ing the wide range of diversity and complexity of representa-
green species. The presence of Hopea parviflora, Vateria tive landscapes of the country.
indica is an indication of the type turning into evergreen India being a tropical country with diverse climatic
type. Representative stations, that is, Tuticorin, conditions, ecosystem and vegetation types are highly sensi-
Thiruvananthapuram and Ooty have recorded increased tive and vulnerable even to a smaller variation in the temper-
rainfall. The change in the climate seems to have an ature and rainfall regimes. In this context, trends analysis of
impact on the transformation of the forest type (ICFRE climate change in different climatic zones and their
2013). corresponding impacts on the forest types, sub-types and
species composition is highly significant and valuable, to
Das and Sukumar (2018) while studying long-term forest develop and to test the climate projections models. Further,
dynamics in tropical deciduous teak forests in Mudumalai the climate change impacts can also be regularly monitored at
Forest Dynamics Plot indicate that through its impact on landscape, vegetation types and species level to mitigate the
species diversity, tree growth and mortality, fire frequency climate change impacts.
and its intensity, the amount and seasonality of precipitation
play a vital role in determining the dynamics of forests. Based
on the characteristics of the dominant species in these 12.5 Vulnerability of Forest to Climate
communities, the impact of drought and fire seems to vary. Change
The ICFRE (2013) study concluded that there appears to
be a differential response of the vegetation at different Various studies have revealed consistent changes in the spe-
locations mainly due to complex change factors, that is, cies with changing climate such as shifting to higher
climate, edaphic and anthropogenic. The present forest vege- altitudes/latitudes, occurrence of early phenological events
tation in different locations is differently getting affected by and occurrence of new invasive species. Modelling-based
the temperature rise and differential intensity of rainfall as studies projected that the structure of food web and its stabil-
well as by the decreasing number of rainy days. Together ity favour the invading of species as a result of warming
with management interventions and biotic factors, the forests (Sentis et al. 2021). Phenology of exotic species responded
are responding and vegetation changes becoming evident. It more adaptively to warming than those of native species in
is, therefore, of utmost importance that the forest managers simulated experiments (Zettlemoyer et al. 2019). Under long-
take adaptation measures particularly dealing with forest term observations, the greater phenological responsiveness to
composition, hydrology and rain conditions and also choose warming was the reason behind the success of exotic species
species carefully for the purpose of mitigation. Above all (IPCC 2022a).
local community need to be made partners in these actions. Population extinctions driven by climate change are
This will ensure scientific as well as people-centric response higher in the tropics (55%) than in temperate regions (IPCC
to climate change. 2022a). Such events are higher in freshwater (74%) than in
Due to the high temporal variability in the dynamics of marine (51%) or terrestrial (46%) habitats and higher in
tropical forests and the fact that simultaneously several animals (50%) than in plants (39%) (IPCC 2022a). Since
interacting global change factors like climate change, inva- 1979, fire seasons have now prolonged in one-quarter of
sive species, habitat degradation and loss and nitrogen depo- vegetated areas due to increasing temperature, aridity and
sition etc. are affecting them, it is difficult to identify, infer drought. Consistent with climate change burned areas have
and forecast the effects of changes driven by climate. Das and been increased in the Amazon, the Arctic, Australia and parts
Sukumar (2018) suggested that persistent long-term monitor- of Africa and Asia (IPCC 2022a). Management practices
ing studies are required to comprehend how forest such as prescribed burning, thinning and allowing few
12 Climate Change and Forest Sector in India 261

controlled forest fires where it is beneficial to the ecosystem how and to what extent these man-made emissions of green-
can be introduced (Meigs et al. 2020). house gases are reduced. However, owing to historical
Forests are under stress due to climatic and non-climatic emissions and inertia in the climate system, climate changes
factors, and studies were conducted by various researchers on are unavoidable irrespective of climate change mitigation
vulnerability assessment of forests to climate change in India actions by the global community. Evidence of changes in
(Aaheim et al. 2011; Gopalakrishnan et al. 2011; Murthy extreme climatic events such as heatwaves, heavy precipita-
et al. 2011; MoEF 2012; Sharma et al. 2013; Upgupta et al. tion, droughts, frequency and magnitude of tropical cyclones
2015; Sharma et al. 2017; Kumar et al. 2019; Alam et al. are increasing. The successive Assessment Reports of the
2022; Kanwar and Kuniyal 2022; Roshani et al. 2022; IPCC presented clear evidence that the climate is changing
Thakur et al. 2022). which is mainly driven by emission of greenhouse gases
Based on climate projections from the Regional Climate (IPCC 2022b). Mitigation and adaptation to climate change
Model of the Hadley Centre and the global dynamic vegeta- are now being integrated into resource management strategies
tion model IBIS for A1B scenario, Gopalakrishnan et al. as well.
(2011) assessed the effects of projected climate change on
forest ecosystems in India for both the short-term Adaptation to Climate Change: Adaptation is required to
(2021–2050) and long-term (2071–2100) periods. Based on maintain the functioning of the natural and social systems
the dynamic global vegetation modelling, vulnerable forested which are vulnerable to changing climate. Adaptation can
regions of India have been identified to assist in planning be distinguished as anticipatory or reactive, autonomous
adaptation interventions. Upgupta et al. (2015) assessed the or planned. IPCC (2007) defined adaptation as ‘adjust-
vulnerability of forests to climate change in the state of ment in natural or human systems in response to actual or
Himachal Pradesh and prioritised the districts for vulnerabil- expected climatic stimuli or their effects, which moderates
ity reduction under ‘current climate’ and ‘future climate’ harm or exploits beneficial opportunities’. In nature,
scenarios. Identifying forests that are vulnerable to climate biological adaptation is autonomous and reactive as
change will guide forest managers to prioritise the allocation organisms respond over time to changing conditions. In
of available resources and appropriate interventions in forest response to changes, people, on the other hand, may show
management practices restoring health and productivity of autonomous adaptation, or plan for adaptation either in
forests and also to plan climate change resilience in the response to changes (Adger et al. 2007).
long term. Structure and functioning of forest ecosystems are likely to
Sharma et al. (2017) conducted a study on climate change be altered by the changes in climate as climate exerts a
driven vulnerability assessments for Indian forests and significant influence on the distribution, structure and ecol-
concluded that percentage of grid points under high and ogy of forests. It was projected that climate change has
very high inherent vulnerability classes for Himalayan adverse impacts on forest ecosystems and this in turn will
moist temperate forests, subalpine and alpine forests. Low affect the forest biodiversity, biomass and regeneration
inherent vulnerability of these forests has great significance (Ravindranath et al. 2012; ICFRE 2013; Bahuguna et al.
because most of the forest biodiversity and endemicity are 2016). Forests support the livelihoods of about a billion
hosted in India by these forest types in the biodiversity people living in extreme poverty worldwide and provide
hotspots in Western Ghats in peninsular India, the north employment for over 100 million people. More than 80% of
Himalayan region and the northeast. Plantation forests show the world’s terrestrial biodiversity is housed in forests.
higher inherent vulnerability than natural forests. Roshani Forests help protect watersheds that are critical for the supply
et al. (2022) conducted a systematic review from of clean water to most of humanity. Climate change, how-
1990 to 2019 and examined vulnerability of forests to climate ever, poses enormous challenges for forests and people
change and its management practices. The issues that are (Singh et al. 2015).
currently being faced include the conversion of forest land There is a close association between forests and community
into other land uses, fragmentation and disturbance of forests, adaptation. Forests are known to play a key role in the
and the impact of climate change on the forest ecosystem. adaptive capacity of local communities by providing various
ecosystem goods and services, while actions of the commu-
nity can enhance or reduce the adaptive capacity of forests to
12.6 Forests for Climate Change Adaptation changing climate (Locatelli et al. 2011). There are inherent
social limits to adaptation that are deeply rooted in the cul-
Greenhouse gas emissions especially after the industrial rev- tural values of the societies. Many societies have value
olution in the west and industrial development in developing systems rooted in their sense of belongingness to land and
economies in the recent past are the reason for current climate forests (Kant and Wu 2012).
change. The scale of future change will largely depend on
262 R. S. Rawat and V. R. S. Rawat

Adaptive Strategies: Three types of adaptive strategies have Ecosystem-based adaptations, conservation and similar
been identified to deal with the climate change viz., incre- other ideas were also integrated throughout the Special
mental, anticipatory and transformational (Kates et al. Report on Climate Change and Land (IPCC 2019). Natu-
2012; Joyce et al. 2013; Stanturf 2015). Incremental ral systems react in different ways to changes in the
adaptations are also known as no-regrets approaches. climate and other environmental factors. Individual
This kind of strategy provides adaptation to future organisms can react to the changing environment through
conditions while at the same time, benefits are also processes of growth, mobility and development. During
realised under current climatic conditions. It composed the course of succeeding generations, genetic adaptation
of extensions of existing practices instituted in response to shifting environmental conditions drives the evolution
to variations in climate and extreme events (Hobbs et al. of species and populations. There is a limit on these
2011; Kates et al. 2012; Joyce et al. 2013). Many of the natural processes which can preserve biodiversity and
same techniques of incremental approaches may also be the advantages that humans get from nature (IPCC
applied in anticipatory approaches, however, focussing on 2022a). Maintaining the sustainable flow of vital ecosys-
futuristic climate change adaptation (Alfaro et al. 2014). tem services such as carbon sequestration and water sup-
Transformational adaptations are larger in scale or more ply also requires protection from exploitation,
intense than incremental adaptations. These approaches rep- deforestation and forest degradation (Dinerstein et al.
resent an effort to foresee or react to climate change proac- 2020; Portner et al. 2021).
tively (Kates et al. 2012; Joyce et al. 2013). Such approaches Ecosystem-Based Adaptation: Ecosystem-based adaptation
anticipate larger shifts in climate, which may call for long- encompasses a variety of approaches such as the restora-
term major changes in management objectives or production tion of river and coastal systems to lower flood risks and
systems. Aided migration of species well beyond their natural enhance water quality, and the creation of natural green
range of distribution, introducing species which are not space inside cities to lower temperatures through the pro-
native and restoring keystone species through genetic modi- cess of evaporative cooling and shade effect. Many other
fication are also part of transformational adaptations (Davis ideas such as ecosystem services, natural capital and
et al. 2011; Pedlar et al. 2012; Williams and Dumroese 2013; disaster risk reduction are intimately related to
Jacobs et al. 2013). The frequency and intensity of extreme ecosystem-based adaptation (IPCC 2014). Ecosystem-
climate events are expected to increase in future and transfor- based adaptation can function at different levels, including
mational adaptation will likely to be associated with such local, catchment and regional. At the local level, lowering
events (Allen et al. 2010; Reichstein et al. 2013; Cai et al. down of temperature by vegetation and managing micro-
2014). The natural disasters are caused by long-term climate can be achieved in number of ways. Such
droughts, insect pest epidemics, forest fires and wind ecosystem-based adaptation techniques are now more
disturbances whether linked to climate change or not, all widely gaining importance. Shade trees are a traditional
these calamities offer stimulus for restoration efforts (Stanturf method that can be currently used for climate change
et al. 2014; Van Aalst 2006). For an effective adaptation adaptation in both urban and rural areas. Likewise, in
strategy, considerable planning and adaptive management many places of the world, there is an increased risk of
need to be required (Joyce et al. 2009) especially in the forest fires to both people and ecosystems. Apart from
advancement of extreme climatic events (Stanturf et al. climate change, forest fire is also caused by past manage-
2007). The use of genetically diverse seed sources, planting ment practices. Restoring more natural fire regimes and
material, placement of mixed systems in a systematic manner scaling up better fire management practices can lower the
and promoting combination of tree species that are adapted to fire-related hazards (IPCC 2022a).
climate change could be a strategy for a less dramatic trans- Improving connectivity to promote the colonisation of new
formational approach (Prabhu et al. 2015). places is the most frequently mentioned strategy for species
Adaptation to Climate Change in Terrestrial and Fresh- to adapt to changing climate. There are numerous ways to
water Ecosystems: IPCC reports have highlighted adap- improve connectivity, varying from creating ‘stepping
tation issues for reducing climate change vulnerability of stones’ and ‘corridors’ to expand the habitat suitable for the
ecosystems and their services, and also acknowledging the species. Depending on the species and situation, different
need for both human-assisted and autonomous adaptation plans may work better in different situations (Keeley et al.
to safeguard species and ecosystems. The Fifth Assess- 2018). Furthermore, habitat connectivity can help to make
ment Report of IPCC recognised ecosystem-based adap- populations more resilient to extreme climatic conditions
tation, that is, adaptation for people which is based on (Oliver et al. 2015). The benefits of climate change adapta-
improved environmental management, restoration and tion strategies and their effectiveness will become apparent in
preservation as an emerging possibility (IPCC 2014). the coming years and decades which are inherently difficult
12 Climate Change and Forest Sector in India 263

to evaluate (Morecroft et al. 2019). However, the application regional and global scale (Bruijnzeel 2004; Zhou et al.
of suitable measures for adaptation can lessen the vulnerabil- 2015; Creed and van Noordwijk 2018; Alvarez-Garreton
ity of many aspects of biodiversity to climate change. et al. 2019). Conservation of biodiversity, mitigation of cli-
mate change and provision for goods and services from
Ecosystem-based adaptation is also known as a nature- forests can be improved through sustainable management of
based solution besides supporting sustainable development forests and protection of natural forests in an inclusive way
goals also contributing for the adaptation and mitigation of (Bauhus et al. 2009; Nabuurs et al. 2013). Reforestation is
climate change. Inclusive decision-making and adaptive one of the most useful and affordable methods of
management pathways that produce climate-resilient systems sequestering and storing carbon, which can also contribute
supporting numerous sustainable development goals are to the preservation and recovery of biodiversity (Nabuurs
essential for an effective nature-based climate change mitiga- et al. 2017; IPCC 2018; Smith et al. 2018; Cook-Patton
tion programme. Inadequately planned and poorly designed et al. 2020; Cowie et al. 2021; Drever et al. 2021). This
nature-based mitigation initiatives can have a number of task can be accomplished by planting trees and shrubs or by
detrimental effects, such as making other sectors compete letting them naturally colonise the area.
for land and water resources, negatively affecting human
well-being, and unable to provide long-term, sustainable
Box 12.1 Nature Based Adaptation: Mix Farming
mitigation goals (IUCN 2020). Nature-based solutions offer
to Counter Rain Dependency
benefits of both adaptation and mitigation to climate change
The indigenous farmers in Garhwal region,
that help protect habitats and wild species. Nature-based
Uttarakhand State in India have, over the centuries
solutions often contribute to other sustainable goals as well
built a rich base of agricultural biodiversity adapted to
(Griscom et al. 2017; Keesstra et al. 2018; IPCC 2018, 2019;
local agroclimatic conditions. The mixed cropping sys-
Lewis et al. 2019; Malhi et al. 2020; Seddon et al. 2020a, b).
tem developed is especially suitable for rainfed areas in
Nature-based solutions can vary from the protection of ter-
high altitudes. The farming communities cultivate
restrial, freshwater and marine ecosystems to the restoration
many species and varieties of legumes. A similar prac-
of degraded ecosystems. These also include naturally
tice of diverse farming is also seen in lower altitudes of
regenerating ecosystems that are sustainably managed and
Garhwal. This system helps the farmers to withstand
provide food, fibre and energy (Box 12.1).
the uncertainties of weather, so that overall production
Conservation of indigenous biodiversity and, mitigation
is never zero at any point of time. The synergetic
and adaptation to climate change can be achieved through
combination of many different species preserves soil
agroecological techniques (Sinclair et al. 2019; Snapp et al.
fertility and land does not have to be kept fallow. The
2021). Climate change mitigation schemes based on nature-
farmer is assured of at least one crop, even if major crop
based solutions that are well conceived and applied have the
is failed because of pests, diseases or drought. The
potential to reduce greenhouse gases emissions by boosting
farmers of Garhwal region grow 126 varieties of rice,
carbon uptake in the natural ecosystems along with
8 varieties of wheat, 40 varieties of finger millet,
protecting and restoring biodiversity. Many species that are
6 varieties of barnyard millet, 110 varieties of kidney
unable to thrive in habitats that have been degraded find
beans, 7 varieties of horse gram, 8 varieties of tradi-
refuge in intact natural forest ecosystems, which also serve
tional soybean and 10 varieties of French beans. Since
as important storehouses of carbon. Such ecosystems have
all crops are not harvested at the same time, the diverse
been cleared or deteriorated, or they are managed both sus-
agriculture output helps to meet various household
tainably and unsustainably in various places. Land degrada-
requirements over a long period. This agrobiodiversity
tion and deforestation still remain major contributors to
is another crucial component of the region’s sustain-
global greenhouse gas emissions (IPCC 2022b). Highly
able food system. It enables the farmers to benefit from
effective nature-based solutions include protection of natural
certain varieties even when there is damage to other
forests and sustainable management of forests that perpetu-
crops.
ally provide goods and services (Bauhus et al. 2009). Apart
Source: Centre for Science and Environment 2014
from offering a wide range of ecosystem goods and services,
natural forests and sustainably managed forest that are rich in
biodiversity play a crucial role in the adaptation and mitiga- 12.6.1 Forests and Climate Change Adaptation
tion of climate change (Favero et al. 2020; Mackey et al. in India
2020). Forests play an important role in regulating the water
cycle and improving water quality, increasing infiltration to Adaptation to climate change in forests is also characterised
ground water and reduction in surface runoff at local, by long gestation periods that necessitate preparation, execu-
tion and oversight in advance. Adaptation to climate change
264 R. S. Rawat and V. R. S. Rawat

in the forest sector is required to address current stresses such dwelling communities for non-timber forest products. The
as causes of deforestation and forest degradation, forest frag- inclusion of the climate change mitigation and adaptation
mentation, cattle grazing and non-sustainable extraction etc. aspects are also important additions to the working plan
Ravindranath (2007) highlighted some strategies and code 2014 and 2023 (MoEFCC 2014a, 2023a).
practices to reduce the vulnerability of forests and plantations
that include: (i) forest and biodiversity conservation,
(ii) expansion of protected areas, (iii) sustainable logging 12.6.2 Managing Forests for Climate Change
and management of forests, (iii) mixed species forestry, Adaptation
(iv) planting in advance and facilitating natural migration of
some species by transplanting and (v) adoption of sound Good silvicultural practices, including maintenance of opti-
silvicultural practices to lessen the impact of climate change. mum stocking levels and selection of trees which are best
Afforestation and reforestation are the main mitigation adapted to existing sites, should ensure that forests remain
options. Agroforestry is one of the good choices for enhanc- vigorous and relatively free of site and stand-related stress.
ing overall productivity and carbon sequestration of agricul- These practices should help forests adapt to climate change.
ture lands, and also improving resilience to the negative Practices which could help forests adapt to climate change
effects of climate change. It is anticipated that plantations include (Ciesla 1995):
for bioenergy purposes will be managed rigorously in order
to maximise biomass productivity. Considering adaptation to • A shorter rotation length would reduce possibility of
climate change at the time of conceiving and operationalising senescence related stresses and related hazard of damage
of carbon forestry projects or projects under a new market by pest and diseases.
mechanism of the Paris Agreement could be an additional • Control of competition for available moisture, light and
co-benefit of carbon mitigation projects. soil nutrients.
It is very important to evaluate the expected impacts of • Selection of species and provenances best adapted to site
future climate change on forests and develop suitable adapta- conditions.
tion strategies and actions which ensure conservation of • Properly scheduled thinning to maximise growth and
biodiversity, safeguarding of the livelihoods of the increase resistance to damage from high winds, insect
communities depending on forests and assurance of round- and diseases.
wood production for industrial and commercial purposes. • Tree improvement programme to create planting stock
However, in some instances, it has been noted that some from broad genetic base with high growth rates, better
communities have taken initiatives in respect of adaptation form and adapted to a varied range of site conditions.
measures. In the Himalayan region, farmers have started • Create both in situ and ex situ reserves of important forest
growing crops like cardamom, bamboo and fruit trees under tree species with gene pools of wide variability that are
agroforestry practices to ensure food security and additional capable of adapting to climate change.
income due to erratic rainfall during spring and summer • Reduce reliance on one or two tree species in afforestation
seasons (Verma 1998). Similarly, in the north-eastern part and reforestation programmes. Instead include a number
of India, the age-old practice of soil and vegetation manage- of species, where feasible in mixed species plantings,
ment has resulted in reduced erosion losses in the areas which are well adapted to local sites and climatic
practicing shifting cultivation (Ramakrishnan 2007). conditions and meet national needs for forest products
Forests in India are managed through a system of forest and services.
working plans which is the main guiding document for forest • Protection from destructive effects of fire, pest and
management in India. Forest working plans are prepared to diseases.
promote sustainable management of forests on the principle • Periodic inventories and stand examination to provide the
of sound silviculture. The forest working plan code was basis for silvicultural prescriptions and harvest
revised in 2014 and further updated in 2023. The new revised scheduling.
working plan code aims at making forest management more • Accelerate timber salvage and fuel management
people-centric by making provisions for goods and services programmes to reduce the hazard of wildfire in forests,
to the local communities from the forests on a sustainable especially those which have suffered from high levels of
basis. The new working plan code also ensures biodiversity pest and disease damage or forest decline events.
conservation, along with safeguarding the rights of forest-
12 Climate Change and Forest Sector in India 265

• Design insect and disease monitoring programmes which from the atmosphere through net growth thus absorbing
are capable of capturing forest decline and in the active approximately 30% of anthropogenic CO2 emissions.
presence of new pests and diseases in addition to those Agriculture, forestry and other land use are a substantial
which have historically caused losses. net source of emissions which contribute about 23% of
anthropogenic emissions of carbon dioxide, methane and
nitrous oxide for the period of 2007–2016 (IPCC 2019).
12.7 Forest for Climate Change Mitigation The IPCC (2022b) estimated that for the period of 2010–
2019 the total net land-atmosphere flux of carbon dioxide on
Various ecosystem services viz., protecting water quality and both managed and unmanaged lands provided a global net
quantity by retarding runoff, protecting biodiversity, removal of CO2 in the range of 6.6 ± 4.6 GtCO2/year. This
sequestering carbon, wood and other non-timber forest net removal of CO2 consisted of two major components viz.,
products and aesthetic element in the landscape are being (i) net anthropogenic emissions from agriculture, forestry and
provided by forests (Heal 2000). Forests are important in the other land use (5.9 ± 4.1 GtCO2/year) which was mainly
context of climate change mainly because of three reasons attributed to land cover change, including deforestation and
viz., globally, deforestation and forest degradation contribute plantations activities, and wood harvesting which accounted
to about 9–11% of CO2 emissions, provide a large climate for about 13% of total net anthropogenic CO2 emissions), and
change mitigation opportunity and forest ecosystems are (ii) net removals because of non-anthropogenic processes
expected to be adversely affected by the projected climate (12.5 ± 3.2 GtCO2/year) on managed and unmanaged lands
change in turn affecting biodiversity, biomass growth and (Fig. 12.1). The net effects of all anthropogenic and
forest regeneration (Ravindranath et al. 2012). non-anthropogenic processes on land sector result in a net
Mitigation and adaptation are two options for addressing removal of CO2 from the atmosphere. In proportion to total
the issue of climate change. Mitigation actions seek to atmospheric emissions of CO2, the net removal of CO2 by
address the causes of climate change while adaptation actions managed and unmanaged land has generally increased over
targeted to reduce the impacts of climate change. Mitigation the last 60 years. Since around the middle of last century, the
strategies in the forests consist of reducing emissions from land sector has been a net sink for CO2. However, earlier it
deforestation and forest degradation; enhancing carbon was a net source of CO2 mainly due to emissions from
stocks in the forests and product replacement such as agriculture, forestry and other land use. All pathways consid-
replacing fossil fuels with woods for energy and forest ered by IPCC that overshoot the 1.5 °C target and require the
products in place of materials whose manufacturing process use of technologies/techniques related to carbon dioxide
involves high emission of greenhouse gases. Mitigation removal such as plantation activities on degraded lands,
actions are human efforts to reduce the emission or enhance carbon sequestration by soil, bioenergy with carbon capture
the carbon sinks. Adaptation actions reduce the vulnerability and storage and technologies leading to direct carbon capture
of forests and forest-dependent communities to climate and storage from air (IPCC 2018).
change (FAO 2012). Climate change mitigation and adapta- As described earlier, mitigation-related programmes are
tion actions collectively contribute to stabilise the concentra- the actions to control the anthropogenic factors responsible
tion of greenhouse gases in the atmosphere that would avoid for climate change and their cumulative impacts, especially
dangerous anthropogenic intrusion into the climate system the emission of greenhouse gases and other pollutants like
(IPCC 2014). black carbon particles affecting the energy balance of the
Forests play a key role in regulating the global carbon earth. Efforts towards enhancing carbon sinks such as green-
cycle as they account for a greater part of carbon exchange house gas removal processes from the atmosphere also con-
between the atmosphere and terrestrial biosphere thereby sidered mitigation activities. Mitigation is part of a broader
contributing to climate change mitigation (Pan et al. 2011). policy strategy that includes adaptation to climate change
In recent decades, terrestrial carbon sink has enlarged; how- impacts as it lowers the anticipated effects of climate change
ever, its size and location remain uncertain. Forest inventory as well as the risks of extreme impacts (IPCC 2014). Gener-
data and long-term ecosystem carbon studies estimated a total ally, climate change mitigation actions are aimed at limiting
forest sink of 2.4 ± 0.4 petagrams of carbon per year world- the extent and rate of long-term climate change. Mitigation
wide from 1990 to 2007 (Pan et al. 2011). Forest ecosystems actions are generally targeted towards reductions in anthro-
store more than 80% of all terrestrial aboveground carbon pogenic emissions of greenhouse gases. Global as well as
and more than 70% of all soil organic carbon (Batjes 1996). national policies on mitigation can further considerably
Kohl et al. (2015) have indicated that world forest reduce the projected risks of climate change (IPCC 2014).
ecosystems remove nearly 2 petagrams per year of carbon Afforestation, reforestation and improved forest manage-
ment are the most cost-effective options to reduce greenhouse
266 R. S. Rawat and V. R. S. Rawat

Fig. 12.1 Annual CO2 fluxes from land sector (values are average of 2010–2019). Source: IPCC (2022b)

gas emissions from the forest sector. The value of key forest emissions of greenhouse gas and enhance carbon seques-
ecosystem services such as air quality improvement, flood tration in forests, wetlands, grasslands, croplands and
mitigation, erosion control and landslide prevention, water pasturelands. The land-based climate change mitigation
filtration and local/regional precipitation cycles is now being measures are also known as nature-based solutions or
recognised by many communities. Agroforestry is an exam- natural climate solutions for well-being of human and
ple of a set of innovative trees growing practices along with biodiversity (IPCC 2022a, b). The technologies pertaining
agricultural crops designed to enhance overall productivity, to net removal of greenhouse gases from the atmosphere
along with the benefits of increased carbon sequestration. and storing them in living or dead organic material or in
Such practices can also strengthen the capability of the sys- geological formations are known as carbon dioxide
tem to cope with the adverse impacts of climate change. removal/greenhouse gas removal/negative emissions
Possible benefits of these activities include mitigation and technologies (Rogelj et al. 2018; Jia et al. 2019). Activities
adaptation, ecosystem services, restoration of degraded land, aiming at the reduction of deforestation and forest degra-
biodiversity conservation and financial benefits from the sale dation were identified to have major potential for reducing
of timber and non-timber forest products. Bioenergy can also supply-side emissions (0.4–5.8 GtCO2 eq./year) followed
play an important role in mitigation of climate change; how- by combined agriculture measures, 0.3–3.4 GtCO2 eq./
ever, there are issues of sustainability and the efficiency of year (Jia et al. 2019). Afforestation/reforestation
bioenergy systems. There are diverse bioenergy technologies (0.5–10.1 GtCO2 eq./year), soil carbon sequestration in
and a wide range of options available. Bioenergy-related croplands and grasslands (0.4–8.6 GtCO2 eq./year) and
options like improved cookstoves, small-scale biogas and bioenergy with carbon capture and storage
biopower production technologies could reduce the emission (0.4–11.3 GtCO2 eq./year) were among the activities
of greenhouse gases and also improve livelihoods and health identified to have the highest potential for carbon dioxide
benefits (IPCC 2014). removal.
Globally land-based mitigation potential was estimated to
Global Land Sector Mitigation Potential: IPCC reports be in the range of about 8–14 Gt CO2eq. per year during
indicated that agriculture, forests and other land use sector the year 2020. Actions like forest protection, improved
were responsible for total global net anthropogenic green- forest management and restoration of degraded forests and
house gas emissions of 11.9 (±4.4) GtCO2 eq./year on other ecosystems such as wetlands, savannas and
average for the period of 2010–2019 which is close to grasslands were listed among various mitigation choices.
21% of total global net anthropogenic greenhouse gas These choices have the highest potential to reduce
emissions from all sources (IPCC 2022a, b). Options for emissions and increase carbon sequestration to the tune
land-based climate change mitigation consist of various of 7.3 Gt of CO2 eq. per year. The second major share of
sustainable land management practices that reduce mitigation potential of 4.1 Gt of CO2 eq. per year was
12 Climate Change and Forest Sector in India 267

estimated for agriculture sector and this potential can be scenario of 2020, afforestation could mitigate 5.2 GtCO2
realised from soil carbon management in croplands and in the time period of 2010–2030 as compared to
grasslands, agroforestry, biochar, rice cultivation, live- 3.96 GtCO2 under the scenario of 2030 in the same time
stock and nutrient management (IPCC 2022a, b). period.
IPCC (2019) estimated a wide range of climate change The total growing stock of India’s forests and trees outside
mitigation potential of 0.5–10.1 Gt of CO2 per year by forests was estimated to be 6167.50 million m3 which
2050 from plantation activities (afforestation and refores- comprises 4388.15 million m3 inside the forests and
tation). The global mitigation potential of 3.9 GtCO2 per 1779.35 million m3 outside the forests. There was an
year for afforestation and reforestation activities and increase of 251.74 million m3 in total growing stock of
1.7 GtCO2 per year for improved forest management the country between two successive assessments (FSI
were estimated by the year 2050 with medium confidence 2019, 2021). The biomass carbon stock in India’s forests
(IPCC 2022a, b). Climate change impacts forest growth was 7940 million tonnes during 1880, which was declined
and composition and changes in disturbances regimes by nearly half over a period of hundred years in 1980
including forest fire will affect the mitigation potential of (Richards and Flint 1994). The carbon estimates also vary
plantations (afforestation/reforestation) activities. Global depending upon the methods of estimation used and the
initiatives like Bonn Challenge launched by the Govern- availability of the precise data for various components.
ment of Germany and IUCN in 2011, with an objective to Biomass and soil carbon stocks were estimated in the
bring 150 million hectares of degraded and deforested range of 8.58–9.57 GtCO2 in 1986 (Ravindranath et al.
landscapes into restoration by 2020 and 350 million 1997; Chhabra and Dadhwal 2004). Forest Survey of
hectares by 2030, the UN Decade on Ecosystem Restora- India made a detailed and comprehensive assessment of
tion (2021–2030) to prevent, halt and reverse the degrada- forest carbon stocks and changes in India’s forests
tion of ecosystems on every continent and in every ocean, between two time periods, viz. 1994 and 2004 (FSI n.d.).
and ‘One Trillion Trees Initiative’ launched by the World According to this estimate, forest carbon stocks for the
Economic Forum in 2020 to grow, restore and conserve year 1994 and 2004 were 6071 and 6663 million tonnes
1 trillion trees across the world by 2030 are responding to respectively. During this period, India had successfully
urgent issue of land degradation and climate change miti- enhanced its forest carbon stocks by 10% and added
gation by raising new plantations. However, these 592 million tonnes of carbon in its forests. Since 2013,
initiatives are under intense discussions on the level of the Forest Survey of India added a new feature for assess-
scale, their effectiveness and drawbacks of plantations for ment of forest carbon stocks for the states and union
climate mitigation (Luyssaert et al. 2018; Bond et al. territories in its regular biennial India State of Forest
2019; Anderegg et al. 2020; Heilmayr et al. 2020; Holl Report. Total carbon stock in India’s forests was estimated
and Brancalion 2020). 6941 million tonnes in 2013 (FSI 2013), Fig. 12.2.
Carbon Sequestration by Forests in India: Carbon seques- Plantations/Afforestation/Reforestation Activities in
tration by forests has attracted much interest as a mitiga- India: The first National Forest Policy of 1952 of India
tion approach, as it has been considered a relatively aimed at 33% of the geographical area of the country to be
inexpensive means of addressing climate change. Forest brought under forest and tree cover. Under this policy and
management practices that increase carbon sequestration to meet the demands of goods and services, plantations of
include afforestation/restoration of degraded forest lands, various species were raised. Plantations undertaken until
agroforestry, urban forestry, tree planting in rural 1974–79 were about 3.32 million ha in the country. Affor-
landscapes, enhancement of forest carbon stocks and estation and reforestation are being carried out under
sequestration capacity through modification of forestry various government-sponsored programmes such as social
management practices. forestry initiated in the early 1980s, programme on Joint
National Forest policy, 1988 mandated to bring a mini- Forest Management initiated in 1990, afforestation
mum of one-third of the total land area of the country activities under National Afforestation and
under forest and tree cover. Chaturvedi et al. (2010) ana- Eco-development Board programmes since 1992.
lyse the mitigation potential of Forest Policy over the National Afforestation Programme (NAP) of National
period of 2010–2030 under two scenarios viz., (i) a rapid Afforestation and Eco-development Board, one of the
afforestation rate (achieving one-third goal of forest and flagship schemes of the Government of India assists in
tree cover by 2020) and (ii) a moderate afforestation rate the rehabilitation of degraded forests through the
(achieving one-third goal of forest and tree cover by programmes of Joint Forest Management Committees.
2030). Assessment using the generalised comprehensive Plantation forestry activities have also been initiated by
mitigation-assessment process model shows that under the farmers, tree growers and industries. The flagship
268 R. S. Rawat and V. R. S. Rawat

Fig. 12.2 Assessment of carbon

stocks in India’s forests

Fig. 12.3 Plantation carried out under NAP in India during successive years. Source: ICFRE (2010)

government initiative of creating the Compensatory plantations in the forests by the state forest departments
Afforestation Fund Management and Planning Authority have enriched the forests of open (10–40% crown cover)
(CAMPA) is to accelerate activities for the preservation of and moderately dense categories (40–70% crown cover).
natural forests, management of wildlife, infrastructure The plantations have reduced anthropogenic pressure to a
development and other associated works in the forest considerable extent on the natural forests and have also
sector. These initiatives have contributed in increasing met both domestic and industrial demands besides
the annual rate of plantation to 1.50–1.80 million meeting the rural energy demand. Details of plantation
ha. The cumulative area afforested during the period activities carried out under NAP in India during succes-
1980–2005, including community woodlots, farm for- sive years are given in Fig. 12.3. Tree plantations outside
estry, avenue plantation and agroforestry, was about forest land are also done by other departments of the State
34 million hectares at an average rate of 1.32 million Government under Twenty Point Programme.
hectares/year (Chaturvedi et al. 2008). An assessment of the rate of carbon flux in plantation
Forest Survey of India estimated that around 3.63 million forests in India revealed that planted forests comprising
ha of plantation and trees outside forests presently exist in of short-rotation tree species with regular leaf shedding
the country which constitutes about 5.07% of country’s patterns have more capacity for carbon sequestration in
total forest and tree cover (FSI 2011). Contiguous the litter as compared to species with annual or bimodal
12 Climate Change and Forest Sector in India 269

leaf shedding patterns (Raizada et al. 2003). Litters of fast- practices would also result in quantitative increment due
growing conifers may be slow in decomposition leading to to the natural growth process of conserved vegetation.
accumulation on the forest floor, thus conifer forests are Other options suggested for saving wood biomass are
more prone to the risk of forest fire and eventually decline the use of improved cook stoves, which are more energy
in ground floral diversity and productivity. Plantation efficient and thus contribute towards forest conservation.
forests comprising mixed tree species of exotic and native Actions leading to an increase in the forest and tree cover
origin could be more efficient in carbon sequestration than improvement in carbon density and/or increment in vari-
monocultures. ous carbon pools in a given forest or woodlands can lead
Low Carbon Strategy for Forestry Sector in India: The to the enhancement of forest carbon stocks. Tree planting
Planning Commission of India (2014) highlighted various activities (afforestation, reforestation, agroforestry and
forestry actions for a low carbon strategy for the forestry energy plantations for fuel wood and biodiesel) could
sector in India. Forests within the protected areas are contribute to the enhancement of forest carbon stocks.
always preferred areas for saving and maintenance of Estimates of carbon sequestration through different for-
forest carbon stocks because of the rigorous management estry mitigation options are given in Table 12.1.
of protected areas for wildlife and other specifically Land Sector Contribution to National Greenhouse Gas
conserved forest areas and can be grouped under conser- Emission: Various government policies and programmes
vation forests. Forest areas which are subject to harvests in in India have transformed forests from net source to net
accordance with a prescription of forest working or man- sink of carbon dioxide. India’s initial National Communi-
agement plans based on the sound principle of silviculture cation to UNFCCC reported that India’s forests were net
can be put under sustainably managed forests. Under the source of CO2 for the reporting year 1994 which was
Bali Action Plan of UNFCCC, climate change mitigation 1.16% of total national emissions (MoEF 2004). India’s
actions in the context of REDD+ used the terms conserva- forests were net sink of 17 % of total national emissions
tion and sustainable management of forests. Forest man- when India submitted its Second National Communica-
agement practices of conservation forestry and sustainable tion to the UNFCCC (MoEF 2012). In its first, second,
management of forests would result in maintaining third biennial update reports and third national communi-
existing forest carbon stocks over a period of time. Such cation to UNFCCC, Indian forest sector contributed in

Table 12.1 Carbon sequestration estimates of different forestry mitigation options

Option Net carbon sequestration
Conservation and improvement of existing forests
1. Protected areas Avoiding GHG emissions from deforestation and forest degradation by conservation
actions in protected areas. This action will annually add 47 MtCO2eq to forest carbon sink
2. Sustainable management of forests other than The forest areas (53 Mha) under sustainable harvests are annually adding 62.0 Mt CO2eq
protected areas to the forest carbon sink
3. Improvement in forest and tree cover This option aims to improve 1 million ha area of open forests and medium dense forests
each, so that these forests transition to the next higher class. This transition can enhance the
forest carbon sink to the tune of 7.3 MtCO2eq per year
4. Improved wood-burning cookstoves By replacing traditional cook stoves with fuel-efficient models, the avoided emissions
from the overuse of fuel wood in cooking stoves in rural regions (800 million people/160
million families) will contribute in increasing the carbon stocks in forests. This action
would offset emissions equal to 58.2 MtCO2eq
Afforestation
5. Increase in forest and tree cover in forest fringe This option can help in adding additional 17 million ha by creating additional forest in and
villages around 170,000 forest fringe villages. Annually 1.7 million ha can be afforested/reforested
on an average. This option can add 12.5 million tonnes of CO2eq annually to the forest
carbon sink
Wood products use management
6. Harvested wood products management Carbon can be stored in wood products for a sufficiently long time. By encouraging wood
(as substitutes) products in building construction by substituting high energy-intensive products like
cement and metallic door and window frames etc., 2 tonnes of CO2eq can be saved for each
cubic m of metal/cement concrete replaced
7. Replacement of office and domestic furniture Currently about 35% of furniture used in homes and offices is made of metals and plastics.
using metals with wooden furniture Substituting about 50% of the metals and plastics furniture every year by wood could
replace about 1.5 million m3 of metal and plastic furniture, resulting in additional
sequestration of 3 million tonnes of CO2eq annually
Source: Planning Commission (2014)
270 R. S. Rawat and V. R. S. Rawat

Table 12.2 Forestry sector (LULUCF) contribution to national greenhouse gas emission
National emissions Forestry contribution to
Reference (million tonnes of CO2 (as %) total national Methodology followed for estimation of
S. No. Study year eq) emission LULUCF emissions
1. Initial National 1994 1228.54 1.16 (net source) Default values used
Communication
2. Second National 2004 1301.21 17.1 (net sink) Tier 2 and 3 methodologies of IPCC used
Communication in combination
3. 1st Biennial 2010 1884.31 11.81 (net sink) Combination of IPCC Tier 2 and
Update Report 3 methodologies of IPCC used in
combination
4. 2nd Biennial 2012 2,306.29 11.55 (net sink) Tier 2 and 3 methodologies of IPCC used
Update Report in combination
5. 3rd Biennial 2016 2,531,069 10.84 (net sink) Tier 2 and 3 methodologies of IPCC used
Update Report in combination
6. Third National 2019 26,46,556 20 (net sink) Tier 2 and 3 methodologies of IPCC used
Communication in combination
Source: MoEFCC (2004, 2012, 2015a, 2018a, 2021, 2023b)

offsetting 11.81%, 11.55%, 10.81% and 20% of total 1990 as a result of land use conversion for different purposes.
national greenhouse gas emissions respectively (MoEFCC In the last 5-year time period of 2015–2020, an estimated
2015a, 2018a, 2021, 2023b). Based on various national annual deforestation rate was 10 million hactares, which was
reports submitted to UNFCCC, it can be very well inferred 12 million ha during the period of 2010–2015. Nonetheless,
that the forestry sector in India is now a net sink of CO2 between 1990 and 2020, the rate of net forest loss signifi-
and contributing towards climate change mitigation in cantly declined as a result of decreased deforestation in some
India. Forestry sector contribution to India’s total green- countries and increases in forest cover in others as a result of
house gas emissions is given in Table 12.2. plantations and expansion in area of forests. Globally annual
Forests are the largest carbon pool on earth and are a major rate of net forest loss came down from 7.8 million ha in the
source as well as sink of carbon. Thus, it has the potential decade 1990–2000 to 5.2 million ha in 2000–2010 and 4.7
to form a main component in mitigation and adaptation to million ha in 2010–2020 (FAO 2020; FAO and UNEP 2020).
climate change. Several land-based climate solutions are Land use sector collectively known as agriculture, forestry
now available that can reduce and/or remove carbon and other land use sectors contributes about one-quarter of
emissions from the atmosphere. Afforestation and refores- global greenhouse gas emissions. About 13% of total anthro-
tation have the highest carbon removal potential followed pogenic CO2 was emitted from deforestation and peatland
by enhancing soil carbon and using bioenergy in combi- degradation alone. Reducing the rates of deforestation and
nation with carbon capture and storage. The conservation forest degradation is one of the most reliable and successful
focussed forest policies and afforestation/reforestation ways to mitigate climate change, with significant global
programmes in India have transformed India’s forest benefits (IPCC 2019). Duan and Tan (2019) have analysed
from source to net sink of CO2. Those progressive policies that the forests in developing countries decreased from
and programmes at national level have contributed to 1992 to 2015; however, this decline slowed down after
reducing CO2 emissions, stabilising and improving forest 2004. In developing countries, the total forest cover
carbon stocks and conserving the biodiversity. decreased from 21.8 to 21.3 million sq km from the year
1992–2015 and 41.2–40.6% decrease in total forest coverage
was recorded. South America recorded the largest reduction
in forest area (505,100 sq km) accounting for approximately
85% of total forest loss.
12.8 REDD+ for Climate Change Mitigation
and India’s Readiness
12.8.1 Evolution of REDD+ at UNFCCC
Deforestation and forest degradation worldwide are occur-
ring at alarming rates, which is a major contributing factor to The unique capability of forests to address climate change
greenhouse gas emissions and biodiversity loss. An estimated mitigation as well as adaptation by way of capturing and
420 million hectares of forests have been destroyed since storing carbon has attracted the attention of the scientific
12 Climate Change and Forest Sector in India 271

community and policymakers since the beginning of climate undertaking the activities such as reducing emissions from
change discussions. However, the adaptive capacity of deforestation, reducing emissions from forest degradation,
forests is adversely impacted by changing climate regime conservation of forest carbon stocks, sustainable manage-
by making them more vulnerable to climate change (IPCC ment of forest and enhancement of forest carbon stocks; in
2022a, b). The capability of forests for large-scale reduction accordance with their respective capabilities and national
in greenhouse gases, as well as reducing emissions from circumstances. The Cancun Agreements include a number
deforestation and forest degradation has been projected as a of guiding principles concerning safeguards for forest
cost-effective approach for mitigating climate change governance, social safeguards respecting the rights of
(Sathaye et al. 2007; Parker and Mitchell 2009). The Stern indigenous peoples and local communities, and environ-
Review (2006) categorically mentioned that reduction in mental safeguards for protection and conservation of
deforestation is the ‘single largest opportunity for cost- biological diversity and ecosystem services.
effective and immediate reductions of carbon emissions’. Warsaw Framework for REDD+: The Warsaw Climate
Reducing emissions from deforestation and degradation Change Conference (COP19 in 2013), countries agreed
(REDD) in developing countries was introduced for on a decision package, known as Warsaw Framework for
negotiations in 2005 for the first time at COP 11 of REDD+. A series of agreements on methodological guid-
UNFCCC. The agenda of REDD came under argument and ance, institutional arrangements and results-based finance
disparagement for its narrow focus covering only deforesta- were made.
tion and forest degradation. India took the lead to correct the REDD+ and Paris Agreement: Paris Agreement (UN 2015)
skewed focus of REDD with strong support of the like- also reaffirmed the role of REDD+ and lays out a frame-
minded countries where there was no large-scale deforesta- work for the conservation of carbon sinks, including
tion and forest cover was increasing or stabilised as a result of forests, through schemes such as results-based payments
their policies on forest conservation and sustainable manage- for REDD+ actions. Although the broad rules and meth-
ment of forests (Rawat and Kishwan 2008; Rawat 2010). odological guidance for REDD+ were already agreed
upon under ‘Warsaw Framework for REDD+’ and other
Transformation of REDD to REDD+: India in COP 12 of relevant COP decisions, legitimising and ‘regulating’
UNFCCC in 2006 presented a new policy approach for the REDD+ activities under the Article 5 of the Paris Agree-
countries those have implemented strong conservation ment was a strong political signal. Inclusion of REDD+ in
measures and regulations to be suitably compensated Paris Agreement will further encourage the developing
under the instrument of REDD for rewarding forest con- countries to continue with REDD+ strategy and readiness
servation and enhancement of forest carbon stocks (Rawat activities (Rawat and Singh 2016a, b).
and Kishwan 2008). The Indian proposal aimed to com-
pensate the countries for maintaining and increasing their
forests as carbon pools as a result of conservation and 12.8.2 India’s Readiness for Implementation
improvement in their forest cover. India’s proposal of of REDD+ Activities
inclusion of conservation and sustainable management of
forest cover as a policy approach to REDD was finally Developing countries willing to participate in REDD+
recognised and given effect in the Bali Action Plan of programmes are required to develop their (i) National
COP 13 in 2007 which read as ‘Policy approaches and REDD+ Strategy or Action plan, (ii) National REDD+ Ref-
positive incentives on issues relating to reducing erence level/Reference Emission Level, (iii) National Forest
emissions from deforestation and forest degradation in Monitoring System and, (iv) a Safeguard Information Sys-
developing countries; and the role of conservation, sus- tem. India already developed its Forest Reference Level for
tainable management of forests and enhancement of forest REDD+. Forest Reference Level submitted by India to
carbon stocks in developing countries’. The above para- UNFCCC is (-) 49.70 million tonnes of CO2eq per year
graph of Bali Action Plan is collectively referred to as (UNFCCC 2018). India submitted its Safeguards Information
REDD+ (UNFCCC 2008). System for implementation of REDD+ activities to UNFCCC
UN negotiations leading to further implementation of in 2023.
REDD+ are briefly described below:
Cancun Agreements: In Cancun (Mexico), in the year 2010, Scope of REDD+ Implementation in India: About
Governments agreed to accelerate action to check 1,73,000 villages are categorised as forest fringe villages
emissions from deforestation and forest degradation in in India with an estimated population of about 350 million
developing countries (MoEFCC 2014b). Cancun with high dependence on forest resources for their
Agreements on REDD+ encourages developing countries livelihoods. In India, good chunk of forests is being
to contribute to mitigation actions in the forest sector by
272 R. S. Rawat and V. R. S. Rawat

managed under Joint Forest Management through more regeneration, soil and moisture conservation, silvicultural
than 1,18,000 Joint Forest Management Committees. operations, maintaining forest nurseries and raising of quality
There is a lot of scope and opportunities for integrating planting stocks, and control of forest fires, pest and disease
REDD+ activities with the community-managed forests. and invasive species.
Promoting and integrating REDD+ activities in the joint Forest management in India is now transitioning to people
forest management activities to enhance carbon sequestra- centric. National REDD+ strategy proposes that civil society
tion for meeting national targets of climate change mitiga- collaborates with National Institutions and State Forest
tion and international commitments as a responsive Departments in organising capacity building programmes
member of the international community (Rawat and for the local communities including Gram Sabha and Joint
Kishwan 2008; Rawat et al. 2020). India’s forest and Forest Management Committees. The strategy also provided
tree cover besides meeting the goal of the National Forest a roadmap for addressing the drivers of deforestation and
Policy and livelihood needs of local communities are also forest degradation and importance of safeguards for imple-
crucial for meeting the country’s Nationally Determined mentation of REDD+ activities.
Contribution target under the Paris Agreement. Improve- REDD+ mechanism is primarily designed as climate
ment in the health of natural forests of the country will change mitigation programmer under UNFCCC. However,
need to be supplemented by focusing on trees outside an effective implementation of REDD+ programme will also
forests to meet the India’s Nationally Determined Contri- provide opportunity for alternate income generation, liveli-
bution (NDC) target. hood security, climate resilience and social wellbeing. Forest
National REDD+ Strategy: National REDD+ Strategy 2018 ecosystem services and their continuous supply are now
of India builds upon existing national circumstances and becoming increasingly important in the context of adaptation
aligned with the precepts of the National Forest Policy, to climate change. India was active in shaping the evolution
1988. The overarching objective of National REDD+ of the wide ranging and inclusive concept of REDD+ at the
Strategy is to facilitate the implementation of REDD+ international level; however, more efforts need to be done
programme in the country in conformity with relevant domestically for the purposeful implementation of REDD+
decisions of UNFCCC, in particular the Cancun activities.
Agreements, Warsaw Framework for REDD+, Paris
Agreement and the national legislative and policy frame-
work for conservation and improvement of forests and the 12.9 Initiatives for Climate Adaptation
environment (MoEFCC 2018a, b). and Mitigation in Forest Sector

As per the National REDD+ Strategy, National Governing Climate change is a global process but with local
Council for REDD+ (NGC-REDD+) has been established at repercussions. India faces a bigger challenge in handling
national level to coordinate and guide REDD+ related with the consequences of climate change than most other
actions. NGC-REDD+ shall be chaired by the Union Minister countries as local communities have large dependence on
for Environment, Forest and Climate Change, Government of forest resources. India is a mega-biodiversity country where
India. A National Designated Entity for REDD+ has also forests and tree cover account for 24.62% (80.95 million ha)
been established at the Ministry of Environment, Forest and of the geographical area (FSI 2021). Thus, it is very crucial to
Climate Change, Government of India to liaise with assess the likely impacts of projected climate change on
UNFCCC and state governments. The strategy delegates forests and to develop adaptation strategies and action plan
key responsibility for the implementation of REDD+ for conservation of biodiversity, safeguarding the livelihoods
activities to the Forest Departments at the state level. of the local communities, besides ensuring production of
The National REDD+ Strategy focuses on creation of timber for commercial requirements. In India, forest policies
trained human resource to carry out forest-related and programmes are forest conservation centric and aim to
measurements at all levels of execution of REDD+ activities. enhance forest and tree covert through afforestation and
The National REDD+ Strategy also empowers youths as reforestation thereby contributing in reduction of carbon
community foresters to lead the charge at the local level emissions. Thus, forests in India are contributing positively
through building their capacity under the green skill develop- in mitigating global climate change and promoting sustain-
ment programme. Implementation of REDD+ activities will able development (Rawat and Kishwan 2008). India is
provide opportunities for additional jobs in the forest sector. among the few developing countries whose forests are net
Services of the community foresters can be utilised effec- sink of CO2 and it is reported that forests capture almost 20%
tively in the implementation of the activities for climate of the total greenhouse gas emissions (MoEFCC 2023b).
change adaptation in forests such as assisted natural There are both external and domestic dimensions to
India’s policy on climate change which has been articulated
12 Climate Change and Forest Sector in India 273

through two key documents such as National Action Plan on Protecting and enhancing ecosystem services through
Climate Change (NAPCC) and Nationally Determined afforestation, reforestation, biodiversity conservation and
Commitments submitted to the UNFCCC. The NAPCC restoration of pasturelands can help in improving the
incorporates India’s vision of ecologically sustainable devel- livelihoods of forest dependent communities and their
opment and steps to be taken to implement it. It is based on adaptive capacity in view of the adverse impacts of cli-
the awareness that climate change action must proceed simul- mate change.
taneously on several intimately inter-related domains, such as State Action Plans for Climate Change: Simultaneously
energy, industry, agriculture, water, forests, urban spaces and after launch of National Action Plan on Climate Change,
the fragile Himalayan environment. The NAPCC acknowl- the Prime Minister’s Council on Climate Change called
edged that climate change and energy security were two sides upon state governments to prepare State Action Plans on
of the same coin; that India had to make a strategic shift from Climate Change in line with NAPCC. Government
its current reliance on fossil fuels to a pattern of economic requested states to priorities adaptation actions vis-a-vis
activity based progressively on renewable sources of energy state priorities and local level impacts. Forest sector is one
such as solar energy and cleaner sources such as nuclear of the major sectors in various State Action Plans of
energy. Climate Change (SAPCC). The objectives of SAPCCs
are to support the NAPCC’s vision while also being in
National Action Plan on Climate Change: India launched line with the eight national missions. The impact of cli-
its National Action Plan on Climate Change way back in mate change, vulnerability assessment, adaptation, mitiga-
the year 2008. It identifies a number of measures in the tion strategies, financial requirements and capacity
form of eight national missions (National Solar Mission, building requirements to carry out the selected actions
National Mission for Enhanced Energy Efficiency, are all covered in detail by SAPCCs.
National Mission for Sustainable Habitat, National
Water Mission, National Mission for Sustaining the Hima-
layan Ecosystem, National Mission for a Green India, 12.9.1 Nationally Determined Contribution
National Missions for Sustainable Agriculture and (NDC)
National Mission on Strategic Knowledge for Climate
Change) that simultaneously advance the country’s devel- First NDCs of India for achieving the objectives of the Paris
opment and climate change related objectives of adapta- Agreement were submitted to UNFCCC in October 2015 for
tion and mitigation. The eight National Missions achieving its targets by 2030. Later, India has submitted its
comprises multifaceted, long-term and integrated updated NDCs in August 2022. In the updated NDC, India’s
strategies for accomplishing India’s primary goals in the NDC target for forest sector remain unchanged ie ‘to create
context of climate change are the central component of the an additional carbon sink of 2.5–3 billion tonnes of CO2
National Action Plan (MoEFCC 2014c). equivalent through additional forest and tree cover by
The National Mission for a Green India is one of the key 2030’ (MoEFCC 2022).
missions of NAPCC. The mission recognises that climate
change will extremely affect and alter the distribution,
type and quality of natural resources and associated 12.10 Mainstreaming Climate Change
livelihoods of the local communities in the country. The in Forest Management: Legal and Policy
Mission recognises the impacts that the forests have on Framework
environmental well-being through mitigating climate
change, food and water security, conservation of biodiver- The country’s natural resources including forests, wildlife
sity and livelihood security of forest dependent and biodiversity are effectively protected by the policy and
communities. legislative framework that have developed in accordance
The actions proposed under Green India Mission respond with the provisions of the Constitution of India. This frame-
to climate change through combination of adaptation and work protects and upholds the rights of the local communities
mitigation strategies, which help in enhancing carbon over lands and forest products while guiding and directing
sinks in sustainably managed forests and other the sustainable management of forests to ensure biodiversity
ecosystems, adaptation of vulnerable species/ ecosystems conservation (MoEFCC 2018b). The policies, legislations
to the changing climate and adaptation of forest dependent and regulations listed below provide strong commitments of
local communities in the face of climatic variability. The the Government of India for conservation and protection of
Mission would strengthen the management and restoration forests, wildlife and biodiversity.
of forest ecosystems in reducing the vulnerability of poor
communities to climate change related disasters.
274 R. S. Rawat and V. R. S. Rawat

Indian Forest Act, 1927: It consolidates the laws pertaining Scheduled Tribes and Other Traditional Forest Dwellers
to forests, transportation of forest products, and levy (Recognition of Forest Rights) Act, 2006: The Act
imposed on timber and other forest products. Various enjoins upon the local communities, to recognise their
provisions of this Act capable for enhancing quality and role in forest and biodiversity protection through sustain-
extent of forest and tree cover along with biodiversity able management practices, which will yield long term
conservation in the natural forests. benefits to them.
Wild Life (Protection) Act, 1972: The purpose of this Act is National Agroforestry Policy, 2014: The policy lays
to protect wild animals, birds and plants. It works in emphasis on the environmental contribution of agrofor-
perfect harmony with preserving biodiversity and keeping estry by halting deforestation, and enhancing carbon stor-
natural forests from being converted into plantations. age in trees, biodiversity, soil and water conservation.
Forest (Conservation) Act, 1980: This is one of the most This policy contributes to the objectives of climate change
effective legislations controlling the conversion of forest mitigation by enhancing the area of trees outside forest
lands to non-forestry purpose. This act has drastically and thus preventing pressure on natural forests.
reduced indiscriminate diversion of forest lands for
non-forestry purposes, and regulated the land use changes
in forests. Under this Act, Government of India is 12.10.1 Paradigm Shift in Forest Governance in
empowered to approve the diversion of forest land for India
non-forestry purpose. Enactment of this act contributed
to strike a balance between conservation and developmen- In the year 1952, the first Forest Policy of independent India
tal activities, thus it helps to enhance implementation of was formulated with the statement that village communities
mitigation and adaptation actions in the country through should not be allowed to use forests at the cost of national
conservation of natural forests. interest. The Forest Conservation Act of 1980 was the first
Environment (Protection) Act, 1986: This act provides shift in forest governance from commercialised use of forest
protection and improvement of environment and matters to conservation centric objectives. With the promulgation of
connected with it. It empowers the Union Government to this Act, conversion of forest lands to non-forest use has been
establish authorities to control all kind of environmental drastically reduced. The speed of diversion of forest land for
pollution and to address specific environmental issues that non-forest purposes was close to 1,40,000 hectares per year
are unique to various regions of the country. from 1951 to 1980 which was drastically reduced to
National Forest Policy, 1988: The main objective of 24,000 ha per year (MoEFCC 2023b) during the period of
National Forest Policy, 1988 is to ensure environmental 1980–2020 after the implementation of this Act (Fig. 12.4).
stability and maintenance of ecological balance. Another The National Forest Policy 1988 was a paradigm shift in
striking feature of the policy is to bring one-third of the the philosophy of forest governance in India. This policy
country’s geographical area under forest and tree cover. differed from the previous policies of independent India.
Panchayat (Extension to Scheduled Areas) Act, 1996: This Earlier forests were considered merely as a source of revenue.
act was enacted to enable Tribal Self Rule in their areas. The objective of the 1988 forest policy was to ensure that the
Through this Act the provisions of Panchayats were rights of the forest dependent people are safeguarded. The
extended to the tribal areas of nine states that have Fifth ecological security was given priority over revenue earning
Schedule Areas. Through PESA special powers especially from forest resources. The policy also stressed on the close
for the management of natural resources were given to the relationship between the forests and tribal population. Cur-
Gram Sabha. rent initiatives like National Afforestation Program, along
Biological Diversity Act, 2002: The Act provides for con- with programmes in other sectors like agriculture and rural
servation of biological diversity, sustainable use of its development are adding about 1 mha of forest and tree cover
components and fair and equitable benefit sharing from annually. This contributes to sequestering about 1 million
biological resources, knowledge and other related matters. tonne of carbon incrementally. Combined with the accumu-
National Environment Policy, 2006: The objectives of the lation of biomass in the managed forests, protected areas and
National Environment Policy, 2006 are to include conser- in tree cover outside forests, the total carbon service from
vation of critical environmental resources, intra- India’s forest is estimated at 138 mt CO2 eq. every year
generational equity and livelihood security for the poor, (Kishwan et al. 2009).
inter-generational equity, integration of environmental
concerns in economic and social development, efficiency
in environmental resource use and enhancement of
resources for environmental conservation.
12 Climate Change and Forest Sector in India 275

Fig. 12.4 Impact of Forest 0.16

(Conservation) Act, 1980 on pace
of diversion of forest land. Source: 0.14
MoEFCC (2023b)

Land Diversion (Mha/ year)

0.12

0.1

0.08

0.06 Mha/ year

0.04

0.02

0
1951-80 1980-2020
Years

Source: MoEFCC (2023 b)

12.10.2 Mainstreaming Climate Change 12.10.3 Forest Management Regime Supporting

in Forest Management Plans in India Climate Change Adaptation
and Mitigation
In India, scientific management of forests started in 1864
when Sir Dietrich Brandis, a German forester was appointed Forest management in India is already aligned to implement
as first Inspector General of Forests. Following this, laws various climate change related mitigation and adaptation
were passed, most notably the 1865 Forest Act, which was aspects and as such it does not need change significant
amended in 1878 to give more powers to the forest changes, in order to implement the programmes related to
departments (MoEF 1999). Earlier objectives of forest man- climate change. However, certain aspects of forest manage-
agement were primarily focussed towards revenue earning ment will need to be strengthened by appropriate infrastruc-
from forest resources; however, National Forest Policy, 1988 ture inputs and capacity building to maximise the climate
shifted attention of forests from merely a source of revenue to change related benefits out of these policies and programmes.
more people oriented by protecting the rights of the forest These recommendations have been adequately described in
dependent people and ecological security of the nation as the Green India Mission, India’s NDC to UNFCCC
primary goal (MoEF 1988). (MoEFCC 2022) and National REDD+ Strategy (MoEFCC
During the pre-independence period, creation of reserved 2018b).
and protected forests and the settlement of rights therein were
the major task undertaken by the forest departments. Work- Integrating Climate Change Aspects in Forest Manage-
ing plans were implemented for the majority of the ment Plan in India: The National Forest Policy, 1988
exploitable areas and important tree species. Various silvicul- categorically emphasises that no forest should be allowed
tural systems such as selection and selection-cum-improve- to be worked without a working plan that has been
ment felling, conversion to uniform system, coppice with approved by the competent authority. All forests are to
standard/reserves as well as the taungya system (agri- be managed sustainably under approved working plan/
silviculture) involving clear felling and strip planting with scheme’s prescriptions. The working plan shall be
short duration (3–5 years) of agriculture crops were also approved by the designated authority at the Ministry of
developed. These systems were all created to harvest and Environment, Forest and Climate Change, which will also
regenerate significant timber species in order to generate ensure its implementation. The working plans prepared as
resources. All these systems were all designed to harvest per the National Working Plan Code are generally valid
and regenerate important timber species with prime objective for a period of 10 year.
of resource generation. In 1927, the previous Indian Forest At the national level, Forest Working Plan has been the
Act was revised; however, many provisions of previous Act main guiding document for forest planning ensuring sci-
are still in force (Rawat and Kishwan 2008). entific management of forests. Earlier different states of
276 R. S. Rawat and V. R. S. Rawat

the country had been following their own working plan pools are estimated following the Good Practice Guidance
codes. However, in 1996 after the Supreme Court of of IPCC (2003). In working plans, for estimation of appro-
India’s intervention, all forest working plans were priate certainty, application of IPCC Tier 2 and Tier
required to be approved by the Government of India as 3 methodology has been recommended.
forests being brought in the concurrent list. The Ministry Climate Change Impact, Adaptation and Mitigation-
of Environment, Forest and Climate Change, Government Related Issues: For effective forest management and
of India adopted a uniform National Working Plan Code- planning to address forest related adaptation and mitiga-
2004 for the management of forests under the tion issues, it is important to understand the vulnerability
prescriptions of a working plan/scheme and to standardise of forest ecosystems and the likely impacts. The revised
the procedure. This code was later replaced with new working plan code seeks to increase the productivity of
codes in 2014 and 2023. forests as well as improvement in forest quality and their
National Working Plan Code-2014: Working Plan Code- capacity to sequester carbon through effective interven-
2004 was revised and replaced with a new Working Plan tion and planning. The code, therefore, directly or indi-
Code-2014. The doctrines of Working Plan Code-2014 rectly deals with the various aspects of forests and climate
were more or less tuned with various actions contributing change such as impacts, adaptation and mitigation.
to climate change mitigation and adaptation aspects
including implementation of REDD+ activities. The current system of forest management planning,
National Working Plan Code-2023: Ministry of Environ- policies and regulations and forestry practices in India are
ment, Forest and Climate Change, Government of India much apt for mainstreaming of climate change related aspects
has released the ‘National Working Plan Code-2023’ in into forest management plans. Various polices, legislations,
2023 for scientific management of forests and evolving acts and regulations related to forests, biodiversity, wildlife
new approaches. While keeping the essential tenets of its and environment provide a robust statement on India’s obli-
predecessor, the National Working Plan Code-2023 will gation towards protection of environment, biodiversity and at
act as a guiding principle for State Forest Departments in the same time addressing climate concerns. The National
preparation for the working plan for different forest Forest Working Plan Code, objectives of Green India Mis-
divisions in the country. National Working Plan Code- sion, National Afforestation Programme, National REDD+
2023 deals in detail with the essentials of forest manage- Strategy (MoEFCC 2018b) and National Forest Policy
ment planning, incorporating the principles of sustainable (1988) provide enough space for incorporating climate
management of forests. This includes extent and condition change mitigation aspects of forests while developing forest
of forest and tree cover; maintenance, conservation and management plan. At the time of preparation of forest work-
enhancement of biodiversity including wildlife, forest ing plans, the linkage of climate change mitigation efforts
health and vitality, conservation and management of soil through afforestation, reforestation, forest restoration and
and water resources, enhancement of forest resource pro- REDD+ with national forest inventory required to be
ductivity, maintenance and enhancement of social, eco- strengthened so that various national programmes addressing
nomic, cultural and spiritual benefits and providing the climate change mitigation through forest-based actions can
appropriate policy, legal and institutional framework. For be achieved at the forest division level. The code also
the first time, the National Working Plan Code-2023 has provides opportunity to create effective forest conservation
prescribed state forest departments to engage in continu- and adaptation plans for climate change mitigation by the
ous data collection and its updating in a centralised data- systematic and continuous observations of various
base. The new working plan code of 2023 will help in parameters of forest management.
generation of robust data base which will facilitate in
developing various forest and climate change related
programmes. The National Working Plan Code provides 12.11 Way Forward
enough provisions to integrate issues related to climate
change and conservation of biodiversity through the sys- Despite all global efforts, increase in emission of greenhouse
tem of working plans. gas continues unabated. Concentrations of greenhouse gases
Carbon Inventory: At national level, Forest Survey of India are continuously increasing, reaching annual averages of
is primarily responsible for carrying out biomass and soil 410 ppm for carbon dioxide, 1866 ppb for methane, and
carbon inventory through its regular activity of national 332 ppb for nitrous oxide in 2019. The atmosphere, ocean,
Forest Inventory assessment. In order to establish linkages cryosphere and biosphere have all undergone extensive and
between National Forest Inventory and working plans, the swift changes. Anthropogenic activities are estimated to have
working plan code has adopted grid-based systematic caused 1.1 °C of global warming above pre-industrial levels
sampling. Changes in carbon stocks in different carbon (IPCC 2021) and likely to reach 1.5 °C between 2030 and
12 Climate Change and Forest Sector in India 277

2052, if it continues at the current rate (IPCC 2018). Among China and Russia announced to be carbon-neutral by 2060.
the major global efforts to limit global warming, the Paris Other major European economies include France, Denmark,
Agreement seeks to fortify the international response to the New Zealand and Hungary (all with 2050) and Sweden
threat posed by climate change, by keeping the rise in the (by 2045). India also announced net-zero emissions by
average global temperature to well below 2 °C with addi- 2070. Other countries have amended their NDCs, proposed
tional efforts for limiting it to 1.5 °C above pre-industrial legislation, or stated their desire to achieve net-zero
levels. emissions

12.11.1 Analysis of Current National Pledges 12.11.3 Carbon Dioxide Removal and Bioenergy
Under NDC With Carbon Capture and Storage

The latest NDC Synthesis Report published by UNFCCC The recent series of IPCC reports (IPCC 2018, 2019,
(UNFCCC 2021b) contains some worrying findings. When 2022a, b) reaffirms the importance of land restoration, affor-
accounting the implementation NDCs submitted by 191 coun- estation and reforestation for mitigation of climate change.
try Parties, the overall global greenhouse gas emission level To limit global temperature, rise to 1.5 °C above
in 2030 is predicted to be 16.3% higher as compared to 2010. pre-industrial levels extraordinary efforts in many sectors of
According to IPCC special report on 1.5 °C (IPCC 2018), in economy particularly in energy and industrial would be
order to limit temperature, rise to 1.5 °C goal, global net required. Through various global efforts and with interna-
anthropogenic CO2 emissions need to decrease by about tional cooperation it is possible to limit global warming by
45% from the 2010 level by 2030, reaching net zero around 1.5 °C as agreed by country Parties to UNFCCC under the
2050. To limit temperature rise to below 2 °C, CO2 emissions Paris Agreement. Theoretically, it is feasible that carbon
need to decline by about 25% by the year 2030 from the 2010 dioxide removal techniques to extract CO2 from the atmo-
level and reach net zero around 2070. sphere might help to limit temperature rise to 1.5 °C.
The NDC Synthesis Report (UNFCCC 2021b) illustrates All pathways assessed by IPCC reach net CO2 emission
that the new and updated NDCs are not sufficient enough to by around 2050, all of them also require some level of CO2
achieve the Paris Agreement goal on limiting global temper- removal measures or technologies and particularly in case of
ature. The Report suggest an urgent need either for a signifi- overshoot pathways where temperature exceeds 1.5 °C
cant increase in the level of drive of countries NDCs between before 2100 then to bring it down to 1.5 °C. There are several
2021 and 2030 or a significant over achievement of the latest possible options for carbon dioxide removal. The pathways
NDCs, or a combination of both options, in order to keep assessed by the IPCC 1.5 °C report (IPCC 2018) mostly
warming well below 2 °C or limiting it to 1.5 °C. If emissions depended on bioenergy with carbon capture and storage,
are not reduced by 2030, they will need to be substantially afforestation and reforestation. To achieve Paris temperature
reduced thereafter to compensate for the slow start on the goals, ‘net negative emissions’ can only be realised if the
path to net zero emissions. IPCC (2018) in its Special Report removal of CO2 from the atmosphere is greater than the
on 1.5 °C identifies net zero CO2 emissions as a prerequisite amount entering the atmosphere. The quantity of carbon
for halting warming at any level. dioxide removal (CDR) required for this would be more
than for stabilising the atmospheric concentration of CO2
and thus global temperature at a certain level.
12.11.2 Achieving Net Zero Emission by A variety of CDR techniques exist, each with varying
Countries potentials for producing negative emissions and also with
diverse costs and adverse impacts. These techniques are at
Net-zero emissions is a state where the sum total of all various stages of development, some of them are more con-
anthropogenic emissions by sources and removals by sinks ceptual than others. Bioenergy with carbon capture and stor-
are zero. By now around 137 country Parties pledged to age is one example of CDR which is still in the demonstration
achieve net-zero emissions by the year 2050. Notably phase. In this technique, a growing tree captures carbon
among them are the United States and the European Union dioxide from the atmosphere and then energy is produced
set out its bloc-wide net-zero target for 2050, The United by burning tree biomass. The carbon dioxide released during
Kingdom has a legally binding net zero target by 2050.1 the process of burning is captured before it reaches the
atmosphere and then stored in deep geological formations.
1
https://commonslibrary.parliament.uk/global-net-zero-commitments/
#:~:text=The%20UK%20has%20a%20legally,emissions%20by%
2078%25%20by%202035.
278 R. S. Rawat and V. R. S. Rawat

12.11.3.1Afforestation and Reforestation Activities livelihoods of the forest fringe communities as well. In
for CDR bioenergy options, higher demand for woody biomass will
Tree plantation activities such as afforestation and reforesta- tend to increase forest landowner revenue, while greater
tion also qualify for CDR because these plantations enhance reliance on small-diameter biomass from faster-growing spe-
natural sinks of carbon dioxide. Chemical processes are cies may help provide a more continuous source of revenue
another category of CDR technique capturing CO2 from the than traditional timber production. Employment generation
atmosphere and storing it for a long time. Another technique activity and income in rural and urban areas of developing
to store carbon out of the atmosphere is to turn waste plant countries through wood energy production and use also con-
residue into biochar and bury it in the earth for decades or tribute to socio-economic development of the communities.
perhaps centuries. Initiatives like Bonn Challenge and ‘One Trillion Trees Ini-
These aforesaid reports really bring important tiative’ have emerged to take advantage of opportunities for
contributions from land-based activities including those that using the available land. Emerging technologies like
fit into CDR measures. Globally, ecosystems and people are bioenergy with carbon capture and storage can also be
affected by land degradation, which both causes and is attempted through such initiatives.
influenced by climate change. Forest restoration as one of
the key activities that can be taken within CDR measures and
also bringing not only restoration of land but co-benefits of 12.11.5 Finance for Climate Change Actions
adaptation and mitigation are focus of the IPCC special report
on climate change and land (IPCC 2019). The Paris Agreement inter alia highlights the significance of
The large-scale implementation of CDR measures can equity and non-carbon benefits for sustainable development
have impacts that are yet not known specially if they are while supporting a broad range of policy measures such as
implemented on a large scale. These can have an impact on REDD+, sustainable management of forests, joint mitigation
land, food security and local community at large and also and adaptation (UNFCCC 2016). In order to fully realise the
biodiversity and water security. Level of scientific knowledge potential of land-based mitigation efforts, a significant
is yet not very well established but some of the CDR amount of financial input is also necessary. An investment
measures related to forest and other land use can have an of USD 0.7 billion/year has already been made in land-based
important positive effect on land, biodiversity restoration of mitigation programmes, however, as observed in IPCC Spe-
natural ecosystems and thus contributing to mitigation of cial Report 1.5 °C (IPCC 2018), there still remains a huge
climate change. funding gap between these efforts and the scale of efforts
required for 1.5 or 2.0 °C targets. Through forest-based
activities CO2 benefits up to 5.8 Gt per year can be achieved.
12.11.4 Forest-Based Mitigation Opportunities However, the cost estimates of these actions could rise from
and Co-benefits USD 178 to USD 400 billion per year by 2050. The existing
quantified attempts to reduce net emissions with trees and
Forest-based mitigation options in national climate change agricultural initiatives are important; however, in order to
mitigation programmes also contribute in achieving sustain- attain carbon sequestration levels aligned with high levels
able development goals as a co-benefit of these programmes. of mitigation, public, private sector and society will need to
Opportunities for the restoration and rehabilitation of lands fast ramp up investments.
with potentially large co-benefits exist in areas where affor- Natural climate solutions offer up to one-third of the
estation and reforestation activities take place on previously solutions required to meet the climate change goals by
degraded lands. It further depends on whether restoration 2030. To achieve the climate change, biodiversity and land
actions are carried out in plantations or natural forests. degradation targets at global level, a financing gap of USD
Thus, there are ample opportunities for adopting sustainable 4.1 trillion needs to be overcome by 2050. The current
management of forests that can contribute to a reduction in investments in nature-based solutions amount to USD 133 bil-
atmospheric CO2 through reducing deforestation and forest lion, most of which comes from public sources (UNEP
degradation, encouraging actions like forest conservation, 2021). UNEP (2021) calls for tripling the investments in
forest restoration and enhancements of forest carbon stocks. nature-based solutions by 2030 and four times increase by
Preserving carbon in harvested wood products for a longer 2050 from the current level. While more public money would
period is also a potentially new opportunity for climate help close some of the gap, the private sector’s investment in
change mitigation with host of other co-benefits. nature-based solutions has to rise significantly.
Most mitigation and adaptation options including REDD+
described earlier could contribute to income generation and
12 Climate Change and Forest Sector in India 279

12.11.6 Climate Change Priorities for Forest ecosystems at multiple spatial and temporal scales, through
Sector long-term and interdisciplinary research. Understanding the
biophysical and anthropogenic drivers of ecosystem change
India has reason to be concerned about climate change as and their effects on social-ecological responses is the core
majority of population in India depends on livelihood in research premise of the Indian Long-Term Ecological
climate-sensitive sectors like agriculture and forestry. Forests Observatories network (MoEFCC 2015b).
in India have been historically used by its rural population
and continue to be crucial for the livelihoods of at least Lessons Learnt
275 million rural people for collection of firewood, grazing • Despite various global efforts, emissions of GHGs remain
of livestock, use of timber and bamboo for construction and unabated resulting in warming of 1.1 °C since 1850–1900.
non-timber forest products and a large variety of food and The global temperature is expected to reach or exceed
medicinal plants. The average mean annual increment of 1.5 °C by the year 2040 making it more challenging to
India’s forests is merely 0.7 cubic meters per hectare per fulfil the Paris Agreement’s goal
year which is significantly below the global average of 2.1 • Forests play an important role in the context of climate
cubic meters (World Bank 2006). Although productivity change mainly because (i) deforestation and land degrada-
from plantation activities is significantly high using modern tion contribute to global CO2 emissions, (ii) forests pro-
inputs and technology, increased investments to improve vide a large opportunity to mitigate climate change at a
forest productivity of natural forest are also necessary. A relatively lower cost and (iii) forest ecosystems are
number of progressive national and state policies have been projected to be adversely affected by climate change,
developed in recent past. Effective implementation of thereby affecting its biodiversity, biomass growth and
National Forest Working Plan Code-2023 (MOEFCC regeneration of forests.
2023a) and National REDD+ strategy are new initiatives to • Mitigation and adaptation are two crucial options to
enhance forest productivity through effective management of address climate change. Globally mitigation actions such
natural forests. as protection, improved forest management and restora-
India’s development plans are designed to strike a balance tion of forests and other degraded ecosystems offer a
on economic development and environment. The planning promising potential of reducing GHG emissions and/or
process in India is directed by the principles of sustainable sequestering carbon at 7.3 (3.9–13.1) GtCO2 eq. per year.
development with emphasis on clean and green environment. • Forests are vulnerable to climate change and need adapta-
India’s National Action Plan on Climate Change incorporates tion efforts. Among the areas identified as emerging
India’s vision of ecologically sustainable development and opportunities for these actions include ecosystem-based
aligns the environmental and economic objectives. Land adaptation (EbA), adaptation for people, management and
restoration opportunities and their climate change mitigation restoration of the natural ecosystems etc. EbA can func-
adaptation benefits have been identified through various pol- tion at several different levels, including local, catchment
icy, management and institutional instruments. The salient and regional. There are many situations where vegetation
features of National Forest Policy (1988), National Agrofor- can control microclimates and reduce temperatures at the
estry Policy (2014), National Working Plan Code 2023, Joint local level and some of these EbA techniques are more
Forest Management; Green India Mission; Green Highways widely in use.
Policy (2015), National Bamboo Mission; Mahatma Gandhi • Nature-based solutions besides supporting many sustain-
National Rural Employment Act (2005); National Afforesta- able development goals offer climate change adaptation
tion and Ecodevelopment Board and Compensatory Affores- and mitigation benefits. The use of shade trees is a tradi-
tation Fund Management and Planning Authority Act are a tional technique for climate change adaptation in both
few examples. Concepts like carbon dioxide removal and urban and rural scenarios. An all-inclusive decision-
bioenergy with carbon capture and storage are very naive in making process and adaptive management that produce
the Indian context. Additionally, there is a pressing need for climate-resilient systems are essential for effective nature-
investment planning and action for research in the new and based climate change mitigation. Such an approach will
developing fields of climate change in India’s forestry sector. also support many of the sustainable development goals.
To understand the state of forests, and their response to • Along with offering a wide range of other forest ecosys-
climate change, and to draw adaptation plans, a systematic tem services, natural forests and other sustainably man-
long-term research, monitoring and modelling programme is aged forest landscapes for biodiversity are vital for
required. The Ministry of Environment, Forest and Climate mitigating the effects of climate change and supporting
Change has initiated the Indian Long-Term Ecological adaptation as well. Natural forests in protected areas and
Observatories (ILTEO) network with the primary goal of sustainable management of other production forests can
understanding the ecology of major biomes/social optimise the provision of the many forest ecosystem
280 R. S. Rawat and V. R. S. Rawat

services, along with climate mitigation and thus benefiting 4. What could be various forest management practices that
the society as a whole. can augment adaptation to climate change?
• Climate change is affecting the structure and functioning 5. What is REDD+ programme under UNFCCC? What are
of forest ecosystems as well. Due to the high temporal the salient features of India’s National REDD+ Strategy?
variability in forest dynamics and the fact that several 6. How current forest management in India can be attuned
interacting global change factors such as changes in cli- with climate change concerns?
mate, degradation of habitats and invasive species, etc. are
affecting them at the same time, as such it is difficult to
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 Community Participation with Special Reference
to Joint Forest Management 13
M. R. Baloch

Abstract from Non-timber forest products (NTFP) and timber sales.

The natural plant resources are the bases of life support JFM committees were formed involving men and woman.
system of human and other animals as they are primary The concept of JFM was accepted in all States and Union
producers in the food chain. Due to increased human and Territories of India and also in abroad. The Government of
cattle populations and infrastructure development, the West Bengal and other States and Government of India
natural resources have greatly been depleted and now have issued many notifications and guidelines to make
causing threats to the existence of human life. During the Joint Forest Management legally stronger. Due to JFM,
ancient eras (Indus Valley Civilization and Vedic period) community has realized the importance of forests and
when humans started settling near rivers and cleared sustainable uses of forests which resulted in reduction in
forests for agriculture and habitations, the fauna and forest and wildlife crimes. It is a successful approach to
flora were plundered by them. Now the importance of protect and conserve the natural resources.
their protection is realized to combat the threat of climate
change which is adversely affecting all of us. Keywords
In 1970, the dense Sal forests of south Bengal were Sacred grove · Khejri tree · Chipko Movement · JFM ·
repeatedly damaged. The then Divisional Forest Officer Ecotourism
(DFO) realized that forest cannot be protected only
through forest field staff and by uses of forces. Forests
can be protected with the help of tribal people and other 13.1 Management of Forest Resources:
local forest dwellers who are residing in and around A Historical Background
forests since ages. The DFO held a series of meetings
with villagers and tribals of Arabari forest area The vegetation is the primary producer (able to synthesize
(Medinipore, West Bengal) and convinced them to per- food through water, minerals, and sun energy) in a food chain
form duties with forest staff and also not to cut, damage as it is the prime source of food energy, and this energy flows
and burn forests and kill animals. In turn, the DFO offered from primary consumers to secondary and then tertiary
free collections of grasses, fallen leaves and twigs, other consumers in an ecosystem. Humans and all other living
non-timber forest produced and allowed them to work in organisms survive only on the food energy produced by
nursery, plantations and various construction works by green vegetation. Thus, the importance of forest, wildlife
replacing the contractors. Villagers gradually developed and their ecosystem is very important to human beings
faith in forest administration and stopped illicit felling, since its existence. Humankind has consumed, conserved,
encroachments, staff assaults and poaching etc. This worshipped, enjoyed, loved and protected forest and its
approach has developed a sort of symbiotic relationships associated wealth in a symbiotic relationship mode in all
with forest field staff and villagers. Later, Government of ages of its evolution. During the primitive jungle life of
West Bengal recognized this successful approach and humans, the nature itself has full control over natural and
termed it as Joint Forest Management (JFM). Government biological resources and after settlements during civilization
gradually announced various benefits for the tribals, human gradually started the control over these resources for
namely usufructs rights and sharing of benefits accrued their shelter, food and other needs. With the development of
M. R. Baloch (✉) civilization powerful tribes and rajanyas, kings and lords had
Arid Forest Research Institute, Jodhpur, India controlled these resources. After industrialization due to

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 287
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_13
288 M. R. Baloch

economic needs industries and the Governments took over have been classified as Atavi, Bipina, Gahana, Van and
full charge of these resources. These takeovers were initially Aryani. Several plants were considered sacred due to their
as per minimum local needs and then kept on enhancing over food, aesthetic and medicinal values. Some of the plants were
a part or entire of an ecosystem. The tribals who were real considered very significant due to their proximity to particu-
owners of these resources were gradually stripped of their lar deities. In the Vedic seal, some animal and tree (Pipal)
rights. When local communities (tribal and other forest have been found depicted which suggest that these were
dwellers) ultimately got alienated from the forests they felt being worshipped. Barks of some of the trees were used for
that forests are not their properties and hence started tanning leather and wood to make fire by frictions. In the epic
destroying them for their daily uses. The age-old symbiotic Ramayana, a beautiful portrait of wildlife, trees, grasslands,
relations got disconnected. Forest department or Dandakarnya forests have been narrated. Hanuman fetched
Governments tried best to protect and conserve these the Sanjivanee Buti (herb) from the Himalayas to revive
resources with sticks and guns but miserably failed. Ulti- injured Laxmana shows the treasure of herbs in the
mately, the concept of public or community participation Himalayas. In Vedic traditions, every habitat had the cate-
emerged in the form of joint forest management in which gory of forest called Mahavan, Tapovan and Shrivan.
usufructs rights of various extents were shared to regain the Mahavan or great natural forest near village could be like
age-old symbiotic bonds of local communities with forest protected forests of today (Kumar 2014). There was a system
and wildlife. A brief historical account of forest, biodiversity of reforestation of lands which had natural forest earlier but
and environment conservation through varied extents of com- cleared for some reason. Shrivan or the prosperity or wealth
munity participations from ancient India to till now is forests indicates that the forest productivity was maintained
discussed in this chapter. inter alia, for timber, NTFPs, fodder, water, soil enrichment,
agroforestry etc. The Tapovan or forest of religion was for
shelter to sages in which no felling of trees or poaching of
13.1.1 Indus Valley Civilization (3300–1700 BC) animal was allowed. In the ancient society, the life of a
person was divided into fourfold ashramas in which the last
Aryans migrated to the subcontinent and settled in north and one was Vanprasthashram in which an old person used to
northwest and after clearing forests started agriculture and pass his remaining life in the forest. In the Vedic period the
animal husbandry. Human culture and nature had symbiotic forests were looked by Panchayat, a group of five elders.
relationships. Religion the cult of fertility emerges, writing Every household should have a cluster of five trees called
begins and animal husbandry, pastoral and agriculture econ- Panchavati symbolizing the five basic tatva or elements that
omy and wide trading network develop. Aryans of Indus are earth, water, fire, air and sky or totality of every living
Valley Civilization (Harappa, Lothal, Kalibanga and being. In ancient Tamil Sangam period literature, the land
Mohenjo-Daro) showed biodiversity awareness with the was categorized into four ecotypes: the littoral, wet, grassland
fact that finding of varied articles of flora (leaves, woods to and rice fields. In the various sites of the Harappan civiliza-
burn bricks and mud pots) and fauna (peacocks, unicorn deer, tion, wild animals were the main sources of food and other
elephants, bulls, tigers, etc.) during excavation. Deforesta- uses. In the Indus Valley sites the bones of hare, cheetal,
tion, changing climate, migration and overpowering indige- jackal, one-horned rhinoceros, wild ass and elephants have
nous tribes, etc. started increasing. been found. The seeds of some of the plants found have now
been extinct from the area. The swamp deer and barasingha
were found in the Baluchistan area till 300 BC. Taming of
13.1.2 Vedic Period (1500–600 BC) elephants, roosters, zebu cow and buffalo and herding of
some of the animals along with farming were the landmark
Rig Veda and later other Vedas were composed. Ayurveda of evidence of that era. Himalaya is the great repository of
(Atharva Veda) the vegetation-based medicinal system herbs and medicinal plants so Vedic literature of Dhanvantri,
(Ayurveda’s God Dhanvantri, Sushruta Samhita by Sushruta) Sushruta, Charaka, Nagarjuna, Parasara, Valmiki and
emerged. Aryan mixed with local tribes settled down in numerous rishis and munis exemplify it. Aranyakas (forest
various parts of India, agriculture improved and epics com- works), Upanishad/Brahdaranyaka (great forest text) are
posed. Nature worship and conservation was part of religion very important from the forestry point of view. Smritis pre-
and culture in the society. Vedas described four types of scribe the importance, management and uses of forests. The
living beings, namely Andaj (oviparity), Jeevaj (viviparity), faith and religion were used as a tool to protect nature and
Swedj (aquatic) and Udbhij (earth-borne vegetation). Vedas natural resources, besides a wide range of ethnobotany
have the description of protection and uses of forest wealth. traditions. Tribals were nature worshipers and fully depend
In Ishopanishad the stress was given on sustainable develop- on forest and wildlife and nature.
ment and conservation of nature. In Ayurveda, the forests
13 Community Participation with Special Reference to Joint Forest Management 289

13.2 Descriptions of Forest in Ancient Indian it forbids to fell tree during Chaturmasa. If very necessary to
Texts cut, then mantra is chanted and the tree spirit is urged for
forgiveness. Cutting a tree after sunset is considered a big sin
Jainism and Buddhism prescribed the path of ahimsa for all among some communities. In Kerala after childbirth a tree is
sorts of organism and creatures. Each Hindu deities was allocated as Nakshatra Vanam or birth star. Manusmiriti
assigned various animals and birds as their Vahanas, the (200 BC) described the whole organism kingdom into
carriers which make the animals and birds sacred. The poet Chara (animals) and achara (plants). For saving of plants
Kalidas in Abhigyan Shakuntalam mentioned the biodiversity Manusmriti also describes various punishment for the
and ecology of Tapovan the sacred groves dedicated to local offenders. Manu prohibited killing all type of fishes, carnivo-
deities. In Bhagavad Gita, Lord Krishna considered a Banyan rous birds, village birds, web-footed birds, beak striking birds
tree and its branches with the world and all fauna and flora and one-hoofed animals, village pigs, solitary moving
denotes the concept of community ecology. Kautilya or animals and unknown animals for food. He stated the killing
Chanakya (Chandragupta Mourya Dynasty, 321–297 BC) of ass, horse, camel, deer, elephant, goat, snake and buffalo is
in Arthashastra showed the environmental awareness and a sin. Charaka and Sushruta Samhitas are ancient medical
the management of forests, gardens and orchards for recrea- science books. Land was classified as per soil, climate and
tional and revenue purpose and did their classifications vegetation. In another post-Vedic text, Surapala’s
(www.indianetzone.com/50/forests_ancient_india_forests. Vrikhsayurveda (the science of plant life) which describes
htm). He prescribed the penalties and punishment for injuries soil, manure and watering, growth and health of vegetation.
to living creatures. The current forestry and wildlife acts and Its bijottpati chapter describes the forest ecosystem. Forests
rules have great similarities with the forms and contents of were named like atavi, bipina, gahana, kanana, bana, and
the Arthshastra. Forest directors, animal supervisors were aranyani. Mahabharta and Ramayana periods have different
appointed for the protection of wild animals, plants and type of description of forest and animals. Lord Krishna was
domestic cattle. In non-agricultural lands, the killing of the biggest nature lover. He praised the Vrindavan which has
animals was prohibited. The village head was bound to vegetation like kadamba, pipal, tamal and vata. Lord Krishna
prevent cruelty to animals. Fines were imposed for cutting compared the whole world with a banyan tree with numerous
of any part of a tree. Animal treatments were also prescribed. branches in which all creatures wander which reflect the
The King was supposed to protect forests, elephants, mines concept of community ecology. Ramayana also describes
and water bodies. Forests were considered as important Dandakarnya forest with the trees like arjuna, jupapushpa,
resources and should be used in a sustainable manner. As sala, ashoka, champa, sitaphal and chandan (Bhattacharya
per Arthshastra the country was divided into forest (aranya), 2014).
village area (gramya), hills (parvata), wet areas (audak), arid
lands (bhauma), maidan (sama) and undulating land as
(viswa). Forest-based factories were recommended for vari- 13.2.1 The Sacred Places, Trees and Groves
ous forest types; jangala (open forest), anupa (marshy lands)
and sadharana (common type lands) where different types of The sacred (Latin: sacer, means restricted or set off) is the
trees exist for timber and other uses. object of veneration and admiration. The communities for
Modern day’s environmental laws show similarity with common use or worship or protect or admire the places,
environmental issues mentioned in the Arthshastra. The plants, animals, natural objects etc. declared them tradition-
traces of forestry management found in India in 300 BC ally as sacred or pavitra and protected them at any cost. Oran
during the reign of Chandragupta Maurya and later till (aranya), Gouchar, Devvan etc. are the sacred places or
Samrat Ashoka, a forest superintendent looked after the for- groves which are example of beautiful community participa-
est and wildlife in the State. Tree plantings were done along tion for conservation of natural resources during ancient eras.
roads, community and camping sites. In Varahmihira’s Mostly these are dedicated to some deities so are the most
Vrihat Samhita (700 AD) the description of the technical pious entities for all communities. Not only local but other
relationship between irrigation tank and vegetation (tree) is communities are also bound to pay respect to such entities
the sort of a forestry research. The many trees were named and protect them (Singh 2016).
which were to be planted over-irrigation embankment. The
Sanatan culture believes that the whole world is a forest, so 13.2.1.1 Sacred Places
we must keep this intact. It gives the concept of sacred These can be springs, caves, meadows, forests, mountains,
groves. Neem, Shami (khejri), Karam, Mahua, Harsingar or rivers and other water bodies. These sites are related to
Parijat and Tulsi are worshipped all over India. As per belief, deities, legendry heroes of communities, religious, economic
deities reside on plants during Chaturmasa (rainy season) so and environmental importance. Sacred places are viewed
290 M. R. Baloch

usefully from the natural, social, cultural, historical, intrinsic other human greed and activities. These need to be conserved
to extrinsic in values, uncontested and contested and and rehabilitated with priority.
protected and endangered. Yamunotri, Gangotri, Rishikesh Around 365 Devvan have been reported from Kullu Dis-
and Haridwar (Uttarakhand), Kashi and Mathura (UP), trict (HP) alone (HFRI 2020). In 27 states of the country, a
Amarkantak and Chitrakoot (MP), Jaliyanvala and Amritsar total of 18,669 sacred groves have been recorded (Singh
(Punjab), Ajanta and Ellora caves (Maharashtra), Bodhgaya 2016). In Rajasthan, 2804 numbers of orans distributed in
and Sarnath (Bihar), Pushkar, Khwaja Ajmer and Runecha or 25 districts are documented. Gouchar bhumi is also equally
Ramdevra (Rajasthan), Dwarika and Somnath (Gujrat) and sacred like Oran in Rajasthan. Actual numbers of sacred
enumerable such places are examples from all over India. groves may be a few lakhs in the country, which are yet to
be surveyed and recorded.
13.2.1.2 Sacred Plants Ancient communities, along with plants and animals had
Vegetation is a strong medium that connects living and given equal importance to wild animals, birds and even
non-living things in nature. Trees have played important non-living objects or items in particular areas which are
roles in many of world’s mythologies and religions and considered as sacred. Various birds and animals are consid-
were given deep and sacred thoughts throughout the ages. ered as vahanas (carriers) of various Gods, Goddesses and
Trees are symbols of physical and spiritual nourishment, deities in Sanatan philosophy, so they are worshipable. In
transformation and liberation, sustenance and spiritual Nepal during Diwali, Hindus worship crow and cows.
growth, union and fertility. They are with us right from Bishnoi of North India worship and protect blackbucks and
birth to death. For example, a place to place and community Chinkaras. Charan (Bards) community at Karnimata Temple
to community, some trees are considered as the most sacred, (Deshnokh, Bikaner) protects and worships rats. Nilgai
like Deodar, Sal, Coconut, Rudraksha, Beil, Ashok, Kadam, (Bluebell, an antelope) is not killed as its name is matching
Arjun, Pipal (ashvtha), Bargad, Khejri (Prosopis cineraria) with the holy cow the Gaumata. Naga (Cobra), Elephant,
Kalpavriksha (Adansonia digitata), Jal or Pilu (Salvedora Tiger, many birds, reptiles, fish and many other living beings
persica), Kair (Caprice decidua), Neem, Karam (Nauclea are also worshipped. All Kshatriya clans of North India
parviflora), Mahua, Akand (Calotropis sp.), Aam, Kalam (Rathore, Solanki, Chouhan, Bhati, Parmar or Panwar,
(Mitragyna parviflora), Christmas tree (Araucaria sp.) and Pratihar and Kachhawa) have one or more animals and
Tulsi and many more species. Even Hindu religious festivals birds (Lion, Tiger, Fish, Chinkara, Kite and Eagle, Dove
and pious days (divas) are named after some sacred trees like etc.) in logos and symbols of their kingdom. They consider
Neem Saptami, Vat Savitri, Bilva Mangal, Kadli Vrita and these animals as pious and protect them. Even at some places
Aonla Ekadashi. Plant species are used for worshipping, soil, stone and other non-living objects are prohibited by the
naming of area or villages and clans etc. local community to be damaged or collected. It means in our
culture living and non-living components of an ecosystem are
13.2.1.3 Sacred Groves protected by a community which tradition is akin to the
It is a patch of forest or a clump of trees associated with modern concept of biosphere reserve wherein everything is
another form of life and affords protection based on religious considered as heritage and protected. Thus, the old concept of
practice or faith. It is called by various names at different sacred groves is the traditional way of protecting biological
places like Oran (Aranya), Kenkari, Malvan and Yogmaya and other natural resources by the whole communities.
(Rajasthan), Dev van (HP), Devray (Maharashtra), Devkhand
and Siddaryanam (Karnataka), Sarana (Bihar), Jaher
(Jharkhand and Odisha), Ngwpui (Nagaland), Ki Law 13.3 Forest Management: Post Ancient
(Mizoram), Kavu (Kerala) and Pavithravana (Andhra to Modern Era
Pradesh), Than, Madaico (Assam), Gumpha Jungle (Sikkim,
Arunachal Pradesh), Swami shola (TN) and Harithan, 13.3.1 Bishnois: The Great Green Warriors
Sabitrithan (WB). These can be on forest, revenue or private for Nature Conservation
lands with a small patch to thousands of square km in size.
These sacred groves provide services like soil moisture con- The Bishnois, often referred to as Vishnois, are a vegetarian
servation, water, fodder, grasses, NTFP and timber supply religious sect within Hinduism. They were established in
apart from religious, recreational, cultural services. They sink Rajasthan’s Thal (Indian Thar) desert and then extended to
carbon and are places of education, research, wildlife shelter, the northern Indian states of Haryana, Punjab, MP, and
and conservation of biodiversity and ethnomedicinal impor- UP. The word ‘Thar’ is a mispronounced of the Marwari
tance. Nowadays many of these groves are under severe word ‘Thal’, which is the abbreviated version of the Sanskrit
degradation due to overgrazing, mining, encroachment and word ‘Sthala’, which denotes a location, an elevated point, or
13 Community Participation with Special Reference to Joint Forest Management 291

a specific area. The name Thal was formally changed to Thar calendar, a ‘black day’ occurred in Indian history 291 years
because Sindhis and British people occasionally pronounce L ago on September 11, 1730 AD, or 10 Bhadrapad Sudi, 1787
as R. The 29 guiding principles of Vishnois are attributed to VS. The first person to be killed by the brutal royal army of
Guru Jambheshwar, who established Vishnoi or Bishnoi wood cutters was Amrita Devi, along with her three tiny
Panth (Sect) on Kartik Vadi 8, 1542 VS (1485 AD), while daughters, Asu, Ratni and Bhagu, as they hugged khejri
delivering a sermon to his pupils at Samarathal Dhora (sand trees in front of their house. Along with their mother, three
dunes). Vishnois are the disciples of Guru Jambhoji, who was daughters were quickly sacrificed. Prior to scarfication
an ardent supporter of Vaishnvaite or Vaishnavi dharma. The Amrita Devi said, ‘Dam diya dag lage, tukro na deva dan,
term ‘Bishnois’ refers to the group of people who are Shir saate roonkh rahe to bhi sasto jaan’, which translates to,
believed to have been inspired by Guru Jambhoji to spread ‘neither money will be paid nor a small donation will be
the concepts of Bees (20) plus Noi (9) or 29 principles. This given; if a tree is saved at the cost of one’s head, still it
vast community of environment lovers known as Bishnois or must be considered as the worthiest’.
Vishnois have emerged in North India as a result of enthusi- The word about the incident went viral. The Bishnois got
astic support of Guru Jambhoji, spanning all castes and together and summoned the 84 villages to come to discuss
creeds, who are willing to die for wild animals and verdant what they should do next. Since the ruling court was not
forests. His beliefs were recorded in a text known as satisfied with the ultimate sacrifice made by those four heads
Shabdwani, which is composed of 120 shabdas and is written and the green tree felling kept going, it was decided that one
in the Nagri alphabetical structure. Of his 29 ideals, nine deal Bishnoi volunteer would sacrifice their life in order to pre-
with personal cleanliness and sanitation as well as preserving serve the green trees. King extended his personal apologies to
general health, seven deal with appropriate social behaviour the people. That was the time he made the promises that
and five deal with worshiping God. There are eight guidelines hunting would never be allowed close to the Bishnois
that have been established to protect biodiversity and pro- villages, that no khejri tree would ever be cut, and that they
mote humane treatment of animals. Of them, two more deep would never be asked to provide timber to the ruler again.
precepts pertain specifically to the preservation and The Jodhpur ruler, in recognition of the bravery of the
safeguarding of forests and wildlife: first, love and compas- Bishnoi people, issued a royal proclamation that stated: ‘All
sion for all living things (Jeev Daya Palani); and second, hunts and cutting of green trees throughout the revenue
refrain from felling the healthy trees (Roonkh Leela Ni borders of Bishnoi villages had been strictly prohibited’.
Ghave) in order to preserve the ecosystem. These include This was the first widespread Chipko-kind Movement.
protecting all living forms and outlawing the killing of
animals and green trees.
13.3.3 The Continuing of Tradition of Sacrifice
for Trees and Wildlife
13.3.2 Khejarli Massacre: The Supreme Sacrifice
of Amrita Devi with 363 Bishnois Before sacrifice of Khejarli village many smaller and random
incidences of sacrifices for tree and wildlife had happened at
Amrita Devi Beniwal was a Bishnoi woman who, along with various places including Ramsani, Jodhpur, 1604 AD and
over 363 other Bishnois, perished in the Thal Desert while Tilvasani village, Jodhpur (Jetaram 2016). The contribution
defending the most significant, most valuable and holy Khejri of various Vishnoi saints, for example, Sant Vilhoji
or Shami (Prosopis cineraria) trees. Early in the eighteenth (1532–1616 AD) in Battis Akhari has stated that ‘jadi hiran
century, the Marwari ruler of Jodhpur needed wood to heat sanhar, dekh sir dijiye’ means give your head if there is
lime for building the fort. The king, then, dispatched his destruction of khejri tree and deer (Jetaram 2019). Guru
warriors under the command of Hakim Girdhar Das Bhandari Jambheshwar the reincarnation of Lord Vishnu told that
to cut down trees in the neighbouring village of Jalnadi Vanaspati Vaso (vegetation is the home) and ‘hari kankari
(26 km south of Jodhpur city), which became known as manap medi, tahan hamara vasa’, means the green kankeri
Khejarli later on because of the town’s abundance of dense tree is like a palace where is my residence (Jetaram 2019).
forests of Khejri trees, that had been safeguarded for Bishnois have a deep affection for wild animals. Because
millennia by the Bishnois. However, the villagers and Amrita of their protection, antelope (like chinkaras, blackbucks and
Devi Beniwal objected to the king’s men after learning about blue bulls) and deer can be seen grazing in fields in Bishnoi-
it. She was threatened with death by the feudal army if she dominated areas, despite the fact that the state of Rajasthan,
refused to support the felling of trees. She said she would where the Bishnois are primarily found, has severe water
consider it an insult to her religious beliefs and would sooner shortages. The Bishnoi community began fierce protests in
give her life to save the green trees, especially the Khejaris, 2008 in response to the murder of black buck by a Bollywood
without caring about the threat. According to the Indian lunar celebrity and numerous other poachers.
292 M. R. Baloch

Each of these 29 tenets prioritized protecting the environ- the developing world, Chipko’s success garnered interna-
ment. The sect has adhered to these principles religiously tional attention, becoming a source of inspiration for numer-
ever since. Numerous accounts exist of the Bishnoi people ous environmental initiatives. This non-violent movement
abusing hunters and poachers for trespassing into their terri- contributed significantly to slowing deforestation, exposing
tory. These people revere nature, and part of their sacred vested interests, fostering ecological awareness and showcas-
traditions includes protecting the environment, wildlife and ing the collective power of people. While men held leader-
plants. There are lots of trees and animals in the Bishnoi ship roles, women were the backbone and mainstay of
homeland, which is in the forests close to Jodhpur. This Chipko, bearing the brunt of rampant deforestation’s impact.
area has a greener landscape than other places, and the Women, profoundly affected by the diminishing resources
antelopes that inhabit it, especially the blackbuck and chinkara, like firewood, fodder, and water, played a crucial role in the
don’t fear people. In fact, they usually feed off the hands of the movement. They not only highlighted the environmental
villagers who live close to these forests. When chinkaras and consequences but also became primary stakeholders in affor-
other wild animals graze their crops in the fields owned by the estation efforts initiated by Chipko. In recognition of its
Bishnois, they are never chased away. Over local forest and achievements, the Chipko Movement was honoured with
police administrations in Rajasthan, the Bishnois provide the Right to Livelihood Award in 1987. Employing
greater protection to wildlife and trees. Akhil Bhartiya Jeev Gandhian principles of Satyagraha, both male and female
Raksha Bishnoi Sabha, the supreme body of Bishnois, is activists played vital roles in Chipko, with notable figures
closely affiliated with organizations that prioritize the preser- such as Gaura Devi, Sudeesha Devi, Bachni Devi and Chandi
vation of the environment, wildlife, and forests. Prasad Bhatt contributing significantly to its success.
On March of 1973, loggers arrived in Gopeshwar, and
after a few weeks, a significant encounter occurred in the
13.3.4 Chipko Andolan: Government’s village of Mandal on April 24, 1973. Approximately a hun-
Initiatives for National Awards dred villagers and workers gathered, beating drums and
for Environment Protectors shouting slogans, compelling the contractors and loggers to
withdraw. This marked the initial confrontation of the move-
The Ministry of Environment and Forests (MoEF) of the Gov- ment. Eventually, the contract was revoked and granted to the
ernment of India established national awards in honour of Sangh instead. As part of their non-violent protest strategy,
Amrita Devi and Gaura Devi, both revered figures in India’s the Sangh adopted tree-hugging, known as Chipko. For their
environmental conservation movement. These awards were contributions to the modern Chipko Andolan, Chandi Prasad
instituted during the UN-declared International Year of Forests Bhatt received the Ramon Magsaysay Award in 1982, and
in 2011, aimed at promoting awareness of sustainable forest Late Sri Sundarlal Bahuguna was honoured with the Padma
management, conservation and development. Amrita Devi, Vibhushan in 2009, along with other accolades. However, the
who sacrificed her life nearly 287 years ago in Khejarli village real Chipko Movement was started by Amrita Devi and her
near Jodhpur while protecting the khejri tree, inspired Gaura hundreds of Bishnoi followers who sacrificed their lives to
Devi. Gaura Devi, in turn, played a pivotal role in the renowned save the khejri trees at Khejarli village near Jodhpur in
Chipko Movement. This movement originated in 1973 when 1730 AD. Therefore, the Bishnois are rightfully called the
Gaura Devi led a group of courageous women in Reni village, first environmentalist of India.
Chamoli District of Uttarakhand (formerly Uttar Pradesh) to The Bishnoi manner of life includes some very humble
safeguard their trees. The Chipko Movement spearheaded by facts and customs, which should cause us to reflect carefully.
Gaura Devi became a benchmark for socio-ecological Some of them are stated below.
movements, influencing other forest regions in Himachal
Pradesh, Rajasthan, Bihar and beyond. Gaura Devi’s leadership • Bishnois are kind to all living things and do not cut down
in Uttarakhand inspired the Chipko Movement, which had a green trees. The materials used to construct the Bishnoi
profound impact on environmental activism. This movement, neighbourhood are sourced locally, and great care is taken
with its emphasis on protecting trees and ecological balance, to ensure environmental sustainability.
later inspired the Appiko Movement in Karnataka. The Appiko • They don’t chop down trees. All they gather is deadwood.
Movement successfully halted tree felling in the Western Ghats Even a carpenter bides his time until the tree falls.
and Vindhyas, showcasing the far-reaching influence of grass- • They have a variety of animals that roam around their
roots environmental movements in India. neighbourhoods, including deer, chinkaras, peacocks,
The Chipko Movement, initiated in 1973, emerged as a blue bulls and black bucks. Many animals have survived
pivotal forest conservation movement in India, setting a this long because of the Bishnois and their dedication to
precedent for non-violent protests that resonated globally. protecting the natural world. Nowhere else would one find
In a time when environmental movements were scarce in all types of fauna and flora in perfect harmony?
13 Community Participation with Special Reference to Joint Forest Management 293

• Long before the idea of rain harvesting gained popularity, Dr. Dietrich Brandis, a German Forest Officer, as the first
the Bishnois constructed water reservoirs that could catch Inspector General of Forests in 1866, marking the inception
and hold rainwater for use by humans and animals in order of organized forest management in India. The Imperial Forest
to combat severe drought and water scarcity. Service, established in 1867, oversaw Provincial Forest,
• The cremation of deceased people is a religious custom Executive, and Subordinate Services. Initially, officials of
that the Belarusians reject. They bury the dead to save the Imperial Forest Service received training overseas.
firewood from being wasted. Later, from 1927, they were trained at the Imperial Forest
• Despite being a sect of religion, the Bishnois uphold a Research Institute (IFRI) in Dehradun, subsequently renamed
strong foundation of respect for Mother Nature by consis- the Indian Forest College (IFC), and now known as the Indira
tently emphasizing kindness, affection and peace rather Gandhi National Forest Academy (IGNFA).
than needless rituals, idol worship, the caste system etc. The administration of forestry was transferred to the pro-
• They cook using cow dung cakes to reduce their reliance vincial list by the Government of India Act in 1935. The
on green trees. initial Indian Forest Policy in 1894 aimed for the scientific
• One of the main principles of ‘Amar Rakhave That’ is to management of forests and timber production. The British
always give abandoned animals a place to live so they can focus was on maximizing economic gains for the Empire
do so with dignity for the remainder of their lives. through the commercialization of timber, which restricted
the rights of forest dwellers and rulers, ultimately resulting
in extensive deforestation due to excessive logging. How-
13.3.5 Community and Individual Sacrifice ever, the government permitted community-based forest
for Nature: Forest Martyrs Day management, particularly in the Himalayas, through
initiatives like Van Panchayat (forest villages) in some north-
Around 300 years ago, courageous members of the ‘Bishnoi’ ern hill states. The Indian Forest Service was established in
tribe in Rajasthan made a significant sacrifice to halt the 1966 for improved forestry administration. In 1976, forest
widespread cutting of trees. On September 11, 1730 AD, and wildlife matters were included in the Concurrent list of
363 individuals from this tribe lost their lives. In acknowl- the Indian Constitution. Amendments were made to the
edgment of their selfless act, the Indian Government declared Indian Forest Act of 1927 by both the Centre and States.
that starting from September 11, 2013, this date would be Chapter III of this act provides the state the authority to grant
observed as ‘Van Sahid Divas’. This day commemorates the governance rights to any village community over lands
Khejarli incident and honours all forest personnel who have designated as village forests. The forest village community,
given their lives in safeguarding forests and wildlife. To when assigned a specific area, may access timber, forest
honour this historic event, the Indian Council of Forestry products or grazing resources while being responsible for
Research and Education (ICFRE), under the Government of protecting and enhancing the designated forest. Several leg-
India, erected a Van Shahid Smarak at the Forest Research islative acts in India, including the Scheduled Tribes and
Institute in Dehradun, Uttarakhand. Additionally, several Other Traditional Forest Dwellers (Recognition of Forest
states and union territories across the nation have also Rights) Act of 2006, the Biodiversity Act of 2002, the Envi-
established Van Shahid Smarak, signifying a united effort ronment (Protection) Act of 1986, the Forest (Conservation)
to annually pay homage to these heroes of nature. Act of 1980, and the Wildlife (Protection) Act of 1972,
among others, were enacted to promote nature conservation
and endorse the concept of Joint Forest Management (JFM).
13.4 Nature Conservation During Subsequent Indian Forest Policies (IFPs) in 1952 and 1988
Pre- and Post-independent India were introduced, and more recently, IFP 2018 was drafted,
shifting objectives from production and revenue generation
During the Mughal period, forests were designated as hunt- towards sustainable conservation.
ing reserves for the royals to pursue large game. They pro-
moted the planting of trees along avenues and for practical
gardening purposes. Moreover, forests were increasingly 13.5 Joint Forest Management (JFM): The
cleared for agricultural needs. There existed royal hunting Concept
grounds and grasslands where Falcons and Cheetahs were
bred for entertainment. Elephants and cattle were received as 13.5.1 The Arabari Experiment
gifts instead of monetary compensation. Special areas were
preserved for the exclusive use of royalty. The British Indian In 1971–1972, Dr. Ajit Kumar Banerjee, then Divisional
Government introduced scientific forest management Forest Officer (Silvia-South Division), Medinipore, West
through the Imperial Forest Department and appointed Bengal initiated a pilot project (Socio-Economic Forest
294 M. R. Baloch

Complex Plantation) at Arabari Research Range involving (Sukhomajri village, 1976), and Rajasthan (Gopalpura vil-
local people (11 forest fringe villages, 618 families) over lage, 1986) and later in various states of the country partici-
1270 ha of degraded forest of sal (Shorea robusta). Previ- patory units came into existence to develop tribal area rural
ously, despite strict enforcement of rules and duties, the poor livelihoods and regenerate forests through joint management.
tribal and other forest dwellers were illicitly cutting back the It is to state that well before the concept of jointly manag-
sal coppices, illegally collecting forest produce regularly for ing forests of Arabari in 1970, the novel idea of sharing of
various purposes. Local people were earning from forest theft revenue with fringe people was tried out by the forest depart-
about Rs. 100,000 per year equivalent to 50,000 man days of ment. The sharing of revenue in the Tirap District forest of
employment in 1970. There were regular clashes between present Arunachal Pradesh with tribal chiefs and villagers
forest fringe people and forest front line staff. The DFO came experimented during as early as 1896. From their sharing the
to know the importance of the concept of the give-and-take Nocte tribal people bought 40% shares of a local veneer mill.
policy and thought to unofficially involve these people in Similar product sharing was made with villagers in Zeiling
some protection activities and in turn, allow them to collect province of Nagaland in 1960 (Banerjee 2014).
some minor forest produces (MFPs). Therefore, they were
motivated through constant persuasion and in turn they were
allowed to collect (free) dry leaves, fallen twigs, grass, fodder 13.5.2 JFM: Background and Introduction
and small poles for household use on nominal prices and
given all forestry works (nursey, afforestation, construction, The old and new approach in forest wealth management can
watch and ward etc.) which earlier were generally given to be understood clearly through comparison as given in
outside contractor. Later, this pilot project got highlighted Table 13.1.
among senior forest officials, forest communities and Therefore, sustainable management should be equitable,
politicians and was highly acclaimed. interdisciplinary, alleviating poverty and building capacity,
A tall and dense sal coppices forest stood over 700 ha was involving tribal, women, youth, elder, business, research and
found to generate around 2.3 lakh human days for the local NGO and be on the decentralized decision making at various
people. The growing stock of 700 ha sal coppices were levels of participation.
valued at Rs. 3 crores (against the expense of Rs. 12.10
lakhs) in 1986. This patch of sal forest is capable of
generating an annual income of Rs. 23 lakhs in perpetuity. 13.6 JFM: Constitutional
Forest Department of West Bengal, seeing the great success Provisions/Acts/Rules/Guidelines
of Arabari Experiment, thought to regularize the above-
mentioned activities through legal support so it can be The forestry sector falls within the Concurrent List of the
replicated elsewhere in the State. Government of West Constitution, allowing both the Central and State
Bengal approved the project and issued memo No 1118- Governments to create laws and regulations. Numerous
FOR Dated 7.3.1987 granting usufructuary net benefits articles within the constitution directly or indirectly focus
25% of harvested yield to the involved beneficiaries and on safeguarding forests, wildlife, the environment and natural
this led to the official recognition of JFM in India and the resources. Article 14 ensures equal protection under the law,
concept abroad. prohibiting discriminatory laws or rules. Article 21, often
The two special features in the participation were, the referred to as the Right to Life and Personal Liberty, protects
taking of all important management decisions by all individuals from being deprived of life or liberty except
participants and not by a committee or specific leadership through established legal procedures. Article 19(1) grants
alone; and the participants nominated representative handled equality to tribal communities for utilizing forest resources,
the cash to pay wages. The post of nominated representative ensuring the right to livelihood and residency in their domi-
was rotational. This feature has brought the transparency in cile areas. Article 31A deals with laws pertaining to govern-
the working of the local forest department and villagers ment acquisition of property rights, while Articles 39(B) and
started listening to field staff and performing duties of pro- (C) emphasize fair distribution of community resources and
tection with staff. Actually, previously there was contractor preventing wealth concentration to the detriment of the com-
system in forestry works through which contractors were mon good. The Seventh Schedule includes Directive
exploiting the tribals and they were not paid properly. Now, Principles that safeguard tribal interests. Article 48A obliges
fringe people were interacting directly with staff as the State to strive for environmental protection, safeguarding
middlemen were removed (Banerjee 2014). Subsequently, forests, and wildlife. Article 51A (g) outlines fundamental
many office orders have been issued for usufructuary sharing duties, calling upon Indian citizens to protect and enhance the
with JFMCs in respect to other forest produces. After success natural environment, including forests, lakes, rivers, and
of JFM in West Bengal in 1972 (Fig. 13.1), Haryana wildlife, and to show compassion for all living creatures.
13 Community Participation with Special Reference to Joint Forest Management 295

Fig. 13.1 A degraded sal forest

has been rejuvenated into a dense
coppice forest through successful
implementation of JFM in West
Bengal

Table 13.1 Comparison between traditional and joint forest management

S. No. Traditional FM (TFM) Joint FM (JFM)
1 Objectives: Set by Forest Department Participatory with public
2 Strategy: Controlling people Facilitating, social fencing
3 Approach: Top down, macro, single technical package, hierarchical, Bottom-up, micro-planning, multi-options, networking, holistic
sectorial and fixed and flexible
4 Fringe People: Outsiders Partners/insiders
5 Management: Centralized through large working and management Participatory/Joint through micro-plans (participatory and rapid
plans rural appraisal)
6 Transparency: Almost nil Fully transparent
7 Bias/Mandate: Production forestry, Government’s revenue, industry Protection, usufructs sharing with people, sustainable
needs conservation
8 Species: Single/monoculture. Loss to biodiversity and animal foods Multiple species and NTFP. Biodiversity increases and the
variety of foods
9 Knowledge: Foresters’ wisdom Emphasis on Indigenous system
10 Results: Alienation, confrontation, conflicts, with fringe people, Co-operation, collaboration, conflicts resolution, forest and
degradation and deterioration in forest quality, extent and management biodiversity conservation, gradation in sustainable management
296 M. R. Baloch

Article 298 addresses the government’s contractual liability. The FRA 2006 encompasses individual rights like self-
Leveraging the constitutional provisions mentioned above, a cultivation and habitation, as well as community rights such
significant legislation, commonly known as the Forest Rights as grazing, fishing and access to water bodies within forests,
Act (FRA), was enacted in 2006. This act aims to empower including traditional seasonal resource access. Aligned with
not only tribal communities but also other forest dwellers, the National Forest Policy of 1988 and the Government of
securing their rights within the forested areas. India’s guidelines for managing degraded forest land under
State Forest Departments (SFDs) with local community
involvement, these departments have devised their
13.6.1 Forest Rights Act (FRA) 2006 resolutions on Joint Forest Management (JFM). By the
early 1990s, almost all State Forest Departments had notified
The enactment of the ‘Scheduled Tribes and Other Tradi- these resolutions, leading to the establishment of 118,000
tional Forest Dwellers (Recognition of Forests Rights) Act, Joint Forest Management Committees (JFMC) nationwide.
2006’ stands as a pivotal moment in forestry history. This These committees aim to rehabilitate and manage 22 million
legislation grants conditional ownership of forest lands to the hectares of degraded forest lands.
indigenous inhabitants who have resided in and cultivated Moreover, Eco Development Committees (EDC) have
these lands for generations. They are no longer treated as been formed by SFDs to engage fringe communities in
outsiders but recognized as co-owners of the forests, with a Protected Areas (PA) management through community par-
primary responsibility for forest protection and conservation. ticipation. Notably, this involves JFMCs in forest protection,
The FRA 2006 solidifies the principles and objectives of scheme implementation, afforestation and reforestation
Joint Forest Management (JFM) across the nation. efforts. The increase in forest cover, excluding Tree Outside
The aims of FRA 2006 are multifaceted: Forest (TOF), from 638,804 km2 (19.43%) in the India State
of Forest Report (ISFR) 1989 to 708,273 km2 (21.54%) in
• To rectify historical injustices faced by tribal and other ISFR 2017, and the overall forest and tree cover, including
forest-dwelling communities. Tree Outside Forest (TOF), at 24.59% according to ISFR
• To secure land tenure, livelihoods, and food security for (2019), highlights the significant role of Joint Forest Man-
these communities. agement (JFM) initiatives and intensive afforestation in
• To reinforce conservation efforts by delegating expanding forest cover.
responsibilities and authorities to Forest Rights holders.

This Act empowers forest inhabitants to utilize forest 13.6.2 National Forest Policies (NFP)
resources for various daily needs, including sustenance, shel-
ter, and socio-cultural requirements. Prior to this legislation, Till now three NFPs have been formulated and the fourth and
India’s forest management policies did not acknowledge the recent one (draft) is in the final stage of its approval. As per
symbiotic relationship between tribal communities and circumstances and contemporary needs the objectives have
forests, evident in their dependence on and traditional wis- been kept on changing from revenue generation to sustain-
dom regarding forest conservation. able conservation (Table 13.2).

Table 13.2 Comparison among different national forest policies

National Forest National Forest Policy,
S. No. Policy, 1894 1952 National Forest Policy, 1988 National Forest Policy, 2018 (Draft)
1 Management of A top-down approach Meeting the local people’s needs Control over the community forest
forests for the to forest management (NTFP) and encouraging their resources and JFM by launching a National
wellbeing of India participation in the protection and Community Forest Management (CFM)
(National interest) management of forests (JFM) Mission
2 The cultivation Proposed to increase Reiterated 33% forests cover, outside Safeguarding ecological and livelihood
(agriculture) is forest cover to 1/3 forestry (social, agroforestry) and security of people, sustainable management
before the forest (33%) of the total intensive afforestation. Protection for the flow of ecosystem services. Hills and
(Food security) Indian landmass forestry plains: 2/3rd forest and tree cover
3 Maximum revenue Stress: Training, Ecological balance environmental Erosion check, water supply, biodiversity,
generation from research, economic stability. Preserving the natural NTFP, urban, agroforestry, wildlife,
forests (State’s benefits, production heritage, customary rights of tribal ecosystem services, research and education,
income) forestry management, climate change etc.
13 Community Participation with Special Reference to Joint Forest Management 297

13.6.3 JFM: Government of India’s Guidelines Participatory Approach: (Central Sponsored Scheme, CSS),
(1990) 10th 5 Year Plan: National Afforestation Program (Forest
Development Agencies (FDA), Self Help Group (SHG),
The residents in and around forest areas are to be given MFP) and EDCs (Eco Dev Committees) in Protected Areas
primary rights to minor forest produces (MFPs). It is essential (PAs) (2005) for Forest and Wildlife Conservation and
to encourage forest communities to actively participate in the Eco-Development of fringe people. Previously, for PAs
development, management and protection of the forests from (National Parks, Sanctuaries, Biosphere Reserve, etc.) FPC
which they derive benefits. The Government of India, was termed as EDC. Both have different usufruct rights and
through the Ministry of Rural Development, endorsed the functions due to different levels of protection were required.
integration of watershed projects with Joint Forest Manage- In December 2002, additional guidelines were released
ment (JFM) in 1998, encompassing initiatives like Drought regarding the establishment of a mechanism for dispute reso-
Prone Areas Programme (DPAP), Desert Development lution with the Panchayat Raj organizations in order to secure
Programme (DDP), Integrated Wastelands Development their cooperation with forest management.
Programme (IWDP), and Employment Assurance Scheme
(EAS).
In February 2000, the former Ministry of Environment 13.6.5 Resolution on Eco-Development
and Forests (MoEF) issued a new set of guidelines. These Committee (EDC) by SFD, WB
guidelines included standardized nomenclature and legal sup-
port for Joint Forest Management Committees (JFMCs) The West Bengal government published guidelines for the
nationwide. Moreover, the extension of JFM to ecologically creation of EDCs in PAs and (Sanctuaries and National
valuable forest areas became a focal point, emphasizing the Parks, etc.) on June 26, 1996, through resolution no. 3841-
sustainable management of Non-Timber Forest Produce for/d/11m-795. DFO in consultation with local Panchayat
(NTFPs). These include Samiti will propose and approve the Constitution of EDC.
EDC will have one executive committee for the overall
1. Putting them on the Society Registration Act registration management of EDC. EDCs will perform the duties and
list will assist forest field staff in the conservation and protection
(a) The JFM Committee is a common name. of forest and wildlife etc.
(b) The state government and JFMCs will sign an MOU.
(c) Every adult will be able to join
2. Specific threshold criteria were suggested for JFMCs in 13.6.6 Usufructuary Benefits from PAs
order to encourage the involvement of women
(a) At least 50% of members overall are women. 1. Enhancing and managing the wildlife within a PA requires
(b) At least 33% of the Executive Committee (EC) are collecting and elimination of specific forest goods from
women. the designated zone or zones. To such collection and
(c) One member or at least one-third of the EC’s removal, permission may be granted by the Chief Wildlife
members must be women. Warden. When collected by a government agency,
(d) President, Vice-President, and Secretary: Women members of the EDC will be entitled to an equal share of
should occupy at least one of these positions. these forest products, free of royalty but subject to pay-
ment of collection costs:
(a) A quarter of the poles derived from drift and over-
wood removal.
13.6.4 Extension of JFM Outside of Degraded (b) The entirety of the firewood, grasses and certain
Forests: JFM in Good Forest Areas inedible fruits, pods, flowers, seeds, lovely fungi
and leaves.
• Pilot programme proposed; to be reviewed and expanded 2. Upon demonstrating adequate forest protection for a min-
later imum of a year, the recipient will be eligible to receive a
• 20% revenue sharing maximum 25% portion of government receipts related to transporta-
• Minimum of 10 years of protection to be eligible for tion, tourism and related activities like photography within
revenue sharing the protected area.
• Guidance for microplan preparation provided for both
new Work Plan and existing Work Plan areas
• Management generally in accordance with working plan,
with JFM primarily for NTFP management
298 M. R. Baloch

13.6.7 JFM Support Activities 13.6.8 Intercropping on Forest Lands

for Landless JFMC Members
Following entry point activities are carried out under JFM:
As per land ownership surveys conducted in JFMCs (forest
1. Agriculture development, irrigation, animal husbandry villages and fringe area villages) under Jalpaiguri Division,
and improved breeds, school buildings. WB 20% of households were found landless, 35% had less
2. Fencing, water, electricity, houses, watch towers, roads, than 0.5 acres, and 30% between 0.5 and 1.0 acre of land.
bunds, culverts, etc. works. Only 15% had land holdings above 1 acre (Fig. 13.7). This
3. Organization of medical camps, eye camps, etc. means, maximum households are either marginal or landless
4. Agriculture and forestry implement, and gas and chulha, farmers. The forest department had initiated an intercropping
etc. distribution. scheme for these landless poor JFMC farmers to grow sea-
5. Vocational trainings: mushrooms cultivation, making sal sonal crops (except paddy, wheat, jute etc.) and vegetables
leaf plates, etc. over forest afforestation or clear-felled coupe sites as
6. Pisciculture, weaving, sericulture, bee keeping, tailoring. intercrops. Incentives in the form of lump-sum amount per
7. Abeer (brightly coloured powder), agarbatti (insence) ha were given to farmers to procure seeds, slips, manure etc.
sticks, pickle and murabba making, etc. for intercrops. In sal Working Circles in some of the planta-
8. Agro and farm forestry and intercropping, dairy, piggery, tion models 4 m spacings (between lines of sal and miscella-
pisciculture, poultry, duckery, goatery. neous species) were kept to enable farmers to grow 1 or
9. Development of marketing facilities, value addition of 2 rows of crops for 3–5 years till sapling canopies are closed
NTFP resources. over inter line spacing (Fig. 13.8). Much needy tribal used to
10. Formation of Self Help Group (SHG) and SHG of grow intercrops and used to sell in the nearby weekly haat
women exclusively. (weekly market). In elephant and other wildlife depredation
11. Generating the corpus funds (in joint bank accounts) for areas, they used to grow Citronella slips (lemon grass) as
common use by SHGs under JFMCs. these are not grazed by any animals. Citronella leaves are
12. Organization of JFM related awareness camps and melas harvested two to three times a year. Harvested, leaves are
(fair). purchased by Silviculture Division for their citronella extrac-
13. Conducting of tours of one JFMC to other JFMC areas tion units. Lemon grass oil is highly precious and there is
for showing the activities. huge demand in the market. All the benefits directly go to the
JFMCs and Forest Department never used to share or recover
In WB to rejuvenate the JFMCs an annual mela called Bon anything from the harvests of these intercrops. The JFMCs
Bandhab Utsab (van bandhu utsav) is organized for all were doubly benefitted out of this scheme as they also used to
JFMCs of one district in which senior forest officials, district get full man-days against cleanings, maintaining and
administration, panchayat members, politicians, ministers, watching of plantations. Forest department used to get well
JFMCs members and other line departments participate for protected and clean plantation sites due to enhanced interest
2 days and interact with forest communities. NTFP and of JFMCs. This scheme is still very popular in JFMC areas of
herbal items, decorative and flowering plants, cactus and North Bengal.
orchids, sale of various forest-based handicraft articles
prepared by JFMCs, forest, wildlife awareness and
extension materials and soil and moisture conservation 13.6.9 The Support and Sources of Funding
works, etc. displayed in the stalls. Cultural, musical and for JFMC: Projects and Schemes
sports activities are also organized. Revenues accrued due
to usufructuary rights are also distributed to JFMCs. Forestry 1. State Plan/Non-Plan budget and funds from line
and agriculture implements are also distributed to JFMCs. departments
This mela (fair) has become an effective rejuvenating plat- 2. Rashtriya Krishi Vikas Yojana (RKVY) and Forest
form for JFMCs. Development Agencies (FDA)
Some of the entry point activities done for JFMCs at 3. Rural Infrastructure Development Fund (RIDF)
Baikunthapur Division, Jalpaiguri, WB, are depicted below 4. CSS: Integrated Forest Management (IFM), Grants-in-
(Figs. 13.2, 13.3, 13.4, 13.5, and 13.6): Aid (GIA)
5. Medicinal Plants Conservation Authority (MPCA) and
NAP
13 Community Participation with Special Reference to Joint Forest Management 299

Fig. 13.2 Digging of fish ponds for JFMCs by SFD

Fig. 13.3 Providing the poultry

to JFMCs by SFD
300 M. R. Baloch

Fig. 13.4 Distribution of various machineries

Fig. 13.5 Sal patta plate making

13 Community Participation with Special Reference to Joint Forest Management 301

Fig. 13.6 Free medical camps

for JFMCs

and published through proceeding which gives the latest

status of JFM in India (Tables 13.3, 13.4, 13.5, and 13.6).

13.6.11 JFM and Wildlife Depredation

Forest villagers, tribal and forest fringe people are highly

prone to depredation caused by wildlife. The habitations
falling on elephants and other wildlife corridors and tea
gardens are also victims of wildlife depredation. Mostly,
they are the members of JFMCs and due to continuous threats
Fig. 13.7 Average agri-land holdings by JFMCs in Jalpaiguri
and loss of life and properties, they are badly affected. They
Division, WB also develop some adverse sentiments for the wildlife as well
as forest employees and workers and gradually get alienated
6. Economically Weaker Section (EWS), a GoI Scheme from the JFM activities. In various parts of India, animal
7. Mahatma Gandhi National Rural Employment Guaran- depredation is caused mainly by Elephants, Leopards, Tigers,
tee Act (MNREGA) Bisons, Rhinoceros, Wild boars, Bears, Blue bulls, monkeys,
8. Japan International Cooperation Agency (JICA) and etc. In India around 80,000 incidences (18 States) of human-
other foreign assistance wildlife conflicts were reported during 2012–2013. Out of
9. Compensatory Afforestation Management and Planning which crop and property damages were 73.4% followed by
(CAMPA) funds livestock injury or losses 20% and human injury and death
10. State Forest Development Corporation (SFDCs) and cases 6.6% (Figs. 13.9 and 13.10).
Tourism Department To compensate the wildlife caused losses and to reduce
11. NGO, local bodies and miscellaneous funding sources the threats to some extent, MOEF&CC, Government of India
had issued some guidelines in 2018 under ‘Development of
Wildlife habitats’ for Project Tiger and Project Elephant
13.6.10 National Level Monitoring of the JFM which are funded through a Centrally Sponsored Schemes
(CSS), and under which provision of ex-gratia for wildlife
A JFM cell was created in the Ministry of Environment and depredation has been made. MOEF&CC ordered ex-gratia
Forests (MoEF) in August 1998, to monitor the progress of Rs. 5 lakhs for human death or incapacitation, Rs. 2 lakhs for
JFM and to collect and compile the information on JFM. grievous injuries and Rs. 25,000 for minor injuries. For
National Workshop on JFM was organized by Forest property and other losses, States/UTs can prescribe the
Research Institute, Dehradun during 27–28 June 2011. At compensations. Through order no. 1/123199/2021 dated
the country level some important data have been compiled 26/2/2021 Forest Department of West Bengal fixed
302 M. R. Baloch

Fig. 13.8 Intercrops: potato and mustard in North Bengal

ex-gratia and compensation rates as follow: Human depredations wildlife also gets injured or killed so losses are
death case: Rs. 5 lakhs, permanent disability: Rs. 2 lakhs, on both sides. During peak depredation periods (crop season,
permanent sight/hearing loss: Rs. 1 lakh, partial sight and lean period-food and water shortage, breeding, migration,
hearing loss: Rs. 0.50 lakh, grievous injury needed hospitali- change in feeding taste and priority, winter and rainy periods;
zation more than a week: Rs. 0.5 lakh plus free treatment in obstacle or disturbances in habitats or corridors etc.) wildlife
Government hospitals, and for less than week period depredations increase over the areas. To control or mitigate
Rs. 25,000 plus free treatment in Government hospital. For the problem forest department erect fencings, distribute
property (huts, livestock, crops etc.) separate categories and search lights and crackers, construct the watch towers and
rates have been prescribed. deploy staff and JFMCs joint teams as wildlife squads for
Different SFDs decide different categories and rates of helping fringe people to ward off the wild animals. Through
compensation and these are revised from time to time. During social media, radio, TV, newsletters, pamphlets, phones,
13 Community Participation with Special Reference to Joint Forest Management 303

Table 13.3 Status of JFM in India—Number of JFM committees and forest area under JFM
Number of families involved
States JFM committees Area under JFM (ha) GN SC ST Total
A & N Islands 4 262 360 – – 360
Andhra Pradesh 7718 1,519,000 492,000 395,000 551,000 1,438,000
Arunachal Pradesh 1013 100,377 – – 33,048 33,048
Assam 1184 52,499 148,074 27,392 119,368 294,834
Bihar 682 462,333 91,606 80,586 39,482 211,674
Chhattisgarh 7887 3,319,000 313,000 190,000 614,000 1,117,000
Goa 26 10,000 – – 336 336
Gujarat 3067 414,151 147,302 29,068 240,662 417,032
Haryana 2487 41,188 53,026 13,010 – 66,036
Himachal Pradesh 1023 205,056 190,000 65,000 8024 263,024
Jammu & Kashmir 4173 38,736 236,388 64,469 128,939 429,796
Jharkhand 9926 1,721,700 236,388 64,469 128,939 429,796
Karnataka 3848 808,020 185,290 55,480 32,035 272,805
Kerala 576 207,404 47,407 9708 21,386 78,501
Madhya Pradesh 15,228 6,687,390 645,000 255,000 800,000 1,700,000
Maharashtra 12,665 2,403,344 1,820,640 358,097 529,860 2,708,597
Manipur 665 166,767 7884 132 16,086 24,102
Meghalaya 285 17,245 – – 39,210 39,210
Mizoram 613 55,990 – 57 80,628 80,685
Nagaland 951 42,929 – – 159,587 159,587
Odisha 12,494 1,148,676 726,102 271,139 645,741 1,642,982
Punjab 1224 178,333 70,696 21,140 14 91,850
Rajasthan 5316 858,614 238,015 73,802 259,234 571,051
Sikkim 219 88,518 29,000 – 17,000 46,000
Tamil Nadu 3487 756,446 354,002 98,298 29,969 482,269
Tripura 920 241,138 19,561 14,643 45,241 79,445
Uttar Pradesh 3426 183,393 450,251 241,689 14,110 706,050
Uttarakhand 12,738 564,221 501,000 110,000 18,000 629,000
West Bengal 4368 646,084 225,309 159,425 120,415 505,149
Total 118,213 22,938,814 7,228,301 2,597,604 4,692,314 14,518,219
Source: Proceedings of National Workshop on JFM, Dehradun, 27–28 June 2011

meetings, and notices, fringe people, panchayat members and Sustainable tourism is defined as ‘tourism that meets the
administration are informed about the depredation timings needs of the present tourists and host regions while protecting
and areas. Fringe peoples are also trained in how to tackle the and enhancing opportunity for the future’. Thus, it is an
problem. Volunteers of JFMCs and paid members are umbrella concept that would include ecotourism. The eco-
involved to mitigate the depredation. By adoption of these tourism term was initially coined by Hector Ceballos
measures the lives and properties of fringe people are saved Lacurian in 1983 to describe Nature-Based Travel. Ecotour-
and also losses were decreased. In the absence of JFMCs, ism is based on three important principles: conservation
there were severe and very tense conflicts between forest staff (economic benefit will act as incentives to conserve and
and villagers and in many cases forest field staff were protect the natural resources), communities (community par-
gheraod (protest) and assaulted or even beaten to death and ticipation will empower them and help in achieving sustain-
offices were burnt. Wild lives also were being injured, killed able development) and interpretation (generating individual
and poisoned. and mass environmental awareness). The Tourism Policy
(2002) in India gives special thrust to rural tourism in small
settlements, to advise the MOEF&CC and SFDs on initiating
13.6.12 JFM and Ecotourism compulsory and voluntary regulations regarding ecotourism
activities and to undertake specific programmes for national
Ecotourism is a nature-based form of special travel defined parks and sanctuaries. In June 2011 MoEF, GoI asked State/
by The International Ecotourism Society (TIES) in 1991 as UT governments to frame ecotourism policies and accord-
‘responsible travel to natural areas which conserved the ingly almost all States have drafted their ecotourism policies
environment and sustain the wellbeing of local people’. for PAs and other forest sites. Many SFDs have created
304 M. R. Baloch

Table 13.4 Percentage of forest area covered by JFM

States Recorded forest area (ha) Area under JFM (ha) Forests covered by JFM (%)
A & N Islands 717,100 262 0.04
Andhra Pradesh 6,381,400 1,519,000 23.8
Arunachal Pradesh 5,154,000 100,377 1.95
Assam 2,683,200 52,499 1.96
Bihar 647,300 462,333 71.42
Chhattisgarh 5,977,200 3,319,000 55.53
Goa 122,400 10,000 8.17
Gujarat 1,892,700 414,151 21.88
Haryana 155,900 41,188 26.42
Himachal Pradesh 3,703,300 205,056 5.54
Jammu & Kashmir 2,023,000 38,736 1.91
Jharkhand 2,360,500 1,721,700 72.94
Karnataka 3,828,400 808,020 21.11
Kerala 1,126,500 207,404 18.41
Madhya Pradesh 9,468,900 6,687,390 70.62
Maharashtra 6,193,900 2,403,344 38.8
Manipur 1,741,800 166,767 9.57
Meghalaya 949,600 17,245 1.82
Mizoram 1,671,700 55,990 3.35
Nagaland 922,200 42,929 4.66
Odisha 5,813,600 1,148,676 19.76
Punjab 305,800 178,333 58.32
Rajasthan 3,263,900 858,614 26.31
Sikkim 584,100 88,518 15.15
Tamil Nadu 2,287,700 756,446 33.07
Tripura 629,400 241,138 38.31
Uttar Pradesh 1,658,300 183,393 11.06
Uttarakhand 3,465,100 564,221 16.28
West Bengal 1,187,900 646,084 54.39
Source: Proceedings of National Workshop on JFM, Dehradun, 27–28 June 2011

senior level posts for looking after exclusively the ecotourism 3. Sustainable ecotourism utilizing the Global Sustainable
activities, policy implementation, monitoring, coordination, Tourism Criteria (GSTC)
management and extension. 4. Promoting ethical conduct both during and after their
cooperation in efforts to conserve nature
5. Encourage sustainable utilization of biodiversity by creat-
13.6.13 Rajasthan Ecotourism Policy, 2020 ing revenue, employment and commercial opportunities
6. Equitably distribute the advantages of growing ecotourism
Policy period: It is for 10 years or as may be decided by State to the nearby communities
Government. 7. Giving communities the chance to decide how best to
Vision: To promote and expand access to exceptional, present their cultural values
high-quality, low-impact ecotourism locations in Rajasthan 8. Preserve the state of Rajasthan’s current biodiversity,
that are focused on protecting the state’s natural and cultural ecosystems, culture and traditions
heritage, including its flora and fauna, creating high-quality
educational opportunities and helping to create jobs locally,
reduce poverty and advance conservation efforts. 13.6.14 Strategy and Arrangements
The following are the Rajasthan Ecotourism Policy’s pri-
mary goals: The State Forest Department (SFD) will act as the central
agency responsible for implementing the policy, utilizing the
1. Uniting all interested parties on a single platform to pro- services of the Rajasthan Ecotourism Development Society
mote ecotourism (REDS), duly registered under the Rajasthan Society Regis-
2. Ensure that all parties involved participate equally, effec- tration Act, 1963. REDS is designated to support the
tively and actively
13 Community Participation with Special Reference to Joint Forest Management 305

Table 13.5 Annual employment generation through JFM

States No. of JFMC Total no. of families Annual employment generated in lakh man-days
Andhra Pradesh 7718 1,438,000 100.00
Arunachal Pradesh 1013 33,048 2.64
Assam 1184 52,499 4.88
Bihar 682 211,674 4.72
Chhattisgarh 7887 1,117,000 70.00
Gujarat 2195 417,032 182.76
Haryana 2487 66,036 7.05
Himachal Pradesh 1023 263,024 2.70
Jharkhand 9926 429,796 8.60
Karnataka 3848 272,805 74.90
Kerala 576 78,501 4.00
Maharashtra 12,665 2,709,000 91.37
Manipur 665 24,102 6.43
Meghalaya 285 39,210 16.04
Nagaland 951 159,587 2.60
Punjab 1224 91,850 8.00
Rajasthan 5316 571,051 51.35
Tamil Nadu 3487 482,269 16.99
Tripura 920 79,445 39.00
Uttar Pradesh 3426 706,050 17.23
West Bengal 4386 505,149 38.46
Total 71,864 9,747,128 749.72
Source: Proceedings of National Workshop on JFM, Dehradun, 27–28 June 2011

Table 13.6 Benefits from JFM

Benefit in Rs. Lakhs
States No. of JFM committees Total no. of families Fuel wood Fodder NTFP Others Total
Andhra Pradesh 7718 1,438,000 1022.61 217.90 700.53 897.37 2838.41
Arunachal Pradesh 1013 33,048 1883.56 9198.00 117.90 44.25 11,243.71
Chhattisgarh 7887 1,117,000 14,400.00 24,000.00 93,050.00 800.00 132,250.00
Haryana 2487 66,036 94.60 78.48 20.98 0.27 194.33
Jharkhand 9926 429,796 8580.00 – 3124.00 – 11,704.00
Karnataka 3848 272,805 1628.58 – – 1515.42 3144.00
Madhya Pradesh 15,228 1,700,000 – – – 2841.91 2841.91
Maharashtra 12,665 2,709,000 919.63 117.63 25.48 2.92 1065.66
Meghalaya 285 39,210 68.75 24.62 7.82 6.00 107.19
Nagaland 951 159,587 675.00 0.00 20.00 0.00 695.00
Punjab 1224 91,850 25.00 20.00 40.00 5.00 90.00
Rajasthan 5316 571,051 – 488.46 75.26 129.75 693.47
Tripura 920 79,445 4472.00 762.00 483.00 170.00 5887.00
Uttar Pradesh 3426 706,050 1152.02 791.18 50.33 53.22 2046.75
West Bengal 4368 505,149 10,000.00 3000.00 5000.00 0.00 18,000.00
Total 77,262 9,918,027 44,921.75 38,698.27 102,715.30 6466.11 192,801.43
Source: Proceedings of National Workshop on JFM, Dehradun, 27–28 June 2011

realization of the vision and objectives outlined in the Eco- environmental and socio-cultural sustainability. Functioning
tourism Policy, specifically focusing on forests, protected with a significant degree of autonomy, the society’s ecotour-
areas and natural areas beyond the jurisdiction of the ism activities will be executed through the field units of the
Rajasthan Forest Department. REDS is tasked with promot- Forest Department. At the district level, the establishment of
ing the development of ecotourism that harmoniously a District Ecotourism Committee (DLEC) is mandated, with
integrates nature-based and cultural attractions, ensuring the Collector serving as the Chairman and the District Forest
306 M. R. Baloch

Fig. 13.9 Paddy field raiding by wild elephant herd

Officer (DCF) as the Member Secretary. The committee will The initiative’s primary beneficiary is the local commu-
include members from various relevant departments such as nity, and the government’s Forest and Tourism departments
revenue, tourism, tribal development and rural development. are utilizing the partners’ interdependencies to ensure the
Their collective role is to foster, administer and regulate success of the conservation efforts.
ecotourism sites.

13.6.16 Ecotourism Product Development,

13.6.15 Strategy for Managing Ecotourism Sites Promotion, Publicity and Marketing

The Chief Wildlife Warden will create regulations governing The sites chosen for ecotourism will be distinct from others in
the wildlife and recreational experiences at locations that fall terms of their aesthetic, natural, cultural and landscape
under Protected Areas. qualities. These qualities will be acknowledged and
transformed into an ecotourism offering that will establish
1. Locations under Project Tiger’s (PT) authority and addi- the site’s identity.
tional Protected Areas (PAs)
2. The Protected Areas’ eco-sensitive zones (PAs)
3. Sites with distinctive natural features that are found in 13.6.17 Sharing of Revenue Benefits
unclassified forest areas and reserve forests
4. Places where the forest department has administrative The local community that directly manages and maintains
authority but are not situated on forest land eco-tourism facilities receives 80% of earnings as compensa-
5. Locations under the administrative supervision of other tion, with the remaining 20% going to the government as fees
government agencies for facility entry and use. In addition, the Rajasthan Ecotour-
ism Development Society (REDS) will have access to an
13 Community Participation with Special Reference to Joint Forest Management 307

Fig. 13.10 Driving away to a

wild loner tusker by farmers

extra 25% eco-development surcharge, which will be used to elephant ridings, trekking, FRH and other ecocentres under
address issues related to local livelihood development, man- various forest divisions) (Fig. 13.11) and could get revenue
aging conflicts between humans and wildlife and conserva- of about Rs. 44 lakhs only from online bookings during the
tion through eco-development. report period. WBFDC, Territorial, Wildlife and Functional
Divisions also are engaged in ecotourism activities.

13.6.18 Successful Ecotourism: A Case Study

from Darjeeling, West Bengal 13.6.19 Ecotourism at Lamahatta and Around
in Darjeeling: A Case Study
West Bengal also has got a draft ecotourism policy. Since the
State is full of varied natural beauties (Himalayas to the In March 2012 while passing through Lamahatta forest vil-
ocean) ecotourism is highly developed all over state. Tradi- lage the Chief Minister (CM) on seeing the eye-catching
tionally, Bengalese have the highest passion for traveling scenic natural beauty, asked accompanying forest officials
thus, all type of in-house tourists are abundantly available to start eco-tourism activities at Lamahatta. DFO, Darjeeling
to utilize these eco-tourism opportunities. Division took the eco-tourism works at war footing level and
As per the Annual Administrative Report for 2017–2018 completed Lamahatta eco-park works which the CM
WB State Forest Development Agency (WBSFDA) has inaugurated on 29th March 2013. The funding for this project
developed a website for booking online ecotourism facilities was jointly arranged by SFD, Tourism and North Bengal
(camps, huts, tents, park, tree houses, cottages, rooms, Development Departments. Lamahatta is a small forest
308 M. R. Baloch

Fig. 13.11 Fully furnished room and tent houses at Lamahatta Home stays, Darjeeling Division, WB

busty on Darjeeling-Kalimpong and Sikkim road and has developed eco-garden which has got many local and
around 140 households inhabited mainly by multi-ethnic orchid flowers and is decorated with rows of praying flags.
Buddhist communities and some Hindus. The Lamahatta 4. A medicinal plants garden, watchtower, meditation centre,
forest village site selection for developing into a sustained roof-top cafeteria, nature-trekking trail, a small natural
ecotourism village had following important points which are pond at hillock top etc. are attractions which are available
essential to attract more and more tourists. at the same location.
1. Lamahatta is only 23 km from Darjeeling town which is 5. Nearby tourist sites are Takdah’s rare orchid species nurs-
the world-famous hill station having beautiful rhododen- ery and orange garden, rock climbing points, Trinchule
dron, dense forest valleys, world heritage Himalayan toy organic village and Peshok Tea garden, Senchal Wild Life
train, tea gardens of costliest Darjeeling tea brands, Bud- Sanctuary which can be visited by tourists during
dhist monasteries, Himalayan zoological park and mighty single trip.
snow-laden Kanchanzongha mountain chains. Thus, 6. Tourism Department funded 20 home stays at Chimney
Lamahatta is very close to Queen of Hills which attracts and Pokhariatar Forest Villages (JFMCs), community
lakhs of tourists every year. kitchen cum centre, watch tower, improvement of sala-
2. Lamahatta (altitude 2077 m) is situated on the main road mander ponds under Kurseong division also have been
through which all tourists pass for visiting Kalimpong, established during 2016–2018.
Siliguri and Sikkim. On this route Tista Rangit River
Sangam (lovers point), Tista River with bridges, Teesta 13.6.19.1Ecovillage: Implementation of Ideas
dams, Latpanchar bird watchers, paradise point, FRHs, Many male members of Lamahatta were in the army and also
Cinchona plantations, many tea and orange gardens are working in nearby tea gardens as daily labourers and at the
spots of tourist attraction. Namchi hills of Sikkim, Tiger Takdah Cantonment area. Some were engaged in agricultural
hills of Darjeeling can be clearly seen from Lamahatta. activities (mainly vegetables). Many youths either were
3. Lamahatta has got picturesque landscape of Himalayan working in other states or even in Arabian countries. Only
hillocks and cloud-filled valleys and snow clad women folk with aged persons and children are left in the
Kunchenjunga mountain chains on the north and a series village. Employment opportunities are very meagre.
of very old tall pencil stemmed Dhupi (Japanese cedar, DFO, Darjeeling and local RO with field staff had a series
Cryptomeria japonica) trees along with beautifully of meeting with forest villagers to peruse them for converting
13 Community Participation with Special Reference to Joint Forest Management 309

Lamahatta as an eco-tourism centre. In 2012, a JFMC with • Twenty percent of the net income earned shall be depos-
158 numbers was formed. To start with, jobless men and ited as a ‘Government Revenue’.
women were engaged in developing the eco-park and • Twenty percent of the net income generated shall be kept
associated activities (flower garden, trekking trail works, as ‘Maintenance Fund’.
construction of walls, towers and huts, cleaning of weeds,
soil moisture works, nursery and watch ward works etc.).
Later villagers also had given volunteer services in the devel- 13.6.22 Constitution of Management
opment of eco-park and facilities. An entry fee of Rs. 10 per Committee
visitor was realized through a ticket counter by JFMC for the
eco-park visit. At the village entry gate main information 1. To manage Takdah Forest House (Old Club House) some
about eco-centre was displayed. JFMC members were trained management works that is catering, cleaning, watch and
by Darjeeling Division in hospitality and cooking services. ward etc. have been assigned with local JFMC under
Initially, 7 numbers of existing houses were converted into Takdah Range. For a more systematic and transparent
home stay facilities. Later 8 numbers of more home stays and way and to impart a sense of accountability amongst all
5 numbers of tent houses were added. Booking rates were its stakeholders a ‘Management Committee’ shall be
Rs. 1000/- and 2000/- per day respectively for rooms and constituted with the following as its members:
tents. For foods and other services, charges were additional to Range Officer, Takdah Range—Ex-officio Member
rents. As of today total 56 numbers of home stays have been Secretary
developed under Takdah range. Out of which most of them Beat Officer, Takdah Beat-Member
have been funded by SFD (NBDB) with the initial financial Two (2) nos. of JFMC members—Members
help of Rs. 2.52 lakhs per household. 2. JFMC members shall be nominated by the concerned
As there were no prescribed mechanism or direction from JFMC in its annual general meeting and shall act as
the department for sharing the revenues Division Office, members of the committee for one year only. The same
Darjeeling had instructed to collect 25% of total revenue member(s) cannot be a member of the committee for two
from the home stays and later use the same, 25% for the consecutive years.
maintenance of the home stays and 50% is to be retained by
the owner of the home stays.
For Lamahatta Ecotourism Centre, all the revenues col- 13.6.23 Duties of Management Committee
lected are deposited in JFMC’s joint account but for with-
drawal, Member Secretary (Beat Officer) and JFMC 1. To regularly visit and monitor all the activities of Takdah
President had to endorse the cheques. Every proposed work Forest House and report to the Divisional Forest Officer,
had to be passed by at least 60% of the concerned JFMC in writing, about any issue pertaining to the management
members by resolution. of Takdah Forest House.
2. To call a meeting, ideally during the first week of each
month, to decide on matters pertaining to the expenses that
13.6.20 Objective of Management will be paid for out of the ‘Maintenance Fund’ and to present
estimates to the DFO for final consent or confirmation.
1. To provide livelihood opportunities to the local JFMC 3. Any other duty as may be decided by the Divisional Forest
committee in a sustainable manner and involve the local Officer.
community in participatory management and benefit-
sharing.
2. Capacity building of local communities in planning, 13.6.24 Financial Management
operating and managing ecotourism facilities.
3. To motivate and involve local JFMC committee in forest 1. The ‘FPC Share’ and ‘Maintenance Fund’ shall be depos-
protection and conservation of nature and natural ited in two separate joint accounts operated jointly by the
resources. Spreading nature awareness among the masses. Range Officer, on behalf of the Forest Department and one
4. To generate Government revenue by optimum utilization of the member nominated by the concerned JFMC by a
of assets created. resolution signed by a majority of the members. The
above two accounts shall be opened in any nationalized
bank in consultation with the Divisional Forest Officer.
13.6.21 Proposed Sharing of Revenue 2. The 60% FPC share allotted to the JFMC members is a
community fund which shall be utilized in a manner as
• Sixty percent of net revenue generated shall be given to decided by the concerned JFMC by taking resolution in
the concerned JFMC members as ‘FPC share’. Annual General Meeting signed by all the individual
310 M. R. Baloch

members of the committee and subject to final approval of 13.6.26 Methods of FRH Booking
the Divisional Forest Officer.
3. The 20% amount kept as ‘Maintenance Fund’ shall be • Booking shall be done through by the office of DFO and
utilized for day-to-day maintenance of Takdah Forest by Range Officer, Takdah Range as spot booking (infor-
House including the purchase of consumable articles etc. mation to DFO) in case of availability of room on the
No fund shall be utilized from this account until and particular day.
unless it is passed by taking resolution in a monthly • However, recently Takdah FRH is placed under WBFDC
meeting of ‘Management Committee’ and approved by for all ecotourism purposes.
the Divisional Forest Officer.
4. A separate cash book shall be maintained by the Range
Officer, Takdah Range which shall reflect all the money 13.7 Economic Growth: Empowerment
receipts and expenditure done including details about FPC of Women
Share, Government Revenue, and Maintenance Fund.
5. That while maintaining accounts all the existing financial 1. Maximum numbers of womenfolk took initiatives and put
rules shall be invariably followed by the Range Officer. hard work to establish and to successfully run the ecotour-
6. All the vouchers should be countersigned by all the ism business. They got wages and profit money directly in
members of the Managing Committee. their hands.
7. That a monthly account shall be submitted to the DFO for 2. Some of homes stays have been created by enthusiastic
final approval and record. villagers with their own money and money earned by
them through ecotourism. Home stays are being run by
women mainly.
13.6.25 Engagement of Workers 3. They could easily sell their organic agri-products,
handicrafts, tea and snacks.
1. Local JFMC members shall be engaged as a worker in 4. Womenfolk accepted ecotourism as a miracle assignment
Takdah Forest House wherever possible. for them. They got engaged in catering, mushroom culti-
2. Selection of JFMC members shall be done strictly based vation, sale of pickles and groceries etc.
on their educational qualification, experience, records and 5. Some of the low paid persons left the works at Tea
other important criteria as deem fit by the Divisional Gardens, other places and joined the women to assist
Forest Officer. them in home stay and other household works as they
3. All such engagement of JFMC members shall be purely found an alternate source of income at their native place.
temporary and may be removed by the Divisional Forest 6. Some men returned from outside to work and invest in
Officer (DFO) on the ground of misbehaviour, incapacity, home stay occupation at home. Some have purchased
dishonesty, negligence in duty or any other reason detri- vehicles for engaging in tourist travelling and guiding
mental to the safety and security of visitors and Govern- activities.
ment property. The decision taken by the DFO in this 7. The village turned as global in ecotourism. They have
regard shall be final. their own website for booking as well as extension
4. An undertaking shall be submitted by the concerned purposes. Sometimes the booking status becomes house-
JFMC members, before his/her engagement as a worker, ful as all the home stays are booked 5–6 months advance
to the effect that he/she, in future, shall not claim to the during peak tourism period.
government for any kind of employment, temporary or 8. Lamahatta ecotourism spot has found as the main tourist
permanent, in the event of his/her removal as a worker of attraction in the list of important worth visit tourist sites
Takdah Forest House on any ground whatsoever. under Darjeeling District and this place has been awarded
5. To provide satisfactory services to the visitors a training in the higher rankings by Trip advisor agency.
culinary and hospitality is provided to the local JFMC 9. Lamahatta home stays have become almost self-sustained.
members who have been engaged as workers in Takdah For long-term success, the JFMC and SFD both will have
Forest House. to be more vigil, active, cooperative and will have to
6. Provision for uniform shall be made for cooks, house maintain a high standard of services and securities and
cleaners, security staff etc. satisfaction to the visitors.
13 Community Participation with Special Reference to Joint Forest Management 311

13.7.1 Study on JFMC: National Scenario 15. Taking local Panchayat leaders and politicians in confi-
dence before any hard action taken.
The Energy Research Institute (TERI) had conducted a study 16. Strong and legal backing to each case right from raids,
on the effectiveness of JFMCs in the country and major seizures, arrests to courts.
findings are: 17. Better liaison at all level with police, judiciary,
politicians, local body members and JFMCs.
1. JFM scheme has been adopted by 22 States as on 2007. 18. Regular workshops and training for frontline staff for
2. Forest regeneration increased by 40%. support, updates on legal and other matters.
3. Pressure on forests, fires, illicit felling reduced by 20%.
4. Seventeen states had constituted 41,249 JFMCs and
11.24 m ha forest land covered in 14 States. 13.7.3 Conservation Efforts and Strategies
5. State wise usufructs shares to FPCs/VFCs are: Fuelwood
100% (AP, Gujarat, Odisha, MP), 50% (WB, AP), Kendu 1. Minimize illicit felling/grazing and illegal entry in forests
50% (AP), Cashew 25% (WB), Timber 100% (AP, TN, through fringe area.
Bihar), 50% (Odisha, Gujarat, Rajasthan), and 15% in 2. Forest theft information is mostly from many JFMC
WB. Entire sale proceeds given to FPC as revolving members.
funds in HP, Haryana. The extent of items and usufruct 3. Cooperation and mutual confidence built up between the
sharing is modified time to time by state forest forest department and fringe public.
departments. 4. Gherao, assault on staff and firing incidences and other
conflicts considerably reduced.
5. Small staff team could search, seize and arrest in JFMC
13.7.2 Strategies to Curb Illicit Felling: areas without much oppose.
Reference to North Bengal Forest 6. Regeneration of forest and coppice areas increased and
Division, WB fires incidences decreased.
7. Tendency for purchase of timbers from authorized
1. Regular FPC (JFMC) meeting at Beat, Range, Block and depots that provide TP reference on bills.
Divisional/District level. 8. Due to constant pressure from Forest Department,
2. Awareness through inter FPC trips, success stories, the Panchayat and FPC members, the forest offenders started
importance of natural resources etc. surrendering.
3. Distribution of leaflets and miking in areas and advertise 9. Illegal chain between smugglers, suppliers, purchasers,
through TV, newspapers etc. sawmill and furniture shop owners broken.
4. Basic facility (arms, uniform, transport) and welfare 10. More and more JFMC members started participating in
measure (quarter, security, incentives) for staff. the joint patrolling with staff.
5. Night camp in main outlet area/riverside where generally
vehicles cannot ply.
6. Randomly patrolling on foot to avoid the indication that 13.8 Threats and Challenges to JFM
the patrol party is striking.
7. Strict, regular and effective supervision from Forester to 1. Due to lack of full awareness, suitable alternate liveli-
DFO and even Circle Incharge. hood opportunities and due to acute poverty, some fringe
8. Keeping personal informer (Intelligence) and forest dwellers are still engaged in anti-forest and wild-
maintaining high secrecy of informer and place. life conservation activities and remain out of mainstream
9. Special patrolling (senior forest officials with FPC and of the JFMC concept.
Forest Protection Force) over prone forest areas. 2. Many JFMC members do not attend meetings, do not
10. Instant and immediate information collection by staff and perform duties and play political biases and have the
communication to higher-ups. tendency of opposing the work and activities of JFMC.
11. Joint raid in difficult areas (populated areas, tea gardens) 3. Many JFMC members found cutting trees, engaged in
with local people/police etc. poaching and illegal grazing, putting fires to jungles and
12. Monsoon mobile camps (with boats, arms, life jacket stealing forest produces and having connections with
etc.) in the rivers to check logs drifting. outer forest offenders.
13. Remuneration and appreciation to the staff and financial 4. Some JFMC members are engaged in blackmailing,
support to informers. gheraoing, lodging minor or false complaints and apply
14. Keeping vigil on secret links between field staff and pressuring tactics to field forest staff and
smugglers and poachers. demoralize them.
312 M. R. Baloch

5. Some of JFMC members who found to be informers for sincerity, transparency, sharing of usufruct rights, responsi-
timber mafias, also put field staff in dangerous situation bility of community towards their duties and mutual trust are
during forest duties and raiding/seizing and searching/ the main keys to maintain the symbiotic relations between
arresting operations. Forest Departments and JFMCs. Greed, irresponsibility and
6. Even in some cases they attack forest staff and injure or lack of the above-mentioned attributes shall cause deteriora-
even kill them. tion in the sustainability of this concept.
7. Womenfolk are found more and regular trespassers than The DFOs, ROs and JFMCs must continuously maintain
men; hence they cause more damages to the forest. They the true spirit of the JFM concept. JFM represents a paradigm
cut back green coppices, newly raised saplings for fire- shift in the forest protection and regeneration method thus is a
wood collections and sales. movement. Shabaz Ahmed in his book titled ‘The Dilemma
8. Noticed that one of the JFMC members protect their own of People’s Participation’ has beautifully stated about the
allotted forest well but clandestinely damage to the forest dilemma with the current participatory approaches as below:
of nearby or other areas which have been allotted to other
JFMCs. 1. The social welfare role of government is denied or
9. Out of forest offenders arrested many were found to be disallowed.
JFMC members. In many raids and searches illegally 2. Formalities in the activities at a village level cannot be
collected timbers, split fire woods, other forest produces conducive for social bonding.
and poached wildlife are seized from the houses of JFMC 3. Less importance on the long-term management of the
members. Even at some places killed (by field staff or large forest resources.
forest protection force in self-defence) forest offenders 4. Requires complete overhauling of the existing administra-
were found to be JFMC members. tive, managerial and sociocultural system without assuring
10. It is seen after completion of seasonal forestry works, benefits to either sides.
JFMC members are jobless and none of other Govern- 5. Put the JFMC members/villagers and resources at the
ment agency provides jobs (inside the recorded forest mercy of market forces.
areas wherein non-forestry activities are not allowed due
to FCA, 1980) so for livelihood or for extra income they However, despite above-mentioned drawbacks, the pres-
are engaged in forest-based illegal activities and also ent concept of participation has been strongly supported by
they migrate to other towns for earnings. the World Bank and emphasis was given to its all aided
11. Some of JFMC members are so poverty-stricken that programmes.
they cannot wait for revenue share or seasonal plantation Ahmed, while discussing the grey areas of participation
works or free collections of some NTFPs, etc. stated ambiguity in the interpretation as there are high and
12. Some forest workers do not maintain regular intimacy low, direct and indirect, active and passive participation. An
with JMFC members, do not maintain transparency in international association of public participation (IAPP)
works, do not pay needed attention towards the genuine defines public participation, as any process that involves the
grievances of the JFMC members. Such attitude and public in problem-solving and decision making and that uses
performance even by one or two staff may cause distrust public input to make a better decision. The business concept
and weakness in the JFM system. of stakeholders (SFD is a stakeholder in the participation) is
13. Insufficient and delays in allotment and release of funds not suitable for huge natural resources where there is strong
for JFMC works also affect the efforts. vested interest, and where strong decision taken required to
14. Change in the policy and the priority of the existing or ensure the fulfilment of the confide needs of the weaker
new Government towards JFM concept. sections of the society. The business enterprise is profit-
15. Shortage and transfer of staff, excessive load of field making and social welfare or conservation of resources, not
duties and lack of incentives to best performing staff a primary concerns.
and JFMC members also cause a gradual downgrade in However, the JFM concept yet cannot equate with the said
the quality of works. definition as the idea and goal is somewhat different in this
type of participation. Full control of the public over resources
may result in the violation of freedom and rights of
13.9 The Future of JFM individuals and the mandate of Government. In case of
JFM, participation has been regularized by the Government
At present, in the absence of other more suitable alternates thus final decision of Government will prevail in case of any
the JFM is the best concept to manage the natural resources dichotomy is created between participants and Government.
thus this has also been adopted by some other countries. The If the ecotourism communities will have only business targets
and do not have concern with forest and wildlife protection
13 Community Participation with Special Reference to Joint Forest Management 313

then they cannot be called as true joint participants. This is conserving the natural resources for shelter and suste-
practically very difficult to maintain the true spirit of JFM nance. During Vedic period people started to worship
concept for a longer period, thus it is a big challenge. some fauna and flora and classified the forests and
The word participation has been used with many animals, thus these became the part of their culture and
terminologies with slightly different connotations, namely religion. Many scriptures were written on the uses of
community participation, public or peoples’ participation, medicinal plants for curing of various ailments and
participatory management, public–private participation named this knowledge as the Ayurveda.
(PPP) and joint management participation, etc. The common • Some of forest areas were set aside as Sacred Groves as
goal is to involve other stakeholders, institute agency, orga- Orans (Aranya), Gouchars and Dev vans. Illicit felling,
nization or individual body in an activity or action for a well- grazing and other damages were finally prohibited. These
desired purpose; however, the extent and intensity of partici- were common resources of all nearby villages and
pation may vary in each case. Thus, the word JFM may not trespassers were punished. Thus, the concept of commu-
qualify the perspectives of different connotations of the con- nity management of natural resources was existing since
cept of participation. earlier times.
In the MP Forestry Project (second phase), the World • In medieval and modern eras people raised voices against
Bank was not satisfied with the term JFM and gave an option plundering of forest and poaching of animals. As many as
of Community Forest Management (CFM). The bank argued 363 numbers of Bishnois of Rajasthan in eighteenth cen-
that JFM was the initial stage of CFM and now transforms the tury AD sacrificed their lives to save Khejri (Prosopis
relation between forest-dependent communities and SFD to a cineraria) trees in Thar Desert of Jodhpur, and also they
partnership that progressively empowers these communities laid many sacrifices to protect Chinkaras and Blackbucks
to take lead roles of forest management and with SFD merely in the Rajasthan and adjoining states. Learning from
playing a need-based technical and facilitating roles. Govern- khejarli massacre of Bishnois, Gaura Devi and other
ment of MP did not agree with CFM concept of the World women started agitation against forest trees felling by
Bank so the project did not come up (Ahmed 2013). contractors in Garhwal Himalayas, which was called the
Shabaz Ahmed also stated that another concept of PPP has ‘Chipko Movement’. This movement later spread pan
cropped up in the 1990s wherein a public or private body India with different names.
purchase a service. The possible outcome of applying of PPP • The programme initiated by the DFO (Medinipore, West
model in natural resource management (implement this Bengal) became the basis for Joint Forest Management
approach in the regeneration and rehabilitation of degraded involving local tribals and villagers by sharing of some
forests) may look appealing. Once a community is entrusted benefits and rights. Seeing the success of JFM, it was
with ownership of a particular chunk of forestland it will be started in entire West Bengal and then in India.
revenue earning entity and the matter of sustainability and • Here are various constitutional provisions for the conser-
ecosystem service to be of no immediate relevance. Legally vation and protection of biological natural resources.
and practically this PPP type participation in the management Thus, JFM concept fulfilled the aspirations of these
of fragile eco-resources will not be feasible and possible in provisions. FRA Act 2006 also has given some rights to
country like India. tribals and forest dwelling communities due to which
The JFM is theoretically run as envisaged in National these people have started protecting and conserving the
Forest Policy 1988 and SFDs resolutions and there is no forest and wildlife. Thus, constitutional safeguards for
clear-cut role and responsibility at execution level. The protection and conservation of natural resources have
World Bank’s concept of CFM cannot be implemented in been implemented through Joint Forest Management.
India whereas the same is being practised in France and • Many entry point activities and JFM support activities
Germany (Ahmed 2013). Thus, following of all concepts of have been funded by State Forest Department and Gov-
participation at a place are not practical and feasible. ernment of India. People are getting employments through
In nutshell, it is concluded that as of now, existing public forest department, so their direct dependencies on forest
participation in the form of JFM is the most suitable in resources have been reduced. Due to ecotourism people
developing country like India. are being made aware about the importance of forests,
wildlife and environment. Now, forest resources are
Lessons Learnt being used on sustainable basis in which poor tribals are
• During early civilizations human had co-existence with being regularly benefitted and forest and wildlife related
forests, animals and wildlife and was completely depen- crimes have reduced drastically.
dent on these resources. Later, they started protecting and
314 M. R. Baloch

Key Questions Jetaram V (2016) Jambhabani Smarika, vol 3. JNV University, Jodhpur,
1. Define the Joint Forest Management (JFM) and briefly Rajasthan
Jetaram V (2019) Jambhdhara Shodhpatrika. JNV University, Jodhpur,
give an account of genesis of JFM. Rajasthan
2. Compare the concepts of Traditional Forest Management Kumar BM (2014) Forestry in ancient India: some literary evidences on
and Joint Forest Management. productive and protective aspects. College of Forestry, Kerala Agri-
3. Which major clauses in the Indian Constitution are cultural University, Thrissur, Kerala
Singh G (2016) Sacred groves of Rajasthan, threats and management
devoted to the preservation and protection of the country’s strategies. AFRI Publication, Jodhpur
natural biodiversity?
4. Give a brief account of strengths and weakness of JFM.
5. How JFM helps in the empowerment of women in India? Web References (URL)

https://www.indianetzone.com/50/forests_ancient_india_forests.htm
References https://www.downtoearth.org.in/news/forests/private-funds-for-
madhya-pradesh-forests-beware-of-legal-concerns-warn-
Ahmed S (2013) The dilemma of peoples participation. LAP Lambert experts-73906
Academic Publishing https://www.ifs.nic.in Indian Forest Service, MOEF & CC, Govt of
Banerjee AK (2014) 150 years of forestry (1864–2014). Directorate of India
Forest, Government of West Bengal, Kolkata https://www.tribal.nic.in/FRA.aspx
Bhattacharya S (2014) Forest and biodiversity conservation in ancient https://www.moef.gov.in
Indian culture: a review based old texts and archaeological https://www.0rissaaea.in/Journal/Jouranal_2018.pdf
evidences. Department of Environmental Studies, Rabindra Bharati https://docplayer.net/55574464-Conservation-across-landscapes-india-
University, Kolkata, India s-approaches-to-biodiversity-governance.html
HFRI (2020) Dev van ek prachin dharohar. HFRI, Shimla, Himachal https://www.dfe.gov.in
Pradesh https://www.frienvis.nic.in
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Ministry of Environment, Forests and Climate Change, Dehradun, https://forest.rajasthan.gov.in/content/dam/raj/forest/ForestDepartment/
India PDFs/
 Forest Invasive Species and Their Management
14
N. Roychoudhury

Abstract Keywords
Environmental alteration, increase of earth’s temperature, Invasive species · Alien plants · Prevention · Quarantine ·
different calamities like cyclonic disaster, biotic pressures, Management
Invasive Alien Species (IAS), deforestation, pollution,
rainfall pattern, landslides, cloudburst, thunderstorm etc.
affecting the ecosystems and native species across the 14.1 Introduction
world. IAS is one of the serious warning to biodiversity
and considered the main cause of habitat destruction. After Homo sapiens appeared on earth, they soon began
An invasive species particularly of forest ecosystem is interaction with ecosystems. Their quest to colonize the
referred as Forest Invasive Species (FIS). FIS is directly planet, humans deliberately or inadvertently transported cer-
related to the forestry and serious threat to forest cover. tain plants and animals with them. This human assisted
FIS can remove native species, food and forest cover. relocation of species has continued throughout the history
Human trade, tourism, transport and travel have enhanced of mankind with varying consequences. However, the mas-
the spread of FIS. For example, Lantana has invaded sive movement of species by rapidly accelerating human
forest lands, Parthenium in agricultural and forestry trade has breached the development of natural ecosystems
areas and Eupatorium in mountain ecosystems, etc. FIS that were unique and distinct hitherto, and resulted in an ever-
is highly significant in the national context. The biocli- increasing occurrence of alien/exotic species in agriculture,
matic conditions of India have been congenial for the alien horticulture and forestry.
species to invade in to the various landscapes and All non-native species are not harmful, since in addition to
ecosystems. There is a lacuna in the knowledge on the accidental dispersal of different harmful species, humans
biology, geographical distribution, genetic diversity and have also actively introduced a number of useful and benefi-
inter-crossing (hybridizing) potentials of the forest inva- cial species into new countries including India. A majority of
sive alien species. The entry of eucalyptus gall insect, alien species are benign and beneficial to human civilization
Leptocybe invasa, in different countries, including India like wheat and soybean and animals like fishes were
has threatened Eucalyptus species throughout the world. introduced for human food (Gogoi and Babu 2006). The
The present chapter has contemplated and described suc- non-native (alien/exotic) species in the absence of their
cinctly the IAS with special emphasis on FIS in India. coevolved predators and parasites, become established,
Further, it also highlights the impacts of FIS in forestry grow, adapt, multiply and spread, causing tremendous
and forest cover, their prevention, current position, harm, often irreversible to the economy and in some cases
measures to control FIS, categorization of invasiveness, to human health and are collectively known as ‘invasive
environmental impact assessment, possible management species’ (Knowler and Barbier 2000). Many harmful exotic
of FIS to save native forests as well as environment and species were deliberately introduced. Horticultural varieties,
finally the future scope of research. namely Lantana and Water hyacinth and fishes introduced
have exterminated native species.

N. Roychoudhury (✉)
ICFRE-Tropical Forest Research Institute, Jabalpur, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 315
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_14
316 N. Roychoudhury

14.2 Invasive Species immense, insidious and usually irreversible, resulted in loss
and degradation of habitats. Thus, the invasion by the alien
According to Oxford dictionary, the word invasive means plants is resulting in a shifting of species composition of
tending to spread in a harmful or unpleasant way. An ‘inva- diverse plant communities towards a preponderance of
sive species’ is defined as a species that is not native or alien weedy, undesirable species.
to the ecosystem and whose introduction causes or is likely to
cause economic or environmental harm or harm to human
health. Invasive species can be plants, animals and other 14.2.3 Control of Invasive Species
organisms (e.g. microbes). Human actions are the primary
cause of invasive species introductions. These harmful exotic The techniques for control of harmful exotic species are
species have grown successfully in a new area, increase expensive and lengthy. But, complete eradication is must to
quickly in number and disperse in ways that are harmful to stop regeneration. According to Reddy et al. (2008), three
human interests and natural systems are considered as Inva- main methods for management of exotic weed species are as
sive Alien Species (IAS) (Goyal 2005). IAS is distinguished follows:
by following traits: rapid development, prolific reproduction, Mechanical method of control: This method is highly effec-
efficient dispersal capabilities and tolerance of a broad range tive for management of harmful exotic species. This
of environmental conditions. Controlling invasive species method includes removal of harmful exotic species
requires complete information regarding its taxonomy, struc- through ploughing, scything, mowering, hoeing,
tural features, developmental biology, reproductive potenti- cultivating, etc. By this technique the unwanted species
ality and seasonal history, including phytochemistry. are removed from the area.
Chemical method of control: Management by use of chemi-
cal is costly and successful in some cases. But, this tech-
14.2.1 Special Features of Invasive Flora nique is not desirable because chemicals are responsible
for pollution.
The invasive flora has some distinguishing attributes, which Biological method of control: In most cases of alien pest
are as follows: invasions, biological control has proven the most effective
promising and environmentally safe technique for the
1. Quick growth and early maturation. management of invasive species. Some examples for con-
2. Prolific seed production. trol of invasive species are release of natural enemy, water
3. Reproduction by easily dispersed seeds and/or vegetative hyacinth predator weevil, Neochetina sp. for Eichhornia,
structures. Lantanophaga pusillidactyla predator insect for Lantana
4. Long lived seeds or reproductive structures. camara, Zygogramma bicolorata predator insect and Cas-
5. Dormant seeds ensure periodic germination. sia uniflora plant species for Parthenium hysterophorus.
6. Spread with crop seeds by natural agents and humans.
7. Produce biological toxins that suppress the growth of Critical alien plant ecological aspects that affect control
other plants. methods are:
8. Presence of spines or thorns that repel animals.
9. Parasitize other plants. 1. Sometimes native predators are not effective or very
10. Seeds are same size and shape as crop seeds, makes weak, predators need to be imported from the plant’s
cleaning difficult. homeland for control of invasive aliens.
11. Roots or rhizomes with large food reserves. 2. There is a ‘lag phase’ existing for a long time after
12. No adverse environmental effects on survival and seed introduced ion of an alien plant species before an expo-
production. nential phase (Baskin 2002). Some species that presently
13. High photosynthetic rate. exhibit non-invasive but start to spread rapidly after
14. Drought tolerant. some period.
15. Free of natural enemies. 3. Invasive alien plants cause retardation of natural succes-
sion and reforestation due to quick dense infestations.
4. Biological diversity reduces due to invasion of aliens and
14.2.2 Impact of Alien Invasive Flora detracts from their primary mission.
5. Some shade tolerant alien species (Cassia pumila) can
Food and fibre production has been threatened by invasive establish under forest canopies.
plants throughout the world. The effects of alien invasive are
14 Forest Invasive Species and Their Management 317

6. Some alien species, such as Alternanthera philoxeroides, Mediterranean Area and Africa (44 species) and Europe,
Eichhornia crassipes and Pistia stratiotes are spreading America, Mexico, West Indies and Brazil (188 species).
riparian/aquatic ecosystem.
7. Alien species initially grow along highway then to dis-
turbed habitats and riparian systems and finally to forest 14.2.5 Occurrence of Invasive Species
areas.
8. Alien plant species generally grow in disturbed habitats There are 45 scientific names belonging to the Kingdom
in cities and cause serious problems for urban forestry. Plantae (Table 14.1) and 51 scientific names belonging to
9. Some species, such as Prosopis juliflora, Hyptis the Kingdom Animalia (Table 14.2) found in the database of
suaveolens and Lantana camara have allelopathic alien invasive species of India (www.ncbi.org.in). Reddy
effects that reduce growth and development of native (2008) and Reddy et al. (2008) have documented a total of
species. 173 invasive alien species of India, which includes
10. Successful growth and invasions of alien species lead to 117 genera belonging to 44 families. The most serious inva-
extinction of native species. sive species of India are Alternanthera philoxeroides, Cassia
uniflora, Chromolaena odorata, Eichhornia crassipes, Lan-
tana camara, Parthenium hysterophorus, Prosopis juliflora
14.2.4 Flora of India and others.
Out of nearly 89,317 species of animals reported from
The quick increase in population of invasive species is India (Alfred 1998), during the year 2019, the Zoological
homogenizing flora and fauna of the world (Mooney and Survey of India (ZSI) has prepared an inventory of 157 inva-
Hobbs 2000). This is the major reason of world biodiversity sive species of animal origin (https://www.indiatoday.in/
loss. The infestation harmful exotic species is a biological education-today/gk-current-affairs/story/zsi-alien-invasive-
pollution and one of the important components and major species-list-india-1108621-2017-12-19).
cause of floral change and species disappearance (Mooney IAS belongs to plant or animal kingdom, but the scope of
and Drake 1987; Drake et al. 1989). this chapter is restricted only to Indian forest invasive species
The serious problems caused by the infestation of harmful (FIS) of plant and animal origin.
exotic species into ecosystems and the related harmful effects
on native biodiversity are well known to taxonomists,
ecologists and foresters (Reddy et al. 2008). Many exotic 14.3 Forest Invasive Species
species that can able to remove, indigenous flora and fauna,
affect nutrient and fire cycles and cause changes in the pattern Forest invasive species (FIS) can be defined as those floras,
of plant succession. fauna and microbes which are alien and not native and have
About 1,604,000 species have been described at the global been introduced deliberately to the forest and becomes an
level, reported by World Conservation Monitoring Centre important pest in the area that warns forest ecosystems,
(WCMC). India accounts for around 8% of the global biodi- habitats and native biodiversity. An invasive species particu-
versity are found in India (http://www.bsienvis.nic.in/ larly of forest ecosystem is referred to as FIS.
Database/Invasive_Alien_species_15896.aspx#). According FIS are found in both plant and animal kingdom and
to Nayar (1989), the number of flowering plant species practically in every ecosystem and almost all countries of
endemic to India is 4900 out of a total of 15,000, that is, the world. One of the key reasons for loss of forest biodiver-
33%. Hajra and Mudgal (1997) have reported 17,000 angio- sity is infestation by FIS. Effects from FIS on biodiversity
spermous species of India, out of which 5400 are endemics. can be direct, indirect and cumulative.
The flora found in India shows similarity with the flora of FIS affect the ecosystem function and structure and effect
Indo-Malayan and Indo-Chinese region. According to Nayar at the level of communities or habitats as well as at the level
(1977), 35% of Indian flora has south-east Asian and of species in protected areas, as elsewhere. The influence of
Malayan, 8% temperate, 1% steppe, 2% African and 5% FIS is directly or indirectly related to livelihoods and poverty
Mediterranean-Iranian elements. Chatterjee (1940) has alleviation, through affecting ecosystem services or sustain-
reported 6850 plant species as endemic to India. According able use of biodiversity or through impinging on cultural and
to Reddy et al. (2008), 282 alien species have been found to heritage values. The information pertaining to this aspect is
be utilized for cultivation of food/forage/timber/ornamental/ available at global level (Anon 2007a). A total of 326 IAS
other economic purposes in our country introduced from have recorded in 487 protected sites, located in 106 countries
Australia (33 species), Western Asia and Europe (17 species), belonging to Asia, Africa, South and Central America,
318 N. Roychoudhury

Table 14.1 Alien invasive flora

Scientific name Common name Origin
Acacia farnesianaIAS-6 Babool Australia
Acacia melanoxylonIAS-6 Australian blackwood Australia
Alliaria petiolataIAS-6 Garlic mustard Europe
Araucaria cunninghamiiIAS-8 Australian hoop Australia
Araucaria excelsaIAS-8 Norfolk island pine Norfolk island (Pacific Ocean)
Carica papayaIAS-9 Papaya Central America
Catesbaea spinosaIAS-9 Lily thorn Cuba
Cereus peruvianusIAS-9 Peruvian apple Argentina, Brazil and Peru
Chromolaena odorataIAS-5 Communist pacha South and Central America
Chromolaena odorataIAS-6 Communist pacha South and Central America
Cirsium arvenseIAS-6 Canada thistle Europe
Citrullus lanatus var. lanatusIAS-9 Watermelon South Africa
Coffea arabicaIAS-4 Arabian coffee Ethiopia
Coffea robustaIAS-4 Robusta coffee West Africa
Coffea syenophylaIAS-4 Bush coffee Guinea and Sierra Leone
Combretum coccineumIAS-9 Combretum Madagascar and Mauritius
Cryptomeria japonicaIAS-8 Japanese cedar Japan
Cryptostegia grandifloraIAS-6 Rubber vine Madagascar
Cunninghamia sinensisIAS-8 China fir China
Eichhornia crassipessIAS-5 Water hyacinth South America
Elaeagnus umbellataIAS-6 Autumn olive China, Korea and Japan
Epiphyllum macropterumIAS-9 Climbing cactus Costa Rica and Panama
Eriocereus bonplandiiIAS-9 The midnight lady The Netherland
Eugenia unifloraIAS-9 Surinam cherry Brazil
Hedychium flavescensIAS-6 Yellow ginger-lily Himalayas
Lantana camaraIAS-5 Lantana Tropical America
Leucaena leucocephala IAS-6 Subabul Mexico
Mesembryanthemum crystallinumIAS-5 Common iceplant Africa
Mikania micranthaIAS-5 Mile-a-minute Central and South America
Nopalea cochenilliferaIAS-9 Cochineal cactus Mexico
Opuntia stricta var. dilleniiIAS-9 Erect prickly pear Africa
Parthenium hysterophorusIAS-5 Congress grass Tropical America
Passiflora edulisIAS-9 Passion fruit South America
Passiflora foetidaIAS-9 Wild water lemon Tropical America
Passiflora laurifoliaIAS-9 Water lemon Tropical America
Passiflora raddianaIAS-9 Passionflower Brazil
Passiflora stipulateIAS-9 Stinking passionflower China
Pennisetum clandestinumIAS-9 Kikuyu grass Africa
Pereskia grandifloraIAS-9 Rose cactus Mexico and Brazil
Phalaris arundinaceaIAS-6 Reed canary grass North America
Pittosporum undulatumIAS-6 Sweet pittosporum Australia
Polyscias guilfoyleiIAS-9 Geranium aralia Malaysia
Psidium guajavaIAS-6 Common guava Tropical America
Solanum viarumIAS-6 Tropical soda apple Brazil and Argentina
Thauja orientalisIAS-8 White-Cedar China and Korea
Source: www.ncbi.org.in

including Mexico and the Caribbean and Europe. Around Chitala ornate, Chromolaena odorata, Cirsium vulgare,
43 species of IAS are recorded from protected areas of Asia Clerodendron viscosum, Clidemia hirta, Dioscorea
(https://www.iucngisd.org/gisd/). These species are Acacia sanibariensis, Egeria densa, Eichhornia crassipes, Elephas
mearnsii, Acacia nilotica, Adhatoda vasica, Ageratum maximus, Eupatorium sp., Imperata cylindrica, Lantana
conizoides, Annona glabra, Aulacaspis yasumatsui, Axis camara, Micania micrantha, Mikania sp., Mimosa
axis, Bubalus bubalis, Cervus timorensis, Cervus unicolor, diplotricha, Mimosa invisa, Mimosa pigra, Mimosa pudica,
14 Forest Invasive Species and Their Management 319

Table 14.2 Alien invasive fauna

Scientific name Common name Origin
Achatina fulicaIAS-3 Giant African land snail Africa
Amblygaster leiogasterIAS-3 Smooth-belly Sardinella Central Pacific
Anoplolepsis gracilipesIAS-6 Yellow crazy ant West Africa
Argulus foliacecusIAS-3 Common fish louse Bangladesh
Aristichthys nobolisIAS-2 Big head carp Siberia
Balanus amphitrite hawaiiensisIAS-7 Barnacles Malay Archipelago and Persian Gulf
Balanus amphitrite var. stutsburiIAS-7 Striped barnacle Africa
Barbonymus gonionotusIAS-2 Silver barb Thailand, Myanmar
Barentsia ramoseIAS-7 Ramos Pacific, California, Belgium
Carassius auratusIAS-2 Goldfish North America
Carassius auratus auratusIAS-2 Edible goldfish China
Chimaera monostrosaIAS-3 Chimera Japan
Cilicaea lateraillieIAS-7 Isopod Indonesia, Philippines
Clarias gariepinusIAS-2 Catfish Africa
Cookeolus boopsIAS-3 Glasseye snapper Atlantic
Ctenopharyngodon idellusIAS-2 Grass carp China
Cyprinus carpioIAS-6 European carp Western Asia
Cyprinus carpio carpioIAS-2 Common carp Europe
Dinematichthys iluocoeteoidesIAS-3 Yellow cuskeel South America
Euglandina roseaIAS-6 Rosy wolfsnail Latin America
Eusynstyela tinctaIAS-7 Ascidian Atlantic, Africa, Sri Lanka
Gambusia affinisIAS-2 Mosquitofish Gulf of Mexico
Gambusia holobrookiIAS-2 Mosquitofish South-eastern America
Heptranchias perloIAS-3 Sharpnose sevengill shark Atlantic ocean
Hypophthalmichtys molitrixIAS-2 Silver carp America
Icerya purchasiIAS-10 Cottony cushion scale Australia
Lyrodus medilobataIAS-7 Wood borer New Zealand, Hawaiian islands
Macrorhamphosodes platycheilusIAS-3 Trumpetsnout spikefish Africa
Mercierella enigmataIAS-7 Hydroid Australia
MytilopsissalleiIAS-7 Black striped mussel Atlantic Ocean
Notorynchus cepedianusIAS-3 Broadnose sevengill shark Atlantic Ocean
Oncorhynchus mykissIAS-2 Rainbow trout Alaska
Oreochromis mossambicusIAS-2 Mozambique tilapia Africa
Oreochromis mossambicusIAS-3 Mozambique tilapia Africa
Oreochromis niloticus niloticusIAS-2 Nile tilapia Africa
Osphronemus goramyIAS-2 Giant gourami Java, Sumatra
Phallusia nigraIAS-7 Black sea squirt Bermuda, Brazil
Poecilia reticulateIAS-2 Guppy West Indies and South America
Rattus exulansIAS-6 Polynesian rat Indonesia
Rhiniodon typusIAS-3 Giant whale shark Atlantic ocean
Salmo trutta farioIAS-2 Brown trout Europe and Asia
Salmo trutta truttaIAS-2 Brown trout North America
Salvelinus fontinalisIAS-2 Brook trout North America
Solenopsis geminataIAS-6 Tropical fire ant Central America
Styela bicolorIAS-7 Ascidian Australia
Tinca tincaIAS-2 Tench Canada
Torpedo fairchildiIAS-3 Electricray New Zealand
Torpedo fuscomaculataIAS-3 Black-spotted torpedo Madagascar
Torpedo macneilliIAS-3 Shorttail torpedo Australia
Urotrygon daviesiIAS-3 Giant stingarees South America
Source: www.ncbi.org.in
320 N. Roychoudhury

Muntiacus muntjak, Najas marinus, Nelumbo nucifera,

Oncorhynchos mykiss, Pomacea sp., Opuntia dillennii,
Parthenium hysterophorus, Procyon lotor, Prosopis
juliflora, Salvinia molesta, Salvinia sp., Spartina sp., Sus
scrofa, Tiliacora acuminata and Ulex europaeus.
In India, invasive plant species in protected areas have
given very little attention until recently. This is possibly due
to main emphasis on wildlife protection, rather than on con-
servation of biodiversity and ecosystem functioning.
Hiremath and Sundaram (2013) have reported 20 invasive
alien forest plant species found in Indian protected areas,
such as Acacia mearnsii, Ageratina spp., Ageratum
conyzoides, Ageratum houstonianum, Chromolaena odorata,
Coffea Arabica, Coffea canephora, Cytisus scoparius, Hyptis
suaveolens, Ipomoea carnea, Kappaphycus alvarezii, Lan-
tana camara, Merremia peltata, Mikania micrantha, Mimosa
invisa, Opuntia stricta, Parthenium hysterophorus, Polygo-
num polystachyum, Prosopis juliflora and Ulex europaeus.
FIS are directly related to forestry. Many of the plant and
insect species deliberately introduced in different countries
and have become main threats to the forest biodiversity.
Goyal (2005) has suggested that due to the importance of Fig. 14.1 Podina ghas, Lantana camara
FIS, re-orienting the research priorities and strengthening of
forestry research organizations is required. and 9 species belong to insects (Table 14.5). Many FIS like
Due to serious threat of FIS to forestry, the Asia Pacific Lantana and Parthenium are present and invading the forest
Forestry Commission (APFC) has formally launched ‘Asia areas (Roychoudhury and Sharma 2013; Roychoudhury et al.
Pacific Forest Invasive Species Network’ (APFISN) at the 2019). Shukla et al. (2009) have published a documentary list
20th session of the APFC held at Nadi, Fiji, from April of 106 invasive alien plant species belonging to 77 genera,
17–21, 2004 with the following objectives: spread over 36 families, representing 10.48% of the flora in
Achanakmar-Amarkantak biosphere reserve, located in
• Among the member countries, mutual sharing of informa- Madhya Pradesh and Chhattisgarh.
tion on forest invasive species is necessary.
• Research, education and training opportunities need to be
created to facilitate access to expertise. 14.3.2 Effects of Forest Invasive Species
• Research and management of FIS is necessary to in Forestry
strengthen capacities of the member countries.
• Coordination and cooperation among the member Due to invasions of invasive species, forest can be seriously
countries needs to be inceased and development of affected. Some exotic forestry flora that were planted for
regional strategies for FIS is necessary. economic reasons have become invasive. Alien tree species
• Awareness programme is necessary on FIS as an impor- have long been introduced intentionally in several countries
tant issue throughout the Asia and Pacific region. for commercial forestry, erosion control or landscaping. Salt
cedar, Tamarix pentandra was collected from central Asia to
the south-west United States to control erosion along river
14.3.1 Occurrence of Forest Invasive Species in banks. Similarly, Lantana camara was introduced long ago
India in India for ornamental purposes which have at present
reached unmanageable proportions. The entry of alien inva-
About 48 alien FIS have been identified (Figs. 14.1, 14.2 and sive insect species of eucalyptus, Eucalyptus spp. has created
14.3) by the scientists of Indian Council of Forestry Research significant trouble in nursery stage and Australian melaleuca,
and Education (ICFRE), Dehradun, in different areas of the Melaleuca quinquenervia, which can be particularly harmful
country, which are serious threat to the natural forest cover in context to ecology because its leaf litter secretes chemicals
(Anon 2005a) (https://apfisn.net/wp-content/uploads/2018/ that do not allow other species to grow.
07/India.pdf). Out of the identified 48 FIS, 29 species belong During the year 2002, an alien forest invasive insect
to plants (Table 14.3), 10 species belong to fungi (Table 14.4) species called blue gum chalcid wasp, Leptocybe invasa
14 Forest Invasive Species and Their Management 321

Fig. 14.2 Vilayati babool,

Prosopis juliflora

Fig. 14.3 Invasion of Amarbel, Cuscuta reflexa on Ziziphus mauritiana at Maharajpur Forest Range, Mandla Forest Division, Madhya Pradesh
322 N. Roychoudhury

Table 14.3 Forest invasive plants and weeds species

Scientific name Common name Origin
Acacia farnesiana Babool Australia
Acacia mearnsii Black wattle Mexico
Ageratina adenophora Crofton weed Mexico
Ageratum conyzoides Podina ghas Tropical America
Ageratum houstonianum Podina ghas Tropical America
Alternanthera philoxeroides Alligator weed Indonesia and Burma
Argemone mexicana Mexican poppy Central and tropical America
Chromolaena odorata Communist pacha South and Central America
Cytisus scoparius Yellow broom Europe
Eichornia crassipes Water hyacinth South America
Eupatorium odoratum Siam weed Central and South America
Galinsoga parviflora Yellow weed Neotropical
Imperata cylindrical Thatch grass Philippines
Ipomea carnea Behaya South America
Ipomea fistulosa Besharam Tropical America
Lantana camera Lantana Tropical America
Leucaena leucocephala Subabul Maxico
Mikania micrantha Silver bullet Neotropical
Mimosa pigra – Mexico
Parthenium hysterophorus Congress grass Tropical America
Prosopis chilensis Vilayati kikkar South and Central America
Prosopis juliflora Vilayati babool South America
Salvinia molesta – South America
Sida acuta Snake’s tongue Pantropical
Sida orientalis Paroquet bur Pantropical
Solanum eleagnifolium Silver leaf South America
Solanum viarum – South America
Tridax procumbens – Tropical America
Ulex europaeus Gorse Europe
Source: Anon (2005a)

Table 14.4 Forest invasive fungi species

Scientific name Common name Origin
Cercospora pinidensiflorae Needle cast of chir pines Japan
Cryphonectria cubensis Stem canker Cuba
Diplodia pinea Whorl canker South Africa
Dothistroma pini Red band USSR
Fusarium moniliforme – Japan
Lophodermium pinastri Needle cast Mexico
Monochaetia unicornis Canker of cupresses USA
Oidium heveae – Brazil
Peniophora gigantean – New Zealand
Pseudoperonospora cubensis – Cuba
Source: Anon (2005a)

Fisher & LaSalle (Hymenoptera: Chalcidoidea: Eulophidae), this alien forest invasive species in forest nurseries of central
has been reported from coastal Tamil Nadu, which is a new India (Madhya Pradesh, Chhattisgarh and Maharashtra) dur-
insect genus of minute wasp, solely responsible for gall ing the month of April–May, 2007 and subsequently to
formation in eucalyptus (Anon 2007b; Jacob et al. 2007). young plantations of eucalyptus that caused serious damage
The epidemic infestation of this exotic pest in peninsular like epidemic in large scale (Roychoudhury 2013, 2016a;
India has completely damaged the vast areas of this potential Roychoudhury et al. 2016). Presently, this alien forest inva-
crop (Jacob 2009). Roychoudhury et al. (2007) have noticed sive insect species is inflicting eucalyptus in large scale all
14 Forest Invasive Species and Their Management 323

Table 14.5 Forest invasive insect species

Scientific name Common name Origin
Aleurodicus dispersus Spiraling white fly Central America
Anoplolepis gracilipes Yellow crazy ant West Africa
Heteropsylla cubana Jumping louse Central and South America
Icerya purchasi Cottny cushion scale Australia
Pineus laevis Adalgid Europe
Quadraspidiotus perniciosus San Jose scale China
Solenopsis geminata Fire ant Central America
Teleonemia scrupulosa Lantana lace bug Mexico
Leptocybe invasa Blue gum wasp Australia
Source: Anon (2005a)

over the country (https://www.cabi.org/isc/datasheet/ re-vegetation, early observation and removal, survey of inva-
108923#tosummaryOfInvasiveness). Inventory of this insect sive plant, include invasive plant management strategy in
has been prepared (Table 14.6). planning phase, education and awareness.
FIS can replace native plants, eliminate food and forest
area for wildlife and warn rare plant and animal species.
These species can alter the functions of ecosystem and 14.3.5 Current Status of Forest Invasive Species
increase loss in forestry and increase costs of natural resource
management. At present there is no systematic national level initiative on
FIS create a danger to the biological diversity and other techniques to be employed to monitor or control FIS. Most of
human enterprise and human health. Some FIS are growing the threats are dealt at the local/district level by the local
successfully in India to utilize for various purposes, such as governments. Likewise, the cost of preventing the invasion
medicine, furniture and composting. of FIS and the damages in economic terms needs to be
evaluated.

14.3.3 Forest Invasive Species and Forest Cover

14.3.6 Area Infested by Invasive Weeds
The total forest cover and total forest and tree area of the
country as per assessment of the year 2019 are 712,249 and Invasions of invasive species are represented by the alien
807,276 km2 constituting 21.67% and 24.56% respectively weeds entered accidentally or deliberately outside their native
of the area of the country (Table 14.7) (Anon 2019). Of this, ranges. For example, introduction of Parthenium
99,278 km2 (3.02%) is very dense forest, 308,472 km2 hysterophorus, an invasive weed of North American origin,
(9.38%) is moderately dense forest, while 304,499 km2 invaded 14.25 million hectares of farm land alone in India.
(9.26%) is open forest cover. The scrub forest accounts for Similarly, Prosopis juliflora infested 1.8% in India. The
46,297 km2 (1.41%). world’s potential 100 invasive species include Lantana
Many of the alien FIS especially weeds require light for camara, Parthenium hysterophorus, Mikania micrantha and
vigorous growth and cannot penetrate undisturbed natural Chromolaena odorata. All these species exist over a large
forest areas. Many forests in India remain intact, much of area across continents. L. camara is an alarming invasive
this is now exploited to some extent and could be invaded by species in forest ecosystems of India. Out of 712,249 km2
alien invasive weeds. Over 42.75% of the forest cover of forest area in India, 20.04% come under the protected areas
India now only has a crown cover between 10% and 40%. network of which 24.37% are national parks and 75.59% are
wildlife sanctuaries. These protected areas are mainly wild-
life habitats and include many diverse forest communities.
14.3.4 Prevention of Forest Invasive Species Invasive alien species, such as Lantana and Parthenium,
Introduction have infested many forest areas due to anthropogenic
disturbances such as grazing and deforestation. Many of
The important steps towards prevention of FIS introduction these alien weeds require light for vigorous growth and
are minimum soil disturbance, immediately re-vegetation of cannot penetrate undisturbed natural forest areas.
disturbed areas, use of certified ‘weed free’ seed for
324 N. Roychoudhury

Table 14.6 Inventory of forest invasive species

Inventory Leptocybe invasa Fisher & La Salle (Hymenoptera: Eulophidae) (Mendel et al. 2004)
Common name Blue gum chalcid wasp
Origin and distribution Australia
Distributed to most Mediterranean countries, Africa and Asia, namely Algeria, France, Israel, Italy, Jordan,
Morocco, Portugal, Spain, Turkey, Kenya, Syria, Tanzania, Uganda, Iran, Thailand, Vietnam and India (https://
www.cabi.org/isc/datasheet/108923#tosummaryOfInvasiveness)
Associates Eucalyptus spp.
Pathways of spread Movement of host plants for planting can move the pest over long distances (Nyeko et al. 2007)
Threat levels Severe in nurseries and young plantations (Hesami et al. 2005; Roychoudhury et al. 2016)
Major hosts Eucalyptus species, such as E. botryoides, E. bridgesiana, E. camaldulensis, E. globulus, E. gunnii, E. grandis,
E. saligna, E. maidenii, E. robusta, E. tereticornis and E. viminalis (Anon 2005b)
Management/eradication Selection of resistant species/clones/provenances (Thu et al. 2009; Kulkarni 2010a; Nyeko et al. 2010) and use of
methods potential biopesticides and minimum dose of less hazardous chemical pesticides (Roychoudhury 2013)
Rate of change in the habit Spreading rapidly in the country (Jacob 2009; Roychoudhury 2016a)
under FIS
Additional information This species is commonly known as blue gum chalcid, a new genus of minute wasp, exclusively responsible for
gall formation in different species of Eucalyptus (Mendel et al. 2004)
In India, it was first noticed during the year 2002 from coastal Tamil Nadu and now it has spread over to peninsular
India (Anon 2007b; Jacob et al. 2007)
This alien invasive species has entered Madhya Pradesh of central India and massive infestations of gall maker
observed in nurseries and plantations of Eucalyptus, during the month of May, 2007 (Roychoudhury et al. 2007)
L. invasa causes galls on the mid-ribs, petioles and growing stems of new shoots both in nurseries and young
plantations, including coppice shoots
Studies have been conducted on morphology of gall insect and galls (Roychoudhury and Vaishy 2015),
assessment of damage caused by gall insect in nurseries and plantations (Roychoudhury et al. 2016), development
of galls and its effects on growth of seedlings (Roychoudhury 2018)
Regarding the management aspects, Nyeko et al. (2007) have found that spraying of Dimethoate and Fenkil in
nursery stage is highly effective against L. invasa. Kumari (2009) has reported that among the different
insecticides tested both under nursery and field conditions, Imidacloprid recorded lowest adult emergence
followed by Azadirachtin, Thiamethoxam and Acetamiprid, whereas Dimethoate and Profenophos have no
significant effect in reduction of adult emergence. Spot application of Carbofuran 10 G at 0.5 and 1.0 g per plant at
root zone, foliar spray of Methyl parathion 50 EC (1 mL/L) and Imidacloprid 17.8 SL (0.25 mL/L) have been
found effective in reducing the number of fresh galls per 10 cm twig length and superior to botanicals
(Javaregowda et al. 2010). Treatment of Carbofuran 3 G or Phorate 10 G at 1 g/plant in the soil, 45 days after
transferring the seedlings to polyethylene bags followed by spray application of Dimethoate at 0.03% or
Phosphamidon at 0.04% or Methyl-o-demeton at 0.025% or Acephate at 0.075% at 15 days interval starting after
1 month of granular application could be the effective strategy to check the infestation by the gall insect in
eucalyptus nursery (Jhala et al. 2010). Kulkarni (2010b) has reported that the neonicotinoids, Thiacloprid 21.7%
SL and Imidacloprid 17.8% SL are effective in reducing the gall development and enhance plant growth by
reducing the adult emergence and oviposition
Recently, an attempt has been made to examine the response of biopesticide, Spinosad 45% SC and chemical
pesticides, Acetamiprid 20% SP, Dichlorvos 76% EC, Dimethoate 30% EC, Imidacloprid 17.8% SL and
Monocrotophos 36% SL, against gall insect in nursery stage (Roychoudhury 2013). Results revealed that to
combat gall wasp, spraying of biopesticide and chemical pesticides on seedlings of eucalyptus at the rate 0.05%
for 6 months at 15 days interval, significantly ( p > 0.05 to p < 0.01) increased the growth of seedlings and
reduced the gall formation (Roychoudhury 2016b, 2017; Roychoudhury and Mishra 2018). The results suggest
that spraying on seedlings needs to be started before reaching 1 month of age for management of gall wasp to save
eucalyptus in nursery stage. On the basis of seedling growth and reduction in gall production, pesticides used in
the present work could be arranged in descending order:
Monocrotophos = Imidacloprid > Acetamiprid > Dimethoate = Dichlorvos = Spinosad

14.3.7 Forest Invasive Weeds in India is believed to have been introduced into the country through
large scale wheat imports from the United States and Mexico
A vast majority of the weeds found in India too are exotic in in the 1950s. In the recent past, Chromolaena odorata (syn.
origin. Some weeds such as Lantana camara and Eichhormia Eupatorium odoratum) has become a serious menace in
crassipes were deliberately and more and more have got forest and plantation crops in Goa, Karnataka, Tamil Nadu
entry into the country accidentally. The most important and north-eastern states. It has also become a problem in
ones are being Argemone mexicana, Salvinia molesta, Sola- Himachal Pradesh where this weed along with Ageratum
num elaeagnifolium, Tridax procumbens, etc. The most con- houstonianum is squeezing the already limited grasslands.
spicuous one, however, is Parthenium hysterophorus which Similarly, another invasive weed, Mikania micrantha,
14 Forest Invasive Species and Their Management 325

Table 14.7 Status of forest and tree cover of India

Class Area (km2) Geographical area (%)
Forest cover
Very dense forest (>70%) 99,278 3.02
Moderately dense forest (40–70%) 308,472 9.38
Open forest (10–40%) 304,499 9.26
Total forest covera 712,249 21.67
Tree cover 95,027 2.89
Total forest and tree cover 807,276 24.56
Scrub (<10%) 46,297 1.41
Non-forestb 2,528,923 76.92
Total geographic area 3,287,469 100.00
Source: Anon (2019)
a
Includes 4975 km2 under mangroves cover
b
Non-forest includes tree cover (percentage rounded off)

Fig. 14.4 Invasion of Mimosa

rubicaulis in Kaziranga National
Park, Assam

popularly known as ‘Mile-a-minute’, has generated serious

problem in most of the plantation crops in Kerala. The bam- 14.4 Prevention and Management of Forest
boo plantations are fast disappearing being unable to with- Invasive Weeds
stand the competition from Mikania. All the vegetation,
including tall trees of north-eastern states of India is covered 14.4.1 Prevention
with a thick canopy of Mikania. Most recently, Mimosa
rubicaulis, a spiny weed has badly affected the world famous The most cost effective line of defence against invasive alien
Kaziranga National Park in Assam state. It is seriously dam- weeds is the prevention. To prevent invasive weeds, some
aging the local vegetation of several herbivorous animals methods are found effective, which do not allow to establish
inhabiting the park, including the endangered single-horned in an area where they are non-native. The first step in preven-
rhinoceros (Fig. 14.4). Invasion of Lantana in teak forests is tion is identification of the alien species and listing them
very common (Fig. 14.5), whereas invasion of Parthenium under different categories or groups based on their invasive
and Chromolaena is frequently noticed in sal forests of potential (Wittenberg 2000). Such lists can include:
central India (Figs. 14.6 and 14.7).
326 N. Roychoudhury

Fig. 14.5 Invasion of Lantana camera in teak forests of Madhya Pradesh

Black lists: This includes species with highly destructive and Risk analysis method comprises of risk assessment, risk
their introduction should be strictly prohibited. management and risk communication. Risk analysis is
White lists: This list includes species with such a low proba- necessary not only for the economic implications but
bility of invasion and be allowed to introduce. also environmental issues concerning the introductions.
Grey lists: This includes the great majority of species whose The risk assessment method begins with the proper iden-
invasiveness is unknown. tification of candidate invasive species and its pathways.
The successful entry can be assessed through review of
Major tools to prevent invasions are: scientific literature, opinion of experts and qualitative and
quantitative analysis. Some other factors can also be con-
14.4.1.1 Interception sidered such as invasiveness, way of entry, establishment,
Implementation of rules and regulations at the border is rate of spread and economic and environmental impact.
necessary for risk analysis of species to be introduced. The Public education: Public education is extremely important
tools useful in this process are: and absolutely necessary for prohibition and control of
harmful exotic flora and fauna. Public consciousness and
Quarantine laws and regulations and prevention measures support can greatly increase the success to protect and
and their enforcement: International trade rules need to save biodiversity. Travelers do not have any knowledge
be establish for regulatory quarantine (sanitary and of laws and regulations about invasive flora and fauna to
phytosanitary) measures to protect plants, animals and prevent entry. Printed material like bulletin, brochure,
humans from damage due to pests and diseases. Laws poster and leaflet needs to be used for public awareness
need to be strictly enforced. Many countries have programme.
established quarantine laws for dealing with import of Treatment: Any suspected goods and packaging material
pest species of agriculture and forestry. infested with harmful non-indigenous organisms must be
Risk assessment/risk analysis and environmental impact treated with ecofriendly way. Treatment should be done
assessment: International procedures and instruments are with environmentally safe pesticides applications, such as
available to measure pest and pathogen risk analysis. The fumigation, biopesticde application, water immersion,
risk assessment method is used for rating and ranking of heat and cold treatment, pressure or irradiation.
invasive species. Early detection and rapid response: ‘Weeds won’t wait’ is a
truism. It is very difficult to stop the entry of harmful
14 Forest Invasive Species and Their Management 327

Fig. 14.6 Invasion of Parthenium hysterophorus in core zone of Achanakmar-Amarkantak biosphere reserve, Chhattisgarh

exotic species. Only quick identification of invasive spe- exotic species of different taxonomic groups. Trainings
cies is must to eradicate before they become spread widely can be imparted for farmers, forestry field staff, land
and control becomes difficult technically. This early surveyors, tour operators and the concerned public to
detection of exotic species is possible by regular periodi- learn about climate and well acquainted about the effects
cal surveys and carry out this surveys by well trained of harmful exotic. This education programme can include
personnel are necessary who are able to identify harmful media promotion, displays and personal interactions.
328 N. Roychoudhury

Fig. 14.7 Invasion of Chromolaena odorata in buffer zone of Achanakmar-Amarkantak biosphere reserve, Madhya Pradesh

14.4.2 Management chemical and biopesticides; release of selective biological

control agents (such as host-specific predator/herbivore
The control of weeds involves four main strategies such as organisms); interference with reproduction (e.g. pheromone-
eradication, containment, control and mitigation. baited traps and release of sterile males) and habitat manage-
ment (e.g. prescribed burning and grazing) can be used.
Eradication: Eradication is the complete removal of weeds in Sometimes integrated methods are used within an overall
an area. Sometimes prevention technique is not effective strategy. However, success mainly depends on the aware-
then eradication strategy is selected as feasible technique. ness, participation of public and all stakeholders to a large
Containment: Containment is a specific form of manage- extent.
ment. The main aim is to control the spread of an alien
species in a population of geographical range. The
methods used for containment are similar to those 14.4.3 Consequences of Factors on Dynamics
described for prevention, eradication and control. and Long-Term Ecological Impact
Control: Control aims for the long-term reduction in popula- on Forest Environmental Habitats
tion density and abundance of exotic species.
Mitigation: If eradication, containment and control are not Undisturbed natural forest with closed canopy: Alien weeds
successful in reducing an invasive alien weed, the last are likely to be unimportant regionally as they cannot
resort is to ‘live with’ it in the best way and mitigate compete with native vegetation.
impacts on biodiversity. Mitigation is most commonly Natural forests, open canopy and forests with short fallow
used in the preservation and protection of species becom- cycles: Alien weeds are likely to increase their ranges, if
ing extinct. fallows are left for a longer period.
Intensively exploited forest habitats: In these circumstances,
Regarding the effective control and management of alien there is likely to be extensive range expansion of the
invasive weeds, cultural methods (e.g. crop rotation, revege- weeds. This may either be through human aided dispersal
tation, grazing and water level manipulation); physical and superior competitive ability and/or lack of co-evolved
methods (e.g. fences, equipment sanitation and electric dis- natural enemies. The alien invasive weeds provide soil
persal barriers); removal (e.g. hand-removal and mechanical stabilization and cover for some wildlife like tigers.
harvesting), the judicious use of environmentally safe
14 Forest Invasive Species and Their Management 329

Alien invasive species also contribute a large fraction of needs to be evaluated and needs for its future use carefully
biomass of early succession communities after shifting assessed within the framework of IWM.
agriculture in northeastern India and, hence, reducing Techniques of cultural control will be most appropriate for
losses of nutrients in-run-off. However, almost complete agricultural areas and local communities. However, given
monopolization of the habitat and a severe reduction in that the weeds mainly affect natural habitats and plantations,
biodiversity may not be able to recover. the basis of the IWM project needs to focus on low inputs and
Plantations and agroforestry systems: As mentioned before, sustainable solutions. Thus, biocontrol techniques by using
these are similar to the category of intensively exploited biopesticides and natural enemies (parasitoids and predators)
forest habitats. The evidence suggests that the alien weeds can provide the best core component of an IWM project.
are expanding their range within these systems. There is a Studies on the area of origin of the invasive weed populations
particular problem of the weed being spread by local may help facilitate the location of host-specific co-evolved
communities. The cost there is on keeping the weeds natural enemies.
below their economic thresholds (by weeding or other
means).
14.5 Future Scope

14.4.4 Implications for Management About 190 IAS including FIS are found in India. Reddy et al.
(2008) have suggested that observation and surveillance of
As the weed problem is complex and in view of the evidence invasion can be done through seasonal species inventory
for the likely range expansions and long-term negative (qualitative research) and phytosociological studies through
impacts, management strategies need to be urgently mapping, GPS, remote sensing and digital data (quantitative
developed. research). All these studies involve active links between
The unwanted plants or weeds may consist of several taxonomists, ecologists and forest managers to monitor and
subspecies/biotypes and these are invasive across a range of control.
forest types, plantations and agricultural land throughout the Management of IAS needs good planning, understanding,
region. This factor, together with a general lack of involve- correct methods, institutional and stakeholder supports, mon-
ment of communities in tackling the problem, is mostly the itoring, evaluation, feedback and review as necessary. Adap-
reason why previous efforts focused on a single-component tive management needs to be applied, which is very
solution for control have either achieved only partial success important to control IAS (Wittenberg and Cock 2001; Tu
at a local scale or failed altogether. A management strategy et al. 2001). The adaptive management for control of IAS
for these weeds must be based on a thorough understanding as suggested by Tu et al. (2001) is mentioned hereunder. The
of these problems. Thus, some recent calls for action have same approach can be applied to all other taxa of IAS (Anon
emphasized for the development of an integrated weed man- 2007a).
agement (IWM) project. An IWM project also needs to be
community based and the solutions integrated into the overall 1. Establishment of conservation targets and goals.
joint forest management process, including forest rejuve- 2. Identification and prioritization of species/infestations that
nation and prevent soil erosion. threaten targets and goals.
Weed impact studies need to focus on effects of the 3. Assessment of control techniques.
weeds on tree and flora regeneration as well as social 4. Development and implementation of weed
problems. Ecological studies also need to identify major management plan.
factors (natural and human) contributing to dispersal, 5. Monitoring and assessment of impact management
colonization and competitive ability. This will help in actions.
predicting further spread of weeds and for the development 6. Review and modify, if necessary.
of new management tactics (e.g. tactics to minimize spread
by humans, encouragement of superior native plant Thus, it is clear that there is an immediate need for docu-
competitors, etc.). mentation, identification through taxonomical studies, prepa-
Various pilot schemes for the cultural control of weeds are ration of inventory of IAS including FIS and their
implemented. Schemes have included green manure and digitalization; generate area/locality wise status information,
composts, bio-gas production and tree planting. These extent of occurrence of FIS and assessment of their impact on
schemes need to be objectively assessed to ascertain devel- population diversity in forest eco-system. National strategy,
opmental potential and particularly adoption. A similar planning, action plan on FIS and compendium of FIS in India
assessment also made of any control measure being used by are necessary to identify all invasive species in the country
communities on a local basis. Any current herbicide use also and their concomitant feasible eco-friendly management and
330 N. Roychoudhury

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neonicotinoids, acetamiprid and imidacloprid against Eucalyptus 2306/scienceasia1513-1874.2009.35.113
gall insect, Leptocybe invasa Fisher & La Salle. Pestology 41:23–32 Tu M, Hurd C, Randall JM (2001) Weed control methods handbook.
Roychoudhury N (2018) Development of galls in Eucalyptus due to The Nature Conservancy. http://tncweeds.ucdavis.edu
infestation of Leptocybe invasa and its effects on growth of Wittenberg R (2000) Best practices for the prevention and management
seedlings. Indian J Forestry 41:79–83 of alien invasive species. Final report of GISP workshop on man-
Roychoudhury N, Mishra RK (2018) Eucalyptus gall insect, Leptocybe agement and early warning systems, Kuala Lumpur, Malayasia,
invasa Fisher & La Salle and its management by bio- and chemical 22–27 Mar 1999
pesticides—an update. Pestology 42:11–22 Wittenberg R, Cock MJW (2001) Invasive alien species: a toolkit of best
Roychoudhury N, Sharma R (2013) Invasive alien species with special prevention and management practices. CAB International,
emphasis on forest invasive species in India. In: Balu A, Jayaraj Wallingford, Oxon
 Wildlife Management
15
Khursheed Ahmad and Amir Bhat

Abstract spans an impressive area of the country’s 173,629.52 km2,

Fundamental to a modern society, the essence of wildlife representing approximately 5.28% total territorial area.
conservation relies in understanding and applying the This expansion demonstrates the continued commitment
principles of scientific wildlife management. A multidis- of legislative governments to conserving its diverse
ciplinary subject, wildlife management encompasses sci- ecosystems and safeguarding the rich biodiversity found
entific interpretation and logical reasoning. It involves within them.
various activities such as monitoring, protection, habitat Advanced technologies including radio telemetry, sat-
restoration, and population control to maintain healthy ellite technology, camera/CCTV trapping, and drones
ecosystems with blending of balancing basic human have emerged as effective alternatives for collecting data
needs and requirements of wildlife. Wildlife conservation on wildlife populations and monitoring. Such Internet-
and management have recently gained prominence along- based technologies present numerous benefits, including
side persistent challenges like climate change, global higher accuracy, reduced costs, and reduced disturbance
warming, and health education. This has resulted in not to animals. As technology continues to evolve, it is
only elevating wildlife as a scientific discipline but has expected more advanced and sophisticated techniques
also attracted students from all backgrounds who are eager will be developed to improve our understanding of wild-
to explore and understand its core principles, practices and life, its populations and their respective habitats. Further-
benefits. Although wildlife management and conservation more, India’s liberalization policies and the advent of the
have roots in ancient and medieval times in India, it gained new millennium opened doors to new avenues, especially
momentum during the British colonial era, which laid the in the IT sector, facilitating the access and exploration of
foundation for scientific management practices for the the digital era in wildlife photography and filming.
conservation. Encouraged by these initial efforts, several Today, climate change and the growing human demand
national and international organizations emerged to con- on freshwater, marine, and terrestrial resources are
serve this invaluable natural resource. intricately linked to the preservation and its management
In the past, studies on wildlife management and con- of important wildlife habitats and their biodiversity. It is
servation were limited, focusing primarily on population projected that one-third of the expected baseline biodiver-
estimation, habitat management and natural history sity will be approximately declined by 2050 through cli-
observations. However, in the mid-twentieth century, mate change. Deforestation and urbanization are two
these studies evolved to include scientific appraisal and significant contributors to species extinction, with an
wildlife legislation, supporting the development and alarming rate of 36 million acres of natural forest being
expansion of protected area networks. The vast areas of destroyed globally each year, as per the latest data from
community reserves, national parks, wildlife sanctuaries organizations like the World Wide Fund for Nature also
and conservation reserves collectively known as protected known as WWF. These human activities have pushed over
areas have experienced considerable progress since 1972. 16,000 species to the edge of extinction. The interaction of
As of January 2023, the protected area network (PAN) humans with wildlife has become increasingly complex
primarily due to human-assisted change in the
K. Ahmad (✉) · A. Bhat environment.
Division of Wildlife Sciences, Sher-e-Kashmir University of Wildlife management, as a permanent conservation
Agricultural Sciences & Technology of Kashmir, Srinagar, Jammu and policy, is essential to ensuring the long-term viability of
Kashmir, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 333
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_15
334 K. Ahmad and A. Bhat

wildlife resources. Different underlying values shape con- 3. Indirect management: Involves altering key components
servation policies, with ecological, economic, and cultural of wildlife habitat, such as vegetation or water sources.
considerations playing key roles. Such ideals can some-
times lead to ethical dilemmas and disagreements, Wildlife management does not fall under the category of a
highlighting the complexity of wildlife management and fundamental science like physics, chemistry, zoology or bot-
the need for careful decision-making. Furthermore, it is any, nor does it align with pure technology as seen in engi-
critical to acknowledge the historical evidence of human neering. Wildlife management draws from these fields and
reliance on animal resources for survival, emphasizing the entails an art that is integrated and used skillfully with logic
interdependence of human and wildlife existence. and scientific interpretation.
Conservation, when applied to natural resources, is
Keywords attributed to Gifford Pinchot, a forester in President Theodore
Roosevelt’s administration. Pinchot rejected terms like “pro-
Wildlife · Territoriality · Home range · Corridor · Wetland
tection” and “preservation,” which, in his view, suggested
keeping natural resources locked and unused. He believed
these terms lacked a description for achieving sustained yield
15.1 Introduction from forests, wildlife, and other resources. Consequently, he
coined the term “conservation” in 1907, drawing from the
The term “wildlife” lacks a universally accepted precise
Latin roots “servare” (to guard) and “con” (together). Presi-
definition. It generally encompasses all living things existing
dent Roosevelt promptly embraced Pinchot’s term, making
outside direct human control. Free ranging animals, particu-
conservation a priority in the subsequent years of forest
larly non-domesticated ones, constituted wildlife in earlier
services.
definitions. In addition to this, wildlife was also referred to
hunting of animals for sport. In recent times, wildlife can be
succinctly defined as “animals, plants, fungi, and living
15.1.1 Importance of Wildlife Management
organisms that dwell an area without the direct intervention
of human beings.” Multiple terminologies are used to address
The current vistas of education and teaching have changed
wildlife such as “wild plants and animals” and “wild living
throughout the globe. This means new dimensions of aca-
resources.” The essence of the term “wildlife” is captured in a
demic exercise has been incorporated to train the next gener-
definition from the inaugural issue of The Journal of Wildlife
ation. Dimensions like change in climate and warming of
Management (1937): “The practical ecology of all vertebrates
globe, health education, wildlife conservation and its man-
and their plant and animal associates.”
agement, policy and governance, etc. are some of the
The term “management” distinctly suggests the exertion
examples that have changed the academic scenario of the
and application of human influence and manipulation. In the
world. This transformation that has placed wildlife conserva-
context of wildlife, management might also be termed as
tion and its management as one of the core focus has indi-
wildlife conservation because in some circumstances, the
rectly raised the scope and potential of wildlife as a science.
best management practices may be to leave wildlife alone.
The attraction toward wildlife, its conservation and man-
Nevertheless, wildlife management is closely connected with
agement have drawn many students of nature as well as
various other disciplines. Among them, forestry, range man-
general public to learn, understand and explore the habits,
agement and park administration are prominent. Therefore
habitats, behavior and other attributes of wildlife. Besides
wildlife management can best be defined through Bolen and
this, wildlife appeals to the people as most popular inquisi-
Robinson (2003) definition which states “ecological knowl-
tiveness science where its exploration is dealt in-depth.
edge on populations of vertebrate animals and their plant and
Planet Earth contains a vast number of animals, plants
animal associates in a manner that strikes a balance between
and other lower strata species. However, majority of them
the needs of those populations and the needs of people.”
are either yet to be identified or those already identified are
Ecological knowledge is applied in three basic management
yet to be subjected to advanced studies which emphasize the
approaches, which serve as types of wildlife management:
importance of wildlife sciences. This approach has largely
gained more importance in a country like India where such
1. Preservation: Permitting nature to unfold naturally with-
studies are scarcely documented. Thus data generation on
out human interference.
wildlife research and focus on its management would add
2. Direct management: Involves actions such as trapping,
enormously to sciences of conservation of wildlife and its
shooting, poisoning, and stocking to control animal
management.
populations.
15 Wildlife Management 335

15.1.2 Scope, Potential of Wildlife Management Natural Resources (IUCN) in 1948 became the first post-war
organization funded by United Nations Educational, Scien-
Among other provisions of 1972 Act of Wildlife Protection tific and Cultural Organization. After its successful establish-
(WPA), application of wildlife management and biological ment, IUCN formed the first fundraising organization, the
principles to maintain sustainable populations of wild fauna International Wildfowl Research Bureau (IWRB) in 1961. In
is envisaged. The application of management principles addition to these, Food and Agricultural Organization (FAO)
envisions the human intervention for resource protection as of the United Nations, Smithsonian Institute and the Conser-
well as livelihood security of the indigenous people. This vation Foundation both in Washington DC and the Fauna
interventional management of wildlife resources vis-à-vis Preservation Society in London were some of the other
livelihood security assumes more importance in Indian con- notable conservation organizations formed in late sixties
text. First, protected area network (PAN) of India is vast and and early seventies. Zoologists Gessellschaft in Frankfurt,
diverse, spread all over its states and union territories. Sec- West Germany, has raised important funds for conservation,
ond, availability of limited expertise and human resource particularly for Africa.
required for maintaining the sustainable population of wild The IUCN is dealing specifically with animals threatened
species and third, enormous requirement of forest resources with extinction, through collection of data on endangered
for populous and diverse population that directly or indirectly species and to initiate action to prevent the extinction of
rely on forests. such species. Maintaining a list of threatened mammals,
In addition to this, recreational values of wildlife that birds, reptiles, amphibians, fishes, etc., called “The Red
drives people in millions to the National Parks and Wildlife Data Book” and conservation expansion has produced posi-
Sanctuaries are contributing to the country’s revenues and tive results throughout the world.
boosting the concepts like ecotourism. Several countries, Wildlife conservation in India has rich history and has
besides India, have interesting wildlife tourist destinations. been treated with cultural reverence. Hindu mythology, reli-
Chardonet et al. (2002) and Chundadwat et al. (2017) have gious scriptures of Islam and Buddhism are some of the
compiled revenue generation contributions of several references which are full of love for wildlife and its conser-
countries and found that ecotourism activities around the vation. The study of wildlife conservation in India may be
wildlife areas have a considerable contribution toward the divided into the following two groups:
overall GDP of countries including Kenya, Tanzania,
South Africa, West and Central African countries, North 1. Pre-Sovereign India
and South American countries, Sri Lanka, Nepal and Italy. 2. Post-Sovereign India

15.2 Brief History of Wildlife Management 15.2.1 Pre-Sovereign India

Up until the 1960s, wildlife management predominantly People in ancient India recognized the animal rights to
focused on game management, animal husbandry and popu- co-exist with humans. Based on Islamic literature, the rever-
lation regulation of birds and mammals hunted for sport. ence of certain animals and plants is highly acknowledged.
While game management still remains a significant aspect Eighth century Sufi saint Aziz-ul Nasafi compares each genus
of wildlife management, professionals now address a broader of plants and animals to verses of Quran. Based on literature
range of wild species and their issues. of Hinduism, the Vedas, Upanishads, and Puranas meticu-
Although the dynamics of wildlife management has lously describe the wildlife. Buddhist literature has numerous
evolved, yet its historical context remains pertinent to both tales and fables such as Buddhist Jataka tales. Wildlife in
its present and future. Wildlife management practices are Ramayana mentions special relation of Ram and Laxman
intertwined within the domains of human ethics, culture, with wild animals, whereas Mahabharata mentions about
diverse perceptions, and relevant legislations. Narration of Rishis and Munis conserving wild fauna such as deer and
wildlife conservation started with understanding and birds around their ashram.
recognizing the role of wild animals in diverse landscapes Wildlife conservation in India dates to the period of
and thus the imperative need to safeguard these endangered Chandragupta Maurya in third century BC with the appoint-
species. These conservation efforts inspired many national ment of head of forest department that had to supervise the
and international organizations primarily established for the game laws laid down by the Arhtashastra of Kautilya. This is
purpose of preserving valuable natural resources. Interna- regarded as the first formal administrative document
tional Council for Bird Preservation (ICBP) was the first outlining the conservation strategies for wildlife.
such organization which was established in 1922. Establish- Ashoka, the famous descendent of Chandragupta Maurya
ment of International Union for Conservation of Nature and further championed the cause of wildlife conservation. His
336 K. Ahmad and A. Bhat

fondness for wildlife, which manifested in art and aesthetics, forests had also become the sites of some academic studies,
as exemplified by the Lion Capital of the Ashoka pillar, in primarily taxonomical in nature, concentrating on the collec-
which four lions were crafted with their back to each other tion and identification of species.
atop the pillar. Ashoka sat up the first concept of wildlife
sanctuaries.
Wildlife resources in India during medieval times espe- 15.2.2 Post-Sovereign India
cially around the Mughal period were vast. Historical data
and records reveal that rhinoceroses were once distributed The unpretentious necessity to protect wildlife across the
across the Gogra River and throughout Peshawar, whereas, national level was realized post the independence of the
wild elephants were abundant in the Karrah region country. Laws pertaining to wildlife conservation in India
(Allahabad). A distinctive form of hunting known as varied from state to state and in 1952, the Indian Wildlife
“Gamargha Hunt” was introduced during the time of Board was established to centralize all the rules and
Emperor Akbar, the grandson of Mughal dynasty’s founder regulations related to wildlife conservation in India. Later in
Babur. The hunt would entail dispatching hundreds of beaters the year 1956, the Board passed a historical declaration that
with drums over a considerable distance to systematically accorded all the game parks the status of a wildlife Sanctuary
drive all the wild animals in the region into a circumscribed or a National Park. Wildlife conservation underwent an
area. After gathering the animals in this manner, the king and imperative shift from being solely the obligation of the
noblemen would then traverse the perimeter of the circle, respective governments and policymakers to becoming a
engaging in the hunt with specialized weapons. During his concern of the general public at large. During the 1970s,
period, wild animals especially tigers and leopards were bred two landmark actions were made that influenced the wildlife
in captivity specifically for hunting purposes in specific conservation for its sustainable future. The first being the
menageries in Fatehpur and Agra. Stringent laws forbidding implementation of the stringent Wildlife Protection Act in
the hunting of wild animals for sports were implemented 1972, and the other was the initiation of Project Tiger in
during the reign of Jahangir, the son and successor of 1973, which became the largest wildlife conservation project
Akbar. Emperor’s professionals, however, were granted spe- of its time.
cial permission to hunt the wild animals involved in man– Besides the mainstream legislative measures, wildlife con-
animal conflicts. Jahangir successfully bred hunting leopards servation also gained pace through large public movements.
and cheetahs in captivity, a significant achievement consider- For their simplicity, non-violent approach and positive results,
ing these species had nearly faced extinction during the reign Chipko Andolan movement led by Sundar Lal Bahuguna,
of Akbar. This, however, didn’t deter the royal hunting by the along with the wildlife conservation movement of the Bishnois
ruling family which continued without any interruption. This in Rajasthan, gained worldwide recognition. To this day, they
was evident in Jahangir’s own memoir where the emperor actively participate in the ongoing protection particularly of
himself documented hunting of 17,167 big and small game blackbucks and other wildlife present in their region. Wide-
wild animals during a span of 36 years. spread application of technology and science prevalent since
Wildlife began to decline around the period of Jahangir’s 1990s has further supplemented the conservation efforts. Com-
death in 1627, same period when the British Empire was bined technological approaches including wildlife forensics,
laying the foundation to establish itself in India. Almost all telemetry, remote sensing techniques, and geographic infor-
the laws framed to safeguard wildlife were overlooked. mation systems were all integrated into the practice of wildlife
Shikars (hunting) were arranged to symbolize chivalry, brav- conservation in India. Conservation has transformed from an
ery and a particular status symbol among the British. Even a informal practice offering arbitrary protection to wildlife to its
regiment of Shikaris (hunters) comprising mainly of local current form as a disciplined art and science. This is prime time
tribes knowledgeable about the forests were maintained. for evolving and expanding conservation beyond its current
This resulted in drastic decline of numerous wild animals boundaries.
who were driven towards their final existing refuge,
exemplified by the sole surviving population of Asiatic
lions in Gujarat and the one-horned rhinoceros in North- 15.2.3 Evolution of Wildlife Management
East India. Under these circumstances, India’s first National Studies
Park, the Hailey National Park (now Jim Corbett National
Park), was established in 1936, largely owing to the Early records containing diversity information about wildlife
endeavors of Jim Corbett, a former hunter turned conserva- worldwide were first reported by Captain John Smith
tionist and naturalist. Historian Michael Lewis, in his work between 1580 and 1631 AD. However, such reports along
“Inventing Global Ecology,” points out that by the time of with other during the first three centuries of wildlife studies
initial decades of twentieth century, under British rule, Indian failed the enumeration of wildlife data. Although subsistence
15 Wildlife Management 337

was blamed to be sole cause of wildlife killing, sport killing other centenary-celebration events, Indira Gandhi, Late
by colonists especially the wealthy among them also led to Prime Minister of India, released “A Pictorial Guide to the
the cause of wildlife studies during that era. Birds of the Indian Subcontinent” written by two doyens,
In 1600s William Bradford, Governor of Plymouth Dr. Sálim Ali and Dr. S. Dillon Ripley. Birdwatchers and
recognized the need of productive habitat to stop the decline ornithologists long used to James Lee Peter’s classification
of waterfowl population. In 1710, Massachusetts banned the (used with some modification by Ali and Ripley in the
activities that led to disturbance of the habitat conservation Handbook) suddenly found an entirely new bird species
and prohibited the practice of fire lighting after studying its sequence largely based on C.G. Sibleys’s and B.L. Monroe
impact on the bird conservation. Jr.’s work on Distribution and Taxonomy of Birds of the
In 1800s John James Audubon studied the feeding habits World, first published in 1990. The taxonomic sequence
of ducks and swans along the shores of river banks in the was based on genetics and other objective methods of assess-
USA. Increasing human population during the nineteenth ment. Several English bird names were also changed. Post-
century led to the expansion of agriculture which in turn 1990s, global travel became more frequent, and it was felt
impacted the breeding grounds of important bird species. that birders needed greater standardization of common
For example, breeding ground spreading over 70 acres was names. Many birds were, after all, found in multiple
drained due to Swamp Act of 1849. Later, timber cutting and countries, but were known by different English names.
illegal wildlife trade activities were studied to generate data Understandably, this created confusion with itinerant, ama-
on wildlife losses. Aldo Leopold laid the foundation for teur birdwatchers. It eventually became a necessity to refer to
wildlife management in the Southwest Region, from them based on their distribution. India’s liberalization policy
1909 to 1924. of the 1990s and the beginning of a new millennium saw a
In the mid-1930s, new regulations, organizations, and boom in wealth, particularly within the IT sector, and access
surveys were instituted to safeguard, assist, and assess wild- to photography equipment grew rapidly.
life populations. Airborne assessments and documentation of
wildlife population also began around the same period. Not-
withstanding the conservation efforts of wildlife in early 15.2.4 Values of Wildlife
twentieth century, it was after 1940s that federal and state
agencies initiated scientific wildlife management and conser- The values of wildlife are diverse and sufficient enough to
vation in a bid to support the wildlife. Past emphasis of justify wildlife management. Although several classifications
wildlife investigations by The United States Department of exist on the values of wildlife, still many authors point out
Agriculture (USDA) focused on the adverse impact of wild- discrepancies or ignorance by international community in
life on human population. This led to the concept of human– classifying such values. Since wildlife possesses both direct
animal conflict. (consumptive or productive) or indirect (nonconsumptive or
Post-1950s, legislation on wildlife management and its existence) values, here they are classified in positive and
conservation focused on the sustained use of wildlife with negative values.
strong emphasis on protected area network. By 1990s, con-
cept on generating revenue through wildlife tourism popu-
larly called as “Ecotourism” was incorporated by many 15.2.5 Positive Values
developed nations in a bid to boost the economy and create
awareness among the local populations. 15.2.5.1 Recreational
The first scientific book on Indian birds was written by Recreational values including activities in national parks and
T.C. Jerdon, a British botanist, zoologist and physician, in sanctuaries attract large number of people. Although it
1862–1864 in two volumes, covering over 1000 species. In benefits the society, such values are hard to quantify. This
addition, T.C. Jerdon was also involved in documenting of form of wildlife value generates the tourism flow commonly
The Fauna of British India, including Ceylon and Burma termed as ecotourism. Countries like the USA, Canada,
series. For the next 100 years, many books and research Kenya, Tanzania, South Africa, Latin countries, India,
papers were written, mainly describing new species and Sri-Lanka, and Italy are some of the notable ecotourism
their distribution, culminating in author Ali and Ripley’s destinations.
voluminous Handbook of the Birds of India and Pakistan, In India, wildlife tourism is increasing and has generally
the first volume appearing in 1968 and the last in 1974. The spread across various national parks, sanctuaries, and tiger
year 1983 marked a crucial time for the Indian conservation reserves. The common tourist flux destinations include
movement. It was the year the Bombay Natural History Ranthambore, Sariska, Periyar, and Corbett Tiger Reserves.
Society (BNHS) celebrated its 100th birthday. Along with
338 K. Ahmad and A. Bhat

15.2.5.2 Aesthetic 15.2.6 Negative Values

Despite the complexity in calculating or comparing their
values, important intangible services have a significant role 15.2.6.1 Accidents
in wildlife conservation. The pure pleasure in watching the Encounters between large mammals and human beings lead
animals in wild, natural beauties, and artistic appreciation are to the damage to both humans and wild animals involved.
popular among general masses and also serve as an important Top carnivores, elephants, guars, bisons, bears threaten
component with regard to wildlife conservation. human lives and damage to the property. However, such
conflicts are consequence of humans penetrating into wildlife
15.2.5.3 Scientific and Educational Values habitats leading to the intrusion among them. Another acci-
The importance of wildlife in teaching and learning lies in the dental damage is the flock of birds that cause bird hit
fact that among the young generations wildlife holds a unique accidents as they get sucked into the jet engines causing
attraction. Thus, when this attraction is blended with scien- fatality to both humans as well as birds.
tific knowledge, attributes, habits, behavior, and habitats of
wildlife, it yields more pronounced impact on the scope and 15.2.6.2 Livestock and Crop Damage
potential of wildlife sciences. Damage to agricultural and horticultural fields in India is not
uncommon. Several wild animals including nilgai, black-
15.2.5.4 Ecological Values buck, wild boar, birds, rodents, and porcupine have caused
Any extermination of wild animals from the ecosystem can immense considerable damage. These damages have led
result in irreversible ecological change which may spoil or some states to categorize such animals as vermin’s whose
disturb the natural functioning. The values like “keystone eradication is permitted in the larger interest of the society.
species” which indicate the profound influence of any living
species on the ecosystem, underline the importance of wild- 15.2.6.3 Disease Reservoirs
life to overall biological functioning of planet Earth. For Wild animals cause a serious threat to human survival and
example, in Sariska Tiger Reserve, leopards occupied the general health because several animals act as reservoirs of
top predatory niche modifying the anti-predator strategies deadly diseases and transmit them to human population.
among wild ungulates and resulting in extinction of tigers. Diseases like rabies, anthrax, foot and mouth, Covid-19 and
Ebola are transmitted to humans by animals. Periodic surveil-
15.2.5.5 Utilitarian Values lance, disease surveys, and timely precautions can, however,
This value is also considered as a practical value of wildlife. prevent damage by such diseases. Number of incidences are
The importance of wild animals in bio medical research is available where a livestock disease has been transmitted to
common. Animals like Rhesus monkey (Macaca mulatta) wild animals and threaten their population. For example in
and Chimpanzee (Pan troglodytes) are usually used in such Gir National Park, Asiatic lions were badly affected by
research. Susceptibility of any wild animal is also considered canine distemper virus disease and reduced their population
important like long-nosed Armadillo (Dasypus drastically.
novemcinctus) which is highly and only susceptible animal
to leprosy disease. Venomous snakes also help in making of
antivenins that are important for curing snake bites. 15.3 Management of Basic Requirements
of Wildlife
15.2.5.6 Commercial Values
Wildlife largely contributes to commercial viability of sev- Something that is required or necessary for general well-
eral nations. In many countries, ecologically justified use of being of the wildlife is known as basic requirement. Basic
wildlife is a legitimate activity. Convention on International wildlife needs are those that are required for complete physi-
Trade in Endangered Species of Flora and Fauna generally cal, physiological, and mental wellbeing of wild flora and
known as CITES usually regulates such activities. As many fauna. Basic requirements in different animals and plants
as 175 countries including India are signatories to this con- differ greatly depending upon the species and its environment
vention. In North America, fur bearing species are commer- necessary for their survival. It includes food, water, cover,
cially important. Game Ranching and Reindeer herding are and space.
important in Russia, the USA, and other Scandinavian
countries. Deer farming is also reported from several
countries as a viable commercial activity. Unless regulated 15.3.1 Food
through a sustainable system, commercial exploitation of
wildlife poses a grave threat to the survival of several species Food is essential for wildlife survival. Animals that receive
including rhino, elephant, and musk deer. sufficient food and proper nutrition throughout their lives
15 Wildlife Management 339

tend to grow larger and maintain better health compared to particular area, a red fox residing in that region might face
animals that undergo periods of poor nutrition or face starvation. On the other hand, animals perish due to malnu-
nutritional deficiencies at any point in their lives. In general, trition due to inability of food location that otherwise satisfies
wildlife in good condition exhibits higher reproduction rates, their nutritional requirements, indicating a deficiency in food
increased resistance to diseases, and better abilities to evade quality. Sometimes herbivores also suffer from malnutrition.
predators compared to animals in poor condition. However, Effectively managing food for herbivores involves aligning
nutritive deficiencies among the wild animals affect their the animals’ dietary habits and nutritional requirements with
birth and death rates, key for their overall survival and popu- the available resources of the land. Next-generation young
lation regulation. animals also are adversely affected especially with winter
malnutrition, because newly born growing wild animals
15.3.1.1 Food Availability need more protein than the adults. Although milk serves as
Seasonality and geographical location determine the avail- a primary source of protein for newly-born mammals, young
ability of food with one area in a given season having abun- carnivores frequently augment their protein requirements by
dant food while the other having critically short food supply. consuming meat. Adequate milk supply is essential for young
During the period of food scarcity, depletion of food herbivores (Yarrow 2009).
resources and deterioration of food quality due to Foods are categorized as preferred when they are more
lignifications (hardening of plant cells) in food plants make plentiful in an animal’s diet than in the surrounding environ-
them less digestible and palatable. Such nutritional stresses ment, staple if regularly consumed and meeting the
are common across different climatic regions (Yarrow 2009) nutritional requirements (considered the animal’s second
and forest composition and variability (DeWalt et al. 2003). choice), emergency when consumed to address short-term
Food availability across the space and time also determines nutritional needs, and stuffers when eaten out of necessity
the habitat quality essential for survival of wildlife due to the absence of alternative options.
populations, for example, grizzly bears of West Central
Alberta (Nielsen et al. 2010). 15.3.1.2 Food Management
Nutritional needs of wild animals in their natural habitats Management of food is typically perceived as a two-step
are also driven by the availability of food both qualitatively process, that is, determining food habits and supplying
and quantitatively. For instance, mice, voles etc. forms the those foods. However, food management is not so simple
diet of the coyotes for a large period of the year. However, activity. Food habits are determined by the digestive tract or
due to the abundant availibility during summers, different animal dropping analysis. The amount and detail of food
insects, fruits and berries forms approximately 80% of habits information should be tied to the objects of manage-
coyotes diet. Similarly naturally granivore birds (seed eaters), ment; for example, local food analysis with the dietary needs
for example, ruffed grouse, bobwhite quail, and turkey of the animal determines the success of a reintroduction
become insectivorous (insect eating) for optimal protein program. In some circumstances, food plants may be
requirements during their breeding season. Because most propagated for wildlife, for example, Quercus spp., for
animal matter is nutritionally complete and easy to digest, long-term acorn production and Secale cereal for short-term
predators typically do not encounter issues with the quality of fodder production. Seasonality of food availability also
their diet. Unlike predators, herbivores exhibit distinct feed- determines the planting process. Thus with the combined
ing patterns. These patterns are termed as food preferences, information from habitat and wild animals, management
based on their prevalence in the diet relative to their avail- can reasonably determine if the population is too large for
ability in the environment. The ratio of utilization over avail- the available food supply. The management interventions
ability serves as a valuable indicator of wildlife food include reducing the animal population by (a) manipulating
preferences. the population, (b) introduction of predators, (c) liberalization
Another aspect to food dynamics in the wildlife is in of hunting, live trapping, removal and relocation of animal
understanding the difference between starvation (specifically populations, artificial feeding and habitat modification.
lack of adequate caloric intake leading to serious health Eliminating plants which have high concentrations of
issues) and malnutrition (a broader concept encompassing nutritional value can be equally detrimental to a wild animal
various misbalancing of nutrition’s that can arise from differ- population as hunting them with the weapons. Conversely, a
ent causes). Wild animals perish due to starvation when they management plan should include managing the land in a way
do not receive an adequate amount of food necessary for their that promotes the flourishing of specific types of plants and
survival. Carnivores usually succumb to death because they plant communities, including those forming high-quality
are unable to capture a sufficient amount of prey for suste- vegetation for animals (such as food plots), can enhance the
nance. If an event has occurred that diminishes or eradicates health, quality, and abundance of local wildlife populations.
the populations of small mammals (such as rabbits) in a Given that supplemental feeding of wildlife is frequently not
340 K. Ahmad and A. Bhat

economically viable, management endeavors should focus on increase in wildlife at such places is known as edge effect.
proactively preventing nutritional issues before they arise. Habitat management of these edge effects on wildlife popu-
The most effective approach to warding off nutritional issues lation usually has reported better results. Creation of edge
is to offer high-quality natural foods, which are achieved by appears beneficial for various wildlife species including
managing the habitat (Yarrow 2009). waterfowl, woodcock, deer, and some songbirds. Species
such as ovenbirds and spotted owls require large tracts of
unbroken woodland habitat.
15.3.2 Cover

Cover refers to any component within an animal’s environ- 15.3.3 Water

ment that offers protection and contributes to the animal’s
survival or reproduction. It serves as a refuge against unfa- While many wild animals can endure weeks without food,
vorable weather conditions, such as during winter (thermal or their ability to survive is typically limited to just a few days
winter cover), and offers protection from predators (screening without access to water. Wild animals tend to inhabit areas
or escape cover). In addition, wildlife also requires cover for relatively close to water sources, even in situations where
activities such as nesting, breeding, rearing young, and food and cover might not be abundant. Animals depend on
loafing. water for natural processes, for example, digestion and
metabolism, as well as for regulating body temperature and
15.3.2.1 Types of Cover eliminating metabolic wastes. Sources of water for wildlife
Brood rearing cover: It is a cover of undergrowth vegetation are springs, creeks, farm ponds, food primarily of green
including the shrubs. This cover is mostly used by the plants, leaf dew, and a by-product of the body breaking
pheasants, quail, etc. This cover is found around the agricul- down fats and starches.
tural and other cultivated lands. Nesting cover: It is a cover The water requirements depend upon:
of vegetation including grasses, low shrubs and thickets that
is used for nesting sites. Such cover is mostly used by 1. Growth: More growth means more requirement of water.
breeding bird population, for example, quail, grouse, 2. Size: Animals of larger size require more water for use
songbirds. Roosting cover: It is a cover of open areas (culti- than smaller animals, for example, elephants.
vable as well as non-cultivable) with grassy vegetation 3. Reproduction: Water requirement during breeding is
characterized by strong winds, for example, quails. Escape comparatively more.
cover: It is a cover of rock crevices, vine mats, grassy or 4. General body condition: Overall body condition of the
branchy thickets, and hollow trees. Appropriate resting and wild animals also determines its water use capacity.
escape cover is crucial for ground-nesting birds, rabbits, and
other small game. However, most birds prefer living brush 15.3.3.1 Water Management
for cover. Dusting cover: It is a cover of open sandy areas Ecological relationships concerning water are direct and indi-
mostly found in arid zones. Large mammal species use this rect, including its physical force on the landscape and hence
cover for their daily activities. Loafing cover: Certain spe- on wildlife habitat. Animals with specialized tolerances to
cies of wild animals often engage in aimless activities, water regimes may not thrive when they are introduced into
choosing secluded spots within their habitat to pass the areas with wetter or drier climates. A phenomenon known as
time. A location that offers shade during the hot summers “reservoir effect” greatly increases biological productivity
and sufficient protection from harsh winter winds can func- after land is flooded, but its influence is determined by the
tion as a suitable loafing cover. On the basis of cover, wildlife continuous presence of water on land surface. In parts where
is categorized into two types: water levels can be manipulated, wet-dry-wet regimes create
several water depths, thereby exposing soil which establishes
1. Selective wildlife animals: Animals those are selective important food and cover for wildlife during different
and particular for cover, for example, large carnivores and seasons. Vegetation and mud piled on edges of drainage
felines. holes create diversity and produce new ecological habitat
2. Non-selective wildlife animals: Animals that may adapt conditions for various kinds of wildlife.
to two or more cover depending upon the availability. Water developments involving drainage, channelization,
and large-scale impoundments usually produce undesirable
Cover Management effects on wildlife populations and their habitat. With
Many animals including birds frequently visit the places planning, many kinds of water developments can benefit
where two habitats intersect each other. The apparent wildlife without interfering with their primary purpose.
15 Wildlife Management 341

15.3.4 Space mother protects the territory rigorously up-to a certain time of
the fawn (Ozaga et al. 1982), whereas, social structure among
It is a behavioral requirement of wild animals and considered various mammal classes also reflect in their behavior of
as a social response developed with the passage of time territoriality and its defense (Pitt et al. 2003).
ensuring animals’ welfare. Space requirement for a wild
animal is specifically for movement, lifesaving, mating
and for overall survival and well-being. Space requirements 15.4.1 Types of Territory
may vary depending on:
1. Multipurpose territories: for example, breeding season,
1. Species: Large animals especially carnivores, felines, mating, nesting, feeding (songbirds).
hyenas require abundant space for the overall territorial 2. Restricted to mating and nesting only: for example,
control. red-winged blackbirds, tree swallows.
2. Food quantity and quality: Abundant and quality 3. Restricted to mating only: for example, sage grouse.
requirement of food will mean larger space exploration. 4. Restricted to nesting only: for example, colonial water
3. Cover: More cover area, more availability of food. birds.
4. Water: Areas with abundant water supply will have more 5. Restricted to non-breeding: for example, feeding in robins
food availability. during winter.
6. Group activities: varied reasons: for example, in acorn
In addition, some other factors influencing space woodpecker.
requirements of wildlife include: 7. Restricted to roosting only: for example, mixed flocks
such as starlings, blackbirds.
1. Animal size: Requirement of specie is more in large
animals.
2. Animal’s food preferences: Space requirement for food 15.4.2 Model of Territoriality
availability is more in carnivores than herbivores.
3. Ability to withstand and adapt crowded conditions. A territoriality model was developed by Brown in 1964,
which stated “in situations where resources are limited and
the population is high, intense competition arises for food.
15.4 Territoriality The greater the demand for resources, the more pronounced
the impact on population size.” Intense competition
Territoriality is the defense of an area from intrusion by other necessitates heightened aggressiveness in securing essential
individuals. Territories are maintained when the resources resources. However, if maintaining territories comes with a
gained are rewarding and defensible. Territoriality also arises prohibitively high economic cost, individuals may refrain
in a group living animals like in red deer populations, when from holding them.
resources are scarce and unevenly distributed during the rut, Behavior that is generally utilized by animals to optimize
the spatial utilization by females creates locations that are their chances of survival and reproduction is called as aggres-
deemed valuable and worthy of defense. For ungulates, sive behavior. Individuals within a population are often
defense of an area is a low benefit–low cost mating strategy, favored by such behaviors especially when their goals are
favored under the conditions. In this context, the potential consistent and easily accessible. Such behavior if consistent
survival costs linked to alternative mating strategies are and easily accessible favors individuals within a population.
expected to be notably increased. Territoriality is an impor- For example, food supply that is generally mobile and tran-
tant and dynamic animal behavior which is governed together sient cannot be defended; in such situations, no territorial
by the different ecological and animal behaviors; for exam- system is evolved to defend it; and the territory, if present,
ple, Sacks et al. (1999) found that breeding populations of may be restricted only to the nest and the area reachable by
Canis latrans, a coyote’s species found in the western part of the parents on the nest. Instances of such behavior are
the USA ecosystems, generally use mutually exclusive observed in colonial seabirds, nomadic and socially feeding
territories. Animal density, generally the group size in a passerine species, as well as aerial feeders. In these species,
habitat, also affects the territorial behavior Sparklin et al. achieving the objective of an increased or assured food sup-
(2010). It was noted that sounders exhibited nearly exclusive ply is improbable through aggressive behavior. Conversely,
home ranges with entirely exclusive core areas, indicating when an individual relies on a relatively stable and clearly
that female feral pigs displayed territorial behavior at the defined area for nesting, securing a food supply, and
sounder level rather than at the individual level. In parturition attracting a mate, this crucial space is usually defensible
stages of white tailed deer species, it was observed that the
342 K. Ahmad and A. Bhat

and transforms into what is commonly known as a classical the house sparrow exhibits colonial nesting behavior,
territory. and its territorial behavior is constrained to the defense
The dependability of essential resources such as food, of the nest site (Smith 1958).
mates, mating locations, nests, or other necessities for repro- (b) Formation of pair: Male birds, such as yellow-headed
duction or survival stands out as a crucial factor influencing blackbirds and red-winged blackbirds, can attract
the development of territorial behavior through natural selec- females by advertising and showcasing a quality terri-
tion. The concept of “dependability” encompasses tory, possibly including a suitable nesting site. Migra-
considerations related to an individual’s time and energy tory stonechats (Saxicola torquata) spend the winter in
budgets, in addition to purely physical factors. Since intra- the northern Negev desert in Israel. Upon their arrival in
specific aggressiveness primarily stems from behavioral October, most birds establish and defend territories
responses to competition for limited ecological resources, throughout the winter, primarily in the form of hetero-
the primary factor driving increased aggressiveness through sexual pairs (Gwinner et al. 1994). Solitarily breeding
natural selection is competition. The intensity of competition pairs Coccothraustes coccothraustes defend a small ter-
is directly tied to population density and inversely related to ritory surrounding the nest for the whole of the nesting
the availability of the contested resources. period (Mountfort 1956).
This relationship is complexly entwined with productiv- (c) Opportunities for females to select best male: In
ity, birth rates, mortality, and all ecological and species- polygynous species, the quality of a territory and the
specific characteristics influencing them. Excessive aggres- quantity of females already settled can have a crucial
sion in the absence of a scarcity of the contested resource role in influencing female mating decisions (Orians
would ultimately be detrimental. Thus, a delicate balance 1969).
must be struck between the positive benefits of acquiring
food, mates, nesting areas, family protection, etc., and the 15.4.3.2 Territories in Relation to Habitat
negative consequences of time intervals and energy expendi- This set of behavioral conditions in wildlife allows the
ture, missed opportunities, and the threats of injury. increased inbreeding within a population which serves as a
Determining where this balance lies in a particular species means of readily and intricately adapting to a given local set
is influenced by a myriad of factors, including population of conditions (Gopal 2018).
density, physiological limitations, nest construction and site
requirements, distance to food from the nest, developmental 15.4.3.3 Territory in Relation to Food
stage of young at birth, foraging time needed to raise young, It facilitates animals to become more familiar in a habitat. It
clutch size, time required to protect young, potential mate’s provides time and energy for mating and predation, food
response to varying levels of aggressiveness, susceptibility to availability to younger ones, and resource partitioning
predators, migration, climate, weather, bird size, and richness between dominant and subordinate individuals.
of the food supply. In summary, it is argued that the type of
territoriality that evolves in a species hinges on the specific 15.4.3.4 Territories in Relation to Predation,
resources with existence of competition and the magnitude of Disease and Parasitism
economically defensible ability, considering the balance (a) Disease reduction and less predation: This is likely an
between the advantages and disadvantages of such defense outcome of territorial behavior rather than a cause for
for individual members, not just the population as a whole. it. It reduces the chances of disease transmission.

15.4.3.5 Territories in Relation to Numbers

15.4.3 Purposes of Territories (a) Less aggression: Once territories are established, birds
establish a clear understanding of their relationships
15.4.3.1 Territories in Relation to Reproduction with one another, and territory maintenance is
(a) Preparation of nest sites: For example, Nest holes implemented, thereby aiding in the prevention of com-
(nuthatches, bluebirds, wrens); nest posts or nest tree petition for resources.
snags (osprey); nest cliff ledges (sea birds, peregrine (b) Resource stability: It helps in dispersal of animals,
falcon). In this scenario, nest sites are carefully selected, which result in the proper utilization of the habitat.
and territories are established around them. In an exper- (c) Population control: Experiments conducted over
iment conducted by Sargent (1982), the primary factor 6 years with red grouse revealed that breeding stock
influencing female nest-choice and reproductive success size was influenced by territorial behavior (Watson and
was the quality of the nest territory, specifically in terms Jenkins 1968).
of nest concealment by male sticklebacks. Conversely,
15 Wildlife Management 343

15.4.4 Size and Shape of Territory 15.4.6.1 Home Range

Majority of animals are not nomadic and instead inhabit
The dimensions of territories exhibit variations influenced by relatively restricted areas where they carry out their daily
individual characteristics, species attributes, and environ- activities. These areas are referred to as home ranges. Burt
mental factors. While most territories tend to be roughly (1943) defined a home range as “That area traversed by the
circular, their shapes can vary. Linear territories are observed individual in its normal activities of food gathering, mating,
in stream bank feeders like kingfishers. Birds that primarily and caring for young.”
consume animal-based food maintain larger territories com-
pared to those primarily feeding on plant-based resources. As 15.4.6.2 Need of the Home Range for Animals
such, there are both maximum and minimum sizes for 1. Avoiding or escaping predators
territories, with the maximum size dictated by defensibility 2. Maneuvering through its own environment
considerations and the minimum size determined by resource 3. Providing more benefits than the incurring cost
density.
15.4.6.3 Home Range Sensitivity
1. Year
15.4.5 Aggression and Territory 2. Season
3. Lifetime
The level of aggressiveness in territorial defense varies, with
a tendency to strongly defend a high-quality territory over Animals can be acquainted with areas that they do not
weakly defending a poor one, as it may offer more actively utilize. For instance, an Arctic fox (Alopex lagopus)
advantages. Interspecific competition between different spe- may be familiar with expanses exceeding 100 km2, while
cies is also observed. Typically, birds of one species tolerate confining its actual usage to a smaller portion, approximately
individuals from other species in their territories and only 25 km2, within those areas.
expel those of the same species. For instance, a bald eagle and
a great horned owl nested in the same tree in Florida with just 15.4.6.4 Home Range Edges
a 1-m separation. Swallows often nest in the nests of eagles Many animals have the peripheries of their home ranges as
and hawks. Birds commonly drive away other birds from regions that they are familiar with but use sparingly. The
their territories if they are perceived as potential competitors precise boundaries of the home range may not be of signifi-
or predators. For example, oystercatchers will chase gulls, cant concern to the animal, particularly if it predominantly
ravens, and crows from their territories. spends the majority of its time in other areas. Except for
certain territorial animals, the interior of an animal’s home
range is frequently more crucial both to the animal itself and
15.4.6 Territoriality Influence to gaining insights into how the animal lives and the reasons
behind its choice of habitat.
Territorial behavior can exert a significant impact on
populations, potentially compelling certain individuals into 15.4.6.5 Estimators of Home Range
suboptimal habitats where breeding becomes challenging. 1. Utility distribution
This may result in increased mortality among adults and/or 2. Grid location
young individuals, or a decreased success rate of hatching/ 3. Minimum convex polygon
fledging. A study in Finland focusing on the willow warbler, 4. Fourier series
which exhibits a preference for spruce-birch forests, revealed 5. Circle and ellipse approach
that during years of low species abundance, almost all breed- 6. Harmonic mean distribution
ing warbler pairs were located in the spruce-birch forest. In 7. Fractal estimators
times of high abundance, the warblers were also found in 8. Kernel density estimators (Corsi and De Leeuw 2000)
other habitats, but their highest density persisted in the
spruce-birch environment. Consequently, population 15.4.6.6 Home Range Core
densities tend to be much higher in suboptimal habitats The core of a home range comprises two essential
during years of abundance. In such years, territorial numbers components. First, it must be utilized more intensively than
increased only marginally, and territory sizes slightly the apparent clusters of high activity that result from a
decreased, allowing more birds to fit into optimal habitats. uniform and random use of space within the overall home
Thus, territorial behavior can lead birds to occupy suboptimal range. Second, the core must not be exclusively determined
yet adequate habitats during periods of abundance. by the overall size of the home range (Table 15.1).
344 K. Ahmad and A. Bhat

Table 15.1 A comparison between home range and territory

Home range Territory
Area where animal spends his/her time An area which is defended by the animal which controls it
Different territories form a single home range Complete control of an individual or its family
No exclusive right over the area, that is, home range Exclusive right over the area, that is, territory
Home range can be shared with other species also Exclusive and preferential use of the space by animal
Delineation of boundaries are easily recognized within an animal’s home Identification of boundaries is difficult
range
Home range varies with food and other biological factors, for example, polar Territory remains same of an animal through majority of animal
bear life

15.4.7 Ecological Niche 15.4.7.3 Competitive Exclusion Principle

To comprehend the coexistence of species, the Competitive
The fundamental role of a living organism in an ecosystem, Exclusion Principle is established, which declares that two
especially within its own habitat, is known as the ecological species cannot coexist in the similar ecological niche due to
niche. This concept outlines how a species interacts with its competition for resources within a habitat. The competition
environment. The ecological niche of a species is influenced within a niche prompts each species to specialize in different
by both biotic and abiotic factors, shaping the species’ capac- ways, avoiding the use of identical resources, or otherwise
ity to survive and thrive. Joseph Grinnell, a field biologist, this might lead to the extinction of any of the competing
expanded upon the basic notion of the niche. Biotic factors species. This perspective aligns the natural selection concept.
encompass elements such as food availability and the pres- Two theories are commonly employed to address competitive
ence of predators, while abiotic factors involve temperature, exclusion.
landscape features, soil nutrients, light, and other non-living
components. R Theory: Coexistence of multiple species sharing the same
resources is contingent upon niche differentiation. When
15.4.7.1 Types of Ecological Niche resource density reaches its nadir, species populations
According to Ecologist Charles Elton’s niche emphasized most constrained by the resource are prone to competitive
exclusion.
1. Community similarity P Theory: Consumers can thrive at high densities by sharing
2. Competition common targets. Resource partitioning involves the sepa-
ration of resource utilization. In simple terms, species can
Zoologist G. Evelyn Hutchinson introduced two forms of adapt their resource usage patterns to minimize depletion.
niche. First, the fundamental niche emphasizes the This adaptive behavior facilitates the coexistence and
circumstances under which a species could exist without evolutionary development of species.
any ecological interactions. Second, the realized niche
considers the population’s existence in the presence of 1. An example of resource partitioning is observed in lizards
interactions, such as competition. like anoles. They utilize different parts of their
overlapping habitats in distinct ways. Some anoles inhabit
15.4.7.2 Importance of Ecological Niche the forest floor, while others reside high in the canopy or
1. Ecological niches provide insights into the relationships along trunks and branches. Some may even venture into
between communities and environmental conditions, fit- non-plant environments, such as deserts or coastal areas.
ness, trait evolution, and predator–prey interactions within 2. Dolphins and seals, though consuming similar species of
ecosystems. fish, exhibit resource partitioning through differences in
2. The concept of ecological niches enables species to coex- their home ranges. This spatial separation allows them to
ist in their environment by thriving under suitable effectively utilize shared resources.
conditions and playing distinctive roles. 3. Darwin’s finches exemplify resource partitioning through
3. Presence of ecological niche is crucial for biodiversity, the specialization of their beak shapes over evolutionary
ensuring a balanced ecosystem. Without them, biodiver- time. This adaptation enables them to exploit resources in
sity would diminish, leading to an imbalance in the varied ways.
ecosystem.
15 Wildlife Management 345

15.4.7.4 Niche Construction Theory 2. The second goal involves creating or restoring quality
The niche construction theory elucidates how organisms habitats in areas where they have deteriorated or lack
modify their environments to better suit specific niches. specific components essential for wildlife, such as water,
Examples include constructing burrows, building nests, cre- food, or shelter. This aims to enhance and support biodi-
ating shade, and building beaver dams. Biologist John versity in those environments.
Odling-Smee first introduced the concept, asserting that
niche construction should be viewed as an evolutionary The planning and implementation of habitat management
process—a form of “ecological inheritance” passed on to should incorporate the following fundamental principles:
descendants, rather than a genetic inheritance. Four core 1. It should be substantiated by a thorough examination of
principles that underlie niche construction theory are as biological requirements.
follows: 2. The impact of suggested methods on additional natural
resources and land utilization needs assessment.
1. Non-random modification: Involves the non-random 3. Economic viability is essential, and the stated goal,
modification of the environment by a species, playing a whether it be preservation, enhancement, or complete
role in aiding their evolutionary process. transformation of the current habitat, should be clearly
2. Altering skills: The “ecological” inheritance outlined.
encompasses the alteration of evolution, with parents 4. Enhancements should imitate natural conditions, with a
passing on skills that modify the environment to their general emphasis on sustaining native flora and fauna.
offspring. 5. Projects involving manipulation should adhere to natural
3. Adoption: New characteristics adopted through niche topographical features rather than adopting geometric
construction become evolutionarily significant, systemati- squares or strips.
cally affecting environments. 6. Periodic evaluations are necessary to assess the achieve-
4. Adaptation: Adaptation is essentially the outcome of ment of set objectives.
organisms making their environments more complemen-
tary through niche construction. 15.4.8.1 Food and Cover Production
Here, the goal is to improve habitat by providing food and/or
Ecological niches provide a valuable source of informa- cover for a particular species, or group of species. Over all,
tion for understanding species interaction with environmental there are three major methods:
variables. Ecologists can leverage this knowledge to gain
insights into effective species management, conservation Propagation The cultivation of food and cover species for
strategies, and future development planning. By wildlife can be costly, with outcomes often unpredictable.
comprehending the intricacies of ecological niches, Economically speaking, there is no viable substitute for the
ecologists can make informed decisions to promote the natural regeneration of native species. Whenever feasible,
well-being of species and ensure sustainable environmental management efforts should focus on preserving or enhanc-
practices. ing existing native species, as they are well-adapted to the
environment and have a higher likelihood of thriving.
Exotic species typically exhibit lower initial survival
15.4.8 Wildlife Habitat Improvement and Its rates, frequently necessitate more intensive cultural care,
Management tend to grow slowly, and may produce fewer seeds. When
the introduction or restoration of species becomes neces-
Wildlife habitats are expanses distributed both horizontally sary, this can be achieved through direct seeding or the use
and vertically across the landscape, catering to the specific of transplants. Key factors contributing to a successful
needs of a particular wildlife species. These habitats serve as plantation include site selection, site preparation, planting
essential areas for fulfilling the basic requirements of food, depth, and soil moisture. Optimal results are anticipated on
water, reproduction (nesting), and protection against sites with a historical record of supporting the relevant
predators and competitors (cover). Any improvement or species.
modification in such areas (habitats) for management of
wildlife is termed as wildlife habitat improvement. Its man- Direct seeding/planting: Certain native and exotic woody
agement is aimed with two objectives: species suitable for habitat improvement can be acquired
from commercial nurseries, while others may be found
1. The first goal is to preserve the quality of habitats as they growing in the wild or propagated. Regardless of their
naturally exist within ecosystems, ensuring their integrity source, transplants must be kept adequately moist until
and sustainability. they are planted. Planting procedures should adhere to
346 K. Ahmad and A. Bhat

accepted nursery practices. Some land management disadvantage if moderate-to-heavy browsing is necessary to
activities that present cost-effective opportunities to estab- maintain growth at heights suitable for browsing.
lish forage or cover include forestry practices like thin-
ning, harvesting, and post-harvest treatments, utility Release At different localities, the growth and seed produc-
transmission corridors, soil stabilization projects (espe- tion of certain species can be enhanced by eliminating
cially after events like fires, road and ski-slope construc- surrounding competition. Strategic measures like small
tion, and surface mining), range improvements such as group selection cuts or row thinning can be implemented to
reseeding and brush control, and any other project that increase the availability of light, moisture, and nutrients for
alters the vegetative cover. It is often possible to select potential understory species that produce seeds or serve as
species that best meet the wildlife habitat requirements. browse. In stands where seeds are not mature enough for
Regeneration: Effective coordination between timber man- commercial timber sales, specific stems of vital seed and
agement and wildlife conservation hinges on the strategic browse species can be freed from competing vegetation
scheduling of timber harvests using small land units. through methods such as fire (with species like sassafras
Clear-cuts should strike a balance—being sufficiently and flowering dogwood displaying vigorous re-sprouting
large to limit consumption of tree reproduction by deer after burning), herbicide application, or cutting. When it
and other wildlife, yet small enough to avoid significant comes to release cutting of trees in older forest stands, the
harm to wildlife adapted to old-growth forests, such as most effective approach is often in conjunction with some
squirrels and wild turkeys. Many procedures employed to form of commercial timber harvest.
free desirable browse plants from the competition of less
desirable species mirror those used for the complete In oak-dominated ecosystems, the selection of trees for
removal of existing vegetation. The outcomes of such release should be done in the fall, particularly during a year
treatments are contingent upon the intensity of applica- with abundant seeding, to ensure that the released trees will
tion. For instance, chemical sprays may be employed to produce seed crops. Additionally, certain species crucial for
desiccate the crowns of woody species or to completely wildlife, like hickories and American beech, tend to grow
eliminate plants, depending on the strength and number of slowly and are often overshadowed by the robust growth of
mix and applications, respectively. intolerant tree species that typically thrive after clear-cutting.
Rejuvenation: Numerous shrubs and trees have the ability to To allow these slow-growing species to attain seed-bearing
regenerate through the sprouting of adventitious buds on size in clear-cut stands, it is essential to release them from
the stem or from the root crown. Seeds of chaparral and competition.
certain other species display heat resistance, leading to Another approach to boost fruit production involves
abundant germination following a fire. In instances selecting specific trees, such as wild or abandoned orchard
where these species become too tall, dense, or decadent apple trees, wild cherry, hackberry, oak, or hickory, and
to provide accessible browse, rejuvenation can be applying orchardist techniques to increase fruit yield. This
achieved through controlled burning. For many species, not only allows the tree to produce more fruit, but it also
it has been observed that the sprouts and young plants opens up the interspaces for enhanced production of grasses
exhibit significantly higher levels of protein and other and shrubs. In the Western regions where many fruit-
nutritional values for several years post-burning compared producing chaparral species like manzanita, California
to older growth stages. However, some shrubs and trees redberry, and toyon are found, decadent stands can be
are susceptible to fire and may not naturally re-establish revitalized through methods such as mechanical crushing,
for decades after a hot burn. chemical spraying, and controlled burning.

Treatment Various physical treatments, such as crushing, 15.4.8.2 Cover Management

cutting, or mowing, can be employed for vegetation manage- Cover serves diverse habitat requirements for wildlife. For
ment. Similarly, chemical spraying that burns back the tops instance, a hedgerow might offer escape cover for quail
without killing the shrubs has a comparable impact on vari- against predators, while the same shrubs can serve as nesting
ous types of woody plants. In such cases, the root systems cover for songbirds. Various items, such as rock piles, ground
generally remain largely undamaged, prompting the plants to burrows, brush piles, or trees (including cavities), can con-
respond with rapid and extensive root and leaf development tribute to providing cover. The absence, scarcity, or poor
after the reduction of aerial growth. However, there is evi- distribution of cover can limit the utilization of an area by
dence suggesting that deer may be hesitant to heavily browse wildlife. Wildlife managers can enhance wildlife numbers or
on plants where numerous dead stems are intermingled with expand the area of use by improving the quality or quantity of
new growth. The presence of dead stems may pose a cover. When manipulating food or water, it’s crucial for
15 Wildlife Management 347

managers to ensure that sufficient cover of different types is one side of drainage and constructing a diversion ditch into
retained to meet wildlife needs. Cover includes areas for the resulting basin. Reservoirs should be strategically
escape, nesting, and refuge from harsh weather conditions. designed to maximize storage while minimizing surface
It often consists of vegetation in the form of herbaceous, area to mitigate evaporation loss. Several key considerations
shrubs, or trees, offering protection against hunters or when selecting reservoir sites are:
predators, as well as mechanical or thermal protection from • Wildlife area where water demand is minimum, an
winter storms or summer sun, or a combination of these excavated pond must be dug with reasonably ground flat.
factors that create a secure nest site. The design will allow low risk damage from excess water.
• Areas with steep slopes must have embankments, which
15.4.8.3 Water Management although complex would ensure protection from erosion.
Enhancing the quantity, accessibility, and year-round pres- • Pond sedimentation and excessive soil erosion must be
ence of water can be instrumental in increasing wildlife avoided by excavating the upland lands.
populations or broadening habitat utilization. Conversely, • Areas which support aquatic wildlife must have shallow
water can be strategically removed to control animal numbers waters at least 2–6 ft. deep for feeding purpose and 10 ft.
and feeding in areas where their presence is undesirable. for movement.
Water development often serves purposes beyond • Water birds like water fowl prefer a variety of depths for
wildlife-specific objectives. When planned thoughtfully, nesting and feeding, while amphibious and young fish are
water projects can yield benefits for wildlife. Therefore, comfortable in shallow, plant-rich waters.
habitat managers should be well-versed in diverse techniques • Shapes vary from rectangular to rounded. However, gen-
for water development, encompassing natural features like erously indefinite shapes are more appealing to wildlife.
springs, seeps, and water holes, as well as man-made • If multiple objectives for wildlife management are sought,
structures such as reservoirs, guzzlers, and wells. This com- deeper water levels take precedence.
prehensive understanding allows managers to optimize water • The depth is subject to season and varies between winter
resources for the advantage of both wildlife and other and summer.
land uses.
15.4.8.7 Catchment Water
15.4.8.4 Water Holes Over the past two decades, various self-filling watering
Water holes, whether natural or artificial, are open water devices have been planned for the benefit of wildlife. While
storage basins. In certain areas, water is a principal necessity a significant number have been primarily constructed for
for wildlife, and as a result, water holes often serve as focal quail, such structural designs have also been specifically
points for wildlife activities. Consequently, it is crucial to built to aid other wild animals, including antelope, bighorn
design and maintain these water holes to be accessible and sheep, deer, sage grouse, and turkeys. The California Depart-
beneficial for all species of wild animals. ment of Fish and Game, for example, implemented over 2000
catchments for quail between 1943 and 1974. Given that a
15.4.8.5 Springs and Seeps substantial portion of these devices were installed for upland
Springs share common developmental needs, but various game birds (Galliformes), they have been commonly referred
planning techniques can be applied. Before developing a to as Gallinaceous Guzzlers or, more recently, simply as
spring or seep, it’s essential to assess the reliability and Guzzlers.
quantity of its flow. Typically, installing a protective box to
capture and store the water is necessary. In cases where water Development of Wetland
flow is intermittent, it may be advisable to establish large- A wetland is typically an area of land that is either submerged
capacity storage so that stored water remains available when in water or consistently saturated with water, whether
the spring or seep stops flowing. These water sources are best throughout the entire year or only during specific seasons.
excavated from firm ground, hardpan, or rock to maximize The depth and duration of this seasonal flooding can vary.
flow. Regardless of the number of sources, the water should Wetlands are often referred to as transition zones because
be directed to a collection basin and then piped to a trough. they exhibit characteristics of both dry land and underwater
Fencing the water source and collection basin from human or environments (Mitsch and Gosselink 2007). However, the
livestock use is usually necessary and desirable. most widely accepted definition of wetlands is of by the
Ramsar Convention. Established in 1971 in Ramsar, Iran,
15.4.8.6 Reservoirs and Small Ponds this convention is the sole global treaty specifically dedicated
In this context, the term “reservoir” refers to water to wetlands. Currently, 170 nations are signatories to this
impounded behind a dam, created either by constructing a convention. According to the convention on wetlands,
dam directly across drainage or by enclosing a depression to wetlands are classified as “areas of marsh, fen, peat, and/or
348 K. Ahmad and A. Bhat

water, whether natural or artificial, permanent or temporary, When developed alongside larger, permanent water areas,
with water that is static or flowing, fresh, brackish, or salt, potholes become a valuable tool in waterfowl management.
including areas of marine water the depth of which at low The purpose of creating potholes is to counteract the loss of
tide does not exceed six meters.” water area due to geological changes and plant succession.
As of 2020, India has 42 recognized Ramsar Sites, which An ideal wetland for waterfowl typically consists of one-third
include wetlands considered of international importance open water and two-thirds marsh.
under the Ramsar Convention. According to WWF India Ponds are a widely used system for water management,
(World Wide Fund for Nature), wetlands are among the constructed in various ways. Watershed ponds result from
most endangered ecosystems in the country. Factors such as building a dam to confine runoff, either from rainfall overland
loss of vegetation, salinization, excessive inundation, water flow or an existing water source. Alternatively, ponds may be
pollution, invasive species, and extensive development and excavated or formed by building an earthen embankment,
road construction have collectively contributed to the deteri- often requiring an external water supply from sources such as
oration of India’s wetlands. streams, wells, or irrigation systems (Boyd and McNevin
Wetlands are characterized by any one of the following 2005).
three attributes: Coastal plain ponds, considered globally significant water
resource habitats, feature gently sloping shorelines and
1. Periodically, the land supports predominantly fluctuating water levels seasonally and yearly with water
hydrophytes (aquatic plants). table’s height as base. These fluctuations are critical for the
2. The substrate is predominantly undrained hydric soil. survival of rare pond shore vegetation communities, hosting
3. The substrate is saturated with water or covered by shal- diverse flora including carnivorous plants like bladderworts
low water at some point during the growing season of each (Utricularia spp.), sundews (Drosera spp.), and various rush
year (Balwan and Kour 2021). species (Juncus spp.).
In context of wildlife and its management, a large Heron
The development of water areas and techniques for and Egret colony in the Stillwater Wildlife Management Area
improving wetlands can vary, contingent on factors such as in Nevada, USA, benefits from a marshy waste water sump
the existing structural development of the area, water quality, supplied by drain water from the Carson and Truckee rivers.
water level management, soil composition, climate, topogra- This has improved food and water quality, benefiting the bird
phy, and plant succession. Enhancing wetlands for wildlife populations (Giles and Marshall 1954).
can involve the manipulation of biological and physical However, in contrast to water management through artifi-
forces to create an improved environment. cial practices like reservoirs, holes, and sumps, there is a
Before initiating any plans for wetland improvements, it is guiding principle that natural population dynamics in conser-
essential to establish a biological need. The primary consid- vation areas should not be interfered with. Wildlife
eration in judging the potential development of an area populations must undergo natural stressors such as droughts
should be its chief use or uses, which are largely determined and diseases, and should be impacted by cycles of lower
by the location and physical characteristics of the area. Some survival rates and densities (Karanth and Kumar 2013).
areas may be best developed for waterfowl, while others may
be more suitable for muskrat or other fur production. In 15.4.8.9 Green Tree Reservoirs
certain cases, these features can be combined. Green tree reservoirs refer to bottomland hardwood areas that
Habitat managers can employ various practices to achieve are intentionally shallowly flooded for short periods during
the interspersion of open water with marshland, interlace the dormant growth period. This practice is specifically
ditches and high spoil lands, and plant vegetation for food designed to attract avian populations, especially waterfowl.
and cover. This approach creates wetlands favorable to a These reservoirs provide a habitat that meets the needs of
variety of wildlife, including ducks, geese, beaver, muskrats, birds, particularly during certain phases of their life cycles,
mink, and warm-water fishes. For habitat managers focused for their contribution to the overall conservation and manage-
on the preservation, management, or manipulation of ment of avian species in bottomland hardwood ecosystems.
wetlands, careful consideration of these factors is crucial,
we recommend the Techniques Handbook of Waterfowl
Habitat Development and Management published by the 15.4.9 Wildlife Corridors
Atlantic Waterfowls Council (1972).
The increasingly significant aspect of conservation of wildlife
15.4.8.8 Potholes, Sumps, Ponds involves extending its focus beyond the boundaries of
Potholes are defined as small, shallow, open water retention protected areas (PAs) to encompass the larger landscape in
areas or basins with surface areas typically under 0.016 km2. which such areas are situated. A landscape, in this context, is
15 Wildlife Management 349

defined as “a large tract of land constituted by a mosaic of 2. Realized functional connectivity: A metric of connectiv-
interacting land uses with people and the impacts of their ity that integrates observed data, such as radio tracking or
activities as the cornerstone of its management” (MoEFCC molecular genetic data, to represent the real rates of move-
2017). While PAs, along with reserve and protected forests, ment of individuals (or their genes) between specific
constitute 20% of India’s bio-resource management, the patches or throughout a landscape. This approach is used
surrounding areas, often designated as production and to estimate species-specific connectivity between various
human habitation areas, frequently lack dedicated biodiver- landscape elements or habitat patches (Fletcher et al.
sity management interventions. 2016).
Therefore, adopting a landscape approach becomes cru-
cial, aiming for an integrated and comprehensive manage-
ment method that covers the entire matrix of land use forms, 15.4.9.1 Wildlife Corridor Connectivity Issues
including PAs. This approach considers multiple competing The primary challenge in achieving wildlife corridor connec-
demands, ensuring the viability of species populations into tivity is coordinating among the various agencies tasked with
the future. In terms of management planning for PAs, a regulating or promoting land use within these landscapes.
landscape approach enables ecosystem-level conservation The nature of land use and land cover practices in such
actions at various nested spatial scales, including PAs and areas not only involves competition but may also inadver-
territorial forest divisions, as well as larger units. This strat- tently conflict with biodiversity management and conserva-
egy aims to achieve conservation goals at the broadest spatial tion goals. The matrix within which protected areas (PAs)
scale feasible in practical terms. Landscape-level conserva- exist is progressively degraded and fragmented due to land
tion of species is viewed as maintaining or enhancing genetic use changes and development pressures, including roads,
exchanges between meta-populations, significantly improv- railways, linear infrastructure development, mining, and
ing the prospects for their long-term persistence (MoEFCC urbanization. Large-landscape dependent species such as
2017). tigers and elephants navigate through these adjoining matrix
Wildlife corridor is thus defined as a patch of habitat that landscapes, which are often inhospitable and contribute to
connects two or more isolated habitats. This includes land- situations of human–wildlife conflicts. The consequences of
scape, hedge grows/fence grows, and buffer strip vegetation. these conflicts result in a loss of connectivity between wild-
These corridors provide some important types of wildlife life habitats, posing a significant threat to wildlife
corridors used for providing space and food. The principal vulnerability.
aim of wildlife corridor management is interconnection of Another key issue of landscape connectivity is the anthro-
wildlife population. The wildlife corridor is thus able to pogenic resistance resulting in the impact of human behavior
provide the following connectivity within the landscape of on species movement. These anthropogenic behaviors are
diverse land use land cover (LULC) attributes: governed by either psychological (individual) or social
(group) factors (Lischka et al. 2019) and/or policy decisions
1. Structural connectivity: A metric assessing the extent to (legality); these together can affect the movement of wildlife
which specific landscape features are connected or adja- in different ways. The above anthropogenic behavior can
cent to one another, devoid of any considerations related further be classified into the following (Ghoddousi et al.
to species movement or direct links to the behavioral 2021):
attributes of organisms.
2. Functional connectivity: A metric of connectivity that 1. Attitude: It can be positive or negative evaluation(s)
takes into account the species-specific reactions to various 2. Social identity: The hierarchical grouping of the persons
landscape elements and considers the real movement of 3. Norms: Also called as social norms, that is, activities that
individuals through the matrix connecting habitat patches is socially desirable
(Taylor et al. 2006). 4. Values: The core belief that is rooted in their culture
5. Risk generated: It is the risk perceived or real to the loss of
Depending on the degree to which species-specific humans
responses or behavior are integrated, it can be further classi- 6. Economic gain: Consumptive gain from legal or illegal
fied into follows: harvest

1. Potential functional connectivity: A metric of connectiv- However, anthropogenic resistance is not entrenched in
ity that relies on the physical characteristics of the land- livelihood generation only. For example, despite recognized
scape to anticipate connectivity among patches for a livestock losses and human fatalities, in the Khata Wildlife
species, often with restricted information regarding dis- Corridor in Nepal, local communities generally hold positive
persal ability or specific animal movement data. attitudes toward tigers, Panthera tigris (Wegge et al. 2018).
350 K. Ahmad and A. Bhat

Economic incentives, including compensation and commu- envisaged in the WPA, 1972 could be further elaborated in
nity development efforts, can play a vital role in facilitating the following:
the corridor use by tigers, ultimately enhancing its overall
functional connectivity. Similarly, Masai pastoralists in the 1. Bulk of the Indian protected areas is small in size and
Amboseli region, bordering Tanzania and Kenya, have susceptible to anthropogenic pressures. There must be
supported lion (Panthera leo) connectivity through uninterrupted processes of evolution and creation of
interventions such as compensation and participatory conflict buffer zones around them.
mitigation schemes, despite experiencing considerable live- 2. Most of the wildlife corridors are under severe degrada-
stock depredation events (Hazzah et al. 2014). Beyond eco- tion and fragmentation due to pressure and unplanned
nomic incentives and awareness, factors like cultural or developments impacting the connectivity and mobility of
religious beliefs may contribute to a reverence for wildlife. animals.
Consequently, understanding the drivers of human behavior, 3. Unplanned tourism and commercial activities in the
which go beyond what is detectable or quantifiable through already established buffer zones.
commonly used biophysical indicators like land cover maps 4. Keeping the above context in mind, considerations for
derived through remote sensing, can enhance our compre- declaring these areas as “eco-sensitive zones” must be
hension of true connectivity dynamics (Norton et al. 2010). implemented.
One crucial aspect of wildlife corridor management is 5. Wildlife conservation strategy (2002) envisages that lands
understanding and modelling the flow of genetic information, falling within the radius of 10 km of the boundaries of
processes, and organisms between the areas of unimpaired protected areas should be notified as Eco-Fragile Zones.
habitats to design a network of wildlife corridors, for exam-
ple, Tigers (Panthera tigris) in central India and Eastern
Ghats landscape complex (Shanu et al. 2008). The applica- 15.4.10 Management of Migratory Birds
tion of the concept of minimum spanning tree obtained from
the weighted graph in the focal landscape suggested a viable Migratory wildlife often presents difficult management
corridor network for the tiger population of the protected challenges. In such situations, management requires coordi-
areas (PAs) in the landscape complex. Centralities of the nation between the political units so that a species is not
network identify the habitat patches and the critical overexploited when it falls under the temporary jurisdiction
parameters which are central to the process of tiger move- of one state or a nation. A treaty signed between the USA and
ment across the network. As a result, the ecological informa- Great Britain in 1916 known as The Migratory Bird Treaty
tion propagates expeditiously and even on a local scale in effectively protected all migratory birds crossing the borders
these networks representing a well-integrated and self- of both nations. The International Union for Conservation of
explanatory model as a community structure. Nature and Natural Resources also known as IUCN and
Noss and Daly (2006) have recognized the methods to headquartered at Switzerland advocates for the promotion
identify and design the wildlife corridors. These are: of wild plants, animals, migratory birds, and habitat conser-
vation. Tracking the bird migration along the different routes
1. Shortest or most direct routes. across the seasons has been an old science. Traditional
2. Only remaining routes. knowledge, derived from seasonal calendars, ecological
3. Routes incorporating localities of conservation indicators, seasonal variations, and the associated activities
importance. of birds, serves as a foundational source of information. This
4. Pathways determined by the expertise of individuals knowledge is crucial for comprehending the patterns of bird
knowledgeable about the specific focal species. migration, particularly in the context of climate change
5. Approaches that blend various expert-based methods. (Yang et al. 2019). Apart from this, documenting the occur-
6. Based on empirical and modelling approaches. rence of disease transmission in migratory birds particularly
7. Least cost path analysis. those in close contact of human settlements is essential in
8. Population modelling. understanding the potential risks to bird health as well as
humans. A study in this context was conducted by Haq et al.
Section 380 (g) 38v of the 1972 Wildlife (Protection) Act (2021) and unveiled the presence of two proteobacteria
recommends ensuring the ecological integrity of wildlife (Pseudomonas fluorescens and P. syringae), three Firmicutes
corridors. However, in the current context of India’s bacteria (Bacillus pumilus, B. subtilis, B. licheniformis), and
protected area network (PAN), which is embedded with one avian gastrointestinal Enterobacter (Escherichia coli). It
diverse land use land cover practices, socio-economic is noteworthy that the identified Escherichia coli possess the
dynamics, and population pressure, this protection as potential to be pathogenic and pose harm to humans.
15 Wildlife Management 351

Among the all different conservation solutions, 15.5.1 Habitat Selection and Its Implications
recognizing the contribution of zoos and aquariums in the
conservation of migratory birds is considerable (Hutchins The implications of habitat selection are not governed by the
et al. 2018). In addition, migratory birds enroute to their human intervention only but it includes the geographical
final destinations require habitats for rest and refuel called affinity, wildlife population of the area, and suitability
as stopovers. However, a comprehension is required to estab- matrix. Most importantly, it is important to acknowledge
lish the facts of determination of these bird stopovers during that the changes resulting from succession can create
different seasonal migration. For example, Mexico Gulf and deteriorating conditions for certain species of animals. The
Atlantic coasts of the United States of America are important suitability of an area which determines the planting of prefer-
stopover corridors for migratory birds of North America. able vegetation impacts the overall habitat selection and its
Studies have shown that migratory birds tend to concentrate management. Following are some of the habitat selections
along the coast during spring and in inland forested with limitation for their selection:
landscapes during autumn. This suggests seasonal variations
in habitat functioning, emphasizing the need to comprehend 15.5.1.1 Habitat Selection Based on Foraging
the ecology and role of stopover habitats in sustaining migra- Foraging habitats differ quantitatively (food availability) as
tory bird populations (Emily et al. 2021). Another important well as qualitatively (nutritional values) especially in a het-
aspect is the impact of change climate on migratory bird erogeneous environment. Decisions related to foraging habi-
assemblages, their population trends, and changes. Several tat selection encompass choosing patches to commence
studies have indicated that climate change-induced pheno- foraging and determining the duration of patch exploitation
logical attributes including senescence of forest vegetation as resources progressively deplete over time. To address
have a long-term impact on the migratory bird populations these aspects, simple mechanistic rules for patch-leaving
(Beresford et al. 2019). decisions have been suggested and experimentally tested.

1. Incremental rule: Likelihood of staying in existing area

15.5 Habitat Selection (patch) is inversely proportional to unsuccessful search
time. If given more time, individuals’ success of finding
Heterogeneity both spatially and temporally is the foremost the resources gets increased.
attribute of a habitat for most species. A habitat can be 2. Decremental rule: Probability of staying in current patch
defined as a specific type of environment characterized by is inversely proportional to successful search time.
general physical features, for example, type of vegetation, 3. Rule of giving-up: The inclination to remain in a patch
water, or soil structures. Additionally, a habitat can be classi- decreases with the time spent searching for resources,
fied as the specific place occupied by a species, taking into unsuccessfully. However, each time a resource item is
consideration the general features of the areas used by its found, the inclination to stay is reset to a maximum
individuals, ensuring suitability for the species’ activities. At level. Individuals ultimately leave the patch after a
a more detailed level, a habitat can also be characterized by predetermined fixed unsuccessful search time, known as
the specific portion of the environment dedicated to a partic- the giving-up time.
ular activity of individuals, such as breeding or foraging. 4. Rule of fixed number: Foraging is done for a fixed
Typically, the term “habitat” does not include conspecifics, number of resources.
referring to the social components of individuals’ activities, 5. Rule of fixed time: Foraging is conducted for a
in contrast to the term “environment.” A habitat patch is predetermined period, and the individual departs from
defined as a continuous and homogeneous portion of a habitat the patch regardless of the number of resource items
(Doligez and Boulinier 2008). Spatial and temporal hetero- found.
geneity in habitat can be linked to biotic, abiotic, and social
factors. Spatial and temporal heterogeneity in habitat can be 15.5.1.2 Breeding Habitat Selection
associated with biotic, abiotic, and social factors. Climatic Individuals of a species must also make a series of habitat
conditions, soil nature, substratum, and level of salinity are choices for breeding, similar to foraging. Breeding requires
some of the features of abiotic conditions of the habitat. the availability of high-quality food resources for offspring
However, food and nesting material, prey–predator dynam- development, in addition to other resources that influence
ics, and parasitism are some of the features of biotic breeding success, for example, the presence of mates and
attributes. In addition, social components can also play a the availability of secure breeding sites. In some species,
major role. breeding decisions within a habitat are sequential in time
352 K. Ahmad and A. Bhat

and space and are independent of specific environmental of rest for range vegetation. Depending on the length of rest
attributes. Conversely, in other species, all necessary periods and the area, the systems are known as deferred or
resources must be secured simultaneously, potentially lead- short duration grazing systems.
ing to trade-offs between optimal choices for each resource.
Many species have a limited number of breeding attempts
over an individual’s lifetime due to the longer timescales 15.6 Forest Management and Wildlife
involved in breeding (up to several years) and the seasonal
nature of this activity, implying yearly timescales. Conse- Some methods of harvesting trees can enhance the habitats
quently, constraints associated with breeding habitat selec- for varied kinds of wildlife; however, it’s challenging to
tion often differ from those related to foraging habitat fulfill the requirements of all animals within the management
selection. Habitat choice during breeding may differ plans of a single forest. For instance, some management plans
depending on the type of breeding site and the species’ are formulated to enhance species richness, while others may
breeding ecology. This selection can occur at variable spatial be specifically tailored for one or a few prominently featured
scales, both in absolute values and relative values, contingent species. Fire, now recognized as a part of the environment,
on the spatial range utilized by a given species. has profound effects on the forest community. The general
effect of fire is to set back succession to early stages favoring
15.5.1.3 Other Habitat Selections large mammals such as deer and moose. In some cases,
Habitat selection, aside from foraging and breeding, involves silvicultural treatment (manipulations) of a pure forest stand
individuals making choices in various situations. This occurs is carried out for management of a wild animal, for example
in species where mating transpires in a distinct location modification of Aspen (Populus spp.) stands is carried out for
separate from the breeding activity, as seen in lekking spe- management of ruffed grouse. At present, forest management
cies. For example, individuals might choose a spot close to a includes conflict recommendations from forest managers and
dominant male or within a well-lit area in low-light-intensity other key stakeholders. Resolution of these conflicts will
environments. Similarly, individuals might alternate between entail not only further biological data, but also imaginative
resting habitats or patches, where the primary resource is a management approaches coupled with social and political
secure site from predators or a location that enables them to acumen. Increasing land use land cover practices and changes
optimize energy expenditure, such as protection against cold thereof leads to decrease in wildlife globally. However, in
or rain. Migration can be viewed as an extreme form of regions where forest area is constantly increasing, forest
habitat selection, where individuals change habitat due to management tools are apparent and didn’t suffer from habitat
seasonal variations in resource availability while their degradation, such regions are showing marked mitigation of
requirements remain constant. However, migration behavior climate change thereby having positive impact on its wildlife,
constitutes a consistent habitat selection process, with and this is especially in parts of middle European areas or the
individuals changing habitat in a similar manner year after north-eastern part of the United States of America. A biodi-
year. During migration, individuals will select stopover versity assessment for Germany indicated, for instance, that
areas, but this choice can be considered a traditional forag- bird populations remained stable. Climate change, leading to
ing habitat choice, subject to constraints such as energy longer seasons and milder winters, along with forest and its
optimization. management practices that promote tree diversity showed a
significant positive correlation with the abundance of
non-migratory forest birds. These factors explained 92% of
15.5.2 Management of Range Vegetation the variation in their abundance in Europe. In northeastern
North America, non-migratory forest birds have witnessed
The practice of range management is as diverse as the types long-term increases in abundance, and this upward trend is
of rangelands and animals and plants growing on them. In linked to management efforts. The rise in populations of
general, range management addresses the manipulations of non-migratory forest birds in both Europe and North America
treatments on vegetation such as spraying or by regulating is associated with an increase in structural diversity and
grazing pressure. Range management involves many disturbances at the landscape level (Schulze et al. 2019).
practices designed for improvement and regulation of vege-
tation both quantitatively and qualitatively for livestock and
wildlife. These include mechanical and chemical means of 15.6.1 Management of Endangered Species
managing dense and undesirable vegetation. Prescribed burn-
ing also can be a useful management tool on many rangelands These are those species facing extinction. However,
to improve conditions for wildlife. Grazing systems, another threatened species are those potentially en route to
important means of livestock replenishing, involves periods endangered status. These species both plants and animals
15 Wildlife Management 353

are listed in the Red Data Book by International Union for 1. They are recurrent; in that the decision is revisited
Conservation of Nature and Natural resources also known as repeatedly.
IUCN. Reasons for their alarming status are (a) natural 2. They are plagued by uncertainty; in that the consequences
causes, (b) unregulated hunting, (c) introduced predators, of the alternatives are not known with certainty.
(d) non predatory exotics, and (e) habitat modification.
Dealing with uncertainty is essential in the management of The first feature gives rise to the need for understanding
threatened and endangered species, thus presents following the dynamic nature of decision actions taken now affect
scenarios: future decisions, along with the outcomes of those future
actions. The second feature gives rise to the need to know
1. Knowledge of decisions in context to threatened species on how to make decisions in the face of uncertainty.
management
2. Knowledge how to make such decisions 15.6.3.1 Adaptive Management Applications
for Threatened and Endangered Species
The conservation and its management of species that are Applicability of successful completion of adaptive manage-
endangered involve comprehensive strategies, like intensive ment application of threatened and endangered species man-
initiatives like captive breeding and foster parent programs, agement falls into three categories:
habitat preservation, predator and competitor control, and
other customized approaches derived from species recovery 1. Potential of the adaptive management: Adaptive man-
programs. agement application in natural resource management in
general and in particular to threatened and endangered
species has implied that it is critical method for manage-
15.6.2 Structured Decision-Making ment as it contains the basic normative ideas of conserva-
tion, especially with regard to such species.
In recent times, structured decision-making has been 2. Challenges and impediments to implementation:
redefined as the “application of formal decision analysis Importance in realizing the uncertainty in applying to
tools to the management of natural resources.” The array of subsequent decisions, especially in areas of population
analytical tools involved in this process is extensive and viability in an adaptive framework.
varied (Runge 2011). It includes: 3. Realization of actual implementation: Application is
the crux of overall success of this management, particu-
1. Multiattribute utility theory larly to such species. Success stories like adaptive man-
2. Information-gap theory agement of endangered species of Colorado river (Smith
3. Expected value of information et al. 1998) and recovery of Trout cod in Basin of Murray
4. Expert inference Darling in Australia (Moore and Conroy 2006) are few
5. Stakeholder engagement highlights of the successful application of this manage-
6. Scientific and traditional ment program.

Decision analysis is five step processes including, 15.6.3.2 Wildlife Management in Light of Indian
Legislation
1. Context understanding The indiscriminate and ill management of wildlife which
2. Knowledge of fundamental objectives resulted in the decline of important wildlife populations
3. Sets of alternate goals development resulted in a necessity for conservation with a precautionary
4. Evaluation note. Before the enactment of the legislation for wildlife
5. Recommendation of a preferred action protection in India, number of rules made under the existing
Indian Forest Act of 1927 and forest acts of respective states
were in vogue. Certain other acts like Act of 1879 for Ele-
15.6.3 Adaptive Management phant Preservation, Act of 1912 for Wild Birds and Animal
Protection, State of Tamil Nadu 1878 Act for Preservation of
A special case of structured decision-making where recurrent Wild Elephants and Bombay’s Act of 1951 for Wild Animals
decisions under uncertainty are imperative is known as adap- and Birds were some notable legislation related to conserva-
tive management. Many natural resource management tion of wildlife in Indian states. However, apart from
settings, including threatened and endangered species man- Bombay’s Act of 1951 for Wild Animals and Birds Protec-
agement decisions, have two key features: tion, all the legislations were incomprehensively enacted with
354 K. Ahmad and A. Bhat

considerable deficiencies for wildlife conservation. They 15.7 Human–Animal Conflict and Its
were mostly applicable to reserve forests; further there was Management
no provision for controlling illegal wildlife trade.
The obvious limitations in the old legislations, coupled The decline in wildlife, its species, and individuals has been a
with decrease of wildlife areas in the country, necessitated the regular feature with the advent of human civilization vis-a-vis
enactment of a comprehensive law applicable to conservation development. In fact, decline in the number of wildlife spe-
of wildlife and its related habitat throughout country. Thus, cies has kept pace with human progress and technological
National Act of 1972 for Wildlife Protection was passed by advance. Numerous reasons including habitat fragmentation
the Parliament on 9th of September, 1972. This act was and consequent degradation, spread of urban areas at the cost
applicable to all Indian states and union territories, except of wildlife habitats, rail, road, dams, and agricultural and
Jammu and Kashmir, but since 2019, its applicability has also industrial operations have caused the decline of wildlife
been extended to the jurisdiction of this erstwhile state of population. Along with the destruction of habitats for
India. human progress, uncontrolled hunting and poaching of wild
animals for pleasure, furs, horns, tusks, and other animal
15.6.3.3 Provisions in the Wildlife Protection Act products have also caused many animal species either to go
of 1972 extinct or endangered.
1. Chapter 1: (Preliminary) (Sections 1 and 2) Inhabiting of a common shared area between the
2. Chapter 2: Appointment of authorities (Sections 3–8) populations of humans and animals may attract interactions
3. Chapter 3: Hunting of wild animals (Sections 9–17) in two different ways. They are as follows:
4. Chapter 3A: Protection of specified plants (Sections
17A–17H) 1. Mutual existence: This type of interaction occurs when
5. Chapter 4: Protected areas and closed areas (Sections both human and animals remain neutral to each other. It’s
18–38) a hypothetical assumption because human and animal are
6. Chapter 4A: Central zoo authority and recognition known to cross each other’s domain since pre-historic
(Sections 38A–38J) times.
7. Chapter 5: Trade or commerce (Sections 39–49) 2. Conflict: This type of interaction occurs when there is
8. Chapter 5A: Prohibition of trade (Section 49A–49C) competition between the human and animal for the com-
9. Chapter 6: Prevention and detection of offences mon resource. With the increase in human population and
(Sections 50–58) consequently less abundant land resources, both human
10. Chapter 7: Miscellaneous (Sections 59–66) and the animal encroach upon the habitats.

Other notable acts and laws pertaining to forests and envi- Specifically, populations of some animals like elephant,
ronment that are also essential for the protection and conser- wild boar, tiger, and deer are supposed to exceed the opti-
vation of the wildlife resources across country are: mum level that might be supported by the available resources
in their habitats. These results in a spillover of wild animals
1. Indian Forest Act, 1927 unable to find adequate food and territory, and leads to
2. Forest Conservation Act, 1980 livestock lifting, crop raiding, property destruction, and
3. Forest Protection Act, 1986 even to human injury and death. Wildlife conservation effort
4. Environmental Protection Act, 1986 directly and indirectly gears up the human–animal conflict. It
5. Indian Biodiversity Act, 2002 should be viewed from two sides. On one hand, the conflict
6. Forest Rights Act, 2006 arises from restrictions imposed on the local people’s access
to forest resources. The restriction for the purpose of preser-
Besides these, three national forest policies also envisage vation of wildlife habitats indirectly affects their benefits
for the protection and conservation of wildlife under in situ accrued from staying near habitats. On the other hand, the
conditions. These are: conflict stems from the harm inflicted upon them by wild
animals. As a result, local people directly suffer from
1. National Forest Policy, 1894 incidents such as the intrusion of an increasing animal popu-
2. National Forest Policy, 1952 lation in search of food, space, and mates, leading to crop
3. National Forest Policy, 1988 losses, cattle theft, human fatalities, and other related
consequences (Das and Guha 2003).
15 Wildlife Management 355

15.7.1 Classification of Human–Animal Conflict program, which can recognize images of illegal wildlife
products with 75% accuracy.
1. Damage of natural resources In 2007, a consortium of Chinese Internet giants, includ-
2. Damage of forage ing Baidu, Alibaba, and Tencent, formed an alliance to lever-
3. Damage of agricultural and horticultural crops age their technology against online illegal wildlife trade.
4. Damage to livestock by disease transmission Cloud-based technology plays a pivotal role in rapidly
5. Danger to human health and safety expanding these initiatives without the necessity of provi-
6. Environmental damage sioning, operating, and maintaining expensive physical infra-
structure. Moreover, it facilitates widespread accessibility,
allowing organizations dispersed over large geographical
15.7.2 Management distances to share information swiftly and seamlessly. This
ease of collaboration makes it simpler to combine resources
1. Direct methods: Shooting, poisoning, or any biological and capabilities, yielding more substantial outcomes in wild-
control through predators or translocation life conservation efforts.
2. Preventive methods: Fencing, scaring devices, use of Data analytics further enhances wildlife management
chemicals, repellents, and trapping strategies by amalgamating multiple data points and
3. Environmental control: Less attraction of the damaged providing authorities with a singular, reliable source of infor-
area and use of alternate area. mation. This not only increases efficiency but also offers
4. Physiological control: Modification of animal’s physio- enhanced visibility into on-the-ground activities, contributing
logical ability to survive or reproduce to more effective wildlife conservation.

Methods currently used in India to limit the animal damage

(Gopal 2018) 15.9 Concluding Remarks

1. Driving As one of the 17 mega biodiversity countries globally, India

2. Trenching boasts an extraordinary diversity of plant and animal species
3. Fencing and is very rich in wildlife and exclusively fascinating and
4. Repellents diverse ecosystems. India’s wildlife spans a vast range of
5. Lure crops ecosystems, from the lush evergreen forests in the North
6. Corridors East to the arid deserts of Rajasthan, and from the alpine
7. Mesh fencing and subalpine forests of the Himalayas, including the cold
8. Capturing and translocation desert Trans-Himalayas, to the biodiversity rich Western
Ghats.
In India, although wildlife management and conservation
15.8 Wildlife Management Using Modern evolved from the ancient and medieval period, it progressed
Technologies rapidly with the arrival of British who laid the foundation of
scientific management and conservation of wildlife. Game
The diverse wildlife on the planet faces endangerment due to management, the precursor of the wildlife management,
a range of human activities. From the early days of human modified into a more logical and scientific tool which had
existence, people have exploited nature and animals for their its roots in human ethics, culture perceptions, and legal
benefit, leading to significant environmental harm. This harm concepts. Encouraged by these pioneering efforts, several
encompasses habitat destruction, illicit wildlife trade, the national and international organizations were formed for the
proliferation of invasive species and diseases, and human conservation of natural resources. Wildlife research focused
interventions affecting Earth’s climate. on wildlife management and conservation was far and few.
National parks, often spanning thousands of square Many of these research studies restricted to quantitative pop-
kilometers, face challenges in effectively monitoring all ulation estimation or census, wildlife biology, habitat man-
areas. Drone technology and surveillance tools offer a solu- agement, and behavioral ecology. Simultaneously, as the
tion, empowering human rangers to significantly enhance the global travel became more frequent, birding and ornithology
scope and efficiency of their surveillance efforts without the started picking up momentum. In the mid-twentieth century,
need for physical deployment to remote locations. Artificial these studies were further advanced to scientific appraisal and
intelligence (AI) excels in processing vast amounts of infor- legislation for wildlife conservation and strengthening of the
mation, proving invaluable in identifying and tracking illegal protected area Top of Form network. The wildlife conserva-
wildlife trade. An illustration of this is the AI Guardian tion received a major attention and impetus in 1970s with the
356 K. Ahmad and A. Bhat

enactment of the Act of 1972 for protection of Wildlife and effective management. There has been an increasing demand
initiation of Tiger conservation Project in 1973. Conservation for public participation for the long-lasting conservation of
of tiger as an umbrella species paved way for the establish- wildlife and other resources in the country.
ment of the Tiger Reserves and many other protected areas
across the country for the conservation of wildlife in general Lessons Learnt
and tiger in particular. • Wildlife conservation and management have gained sig-
The substantial rise in both human and livestock nificant importance alongside urgent global challenges
populations in India has exerted immense pressure on natural like climate change, global warming, and health
resources. Consequently, forests, pastures, and wastelands education.
have been converted into cultivated areas to meet the • Wildlife conservation and management in India trace their
escalating demands for housing, cereals, and other food roots back to ancient and medieval times, but they gained
products. The adoption of unsustainable land use patterns in technical advancements during the British colonial era,
rural regions, encroachments on wild lands, agricultural which laid the foundation for scientific management
expansion, excessive livestock grazing, and various extrac- practices.
tive industries have led to the fragmentation, degradation, • Wildlife management encompasses various disciplines
and disturbance of most protected areas. such as monitoring, surveillance, protection, habitat resto-
These alterations in habitat, coupled with disease trans- ration, and population regulation, all integrated with logi-
mission from livestock, have had widespread and predomi- cal reasoning and scientific interpretation.
nantly negative impacts on wildlife populations. Many • Effective wildlife management and enduring conservation
wildlife species have experienced ecological displacement depend on the full participation and support of local
and local extinction due to these biotic interferences. The communities. Involving people through education, aware-
current peak in human–wildlife conflicts can be directly ness campaigns, and sustainable livelihood options can
attributed to the intensive disturbances in protected areas. foster a sense of ownership and support for conservation
Consequently, the acceptance of conservation ideals by activities.
local communities has been significantly compromised. • Studying species populations, habitats, and ecological
The Indian Government, local communities, multilateral dynamics provides scientific solutions for successful man-
aid agencies, and Non-Governmental Organizations (NGOs) agement and long-lasting planning of conservation of
have made commendable financial and other investments in threatened species and their natural habitats. Innovative
the conservation of wildlife, both within their natural habitats science-based approaches and technological interventions
(in situ) and in controlled environments (ex situ). Effective increasingly guide decision-making in wildlife
conservation efforts require continuous monitoring of wild- conservation.
life management practices, wildlife habitats, and species • Incorporating conservation objectives into development
populations to ensure their well-being and sustainability. plans and policies can mitigate harmful effects on wildlife
Climate change and its potential impacts, coupled with and their habitats. Supporting sustainable livelihoods for
increasing anthropogenic demands on land, sea, and freshwa- local communities in alignment with conservation goals
ter resources, have elevated the conservation and manage- can create positive outcomes.
ment of wild areas and animals to a paramount priority. All of • Addressing human–wildlife conflicts requires a multidis-
this requires highly trained personnel. Contrary to the devel- ciplinary approach, including community-based conserva-
oped countries, in India, there has been a general lack of tion methods, habitat management, and flexible wildlife
professional human resources and trained human power, policies. Effective wildlife conservation necessitates col-
corps of wildlife biologists and trained managers, who will laboration among governments, institutions, conservation
effectively tackle these issues in the protected areas. There is groups, researchers, NGOs, and local communities.
an urgent requirement to cultivate skilled wildlife biologists, • Wildlife conservation is a dynamic process and adaptive
providing comprehensive education and training for management strategies are crucial to adapt to changing
individuals aspiring to pursue careers in wildlife and nature ecological, social, and economic conditions.
conservation. These individuals should be equipped to • Effective wildlife conservation and management require
actively advocate and advance science-based wildlife conser- essential qualities such as adaptability and the capacity to
vation and habitat preservation within the country. derive valuable lessons from both successes and failures.
Besides strengthening the conventional management
practices of protection, anti-poaching camps and patrolling, Key Questions
fire control, and management, the science-based management 1. Explain the concept of wildlife management and its sig-
of species and their habitats requires a landscape approach nificance in conservation efforts.
and strengthening the use of modern tools and techniques for
15 Wildlife Management 357

2. Discuss the importance and inherent values of wildlife, resistance: accounting for human behavior in wildlife connectivity
both ecologically and culturally, and what is their contri- planning. One Earth 4(1):39–48
Giles LW, Marshall DB (1954) A large heron and egret colony on the
bution to the overall welfare of ecosystems and human stillwater wildlife management area, Nevada. The Auk 71(3):
society? 322–325
3. What are the fundamental requirements for the survival Gopal R (2018) Fundamentals of wildlife management. Natraj
and well-being of wildlife species, and how do these Publishers, New Delhi, India. 1288 p
Gwinner E, Rodi T, Schwabl H (1994) Pair territoriality of wintering
requirements relate to habitat quality? stone chats: behaviour, function and hormones. Behav Ecol Soc Biol
4. Define the concept of home range and elaborate on the 34:321–327
various techniques employed to estimate and analyze Haq IU, Rehman S, Bhat BA, Ahmad K, Rahmani AR (2021) Isolation
home range patterns in wildlife populations. and molecular characterization of bacteria from Ibis bill
(Ibidorhyncha struthersii) in River Sindh of Kashmir Himalaya.
5. Explain the terms “Territory” and “Territoriality” in the Acta Ecol Sin 41(6):537–544
context of wildlife behavior, and discuss their ecological Hazzah L, Dolrenry S, Naughton L, Edwards CTT, Mwebi O,
significance and implications for population dynamics? Kearney F, Frank L (2014) Efficacy of two lion conservation
6. What is a wildlife corridor, and how does it contribute to programs in Maasailand, Kenya. Conserv Biol 28(3):851–860
Hutchins M, Marra PP, Micheal ED, Sheppard KC, Hallager S, Lynch C
wildlife conservation and landscape connectivity? Discuss (2018) The evolving role of zoological parks and aquariums in
with examples their effectiveness in facilitating wildlife migratory bird conservation. Zoo Biol 37(5):360–368
movement. Karanth KU, Kumar NS (2013) Replenishing water tanks in wildlife
reserves: how scientific? Conservation Articles
Lischka SA, Teel TL, Johnson HE, Crooks KR (2019) Understanding
and managing human tolerance for a large carnivore in a residential
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 Part III
Silviculture, Resource Assessment and Sustainability
 Forest Mensuration
16
Ramakrishna Hegde, P. A. Clara Manasa, and Supriya K. Salimath

Abstract contributing to the estimation of productivity in broader

Forest mensuration involves the measurement and quanti- forest regions. Effective forest management relies on
fication of forests and trees. A comprehensive understand- accurate data, making mensuration an integral component
ing of the methods and processes employed in these in the quest for information about forest resources and
measurements is essential for forest managers. This informed decision-making.
encompasses measures of linear length, area, volume,
and weight. Techniques often involve measuring easily Keywords
identifiable parts of an object, with the actual object size Mensuration · Breast height · Volume table · Site index ·
estimated using intricate mathematical formulas derived Stand density
from component measurements. Whether measuring
something basic or highly complex, precision, bias, and
accuracy are critical considerations. Therefore, precision- 16.1 Introduction
enhancing methods for different dimensions are pivotal to
ensure accurate and reliable measurements. This chapter All woodland and forest management are based on
delves into various tree dimensions, including height, estimations and measurements, that is, interpreting numerical
diameter at breast height (DBH), girth, bark thickness, data. Evaluating the results of observations, estimates, and
tree form, volume, felled logs, and branch measurements. measurements provides a basis for the practical experience of
It also explores factors influencing site productivity, such particular importance to foresters (Prodan 1968). The basis of
as site quality and canopy density. These measurements mathematical statistics lies in pure mathematics. The mathe-
are essential for foresters to establish relationships among matical statistics method obtains an objective and effective
dependent tree dimensions. This chapter further highlights evaluation of the data resulting from observations and
the importance of forest inventory in estimating the pro- experiments. Mathematics was a well-developed discipline
ductivity of larger forest areas. The adage “if you cannot in ancient India. Mensuration, an essential part of this disci-
measure it, you cannot manage it” underscores the vital pline, is derived from the Latin word “mensura,” meaning
role mensuration plays in effective forest management. “measure.” It is, thus, concerned with determining lengths,
Mensuration is crucial for obtaining information about area, and volume (Chaturvedi and Khanna 1994). Forest
forest resources, with the ultimate goal of providing quan- measurements are vital for understanding growth, assessing
titative data to make informed decisions regarding density, yields, and ensuring proper management. Challenges in
use, and management. The discussion extends to factors directly measuring aspects like tree volume are met by
influencing site production, with a detailed examination of estimating through ground-level measurements, overcoming
site quality and canopy density. Establishing relationships obstacles posed by towering tree height and size.
between dependent tree components is imperative for Forest mensuration, also known as Dasometrics or
foresters. This chapter sheds light on forest inventory, Dendrometrics/Biometrics, is the discipline focused on
quantifying forests, trees, and forest products (García 1995).
R. Hegde (✉) · P. A. Clara Manasa · S. K. Salimath It constitutes the branch of forestry dedicated to determining
College of Forestry, Ponnampet, Keladi Shivappa Nayaka University of
dimensions (e.g. diameter, height, volume), form, age, and
Agricultural and Horticultural Sciences, Shivamogga, Kodagu,
Karnataka, India increment of individual trees, stands, or entire woodlands,
e-mail: ramakrishnahegde@uahs.edu.in whether standing or after being felled. This encompasses

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 361
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_16
362 R. Hegde et al.

measurements of both standing and felled trees, sawn wood, nearest hectare, or the nearest microsecond, depending on the
round logs, and various minor forest products such as bam- nature of the object being measured.
boo, charcoal, bark, fruits, and more. The scope of forest Bias is defined as “the disparity between the average of
mensuration extends to linear, area, volume, and weight multiple repeated measurements or estimates of something
measurements. While volume holds significant importance and its true value.” When measuring something challenging,
in the realm of forest management, weight, often referred to the number of attempts or the diversity of measurement
as biomass, is gaining increasing prominence and is being equipment employed may not rectify the issue; the obtained
employed as a substitute for volume. The metric system of results could consistently deviate from the actual value. In
weights and measures has been used throughout. In Indian this context, “the wrong answer” signifies that the outcomes
forestry, the unit of measurement before the passage of the from numerous measurement attempts would consistently
Standards of Weights and Measures Act 1956 was the overstate or understate the actual value of the object being
F. P. S. system. Metric system or C. G. S. system introduced measured. In such instances, the measurement or estimation
in October 1962 is now a legal necessity. Hence, in India, old method is described as biased.
records of measurements are in the British system, and the Precision is defined as “the fluctuation in a series of
measurements taken and table prepared after the introduction repeated measurements or estimates of something.” This
of the metric system are in metric measures. Until all the old variability stems from the constraints inherent in the mea-
tables are reconstructed in the metric system, the surement or estimation technique, considering its application
measurements of the British system would continue to appear at different times and under diverse conditions, as well as the
in references to those measurements. However, it is essential limitations of the individuals conducting the measurements.
to convert F. P. S. units to C.G.S. units in current use.
A primary focus lies in measuring the quantity of wood
within tree stems and determining the sizes of logs that can be 16.2.1 Individual Tree Measurements
extracted. This wood is subsequently transformed into timber
products, commonly known as lumber in America, serving 16.2.1.1 Stem Diameter/Girth
various purposes including construction and paper-making. In forestry, the most straightforward, prevalent, and arguably
The extraction of wood in the form of logs from tree stems the most crucial measurement applied to trees is the diameter
remains a valuable commercial practice in forestry. Tradi- of their stems. The tree stem diameter holds significance for
tionally, courses on forest measurement have emphasized the various reasons:
techniques employed in measuring this wood resource.
• It frequently exhibits a close correlation with more
challenging-to-measure attributes, such as the volume of
16.2 Measurements wood in a tree’s stem or the tree’s weight (referred to as
biomass).
The act of measurement is an integral aspect of any scientifi- • The diameter often serves as an indicator of the tree’s
cally grounded discipline. When faced with the challenge of monetary value, as larger trees yield larger logs, allowing
measuring something directly or when direct measurement is for the production of more valuable timber with higher
impractical, approximations or estimates are employed. commercial worth.
These approaches often entail measuring accessible parts of • It can indicate a tree’s competitive standing within a stand
the object. Subsequently, intricate mathematical processes and its potential for robust growth relative to other trees.
are applied to translate these partial measurements into an • Stem diameter gradually diminishes from the base of the
estimate of the overall size of the object. Whether dealing tree as it tapers.
with a straightforward or highly intricate subject, three key
considerations come to the forefront in measurement: accu- To standardize measurements, a widely adopted practice
racy, potential bias, and precision (West 2009). in forestry involves assessing tree stem diameter at breast
Accuracy refers to “the variance between a measurement height. Breast height serves as the global standard for mea-
or estimation of something and its actual value.” Put simply, suring the diameter, girth, and basal area of standing trees. In
it represents the degree of closeness with which one can India, the USA, Burma (Myanmar), the Union of
measure or estimate something, considering the limitations South Africa, and some other former British colonies, the
of the available measuring tools or estimation techniques. standard breast height is set at 1.37 m (4 ft. 6 in.) above
Accuracy is conveyed by indicating that a measurement or ground level. In Europe and most other Commonwealth
estimate has been conducted to the nearest fraction of a unit countries, the established breast height is 1.30 m (4 ft.
of measurement, such as the closest 1/10th of a meter, the 3 in.), a recommendation also endorsed by the FAO.
16 Forest Mensuration 363

Standard Rules Governing Breast Height down as minimally as possible to a more normal stem
Measurements position (Fig. 16.2b).
To standardize diameter measurements, specific rules have 6. For buttressed trees with potential further growth of the
been established for measuring the diameter or girth at breast buttress, measure the breast height point at the lowest
height. position beyond which the abnormal formation is not
1. Mark breast height on standing trees at 1.37 m (4 ft. 6 in.) expected to extend (Fig. 16.2c).
above ground level using a measuring stick (see 7. For trees with forks, designate breast height at 1.37 m (4 ft.
Fig. 16.1a). 6 in.) if the fork is above this point, treating the tree as a
2. Mark the breast height point using a cross mark, single entity for diameter or girth measurement. If the fork
consisting of intersecting vertical and horizontal lines is below, measure each fork separately. In cases of abnor-
each measuring 12 cm in length and painted with white mal stem conditions at breast height due to forking, adhere
paint.
3. On sloping terrain, measure the breast height on the uphill
side after clearing away debris, leaves, needles, etc.
(Fig. 16.1b).
4. For leaning trees, measure breast height along the leaning
tree stem rather than vertically (Fig. 16.2a).
5. If the stem exhibits abnormalities at the 1.37 m (4 ft. 6 in.)
level, adjust the breast height point by shifting it up or

Fig. 16.2 Breast height of (a) A leaning tree; (b) abnormal stem; (c)
Fig. 16.1 (a) Breast height of tree; (b) tree on sloping ground buttresses tree
364 R. Hegde et al.

Fig. 16.4 Bark of tree

16.2.1.2 Bark Functions

Bark, depicted in Fig. 16.4, serves as the outer protective
covering for the stems and roots of woody plants. Woody
plants, such as trees, woody vines, and shrubs, feature bark,
encompassing all tissues exterior to the vascular cambium.
Bark develops around the branches and stems of these plants,
playing a crucial role in shielding the bole from desiccation
and various forms of damage.
The thickness of bark exhibits variation based on factors
such as species, genetic makeup, geographical location or
Fig. 16.3 Breast height of forked trees
site, age of the tree, overall health, size, growth rate, and
position along the bole within the same tree, ranging from the
to the mentioned rule. The tree may be counted as one or
base to the tip.
two, depending on the measurement location (Fig. 16.3).
Differences in bark thickness impact the determination of
the volume of standing trees. Since the measurement of
Measuring Stem Diameter
diameter or girth is typically conducted over the bark, and it
The conventional method for determining stem diameter
is impractical to measure bark thickness on every tree, it
involves using a tape measure to measure its girth. A tape is
becomes essential to ascertain the bark thickness for trees of
a graduated band, typically made of cloth, reinforced cloth,
various species. The Swedish bark gauge (depicted in
plastic, or steel, approximately 1.50 cm wide and of variable
Fig. 16.5) is a tool specifically designed for this purpose. It
length. These tapes are commonly graduated in the metric
takes the form of a graduated chisel that is inserted into the
system (cm and mm, m) and the F.P.S. system (inch and
bark, allowing for the measurement of bark thickness with
foot). Tree measuring tapes are typically 3 m or 5 m long,
the assistance of the graduated scale on the chisel.
while land measuring tapes are generally available in lengths
of 5 m, 10 m, 20 m, 30 m, or even 50 m. A second instrument
Conversion of DOB into DUB and GOB into GUB
frequently employed for diameter measurement is a caliper.
The estimated diameter under the bark (DUB) of a standing
Calipers consist of a graduated rule and two arms. One arm is
tree can be determined by subtracting twice the bark thick-
fixed at right angles to one end of the rule, with its inner edge
ness (BT) from the diameter over the bark (DOB).
aligned with the starting point of the graduated scale, while
the other arm moves along the rule parallel to the fixed arm.
i:e:, DUB = DOB - 2 BT
Additionally, instruments like the Biltmore stick, Sector fork,
Penta Prism, Barr, Stroud Dendrometer, Wedge Prism, and
The girth under bark (GUB) of a standing tree can be
Tele Relaskop are utilized in Western countries.
estimated using the following formula: GUB = GOB -
2πBT
16 Forest Mensuration 365

percentage by volume decreases with height. Some species

exhibit a decrease in the ratio of dub/dob with height.

16.2.2 Tree Height

Measuring tree height is critical in forest assessments, serving

as a fundamental parameter for estimating tree volume. Tree
heights are vital for consulting volume tables, form factor
tables, yield tables, and conducting essential evaluations of
site productivity.

Total Height The total height of a standing tree is the

straight-line distance from the tip of the leading shoot
(or from the highest point of the crown where there is no
leader) to the ground level usually measured on slopes from
Fig. 16.5 Swedish bark gauge
the uphill side of the tree (Fig. 16.6a).
Bark Thickness Table
Bole Height: Bole height is the distance between the ground
After measuring the bark thickness on a significant number of
level and Crown Point. Crown point is the position of the
trees within a species, a plot is created by correlating the
first crown forming a living or dead branch. Bole height
thickness of the bark with the tree diameter, and a smooth
expresses the height or length of the clear main stem of
curve is drawn. The bark thickness is then determined from
a tree.
this curve by reading it against the midpoint of the diameter
Commercial Bole Height: It is the height of the bole that is
class interval, and the results are tabulated.
usually fit for utilization as timber.
Height of Standard Timber: The height of the bole from the
Bark Percentage Table
ground up to the point where the average diameter over
The table comprises data on the percentage of bark and wood
bark is 20 cm.
categorized by diameter classes. This table is constructed by
Stump Height: The height of the top of the stump above
measuring numerous trees and determining the percentage of
ground.
bark and wood for each. The collected data is then
Crown Length: It is the vertical measurement of the crown
graphically represented against tree diameters, and smooth
of a tree from the tip to the point halfway between the
curves are delineated. Subsequently, the percentage of bark
lowest green branches forming the green crown all round
and wood is extracted from this curve by reading it against
and the lowest green branch on the bole.
the midpoint of the diameter class interval, and the results are
Crown Height: It is the height of the crown as measured
tabulated.
vertically from the ground level to the point halfway
between the lowest green branch and the green branches
Bark Thickness Relationships
forming the green crown all round (Fig. 16.6b).
The average bark volume typically falls within the range of
10–20% of the over bark volume in the majority of tree
16.2.2.1 Methods of Measurement of Tree Height
species. Bark thickness demonstrates a regular decrease
For small trees, height can be directly measured using a pole
from the base to the tip, with the taper rate generally (though
or rod, while taller trees may require sliding poles or tele-
not invariably) associated with the taper rate of the stem
scopic poles made of wood or metal. Typically,
beneath the bark. Despite this variability, there is usually a
measurements of trees in the forest or stand are conducted
discernible relationship between average bark thickness at
through three methods:
breast height, bark volume, and stem variables such as diam-
eter at breast height (dbhob) and height. The ratio of diameter
1. Ocular estimation
under bark (dub) to diameter over bark (dob) often exhibits a
2. Non-instrumental methods
consistent and predictable pattern with increasing height on a
3. Instrumental methods
tree trunk. In many hardwoods, the ratio remains relatively
constant as height increases. Conversely, in conifers, the ratio
Ocular Estimation
of dub/dob tends to rise along the bole, while the bark
Ocular estimation visually assesses tree height. To establish a
scale, some trees are measured with instruments. Using this
366 R. Hegde et al.

Fig. 16.6 (a) Measuring of tree height and other parameters. (b)
Measuring crown height and related parameters

Fig. 16.7 Shadow method on

Non-instrumental Methods
All methods, instrumental and non-instrumental, assume ver-
tical tree alignment, although trees may not be perfectly
vertical. Instruments can measure the height of leaning
trees, while both methods are applicable to vertical ones.
Non-instrumental techniques for vertical trees include:

• Shadow method
• Single pole method

Shadow Method
This technique requires inserting a vertical pole into the
ground and measuring its height and shadow, along with
those of the tree. Represent the tree’s height as AB, the
pole’s height as ab, the tree’s shadow as Al Bl, and the
Fig. 16.6 (continued) pole’s shadow as al bl (see Fig. 16.7). The tree’s height is
calculated using a straightforward proportion.
standard, the estimator evaluates tree heights. For added Now,
reliability, a 3 m pole or a pencil can be used. Place a 3 m
pole against the tree and mentally divide it into 3 m sections AB ab
for height calculation. Alternatively, use a pencil in an l l
= 1 1
AB ab
outstretched hand to cover the pole against the tree. Imagin-
ing the sections marked by the pencil’s length, multiplying ab × A1 Bl
AB =
the number by 3 yields the tree’s height in meters. Consistent a 1 b1
practice enhances accuracy despite ocular estimation’s poten-
tial for errors. This technique is applicable solely on clear, sunny days
and yields accurate results when employed during the early
16 Forest Mensuration 367

morning or late evening, avoiding the period between 11 AM • One angle of a triangle is equal to one angle of the other,
and 2 PM when the tree casts a long shadow. However, in and the corresponding sides subtending the equal angles
densely stocked forests, especially where obtaining the are proportional.
shadow of the specific tree on the ground proves challenging,
this method becomes difficult to apply. Let ABC and abc be two similar triangles. AB and BC are
known in triangle ABC and only bc is known in triangle abc.
Single Pole Method
In this method, an observer holds a roughly 1.5 m pole
vertically at arm’s length, ensuring the part above the hand
equals the distance from the eye. Without changing the
hand’s position relative to the eye, the observer moves for-
ward and backward until the line of sight to the tree’s tip
aligns with the pole’s tip, and the line of sight to the tree’s
base passes through the point where the hand holds the pole.
This ensures the section of the pole above the hand entirely
covers the tree. Let AB represent the tree, and ac a pole about Then ab can be found using the relationships:
1.5 m long, held at b vertically so that the distance from the
observer’s eye E to b is equal to ab. ab : AB = bc : BC
Now,
or ab × BC = bc × AB
AB EB
=
ab Eb bc × AB
ab =
BC
EB × ab
AB =
Eb Certain instruments utilize these principles to directly
measure the heights of trees.
Since, Eb = ab and AB = EB.
Height by Trigonometric Methods
Instrumental Methods In a right-angled triangle, the trigonometric ratios or
Instruments for measuring tree height include hypsometers, functions of angles, excluding the right angle, can be defined
altimeters, and clinometers. Hypsometers determine tree based on the sides of the triangle.
height from a distance. Altimeters, designed for altitude,
have specific adaptations for tree heights. Clinometers, mea-
suring slope angles, can be used for tree height via trigono-
metric methods. Some clinometers, known as hypsometers,
incorporate a scale providing the tangent of an inclination
angle as a percentage of horizontal distance. These
instruments rely on geometric or trigonometric principles
involving similar triangles or right-angled triangles. Let ABC be a right-angled triangle. The trigonometrical
ratios of the ∠ACB are defined as follows:
Height by Geometric Methods
Two triangles are considered similar when their • sin ∠ACB = AB/AC
corresponding angles are equal, and their corresponding • cos ∠ACB = BC/AC
sides are proportional. The establishment of the similarity • tan ∠ACB = AB/BC
of two triangles can be confirmed by one of the following
conditions: Therefore, trigonometric ratios can be employed in calcu-
lating tree heights using one of the following methods:
• Each angle of a triangle is equal to its corresponding angle
in the other triangle. Tangent Method
• Each side of a triangle is proportional to the corresponding The tangent method calculates tree height using tangents of
side of the other triangle. angles to the tree’s top and base, along with the observer’s
distance. Procedures for height calculation must adjust based
on the observer’s position relative to the tree, especially in
368 R. Hegde et al.

AB = AD þ BD

= ED tan α þ ED tan β

= ED ðtan α þ tan βÞ

But if the horizontal line drawn from the eye cuts the tree
high making the measurement of ED difficult, it will have to
be changed in terms of AE.
In a right-angle triangle ADE,

ED = AE × cos β

AB = AE cos β ðtan α þ tan βÞ

Sine Method
In triangle AEB (Fig. 16.10)

sin∠AEB sin∠ABE
=
AB AE
Fig. 16.8 Tree on level ground
AB × sin∠ABE = AE × sin∠AEB
sloping terrain. This is crucial for accuracy in various land
conditions. The following methods should be followed in AE × sin∠AEB
AB =
such conditions. Sin∠ABE
Let AB be the tree which is being observed by observer
EF standing on the same horizontal plane as the tree AE × sin ðα þ βÞ
AB =
(Fig. 16.8). Let angle of elevation (when the observer view sin ð90 - αÞ
the top of the tree) be α and ED the horizontal line of sight
making the right angle on the tree at D. Various instruments, relying on trigonometric principles,
In the right-angle triangle BED are utilized in different countries. In India, commonly used
instruments include Brandis hypsometer and Abney’s level.
tan αBD=ED Haga altimeter, Topographical Abney’s level, Ravi Altime-
ter, Blume–Leiss hypsometer, and Clinometer are currently
BD = tan α × ED in use. Additionally, instruments such as Relaskop, Tele
Relaskop, Barr, and Stroud dendrometer are also employed.
Now AB = AD + BD
16.2.2.2 Tree Stem Form
AB = AD þ tan α × ED A casual observation of trees shows that their stems are not
perfectly cylindrical. To calculate tree or log volume, one
(Since ED = AF and AD = EF) needs the diameter (or length for logs) and an understanding
Therefore, AB = EF + tan α × AF of stem form, which is the taper rate. Taper, the diameter
where observer is standing at such a place that the tree is decrease from the base upward, varies with species, age, site,
above the eye level and the base below it. Let AB be the tree, crop density, and even different parts of the same tree. For
α be the angle to the top and β be the angle to the base of the instance, the basal portion of the tree corresponds to the
tree. Let ED be the horizontal line from observer eye E frustum of a neiloid, the middle portion to the frustum of a
making a right angle on tree at D (Fig. 16.9). paraboloid, and the top portion to a cone (Fig. 16.11).
16 Forest Mensuration 369

Fig. 16.9 Tree on sloping ground

Fig. 16.11 Tree stem form measurement

1. Comparing standard form ratios

2. Classifying form based on form ratios
3. Compiling taper tables

Comparing Standard Form Ratios

There are two form ratios are in vogue

1. Form factor
2. Form quotient
Fig. 16.10 Sine method
Form Factor
The form factor is the ratio of a tree’s or its components’
An ideally cylindrical tree shape is preferred for efficient
volume to a cylinder’s volume with the same length and
timber use. Factors like species, genotype, age, competition,
cross-section as the tree. It represents the ratio between the
site characteristics (especially wind exposure), silvicultural
tree’s volume and the product of its basal area and height.
treatment, and crown size and structure are key in determin-
Different classes of form factors are distinguished based on
ing tree form. Among these factors, the crown length often
basal area measurement height and the tree parts considered.
decisively shapes the overall tree form (Table 16.1).
1. Artificial Form Factor: Also known as the breast height
Approaches to Studying Tree Form
form factor, it measures basal area at breast height, includ-
Analyzing tree form presents challenges as it cannot be fully
ing the entire tree above and below the measurement
determined by a few measurements. Form varies not only
point. While not a reliable indicator of tree form due to
between trees but also within the same tree, with added
inconsistent relationships with tree height, it is widely
complexity from bark thickness variations. Nevertheless,
used for its convenient measurements.
tree form can be studied using the following approaches:
370 R. Hegde et al.

Table 16.1 Different tree situations with its ring area growth and tree ring width
Tree situation Ring area growth Tree ring width
Free-growing trees, predominant or vigorous trees growing in gaps, crowns Increases basipetally Increases
strongly developed basipetally
Stand grown trees not overtopped but side growth of crown hindered, e.g., Approximately equal growth along length Decreases
co-dominants of stem basipetally
Overtopped stand grown trees, e.g., intermediate and suppressed trees Decreases basipetally Decreases
basipetally

2. Absolute Form Factor: Basal area is measured at any Form Quotient

convenient height, and the volume pertains solely to the An Austrian forester, A. Schiffel, proposed that taper
tree part above this point. It is the ratio between the depends on what he termed the “form quotient” (F.Q.), defin-
volume above the measurement point and a cylinder’s ing it as the ratio between the mid-diameter and the diameter
volume with the same basal area and height as the tree. at breast height (d.b.h.). Therefore, according to his theory,
3. Normal (or True) Form Factor: Basal area is measured
at a constant proportion of the total tree height, such as Mid diameter
F:Q: =
1/10th or 1/20th, and the volume encompasses the entire DBH
tree above ground level.
This assumption was not always accurate because, in the
The standard form factor has drawbacks, including the case of a tree with a height of 2 × 1.37 m, the midpoint
need to determine the tree’s height before fixing the measure- coincides with breast height, resulting in an F.Q. of 1. To
ment point and potential inconvenience for extremely tall or address this limitation, Tor Jonson, a Swedish forester,
short trees. Both absolute and standard form factors are no redefined the form quotient as the ratio between the
longer in use. In India, unless specified otherwise, “form mid-diameter above breast height and d.b.h. To distinguish
factor” implies an artificial form factor with basal area calcu- it from Schiffel’s F.Q. known as the normal form quotient,
lated at 1.37 m above ground level. The formula for the Jonson termed his form quotient the absolute form quotient.
artificial form factor is provided: In essence, the normal form quotient is defined as the ratio of
the mid-diameter or mid-girth of a tree to its diameter or girth
V at breast height, while the absolute form quotient is defined as
F= the ratio of the diameter or girth of a stem at one-half of its
Sh
height above breast height to the diameter or girth at breast
In this context, F represents the form factor, which is a height. The term “quotient” now refers to the absolute form
parameter used in calculating tree volume denoted by V in quotient, and the normal form quotient is of historical interest
cubic units. S stands for the basal area at breast height, and only unless specified otherwise.
h represents the height of the tree. These variables are integral
in mathematical expressions related to the volumetric assess- Classifying Form Based on Form Ratios
ment of trees. There are two ways to classify form based on form ratios

Uses of Form Factor 1. Form class

1. To Estimate the Volume of Standing Trees: Form 2. Form point ratio
factors, when tabulated, offer average values for trees of
various dimensions categorized by diameter and height
classes. These tables aid in estimating the volume of
standing trees through diameter and height measurements. Form Class: Form class is defined as one of the intervals in
While less effective for individual trees, they prove useful which the range of form quotients of trees is divided for
for estimating the volume of tree groups, with applicabil- classification and use. It also applies to the class of trees
ity restricted to conditions resembling the samples used which fall into such an interval. Trees may be grouped into
for table creation. form classes expressed by form quotient intervals such as
2. To Study Laws of Growth: Form factor, alongside form 0.50, 0.55 to 0.60 and so on or by mid-points of these
point and form quotient (to be elaborated later), provides intervals such as 0.525, 0.575 and so on.
insights into the laws of growth, especially pertaining to Form Point Ratio: Form point is defined as the point in the
the stem form, in trees. crown at which wind pressure is estimated to be centered.
Therefore, the form point ratio (or height) is defined as the
16 Forest Mensuration 371

relationship, usually expressed as a percentage, of the Methods Used for Estimation of Volume of Felled Trees
height of the form point above ground level to the total The volume of felled trees encompasses stem wood, branch
height of the tree. It is claimed that the form point ratio wood, and root wood, where the latter may be valuable and
bears a consistent relation to the form quotient and that by permitted for excavation. Given that the stem contributes the
means of a table showing these relations, the form quotient majority of the timber in a tree, the calculation of its volume
and form class of a tree can be determined if the form point is usually examined in greater detail. Due to the irregular
ratio is known. tapering of the tree, it is customary to segment the tree into
logs. The lengths of these logs are determined by the rate of
Compiling Taper Tables taper and market demands. The diameter at the thin end of the
Another method for studying the form of trees involves the log dictates the sawn volume that can be obtained from it, and
compilation of taper tables, illustrating the actual form as the taper rate increases, the log’s length decreases.
through diameters at fixed points from the base to the tip of However, in certain cases, a higher taper rate for a longer
a tree. These tables serve various purposes: timber may be more profitable, leading to the cutting of
longer logs despite a reduction in the converted volume.
1. The volume of the average tree for each diameter and Another factor influencing log length is the mode of trans-
height class can be easily determined in the office without port. Carts can typically transport much longer logs than
direct measurement. The only required measurements are trucks, so when truck transport is employed, logs are gener-
the diameter at breast height (o.b.) and the height of the ally limited to lengths of around 4.5 m. For research purposes
standing tree. when calculating the volume of felled trees, all logs, includ-
2. Volume tables can be prepared from taper tables in the ing the first, are typically standardized to a uniform length of
desired units. 3 meters, except for the top-end log, which may extend up to
4.5 m. If the end section exceeds 1.5 m in length, it is
Commonly encountered types of taper tables include: separated and treated as a distinct log.

1. Ordinary Taper Tables or Diameter Taper Tables: Calculation of Volume of Logs

These tables provide the taper directly for the diameter at The lower portion of a tree corresponds to a frustum of a
breast height without considering the tree’s specific form. neiloid, the middle portion to a frustum of a paraboloid, and
As a result, they facilitate the computation of volumes the top portion to a cone if uncut, and to a frustum of a cone if
without the need for information about the tree’s form. crosscut at some point (Fig. 16.12). A generally cylindrical
2. Form Class Taper Tables: These tables present, for tree is the most desirable from the perspective of timber
various form classes, the diameters at specific points utilization. Critical factors such as species, genotype, age,
along the stem, expressed as percentages of diameter at competition, site characteristics (especially wind exposure),
breast height (u.b.). silvicultural treatment, and crown size and structure are
essential in determining the tree’s form. Among these factors,
16.2.2.3 Stem Volume the crown, particularly its length, often plays a decisive role
Stem volume measurement is a labor-intensive and time- in shaping the overall form of the tree.
consuming task, even for felled trees. In contemporary for- The formulae for calculating the volume of three solids of
estry practices, one of the primary reasons for conducting revolution, along with the formula for a cylinder for compar-
such measurements is to develop stem volume functions, or ison, are presented in Table 16.2.
taper functions, specific to a particular tree species in a given In the provided formula, the variables are defined as
forest region. Volume functions enable the estimation of the follows:
total stem volume of a standing tree based on straightforward
measurements, typically its diameter at breast height over • s is the sectional area at the base
bark and its total height. • s1 is the sectional area at the thick end
Volume has traditionally been the predominant measure • sm is the sectional area at the middle
of wood quantity and remains the most crucial measure, • s2 is the sectional area at the thin end
despite the increasing use of weight or biomass as a metric • l is the length of the log or height of the solid in linear
for forest productivity. In the case of trees, volume can be units.
calculated either after the tree has been felled or while it is
still standing. Volume by Quarter Girth Formula
The quarter girth formula, also known as Hoppus’ rule, is
commonly used in India and Britain for calculating the
372 R. Hegde et al.

volumes of logs. The formula, named after Hoppus, involves 1. Ocular estimate
measurements related to the girth of the log. 2. Partly ocular and partly by measurement
3. Direct measurement
g 2 4. Indirect measurement
Volume = ×l
4

where, g—girth of the log at the middle and l—length of 1. Ocular Estimate: The ocular estimate is the initial
the log. method for estimating the volume of standing trees. Expe-
rienced individuals can accurately estimate the volume of
Methods Used for Estimation of Volume of Standing standing trees marked for felling by carefully inspecting
Trees records of past fellings. However, this method is highly
The processes of management and sales often require subjective, yielding varied results not only among differ-
estimating the volume of trees without felling them. There- ent workers but also for the same worker under the influ-
fore, it is essential to be familiar with methods for estimating ence of factors such as fatigue and hunger. While every
the volume of standing trees. The following are some of the forester should train their eye to make a fair estimate of the
methods used for volume estimation: cubical contents of standing trees, achieving approximate
accuracy requires extensive practice and occasional veri-
fication through measurements after trees have been
felled. Even with these precautions, the results are still
subject to considerable errors.
2. Partly Ocular and Partly by Measurement: To over-
come the uncertainties associated with purely ocular
estimates, one can measure the diameter and height of
the tree and then estimate the volume, considering the
tree’s taper. In this method, the estimator estimates the
diameters of successive logs after the basal log, and from
these, calculates the volume for the entire length of the
tree. This approach also demands a significant amount of
experience and practice, as accurate estimates rely on the
estimator’s familiarity with tree characteristics and taper
patterns. Without sufficient experience, estimates may not
be accurate.
3. Direct Measurement: The unreliability associated with
ocular estimates can be eliminated by measuring the
diameters of the tree at different heights. This involves a
person climbing the tree with the assistance of a ladder up
to a certain height and then measuring diameters through
their effort. This method is akin to calculating the volume
of felled trees, with the distinction that the tree remains
standing. While this approach provides accurate
measurements, it is labor-intensive, time-consuming, and
impractical for scenarios involving a large number of
trees.
Fig. 16.12 Calculation of volume of logs

Table 16.2 Formulae for calculation of volume of three solids with the formula for cylinder for comparison
Sl. No. Form of solid Volume of full solid Volume of a frustum of solid Remarks
1. Cylinder sl sl –
2. Paraboloid sl
2
1. s1 þs
2 ×l
2 Smalian’s formula
2. sm × 1 Huber’s formula
p
3. Cone sl ðs1 þs2 þ s1 s2 Þ
3
3 ×l
sl ðs1 þ4sm þs2 Þ
4. Neiloid 4 6 ×l Prismoidal or Newton’s formula
16 Forest Mensuration 373

4. Indirect Measurement: It is no longer necessary to climb Classification of Volume Tables

trees to measure volume. Instruments such as Spiegel Volume tables can be categorized in three ways: (1) based on
Relaskop, Tele Relaskop, Wheeler Pentaprism Caliper, the number of variables, (2) according to their application
Barr, and Stroud dendrometer have made it possible to scope, and (3) based on the type of output they provide.
measure upper stem diameters from the ground. These
instruments are based on specific principles and methods Classification Based on the Number of Variables
that enable accurate volume estimation for standing trees. The categorization of volume tables can be determined by the
The volume (V ) of a standing tree can be estimated using number of independent variables upon which they are
the following formula: founded:

π × d2 × h × F 1. Volume Tables Based on One Variable viz., Diameter

Volume =
40, 000 Alone: In this type of volume table, trees are categorized
solely based on their Diameter at Breast Height (o.b.).
or Displaying average volumes for individual diameters can
be cumbersome and less practical, hence the use of diam-
Volume = Basal Area × h × F eter classes.
2. Volume Tables Based on Two Variables: Trees with the
where d—diameter, h—height, F—Form Factor same diameter can exhibit varying heights and volumes in
different locations. Volume tables that incorporate both
Volume Table diameter and height variables are designed for broader
The volume of standing trees can be estimated through the geographical areas. Consequently, these tables provide
use of volume tables, which provide average contents of trees tree volumes categorized by diameter and height classes
based on specified dimensions. These tables are developed corresponding to the total height of the trees.
from actual measurements of a substantial number of trees 3. Volume Tables Based on Three Variables: These tables,
and assume that trees of the same species with similar known as form class volume tables, are established on the
dimensions will have the same volume. However, their appli- basis of diameter, height, and form quotient. While they
cability depends on the locality and the source of offer increased accuracy, they are characterized by high
measurements on which the averages are based. Volume costs, complexity in preparation, and inconvenience,
tables typically consider three main variables: diameter, making their application time-consuming.
height, and form. The choice of variables depends on factors
such as the area of application, desired accuracy, and practi- Classification Based on the Scope of Application
cality. Tables based on a single variable, usually diameter at Volume tables are categorized based on the extent of their
breast height (DBH), are simpler to use but may lack accu- applicability as follows:
racy, especially over larger areas. For broader applications,
tables based on at least two variables, such as DBH and 1. General Volume Tables: These tables rely on the average
height, are more accurate. Tables incorporating three volume of trees across a broad geographic region, making
variables (DBH, height, and form) offer greater precision them suitable for a wide range of species distributions.
but require more extensive measurements in the field. Typically based on two variables—diameter at breast
The diameter at breast height is considered the most cru- height and total tree height—these tables present volumes
cial variable, as errors in diameter measurement have a more of trees categorized by diameter classes, and within each
significant impact on volume estimation due to the squared diameter class, by height classes.
relationship during sectional area calculation. Height and 2. Regional Volume Tables: These tables are assembled
form follow in importance, with an error in diameter having from measurements of trees within a specific region,
a more substantial impact on volume estimation than errors in resulting in a more limited applicability compared to gen-
height or form. In summary, the use of volume tables eral volume tables.
involves a trade-off between simplicity and accuracy, with 3. Local Volume Tables: These tables are created from
the choice of variables depending on the specific measurements of trees in a confined area. Typically, they
requirements of the application and the extent of the area are based on a single independent variable, namely Diam-
being considered. eter at Breast Height (o.b.). As a result, they find applica-
tion in restricted localities such as a coupe or
374 R. Hegde et al.

compartment, where the assumption that trees of the same firewood became more prevalent after World War II, driven
diameter share similar heights is valid in small areas. by a steep increase in fuel demand. The construction of motor
Local volume tables serve the purpose of (a) estimating roads in the forest facilitated the export of firewood. The
the volume of standing trees before felling to regulate measurement of firewood posed a challenge, considering
yield in line with working plan prescriptions, or the impracticality of assessing the volume of each individual
(b) making confidential estimates of coupe volume. piece, known as a billet. Consequently, a customary practice
emerged: stacking the fuel in the form of rectangular
Classification Based on the Kind of Outturn parallelepipeds and calculating the cubical contents of the
1. Standard Volume Tables: These volume tables provide stack. This measured quantity is referred to as stacked vol-
distinct estimates for standard timber, encompassing the ume, representing the space occupied by all the billets rather
portion of the tree stem or branch from ground level to the than their actual solid volume. The measurement of stacked
limit where the diameter is 20 cm measured over the bark, volume involves assessing the space occupied by the entire
and small wood, representing the volume between diame- stack, distinct from the cubic contents of the individual
ter limits of 20 cm and 5 cm, both measured over bark. In billets. When building a stack on sloping ground, it is essen-
this table, the volume is expressed in terms of round tial to measure its lengths horizontally, not along the slope.
timber and encompasses the stump volume. The calcula- The volume of the stack is then determined by multiplying
tion is based on a full basal area basis using over bark the length, breadth, and height of the stack. The sizes of these
diameters, but it’s important to note that standard stem stacks vary across different regions of the country and even
timber excludes the volume of bark, while standard small within different parts of states. In Western countries, the term
wood includes it. “cord” is commonly used to express the volume of stacked
2. Commercial Volume Tables: These volume tables pres- wood. The size of a cord can differ between countries; for
ent measurements of round timber content, specified as example, the American cord contains 128 ft.3 of stacked
volume measured down to a slender end diameter for wood and is typically sized at 4 ft. × 8 ft. × 4 ft. Fuel wood
conversion, excluding the stump volume. The applicabil- is generally stacked immediately after being cut, while it is
ity of these tables is restricted to areas with consistent still green, even if it is sold later. However, the time lapse
conversion practices and specific periods when the con- between cutting and sale can result in shrinkage, weight loss
version standard remains unchanged, as the diameter level due to moisture evaporation, and rotting of bark and thinner
for conversion may vary with both time and location. pieces.
3. Sawn Outturn Tables: These volume tables provide
measurements of sawn timber content, expressed as vol- Solid Volume of Firewood
ume measured down to a slender end diameter for conver- The stacked volume of firewood, while a convenient measure
sion, with the exclusion of stump volume. Essentially, for labor payment in forest areas lacking weighment
these tables resemble commercial volume tables, differing arrangements, does not represent the actual volume of the
only in that they focus on the volume of sawn timber firewood. The solid volume of the firewood in a stack is
rather than the volume in the round. influenced by various factors, including the care taken in
4. Assortment Tables: Assortment tables provide volume stacking, the form of billets, the length of billets, and their
measurements for round timber down to various specified diameter. Since the value of fuel is contingent on the solid
thin end diameters. For instance, these tables enable the content, understanding the methods for determining the solid
determination of the volume of a tree with given linear contents of stacked wood becomes essential. This can be
dimensions when the conversion was carried out up to achieved through any of the following methods:
specific diameter limits, such as 25 cm, 20 cm, or 15 cm.
It’s worth noting that both standard and commercial vol- 1. Xylometric Method: The volume of billets can be deter-
ume tables can be considered special cases of assortment mined using a Xylometer, which comprises a graduated
tables. vessel. The calculation is based on the principle of water
5. Sawn Outturn Assortment Tables: These tables resem- displacement. Initially, water is poured into the vessel, and
ble assortment tables, but instead of providing volume a reading of the water level is recorded. Subsequently, the
measurements in the round, they present the sawn outturn pieces of wood are submerged in the water, and a second
in terms of standardized pieces. reading is taken. The difference between these two
readings provides the volume of the submerged wood
16.2.2.4 Branch Wood pieces.
In the past, most branches, except for some thick-sawn ones, To avoid the impracticality of submerging large quantities
were often converted into firewood. The extraction of of wood, an alternative method involves weighing the
entire stack first. Then, only a portion of the stack is
16 Forest Mensuration 375

submerged, and the calculations are adjusted accordingly. biomass. This information is vital as it provides insights
This approach facilitates a more manageable and efficient into the time required for a tree to achieve a particular volume
determination of the volume of the stacked wood. or biomass. The ages of individual trees serve as the founda-
Let W be the weight of the whole stack of wood and w the tion for determining the age of woodlands, and this study
weight of submerged pieces, V the volume of the whole becomes particularly important. Without knowledge of the
stack of wood and v volume of submerged pieces, then age, it becomes challenging to ascertain the rate at which the
wood capital is growing. Moreover, the capacity to juxtapose
W :w:V :v the financial outcomes of forestry against alternative land
uses, like agriculture or horticulture, hinges on grasping the
W ×v=V ×w age of trees. Consequently, examining the individual tree
ages becomes pivotal for proficient forest management and
v×W for forming knowledgeable comparisons across diverse land
V=
w utilization approaches.

This method, despite its accuracy, is often regarded as Methods of Determination of Age
cumbersome and is rarely employed in practical The method for determining the age of trees depends on the
applications. situation, specifically whether the tree is upright or has been
2. Specific Gravity Method: If the specific gravity of wood felled.
is known, the volume of a billet can be calculated from its
weight. The specific gravity (Sp. Gr.) of a piece of wood is Determination of the Age of Single Tree When Standing
determined by: 1. Existing Records: For trees that have been sown or
planted, the records indicating the year of these operations
Weight of Wood
Sp:Gr: = prove highly beneficial for determining tree age. The age
Weight of same volume of water
of the tree is derived by calculating the difference between
the year of age determination and the year of sowing or
Density of wood
Sp:Gr: = planting. In the case of trees grown through natural regen-
Density of water
eration under concentrated regeneration systems, the age
The density of pure water is 1 g per cc. Therefore, the of the trees is determined by subtracting the year of
density of wood in g per cc is equivalent to its specific seeding or felling from the year of age estimation. It’s
gravity without units. important to note that this method may lack precision,
given that records of artificial and natural regeneration
Weight ðgÞ are typically associated with entire crops rather than indi-
Volume = cc vidual trees.
Sp:Gr:
2. General Appearance: The age of standing trees can also
be determined through visual estimation, considering the
following factors:
16.2.2.5 Crown Width (a) Stem dimensions and taper: Young trees typically
The development of a tree is intricately linked to its crown, exhibit more pronounced tapering in their boles,
and foresters prioritize the measurement of this aspect. Typi- while older trees tend to have less tapering.
cally, crown assessment involves evaluating both the length (b) Crown size and shape: In certain tree species, the size
and width. Crown width refers specifically to the widest and shape of the crown undergo changes as the tree
diameter, representing the maximum spread of the crown. ages. An observation of these developments can
This measurement plays a crucial role in decisions related to assist in estimating the age of trees.
thinning, particularly concerning the tree’s overall height. (c) Bark color and condition: The color and condition of
The importance of crown width lies in its capacity to signify the bark undergo changes with age. Generally, older
the functional growing space utilized by the tree. An under- trees have smoother and lighter-colored bark,
standing and quantification of this factor are imperative for whereas younger trees, such as sal, display rough,
the implementation of effective forest management practices. cracked, and darker-colored bark.
However, achieving accurate age estimates through
16.2.2.6 Age of the Tree this method demands considerable practice and expe-
Determining the age of individual trees is a crucial aspect to rience. These conditions, nevertheless, can be
study, especially following the assessment of volume or influenced by local factors.
376 R. Hegde et al.

3. The Number of Annual Shoots or Whorls of Branches: (a) To transform the increment curve into a diameter-age
In species with distinct annual shoot marks, determining curve, the process involves taking the lowest diameter
the age of a tree involves counting these shoots from top on the increment curve. The increment corresponding
downward. Additionally, a proportionate number of years to this diameter is directly read off from the curve.
are added for the part where these marks are not visible. In This increment is then added to the original diameter,
contrast, certain species produce only one whorl of resulting in the final diameter at the end of the
branches each year. Counting the whorls or remnants specified period. The increment against this new diam-
thereof and incorporating the proportional number of eter is read off once again, and the process is itera-
years for portions without visible whorls provide an tively repeated for the entire range of values available
approximate estimation of the tree’s age. For instance, from the curve. This series of calculations generates a
Semal (Bombax ceiba) exhibits annual whorls at an early diameter-age curve, providing insights into the growth
stage, aiding in age determination. pattern of the trees over time.
4. Pressler’s Increment Borer: Trees with annual rings can (b) The diameter values obtained through the iterative
be accurately determined using Pressler’s increment borer. process are then plotted against a series of equidistant
This tool is designed for extracting a narrow cylinder of points, spaced at intervals corresponding to the num-
wood, known as a core sample. Trees can be bored to the ber of years in the specified period. A diameter
pith for ring counting purposes to ascertain their age. The growth curve is drawn through these plotted points,
extracted core is then taken to the laboratory for a detailed depicting the relationship between diameter and age
ring analysis study. The number of annual rings up to the over the given timeframe. This curve provides a
pith of the core sample is meticulously counted. To deter- visual representation of the growth pattern of the
mine the tree’s age, the age corresponding to the height at trees, offering insights into how their diameters
which the boring is conducted must be added to the ring change over successive years.
count. (c) To convert the time axis of the curve into age, a
5. Periodic Measurements: The age of trees lacking annual correction is applied by shifting the zero point to
rings can be determined through three periodic the left. This shift is determined by the necessary
measurements. Let d1 represent the initial diameter of number of units corresponding to the estimated time
the tree, and d2 and d3 denote the diameters at subsequent required to reach the lowest diameter plotted on the
periodic measurements. Define p1 as the growth per unit curve. If the time required to reach the lowest point
diameter per year during the first two periodic cannot be estimated or is unknown, the curve may be
measurements, and p2 as the growth per unit diameter produced backward based on the experience of simi-
per year during the period between the second and third lar curves. The age is then corrected from where the
periodic measurements. The age of the tree can then be curve intersects the x-axis. By referencing the diam-
calculated using the following formula: eter on this corrected curve, the tree’s age can be
read. This approach provides a more accurate repre-
Age = 1=p1 s sentation of the tree’s age based on its diameter.
7. Mathematical Relationship: Determining a tree’s age
where s is a constant which is determined can be achieved by employing an equation that captures
the relationship between age and diameter or girth, specif-
log p1 - log p2 ically tailored for the given species. Notably, researchers
s=
log d2 - log d1 like Mishra and others have constructed equations
designed for estimating the age of tropical deciduous
6. Diameter Age Curve Prepared from Periodic trees, including sal in the Chakia, UP, forests. These
Measurements of Trees in an Area: Diameters of trees equations rely on girth measurements and their increment
in the area are initially recorded class-wise, and the aver- over a defined period. Moreover, they have introduced
age diameter for each class is determined. Subsequently, equations that incorporate biomass data during the initial
the same trees are measured at intervals of 5 or 10 years, period, offering additional insights beyond relying solely
and the average diameter for each diameter class is on girth measurements. Nevertheless, it is crucial to
recalculated. The difference between these two averages acknowledge the potential limitations of this method, as
provides the periodic diameter increment, which is then factors beyond age, such as environmental conditions, can
plotted against Diameter at Breast Height (DBH). A influence diameter growth. The precision of these
smooth curve is drawn to represent the increment pattern. equations is contingent on the unique characteristics of
To transform the increment curve into a diameter-age the species and the specific conditions prevailing in the
curve, the following steps are typically undertaken: forest environment.
16 Forest Mensuration 377

determination is subjective, relying on individual judgment

and influenced by the nature and purpose of the
measurements being conducted. The structure of a stand
undergoes annual transformations driven by tree growth,
mortality, and harvesting activities. Recognizing the stand’s
growth as a significant and renewable natural energy
resource, several studies aim to predict its growth. These
studies consider the stand both as a collective unit and as a
population of individual trees, allowing for diverse
approaches to the study of stand growth.

• Determination of past growth of stand

• Predicting the future growth of stand

16.3.1 Methods of Determining Past Growth

Fig. 16.13 Annual rings of Stand

Determination of the Age of Felled Trees The conventional approach to determine the past growth of
1. Stump Analysis: Determining the age of a felled tree is stands involves the repeated measurement of sample plots, as
possible if the stump exhibits annual rings (Fig. 16.13). measuring entire stands is often impractical. This can be
The process involves counting the rings on the stump and accomplished either by establishing temporary sample plots
adding the estimated period it would have taken for the each time growth is assessed or by implementing permanent
tree to grow to stump height. However, this method is sample plots. Laying out temporary sample plots for each
fraught with the following difficulties: growth estimate involves measuring different sampling units
(a) Incidence of false rings—False rings, which do not each time, resulting in lower precision and generally reduced
complete a full circle around the tree, are common. accuracy. On the other hand, the method of repeated mea-
Therefore, counting rings must be done meticulously surement in permanent sample plots is more effective. Even
to avoid including false rings in the total count. when such sample plots may not be entirely representative of
(b) Closed-formed rings—Some trees that experience the stand, the precision tends to be high, although the growth
slow growth or suppression may have rings that are estimate may be biased.
closely spaced. Care must be taken not to overlook
any of these closely formed rings during the counting
process. 16.3.2 Method of Predicting the Future Growth
(c) Absence of growth rings in certain years—During of Stands
years when a tree is heavily attacked by defoliators,
ring formation may be absent. This absence of The prediction of future stand growth can be achieved
growth rings in specific years can complicate the through the use of yield tables derived from growth studies
accurate determination of the tree’s age. Despite conducted in sample plots systematically distributed across
these difficulties, it is the best and quickest method the entire forest. Stand growth is influenced by factors such as
of determining the age of a tree and can be used even site quality and stand density. Yield tables serve as valuable
several years after the felling of the tree. tools in forecasting future growth patterns, providing insights
into how these factors impact the development of the stand
over time.

16.3.3 Site Quality

16.3 Stand Measurements
A site refers to the intricate combination of physical and
The concept of a stand, defined as a uniform forest patch, biological factors within an area that determine the type of
exhibits some flexibility without a strict area requirement. forest or vegetation it can support. Site quality, in turn,
The designation of a stand’s size can vary considerably, assesses the relative productive capacity of a site for a spe-
influenced by the evaluator’s interpretation of “homoge- cific species or group of species. It serves as a measure of the
neous” in the context of the specific forest. This site’s ability to support and sustain the growth and
378 R. Hegde et al.

development of particular plant life, providing valuable infor- – The lower vegetation, serving as an indicator, is easily
mation for forest management and land use planning. influenced by forest composition, density, and various
biotic factors.
Site Quality Evaluation Every site exhibits a unique
Site Factors – Lower vegetation, residing in the top few centimeters
growth response to various species. The evaluation of site of the soil, cannot accurately reflect the conditions of
quality can be accomplished through the measurement of deeper soil layers, which significantly impact tree
either site factors or vegetative characteristics. Understanding growth.
how different species respond to the specific conditions of a
site allows for an assessment of the site’s quality and its Tree Characteristics
suitability for supporting particular vegetation. The The key characteristics of a tree that mirror the productivity
measurements of site factors and vegetative characteristics of the site include volume, basal area, diameter, and height.
contribute valuable information for forest management However, this method necessitates the prior calculation of
decisions and ecological assessments.16.3.3.1 volume, making it challenging to implement in practical
Peterson’s CVP index (Climate Vegetation Productivity applications.
Index) has been used extensively to calculate the potential
productivity of the site 16.3.3.3 Measurement of Site Quality
Site quality can be assessed by measuring the volume of
CVP index ðI Þ = Tv=Ta × ðP × G=12Þ × E=100 desired materials produced, thereby expressing the integrated
net effect of all site factors in terms of the product itself.
where However, determining site quality directly through standing
volume is rarely feasible due to the influence of the stand’s
Tv and Ta are maximum and minimum temperatures life history (past cutting, disease, insect infestations, and
P is precipitation in mm severe weather) on the standing volume, which may be
G is the growing period in months and unknown.
E is a measure of evapotranspiration To address this challenge, several indirect methods have
been developed to gauge timber site productivity. These
16.3.3.2 Limitations methods aim to identify a few easily measurable properties
This index is overly generalized since it overlooks the spe- of the vegetation or the land, which represent all factors
cific attributes of soil and other environmental factors. crucial to the growth of a particular species on a given site.
Following Jones (1969), three indirect approaches for
Vegetative Characteristics estimating site quality are discussed here:
The characteristics of vegetation that could be indicative of
site quality include: 1. Site index
2. Non-tree vegetation (Vegetation typing)
• Types of plants occurring naturally in the area 3. Basic environmental and land attributes (environmental
• The volume factors)
• Basal area
• Diameter Site Index
• Height of trees Among the various indirect methods investigated, the rate of
tree height growth emerges as the most practical, consistent,
Plant Indicators and useful indicator of forest site quality. While not flawless,
• This approach is grounded in the theory that certain spe- it serves as the standard against which other measures, such
cies of lower vegetation act as clear indicators of site as soil properties, are compared. The height growth of domi-
quality for a particular species or type of forest. While nant, free-growing trees in the upper forest canopy proves
this method has been employed for site quality classifica- sensitive to differences in site quality, strongly correlated
tion in specific undisturbed forests in Finland and Canada, with volume growth, weakly correlated with density, and
its universal application faces challenges for several species composition. In contrast, diameter growth is strongly
reasons: correlated with density.
– It is applicable primarily to forests of simple composi- Standard practice defines site index in terms of the total
tion, as found in northern latitudes. height of the largest, full-crowned trees in a stand,
– Implementation requires substantial ecological representing the strongest competitors for light, moisture,
knowledge. nutrients, and growing space. Numerically, the site index is
16 Forest Mensuration 379

defined as the total height at specified base ages, typically understanding of how different site index levels impact stand
25, 50, or 100 years. The base age selection depends on the development.
stand’s maturation characteristics. For example, stands
maturing or primarily utilized at a young age often use a Choosing and Measuring Trees
25-year base. Fast-growing species like pines and certain The accuracy of site index estimates is influenced by the
eucalyptus use base ages of 25, 30, or 50 years. Western number of trees measured and the method of selecting those
conifers and northern species typically use 50- and 100-year trees. The criterion of crown class is commonly employed,
base ages. with the average height of a sample of dominant or
The site is expressed as a site index number, where Site co-dominant trees being the most prevalent selection proto-
Index 60 on a 50-year base means that dominant trees have an col. However, using the average of dominant trees alone is
average total height of 60 ft. at 50 years. Similarly, Site Index also a viable option. The quantity of trees chosen for mea-
140 on a 100-year base indicates that the trees will be 140 ft. surement can vary significantly. To enhance precision, more
tall at 100 years. Site index values on 50- or 100-year bases refined selection methods have been developed. Two fre-
are commonly grouped into classes of 5 ft., 10 ft., 20 ft., or quently employed methods are:
broader increments. When expressed in broader classes, such
as 30 or 40 ft., roman numerals are used to denote the site • Predominant height, defined as the average height of the
quality, with Site I being the best, followed by Site II, and tallest 100 trees ha-1.
so on. • Top height is the average of 100 trees ha-1 with the largest
breast-height diameters.
Site Index Curves
Site index curves, depicting the average height of full-crown The application of site index and site curves for natural
competitive trees at different ages, have been created for most stands and naturally regenerated site trees often results in a
species in specific regions or locations. These curves have significant underestimation of the productivity observed in
their origin in “normal yield tables.” In this process, trees intensively managed plantations. This discrepancy is particu-
from stands of a particular species or species group, featuring larly notable when the planted trees have been genetically
fully developed crowns, are measured for age, diameter, and engineered for rapid height growth and are cultivated with
height. Subsequently, curves are generated by fitting an aver- meticulous density control and vegetation management. In
age height-over-age guide curve to this data. A series of such managed plantation settings, the conventional site index
higher or lower curves with the same shape as the guide and curves may not accurately capture the enhanced produc-
curve are then constructed through a process known as ana- tivity achieved through intensive management practices and
morphic curving (Fig. 16.14). genetic advancements.
These curves, when compared to volume-over-age curves
of a similar nature, enable the determination of maximum net Interpreting and Using Site Index
natural stand productivity as a function of the site index. The When interpreting and using site index, especially for good
data derived from these relationships provide forest managers site trees, it is crucial to consider the following points:
with insights into how stand growth and development are
influenced by site quality. 1. Age Basis Clarification: When comparing site indices,
However, the traditional anamorphic guide curve method identify the age on which each index is based and whether
has its limitations, especially when it comes to detailed stem it is age at Diameter at Breast Height (DBH) or total age.
analysis of trees on different growth curves. Consequently, 2. No Simple Conversion: A site index based on one age
many recent site curve development studies have adopted a cannot be easily converted to one based on another age
polymorphic technique that assigns a distinct shape to each through a simple numerical relationship.
site index level curve. This technique involves three steps: 3. Age at Breast Height: Many contemporary site curves
define the age at breast height. This means the tree is
1. A curve is fitted separately to the height growth pattern of chronologically several years older by the number of
each individual tree. years it took from seed to breast height.
2. The fitted curve assigns a site index value to each tree. 4. Species Comparison Caution: Similar site indices for dif-
3. A characteristic, multiple-parameter curve form is fitted to ferent species do not necessarily indicate similar site pro-
each site index value of interest. ductivity in an absolute or relative sense.
5. Time-Dependent Measurements: Site index
This polymorphic approach allows for a more nuanced measurements taken at different times in a stand’s life
representation of site quality, considering the unique growth can indicate different site qualities for the same stand.
patterns of individual trees and providing a more accurate
380 R. Hegde et al.

Fig. 16.14 Site index curves

for teak

6. Species Range Consideration: Productivity estimates for a non-commercial tree plant species. While correlating under-
species provided by yield tables based on the height–age story vegetative types with site quality demands substantial
relationship may be flawed, especially near the fringes of effort, and the technique may not be universally tested, such
the species range. an approach holds the potential to establish predictive plant-
cover site quality relationships of useful accuracy.
Vegetative Typing
Ecosystem management adopts a more holistic perspective, Environmental Factors
considering non-tree plants not merely as indicators but as The challenge in correlating understory vegetation with site
integral ecological elements to be preserved for their intrinsic index has led to a focus on physical environmental factors,
value. Vegetation and wildlife habitat classifications, partic- particularly soil attributes. The most common approach
ularly those with well-documented characteristic species lists involves linking soil characteristics with types of site index.
for each class, offer valuable data for developing Soil exerts a substantial and often controlling influence on
prescriptions and managing for diversity and broader ecolog- tree growth, especially concerning moisture availability and
ical objectives. nutrients. Estimating site based on measurable soil factors
The concept of habitat typing, a land classification presents numerous advantages.
approach encompassing various habitat types, integrates Soil properties change gradually over time, allowing for
dominant cover and ground cover. A habitat type is a land the application of soil measures in various areas, including
class characterized by homogeneity in its growing environ- cutover, deforested, non-forested, and timber stand-present
ment, incorporating variations in elevation, soil, moisture, regions. However, the correlation of site with a U.-
and other factors to support the same climax overstory and S. Department of Agriculture (USDA) soil survey types has
understory vegetation. Utilizing habitat types aids in achiev- not proven to be high. This is partly due to these types not
ing ecological goals by enhancing the identification and being classified according to several factors influencing tree
mapping of ecosystems, including the habitats of
16 Forest Mensuration 381

growth, such as drainage class, thickness of surface horizon, 1. Trees per Hectare
and subsurface horizon depth. In homogeneous even-aged stands with identical age, site
The productivity of timberlands exhibits significant varia- conditions, and history, the number of trees per hectare
tion based on site index. Studies of yields achieved from fully serves as a valuable stand density measure for short-term
stocked natural stands at different ages measure relative projections. Numerous growth and yield models for
differentials, and these differences typically persist under plantations utilize this metric as the input variable for
management. While land treatment, such as fertilization or stand density. Typically, the count of trees per hectare
drainage, can alter site quality, only drastic interventions can decreases with age as the trees undergo growth and com-
transform a poor site into a good one. The timber-related petitive interactions.
economic value of a high site would be expected to surpass 2. Volume
that of a low site. This measure is logical due to the direct or indirect asso-
ciation of numerous objectives with volume. However, to
interpret volume effectively, it is often necessary to estab-
16.3.4 Stand Density and Stocking lish a standard, such as the volume in a stand for the yield
table, and express it as a percentage of stocking.
Stand density is a metric that quantifies the extent of tree 3. Basal Area
vegetation within a specific unit of land area. This measure- The basal area, a measure devised by foresters, represents
ment can be expressed in various forms, including the num- the total cross-sectional area of trees in a stand, measured
ber of trees, basal area, wood volume, leaf cover, or other less in square meters per hectare, and serves as the prevalent
conventional parameters. Stocking, on the other hand, density variable in whole stand yield models. Basal area
represents the ratio of any measure of stand density to a assumes a pivotal role in silvicultural prescriptions, as
diverse set of norms, also expressed in the same units, cutting rules are frequently expressed in terms of thinning
selected for different purposes. or selective harvesting down to a specified residual
The concept of density informs about the composition of basal area.
the stand, indicating the quantity of tree vegetation present. In The quadratic mean stand diameter Dq is a useful parame-
contrast, stocking provides a perspective on how this density ter characterizing stand and represents the diameter of the
aligns with a forester’s idealized notion of what should be, tree of mean basal area. It is estimated from N sample trees
typically expressed as a percentage. For instance, full stocking as
could be defined as the basal area of trees larger than 63 cm
DBH ha-1, considered necessary for producing sawn boards. BA
Dq = √
A thinning schedule serves as a guide outlining the desired 0:00007854
stocking at each stage of development, expressed in terms of a
specific measure of stand density. This schedule helps foresters where BA = Average basal area
make informed decisions about when and how to thin the stand
to achieve the desired composition and structure over time. BA
BA =
N
16.3.4.1 Measures of Stand Density
Density measurements play various roles in assessing and Several growth models and some stand density indices use
forecasting outcomes and conditions within a forest. Tradi- quadratic mean diameter as a variable.
tionally, they are employed to ensure precise estimates of 4. Relative Density
timber production. It is crucial for the density measure to Curtis (1982) integrated basal area and quadratic diameter
consistently gauge the extent to which the trees in a given to create a composite measure of density.
stand occupy and encapsulate the growth potential of the site.
BA
This section addresses several frequently employed den- RD =
sity measures: Dq

1. Number of trees per hectare where

2. Volume RD = Relative density
3. Basal area BA = Basal area
4. Relative density Dq = Quadratic mean stand diameter
5. Crown closure Relative density, as per DFSIM (Curtis 1982), is the
6. Stand density index designated density measure in this widely used Douglas-
7. Relative stand density fir stand growth simulator.
382 R. Hegde et al.

5. Crown Closure Reineke’s stand density index (SDI) is calculated by

A diameter-based density measure developed by Krajicek converting the number of trees at any quadratic mean
et al. (1961) quantifies the percentage of an area covered diameter into an equivalent density at a quadratic mean
by the vertical projection of tree crowns. This measure is diameter of 10 in. The process involves using a reference
determined through three steps: curve based on red fir and redwood, where 24,700 trees
(a) In a separate study associate the maximum crown per hectare correspond to a quadratic mean diameter of
width (CW) of open growth trees with their diameter 25.40 cm. Reineke drew a series of parallel lines on a
(CW = f(DBH)). graph (FIG) to relate the maximum number of trees to the
(b) Create an average representative tree list representing quadratic mean stand diameter. These curves permit
one hectare of the subject stand from inventory data. converting the number of trees at any quadratic mean
Calculate the maximum crown area (MCA) in square diameter into an equivalent density at a quadratic mean
meter of trees as if they were all open-grown. diameter at 10 in. The number of trees at a quadratic mean
(c) The crown competition factor (CCF) for the subject stand diameter at 10 in. is Reineke’s stand density index
stand is calculated by summing the maximum crown (SDI). It is calculated as:
area for all trees on the representative hectare, divid-
ing the result by 43,560, and then multiplying by 1:605
SDI = N Dq =10
100. This yields the percentage of the hectare cov-
ered by the vertical projection of the tree crowns. Reineke’s stand density index encompasses several valu-
As not all trees are open-grown, Krajicek’s CCF may able attributes. The required data can be readily acquired
somewhat overestimate crown coverage. It is important through inventory. Estimating site and age is necessary,
to note that a stand can have a CCF greater than 100%, enabling the comparison of stand densities across various
especially if there are a high number of stems per hectare sites and ages. When provided with a target number of
and the crowns overlap. This anomaly occurs because the trees at a specific diameter, it becomes possible to estimate
CCF assumes that all trees have crown widths equivalent the number of trees at all diameters up to the target with
to open-grown trees of a specified diameter. However, the same density. Primarily applicable to pure, even-aged
competition among trees can lead to a reduction in stands, Reineke’s stand density index, along with other
crown width for even the strongest dominant trees. stand density indices (SDIs), serves as a useful tool. These
6. Stand Density Index indices play a pivotal role in guiding thinning decisions by
Relationships have been identified between the number of aiding in the determination of the target number of trees
trees, average diameter, basal area, and volume, providing per hectare.
the basis for constructing indices and ratios as measures of 7. Relative Stand Density
stand density. Reineke’s stand density index, introduced Drew and Flewelling (1979) formulated a stand density
by Reineke in 1933, is one such measure designed for index that shares similarities with Reineke’s concept.
pure, even-aged stands that remains independent of site However, they acknowledged the correlation between
index and age. Reineke utilized two elements from normal tree volume growth and both tree height and diameter.
yield tables to formulate a stocking measure: Irrespective of site quality, they identified a consistent
(a) Various fully stocked even-aged stands of a species association between the maximum mean tree volume and
with identical quadratic mean diameter were noted to the number of trees per hectare present in natural stands.
exhibit an approximate equivalence in the maximum Their density measure is derived from this relationship
number of trees per hectare. and is defined as:
(b) When plotting a curve of the maximum number of
trees per hectare against different quadratic mean Relative Stand Density
stand diameters and fitting it with a log-linear regres- Density in trees per hectare of subject stand
sion using data from normal yield tables, a consistent =
Maximum density in trees per hectare attianable in a stand with
slope of 1.650 was observed for most species. This the same tree volume as the subject stand
uniformity in slope suggests the emergence of a
common function across various species. As tree volume is influenced by both height and diameter,
Drew and Flewelling (1979) illustrated the connection
between stand density, stand diameter, height, and growth
log N = -1:650 log Dq þ k through a series of transformations. This depiction is
termed a “density management diagram.” The diagram is
where designed to be locally calibrated, specifically for a partic-
N = number of trees per hectare ular species.
Dq = quadratic mean stand diameter
K = a constant for each species
16 Forest Mensuration 383

8. Canopy Density the stand. These specific measures are known as point density
Canopy density, represented as a decimal coefficient, or competition indices. The fundamental idea behind these
serves as an indicator of the canopy’s relative complete- indices is to articulate the extent to which growth resources,
ness, with a closed canopy designated as unity (1). It including light, water, nutrients, and physical growing space,
focuses exclusively on the fullness of the canopy and available to an individual tree are constrained by the presence
does not correlate with crop volumes, basal area, or the of neighboring trees. With the growing interest in modeling
quantity of trees in the stand. This metric offers insights individual tree growth and yield, several competition indices
into the extent to which the available space in the canopy have been developed. These indices can be broadly classified
is occupied, where higher values signify a more complete into two categories:
or closed canopy.
Classification: 1. Distance-independent measures
Closed: When density is 1.0 2. Distance-dependent measures
Dense: When density is between 0.75 and 1.0
Thin: When density is between 0.5 and 0.75 Distance-independent measures are designed to portray
Open: When density is under 0.5 the competitive status of a tree or a class of trees in relation
to all trees within a stand. These measures often involve
16.3.4.2 Crown Competition Factor (CCF) ratios such as tree height to mean height, tree height to
The CCF is an alternative density measure purportedly inde- dominant height, and tree volume to mean volume. One
pendent of site quality and stand age. To calculate CCF, the significant advantage of distance-independent measures is
relationship between crown width and Diameter at Breast that they do not necessitate the time-consuming determina-
Height (DBH) is established using a sample of open-grown tion of tree location. However, a notable disadvantage is that
trees. For instance, an equation like CW = - these indices gauge a tree’s status in relation to the average
0.6117 + 20.812D may be used, where CW represents conditions of the entire stand rather than the specific
crown width in meters, and D is the DBH in meters. The conditions surrounding the tree.
maximum crown is determined as a percentage of one hect- On the other hand, distance-dependent measures aim to
are, indicating the maximum proportion of one hectare that describe a tree’s competitive status based on the immediate
crowns of trees with a given DBH can occupy. This factor conditions surrounding the tree. These measures can be
provides insights into the extent of crown competition, offer- broadly categorized into three classes:
ing a perspective on how much canopy space is potentially
covered by trees of a specific size. Thus, 1. Area overlapping indices
2. Distance weighed size ratio
MCA = π ðCWÞ2 =ð4 × 100=10,000Þ 3. Area potentially available indices

Area overlap indices operate on the principle that each tree

= 0:007854 ðCWÞ2 has a potential area of influence, within which it acquires or
competes for site factors. In these indices, trees whose area of
By summing the Maximum Crown Areas (MCAs) for all influence overlaps with that of a subject tree are regarded as
trees on an average hectare of forest land, the Crown Com- competitors. An example of an area overlap index is Spurr’s
petition Factor (CCF) is derived. In essence, CCF serves as (1962) point density, which is derived from adapting
an expression of stand density. It provides an estimation of Bitterlich’s point basal area (Bitterlich 1948) for use as a
the area available to the average tree within the stand relative point density measure. In Spurr’s point density, all trees
to the maximum area it could utilize if it were in an open encompassed in a basal area sweep are considered
environment. This metric offers valuable insights into the competitors. This approach helps to quantify the competitive
competitive dynamics within the stand, helping to assess influence of neighboring trees on a particular tree, taking into
how closely trees are spaced and how much growing space account the spatial arrangement and area of influence of each
each tree has in relation to its potential maximum. tree in the stand.
Distance-weighted size ratios are determined by calculat-
16.3.4.3 Point Density and Competition Indices ing the sum of ratios between the dimensions of each com-
Different measures of density are commonly used to assess petitor and the subject tree. These ratios are then weighed by
the overall density of a stand, often on an average basis. In a function of the inter-tree distance. This method accounts for
addition to these general measures, more specific indicators both the size of competitors and their proximity to the subject
of density have been developed to characterize the level of tree, giving a nuanced view of competitive interactions. The
competition at a particular point or for a specific tree within area potentially available index takes into consideration the
384 R. Hegde et al.

polygons formed by the intersections of the perpendicular intensively managed forests, such as Primary Belt Inventory
bisectors of the distance between a subject tree and its (P.B.I.) areas within uniform or other shelterwood systems.
competitors. The area of these polygons, calculated from Total enumeration is also chosen in miscellaneous forests
the coordinates of the vertices, represents the space poten- with a large number of species or where economically impor-
tially available for tree growth. This index offers a spatially tant species are limited to specific favorable locations. It is
explicit measure of the available growing space, sometimes used for statistical studies as a check on the results
acknowledging the influence of neighboring trees on the of partial enumerations. However, due to the vast areas
subject tree’s competitive environment. involved and the associated time, labor, and financial costs,
complete enumeration is generally avoided in forestry.
On the other hand, partial or sample inventory entails
16.4 Forest Inventory conducting the enumeration in only a representative portion
of the entire forest. A sample is a part of the population,
Forest Inventory is the systematic compilation of accurate selected and examined as a representative of the whole.
and reliable tree-related information, organized according to Sample enumeration involves surveying a representative
the necessary hierarchical units of assessment. In essence, it part of the entire population, and the ratio of the sample to
seeks to comprehensively depict the quantity, quality, and the whole population is termed the sampling fraction or
diameter distribution of forest trees, along with various intensity of sampling, expressed as a percentage (e.g., 5%,
characteristics of the land on which these trees thrive. Synon- 10%, or 20%). Actual enumeration is then carried out in a few
ymous with the term ‘Cruse’ in North America or ‘Enumera- sampling units, which are subdivisions of the sampled area.
tion’ in India, forest inventory, as defined by foresters, This method is more practical for large forested areas,
involves the counting and classification of individual trees allowing for efficient and cost-effective assessment while
based on criteria such as species, size, and condition. As the still providing reliable estimates for the entire population.
significance of forest areas extends beyond timber production
to encompass non-wood values like recreation, watershed
management, and wildlife habitat, the concept of forest 16.4.2 Kinds of Sampling
inventory has broadened. The primary objective remains the
determination of timber volume in the forest, crucial for 1. Random sampling and
assessing yield. 2. Non-random sampling
Occasionally, inventory is essential for evaluating the
value of forests for sale or exchange and estimating returns 16.4.2.1 Random Sampling
from clear-felled areas. Additionally, forest inventory aids in Random sampling is a method of sampling in which the
determining current and periodic annual increments and may sampling units that make up a sample are chosen in a way
involve mapping regions of high or low volume production that ensures all possible units of the same size have an equal
per unit of area, facilitating decision-making for industrial chance of being selected. This method aims to eliminate bias
development. In summary, the purpose of forest inventories and provide a representative subset of the entire population.
is to furnish information for effective forest management and In random sampling:
planning, support pre-investment decisions related to the
establishment or expansion of forest industries, and assess 1. Equal Chance: Every sampling unit within the population
project feasibility from economic, social, and other has an equal probability of being included in the sample.
perspectives. This ensures that the sample is not skewed toward any
particular subset.
2. Random Selection: Sampling units are chosen through
16.4.1 Kinds of Enumeration/Inventory random processes, such as using a table of random num-
bers, drawing unbiased cards from a well-shuffled pack, or
1. Total or Complete inventory employing a random drawing of lots. These methods
2. Partial or sample inventory ensure unpredictability and eliminate any systematic
patterns in the selection.
Total or complete enumeration in forest inventory involves
the exhaustive counting and measurement of the desired Random sampling is particularly valuable in statistical
species above a specified diameter limit across the entire analysis because it allows researchers to make inferences
area of the forest unit being considered. This approach is about the entire population based on the characteristics
resource-intensive and time-consuming, and it is typically observed in the randomly selected sample. This method is
employed in relatively smaller areas of valuable and widely used in various fields, including scientific research,
16 Forest Mensuration 385

market research, and social sciences, to ensure the generaliz- Multi-stage Sampling
ability of findings to the larger population. In the previously described random sampling, sampling units
are drawn from a population all at once, making it a single-
Kinds of Random Sampling stage sampling method. However, in some situations, it may
1. Unrestricted or simple random sampling be more cost-effective to take samples at one stage and then
2. Stratified random sampling subdivide them to obtain additional sampling units in
3. Multistage sampling subsequent stages. When sampling units are drawn in two
4. Multiphase sampling or more stages, the method is referred to as multi-stage
5. Sampling with varying probability sampling. In this approach, the size of the sampling units
6. List sampling becomes smaller at each successive stage, but the fundamen-
tal principle of random sampling can be maintained at each
Kinds of Non-random Sampling stage of selection. This method allows for a more flexible and
1. Selective sampling economical way of gathering samples, especially in scenarios
2. Systematic sampling where obtaining all samples in a single stage may be imprac-
3. Sequential sampling tical or resource-intensive.

Unrestricted or Simple Random Sampling: The Unrestricted Multiphase Sampling

or Simple In two-phase sampling, the same sampling units are
Random sampling involves selecting sampling units for the employed in different phases to collect either distinct infor-
sample through a strictly random process from the entire mation or the same information using different methods. This
population or area, without the prior division into homoge- method is commonly utilized in forest inventories and is
neous blocks. To illustrate, consider a scenario where the often referred to as double sampling due to its two distinct
sampling unit is 0.1 hectares, and the total population area phases. For instance, consider estimating the number of bam-
is 1000 hectares. The population is then divided into 10,000 boo culms in a forest. In the first phase, the number of clumps
sampling units, each assigned a unique number ranging from per hectare is determined through extensive systematic
0000 to 9999. Subsequently, for a 5% unrestricted random surveys covering a large area. Subsequently, in the second
sampling, 500 different four-digit reference numbers are cho- phase, the number of culms per clump is ascertained through
sen using a table of random numbers. This ensures that every a smaller enumeration survey, covering a much smaller area
possible set of 500 units has an equal chance of being than the first phase. By utilizing the same sampling units in
selected for the sample. these two phases, double sampling allows for more precise
and efficient estimation of the desired information, making it
Stratified Random Sampling a valuable technique in various research and inventory
Stratified random sampling is a method in which the popula- applications.
tion is initially divided into subpopulations or strata, and then
sampling units are selected from each stratum in proportion Sampling with Varying Probability
to its size. This approach is a modification of simple random In the earlier described random sampling, the chances of
sampling and is particularly essential when unrestricted ran- selecting all sampling units are always the same. However,
dom sampling is not sufficient. Unrestricted random sam- in certain populations, the probabilities of selection may vary
pling tends to provide accurate results only when the forest as the sampling process proceeds. To address this variation, a
crop is uniform, but in reality, forest populations often exhibit modified method known as sampling with varying probabil-
considerable heterogeneity. In the case of stratified random ity is employed. This method has gained increasing impor-
sampling, the precision of estimating the sampled mean is tance in recent years, particularly in the context of forest
significantly improved by recognizing and addressing these inventories. Several techniques fall under this category,
variations. The process involves subdividing, either physi- including the “Bitterlich” method, also known as “variable
cally or conceptually, the area to be sampled into homoge- plot,” “point sampling,” or “p.p.s.” (probability proportional
neous groups known as strata. From each stratum, sampling to size). Additionally, the “three p” method, or “sampling
units are then selected. This method of dividing the area into with probability proportional to prediction,” is another appli-
homogeneous groups is termed stratification. By accounting cation of this aspect of sampling theory. These approaches
for the differences in the forest population through stratifica- aim to adjust the probability of selecting sampling units based
tion, the sampling design is modified accordingly, leading to on certain characteristics or sizes within the population. Such
more accurate and representative results in the estimation modifications help to enhance the efficiency and accuracy of
process. the sampling process, especially in scenarios where
386 R. Hegde et al.

variability in the population may affect the representativeness are chosen according to a fixed pattern, it is referred to as
of a simple random sample. systematic sampling with a random start. Despite limitations
in estimating variances, systematic sampling offers
List Sampling advantages over random sampling, making it a preferred
This is another form of sampling with varying probability. choice in forest inventories. These advantages include sim-
The method consists of making a list of sampling units along plicity and ease of implementation, a straightforward location
with their measure of size in any order. of sampling units, a cost reduction in reaching those units, an
increased certainty of objectivity in sample selection, and a
Non-random Sampling more uniform distribution of the sample. These benefits are
Non-random sampling is a method in which samples are particularly pronounced in tropical forests where challenging
chosen based on the subjective judgment of the observer, environmental conditions can impede fieldwork.
guided by certain rules or guidelines indicating which
samples should be selected. The selection is not governed Sequential Sampling
by random processes, and instead, it relies on the observer’s Sequential sampling is a method characterized by the absence
judgment and adherence to specific criteria. It is important to of a predetermined number of observations in the sample.
note that non-random sampling introduces a potential for bias Instead, sampling units are taken successively from a popu-
because the selection process is influenced by the observer’s lation, with each new sample encompassing all the units from
subjective judgment. Unlike random sampling, where each the preceding sample. The key feature of this method is that
element has an equal chance of being chosen, non-random the number of observations is not fixed in advance. In
sampling introduces a level of subjectivity that can impact the sequential sampling, the confidence interval at each stage
representativeness of the sample and the validity of the decreases, and sampling continues until the desired precision
results. As a result, caution should be exercised when using is achieved. This method is commonly employed in hypoth-
non-random sampling methods, and efforts should be made esis testing. At each stage, a new observation is made, and the
to minimize any potential bias introduced by the observer’s hypothesis is tested to determine whether it should be
judgment. accepted or rejected. The process repeats until a decision is
reached, and the hypothesis is either accepted or rejected.
Selective Sampling Once this decision is made, the sampling procedure is
Selective sampling involves choosing samples based on the concluded, and no further sampling units are selected beyond
subjective judgment of the observer. In this method, the what is necessary to reach a decision. Sequential sampling
observer exercises discretion and selects samples according allows for adaptive decision-making and an efficient use of
to specific criteria or guidelines, often relying on their knowl- resources in testing hypotheses.
edge and expertise regarding the population under study.
When properly used by an individual with extensive knowl- Point Sampling
edge of the population, selective sampling can yield good Point sampling is a sampling technique where sample units
approximations of population parameters. The effectiveness are singular points, a method widely employed in forest
of selective sampling depends on the observer’s ability to inventory. Bitterlich demonstrated that counting trees with
make informed and unbiased choices that adequately repre- breast height cross-sections exceeding a certain critical angle
sent the characteristics of the population. While this approach from a random point, when multiplied by a constant factor,
allows for targeted sampling in certain situations, it is essen- provides an unbiased estimate of basal area per hectare. This
tial to acknowledge that selective sampling introduces a technique is known by various names, such as “angle count
potential for bias, and results should be interpreted with cruising,” “pointless cruising,” “point sampling,” “variable
caution. A careful consideration of the observer’s expertise plot cruising,” “PPS (probability proportional to size) sam-
and the appropriateness of the chosen samples are crucial to pling,” and “polyareal plot sampling.” Point sampling selects
ensure the validity of the findings. trees based on their size rather than their frequency of occur-
rence and can be horizontal or vertical depending on whether
Systematic Sampling diameter (or basal area) or height needs estimation.
Systematic sampling is a method of non-random sampling in Horizontal point sampling has significantly influenced
which sampling units are selected according to a forest inventory practices. The process involves selecting
predetermined pattern without resorting to random selection. random or systematically distributed sampling points across
Typically, this pattern involves regular spacing of units. The the entire area to be inventoried. Trees around each point are
first unit’s selection can be either random or based on a fixed viewed through an angle gauge at breast height, and those
arbitrary rule, leading to two types of systematic sampling. forming an angle larger than the critical angle of the instru-
When the first unit is selected randomly, and subsequent units ment are counted. The number of tallied trees, when
16 Forest Mensuration 387

multiplied by a constant factor dependent only on the angle • Beyond resource assessment, forest mensuration
size, yields the basal area per hectare. Japanese forester contributes valuable data for ecological research and edu-
Hirata introduced a method for determining the mean stand cation. It supports studies on forest dynamics, species
height through vertical point sampling, utilizing an instru- interactions, growth patterns, and overall ecosystem
ment called a Conimeter. In a complete 360° sweep around functioning.
the sample point, all trees appearing taller than a critical angle • Governments and organizations leverage forest mensura-
C are counted, providing valuable information about vertical tion data to formulate policies and regulations guiding
structure. forest conservation, sustainable development, and land
use planning.
• The forest industry relies on precise measurements of tree
16.5 Conclusion dimensions and volumes to optimize timber harvesting,
processing, and marketing practices. Nevertheless, this
Measuring trees and forests is crucial in the field of forestry field faces its own set of challenges.
and forest science. These measurements help in • Forest heterogeneity poses a challenge, making accurate
comprehending the growth and development of forests, and representative sampling a complex task. The selection
assessing the quantity of products derived from them, and of sample plots that faithfully represent the entire forest is
ensuring appropriate management practices. This chapter critical, and biased or non-random sampling may compro-
provides an overview of forest measurement at two scales— mise the accuracy of measurements.
initially focusing on individual trees and expanding to stands • Some forests, particularly those in remote or rugged
of trees. It is noteworthy that much of the measurement at terrains, present difficulties in accessibility and tree mea-
larger scales involves conducting measurements at a smaller surement. This limitation can result in incomplete data
scale and subsequently employing mathematical approaches collection and potentially skewed results. Addressing
to extrapolate those measurements to a larger scale. The these challenges necessitates robust study designs, a thor-
current chapter presents methods for measuring stand quality, ough training of field staff, a calibration of measurement
stand density, stocking, and other parameters using smaller instruments, meticulous data quality control, and ongoing
units. There is a growing inclination toward adopting more research to enhance methodology accuracy.
sophisticated equipment and techniques in forest measure-
ment. Computers are commonly employed to assist in storing Key Questions
data collected from the forest and performing the necessary 1. Discuss the methodology for measuring tree height and
mathematical computations to transform raw data into valu- elucidate its significance in the estimation of tree volume.
able information about the forest. However, even with the 2. Provide a definition of a “stand” in forestry and delve into
utilization of highly advanced measuring technologies, the methods used to estimate stand growth.
possessing knowledge of the fundamental units in forest 3. Justify the assertion that stand growth is influenced by
measurement remains essential. both stand quality and density.
4. Provide an explanation of the different measures of stand
Lessons Learnt density.
• Forest mensuration, the scientific discipline dedicated to 5. Briefly explore the principle involved in controlling grow-
measuring and analyzing various attributes of forests, ing stock to attain specific management objectives, with a
plays a crucial role in sustainable forest management and special focus on stand management diagrams.
resource assessment.
• Its significance extends across diverse domains, ranging
from ecological research to sustainable resource manage- References
ment, making forest mensuration indispensable for under-
standing, managing, and conserving forests. Bitterlich W (1948) Winkelzahlprobe. Algemeine Forst Hoizwirtschafts
Zeitung 59(1/2):4–5. (Translated and abstracted in Forestry
• Forest mensuration yields precise data on parameters such
Abstracts 10(2):423–424, 1949)
as tree density, species composition, stand structure, bio- Chaturvedi AN, Khanna LS (1994) Forest mensuration. International
mass, and volume. This information is essential for Book Distributors, Dehradun, India. 406p
estimating available timber, carbon storage, and other Curtis RO (1982) A simple index of stand density for Douglas-fir. For
Sci 28(1):92–94
critical forest resources.
Drew TJ, Flewelling JW (1979) Stand density management: an alterna-
• The accurate measurement of biomass and carbon storage, tive approach and its application to Douglas-fir plantations. For Sci
facilitated by forest mensuration, is vital for evaluating the 25(3):518–532
carbon sequestration potential of forests.
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García O (1995) Notes on forest mensuration. Institute of Forest Man- Prodan M (1968) Forest biometrics. Pergamon Press, Oxford
agement Chair of Forest Mensuration, Universidad Austral de Chile, Reineke LH (1933) Perfecting a stand-density index for even-aged
Faculty of Forestry Sciences forests. J Agric Res 46:627–638
Jones JR (1969) Review and comparison of site evaluation methods, vol Spurr SH (1962) A measure of point density. For Sci 8(1):85–96
51. US Rocky Mountain Forest and Range Experiment Station West PW (2009) Tree and forest measurement, 2nd edn. Springer
Krajicek JE, Brinkman KA, Gingrich S (1961) Crown competition—a
measure of density. For Sci 7(1):35–42
 Contemporary Silviculture
17
Ramakrishna Hegde, P. A. Clara Manasa, and Supriya K. Salimath

Abstract Proactive silviculturists have a spectrum of choices,

The genesis of contemporary silviculture can be traced including intensive silviculture, precision silviculture,
back to the imperative to find sustainable and efficient and considerations within the context of climate change
methods for wood and forest product generation as for- and sewage silviculture. These diverse approaches reflect
ested lands diminished and exploitation faced increasing the dynamic nature of silviculture as it responds to
restrictions. Silviculture, situated at the intersection of evolving societal expectations and ecological insights in
social and natural sciences, is defined as the theory and the pursuit of resilient and sustainable forest ecosystems.
practice of controlling forest establishment, composition,
structure, and growth. While articulating management Keywords
objectives is crucial for silviculture’s success, it is essen- Silviculture · Stand structure · Silvicultural system · Nat-
tial to dispel the misconception that its sole purpose is ural regeneration · Growth curve
wood production. Silviculture is employed to manage
forests for various uses, encompassing wildlife, water,
recreation, and aesthetics, ensuring the vitality and pro- 17.1 Introduction
ductivity of wooded ecosystems and the continuity of key
ecological processes. At the core of silviculture is the Silviculture encompasses diverse definitions, including its
concept of a silvicultural system, a planned series of characterization as both the art and science of cultivating
treatments implemented throughout a stand’s lifespan to and nurturing a forest to meet the social and economic
achieve specific structural goals. This treatment program, needs of individuals and society. It is alternatively viewed
involving harvesting, regeneration, and stand tending as the practical application of autecology or silvics knowl-
techniques, aims to provide consistent benefits over time. edge in forest management. Another perspective defines sil-
Recognizing that trees have a finite lifespan, actions dur- viculture as the theory and practice of regulating the
ing regeneration significantly influence a stand’s future establishment, composition, structure, and growth of forests.
evolution. Regeneration, whether natural or artificial, is As a practice rooted in applied forest ecology, silviculture
the cornerstone of forest crops, with various disturbances plays a pivotal role in biological technology, translating
leading to the emergence of natural vegetation. Under- ecosystem management principles into tangible actions.
standing the interplay between species and events is cru- Contemporary silviculture, as articulated by Smith et al.
cial for effective management. Silviculture, with its focus (1997), is succinctly described as the “art and science of
on timber production, shapes the development and growth managing forests.” Here, the term “art” reflects the skillful
of trees across various phases. Despite its historical suc- application of knowledge acquired through meticulous obser-
cess in adapting to environmental shifts, silviculture faces vation and prolonged practical experience. Silviculturists
unprecedented challenges in the current global transition. leverage this accumulated knowledge to adapt successful
Modern silvicultural planning necessitates adaptability to practices to new management conditions, thereby ensuring
new circumstances and sustainable forest resource use. the effective stewardship of forests. The essence of silvicul-
tural practice lies in the diverse treatments employed to care
R. Hegde (✉) · P. A. Clara Manasa · S. K. Salimath
for and enhance forests, optimizing their utility for various
College of Forestry, Ponnampet, Keladi Shivappa Nayaka University of
Agricultural and Horticultural Sciences, Shivamogga, Karnataka, India purposes. The foundational underpinning of silviculture in
e-mail: ramakrishnahegde@uahs.edu.in the natural sciences is silvics, a discipline addressing the

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 389
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_17
390 R. Hegde et al.

growth and development of individual trees, as well as other utilization, the impact on forests by aboriginal cultures was
forest species and entire forest ecosystems. minimal or localized, owing to low population densities and
expansive forested areas. Sustainable resource management
was not an imperative need, as new, untouched areas could be
17.2 Importance of Silviculture discovered, colonized, and utilized when the productivity of a
particular forest area declined.
Silviculture is crafted to establish and uphold forests that However, with the growth of human populations, the
align with the goals of both the landowner and the wider availability of untouched forests diminished. Societies
society. While most silvicultural methods are applied during transitioned to more sedentary lifestyles, relying heavily on
timber harvesting due to a significant reduction in operational agriculture, leading to concentrated forest exploitation near
costs associated with wood removal, it is crucial to recognize populated areas. This proximity resulted in unregulated pres-
that silviculture extends beyond a singular focus on wood sure on forests, often leading to overexploitation—a phenom-
production. This discipline encompasses diverse facets, enon commonly known as the “tragedy of the commons.” As
including the management of seminatural woodlands and a response to this challenge, many societies developed rules
protection forests. The manipulation of growing space serves and regulations governing forest exploitation, including
as a key strategy in silviculture to achieve various objectives limitations on tree harvesting, grazing, foraging rights, and
such as enhancing wildlife habitat, creating scenic vistas, or the collection of minor forest products. The timing of this
fostering a robust ground layer for surface watershed transition to regulated forest management varied among
protection. cultures. In India, historical records from the Gupta period
Silvicultural practices, irrespective of the specific manage- (320–800 AD) described detailed measures to manage forests
ment objective, strive to govern the establishment, composi- and wildlife. However, subsequent invasions and colonial
tion, structure, growth, and roles of trees within managed periods, such as Mughal rule and British colonization,
forests. The establishment of preferred tree species is contributed to renewed forest destruction. By the
achieved through natural regeneration, direct seeding, or mid-seventeenth century, the adverse impacts of slope ero-
planting. The term “composition” refers to the diversity of sion and wood scarcity prompted the urgent need for a well-
tree species and their relative abundance, while “structure” developed forest management system. Local and provincial
encompasses internal characteristics like tree crowns, vitality, governments swiftly implemented regulatory measures to
diameter and height distributions, the presence of dead trees counter the effects of overexploitation. Simultaneously, a
(snags), wood on the ground, and understory vegetation. rich body of silvicultural techniques was developed and
Implementing a range of individual practices, such as site disseminated across the country to address the socio-
preparation, promoting natural regeneration, planting, fertili- economic challenges associated with forest resource
zation, thinning, and final harvest based on diameter or age, depletion.
silvicultural activities work cohesively to cultivate the
desired species and structural attributes within and across
managed areas in a forested landscape. 17.3.1 Origins of Modern Silviculture

With the diminishing availability of forested lands and the

17.3 History of Silviculture increasing regulation of forest exploitation, efforts turned
toward identifying and implementing more sustainable and
Indigenous communities worldwide have historically relied efficient methods for wood and other forest product produc-
on forests for their sustenance, drawing upon these tion. This marks the inception of modern silviculture. Among
ecosystems for food, fuel, tools, and shelter. The utilization the earliest documented silvicultural techniques was the cop-
of wood from forests spans diverse applications, including pice system, systematically practiced in France since the
the crafting of tools, implements, bridges, boats, and ninth century. Over subsequent centuries, the coppice work-
dwellings. Archaeological evidence, such as the discovery ing method extended to hardwood forests across much of
of extensive caches of wooden tools dating back approxi- Europe. In the preceding two centuries, forest science and
mately 5000 years in northern India, attests to the rich history management primarily concentrated on optimizing commod-
of forest resource utilization by early inhabitants. The variety ity production, particularly wood for timber, pulp, and fuel.
of tree species used in crafting tools suggests a deep under- Driven by the belief that homogeneous products are more
standing of the distinct properties of different woods. In cost-effective to produce and manage, management practices
ancient times, prehistoric cultures exhibited an extensive often resulted in even-aged, mono-specific, or species-poor
knowledge of forests, influencing the production of lumber, stands (Puettmann and Ek 1999; Paquette and Messier 2009;
thatching, staves, weapons, and more. Despite this FAO 2010; West 2014). These practices encompass activities
17 Contemporary Silviculture 391

such as planting or natural regeneration, including coppic- idea that logging can be silviculturally beneficial. To address
ing or natural/sown seed approaches, coupled with weed escalating soil effects and damages with logging intensity,
control and timber stand improvement practices to regulate silvicultural interventions should be moderate and
species composition, tree size, and quality—referred to concentrated in small areas, minimizing costs. Advances in
hereafter as “conventional” forest management. Simulta- forest planning, monitoring, and logging technology provide
neously, alternative silvicultural approaches have been new tools at the management level to mitigate the damaging
developed in various regions globally. However, these effects of silvicultural interventions.
alternatives have received comparatively less attention on
a global scale, highlighting a need for greater consideration 17.3.2.2 Climate Change
in contemporary silviculture. Effective forest management influences carbon flows
between forests and the atmosphere, impacting both the
acceleration and mitigation of atmospheric CO2 accumula-
17.3.2 Scope of Silviculture tion, a major factor in climate change. Tropical forests,
contributing 40% of terrestrial biomass carbon and 30–50%
Silviculture serves as a scientific discipline that seeks to of terrestrial productivity, are pivotal. Destruction and degra-
bridge the gap between natural sciences and societal dation, mainly in the tropics, constitute about 17% of total
disciplines. While many principles of silviculture applicable anthropogenic greenhouse gas emissions. Given forests’ role
in temperate ecosystems generally hold true in tropical as a carbon sink or source, any activity altering biomass
regions, a notable distinction arises due to the exceptional directly affects the carbon budget. Thus, managing tropical
biodiversity found in most tropical forest ecosystems. This forests becomes crucial in political efforts to mitigate climate
diversity adds complexity to silvicultural planning and change. The following sections address key topics aligned
interventions. Notably, ensuring compatibility with biodiver- with diverse management objectives.
sity conservation objectives becomes crucial. The reliance of
many people in the tropics on forests for subsistence and Management for Mitigation
livelihood further emphasizes the need for silvicultural The primary strategies for forest mitigation involve
goals to align with the aims of rural development and poverty maintaining high carbon stocks in natural and managed
reduction. Traditionally, the primary focus of tropical silvi- forests, reducing losses from management interventions. To
culture has been to provide practical methods for sustaining a preserve high carbon stocks, conserving standing forests,
consistent yield of wood from economically viable species. especially old-growth ones, is crucial. Various silvicultural
However, recent years have witnessed substantial shifts in treatments, applied before or after logging, can enhance car-
forest management and silviculture due to changes in global bon storage and overall forest health. However, a compre-
and regional societal and environmental conditions. In hensive knowledge of stand status and intervention impacts
response to these shifts, silvicultural concepts and techniques on biomass and soil carbon, as well as other greenhouse gases
must not solely cater to the objectives of forest owners but (e.g., CH4 and N2O), is essential. When managing tropical
also consider the diverse societal demands and ecological forests for carbon, minimize treatments that affect soil carbon
requirements arising from environmental changes. As and encourage those creating space for desired species. The
outlined by Weber (2011), the following sections will delve greatest carbon losses result from poorly planned or executed
into some of the new aspects with paramount impact on forest logging operations. Despite forest management’s mitigation
management in tropical forests. potential, the key opportunity in tropical regions lies in
reducing carbon emissions from deforestation and
17.3.2.1 New Perspective on Biodiversity degradation.
and Conservation Management
Biodiversity’s global importance for sustainable forest man- Management for Adaptation of Forests to Climate
agement and certification schemes is now recognized, Change
extending to technical aspects like tropical silviculture. His- In mitigating tropical forests, the impact of climate change,
torically, biodiversity’s role was confined to nature conserva- such as regional drying and warming, extreme weather
tion, but recent growth in awareness has broadened its scope. events, and biodiversity loss, must be considered. Forest
Protected areas were long considered the primary solution for management must be highly adaptive, relying on current
preserving natural landscapes, ecosystems, and genetic diver- information about forest conditions. Given the uncertainties
sity in tropical forests. Integrating silvicultural treatments of climate change in the tropics, silvicultural adaptation
with logging not only reduces costs but also promotes the strategies should resemble other risk-reducing approaches.
392 R. Hegde et al.

Prioritizing forest health and ecosystem diversity aims to their natural, biodiverse, and appealing character, as any
enhance resilience, crucial for recovery after disturbances. evident logging damage is incompatible with ecotourism. In
the ecotourism framework, a careful consideration of land-
17.3.2.3 Increasing Importance of Goods scape effects and compatibility with attractive animal pres-
and Services Other Than Timber ence are essential. Forests are integral elements within
human-populated landscapes, necessitating the involvement
Non-wood Forest Products of local communities in participatory planning. Adequate
Since ancient times, humans have gathered non-wood forest compensation allows for specific activities, such as managing
resources like berries, mushrooms, fruits, herbs, and ornamental species, creating openings and viewpoints,
bushmeat for food, energy, and construction. Silviculture establishing scenic roads or hiking corridors, and extending
faces a new challenge managing diverse products, requiring rotation lengths to enhance a forest’s value for recreation and
expertise in both timber and non-wood forest products ecotourism.
(NWFPs). To address this, managers must expand their
knowledge from forest management to include agroforestry
and farming practices. Therefore, contemporary tropical sil- 17.4 Principles of Silviculture
vicultural education and training should encompass these
aspects. Silviculture adheres to essential principles, with the first two
focusing on respecting nature’s limitations and conserving
Biofuels site productivity. The subsequent four principles serve as
Fuelwood holds traditional significance in many tropical checks against the unintended consequences of poor silvicul-
countries, particularly in Africa, where it dominates heat ture judgment.
energy sources for cooking and heating. Given that fossil
fuels contribute 57% to total greenhouse gas (GHG) Principle 1: Imitating Nature Through Silviculture
emissions, a shift from fossil fuels to biomass fuels is increas- Recognizing the magnificence of natural forests, shaped by
ingly vital in GHG reduction strategies. The tropics, with millions of years of exposure to climate, disease, and
their high production rates of up to 40 tons ha-1 year-1, disturbances, underscores the wisdom of imitating nature in
merit special attention. While a significant portion of “mod- silviculture. This discipline intentionally guides natural pro-
ern” fuelwood comes from agricultural areas or nonwoody cesses to enhance forest utility efficiently and expeditiously,
biomass, this situation presents new opportunities and aligning with anthropocentric ecological constraints.
challenges for silviculture. Principle 2: Conservation of Site Productivity
Forestry, particularly silviculture, places paramount impor-
Ecosystem Services tance on maintaining the productivity of living forests. Soil, a
In addition to yielding marketable goods like timber, less renewable resource, faces lasting harm. Although dam-
non-wood forest products (NWFPs), and biofuels, natural age to the living component of the site may be severe, it is
and managed forest ecosystems offer essential services. typically not permanent. Soil erosion, especially due to care-
However, these services are often challenging for forest less treatments associated with timber extraction, poses a
owners to directly sell on local markets. Over recent decades, significant risk. Permanent forestry without degradation is
a shift from mono-structured silviculture, focused solely on achievable by prioritizing soil health and employing the
high wood yields, has evolved toward multiple-use forest four guiding principles described below.
management. This approach considers timber, NWFPs, and Principle 3: Control of Stand Structure and Process
environmental services. Persistent deforestation and degrada- Silviculture serves as dynamic process engineering, creating
tion, coupled with increasing resource demand, necessitate a structures or developmental sequences that are harmonious
comprehensive approach to tropical forest management. with the environment. Managing stands, evolving with time,
Therefore, promoting sustainable extractive uses, alongside necessitates a sophisticated design considering environmen-
the conservation of ecosystem services, particularly biodiver- tal influences. The forester, partly creating a new ecosystem,
sity, is crucial. must also adapt to the existing one.
Principle 4: Control of Composition
Ecotourism Silviculture aims to limit stand composition based on ecolog-
Numerous tropical forests serve as vital repositories of biodi- ical and biological standpoints, often resulting in fewer spe-
versity, providing sanctuary for endangered species and cies than the natural stand site. Species composition is
indigenous communities. This increased significance for con- regulated through disturbance control during stand establish-
servation and local recreation has also captured the attention ment, favoring desirable species through planting or artificial
of ecotourism. Managed forests in this context demand seeding, and introducing non-native species when appropri-
exceptionally sensitive silvicultural interventions, preserving ately adapted.
17 Contemporary Silviculture 393

Principle 5: Control of Stand Density objectives such as wildlife, water, recreation, aesthetics, or
Effective silviculture balances stand density to avoid issues a combination of these. Silviculture ensures the sustained
like branchy or malformed trees or excessive competition. ecological functions, health, and productivity of forested
Managing trees at optimal density, either too dense or too ecosystems. A silvicultural system is a planned treatment
sparse, ensures ideal growth conditions. In many regions, program throughout a stand’s life, integrating harvesting,
restocking deforested areas is a common silvicultural goal. regeneration, and tending methods to achieve specific struc-
Principle 6: Control of Rotation Length tural goals and predictable benefits over time. Historically
Recognizing that stands of trees are not immortal, controlled focused on maximizing timber production, modern silvicul-
reductions in stand density, fertilization, and drainage can influ- tural systems now incorporate ecological considerations.
ence rotation lengths. Managing forests efficiently involves Silviculturists often work with less-than-ideal stands, aiming
planning the growth of stands to reach desired sizes at earlier for improvement while acknowledging imperfections. Mis-
ages, optimizing economic and predictable use. Planned guided practices can harm a stand’s ability to meet the
reductions in tree numbers facilitate efficient timber extraction landowner’s objectives. Silvicultural systems emphasize con-
during partial cutting, keeping transport costs in check. servation, providing predictable yields while ensuring long-
term sustainability—an essential concept in forestry practice,
aligning sustainability with individual stands.
17.5 Basic Units of Silviculture
17.6.1.1 Continuous Cover Silviculture
A stand represents a contiguous assembly of trees, uniform This approach to forest management, known as continuous
in species composition, an arrangement of age classes, site cover forestry, embraces a close-to-nature method by keeping
quality, and condition, forming a distinguishable unit. This the forest ecosystem intact. This method, particularly favored
unit is fundamental and typically the most detailed manage- for broadleaves, differs from clear-felling systems. It
ment entity suitable for applying silvicultural treatments. The maintains an unbroken forest cover, with tree harvesting
internal structure of the stand primarily varies based on the occurring as they reach required sizes. Encouraging natural
intermingling of different species’ age classes. The most regeneration, the canopy is carefully opened to allow ample
straightforward structure is that of the pure, even-aged plan- light for seedlings to thrive on the forest floor. Older trees are
tation, displaying a developmental pattern. Complexity gradually removed, enabling younger ones to reach the upper
extends to various combinations of age classes and species canopy. This results in a multi-storied, multi-aged stand
in diverse vertical and horizontal arrangements, known as structure, sustaining a perpetual forest cover. Continuous
stand dynamics. The benefits produced by forest stands, cover forestry is more than a silvicultural system; it is an
whether wood, wildlife, water, forage, or scenery, are con- approach to forest management. Terms like “close-to-
trolled by the stand development processes. This develop- nature,” “holistic,” or “ecological” are vague, so focusing
mental process commences with the birth of the stand, on guiding principles is more practical. These principles
involves competition between trees, and concludes with the include managing the entire forest ecosystem, utilizing natu-
death of the trees and their replacement. The simplest stand ral processes for stand management, working within site
development process is the pure even-aged stand, where the limitations, and creating a diverse stand structure with vari-
trees of a single species start together after removing the ous species.
previous stand, often seen in planted stands. Uneven-aged
stands (two to three age classes considered multi-aged; more Advantages of Continuous Cover Forestry
than three age classes considered all-aged) involve trees or • Less Visual Impact: Reduced compared to clear-felling.
groups of trees of different ages, presenting more intricate • Increased Diversity: Enhances structural and species
developmental patterns. Mixed stands comprise more than diversity within stands.
one tree species, intensifying complexity, particularly when • Wildlife Benefits: Greater structural diversity supports
having more than a single age class of trees. wildlife and regenerating seedlings.
• Cost Savings: Potentially lowers restocking costs, assum-
ing successful natural regeneration.
17.6 Fundamentals of Silviculture • High-Quality Saw logs: Production of large diameter,
high-quality saw logs.
17.6.1 Silvicultural Systems • Resilience Against Windthrow: Structural diversity
provides resilience against windthrow.
The success of silviculture hinges on well-defined manage-
ment objectives. It’s a misconception to associate silviculture Disadvantages of Continuous Cover Forestry
solely with timber management; it encompasses various • Complex Stand Management: Requires skilled personnel
for more intricate management.
394 R. Hegde et al.

• Difficulty in Yield Prediction/Regulation: Prediction and Seed Germination

regulation are more challenging. • Depends on internal factors like seed coat permeability,
• Higher Harvesting Costs: Increased costs due to small, moisture availability, embryo nature, ripening processes,
dispersed felling sites. viability, and seed size.
• Site Damage on Heavy Soils: More significant damage on • External factors include temperature, moisture, oxygen,
heavy soils due to less brash for brash-mats. soil type, and light.
• Dependency on Natural Regeneration: Cost-effectiveness
relies on natural regeneration, less suitable for fertile sites Establishment of Seedling
with weed competition or high browsing pressure. • Success of natural regeneration relies on a chain of pro-
• Risks of Wind Damage: Particularly during the transfor- cesses, including sufficient seed production, efficient dis-
mation of regular stands, especially on unstable sites. semination, successful germination, and establishment of
• Time-Consuming Success Determination: Requires time seedlings.
to assess success. • Factors influencing seedling establishment include soil
conditions, climate, weed presence, grazing, forest fires,
rainfall impact (drip), competition among crops, and root
17.6.2 Forest Regeneration development.

Forest regeneration involves renewing crops through natural Natural Regeneration by Vegetative Means
or artificial methods, encompassing both natural and artificial Certain plants exhibit regeneration through vegetative parts,
regeneration processes. either coppices or root suckers, presenting advantages and
limitations.
17.6.2.1 Natural Regeneration
Natural regeneration involves renewing forest crops through Natural Regeneration by Coppice
self-sown seeds, coppice, or root suckers. Under favorable Seedling Coppice: Arises from seedlings cut or burnt back,
conditions, tree seeds germinate and develop into seedlings, with multiple shoots produced at the base.
ultimately forming a mature crop. There are three ways to Stool Coppice: Emerges from a living stump, with numerous
achieve natural regeneration: coppices usually produced, allowing for selection and
clear pole development.
1. Natural regeneration by seed.
2. Natural regeneration by vegetative plants. Regeneration factors include species, tree age, stump height,
3. Natural regeneration supplemented by artificial cutting method, and rotation.
regeneration.
Natural Regeneration from Root Suckers
Natural Regeneration by Seeds • Secondary shoots from tree or shrub roots, termed root
Successful natural regeneration from seeds relies on the suckers, can grow into mature individuals.
effectiveness of four key processes: • Less commonly observed naturally in species like
Diospyros tomentosa and Dalbergia sissoo.
Seed Production
• Influenced by factors like species, tree age, site conditions, Advantages of Natural Regeneration
weather, and pest attacks. • Lower initial establishment costs, especially without site
• Species like Tectona grandis, Dalbergia sissoo, and Aca- preparation.
cia nilotica seed annually, while others like Shorea • Reduced need for heavy equipment and labor.
robusta seed biennially or at longer intervals. • Naturally shaped root systems in seedlings without nurs-
• Bamboos and Strobilanthes undergo gregarious ery growth.
flowering, leading to abundant seed production. • Aesthetic appeal of uneven, naturally spaced forest stands.

Seed Dissemination Disadvantages of Natural Regeneration

• Essential for species survival as seeds need to be carried • Requires available seed crop and timed dispersal for suit-
away from the parent plant to establish successful able seedbed.
germination. • Soil moisture essential for germination, with dry years
• Dispersal mechanisms involve wind, water, animals, and impacting success.
explosive mechanisms within fruits.
17 Contemporary Silviculture 395

• Risk of seed consumption by insects or small seed-eating Artificial regeneration aims to fulfill objectives like produc-
animals. tive, protective, and bio-aesthetic purposes, offering precise
• Competing vegetation may challenge survival and growth control but with higher costs and labor demands.
for an extended period. The decision between natural and artificial regeneration
• Pre-commercial thinning might be needed for dense hinges on various factors. Considerations include the risk of
stands resulting from abundant seed. soil loss and deterioration, crop composition, genetic factors,
• Genetically unimproved seed from seed trees. pest damage susceptibility, operational flexibility, stocking
• Initial cost savings may lead to higher long-term expenses density, yield, time constraints, and cost implications. Gener-
for site preparation or thinning. ally, natural regeneration is preferable if achieved satisfacto-
• Unsuitable for naturally regenerating open sites without rily within reasonable time and cost. However, if natural
trees. regeneration proves inefficient, artificial regeneration
• Lack of control over tree spacing and stocking levels, becomes the preferred option. Recent trends lean toward
resulting in uneven stands. man-made forests, driven by objectives such as increasing
• Longer time to reach harvest compared to direct seeding or timber yield to meet growing demand, shortening rotation
planting. through fast-growing species, strategic forest placement rela-
tive to industries, meeting rural needs for implements and
Natural Generation Supplemented by Artificial fuel, enhancing agro-ecosystems, erosion control, country-
Regeneration side beautification, concentrated work for easier supervision
Natural regeneration varies, with success in some forest areas and mechanization, cost-effective logging, and increased
and failure in others. Artificial regeneration involves sowing, employment opportunities. These considerations underscore
planting, or other methods, creating plantations for reforesta- the evolving emphasis on human-driven forest development
tion and afforestation. in recent years.

17.6.2.2 Artificial Regeneration 17.6.2.3 Ecological Basis for Regeneration

Artificial regeneration is the renewal of the forest crop by Even trees have a finite lifespan, and there comes a point
sowing, planting, or other artificial methods. Normally, such when they must be naturally or intentionally replaced by new
crops are called “plantations” which is defined as a forest ones. The plasticity of young regeneration is such that the
crop raised artificially, either by sowing or planting. actions taken during the establishment phase significantly
shape the future development of trees and stands. The
Objectives of Artificial Regeneration treatments applied in the initial weeks or months exert a
Artificial regeneration is mainly carried out for the following profound influence on future characteristics, often more so
two objects: than subsequent tending efforts. The success or failure of
silvicultural treatments is, to a large extent, predetermined
Reforestation: Restocking cleared woodland using artificial during stand establishment. Regenerating a stand is an ulti-
means, supplementing natural regeneration or restocking mate and critical act that warrants continuous consideration
after destruction. throughout the entire rotation.
Afforestation: Establishing a forest where vegetation has
been absent, focusing on productive, protective, and Natural Disturbances
bio-aesthetic purposes. Natural vegetation typically emerges following various types
of lethal disturbances. No single species is adapted to all
Advantages of Artificial Regeneration types of disturbances, making it essential to understand
• Precise control over spacing and initial stocking. which species emerge after specific events. In many regions
• Use of genetically improved planting stock. worldwide, fire stands out as the most common disturbance,
• Independence from natural seed crops. having been ignited by lightning and volcanic eruptions long
• Fewer entries for stand preparation. before human intervention. In forest climates where fires
• Allows for species conversion. recur frequently, the result is often stands of sprouting shrubs
or perennial grasses. Another group of species that thrives in
Disadvantages of Artificial Regeneration the aftermath of fire consists of those germinating from the
• High establishment costs. typically small seeds of wind-dispersed species well-suited to
• Requires intensive labor and equipment. sprouting on mineral soil surfaces left bare by fires. This
• Some species face severe insect and disease issues. category of post-fire seeders includes many commercially
valuable species, such as most pines and other significant
trees.
396 R. Hegde et al.

1. Severe Disturbances with less frequent burning. Sprouting tree species are next in
Erosional Geological Events: The most extreme natural line if fires are too frequent for seed production.
disturbances involve erosional geological events, initiating
true primary succession. Landslides, glacier melting, and the 5. Disturbances and the Environment of the Microsite
formation of new land through water, wind, or volcanism Non-uniform Natural Disturbances: Late successional
mark the starting points. Human-induced erosion or earth- communities result from the prolonged series of small, light
moving can expose nutrient-deficient soil materials lacking disturbances, fostering diverse ecological developments over
organic matter. While deliberately stimulating such time. These communities reflect gradual adaptations to vari-
disturbances in silviculture is seldom wise, foresters may ous environmental changes. In contrast, pioneer stages
need to afforest exposed parent material resulting from ero- emerge abruptly in response to catastrophic events.
sion, road building, strip-mining, or similar events. Success- Catastrophes like fires play a significant role, and numerous
ful silviculture in these challenging situations requires a clear species, including valuable forests, exhibit natural
understanding of how natural pioneer vegetation develops on adaptations to fire-induced variations.
similar sites, relying on seed or spore dispersal by wind,
water, or animals. Adaptations to Fire: Many species have evolved adaptations
to fire, a prevalent natural disturbance. Some thrive in the
2. Releasing Disturbances aftermath of severe fires, displaying responses similar to
Top-Down Killing by Wind or Pests: Another category of broadcast burning, while others prefer gentler
regenerative disturbance involves agencies like wind or pests disturbances like prescribed burning.
killing large trees from the top-down while sparing lower Beneficial Role of Occasional Fires: Occasional fires in
strata plants. Species adapted to such conditions possess natural forests play a beneficial role in maintaining spe-
foliage tolerant to shade. However, their seedlings are usually cific species. They interrupt natural succession, expose
not suited to exposed microclimates, and their juvenile favorable seedbeds, and serve as a preventive measure
growth tends to be slow. against more destructive fires.
Diverse Adaptations to Fire: Different degrees of
3. Patterns in Floristics Concerning Disturbance adaptations to fire are observable within a locality, where
Non-uniform Natural Disturbances: Natural disturbances various species may exhibit adaptations to different fire
vary in severity, type, and extent. Even in a seemingly fire- frequencies. Forested climates often witness the coexis-
laid hectare, numerous tiny spots create distinct regeneration tence of sprouting perennial grasses with annual burning
microenvironments. Key disturbance factors include the and sprouting shrubs with less frequent burning. If fires
degree of mineral soil exposure, freedom from root competi- occur too frequently for seed production, sprouting tree
tion, and solar radiation intensity. These elements determine species become the next adaptation in line.
the vegetation in small vacancies, each a few square
centimeters in area. Water Loss Mechanisms in Soil Layers
In the uppermost strata of soil and organic material, water
4. Role of Fire as a Disturbance undergoes a process of direct evaporation, dissipating into the
Late successional: communities are the result of a long series atmosphere. The pace of this loss accelerates when surfaces
of small, light disturbances, whereas pioneer stages are the are exposed to substantial amounts of direct solar radiation.
product of catastrophe. Fire is one of the most common kinds Forest floor litter, composed of loose materials, experiences
of natural disturbance, and many species including some of rapid water loss, rendering it inhospitable to plant roots.
the most valuable forests represent the natural adaptations of Although the upper layers of mineral soil or finely divided
the variation to fire. Some species are adapted to reproduce organic matter offer a more favorable environment, they, too,
after severe fires with effects akin to those of broadcast are prone to water loss through evaporation. Surface tension
burning and others too much gentler disturbances like those within the slender water columns in these materials
of prescribed burning. Occasional fires in natural forests were contributes to this phenomenon. As water evaporates from
beneficial to the maintenance of some species as they arrested the top ends of these columns, it pulls more water upward,
natural succession, exposed favorable seedbeds, and continuing the cycle. The extent of the capillary fringe
prevented more destructive fires. Another way of viewing deepens with finer materials. This direct evaporation
different degrees of adaptations to fire is to note that a given distinguishes itself from the transpiration process in plants,
locality may have species with adaptation to different wherein water is absorbed through roots. Notably, direct
frequencies of fire. In forested climates, sprouting perennial evaporation elucidates water loss from the uppermost soil
grasses often go with annual burning and sprouting shrubs levels, even when devoid of roots.
17 Contemporary Silviculture 397

Air Dynamics and Thermal Processes Near the Forest a clear vision of a well-managed stand that efficiently yields
Floor homogeneous, high-quality timber. Consequently, silvicul-
In the initial few centimeters above the forest floor, the air ture plays a crucial role in influencing the growth and incre-
experiences similar dynamics. Frictional effects play a crucial ment of trees at various stages of their development. Growth,
role in impeding the turbulent transfer, which is the primary a biological phenomenon, encompasses the processes of
mechanism for the vertical movement of heated air, water forming, differentiating, and expanding new cells, tissues,
vapor, carbon dioxide, and other airborne substances. This or organs, resulting in an increase in size over time. It is
sluggish movement restricts the upward transport of heated important to note that the sudden increase in tree diameter
air during the day and its downward movement at night, observed after rain is not a result of growth but rather reflects
countering radiational cooling heat loss. the effects of bark swell. On the other hand, increment refers
Silvicultural manipulation often focuses on shading, to the quantitative increase in size within a specified time
involving the reflection or absorption of solar energy by interval, directly attributable to growth. It is essential to
leaves or other objects. While large amounts of radiation recognize that the terms growth and increment are not
are reflected without absorption by surface materials, soil interchangeable.
and dead organic materials exhibit relatively consistent
reflectivity or albedo. Consequently, modifying surface
reflectivity to enhance seedling growth proves challenging. 17.7.1 Factors Affecting Growth
Vertical heat movement through the air relies on turbulent
transfer, known as convection, wherein large clumps of air Several factors play crucial roles in influencing the growth of
molecules undergo chaotic movement propelled by wind trees in both plantations and natural forests. In plantations,
energy from the atmosphere above. The low heat conductiv- initial spacing and treatment, silvicultural practices, artificial
ity of air leads to a phenomenon where the stratum immedi- thinning, pruning activities, site conditions (including
ately above the surface is tightly held by friction, limiting the nutritional aspects), and climatic conditions collectively
impact of convection. shape the growth trajectory. The arrangement of trees, the
treatments applied, and interventions such as thinning and
Light Dynamics in Forest Ecosystems pruning all contribute to the overall growth outcomes. Addi-
Light plays a crucial role in the energy dynamics of photo- tionally, site conditions, including soil nutrition, and climatic
synthesis and significantly influences seedling establishment factors play pivotal roles in determining the growth patterns
and survival. The visible and infrared components of radia- in plantation settings.
tion are particularly important for seedling development. In natural forests, growth is intricately linked to factors
Forest canopy conditions can be altered by changing the such as regeneration density and treatment, spatial distribu-
quality, intensity, and balance between direct and diffuse tion of trees, silvicultural practices, artificial thinning, site
light. Factors such as moisture and temperature also impact conditions, and climatic influences. The density and treat-
the timing of leaf emergence in deciduous forest canopies, ment of regeneration, along with spatial distribution, signifi-
affecting solar radiation at the forest floor. Some seedlings cantly impact the natural forest’s growth dynamics.
thrive by exploiting temporal mismatches. Canopy openings Silvicultural practices and artificial thinning continue to be
result in varied radiation quality beneath the forest floor, with influential, while site conditions and climatic factors also
side-shade, where slanting direct sunlight is blocked, creating remain pivotal determinants of growth in natural forest
conditions known as “blue shade” due to the blue ecosystems. Understanding and managing these diverse
wavelengths from the scattered diffuse light. Conversely, factors are essential for fostering healthy and sustainable
“green shade” occurs in full shade with light passing through tree growth in both plantation and natural forest
multiple canopy layers, providing photosynthetically less environments.
useful green light, which supports the most shade-tolerant
species.
17.7.2 Fundamental Principles of Tree Growth

17.7 Tree Growth and Increment Wood represents the culmination of biochemical processes,
forming relatively stable materials through intricate chemical
Silviculture focused on timber production presents a unique reactions and energy transformations. During the early stages
challenge as it places a greater emphasis on the species and of cambial growth each growing season, one encounters
quality of trees compared to other forest uses. The overarch- enlarged, thin-walled, highly vacuolated cells that, apart from
ing management goal of optimizing timber production paints their fusiform shapes, bear little resemblance to the eventual
398 R. Hegde et al.

woody elements. In the diverse field of dendrology, the starting Intra-Seasonal Dynamics: Within a single growing season,
point often involves the unstated premise that the genome of a various parts of a tree initiate growth at different times,
vascular plant contains encoded proteins, facilitating life pro- influenced by species-specific reactions. Typically, height
cesses essential for the tree’s development. Wood, in reality, growth takes precedence over diameter growth or needle
encompasses a diversity of biomaterials, each exhibiting dis- flush. Terminal bud extension (main stem and branches)
tinct characteristics, and the variations between species find follows a basipetal progression, starting from the tree’s top
their explanations in the realm of genetic differences. and advancing downward.
There are seven principles to explain growth in trees: Height Growth Factors: The extent of height growth in a
season is contingent on hereditary traits, recent environ-
1. Uniformitarian Principle: This principle asserts that the mental conditions, and prevailing environmental factors.
physical and biological processes linking the current envi- Diameter Growth Patterns: Diameter growth also exhibits a
ronmental conditions with the existing patterns of tree basipetal trend, closely tied to the current foliage
growth must have been consistent throughout history. conditions and the existing environmental milieu.
2. Principle of Limiting Factors: Emphasizing that rates of
plant processes are restricted by the primary environmen-
tal variable posing the greatest limitation. 17.7.4 Size/Age Dynamics
3. Principle of Aggregate Tree Growth: This principle
suggests that individual tree-growth series can be Understanding the progression of size in relation to age
analyzed as an aggregate of environmental factors, involves interpreting the Cumulative Growth Curve (CGC),
encompassing both human and natural influences shaping typically sigmoidal for biological organisms. This curve
tree growth patterns over time. delineates three distinct phases.
4. Principle of Ecological Amplitude: This principle posits
that a tree species is more responsive to environmental 1. Juvenile Phase: Characterized by an accelerating growth
factors at the latitudinal and elevational extremities of its rate, the juvenile phase marks the initial burst of vigor as
range. the organism establishes its formative foundation.
5. Principle of Site Selection: This principle states that sites 2. Full Vigor Phase (Maturity): Representing a period of
suitable for dendrochronology can be identified and cho- constant growth rate, the full vigor phase epitomizes the
sen based on specific criteria, ensuring the production of peak developmental stage where the organism achieves
tree-ring series sensitive to the examined environmental optimal size and functional capacity.
variable. 3. Senescent Phase: In this stage, the growth rate
6. Principle of Cross Dating: This principle relies on decelerates, signifying the onset of aging. The senescent
matching patterns in ring widths or other characteristics phase reflects a decline in the organism’s growth dynam-
among various tree-ring series to pinpoint the exact year in ics as it gradually transitions toward the end of its life
which each tree ring was formed. cycle.
7. Principle of Replication: This principle advocates for
maximizing the environmental signal under investigation
and minimizing “noise” by sampling more than one stem 17.7.5 Height Dynamics in Trees
radius per tree and more than one tree per site.
Monitoring changes in tree height holds paramount impor-
tance in anticipating the future composition of stands and
17.7.3 Developmental Phases in Individual Tree selecting optimal crops, particularly in pure stands. Height
Growth growth unfolds gradually once seedlings are well-
established, transitioning into a rapid growth phase lasting
Integral to gauging trees and forest stands is a comprehension 20–30 years, contingent on species and site conditions. This
of how individual trees evolve in diverse settings. For a cumulative growth encompasses increases in height, diame-
forester, understanding the correlations between tree size, ter, volume, and basal area. In even-aged plantations, the
age, and increment to age is pivotal for predicting future relationship between height growth and age typically exhibits
growth. There are nuances to consider within and between a sigmoid pattern. Early and late stages manifest slow
growing seasons. growth, while the intermediate period witnesses a surge in
growth rate. In irregular forests, especially with shade-
17 Contemporary Silviculture 399

tolerant species, the initial phase of height growth can be treatments. This stage marks the culmination of the tree’s
remarkably sluggish, only accelerating when trees emerge growth trajectory within the even-aged plantation.
from overhead shade, showcasing the nuanced intricacies of
tree development.
17.7.9 Diameter Growth in Natural Forests

17.7.6 Tree Height and Age Dynamics An early stage of extremely slow diameter (and height)
growth, while the sapling is dominated by over wood. A
The intricate relationship between a tree’s height and age middle stage when the tree is growing more rapidly but is
serves as a reliable indicator of its inherent vitality and the still severely affected by its larger neighbors. The final stage
prevailing environmental conditions. This relationship often when the tree is dominant with a large, free, well-developed
forms the foundation for site classification due to its reflec- crown and neighboring trees of same size are a few and
tion of the tree’s vigor and adaptability. While no universal distant. Whatever the structure of forest, the rate of diameter
standard governs the height–age relationship, a prevailing growth depends on degree of competition. The width of ring
sigmoidal pattern captures its essence. This intricate dance of trees normally decreases as the tree becomes older and
of growth is shaped by a medley of internal and external thinner wood layer added over a larger diameter or bole
factors. surface. So the volume is greater than previous years. The
age and rate of diameter growth of a tree depend on soil
moisture and the efficiency of leaf functioning in the photo-
17.7.7 Tree Girth Expansion (Diameter Growth) synthesis process. Wider spacing among trees results in more
root growing space and larger crowns which lead to faster
Unlocking the enigmas of an individual tree’s diameter diameter growth.
growth involves meticulous measurements at the commence-
ment and conclusion of a designated period. The disparity Diameter/Age Dynamics: The pivotal point in evaluating
between these measurements unveils the tree’s incremental tree growth is the diameter at breast height (DBH). This
expansion. Given the minuscule nature of annual growth, parameter serves as a key indicator of a tree’s develop-
tools like calipers and diameter tapes are deployed, with mental trajectory and is instrumental in understanding
measurements typically spaced over several years to capture the intricate relationship between diameter and age. The
a meaningful trajectory. For pinpoint accuracy, recurrent overarching relationship between diameter and age
measurements within permanent plots prove invaluable, manifests in diverse patterns, ranging from linear to
offering a precise lens into the nuanced world of diameter concave curves. This variability hinges on the interplay
growth. In research pursuits, where the need arises to scruti- of species-specific traits, environmental conditions, and
nize infinitesimal increments, an even finer measurement the nuances of silvicultural interventions. In instances
approach becomes requisite. where the diameter–age relationship unfolds as linear,
future projections of diameter growth become more pre-
dictable with a higher degree of certainty. This linear
17.7.8 Diameter Growth in Even Aged alignment offers a reliable basis for anticipating the
Plantation of One Species tree’s developmental course. Conversely, when the
diameter–age relationship takes on a concave form, the
Early Immature Stage: In the initial phases preceding can- corresponding basal area (G)/age graph may exhibit
opy closure, the diameter growth experiences minimal linearity or near linearity. This unique characteristic
interference from competition, setting the foundation for facilitates the estimation of future diameter growth
the tree’s developmental journey. through the strategic projection of basal area (G). This
Responsive Middle Stage: As the canopy reaches closure, nuanced approach provides valuable insights into the
the ring width undergoes a reduction. However, this stage complex dynamics of tree development over time.
showcases heightened responsiveness to strategic Volume/Age Dynamics: The volume–age relationship,
interventions like thinning and fertilization, offering characterized by its sigmoidal nature, unveils a complex-
opportunities for targeted management practices. ity that may exhibit some degree of unpredictability. This
Final Mature Stage: In the mature phase, the ring width inherent variability stems from the influence of climatic
becomes narrow, exhibiting a less pronounced response to fluctuations and the impact of silvicultural interventions
400 R. Hegde et al.

Fig. 17.1 Relationship between tree growth increment and age. (Source: Schnur 1937)

on forest ecosystems. The Cumulative Growth Curve underscores the diverse strategies employed by different
(CGC) often unveils an extended early phase marked species in response to their ecological niches.
by curvilinearity, setting it apart from the more immedi-
ate trends observed in the diameter–age and height–age
relationships. The emergence of a linear trend in the 17.7.10 Primary Influences on Tree and Stand
CGC tends to occur later in the developmental timeline, Growth
adding to the nuanced nature of this intricate
relationship. Several factors wield substantial influence over the growth
Increment/Age Dynamics: The increment–age relationship trajectories of individual trees, shaping the dynamics of forest
finds its representation through the True Growth Curve ecosystems.
(TGC) or increment curve (Fig. 17.1). This paradigm
serves as a pivotal lens through which the natural incre- 1. Site quality
ment phases—juvenile, mature, and senescent—come 2. Species
into sharp focus, offering invaluable insights into the 3. Stand density
science of forest yield. In species thriving in light-
demanding environments, the culmination of the incre-
ment curve is an early-life phenomenon. Conversely, 1. Site Quality: Site quality, as indicated by the Site Index
shade and semi-shade tolerant species depict a more (SI), experiences an upward trajectory, several key
gradual rise, delaying the culmination point and ensuring transformations unfold within the forest ecosystem.
a more moderate decline in the curve. This contrast Height growth in trees accelerates, showcasing a more
17 Contemporary Silviculture 401

rapid vertical development. Simultaneously, stands Gross yield: Gross yield represents the total amount pro-
exhibit an expedited progression toward a closed canopy, duced on a specified site at a particular age. It
indicating denser and more mature forest cover. Addi- encompasses the volume of living trees along with the
tionally, the onset of competition-induced mortality volume of mortality. Gross yield tends to increase during
initiates at an earlier age, reflecting the heightened com- stand development but experiences a decline during the
petitiveness and interaction among trees as site quality complex phase.
improves. Enhanced stand development on high-quality Net yield: Net yield, on the other hand, refers to the volume or
sites yields lower densities, larger average diameters, and biomass available for removal at any given age. This
increased volume compared to low-quality sites. This measure generally rises over a significant portion of a
accelerated volume accumulation is attributed to the stand’s life but gradually falls below gross yield as mor-
presence of taller and larger trees at a given age on sites tality accumulates. Understanding both gross and net yield
of higher quality. is essential for effective forestry management and sustain-
2. Species: Growth traits exhibit variation within and able resource utilization.
between species due to various factors. Rainforest tree
species, for instance, are frequently categorized into two 17.7.11.1 Growth Increment Curves
functional groups, primarily determined by their germina- Traditionally, forestry employs three key measures to evalu-
tion and establishment needs. Shade-tolerant species dem- ate the growth of stem wood in both individual trees and
onstrate the capacity to germinate, grow, and thrive in stands. These metrics play a crucial role in understanding and
low-light conditions, while light-demanding species managing the growth dynamics of forest resources.
necessitate a high-light environment for successful estab-
lishment. These groups are perceived as representing 1. Mean annual increment (MAI)
opposite ends of a spectrum in response to light. 2. Periodic annual increment (PAI)
Comprehending these relationships enables foresters to 3. Current annual increment (CAI)
make informed decisions when selecting species for spe-
cific locations, considering their adaptability and persis- Utilizing the periodic and current annual increment area
tence in the given area. proves to be a more effective measure of growth compared to
3. Stand Density: The height growth of overstory trees is diameter increment. This is attributed to the consideration of
predominantly influenced by extreme stand densities. the expanding bole diameter over time.
Trees in open-grown conditions at very low densities CAI represents the growth observed in the most recent
and overstory trees in extremely high densities typically year. The point at which MAI and PAI intersect is identified
exhibit reduced heights compared to other trees in as the biological rotation age, consistently occurring at the
similar-quality sites. The shading effects of the overstory peak of MAI. This age signifies when the tree or stand would
lead to a reduction in height growth for intermediate and be harvested, aligning with the management objective of
overtopped crown class trees. Stand density plays a cru- maximizing long-term yield. It serves as a pivotal value in
cial role in determining tree diameter growth. However, determining the annual harvestable quantity if a forest is
under a specific stand density, diameter growth tends to managed for sustained timber yield and establishing the
be higher on better quality sites. Density-dependent mor- optimal rotation length to enhance production. It’s essential
tality rises with a decrease in the available growing to note that stand-level averages of MAI and PAI provide an
space. overview of the entire stand rather than individual variations.
Different growth patterns exist among individuals, influenced
by species, crown characteristics, and rooting positions
17.7.11 Yield within the stand.
Determining MAI for uneven-aged stands poses signifi-
Yield, in forestry, signifies the quantity of harvestable mate- cant challenges due to their lack of a single age. Nonetheless,
rial or attributes generated within a defined land area. This in a balanced all-aged forest scenario, the CAI annually
measurement is typically expressed as a rate, indicating the approximates the peak MAI observed in an even-aged stand
quantity produced per unit of time and area. The fundamental of the same species, cultivated to the identical rotation age on
calculation for forest yield establishes a connection between a comparable site.
solar energy input and crop output.
402 R. Hegde et al.

Fig. 17.2 Relationship between

PAI and MAI. (Source: Ashton
and Kelty 2018)

17.7.11.2 Relationship Between PAI and MAI precision silviculture enables the cost-effective implementa-
Stage 1: Rotation for maximum fiber production ends when tion of various site-specific operations, even without full
PAI = MAI automation. Essentially, it emphasizes making decisions for
Stage 2: Rotation for sawn timber production with exact the smallest practical management unit or a number of units
length determined by economic criteria within a given area. This could entail determining precise
Stage 3: Understory reinitiation phase where mortality applications of fertilizer or specific herbicides at distinct
exceeds production and standing volume declines pro- locations on a tract. The essence of precision silviculture
gressively (Fig. 17.2) lies in utilizing diverse tools and technologies to plan, exe-
cute, and acquire site-specific forest management activities.
The goal is to enhance wood product quality, minimize
waste, boost profits, and ensure environmental compliance
in timber management practices. Maximizing productivity in
17.8 Trends in Silviculture plantations or tree farming involves aligning species and
genotypes with site conditions. Leveraging the inherent
17.8.1 Precision Silviculture aggressive growth characteristics of species and developing
optimal silvicultural practices are the key components.
Precision silviculture, a term echoing concepts in agricultural Activities like site preparation, weeding, fertilizer applica-
production like “precision agriculture” or “precision farm- tion, intercultural operations, and protection create favorable
ing,” is gaining prominence in contemporary tree farming. growing conditions, emphasizing the significance of a well-
This approach necessitates foresters to formulate site-specific sequenced approach to plantation establishment and manage-
prescriptions tailored to distinct sections within individual ment for heightened productivity.
stands. Operating on a site-specific management model,
17 Contemporary Silviculture 403

17.8.2 Intensive Silviculture summer droughts under various climate change scenarios
may lead to heightened stress in forest environments,
In recent decades, the intensive management of forest attributed to increased evaporative demand and limited soil
plantations has undergone significant evolution, driven by moisture (Spittlehouse 2003). The potential consequences of
advances in comprehending the environmental and silvicul- this heightened moisture stress encompass reduced growth
tural influences on forest productivity, coupled with strides in and productivity, along with diminished vigor in forest
information technologies. This evolution is evident in the stands. Vigor declines could render forests more susceptible
increasing integration of large-scale precision silviculture to large-scale pest attacks and increasingly severe fires. Addi-
into intensive forest plantation management, aiming to esti- tionally, existing plant species or genotypes may prove
mate site-specific effects on silviculture, biotic factors, and poorly adapted to future climate conditions at different stages
abiotic conditions influencing forest productivity. The utili- of their life cycles, elevating the risk of regeneration failures
zation of remote sensing measurements, coupled with and altering the trajectories of forest growth, development,
strategically placed ground information, facilitates the devel- and productivity. Identifying effective management actions is
opment of spatial modeling tools crucial for this type of crucial to enhancing forest ecosystem health and productivity
silviculture. The incorporation of long-term field experiments amidst the challenges posed by a changing climate.
within this methodology contributes to a mechanistic under-
standing of environmental and silvicultural impacts on forest 17.8.3.1 Mitigative Options to Increase Carbon
production, essential for the models guiding silvicultural Sequestration
decisions. While the focus on maximizing production The Intergovernmental Panel on Climate Change (IPCC) has
presents challenges related to intensive land use and water determined that implementing a sustainable forest manage-
conflicts, maintaining long-term productivity and ment strategy, with a focus on maintaining or enhancing
sustainability remains a key objective. Future endeavors forest carbon stocks and simultaneously yielding timber
must deepen our understanding of genetic × environment × sil- fiber or energy annually, can yield substantial and sustained
vicultural (G × E × S) interactions to enhance productivity carbon mitigation benefits (Nabuurs et al. 2007). Sustainable
and concurrently optimize ecosystem services. The integra- management practices contribute to the prolonged and
tion of new silvicultural technology, combining remote sens- enhanced growth of forests, resulting in net sequestration
ing data with ground information, allows for modeling benefits compared to unmanaged forests (Ruddell et al.
resource availability and limitations affecting forest produc- 2007). Forest management aligned with carbon sequestration
tivity. The successful implementation of these technologies goals offers a dual advantage by facilitating timber produc-
hinges on a refined understanding of G × E × S, offering tion and biodiversity conservation while mitigating soil ero-
practical tools for incorporation into scientific and technical sion. Therefore, forest management practices play a crucial
models while ensuring robust economic sustainability. role in reducing atmospheric CO2 through two distinct
The integration of geospatial and temporal information approaches:
from remote sensing marks a significant advancement in the
silviculture of intensively managed plantations. To harness • Preservation and maintenance of existing forests, thereby
the full potential of this dynamic information, a comprehen- addressing emissions sources from the forest sector.
sive understanding of soil site characteristics, the dynamics • Acceleration of the carbon accumulation rate in the
of competing vegetation, and stand nutrient dynamics is forest area.
crucial. The effective merging of technological
advancements with a biological understanding of the 17.8.3.2 Management Strategies
system’s functioning is pivotal. This synergy is poised to Various management strategies can be employed to enhance
offer substantial support for making strategic, tactical, and forest resilience and productivity in the face of evolving
operational silviculture decisions, both presently and in the climate conditions. Thinning practices should be
future. implemented to prevent overstocked stands, reducing suscep-
tibility to heightened mortality from factors like drought,
insects, disease, and wildfires. Maintaining lower canopy
17.8.3 Silviculture and Climate Change foliage densities becomes crucial as site resources, particu-
larly soil moisture, become more constrained. Additionally,
In the face of an uncertain climate future, land managers underplanting thinned stands with species or genotypes
grapple with uncharted forest dynamics, as the science adapted to anticipated future conditions can provide a strate-
supporting decision-making continues to evolve. Navigating gic approach to regeneration. This is especially important
this uncertainty requires adaptability and a willingness to when advanced regeneration is deemed unsuitable. Creating
manage forests in tandem with developing scientific insights. opportunities for a diverse range of habitat structures at both
The anticipation of increased temperatures and more frequent stand and landscape scales is vital to meeting the varying
404 R. Hegde et al.

requirements of plant and animal species. The use of vegeta- minimizing damage from pests. This approach has gained
tive buffers helps mitigate the impacts of harvest on stream global traction, with notable research activities in Australia,
and riparian microclimates and habitats. Safeguarding Brazil, Scandinavia, Indonesia, Africa, the US, and Canada.
instream and riparian habitats involves preserving riparian However, the carbon-centered restoration approach poses
functions like energy and nutrient exchange, filtration, bank risks to biodiversity conservation in various regions, includ-
stabilization, and wood production. Managing for swift ing the use of exotic species, an afforestation of native
revegetation with adapted plant communities is essential, grasslands, an alteration of natural disturbance regimes, and
ensuring site occupancy by desired species or genotypes a clearing of native vegetation for tree plantations. The
before invasive species establish. Exploring options for impact of carbon-centered intensive silviculture on the abun-
establishing species or genotypes better adapted to future dance and species diversity of spontaneous regeneration in
environments and disturbance regimes is also a valuable native tropical plantations remains unexplored as of our
strategy. Promoting the development of mixed-species or knowledge cutoff in 2022 (Muzika 2017).
multi-provenance forests reduces risks associated with
major pest outbreaks, enhances genetic diversity, and fosters
populations with broader adaptability. A mixture of 17.8.5 Sewage Silviculture
seedlings, including some provenances adapted to more
stressful environments, can be deployed to encourage diver- People consume substantial amounts of water daily for drink-
sity. Finally, utilizing intensively managed plantations as an ing, cleaning, and various cultural activities, subsequently
opportunity to facilitate the migration of adapted genotypes releasing it as wastewater through sewage systems. The
or species can be beneficial. The regeneration cycles charac- escalating population has resulted in a substantial increase
teristic of commercial timber production offers a relatively in the volume of this waste, surpassing the recycling capacity
rapid means of distributing commercial species and of local ecosystems, posing a significant health and environ-
genotypes better adapted to future environments. mental threat. The practice of reusing wastewater for affores-
tation, known as sewage silviculture, offers a dual advantage
17.8.3.3 Adaptive Options of “water conservation” and “environmental sanitation.”
Adaptation options encompass a spectrum of management Sewage silviculture contributes to three key ecological
goals, each associated with varying degrees of desired benefits: water conservation, environmental sanitation, and
change. The resistance approach seeks to maintain conditions afforestation.
relatively unchanged over time. In contrast, resilience allows
for some change in current conditions but aims for an even- 17.8.5.1 Fertilizer Value of Sewage Sludge
tual return to the original state. The transition strategy Undigested Sludge: This by-product of sewage treatment
actively facilitates change to encourage adaptive responses contains nitrogen, phosphorus, and organic matter. With
in the face of evolving environmental conditions. a dry solids content of 2–7%, it acts as a slow-release
nitrogen fertilizer due to the high organic matter content.
Digested Sludge: Created through treatment in a digester, it
17.8.4 Restoration Silviculture has a dry solids content of 2–5%. The digestion process
reduces organic matter and converts nitrogen to ammo-
Restoration Silviculture, a globally emerging trend, is nium ions, resulting in a quick-acting nitrogen fertilizer
employed for the restoration or monitoring of degraded with some slow-release properties. It is less odorous than
forests. It adopts a natural disturbance-based silviculture undigested sludge.
approach, utilizing techniques analogous to natural distur- Cake Sludge: Produced by pressing or centrifuging liquid
bance processes in attempts to restore forests worldwide. sludge, it has a dry solids content of 20–35%, increasing to
Some proponents of restoration silviculture advocate over 50% through air-drying. While most soluble nutrients
methods that aim to restore the characteristics of late succes- are lost, it serves as a good source of phosphate and
sional (old-growth) forests. This strategy focuses on organic matter.
recreating an old growth environment with increased
biological diversity, seeking to reintroduce the community 17.8.5.2 Sludge Application in Forest Sites
and processes removed through logging. Aligned with the Preference for Digested Sludge: Due to reduced odor and
concept of retention forestry, originating in the northwestern pathogen content, digested sludge is preferred, especially
US and southwestern Canada, this approach retains structures in sites frequented by the public. Undigested sludge may
and organisms for the long term, fostering a more heteroge- be suitable for more remote forest sites.
neous landscape compared to conventional forest practices. Application Methods: Sludge can be ploughed in before
The goal is to enhance ecosystem resilience, potentially planting. Liquid sludge is suitable after tree planting,
17 Contemporary Silviculture 405

while cake sludge is valuable in restoring sites post- management flexibility, create options for ecosystem adapt-
mineral extraction, offering high organic matter input. ability, and secure long-term forest productivity in an ever-
Growth Responses: Research indicates that sludge applica- changing and uncertain world. Managing forests as complex
tion can yield growth responses comparable to conven- adaptive systems might even uncover opportunities to reduce
tional fertilizers, potentially eliminating the need for management inputs and associated costs. Identifying these
herbicides in some cases. However, an increased growth opportunities and striking a balance between current produc-
of herbaceous vegetation may require additional weeding. tivity and future adaptability will demand concerted efforts
from both researchers and practitioners. History suggests that
17.8.5.3 Cost-Benefit Considerations silviculturists, known for their adaptability, are well equipped
Weeding vs. Sludge Value: While sludge application may to face this challenge head-on.
lead to an increased growth of grassy vegetation, the cost
of additional weeding is unlikely to outweigh the value of
sludge as a replacement for conventional fertilizers. 17.10 Conclusion
Heather Control: Sludge has shown effectiveness in
eradicating heather from sites, reducing or eliminating Silviculture, with its centuries-old practices, stands at a
the need for herbicide use in pure spruce crops. crossroads where adaptation to societal expectations and
ecological insights is paramount to prevent marginalization
in broader forest management decisions. While historically
17.9 Challenges for Silviculturists focused on objectives tailored to varied conditions, silvicul-
tural management significantly influences the growth, yield,
Silviculture has a rich history of successful adaptation to and properties of tree species through intricate interactions
changing conditions, yet the challenges posed by global between biological processes and environmental conditions.
change are formidable. Proactive silviculturists, however, Traditionally geared toward sustaining a consistent wood
have a range of options that can be customized to specific yield from economically valuable species, silviculture has
situations. Recognizing that no single practice operates in primarily been tree-centric in its application and evaluation.
isolation, the application of practices within an adaptive However, the contemporary landscape demands a paradigm
forest management framework, accompanied by robust mon- shift. Silvicultural planning must now encompass forest man-
itoring, emerges as a promising strategy. The diversity of agement for adaptation to new conditions and adhere to
conditions necessitates a suite of silvicultural treatments tai- sustainable resource use requirements. This shift entails pro-
lored to respond to global change. Organizing treatments moting a forest’s ability to confront and adapt to change,
based on objectives, silviculturists can focus on practices fostering pliability, and offering response options that accom-
that enhance resistance to change, promote resilience, and modate substantial shifts in forest management.
facilitate the ecosystem’s adaptability to evolving conditions. Conservation strategies increasingly recognize the value
Certain treatments, such as fire breaks, thinning operations, of biodiversity-sensitive silviculture in managed forests,
and weed/pest control, can simultaneously enhance resis- emphasizing actions that restore or sustain compositional,
tance and resilience. Practices like assisted migration and structural, and functional diversity in stands. Consequently,
managing forests as complex adaptive systems present inno- modern silviculture faces the challenge of incorporating a
vative possibilities. new perspective on biodiversity and conservation manage-
While some argue that no immediate changes are neces- ment. This has led to managed forests displaying a broader
sary, embracing these practices may escalate costs and induce range of tree species composition and stand structures,
short-term environmental impacts. Furthermore, their effec- aligning with diverse core objectives. Recent advances in
tiveness may be limited if ecological conditions persistently silviculture cannot be viewed in isolation from traditional
shift. Prioritizing the augmentation of forests’ adaptability practices but should be seen as part of a broader shift, often
seems to be the most viable long-term solution. Although characterized by the adoption of “close-to-nature silvicul-
managing forests as complex adaptive systems is still a ture.” This evolution is contingent on how the day-to-day
theoretical concept, initial research into practical applications requirements of silviculture have influenced research, educa-
has commenced. Shifting the focus within current manage- tion, and professional practices. Silviculture’s dynamic role
ment practices involves a formal assessment of silvicultural in modern forest management is an ongoing narrative shaped
treatments, emphasizing their impacts on adaptability and by the interplay of societal expectations, ecological knowl-
resilience in decision-making criteria. Certain changes may edge, and the pursuit of sustainable and resilient forest
incur increased costs or short-term reductions in productivity. ecosystems.
Yet this could be a worthwhile investment to enhance
406 R. Hegde et al.

Lessons Learnt 5. Unpack the relevance of contemporary silviculture in the

• Silviculture risks fading into the background of broader context of climate change, elucidating its role in both
forest management decisions unless it responds to public mitigation and adaptation strategies.
expectations and emerging ecological insights. 6. Justify the claim that silviculture faces marginalization
• Silvicultural approaches have adapted over time to address without responsiveness to societal expectations and new
diverse objectives and scenarios. ecological insights. Shed light on how traditional silvicul-
• The influence of silvicultural management on the growth, ture can adapt to align with current global concerns.
yield, and properties of tree species is well-established,
shaped by interactions between biological processes and
environmental conditions. References
• In recent years, silvicultural planning has extended to
encompass forest management for adaptation to changing Ashton MS, Kelty MJ (2018) The practice of silviculture: applied forest
ecology. Wiley
circumstances and the imperative of sustainable forest
FAO (2010) Global forest resources assessment. Food and Agriculture
resource utilization. Organization of the United Nations, Rome
• This shift has introduced challenges for silviculture in Muzika RM (2017) Opportunities for silviculture in management and
adopting a new perspective on biodiversity and conserva- restoration of forests affected by invasive species. Biol Invasions 19:
1–17
tion management, resulting in managed forests
Nabuurs GJ, Masera O, Andrasko K, Benitez-Ponce P, Boer R,
characterized by diverse tree species compositions and Dutschke M, Elsiddig E, Ford-Robertson J, Frumhoff P,
stand structures with varied primary purposes. Karjalainen T, Krankina O, Kurz WA, Matsumoto M,
• Integrating modern restorations or “close-to-nature silvi- Oyhantcabal W, Ravindranath NH, Sanz Sanchez MJ, Zhang X
(2007) Forestry. In: Metz B, Davidson OR, Bosch PR, Dave R,
culture” with current advancements is essential,
Meyer LA (eds) Climate change 2007: mitigation. Contribution of
emphasizing the interconnectedness of contemporary and working group III to the fourth assessment report of the Intergovern-
traditional silviculture. mental Panel on Climate Change. Cambridge University Press,
• The trajectory of silviculture’s evolution hinges on how Cambridge
Paquette A, Messier C (2009) The role of plantations in managing the
changes in its daily requirements have influenced prior
world’s forests in the Anthropocene. Front Ecol Environ 8:27–34
research and impacted teaching methods for students and Puettmann KJ, Ek AR (1999) Status and trends of silvicultural practices
the actions of professionals in the field. in Minnesota. North J Appl For 16:203–210
Ruddell S, Sampson RN, Smith M, Giffen RA, Cathcart J, Hagan JM,
Sosland DL, Godbee JF, Heissenbuttel J, Lovett SM, Helms JA,
Key Questions
Price WC, Simpson RS (2007) The role for sustainably managed
1. Explore the inception and fundamental tenets of contem- forests in climate change mitigation. J For 105(6):314–319
porary silviculture. Schnur GL (1937) Yield, stand and volume tables for even aged upland
2. Substantiate the assertion that successful silviculture is oak forests. US Department of Agriculture, Technical Bulletin
No. 560
contingent on well-defined management objectives,
Smith DM, Larson BC, Kelty MJ, Ashton PMS (1997) The practice of
employing relevant foundational concepts and units of silviculture: applied forest ecology, 9th edn. Wiley, New York
silviculture. Spittlehouse DL (2003) Water availability, climate change and the
3. Delve into the ecological underpinnings of silviculture, growth of Douglas-fir in the Georgia basin. Can Water Resour J
28:673–688
with a particular focus on disturbances and their pivotal
Weber M (2011) Review new aspects in tropical silviculture. Springer,
role in natural regeneration. Heidelberg, p 63
4. Define tree growth and expound upon the principles and West PW (2014) Growing plantation forests. Springer, Dordrecht
factors governing both individual tree and stand growth.
 Economic Valuation of Ecosystem Goods
and Services 18
Samrat Goswami

Abstract been discussed in detail. Section 18.5.1 elaborates three

The importance of sustainable development in its truest important techniques used in the valuation of ecosystem
sense is to recognize the significant contribution of natural services, namely direct market valuation approach,
resources toward the welfare of the human being and the revealed preference approach, and stated preference
betterment of human civilization. Natural environment has approach. The difference between revealed preference
never been considered in development literature as an and stated preference has also been reflected in this sec-
important part of the production process due to the lack tion. It is the fact that after the introduction of the concept
of clearly defined property rights. It gave birth to a of sustainable development, the incorporation of
completely new branch, namely Ecological Economics. non-marketed services, especially ecosystem services,
Based on the structure and openness, ecosystems have has gained worldwide importance.
features such as ecosystem is a well-designed structural
and serviceable unit of ecology and is defined by species Keywords
diversity. Further, the energy budget controls the opera- Goods and services · Economic valuation · Total eco-
tion of an ecosystem and the ecosystem controls both nomic value · Ecological economics
material cycles and energy flow. In the process, further
complex ecosystems are formed. Natural ecosystems are
divided into terrestrial ecosystem and aquatic ecosystem. 18.1 Introduction
In addition, there can be artificial ecosystems, which are
shaped and maintained by the human being with certain The important economic functions of forest and other renew-
pre-determined objectives. Gradually the importance of able natural resources can be identified as a supplier of
ecosystem services started to attract social scientists and resources for economic activities, a reservoir of wastes pro-
development practitioners due to its contributions that duced by the production and consumption process and can
generate goods, valuable to people and, largely, society. play an important role in providing well-being to society and
To capture the benefits provided by nature to society, an can finally be the source of satisfaction. The problem is most
identification of ecosystem goods and services is of of these functions cannot be apprehended through standard
immense importance. Provisioning, regulating, socio- market mechanism. This is due to inability to attach clearly
cultural, and supporting services were mentioned, defined property rights to them, and, therefore, market valua-
followed by the ecosystem services paradigm, started tion fails to put a price on these goods and services. The
from Millennium Ecosystem Assessment (MA) in 2003 proper valuation of these ecosystem goods and services
to Common International Classification of Ecosystem through various market and non-market mechanisms has
Services (CICSE) in 2013, through The Economics of become a real challenge to contemporary researchers. Eco-
Ecosystem and Biodiversity (TEEB) in 2010. In the fifth nomic literature has crossed the barrier of traditional eco-
section, emphasis has been given to economic valuation of nomic arguments and has started to take interest in
ecosystem services, where monetary valuation method contemporary issues. As a result, a new branch, Ecological
and a brief idea of total economic value method have Economics, unveiled itself.
The main proposition of ecological economics is about the
S. Goswami (✉)
Department of Rural Studies, Tripura University, Agartala, Tripura, ecological aspects of environment and is different from the
India traditional neoclassical approach. Keeping efficiency in

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 407
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_18
408 S. Goswami

mind, ecological economics emphasizes upon capturing the Ecosystems differ from place to place depending on geo-
importance of such functions which nature provides to graphical location and resource type (such as the forest type,
humans and to maintain the carrying capacity, the level of coastal belt, inland, and wetland). The types of ecosystems
human or animal population that probably can be supported have been discussed in the next section.
in the long run (Kadekodi 2001). The story of ecosystem
services and their valuation finds its justification through the
fact that the entire welfare measure, enjoyed and discussed by 18.3 Types of Ecosystems
and for human civilization, not only talks about the efficiency
of allocation of marketable resources but also talks about the Different types of ecosystems help human society and extend
sincere uses of ecological resources so that the carrying multiple supports for the welfare of a particular society. The
capacity can be maintained. The present chapter is an effort first broad categorization of ecosystem is natural ecosystem
in that direction, where discussions will be based on various on the one hand and artificial or man-made ecosystem on the
ecosystem services offered by forest resources, importance of other hand. The natural ecosystem can be divided in two sub
their economic valuation, basic ideas on valuation categories, Terrestrial and Aquatic ecosystems. A brief
techniques, and discussions on some future scopes of description about the above-mentioned categories of
research. ecosystems has been mentioned below (Fig. 18.1).

18.2 Characteristics of Ecosystem 18.3.1 Natural Ecosystem

The significant characteristic of an ecosystem poses a ques- Natural ecosystems are completely natural, and their forma-
tion whether different ecosystems are independent to each tion is not predisposed by human activities. These
other. For example, whether the ecosystems of forest, lake or ecosystems are capable enough in operating and maintaining
river-basin are close, or are interrelated to each other. Every themselves without any major intervention by anthropogenic
ecosystem receives energy flow in the form of light or pri- factors. Natural ecosystems are further classified into terres-
mary chemical energy from outside the system and has the trial and aquatic ecosystem based on their habitat.
mechanism of disposing of heat due to the transpiration of
living organisms. Moreover, an ecosystem can gain or lose 18.3.1.1 Terrestrial Ecosystem
material to other ecosystems too. For example, a downstream A terrestrial ecosystem is known as a land-based community
ecosystem can gain water, nutrients, and living organisms of organisms along with the interactions of biotic and abiotic
from another ecosystem located in the upstream. On the other components, in a given area. Examples of terrestrial
hand, it loses the same, or less or greater amount to the sea ecosystems include taigas, temperate deciduous forests, tun-
where it is ultimately destined. Though an ecosystem gener- dra, tropical rainforests, grasslands, and deserts. The type of
ally maintains the stability of its biotic and abiotic the terrestrial ecosystem found in a particular place depends
components, individual elements within it would become on the temperature range, the average amount of precipitation
different from time to time. The ecosystem of any region received, the soil type, an amount of light it receives, etc.
influences one another to a higher or lower extent depending
on the extent of the relative openness of composing individ- 18.3.1.2 Aquatic Ecosystem
ual ecosystems. On the basis of structure and relative open- Ecosystem (various plant species and life forms) that exists in
ness, ecosystems are characterized as follows: water forms the aquatic ecosystem. Aquatic ecosystems
include oceans, lakes, rivers, streams, estuaries, and
• Ecosystem is a significantly well-designed structural and wetlands. Within these aquatic ecosystems are living things
serviceable unit of ecology. that depend on water for survival, such as fish, plants, and
• The structure of the ecosystem is defined by the species microorganisms. These ecosystems are very fragile and can
diversity. be easily disturbed by pollution. Marine ecosystems (such as
• The specific energy budget controls the operation of an the sea, divergent plant species, and rock pools) and freshwa-
ecosystem. ter ecosystems (such as rivers or freshwater lakes) are the two
• Material cycles and energy flow are well controlled by the main categories of the aquatic ecosystem.
ecosystem, both inside and outside the ecosystem. In fact, the entire biosphere can be considered as an
• The progression process leads to the formation of a further ecosystem, due to the interaction between and among all
complex ecosystem over time. the elements. On the basis of spatial delimitation and several
18 Economic Valuation of Ecosystem Goods and Services 409

Fig. 18.1 Broad types of

ecosystems

other related factors like biophysical surroundings, distribu- an independent system (Odum 1971). Ecosystems can be
tion of organisms and spatial communications, largely ten differentiated as inland or coastal, terrestrial or marine and
categories of eco-systems have been identified such as urban or rural. Ecosystems can be local, or can even be
Coastal, Forest, Island, Cultivated Inland, Water, Urban, global, in scale, and they often interact and overlap.
Marine, Polar, Dry land, and Mountain ecosystem. These Ecosystem services are the “multiple benefits provided by
ecosystems extend benefits separately to human society as ecosystems to humans” (Ma and Swinton 2011) and the
well as they together extend benefits to the larger society, “direct and indirect contributions of ecosystems to human
known as human civilization. well-being” (TEEB 2010). Following the economic perspec-
tive, ecosystem services are described as the “contributions
of the natural world which generate goods which people
18.3.2 Artificial Ecosystem value” (Bateman et al. 2011). Hence, ecosystems and their
functions create services that produce goods and services that
Artificial ecosystems have few features of natural ecosystems are valuable, as they derive benefits from them (Haines-
but are shaped and maintained by human beings with certain Young and Potschin 2011). This implies that ecosystem
pre-determined objectives. Such ecosystems are to a great services include both “final” ecosystem services, which
extent simpler than natural ecosystems and are by far the greatly contribute to economic and social well-being (e.g.,
most recognizable surroundings in human experience. “Cul- agricultural crops), and “intermediate” ecosystem services
tural landscapes” are large-scale ecosystems, generally (e.g., pollination) that support “final” ecosystem services
modified by human beings. Agriculture is an example of (Haines-Young and Potschin 2011).
artificial ecosystem indispensable for sustaining human pop- Hence, ecosystem services consist of all goods and
ulation (Guidotti 2015). services provided by an ecosystem (such as forest) that
directly or indirectly benefit people. Examples of ecosystem
services include the production of fuel wood, carbon seques-
18.4 Ecosystem Goods and Services tration, water regulation, and provision of habitat for biodi-
versity and many more to mention. Some of the services are
The concept of ecosystem has been neglected by social tangible and well-known in everyday life (e.g., the provision
scientists for a prolonged period of time, and lately accepted, of food, fiber, fuel, and other material for basic life support to
once they have started to understand the importance of the financially marginal community). There are many other
nature, natural resources, natural environment and its impor- intangible services, less known for their inadequately visible
tance in social well-being. The absence of clearly defined direct impacts (e.g., water filtration, climate regulation, pro-
property rights and public good character, along with inabil- tection against extreme weather events and natural hazards)
ity to apply successful market mechanism, has created a but in no way unimportant.
space for estimating the importance of ecosystem services
and the benefits generated from them. In this regard, it is
imperative to understand an ecosystem and the services 18.4.1 Ecosystem Services
provided by it for the benefit of human civilization. An
ecosystem is a community of living (biotic) organisms such Biological system administrations are the conditions and
as animals, plants and microorganisms, interacting with cycles through which environment and biodiversity provide
physical environment, such as air, water, and minerals, as benefits, which are essential for human existence. Ecosystem
410 S. Goswami

services are the advantages emerging out from the environ- society changes over time. The ecosystem services classifica-
mental elements of the biological systems. They benefit all tion in the Millennium Ecosystem Services Assessment,
living life forms in the specialty, including creatures, plants, adopted in 2003, where the major groups were provisioning,
and people. Chasing life and through their ability to replicate, regulation, cultural, and supporting services is followed by
organic entities use energy; plants get the vast majority of the second set of classifications, which portrays ecosystem
their supplements from soil or water, while animals will in services as per The Economics of Ecosystem and Biodiver-
general get their supplements from different organic entities. sity (TEEB) in 2010. In this structure, major groups were
Microorganisms are profoundly flexible acquiring provisioning, regulating, habitat, and cultural and amenity
supplements from soil, water, food, or different creatures. services, and no provision was made separately for
Ecosystem services are the outcomes, conditions or cycles supporting services. Later, a scientific ecosystem services
of normal frameworks that straightforwardly or by implica- classification was done by the Common International Classi-
tion advantage people or improve social government fication of Ecosystem Services (CICES) in 2013. It has
assistance. grouped all the services in three broad categories, namely,
The idea of environment administrations was given provisioning, regulation and maintenance, and cultural
expanded public acknowledgment through the Millennium services. In light of sustainable development, there was a
Ecosystem Assessment (MEA) launched in 2001 by the UN felt need to value ecosystem services.
Secretary General and completed in 2005. A theoretical
structure was created to feature the genuine effects of envi-
ronment services on human well-being, security, social 18.5 Economic Valuation of Ecosystem
relations, and actual prosperity to clarify the incorporated Services
angles coordinated into four classes. The characterization of
biological system services created Millennium Ecosystem The paradigm shift from development toward sustainable
Assessment is given beneath: development puts emphasis on the incorporation of natural
resources as natural capital in the accounting process. The
• Provisioning Services: The substantial/tangible goods objective was to capture benefits obtained from the natural
that individuals get from environments. For example, environment that keeps on giving support to every economic
food, fresh water, fuel wood, fiber, bio-synthetic activity. However, as natural resources are mostly of public
substances, and genetic resources. good in nature and do not have clearly defined property
• Regulating Services: Benefits acquired from the rights, they suffer from various problems. Perhaps, the most
regulating process of biological system measures. For important issues it faces are the problems of missing market
example, climate regulation, water regulation, disease reg- and market with imperfections. Hence, resources cannot
ulation, pollination, and water purification. reflect its scarcity in terms of prices, which is a general signal
• Socio-Cultural Services: Non-material advantages got for products traded in standard commodity markets. Another
from biological systems and they reflect esteem got from major problem is related to uncertainty about the availability
the presence of the wetland, including entertainment, and accessibility of resources. The supply policy depends on
style, schooling, natural life review, and ecotourism. For the basis of the available resources stock, and newly invented
example, recreational, esthetic, educational, heritage, spir- stocks do not readily be incorporated into the existing
itual and religious, inspirational. resource stock. For some biodiversity products and
• Supporting Services: Indirect administrations essential enterprises, it is fundamental to comprehend and appreciate
for the creation of any remaining environment its other options and elective employments. Valuing environ-
administrations. Incorporate capacities and cycles that mental services is a challenging task, as environment and
give the establishment to provisioning, regulatory and natural resources do not have clearly defined property rights,
cultural administrations. For example, soil formation, and, hence, there is no structured market for the transaction of
nutrient cycling, and primary production. environmental goods and services. However, valuing natural
resources, especially forest (which provides a number of
These services were categorized and overtime ecosystem goods and services in terms of benefits to
modifications have been made. The paradigm of different human), has become an essential policy issue for the preser-
ecosystem services can be captured through different vation and conservation of forest stand. It is to be
classifications at different points of time, starting with MA remembered that economic value alludes to the value of an
(2003), followed by TEEB (2010) and CICSE (2013). asset, which lies in its job in achieving human goals, be it
The paradigm of ecosystem services is profoundly impor- spiritual edification, esthetic joy or the creation of some
tant. It has already been mentioned that ecological economics marketed item (Koch et al. 2009). As opposed to being an
deals with ecosystem services and their impact on human inborn property of an asset, for example, a natural asset value
18 Economic Valuation of Ecosystem Goods and Services 411

is credited by economic specialists through their willingness services. In the cost-based method, Replacement cost,
to pay for the services that stream from the asset. While this Avoided Damage cost, and Averting Expenditure are the
might be determined by the goal (e.g., physical or ecological) most used techniques. Production function approach comes
of the asset, the willingness to pay relies extraordinarily upon under the supply-based approach, whereas Unit Value
the financial setting where valuation happens on human approach, WTP Function, and Meta-Analysis are the most
inclinations, organizations, culture, etc. Environment and used valuation techniques of ecosystem services.
resources provide that platform to human society that ulti-
mately helps society to flourish.
In case of natural resources, policy analysts can measure 18.5.2 Total Economic Value (TEV) Method
the values of ecosystem goods and services, obtained from
forest stands and important for human well-being, broadly Total economic value (TEV) of the ecosystem is defined as
using three different approaches, economic valuation the sum of the values of all service flows that natural capital
approach, quantitative approach, and qualitative approach. (Ecosystem) generates both now and in the future—appropri-
In the economic valuation approach, also known as monetary ately discounted. These service flows are valued for marginal
valuation approach (as policies are framed considering changes in their provision. TEV encompasses all components
money value), money values are being placed on ecosystem of utilities derived from ecosystem services using a common
goods and services. For example, the NTFPs, also known as unit of account: money or any market-based unit of measure-
Minor Forest Products (MFPs), play a very important role in ment that allows comparisons of the benefits of various
the life of the rural poor, who are dependent on forest goods.
resources for generations. Monetary and quantitative
methodologies are discussed in detail below. 18.5.2.1 Components of TEV
Total Economic Value can be considered as the sum of
Actual User Value, Option Value, and Existence Value.
18.5.1 Monetary Valuation Methods
1. Use Values: These types of values are derived after the
Monetary valuation approaches are important from the policy actual use of environment or environmental resources, for
context. There are two main categories of monetary valuation example, pollution-free air and safe drinking water. This is
techniques—market-based and non-market-based possible from the current use or future use. Hence, use
techniques. The common denominator is their respective values can further be segregated into the following
economic values, and an associated range of estimates components:
reflects the impact of changes to ecosystem services on
human well-being. Non-market-based methods are mainly (a) Direct Use Value: Results from the direct human use
of two types—Contingent Valuation Technique (CVM) and of biodiversity (consumptive or non-consumptive).
Choice Experiments. These two methods are used to capture (b) Indirect Use Value: Derived from the regulation
the preferences of individuals, which are not possible to services provided by species and ecosystems.
measure through market mechanism. The primary informa- (c) Option Value: Relates to the importance that people
tion is collected using a structured questionnaire. Apart from give to the future availability of ecosystem services for
standard socio-economic questions, specific questions are personal benefit (the option value in a strict sense).
designed to capture the responses on the ecosystem services
under valuation. These methods are also considered as stated Use esteems can be related to private or quasi-private
preference approaches. In addition, non-market benefits, goods, for which market costs generally exist. Use values
obtained from ecosystem services, can also be captured are partitioned further into two classes: (a) Direct use values,
using value transfer techniques. In this technique, the identified with the advantages acquired from the direct utili-
obtained monetary values in some past valuation study are zation of environment administration. Such use might be
transferred to the area under consideration. Further, monetary extractive, which involves utilization (e.g., food and crude
valuation methods are of different categories such as materials), or non-extractive use (e.g., tasteful advantages
demand-based valuation (both market and non-market from scenes), (b) Indirect use values are normally connected
situations) techniques, supply-based valuation techniques, with controlling administrations, for example, air quality
cost-based valuation techniques, and value transfer methods. guideline or disintegration avoidance, which can be viewed
In market-demand-based valuation techniques, market price, as open administrations which are by and large not reflected
travel cost methods, and hedonic pricing methods are impor- in market exchanges. The concept of option value can be
tant techniques. In the category of non-market demand-based considered as an insurance against ignorance-based uncer-
methods, Contingent Valuation and Choice Experiments are tainty (Banerjee 2001). The option value can further be
significantly important in terms of valuing ecosystem segregated as:
412 S. Goswami

• Bequest Value: Value attached by individuals to the fact values of ecosystem services, a significantly important
that future generation will also have access to the benefits method is calculating the total economic value. The available
from species and ecosystems (intergenerational equity techniques used in valuing ecosystem services are:
concerns).
• Vicarious Value: Value attached by individuals to the fact • Direct market valuation approaches
that other people of the future generation can access to the • Revealed preference approaches
benefits provided by species and ecosystems (inter- • Stated preference approaches
generational equity concerns).
• Existence Value: Value related to the satisfaction that
individuals derive from the mere knowledge that species 18.6.1 Direct Market Valuation Approaches
and ecosystems continue to exist.
Direct market valuation approaches are divided into three
The different groups of ecosystem services, along with the main components: (a) market price-based approaches,
types of uses, such as direct use, indirect use, optional use, (b) cost-based approaches, and (c) approaches based on pro-
and non-use, in the total economic value framework are duction functions. The main advantage of using these
important for calculating total economic value. Provisioning approaches is that they use data from actual markets, and
services have direct and optional uses, whereas regulating thus reflect actual preferences or costs to individuals. More-
services have indirect and optional uses. In case of cultural over, such data prices, quantities and costs exist and thus are
services, direct, optional, and non-use values can be calcu- relatively easy to obtain.
lated. For a habitat group of services, habitat administration is
valued through various classifications of biological systems. 18.6.1.1 Market Price-Based Approaches
Hence, TEV methods try to establish direct or indirect Market price-based approaches are most often used to obtain
markets through which it tries to estimate the values of the value of provisioning services, since the commodities
different ecosystem services provided for human welfare. produced by provisioning services are often sold on, for
Current markets provide data about the value of a small example, agricultural markets. The efficiency (shadow)
subset of ecosystem cycles and segments that are estimated prices method is used to capture market prices but is adjusted
and consolidated in exchanges as items or services. These for transfer payments, market imperfections and policy
postures structural restrictions on the capacity of markets to distortions. It may also incorporate distribution weights,
give thorough photos of the ecological values engaged with where equality concerns are made explicit. Shadow prices
choice cycles. In addition, a data disappointment emerges from may also be calculated for non-marketed goods.
the trouble of evaluating most ecosystem services in wording
that are similar with services from human-made assets. From 18.6.1.2 Cost-Based Approaches
this viewpoint, the rationale behind ecosystem valuation is to Cost-based approaches are based on estimations of the costs
disentangle the complexities of socio-ecological connections, that would be incurred if ecosystem service benefits needed
settle on unequivocal what human choices would mean for to be recreated through artificial means. Different techniques
ecosystem administration values, and to communicate these exist, including (a) the avoided cost method, which relates to
value changes in units (e.g., monetary) that allow for their the costs that would have been incurred in the absence of
consolidation in open dynamic cycles (Reid et al. 2005). ecosystem services, (b) the replacement cost method, which
Economic decision-making should be based on under- estimates the costs incurred by replacing ecosystem services
standing the progressions to financial government assistance with artificial technologies, (c) the mitigation or restoration
from little or minimal changes to ecosystems. Worth in this cost method, which refers to the cost of mitigating the effects
manner is a negligible idea insofar that it alludes to the effect caused by the loss of ecosystem services or the cost of getting
of little changes in the condition of the world, and not simply those services restored, and (d) preventive expenditure
the condition of the world. In such manner, the estimation of (PE) approach uses the costs of preventing damage or the
natural resources, similar to the estimation of different degradation of environmental benefits.
resources, is individual-based and emotional, setting ward,
and state-subordinate. 18.6.1.3 Production Function-Based Approaches
(PF)
Production function-based approaches estimate how much a
18.6 Valuation Methods Under the TEV given ecosystem service (e.g., regulating service)
Approach contributes to the delivery of another service or commodity
which is traded on an existing market. It is based on the
The introduction of sustainable development in development contribution of ecosystem services to the enhancement of
literature was primarily due to the benefits nature provides to income or productivity. It generally uses scientific knowl-
society. Among different methods to calculate economic edge on cause-effect relationships between the ecosystem
18 Economic Valuation of Ecosystem Goods and Services 413

service(s) being valued and the output level of marketed or alternatively, how much they would be willing to
commodities. accept for its loss or degradation.
Direct market valuation approaches fail to work if there is Choice Modelling (CM): CM attempts to model the decision
an absence of market system for ecosystem goods and process of an individual in a given context. Individuals are
services and in the presence of distorted markets. faced with two or more alternatives with shared attributes
of the services to be valued, but with different levels of
attribute (one of the attributes being the money people
18.6.2 Revealed Preference Approaches would have to pay for the service).
Group Valuation (GV): Group valuation combines stated
Revealed preference techniques are based on the observation preference techniques with elements of deliberative
of individual choices in existing markets that are related to processes from political science, and are being increas-
the ecosystem service that is subject of valuation. Here eco- ingly used as a way to capture value types that
nomic agents “reveal” their preferences through their choices may escape individual-based surveys, such as value
(Banerjee 2001). pluralism, incommensurability, non-human values, or
social justice.
18.6.2.1 The Travel Cost Method (TC)
It is mostly relevant for determining recreational values Moreover, there exist pertinent differences between the
related to biodiversity and ecosystem services. It is based revealed preference approach and the stated preference
on the rationale that recreational experiences are associated approach. The revealed preference theory portrays the real
with a cost (direct expenses and opportunity costs of time). world, whereas the stated preference theory describes the
The value of a change in the quality or quantity of a recrea- context of hypothetical decision. The revealed preference
tional site (resulting from changes in biodiversity) can be theory consists the inherent relationship between attributes,
inferred from estimating the demand function for visiting whereas the stated preference theory controls relationships
the site that is being studied. between attributes. The revealed preference approach
represents the market and personal limitation on decision-
18.6.2.2 The Hedonic Pricing (HP) maker, whereas the stated preference approach does not
The HP approach utilizes information about the implicit represent changes in market and personal limitation effec-
demand for an environmental attribute of marketed tively. The revealed preference approach has high reliability,
commodities. For instance, houses or property in general but the stated preference approach is reliable when
consist of several attributes; some of which are environmen- respondents understand, commit and respond to task. In
tal in nature, such as the proximity of a house to a forest or addition, the stated preference approach yields multiple
whether it has a view on a nice landscape. Hence, the value of responses per respondent. In this regard, it is worth mention-
a change in biodiversity or ecosystem services will be ing that different valuation methods have become important
reflected in the change in the value of property. By estimating tools to capture the values of many ecosystem goods and
a demand function for property, the analyst can infer the services which were important but unaddressed in the
value of a change in the non-marketed environmental benefits accounting process. However, there are many ecosystem
generated by the environmental good. services those extend important contributions to social wel-
fare but difficult to address. The constant research in this field
will be of immense help in this regard to develop the valua-
18.6.3 Stated Preference Approaches tion process.

Stated preference approaches simulate a market and demand

for ecosystem services by means of surveys on hypothetical 18.7 Concluding Annotations
(policy-induced) changes in the provision of ecosystem
services. Stated preference methods can be used to estimate Different valuation techniques, along with their possible
both use and non-use values of ecosystems and/or when no applications, have been discussed in brief in the prior
surrogate market exists from which the value of ecosystems sections. The concept and features of ecosystems have been
can be deduced. The main types of stated preference discussed at the basic level to have proper understanding. The
techniques are: concepts have been supported by the types of ecosystems
along with ecosystem goods and, most importantly, ecosys-
Contingent Valuation Method (CV): It uses questionnaires tem services. The new concept of sustainable development
to ask people how much they would be willing to pay to emphasizes on the role environment and resources play in
increase or enhance the provision of an ecosystem service,
414 S. Goswami

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 Principles and Applications of Geospatial
Technology in Forestry 19
Sudip Kumar Saha

Abstract and burnt area and burnt severity assessment), forest dam-
Forests contribute to vital environmental and ecosystem age by diseases and insects, etc. are discussed. GIS and
processes like climate variation, biogeochemical cycle, GPS applications deal with principles and integrated anal-
hydrological cycle and soil conservation. The livelihood ysis methods using different kinds of geospatial data in
many people depends on food and raw materials produced various areas of forestry, namely forest working plan
from forests. A huge aerial extent of forests is undergoing preparation and revision, forest fire management (fire
degradation, depletion and loss of productivity due to risk zonation, fire growth simulation and fire information
natural and human activities such as the increase of system), wildlife habitat evaluation, Indian biodiversity
human and bovine population pressures and information system (BIS) and Indian Bio-resources Infor-
non-sustainable developmental activities in forest areas. mation Network (IBIN) are included. Applications of
Therefore, spatial and temporal data on the quality, area advanced RS techniques, namely microwave,
and spatial variability of forests are vital for the sustain- hyperspectral and Lidar (light detection and ranging) in
able management of forests. Geospatial technology forestry are also covered in this chapter. Conclusions and
consists of aeial and satellite remote sensing (RS), geo- lessons learnt are included in the end section of the
graphic information system (GIS) and global navigation chapter.
satellite system (GNSS) offer cost-effective, rapid and
reliable tools for inventory, change analysis and scientific Keywords
management of forests compared to traditional time- Remote sensing · Geospatial · GIS · GPS · Satellite
consuming ground-based forest management techniques.
The initial sections of this chapter document the defini-
tion, principles, components and techniques of visual and 19.1 Introduction
digital interpretation and analysis of aerospace RS, GIS
and GNSS (e.g. GPS, global positioning system). The Among the natural resources, the forest resources covering
section dealing with applications of geospatial technology large areas of the terrestrial ecosystem play a vital role in
in forestry covers approaches and methodologies of use of supplying products and ecosystem services. Forests provide
RS, GIS and GPS in various areas of forestry. First, the vital environmental and ecosystem services such as
details of techniques and methods of applications of aerial regulations of climate, hydrological and biogeochemical
RS using black and white and colour photographs, and cycles and soil conservation. By producing food and raw
digital multi-spectral data in various areas of forestry such materials, forests provide livelihood to hundreds of millions
as forest mapping, inventory and management are of people in the world and support the economy. Large areas
discussed. The principles and both visual and digital anal- of the dynamic forest ecosystem are affected by several
ysis approaches using satellite data from different optical agents/factors such as natural and human activities. The
sensors in several areas of forestry such as forest type decline in spatial extent and quality of forest cover by anthro-
mapping, crown canopy density mapping, forest biomass pogenic influences are major concerns in sustainable forest
estimation and modelling, forest fire (active fire detection management. Scientific management of forests requires a
detailed understanding of factors affecting the forest
S. K. Saha (✉)
Formerly with Indian Space Research Organization (ISRO), Indian ecosystem.
Institute of Remote Sensing, Dehradun, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 415
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_19
416 S. K. Saha

Sustainable management based on inventory and monitor- electromagnetic spectrum, reflected or emitted from the
ing states of forest requires information on the nature, extent earth’s surface’ (Cambell and Wynne 2011).
and spatial distribution of forest resources. Managing forest ‘Remote Sensing’ term first known to the people in the
resource bases both spatially and temporally dynamic can be 1960s in the USA, particularly applied to aerial photography
a difficult task only by using conventional ground-based used for photogrammetry, photo interpretation and photogeo-
techniques without the utilization of effective geospatial logical applications. The term ‘Remote Sensing’ gained pop-
tools. Fast-developing geospatial technology has opened ularity after the launch of the maiden earth resource
new vistas in forest resources inventory, monitoring and observations spacecraft, Landsat-1 (formerly named Earth
creation of geospatial digital databases and this information Resources Technology Satellites (ERTS-A and ERTS-1) on
is crucial to the preparation of forest working plans, wildlife July 23, 1972, as part of the US Landsat program.
conservation, soil conservation etc.
Geospatial technology includes several mapping and 19.2.1.2 Components of Remote Sensing
surveying technologies, and the major technologies are Remote sensing consists of several components (Fig. 19.1)
remote sensing (RS), geographic information system (GIS) and the components are briefly described in below sections:
and global navigation satellite system (GNSS), such as global
positioning system (GPS). The RS has revolutionized the 1. An energy source (e.g. the sun) produces EMR) which
techniques of systematic inventory, temporal change analysis propagates downwards towards the earth and interacts
and protection of forest resources using aerospace-borne with objects on the earth’s surface. Sun is a common
sensors with different spatial and spectral resolution source of energy. EMR while propagating upwards and
capabilities. During the past one and half decade, GIS tech- downwards interacts with the atmosphere (Fig. 19.1).
nology progressed very fast as an effective tool for natural 2. Earth’s surface consists of natural and manmade features.
resources management. GIS is a computerized system These features based on physical and chemical
designed for data inputting, organizing, storing, analysing, compositions reflect and emit a part of incoming energy
retrieving, displaying and disseminating both geospatial and back towards the remote sensing sensor. The atmosphere
non-geospatial data, either collected through RS or other depending on its gas and particulate concentrations
techniques. GIS with its multi-source data integration and scatters some fraction of the earth’s reflected EMR and
analysis capabilities helps forest managers to generate forest also absorbs part of the earth’s emitted EMR.
management plans with varying alternate scenarios. The 3. Sensor and platform: The sensor measures radiation com-
advent of GPS technology contributed to the widespread ing from the object and converts it to electrical signals
acceptance of geospatial technology in geo-web services which are displayed in the form of digital data or an image
provided by various geo-mapping portals such as Google after recording. The platform either airborne and/or
Earth/Map; Bhuban (Indian Space Research Organization, spaceborne is a vital component of remote sensing which
ISRO, India) and smartphone devices. GPS is a positioning supports sensor operation by providing various services
tool, and part of GNSS provides accurate geographic location such as orbit and attitude control, power supply and
anywhere on the earth’s surface. GPS is a very effective tool communications with ground tracking and data receiving
for cost-effective in situ data collection as well as monitoring systems.
the changes in features and phenomena in a particular posi- 4. The ground receiving system collects the sensor-recorded
tion by repetitive GPS observations. and measured raw digital data and stores the data after
proper formatting. Prior distribution of remotely sensed
data to the user, several preprocessing corrections, namely
19.2 Overview of Principles of Geospatial radiometric, geometric, atmospheric, etc. are performed
Technologies by the ground system.
5. Data analysis involves visually interpreting analogue, RS
19.2.1 Remote Sensing image-applying interpretation devices or computer-aided
digital analysis of digital RS sensor recorded data and
19.2.1.1 Definition suitable image processing software. Reference data in
RS forms the primary data source in GIS analysis. Generally, the forms of field checks and ancillary spatial and
RS is known as a technique of gathering multi-spectral data non-spatial data as examples of the topographic map,
and characterize the objects or phenomena without physically forest type map, soil map, forest biomass data etc. are
contacting them. ‘RS is defined as the practice of deriving used by the analyst to extract thematic information from
information about the earth’s land and water surfaces using the RS data. The generated thematic map can be combined
images acquired from an overhead perspective, using electro- with multi-source available other spatial and non-spatial
magnetic radiation in one or more regions of the thematic information/data in a GIS.
19 Principles and Applications of Geospatial Technology in Forestry 417

Fig. 19.1 Components of remote

sensing

6. Lastly, the analysed thematic map is presented to user 19.2.1.4 Electromagnetic Spectrum and Radiation
communities for appropriate applications in different Laws Employed in Remote Sensing
fields. Three parameters, namely wavelength (λ), frequency (ν) and
velocity (C) characterized EMR which propagates in the form
of waves. The EMR after interacting with the objects, is
reflected emitted or backscattered from the objects, and this
19.2.1.3 Classification of Remote Sensing information forms the basis for characterizing the objects.
RS is classified into two groups: passive RS and active The EMR spectral regions commonly used in remote sensing
RS. Sun forms the natural energy source for RS. Sun’s energy are illustrated in Fig. 19.2. The EMR wave equation relates
in visible (VIS) and short wavelength are reflected and emit- these parameters and is expressed as C = νλ. EM spectrum
ted in the thermal infrared and microwave wavelength depicts the continuum variations of EMR with respect to
regions after absorption by the objects. Passive RS deals wavelength or frequency. Five EMR spectral regions are
with the detection and characterization of the EMR of reflec- commonly used for different kinds of RS and the salient
tion or emission coming from earth features. Active RS uses features of the five spectral regions are described below:
its own source of EMR to interact with the terrain. Examples
of important active RS devices are radio detection and rang- 1. Visible spectral region (wavelength ranges from
ing (RADAR), light detection and ranging (LiDAR) and 0.4 to 0.7 μm): This spectral region covers the eye’s
sound navigation and ranging (SONAR). sensible spectral wavelengths, and the earth receives max-
imum energy. The visible region is further divided into
418 S. K. Saha

Fig. 19.2 Major spectral bands within the EM spectrum (Source: Chuvieco 2016a)

three primary colour spectral sub-regions: blue (wave- detecting emitted energy from the earth’s surface features.
length ranges from 0.4 to 0.5 μm), green (wavelength Estimation of vegetation evapotranspiration is one of the
ranges from 0.5 to 0.6 μm) and red (wavelength ranges popular applications of TIR spectral region.
from 0.6 to 0.7 μm). The red wavelength region is useful 5. The microwave spectral region (wavelength ranges from
for assessing vegetation vigour as it is sensitive to photo- 1 cm to 1 m). This spectral region is least affected by
synthetically active radiation (PAR) absorption by plant atmospheric conditions and can penetrate within the vol-
pigments. ume of the object as well as the sub-surface. Imaging
2. Near-infrared (NIR) spectral region (wavelength ranges RADAR and microwave radiometer systems use the
from 0.7 to 1.2 μm). This spectral region is not sensitive microwave region for remote sensing. Because of canopy
to the human eye’s spectral portion of EMR. This region is penetration capability, MW remote sensing is an efficient
also known as reflective or photographic infrared because tool for vegetation structure and biomass assessment.
the 0.7–0.9 μm wavelength portion of the near-infrared
region can be detected and imaged by special photo-
graphic films (e.g. colour infrared known as CIR). The Biophysical and biochemical properties of earth features
NIR wavelength is very useful for the assessment of plant primarily control the magnitude of energy detected and
growth and development. recorded by the RS payload (sensor).
3. Middle infrared spectral region (wavelength ranges from Four basic EMR laws explaining the physical basis of
1.2 to 8 μm). The wavelength region of 1.2–2.5 μm spec- remote sensing are described below:
tral region is called as short wave infrared (SWIR) region. Kirchhoff’s law quantifies and relates the reflection coef-
In the SWIR spectral region, solar radiation is still effec- ficient, transmission coefficient, absorption coefficient and
tive for characteristic reflection/absorption from the emission coefficient.
objects. SWIR spectral band is effectively utilized for Planck’s law describes the relationship among emitted
the estimation of vegetation water content. The mixed radiation energy from a surface, wavelength of EMR and
spectral region of 3–8 μm, which consists of solar- surface temperature.
reflected and surface-emitted energy, is generally used Stefan–Boltzmann’s law provides the empirical relation-
for detecting emitting radiation from the objects. The ship for the estimation of the sum of the surface emitted
3–8 μm portion of MIR is specifically used for detecting energy computed over the entire EMR spectrum and the
and characterizing high-temperature phenomena such as surface temperature.
forest fires. Wien’s displacement law finds the particular wavelength
4. Thermal infrared spectral region (wavelength ranges from emitting maximum EMR energy from a surface at a given
8 to 14 μm). The spectral RS data from this region is used temperature of the surface.
for the estimation of land surface temperature (LST) by
19 Principles and Applications of Geospatial Technology in Forestry 419

19.2.2 Remote Sensing Sensors and Satellite photographic cameras, which are common analogue remote
Systems sensing data collection systems, have been replaced by elec-
tronic digital systems that provide imagery with comparable
19.2.2.1 Remote Sensing Sensors characteristics of aerial cameras.
Based on the mechanism of detection of EMR energy, the
remote sensing sensor systems are classified into passive and 19.2.2.3 Cross-Track (Wisk Broom) Scanners
active sensors. Passive sensors detect radiations coming from This digital imaging technique is common in most satellite
the object which is irradiated by external radiation sources. remote sensing missions. The terrain is scanned parallel to the
The active sensor emits its own energy to irradiate the object scan lines which are at 90° of the satellite track, by the use of
and then detect the energy coming from the object. Passive an oscillating or rotating mirror and set of lenses (Fig. 19.3b).
sensors are further classified based on the method used to Forward movement of the remote sensing platform generates
record the incoming energy from the object. the subsequent scan lines and finally a 2D image data of rows
(scanlines) and columns collected. A series of detectors as
19.2.2.2 Photographic Cameras components of the sensor amplify and convert the focused
Photographic cameras (Fig. 19.3a) use photosensitive film to incoming radiance signal from the object to digital numerical
record radiation coming from the object. The lens and shutter value that can be stored onboard or transmitted to a ground-
optic systems of the camera control the radiation collection receiving antenna. The EMR coming from the object is
conditions and duration of film exposure respectively. By separated into several spectral bands which are recorded by
choice of suitable film types and camera optic systems, special detectors. In the early 1970s, this multi-spectral scan-
photographs with high spatial resolution can be collected ning system (MSS) was adopted by several earth-observing
from long aerial distances. Commonly, the most popular, satellite missions such as Landsat MS, and Nimbus Coastal
black and white (grey tones) aerial photographs are collected Zone Colour Scanner (CZCS). These RS satellite sensors first
using panchromatic (PAN) film with one emulsion layer time provided spectral data in nonvisible wavelengths (NIR,
sensitive to the visible portion of EMR. For colour aerial SWIR and TIR). Several historical satellites used this tech-
photography, three layers of photochemical film with each nique of RS data acquisition, and examples are the Landsat
layer are sensitive to one of the spectral bands of the visible series of satellites [thematic mapper (TM) and enhanced
portion of EMR. The first layer is sensitive to the blue band, thematic mapper (ETM)] and defence meteorological satellite
the second layer is sensitive to the green band, and the third program-operational line-scan system (DMSP-OLS). Even
layer is sensitive to the red band. Film sensitive to 0.7–0.9 μm current satellite missions, namely moderate resolution imag-
spectral region of EMR is used for the black and white ing spectroradiometer (MODIS) sensors of Terra and Aqua,
infrared photograph. CIR photograph specifically used for advanced very high-resolution radiometer (AVHRR) of
vegetation studies is generated by using film sensitive to national oceanic and atmosphere administration (NOAA)
spectral bands green, red and NIR. During recent decades,

Fig. 19.3 Major scanning systems used for remote sensing data collec- swath/width of the image); and (c) along-tract (push broom) scanning
tion. (a) Aerial photography (A: ground area, B: lens and C: focal (A: detectors, B: focal plane of the image, C: lens systems, D: viewed
plane); (b) cross-track (whisk broom) scanning (A: rotating mirror, B: ground cell (sources: CCRS and NRC n.d., http://pcmas1.ccrs.nrcan.gc.
detectors, C: IFOV, D: viewed ground cell, E: angular field of view F: ca/fundam/chapter1/chapter1_1_e.htm)
420 S. K. Saha

and METOP satellites used this technique of remote sensing instantaneous field of view (IFOV) denotes the angle of
data collection. the illuminated area on the ground observed by a sensor,
determining the spatial resolution of an RS system. IFOV
19.2.2.4 Along-Track (Push Broom) Scanners covered each ground area from a pixel on the RS image.
In 1986, this scanning technology was first tested with the The height of the RS observing sensor from the ground
French remote sensing satellite Systeme Pour l’Observation and the angle (radian) of IFOV values are used for the
de la Terre (SPOT). Instead of an oscillating mirror, using computation of spatial resolution of an optoelectronic RS
linear array detectors along-track scanner, scan the entire sensor system. In general, high spatial resolution RS sen-
scan line of the terrain and generate image along with the sor covers small ground areas with very large recorded
satellite orbital track (3c). The forward motion of the RS data volumes. A wide range of spatial resolution data is
sensor onboard aircraft or satellite sensor by moving along collected by operational EO satellite systems such as
the direction of the flight line or track of the satellite and geostationary satellites (≈5 km2), polar-orbiting meteoro-
sequential scanning generates a 2D image. This is the reason logical satellites (≈1 km2), polar-orbiting satellites:
the method of scanning is named push broom. Linear arrays regional scale natural resources studies (≈1 ha), polar-
consist of many side-by-side-placed semiconductor solid- orbiting satellites: local scale natural resources studies
state devices known as charge-coupled devices (CCD). (≈0.1 ha) and commercial satellites (≈1–0.1 m2)
Detectors of the sensors of the cross and along tracks segre- (Chuvieco 2016a). Spatial resolution is an important
gate the radiation coming from the objects into several spec- parameter for image interpretation because it provides
tral bands and convert them into digital values before the levels of details available in an image. The require-
recording. This scanning technique offers two major ment of optimum spatial resolution RS data for thematic
advantages over cross-tract scanning: (1) improvement in mapping depends on the scale of the mapping.
spatial resolution of the image and (2) reduction in geometric Spectral resolution: Spectral resolution is associated with
distortion of the image caused by misalignment of the mirror the number and spectral bandwidths of multi-spectral
oscillation and movement of the remote sensing platform. band data recorded by an RS sensor. The spectral band-
Presently, push-broom digital scanning is the most common width refers to the RS sensor-sensitive wavelength range
method of earth observation (EO) satellite or aerial remote in the EMR. High spectral resolution with more number of
sensing data collection. Since the late 1980s, the ISRO suc- bands contributes better discrimination of earth features.
cessfully adopted this technology for various kinds of Indian Quantification of geophysical and biochemical properties
remote sensing (IRS) satellite sensors such as linear imaging of earth’s features can be done efficiently with the RS
self-scanning (LISS), wide-field sensor (WiFS), advanced sensor having spectral bands with narrow bandwidth
wide field sensor (AWiFS) and PAN. French SPOT satellite which is enough to identify characteristics spectral absorp-
sensors such as VEGETATION and the haute resolution tion features of the objects. Bands with wider spectral
visible (HRV) also used this imaging technology. This imag- bandwidth are termed as coarse spectral resolution and
ing technology was also incorporated in the NASA EO bands with narrow bandwidth are called fine spectral
mission of the Landsat-8 satellite sensor called the opera- resolution. For example, the SPOT satellite PAN band
tional land imager (OLI) satellite sensor. This imaging tech- has coarse spectral resolution with spectral bandwidth
nology is also very common for the sensor on board most between 0.51 and 0.73 μm. Advanced spaceborne thermal
commercial high spatial resolution RS satellites, namely emission and reflection radiometer (ASTER) satellite band
IKONOS, GeoEye, WorldView, RapidEye and QuickBird. 2 has fine spectral resolution with spectral bandwidth
between 0.63 and 0.69 μm. At present, the EO-1 RS
19.2.2.5 Resolutions of a Sensor System satellite with a sensor called ‘Hyperion’, has the highest
Four types of resolution parameters such as spectral resolu- spectral resolution (220 spectral bands, bandwidth with
tion, spatial resolution, temporal resolution and radiometric 10 to 20 nm and covering 0.40 and 2.5 μm wavelength
resolution are used for the characterization of an RS sensor region of EMR) among the EO satellites.
system. The information distinguishing power determines the Radiometric resolution: The discrimination capability of
resolution of an RS sensor (Estes and Simonett 1975). minor variations in the sensor recorded incoming spectral
radiance from the object is known as the radiometric
Spatial resolution: The spatial resolution of an RS sensor is resolution of an RS sensor. Generally, it is denoted as
determined by the capability of the sensor to detect the the dynamic range of values used for coding input radi-
tiniest object on an image generated by RS. The spatial ance in each spectral band. Dynamic range is expressed as
resolution of an RS system is measured by the ability of a quantization level which is denoted by bits used to store
sensor to resolve the separation of the smallest angular or the input signal. For example, an 8-bit sensor (28 = 256,
linear between two objects (Jensen 2014). The sensor’s
19 Principles and Applications of Geospatial Technology in Forestry 421

dynamic range of 0–255) may distinguish 256 levels of 5 was launched in 1984, Landsat 6 failed in 1993 and
different radiances per pixel of an image. In past, com- Landsat 7 known as Enhanced TM + launched in 1999
monly 8-bit per pixel coding was used in the RS sensor. belonged to the improved imaging sensors TM satellites
With the improvement of data transmission speed and data series. MSS (multi-spectral scanner) and video cameras
storage, currently, several EO satellite sensors have 11–16 (RBV) were the sensors of the initial three missions of
bits per pixel (e.g. MODIS, Landsat 8-OLI, GeoEye, Landsat. MSS included four spectral bands covering the
WorldView). IRS satellite sensors have varying radiomet- VIS and NIR wavelengths region of EMR, namely blue,
ric resolutions such as 6 bits (WiFS), 7 bits (PAN and green, red and NIR. Landsat 4 and 5 satellites belonging to
LISS-III) and 10 bits (AWiFS and Cartosat-1). A sensor the TM satellite series provided multi-spectral remote
having higher radiometric resolution can discriminate the sensing data with improved all three types of sensor’s
minor variations of radiation in the form of reflection or resolutions except temporal resolution than Landsat
emission incoming from different earth features. Radio- MSS. TM series satellite data is extensively used for a
metric resolution is very important for digital than visual wide variety of thematic applications. The TM and
analysis of remote sensing data. ETM + sensors included additional PAN (15 m spatial
Temporal resolution: It refers to revisiting the capability of resolution), SWIR and thermal infrared bands that were
an area by the sensor and determining how frequently the not contained in the MSS sensor. Landsat 8 satellite latest
remote sensing sensor collects data over an area. The in the Landsat program includes a unique sensor called an
repeat cycle depends on the orbital parameters of the OLI sensor with four, one and six spectral bands respec-
satellite such as height, speed and declination and IFOV tively covering VIS, NIR and SWIR wavelengths of
of the sensor. IRS Cartosat-1 PAN sensor acquires images EMR. The technical specifications of various sensors of
of an area in 5 days repeatability, while IRS LISS III Landsat satellite systems are included in Table 19.1.
collect data in 24-day intervals. In general, coarse spatial IRS satellites: The ISRO RS satellite program consists of
resolution EO satellites have high temporal resolutions varieties of operational EO satellite systems. IRS 1A
and higher spatial resolution satellites offer lower tempo- launched on March 17, 1988, was the first satellite of the
ral resolutions. Based on the objectives of applications, the ISRO’s operational EO program. Subsequently, over the
temporal resolution of the EO satellite mission is set. years series of satellites have been added named IRS-1B,
Dynamic phenomena like forest fires, floods and volcanos 1C and 1D; Cartosat and Resourcesat.
can be better studied with high temporal resolution
RS data.
IRS-1A, 1B, IC and 1D: IRS-1A and 1B satellites carrying
19.2.2.6 Multi-Spectral Earth Resources Satellite linear imaging self-scanning (LISS)-1 and 2 sensors collect
Missions four multi-band spectral data in visible (blue, green and red)
Based on orbital characteristics, EO satellites are grouped and near-infrared wavelengths which are identical to Landsat
into two categories such as sun-synchronous polar and geo- TM with spatial resolutions of 72.5 m and 36.25 m. IRS-1C
stationary orbits satellites. An RS polar orbit satellite all time and 1D satellites included three sensors with unique
passes the equator at the local time. Sun-synchronous polar capabilities such as LISS-III with four bands [green, red,
orbits with heights ranging between 700 and 900 km are NIR and SWIR (Shortwave Infrared)]; PAN (black and
commonly chosen for EO RS satellites. The same region of white) band and two bands (red and near-infrared) WiFS.
the earth is observed at all times by the geostationary The spatial resolutions of these three sensors are 36.25 m and
satellites placed at very high equatorial orbits (36,000 km 72.5 m (LISS III), 5.2 m (PAN) and 188 m (WiFS).
over the earth). Meteorological remote sensing satellites
come under the geostationary orbital satellite class. Cartosat: ISRO launched several high spatial resolution
remote sensing satellites named Cartosat for cartographic
Landsat satellites: Worldwide Landsat satellite series EO and large-scale mapping purposes. The number of
data were successfully used for the earth’s natural satellites such as Cartosat-1, Cartosat-2, Cartosat-2A and
resources and environmental inventories and manage- 2B and Cartosat-3 and 3A belong to the Cartosat series.
ment. ERTS launched on July 23, 1972, was the first Two PAN cameras onboard Cartosat-1 generate stereo-
satellite of the Landsat series. After the completion of scopic imagery by simultaneously imaging the same ter-
the initial three Landsat missions, a series of satellites rain area from two different angles. The sensor onboard
named TM as part of the Landsat program with improved the Cartosat-1 satellite has a spatial resolution of 2.5 m
multi-spectral imaging sensors were launched between and covers a ground area (swath) of 30 km. Cartosat-
1982 and 1999. Landsat 4 was launched in 1982, Landsat 2 carries a single PAN camera sensible to the visible
422 S. K. Saha

Table 19.1 Characteristics of Landsat sensors

Wavelength range of spectral bands (μm)
Landsat MSS Landsat RBV Landsat TM Landsat ETM+ Landsat OLI and TIR
Landsat 1–3 Landsat 1 and 2 Landsat 4 and 5 Landsat 7 Landsat 8
Band 4 (0.5–0.6) Band 1 (0.475–0.575) Band 1 (0.45–0.52) Band 1 (0.45–0.52) Band 1 (0.43–0.45)
Band 5 (0.6–0.7) Band 2 (0.580–0.680) Band 2 (0.52–0.60) Band 2 (0.52–0.60) Band 2 (0.45–0.51)
Band 6 (0.7–0.8) Band 3 (0.690–0.830) Band 3 (0.63–0.69) Band 3 (0.63–0.69) Band 3 (0.53–0.59)
Band 7 (0.8–1.1) Band 4 (0.76–0.90) Band 4 (0.76–0.90) Band 4 (0.64–0.67)
Landsat 3 Landsat 3 Band 5 (1.55–1.75) Band 5 (1.55–1.75) Band 5 (0.85–0.88)
Band 8 (10.4–12.6) Band 1 (0.505–0.750) Band 6 (10.40– 12.50) Band 6 (10.40– 12.50) Band 6 (1.57–1.65)
Band 7 (2.08–2.35) Band 7 (2.08–2.35) Band 7 (2.11– 2.19)
Band 8 (0.52–0.90) Band 8 (0.50–0.68)
Band 9 (1.36–1.38)
Band 10 (10.60–11.19)
Band 9 (11.50–12.51)
Spatial resolution (m)
Landsat 1–3 Landsat 1 and 2 Landsat 4 and 5 Landsat 7 Landsat 8
Bands 4–7: 79 Bands 1–3: 80 Bands 1–5 and 7: 30 Bands 1–5 and 7: 30 Bands 1–7 and 9: 30
Band 6: 120 Band 6: 120/60 Band 8: 15
Landsat 3 Landsat 3 Band 8: 15 Bands 10 and 11: 100
Band 8: 240 Band 8: 240

region of EMR, and its spatial resolution is less than 1 m. visible) sensors, SPOT satellites acquire both PAN and
The camera can obtain a stereoscopic image by steering multi-spectral bands (green, red and NIR) in the first three
the camera up to 45° both in along and across track satellites. The sensor’s spatial resolutions are 10 m (PAN)
directions. Cartosat-2C provides four bands of multi- and 20 m (multi-spectral bands). The high-resolution
spectral data sensitive to 0.40–1.3 μm wavelengths with sensors onboard SPOT 4 and 5 enhanced imaging
1–2 m spatial resolution in addition to the PAN band with capabilities by the addition of an extra SWIR band and
<1 m, Cartosat-3 is the latest addition in the Cartosat improving spatial resolution from 20 m to 10 m and 10 m
series with sensors providing data with PAN band of to 2.5 m of multiband and PAN sensors respectively. The
0.25 m and multi-spectral bands with 1 m spatial high-resolution PAN camera also acquired stereoscopic
resolutions. images by off-nadir acquisitions by using a pointable
Resourcesat: Resourcesat-1 and 2 are the very popular mirror. A special kind of sensor named ‘VEGETATION’
remote sensing satellites for the Indian user community with a coarse spatial resolution (1 km), four bands cover-
for natural resources and environmental management. ing blue-green, red and near-infrared spectral wavelengths
Resourcesat-1 carries three sensors: (1) high spatial reso- regions of EMR, and global coverage (2250 km swath of
lution (2.5 m) LISS IV with monochromatic and three an image) also installed on SPOT 4 and 5 for global
multi-spectral bands; (2) LISS III with three multispectral assessment and monitoring of crops and natural
bands in green, red and near-infrared wavelengths and one vegetation.
in SWIR wavelengths of EMR with a moderate spatial Other medium and coarse resolutions EO satellites: There
resolution (23.5 m); and (3) AWiFS also with three multi- are other several EO satellite missions developed by space
spectral bands in green, red and near-infrared wavelengths agencies of different countries used for natural resources
and one in SWIR wavelengths having spatial resolution of inventory and monitoring. A brief description of selected
56 m. The sensors of Resourcesat-2 have the same techni- missions relevant to vegetation studies is as follows.
cal specifications as Resourcesat-1 except for the MODIS (Moderate Resolution Imaging Spectrometer):
enhanced radiometric resolution and LISS IV sensor Terra and Aqua satellite missions under NASA’s Earth
with increased swath coverage from 23 to 70 km. The Observation System (EOS) had MODIS as an RS sensor.
salient technical specifications of IRS/Resourcesat sensors MODIS sensors collect spectral data in thirty-six multi-
are summarized in Table 19.2. spectral bands in the wavelength region of 0.4 to 14.4 μm
SPOT satellites: Next to Landsat, a series of satellites under of EMR with varying spatial resolutions in different spec-
the EO program known as SPOT (system for EO) were tral bands such as 2 m to 250 m (band 1 and 2), 7–500 m
launched from 1990 to 2014. By dual modes operation of (band 3) and 1 km (bands 8–36). It has temporal
two HRV (haute resolution visible–high resolution resolutions of 1–2 days. MODIS data is well calibrated
19 Principles and Applications of Geospatial Technology in Forestry 423

Table 19.2 Salient technical specifications of major IRS/Resourcesat sensors

IRS/resourcesat sensors
LISS I LISS II PAN LISS III LISS IV
Wavelength range of spectral bands (μm)
Band 1 (B1): 0.45–0.52 Band 1 (B1): 0.45–0.52 PAN: 0.50–0.75 Band 2 (B2): 0.52–0.59 Band 2 (B2): 0.52–0.59
Band 2 (B2): 0.52–0.59 Band 2 (B2): 0.52–0.59 Band 3 (B3): 0.62–0.68 Band 3 (B3): 0.62–0.68
Band 3 (B3): 0.62–0.68 Band 3 (B3): 0.62–0.68 Band 4 (B4): 0.77–0.86 Band 4 (B4): 0.77–0.86
Band 4 (B4): 0.77–0.86 Band 4 (B4): 0.77–0.86 Band 5 (B5): 1.55–1.77
Name of the spectral bands
B1: Blue (B), B1: Blue (B), PAN: B2: Green (G), B2: Green (G),
B2: Green (G), B2: Green (G), Panchromatic B3: Red (R), B3: Red (R),
B3: Red (R), B3: Red (R), B4:Near-infrared (NIR) B4:Near-infrared (NIR)
B4:Near-infrared (NIR) B4:Near-infrared (NIR) B5: Short wave infrared (SWIR)
Spatial resolution (m)
B1–B4: 72.5 B1–B4: 36.25 PAN: 5.8 B2–B4: 23.5 B2–B4: 5.8
B5: 70.5
B5: 23.5 (Resourcesat)
Radiometric resolution (quantization level–bits)
B1–B4: 7 B1–B4: 7 PAN: 6 B2–B4: 7 B2–B4: 10
B5: 10 (Resourcesat)
Swath of the image–image area coverage (km)
148 74 70 140 and 148 (B5: SWIR) 23 (Resourcesat-1)
70 (Resourcesat-2 and 2A)

and processed for the creation of several global datasets ASTER thermal and stereo remote sensing data
such as terrestrial ecosystem variables like spectral vege- respectively.
tation indices (SVI), leaf area index (LAI), PAR and High spatial resolution satellites: In the late 1990s, different
vegetation of net primary productivity (VNPP). private consortiums, namely Space Imaging (Digital
AVHRR (Advanced Spaceborne Thermal Emission and Globe), Orbimage and Earthwatch Inc. developed high
Reflection Radiometer): AVHRR sensors are placed on spatial resolution (0.5 to 4 m) commercial EO satellites
the NOAA family of polar remote sensing and European and made them available to various user communities.
MetOp satellites. This sensor provides data in five spectral The data from these satellites are being used for detailed
bands/channels and the central wavelengths of the inventories of natural resources, urban studies, national
channels are as follows: 0.6 μm (channel 1), 0.9 μm security, precision farming etc. In 1999 Digital Globe
(channel 2), 0.9 μm (channel 3), 11 μm (channel 4) and launched IKONOS-2 after the failed launch of the first
12 μm (channel 5). It collects images of the entire globe satellite and its sensor provided data of one 1 m spatial
two times each day with a 1.1 km spatial resolution. resolution black and white (PAN) band and 4 m spatial
NOAA AVHRR-derived normalized difference vegeta- resolution four multi-spectral bands (blue, green, red and
tion index (NDVI) is worldwide utilized for regional as NIR). Preview-3 was launched in 2003 by Orbinage (later
well as global vegetation monitoring. renamed Geoeye). The Orbview sensor provided similar
ASTER (Advanced Spaceborne Thermal Emission and types of data of IKONOS-2. GeoEye-1 launched in 2008
Reflection Radiometer): The ASTER satellite was provided 41 cm PAN and 1.65 m multi-spectral images.
launched in 1999, and this satellite mission is a joint Quick Bird satellite launched by DigitalGlobe acquired
venture of NASA and Japan’s Ministry of International data of PAN bands with 61 cm and multi-spectral bands
Trade and Industry. ASTER sensor provides 14 multi- with 2.5 m spatial resolutions. Digital Globe launched
spectral bands located in different wavelength regions of several high-resolution satellites such as WorldView-1,
EMR with varying spatial resolutions digital images such 2 and 3 from 2007 to 2014. The latest WorldView-3
as visible to NIR wavelengths and 15 m spatial resolution provided images with different spectral bands and spatial
(bands 1–4); SWIR wavelengths and 60 m spatial resolu- resolutions such as one 0.31 m black and white (PAN)
tion (bands 4–9); and thermal wavelengths and 90 m band, eight 1.24 m visible and near-infrared multi-spectral
spatial resolution (bands 10–14). LST and digital eleva- bands, eight 3.7 m SWIR bands, and twelve 30 m bands.
tion model (DEM) of the world are also created from German company’s RapidEye constellation of satellites
424 S. K. Saha

provides global daily coverage with five 6.5 spatial reso- characteristics of surface features. Spatial properties of
lution multi-spectral bands data. objects on the image/photo related to shape, size and
texture elements form simple spatial criteria. Complex
spatial criteria consist of shadows, context and associa-
tion. Temporal criteria deal with seasonal changes in
19.2.2.7 Fundamentals of Remote Sensing Image dynamic features under study.
Interpretation and Analysis Brightness or tone: The relative brightness of objects in an
Interpretation of remote sensing captured photo or image RS image in shades of grey is measured based on bright-
involves finding out and assessing of significance of an object ness or tone. Brightness or tone attributed to the reflec-
and the patterns on the image based on feature detection and tance of solar reflective region radiation or emitted
identification (Sivakumar 2010). Aerial photographs were the radiation from objects in thermal infrared. The human
first remote sensing data which is subjected to photo or image eye can only discriminate 64 or fewer grey shades. There-
interpretation. Now it is applied to all kinds of processed and fore, by visual image interpretation full radiometric reso-
unprocessed visual remote sensing data products. Both visual lution (256–2048 digital values) of an image cannot be
as well as digital interpretation and analysis methods alone exploited. Most land covers reflectance changes with dif-
and a combination of RS data are used for the extraction of ferent wavelengths (Fig. 19.4). So, the brightness of
information and thematic mapping. Both photo or image objects is different in wavelengths.
interpretation techniques have advantages and disadvantages. Colour: Colour is an important element of image interpreta-
tion because of the higher sensitivity of the human eye
Visual interpretation: When dealing with photo/image data, towards colour variations as compared to the brightness of
visualized as pictures, a set of elements of photo/image tonal variations. For colour perception, the human eye is
interpretation is required to define characteristics present sensitive to only three wavelengths, namely red, green and
in pictures. The elements of image/photo interpretation are blue named RGB of the visible region of EMR. These
brightness or tone, texture, colour, size, shape, shadow, three components refer to ‘primary colours’ and any col-
pattern and site or association. Based on the degree of our can be derived by combining these primary colours.
complexity, the elements of photo/image interpretation By adopting two processes, namely additive and subtrac-
can be grouped into four criteria, namely spectral criteria, tive three spectral bands can be combined to generate
simple spatial criteria, complex spatial criteria and tempo- colour composite images. In the additive process, any
ral criteria. colour is generated by combining primary R, G and B
Spectral criteria consisting of brightness and colour are the colours and three colour guns are used to assign R, G and
most primary elements because they control the spectral B colours to three individual spectral bands. The additive

Fig. 19.4 The left image (IRS LISS III, red band) tonal variations near-infrared band vegetation, reflectance is high. The canal and river
represent dark grey represent vegetation (forest and croplands). Vegeta- course with the presence of surface water appears very dark grey
tion absorbs more in the red band due to plant pigments and reflects less. because of high absorption in the near-infrared band by water (image:
The dry riverbed shows a bright white tone due to high reflectance in the part of Doon valley, Uttarakhand, India; image courtesy: Indian Institute
red band. The right image (IRS LISS III, near-infrared band) tonal of Remote Sensing, Dehradun, India)
variations depict bright white-crop lands and light-grey forests. In the
19 Principles and Applications of Geospatial Technology in Forestry 425

Fig. 19.5 Standard FCC generation process by combining and In FCC vegetation, forests and croplands appear in variations of red
assigning R, G and B colours to three spectral bands: top image NIR colours. (image: part of Doon Valley, Uttarakhand, India. Image cour-
band (R), middle image red band (G) and lower image green band (B). tesy: Indian Institute of Remote Sensing, Dehradun, India)

process is commonly used for obtaining colour composite because vegetation appears in red instead of natural green
in the electronic display process and popular method for colour due to high reflectance of NIR band by vegetation
digital remote sensing image processing systems. The and assigning red colour in a composite generation.
subtractive process is generally used in the mechanical Almost all EO satellite sensors include these three spectral
reproduction of colour in print media. By mixing yellow, bands which made standard FCC widely used for visual
magenta and cyan colour inks, the printed colours are interpretation and analysis of RS data.
obtained. A colour composite can be generated by com- Texture: Texture refers to characteristics of tonal or colour
bining any three spectral bands. However, standard false arrangement and changes in an image. The texture
colour composite (FCC) generated by combining three depends on the unit features an aggregation of an object
spectral bands data such as NIR, red and green and that is difficult to separate on the image due to small
assigning R, G and B colours, in the sequence is the dimension. Homogeneous land cover generates smooth
popular one for image interpretation and analysis image texture. Rough texture forms due to heterogeneity
(Fig. 19.5). This colour composite is called false colour of cover attributed to reflectance variations in the vicinity.
426 S. K. Saha

The size of the constituent objects in a particular cover, identification of features because of the presence of unique
shadow effect, spatial resolution and wavelength of the inherent patterns and characteristics of an object. Different
sensor control the texture of an image. Angular objects from different types of characteristic patterns on
orientations of the sun and sensor contribute to shadow remote sensing images such as agricultural field
effects. A surface smooth at longer wavelengths can boundaries, roads, forest areas and human settlements.
appear rough at short wavelengths. Texture is commonly Spatial resolution and scale of the image are the key
used to discriminate different covers with similar spectral parameters that contribute to spatial patterns. The individ-
responses. Different image textures contributed by various ual pattern may be visible in high resolution/large scale
land cover types are discussed by Chuvieco 2016b. For images, but the patterns merge in coarse or medium reso-
example, in the Landsat 8 OLI satellite image, urban areas lution/small scale images. Identifications of features based
with diverse small dimension covers appear in a coarse on spatial patterns were discussed by Chuvieco (2016b).
rough texture. While homogenous irrigated crops give QuickBird high-resolution satellite image spatial patterns
smooth texture, shrubs and grasslands give medium to were used for discriminating land cover features of an
low smooth texture. Heterogeneous forest areas appear agricultural region in Salamanca, Spain crop fields line-
in rough texture (see details in Fig. 5.9 of Chuvieco arly arranged and natural vegetation with scattered trees
2016b). (see details in Fig. 5.15a of Chuvieco 2016b).
Size and shape: Size is a significant parameter in image Site or association: Particular features in nature are mutually
interpretation because it helps in identifying objects attached to other features, and this characteristic forms an
based on relative sizes and measurement of dimensions important image element for the identification of features.
parameters such as width, length, area and perimeter of an Croplands are generally associated with water available or
object. For absolute measurement of object size, the image water-supplying devices like irrigation canal networks and
scale must be known. Shape is also useful for identifying water bodies. In geosciences, several examples of
objects by examining the shape contours, which can be associations of features exist in nature, like volcanic
associated with familiar objects. Based on the shape and landforms such as cones, calderas, dykes and lava flows
size we can identify various geomorphic and structural are associated with extrusive rocks (Gupta 2017).
features such as volcanos, domes and lineaments. Forest Period of acquisition: The multi-temporal data acquisition
plantations appear with geometric borders while natural capability in remote sensing is important for the identifi-
forests appear in irregular shapes. Shape and size elements cation or change detection of features by changes in sea-
can be better extracted using high spatial resolution sonal or multiannual spectral characteristics of the features
images. The shape and size image elements of high spatial under study. Time series analysis of aerial/spacecraft
resolution remotely sensed image (RapidEye satellite) of photos/images is very effective for the delineation of
part of Madrid city Spain used for discriminations of deciduous forests which shed leaves during the spring
natural and made land cover types: (1) urban park, (2) nat- season from evergreen forests. Dynamic growth and
ural forest and (3) golf courses and hippodrome were development patterns of crops can be detected using
demonstrated and shown by Chuvieco (2016a, b) (see time-series remote sensing data. Natural disasters like
details in Fig. 5.11 of Chuvieco 2016b). floods and draught are monitored and assessed using tem-
Shadow: Shadow in the image is formed due to variations in poral remote sensing data.
illumination conditions. In image interpretation, shadows Stereoscopic view: Stereoscopic remote sensing images/
contribute both positive as well as negative effects. Object photographs are acquired through overlapping coverages
features lying within shadows are difficult to discern on an of the same area of a terrain by the sensor. Stereo images
image due to very low reflection. However, the shadow is are generally captured by using dual sensors or by tilting
useful for the detection of objects by estimating the height sensors to create two different view angles. Stereoscopic
and depth of objects and separating targets from the back- view by analogue or digital photogrammetry is an impor-
ground. In passive remote sensing, the shadow created by tant image analysis technique for the extraction of 3D
low solar angle illumination enhances relief features of the features of objects. Stereoscopic image interpretation is
terrain, which helps in the interpretation of landforms or common for geomorphologic analysis. This technique
geomorphology. Shadow is also useful for better discrim- could be used for tree height estimation. Currently avail-
ination of forested areas by enhancing image texture. able several satellites such as SPOT-HRV, Terra-Aster
Spatial pattern: Spatial arrangements of objects constituting and IRS-Cartosat have stereoscopic image acquisition
cover form the spatial pattern element of image interpre- capability.
tation. The spatial pattern is important for the
19 Principles and Applications of Geospatial Technology in Forestry 427

19.2.2.8 Fundamentals of Digital Image Processing an image and finally improve information content for
A remotely sensed digital image consists of a 2D matrix of interpretation. Several image-processing techniques are
numbers which represent original incoming radiances in use for image enhancement and these include image
recorded by the RS sensor. A specific row and column in contrast manipulation (e.g. contrast stretching, density
the 2D digital image matrix are associated with each digital slicing); manipulation of spatial features (e.g. filtering,
value in the matrix. The instantaneously observed ground edge enhancement, texture analysis); linear and nonlinear
area by the remote sensing sensor is named pixel (picture transformations (e.g. principal components analysis
element). Pixel denotes the smallest non-dividable element of (PCA), spectral vegetation indices (SVI), hue intensity
a digital RS image. A digital number (DN) represents the saturation (HIS) colour space transformation).
brightness value of an associated pixel. The multi-spectral Image classification: Digital classification of an image is a
remote sensing dataset consists of several spectral bands. quantitative technique for automatic information extrac-
Therefore, each pixel of an image is characterized by a 3D tion from multi-spectral/multi-temporal remotely sensed
matrix with row and column location and DN values digital images. In digital classification based on statistical
constituting spectral bands of the RS data. Digital images decision rules individual pixel of the image is classified to
are organized in a series of files with different formats. a particular land cover/feature class. Supervised and unsu-
Processing, manipulation and analysis of digital images are pervised classifications are the two types of digital image
performed using a computer system and both commercial and classification. In digital supervised classification, the
open-source software. The major types of digital image image analysis specialist provides field sample (training)
processing performed in remote sensing can be grouped information, which is used in the classification algorithm
into several categories such as image preprocessing; image for the thematic classification of each pixel. While in
enhancement, image classification; change detection; bio- unsupervised classification thematic information of a
physical modelling; and GIS integration. Brief descriptions pixel is extracted using a classification algorithm only
of these processes are as follows: with no instructions from the image analyst. Maximum
likelihood classification and ISODATA clustering algo-
Image preprocessing: These operations aim to remove rithm are the most widely used supervised and unsuper-
radiometric and geometric errors associated with raw vised classification methods respectively. Supervised and
remotely sensed data. Radiometric errors are due to sensor unsupervised classifications are very effective When spec-
system noises associated with optoelectronic components) tral training data consist of mixed pixels, applications of
and the scattering of radiation by the atmosphere into the special digital supervised classification algorithms such as
IFOV of the sensor. Simple image normalization and fuzzy, support vector machine (SVM) are found effective.
relative and advanced radiative transfer model-based The image segmentation approach using spectral
radiometric calibration techniques are in use for radiomet- characteristics of contextual surrounding pixels is the
ric correction of digital RS data. Radiometrically basis of the object-based digital image classification
calibrated remotely sensed data of varying periods/dates method. This classification technique is being successfully
are essential for digital change detection analysis and applied for automated feature extraction from high spatial
comparison derivative products (e.g. spectral vegetation resolution remote sensing data. Currently, artificial intelli-
index, SVI). Remote sensing image exhibits internal and gence (AI) and machine learning (ML)-based advanced
external geometric errors. Sensor scanning system itself classification methods are gaining importance for
and combinations with earth rotation and curvature classifying remote sensing data of complex terrain.
characteristics introduce internal geometric errors. Geo- Change detection: Using time series remotely sensed data,
metric errors in digital RS data are contributed by changes the change detection analysis to assess the extent and
in height and roll, pitch and yaw attitudes of remote nature of changes in land use/land cover or features over
sensing platform. The placement of individual pixels in time has become a very important study objective in most
their exact x and y planimetric positions in a standard map remote sensing-based projects. Digital change detection is
projection is performed by geometric correction. Geomet- being used for seasonal, inter-annual and long-term
ric rectification using control points in reference image/ change analysis using temporal remote sensing data. Sev-
reference map is performed to correct geometric errors of eral digital change detection algorithms are used for
remote sensing image. Digital preprocessing analysis is ‘change/no change’ or more detailed ‘from-to’ change
generally carried out before digital enhancement, modifi- information of land covers/features over time intervals.
cation and classification of digital RS data for extraction of The change information is useful for finding out the
thematic information. diver(s) of changes.
Image enhancement: These techniques are applied to
improve visual distinctions among the objects/features in
428 S. K. Saha

Biophysical modelling: Spectral band radiance data as well

as digitally processed spectral indices are used as inputs in
empirical, semi-empirical and process-based models to
estimate biophysical and biochemical properties of land
covers/features.
GIS integration: The accuracy of land covers/features
identified and mapped using remote sensing data follow-
ing digital image processing can be significantly improved
by the inclusion of other spatial information such as DEM,
forest working plan map and soil map. Commonly for the
development of expert systems and artificial neural net-
work (ANN)-based digital analysis for feature extraction,
in addition to multi-spectral RS data, multi-sources gather
spatial data used.

19.2.3 Geographic Information System

‘Geographic’ because deals with data which is associated

with geographic location in space with reference system
(latitude/longitude or other spatial coordinates). ‘Informa-
tion’ because we want to learn the attributes or characteristics
of the data about the space. ‘System’ because it handles
various interlinked and interrelated components having dif-
ferent functions. The database of GIS is a unique information
system with geo-location tagged features represented by var- Fig. 19.6 GIS is a data integration technology (source: https://www.
ious types of geospatial data such as points, lines, polygons usgs.gov/media/images/gis-data-layers-visualization)
and areas. Burrough the pioneering researcher in geospatial
technology in 1986 defined ‘GIS as a computer-based sys- immensely contributed in the development of GIS software
tem, which allows capturing, storing, analysing and for commercial uses. Although, ESRI’s ArcGIS is the most
displaying geographically referenced information’ (Burrough popular and widely used GIS software, currently free of cost
1986). GIS technology gained importance for creating spatial and without licence known as open-source GIS software
decision support systems (SDSS) and management of earth developed by various universities and research organizations
resources and the environment by combining geospatial and is easily accessible to GIS users.
non-geospatial data collected from multiple sources
(Fig. 19.6). 19.2.3.1 Definitions of GIS
The evolution of GIS technology is linked parallel to the Based on the functionality, capabilities and purposes of
history of the development of digital computers and applications of GIS, several definitions of GIS are available.
databases. Progress of GIS technology is also contributed The following section presents well-recognized GIS
by several allied disciplines, namely geography, cartography, definitions:
remote sensing, photogrammetry, statistics and mathematics
(geometry and graph theory). The first operational GIS was GIS is a ‘Set of tools for collecting, storing, retrieving at will,
Canada GIS (CGIS) designed in the mid-1960s as a transforming and displaying spatial data from the real
computerized map measuring and a producer of tabular land world for a particular set of purposes’ (Burrough 1986).
information system. In 1964, the foundation of modern GIS GIS is a ‘ computer-assisted system for the capture, storage,
with respect to the development of the theory of geospatial retrieval, analysis and display of spatial data, within a
data processing and manipulation was the research particular organization’ (Stillwell and Clarke 1987).
contributions by the Laboratory of Computer Graphics and GIS is a ‘computer-based system that provides four sets of
Spatial Analysis, Harvard Graduate School, USA. In the capabilities to handle georeferenced data,viz., data input,
early 1980s, two private companies, namely ESRI (Environ- data management (data storage and retrieval), manipula-
mental Systems Research Institute) and Intergraph tion analysis, and data output’ (Aronoff 1989).
19 Principles and Applications of Geospatial Technology in Forestry 429

Data: Geo-referenced digital spatial and non-spatial linked

tabular data are the key data of GIS. The tabular data are
related to the map objects and linked with the digital map.
The sources of data can be collected from the organization
collected or data can be purchased from the commercial
data provider. Using DBMS (Data Base Management
System), GIS integrates geo-spatial with other sources
of data.
Procedures/methods: The methods of a successful project
consist of well design plan with appropriate models and
operating practices unique to each task. The GIS project
executing organization must establish procedures and
mechanisms to monitor the budget and quality of the
project and meet the needs of the organization. The
procedures look into the various aspects of the project
starting from the formats of data received and how to
incorporate it into the system, to geo-processing to be
performed to get final output (s).
People: GIS users consist of several technical specialists and
analyst persons having various GIS skills such as
configuring the system, performing GIS analysis,
Fig. 19.7 The six components of a GIS maintaining the system, and helping end users to do anal-
ysis day-to-day basis. All the stakeholders of GIS users
GIS is a ‘computer based system for the efficient input, together plan, implement and participate in the decision-
storage, manipulation, analysis, representation and making process.
retrieval of all forms of spatially indexed and related Network: The development of the ICT (Information Com-
descriptive data’ (Jackson 1992). munication Technology) network and the internet, nowa-
days made it possible to rapidly acquire multi-source data
19.2.3.2 Components of GIS and share large GIS-processed data sets.
Hardware, software, data, procedure/methods, people and
network are the six components which are integrated into a
working GIS (Fig. 19.7).
19.2.3.3 Functionality of GIS
Hardware: The computer system which runs GIS software Data inputting, data storing and managing, analysis and data
forms the hardware component. Different types of hard- manipulating, visualization and generation of data output are
ware configurations such as stand-alone desktop the five major tasks performed by a typical GIS. Brief
computers, laptops and central server network-connected descriptions of these functions are as follows:
desktop computers are used for running GIS software.
Computers with efficient processors for running the soft- Data input: Spatial and non-spatial GIS data are obtained
ware and sufficient memory for storing enough data are from a combination of hard copy maps, remotely sensed
the main hardware requirements. A digitizer/scanner is images (aerial photographs and satellite images), GPS
also formed part of GIS hardware for data inputting by surveys, reports, survey documents, etc. Analogue hard-
converting analogue maps and documents into copy maps are encoded into digital data by digitization
digital form. process. Digitization is only an effective technique when
Software: GIS software consists of programs and user few maps are digitized and the quality of encoded data
interfaces for driving the hardware for performing depends on the accuracy of the digitization process. Scan-
functionalities of GIS such as inputting, storing, ning is an additional technique of conversion of analogue
analysing, manipulating and presenting geospatial data. maps to digital data and scanning resolution is a critical
The software program of GIS is called a GIS application. factor controlling quality of data. Aero-space RS
Both commercial (ArcGIS, GeoMedia, MapInfo, etc.) and contributes major GIS data. Raw remote sensing digital
open-source software (QGIS, ILWIS, SAGA GIS, data are processed before inputting to GIS. Another
GRASS, etc.) are used for GIS analysis. geospatial technology, an important source of data for
430 S. K. Saha

GIS is the global positioning system (GPS). GPS-derived surface. GIS uses two types of geo-located geographic data:
locational data are increasingly being used together with spatial and attribute. GIS data types and their characteristics
spatial data in GIS. Recently, large amounts of spatial data are given in ESRI (1990).
are routinely accessed for GIS analysis from various
websites maintained by various organizations/universities Spatial data: It refers to the relative and actual geolocation of
through the internet. features and describes the geometry of spatial features.
Data storage and management: These components of GIS Primary two types of formats of spatial data, namely
perform functions of storing and retrieving to and from the vector and raster formats are stored in the GIS database.
database. The database organizes collected data in such a Vector data: Points, lines and polygons are three basic types
way that data can be retrieved, updated, expanded and of vector data. Points are 0D objects consisting of pairs of
shared by multiple users. The GIS database stores real- x and y coordinates. Lines are 1D objects which have
world geographic data in the form of objects (point, line, length but no area represented by sets of coordinate pairs
polygon) and attribute or non-spatial data which are (beginning and ending points). Polygons are closed math-
described by the locations and characteristics of the object. ematical figures of any shape or size consisting of sets of
There are different models of database management coordinate pairs enclosing the area. In addition, a topology
systems (DBMS), but because of efficient data storing, database depicting the spatial relationship between the
management and simple structure, relational database lines is created by GIS. Spatial polygon data are stored
model systems (RDBMS) are widely used in GIS. in GIS by creating databases of identification codes (IDs),
Analysis and data manipulation: The unique capability of arcs/lines make the polygon, perimeter, area and topology.
GIS is the integrated analysis using both spatial and attri- Shapefile, geodatabase, DLG (Digital Line Graph), DXF
bute data. A wide range of analyses can be carried out (Digital Exchange Format), ArcInfo Interchange (e00),
using GIS useful for particular applications. GIS analysis TIGER (Topologically Integrated Geographic Encoding
functions are classified into: basic and advanced functions. and Referencing) etc. are the popular formats used for
The basic analysis functions include measurements, representation of vector data in GIS.
reclassification, multi-layer overlay, connectivity and Raster data: In raster data, a geographic feature is
neighbourhood operations. Advanced functions are used represented as regular sets of cells on a grid. Generally,
for spatial decision-making. Several theoretical geospatial the regular grid is square cells called pixels. The dimen-
models based on mathematical and statistics developed sion of cells varies from large or small depends how
which are referred to as advanced functions of GIS. Two accurately to represent features within the area. The
types of mathematical GIS modelling are in use for smaller the pixel size of raster data of an area, the larger
decision-making: optimization and simulation. The best be data volume and it will take more storage space and
solution of either maximum or minimum for a particular processing time. Digital satellite images and aerial
problem on the decision can be identified using the Opti- photographs, scanned/digitized hard copy maps etc. are
mization method. Impacts of varying policies under the the major raster data used in GIS processing. TIFF
influence of several factors in a given system are tested (Tagged Image File Format), Geo TIFF (Geographic
with a simulation model. Tagged Image File Format), GIF (Graphic Interchange
Visualization and data output: In general, three types of Format), JPEG (Joint Photographic Experts Group), BIL
outputs/visualization products are generated using GIS (Band Interleaved by line), BIP (Band Interleaved by
analysis: a) such as user query responses in the form of pixel), BSQ (Band Sequence), ArcInfo GRID etc. are the
text output (different kinds of tables, listing of analysed common raster data formats handle by GIS.
data, numerical values or text, etc.); b) black and white Attribute data: This data represents properties of spatial
and colour graphic analogue outputs (thematic maps, entities consisting of spatial features. Attributes data are
analysed or data display on the screen, schematic linked with vector and raster through the GIS database.
diagrams, different types of graphs, etc.); and c) analysed The attribute data is also called non-spatial data as it does
digital outputs data which can be achieved in local digital not represent location information. A patch of forest cover
storing devices such as hard disk or transfer to a computer with a geographic location is an example of spatial data.
network or geo web service networks. But the various properties of the forest cover such as type
of forest, species composition, crown density and tree
19.2.3.4 Data Types and Representation of Data height are examples of attribute data.
in GIS
GIS handles and processes geographically referenced data, 19.2.3.5 Global Positioning System
which consists of location and spatial features on the earth’s Global positioning system (GPS) is one of the global naviga-
tion satellite systems (GNSSs) used for operational global
19 Principles and Applications of Geospatial Technology in Forestry 431

satellites to compute the 3D (2 horizontal: x, y and vertical:

z) position more accurately.
GPS receiver downloads orbital information (Almanac
data) of all visible satellites when it turns on. The GPS
receiver calculates the distance between the receiver and
each visible satellite using the relationship-transmit radio
signal velocity (186,000 miles/s) multiplied by the time
value. The time value is determined by how long the time
takes the satellite-transmitted signal to arrive at the GPS
receiver. The receiver determines position using mathemati-
cal triangulation. The position is reported in different coordi-
nate systems such as latitude/longitude and UTM (Universal
Transverse Mercator).
The GPS positional accuracy is affected by several factors
such as satellite clock error, ephemeris (satellite orbital
parameters) error, atmospheric effect, ionospheric effects,
multipath and shadowing effect and selective availability.
Common GPS receivers provide 5–20 m accuracy. Currently,
GPS positional accuracy up to sub-metre to a few metres
level is improved by adopting two advanced techniques,
Fig. 19.8 Constellation of GPS satellites orbit the earth on six orbital
planes (source: https://spaceplace.nasa.gov/gps/en/) namely DGPS (Differential Global Positional System) and
RTK (Real Time Kinematic) GPS. DGPS improves the posi-
navigation and geopositioning of any location on the earth’s tional accuracy of GPS by using one or more GPS reference
surface. Radio navigation with precise time measurement is stations with known geo-location and post-processing
the key technology for the function of GPS. Several US corrections are applied. RTK GPS survey improves accuracy
government organizations, namely the Department of by real-time corrections of GPS receiver position.
Defense (DoD), NASA and the Department of Transportation
(DoT) are involved in the development and control of the
GPS. In the 1960s, GPS was developed and initially; it was 19.3 Applications of Geospatial Technology
known as Navigational Satellite Timing And Ranging-Global in Forestry
Positioning System (NAVSTAR-GPS). GPS provides
geolocation and time information worldwide to various 19.3.1 Applications of Aerial Remote Sensing
users such as military, civil and commercial. Major in Forestry
applications of GPS are navigation, surveying and
map-making. In forestry, GPS is very useful for finding Before the 1970s, various types of aerial remotely sensed
geolocation and mapping areas and the extent of different data products; namely black and white and colour
forest ecosystem parameters. photographs were widely used for forest resources assess-
The three major components of GPS are the space seg- ment and management. Forestry applications of aerial remote
ment (satellite constellation), ground segment (satellite con- sensing applications are a century old. In 1963, first time in
trol station) and user segment (receivers). 30+ satellites of the India, J. A. Jones, a Canadian expert used aerial remote
GPS space segment are placed at an altitude of 12,000 miles sensing in the form of black and white aerial photographs to
which are transmitting signals and orbiting the earth at an make a quick forest inventory of the Kullu and Seraj valleys.
interval of 12 h (Fig. 19.8). The control segment consists of After the success of the first study, in 1965 onwards Indian
ground facilities involved in tracking the satellites and government under the Pre-Investment Survey of Forest
provides the satellites with precise time and corrected orbital Resources (PISFR) project used different aerial remote sens-
information. The user segment comprises limitless simulta- ing data products for assessing available commercial bamboo
neous users with GPS receivers. The GPS satellites are fitted forest resources for the paper industry. From 1965 to 1982,
with atomic clocks that transmit radio signals that contain the Forest Survey of India (FSI) undertook several projects
precise location, time and other locations. Control stations on forest mapping and growing stock assessment using aerial
receive, monitor and correct the signals transmitted by the photographs (Unni 1983). In general, aerial photographs are
satellites and the user receivers pick the corrected signal to used in three distinct areas of forestry such as forest mapping,
find out the position. Ideally, a GPS receiver needs four forest inventory and forest management.
432 S. K. Saha

19.3.1.1 Forest Mapping Several studies on forest inventory in diversified forested

Forest mapping using aerial photo-interpretation involves the areas concluded that for the classification of timber volume
detection and composition of tree species and tree structures. by stands, aerial photographs with scales of 1:15,000–20,000
Photo/image analysis based on photo/image elements, are suitable. However, individual tree volume estimation, and
namely tone, colour, texture, shape, size pattern and photographs with scales of 1:5000 or larger are
associated is applied for identification of tree species. Other recommended.
factors such as the scale of the photograph, the type of aerial
film used, the photo quality and the season of photography 19.3.1.3 Forest Management
control the effectiveness of identification of types of tree Aerial photography can also provide valuable information in
species and forest types. several areas of forest management such as forest land suit-
The photograph’s scale to be used for analysis is a func- ability analysis, timber harvest planning, monitoring logging,
tion of details of information to be extracted. Large-scale afforestation, wildlife management, pests and disease infes-
photographs on 1:5000–1:10,000 scales are useful for tation monitoring and forest road alignment and monitoring.
small-area detailed forest inventory with respect to the iden-
tification of individual trees, and canopy density, small-scale 19.3.1.4 Principles of Photo-Interpretation
photographs on the scale of 1:40,000–1:60,000 are useful for in Forestry
large-area broad forest cover type and broad classes of can- A brief description of approaches to the use of photo/image
opy density mapping. Generally, trees with a full foliage elements in forest resources information extraction follows:
cover period are ideal time of aerial photography.
Aerial remote sensing data of true colour photographs was Tone: Tone is one of the important photo elements for tree
observed to be more effective than black and white aerial species identification. Tonal variation of aerial
photographs (Unni 1983). Because vegetation highly reflects photographs of tree species is controlled by vegetation
near-infrared radiation, CIR is found useful for the discrimi- phenological changes such as shedding of leaves, fruiting,
nation of vegetation from other land cover features. Vegeta- flowering and new flash of leaves. For example, teak trees
tion appears in red in the CIR photograph. Using a CIR appear in white tones in aerial photographs taken during
photograph, Unni et al. (1983) identified and mapped several the flowering period and sal trees can be easily identified
tree species in the deciduous forests of Andhra Pradesh, with silvery grey tones in photographs captured during
India. A CIR photograph is superior to a true colour photo- new flashes of leaves. Infrared B and W aerial
graph for forest mapping. photographs are very effective for the discrimination of
Forest structure classification is making groups of forest conifers and broad-leaved species based on their grey and
vegetation based on species composition stand or tree height, white tones respectively.
crown density and crown size. Tree height can be estimated Texture: Image texture is characterized by coarseness/
with stereoscopic parallax photogrammetric interpretation smoothness parameters. In general, in aerial photographs
using overlapping stereo aerial photographs by using a ste- younger and older trees appear in smooth and coarse
reoscope instrument. textures respectively. The image texture of trees depends
on branching pattern and age.
19.3.1.2 Forest Inventory Shape: The shape of a tree crown is an important parameter
Tree height and crown diameter extracted from stereoscopic for the identification of species. By interpreting the shapes
interpretation of aerial photographs are used in the computa- of tree crowns on aerial photographs, many important
tion of the volume of a single tree required for forest inven- species can be identified. Young broadleaved and most
tory assessment. Finally, an aerial photograph estimated conifers have an ovate-shaped crown. The dome-shaped
stand crown density percentage is used for the estimation of crown is found in older hardwoods.
volumes of stands. The crown diameter estimated from the Size: The size of the tree crown and height are the key
photograph is equivalent to the visible crown diameter or variables used for the discrimination of tree species. The
crown width as all parts of the crown are not visible by aerial scale of aerial photographs is a critical factor for
photography. Crown closure also known as crown density interpreting the shape of an object, crown size relating to
refers to the percentage of ground area covered by tree crown. the basal area of a tree is an important parameter for the
Forest inventory requires information on two important assessment of tree volume.
parameters, namely total growing stock and mean volume Pattern: Spatial associations of objects in photos/images are
per unit area of forest. Aerial photograph-derived parameters, called patterns. Patterns can be either manmade or natural.
namely visible tree height, crown diameter, crown density In aerial photographs, natural and forest plantations as
and crown count have been successfully used for rapid esti- well as young and old plantations can be discriminated
mation of growing stock and mean volume of the forest. against based on unique image patterns.
19 Principles and Applications of Geospatial Technology in Forestry 433

Fig. 19.9 Photo-interpreted area

in the central part of the study area
with different classes of forest
canopy density: 1 closed, 2 semi-
closed, 3 semi-open, 4 open and
5 deforested (source: Garcia et al.
2016)

Shadow: Shadow helps in identifying the tree species by its information related to vegetation phenological types, gregar-
contribution to the image texture. The shadow cast by an ious formations and communities are very effectively derived
individual tree on the ground along stand edges is also from satellite multi-spectral data. The availability of multi-
useful for the identification of species. Measurement of spatial resolution satellite data enables multi-level forest
tree shadow on aerial photographs can be used for information extraction (Fig. 19.10). Multi-temporal satellite
obtaining tree height. However, excessive shadows on data provide an opportunity for forest dynamics study, land-
the photo hinder the identification of objects. scape change detection analysis, phenological studies, etc.
Location and association: It has been observed that certain Biophysical modelling using digital satellite data derived
tree species occupy characteristics of topographic sites spectral vegetation indices as input useful for various
and are associated with specific types of land covers. applications in forestry such as biomass/volume, canopy
While interpreting aerial photographs these photo density and forest condition and degradation processes. Sat-
elements are used as one of the features for identification ellite remote sensing data available in digital format enables
of species. Silver oak and Erythrina species are associated time-saving, cost-effective computerized mapping of land
with tea plantations in the Nilgiris. cover, land use and vegetation types in multi-levels, namely
local, regional and global with reliable accuracies regularly.
A case study example of the use of photo-interpretation in
temperate forest canopy density classification in Monarch 19.3.2.1 Spectral Characteristics of Vegetation
Butterfly Biosphere Reserve (MBBR, near Mexico City) Understanding spectral characteristics called spectral
was demonstrated by Garica et al. (2016). Forest canopy signatures is vital for the identification of the features. Spec-
density was classified into five categories based on the ste- tral signatures are the major inputs for the visual and digital
reoscopic interpretation of a stereo pair of aerial photographs. processing of remotely sensed data for feature identification.
Five forest density categories identified and mapped in this The spectral signature of an object depicts variations of
study were as follows: 1, closed >75%; 2, semi-closed spectral absorption and reflectance with respect to the wave-
51–75%; 3, semi-open 26–50%; 4, open 10–25%; length of EMR. Several vegetation factors such as pigments
5, deforested <10% (Fig. 19.9) (Garcia et al. 2016). of plants, leaf water, plant cell structure, cellulose, lignin and
other biochemical constituents control spectral reflectance
characteristics of vegetation (Fig. 19.11) (Pu 2017). A typical
19.3.2 Satellite Remote Sensing Applications reflectance spectrum of a green leaf is divided into three
in Forestry regions: 1. 0.4–0.7 μm (visible region), 2. wavelength
between 0.7–1.3 μm (near-infrared region) and 3. wavelength
Since 1972, the availability of data from the first remote between 1.3 and 2.5 μm (middle-infrared region)
sensing satellite, Landsat-1, USA, space remote sensing has (Fig. 19.11).
become a popular and useful tool for forest resources assess-
ment and management. Forest types and characteristics
434 S. K. Saha

Fig. 19.10 Comparative example of different spatial resolutions of IRS satellite data (AWiFS, LISS-III, LISS-IV and LISS IV + CARTOSAT)
(source: Murthy and Jha 2010)

Fig. 19.11 A typical reflectance

spectrum of an oak leaf showing
characteristics of absorption and
reflectance features and the
vegetation factors causing
variations of reflectance in three
spectral regions (source: Pu 2017)

Visible (VIS region): Low reflectance is observed in the is the dominant contributing pigment in spectral absorp-
visible spectral region of the green plant reflectance spec- tion with spectral absorption peaks located near 420 nm,
trum. Low reflectance is due to the high absorption of 490 nm and 660 nm wavelengths. The absorbed radiation
visible radiation by different pigments of leaves such as in the visible spectral region is used for the photosynthetic
chlorophylls, carotenoids and anthocyanins. Chlorophyll process by the green plant. In green wavelength, there is a
19 Principles and Applications of Geospatial Technology in Forestry 435

small reflectance peak and because of this most plants NDVI is used to minimize the effects of variable illumination
appear green. In the case of high vigour vegetation, the levels by normalizing reflectances of RED and NIR bands. –1
spectral reflectance increases sharply in the transition zone to +1 is the range of values of NDVI. Positive values of
of red to near-infrared wavelength (660–780 nm). Gener- NDVI are observed in the case of vegetation and NDVI
ally, the inflexion point of the sharp increase of spectral value increases with an increase in vegetation greenness.
reflectance lies between 700 nm and 725 nm wavelength Other number of SVIs are also used for vegetation assess-
this inflexion point is called red-edge position and it is ment and monitoring. Empirical formulae for calculating
very effective for vegetation stress detection. these SVIs are presented below:
Near-infrared (NIR region): The healthy green vegetation
reflectance is high in the NIR region with a spectral Green difference vegetation index ðGDVIÞ = NIR–green
wavelength range from 0.7 to 1.3 μm. The reflectance in
the NIR region depends on the internal structure of leaves Green normalized difference vegetation index ðGNDVIÞ
and varies among plant species. For monitoring plant = ðNIR–greenÞ=ðNIR þ greenÞ
growth and development, the reflectance of this spectral
region is very useful. Volume scattering of NIR radiation Vegetation index green ðVIGÞ = ðgreen–redÞ=ðgreen þ redÞ
within green leaf internal intercellular spaces of spongy
mesophyll layer and air causes variations of spectral Global environmental monitoring index ðGEMIÞ = ή
reflectance in the NIR region. × ð1–0:25 × ήÞ–½ðred–0:125Þ=ð1–redÞ
Middle infrared (MIR region): Like the VIS spectral
region, the MIR spectral region also shows high spectral Green atmospherically resilient index ðGARIÞ
absorption. The vegetation factors responsible for strong = NIR–½green–ðblue–redÞ=NIR × ½green–ðblue–redÞ
absorption are the moisture content of plants and biochem-
ical constituents of leaves such as pectin, lignin and cellu- Vegetation atmospherically resilient index green ðVARIGÞ
lose, lignin. Plant leaf water content is strongly related to = ðgreen–redÞ=ðgreen þ red–blueÞ
the reflectance of MIR reflectance in the 1.3–2.5 μm spec-
tral region. Plant biochemical constituents contribute to Soil - adjusted vegetation index ðSAVIÞ
the reflectance in MIR in the spectral region of = ½ðNIR–redÞ=ðNIR þ red þ LÞ × ð1 þ LÞ
1.8–2.5 μm, when the green leaf dries up.
Modified soil - adjusted vegetation index ðMSAVI2Þ
19.3.2.2 Spectral Vegetation Index
An SVI is computed by combining reflectance data of several = 2 × NIR þ 1–√ð2 × NIR þ 1Þ2 8NIRred =2
remotely sensed spectral bands using simple mathematical
formulae. The significance of the use of SVI is to discrimi-
Green soil - adjusted vegetation index ðGSAVIÞ
nate vegetation features from other features by exploiting
= ½ðNIR–greenÞ=ðNIR þ green þ LÞ × ð1 þ LÞ
differences in the characteristics of spectral signatures of
green vegetation and other features. SVI is related to several
Transformed soil - adjusted vegetation indexðTSAVIÞ
vegetation parameters such as per cent vegetation cover, LAI,
green biomass, fractional absorption of PAR and carbon ½a × ðNIR–a × red–b=½a × NIR þ red–ða × bÞ þ X
=
dioxide fluxes. × 1 þ a2 
The simple ratio index and NDVI are the two popular
basic ratio vegetation index (RVI). Particularly, NDVI is where, NIR, red, green and blue are spectral reflectances of
used worldwide for the assessment and monitoring of vege- respective bands. ή = (2 × (NIR2 – red2) + 1.5 × NIR + 0.5 ×
tation conditions. The empirical formulae for calculating RVI red)/(NIR + red + 0.5), L = 0.5, a: the slope of the soil line, b:
and NDVI using near-infrared (NIR) and red (RED) spectral the intercept of the soil line, X: adjustment factor.
reflectance bands are given below: GEMI, GARI and VARIg are SVIs that minimize atmo-
spheric effects and are suitable for change detection studies in
RVI = NIR=RED; NDVI = ðNIR–REDÞ=ðNIR þ REDÞ vegetated landscapes. Whereas, SAVI, MSAVI2, GSAVI
and TSAVI remove soil background effects in SVIs and are
RVI value increases (>1) with an increase in vegetation effective for assessing vegetation greenness in sparse/open
greenness. Bare soils RVI show values closer to 1 due to vegetation cover conditions.
similar spectral reflectances in both RED and NIR bands.
436 S. K. Saha

19.3.2.3 Forest Type Mapping like closed and open forests, shifting cultivation/biotic
Both visual and digital analysis methods utilizing remotely factors affected forests and non-forests. Several
sensed data are used for mapping and monitoring forest/ researchers (cited by Unni 1983) found the usefulness of
vegetation and both methods have advantages and the visual method using FCC of Landsat MSS data for
limitations. Remote sensing analysis approaches for forest resources studies. NRSA (National Remote Sensing
classifying vegetation consider several criteria: identification Agency) in 1983 prepared a forest/vegetation cover map
of plant formation with respect to microclimate zone, charac- of India using a 1:one million Landsat following visual
terize each plant formation based on its physiognomy includ- method (Unni 1983).
ing life forms (without considering floristics), and division of Digital method: Digital multi-spectral remote sensing data
each plant formation into sub-formations according to the are digitally classified using both supervised and unsuper-
physiognomy of the sub-dominant vegetation by using field vised approaches for forest-type mapping. Supervised
sampling data. digital classification uses limited ground truth data to
derive training area statistical parameters for classifica-
Visual method: In the past remotely sensed satellite data of tion. Commonly, the maximum likelihood algorithm is
enlarged hard copy printout of FCC was used. Nowadays, used for digital supervised classification. Research studies
computer display-on-screen visual interpretation is showed that a hybrid digital classification approach com-
adopted. Image elements of tone/colour, texture, size, bining both unsupervised and supervised techniques
shape, shadow, pattern association and location are improves classification accuracy considerably (Kushwaha
applied to discriminate tree species. A tree crown in a and Unni 1989). In India, the first major forest cover types
forest stand produces a pattern, which is unique to many such as temperate, tropical and tropical semi-evergreen
species. Image shadow is useful for the identification of forests; tropical deciduous; pure and mixed bamboo;
species based on the profile of trees derived from the shifting cultivation; cultivated land and water bodies
shadow cast on the image. Temporal remote sensing data were mapped using Landsat digital data following digital
helps in the identification of species by studying the vari- classification in Nagaland (Unni 1983).
ation of tree appearance due to phenological changes in The choice of a suitable classification method depends on
different seasons in the year. the complexity of the study area, type of RS data and
Several forest vegetation parameters such as stand height, forest classification system. The appropriate seasons for
the diameter of the tree crown, the density of stocking and selecting satellite data for different forest regions of India
the area of the stand can be extracted by visual interpreta- are presented in Table 19.3 (Roy 1986).
tion of remotely sensed data. These parameters are being The incorporation of digital image-derived spatial features
used for the quantification of different parameters of forest such as texture or segmented images along with spectral
stands such as growing stock, carbon stock and vegetation data also improved classification accuracy (Lu et al.
biomass. Remote sensing estimated volume of timber of 2014a, b). In recent years, object-based image classifiers
individual trees or stands are empirically related with have been successfully used for detailed forest resource
ground measured sample plot level tree volume, biomass information extraction using higher spatial resolution sat-
and carbon mass. The developed empirical relationships ellite data (Machala and Zejdova 2014). Currently, for
are used for extrapolation to the large areas using remotely forest tree species identification and detailed land cover/
sensed data. land use inventories using high spatial resolution satellite
Forest Survey of India (FSI) in 1982 adopted a visual data, several advanced machine learning digital informa-
interpretation technique using remote sensing data to tion extraction algorithms are gained popularity and these
map large areas of forests in India into various categories algorithms are decision tree (DT), artificial neural

Table 19.3 Appropriate seasons in different vegetation zones and bio-climatic regions for studying vegetation covers (source: Roy 1986)
Sl. no. Region/vegetation zone Proper season
1. Humid and moist evergreen and semi-evergreen vegetation in western and eastern ghats January–February
2. Humid and moist evergreen and semi-evergreen vegetation of north eastern region February–March
3. Tropical moist deciduous vegetation of northern and central India December–January
4 Temperate evergreen vegetation of western Himalayas March–May
5. Temperature, subalpine, alpine evergreen and deciduous vegetation of Jammu & Kashmir September–October
6. Arid and semi-arid dry deciduous and scrub vegetation October–December
7. Tropical coastal mangrove vegetation February–March
19 Principles and Applications of Geospatial Technology in Forestry 437

networks (ANN), support vector machine (SVM), random Indian national forest cover map of 2019 prepared by FSI is
forest (RF) rule-based expert system, etc. (reviewed by presented in Fig. 19.13.
Xie et al. 2019). IRS black and white (PAN) and colour multi-spectral
(LISS IV) high spatial resolution sensors data were used for
19.3.2.4 Forest Crown Canopy Density Mapping forest crown density mapping with 20% intervals for forest
For quantification and monitoring of growing stock and division and micro level planning (NRSC). Currently,
forest cover, forest crown canopy density forms a vital sub-metre spatial resolution (<1 m) satellite data are being
parameter. Remotely sensed satellite data has been success- used for detailed forest crown-based information such as
fully used in India for the estimation of crown density from crown diameter, number of crowns and degree of overlap
1984 onwards. Since 1987, operationally FSI using remote and this information is valuable for micro-level monitoring
sensing techniques for the biannual cycle of forest cover and forest condition assessment. Both common parametric
mapping and monitoring changes across the entire country. and non-parametric digital classification techniques are used
The wall-to-wall mapping of forest cover is carried out fol- for forest crown canopy density. Commonly, parametric
lowing a hybrid approach of unsupervised digital classifica- supervised and unsupervised digital classification techniques
tion of satellite data. The technical persons from state forest and non-parametric classification methods, namely Nearest
departments are involved in the visual interpretation of RS neighbour (kNN), SVM and RM are adopted for mapping
data, evaluation of post-classified thematic maps, field data various forest attributes including forest crown canopy den-
collection in training areas (ground truth sites) and accuracy sity (reviewed by Abdollahnejad et al. 2017). The use of
assessment (Fig. 19.12). Digital IRS-LISS III sensor data several spectral vegetation indices, namely NDVI, RVI,
onboard Resourcesat 1 and 2 satellites are used for forest atmospherically resistance and soil-adjusted vegetation
cover mapping. index were investigated for forest crown canopy density
The criteria for classification and forest crown/canopy mapping (reviewed by Abdollahnejad et al. 2017).
density classes are presented in Table 19.4 (FSI 2019).

Fig. 19.12 Broad approach followed in forest cover mapping (source: FSI 2019)
438 S. K. Saha

Table 19.4 Criteria of classification of forest cover based on canopy density (source: FSI 2019)
Class Description
Very Dense Forest All lands with tree canopy density of 70% and above
Moderately Dense Forest All lands with tree canopy density of 40% and more but <70%
Open Forest All lands with tree canopy density of 10% and more but <40%
Scrub Forest lands with canopy density <10%
Non-forest Lands not included in any of the above classes (includes water)

Fig. 19.13 Forest cover map with crown/canopy density of India 2019 (source: FSI 2019)
19 Principles and Applications of Geospatial Technology in Forestry 439

Table 19.5 Spectral indices of the FCD model

Formula Explanation and practical uses
1
Advanced AVI = ½ðB4 þ 1Þð256 - B3ÞðB4 - B3Þ3 The use of power degree on NDVI enables AVI to be more sensitive to forest
vegetation index density and physiognomic vegetation indices
(AVI)
ðB4þB2Þ - B3
Bare soil index BI = ðB4þB2ÞþB3
It is the index prepared for analysing soils, in other words it can be used to
(BI) identify the difference between agricultural and non-agricultural vegetation
Canopy shadow SI = ð256 - B2Þð256 - B3Þ Evaluates the different shadow patterns, based on the structure, age, species
index (SI) distribution etc., by affecting the spectral responses each time
Thermal index – Source of info is the thermal band of thematic mapper sensor (band 6)
B2 green band, B3 red band, B4 near infra-red band, NDVI normalized difference vegetation index

Biophysical spectral response modelling (forest canopy time-consuming, labour-intensive, non-economical and more
density: FCD model): A semi-expert system: FCD uses a applicable for relatively small areas. Multiple spectral bands,
linear multi-parametric approach for the classification/group- different spatial resolutions and repetitive availability of
ing of forest crown canopy density. Four satellite-derived remote sensing data are very effective and cost-saving
spectral indices, namely advanced vegetation index (AVI), techniques for spatial estimation, mapping and change anal-
bare soil index (BI), canopy shadow index (CSI) and thermal ysis of forest AGB ranging from small to large both accessi-
index (TI) are used in FCD (Abdollahnejad et al. 2017, ble and non-accessible areas. However, field data of sample
Table 19.5). plots are essential for training and validation of remote
Chandrashekhar et al. (2005) compared the performance sensing-based AGB estimation techniques.
of the FCD model-derived forest crown canopy density map
in part of Doon Valley, Uttarakhand with conventional visual Biomass modelling: Several researchers developed diverse
interpreted and object-oriented image analysis maps. FCD modelling approaches for AGB estimation using a variety
gave comparable results as of other two methods and effec- of EO satellite data. Both direct and indirect modelling
tive for automated mapping of forest canopy density without approaches are applied for the estimation of forest AGB
ground truth information. Spatial map of five forest canopy biomass. Two major types of modelling approaches,
density classes (>80%, 60–80%, 40–60%, 20–40% namely are used for AGB estimation. In the direct
and <20%) and the non-forest class was generated using approach, remote sensing derived selected variables are
the FCD model and Lansat 7 ETM+ satellite data (for details, related to field-measured biomass. Whereas, the indirect
see Fig. 6, Chandrashekhar et al. 2005). approach, remote sensing derives forest biophysical
parameters using biomass estimation.
19.3.2.5 Forest Biomass Estimation Uses of field data in biomass estimation: All remote
The forest ecosystem acts as an environmental regulator by sensing-based AGB estimation models require accurate
reducing atmospheric greenhouse gas concentration field biomass data of ground truth sites. Field ground
transforming it into biomass and emitting oxygen through truth estimated biomass data are used in various ways in
the photosynthesis process. The majority of NPP remote sensing-based AGB modelling:
accumulates as biomass. The contribution of forests is very 1. Field-measured reference biomass data is used for the
vital in the terrestrial C (carbon) cycle and storing of C as identification of remote sensing-derived variables by
biomass. Biomass constitutes the total quantity of organic studying relationships between the variables and refer-
matter of living as well as dead plant parts above and below ence biomass data,
ground (FAO 2005). Spatial estimation of forest biomass is 2. Development of AGB estimation models using
useful for the calculation of terrestrial carbon flux, the pro- selected remote sensing derived variables and reference
ductivity of the forest, the quantity of energy available from field biomass data,
biomass, terrestrial carbon stock and sustainable forest 3. Evaluation of model estimate with other field-measured
planning and management (Pizana and Nunez 2016). Gener- biomass reference data set.
ally, above-ground forest biomass (AGB) is estimated due to 4. Assessment of error, uncertainty and identification of
difficulty in measurement and estimation of underground factors controlling the accuracy of estimation (Nandy
forest biomass. et al. 2019).
Conventionally, AGB is accurately estimated using allo-
metric equations developed for individual tree types and field Conventionally, three approaches, namely destructive
sample plots observations data such as tree height and trunk field sampling, development of allometric equations for indi-
diameter at breast height (DBH). However, this technique is vidual tree types and conversion of tree volume to biomass
440 S. K. Saha

Fig. 19.14 Spatial map of aboveground forest biomass carbon (C) of ECZ of Mexico City (source: Pizana et al. 2016)

are used for the computation of field biomass (details of 2004; Gomez et al. 2014; Kushwaha et al. 2014; Yadav
methodologies are given in Lu 2006). Stratified random and Nandy 2015). In a Mediterranean holm oak forest
sampling is adopted for the selection of ground truth sites in region, Ogaya et al. (2015) found a good correlation
remote sensing-based biomass studies. Remote sensing- between MODIS satellite-derived NDVI and EVI
derived maps of forest cover type and forest crown canopy (Enhanced vegetation index) and changes (increase or
density are used for stratification. decrease) of AGB. Yadav and Nandy (2015) showed the
superiority of the use of NDVI than spectral band reflec-
Regression model: Regression analysis using simple linear tance in SLR analysis for the estimation of forest AGB in
regression (SLR) and multiple linear regression (MLR) part of Swalik Himalaya and the prepared biomass map.
are the most common and widely used methods to esti- Pizana et al. (2016) used a multiple regression model and
mate biomass. Regression analysis involves the establish- SPOT 5-HRG satellite-derived spectral vegetation indices
ment of the empirical relationship between remote sensing as inputs and prepared a spatial map of the aboveground
derived, namely reflectance of spectral bands, spectral forest biomass carbon (C) (Fig. 19.14) in ECZ (Environ-
vegetation indices and image textural parameters as inde- mental Conservation Zone) of Mexico City covered by
pendent variables and the field sample plots measured sacred fir and Mexican mountain pine forests.
biomass as dependent variable. MLR uses more than one In several studies, image textural indices obtained from
independent variable with less correlation between inde- digital processing of remotely sensed data were success-
pendent variables. fully used as independent variables in regression models
Regression analysis of AGB estimation consists of three for AGB estimation (Sarker and Nicole 2011; Dube and
steps: measurement and estimation of field biomass in Mutanga 2015; Nandy et al. 2017). Grey-level-co-occur-
sample plots; development of regression equation rence matrix (GLCM) is one of the popular image textural
(model) between field estimated biomass as the dependent indices used for AGB modelling. GLCM of a digital
variable and remote sensing derived spectral independent image is computed by a moving window using the bright-
variables extracted from the image pixels of field plots; ness value of the individual pixel and the mathematical
and preparation of a map of biomass based on regression relationships exit with the brightness values of
model spatial predicted values of each pixel. neighbouring pixels.
Spectral vegetation indices, NDVI particularly have been The passive optical remote sensing-based biomass model
often used in regression models as independent variables performs well in low biomass forested areas because at
with results of varying successes. (Calvao and Palmeirim higher biomass the vegetation canopy spectral reflectance
19 Principles and Applications of Geospatial Technology in Forestry 441

gets saturated. So, linear regression models fail to predict and forest attribute parameters (Mountrakis et al. 2011,
biomass beyond the canopy reflectance saturation point. Marabel and Alvarez 2013). SVM is an ML algorithm
Therefore, for accurate estimation of biomass, several capable of producing higher accuracy than other nonpara-
nonlinear regression models such as logistic regression, metric approaches with small training sample data.
geographically weighted regression and power models Random forest (RF): The RF approach uses the classifica-
were often used (reviewed by Pizana and Nunez 2016). tion and regression tree (CART) digital classification
Nonparametric models: These are complex nonlinear method which generates a large spectral group using a
models suitable for biomass estimation at higher biomass random and number of iterations of selected sample data.
levels. These models are alternative to parametric regres- A large group for classification using a large number of
sion models and use the same remote sensing variables of decision trees is generated by RM through random and
regression analysis. Widely used nonparametric models iterative selection of sample data. Now RF algorithm is
are k-nearest neighbour (k-NN), artificial neural network extensively investigated for biomass estimation (Pizana
(ANN), random forest (RF) and support vector machine and Nunez 2016).
(SVM). Models using biophysical variables: Several studies used
k-Nearest neighbour (k-NN): In this approach, weighted remote sensing derived canopy structural variables like
mean values computed from a weighted distance of canopy fraction and crown cover for AGB assessment.
k-spectrally nearest neighbouring observations are applied Spectral mixture analysis (SMA) was employed for the
for the estimation of the target variable value (Lu et al. generation of green vegetation (such as leaves) fraction
2012). The accuracy of the k-NN approach depends on the images using multi-spectral remotely sensed data. In a
selected value of k and the choice of distance measuring case study from a Mediterranean pine forest, Manso
algorithms such as the Weighted function, Mahalanobis et al. (2014) showed improved estimation of biomass
and Euclidean. k-NN method is widely employed for the using SMA to derive green vegetation fraction than spec-
quantification of forest AGB, stock volume and different tral bands as an independent variable in a regression
forest attributes using remote sensing (Nandy et al. 2019). model utilizing ASTER satellite multi-spectral data.
Artificial neural network (ANN): ANN-based models can Object-based image analysis (OBIA) was performed on
solve complicated and nonlinear problems when analysis high spatial resolution satellite data (Quickbird) in a Med-
data is not normally distributed and the dependable vari- iterranean oak forest for the information extraction of
able forest AGB and independent variables remotely crown cover. The crown cover was regressed with field-
sensed spectral indices are not linearly related. It simulates measured biomass (R2 = 0.72) for spatial estimation of
the human brain’s thinking process using interconnected forest biomass with higher accuracy (Sousa et al. 2014).
neurons and processes the inputted information. Com-
monly, ANN consists of one data inputting layer, data
processing one or more than one layer and one layer for
output generation. Using complex mathematical 19.3.2.6 Forest Fire
functions, ANN is capable of handling data from multiple Forest fire adversely affects ecosystem dynamics by chang-
sources, namely remotely sensed spectral data and indices ing vegetation composition, altering soil quality and
and other non-remote sensing data as inputs for improved modifying hydrological regimes. Losses of human life and
quantification of forest AGB (Lu et al. 2014a, b). property are also associated with forest fires. High frequency
of forest fires contributes to climate change due to increased
emission of CO2, shoot and aerosols and destruction of CO2
In Barkot forest, Uttarakhand, the application of sink vegetation areas. Satellite RS is a very effective tech-
ANN-based optimization technique was demonstrated by nique for the prevention and management of forest fire
Nandy et al. (2017) for the selection of a number of remote through the creation of early warning for fire risk zonation,
sensing derived spectral and textural indices as independent mapping of fire contributing fuel, real-time monitoring of
variables for quantification of AGB (Fig. 19.15). IRS-LISS active fire propagation, assessment of burnt scars and moni-
III (Resourcesat-1) digital data was used to derive numerous toring of vegetation recovery after fire event.
spectral and textural indices. A high correlation (R2 = 0.74)
was observed between ANN-predicted biomass and field- Fuel mapping: Forestland fuel is an important factor that
estimation biomass. influences the risk, intensity and burn severity of fire.
Information on spatial variation of fuel is helpful in the
Support vector machine (SVM): It is an important remote identification of areas with high fire risk and control of
sensing-based method for the quantification of biomass fire. Fuel is mapped by fuel loading which is characterized
442 S. K. Saha

Fig. 19.15 ANN predicted spatial forest biomass (Mg ha-1) map (source: Nandy et al. 2017)

by dry weight of biomass per unit area. Remote sensing- conditions in Pike National Forest, Colorado. A rule-
derived inputs such as vegetation type, height, canopy based approach using satellite data was employed to clas-
cover and canopy live fuel moisture content are used for sify fuel types by combining parameters of type of vege-
fuel mapping. Digital classification (supervised and unsu- tation, crown canopy cover, tree height and environmental
pervised) and spectral vegetation (NDVI) are commonly site potential in the US LANDFIRE program. In different
used for fuel types mapping in forested areas (Riano et al. vegetation systems in south-eastern Australia, using
2002. Van Wagtendonk and Root 2003). Ji et al. (2020) MODIS satellite-derived visible atmospherically resistant
used spectral mixture analysis of satellite data to derive index (VARI) and NDVI, regression models were devel-
photosynthetic and non-green/dry vegetation and barren oped for quantification of real-time fuel moisture content
soil surface fractions for mapping and characterizing fuel (Caccamo et al. 2012).
19 Principles and Applications of Geospatial Technology in Forestry 443

Active fire detection: Real-time active fire detection is vital NBR = ðNIR–SWIRÞ=ðNIR þ SWIRÞ
for fire risk assessment, and containment and provides
alerts to minimize losses. Remote sensing is effective for Bare ground and recently burnt areas show low values of
providing information on spatial distribution and develop- the NBR index. The high values of the NBR index indi-
ment of fire. Various satellite remotely sensed data are cate healthy/highly vigorous vegetation. Normally, NBR
being used for the detection of active fire. Remote sensing index values close to zero indicate non-burnt areas. This
data from the AVHRR sensor onboard NOAA and sensor index was tested for burnt area assessment in various
onboard Terra and Aqua are used worldwide for detection forested areas in the world (Szpakowski and Jensen 2019).
and monitoring real-time active fire detection. Since 1981, Conventionally, burn severity is measured using a field
AVHRR sensor bands 3 SWIR (3.5–4 μm) and 4 TIR data-based composite burn index (CBI). CBI estimation is
(10.5–11.5 μm) have been used for active fire detection time-consuming and requires physical visits to burnt
and monitoring until the launch of MODIS sensors areas. Remote sensing-based assessment can overcome
in 1999. these problems. Commonly two satellite-derived spectral
MODIS provides improved and more accurate fire detec- indices, namely NDVI and NBR have been employed.
tion than AVHRR by using algorithms capable of remov- Widely, changes in values of NBR (dNBR) during pre
ing various false alarms other than fire. Recently available and post-fire are applied for the assessment of the severity
1 km ‘fire pixels’ 6 MODIS fire product uses several of the burn (Fig. 19.16, reviewed by Szpakowski and
spectral bands such as red (band1) NIR (band 2), SWIR Jensen 2019). MODIS satellite-derived land surface tem-
(band 7), TIR (band 21, 4 μm), TIR (band 22, 4 μm), TIR perature (LST) and land surface albedo have been suc-
(band 31, 11 μm) and TIR (band 32, 12 μm). Removal of cessfully used by several researchers to estimate burn
cloud cover, rejection of sun glint and coastal false alarms severity (Jin et al. 2012; Veraverbeke et al. 2012;
in MODIS images are performed by use of spectral data of Quintano et al. 2015). The effective use of the digital
bands 1, 2 and 7. Fire detection is done by use of spectral spectral mixture analysis (SMA) technique was
data of bends 21, 22 and 31. While cloud masking is investigated by Quintano et al. (2013) and Tane et al.
performed by use of spectral data of bands 31 and 32. (2018) for the detection and mapping of the severity of
Rejection of false alarms of cleared forest areas is done by the burn.
use of spectral data of band 31. A large number of Post-fire vegetation recovery assessment: Assessment and
countries in the world are using AVHRR and MODIS monitoring of post-fire recovery of vegetation are impor-
satellite sensors derived from active fire products in rou- tant for studying the long-term impacts on ecosystem
tinely monitoring forest fires daily basis (reviewed by functions and services. Conventionally, field-based moni-
Szpakowski and Jensen 2019). toring and assessment are carried out for post-fire vegeta-
Burnt area and burn severity assessment: Reliable tion recovery. RS from a satellite platform is a rapid and
estimates of the spatial extent of burnt area and severity economical technique for assessing vegetation recovery in
are needed for rehabilitation planning, assessment of gas large areas compared to the field-based method. Three
and particulate matter emissions and calculation of eco- remote sensing-based approaches are in use for the assess-
nomic and environmental cost of fire. Multi-level (local, ment of post-fire vegetation recovery and these are
regional and global) detection and mapping of fire burnt (1) supervised and supervised digital image classification,
areas are efficiently done with the use of multi-spatial (2) spectral vegetation indices and (3) digital spectral
remotely sensed data. Digital change detection techniques mixture analysis (SMA).
such as NDVI and image differencing using pre and post- Both supervised and unsupervised classification methods
forest fire periods high-to-moderate spatial resolution using proper ground training data were used for studying
(<100 m) satellite data are found effective in local level the effects of severity of burn on post-fire recovery of
burnt area mapping (Silva et al. 2005; Bastarrika et al. vegetation. Application of the object-based image analysis
2011) Coarse spatial resolution satellite data derived (OBIA) method using high spatial resolution satellite data
active fire products are found suitable for detection, was also attempted for the assessment of post-fire recov-
mapping and monitoring of burnt areas at regional and ery of vegetation (Szpakowski and Jensen 2019). Spectral
global scales. Several global satellite-derived burnt area vegetation indices such as NDVI, SAVI and MSVI
products are currently available, and the MODIS-MCD64 (modified SVI) have been commonly used for assessing
product was found to be the most accurate (Szpakowski vegetation recovery via estimate of ecological variables
and Jensen 2019). Giglio et al. (2009) developed a spectral such as LAI, NPP and proportion of vegetation cover
normalized burn ratio (NBR) index for burn area mapping (reviewed by Szpakowski and Jensen 2019). Several
using MODIS 1 km data. NBR is expressed as: researchers found high agreement with SMA-mapped
444 S. K. Saha

Fig. 19.16 Forest fire burn severity map prepared by using satellite-derived dNBR data (source: Szpakowski and Jensen 2019)

vegetation recovery using various kinds of satellite data and insects by assessing forest biophysical and biochemical
and field sampling information (reviewed by Szpakowski parameters.
and Jensen 2019). Infected damaged trees have characteristic symptoms,
namely discoloured foliage, defoliated canopy and reduced
moisture, compared to healthy trees. Multi-spectral satellite-
derived various spectral vegetation indices, namely distur-
19.3.2.7 Forest Damage by Diseases and Insects bance index (DI), NDVI, EVI, normalized difference mois-
Various pathogens such as bacteria, fungi, viruses and ture index (NDMI) and enhanced wetness difference index
helminths cause diseases in forests. Defoliators feeding on (EWDI) were used by researchers to assess and monitor
leaves and barks, and bark/wood borers are the dominant diseases and insect infestation damages of forest (reviewed
insects that attack forests. The frequency and intensity of by Chen and Meentemeyer 2016). For example, Coops et al.
infestation of diseases and insects causing forest disturbances (2009) applied digital thresholding of Landsat-derived NDMI
have extensively increased in the past few decades due to for mapping tree damage due to beetle attacks and post
climate changes. Mitigating the destructive impacts of attacks regrowth of forest vegetation. MODIS-derived 1 km
diseases and insects is vital for sustainable forest manage- spatial resolution DI change was also used by Coops et al.
ment. Temporal satellite remote sensing data is a very useful (2009) to detect infested forested areas. EWDI and NDVI
tool for monitoring varying stages of outbreaks of diseases derived from Landsat TM satellite data were successfully
utilized for the identification and mapping of infested forest
19 Principles and Applications of Geospatial Technology in Forestry 445

patches respectively (Skakun et al. 2003 and Olsson et al. preparation of treatment plan; treatment based plan for felling
2012). of series and coupes; finding suitable sites for coupe
Digital image classification methods using a variety of operations and specific treatment; marking grazing closure
satellite data and algorithms such as supervised maximum zone and identification of fire control areas, etc. (NRSC
likelihood classification (MLC), SMA and machine learning 2010).
(SVM and RF) were attempted by several researchers to map GIS-based spatial modelling is used to prepare treatment
disease and insect outbreaks in the forest (Radeloff et al. type maps by integration of spatial maps of slope, drainage,
1999; Walter and Platt 2013; Adelabu et al. 2014; Long forest density, forest type and forest plantation based on
et al. 2023). Landsat 8 OLI satellite-derived time series weightage given based on specific criteria of each treatment.
normalized difference forest index (NDFI) and random forest Generally, forest working plans require several kinds of
digital classification were employed for monitoring pine wilt suitability analysis for identifying potential areas of planta-
disease in the Anhui province of China (Fig. 19.17, Long tion, afforestation, reforestation, meadow development, gap
et al. 2023). filling, water harvesting soil conservation structures, etc. GIS
Statistical regression models, namely multiple linear also helps in the preparation of a suitability map based on the
regression and logistic regression have been shown useful potentials and limitations of soil, terrain and vegetation
for identifying and mapping damaged forests. In several qualities of each forest compartment (Fig. 19.18). Com-
research studies in regression models variety of satellites monly, GIS-aided multi-criteria decision analysis (MCDA)
derived parameters, namely reflectance of spectral bands, technique is applied for suitability analysis following the
spectral vegetation indices and terrain variables were statisti- guidelines included in a working plan.
cally related with ground truth sites measured with forest MCDA is a spatial data analysis method which handles
diseases and pests damage parameters, namely intensity of several types of available criteria while making a decision.
defoliation, basal area, LAI, leaf nitrogen and plant growth Based on prior set objectives and criteria, MCA provides
vigour, chlorophyll and water content of foliage (reviewed by multiple solution options to be chosen based on ranking
Chen and Meentemeyer 2016). order of suitability (gispeople.com 2020). In the east Melghat
forest division, Maharastra, Varghese and Krishna Murthy
(2006) used IRS LISS III satellite data and GIS for site
19.3.3 Geographic Information System suitability analysis as one of the tasks of preparing a working
Applications in Forestry plan (Fig. 19.18).

19.3.3.1 Forest Working Plan Preparation 19.3.3.2 Forest Fire Management

and Revision Forest fire risk/hazard zonation, simulation of fire growth/
Scientific forest management is done through working plans. spread and development of fire information systems are the
Working plans are important for the evaluation of current major areas of applications of GIS in forest fire management.
conditions of different attributes of the forest, studying the
effects of past practices of forest management and making Forest fire risk zonation: Various GIS-based simple and
decisions on the adaptation of suitable planning strategies to advanced spatial modelling approaches such as index
achieve the objective of sustainable forest management. In weighted overlay, AHP (Analytical Hierarchy Process),
India, forest division is the basic unit for the preparation of logistic regression, fuzzy logic, ANN and data mining are
forest working plans. A forest working plan is prepared with being used in forest fire risk mapping/zonation. Several
forest division-wise collected 5–10% of field data within the parameters, namely fuel and vegetation conditions, topog-
time frame of 1–2 years and revised once in 10 years. raphy (slope, aspect, elevation), weather (temperature,
Various spatial inputs of forest parameters required for the humidity, wind speed, rainfall) and proximity to settle-
preparation of a forest working plan can be derived by inte- ment/infrastructure are required as inputs in the fire risk
gration of data from GIS, remote sensing and forest mensu- model.
ration data measured in the field. GIS is very useful for the The spatial model result is a map showing fire risk zones
creation of spatial and non-spatial digital databases of forest with low to very high fire risks. Forest fire risk modelling
working plan entities and the development of a decision satellite remote is primarily used to derive land cover and
support system (DSS) which could make the job of forest DEM, assessment of vegetation condition using spectral
manager very easy and efficient. Presently, GIS is being used vegetation index (NDVI) and validation of the model to
with cost-effective, time-saving and greater accuracy than the derive a fire risk zonation map. Vegetation types are
conventional method in various aspects of forest working related to fuel types and characteristics. GIS-based spatial
plans such as updating administrative boundaries of the for- modelling approaches (logistic regression, AHP, index
est; preparation of forest stock map; zoning working circles; weighted overlay) and satellite-derived parameters were
446 S. K. Saha

Fig. 19.17 Pine wilt disease severity map of 2018 to 2021, Anhuli province of China (source: Long et al. 2023)

used by Yathish et al. (2019) to generate a map showing map of Grand Teltom National Park, WY, USA by
varying potential fire risks of Kudremukh National Park. GIS-aided integrated analysis using inputs of fuel,
Szpakowski and Jensen (2019) prepared a forest fire risk
19 Principles and Applications of Geospatial Technology in Forestry 447

Fig. 19.18 Site suitability map

of East Melghat forest division
(source: Varghese and Krishna
Murthy 2006)

moisture, slope, aspect, distance from roads, proximity to terrain parameters (slope, aspect and elevation), forest
settlements and elevation (Fig. 19.19). understory fuel conditions, forest vegetation parameters
Forest fire growth simulation modelling: Currently, (canopy height, crown bulk density, crown base height
FIRESITE a fire area simulator model is commonly used and canopy cover) and weather parameters (humidity,
for simulating fire spread/growth (Szpakowski and Jensen wind speed, cloud cover, minimum and maximum
2019). The various kinds of input data used in this model temperatures and wind direction).
are terrain parameters, weather variables including wind Forest fire information system: Forest Survey of India (FSI)
speed and direction, and fuels. This 2D fire growth model developed a forest fire web GIS geoportal named ‘Van
integrates several sub-models such as forest ground sur- Agni 1.0’ for user-friendly interactive visualization and
face fire, forest crown fire, spotting, post-frontal combus- extraction of forest fire-related information (Fig. 19.20).
tion, and forest fire acceleration (www.firelab.org/project/ This portal provides information on near real-time forest
farsite 2020). The model uses a variety of inputs such as fire data and large forest fire events along with other
448 S. K. Saha

Fig. 19.19 Map showing

different zones of potential fire
risk (Grand Teltom National Park,
WY, USA) (source: Szpakowski
and Jensen 2019)

thematic layers such as forest administrative boundaries, remote sensing techniques. These parameters along with
forest cover and forest type. additional information on the closeness of disturbances
sources and grazing pressure are used in GIS-supported spa-
19.3.3.3 Wildlife Habitat Evaluation tial modelling for habitat suitability analysis of specific spe-
Wildlife survival resources, namely food, cover, water and cies of wild animal. Several GIS-based spatial modelling
terrain are provided by the habitats. Wildlife habitat evalua- methods such as weighted index overlay, AHP, logistic
tion helps in various conservation practices such as habitat regression and ecological niche factor analysis were
restoration conservation and endangered species reintroduc- evaluated by several researchers for habitat suitability analy-
tion, prediction of threat to invasive species, scientific con- sis for a variety of wild animals (Porwal et al. 1996;
servation planning, assessment of risks and identified Kushwaha and Roy 2002; Dash et al. 2015; Sanare et al.
priorities of conservation (Guiming 2019). GIS-based habitat 2015; Ahmad et al. 2018). AHP-based GIS modelling tech-
suitability analysis is a widely used approach for the assess- nique was applied in the Sarnanda forest division, Jharkhand
ment of conditions of habitat resources. All the wildlife state for the generation of a wildlife habitat suitability map
habitat resource parameters spatially could be derived using for the dominant wild animals available in the forest division
19 Principles and Applications of Geospatial Technology in Forestry 449

Fig. 19.20 FSI forest fire web GIS geoportal (source: fsi.nic.in/forest-fire-activities 2020)

Fig. 19.21 Wildlife habitat

suitability map of Saranda forest
division (source: Ahmad et al.
2018)
450 S. K. Saha

(Ahmad et al. 2018) (Fig. 19.21). Satellite remote sensing 50,000 scale-type of vegetation, fragmentation, disturbance
derived several habitat resource parameters, namely forest index and biological richness and 16,000+ sample plots spe-
cover, cultivated land, human settlement, forest fire risk cies phytosociological database (Fig. 19.22, https://bis.iirs.
zones, roads, river and drainage networks and mining areas gov.in/).
used in this analysis. Several patches of forest and non-forest and the total
number of patches per GIS analysis grid cell
19.3.3.4 Indian Biodiversity Information System (500 m × 500 m) data extracted from satellite interpretation
India with a diverse richness of flora and fauna, threats to vegetation cover map are used for the computation of frag-
endangered species, complexity of biological resources and mentation. Linear combination of several landscape matrices
vast areas of inaccessible terrain needs reliable baseline data such as fragmentation, porosity, juxtaposition and intersper-
on biodiversity with the use of RS, GIS and GNSS sion is used for the generation of a spatial map of disturbance
technologies. A web GIS-based BIS is developed for priori- index (Roy et al. 2012). While a linear function disturbance
tization, conservation and bio-prospecting. BIS is part of index, the richness of species, the value of biodiversity,
‘National Biodiversity Characterization at Landscape ecosystem uniqueness and complexity of terrain are used
Level’, a joint project sponsored by the Department of Bio- for the computation of landscape-level biological richness
technology and the Department of Space to identify and map (Roy et al. 2012). A software package named Spatial Land-
India’s rich biodiversity areas. BIS provides three major scape Model (SPLAM) (Fig. 19.23) was developed for the
types of information, namely satellite-derived thematic computation and preparation of spatial maps of these
maps of type of vegetation and geolocations of road, village parameters (Roy et al. 2012).
and occurrences of forest fire; GIS analysed data on distur-
bance index, fragmentation, biological richness; and 19.3.3.5 Indian Bio-Resources Information
geolocation tagged field samples plots data. The major data Network
available for the whole of India in BIS for visualization and Department of Biotechnology (DBT), Government of India,
decision-making are spatial information and data on 1: in 2012 launched a geo-portal named IBIN to provide a

Fig. 19.22 Snapshot of BIS (https://bis.iirs.gov.in/, 2020)

19 Principles and Applications of Geospatial Technology in Forestry 451

Fig. 19.23 Geospatial model for biodiversity characterization using SPLAM (source: Roy et al. 2012)

digital database of the bio-resource of the country. The IBIN 19.3.4 Applications of Advanced Remote
is a single-window digital portal (www.ibin.gov.in) for Sensing Techniques in Forestry
accessing a variety of India’s bio-resources: plant, animal,
marine and microbial (Fig. 19.24). 19.3.4.1 Microwave Remote Sensing
The scientific information/data collected by a large num- In the past decades, microwave RS with active RADAR
ber of researchers representing 150 institutions are collated imaging systems operating in the wavelength range from
inputted and organized in the IBIN portal. IBIN is planned to 1 cm to 1 m of EMR has gained importance in applications
provide India’s bio-resources information to the user in forestry. Microwave RS offers several benefits compared
communities involved in bioresources conservation, to visible and infrared RS such as all-weather imaging and
biological prospecting, protection of biopiracy and marketing surface penetration capability, sensitivity to objects’ moisture
(Saran et al. 2019). content and surface conditions (roughness). Synthetic
452 S. K. Saha

Fig. 19.24 IBIN web portal (source: www.ibin.gov.in)

aperture radar (SAR) sensor system is widely used in radar discrimination of objects by detecting various kinds of scat-
remote sensing. Airborne and satellite SAR RS systems tering mechanisms such as surface, volume and double
commonly operate in C-band (λ = 3.75–7.5 cm), X-band bounce. SAR interferometry records the difference of phases
(λ = 2.4–3.75 cm), L-band (λ = 15–30 cm) and P-band of microwave radiations recorded by the SAR imaging sensor
(λ = 30–100 cm) with increasing order of penetration capa- system from two closely spaced positions. The measured
bility. Radar systems transmit microwave radiation towards phase difference is related to the height of the object through
the surface area of interest and detect the return signal geometry.
backscattered by the object. The magnitude of backscattered Foliage and branches are the dominant factors that control
signal depends on surface properties, namely roughness and the SAR backscattering from forested areas. Canopy archi-
dielectric constant (vary with moisture content). In the case of tecture and dielectric constant of the canopy change with
forest vegetation, volume scattering within the forest stand vegetation type, phenology and conditions, which change
dominantly contributes to radar backscatter. During the last the radar scattering. Use of SAR data from various satellites
decade, both air-borne and space-borne SAR systems with such as Seasat SAR, shuttle imaging radar (SIR)-B, SIR-C/X,
different frequencies have been used for various applications earth resource satellite (ERS)-1 and 2, Japan earth resource
in forestry. Recently, emerging techniques of Polarimetry satellite (JERS), environmental satellite (ENVISAT),
and Interferometry enhanced SAR applications in forestry. Advance SAR (ASAR), Radar satellite (RADARSAT)-1
A polarimetric SAR (PolSAR) system measures the elec- and 2, and recently advance land observing satellite
trical field as well as the polarization state of the return (ALOS), phase array type L band SAR (PALSAR), Sentinel,
backscattered signal from the scene. The polarization of the etc. was investigated in boreal, temperate and tropical forest
transmitted wave transforms after interaction with objects of ecosystems.
the scene. PolSAR remote sensing systems depending on the Vegetation parameters such as biomass, tree density and
sensor design and mode of acquisition, collect surface back- tree volume are significantly related to radar backscatters at P
scatter data in two same polarizations (HH and VV) and two and L longer wavelengths having tree crown penetrating
cross polarizations (HV and VH) combinations (H: horizon- capability. Shorter wavelength radar such as C and X bands
tal and V: vertical polarizations). The polarization of the do not penetrate tree crowns due to dominant surface scatter-
backscattered wave depends on the polarization of the trans- ing and are therefore suitable for forest cover types and
mitted wave as well as the scattering characteristics of the deforestation mapping (Fig. 19.25). Recently, PolSAR
imaged objects. PolSAR technique enhances the microwave remote sensing became popular in forest biomass
19 Principles and Applications of Geospatial Technology in Forestry 453

Fig. 19.25 Different scattering

components from a forest (C:
backscatter from the crown; CG:
interaction of crown-ground; G:
direct backscatter from the
ground; GCG: multiple scatters
from ground-crown-ground; TG:
interaction of trunk-ground)
(source: Das 2017)

estimation. Several research studies found that PolSAR cross Spectral angle mapper (SAM): The spectral matching tech-
polarizations (HV and VH) backscatters from all microwave nique is a popular method of forest species discrimination
wavelengths or frequencies are highly correlated with forest and mapping. SAM match spectral patterns of pixels with
biomass in comparison to backscatters of the same polariza- reference spectra of forest species as end members. The
tion bands (VV, HH) (Mohan 2013). spectral mixing analysis method is also used for quantifying
ALOS-PALSAR L band SAR, HV polarization backscat- the fraction of each species within the hyperspectral image
ter significantly related with the field aboveground biomass pixel (Darvishefat et al. 2002).
(AGB) in central Indian deciduous forest and the developed The boreal species signatures were acquired from a CASI
empirical model used spatial mapping of AGB (Thumaty hyperspectral sensor with 56 bands from 498 to 916 nm. The
et al. 2016). The extended water cloud model (EWCM) temperate forest signatures were acquired with the European
using ALOS-PALSAR L band PolSAR satellite data as Space Agency’s HyPlant instrument, with 629 bands from
input was successfully employed by Kumar et al. 2019 for 380 to 2537 nm (Buddenbaum et al. 2005). Aerial
the retrieval of forest AGB of Dudhwa National Park, India hyperspectral remote sensing AISA sensor data was used
and the spatial forest AGB map is shown in Fig. 19.26. for tree species classification and mapping (Fig. 19.28)
using two non-parametric classification methods, namely
19.3.4.2 Hyperspectral Remote Sensing SVM (Support Vector Machines) and RF (Random Forest)
Hyperspectral RS simultaneously acquires images with a in forests of Muir Woods National Monument and Kent
large number of spectral bands and high spectral resolution. Creek Canyon, California, USA. More than 90% accuracies
Continuous spectra of objects are generated from the were achieved in tree species classification and mapping
hundreds of spectral bands data with a narrow bandwidth (Ballanti et al. 2016).
(5–10 m) recorded by the hyperspectral RS sensors. Identifi- Quantification of forest foliar chlorophyll content is a very
cation/discrimination of objects and quantification of bio- popular application of the use of hyperspectral narrowband
physical/biochemical/geophysical parameters can be spectral indices. Commonly two hyperspectral narrowband
effectively done with the spectral signatures derived from spectral indices, namely TCARI/OSVAI (Transformed chlo-
hyperspectral RS data. Most of the hyperspectral RS sensors rophyll absorption in reflectance index/optimized soil-
detect and record spectral data in VIS, NIR and SWIR adjusted vegetation index) and MTCI (MERIS terrestrial
regions of EMR with wavelengths ranging from 350 nm to chlorophyll index) are used for chlorophyll content estima-
2500 nm. For example, hyperspectral spectral signatures of tion. Physically based radiative transfer modelling
the dominant tree species of the USA Harvard temperate approaches were also applied for the quantification of foliar
forest area are shown in Fig. 19.27 (Chaity and Aardt 2024). chlorophyll content. Canadian hyperspectral RS sensor
Several research studies reported the usefulness of called, Compact Airborne Spectrographic Imager (CASI),
hyperspectral RS in improved identification and mapping of 72 narrow bands spectral data were used as inputs in canopy
forest species. The sensitivity of hyperspectral indices to radiative transfer model for estimation of canopy level chlo-
foliar pigments forms the basis for discriminating between rophyll content in boreal forest, Ontario. The model-
canopy species in forested landscapes (Thomas et al. 2019).
454 S. K. Saha

Fig. 19.26 EWCM-derived

forest AGB map of Dudhwa
National Park, India (source:
Kumar et al. 2019)

estimated map of foliar chlorophyll content is shown in Several forest structural parameters, namely the height of
Fig. 19.29 (Zhang 2012). the canopy, AGB, sub-canopy topography and the vertical
distribution of canopy structure can be estimated using Lidar
19.3.4.3 Lidar Remote Sensing RS data (Rai 2022). By calculating the difference in
Lidar is an acronym for light detection and ranging. Lidar elevations of the first and last returns of the lidar signal, the
performs remote sensing with the transmission and detection canopy height is calculated. Canopy height is an important
of laser light. Lidar is an active RS technique like radar and biophysical variable because it is strongly related to vegeta-
its sensors record the two-way travel times for a laser pulse tion height. Successful use of lidar RS for retrieval of canopy
from sensor to target and from target to sensor. The incident heights in different forests such as temperate deciduous,
pulse of energy of lidar in the NIR wavelength reflects from tropical wet, pine and Douglas fir reported by Dubayah and
the canopy, branches, trunks and understory and the return Drake (2000). Waveform images related to the vertical distri-
energy is detected by the sensor. The distance or range of the bution of the canopy structure can be generated by recording
object from the sensor is determined by the estimation of the both the return signals from the top of the canopy and the
return trip travel of the pulse of energy from the target to the ground with large-footprint lidar systems. Vertical distribu-
sensor. So, ‘Laser altimetry’ is also synonymous with lidar. tion of canopy structure is an important parameter for the
19 Principles and Applications of Geospatial Technology in Forestry 455

Fig. 19.27 Hyperspectral spectral signatures for selected forest species of the Havard forest (source: Chaity and Aardt 2024)

quantification of AGB and prediction of the successional data mining/object-based classification/artificial intelli-
state of a forest. Lidar-derived heights are highly related to gence (AI)/machine learning (ML) etc.;
AGB for various types of forests (Dubayah and Drake 2000). 4. availability of GIS-aided multi-sources data integration
Lidar-derived canopy height is also useful for the estimation and spatial analysis methods for decision-making and
of tree mean stem diameter and basal area (Drake et al. 2002). management planning.
Dhanda (2017) used ICESat/GLAS lidar satellite data-
derived parameters for the computation of forest height and Operationally and successfully classification and mapping
GB. The height of the forest and AGB were predicted with of various forest types and densities are being carried out
RMSE of 1.35 m and 13.9 Mg ha-1. Airborne lidar data was using moderate spatial resolution optical remote sensing data
evaluated by Lee and Lee (2018) for spatial estimation of (e.g. IRS LISS III, Landsat TM/ETM+) following common
forest height (Fig. 19.30). digital supervised, unsupervised and hybrid classification
approaches. However, for forest species and detailed crown
density mapping and crown-based information extraction
19.4 Conclusions with reliable accuracies, high spatial resolution satellite data
and advanced object-based and machine learning digital
Applications of geospatial technology consist of remote sens- information extraction algorithms are to be employed.
ing; GIS and GNSS are rapidly growing in various areas of Remote sensing technique established as an effective tool
forestry. This trend is attributed to the mentioned factors: for estimation of aboveground ground forest biomass with
reasonable accuracy compared to labour-intensive, costly and
1. increase the availability of multi-sensors (optical, micro- time-consuming conventional ground-based methods. Multi-
wave, hyperspectral, lidar) satellite data with enhanced spectral remote sensing derived spectral vegetation indices
multi-spatial and multi-spectral, high radiometric and (SVI) have been used as independent variables in simple
multi-temporal resolutions; linear parametric models for spatial estimation of AGB with
2. availability of new spectral indices using multi-sensors results of varying successes. However, research studies
remote sensing data related to different forest biophysical showed that at high forest biomass levels, simple parametric
and structural parameters; models are not suitable, instead use of nonparametric nonlin-
3. development of advanced large remote sensing data (spa- ear models using the same SVI variable was found useful and
tially and/or temporally) processing techniques, namely more accurate.
456 S. K. Saha

Fig. 19.28 Tree species

distribution maps: SVM
classification method (top) and
RM classification method
(bottom) (source: Ballanti et al.
2016)

Currently, high temporal and coarse spatial resolutions resolution and at present this kind of satellite remote sensing
satellite data (e.g. MODIS, NOAA) are being operationally system is not available. Multi-spectral satellite-derived spec-
used for real-time active forest fire detection, mapping and tral indices like NBR and NDVI were found useful for the
monitoring at regional and global levels. However, real-time estimation and assessment of burnt area and post-fire vegeta-
local-level detection and monitoring of small-scale forest tion recovery with desirable accuracies. Methodologies of
fires require geostationary satellites with high spatial other important information required for effective forest fire
19 Principles and Applications of Geospatial Technology in Forestry 457

management such as mapping of fuel types and burnt severity

assessment are evolving.
Multi-spectral satellite-derived vegetation indices have
shown potential for the identification and mapping of
insect/disease-infested forest patches. Although, several
advanced digital classification techniques such as SMA,
SVM and RF were attempted using multi-spectral satellite
data to map disease and insect outbreaks in forests, effective
operational technique(s) are yet to be developed.
Presently, GIS has been successfully used for the creation
of digital databases (spatial and non-spatial data) required for
forest working plans and the development of decision support
systems (DSS) through integrated spatial analysis using
multi-source data including remote sensing-derived informa-
tion. GIS-based various spatial modelling approaches
showed potential applicability for forest fire risk zonation,
simulation of fire growth/spread and wildlife habitat
evaluation.
GIS is the only well-established tool for the development
of geoportal for geo-web services for efficient access to forest
resources and management information. In India, several
geoportals such as the biodiversity information system
(BIS), Van Agni (forest fire) and Indian Bio-resource Infor-
mation System (IBIN) related to forestry sectors are in oper-
ation. These digital information systems are developed using
geoinformatics technologies.
Advanced remote sensing techniques, namely microwave,
Fig. 19.29 Spatial map of forest canopy chlorophyll content for three
vegetated cover types (source: Zhang 2012)
hyperspectral and lidar have shown usefulness in improved

Fig. 19.30 Forest height map

derived by airborne Lidar (source:
Lee and Lee 2018)
458 S. K. Saha

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 Forest Certification for Promoting Responsible
Forest Management 20
Manmohan Yadav and Dharmendra Dugaya

Abstract confidence to environmentally conscious consumers that

The criteria and indicators (C&I) approach to sustainable the forest products they are buying have been sourced
forest management (SFM) has emerged since the climate from sustainably managed forest areas with documented
change debate began in the late 1980s and early 1990s. proof of sustainability. When combined with a chain-of-
The International Tropical Timber Organization (ITTO) custody (CoC) verification, the certification allows the
was the first to introduce 8 criteria and about 45 indicators establishment of traceability of the product, confirming it
for the sustainable management of tropical forests in 1992. has been derived from a particular certified forest area.
Since then, some 11 processes have been developed glob- Such products can carry an eco-label or the logo of the
ally, each catering to the contextual relevance of a specific FSC as proof of such a claim.
region or forest type. One such initiative is that of the dry The second global forest certification system which is
forests in Asia regional initiative for developing and in practice is the Program for Endorsement of Forest
implementing national level C&I for the sustainable man- Certification (PEFC), which mutually recognizes the
agement of dry forests in Asia. Also known as the national forest certification schemes that aim to harmonize
Bhopal-India Process, this initiative of nine countries in the global forest certification standards with those of
Asia developed 8 criteria and 49 indicators for sustainable national forest certification standards. PEFC has accorded
management of dry forests in Asia. mutual recognition to about 50 national forest certification
Forest certification emerged as an eco-label to provide schemes, the majority of which are in Europe. Globally
a market link between responsible/sustainable forest man- about 13% of forest area is certified under these two
agement practices and green consumers. Forest certifica- certification schemes.
tion as a possible market-based tool has its foundations in Non-timber forest products (NTFPs) are very important
controlling deforestation on the one hand and enhancing forest resources for the local forest-dwelling communities
the social and environmental values of forests, mainly as a source of food, medicine, and income. NTFPs are also
those of tropical rainforests, on the other hand. a rich biodiversity pool for the global community and
Forest Stewardship Council (FSC) emerged as the first important raw materials for natural products such as con-
international forest certification in 1993 for responsible sumer personal care products, food supplements, and tradi-
forestry practices aimed at promoting environmentally tional health remedies. Forest certification for NTFPs,
sound and socially beneficial forestry. In this process, hence, is understood as a means of protecting NTFP
forest management practices are evaluated and verified resources by promoting responsible and improved manage-
against a set of standards by an external independent ment practices. It provides third-party assurance that the
certification agency. Thus, FSC certification provides NTFP management operations and prescriptions meet
standards set by the certification system. Forests with
M. Yadav (✉) NTFP resources are, therefore, evaluated based on a defined
Indian Institute of Plantation Management, Jnana Bharathi Campus, set of standards for NTFP sustainable management and
Bengaluru, Karnataka, India harvesting by an independent, qualified third-party auditor.
e-mail: manmohan@iipmb.edu.in
D. Dugaya Keywords
Indian Institute of Plantation Management, Jnana Bharathi Campus,
Bengaluru, Karnataka, India Forest resource assessment · Forest certification · Criteria
Indian Institute of Forest Management, Bhopal, India and indicators · Eco-label · Chain-of-custody

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 461
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_20
462 M. Yadav and D. Dugaya

20.1 Forests as Lifeline for All Living Things the last three decades, from 7.8 million ha per year during
1990–2000 to 5.2 million ha per year in 2000–2010 and 4.7
A forest is an important natural resource for humans, and it million ha per year in 2010–2020. This positive change is the
plays an essential role in providing multiple benefits to all result of the efforts of the global community toward the
living beings and also to commercial enterprises. The forest protection of forests and forest resources.
can be described as an area with a high density of trees. They Plantations of tree species are one of the potential
support a host of different species and play an important role measures for converting barren land into productive green
in the livelihoods of forest fringe communities. One-third of cover and rehabilitating degraded natural forests. Although
the earth’s land area is occupied by forests, which account for plantations cannot match the natural forests in terms of mul-
around 80% of the world’s terrestrial biodiversity. Human tiple functions and services, they still contribute to fulfilling
beings have been dependent on forests for clean air, food, the esthetic, environmental, and industrial requirements of an
water, fuel, shade, and shelter. Gradually, their dependency ever-increasing population. They account for only 7% of the
on forests has extended to economic gains as well. Due to the global forest area but contribute to around 40% of industrial
overexploitation of forest resources because of the increasing requirements. When well-managed with crop tending
population, this disturbance is now becoming unfavorable to operations, plantations produce more desirable timber and
human beings themselves. fiber in perpetuity than natural forests.
Forests maintain the carbon cycle, feed rivers, and also Forestry and agriculture are two independent land-use
contribute to the nature-based tourism industry known as patterns. The latter competes with the former under the
eco-tourism. With the growing knowledge, it is established relentless pressure of an ever-increasing demand of modern
that for a healthy planet, it is important to have healthy society. The decreasing trend of natural forests calls for a
forests. However, the growing population has been exerting holistic approach toward sustainable development by balanc-
immense pressure on forests and forest products, resulting in ing the existence of both. Various global initiatives have
deforestation and forest degradation. emerged for the sustainable management of forests through
According to the Food and Agriculture Organization’s a system of criteria and indicators (C&I) approaches.
(FAO) Global Forest Resources Assessment 2020, the total
global forest area is 4.01 billion ha, or 31% of the total global
land area. Just ten countries account for two-thirds of the 20.2 Criteria and Indicators for Sustainable
world’s forest area (Table 20.1). Russia alone accounts for Forest Management
about 20% of the global forest resources, followed by Brazil,
Canada, the USA, China, Australia, the Congo, Indonesia, The concept of Sustainable Forest Management (SFM) is not
Peru, and India. new but has become a buzzword and a widely used concept in
Tropical forests account for 45% of the world’s forests, recent decades. Today, SFM is an integral part of the Sus-
followed by boreal forests (27%), temperate forests (16%), tainable Development concept. Sustainable Development is a
and subtropical forests (11%). In total, 93% (3.75 billion ha) way of dealing with the environmental dilemmas that con-
of the forest area worldwide consists of naturally regenerated front the world, discussed and coined at the United Nations
forests, while 7% (290 million ha) consists of planted forests. Conference on the Human Environment held in Stockholm
The world has lost 178 million ha of net forest area since in 1972.
1990. However, the rate of net forest loss has declined during

Table 20.1 Top ten countries with the largest forest area
Rank Country Forest area (million ha) Percent land area as forest
1 Russia 815 49.78
2 Brazil 497 59.42
3 Canada 347 38.15
4 USA 310 35.30
5 China 220 23.30
6 Australia 134 17.44
7 Democratic Republic of the Congo 126 55.65
8 Indonesia 92.1 49.07
9 Peru 72 55.60
10 India 71.2 21.60
Total of the top ten countries 2684.3
Source: Global Forest Resources Assessment 2020 (FAO 2020)
20 Forest Certification for Promoting Responsible Forest Management 463

The United Nations Conference on Environment and 8. The Near East and North Africa (NENA) Process on C&I
Development (UNCED) held in Rio de Janeiro in 1992 was for sustainable management of dry-zone forests (since
a landmark event as regard to managing the world’s forests, 1996, the first set of C&I was developed in 1996).
resulting in the publication of five non-legally binding 9. The Lepaterique Process of Central America on C&I for
documents. These were milestones in terms of achieving SFM (since 1997, the first set of C&I was developed
international recognition for the need to deal with a wide in 1997).
range of environmental issues, including the need for sustain- 10. The Dry Forests in Asia Regional Initiative for the devel-
able development. opment and implementation of national-level C&I for the
Following the UNCED, the criteria and indicators C&I for sustainable management of dry forests in Asia (also
sustainable forest management (SFM) were developed as a known as the Bhopal-India Process) (since 1998, the
potent tool for assessing, monitoring, and reporting trends first set of C&I was developed in 1999, revised in 2005).
and changes in forest conditions and management systems at 11. ATO/ITTO C&I Process (African Timber Organization
the regional, national, and forest management unit (FMU) (ATO) C&I framework, which was established in 1994
levels. with the support of ITTO and led to the development of
Globally, international organizations such as the Interna- the first set of C&I in 2001).
tional Tropical Timber Organization (ITTO), Food and Agri-
culture Organization (FAO), and Center for International
Forestry Research (CIFOR) have led the process of develop- 20.2.1 The Bhopal-India Process
ing C&I as an approach to SFM. As a result, 11 major
regional and international C&I processes have evolved for The Indian initiative for the development of Criteria &
different forest types across the world. These are as follows Indicators for sustainable forest management was undertaken
(Adopted from Stefanie et al. 2018): by the Indian Institute of Forest Management (IIFM),
Bhopal, in 1998. Eight criteria and 51 indicators were devel-
1. The International Tropical Timber Organization’s oped for SFM in India through a multi-stakeholder consulta-
(ITTO) C&I for the sustainable management of tropical tive process (IIFM 2008). This has been refined over the
forests, representing 75% of the world’s tropical forests years and is now named the National Set of Criteria &
(since 1986, the first set of C&I was developed in 1992). Indicators for SFM in India, with 8 criteria and 37 indicators.
2. The Pan-European Process on C&I for SFM, under the These criteria and indicators have been included in the
Ministerial Conference for the Protection of Forests in National Working Plan Code (NWPC) 2023, a document that
Europe, known also by its acronym FOREST EUROPE provides guidelines for preparing working plans in the coun-
(since 1990, the first set of C&I was developed in 1994). try. A working plan is the key guiding document that
3. The Montréal Process on C&I for the conservation and provides a link between past management practices and
sustainable management of temperate and boreal forests, future management prescriptions for forest managers. It is a
covering 90% of the world’s temperate and boreal forests 10-year plan for management interventions at the division
(since 1993, the first set of C&I was developed in 1995). (FMU) level. After 10 years, working plans are revised to
4. The Amazon Cooperation Treaty Organization (ACTO) keep pace with the trends emerging at the forest-people
Tarapoto Process on C&I for the sustainability of Ama- interface and to address other related objectives. The working
zon forests (since 1995, the first set of C&I was devel- plans, which are due for revision after the year 2023 are being
oped in 1995). The harmonization process with ITTO prepared following the NWPC 2023.
started in 2012, which led to the renaming as the “process
of harmonized C&I of ITTO–ACTO (Tarapoto)” for the
sustainability of the Amazon forests. 20.2.2 United Nations Global Strategy
5. The Association of Southeast Asian Nations (ASEAN) for Forests
C&I for the sustainable management of tropical forests in
Southeast Asia (since 1998, the first set of C&I was The Intergovernmental Panel on Forests (IPF, 1995–1997)
developed in 2000). and the Intergovernmental Forum on Forests (IFF,
6. The Low-Forest-Cover-Countries Process, also known 1997–2000) culminated in over 270 IPF/IFF proposals for
as the Tehran Process (TP for LFCCs) (since 2000, the action and the establishment of the United Nations Forum on
first set of C&I was developed in 2011). Forests (UNFF) (Desai 2011). The UNFF was established as
7. The Dry-Zone Africa Process on C&I for the sustainable part of the international arrangement on forests to carry on the
management of dry-zone forests in sub-Saharan work of the IPF and the IFF processes. In 2006, the UNFF
countries (since 1995, the first set of C&I was developed and ECOSOC agreed on four Global Objectives on Forests,
in 1995).
464 M. Yadav and D. Dugaya

which aimed at reversing the loss of forest cover, improving practices and the trail of products coming from such forest
the contribution of forests to local livelihoods, increasing areas and issue a certificate of compliance to the requirements
protected areas, and enhancing financial support for sustain- of the certification scheme. Such a process is called forest
able forest management. These Global Objectives on Forests certification. Once issued, the forest certification allows the
were adopted by the UNFF as a Non-Legally Binding Instru- business firm to formally label all such products as certified
ment on 28 April 2007. products with a seal of the certification scheme to create
At a special session of the UN Forum on Forests in differentiation for its products in the marketplace.
January 2017, a historic agreement on the Strategic Plan Forest certification is thus a market mechanism to ensure
was achieved, and in April 2017, the UN General Assembly that forests are being managed in accordance with interna-
accepted the plan. Member States reaffirmed their commit- tional commitments, national mandates, and universally
ment to six global goals and 26 associated targets on forests accepted principles of responsible forest management.
to be achieved by 2030 (UN 2019).
The six global forest goals are as follows: (1) reverse the
loss of forest cover worldwide through sustainable forest 20.3.1 Forest Certification as an Eco-label
management, including protection, restoration, afforestation,
and reforestation, and increase efforts to prevent forest deg- Environmental labels, or eco-labels, are market tools that
radation and contribute to the global effort to address climate enable consumers to use their purchasing power to promote
change; (2) enhance forest-based economic, social, and envi- and incentivize environmentally friendly products. In addi-
ronmental benefits by improving the livelihoods of forest- tion, they provide producers with a rationale for adhering to
dependent people; (3) significantly increase the area of environmental standards that are put in place to satisfy gov-
protected forests worldwide and other areas of sustainably ernment mandates or market-driven voluntary obligations.
managed forests, as well as the proportion of forest products The term “eco-labeling” denotes a process that attempts to
from sustainably managed forests; (4) mobilize significantly provide a credible indicator as to what extent a product is
increased, new, and extra funding from all sources to imple- environmentally adapted.
ment sustainable forest management and to fortify linkages Public concern for the environment has grown remarkably
and collaborations in science and technology; (5) promote during the last four decades, both in developed and develop-
governance frameworks to implement sustainable forest ing countries. As a result, environmental issues have acquired
management through the United Nations forest instrument center stage in the economic and trade policies globally.
and enhance the contribution of forests to the 2030 Agenda During the late 1960s, environmental problems and pollu-
for Sustainable Development; (6) enhance cooperation, tion became a concern for the developed countries. The
coherence, and synergies on forest-related issues at all levels United Nations agencies also responded to such concerns
within the UN system and across member organizations of first at its Biosphere Conference in Paris in 1968. The confer-
the collaborative partnership on forests, as well as across ence recognized the need for more and improved research on
sectors and relevant stakeholders. ecosystems, human ecology, pollution, and genetic and natu-
The member states have gradually imbibed these ral resources, and further catering to inventory assessment for
principles of sustainable forest management in their national monitoring of resources. As seen by the numerous anti-war
policies. For example, India has adopted the national set of and nuclear protests, social concerns related to the environ-
criteria and indicators for sustainable management of forests mental balance were significant issues that compelled politi-
as the Indian Forest Management Standard as part of the cal commitments and actions in society. The observance of
National Working Plan Code 2023. the first Earth Day in the United States in April 1970 serves as
an example of environmental action (McCormick 1989;
Shabecoff 1993).
20.3 Introduction of Forest Certification To address these social demands, the United Nations
Conference on the Human Environment was held in
To ensure that the principles of forest management are devel- Stockholm in 1972 wherein the sustainable development
oped and implemented responsibly and sustainably, the need paradigm was introduced, which was later published as
for some market-based mechanisms was felt. Brundtland’s Report. Next in the array of developments,
Forest certification emerged as a market tool to ensure that resulting from people’s pressure, the United Nations created
the products and services are obtained from a forest that is the United Nations Environment Program (UNEP) aiming at
managed by following the principles of sustainable forest creating legal and policy frameworks to bring environmental
management. If forest products are harvested from such issues to the international forum. In 1983, the Food and
forest areas that practice sustainable management principles, Agriculture Organization’s World Forest Appraisal Program
then a third-party certification mechanism can verify such (WFAP) compiled a report on the inventory of forestry
20 Forest Certification for Promoting Responsible Forest Management 465

resources incorporating the human impact on forests. This However, the use of Eco-mark in India has been very limited,
report initiated a global debate on the rate of forest loss and primarily because of a lack of consumer response.
interventions, and the need for developing systems for Forest certification can also be considered as an eco-label
implementing sustainable forest management. that differentiates a forest product sourced from a sustainably
Consumer interests have spurred information systems managed forest area from the rest of the products. Thus,
aimed at differentiating the environmental appropriateness forest certification as an eco-label placed on product links
of goods and services. One modern example of this is the responsible/good forestry practices with environmentally
advent of “eco-labeling,” a process that aims to provide an conscious consumers.
indicator of how well a product is adapted to the environ- Ghazali and Simula (1994) defined forest certification “as
ment. The basic concept of “eco-label” is derived from the a process which results in a written statement which is a
word “eco,” which means natural environment, and “label,” certificate attesting the origin of wood raw material, and its
which signifies how a particular product differs from other status and/or qualifications following validation by an inde-
products. pendent third party.” Forest certification is actually a single-
Eco-label provides information on the environmental issue eco-label or certification that acknowledges the envi-
characteristics of a product, allowing consumers to use their ronmental quality of a product at a certain point in its pro-
purchasing power to promote environmentally friendly duction life cycle or for a specific component of the product.
products. The practice of labeling wood items with a quality It entails evaluating the effectiveness of forest management
mark originated in Europe in 1637 when a royal decree from in light of a predetermined set of principles and criteria.
France mandated that cabinet manufacturers in the guild Forest certification also gives consumers a credible guarantee
mark the furniture they produce (Pradère 1989). Relying on that the product comes from a forest that is under an environ-
this market-driven mechanism, the world’s first eco-labeling mentally responsible, socially beneficial, and economically
program, the “German Blue Eco Angel,” was created in 1978 viable management regime.
(Rametsteiner 2000).
Eco-labels are part of the environmental policy “second
generation,” which replaced some, but not all, of the earlier 20.3.2 Evolution of Forest Certification
environmental policy instruments. These older approaches
were developed in the 1970s when the regulation of environ- Certification programs have long existed in other economic
mental media became dominant. By contrast, eco-labels aim sectors, such as appliance manufacturing, quality control, and
directly to change the behavior of consumers (sustainable healthcare services. The rise of certification programs in the
consumption) who are enabled to assess the impacts of a forestry sector has been led, primarily by the
product throughout its entire life cycle. Environmental label- non-governmental actors taking up functions traditionally
ing programs can provide consumers with an immediately claimed by the agencies and ministries of nation states.
available, objective, and accurate evaluation of a product’s Despite the state predominance in the forestry sector in
environmental impact. In addition, they provide most countries, forest certification programs did not emerge
manufacturers with a reason to comply with environmental from the government systems but rather from the markets
regulations (Sitarz 1998). (markets having a limited role in forest management as com-
“Blue Angel,” the first national eco-label, introduced in pared to other sectors). Instead, they were able to draw upon
Germany in 1978, remained the only label used until a models and techniques that were developed and standardized
10-year-later, comparable program was developed in for various programs performing similar functions in other
Canada. In 1989, the Nordic Council of Ministers (Ministers sectors. Therefore, forest certification is inherently linked to
for Consumer Affairs) decided to create the first multi- developments in other sectors.
national eco-label system, which was known as the “Swan The genesis of the modern concept of forest certification
Label.” Between 1989 and 1992, this policy innovation can be attributed to society’s concern for the social and
spread quickly. These eco-labels were introduced in almost environmental significance of forests, especially in devel-
all Organization for Economic Co-operation and Develop- oped countries, furthered by the increased environmental
ment (OECD) countries and even in some newly awareness in the 1960s and 1970s (Granholm et al. 1996;
industrialized and developing countries, such as Singapore, Hansen 1997). Because of high societal awareness and con-
Korea, Taiwan, and India. Crucial to this dynamic develop- cern toward the increased rate of deforestation in tropical
ment was the introduction of a European eco-label in 1992 forests, the concept of forest certification emerged in the
named “European Flower.” “Eco-mark” was initiated as an late 1980s as a possible tool to control deforestation and
environmental label under the aegis of the Ministry of Envi- enhance the social and environmental importance of forests
ronment, Forest and Climate Change (MoEFCC) in India. (Vogt et al. 2000). The foundation of forest certification has
been built as a market-based tool to address public concerns
466 M. Yadav and D. Dugaya

related to deforestation, mainly that of tropical rainforests the USA developed a system called “Green Tag” for wood-
(Perera and Vlosky 2006). land owners (Perera and Vlosky 2006).
The 1992 United Nations Conference on Environment and In 1999, forest owners in Europe created an alternative to
Development (UNCED) can be identified as the watershed the FSC, naming it the Program for Endorsement of Forest
event (Finger and Princen 1994) for the environmental move- Certification (PEFC) scheme. In 2003, this was renamed as
ment as a whole and as the point at which certification the Program for the Endorsement of Forest Certification
became a reality. The UNCED 1992 was the first attempt to Schemes.
reach a consensus on forestry issues. Following ECO The International Organization for Standardization (ISO)
92 (UNCED), forestry issues became a part of the interna- 14001 Environment Management Standard is a generic stan-
tional political agenda when efforts were increased to deter- dard for continual improvement in environmental perfor-
mine how forests should be managed worldwide on a mance. However, forestry operations can use its
sustainable basis. After the UNCED, the first set of environmental management system framework as a founda-
principles, criteria, and indicators (PCI) was released on tion to implement a forest management standard (Hansen
how SFM should be practiced and evaluated for the certifica- et al. 2006). This framework was used only by the Canadian
tion of forests. Standards Association before its adaptation to the PEFC
The concept of timber certification emerged in 1990 when standard. National forest certification schemes were started
a group of stakeholders in California recognized the need for in many countries, including Europe, Malaysia, Brazil, Chile,
a credible system to identify acceptable sources of forest and, of late, China and Africa.
products (Perera and Vlosky 2006).
In 1990, the Rainforest Alliance launched the Smart Wood
Program as a tool to curb deforestation in the tropics. Its 20.4 Relevance/Rationale of Forest
premise was that several independent groups would scientifi- Certification
cally evaluate and certify forests that were appropriately
managed for sustainability and biodiversity. Later, the Forest The international consensus on better management of forests
Stewardship Council (FSC), spearheaded by the World Wide and forest resources for their sustainability and enhancement
Fund for Nature (WWFN), supported by other environmental of related social and ecological benefits paved the way
non-governmental organizations, social activists, and many toward a global commitment for SFM. As a logical next
governments, was established in 1993, with its head office in step, forest certification incentivizes forest managers for
Mexico. FSC was formed to prevent forest deterioration practicing SFM by linking products from such forests to
globally and to help tropical timber producers avoid environ- environmentally conscious consumers.
mental boycotts and meet the demand by importing timber
from other countries for environmentally sensitive wood
products from well-managed forests. 20.4.1 Objectives and Benefits of Forest
Certification
20.3.2.1 Emergence of Certification in America
and Europe Important questions that forest managers always ask them-
The American Tree Farm System (ATFS), established in selves when considering certification are whether or not to
1941 to raise public awareness of the active management get the forest certified at all and how they benefit if they
and investment made in private forests, gave rise to the idea achieve forest certification. Certification is the process of
of certification in the United States. The ATFS certification verifying that forest management meets the requirements of
was based on a set of forest management principles and a responsible forest management standard.
required an on-the-ground inspection of forest practices Forest certification can provide different benefits to multi-
every 5 years (Bettinger et al. 2009). ple stakeholders. More access to international markets;
In the 1990s, the American Forest and Paper Association enhanced planning and management practices that incorpo-
(AF&PA), an industry trade group, initiated its own certifica- rate conservation measures like biodiversity conservation,
tion system and later added an optional third-party auditing protection of riparian zones, water catchments, and wildlife;
component. adoption of reduced impact logging; and the development of
In 1996, the Canadian Standards Association (CSA) monitoring capacity are just a few advantages that come with
developed standards for SFM, which were updated in 2002. certification for the forest products industry.
The sustainable forestry initiative (SFI), originally an indus- For forest communities, forest certification ensures their
try self-regulation program, recognized the CSA system as share of benefits because of enhanced external scrutiny that
the functional equivalent of the SFI system (Perera and results in better transparency.
Vlosky 2006). The National Forestry Association (NFA) in
20 Forest Certification for Promoting Responsible Forest Management 467

Table 20.2 Objectives and benefits of forest certification

Type of
objective/
benefit Objective/benefit Stakeholder(s)
Regulatory Condition for the allocation of forest resources/management rights Governments and business
Reduce the risk of environmental non-compliance Business and value chain members
Source-of-origin and legality Governments, business, and value chain
members
Market Consumers receive certified products Consumers and value chain members
Certification as a means to access new markets Value chain members
Credibility of sustainability claim Consumers, business, and value chain members
Promote responsible resource sourcing Business and value chain members
Resource sustainability/availability in the long run Business, value chain members, consumers, and
society
Social Community rights assured Local community
Fair share of benefits to local communities Local community
Improvement in work conditions: EHS Workers
Equity Intragenerational and intergenerational
Maintenance and concern of social, cultural, traditional, and spiritual Local community
values of the communities related to forest
Using traditional ecological knowledge in decision-making processes Business, value chain members, and local
community
Economic Tool to achieve management goals Forest owners and shareholders
Control over resources Forest owners and shareholders
Demonstrate/benchmark best practices Forest owners and shareholders
Maintenance and enhancement of forest resource productivity Forest owners and value chain members
Sustainable production and consumption Consumers, governments, society, value chain
members, and planet earth/ecosystem
Price premium Forest owners, business, and local community
Ecological/ Environmental health and ecological values conserved through holistic Planet earth/ecosystem, intergenerational equity
environmental development
Sustainable resource extraction and use Planet earth/ecosystem, intergenerational equity,
business, value chain members, and consumers
Maintenance, conservation, and enhancement of biodiversity Planet earth/ecosystem, intergenerational equity,
and global community
Maintenance and enhancement of ecosystem function and vitality Forest owners, planet earth/ecosystem,
intergenerational equity, and global community
Maintenance and conservation of soil and water resources Forest owners, planet earth/ecosystem,
intergenerational equity, and global community

Researchers have made efforts to identify the most com- purchasers the credibility that the origins, processing, and
mon reasons why forest managers may decide to pursue distribution of the timber they are purchasing adhere to a
certification. Some of the benefits of forest certification are set of predetermined management standards.
summarized in Table 20.2. Certification of timber can be an application of market
Each of the above reasons will have different implications tools for achieving widespread SFM. The usual motivation
when selecting a particular certification scheme. If customers for a producer or supplier is continued access to markets for
are demanding a specific type of certification, there is little timber and wood products, which is partially provided by the
point in achieving forest certification under a different certification (Hansen et al. 2006). Certification is also a tool
scheme. to improve forest harvesting practices and forest management
Certification has the potential to benefit forest owners around the world. The philosophy is that the certification
economically by improving the return on investment of label will result in an increased market share for forest
their goods and assuring customers that the raw materials owners (Vogt et al. 2000).
derived from the forest adhere to management-specific Certification also provides a mechanism for independent
standards (Washburn and Block 2001). Thus, certification is validation of sustainability in markets where forest products
an important market tool that benefits both the timber indus- are subject to consumer resistance on environmental grounds.
try and the consumers. Timber certification schemes offer Tropical forests were the initial focus of certification, but as
468 M. Yadav and D. Dugaya

the processes rapidly expanded, this resulted in the inclusion accreditation process for certification bodies (CBs), seek
of all forest types in the domain of forest certification (Durst membership in the PEFC council, and then apply for mutual
et al. 2006). recognition of its certification scheme. The PEFC council
Forest certification, of late, has been used as a trade tool to will then conduct a peer review of the national forest certifi-
stop illicit logging. It was estimated that more than 100 mil- cation scheme with respect to meeting the requirements of
lion m3 of timber are cut illegally each year worldwide PEFC mutual recognition before taking a decision for mutual
(Lawson and McFaul 2010). Illegal logging and the recognition.
associated trade in illegally sourced wood products are The second global certification system is the Forest Stew-
important causes of deforestation and forest degradation all ardship Council’s (FSC) standards for forestry practices that
over the world. Forest destruction contributes up to 20% of aim to promote environmentally responsible and socially
the global carbon dioxide emissions. It is further reported that beneficial forestry. In this process, forest management
in addition to undermining government revenue, illicit log- practices are evaluated and verified against a set of standards
ging, and its related industries also encourage corruption, by an external independent certification agency. Thus, FSC
jeopardize the rule of law, and fund armed conflicts (Lawson certification provides confidence to environmentally con-
and McFaul 2010). scious consumers that the forest products they are buying
Although forest certification emerged as a private sector- have been sourced from sustainably managed forest areas
based voluntary initiative to address deforestation, later dif- with documented proof of sustainability.1 Whereas in some
ferent types of initiatives evolved to combat illegal wood cases, when combined with a chain-of-custody certificate, the
trade. van Dam and Savenije (2011) listed about certification allows the establishment of traceability that the
122 initiatives, a few of which are listed below (the number product was derived from a particular certified forest area and
indicates the total number of initiatives): forest law, enforce- carries an eco-label.
ment and governance, forest law enforcement, and gover- The FSC has a set of 10 principles, 70 criteria, and several
nance and trade (8); knowledge development and capacity- verifiers within each criterion for certifying forests. FSC
building (14); bilateral initiatives (12); global and multilateral certification is one of the most widely accepted certification
agreements and declarations (19); public procurement schemes, which is mostly favored by environmental NGOs
policies (17); national policies and legislation (5); regional but is probably less popular with industry (Bettinger et al.
and country support facilities (3); NGOs for advocacy 2009). The unique concept and part of the certification plan is
(2), etc. to effectively use consumer purchasing of forest products as
the catalyst for responsible forest management around the
world and, consequently, harness market forces to maintain a
20.4.2 Types of Forest Certification Schemes healthy forest with little or no need for regulation.

As of date, there are a handful of international forest certifi-

cation schemes and many regional and national certification 20.4.3 Forest Certification Process
schemes setting up standards for measuring practices toward
sustainable management of forests. There is also growing Over the years, two main policy approaches, namely,
competition among various certification schemes to get top-down and bottom-up, have been adopted to protect forest
more area of forest certification under them. resources. In the top-down approach, the fundamentals of
Globally, two forest certification systems are in practice. policies are formulated at higher levels of government and
One is the Program for Endorsement of Forest Certification implemented under its authority. The success of these com-
(PEFC), which mutually recognizes the National Forest Cer- mand and control methods heavily depends on the strength of
tification Schemes that aim to harmonize the global forest the governing body. The bottom-up approach, on the other
certification standards with those of national forest certifica- hand, relies more on a participatory approach where the
tion standards. people/local community agrees on the needs and forms of
Phases in developing a PEFC-endorsed national forest the policy and implements it by tradition, cooperative agree-
certification system are as follows: Phase 1: your organiza- ment, or local rule. However, in modern, complex societies,
tion; Phase 2: developing your system; Phase 3: PEFC coun- common interests binding the members of smaller
cil membership; Phase 4: PEFC endorsement; and Phase 5: communities are lacking, which hinders the success of this
running your system. approach. The ineffectiveness and flaws of these two
A national entity has to first prepare itself to meet the approaches have led to the development of a third approach
requirements of PEFC recognition, then it must develop a
national standard for forest management and chain-of-cus- 1
Details available at www.forestry.about.com/od/certification/Forest_
tody (CoC) certification, a certification process, an Certification.html
20 Forest Certification for Promoting Responsible Forest Management 469

Table 20.3 Classification of forest products certification

Product Criteria/assurance to the customer
certification
type Properties Characteristics
Product Quality of timber/NTFP products Appearance grading
quality Mechanical properties of timber Stress grading
Organic in Ensures the consumer that the product is herbal/organic in nature and does not No chemical fertilizers or pesticides
process contain harmful chemicals were used.
Only organic manure was used
Fair labor Assures that no child labor was involved in the production process and no Fair treatment of workers
enforcement exploitative labor practices were followed
Legally Assures that the timber/NTFP has come from a known and legal source Known and legal sourcing
sourced
Fair trade All the responsible trade practices have been incorporated Fair share of benefit to the producers/
practices collectors
Sustainably Assurance that the timber came from a forest that has been managed on The certified product is extracted/harvested
managed sustainability principles (principles, criteria, and indicators) based on sustainability principles/standards

called “certification.” It introduces policy changes through requirement, which can be then attested by an independent
commercial rather than central or local power and uses mar- third-party external auditor.
ket acceptance in place of regulatory compliance as an This process ensures the “sustainability of forests” and
enforcement mechanism (Naka et al. 2000). may induce the market to offer a “green premium,” which in
Certification of forest products can be categorized based turn invigorates the sustainability of forests that are managed
on many aspects, such as principles, criteria, indicators, pur- under this system. Theoretically, certified forests would be
pose, and assurance to customers. Some of these are environmentally, socially, and economically adjudged better.
illustrated in Table 20.3. However, in this chapter, certifica- In addition, they would also be able to yield timber products
tion of forest implies certification with respect to confor- on a sustained basis while maintaining adequate wildlife
mance to SFM practices as per the selected standard/scheme. habitats and protecting water quality. Forest certification
Forest management certification is a process by which claims to maintain the long-term viability of commercial
forest management practices are evaluated against a set of forests, protect biodiversity, and provide a continuous stream
forest management standards. The term “forest certification” of social and economic benefits. Thus, forest certification
is now commonly understood as an “independent verifica- provides economic incentives to achieve and maintain high
tion” (Mater 1999; SAF 1999) of conformity to established standards for forest management worldwide.
standards of SFM, generally done by a third party. It is a
market tool designed to document and reward specific forest
management practices and to assure consumers of forest 20.4.4 Understanding the Process of Forest
products that their purchase comes from a forest whose Certification
management meets certain standards.
Forest certification is thus a mechanism for ensuring that The process of certification starts with the choice of forest
forests are managed by following the universally agreed enterprise’s owners/managers to receive certification from a
principles of SFM. In this process, forest management preferred certification system/scheme, which concludes with
practices are evaluated and verified against a set of standards the issuing of a certificate of verification that the management
by an external, independent certification organization. Thus, practices followed in the enterprise are reliable and in com-
consumers can be confident that their wood purchase is the pliance with the requirements of the selected standard. The
product of a sustainably managed forest with documented forest managers’ decision to seek certification is based on one
proof of sustainability. In some cases, when combined with a or a combination of objectives/benefits as mentioned in
chain-of-custody (CoC) certificate, certification allows Table 20.2, and accordingly, the certification scheme is
products from a particular certified forest area to carry an selected.
eco-label on it. In countries where a national forest certification system
The verification process is conducted through an audit exists, the choice could be in its favor. However, in countries
system directed by an external and internal forest manage- where there is no such national scheme, the default choice
ment team. Internal auditing is carried out to obtain assurance becomes the Forest Stewardship Council (FSC), which is
that the forest management unit fulfills the minimum globally recognized and has a presence in most countries,
including India.
470 M. Yadav and D. Dugaya

In countries where there is a national scheme, which is carry out the forest management and chain of custody
also mutually recognized by the Program for Endorsement of assessments that lead to FSC certification. FSC certification
Forest Certification Scheme, the choice expands to three bodies are held to account by the FSC through Assurance
schemes, that is, a national scheme, PEFC, and/or FSC. Services International (ASI), which is an accreditation body
This is the case in countries, such as Malaysia, Brazil, for certification bodies.
Chile, the USA, China (country schemes), Canada, and FSC sets the standards for forest management and chain of
European countries that have their own national certification custody certification and defines procedures that the certifica-
schemes, which are mutually recognized by the PEFC. tion bodies should follow in their certification assessments
Having made a decision for certification, the forest man- through a multi-stakeholder consultative process.
ager prepares/adapts the documentation, including the man- FSC-accredited certification bodies are checked regularly
agement plan, as per the requirements of the selected scheme by Assurance Services International to make sure they oper-
or appoints consultants to help develop these documents. ate in accordance with the FSC rules and must meet FSC
Thereafter, the forest manager appoints a certification body accreditation requirements (FSC website).
out of the available certification bodies that are accredited to The FSC-accredited certification body verifies whether
the certification scheme of choice. For example, the FSC has forest resources are managed on a sustainable basis as per
accredited 52 certification bodies (CBs) that can undertake the requirements of the FSC standard. In this assessment, the
audits of the forest management practices of the client certifiers should give due importance to the overall health and
organization. vitality of the entire forest ecosystem, which includes ade-
quate wildlife habitat and watershed protection, and the eco-
nomic and cultural impacts of the forestry operations on local
20.4.5 Elements of Forest Certification communities.

Forest certification must consist of following elements:

(1) standard (acceptable levels of forest management perfor- 20.4.6 Types/Stages of Forest Certification
mance); (2) certification process: assessment and audit
(objective assessments of whether the requirements of the The certification of forests has two sequential stages that
standard are fulfilled for FM Certification and/or CoC must be completed before the market benefit can be obtained
(identifying a product’s origin and tracking it across the through the use of a label on the finished product. The first
value chains); (3) accreditation of certification body; and stage is the certification of the forests or plantations against
(4) issuance of certification and label permissions the standards of sustainability of forests (principles, criteria,
(a labeling process that indicates the previous three elements and indicators) and verifiers as prescribed by the certification
are met satisfactorily). scheme. For instance, FSC has 10 principles and 70 criteria,
Standard: Any forest certification scheme needs to whereas PEFC has 6 criteria and 66 indicators. When the
develop a standard that lays out the level of management, first-stage certification confirms that forests are managed
which must be implemented by the forest enterprise to be sustainably, it is called “Forest Management” certification,
eligible to achieve forest certification. or in short, FM certification.
Certification process: A clearly defined procedure must be Verifying the path of wood material from the point of
followed by the certification body to assess whether a partic- harvest or logging to the point of finished product sale at
ular enterprise has met the requirements of the certification the retail level is the second step, called the chain of certifi-
standard. cation. This is important as wood products pass from the
Accreditation: There must be a process in place to check stump to the processing unit, furniture assembly unit, whole-
the certification body in terms of experience, competence, saler, retailer, and finally to the customer. Therefore, the
and system of due diligence in its operations. The accredita- customer must be assured that the wood-based products
tion agency must have the authority to derecognize/stop purchased indeed are made from the wood material that
incompetent organizations from awarding certifications. came from a certified forest. When the second stage of
Certification and labeling: On successful completion of certification confirms that forest products are made with
certification assessment with respect to meeting the wood harvested from sustainably managed forests, it is
requirements of the standard, the certification body issues termed chain-of-custody or CoC certification. The issuance
certification to the client organization. Once certified, the of FM certification is a prerequisite for CoC certification.
client organization can obtain the labeling permission for CoC is therefore a method of tracing back the source of
the certified material as per its need. materials from the forest, all the way from the production
FSC does not carry out certification audits and issue process to the final product. It is also a means of controlling
certificates itself; rather, its independent certification bodies the use of labels and claims made to ensure that they are clear
20 Forest Certification for Promoting Responsible Forest Management 471

and accurate. Combined, these are called “forest certifica-

tion,” and both certifications are needed to receive the market Application and proposal
benefit from certification with the legitimate use of the certi-
fication scheme “logo” on the finished products.
A related but equally significant component of forest Pre-assessment
certification is the authorization of “product labeling and
logo use.” In addition to having received the above two
stages of certifications (FM and CoC), the business entities
desirous of market/brand benefits need to seek explicit
Closing gaps
permissions for product labeling as being a certified product
and use of the logo of the certification scheme on the
products, packaging, stationery, and any promotional mate- Stakeholder consultations
rial including advertising. Such permissions are granted for a
specific purpose(s) and their use requires adherence to the
prescribed guidelines of the certification scheme. Main assessment
Controlled wood certification is the certification of assess-
ment of various kinds of risks in sourcing of wood raw
material by a forest enterprise. These risks include legality, Report and peer review
source-of-origin, labor laws, business risks, and adherence to
the rules and regulations of the country. However, it does not
require adherence to sustainable forest management Certification decision
principles, criteria, and indicators. Thus, SFM is not a pre-
requisite for CS certification.
Annual Review
20.4.7 Steps in Forest Management
Fig. 20.1 Outline of FSC certification process
Certification

Forest certification is applied at the operational forest man- Other forest certification schemes also use similar process.
agement level. It is carried out for a particular forest manage- However, differences may occur on account of the country
ment unit (FMU), which is defined as an area of forest under a context and the type of value chain partners.
single or common system of forest management. This might
be a privately held area of forestland or plantation or a series
of small areas of forestland/plantation owned by different 20.5 Status of Forest Certification
farmers/owners but managed under a common system
through a legal agreement. 20.5.1 Global Status of Forest Certification
A typical FSC certification process involves working
through the steps of pre-assessment/scoping, forest As of January 2024, around 10.7% of the total forest area
manager’s decision to proceed, closing the gaps, reported certified globally. Of which, FSC has certified
stakeholder’s consultation, development of an interim stan- 157.92 million ha with 1510 FM/CoC certification and
dard, main assessment, reporting and peer review, and certi- 57951 CoC certification. Whereas, 280 million ha of forest
fication decision. Following a positive certification decision, area has been certified under the Program for the Endorse-
a certificate is issued and annual surveillance visits are ment of Forest Certification (PEFC), which includes
undertaken to verify continued compliance with the standard. certifications done by the national certification schemes
The certification once issued is valid for a period of 5 years endorsed by the PEFC.
with an annual review for compliance. Figure 20.1 provides FSC with around 30 years of experience has a presence in
the sequence of stages in the forest certification process. 89 countries; whereas, the PEFC has 55 counties as national
members. The share of Forest Certification by FSC is around
36.06% and PEFC accounts for 64.94% share in the total
certified area on the globe as of January 2024.
472 M. Yadav and D. Dugaya

20.5.2 Status of Forest Certification in India However, these efforts could not result in the achievement of
FSC certification in the absence of budgetary support.
The development of forest certification in India has been very As of January 2024, there are 12 valid FSC forest man-
erratic. It started with inquiries from the handicraft export agement certificates in India (Table 20.4), of which
sector led by the Export Promotion Council of India, Ministry 6 certificates are in the paper industry and 5 in plywood and
of Textiles, Government of India in the year 2001. The first woodcraft industry. All these certificates are in the
certification in India was an FSC-CoC certification, issued in agroforestry/farm-forestry owned by the individual farmers.
January 2001 to a toy manufacturer in Saharanpur, UP for Whereas, Telangana State Forest Development Corporation
Babul (Acacia nilotica) and Shisham (Dalbergia sissoo) owns one valid FM/CoC. The total certified area under FSC
trees. However, there was no FM certification for this CoC. FM certification in India is 111918.5 ha. Also, there is one
The second certification in India was for both FM and CoC PEFC FM certification owned by the UP Forest Corporation.
certification under FSC issued in 2002 for Kadam (Ailanthus
grandis) plantations in West Bengal (432 acres). However,
both these certificates were discontinued within 1 year of 20.6 NTFP Certification
issuance for unknown reasons (Yadav 2016). The first suc-
cessful FSC FM certification in India was concluded in 2007 Non-timber forest products (NTFPs) also known as minor
for a rubber (Hevea brasiliensis) plantation in a 687.85 ha forest produce (MFPs) in central India are important
area in Tamil Nadu, namely, New Ambadi Estates Pvt. Ltd. resources for the forest-dwelling communities for meeting
(IMO-FM/COC-026594). their health, socio-cultural-spiritual, and economic needs.
IIFM undertook a pioneer project for the certification of The NTFPs not only provide sustenance to a large commu-
bamboo resources in the States of Tripura, Arunachal nity (Yadav and Basera 2013) but also offer opportunities for
Pradesh, Nagaland, and Madhya Pradesh. In Tripura, a the NTFP-based enterprises (Subedi 2006), contribute to
large number of farmers in Katlamara block have been foreign exchange earnings (Shiva and Verma 2002), provide
practicing bamboo (Bambusa affinis) cultivation using a tra- alternatives for livelihood (Fu et al. 2009), enhance human
ditional management system. This was documented by IIFM capital (Fisher et al. 2010), and influence forest policy
in the form of a traditional but sustainable management plan (McSweeny 2005). However, the burgeoning population
in line with international certification standards (such as FSC) and ever-increasing pressure on forests for goods and
and a complete value chain was designed to link this sustain- services are resulting in the deteriorated condition of forests
ably managed bamboo resource-based handicraft products to in general and on availability of non-timber forest produces
environment-friendly consumer in the developed markets in (NTFPs) in particular.
the year 2003. A similar sustainable bamboo management Forest certification of NTFPs can bring about a transfor-
plan was prepared for Apatani bamboo in Arunachal Pradesh. mational positive change in ensuring their sustainable

Table 20.4 Status of FM certifications in India (as of January 2024)

S. no. Certificate holder Certificate number and year Area (ha)
FSC
1 Society for Afforestation, Research and Allied Works (SARA)-Dandeli (Karnataka) SCS-FM/COC-00143P-2021 2655.92
2 ITC Ltd. PSPD Unit (AP) SCS-FM/COC-006945-2021 40,111.31
3 International Paper-APPM Ltd. (Telangana) SA-FM/COC-010151-2021 26,256
4 JK Paper Ltd. Rayagada (Odisha) SCS-FM/COC-005124-2021 16,375
5 JK Paper Ltd. Unit-CPM (Gujarat) SCS-FM/COC-007694-2021 3454
6 Tamil Nadu Newsprint and Papers Limited (TN) NC-FM/COC-006000-2021 2459.28
7 Shivangi Industries (Rajasthan) SCS-FM/COC-008105-2021 1002
8 Greenply Industries Limited (Nagaland) SCS-FM/COC-007306-2021 605
9 Pooja wood House SCS-FM/COC-009232-2022 1000
10 Telangana State Forest Development Corporation CU-FM/CoC-885729-2023 18,000
11 Reyansh The Wood Art SCS-FM/COC-009897-2023
12 Saraf Lumbers Pvt. Ltd SCS-FM/COC-010015
Sub-total 111,918.5
PEFC
1 Uttar Pradesh Forest Corporation (Uttar Pradesh) GIPL-FM-0001-2020 404,104
Sub-total 404,104
Grand total 516,022.51
20 Forest Certification for Promoting Responsible Forest Management 473

utilization (and thus long-term availability), enhanced market associated with the sourcing of raw wood material by the
opportunities, and sustainable value chains for businesses. forest enterprise. FM certification for timber provides a cred-
This can create a win-win situation for poverty alleviation as ible system of verification of origin (and thus the legality of
well as for biodiversity conservation (Ahenkan and Boon the resource) as well as the commitment of all stakeholders in
2010; FAO 2006; Golam et al. 2008). responsible forestry. For governments and civil society, it is
The traceability of NTFPs from the source of collection an assurance of sustainability and legal logging operations.
(region/local) to final use in product manufacturing is diffi- For farmers and small businesses, it provides access to
cult, thus posing serious challenges to establishing the source environmentally sensitive markets. The progress in recent
of origin and hence the credibility of the genuineness of the years with enhanced areas under certification and involve-
material. ment of increasing businesses in terms of CoC certificate
The forest certification framework provides an opportu- holders is a testimony to the acceptance of this new market
nity to establish a mechanism for traceability of the NTFPs. mechanism for ascertaining the sustainability of forest/wood
Moreover, it addresses the environmental concerns of resources. Initially, the concept of forest certification was
consumers buying products coming from sustainably man- popular only in the USA and Europe, but of late increasingly
aged forests and the ability to support rural livelihoods while expanding in tropical forests and developing countries. For-
contributing to environmental objectives, including biodiver- est certification to receive market incentives must complete
sity conservation (Yadav and Dugaya 2013). the two components: FM and CoC certifications. While CoC
The harvesting practices of non-timber forest products certification serves as evidence to green customers that only
have also come under increasing scrutiny from certification certified materials were used in the production of the final
programs because of the key role that they play in the local products they have purchased, FM certification is the attes-
economy and sustainable management of forest resources tation of forest management practices against the certification
worldwide. standards. The use of the logo of a certification system adds
Forest certification, hence, is understood as a means of to the brand value of the company for it being environmen-
protecting forests by promoting responsible and better man- tally friendly. The credibility of the certification scheme lies
agement practices. It provides a third-party assurance that the in the development of standards through a consultative pro-
forestry operations meet standards set by the certification cess, the competence and due accreditation of the certifica-
scheme. tion body/auditors, transparency in the procedure followed,
and stakeholder consultation. Forest certification of NTFPs
can enhance their market access, ensure fair prices to the
20.6.1 NTFP Certification: Global Status forest-dwelling communities, and the conservation of
resources along with enhanced credibility of the product/
In addition to the Forest Stewardship Council, the Interna- brand for the consumers and the marketers.
tional Federation of Organic Agriculture Movements
(IFOAM) and Fairtrade Labeling Organization (FLO) also Lessons Learnt
play significant roles in ensuring market access, sustainability • Understanding the role of forest certification in promoting
of NTFP resources, and the livelihoods of the local sustainable forest management
communities dependent on NTFP resources. These • Grasping the forest certification concept as an environ-
organizations have a good degree of experience and capacity mental label or eco-label
in certification of NWFPs, including chicle latex, Brazil nuts, • Learning the benefits of forest certification to various
palm hearts, and maple syrup (FSC); berries, tea, honey, stakeholders in forest product value chains
coffee, mushrooms, ginseng, and others (IFOAM); coffee, • Learning the requirements and process to achieve forest
tea, honey, bananas, cocoa (FLO). certification
• Learning the importance of forest certification for
non-timber forest products (NTFP)
20.7 Conclusion
Key Questions
Worldwide, forest certification has become an important 1. How forest certification helps in promoting sustainable
marketing tool for various stakeholders involved in the man- forest management?
agement, conservation, and exploitation of forest resources. 2. Why forest certification is termed as an environmental or
SFM is a prerequisite for achieving forest management certi- eco-label?
fication irrespective of the type of forest certification scheme. 3. Explain briefly the crucial elements of the forest certifica-
However, controlled wood certification under FSC does not tion process.
require SFM principles, but it assesses various kinds of risks
474 M. Yadav and D. Dugaya

4. Which are the global forest certification schemes and how McSweeny K (2005) Natural insurance, forest access and compounded
do they differ from each other? misfortune: forest resources in smallholder coping strategies before
and after hurricane Mitch, North-eastern Honduras. World Dev 33:
5. What are the benefits of forest certification for non-timber 1453–1471
forest products (NTFP)? Naka K, Hammet AL, Stuart WB (2000) Forest certification:
stakeholders’ constraints and effects. Local Environ 5(4):475–481
Perera P, Vlosky RP (2006) A history of forest certification. Louisiana
Forest Products Development Centre working paper no. 71.
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 Forest Genetic Resources: Conservation,
Management and Utilization 21
Bhavani Gurudev Singh

Abstract increased concern on the FGR in the recent years around the
India being a tropical country harbours rich biodiversity globe. The vastness of FGRs particularly in tropical countries
and has ample forest genetic resources. These genetic made it difficult to comprehend the method and modes to
resources need to be utilized for the betterment of human- handle them.
kind and also need to be conserved for posterity. A majority The global forest area accounts for 3870 million ha of
of Indian household depends on agrarian economy; how- which nearly 548 million ha is found in Asia. India ranks
ever, in the recent years, the development of forest-based third among Asian countries and foremost among the South
industries has contributed substantially to the farm income. Asian countries in having the largest area under forests
The overall increase in income levels has fuelled demand (64 million ha) with 21.6% of land area under forest cover.
for wood and wood-based products. The boom in construc- India with 2.5% of the world’s land surface and 1.8% of the
tion industry has necessitated increased import of timber. world’s forest area holds a wide array of biodiversity within
Likewise, the paper and pulp industry, ply wood, match- the forest ecosystem. Forest areas hold 15,000 species of
wood, pencil-making, incense sticks and ayurvedic industry higher plants of which 33% (i.e. 4900) species is endemic
require a large volume of wood and other forest produce. In (FSI 2009). The country has 10 biogeographic regions and
this situation, sustainable utilization of forest genetic 15 agroclimatic zones. About 60% of the country’s forest is
resources and their conservation is of paramount impor- located in ecologically sensitive zones like the Western Ghats
tance. This chapter discusses about status and utilization of and Himalayas.
resources for various end uses, the need and strategy for The contribution of FGR to welfare of humankind was
conservation by involving various stakeholders. never assessed and quantified because of complexities
involved. They have contributed substantially to the growth
Keywords of indigenous health traditions like Ayurveda, timber produc-
tion, paper industry apart from innumerable small-scale
Genetic resource · Conservation · Seed bank · Disjunct industries such as wood crafts, toy making, agarbathi
distribution · Endemic species (incense) industry, essential oils, rayon, silk, basket making,
cosmetics and pesticides. In the past, indiscriminate and
unsustainable harvest has resulted in dwindling of these
21.1 Introduction resources. On the contrary, some of the FGRs are yet to be
put into the optimum utilization. Rapid reduction of forest
Forest genetic resources (FGR) are important assets of a cover around the globe coupled with anthropogenic pressure
country, contributing to the welfare of its people and econ- has necessitated the initiation of regional and international
omy. Apart from providing the basic needs of the local network on FGR.
communities, they aid in agricultural and industrial growth. Realizing the importance of these resources, the local
Unlike the agricultural crop genetic resources, the FGR did communities followed many traditional ways like reserving
not get the required attention in the past. However, there is forest patches as sacred groves. In the recent decades, the
Chipko movement in Uttarakhand (Shiva 1988), The Joint
B. Gurudev Singh (✉) Forest Management (JFM) in West Bengal and Orissa
ICFRE-Institute of Forest Genetics and Tree Breeding, Coimbatore,
India
(Saxena 1999) and the shelving of Silent Valley Hydroelec-
tric Project in Kerala are some of the examples of people’s
Mysore, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 475
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_21
476 B. Gurudev Singh

involvement in conservation of forest and natural resources. differences in edaphic and climatic factors. Since most of
The concept of ‘conservation through utilization’ is getting the trees are outbreeding in nature, each standing tree is
importance in the recent times. Gloriosa superba, a medici- genetically different than others. They exhibit variation in
nal plant which was considered to be rare in nature three adaptation, resistance to disease and insect attack, form,
decades ago, is successfully conserved by large-scale culti- flowering, fruiting, germination etc. It is prudent to focus
vation involving local farming communities in the state of on conservation of only those FGR that exhibit variability
Tamil Nādu. There are efforts on conservation and sustain- which favour selection for characteristic such as resistance to
able utilization of FGR at global level by regional and inter- disease and pests, higher productivity etc. The conservation
national cooperation. The global database on FGR by food of FGR requires strategies which are entirely different from
and agriculture organization (FAO) through a number of agricultural crops because of the characteristic differences
networks, created in recent decades to address issues related between these two crops (Table 21.1).
to FGR, is an important step in right direction.

21.3 Prioritization, Characterization

21.2 Characteristics of Tree Genetic and Documentation of FGR
Resources
Considering the vast number of forest tree species and their
Forest genetic resources have been defined as heritable wide distribution range harbouring an even larger number of
materials maintained within and among tree and other populations, the critical issues in gene conservation planning
woody species that are of actual or potential economic, envi- are (1) how best to identify species to be included in the
ronmental, scientific or societal value. Forest trees exhibit a priority list and (2) how to select the populations to be
large amount of variability due to their unique characteristics. conserved (Graudal et al. 2001). The following are a few
Some of the characteristics are: different but complementary criteria that can be considered in
setting priorities:
• Long lifespan making them to expose to changing envi-
ronmental conditions • Current local importance, even if the species currently
• Mostly out breeders contribute only a little to the economy.
• High fecundity, produce large quantities of seeds every • Economic value, such as a species that may be of major
year importance for the subsistence of local populations in rural
• Their existence in nature for long period in geological areas.
timescale resulting in adaptation to varied climatic • Ecological and geographic considerations, such as status
conditions in typical stands, geographic range and capacity for natu-
ral regeneration.
Further, trees with a wide distribution range (e.g. teak and • The current conservation status of species and their
neem) exhibit a high amount of variability because of populations may be used as an indicator for prioritization.

Table 21.1 Differences between genetic resources of crop plants and trees
Feature Crop plant Trees
Duration Annual/biennial Perennial, several years for a cycle
Periodicity Complete life cycle in three to 6 months—Grow, Leaf shedding, flowering, fruiting is influenced by annual rains and photo
produce flowers and fruits and end their life and thermocycles—An annual phenomenon
Pollination Mostly self-pollinated/cross-pollinated. Pollinated Generally cross pollinated, self-incompatible
by wind and insect visitors
Seed setting Prolific seed producers Shy seed producers as fruit, nut, capsules—Not domesticated for seed
production
Dormancy Many do not have dormancy. Hard seed is rare Dormancy is common; pretreatment is needed
Propagation Mainly by true seed By seed, cuttings, grafts
Genetics Inheritance of most of the economically important Inadequate knowledge, 2n number unclear
characters is well understood
Breeding Traits controlled by single gene Wood traits mostly controlled by many genes
Seed Every year affair Seed production starts after reaching the maturity phase, which may be
production 7–8 years. Once orchards are established, seed production is a routine affair
Conservation Predominantly ex situ It is in situ supported by ex situ
(Modified after Nagarajan 2013)
21 Forest Genetic Resources: Conservation, Management and Utilization 477

Several thorough priority-setting approaches have been aspects on the species prioritized. For example, various
developed and described (Franzel et al. 1996; Yanchuk and patterns of distribution are exhibited by tree crops
Lester 1996; Koshy et al. 2002), but any particular set of (Table 21.2).
criteria that are ultimately chosen to rank species for conser- A common, uniform approach in conservation of these
vation activities need to consider local conditions and factors. species is not feasible because of diverse ecological
Priority-setting processes can, of course, consider factors as conditions, diversity of species and anthropogenic pressure.
equally important, or differentiate them by weighting the
criteria. The net results of the priority analysis and weighting
system ultimately used must make logical sense. Based on 21.4 Factors Driving the Dwindling of FGR
these considerations, countries have prepared the priority list
of trees taken up for conservation. Forty-eight tree species Change in land use patterns and exploitation of the species
have been enlisted as priority species for India (Sharma et al. are the two main aspects responsible for dwindling of forest
2002). Country report on the status of FGR in India enlists genetic resources. In the name of development, large forest
272 species as priority species for the country (Anonymous areas in India as well as around the globe are diverted for
2012). mining, hydroelectric projects, construction of roads. In the
The characterization of forest genetic resources depends past, especially during the colonial period, large-scale plant-
critically on the contributions of three scientific disciplines. ing of tea, coffee, rubber, etc. has changed the landscape
Taxonomy provides the reference system and depicts the pattern from natural forests to plantations.
pattern of diverse range of species. Genetics gives a direct Overexploitation of the species of commercial importance
knowledge of the genetic variation found within and between has resulted in dwindling of resources and in some cases has
species. Ecology provides knowledge of the varied ecologi- threatened the very existence of species. Tectona grandis,
cal systems in which taxonomic and genetic diversity is Dalbergia latifolia and Santalum album are some of the
located and of which it provides the functional components. species overexploited for their commercially valuable
Assessing the genetic variation is fundamental for devel- wood. Large-sized teak trees were removed from forests of
oping strategies for conservation and utilization. Reliable India for railway sleepers, ship buildings, etc. It is said the
authentic information on the distribution of genetic variation best teak wood is found in the castles and palaces of Britain.
within and between geographic regions is important in order Dysgenic felling, removal of best trees from population in the
to establish an effective network of conservation populations. past has resulted in a skewed population structure, not
Genetic variation can be assessed by different techniques. It allowing the natural process of evolution. But on a concilia-
is possible to study morphological and metric characters in tory note, the Britishers are also credited with initiating the
field trials, or with biochemical and molecular markers using large-scale plantations of teak. Dalbergia latifolia (Indian
laboratory techniques. rosewood) was among the most preferred wood for furniture
An array of biotechnological tools is contributing to the making with great export value. The species with scattered
knowledge of forest genetic resources. Biotechnology has distribution in the plains of Chotanagpur, central India and
contributed to the knowledge of genetic variation within Western Ghats of south India had population of big size trees
and between species and populations, understanding pollina- exceeding 10 feet girth in the past. Now the population has
tion mechanism and establishing clonal identity. In the last dwindled in number and it is a rare sight to see big trees. The
two decades, there is a vast number of publications on molec- conservation efforts made for its close cousin Dalbergia
ular markers far exceeding the quantitative data. Transgenic cochinchinensis in Cambodia, Laos, Vietnam and Thailand
research is being carried out in trees such as Pinus, Populus, are also need to be adopted for Dalbergia latifolia in India.
Picea, Larix and Eucalyptus to develop trees conferring pest Garcinia gummi-gutta, a dioecious species, is a recent
resistance, herbicide resistance, abiotic stress resistance, hor- example of overexploitation in the Western Ghats region.
mone regulation, lignin, cell wall biosynthesis and growth The seeds which are used to extract butter are collected by
(Flowchart 21.1). local communities. About 90–95% of fruits are harvested/
Collection of data on natural range of species, present removed by local people and have resulted in poor/no regen-
status, potential threats, distribution pattern, habitat charac- eration in the natural habitat. Another example is Coscinium
terization, demographic structure, population dynamic, inter- fenestratum, a woody climber of Western Ghats, harvested
specific competition, genetic variation within and between indiscriminately for its medicinal uses.
populations, breeding system, pollen and seed vectors, Apart from the above threat status, various types of threats
changes of climate and environment is required for effective to forest genetic resources have been enlisted (Box 21.1). It is
conservation and utilization of FGR. Each one of the above a general perception that any developmental activity is con-
aspects is described elsewhere (FAO 2012). In a tropical sidered as antithesis of conservation. Hence, any
country like India, it is necessary to study all the above
478 B. Gurudev Singh

Flowchart 21.1 Conservation

and management of forest genetic Forest Genetic Resources
resources Conservation and Management

Prioritization of species based on utilization and

threat status
Distribution, population dynamics, spatial
Prioritization, mapping
Characterization Genetic variation within and among population
Characterization through morphometric and
molecular tools

In situ – Conserving in natural habitat, dynamic,

allow the process of evolution.
Conservation Ex situ – Conserving outside its natural habitat,
static, only a part of genepool conserved.
Circa situ – Conserving in habitat close to forest
habitat

Breeding for specific traits with end products in

mind
Production of quality planting stock
Utilization
Stakeholder participation – farmers, industries,
forestry researchers

Policy issues, regional and internaonal

networking, research input, funding support

Table 21.2 Occurrence and distribution of tree species in India

Distribution pattern Example species
Rare Vateria macrocarpa
Only native conifer of Western Ghats Podocarpus wallichianus
Narrow endemic Gluta travancorica
Endemic with gregarious occurrence Pterocarpus santalinus
Endemic with sporadic distribution Santalum album
Distribution with wide geographic range Azadirachta indica
Distribution extending to neighbouring countries Tectona grandis
Disjunct distribution Gmelina arborea
Melia dubia
Ailanthus excelsa
Complex species with wide distribution Acacia nilotica
Countrywide common distribution Dendrocalamus strictus
Bambusa bamboos
21 Forest Genetic Resources: Conservation, Management and Utilization 479

developmental activity should also have conservation of nat- 21.6 In Situ Conservation
ural resources in its centre of focus.
In situ conservation is generally considered as easier and
Box 21.1 Type of Threats to FGR
cost-effective. There are a lot of deliberations on what should
1. Forest cover reduction and degradation be the size of the conservation area and in case of widely
2. Forest ecosystem diversity reduction and distributed species how many populations need to be
degradation conserved. Hamrick (1994) suggested that for tropical tree
3. Unsustainable logging species, if 80% of the total genetic diversity resides within a
4. Management intensification population, five strategically placed populations should cap-
5. Competition for land use ture 99% of their total genetic diversity. A successful in situ
6. Urbanization gene conservation programme must fulfil the following basic
7. Habitat fragmentation requirements:
8. Uncontrolled introduction of alien species
9. Acidified soil and water • Regeneration of the population must be assured and the
10. Pollutant emissions new generation of trees must predominantly result from
11. Pests and diseases mating within the conserved population
12. Forest fires • The number of genotypes in the conserved population
13. Drought and desertification must be large enough to include most of the common
14. Rising sea level alleles
• The network of conserved stands must be distributed in
such a way as to cover the spatial genetic variation present
in the species

Protected areas are ‘areas especially dedicated to the pro-

21.5 Conservation tection and maintenance of biological diversity and
associated cultural resources, and managed through legal or
The future of humankind depends on the effective conserva- other effective means’ (IUCN 1994). They cover various
tion approaches adopted now. The process of conservation situations, ranging from managed resource areas, protected
starts with prioritizing the species based on stakeholders’ watersheds, national parks and strictly protected reserves, to
needs and threat status. Various strategies like conserving sacred forest groves. Successful conservation of threatened
the ecosystem rich in diversity, species conservation and tree species in protected areas have been reported from many
gene conservation are recommended by the researchers. Con- countries. Some examples are Cotylelobium melanoxylon in
servation is not possible without involving the participation Thailand, Eucalyptus nitens in Australia, Shorea bakonensis
of people and change in policy regime. There are two major in Malaysia, Caesalpinia echinata in Brazil, Lodoicea
approaches followed in conservation strategy. One is in situ maldivica in Seychelles (Thomson and Theilade 2001).
conservation, where the natural habitat is conserved by giv- Involvement of local communities and local government
ing adequate protection. It is considered as ‘Dynamic Con- is important for effective in situ conservation. Creation of
servation’ as the natural process of evolution is allowed to protected areas as a policy of Government of India has not
continue with its relative components unaltered. The ex situ only safeguarded forests from degradation but also ensured in
conservation involves removal of species from its natural situ conservation. In India, there are 14 biosphere reserves,
habitat and growing them in another location. It is considered 97 national parks, 508 wildlife sanctuaries, 31 tiger reserves,
as ‘Static Conservation’ as only a part of genepool is 7 conservation reserves and 2 community reserves providing
conserved through human intervention. A comparison of in niche for FGR (Rawat and Ginwal 2009).
situ and ex situ conservation is given in Table 21.3.

Table 21.3 In situ versus ex situ conservation

In situ conservation Ex situ conservation
• On-site activity • Off-site activity
• Conservation of species within its natural habitat with all • Conservation of species outside its natural habitat with only a part of
associated components genepool reserve
• Dynamic process, facilitates natural evolution • Static process with facilitation of artificial selection
• Perpetuation of natural variability • Creation of artificial hybrids with desired traits by assemblage of genotypes
from different environment
• Facilitates conservation forestry • Facilitates production forestry with improved yield
480 B. Gurudev Singh

Table 21.4 Regeneration status of local species (RET) in Silent Valley MPCA
Name of species Seedlings per ha Saplings per ha Mature trees per ha
Myristica dactyloides 759 352 143
Garcinia morella 704 222 70
Persea macrantha 167 56 45
Symplocos racemosa 148 0 9
Aphanamixis polystachya 111 0 27
Embelia ribes 56 0 10
Canarium strictum 19 0 23
Nothapodytes nimmoniana 0 0 1
Garcinia gummi-gutta 0 0 2
Cinnamomum sulphuratum 0 0 10
Hydnocarpus alpina 0 56 18

Studies carried out in the Silent Valley National Park,

Kerala, revealed that there are three patterns of regeneration Box 21.2 (continued)
(Kunhikannan et al. 2011). In the first case, the regeneration vested forests in Kerala, remnant forest patches in
of seedlings, the status of saplings and the status of mature coffee and tea estates. Some of the genetic resources
trees is adequate for the population to sustain. In the second like Mango, Artocarpus, Zanthoxylum, Hopea and
case, there is a good number of seedlings and mature trees but many more species are conserved for generations in
no saplings recorded. In the third case, there are only a few such habitat. They also supplement the pollen to the
mature trees with no seedlings and saplings. There are wild population in adjoining forest areas and perpetuate
concerns about the sustenance of population in the latter the diversity. The genetic resource of ‘appemidi’ a
two cases (Table 21.4). Whether this state has arisen due to flavoured variety of mango where whole raw mango
poor seed set, lack of pollinators, poor regeneration, preda- is used to prepare pickle, a delicacy in Karnataka, was
tion due to insects and animals, trampling by wild animals depleting in the wild. It is conserved in homestead of
needs to be studied. Such studies are required for an effective Uttara Kannada according to a study conducted by
implementation of in situ conservation measure. College of Forestry, Sirsi.
Some researchers stress on identifying the genetic
hotspots or the sites of diversity as effective in situ conserva-
tion measure. Studies conducted on allozyme variation in
sandalwood populations of Karnataka have revealed high
21.7 Ex Situ Conservation
diversity in the Deccan plateau as well in the Western
Ghats, suggesting such areas as ideal in situ conservation
Ex situ conservation is an important complement to conser-
sites (Nageswara Rao et al. 2007). Similar studies conducted
vation, especially for forest tree species threatened by loss of
on two most important bamboo species in India, namely
habitat. These collections are generally easily accessible, well
Bambusa bamboo and Dendrocalamus strictus have revealed
documented and protected from natural disasters, but they do
Western Ghats and Eastern Himalayas as hotspots and
not continue to evolve as it does in situ. The methodologies
suggested as in situ conservation sites (Chaluvaraju et al.
for selection of sites, sampling strategies and the establish-
2001).
ment of ex situ stands have been well discussed (Weber et al.
However, in situ conservation in tropical ecosystem, par-
2004).
ticularly like those of the Indian subcontinent, is difficult, not
Some possible approaches of ex situ conservation of trees
only owing to environmental disasters, landslides, unpredict-
are mentioned below (FAO 2012).
able rainfall, flood etc. but also due to manmade disasters and
pressures like forest fire, illicit felling and overexploitation of
• Provenance trials—comparing trees grown from seeds
wild gene resources for commercial purpose (Box 21.2).
collected from different sites of a species range.
• Seed orchards—plantations established for the production
Box 21.2 Circa Situ Conservation of tree seed.
Circa situ conservation is a concept involving conser- • Clonal repositories—collection of clones of a species.
vation of forest genetic resources in areas close to the • Botanical gardens—plants, especially ferns, conifers and
forest habitat such as homesteads in Western Ghats, flowering plants, are grown and displayed for the purposes
of research and education.
(continued)
21 Forest Genetic Resources: Conservation, Management and Utilization 481

• Arboreta—trees are grown and displayed for the purposes

of research and education. Box 21.3 (continued)
• Herbal gardens—plants of known medicinal values are genetic resources has a challenge to meet the wood
grown and displayed for the purposes of research and requirement of ever-growing population through
education. increased forestry activities in the future enabled by
• Seed and pollen banks—storing seeds as a source for concerted effort to have its own Seed Bank. It will also
planting in case seed reserves elsewhere is destroyed and help in biochemical profiling of tropical seeds and
pollen for controlled pollination. It facilitates germplasm provide the scope for patenting the novel compounds.
exchange (Box 21.3). It is also pertinent to mention the statement made by the
• Vegetative propagules—stored under aseptic conditions. then Honourable Minister of Environment and Forests
Shri Jayaram Ramesh that ‘Seeds are as strategic to
India as space and nuclear issues’.
Box 21.3 Seed Bank—Need for India Initiative
Seeds are generally categorized into three groups:
(1) orthodox seeds are characterized by low moisture
in the seeds at the time of seedfall. They can be stored
comfortably at low temperature for a long period, 21.8 Tree Improvement Activities and Ex Situ
invariably they suffer from dormancy, e.g. Tectona Conservation
grandis; (2) Recalcitrant seeds have a high moisture
content at the time of seed fall, sensitive to reduction in Ex situ conservation strategies such as establishing field gene
moisture content and low temperature, hence pose bank, seed bank are considered to be expensive, time-
problems during storage, e.g. Artocarpus; (3) Interme- consuming strategies require a great amount of effort.
diate seeds have a high moisture content at the time of Hence field gene banks are established for those species
seed fall, amenable for moisture reduction and can be which are planted in large areas, have a high commercial
stored for some period, e.g. Azadirachta indica. Subse- value, supported by an elaborate tree improvement
quently many more categories of seeds have been programme (TIP). They also need to have a broad genetic
added based on the sensitivity to drying regime and base, ensure gene flow and take care of genetic drift. Tree
temperature. But the behaviour of tropical tree seeds improvement programmes are implemented for only those
poses much more challenges in handling them and species which are commercially important and planted in
there are gaps in knowledge about them. large areas. TIP is important component of production for-
The Millenium Seed Bank Partnership established estry backed by conservation of FGR. TIP activities focus on
in 1996 in the Royal Botanical Garden, Kew of United judicious use of resources in conservation and utilization
Kingdom is the largest ex situ conservation programme (Christel Palmberg-Lerche 1998). The aim of TIP is produc-
based on seed storage. This global initiative involves tion of genetically improved seeds with increased productiv-
collaboration of 50 countries and agencies like FAO ity. The process involves selection of trees for desired traits,
and Bioversity International. Its purpose is to ensure establishment of orchards as a source of improved seeds,
availability against extinction of plants in the wild. establishment of progeny trials and development of clones.
In India, there are many seed centres operated by The process of selection and breeding continues for many
state forest departments, to name a few, Seed Centre at generations with a focus on increasing productivity. Contin-
Nagpur, Maharashtra; Seed Centre at KFRI, Peechi, uous selection and breeding for many generations results in
Kerala; Seed Centre at Kanpur, Uttara Pradesh; Seed loss of variability and therefore fresh populations are infused
Centre at Coimbatore, Tamil Nadu; Seed Centre at into breeding programme. Thus, TIP is a long-term continu-
Bengaluru, Karnataka. Every year these centres collect ous activity requiring management of the genetic resources
large quantity of seeds of over 100 species and supply for a few decades. Tree improvement in different tree species
to the farmers and others for raising the seedlings. being carried out by various agencies in India is given in
India harbours over 14,000 angiosperm plant spe- Table 21.5.
cies with equal array of seeds. Seed banks are consid- The successful conservation and management of FGR
ered as efficient ex situ conservation measure against involves characterization and documentation of these
extinction from wild. The requirement of manageable resources. Characterization of FGR is important to under-
space in storage of seeds, protection against natural stand the variability existing and the scope for improving
calamities and retrieval of germplasm at any time are the traits of importance. An understanding of morphology,
the greatest advantages of seed bank. India with rich seed technology, biochemistry, wood anatomy and knowl-
edge of application of biotechnological tools is a prerequisite
(continued) for characterization of FGR.
482 B. Gurudev Singh

Table 21.5 List of institutes engaged in TIP

Species Institution
Azadirachta indica AFRI, Jodhpur
Tectona grandis Teak center, Chandrapur
TFRI, Jabalpur
IFGTB, Coimbatore
Dalbergia sissoo FRI, Dehradun
Bamboos RFRI, Jorhat
KFRI, Peechi
Melia dubia FRI, Dehradun
IFGTB, Coimbatore
Pinus HFRI, Shimla
Eucalyptus IFGTB, Coimbatore
Casuarina IFGTB, Coimbatore
Leucaena BAIF, Pune.
IFGTB, Coimbatore
Santalum album IWST, Bangalore
Gmelina arborea RFRI, Jorhat
IFGTB, Coimbatore
Tamarindus indica TNAU, Periakulam
IFGTB, Coimbatore
The above list is indicative. There are many horticultural colleges across India that maintain the germplasm of many wild edible fruits like
Artocarpus, Garcinia, Syzygium, Emblica

Revitalization of Local Health Tradition (FRLHT), a

21.9 Status of Forest Genetic Resources in Bengaluru-based NGO, has established 54 Medicinal Plant
India Conservation Areas (MPCA) in collaboration with state for-
est departments of Karnataka, Kerala, Tamil Nadu and
21.9.1 Genetic Resources of Medicinal Plants Maharashtra.

Ayurveda, the traditional way of healing diseases in India, is

mostly based on plants and their parts. Currently more than 21.9.2 Genetic Resources of Timber Species
500 species of plants including herbs, shrubs, climbers, trees
are used by Ayurvedic industry. As most of the plant species India is a timber deficient country and its import bill is to the
are sourced from wild, there is depletion of these resources in tune of USD 1.25 billion a year. Teak is the major timber in
the wild. Since roots and bark are the main source of active the households of the country and is known as ‘King of
ingredient, destructive harvesting of plants in large quantities timber’. India imports wood from around 30 countries of
has resulted in severe depletion of these resources. Saraca which except Myanmar the rest do not have natural teak
asoca, the Ashoka, is one of the important trees used in and the source of planting material is mostly from India.
Ayurvedic medicine. The demand for bark of this tree is Though India harbours the largest genetic diversity of teak
over 2000 tonnes per year. Removing of bark from standing (more than the combined diversity of all other countries
trees has resulted in death of trees and dwindling of the where teak occurs naturally), its genetic potential has not
population in its natural range. International Union for Con- been exploited. The recorded teak plantation in the world is
servation of Nature and Natural Resources (IUCN) has 5.28 million ha, out of which India has 1.50 million ha. The
red-listed this species under the threat category ‘globally pre-independence era Indian Forest Records show that the
vulnerable’. Some of the trees which are harvested in this British knew the importance of teak not only in making
way are, Oroxylum indicum, Gmelina arborea, Aegle warships but also as a timber in house construction and
marmelos and Premna serratifolia. Continuous unsustain- furniture making. Large-scale plantations were established
able harvest of these resources has also put the future of during that time. Even before the colonial rule, teak was a
Ayurvedic industry at stake. preferred species for shipbuilding, a thriving business in
In order to support sustainable utilization of these West Bengal and Kerala. The interest in teak cultivation
resources, the Department of Ayush (erstwhile NMPB) is lost focus gradually post-independence. During 1990s, teak
encouraging the cultivation of medicinal plants by providing was promoted for cultivation by many private companies in
subsidy of 30% to 70% of cultivation cost for about 95 medic- India with floating of teak bonds, but these ventures did not
inal plants including 26 tree species. Foundation for succeed because of the use of poor genetic quality of planting
21 Forest Genetic Resources: Conservation, Management and Utilization 483

material, improper site selection and poor management Other important wood producing tree species are
practices. However, in the recent years scientific intervention Pterocarpus marsupium, Terminalia tomentosa and
has resulted in establishment of large-scale plantations by Lagerstroemia lanceolata for which seed production areas
private companies in the continents of Africa and South have been established as source of quality seeds by many
America. In countries like Malaysia and Thailand, clonal state forest departments.
plantations of teak are harvested under rotation age of
18–20 years. A good performing clone is promoted as
‘Super Teak’ by Sabah-based company YSG Biotech (Goh 21.9.3 Genetic Resources of High-Value Wood
and Monteuuis 2009). Producing Species
Realizing the importance of teak, tree improvement
activities started in 1960s. Over the past half century around Santalum album (Sandalwood) and Pterocarpus santalinus
250 plus trees have been identified and 5000 ha of seed (Red sanders) are the two high value wood producing species
production areas (SPAs) and 1000 ha of clonal seed orchards endemic to Peninsular India and deeply associated with the
(CSOs) established in different teak growing states (Katwal culture of local people. Santalum album is native to
2003). A national germplasm bank of teak was established at Karnataka, Tamil Nadu and Kerala and Pterocarpus
Chandrapur, Maharashtra and an international provenance santalinus is restricted to the hills of Cuddapah region of
trial of teak was established at Maredumilli in Andhra Andhra Pradesh in Eastern Ghats. They have been exploited
Pradesh. The seed orchards established with an intension of for over two centuries for revenue generation by the state and
supplying quality seeds for plantation activities were bogged illicit felling and smuggling of wood were the major reasons
down by unperceived low seed production. With the passage threatening their genetic resources. As a result, farmers and
of time these resources which were created with a lot of entrepreneurs who grow them are highly concerned since
effort, money and time have been pushed to oblivion. The there is a threat looming over illicit cutting of trees by
farmers of India are ready to plant teak. There is a demand for smugglers for their high value wood. It is also evident by
wood with increased activities in house construction, it is the frequent seizure of large volume of wood by enforcement
time to revive these resources and reduce the burden of agencies not only in the region of their growth but also from
importing wood. There is untapped genetic variation in teak whole of India.
still to be exploited with scope for extending the plantations Santalum album grows naturally in forests extending over
in wet zone as well as semi-wet zones of the country. 8000 km2. Because of its legal status as ‘Royal Tree’, there
Dalbergia sissoo and Shorea robusta are the two other were restrictions in cultivation and trading of sandalwood
most widely grown species for which tree improvement and used to be the monopoly of the state. Because of slow
activities are in progress albeit in a lesser way. These two growth in its natural habitat, the rate of extraction of wood
species are also prone to serious disease and pest attack, from the forests was much higher than its production poten-
namely die back and borer attack. The priority of research tial. The annual production of sandalwood in Karnataka was
for these trees is breeding for disease and insect resistance. 2800 tonnes during 1950s, reduced to 1800 tonnes during
Dalbergia latifolia (Rosewood), a wood preferred over teak 1985, dropped to 76 tonnes in 1999 and further dwindled to
in furniture making and most sought after species for inlay 3.52 tonnes in 2010. It is interesting to note that the extraction
works and artifacts, has a high export potential. Due to of a large volume of wood from forests is happening for over
overexploitation in the past and inherent slow growth, the 200 years, during the precolonial period, colonial period and
genetic resources of this species have dwindled and the post-independence (Ezra 2014). Extraction of wood for such
non-availability of wood for artisans and furniture making a long period without augmenting plantation activities has
industry has put them in disarray. A study conducted by threatened the very existence of the species. It is an ideal case
IFGTB on the natural regeneration of the species in Tamil to study how a highly valuable species with restricted distri-
Nadu and Kerala revealed the natural population is fast bution was pushed to the edge of extinction. Concerted
depleting in the wild with poor regeneration. The species efforts in framing the policies, improving the cultivation
has been categorized as ‘Vulnerable’ by IUCN Red List of practices backed by research support are required to regain
Threatened species and overexploitation of the species from the past glory of sandalwood in India. The tree is also plagued
wild for timber has been attributed as the major threat factor by sandalwood spike disease, frequent fire and illicit felling
encountering the species. Dalbergia sissoides is another spe- of good trees. Sandalwood has been categorized as ‘vulnera-
cies native to Southern region of Western Ghats with a wood ble’ by International Union for Conservation of Nature and
harder than D. latifolia and fetches a higher value as premium Natural Resources. Sandalwood regeneration with bird
wood in cabinet and furniture making. It is a distinct species, droppings has resulted in the growth of sandal in farmlands
closely related to D. latifolia than D. sissoo, but less and urban landscapes. Srimathi et al. (1983) reported three
understood. phenotypes on the basis of heart wood, sap wood and certain
484 B. Gurudev Singh

parameter of the tree. Institute of Wood Science and Tech- number of trees for a long period have made the species
nology (IWST), Bengaluru, has selected plus trees of vulnerable and the species is placed in Appendix-II of
S. album from southern states, based on the growth, heart CITES. Though it coppices well, annual fires and grazing
wood and oil content (Arunkumar et al. 2011) and established have resulted in poor regeneration. A study on
Clonal Germplasm Bank at Gottipura, near Bengaluru. Dur- non-detrimental findings (NDF) has shown poor regenera-
ing 1982, Clonal Seed Orchard (CSO) of 25 clones was tion, slow growth, absence of trees with higher girth class,
established at Nallal, also near Bengaluru (Srinivasan et al. absence of seed producing mother trees are the reasons of
1992; Srimathi et al. 1995). A Vegetative Multiplication depletion of genetic stock (Hegde et al. 2012).
Garden and seed orchards at four locations were established The tree is smuggled out of the country because of the
in Tamil Nadu. IWST has also developed refined protocols high value it fetches in China, Japan and other countries. Not
for in vitro cloning of S. album through axillary shoot prolif- only wood, but also wood chips and wood dust are smuggled.
eration and somatic embryogenesis of mature trees and The unusual high price of smuggled wood is ascribed to the
clones. coloured wood used in making musical instrument, as color-
The lifting of the ban on felling of sandalwood trees ant in drinks, medicinal use, treating the heavy water but
during 2010 in Karnataka and other states coupled with the knowledge of the actual use of this species is elusive and
awareness on the high returns from its cultivation have yet to be unearthed. In the recent years, the species is being
encouraged many farmers to take up large-scale plantation planted outside the natural range and reported to have good
of sandalwood planting in India. This increased plantation growth (Fig. 21.2).
activity necessitates supply of quality seedlings with fast
growth, high heart wood content and disease-free stock.
Pterocarpus santalinus naturally occurs in the rocky out 21.9.4 Genetic Resources of Pulp Wood Species
crops of the hill regions of five districts in Andhra Pradesh,
namely Cudappa, Chittoor, Nellore, Ananathapur and There are over 600 paper mills (Box 21.4) in India, of which
Karnool (Fig. 21.1). Though the population density is high, 12 are major paper mills. These mills require a large volume
the narrow endemism and clandestine removal of large of wood for pulp production. The major species utilized in

Fig. 21.1 Pterocarpus santalinus (red sanders), a narrowly endemic species to the Southern Eastern Ghats
21 Forest Genetic Resources: Conservation, Management and Utilization 485

Fig. 21.2 A plantation of red sanders raised by forest department in Rajampet, Andhra Pradesh

these paper mills are short rotation exotic species, namely Many exotics have also notoriously known to become weeds.
Eucalyptus, Casuarinas, Phyllodinous Acacias and Leucaena. Acacia mearnsii (blue wattle) in the Nilgiri mountains,
The rotation of these crops is invariably fixed at 3–6 years. Leucaena in the farmlands of East coast and Phyllodinous
Large-scale plantations of these crops are being raised in Acacias in the Western Ghat region are some of the examples
farmers’ field with incentives provided by paper mills in the of exotics turning into weeds. It is important in understanding
form of subsidized seedlings and buy back guarantee. India is the biology of the species and the management before they
considered to have the largest plantations of these pulpwood are introduced in new locations.
crops under cultivation. But these tree crops are also prone
for serious pest and disease problems. High yielding clones
Box 21.4 Paper and Pulp Industry in India
and hybrids have been released by research organizations and
• The pulp and paper industry is one of the key
paper mills. As a result, clonal plantations have become
industrial sectors contributing to the Indian econ-
popular among farmers. The narrowing genetic base is a
omy. There are 861 paper mills in India with an
serious concern in these crops due to repeated selection and
operating capacity of 25 million tonnes (2019–20).
breeding. As a result, new populations are infused into the
• Paper mills in India continue to face challenges with
breeding programme at regular interval.
forest-based raw material. Out of the annual paper
When exotics are being introduced, many precautions
production capacity of nearly 25 million tonnes,
need to be taken. The first set of provenances of Acacia
around 31% (7.75 million tonnes) is produced by
auriculiformis introduced to India had the trees with forked
26 major wood-based mills and the rest 69% by
and heavily branched main stem (Fig. 21.3), a highly unde-
waste paper and agro-based mills.
sirable attribute for timber and pulpwood production. Hence,
introduction of species should prelude provenance testing. (continued)
486 B. Gurudev Singh

harvested at the age of 5–6 years, there is a huge demand for

Box 21.4 (continued) seeds and seedlings to raise new plantations every year.
• The present annual requirement of wood is 11 mil- There are many private nurseries which supply seeds and
lion tonnes. The demand for pulp wood in India seedlings, but the quality of the planting stock supplied by
expected to increase by 70% in the coming decade. these nurseries is a matter of concern. There is an urgent need
• The Tamilnadu Newsprint and Papers Limited to augment these supplies.
(TNPL) requires about 1800 MT of pulp wood
per day.
• The yield from clonal plantations of Eucalyptus 21.9.5 Genetic Resources of Minor Wood
(Fig. 21.4) and Casuarinas is about 120 tonnes/ha Producing Species
on a 3-year rotation cycle. At a price of Rs 2500 per
tonne, famers will get Rs 3 lakh per ha (2015). There are various small- and medium-scale wood-based
industries in India which require wood in substantial
quantities. They are also encouraging farmers to grow tree
crops in their farmland. Some of the species used by industry
Farmers prefer to grow these trees because of fluctuating are Anthocephalus for pencil making, Ailanthus and poplar in
and non-remunerative agricultural produce, shortage of match wood industry, Melia dubia in plywood industry,
labour to work in the field, ease of maintenance and a definite Grevillea in truck building, bamboos in incense stick indus-
income at the harvest age. Since these are short rotation trees, try. In the recent years, farmers have taken up cultivation of

Fig. 21.3 Forked and highly branched Acacia auriculiformis, an early introduction to India
21 Forest Genetic Resources: Conservation, Management and Utilization 487

Fig. 21.4 Clonal plantation of Eucalyptus in farmers’ field

these tree crops because of better remuneration. They are the species successfully domesticated. There are also a large
harvested at the age 10–15 years and fetch a market price number of fruits used by local communities in traditional
better than the pulp wood species. Ailanthus excelsa and medicine, whose nutritive value is yet to be exploited and
Ailanthus triphysa are the two species grown in south India. they are the potential source of novel compounds.
A. excelsa is grown in river tracts of Tamil Nadu and
A. triphysa in wetter regions of Kerala. The matchwood
industry prefers A. triphysa because of light coloured wood. 21.9.7 Genetic Resources of Oil Yielding Species
These crops are either grown as block plantations or a few
trees are grown on the bunds of agricultural field. It is a There are many trees species in India that support the energy
custom in Tamil Nadu to plant few trees of Ailanthus on the needs of the local communities. Trees like Azadirachta,
bunds of agricultural field and sell the trees and utilize the Pongamia, Calophyllum, Madhuca yield oil used by local
money obtained for meeting different family needs. villagers to run their generator sets and lit the lamps in the
night. Most of these oils are also used in local therapy and
also as the base for application of pesticides on agricultural
21.9.6 Genetic Resources of Wild Fruits crops. In the recent years, these oils are being promoted as
biofuel by Government of India and other state governments.
India being a tropical country is also rich in wild animals. The Government of Karnataka has established a ‘Biofuel
There are many trees which support the wildlife by providing Park’ in the district of Hassan and helping the farmers in
them fodder and fruits. It is estimated that there are more than cultivation, collection, procurement and marketing of oil
235 species of wild fruit yielding plants in the Western Ghats. seeds.
Some of the species have been domesticated and are being These seeds are also excellent source of pesticides.
grown as horticultural crops or in homestead. Garcinia, Azadirachtin extracted from the seeds of Azadirachta indica
Artocarpus, Syzygium, Emblica and Mangifera are some of (Fig. 21.5) is found to be effective in controlling over
488 B. Gurudev Singh

Fig. 21.5 Variation in seeds of Azadirachta indica (neem)

200 insect pests. As a result, there is global market opened for has been updated in order to include new progress in forest
neem-based pesticides. It is estimated that about 4 lakh tree improvement (Nanson 2001). It is time to revive the
tonnes of neem seeds can be produced every year from the scheme in India to ensure the supply of planting stock of
naturally grown trees (IARI 1999). proven genetic quality. The forestry crops have already been
notified under PPVFRA Act, 2001. The DUS descriptors and
testing guidelines have been notified for Eucalyptus, Casua-
21.10 Legal Framework and Relevant Acts rina, Pongamia, Melia dubia, Poplars and Teak. It is also
on FGR planned to include the forestry crops in proposed Seed Act
2020. The advancement made in tree improvement has
The Indian Forest Act of 1927 regulates management of resulted in release of clones of Eucalyptus, Casuarina,
forests by the states. The Forest Conservation Act 1980 is Dalbergia sissoo, Calophyllum by research institutes follow-
considered as a stringent act which has placed strict control ing the guidelines issued by ICFRE, the national body for
over diverting forest land for non-forestry purposes. Follow- forestry research in the country.
ing the CBD, Biodiversity Act 2002 was enacted (Mandal
2006) which regulates the use of bioresources for commercial
purposes. A ‘Scheme for Certification of Forest Reproductive 21.11 Future Strategies
Material in India’ was proposed under the Indo-Danish Proj-
ect on Seed Procurement and Tree Improvement in India. The genetic resources in India, though rich and diverse, are
This scheme was based on the OECD scheme and under constant threat because of its population related pres-
recommended its implementation in India (Madan Gopal sure to divert forest areas to developmental activities. The
1979). The OECD scheme was basically evolved to certify demographic change has also led to increased demand for
the tree seeds and plants moving in international trade, par- wood and other forestry products. In order to address these
ticularly in Scandinavian countries and some of the other issues, there need to be a sound strategy on conservation and
countries in Europe. The same scheme is followed in utilization of forest genetic resources.
Canada, Japan and the United States. The old 1974 Scheme
21 Forest Genetic Resources: Conservation, Management and Utilization 489

Prioritization of Species Prioritization of tree species is the communities plays a very important role in successful imple-
first step in initiating the process of conservation and utiliza- mentation. ‘Hands off’ approach has resulted adversely on
tion of forest genetic resources. While prioritizing, it is the conservation programme; on the other hand, involving
important to involve all the stakeholders. But, it is observed the local communities has resulted in sustainable utilization
that each set of stake holders will have their own list of of resources. What is required is a well thought management
priority species. The list of trees prioritized by timber indus- plan for conservation and utilization of forest genetic
try is different than the species prioritized by artisans, and in resources.
turn they differ with the farmers, researchers, forest dwellers,
forest department etc. As a result, the list ends up including a Institutionalization of FGR Programmes on conservation
large number of species. An exercise done at national level and utilization of forest genetic resources are best undertaken
has prioritized 272 tree species for India. Hence, a pragmatic and coordinated by a designated national agency working in
list of prioritised species is required to be prepared for differ- close collaboration with state agencies and other
ent regions of India, namely North, North-East, East, West, stakeholders. This national agency can take the best examples
Central and Southern India. around the globe and coordinate the programmes at national
and international level. The natural forests are treasure house
Establishing Linkages The farmers in India are ready to of the country and backbone of the conservation programme.
grow tree crops, when there is an assured market for the crop. Reducing adverse interference and enhancing protection
But getting quality planting stock is one of the constraints. ensure the sustenance of these forests in generations to
There are many farmers who have planted teak trees in their come. These natural resources can act as ‘Permanent Fixed
farmland expecting a good return after few years. It is Assets’, at the same time provide basic resource material for
observed that most of these trees started forking at early age creation of ‘ex situ’ seed sources in the form of seed produc-
with a short clear bole of no commercial value. There are seed tion areas, seed orchards and multiplication garden. These
orchards and seed production areas of teak established by seed sources, so established can supply the seeds for large-
state forest departments meant for supplying quality seeds. scale plantation programmes. As these forest genetic
They need to be put into proper usage. There are many resources are assets of the country, they need to be
research organizations working on improvement of tree ‘registered’ under National Register of Forest Genetic
crops. The timber and paper industries require a large volume Resources. Though there are 272 tree species prioritised for
of wood. It is necessary to develop linkages among these the country, there is no comprehensive document available
stakeholders in order to make optimum utilization of on status of these tree species. There is good amount of
resources. information available on the taxonomic features of these
species, but there is an urgent need to prepare a comprehen-
Research Requirement Tropical trees exhibit a large sive document on profile of each species with reference to
amount of variability because of their evolution in the com- FGR comprising the information on distribution, population
plex ecosystem. Taking up research work on these trees is structure, number of populations, variability existing, regen-
expensive, time consuming, limited to few species, seldom eration pattern, extent of utilization, economics of the spe-
on population. There is a limited knowledge on a few species cies, programme of planting, threat status, conservation
and a vast number of species are yet to be investigated. In measures undertaken.
order to develop a sound conservation strategy, it is important
to understand the variability due to genetic and environmen-
tal factors, the pollination mechanism, mode of pollen and 21.12 Conclusion
seed dispersal, threat perception. In the recent years, molecu-
lar markers are being extensively used to understand the It is generally believed that we are losing one species before
genetic variability and pollination mechanism. Most of the we discover another species indicating the rate of degradation
tropical tree seeds are recalcitrant in nature. It is easy to store happening around the globe. It is disheartening to know that
hard coated orthodox seeds comfortably in a seed bank, it takes millions of years to evolve a species in its natural
whereas handling recalcitrant seeds is difficult as they lose habitat but they get exterminated from nature before they are
viability quickly in spite of providing all the conditions discovered lest utilized. For a biodiversity rich country like
necessary for storage. Research is required in handling of India with a large human population, there is a threat looming
these resources. large on the future of these natural resources. Large chunks of
forest areas have been diverted for mining for bauxite, iron
Field Activities Most of the activities concerned with the in and other minerals. Construction of dams for irrigation and
situ and ex situ conservation are field oriented and involve- agriculture also has engulfed large forest areas. Grow more
ment of field staff of state forest department and local
490 B. Gurudev Singh

food campaign in the 1960s, construction of roads and other these resources. India is known to have a tradition of
activities have reduced the natural forest areas in the last few conserving the forests in the form of ‘Sacred Groves’
decades. and utilizing the resources existing outside the sacred
Social forestry programme implemented by many state groves, thus balancing harmony with nature.
forest departments in the country is one of the main reasons • Conserving the forests as well as utilizing the resources is
in reducing the pressure on natural forests. The involvement equally important for the ecology and economy of any
of local people in managing the fringe forest areas and country. Thus, conservation forestry and production for-
planting of trees in the community land and wasteland have estry play pivotal roles. But production forestry cannot
become successful model for extending the tree cover in the survive on its own, without depending on conservation
country. The policy of Government of India to secure wood forestry. The conservation forestry focuses on conserving
from outside forest areas for industrial purpose has made the natural forests in their pristine condition in the form of
many wood-based industries to encourage farmers to grow in situ conservation. These forests apart from serving as
the trees in the farmland with buyback arrangement. The source for genetic resources of important crops, they also
supply of wood for paper mills is sourced from short rotation perform many ecological services such as the source of
crops such as Eucalypts, Casuarinas, Leucaena which are origin of many rivers, perform the function of soil conser-
exotics. These crops have changed the landscape of the vation, water conservation. The production forestry
country and helped increasing the tree cover. The conserva- focuses on production of wood and other products outside
tion of the genetic resources of exotic tree crops is equally the forest areas to meet the requirement of local
important for sustenance of the industry. The industries such communities and industries apart from increasing the
as plywood, matchwood and pencil industry source their green cover and locking the carbon in the form of wood.
wood mostly from native tree crops grown in farm land. The production forestry requires large quantities of plant-
The most successful conservation programmes are those ing propagules every year. This is achieved by creation of
which involve partnership between researchers, farmers and seed orchards, seed production areas, provenance
industries. resources stands, etc. These seed sources also function as
Conservation of genetic resources through in situ is con- ex situ conservation areas; the base material for
sidered as the most effective strategy. But there are gaps in establishing these seed sources essentially comes from
research inputs required for conservation such as prioritiza- conservation forestry.
tion of species, its distribution, the variability, how much to • The successful implementation of both in situ and ex situ
conserve and how many populations to conserve. For NWFP conservation programmes is possible by involving the
species, the in situ conservation is recommended as an effec- local communities, farmers, researchers and industries.
tive strategy because of vast number of species and their The farmers are interested in growing tree crops in their
disjunct distribution. Successful conservation is possible farmland. There are many varieties/clones developed by
only with the involvement and support of local people and researchers over a period apart from creation of sources
favourable government policies. Many forest areas and for quality seed production. Wood is required in large
genetic resources have been well conserved in situ because quantities by paper and pulp, plywood industries. Coordi-
of declaration of vast areas as protected areas by many nation among these stake holders is key to improving the
countries as a matter of policy. Ex situ conservation strategies economy of the country. It is also necessary to amend the
are adopted in conjunction with tree improvement archaic policies from time to time for sustainable utiliza-
programmes. tion of forest genetic resources.
Networking with global and regional agencies, adoption
of policies backed by a strong research support and involve- Key Questions
ment of people are the key issues in conservation and utiliza- 1. What is the significance of forest genetic resources?
tion of forest genetic resources. 2. What are the strategies required for conservation of forest
genetic resources?
Lessons Learnt 3. How are forestry species different from agricultural crops
• Forest resources are not inexhaustible and the loss of the with reference to handling of genetic resources?
forests and degradation in the recent years had brought 4. Whether there are enough efforts in conservation and
untold misery to humankind and unprecedented ecologi- utilization of forest genetic resources in India, if so enlist
cal disaster in the form of landslides, floods, increase in those efforts.
temperature and erratic rainfall patterns. The wisdom lies 5. What are the research requirements to make conservation
in protection, conservation and sustainable utilization of of forest genetic resources a successful programme?
21 Forest Genetic Resources: Conservation, Management and Utilization 491

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415
 Part IV
Production Forestry
 Plantation Forestry
22
Uday Kumar Lodh, Vimal Chauhan, Sachin Verma, and Krishan Chand

Abstract desertification, siltation, and accelerated soil erosion.

Plantation forests span around 131 million hectares Extensive re-establishment of tree cover by plantations is
(ha) worldwide, accounting for 3% of the world’s forests the most effective means of reversing these processes. The
and 45% of total planted forest area. Plantation woodlands other important environmental role of plantations or
are highly managed forests that are formed between both systems of agroforestry, where wood and food crops are
the first and second genera, are evenly ageing and spaced grown together on the same piece of land, is the key to
apart in a consistent manner and are primarily maintained sustainable land management in many fragile ecosystems
for beneficial ends. Plantations are far more noteworthy in in the tropical regions. As the population around all over
the context of wood output than their percentage of forest the world increases and its economies grow, so does
area, and their importance is likely to grow over time. In number of wood people use, for firewood, for building,
2000, a quarter of the worldwide consumption of commer- for paper, and many other purposes. Plantation forests
cial round wood was generated from plantations. now play an essential role in wood production, particu-
According to some projections, plantations and planted larly in tropical nations, due to numerous crucial traits
forests will produce over half of the world’s industrial such as high yield, short rotations, and accessibility. The
round-wood supply by 2040. Beyond producing timber subsequent supply of wood for the globe will also depend
and fiber, woodland plantings also produce clean water, heavily on forest growth. If afforestation rates signifi-
regulate the ecological cycle, trap carbon, and promote the cantly improve, plantations can begin to relieve pressure
interrelationships of terrain mosaics to preserve ecology on the world’s depleting supplies of wild forest, which is
and lessen the outcome of degradation. The service provi- the most compelling reason to pursue plantations. Affor-
sion marketplaces have historically been expanding estation/reforestation techniques, the Clean Development
swiftly and planting trees will be important for both the Mechanism (CDM) and the controversial Reducing
local reimbursements for environmental care networks Emissions from Deforestation and Degradation (REDD)
that manage water and soil assets as well as the world’s mechanism, are some of the new incentives that empha-
carbon trading. Plantation forestry in the developing size forestry plantations as a reasonably inexpensive, safe,
nations of tropical areas is strongly nested on the political and clean source of emission compensation.
agenda due to the planted forest’s carbon storage capacity
as noticed in the climate change debate. As the forthcom- Keywords
ing model regarding environmentally friendly plantation Plantation · Round-wood · Forest degradation · Fire
development includes adaptation and mitigation of cli- wood · Exotic species
mate change, it is anticipated that both of the aforemen-
tioned areas would grow in significance. The loss of forest
cover in many nations has resulted in increased floods, fast 22.1 Introduction
U. K. Lodh · V. Chauhan (✉) · K. Chand
Plantation forests encompass over 131 million ha of land or
College of Forestry, Dr. Y. S Parmar University of Horticulture and
Forestry, Nauni, Solan, India 45% of all established forest land globally, accounting for 3%
of the globe’s total area of forests. Plantation forests are made
S. Verma
Department of Silviculture, Forest Management and Agroforestry, up of one or two species that are evenly aged, planted with
ICFRE-Tropical Forest Research Institute, Jabalpur, India uniform spacing, and are primarily created for agricultural

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 495
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_22
496 U. K. Lodh et al.

purposes. They’re also under strict control. Since they are not Apart from generating wood and fiber, forest plantations
subject to extensive management, other planted forests, offer various other ecosystem services like sequestering car-
which comprise 55% of all cultivated trees, may look like bon, producing clean water, controlling the hydrological
natural forests at stand maturity. Since 1990, the area covered cycle, and enhancing the interconnectivity of landscape
by planted forests has grown by 123 million ha, reaching mosaics to preserve biodiversity and mitigate desertification.
294 million ha; however, since 2010, the rate of expansion It is anticipated that in the future, the proportional value of
has decreased. Other planted woods may be used for the these services given by forest plantations would rise.
preservation of soil and water quality as well as for the South America has the largest proportion of plantation
restoration of ecosystems (FRA 2020). forests, accounting for 99% of the region’s total planted
Over 44% of planted forests globally consist mostly of forest area and 2% of its overall forest area. Europe has the
introduced species. The species composition of plantations lowest percentage of plantation forest, making up 6% of the
differs substantially across sites. While 97% of the species in planted forest estate and 0.4% of the overall forest area. Total
the continent of South America are introduced, a great num- 294 million ha are covered by planted forests, an increase of
ber of species that inhabit forests from plantations in both 123 million ha since 1990; nevertheless, the rate of spread has
North and Central America seem native (Fig. 22.1). Contrary slowed since 2010.
to their share of the overall forest area, plantations contribute Worldwide, forests that are naturally renewing make up
significantly more to the production of wood and this contri- 93% of all forests, with 7% being planted (Fig. 22.2). It’s
bution is expected to increase with time. In 2000, plantations interesting to note that, with the exception of Asia, regional
supplied one-third of the industrial round wood market disparities are negligible. For the years 1990–2020, several
worldwide. Some forecasts indicate that by 2040, almost classifications of introduced species and new forests in India
half of all of the world’s corporate round wood supply will plainly show an upward tendency (Table 22.1).
come from plantations and planted forests.
The increasing globalization of marketplaces for forest
products and services brings with it both new possibilities 22.2 Defining a Plantation
and challenges facing plantation-based forestry and forest
firms. Value-added wood products not only meet the growing A forest crop or stands that are intentionally grown by plant-
demands of the pulp and paper industry by providing fiber ing or sowing are referred to as plantations (Ford-Robertson
from fast growing plantations, but they also have the poten- 1971). Simple enough, right? However, the term artificial, or
tial to develop into new domestic and international markets. “man-made,” as it is now used in the majority of contempo-
However, substantial silvicultural interventions are required rary forestry literature, has to be defined more. For instance,
on both efficiently farmed and sustainably treated plantations afforestation—also known as plantation—occurs when
of timber in order to fully optimize the cultivation and humans create a new forest on grassland. A comprehensive
manufacturing of high-quality products.

Fig. 22.1 Global status of the proportion of native and introduced species in planted forests (FRA 2020)
22 Plantation Forestry 497

Fig. 22.2 Global status of the proportion of forests regenerated naturally and by plantations (FRA 2020)

Table 22.1 Changes in different categories of planted forests area in India (1000 ha) (Source: FRA 2020)
Changes in different categories of planted forests area in India (1000 ha)
1990 2000 2010 2015 2016 2017 2018 2019 2020
Total planted forest 5715 9368 12,778.69 13,024 13,072 13,121.59 13,170.57 13,219.6 13,269
Plantation forest 3514 7167 9668.06 9854 9890 9927.49 9964.55 10,002 10,039
Introduced species 460 939 1266 1291 1296 1300 1305 1310 1315
Other planted forests 2201 2201 3110.63 3170 3182 3194.1 3206.02 3217.6 3230

list of planted forests is provided by CIFOR (2001) rate of increase in other planted forests more than doubled
(Table 22.2). from 717,000 ha in 1990–2000 to 1.59 million ha in
2000–2010, but it then declined to 824,000 ha in
2010–2020. The major cause of the significant growth
22.3 Trends in Plantation Forest between 2000 and 2010 was China’s adoption of extensive
afforestation programs. Between 1990 and 2020, plantation
The interest in tropical farms has grown quickly. Between forests retained a smaller share of Asia’s planted forest area
1965 and 1980, the plantation’s acreage grew by roughly (Fig. 22.3).
three times. Between 1990 and 2020, the global area of In the most recent 10 years, the area covered by plantation
plantation forests expanded by 55.8 million ha, with the forests in North and Central America grew at an average
largest growth (21.2 million ha) taking place between 2000 annual rate of 164,000 ha, decreasing from 270,000 ha in
and 2010. From 1.98 million ha in 1990–2000 to 2.12 million 1990–2000 and 420,000 ha in 2000–2010. In contrast to the
ha in 2000–2010, the average annual rate of growth rose. prior growing trend of 94,200 ha in 1990–2000 and
However, in the last 10 years, it decreased to 1.48 million ha 38,200 ha in 2000–2010, the area of planted forests in Europe
annually. Between 1990 and 2020, the area covered by other shrank by an average annual rate of 17,700 ha between 2010
planted forests rose by 66.8 million ha. From 2.08 million ha and 2020. Sweden was the primary cause of the change from
in 1990–2000 to 3.01 million ha in 2000–2010 and finally to gain to loss, with an average yearly loss of 30,100 ha between
1.59 million ha in 2010–2020, the average annual rate of gain 2010 and 2020. Africa’s plantation forest area increased at a
dropped. slower average yearly pace between 2010 and 2020 (totaling
Over the course of the previous three decades, Asia’s 55,300 ha) than it did between 2000 and 2010 (totaling
plantation forest area has grown significantly, but at a 89,800 ha); the rate of increase between 1990 and 2000 was
decreasing average annual rate of expansion, from 1.26 mil- 25,300 ha. In 1990, plantation forests accounted for 70% of
lion ha in 1990–2000 to 975,000 ha in Africa’s planted forest area; by 2020, that percentage had
2000–2010 to 735,000 ha in 2010–2020. The average annual dropped to 67%.
498 U. K. Lodh et al.

Table 22.2 Different types of planted forests (CIFOR 2001)

Plantation type and purpose Characteristics
Industrial plantation: Timber, biomass, food Planting and/or seeding in the process of afforestation or reforestation,
intensively maintained forest stands are created to supply material for sale
locally or outside the immediate region. Individual stands or compartments
typically contain one or two native species, one or more imported species,
and an even age class with consistent spacing usually on a huge scale or
helping support one of the few large-scale industrial businesses in the area
Home and farm plantation: Fuelwood, timber, fodder, orchards, Managed forest created by planting and/or seeding during the afforestation
forest gardens, and other or reforestation process, with even age classes and uniform spacing, with
the purpose of selling locally produced subsistence wood. Typically, on a
small scale and selling in a scattered market, if at all
Agroforestry plantation: Fuelwood, timber, fodder Managed stands, or groups of trees planted in a local market or for personal
use, have a positive impact on agricultural output since they often have
regular, broad spacing or row planting
Environmental plantations: Windbreaks, soil protection and Managed forest stands are created via planting and/or seeding during the
erosion control, wildlife management, site reclamation or amenity afforestation or reforestation process, generally with even age classes and
uniform spacing, with the primary goal of providing environmental
stabilization or amenity value
Managed secondary forests with planting Managed forest, where extra planting and/or seeding is used to preserve the
productivity and composition of the forest

Fig. 22.3 Plantation forest and other planted forest as a proportion of total planted forest area, by region, 1990–2020 (source: FRA 2020)

Plantation forests accounted for 99.9% cent of the planted nations, it has been happening continuously for thousands of
forest area in South America in 1990 and for about 99% in years in others. However, net deforestation has only occurred
2020; in Oceania, they comprised 99.7% in 1990 and 90.5% in the last 150–200 years in practically every nation, and the
in 2020. pace of disappearance has significantly accelerated recently.
About 420,000,000 ha of forest were allegedly lost since
1990 as a result of converting to other land uses, despite the
22.4 Factors Favoring Plantation Forests fact that the rate of deforestation has slowed during the
preceding three decades. Between 2015 and 2020, deforesta-
22.4.1 Past and Continuing Destruction tion has declined to ten million ha annually from 16 million
of Natural Forest ha per year in 1990s (Fig. 22.4). The area of primary forests
worldwide has decreased by a total of over 80 million ha
The natural forest has long been damaged by human activity, since 1990 (FRA 2020).
cut for use, and its extent has been steadily declining. While Net forest loss declined from 7.8 million ha during
the loss of forests has been a recent phenomenon in some 1990–2000 to 5.2 and 4.7 million ha during the decades
22 Plantation Forestry 499

Fig. 22.4 Global forest expansion and deforestation, 1990–2020 (million ha per year). Source: FRA 2020

Fig. 22.5 Global annual forest

area net change, by decade,
1990–2020. (Source: FRA 2020)

2000–2010 and 2010–2020 (Fig. 22.5) due to reduction in the 2. Intensive logging for veneer, sawn timber and more
rate of forest expansion. recently for chip wood.
The main causes of forest destruction are: 3. Exploitation for charcoal and firewood.
4. Shifting cultivation on very short cycles—250 million ha
1. Agricultural expansion continues to be the main driver of of tropical forests are presently affected by shifting
deforestation and forest fragmentation and the associated agriculture.
loss of forest biodiversity.
500 U. K. Lodh et al.

5. Urban and industrial expansion—over the whole world local subsistence agriculture, 10% to urban growth, 10% to
this takes up 12 million ha of land each year. infrastructure, and 7% to mining. In several situations, dete-
6. Over-grazing and gathering fodder for domestic animals rioration of the forest, for instance, from illicit or unsustain-
especially in arid areas. able wood harvesting, came before changes in land use. The
7. Accidental or deliberate burning of the forest. investigation’s findings also demonstrated how widely differ-
8. Unsatisfactory natural regeneration. ent the factors were across different countries and regions.

In many instances, especially in mountainous regions and

arid areas, soil erosion has been followed by loss of forest 22.4.2 High Productivity
cover, and land has become useless. Elsewhere clearance of
forest has often led to an invasion by grasses and declining Apart from rapid growth which is the notable feature of many
soil fertility on repeated cropping. tropical plantations, all plantations have following other man-
There is a continuing demand in developed countries for agement advantages which lead to high productivity per unit
quality hardwoods for veneers and sawn timber. Best quality area.
mahogany, teak, rosewood, etc. come from old, mature trees
in natural forest. Short rotation plantation timber is rarely as 1. Stands usually consist of one species that suits the needs
good, though teak may be an exception, and very long of the intended market. The wood produced is a relatively
rotations are uneconomic at present. uniform and homogeneous end-product, and there is no
Environmental change is mostly caused by human popu- problem of “secondary” species. In industrial plantations,
lation growth, demographic shifts, and economic develop- unmarketable species are not planted.
ment, as has long been recognized. In the last 50 years, the 2. Planting ensures full stocking on a site and the fullest use
world population has doubled and the economy has expanded of its potential. This is efficient land use and the high
by over four times. In many nations, economic prosperity has volumes per hectare lead to cheaper harvesting costs per
allowed billions of people to escape poverty. But in the cubic meter.
process, most of the world’s natural ecosystems have 3. Initial spacing of trees, thinning regime, and rotation
undergone substantial change, mostly with detrimental length can be manipulated to produce the desired mix of
effects on biodiversity and frequently also on the most vul- timber sizes—poles, pulpwood, and sawn timber.
nerable members of society, such as indigenous peoples. The 4. A careful pre-planting survey can help match species with
recognized key stressors include loss and degradation of site conditions for optimum growth and identify all land
habitat, invasive species, unsustainable farming practices, unsuitable for planting. Only suitable species and suitable
low resource utilization efficiency, overexploitation, illicit land need ever be planted.
logging, and wildlife trading. These forces have an increas-
ingly negative effect due to climate change and variability.
The demand for agricultural and forest products is driven 22.4.3 Fast Growth
by factors such as food choices, loss and waste along agricul-
tural value chains, and pressures from the global market, The most striking advantage of many plantations is rapid
which in turn causes deforestation and forest degradation growth; and as mentioned above, fast growth is not only in
(IPCC 2019). Generally speaking, the primary driver of forest relative volume but in relative value as well. All of the fast-
and forest biodiversity loss is the need to feed and power a growing crops consist of a “valuable,” that is, usable species.
growing world population. The primary risks to forest con- Generally speaking, mean yearly increments gained
servation in Africa are population pressure and poverty, decrease with longer spins or drier circumstances. In India,
which push impoverished farmers to convert forests to agri- teak (Tectona grandis) planted for 60–80 years typically
culture and extract wood fuel at unsustainable levels. In other grows at a mean each year increment of 4–8 m3/ha/year. On
places, the shifting consumption habits of wealthier people 10–20 year rotations, Eucalyptus camaldulensis plantings in
are the primary cause of deforestation. the dry tropics typically yield between 5 and 10 m3/ha/year,
According to Hosonuma et al. (2012), the most common but in moister locations, yields of up to 30 m3/ha/year may be
cause of deforestation, accounting for 40% of it, is large-scale attained.
commercial agriculture, primarily cattle ranching, and the
cultivation of soybean and palm oil. Approximately 78% of
the forest area in such climatic regions is represented by the 22.4.4 Environmental Forestry
national data analysis covering 46 tropical and subtropical
nations. An estimate of 33% of deforestation is attributed to Plantations are important not just as a source of wood but also
in protecting the environment. In many countries, loss of
22 Plantation Forestry 501

forest cover has led to increased flooding, rapid desertifica- where forest origin is known to be by planting. Mostly
tion, siltation, and accelerated soil erosion. Extensive plantations contain a single tree species, although plantations
re-establishment of tree cover by plantations is the most of a mixture of species are important in some parts of the
effective means of reversing these processes. The other world. Plantation forestry is often much like any other agri-
important environmental role of plantations or any tree plant- cultural enterprise, aiming to grow highly productive forests
ing is integration with agriculture-supportive forestry. It is on relatively small land areas, so the land is being used most
becoming widely recognized that systems of agroforestry, efficiently. To achieve this, much attention is to be paid to the
where wood and food are grown together on the same piece silviculture of plantations, that is, the tending of the trees to
of land, are the key to sustainable land management in many achieve some desired objectives.
fragile ecosystems in the tropics. The globe’s inhabitants and economy are growing, and
These factors highlight the need for plantations if wood with them so is the total quantity of wood consumed for fuel,
supplies are to be assured. Several positive factors favor construction supplies, paper products, and many other
plantation development. However, it would be a mistake to purposes. Commercial forestry will play a bigger part in
assume that plantations are the sole answer to future world meeting the increasing requirement for wood. These days,
wood supplies. Research must continue into the complex owing to their high productivity, quick rotation periods, and
ecology of the mixed tropical forest so that their management mobility, woodlands from plantations are crucial for the
is more than just selective cuttings, neglect, and hoping for growing amount of wood, especially in tropical countries.
regeneration. While some plantings are for conservation, the majority are
Therefore, in conclusion forest plantations will play a very for production (FAO 2006), and the proportion of plantations
important role in future world wood supply. Moreover, sup- supplying round wood to the industry is increasing. Large-
pose rates of afforestation substantially increase, in that case, scale investments in monocultures are gradually giving way
plantations can begin relieving the pressure to exploit the to small-scale investments in plantation forestry where the
world’s dwindling reserves of natural forest, and this is the primary owners of the means of production are the local
best reason why plantations should be taken up. As households and communities. Every continent has sizable
recommended by the Eleventh Commonwealth Forestry plantation areas where wood is cultivated for industrial
Conference (1980) “productions of wood for industrial purposes. They often cover millions of hectares and are
purposes and fuel will have to increase in the coming decade major commercial enterprises. Some are publicly owned
and will increasingly rely on plantations and other intensive and some are privately owned. They are important economi-
forestry practice.” cally to the countries concerned, often earning export income
and providing employment, both in their growth and
processing of the wood they produce. Many such plantations
22.5 Significance of Forest Plantations are grown for only 7–15 year rotations before harvesting.
Usually, they produce wood for paper making. Others are
The scientific community offers a variety of definitions for grown on 20–30 year rotations, by which time the trees will
plantations of trees and even the standardized definition be large enough for their stems to be sawn to produce timber.
adapted by FAO has significantly changed over time. The An emerging type of industrial plantation is being grown
main shared characteristics of these definitions point to for- to produce bioenergy. The wood from such plantations is
ested areas artificially established by planting of seedling. used to make energy, either through fermentation to produce
Other features are that the trees usually belong to the same ethanol as motor fuel or by burning the wood to generate
species (native or introduced), have the same age structure, electricity. The primary stimulus for establishing bioenergy
and regularly spaced (FAO 2006; FRA 2010). During the plantations comes from concerns about the global warming
context of greening or planting trees, forest stands created by of the atmosphere, which is believed to be caused by the
transplanting and/or sowing is referred to as woodland release of greenhouse gases including CO2. Bioenergy
plantations. They are either introduced or indigenous species plantations are usually grown on very short rotations
that meet the minimum area requirement of 0.5 ha, tree crown (3–5 years). The small size of trees at harvest is of no
cover of at least 10% or more of the total land area and total importance because they will simply be burnt or used for
height of adult trees above 5 m (FRA 2000). fermentation. Additionally, plantation forestry in the devel-
A variety of forest kinds are included in plantation-based oping nations of tropical areas is very strongly nested on the
forests. The majority of the trees on the property were political agenda due to the planted forest’s carbon storage
either planted or seeded (sown), which is their one common capacity as noticed in the climate change debate. New
characteristic. There is no internationally agreed definition of incentives such as the Clean Development Mechanism
forest plantations. However, the expression “planted forest” (CDM), afforestation/reforestation methodologies, and the
is now widely used to embrace the continuum of forest types debated mechanism of Reducing Emissions from
502 U. K. Lodh et al.

Deforestation and Degradation (REDD) emphasize two decades, the vast majority of new plantation growth in
plantations as a relatively cheap, clean, and harmless means the southern hemisphere has occurred in temperate and tropi-
of emission compensation. cal zones. The output of industrial lumber from natural
forests has decreased in Asia’s top producing countries for
tropical forest wood, and this has coincided with a notable
22.6 Exotics in Plantation Forestry drop in the supply of large-diameter timber at a reasonable
price in recent years.
The majority of the industrial plantations in most countries According to Spek (2006), a report on investments in the
are being raised with exotic tree species like Eucalyptus spp., pulp business, Asian countries, especially China, today dom-
Acacia spp., and Pinus spp. The reasons for greater prefer- inate new investments. This is despite the fact that in the
ence for the selection of exotic species include: 1990s, over 70% of new investments came from South
America (specifically, Brazil and Chile) as well as Indonesia.
• There is generally a lack of adequate knowledge on indig- In the Asia-Pacific region alone, the yearly usage of hard-
enous species’ propagation and silvicultural management. wood pulp is expected to expand by 73 million cubic meters
• There is generally a plentiful supply of seeds of the exotic (Mm3), while the yearly use of softwood pulp is expected to
species. increase by 32 Mm3. Forest products are being produced and
• The exotic species are easy to handling. used in many ways. Recent estimates indicate that the current
• The exotics are fast-growing and high yielding. demand from the Organization for Economic Cooperation
and Development (OECD) member countries for forest sector
In many countries, the use of indigenous species to grow goods would grow more slowly than it did in the past. At the
forest plantations is undervalued. Promoting the identified same time, demand will continue to climb sharply in many
priority indigenous tree species for national level plantations, economies that are developing or transitioning. This suggests
along with addressing forestry-related emissions, is consid- a change in the consuming of wood-based products from
ered essential for coordinated research and reliable data. North America, Japan, and Western Europe to the rest of
Many countries have already undertaken studies to identify Asia, Eastern Europe, and Russia (Barr and Cossalter 2004;
suitable indigenous trees. Seppala 2007). A recent study by Carle and Holmgren (2003)
found that, contingent upon the scenario being examined, the
area of planted woodlands will increase from 261 million ha
22.7 Trends in Introduced Species as it is now to approximately 303–345 million ha in 2030.
of Plantation Forests This increase equates to 16–32% or 0.66–1.20% each year,
during a 25-year period. In light of this, the annual production
For 170 nations, or 85% of the global forest area, data on of wood from trees planted would increase from 1.4 billion
trends in the amount of plantation forests made up of m3 in 2005 to 1.6–2.1 billion m3 in 2030. The data above
imported species was available. Between 1990 and 2020, refer to forests that have been planted instead of plantations
the global area of plantation forests made up of imported of timber; therefore, it is difficult to compare them with
species grew by 26.7 million ha. The percentage of imported earlier research. Varmola et al. (2005) estimate that the
species in the entire plantation forest area grew from 34% in annual commercial supply of timber from forest plantings
1990 to 44% in 2020. In Asia, this percentage nearly doubled will be 1.1 billion m3 (46% of total) in 2040 and 970 Mm3
over that time, rising from 17 to 32%; in all other areas, it (44% of total) in 2020. Informal carbon markets accounted
decreased. East Asia grew at a faster rate than the rest of Asia; for 72% of trades in the initial two quarters of 2009 and the
in China, for example, forests that were planted including majority of sales involving forest carbon in the last two
immigrant species expanded via a score of 4.39 million ha in quarters of 2008. In 2008, 5 Mt CO2 quantities of credits
1990 to a total of 14.2 million ha by 2020. were swapped in the voluntary markets, in accordance with
Hamilton et al. (2009).
Notwithstanding the truth that forest restoration and affor-
22.8 Future Trends in Plantations estation contribute very little to the total Certified Emission
Reductions (CERs) obtained according to the Clean Devel-
Over the past 10 years, consumer appetite for timber and opment Mechanism (CDM), ten novels A/R CDM initiatives
timber products has increased dramatically on a global were registered in 2009 as a result of the recent adoption of
scale, and this trend will probably continue in the coming innovative project approaches. Predictions regarding the
years. As enormous geographic regions of tree plantations availability of lumber and carbon allowances outlined
achieve maturity, the supply of industrial wood from above indicate that plantations will become more prevalent
plantations expands quickly on a global scale. In the last in various areas. The world’s plantations will not expand at
22 Plantation Forestry 503

the same rate in every location; further new estates will be Lessons Learnt
constructed in Eastern and South Eastern Asia and, to some • Plantation produces clean water, regulates the hydrologi-
extent in South America. cal cycle, and plays a significant part in developing eco-
logical services, among them the preservation of carbon
dioxide and opening of worldwide carbon markets.
22.9 Challenges for the Future • Natural forests have been damaged by humans, destroyed
for development, and exploited. An estimated 420 million
Planting forests can be a profitable way to acquire commer- ha of forests have been destroyed as a result of other land
cial round lumber. Their proportion of the worldwide uses taking over.
manufacturing of industrialized hollow wood has increased • Agricultural expansion continues to be the main driver of
from 5% to over 30% in the last 25 years. It is expected to deforestation, forest fragmentation, and loss of forest
generate half of the world’s industrial round wood in the biodiversity.
25 years to come. This accomplishment is typically seen in • In many delicate tropical ecosystems, agroforestry
the context of the numerous social and environmental issues systems—which cultivate food and wood on the same
that large-scale plantation enterprises have brought about. plot of land—are essential to sustainable land
The overwhelming numbers of farmers with small holdings management.
and forest dwellers have either contributed very little or • Plantations in forests have demonstrated their capacity to
nothing at all to the profitable endeavors started by massive provide industrial round wood. In the previous 25 years,
or small- to medium-sized enterprises. In the way of wealth the amount of round wood produced on plantations has
or other benefits, they have not gained anything from these increased from 5% to over 30%.
firms’ establishing, caring for, and harvesting of timber. In
other instances, companies have established themselves con- Key Questions
sistently in large areas of land, displacing the natives from 1. Describe the significance of plantation forestry in today’s
their small-scale farms or rural villages of origin. To address scenario.
the issue, authorization programs together with additional 2. How does the plantation forestry help in combating cli-
safety measures—like promoting FAO’s (2006) informal mate change?
recommendations towards responsible stewardship of 3. What is the role of plantation forestry in securing the
planted forests—have been put into place. To guarantee livelihood in areas with a fragile ecosystem?
their widespread implementation in practice, there is still a 4. How does the carbon sequestration and carbon trading be
lot of work to be done. Biodiversity has suffered as a result of achieved through plantation forestry?
large-scale plantings. This has, however, been heavily reliant 5. How does the plantation forestry help in enriching the
on the land usage that the crops replaced. Plantations can natural resources?
contribute to the creation of connection in fragmented
landscapes if they are designed and maintained appropriately
(Kanowski et al. 2005; Marjokorpi 2006). However, fixed, References
single-objective plantation management will probably
become less appealing in the future as biodiversity continues Barr C, Cossalter C (2004) China’s development of a plantation based
wood pulp industry: government policies, financial incentives and
to disappear.
investment trends. Int For Rev 6:3–4
In order to effectively manage multifunctional landscapes, Carle J, Holmgren P (2003) Definitions related to planted forests. UNFF
the plantation management paradigm must adapt. This may Intersectional Expert Meeting on the Role of Planted Forests in
be achieved by including a variety of ecosystem services into Sustainable Forest Management, Wellington, pp 329–343
CIFOR (2001) Typology of planted forests. CIFOR Info Brief, Center
the overall production function of forest planting schemes.
for International Forestry Research (CIFOR), Bogor
The market places for natural resources are growing rapidly, FAO (2006) Responsible management of planted forests: voluntary
and forest plantings will be important to the global carbon guidelines. Planted forests and trees working paper 37/E, Rome
markets as well as the community reimbursements for eco- Ford-Robertson FC (1971) Terminology of forest science, technology,
practice and products. IUFRO/Society of American Foresters,
logical amenities regimes that manage water resources. Both
Washington, DC
of these fields are expected to grow in significance as the FRA (2000) Global forest resources assessment 2000. Food and Agri-
contemporary model for environmentally sound plantation cultural Organization of the United Nations, Rome
development includes efforts to mitigate and adapt to FRA (2010) Global forest resources assessment 2010. Food and Agri-
cultural Organization of the United Nations, Rome
changes in the climate.
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FRA (2020) Global forest resources assessment 2020. Food and Agri- Marjokorpi A (2006) Biodiversity management in fast-growing
cultural Organization of the United Nations, Rome plantations: a case study from West Kalimantan, Indonesia. Annales
Hamilton K, Sjardin M, Shapiro A, Marcello T (2009) Fortifying the Universitatis Turkuensis, Serie AII, Part 200
foundation: state of the voluntary carbon markets 2009. New Carbon Seppala R (2007) Global forest sector: trends, threats and
Finance, New York opportunities. In: Freer-Smith PH, Broadmeadow MSJ, Lynch JM
Hosonuma N, Herold M, De Sy V, De Fries RS, Brockhaus M, (eds) Forestry and climate change. CAB International, pp 25–30
Verchot L, Angelsen A, Romijn E (2012) An assessment of defores- Spek M (2006) Financing pulp mills: an appraisal of risk assessment and
tation and forest degradation drivers in developing countries. Envi- safeguard procedures. Center for International Forestry Research
ron Res Lett 7(4):044009 (CIFOR), Bogor
IPCC (2019) Climate change and land: an IPCC special report on Varmola M, Gautier D, Lee DK, Montagnini F, Saramaki J (2005)
climate change, desertification, land degradation, sustainable land Diversifying functions of planted forests. In: Mery G, Alfaro R,
management, food security, and greenhouse gas fluxes in terrestrial Kanninen M, Lobovikov M (eds) Forests in the global balance –
ecosystems. https://www.ipcc.ch/srccl changing paradigms. IUFRO world series, vol 17. International
Kanowski J, Catterall CP, Wardell-Johnson GW (2005) Consequences Union of Forest Research Organizations (IUFRO), Helsinki, pp
of broadscale timber plantations for biodiversity in cleared rainforest 117–136
landscapes of tropical and subtropical Australia. For Ecol Manag
208(1–3):359–372
 Urban Forestry: Scope and Prospects
23
C. Buvaneswaran and A. Balasubramanian

Abstract Community participation is an important dimension of

It is estimated that one-third of human population will be any successful urban greening programme. Some of the
living in urban cities by end of 2030, which will lead to most successful community-lead urban forestry
emission of substantial air contaminants. Increasing the programmes are Tree City USA, Tree Canada, Greening
urban green cover/tree cover as ‘Urban Forests’ only will Chandigarh, Vanathukkul Tirupur (Tirupur city within
be able to minimize the deleterious degradation of urban forest) which can be adopted to achieve a minimum
environment. Further, in the context of climate change, green space of 9 m2 per person as prescribed by Food
urban green will act as potential sink for CO2, thereby and Agriculture Organization of the United Nations
mitigating global warming. In a broad sense, the benefits (UN-FAO). A sound legal framework complimented
from urban forestry can be grouped into (1) air quality with appropriate powers to the designated authorities of
improvement, (2) moderation of temperature, (3) abate- urban planning would foster healthy and people friendly
ment of noise pollution, (4) sequestration of carbon, urban surroundings and green spaces.
(5) maintenance of biodiversity, (6) providing social
benefits of people’s health and recreational values and Keywords
(7) supply of forest products to poor urban dwellers and Sustainable development goals (SDGs) · Urban forestry ·
fodder to cattle. Besides these benefits, urban forests will Urban landscape · APTI · Urban tree cover
also aid in achieving some of sustainable development
goals (SDGs) of United Nations.
To harness such regional and global benefits from urban 23.1 Introduction
forests, a scientific evaluation of species is required to aid in
choosing appropriate tree species for the given environ- Urbanization It estimated that one-third (UNDESA 2018)
mental conditions, particularly for the release of organic to two-third (Schell and Ulijaszek 2018) of human population
compounds of volatile nature (VOCs) and for their air will be living in urban cities between 2025 and 2030. This
pollution tolerance. Once suitable tree species are selected, proportion of urban population is still on higher end in
the major activities to be followed are (1) having urban tree developed nations like 80% in USA (Wolf 2018) and 85%
nurseries to supply certified quality planting materials pro- in Australia (Brack 2002). This increasing trend of urbaniza-
duced from superior trees, (2) adopting innovative planting tion will have bearing on successful implementation of sus-
techniques suiting to the urban environment in which tainable development goal 11 (SDG11)—relating to bringing
seedlings will be planted and (3) having definite planning cities as inclusive, safe, resilient and sustainable (Fig. 23.1).
for management of planted tree seedlings particularly for This trend of urbanization in India has witnessed an unex-
watering and monitoring and managing pests and diseases. pected peaking from urban population of 6 crores in
1947 to 40 crores over the period of 50 years (Chakrabarti
C. Buvaneswaran (✉) 2001) and expected to be 70 crores by 2050 (CII 2010).
Institute of Forest Genetics and Tree Breeding, Indian Council of
According to Census India, the proportion of urban popula-
Forestry Research and Education, Coimbatore, Tamil Nadu, India
e-mail: buvanesc@icfre.org tion is anticipated to be 40% by 2030 with the present rate of
urbanization (GoI 2015). The count of megacities in India is
A. Balasubramanian
Forest College and Research Institute, Tamil Nadu Agricultural also in increasing trend and there are more than 35 cities with
University, Mettupalayam, Tamil Nadu, India around 10 crore population as per GoI (2011). These

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 505
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_23
506 C. Buvaneswaran and A. Balasubramanian

Fig. 23.1 Trend in urban and

rural population growth from
1950 to 2050 (UNDESA 2018)

megacities will have 14% of the urban population globally in degradation. (https://www.nationalgeographic.com/environ
the year 2025 (McKinsey Global Institute 2010). The pro- ment/habitats/urban-threats/).
nounced increase in population eventually results in over
exploitation of energy and other natural resources, which is Air Quality Assessment Impacts of various developmental
a major contributor of urban pollution. A greater concentra- activities on air quality are a vital focal point in many of
tion of particulate matter, aerosols, SO2 and NO2, GHGs, and environmental impact assessments (EIAs). Substantial air
ozone depleting compounds is being recorded in urban contaminants may be emitted from such developmental
vicinities in India. In comparison to other cities in the world activities and the studies related to these issues are termed
such as Vienna and Tokyo, cities in India are termed as ‘most ‘air quality impact assessments’ (DiGiovanni and Coutinho
polluted’ and ‘unsustainable’ Further, green cover is also 2017). By considering both regional and global levels of
getting affected by increasing population in urban areas. health of human population vis-a-vis impact of air pollution,
For example, a very less green area of per person is being it is imperative to take up local actions towards controlling
recorded in Chennai (0.46 m2) and Mumbai (0.12 m2) and monitoring of air quality (Koch et al. 2018). Numerous
(Srivathsan 2013; FAO 1998), as compared to a minimum establishments are carrying out assessment and monitoring of
green cover of 9 m2 per person which is recommended by air quality at regional levels. One such air quality assessment
Food and Agriculture Organization of the United Nations done by Department of Silviculture and Natural Resources
(UN-FAO). Considering the importance of tree cover in Management, Forest College and Research Institute, Tamil
urban environments, Government of India (GoI) has Nadu Agricultural University, Mettupalayam, is presented
implemented a mega urban green cover programme through here as an example. In this study, a mobile monitoring facility
‘Green India Mission’ and envisioned it in its ambitious (air quality monitoring of pollution levels in real time) was
project of ‘Smart Cities’ for increasing and safe-guarding utilized for monitoring ambient air quality in real time (NOx,
open spaces, for enhancing quality of urban life, for evading SO2, O3, PM 2.5 and 10.0) at different zones, namely forest
the heat effects in urban areas and for assuring ecological area, tribal villages, town (municipality), state highways and
balance. brick kiln areas (Fig. 23.2). The town (municipality) area
nearer to the bus stands experiencing greater amount of
Problems of Urbanization Manifold environmental pollution from vehicles (carbon monoxide). It is essential to
problems like increasing levels of pollutants are being note that sulphur dioxide (SO2), nitrogen dioxide (NO2) and
observed owing to peaking in trend of urbanization and particulate matter (PM 2.5) were observed maximum in brick
industrialization (CPCB 2010). The escalating levels of pol- kiln area (Table 23.1). Hence, the air quality status in terms of
lution can also be attributed to massive vehicular pollution, SO2, NO2, O3, CO and PM 2.5 in the town area was low due
improper solid waste management, conversion of lands for to maximum tree population around the buildings. This
real estates, generation and poor processing of e-wastes, clearly indicates that trees offer greatest scope for pollution
deforestation and degradation of land. Mushrooming metal abatement (Balasubramanian and Hariprasad 2020).
smelting industries, refineries, cement factories, distilleries,
pulp and paper industries in urban cities as well are causative Urban Forestry: As Solutions to the Problem
to increasing pollution levels in air, water and soil. Two of Urbanization Proper provisions for introduction of
major pronounced problems in many parts of the urban cities trees in city and town planning will help to abate many
across the world facing today are poverty and environmental environmental impacts, moderate climate, reduce carbon
23 Urban Forestry: Scope and Prospects 507

Fig. 23.2 Mobile van-based air

quality monitoring facility (real-
time air quality monitoring of
pollution) used for air quality
assessment by Forest College and
Research Institute, Mettupalayam,
Tamil Nadu, India

Table 23.1 Ambient air pollutant status in different zones (Real time monitoring)
S. no. Name of the pollutant Forest area Tribal village Town (Municipality) State highways Brick kiln area
1 Sulphur dioxide (SO2) μg/m3 6.43–25.40 7.15–16.02 6.99–31.01 10.65–43.17 10.05–155.22
2 Nitrogen dioxide (NO2) μg/m3 1.96–28.08 4.43–19.85 0.15–33.45 5.21–74.98 3.15–117.85
3 Ozone (O3) μg/m3 6.08–19.73 12.02–25.62 6.55–21.70 8.65–25.35 13.72–52.20
4 Particulate matter (PM 2.5) μg/m3 7.80–22.40 7.30–21.20 18.90–54.70 51.00–66.10 70.00
5 Carbon monoxide mg/m3 0.13–1.81 0.080–0.770 0.220–2.220 0.460–1.940 0.130–1.950
National Ambient Air Quality Standards SO2 μg m-3 NO2 μg m-3 O3 μg m-3 PM 2.5 μg m-3 CO mg m-3
Industrial, residential, rural and other areas 80 80 100 60 2
Source: Balasubramanian and Hariprasad (2020)
508 C. Buvaneswaran and A. Balasubramanian

dioxide, improves air quality, lower surface run off by rain Urban forestry is a new and emerging science subject.
and reduce noise level. The tree cover in urban area renders This subject covers establishment and management of urban
aesthetic appeal. Avenue trees serve as shelters/resting places greenery mainly for their ecosystem services like abatement
both for birds and human beings. Green cover in urban areas of atmospheric pollutants, generation of oxygen, biodiversity
also ensures the city’s infrastructure against natural disasters. conservation, mitigation of noise pollution, microclimate
The trees also serve as reservoirs of urban biodiversity and an moderation including reducing of urban heat island effect,
excellent source for education and conservation of urban recharging of groundwater table and climate change
natural resources. In this context, this chapter attempts to mitigation.
analyse the issues within the existing legal framework for The most common examples for the idea of urban
the protection of urban green spaces. forestry—which focus on all tree resources in and around
urban cities—are woodlots, parks and botanical gardens,
urban natural sites, avenue trees and block plantations
23.2 Urban Forestry: Defined (Box 23.1).
Urban green covers are essential both for their above-
Food and Agricultural Organization (FAO) defines ‘urban mentioned ecosystem services and for social interconnection,
forests’ as networks or systems comprising all woodlands, psychological and physical well-being of urban population.
groups of trees and individual trees located in urban and peri- Urban forest such as ‘Delhi Ridge’—the Reserve Forest in
urban areas, which include forests, street trees, trees in parks New Delhi, India, can also act as green lungs of the city
and gardens. Urban forests are the backbone of the green besides providing extremely valuable ecosystem services.
infrastructure, bridging rural and urban areas and
ameliorating city’s environmental footprint (Salbitano et al.
Box 23.1 The Main Principles of Urban Forestry
2016).
The subject of urban forestry has several principles,
Helms (1998) has defined it as the art, science and tech-
which include:
nology of trees and forest resource management in and
Urban forestry is integrative and all-inclusive:
around urban community ecosystems for the physiological,
‘Urban Forest’ is a holistic approach to incorporating
sociological, economic and aesthetic importance that the
various green-space elements into a unified system
trees provide to the society.
within urban areas. This approach is designed to pro-
Ismail and Jusoff (2004) defined ‘urban forestry is a prac-
mote a comprehensive perspective on urban planning
tice of developing and managing scientifically suitable types
and land use, emphasizing the integration of diverse
of woody plants which thrive in the populated environment
elements for sustainable and multifunctional outcomes.
of the cities and are influenced by urban population and urban
The concept recognizes that sustainability isn’t limited
development, which provide a sustainable environment along
to traditional forest resources alone. It extends to other
with other physical, ecological, recreational and economic
systems like agroforestry and lined tree plantings,
benefit’.
emphasizing the importance of diverse and sustainable
Miller (1988) defined urban forestry as ‘an integrated, city
land-use practices. This principle of integration also
wise approach to the planting, care and management of trees
extends to land ownership considerations by having a
in the city to secure multiple environmental and social
comprehensive understanding of tenure aspects to
benefits for urban dwellers’.
ensure responsible and equitable management (Mock
Urban forestry is the practice of managing urban forests to
2004; Pauleit et al. 2005). This approach aligns with
ensure their optimal contributions to the physiological, socio-
the broader goals of sustainable development and resil-
logical and economical well-being of urban societies. Man-
ient urban ecosystems.
aging urban forests in the cities requires united,
Urban forestry is tactical: The concept of urban
multidisciplinary, participatory and planned approach. The
forestry extends beyond immediate urban development
scale of operation of urban forests can be from single trees to
to encompass long-term policies and plans. This
landscapes (Salbitano et al. 2016).
forward-looking perspective aims to address the
Creation of urban greenery can be a way to connect people
evolving needs for tree resources and the challenges
with nature. More than for direct benefits, urban greenery is
associated with urbanization. This could involve coop-
commonly known for intangible benefits like pollution abate-
eration with urban planning, environmental conserva-
ment, energy saving in households, recreational values and
tion, public health, and other relevant domains to create
carbon capturing, etc. In simple term, urban forestry can be
a more comprehensive and joint approach to urban
defined as planting and caring of trees in cities, including
protecting and managing of trees—the communal resource. (continued)
23 Urban Forestry: Scope and Prospects 509

quality by not meeting the guidelines of the WHO. The

Box 23.1 (continued) estimate for 2016 indicated that approximately 42 lakhs
development. Urban forestry also seeks to address the deaths of infants could be ascribed to the effects of
challenges posed by forced migration of rural people, outdoor air pollution. Mexico City experienced a sub-
including increased pressure on urban resources and stantial increase in the average level of particulate
the necessity for sustainable urban development (Mock suspension in the atmosphere over a period of
2004; Ottitsch and Krott 2005; UN Habitat 2004). 16 years, from 1974 to 1990. The rise from 65 mg/m3
Urban forestry is interdisciplinary: Urban for- to 400 mg/m3 reflects a notable deterioration in air
estry thrives on the active involvement of professionals quality during that time (Carter 1993). The adverse
from diverse disciplines, fostering interdisciplinary effects of such detrimental air contaminants are partic-
collaboration to address the complex challenges of ularly pronounced among vulnerable populations,
urban development. This inclusive approach is essen- including children, the elderly and individuals with
tial for creating well-rounded strategies and solutions respiratory problems, as they are more susceptible to
that go beyond traditional sectoral boundaries (Miller the health impacts of poor air quality. Urban greening,
1997; Nilsson et al. 2005). characterized by the introduction and presence of urban
Urban forestry is for social inclusiveness: Urban greenery, can play a crucial role in mitigating such
forestry is not the mere management of trees; it detrimental air pollution. To voucher this benefit of
involves creating collaborative partnerships, fostering urban forests in reducing air pollution, the city
community involvement, and establishing Santiago, Chile, has named its urban parks programme
organizations which stand for transparency, responsi- as the ‘Lungs of Santiago’, emphasizing the role of
bility and unbiased access to benefits. This approach green spaces in reducing air pollution and enhancing
recognizes the interconnectedness of environmental, overall urban environmental quality. Nowak (2006)
social and governance aspects in sustainable urban also emphasizes on institutionalizing urban forestry as
development (Mock 2004; Van Herzele et al. 2005; a form of ‘biotechnology’ and highlights the scope of
Jones et al. 2005). urban forests to contribute significantly to environmen-
Urban forests are multifunctional: Urban forestry tal quality, particularly to air quality.
recognizes the diverse needs of urban societies and • Water management: Green spaces increase water
responds by providing a variety of economic, environ- catchment areas and contribute to flood plain surfaces,
mental and socio-cultural benefits. This integrated assisting in better water management.
approach underscores the need of urban forests in • Soil stabilization: Urban forests play a role in
enhancing the quality of life for residents and promot- stabilizing soils, preventing erosion and enhancing the
ing sustainable and resilient urban environments overall health of the land.
(Mock 2004; Tyrväinen et al. 2005). 2. Climate regulation
Source: Konijnendijk and Gauthier (2006) The positive influences of urban vegetation on moderating
climate extend beyond aesthetics. They include tangible
benefits for human comfort and energy efficiency in
buildings. Effective urban design and planning, consider-
ing the size, spacing, and design of vegetated areas, can
23.3 Benefits of Urban Forestry
optimize these influences, making urban environments
more liveable and sustainable. The research findings
Urban greening and urban forests offer a comprehensive set
from Baris et al. (2009) also emphasize the pivotal role
of benefits that span environmental sustainability, economic
of trees and open areas in mitigating the impacts of urban
viability and societal well-being (IADB 1997). Recognizing
development on the local climate. The characteristics of
the multifaceted advantages, these approaches play a crucial
vegetation and its distribution throughout the city are
role in creating healthier, more resilient and more liveable
critical factors and even parks of varying scales can play
urban environments by providing a list of benefits as detailed
a substantial role in regulating heat and contributing to a
below;
more favourable urban climate. This reinforces the impor-
tance of incorporating green infrastructure and thoughtful
1. Environmental benefits
urban planning to enhance the resilience and sustainability
• Air quality improvement: Urban greening helps
of cities.
absorb air pollutants, contributing to improved air qual-
3. Noise reduction
ity. As of 2016, the World Health Organization (WHO)
Urban forests contribute to noise reduction, providing a
reported that a substantial proportion of the population
quieter and more pleasant living environment. Carter
in the globe (91%) was residing in areas with poor air
510 C. Buvaneswaran and A. Balasubramanian

(1993) and Miller (1988) highlight the valuable role of 5. Societal benefits
trees and vegetation in mitigating noise pollution, particu- • Health and well-being: The presence of green spaces
larly in urban areas with poor populations facing high positively influences the mental and physical health of
noise exposure. The key ways in which trees and vegeta- urban residents.
tion can contribute to reducing noise pollution are: • Recreation and education: Urban forests serve as recre-
• Sound absorption: Leaves, twigs, branches and other ational spaces and outdoor classrooms for environmen-
parts of herbaceous plants contribute to sound absorp- tal education.
tion. They absorb sound energy, converting it into • Aesthetic improvements: Greenery in urban areas
other forms and reducing the overall noise levels in enhances the overall aesthetic appeal, providing a wel-
the surrounding environment. come contrast to the often-dominant concrete and
• Deflection: Tree and plant barriers have the ability to asphalt landscape.
deflect sound away from listeners. This means that the • Incorporating greenery into urban planning not only
physical presence of vegetation alters the path of sound enhances the aesthetic value of cities but also
waves, directing them away from sensitive areas or contributes to the well-being and satisfaction of
residences. residents. It creates a more liveable, sustainable, and
• Reflection: When vegetation is strategically placed, enjoyable urban environment (Box 23.2).
such as at right angles to the source of noise, it can
reflect sound back to its source. This can be an effective
Box 23.2 Valuing Recreational Benefits of Urban
means of addressing noise issues, particularly in areas
Forestry: A Case Study of Chandigarh, India
where sound reflection is beneficial.
The study of Chaudhry (2013) presents more
• Refraction: Vegetation can cause refraction, where
understandings into the intangible value of recreational
sound waves bend around the objects (leaves,
benefits derived from urban greenery in Chandigarh,
branches) and are thereby dissipated. This bending or
India. The research focuses on various green spaces
redirection of sound contributes to a reduction in over-
within the city, including parks, gardens, tree avenues,
all noise levels.
forests and the Sukhna Wildlife Sanctuary. The pri-
• Masking: Vegetation contributes to masking by
mary objectives were to quantify the recreational
introducing more pleasing sounds that can cover up
value and in turn for estimating willingness to pay for
or distract from unwanted noise. Natural sounds such
greenery and a liveable environment.
as bird songs or rustling leaves can serve as a positive
Two methods, namely the contingent valuation
auditory backdrop, helping individuals filter out
method (CVM) and the travel cost method (TCM),
unwanted urban noise.
were employed to calculate the willingness to pay.
• Filtering out unwanted noise: People have the ability
The study found that willingness to pay for the
to selectively listen to sounds they find more pleasant.
improvement of present green landscape character
In the presence of vegetation, individuals may con-
and the creation of new parks and gardens by every
sciously or subconsciously choose to focus on the
family in the city was Rs. 153 per annum for 5 years.
sounds of nature, helping to minimize the impact of
This is converted to recreational value of the urban
city noise.
forestry capitals of Rs. 275 lakhs per year in the period
4. Economic benefits
2002–2003.
• The material benefits derived from urban greening,
The CVM method was adopted to collect primary
especially in terms of providing poles, firewood, and
information from 2358 peoples in the city. Addition-
fodder, contribute to the sustainability and resilience of
ally, CVM and TCM were used to estimate the annual
communities, particularly in regions with specific
recreational value for tourists. The TCM estimate was
demand for such resources.
more reliable in the Indian context and was calculated
• Marketable products: Urban forests can yield market-
to be Rs. 924 lakhs.
able timber and agricultural products, contributing to
Therefore, the annual recreational value of the
the local economy.
parks, gardens, avenues, forests, wildlife sanctuary
• Non-timber forest products: Besides timber, urban
and other landscapes in the city was approximately
forests provide non-timber forest products like artisan
Rs. 1200 lakhs in the year 2002–2003. It’s important
wares and honey, offering additional economic
opportunities. (continued)
23 Urban Forestry: Scope and Prospects 511

and tree canopy, contribute to their suitability for pollution

Box 23.2 (continued) abatement and the strategic design of urban forestry
to observe that this value corresponds to the recrea- initiatives.
tional value only and not representing the environmen- Trees within urban environments face various stresses,
tal or ecological value of these assets. and the selection criteria for urban tree improvement
The study highlights the dual role of urban forestry programmes should be based on the specific stresses these
in Chandigarh, playing a crucial part in both attracting trees are going to encounter. Fundamental tree traits such as
tourists and satisfying the preferences of residents. The climatic adaptation, disease resistance and phenotypic plas-
emphasis on greenery in the city’s planning and the ticity are essential. Urban-related stresses are arising from
recognition of its importance by residents demonstrate social factors, confined soil volume, limited crown space, soil
the power of well-designed and maintained urban green and air pollution, wind, and drought. Additionally, criteria
spaces in enhancing the overall attractiveness and live- such as aesthetic considerations, growth form, growth poten-
ability of a city. tial and resistance to limb breakage play crucial roles in the
selection process. The prioritization of these criteria depends
on the specific urban environment where the plants are
intended for use, as indicated in a study conducted by
6. Equity Considerations
Saebo et al. (2003).
• Benefits for low-income residents: Urban forests con-
Drunasky and Struve (2005) investigated the morphologi-
tribute to the well-being of low-income residents by
cal and physiological reactions to substrate moisture stress in
offering recreational opportunities, access to nature
two oak tree species, namely Bur oak (Quercus macrocarpa
and environmental education.
Michx.) and chestnut oak (Q. michauxii L.). The researchers
exposed container-grown seedlings to no moisture stress, a
In the current scenario of global warming, urban forests
single stress cycle or two stress cycles. Notably, the response
have a crucial role to play as a sink for CO2 and mitigating
to these stress cycles was more pronounced between the two
global warming. In a broader sense, the benefits from urban
species rather than within each species. The researchers
forestry can be grouped into (1) air quality improvement,
suggested that Q. michauxii may be better suited for urban
(2) moderation of temperature, (3) abatement of noise pollu-
planting sites compared to Q. macrocarpa. This preference
tion, (4) sequestration of carbon, (5) maintenance of biodi-
was attributed to more effective water-absorbing root system
versity, (6) providing social benefits of people’s health and
of Q. michauxii and its apparent ability to thrive in shallow
recreational values and (7) supply of forest products to poor
soils.
urban dwellers and fodder to cattle. These benefits of urban
forestry are briefly explained below (Table 23.2 and 23.3).
Leaf Area as Selection Criteria for Urban Forestry
Management Tool Numerous advantages obtained from
urban forests are linked, either directly or indirectly, to the
23.4 Evaluating Tree Species for Urban
leaf area of these urban green spaces (Kenney 2000).
Forestry
Lacan and McBride (2009) propose that when choosing
trees for urban areas, consideration should be given to
Species vary in their ability to tolerate different abiotic
minimizing potential disruptions to city infrastructure. The
stresses in urban environment. Hence, a scientific evaluation
conflict between city trees and infrastructure remains a chal-
of species will aid in selecting tree species for the given
lenge in urban forestry. The researchers observed that munic-
environmental conditions. Also, tree height, canopy form,
ipal Wi-Fi, constituting a city-wide wireless computer
branching traits, flowering behaviour and leaf texture deter-
network, might become an integral part of urban infrastruc-
mine their selection for the particular planting sites for the
ture. However, they noted that trees could potentially attenu-
specified functions in urban forests.
ate Wi-Fi signals, leading to a possible clash between urban
Sahu and Panda (2001) conducted a study examining the
trees and municipal Wi-Fi. They suggested that by factoring
morphological characteristics of trees within the urban land-
in the impact of urban trees during the planning of Wi-Fi
scape of Calcutta, West Bengal, India, with a particular focus
networks, any interference with the operation of municipal
on their effectiveness as pollutant sinks. The investigation
Wi-Fi could be effectively avoided.
delved into the traits of leaves, tree canopy and bark surface.
Through the evaluation of these characteristics, the study
Urban Green Zones and Related Pollen
assessed the efficiency of these trees in acting as sinks for
Allergy Carinanos and Porcel (2011) examined the primary
pollutants. The emphasis was placed on understanding how
factors contributing to pollen allergenicity. Their analysis
the observed traits, especially those of leaves, bark surface,
underscored a distinct requirement for guidelines in
512 C. Buvaneswaran and A. Balasubramanian

Table 23.2 Various benefits of urban forestry reported in different countries

S. no. Benefits of urban forestry Source
1. Air quality improvement
Plants act as natural air purifiers by absorbing and filtering out pollutants, including toxic gases from Nowak et al. 1996
vehicle exhausts—The principal constituent of smog in urban cities
The cumulative impact of urban trees on removing PM10 can have significant benefits in future for Tallis et al. 2011
public health and overall air quality
The combined effects of vegetation in trapping and mitigating airborne pollutants, including PAHs, Peng et al. 2012
assist in providing improved air quality
The vegetation, through various mechanisms, captures fine, coarse and larger particles from the air Dzierzanowski et al. 2011
Urban vegetation, especially in parks, plays a crucial role in removing airborne pollutants, including Yin et al. 2011
total suspended particles (TSP), Sulphur dioxide (SO2), and nitrogen dioxide (NO2)
The presence of sufficient vegetation cover in urban areas is often associated with improved air Kumar and Pandey 2013
quality, including lower aerosol intensities
Urban parks capture SOx, NOx, COx and particles and thereby improve air quality Konijnendijk et al. 2013
54–109 kg of particulate pollution can be absorbed by a mature tree each year
2. Moderation of temperature
Incorporating green areas within residential neighbourhoods helps in regulating temperature, Baris et al. 2009
humidity, and overall atmospheric conditions
Every increase of 10% tree cover, there will be a reduction of 0.62 °C in land surface temperatures Caccetta et al. 2015
The results from 16 studies proved that there will be a reduction of temperature in urban parks by Bowler et al. 2010
0.94 °C in day time
Urban tree cover can contribute to temperature reductions, and the relationship between canopy cover Dixon and Wolf 2007
and temperature is often proportional, with approximately 1 °C of temperature difference is related to
every 10% canopy cover difference
3. Abatement of noise pollution
The more extensive the greenery, the greater the potential for reducing noise levels, especially in the Kumar and Pandey 2013; Firoz
moderate to moderately high range of noise pollution (50–65 dB) and Laxmi 2016
The dense vegetation creates a physical barrier between the park and the source of noise, acting as a Papafotiou and Stilianaki 2010
buffer zone. This separation helps in reducing the impact of traffic noise on the park environment
Trees absorb sounds and thereby reduce noise pollution. A 30 m width row of trees having 15 m New Jersey state Forest Service
height can reduce 6–10 decibels of highway noise report
Natural sounds, such as birdsong, rustling leaves, and flowing water, can effectively mask or Miller 1988
camouflage unwanted urban noises amidst vegetation cover present in the parks
4. Carbon sequestration
There are two important ways in which urban vegetation can contribute to the reduction of carbon McPherson et al. 1994
dioxide (CO2) levels: (1) photosynthesis and carbon sequestration and (2) mitigation of Heat Island
effects in cities and in turn leading to reduced energy consumption and fossil fuel use
Urban trees sequester to the tune of 18 kg CO2 tree-1 year-1 Surya Prabha et al. 2013
Carbon sequestration can range from16 to 360 kg year-1 for small and larger trees respectively McPherson and Simpson 1999
5. Maintenance of biodiversity
Urban forest can give abode to a many of the species which are in the contiguous natural habitation, Alvey 2006
together with endangered species as well
Urban forest is a ‘created biodiversity’ built by the constant establishment of new tree species. Urban Wade 2017
forest in the cities of USA recorded greater species richness (47–82 species) than that of in the
adjoining natural forests (18–23 species)
Urban parks help in maintaining biodiversity in cities. The presence of 77% introduced species Nagendra and Gopal 2011.
among the trees in urban parks indicates a high level of non-native vegetation in Bangalore city in
India
Urban parks can evidently be denoted as biodiversity hotspots owing to the species richness in urban Konijnendijk et al. 2013
greenery
6. Social benefits—Health and recreation values
Urban forests provide pleasing and relaxing aesthetic environment and in turn reduce stress and Nowak et al. 1996
improve health of people
The positive impact of natural views, such as trees and outdoor settings, on the health and well-being Ulrich 1990
of patients has been observed in various studies, and this phenomenon can be called as the ‘healing
power of nature’ or ‘biophilia’
(continued)
23 Urban Forestry: Scope and Prospects 513

Table 23.2 (continued)

S. no. Benefits of urban forestry Source
Visiting to urban parks can reduce obesity, a main global problem, more particularly in children Konijnendijk et al. 2013
Childhood asthma rates and city tree density were highly correlated. With every increase of 340 trees
km-2, there was a fall of 25% in rate of asthma
The beautification and urban development initiatives in Singapore and Kuala Lumpur, Malaysia, have Braatz 1993
indeed played significant roles in attracting foreign investment and fostering rapid economic growth
The urban greenery in Chandigarh city plays a significant role in both attracting tourists (to the tune of Chaudhry 2006
87.67%) and influencing residents’ decisions to live and work in the city (to the extent of 55.65%)
The positive impact of urban trees on rental prices in Portland, Oregon in USA reflects the recognition Donovan and Butry 2011
of the various benefits that trees in residential areas
7. Material benefits—Forest products and fodder
Trees in urban and suburban areas provide high-quality fodder for livestock, firewood for primary IADB 1997
cooking and heating fuel, for poor urban dwellers, besides giving fruits, nuts and fibre
Slum residents of Nairobi, Kenya uses wood extraction from trees in an urban area for domestic Furukawa et al. 2011
fuelwood

Table 23.3 Contribution of urban forests to United Nations’ sustainable development goals
Sustainable development
goals number Goals The role of urban forests
1 No poverty Urban forestry creates jobs in various sectors, including tree planting and maintenance,
landscaping, ecological restoration and environmental education. This helps stimulate the
economy by providing employment locally to a diverse range of individuals
2 Zero hunger Urban forests make available diverse and nutritious food resources, both directly and
indirectly, by directly providing edible resources and indirectly supporting elements of a
healthy food ecosystem
3 Good health and well- Urban forests play a multifaceted role in promoting public health. Their contribution extends
being beyond physical fitness to encompass mental health, stress reduction and the prevention of
non-communicable diseases
6 Clean water and Urban forests provide valuable ecosystem services related to water management, enhancing
sanitation water quality, reducing the risk of floods and erosion and contributing to the sustainable use
of water resources in urban environments
7 Affordable and clean The sustainable management of urban forests can play a vital role in providing renewable
energy energy for urban communities, especially in lower-income countries
8 Decent work and Investments in urban forests and green infrastructure can have far-reaching economic
economic growth benefits, contributing to green economic growth. The multiple benefits, ranging from
increased property values to job creation and energy savings, highlight the importance of
urban greenery
11 Sustainable cities and The careful planning and management of urban forests bring about a host of environmental,
communities economic, and social benefits
13 Climate action Trees and forests in urban areas contribute directly to carbon sequestration and emissions
reduction, and indirectly through energy savings by reducing heat islands in urban areas
15 Life on land Urban forests play a vital role in creating and sustaining ecosystems within urban areas. Their
contributions to biodiversity, soil health and land restoration make them essential
components of ecologically sustainable urban development
Adopted from Salbitano et al. (2016)

designing urban greenery that have a minimal allergy impact. urban aesthetics. Despite the environmental stresses such as
Their recommendations encompassed strategies such as heat, strong wind, sunlight and cold posing challenges to
enhancing biodiversity, exercising caution when introducing plant growth in extensive green roof systems, these initiatives
exotic species, opting for species with low pollen production, remain valuable. In the context of implementing rooftop
implementing effective management and maintenance gardening in Beijing, Fan and Wang (2011) assessed 13 orna-
practices and engaging in consultations with botanists to mental species for greening flat rooftops. It is observed from
judiciously select tree species for particular green spaces. their studies that six species exhibited excellence in rooftop
gardening by having robust cold resistance. This underscores
Selection of Cold Resistant Species The establishment of the importance of considering the specific environmental
green roof stands as a method for urban afforestation, offer- conditions where the plants are intended to be cultivated
ing numerous advantages for the environment, economy, and when establishing selection criteria.
514 C. Buvaneswaran and A. Balasubramanian

Evaluation of Trees for the Emission of Volatile Organic terms of ‘Air Pollution Tolerance Index (APTI)’ and also as
Compounds (VOCs) Numerous trees have the capacity to ‘Anticipated Performance Index (API)’ (Tripathi et al. 2009;
release volatile organic compounds (VOCs), which can play Nayak et al. 2015; Joshi et al. 2016; Sahu et al. 2020). Panda
a role in the generation of ozone and particles, particularly et al. (2018) reviewed the studies related to APTI and API
within heavily polluted urban atmosphere. Baraldi et al. vis-a-vis air pollution abatement. It is reported that APTI is an
(2010) explored the carbon sequestration effectiveness and inherent quality of trees to abate air pollution, which is an
volatile organic compound (VOC) emission capacities of important concern in urban areas. The trees tolerant to air
11 commonly found ornamental broadleaf species. This was pollutants will have a high value of APTI and such trees can
achieved using a dynamic leaf enclosure system. The light- be recommended for controlling air pollution. On the con-
saturated CO2 assimilation (Amax) varied within a range of trary, the trees having low values of APTI may act as indica-
7.2–22.6 micro mol m-2 s-1. The emission rates of tor plants to assess the levels of air pollutants. API is prepared
monoterpenes from the plant species ranged from negligible by adding biochemical and aggregate factors. Panda et al.
(Fraxinus ornus) to 12.4 micro g gDW-1 h-1 (Liquidambar (2018) have given the grading of plants based on APTI
styraciflua). To offer insights into the suitability of these trees (Table 23.4).
for enhancing air quality in urban environments, the species A study was conducted to estimate the tolerance index in
were categorized as either low or moderate emitters. Such trees for air pollution and net pollution mitigation potential of
evaluation will be useful in identifying tree species for plant- 25 tree species that are generally growing in different pol-
ing programme in urban cities to obtain maximum benefits of luted zones of Coimbatore and Chennai in Tamil Nadu. The
air quality improvement. Bowler et al. (2010) evaluated the tree species studies were Albizia lebbeck, Samanea saman,
available evidence on whether urban greening interventions, Alstonia scholaris, Annona squamosa, Azadirachta indica,
such as tree planting or the creation of parks, affects temper- Bauhinia racemosa, Senna siamea, Delonix regia, Ficus
ature, ground-level O3 and its precursors (volatile organic racemosa, Ficus religiosa, Holoptelea integrifolia, Leucaena
compounds, VOCs, or nitrogen oxides, NOx) or ultraviolet leucocephala, Mangifera indica, Melia azedarach, Magnolia
(UV) within the surrounding urban area. Studies on O3 champaca, Muntingiacalabura, Peltophorum pterocarpum,
indicated that any attempt to use greening to improve air Monoon longifolium, Pongamia pinnata, Spathodea
quality would need to consider the biogenic emission of campanulata, Syzygium cumini, Tamarindus indica, Tectona
VOCs shown for some species, in order to estimate net air grandis, Terminalia catappa and Thespesia populnea.
quality benefits. To assess the air pollution tolerance index and net air
Bowler et al. (2010) assessed existing evidence to deter- pollution mitigation potential of the 25 tree species, the
mine the impact of urban greening interventions, such as tree biochemical parameters, namely ascorbic acid content, total
planting or park creation, on temperature, tropospheric ozone chlorophyll content, leaf extract pH and relative water con-
(O3), VOCs and nitrogen oxides (NOx), within the adjacent tent (RWC) and dust collecting efficiency, total nitrogen
urban environment. Findings related to O3 highlighted the content and total sulphur content in leaves, were estimated
importance of considering the biogenic emission of VOCs in the polluted zone (Tables 23.5, 23.6 and 23.7). Estimation
observed in certain species when attempting to enhance air of biochemical parameters revealed that there was an increas-
quality through greening initiatives, thereby ensuring accu- ing level of ascorbic acid in all species. The study was
rate estimation of net air quality benefits. conducted during summer season and compared in all the
polluted zones. Zonation of sampling was done in trees by
Evaluation of Trees for Air Pollution Tolerance Air pol- categorizing Coimbatore city into four zones, namely indus-
lution is the most outstanding of environmental problem in trial zone, residential zone, high traffic zone and commercial
the developing urban areas. In developing urban areas, air zone (Balasubramanian and Hariprasad 2020). Thespesia
pollution stands out as the predominant environmental issue populnea showed high performance in terms of dust
and urban forests aids in enhancing the environment quality collecting efficiency, and high nitrogen and sulphur absorp-
in urban areas. Of the various benefits offered by urban tion by leaves. The highest mean air pollution tolerance index
forests, the most important is their capacity to mitigate air in Thespesia populnea was followed by Bauhinia racemosa,
pollutants from the atmosphere. Urban tree species play a
crucial role in directly reducing air pollution by absorbing Table 23.4 Gradation of plant species based on APTI
gaseous pollutants such as sulphur dioxide (SO2), nitrogen
Grading character Index value Grade
dioxide (NO2), and ozone (O3) through their leaves. Addi-
Air pollution tolerance index (APTI) 8.5–9.0 Positive
tionally, their canopies have the capacity to intercept particu- 9.1–9.5 Two positive
late matter in urban areas. However, the tolerance of trees to 9.6–10.0 Three positive
the air pollutants varies with species. Several studies have 10.1–10.5 Four positive
been conducted to assess tolerance in trees to air pollution in 10.6–11.0 Five positive
23 Urban Forestry: Scope and Prospects 515

Table 23.5 Comparison of pollution mitigation potential of tree species growing in metropolitan cities
Mean dust collecting efficiency Mean total nitrogen content Mean total sulphur content
S. no. Species name (mg/cm2) (%) (%)
1 Albizia lebbeck 0.126 3.223 0.266
2 Samanea saman 0.146 3.499 0.260
3 Alstonia scholaris 0.132 3.410 0.208
4 Annona squamosa 0.137 3.458 0.242
5 Azadirachta indica 0.110 3.891 0.189
6 Bauhinia racemosa 0.122 4.035 0.247
7 Senna siamea 0.115 3.910 0.230
8 Delonix regia 0.175 4.124 0.162
9 Ficus racemosa 0.120 4.217 0.212
10 Ficus religiosa 0.154 4.098 0.209
11 Holoptelea integrifolia 0.151 4.374 0.221
12 Leucaena leucocephala 0.137 5.374 0.213
13 Mangifera indica 0.176 4.225 0.166
14 Melia azedarach 0.147 4.350 0.267
15 Magnolia champaca 0.128 4.593 0.202
16 Muntingia calabura 0.136 4.435 0.175
17 Peltophorum 0.135 4.906 0.237
pterocarpum
18 Monoon longifolium 0.130 4.516 0.191
19 Pongamia pinnata 0.168 5.176 0.172
20 Spathodea campanulata 0.146 5.075 0.192
21 Syzygium cumini 0.160 5.468 0.245
22 Tamarindus indica 0.165 5.386 0.240
23 Tectona grandis 0.168 5.483 0.201
24 Terminalia catappa 0.192 5.834 0.237
25 Thespesia populnea 0.209 7.216 0.208
Source: Balasubramanian and Hariprasad (2020)

Monoon longifolium and Samanea saman. The study also Delonix regia and Thespesia populnea are highly suitable for
explained that Terminalia catappa, Albizia lebbeck and Mag- the urban settings. But the trees like Neolamarckia cadamba,
nolia champaca have shown their susceptibility with lower Syzygium cumini, Lannea coromandelica and Muntingia
APTI value under pollution stress condition. calabura also demonstrate metabolic strategy to cope with
Among the 25 tree species, Thespesia populnea, Tectona the stress effect.
grandis, Terminalia catappa, Melia azedarach, Albizia
lebbeck, Samanea saman and Bauhinia racemose exhibited
high sulphur content in leaves which can be denoted that 23.5 Selection Criteria for Trees in Urban
these trees are potential sink for SO2 pollutants. It is Planting
concluded that Thespesia populnea, Tectona grandis,
Terminalia catappa, Melia azedarach, Albizia lebbeck, Selecting the most appropriate and often fruit yielding trees
Samanea saman and Bauhinia racemose showed very high for various sites/avenues is important for successful urban
absorption of nitrogen dioxide and sulphur dioxide pollutants planting. Good trees planted will be cherished for long time.
from the urban polluted air. Besides, they are very efficient in An inappropriate tree planted may not survive and will result
accumulating dust in their leaves. Hence, the above seven in conflicts with infrastructure laid on the roads like wires
species can be recommended for urban pollution abatement. above and walk paths. The trees planted should be healthy,
The physiological attributes, namely photosynthesis rate, attract birds and butterflies and should add life to the avenue.
stomatal conductance, ascorbic acid content, total chloro- Participative urban forestry with involvement of immediate
phyll, ICNT have the significant positive correlation for neighbours who walk and drive past has to be involved in the
pollution tolerance for the above tree species. For photosyn- task. The selection process should be guided by purpose, the
thetic rate, transpiration rate, stomatal conductance, leaf tem- condition of the site, the role the tree has to play in the
perature and intercellular carbon dioxide concentration trees landscape, etc. Therefore, a vision plan for avenue planting
such as Mangifera indica, Cassia siamea, Alstonia scholaris, should guide all activities. Computer-aided designing for
516 C. Buvaneswaran and A. Balasubramanian

Table 23.6 Comparison of air pollution tolerance index of selected trees growing in different zones of metropolitan cities
Industrial zone High traffic zone Commercial zone Residential zone Mean
S. no. Species name APTI APTI APTI APTI APTI
1 Albizia lebbeck 14.05 12.39 12.05 11.51 12.50
2 Samanea saman 14.35 15.35 12.96 13.90 14.14
3 Alstonia scholaris 15.39 13.06 12.93 13.45 13.71
4 Annona squamosa 12.17 12.49 12.48 12.70 12.46
5 Azadirachta indica 13.03 14.20 13.84 13.37 13.61
6 Bauhinia racemosa 14.25 15.33 13.31 14.07 14.24
7 Senna siamea 13.01 12.93 12.48 12.27 12.67
8 Delonix regia 15.33 13.64 13.92 13.48 14.09
9 Ficus racemosa 15.25 14.51 13.12 13.23 14.03
10 Ficus religiosa 15.31 12.59 12.56 12.17 13.16
11 Holoptelea integrifolia 14.76 14.69 13.69 12.97 14.02
12 Leucaena leucocephala 13.39 12.57 12.56 12.15 12.67
13 Mangifera indica 14.93 13.75 12.73 12.07 13.37
14 Melia azedarach 14.08 11.93 12.48 12.17 12.67
15 Magnolia champaca 11.65 12.97 12.92 12.52 12.52
16 Muntingia calabura 13.85 14.63 13.94 13.88 14.08
17 Peltophorum pterocarpum 12.37 12.05 12.39 12.51 12.33
18 Monoon longifolium 15.36 14.88 13.53 13.17 14.24
19 Pongamia pinnata 13.69 13.13 14.30 13.96 13.77
20 Spathodea campanulata 13.95 13.92 12.30 11.62 12.95
21 Syzygium cumini 12.02 13.04 13.20 12.76 12.75
22 Tamarindus indica 13.11 12.64 12.66 11.96 12.59
23 Tectona grandis 14.93 13.48 12.31 11.97 13.17
24 Terminalia catappa 12.68 11.91 12.78 12.35 12.43
25 Thespesia populnea 17.09 16.37 15.01 15.14 15.90
Source: Balasubramanian and Hariprasad (2020)

each landscape and avenues should be visualized in advance. Several types of software are being used in United States
The trees to be planted in avenues definitely have to with- which select appropriate trees and shrubs based on criteria
stand urban stresses like compacted soils, pollutants, vandal- and site specifications. Such tree selection programmes
ism, excess heat and temperature from vehicles and buildings should guide our selections too. Today there are innumerable
and thus influence the growth of the tree. Trees planted books and references are available to guide urban planting
should add aesthetic value and attractiveness to the site and landscape and urban landscaping. However, local knowl-
besides functional value. edge and experience should guide the tree selection.
In urban planting site selection particularly streets/parks/ Criteria for selection of trees species for urban landscape
lanes/by-lanes/islands/campuses should gage the space avail- can be based on their use as mentioned below:
able. The soil underground structures such as sewers, above-
ground structures like street lights and electric lines, which Trees for Shade and Dense Foliage
may result in controversy with the interest of the local people. Albizia lebbeck, Alstonia scholaris, Azadirachta indica,
Soil analysis for urban planting is never given importance in Ficus sp., Peltophorum pterocarpum, Syzygium nervosum,
our conditions. Soil nutrition, the likely injuries to the planted S. cumini, Mangifera indica, Albizia saman, Mimusops
trees from disease, insects, animals and people are elements elengi, Monoon longifolium, Grevillea robusta, Thespesia
to be taken care off. Trees with good crown, strong trunk and populnea, Pongamia pinnata. Bauhinia purpurea, Ixora
that can tolerate stress have to be selected. Pruning of trees is microphylla, Calophyllum inophyllum, Parkia timoriana,
important and, therefore, branching habit of trees and the root Kigelia pinnata, Manilkara kauki, Saraca indica, Sterculia
architecture should also guide tree selection. Flower colours, guttata, Pterospermum acerifolium, Grewia orientalis,
foliage colour, height of the tree are other selection criteria. Tamarindus indica, Filicium decipiens, Putranjiva
The table of trees for different landscape should be prepared roxburghii, Santalum album, Swietenia mahagoni.
in advance. The genetic makeup of the tree and the
propagated material should also guide selections.
23 Urban Forestry: Scope and Prospects 517

Table 23.7 Selecting tree species based on the type of air pollutants Pink flower: Cassia renigera, C. roxburghii, C. grandis,
they can mitigate C. nodosa, C. javanica, Kleinhovia hospita, Gliricidia
Species suitable for mitigating Species suitable for mitigating maculata, Bauhinia purpurea, Bauhinia variegate,
Suspended particulate matter Sulphur dioxide Lagerstroemia speciosa, L. duperreana, Tabebuia
Golden apple Kadam tree aurea. T. heterophylla, T. rosea, Couroupita guianensis,
Aegle marmelos Neolamarckia cadamba
SPM—0.581 mg/cm2 SO2—0.354% Ceiba speciosa.
CO2—1.02 μmol m-2 s-1 CO2—4.59 μmol m-2 s-1 Yellow flower: Peltophorum pterocarpum, Cassia fistula,
Fry wood tree Flame of the forest Senna siamea, Senna spectabilis, Tabebuia spectabilis,
Albizia lebbeck Butea monosperma Tabebuia aurea, Tecomella undulata. Cochlospermum
SPM—0.163 mg/cm2 SO2—0.211% religiosum, Markhamia lutea, Heterophragma sp., Thespesia
CO2—1.01 μmol m-2 s-1 CO2—0.56 μmol m-2 s-1
populnea.
Milkwood pine Indian banyan
Alstonia scholaris Ficus benghalensis Blue flower: Jacaranda mimosifolia, Solanum crinitum,
SPM—0.592 mg/cm2 SO2—0.343% Derris ovalifolia, Clitoria arborea, Guaiacum officinale.
CO2—2.26 μmol m-2 s-1 CO2—0.41 μmol m-2 s-1 White flower: Millingtonia hortensis, Plumeria sp.,
Pride of India Jamun Nyctanthes arbor-tristis, Manilkara kauki, Azadirachta
Lagerstroemia speciosa Syzygium cumini
CO2—1.1 μmol m-2 s-1 SO2—0.324%
indica, Melia azedarach, Erythrina alba, Crateva religiosa,
CO2—1.18 μmol m-2 s-1 Gustavia augusta, Bauhinia variegata var. candida, Dillenia
Indian mast tree Arjuna tree indica. Ixora microphylla, Alstonia scholaris,
Monoon longifolia Terminalia arjuna Pterosopermum acerifolium, Calophyllum inophyllum,
SPM—0.253 mg/cm2 SO2—0.321% Wrightia tinctoria, Holarrhena pubescens, Neolamarckia
CO2—1.89 μmol m-2 s-1 CO2—1.55 μmol m-2 s-1
cadamba, Citharexylum spinosum.
Mango White-cedar
Mangifera indica Thuja occidentalis
SPM—0.271 mg/cm2 CO2—0.9 μmol m-2 s-1 Height of Tree
CO2—0.89 μmol m-2 s-1 Large trees having height growth around 15–22 m:
Species suitable for mitigating Species suitable for mitigating Adansonia digitata, Neolamarckia cadamba, Azadirachta
Oxides of nitrogen Air pollution
indica, Alstonia scholaris, Ficus sp., Casuarina equisetifolia,
Indian rosewood Pacific rosewood
Dalbergia sissoo Thespesia populnea
Couroupita guianensis, Peltophorum pterocarpum,
NOx—6.53% APTI—16.4 Polyalthia longifolia, Samanea saman, Sterculia foetida,
CO2—6.35 μmol m-2 s-1 CO2—2.51 μmol m-2 s-1 Terminalia catappa, Tabebuia rosea, Terminalia. arjuna,
Indian gooseberry Bengal almond Cassia sp., Acacia auriculiformis, Tectona grandis.
Phyllanthus emblica Terminalia catappa Intermediate trees having height growth of 12–15 m:
NOx—6.26% APTI—13.8
CO2—0.85 μmol m-2 s-1 CO2—2.08 μmol m-2 s-1
Butea monosperma, Calophyllum inophyllum, Delonix regia,
Crape myrtle Yellow flame tree Kigelia pinnata, Jacaranda mimosifolia, Brassia
Lagerstroemia indica Peltophorum pterocarpum actinophylla, Tabebuia aurea, Thespesia populnea,
CO2—0.9 μmol m-2 s-1 APTI—14.6 Madhuca indica, Dalbergia sissoo, Mangifera indica,
CO2—0.87 μmol m-2 s-1 Azadirachta indica, Bauhinia purpurea, Cassia fistula, Cas-
Bullet wood African tulip tree
sia nodosa, Cassia renigera, Senna siamea.
Manilkara kauki Spathodea campanulata
NOx—5.26% APTI—12.1 Small trees having height growth of 5–8 m: Brassia
CO2—0.76 μmol m-2 s-1 CO2—1.28 μmol m-2 s-1 actinophylla, Cochlospermum religiosum, Calophyllum
Indian hog plum Pongamia inophyllum, Plumeria alba, P. rubra, Lagerstroemia indica,
Spondias pinnata Pongamia pinnata Nyctanths arbour-tritis, Saraca indica, Ixora microphylla,
NOx—3.21% APTI—14.5
CO2—1.19 μmol m-2 s-1 CO2—2.92 μmol m-2 s-1
Tabebuia avalandi.
Jack tree
Artocarpus heterophyllus Canopy Form
NOx—5.23% Oval shaped canopy: Thuja, middle aged Eucalyptus and
CO2—2.56 μmol m-2 s-1 Casuarina.
Source: Balasubramanian and Hariprasad (2020) Columnar canopy: Casuarina equisetifolia, Polyalthia
longifolia, Eucalyptus sp.
Flower Colour Spreading canopy: Samanea saman, Delonix regia,
Red flower: Delonix regia, Butea monosperma, Bombax Anthocephalus cadamba, Bombax ceiba, Terminalia
ceiba, Erythrina variegata, Spathodea campanulata, Saraca catappa.
indica, Cordia scabra, Amherstia nobilis, Melaleuca citrina,
Colvillea racemosa, Firmiana colorata.
518 C. Buvaneswaran and A. Balasubramanian

Round canopy: Mimusops elengi, Azadirachta indica, Trees Suitable for House Fronts
Mangifera indica, Neolamarckia cadamba. Thevetia neriifolia, Bauhinia monandra, Magnolia grandi-
Pyramidal or conical: Christmas tree, Deodar, Juniperus. flora, Caryota urens, Millingtonia hortensis, Tecoma stans,
Weeping canopy: Callistemon chinensis, Melaleuca Magnolia champaca, Manilkara kauki, Plumeria rubra.
citrina, Salix babylonica, Pongamia glabra, Ficus nitida.
Umbrella canopy: Albizia saman, Albizia lebbeck, Trees for House Backs
Delonix regia. Averrhoea carambola, Emblica officinalis, Carica papaya,
Psidium guajava, Annona squamosa, Achras sapota,
Plant Texture Mangifera indica, Citrus nobilis.
Coarse texture: Kigelia pinnata, Butea monosperma,
Calophyllum inophyllum, Madhuca indica, Tectona grandis, Trees Suitable for Small Compounds
Neolamarckia cadamba. Acacia auriculiformis, Bauhinia purpurea, Bauhinia
Medium texture: Spathodea campanulata, Tecoma variegata, Butea monosperma, Cassia fistula, Cassia
argentea, Saraca indica, Manilkara kauki, Cassia fistula. marginata, Gliricidia maculata, Crateva religiosa,
Fine texture: Senna siamea, Delonix regia, Jacaranda Thespesia populnea, Pongamia pinnata.
mimosifolia, Pink cassia, Peltophorum, Casuarina, Albizia
saman. Trees Suitable for Big Compounds
Lagerstroemia speciosa, Peltophorum pterocarpum,
Fruit Bearing Avenue Trees Bombax ceiba, Neolamarckia cadamba, Firmiana colorata,
Syzygium cumini, S. nervosum, Mangifera indica, Morus Dillenia indica, Delonix regia, Terminalia catappa.
alba, Cocos nucifera, Averrhoa carambola, Phyllanthus
emblica, Tamarindus indica, Emblica officinalis, Artocarpus Trees Suitable for Road Avenue
heterophyllum, Punica granatum, Citrus sp., Annona Tamarindus indica, Albiza lebeck, Peltophorum
reticulata, A. squamosa, Areca catechu. pterocarpum, Samanea saman, Spathodea campanulata,
Azadirachta indica, Alstonia scholaris, Cassia fistula, Ficus
Pollution Tolerant Trees religiosa, Ficus benghalensis, Syzygium cumini, Terminalia
Albizia lebbeck, Alstonia scholaris, Butea monosperma, arjuna, Delonix regia, Delonix elata, Monoon longifolia,
Ficus benjamina, Madhuca indica, Pongamia glabra, Albizia procera, Millingtonia hortensis, Lagerstroemia
Lagerstroemia speciosa, Ficus religiosa, Peltophorum speciosa, Butea monosperma, Jacaranda mimosifolia,
pterocarpum and Terminalia arjuna. Bassia latifolia, Calophyllum inophyllum, Senna siamea,
Kigelia pinnata, Thespesia populnea, Crateva religiosa,
Trees for Noise Abatement Ficus lacor, Tabebuia rosea, Tabebuia spectabilis,
Mangifera indica, Butea monosperma, Madhuca indica, Cochlospermum religiosum, Cassia javanica, Cassia
Terminalia arjuna, Alstonia scholaris and Azadirachta nodosa, Amherstia nobilis, Bauhinia purpurea, Bauhinia
indica. tomentosa, Bauhinia acuminata, Cheniella corymbosa, Bau-
hinia variegata, Saraca indica, Sterculia guttata, Sterculia
Tolerance to Abiotic Stress foetida, Guaiacum officinale, Hibiscus platanifolius.
Trees with drought tolerance suited for very dry
localities: Dalbergia sissoo, Butea monosperma, Shrubs and Climbers for Houses
Cochlospermum religiosum, Crataeva religiosa, Albizia Jasminum sp., Lawsonia inermis, Nerium oleander,
lebbeck, Tecomella undulata, Azadirachta indica, Nyctanthes arbor-tristis, Asparagus racemosus, Clitoria
Tamarindus indica, Ficus sp., Cassia fistula, Senna siamea. ternatea, Jasminum grandiflorum, Bougainvillea sp.,
Trees suitable for wetland: Dillenia indica, Passiflora princeps, Gymnema sylvestre.
Barringtonia sp, Ficus elastica, Syzygiumcumini., Pongamia Source: Krishnakumar and Shanmughasundaram (2012)
pinnata, Magnolia champaca, Terminalia arjuna,
Holoptelea integrifolia, Thespesia populnea, Acacia nilotica.
Salt tolerant trees: Peltophorum pterocarpum, Thespesia 23.6 Major Activities in Urban Tree Planting
populnea, Ficus sp., Acacia auriculiformis, Eucalyptus sp.,
Casuarina equisetifolia, Salvadora persica, Prosopis ciner- 23.6.1 Urban Tree Nursery
aria, Prosopis juliflora.
Source: Alka Singh and Dhaduk (2012) Historically, the Kings and other rulers selected and planted
fruit and shade bearing trees which even today offer the best
goods and services. Tree replacement on the new roads is
23 Urban Forestry: Scope and Prospects 519

becoming a common feature in many fast-developing cities rainfall should also be a consideration in plant selection.
and towns. Such plantings should be based on high-quality Drought tolerance and low oxygen level are important for
planting stock from identified nurseries. Best nursery long-term survival of trees. Many trees also respond to pres-
practises have been put in place through the Western Ghats ence and absence of light. Night lighting and long days can
development programme, Hill Area Development result in elongation of the plant. Reflected lights can scorch
Programme and various other state sponsored programmes. leaf tissue and result in distorted growth. Air quality, particu-
The forest department urban planting nurseries are worth larly wind, salt sprays, carbon dioxide levels, exhaust fans,
visiting to learn the techniques and good practises. Tall branching patterns may result in plant pest and diseases. Soil
nursery seedlings of over 1 m and above are being raised conditions like pH, sand, silt, clay and drainage composition
by adopting good nursery practises. Planting high quality tall also impact plant. Tree planting is carried out after the soils
trees also adds to the success of the programmes. Selection of have worked and soil tested. Native soils with micronutrients
trees from the nursery may look into following criteria, and microorganisms are important for root development. The
namely form of the seedling, collar diameter, branches, the soil should also be tested against harmful soil organisms.
health of the seedling, the health of the tree which is based on Pitting well before planting and preparing the area is impor-
bark, foliage colour, etc. Selection of the tree is also guided tant. The depth of the pit should be based on the bag size and
by the root architecture. Transport of trees to the planting site the soil volume in the bag. The current trend is to use tall
also needs proper planning. Shifting, grading, watering/irri- seedlings and deep pits invariably in all the urban planting.
gation practises, fertilizer application and weeding should be Pruning branches periodically as the plant grows is impor-
the planned operations in nursery in order to get quality tant. Fertilizer application of newly planted trees using
seedlings. Tall seedlings well-nourished in the nursery will organic materials and addition of mycorrhiza including
contain high energy reserves that will enable production of Vesicular Arbuscular Mycorrhizae (VAM), vermicasting,
new roots, branches and leaves in the planted sites. During water absorbent gels enrich the plant growth (Krishnakumar
nursery growth, the plants should be well spaced to provide and Shanmughasundaram 2012).
good opportunity for photosynthesis and develop energy
reserves. Seedlings grown together may not produce enough
roots and develop height. All urban nurseries should certify 23.7 Innovative Urban Tree Planting in Public
the seedlings produced to ensure its quality. There should be Lands: Success Stories
enough laws to guide nursery practises. The seedlings raised
should be governed by good forest practices and should be Case I: Urban Greening by Tamil Nadu Public Works
from superior parent material. Thus, the aboveground quality, Department The environmental division of Tamil Nadu
below ground quality, nursery practices should be very sound Public Works Department (TNPWD) has implemented
for the success of urban planting (Krishnakumar and many innovative schemes in Tamil Nadu for solving pollu-
Shanmughasundaram 2012). tion issues. At the same time, the division also promoted the
herbal gardens in urban areas and school campuses. They
have also developed gardens in urban and semi-urban areas
23.6.2 Planting Techniques in Urban Forestry with indigenous medicinal plants. The following case studies
have successfully been implemented: (1) formation of herbal
Trees planted in urban areas often struggle for survival due to garden in PWD office premises; (2) formation of green cover
various reasons like human pressures and demands of sun- area using the semi-treated dyeing waste water at
light, oxygen, water, soil volume, nutrients, etc. There are Kasipalayam, Tirupur district; (3) formation of herbal garden
many challenges in urban forestry and, therefore, innovative in many school premises; (4) formation of garden on islands
techniques are called for. Any new housing facility and/or in tanks and (5) formation of tree gardens using the treated
developing township should have a management plan to waste water at all polluted area. Out of these urban greening
ensure healthy tree assemblage and sound budget for tree programmes, two are innovative and novel ideas, that is,
planting should be provided for such landscape planning. (a) green cover in Kasipalayam common effluent treatment
The site selection is important as exposure to various factors plant (CETP) area, and (b) green cover inside the tanks by
like temperature, light, water, soil, air quality and other formation of islands using desilted soil (Ilangovan 2012).
factors including manmade influences affect the planting
site. There are also many urban factors like buildings, drain- Green Cover Development in Common Effluent Treat-
age systems, street lights, roads, oil spills, air conditioning ment Plant (CETP) This project area is located in
impact, heating, ventilation, accidental scars, smokes and Kasipalayam, Tirupur district. The CETP is meant for
fires which influences plants. Excessive heat and temperature treating the dyeing effluent. But generally, they treat only
create artificial environment and may kill a plant. Annual colour, Biological Oxygen Demand (BOD) and Chemical
520 C. Buvaneswaran and A. Balasubramanian

Fig. 23.3 Green cover development in Common Effluent Treatment Plant (CETP) in Kasipalayam, Tirupur district of Tamil Nadu by Public Works
Department (1 year after plantation)

Oxygen Demand (COD). The Total Dissolved Solids (TDS) Green Cover Development in Tanks by Formation
portions will not be treated under CETP and in turn, this high of Islands Using Desilted Soil This project was done in
TDS water is not useful for the crop cultivation. Hence, the Mookanery lake which is situated at Kaanankuruchi in
environmental division of PWD, genetics division of State Salem district of Tamil Nadu. The tank has around
Forest Department, Coimbatore and CETP Kasipalayam unit 100 acres water spread area. The ayacut area of this tank
have implemented the High Rate Transmission System has been encroached for urbanization and hence the tank
(HRTS) near Kasipalayam CETP. This treated water with water is not used for irrigation fully. Further, owing to dump-
less TDS was used to raise the trees. The tree species tried ing of urban wastes in this lake areas, as the case of all urban
were Acacia auriculiformis, Alstonia scholaris, Ailanthus lakes, this Mookanery lake has also become sink of the city.
excelsa, Khaya senegalensis, Albizia lebbeck, Azadirachta However, the Salem citizens group has taken challenging
indica, Albizia procera, Casuarina equisetifolia, Casuarina works of de-silting and cleaning of lakes. Normally when
junghuhniana, Terminalia chebula, Bauhinia purpurea, Aca- any tanks are desilted, the major cost shall go for transporta-
cia nilotica, Acacia chundra, Samanea saman, Terminalia tion of silts. So, in this case it was decided to form islands
arjuna, Derris indica, Gmelina arborea, Holoptelea inside the water spread of lake with the support of water
integrifolia, Adina cordifolia, Chlorxylon swietenia, resources department of PWD and Corporation of Salem, so
Dalbergia latifolia, Simarouba glauca, Terminalia bellirica, that the cost could be reduced. In such a way, 50 number of
Swietenia macrophylla, Swietenia microphylla, Alangium islands were formed. The innovation here is that these islands
lamarkii, Eucalyptus tereticornis, Dalbergia sissoo, are put to use for planting of trees. The trees have grown well
Melocanna baccifera, Acacia auriculiformis and Acacia after the monsoon and have become home for the aquatic life
hybrid. Figure 23.3 shows the growth of trees at 3 years and the tank biodiversity has improved now (Fig. 23.4).
after planting (Ilangovan 2012). (Ilangovan 2012).
23 Urban Forestry: Scope and Prospects 521

Fig. 23.4 Green cover development in tanks by formation of islands using desilted soil in Mookanery lake at Kaanankuruchi in Salem district of
Tamil Nadu (2 years after plantation)

23.7.1 Large Tree Transplanting

23.8 Maintenance of Trees Planted in Urban
Planting larger trees is gaining significance. Lot of time, Areas
labour and equipment are saved in this process if carefully
planned. In urban landscape planning, many cities are Watering plants is a challenge. Water regimes should be
involved in large tree transplanting. Large trees should be fixed. Watering would be effective if done early in the morn-
supported by adequate stakes and wires. Trunk protection as ing or late in the day to prevent wilting. Fertigation by adding
the tree grows should be taken care off. Mulching of the trees nutrients in the water will also enhance growth. Trees planted
planted for water retention is an important action in tree should be inspected as often as possible to ensure survivabil-
planting. Three to four inches of mulch with leaves and ity. Total tree healthcare is often neglected in municipal and
twigs have been found to trap rainfall and prevent run off. corporation plantings. Plant health monitoring, therefore,
It also reduces evaporation of soil moisture. Over use of becomes important for the success of urban planting. At
mulches may have a deleterious impact, that is harbouring least 5 years of maintenance is required for the success of
wood decaying fungus which can damage bark and collar urban planting. Maintenance also includes tree straightening,
tissues. Mulch may also invite rodents that can nibble the removing the tree guard from overgrown trees as they can
bark. Therefore, it is suggested that mulches should be kept choke the tree growth, checking stakes, weed control, prun-
away from the trunk (Krishnakumar and ing, fertilizing, mulching, watering, insect and pest care
Shanmughasundaram 2012). including causality replacement. In many instances, adequate
522 C. Buvaneswaran and A. Balasubramanian

post planting care is not provided to the trees (Krishnakumar for identifying drought tolerance variation in seedlings are
and Shanmughasundaram 2012). (1) stress-bed drought screening and (2) the target water
potential concept. Both approaches prove useful for screen-
Pest and Disease Management Percival (2001) ing a relatively large number of genotypes for drought toler-
documented that systemic acquired resistance (SAR) is a ance. Another substantial challenge in screening trees for
phenomenon wherein a plant’s innate defence mechanisms drought tolerance is determining the appropriate response
are triggered through prior treatment with either a biological variables to measure.
or chemical agent. The concept of synthetic aperture radar
(SAR) has been extensively acknowledged and researched
over the last century concerning its role in enhancing resis- 23.9 Role of Community in Urban Planting
tance against fungal, bacterial and viral pathogens affecting Programme
economically significant crop plants. While there is potential
for SAR (synthetic aperture radar) in controlling tree Involving community through volunteers for creating aware-
pathogens, its application in disease management within the ness has been a challenge to urban forestry. Many urban
realm of urban forestry has not been extensively investigated planting initiatives without the stakeholders’ involvement
in scientific studies. SAR induction can occur through both have resulted in failures. Public awareness and involvement
biological organisms and chemicals, including the promotion should be through participation of residential colonies and
of SAR response through the interplanting of flowering sharing the programme with the local residents. Participatory
woody plants, as well as SAR in woody plants. urban planting programme seeking the public opinion on
trees to be planted will result in the success of the effort.
Insect Baits According to Dhang (2011), insect baits are The local press and media particularly the local television and
formulations that incorporate information from insect sen- elected representatives should also be involved in the effort.
sory physiology, gustatory chemistry, semi-chemicals and Involving volunteers particularly the local youth will ensure
various sources. These baits are specific to certain targets the success of the programme.
and facilitate easy application, making them a recognized Trees and wires often conflict with each other. Wires are
and safer alternative to liquid sprays. Particularly advanta- broken due to tree branch falling and, therefore, they require
geous for pests residing in colonies or groups, such as line clearance using trimmers. This also requires strict regime
cockroaches, ants and termites, baits have become a more of training for electricity personnel. There are qualified tree
practical and popular choice. Manufacturers have focused on trimming companies in the developed countries with much
developing bait formulations primarily for these pests. Suc- experience. Sufficient safe guard should be taken while
cessful bait and baiting system development requires key trimming trees. Fast growing trees and high maintenance
factors, including a suitable active ingredient, an easily trees can be avoided along electric wires. Planting the right
accepted bait matrix and a thorough understanding of the tree in the right location, therefore, becomes important.
pest’s biology. Advances in bait development have signifi- Similarly, trees are also blamed for damaging side walls
cantly contributed to supporting integrated pest management and drainages. Shallow rooted trees with huge crown along
(IPM) practices. Furthermore, baits serve as excellent tools the road ways have caused immense damage to the parked
for monitoring and managing pests, offering the added vehicles. Understanding the root system particularly the
benefit of reducing the overall use of insecticides in urban nature of the surface and the tap root is very important in
areas. any urban planting programme. Healthy roots are critical for
the survival of the trees. The health of the root is governed by
Improving Drought Tolerance of Trees Creg (2004) many factors like soil, weather and nutrients. The nutrients
reported that the selection of trees with superior drought required for proper tree growth are nitrogen (N), phosphorous
tolerance is a longstanding interest for those engaged in (P), potassium (K), calcium (Ca), sulphur (S) and magnesium
landscape horticulture and urban forestry. Nevertheless, sev- (Mg) in larger quantities and boron (Bo), zinc (Zn), manga-
eral challenges need to be tackled when formulating studies nese (Mn), copper (Cu), iron (Fe), molybdenum (Mo) and
aimed at selecting drought-tolerant trees. A significant issue chlorine (Cl) in smaller doses. Hydrogen (H), oxygen (O2)
in both field and pot studies is the standardization and quan- and carbon (C) obtained from air and water also enhance root
tification of the amount of drought stress applied to trees. In health. The pH, soil structure, soil particles, organic matter
field studies, fluctuations in rainfall can impede the applica- and depth enable comfortable penetration of the soil. Selec-
tion of a known amount of drought stress. Container studies tion of the tree species should be guided by the science of
face the challenge of differing growth rates among urban forestry, good technology, knowledge on root systems
genotypes, leading to varying levels of drought stress even and crown occupancy. Appropriate planting and maintenance
with comparable irrigation levels. Two effective techniques
23 Urban Forestry: Scope and Prospects 523

techniques are already available. Properly constructed side (2) Shivalik Arboretum in 5 ha, (3) Butterfly Park in 3 ha
walls and drainages prevent root penetration. The planting area, (4) Peacock Park in 3 ha area, (5) City Bird Sanctuary in
escapement is also important. 2 ha area, (6) Botanical Garden in 70 ha area and (7) Sukhna
Wildlife Sanctuary—a manmade lake in 4207 ha.

23.9.1 Successful Community Urban Forestry Vanathukkul Tirupur This is a successful urban greening
Programmes done by an NGO—‘Voluntary Organization for People
Empowerment of Rural Areas by Youth (VETRY)’ in
Tree City USA Tree City USA, a programme developed in Tirupur district in Tamil Nadu. The method adopted in this
collaboration with the USDA Forest Service by the Arbor greening programme is that nursery period for plants is
Day Foundation, operates as a non-profit organization. With 6 months in order to ensure minimum height of 1 m for
the support of a million members, donors and partners, the planting. Barren lands of farmers are identified to make a
Arbor Day Foundation is dedicated to promoting a greener fencing protection, with an access gate for water tanker
and healthier world. Since 1976, the Tree City USA is instru- movements. VETRY team will make pitting and planting.
mental in enhancing the greenery of cities throughout Amer- The main reason for the success of the planting programme is
ica. This nationwide initiative offers a framework that that watering to the planted seedlings is compulsorily carried
enables communities to effectively manage and enhance out for a 2 years period at least. The concept in this planting
their public tree resources. https://www.arborday.org/ programme is that ‘Trees belong to the land owners, while
programs/treeCityUSA/about.cfm. pure air and increased rains belong to the society’. Indige-
nous tree species are selected for planting programme such as
Tree Canada Since 1992, Tree Canada has been the Neem, Pungam, Jamun which are drought resistant and also
national non-profit organization committed to planting and provide food to birds and other animals through which a
fostering trees in both rural and urban settings across Canada. biodiversity cycle is also rebuilt. In case of a better water
Supported by funding from the Canadian Forest Service, this source with the land owner, high timber value species are
organization has played a pivotal role in re-establishing tree selected such as Teak, Rose Wood, Senegal Khaya, so that
cover in regions affected by natural disasters. Moreover, Tree after 15 years the land owner also gets a commercial return.
Canada has provided guidance to communities in the effec- Around 5% of plantation is done in public roads/parks where
tive management of their urban forests, facilitated the green- people undertake watering/maintenance responsibilities. This
ing of schoolyards and coordinated conferences focusing on VETRY organization completed planting of one million trees
urban forestry. With the collaborative efforts of community by the end of 2020 and received the prestigious ‘Tamil Nadu
partners and sponsors, Tree Canada has successfully planted Government Environmental Award 2016’ for their successful
over 83 million trees to date. greening programme.

Greening Chandigarh Department of Forests and Wildlife, Kalam Vanam MIYAWAKI plantations established in the
Union Territory of Chandigarh has been committed towards campus of Anna University in Coimbatore district of Tamil
greener and cleaner Chandigarh. Greening Chandigarh Nadu and named after ex-President of India
programme was supplemented by sustained campaign and Dr. A. P. J. Abdul Kalam as ‘Kalam Vanam’. A local NGO
much needed technical inputs which in turn have yielded called Siruthuli was associated in establishing this urban
commendable results. Greening Chandigarh programme planting programme. These Miyawaki plantations were
was supported by many institutions, namely Forest Depart- established in 50 acres of land by planting 16 different tree
ment, Municipal Corporation, Engineering Department, species under very close spacing of 1 × 1 m. Among the
Punjab University, NGOs, Resident Welfare Associations, 16 species, Spathodea campanulata exhibited the fastest
Educational Institutions and farmers. Chandigarh administra- growth, high productivity and also superior in
tion formed ‘Greening Chandigarh Task Group’ in 2001 and eco-physiological traits which suit better for Miyawaki affor-
continued to work till date. Another legacy of this Greening estation. Cassia siamea performed well next to Spathodea
Chandigarh programme is that having ‘Greening Chandigarh campanulata in terms of biometric, productivity and
Action Plan’ and it is being prepared annually since 2008–09. eco-physiological parameters. Holoptelea integrifolia,
The highlights of achievements made under Greening Swietenia macrophylla and Limonia acidissima have
Chandigarh programme are (1) the establishment of The recorded the lowest parameters.
City Forest also called ‘Nagar Van’ in 150 ha area,
524 C. Buvaneswaran and A. Balasubramanian

percentage of tree cover in the country at 22.34%, followed

Box 23.3 PPP for the Management of Urban Forests by Delhi at 8.73%, relative to their respective geographic
The involvement of both public and private sectors in areas (FSI 2019). Hyderabad’s tree cover is reported to be
urban forest management typically revolves around 5% of its geographical area, while Bengaluru urban district
green space planting and maintenance, with private has an estimated tree cover of 6.85%. A specific study notes
contractors undertaking tasks on behalf of public that Gandhinagar’s tree cover is an impressive 53.9% of its
authorities. In the United States, a more strategic geographical area, contrasting with 4.6 and 16.29% for the
approach to public–private partnerships has emerged municipal areas of Ahmedabad and Vadodara, respectively.
in several cities. In these instances, private However, the tree cover in the Nagar Palika areas of Gujarat
conservancies or trusts actively participate in the is only 8.8% of the geographical area (Table 23.8).
co-management of extensive urban parks, as observed
in iconic locations like Central Park in New York and
Golden Gate Park in San Francisco. While such 23.10.1 Standards for Urban Tree Cover
partnerships are less prevalent in Europe, there are
exceptions, like the Woodland Trust in Great Britain, Globally countries have varying standards for tree cover. In
UK and Northern Ireland, along with nature conserva- the United States, the general recommendation for urban tree
tion organizations in the Netherlands, that engage in cover across all zones is 40% of the geographical area.
the ownership or management of woodland areas. However, specific recommendations vary, with suburban
Sources: Drayson and Newey (2014); Buijs et al. residential zones aiming for 50%, urban residential zones
(2016) targeting 25%, and central business districts seeking 15%.
On average, the tree cover in the top 20 metropolitan areas in
the U.S. is estimated to be 27.1% of the geographical area.
In contrast, in the Indian context, the National Forest
Policy of 1988 envisions an average forest and tree cover of
33% of the geographical area for the entire country and a
23.10 Urban Tree Cover and Green Space
higher goal of 60% forest and tree cover in hills. This policy
also promotes the planting of trees alongside roads, railway
Tree cover encompasses all patches of trees smaller than 1 ha
lines, rivers, streams and canals, as well as the establishment
outside the officially recorded forest area. This includes trees
of ‘green belts’ in urban and industrial areas and arid tracts.
in various formations, including scattered trees. It’s important
The Municipal Acts of various states and Union
to note that while the terms ‘Trees Outside Forests’ (TOF)
Territories specify minimum areas for parks and gardens,
and ‘tree cover’ may seem similar, they denote distinct
but achieving these standards is often impractical. Redevel-
entities according to the Forest Survey of India (FSI) in
opment and allocating exclusive spaces for parks and green-
2019. TOF encompasses all trees growing outside the
ery are particularly challenging in the older parts of cities.
recorded forest area, regardless of patch size, which could
However, such endeavours are more feasible in newly devel-
exceed 1 ha.
oped or developing areas. Furthermore, the creation of green
The FSI, in its methodology, calculates the tree cover of
areas is not consistent across cities, with some having forests
urban areas based on the inventory of TOF (urban). Urban
within their limits and others experiencing limited tree
centres are defined by the Registrar General of India, and
growth. Establishing new forest areas within city limits may
these definitions align with those used in the FSI inventory.
not be feasible, making the increase in green cover in urban
However, it’s noteworthy that the FSI report provides only
areas dependent on trees growing in non-forest land, regard-
the total tree cover of states and union territories (UTs) by
less of ownership. While some states and cities have Tree
aggregating the estimated tree cover of both rural and urban
Preservation Acts regulating tree felling and protection, these
areas. Consequently, the FSI report does not explicitly detail
regulations typically lack specific minimum area
exclusive information on urban tree cover.
requirements for trees and greens in their management
Similarly, information on tree cover in urban areas is in
plans (Source: Firoz and Laxmi 2016).
decimal, particularly for tier 2 and tier 3 cities and urban
Studies indicate that in developed countries, the green
agglomerations, from secondary sources. This is because
space, urban forest, and woodland per inhabitant in Europe
there hasn’t been a systematic effort by any agency to under-
amounted to 104 m2 per inhabitant (Konijnendijk 2001,
take this work. However, there is some available information
2003) (Table 23.6). In France, this figure was 80 m2 per
about certain cities and towns, providing a limited perspec-
inhabitant (Moigneu 2001; Konijnendijk 2003), in the
tive on the extent of tree cover in the country’s urban areas.
Netherlands, it was 228 m2 per inhabitant (CBS 1998;
According to the Indian State of Forest Report (ISFR) in
Konijnendijk 2003), and in Australia, it was 80 m2 per
2019, the Union Territory of Chandigarh boasts the highest
inhabitant (Brack 2002). In India, research has found that
23 Urban Forestry: Scope and Prospects 525

Table 23.8 Woodland cover and green spaces in urban areas across various regions
Region/country/
city Estimated size of urban green space/woodland resource
Europe The municipal limits of 26 major European cities exhibit an average woodland cover of 18.5%, equivalent to 104 square
meters per person (Konijnendijk 2001, 2003)
France/Paris The Greater Paris region boasts approximately 80 square meters of urban forest per person. (Moigneu 2001; Konijnendijk
2003)
Great Britain Green areas constitute approximately 14% of urban spaces, encompassing 120,000 hectares of parks and gardens. (DLTR
2002; Konijnendijk 2003)
The Netherlands The 22 largest cities in the Netherlands have an average green space cover of approximately 19%, providing around 228 square
meters per person. (CBS 1998; Konijnendijk 2003)
Australia/ The estimated crown cover is around 24 million square meters, equivalent to about 80 square meters per person (Brack 2002)
Canberra
India/Delhi The average tree and forest cover amount to approximately 20% of the geographical area, translating to about 21.43 square
meters per person (FSI 2009)
India/ The average tree and forest cover constitute about 35.7% of the geographical area, providing approximately 56 square meters
Chandigarh per person (Action Plan 2009–2010)
India/ The city’s tree and forest cover span 3256 ha, equating to about 164 square meters per person (FDG 2008)
Gandhinagar
India/Bangalore The estimated crown cover of the city encompasses about 19.9% of the geographical area, averaging around 16.8 square
meters per person (Behera et al. 1985)
Source: Chaudhry and Tewari (2011)

green space, urban forest and woodland in Delhi were officers. Certain states have specific acts that cover the felling
21.43 m2 per inhabitant (FSI 2009). In Chandigarh, it was of trees in non-forest areas, private lands and urban areas.
56 m2 per inhabitant (Action Plan 2009–2010). In Bangalore, Additionally, Country and Town Planning guidelines dictate
it was 16.8 m2 per inhabitant (Behera et al. 1985), and in the allocation of space for green areas when formulating town
Gandhi Nagar, it was 164 m2 per inhabitant (FDG 2008). The plans. These green areas typically encompass neighbourhood
World Health Organization (WHO) proposed an international parks, district and regional parks, avenues, etc. However, the
minimum standard, later endorsed by the United Nations determination of the allocated area for greenery in accor-
Food and Agriculture Organization (WUP 2014), suggesting dance with town planning rules and guidelines has predomi-
that a minimum of 9 m2 of green open space per city dweller nantly relied on empirical standards rather than being rooted
is necessary (Kuchelmeister 1998). Per capita green space in actual scientific findings and necessities. Consequently,
available in Indian cities ranged from 147.6 in Gandhinagar these guidelines frequently lack the precision needed to des-
to 0.5 sq m in Hyderabad. In cities like Delhi, Bangalore, ignate sufficient land cover that could potentially impact the
Jaipur and Chandigarh this figure is 5.5, 17.7, 20.0 and environment, the health of citizens and other related
54.4 sq m respectively (Govindarajulu 2014). concerns. Another gap in the conservation and preservation
of trees in urban spaces is the absence of participation by
regulatory authorities for tree conservation in the planning of
23.11 Legal Framework and Conservation urban greenery.
of Urban Trees (Adopted from Rajesh The terminology ‘Forest’ is found in the Concurrent List
2020) of the Indian Constitution, allowing both the central and state
governments to enact on this subject. Interestingly, there is no
Though many states have tree conservation measures, they explicit mention of ‘trees’ in the constitution. The fundamen-
are less foolproof and effective. The development, protection tal duties outlined in Article 51 A (g) specifically emphasize
and management of urban trees are the responsibilities of that protecting forests, lakes and rivers is the fundamental
various agencies such as local bodies, revenue and forest duty of all Indian citizen (Ritwick Dutta 2019). Unlike
departments, etc. From a legal standpoint, urban spaces are forests, which have a central law as Forest (Conservation)
governed by a variety of Acts and Rules, including Municipal Act, 1980, there is a lack of centralized legislation specifi-
Acts, the Indian Forests Act, Land Revenue Code, Master cally focused on the preservation of trees. Few state
Plans, Bye Laws, etc. However, the actual implementation legislatures have passed acts pertaining to the protection of
and specifics may vary from case to case or state to state. trees.
Some states have enacted Tree Preservation Acts and The legislation specifically designed for the protection of
established statutory authorities, like the Tree Officer, to trees outside forest areas in the country includes the Preser-
safeguard trees and address related issues. In contrast, other vation of Trees Acts of Karnataka (1976), Delhi (1994), Goa,
states delegate these functions to Revenue and Municipal Daman and Diu (1984), Notably, despite being enacted by
526 C. Buvaneswaran and A. Balasubramanian

different states at various points in time, these laws share necessity for the tree officer to issue a reasoned order, stating,
identical content, broadly outlining key components such as ‘In cases where approvals of such magnitude are in request,
the role of a tree officer, the establishment of a tree authority, reasons bring transparency to decision-making’. The tree
obtaining permission for tree felling, and the circumstances officer must consider various factors, including the quantity
under which such permissions must be granted. The estab- and types of trees and the rationale for cutting the specified
lishment of a tree authority and the designation of a tree number of trees. The high court underscored that the basic
officer are common components in nearly all tree preserva- principle of administrative law, requiring a decision-making
tion laws (Ritwick Dutta 2019). body to issue a well-reasoned order, is applicable to the tree
Tree preservation acts adhere to the typical structure of officer as well.
criminal act and grant extensive powers, including the The Karnataka High Court, in the case of Paul D′ Silva
authority to make arrests with no need of a warrant vested and Others vs State of Karnataka and Others (1999), echoed a
in the tree officer. The pivotal authority bestowed upon the similar perspective on the role of the tree officer. As per the
tree officer is the ability to arbitrate on applications submitted court’s decision, “the tree officer must exercise judgment and
by persons looking for consent for the cutting down of trees. assess whether the request for permission to cut down trees
In accordance with the laws enacted by the states, the tree should be approved based on factors like the nature of the
officer and the tree authority wield significant decision- trees, their location and other pertinent considerations, rather
making authority. than the applicant’s status. The tree officer must consider
public interest and the likely consequences on the environ-
ment or tree preservation in the area while granting such
23.11.1 Role of Authorities and Legal System: permission”.
Case Studies The prevailing practice of tree officers often involves
issuing a ‘no objection’, which means granting orders for
Ritwick Dutta (2019) in his ‘A National law for urban trees’ tree felling without providing any justification or reasons.
discusses relevant cases to bring out role of designated Despite numerous judicial pronouncements emphasizing the
authorities and legal system in protecting the urban trees ‘duty to give reasons’, administrative authorities, including
and its environment. Some of the important ones are those performing quasi-judicial functions, frequently neglect
discussed as case studies in the following paragraphs: to record reasons for their decisions (Ritwick Dutta 2019).

Case 1 The High Court of Bombay lengthily analysed the Case 2 The recent case of Aarey forest in Mumbai is another
role of the tree officer under the Tree Preservation Act of case study, which details on the role of tree officer. The
Goa, Daman and Diu (1984) in a case connected to the Maharashtra (Urban Areas) Protection and Preservation of
building of the second international airport in Goa (Federa- Trees Act, 1975 requires, vide Section 3 thereof, a Tree
tion of Rainbow Warriors Case against Goa Authority to be constituted for the area comprising Municipal
Government, 2018). Corporation of Greater Mumbai; the authority was
The argumentative project encountered resistance from constituted comprising 19 members, 13 corporators,
local communities and environmental organizations. 5 nominated experts and 1 municipal commissioner who is
Although Justice N. M. Jamdar’s ruling from the High the Chairperson of the Tree Authority. The duties and
Court of Bombay specifically relates to the Mopa case in functions of the Tree Authority are as per Section 7 of the
Goa, the conclusions and remarks provide valuable Trees Act, 1975 have been well defined. As per the said act if
perspectives on the application of tree preservation laws a large number of trees have to be felled, the procedure to be
nationwide and the responsibilities of tree officers. followed is that the persons/body desirous of felling the trees
Delving into the intent behind the preservation of tree act, has to make an application to the Tree Officer who has to visit
the high court noted, ‘During the colonial era, trees were the site, identify the trees proposed to be felled and promi-
looked mainly as timber resource. As concerns regarding nently display on the trees that permission is required to fell
environmental degradation grew, the key role of trees in the tree. The Tree Officer also has to publish a notice in the
maintaining a healthy ecosystem was recognized, leading to locality where the tree is standing. Objections if any received
the adoption of various measures to protect and safeguard have to be considered by the Tree Officer and the proposal
tree cover by regulating tree cutting’. prepared by the Tree Officer has to be placed before the Tree
Another critical aspect addressed in the Federation of Authority for a decision to be taken. Metro Rail Corporation
Rainbow Warriors case in the High Court of Bombay was Ltd. (‘MMRCL’) applied for permission to fell trees at Aarey
the nature of examination steered by the tree officer when on a plot of land admeasuring 33 hectare reserved in the
asking permission for tree felling. The court emphasized the development plan for construction of a metro car shed. The
23 Urban Forestry: Scope and Prospects 527

Tree Officer, after visiting the site and identifying the trees • As per the main principles of the concept of urban for-
proposed to be felled and affixing the notice on each tree, estry, it is strategic, multisectoral, multidisciplinary, mul-
issued the public notice to conduct a public hearing. The tifunctional and most importantly it emphasizes social
public notice was that 2238 trees were proposed to be cut inclusiveness.
and 464 trees were to be transplanted. Nearly one lakh written • In a broader sense, the benefits from urban forestry can be
objections was filed online. At the public hearing, the view of listed as: (1) air quality improvement, (2) moderation of
the citizens was taken on 2646 trees, that is, 2185 to be felled temperature, (3) abatement of noise pollution, (4) seques-
and 461 to be transplanted. Hon’ble High Court dismissed tration of carbon, (5) maintenance of biodiversity,
the petition noting that the ‘project proponent has already (6) providing social benefits of people’s health and recre-
planted 20,900 trees with GPS tagging on each plant in ational values and (7) supply of forest products to poor
Sanjay Gandhi National Park and the survival rate is 95%’. urban dwellers and fodder to cattle.
The judgement noted that the project proponents ‘established • Species vary in their ability to tolerate different abiotic
about 7 times the number of trees to be felled and have stresses in urban environment. Hence, a scientific evalua-
replaced the lost trees by planting saplings of trees, the tion of species will aid in selecting suitable tree species for
process which commenced two years ago’. However, subse- the given environmental conditions, particularly for the
quently, the Hon’ble Supreme Court set aside the orders of emission of volatile organic compounds (VOCs) and for
Hon’ble High Court and case is under sub judice. their air pollution tolerance.
• Trees planted in urban areas often struggle for survival due
to various reasons like human pressures and demands for
23.12 Way Forward sunlight, oxygen, water, soil volume, nutrients, etc. There
are many challenges in urban forestry and, therefore,
In 2015, the global community embraced a set of objectives innovative techniques are called for.
known as the sustainable development goals (SDGs) with the • Another important dimension of any successful urban
aim of eradicating poverty, safeguarding the planet and greening programme is community participation. There
ensuring prosperity for all. This marked the inception of a are successful community urban forestry programmes,
new sustainable development agenda, underscoring that sus- like Tree City USA, Tree Canada, Greening Chandigarh,
tainable development is the sole path to securing a better Vanathukkul Tirupur, which can be adopted in other
future for the planet and its inhabitants. The unchecked countries/cities.
expansion of urban areas poses a significant threat to the
attainment of the SDGs, as cities contribute increasingly to Key Questions
carbon emissions, resource depletion, income inequality and 1. Define urban forestry and elaborate the concept of urban
other challenges. forestry.
Urban forests play a crucial role in advancing the SDGs. 2. Describe the benefits of urban forestry and valuing of
They serve as a cost-effective measure to enhance human recreational benefits of urban forestry.
health and quality of life, providing nature-based solutions to 3. Which criteria are mainly used for the evaluation of tree
various social and cultural needs. Incorporating urban and species for urban forests? Describe Air Pollution Toler-
peri-urban forests into planning and management strategies ance Index (APTI) of tree species and gradation of tree
represents an intelligent approach to addressing the adverse species based on APTI.
effects of urbanization. A strong legal framework, along with 4. Write in detail the major activities in tree planting in urban
sufficient powers granted to designated authorities in urban localities and scope for innovative techniques in urban tree
planning and management, would play a role in promoting planting.
vibrant and people-friendly urban environments, 5. Explain urban green space and what are the different
characterized by ample green spaces. standards for urban green space?

Lessons Learnt
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 Agroforestry: A Climate Resilient
and Sustainable Land Use 24
Inder Dev, Asha Ram, Naresh Kumar, Ramesh Singh, S. N. Meena,
Sushil Kumar, Kamini, Roomi Devi, Babli Joshi, and A. Arunachalam

Abstract climate. By 2030, India aims to reduce the amount of

Agroforestry (AF) means combining shrubs, trees, crops, greenhouse gases, it emits by 33–35% from 2005 levels.
and livestock to manage rural land resources. It generates India has launched a landmark National Agroforestry Pol-
economic, environmental, and social benefits. Tradition- icy 2014 that promotes agroforestry. Also outlined is a
ally, agroforestry systems have been mixed farming recommendation to upscale and promote agroforestry
systems. In India, agroforestry has been around for research at the national level through institutional
generations as a way of life. Approximately 10% of all mechanisms. The policy aims to foster collaboration
agricultural land worldwide is believed to be covered by across numerous projects, plans, and organizations that
agroforestry. Nearly half of the needs for firewood, small incorporate agroforestry features to improve the
timber (65%), wood for plywood (70–80%), the base livelihoods, revenue, and productivity of small-scale
material for paper pulp (60%), and nutritious green food landowners. The policy also seeks to increase awareness
for animals (9–11%) are met by it. Agroforestry has about agroforestry and its benefits among farmers,
become of greater significance in tackling numerous stakeholders, and the public. It also encourages the use
challenges as well as offering a broad range of socioeco- of agroforestry practices for sustainable land management.
nomic and environmentally friendly advantages, espe- Lastly, the policy seeks to create an enabling environment
cially in the wake of the Kyoto Protocol to the United for agroforestry development.
Nations Framework Convention on Climate Change
(UNFCCC). When combined with field crops, trees have Keywords
the ability to significantly boost the economy by Agroforestry system · Alley cropping · Silvipasture · Bio-
diversifying the land, generating sustainable income, and energy plantation · Natural resource management
enhancing the security of food, fuel, and fodder. Because
agroforestry simultaneously reduces the amount of green-
house gases produced from the soil by storing carbon in 24.1 Introduction
topsoil and biomass from trees, it increases the likelihood
of minimizing and adapting to the effects of changing the The practice of raising crops, livestock, shrubs, and trees to
achieve social, economic, and environmental benefits is
I. Dev (✉) · A. Ram · N. Kumar · S. Kumar · A. Arunachalam
ICAR-Central Agroforestry Research Institute, Jhansi, India known as agroforestry (AF). Nair (1979) defined AF as a
land utilization method that combines livestock, crops, and
R. Singh
International Crops Research Institute for the Semi-arid Tropics, trees harmonically. It is not only ecologically beneficial and
Hyderabad, India supported by science but also practically viable and socially
S. N. Meena permissible. AF systems developed over centuries are mixed
Agriculture University, Kota, India farming systems. Most AF systems are long-term approaches
Kamini to land management with a duration of greater than a year.
ICAR-Indian Grassland and Fodder Research Institute, Jhansi, India Agroforestry systems are a complex form of land manage-
R. Devi ment practices both ecologically and economically. Lands
CCSHAU, College of Agriculture, Bawal, Rewari, India that are not even suitable for growing crops can be utilized
B. Joshi more effectively with AF. India has several AF systems
Central University of Himachal Pradesh, Dharamshala, India (Fig. 24.1).

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 531
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_24
532 I. Dev et al.

Fig. 24.1 Agroforestry systems

prevalent in India

Farmers all around the world engage in agroforestry, enrichment, introspection, recreation, and aesthetic values.
which has been a fundamental component of agriculture for Additionally, it contributes to supporting services such as
thousands of years. On farms and in rural landscapes, AF soil formation and oxygen production, in addition to its
involves a wide variety of trees. It also entails creating provisioning functions (food, fuel, fiber, fresh water, and
scientifically based tree entrepreneurship options that have genetic resources). Furthermore, as noted by Dev et al. in
the potential to be important in the upcoming years. The 2020, agroforestry helps contribute to controlling the climate,
agricultural and forestry systems in diverse agro-climatic maintaining the quality of water, and managing erosion (Dev
regions across India have demonstrated their efficacy in et al. 2020). About half of the wood for fire needs, two-thirds
terms of productivity and environmental compatibility. It of the small timber needs, 70–80% of the wood used to make
has been estimated that agroforestry constitutes around 10% plywood, 60% of the raw materials needed to make pulp for
agricultural area of the world (Zomer et al. 2007). paper, and 9–11% of the green cattle feed needed are met by
Ravindranath and Hall in 1995 reported that there were agroforestry. Agroforestry systems with trees supplement
14,224 million trees outside forests, while Prasad et al. farming by providing the farmer with fuel, fodder, and
reported a total of 24,602 million trees (Ravindranath and manure. The integrated farming systems (IFS), which are
Hall 1995; Prasad et al. 2000). According to Rai and essential for both sustainable and self-sustaining agriculture,
Chakrabarti (2001), the country’s fuelwood and timber are supported by trees in agroforestry systems. Because of
demands are met by the trees that cover an area of approxi- their variety of possibilities and products, AF systems offer
mately 17 M ha (GOI 1999). Agroforestry spans 25.32 M ha rural communities the chance to create jobs (Fig. 24.2). In
in India, which makes up 8.2% of the nation’s total land area recent years, there has been a noticeable increase in the
(Dhyani et al. 2013). This includes cultivated land, of which number of small- and medium-sized enterprises that deal
7 M ha are in irrigated areas and 13 M ha are in rainfed with timber and timber-derived products due to improved
regions; it additionally encompasses home gardens, market availability of timber through agroforestry systems.
2.28 M ha of shifting cultivation, and 2.93 M ha of restora- AF systems are more productive and sustainable than forestry
tion of problematic soils. or agricultural monocultures, which has major benefits for the
Agroforestry land use systems may be a preferable choice environment and the economy.
for mitigating climate change due to their great potential to AF systems reduce water, soil material, organic matter,
reduce carbon emissions. As well, it also enhances farm and nutrient losses according to the Agroforestry Research
income, and food security, restores and maintains biodiver- Trust. Through organic matter maintenance and tree roots,
sity above and below ground, maintains watershed hydrol- AF systems support soil health through biological activity
ogy, and conserves soil (Meena et al. 2023a; Ram et al. and favorable soil physical properties. Nutrients are used
2017). It is possible for agroforestry to modify the microcli- more efficiently in AF systems due to their closed nutrient
mate under the canopy of trees using capturing carbon from cycling. AF systems can reduce soil acidification and salini-
the atmosphere, phytoremediation, watershed maintenance, zation, and check the development of soil toxicities. Polluted
and ensuring the preservation of biodiversity. AF not only soil can be reclaimed by planting trees. Compared to mono-
modifies the microclimate but also contributes significantly culture systems, AF systems use solar energy more effi-
to increased farm productivity, organic matter, and climate ciently, which reduces the number of illnesses and insect
change mitigation (Raj et al. 2014). Agroforestry provides an pests. The decomposition and pruning of trees contribute
extensive array of cultural services, including spiritual significantly to soil fertility maintenance. It is feasible to
24 Agroforestry: A Climate Resilient and Sustainable Land Use 533

Fig. 24.2 Poplar-based agroforestry system (photo: ICAR-CAFRI/Inder Dev)

align the release of nutrients from tree breakdown with the agroforestry practices have thus been incorporated into vari-
nutrient requirements of neighboring crops. Typically, a sig- ous national developmental programs/schemes, such as the
nificant level of nutrient synchrony is attained by Multipurpose River Valley Projects, Flood Control/Manage-
incorporating high-quality pruning into the soil during crop ment Programs, National Watershed Development Program
planting. Despite variations in the requirements of different for Rainfed Areas, Integrated Rural Development Program,
trees and crops, achieving perfect balance may be challeng- Agriculture Development Program, Forestry Development
ing, but strategic timing helps optimize nutrient utilization. Scheme, Drought Prone Area Development Program, and
By diversifying farms and stimulating rural economies, AF Desert Development Program, in recognition of the impor-
can make farms and communities more stable. As a result of tance of agroforestry. Agroforestry has been recognized as a
multiple product production, AF systems also reduce eco- possible crop for cultivation on 10 M ha of agricultural land
nomic risks. with irrigation and 18 M ha of rainfed area of land by the
A total of 120.72 M ha, or 37% of India’s land area, are Task Force on Greening India (Planning Commission 2001).
impacted by soil degradation due to one or more of the Sustainable development can be achieved through agrofor-
following factors: open forests (16.53 M ha), wind erosion estry because it increases production, conserves natural
(11 M ha), water erosion (93 M ha), and salt-affected areas resources, provides environmental security, and provides
(6.74 M ha). There is still a significant amount of land that livelihood security.
has to be treated, although up to 2010–2011, about
56.96 M ha had been treated under various watershed devel-
opment schemes. As a result, AF can contribute substantially 24.2 Historical Perspective of Agroforestry in
to such endeavors, while fulfilling the diverse needs of people India
through the production of crops, trees, and livestock. In
addition, AF can produce multiple products (food, fruit, The forests are an important part of the Indian culture, and
fuel, fodder, fertilizer, and fiber). The numerous advantages farmers have a long tradition of practicing agroforestry for
and amenities that trees offer to ecosystems and society make multiple benefits and products. There are evidences which
them essential to our traditional farming systems. Various shows that in India agroforestry has been an integral facet of
534 I. Dev et al.

Fig. 24.3 Coconut tree

“Kalpavriksha”

life since the Mesolithic period. The Brhat Samhita, which India has a rich historical tradition of different agrofor-
describes the relationship between irrigation tanks and trees, estry practices across diverse agroecological conditions.
is one piece of Vedic literature that highlights the importance Archaeological observations from the Harappa excavations
of agroforestry techniques (Kumar and Sikka 2014). The use advocate that ancient inhabitants had rich knowledge about
of pasturelands by human beings within the forested areas different fruit species of trees that included coconut, date
stands as one of the earliest land-use traditions in India. palm, pomegranate, citrus, and melon. (Fig. 24.3). Further,
Moreover, the genesis of civilization itself occurred in Emperor Ashoka (274–237 BCE) also played a key role in
forests, where the Rishis, instrumental in shaping Hinduism, introducing and boosting the cultivation of different fruit
coexisted harmoniously with nature. The environment crops like grapes, jackfruit, and mango, thus promoting
around Rishi’s ashram reflected a synergistic blend of agri- agri-horticultural agroforestry practices during his reign.
culture, pastures, trees, birds, and animals. Post the Harappan
and Mohenjo-Daro civilizations, worship of specific tree
species became prevalent in various rituals. The growing of 24.3 Major Components of Agroforestry
fruit trees such as aonla, ber, banana, pomegranate, coconut,
date palm, and various crops, alongside livestock rearing, can Agroforestry’s major components are described in the
be traced back to the Chalcolithic period of civilization. The sections that follow:
sacred literature such as ancient Vedas also underscore the
religious significance of specific trees like peepal, khejri, and
palash. The hymn (Bhatla et al. 1984) “May plants, water, 24.3.1 Alley Cropping
and the sky preserve us, and woods and mountains with their
trees for tresses” (Rigveda V. 41.11) is a prime instance of The technique of growing food, fodder, or specialty crops in
how the Rigveda provides insight regarding the reverence for the spaces that exist between tree rows is generally referred to
trees during the period when it was written. as alley cropping in agroforestry. It includes the strategic
24 Agroforestry: A Climate Resilient and Sustainable Land Use 535

planting of trees, either individually or in grouped rows, 24.3.5 Silvipasture

alongside the crops cultivated between the tree rows. This
agroforestry practice can create significant benefits for Silvipasture is a specific kind of land use system that
farmers by modifying the microclimate and improving the combines grassland, farm animals, trees, and shrubs in an
soil nutrient status and yield. Alley cropping has many appropriate combination to produce both fuelwood and fod-
advantages over monocropping practice as it provides der on the same piece of agricultural land. The best mix of
diversified and more total farm yield. Moreover, this practice trees, grasses, and legumes maximizes productivity,
helps in reducing wind and water erosion, reduces nutrient preserves plants, soil, and nutrients, and produces sustainable
leaching to groundwater, and also provides habitat to fodder, fuel wood, lumber, and other products. The trees and
wildlife. bushes, particularly those that flourish in semi-arid and dry
areas, frequently provide silvipastoral systems with signifi-
cant volumes of leafy forage. These extra feeds are essential
24.3.2 Riparian Buffer Strips for mitigating livestock feed shortages at times when fodder
is scarcely available. In addition, it also provides a habitat for
Perennial strips made up of grasses, trees, and shrubs are wildlife.
placed between crops or grasslands and bodies of water,
which include drainage ditches, lakes, ponds, wetland areas,
and streams, to generate riparian buffers. These perennial 24.4 Agroforestry in Different Agro-Climatic
strips play a critical role in preventing the intense growth of Zones
aquatic macrophytes by providing shade from canopies, fil-
tering contaminated air from nearby sources of pollution, and Various specialized agroforestry systems and techniques that
removing pollutants from the overland flow from intensively have been created over time and are being adopted in diverse
managed adjacent agricultural fields. In addition, they also agro-climatic zones of India include energy plantations,
stabilize stream banks, for wildlife, provide harvestable home gardens, shelterbelts, and alternatives to shifting
products, and also enhance the landscape’s beauty. farming.

24.3.3 Windbreaks 24.4.1 Important Agroforestry Techniques Used

by Indian Farmers
Planting shrubs and trees in a planned pattern to improve
farm productivity, safeguard livestock, and manage soil ero- Boundary plantations are found in every agroecological zone
sion is known as a windbreak. It also provides different in the country, while farm woodlots are also found in all
harvestable products from trees and shrubs and thus increases agroecological regions. Home gardens are common in
the farm income. Windbreaks protect wind-sensitive crops Kerala, the West Coastal region, South Karnataka, and the
and livestock and also provide benefits like improved bee Andaman and Nicobar Islands. Industrial plantations, also
pollination and wildlife habitat. known as commercial agroforestry, are prevalent in Haryana,
Uttar Pradesh, Punjab, Tamil Nadu, Andhra Pradesh,
Karnataka, and Kerala. Agroforestry with plantation crops
24.3.4 Forest Farming for shade is practiced in the tea and coffee-growing areas of
southern India, West Bengal, and Assam (Puri and Nair
The practice of “forest farming” involves using forested areas 2004).
to grow crops that can withstand the shadow, like shiitake Shelterbelts and windbreaks are used in coastal and arid
mushrooms, decorative ferns, and ginseng. Forest trees pro- regions, and trees scattered across fields and parkland are
vide the necessary shade levels for these crops. Understory typical in semiarid and arid regions. Fodder trees are grown
crops suitable for forest farming either naturally grow in across the entire country. The hortipasture system is suited
forest conditions or adapt well to the site’s soil and microcli- for subtropical and tropical climates, particularly in orchards
matic conditions. This approach presents an option for a situated in hilly regions. Trees for salt-affected soils are
consistent income stream in addition to or instead of found in canal-irrigated areas of semi-arid regions, while
harvesting the trees for wood merchandise. trees for soil conservation are important in hilly zones,
536 I. Dev et al.

Fig. 24.4 Apple-based agroforestry system (photo: ICAR-CAFRI/Inder Dev)

seacoasts, and ravine lands. Seasonal grazing in the forest

occurs in semi-arid and hilly ecosystems, and the Taungya 24.5 Agroforestry for Climate Resilience
system is practiced in the states of the Northeast (Puri and
Nair 2004). Changes in the normal climatic conditions are the most
Additional 20 prevalent AF systems, including agri- important environmental challenges disturbing the natural
silviculture, agri-horticulture (Fig. 24.4), alley cropping, ecosystems, agriculture, and health globally. The extremes
energy plantation, agri-silvi-horti, agri-silvi-pastoral, horti- of temperature and precipitation patterns in poor and devel-
pastoral, silvi-pastoral, shelter-belts, forage forestry, horti- oping countries are predicted to have negative effects on crop
olericulture, horti-apiculture, aqua-forestry, homestead, yields, increased infestation of pests diseases in agriculture,
wind-breaks, boundary plantation, live fence, block planta- and decreased livestock fodder quality. Agriculture as a sec-
tion, are currently practiced across many agro-ecological tor provides a vital source of income for many developing
areas of the nation (Dhyani et al. 2009). nations; as such, changes in climate effects on the output of
Agroforestry is also being studied from a variety of angles agriculture are a major worry in many nations (Dhyani et al.
by the All-India Co-ordinated Research Program on Agrofor- 2016, 2020; Ram et al. 2018; Meena et al. 2023b). As per
estry (AICRP-AF) and the ICAR-Central Agroforestry IPCC (2007), out of total global anthropogenic greenhouse
Research Institute (ICAR-CAFRI), both in Jhansi. AICRP gas (GHG) emissions, around 25–30% is contributed by
on AF and ICAR-CAFRI Jhansi have created 35 distinct different production systems like agricultural production
agroforestry models with possible tree-crop combinations systems, forestry, and other land utilization practices. Agri-
based on the nation’s various agro-climatic zones culture alone is responsible for approximately 12% of total
(Chaturvedi et al. 2016). The Indo-Gangetic Plain (IGP) is non-CO2 anthropogenic greenhouse gas releases (Gerber
covered by poplar systems; the western Himalayas are cov- et al. 2013).
ered by morus and grewia systems; the tropical regions are The lives of farmers who live in tropical and sub-tropical
covered by teak systems; the humid and sub-humid regions countries may be threatened by global warming, which may
are covered by gmelina and acacia systems; and the arid and cause droughts, floods, strong storms, a rise in disease inci-
semi-arid regions are covered by aonla and khejri systems. dence, and a drop in crop output in certain of these places
Table 24.1 outlines the significant ecosystems of agroforestry (Dhyani et al. 2020). Numerous parts of the world are already
found in the various regions of the nation (Fig. 24.5). experiencing these changes, which have an impact on
24 Agroforestry: A Climate Resilient and Sustainable Land Use 537

Table 24.1 Notable agroforestry systems across various Indian states

Agroclimatic Agroforestry
zone systems Tree component Crop/Grass
Western Silvipasture Celtis australis, Grewia optiva, M. alba, Bauhinia Cenchrus ciliaris, Minor millets, Lolium perenne,
Himalayas variegata, Ficus roxburghii, A. lebbeck Setaria anceps, Chrysopogon fulvus, Paspalum
spp.
Agri- Malus pumila, Prunus persica, Prunus armeniaca, Prunus Wheat, millets, Setaria anceps, maize, Lolium
horticulture domestica perenne, soybean, Chrysopogon fulvus, Paspalum
spp
Eastern Agri- Anthocephalus cadamba, Leucaena leucocephala, Melia Rice, ragi, jowar, maize
Himalayas silviculture azadirach, Alnus nepalensis, Moringa oleifera
Agri- Ananas comosus, Passiflora edulis, Artocarpus Large cardamom/coffee para grass, BN hybrid,
horticulture heterophyllus, Citrus sp., Malus pumila, Prunus persica, guinea grass, white and red clover
Prunus armeniaca, Prunus domestica
Silvipasture Bamboos, Morus alba, Parkia roxburghii, Kachnar, Ficus Para grass, BN hybrid, guinea grass, Napier
spp., Morus spp
Lower Agri- Albizia lebbeck (Siris), eucalyptus spp., Acacia spp, Albizia Rice, wheat, pulses, mustard, groundnut, jute,
Gangetic silviculture spp, Leuceana leucocephala, Azadiracta indica, Dalbergia sugarcane
Plains sissoo, Populus deltoides
Agri- Litchi, Carica papaya, Mango, Guava Maize, paddy, wheat, pulses, mustard
horticulture
Silvipasture Albizia lebbeck, Morus alba, Leuceana leucocephala, Pennisetum spp., Cenchrus ciliaris,
Madhuca latifolia, Ziziphus mauratiana, Grewia optiva Panicum maximum, Hetropogan contortus,
Dichanthium annulatum,
Apluda mutica, Brachiaria mutica
Middle Agri- Populus deltoids, Dalbergia sissoo, Eucalyptus spp. Sugarcane-wheat, rice-wheat, sesame
Gangetic silviculture
Plains Agri- Litchi, Carica papaya, Mango, Guava, Citrus spp. Rice-wheat, sugarcane-wheat
horticulture
Silvipasture Albizia lebbeck, Ficus spp. Leucaena leucocephala, Cenchrus ciliaris, Panicum maximum,
Azadiracta indica, Madhuca latifolia, Ziziphus mauritiana, Hetropogan contortus, Dichanthium annulatum,
Grewia optiva, Morus alba Apluda mutica, Brachiaria mutica
Trans Agri- Aonla, Mango, Psidium guajava Black gram/green gram
Gangetic horticulture
Plains Agri- Neem, L. leucocephala, Dalbergia sissoo, eucalyptus spp. Black gram, wheat/mustard
silviculture
Silvipasture Albizia lebbeck, B. variegata, Morus alba Cenchrus spp., Pennisetum sp., Panicum
maximum, Hetropogan contortus
Upper Agri- P. deltoids, Eucalyptus spp., Leucaena leucocephala Wheat, bajra fodder, rice-wheat
Gangetic silviculture
Plains Silvipasture Albizia lebbeck, Baushinia variegata Chrysopogon,
Poa spp.
Panicum maximum, Hetropogan contortus
Eastern Agri- Gmelina arborea, Acacia nilotica, Tectona grandis Rice, linseed
Plateau and silviculture
Hills Silvipasture Acacia mangium, A. nilotica, bamboos, L. leucocephala Chrysopogon fulvus, Dicanthium spp.,
Pennisetum spp.
Central Agri- Emblica officinalis and Psidium guajava Chickpea/groundnut, black gram/green gram
Plateau and horticulture
Hills Agri- A. nilotica/Albizia lebbeck/Azadirachta indica/L. Soybean, Black gram, mustard/wheat
silviculture leucocephala
Silvipasture Albizia amara, Dichrostachys cinerea, L. leucocephala, Cenchrus ciliaris, Chrysopogon fulvus,
Ficus spp. S. hamata, S. scabra
Tree borne Jatropha curcas –
oilseeds
Western Agri-horti- Achras zapota, Tectona grandis Rice, maize
Plateau and silviculture
Hills Agri- Areca catechu Black pepper, cardamom
horticulture
Silviculture Tectona grandis, Ailanthus excelsa, Prosopis juliflora –
Silvipasture Acacia mangium, Albizia amara Cenchrus spp. Chrysopogon fulvus
(continued)
538 I. Dev et al.

Table 24.1 (continued)

Agroclimatic Agroforestry
zone systems Tree component Crop/Grass
Southern Agri- Ailanthus excelsa, Casuarina equisetifolia, Cotton, groundnut
Plateau and silviculture Eucalyptus tereticornis, Melia dubia
Hills Silviculture Eucalyptus spp., L. leucocephala, Casuarina equisetifolia –
Agri- Tamarindus indica, Psidium guajava, Emblica officinalis Chilli, cotton, groundnut
horticulture
Tree borne P. pinnata –
oilseeds
East Coast Agri- Ailanthus excelsa, L. leucocephala Cowpea, groundnut, mustard, sorghum, maize,
Plains and silviculture other millets, pulses, vegetables
Hills Silviculture Leucaena leucocephala, Casuarina equisetifolia, Moringa –
olelifera, Acacia auriculiformis, A. indica
Tree borne P. pinnata –
oilseeds
Silvipasture Artocarpus spp., Moringa olelifera, Acacia auriculiformis, C. fulvus, Napier, Cenchrus ciliaris
A. indica
West Coast Agri- Acacia auriculiformis, Casuarina equisetiofolia Black pepper, rice
Plains and silviculture
Hills Agri- Artocarpus heterophyllus, Areca catechu/Cocos nucifera Black pepper, rice
horticulture
Silvipasture Hardwickia binata, Albizia lebbeck, Gliricidia sepium, Cenchrus ciliaris, Bracharia spp., Panicum
Ficus, spp., Moringa olelifera maximum
Gujarat Coast Agri- Ailanthus excelsa, A. indica, H. binata, Cowpea, mung bean, millet, mustard
Plains and silviculture
Hills Silviculture A. nilotica, Prosopis juliflora, L. leucocephala, H. binata –
Silvipasture L. leucocephala, Ailanthus excelsa, A. indica Lasiurus sindicus C. ciliaris, C. setigerus,
Dichanthium annulatum, Hetropogan contortus
Western Dry Agri- A. nilotica, Azadirachta indica, Prosopis cineraria, Pearl millet, gram, mustard, groundnut
Region silviculture Tecomella indica
Tree borne Jatropha curcas –
oilseeds
Silvipasture Hardwickia binata, Albizia lebbeck, Leucaena Dichanthium annulatum, C. ciliaris, Lasiurus
leucocephala, Ailanthus excelsa sindicus C. setigerus
All Islands Agri- Cocos nucifera, Anacardium occidentale, Areca catechu Rice, pulses
horticulture
Silvipasture Bauhinia spp., Erythrina indica, L. leucocephala, C. spp., Pennisetum spp. Paspalum spp.
Source: Dhyani et al. (2009, 2016)

millions of people’s lives overall and on marginalized and in soil and biomass produced by trees (Dhyani et al. 2016,
small-scale farmers especially. 2020). Agroforestry systems have been shown to have a
The amount of CO2 in the earth’s atmosphere has higher capacity for sequestering carbon dioxide, in addition
amplified at an average rate of 2.07 ppm/year during the to their significant role in lowering climate change suscepti-
last decade, accounting for approximately 77% of all anthro- bility and ensuring livelihood security (Dev et al. 2016). India
pogenic greenhouse gas emissions (Dhyani et al. 2020). wants to reduce its GDP’s emission intensity to the tune of
There is growing pressure to cut GHG emissions by 33–35% by 2030 compared to 2005 levels. Afforestation
50–80% by the year 2050 to avert the most severe programs through agroforestry and a greater percentage of
consequences of climate change. There is a possibility that energy produced from renewable sources (such as solar
various land-use regimes could help stabilize the amount of energy, bioenergy, as well as biofuel), would help achieve
CO2 in the atmosphere. this goal.
According to Lin (2007), the agroforestry land-use system The IPCC’s land-use change and forestry report states that
provides a special chance to combine the dual goals of the most potential for sequestering carbon is provided by
achieving food security, reducing impacts, and adapting to agroforestry land-use systems. Small-scale agricultural
the effects of climate change. This is because agroforestry communities are less vulnerable thanks to enhanced agrofor-
increases output compared to annual production systems, estry systems, which also aid in their ability to adjust to
reduces GHG emissions from soils, and sequesters carbon shifting environmental conditions.
24 Agroforestry: A Climate Resilient and Sustainable Land Use 539

Fig. 24.5 Ailanthus excelsa-based AFS (photo: AICRPAF, SK Nagar, Gujarat/Inder Dev)
540 I. Dev et al.

24.5.1 Measures to Adapt to the Consequences farmlands in Rajasthan to high-density, intricate, multi-story
of Climate Change Through Agroforestry home gardens in Kerala; from systems where trees primarily
serve “service” functions (such as windbreaks and shelter
Agroforestry plays a significant role in various climate belts) to those where they produce the majority of the planta-
change activities. It contributes to carbon sequestration both tion crops that are sold. Agroforestry spans 25.32 M ha in
above and below ground using trees and shrubs. Agroforestry India, which makes up 8.2% of the nation’s total land area
also helps in reducing the emission of greenhouse gases by (Dhyani et al. 2013). But neither a measurement nor income
providing alternative timber and other forest products, records serve as the foundation for these agroforestry area
thereby conserving the existing carbon stock of available estimates. Dhyani (2014) suggested a GIS tool for reaching
forests. It reduces methane emissions through improved for- near to an accurate estimate of agroforestry in India.
age and fodder quality, decreases fossil fuel use, and lowers
farmstead heating and cooling needs. In addition, agrofor-
estry acts as a carbon sink, reducing CO2 emissions, and 24.7 Agroforestry for Energy Production
decreasing nitrous oxide (N2O) emissions by minimizing
the use of N fertilizers, thanks to nitrogen-fixing trees. The 24.7.1 Bio-Fuel Production
practice further reduces the need for chemical fertilizers due
to better nutrient recycling. In terms of climate resilience, A large population in India depends mainly on conventional
agroforestry enhances resilience against extreme weather sources of energy to fulfill their energy requirements, and
events affecting crop productivity, increases floral and faunal these conventional sources of energy are known to have
diversity, and protects natural resources such as soil moisture. negative impacts on environmental quality. Hence, renew-
It also offers diversified produce. Agroforestry also creates able sources of energy are being explored worldwide as a
favorable conditions for species during aberrant weather possible alternative energy option to conventional sources.
conditions by providing habitat corridors for species migra- Biofuels are widely recognized as a viable alternative to
tion (Schoreneberger et al. 2012). address issues related to environmental deterioration, energy
The CSP of AFS varies significantly in India since it security, import limitation, rural job creation, and bolstering
heavily relies on several variables, which encompasses area, the agricultural sector. In India, the major source of bio-fuels
site quality, species kinds, and preceding land use. The is tree-borne oilseeds (TBOs), viz. Pongamia pinnata,
estimated values for the tree and crop components of agro- Azadirachta indica Simarouba, Jatropha curcas, and
forestry are 0.25 to 19.14 and 0.01 to 0.60 Mg C/ha/year, Madhuca spp. The integration of such TBOs with annual
respectively. According to Dhyani et al. (2016), agroforestry crops (French bean, green gram, black gram, cowpea, sun-
is also crucial for soil C sequestration, which varies flower, sesame, and groundnut) in agroforestry systems can
depending on the system and ranges from 0.003 to 3.98 Mg achieve energy as well as food security simultaneously.
C/ha/year. Whereas, sole plantation of these TBOs on waste and mar-
ginal land in rural areas can alleviate poverty and help to
protect ecosystems besides increasing green cover. Oils from
24.6 Agroforestry Network in the Country these sources are CO2 neutral, which may help to mitigate the
GHG effect. The National Oilseeds and Vegetable Oils
Despite being a long-standing practice in India, systematic, Development Board reports that compared to our current
targeted research on various aspects of agroforestry has requirement of more than 5 Mt, we are only receiving
accelerated since the AICRP on Agroforestry was launched 0.8–1.0 Mt of TBOs. According to Dhyani et al. (2015),
in 1983 and the National Research Centre for Agroforestry TBOs are gathered from many different kinds of species,
(NRCAF) was established in 1988 (Dhyani and Handa 2014). including Shorea robusta, Jatropha curcas, Madhuca
The 37 centers spread across the country’s agro-climatic longifolia, Azadirachta indica, Pongamia pinnata, and
regions that are dedicated only to agroforestry research, as Schleichera oleosa. Wasteland is an excellent place to culti-
well as the AICRP’s headquarters in Jhansi, are now running vate several of the TBO species due to their natural hardiness.
the program. Such species need to be promoted to harness their full poten-
Due to diversified agro-climatic conditions in India, there tial for the production of TBOs as an energy substitute and for
are a lot of variations in agroforestry systems, their composi- rehabilitating the wastelands as well as increasing the green
tion, production potential, and socioeconomic conditions. cover. But to increase seed and oil yield, more research is
Agroforestry practices range from simple shifting cultivation required on the genetic modification of trees yielding TBOs.
to intricate home gardens; from low-tree densities on
24 Agroforestry: A Climate Resilient and Sustainable Land Use 541

24.7.2 Bio-Energy Production 24.8 Agroforestry in Relation to Industry

Biomass from trees and bushes provides a significant portion Agroforestry plays a vital role in maintaining a steady supply
of the energy produced in rural areas. Agroforestry projects of raw materials to both wood and non-wood forest product
have led to the production of massive amounts of wood industries. The demand for wood/timber, and additionally
biomass from trees that were previously only found in tradi- non-wood forest commodities is expanding quickly due to
tional forest areas. The needs of wood biomass are being met urbanization and rising populations. According to
in large part by species of short-rotation trees. Andhra Shrivastava and Saxena (2017), India has seen a growth in
Pradesh (AP) power generation plants mostly rely on the wood imports of 0.9 M m3 every year since 2001. By the end
perennial shrub Prosopis juliflora as their fuel supply for of 2020, 2025, and 2030, the country’s wood imports are
their boilers. A comparison of the fuel wood potential of projected to reach 22.51, 27.01, and 31.5 M m3. However,
exotic (Acacia. Tortilis, A. auriculiformis, E. tereticornis, the World Wide Fund for Nature (WWF) and the erstwhile
and Casuarina equisetifolia) and indigenous (A. indica, Planning Commission (now NITI Aayog) of India have
D. sissoo, A. nilotica, P. cineraria, and Z. mauritiana) trees estimated a significant decrease in wood/timber supply com-
showed that the range of calorific values for these tree species pared to national as well as international sources in the
was 18.7–20.8 and 17.3–19.3 MJ DM/kg, respectively. coming future owing to declining wood productivity of
L. leucocephala, Casuarina equisetifolia, and Calliandra plantations and conventional forests and ever-rising forest
calothyrsus are well-known tree species for producing products demand (Manoharan 2011).
wood energy with maximum efficiency because of their Indian forests, which were the prime source of raw mate-
shorter rotation and excellent adaptability to a variety of rial for forest-based industries, now owing to their
habitats and temperatures. There is a huge possibility for diminishing area, overexploitation, and low productivity
producing wood energy from live fences on farm boundaries (0.77 m3/ha/year) in comparison to the world average
and agroforestry plants on common property. For improved (2.1 m3/ha/year), are unable to meet out solely the demand
fuel wood consumption and socioeconomic status, of wood industries (Agarwal and Saxena 2017). As per the
plantations of locally available multi-purpose trees (MPTs) FSI (2019) report, the total growing stock of India was
can be encouraged on wasteland, community land, and pri- 5915.76 M m3 of which 4273.47 M m3 is contributed by
vate property in the Bundelkhand region of central India forests and 1642.29 M m3 by trees outside forests, which is
(Chauhan et al. 2015). not enough to meet the demand for forest products in India.
The utilization of biomass from diverse agroforestry Hence, India must develop high-yielding sources of timber
systems as an energy source has not only enhanced livelihood and other forest-based goods to cater to the nation’s growing
conditions but also positively impacted ecological health in requirements and declining availability. This can only be
the semi-arid Bundelkhand region. According to Chavan accomplished by making use of wastelands/marginal areas,
et al. (2016), the finest quality different fuelwood trees for fallow lands, and agricultural land. Among each of the possi-
agroforestry plantations in the region of Bundelkhand are ble land resources that have been identified, utilizing agricul-
Prosopis juliflora, Acacia catechu, and Anogeissus pendula. tural land via the establishment of a commercial or industrial
The AICRP on Agroforestry’s biofuel research has shown agroforestry model would be the best option to ensure liveli-
that bioenergy plantations are a cost-effective solution for hood security and environmental safety in the event of cata-
degraded lands. Because of their higher energy efficiency, strophic climate change, in addition to catering to the rising
shorter rotation times, and greater adaptability to a variety of demand for forest products. According to Agarwal and
environments and climates, native tree species like D. sissoo, Saxena (2017), the productivity of woody growing stock
A. indica, A. nilotica, Z. mauritiana, and P. cineraria, as well under agroforestry and farm forestry, and in trees outside of
as invasive species like Casuarina equisetifolia, forests is estimated to be 3.06 m3/ha/year. This productivity
A. auriculiformis, A. tortilis, E. tereticornis, and significantly helps meet the demand for raw materials for
E. camaldulensis have a great deal of potential for use as industries based on both wood and non-wood forests.
energy producers. According to Raizada et al. (2014), About 80% and 60% of demand for the plywood and pulp-
densified plantations of Bahunia variegata (4 m × 2 m), wood industries, respectively, is being met by trees raised
Dalbergia sissoo (3 m × 2 m), and Grewia optiva under agroforestry (Agarwal and Saxena 2017). The increas-
(2 m × 2 m) on former riverbank lands in the northwest ing disparity between supply as well as demand for wood in
Himalayas were found to be highly beneficial for producing addition to forest products other than wood is making it more
fuel and fodder. and more challenging for enterprises that deal with forest
542 I. Dev et al.

products to get raw materials, as noted by Agarwal and Nadu Newsprint Ltd.; by ITC Paper Board in Andhra
Saxena (2017). Therefore, the amount of land that is now Pradesh; by JK Paper Mills in Gujarat and Odisha; by West
covered in trees outside of forests is insufficient to close the Coast Paper Mill in Uttar Pradesh; by plywood industries in
disparity between the availability and demand of unprocessed Haryana, Punjab and Uttarakhand; by WIMCO Ltd. in the
products for enterprises that are reliant on forests for their Indo-Gangetic region; by Gums and Resins Industries in
resources. Jharkhand, Chhattisgarh through contract farming mode
There is a pressing need to intensify the area under agro- (ICFRE 2012; Luukkanen and Appiah 2013; Chavan et al.
forestry in India to meet ever ever-growing demand for wood 2015). Commercial agroforestry is practiced in India over
products and this will create many opportunities for millions 5 M ha exploiting the potential of Acacia spp., Ailanthus
of marginal and smallholders to secure their livelihood by spp., Anthocephalus cadamba, Bombax spp., Casuarina,
growing commercially high-value trees. Adoption of com- equisetifolia, Eucalyptus spp., Leucaena leucocephala,
mercial/industrial agroforestry among farmers would require Melia spp., Populus spp. (Chavan et al. 2015).
quality planting material, high-yielding genotypes, technical Initiatives of private players have opened up avenues of
assistance, financial support for establishing and managing income and livelihood generation to the farmers by
plantations, insurance, and marketing assistance, etc. Among establishing commercial agroforestry models with the
all the above-mentioned requirements of industrial agrofor- involvement of local farmers. The private sector needs to
estry, the availability of high-yielding genotypes of commer- establish and support the commercial agroforestry model in
cial tree species is the need of the hour. The connection various agro-climatic zones of the country to become self-
between FARM and FIRMS must be established to meet sufficient in meeting the demand of forest-based industries
the growing demand in commercial wood markets, ensure and to support farmers economically. As a further step toward
rural development and poverty alleviation, and sustain eco- mitigating the consequences of climate change, this will
system services while mitigating climate change. make it easier to accomplish the target of covering 33% of
the nation’s land area with trees and forests.
The main consideration for the private sector to make
24.9 Role of Private Sector and Forest-Based industrial agroforestry profitable would be to establish a
Industries market in close proximity to the commercial agroforestry
models of the specific region and provide farmers with finan-
As expansion of area under commercial/industrial agrofor- cial and insurance support for forest products. Moreover,
estry is required to meet the demands of the forest-based establishing industry-driven minimum support prices to sup-
industries, it is crucial to encourage farmers to take up com- port farmers is required from private firms as there is no
mercial/industrial agroforestry. In this regard, private sector minimum support price in the case of forest/agroforestry
and forest-based industries can play important roles in the produce in India. Value chain development is another yet
promotion of industrial agroforestry. The private sector and important sector that has been ignored and is required to
industries can provide quality planting material, insurance, make agroforestry a successful venture for farmers in which
finance support, market information, and marketing assis- private players and industries can play a major role.
tance to the farmers. Moreover, the private sector and
industries can create an assured market for the farmers ven-
turing into industrial agroforestry (Chavan et al. 2015).In 24.10 Agroforestry with Reference to Natural
India, the private sector has already begun to play a key Resource Management
role in developing high-yielding clones of commercial tree
species and raising quality planting material for agroforestry In dry and semi-arid regions, insufficient water availability is
tree species (Dhiman and Gandhi 2012; Dhiman and Gandhi a primary obstacle to food production. Since the water use
2014; Kulkarni 2013). WIMCO is known for its poplar, efficiency (WUE) of a rain-fed ecosystem is low, raising
eucalyptus, and kadamba clones (Dhiman and Gandhi WUE in this ecosystem is essential to raising the standard
2015; Dhiman et al. 2010). The private sector is also carrying of living of farmers. Floods and droughts are predicted to rise
out research trials to study tree crop interaction under agro- in many places due to altered precipitation patterns, which
forestry to find suitable clones for the agroforestry sector and will be extremely difficult for small-scale farmers that rely on
also on developing diseases and pest-resistant clones (Kumar rain-fed farming (Verchot et al. 2007). Low crop productivity
and Dhiman 2016; Kulkarni 2004). New emerging diseases in arid and semi-arid parts of the country is primarily trig-
and pests have been identified for tree species and their gered by land degradation. The low infiltration capacity of
control measures have been worked out (Dhiman et al. degraded soils makes degraded land more susceptible to
2010). Commercial agroforestry models have been devel- flooding (Wani et al. 2009). Compared to annual crops,
oped by the private industries for pulp and paper by Tamil perennial plants withdraw the water from more volume of
24 Agroforestry: A Climate Resilient and Sustainable Land Use 543

Fig. 24.6 Agroforestry-based natural resource management at Parasai-Sindh watershed, Jhansi (photo: ICAR-CAFRI/Ramesh Singh)

soil; therefore, perennials can survive even in long-lasting

droughts (Verchot et al. 2007). Due to their larger ecological 24.11 Agroforestry Policy: Need and Potential
niches, agroforestry systems are able to use water more to Expand Area Under Agroforestry
effectively (Fig. 24.6). As a result of the trees using water
not available for the crops between growth seasons, agrofor- There is a need for independent policies that can address the
estry systems are able to double the use of rainwater (Pandey numerous bottlenecks connected with the expansion of agro-
2007). forestry and promote the growth of agroforestry on a larger
Livesley et al. (2004); Radersma and Ong (2004); scale. The National Forest Policy 1988, the National Agricul-
Odhiambo et al. (2001), and other studies have demonstrated ture Policy 2000, the Planning Commission Task Force on
that trees lower soil moisture content and lower yields; yet, Greening India 2001, the National Bamboo Mission 2002,
other studies have shown encouraging results (Sinare and the National Policy on Farmers 2007, and the Green India
Gordon 2015; Radersma and Ong 2004; Siriri et al. 2013). Mission 2010 highlight the importance of agroforestry for
According to several researchers (Radersma and Ong 2004; nutrient cycling, soil fertility, and other ecosystem services.
Pandey 2007; Kuyah et al. 2016), trees are more likely to However, various factors have prevented agroforestry from
compete for water resources and have a good (in 51% of gaining the importance it deserves as a tool for resource
studies) or negative (in 35% of studies) impact on water development. The absence of a well-thought-out national
availability. According to them, reduced evapotranspiration policy, a comprehensive integrated farming system approach,
and improved infiltration were responsible for the positive restrictive regulatory regimes, insufficient attempts to liberal-
effects. ize restrictive regulations, inadequate research, extension,
544 I. Dev et al.

and capacity building, inferior planting materials, a lack of arborea, Grevillea robusta, Casuarina, Melia composita,
institutional financing and insurance coverage, and limited Morus alba, Borassus flabellifer, Butea monosperma,
market access for agroforestry produce are some of the main Tamarindus indica, and Grewia oppositifolia. The restricted
hindrances to promote agroforestry (National Agroforestry species are A. indica, Mangifera indica, Ficus bengalensis,
Policy 2014). To overcome the various issues/obstacles Carpinus viminae, and Madhuca indica. In Punjab and
related to agroforestry adoption and promotion, India realized Haryana, the exempted species are Poplar, Eucalyptus, and
that it needed a national policy for agroforestry. The National Melia composita. The restricted species are Acacia catechu,
Agroforestry Policy was created by the Indian government to Bamboo, and Emblica officinalis. In Gujarat, the exempted
make agriculture less susceptible to climatic irregularities. species are Eucalyptus spp., Casuarina equisetifolia, and
India is the first country in the world to have a comprehensive Prosopis juliflora. The restricted species include Acacia cat-
agroforestry strategy, having had the National Agroforestry echu, Dalbergia latifolia, Tectona grandis, Mangifera
Strategy approved by the Cabinet in 2014. indica, Madhuca latifolia, Santalum album, Gmelina
The goal of an agroforestry policy is to combine several arborea, Anogeissus pendula, and Madhuca indica. In
agencies, programs, and plans that include agroforestry Maharashtra, the exempted species are Moringa, Phoenix,
aspects. It aims to increase smallholder farmers’ productivity, Poplar, Acacia auriculiformis, Acacia nilotica, Leucaena
income, and livelihoods. Through this policy, tree plantations leucocephala, Eucalyptus, and Sapota. The restricted species
will be encouraged and expanded, existing pressure on are Adina cordifolia, Tamarindus indica, Artocarpus
forests will be minimized, and a national forest cover target integrifolia, Terminalia chebula, Madhuca latifolia, Tectona
will be achieved. As a result, rural households, especially grandis, Mangifera indica, Santalum album, Acacia catechu,
smallholder farmers, will have more employment Pterocarpus marsupium, Syzygium cumini, Terminalia
opportunities and livelihood security. Various laws and tomentosa, Hardwickia binata, and mangroves. In Bihar,
procedures related to harvesting and transporting agrofor- the exempted species are Litchi, Mangifera indica, Poplar,
estry products have also been simplified under this policy. Eucalyptus spp., Phoenix, Bombax ceiba, Anthocephalus
The policy guidelines require different states in the country to cadamba, Gmelina arborea, and bamboo. The restricted
identify about 20 commonly grown tree species that can be species include Tectona grandis. In Madhya Pradesh, the
planted on farmlands to benefit the farming community eco- exempted species are Eucalyptus, Subabul, Poplar, Casua-
nomically and ecologically. State regulations regarding rina, and Pithocellobium dulce. The restricted species
growing, harvesting, and transportation must be notified for include Ziziphus mauritiana, Albizia lebbeck, Butea
these species. In addition to safeguarding the environment monosperma, Azadirachta indica, Acacia nilotica, Acacia
and natural forests, the strategy will help meet the increasing leucophloea, Syzygium cumini, and bamboo (Chavan et al.
need for agroforestry products like food, fuel, lumber, and 2015).
other items. As a result, the wood-based industries will In West Bengal, no tree species are exempted, while the
benefit from increased raw material availability and reduced restricted species are Madhuca indica, Swietenia mahagony,
imports of wood and wood products, thereby saving foreign Bombax ceiba, Acacia catechu, Diospyros melanoxylon,
exchange. Michelia champaca, Dalbergia sissoo, Gmelina arborea,
Shorea robusta, mangroves, and Tectona grandis. In Odisha,
the exempted species are Acacia auriculiformis, Bambusa
24.11.1 Exempted and Restricted Agroforestry vulgaris, B. tulda, B. nutan, Eucalyptus hybrid, Cassia
Tree Species in Different Indian States siamea, Casuarina equisetifolia, Samania saman, and Silver
oak. The restricted species include Schleichera oleosa,
In Tamil Nadu, the exempted species include Eucalyptus Tamarindus indica, Artocarpus heterophyllus, Madhuca
spp., Grevillea robusta, Leucaena leucocephala, and Casua- indica, Santalum album, and Mangifera indica. In Karnataka,
rina equisetifolia, while the restricted species are Diospyros the exempted species are Areca nut, Casuarina, Subabul,
melanoxylon, Santalum album, Pterocarpus santalinus, Rubber, Eucalyptus, Coconut, Erythrina, Orange, Sesbania,
Dalbergia latifolia, and Tectona grandis. In Kerala, the Gliricidia, and Silver oak. The restricted species are Acacia
exempted species are Hevea brasiliensis, Pongamia pinnata, catechu, Santalum album, and Dalbergia latifolia. In
Mangifera indica, Garcinia cambogia, Ailanthus excelsa, Jharkhand, the exempted species are Terminalia elliptica,
and Terminalia spp. The restricted species include Santalum Boswellia serrata, Bamboo, Subabul, Cane, Tectona grandis,
album, Dalbergia latifolia, Michelia champaca, Hopea Acacia nilotica, Shorea robusta, and Pterocarpus marsu-
parviflora, Xylia xylocarpa, Grewia tiliifolia, Toona ciliata, pium. The restricted species include Syzygium cumini,
and Tectona grandis. In Uttar Pradesh, the exempted species Artocarpus heterophyllus, Gmelina arborea, Dalbergia
are Ailanthus spp., Anthocephalus cadamba, Albizia spp., sissoo, Madhuca indica, and Mangifera indica. In Andhra
Acacia spp., Poplar, Eucalyptus spp., Subabul, Gmelina Pradesh, the exempted species are Acacia nilotica,
24 Agroforestry: A Climate Resilient and Sustainable Land Use 545

Anacardium occidentale, Casuarina equisetifolia, Mangifera This configuration was followed by the arrangement of
indica, Syzygium cumini, Psidium guajava, Ficus religiosa, 10 m × 10 m bamboo + sesame - chickpea (Dev et al. 2020).
Eucalyptus, Azadirachta indica, Cocos nucifera, and
Subabul. The restricted species include Tectona grandis,
Pterocarpus santalinus, and Santalum album (Chavan et al. 24.13 Conclusion and Way Forward
2015).
The National Agroforestry Policy (2014) recommended The National Agroforestry Policy of 2014 has made it easier
the setting of an agroforestry mission to develop or promote for many of the stakeholders to advocate agroforestry. Gov-
agroforestry in an organized manner. To achieve this, the ernment policies pertaining to resource management, infra-
Sub-Mission on Agroforestry was established under the structure, and climate change should all take agroforestry into
National Mission on Sustainable Agriculture. Farmland tree consideration. Agroforestry-related research and education
cover is to be increased as part of the sub-mission. To achieve should also get more support. Unfavorable laws must be
quantifiable benefits, the mission aims to increase agrofor- changed, and forestry and agroforestry rules need to be
estry areas to enhance carbon sequestration, enrich soil fertil- made simpler. The need for a public–private partnership is
ity, provide quality planting materials, enhance livelihoods, essential. It is necessary to create financially sustainable and
improve crop productivity, develop an information geographically specific systems of agroforestry. Since agro-
system, etc. forestry land use has a lot of possibilities to provide services
for the environment, it is essential to measure all of these
advantages. Agroforestry has the potential to meet the sus-
24.12 Economic Analysis of Agroforestry tainable development goals.
Systems
Lessons Learnt
Agroforestry has proven to be more lucrative for farmers than • Agroforestry provides an opportunity for climate resil-
forestry or agriculture in several studies conducted through- ience and food security as it stores carbon in above- and
out the country. According to Newaj and Rai’s (2005) below-ground biomass reduces GHG emissions from
research, a 13-year-old aonla-based agroforestry system that soils, and gives higher biomass production than annual
was built on marginal lands within a rainfed ecosystem had a systems.
3.28 benefit-cost ratio (B:C), indicating significant profitabil- • Agroforestry plays a pivotal role in addressing manifold
ity. These systems are also profitable, according to several problems and providing a wide range of socioeconomic
researchers. The Planning Commission (2001) found a B:C and environmental benefits.
ratio in the range of 1.01–4.17 by analyzing 24 agroforestry • Agroforestry is an efficient system for recycling nutrients
systems located in different agroclimatic zones of the coun- and a better protector of ecological systems.
try. Farmers in Western Uttar Pradesh, Punjab, and Haryana
are drawing a lot of attention because they are using agrofor- Key Questions
estry concepts, which are quite profitable. In these places, 1. What are below and above-ground interactions in agrofor-
poplar has been seen to be harvested every 6–8 years, and estry and how to minimize the impact of negative
poplar-based agroforestry systems have an average economic interactions?
return that is significantly higher than that of purely agricul- 2. What are the ecosystem services of agroforestry and how
tural enterprises. Another example of a eucalyptus-based they can be quantified to harness their economic potential?
agroforestry system that was economically more profitable 3. How does the National Agroforestry Policy (2014) help in
than annual crops in Haryana was worked out by Dhillon and the convergence of different government schemes and the
Bangarwa (2016). Research findings suggest that eucalyptus expansion of tree cover outside the forest area?
(6 m × 1 m)-based agroforestry, coupled with an eight-year 4. How does the National Agroforestry Policy (2014) ease
rotation cycle, and intercropping with crops, is a great way to the felling and transit rules for different tree species?
expand agroforestry on farmlands. With a net present value 5. How agroforestry plantations are supporting and sustain-
(NPV) and B:C ratio of 2.28, this method produced the ing the diverse wood-based industries in the country?
highest results. Furthermore, poplar-based agroforestry has
proven to be highly successful in northern states. The study
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wheat cropping system in Inceptisols. Indian J Agron 63:271–277 (2007) Trees and water: smallholder agroforestry on irrigated lands
Ravindranath NH, Hall DO (1995) Biomass, energy and environment: a in northern India. International Water Management Institute
developing country perspective from India. Oxford University Press,
New York, xiv, 376p
 Good Agricultural and Collection Practices
of Important Medicinal Plants 25
A. K. Pandey

Abstract importance of GACP in the medicinal plant industry to

Medicinal plants play an important role in primary balance the increasing demand for herbal medicines with
healthcare and are an important source of income in rural environmental conservation and sustainable resource
areas. Herbal medicines are gaining popularity in both management.
developing and developed countries. This trend is
attributed to a growing awareness of the harmful side Keywords
effects associated with many modern drugs. The current Medicinal plants · GACP · Phytochemicals · Variety ·
global trade value of medicinal and aromatic plants Yield
(MAPs) stands at approximately US$ 62 billion. There is
a projection that this trade could reach an impressive US$
5 trillion by 2050. The rising global demand for herbal 25.1 Introduction
drugs has led to large-scale collection from the wild,
resulting in the overexploitation of many medicinal plants. India is recognized as one of the top 12 mega-diversity
Some of these plants are now facing the threat of extinc- countries globally. The country’s diverse landscape includes
tion due to this increased demand. 15 different agro-climatic zones, 10 vegetarian zones,
The concept of good agricultural and collection 25 biotic provinces, and 426 biomes. As a subcontinent,
practices (GACP) is introduced as a set of guidelines India experiences a wide range of climates, covering almost
aimed at ensuring the sustainable and environmentally all shades of environmental conditions. From the hottest Thar
friendly cultivation and harvesting of medicinal plants. desert to the arctic environment in the Himalayas, India
These guidelines are crucial for maintaining the quality showcases diverse climatic zones with intermediate
and efficacy of the final herbal products. GACP is gradations.
presented as a way to meet the increasing demand for Medicinal plants have been a historical mainstay in tradi-
medicinal plants while safeguarding their populations tional healthcare practices across major societies for
and ecosystems. centuries. Even today, 75–80% of the world’s population
The chapter focuses on seven commercially important relies on medicinal plants for their primary healthcare needs
medicinal plants, providing an account of GACPs for (Patwardhan et al. 2005; Pandey and Shukla 2008). The
Andrographis paniculata (Kalmegh), Asparagus World Health Organization (WHO) has a target of “health
racemosus (Shatavar), Bacopa monnieri (Brahmi), for all,” which can only be realized through the utilization of
Gymnema sylvestre (Gudmar), Rauvolfia serpentina herbal medicine. The demand for herbal-based drugs in
(Sarpagandha), Tinospora cordifolia (Giloe), and developing countries is huge with some consumers becoming
Withania somnifera (Ashwagandha). The implementation increasingly skeptical about the use of modern medicine in
of GACPs is highlighted as a means to ensure the conser- developed countries.
vation and sustainable utilization of these plants, Medicinal plants have been an integral part of India’s
maintaining quality, involving communities, and healthcare system for centuries. India is home to approxi-
optimizing returns for all stakeholders, including farmers mately 18,000 flowering plant species. About 8000 of these
and collectors. Overall, the chapter underscores the plant species are used in traditional Indian medicine systems,
A. K. Pandey (✉) including Ayurveda, Unani, Siddha, and Homeopathy
Forest Research Institute, Dehradun, India (AYUSH). Medicinal plants find application in various

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 549
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_25
550 A. K. Pandey

sectors, including herbal industries, Ayurvedic industries, Although the GACP guidelines only cover production up to
pharmaceutical industries, household usage, and export. the point of selling the raw material, the buyers of medicinal
According to the National Medicinal Plants Board (NMPB), plant materials and manufacturers of herbal medicines also
1178 species of medicinal plants are active in trade in India. need to learn about the principles of GACPs. Many elements
Among these, 242 species have high annual consumption of GACPs can be implemented by farmers and collectors
levels, exceeding 100 metric tons per year. The breakdown without any additional cost, yet to significantly improve the
of the high-consumption species reveals that 42% are herbs, quality of medicinal plant material some investment may be
27% are trees, and 31% are shrubs and climbers (Ved and required, especially to improve post-harvest processing
Goraya 2007). A study conducted by Ravikumar et al. (2018) facilities such as for drying and storage. The National Medic-
reveals that nearly 90% of the medicinal plants used by local inal Plants Board and Quality Council of India (QCI) have
communities in India are directly sourced from the wild. This initiated a Voluntary Certification Scheme for Medicinal
study also highlights that approximately 72% of the medici- Plant Produce. This scheme aims to create awareness, imple-
nal plant species and 50% of the annual quantities consumed ment GACPs, and improve the quality and certification of
as herbal raw materials by the domestic herbal industry are medicinal plant material, making high-quality raw material
also sourced from the wild. This high demand for herbal available to the AYUSH industry (Guidelines on Good Field
drugs has led to the rampant collection of medicinal plants Collection Practices for Indian Medicinal Plants 2009).
from the wild, leading to the depletion of biodiversity. Sus- GACP provides suitable cultivation and collection
tainable harvesting is the only way to conserve our precious practices for important medicinal plant species and plant
resources for future generations (Pandey 2015). parts used (Pandey and Das 2014). The general guidelines
There is a rising global demand for phytochemicals and for the GACPs of some important medicinal plants are
products derived from medicinal plants. This trend is driven discussed hereunder.
by increased awareness of the potential health benefits
associated with natural compounds found in these plants
and has opened up opportunities for entrepreneurs to add 25.2 Andrographis paniculata (Kalmegh)
value to these plants and products through cultivation,
harvesting, processing and thereby generating enormous 25.2.1 Description and Distribution
employment avenues. An upward trend has been recorded
in the exports of medicinal and aromatic plant products in Andrographis paniculata (Burm. f) Nees commonly known
recent years, which has encouraged government and private as Kalmegh belongs to the Acanthaceae family and is indeed
organizations to develop processed products with medicinal an important medicinal plant with a rich history of traditional
plants. Different biotechnological approaches have been uses in various Asian countries. This is also called as “King
developed for enhanced production of secondary metabolites of Bitters” due to the bitter taste of its leaves and stems. It is
from plants and their conservation in natural habitats (Pandey distributed southwards through Thailand and Peninsular
and Tripathi 2017). Conservation of medicinal plants in their Malaysia to Indonesia, and in India it is distributed in the
natural habitat is crucial to maintain ecological balance and states of Madhya Pradesh, Chhattisgarh, Odisha, Jharkhand,
preserve biodiversity. Balancing increased cultivation and Maharashtra, Assam, Bihar, West Bengal, Uttar Pradesh,
harvesting with sustainable good agricultural and collection Uttarakhand, Rajasthan, Andhra Pradesh, Tamil Nadu,
practices (GACP) help to ensure the long-term availability of Karnataka, and Kerala (Ghosh et al. 2012).
these valuable resources. A. paniculata holds significant importance in traditional
The geographical origin, cultivar, and growth stage of the medicine systems, particularly in Ayurveda. The plant is
plant at the time of collection impact the quality of medicinal being prominently used in at least 26 Ayurvedic
plants. Post-harvest handling is a critical factor in formulations. The Panchang (stem, leaf, flowers, seed, and
maintaining the quality of medicinal plants. The quality of root) of the plant is utilized in various Ayurvedic
medicinal plants is also dependent on the use of quality formulations. The plant has been traditionally used in
planting material, such as seeds or propagules. The right Indian medicine for the treatment of fever, malaria, sore
seed source is crucial for planting and growing a diverse throat, and wounds (Chopra et al. 1956). Clinical information
range of medicinal plants. World Health Organization suggests the efficacy of Kalmegh in the treatment and pre-
(WHO) prescribed general guidelines for Good Agricultural vention of common colds, tonsillitis, and respiratory issues.
and Collection Practices (GACP) for the supply of quality The plant exhibits immunosuppressive properties, which may
medicinal herbs (WHO 2003). GACPs for medicinal plants be beneficial in conditions where immune system modulation
are a set of guidelines for medicinal plant producers on how is required. In addition, it possesses alexipharmic properties,
to improve the safety, efficacy, and quality standards of raw indicating its potential to counteract toxins (Puri et al. 1996).
materials used in the preparation of herbal medicines. The decoction of the plant is considered a blood purifier and
25 Good Agricultural and Collection Practices of Important Medicinal Plants 551

is used to treat liver disorders, jaundice, and dermatological agroforestry system, where it can be planted beneath the
diseases. This aligns with its reported hepatoprotective canopy of larger trees.
properties (Prathanturarug et al. 2007). The plant is known
for its effectiveness against malaria. A. paniculata is reported Soil Kalmegh may be cultivated in a wide range of soils
for hepatoprotective, immunomodulatory, anti-cancer, and from loam to lateritic soils having a normal pH range with
anti-HIV activities (Kumar et al. 2004; Jayakumar et al. moderate fertility. It can also be cultivated on shady
2013). wastelands. It cannot tolerate waterlogged conditions and
high soil sodicity. It could be better grownup as a rainfed
crop in culturable wastelands. Although Kalmegh can be
25.2.2 Phytochemicals grown in moderate to less fertile soils. Sandy loam soil is
most suitable for the cultivation of Kalmegh.
A. paniculata has been extensively studied for its phytochem-
ical composition, and several bioactive compounds have Plant Propagation Normally Kalmegh is propagated/
been identified. Some of the key bioactive compounds cultivated through seeds. In special cases, vegetative propa-
found in A. paniculata include andrographolide, gation can also be done as the nodes have rooting capacity.
neoandrographolide, panaculoside, flavonoids, Seeds are very small and remain dormant for 5–6 months.
andrographonin, panicalin, and apigenin-7, 4′-di-O-methyl Kalmegh is mostly cultivated by direct sowing of seeds or by
ether. The plant contains diterpenoids: 14-deoxy-11- transplanting nursery-raised seedlings. Farmyard manure
oxoandrographolide, 14-deoxy-11, (FYM) is added to nursery beds for raising healthy seedlings.
12-dehydroandrographolide, and 14-deoxyandrographolide. The mature ripe seeds of Kalmegh are sown in well-prepared
These compounds collectively contribute to the medicinal nursery beds in May. About 750 g of seeds are sufficient for
properties of A. paniculata, making it a subject of interest 1 ha land. Seeds mixed with sand (five times) or fine
in both traditional medicine and modern pharmacological FYM/compost are manually broadcasted in each bed and
research. The major bioactive constituent “Andrographolide” covered with 0.5–1.0 cm fine mixture of FYM/compost and
constitutes a group of diterpene lactones mainly found in sandy soil. Applying a layer of mulch on the nursery beds
leaves whereas stems contain the compound in traces helps retain soil moisture, reduce evaporation, and suppress
(Saxena et al. 1998). weed growth. Mulching promotes germination and prevents
Among the various medicinal plants, A. paniculata is in newly germinated seedlings from hot sunstroke. However,
high demand because of its multiple uses. The estimated the mulches need to be removed immediately after germina-
demand for this plant in India is more than 1000 tons per tion starts to avoid elongation of the seedlings. The nursery
year (Goraya and Ved 2017). The plant is mainly collected beds should be irrigated lightly to provide consistent mois-
from wild sources (Pandey and Mandal 2008). However, ture to the soil without causing waterlogging or other poten-
cultivation has also commenced in the plains of Uttar tial issues. For raising seedlings to be planted in 1 ha of land,
Pradesh, Madhya Pradesh, Bihar, Jharkhand, Odisha, six beds of 10 × 1 m size are sufficient. It is advisable to
Gujarat, and Andhra Pradesh. In India, it is mainly cultivated prepare a nursery in partial shade to avoid excess temperature
as a Kharif (rainy season) crop. during summer months for proper growth of the seedlings.
The seedlings are ready for transplantation after 45 days of
sowing.
25.2.3 Cultivation
Varieties Availability of released varieties of A. paniculata
Climate A. paniculata grows well in tropical and subtropi- is limited; however, the Central Institute of Medicinal and
cal regions under hot and humid conditions. It grows luxuri- Aromatic Plants (CIMAP), Lucknow has developed and
antly with the onset of monsoon and starts flowering within released a variety named CIM-Megha (Bahl et al. 2018).
100–120 days in the months of September–October. In cen- AK-1 (Anand Kalmegh-1) and IIIM (J)-90 are some of the
tral India, flowering and fruiting continue up to November– other important varieties/cultivars released for commercial
December until the temperature falls drastically. In the south- cultivation.
ern region, flowering starts in the middle of October and
fruiting continues up to February end. The optimum mean Sowing Kalmegh can also be cultivated by directly broad-
temperature for A. paniculata is between 30 and 40 °C during casting seeds in the well-prepared field. The land should be
the major growth period and grows well in places that receive thoroughly plowed to fine tilth, and weeds and debris should
1000–1100 mm of well-distributed rainfall. It also grows as be removed manually. About 7–10 tons/ha of well-
an understory crop in forest areas and is well-suited to the discomposed FYM should be properly mixed with the soil
552 A. K. Pandey

for proper growth. In the case of direct sowing, furrows were the use of synthetic fertilizers and pesticides. Instead, organic
drawn at about 30 cm distance and seeds mixed with soil/ manures such as FYM (farmyard manure), vermicompost,
FYM/compost were manually sown in the rows during the and green manure can be applied as needed for specific
last week of June. The germination begins within 15 days plant species. To prevent diseases, bio-pesticides can be
after sowing. Seedlings should be thinned to maintain a plant- prepared from natural sources like neem (kernel, seeds, and
to-plant distance of about 20–30 cm in the rows. For the leaves), chitrakmool, dhatura, either individually or in
direct sowing method, 2.0–2.5 kg seeds are required for combinations. This method aligns with organic and sustain-
1 ha of land. In the direct sowing method, control of weeds able farming practices, promoting the growth of plants in an
may be a problem. Therefore, transplanting is preferred over environmentally friendly manner.
direct sowing. Both direct sowing and transplanting have
their merits, and the choice depends on the specific needs of Yield The crop yield is influenced by several factors such as
the plants, environmental conditions, and available resources. climate, soil properties, planting time, irrigation, intercultural
While transplanting may offer an early advantage in weed operations, manure application, and harvest timing. Single-
control, it is important to implement good cultural practices cut sole cropping of Kalmegh yields about 3.5–5.0 tons/ha;
and management strategies for both methods to ensure suc- dried herb yield up to 7.5 tons/ha can be obtained in the case
cessful crop growth. of two harvests of the crop. When practicing intercropping, a
dried herb yields of 1.5–2.0 tons/ha can be achieved
Transplanting About 40–45-day-old seedlings are suitable (Fig. 25.1).
for transplanting. However, before transplanting the land
should be properly prepared following plowing, disking, Harvesting The productivity of this crop depends signifi-
harrowing, and planking. In a well-prepared field, nursery- cantly on the timing of planting and harvesting, as it directly
raised seedlings are transplanted during the last week of June impacts both the yield and quality of the crop. The active
maintaining a spacing of 30 × 30 cm. Seedlings grown in a principle in the crop, andrographolide, varies with the time
nursery are being transplanted into a well-prepared field at interval between planting and harvesting, the growth stage of
the end of June. The spacing between each plant is set at the plant, and the prevailing climatic conditions (Kumar et al.
30 × 30 cm. Field/beds are irrigated immediately after 2002; Pandey et al. 2019). Harvesting at the right time is
planting. crucial for maximizing the yield and ensuring the potency of
bioactive compounds, such as andrographolide, which con-
Weeding Kalmegh being a rainy-season crop is infested by tribute to the medicinal properties of the plant. (Pandey and
several dicot and monocot weeds. Weed infestation is a Mandal 2010a; Pandey and Savita 2017). Earlier reports
problem, especially during the early period of crop establish- indicate that the quality of Kalmegh diminishes with delayed
ment. Hand weeding or that done with the help of mechanical harvesting. To ensure high-quality produce, it is crucial to
hoes is very necessary within the first 4 weeks of planting. adhere to proper planting distances and harvest the crop at the
This process can be repeated once or twice at an interval of optimal time. The production of andrographolide, a key bio-
about 2–3 weeks. To begin with, one or two weeding or active compound in Kalmegh, can be influenced by various
hoeing sessions are necessary to establish the crop. Once climatic and environmental conditions (Pandey et al. 2019).
established, the crop thrives during the monsoon without Non-destructive harvesting practices of Kalmegh have been
facing much weed competition. The first weeding can be
performed around 15 days after planting to maintain optimal
growing conditions.

Irrigation Kalmegh is mostly grown as a rainfed crop.

Fairly well-distributed rains during monsoon are adequate
to get a good harvest in the tropical climate of central India.
However, when the monsoon is delayed, 2–3 irrigations are
required after transplanting. The requirement for irrigation is
very low at the later part of the growth stage. Proper drainage
facilities are essential as the crop does not withstand water
logging.

Manure and Fertilizer Application The cultivation of

medicinal plants requires a chemical-free approach, avoiding
Fig. 25.1 A healthy crop of Andrographis paniculata (Kalmegh)
25 Good Agricultural and Collection Practices of Important Medicinal Plants 553

standardized by Pandey and Mandal (2010a) in which plants pain. Its versatility in addressing multiple health concerns
are cut from above the ground instead of uprooting from the makes it a valuable component in Ayurvedic practices
forest areas. (Nishritha and Saxena 2007). Its preparations help in increas-
ing breast milk in lactating women and avoiding excessive
blood loss during periods. It contains a good amount of
25.3 Asparagus racemosus (Shatavar) mucilage that soothes the inner cavity of the stomach. It
relieves the burning sensation while passing urine and is
25.3.1 Description and Distribution used in urinary tract infections (Anonymous 2007).

Asparagus racemosus (Willd.) commonly known as Shatavar

is an important medicinal plant recognized for its medicinal 25.3.2 Phytochemicals
properties, especially in traditional medicine systems. The
plant is valued for its tuberous roots, which are used in A. racemosus contains a diverse array of bioactive and
various herbal preparations. It is recognized for its potential medicinally important molecules, with steroidal saponins
health benefits, particularly in women’s health, and as an being the major constituent. Alongside steroidal saponins,
adaptogen. A. racemosus is indigenous to tropical and sub- the plant also contains alkaloids, flavonoids,
tropical regions of India at up to 1200 m elevation, com- dihydrophenanthrene derivatives, furan derivatives, and vol-
monly found in plains, scrub jungles, hill slopes, forest atile constituents (Alok et al. 2013). Twenty-nine steroidal
borders, and fallow lands. It is a woody perennial climber saponins were reported from A. racemosus (Hayes et al.
with extensive scandent spinous branches. Roots are numer- 2008). An oligospirostanoside named 3–0-α-L-
ous, fusiform, succulent, and tuberous, clustered at the basal rhamnopyranosyl-(1→2)-α-L-rhamnopyranosyl(1→4)-O-βD-
end of the stem. The stem is woody and sparsely covered with glucopyranosyl]-25(S)-spirosta-3βoil is obtained from
recurved spines. Reduced to small scales (cladode) in tufts of A. racemosus, which on oral administration potentiated anti-
2–6 in a node, finely acuminate. Inflorescence is a branched body synthesis and enhanced cell-mediated immune response
raceme. Flowers are white, fragrant, and solitary. Fruits are in immune cooperated animals (Handa et al. 2003). It
red berries, globose, or obscurely 3-lobed. Seeds are black contains an anti-cancer agent, asparagine that is useful
and hard, with brittle testa (Goyal et al. 2003). against leukemia. It also contains active antioxytocic
The roots are recognized with immense medicinal value saponins that have an antispasmodic effect and specific
and find several therapeutic uses in traditional medicine action on uterine musculature.
systems. The medicinal properties of the roots are accredited Shatavarin I and IV are characterized using high-
to their steroidal saponins called shatavarins. The plant is performance liquid chromatography (HPLC) with an evapo-
widely used in about 64 Ayurvedic formulations that include rative light scattering detector (ELSD) using a solvent system
traditional formulations such as “Shatavari Kalpa,” of 57.3% ethyl acetate in methanol (Penumajji et al. 2010).
“Phalaghrita,” and “Vishnu taila” (Bopana and Saxena 2007). Shatavarin V, a key component in A. racemosus root extract,
Asparagus is a nutritious plant with many health- was analyzed using reverse-phase high-performance liquid
promoting qualities. It is commonly used to boost lactation chromatography (RP-HPLC) (Negi et al. 2011).
and treats conditions like diarrhea, diabetes, and rheumatism. In India, the demand for Shatavari roots surpasses
The plant’s tuber possesses various properties, including 500 tons annually, driven by its extensive use in various
being a demulcent, diuretic, aphrodisiac, tonic, alterative, medicinal preparations (Goyal et al. 2003; Goraya and Ved
antiseptic, anti-dysenteric, and antispasmodic (Chopra et al. 2017). A. racemosus is now considered endangered in its
1956). In Ayurveda, Asparagus is recognized for its cooling natural habitat, and the need for its conservation is urgently
properties. The root juice serves as a cooling agent, effec- needed (Nishritha and Saxena 2007).
tively alleviating the effects of summer heat, quenching
thirst, and providing relief from hyper-acidity and peptic
ulcers. Notably, it acts as a relaxant for uterine muscles, 25.3.3 Cultivation
particularly beneficial during pregnancy, where it aids in
preventing abortion and pre-term labor as an alternative to Soil and Climate Shatavar typically thrives in various soil
progesterone preparations. As a remedy, a powder of Aspar- types, including medium black soil with a pH ranging from
agus boiled with milk is commonly used to prevent abortion. 7 to 8, electrical conductivity at 0.15 mS/m, organic carbon
In addition, Asparagus proves effective in addressing various content of 0.79%, and phosphorus at 7.3 kg/acre. It adapts
women’s health issues, including vaginal discharges such as well to subtropical and sub-temperate agro-climatic regions,
leucorrhea, uterine disorders, excessive bleeding, and colic flourishing at elevations up to 1400 m. The most conducive
554 A. K. Pandey

soil for optimal Shatavari root production is identified as an helps to maintain optimal moisture levels for Shatavar culti-
alluvial or sandy loam (Vijayraghavan et al. 2005). vation throughout different seasons.

Land Preparation For Shatavari cultivation, the soil Weeding Weeding is done twice during rainy months,
undergoes deep plowing (20–30 cm) followed by 2–3 thereafter once in the next 2–3 months. Regular weeding is
harrowing sessions. Weeds are removed, and the land is required to realize higher root yields.
leveled. Plantation ridges, 40–45 cm broad, are created with
15–20 cm furrow spaces for irrigation channels. Cropping Systems Shatavar, being a climber, requires sup-
port for its growth. In the context of intercropping, Shatavar
Manures, Fertilizers, and Pesticides Shatavari is ideally has demonstrated notable advantages. When planted as an
cultivated organically, avoiding the use of chemical fertilizers intercrop in plantations, Shatavar exhibits higher root yields
and pesticides. The best root yield is obtained by applying and a more favorable benefit-cost ratio (BCR) of 1.25, com-
15 tons/ha of farmyard manure (FYM) and vermicompost. pared to the BCR of 0.88 in pure crop conditions. The
Precautions are taken to protect against rodents that may intercrop also shows elevated levels of total saponins,
consume tender shoots. For disease prevention, the applica- contributing to its therapeutic value, along with increased
tion of bio-pesticides like neem, chitrakmool, and dhatura, soluble and insoluble sugar content. On the other hand, the
has proven effective. This organic cultivation approach pure crop exhibits higher levels of total free amino acids.
ensures the growth of healthy Shatavari plants without rely-
ing on synthetic chemicals. Harvesting and Post-Harvest Management In forest
areas, Shatavar harvesting is recommended from January to
Plant Propagation Asparagus plant is best grown from its February. Optimal tubers for collection are white and fair,
stem disc but commercially cultivated by the saplings raised measuring 15–30 cm in length, and 1.5 cm in thickness. To
through seeds (Purohit and Vyas 2004). Farmers are advised ensure sustainability, one-third of the tubers should be left
to obtain seeds from known sources before the start of during harvesting for regeneration, and the collection of
cultivation. damaged or diseased tubers is to be avoided. For plantations,
the recommended harvesting time is in winter after 20 months
Varieties CIMAP, Lucknow has released two varieties, of planting, and for those grown from one-year-old seedlings,
CIM-Shakti and CIM-Sunehari (Bahl et al. 2018). harvesting is suitable after 8 months of planting. These
practices emphasize acquiring high-quality Shatavar tubers
Nursery Raising and Planting Shatavar seeds are soaked while considering the long-term health and vitality of the
in water for 12 h and sown 5 cm apart in raised nursery beds plant.
in April. Germination starts around 40 days with a 70%
success rate. Planting on ridges with 60 cm spacing and Harvesting the Shatavar crop after 20 months of planting
30 cm proximity is beneficial, while in beds, the ideal spacing shows a higher root yield (Fig. 25.2). Pre-harvest irrigation
is 45 × 45 cm (Shrivastav and Pahapalkar 1997). For planting facilitates easier extraction of root tubers. The average yield
on mounds, pits of 30 cm are dug at a spacing of 60 × 60 cm, ranges from 10 to 15 tons/ha of fresh root tubers, although
filled with soil and FYM. Alternatively, seedlings can be reports indicate yields exceeding 40 tons/ha. Shatavar roots
transplanted on ridges at 60 × 60 cm intervals. Vegetative are marketed either fresh or dried in 5–15 cm pieces with a
propagation is done by dividing the rhizomatous disc at the 2 cm thickness. Good quality roots are silvery-white or light
base of the aerial stem, retaining two buds and 2–3 tuberous ash in color. While fresh roots are relatively smooth, they
roots. One-year-old seedlings were planted during April– develop longitudinal wrinkles when dried. Despite lacking
May followed by mulching with available leaf litter for distinct odors, the roots possess a sweet and bitter taste.
moisture conservation and weed suppression. These adapt- Proper storage of dried roots is crucial to prevent fungal
able approaches cater to different preferences in Shatavar contamination.
cultivation. When harvesting or collecting from the forest, a sustain-
able approach involves spreading seeds on the ground during
Irrigation Irrigation is done once the rainy season is over. harvesting. To support the plant’s regeneration, it is
During the winter season, it is recommended to provide one recommended to leave 2–3 roots in the ground and cover
irrigation, and in the summer season, one irrigation per month them with soil. This method aligns with the plant’s rotational
is advised. However, adjustments may be necessary based on period, allowing for a sustainable harvest cycle of 3 years.
specific local climatic conditions. This watering schedule Such practices ensure the continual growth and propagation
of Shatavar in its natural habitat.
25 Good Agricultural and Collection Practices of Important Medicinal Plants 555

Fig. 25.2 Asparagus racemosus

(Shatavar) plant with profuse
roots

Bacopa monnieri is well-regarded for its scientifically

25.4 Bacopa monnieri (Brahmi) proven ability to enhance memory. In addition, it is acknowl-
edged as a brain tonic that supports longevity. Research has
25.4.1 Description and Distribution substantiated its positive impact on memory improvement,
reduced anxiety levels, enhanced social adjustment, and alle-
Bacopa monnieri (L.) Pennell (Brahmi or Indian pennywort), viation of mental fatigue (Thorat et al. 2018). Research stud-
commonly known as Brahmi, belongs to the ies have established Brahmi as a promising herb in the
Scrophulariaceae family and is an aquatic herb with creeping treatments for various diseases such as anxiety, depression,
stems, small elliptical leaves, and light purple or white epilepsy, asthma, bronchitis, cardiac problems, hyperthyroid-
flowers with four or five petals. It typically attains a height ism, gastrointestinal disorders, and, in certain cases, even
of 2–3 feet, with branches extending 10–35 cm. Brahmi
thrives in wetlands across the Indian subcontinent, favoring
moist or boggy areas near streams. It primarily grows in
warmer and humid conditions, found in both hills and plains,
up to 1500 m altitude. In India, major Brahmi-producing
regions include West Bengal, Tamil Nadu, Uttar Pradesh,
Bihar, Jharkhand, Kerala, Karnataka, Madhya Pradesh,
Assam, Punjab, Haryana, and the foothills of Himachal
Pradesh and Uttarakhand. The plant flourishes in hot and
humid climates, requiring temperatures between 33 and
40 °C, with a relative humidity of 60–80% (Anonymous
2003).
Brahmi has been used in traditional Indian medicine for a
long time. This herb has played a significant role in diverse
therapeutic applications since the inception of Ayurveda. It is
valued for improving memory and has various health
benefits, acting as an anti-inflammatory, pain reliever, fever
reducer, calming agent, and anti-seizure remedy. Its role in
Ayurveda showcases its versatility in promoting well-being
(Stough et al. 2001). The entire herb, including stems, roots,
leaves, rhizomes, and other parts, is utilized for preparing
various herbal medicines (Fig. 25.3).
Fig. 25.3 A healthy crop of Bacopa monnieri (Brahmi)
556 A. K. Pandey

some cancers (Das et al. 2010; Mishra et al. 2013). frequently found in damp or marshy areas near streams and
B. monnieri supplementation is effective in preventing on the banks of ponds and lakes across India. While cultiva-
colchicine-induced dementia through anti-inflammatory and tion efforts are underway in many states, there is a notable
antioxidant action. The ethanolic extract proved to have a gap between demand and supply. This gap can be addressed
significant effect in the treatment of diabetes, which poses a by expanding cultivation to more suitable areas, ensuring a
serious threat in the world today; further studies on this balanced supply to meet the increasing demand.
extract can prove to be beneficial for humans (Rai et al.
2017). Brahmi has been clinically proven to offer functional Soil Though Brahmi can be cultivated in any type of soil, it
and therapeutic benefits. Its positive attributes have led to its proliferates well on sandy, sandy loam, and light black cotton
widespread incorporation as a functional ingredient in many soils. It can even tolerate a poor drainage system. It gives the
commercial food products. best result in alluvial marshy soil. It can be grown in marshy
areas, canals, and near water bodies. It prefers acidic soil for
its good growth.
25.4.2 Phytochemicals
Land Preparation Successful Brahmi cultivation requires
B. monnieri is rich in various active phyto-constituents. The well-pulverized and leveled soil. To achieve fine tilth, deep
major compounds reported from this plant include two ste- plowing and harrowing is essential. During plowing, it is
roidal sapogenins (bacosides), alkaloids (herpestine and crucial to mix in farmyard manure (FYM) at a rate of
brahmine), flavonoids, glycosides, betulic acid, and 5 MT/ha. To ensure the successful establishment of plant
phytosterols. These compounds contribute to the diverse cuttings, the field should be irrigated a day before planting.
therapeutic properties and health benefits associated with
the herb (Jain and Kulshrestha 1993). The diverse pharmaco- Varieties The CIMAP, Lucknow has released two varieties,
logical features of B. monnieri are due to the presence of Pragyashakti and Subodhak, which have a high herbage yield
characteristic saponins which mainly constitute bacosides. and Bacoside A content (Bahl et al. 2018).
Bacosides are a complex mixture of structurally related
compounds, glycosides of either jujubogenin or Propagation Brahmi is a self-propagating plant and, in a
pseudojujubogenin. The saponins differ only in the nature way, invasive with a high degree of resilience if ideal
of the sugar units in the glycosidic chain and the position of conditions prevail. The cuttings of its branches (5–7 cm
the olefinic side-chain in the aglycone (Rajani 2008). A long) containing a few leaves, nodes, and roots taken from
quantitative estimation of bacoside, a key compound in the mother plants are transplanted in the wet soil of the field at
B. monnieri, was conducted using high-performance liquid a spacing of 20 × 20 cm preferably during June and July or on
chromatography (Deepak et al. 2005). The entire Brahmi onset of monsoon in areas that depend on rains for moisture.
herb is commercially utilized for extracting bacosides, the Rooted saplings prepared in the nursery may also be
memory-enhancing molecules found in the plant. (Mathur transplanted at 20 × 20 cm spacing. About 25,000 cuttings
et al. 2002). are required for planting in a one-acre area. Plantation should
Increasing demand for B. monnieri is primarily met by immediately be irrigated and allowed to grow and proliferate
harvesting/collecting from natural populations/habitats, through hot and humid months of monsoon till the end of
straining existing habitats, and leading to the slow depletion September. In areas where sufficient irrigation facilities are
of this already threatened herb (Gohil and Patel 2010). The available, it should preferably be transplanted during March
estimated consumption of this herb in India surpasses 1000 and April.
MT per year, highlighting a significant gap between produc-
tion and demand (Ved and Goraya 2007). Generally, Irrigation The plantation may be irrigated by flooding as
B. monnieri has been collected from the wild. However, per requirement, usually at an interval of every 7–10 days. It
recognizing its importance, cultivation initiatives have been is a rainy-season crop; therefore, it requires irrigation imme-
started in some parts of the country. This shift toward culti- diately after the end of the rainy season. In the winter season,
vation aims to address the challenges posed by over-reliance irrigation should be done at regular intervals of 15 days, and
on wild harvesting and contributes to the sustainable man- in the summer season, irrigation should be done at intervals
agement of B. monnieri resources. of 10 days. There is no need for irrigation during the mon-
soon period if there is sufficient rainfall.

25.4.3 Cultivation Weeding As it is a rainy season crop, hand weeding is to be

done to keep the field free from weeds. The first weeding is
Brahmi, known for its adaptability, thrives in diverse soil and done in 15–20 days after transplanting and the second
climatic conditions. This common perennial creeper is weeding at the interval of 2 months.
25 Good Agricultural and Collection Practices of Important Medicinal Plants 557

Harvesting First harvesting is done approximately in the Indian Pharmacopoeia as an anti-diabetic plant (Singh
100–110 days after planting. If the crop is planted from et al. 2008). Popularly known as “Gudmar,” it possesses the
June to July, then the first harvesting is done in October– unique ability to temporarily suppress the taste of sweetness.
November. Harvesting in October yielded better herbage and Administration of its leaves has demonstrated a reduction in
bacoside content (Gulati et al. 2019). The upper portion from blood glucose levels in diabetic patients
the base (i.e., 4–5 cm from the base) is cut for harvesting. In (Shanmugasundaram and Panneerselvam 1981). In addition,
total, 2–3 harvestings are done in 1 year. anti-allergic, antiviral, lipid-lowering, and other effects have
been reported (Porchezhian and Dobriyal 2003). Gudmar
Post-Harvest Processing After harvesting, Brahmi herb leaves are also employed as food additives against obesity
undergoes a drying process in the shade. The dried material and dental caries (Nakamura et al. 1997). The multifaceted
is then carefully packed in airtight bags to facilitate long- uses have resulted in a continuous demand for the species,
distance transportation. The dried material serves as the raw rendering it highly vulnerable in nature.
ingredient for making various products, including
Brahmighrtam, Sarasvataristam, Brahmitailam,
Misrakasneham, Memory Plus, and Megamind Plus. 25.5.2 Phytochemicals

G. sylvestre is characterized by the presence of major chemi-

25.5 Gymnema sylvestre (Gudmar) cal constituents, namely gymnemic acids and gymnema
saponins, both classified as oleanane saponins. The leaves
25.5.1 Description and Distribution of G. sylvestre contain a combination of oleanane and
dammarane types of saponins (Khramov et al. 2008). In
Gymnema sylvestre (Retz.) R.Br. ex Sm., commonly known addition, the leaves exhibit the presence of saponins,
as Gudmar, is an important medicinal woody climber belong- anthraquinones, cardiac glycosides, tannins, quinones,
ing to the family Asclepiadaceae. It is found in various flavonoids, and phenols. The plant’s anti-diabetic properties
regions of Asia, Africa, and Australia. It is found growing are attributed to the presence of a mixture of triterpenes and
in the forests of various states in India, including Andhra saponins, including gymnemic acids, gymnemagenin, and
Pradesh, Bihar, Chhattisgarh, Karnataka, Kerala, Madhya gurmarin, found in the leaves (Porchezhian and Dobriyal
Pradesh, Maharashtra, Odisha, Tamil Nadu, Uttar Pradesh, 2003; Spasov et al. 2008).
and West Bengal. In Sanskrit, it is referred to as Meshashringi
or Merasingi, while in English, it goes by the name Periploca
of the woods. In addition, it is recognized as “Gurmur” due to 25.5.3 Cultivation
its property of lowering sugar levels (Tiwari et al. 2014).
G. sylvestre is a highly branched, woody climber that can G. sylvestre, the second best-selling medicinal plant globally,
ascend to the tops of trees in the dry forests of central and is in high demand. The species is facing a significant decline
southern India (Kapoor 2017). The stems are cylindrical, in natural forests due to unsustainable harvesting/collection.
hard, and twining, displaying branching with internodes mea- In India, the current demand, exceeding 100 MT per annum,
suring 0.7–17.2 cm in length and 2–10 mm in diameter. The is predominantly fulfilled through wild collection. The need
leaves are simple, opposite, elliptic, or ovate, and possess a for sustainable cultivation methods becomes crucial to
hairy texture. Small yellow flowers are arranged in umbellate address these challenges, ensure the continued availability
cymes, while the follicles are terete and lanceolate, reaching of this valuable medicinal plant, and alleviate the pressure on
lengths of up to 7.5 cm. Seeds are 1.3 cm long, flat, with a wild populations.
thin marginal wing and narrowly ovoid oblong.
G. sylvestre finds extensive use in various Indian systems Soil G. sylvestre demonstrates adaptability to various soils
of medicine to address conditions such as rheumatism, but thrives particularly well in well-drained red loamy or
cough, ulcer, eye pain, dyspepsia, jaundice, hemorrhoids, medium black soils. It is not suitable for waterlogged areas
asthma, bronchitis, conjunctivitis, and leukoderma (Nadkarni and flourishes in dry regions. The plant thrives best in humus-
1993). Its roots are employed as a remedy for snakebites, and rich loamy soils. To enhance growth and increase production,
it is recognized for its stomachic and diuretic properties. In it is recommended to apply farmyard manure (FYM) at a rate
addition, it is utilized to control diabetes mellitus (Warrier of 4000 kg/ha.
et al. 1995). The leaves of G. sylvestre have been employed
for over 2000 years to treat diabetes, earning it a significant Propagation Successful cultivation of Gudmar can be
place in indigenous medical systems. It is considered a key achieved through seeds or rooted cuttings. However, seed
botanical for diabetes treatment in Ayurveda and is included propagation poses challenges due to low seed viability. As an
558 A. K. Pandey

alternative approach, successful cultivation can be done by adequately dried, they are carefully packed into storage
planting rooted cuttings at a spacing of 50 × 50 cm in June containers, often polythene-lined jute bags. This packaging
and July. Alternatively, terminal cuttings can be planted in method ensures that the dried leaves are protected from
February and March to establish the plant. environmental factors that could degrade their quality during
storage and transportation. Proper processing is crucial to
Nursery To enhance germination, G. sylvestre seeds should maintaining the effectiveness of Gymnema leaves for their
undergo pretreatment with cold water (soaking) for 24 h. various medicinal applications.
They (soaked seeds) should then be sown in nursery beds
with a mixture of sand, soil, and FYM in a 2:1:1 ratio during
May. For vegetative propagation, optimal results are 25.6 Rauvolfia serpentina (Sarpagandha)
achieved using hardwood cuttings with a diameter of
10–15 mm and three nodes. March and July are identified 25.6.1 Description and Distribution
as the best times for vegetative propagation. Among hor-
monal treatments, dipping cuttings in a 500 ppm IBA solu- Rauvolfia serpentina (L.) Benth. ex. Kurtz commonly known
tion for 30 min prove effective in promoting maximum as Sarpagandha, belonging to the family Apocynaceae, is a
rooting (Pandey and Yadav 2010). woody perennial plant found in the Himalayan foothills and
Peninsular India. R. serpentina thrives in well-drained soil
Irrigation and Weeding Regular weeding, hoeing, and irri- and is often found in the understory of forests or along the
gation should be done for proper management of plants. edges of wooded areas. It is characterized by its slender, erect
stems, elliptical leaves, and small, fragrant white flowers.
Support System G. sylvestre, being a climbing plant, Sarpagandha has been traditionally used in the treatment of
requires support system/structures. Bamboo sticks or stone cardiovascular conditions, hypertension, and various psychi-
pillars with a height of 2 m can serve as stakes. Two plants atric ailments. In India, its roots have a historical significance
per stake are trained to grow in opposite directions. This in treating mental illness and snakebites, earning it the names
training aids in easier harvesting since leaves are the “Insanity herb,” “snake root,” or “Sarpagandha” (Sahu
harvested part. Lateral branches can be directed upward 1983).
with additional wires, forming a two-tier system for conve- The large-scale indiscriminate harvesting/collection of
nient harvesting. Using wire fences as support not only aids R. serpentina from its natural habitats has resulted in a
in plant growth but also serves as a fence for other crops, depletion of plant resources. The availability of
allowing intercropping. Establishing a proper support sys- R. serpentina in the wild has significantly decreased to the
tem, preferably using locally available materials, helps in extent that it has been included under the category of
cost-effective cultivation. endangered plants. As a response to the critical situation,
R. serpentina has been included in the red list of species
Harvesting G. sylvestre is typically ready for harvest prohibited for export. Urgent conservation measures are nec-
2 years after plantation, with harvesting conducted twice in essary to protect this vital endangered medicinal plant.
the year in June and October. The harvesting process
involves hand-plucking the leaves. To ensure the plant’s
normal physiological processes, it is recommended to leave 25.6.2 Phytochemicals
a certain percentage of leaves (approximately 40%) (Pandey
2012). The branches should not be chopped to facilitate the R. serpentina contains more than 50 alkaloids, primarily
collection of otherwise inaccessible leaves. This harvesting belonging to the indole group and mainly concentrated in
approach promotes the sustainable development of important the plant’s roots (Phillipson and Zenk 1980). Notable
species. alkaloids extracted from the roots include reserpine, ajmaline,
ajmalicine, ajmalinine, serpentine, alloyohimbine, chandrine,
Post-Harvest Processing After the harvest of Gymnema deserpidine, isoajmaline, yohimbine, r-yohimbine,
leaves, it is essential to process them properly to retain their isoyohimbine, 11-methoxy-delta-yohimbine,
medicinal properties. The initial step involves shade-drying methylreserpate, neoajmaline, papaverine, corynanthine,
the leaves by spreading them thinly on a clean and clear isorauhimbine, 3-epi-alpha-yohimbine, raunatine,
surface. This drying process typically lasts for about rauvolfinine, rauwolscine, reserpiline, rescinnamine,
7–8 days. The purpose of shade drying is to remove moisture reserpinine, reserpoxidine, sarpagine, serpenine, and
from the leaves while protecting them from direct sunlight, serpentinine (Virmani et al. 1992). These alkaloids
preserving their beneficial compounds. Once the leaves are
25 Good Agricultural and Collection Practices of Important Medicinal Plants 559

demonstrate effectiveness against snake bites and scorpion cultivation is not suitable in alkaline soils. The ideal soil
stings (Anonymous 1969). types are sandy loam to medium black cotton soils,
R. serpentina roots are reported to contain 0.7–3% of total characterized by rich in organic matter, pH levels between
alkaloids in the dry mass, and the amount varies depending 6 and 8, and good drainage. This plant can grow in a diverse
upon the time and source of collection (Kokate et al. 1998). range of climatic conditions but shows optimal growth in hot,
Chatterjee et al. (1956) studied the seasonal variation in the humid tropical climates. Elevations up to 1300 m, with a
total alkaloid content of R. serpentina. The highest alkaloid temperature range of 10–38 °C and an annual rainfall of
content (1.69%) was found in the roots harvested/collected 2500 mm, are conducive to its growth. Areas with less severe
from October to January. Sobte et al. (1951) reported that the winters tend to yield better results.
yield of roots and alkaloid content increases with the age of
the plant. Rajagopalan reported that R. serpentina roots col- Land Preparation The land is deeply plowed in April–May
lected from the Western Ghats of Bombay, Madras, and and left for weathering. After the pre-monsoon showers,
Travancore-Cochin contained alkaloids ranging from FYM is added, followed by second plowing and two cross-
1.17 to 1.73%. Biswas (1956) in West Bengal and Ahluwalia harrowings to break the clods. The land is finally dressed by
(1963) in Saurastra also reported differences in the alkaloid planking and beds are laid out. The nursery should be raised
content of roots. The alkaloid content in the plants grown in in a partially shaded area with adequate irrigation facilities.
Bangladesh was 1.43% (Ahmad et al. 2002). Each bed should be about 1.0 m wide, 15–20 cm high, and of
Generally, Sarpagandha is gathered from the wild, and the a convenient length. Beds with shallow furrows 8–10 cm
unregulated and indiscriminate collection has resulted in its apart are prepared and irrigated.
inclusion in the list of endangered plant species. The pharma-
ceutical industry has a high demand for Sarpagandha roots Manure/Fertilizer Fifty days after planting two-thirds of
and related products. Although reserpine can be synthesized the nitrogen is applied and the remaining nitrogen is
in a laboratory, the cost is higher compared to extracting it top-dressed in the next rainy season. Generally,
from natural sources (Farooqi and Sreeramu 2001). R. serpentina is grown using organic practices. Before plant-
Cultivation of Sarpagandha is currently limited in scale ing, 10–15 tons of FYM per hectare are applied. For
and is being encouraged by various organizations and nutrients, 30 kg of nitrogen, along with 30 kg each of phos-
institutes. This is a response to the plant’s diminishing avail- phorus and potash per hectare, are used. During planting,
ability in numerous accessible regions due to excessive one-third of the nitrogen and the entire amount of phosphorus
exploitation. and potash are applied. After 50 days, two-thirds of the
nitrogen is given, and the rest is added during the next rainy
season. This approach aims to provide the necessary nutrients
25.6.3 Cultivation for the optimal growth of the plant.

R. serpentina grows well in tropical to subtropical climates, Propagation The farmers are practicing different propaga-
particularly in regions experiencing substantial rainfall tion methods for its cultivation. It is a 1.5 to 2-year crop and
between June and August. Areas with more consistent cli- can be grown by transplanting seedlings raised through seed
matic conditions appear to be better suited than those with and vegetatively by root and stem cuttings.
greater variations (Pandey et al. 2001). To meet the increas-
ing demand for R. serpentina roots, a farmer-friendly cultiva- Seeds About 5–7 kg of seeds are required for establishing a
tion package needs to be practiced. This approach ensures the 1 ha plantation. It is advisable to use fresh seeds as their
production of high-quality roots on a sustainable basis. viability lasts for only 6 months. Seeds stored for more than a
year are challenging to germinate. Therefore, it is crucial to
Varieties The following varieties of R. serpentina have been use seeds collected between September and December for
developed by different institutes/universities: planting in the following season. The seeds are treated with
Thiram (2–3 g/kg seed) after soaking in water for 24 h. They
• TFRI-RS-01, TFRI-RS-02 (Tropical Forest Research are then sown from the end of April to the first week of May
Institute, Jabalpur in 2017) at a depth of 1–2 cm and a distance of 8–10 cm. The seeds are
• CIM-Sheel (CIMAP, Lucknow) (Bahl et al. 2018) covered with a mixture of FYM and soil, and regular irriga-
• RS-1 (JNKVV, Jabalpur) tion is provided. Germination is typically complete in
• RI-1 (JNKVV, Indore) 30–35 days, with a germination rate varying from 20 to 60%.
Seedlings, aged 40–50 days and bearing 4–6 leaves, are
Soil R. serpentina prefers soil that is rich in humus, nitrogen, suitable for transplantation in the already prepared field in the
and organic matter, with excellent drainage. Commercial
560 A. K. Pandey

first week of July. Before transplantation, these seedlings are Weeding Two weedings in the first year and one weeding in
uprooted and treated with Bavistin 0.1% for 30 min. They are the second year followed by one hoeing usually at the begin-
then transplanted at a spacing of 45 × 30 cm in the main field, ning of the growing season are required. Flowers appearing
followed by light irrigation. Approximately 10–15% of the on very young plants should be nipped to promote root
seedlings are kept for gap filling, to be done 10–15 days after growth.
the initial planting.
Harvesting The optimal time for harvesting Sarpagandha is
Vegetative It can also be propagated by vegetative means November–December to achieve higher alkaloid content.
using stem and root cuttings and root stumps. Root cuttings The crop is irrigated 8–10 days before uprooting. During
3–5 cm long are planted in June–July and are covered harvesting, the above-ground foliage is cut, and the roots
completely with the soil and FYM. The cuttings sprout within are extracted. The highest root yield and alkaloid contents
3 weeks if there is good moisture. The success rate is were observed in crops grown from seeds harvested after
50–80%, and around 100 kg of root cuttings are required to 18 months of planting. Harvesting time significantly
plantation in 1 ha land. Stem cuttings 15–20 cm long with influenced quality and root yield. However, different propa-
3–4 nodes are planted in the nursery in June and kept moist gation techniques did not have a notable effect on the total
until they sprout. Cuttings treated with Indole acetic acid alkaloid content (Pandey and Mandal 2010b). The highest
(IAA) (30 ppm) initiate rooting in 15 days. The success rate root yield and alkaloid content were obtained in the crop
obtained in stem cuttings is about 65%. In the case of root harvested after 30 months of planting.
stumps, approximately 5 cm long roots with a portion of the
stem above the collar are planted in May–June in irrigated Drying The roots are cleaned after harvest, washed, and
fields. Though about 90–95% of success is obtained in this dried in the shade till the moisture content reduces to about
method, only one plant can be raised from a single stump. 8%. It is crucial to handle the roots carefully during cleaning,
as the outer skin contains approximately 80% of the total
Irrigation Irrigation is necessary after planting, then twice a alkaloid content. Brown to black-colored fruits are collected
month during the hot dry season, and once a month in winter from August to December. These fruits are soaked in water
for Sarpagandha cultivation. As Sarpagandha is a long- for 15–20 h, manually rubbed to remove the pulp, washed
duration crop and exhibits slow growth in the initial stages, three times, and then dried. The dried seeds are stored in a
it can be intercropped. Vegetables such as brinjal, cabbage, moisture-free container for the next sowing.
okra, and soybean can be planted during the kharif season.
Yield On average, 1 ha of land can yield about 15–20
quintals of dry roots and 200 kg of seeds (Fig. 25.4).

Fig. 25.4 Rauvolfia serpentina

(Sarpagandha) plant with fruits
25 Good Agricultural and Collection Practices of Important Medicinal Plants 561

25.7 Tinospora cordifolia (Giloe) attributes have been reported, including antidiabetic, anti-
periodic, anti-spasmodic, anti-inflammatory, anti-arthritic,
25.7.1 Description and Distribution antioxidant, antistress, anti-leprotic, antimalarial, antipyretic,
anti-allergic, hepatoprotective, immunomodulatory, and anti-
Tinospora cordifolia (Willd.) Miers ex Hook. f. and Thoms., neoplastic activities (Khosa and Prasad 1971; Pendse et al.
a member of the family Menispermaceae, is extensively 1977; Nayampalli et al. 1986). It acts as a tonic and proves
utilized in folk and Ayurvedic systems of medicine. It is beneficial in treating chronic diarrhea and dysentery. As a
considered an important medicinal plant with promising hepatoprotectant, it safeguards the liver from damage, partic-
potential for the future. It is distributed across the tropical ularly when exposed to various toxins. According to
Indian subcontinent and China, growing up to an altitude of Ayurvedic principles, giloe is classified as a rasayana herb,
1200 m (Chopra et al. 1956). This is a glabrous, deciduous promoting longevity, enhancing intelligence, and preventing
climbing shrub and is valued for its medicinal properties diseases. It stands out as an excellent immune modulator
(Anonymous 2003). (Dhama et al. 2017). Giloe is utilized in conditions such as
T. cordifolia typically grows as a climber, featuring sim- dengue, swine flu, bird flu, fever of unknown origin, throat
ple, alternate leaves with long petioles. The leaf lamina is infections, sneezing, coughing, and body aches.
broadly ovate, 7-nerved, and deeply cordate at the base.
Flowering occurs in the summer, while fruiting takes place
in winter (Anonymous 1994). The stem of T. cordifolia 25.7.2 Phytochemicals
exhibits varying thicknesses, with young stems appearing
green and smooth, and older ones adopting a light brown The chemical constituents of T. cordifolia include glycosides,
color with warty protuberances at the surface due to circular steroids, terpenoids, flavonoids, saponins, starches, and
lenticels. The transversely smoothened surface displays a more, contributing to its diverse therapeutic potential
radial structure with conspicuous medullary rays traversing (Chopra et al. 1982; Tiwari et al. 2018). The starch obtained
porous tissues, and it imparts a bitter taste (The Ayurvedic from the stem known as Guduchi Satva is highly nutritive and
Pharmacopeia of India 2001). T. cordifolia is employed in digestive and is used in many diseases. Starch is present
diverse traditional medicines to address a spectrum of health throughout the parenchyma of the stem. T. cordifolia, is
concerns. Apart from its medicinal applications, this plant is nutritionally rich, with high fiber (15.8%), protein
occasionally cultivated as an ornamental plant, often (4.5–11.2%), carbohydrates (61.66%), and low fat (3.1%).
propagated through cuttings. It provides 292.54 calories per 100 g. In addition, it is a good
The plant is found in various parts of India, Myanmar, Sri source of potassium (0.845%), chromium (0.006%), iron
Lanka, China, Thailand, the Philippines, Indonesia, (0.28%), and calcium (0.131%), and contributes to its
Malaysia, Borneo, Vietnam, Bangladesh, North Africa, and nutritional value and potential health benefits (Singh et al.
South Africa. In India, it is found in tropical regions across 2003a, b). Pradhan et al. 2013 analyzed T. cordifolia stems of
India, ranging up to 1200 m above sea level. It is native to different diameters for their phytochemical constituents.
places like Kumaon, Assam, West Bengal, Bihar, Deccan, Geo-climatic conditions and the age of the plant (stem diam-
Konkan, Karnataka, and Kerala. eter) are known to influence the levels of secondary
In Hindi, the plant is commonly known as Giloe or metabolites in T. cordifolia (Pradhan and Pandey 2013).
Guduchi, which translates to the heavenly elixir that has
saved celestial beings from old age, keeping them eternally
young. The term “Guduchi” suggests its role in safeguarding 25.7.3 Cultivation
the entire body. The term “amrita” is associated with its
reputed ability to bestow youthfulness, vitality, and longevity T. cordifolia, renowned for its significant medicinal value,
(Chopra et al. 1982). It is considered useful in the promotion stands as the foremost recommended natural herb in the
and restoration of health and in the treatment and curing of Indian system of medicine (ISM). This hardy plant exhibits
many diseases, often referred to as a panacea for various adaptability to various climates, with a preference for warmer
ailments. T. cordifolia is notably highlighted in tribal or conditions. T. cordifolia thrives particularly well in tropical
folk medicine across different regions of the country. Ethno- and subtropical climates. Due to the escalating demand, the
botanical surveys reveal the plant’s various useful properties, cultivation of T. cordifolia has become imperative, and fortu-
making it a valuable resource in traditional healing practices nately, its cultivation is relatively easy.
(Singh et al. 2003a, b).
T. cordifolia is reported for its antispasmodic, anti- Soil T. cordifolia grows in almost any type of soil, but light
inflammatory, and antiallergic properties. Various medicinal medium sandy loam soil rich in organic matter with adequate
drainage is suitable for its cultivation (Kumar and Jnanesha
562 A. K. Pandey

2017). It also grows well in medium black soil or red soil. It gunny bags and kept in a cool and airy storage facility. The
does not tolerate high rainfall or waterlogged conditions. average yield is 8–10 q/ha.

Land Preparation The land is plowed, harrowed, and made

weed-free before planting. Organic manures like FYM, 25.8 Withania somnifera (Ashwagandha)
vermicompost and green manure may be used to increase
the nutritional status of the field. Generally, the basal dose of 25.8.1 Description and Distribution
10 tons of FYM per hectare and a half dose of nitrogen
(75 kg) are applied at the time of land preparation. Withania somnifera L. Dunal, belonging to the Solanaceae
family, is commonly known as Ashwagandha, Indian gin-
Propagation T. cordifolia can be cultivated using either seng, or winter cherry. It has been a significant herb in the
seeds or stem cuttings, but for commercial purposes, stem Ayurvedic system of medicine for over 3000 years (Sandhu
cuttings are the more favorable option. Cuttings approxi- et al. 2010). Ashwagandha is characterized by its erect,
mately 1 cm in thickness and 15–20 cm in length with 2 or greyish, slightly hairy evergreen shrub with long tuberous
3 nodes are obtained from healthy mother plants in February– roots (Fig. 25.6). The entire plant is covered in short, small,
March. These stem cuttings are directly planted in the field, fine, branched hairs, giving it a silver-grey color. The stems
and within 15–25 days, they develop roots. Alternatively, the are brownish and erect, with leaves occasionally absent or
rooted cuttings, initially grown in a nursery, can also be fewer on the lower part of the stem. The leaves, measuring
transplanted in the field around July or at the beginning of 5–10 cm in length, are simple, alternate, ovate, entire, thin,
the monsoon season for better chances of survival. with a cuneate/connate base, and densely hairy with reticulate
venation. Near the inflorescence, leaves become opposite
Nursery Cuttings of 15–20 cm in length and about 1 cm with an adnate arrangement. The flowers are small and green-
thickness can be planted in nursery beds or poly bags of ish, either single or in small clusters in the leaf axils. The
10 × 15 cm size filled with soil, sand, and FYM or smooth, round fruit is fleshy, containing many seeds, and
vermicompost in the ratio 1:1:1 during February–March. turns orange-red when ripe, enclosed in a membranous cov-
The rooting of cuttings takes 15–25 days, and they are ering (Khare 2007).
ready for planting in the main field in June–July. Promotion It is distributed in the drier regions of India and is now
of rooting of shoot cuttings by exogenous auxins application being cultivated in various parts of the country due to its
has been reported (Hartmann et al. 1997). medicinal significance. The ideal regions for cultivation of
this crop are semi-arid tropical areas with an annual rainfall
Planting Approximately 2500 rooted cuttings are needed between 500 and 750 mm. Crucially, Ashwagandha thrives
for planting in 1 ha of land. An optimal spacing of 2 × 2 m when there is a dry season during its growing period. The
is recommended for better yield. In addition, it can be planted plant thrives in dry and arid climates (Patra et al. 2004) and
near existing trees in the field or homestead. shows a preference for acidic soil (Obidoska and Sadowska
2003) in subtropic and semiarid regions. With its ability to
Support System The plant requires support for growth, and tolerate drought, it is grown as an annual crop under rainfed
this can be facilitated by erecting wooden stakes or a trellis. conditions in marginal soils, primarily by small and marginal
Alternatively, already established shrubs or trees can serve as farmers in states like Madhya Pradesh, Rajasthan, Andhra
natural support, believed to enhance the medicinal properties Pradesh, Karnataka, and others. The plant’s ease of cultiva-
of the plants. tion, coupled with the high market value of its roots, attracts
farmers to engage in large-scale cultivation. Furthermore, the
Irrigation The crop is grown under rain-fed conditions. leaves and seeds are also marketable, contributing to
However, occasional irrigation during extremes of cold and increased profits for farmers.
hot weather may help the crop survive adverse conditions. Ashwagandha is a well-known medicinal plant in Indian
traditional medicine systems, featuring over 100 herbal and
Harvesting and Post-hHarvest The stem is harvested dur- nutraceutical formulations. With a history dating back to
ing autumn when it develops to a diameter of more than ancient times, it holds a significant place in Ayurveda,
2.5 cm. The basal part is left for further growth in the next Siddha, and Unani practices (Sangwan et al. 2004).
season. Care should be taken during harvesting/cutting, as the Renowned as a “Rasayana,” it has been traditionally used to
stem bark easily peels off even with a light touch. The enhance longevity and vitality (Singh et al. 2001).
harvested stem should be cut into small pieces and dried in Ashwagandha is widely recognized for its diverse properties,
the shade (Fig. 25.5). Well-dried crop (stem) can be stored in including being an aphrodisiac, sedative, anti-inflammatory,
25 Good Agricultural and Collection Practices of Important Medicinal Plants 563

Fig. 25.5 Tinospora cordifolia

(Giloe) stem cut into pieces

anti-tumor, anti-stress, antioxidant, cognition-boosting, exhibit notable anti-cancer activity against various cancer
immune-enhancing, and rejuvenating agent (Rastogi and cell lines, including those associated with breast, colon, pros-
Mehrotra 1998). In addition, it has been recommended for tate, lung, and liver cancers (Siddique et al. 2014).
various health conditions such as polyarthritis, rheumatoid Withanolides are predominantly concentrated in leaves and
arthritis, lumbago, painful swellings, spermatorrhea, asthma, roots, typically ranging from 0.001 to 0.5% of dry weight
leukoderma, general debility, sexual debility, amnesia, anxi- (Anonymous 2004). Quantitative analysis of withanolides
ety neurosis, and leucorrhea (Anonymous 2007; Khare has been conducted using HPLC (Chaurasiya et al. 2008).
2007).

25.8.3 Cultivation
25.8.2 Phytochemicals
W. somnifera is mostly cultivated as a rain-fed crop in semi-
The roots of W. somnifera contain a variety of biochemically arid regions of India. At present, it is mainly cultivated in
diverse alkaloids. Basic alkaloids found in the roots include India in the states of Madhya Pradesh and Rajasthan (Jat et al.
withananine, withananinine, pseudo-withanine, somnine, 2015). The optimization of growth, yield, and quality in
somniferine, somniferinine, cuscohygrine, anahygrine, Ashwagandha involves several environmental and agro-
tropine, pseudotropine, anaferine, and isopelletierine. Neutral nomic factors, including the timing and method of sowing,
alkaloids present are 3-tropyltigloate and an unidentified plant population/spacing, weed management, harvesting
alkaloid. Other alkaloids documented are withanine, schedules, and post-harvest practices (Pandey and Chowdhry
withasomnine, and visamine. A key steroidal lactone, 2006). Among these factors, achieving an adequate plant
withaferin A, is the most significant withanolide identified population per unit area is crucial for realizing the crop’s
from the extracts of leaves and dried roots of W. somnifera full yield potential.
(Khare 2007). Withanolides, particularly withaferin A,
564 A. K. Pandey

Fig. 25.6 Withania somnifera

(Ashwagandha) with emerging
flower buds

Varieties CIMAP, Lucknow released the following POSHITA is a medium tall, semi-broad, medium dark
varieties (Bahl et al. 2018). color leaf with red colored berries. The estimated dry root
CHETAK (Naguri Withania variety) or CIMAP Chetak is yield was 14 q/ha vs check which is 8 q/ha. Total
a semi vigorous with small leaves and a whitish green stem, withanolides is 0.25%.
high dry root yield (11.77 q/ha vs check 5.45 q/ha), Varieties developed by other universities and institutes are
withanolide content (0.40 vs 0.20% in check). The fresh Jawahar Ashwaganda-20, Jawahar Ashwaganda-134, Raj
and dry leaf yield was also high (1.722 and 0.453 q/ha vs Vijay Ashwagandha-100, and Nagori.
0.872 and 0.147 q/ha in check) with high withaferin content
(1.223 vs 0.788% in the check.) Soil Ashwagandha’s ability to flourish in different soil types
PRATAP (CIMAP Pratap) has highly vigorous, dark makes it a versatile crop suitable for cultivation in various
green medium-sized leaves and dark green stem; high dry regions. However, it thrives well in soils that are well-
root yield (34.95 q/ha vs Poshita 21.99 q/ha) with high total drained, such as sandy, sandy loam, or light-textured
withanolide content (0.31 vs 0.25% in Poshita). The fresh and red/black soils. The plant prefers soils with a pH ranging
dry leaf yield was also high (5.39 and 0.87 q/ha vs 2.83 and from 7.5 to 8.0, indicating a liking for slightly alkaline to
0.50 q/ha in Poshita) with high withaferin content in dry alkaline conditions.
leaves (0.720 vs 0.528% in the check variety Poshita).
25 Good Agricultural and Collection Practices of Important Medicinal Plants 565

Climate Ashwagandha, known for its hardiness and drought procured from a reliable source with detailed information
tolerance, thrives in conditions characterized by a relatively about the seed. A seed rate of 10–12 kg is sufficient for the
dry growing season. It is typically cultivated as a late rainy sowing of 1 ha of crop. Sowing should be done at the right
season (Kharif) crop. Regions with semi-tropical climates spacing at 30 cm row-to-row and 10 cm plant-to-plant
and receiving 50–75 cm of rainfall are considered suitable spacing in line sowing method.
for cultivation. The temperature range of 20–35 °C is optimal
for its growth. In addition, late winter rains play a crucial role Irrigation Ashwagandha is usually grown as a rainfed crop
in fostering the proper development of the plant’s roots. where irrigation facilities are not available. One or two late
winter rains are conducive to the proper development of
Land Preparation In Ashwagandha, the roots constitute the roots. Excessive rainfall or water is harmful for this crop
primary economic component. Therefore, it is essential to and irrigation is not required if monsoon is well distributed
prepare the land in a manner that promotes the development throughout the growing season. One or two lifesaving
of roots with increased length and girth, ensuring higher irrigations can be given if required. Under irrigated
quality. The land is initially plowed using a moldboard conditions, the crop can be irrigated once in 15 days
plow and then harrowed twice to achieve a fine tilth after depending on soil type. Organic mulches such as wheat
receiving pre-monsoon rain. Adequate organic matter is straw or Ashwagandha straw of previous crops should be
added to the soil during land preparation to enhance its spread in between the rows to conserve soil moisture, facili-
fertility. The field is subsequently leveled through planking, tate better water infiltration during excess rains, and control
creating an optimal environment for the cultivation of weeds.
Ashwagandha.
Intercultural Operations and Weeding The seeds sown
Manure Optimum crop nutrition should be ensured as by broadcasting or inline in furrows should be thinned out
excess or deficit of any essential plant nutrient may decline by hand 25–30 days after sowing to maintain a plant popula-
the production as well as the quality of the produce. Soil tion of about 60–90 plants per square meter (about 3–6 lakh
testing should be done before applying the nutrients. plants per hectare). The plant density to be used may depend
Ashwagandha should be grown without chemical fertilizers on the nature and fertility of the soil. On the marginal land,
and use of pesticides. Organic manures like farmyard manure the population is kept high. The optimization of the plant
(FYM), vermicompost, and green manure may be used as per population for Ashwagandha under different agro-climatic
the requirement of the species. The manure or compost conditions and varying levels of input supply is an important
should be well-decomposed and not made from city waste. factor for quality and productivity cost effectively.
About 10–20 tons of FYM per hectare should be mixed into Weeds should be managed before they start competing
the soil at the time of the last plowing to obtain a good yield. with the crop for nutrients and light. One-hand weeding at an
early stage is sufficient to enable the Ashwagandha plants to
Propagation Method It is better to cultivate Ashwagandha take over the growth of weeds. At later growth stages, the
by broadcasting seeds directly in the field instead of weeds are suppressed by its smothering effect. Care should
transplanting seedlings (Pandey and Shukla 2007). Broad- be taken not to damage the roots during weeding. The use of
casting with higher seed rates at 15–20 kg/ha is the most chemical herbicides is restricted for weed control in medici-
common method for sowing Ashwagandha in rainfed areas. nal crops; hence, alternative methods of weed control such as
However, line sowing and raised bed sowing are also gaining the use of organic mulches to control weeds should be pre-
importance in recent times and have been reported to yield a ferred as they inhibit weed growth as well as conserve the soil
higher quantity of roots and also help in performing intercul- moisture.
tural practices properly. The seeds are sown in lines 1–3 cm
deep in soil. A light shower is applied after sowing seeds to Harvesting Harvesting should be done at the right stage to
ensure good germination. Seeds can be treated with Thiram ensure maximum levels of active ingredients and better qual-
Indofil or Dithane-45 (@ 3 gm/kg seed) before sowing to ity. Ashwagandha plants start flowering and bearing fruits
protect seedlings from seed-borne diseases (Chandra and from December onwards. The crop is ready for harvest in
Pandey 2011). It may be noted that since Ashwagandha is a January–March at 150–180 days after sowing. The maturity
rainy season Kharif crop, the time of sowing is decided by the of the crop is judged when leaves start drying and berries
date of arrival of monsoon in that area. become yellow-red. Root size, root, shoot biomass, and alka-
loid content were found maximum in a 180-day crop, which
Planting Material For sowing Ashwagandha, seeds that should be considered the best harvesting time for
were harvested during the previous season and of good Ashwagandha. The crop should be harvested in the dry
quality and free of pests should be used. Seeds should be
566 A. K. Pandey

weather and not in rain or in the early morning when there is advisable to refrain from using rat poison or engaging in
dew on the ground. Harvesting is done by uprooting the fumigation within the storage rooms.
whole plant without damaging the roots. There should be
sufficient moisture in the soil at the time of harvesting for Yield The yield from 1 ha of commercial cultivation is
easy uprooting of the plants. Weed plants or any inert mate- approximately 3–5 q of dry roots and 50–75 kg of seeds
rial should not be harvested with the crop plants. The roots (Shrivastava and Sahu 2013). A maximum yield of up to
are cleaned and either cut into 7–10 cm long pieces and dried 6.5–7.0 q/ha can be obtained. There are instances where
or dried as a whole in the sun and stored. Berries are hand- farmers have achieved root yields as high as
plucked, dried, and threshed, and the seeds are stored for the 1 ton/ha. Commercially, 6–15 mm diameter and 7–10 cm
next crop. length root species are better. The alkaloid percentage in
roots ranges from 0.13 to 0.31%.
Post-Harvest Management The post-harvest processing
stage is pivotal in determining the quality of the final product.
To ensure high quality, it is imperative to safeguard the 25.9 Conclusion
harvested roots from contamination, degradation, or damage
throughout the processing stages. During transportation to Medicinal plants play a crucial role in providing affordable
the processing site, one should use clean vehicles, protecting healthcare and livelihood security for over 70% of the Indian
the material from heat and rain. One should choose a clean population. Moreover, India has emerged as the second-
processing site, shielded from direct sunlight and rain, and largest exporter of medicinal plants. Despite the significance
equipped with water access. For processing, one should use a of medicinal plants, there is a lack of awareness among
clean surface, preferably a cemented floor or a well- farmers and collectors regarding good agricultural and col-
maintained tarpaulin sheet. Before processing, one should lection practices (GACP) for herbal raw materials. It is
eliminate weeds, extraneous physical matter, and substandard important to note that specific guidelines (GACP) may vary
material. for different medicinal plant species due to their unique
The roots are separated from the aerial portion by cutting requirements. While GACPs are available for some important
the stem 1–2 cm above the ground. After digging, the roots medicinal plants, there is a need to develop species-specific
are washed, cut into 7–10 cm small pieces, and dried in the GACPs for others. This would ensure the sustainable supply
sun or shed. Roots should be dried to 10–12% moisture of quality raw materials and maintain the overall quality of
content. The dried roots are beaten with a club to remove the produce. Quality, sustained availability, authenticity,
adhering soil and to break off thin, brittle, lateral rootlets. organic certification, and appropriate pricing are important
Lateral branches, root crowns, and stem remains are carefully criteria essential for gaining consumer confidence and ensur-
trimmed with a knife. Root pieces are then sorted out into the ing a thriving market for medicinal plant products. With
following grades: respect to conservation, efforts should focus on the protec-
tion, skill development, and capacity building of medicinal
A grade: Root pieces up to 7 cm in length, 1–1.5 cm in plant cultivators and gatherers. Furthermore, techniques for
diameter, solid cylindrical with a smooth external surface sustainable harvesting and management are crucial, espe-
and pure white from inside. cially for conserving threatened species. Local communities,
B grade: Root pieces up to 5 cm in length, 1 cm or less in farmers, women, and youth should be actively involved in the
diameter, solid, brittle, and white from inside. decision-making process. This participatory approach
C grade: Solid root pieces up to 3–4 cm in length, 1 cm or less ensures that the perspectives of those directly engaged in
in diameter. cultivation and harvesting are considered.
Lower: Small root pieces, semisolid or hollow, very thin, In conclusion, addressing awareness gaps, meeting con-
yellowish from inside, and <1 cm in diameter. sumer expectations, and prioritizing conservation efforts are
essential for the sustainable development of the medicinal
The superior grade has stout and long roots, which fetches plant sector in India. The involvement of local communities
a premium price. To avoid moisture and fungal attack on the is crucial for the success of initiatives aimed at ensuring both
dried roots, it should be stored in dry sacks or tin containers. economic benefits and environmental sustainability.
One should pack the harvested produce in a clean, dry sack
with a clear label. The sacks should be stored in a clean, dry Lessons Learnt
room, elevating them off the ground and keeping them away • A suitable planting site, characterized by favorable soil
from walls or any contact with fertilizers or pesticides. It is fertility, ample water availability, and adequate sunlight
25 Good Agricultural and Collection Practices of Important Medicinal Plants 567

exposure, contributes to optimal plant growth, and these Anonymous (2007) Pharmacopoeia I. The Indian pharmacopoeia com-
requirements may vary among different species. mission. Central Indian Pharmacopoeia Laboratory, Ministry of
Health and Family Welfare, Govt of India
• Sustainable cultivation practices, such as the use of Bahl JR, Singh AK, Lal RK, Gupta AK (2018) High-yielding improved
organic fertilizers and employing natural methods for varieties of medicinal and aromatic crops for enhanced income. In:
pest and disease control, are crucial for ensuring the Singh B, Peter KV (eds) New age herbals. Springer Nature,
prolonged well-being of both plants and the environment. Singapore
Biswas K (1956) Cultivation of Rauvolfia serpentina in West Bengal.
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maximum potency and quality of the medicinal plants. Bopana N, Saxena S (2007) Asparagus racemosus—
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Chandra V, Pandey MC (2011) Jadi butiyon ki kheti. Indian Agriculture
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• Proper documentation and record keeping of cultivation Chatterjee A, Parkashi SC, Werner G (1956) Some recent developments
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and pest and disease control measures can help to identify Chem Org Natirst 10:416
Chaurasiya ND, Uniyal GC, Lal P, Misra L, Sangwan NS, Tuli R,
potential issues and improve future crop yields. Sangwan RS (2008) Analysis of withanolides in root and leaf of
• Understanding market demand and having a reliable dis- Withania somnifera by HPLC with photodiode array and evapora-
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311–318
 Clonal Forestry
26
R. C. Dhiman

Abstract farmers on small farm holdings which exhibit a mosaic

Clonal forestry is the deployment of selected and proven of multiple clones that has had better opportunity in
clones in plantation forestry. Operational clonal forestry, handling pest epidemics on narrow genetic base of
in India, is now over four decades old, although multipli- selected clones on isolated land patches. Of recent, the
cation of venerated trees like the Bodhi tree (Ficus awareness on registration of newly developed clones has
religiosa) using stem cuttings has been practiced for significantly increased and newly developed clones are
centuries. Later the practice was used as a management increasingly registered with national and international
tool for in situ cloning of some tree species. The current agencies. Field testing of genetically modified rubber
level of clonal forestry of selected trees is based on better tree in eastern India has also been attempted which may
understanding and exploitation of juvenile-maturity open up new scientific and operational opportunities in
phase, genetically improved clones, sophisticated infra- clonal forestry. Approximately 200 million eucalyptus
structure for cloning and skill developed in cloning and 20 million of poplar clonal plants are currently planted
techniques. Operationally, clonal forestry is a complete annually which are effectively managed with standard
package interlinking activities from the collection of suit- silvicultural operations for attaining high productivity
able starting propagules/explants to their final deployment that indicates the evolving strength of clonal forestry in
in plantations. For timber production, mature trees of the country.
selected clones are first rejuvenated by serial propagation
or micropropagation before being inducted in propagation Keywords
facilities. Use of macro-propagation methods especially Clonal forestry · Nursery production · Registration of
stem cutting is the most common propagation method clone · Mist chamber · Rooting media
deployed in most propagation facilities, whereas
micropropagation methods have yet to be picked up for
commercial use. Planting stock production uses a standard 26.1 Introduction
operating procedure (SOP) for cutting production, cutting
preparation, conditioning, treatment, rooting media, Clonal forestry is the deployment of selected and proven
containers, rooting in mist chambers, conditioning in clones in plantation forestry. Carson (1986) defined it as
hardening chambers and transportation to plantation sites. ‘the establishment of plantations using tested clones’. Clon-
This chapter describes the evolution of clonal forestry ing trees has been in practice for centuries. Initially, it was
with examples drawn from mass multiplied species like restricted to planting a few religiously, socially and ethnically
poplar, eucalyptus and melia. It also cites example of two important trees like Bodhi tree (Ficus religiosa) under which
pest epidemics, namely gall wasp infection on eucalyptus ‘Buddha’ got enlightenment and this sacred tree has been
clones and leaf blight on G3 clone of Populus deltoides reportedly reproduced using cuttings for many reproduction
which infested clones from production system and quickly cycles (Joshi and Dhiman 1994). It was further practised in
replaced by newly developed clones. Clonal forestry planting of some easy to clone trees, like poplars and
under Indian conditions is practiced by thousands of willows, for meeting tree-based domestic needs, in situ clon-
ing through coppicing of certain trees like oaks as forest
R. C. Dhiman (✉)
CIFOR-ICRAF Asia Continental Programme, World Agroforestry, New management prescription and finally the deployment of
Delhi, India selected and improved clones of certain trees under

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 571
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_26
572 R. C. Dhiman

production forestry. It has been under debate and discussion their induction in production system, fast multiplication, field
for ecological, social, economical and industrial applications planting, tending and management of raised plantations. Each
in operational forestry. Tree growers, wood-based industry, selected genotype may need some refinements in different
foresters, nurserymen and wood users have been fascinated operations and handling of its propagation material. The main
by its potential to adapt to varied soil and site conditions with focus of clonal forestry, so far, has been for wood production;
fast and uniform tree growth, increased wood production and yet, some clonal plantations for wild fruit production and
capability of generating economical returns to its growers. environmental purposes are also being raised. The following
The interest in clonal forestry is now significantly increas- text discusses in brief the current status of clonal forestry in
ing in production forestry. With every passing time, new India.
knowledge is added on its different aspects including cloning
trees that is making the subject more operationally feasible,
economically viable and silviculturally sound. The main rev- 26.2 Induction of New Genotypes
olution in its large-scale adoption in different countries is in Propagation Facilities
encouraged due to new understanding and manipulation of
juvenile–maturity relations in trees, increased emphasis on 26.2.1 Rejuvenation
long-term tree improvement programmes providing elite
material, infrastructure development for cloning facilities, Rejuvenation of mature selected trees to enable their mass
development and cloning of new genotypes including genet- cloning, which do not show maturity related abnormalities in
ically modified (GM) trees and skill developed on using the trees grown from such planting stock, is extremely impor-
smaller and easy to root propagules in propagation facilities. tant and a crucial step. Understanding of mature and juvenile
The operational level clonal forestry, with limited phases in trees is of significant importance in clonal forestry.
imported clones, started taking shape during 1970s when Maturation in trees is a developmental process which is
large-scale planting of poplars (Populus deltoides) was pro- associated with reduced rate of growth, reduced efficiency
moted for matchwood production in north-western India in rooting of cuttings, reduced ability to propagate mature
(Dhiman 2012). The success of these plantations encouraged plants in tissue culture, early onset of flowering and fruiting,
many others engaged in raising/promoting plantations and loss of vigour and changes in foliar morphology. Rejuve-
wood consumption to enlarge clonal forestry with other com- nation of mature trees of proven worth is, thus, necessary so
mercially important trees. Eucalyptus-based clonal forestry that the produced planting stock starts behaving like a juve-
was started by ITC, a paper making company during early nile propagule in field plantations. Trees retain juvenility at
1990s, and it soon became the leading tree grown in clonal their base of trees and at apical meristemic cells located at
forestry because of its wide adaptability and multiple utility. certain positions of both above- and below ground parts
Other trees subsequently included in clonal forestry were (Bonga 1982; Del Tredici 1995, 1999). Aitken-Christle and
Casuarina spp., Leucaena leucocephala, Melia spp. and Connett (1992) proposed to either collect juvenile tissues
Acacia spp., whereas many others are in the testing phase near the base and/or buds near the top of the tree those
for their induction in production forestry. Clonal forestry, being more juvenile parts. According to Franclet (1983) and
thus, picked up with the active participation of wood-based Tefsumura et al. (2001), roots in general are more juvenile
industry for securing tailor-made raw material for their than the aboveground parts. Rejuvenation of mature trees
manufacturing factories. Clonal forestry is now fast changing could, thus, be achieved by using starting propagules from
the landscape and occupying a significant space in agriculture roots and also from shoots produced on stumps on cutting
and forest land in different states and regions of the country. back the selected genotypes. Propagules in the form of
Unlike many other countries where clonal plantations cover branches of difficult to root species can be collected from
compact large acreage, the majority of these plantations, in mature trees and grafted/budded on juvenile root stock. Suc-
India, are grown by farmers integrated with or without agri- cessful grafting and serial propagation of such shoots help in
cultural crops on their fields. achieving a fair degree of juvenility which has been effec-
Clonal forestry has two independent but interdependent tively followed in some species (St Claire et al. 1985;
production-related activities, namely clonal planting stock Dhiman and Gandhi 2014). Of late, the micropropagation
production of selected clones and their deployment in raising methods especially embryogenesis are increasingly used for
clonal plantations. It is a complete package involving a num- the rejuvenation of mature trees (Bosela and Ewers 1997).
ber of interlinked activities beginning from the collection of Once the propagules from a mature tree are rejuvenated, they
suitable starting propagules/explants from finally selected can be maintained at juvenile stage by serial propagation and
and tested genotypes to their final deployment in plantations. hedging (Bolstad and Libby 1982; St Claire et al. 1985). This
The main ingredients of a systematic clonal programme has led to the development of a concept of stool beds or
include rejuvenation of selected and tested mature genotypes, hedging for shoot production for making cuttings for rooting.
26 Clonal Forestry 573

26.2.2 Assembly of Selected Clones for Further multiple juvenile shoots from stumps which are used to make
Processing cuttings having easy rootability compared to those collected
from mature branches of old aged trees. It, however, carries a
A simple model followed in India for inducting new very high risk of losing the best of selections if sprouting
genotypes in propagation facility is given in Fig. 26.1. It from stumps or rooting of cuttings from such trees is inade-
highlights three options, A, B and C, any of which could be quate. Even in some cases, the cloning of trees of strategic
applied based on the biological nature of genotype and its importance or existing in locations where felling is not
species. Option A has been extensively applied in many tree allowed needs to be handled through alternate routes as
species, including eucalyptus, having good coppicing ability. given in option C. This option was used for assembling the
It has an advantage that trees on cut back quickly produce eucalyptus plus trees during 1980s by Wimco Seedlings in its

Fig. 26.1 A simple approach for inducting new genotypes in clonal forestry
574 R. C. Dhiman

first ever programme implemented on eucalyptus improve- appropriately handling the genotypes made it possible to
ment and cloning outside government sector, in India select specific propagation methods under appropriate propa-
(Dhiman and Gandhi 2014). Option C is also recommended gation facilities specific to species and clones.
for establishing clonal seed orchards in a number of species Propagation methods used in cloning trees include simple
for early and quality seed/fruit production and hybridization coppice growth obtained on tree stumps on their cut back and
to produce new genotypes which could be included in the natural or induced root suckers; to rooting of propagaules
clonal programme, such as fruit production in Terminalia collected from aboveground tree parts may include cuttings,
chebula and Emblica officinalis, which is separately bud sprouts, simple leaf cuttings, needle/fascicles etc.;
discussed latter. grafting/budding of scions on root stock; layering; singling
The B option is increasingly attempted in species like of macro-proliferated shoots; splitting of seedlings; use of
Dalbergia sissoo, Melia dubia, Populus spp. and Paulownia root cuttings and rhizomes in case of bamboos; and in-vitro
sp. which have dormant buds in roots that give rise to sprouts. propagation methods, namely tissue culture, organogenesis
Roots collected near the base of trees are spread in moist and and somatic embryogenesis. These methods are sometimes
aerated rooting media produce new sprouts. Fresh root classified into micropropagation and macropropagation
sprouts or cuttings made from them are juvenile in nature based on the size of starting material (propagule/explants)
and could be easily rooted for inducting such genotypes in and propagation conditions or auto-vegetative and hetero-
the propagation facilities. vegetative methods based on whether collected propagules
Micropropagation including micrografting is also a poten- are developed into independent plants or propagule of one
tial mean for the rejuvenation of mature trees in some species tree is fused with other plant through grafting/budding to
(Assis et al. 2004; Aitken-Christle and Connett 1992). produce another clonal plant. No single method suits all the
Embryogenesis using immature and mature embryos from species and conditions and each of them has its own
control pollinated seeds is used for production of juvenile advantages and disadvantages for mass propagation and tree
plants for induction in clonal forestry (Menzies et al. 1991). improvement. Propagation facilities select a method or a
Clones so produced are field planted for testing and embryo combination of them based on their long-term clonal propa-
culture of the same is stored in cryopreservation for the gation programme, biological nature of tree species, scale of
duration during which field planted ones get shortlisted for production, available infrastructure and technical skills and
induction in clonal forestry. The stored embryo culture of costs involved in production of planting stock.
shortlisted clones is taken out from cryopreservation and Among different methods of cloning, the use of stem
mass multiplied for induction in clonal forestry. In cuttings is the most extensively used method for a number
New Zealand, 200 clones of Pinus radiata were of tree species throughout the world. This method has been in
cryopreserved for 6–8 years before starting multiplication of use since long for propagation of easy to root species like
selected ones performing better in field trials (Horgan 1987). poplars and willows in which even simple sets (branch
Such an approach effectively combines long-term tree breed- portions) are cut, part of thicker end inserted into the ground
ing programme with clonal forestry. to develop roots, whereas aboveground parts develop shoots
to produce new plants. Developments in rooting of cuttings,
even with some hard to root species, proved highly effective
26.3 Operationally Used Propagation for several hardwoods, in particular for several eucalyptus
Methods species (Ondro et al. 1995) which have revolutionized clonal
forestry in many other species. Based on species and propa-
Once a limited number of rejuvenated ramets of a selected gation facilities, cuttings made from aboveground parts are
ortet are developed, the next challenge is to build up the stock known by numerous names, namely set, hardwood, semi-
to appropriate level to meet the increased requirement of hardwood, softwood, nodal, mini, apical mini, root sprouts,
planting stock of such clones. There is a long list of propaga- bud sprouts, leaf buds and leaves, some of which are now
tion methods that have been tried, tested and applied in used in mass propagation for cloning certain species. One
cloning the trees. Choosing an appropriate method for clon- major shift in propagations facilities is from using a large-
ing is a key to the success of any clonal forestry programme. sized propagule to smaller ones for optimization of infra-
Initial efforts on attempting vegetative propagation of tree structure and resources for their production, processing,
species especially those not responding favourably to cloning rooting and handling of both rooted cuttings and rooted
remained largely a thematic subject with a lot of research on plants. For example, eucalyptus cloning in many countries
technological interventions but gradually gained recognition was initially started by rooting nodal cuttings made from
for raising clonal plantations of even some unorthodox spe- coppice shoots collected from stumps on cutting back the
cies like eucalyptus, acacias, melia and a few others. candidate plus trees, then nodal, mini cuttings, micro cuttings
Repeated experimentations on refinement of methods and and even bud sprouts collected from shoots of stool beds
26 Clonal Forestry 575

could be mass multiplied by grafting multiple buds on each

sapling, of easy to root species like Populus deltoides, to
make cuttings for normal nursery stock production (Dhiman
2013a). Root system of open bed nursery plants on their
lifting for field planting can be effectively used to produce
shoots which are easily multiplied in large numbers in some
species like poplar, shisham, albizias, paulownia and a few
others (Joshi and Dhiman 1994; Dhiman 1999, 2013a). Nor-
mal size root cuttings can directly be planted in the nurseries
to get additional planting stock. Similarly, singling of
macroproliferated shoots of different bamboo species
(Adarsh Kumar 1991, Adarsh Kumar et al. 1992), splitting
and planting of seedlings (Chandra 1976) in some other
species have been demonstrated. Even, leaves or their
segments could be made as simple cuttings for rooting in
some tree species which have started finding a space in mass
propagation for building up the limited planting stock in
selected clones (Dhiman 2013a).
Micropropagation methods have also been explored for
mass multiplication of many tree species, while for some
others, it is still being researched to exploit their true poten-
tial. From the first attempt of tissue culture of trees attempted
in Delhi University with Pinus species during 1960s (Konar
and Guha 1968) to date, much progress has been made in
developing infrastructure and protocols for mass multiplica-
tion. During late 1960s, micropropagation facility was cre-
Fig. 26.2 Multiple grafts made on 2-year cut back eucalyptus to ated in National Chemical Laboratory, Pune and then in
produce multiple shoots for making cuttings many other locations across the country in which work on
micropropagation was extended to other tree species
(Dhiman and Gandhi 2014). Similarly, poplars and willows (Mascarenhas and Muralidharan 1989). Tree species covered
have traditionally been multiplied by planting sets directly in under these facilities were teak (Gupta et al. 1980), eucalyp-
the field, then stem cuttings collected from selected trees tus (Gupta et al. 1981, 1983), acacias (Mittal et al. 1990),
initially but latter on from previous year (1 year old) grown poplar (Chaturvedi et al. 2004), sandal wood (Rao and Bapat
saplings to maintain juvenility in the planting stock and 1998), casuarinas (Parthiban et al. 1997), leucaena (Dhawan
finally using nodal and binodal cuttings, root suckers and and Bharwani 1995) and some others which are now being
even leaves (Dhiman 2013a, 2014). clonally propagated. Biotech Consortium India Limited has
There have been efforts to combine more than one propa- identified priority forest trees to be micropropagated (MP) for
gation method for mass scale production of cutting material different states (Anon 2005). These included sandal wood,
for rooting in some species. Grafting/budding, that involves bamboos, ailanthus, soapnut, teak, eucalyptus, albizias,
fixing together parts of two plants to produce a new one, has canes, poplar, sissoo, amla, gmelina, nypa palm, pterocarpus,
been extensively used in tree improvement in the past. This thyrsostachys, xylocarpus and machilus. The private business
method in combination with cuttings is still in use for mass on production and supply of MP plants of many species
production of cutting material of some species. The example including some of forest trees is now increasing and a number
of mass grafting of shoots or single buds on root stock to of such links could be located on the internet. Among various
produce maximum number of shoots from limited stock in micropropagation methods, greater emphasis is now laid on
case of eucalyptus is demonstrated in Fig. 26.2. Even each embryogenesis for both mass multiplication, production of
axial bud from branches/shoots could be grafted on seedling mini cuttings for their rooting in mist chambers and rejuve-
stock and the grafted plant is used for establishing multipli- nation of trees (Assis et al. 2004). The cost of production of
cation hedges near the cutting propagation site. This again planting stock is high through micropropagation methods
has been effectively applied in eucalyptus and poplars for compared to rooting of cuttings (Kaosa-ard 1990). In India,
building up the planting stock (Dhiman 2013a; Dhiman and most of the micropropagation research has centred on devel-
Gandhi 2014). Some hard to root species like P. gamblei oping methods for culture, media and techniques to induce
juvenility in trees (Dhawan et al. 1993). Most reports on MP
576 R. C. Dhiman

trees are restricted to embryos and/or young seedling material shift them anytime up to June month to produce plantable
(Bonga and Durzan 1987). Many studies also report subnor- saplings by the following winters (Dhiman 2014). This new
mal performance of MP trees in field plantations. These method has helped in curtailing expenditure on human, mate-
factors indicate that most of the biotechnological tools are rial and land resources and making the nursery production
still under experimentation and it may still take some time in economically viable in spite of rising costs. In other species
their refinement for large-scale application in clonal forestry like eucalyptus, many such operations may save costs and
in India. check them on nursery production system and their transpor-
tation to field centres established for maintaining and
distributing such stock. Rooted cuttings are packed in jute
26.4 Production and Handling of Planting bags, transported in bulk over long distances and shifted in
Stock cavities in the field location for further culture, maintenance
and field planting. A small truck which could transport
Planting stock for clonal forestry is grown both in open around 10,000 plants along with cavities could carry five to
nursery beds and containers (also called root trainers in six times more such stock and save time and resources in
India) under controlled and open conditions depending on retrieving empty cavities which otherwise are very cumber-
tree species. In some temperate species like poplars and some and costly operation.
willows, it is raised from hardwood stem cuttings in open Clonal planting stock grown under exacting and con-
nursery beds, while for most others it is grown in containers trolled environmental conditions in mist chambers need to
of varying sizes depending upon the species and targeted size get acclimatized to face the matching conditions existing on
of the planting stock. There is need for a standard operating planted sites. Handling of plants immediately on taking out of
procedure (SOP) for different activities right from cutting mist chambers is critical for their outplanting performance. If
production, their handling from mother stool beds (status of the planting sites are appropriately prepared and planting
mother stock in terms of age, size and eco-physiological stock is properly handled, plants from mist chambers can
condition of parent material, cutting preparation, condition- directly be field planted with a reasonable success
ing, treatment with fungicides and growth promoting (Fig. 26.4). However, under normal circumstances, they
hormones etc.), rooting media, types and design of rooting need to be conditioned for a specific duration before being
containers, retention period of cutting on rooting in mist dispatched for field planting. The stock needs to be of appro-
chambers, taking out the rooted cuttings from mist chambers priate size (collar thickness and height) along with effective
to conditioning chambers, maintenance in open conditions, plug formation in containers in which they have been grown.
irrigation, fertilization, packing, transportation and field Over retention of stock in nurseries may block the bottom
planting. In clonal forestry, only selected clones are exploited hole of containers (root trainers) with self-pruned roots,
for which SOPs vary from clone to clone and species to which may check growth and create physiological stress
species. The integrated package of SOPs for different cultural that may stagnate such stock on field planting (Dhiman and
operations and handling should target to produce quality Gandhi 2014).
planting stock. Planting stock ready for dispatch for field planting far
Most nursery production facilities now make heavy away from propagation facilities must possess some mini-
investment in term of land, human and monetary resources. mum standards in terms of physical and physiological traits
Keeping operational controls at each level of pre- and post- those have been worked out for specific species and clones
nursery production phase before field planting is necessary to for achieving desired field performance. Planting stock is
keep costs under control. For example, the traditional pop- evaluated for its quality based on certain performance
lar nursery production involves preparing nursery fields in attributes, namely maximum survival on field planting and
the month of January–February, make around 20 cm long and quick growth thereafter. Production facility may have taken
2–3 cm thick stem cuttings from 1 year grown saplings utmost care in maintaining such traits in planting stock during
preferably during the month of February, culture them for production process, yet the plants need to maintain the status
the entire year and lift them for field planting after 1 year quo till they are finally planted in the field. Physical and
production cycle. In poplar nurseries, production occupies physiological conditions of clonal planting stock are more
fields for a period equivalent to production cycle of two important with a rider to maintain a minimum size for each
winter agriculture crops and one summer crop which is species and planting site. The size of the clonal planting stock
highly taxing on land and time resources. An alternate may vary from around 15 cm shoot height with effective root
method developed is to plant small mini-nodal stem and plug formation in cavities for eucalyptus and some other
root cuttings in cavities (Fig. 26.3), during lifting of saplings species to around 4–5 m with a small portion of root system
from nursery beds, culture them for some time to make them for poplars grown in open nursery beds. Physical appearance
sprout, root and form effective plug within the cavity and of poplar saplings in term of their freshness/shining and
26 Clonal Forestry 577

Fig. 26.3 Plants grown from poplar nodal and mini hardwood stem cuttings

Fig. 26.4 High survival of eucalyptus rooted cutting immediately on taking out from mist chambers in freshly planted field (left) and 2 weeks after
planting (right)
578 R. C. Dhiman

increased number of live buds on stem with high turgidity around the Tarai region by the then Uttar Pradesh Forest
give better out-planting performance and are attempted Department (UPFD) had shown some potential with a couple
through nursery culture and by conditioning in freshwater of introduced IC series clones (Chaturvedi 1982). Perfor-
on lifting from beds. Containerized stock needs balanced mance of WIMCO’s introduced two clones, namely G3 and
internal mineral and moisture contents which are maintained G48, were grown by the Company in its trials was better than
by regulating nutrient and irrigation applications in nursery IC clones. Soon UPFD introduced these clones in its field
production phase. A lush green looking planting stock with plantations. During 1990s, introduced ‘S’ series clones espe-
high internal moisture content and some nutrients may lead to cially S7C15 and S7C8 also found favour among some
higher mortality and frost damage in the field plantations farmers. Indigenously developed clones like Udai, Kranti
(Dhiman and Gandhi 2014). and Bahar by Wimco Seedlings and L34 developed by
An effective transportation system is needed for long UPFD made inroads in poplar culture in some locations
distance transfer of planting stock from production facilities during 1990s. Poplar improvement programme in the country
to planting sites and supply centres. A large number of locally is currently undertaken by the Wimco Seedlings; FRI,
made systems are currently used. Planting stock needs to be Dehradun and some state agricultural universities. By now
adequately irrigated before loading and dispatch to field. If around a dozen series clones, namely WSL, WIMCO,
the distance and duration of transport are long, such plants FRIAM, FRIS, L, EL, PL, Pant, PAU, UFC, UCM, UD and
need additional sprinkling of water en-route for maintaining unnamed were promoted for field plantations by these
adequate turgidity and avoid dehydration of transported organizations (Dhiman and Gandhi 2012). The major share
planting stock. Plants on retrieving from vehicles need proper in the current poplar-based clonal forestry is that of WSL and
handling and immediate irrigation to avoid any stress built in WIMCO series clones. The present-day culture is largely
during transportation. based on fourth stage developed WIMCO series clones
followed by third phase developed clones with some notional
presence of second and first phase clones (Table 26.1).
26.5 Clonal Diversity Clones G3, St 121, Kranti and Bahar are no more under
cultivation, though some of them might be inadvertently
26.5.1 In Plantations multiplied by local nursery growers from old standing trees.
Wimco Series clones especially Wimco 110, Wimco
Operational clonal forestry in India is now over four decades 109, Wimco 108, Wimco 81 and Wimco 83 are now more
old. Poplar was the first operationally planted tree with popular than the old ones.
selected clones introduced in 1970 onward and later on Like poplar, eucalyptus clonal forestry too is based on
expanded with eucalyptus and some other tree species. around two dozen clones mainly developed by ITC. The
Numerous clones are now available for a large number of company has developed 107 eucalyptus, 10 leucaena and
tree species grown in clonal forestry. Some initial clones 15 casuarina clones (Kulkarni 2008). Three Melia dubia
mainly in case of poplar were imported from other countries, clones have been developed by TNAU (Parthiban et al.
while many new ones have been developed by various gov- 2021). Ten varieties of M. dubia released by FRI, Dehradun,
ernmental and private sector players engaged in raising and are also finding space among some farmers (Kumar 2020)
promoting clonal forestry of such trees. Initial poplar and a few candidates plus trees from this germplasm have
plantations were raised with Forest Research Institute (FRI) been cloned and their planting stock is being supplied to the
introduced clones, from other countries, on forest land tree growers (Dhiman and Gandhi 2017). There is a very

Table 26.1 Sustaining poplar-based clonal forestry by regularly inducting new clones—a case study of WIMCO poplar programme
Integration of poplar improvement with its clonal culture
Year Activity Clones Comments
1974 Initiation of the programme Introduced G3, G48, and St121 Clonal poplar culture established with these clones
1995 Release of first series of Udai, Kranti, Bahar Udai became preferred clone replacing G3
indigenously developed clones
2000 Second series clones WSL 22, WSL A/26, WSL 27, WSL 32, WSL WSL 22 and WSL 39 became preferred clones
39, WSL A/49
2010 Third series clones WIMCO 62, WIMCO 81, WIMCO WIMCO 110 is the dominant clones presently
83, WIMCO 108, WIMCO 109, WIMCO 110
2018 Fourth series clones WIMCO 111, WIMCO 112 WIMCO 110 still dominate clone. New clones
recently released are being accepted by farmers
Source: Dhiman and Gandhi (2012) and Dhiman (2018a)
26 Clonal Forestry 579

large list of clones indigenously developed by government In India, there have been a couple of instances when a
and private sector, many of which may be of academic large-scale infection of insects and diseases caused alarm for
interest. For example, Wimco Seedlings has been sustaining clonal plantations. Table 26.1 gives details of
maintaining a germplasm of over 500 poplar clones (Dhiman poplar clones developed and released by Wimco, the main
and Gandhi 2012) and ITC is having equally rich germplasm promoter of poplar plantations, for production at different
of eucalyptus, casuarina and leucaena clones. phases to avoid such a threat. Poplar culture in its present
Clones have also been reportedly developed for some region of culture suddenly developed heavy infection to leaf
other species like Anthocephalus cadamba, Dalbergia sissoo, blight (Bipolaris maydis) in the most dominant clone G3
Gmelina arborea, Tectona grandis, Toona ciliata, Santalum (with over 90% share) during mid 1990s which was gradually
album, red sandars and some others by various research replaced with introduced G48 and indigenously developed
establishments in the country. Clonal plantations of these Udai and Kranti clones. The main focus thereafter shifted to
species may pick up in due course of time. Indian Council other indigenously developed and released clones (Dhiman
of Forestry Research and Education (ICFRE) Dehradun has and Gandhi 2012; Dhiman 2014). Currently, Wimco 110 is
issued guidelines for testing and releasing tree varieties and the most dominant clone in poplar culture but has now started
clones during 2008 which were approved by the MOEF&CC showing heavy infection to leaf rust caused by Melampsora
(https://icfre.gov.in/bulletin_board/bulletin72.pdf). Over sp. Two recently developed and released clones, namely
70 clones of casuarina, eucalyptus, melia, sissoo, poplar Wimco 111 and Wimco 112, are now being tried (Dhiman
and calophyllum have been released by different ICFRE 2018a). A similar trend has been observed in eucalyptus
institutes from 2010 to 2021. Similarly, state agriculture clonal culture. There are about two dozen series clones
universities under ICAR system have also their own Variety released by different organizations. The initially released
Releasing Committees and some of them have released clones by ITC, namely BCM 3, BCM 7 and BCM 10 were
clones of trees used in clonal forestry. the base for establishment and expansion of clonal eucalyptus
in India. These suddenly became susceptible to gall wasp
(Leptocybe invasa) which started appearing in epidemic form
26.5.2 Risk Aversion by Replacing Old Clones during the first decade of this century and such susceptible
clones were gradually replaced with new clones, namely
Clonal forestry is much debated for creating a narrow genetic BCM 411, BCM 413 and more recently with BCM
base in production forestry and exposing such plantations to 288 (Kulkarni 2004, 2013; Dhiman et al. 2010;
biotic agents that may cause a catastrophic damage to certain Roychoudhury 2016). Similar threats are invariably posed
susceptible clones (Burdon and Aimers-Halliday 2003). Many by Cylindrocladium leaf blight and stem canker to some
good and favourable clones tend to lose vigour through suc- eucalyptus clones in certain locations (Dhiman and Gandhi
cessive and multiple reproduction cycles. Such poor perfor- 2014; Mohanan 2014). Despite these isolated cases, clonal
mance of a few good clones over the years is also reportedly forestry has progressed aggressively over the last four
associated with purging of some viruses, nematodes and other decades with regular induction of new species and clones.
deleterious parasites inside plant tissues (Ahuja and Libby The experience gained from operational clonal forestry using
1993a). Clonal forestry, thus, needs a regular development fast growing trees, so far, indicates that if it is adequately
and induction of new productive and stable clones from tree supported with the long-term tree improvement programmes,
improvement programmes to sustain its culture. Use of rela- the fear of narrow genetic base in plantations could be prop-
tively a large number of clones is advocated to avoid such erly handled. There is another unique angle of Indian clonal
threats. A safer number is suggested to be 30–40 clones by forestry that the clone mix is better managed by farmers as
Bishir and Roberts (1999), 30 by Yanchuck et al. (2006), 20 by each farmer may plant different clone on their small land
Burdon (1982) and 7–30 by Foster (1993). Inducting too many holdings creating a genetical divergent clones across the
clones in production forestry may not be preferred from wood landscape. For example, in case of poplar clonal forestry
quality perspective. Factory managers in wood processing based on around a dozen clones, around 40,000 farmers
industry need uniform wood quality in terms of anatomical plant on an average of 500 saplings/farmer each year on
features and log size for better processing and product their respective fields. This forms a mozaic of multiple clones
manufacturing. As the number of clones increases, wood in small areas unlike a continuous plantation of a few selected
produced, therefore, becomes variable and start affecting its clones over vast area in some other countries.
processing for quality product manufacturing in mills. Clonal Park et al. (1998) suggested planting a mix of clonal plants
forestry, therefore, needs to maintain a balanced approach to and seedlings together and cull/thin underperforming ones at
address both the concerns of narrow genetic base in production regular intervals. This model may not be suitable in clonal
forestry and preference for highly uniform wood quality from a plantations on farmers’ fields where planting is made at final
few selected clones for product manufacturing. harvestable density. This, however, could be tried on forest
580 R. C. Dhiman

land where such plantations are established with higher initial by various government and private sector research
planting density with an objective to thin such stands during establishments and are being grown in clonal forestry but
the production cycle. There is also a need to maintain a not registered with any authority. The Plant Variety and
balance between genetic diversity and expected gain in clonal Farmers Right Act in India provides a mechanism for using
plantations of native species planted on forest land (Cyr and developed clones by nursery growers at some agreed terms
Klimaszewska 2002). and conditions with breeder/breeding institutes and this
mechanism is now being explored as a way forward in clonal
forestry. Though the Plant Variety and Farmer’s Right Act
26.5.3 Regulations for Clonal Forestry has provisions for recognition of unique varieties and
and Registration of Clones cultivars being preserved and grown by farmers, their regis-
tration is not mandatory under the provisions of this act.
Clonal forestry is now entering a new era of regulations. Similarly, clones of some fast-growing trees developed by
Some countries have enacted legislations to regulate the many research establishments are not registered with the
deployment of clones regarding their numbers and area concerned national authorities but are highly preferred and
(Burdon and Aimers-Halliday 2003; Lelu-Walter et al. grown by numerous growers. The existing regulations do not
2013). Cloning methods are now getting patented. A Patent provide uniform code for naming the clones. Some
No. 4353184 of United States patent (19) on method for organizations are writing the abbreviated alphabets and
asexual reproduction of coniferous trees is registered with numerical characters prefixed with clones with or without
the United States Patent and Trademark Office (https://www. space, dash, underscore etc. For example, the names of the
freepatentsonline.com/4353184.html). clone are sometimes prefixed with abbreviated code of com-
Development of new productive, disease and pest resistant pany or institute like FRI by the Forest Research Institute,
clones is essential for sustaining the culture of clonal forestry. Dehradun; IFGTB by the Institute of Forest Genetics and
Forestry research establishments across the globe are Tree Breeding, Coimbatore; ITC-BCM by ITC;
implementing tree improvement programme and developing WSL/WIMCO by Wimco Seedlings/WIMCO Ltd., MPT by
new clones/varieties. These establishments are now showing Tamil Nadu Agriculture University, Tamil Nadu etc. Clonal
increased interest for registration of their developed clones forestry is opening up to keep with market forces not only in
and varieties for getting their research work recognized. term of wood production but for other associated activities
There are numerous bodies at international, national and related to patenting in propagation, registration and others.
local levels which are involved in recognition and registration
of clones grown in clonal forestry. At international level, the
International Society for Horticulture Science created an 26.5.4 Genetically Modified Trees
International Cultivar Registration Authority (ICRA) which
provides guidelines for registration of cultivars/clones of Genetically modified (GM) trees have been developed for
different tree species. ICRA has appointed the International some tree species which are being routinely planted in some
Poplar Commission (IPC) for registration of cultivars/clones countries (Ledford 2014; Wang 2004; Sedjo 2005), whereas
of two tree genera, namely Populus and Salix. Wimco field trials for monitoring and evaluation of many others are
Seedlings (ITC-PSPD) has over 500 clones in its germplasm in progress in many other countries (Pilate et al. 2002). Field
out of which 14 commercially grown clones are registered trials of GM trees are only allowed in selected species and
and three others find recognition with the IPC (Dhiman and locations, once the approval of competent authority is
Gandhi 2012; Dhiman 2018a). At national level, Government obtained. India joins the select list of countries for field
of India has created the Protection of Plant Varieties and testing the GM trees when first GM rubber (Hevea
Farmers’ Right Authority which undertakes registration of brasiliensis) (Arokiaraj 2000) was recently planted in
plant varieties/clones. The authority has recognized and Assam (Hindu 2021). The tree is reported to be cloned
appointed Institute of Forest Genetics and Tree Breeding through somatic embryogenesis to produce plantlets
(IFGTB), Coimbatore (under ICFRE) as DUS (Distinctness, (Arokiaraj 2000; Jayashree et al. 2003). GM rubber is the
Uniformity and Stability) Testing Centre for casuarina and second genetically modified crop to start field trial in India
eucalyptus in the country (http://www.plantauthority.gov.in/ after Bt cotton. In 2010, the Genetic Engineering Appraisal
dus-center.htm). Six clones of casuarina and one clone of Committee (GEAC) had given permission to initiate field
eucalyptus have been registered under the Protection of Plant trials of GM rubber at Chetchackal, Thombikandom, in
Varieties and Framers’ Right Act which is a first instance for Kottayam. China has approved planting of GM poplar long
forestry species in the country. back in 2002 (Lang 2004) and subsequently around 1.4
There are many other introduced and indigenously devel- million such trees were planted for wood production and for
oped clones of different species which have been developed controlling desertification (Then and Hamberger 2010).
26 Clonal Forestry 581

Similarly, GM eucalyptus is now field planted for pulpwood more than half the rotation. A few studies reported better or
production in Brazil (Ledford 2014). There are reports that comparable growth of MP plants in comparison to same
GM poplars have spread across the areas beyond the origi- genotype produced using other propagation methods or
nally planted sites and contamination of native poplars with seed obtained from the same genotype. At the same time,
the Bt gene is occurring (Carman et al. 2006). It is expected there are many other studies which documented subnormal
that more tree species and trial plantations of such modified growth and productivity of MP planting stock in field trials.
trees would be raised in many countries in due course. There Large-scale field plantations and research trials of MP
is an urgent need for a very rigorous monitoring and evalua- origin poplars were raised in north India during 1990s.
tion of such plantations to avoid unwarranted damage to Hundreds and thousands of saplings were supplied by com-
ecology and diversity of native forests and species. mercial nursery growers to farmers for raising plantations on
their fields. The field performance of these plantations was
subnormal when compared with those raised form tradition-
26.5.5 Field Performance of Micropropagated ally grown saplings from cuttings of same clones (Fig. 26.5).
(MP) Trees Poor performance of MP poplar for full production cycle was
reported from statistically designed field trials (Dhiman and
Published information on the performance of MP trees in Gandhi 2010). Results of a poplar clonal trial with tradition-
field trials is a mixed one. Most reports are based on data ally propagated (TP) ETPs (entire-trans-plants) of five clones,
collected from young trees/plantations, whereas a very few namely G48, WSL 22, L 34, L 49 and S 7C15, were com-
studies mention growth and productivity of MP trees for pared with MP origin S7C15 clone. Height and diameter

Fig. 26.5 Field trial of micropropagated (MP) and traditionally propagated (TP) poplar from stem cuttings. Right side of visitors is a replicated plot
of MP and left is TP poplar of same clone
582 R. C. Dhiman

growth both in nursery and field trials for each year recorded 2019). During the year 2014, Dhiman and Gandhi (2014)
lower values for plantlet origin poplar when compared with estimated production of 200 M eucalyptus clonal plants in the
that of TP poplar. Height and diameter values for 8 years MP country, out of which around 90% was planted in the field.
S7C15 clone were 23.7 m and 20.1 cm respectively which Twenty-seven paper mills alone have created plantations of
were significantly lower than for height of 30.3 m and diam- over 657,093 ha with a potential wood production of
eter of 22.7 cm for TP S7C15. The final reduction in MP 39,425,580 t/annum by 2013 (CSE 2016); the major share
S7C15 was approximately 20% for height and 13% for of them was of clonal origin. These mills are increasingly
diameter when compared with TP poplar. In another unpub- promoting clonal forestry to make tailor-made plantations for
lished study, the tree wood volume (above 45 cm mid girth paper pulp. It is estimated that a total area of 8.02 lakh ha was
logs) was 0.5906 cum for TP and 0.1894 for TC poplar. MP planted by ITC till last year (https://www.itcportal.com/),
origin poplar wood had increased defects of 34.7% in match over 3 lakh ha by Wimco Seedlings/Wimco till 2017
splint manufacturing compared to 19% from TP poplar. In (Dhiman 2018b), 173,000 ha by JK papers (https://www.
yet another study, three clones, namely G3, S7C15 and jkpaper.com/), 535,000 acres by IPAPPM (http://www.
L 34 at 6 years of growth, showed variability in wood ipappm.com/contact-us.html) alone. Rizvi et al. (2020)
anatomical properties and specific gravity in the woods reported area under poplar to be 481,000 ha in two states
grown from planting stock produced by employing these (276,000 ha in Punjab, and 205,000 ha in Haryana) alone.
two propagation methods (Pande and Dhiman 2010). Such Major poplar planting state in the country is Uttar Pradesh
variations may be associated with somaclonal variation that with around 36% of total poplar plantations (Dhiman 2012).
may occur due to rapid multiplication of callus cells in the Extrapolation of these figures to the total poplar planted area
culture media with high level of hormones leading the callus works out to be 1.6 M ha under poplar culture in the country.
to become a heterogenic mass (Larkin and Scowcroft 1981; The share of other tree species especially casuarinas,
Das 1991). leucaena, melia and some acacias is gradually increasing in
Like poplars, there have been a large number of studies on clonal plantations. According to Dhiman (2013b), around
field trials for MP eucalyptus in India (Dhawan et al. 1993; 5 M ha was under commercial agroforestry which had maxi-
Gupta et al. 1980, 1981; Muralidharan and Pandalai 2000; mum component of clonally planted fast growing tree species
Solanki et al. 2000; DBT 2001). A few of them reported like poplar, eucalyptus, leucaena, casuarinas, acacias, melia
comparable or slightly better growth of TC eucalyptus over and some others. The area under clonal forestry with different
seedlings origin eucalyptus; some others reported poor per- species and clones has significantly increased since these
formance in term of survival, growth and diseases suscepti- estimates were made. Of late, there is also surge in planting
bility of MP eucalyptus plants over the rooted cuttings. MP plantlets in number of tree species. TERI has supplied
Mascarenhas et al. (1987) reported that micropropagules around 12.8 M plants of different species including that of
raised from seedlings of plus trees of teak (Tectona grandis) Anogeissus pendula, A. latifolia, Bambusa bambos.
flowered and produced fruits and seed within 2 years of Dendrocalamus asper, D. strictus, Eucalyptus tereticornis,
planting in the field, indicting such plants attaining early E. camaldulensis, Paulownia fortunei and Populus deltoides
maturity than seedlings. Such mixed response of MP plants to different state forest departments, NGOs, agro-based
is not restricted to India but also reported from some other companies and private growers (https://www.teriin.org/
countries (see Ahuja and Libby 1993b). The existing infor- technology/micropropagation-technology-park). According
mation on MP trees from India largely indicated that this to DBT (2001), over 1.57 M tissue cultured plants were
biotechnological tool yet to produce encouraging results in supplied from its promoted production facilities to different
large number of cases. It is repeatedly argued by its states forest departments, NGOs and other private growers.
proponents that more research inputs especially on embryo- Initially, most of the clonal plantations were raised on
genesis may make it feasible for mass multiplication of farmers’ fields, but now state forest departments and forest
selected genotypes for clonal forestry. corporations are also increasingly planting clonal origin
planting stock.

26.6 Area Under Clonal Plantations

26.7 Silviculture for Clonal Plantations
There is no authentic estimate on total area covered under
clonal forestry in the country. Some isolated studies reported 26.7.1 Plantation Activities
plantation area under fast growing tree species in which some
are totally or partially raised using clonal planting stock. Clonal plantations are raised in different soil-sites, ecological
According to an estimate, around 15 million ha eucalyptus regions, production systems and land uses. Majority of such
clonal plantations have been created in the country (Outreach plantations are raised on farmland in compact blocks,
26 Clonal Forestry 583

boundary and row plantations integrated with or without and tide with ropes. Dislodging is also a common phenome-
agriculture crops. Site preparations are excellent with non in some eucalyptus clones. Sometimes, farmers avoid
repeated deep ploughing the soils immediately before sowing their straightening as they are grown for pulpwood/MDF/
the agriculture crops. Tree plantations are made on such well- particle board where higher log/billet thickness and straight-
prepared fields any time before, during or after sowing the ness do not matter much. However, those grown for log
agricultural crops. During ploughing and levelling the fields, production are straightened, the way it is done for poplar.
many a times provisions are made for channelizing water in The interest of growing clonal plantations on forest land is
small patches by raising ridges to irrigate fields for both gradually increasing. Some forest departments and forest
agriculture crops and trees. After each crop harvest, fields corporations are now raising clonal plantations of select
are again ploughed for sowing next agriculture crops. Cul- trees mainly eucalyptus and casuarina on forest land by
tural and agronomical operations of repeated soil working, following some well-established guidelines for each activity
irrigations and nutrient applications for crops also provide beginning from site clearance and preparation by removing
excellent conditions for tree growth. Spacing, density, pattern unwanted vegetation, pit digging, spacing, pattern of planting
of planting and rotation of trees are decided by farmers and harvesting age. Plantations are established mainly at
themselves based on their past experience and knowledge, 3 × 3 m spacing with some deviation with species, location
though at times they also follow some recommendations and and objective of management. Most plantations are
suggestions of professionals and promoters of such established during rainy season due to lack of assured irriga-
plantations. Poplar is recommended for planting at 5 × 4 m, tion facilities for planted trees. For longer rotation trees, like
5 × 5 m, 7 × 3 m, 8 × 3 m in blocks with 400–500 saplings/ha clonal teak, more plants are planted per unit area with a
and at varying spacing of 1.5–3 m on boundaries and rows. provision for thinning during the production cycle. Mortality
Now there is a tendency of planting a little more number of replacement is done during the following planting season
saplings per unit area with reduction in production cycles. along with some maintenance in term of removal of compet-
Similarly, melia and a few other trees are planted at wider ing vegetation. In general, only a limited care and mainte-
spacing for log production. Eucalyptus, leucaena, casuarina nance is provided once the trees get established.
and some others are planted, for pulpwood, medium density
board (MDF), particle boards, and poles at higher planting
densities between 1200 and 2500 plants/ha, even sometimes 26.7.2 Rotation
more. A pair row concept is now being followed for raising
eucalyptus by many farmers which allow wider space for Among all plantation aspects, the rotation of harvesting trees
agriculture crop production in wider space between two is highly variable on farmland. The timing of harvesting, on
consecutive close spaced rows (Outreach 2019). attaining some minimum tree size, is mainly decided by the
Plantations are made at final harvest densities with some market conditions including log size, wood prices and eco-
replacement soon after planting but almost no replacement nomical conditions of tree growers. Farmers with larger land
during the following season. Saplings replanted in the fol- holdings prefer harvest for timber production and retain trees
lowing year remain suppressed among the grown-up saplings for relatively longer rotation. At times, when farmers need
of the preceding year and hence this is considered a wasteful some consolidated money, they prefer to harvest and sell the
activity. Poplar is planted deep in auger made holes to avoid trees even if not grown to full size or even if the current
their dislodging, whereas others are planted in small pits or in market conditions are not conducive in terms of wood prices.
crow bar or augor made holes depending upon the species In some locations where there is good market for small sized
and timing of soil preparation before planting. Fields are, in wood, harvesting is done at young age to take advantage of
general, irrigated soon after planting. Poplars and melia are fluctuating wood prices and good income from intercrops like
planted with open bed nursery raised saplings in only winter sugarcane which can be economically grown during the first
months when they are leafless, whereas other species includ- 2 years of tree growth. Poplar was initially introduced for a
ing melia grown in containers are preferably planted during production cycle of 20 years, which was reduced to 12 years,
rainy season over a greater part of the country. With assured then 8 years, 6 years and now some farmers are harvesting
irrigation facilities, the activity of planting with containerized poplar before attaining 4 years age for production of peeling
seedlings of many tree species is taking place around the logs. Similarly, when there is a scarcity of wood and market
year. In termite-infected areas, anti-termite treatment of conditions are good in term of wood prices farmers tend to
chlorpyriphos either in pits or in irrigation water is applied. harvest trees at younger age, as low as 2 years in case of
Some fast grown trees and their clones with lanky stems get leucaena for pulpwood production in some locations
bended with strong winds. Such poplar trees are straightened (Dhiman 2007). Eucalyptus in many locations is harvested
by stretching with force and thereafter anchoring them with at 4–5 years for pulpwood, poles, MDF and particle board, up
ropes. At times, dislodged trees are heavily pruned, straighten to 8 years for peeling logs and still longer for timber
584 R. C. Dhiman

production. Most plantations raised in agroforestry and some clean, straight and knot-free logs are highly desirable traits.
on field boundaries are harvested with roots, and fresh At closer spacing, trees invariably get self-pruned due to
plantations are made in the following planting season. increased inter tree competition, whereas those at wider
While many others grown in compact blocks as farm forestry spacing tend to develop branches towards lower portion of
without intercrops and some on field boundaries especially main stem which invariably grow in thickness, sometimes
those having good coppicing behaviour are cut back to with forking on the main stem which results in heavy knot
develop new shoots for coppice rotation during the following formation and bending of main stem. Branch thickness and
two production cycles. In such cases, singling of shoots is crown development are under genetic control and some pop-
attempted a couple of months after harvesting to allocate tree lar clones especially those belonging to ‘S’ series form heavy
resources among the retained shoot(s) to develop them as the branches, while those of WIMCO 110, G48, WSL 22 etc.
next crop. These plantations are harvested, after two coppice have narrow crown with well-distributed thin branches on the
rotations, roots are dug out and removed to make fresh main stem. Pruning is, thus, repeatedly attempted in
plantations or sow agriculture crops. Main crop is harvested plantations by removing all less desired branches and even
at 4–5 years production cycles followed by two rotations of co-leaders to channelize the growth on the main stem to
3 years for each coppice production cycle. Trees are raised produce extra tradable log.
for longer rotation on forest land where there is a tendency of In melia, the pruning is done after first year growth by
taking one main crop and two coppice rotations. Roots from selectively removing multiple emerging shoots that form a
forest land on tree harvesting are hardly removed. Some trees whorl of branches at the top of the tree. This is performed
like clonal teak and shisham are managed under longer rota- either with a hook attached with a pole by gently pushing
tion to produce thick and quality logs. them or by cutting with pruning saw or secateurs. The prun-
ing is attempted during winter months to lift the crown of
trees. A detailed pruning protocol has been worked out for
26.7.3 Pruning poplar plantations (Fig. 26.6) (Dhiman 2012, 2014). Two
types of pruning, namely lateral pruning (Fig. 26.6a) and
Pruning is an essential tending operation for improving tree vertical pruning (Fig. 26.6b, c) are attempted on trees based
form and wood quality in plantations grown for timber pro- on their size and age. Lateral pruning is carried out on young
duction. It also helps in shaping the crown to face the wind trees to save trees from being lodged or broken with wind,
storm and avoid likely damage of breaking the stem or trees whereas vertical pruning for lifting the crown to a height size
getting dislodged with strong winds. Clonal poplar, melia and (30 cm girth) which produces tradable log. It is also carried
some others are currently grown for peeling logs for which

Fig. 26.6 Pruning in poplar plantations. (a) Lateral pruning to half cut formation on peeling logs, and (c) pruning co-leader to develop more
the lower branches to control crown spread, (b) vertical pruning for tradable logs on main stem
lifting the crown by removing lower branches to avoid heavy knot
26 Clonal Forestry 585

out to remove weaker co-leaders to allocate growth only on

the main stem for production of more saleable logs.

26.7.4 Harvesting

Most clonal plantations grown inside fields in agroforestry

are harvested by exposing the base of trees, cutting the
anchoring side roots with axes, and making the trees to fall.
These trees are also sometimes felled with the help of JCBs
which are used to excavate the side roots, and making them to
fall by pushing the trunk. Removal of most of tree roots with
this method helps to prepare the fields for sowing agriculture Fig. 26.7 CAI and MAI curve for D2H for 8 years rotation poplar
crops and/or making plantations in the following season.
Trees like eucalyptus, casuarina and leucaena grown for are now reported to grow four to six times faster compared to
pulpwood, MDF and paricle boards on both the foreet and those grown with seedlings from unimproved sources even at
farmland are, many a times, cut back to facilitate coppice half the rotation of 4 years compared to 8 years for the latter
shoot production to grow two subsequent coppice crops after one (Outreach 2019). Poplar under good conditions in agro-
the main harvest. The felled/fallen trees are then converted forestry grows at an average rate of 5 m in height and 5 cm in
into logs of standard length with cross-cut saws and power diameter annually. CAI and MAI for tree height culminate
chain saws, segregated into tradable lots, loaded on to trucks earlier than that for diameter growth (Dhiman 2012). The
and dispatched to market for sale the same day or by the next CAI and MAI curve for D2H (diameter × diameter × height)
day. Longer period between harvesting and sale of logs culminates at the age of around 3 years (Fig. 26.7). A very
reduces their weight by losing moisture resulting in lesser high timber (up to 15 cm diameter) productivity figure of
sale money. Immediate dispatch of wood of trees grown on 58.4 m3/ha/year is reported for poplar grown in agroforestry
farm land is, thus, preferred as it is sold by weight in most by Dhanda and Verma (1995), up to 58 m3/ha/year in case of
locations. Trees harvested on forest land, converted into logs, eucalyptus for pulpwood production (Kulkarni 2004) and up
segregated into tradable sizes are transported to depots, to 55.83 m3/ha/year for melia grown for timber by Kumar
staked in lots and auctioned to the highest bidder. The inven- et al. (2017). Kumar et al. (2017) further claim that each
tory in forest depots is maintained by volume. Singling of melia tree producing 0.10–0.25 m3 timber which when
shoots in coppice crops is attempted a couple of months of extrapolated to per unit area touches this productivity figures
harvesting when multiple shoots appear on the stumps. per hectare. E. urophylla-JKSC U283 clone has been
reported to produce 50–60 m3/ha/year pulpwood (Shukla
et al. 2018). These higher productivity figures may be con-
26.7.5 Growth and Productivity sidered as potential productivity obtained in some isolated
cases and under extremely well managed plantations. The
Growth and productivity of forest plantations including that average productivity of clonal plantations of most species
of clonal plantations are a function of multiple variables could be considered between 20–30 m3/ha/year.
related to plant, site conditions and their interaction. Plant- Good clones grow fast and give high productivity subject
site variables which affect growth and productivity include to best use of soil site conditions under good management. If
plant conditions like genotype; climatic conditions like rain- the same material is planted on less attended land with low
fall, temperature etc.; soil-site conditions like soil type, depth inputs, the productivity significantly declines. It has been
and its fertility, associated biotic and abiotic factors; manage- repeatedly noticed that poplar planted on forest land with
ment interventions like cultural, tending and thinning low inputs hardly grows during first year, whereas same
operations and land coordinates like latitudinal and longitu- material planted on farm fields getting high inputs grows to
dinal synchronizing with the native range geo-cordinates of 4–5 m in height in the first year itself. As a result, poplar
the species being planted. Clonal plantations with tested and planted on farm fields produces more timber at 6 years rota-
site matched clones under well prepared soil-sites on farm tion compared to almost half the volume by the same clone
land with best possible management interventions grow to planted on forest land at double (12 years) the rotation.
their optimum potential in most cases. This results in mani- Eucalyptus also shows similar performance on both the well
fold increase in growth and productivity of such plantations and poorly managed soil sites. Raina et al. (2011) reported a
on farm fields compared to those grown on wild lands with case of planting 430 plants on 2 acre farmland in Haryana and
low management prescriptions. Clonal eucalyptus plantations harvested 18 Mt/ha peeling logs when harvested at 8 years,
586 R. C. Dhiman

whereas growing eucalyptus for 8 years on forest land in origin versus clonal origin in fully grown trees are rarely
Kerala produced an average MAI of 6.432 m3/ha/year available in support or contradiction to this perception.
based on assessment of 571 plantations covering a total of Investigations on root systems in large sized trees have inher-
39,084 ha plantations (Chundamannil 2001) indicating a ent difficulty as they are in inaccessible depths inside soil. In
significant decline on site quality with low management. a resistant free-soil ecosystem, the roots grow and develop to
Poplar shows good growth and yield in locations near the their natural shape and form. Such an ideal condition is rarely
foot hills of the Himalayas and poor growth in locations away available in the underground soil profiles where a large
from it towards Bihar in east (Dhiman 2012) and other parts number of abiotic and biotic elements affect the shape,
of the country like Chhattisgarh and Maharashtra (Gogate form, spread, growth and development of roots. There is a
and Deshpande 1994; Mishra et al. 2004). direct correlation between tree size and its root system (Fayle
1968), and hence the root system grows, complements and
supplements aboveground parts, and also meets its functional
26.7.6 Root System role to provide stability to aboveground parts in a highly
complex manner. Root systems in trees are strongly
Root system of clonal plantations is invariably debated for its influenced by genetic and environmental factors (Sutton
form and spread inside the soil. It is argued that clonal trees 1969; Eshel and Waisel 1996). Root system of some clonal
do not form tap root with the possibility of its spread plantations has been studied. Kulkarni (2013) gave evidences
remaining near the ground surface compared to deep vertical of anchoring type root system in eucalyptus clonal
spread of seedling origin plantations. Shallow root system plantations of 1–4 years age (Fig. 26.8). Dhiman et al.
may not be a desirable character as such trees may easily get (2020) provided some evidences of vertical spread of root
uprooted due to wind and exploit moisture and nutrients from system in eucalyptus plantations. It did not differ between the
upper layers of soil by having shallow rootedness thereby trees of seedling (40 years old) and cutting origin (14 years
competing with other vegetation especially in agroforestry old) trees. Root system in clonal poplar plantations has a
system. The tap root originates from the radicle of horizontal spread with a few anchoring roots to support
germinating seed and is believed to have a tendency to aboveground parts. However, in locations of repeated
penetrate deep into the soil compared to adventitious root flooding, it tends to redevelop spreading root system near
system of clonal origin trees having a shallow rootedness the surface with additional silt deposition with repeated
inside the soil. The parallel studies on root system of seedling floods every now and then (Fig. 26.9).

Fig. 26.8 Root system of clonal

eucalyptus
26 Clonal Forestry 587

Fig. 26.9 Changing root system

in poplar with soil deposition
along river bed. (a) Original depth
of planted sapling, (b) after 1st
flooding (2nd year), (c) after 2nd
flooding (3rd year), (d) after
3rd flooding (4th year), and (e)
after 4th flooding (5th year)

the rate of vegetative growth and divert some resources

26.8 Clonal Forestry for Non-wood Products towards reproductive processes. The cloning through
grafting/budding of mature trees for reproductive products
Clonal forestry is making an overall impact in a number of has been increasingly attempted for establishing clonal seed
sectors. It is directly helping the wood-based industry in orchards. These have also been successfully attempted in
sustaining existence by ensuring wood production and supply breeding programmes of some trees in which branches bear-
and expansion in more wood-based units on increased wood ing reproductive buds are collected from selected mature
availability. Its other contributions are help in protecting trees, grafted/budded on already established root stock and
forests by diverting pressure to farm grown wood, increasing hybridization attempted among selected clones in the
forest and tree cover, better realization of the potential of land flowering season(s) when flowers appear on grafted shoots.
resource for productive purposes, enforcing some check on Of late, grafting/budding is effectively used in some wild
ever increasing wood imports, improving income of tree fruit or seed-bearing trees for developing clonal plantations
growers, enhanced revenue collection to states, self- for fruit/seed production. Clonal plantations of grafted
employment to numerous nursery growers and logistic Emblica officinalis, Terminalia chebula, Ficus species and
teams, diversification of agriculture to integrated land use; Syzygium cumini are now increasingly raised for early and
generating employment in nursery and plantation production, abundant fruit production. This approach is now further
wood harvest and processing etc. It is also providing a num- explored for seed yielding trees for biofuel generation.
ber of other indirect benefits, especially on farm land, through
soil amelioration by adding nutrients (Pathak and Gupta
1994; Thind 2004), amelioration of soil pH (Singh et al. 26.8.2 Clonal Forestry for Fruit/Seed
1997), reclamation of sandy river beds and stressed sites Production: A Case Study
(Dhiman et al. 2007), improving physical and chemical
properties of soil by addition of organic matter (Dhiman In India, many wild fruit trees have been used by people for a
2009) and acting as sink for atmospheric carbon (Gera et al. variety of purposes since ages. Some species belonging to
2006; Kulkarni 2013). In many countries, clonal forestry is genera like Ficus, Myrica, Emblica, Syzygium, Terminalia,
still considered as an emerging means for quality wood Pyrus, Prunus, Morus, Cordia, Sapindus, Aegle, Artocarpus,
production. Its use in India for other than wood production Punica, Annona, Diospyros, Pyracantha, Hippophae and
is discussed in the following section. some others have been preferred for fruit/seed production in
addition to wood and some other products. Many of them
remained unexplored for scientific, nutritional and trade
26.8.1 Wild Fruit Production values. Of late, some of them attracted the attention for
their improvement and growing their clonal plantations for
In trees, the vegetative and reproductive phases are well this purpose. A case study of Terminalia chebula (harad)
marked. Trees on attaining reproductive phase slow down clonal plantations is discussed below.
588 R. C. Dhiman

T. chebula is a large-sized forest tree growing up to 25 m connected with human sufferings related to allergy, respira-
in height and 2.5 m in diameter. The tree in addition to tion etc. This matter even attracted public interest litigation
producing quality wood for multiple uses is also highly (PIL) in Hon’ble J&K High court to stop poplar planting and
valued, in pharmaceutical and ayurveda industry for the felling all the existing trees those releasing poplar floss. The
high medicinal value of its fruits. Realizing its immense felling of poplar trees, once ordered by the Hon’ble Court,
social, anthropogenic, economical and medicinal value, was initially stayed and final judgment passed to plant
efforts were made to identify plus trees for fruit production poplars with only male clones to avert this menace. As
(Sharma et al. 1995) and till date eight clones have been such the problem is being effectively handled by promoting
selected, germplasm collected and preserved at different planting of only male clones in such locations (Dhiman
centres; some grafted on root stock and their clonal 2014). A large number of male clones have been supplied
plantations raised (Sharma 2021). Many of such plantations during the last one decade by Wimco Seedlings to J&K forest
are now producing fruits which are high in demand and department and research establishments which have been
generating lucrative returns to its growers. Grafted plants multiplied in large numbers for planting on such sites.
start producing good size fruits from the 4th year onwards
(compared to 10th year in wild trees) and expected to con-
tinue up to 40th year. Economic analysis made from a 26.8.4 Rehabilitating Sandy Riverbanks
12-year-old plantation (8 × 8 m spacing) in the College of
Horticulture and Forestry, Neri, Hamirpur, H.P. by consider- Indo-Gangetic plains are subjected to repeated and heavy
ing a net return at 10% rate of interest shows very promising floods during monsoon rains almost every year. Such floods
results (Singh et al. 2021). Returns from the fifth year fruit cause heavy losses to property and lives by submerging land
sale were Rs. 9600, which increased to Rs. 18,500 by sixth and eroding soils around riverbanks. Cost-intensive
year, Rs. 32,000 by seventh year, Rs. 60,000 by eighth year, engineered structures are raised along banks every year to
Rs. 82,000 by ninth year and Rs. 202,100 by tenth year. B:C avert flood threats. However, such structures are washed
ratio worked out to be 1.41 and 2.93 for fifth and tenth year away following heavy floods and are not a permanent solu-
respectively. Some of the clonal plantations of this tree on tion to this problem. Indian Council of Forestry Research and
farmers’ fields are now generating up to Rs. 200,000/ha/year. Education (ICFRE) has been entrusted with the task to pre-
from the sale of fruits alone (Sharma 2021). These figures pare detailed project reports for the major Indian rivers
clearly establish that grafted harar clonal plantations are now through forestry interventions (ICFRE 2019). These reports
a successful venture. The trees on final felling, when fruit are detailing the importance of forestry including agrofor-
bearing declines, would provide additional income from estry to be incorporated for actions to avert the high pollution
wood. The returns from sale of fruits are available each load and floods in these rivers and their catchment areas.
year compared to one time returns from wood harvest from While, the forest land, around such rivers being government
other trees grown for that purpose. Clonal plantations of other controlled and could be effectively treated by government
wild fruit trees like Emblica officinalis (Singh and Singh agencies, the real challenge is to tackle the private land
2016) and Syzygium cumini (Sekhar et al. 2015) have also belonging to individuals. Any strategy needs to incorporate
been found high-yielding from early ages and providing support from local farming community to get them engaged
handsome income to growers. New clones of wild fruit in forestry and agroforestry activities for a long-term solu-
trees like Sapindus mukorossi (soapnut) and Cordia myxa tion. Vegetative barriers, including plantations, along
(lasoora) have now been selected and their clonal plantations riverbanks are more stable than engineering structures in
are being developed and tested for economic feasibility averting such threats. An attempt was made to rehabilitate
(Sharma 2021). riverbanks of Gola River that flows through Udham Singh
Nagar in Uttarakhand (Dhiman et al. 2007).
A sequence of rehabilitating the riverbank of Gola River,
26.8.3 Ecological and Environmental Purposes which is a tributary initially to Ram Ganga and subsequently
to River Ganga in Uttarakhand, was attempted with clonal
26.8.3.1 Averting Floss Menace poplar along with intercropping of vegetable and fruit crops
One of the potential negative impacts of clonal forestry by during the first 2 years after planting is depicted in Fig. 26.10.
planting selected clones is being currently realized in The sequence includes making of trenches in pure sand
Kashmir valley and other hill cities where poplars have before winter, filling them with good manure (organic mat-
created an environmental crisis by releasing massive floss ter), erecting saccharum (cana) thatch on northern side of
with seed that remains suspended in the air for some time on trenches to protect germinating seedlings from winter frost,
release from female trees. This is also sometimes referred as planting poplar saplings at appropriate spacing, levelling the
white floss storm and is inadvertently claimed to have thatches on the ground to provide mulching once the
26 Clonal Forestry 589

Fig. 26.10 Rehabilitation of Gola Riverbanks with clonal poplar. (a) soil inside plantation, (d) stabilized riverbanks with poplar plantations
Vegetable/fruit crop production in trenches made on sandy river bed, (b) and (e) knee height soil deposit just after receding the water
crops and poplar growing together, (c) flooded water leaving debris and

Table 26.2 Average crown size of poplar trees under 5 × 5 m spacing

Age Crown diameter Crown cover/tree Cumulative crown cover % with No. of trees required for making 10% crown
(years) (m) (m2) 400 trees/ha cover
1 2.6 5.31 21.24 190
2 3.2 8.05 32.22 124
3 4.1 13.21 52.84 75
4 5.0 19.64 78.56 50
5 5.5 23.77 95.08 42
6 5.8 26.43 105.72 37
7 6.0 28.29 113.16 35
8 6.4 32.18 128.72 31

vegetable plants attain reasonable size and start bearing fruits 26.8.5 Improving Area Under Forest and Tree
and allowing the trees to grow after harvest of vegetable and Cover
fruits like pumpkin and water melon. Since this activity is
taken on pure sand, only selected poplar clones mainly, WSL Clonal forestry when practiced with fast grown species
81, WSL 83, WIMCO 109 and a few others, could grow results in quick expansion of crown which covers the ground
better than other commercially grown clones. This in addition and attains 10% crown cover for being qualified as forest as
to stabilizing riverbanks also generated money from sale of per the regulatory parameters fixed for the definition of forest
vegetables/fruits and poplar trees on their harvesting (Table 26.2). For example, around 190 poplar samplings per
(Dhiman 2023). ha in blocks, rows or boundary fields attain this limit of 10%
590 R. C. Dhiman

crown cover in the first-year growth itself and such areas are worked out for most of them; yet, operational level
picked up as forest cover in biannual inventory monitored by plantations of these species have not picked up in the country.
the Forest Survey of India (Dhiman 2005). A large acreage However, clonal plantations of some of them like teak are
under clonal plantations is indirectly helping in protecting widely raised in other countries. There is a need to recognize
natural forests by diverting pressure on them and hence indigenous tree resources in clonal forestry for which long-
serving a great environmental purpose. term tree breeding programmes integrated with developing
vegetative propagation techniques should be taken up.
Many clonal plantations are now harvested much earlier
26.8.6 Others before they enter reproductive stage. They, therefore, do not
interfere with native species even if they are having a threat to
Some trees especially eucalyptus are increasingly planted in cross breed with natural populations. The long-term clonal
waterlogged areas particularly along the water canals where trials of such trees need to be avoided around the habitat of
water seepage and stagnation make such lands unsuitable for native species as there may be a genuine threat of interfering
agriculture and other productive land use. With increased with genetic resources of native species. We have already
availability of multiple clones, many of them are now planted recorded some evidences that some of the poplar clonal trials
to uptake excessive water from upper layers of the water established long back in hills produce natural hybrids with
saturated soils with their shallow rootedness restricted to a native species.
couple of metre below ground (Outreach 2019; Dhiman et al. Unpredictability of clones especially for developing sus-
2020). This way, the clonal trees with fast growth are helping ceptibility to diseases and insects of both native and invasive
in draining out excessive water from upper layers and pests, years after their deployment in production systems, is
reclaiming such land for other productive uses. There were one of the serious problems in clonal forestry. Epidemic
also large-scale reclamation of coastal areas with planting spread of gall insect Leptocybe invasa on eucalyptus, large-
Casuarina clonal and seedling plants (around 90% scale spread of stem canker and leaf blight on certain euca-
casuarinas) after 2004 tsunami between villages and sea. A lyptus clones and epidemic infection of Bipolaris maydis on
large number of clones tested on stressed sites lead to screen- poplar G3 clone during mid 1990s are a couple of examples
ing many of them specifically for black, red, alkaline and that lead to removing many useful clones out of production
saline soils, sandy river beds, wet and semi dried locations system. These clones developing susceptibility to such
which could now be used for early reclamation of such sites insects and diseases after many years of regular culture are
with fast growth of trees. a real concern for losing useful genotypes and also for pre-
With the first Forest Stewardship Council Forest Manage- mature harvest of infected plantations. The country needs a
ment (FSC-FM) certified project for pulpwood plantations by long-term strategy for not losing such valuable clones.
ITC during 2009, many such projects were initiated mainly Most clones used initially in clonal forestry were selected
by the wood-based industry using clonal and seedling plants. and shortlisted for growth and productivity from forests,
ITC is currently growing over 1 lakh ha under FSC-FM plantations and field trials. Some clones recently developed
certification which mainly has eucalyptus clonal plantations. through controlled crosses and introduced in plantation for-
This indicates that clonal plantations are now raised as per estry are also selected based on mainly growth and produc-
international norms and responsibly managed to protect the tivity. Many of them were tested and shortlisted for
natural forests following all possible regulations. Poplar cul- production for different sites and product manufacturing.
ture in India is estimated to sequester approximately 3 million Breeding and production of new tailor-made clones for spe-
tonnes of carbon annually in plantations (Dhiman 2009). cific sites and products from long-term breeding programmes
specially targeting for incorporating wood traits suitable for
quality and specific product manufacturing are yet to be
26.9 Way Forward started in the country.
Our clonal forestry drew inspiration from poplar
Around 270 commercial timber tree species are found in plantations raised by safety match industry in Sweden and
Indian forests, out of which 30 are of outstanding forestry eucalyptus plantations raised by paper industry in Brazil and
value. However, we have been using only a few of them in Congo. These countries still have long-term breeding
production forestry including clonal forestry. The current programmes well integrated with clonal forestry. The conti-
clonal forestry is largely based on exotics like eucalyptus, nuity of old tree breeding programmes of some species is
poplar, leucaena, casuarina and a few others. Some Indian presumably under pressure as next-generation plantations are
species like teak, gmelina, neem and sandalwood are now now being encouraged with seed origin planting stock rather
increasingly planted in many other countries for their quality than with already proven clones of some species. Our huge
wood production. Vegetative propagation methods have been economy is based on these plantations and the very
26 Clonal Forestry 591

sustenance and survival of wood-based industry are exposed sale price. The price of planting stock varies widely based on
to a very high risk. Long-term tree breeding programmes in species, propagation method used, brand name and locations.
most research institutions suffer due to difficulties like inade- For example, the market sale price of poplar saplings ranged
quate funding and continuity of trained personnel. Private between Rs. 8 and 36 per sapling in the 2020–21 planting
sector will only support such a programme till it makes season in north India. The actual cost of production varied
economic sense to their business. It is timely that the country between Rs. 7 to 15 per sapling. Tissue culture plants of some
takes a call, review the old work, plan long-term tree breeding species (like teak) are sold at a very exorbitant price by some
programmes and integrate them with clonal forestry using the producers, though they are not performing well in plantations
latest adaptive research followed in some countries to sustain as per existing experience. Similar to ensuring the deploy-
the activity. For example, Pinus radiata in New Zealand has ment of only tested clones, the cost of the clonal plants also
an advanced tree improvement programme and its over 60% needs to be regulated to make them accessible and affordable
plantations are reportedly of clonal origin. The limited seed to all tree growers particularly farmers of smallholding.
produced through control crosses in clonal seed orchards, is
grown to seedlings, stool beds established for produc-
ing cuttings used for multiplication in large numbers from 26.10 Conclusion
genetically improved seed. Of late, the country is effectively
using somatic embryogenesis to mass multiply clones from There are many arguments advocated in favour and against
immature and mature embryos produced from controlled the practice of clonal forestry. Many of the claimed threats
crosses. With every passing day new techniques and methods may be true and could be effectively managed by developing
are opening up new avenues in clonal forestry. It is essential additional scientific knowledge to find workable solutions to
to catch up such developments and apply some of promising overcome them. Clonal forestry is proved to offer numerous
ones in programmes implemented at operational scale. short-, middle- and long-term advantages (Libby and Rauter
The true potential of clonal forestry can be realized by 1984; Carson 1986; Burdon 1988, etc.). Some of the signifi-
deploying some unique, tested, proven and reliable clones. cant and meaningful achievements of clonal forestry, in
The published reports, so far, mention around a 1000 clones Indian perspective, have been the realization of many of the
of different species developed by various private and govern- claimed short-term advantages. The arguments in favour of
ment sector research establishments in the county. Practi- its culture on operational scale weigh far higher than against
cally, around three dozens of them find space in plantation it and are the basic reasons for its rapid expansion. There is a
forestry. There is a need for a well-established protocol for very high participation of local farming community and
releasing of tested clones and preventing any inferior/ private sector in making it successful. Participation of forest
untested clone reaching the market. departments and forest corporations is fast increasing to
The experience gained on clonal forestry has so far largely realize its true potential by expanding its culture on forest
been from productive farm land with high input and better land. There is an increasing realization that the conventional
cultural operations. The practice has not expanded with same production forestry of seedling origin is now in transition
rate and zeal to low productive land especially on degraded phase to clonal forestry. Use of biotechnological tools includ-
land which is huge in acreage and holds high potential for ing developing and exploitation of genetically engineered
expansion. The next revolution is needed on this land use. trees in clonal forestry appears to be a reality now. The
Clonal forestry exploits the existing genetic makeup of current need is to move aggressively in scientific pursuits
selected clones as they are mass multiplied through asexual and cautiously in its expansion especially with new biotech-
reproduction and as such is accused for being dead end to nological products like genetically engineered trees with their
breeding. Biotechnological tools are now increasingly used rigorous and constant monitoring and evaluation of newly
to create new genotypes including genetic engineering or by developed products and methods.
creating somaclonal variation. Our experience with
micropropagated poplar and a few other trees has not been Lessons Learnt
good both in exploiting these techniques for mass multiplica- • Clonal forestry is highly beneficial if adequately
tion and for creating favourable variation for developing new supported with tree improvement programme. The genetic
clones. potential of improved source material could effectively be
Adoption of large-scale clonal forestry of fast-growing utilized by cloning. The genetic gain in clonal forestry has
species especially on farmlands has demonstrated that the been high with highly improved genotypes.
practice has been economically remunerative to even small • In India, clonal forestry occupies a significant space in
growers who intentionally diversified their cropping system. agroforestry where thousands of farmers grow multiple
Over the years the production costs have been significantly clones of some select trees. A couple of pest epidemics,
increased which could not keep pace with realization of wood namely gall wasp infection on eucalyptus and leaf blight
592 R. C. Dhiman

on poplars could eliminate a couple of susceptible clones, Eucalyptus. In: Walter C, Carson M (eds) Plantation forest biotech-
yet a large number of other available clones readily nology for the 21st century. Research Signpost, Kerala, pp 303–333
Bishir J, Roberts JH (1999) On numbers of clones needed for managing
substituted them to sustain the commercial clonal forestry. risks in clonal forestry. For Genet 6:149–155
• The method used for cloning is specific to the end use of Bolstad PV, Libby WJ (1982) Comparison of radiata pine cuttings of
the plantations for which the planting stock is produced. hedge and tree-form origin after seven growing seasons. Silvae
For example, timber production encourages use of the Genet 31:9–12
Bonga JM (1982) Vegetative propagation in relation to juvenility,
juvenile vegetative propagules and those raised for fruits/ maturity and rejuvenation. In: Bonga JM, Durjan DJ (eds) Tissue
seed use mature vegetative propagules for production of culture and forestry. Nijhoff, Boston, 420 p
planting material. Bonga JM, Durzan DJ (1987) Cell and tissue culture in forestry, General
• There is space for integrating clonal forestry with principles and biotechnology, vol 1. Martinus Nijhoff Publishers,
Dordrecht
improved seed production. Hybrid seed produced by Bosela MJ, Ewers FW (1997) The mode of origin of root buds and root
making controlled crosses could be fast multiplied by sprouts in the clonal tree Sassafras albidum (Lauraceae). Am J Bot
cloning juvenile seedlings for meeting the large demand 84(11):1466–1481
of improved planting material. Burdon RD (1982) The role and optimal place of vegetative propagation
in tree breeding strategies. In Proc. IUFRO joint meeting working
• The potential of clonal forestry has been adequately parties genet breeding strategies including multiclonal varieties,
realized for increasing the productivity of short rotation, Sensenstein, 6–10 Sept 1982
fast growing trees outside forests. It is yet to be realized in Burdon RD (1988) When is cloning on operational scale
many other tree species like timber yielding species appropriate? In: IUFRO meet breeding tropical trees, Pattaya,
Thailand, pp 9–27
widely grown on forest land. Burdon RD, Aimers-Halliday J (2003) Risk management for clonal
forestry with Pinus radiata—analysis and review. 1. Strategic issues
Key Questions and risk spread. N Z J For Sci 33(2):156–180
1. What is the safe number of clones for averting danger of Carman N, Langelle O, Perry A, Petermann A, Danna Smith JD, Tokar
B (2006) Ecological and social impacts of fast growing timber
epidemics due to narrow genetic base of clones used in plantations and genetically engineered trees. Dogwood Alliance.
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 Part V
Tree Improvement and Biotechnology
 Tree Improvement for Enhancing Productivity
of Plantation Forests 27
Ashok Kumar and Anchal Rana

Abstract increase further with a higher rate of literacy, liberalization

In order to enhance productivity of planted forests in a of economic policies and advancement of technology utiliza-
short period, it is essential to adopt tools of genetic tion. Meeting the wood demand is further affected by the
improvement followed by commercial deployment of lower productivity of Indian forests of 0.045 m3ha-1 year-1
improved planting material to harness maximum gain. compared to the world average of 2.1 m3ha-1 year-1 (FAO
The improved planting stock will not only increase the 2009). Due to various restrictions, natural forests supply as
growth and productivity but will also influence survival, low as 3.175 million m3 of wood annually whereas trees
disease resistance and wood quality. The existing varia- outside forests (ToF) contribute 44.34 million m3 of wood.
tion in the wild plays a crucial role in screening trees with It is therefore essential that different afforestation and refor-
desirable characteristics, as it is the platform for other estation activities are carried out only with genetically
components of the improvement cycle, namely breeding improved planting material coupled with good silvicultural
populations, propagation populations and production practices. Short-rotation forest tree species like Acacia, Casu-
populations. One of the most important strategies would arina, Eucalyptus, Gmelina, Melia, Populus and others have
therefore be to deploy only commercial clones in produc- great potential in bridging the gap between demand and
tion populations for increasing productivity and economic supply.
gain. The approaches of genetic evaluation and testing A tree improvement/breeding programme primarily
will be of immense use in the operationalization of com- consists of the selection of phenotypically superior trees
mercial forestry. It is essential to subject the selected and assembling them in breeding populations, promoting
germplasm to multilocation testing (MLT) before mating among selected individuals to get recombination of
deploying them in commercial forestry to ensure high desirable genes, mass multiplication of improved planting
adaptability and productivity. materials and maintaining a broad genetic base for advanced
generation breeding. Maximum gain can be achieved by the
Keywords judicious deployment of different types of planting stock
derived from selected trees in operational forestry
Plus tree · Progeny trial · Multilocation testing · Herita- programmes. Most of the tree improvement programmes
bility · Wood genetics have objectives similar to the ones given below:

(a) Genetic improvement in terms of fast growth, stem form

27.1 Introduction and better wood quality to increase plantation
productivity.
The ever-increasing population and rapid decrease in the (b) Practising recurrent selection to increase genetic gain
forest cover are creating environmental, ecological and eco- across generations.
nomic disturbances and irreversible consequences. The trend (c) Maintaining a broad genetic base for continued
of higher annual wood consumption (68.9 million m3) than improvement over many generations.
supply (47.51 million m3) reported for the year 2020
(Kulkarni 2020) is continuing. The demand is likely to

A. Kumar (✉) · A. Rana

ICFRE-Forest Research Institute, Dehradun, Uttarakhand, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 597
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_27
598 A. Kumar and A. Rana

27.2 Variability in Base Population genetic improvement, provided they originate from known
seed sources. The search for superior trees should focus on
The success of a breeding effort largely depends on the extent stands and plantations exhibiting average to superior
of variation present in the wild. If the variability present for characteristics in growth, stem form, pruning ability, bole
target traits is low, the expected genetic gain through breed- straightness, branch angle and other important traits.
ing would also be low. But generally, a large amount of Before selection, it is crucial to gather information about
variation exists for most of the economically important the adaptability and other qualities of the seed source used to
characters among different forest tree species. Zobel and establish the plantations. As a general guideline, individuals
Talbert (1984) suggested that there could be three main should not be chosen from plantations originating from seed
causes for differences among the trees: (a) the differing sources known for poor adaptability. The selected trees
environment in which trees are grown, (b) genetic differences should be reproductively mature and have reached at least
among the trees and (c) interactions between genotypes and half of the rotation age. However, caution is necessary to
environment. Genetic variations when predictable, are useful avoid selecting over-matured trees or those that have
for tree breeders, whereas the random ones are difficult to be surpassed the rotation age.
employed in tree improvement programmes. In forest trees, Selecting trees should be avoided from stands that have
the existing variation can be grouped into geographic sources undergone logging for poles, piling, grading or thinning for
such as provenances, stands, sites and races. Geographic such purposes. In addition, it is advisable to steer clear of
variations often impact traits like survival and adaptability stands with impure species compositions whenever possible.
(e.g., drought/cold hardiness); however, for economic gain, There is no specified minimum size for a stand or plantation
traits like individual tree variability, growth parameters, stem in which a potential candidate tree is to be identified. Never-
straightness and wood-specific gravity have greater theless, the size should be sufficient to locate the necessary
importance. minimum number of comparison trees in addition to the
candidate tree. To reduce the risk of choosing candidate
trees with shared descent, it is recommended to select only
27.3 Selection of Plus Trees one tree from any small natural stand. This restriction, how-
ever, does not apply in the case of plantations.
The selection of plus trees (Fig. 27.1) is to be carried out in a
base population possessing a wide genetic base. Advanced
generation selection is carried out in populations that are 27.4 Selection Methods
raised from genetic tests. Intra- and inter-family selections
are usually made to choose superior individuals for The methods that are generally used for the selection of
advanced-generation breeding programmes. The wild phenotypically superior trees under different situations are
populations and natural stands or unimproved plantations mentioned below:
are used to select first-generation plus trees. Comparison tree method: This approach, also referred to
For the selection of superior individuals, there are two as the point grading method, involves comparing a candidate
main kinds of forest stands generally used in the first- tree with a minimum of five reference trees based on various
generation selection system. characteristics considered for selection. Points are allocated
Selecting individuals from a foundational population is to the candidate tree for each character accordingly. In this
advantageous in addressing the phenotypic effects influenced method, certain traits such as height, clear bole height and
by an individual’s genes. In stands of the same age consisting diameter at breast height are quantitatively measured on both
of a single species, responses are predominantly driven by candidate and reference trees. Meanwhile, subjective scoring
genetic factors, preventing confusion with age-related effects based on visual observations is applied to characteristics like
in traits such as growth, form, disease resistance and adapt- branching habit, apical dominance, crown formation and
ability. Trees in such stands experience conditions similar to pruning ability in relation to the reference trees. Bole straight-
those encountered in commercial plantations where improved ness, disease and insect incidence are subjectively scored
planting stock is used. exclusively on the candidate tree.
Plantations featuring uniform age, spacing and cultural Observations on economically important traits are
practices are considered ideal base populations for selecting recorded for both candidate and reference trees. The refer-
individual trees. The absence of intense competition in these ence trees, which are the next best in the vicinity of the
settings enhances the prominence of genetic effects (herita- candidate, must possess dominant or co-dominant characters
bility). Consequently, plantations are favoured over natural similar to the candidate tree. The same method employed for
stands for identifying superior trees in the initial stages of selecting the candidate tree is used for choosing reference
trees. These reference trees may be located at varying
27 Tree Improvement for Enhancing Productivity of Plantation Forests 599

Fig. 27.1 Plus trees of Gmelina arborea (left) and Eucalyptus tereticornis (right)

distances from the candidate, typically reported as 25–50 m. analysis of tracheary elements and fibre length, if included
Reference trees must be selected in a site and under environ- for selection, a larger core of about 8–10 mm in diameter
mental conditions similar to or better than those of the candi- should be taken. This comparison tree or grading method is
date tree. If the candidate tree is on sloped land, reference suitable for selecting plus trees in timber-yielding species.
trees should also be selected on a similar contour. The criteria for selection and the relative importance assigned
Certain traits like plant height, clear bole height and diam- to different traits may vary depending on the breeding objec-
eter at breast height are objectively measured for both candi- tive and the species undergoing improvement. The impact of
date and reference trees. Conversely, subjective scoring is meticulous visual selection alone is substantial, but when
applied to traits such as bole straightness, disease and insect conducted scientifically, the improvement becomes signifi-
resistance, pruning ability, flowering and fruiting and crown cantly positive and noteworthy (see Figs. 27.1 and 27.2).
formation. Candidate trees can also be scored based on their Regression method: This approach is employed to
percent superiority over the average of reference trees for choose individuals in stands with uneven age distribution or
important quantitative characters. In later stages, wood traits a mix of species. The procedure involves creating a regres-
may be considered for evaluating candidate plus trees. sion line by plotting recorded observations of economically
Trees found to be infested with serious diseases or insects significant traits against the age of the tree. A regression
should not be selected. For analysing wood characteristics, a curve is established for height or volume, typically utilizing
2 mm bark-to-bark increment core is extracted. For the data from 50 trees. Occasionally, determining the age can be
600 A. Kumar and A. Rana

Fig. 27.2 Gains obtained

through selecting candidate and
plus trees from the base
population

challenging, especially when some species lack distinct 3. Selection indices method: The development of selection
growth rings. Regression lines are constructed for each trait, indices is a challenging task that demands a comprehen-
stand and region. sive understanding of the economic value of traits, along
The selection or rejection of a candidate tree is determined with knowledge of the genotypic and phenotypic
by its position on the regression line. If the candidate tree falls covariances associated with these traits. When informa-
within a specified distance on the regression line, it is tion on these aspects is available, selection indices can be
selected. Conversely, if the trait value falls below the mini- formulated for choosing plus trees. The individual traits
mum acceptable level, the tree is rejected. are amalgamated into a score or index and selection is then
Base value method: The base value method is applied in applied to the index as if it were a single trait. The index is
uneven-aged stands for traits that are minimally influenced by derived through a multiple regression equation.
environmental factors, including age differences among
trees. This is due to the robust genetic control of For two traits, X and Y, the index appears as I = Px + WPy,
characteristics such as stem straightness, branching habit, where I represents the index used for choosing individuals,
disease resistance, and wood density. A base value, W is a factor by which the phenotypic value of trait Y is
representing the average value for these traits, is established multiplied and Px and Py are phenotypic values measured as
for each stand. The values of candidate trees for various traits deviations from the population mean. Despite being a com-
are then compared and a candidate tree is either selected as a plex method, selecting plus trees through this approach is
plus tree or rejected based on these comparisons. highly effective as it incorporates both genetic information
Individual tree method: In this approach, the candidate and the economic value of a trait. However, the use of a
tree is assessed and selected without comparative evaluation. selection index without proper assignment of economic
However, the effectiveness of this method is limited since it weights can lead to erroneous selection of individuals.
fails to account for the confounding effects of both the
environment and genetics in character development. There
are three variations of this method described below: 27.5 Marking and Numbering of Trees

1. Total score method: The scores assigned to different Once comparison trees and candidate trees are located, the
traits are aggregated and the total score serves as a guide candidate tree is marked by a band of yellow paint at breast
for selecting or rejecting a candidate tree. Trees with the height. After grading, a second band of yellow paint or a plus
highest scores are chosen as plus trees. (+) sign is marked on the candidate tree. The selected plus
2. Independent culling method: Minimum standards are set trees are also given registration numbers by denoting the
for each trait and a candidate tree is selected as a plus tree name of the state, name of the locality and serial number of
only if it meets these predetermined standards for every the trees. For example, in the name of a teak plus tree MHAL-
trait; otherwise, the candidate tree is rejected.
27 Tree Improvement for Enhancing Productivity of Plantation Forests 601

1, MH denotes Maharashtra state, AL denotes the locality tion as parents, the progeny test (Fig. 27.3) facilitates the
Allapalli and 1 (one) denotes the plus tree number. identification of different clones or parents with high
general combining ability (GCA).
• Progeny and clonal tests are used for estimating genetic
27.6 Categories of Trees parameters other than breeding value including heritabil-
ity, genetic advance and correlations among the
The selected plus trees form the base population of a first- characteristics. With the knowledge of these parameters,
generation breeding programme and are used for establishing the effectiveness of the selection methods used for the
first-generation seed orchards. After progeny testing, they are improvement of different characteristics can be estimated
used in the establishment of an advanced generation produc- properly.
tion population and form a part of the germplasm collection • Selections made through progeny and clonal testing
and breeding population. Progeny-tested trees (elite trees) always record higher gains than that of the selections
with complementary characteristics are used as parents in made from the plantations. Progeny and clonal tests are
the controlled breeding. In view of the multipurpose use of also very useful tools for making strategies for further
plus trees, utmost care should be taken to select them. multi-generation tree improvement programmes, and
through these tests desired individuals will be selected
• Candidate plus tree: The tree is chosen for evaluation and established in advanced generation seed orchards.
based on its favourable phenotypic attributes, such as • Progeny and clonal tests are integral parts of the manage-
superior growth, good form and better wood quality. ment of seed orchards. The first generation of seed
However, it has not been compared with other superior orchards, which have already been established, need to
trees (check trees) for the final selection process. be upgraded for quality seed production by culling inferior
• Comparison or check tree: The tree is used for compari- clones or progenies. This can only be done when all the
son with the candidate plus tree, situated in the same stand, clones or progenies are tested/evaluated properly.
nearly the same age and growing on the same or better site. • The trials established for progeny tests can easily be
These trees are considered the next best in comparison to converted into seedling seed orchards for quick mass
the candidate tree. production of quality seeds by rouging out inferior
• Select, superior, or plus tree: This tree has undergone families. Only the superior trees within desired families
comparison and selection and is recommended for inclu- are retained and allowed to inter-breed to produce quality
sion in production and breeding populations. However, it seeds.
has not been tested for its genetic merit. • Trees are long-lived and therefore a trial for the required
• Elite tree: This is a plus tree identified as genetically length of time needs to be established so that the actual
superior through progeny testing (genetic testing). Such trend for different characteristics among families is prop-
a tree is highly desired for use in a breeding programme erly determined. However, knowledge of the nature of the
and for mass-producing seeds and vegetative propagules. relationship between juvenile and mature growth stages
helps in deciding the duration of the field trial. Where such
information is not available, it is desirable that progeny
27.7 Progeny and Clonal Trials and clonal trials are designed for longer duration so that
both the trend of characteristics and juvenile-mature cor-
Progeny and clonal trials are an essential part of the tree relation are estimated.
improvement programme as they help in assessing the extent • The high potential of clonal forestry is now well
of genetic control over the desired characters. Important recognized, particularly for species like Eucalyptus and
issues are detailed below: Casuarina. However, the success of production forestry
mainly depends on deploying clonal planting stock that
• Mass selection is carried out purely based on phenotypic has been adequately field-tested. Field testing ensures the
values and does not guarantee breeding value as a parent. availability of information about the comparative perfor-
However, progeny and clonal tests enable the evaluation mance of different genotypes, variability, assessing geno-
of the performance of selected trees for their breeding type × environmental (G × E) interaction, estimating
value. quantitative genetic parameters and demonstration of
• Since the objective of any breeding programme is to potential in production forestry. The genetic worth of an
develop individuals that have desired genotypic constitu- individual line can only be assessed through genetic test-
602 A. Kumar and A. Rana

Fig. 27.3 Progeny trial of

Gmelina arborea (above) and
Tectona grandis (below)

ing in the field. In genetic testing, it becomes imperative to components of inheritance. Progeny trials are extremely use-
test the progeny of selected materials (trees/parents) to ful for providing information on the half-sib performance of
evaluate genetic differences among the progenies. The various genotypes used in production forestry and establish-
phenotypic value (P) is the sum of genetic effect (G) and ment of seed orchards. It also proves valuable in evaluating
the environment in which it is grown (E) and described as: the offspring of a set of parents or their crosses to provide
estimates for various genetic parameters, including heritabil-
P=G þ E ity and genetic advancement. These genetic parameters serve
as crucial tools in predicting the anticipated gains from prog-
Seeds of forest trees are used for afforestation eny trials. The variability among progenies commonly serves
programmes, which usually come from different sites with as an estimate for total genetic variation and is employed to
diverse environmental conditions. To select genotypes that determine the degree of genetic control over specific traits
can be used successfully in such diverse conditions, progeny (Hood and Libby 1980). Likewise, among progenies and
tests need to be carried out in different environments to test clones, covariance estimates between traits can offer insights
G × E interactions. G × E interactions are used to measure the into the genetic correlation between these traits (Foster 1986).
relative performance of inconsistency over the environments. Even though the selection of plus trees involves high selec-
It is also necessary that field tests be conducted over the years tion intensity, it is essential to estimate genetic superiority
and environments, particularly for characters that show large itself through analytical tools such as heritability and genetic
year-to-year variations such as growth and resistance to advancement.
diseases and pests. The results of such trials will help the Genetic divergence studies are essential to determine the
breeders select and recommend the best progeny or genotype genetic distance among the selected genotypes for
for large-scale deployment on regional and national bases. establishing clonal/seedling seed orchards of diverse
Progeny tests are established either by using open- genotypes. After obtaining information about genetic dis-
pollinated seed from plus trees through which additive gene tance, genetically diverse progenies and clones can be
effects are estimated or from controlled pollinated seed which planted in such a way that it facilitates cross-hybridization
gives information both on additive and non-additive among the genotypes, which will provide quality seed with
27 Tree Improvement for Enhancing Productivity of Plantation Forests 603

good hybrid vigour. Estimation of broad sense heritability for and productivity of the clone functions for the trait(s) of
various characters in Casuarina equisetifolia showed that interest and environment(s) in which the clones are tested
heritability for height was the highest (86.85%) followed by and grown is known. The following important factors need to
main bole volume (85.96%) (Kumar 1996). Nelson and be considered for successful clonal forestry:
Tauer (1987) reported moderate clonal heritability (broad
sense) in poplars for juvenile traits like height, diameter,
growth and leaf size. However, narrow-sense heritability 27.8.1 Number of Clones per Location
estimates for individual growth components are widely used
in open-pollinated breeding programmes as a measure of As clonal forestry attracts increasing interest and begins to
additive genetic variance components. These estimates usu- gain wide acceptance, the safety aspect is becoming a major
ally focus on the selection of those traits that have a positive concern to researchers and managers. The approach to
genetic response at reasonable selection intensity. finding a solution to disasters like epidemics is to prescribe
The estimates of heritability and genetic advancement are a minimum number of clones per location (Hedstrom and
ideal once the log phase starts. However, estimates at early Krutzsch 1982). Heybroek (1978) reported that in large
stage can serve as a pointer to be compared with the results crowned and long-lived organisms like trees, rules may be
obtained at later stages and also to establish genetic correla- different from those that govern the race between pathogen
tion. This type of study would perceptively determine epidemics and host harvest in short-rotation plants like wheat
whether genetic analysis at an early stage is reliable. Wright and barley. Libby (1987) developed three general guidelines
(1976) noted that in clonally propagated plants, heritability for a minimum number of clones per location: (i) a mixture of
would be a more appropriate estimate since any combination a large number of clones is as safe as a mixture of genetically
of genetic factors obtained can be maintained by clonal diverse seedlings, (ii) a mixture of a few clones is not safe, in
propagation. Borges et al. (1980) studied the heritability of fact, the mixture of 2–4 clones is often worse than monoclo-
diameter at breast height (DBH) in 124 half-sib families of nal deployment and (iii) a mixture of 7–20 clones is as safe as
Eucalyptus grandis at 18 and 30 months and stated that the large number of clones.
values varied from 0.37 to 0.59. The heritability of wood
density and number of shoots per seedling in the young
progeny of Eucalyptus citriodora were estimated to be 0.91 27.8.2 General Purpose and Interactive Clones
and 0.73 respectively (de Almeida et al. 1981).
It is reported that the overall test may record a large and
highly significant clone-by-location interaction. However,
27.8 Multilocation Testing when the performance of the clones is analysed individually,
it is found that the relative rank of many clones stays approx-
Multilocation testing (MLT) for genetic evaluation of various imately constant in many of the test locations. Further, the
genetic materials needs to be carried out in diverse agroeco- ranking of some of the clones may change with regard to
logical regions to facilitate the screening of elite genotypes. growth performance from location to location. This leads to
Some of the genotypes may do well in many of the ecological two contrasting selection and deployment strategies: firstly,
regions whereas others may do so only in a few regions. All to select the high-performance clones that are relatively stable
genotypes should therefore be subjected to MLT by adopting over many locations and deploy them as general-purpose
an appropriate experimental design. Though such evaluation clones to the client areas and secondly to select interactive
is necessary for analysing the stability of different genotypes clones for deploying only in those locations where their
across locations, it becomes much more important when performance was outstanding. The best performance in each
clonal forestry is practised with superior genotypes that are location is often achieved by selecting a few of these interac-
screened through such tests. tive clones and planting them on a large scale. In this way,
Though the potential of producing clonal planting stock is greater genetic diversity can be maintained for future
well documented, if the planting stock is not of good quality improvement and the danger of epidemics can also be
and mass multiplied before field-testing, the whole purpose avoided.
of clonal forestry may fail. Thus, systematic field-testing of In 2007, Kumar evaluated 70 clones of Gmelina arborea
vegetative propagules is necessary to assess the real benefits and identified the top 20 performing clones for a specific
of utilizing clonal stock. The field-testing of clonal material purpose. These top 20 clones, based on height growth, were
will give a comparative assessment of different clones for further assessed for their rankings at the ages of 12 and
various traits and productivity and genotype × environment 24 months. While Clones 106 maintained the first rank con-
interaction. Thus, clones must be tested in an appropriate sistently, Clones 9, 17 and 79 displayed an upward trend,
statistical design on a multi-location basis (three or more whereas Clones 3, 7, 11, 16, 27, 39 and 101 exhibited a
contrasting sites). The specific design to test the stability decreasing trend. Despite an average increment of 190% for
604 A. Kumar and A. Rana

these clones, Clones 79, 17 and 9 demonstrated increments of 27.9.1 Analysis of Variance
242, 230 and 227%, respectively. These results strongly
suggest that the testing of clones should extend over longer Analysis of variance (ANOVA) is carried out to split total
durations to identify and deploy elite genotypes through variation into different components (Sukhatme and Amble
plantation programmes. In addition, it is essential to analyse 1989). The ANOVA enables the estimation of a series of
the trend of all clones over the years and categorize them for other genetic parameters, which can be summarized as
various end uses. Fast-growing clones may be suitable for follows:
establishing pulpwood plantations for the paper industry,
while slower-growing clones may be recommended for the 1. Variance: The magnitude of variance in a population is
timber and furniture industry. However, individual clones estimated as a component of variance derived through
must be thoroughly analysed for different wood properties multi-locational testing and ANOVA. The following
before recommending their deployment in plantation genotypic and phenotypic components of variance are
programmes. Nevertheless, the results described above only calculated as per Burton (1952):
indicate clonal behaviour for height at a single location,
emphasizing the need for testing real superiority at different (a) Genotypic variance (GV)
locations. (σ2g) = (σ2e + R σ2T) – (σ2e)/r (r = no. of
replications)
(b) Phenotypic variance (PV)
27.9 Genotype × Environment Interactions (σ2p) = σ2g + σ2e
(c) Genotypic coefficient of variation (GCV)
The G × E interaction is an effective genetic tool to test GCV = (√σ2g/mean) × 100
various individuals over a wide range of environments (d) Phenotypic coefficient of variation (PCV)
(locations/years/growing seasons). The process enables PCV = (√σ2p/mean) × 100
understanding genotypic and environmental impacts inde- (e) Environmental coefficient of variation (ECV)
pendently as well as the influence of G × E interaction. In ECV = (√σ2e/mean) × 100
the absence of G × E interaction, individuals performing
better in one environment are expected to perform similarly
in another environment as well. But in the presence of G × E (ii) Heritability (h2): In tree improvement, genetic
interactions, the superiority of a genotype is based on a components of variation play an important role as
particular environment only. The additive main effects and these components are transferred from generation to
multiplicative interaction (AMMI) model is an appropriate generation. The extent of a genotype to phenotypic
statistical tool to analyse G, E and G × E interaction, in which variation for a particular trait in a population is defined
principal components analysis (PCA) for non-additive as the ratio of genetic variation to the total variation and
residuals combines with conventional analyses of variance is known as heritability. Hence, heritability denotes the
for additive main effects (Bondari 2003). proportion of phenotypic variance due to genotype. The
Kumar et al. (2012) analysed adaptability and stability in broad sense heritability is accordingly calculated as per
Dalbergia sissoo Roxb. for 36 clones selected by indexing Lush (1949).
method from seed orchards and gene banks. These clones
were evaluated at three locations in the state of Punjab h2 = σ2 g =σ2 p
(Ludhiana, Hoshiarpur and Patiala) adopting a completely
randomized blocks design (RBD). Height, collar diameter, (iii) Genetic advance (Gs): The selection of a plus tree is
DBH and volume of all the genotypes were studied, which usually carried out based on phenotypic performance,
concluded that Clones 124, 36 and 1 were the most stable, which is a joint action of a genotype and the environ-
Clone 124 ranked on top in adaptability and stability with an ment in which it exists. It is therefore obvious that the
average bi value of 1.04. This clearly strategized that the most superiority of a plus tree over the base population is not
adaptable and promising clones can be used in future for exclusively due to genotypic superiority, but the envi-
large-scale deployment, inspiring breeders to produce more ronment plays a crucial role as well. The improvement
such stocks and enhancing the income of the planters. in the mean genotypic value of a plus tree over that of a
A comprehensive estimation of genetic parameters and base population is called genetic advance under selec-
stability analysis is carried out using the following biometri- tion. The genetic advance depends on two major factors
cal and statistical tools of analysis. (i) the existence of phenotypic variability in the base
27 Tree Improvement for Enhancing Productivity of Plantation Forests 605

population and (ii) the heritability of the trait under 27.9.2.1 Regression Coefficient
consideration. The genetic advance under selection is The regression coefficient of ith progeny on an environmen-
calculated as described by Johnson et al. (1955). tal index that measures the response of this progeny to vary-
ing environments is estimated as follows:
Gs = K h2 √σ2 p , where, K
= selection differential at 5%selection intensity = 2:0 Y ij I j
j
bi =
(iv) Genetic gain (Gg): Genetic gain, also referred to as I 2j
j
genetic improvement, is defined as the enhancement in
the average genetic value within a population or the where ∑ Yij Ij = sum of products.
improvement in the average phenotypic value resulting ∑ I2j = sum of square.
from selection within a population across successive
breeding cycles. The anticipated genetic gain, expressed 27.9.2.2 Mean Square Deviations (S2d)
as a percentage of the mean, is calculated according to Mean square deviations (S 2d) from linear regression are
the method proposed by Burton and de Vane in Burton evaluated using the following equation:
and de Vane 1953.
δ2ij
Gg = ðGs=meanÞ × 100 2 j S2e
Sd = -
ðs - 2Þ r

27.9.2 Stability Analysis where

2
Though there are various models suggested to analyse stabil-
Σ Y ij I j
ity, Eberhart and Russell (1966) model considers regression Y 2i j
coefficient (bi) as the first measure of stability and further, it δ2ij = Y 2ij - -
j j
t I 2j
calculates the second measure of S2Di as a function of devia- j
tion from regression mean square. The progenies (t) are tested
for varying environment(s) and considering Yij as mean and S2e = estimate of pooled error
observation of ith progeny in jth environment. The stability Σ Y 2ij - Y 2i =t = The variance due to dependent variable
i
of genotypes is calculated using the following equation:
and
2
Y ij = μi þ βi I j þ δij ΣY ij I j = Σ I 2i = The variance due to regression.
j

where Yij = mean growth performance of ith progeny at jth

geographical location (i = 1, 2,. . . ..,t and j = 1,2,..,s); 27.10 Genetic Divergence
μi = mean of all the progenies over all the sites; βi = regres-
sion coefficient of ith progeny on an environmental index that Genetic divergence is a phenomenon wherein two or more
measures the response of varying geographical locations. populations of a common ancestral species accumulate inde-
pendent genetic changes over time, typically occurring after
Y ij Y ij these populations have been reproductively isolated for a
i i j
Ij = - with I
j j
= 0, certain duration. In some instances, subpopulations residing
t ts
in ecologically distinct peripheral environments may also
Ij = environmental index that is defined as the deviation of display genetic divergence from the rest of the population,
the mean of all the progenies at a given geographical location particularly when the population’s range is extensive. The
from the overall mean, where t = progeny, s = growth period genetic disparities among divergent populations can involve
and δij = error effect. mutations and/or significant morphological and/or physiolog-
The model is preferred as it further calculates the function ical alterations. Reproductive isolation, resulting from either
of deviation for regression mean square as a second measure. novel adaptation through selection and/or genetic drift,
Therefore, two parameters of stability are calculated in the always accompanies genetic divergence and serves as the
following manner: primary mechanism driving speciation. In addition, genetic
divergence can occur due to a bottleneck effect, such as a
natural disaster causing a substantial portion of the
606 A. Kumar and A. Rana

population to perish. Such bottleneck effects induce specific But V (stat) = m loge Л = - (n - p + q + 1)/2) loge Л
changes in genetic patterns, which become overrepresented where m = n - ( p + q + 1)/2).
in the remaining population, resembling the founder effect. p = number of variables or characters.
The D2 statistic, first presented by Mahalanobis (1928) is q = number of progenies -1 (or degree of freedom for
used to measure group distance based on multiple characters. populations).
With x1, x2, x3. . .. . ., xp as the multiple measurements on n = degree of freedom for error + progenies.
different progenies, and d1, d2,. . . ., dp as x11,x12, x 21, e = 2.7183, loge л = 2.3026 loge л.
x22,. . .. . . . x 1p ─ x 2p respectively are the difference in
means of among populations, Mahalanobis D2 statistics is
defined as follows: 27.10.3 Transformation of Correlated Variables

pD
2
= b1 d1 þ b2 d2 þ . . . . . . :: þ bp dp Analysing D2 values for a large number of characters can be
intricate, leading to the preparation of a higher-order matrix
Here, the bi value for different progenies is estimated such inversion. This approach streamlines the computation of D2
that the ratio of variance between populations to variance values, reducing it to a straightforward summation of
within the populations is maximized. In terms of variance and differences in mean values for various characters, denoted
covariance, the D2 value is obtained as per the following as ∑d2i. To achieve this, the transformation of correlated
formula: variables into uncorrelated values is initially conducted,
followed by the calculation of D2. The transformation pro-
pD
2
= W ij x1 i - x2 i x1 j - x2 j cess involves employing the pivotal condensation method,
where the coefficients for transformation are obtained by
where Wij was the inverse of the estimated variance and dividing the first row of the reduced matrix by the square
covariance matrix. root of the corresponding pivotal condensation element. Only
The steps involved collection of field data, processing and the absolute values of these elements are considered for
analysis for estimation of D2 values are carried out as subsequent analysis.
follows:
27.10.3.1 Computation of D2 Values
In each combination, mean deviation i.e. Y1i - Y2i with i = 1,
27.10.1 Collection of Data 2,. . . .p is computed and D2 is calculated as sum of squares of
these deviations i.e. ∑(Y1i - Y2i)2.
The growth data is collected in the field for various traits
across the geographical locations in which evaluation trials • Testing the significance of D2 values
are established. Secondly, data for different wood traits The D2 value obtained for a pair of populations is taken as
among the progenies is collected and measured in the labora- the calculated value of X2 and is tested against the
tory as per standard tools of evaluation. The field and labora- tabulated value of X2 for p degree of freedom, where p is
tory data are arranged appropriately and analysed for D2 the number of characters considered.
statistics. • Contribution of individual characters towards
divergence
In all combinations, each character is ranked based on
27.10.2 Test of Significance di = Y1i - Y2i values. Rank 1 is given to the highest
mean difference and rank p to the lowest mean difference
The collected data is calculated for variance and co-variance (where p is the total number of characters).
to determine dispersion values to be utilized in Wilk’s criteria
for simultaneous tests of differences between mean values of
a number of correlated variables (Rao 1948). Using the 27.10.4 Grouping of Progenies into Various
pivotal condensation method, the determination of error and Clusters
error + clonal matrix is calculated. The pivotal condensation
element is calculated in the following fashion: • The Tocher Method is employed to group various
progenies into clusters. In this approach, the relative dis-
jWj j Determinant of error matrix j tance between each pair of progenies is taken into account
Лþ = to sequentially calculate the two nearest progenies until all
jSj j Determinant of error þ clonal matrix j
progenies are arranged accordingly. Following this
arrangement, D2 values, as suggested by Rao (1952), are
utilized for cluster formation.
27 Tree Improvement for Enhancing Productivity of Plantation Forests 607

Initially, two progenies with the smallest distance from the most effective tools for establishing seed orchards of
each other are considered, to which a third progeny with forest tree species with diverse parents. The approach
the smallest average D2 value from the first two progenies therefore allows the production of improved seeds in a
is added. This process continues with the inclusion of the highly effective and economical manner as diverse parents
nearest fourth progeny and so forth. However, at a certain have equal opportunities for hybridization and production
stage, when there is a sudden increase in the average D2, of quality seeds (Kumar and Gurumurthi 2000; Vishnu
the progeny causing the increase is not added to that et al. 2018). Assessing all available genetic variations or
cluster. Subsequently, a second cluster is formed and the divergence within/between species and delineation of the
process continues until all progenies are included in one or most appropriate genotype(s) matching to the site for
more clusters. increased productivity would be of prime importance in
• Average intra-cluster distances any tree improvement programme (Sharma and Bakshi
The intra-cluster distances were measured by adopting the 2014). A better understanding of genetic variation
following formula: among the species assists in producing superior germ-
plasm. Hybrids between individuals of diverse origin dis-
D2 = D2 i =n play greater heterosis than those between closely related
individuals. Screening and evaluation of genetically diver-
where Σ D2i is the sum of the distance between all possible gent progenies or hybrids can even be useful for further
combinations (n) of the population included in a cluster tree improvement programmes.
• Average inter-cluster distances
The procedure for calculating inter-cluster distance is first
to measure the distance between clusters I and II, between 27.11 Wood Genetics
I and III, between I and IV, between II and III, between II
and IV and so on. Likewise, clusters are taken one by one Enhancing wood quality is acknowledged as a vital compo-
and their distances from other clusters are calculated as per nent of tree breeding programmes, recognizing that wood
the following equation: volume, growth and wood quality are interconnected traits
rather than independent entities (Zobel 1984). Anatomical
properties such as cell size, proportion and arrangement
D2 1 → 6 þ D2 1 → 8 þ D2 4 → 6 þ D2 4 → 8 þ D2 7 → 6 þ D2 7 → 8
significantly influence wood properties (Burley and Palmer
1979). Fibre length, an essential parameter for quality paper
The success of a tree improvement programme ideally
production, holds particular importance (Jorge et al. 2000).
depends on the identification of germplasm that is
Specific gravity serves as a broad indicator encompassing
recommended for large-scale deployment. Germplasm is
anatomy, strength, stiffness and properties related to drying
called superior if it produces potential results for greater
and machining (Panshin and deZeeuw 1980). Additional
productivity under favourable environmental conditions
wood properties, including heartwood content and
and demonstrates consistency in stability. Stability there-
extractives, are deemed crucial for tree improvement
fore refers to the performance of a genotype with respect
programmes. Considerable variability in certain physical
to changes in environmental factors within a given loca-
properties of plantation-grown wood has been documented
tion. Adaptability on the other hand is a concept that refers
(Kumar et al. 2018). The understanding of wood anatomy
to the stability of different genotypes with respect to
aids tree breeders in developing superior varieties suited for
change across locations (Prabhakaran and Jain 1994). It
diverse wood-consuming industries.
has been well understood that genotype and environment
To use wood efficiently and effectively, variation patterns
interact appropriately. Environmental factors could induce
for wood traits within trees as well as among trees need to be
a selection process that affects the genetic constitution of a
understood (Zobel and van Buijtenen 1989). Considerable
given population to distorted segregation and recombina-
differences in wood properties exist from one tree to another
tion as per Mendelian principles, which could even be
within a species and these variations may manifest in
termed a conditioning effect.
differences in both anatomical and physical characteristics
In a tree improvement programme, both genotype and
The strength, bulk, opacity and smoothness mainly depend
variation play important roles and lead to the effective
on morphological characteristics of the fibres, in particular its
selection of a genotype. The variability among different
high Runkel ratio and relatively low fibre width. Though
genotypes of a species is known as genetic diversity or
most of the tree breeding programmes have aimed at improv-
divergence (Singh 1993; Pande et al. 2013). The diver-
ing growth (Yanchuk and Kiss 1993), the importance of
gence study analyses the degree of diversification and
wood parameters including wood quality was understood to
relative proportion of each component character to the
make wood genetics an integral part of tree breeding (Zobel
total divergence. Genetic divergence studies are one of
and Talbert 1984).
608 A. Kumar and A. Rana

27.12 Release of Tree Varieties quality planting materials for commercial cultivation, and
the same were approved by the Ministry of Environment,
The contribution of tree improvement has significantly Forests and Climate Change, Government of India in 2008.
enhanced global plantation productivity. Despite several Varietal releases have been made through these guidelines
tree improvement programmes underway in India, their inte- since 2010 and varieties/clones were released till 2022. The
gration with operational forestry through the deployment of verification and approval for variety release is carried out
tested and genetically superior clonal and seedling varieties is through a three-tier process each handled by a committee of
weak. Notably, there were no explicit guidelines for tree technical experts and forest managers. The composition and
breeders/geneticists to systematically conduct progeny/clonal functions of each of the committees are discussed below.
trials before declaring new varieties as elite planting stock
and releasing them for large-scale deployment.
The goal of forest geneticists and tree breeders is to 27.12.1 Implementation Team
develop superior genotypes of various forest species with
increased merchantable biomass, resistance to diseases and The first level of scrutiny in the varietal release process is
insect pests and broader adaptability to diverse soils and undertaken by the implementation team. This team has five
environmental conditions. It is widely acknowledged that members representing research institutions, universities, forest
gains from tree improvement programmes are realized department and the wood-based industry with expertise in
through the use of improved seeds and clones from produc- forestry, tree breeding and biometrics. A tree breeder from
tion populations. Forest geneticists and tree breeders can the ICFRE Institute functions as the coordinator of the team.
significantly influence the genetic variation of future forests When applications are received from breeders for the release of
and plantations, thereby reducing costs. new varieties, the implementation team makes field visits and
An examination of tree improvement programmes in India assesses the superiority of the new accessions in comparison
revealed that several divergent lines of Eucalyptus with the check/control varieties. A detailed report of varietal
tereticornis, Eucalyptus camaldulensis (Verma et al. 1994), performance is prepared and submitted to the Regional Variety
Casuarina equisetifolia (Kumar and Gurumurthi 2000), Testing Committee (RVTC) for further verification.
Tectona grandis (Dakshindas and Gogate 1995), Gmelina
arborea (Kumar 2007; Kumar et al. 2003) and Populus
deltoids (Jones and Lal 1989) still exist but are not utilized 27.12.2 Regional Variety Testing Committee
in breeding and tree improvement. Substantial improvements
in yield could be easily achieved in these species by The Regional Variety Testing Committee (RVTC) functions
synthesizing new recombinants using genetically distinct at the level of agroclimatic regions and is facilitated by
parents and clonally propagating them. However, it is imper- different Institutes of ICFRE. The Director of the regional
ative to field evaluate the recombinants before introducing ICFRE Institute is the chairperson of RVTC, which has eight
and deploying them in afforestation programmes. other members having expertise in forestry, breeding and
However, in India, Eucalyptus and Poplars have biometrics and representing research institutions,
undergone considerable genetic improvement, and the clonal universities, forest department and the wood-based industry.
plantations have been adopted in farm/agroforestry systems The RVTC reviews the report submitted by the implementa-
on a commercial scale (Lal et al. 1994). Screening genetically tion team and also interacts with the breeders who proposed
superior planting stock and its clonal multiplication involves the new varieties for release. Based on the report of the
high cost and technical input during production. It is, there- implementation team and the additional information provided
fore, necessary not only to release the promising varieties but by the breeders concerned, RVTC recommends to the variety
also to ensure that they are registered with the appropriate releasing committee (VRC) for the release of new varieties.
authority and made available to the tree growers at an afford-
able cost. In the absence of any regulation, there have been
instances of large-scale marketing of low-quality Poplar 27.12.3 Variety Releasing Committee
planting material with doubtful identity in the states of
Haryana, Punjab, Uttarakhand and Uttar Pradesh (Chandra The final approval for the release of a tree variety is provided
1998). An approach to systematic testing, verification and by the VRC headed by the director general of forest and
release of tree varieties and a framework for providing legal special secretary, Ministry of Environment, Forest and Climate
protection to tree varieties was first proposed by Kumar et al. Change, the government of India. The director general of
(2001). The Indian Council of Forest Research and Education ICFRE is the co-chair of the committee, which also has
subsequently framed guidelines for testing and releasing 13 other members representing ICFRE’s regional Institutes
27 Tree Improvement for Enhancing Productivity of Plantation Forests 609

(Chairpersons of RVTCs), forest department, university and Key Questions

industry. The VRC considers the recommendations made by 1. What is tree improvement, and how does it help in increas-
the RVTC and if necessary, interacts with the breeders propos- ing the productivity of commercial forestry?
ing the release of new varieties and gives its final approval for 2. What are the methods of selection? Describe the various
public release of the new varieties. categories of trees including broad differences among
candidate, plus and elite trees.
3. What is stability? Describe the steps of such approaches
27.13 Conclusion systematically. How is stable genetic material useful in
production forestry?
The forests play an important role in human welfare as the 4. What are the steps involved in the release of genetically
world’s most important and valuable renewable natural improved planting stock and how would such genotypes
resource and repository of biological diversity. Globally a be useful in increasing productivity?
large human population depends on forests for energy, hous- 5. Describe the step-by-step approach for adopting commer-
ing, timber, fodder, medicine etc. and also derives innumera- cial forestry with genetically improved planting stock.
ble ecological services. The demand for wood and wood
products is increasing on an exponential scale and wood
processing industries require sustainable wood production References
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 Genetic Improvement and Conservation
of Medicinal and Aromatic Plants 28
K. A. Geetha and Satyabrata Maiti

Abstract Keywords
India is home to a rich plant biodiversity of medicinal and Medicinal plant · Aromatic plant · Breeding objective ·
aromatic plants (MAPs). About 7000–8000 species of Germplasm collection · Secondary metabolite
MAPs are reported from India. About 242 species are
traded in large volumes, which is more than 240 MT per
year. About 90–95% of the raw drugs are collected from 28.1 Introduction
the wild since majority of MAP species are not yet under
cultivation. India is gifted with a vast plant biodiversity of medicinal and
Collection from the wild is destructive in nature, which aromatic plants (MAPs).
causes a great challenge to the survival of these species. Since time immemorial, plants and plant-based products
To cope with the situation, different conservation have been in use traditionally by the local people and there-
strategies are adopted using in situ and ex situ methods. fore, India has one of the oldest, richest and most diverse
The required level that would assure sustainable conser- cultural traditions of medicinal plant use.
vation of MAP resources is yet to be achieved. Populari- Ayurveda, Siddha, Yoga, Folklore medicines, etc. are
zation of MAP cultivation thus becomes the top priority in some of the important local healthcare systems that
the agenda of commercialization. However, the lack of originated in India. Now these local healthcare systems are
high-yielding elite cultivars for a majority of MAP species popularly known by the blanket term ‘Indian Systems of
prevents them from achieving the target. Crop improve- Medicines (ISM)’. However, commercial utilization, includ-
ment programmes of MAPs have been initiated by various ing cultivation of MAPs, has been in practice for only about
national research organizations and universities. Breeding 50 years. The World Health Organization (WHO) reported
for improved cultivars in MAPs is targeted with specific that about 80% of populations in developing countries
objectives of higher yield without compromising the qual- depend upon herbal drugs for their healthcare. According to
ity of bioactive ingredients. The bioactive ingredients in their forecast, a similar proportion of the world population
MAPs are secondary metabolites which are highly may also depend upon herbal-based drugs in the coming
influenced by the environment. Hence, while working years. The world is now witnessing a revitalization and
for the improvement of MAPs, all the breeding objectives transformation in the traditional system of medicine, causing
should be focused on improving the total targeted second- a quantum upsurge in the use of plant-based medicines across
ary metabolite content along with crop yield. Setting the world. According to the estimate of the WHO, the global
breeding objectives is made more challenging and com- herbal market will rise to $5 trillion by 2050 from the current
plicated due to the demands of a large number of market level of $62 billion (Gautam et al. 2020).
diversified end users. The present chapter deals with vari- In India, about 1178 species are estimated to be traded out
ous breeding methods to be adopted for developing of 7000–8000 medicinal plants reported (Goraya and Ved
cultivars having high active ingredients as well as total 2017). According to the National Medicinal Plants Board
biomass yield per unit area to fulfil the raw drug/raw (NMPB), New Delhi, about 242 species have annual con-
material requirements of each client. sumption of more than 100 metric tons per year. The domes-
tic demand for medicinal plants was about 1,95,000 MT, and
K. A. Geetha (✉) · S. Maiti
ICAR-Directorate of Medicinal and Aromatic Plants Research (ICAR- the export demand for medicinal plants was 1,34,500 MT
DMAPR), Boriavi, Anand, Gujarat, India during 2014–2015. Total consumption of herbal raw drugs in

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 611
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_28
612 K. A. Geetha and S. Maiti

the country was estimated at 5,12,000 MT for the year either forests or wild habitats. Utilization of medicinal plant
2014–2015 with a corresponding trade value of resources should, therefore, be planned in such a way that it
`5500 crore. India exported raw herbs worth US$ 329.83 should bring out the maximum potential of the resources and
and 319.33 million during 2017–2018 and 2018–2019, ensure the health and prosperity of future generations as well.
respectively with a growth rate of 10–14% over the previous India may lead the world in this sector if a programme is
years. The export of value-added extracts of medicinal herbs/ organized for the proper management of Medicinal Plant
herbal products from India during 2017–18 stood at US$ Genetic Resources in a sustainable manner.
456.12 million, recording a growth rate of 12.23% over the
year before (https://pib.gov.in/PressReleasePage.aspx?
PRID=1594929; Gautam et al. 2020). Nearly 90–95% of 28.3 Conservation
the medicinal plants in trade in the commercial market of
India are obtained from the wild. The major reasons for this Convention on Biological Biodiversity (CBD) in 1992 has
are (1) the non-availability of most of the MAP species under brought a new awakening in all the facets of biodiversity. The
cultivation, (2) even if available, the price of the raw drug is CBD recognizes the sovereign rights of the respective nations
comparatively higher than those obtained from the wild, over the biodiversity within their domain. India as a signatory
(3) the raw drug collected from the wild is sometimes treated to the convention is obliged to take legislative, administrative
as organically grown; hence, the industry uses the material and policy measures to conserve/protect biodiversity.
under the organic label. Accordingly, the national government has passed two acts
The increasing demand for natural product-based (PPVFR Act 2001 and the Biodiversity Act 2002) for the
medicines in the national and international markets is causing protection and efficient utilization of biodiversity.
indiscriminate harvest from the wild. High consumption of At present, biodiversity loss is an utmost concern through-
these wild flora collected mostly by destructive methods out the world. There are many causes of biodiversity loss,
(collection of roots, barks or the entire plant) has been a such as industrialization, population explosion, and expan-
great challenge to the survival of this invaluable wealth in sion of agricultural land. Medicinal plant diversity is worst
nature. It is estimated that about 70% of the plant collection affected since most of the gene pool still exists within forest
involves destructive harvesting. Too often, collected material areas, which is shrinking fast throughout the world. There are
from the wild becomes a focus of criticism due to some two main reasons for the loss of medicinal plant biodiversity:
drawbacks which are listed below:
1. Habitat loss which is a global phenomenon now.
1. Inferior quality in terms of active ingredients due to a 2. Overexploitation and unsustainable destructive harvesting
mixture of different genotypes of the same species. from its natural habitat due to ever-increasing demand for
2. Mechanical mixture with other species or due to failure in increasing population.
identification of the targeted species, sometimes mixed
with toxic species. The current pace at which the forests are destroyed due to
3. Regular supply in the desired volume cannot be assured increased developmental activities is inconceivable and shall
from the wild habitat. reach an alarming critical condition of natural biodiversity
4. Irrational collection of MAPs from wild habitats causes reserve sooner than the present calculation where reversal
damage to the natural plant biodiversity. will not be possible. Some of the important species in nature
will be lost even before their medicinal properties are fully
explored. Plant diversity already documented to be in use for
28.2 Plant Genetic Resources medicinal purposes suggests that ‘for every two species
going to extinct, one will be of the medicinal category’.
Plant genetic resource (PGR) is the foundation of genetic According to the 1997 IUCN Red List, about 12.5% of the
improvement in a crop and also plays an important role in world’s flora is facing the threat of extinction. Walter and
agricultural development. It is also an indicator as well as the Gillett (1998) estimated that about 8% of the world’s flora is
reservoir of genetic adaptability and often the buffer against threatened at different levels. If these ratios are extended to
environmental changes. PGR is the source material for any the MAP flora of India, about 600–1000 MAP species are
kind of genetic improvement and varietal development. A feared to fall into the threat category.
breeder gets an opportunity to play with the variability to Out of 627 traded species, only 70 are in cultivation
breed a desired variety if the PGR base of a species is wide (Goraya and Ved 2017). Therefore, a large number of plant
enough for capturing genes of desired characters. Wild spe- species require immediate attention for their survival. How-
cies also play an important role in medicinal plants. About ever, because of resource constraints, it is practically impos-
90–95% of species used are not cultivated but collected from sible to take care of all these plant species in one go. Fixing
28 Genetic Improvement and Conservation of Medicinal and Aromatic Plants 613

research priority for the conservation and sustainable utiliza- botanical and herbal gardens, etc., in addition to the cultiva-
tion of the existing medicinal plant biodiversity gained atten- tion of MAPs. Rare and unique native plants can be preserved
tion in this context. as living collections in this program. For species with ade-
Several government and nongovernmental organizations quate seed production, preservation through seeds is useful.
are engaged in the conservation of MAPs by using various In vitro methods are important for the maintenance of a
strategies of conservation. All the conservation strategies can pathogen-free germplasm. The major shortcoming of ex situ
be widely divided into two: conservation is the absence of natural evolution within the
conserved materials. This difficulty can be partially
1. In situ conservation (conservation of biodiversity in its addressed by connecting ex situ intervention to in situ pro-
natural habitat). gram, wherever possible.
2. Ex situ conservation (conservation away from the natural The following strategies could be taken up for sustainable
habitat). conservation and utilization of medicinal plant wealth.

In situ conservation is achieved by protecting natural 1. Sustainable harvesting from the wild: The collection and
habitats from human interference. Popular examples are nat- trade of critically endangered species should be strictly
ural parks, biosphere reserves, sacred groves, and banned until their status is upgraded. It requires the full-
sanctuaries. hearted cooperation of the forest departments and the local
An in situ conservation project was first initiated for the communities. All harvesting from the wild should be
conservation of medicinal plants in India in the States of sustainable in nature.
Karnataka, Kerala and Tamil Nadu involving the State Forest 2. Assessment of the threat status of enlisted medicinal
Departments, leading NGOs and research institutes in 1993 plants: This should be done to prioritize the plants to be
in collaboration with the Foundation for Revitalization of selected for immediate care. People’s participatory
Local Health Traditions (FRLHT), a Bengaluru-based NGO programme can be integrated into this type of study as
group. This project developed a network of Medicinal Plant the local people are the factual information source for
Conservation Areas (MPCAs), Medicinal Plant Conservation getting a clear idea of the present and past distribution of
Parks (MPCPs) and Medicinal Plant Development Areas a particular species at a particular locality.
(MPDAs). 3. Medicinal plants under high stable demand in the threat
A separate Ministry of AYUSH, Government of India, category have to be given prime importance for future
promotes in situ conservation through its programmes on research studies.
survey, inventorization and documentation of important 4. Wherever feasible, integration of food crops and medici-
MAPs in their natural habitat as well as by developing nal plant cultivation may be given priority.
Medicinal Plants Conservation and Development Areas 5. Implementation of a networking programme partnering
(MPCDAs) by involving state forest/wildlife department/for- with public and private institutions for establishing better
est development corporation/federations/national and state linkage.
level research organization/universities and 6. Large-scale cultivation projects funded by industries
non-government/voluntary organizations. should be diverted to marginal and sub-marginal lands
Indigenous communities develop their own traditional with appropriate agro-techniques for stabilizing the supply
methods for the conservation of natural resources. One such of quality raw drugs in the market.
conservation practice is the development of ‘sacred groves’. 7. Launching of the research programme for the species
Sacred groves are devoted to gods and goddesses and are having poor regeneration capacity and limited knowledge
strictly protected from human interference. They can be about species biology and their life cycle.
considered the first human effort for the in situ conservation
of biodiversity, which are treasure homes of valuable MAP Cultivation of MAPs has been slowly gaining popularity
wealth. But at present, these great traditions are also facing a among farmers, and at present, about 70 MAPs are being
lot of challenges for their existence because of changes in the cultivated. However, the availability of high-yielding elite
value system, lifestyles, etc. As a result, the number of such cultivars is the main bottleneck for improving profitability
in situ conservation sites is shrinking. This type of our tradi- and assuring fair prices in the market. Crop improvement
tional strengths must be recognized, valued and harnessed for programmes of MAPs have been thus initiated by the
the continued preservation of valuable MAPs and Indian Council of Agricultural Research (ICAR), Council
ecosystems. of Scientific and Industrial Research (CSIR) and State Agri-
Ex situ conservation methods include seed gene banks, cultural Universities (SAUs), which ultimately resulted in the
in vitro gene banks, DNA gene banks, field gene banks, development of some elite cultivars in MAPs.
614 K. A. Geetha and S. Maiti

28.4 Breeding Objectives of MAPs which may take place due to altered ecological and geograph-
ical conditions (Tetanyi 1992).
The role of crop improvement programmes to produce new Medicinal plants are used by various clients, such as
improved varieties has increased considerably due to the vaidyas, local healers, ayurvedic industries and extraction
commercialization of MAP cultivation. In traditional crops, units. Therefore, quality parameters defined by the various
namely cereals, pulses, fruits and vegetables, the productivity users are not the same. For example, for vaidyas and
potential has been increased by adjusting certain morpholog- ayurvedic industries, medicinal plant quality should be as
ical characters such as number of branches, number of fruits, per the Ayurvedic Pharmacopoeia of India (API). On the
seeds and test weight of seeds. However, in MAPs, the contrary, extraction industries require a higher percentage
approach needs an additional dimension. The quality of bio- of certain chemical compounds for high extraction efficiency
active therapeutic compounds (alkaloids, steroids, as well as more harvest of compounds from low volume of
glycosides, phenolics, essential oil, etc.) are not dependent raw drugs. This situation will demand different varieties for
on morphological characteristics. These quality-determining different clients. Hence, breeding objectives also should be
compounds are secondary metabolites and are not involved in different for catering the needs of various industries and a
the basic metabolic process of living beings; however, they new variety must be defined for whom it has been developed.
take part in the various interaction processes of the organism Hence, breeding for MAPs mainly should be focussed
for survival in various adverse environments. These upon the increased stable yield of bioactive therapeutically
compounds are known to be responsible for attracting important compounds in addition to enhanced harvest index
pollinators (essential oils in the form of aroma, colouring and resistance/tolerance against biotic and abiotic stresses.
pigments, namely carotenoids and xanthophylls as colouring Some important breeding objectives for MAPs are listed
agents), providing resistance against insect and disease pests, below:
etc. Each species or genera or family has its own specific set
of secondary metabolites, and more than 100,000 compounds 1. Enhanced and stable yield with a higher harvest index.
are already known as plant-originated, and about 4000 new 2. Higher content of therapeutically important compounds
compounds are discovered every year (Verpoorte et al. (active ingredients).
1999). 3. Improved agronomic traits, namely uniform flowering/
Because of the dynamic nature of plant environmental maturity, rapid initial growth to suppress weed growth,
interactions, the species growing under diverse ecological non-lodging, non-shattering, etc.
conditions differ in the synthesis and accumulation of the 4. Resistance/tolerance to biotic (diseases and insect pests)
metabolites (Wink 1988; Bennett and Wallsgrove 1994; and abiotic (drought tolerance/saline/frost/climatic
Theis and Lerdau 2003; Edreva et al. 2008; Oh et al. 2009; changes) stresses.
Ramakrishna and Ravishankar 2011; Gutbrodt et al. 2012;
Pavarini et al. 2012). The factors which cause the fluctuations Most of the harvested products (raw drugs) are not directly
of these secondary metabolites include the plant’s require- used by the end users. The raw drugs pass through different
ment for acclimatization or adaptation to newer areas; cli- processing industries including the pharmaceutical industry.
matic changes; environmental changes including biotic and Different primary processing interventions include cutting,
abiotic factors; geographical variations involving chopping, powdering, and making paste forms. Hence, all the
populations; genetic variations within a species; and environ- cultivars should yield raw drugs amenable to easy processing
mental conditions during the growing phases (Telascrea et al. as per the prevailing industries’ demand. For example, in the
2007; Rahimmalek et al. 2009). case of ashwagandha (Withania somnifera), the harvested
To cope with the plant environment interactions, changes roots are powdered and used for different formulations or
in respective groups of secondary metabolites production/ direct consumption. Hence, the demand is for a cultivar with
assimilation occur within the plant, which would normally unbranched roots of less fibre. Hence, the development of
help to interact with the dynamic environments accordingly. processable cultivars is very important in MAPs, and species-
Hence, while working for the improvement of MAPs, all the specific traits have to be defined beforehand.
selection criteria of breeding objectives should be adjusted in Truly speaking, in the present MAP scenario, a large
such a way that it would enhance the total secondary metab- number of organizations and universities along with different
olite content and total production in a particular crop species. funding agencies are working in isolation but most of the
Just introduction of a variety for successful cultivation in a time unaware of the demand of the industry. Industries are
new environmental condition may sometimes be futile due to playing hide-and-seek games since quality standards in
chemical changes and infra-specific chemical modifications, MAPs are at a very primitive stage. There is no compulsory
28 Genetic Improvement and Conservation of Medicinal and Aromatic Plants 615

and now India has a monopoly in isabgol cultivation in the

world, and 95% of psyllium husk is exported from India to
the international market. The area under its cultivation
spreads over about 1.5 lakh ha, and the isabgol husk trade
earned about 201.22 million US dollar worth of foreign
exchange in the year 2018–2019 (http://commerce.nic.in/
eidb/ecom.asp). Similarly, senna (Cassia angustifolia,
C. acutifolia), aloe (Aloe barbadensis), stevia (Stevia
rebaudiana), pudina (Mentha arvensis), rose-scented gera-
nium (Pelargonium graveolens), foxglove (Digitalis
purpurea), chamomile (Matricaria chamomilla), salvia (Sal-
via sclarea), celery (Apium graveolens), mulethi or liquorice
Fig. 28.1 Two-way linkage among researchers, farmers and industry (Glycyrrhiza glabra) and patchouli (Pogostemon cablin) are
some of the other examples of species introduced from the
legal mechanism (third-party certification) to check the qual- other countries to India, and now the species are in commer-
ity of each herbal raw drug used in different formulations. cial cultivation in India.
Hence, the industry is using raw drugs available at the lowest Rose-scented geranium or scented geranium was
price, many a time it would not have a direct correlation with introduced from South Africa to Shevaroy Hills, TN, India
the quality. Farmers are also ignorant of the right quality of in 1915. KKL 1, Sel 8, Kunti, Hemanti and Bipuli are some
the raw drug to be produced. Hence, a two-way connected of the varieties developed from the introduced germplasm
linkage (Fig. 28.1) among researchers, farmers and industry suitable for Indian conditions. Another successful introduc-
is required for translating the need of the industry in terms of tion was the Japanese Mint by Regional Research Labora-
variety, which is to be developed by the breeders, which in tory, Jammu (Kapoor et al. 1955). Similarly, Chamomile,
turn should reach the farmers for cultivation. The quality raw Salvia, Celery etc. were also introduced to India from France
drug thus produced should reach back to the industry. during the 1950s, and the crop has now become a commercial
Indian Pharmacopoeia (IP) and Ayurvedic Pharmacopoeia crop in Himachal Pradesh, Uttar Pradesh and Haryana.
(API) have set some standards for the identity, purity and Similarly, some of the Indian species that are grown in one
strength of single drugs for medicinal purposes in which part of India can be introduced to another part for cultivation.
chemical content is an integral part. Some of the key Safed musli (Chlorophytum borivilianum), naturally
components of IP standards of important MAPs are listed in distributed in Central India (Maharashtra, Madhya Pradesh,
Table 28.1. Gujarat and Rajasthan), which was introduced to southern
parts of the country during the 1990s due to the popularity of
the species is an example of plant introduction within the
28.5 Germplasm Introduction country.
In India, for the introduction of plants including MAPs
An introduction is a process in which a new species, superior from other countries, ICAR-National Bureau of Plant Genetic
genotype or its wild relatives from its growing environment Resources (ICAR-NBPGR), New Delhi is the authorized
are introduced to a new area where they were not growing agency. All the introductions indented by individual
before. It can be between countries and within countries. scientists, universities or any research organizations must be
Even though India is rich in biodiversity, many of the popular routed through ICAR-NBPGR.
MAP species are introduced intentionally or spontaneously The major drawback in plant introduction is the narrow
from other countries. The introduced germplasm is some- genetic base, since the germplasm in most cases may not
times used directly as a cultivar (primary introduction) or sufficiently represent the genetic variability available in the
used in a crop breeding programme for developing new primary centre of origin. Hence, targeted reintroductions for
improved varieties (secondary introduction). particular traits may be conducted through ICAR-NBPGR.
Cinchona cultivation in India is a popular example of
plant introduction in MAPs. Seven species of Cinchona
were introduced from South America for cultivation across 28.6 Germplasm Collection
West Bengal, Tamil Nadu and Assam in 1859 to fight malaria
(The Wealth of India 1992). Isabgol/psyllium (Planatgo The collection of a vast diversity of germplasm is the key to
ovata) is another example of plant introduction in the MAP the success of developing superior varieties in MAPs as in the
sector. The species was naturally distributed in Iran, Iraq and case of other crops. The full potential of germplasm has not
Mediterranean areas from where it was introduced to India, yet been fully utilized in MAPs. Similar to other commercial
616 K. A. Geetha and S. Maiti

Table 28.1 Components of IP standards of MAPs (The Indian pharmacopoeia 2007)

Plant Parts used Description Quality
Amlaki Dried fruit pericarp The dried fruit has a highly shrivelled and It contains not less than 1.0% w/w gallic acid
(aonlas) wrinkled external surface. The taste is sour and calculated on a dried basis
(Phyllanthus astringent followed by a delicately sweet tinge
officinalis)
Anantmool Root The roots are cylindrical and yellowish-brown in Anantmool contains not less than 0.02%
(Hemidesmus colour. They have vanillin-like odour, and the iso-vanillin calculated on a dried basis.
indicus) taste is acrid
Arjuna Bark A flat or minutely curved thick piece of bark with a The dried stem bark contains not less than 0.02%
(Terminalia reddish-grey colour and astringent taste of arjungenin
arjuna)
Artemisia Dried leaf and Slightly camphoraceous odour and bitter taste Contains not less than 0.8% of artemisinin
flowering top calculated on a dried basis
Ashwagandha Root Buff to greyish-yellow, with a slightly Not less than 0.02% of total withanolide A and
(Withania mucilaginous bitter and acrid taste withaferin A on a dry weight basis
somnifera)
Belladonna Dried leaf and Leaf: Green to greenish-brown leaf, elliptical to Belladonna herb contains not less than 0.03% of
leaf flowering top ovate; flowering top: Purple or yellowish-brown in total alkaloids, calculated as hyoscyamine with
colour reference to the material dried at 100–105 °C
Bhibhitaki/ Dried fruit pericarp The dried pericarp appears as curved pieces of Contains not less than 0.3% w/w of ellagic acid
Behda irregular shapes, the external surface is velvety, and 0.75% w/w of gallic acid, calculated on a
(Terminalia wrinkled grey to brown in colour and has an dried basis
bellirica) astringent taste
Bhringraj Dried whole plant A green to greenish-brown colour when Contains not less than 0.1% of wedelocatone
(Eclipta alba) completely dried calculated on a dried basis
Bhuiamla Dried aerial part A green to greenish-yellow in colour, tastes Contains not less than 0.25% of total phyllanthin
(Phyllanthus slightly bitter and hypophyllanthin calculated on a dried basis
amarus)
Brahmi Dried whole plant Colour brown to reddish-brown when completely Bacoside A content should be not less than
(Bacopa dried 2.56% on a dry-weight basis
monnieri)
Coleus (Coleus Dried root Colour: Light brown, long radially spread; odour: Forskolin not less than 0.4% w/w calculated on a
forskohlii) Aromatic; taste: Slightly pungent dried basis
Garcinia Dried deseeded fruit Dark brown to blackish-brown fruits; taste: Acidic Hydroxycitric acid and hydroxycitric acid
lactone not less than 12.0% (calculated on a dried
basis)
Gokhru Dried fruit Fruit: Pedicellate and globose, having wedge- Diosgenin not less than 0.5% (calculated on a
(Tribulus shaped cocci, covered with short and stiff spines; dried basis)
terrestris) odour: Faintly aromatic smell; taste: Acrid
Gudmar Dried mature leaf Colour: Greenish-yellow; surface: Pubescent on Gymnemic acid not less than 1.0% (calculated
(Gymnema both sides; odour: Characteristics; taste: on a dried basis)
sylvestre) Extremely bitter and acrid
Guduchi Dried stem piece Colour: Greyish-black; fibrous fracture; no Cordifolioside A not less than 0.02% w/w
(Tinospora distinct odour; taste: Bitter (calculated on a dried basis)
cordifolia)
Guggul resin Gum (oleoresin Colour: Light to dark brown; shape: Rounded/ Guggulsterones (Z and E) not less than 1.0% and
(Commiphora exudation) irregular; odour: Slightly balsamic; slightly sticky not more than 1.5%
wightii) to touch
Guggulipid Ethyl acetate A brown viscous liquid Guggulsterones (Z and E) not less than 4.0% and
extractive of Guggul not more than 6.0%
resin
Haridra Dried rhizome Externally yellowish to yellowish-brown with Curcumin not less than 1.5% (calculated on a
(Curcuma roots scars and annulations; odour: Aromatic; dried basis)
longa) taste: Warmly aromatic and bitter
Haritaki Pericarp of dried fruit The fruit has a shine on its external part with Chebulagic acid not less than 5.0% and
(Terminalia longitudinal ridges; colour: Yellowish-brown to chebulinic acid not less than 12.5% (calculated
chebula) light black; taste: Bitter and slightly astringent on a dried basis)
Isabgol Seed husk Pale buff brittle flakes; shape: More or less Mucilage
(Plantago lanceolate; size: Up to 2 mm long and 1 mm wide
ovata) in the Centre; the flakes have a small brownish
oval spot in the Centre (about 0.8–1.0 mm long); it
swells rapidly in water and forms a stiff mucilage
(continued)
28 Genetic Improvement and Conservation of Medicinal and Aromatic Plants 617

Table 28.1 (continued)

Plant Parts used Description Quality
Kalmegh Dried stem and leaf Taste: Intensely bitter Andrographolide not less than 1.0% (calculated
(Andrographis on a dried basis)
paniculata)
Kutki Dried root Rhizomes are sub-cylindrical, straight or slightly Kutkin not less than 5.0% (calculated on a dried
curved, externally greyish with a wrinkled surface, basis)
circular scars on roots and bud scales, with cork
exposed at places
Mandukaparni Dried aerial part Colour: Green to greenish-yellow; taste: Slightly Asiaticoside not less than 0.5% (calculated on a
(Centella bitter and sweet dried basis)
asiatica
Manjishta Dried root Cylindrical, slightly flattened, wiry pieces of Rubiadin not less than 0.02% (calculated on a
brown to purple colour; taste: Bitter dried basis)
Mentha oil Aerial part of the Mentha oil is volatile; colour: Colourless or Menthol not less than 50.0% w/w
whole plant yellowish; clear liquid; odour: Characteristic and
pleasant
Opium Air-dried latex of The capsule is soft and shiny. After drying it Morphine not less than 10% and codeine not less
(Papaver unripe capsule becomes hard and brittle; colour: Blackish-brown; than 2.0% (both calculated on a dried basis)
somniferum) odour: Strong and characteristics
Peppermint oil Aerial part of the Oil is colourless, pale yellow or pale greenish- Esters not less than 4.5 w/w% and more than
flowering plant yellow; odour: Characteristics; taste: 10.0% w/w (calculated as methyl acetate); free
Characteristics followed by sensation of cold alcohols not less than 44.0% w/w (calculated as
menthol); ketones not less than 15.0% w/w and
more than 32.0% w/w (calculated as menthone)
Pippali large Fruiting spike Spike colour: Blacking green to green; shape: Piperine not less than 1.0% w/w (calculated on a
Cylindrical erect and blunt; size: 2–4 cm long and dried basis)
0.4–0.7 cm in diameter; taste: Pungent; odour:
Aromatic and characteristics
Pippali (small) Fruiting spike Greenish-black to black in colour, cylindrical, Not less than 0.4% w/w of piperine on a dry
(Piper longum) erect, pungent and blunt. Pungent taste with weight basis
aromatic odour. Spikes are of 1.0–1.9 cm long and
0.2–0.3 cm diameter
Punarnava Dried root Colour: Greyish-brown; short and fibrous fracture; Boeravinone B not less than 0.005% (calculated
(Boerhavia no distinct odour; taste: Bitter on a dried basis)
diffusa)
Senna leaf Dried compound leaf Pale yellowish-green colour leaflets with Not less than 1.0% w/w of sennosides A and B,
of Cassia angustifolia mucilaginous and faint odour calculated on a dried basis.
or Cassia senna Vhal
Senna pod Fruit of Cassia Pale yellowish colour with a slight odour Senna pods contain not less than 1.0% w/w of
angustifolia or Cassia sennosides A and B, calculated on a dried basis
senna Vhal
Sarpagandha Root Bitter taste; odour indistinct Not less than 0.15% reserpine and ajmalicine on
(Rauvolfia a dry weight basis
serpentina)
Satavari Tuberous root Dirty white colour, longitudinally wrinkled with Not less than 0.01% shatavarin IV on a dry
(Asparagus yellow hard central colour, starchy and slightly weight basis
racemosus) bitter followed by sweet taste
Tulsi (Ocimum Leaf Greyish-black with a characteristic odour, slightly Not less than 0.40% eugenol on a dry weight
sanctum) pungent and aromatic taste basis
Vasaka Dried mature leaf Taste: Bitter Vasaka contains not less than 0.6% of vasicine
(Adhatoda (calculated on a dried basis)
vasica)
Yasti Dried unpeeled root Odour characteristics and slightly aromatic; taste: Yasti contains not less than 3.0% of glycyrrhizic
(Glycyrrhiza Very sweet and faintly astringent. The bark is not acid
glabra) bitter
618 K. A. Geetha and S. Maiti

crops, cultivation of MAPs was started with the direct intro- 28.7 Characterization and Evaluation
duction of the species from the wild habitat as domestication
to agriculture. Hence, the collection of maximum variability The value and potential of the germplasm are known and can
present in any MAP species is the first and the most important be utilized once it is characterized and evaluated. Characteri-
step to start with any crop improvement programme. An ideal zation and evaluation of genetic variability present in MAP
germplasm collection of a crop should represent all the avail- species is being taken by different research organizations for
able variability present in that species and such collection is utilization of the useful variability efficiently.
termed a gene bank. Each entry in the gene bank should be For giloe (Tinospora cordifolia), studies were conducted
different from the other. Even though, there are two to evaluate the variability present in available germplasms
objectives for the collection of any germplasm, namely col- collected from different parts of India based on morphologi-
lection for specific traits (which are mainly going on in the cal characteristics. Molecular markers and chemical analysis
major crops where maximum variability present in the gene reported considerable genetic variability in the studied traits
bank is already utilized) and collection of maximum especially in leaf shape, size, leaf lamina base and chemical
variability from the natural habitats of a species (This is contents, which can be naturally expected in a cross-
going on in MAPs, since most of the species are new to pollinating dioecious species (Ahmed et al. 2006; Rout
cultivation and related research). One of the difficult tasks 2006; Ishnava and Mohan 2009; Rana et al. 2012; Paliwal
in the collection of MAP germplasm is defining the appropri- et al. 2013; Sharma and Geetha 2014; Singh et al. 2014;
ate sampling strategy for a particular species since the breed- Bajpai et al. 2016; Haque et al. 2017; Gargi et al. 2017;
ing behaviour of most of the species is not studied well. This Lade et al. 2018, 2020; Nazneen et al. 2019).
step is very crucial since this important task is considered the In Safed musli (Chlorophytum borivilianum), germplasm
interface between the genetic diversity that was created by collections made from different natural habitats of India
nature and what is going to be conserved in the gene bank for showed the presence of wide genetic variability in terms of
immediate or future use (Namkoong 1988). A general bench- crop maturity, plant type, plant growth characters, size and
mark for sampling is judicious division of the target area into shape of fleshy roots and yield traits (Jat and Sharma 1996;
different eco-geographic sub-division and collecting an opti- Aundhe and Deokule 2001; Kothari and Singh 2001; Geetha
mum number of about 50 random individuals from and Maiti 2001; Bhagat and Jadeja 2003; Maiti and Geetha
populations in each sub-division (Allard 1970; Brown and 2005; Kumar et al. 2008; Singh et al. 2008).
Marshall 1975; Krusche and Geburek 1991). In the case of Similarly, in kalmegh (Andrographis paniculata), isabgol
cross-pollinating species, the number of populations in an (Plantago ovata), ashwagandha (Withania somnifera),
eco-geographic sub-division can be reduced and the number sarpagandha (Rauvolfia serpentine), guggul (Commiphora
of individuals per site/population can be increased since we wightii), opium poppy (Papaver somniferum), senna (Cassia
can expect maximum variability within a population in cross- angustifolia), lemongrass (Cymbopogon flexuosus), etc., a
pollinated species. However, in the case of self-pollinating wide spectrum of variability was reported by different
species, a large number of populations from each researchers, which has to be utilized for initiating the breed-
eco-geographic sub-division have to be targeted for germ- ing programme in these species.
plasm collection since variability will be less within a popu-
lation and to represent maximum variability, one has to
survey more populations (Brown and Marshall 1995). 28.8 Reproduction and Pollination Control
Maintenance of the germplasm of different MAP species
requires a considerable amount of resources in terms of As in any other crop, in MAPs also, the knowledge of the
space, money and human power. In recent times, a large reproductive system, i.e. sexually propagated or asexually
number of institutes, universities and colleges, are collecting propagated, is the foremost requirement for handling the
germplasm for their short-term programmes, and after the breeding programme. In asexual reproduction, the plant is
study period, they are not making any effort to maintain regenerated through vegetative parts (vegetative reproduc-
this valuable germplasm. In India, the NBPGR is the nodal tion) or from the unfertilized gametes, ovular tissues etc.
agency that collects and maintains large collections of crops (apomixis).
including MAPs under the aegis of ICAR. The NBPGR also
provides germplasm of different MAP species for research • Vegetative Reproduction
and related purposes. Hence, it is advisable for the In vegetative reproduction, plants are regenerated through
researchers of MAPs to send the collected germplasm once aerial parts, namely stem (Tinospora cordifolia,
their projects are over for its maintenance in the national Commiphora wightii) or through underground stems
facility of NBPGR for long-term conservation. such as bulbs (tuberose), suckers (Aloe), tubers, runners
28 Genetic Improvement and Conservation of Medicinal and Aromatic Plants 619

(Centella), rhizomes (ginger, Acorus calamus), corms The determination of the mode of pollination and the
(Typhonium). Apomixis is another way of asexual repro- extent of cross-pollination in MAPs are neglected fields
duction (Commiphora wightii and Garcinia cambogia). where research has to be focussed. The first step to finding
However, in some species, there may be both ways of out the mode of pollination is to critically study the structure
reproduction. Crops like aloe, safed musli, giloe, lemon- of flowers. If the flowers have dioecy, protogyny, protandry,
grass, palmarosa, madhunashini and guggul are mainly cleistogamy, self-incompatibility, male sterility, etc. the spe-
multiplied by vegetative methods, and seeds are also pro- cies is adapted for cross-pollination (Fig. 28.2). Guggal
duced, which can be used for regeneration. From breeders’ (Commiphora wightii), Valeriana jatamansi, betelvine and
points of view, this property is an added advantage of the giloe are some of the examples of dioecious species.
species that can be utilized for crop improvement Protogyny is reported from isabgol. In aloe (Aloe
programmes as well as maintaining the variability created barbadensis), the flowers are protandrous. Male sterility is
by different breeding programmes. reported from isabgol.
• Sexual Reproduction If individual plants fail to set seed in isolation, it indicates
In sexual reproduction, the crops can be grouped into cross-pollination. Cross-pollination can further be confirmed
(a) self-pollinated crops, (b) cross-pollinated crops and by the reduced vigour of repeated selfing. If individual plants
(c) often cross-pollinated crops based on pollination in isolation set seeds, it is an indication of self-pollination or
nature. In self-pollinated crops, a limited degree of cross- there may be chances of apomixis. Apomixis can be ruled out
pollination of up to 5% may occur. Similarly, in cross- by histological studies or by crossing a recessive genotype to
pollinated species, a small amount of self-pollination a dominant genotype and studying the progenies. The appear-
(5–10%) may occur. In often cross-pollinated crops, ance of high-frequency recessive offspring in the progenies
cross-pollination may range from 5 to 30%. proves apomixes. Normally apomixes are associated with
polyembryony also (more than one seedling per seed).
Aparajita (Clitoria ternatea), ashwagandha (Withania The extent of cross-pollination in a species is worked out
somnifera), kalmegh (Andrographis paniculata), kaucha by growing a homozygous recessive genotype surrounded by
(Mucuna pruriens) and salaparni (Desmodium gangeticum), its corresponding dominant genotype. After allowing natural
are some examples for self-pollinated MAP species; aloe pollination, seeds will be collected from the recessive geno-
(Aloe barbadensis), asalio (Lepidium sativum), basil type, and the number of progenies showing the dominant
(Ocimum basilicum), chirayita (Swertia chirayita), giloe character in the next generation can be used for calculating
(Tinospora cordifolia), sarpagandha (Rauvolfia serpentine), the percentage of natural cross-pollination in the species. In
guggal (Commiphora wightii), lemongrass (Cymbopogon most MAPs, information on the percentage of cross-
flexuosus), palmarosa (Cymbopogon martinii), safed musli pollination is lacking except in isabgol, periwinkle, opium
(Chlorophytum borivilianum), satavari (Asparagus poppy etc. Information on reproductive biology is available
racemosus), senna (Cassia angustifolia and C. acutifolia), in detail or partly in some species, namely isabgol, safed
shankupushpi (Convolvulus microphyllus), valerian musli, glory lily, gentian, Ashoka, palas, opium poppy,
(Valeriana jatamansi) and tulsi (Ocimum sanctum) are khasi kateri; psoralea, periwinkle and lemongrass (Agrawal
some of the important cross-pollinated species; while isabgol and Tayyab 1958; Murthy and Abraham 1975; Patel et al.
(Plantago ovata) is an often cross-pollinated species. 1980; Pawar 1981; Handique 1986; Sridhar 1986; Chadha
However, in MAPs, information on the pollination and Gupta 1995; Geetha and Maiti 2002; Tandon et al. 2003;
behaviour is lacking in most of the species since they are Smitha and Thondaiman 2016).
recently domesticated. Considering the vast number of MAP
species, generating detailed data on these aspects is time
consuming, and work is under progress at different research 28.9 Selection
institutes. Knowledge of floral biology is very essential to
find out the pollination behaviour based on which different Selection is the most important activity in any crop improve-
breeding programmes have to be formulated for each species ment programme in MAPs. It is the widely used method for
including hybridization programmes. Floral biology or repro- the identification of superior cultivars since commercial cul-
ductive biology includes information on floral structures, tivation of MAPs is comparatively a new phenomenon.
particularly about androecium and gynoecium, flower open- Hence, selection itself will provide unlimited opportunities
ing pattern, time of flower opening, duration of flower open- to identify superior genotypes of breeders’ choice. In most
ing, maturation schedule of androecium and gynoecium MAPs, even the available variability has not been fully
including stigma receptivity and its duration, anther dehis- explored from the wild habitats. Most high-yielding MAP
cence and pollen dispersal. varieties are selected from the available variability present in
the germplasm.
620 K. A. Geetha and S. Maiti

Fig. 28.2 Plants have different

floral adaptations for pollination
control like male sterility
favouring cross-pollination. (a)
Normal spike of isabgol, (b) male
sterile spike of isabgol showing
shrivelled male sterile anthers

There are various selection methods, such as mass, prog- it cannot be used to illustrate the relative importance of the
eny, pedigree and pure line which have to be adopted in each direct and indirect effects of each of these component traits
species based on the mode of pollination, the predominance towards the final trait (yield and quality). The path coefficient
of gene action and the breeding objective. The efficiency of analysis, designed by Wright (1921), takes into account the
selection depends upon the extent of genetic variability pres- cause-and-effect relation between the variables by
ent in the germplasm and heritability (phenotypic variation partitioning the association into direct and indirect effects
due to genotypic variability) of the targeted trait. In MAPs, as through other independent variables. The path coefficient
mentioned earlier, quality yield (higher harvest index along analysis also measures the comparative significance of the
with higher active ingredient content) is more important. For causal factors involved. This is simply a standardized partial
example, in the case of kalmegh, genotypes have to be regression analysis, wherein the total correlation value is
selected based on higher dry herbage yield and subdivided into the causal scheme.
andrographolide content. Hence, the higher harvest index of In ashwagandha, (Withania somnifera), Kubsad et al.
total herbage and higher andrographolide content are to be (2009) reported a highly significant and positive correlation
targeted in kalmegh. Both traits are highly influenced by between harvest index, plant height and dry matter per plant
many components. In addition, due to low heritability, the with dry root yield.
direct selection for these characters is not effective. Khatak et al. (2013) reported that root yield had a highly
Biometric techniques, namely correlation coefficient, path significant and positive direct correlation with plant height
coefficient analysis and discriminate function analysis and root length. Sangwan et al. (2013) studied path analysis,
(Wright 1921; Dewey and Lu 1959) are adopted for deter- which revealed a positive direct effect of total alkaloid con-
mining the extent of association between yield and yield- tent on fresh root yield per plant followed by biomass yield at
attributing traits and to collect information about the inter- maturity, seed yield per plant, root diameter and number of
relationship of different characters with yield and quality berries per plant. Gami et al. (2016) reported a positive
traits. The correlation coefficient offers basic information correlation between dry root weight per plant and stem diam-
about the association between pairs of characters. However, eter, main root diameter, plant height, days to maturity, main
28 Genetic Improvement and Conservation of Medicinal and Aromatic Plants 621

root length and days to flowering, suggesting these traits were pollinated species, populations collected from natural
major influencing factors for increasing the dry root yield in habitats include heterozygous lines and upon continuous
ashwagandha. Sundesha et al. (2016) revealed dry root yield selfing, they show inbreeding depression (loss of vigour).
per plant had a strong positive association with root diameter, Hence, in cross-pollinated species, selection methods may
root length, plant height, root branches and days to maturity. be adopted either to avoid or minimize selfing or inbreeding
A positive direct effect of plant height and root branches per depression. Progenies of each heterozygous line will be het-
plant was observed on dry root yield per plant. Hence, plant erogeneous (a mixture of heterozygous lines). Hence, one of
height and root branches per plant may be good criteria for the important selection criteria will be to accumulate desir-
increasing dry root yield per plant through simple selection in able gene or allele combinations in a variety without causing
ashwagandha. Patel and Desai (2017) observed the existence inbreeding depression. To achieve this, mass selection or its
of a positive correlation between plant growth, root yield and modification, progeny selection, recurrent selection, etc. can
quality components. Srivastava et al. (2018) observed the be adopted (Figs. 28.4 and 28.5).
highest positive direct effect of fresh root weight, a total In the case of asexually propagated plants, a single plant
alkaloid (%) in leaves and 12 deoxy withastramonolide (%) based on the breeding objective, namely higher yield and
in roots on dry root weight. quality may be selected from the available variability,
Similar studies were conducted in a number of MAP multiplied and directly used as a variety. The procedure for
species, namely aloe, basil, isabgol, kalmegh, opium poppy, selection used in asexually propagated crops is known as
safed musli and sarpagandha for detecting genetic variability, clonal selection. The method can be effectively utilized in
heritability, an association of traits and direct and indirect crops, namely Aloe, Mentha, Chlorophytum borivilianum,
effect of different morphological traits to the final crop yield Centella asiatica and Bacopa monnieri. If natural variability
as well as quality (Patel and Desai 2017; Disha and Tirkey is lacking in the available germplasm, especially in crops that
2016; Kumar et al. 2014; Misra et al. 2000; Dayana et al. are not indigenous, namely Aloe, Stevia, Geranium and
2018; Ibrahim et al. 2011; Maison et al. 2005; Ozturk and Patchouli, induced mutation followed by clonal selections
Gunlu 2008; Mishra et al. 2010; Nejatzadeh-Barandozi et al. can be practised. Some of the important varieties identified
2012; Pandey and Mandal 2010; Rajnish et al. 2013; Sharma through selection methods are presented in Table 28.2.
and Singh 2012; Sharma et al. 2009; Singh et al. 2014, 2003;
Usmani et al. 2014). These studies will help the breeder select
better genotypes for direct use as high-yielding varieties and 28.10 Hybridization
define selection criteria for the enhancement of harvest index
along with chemical content and for the selection of parents The main objectives of hybridization are (1) creation of
for hybridization programmess, etc. variability, (2) combination breeding for bringing desirable
Considering the pattern of genetic variation for various traits (both qualitative and quantitative) into a variety from
target traits discussed above, different modes of selection can one or many other varieties or genotypes and (3) developing
be adopted for selecting superior genotypes of any MAP hybrid varieties and utilization of hybrid vigour. In MAPs,
species for direct use as a cultivar or for the selection of only limited efforts have been made to increase productivity
parents for hybridization programmes (Fig. 28.3). As in terms of plant yield and secondary metabolites through
discussed earlier, selection will be effective if: hybridization.
‘Clocimum’ is an interspecific hybrid of Ocimum sanctum
• Higher heritability of the trait under selection will yield and O. gratissimum, which is a rich source of eugenol (75%).
more stable and superior genotypes. An elite evergreen hybrid has been developed from Ocimum
• Information on the association of independent variables kilimandscharicum and Ocimum basilicum, which
(e.g. number of branches, plant height and leaf size) can be demonstrated adaptive behaviour towards cold stress
used as reliable selection criteria. (Dhawan et al. 2016).
• Since selection creates no new variation, the breeder Maximum work on hybridization and related work includ-
should have germplasm with sufficient genetic variability. ing interspecific hybridization was conducted in opium
poppy (Papaver somniferum) (Ojala and Rousi 1986; Singh
In self-pollinated species, the common selection methods et al. 1998; Yadav et al. 2009; Kumar and Patra 2010, 2012;
are mass selection, pure line selection and single plant selec- Matyasova et al. 2011; Nemeth-Zambori et al. 2011; Yadav
tion. However, for segregating populations, obtained after and Singh 2011). Varieties developed through hybridization
hybridization, selection may be done through the pedigree are presented in Table 28.3.
method, bulk method and back cross method. In cross-
622 K. A. Geetha and S. Maiti

Fig. 28.3 Genetic variability present in the germplasm is very impor- (G and H) Branching pattern. (i–k) Canopy types. (l and m) Flowering
tant for developing high-yielding varieties. The figure presents different branches
morpho-types of Andrographis paniculata (kalmegh). (a–f) Leaf types.

which is commonly found in species that are not native to

28.11 Induced Mutation Breeding India and are introduced to India. Isabgol, aloe, liquorice,
geranium, artemisia, patchouli, senna and stevia are impor-
Beneficial mutations are artificially induced by physical tant cultivated species where there is a narrow genetic base
agents (X-rays, gamma rays, neutrons, beta particles, alpha due to their exotic origin.
particles, proton or deuterons, UV rays, etc.) or chemical In certain cases, as in traditional crops, mutations can be
agents (Alkylating agents: EMS, MMS, nitrogen mustard, induced to improve the existing varieties or genotypes. For
etc.; Base analogues: 5BU, 2-AP, TMU, etc.; and example, in isabgol, the fruit (capsule) is the shattering type
Acridine dyes: acraflavin, acridine orange, ethidium bromide, and if unseasonal rain occurs at the crop maturity (summer
etc.) for creating new variabilities. These are utilized for crop rains), almost 90–95% seed shattering occurs. In this case,
improvement. In MAPs, the use of induced mutations is induced mutagenesis can be utilized for the development of a
important in crops where there is a narrow genetic variability, seed-shattering resistant variety.
28 Genetic Improvement and Conservation of Medicinal and Aromatic Plants 623

Fig. 28.4 A local and a high-yielding variety (Vallabh Medha) of Centella asiatica developed by selection and characterization of the two varieties
using RAPD markers (A1–A9: different decamer primers)

In kalmegh (Andrographis paniculata), seeds are used for in ploidy level results in an increased harvest index along
propagation, and since the flowering is not synchronous, fruit with enhanced active ingredient content also, it will be useful.
(dehiscent capsule), staggered fruit maturity followed by Bach (Acorus calamus) is a popular example wherein ploidy
shattering occurs. Hence, also, in this case, mutations can is related to the level of phytoconstituent. In Bach, diploid,
be attempted to develop a synchronous flowering type line. triploid, tetraploid and hexaploid are reported and β-asarone,
Similarly, induced mutations can also be attempted in a carcinogenic compound, is absent or negligible in diploids
MAPs to enhance the production of a particular active ingre- and its content varies drastically from 5 to 96% of the essen-
dient or aroma of commercial interest. However, for tial oil depending upon triploid, tetraploid or hexaploid
attempting this, information on details of the secondary (Janaki Ammal et al. 1964; Lander and Schreier 1990;
metabolite pathway should be known so that intervention in Todorova and Ognyanov 1995; Raina et al. 2003; Ogra
terms of mutagen treatment can be attempted at the right et al. 2009; Verma et al. 2015). In isabgol, as there is limited
metabolic production stage. scope for natural variability due to a narrow genetic base,
Varieties developed through induced mutation breeding induced polyploidy was tried. Tetraploid isabgol was devel-
are presented in Table 28.4. oped in the US for the first time in which seed size and
mucilage content were increased; however, there was an
associated reduced fertility. Mital et al. (1975) suggested
28.12 Polyploid Breeding the role of selection for further improvement of the Isabgol
polyploid. Induced tetraploidy was also attempted in periwin-
Polyploid has played a significant role in crop improvement kle, but due to high level of seed sterility and low seed
in many crops, especially in crops where plant biomass is germination, it could not be used for commercial purposes
important economically. In the case of MAPs, if the increase (Janaki Ammal and Bezbaruah 1963; Dnyansagar and
624 K. A. Geetha and S. Maiti

Fig. 28.5 Varietal development and their characterization in DMAPR AP35; (c) Characterization of two kalmegh varieties using
Andrographis paniculata (kalmegh). (a) Variety DMAPR- SRAP markers; (d) a mature crop of DMAPR AP35
AP35 (Vallabh Kalmegh 1); (b) Distinct close branching pattern of
28 Genetic Improvement and Conservation of Medicinal and Aromatic Plants 625

Table 28.2 Superior varieties developed for cultivation through selection

Species Name of the variety Characters
Aloe (Aloe barbadensis) Anand Aloe 1 High leaf and gel yield
CIM Sheel High leaf and sap yield contains about 40% sap, suited for rain-fed conditions, yield:
40–50 tons of leaves per hectare
Asalio (Lepidium sativum) GA 1 High seed yield
RVA 1007 Higher seed yield (1127–1827 kg/ha) and higher oil yield (321 kg/ha), resistant to Alternaria
leaf blight
HLS 4 Higher seed yield (1244–1725 kg/ha) and higher oil yield (306 kg/ha)
Ashwagandha (Withania GAA 1 Higher dry root yield (537–748 kg/ha), resistant to Alternaria leaf blight
somnifera) JA 20 Higher dry root yield
JA 134 Higher dry root yield
RVA 100 Higher dry root yield
CIM Pratap Long tap root with less fiber, dry root yield: 34.95 q/ha, withanolide content: 0.31%,
withaferin A content: 0.720%
Poshita Dry root yield: 14 q/ha, alkaloids: 1.3 kg/ha, withaferin content: 0.538% in dry leaves
Bach (Acorus calamus) CIM Balya Medium long and broad leaves, light cream-coloured cylindrical rhizomes, rhizome yield:
9–11 t/ha, oil content: 0.60–0.65%
Basil (O. basilicum) CIM Saumya Short duration, dwarf, early flowering, herb yield: 290 q/ha, oil yield: 197.2 kg/ha, oil
content: 0.68%, oil quality: Methyl chavicol 62.54%, linalool 24.61%
Brahmi (Bacopamonierri) CIM Jagriti Dry herb yield: 40 q/ha, bacoside-A content: 1.94–2.07%
Citronella (C. winterianus) Manjari Leaf medium broad, leaf sheath purple, herb yield: 145 q/ha, oil yield: 275 kg/ha, citronellal
content: 45.07%
Indian valerian (Valeriana Dalhousi clone 3.8% valepotriate
jatamansi)
Isabgol (Plantago ovata) GI 1 Higher seed yield
Hi 5 Profuse tillering, long and compact spikes and moderate resistance to downy mildew
JI 4 Higher yield
GI 3 Higher yield
Kalmegh (Andrographis Vallabh Kalmegh 1 Dry herbage yield 3.6 t/ha, high andrographolide content
paniculata) Anand Kalmegh
1 (AK 1)
CIM Megha High yield of dry biomass: 32–40 q/h andrographolide content:1.90%, plant height:
58–69 cm, leaf length: 5.0–5.9 cm, leaf width: 1.48–1.64 cm, plant spread: 48.3–50.0 cm,
canopy shape: Open, leaf colour: Dark green
Kaucha (Mucuna CIM ajar Trichomeless, early maturing: 120–125 days, L-DOPA content: 6.18%
pruriens)
Khus (Vetiveria CIMAP Khus 15 Erect growth habit; dry root yield: 9–22 q/ha; oil yield: 35–40 kg/ha; oil content: 2.1%.
zizaniodes)
Lemon basil (Ocimum CIM Jyoti Dwarf; early maturing; white flower; herb yield: 200 q/ha; oil yield: 150 kg/ha; citral content:
africanum) 68–75%
Lemongrass NLG 84 100–110 cm tall, broad leaves, dark purple sheath
(Cymbopogon flexuosus) Nima Dwarf; dark green leaf; leaf sheath dark purple in colour; herb yield: 289 q/ha; oil yield:
261 kg/ha; citral content: 89%
Chirharit Frost resistant; herb yield: 256 q/ha; oil yield: 260 kg/ha; citral content: 80%
CIMAP Sawarna Very fast growing; suitable for drought prone areas and marginal lands; herb yield: 549 q/ha;
oil yield: 208 kg/ha; citral content: 80%
Long pepper (Piper Viswam 2.8% alkaloid content, 25% dry matter content of dry fruits
longum)
Mandukaparni (Centella Vallabh Medha Leaf size is 4–5 times bigger, 3 times more herbage and quality yield than the local type
asiatica)
Mint (Mentha arvensis) CIM Kranti Stem purple green; semierect; 0.57% essential oil; 60–70% carvone; cold tolerant; oil yield:
100 kg/ha (winter) along with suckers (250–300 q/ha); 170–210 kg/ha (summer); menthol
content: 80%
Kosi Tolerant to leaf spot, rust and powdery-mildew diseases; early maturing: 90–100 days; herb
yield: 260 q/ha; oil yield: 200 kg/ha; oil content: 0.75%; menthol content: 75–80%
MAS 1 Medium tall with broad dark green leaves; highly branched; early maturing; oil content:
0.8%; oil quality: Menthol (84%) and menthone (5.8%)
(continued)
626 K. A. Geetha and S. Maiti

Table 28.2 (continued)

Species Name of the variety Characters
Peppermint (M. piperita) CIM Indus Oil yield: 70–75 kg/ha; oil content: 0.35%; oil quality: Menthofuran (27%) and pulegone
(15%)
CIM Madhuras Sweet smelling; oil yield: 120–125 kg/ha; oil quality: Limonene 3.5%, menthone 24.3%,
menthol 31.2%, menthofuran 6%
Spearmint (M. spicata) Punjab Spearmint 1 Stem purple green; semi-erect; 0.57% essential oil; 60–70% carvone
Arka Broad leaves; erect plant habit; early flowering and early maturing; suitable for flavour
industry; oil yield: 139 kg/ha; oil content: 0.60%; carvone content: 68%
M. spicata var. viridis Ganga Oil has insecticidal properties against stored grain pests, anti-microbial and potato sprouting
inhibition properties, oil contains piperitenone oxide in higher concentrations (73.13%)
Mentha x gracilis MCAS 2 Suitable for flavour industry; sweet smelling; herb yield: 482 q/ha; oil yield: 225 kg/ha;
cv. cardiaca carvone content: 64%
Opium poppy (Papaver Jawahar Aphim 16 12.5% morphine content; white flowered with deeply serrated petals; 2–3 capsules/plant;
somniferum) latex yield 60–65 kg/ha
Kirtiman White-flowered; serrated broad leaf; flat capsule.
Latex yield 45–50 kg/ha
Jawahar opium 539 Deeply serrated leaf with two capsules/plant; latex yield 65 kg/ha; 14.85% morphine content
Jawahar opium 540 Serrated leaf; latex yield 75 kg/ha; 13% morphine
Chetak Aphim Leaves large sized round and smooth; capsule12.6% morphine content
Subhra Medium-sized capsules; straw yield: 8 q/ha; morphine content: 0.86% in straw
Shweta Very big and bold capsules; seed yield: 8 q/ha; latex yield: 80–90 kg/ha; morphine content:
22% in latex
Sapna Tall variety with fringed leaves; white peduncle with flowers; 66.5 kg/ha opium yield and
about 18% morphine content in latex
Palmarosa (Cymbopogon Rosh grass 49 Tall, long and dense inflorescence, long and broad leaves with thick stems, 90% geraniol
martinii) CIMAP Harsha Medium tillering capacity, 1–1.5% essential content
Drought resistant, herb yield: 450 q/ha, oil yield: 300 kg/ha, geraniol content: 94%
Patchouli (Pogostemon CIM Samarth Faster regeneration capabilities, performs well both under open and shaded conditions, fresh
cablin) herb yield: 21.6 t/ha, oil yield: 80.7 kg/ha, oil content: 2.55%
Periwinkle (Catharanthus Prabhat High yield
rosea) Prabhal Winter hardy, leaf yield: 1.1–2.6 t/ha, total alkaloids content: 1.65–1.95%, root yield:
0.8–1.0 t/ha, total root alkaloids content: 1.5–1.85%
Rose (Rosa damascene) Noorjahan Suitable for north Indian plains and hills, flower yield: 35 q/ha, oil quality: Citronellol 20.8%,
geraniol 25.3%, a-damascenone 0.1%
Rosemary (Rosemarinus CIM Hariyali Essential oil is rich in camphor and 1-cineol, herb yield: 350 q/ha, oil content: 1.03%. Oil
officinalis) yield: 350 kg/ha
Sarpagandha (Rauvolfia TFRI-RS1 1.4–1.7% alkaloid content, medium plant height 60–80 cm, profuse branching
serpentina) TFRI-RS2 High reserpine and alkaloid content, more primary root, longer root
Salvia sclarea CIM Chandni Fresh flower spike yield: 170–175 q/ha, oil yield: 19–21 kg/ha, oil content: 0.12–0.14%, oil
quality: Linalool 26.19%, linalyl acetate 52.41%
Safed musli Jawahar safed musli Higher fleshy root yield
(Chlorophytum 405
borivilianum) Anand safed musli Higher root yield with 0.62% sapogenin content
-1 (ASM-1)
RVSM-414 Anther colour greenish-yellow with higher root yield
CIM Oj Tolerant to leaf blight in field conditions, root yield: 8 q/ha
Senna (Cassia Anand late selection High leaf yield
angustifolia) Sona Dry leaf yield: 11 q/ha, seed yield: 4 q/ha, sennoside content:3.51%
Shatavari (Asparagus CIM Shakti Dry root yield: 8–10 t/ha, saponin content: 21%
racemosus)
Sylibum marianum CIM liv More number of capitulum, seed yield: 9 q/ha, silymarin content: 2.8%
Tagetes minuta Vanphool Oil yield: 61 kg/ha, dihydrotagetone: 32%, (Z)-tagetone: 16.7%
Tusli (O. sanctum) CIM Angana Tall, leaves light to dark purple in colour, herb yield: 181 q/ha, dry leaf yield: 14.33 q/ha, oil
yield: 91.71 kg/ha, oil quality: Eugenol 40.42%, β-elemene 14.11%, β-caryophyllene 9.07%,
Germacrene-D 16.65%
28 Genetic Improvement and Conservation of Medicinal and Aromatic Plants 627

Table 28.3 High-yielding varieties developed by hybridization

Name of
Species the variety Breeding method Characters
Opium poppy CIM Ajay Developed through hybridization White peduncle, seed yield: 9.5 q/ha, straw yield: 8.5 q/ha, morphine
(Papaver followed by selection content: 1.036% in straw
somniferum) Rakshit Developed through selection in intra- Highly resistant to downy mildew disease caused by Peronospora
specific hybrids for diverse resistance arborescens,
seed yield: 12–14 q/ha, straw yield: 9–11 q/ha, morphine content:
0.5–0.87% in straw
Madakini Hybridization followed by selection High opium yield (40–42 kg/ha, seed yield (up to 12 q/ha), resistant
to diseases
M. spicata Neerkalka Developed through hybridization Presence of underground suckers for vegetative reproduction, unique
between Mentha arvensis and Mentha odour and flavour, herb yield: 128 q/ha, oil yield: 270 kg/ha, oil
spicata quality: Carvone (47%), limonene (35%) and menthol (0.6%)
Basil Vikarsudha Developed through intra-specific Longs late maturity, herb yield:335 q/ha, oil yield: 167.50 kg/ha, oil
(O. basilicum) hybridization content: 0.5%, oil quality: Methyl chavicol 78%, linalool 0.16%

Table 28.4 MAP varieties developed through mutation breeding

Variety
Species name Traits developed
Periwinkle (Catharanthus Dhawal The high alkaloid-producing variety produced by induced chemical mutation followed by rigorous
rosea) selection in the cultivated variety ‘Nirmal’
Opium poppy (Papaver Sujata Non-narcotic (opium-less seed cultivar)
somniferum) Vivek Tall variety with white petals, big sized capsule, seed yield of 9 q/ha, straw yield of 8 q/ha with
morphine content of 0.9% in straw
CIM Black peduncle, with seed yield of 7–8 q/ha, latex yield of 78–80 kg/ha and morphine content of 18%
Sampada in latex
Henbane (Hyoscyamus Aela Vigorous growth with a yield of 73 q/ha, with an alkaloid level of 0.55%, yellow flowers with a slight
niger L.) purple tinge at the base of the petals
Coleus (Coleus forskohlii) Suphala High yielding (15.93 t/ha) and can be cultivated throughout the year
Khasi kateri (Solanum Glaxo Almost spineless
viarum) BARC Less and curved spines
Arka Spineless
Sanjeevani
Arka Tetraploid
Mahima
Isabgol (Planatgo ovata) GI-2 Seed yield 13 q/ha
Niharika Seed yield 10–11 q/ha
Mayuri Seed yield 11 q/ha
Vallabh Seed yield (923–1040 kg/ha), mucilage yield (9.21 g/kg seed
Isabgol-1
Vallabh Higher seed yield (916–1360 kg/ha) and early maturity (100–105 days)
Isabgol-2
Bhui amla (Phyllanthus CIM Jeevan 0.75–0.77% phyllanthin content
niruri)
Sarpagandha (Raovolfia CIM Sheel Dry root yield 25–30 q/ha and reserpine content 0.030–0.035% in dry root
serpentina)
Chamomilla recutita CIM Dry flower yield 7.53 q/ha, oil yield 6.63 kg/ha, chamazulene content: 12.98%
Sammohak
Cymbopogon winterianus CIM Jeeva Herb yield 215 q/ha, oil yield 285 kg/ha
Mentha citrata Kiran Herb yield 508 q/ha, oil content 0.5%
Mentha piperita Pranjal Oil yield 90 kg/ha
Tushar Oil quality: Menthol (33.3%), menthone (27.3%)
Kukrail Oil yield 90 kg/ha
Mentha spicata Neera Herb yield 80 q/ha and oil content 0.40% content0.5%)
Mentha x gracilis Pratik Vigorous growth and larger leaves, suitable for flavour industry, herb yield of 212 q/ha/harvest, oil
cv. cardiaca yield 81 kg/ha/harvest, oil content 0.4%, carvone content 66%, limonene content 21%
628 K. A. Geetha and S. Maiti

Sudhakaran 1970; Krishnan 1995; Dhawan and Lavania 3. A single species will have multiple active ingredients, and
1996). In safed musli also the indication of the presence of targeting higher multi-compounds with a high harvest
polyploid series (Geetha and Maiti 2004) has to be exploited index is highly complicated.
further. Even though they do not perform superior to the 4. Information is lacking in most species regarding breeding
diploids, attempts were made in sarpagandha also to develop behaviour, a spectrum of genetic variability, the inheri-
polyploids with superior alkaloid content (Mittal et al. 1979; tance pattern of traits and their association with an active
Parimoo 1974; Guniyal et al. 1988). In Henbane, a tetraploid ingredient.
(1 + MT-1) was developed by the Central Institute of Medic- 5. Information on the active ingredient responsible for thera-
inal and Aromatic Plants (CIMAP). Solanum viarum, an peutic action and its inheritance pattern is lacking.
autotetraploid developed by the Indian Institute of Horticul- 6. Lack of efficient phytochemical methods to screen the
tural Research (IIHR), Bengaluru, was released as a variety active ingredient of therapeutic interest at early
(Arka mahima) for its commercial cultivation. generation.
7. Duplication of research by different national institutes,
universities and state-level agencies.
28.13 Conclusion and Future Prospects 8. Lack of communication among the MAP researchers,
industries and farmers.
Among the 7000–8000 medicinal plants reported from India, 9. Limited funding support for research and absence of coor-
about 1178 species are estimated to be in commercial trade. dination among the funding agencies.
In the Indian market, about 90–95% of the medicinal plants
traded are obtained from the wild. The cultivation of more Future research thrust should therefore be addressed by
medicinal plants has thus become a top priority in the agenda taking up on priority some of the problems mentioned above
of commercialization. Organized cultivation is practised only in a phased manner as follows:
in 65–70 medicinal plants and superior-performing varieties
are lacking in most cultivated medicinal species. However, 1. National policy for prioritization of species to be attended
utmost care should be taken to prioritize the number of in a phased manner.
species to be brought under cultivation. Profitability vis-a- 2. MAP germplasm collection and conservation from natural
vis volume of the raw drug material required should be some habitats should be monitored under one national
of the important factors for selection of species for cultiva- organization.
tion. A wide spectrum of variability was reported by different 3. Undertaking basic research on MAPs, namely floral biol-
researchers in most MAP species distributed in India, which ogy, breeding behaviour and synthesis pathway of active
have not yet been utilized fully. Hence, crop improvement compounds.
programmes are mostly led by classical breeding methods to 4. Efficient analytical facilities for phytochemicals for iden-
harness this variability. The use of biotechnological tools for tification of active ingredients and their screening in the
revealing the biosynthetic pathway for understanding the breeding material.
genes responsible for control of the secondary metabolite 5. Direct linkages of farmers and industry with the MAP
pathway is also a fast-growing area of research in MAPs. research groups.
Understanding of genes responsible for different active 6. Clinical study for prioritizing or limiting the targeted
ingredients of interest can be exploited by linking this infor- active ingredient/s in the breeding material.
mation with the genetic variability which will cut short the 7. Utilization of biotechnological tools for utilizing genetic
time frame required for conventional breeding programmes variability in a faster way.
in MAPs. 8. Compulsory certification of raw drugs so that the quality
However, the problems faced in MAP breeding are as of raw drugs can be assured, which would improve the
follows: profitability of MAP cultivation.

1. The number of MAP species is huge, and trained man- Lessons Learnt
power in the sector is limited. • MAP biodiversity utilization in India is massive and
2. The same species is used for different therapeutic mainly from nature. Hence, to relieve the pressure on
purposes. nature there is a need to bring more species under cultiva-
tion for sustainable supply to various industries.
28 Genetic Improvement and Conservation of Medicinal and Aromatic Plants 629

• Conservation of MAPs by employing in situ and ex situ Brown AHD, Marshall DR (1995) A sampling strategy: theory and
methods must be in place to ensure sustainability. practice. In: Guarino L, Rao VR, Reid R (eds) Collecting plant
genetic diversity: technical guidelines. International Plant Genetic
• Promoting cultivation of MAPs needs a steady supply of Resources Institute, Rome, pp 75–91
high-yielding cultivars in terms of active ingredients and Chadha KL, Gupta R (1995) Advances in horticulture—medicinal and
also biomass per unit area. aromatic plants. Malhotra Publishing House, New Delhi
• Breeding of MAPs is more challenging and complicated Dayana SN, Himabindu K, Suryanarayan MA, Umeha K, Rao VK,
Shivapriya M (2018) Correlation and path analysis in kalmegh. J
compared to crops because secondary metabolites are Pharmacog Phytochem 3:504–507
highly influenced by the environment in addition to the Dewey DR, Lu KH (1959) A correlation and path coefficient analysis of
diversified requirements of utility industries. components of crested wheat grass and seed production. Agron J 51:
515–517
Dhawan OP, Lavania UC (1996) Enhancing the productivity of second-
Key Questions ary metabolites via induced polyploidy: a review. Euphytica 87:81–
1. What are the different conservation steps for the 89
sustainability of MAPs? Dhawan SS, Shukla P, Gupta P, Lal RK (2016) A cold-tolerant ever-
2. What is the role of cultivation in MAPs? green interspecific hybrid of Ocimum kilimandscharicum and
Ocimum basilicum: analyzing trichomes and molecular variations.
3. What are the major breeding objectives in MAP improve- Protoplasma 253:845–855
ment? In what way breeding objectives in MAPs are Disha N, Tirkey A (2016) Studies on genetic diversity in various
different from traditional crops? quantitative characters in kalmegh (Andrographis paniculata) germ-
4. What are the different methods employed for the breeding plasm. Adv Res J Crop Improv 7(1):60–64
Dnyansagar VR, Sudhakaran IV (1970) Induced tetraploidy in Vinca
of MAPs? rosea Linn. Cytologia 35:227–241
5. What should be future research thrust in MAP breeding? Edreva A, Velikova V, Tsonev T, Dagnon S, Gürel A, Aktaş L, Gesheva
E (2008) Stress-protective role of secondary metabolites: diversity of
functions and mechanisms. Gen Appl Plant Physiol 34:67–78
Gami RA, Solanki SD, Patel MP, Tiwari K, Bhadauria HS, Kumar M
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 Seed Production Systems for Forest Tree Species
29
Abel Nicodemus

Abstract years (testing phase) and after thinning inferior accessions

An efficient seed production system is essential for both start functioning as an orchard (production phase). Seed
natural and artificial regeneration of forests. Annual new orchards are further improved through thinning inferior
recruitments ensure continuous forest growth and the evo- families and clones identified through progeny testing.
lution of different species. A large quantity of seeds is also Several technical and financial aspects have to be consid-
required to establish plantations outside the forest area for ered while planning for the development of seed orchards
fulfilling the need for wood and other forest produce. like choice of orchard type, location, orchard size and
Seeds are also vehicles for channelling genetic improve- requirements for the long-term management. Similarly,
ment of different traits to the plantations. Any breeding the factors like low or lack of flowering, low fruit set,
programme of a forestry species has a dedicated propaga- fertility variation among orchard trees, reduced pollina-
tion or production population which supplies the geneti- tion, pollen contamination from inferior sources have to
cally improved planting material either as seed or be constantly addressed to ensure the expected seed pro-
vegetative propagule. Seeds from the seed production duction and genetic gain. In general, a gain of 5–10% in
areas (SPA) meet the immediate seed demand till such a wood production is realized form SPA seeds, whereas
time the production populations become functional. seed orchards may return higher gains of 15–30%
Although the genetic gain obtained from SPAs is not depending on the species, stage of genetic improvement
high, they can be established with low cost and limited and benchmark used. Similar levels of genetic gain are
technical expertise. Throughout the world seed orchards expected from the two types of orchards for those traits
are planted for both tropical and temperate species for which have high heritability. Case studies of orchards of
cost-effective production of genetically improved seeds. three tropical trees with contrasting breeding systems are
They are plantations established with seeds or clonal discussed to explain the various biological, silvicultural
material from trees selected for desirable characters. and environmental factors involved in establishing and
They are intensively managed to produce an abundant managing successful seed production systems.
seed crop every year which is genetically improved and
possessing high level of genetic diversity. Two types of Keywords
seed orchards are recognized based on the kind of planting Seed production · Clonal seed orchard · Seedling seed
material used for establishing them. The clonal seed orchard · Genetic thinning · Pollen dilution zone
orchards (CSO) are raised with vegetatively propagated
material of the selected trees and preferred for those spe-
cies which take a long time to become reproductively 29.1 Introduction
mature. Seedling seed orchards (SSO) are planted using
seedlings obtained from seeds of selected trees and best Seed is the most preferred medium of forest regeneration
suited for species which commence flowering early. The throughout the world. Seed production and germination
SSOs are usually serve as a progeny trial in the first few ensure that new members are added to the forest annually
marking the continuous growth of the forest. Seeds, being the
A. Nicodemus (✉)
output of sexual reproduction, also help in the evolution of
ICFRE-Institute of Forest Genetics and Tree Breeding, Coimbatore,
Tamil Nadu, India different species and influence the composition of the forest.
e-mail: nico@icfre.gov.in In the natural ecosystem, seed production and their dispersal

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 633
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_29
634 A. Nicodemus

involve a complex plant–plant and plant–animal interactions The low plantation productivity is mainly due to the use of
particularly in the tropical forests. In case of trees, such seeds and other planting material from unknown and unim-
adaptations have helped them to gain fitness for withstanding proved sources. The twin requirements of continuous supply
the changes in soil and climatic conditions. Indeed, an effi- of large quantity of seed and ensuring their quality can be met
cient system of seed production is considered as a reliable by creating suitable seed production systems for the impor-
indicator of healthy forests. tant tree species. During past 50 years, productivity of
Seed is the major propagule for the artificial regeneration plantations of many tree species have been substantially
of trees also. A large number of trees belonging to different increased through tree improvement activities. They include
species are planted throughout the world. The planting within fast growing varieties and improved silvicultural techniques
the forest area supplements the low natural regeneration in aimed at maximizing the wood production and optimizing
some species. Outside the forests trees are planted for both input requirements. Production of genetically improved seeds
wood production and environmental services. Increasing is an important component of plantation development
green cover, windbreaks, shelterbelts, sand dune stabiliza- programmes. In this chapter, the various methods and
tion, reclamation of mined areas, saline and waterlogged techniques for producing seeds of forest trees are discussed.
areas and avenues are some of the services for which
plantations are raised. Trees are also planted in combination
with various agricultural and horticultural crops to maximize 29.2 Seed Production Systems—The
land productivity and income from farming operations. A Underlining Principle
majority of tree planting is taken up as plantations to produce
wood and wood products like timber, pulpwood for paper- Production of genetically improved seeds can be achieved
making, poles for construction, charcoal making and fuel- through various methods ranging from the low-input and
wood. Such organized large-scale plantation programmes low-genetic gain seed production areas (SPAs) to sophisti-
require suitable sources for producing the seeds needed to cated control pollination between parents known to have high
raise seedlings. breeding value for the desirable traits. A suitable system is
The perennial nature of trees facilitates collection of seeds selected based on the biology, the extent of its cultivation, the
every year and use them for establishing plantations. Seeds extent of genetic gain intended to be achieved and the costs
can be handled with least technical expertise and costs during involved.
collection, processing, storage and transport. Planting stock Seed production systems can be classified based on differ-
derived from seeds invariably is less expensive than any ent aspects. The most common way of looking at them is
means of vegetative propagation. In fact, seedling cost whether they are needed for a limited period of time or will be
constitutes only a miniscule of overall costs involved in used for a long time. The immediate need for seed is usually
growing a plantation. From the breeding point of view, met from reproductively mature plantations after thinning out
seeds indicate a generation turnover and with appropriate trees with poor growth and other traits. Production of geneti-
control over mating between desirable trees, the quality of cally improved seeds is usually obtained through seed
the seeds can be improved. orchards established by assembling superior trees for differ-
The extent of forest tree plantations has steadily increased ent end-use characters. Seeds from seed stands and orchards
during the past half a century. In many countries, natural are produced under open-pollinated (OP) conditions, that is,
forests are protected from harvesting timber as envisaged pollination occurs through natural vectors among the trees. In
by different forest policies and legal provisions. As a result, general, the open-pollination systems involve low costs for
the area under plantations increased rapidly during the last seed production. In sophisticated seed production systems,
three decades for meeting the demand for wood. India, for seeds are produced through artificial pollination between
example has the largest areas under plantations for species selected parents to produce progeny with specific combina-
like eucalyptus, teak, casuarina and others. They are owned tion of characters. Since such sophisticated systems need a
by different agencies like forest departments, industries and good understanding of the species’ biology and technical
farmers. Since a sizeable part of these plantations is harvested expertise, controlled pollinated seed production is limited
every year, a continuous supply of large quantities of seeds is among forestry species. The genetic gain may be high with
required to replant the harvested areas. the use of seed produced with parents known to have the
Faced by low productivity of plantations, countries like - desirable characters but the costs involved are usually high
India are left with the only option of importing timber and which forces its use for mostly breeding purpose only.
other wood products to fulfil the domestic demand. Most of
the tropical countries export timber to India (ITTO 2017).
29 Seed Production Systems for Forest Tree Species 635

29.3 Seed Production Areas expected from SPAs. The maintenance works include
removal of all residues of the felled trees and regular weeding
Seed production area (SPA) is an interim and cost-effective to facilitate seed collection. This is essential particularly for
arrangement for obtaining genetically improved seed trees like teak, where the woody drupes are usually collected
although only a limited genetic gain is realized. SPAs are from the ground which reduce the collection costs.
generally established while beginning the long-term genetic
improvement of a species for sourcing seeds until the more
advanced seed production systems like seed orchards become 29.3.3 Improved Versions of SPA
productive. They are also a preferred seed production system
for exotic species for which getting seeds regularly from the 29.3.3.1 Extensive Seedling Seed
natural range may be cost-prohibitive. If the seed source of Orchards/Seedling Seed Production Areas
the plantations converted into SPA is well-adapted to the The genetic gain expected from SPAs can be enhanced by
planting environment, SPA seeds guarantee successful estab- establishing plantations with well-adapted and selected seed
lishment of plantations even though the expected genetic gain sources and thinning them when they commence reproduc-
may be low. tion. Such seed production systems are useful for short-
rotation species since both economic rotation and reproduc-
tive maturity are reached early. In fact, if most suitable seed
29.3.1 Selecting Stands for SPA sources are used, for example, those obtained from an ongo-
ing breeding programme, their output can be comparable to
SPAs are established by thinning a natural stand or an even- that of more advanced seed production systems like seed
aged plantation and subsequently maintaining it for abundant orchards (Hai et al. 2008; Varghese et al. 2009a). Seeds
seed production. The major criterion for short listing stands from several dominant trees of seed sources/provenances
for conversion into SPA is possessing higher preponderance known for fast growth and other desirable traits through
of dominant and co-dominant trees than other stands in the earlier field testing are mixed and planted in an area suitable
target area. In addition, they are also expected to have as for the species. Plantations are subjected to one or more
many of the following features to facilitate regular mainte- thinning to remove inferior phenotypes to increase crown
nance and seed collection. development and seed production. Sometimes, provenance
trials are thinned to remove less adapted provenances and
(i) A minimum area of 5 ha to justify the investments made inferior trees for conversion into SPA. These unpedigreed
for establishment and seed collection. An optimum seed production systems have been popular in widely planted
extent would be 10 ha. Small areas increase the cost of short rotation species like phyllodinous acacia (e.g. Acacia
developing and maintaining per unit area. auriculiformis, A. mangium), casuarina and eucalyptus. The
(ii) A stand established through a known seed source with a genetic gain from SPAs can further be enhanced by collecting
history of producing good seed crop in the previous seeds from only the best trees (say the top 25%) in the SPA.
years. All trees function as male trees, while only an elite set
(iii) Even-aged stands are preferred with a stocking appro- functions as female trees. Biological (phenology, flower biol-
priate to the species. Low stocking will cause problems ogy and pollination limitation) and financial constraints have
for thinning and subsequent mating in the SPA. limited the extent of seed orchard use in developing countries
(iv) Easily accessible to undertake regular maintenance and in the tropics. If properly planned, the seed production areas
seed collection activities. can function as excellent unpedigreed seed orchards for the
extensively cultivated short rotation trees like acacia, casua-
rina and eucalyptus. In some species like eucalyptus, second-
29.3.2 Thinning in SPA generation seed production areas were developed through
progeny of earlier seed production area which showed
Stands identified for conversion to SPA are subjected to one growth comparable to clonal seed orchard (CSO) (Suraj
or more thinning to remove inferior trees and leaving only et al. 2019).
dominant and co-dominant trees. Thinning achieves the dual
objectives of increasing mean growth of the plantation and to 29.3.3.2 Low-Budget Genetically Improved Seed
open-up the canopy so that crown development takes place Collection
leading to more flower and fruit production. Inferior trees are SPAs are a good means of performing low-budget breeding
anyway removed even if their removal causes large gaps or breeding without breeding approaches (Lindgren and Wei
because they will further reduce the minimum genetic gain 2007; El-Kassaby and Lstiburek 2009). They are ideal for the
situations when (i) the financial resources are limited and
636 A. Nicodemus

(ii) genetic improvement in the species (like many tropical et al. 1996a; Swain et al. 1996; Kumar et al. 1997; Mandal
trees) is in the early stages and its biology is not well under- and Chawhaan 2003). Teak seed orchards aged 40–50 years
stood. The strategy is to get seeds of many trees from three or with information on the performance of their 20+ year old
more existing seed production areas and use them to raise the progeny constitute an important genetic resource for both
next-generation seed production areas. If the budget is per- forward and backward selections to achieve maximum
mitting, the family identity may be retained while planting or genetic gain.
otherwise it can be raised as an unpedigreed seed production
area. A compromise between these two options is to establish
1 or 2 ha of pedigreed and the rest unpedigreed SPAs. The 29.4.1 Types of Seed Orchards
best aspect of this approach is that the SPAs are primarily
raised as wood-producing plantations and the seed is consid- Generally, seed orchards are distinguished into two major
ered only as a by-product and thus the cost of seed is low. In types on the basis of the kind of planting material used for
case of teak, the average rotation age in government owned establishing the orchard.
plantations is 50 years. Assuming that the regular seed pro-
duction starts at the age of 20 years (by that time the planta- 1. A clonal seed orchard (CSO) is established with clonally
tion would have undergone 3 to 4 thinning), it is possible to propagated plants of selected trees.
collect seeds for the next 30 years. If the next-generation 2. A seedling seed orchard (SSO) is a seed orchard
SPAs are raised with seeds collected from 20 to 25-year-old established with seed propagules of selected trees.
existing SPAs, seeds of advanced-generation SPA will be
available when the older ones reach the age of commercial The choice of orchard type is mainly based on the suit-
timber harvest. Thus, both wood and seed production ability for the given species and the costs involved. Each of
functions can easily be achieved in the same plantation with- them functions the best in certain situations and returns the
out the requirement of large funding and technical expertise. maximum genetic gain. Despite the several interconnected
Considering that seed orchards of teak are not meeting factors involved in choosing the type of orchard, there are
demand for genetically improved seeds, such low-cost certain situations where a particular type will work better than
options ensure both seed availability and fairly good the other.
genetic gain. Clonal seed orchards are preferred under the following
situations.

29.4 Seed Orchards (i) The species is amenable for easy and cost-effective
vegetative propagation. Producing enough number of
A seed orchard is an assemblage of selected clones or propagules (e.g. rooted cuttings, grafts or tissue cultured
families and then managed to obtain genetically improved plants) is a key factor for establishing CSO. This
seed for operational forestation (White et al. 2007). It is a requires that the species allows itself for hassle-free
plantation established with propagules from selected trees propagation of trees selected for various characters.
primarily for seed production, isolated from other inferior (ii) The species requires many years to attain reproductive
pollen sources and managed for maximum seed production. maturity and produce seeds. Many tree species take
It is the most rapid and cost-effective way to mass produce several years to flower and set fruits which delay
seeds with substantial genetic gain. Seed orchards are easy to deployment of genetically improved seed into planting
plant, manage and achieve desired levels of genetic improve- programmes. Propagating reproductively mature trees
ment without the need of expensive infrastructure and human and planting them in CSO ensure early flowering and
resources (Varghese et al. 2000). seed production making quick returns from the
It is reported that seed orchards were planted in Java investments made in tree improvement.
during 1880 to produce seeds of Cinchona ledgeriana by (iii) The intended purpose of the orchard is only seed pro-
the Dutch colonists to fight malaria (Schreiner 1961). How- duction and no additional functions like genetic testing
ever, establishing orchards of important forestry species of accessions is envisaged. CSOs are predominantly
started much later. Predictably the first seed orchard in established using grafts, that is, scion material from the
India was established for teak considering its economic selected trees grafted on to root stocks of unknown
importance and the large area under cultivation. Since then, sources (Zobel and Talbert 1984). This combination of
every teak growing state in the country established teak seed two genotypes does not permit using the orchards as
orchard following more or less a similar protocol. Many of genetic tests. In rare cases, clonal testing and CSO are
these orchards are still being maintained well and some of combined where rooted cuttings attain reproductive
them have also been subjected to progeny testing (Nagarajan maturity quickly (e.g. casuarina and eucalyptus).
29 Seed Production Systems for Forest Tree Species 637

SSOs work well for the conditions listed below. from that tree are called ramets. The ramets obtained by
vegetative means are collectively referred to as clone. The
(i) The species is difficult for any means of cost-effective first consideration for designing a CSO is to decide how
vegetative propagation. The only option to capture the many clones to be planted. Seed orchards are typically
superiority of the selected trees is through their seedling established with 20–60 clones (White et al. 2007). In early
progeny. Seeds from each of the selected trees are stages of tree improvement programmes, inclusion of a larger
collected separately and seedlings are grown family- number of clones is considered to allow reduction in the
wise. Collection of open pollinated seeds (assumed number by thinning and other factors. Clones of CSO will
half sib families) is the most common method, although undergo progeny test and the ones whose progeny did not
full sib families produced through control pollination perform well will be removed from the orchard to improve
are also used. The families are planted as a progeny trial the pollen pool. A few others will also be eliminated if they
and then converted into SSO by removing inferior show no or low flowering and have asynchronous phenology.
families and individuals. Planting too few clones will result in low genetic diversity in
(ii) SSOs work well for species that attain reproductive seed crop and high level of pollen contamination, whereas
maturity early and produce a reasonable seed crop deploying too many clones will make planting and manage-
within a short time of 5–7 years (e.g. casuarina, euca- ment difficult and also likely to reduce genetic gain (because
lyptus, phyllodinous acacias). Most of these species also some of the clones may be inferior).
have short commercial rotations which help in ranking Once the required number of ramets for all the clones to be
the families and individuals for different traits and planted in a CSO are produced, a suitable field design is
undertake thinning of inferior accessions. prepared to decide the position each ramet will take. Using
(iii) Wherever possible SSOs are used to combine many the most suitable design helps in positioning ramets of the
functions like breeding, testing and seed production in same and related clones farther from each other to avoid/
a single plantation to save cost and time. minimize mating between them. A number of studies have
been undertaken to propose different kinds of seed orchard
In the early decades of orchard development, there was an designs. They include pure rows, chessboard, completely
intense debate on the advantages of choosing one orchard random, randomized complete block, fixed block, rotating
type over the other (Toda 1964; Zobel and Talbert 1984). The block, reversed block, unbalanced incomplete block, bal-
conclusion of such debate was tended to be in favour of CSOs anced incomplete block, directional cyclic balanced block,
in the beginning. It is also a fact that the CSOs are the most cyclic balanced incomplete-block, balanced lattice, permuted
widely planted type of orchard for a range of species through- neighbourhood and systematic designs (Giertych 1975; Bell
out the world. But over a period of time with the accumula- and Fletcher 1978; El-Kassaby 2003; El-Kassaby et al. 2007;
tion of knowledge, now it is widely regarded that the genetic White et al. 2007). Each of these designs work under specific
gain obtained from two types of orchards is usually the same conditions and requirements like the chessboard design may
particularly when the heritability is high for the trait under be suitable for bi-clonal orchards and balanced lattice design
improvement (Giertych 1975; White et al. 2007). Now it is can be used only when the number of clones is a square of a
common to see both CSO and SSO are used in the same tree whole number. The types of designs that are widely used for
improvement programme of a species under different establishing seed orchards are briefly discussed below.
circumstances. It is possible by suitably structuring orchard
development and management; the advantages of one type of (i) Completely randomized design: All the ramets are
orchard can be obtained from other type as well. According to distributed randomly in the given area without keeping
Shelbourne (1969), a CSO and associated progeny testing any blocks. However, suitable adjustments are made to
and a SSO established with cross pollinated families are avoid trees of related clones that are placed apart. This
expected to yield comparable genetic gain. Similarly, an design is suitable to accommodate unequal number of
untested CSO is as valuable as a SSO based on plants derived ramets of different clones.
from open pollination. (ii) Modified randomized block design: In this design one
ramet of each clone is randomly allocated in each block
in such a way that related accessions are placed at a
29.4.2 Structure, Composition and Design distance either within or between the blocks.
of CSO (iii) Permuted neighbourhood design (La Bastide 1967):
Two rings of trees of other clones protect each ramet
While discussing CSO, three terms with regard to the selected from the other ramets of the same clone. Even within the
trees are used: clone, ortet and ramet. The tree selected in the rings the combination of any two clones is kept as
field is called ortet and the vegetative propagules derived minimum as possible. A computer programme called
638 A. Nicodemus

COOL (coordinated orchard layout) was developed to flowering, pollination and seed production in the
generate efficient neighbourhood designs for many spe- orchard.
cies (Bell and Fletcher 1978). (vi) Seeds collected for commercial planting programmes
(iv) Systematic design: In every block of the orchard, the when at least 50% of the clones flower and produce
clones take similar positions. Thus, it is easy to establish seeds. Progeny tests are established with seeds col-
and maintain orchards using systematic design. The lected from individual clones when at least two-thirds
main drawback of the design is removal of two or of the clones are flowering.
more clones (placed together) during thinning leaves (vii) Thinning of clones whose progeny were found inferior
large gaps in every block of the orchard. But if clones through progeny testing. Since progeny tests results are
from advanced generation with known breeding values obtained fast for short rotation species, one or two
are used, the systematic design has the advantage of thinning may be sufficient. In case of long rotation
deploying higher number of ramets for the best clones species, a series of thinning will be undertaken as and
to increase the genetic gain. Models like linear deploy- when the latest data is obtained from the progeny tests.
ment of clones can also be adopted with this design
(Lindgren and Matheson 1986; Lindgren et al. 2009).
Another situation where systematic designs may be 29.4.4 Genetic Thinning in CSO
preferred is establishing orchards of dioecious species.
Entire rows of female and male clones can be placed Thinning in a CSO is both a genetic (backward selection) and
alternatively for easy establishment, maintenance and silvicultural intervention to increase seed production and
seed collection. In order to balance seed production increase genetic quality of seeds in terms of genetic gain
and diversity, equal number of female and male clones and genetic diversity. The ranking of the progeny in the
may be included, but more trees of female clones are progeny test determines which clones to be retained and
preferred to increase the seed production. which one to be removed. Clones whose progeny has
shown good performance (i.e. possessing high breeding
values) are retained, while those with low breeding values
29.4.3 Steps Involved in Establishing CSO are removed. Thinning may be taken in one or more phases
depending on the rotation age of the species and nature of
(i) Identifying trees with desirable characters from natural characters under improvement. Although the main benefit of
population and breeding populations. removing inferior clones is to increase the quality of pollen
(ii) Vegetative propagation of the selected tree by adopting pool of the orchard (i.e. paternal parent), additionally the
the most cost-effective and easy method suitable for the space released by them is utilized by the retained trees to
species. Often a clone bank is established in an area increase their crown area and thereby increase flowering and
close to the nursery by assembling the first set of seed production as well.
propagules of trees selected from different areas and A CSO with a unique composition of having many copies
shoots collected from the clone bank is subsequently of a clone provides an opportunity to retain varying numbers
used for raising the required number of plants for of ramets per clone depending on their genetic superiority
establishing the orchards. and seed production capacity. Lindgren (1974) proposed to
(iii) Field planting the CSO in a suitable area by adopting gainfully utilize this situation by retaining more ramets of
the most appropriate genetic/field design. clones with high breeding value and less for those with low
(iv) Since the only function of the trees in a CSO is seed breeding values. In other words, parental representation dur-
production, they are usually planted in a wider spacing ing orchard establishment or thinning would be linearly
than what is followed in a regular plantation of the related to their respective breeding values (Lindgren and
species. A wide spacing between trees promotes early Matheson 1986; Bondesson and Lindgren 1993).This strat-
and large crown development and adequate sunlight egy aims at deriving the maximum genetic gain through
falling on them which results in abundant flowering higher representation of high breeding value accessions and
and seed production. At the same time how wide the broadening the genetic diversity in seed crop through increas-
initial spacing can be is also decided considering the ing the total number of clones retained in the orchard. If the
thinning that will take place in future. The usual range seed demand is high, more orchards can be planted using
of spacing is 3 × 3 m to 10 × 10 m depending on the size only those clones having a high breeding value which are
and time taken by a species to commence flowering. sometimes called 1.5-generation orchards. But the term only
(v) Maintenance of orchard by adopting species- and emphasizes the additional genetic gain obtained within a
location-specific cultural operations to promote single generation since no generation turnover has taken
29 Seed Production Systems for Forest Tree Species 639

place (Zobel and Talbert 1984). They are now referred as higher cultural inputs are given, the precision of testing may
tested orchards or half-generation orchards (i.e. 0.5 genera- be reduced. The most widely used designs for SSOs are
tion over the current generation) (White et al. 2007). completely randomized, randomized complete and incom-
plete block designs. The completely randomized design
with single-tree plots is efficient in tackling the field hetero-
29.4.5 Structure, Design and Composition geneity and also ensures that trees of the same family
of SSO (siblings) do not occur together leading to related mating.
Single tree plots provide the smallest blocks but cause
Seedling seed orchards are formed using seedlings from trees difficulties in analysis in case of many casualties and would
with desirable characters. They are predominantly developed be very costly and difficult to keep identity of the trees when
with seeds formed generally through open-pollination and there are many families. The randomized complete block
rarely full sib seeds produced through controlled mating design involves replicated blocks each having all the families
between selections. As discussed earlier, SSOs are preferred planted randomly. This design works better when the block
where the species attains flowering phase early and both size does not exceed 0.1 ha. Large block size means higher
testing and seed production requirements are met from the soil heterogeneity within the block which reduces the effect
same plantation. Seedlings with family identity are first of randomization. In such cases, the incomplete block design
planted as a progeny trial and converted into a functional is used so that the effects of small-sized incomplete blocks
SSO through one or more thinning to remove inferior trees can also be accounted within each block to arrive at precise
within the families and all trees of the poorest families. SSOs estimation of individual and family performance. In case of
are the first choice in case of early stages of tree improvement complete and incomplete block design, each family is
involving exotic species where it is easier to obtain family- represented by a row-plot of three to five trees initially and
wise seeds from different countries than to get scion or any once they are assessed for different characters at an appropri-
other vegetative material. Other advantages of SSO are ate age, only the best tree is retained to avoid inbreeding
unlike the CSO they are established with the progeny of the among the siblings. Within-family thinning also releases
selected trees, that is, one generation ahead of CSOs (forward space for the retained tree to develop wider crown and more
selection). Seed collection from the selected trees inherently seed production in the second phase of the SSO.
helps in selecting for reproductive characters in the progeny
considering the fact that lack of or low flowering is a major
problem faced in CSOs across many species. 29.4.6 Steps Involved in Establishing an SSO
The structuring and designing of SSOs are done keeping
in mind multiple functions they are expected to perform (i) Seeds collected from selected trees keeping the family
(testing, seed production, base for future selection). Usually, identity and seedlings raised separately from them.
a large number of families are included (50–300) in the (ii) Seedlings are planted using a suitable design
progeny trial to keep a broad genetic base and to have more (e.g. completely randomized design, randomized com-
choices for selection (White et al. 2007). If the progeny plete block design and incomplete block design) in
testing/SSO is part of a long-term tree breeding programme, areas similar to the species planting zone adopting the
inclusion of 100 open-pollination families is considered as same spacing between trees as that of routine
minimum (Lindgren and Wei 2014). Each family may be plantations.
represented by 15 to 50 trees planted in a suitable statistical (iii) The progeny trial is maintained by adopting the silvi-
design. Usually, they are planted in replicated blocks; the cultural practices similar to that of commercial
families are randomly distributed within a block. The size of plantations during the testing phase.
the orchard depends upon the number of blocks which is (iv) Usually, trials are planted in contrasting locations
arrived at based on the amount of seed needed in the future. within the species’ planting zone using the same set of
SSOs have two distinct phases, the first phase is testing to families to assess the G x E interactions for different
determine the merit of individuals and families and the sec- traits.
ond phase is seed production. The field design of the orchard (v) At the end of the testing phase (at half- or two-third
is decided to balance these distinct functions which may rotation age), the trees are assessed for different
affect each other at some point of time. Being a test plot, it characters and breeding values of the families and the
will be located within the species’ planting zone adopting extent of G × E interactions is determined.
spacing and cultural practices similar to the routine (vi) Genetic thinning is undertaken based on the breeding
plantations. This may affect the flowering and seed produc- values of the families: a large number of trees from the
tion in the trees. On the other hand, if wider spacing and families with best breeding value and the best trees of
640 A. Nicodemus

the families with intermediate values are retained, while recombination centre. In several cases, the seed orchards are
most of the trees of the poorest families are removed. also clone banks, clonal/progeny tests, breeding populations
(vii) Once the thinning process is completed, the orchard is and germplasm assemblage. Hence, intensive management of
intensively managed to promote abundant flowering orchard is essential to gain maximum output in terms of seed,
and seed production. genetic gain and information. A compact but intensively
managed orchard is more preferable than a large one poorly
Thinning in a progeny trial is undertaken based on the per- looked after.
formance of both families and individual trees within a fam-
ily. Often the thinning process is taken up in at least two
phases. The first phase is almost entirely within-family in 29.5.1 Ensuring Survival
which the inferior trees of a family are removed. In case of
multi-tree plots, the plot size gets reduced to one or two trees, High survival (90% and above) is necessary in the initial
whereas the number of families left more or less untouched. years of an orchard. In case of low levels of casualties,
The second phase of thinning is among the families based on avoid filling the gaps at a later time which may result in
the mean performance of all trees of a particular family. The uneven growth and interfere with ranking of different
simplest method is truncated selection in which all trees of accessions. In particular, high survival is essential during
families whose mean performance is below a cut-off value the ‘testing phase’ of seedling seed orchard for accurately
are removed. While this method helps in increasing genetic assessing and ranking families and individuals for different
gain from the orchard, the genetic diversity in the seed crop characters. Every tree in an orchard earned its place after a
will be drastically reduced. The linear deployment option series of selection and elimination process and is highly
helps in balancing the genetic gain and diversity by retaining valuable. Losing them due to factors that are well within a
higher number of trees from the best families and lower manager’s control should be avoided.
number of trees from intermediate and poor performing
families (Lindgren 1974). This is particularly useful if the
SSO also has long-term function like providing families for 29.5.2 Ground Management
establishing the advanced-generation breeding populations
which should address both high genetic gain and genetic Weed control in the initial years is essential for the seedlings
diversity. Selecting the trees with high breeding value from to establish fast and grow vigorously. The ground should be
the outstanding families ensures capturing the genetic gain free from weeds and residual stumps. Apart from helping the
from parents especially for the traits that have low young trees to grow without competing with weeds, ground
heritability. management also facilitates fertilizer application, prevents
fire incidence and reduces possibility of insect attack. In
older orchards, weed control helps in easy assessment and
29.5 Silvicultural Requirements for Seed seed collection. Compaction of soil is frequently observed in
Orchards orchards especially in dry locations. Hardening of top soil
results in increased run-off of rain water severely reducing
Seed orchards being special plantations formed for a specific tree growth and seed production and dying of trees in serious
function require silvicultural practices suitable for the given cases. Loosening of soil just before the beginning of rains is
species and climatic and edaphic conditions of the site where often found to promote growth in orchards during first few
the orchard is located. The planting materials with which the years. If the spacing in an orchard allows movement of
seed orchards are established are developed by investing tractor, this operation can easily be carried out.
substantial financial and human resources. Planting and
maintaining them by adopting the cultural techniques are
necessary to ensure efficient functioning of orchards and to 29.5.3 Fertilizer Application
derive the intended genetic gain through the seeds collected
from them. The important silvicultural requirements for Application of fertilizers promotes vigour, growth and
establishment and management of seed orchards are flowering in seed orchards. This is usually done based on
discussed below. results from soil analyses. It is always desirable to carry out a
A seed orchard houses selected trees expected to produce detailed soil testing right at the time of selecting the site for an
high quality seed that will improve productivity in future orchard. Fertilizers particularly nitrogen and phosphorous
plantations significantly. In this context, an orchard should have promoted flowering in almost all the hardwood species
not be seen in terms of area of plantation but as a for which trials have been established (Varghese et al.
29 Seed Production Systems for Forest Tree Species 641

2009b). The timing of fertilizer application is critical if satis- high breeding value estimated through the performance of
factory results are to be obtained. It should be applied before their progeny in field tests many years later will have to be
the initiation of floral buds if immediate increased flowering visited for more seed collection or for producing new grafts.
is to result. Fertilizers also keep the trees healthy and to grow It is essential to be able to return to the correct accession
to a large size resulting in more reproductive bud locations. which keeps the orchard and the progeny test connected.
The emphasis on vigorous vegetative growth in the early It is useful to measure important characters like height,
years and shifted to flowering and fruiting once reproductive girth, stem straightness and health of trees even if the
maturity is reached. Application of growth regulators like orchards are not planted as trials. Once the trees reach
paclobutrazol dramatically increases flowering in orchards flowering stage, data on flower initiation, peak flowering,
but should be used with great caution as overdose and inap- pollinator visits and cessation of flowering may be recorded.
propriate time of application may kill trees (Griffin 1989, The appropriate time for seed collection can also be deter-
1993; Williams et al. 2003; Varghese et al. 2009b). mined by continuous observation of fruit development. Infor-
mation gained through these assessments will be useful in
determining whether the growth and flowering of orchard
29.5.4 Control of Pests trees are optimum in the given site, to initiate appropriate
management practices and also to make decisions on future
Managing pest attack (insect and diseases) is important both establishment of orchards in that and similar sites. Similarly
during the establishment and reproductive phases of the trees understanding the flowering initiation, peak and cessation,
in the orchard. In particular, pests attacking the flowers, fruits time of fruit maturity will help in estimating seed production
and seeds have to be effectively tackled to ensure high seed and undertaking timely seed collection. Records of the quan-
production with acceptable quality (like seed filling). Heavy tity of seed collected from individual clones/families, their
losses in seed production and seed quality have been reported seed filling and germination characters and details of the
for many species. The annual seed yield in a 20-year-old plantation raised with them will facilitate long-term monitor-
orchard of Pinus elliottii was 30 kg with insect control but ing of orchard dynamics and the performance of its progeny.
only around 20 kg when no control measures were taken A robust data base on the seed orchard is also necessary to
(Powell and White 1994). Reduction in fruit and seed yield make decisions on continuous investments in the orchard
was also reported from seed orchards of many conifers, teak, management, fixing the cost and marketing of the seed
eucalyptus, acacia and casuarina (Balu et al. 2016). While crop. It is equally important to record the movement of
undertaking chemical control of insects damaging flowers in seeds to various planting agencies and information on their
entomophilous species, care has to be taken not to affect the field performance.
pollinating insects.

29.6 Factors Affecting Orchard Output

29.5.5 Assessment and Record Keeping and Quality

Seed orchard development, management and deployment 29.6.1 Orchard Location

of seeds are long-term activities and keeping a good record
of all events will be useful in multiple ways. The foremost Locating a seed orchard should be decided according to the
need is to maintain the identity of entries (clones and species, and planted within the species’ range of adaptation.
families) in the orchard both in the field and in records. Further locations where the species is known to flower abun-
Orchard trees are planted in a specific field design by dantly and set seed consistently across years will be more
adopting uniform spacing between them. It is easy to identify preferable within the range. Areas where the species recorded
the location of a particular tree during the initial years when good wood volume need not always be ideal for abundant
the stocking is high and planting rows are continuous. During seed production. The site is also expected to be easily acces-
the later years when trees are removed either by casualty or sible and be available for long-term without any developmen-
genetic thinning, the spacing between trees becomes irregular tal projects. The other requirements are areas not prone to
and locating a tree as per the planting design will be difficult. natural disasters like cyclone, prolonged waterlogging, pest
It is necessary to periodically update the field design like attack and damage by wildlife. Soils with both low and high
once in a year or after every thinning and also mark the nutrient status should be avoided. While the growth is slow in
identity of the trees in the field as far as possible. Additional the former, the latter tends to promote more of vegetative
benefits are derived when seeds are collected clone or family- growth. Soils of average fertility are preferred which give the
wise for effective deployment in plantations and also to orchard manager to meet any nutrient requirement thorough
conduct progeny tests. Those trees identified to possess fertilizer application (Zobel and Talbert 1984). Another
642 A. Nicodemus

preference would be to have the orchard as close to the origin with overlapping flowering period which reduces both
managing agency’s headquarters as possible. Since orchards seed production and genetic diversity in the seed crop. Seeds
need intensive care, easy access will help in efficient man- of an early flowering clone in a teak seed orchard showed low
agement. Though meeting all of these requirements is nearly seed filling and germination (Nicodemus et al. 2009).
impossible, all available options have to be considered care- Apart from flowering synchrony among the members of
fully before selecting a site. the orchard, it is also necessary that their flower and fruit
production is balanced to achieve panmixis. But invariably
the clones/trees show large variation in their flowering and
29.6.2 Orchard Size fruiting behaviour. A few accessions tend to produce a higher
proportion of gametes (pollen and ovules) through abundant
Size of the orchard is determined mainly by the seed require- flowering than the others. The effective population size of the
ment. This in turn depends on the species and the amount of orchard and gene diversity in the seed crop will be seriously
seed production per tree. In terms of physical space, different affected by differential gamete production (Lindgren and
species will need varying area to have a well-developed Mullin 1998). In particular, if the clone/family that
crown so the area needed to house the same number of trees contributes the major proportion of seed is having a low
will vary across species. Small-sized (0.5–1.0 ha) orchards breeding value, it will have serious impact on the genetic
work well for short-rotation species like casuarina and euca- gain expected from the orchard progeny (Nagarajan et al.
lyptus where individual trees produce large quantity of seed. 1996a; Nicodemus et al. 2009). Fertility variation has been
Since the seed rate is also very high for these species, concise widely reported from seed orchards of both conifers and
orchards are preferred for them to be cost-effective and easy broad-leaved trees (Kang 2001). Seed orchards of the most
to plant and manage. But it is also a fact that small-sized widely planted tropical trees like teak, eucalyptus and casua-
orchards are more prone to pollen contamination from out- rina showed high levels of fertility variation severely affect-
side sources especially if they are surrounded by plantations ing the quality of the seed crop produced from them
originated from unimproved sources. Long rotation tropical (Varghese et al. 2004, 2009a; Nicodemus et al. 2009).
hardwood species like teak take long time to commence While it is not possible to avoid variation in gametic and
flowering and require large space to develop crown. Further progeny contribution of seed orchard accessions, it can be
seed production in teak orchards is generally low. Only 16 ha reduced to acceptable levels by resorting to suitable manage-
of plantations can be raised from seeds produced by 1 ha of ment practices. Low level of variation was observed in
teak CSO necessitating large-sized orchards (Nicodemus orchards located in areas conducive for flowering of the
et al. 2009). Species of single or few seeded fruits need species. Casuarina trees in coastal locations and teak orchards
more trees to be planted in an orchard than those with in medium-to-high rainfall (1500–2000 mm) showed less
multiple-seeded fruit. Teak fruits have only four ovules and fertility variation compared to orchards established with sim-
rarely all of them develop into viable seeds. But in case of ilar composition in other locations (Varghese et al. 2004).
Eucalyptus tereticornis, more than 50 seeds present in a fruit. Assembling accessions selected from the same provenance/
All these factors have to be considered before arriving at the population is expected may lead to similar flowering output.
size of the orchard. Since most of the forest tree species possess a major part of
genetic variation within the population, selecting candidates
for seed orchards from within a population is likely to capture
29.6.3 Phenology and Fertility Variation both the diversity and adaptability to the orchard site. High
levels of fertility differences were found during poor
The genetic gain expected from the seed orchards is based on flowering years. Flowering can be improved through appro-
the assumption that different accessions are unrelated and priate silvicultural interventions, or altogether avoid seed
they have equal chance of mating with each other (panmixis). collection during scant flowering years. Alternatively
If the flowering phase of a member is drastically different constrained seed collection, that is, collecting equal amount
from others, it may not contribute to the orchard pool by of seed from each accession will result in all gene
being reproductively isolated. Generally, those members of combinations equally represented in the orchard seed crop.
the orchard which flower much earlier or later than most of
others reduce the effective population size of the orchard. In
species where orchards established with selections from dif- 29.6.4 Pollen Contamination
ferent provenances, they tend to have differing phenophases
corresponding to their origin (Spencer et al. 2020). In such Pollen contamination from unimproved sources is a major
cases, mating is possible only with accessions from similar problem faced in seed orchards which reduces the genetic
29 Seed Production Systems for Forest Tree Species 643

gain. Further if the source of contamination has poor adapt- 1981; Griffin 1989; Eldridge et al. 1994; White et al.
ability, it will also affect the seed crop. If the orchard is 2007; Spencer et al. 2020).
located in the midst of routine plantations, it will increase Setting aside areas for pollen dilution zones and their
pollen contamination from external sources. Higher level of maintenances involves cost and continuous efforts.
contamination is witnessed in small-sized orchards compared Leaving a minimum distance of 150 m around a square
to large orchards due to smaller orchard pollen pool. The shaped 10 ha orchard will increase the orchard area
extent of overlapping of flowering phenology between the nearly by four times (White et al. 2007). Even if the
orchard trees and the surrounding population will also influ- high costs are accepted owing to the anticipated benefits
ence the level of pollen contamination. Estimates of pollen of reduced pollen contamination, the required extent of
contamination levels are available predominantly for the land may not be available in an area otherwise suitable
conifers, ranging from 2 to 74% for Pinus sylvestris, for orchard establishment. Such limitations have made
43 to 71% for Picea abies and 30 to 40% is considered as orchard managers to develop alternative methods for
normal for mature conifer seed orchards in Sweden with an reducing or preventing pollen contamination from infe-
average range of 30 to 50% (Kang 2001; Prescher 2007). rior sources.
Estimation of pollen contamination in 21 orchards of conifers Planting of a few rows of non-interbreeding species
including Picea glauca and Pseudotsuga menziesii in USA around the orchard is commonly practiced to reduce
and Canada showed two thirds of them receiving 33% pollen the entry of external pollen into the orchard. In cases
from other sources (Adams and Burczyk 2000). Pollen from where orchard trees are pruned, those in the peripheral
an exotic plantation of Eucalyptus loxophleba subsp. rows are retained without pruning so that they function
Lissophloia has been reported to be pollinating a native as barriers for pollen from outside the orchard. It was
population of E. loxophleba ssp. supralaevis, located shown that the pollen contamination was more in the
1940 m away (Sampson and Byrne 2008). The extent of edges compared to the lee side and central portion of the
economic loss from pollination by inferior sources can be orchard (Yazdani and Lindgren 1991; Nikkanen 2002).
realized from the fact that a 50% pollen contamination in an (ii) As far as possible establish plantations using known and
orchard will reduce the genetic gain by 25%. It is important to genetically superior sources in the areas surrounding the
take up every possible intervention available with the seed orchards as pollen enrichment zones. Alternatively
orchard manager to reduce the pollen contamination and locate the orchards in an area where the origin of the
realize the expected genetic gain. existing plantations is known to be an improved source.
The expectation from having pollen enrichment zones is
that even if pollen contamination occurs, it will not
29.6.5 Pollen Dilution Zones affect genetic gain substantially.
(iii) The decision of having the plantations surrounding the
The following are the major interventions taken to prevent/ orchard may not be entirely with the orchard mangers.
reduce pollen contamination. In such cases, keeping the pollen pool of the orchard
larger than that of other sources will increase mating
(i) Keeping an isolation distance from the plantations of the among orchard trees. Larger-sized orchards will have
same species and the orchard is important. This distance larger pollen pool compared to small-sized orchards. It
is called pollen dilution zone which varies depending on is also possible to take suitable cultural interventions
the species (wind or insect pollinated) and the location which increase flowering in trees. If the fecundity of
of the orchard. Small-sized orchards may need longer different accessions (clones/families) is already known,
isolation distance. For wind pollinated species, the min- having the most fecund entries in the peripheral rows
imum distance is 150 m but normally distances of and seed collection can be optional from these rows. In
500–1000 m were found to be more effective since it conifers which are wind pollinated, supplemental mass
was reported that external pollen sources can be even pollination method is adopted to increase the pollen
50 km away from orchards (Adams and Burczyk 2000; pool in the orchards and thereby improve overall seed
Di-Giovanni et al. 1996). There is scant information on production and genetic gain in orchards. Pollen from a
the isolation distances required for insect pollinated known and genetically improved source is collected and
species where the pollen transfer is mainly dependent sprayed in the orchard when majority of the trees are in
on the type of insect and its behaviour (Zobel and flowering phase. Supplemental mass pollination has
Talbert 1984). It is reported that eucalyptus and acacia been reported to reduce pollen contamination (Askew
orchards with insects as major pollinators require an 1992; El-Kassaby and Ritland 1986; Stoehr et al. 1998).
isolation distance between 100 and 200 m (van Wyk In case of insect, pollinated species apiaries are set up in
644 A. Nicodemus

orchards to increase pollination services within the 29.7 Genetic Gain from SPA and Seed
orchard (Moncur et al. 1993, 1995; Hardi and Kanso Orchards
1995).
(iv) In case of conifers, the onset of flowering in an orchard Genetic gain obtained from breeding programme is calcu-
is delayed by spraying water over the canopies to keep lated as the difference between wood production and quality
the temperature low. This method of influencing the of plantation raised with improved seed and those established
flowering phenology is called bloom delay which with unimproved sources. It can be either predicted from the
prevents mating between trees in the orchard and those genetic tests on the basis of parental performance or directly
outside. Although blooms delay involves high costs, it measured from field tests conducted with improved and
was proven to be effective in reducing contamination in unimproved seed sources (realized gain). While predicted
conifers like Pseudotsuga menziesii (El-Kassaby and gains are widely reported, information on realized gains is
Ritland 1986; Wheeler and Jech 1986). scant. The genetic and economic gain actually realized from
planting the seed orchard seeds is determined through genetic
gain trials. These trials are raised with the seed orchard bulk
29.6.6 Seed Collection and Deployment Options seedlot along with an unimproved seed source and any other
for Seed Orchards available alternate seed source. They are located in a typical
plantation environment adopting only those silvicultural
Seed is collected from all flowering trees in the seed orchard practices taken up in the plantations. The value of the addi-
and bulked and supplied to planting programmes. There are tional wood produced by the trees from orchard seeds minus
many options available to collect seeds from orchards which the difference in the cost of seed is the economic gain
can improve genetic gain and/or genetic diversity in the seed obtained from the tree improvement programmes which
crop. Seeds can be collected from only the best clones/ justifies the investments made in the programme. The genetic
families in an orchard to increase genetic gain provided the gain reported for even those traits with low heritability
entire seed requirement can be met from such accessions. (0.1–0.3) were 5–25% in the first generation both for conifers
Collecting seeds in equal quantity from each of the seed and angiosperms which justify the investments made in tree
orchard accession ensures high diversity within the seed improvement. It has also been amply demonstrated that even
crop. This method of seed collection will be particularly a few percentages of genetic gain in perennials results in
effective when there is high variation in the fertility among reasonable economic returns at the time of harvest.
seed orchard trees. Capturing maximum diversity will also be Economists have determined that forest seed orchards are
useful in cases where the location of the prospective sound investments if they are productive. On the other
plantations is not known and there is a need to have maxi- hand, any activity of breeding brings societal benefit only
mum diversity within the seed crop to increase its when the trees raised from genetically improved variety has
adaptability. been harvested by the growers and obtaining a higher eco-
In a CSO, seeds may be collected clone-wise, that is, seeds nomic return (Talbert et al. 1985; White et al. 2007).
from all ramets of a clone are pooled and deployed as open- Information available on genetic gain obtained through
pollinated (OP) family seedlot. Such a deployment has use of seed orchard seeds is mostly for conifers planted in
advantages like (i) the high level of uniformity within a the temperate regions of North America, Europe and
family in terms of nursery development, uniform early estab- New Zealand. These trees are in their advanced-generation
lishment in the plantation and quality of wood harvested have breeding and seed orchards are the main propagation
significant impact on the costs involved and returns obtained populations of these programmes. In contrast to the tropics
in the forest plantation programme; (ii) OP families suitable (South America, Asia), the share of clonal forestry is negligi-
for different growth and end-use characters can be deployed ble (Sonesson et al. 2001). Seeds from orchards of scots pine
and (iii) with prior information on the G x E interactions of (Pinus sylvestris) produced 10–25% higher wood volume
OP families, the site-family matching can be effectively taken than unimproved sources (Rosvall et al. 2002; Andersson
up to increase adaptability and wood production. Use of OP et al. 2007). The gains realized through subsequent
families from orchards is widely practiced for raising large generations of breeding of Pinus radiata has been denoted
areas of plantations of Pinus taeda and P. elliottii in south- by ratings starting from GF1 (growth and form; unimproved
eastern USA where large blocks of single OP families are source). The improved variety GF22 had mean annual incre-
raised. In order to keep diversity, many families are used ment of 24.9 m3 ha-1 year-1 compared to 19.9 m3 ha-
which may vary from one location to another depending on 1
year-1 of unimproved variety, a genetic gain of over 25%
the site quality and other requirements (McKeand et al. 2003; (Carson et al. 1999). The temperate species Eucalyptus
White et al. 2007). globulus yielded 60% genetic gain over unimproved variety
29 Seed Production Systems for Forest Tree Species 645

Table 29.1 Current extent of seed orchards of different tropical tree species and gains realized
Seed Realized
Annual planting orchard genetic gain Proportion of plantations
Species area (000 Ha) area (Ha) (%) from orchard seed (%) References
Tectona grandis 40 1648 10–68 >5 Nagarajan et al. (1996a), Mandal and
Chawhaan (2003), Goh et al. (2013)
Eucalypts 300 43 Height-17; 5–10 Kumar et al. (2016)
camaldulensis DBH-14
Casuarina equisetifolia 100 18 Stem 2–25 Nicodemus et al. (2011)
and C. junghuhniana volume-
13–28
Acacia auriculiformis 10 15 Stem >5 Hai et al. (2008)
volume-
59–129

for Kraft pulp production contributed by improvement in Seed from teak orchards has not been subjected to system-
growth rate, wood specific gravity and pulp yield (Cotterill atic testing to quantify the genetic gain that can be realized in
2001). operational planting programme. A wide range of 10–68%
Reports on realized gain by using genetically improved genetic gain for single tree volume/basal area has been
seeds are far less for tropical trees compared to conifers as reported from progeny tests established with limited number
they are in their early stages of domestication and breeding. of trees and evaluated at varying ages from 5 to 20 years
However, the extent of gains realized from even the first- (Nagarajan et al. 1996a; Mandal and Chawhaan 2003; Goh
generation orchards is encouraging. Table 29.1 shows the et al. 2013). Considering the heavy demand for teak timber
details of genetic gain obtained for the most extensively and the high prices prevailing in the international timber mar-
planted tropical tree species of acacia, casuarina, eucalyptus ket, even the lowest genetic gain of 5% is sufficient to justify
and teak. Conical stem volume of 4-year-old trees of Acacia the investments made in teak improvement (Kjaer and Foster
auriculiformis raised with seedling seed orchard seeds was 1996).The current extent of seed orchards of all widely
22.3–27.7 m3 ha-1 compared to 12.1 for the unimproved cultivated trees is inadequate to meet the annual planting
commercial seedlot. Even the seeds from an unpedigreed target in India. Although clones fulfil considerable portion
SPA yielded 23 m3 ha-1, returning a gain of about 90% of the demand for improved planting material, they have
(Hai et al. 2008). The huge difference between the seed limitations like cost and risks posed by low genetic diversity.
sources indicates the inferior nature of the local seeds used The data presented in Table 29.1 indicate that vast areas of
for raising plantations which lead to suboptimal utilization of plantations are still raised with seeds from unknown and
potential of the planting site. In South Africa, the average probably unimproved sources leading to under realized
gain in wood volume per generation was 14% for three potential of the land and the crop. In contrast, in the USA
generations of breeding Eucalyptus grandis (Verryn et al. more than 2000 ha of orchards of Pinus taeda and P. elliottii
2009; Harwood 2014). SSO families of E. globulus showed produce seeds sufficient to plant approximately 700,000 ha
22.6% increase in volume over the check seedlots (Callister annually which is about 90% of the total planting area in the
et al. 2013). The realized genetic gain from a second- country (White et al. 2007).
generation SSO of E. pellita in Indonesia was 16% for height,
19% for diameter and 21% for stem form (Leksono et al.
2008). In China, SSO of E. urophylla yielded a gain of 5.2% 29.8 Case Studies of Tropical Trees
over seed stand and 16.1% over imported commercial seed
for individual tree volume. Advanced-generation CSO of the 29.8.1 Teak
same species produced a 10.4% gain over seed stand and
31.3% over commercial seed (Huang et al. 2003). Plantations Teak is a high-value timber species preferred world over for
raised with seeds from unpedigreed orchards of its durability, suitability and aesthetics for various uses. It is
E. camaldulensis showed 17% gain in height and 14% for naturally distributed in India, Thailand, Myanmar and Laos
diameter in India. Similarly seeds of SSO of nitrogen fixing and planted as exotic in almost all tropical countries. Teak
species, Casuarina equisetifolia produced 50% higher coni- timber was harvested from natural forests until
cal volume and that of C. junghuhniana 112.5% more than mid-nineteenth century and when the supplies started dwin-
unimproved seed sources in south India (Nicodemus et al. dling, large-scale plantations were raised. Now the estate of
2011). teak-bearing forest and plantations is among the largest in the
646 A. Nicodemus

world (Graudal and Moestrup 2017). A large quantity of low seed output needs to be understood in the light of repro-
seeds is required to meet the annual planting target through- ductive biology and breeding system of teak. Teak
out the world which was usually met by collecting seeds from inflorescences are borne terminally and the formation of
the existing plantations. But the productivity of teak first inflorescence results in forking of the main stem
plantations gradually declined with continuous harvesting (Kaosa-ard 1996; Nicodemus et al. 2009). Teak
and replanting. Indian teak plantations showed a low produc- inflorescences are large in size having a few thousand flowers
tivity ranging from 0.97 to 5.64 m3 per ha per year with an each, but the fruit to flower ratio is very low (<1%). Teak is
average of 2.85 m3 per ha per year in a 53-year rotation an outcrossing species pollinated mainly by insects (Kjaer
period (Subramanian et al. 2000). Since the slow growing and Suangtho 1995; Nagarajan et al. 1996b). The fruit which
plantations could not meet the rapidly increasing timber is botanically a drupe is the unit of sowing in the nursery and
demand, large-scale imports were made to bridge the gap. is normally referred to as ‘seed’. Although a fruit has four
India is among the largest importers of timber (mainly that of locules, many of them possess a single seed at the time of
teak; Kollert and Walotek 2017). maturity. A significant proportion of fruits may also be empty
without any filled seed. These factors contribute to low and
29.8.1.1 Seed Production Systems staggered germination of teak seeds which seldom exceeds
Establishment of seed orchards of teak began almost at the 40% even with the best nursery practices. In Thailand, 12 kg
same time when modern tree improvement activities were of seed is needed to raise seedlings sufficient to plant 1 ha of
started throughout the world during the mid-twentieth cen- plantation (Wellendorf and Kaosa-ard 1988). Considering
tury. They were designed similar to the clonal seed orchards such heavy seed requirement, it is nearly impossible for the
of conifers in Europe and North America. Plus trees were CSOs with low output to meet the seed demand and make an
selected from natural populations and plantations mainly impact on the productivity of plantations.
based on traits that determine the timber volume, that is, The reasons for low reproductive output and success in
growth, clear bole (axis persistence) and stem form. Bud teak in general and seed orchards in particular have been the
grafts of the selected trees were used to establish clonal subject of several studies undertaken during the last three
seed orchards. CSO generally included 15–25 ramets each decades. Lack of or low flowering, lack of sufficient pollina-
of 20–40 clones planted in a completely randomized design. tion by insects, asynchronous flowering phenology and high
A few rows of fast-growing species like eucalyptus were level of fertility variation among clones and damage of
planted around the orchard as a pollen dilution zone. Large flowers and fruits by insects were reported as major factors
areas of CSOs were established in India (1022 ha) and limiting both seed production and the intended genetic gain
Thailand (1830 ha) during 1950–2000 (Kaosa-ard et al. from the teak orchards. A list of such studies is provided in
1998; Katwal 2005). SPAs were also established simulta- Table 29.2.
neously to meet the current demand till the time CSOs com- In teak the age at which the first flowering occurs is
mence seed production. Reproductively mature plantations reported to be under genetic control (Nanda 1962). The apical
(20–30 years) were subjected heavier thinning than commer- meristem is used for producing the terminal inflorescences
cial level and used for seed collection. SPAs occupy an area which results in branching of the main stem. Thus, the clear
of 2185 ha in India (Katwal 2005). bole height which is an important character influencing tim-
ber yield is determined by the age at which the first flowering
29.8.1.2 Status of Seed Production occurs. A strong inverse relationship between clear bole
A vast majority of the teak seed orchards did not function height and the number of flowers produced was found
well in terms of seed production. The seed production was among clones in an orchard (Nicodemus et al. 2009). The
generally low, 18 kg per ha per year in India and 50 kg in clear bole height is one of the primary selection criteria for
Thailand in 15–30-year-old orchards (Wellendorf and Kaosa- identifying plus trees which has led to selection for apical
ard 1988; Nicodemus et al. 2009). The inadequacy of such dominance and delayed flowering when assembled in

Table 29.2 Factors affecting seed production, genetic gain and gene diversity in teak seed orchards
Limiting factor Effect on seed production and outcrossing Reference
Clonal variation for flowering Unbalanced gene representation in seed crop Gunaga et al. (1999), Nicodemus et al. (2009)
Non-overlapping of flowering Reduction in panmixis; preferential mating Nagarajan et al. (1996b);, Vasudeva and
phenology Gunaga (2012)
Pollinator behaviour/efficiency Increase in geitonogamy Tangmitcharoen et al. (2006)
Fertility variation: Clonal, annual Reduction in effective population size and genetic diversity Varghese et al. (2004, 2006)
in seed crop Nicodemus et al. (2009)
Poor germination and fitness Low nursery output and reduced genetic gain Indira and Basha (1999)
29 Seed Production Systems for Forest Tree Species 647

orchards. Most of the orchards have not been thinned and the over unimproved seed sources. Kjaer and Suangtho 1997
trees could not develop a large crown for producing predicted a genetic gain of 12–17% from teak CSOs over
inflorescences. Assembling clones from populations under unclassified seed sources and results from different field tests
diverse environmental conditions caused variation in their have confirmed that prediction (Nagarajan et al. 1996a;
flowering phenology. The effective population size is Mandal and Chawhaan 2003; Goh et al. 2013).
reduced when some clones flowered well before other clones The sustained low seed production and the absence of
in the orchard. Inclusion of clones selected from similar robust interventions to reverse it have kept the teak orchard
environmental conditions and locating the orchard close to not connected with the commercial planting activities. The
the origin of selected trees may help trees retain their adapt- demand for improved planting material is mainly met from
ability to flower. The spacing between trees in teak orchard seed production areas particularly in India and Thailand. A
needs to be increased either at the time of planting or through minimum of 8% gain in wood production is expected from
periodic thinning to facilitate adequate crown development plantations raised with seeds from classified seed stands
and reduce fertility variation among clones. Many silvicul- through improvement in volume and stem form (Kjaer and
tural and chemical interventions were attempted to increase Suangtho (1997). This gain is still profitable considering the
flowering but none could significantly increase flower and value of the additional timber produced and the steady
seed production. Seed collection from clones having increase in timber prices in the international market (Kjaer
flowering phenology highly non-overlapping with rest of and Foster 1996). SPAs are primarily timber-producing
the orchard may be avoided to improve genetic gain and plantations and the seed production is only an additional
diversity in the seed crop. function derived from them which makes the seed production
Teak is predominantly pollinated by insects although pol- cost low. Teak SPAs were found to function well in terms of
lination by birds was also reported (Hedegart 1973; fertility variation among trees and effective population num-
Nicodemus et al. 2005). Thirty-five insect species belonging ber (Varghese et al. 2008). Seeds from SPAs showed better
to different orders were found visiting teak flowers in south germination and seedling quality compared to the progeny of
India (Mathew et al. 1987). Both solitary and social bees CSOs (Indira and Basha 1999; Jayasankar et al. 1999). Con-
were found to be the most frequent pollinators. The sidering these factors, Lindgren (2005) proposed a low input
implications of these observations are maintaining adequate breeding strategy for teak involving successive generations
ground vegetation in and around the orchard as refugia for the of seed production areas. It proposes to have a sufficiently
bees and introduction of apiaries to increase pollinator visita- large SPA of around 25 ha and collect seeds from the best
tion. But it is difficult to come across reports on actual trees and establish the next-generation SPAs. Once the seed
implementation of such recommendations and their impact is available from the new SPA, seed collection is stopped
on seed production and quality in orchards. from the earlier area and it is harvested when the commercial
Although varying levels of loss of seed produced in an rotation period is completed. The advantage of this strategy is
orchard due to pest attack have been reported for almost all that it provides continuous genetic improvement with low
species throughout the world, it assumes more significance costs and technical expertise and land requirement and it
for teak since there are two major insect pests (defoliator overcomes the limitations of seed production through
Hyblaea purea and skeletonizer Eutectona machaeralis) keeping a large number of trees in the SPA.
attacking teak which also damage flowers and young fruits. The challenges faced at every stage of sexual reproduction
In addition, teak flowers and fruits were found to be predated in teak have shifted the focus on vegetative propagation of
by fruit borer and inflorescence feeder Pagyda salvalis, sap selected material for commercial planting in the recent years.
sucking bug, Leptocentrus vicarius and fruit borer and The argument for large-scale multiplication of selected
Dichocrocis punctiferalis (Neelay et al. 1983). Heavy clones is based on the facts (i) overcoming the problems
dropping of developing fruits was reported to occur due to faced in seed germination and making available the required
infection by the fungus Phomopsis and Colletotrichum sp. in amount of planting stock across seasons and years,
Kerala, India (Mohanadas et al. 1999; Indira and Mohanadas (ii) capturing the full genetic potential of the selected trees
2002). Chemical control through spraying of insecticides and and ensuring high level of uniformity of characters in the
fungicides has been found controlling the pest damage and plantations, (iii) benefitting from the apical dominance which
increasing seed production. However, such practices are not increases the clear bole height which otherwise delays sexual
widely followed due to logistical constraints. reproduction (Monteuuis and Goh 2017). Progeny of seeds
collected from seed orchards or plus trees is raised in suitable
29.8.1.3 Realized Gain from Orchards trials and the outstanding trees in terms of growth, stem form
and Alternate Options and wood properties are selected for vegetative propagation,
Despite the factors limiting seed production in teak CSOs, clonal testing and deployment for plantation development.
many tests have demonstrated the superiority of CSO seeds Highly refined tissue culture techniques (e.g. micro-grafting)
648 A. Nicodemus

are used to mass produce the selected germplasm overcoming the subgenus. Eucalyptus trees have a mixed mating system,
the limitations like season and space requirement usually that is, selfing takes place in the absence of outcrossed pollen.
faced in seedling nurseries. The share of plantations raised The extent of self-pollination is reported to be in the range of
with such clonal planting material has been steadily increas- 10–35%. Insects are the major pollinators in many species,
ing especially in the exotic areas of West Africa and central although other animals like birds also participate in
and South America. Clonal forestry in teak is a welcome pollination.
development to realize the genetic gain from selection and
breeding but it can only complement the sexual breeding 29.8.2.1 Structure of Seed Production Systems
programmes to achieve the breeding objective. In order to The large area of planting, short rotations (particularly for
make more improved clones with new characters in terms of pulpwood production) and the presence of large variation at
adaptability and timber production, the sexual breeding various taxonomic levels have generated willingness to
programme has to continue. The new recombinants generated invest in genetic improvement of eucalyptus long ago. Sys-
for various characters may be subjected to mass multiplica- tematic long-term breeding programmes were started in many
tion through vegetative means to meet the demand of geneti- countries to increase genetic gain for various commercially
cally improved planting material. important characters. Expectedly seed orchards were the
most preferred form of production populations in these
programmes meeting the demand for genetically improved
29.8.2 Eucalyptus planting material till the 1980s when clonal forestry was
adopted to maximize genetic gains in plantations.
Eucalypts are the most widely planted hardwood Both types of seed orchards (SSO and CSO) have been
trees throughout the world. The total plantation area is reported for almost all widely planted species. SSO came to
estimated to be over 20 million ha. India and Brazil have be established first, because progeny trials with selections
around four million ha each followed by China (GIT Forestry from the natural populations are established in the beginning
2008). Eucalyptus plantations have a high socioeconomic of a breeding programme. They underwent one or more
importance wherever planted by meeting the domestic, envi- thinning to remove inferior trees within average and above
ronmental and industrial demand for wood and wood average families and all trees of poor families and get
products. They are highly adaptable to a range of climatic converted into seedling seed orchard. Since eucalyptus trees
and soil conditions, possess a fast growth rate, relatively free attain reproductive maturity early (4–8 years), SSO is an easy
from insect and disease attack and produce wood suitable for and cost-effective option of creating propagation population.
many end-uses. The major industrial use of eucalyptus wood In particular creating SSO in regions outside the natural
is for papermaking followed by plywood, solid timber distribution range of species is facilitated by easy movement
products, charcoal production and fuelwood for domestic of family seedlots. Most of the first-generation progeny tests
and industrial purposes. Essential oil and honey production that eventually served as SSOs were established with 50–100
are some of the niche end uses of eucalyptus trees. Eucalyp- families drawn from different provenances. The testing phase
tus plantations is considered as an important source of liveli- of these plots lasts up to half or two-thirds of the rotation
hood in many developing countries and widely regarded as period (4–6 years) after which they undergo genetic thinning
helpful in easing the pressure on the natural forests for wood to remove inferior trees and families. The multi-tree family
and wood products. plot is thinned to retain only the most outstanding tree to
The eucalyptus group of plants has two genera, Eucalyp- prevent mating between siblings and also to free space for the
tus and Corymbya having around 900 species naturally retained tree to develop a large crown for increased flower
occurring in Australia, Papua New Guinea and parts of bud production.
Indonesia. Of these around 20 species are under large-scale Clonal seed orchards are usually established with the best
commercial cultivation throughout the world. They are Euca- subset of trees from the seedling seed orchards to further
lyptus grandis, E. urophylla, E. saligna, E. pellita, increase the genetic gain. Outstanding trees with high breed-
E. globulus, E. nitens, E. dunnii, E. benthamii, E. viminalis, ing values for the desirable characters from the best families
E. smithii, E. camaldulensis, E. tereticornis, E. bassiana are selected for inclusion in CSO. Such trees are propagated
(subgenus Symphyomyrtus), E. cloeziana (subgenus through grafting of scion of the selected tree on a root stock.
Idiogene), E. pilularis (subgenus Monocalyptus) belonging Use of scion material from the reproductively mature trees
to the Eucalyptus genus and Corymbia citriodora, results in early flowering of the trees in CSO. Since the
C. torelliana and C. maculata belonging to the genus number of clones is usually in the range of 20–40, the
Corymbia. All the plantation species have a chromosome randomized complete block design is used to plant eucalyp-
number of 2n = 22 but inter-breeding takes place only within tus CSOs. A wider space than progeny tests is given between
29 Seed Production Systems for Forest Tree Species 649

Fig. 29.1 A potted hybridization orchard of Corymbia spp.

trees for early crown development and subsequent flowering. Seed supply from seed orchards of EC and ET began
CSOs with grafts are also established with potted plants to during 2006 in India. The demand for seeds has mainly
facilitate easy access to crown for performing control polli- been from paper and pulpwood industries, state forest
nation and other experiments like chemical induction of departments, forest development corporations, farmers and
flowering (Fig. 29.1). NGOs. The annual supply of eucalyptus seeds ranges from
Unpedigreed seed orchards of E. camaldulensis (EC) and 5 to 60 kg. This demand is influenced by various factors like
E. tereticornis (ET) were established in India with a broad planting targets, programmes and policies.
genetic base of seeds collected from 506 trees belonging to
21 provenances that were found to be superior to local land- 29.8.2.2 Functioning of Seed Production Systems
race in provenance tests. The bulked seedlot was used to and Genetic Gain
plant an extensive seedling seed orchard or unpedigreed A vast majority of eucalyptus orchards have been reported to
seedling seed orchard. Inferior trees were thinned at the age be functioning well in different parts of the world. They are
of 4–5 years before seed collection and supply to planting connected with the operational planting programmes in dif-
programmes (Varghese et al. 2004). A progeny trial ferent countries. A study conducted on fertility variation,
established with around 200 families of identified outcrossing and genetic gain testing involving four
provenances was converted to a seedling seed orchard. The unpedigreed orchards (two each of EC and ET) and one
gain from a thinned seed production area was found to be the SSO of ET revealed new insights on orchard establishment
same as that obtained from a pedigreed first-generation seed- and management particularly in exotic environments. An
ling seed orchard (Varghese 2014). orchard of each species was planted in a high (1500 mm)
and low rainfall (800 mm) areas in south India. At the age of
650 A. Nicodemus

5 years, the proportion of flowering was the highest in the EC This variation in fertility among orchards of different
orchard in moist area with 73% of the 182 trees flowering. In species located in different environments had shown impact
the other three orchards, the flowering trees were lower on the outcrossing in the orchard and the performance of their
ranging from 23 to 30%. An SSO of ET located in medium progeny. Eucalyptus trees have a mixed mating system, that
rainfall area (1100 mm) also showed low proportion of fertile is, both self- and cross-pollination occur in an individual
trees at the age of 4 years. The flowering trees in turn showed depending upon the conditions prevailing in the population.
a high level of variation in their fecundity. In the SSO where The extent of selfing in eucalyptus is reported to be between
the provenance-family identity was retained, large variation 10 and 35% (Rezende et al. 2014). The progeny arising out of
was found in fertility and fecundity among provenances and selfing displays low adaptability and vigour due to inbreeding
families within provenance. The parameter called sibling depression (Eldridge et al. 1994). High level of outcrossing
coefficient (Ψ ) is used to quantify the variation in the fertility (tm = 0.95) was reported for the Petford provenance in
among orchard trees. It is the probability that two genes Queensland, Australia (Butcher and Williams 2002). This
originate from the same parent, compared to a panmictic provenance has consistently performed the best in a range
situation and derived from the number of fertile trees in the of trial sites including India. The outcrossing rate estimated
orchard (N ) and individual fertility ( pi) of each tree (Kang from 20 progeny each of 15 trees in the EC unpedigreed
et al. 2003). The EC orchard in the moist area had the lowest orchard in a moist site was fairly high (tm = 0.86). The
fertility variation (Ψ = 2.2), whereas all other orchard had individual values for the 15 mother trees ranged from
high variation (Ψ = 6.7 to 17.4). A few genotypes producing 0.41 to 1.00 and selfing was detected among one-third of
a major share of the orchard seed crop will increase related the trees. Higher level of outcrossing was reported from an
progeny resulting in lower genetic gain and genetic diversity EC progeny trial in Thailand (tm = 0.95) and a seed orchard
(Varghese 2014). with bee hives in Queensland, Australia (tm = 0.94) (Butcher
The differences of fertility level and sibling coefficient and Williams 2002; Moncur et al. 1995). Although 73% of
observed across the species and orchard locations indicate the trees were fertile in the Indian unpedigreed orchard of EC,
that choosing a species and locating its orchard have to be 22% of 300 offspring from the 15 trees studied for
decided after a careful study of various factors. Even within outcrossing were full sibs, that is, some or all of the
the species the large provenance variation, usually present in 15 open pollinated families received pollen from a few trees
eucalyptus, will contribute towards high fertility differences. (Varghese et al. 2009a). The bulk seedlot used to establish the
In the ET SSO, 12% of the trees belonging to the Indian unpedigreed orchard was drawn from a large number of trees
landrace (Mysore gum) produced 52% of the fruits before (506) belonging to 21 provenances. Expectedly there would
thinning. The contribution increased to 81% after thinning to have been variation among trees of different provenances for
retain the best 20% of the trees. Expectedly the fertility flowering phenology affecting the outcrossing in the orchard.
variation among the retained trees was very high The flowering incidents were highly synchronous within
(Ψ = 17.4) (Varghese et al. 2009a). Such skewed contribu- provenances but differed between provenances in E. nitens
tion by different orchard trees will result in many entries with and E. Loxophleba orchards (Gore and Potts 1995; Jones
good phenotypes for desired characters may not be et al. 2011; Spencer et al. 2020).There was a 100-day differ-
represented in the orchard’s bulk seed collection leading to ence between two races of E. globulus which means that the
reduced gain and diversity. Eucalyptus tereticornis is gener- mating between the races is meagre. A moderate-to-strong
ally reported to be a shy flowering species in tropical moist heritability for many flowering traits including starting, peak
environments of Asia particularly in the first-generation and end of flowering period has been reported for Eucalyptus
orchards (Arnold 1996; Pinyopusarerk and Harwood species (Gore and Potts 1995; Jones et al. 2011; Mora et al.
2003a, b). Kang et al. (2003) reported an average value of 2009; Cané-Retamales et al. 2011; Spencer et al. 2020).
sibling coefficient 2.62 for seed orchards of broad-leaved These studies reiterate that an understanding of the flowering
species and in general, the values may be high in young phenology at provenance, family and individual levels is
orchards and during poor flowering years. The EC orchard essential for designing of orchards so that the flowering
in moist location functioned well as indicated by the low synchrony is maximized to increase outcrossing and genetic
fertility variation of 2.2 which is lower than the mean values gain for the desired traits of commercial interest.
reported for broadleaved orchards. It is recommended to Silvicultural and ecological interventions have been
plant a larger number of trees if the orchard has to be located widely adopted in eucalyptus orchard to increase flowering,
in a less optimal place for flowering. Large-sized orchards pollination and seed set all of which eventually led to high
can offset low fertility up to an extent by retaining a high- outcrossing and genetic gain. Use of plant growth regulators
status number. Pinyopusarerk and Harwood (2003b) like paclobutrazol has been widely practiced in eucalyptus to
recommended that seed collection may be made only when induce/increase flowering and to shorten generation time
a minimum of 50% of trees in an orchard are fertile. (Hasan and Reid 1995; Williams et al. 2003). Soil drenching
29 Seed Production Systems for Forest Tree Species 651

of seed orchard trees of E. camaldulensis and E. tereticornis actinomycete Frankia. It confers them the ability to grow in a
increased the proportion of fertile trees up to four times in range of climatic conditions and soil types. The principal uses
different locations. Treated trees continued to produce more of the wood are fuel wood, pulpwood for papermaking, core
flowers than the untreated trees (control) even 3 years after veneer, charcoal and minor implements, while the major
application (Varghese et al. 2009b). Insects are the major environmental services include windbreak, shelterbelts, rec-
pollinating agents in eucalyptus. Even in a highly fertile lamation of salt-affected and mined areas and bioenergy. All
orchard of eucalyptus, the services of pollinator insects are these benefits coupled with the ease of growing casuarina
essential to effect maximum seed set and outcrossing. The trees in short-rotation high density plantations made their
location of the orchard needs to support the presence of bees extensive cultivation by farmers of smallholding in China
throughout the year so that their services are available during and India. A large quantity of seed and other types of planting
the eucalyptus flowering season. Knowledge on the material is required for raising the plantations.
behaviour of the pollinating insects is also essential to deter- Casuarina trees are dioecious; that is, female and male
mine isolation distance for orchards particularly in areas flowers are borne in different individuals and thus obligatory
surrounded by plantations of unknown/unimproved sources. outbreeders. In general, the proportion of the two sexes is
Although the longest distance to which pollen can be trans- equal in a population, although a small percentage of monoe-
ferred differs among eucalyptus species, most of the transfers cious (male and female flowers borne on the same individual)
occur locally (Potts and Wiltshire 1997). Increasing the pol- is also reported for Casuarina equisetifolia. Casuarinas are
len isolation distance from 400 to 800 m in a CSO reduced wind-pollinated and floral structures are highly adapted to
the pollen contamination from 14.2 to 2.8% (Campinhos send and receive pollen. Flowers lack perianth, while stigma
et al. 1998; Junghans et al. 1998). and stamens constitute the female and male flowers respec-
A genetic gain trial was conducted with bulk seedlots from tively. Female inflorescenses are borne on the axils of woody
four unpedigreed orchards of E. camaldulensis along with a permanent branches, whereas the male inflorescences are
local seedlot and an Australian provenance as control entries. terminal in the deciduous branchlets (commonly called
At the age of 3 years, the height and diameter growth of ‘needles’). Pollen which is dry and light is produced in
progeny of the four orchards were comparable but were faster large quantities and carried by wind. Upon pollination, the
growing than the local seedlot. Overall, the orchard progeny entire female inflorescence develops into a woody
showed 17 and 14% gain for height and diameter respectively infructescence (commonly called ‘cones’). Each valve of
over the local seed lot. Although many long-term breeding the infructescence has a winged fruit called samara. The
programmes have been implemented for different species of samara is generally referred as the ‘seed’ in casuarina nursery
eucalyptus, only a few published reports are available on (Pauldasan et al. 2022, 2023).
quantification of increase in plantation productivity (White Till recently almost the entire planting of casuarina was
et al. 2007; Harwood 2014). In South Africa, seed from first- done through seed raised plants. Use of clones has been in
generation SSO of E. nitens delivered an average volume practice in China and India for the past two decades and is
increase of 62% over the unimproved planting material rapidly increasing. Still the quantity of seed required for
(Swain et al. 2013). The realized average genetic gain in planting programmes is large, for example, around two
volume production from three generations of E. grandis tonnes a year for south India. Seeds are traditionally collected
breeding programme in South Africa was 14% per from the existing plantations especially when the trees are
generations (Verryn et al. 2009). harvested for wood. The presumably narrow genetic base of
original introduction and repeated use of seeds from unim-
proved sources to raise new plantations have resulted in low
29.8.3 Casuarina productivity and large variation among trees for various
characters.
Casuarina trees belong to the family Casuarinaceae naturally
occurring in Australia, Pacific, Oceania, Melanasia and SE 29.8.3.1 Seed Production Systems
Asia. Around 90 species of this family are distributed among and Genetic Gain
four genera, namely Allocasuarina, Casuarina, Gymnostoma The earliest tree improvement activities of Casuarina
and Ceuthostoma. Among them Casuarina equisetifolia, equisetifolia included selecting phenotypically superior
C. junghuhniana, C. cunninghamiana and C. glauca are trees from the plantations, propagating them vegetatively
widely planted throughout the tropics for various services and establish clonal seed orchards. The ease of rooting soft
and end-uses. It is estimated that around 800,000 ha are wood cuttings from reproductively matured trees of casuarina
planted with casuarina mainly in China and India was utilized to clone the plus trees selected for fast growth,
(Pinyopusarerk and Williams 2000). They are nitrogen-fixing straight stems and freedom from pests. The CSOs were
species through actinorhizal symbiotic association with the established with around 80 clones with a ratio of 1:4 for
652 A. Nicodemus

male and female clones. The ramets were distributed in the et al. 2006). The proportion of flowering trees increased to
orchard using a permuted neighbourhood design in which 80% at the age of 6 years and the final thinning in the
each male tree was surrounded by a ring of six female trees orchards took place after that. As a result, the first-generation
(Kumaravelu and Paramathma 2001). Randomized complete breeding cycle was completed in 10 years instead of 6 years
block design was also used to plant a CSO with eight female as envisaged at the beginning of the breeding programme
and four male clones (Warrier et al. 2001). These orchards (Pinyopusarerk 1996; Nicodemus et al. 2011).
became reproductively matured early (often from the second CSOs of casuarina provide opportunity to optimize the
year after planting) due to the origin of the planting material representation of male and female trees and their position in
used. They generally functioned well with adequate the orchard since the gender of the tree is already known.
flowering and seed production probably due to the fact that Since selfing and mating between siblings within the plot are
all clones were selected from the locally adapted plantations. prevented by dioecious nature, more freedom is available to
The major problem encountered in CSOs of C. equisetifolia choose the orchard design and the number of ramets
was heavy mortality due to the blister bark disease caused by deployed per clone. Since only the female clones will pro-
the fungal pathogen Trichosporium vesiculosum. Since the duce seeds, keeping a ratio of 1:1 for the two sexes will lead
clones assembled in the orchard were drawn from a narrow to seed production in only 50% of the trees in the orchard. On
genetic pool (local plantations), they were equally susceptible the other hand, reducing the male accessions will reduce
to the pathogen leading to the complete loss of the orchards diversity in the seed crop leading to low adaptability (White
(Soni et al. 1989; Warrier et al. 2001). et al. 2007). A judicious way to balance seed production and
Breeding programmes involving long-term activities for genetic diversity is to have equal number of genotypes
C. equisetifolia and C. junghuhniana were begun in China (clones) for both the sexes but twice the number of ramets
and India during the 1990s starting with the testing of range- for female clones (a ratio of 1:1 for clones and1:2 for male
wide provenances and landraces. Many natural provenances and female ramets). Since C. equisetifolia has two flowering
showed faster growth than local landraces in all test locations. seasons in a year (Nagarajan et al. 2006) which compensate
Large breeding populations were established as progeny reduction in seed production by the presence of male trees in
trials involving open-pollinated families of superior the orchard.
provenances. These progeny trials had 100+ families drawn A field layout for a CSO with 30 clones (15 clones each
from 10 or more provenances and planted using incomplete sex) is given in Fig. 29.2. Each row has ramets of a single
block design to effectively handle the heterogeneity within female clone and every two rows of female clone alternates
the block. A row of four to five trees were planted for each with a row of male clone. Within the male row, each clone is
family. The progeny trials were subjected two thinning to represented by a single ramet and they are randomly
retain only the best tree in each plot so that mating between distributed. This arrangement helps every female clone hav-
siblings is reduced. An overall ratio of 1:1 was ensured ing equal chance to be pollinated by all the male clones
between female and male trees retained. But in practice, provided there is sufficient overlapping between their phe-
ensuring the presence of such gender balance took longer nology. A few additional rows of male clones planted around
time than expected especially in the first-generation progeny the perimeter of the orchard to increase the orchard pollen
trials. Originating from diverse geographical areas pool and to function as barrier for pollen from other sources.
experiencing different soil and climatic conditions, there is These orchards are easy to plant, ensure clonal identity,
a significant provenance variation for gender ratio, age of silvicultural management (e.g. similar dose of fertilizer in a
flowering, flowering phenology and fecundity. Casuarina row with same clone) and seed collection (seeds from all trees
trees generally start flowering from third year onwards and in a row can be pooled as open-pollinated family). They are
some landraces flower even earlier than that (Pinyopusarerk also suitable for production of interspecific hybrids through
and Williams 2000; Nagarajan et al. 2006). But many of the open pollination. In such cases, the clones of the two sexes
natural provenances did not commence flowering at the age belong to different species known to have sufficient synchro-
of 3 years when the first within-family thinning was planned nicity in their flowering phenology. It is also possible to raise
in the breeding programme. The proportion of flowering trees these CSOs using potted plants (Fig. 29.3).
of provenances from Thailand was less than 5% at this age, Although both SSOs and CSOs of casuarina were found to
whereas Chinese and Indian land races had more than 50% of function well in terms of overall flowering and seed produc-
trees that were found flowering (Nicodemus et al. 2001). In tion, there are still concerns in terms of genetic gain and
the absence of information on their gender, thinning process relatedness in seed orchard progeny. The large variation in
was deferred till their reproductive maturity. Some of the fecundity of different provenances of families within an
provenances outstanding in terms of growth and stem form orchard impacts the quality of the orchard seed crop. Natural
were found to be shy fruit bearers limiting their contribution provenances were faster growing than the land races but
to the expected genetic gain from the orchard (Nagarajan produced on average just one fourth of the fruits per tree
29 Seed Production Systems for Forest Tree Species 653

Fig. 29.2 A field lay out of CSO of a dioecious tree, Casuarina equisetifolia (F—female clones, M—male clones, B—border row, male clones)

in the coastal sites of India performed better than those

planted in the inland sites.
Fertility variation assessed through sibling coefficient was
less than 3 in the coastal orchards of both the species which is
reported as acceptable for broadleaved species by Kang et al.
(2003). Due to high variation in flowering and fruit produc-
tion among different provenances, the inland orchards
showed a high sibling coefficient of 5.83 and 7.06 for
C. equisetifolia and C. junghuhniana respectively (Varghese
et al. 2004). Locating the orchards in sites favourable for
uniform flowering of all orchard trees and targeted seed
collection from all genetic entries of the orchard are
recommended to ensure high genetic gain and diversity in
the seed crop. The volume production of progeny of the four
orchards did not differ significantly among themselves and
with that of a natural provenance from Thailand when tested
in genetic gain trials (Varghese et al. 2011). But seeds from
orchards produced 50 and 112% gain in wood volume in
plantations of C. equisetifolia and C. junghuhniana respec-
tively over the unimproved local seed source (Nicodemus
et al. 2011).

29.9 Future Research Needed to Improve

Seed Production and Deployment

Seed orchard development is a long-term activity. Even for

Fig. 29.3 A potted plant of Casuarina equisetifolia with mature fruits
short rotation trees like casuarina and eucalyptus, a minimum
of 5 years is required for normal seed production to com-
which limit the transfer of their breeding values to next mence and the orchard should be maintained for at least
generation (Nagarajan et al. 2006). Location of the orchard another 5 years for seed collection. Unless an organization
also impacted the fecundity of seed orchards of is committed to provide the required financial and human
C. equisetifolia and C. junghuhniana. Seed orchards located
654 A. Nicodemus

resource needs for 10 years, deriving the intended benefits • Seed production systems are dynamic in nature and have
from the orchards will be difficult. In case of long rotation to advance constantly to meet the demands of changing
species like teak, the commitment period may be 30 years and edaphic and climatic conditions and emerging socioeco-
more. Considering this factor, it is essential to revisit all the nomic needs.
existing orchards, recording their current status and potential
to meet the current seed demand and document them to Key Questions
increase accessibility for the prospective seed users. Seeds 1. What are the functions of seed production systems of
from orchards producing consistent and commercially viable forestry species?
quantities of seed should be subjected to genetic gain testing 2. What are the types of seed orchards and explain the how to
and the realized gains should be utilized for justifying the choose them?
investments to be made on the orchard maintenance and for 3. Explain the factors that affect seed production in seed
fixing the seed price. Forward and backward selections need orchards.
to be carried out for thinning and to identify next-generation 4. What are the silvicultural practices to be followed for
orchards. increasing seed production in seed orchards?
In order to effectively design, establish and manage pro- 5. What is the extent of genetic gain obtained for different
ductive seed orchards, basic research on the reproductive traits from seed orchard seeds? Explain the methods to
biology and mating system of the trees under genetic balance genetic gain and genetic diversity in seed crops.
improvement has to be stepped up. Information on flowering
phenology, fertility variation, pollinator behaviour, mating
pattern and seed germination are still inadequate for References
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 Forest Seed Technology: Seed Biology, Collection,
Quality Evaluation, Storage and Certification 30
Manisha Thapliyal, Karuna Phular, N. K. Namitha, Shweta Rawat,
and Vaisakhy P. Chand

Abstract seed storage facilities, standards for seed certification and

The availability of the good-quality seed is the most future scope of forest seed technology.
important requirement for successful plantation
programmes. The use of high-quality seed is very impor- Keywords
tant because it increases the chance of early gains by Seed technology · Seed development · Maturity indices ·
improving the establishment success and forest stand per- Recalcitrant seed · Desiccation
formance due to enhanced genetic gain. Knowledge and
information regarding the collection and processing of tree
seeds, its physical and physiological quality, types and 30.1 Introduction
levels of seed dormancy, breaking of dormancy through
different pre-treatments to enhance germination, seed stor- The aim of the draft National Forest Policy (2018) is to
age physiology and longevity, etc. are important. Forestry protect people’s ecological security and means of subsis-
species offer good scope for quality seed production tence, both for the current and future generations, by manag-
owing to seed source variability which is being explored ing forests sustainably to maintain the flow of ecosystem
and utilized in tree improvement programmes. The guar- services. The previous goal of keeping 33% of India’s land
antee that the new stock will have good survival, growth covered by forests and trees is still in place, and in the
and shape as well as be better adaptable to stressful country’s hilly and mountainous areas, the goal is to have
situations or severe climates comes from using seeds two-thirds of the land covered by these types of vegetation.
from carefully chosen, healthy, well-formed trees. The Additionally, it highlights the ‘promotion of trees outside
science of seed technology is multidisciplinary and covers forests and urban greens’ and states that this will be the
a wide range of topics. Based on contemporary agricul- focus of a ‘mission mode’ initiative. This has increased the
tural and forestry sciences, seed technology encompasses, demand for quality seed and clonal material to raise new
in its broadest meaning, seed biology, production, plantations and trees outside forests as well as enrichment
processing, storage, testing, certification, quality control, plantations in the forest areas. Therefore, there is a pressing
marketing, distribution and sale of seeds. For the correct need to advance and broaden the current programmes into a
handling of seed as well as the management of seed mission mode in order to incorporate cutting-edge
sources, an understanding of seed biology is essential. technologies for the manufacture of high-quality, certified
The use of any species in the plantation programme is seeds; establish a network of laboratories for testing seeds;
frequently restricted by issues with seed acquisition, assist organizations that produce seeds in implementing new
handling, processing and lack of technology. This chapter technologies etc. It will increase the quantity of high-quality
covers various aspects like seed development, morphol- seeds available to the forest departments, tree growers,
ogy and anatomy, seed collection methods and tools, seed nurseries etc. in a time-bound manner.
extraction, processing and handling, seed quality evalua- Another serious concern for the humanity is the destruc-
tion, direct and indirect tests of viability, seed dormancy tion and disappearance of natural forests and habitats. This
and pretreatments, seed drying and desiccation, storage, calls for focusing towards conserving the species by
stockpiling wild plant species or their seeds in large
M. Thapliyal (✉) · K. Phular · N. K. Namitha · S. Rawat · V. P. Chand centralized seed banks which is a kind of ex situ conservation
ICFRE-Forest Research Institute, Dehradun, Uttarakhand, India (Khanna and Singh 1991). Seed banks are a way to combat

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 659
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_30
660 M. Thapliyal et al.

threat over biodiversity by human interference. Seed banks seed development determine the relative size of the endo-
help to conserve seeds in order to save plant genetic diversity. sperm. The ovule’s nucellar area gives rise to the perisperm, a
For conservation of seeds in seed banks, they have to be storage tissue, in certain species. The embryo, endosperm and
tested for their viability, so that they could be stored for a perisperm are surrounded by a maternal tissue called the seed
long period of time. Testing of seeds for their viability and coat or testa. It safeguards the internal structures from biotic
quality requires different methods and technologies. Seed stresses and against desiccation and mechanical injury,
technology is the scientific field that considers seeds as living assists in gas exchange and water uptake, provides a conduit
things and guarantees their productivity and quality. It for nutrients for the embryo and endosperm during their
encompasses knowledge of seed biology, quality, produc- development and may be a means for seed dispersal (Beniwal
tion, storage and certification. and Singh 1985).
Seed-producing plants are generally known as During seed development, the integuments, which are an
spermatophytes which comprise gymnosperms and initial seed coat tissue, differentiate into layers of specialized
angiosperms. Gymnosperms include conifers, cycads, ginkgo cells. Certain seed coat cell layers have the potential to
and gnetophytes. The term ‘gymnosperm’ comes from the accumulate significant amounts of substances like pigments,
word gymnos means ‘naked’ and sperma means ‘seed’ which phenolics and mucilage. Certain angiosperm species have
produces seeds directly on sporophylls that are not contained thick, colourful coats that draw animals, primarily birds. It
within an ovary or fruit, while in angiosperms, seeds are is referred to as the sarcotesta. Three main groups of materials
enclosed within an ovary. Angiosperms are more advanced make up storage reserves: proteins, carbohydrates and oils
and adapted to a wide plethora of terrestrial ecosystems. (triacylglycerols) (Egli 1998). The growing seedling is
Seeds can be produced by sexual reproduction or asexual dependent on the stored reserves in the seed for supply of
reproduction. Sexual reproduction offers genetic diversity of nutrients to support its biosynthetic processes and energy
a population, whereas asexual reproduction/apomictic or requirements until it becomes autotrophic. Other
vegetative reproduction results in clones of genetic non-storage compounds are present in low concentrations,
uniformity. such as in the testa or pericarp. During seed development,
during histo-differentiation to create the embryo and endo-
sperm, these reserves are deposited. The reserves in seeds
30.2 Seed containing non-persistent endosperms are first stored in this
structure, where they are later repurposed for reserve synthe-
Seeds are mature ovules that form the dispersal and propaga- sis in the cotyledons (Geneve 1996).
tion unit of spermatophytes. The seed is the final product of
the process of reproduction initiated by the flower in the
plant. Seeds contain necessary cells, tissues, nutrients and 30.2.2 Seed Development
hormones for growth and development of the new plant.
They consist of three important parts. The embryo, which is The process of seed formation involves the following steps:
a young sporophyte, diploid (2n) as a result of fertilization
and at maturity consists of cotyledons, hypocotyls and radi- • The formation and maturity of reproductive organs of the
cle. The endosperm consists mainly of stored food in the form plant, that is, stamens and pistil in separate buds or in the
of starch. The seed coat (testa) is the outer most protective same bud in species having hermaphrodite flowers.
layer of the seed that mainly develops from outer integuments • Pollination, in which the stigma of a flower receives male
of ovule and diploid maternal tissue. genetic material contained in pollen grains from the
anther, through different dispersal agents such as wind,
water and insects. Pollination taking place within the same
30.2.1 Seed Morphology and Anatomy plant is known as self-pollination or autogamy, whereas
pollen delivered from a different plant is known as cross-
The mature angiosperm embryo has either a single cotyledon pollination or allogamy. Plants frequently display self-
(monocots) or two cotyledons (dicots) on an embryonic axis. incompatibility in order to inhibit self-pollination and to
The radicle, hypocotyl, epicotyl and plumule (shoot apex) are increase genetic diversity, which causes the rejection of
all carried on the embryonic axis. Endospermic seeds have pollen from the same flower or plant. The self-
thin, flattened cotyledons, while non-endospermic seeds have incompatible plants pollinate by cross-pollination.
well-developed cotyledons that act as storage organs for • During fertilization, male and female gametes combine
reserves. The embryo can be peripheral, axial or rudimentary. together to create a diploid zygote. This occurs by dis-
Endosperm acts as storage organ for the growing embryo. charge of the sperm nuclei from the pollen tube and their
The reserves that have been transferred to the embryo during delivery into the embryo sac, one fuses with the egg cell
30 Forest Seed Technology: Seed Biology, Collection, Quality Evaluation, Storage and. . . 661

nucleus and the second with the two polar nuclei of the plantation operation goes. The early development and sur-
central cell. As a result, a diploid embryo cell (zygote) and vival, vigour, disease and insect resistance, productivity and
a triploid endosperm cell are created (Geneve 2005). quality of a plantation are all influenced by the source of the
• Seed maturity is accompanied by significant chemical seed. Plants that have been selected or bred to increase their
changes. Seed development can be divided into three genetic makeup can produce seed orchards that yield seeds of
stages namely, Phase I—histo-differentiation exceptional genetic quality.
characterized by extensive cell divisions. In this stage, Depending on the availability of seeds at a given time or
different tissues are formed inside the embryo and season, seed collection can be prioritized. Certain tree species
surrounding structures. Phase II—cell enlargement and are seasonal, meaning they reproduce year-round in a largely
expansion occur (little cell division, dry weight increases continuous manner. A small number of ripe seeds, such as
due to reserve deposition, water content decline), and Lagerstroemia spp., may be available during each collection
Phase III—at physiological maturity, dry matter accumu- because the same tree contains fruits and seeds of different
lation slows and eventually stops. age classes. The seeds of trees in the second group should be
• In many species, the process of maturation drying occurs harvested within that time frame because they have a short
after physiological maturity, during which the seed loses seed maturity period and are very season sensitive. Seeds
water to a moisture content of 7–15% and becomes desic- such as Mesua ferrea, Diploknema butyracea, Acacia spp.
cation tolerant (orthodox seeds), making it resistant to and Cassia spp. are quickly lost or distributed within a short
harsh climatic circumstances. A seed is quiescent amount of time, despite the fact that a great number of seeds
(showing little metabolic activity) at this point, and it can be collected at once. The third group of trees, which
might even be dormant. Recalcitrant seeds, on the other includes Delonix regia, Schizolobium spp., Melia spp., and
hand, are susceptible to desiccation during shedding and others, has a set maturity season but persists on the tree for a
do not go through maturation drying. Because these seeds long time before dispersing (Bonner and Karrfalt 2008).
quickly become inactive when the water is removed Recalcitrant seeds begin to lose viability as soon as they
through drying, they are challenging to preserve. reach maturity. Therefore, it’s critical to ascertain when seeds
are mature and to harvest them appropriately. After maturing,
recalcitrant Diploknema butyracea seeds lose viability in
30.3 Seed Technology 2–3 weeks.

The processes that could be used to improve the genetic and

physical properties of seeds are known as seed technology 30.3.2 Time of Collection
(Feistritzer 1975). It involves such activities as seed produc-
tion from known sources/varieties, collection, processing, Fruit harvesting is a crucial process that necessitates under-
storage and certification. The quality of a seed decides standing when seeds should ripen and when high-quality
whether a seedling/plantation is good at the expected level seeds can be collected. Most tree species have irregular
or not. Quality of a seed is determined by the physical seed crops and in some cases seeding takes place at intervals
attributes (seed with minimum damage, without pathogens, of over 40 years, for example, bamboos. Seeds should be
without inert matter etc.); physiological attributes (germina- collected in their good seed years to obtain higher quality and
tion percentage, viability, vigour etc.); genetic attributes quantity of seeds (Tomar 2016). Good seed year of a few
(adaptations to varying temperature, moisture and other selected species are as follows: Dalbergia sissoo 2–3 years,
local conditions; disease and pest tolerance; high yielding Shorea robusta 3–4 years, Pinus roxburghii 4–5 years,
ability etc.); and storability of a seed (temperature, moisture Cedrus deodara 4–5 years, Abies pindrow 10–11 years.
content, seed treatment etc.). The quality of seed can only be
maintained through appropriate procedures. The sequential
steps used for the production of quality seed/seedling are seed 30.3.3 Maturity Indices
collection, seed extraction, processing and handling, seed
quality tests, seed pre-treatment, seed drying and seed storage Generally, seeds should be harvested when fully ripe. Certain
(Thapliyal et al. 2018). characteristics of fruits and seeds are known as maturity
indicators because they help us determine when the fruit is
ready to ripen. Depending on the species and fruit type,
30.3.1 Seed Collection maturity indices can vary. A fruit’s colour, size, taste, mois-
ture content and abscission zone growth can all vary
The initial stage in starting a plantation is gathering seeds, (Schmidt 2000). The majority of the time, fruit and seeds
and the quality of the seeds directly affects how well each reach maturity around the same time. However, some
662 M. Thapliyal et al.

seeds—like those of the Fraxinus species and Ilex opaca— They should also be free of pests and diseases (Thapliyal
need to ripen after fruit does. Conversely, still-green et al. 2018)
Fabaceae (Leguminosae) pods can yield germination seeds.
Physical and chemical properties that are crucial for defining
the collection method are included in maturity indices 30.3.5 Methods of Seed Collection
(Kumar 2015).
30.3.5.1 Collection from Felled Trees
With the help of expert climbers or mechanical access, seeds
30.3.4 Physical Characteristics are harvested from selected trees. In order to avoid wasting
seeds and limiting their availability in the same location for
Colour of fruits: Fruit colour change, as they mature is a future years, trees are not heavily lopped for the purpose of
significant and simple diagnostic indicator of maturity. Fruits collecting seeds. Nonetheless, as part of routine forest main-
of Pterocarpus change colour from green to yellow to brown tenance procedures, seeds are harvested from trees that are
or black; those of Prunus change colour from green to red to cut down. It is possible to gather mature fruits from the top of
purple or black; and those of conifers change colour from recently felled trees. They can be manually gathered from
green to brown. tree branches that have been clipped
Moisture content (MC): MC and protein synthesis are
connected. It takes a drop in seed moisture below 60% to 30.3.5.2 Collection from the Ground
start protein synthesis. The growth of seedlings depends on Species that can be harvested from the ground are those with
this process. The moisture content of orthodox, dry seeds and large, heavy seeds or enormous, unbroken fruits. Quercus,
fruits gradually drops as the seeds mature. In pulpy orthodox Fagus and Castanea seeds are among the temperate species
fruits, moisture levels initially drop and thereafter rise pri- that are frequently picked from the ground. Many tropical
marily in the pulp. Moisture levels in recalcitrant seeds rise in plants, including Tectona, Gmelina, Triplochiton, Cassia,
the early stages and then slightly falls as the seed reaches Acacia and a few dipterocarps have seeds that are commonly
maturity. collected from the ground.
Specific gravity: Fruit’s specific gravity is influenced by
internal factors such soluble solids, dry matter and physical 30.3.5.3 Collection from the Standing Trees
problems. In conifers, specific gravity denotes seed matura- When harvesting fruits from shrubs or low-branched trees,
tion and serves as a gauge for moisture content (Schmidt such as Fraxinus species, Hardwickia binata and
2000). Pterocarpus species, fruits can be collected while standing
Seed should be harvested from a wide number of trees on the ground.
(at least 15–25 trees) to maintain genetic variety. Generally
speaking, there should be at least 100 meters separating the 30.3.5.4 Collection Using Ladders, Laggi
chosen seed-bearing trees. Seeds harvested from nearby trees For collection of fruits from medium-sized trees, the most
may have similar genetic characteristics, which can lead to suitable instruments are ladders and laggi/pole pruner (a long
inbreeding and less genetic variation in the ensuing hollow, metal pole with a sickle at one end), for example,
generations, lowering predicted yields. A seed-bearing Mallotus philippensis, Michelia champaca, Sapindus
tree’s progeny will exhibit good qualities when it is mukorossi and Enterolobium spp. (FAO 1985).
surrounded by many other good quality trees; conversely, if
the seed-bearing tree is surrounded by many other inferior 30.3.5.5 Tools and Equipment
quality trees, the progeny will exhibit poor quality. Trees may The following tools and equipment may be used for seed
be chosen using a variety of criteria, depending on their collection from standing trees:
utility. It is best to choose timber species with a straight
stem, few or no branches, a long, straight and clean merchant- (i) Bag or Basket.
able bole, no buttress and a uniform crown, no disease, no (ii) Ladder.
insect pests and large volume of excellent quality timber. For (iii) Rope.
fodder, choose fast-growing, nutritious trees with lots of (iv) Climbing gear (climbing iron and spur).
branches and a high coppicing potential. Fruit trees should (v) Laggi (long hollow metal rod with a sickle at one end).
have large, healthy fruits that taste well and are abundant. (vi) Canvas or tarpaulin sheet.
(vii) Extension pruner, rake or cutting knife.
(viii) Cone picking knife and hook.
30 Forest Seed Technology: Seed Biology, Collection, Quality Evaluation, Storage and. . . 663

30.3.6 Seed Extraction, Processing washing them under running water. After that, the seeds such
and Handling as Prunus spp. are surface dried (ICFRE 2019).

The process of removing seeds from their enclosing

structures is known as seed extraction. In order to prevent 30.3.7 Seed Processing
quick desiccation during the extraction process, seeds should
be mature before being extracted and should be done after Pre-cleaning: The initial stage of seed processing is cleaning
fruits have ripened. Fruits that have not fully matured can be the seed lots. Impurities such as inert materials, debris, for-
kept in cool, well-ventilated containers like trays with holes, eign materials, damaged and infected seeds must be removed
wire-mesh bottoms and nylon net bags. Hard or dry fruits are to enhance the quality of the seeds. As soon as seed arrives at
best kept in thin layers in the shade; soft fruits require the the processing site, it needs to be cleaned. They are separated
storage area/chamber to be kept between 10 and 15 °C with from dirt and hollow seeds and chaff are removed by gentle
enough humidity to prevent drying. winnowing or using seed blower, aspirator, specific-gravity
Extraction of seed from dry dehiscent fruits: By spread- separators, flotation techniques, absorption techniques etc.
ing the fruits on a tarpaulin sheet in the shade, seeds can be Seeds are examined for the insect and fungal damage and if
extracted from dry dehiscent fruits. Strong attachments infestation is suspected, the seeds are frozen for 7 days at a
between seeds with pods can be broken by hand threshing, sub-zero temperature to kill insects before the diseased seeds
gently tapping the pods with sticks within the sack or rubbing are removed. To stop fungi or insects from spreading further,
them against a rough surface. Dry dehiscent fruits include the contaminated samples are separated from the remaining
Bauhinia, Desmodium, Eucalyptus and Acacia spp. material and seeds are dried to low moisture content and
Extraction of seed from dry indehiscent fruits: Small placed in sealed containers with silica gel (Schmidt 2000).
indehiscent fruits can be broken by rubbing them on a Pre-curing: The fresh fruits collected may not be ripe or
rough surface, threshing them by hand or gently pounding matured. Pre-curing is the storage for ripening of seeds. They
them with sticks. Seeds from large fruits can be extracted by are also air dried to make them suitable for further processing
hand or by mechanically dividing them. Several rounds of and storage.
threshing and sporadic drying are necessary for pods Sun drying: The fruits are exposed to the sun by spreading
containing sticky substance, such as in Cassia fistula and them on the floor till they open up for the seeds. The cones of
Prosopis cineraria. Dry indehiscent fruits retain their seeds many conifers are opened merely by spreading them out in
and do not crack open after ripening, for example, Acer, trays in direct sunlight or by heating in kilns. Cones can also
Fraxinus, Ulmus and Corylus avellana. be placed in open sheds. After the cones open, they should be
Extraction of seed from fleshy fruits: In case of fleshy shaken to extract seeds. The species that require sun drying
fruits, seeds are extracted by cutting the fruit in half or are pods and capsules, for example, Acacia, Ailanthus, Pinus,
removing distal end and squeezing the contents into a con- Adina, Lagerstroemia, Bauhinia, Salix, Alnus, Betula, Casu-
tainer. By mashing the pulp, combining it with water, letting arina, Toona and Eucalyptus.
the seeds settle and then decanting off the pulp, small seeds Drying under shed or cover: The fruits can be dried by
from pulpy fruits can be recovered. Large seeds from pulp spreading in sheds or ventilated rooms and covered with
can be removed with hands or forceps, or the seeds can be cloth. The seeds should be placed in trays with bottom wire
gently rubbed with wire mesh after being washed in sieves mesh for air circulation. Seeds should be stirred regularly.
under running water. Neem, Hippophae, Ficus, Putranjiva, The delicate seeds such as Quercus, Cedrus, Dipterocarpu,
Rubus, Cinnamomum camphora and Ilex. are few examples Hopea, Vitex and Abies are dried by this method.
of fleshy fruits. Kiln drying: Seeds of conifers and many broadleaved
Extraction of mucilaginous seeds/fruits: A few fruits or species can be extracted by drying the fruits in kiln. The
seeds, such Dillenia indica and Sterculia spp., stand out for brick and solar kiln are able to control air, moisture and
having a lot of mucilage. It takes effort to separate the temperature; therefore, seeds can be dried without affecting
mucilage from seeds, as it is difficult to remove with a simple their quality.
water wash. Threshing: Seeds of dry fruits are extracted by beating the
Extraction of pulpy fruits: Fruits are soaked in containers fruits by sticks and then cleaned by hand or by winnowing
until they soften and are taken out once the fermentation them through air, for example, Acacia.
process begins. The pulped seeds, such as Gmelina arborea, Parching: Some acacias which have extremely hard seed
are properly cleaned, rinsed under running water, and dried in case require parching to increase the brittleness of the case.
a thin layer on an absorbent sheet with air circulation. The seeds are covered with hot soil, ash and coal from the
Extraction of stony fruits: Stony fruits are de-pulped fire. The hot material is stirred through the seeds for few
manually using a sharp knife and the pulp is removed by
664 M. Thapliyal et al.

minutes. After the parching process, seeds are separated In forest tree seeds, maximum lot size may range from
from ash. 250 to 1000 kg and for largest seeds it can be up to 5000 kg.
Dewinging: The wings of fruits/seeds are removed before Standard lot size of Indian species is given below:
sowing, for example, Cedrus, Picea and Shorea.
Grading: Grading is removing weak, empty, damaged, • Seed lot of 1000 kg where 1 g seed number is 5 and above.
immature or odd-sized seeds from a seed lot in order to • 5000 kg where 1 g seed number is less than 5.
increase its potential performance (Schmidt 2000)

30.4.2 Sampling
30.4 Seed Quality Testing
The initial step of seed testing is sampling, which is done to
Seed quality has a major role to play in seed industry. Seed get a uniform and representative sample from the seed lot. A
quality is the combination of numerous characters, like phys- sample is an accurate representation of the quality and
ical and genetic purity, viability, germination, vigour, colour, features of the entire seed batch that it was taken from.
form and condition, etc., which all help to establish planting When sampling is done correctly, the findings of laboratory
value of seed. The measurement of these parameters or the tests will represent the complete seed lot from which the
evaluation of the seed’s planting value is known as seed sample was taken. The main problem with seed sampling is
testing. Seed tests are generally performed immediately that it is almost impossible to get a completely homogeneous
after extraction or prior to sowing. It is also done periodically seed lot (Simwanza 2012).
on seed lots kept in long storage (Tomar 2016). Primary samples: Small quantities of the seed randomly
The following goals have been set to be used in the obtained from the seed lot are called primary samples.
development of seed testing rules (Rao et al. 2006) Composite sample: All the primary samples that were
taken from one lot are thoroughly mixed and made homoge-
• To provide techniques for precisely assessing the quality nous to the extent possible is called as composite sample.
of seed samples. Submitted sample: The required quantity of the seed to be
• To provide guidelines so that seed analysts working in used for various tests to be sent to seed testing laboratory
various laboratories across the globe can obtain uniform taken out from the composite sample is known as submitted
findings. sample.
• To relate the laboratory results, in so far as possible, to Working sample: A small part of the submitted sample
planting value. used for seed testing (purity, germination and other tests) is
• Completing the test within the shortest period of time known as working sample.
possible while adhering to the goals.
• To conduct the tests in the most cost-effective way
possible. 30.4.3 Sampling Intensity

There are many advantages of better seed quality, namely The minimum quantity of bags or containers of seed that
must be sampled from a particular seed lot is determined by
(i) Better storability the size of the seed lot. The following is the minimal require-
(ii) Minimum waste of seed ment for seed lots in uniformly sized bags or containers with
(iii) High rate of survival a capacity of 15–100 kg (inclusive):
(iv) Uniform nursery plants
(v) Higher certainty in plant production • 1–4 containers, take 3 primary samples from each container.
• 5–8 containers, take 2 primary samples from each
container.
30.4.1 Seed Lot • 9–15 containers, take 1 primary sample from each
container.
A seed lot is any amount of seed that has every portion or bag • 16–30 containers, take 15 primary samples in total from
uniform with respect to percentage of pure seed, inert matter, the seed lot.
other crop seed, germination and dormant seed, weed seed, • 31–59 containers, take 20 primary samples in total from
and rate of occurrence of noxious weed seeds, all falling the seed lot.
within allowed tolerances. A quantity of seed should not be • 60 or more containers, take 30 primary samples in total
considered a seed lot if it is not consistent within allowed from the seed lot (Simwanza 2012).
typical limits.
30 Forest Seed Technology: Seed Biology, Collection, Quality Evaluation, Storage and. . . 665

30.4.4 Tools Used for Sampling 30.4.7 Moisture Content

Hand scoop: The hand scoop is a sampling tool consisting of The water content of a seed is known as its seed moisture
a sturdy 50–100 cm handle which is stiff and durable. For content. The moisture content is the primary determinant of
each sample action, place the sampling tool into the stream at the rate of seed deterioration and a major influencer of seed
a different location on the stream (left, middle, or right). longevity.
Sleeve trier: This is used to extract seed samples from the
seed lots that are containerized or packed in bags.
Nobbe trier: This type of trier is used for drawing different Seed moisture content ð%Þ
kinds of seeds. Its pointed tube extends to the center of the Fresh weight - Ovendry weight
bag and has an oval slot close to the pointy end. This is ideal = × 100
Fresh weight
for sampling seeds in bag not in large quantities.
Seed moisture content can be determined by two different
methods
30.4.5 Purity Test
1. Oven drying method.
Tree seed samples are usually contaminated with foreign 2. Moisture meters.
objects such as weed seeds, seed from other tree species,
fragments of leaf debris and other waste. The purity test
aims to identify the different species of seeds and inert 30.4.8 Oven Drying Method
particles that make up the lot as well as determine the com-
position of the sample by weight and, consequently, the lot The oven drying method is the standard for determining the
composition. moisture content. According to ISTA (2010), there are two
The purity of a seed lot is the weight of pure seeds divided distinct oven-drying techniques for figuring the moisture
by the weight of pure seeds plus debris and is presented on a content depending on the chemical makeup of seeds:
percentage basis.
• The low constant temperature oven method for oily seeds.
• The high constant temperature oven method for non-oily
Pure seed weight
Purity ð%Þ = × 100 seeds.
Pure seed weight þ debris weight

30.4.9 Low Constant Temperature Oven Method

30.4.6 Seed Weight This technique is advised for seeds with high oil content or
volatile compounds. This approach involves keeping
It is the general term used to describe the relative size of tree
pre-weighed moisture bottles and seed material (for drying)
seeds. The weight of 100 or 1000 seeds is the test used to
inside the oven which is kept at temperature of 103 °C for
quantify the weight of tree seeds.
17 ± 1 h. When moisture determination is carried out, the
The following formula can be used to convert 1000 pure
ambient air in the laboratory must have a relative humidity
seed weight to seed per gram or per kilogram.
(RH) of less than 70%.

1000
Number of seeds per gram = 30.4.10 High Constant Temperature Oven
Weight ðin gÞ of 1000 seeds
Method
Number of seeds per kilogram
In this method, seed material and pre-weighed moisture
1000 × 1000 bottles are put in an oven that is kept at 130 °C. Depending
=
Weight ðin gÞ of 1000 seeds on the species, seeds are dried at this temperature for 1–4 h.
The relative humidity of the surrounding air in the laboratory
666 M. Thapliyal et al.

during the moisture measurement phase of this procedure is small seeds this is not possible; therefore, they are kept
not specifically required (Engels and Visser 2003). directly in the solution. A 0.25 to 1% solution of 2,3,5,
triphenyl tetrazolium chloride which is colourless having
pH between 6–7 is made in water. This solution is kept in
30.4.11 Moisture Meter the dark. The cut embryos are placed in the solution in
darkness for 1–18 h. The temperature should be around
It provides an appropriate estimation of seed moisture content 30 °C. After that seeds are taken out and washed with cold
in a matter of minutes and does so rapidly that it gives a rough water. When seen through a magnifying lens/microscope,
idea about the moisture content of a seed within minutes. But viable seed will show normal red colour which is due to
compared to the oven dry approach, the estimation is not as formation of formazan. Non-viable seeds will fail to show
accurate such colour. Non-viability is shown by the quantity and
distribution of necrotic areas. The colour depends on forma-
tion of formazan in the living cells and the shade of colour
30.4.12 Testing Seed Viability may differ among species due to different structure of
embryo. This method requires practice and experience for
30.4.12.1Direct Test of Viability correct judgment (Kumar 2015).

Germination Test
The primary goal of a germination test is to determine the Number of half seeds stained red
Viable seed ð%Þ = × 100
maximum number of seeds that can germinate under ideal Total number of half seeds taken
condition. The germination percentage is only based on nor-
mal seedlings; not all germinated seeds result in normal
seedlings. There are numerous methods used for testing Excised Embryo Test
seed germination. When it comes to light, substrate, temper- The test is used for seeds whose dormant embryos require
ature and water requirement during germination, seeds from long periods of after-ripening. Seeds are immersed in water
various species have varied needs (Thapliyal et al. 2018). for several days till they are completely swollen. The water is
changed two times in a day. Fully imbibed embryos are
Germination Using Absorbent Paper excised from the seed and germinated alone. Hard coated
(i) Top of paper method: This method is convenient for seeds are cracked or mechanically scarified before soaking.
small- and medium-sized seed like Eucalyptus, The excision must be performed carefully to protect the
Hippophae, Toona ciliata, Desmodium oojeinense, embryo. The seed coats should be removed with some instru-
Aegle marmelos, Rhododendron arboreum, Holoptelea ment like needle or scalpel. These decoated seeds are put in
integrifolia and Fraxinus spp. petri dishes on moist filter papers and examined daily for
(ii) Between paper method: This method is useful for 2 weeks. The colour of healthy embryos remains same or
medium-sized seed, for example, Cassia species, Aegle sometimes may become green and start growing. The seeds
marmelos, Dalbergia sissoo, etc. which are weak or dead show brown or black colouration or
(iii) Germination in sand: This method is practical for get degenerated.
medium- and large-sized seed like Terminalia, Tectona,
Diploknema, Quercus, etc. Hydrogen Peroxide Method
In this test, seed coats are clipped and seeds are incubated in
30.4.12.2Indirect Tests of Viability 1% dilute H2O2 solution at room temperature for a week. At
A germination test is always the most effective method for the end of 1 week, seeds having more than 1 mm radicle are
assessing the quality of seeds under ideal conditions. How- counted as viable and the test is terminated. This test is often
ever, in certain circumstances germination tests are not feasi- used in lieu of tetrazolium, X-ray and excised embryo
ble, so the quality of the seed must be estimated using methods.
so-called rapid tests.
X-radiography
Tetrazolium Test Among the rapid tests, X-radiography is the most expensive
This technique establishes the proportion of viable seed that but it’s not always the finest. Like other rapid tests, it works
could potentially germinate. In this method, seeds are moist- incredibly well in certain circumstances. When there is not
ened by soaking in water for 24 h. Hard coated seeds should enough time for a thorough germination test, X-radiography
be scarified before placing in water. Seed coat is removed and provides a quick assessment of seed quality. This test is based
seed is divided into two parts through the embryo. For very on the principle of semi-permeability. The seeds are given a
30 Forest Seed Technology: Seed Biology, Collection, Quality Evaluation, Storage and. . . 667

treatment of barium chloride or sodium iodide; for 1–2 h, the (c) inactive enzyme activity which is due to presence
solution is not able to penetrate in the living cells due to semi- of some inhibitory substances. Removal of these
permeability of sound cells. But dead cells are easily substances facilitates germination. The species that
impregnated by the chemical solution. In order to get rid of show embryo dormancy are Acer platanoides, Adina
barium chloride, the seeds are rinsed for 1–5 min, then dried cordifolia, Albizia lebbek, Cassia siamea, Dalbergia
and exposed to X-ray. If an embryo is found to be latifolia, Fraxinus nigra, Ginkgo biloba, Ziziphus
impregnation-free, it is viable and the endosperm is jujuba, Picea spp. Prunus persica, etc. (Schmidt 2000).
impregnated not more than 25%. (iii) Combined or double dormancy: In this, both seed coat
and embryo dormancy occur at the same time, for
Leachate Conductivity example, Fraxinus excelsior. The dormancy is due to
The degree of degradation in seeds can lead to the leaching of combined effect of embryo, testa and pericarp. Several
chemicals and harm to cellular membranes. There is a corre- treatments may be necessary in order to break the dou-
lation between these compounds’ measurements and seed ble dormancy.
quality. Sugars, amino acids and electrolytes are materials
that can be measured; these are the most easily measured in
terms of time and cost. 30.4.14 After Ripening

For seeds with a modest degree of embryo dormancy, ripen-

30.4.13 Seed Dormancy and Pretreatments ing is a necessary step. These seeds undergo specific chemi-
cal and physical alterations as a result of being stored dry.
30.4.13.1Seed Dormancy Biochemical composition of seed will change as a result of
There is typically a lag period between the reaching of seed reduced protein, carbohydrate and lipid storage. Addition-
maturity and the seed germination in most forestry species. ally, gibberellin production and protein hydrolysis during
Even in environments that are normally conducive to germi- dry storage will be encouraged, and this will raise metabolic
nation, such seeds are unable to germinate. We refer to this as activity and cause the initiation of seed germination. Due to
‘seed dormancy.’ Plants use seed dormancy as a crucial underdeveloped embryos, seeds of certain species, such as
means of survival in their natural environments. Tempera- Schleichera oleosa, Fraxinus, and Ginkgo, must ripen before
ture, relative humidity and length of light exposure are germination.
among the environmental and genetic elements that deter-
mine how much dormancy a seed experiences (Thapliyal
et al. 2018). 30.4.15 Pretreatments of Seed to Overcome
Dormancy
30.4.13.2Kinds of Dormancy
(i) Exogenous or seed coat dormancy: The cause of this ‘Various treatments applied to seed prior to sowing in order
type of dormancy is hard seed coat or pericarp which is to increase the rate of germination’ is the definition of ‘pre-
impermeable to oxygen and moisture. The embryo is treatment,’ also known as ‘pre-sowing treatment of seed.’
quiescent (i.e. non-dormant, germination of the seed is The different treatments that can be given to seeds are
possible soon after soaking in water) but is sealed inside Soaking in cold water: In some hard seeded species, there
a water impermeable coat. This type of dormancy is some water permeability in the seed coat. The germination
occurs in Betula pendula, teak and several leguminous is improved if seed coat is softened and adequate water is
species. In nature, the seed coverings are softened by absorbed by the seed. For complete imbibition and
mechanical abrasion (scarification), alternate freezing subsequent germination, soaking such seeds in room-
and thawing, action of soil micro-organisms, birds, ani- temperature water for 24–48 h may be sufficient, for exam-
mal digestive tract passage and forest fires (Kumar ple, Putranjiva roxburghii, Acacia, Albizia and Trewia
2015). nudiflora.
(ii) Endogenous, internal or embryo dormancy: In this Weathering or alternate wetting and drying: For seed of
kind of dormancy, the dormancy aspects are located in some species mere soaking in water does not help them to
the inner tissues of seed. The dormancy is determined germinate, for such seeds several cycles of soaking and
by the properties of embryo or endosperm which is due drying are required, for example, teak (Tectona grandis).
to morphological or physiological conditions in embryo. Alternate soaking and drying are also used for seeds of
The reasons attributed to this dormancy are Diospyros melanoxylon, Terminalia bellirica, Terminalia
(a) immature embryo, (b) lack of metabolic reaction, chebula, Terminalia citrina etc.
668 M. Thapliyal et al.

Passage through animal body: Some hard-coated seeds dormancy, for example, Acer, Corylus jacquemontii and
when passed through the digestive tract of the animals, for Junipers.
example, goats, poultry and sheep, get treated for dormancy.
The seeds of Acacia arabica, Prosopis cineraria, Prosopis
juliflora and Santalum album are treated by this method, 30.4.16 Seed Storage
which gives quick germination but it may not always be
practicable to feed the animals and collect its droppings. After collection, seeds can be stored for varying length of
Fermentation: The partial fermentation in organic matter time. The storage of seed becomes necessary when there is
or animal dung paste reduces germination period of many long interval between seed ripening and time of sowing.
seeds. The seed is spread on the floor and covered with moist Depending upon requirement seeds can be stored for up to
grass or peat moss. Alternatively, the seeds are well mixed in 1 year, 1–5 years or long-term storage for conserving genetic
animal dung and soil paste and spread on the ground in shade. resources. The period of storage depends on seed longevity,
The treatment of teak takes nearly 2 months whereas the storage conditions.
seeds of arjun can be treated within 2 weeks by this method. There are three types of seeds, for example, short-lived,
Scarification: The process of breaking dormancy in many medium-lived and long-lived seeds.
seeds is achieved by scarification which is cracking, break- Short lived seeds: These seeds may remain viable for a
ing, scratching or altering the seed coat chemically/mechani- few days, months or for a year, at the most. Seeds of
cally or outer covering to enable the seed to imbibe water and Dipterocarpaceae and Lauraceae are short lived and last
uptake of gases. A number of methods are used for only for few days under natural conditions. The short-lived
scarification. seeds are Populus, Acer, Salix, Quercus, Aesculus etc. and
Acid scarification: Soaking the seeds with hard and some oil seeds such as sal, neem, karanj, mahua and cashew
impermeable seed coats in concentrated sulphuric acid is nut. These seeds generally drop to the ground and germinate
also used for breaking the dormancy of seeds. The seed immediately.
coat experiences a type of wet combustion due to the acid. Medium lived seeds: These seeds remain viable for
Because the acid may seep through and harm the embryo, this periods between 2 and 15 years provided they are stored at
approach is not suitable for seeds with thin seed coverings low humidity and low temperature conditions. Most of the
that quickly become permeable. conifers, Acacia, Albizia etc. come under this group.
Mechanical scarification: Different methods are Long lived seeds: These seeds remain viable for long time
deployed to enhance the permeability of hard coated seeds even at warm temperatures. They are usually characterized by
by using a hot wire burner, knife, needle, file, abrasion paper hard seed coats which are impermeable to water. In the seeds
etc. to scratch the seeds, for example, Sapindus mukorossi. with undamaged seed coat, they can stay viable for
Growth promoters/chemicals: By immersing the seeds in 15–20 years.
hydrogen peroxide, which promotes respiration and speeds Storage means preservation of viable seeds till they are
up germination, one can break the embryo dormancy of finally required for sowing. Storage preserves physiological
seeds. By immersing the seeds for varied duration of time and genetic characteristics of the seeds. The storage
in a solution of KNO3, cytokinins, gibberellic acid etc., mild conditions for greater longevity of seeds should be such
dormancy in seeds can be overcome. that its respiration and other metabolic processes slow
Boiling water/hot water soak: After immersing seeds in down. The most significant factors required are low moisture
boiling or extremely hot water, they are left undisturbed until content of seed and low storage temperature.
the water cools. The cooling hot water softens or cracks the Based on storage behaviour, seeds are broadly classified
seed covering, allowing the seed to absorb water. In this way, into three groups as discussed below.
seeds from several leguminous species can be handled, for
example, Acacia, Albizia, Cassia and Prosopis.
Hot wire: Using this technique, one can burn tiny holes 30.4.17 Orthodox Seeds
through seed coats by using a heated needle or an electric
wood burning tool like in chestnut and Albizia. The term ‘orthodox’ refers to seeds that can be dried to 5%
Cold stratification: One of the most significant and effec- moisture content or less and are able to withstand freezing
tive techniques for overcoming dormancy involves keeping and can be kept at low temperatures for extended periods of
moistened seeds at a low temperature and covering them with time without losing viability. The majority of tropical forest
layers of materials that retain moisture, such as sawdust, peat pioneer species, which represent the initial stages of forest
moss, and vermiculite. The length of the moist stratification succession, have dormant and orthodox seeds, for example,
pretreatment varies according to the species’ level of species of Acacia, Albizia Bauhinia, Cassia, Eucalyptus,
Prosopis, Pinus, Picea, Terminalia and Tectona.
30 Forest Seed Technology: Seed Biology, Collection, Quality Evaluation, Storage and. . . 669

30.4.18 Recalcitrant Seeds and Singh 1991). Determining the behaviour of seeds for
storage and desiccation tolerance is the first step in the stor-
Recalcitrant seeds, depending on the species, have a high age process. Desiccation tolerance is the capacity of an
moisture content (30–50%) during maturity and are suscepti- organism to withstand extreme drying conditions and fully
ble to desiccation below a specific moisture content threshold resume normal metabolism following water absorption.
(12–30%). Under any storage circumstances, these seeds Extending the lifespan of seeds is most effectively achieved
quickly lose their viability and have a limited shelf life. by drying and storing them at low temperatures. This
Conventional seed-banking settings of low humidity and approach, however, is ineffective for seeds that are suscepti-
below-freezing temperatures are not suitable for storing recal- ble to desiccation since it may lower viability and cause
citrant seeds. The species that produce these seeds are usually death. The conservation of certain species, especially trees
found in humid environments, especially rainforests where and shrubs from moist tropical habitat, may be hampered due
the seeds are released in a very moist, metabolically active to their susceptibility to seed desiccation (Oliver et al. 2014).
state. These seeds have a low seed coat ratio (SCR), thin Three categories of seeds are created on the basis of the
coatings and are frequently spherical and large in size. Recal- desiccation tolerance and storage conditions of seeds:
citrant seeds have a high moisture content, which makes them (1) Conventional or desiccation-tolerant seeds, which may
susceptible to desiccation and chilling harm from the forma- withstand drying out in a low-water content level and storage
tion of ice crystals that damage cells when exposed to sub- at low temperatures; (2) seeds that are resistant to drying or
zero temperatures. desiccation and cannot withstand this step and (3) intermedi-
Species belonging to Dipterocarpaceae, Lauraceae and ate seeds that can withstand drying at temperatures that are
Quercus spp., Artocarpus heterophyllus, Castanea spp., similar to those of orthodox seeds but may not be suitable for
Castanospermum australe, Cocos nucifera, Diploknema storage at below-freezing temperatures (Gold and Hay 2014).
butyracea, Dysoxylum binectariferum, Mesua ferrea, etc.
have recalcitrant seeds.
30.4.21 Characteristics of Desiccation
Tolerant/Sensitive Seeds
30.4.19 Intermediate Seeds
Conventional seeds are typically scattered at low water con-
These seeds are not fully orthodox or recalcitrant category. tent and become quiescent after dispersion, whereas sensitive
Certain seeds might be able to tolerate a limited amount of (recalcitrant) seeds are dispersed with high water content and
desiccation (7–10% to 20% moisture content) through air have an active metabolism. To determine the best practice for
drying, but they won’t survive below freezing temperatures. preserving seeds, it is crucial to understand how seeds behave
Examples of intermediate seeds are Araucaria columnaris, during the drying and storing processes. It matters because
Azadirachta indica, Bixa orellana, Citrus limon, Carica only orthodox seeds can be stored at low temperatures and
papaya and Coffea arabica. dried with little water content.
The process of reducing seed moisture content to levels The ratio of tegument to dried seed mass, or SCR (seed
advised for storage by methods that do not jeopardize seed coat ratio), is another feature linked to seed storage
viability is known as ‘seed drying.’ When harvested, seeds with behaviour. In comparison to seeds that are resistant, seeds
a high moisture content can promote the growth and respiration that are susceptible to desiccation, typically have a larger
of seed embryos as well as the proliferation of fungi and seed mass and a lower tegument to seed ratio. According to
insects. Therefore, during storage, seeds must be dried to a Berjak and Pammenter (2013), desiccation tolerance is
safe moisture level to avoid damage, heating and infestation. correlated with the ecological, physiological and morpholog-
As soon as seeds are collected, they should be dried to prevent ical traits of fruits and seeds. These traits indicate that seeds
degradation (Thapliyal et al. 2018; ICFRE 2019). that are susceptible to desiccation are typically large, have a
thin tegument, are dispersed with a high-water content, ger-
minate quickly and are native to moist environments.
30.4.20 Seed Drying and Desiccation Desiccation sensitivity is thought to be correlated with the
origin of the seed. For instance, desiccation-sensitive seeds
Storing seeds under conditions that enhance their post- are more likely to be produced by tropical species, whereas
harvest lifespans is the most convenient way to conserve desiccation-tolerant seeds are more likely to be produced in
plant germplasm ex situ. An essential addition to in situ savannas. It is thought that as the environment gets colder
conservation efforts, seed storage provides a safe, inexpen- and drier, fewer seeds that are susceptible to desiccation
sive means of conserving genetic resources ex situ as well as would appear. Hamilton et al. (2013) claimed that a deeper
suitable material for the development of seedlings (Khanna comprehension of how seeds react to desiccation and storage
670 M. Thapliyal et al.

can be attained by utilizing the morphological and ecological from the air from getting inside. The wire mesh or desiccator
features of seed characteristics. As a result, morpho- plate is used to hold the permeable bags containing seeds.
physiological traits including seed mass, shape and water The calcium chloride is rolled over such that the bottom
content at dispersion can be used to infer the classification portion is at the top when the top layer hardens and shines.
of seeds based on desiccation tolerance and storage. It can be used again to create a saturated salt solution once it
solidifies. Seeds are kept in the container with fresh calcium
chloride until their moisture content reaches the range needed
30.4.22 Seed Drying Instruments for storage.

Desiccator: Seed samples are kept dry and protected from 30.4.23.3Self-Defrosting Refrigerator
humidity using desiccators. The seed samples are freed of If mineral salts are unavailable, seeds can be dried in a
any remaining water by filling the desiccators beneath the refrigerator that defrosts on its own. Although precise RH
platform with desiccants such as calcium chloride or silica control is challenging, this approach works well in the
gel. To create an airtight seal, grease or another lubricant is absence of better options. Many refrigerators have RH levels
used to seal the glass lid of the desiccator. between 10 and 40%, which correspond to seed moisture
Seed dryer: A seed dryer can be used to remove extra values appropriate for medium- or long-term storage.
moisture from seeds in low-temperature, low-humidity Arrange the seeds in an open container in a thin layer. Put
environments, extending the seeds’ shelf life. the container in a refrigerator that defrosts on its own and
wait for the seeds to come into balance with the interior
humidity. To keep moisture from condensing on the seeds,
30.4.23 Types of Seed Drying carefully seal the drying container, take it out of the refriger-
ator and let it get to room temperature before opening it. Place
Maintaining a drying room at very low relative humidity the seeds in storage after sealing them in airtight jars.
(RH) is more expensive and challenging in tropical areas
with high RH. Saturated salts and low-cost technologies 30.4.23.4Shade-Drying
like silica gel drying can be employed in conjunction with When the relative humidity (RH) is low (less than 40%),
other strategies to efficiently lower the moisture content of shade-drying can be a useful technique for lowering the
seeds to acceptable levels. moisture content of seeds; the less humid the environment,
the more successful the drying process will be. Shade-drying
30.4.23.1Silica Gel-Drying works especially well for preliminary drying. Since sun dry-
Silica gel can be used to dry small samples. The dried blue ing is thought to negatively impact some species’ long-term
self-indicating silica gel is sealed tightly in an airtight glass seed viability, seeds are not dried in the sun. To allow for
container or desiccator. For effective drying, the weight of optimal air circulation, seeds are evenly distributed in a single
the silica gel used and the seeds should match. Some gene layer on either open mesh racks set in the shade or a linen
banks utilize higher gel-to-seed ratios, such 3:1, for quicker sheet. Any tool (like a fan) that can force more air over the
drying. The seeds are stored near the silica gel in permeable seeds will boost the drying efficiency. A protective net is
bags. The desiccator is maintained at a low temperature of placed over seeds to keep animals (birds, rats etc.) from
about 20 °C. If the silica gel turns from a deep blue colour to a eating them. It may take a few days for the seed moisture to
pink or pastel blue colour, it can be changed every day. reach equilibrium with the surrounding relative humidity.
Recharging the silica gel involves heating it to 100 °C until
it regains its deep blue colour. It’s ready for reusage after 30.4.23.5Zeolite Desiccant Beads
cooling it in an airtight container. The seeds are stored in the Zeolite desiccant drying beads absorb water from seeds,
container with fresh silica gel until their moisture content reduce moisture content and extend their storage lives. The
reaches the range needed for storage. Once the ideal moisture ratio of bead weight to seed weight required is estimated
content or equilibrium seed weight is reached, and the seed according to the air’s relative humidity in which the seeds
germination and health are deemed satisfactory, the seeds are are kept or air-dried. The ratio of beads used for drying the
placed into suitable containers. seeds increases with increase in relative humidity for starchy
and oily seeds (Table 30.1). Beads can be re-used when they
30.4.23.2Calcium Chloride Drying have absorbed approximately 18–20% moisture of their ini-
Granules of anhydrous calcium chloride are put in an airtight- tial weight, by heating for 2 h at a minimum of 250 °C in an
sealed glass jar or desiccator with a wire mesh shelf above the oven (Kasemsap 2015).
chemical. Hastily closing the container prevents moisture
30 Forest Seed Technology: Seed Biology, Collection, Quality Evaluation, Storage and. . . 671

Table 30.1 Relative humidity as Seed type 50% RH 75% RH 85% RH 100% RH
indicated for starchy and oily seed
Starchy seed 0.3:1 0.5:1 1:1 1.25:1
Oily seed 0.2:1 0.4:1 0.8:1 1:1

Zeolite bead drying technology is standardized for many 30.4.24.5Cryogenic Storage

agricultural crops like beans, rice, spinach, cereals, sugar The majority of orthodox seeds may be successfully kept in
beet, melons, tomatoes and sunflower. climate-controlled storage facilities; however, regular upkeep
and administration of these establishments are expensive.
Cryogenic storage is an additional strategy to reduce these
30.4.24 Types of Seed Storage challenges. Using this process, seeds are lowered to -196 °C
in liquid nitrogen. This method has the benefit of extending
The different types of seed storage are: storage life because there are less harmful physiological
activities occurring at this temperature. While this technique
30.4.24.1Open Storage is not feasible for the majority of commercial seeds, it can be
In this type of storage, the moisture and temperature are not beneficial in preserving precious germplasm for extended
controlled. Seeds are kept in cans, baskets, sacks or tins and periods of time.
stored in cool and dry place. The viability of seeds varies with
the climatic factors. Warm and humid climates are not good,
whereas dry and cold regions are the best. To control insect 30.4.25 Factors Affecting Longevity of Seeds
infestation in seeds suitable insecticide treatment should be
given. Seeds having impervious seed coat remain viable for The various factors affecting the seed longevity are:
many years by this method, for example, Acacia spp., Albizia Kind of seed: Some seeds are naturally short lived such as
spp., Eucalyptus spp. and Robinia pseudoacacia. sal and mahua. The seeds of different species differ in
storability, due to different size of seed, thickness and texture
30.4.24.2Warm Storage with Humidity Control of seed coat and chemical composition of the seeds. Recalci-
In this type of storage, the seeds are dried and stored in trant seeds cannot be preserved for an extended length of
humidity-controlled rooms or chambers. The desirable tem- time; in contrast, orthodox seeds can be kept for a long time
perature range is 20–28 °C and relative humidity should not by reducing their moisture content.
be higher than 45–60%. The short-lived seeds are kept at Initial quality of seed: The initial quality of seed has
even lower humidity. The various types of containers that can considerable effect on its storability. Poor-quality seeds or
be used for seed storage are aluminium cans, tin cans, glass seeds that have begun to disintegrate as a result of
jars etc. Silica gel which is a desiccant can be used in unfavourable pre-harvest environmental circumstances, dam-
containers for orthodox seeds, the quantity being one tenth age from harvesting and threshing, heat damage during dry-
of the weight of seed. ing, chemical damage during treatment will lose their
viability and vigour rapidly, even in best storage conditions.
30.4.24.3Cold Storage with or without Humidity The injured seeds are more susceptible to the attack of fungus
Control and insect-pests. The impurities in the seeds provide shelter
The storage temperature is kept 10 °C or below with relative for micro-organisms and insects-pests. So, only high-quality
humidity below 50%. Below freezing point temperatures are seeds should be stored.
maintained for very long storage with 70% or lesser relative Moisture content in the seeds: The most significant factor
humidity. The containers should be sealed so that ice crystals influencing the quality of the seeds during storage is the
are not formed. Low temperature is best for the seeds that amount of moisture they contain. The lower the moisture
deteriorate rapidly. Before storing, the seeds are dried to content of the seeds longer will the seeds survive. During
3–8% moisture content. Oak acorns are kept under dry cold harvest, seeds have a high moisture content, which is lowered
storage. to a safe level before storage. A ‘one percent decrease in the
safe moisture content of seed roughly doubles the seed’s
30.4.24.4Cold Moist Storage storage capability.’
In this storage, un-desiccated seeds are stored in container Temperature: As the temperature rises, so does the
that maintains high moisture content or seeds are mixed with biological activity (respiration) of seeds, insects and mould.
moisture retaining material. Inside the container relative Even if the relative humidity may be a little high, low
humidity is 80–90% and temperature between 0 and 10 °C. temperatures are quite efficient in protecting seed quality.
Seeds that can be stored by this method are Acer, Aesculus, Relative humidity: Mature seeds are hygroscopic in
Juglans, Quercus, Litchi etc. Various pines, deodar, spruce nature, so their moisture content will vary with the atmo-
and firseeds can be stored for 10 years at 3 °C. sphere as they gain or lose moisture until the equilibrium is
672 M. Thapliyal et al.

established. For most of the seeds, if the relative humidity is genetically inferior trees. At the New Forest campus of the
more than 80%, it affects the viability of seeds, adversely. So, Forest Research Institute, Dehradun, the first experimental
the storage conditions should be as dry as possible. clonal teak seed orchard was established. After then, on an
Supply of oxygen: Increased supply of oxygen decreases area of almost 1000 hectares, teak seed orchards were created
the seed viability due to increase in respiration rate, in which in several states. In India, more than 3000 hectares of seed
heat, CO2 and water are produced. So, the quality of seed is stands and seed production areas have been identified and
well maintained in airtight storage than open storage. being managed.
Activity of micro-organisms: The seeds suffer vigour and When collecting tree seeds for utility-based plantings, the
viability loss due to damage from insect pests and micro- phenotypic characteristics of the tree must be highly relevant.
organisms. Temperature, moisture content and humidity all A tree’s phenotype results from its genetic makeup as well as
have an impact on the activities of these organisms. its growth environment. While branchiness, forkedness and
Storage containers: Seeds that are kept in sealed, wood quality are highly heritable traits based on genotype,
moisture-resistant containers need to be first dried to a low growth rate is frequently mostly influenced by environmental
moisture content to reduce respiration rate, otherwise seed factors. As a result, collectors ought to choose a location that
deterioration will proceed rapidly in comparison to the seeds corresponds with the planting location before gathering seeds
stored in porous or open containers. from the best trees there.
Seed maturity: When the seed attains physiological matu-
rity, its quality is the highest and deterioration starts immedi-
ately after that. So, it is necessary to harvest seeds at their 30.5.1 International Seed Certification Schemes
proper maturity time.
Table 30.2 presents summary of seed related information The two major seed certification schemes are the European
on some important tree species of India. Union (EU) and Organization for Economic Co-operation
and Development (OECD) (2014) certification schemes.
Reproductive materials are classified into four groups under
30.5 Seed Certification the OECD Scheme. Forest reproductive material of
‘Identified,’ ‘Selected,’ ‘Qualified’ and ‘Tested’ categories,
An officially recognized organization’s guarantee of the char- that is derived from forest basic material of ‘Seed-source,’
acter and quality of seeds is known as seed certification. This ‘Stand’ and ‘Seed Orchard,’ ‘Parents of Family(ies),’ ‘Clone’
guarantee is typically represented by a certificate that and ‘Clonal Mixture’ is subject to the regulations of the
contains details about the origin, year of collection, authen- OECD Scheme.
ticity of species and variety, purity, soundness and germi-
native capacity of the seeds. The genetic makeup and
provenance of the seed have a major impact on the produc- 30.5.2 Standards for Certification
tion, growth, survival, long term viability, adaptability and
self-sustainability of tree populations. When introducing a 30.5.2.1 Categories of Reproductive Materials
certain species to new areas, the origin of seed will provide There are different certification classes for forest reproductive
the information about topography, climate, edaphic material than for agricultural seeds. The OECD guidelines for
characters and association of the area. A high frequency of forest reproductive material which comprise three more clas-
inbreeding must be present if seed is collected from a single ses of less stringent genetic control and ‘tested reproductive
tree, a small number of trees or a restricted environment, material,’ which is comparable to the ‘certified’ category for
since this will result in low germination and vigour. The agricultural seeds, are generally followed by forestry
risk of inbreeding, which lowers fitness, survival and success programmes. The prerequisites for the four classes are as
rates of succeeding generations relative to the global average, follows:
exists in India’s forests and plantations. A geographical area Source—identified reproductive material (yellow tag)
defined by administrative and physical borders depending on originates from stands located inside designated seed collec-
factors such as climate, topography, altitude, latitude, longi- tion zone. It is required that:
tude, temperature, and precipitation is referred to as the ‘seed
zone,’ which is the first step in the seed certification process. • The provenance and/or source of the seed must be
The immediate need of forest seed for plantation establish- identified and registered with the appropriate authority.
ment should be met by creating seed orchards. In order to • The designated authority must inspect the collected,
obtain the desired traits and minimize pollen contamination, processed, and storage of seeds.
these plants have undergone genetic isolation from
30 Forest Seed Technology: Seed Biology, Collection, Quality Evaluation, Storage and. . . 673

Table 30.2 Seed-related information on some important tree species of India

Seed
Common Pre-sowing Germination Seed storage Seed kg-1 Nature of
Sl. no Species name Fruiting season treatment percentage viability temp (approx.) seed
1 Abies pindrow Silver fir Sep–Nov Not required 30–65 1–6 months Low 27,000 Orthodox
2 Acacia catechu Khair Jan–Mar Hot water 60–80 6–12 months Room 40,000 Orthodox
soaking—1 h
3 Acacia nilotica Babul Apr–June Acid 80–90 >2 years Room 7000–11,000 Orthodox
scarification—
H2SO4
4 Acer caesium Maple July–Oct Not required 50–80 1–6 months Low 12,000 Orthodox
5 Acer oblongum Maple Jan–Apr Not required 50 6–12 months Low 20,000–40,000 Orthodox
6 Adina cordifolia Haldu Jan–Mar Not required 30–50 6–12 months Room 1,10,000 Orthodox
7 Aegle marmelos Bel Mar–May Not required 50–55 1–6 months Room 5000 Orthodox
8 Aesculus indica Horse Sep–Oct Not required 80–90 < 1 month – 30–40 Recalcitrant
chestnut
9 Albizia lebbeck Siris Jan–Mar Hot water 60–90 >2 years Room 7000–12,000 Orthodox
soaking—1 h
10 Casuarina Sura June–Dec Soaking in 70 1–2 years Low 7,60,000 Orthodox
equisetifolia water– 24 h
11 Cassia siamea Kassod Mar–Apr Soaking in 80–90 >2 years Room 37,000 Orthodox
water—24 h
12 Cassia fistula Amaltas Mar–Apr Acid 22–60 Room 6500 Orthodox
scarification-
H2SO4
13 Cassia javanica Java cassia Dec–Apr Acid 60 Room 6000 Orthodox
scarification-
H2SO4
14 Cedrus deodara Deodar Oct–Nov Stratification 80–90 >2 years Room 8000 Orthodox
15 Cinnamomum Camphor Oct–Nov Soaking in 40–50 1–6 months Room 8000 Orthodox
camphora water—24 h
16 Dalbergia Rosewood Jan–Mar Not required 45–80 6–12 months Room 24,000 Orthodox
latifolia
17 Dalbergia Shisham Nov–Mar Not required 90–100 6–12 months Room 53,000 Orthodox
sissoo
18 Dendrocalamus Narban Apr–June Soaking in 25–80 6–12 months Low 30,000–40,000 Orthodox
strictus water—24 h
19 Delonix regia Gulmohar Aug–Oct Hot water 25–50 1–2 years Room 2000–3000 Orthodox
soaking—1 h
20 Diospyros Tendu Apr–June Soaking in 50–60 6–12 months Room 800–1500 Orthodox
melanoxylon water—24 h
21 Emblica Amla Nov–Feb Not required 40–50 1–6 months Room 65,000–85,000 Orthodox
officinalis
22 Eucalyptus Mysore Sep–Oct Not required 90 1–2 years Low 3,60,000 Orthodox
tereticornis gum
23 Gmelina Gamhar May–June Soaking in 50–90 6–12 months Room 2500 Orthodox
arborea water—24 h
24 Grevillea Silver oak June Not required 20–50 6–12 months Low 1,00,000 Orthodox
robusta
25 Hardwickia Anjan Apr–May Soaking in 50–80 6–12 months Room 3900 Orthodox
binata water—24 h
26 Holoptelea Kanju Apr–May Not required 70–80 1–6 months Room 27,000 Orthodox
integrifolia
27 Lagerstroemia Lendi Dec–Feb Soaking in 90 1–2 years Room 1,20,000 Orthodox
speciose water—24 h
28 Madhuca indica Mahua June–Aug Not required 80–90 1–6 months Room 450 Recalcitrant
29 Mallotus Kumkum Feb–Mar Not required 20–30 <1 month Low 25,000 Orthodox
philippinensis
30 Mesua ferrea Nahor July–Sep Soaking in 90 6–12 months Room 250 Orthodox
water—24 h
(continued)
674 M. Thapliyal et al.

Table 30.2 (continued)

Seed
Common Pre-sowing Germination Seed storage Seed kg-1 Nature of
Sl. no Species name Fruiting season treatment percentage viability temp (approx.) seed
31 Desmodium Sandan May–June Soaking in 75 <1 month Low 28,000–33,000 Orthodox
oojeinense water—24 h
32 Pinus Chir Feb–Mar Not required 80–90 6–12 months Low 9000–12,000 Orthodox
roxburghii
33 Pinus Kail Sep–Nov Soaking in 50–60 >2 years Low 20,000 Orthodox
wallichiana water—24 h
34 Pongamia Karanj Mar–May Soaking in 80 6–12 months Room 800–1500 Orthodox
pinnata water—24 h
35 Populus ciliata Himalayan May–June Not required 50–80 6–12 months Room 1.5 crore Orthodox
poplar
34 Prosopis Mesquite Nov–Dec Acid 80–90 1–2 years Room 30,000 Orthodox
juliflora scarification-
H2SO4
35 Prosopis Kikkar May–June Scarification 80–90 1–2 years Room 12,500 Orthodox
chinensis
36 Prosopis Jand June–Aug Scarification 65 1–2 years Room 25,000 Orthodox
cineraria (H2SO4—
5 min)
37 Prunus Saiong Oct–Nov Scarification 70–80 1–6 years Low 1350 Orthodox
nepalensis (H2SO4—
5 min)
38 Pterocarpus Padauk Jan–Mar Soaking in 35–40 1–2 years – 1450 Orthodox
dalbergioides water—24 h
39 Pterocarpus Bijasal Dec–Apr Soaking in 40–90 6–12 months Room 1500–2000 Orthodox
marsupium water—72 h
40 Pterocarpus Red sander Feb–Apr Soaking in 50–70 6–12 months Room 1000 Orthodox
santalinus water—72 h
41 Putranjiva Putranjiv Jan–Feb Not required 20–30 6–12 months Low 3000 Orthodox
roxburghii
42 Quercus incana Ban oak Nov–Dec Not required 40–60 <1 month – 600–700 Recalcitrant
43 Quercus Moru oak July–Aug Not required 50–60 <1 month – 600–700 Recalcitrant
dilatata
44 Quercus Kharsu oak July–Aug Not required 50–60 <1 month – 300–500 Recalcitrant
semecarpifolia
45 Sapindus Soapnut Nov–Jan Scarification 50–60 6–12 months Room 640–670 Orthodox
mukorossi H2SO4–5 min
46 Santalum album Chandan Feb–Mar Soaking in 6–12 months Room 7000–10,000 Orthodox
water—24 h
47 Schleichera Kusum Jun–July Not required 50–60 <1 month Low 1400–2000 Orthodox
oleosa
48 Shorea Makai Jan–Apr Not required 50–60 <1 month – 500–600 Recalcitrant
assamica
49 Shorea robusta Sal May–July Not required 75–90 <1 month – 575–600 Recalcitrant
50 Shorea talura Lac tree Apr–May Not required 50–60 <1 month – 575–1000 Recalcitrant
51 Sterculia urens Karaya April Not required 60–90 1–6 months Room 4400–6400 Orthodox
52 Stereospermum Paral Dec–Jan, Apr Soaking in 45 1–6 months Room 27,000 Orthodox
suaveolens water—24 h
53 Strychnos Nux – Dec–Jan Scarification 25–35 6–12 months Room 600–650 Orthodox
nux-vomica vomica (hot water—
1 h)
54 Syzygium Jamun June Not required 90 <1 month Low 1200 Recalcitrant
cumini
55 Tamarindus Imli March–Apr Soaking in 66 1–2 years Room 1800 Orthodox
indica water—24 h
56 Taxus baccata Yew Oct–Nov Warm— 30–40 1–2 years Low 1200–2000 Orthodox
Cold—Warm
treatment
(continued)
30 Forest Seed Technology: Seed Biology, Collection, Quality Evaluation, Storage and. . . 675

Table 30.2 (continued)

Seed
Common Pre-sowing Germination Seed storage Seed kg-1 Nature of
Sl. no Species name Fruiting season treatment percentage viability temp (approx.) seed
57 Tectona grandis Teak Nov–Jan Alternate 10–60 6–12 months Room 1800–3000 Orthodox
soaking and
drying
58 Terminalia Arjun Feb–May Soaking in 50–60 6–12 months Room 700–800 Orthodox
arjuna water—24 h
59 Terminalia Bahera Feb–Mar Alternate 80–90 6–12 months Room 400–500 Orthodox
bellirica soaking and
drying
60 Terminalia Harra Jan–Feb Scarification 60 6–12 months Room 150–250 Orthodox
chebula (mechanical)
60 Toona ciliata Toon Apr–Jun Not required 60–80 1–6 months Low 5, 50, 000 Orthodox
61 Ziziphus Ber Feb–Mar Soaking in 31–95 1–2 years Room 1200–1700 Orthodox
mauritiana water—24 h
Source: Thapliyal et al. (2018); ICFRE (2019)

Selected reproductive material (green tag) are derived (a) Seed source: Trees within an area from which seeds are
from stands and cultivars that have undergone phenotypic collected.
selection. The genetic quality of these stands and cultivars (b) Stand: A defined population of trees with adequate
has not been investigated, but they must: homogeneity. These are of two types:
• Autochthonous stand: Stand restored by organic
• Be isolated by distance from inferior stands. regeneration. Artificial regeneration of the stand is
• Show the typical difference between trees in a stand. possible using reproductive material taken from
• Have sufficient size to allow for effective cross- nearby autochthonous stands or from the same stand.
pollination. • Indigenous stand: An autochthonous stand, or one
• Have sufficient maturity and age for phenotypic artificially generated from seed with its origin located
assessment. in the same region of provenance, is called an indig-
• Show phenotypic superiority in a desired quality enous stand.
(e.g. volume, wood quality, form or growth habit, resis- (c) Seed orchard: It is a plantation of selected individuals,
tance to disease, fodder production or fruit production) . each identified by clone, family, or origin; the plantation
is isolated or controlled to prevent or minimize pollina-
Reproductive material from untested seed orchards tion from external sources, and it is cultivated to yield
(pink tag) derived from parent trees in a seed orchard that regular, abundant and readily collected seed crops.
have been phenotypically selected or from the progenies of (d) Parents of family(ies): Trees that bear fruit through the
such trees. regulated or controlled pollination of a single, identifi-
Tested reproductive material (blue tag) refers to mate- able parent acting as a female, using the pollen of that
rial derived from stands, cultivars or seed orchards whose parent (full-sibling) or several, unidentified parents
genetic superiority in at least one desirable trait has been (half-sibling).
demonstrated through tests authorized by the designated (e) Clone: A collection of individuals (ramets) that were
authority. Test age and test environment are the only two first produced via vegetative propagation (e.g. by
factors that can certify superiority. Forestry certification clas- cuttings, micro-propagation, grafts and layers) from a
ses can be applied to both plant parts (cuttings) and seeds. single individual (ortet).
(f) Clonal mixture: A combination of the initially
30.5.2.2 Types of Basic Materials Recognized identified clones in predetermined ratios.
in the Scheme
Six basic material types—seed source, stand, seed orchard, 30.5.2.3 Origin of Reproductive Materials
parents of family (ies), clone and clonal mixture—can be The origin of an autochthonous seed source or stand is the
used to obtain reproductive material. location where the trees are growing. The origin of a
non-autochthonous seed source or stand refers to the location
676 M. Thapliyal et al.

of the seed or plants’ initial introduction. A seed source’s or source. Only seed orchards planted to generate prove-
stand’s origin might not be known. nance hybrids or species hybrids may yield reproductive
Provenance: The area where a tree stand or other source material that falls under this category.
of seeds naturally grows. 4. Tested reproductive materials: Reproductive resources,
Region of provenance: The region of provenance of a such as seed, are derived from seed orchards, stands or
species or subspecies refers to the area or collection of places cultivars whose genetic superiority to suitable criteria in
with reasonably consistent ecological conditions where one or two crucial forestry-related features has been
stands exhibiting comparable phenotypic or genetic demonstrated by comparative studies carried out in spe-
characteristics are observed. cific environments.

30.5.3 Seed Certification in India 30.5.4 Forest Seed Certification Activities

at State Level
The National Seed Corporation (NSC) was founded in 1963
in India, marking the beginning of seed certification for Significant advancements have been made in the creation of
agricultural crops. The Seed Act of 1966 also governs this SPAs, SSOs, and CSOs in states like Andhra Pradesh, Tamil
process. After India joined the OECD Seed Schemes in 2008, Nadu, Uttarakhand, Uttar Pradesh, Gujarat, Haryana, Kerala,
109 varieties of 20 different Indian agricultural crops were Madhya Pradesh, and Maharashtra. In Kerala, the Kerala
added to the OECD list of varieties qualified for OECD Forest Seed Centre managed by the Kerala Forest Research
varietal certification. Institute collects seeds from known and improved sources of
However, the country lacks a properly developed admin- forestry species and supply them with certificate of source,
istrative framework and sufficient rules for the certification of purity and germination capacity to forest department and
forest seed. The need for forest seed certification, in contrast other users (Lal et al. 2008)
to that of agricultural crops, has not grown significantly The Maharashtra Forest Department set up a seed centre in
because of a number of factors, including the long tree 1992 to identify and manage various seed sources, including
rotation period, the slower rate of breeding compared to seed stands, seed production regions and seed orchards, in
crop cultivation, the low demand for international trade, the order to provide high-quality seeds of forestry species for the
idea of secondary outputs from trees and forests, the absence planting programme. The facility has all the infrastructure
of appropriate standards regarding the genetic, phenotypic required for processing, storing, and certifying seeds. (ICFRE
and environmental aspects of tree seeds etc. 2019).
The ‘Indo-Danish Project on Seed Procurement and Tree A few other states also have an internal certification sys-
Improvement,’ which was approved by the Indian govern- tem in place in addition to the infrastructure needed to collect,
ment in the 1970s, produced two documents for state-level process, grade, and test seed. Still, there has been inconsistent
forest seed certification: ‘Certification of Forest Reproductive development in this area, with most states not using enough
Material in India’ and ‘Seed Zonation followed in India’ verified or identifiable sources of material for plantation
(Gopal and Pattanath 1979). This plan was derived on ISTA growth. To maintain uniformity in seed certification methods
(1971) guidelines and OECD standards (OECD 2014), which across the nation, a Designated Authority with nationally
established a set of principles for the distribution of seed and accepted protocols for seed certification should be
included its transportation, processing, storage, sampling, implemented.
labelling and sealing.
The project formulated set of minimum standards for seed
collection. 30.6 Future Scope of Forest Seed Technology

1. Source-identified reproductive materials: Seed from Seed quality comprises both the physiological viability, vig-
indigenous or non-indigenous species collected from our and the ability to produce healthy offspring, so careful
demarcated seed zones and approved by designated selection of good seeds will lead to production of vigorous
authority. nursery stock and successful plantations. However, the qual-
2. Selected reproductive materials: Derived from stands, ity of seeds being employed in the plantation programme is
cultivars with minimum standards mentioned in the not evaluated which results in low germination percentage,
scheme. poor emergence, poor survival and adaptability to site and
3. Reproductive materials from untested seed orchards: many a times susceptibility to disease. This is despite contin-
Originated from untested seed orchards of a particular ual advocating on use of high-quality seeds from identified
species that were collected from a particular area or
30 Forest Seed Technology: Seed Biology, Collection, Quality Evaluation, Storage and. . . 677

superior seed sources. The most probable reason for use of • Seed-borne pathogens, especially fungi, are associated
inferior seeds resulting in such failures is lack of seed testing with seeds of several species. Insect injuries also occur
laboratories and certification procedures along with regional in several species. Seed-borne fungi and insect-pests
seed database pertaining to variation in seed quality reduce the quality of seeds. Pathogens may infest during
parameters, germination and other attributes due to seed seed development, storage or germination. These need to
sources. be managed using eco-friendly products/methods for
The mission and objective of future research in forest retaining the quality of seeds.
seeds should be to supply highest quality seeds and neces-
sary, useful technologies to forest departments, farmers, plan- Key Questions
tation owners and other stakeholders. It should include a plan 1. What are the various factors affecting the efficiency of
that, using the underlying data and analysis, expands on the seed production in forestry?
conclusions of the forest seed research. Based on the 2. What is the importance of quality seed in nursery stock
deficiencies found in forest seed research, this can be accom- production and in afforestation activity?
plished through network initiatives that emphasize basic, 3. Elucidate different direct and indirect tests for evaluating
applied and anticipatory research. viability and vigour of seeds.
4. What are the various storage categories of seed according
Lessons Learnt to their storage physiology? Explain the various factors
• Seed production has a major role in the dynamics of a affecting seed longevity.
forest ecosystem. Seed germination, seedling and sapling 5. What do you understand by seed certification? Elaborate
stages are crucial processes in the development of natural on various acts, rules and legislations on seed certification.
forest communities. Knowledge of the natural regenera-
tion associated with seed quality and seed production are
crucial for developing scientific models, methods and References
fresh management directives to protect the dwindling nat-
ural forests areas and for plantation programmes. Beniwal BS, Singh NB (1985) Observation on flowering and germina-
tion behavior of some useful forests plants of Arunachal Pradesh.
• Emptiness in seeds is one of the major issues occurring in
Indian Forester 4:216–225
several species. It is associated with pollination–fertiliza- Berjak P, Pammenter NW (2013) Implications of the lack of desiccation
tion failures. There can be early and immature seed fall tolerance inrecalcitrant seeds. Front Plant Sci 4:478. https://doi.org/
because of it. Incomplete development and partially filled 10.3389/fpls.2013.00478
Bonner FT, Karrfalt RP (2008) The woody plant seed manual. USDA
seeds are also observed in species. Studies need to be
Forest Service, Northern Research Station, Hamden, CT
conducted on this very important aspect of seed biology Egli DB (1998) Seed biology and the yield of grain crops. Wallingford,
in various species and problems associated with it. CAB International
• Forest seeds need special techniques and care during col- Engels JMM, Visser L (2003) A guide to effective management of
germplasm collections. IPGRI handbooks for Genebanks
lection, handling, processing etc. Seed quality may deteri-
no. 6. IPGRI, Rome
orate by poor handling techniques which then may have to FAO (1985) A guide to forest seed handling. FAO forestry paper,
be replaced by inferior seed from unknown sources in 20-2, Rome
order to meet planting targets. Good seed handling Feistritzer WP (1975) Cereal seed technology. FAO, Rome, pp 163–185
Geneve RL (1996) New developments in seed germination. Comb Proc
techniques are essential for raising quality nursery stock.
Intl Plant Crop Soc 46:46–49
• Seeds of many forestry species are characterized by deep Geneve RL (2005) Vigor testing in flower seeds. In: McDonald MB,
dormancy leading to regeneration delay, at times failure in Kwong FY (eds) Flower seeds: biology and technology.
nature due to long time requirement for breaking dor- Wallingford, CAB International, pp 311–332
Gold K, Hay F (2014) Royal botanical gardens Kew. Seed information
mancy in the soil seed banks. So, understanding the type
database (SID). Version 7.1. http://data.kew.org/sid/. August 2014
and level of dormancy in seeds and devising suitable Gopal M, Pattanath PG (1979) Certification of forest reproductive
pre-treatments for cracking the dormancy and providing material in India. Revised Scheme. Indo-Danish Project on Seed
suitable conditions for early and fast germination are Procurement and Tree Improvement, Hyderabad, Andhra Pradesh
Hamilton K, Offord CA, Cuneo P, Deseo MA (2013) A comparative
essential.
study of seed morphology in relation to desiccation tolerance and
• Storing seeds under conditions that enhance their post- other physiological responses in 71 Eastern Australian rainforest
harvest lifespan is the most convenient way for conserva- species. Plant Species Biol 28(1):51–62
tion of plant germplasm ex situ. Investigating seed physi- ICFRE (2019) Forest seed management, ICFRE manual. Indian Council
of Forestry Research and Education, Dehradun, p 52
ology for desiccation sensitivity/tolerance is important for
ISTA (1971) Proceedings of International Seed Testing Association.
every species in order to develop their storage protocols 36:547–576
for longevity and further usage. ISTA (2010) International rules for seed testing. Zurichstr.50, CH-8303
Basserdorf, Switzerland
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Kasemsap P (2015). https://horticulture.ucdavis.edu/ Rao NK, Hanson J, Dulloo ME, Ghosh K, Nowell D, Larinde M (2006)
Khanna PP, Singh N (1991) Conservation of plant genetic resources. In: Manual of seed handling in gene banks. Handbook for gene banks
Paroda RS, Arora RK (eds) Plant genetic resources conservation and no. 8. Bioversity International, Rome
management: concepts and approaches. International Board for Plant Schmidt L (2000) Guide to handling of tropical and subtropical forest
Genetic Resources, New Delhi seed. Danida Forest Seed Centre. Humblebaek, Denmark, pp
Kumar V (2015) Nursery and plantation practices in forestry. Scientific 263–303
Publishers, Jodhpur, p 547 Simwanza M (2012) Establishment of seed testing system. Seed quality
Lal P, Dogra AS, Dabral SL (2008) Need for an institutional and control unit. FAO/Germany cooperative programme. For ministry of
regulatory mechanism for certification of forest reproductive mate- agriculture, forestry and food security. Rome, p 50
rial in India. ICFRE, Dehradun, p 223p Thapliyal M, Gera N, Singh O, Namitha NK (2018) Manual on forest
OECD (2014) OECD scheme for the certification of Forest reproductive seed technology. Forest Research Institute, Dehradun, p 85p
material moving in international trade. OCED Forest seed and plant Tomar HS (2016) Tree seed technology. Rama Publishing House,
scheme-rules and regulations, Paris. http://www.oecd.org/tad/forest Meerut, p 179
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(2014) The evolution of vegetative desiccation tolerance in land
plants. Plant Ecol 151(1):85–100
 Vegetative Propagation of Forest Tree Species
31
Santan Barthwal, Sanjay Singh, Romeet Saha, Ravita Tadiya,
and Sunita Rawat

Abstract Keywords
Vegetative propagation aids tree improvement Vegetative propagation · Cutting · Adventitious rooting ·
programme. Over a period of time the technique has Root architecture · Root quality index
been developed for many species, yet, there is ample
scope for research especially addressing maturity-related
decine in rooting, physiology, genetics and molecular 31.1 Introduction
biology of adventitious root formation in woody
perennials. This will enable development of rapid, effi- Vegetative propagation is an important method of tree
cient and cost-effective methods of clonal propagation for improvement and conservation. The strategy of vegetative
tree species of commercial importance. Not only induction propagation can be discussed using eucalyptus, a valuable
of appropriate quantity of adventitious roots, but the qual- plantation species that has been successfully mass-multiplied
ity of the parent material and the produced plantlets are and planted commercially in the country and elsewhere. The
equally important in clonal propagation. The root archi- Eucalyptus is an extremely important genus of the Myrtaceae
tecture in case of clonally propagated trees plays an impor- family occupying a worldwide planted area of 20 m ha
tant role in survival and growth of the tree. Inter- and intra- (Oballa et al. 2010). The short-fibre pulp of eucalyptus is
specific variability in adventitious rhizogenesis needs to credited with its increasing demand in the paper and pulp
be studied to generate information which may be of great industries. Their ability to grow in a wide variety of environ-
value for evolving uniform and workable clonal protocols. mental conditions is also a highly desirable quality to
Eucalyptus can serve as an ideal system for such studies as planters.
evident from recent research. Eucalyptus clonal propaga- Approximately 700 species of eucalyptus are in existence
tion is practised extensively and it serves as a good exam- out of which 37 are of importance in the forestry industries
ple for understanding the concept of juvenility, difference while only 15 have commercial value (Ginwal 2015). First
between leafy and non-leafy cuttings, hormonal planted by Tipu Sultan in 1790 on Nandi Hills, Karnataka,
treatments required to induce rooting, environmental eucalyptus has now come to thrive and flourish in Indian
requirement, etc. This chapter discusses the technique of climatic conditions (Shyam Sundar 1984). Later in 1843
propagation of Eucalyptus species through leafy stem and 1856, plantations were established in Nilgiri Hills,
cutting collected from the juvenile coppice shoots. Mist Tamil Nadu to meet the local firewood requirements (Wilson
chamber propagation is a technique that uses high humid- 1973). Eucalyptus tereticornis and its hybrids (Mysore Gum)
ity and temperatures to promote adventitious root growth represent more than half of the eucalyptus that are planted in
in leafy stem cuttings. The cuttings are hardened under the country (Ginwal 2015). Their origin is considered to be
shade house conditions with irrigation and nutrition con- from a small patch in Nandi Hills and insufficient genetic
trol. Various rooting techniques and variables are variability resulted in the reduction of productivity (Ginwal
described. et al. 2004a, b). Tree improvement programmes for eucalyp-
tus have been carried out by Institute of Forest Genetics and
S. Barthwal (✉) · R. Saha · R. Tadiya · S. Rawat
Division of Genetics and Tree Improvement, ICFRE-Forest Research Tree Breeding (IFGTB), Coimbatore; Forest Research Insti-
Institute, Dehradun, India tute (FRI), Dehradun and paper and pulp companies like
S. Singh Indian Tobacco Company (ITC) along with state forest
ICFRE-Forest Research Centre for Eco-Rehabilitation, Prayagraj, India departments for evaluation and clonal testing. A coordinated

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 679
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_31
680 S. Barthwal et al.

programme was initiated by IFGTB using selections from have meristematic, undifferentiated cells that can give rise
natural provenances (Ginwal 2015). Provenance-progeny to various types of tissues and organs required to build a new
trials were planted in three different areas to create a diverse plant. As a result, a new plant can grow from a cutting of a
and pedigreed genetic background of E. camaldulensis branch, root, or leaf that contains all of the parent plants’
(Varghese et al. 2000). IFGTB managed to establish a large genetic information.
breeding population to undertake genetic improvement of It is possible to propagate plants using a variety of vegeta-
E. tereticornis and E. camaldulensis (Ginwal 2015; Varghese tive structures such as segments of stems and roots, leaves
et al. 2008). FRI, Dehradun established trials of and other specialized structures such as rhizomes, bulbs and
E. tereticornis and E. camaldulensis throughout northern corms. The genetic uniformity and similarity of plants
India and developed a series of F1 hybrids from FRI 4 to regenerated through vegetative means are ensured. A clone
FRI 16. Some hybrids like FRI 4, FRI 5, FRI 10, FRI 15 and is a population or a group of genetically related plants derived
FRI 16 have shown excellent hybrid vigour by consistently from a single plant (source) by vegetative processes. The
outperforming their parents (Ginwal 2015). word clone is widely used in forest tree improvement litera-
The paperboard division of ITC uses eucalyptus wood for ture. Only genetically superior trees with desirable features
pulp and paperboard (Kulkarni 2001). To meet the rising (fast growth, good biomass output, straight bole, disease and
requirements, ITC imported seeds from CSIRO, Australia insect resistance, stress tolerance, etc.) are cloned or vegeta-
and established trials in South India. Exceptional clones tively multiplied to achieve a population of superior trees.
were selected and established in Clonal Seed Orchards Donor plants that are used to collect vegetative parts are
(CSO) (Sekar et al. 1984). But seedling plantations were referred to as ortet. Plants that are obtained by vegetative
affected by termite attacks and Cylindrocladium spp. causing means from the donor plants are called ramets and the ramets
foliar blight disease. The other reasons for the low productiv- together constitute a clone.
ity of seedling plantations were: hybrid breaking, close Plantations raised from clonal plants bring in more genetic
spacing, lack of quality seeds, archaic nursery techniques, and economic gain. The profits realized are substantial since
mismatching of species and provenances to location, and each plant becomes a better tree when properly taken care
failure to implement an appropriate package of measures of. It is also easier and more effective to apply fertilizer, water
(Kulkarni 2001). Financial aid from the National Bank for the plants and manage the disease because the plantation’s
Agriculture and Rural Development (NABARD) ushered in a growth is uniform. Marketing advantages can be gained by
new era of tree development programmes, with a focus on having uniform growth of clonal plantations (Fig. 31.1).
root trainer technology and eucalyptus clonal propagation. Vegetative propagation requires a good understanding of
The most difficult problem was matching genotypes to the complex physiological mechanism to grow a complete
locations. plant from a severed part by application of hormones along
Plants reproduce naturally through a process known as with manipulation of environmental conditions for induction
propagation, which can be achieved sexually or asexually. of shoots and roots in cuttings. Vegetative propagation
Sexual reproduction, which happens through the complex includes different techniques like rooting of cuttings,
phenomena of flowering and fruiting, is the favoured path- layering, grafting, budding and also involves specialized
way for gene transfer. Seeds are the most prevalent way for plant structures.
plants to reproduce in nature. The approach is also effective
and widely used in tree propagation. Except for few species
with solely male blooms, all trees yield seeds. Sexual repro- 31.2 Propagation by Cuttings
duction has been linked to the development of large levels of
genetic variation in many tropical tree species as a result of Cuttings can be prepared using any of the plant organs like
gene recombination. The seed-based strategy, while easy and stem, root or leaf. These cuttings are then normally placed in
inexpensive, has certain limitations because seeds include a suitable rooting media under humidified and warm environ-
genes from both male and female parents, and the plants ment until rooting occurs. Using this method of propagation,
that grow from them are not genetically homogeneous. The a high number of plantlets can be grown in a very short period
seed raised plant approach needs more time for tree improve- of time.
ment. The vegetative propagation approach for tree enhance- The most popular and simple method for propagating
ment is frequently beneficial in terms of obtaining faster forest tree species is rooting of stem cutting which is also a
results and ensuring economic gains. very commonly used propagation technique for Eucalyptus
The method of producing new plants from existing ones species. This is the most cost-effective method of
while keeping the same genotype as the mother plant is propagating forest tree species.
known as vegetative propagation. Plants, unlike animals,
31 Vegetative Propagation of Forest Tree Species 681

Fig. 31.1 Plantation of eucalyptus—Clonal (above) (Photo credit—V. Sivakumar) and seedling (below) (Photo credit—A. Nicodemus)

31.2.1 Types of Cuttings 31.2.1.1 Stem Cuttings

Stem cuttings need to be collected from the lowermost por-
Cuttings can be divided into three categories: stem cuttings, tion of the stem where the tissues are juvenile and have
leaf cuttings and root cuttings (Fig. 31.2). better-rooting ability. The shoots from the topmost parts of
682 S. Barthwal et al.

Cuttings
Stem cuttings Leaf cutting Root cutting

Leafless stem cuttings

Mallet

Straight

Heel

Leafy stem cuttings

Semi-hardwood

Softwood cuttings

Herbaceous cuttings

Fig. 31.2 Various types of cuttings used for rooting in clonal propagation

the trees are generally mature and have very poor rooting or hardwood cuttings are primarily composed of dormant
ability, thus may be avoided for the collection of stem woody branches with at least two nodes. The lower cut is
cuttings for propagation purposes. To obtain juvenile cutting performed close to the lower node, whereas the upper cut is
clonal multiplication gardens are maintained. In Eucalyptus, performed somewhat above the upper node. Based on the
the tree is cut using a sharp saw leaving some 12–15 inches presence of an old section of the branch or wood at the
stump. The cut surface is generally slanted to avoid the bottom of the cut, they are further classified as mallet, heel
accumulation of water leading to any fungal infection. The and straight. In the mallet type of cutting a segment of the
cut surface is treated with any commercially available fungi- older branch is present at the base giving the cutting a form of
cidal paste containing copper and lead. After one month the an inverted ‘T’. A little chip of wood from an older branch is
coppice shoots arise and can be used for making 3 nodal leafy found at the base of the heel cutting. Furthermore, no part of
cuttings. In other species sometimes the ortet trees are an earlier branch is present in the straight form of cutting.
maintained in the form of hedges which are neatly trimmed Leafy cuttings are, as the name implies, cuttings that have
and maintained to get profuse side branches. Such hedges are leaves or parts of leaves on them. Most of the time, one or
common for species like Casuarina equisetifolia. two trimmed leaves are retained with the cuttings as they
There is a range in the size of cuttings, from a few provide carbohydrates and auxins, both of which are benefi-
centimetres as in Eucalyptus, Casuarina and Dalbergia cial to root development. The presence of leaves, on the other
sissoo to 1–2 m in Cassia siamea, Gliricidia sepium and hand, makes the cutting more susceptible to desiccation due
Moringa oleifera. In stem cuttings, the presence of nodes to transpiration. To maintain high humidity conditions for the
with active buds is critical. The existence of leaves is also leafy cuttings, specific propagation facilities such as mist
significant since they provide vital carbohydrates for root chambers and polytunnels are required for maintaining a
development. The absence or presence of leaves determines humidity level of 85% and above. Leafy cuttings include
whether a cutting is leafless or leafy. Non-leafy stem cuttings semi-hardwood, softwood and herbaceous cuttings. Semi-
31 Vegetative Propagation of Forest Tree Species 683

hardwood cuttings are partially developed woody tree initiation and development (Hartmann et al. 1997). Adventi-
branches, softwood cuttings are young branches from the tious roots (AR) are new root structures that emerge post-
fresh flush and herbaceous cuttings are soft branches or embryonically from non-root tissues (such as leaves and
shoot cuttings generally obtained from herbaceous plants. stems) in response to several stimuli. This process is highly
regulated by a network of hormones (Bellini et al. 2014;
31.2.1.2 Leaf and Root Cuttings Atkinson et al. 2014; Lakehal and Bellini 2019; Gonin et al.
Leaf-cutting propagation is more common in ornamental 2019; Steffens and Rasmussen 2016). According to Steffens
plants and has limited utility in forestry. However, the tech- and Rasmussen (2016), adventitious root formation can occur
nique can be useful for the multiplication of herbaceous naturally or in reaction to environmental stressors, including
medicinal and aromatic plants. Common examples of leaf- injury, flooding or a lack of nutrients for a wide range of
cutting are species like Saintpaulia, Begonia rex and Bryo- species. The appearance of adventitious roots is linked to
phyllum pinnatum. Root segments used for propagating improved dynamics in plant populations, greater resistance
plants are another approach which is generally successful in to biotic and abiotic stressors and increased phytoextraction
species known to produce root suckers like Santalum album, efficacy from polluted soils (Steffens and Rasmussen 2016).
D. sissoo, Populus alba and Azadirachta indica. The root In forestry adventitious rhizogenesis has immense practi-
cuttings collected during the active growth phase and kept in cal utility as propagation through cuttings is an economical
a moist aerated medium develop several adventitious shoots and convenient procedure for rapid mass multiplication of
followed by root development. elite genotypes to establish plantations of trees having desired
commercial characteristics. The ability of the detached
cuttings to rapidly develop a large number of adventitious
31.2.2 Adventitious Root Development roots, however, varies greatly across the tree species, and
in Cuttings most woody perennials have a low capacity for adventitious
root formation, especially in the mature stage. This is the
The roots developed in cuttings are adventitious that can arise main factor determining the effectiveness of this process.
from either preformed root initials or wound-induced initials Because of this, one of the main obstacles to the clonal
or primordia. Easy-to-root species have preformed root multiplication of forest tree elite germplasm is their suscepti-
initials and when such cuttings are kept in suitable rooting bility to adventitious root production (Abarca and Díaz-Sala
media under suitable humidity and temperature conditions 2009). Until we learn more about the molecular mechanisms
the root initials quickly develop into adventitious roots as in that regulate rooting and the maturation-related loss in
the case of species like Populus and Salix. The cut end of the rooting potential, this problem will not be solved. Despite
stem cuttings undergoes a process of healing where the xylem decades of strenuous efforts by researchers to understand the
vessels are plugged with depositions of suberin followed by mechanism, physiology and genetics of adventitious
repeated cell division in the wounded region with the forma- rhizogenesis remain baffling. Therefore, eucalyptus and
tion of callus-like growth. Some of the actively dividing other economically important trees could benefit from having
cambial cells differentiate into root initials then to root this trait enhanced if the mechanisms underlying adventitious
primordia and finally grow into adventitious roots. The rooting are better understood.
carbohydrates stored in the cuttings are translocated down-
wards and get converted to energy-rich sugars. The process 31.2.2.1 Competence for AR Formation
of rooting is regulated by auxins that are either present The mechanisms controlling the ability to develop adventi-
endogenously or applied exogenously to promote rooting. tious roots are not well understood, particularly when it
The auxin hormones are thus the key component of the entire comes to detached cuttings. Determining the mechanisms
rooting process which is mainly required during the early that let differentiated somatic cells change into root meriste-
stages of root initiation for differentiation of actively dividing matic cells is therefore essential, considering the effects of
cells into root initial. The following stage of root primordia these mechanisms on the developmental age and maturity of
generation and elongation into root auxins do not play any the organism (Vilasboa et al. 2019; Pizarro and Díaz-Sala
significant role. The use of auxin, especially indole butyric 2019). Many factors and mechanisms, some of which may
acid (IBA), is very extensively used in nurseries for cutting function independently, affect cell reprogramming’s ability
propagation. to create adventitious root meristem (Bonga 2016). Cell fate
Adventitious rhizogenesis is a complicated developmental changes dynamically during adventitious rhizogenesis in
process impacted by a wide range of endogenous and exter- response to multiple levels of regulatory interactions.
nal factors, as well as the interactions between them. Hor- Modifications in cell fate are caused by a variety of factors,
mone levels, quality/quantity of light, rooting cofactors and including the effects of spatiotemporal cellular and tissue
plant maturation have been implicated in adventitious root signals, the interaction of hormones with important
684 S. Barthwal et al.

transcriptional regulators and a dynamic cascade of regu- et al. 2019). The former is most likely connected to the target
latory changes in gene expression linked to organ patterning. cells’ increasing susceptibility to auxins for the beginning of
A differentiated somatic cell can restart pathways that result adventitious roots.
in adventitious root meristem development owing to these Profound changes in endogenous biochemicals were
alterations (Díaz-Sala 2014; Pizarro and Díaz-Sala 2019). registered in Gmelina arborea shoot cuttings during adventi-
Cells must be dedifferentiated in order to procure rooting tious root formation especially in the first 24 h, indicating the
competence and react to signalling stimuli, allowing for the incidence of the consequential process(s), which influence
recording of the induction phase of AR development, which subsequent rhizogenesis in auxin-treated cuttings but not in
is characterized by cell cycle activation, primordium devel- non-treated ones due to inadequate endogenous auxin (Singh
opment and subsequent cell division. This results in the 2006). Marked decline in endogenous moisture was recorded
primordium of the root elongating and the creation of vascu- in auxin-treated and untreated semi-hardwood cuttings; more
lar connections in the final phase (Legué et al. 2014). ARs pronounced though in treated ones within 24 h of severance
typically form in cells positioned close to vascular structures indicating that auxin stimulates rooting via water stress-
(Bellini et al. 2014). One of the most significant economic related signal leading to initiation of rhizogenesis. Total
reasons restricting tree species proliferation is the loss of phenol content exhibited an increase in both auxin-treated
rooting competence, which is critical to the process of and non-treated cuttings. An elevation in peroxidase activity
upgrading elite genotypes (Bellini et al. 2014). Tissue regen- in cuttings has been noticed within 24 h of planting.
eration in plants is most efficient in the early phases of According to Molnar and LaCroix (1972), peroxidase was
development and decreases with age in a species- and the first enzyme whose activity increased during root initia-
clone-specific manner. When trees get older and more tion in Hydrangea species cuttings. Gaspar (1981) has also
mature, the cells that produce ARs become less able to correlated an initiation phase of rooting with the rise of total
undergo de novo root regeneration (Díaz-Sala 2014). Tissue peroxidase activity of the whole plant. A similar pattern
culture and micropropagation are commonly used to rejuve- occurs during in vitro rooting of cuttings of Sequoiadendron
nate plants and regain their ability to establish roots, espe- giganteum (Berthon et al. 1989) and Vitis (Moncousin et al.
cially in species that are challenging to establish (Gupta et al. 1988). However, the minimum level of peroxidase activity
1981). The cuttings from the difficult-to-root genotypes, coincides with the advent of rooting in auxin-treated cuttings
hybrid aspen Populus tremula and P. tremuloides, could of G. arborea, Theobroma cacao (Balasimha and Subra
root easily after being rejuvenated through in vitro Monian 1983) and Populus deltoides (Ansari et al. 1995). A
micropropagation methods (Haapala et al. 2004). Determin- gradual decline occurred in sugar levels with time till the
ing the genetic and molecular variables that affect the induction of adventitious roots in the cuttings of many
variations in rooting capacity between juvenile and mature Poplars (Okoro and Grace 1976) and Laryx (Pellicer et al.
cuttings is therefore crucial, especially in genotypes that are 2000). Auxin-treated cuttings exhibit more efficient utiliza-
challenging to root, like aspens, where softwood cuttings can tion of soluble sugar than non-treated cuttings as exogenous
form adventitious roots while hardwood cuttings typically auxin increases the supply of carbohydrates at the base of
do not. cuttings for root induction (Dick and Dewar 1992).
It seems that in tree shoot cuttings two possible phases of
31.2.2.2 Phases of Adventitious Root Formation adventitious rhizogenesis may be present: (1) the initial phase
Shoot cuttings severed from the mother trees represent an exhibiting low endogenous moisture, o-phenol but elevated
unstable metabolic state. Substantial morphological, physio- peroxidase activity, and (2) the later phase coinciding with
logical and biochemical changes subsequently occur within higher endogenous moisture and low phenol content and
the cuttings towards adventitious root initiation or otherwise, peroxidase activity. Both phases are separated by an
depending upon complex interactive influences of several intervening unstable phase duration of which possibly varies
internal and external factors. The three developmental phases among different types of cuttings/genotypes (Fig. 31.3).
of adventitious root formation are typically referred to as
induction, initiation and extension (Li et al. 2009). Through 31.2.2.3 Hormonal Regulation of Rooting
successive interdependent phases of adventitious A number of hormones control the complicated process of
rhizogenesis that are commensurate with specific physio- AR synthesis. Throughout the process, auxin appears to be
biochemical flux, two distinct phases of adventitious root the key regulator and mediator of hormonal crosstalk
formation—the auxin-insensitive root initiation phase and (Lakehal and Bellini 2019; Druege et al. 2019). For adventi-
the auxin-sensitive root induction phase—have been tious root induction in most tree species, exogenous auxin
identified in Azukia cuttings (Went 1934; Mitsuhashi-Kato treatments are necessary. Application of anti-auxin during
et al. 1978a, b; Shibaoka 1971; Mohammed and Eriksen AR phases considerably reduced the development of AR in
1974; Gaspar et al. 1997; Goldfarb et al. 1998; Druege poplar cuttings (Bellamine et al. 1998). Numerous
31 Vegetative Propagation of Forest Tree Species 685

Fig. 31.3 Possible phases of adventitious rhizogenesis in shoot cuttings

experiments have been carried out to ascertain the physiolog- on and off of the pump using a humidity sensor and electronic
ical impact of various hormones on adventitious rooting, and timer. Advanced systems are now available that can set the
several genes implicated in adventitious rooting have been humidity level at any value using microprocessor-based
found in several species. Although the precise role that sev- controllers.
eral hormones play in the formation of AR is still not under- Like humidity, there are different sets of temperatures and
stood, research has demonstrated a complicated connection. environmental conditions needed for the successful initiation
Auxin and cytokinins have opposing functions during adven- and development of roots. Root initiation requires higher
titious rhizogenesis. A comparison of the amounts of these temperatures. A temperature of around 25 °C is needed for
two hormones in the basal region of cuttings from a variety of most of the temperate species while 35 °C temperature is
woody species, including Populus and Malus, showed that needed for subtropical species. The temperatures are
auxin and cytokinin were inversely correlated in the early maintained by the combination of sunlight, cooling pads
phases of AR development. De Klerk et al. (1999) revealed and shade nets generally. The sunlight warms the mist cham-
contrasting patterns in the auxin and cytokinin concentrations ber via the greenhouse effect where the heat of the sunlight
in the basal region of Populus cuttings during the early phases gets trapped inside the transparent cover of the mist chamber.
of adventitious rooting, demonstrating their antagonistic Shade nets can be used to cut down the light to 30%, 50%, or
roles in the process. 75% shade levels. Cooling pads installed at the end of the
mist chamber cool the inside temperature as and when
31.2.2.4 Environmental Factors required. The cooling pads generally made up of cellulose
Environmental conditions at the time of clonal propagation pads are kept wet using the small pump and water tank. When
procedures also have a significant effect on its success. air is passed through the pads due to evaporative cooling the
Humidity is an essential factor for root initiation. Cuttings temperature is reduced. The exhaust fans fitted on the oppo-
being severed part with no root system tend to lose water very site sides of the cooling pad inside the mist chamber
quickly leading to dehydration of the tissues. The moment a maintains the drift of air through the pads. This system is
cutting is removed from its parent plant, it starts to lose water. again connected to a thermostat that operates based on the set
This process is even faster in the case of leafy stem cutting values. Low light is typically required by most tree cuttings
which loses water more quickly because of transpiring leaves that need to be adjusted based on the cutting so as not to
on the cutting. This makes it essential to keep leafy cutting in inhibit photosynthesis. Shade nets of the required grade
the mist chamber or other specialized propagation structures (30–75%) at a height of about 2–2.5 m generally provide
(Mist chambers, Polyhouses, Polytents, etc.) which maintain the best light levels for cuttings.
higher humidity through the system of the tank, pump and The success rates of clonal propagation in nurseries can be
misting nozzles. The desired humidity of 85% and above drastically impacted by the usage of salt water. A small
(depending on the species) is maintained by controlling the amount of salt in commercial nurseries can cause massive
686 S. Barthwal et al.

financial losses over time. The inability of cuttings to root in a also possible to use even aerated water for plants that are
stressed environment and the absorption of toxic levels of easy to root. However, it is practical to use locally available
Na+ and Cl- through the cut ends contribute to the mortality material for rooting of stem cuttings. For eucalyptus vermic-
of cuttings subjected to increasing salt stress (Kuligod et al. ulite (grade IV) works well.
1995). The degree of loss depends on how well the species Rooting containers can be pots, trays, polybags or root
can withstand the negative effects of salt stress. In a study trainers filled with rooting media based on the species and
conducted on Casuarina equisetifolia cuttings, Barthwal size of the cuttings. In eucalyptus most nurseries use root
et al. (2005) found that cuttings planted in rooting media trainers of size approximately 150 cc volume. Root trainers
with NaCl contents greater than 1% (171 mM) were rooted are plastic tubes shaped like cones with vertical grooves or
significantly lower (10–35%). Salinity also inhibits the root ridges on the inner walls (Figs. 31.4, 31.5 and 31.6). When
length of the cutting, with a maximum of 0.4 cm at 1.4% roots develop from the cuttings the vertical ridges guide the
NaCl. Both untreated and 0.2% NaCl-treated cuttings were roots directly towards the base where after coming out of the
rooted successfully. The survival of cuttings was meagre in tube roots get air pruned. The new branch again follows the
rooting media with higher salt concentrations. The rooting % same path making a root plug-like structure devoid of any
was impacted by salt, and the growth of root hairs was coiling. When such rooted cutting is planted in the field, they
prevented as a result. Inadequate root systems (reduced bio- develop deeper roots providing better anchorage to the grow-
mass and root hairs) and chlorotic or hypertrophied shoots on ing tree.
rooted cuttings decrease the success of the transplant in the
field. With an increase in salinity, it has been reported that the 31.2.2.6 Interplay of Multiple Factors
root biomass of D. sissoo and the rooting percentage and root The vegetative propagation of woody perennials has long
length of P. tremula decrease (Singh et al. 1996; Evers et al. been thought to depend significantly on light. Even though
1997). Even at 50 mM, Helianthus annuus reported complete the rooting period remained constant, light hampered the
suppression of roots in MS media when grown in vitro (dos roots of P. tremula and P. tremuloides hybrid aspen cuttings,
Santos et al. 2000). Rooting media with increased salt with the average rooting percentage being lower in the light
contents had a detrimental effect on cutting viability. than in the dark (Stenvall et al. 2005). In some tree species, it
has been found that the etiolation of the mother plants greatly
31.2.2.5 Rooting Media and Containers enhanced the rooting of cuttings (Eliasson and Brunes 1980;
Rooting media should have a good water-holding capacity, Maynard and Bassuk 1985). Auxin treatment, combined with
porous, well-aerated and sterile. It must be moist but not too the addition of catechol and sucrose, as well as keeping the
wet. Oxygen is required for the developing roots and aeration cuttings in the dark, was found by Pal and Nanda (1981) to
is very crucial for the success of propagation through boost the rooting of P. robusta cuttings. According to De
cuttings. Some common materials used as rooting media Almeida et al. (2017) and Klopotek et al. (2016) light is
includes sand, sawdust, peat moss, composted coconut coir thought to affect the availability and distribution of
pith, vermiculite, perlite and pumice. Vermiculite, perlite and carbohydrates as well as the regulation of growth regulators
pumice are excellent materials that are sterile, lightweight like auxin and cytokinins, which in turn affects the develop-
and have good water-holding capacity. A combination of ment of AR. Peroxidases are a type of enzyme that catalyses
rooting media can also be used to get better results. It is the oxidation of a substrate by hydrogen peroxide or other

Fig. 31.4 Root trainer showing

internal vertical ridges
31 Vegetative Propagation of Forest Tree Species 687

introduced to plants, it increased the number of root hairs and

side roots while decreasing root lengths. According to
Dobbelaere et al. (2003), auxin, which is produced by bacte-
ria, Bacillus subtilis, enhances plant rooting. As the levels of
IAA fluctuate, primary and secondary roots are elongated,
and new roots are formed. Mycorrhizae inoculation dramati-
cally changed the poplar cuttings’ root system by increasing
the quantity and length of lateral roots (Hooker et al. 1992).
Analogous to this, hybrid aspen (P. tremuloides × P. alba)
cuttings were found to exhibit adventitious root branching
when exposed to an ectomycorrhizal fungus (Felten et al.
2009). PIN9-dependent auxin redistribution and
IAA-dependent auxin signalling are involved in a model of
auxin buildup at the root apex brought on by fungus (Felten
et al. 2009). Furthermore, mycorrhizal co-cultivation of
rooted Populus × canescens cuttings boosted root biomass
and plant survival (Müller et al. 2013). It has been
demonstrated that endophytic bacteria aid in the rooting of
cuttings. After 10 weeks of growth, hybrid poplar
P. deltoides × P. nigra hardwood cuttings injected with
several bacteria strains showed a considerable increase in
the number of roots (Taghavi et al. 2009). Based on the
findings of these investigations, the use of microbial inocu-
lum for increasing rooting in hard-to-root poplar genotypes is
promising. However, the application of this method in the
field is still restricted due to a variety of factors, including
interactions between plant genotypes and various
microorganisms (Zavattieri et al. 2016).

Fig. 31.5 Leafy Eucalyptus cuttings planted in root trainer 31.2.2.8 Regulating Gene Expression
in Adventitious Root Formation
organic peroxides. According to multiple studies (Hand Transcription factors form a cross-regulatory network that is
1994; Hatzilazarou et al. 2006; Rout et al. 2000; Saxena required for organ formation, and they play an important part
et al. 2000), there is a connection between peroxidase enzyme in the regulatory modules that control auxin gradients, posi-
activity and rooting process. Peroxidase activity variations tional information and polarity field development (Feng et al.
can be utilized as biochemical indicators for distinct rooting 2012). The adventitious root formation process is regulated at
stages in different species. It has been found that during critical developmental stages by a variety of transcription
wound-induced rooting, peroxidase activity and endogenous factor groups.
auxin levels are inversely correlated (Gaspar et al. 1992; Nag These include the HOMEODOMAIN-LEUCINE ZIPPER
et al. 2013). The oxidation of IAA (IAA-Os) can be catalysed (HD-ZIP I), WRKY, NAM/ATAF/CUC (NAC),
by certain peroxidase isoenzymes called IAA oxidases. These APETALA2 (AP2), GIBBERELLIC-ACID INSENSITIVE,
IAA-Os control IAA levels following the induction phase REPRESSOR of GAI and SCARECROW (GRAS) and
and promote roots (Fig. 31.7). WUSCHEL families of transcription factors (Fukuda et al.
2018; Li et al. 2017; Liu et al. 2014a; Quan et al. 2017;
31.2.2.7 Role of Beneficial Microbes/Bacteria Ramírez-Carvajal et al. 2009; Rigal et al. 2012; Wang et al.
in Root Promotion 2019; Wei et al. 2020; Xuan et al. 2014).
Not always bacteria and microbes are pathogenic to plants. One common characteristic of somatic embryogenesis and
Certain types of bacteria like Streptomyces spp., Bacillus spp. organogenesis induction is the expression of genes encoding
and Azotobacter spp. can synthesize auxin-like IAA (Khalid transcription factors linked to stem-cell identity (Díaz-Sala
et al. 2004) which can stimulate plant growth and help in 2019). The capacity of certain tree species to experience
better root growth. The production of IAA by bacteria and adventitious roots may be significantly influenced by the
also by other microorganisms such as fungi and algae can activation of transcription factors associated with meriste-
result in enhanced roots in vegetatively propagated plants. matic programmes (Legué et al. 2014).
When the plant growth-promoting rhizobacteria (PGPR) was
688 S. Barthwal et al.

Fig. 31.6 Propagation of

Eucalyptus through coppice shoot
cuttings: emergence of shoots
from the coppiced tree (a), the
shoots ready to be harvested (b),
three-node leafy cuttings with half
trimmed leaves (c), leafy cuttings
being treated with diluted IBA
powder (d), treated cuttings
planted in root trainers ready to be
shifted in the mist chamber (e),
rooted cutting without root trainer
(f), rooted cutting washed to show
root development (g), rooted
cuttings along with the root
trainers are kept in the shade
house for planting (h), shade
house from where they are shifted
to open area under full sun light
before planting in the field

A substantial transcriptome remodelling during adventi- and they are all members of the conserved AP2 DNA-binding
tious root (AR) formation has been revealed by transcriptome domain (Jofuku et al. 1994). This superfamily is important in
analyses conducted on a variety of tree species, including controlling two important plant processes: stress response
poplar at different stages of AR formation (Brinker et al. and developmental regulation.
2004), poplar species (Ramírez-Carvajal et al. 2009), and During AR primordium formation and activation, PtAIL1
Eucalyptus grandis (Rigal et al. 2012). Also, these analyses transcript levels exhibit highly regulated expression. The
have revealed information about the species of poplar. Dur- number of ARs was also increased in transgenic poplar
ing various stages of poplar AR development, there has been lines that overexpressed PtAIL1, while it was decreased in
reported differential expression of transcripts encoding puta- lines where the PtAIL1 transcript was downregulated via
tive transcription factors (TFs) from 35 TF families (Rigal RNA interference. The Arabidopsis gene
et al. 2012). However, the roles of these genes are still AINTEGUMENTA (ANT) homolog AINTEGUMENTA
unknown. The AP2/ERF protein family is one of the well- LIKE 1 (PtAIL1), which is a Populus homolog, is expressed
characterized TFs involved in AR synthesis in trees; it is in the cambial zone of cells that are undergoing intense cell
composed of plant-specific TFs (Riechmann and Meyerowitz proliferation (Karlberg et al. 2011; Schrader et al. 2004).
1998). There are 210 members of this superfamily in poplar, Moreover, PtAIL1 has been identified to bind to the D-type
31 Vegetative Propagation of Forest Tree Species 689

Fig. 31.7 Interplay of various

factors in adventitious root
formation

cyclin promoter in both Arabidopsis and hybrid aspen trees of diverse software, mapping models and markers, which
(Karlberg et al. 2011). This finding suggests that PtAIL1 may explain variations in the results.
play a role in cell proliferation during AR primordium for- Zhang et al. (2009) reported quantitative trait loci (QTL)
mation. According to the Arabidopsis model, AUX/IAA controlling two adventitious root (AR) growth parameters
repress the transcriptional activity of ARF genes, which within a full-sib family consisting of 93 hybrids that were
inhibits adventitious rooting. This observation suggests that produced through an interspecific cross between two Populus
this mechanism is conserved in both species. Interactions species: P. deltoides and P. euramericana, which are known
between AUX/IAA proteins have been shown to lead to the to be difficult-to-root and easily rooted, respectively. In
formation of oligomers that repress ARF genes and control accordance with other QTL analyses in forest trees, the
adventitious rooting (Korasick et al. 2014; Lakehal and Bel- maximum root length and total number of AR showed a
lini 2019). It is unclear how these signalling pathways are substantial association and were under strong genetic control
translated into changes in cell behaviour and how cell identity (Geiss et al. 2009). The finding of several QTL for related
changes affect developmental signalling, resulting in a variables highlights the complexity of adventitious root
rechanneling of developmental memory (Díaz-Sala 2019). genetics (Ribeiro et al. 2016; Sun et al. 2019; Zhang et al.
2009).
31.2.2.9 QTLs and Genes for Adventitious Arabidopsis, as a genetic model, has proven critical in
Rhizogenesis finding multiple genes and signalling processes involved in
Attempts have been made to map the regions of the genome the regulation of AR development (Gutierrez et al. 2012; Hu
which contain the genes responsible for adventitious root and Xu 2016; Lakehal et al. 2019, 2020; Liu et al. 2014b;
formation. The number of roots, the length of the roots, the Sorin et al. 2005). According to studies conducted by Cai
average diameter of the roots, the area of the roots’ surface et al. (2016, 2019), Ramírez-Carvajal et al. (2009), Rigal
and the volume of the roots are just some of the adventitious et al. (2012), Trupiano et al. (2013), Wuddineh et al.
rooting-related traits for which many quantitative trait loci (2015), Xu et al. (2015), Yordanov et al. (2017) and Yue
(QTL) have been identified (Ribeiro et al. 2016; Sun et al. et al. (2020); the genes and gene networks linked to adventi-
2019; Zhang et al. 2009). A significant QTL can be identified tious root production have been identified. Furthermore,
and adventitious rooting is substantially regulated by genes pharmacological experiments investigating physiological
when heritability is medium to high. Many QTL have been regulators as well as comprehensive data analysis have been
found, indicating that adventitious rooting is a quantitative carried out to identify QTL (Gou et al. 2010; Mauriat et al.
trait regulated by discrete regions. Variations amongst 2014; Ribeiro et al. 2016; Zhang et al. 2019).
genetic backgrounds are to be expected, even with the use
690 S. Barthwal et al.

31.3 Miniscule Macro-propagation rejuvenated through monthly sub-culturing of explants

Propagules and Their Potential (de Assis et al. 2004). Improved nutritional status of mini-
in Large-Scale Cloning cuttings is believed to enhance rooting potential. Labour-
intensive practices in maintaining vegetative multiplication
31.3.1 Micro-cuttings garden (VMG) are reduced in the case of mini-clonal hedges
which can bring down the overall cost of the setup. Further,
To retain the juvenility of plants, de Assis et al. (1992) the lower lignification of mini-cuttings induces a tap-root-like
developed the technique of propagation involving micro- system as opposed to a more predominant lateral root system
cuttings. They conducted preliminary tests in Aracruz in stem cuttings.
Guaiba, where young mini-cuttings obtained from cotyledon- The concept of super-intensive management of propagules
ary pair of leaves rooted with 100% success; and the reduc- took shape and gave rise to mini-clonal hedges. In the nascent
tion of rooting rate kept increasing with age ranging from a stages, this technique constituted the setting up of dibble
few days to months. In addition, the authors found that tubes which produced cuttings with good root quality
different species experienced different drop in rooting ability (de Assis et al. 1992; Xavier and Comério 1996). But the
with age. Based on this, they postulated that ‘the rooting earlier systems were still plagued with problems such as
ability of Eucalyptus clones ex vitro should increase if the diseases, poor nutritional status and unsuitable environmental
physiological distance between the propagule collecting conditions (de Assis et al. 2004). This led to indoor hydro-
stage and the maximum juvenility stage, obtained in vitro, ponic mini hedges which contributed to higher efficiency.
is reduced’. Using micro-cuttings of highly juvenile micro- The main contribution of this system was in providing higher
propagated E. saligna, which generated 30% greater rooting nutritional status in mini-cuttings which subsequently
than stem cuttings, de Assis et al. (1992) tested their theory. resulted in a better root system. Two different methods
The new method was tested in both E. saligna and E. grandis emerged; the first was based on drip fertigated sand beds
and on average 18% higher rooting was observed in the case (Higashi et al. 2000) and the second was based on intermit-
of micro-cuttings. It was also reported that retention of shoot tent flooding (Campinhos et al. 1999).
apex induces a tap root-like system in the cuttings. The A comparative study that was conducted on biochemical
micro-cutting has been improved over the years and has and morphological changes which take place during adventi-
become a consistent methodology for the clonal propagation tious rooting of Eucalyptus globulus × E. maidenii mini-
of eucalyptus (Higashi et al. 2000; Wendling et al. 2000; cuttings obtained from mini-stumps that were grown in
Xavier and Comério 1996). sand beds and intermittent flooding trays was conducted by
Schwambac et al. (2008). The authors concluded that all the
parameters under study were similar in both systems. Kinetic
31.3.2 Mini-cuttings profiles of biochemical parameters were also similar
indicating a similarity between results obtained from both
During 1980s, initial attempts were made at rooting mini- systems.
cuttings from shoots obtained after thinning operations, but Apart from eucalyptus, mini-cuttings have been success-
the results were inconsistent due to nutritional deficiencies of fully utilized in overcoming the maturation-related loss of
the mother plant (de Assis et al. 2004). After the establish- rooting and mass clonal propagation of some important trop-
ment of micro-cutting as a viable technique for the clonal ical tree species like Teak (Palanisamy and Subramanian
propagation of eucalyptus, the focus shifted to the develop- 2001), G. arborea (Singh and Ansari 2014) and Casuarina
ment of a more cost-efficient methodology. In the year 2000, junghuhniana (Sureshkumar et al. 2016).
Higashi et al. developed a fully functional mini-cutting sys-
tem which was followed by other researchers who signifi-
cantly contributed to its improvement (Campinhos et al. 31.3.3 Virtual Clonal Hedges
1999; Xavier and Wendling 1998). The main difference
between the mini-cutting and micro-cutting systems is in It was repeatedly observed that the first flush of shoots rooted
the origin of the initial propagule. Shoot apices of micro- better than subsequent sprouts and this led to postulating
propagated plants form the propagules of micro-cuttings virtual clonal hedges. It used the apices of rooted mini-
while axillary sprouts of rooted stem cuttings form the cuttings of 15 cm height to produce new stock for rooting
propagules of mini-cuttings. Subsequent steps after the first without losing the quality of the stock material which could
rooting cycle are similar in both techniques. Mini-cuttings still be used for out planting. Sprouts of pruned plants and
often require serial propagation to achieve the reactivation of apices of rooted mini-cuttings are used in a continuous and
their full rooting potential while micro-cuttings get naturally self-sustained cycle of production representing outstanding
31 Vegetative Propagation of Forest Tree Species 691

technical and operational viability. Extension of plantation forestry within a specific climatic zone (Hamer
sub-fertigation to the newly rooted cuttings enhances the et al. 2016). The potential implications this has on the func-
suitability of this system to industrial standards and further tional equilibrium and root system architecture as the propor-
enhances practicality. Theoretical concepts like CO2 enrich- tion of roots distributed in the soil profile and the biomass
ment and control of temperature, light intensity and photope- allocated to them is immense (Hamer et al. 2016). Plants with
riod help in enhancing rooting predisposition. Indoor clonal a deeper root system that can access the water table below can
hedges also have the added advantage of phytosanitation over keep its stomata open longer than shallow-rooted plants
outdoor clonal hedges. Ferreira et al. (1997) demonstrated (Mitchell et al. 2009). The strategy employed by plants to
shoot contamination by soil-borne pathogenic fungi. increase its water use efficiency is highly dependent on their
root distribution and governs a plant’s ability to adapt to
changing climatic conditions. Recent periods of drought
31.3.4 Productivity of Propagules have caused the crown decline and tree death in many Euca-
lyptus species (Poot and Veneklaas 2013) and models predict
Early ventures into clonal propagation of eucalyptus reported a further decline in health in the future, especially for inland
114 cuttings m-2 in field cuttings banks (Campinhos and species (Hamer et al. 2015).
Ikemori 1983). The advent of mini-hedges increased produc- Based on the commercial significance, Saha et al.
tivity to 1752 cuttings m-2 in 1991 (Carvalho et al. 1991) and (2020a, b, 2021) chose six clones of Eucalyptus, that is,
24,000 cuttings m-2 in 2000 (Higashi et al. 2000). Hydro- 1, 72, 288, 411, FRI 4 and FRI 5 for a study. Clones 1, 72,
ponic systems have increased the productivity of propagules 288 (E. tereticornis) and 411 (E. camaldulensis) were
by about 350-fold compared to the initial techniques (de Assis arranged from Pragati Biotechnologies in Hoshiarpur, Punjab
et al. 2004). This increase in productivity in addition to ease (Lal et al. 2006) and FRI 4 and FRI 5 were obtained from the
of handling shows great potential for economic exploitation. Central Nursery, Silviculture Division, Forest Research Insti-
However, the viability of mini-clonal hedges depends largely tute, Dehradun. The experiment was conducted in the Divi-
on the species. It has been seen that hybrids of E. grandis × sion of Genetics and Tree Improvement nursery, Dehradun
E. urophylla give higher productivity as mini-cuttings com- (30°20′40.2″N 78°00′41.5″E, 650 m elevation). A
pared to those of other species, while E. saligna is extremely randomized complete block design (RCBD) was used, with
difficult to root as mini-cuttings and coppicing is preferred in six replicates of each treatment in each block.
their case (de Assis et al. 2004). A major drawback of mini- Six bare-root clonal plants were randomly assigned to
clonal hedges is the loss of mother plants due to a varied each block with a spacing of 3 × 2 m at the beginning of
number of causes ranging from disease incidence, excessive September 2015. The blocks were separated from one
harvesting, excess salinization etc. another by a 3 m buffer region and displayed the time in
months after transplantation (MAT). The common trench
profile wall method was used to map the effects of the roots
31.4 Root Quality Assessment (Böhm 1976).
A critical parameter that has been attributed to spatial root
31.4.1 Evaluation of Root Architecture system architecture (Fig. 31.8) and water and nutrient uptake
is root length density (RLD) (De Silva et al. 2011). It is
A careful study of past research, current trends and futuristic widely used in varietal studies in plant breeding programs,
predictions all in unison that a large-scale shift in species agronomic analyses and selection programmes (Chopart et al.
distribution will occur as a result of climate change (Hamer 2008). To this end, the researchers evaluated the theoretical
et al. 2016). Plant species will be forced to adapt to changing model proposed by Noordwijk (1987), which accounted for
ecological conditions (Hoffmann and Sgró 2011), recede into the relationship between root impact density (RID) and root
refugia (Hamer et al. 2016) or face extinction. Below-ground length distribution (RLD), which is based on the root orien-
traits can often become extremely important in determining tation relative to the counting plane, and also accounted for
the adaptability of a plant. Water and nutrient uptake are the geometric model (Chopart et al. 2008), which required the
partly determined by the distribution of the root system in calibration of the model equation based on root impacts
the soil profile and show diverse characteristics with species- observed on the three perpendicular cubical planes and
specific root architecture depending on their functional group subsequent RLD prediction from a single vertical profile
and landscape position (Schenk and Jackson 2002a, b, 2005). plane. For number of root impacts (NI) and RLD sampling,
The ability of plants to invest their assimilates in either a three-sided (10 × 10 × 10 cm) partial cube was utilized
shallow soil roots to capture sub-surface water or deep roots (Chopart et al. 2008). Based on our preliminary analysis, the
to exploit the water table is of extreme importance in mean anisotropy of the genotypes was found to be between
692 S. Barthwal et al.

Fig. 31.8 Evaluation of rooting

pattern in eucalyptus

Fig. 31.9 Graph of the average root impacts of clones at 6, 12, 18 and 24 months for genotypes 1, 72, 288, 411, FRI 4 and FRI 5 (Green to red
depicts a decrease in root impacts). The columns show the various genotypes, and the rows show the different periods after transplantation in soil

0.2 and 0.25, and the mean preferential direction of the root Root systems of the genotypes showed substantial
system for each genotype was found to be <1. This means differences in their ability to penetrate the soil, as well as
that the root systems prefer to grow in a direction that is their lateral extent and total RLD in the soil, across all four
perpendicular to the profile of observation. observations made at various MATs. Seedling origin
The orientation coefficient based on the geometry of root genotypes displayed much lower RLD than vegetative origin
distribution was found to be stable at 1.54 which deviated genotypes; additionally, AR demonstrated considerably
from the value of 2 which was proposed for isotropic greater proliferation capacity than the taproot system at the
distributions by van Noordwijk et al. (2015). The model present study site (Fig. 31.9). Clones 1 and 411 exhibited a
was validated by testing it with the genotypes, where it was greater RLD between the surface soils, whereas clones
found to exhibit a similar mean anisotropy. Thus, the model 72, FRI 4 and FRI 5 exhibited a lower RLD between 0 and
was found to be accurate for this investigation, even though it 20 cm depths. A significant factor in genotypic selection for
was applied to a wide variety of species with varying genetic agroforestry systems, in which crop roots are primarily
compositions (i.e. E. tereticornis and E. camaldulensis) concentrated on the surface soils, this makes clone 72 and
(Saha et al. 2020b). the reciprocal hybrids an excellent choice for any type of
31 Vegetative Propagation of Forest Tree Species 693

mixed-cropping system. When there is less competition plantations, the success of which to a large extent rests on a
between crops and trees, both can flourish, leading to greater solid root system. The root system has been previously
productivity. Roots from clones 411 and 1 were more correlated with out-planting success and therefore, proper
concentrated in the top few inches of soil because the area selection of eucalyptus w.r.t. their RSA can contribute to a
had been ploughed before the experiments. Similarly, at much more economically viable plantation. Despite the
24 months, clones 1, 288 and 411 showed a relatively higher release of superior clones, research on the assessment of
RLD even when the roots were spaced 30–40 cm apart from root quality in rooted cuttings has not been adequate. A
the tree, which was also observed in studies of root horizontal major focus was laid on the rooting percentage of cuttings
growth. The sandy texture of the soil may have something to and to that end, various modifications like the reversal of
do with the roots’ ability to spread so widely laterally. ontogenic and physiological maturity of the plant were
Water use efficiency (WUE) was found to significantly resorted to. Techniques such as coppicing, micro-cuttings
correlate with both lateral root growth and vertical root (de Assis et al. 1992) and mini-cuttings (Wendling et al.
growth in the current study. The establishment of farm for- 2000) were developed to counteract the negative impact of
estry plantations in arid/semiarid soil types would benefit aging. In India, coppicing is widely prevalent as the means of
from a species with a higher water use efficiency (Falkiner procuring vegetative propagules (Dhiman and Gandhi 1999).
et al. 2006), which would mean selecting a species that has Along with ideal propagule, environmental conditions like
deeper root penetration capabilities, and this could be helpful temperature and humidity have also been optimized by the
in the initial screening for genotypic selection. Clones use of propagation chambers. But despite all efforts low
72, FRI 4 and FRI 5 were found to have a restricted lateral rooting percentage causes economic losses to industries
root system spread in the study, suggesting they could be (Husen et al. 2017). Proper regeneration of the root system
suitable in agroforestry models. The mathematical model are essential for successful plantations (Grossnickle 2005).
used in this study to simulate the dynamic architecture, Difficulty in measuring parameters defining root growth has
which includes both structural and geometric components, resulted in widely correlating out-planting success and pro-
was able to reproduce the morpho-genetic and temporal ductivity with shoot morphological characters (Davis and
behaviour of the genotypes to a great extent. Such mathemat- Jacobs 2005) but shoot morphological measurements have
ical models are even more important when conclusions have not been adequate in predicting out-planting performance;
to be made about both the dynamic and static parts of RSA. thus the assessment of root quality at an early stage is critical
So, it would be possible to simulate how different species (Davis and Jacobs 2005). Previous studies showed use of
behave in response to environmental factors that are always different parameters to quantify the root system. We take a
changing (de Dorlodot et al. 2007). The results from the field more integrated approach to evaluate the root system quality.
experiments were confirmed by the sand-culture experiment First, we created a comparability sequence through which we
which showed that clone 1 had the highest total length of root evaluated the effects of different treatments on the root sys-
system (TLRS) and the highest angle of emergence. We tem of rooted cuttings. We further simplified the procedure
already knew that clone 1 had one of the highest lateral by developing an index that can be used by nursery managers
distributions. The fact that clone 72 had the lowest angle of for easy evaluation of propagated material. But, in every
emergence was in line with our field experiments, which selection procedure, there exists a human bias. To eliminate
showed that root system of clone 72 spread less than the the human bias in the decision-making process and create
other clones. Initial genotype testing at the nursery stage accurate classification of trees we used machine learning
could become a potential indicator of its scavenging capabil- algorithm (MLA), that is, C5.0. We used multiple parameters
ity, assisting in proper selection. as predictors to classify our model into different nodes. High
accuracy classified trees were used for classifying the selec-
tion procedure. Another major problem that we identified and
31.4.2 Multiple Attribute-Based Assessments tried addressing stems from the fact that eucalyptus’ suscep-
of Rhizogenesis tibility to a plethora of pathogens leading to massive and
recurrent losses to nurseries. With the advent of time, the
It is well known that eucalyptus are very well suited to the chances of infection increase greatly, and we aimed at
edapho-climatic conditions of the Indian subcontinent and modelling the rooting dynamics in an attempt to find the
show average potential productivity of 5 tons ha-1 year-1 optimal time of permanence of the different clones and
(Palana 2017). Therefore, proper genotypic selections, bear- decrease the time the propagules are kept in propagation
ing in mind their ultimate fate and site-specific development chambers.
become crucial for the successful utilization of the final Seven different treatments, including IBA, were applied
product. With Eucalyptus taking a centre stage in plantation to the cuttings. The Prolonged Dip involved submerging the
forestry, it becomes important for us to establish successful basal area in a 500–1000 mg L-1 IBA solution for an entire
694 S. Barthwal et al.

day. The basal region has to be submerged in an IBA variation in the parameters between clones and treatments.
solution at concentrations of 4000 and 6000 mg L-1 for For example, FRI 4 treated with IBA Prolonged Dip at
2 h in order to receive the Pulse Treatment. In addition, there 1000 mg L-1 IBA showed a higher TLRS value. Because
was a 10-s treatment of IBA (4000 mg L-1) + Tannic Acid of the different responses of each parameter to multiple
(2000 mg L-1). treatments, selecting parameters individually as indications
The basal region was immersed in an IBA (HiMedia) of root development becomes difficult. Consequently, by
solution for 10 s at doses of 4000 and 6000 mg L-1 in each taking into account each distinct performance measure and
instance. Once the cuttings had received the auxin treatment, aggregating them into a single grade number for every treat-
and inserted 2 cm deep into 150 cc root trainers that had been ment, using a multiple-attribute decision-making methodol-
filled with vermiculite. The root trainers were then kept in a ogy simplifies the process.
mist chamber for 35 days with a relative humidity of 85 ± 2%
and daily maximum and lowest temperatures of 32 ± 2 °C
and 28 ± 2 °C. Next, the root trainers were placed in a 31.4.3 Development of Root Quality Index (RQI)
glasshouse for a 25-day hardening phase. After that, they
were evaluated using Expert Vision Labs Pvt. Ltd Biovis To develop an Adventitious Root Quality Index, a modified
Image Plus (Saha et al. 2020a). version of the ‘Dickson quality index’ was used (Dickson
Manual assessments of the number of roots, rooted cutting et al. 1960). The equation was modified in this work (Saha
weight, and shoot-to-root ratio were among the et al. 2020a), although the original quality index took into
measurements that were recorded. Some of the manual account the ratio of total mass (TM) to the sum of shoot/root
measurements that were performed included the following: and the sturdiness quotient (SQ), which was thought to be the
rooting %, average root diameter, total root system area, ratio of shoot length to shoot caliper (Currey et al. 2013;
number of root tips, total length of the root system (TLRS), Dickson et al. 1960). The adjustment was made to precisely
segmentation of the root system, frequency of forks examine root quality, resulting in the following equation:
(branching frequency), among others. This extensive study
sought to evaluate the quality of adventitious rooting in TM
RQI = :
addition to identifying treatments that produced increased S
R þ RSQ
rooting rates. According to Bhardwaj and Mishra (2005),
this strategy was used to reduce the possibility of higher In this case, S/R (gm gm-1) indicates the shoot-to-root
mortality during the ensuing hardening phase. One way to ratio, TM is the total mass of the rooted cutting in grams
reduce transplant shock when moving from relatively mild (gm) and RSQ is the root sturdiness quotient. The quality of
nursery environments to the field is to have a strong root adventitious roots is evaluated using the Adventitious Root
system that has been formed through these parameters. While Quality Index (RQI). To assess root sturdiness in this case,
previous studies have frequently concentrated on one factor SQ has been adjusted. This is measured in centimetres per
to evaluate root development, our work highlights the impor- centimetre (cm cm-1), which is the average root diameters
tance of taking into account different characteristics. The IBA divided by the entire root system length.
Quick Dip at 6000 mg L-1 treatment was selected for Grey-Relational Analysis (GRA) was mainly employed to
E. tereticornis clones, according to an analysis of individual support Multiple Attribute Decision-Making (MADM), a
parameters. However, in certain instances, alternative procedure that takes into account a number of attributes or
treatments produced better results in particular categories. parameters in order to choose the best course of action from a
Clone 1 bi-nodal cuttings treated with IBA Pulse at variety of alternatives. When applying GRA, all performance
4000 mg L-1, for example, showed the highest Total Length criteria were taken into account and a consolidated output
of Root System (TLRS) at 122.47 cm, exceeding the TLRS was produced for evaluating root quality based on different
of 112.93 cm obtained with the IBA Quick Dip at 6000 mg treatments. Variations in responsiveness to different
L-1 treatment ( p = 0.769), while the difference was not treatments were shown to be genotype- and species-specific
significantly different. When each parameter is taken into based on the GRA scores. While FRI 4 and FRI 5 (interspe-
consideration independently, it becomes difficult to deter- cific reciprocal hybrids) responded favourably to extended
mine the optimal course of action based on those parameters. exposure to a low concentration of IBA, E. tereticornis
While clones 1, 72 and 288 (E. tereticornis) shown clones (1, 72 and 288) showed a favourable response to
favourable rooting ability with the IBA Quick Dip treatment, short-duration treatment to a high concentration of IBA. In
clones 411 (E. camaldulensis), FRI 4 and FRI 5 (reciprocal both circumstances, Clone 411 or E. camaldulensis showed
hybrids) indicated a preference for the IBA Prolonged Dip high rooting capacity; however, the ranking suggested that
treatment. Average root diameters increased with IBA Quick
Dip at 4000 mg L-1 IBA, however there was significant
31 Vegetative Propagation of Forest Tree Species 695

longer exposure to a low concentration of IBA was more during mass propagation. Though the best place to remove
beneficial. cuttings would be at the intersection of the DCI and DMI
An additional way of assessment was developed: the Root curves (Figs. 31.10 and 31.11), the interval between ideal
Quality Index (RQI). This is useful in cases where determin- DCI and the intersection would also be advantageous for
ing many characteristics may be impractical or where the goal proper adventitious root growth.
of the study is to quantify the root quality. A favourable The application of IBA demonstrated significant hetero-
association between RQI and GRA grades was found. As a geneity, according to Saha et al. (2020a, b, 2021),
result, there are situations where employing RQI instead of highlighting the importance of altering the strategy for indi-
multiple attribute decision-making methods makes sense. vidual clones in order to improve mass propagation. The
While RQI is easy to define by using relatively simple-to- economic feasibility and ease of implementation should be
evaluate parameters, GRA provides a more thorough grasp of considered while choosing a methodology. Our findings
integrated selection and functions as a rigorous assessment show that coppice cuttings of Eucalyptus tereticornis
approach. responded favourably to a 10-s exposure to 6000 mg L-1
According to Kuo et al. (2008), depending on the decision IBA. By contrast, after being treated with 1000 mg L-1 IBA
maker’s assessment, numerous options can produce varying for 24 h, E. camaldulensis and interspecific hybrids showed
outcomes, hence it is important to adjust the weights improved rooting ability. By making it easier to choose
allocated to attributes. In order to overcome this problem cuttings with better rooting potential through vegetative
and improve the accuracy and performance of our model, propagation, the evaluation criteria that have been suggested
we investigated a selection basis that uses intrinsic data from should increase the probability of survival. The favoured
a dataset to give weights to every parameter. As a result, we strategy for selection is establishing a comparability sequence
classified and developed a decision tree-based strategy using using GRA (Grey Relational Analysis). But if there are more
the data collected for evaluating adventitious root quality, drawbacks than advantages, we advise applying the Rooting
comparing it with our Multiple Attribute Decision-Making Quality Index, or RQI. It was additionally found that different
(MADM) model. genotypes had different ideal times for transferring rooted
Utilizing the evaluation attributes, the C5.0 algorithm was cuttings for hardening. As a result, genotype-specific
applied to each clone separately in order to determine the modelling is critical for increasing output, especially when
most effective treatment. The study’s findings demonstrated developing protocols. Studying the dynamics of adventitious
that new values’ class membership could be predicted with a rooting also gave us an understanding of a decrease in daily
reasonable degree of accuracy using the training features that increment due to confinement (Davis and Jacobs 2005) and
were available and that they could then be categorized using the non-availability of nutrients for further development. By
pattern recognition. After comparing the results obtained improving the selection of superior rooting during vegetative
from GRA and C5.0, we observed that our initial weight propagation, the suggested assessment criteria attempt to
selection was highly accurate based on the predictor impor- increase survival rates. As the favoured selection approach,
tance determined by the information gain ratio in each clone. we recommend using GRA to construct a comparison pro-
Treatment segregation was observed in a species-wise allo- cess; RQI is a good alternative when advantages are exceeded
cation in both GRA and C5.0, where the response to IBA by drawbacks. Different genotypes require different times for
concentration and duration was genotype-specific. There transplanting rooted cuttings for hardening, which highlights
were similarities between our comparability sequence and the significance of modelling unique to a given genotype and
the output pattern that our data mining approach found. In developing methods for commercially important clones. This
addition to auxin degradation at the wounded end, another becomes particularly important for clones that are prone to
significant issue affecting cuttings during rhizogenesis in illnesses found in nurseries. Our analysis of adventitious
intermittent misting chambers is the occurrence of diseases rooting dynamics revealed deficiencies in nutrients for
owing to the favourable environment created by high relative continued development in addition to shedding light on
humidity and temperature (Brondani et al. 2012; Steffens and Davis and Jacobs (2005)’s observation that confinement
Rasmussen 2016). Therefore, in order to minimize mortality, reduces daily increment. It was determined that 35–40 days
it is crucial to optimize the length of time propagules are is a perfect period of time for taking away rooted cuttings
retained under such circumstances. The Daily Current Incre- from mist propagators. Consequently, in order to reduce
ment (DCI) of the clones varied, with the maximum incre- losses during the nursery stage, we advise conducting a
ment being attained between 35 and 40 days, and the DCI and separate study to determine the ideal permanence time for
Daily Medium Increment (DMI) curves intersecting between each commercially significant clone that is extensively
49 and 57 days. In order to optimize output and reduce propagated. Higher financial returns and the availability of
mortality, it is therefore becoming more and more important reliable planting material for propagation can be ensured by
to model the ideal time of persistence for each genotype putting these strategies into practice.
696 S. Barthwal et al.

Fig. 31.10 The daily current increment (DCI) and daily medium increment (DMI) of eucalyptus coppice cuttings fluctuate with time for the
following clones: (a) clone 1, (b) clone 72, (c) clone 288 and (d) clone 411

4. Genetic improvement: Flowering is essential for a variety

31.5 Utility of Vegetative Propagation in Tree of breeding operations. Flowering time can be shortened
Improvement in many tree species through vegetative propagation.
5. Research work: Because they are genetically homoge-
1. Clonal multiplication of trees: It is possible to multiply the neous, vegetatively propagated plants are important
selected elite tree, which aids in the enhancement of materials for research. This reduces experimental errors,
planting stock. Commercially, vegetative propagation is thus the results of ramet tests produce more precise results.
used to mass multiply Salix, Populus, Casuarina, Eucalyp- 6. Other uses of vegetative propagation: Due to limited ger-
tus, Morus, Teak and other forest tree species. Tissue mination, shelf life, and inadvertent destruction of blooms
culture allows for the quick production of a large number and seeds due to disease or pest attack, only vegetative
of plants in a small space. growth is sometimes possible. Flowering is quite late in
2. Establishment of clonal seed orchards (CSO): This is a bamboo; thus, only vegetative strategies can be used to
plantation where clones of selected plus trees are planted multiply immature plants. Genetic variants occur in rap-
to produce genetically improved seeds. Vegetative propa- idly dividing cells and developing somatic embryos in
gation strategies are critical for the formation of CSOs. tissue culture, particularly in callus cultures (somaclonal
3. Establishment of clone bank: It is possible to create clone variations). These variations can be used to test stress
banks for several tree species. After multi-locational tolerance, disease resistance, and other traits.
clonal trials, superior planting stock from the clone bank
can be chosen.
31 Vegetative Propagation of Forest Tree Species 697

Fig. 31.11 TLRS of eucalyptus clones with evaluation time; (a) clone 1, (b) clone 72, (c) clone 288 and (d) clone 411

Vegetative propagation is an important tool for tree improve- clonal propagation is practiced extensively and it serves as
ment purposes. Over a period of time the technique has a good example for understanding the concept of juvenility,
evolved for many species yet there is ample scope for difference between leafy and non leafy cuttings, hormonal
research especially addressing maturity related decline in treatments required to induce rooting, environmental require-
rooting, physiology, genetics and molecular biology of ment etc. The subject is fascinating to satisfy researchers who
adventitious root formation in woody perennials. This will want to understand the developmental biology of rooting and
enable development of rapid, efficient and cost efficient also to those who are more interested in developing efficient
methods of clonal propagation for tree species of commercial and smart technologies for clonal propagation of elite germ-
importance. Not only induction of appropriate amount of plasm for tree improvement.
adventitious roots the quality of parent material and produced
plantlets is also equally important in clonal propagation. The Lessons Learnt
root architecture in case of clonally propagated trees plays an • Vegetative propagation is the process of replicating plant
important role in survival and growth of the tree. material from vegetative organs so that the replicated plant
Inter and intra-specific variability in adventitious has the same genotypes as the mother plant.
rhizogenesis needs to studied to generate information which • Cuttings, layering, grafting and budding are common
may be of great value for evolving uniform and workable means of vegetative propagation, each having its own
clanal protocols. Eucalypts can serve as an ideal system for importance and usefulness. In forestry rooting of cutting
such studies as evident from recent research. Eucalyptus
698 S. Barthwal et al.

is the most significant clonal propagation method consid- cuttings of Eucalyptus benthamii × Eucalyptus dunnii. Acta Sci
ering ease of multiplication. Agron 34:169–178
Cai X, Yao L, Gao G, Xie Y, Yang J, Tang X, Zhang M (2016)
• Growth regulators play an important role in induction of Responses in root physiological characteristics of Vallisneria natans
rooting. (Hydrocharitaceae) to increasing nutrient loadings. Knowl Manag
• During vegetative propagation process, several factors play Aquat Ecosyst 417:4. https://doi.org/10.1051/kmae/20150
important role and thus it is essential to monitor each and Cai H, Yang C, Liu S, Qi H, Wu L, Xu L-A, Xu M (2019) MiRNA-
target pairs regulate adventitious rooting in Populus: a functional
every step very closely for successful multiplication. role for miR167a and its target Auxin response factor 8. Tree Physiol
39(11):1922–1936
Key Questions Campinhos E, Ikemori YK (1983) Introdução de novas técnicas na
1. How adventitious root development takes place in produção de mudas de essências florestais. Silvicultura 8(28):
226–228
cuttings? Campinhos EN, Servin CMI, Almedia MA, Rosa AC (1999)
2. Describe the role of auxin in vegetative propagation. Hidrojardim clonal Champion: uma otimização na produção de
3. What do you understand by juvenility in trees? How does mudas de eucalipto. Silvicultura 19(80):42–46
it affect rooting in stem cuttings? Carvalho P, Moreira AM, Souza AJ, Bertol R, Magnago JM, Buffon JB,
Azevedo JA (1991) Jardim clonal como área de multiplicação de
4. Describe a mist chamber. How is it different from a green estacas na Bahia Sul Celulose S/A. SIMPÓSIO IPEF 2:71–75
house? Chopart JL, Rodrigues SR, Carvalho De Azevedo M, De Conti Medina
5. What are the advantages and disadvantages of presence of C (2008) Estimating sugarcane root length density through root
leaves on the stem cuttings? mapping and orientation modelling. Plant Soil 313(1–2):101–112.
https://doi.org/10.1007/s11104-008-9683-4
Currey CJ, Torres AP, Lopez RG, Jacobs DF (2013) The quality
index—a new tool for integrating quantitative measurements to
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 Micropropagation of Forest Tree Species
32
T. S. Rathore, S. S. Rathore, and A. K. Chauhan

Abstract (12) hardening conditions and duration.

The genetic variability found in tree species presents an Micropropagation, requiring a small quantity of plant
opportunity for enhancing genetic traits and utilizing material (explant), offers high production potential for
superior genotypes through clonal forestry. While tradi- mass multiplication of selected genotypes/clones and
tional macropropagation methods have limitations in plant rejuvenation. It can be carried out in small spaces,
mass-producing clonal plants for challenging-to-root tree allowing year-round production unaffected by external
species, plant tissue culture-based biotechnology emerges environmental factors. The benefits include uniformity of
as a solution to overcome these challenges and planting material, high production rates, and germplasm
complements tree improvement programs. There are preservation. This chapter provides detailed insights into
three main methods of micropropagation for tree species: the micropropagation of tree species through various
axillary shoot proliferation, adventitious shoot regenera- modes of plant regeneration.
tion (both direct and through the callus phase), and
somatic embryogenesis (both direct and through the callus Keywords
phase). Among these, axillary shoot induction is the pre- Micropropagation · Adventitious shoot regeneration ·
ferred and safest method for producing genetically true-to- Somatic embryogenesis · Explant · Genetic fidelity
type planting material. Direct adventitious regeneration
and somatic embryogenesis follow in preference. How-
ever, the presence of prolonged cultures (over 1-year old) 32.1 Introduction
may pose challenges of genetic variability. Therefore,
before large-scale micropropagation for operational plant- The presence of genetic diversity within and among tree
ing, it is crucial to conduct genetic fidelity studies using species presents an opportunity for targeted selection to
DNA markers to ensure a secure mode of regeneration and meet the requirements of commercial forest plantations,
the maintenance of genetic uniformity in planting farm forestry, and agroforestry. Selections made at various
materials. levels, such as species, provenance, and individual trees
Several factors significantly influence possessing desirable characteristics, are employed in
micropropagation, including (1) the type and source of plantations and further utilized for genetic improvement to
explant (seedling/mature tree), (2) the management of enhance productivity and product quality. Traditional
trees serving as the explant source, (3) the timing of methods of improving forest tree species involve selecting
explant collection, (4) surface sterilants, their superior trees for seed production areas, seed orchards, prov-
concentrations, and treatment duration, (5) nutrient enance, progeny, clonal testing, and controlled pollination to
media, (6) growth hormones and their concentrations, develop hybrids (Kumar et al. 2016). While seeds remain the
(7) genotypes/clones, (8) growth adjuvants, (9) gelling most convenient source for raising planting material, the
agents and media pH, (10) carbohydrate source and its outbreeding nature of many tree species poses challenges.
concentrations, (11) incubation conditions of cultures, and Seed-based progenies may not be true to the mother plants,
limiting the realization of the full potential of superior
genotypes/clones. As an alternative, stem cuttings can be
T. S. Rathore (✉) · S. S. Rathore · A. K. Chauhan utilized for the mass production of superior genotypes,
Arid Forest Research Institute, Jodhpur, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 703
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_32
704 T. S. Rathore et al.

providing a means to overcome the limitations associated the removal of microbes from the explants. The exposure time
with seed-based propagation methods. to sterilants varies based on the type of explant. Nutrient media
Mass multiplication of superior genotypes through leafy are autoclaved at 15 psi for 20 min or 20 psi for 15 min.
stem cuttings is widely practiced for Acacia, Casuarina, Similarly, sterilized distilled water is employed for washing
Eucalyptus, and Populus species. It is easy to rejuvenate by explants post-surface sterilization, and Petri plates, as well as
hedging and achieving a high level of rooting in these spe- surgical items, undergo steam sterilization, mirroring the pro-
cies. Most of the long-gestation tree species such as Tectona cess applied to the nutrient medium. The maintenance of a
grandis, Pterocarpus spp., and Santalum album are difficult sterile environment is facilitated by laminar airflow (LAF),
to root and prevent mass production of clonal plants. In which provides microbe-free air through positive air pressure
addition, factors like seasonal availability of cuttings, passing through high-efficiency particulate air (HEPA) filters
requirement of a large space, infrastructure requirement of with a pore size of 0.22 μM. Ultraviolet light installed in the
bulk quantity of cuttings, low production potential, and poor LAF serves to eliminate microbes within the airflow.
rejuvenation are also limiting macropropagation in forest
trees.
To address challenges and complement traditional 32.4 Nutrient Medium
macropropagation methods, the application of plant tissue
culture-based biotechnology, particularly micropropagation, The nutrient medium plays a crucial role in micropropagation
offers a viable solution for the rapid multiplication of a large as it provides essential elements, vitamins, amino acids,
number of plants from tree species that are difficult to root carbohydrates, and growth hormones necessary for the
(Gupta et al. 1980; Bonga 1987; Mascarenhas and growth and differentiation of cultured explants. In 1902,
Muralidharan 1989; Rathore et al. 1991a, b; Shekhawat Haberlandt made the first attempt to culture plant cells on a
et al. 1993; Sanjay et al. 2006; Rathore et al. 2008a, b). simple nutrient medium and introduced the term “totipo-
Micropropagation involves the in vitro culture of plant tency” of plant cells, though he did not succeed in plant
cells, tissues, and organs (explants) in a sterile environment regeneration (Haberlandt 1902). This pioneering effort laid
on an artificial medium, maintaining desired temperatures the foundation for subsequent research. The first successful
and photoperiods, with the goal of producing plants of spe- unlimited growth of callus was achieved by White (1939),
cific genotypes. and Heller (1953) formulated a nutrient medium containing
micro and macroelements essential for cultured tissue
growth. White (1963) later developed a simple nutrient
32.2 Explant medium. Up until the 1950s, there was a limited understand-
ing of nutrient medium and growth hormones, but progress
Explant can be defined as a part of the plant, namely apical was made by Skoog and Miller (1957) who worked with
shoot, nodal shoot, leaf segment, inflorescence, anther, pol- tobacco tissue culture. They observed that high cytokinin
len, ovary, hybrid embryo, and somatic cells, used for the and low auxin induce shoots, while the reverse induces
production of plants. Any living parts of the plant can be used roots, and an equal ratio of auxin and cytokinin induces callus
as an explant. formation. In 1962, Murashige and Skoog (MS) formulated
In vitro, seedlings, and field-grown trees can be sources of the MS medium, comprising macro and micronutrients,
explant material. The selection of an explant is based on the vitamins, amino acids, sucrose, and agar-agar. This medium
objectives of micropropagation. The apical or nodal shoot gained popularity and became widely used in plant tissue
segment is used as an explant for the clonal propagation to culture, including the micropropagation of woody plants
get plants genetically similar to the mother plant. Leaf, inter- (WPs). Table 32.1 provides details of the composition of
node, hypocotyl, and inflorescence are commonly used as the commonly used MS medium, while Table 32.2 outlines
explants for adventitious shoot production, callus develop- the details of selected nutrient media commonly used for the
ment, and somatic embryogenesis. propagation of tree species.

32.3 Aseptic Condition 32.5 Controlled Incubation Conditions

To maintain a microbe-free environment for in vitro cultures, In order to achieve reproducible and the best result on
both explants and nutrient medium undergo sterilization. micropropagation, incubation conditions of culture rooms/
Explants are surface sterilized using 70% ethanol, sodium growth rooms are controlled in terms of temperature (gener-
hypochlorite, mercuric chloride, chlorine water, or bromine ally 25 ± 1 °C), light intensity (2000–4000 lux), photoperiod
water. The choice of one or two sterilants is flexible to ensure 12–16 h, and humidity (60%). The requirement of optimum
32 Micropropagation of Forest Tree Species 705

Table 32.1 Chemical composition, preparation of stock solution of MS medium (Murashige and Skoog 1962), and volumes to be used
Stock Quantity Quantity (g/L) in stock Strength of stock Volume in mL for 1 L of
solution Chemicals (mg/L) solution solution medium
A NH4NO3 1650 82.5 50X 20
B KNO3 1900 95.0 50X 20
C KH2PO4 170 34.0 200X 5
H3BO3 6.2 1.24
Na2Mo O4.2H2O 0.25 0.05
KI 0.83 0.166
COCl2 6H2O 0.25 0.005
D CaCl2.2H2O 440 88.0 200X 5
E MgSO4.7H2O 370 74.0 200X 5
MnSO4.4H2O 16.9 3.38
ZnSO4.7H2O 8.6 1.72
CuSO45H2O 0.025 0.005
F FeSO4 7H2O 27.8 5.50 200X 5
Na2EDTA.H2O 37.3 7.46
Thiamine HCl 0.5 1.0 1000X 0.5
Pyridoxine 0.5 1.0 1000X 0.5
hydrochloride
Nicotinic acid 0.5 1.0 1000X 0.5
Glycine 2.0 1.0 500X 2.0
Myo inositol 100
Sucrose (C12H22O11) 30.0
Agar-agar 5.5–7.0

temperature, light intensity, and photoperiod may vary with [TDZ]), depends on the plant species. The second step
the tree species and maintaining such conditions is essential involves further shoot proliferation or bulking through
for reproducibility of results. subculturing on the same medium or with modifications in
nutrients and growth hormones. Subculturing is typically
performed every 3–5 weeks, and it can be carried out for up
32.6 Modes of Micropropagation to 10–12 passages. The multiplication rate varies between
two- and four-folds in each passage, depending on the tree
There are three modes of micropropagation, viz. (1) forced species and source material.
axillary shoot proliferation, (2) adventitious regeneration, The third step focuses on in vitro or ex vitro rooting of the
and (3) somatic embryogenesis. multiplied shoots. This involves the use of a low-nutrient
medium or modifications in macro and microelements, with
auxins, mostly IBA, playing a crucial role. In vitro rooting
32.6.1 Regeneration Through Axillary Shoot takes approximately 2–4 weeks, and rooted plants can be
Proliferation utilized for the subsequent hardening process. Ex vitro
rooting, which involves sturdy shoots with a minimum of
Micropropagation (regeneration) through axillary shoot two to three nodes treated with IBA, reduces both time and
induction stands out as the widely employed method for production costs. The fourth step entails the hardening/
propagating forest tree species (Fig. 32.1). In this method, acclimatization of plants, a critical phase for ensuring high
apical or nodal shoots are selected as explants. The initial step survival rates during field transfer. In vitro plants, being
involves forced axillary shoot proliferation on a shoot initia- partially autotrophic, undergo gradual acclimatization to
tion medium containing low auxin and high cytokinin. Com- overcome challenges such as poorly developed wax and
monly used media for this purpose include MS (Murashige cuticle formation and poorly functional stomata due to high
and Skoog 1962), WP (Lloyd and McCown 1980), and B5 humidity within culture vessels. Plantlets are washed and
(Gamborg et al. 1968). The selection of growth hormones, treated with fungicide to prevent microbial attacks. A potting
such as auxins (indole acetic acid [IAA], indole butyric acid medium, consisting of soilrite, cocopeat, vermiculite, com-
[IBA], and naphthalene acetic acid [NAA]) and cytokinins post, sand, and soil, either alone or in combination, is com-
(kinetin, 6-furfuryl amino purine, benzyl amino purine monly used. The potted plants initially reside in a greenhouse
[BAP], zeatin, 2-iso-pentyl adenine [2ip], and thidiazuron with low temperature (25–28 °C) and high humidity
706 T. S. Rathore et al.

Table 32.2 Chemical constituents (in mg/L) of various nutrient media commonly used for micropropagation of tree species
Composition MS B5 WPM SH HE
Macronutrients
KH2PO4 170.00 170.00 140.00
Na2H2PO4.H2O 150.00
KNO3 1900.00 2500.00 2500.00
NH4NO3 1650.00 400.00
CaCl2.2H2O 440.00 150.00 96.00 151.00 500.00
Ca (NO3)4.H2O 556.00
(NH4)2SO4 134.00 300.00 25.00
Na2SO4 150.00
KCl
MgSO4.7H2O 370.00 250.00 370.00 195.05 140.00
Micronutrients
H3BO3 6.2 3.0 6.2 5.00 1.0
MnSO4.4H2O 16.9 0.01
MnSO4.H2O 10.0 22.3 10.00
ZnSO4.7H2O 8.6 2.0 8.6 1.00 1.0
Na2Mo42H2O 0.25 0.025 0.025 0.10
CuSO45H2O 0.025 0.025 0.025 0.20 0.03
CoCl26H2O 0.025 0.10
KI 0.83 0.75 1.00 0.01
FeSO47H2O 27.8 27.8
Na2EDTA H2O 37.3 28.0 37.3
FeCl2.6H2O 1.0
FeNaEDTA 19.80
Vitamins
Thiamine HCl (vitamin B1) 0.5 10.0 1.0 1.0
Pyridoxine HCl (vitamin B6) 0.5 1.0 0.5 0.5
Nicotinic acid (vitamin B3) 0.5 1.0 1.0 5.0
Glycine (C2H5NO2) 2.0 5.0
Myo inositol 100 100 100 1000
B5, Gamborg et al. (1968); HE, Heller’s medium (Heller 1953); MS, Murashige and Skoog (1962); SH, Schenk and Hildebrandt (1972); WPM,
woody plant medium (Lloyd and McCown 1980)

(80–90%), gradually adjusting the temperature and humidity. 1986), Ficus carica (Kumar et al. 1998), Melia dubia
Within 4–6 weeks, new growth (roots and shoots) begins, and (Bhimi Ram et al. 2014), Nothapodytes nimmoniana (Rai
the hardening period, ranging from 4 to 8 weeks, is species- 2002; Isha and Singh 2015), Osyris lanceolata (Xavery and
dependent. This process, known as primary hardening, may Feyissca 2015), Prosopis cineraria (Shekhawat et al. 1993),
be followed by secondary hardening in partial shade or an Pterocarpus marsupium (Husain et al. 2007), Santalum
open nursery. Typically, plants are ready for field transfer at album (Sanjay Muthana et al. 2006; Rathore et al.
4–6 months of age. 2008a, b), Syzygium travancoricum (Ajith et al. 1999),
Axillary shoot proliferation method of recovery of plants Terminalia arjuna (Gupta et al. 2014), Terminalia bellirica
has been used in various trees, viz., Anogeissus acuminata (Ramesh et al. 2005), Vitex negundo (Ahmed and Anis
(Rathore et al. 1993), Anogeissus pendula, Anogeissus 2007), and Ziziphus spp. and Tecomella undulata (Rathore
latifolia (Saxena and Dhawan 2011), Acacia auriculiformis et al. 1991a, b).
(Girijashank 2011), Acacia mangium (Zhang et al. 1995),
Acacia spp. (Kaur et al. 1998), Aegle marmelos (Parveen
et al. 2015), Aquilaria malaccensis (Borpuzari and Kachari 32.6.2 Adventitious Regeneration
2018), Azadirachta indica (Arya et al. 1995), Balanites
aegyptiaca (Anis et al. 2010), Capparis decidua (Deora and This method deals with the production of adventitious shoots
Shekhawat 1995), Cassia spp. (Parveen and Shahzad 2012), directly or callus phase from the leaf, internode, petiole,
Crateva adansonii (Sharma et al. 2003), Eucalyptus inflorescence, and root of adult trees or hypocotyl, cotyledon,
resinifera, Eucalyptus maculata (McComb and Wroth and leaf of in vitro raised seedlings.
32 Micropropagation of Forest Tree Species 707

Fig. 32.1 Cloning of teak (Tectona grandis) through axillary shoots production: (a) a plus tree, (b) multiplication of shoot, (c) ex vitro root
induction and (d) acclimatized plants

32.6.2.1 Direct Adventitious Shoot Induction fresh multiplication medium, typically requiring less cytoki-
In this procedure, direct adventitious shoot primordia are nin compared to the direct shoot initiation medium. Individ-
induced without a callus phase, originating from leaf epider- ual shoots, shoot segments, or clumps of two to three shoots
mal, mesophyll, or cortical cells of internode and root can be selected for subsequent shoot bulking. Multiplication
(Fig. 32.2). Permanent cells undergo conversion into dividing of shoots is generally performed up to 10–12 passages, with a
cells under the influence of growth hormones. These dividing subculturing period of 4–5 weeks on a fresh medium.
cells multiply and undergo differentiation into specialized Extended multiplication may increase the chances of
tissues, resulting in the production of shoot primordia. somaclonal variation. In vitro, shoots multiplied through
These shoot primordia can be elongated for further shoot direct adventitious shoot induction, measuring 4–6 cm in
bulking or multiplication on a fresh shoot multiplication length with three to four nodes, can be employed for rooting.
medium. The frequency of shoots and the number of shoot Low-nutrient media like MS/4 basal salt, woody plant,
primordia per explant may vary depending on the plant Heller’s, and White (1963) media are favorable for rooting
species, nutrient medium, and growth hormones. Directly without the need for callus. Depending on the tree species,
induced adventitious shoots can be further multiplied on a auxins such as IBA and NAA, either alone or in
708 T. S. Rathore et al.

Fig. 32.2 Adventitious regeneration from internode of Santalum album: (a) adventitious shoots, (b) shoot multiplication and (c) hardened plant

combinations, are used for rooting. Ex vitro root induction subculturing shoot segments or shoot clumps on a fresh
follows the earlier mentioned methods. The hardening pro- medium with a new composition to increase the number of
cess is crucial for achieving a high rate of survival and shoots before being transferred to a rooting medium.
protocol success. As shoots are induced directly without a In vitro differentiated shoots, measuring 4–6 cm in length
callus phase, the likelihood of genetic variability is minimal. with three to four nodes, can be isolated and used for rooting
This method proves valuable for cloning desired clones/ in reduced-nutrient levels of MS/2, MS/4 basal salts, WP, and
genotypes in planting programs, provided the genetic stabil- White’s media with auxin (IAA/IBA). Ex vitro rooting can be
ity of plants is ensured. The direct adventitious shoot regen- induced in greenhouse conditions using auxins like
eration method holds potential for the genetic transformation IAA/IBA/NAA and a rooting medium comprising soilrite,
of desired traits in target tree species. vermiculite, cocopeat, peat-moss, and perlite, either alone or
in combinations, placed in containers. Rooting and hardening
32.6.2.2 Adventitious Regeneration Through are conducted in a greenhouse under semi-controlled
Callus Phase conditions. The primary hardening duration may vary
In this regeneration method, callus is generated from various depending on the species, and secondary hardening can be
plant parts such as leaves, internodes, roots, and carried out in shade or an open nursery. There is a possibility
inflorescences. on a nutrient-rich medium like MS, SH, B5, of somaclonal variation in plants produced through the callus
and WP supplemented with plant growth regulators (PGRs) phase, making it essential to conduct genetic fidelity studies
including auxins (IAA, NAA, and 2,4-D) and cytokinins (Kn, using DNA markers before field planting.
BAP, Zeatin, and TDZ). Callus induction can be initiated by Regeneration through adventitious shoot induction has
auxin alone or in combination with cytokinin. The callus been reported in tree species like Acacia auriculiformis
produced can be further multiplied on the same medium (Das et al. 1993), Acacia sinuta (Vengadesan et al. 2003;
composition with minor modifications, including growth Shahzad et al. 2006), Aegle marmelos (Islam et al. 1995),
hormones. The nutrient medium and PGR requirements Cercis canadensis (Distabanjong and Geneve 1997),
may vary depending on the tree species. Callus multiplication Cydonia oblonga (Dolcet et al. 1991), Dalbergia sissoo
can be conducted for three to four cycles before its differen- (Singh et al. 2002), Garcinia mangostana (Goh et al.
tiation into shoots. In vitro multiplied callus undergoes dif- 1994), Gmelina arborea (Ujjwala et al. 2013), Kentucky
ferentiation into shoot primordia on a nutrient medium such coffee tree (Geneve 2005), Murraya koenigii (Rajendra and
as MS, MS/2 basal salts, WP, B5, and SH with low levels of D’souza 1998), Oroxylum indicun (Gokhale and Bansal
IAA/IBA/NAA and Kn/BAP/2iP/TDZ. Some of the dividing 2010), Paulownia spp. (Rao et al. 1996), Populus ciliata
callus cells differentiate into tissues, giving rise to shoot (Thakur and Srivastava 2006), Santalum album (Mujib
primordia. These differentiated shoot primordia can be elon- 2005), Sesbania grandiflora (Detrez et al. 1994), Simarouba
gated on a low-cytokinin medium with or without gibberellic glauca (Lavanya et al. 2016), and Ziziphus jujuba (Cui et al.
acid (GA3). Elongated shoots are further multiplied by 2017).
32 Micropropagation of Forest Tree Species 709

32.6.3 Plant Regeneration Via Somatic for these plants are similar to those raised through axillary
Embryogenesis shoot proliferation.

Somatic embryogenesis directly can be induced from the 32.6.3.2 Somatic Embryogenesis Through Callus
explants like leaf, petiole, internode, root, and inflorescence, Phase
whereas indirect somatic embryo production is through the Various living plant materials can serve as explants for callus
callus phase. Callus is first induced from the explant and later induction, with commonly used ones including leaves,
on, callus cells divide within the common boundary and internodes, and inflorescences. These explants are cultivated
produce somatic embryos. The developmental pathway of on a nutrient-rich medium supplemented with auxins and
somatic embryo production follows is similar to zygotic cytokinins, either individually or in combination, to induce
embryo production pathway. It passes through pre-globular, callus formation. The induction process typically results in
globular, heart-shaped, torpedo, and bipolar embryo stages. the formation of both embryogenic and non-embryogenic
callus. The embryogenic callus is then subcultured onto
32.6.3.1 Somatic Embryo Induction Without Callus fresh nutrient media (MS/B5/SH/WP) with auxins and
Phase cytokinins, either alone or in combinations, to facilitate fur-
The generation of direct somatic embryos involves the use of ther multiplication.
various plant parts such as leaves, internodes, roots, The development of embryos from the embryogenic callus
inflorescences, anthers, pollen, and unfertilized ovaries as is species-specific and is induced by subculturing on an
explants. Dividing (meristematic) cells are formed from epi- induction medium (Fig. 32.3). For example, in Santalum
dermal or mesophyll cells of leaf explants, initiating division album, MS medium with 2,4-D is used to induce embryo-
within a shared boundary. This division progresses through genic callus, and the same medium can be utilized for
two cells, four cells, eight cells, multicellular pre-globular, subsequent multiplication. However, WP medium with
globular, heart-shaped, torpedo, and bipolar stages of somatic 1.0 mg/L IAA is preferred for achieving a high frequency
embryos. The direct somatic embryo production method of globular-shaped somatic embryos within a 3-week period
boasts a high efficiency in plant production. (Rangaswamy 2007; Rathore et al. 2008a). The maturation of
Several factors, including explant type, nutrient medium, somatic embryos to torpedo and bipolar stages is supported
growth hormones, genotypes, and plant species, play crucial by WP medium with ABA + PEG. A high germination rate of
roles in governing direct somatic embryo production. The mature S. album embryos can be achieved on MS/4 basal
process of plant regeneration through embryogenesis salts medium with GA3 + IAA + activated charcoal
involves three broad stages: embryo production, maturation, (Rangaswamy 2007).
and germination of mature embryos into well-developed Somatic embryogenesis has been documented in various
roots and shoots. The nutrient medium and plant growth tree species, viz., Acacia spp. (Ortiz et al. 2000), Azadirachta
regulator requirements may vary during different stages of indica (Akula et al. 2000), Balanites aegyptiaca (Saharan
embryo development. Abscisic acid (ABA) and polyethylene et al. 2011), Cydonia oblonga (Morini et al. 2000), Dalbergia
glycol (PEG) are generally employed to facilitate somatic sissoo (Das et al. 1997), Eucalyptus citriodora (Muralidharan
embryo maturation. A low-nutrient medium without growth et al. 1989), Nothapodytes nimmoniana (Fuzele and Stdive
hormones or with auxin (IAA/NAA) and gibberellic acid 2003), Picea, Quercus, Betula, Tilia, Robinia, Fagus,
(GA3) supports the germination of mature somatic embryos Aesculus spp. (Chalupa 1987), Populus nigra, Populus
into plantlets. The primary and secondary hardening stages maximowiczii (Park and Son 1988), Populus spp. (Michler

Fig. 32.3 Somatic embryogenesis in Azadirachta indica: (a) globular embryos, (b) torpedo and bipolar, and (c) germination
710 T. S. Rathore et al.

and Baner 1991), Quercus acutissima (Kim et al. 2003), induction and somatic embryogenesis in tree species.
Quercus ilex (Mauri and Mozanera 2003), Tilia cordata Explants collected from managed trees respond better than
(Chalupa 1990), Santalum album (Lakshmi Sita et al. 1979; unmanaged trees. The size of explants is dependent on the
Rangaswamy 2007; Rathore et al. 2008a), Sesbania type of explants and the objective of their use.
bispinosa (Sinha and Mallick 1991), and Ulmus minor
(Conde et al. 2004).
32.7.4 Surface Sterilant and Their Exposure
Period
32.7 Factors Affecting Micropropagation
The role of standardization of surface sterilant is very impor-
32.7.1 Age of Mother Plant/Source of Explants tant to establish aseptic cultures for the regeneration of
plantlets. Prolonged surface sterilization of explants results
It is easy to regenerate plants from the in vitro seedlings, in leaching and browning of explants ultimately leading to
field-grown seedlings, and young trees as compared to the death of explants. Whereas, short period of surface steril-
mature trees. With aging, accumulation of phenolics, ization leads to a high rate of microbial contamination. Gen-
inhibitors, complexity in biochemical composition, structural erally, sodium hypochlorite, mercuric chloride, bromine
changes, and cytodifferentiation occur, which cause a poor water, chlorine water, and 70% ethanol are used as sterilant
response of mature trees particularly during the first two to for surface sterilization of explants either alone or in combi-
three passages of shoot initiation and multiplication. After nation. The concentration of sterilant and duration of treat-
five to six passages of shoot multiplication of mature trees, ment are important to ensure exposure to microbial load from
the rate of multiplication increases through rejuvenation. the explants and minimize contamination load. Selection of
sterilant and its exposure time depend on the type of explant
and its nature (soft or hard). Sometimes, two types of sterilant
32.7.2 Management of Mother Tree are more effective than a single one. Ethanol is useful in
waxy and hairy types of explants. Standardization of surface
Age of mother trees, that is, source of plant material, is one of sterilant type, concentration, and exposure duration of treat-
the important factors that plays a crucial role in ment to the explants is essential for the successful establish-
micropropagation of tree species. Management of the source ment of aseptic cultures.
of explant trees influences the production of new shoot
growth with less accumulation of inhibitors (particularly
phenolics) and microbial load on the surface of the branches. 32.7.5 Nutrient Medium
Pruning and lopping of branches help to obtain new shoots
for longer periods and chances of contamination are also Nutrient media have a significant role in fulfilling the
reduced apart from low levels of phenolic accumulation nutritional requirement of in vitro cultures for shoot initia-
(Shekhawat et al. 1993). Periodic irrigation and fertilizer tion, multiplication, adventitious shoot induction, embryo-
application also improve the vegetative growth of shoots genic callus induction, and somatic embryogenesis. Nutrient
from the mother trees. To reduce the load of microbes, media consist of macro and microelements, vitamins, amino
insecticide and pesticide spray can help. Management of the acids, sugar, and gelling agents. Every tree species has its
mother tree (source of explants) also helps in the availability specific requirement of macro and microelements to obtain
of the right stage of explants for a longer period. the best result for shoot initiation, multiplication, and rooting.
Most of the tree species respond well to MS medium or its
modifications due to its balanced composition of nutrients. A
32.7.3 Explant Type and Size few tree species respond better on B5, WP, and SH media.
Shoot initiation and shoot multiplication can be obtained
Selection of the right kind of explant type and size is impor- better on nutrient-rich medium, whereas low-nutrient media
tant for the successful establishment of cultures. Nodal shoot like half or one-fourth reduced basal salts of MS, White, and
segments of 1–2 cm in length with axillary shoot bud are Heller’s media favor better rooting without callus formation
widely used for cloning of tree species via forced axillary at the base. Nutrient-rich medium is favorable for adventi-
shoot production. In some cases, apical shoots are also useful tious shoot induction, callus induction, and callus multiplica-
as an explanation for in vitro cloning. Leaf, petiole, inter- tion for embryogenesis.
node, and root segment are used for adventitious shoot
32 Micropropagation of Forest Tree Species 711

32.7.6 Growth Hormones/Regulators 32.7.8 Growth Adjuvants

In vitro cultured explants contain a low amount of endoge- To achieve a better response to micropropagation, the addi-
nous growth regulators; therefore, an exogenous supply of tion of certain adjuvants like ascorbic acid, citric acid, cyste-
growth regulators (PGRs) is essential. The exogenous supply ine, polyvinylpyrrolidone, activated charcoal, coconut water,
of PGRs plays a significant role in cell division, differentia- polyamines (putrescine, spermine, and spermidine), yeast
tion, and development of organs. The optimal requirement of extract, and malt extract are useful in the medium for better
PGRs may vary with tree species, explant type, source, and growth and differentiation. Antioxidants, ascorbic acid, citric
objective of its use in the nutrient media. Commonly used acid, cysteine, and activated charcoal are used in the medium
growth regulators for micropropagation are auxins (IAA, to reduce the chances of leaching and browning of explants.
IBA, NAA, and 2,4-D), conjugates of auxins, cytokinins, Coconut milk, yeast extract, and malt extract supplement
(Kinetin, BAP, 2ip, Zeatin, and TDZ), gibberellic acid nutritional requirements of in vitro cultures.
(GA3), and ABA, which are used for specific purposes. The
GA3 helps in shoot elongation and germination of somatic
embryos, whereas ABA alone or with PEG (polyethylene 32.7.9 Genotypes
glycol) helps in the maturation of embryos. The optimum
concentration of a particular auxin and cytokinin in the Apart from tree species, genotypes/clones also influence
medium may vary with the tree species, explant type, and in vitro regeneration of plants. The difference in response of
mode of regeneration. The 2,4-D is used for the callus induc- different genotypes is attributed to differences in their genetic
tion either alone or with one of the cytokinins. The IAA is a makeup. Genotypes are one of the key factors that play an
natural auxin and comparatively weak. The IBA is a preferred important role in the proliferation of shoot frequency, shoot
auxin for root production from the shoots of tree species. The number produced per explant, shoot multiplication rate, and
TDZ is used in small quantities and is very strong. It can be rooting percentage. Similarly, genotypes also have a signifi-
used for shoot induction from difficult-to-respond species as cant effect on adventitious regeneration and somatic
well as for somatic embryogenesis. The kinetin, BAP, and embryogenesis.
2ip use in the medium may vary with the plant species. The
PGR concentration in the media is dependent on the tree
species and the objective of the experiment. 32.7.10 Gelling Agent and Their Concentrations

The role of the gelling agent is the solidification of nutrient

32.7.7 Effect of Period (Season) of Explants media to support in vitro cultures. Agar-agar is a commonly
Collection used gelling agent. Agar-agar is a widely used gelling agent
from 0.6 to 0.8% (w/v) depending on the plant species. The
The period (season) of explant collection has a significant purity of gelrite is better than agar-agar and is also transpar-
role in the establishment of in vitro cultures. The right period ent. Both are considered inert materials. Gelrite is used at less
of explant collection poses the minimum problem of micro- concentration, 0.2–0.4% (w/v). High and low concentrations
bial contamination and ensures a high rate of response of of gelling agents are not favorable to the optimum uptake of
cultures for shoot initiation, callus induction, adventitious nutrients. The optimal requirement of the gelling agent may
shoot induction, and somatic embryo induction. Phenological also vary with the tree species.
events like flowering, fruiting, and vegetative growth period
vary among the tree species. Explant collection during the
new vegetative growth period poses the minimum problem of 32.7.11 pH of the Medium
contamination and a high rate of response under in vitro
conditions on shoot proliferation, adventitious shoot induc- Nutrient uptake is dependent on pH of the medium. Nor-
tion, and somatic embryogenesis. Response of explants col- mally, pH of 5.5–5.8 is considered ideal for the optimum
lected during winter poses more problems of contamination uptake of nutrients from the medium. Low pH of the medium
and exhibits poor response in culture. During the monsoon leads to poor gelling of the medium whereas high pH (>6.5)
period, microbial activities are more and pose the problem of results in hardness of the medium leading to poor uptake of
contamination. New shoots produced immediately after the the nutrient from the medium. Therefore, optimum pH of the
spring season are an ideal period of explants collection with medium is very important for maximum uptake of the nutri-
low microbial load and phenolic accumulation. However, the ent from the medium.
suitable period of explants collection may vary with different
species.
712 T. S. Rathore et al.

32.7.12 Carbohydrate and Its Concentration somatic embryogenesis. Chances of genetic variability are
higher in the plants raised through the callus phase in case
In vitro cultures are partially autotroph, therefore an exoge- of adventitious regeneration and somatic embryogenesis.
nous supply of energy in the form of carbohydrates is essen- DNA markers like RAPD (randomly amplified polymorphic
tial for shoot initiation, multiplication, rooting, callus DNA), ISSR (inter single sequence repeat), RFLP (restricted
induction, multiplication, and somatic embryogenesis. Glu- fragment length polymorphism), SSR (single sequence
cose, fructose, ribulose, and sucrose are used as a source of repeat), and microsatellites are commonly used to find out
energy in the nutrient media. Out of these, sucrose as a source the genetic fidelity of regenerated plants. Genetic stability or
of energy is the most widely used in the media. The concen- instability depends on the tree species, mode of regeneration,
tration of carbohydrates may vary (2–4%) with the tree spe- and passages of in vitro cultures from which plants are
cies. In the majority of the trees, 3% sucrose is used in the produced. A genetic fidelity test should be carried out for
medium. The requirement for carbohydrates is comparatively micropropagated plants to ensure a safe mode of regeneration
more (3–6%) in the case of somatic embryogenesis. In some and the number of passages of subculturing from which
cases, combined use of glucose and sucrose is better than plants are raised. Genetic stability is essential for
sucrose alone for micropropagation. The requirement of micropropagated plants before field planting. Without
carbohydrates is comparatively less (2% w/v) for in vitro genetic fidelity studies, if large-scale production is carried
rooting from shoots. out and genetic variation is detected in the field then it may
lead to great problems.

32.8 Hardening (Acclimatization)

32.10 Advantages of Micropropagation
Micropropagated plants under in vitro conditions are partially
autotroph, are poor, or lack cuticle and wax formation on the Advantages of micropropagation are:
leaf surface. Stomata are not functional due to high humidity
inside culture vessels. Exposing micropropagated plants • Requirement of low quantity of plant material (explant)
directly to the outer environmental conditions without • Large-scale production of planting material in a short time
acclimatization will lead to a high rate of mortality due to • Production of microbes (disease)-free planting material
rapid water loss. Therefore, gradual hardening • Rejuvenation of micropropagated plants
(acclimatization) of micropropagated plants is essential. Dur- • Requirement of small space for the production of plants
ing the hardening process, potting medium, hardening • No influence of season (summer, winter, and monsoon) on
conditions, and duration of hardening are important factors the production of planting material
for the high rate of survival of micropropagated plants. • Uniformity of planting material
Soilrite, vermiculite, cocopeat, perlite, peat moss, soil, and • High production potential of plants
compost are used singly or in different combinations in a • In vitro preservation of superior clones, and endangered
potting medium for the high rate of survival and growth of and critically endangered tree species under low and super
the micropropagated plants. Initially, low temperature low (cryopreservation) temperatures
(25–28 °C) and high humidity (85–90%) for 2–3 weeks,
followed by high temperature (30–35 °C) and low humidity
(70–80%) for 3–4 weeks favor primary hardening. At this 32.11 Applications of Plant Tissue Culture
stage, cuticle and wax formation and autotropism take place. in Forestry
At a primary hardening stage, new growth of root and shoot is
also visible. Secondary hardening is carried out under shade Following are applications of plant tissue culture in tree
for 3–4 weeks, before keeping plants under open nursery species:
conditions. The condition and duration of hardening vary
among tree species. The success of micropropagation • Virus-free production of planting material by meristem
depends on shoot multiplication rate, rooting percentage, culture on a defined medium under controlled environ-
and hardening conditions and duration. mental conditions
• Mass cloning of tree species is difficult through traditional
methods of macropropagation
32.9 Genetic Fidelity • Clonal production of plants of selected clones, desirable
genotypes, and elite clones of commercially important tree
Micropropagated plants raised through axillary shoot prolif- species for plantation forestry
eration are considered genetically stable and uniform as com- • Micropropagation of threatened tree (rare, vulnerable, and
pared to trees raised through adventitious regeneration and endangered) species for in situ and ex situ conservation
32 Micropropagation of Forest Tree Species 713

• Somatic embryogenesis (direct/through callus phase) for multiplication and rooting of forestry species for economic
rapid production of planting material of industrially feasibility for commercial production is required. Keeping in
important tree species by stationary, batch culture, or in mind the future requirement of clonal planting material,
bioreactor emphasis on automation for commercial production of clonal
• Synthetic seeds production from the somatic embryos by planting material is essential. There is a need for a better
encapsulating in calcium alginate sheath understanding of somatic embryogenesis and synthetic seed
• Genetic improvement by the endosperm culture and pro- production. To develop hybrids and cybrids for genetic
duction of triploid and polyploid plants. improvement, emphasis on somatic hybridization within
• Genetic improvement by in vitro induced flowering (use- and between tree species will be required. There is a need
ful particularly in bamboo species due to their monocarpic for the development of protocols of micropropagation of tree
nature species that are difficult to clone through traditional methods.
• Genetic improvement by hybrid embryo rescue technique To achieve a high rate of survival of micropropagated plants,
and production of hybrid plants an emphasis on a better understanding of the primary and
• Genetic improvement by protoplast fusion within and secondary hardening of micropropagated tree species will be
between species for the production of hybrids and cybrids essential. Thrust on micropropagation of rare, vulnerable, and
• Genetic improvement by somaclonal variation and selec- endangered tree species for their conservation and plantation
tion of desired cell line for salt, drought, and disease will be required. To ensure the genetic stability of
tolerance/resistance micropropagated plants, genetic fidelity studies should be
• Production of secondary products of important tree spe- mandatory before using micropropagated planting material
cies through cell suspension cultures in bioreactors for for field plantation. Better coordination is required between
commercial production R&D laboratories and commercial units for the industrial
• Production of transgenic plants for low lignin, herbicide production of cloned material of forestry species.
tolerance, insect resistance, and abiotic (salt, drought, and
cold) tolerance
• Medium and long-term conservation of germplasm (cell, 32.14 Conclusion
tissue, organ, and pollen) under in vitro conditions
Plant tissue culture-based biotechnology has the potential to
overcome the problems of traditional methods of vegetative
32.12 Limitations of Micropropagation propagation and improve the production of high-quality
planting material for plantation forestry. Cloning by axillary
Limitations and problems encountered in micropropagation shoot production, somatic embryo induction, and adventi-
of tree species are as follows: tious shoot regeneration can produce large-scale planting
material of tree species around the year without the influence
• High cost of infrastructure requirement of outer environmental conditions in a small space as com-
• Requirement of skilled manpower pared to traditional methods of propagation. In vitro produc-
• Requirement of more time for development of tion of plants by axillary shoot induction is the safest mode to
micropropagation protocols of tree species produce genetically uniform clonal planting material. Critical
• Lack of proper understanding of the physio-chemical factors like explant type, PGRs, media, incubation
requirement for commercial production of planting mate- conditions, growth adjuvant, and genotypes are some of the
rial of certain tree species important ones that play an important role in the rapidity of
• Some species are recalcitrant and difficult to propagate at micropropagation. Prolonging multiplication of cultures may
large scale pose chances of genetic variability; therefore, genetic fidelity
• Leaching and browning of explants of some species are studies are mandatory before planting of micropropagated
common and difficult to regenerate plants plants in the field to ensure genetic stability. There is a need
• Encounter the problem of contamination to raise cultures to focus on better coordination between R&D laboratories
of mature trees and commercial units to produce industrial-level clonal plants
of tree species. Emphasis on automation, high shoot multipli-
cation, and rooting rate; somatic embryogenesis;
32.13 Future Prospects micropropagation of difficult-to-clone tree species and rare,
vulnerable, and endangered forestry species; primary and
There is a need for a proper understanding of the physio- secondary hardening; and mandatory studies on genetic fidel-
chemical requirement to establish cultures of tree species for ity is essential.
commercial production. Emphasis on the high rate of shoot
714 T. S. Rathore et al.

Lessons Learnt Bhimi Ram B, Rathore TS, Beena DB, Rajput DS (2014) An efficient
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dubia Cav. - an important multipurpose tree. Int J Curr Microbiol
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of difficult-to-root tree species. Bonga JM (1987) Clonal propagation of mature tree: problems and
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preferred mode of plant regeneration for cloning geneti- in forestry. Springer & Dordrecht
Borpuzari PP, Kachari B (2018) Effect of glutamine for high frequency
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embryogenesis have a high potential for the regeneration Chalupa V (1987) Somatic embryogenesis in Picea, Quercus, Betula,
of plants and can also be used for genetic engineering for Tilia, Robinia and Aesculus. Common Inst For Ceh 15:133–148
Chalupa V (1990) Plant regeneration by somatic embryogenesis from
the production of transgenic plants with desired traits. cultures of immature embryo of Oak (Quarcus rubber L.) and
• Explant type and source (seedling/mature trees), Cinden (Tilia cordata Mill). Plant Cell Rep 9:398–401
genotypes, nutrient media, and growth hormones play Conde P, Loureiro J, Santos C (2004) Somatic embryogenesis from
key roles in plant regeneration through all three modes leaves of Ulmus minor Mill. Plant Cell Rep 22:632–639
Cui Y, Hou L, Li X, Huang F, Pang X, Li Y (2017) In vitro induction of
of regeneration. tetraploid Ziziphus jujube Mill. Var. spinosa plants from leaf
• Micropropagation has a high production potential from a explants. Plant Cell Tissue Org Cult 131:175–182. https://doi.org/
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embryogenesis of Dalbergia sissoo Roxb. A multipurpose timber
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micropropagated planting material is essential for the Das PK, Chakravarty VI, Maity S (1993) Plantlet formation in tissue
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• Genetic fidelity studies of micropropagated plants using Indian J For 16:182–192
Deora NS, Shekhawat NS (1995) Micropropagation of Capparis
DNA markers are essential to ensure a safe mode of decidua (Forsk) Edgew – a tree of arid horticulture. Plant Cell Rep
regeneration and duration of multiplication of cultures 15:275–281
under aseptic conditions before planting in the field. Detrez C, Ndiaye S, Drefus B (1994) In vitro regeneration of the tropical
multipurpose leguminous tree Sesbania grandiflora from cotyledon
explants. Plant Cell Rep 14:87–93
Key Questions Distabanjong K, Geneve R (1997) Multiple shoot formation from nor-
1. What are the different methods of micropropagation? How mal and malformed somatic embryo explants of eastern redbud
are they different from each other? (Cercis canadensis L.). Plant Cell Rep 16:334–338
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cultured leaves of Cydonia oblonga (Quince). Plant Cell Rep 10:
different stages of micropropagation? 240–242
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macropropagation? Explain. tion and evaluation of camptothecin. In Vitro Cell Dev Biol Plant
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Gamborg OL, Miller RA, Ojma K (1968) Nutrient requirement of
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Plant 41:489–493
Girijashank V (2011) Micropropagation of multipurpose medicinal tree
Acacia auriculiformis. J Med Plant Res 5(3):462–466
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 Genetic Markers, Genomics and Genetic
Modification in Forest Trees: Current Status 33
and Prospects

Yasodha Ramasamy, Shanthi Arunachalam, Modhumita Dasgupta,

and Mathish Nambiar-Veetil

Abstract 33.1 Introduction

Forest trees still exist in an undomesticated stage and they
carry a variety of wild and productive alleles. These About 31% of the land surface is occupied by forests. Forests
genetic variations determine many traits of economic and and trees outside forests (ToFs) play a vital role in rural
ecological significance. The development of efficient economy and safeguards poor from major disasters including
DNA marker systems for genetic improvement of tree climate change. Trees on small holder plantations contribute
species would benefit from knowledge of genetic to resilient livelihoods for farmers by assuring a variety of
variability. Tree breeding projects aim to maximize the ecosystem goods and services. They have high resilience to
genetic gain for a variety of beneficial qualities. Genetic adverse weather conditions and depend on forests for food,
variability is the fundamental resource for the develop- fodder, and wood products. The improvement in wood pro-
ment of disease and pest resistant varieties and to create duction of selected few tree crops in the last century has seen
climate-ready tree types. Sequencing initiatives in woody remarkable progress. However, there are many economically
perennials have increased dramatically as a result of important trees need to be considered for genetic improve-
remarkable developments in high-throughput sequencing ment and production of designer genotypes becomes inevita-
technology and decreasing sequencing costs. Numerous ble. Tree breeders are at the crossroads because of continually
genes that are activated as a result of stress responses, as emerging demands for trait-specific varieties growing silvi-
well as their related signaling and regulatory networks, are culture problems like climate, pests, and soil conditions.
identified and characterized using genomic technologies Negative consequences of biotic and abiotic stress such as
to comprehend the functional genetic architecture in trees. susceptibility to pests, drought and salinity can be
The development of superior planting stock with multiple ameliorated by planting genetically improved trees. While
traits would be accelerated by the convergence of conven- most of the progress accomplished so far has been achieved
tional quantitative genetics and genomics-based selection. with traditional methods of tree improvement, biotechnology
Further, integration of precision genome engineering has potential to obtain a greater probability of success in tree
approaches in conjunction with traditional genetic trans- genetic improvement. Forest biotechnology indeed had
formation methods are expected to hasten generation and impacts from the tissue culture multiplication of elite
delivery of improved planting stock in a short span individuals since 1990s. Biotechnologies are increasingly
of time. applied in forestry to enhance wood production, understand
individuals and ecosystem, produce secondary metabolites,
Keywords adaptation to climate change and long-term management of
genetic resources. To ensure that the 9.7 billion people on the
Genetic markers · DNA barcode · Linkage map · Quanti- planet can sustainably fulfil their wood requirements by
tative trait loci · Transgenic 2050, business-as-usual approach needs infusion of several
technologies at different stages of production. Evidence-
based perspective revealed that wood producers and
All authors contributed equally. consumers experience the benefit of biotechnology. Tradi-
Y. Ramasamy (✉) · S. Arunachalam · M. Dasgupta · tional breeding programs integrate biotechnological tools to
M. Nambiar-Veetil accelerate the generation of improved planting stock.
ICFRE-Institute of Forest Genetics and Tree Breeding, Coimbatore, Biotechnologies greatly contributed to the adoption of
India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 717
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_33
718 Y. Ramasamy et al.

short-rotation woods for the production of paper pulp and normal gene. Majority of these markers exhibit selective
biofuel. Methodologies are already available to identify spe- neutrality as they reside within noncoding regions of DNA
cific sources of genetic variations which influence a particular with no specific role on fitness of individuals. Techniques
trait and to predict mature traits at the seedling stage. Many of applying the polymerase chain reaction (PCR) brought in
the traits having economic and ecological significance are variety of novel DNA markers. Methods such as RAPD
genetically determined. Following the genome sequencing of (random amplified polymorphic DNA), AFLP (amplified
human and rice, the whole genome of poplar was sequenced fragment length polymorphism), ISSR (inter simple sequence
(Tuskan et al. 2006) which revealed complexity associated repeat), and microsatellites or SSRs (simple sequence
with quantitative traits in trees. Biotechnological issues of repeats) were used extensively in genetic variability estima-
trees are always unique thus requiring extensive understand- tion (Porth and El-Kassaby 2014). In the recent past, marker
ing of the tree genome. Next-generation sequencing technol- techniques based on sequencing, such as single-nucleotide
ogy unearths several prospects to discern the distinctiveness polymorphisms (SNPs), have become increasingly common.
of trees. Rapidly evolving fields such as genomics provides The field of landscape genomics open up possibilities for
unprecedented opportunities to understand the basics of neu- studying the adaptive variations using common garden
tral an adaptive plant traits, accelerate the process of domes- experiments (provenance trials), gene expression studies,
tication as well as safeguarding the tree germplasm for future candidate genes (CG), and whole genomic scans which link
use. This chapter highlights the major biotechnologies in the genomic information with adaptive traits (Holderegger
areas such as genetic diversity, genomics, whole genome et al. 2008).
and transcriptome sequencing and genetic modifications. Understanding the genetic diversity (entire genetic varia-
Novel studies published in the recent past are summarized tion within a species) of both common and endangered tree
and research gaps requiring special attention for tree genetic species would aid in developing effective strategies for their
improvement and conservation are discussed. genetic improvement and conservation, ensuring their future
utility. Compared to agricultural crops, forest trees are still in
undomesticated stage harboring the array of wild alleles with
33.2 Genetic Diversity them. Genetic diversity is the fundamental asset for tree
breeding aimed to increase genetic gains across a variety of
Plant populations which undergo sexual reproduction encom- useful traits and to develop climate ready tree varieties. The
pass certain amount of inheritable genetic variation generated genetic composition of natural populations of tree species
through mutations, substitutions, copy number variations, indicates the optimal structure to employ in tree breeding,
insertion/deletions (InDels) and translocations. These either to reduce susceptibility to pests and diseases or to adapt
variations can be tracked and quantified with the help of to challenging environments. Researchers considered the
genetic markers. Genetic markers or DNA markers in broad study of genetic variations and structure of population as
sense represent specific loci revealing variations, which can essential requirement for breeding and conservation and
be used to detect polymorphism between different genotypes experiments have been carried out in many forest trees such
or alleles in a population. Further, markers are heritable, can as Populus (Chen et al. 2020), Eucalyptus (Grattapaglia et al.
be easily traced and measured in a breeding population, and 2012), Pinus (Eckert et al. 2010) Salix (Berlin et al. 2014),
may be linked to a specific gene or trait of interest (Hayward and Acacia (Omondi et al. 2010). Advances made in applica-
et al. 2015). DNA markers have several advantages over tion of markers to tree improvement, conservation, and sus-
morphological and protein markers because they are stable, tainable utilization of forest trees have been reviewed
ubiquitous in genome, locus specific, reproducible, generally thoroughly (Holliday et al. 2017; Changtragoon et al.
obey Mendelian segregation rules. In addition, markers 2017). A web-based repository, TreeGenes database houses
exhibit pleiotropic and epistatic effects and are independent archive for genomic and phenomic information for 2050 tree
of the growing environment. These markers are applied for species (https://treegenesdb.org/species_directory/main.
germplasm characterization, hybrid purity, varietal identifi- accessed on 03 August 2020).
cation, phylogenetic relationships, and genetic diversity Tree genetic improvement in a species often reduces the
existing in various populations, seed orchards. Detection of genetic variability (a measure of the genetic differences that
allelic variations through genetic linkage analysis, marker- exist within a population); hence, it becomes paramount
assisted selection and incorporation of genes for resistance of importance to estimate the reduction at different stages of
biotic and abiotic stress responses are carried out precisely breeding process. Breeding populations of Eucalyptus dunnii
using DNA markers. The characteristics of ideal DNA were subjected to genetic assessment with AFLP and SSR
markers include reproducibility, multiallelism, cost- markers to design clonal seed orchard based on the genetic
effectiveness, fast and easy to practice and reveal polymor- relatedness of the individuals (Poltri et al. 2003). Molecular
phism to differentiate chromosome having mutant gene and diversity information confirmed the absence of significant
33 Genetic Markers, Genomics and Genetic Modification in Forest Trees: Current Status. . . 719

difference in genetic diversity among seed orchard cost-effective manner. These sequences yield both genome
individuals and breeding population and limited individuals wide and gene-specific SSRs. Some of the trees such as
would suffice seed orchard to maintain expected variations in Azadirachta indica yielding several bioactive compounds
progenies. The genetic analysis of Prunus sibirica used for human welfare attracted less attention in population
populations using SSR markers revealed no specific variation genetic studies would benefit from NGS approaches. Over
between the wild and semi-wild germplasm (Wang et al. the last few years, highly informative and stringent markers
2014). This suggests that recent cultivation practices have like SNPs and SSRs find wider adoption in forestry
had minimal impact on the genetic diversity of the species (Gramazio et al. 2018; Liu et al. 2019; Martin et al. 2010).
and would serve as suitable base for genetic resources for
breeding. Whereas SSR analysis in P. thunbergii, a major
Japanese pine species, available only as plantation resource 33.3 Genotype Identification
showed reduced genetic diversity and population distinc-
tiveness due to genetic drift possibly influenced by seed use DNA markers are used for the development of individual
and seed transfer patterns (Iwaizumi et al. 2018). In the case specific fingerprints in forest trees. It involves the display of
of Jatropha curcas, very low levels of genetic diversity were a unique genetic profile from a specific sample. In tree
recorded with SSR markers in many different populations improvement programs, individual selections and hybrids
(Sanou et al. 2015). The SSR allelic information contributed are deployed through rooted cuttings and micropropagation
for understanding the population history and laid basis for to produce quality planting stock for commercial clonal
designing genetic resource conservation units to protect local plantations. Genotype identity of these operational clones is
genetic stock and breeding populations. of paramount importance for genetic purity testing of con-
Tree breeders choose prospective parents to create trolled crosses, seed orchard establishment, large-scale com-
populations with desirable characteristics and significant mercial vegetative propagation, and protection of proprietary
variability for devising breeding strategies with the assistance rights of clones. Clonal identity has a great impact in
of markers. A provenance cum progeny trial of Eucalyptus attaining productivity in commercial plantations and
cladocalyx, a species with high levels of drought and saline expected gain from the seed production programs
tolerance, was analyzed with nuclear SSR markers to ascer- (De-Lucas et al. 2008). DNA fingerprinting for genotype
tain the presence of highly structured and genetically similar tagging using dominate and co-dominant markers is not
sources (Mora et al. 2017). In breeding programs, when the uncommon in forestry. Pure species and their hybrids of
recurrent directional selection is followed, variability and Picea mariana, P. glauca, and P. engelmannii, and their
trait-specific genetic gains are expected to decrease in each putative hybrids were distinguished with DNA markers for
cycle. Trait selection increases the frequency of favorable seed certification (Nkongolo et al. 2005). Pinus contorta var.
alleles associated with the traits under improvement while latifolia and P. banksiana and its hybrids were distinguished
reducing the frequency of unfavorable alleles with each by SNP markers (Cullingham et al. 2013). The species like
selection cycle. SSR markers being the best resources to Populus (De-Lucas et al. 2008), Prunus avium (Avramidou
determine mating pattern and genetic variability, Eucalyptus et al. 2010), Eucalyptus (Keil and Griffin 1994; Kirst et al.
grandis provenance trail consisting of natural populations 2005), Acacia (Le et al. 2017), and Robinia pseudoacacia
from Australia, and landraces in Brazil were subjected to (Dong et al. 2019) had been subjected to fingerprinting anal-
genetic analysis (Miranda et al. 2019). It was concluded ysis for various tree breeding objectives. Similarly hybrid
that landraces tend to preserve significant levels of variability purity and species-diagnostic DNA markers are beneficial
compared to the wild populations through high outcrossing to apply quality control standards by assessing contamination
rates, and hence non-native tree breeding programs should level in hybrid seeds and hybrid validation. In Acacia
have 30% more seed trees to sustain the required level of mangium and A. auriculiformis, multiplexed SSR markers
genetic variability. Breeding populations of Eucalyptus with greater discriminatory power were developed to distin-
urophylla undergoing third cycle of breeding in China were guish pure and hybrid individuals (Le et al. 2019).
analyzed with SSRs and found that the genetic variability in
all three cycles of breeding was equal because of the caution
exercised to select provenances/individuals with wide genetic 33.4 DNA Barcoding
base (Lu et al. 2018).
With the advancement in sequencing technology, a battery Species-level identification in a cost-effective way is
of new markers is generated through next-generation achieved through DNA barcodes generated with organelle
sequencing (NGS) approaches. Abundant SSR loci with genome. Sequences such as chloroplast (cpDNA) or mito-
high polymorphism have been identified as a spin-off of chondrial DNA (mtDNA) markers differentiate chlorotypes
transcriptome and whole genome sequencing projects in a and mitotypes, respectively, for the inference of demographic
720 Y. Ramasamy et al.

structure and phylogenetic and genetic diversity analyses. decay of linkage disequilibrium (LD), diverse genetic back-
Taxonomic studies of cryptic taxa or species complexes, ground of breeding material, and limited genomic informa-
identification of cryptic species, and taxonomic revisions tion (Grattapaglia and Kirst 2008). Nevertheless, over the last
were made with the assistance of organelle genome barcodes two decades, significant efforts have been made on linkage
(Simeone et al. 2013). Authentication of medicinal plant mapping and QTL localization for economically important
species for their identity is vital to control adulteration and traits. High-density genetic linkage maps not only offer valu-
protect consumers and conservation of specific plant species. able information for marker-assisted selection but also prove
DNA barcodes become easy to use tools for the authentica- useful in positional cloning of genes, anchoring scaffold
tion of medicinal plants (Kshirsagar et al. 2017). Tradition- sequences, genome assembly, and conducting comparative
ally used cpDNA genes in barcoding consist of genomics (Hudson et al. 2012). In the beginning, pseudo-
megakaryocyte-associated tyrosine kinase (matK), ribulose- testcross mapping strategies (Grattapaglia and Sederoff
bisphosphate carboxylase (rbcL), photosystem II protein 1994) with inter-specific crosses were utilized for linkage
D1-structural RNA-His tRNA (psbA-trnH), and internal tran- map generation. These maps involved dominant and
scribed spacer region (ITS) (Thakur et al. 2016). Currently, co-dominant markers (RAPD, AFLP, SSR) either individu-
the entire plastome and large single-copy (LSC) datasets are ally or in various combinations. The drawbacks with such
utilized to discover divergence variables like SNPs, indels, traditional markers include low-throughput, poor reproduc-
and repeats to resolve the species complexes close to 100% ibility, and laborious experiments. Therefore to obtain com-
accuracy (Li et al. 2020). Similarly, the haploid mtDNA with prehensively covered genetic linkage maps, NGS-based
maternal mode of inheritance shows hypervariable region in markers are increasingly utilized. Statistical advances have
D-loop or control region. The SNP polymorphisms in the allowed integration of several marker types and linkage
sequence of the mitochondrial genome of Pinus uliginosa phases to enhance the number of markers on the linkage
revealed the genetic structure of relict and endangered map. In the recent years, array-based SNP genotyping is
populations, past population history, and hybridization with employed in generation of ultra-high density linkage maps
closely related species, which led to the development of in species like Pyrus and about 16,000 SNPs were placed on
potential conservation strategies for the preservation of the map (Montanari et al. 2019). Likewise, in Populus
genetic resources (Łabiszak et al. 2019). Variations in mito- tremula, approximately 14,500 SNPs were utilized to con-
chondrial markers such as nad7, coxI, and syn31 established struct a linkage map and evaluate genomic characteristics,
colonization history, colonization routes, and locations of including gene density, repeat content, methylation levels,
refugia of Pinus sylvestris (Semerikov et al. 2018). and their impact on the recombination rate (Apuli et al.
2019).
Complex traits like wood volume, tree height, and diame-
33.5 Linkage Mapping and QTL Localization ter and pulp yield serve as target for tree breeding and are
used to explain the contribution of QTL to phenotypic varia-
Important silvicultural traits are typically inherited in a quan- tion (Sang et al. 2019). QTL mapping has unveiled genetic
titative manner, and mapping quantitative trait loci (QTL) regions that exert influence on wood properties, climate sen-
proves highly beneficial for identifying distinct alleles sitivity, as well as abiotic and biotic stress tolerance in major
governing these significant and intricate traits to accelerate forest tree species, such as Eucalyptus (Thumma et al. 2010;
the tree breeding process. One of the most promising Subashini et al. 2018; Bartholomé et al. 2020), Corymbia
applications of DNA markers in forest trees is genetic linkage (Butler et al. 2017), Populus (Bdeir et al. 2017), Pinus (Pot
mapping and quantitative trait loci (QTL) detection followed et al. 2006), and Cryptomeria (Mori et al. 2020). The inter-
by marker-assisted selection (MAS). The selection process action between genotype and environment (G × E), estimated
relies on genotypes in biparental mapping populations, by assessing trait values across various genotypes in different
employing DNA markers linked to the desired traits (Butcher environments, plays a crucial role in comprehending genetic
and Southerton 2007). It requires development of markers composition of the complex traits and genotype deployment
associated with genes governing the traits and applicable to decisions. Precise characterization of gene and environment
different types of breeding populations. Possibilities of intro- interaction and identification of stable QTL across the
gression of few or more genes into a single desired genotype environments could maximize breeding efficiency (Mori
exist thus having potential for the production of superior et al. 2019). Potential and challenges associated with genetic
varieties. However, forest trees pose several challenges in mapping, QTL analysis and MAS in crops and trees are
applying MAS because of their long generation, traits with discussed elsewhere (Boopathi 2020).
very low heritability, unreliable phenotypic evaluation, rapid
33 Genetic Markers, Genomics and Genetic Modification in Forest Trees: Current Status. . . 721

33.6 Association Mapping 33.7 Genomic Selection

Linkage disequilibrium (LD)-guided association mapping The emergence of SNP-chip genotyping technology has
strategy was introduced to circumvent disadvantages brought cost-effective genotyping, introducing the concept
associated with linkage map-based QTL detection and to of genomic selection (GS) or genome-wide selection. This is
determine the genetic composition of quantitatively inherited regarded as an advanced iteration of marker-assisted selec-
traits. This strategy was promoted in forest trees because of tion. Initially proposed by Meuwissen et al. in 2001, genomic
its applicability in provenance collections, or individuals with selection involves predicting the genetic value of animals
contrasting geographical origin instead of synthetic mapping based on their genotype at thousands of single-nucleotide
populations. The decreased genotyping cost and improved polymorphisms (SNPs) spanning the entire genome
statistical methods favored the adoption of candidate gene (Meuwissen et al. 2001). GS does not require pedigree
(CG) and genome-wide association studies (GWAS) in QTL records and genetic estimates of breeding values GEBV are
localization. Association mapping relies on the extent of estimated using phenotypes and genomic relationships,
linkage disequilibrium (LD), which is the nonrandom associ- which are based on dense marker data generated at genome
ation of alleles at two or more loci in the genome scale. The nonadditive genetic effects also have an impact in
(Abdurakhmonov and Abdukarimov 2008) and hence the total genetic variation of phenotypes, and genomic estimated
information on LD distribution is important. Plantation forest genotypic values (GEGV) can be obtained in genomic selec-
trees such as Populus (Slavov et al. 2012) and Eucalyptus tion. Trees selected based on GEGV can be propagated
(Arumugasundaram et al. 2011) showed faster decay of LD at vegetatively to capture both additive and nonadditive genetic
whole genome as well as individual gene level encouraging variations (Grattapaglia 2017).
association mapping strategy. In GS, the effects of all the SNPs are estimated simulta-
Genetic associations with stable QTL were reported for neously without any significance testing. This approach
various quantitative traits like wood characteristics, cold enhances time efficiency in the analysis. Further, only the
hardiness, wood metabolites, growth parameters, and bud training population is phenotyped at high precision and accu-
set for many tree species. In Eucalyptus nitens, association racy but future selections are not necessarily recorded for the
mapping proved effective in identifying SNP markers within trait under analysis. Deploying genetic material selected
xylem-related genes that are associated with wood properties through genomic selection approach can be clones, thus
such as cellulose and lignin content, pulp yield, and microfi- implementing the breeding results is achieved early. In
bril angle (MFA) (Thumma et al. 2005). Genomic regions conifers, it has been estimated that a training population
linked to natural variation in bark texture in Populus comprising approximately 2000 clones is the minimum size
trichocarpa were found to be associated with SNPs located required for the effective implementation of genomic selec-
within candidate genes (Bdeir et al. 2019). Combined studies tion (Li and Dungey 2018). A substantial number of GS
on linkage mapping and association mapping analysis were studies have been reported in white spruce (Beaulieu et al.
proposed as effective models in natural populations of forest 2014), Populus (Evans et al. 2014), Pinus (Isik et al. 2016),
trees which were proved to be effective in Populus (Du et al. Douglas fir (Thistlethwaite et al. 2019), Norway spruce (Lenz
2016), Pinus pinaster (Bartholomé et al. 2016), and Salix et al. 2020), and Eucalyptus (Ballesta et al. 2019) for diverse
purpurea (Carlson et al. 2019). In Eucalyptus, an alternative traits including growth and disease resistance. Its practical
strategy to detect advantageous alleles applying GWAS application to forest trees in the form of prediction across
along with regional heritability mapping (RHM) was pro- multiple environments is getting addressed and validation
posed by integrating different breeding populations to vali- with unrelated population is in progress (Suontama et al.
date the SNPs associated with target traits (Müller et al. 2019; Westbrook et al. 2019). The potential of GS in reduc-
2019a). Although potentially interesting DNA markers were ing breeding cycles by accurately assessing traits at a young
identified and linked to specific traits, practicing MAS is still age makes it a valuable tool for enhancing productivity in tree
continue to face challenges due to undetected causative muta- breeding.
tion(s) and markers confer a small fraction of the genetic
variability of target traits in the investigated populations
thus requiring repeated validation experiments. Due to these 33.8 Population Genomics
reasons, the tree breeding industry has not fully capitalized
on most markers, as the integration of each potentially bene- In the era of climate change, exploration of genes and
ficial allelic variation becomes impractical in the process. polymorphisms determining adaptation would support the
sustainable management of genetic resources and
722 Y. Ramasamy et al.

development of genetically improved germplasm that sustain microsatellite loci for Ailanthus altissima, a species with
in climate change conditions. Population genomics integrates very limited number of molecular markers, were developed
genome resequencing and transcriptomic approaches, bioin- and also factors involved in shaping up of population struc-
formatics tools, and statistical methods to conserve adaptive ture, genetic diversity, and genetic differentiation among
potential and functional diversity of the individuals. High populations were assessed (Neophytou et al. 2019).
efficiency and inexpensive SNP marker generation Genetic diversity, population differentiation, and
methodologies such as restriction site-associated DNA signatures of selection were studied in Populus deltoides
sequencing (RADseq), double-digestion RAD sequencing and uncovered many genes as adaptation candidates
(ddRAD) (Andrews et al. 2016), genotyping by sequencing (Fahrenkrog et al. 2017). Environmental association analysis
(GBS), and associated procedures that can readily be applied is carried out to recognize genes linked to bioclimatic
to nonmodel species are promising approaches to forest trees variables that explain the proportion of the environmental
(Neophytou et al. 2019; Parchman et al. 2018). In these variance among the populations. In Taxus baccata,
techniques, a random fraction of the genome is sequenced, signatures of polygenic adaptation in biological pathways
eliminating the need for a reference genome or prior knowl- was identified using transcriptomes and the findings were
edge of polymorphisms. Additionally, several thousand used to develop strategies for conservation and reforestation
markers can be genotyped in a single step for many samples programs (Mayol et al. 2019). In recent times, cost-efficient
by multiplexing (Andrews et al. 2016). RADseq was SNP genotyping method using custom amplicon sequencing
advocated for genomic scans of local adaptation when prior approach, genotyping-in-thousands by sequencing (GT-seq)
knowledge on candidate genes exists for the target species is highly recommended for molecular ecology and conserva-
(Lowry et al. 2017). For example, Castanea sativa wild tion of genetic resources (Meek and Larson 2019). As popu-
populations were examined for the adaptive ability to drought lation genomics continues to advance in forestry, researchers
using EST-SSR markers and demonstrated that the presence must develop a comprehensive roadmap to guide the
of specific private alleles for tolerance and susceptibility programs. This includes carefully planning sampling
(Alcaide et al. 2019). Similarly, in Norway spruce, strategies, data production, aggregating global nucleotide
384 selected SNPs from 285 genes were applied to under- variations, analyses, and interpretation of data to minimize
stand adaptive responses to changing climate, wherein envi- potential pitfalls.
ronmental association analysis detected potentially adaptive
SNPs associated with climatic variables and indicated poten-
tial of the species to genetically adapt to varying climatic 33.9 Whole Genome Sequencing in Tree
factors (Di Pierro et al. 2016). In non-model tree species, Species
inferring SNPs from sequenced data can be challenging,
especially when the genome is highly repetitive. This com- In the last decade due to drastic reduction in sequencing cost,
plexity may result in difficulties distinguishing true SNPs more than 4500 eukaryotic genomes have been assembled.
from false positives, often caused by issues like allele drop- Next-generation sequencing platforms have made it cost-
out. Such problems arise during in silico analysis are getting effective and accessible. However, in trees <35 species
addressed by inclusion of technical replicates and tweaking have been assembled as reference genomes and are predomi-
design of genotyping experiments, sequencing depth and nantly members of Pinaceae, Salicaceae, Myrtaceae, and
bioinformatic parameters. Fagaceae (Plomion et al. 2016). The first chromosome-level
Combining the high-throughput efficiency of GBS assembly was reported in Populus trichocarpa (Nisquallly-1)
approach and stringency of SSR markers, recently (Tuskan et al. 2006) and presently, v 3.2 includes 423 Mb
SSR-GBS (simple sequence repeats-genotyping genome in 1446 scaffolds with 2585 gaps and 73,013
by-sequencing) was reported for population genetic studies transcripts. The Populus pan genome project has revealed
(Curto et al. 2019). This method allows co-amplification of presence of 71 million genomic variations. The genomes are
several microsatellites in multiplex PCR reactions, and significantly enriched for disease resistance (R) genes and
sequenced in a single flow cell lane by pooling all PCR provide insight into genomic control of self-fertilization and
products. SSR-GBS analysis can overcome the size homo- possible ancient intra-specific hybridization (Zhang et al.
plasy because by amplicon sequencing the difference in 2019). Comparative genomics studies in poplar lineages
unique primer binding sites can be visualized despite same including P. euphratica and P. trichocarpa revealed exten-
number of repetitions, which is the major constraint in sive co-linearity of the genomes and two events of whole
electrophoresis-based SSR fragment length detection. genome duplications (Ma et al. 2013).
Amplicon sequences not only provided repeat length Eucalyptus is a commercially planted genera providing
variations but also information on SNPs and insertions- raw material for paper pulp industries and bioenergy sector.
deletions was obtained. Using this approach, new The first 691 Mb reference genome was generated for
33 Genetic Markers, Genomics and Genetic Modification in Forest Trees: Current Status. . . 723

Eucalyptus grandis (BRASUZ1) with 34% protein-coding governing tolerance to fungal blister rust caused by
genes and more than 12,500 tandemly duplicated genes. Cronartium ribicola. The third genus under Pinaceae to be
The study also reported diversity in secondary metabolite sequenced was Pseudotsuga menziesii (Coastal Douglas-fir).
pathway gene families (Myburg et al. 2014). Additionally, The genome harbored lesser number of repeat elements when
the draft genomes of E. camaldulensis (Hirakawa et al. 2011) compared to pine and spruce. This reference genome
and E. globulus (Rigault et al. 2012) were released. A provided insight into the significant morphological,
594.87 Mb genome of E. pauciflora with 61.56% of genome anatomical, and physiological differences existing between
similarity with E. grandis was reported by Wang angiosperms and gymnosperms (Neale et al. 2017). Recently,
et al. (2020). 18.16 Gb genome was assembled and 50,757 genes were
The draft genomes in Salix spp. were generated for Salix functionally annotated in Abies alba (Mosca et al. 2019).
purpurea (Wu 2015) and S. suchowensis (Wei et al. 2020). The draft genome of another conifer, Larix sibirica, was
Salix genomes have revealed evidence of extensive fraction- also reported by Kuzmin et al. (2019).
ation, chromosomal fission, and fusion events resulting in The two key tropical species which were sequenced in the
divergence of lineages. Another hardwood species which has recent years are teak and sandalwood. A draft 317 Mb
been a focus of intensive research is pedunculate oak genome of teak (Tectona grandis) was assembled into 2993
(Quercus robur) where the genome sequencing has been scaffolds and annotated for 36,172 protein-coding genes.
reported by several groups. The distinctive feature of oak Genes encoding biosynthesis of terpenoids and polyketides
genome is the expansion of gene families related to biotic was identified from the genome. Additionally, 182,712
factors and accumulation and transmission of somatic point microsatellite motifs were mined and 16,252 polymorphic
mutations (Plomion et al. 2018). The contribution of somatic SSRs were predicted across five genotypes through low cov-
mutations in evolution of woody perennials was elucidated erage genome sequencing (Yasodha et al. 2018). Subse-
from this study. quently, chromosomal-scale genome assembly of teak was
Chinese chestnut (Castanea mollissima) is an important reported by Zhao et al. (2019) and 17 near-complete
species which has been sequenced and assembled (Xing et al. pseudomolecules were assembled and 41,155 high confi-
2019). The genome information was used for breeding resis- dence gene models encoding 39,930 loci were predicted.
tance against fungal blight disease in C. dentata (Westbrook The study also highlighted tandem duplication of terpene
et al. 2019). Draft genomes of Fraxinus excelsior (European synthase (TPS) genes resulting in expansion of this gene
Ash) (Sollars et al. 2017), F. americana (American Ash) family in the species.
(http://www.ashgenome.org/Fraxinus_americana) and birch The draft genome of Indian sandalwood (Santalum album)
(Betula nana, B. pubescens, and B. pendula) (Wang et al. was first published by Mahesh and coworkers in 2018
2013) were also reported. In 2019, the genome assembly of (Mahesh et al. 2018). An integrated multiomics approach
Casuarina equisetifolia ssp. incana was published. The was employed to decode the 221 Mb genome encoding
300 Mb de novo assembled genome had one-third represen- 38,119 protein-coding genes. The second draft genome was
tation of repetitive elements and 29,827 annotated genes. The released in 2019 (Dasgupta et al. 2019) and the predicted
DNA modification sites across the genome using methylation variants between the two genomes were 1,191,838 (0.42%)
landmarks like N6-methyladenine (6 mA) and N 4- SNPs and 98,312 (0.034%) InDels, indicating high level of
methylcytosine (4mC) were also inferred. The study heterozygosity in sandalwood genome (Dasgupta et al.
documented lignin, cellulose, and hemicellulose-related 2019). Additionally, a 147.25 kb chloroplast genome was
genes (Ye et al. 2019). assembled and phylogenomic analysis grouped the order
Sequencing and assembly of conifer genomes have been a Santalales with Asterids with no taxonomic ambiguity.
major challenge due to genomic “obesity.” Picea abies with
~20 Gb genome size was the first conifer genome to be
released (Nystedt et al. 2013). The enormous genome size 33.10 Transcriptome Resources in Tree Species
was caused by the accumulation of long-terminal repeat
transposable elements, introns, long noncoding RNA (lnc Perennial trees in contrast to herbaceous annuals are
RNA), and small RNA (sRNA) due to inefficient mechanism characterized by delayed expression of several traits like
of elimination of these genomic features. The draft genome of flowering and secondary growth, and in temperate regions,
haploid seed megagametophyte of loblolly pine, Pinus taeda they show an annual behavior of growth and dormancy.
was reported by Neale and coworkers in 2014 (Neale et al. Trees being perennial are unique in their response to envi-
2014). The genome was 23.2 Gbp size with 50,172 annotated ronmental challenges including abiotic, biotic, and climate
gene models. P. lambertiana (Sugar pine) is the largest adaptation. Hence, gene discovery, expression analysis, and
conifer genome (31 Gbp) assembled and its functional char- transcriptome resources are mainly generated for these traits
acterization enabled identification of a resistant gene Cr1 in different tree species (Table 33.1).
724 Y. Ramasamy et al.

Table 33.1 Transcriptomic resources in forest trees

Sl. No. of transcripts
No. Species Traits/developmental stages studied analyzed Reference
Wood formation
1 Eucalyptus globulus, Comparative analysis for wood quality traits 53,412 Salazar et al. (2011)
E. grandis and
E. urophylla
2 Populus trichocarpa and Xylem development and secondary cell wall biosynthesis 15,925 clusters of Hefer et al. (2015)
Eucalyptus grandis orthologs and
paralogs
3 Tectona grandis Nonlignified (leaf, root, seedling, flower) and lignified 80,749–139,535 Galeano et al. (2015)
(secondary xylem) from two age groups of trees contigs
4 Eucalyptus urophylla × Lignocellulose formation – Shinya et al. (2016)
E. grandis
5 Populus tremula Wood formation 28,294 Sundell et al. (2017)
6 Casuarina equisetifolia Lignin biosynthesis pathway 26,985 Vikashini et al. (2018)
Other developmental processes
7 Quercus petraea Endodormant and ecodormant buds 6471 Ueno et al. (2013)
8 Fagus sylvatica Quiescent and swelling buds stages 21,057 Lesur et al. (2015)
9 Eucalyptus grandis Floral development >35,000 Vining et al. (2015)
10 Tectona grandis Vegetative and generative bud tissues 87,365 Diningrat et al. (2015)
Biotic interactions
11 Pinus monticola Resistant and susceptible trees to white pine blister rust, 23,000 Liu et al. (2013)
Cronartium ribicola
12 Eucalyptus melliodora Resistant and susceptible trees to herbivory 13,104 Padovan et al. (2013)
13 Poplar hybrids Resistance and susceptibility to leaf spots and stem 550–1499 DEGs Liang et al. (2014)
canker pathogen Septoria musiva
14 E. grandis Defense response to stem canker caused by 27,714 and 29,829 Mangwanda et al.
Chrysoporthe austroafricana (2015)
15 E. urophylla × E. Response to leaf blight caused by Calonectria 8585 differentially Chen et al. (2015)
tereticornis pseudoreteaudii expressed genes
16 E. nitens Defense response to Phytophthora cinnamomi 1400 DEGs Meyer et al. (2016)
17 Fraxinus pennsylvanica Biotic (Emerald ash borer feeding) and abiotic (heat, 107,611 Lane et al. (2016)
drought, cold and ozone) treatments
18 Picea abies Response to needle rust fungus Chrysomyxa rhododendri 2444 DEGs Trujillo-Moya et al.
(2020)
Abiotic stress
19 Populus euphratica Response of callus to salt stress 86,777 Qiu et al. (2011)
20 Eucalyptus camaldulensis Response to water stress 32,474 Thumma et al. (2012)
21 Eucalyptus urophylla × Response to water stress 14,460 Villar et al. (2011)
E. grandis
E. alba
22 Bombax ceiba Response to water stress 95,586 unigenes Zhou et al. (2015)
23 Abies alba Response to drought stress 65,535 Behringer et al. (2015)
24 Santalum album Response to cold stress 80,426 Zhang et al. (2017)
25 Quercus lobata Response to drought stress 68,434 contigs Gugger et al. (2017)
26 Casuarina equisetifolia Response to cold stress 118,270 unigenes Li et al. (2017)
27 Pinus massoniana Response to drought stress 197,612 unigenes Du et al. (2018)
28 Populus alba × Response to salt stress 65,535 Yao et al. (2018)
P. glandulosa
29 Tectona grandis Response to drought stress 132,647 contigs Galeano et al. (2019)
Secondary metabolite pathways
30 Lindera glauca Terpenoid biosynthesis 98,141 unigenes Niu et al. (2015)
31 Santalum spicatum Sesquiterpene biosynthesis 12,537 and 593, 510 Moniodis et al. (2015),
Celedon et al. (2016)
DEG Differentially expressed genes
33 Genetic Markers, Genomics and Genetic Modification in Forest Trees: Current Status. . . 725

Secondary growth and wood formation are unique in tree blot, macroarray, microarray, quantitative real-time PCR, and
species and are a result of highly regulated process governed transcriptome sequencing have been employed to catalogue
by developmental stage and environmental factors. This pro- stress inducible genes in pines, poplars, Eucalyptus, and oaks
cess results in various forms of wood like early and late (Table 33.1).
wood, juvenile and mature wood, and reaction wood. Natural forests and plantations are continuously challenged
Hence, understanding the biogenesis of this complex devel- by outbreaks of insect pests and pathogens which affect the
opmental process has received significant focus in recent population dynamics, ecosystem, and tree health in planted
years. Expression profiling of genes using microarray, forests. Chestnut blight caused by the fungal pathogen
transcriptome analysis, and ChIP-Seq assays was employed Cryphonectria parasitica and outbreak of gall wasp,
to comprehend the role of genes regulating wood formation Leptocybe invasa in Eucalyptus plantations are examples
and correlate their expression patterns with wood which demonstrates the severe devastations caused by biotic
characteristics. The key genes regulating secondary cell factors. These outbreaks are expected to be more severe in the
wall biogenesis are reported from different species (reviewed changing climate. Understanding the molecular response to
by Zhong et al. 2019). The major transcription factors (TFs) biotic stresses and identifying candidate loci/genes imparting
associated with this process included MYB, LIM domain, resistance can support the breeding programs as demonstrated
NAC, HB, MADS-box, zinc finger, ARF, WRKY, in chestnut. Transcriptome-based documentation of transcripts
AUX-IAA, AS2/LOB AP2-EREBP, bHLH, ARID, and and gene networks conferring resistance to chestnut blight
bZIP. The multitier transcriptional regulation of wood devel- fungus caused by Cryphonectria parasitica facilitate resis-
opment has been extensively reviewed (Zhang et al. 2018). tance breeding in American chestnut (Barakat et al. 2012).
Active research is in progress to understand the difference Transcriptomic approaches including dual-RNA sequencing
between wood formation in gymnosperms and angiosperms. approach have been used to decipher the tree-pathogen inter-
The absence of S units in lignin confirmed by the lack of F5H action (reviewed by Kovalchuk et al. 2013). Recently,
homolog in pine genome (Neale et al. 2014) and the reduced eCALIBRATOR, a web-based tool for comparing the Euca-
number of vascular-related NAC domain transcription factors lyptus biotic stress interaction, was reported (du Toit et al.
in Norway spruce (Nystedt et al. 2013) highlight the different 2020).
mode of water transport and mechanical support in Transcriptome-wide expression variation in Eucalyptus
gymnosperms and angiosperms. genotypes which are resistant and susceptible to gall wasp
MicroRNAs (miRNAs) are 20–24 nucleotide heteroge- Leptocybe invasa, was reported by Oates et al. (2015) and an
neous molecules that mediate post transcriptional gene interaction model from chemical and transcriptome profiles
silencing (PTGS) and chromatin modification. miRNAs are were proposed. Similarly, in Castanea mollissima, dynamic
characterized by conservation and divergence resulting in changes in the transciptome profile was recorded during
tissue and lineage-specific populations. Several developmen- infestation by Dryocosmus kuriphilus and hormone signal-
tal processes in tree species are regulated by miRNAs includ- ling, transcription and Ca2+-mediated signal transduction
ing development, metabolism, adaptation, and evolution. pathways were differentially regulated (Zhu et al. 2019).
Regulation of tree processes by miRNAs is reported from The major pest in poplar species are the defoliators and the
Poplars, Eucalyptus, Acacias, and gymnosperms like spruce most devastating is the cottonwood leaf beetle affecting the
and pines (reviewed by Sun et al. 2012). biomass production. The expression of diverse group of
One of the emerging fields in genomics is the powerful wound and insect-responsive genes was established followed
concept of systems genetics which bridges the knowledge by identification of defense-related genes (Lawrence and
gap by integrating multilevel data from inter-trait Novak 2006) using the technique of differential display of
relationships and molecular networks to understand pheno- RNA. In a later study on hybrid poplar, transcriptome
typic variations. It attempts to study biological processes by analyses revealed spatial and temporal expression patterns
examining all components and their interactions in relation to following application of oral secretions of forest tent cater-
the context of a whole system. This approach facilitates pillar (Malacosoma disstria) and a significant upregulation of
characterization of complete biological pathways and galactinol synthases (Philippe et al. 2010). Recently, the
networks which are unique, essential, and redundant. response of different poplar species to feeding by Phratora
Genome-scale analysis of secondary development through vitellinae was reported by deep sequencing of leaf
gene regulatory networks is reported in Populus, Pinus transcriptome and the most enriched domain in the promoters
taeda, and Eucalyptus (reviewed by Myburg et al. 2019). of induced genes was the G-box. Major upregulated
The response of tree tissues to environmental stressors is transcripts were WRKY transcription factors, cytochrome
predominantly reported for drought followed by salinity, P450s, chitinases, and protease inhibitors (Müller et al.
elevated CO2 concentration, hypoxia, heat, cold, metal toxic- 2019b). Some of the major studies on biotic interactions of
ity, and nitrogen deprivation. Methods like cDNA-AFLP, dot different tree species are presented in Table 33.1.
726 Y. Ramasamy et al.

33.11 Cyber Infrastructure in Tree Genomics them. Since the development of the first transgenic hybrid
poplars for glyphosate resistance (Fillatti et al. 1987), several
High-throughput sequencing has facilitated understanding traits have been targeted for genetic modification in trees.
biological concepts through multiple levels of data integra- Field trials of various transgenic tree species have been
tion. The main bottleneck associated with generation of volu- promising; however, the regulatory hurdles have stalled the
minous data is the cost on storage of sequence datasets which field application of this powerful technology. Genetic engi-
has exceeded the cost of sequencing. This has necessitated neering techniques are being continually refined to address
curation of data sets to provide value-added context (Falk the regulatory issues. Modern techniques like RNAi and
et al. 2018). Hence, the need for dedicated cyber infrastruc- CRISPR/Cas9 now permit minimal modification of genomes,
ture to host databases as a repository of sequences and also thereby minimizing the concerns of the presence of
enable integrated analysis is essential in tree species. transgenes, and providing the required impetus for advancing
Some of the online portals which house tree datasets research in this area. Furthermore, these tools provide the
include: only option for validating gene function in the physiological
context of the plant, thereby providing the requisite insights
• TreeGenes (previously known as Dendrome) is a clade for development of applied tools like genetic markers for
organism database of forest trees, representing 16 orders desired traits. Forestry species are also a resource of genes
and over 1790 species (Falk et al. 2018). It contains that code for desired traits like salt/metal/and pest tolerance.
27 reference genomes, 100 genetic maps, transcriptomes Genes that confer fitness in plants that naturally survive in
of 303 species, 36.7 M genotypes, and 935,596 pheno- harsh conditions could be co-opted into other plants, as has
typic measures (Wegrzyn et al. 2019). been done for imparting salt and drought tolerance in trans-
• Hardwood Genomics Project (HWG): This open-source genic rice expressing a Cu-Zn SOD gene from a mangrove
database is a repository of genomic resources of angio- species, Avicennia marina (Prashanth et al. 2008).
sperm trees of ecological and agricultural significance
(https://www.hardwoodgenomics.org/). It allows func-
tional annotation of sequence data through integration of 33.12.1 Tools for Transgenesis in Trees
several computational workflows.
• Plant Genome Integrative Explorer (PlantGenIE): This Genetic transformation of forestry species has mainly relied
platform provides intuitive access to genomic data from on Agrobacterium-mediated gene transfer approaches.
model tree species and includes expression networks and Agrobacterium tumefaciens, a soil bacterium that causes
associated visualization tools. It allows community anno- crown gall formation in dicots, is, however, relatively less
tation and comparative expression analyses to provide efficient in woody species (De Cleene and De Ley 1977). The
biological insight to data resources (Sundell et al. 2017). Vir region in the large Ti (tumor-inducing) plasmid of the
• Phytozome: This is a comparative genomics portal for Agrobacterium encodes for proteins that enable the transfer
plant species and facilitates retrieving, analyzing, and of the T-DNA into the plant cell. The ability of Vir genes to
visualization of genomes sequenced by Department of act on T-DNA residing on another plasmid led to the devel-
Energy’s Joint Genome Institute (Goodstein et al. 2012). opment of the smaller binary Ti vectors. The genes of interest
The latest version (v13) hosts 375 assembled and func- are spliced onto the T-DNA region of the binary vector and
tionally annotated genomes. introduced into the Agrobacterium using techniques like
electroporation and triparental mating. The Agrobacterium
Additionally, there are several smaller databases which strains are, therefore, defined by their chromosomal back-
facilitate comparative genomic analyses including Quercus ground, the helper Ti plasmid carrying the vir genes, and the
portal, PineDB, ConiferGDB, EuroPineDB, PopulusDB, binary vector carrying the gene of interest. The
PoplarDB, EucalyptusDB, Eucanext, Eucspresso, Agrobacterium strain is then co-cultivated with plant cells
EUCATOUL, EUCAWOOD, EucaCold, EucGenIE, under appropriate conditions to transfer the genes of interest.
PopGenIE, Fagaceae genomics web, and AspWood. The use of Agrobacterium cells in early log phase,
preincubated injured leaf explants, vir gene inducing
compounds like acetosyringone, and sugars in the
33.12 Genetic Modification of Forest Trees cocultivation media, appropriate media pH, and temperature
conditions enhance transformation efficiency. In order to
The tools for moving genes across kingdoms and edit ensure that only the transformed cells grow into plantlets,
genome sequences provide new opportunities for the tree the transformation vector also includes selectable marker
breeders to tailor plants for traits not inherently available in genes that enable the transformed cells to have a fitness
advantage under specific selection pressure applied in the
33 Genetic Markers, Genomics and Genetic Modification in Forest Trees: Current Status. . . 727

media like the use of antibiotics or herbicides. Screenable event engineered to express Arabidopsis Cel1 (β-1,4
markers like GUS and GFPs permit identification of trans- endoglucanase) gene enabled faster growth by promoting
genic plants in the absence of a selective agent. Several cell wall relaxation during phases of expansion and elonga-
strategies have been developed to remove selectable markers tion of the plant cell (Shani et al. 2004, 2006).
after they have served their function (Hare and Chua 2002). Overexpressing the gibberellin biosynthesis gene,
Regeneration of plantlets from single transformed cells is GA20ox1, has been shown to significantly improve biomass
a requisite to achieve homogenetically transformed plants. in poplars (Jeon et al. 2016). While the CaMV 35S promoter-
Regeneration methods via organogenesis and somatic driven constitutive overexpression led to reduced root weight
embryogenesis are optimized before attempting genetic and smaller leaves,these undesirable effects were absent
transformation. The main challenge for genetic transforma- when directed by the developing xylem-specific promoter,
tion of trees is the lack of efficient methods for regeneration DX15.
from single transformed cells of the most desired genotypes Increasing concern about environmental pollution by
(Ellis et al. 2001). Most of the protocols, therefore, use paper and pulping industries necessitates improvement in
seedling-derived tissues or are restricted to a few genotypes, raw material and processes used for pulping. Desirable traits
mainly in poplars. As most of the regeneration protocols are for pulping industries include reduced lignin, wood density
callus based, possibilities of somaclonal variation pose a and ash content, and increased cellulose content. Antisense
serious threat (Ellis et al. 2001; Tripathi et al. 2006). It, strategy has been used to suppress the expression of lignin
therefore, becomes necessary to generate and screen many biosynthesis genes like caffeate O-methyltransferase
plant lines to identify lines having minimal genetic changes (COMT) (van Doorsselaere et al. 1995; Tsai et al. 1998)
arising under tissue culture conditions (Birch 1997; Hansen and cinnamyl alcohol dehydrogenase (CAD) (Baucher et al.
and Wright 1999). Regeneration methods involving minimal 1996) resulting in modified lignin composition and content.
use of hormones and avoiding unorganized callus phase can Hu et al. (1999) reported reduced lignin content and
reduce the problems of somaclonal variation (Ellis et al. increased cellulose accumulation by the downregulation of
2001). 4-coumarate: coA ligase. Long-term field trials in United
Alternative approaches not involving regeneration via tis- Kingdom and France have shown that poplars expressing
sue culture have been attempted in model plants to overcome cinnamyl alcohol dehydrogenase (CAD) and caffeate
the regeneration bottleneck (Bent 2000). In planta vacuum O-methyltransferase (COMT) antisense transgenes were
infiltration-based Agrobacterium transformation methods in healthy, had stable transgene expression, and had better
Arabidopsis have resulted in a high transformation rates pulping traits (Pilate et al. 2002). Although transgenic trees
exceeding 1% of the seeds tested (Bechtold et al. 1993). with reduced lignin have been generated, field utilization of
Arabidopsis plants at the early stages of flowering were these genotypes has not been successful because of the
dipped in Agrobacterium solution followed by application associated effects of reduced lignin resulting in stunted
of vacuum for causing air trapped within the plant to bubble growth and increased pest susceptibility (Voelker et al.
off and be replaced with the Agrobacterium solution. The 2011). Alternative approaches of structurally altering lignin
stably transformed progenies were selected using appropriate for easier deconstruction instead of reducing lignin content
selection. In cases where Agrobacterium-mediated transfor- have shown promise. Transgenic poplars overexpressing
mation is difficult, direct delivery of DNA has been F5H have been demonstrated to have high S/G ratios (Franke
attempted. Direct gene transfer approaches have mainly et al. 2000; Huntley et al. 2003; Stewart et al. 2009) with
relied on DNA delivery via the biolistic approach. Hamada normal growth, improved pulping efficiency, reduced chemi-
et al. (2017, 2018) targeted mature plant tissues in wheat by cal requirements for pulping and bleaching (Huntley et al.
bombarding shoot apical meristems. Developing in planta 2003; Stewart et al. 2009). These transgenic poplars were
approaches in trees can obviate the requirement of regenera- also reported to have improved fungal decay tolerance
tion from dedifferentiated cells making it possible to engineer (Skyba et al. 2013). Poplars engineered to express the
commercially cultivated varieties (Nagle et al. 2018). feruloyl coenzyme-A (CoA) monolignol transferase
(AsFMT) gene from Angelica sinensis could incorporate
monolignol ferulate conjugates that resulted in an altered
33.12.2 Desirable Traits for Modification lignin structure with readily cleavable ester bonds (Wilkerson
in Trees et al. 2014). Transgenic events showed 1–2% higher pulp
yield using 5% less chemicals, and were agronomically indis-
In perennials, engineering for fast growth is one of the most tinguishable from wild type. In another approach, pectin
important goals of tree breeding. In 2015, Brazil released the biosynthesis gene, Galacturonosyltransferase 4 (GAUT4)
first genetically modified hybrid event of Eucalyptus grandis was targeted for RNAi mediated downregulation resulting
and E. urophylla, H421, for commercial plantations. The
728 Y. Ramasamy et al.

in an increase of 44% aerial biomass and 7% sugar release heterologous expression of AtCBF2 has also been reported
(Biswal et al. 2018). (Hinchee et al. 2011).
Clonal plantations of fast growing trees are often grown in Trees with their long root system and perennial nature
large areas, using limited number of genotypes, thereby pos- could be used in phytoremediation of soils. Yellow poplar
ing pest and disease issues. Difficulties in pesticide applica- (Liriodendron tulipifera) transgenic for mercuric ion reduc-
tion in tall trees and inaccessibility of the chemicals to the tase gene (mer A) was able to volatilize mercury into the
pests at its most susceptible stage make breeding for biotic atmosphere (Rugh et al. 1998). Poplars transgenic for tadpole
stress tolerance a major research goal. Strategies to incorpo- ferritin were found to accumulate cadmium and grow well
rate insect resistance have mainly been through the use of under higher concentrations of cadmium (Choi et al. 1999). A
insecticidal Bacillus thuringiensis δ-endotoxin genes. number of valuable medicinal compounds are produced in
Poplars transgenic for cryIA(a) and cryIIIA have shown resis- roots of trees. In vitro roots generated using Agrobacterium
tance to the pests Lymantria dispar and Chrysomela tremula rhizogenes could be used in the production of secondary
(McCown et al. 1991; Cornu et al. 1996). Transgenic Pinus metabolites thereby providing a nondestructive system for
taeda L. expressing a synthetic version of the CRY1Ac gene producing these metabolites that are specifically produced
of B. thuringiensis showed enhanced resistance to in root systems. Many of the secondary metabolites have
Dendrolimus punctatus Walker and Crypyothelea undesirable properties. As secondary metabolites are species
formosicola Staud (Tang and Tian 2003). In China, two specific, engineering them would require the knowledge of
lines of B. thuringiensis (Bt) toxin-producing poplar were enzymes and genes involved in their biosynthesis at the
authorized for commercial planting (James 2015). Genes species level.
encoding inhibitors targeting insect digestive enzymes have
been used to impart insect tolerance. Populus nigra trans-
genic for soybean Kunitz proteinase inhibitor gene (KTi3) 33.12.3 Recent Advances in Gene Silencing
showed inhibition of trypsin-like digestive proteinases of and Genome Engineering
Lymantria dispar and Clostera anastomosis (Confalonieri
et al. 1998). Tolerance to the blight fungus, Castanea dentata While early transformation technologies enabled inter-
in transgenic chestnut trees was conferred by engineering kingdom transfer of genes, new tools have been developed
detoxification of oxalate made possible by overexpression for knock-down and knock-out of native genes enabling
of Oxalate oxidase (Oxo) (Zhang et al. 2013; Newhouse applications in generating plants with desired traits, and
et al. 2014). also for reverse genetics approaches to understand the func-
As agricultural crops are preferred in fertile lands, tree tion of genes. RNA interference (RNAi) is a powerful
plantations are grown in less productive lands that are often approach for downregulating the expression of a targeted
affected by various abiotic stresses. Poplars transgenic for gene. RNAi relies on the cyclic generation of double-
enzymes involved in abiotic stress tolerance like PrxA1 stranded RNA (dsRNA) and small interfering RNAs
(Kajita et al. 1994), superoxide dismutase (Arisi et al. 1998) (siRNA) that effect destruction of cognate mRNA molecules
and glutathione synthetase (Herschbach et al. 1998) have in the cytoplasm using cellular components. dsRNA has been
been reported. The Eucalyptus globulus plants transformed shown to induce and direct sequence-specific RNA degrada-
with a bacterial choline oxidase gene (codA) showed salt tion, and DNA methylation (Jones et al. 1998; Mette et al.
tolerance up to 300 mM NaCl (Matsunaga et al. 2012). 2000; Waterhouse and Helliwell 2003). Double-stranded
Similarly, Eucalyptus F1 hybrids (E. camaldulensis and RNA is expressed in plants using transgenes that encode
E. tereticornis) expressing yeast HAL2 gene encoding 3′ hairpin RNA. Few examples of RNAi transgenics include
(2′), 5′-bisphosphate nucleotidase (DPNPase) resulted in generating reduced lignin poplars (Coleman et al. 2008;
transgenic hybrids showing enhanced salt tolerance of up to Zhang et al. 2018), nonopium poppy (Allen et al. 2004),
300 mM NaCl (Thanananta et al. 2018). Enhancement of and decaffeinated coffee (Ogita et al. 2003).
codA transcription by the Arabidopsis thaliana HSP termina- Recent years have witnessed the development of gene
tor in Eucalyptus resulted in enhanced tolerance to salinity editing technologies like Zinc Finger Nucleases (ZFNs),
(Tran et al. 2018). Transgenic E. camaldulensis plants har- TALENS (TALE effector nucleases), and CRISPER/Cas9.
boring an RNA-binding-protein (McRBP) gene derived from The CRISPR/Cas system being directed by simple RNA
a Mesembryanthemum crystallinum showed more than 70% molecules has gained preference over the protein directed
survival at 400 mM NaCl treatment (Tran et al. 2019). Sev- ZFNs and TALENs. While RNAi approach relies on
eral other studies for engineering salt and drought stress dsRNA-induced downregulation of the genes at the transcrip-
tolerance have been recently reviewed by Polle et al. tion level, CRISPR/Cas9 system relies on Cas9 generated
(2019). Improved freezing tolerance in Eucalyptus by double-stranded breaks at gRNA directed genomic loci
(Jinek et al. 2012). Double-stranded breaks that are repaired
33 Genetic Markers, Genomics and Genetic Modification in Forest Trees: Current Status. . . 729

by the error-prone non-homologous end joining (NHEJ) shoots have been used in conjunction with RNAi for rapid
repair pathway result in the introduction of mutations and functional analysis of genes involved in root growth and
loss of function. Gene editing approaches are increasingly development in difficult to transform plants like casuarina
being applied in tree species (Bewg et al. 2018). Current gene (Gherbi et al. 2008; Svistoonoff et al. 2013). In eucalyptus,
editing technologies rely on transgenic expression of Cas9 the composite transgenic strategy was reported by
and gRNA. In order to increase public acceptance of gene Balasubramanian et al. (2011), and has been successfully
edited plants, recent approaches in agricultural crops have used in functional validation of the lignin biosynthesis gene
relied on transgene-free gene editing, in which transiently (Plasencia et al. 2016; Dai et al. 2020). The high transforma-
expressed preassembled Cas9 protein–gRNA ribonucleo tion efficiency (~ 60%) and a less protracted procedure of
proteins (RNPs) are delivered into the plant cell (Svitashev around 5 months required to generate hardened composite
et al. 2016; Liang et al. 2017). Therefore, efficient methods transgenic enable rapid analysis of the phenotypic effects of
need to be optimized for delivery of the RNPs through the the transgene expression in roots.
plant cell wall, and regeneration of plants from these tissues Gene silencing via dsRNA approaches is increasingly
(Metje-Sprink et al. 2019). Most of the initial technologies being used for functional analysis of genes in insect pests of
for DNA free editing relied on delivery of CRISPR–Cas9 agricultural crops (Sivakumar et al. 2007). Silencing genes
RNPs into protoplasts as in the case of apple and grape vine directing the growth and development of some insect pests
(Osakabe et al. 2018). However, regeneration of the have shown some promise as a strategy for their management
transformed protoplasts is challenging in woody species as (Gordon and Waterhouse 2007; Price and Gatehouse 2008).
has been observed in apple or grape vine (Malnoy et al. Insect larvae fed on transgenic tissues expressing dsRNA
2016). In wheat, delivery of CRISPR–Cas9 RNPs into imma- showed larval stunting and mortality (Baum et al. 2007;
ture embryos was achieved via biolistics for DNA-free Mao et al. 2007). However, RNAi responses in lepidopterans
genome editing (Liang et al. 2018). Transgene free editing have been found to vary, with many insects exhibiting recal-
approaches would enable making genome edited crops simi- citrance (Terenius et al. 2011).
lar to the conventionally bred varieties, thereby alleviating
biosafety concerns.
33.12.5 Adapting Transgenic Technology
in Light of Biosafety Concerns
33.12.4 Functional Genetic Approaches
for Understanding Gene Function Long-generation time, together with monoculture of tree
species transgenic for single resistance genes, may cause
Understanding the role of genes in contributing to a particular strong selection pressure for the development of resistance
trait is crucial for the development of molecular marker and in the pest population. Ensuring stable tolerance during dif-
genetic modification approaches for a particular trait. The low ferent developmental stages may require altering more than
transformation efficiency and the time required for generating one genetic mechanism in addition to developing gene deliv-
transgenic trees do not permit rapid functional evaluation of ery systems that ensure targeted single copy integration of
genes. To overcome these limitations, induced somatic sector multiple genes. Gene pyramiding and planting of
analysis (ISSA) approach has been developed. ISSA involves nontransgenic trees (refugia) along with the transgenic
Agrobacterium tumefaciens mediated transformation of the plantations have been advocated as strategies for preventing
cambial tissues that have been exposed by incising through the development of resistance in pest populations (Brousseau
the bark tissue using a razor blade. Somatic sectors of et al. 1999).
transformed cells in the woody stem tissue provide a suitable Recent studies in GM eucalyptus have evaluated distances
model system for studies on cell fate and pattern formation of pollen dispersal and spontaneous seedling establishment
during secondary growth and xylogenesis (Spokevicius et al. (da Silva and Abrahão 2021). In trees which have limited data
2005; Van Beveren et al. 2006), and analysis of transgenes available, risk assessment of transgenic trees could be
and promoters in trees (Hussey et al. 2011; Creux et al. 2013; simulated based on data from existing nontransgenic
Baldacci-Cresp et al. 2015). populations, modelling of transgene dispersal, and monitor-
Another rapid approach involving generation of compos- ing field releases (James et al. 1998). To minimize ecological
ite transgenic plants has been developed using risks, various strategies for gene containment and excision of
Agrobacterium rhizogenes. By disrupting gene function, selectable marker genes have been attempted in genetically
RNAi and CRISPR/Cas9 tools now enable deciphering the modified crops (Daniell 2002; Hare and Chua 2002). Chloro-
precise role of the gene in the genetic and physiological plast transformation has been advocated as an alternative to
context of the plant. Composite transgenics in which GFP prevent transgene escape, as pollen lacks chloroplasts. How-
tagged transgenic roots are generated on nontransgenic ever, chloroplast transformation technology has not been
730 Y. Ramasamy et al.

standardized in many tree crops. Approaches for engineering on cataloging and managing tree genetic resources should
reproductive sterility include targeted cell ablation of floral include genome-wide marker studies. These studies are
tissues using barnase in Pinus radiata (Mouradov et al. 1998) essential to understand the dynamics of population differen-
and suppression of a Populus homolog of Arabidopsis floral tiation. Identification of adaptive genes (both for biotic and
meristem identity gene, PTLF (Rothmann et al. 2000). Stable abiotic stress tolerance) from tree species could serve as a
gene editing approaches possible through recent CRISPR/ future warehouse of functional genes for use in genetic trans-
Cas9 approaches (Fritsche et al. 2018) open up avenues in formation. The huge volume of data generated in these
the containment of transgenes. Control of flowering may also programs necessitates safe management for both current
have implications in increasing wood production. and future utilization. Its demands increased investment in
Transgenic technology has expanded the plant breeder’s database resources and the development of cyber infrastruc-
repertoire of tools for imparting desired traits and could be a ture. Given that traits in trees are shaped by a myriad of
potent tool to breed new varieties of tree species that could be environmental and genetic factors, having access to whole
used for climate mitigation strategies, improving pulping genome sequences, transcript, protein, and metabolite
efficiency and biofuels. As wood is the final product in case profiles would significantly enhance our perception of the
of pulpwood species, consumption-associated biosafety genetic networks at play. This, in turn, would be advanta-
concerns are limited. However, fears of unknown geous for the genetic manipulation of target traits. New
consequences of genetic modification have resulted in regu- insights can be gained to resolve uncertainties concerning
latory hurdles involving long-drawn biosafety assessments the molecular processes leading to wood development,
resulting in slow adoption of this technology. The potential of growth, and plant–environment interactions. Such advances
transgenic approaches has, therefore, been harnessed mainly in key molecular pathways will have broad impact on forest
for understanding the contribution of a particular gene trees to provide sufficient goods with desired properties and
towards a desired trait. Addressing societal concerns could to meet continuously growing demand for wood products.
see improved acceptance of this powerful technology. The
newer approaches of transgene-free gene editing would Lessons Learnt
enable generation of genetically modified crops that are • Use of DNA tools and other biotechnological
indistinguishable from the conventionally bred varieties. interventions are important components of most forest-
The modern tools of transgene-free gene editing when tree breeding programs. Application of molecular markers
integrated with the ongoing genetic improvement approaches and DNA barcodes was successfully demonstrated in
could potentially revolutionize breeding for desired traits. many tree species in varietal identification to timber track-
ing to control illegal timber harvesting. However, opera-
tional deployment of such technologies is limited.
33.13 Future Perspectives • Modern biotechnologies in tree breeding are frequently a
medium- to long-term strategy requiring consistent effort,
The unique biological traits of forest trees make them pivotal financial commitment, and coordination, despite the fact
structural components within forest ecosystems, endowing that commercially significant and widely cultivated trees
them with distinct roles and functions. Forest trees gained can have substantial ecological, social, and economic
significance of molecular research and take advantage of implications. It has been established in species including
rapid advances in NGS technologies, linkage and association eucalyptus, poplars, and some conifers that combining
mapping, candidate gene approaches, functional molecular genomic selection techniques with results of bi-parental
genetics, and genetic transformation. These are crucial tools mapping and genome-wide association studies may speed
for understanding the biological interactions occurring on a up reproduction, intensify selection, and improve breeding
genome scale and application in conservation and tree values.
improvement. There is a need for advanced research and • The rapidly developing genomic resources have made it
development in certain areas, particularly regarding reference much easier for us to comprehend the forest tree genomes
genomes in tree species. Currently, such genomes are limited for their structure and functions. Likewise, advancements
to a few economically important species. In the case of other in transgene-free genome editing technologies are
species, such as conifers, draft genomes have been published, expected to simplify onerous regulatory requirements
but comprehensive annotations remain incomplete. In tropi- and accelerate the generation of novel variations that
cal trees, there is a need for concerted efforts to sequence confer enhanced resistance to biotic and abiotic stresses
genomes, aiming to comprehend their adaptive ecological and favor geographic adaptations.
and economic significance. Support for programs focused
33 Genetic Markers, Genomics and Genetic Modification in Forest Trees: Current Status. . . 731

Key Questions Ballesta P, Maldonado C, Pérez-Rodríguez P, Mora F (2019) SNP and

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 Part VI
Forest Protection
 Fire Science for Indian Forests: From Theory
to Practice 34
Narendran Kodandapani

Abstract Keywords
India has four of the 34 global hotspots of biodiversity; the Wildfire · Fire effects · Fire climate · Human drivers · Fire
Western Ghats, being one of these four, is the hottest of management
the global biodiversity hotspots due to the high level of
endemism as well as human pressures. Disturbances such
as wildfires have been a part of these ecosystems for 34.1 Introduction
several millennia, initially used during slash and burn
agriculture and later for maintaining various ecosystem Global patterns of wildfire activity are characterized by
services. Fires are mainly caused by humans, during the contrasting features with some regions revealing a declining
collection of minor forest produce; set by pastoralists, and trend in burned areas. Recent changes in the global patterns
also due to incendiarism. Fires are a natural part of the of fire activity have been pronounced especially in savannas,
ecosystem and are important for recycling nutrients back where a pervasive decline in burned area has been observed
into the soil, checking the proliferation of invasive species during the last two decades (Andela et al. 2017; Kodandapani
and pests, and for maintaining the functioning of and Parks 2019; Zubkova et al. 2019; Jiang et al. 2020).
ecosystems. Climate change, land use and land cover Simultaneously, certain other regions of the world are
change, and fire management practices have substantially characterized by an acceleration of the various components
altered fire regimes in the Western Ghats. Climatic of the fire regime, including increasing trends in burned
extremes such as droughts and heat waves have areas, such as in western United States, Europe, and
exacerbated disastrous fires in different parts of the globe Australia (Bowmann et al. 2017; Parks and Abatzoglou
and similar effects have been witnessed in the Western 2020). Two fundamental components of this contrasting pat-
Ghats. Human-caused land use land cover changes and tern of global fire activity are climate and humans (Syphard
fire suppression have also resulted in changes in fire et al. 2007; Syphard et al. 2017; Archibald et al. 2010;
regimes in most parts of world and similarly in India. Abatzoglou et al. 2018; Jolly et al. 2015). Climate is often
However, despite the importance of wildfires in considered as the primary driver of fire activity through its
maintaining ecosystem characteristics, and the increasing effects on fire environment, fuel aridity, and indirectly
links between climate change and increasing wildfire through its effects on productivity and fuel loads (Abatzoglou
activity, little is known about wildfires in the Western and Kolden 2013; Abatzoglou et al. 2018; Vadrevu et al.
Ghats of India, and it continues to be an under studied 2019). In moist forests, drought conditions during the fire
topic. Here, we provide a synoptic overview of wildfires, season contribute to enhanced fire activity, whereas in arid
its origins, causes, its ecological characteristics, through ecosystems and savannas, antecedent climate conditions con-
the lens of the fire regime, in a focal study area, the tribute to fire activity through their impacts on fuel loads
Nilgiris landscape, in the Western Ghats. (Riley et al. 2013; Kelley et al. 2019).
Similar to climate, humans also alter fire activity through
either dampening or accentuating the fire signal (Lasslop and
N. Kodandapani (✉) Kloster 2017). They influence fire activity through changes in
Center for Advanced Spatial and Environmental Research, Bengaluru, the timing, spatial pattern and frequency of ignition sources;
India likewise, humans contribute to changes in fuel structure, fuel
Centre for Wildlife Studies, CWS, Bengaluru, India loads, and composition through land use and landcover

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 741
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_34
742 N. Kodandapani

changes (McLauchlan et al. 2020; Guiterman et al. 2019). diversity, continued declines in burned areas, as reported
Importantly, fire suppression and prescribed burning also (Kodandapani and Parks 2019) may have negative
significantly alter fire regimes through fire exclusion or inclu- implications for conservation of biodiversity in savanna
sion. Humans have also significantly increased the length of ecosystems. Fires occur frequently in many parts of India
the fire-weather season by almost 20% between 1970 and (Fig. 34.1), especially, along the chir-pine forests, in the
2013 (Jolly et al. 2015). However, synergies between climate north-east, and also in the deciduous forests, in central and
and human effects are common, and it is likely that, the southern India. In pine forests, the needles are extremely
magnitude of each control may vary depending on the flammable due to their chemical makeup and since the
interactions between the two at various spatial and temporal accumulated leaf litter of pines takes a long time to decom-
scales. pose. In southern India, the leaf litter and grass fuels
Simultaneously, wildfires are annual disturbance events in generated by many grasses such as Themeda cymbaria and
several ecosystems across the globe and are important for T. triandra contribute significantly to the combustible mate-
maintaining ecological diversity and various ecological pro- rial of these forests. Over 90% of all fires are anthropogenic
cesses such as nutrient recycling and equilibrium between in origin, caused due to various land management practices in
woody encroachment into grass layer in savannas (Bond and the region. Some fires also occur due to human negligence,
Keeley 2005; Abatzoglou and Williams 2016). Although fire like fires set on farmlands to clear agricultural residues which
is important for maintaining ecosystem function and escape into forests (Kodandapani et al. 2004).

Fig. 34.1 Raging wildfires in the

Nilgiris landscape
34 Fire Science for Indian Forests: From Theory to Practice 743

34.1.1 Fire in Context: Land Use and Burning causes of fire in African savannas and in boreal and temperate
in the Western Ghats ecosystems in the United States, Canada, and Russia. On
average, about 11,912 lightning-caused fires were detected
Humans have modified vegetation in the Western Ghats with in the United States between 2001 and 2008 resulting in an
fire for several millennia (Gadgil and Chandran 1988). Low average burned area of 1.8 M ha y-1 (see the National
population densities and longer fire-rotation intervals, during Interagency Fire website, http://www.nifc.gov/stats/). How-
earlier times, permitted the return of forests compared to the ever, in the Western Ghats majority of the fires are due to
present (Morrison 1994; Chandran 1997; Kodandapani et al. anthropogenic sources (Kodandapani et al. 2008).
2008). Fire was the first tool used by humans to significantly Changes in fuel moisture and surface dew are extremely
alter the ecological history of the Western Ghats (Chandran important for the combustion process. Fuel moisture <30% is
1997; Pascal 1986). Fire has been fundamental in shaping the a critical threshold for the commencement of the combustion
environments of the Ghats, as well as in the development of process (Pyne et al. 1996). Fine fuels in the Nilgiris landscape
ecosystem structure, species diversity, and distribution of easily fall below this threshold during the fire season and
biomass in various forest types. Frequent burning during hence are extremely vulnerable to fires. The fuel moisture
pre-colonial times and subsequent fire suppression have sig- content in savanna fuels can range from 5 to 200% of dry
nificantly altered various ecological attributes of forests in the weight (Stott 2000). On applying an external heat source,
Western Ghats (Chandran 1997). Currently, in mesic and drying of the fuel occurs and once this process removes the
xeric savannas of India, fire is an almost annual event; fire- fuel moisture, the temperature of the fuel goes beyond a
return intervals are typically 1–3 years, depending on a num- threshold called ignition temperature (about 300 °C). At the
ber of factors such as drought conditions, ignition sources, next stage, also called as the pyrolysis stage, the vegetation
and fire management by the forest departments (Kodandapani releases gaseous fuels rapidly which react with oxygen
et al. 2008). Figure 34.2 shows the distribution and frequency releasing abundance of heat and this stage is referred to as
of fires in the Western Ghats, obtained from MODIS thermal the flaming combustion process.
anomalies dataset (Kodandapani and Parks 2019). Despite
the frequent occurrence of fires, information on important
aspects of the fire regime is lacking. In this chapter, we 34.2.1 Components of the Fire Regime
present information on the forest fire regime from a savanna
ecosystem in India, the Nilgiris landscape (Kodandapani and The fire regime is unique to every ecosystem and defined by
Parks 2019). several parameters including the fire frequency, fire-return
interval, seasonality, intensity, size, severity, and type of fire
(Agee 2000; Flannigan et al. 2000; Bond and Keeley 2005;
34.2 The Fire Triangle and the Combustion Cochrane and Ryan 2009). The frequency, intensity, and
Process seasonality of fires depend on weather and climate apart
from factors such as vegetation structure, composition,
In order to understand fire occurrence, the fundamental fuels, and topography (Dale et al. 2001). We describe
aspect to begin with would be the fire process or the combus- below these components of the fire regime with reference to
tion process. At the very fundamental level, fire occurrence the Nilgiris landscape in the Western Ghats.
depends on three very important factors: a fuel source that
will provide the energy, a heat source, and oxygen. These Fire Frequency It is the occurrence of fire for a given area
three factors constitute what is popularly referred to as the and for a certain time period of interest (Bond and Keeley
“triangle of combustion” or “fire triangle” (Stott 2000). How- 2005). The frequency depends on several factors such as the
ever, to sustain the chemical reactions in the combustion fire behavior, climate, and sources of ignitions. The fire-
process it will require the right mix of all the three factors. return interval is the interval between fires which varies in
In order for combustion to occur, there is a need for an savanna ecosystems; in tropical savannas of Africa, it is
ignition source. In Indian ecosystems, there are both natural 1.33 years and in Asian savannas it is 2 years (Stott 2000).
and human-caused ignitions. Mean flash rate is low and about Although there are variations in the fire-return interval across
4 to 20 km-2y-1 in the Western Ghats (see website http:// the landscape, in general most savannas in the Western Ghats
ghrc.msfc.nasa.gov); flash strikes are also accompanied by have fire-return intervals ≤2 years (Kodandapani et al. 2009).
copious rain, which precludes fire occurrence. For sustained In general, most of the world’s savannas burn at intervals of
ignition, the fuel moisture, fuel temperature, relative humid- 1–3 years (Hoffmann et al. 2003).
ity, ambient temperatures, along with oxygenation should be
in suitable amounts (Pyne et al. 1996). Lightening-caused Fire-Rotation Interval In contrast to the fire-return interval,
fires occur in several parts of the world and are important the fire-rotation interval is the time required to burn an area
744 N. Kodandapani

Fig. 34.2 Western Ghats I

quarter (Jan–Mar) fire, figure
shows the mean number of fires in
(5′ latitude × 5′ longitude) pixels
from 2001 to 2015
34 Fire Science for Indian Forests: From Theory to Practice 745

equal to the total forest area with the caveat that some areas of the annual rainfall is received during these 4 months. The
would never burn, while some areas would burn more than start of the dry season triggers several phenological changes
once (Van Wagner 1978). For the Nilgiris landscape in the especially the leaf shedding by several tree species in the
Western Ghats, the mean fire-rotational interval is about deciduous forests. Close to about 90% of all leaf litter are
7 years (Kodandapani et al. 2008). The fire-rotation interval completed by the end of January providing substantial leaf
in certain forests of the Western Ghats has increased three- fuel load for the ensuing fires. Leaf litter loads can range from
fold; the mean burned area in 1910s in the Mudumalai wild- 0.2 Mgha-1 in xeric savannas to 2.6 Mgha-1 in mesic
life sanctuary was about 10% which has increased to 30% savannas. Once the leaves have fallen, the grass below is
during the 1990s (Kodandapani et al. 2004). exposed to direct solar radiation and increased drying. This
time of the year also experiences high temperatures—mini-
Fire Intensity It is the heat energy release per length of the mum temperature during the fire season is between 16.1 and
fire front (Bond and Keeley 2005). Fire intensity in the 19.8 °C, and maximum temperature during the fire season is
Nilgiris landscape was estimated to be between 1.44 and between 26.7 and 34 °C. Grass fuel loads can range from
80 kWm-1, with a mean of 25.3 kWm-1 (Kodandapani 0.34 Mgha-1 in xeric savannas to 2.7 Mgha-1 in mesic
2006). In the Amazon, studies have shown that the fire savannas.
intensity ranges from 4 to 55 kWm-1 and can sometimes
reach as high as 750 kWm-1 (Cochrane 2003). Similarly in Fuel Classes Apart from the fine fuels such as the grass and
the deciduous forests of Thailand, fire line intensities are leaf litter in the forest, fuels can be classified based on their
between 11 and 25 kWm-1 (Baker and Bunyavejchewin sizes which are in turn related to the ease with which they
2009). either lose or gain moisture. Specifically fuels are divided
into 1-h, 10-h, 100-h, 1000-h fuel size classes, which corre-
Fire Seasonality The fire season in India is spread between spond to sizes (0–0.62 cm, 0.62–2.54 cm, 2.54–7.62 cm, and
January and June; the large window is due to the tremendous >7.62 cm). The number reflects the amount of time required
spatial variations in climate, forest types, and ignitions in the for a fuel particle of a given size to reach 63% of its fuel
country. For the Western Ghats, the fire season extends moisture content and come to equilibrium after a change in
between January and April and fire occurrence depends on ambient moisture conditions (Cochrane 2003). For example,
sources of ignitions as well as appropriate weather conditions a 1-h time lag fuel at 10% fuel moisture in a drier environ-
especially fuel moisture conditions. Studies in the Western ment, where the equilibrium fuel moisture content is at 5%,
Ghats have shown a negative effect of seasonality of fire on will be at about 7% fuel moisture after 1 h (Agee 1994). In the
the fruiting and population growth in a deciduous forest and Western Ghats, there is a considerable variation in the total
this study specifically suggests that fire during the budding or fuel loads (1-h, 10-h, 100-h, 1000-h) across the different
flowering stages in the tree species Phyllanthus emblica forest types and the mean total fuel load in the mesic
could negatively impact fruit production subsequently savannas ranges from 16 to 54 Mgha-1; the mean total fuel
(Sinha and Brault 2005). load in the xeric savannas ranges from 3.6 to 6.3 Mgha-1.

Fire Severity Apart from fire intensity which is a measure of

the heat release of a fire, fire severity can be related to the 34.2.3 Fire and Forest Regeneration
ecological effects of a fire. It commonly refers to the basal
area removal by a fire and has been applied to map severity of Fire has a disproportionately large negative effect on the
fires in the United States (Agee 2000). Fire severity is gener- survival of seedlings, saplings, and juvenile individuals in a
ally thought to be high within temperate forests; however, it forest (Cochrane and Schulze 1999). Recent studies suggest
is also high among tropical forests despite the fact that fires declines in the density of seedlings and saplings with increas-
are generally slow spreading and of low intensity (Cochrane ing fire frequency especially in mesic savannas
2003). The effects of fires in ecosystems are closely tied to (Kodandapani et al. 2008). For example in mesic savannas
several factors such as the tolerance of species to fires and in the Nilgiris landscape, density of seedlings is significantly
adaptations that they possess to mitigate the effects of fires higher in the 0–5% mortality class compared to the 5–10%
such as thick barks (Pinard and Huffman 1997). and >15% mortality classes. Figure 34.3 shows the
differences in seedling density across fire severity classes in
mesic savannas. The primary Y-axis (bar) shows the mean
34.2.2 Fire and Forest Fuels density of seedlings, and the secondary Y-axis (line) shows
the coefficient of variation. Studies in a tropical dry decidu-
Fine Fuel Loads In the Nilgiris landscape in India, the dry ous forest in the Nilgiris landscape showed that frequent fires
season begins during January and extends to April and <20% were the leading cause of mortality among woody plants,
746 N. Kodandapani

Coefficient of variation (%)

140
120 45 (a)
Mean density/100 m2

40 120
100
35
100

# of individuals
80 30
25 80 living
60
20 dead
60
40 15
10 40
20
5
20
0 0
0-5 5-10 10-15 >15 0

Fire severity as % basal area mortality

Diameter class midpoint (cm dbh)
Fig. 34.3 Seedling density in different fire severity classes in the
Nilgiris landscape (b)

especially among lower size classes (1–10 cm dbh) (John

90
et al. 2002). The frequent and high intensity fires in mesic
80
savannas are leading to increased mortality of trees, and 70

# of individuals
producing a woody population structure comprising of 60 living
mature adult trees and an undergrowth of re-sprouting species 50
dead
40
as shown in other savannas (Whelan 1995). 30
20
10
34.2.4 Fire and Forest Structure 0

Survival from fire depends on the insulation of the meriste- Diameter class midpoint (cm dbh)
matic tissue from heat. Bark thickness is an important char-
acteristic that protects trees from cambial kill and it varies Fig. 34.4 Fire and forest structure in the Nilgiris landscape, Western
Ghats. (a) Size-class distribution of Terminalia crenulate. (b) Size-class
with species, diameter, tree age, distance from the ground,
distribution of Tectona grandis
and site characters (Brown and Smith 2000). In certain spe-
cies such as Shorea obtusa and Dipterocarpus intricatus
dbh classes (Fig. 34.4b). Mortality is especially high (>50%)
distributed in deciduous forests of Thailand, the inner bark
for individuals <20 cm dbh. Apart from the thick bark,
temperatures rarely rises to 75 °C, whereas the bark surface
another important fire tolerant characteristic is the presence
temperatures could be as high as 300 °C (Stott 1986). The
of high moisture content, smooth, and flaking barks; this
mere presence or absence of thick bark does not ensure
appears to be an important reason, why species such as
protection from fire because the insulating quality of bark
Anogeissus latifolia found in the Nilgiris landscape, despite
depends on structure, moisture content, composition, and
a thin bark are able to survive and dominate in these forests.
density of bark (Brown and Smith 2000). A few fire-tolerant
There are different views on re-sprouting as a fire tolerant
species proliferate in the forests of the Western Ghats as these
trait; savanna species survive better as saplings due to higher
species possess thick barks which protect the trees from
root to shoot ratios, in fact compared with forest tree species
mortality due to fire (Hegde et al. 1998). The thick bark
the ratio is 82% greater, ensuring survival from the low
insulates the cambium from high temperatures, for example,
intensity fires (Hoffmann et al. 2003). Apart from thick
in certain savanna species, the bark forms almost 28.5% of
bark, insulation from heat by the presence of subterranean
the stem diameter on average (Hoffmann et al. 2003). Certain
stems and meristematic cells has been shown to confer pro-
species such as Terminalia crenulata in the deciduous forests
tection from thermal kill (Whelan 1995). For example during
of the Nilgiris landscape possess thick barks and this species
a fire in certain deciduous forests of Thailand, the below
has low mortality rates in all size classes (Fig. 34.4a). In
(5 cm) ground surface temperature is about 75 °C, probably
contrast to the low mortality numbers in all dbh classes in
as low as 35 °C; whereas above the ground the temperature
Terminalia crenulata, another species Tectona grandis,
reaches almost 700 °C (Stott 1986).
which has a thin bark, has witnessed high mortality in all
34 Fire Science for Indian Forests: From Theory to Practice 747

34.2.5 Fire and Climate Interactions

in the Western Ghats Climate

Al
Drought plays a key role in driving fire activity in southwest-

be
do
ng

ET

Dr rfa

,C
oli
ern India (Renard et al. 2012). At regional scales, inter-annual

,P

ou ce
su
co

ar
ET

gh te

bo
variability in fire is strongly correlated with climate variables,

ve

t s mp
,A

n
ati

tre er

em
re
or

ss atu
tu
especially precipitation of the antecedent year monsoon sea-

iss
ap

, f re
ra

ion
ire s
Ev

pe
son. However, at landscape scales, proxies of forest fuel

s
se
em

as
ot

on
characteristics such as the type of vegetation, provided

Bi
Fuel loads, arrangement
more robust estimates of the fire pattern (Renard et al.
Vegetation Fire
2012). Simultaneously, recent studies in the Western Ghats Forest structure, composition
demonstrated that increasing water deficits and drought stress Regeneration

at short time scales (e.g., 3–6 months) enhanced fire activity

Fig. 34.5 Fire, vegetation, and climate
(Kodandapani and Parks 2019). For example, short-term
(3 months) drought exemplified by soil moisture, climatic
fires. The fire regime has been discussed in much greater
water deficits, and local weather were found to be important
detail with respect to the Western Ghats, where several stud-
drivers of fire in tropical dry forests in the Western Ghats
ies have been undertaken to assess the effects of fire in
(Kodandapani and Parks 2019; Kodandapani 2021). Changes
ecosystems. The comparative analyses of fire regimes in
in climate would increase the intensity of fires, extent of
different savannas reveal variations in fire characteristics
burned areas, frequency of large fires and most importantly
across the globe; future studies would benefit by considering
increase the susceptibility of fire immune ecosystems to
these differences in fire regimes. Thus, forest fire manage-
recurrent fires (Barlow and Peres 2004). The climate of the
ment policies should follow thorough critical analyses of fire
Nilgiris landscape is characterized by recurrent but
regimes in different forest types in the country. In India, the
nonperiodic droughts which largely depend on the monsoon
increased use of fire in ecosystems is especially an important
rainfall (Maréchal et al. 2009). Thus, the solar energy and
factor to consider the perspectives of forest dwellers, forest
water budget would largely determine the primary productiv-
managers, rural communities and forest scientists should be
ity and type of vegetation in the landscape. The vegetation in
integrated into future fire management strategies. Impending
turn would have impacts on climate through evapotranspira-
environmental challenges such as global warming and cli-
tion, thereby accounting for rainfall and changes in relative
mate change could be incorporated into the assessment of
humidity and temperature in the landscape (Brown and Smith
changes in future fires in forests across the country. While
2000). Vegetation has an important effect on the climate
there are several mechanisms available for monitoring fires in
through the water budget. In the deciduous forests of the
Indian ecosystems, integrating other information such as the
Nilgiris landscape, evapotranspiration represents almost
environmental, socio-economic, and climatic factors would
87% of the annual rainfall (Maréchal et al. 2009). Changes
result in the better management of fires in India.
in climate, especially increasing surface temperatures,
increasing fire season length and drought stress would further
Lessons Learnt
exacerbate the frequency of fires and also the area burned
• Wildfires are an almost annual phenomenon in the decid-
(Kodandapani and Parks 2019; Kodandapani 2021).
uous and savanna ecosystems of the Western Ghats. The
Increased burned areas would result in enhanced carbon
fire regime in terms of its frequency, fire-return interval,
fluxes into the atmosphere resulting in positive feedbacks in
intensity, and seasonality exhibits substantial variability
global warming. Declined albedo due to the burned surface
across the Western Ghats.
also results in a positive feedback in global warming,
• Predominantly low-to-moderate fire frequencies (1–5
although albedo would recover within a few months in tropi-
times) and restricted high fire frequencies (>5 times) in
cal ecosystems (Running 2008). Apart from these direct
a 16 year time window have been observed in the Nilgiris
feedbacks to global warming, the mortality of trees due to
landscape. Fire-return intervals range from 1 to 5 years in
forest fires reduces the opportunity of carbon sequestration
the frequently burning areas, especially savannas. The fire
and a sink for CO2 (Fig. 34.5).
intensity is low-to-moderate, between 5 and 50 kWm-1 in
most parts of the landscape; however, this could increase
depending on prior fire activity, the occurrences of inva-
34.3 Conclusions sive species, and accumulation of fuels.
• A few fire tolerant species proliferate in the frequently
This chapter provides information on fire in Indian
burning forests of the Nilgiris. The thick bark of these
ecosystems in general, the spatial distribution of wildland
fire in India, and the forest types vulnerable to frequent
748 N. Kodandapani

trees protects them from mortality due to fire and makes Acknowledgements I thank the forest departments of Kerala,
them dominate the large size classes. Karnataka and Tamil Nadu for permissions to conduct research in the
forest areas. I thank Mr. Khushagra Urs for the pictures of fires.
• Interannual variability in wildfire activity is moderately
correlated with several climate metrics such as climatic
water deficit, soil moisture, precipitation, maximum tem-
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 Diseases of Tree Species
35
N. S. K. Harsh

This chapter is dedicated to the fond memories of Late Dr. Ram Keerti Verma, Retired Scientist-G from Tropical
Forest Research Institute, Jabalpur, who was initially entrusted to write this chapter but could not complete due
to his sad demise. He had successfully completed several research projects on forest pathology, biofertilisers
and taxonomy of fungi. He was a member of many academic societies and was awarded Fellow of Phytopatho-
logical Society of India (FPSI) by Indian Phytopathological Society. He was awarded with Prof. K.S. Thind
medal for the year 2010 by the Association for Plant Taxonomy, Dehradun, for his significant contribution in the
field of fungal taxonomy. His major fields of research were Fungal Taxonomy, Fungal Diversity, Fungal
Ecology and Biological Control of forest diseases. He authored several research papers and books mostly on
the taxonomy of fungi.

Abstract 35.1 Introduction

The stages of forest tree health are different in seeds,
seedlings, plantations, forests and after harvesting. Losses Various stress factors affect trees/plants throughout their life
occur resulting into seed abortion and deterioration, which that interfere the normal development. These stress factors
directly affect the seed germination and the survival of may be biotic (living) or abiotic (non-living). Disease is
seedlings. Diseases of leaves decrease the appearance, expressed by an abnormal physiology caused by an extended
growth and vigour of the plants and also lead to mortality. interaction between a plant and a biotic stress factor. In other
Root pathogens kill plants or decrease their growth soon words, a disturbance in the normal physiologic functioning of
after germination till maturity. Girdling and killing of the a plant results into a disease, which may have many causes,
branches and trees can be caused by bark and cambial and exhibits different appearances and results. A simple
parasites, the latter also producing lesions leading to dictionary (Collins) meaning of disease is ‘any departure
decay. Wood discolouration and decay decrease the mer- from health, presenting marked symptoms, malady, illness,
chantability of wood. During storage and use, fungal disorders’. Mostly diseases are caused by biotic agents
attack deteriorates quality and quantity of forest produce (pathogens like viruses, bacteria, fungi, nematodes, etc.)
and also adds toxic substances making it unsuitable for and are called biotic plant diseases or infectious diseases.
human consumption. In this chapter some major diseases Whereas diseases caused by abiotic (non-living) agents
of forest trees growing in India have been described. such as extremes of temperatures, excess or deficiency of
moisture, nutritional imbalance and phytotoxic gases are
Keywords called abiotic plant diseases or non-infectious diseases.
Disease is an extended interaction between the pathogen,
Disease · Host · Pathogen · Predisposing factor · Symptom host and environment, which is always detrimental to the
host. The external expression of disease is in the form of
symptoms. Diseases are one of the most destructive agents
adversely affecting the forest productivity as they attack the
planting stock in nurseries and consequently the plantation
yield. Any failure in plantations, in the form of partial or total
N. S. K. Harsh (✉) death of trees or when the expected growth rate is not
Forest Research Institute, Dehradun, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 751
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_35
752 N. S. K. Harsh

achieved, is bound to hamper the anticipated ecological and 1. Correct diagnosis

environmental benefits. Sometimes diseases are not the pri- 2. Knowledge of pathogen, host range, disease cycle and
mary cause but are the contributing factors, which attack the factors favouring disease development
weakened plants after they are predisposed by various envi- 3. Economic feasibility
ronmental, edaphic and biotic factors. It is estimated that of
all the damages caused to forest crops by diseases, insect
pests, fire and weather, diseases rank as the most destructive 35.2 Causes of Tree Diseases
agents attributing nearly 45% of all losses (Anon 1958).
In a natural ecosystem although a large number of As is evident from foregoing discussion, a cause or causes are
pathogens are known to be associated with the tree species, essentially required for the manifestation of diseases; the
only a few of them attain a status of serious pathogens in cause may be living or non-living entity generally called
epidemic proportions because of a dynamic equilibrium stress factors, in case of living being as pathogens. A patho-
between the host and its parasites. Their co-evolution gen is a disease-causing agent.
produces parasites that are not so aggressive that hosts are
destroyed, and equally the host does not become so resistant
that the parasite cannot exist. But as soon as such a natural 35.2.1 Biotic Agents of Tree Diseases
system is disturbed and converted into an artificial one, as in
man-made plantations, the relatively non-specific 35.2.1.1 Nematodes as Plant Parasites and Agents
microorganisms may become highly pathogenic to the of Tree Diseases
introduced tree species. The changed situation may greatly Nematodes are unsegmented round worms in the phylum
influence the virulence of the native pathogens, the suscepti- Nemathelminthes, having their body wall composed of cuti-
bility of the host or both. This situation becomes more cle, epidermis and muscles and well-developed digestive,
intriguing when an introduced host faces an indigenous path- reproductive, nervous and excretory systems. Nematodes
ogen against which it has no in-built resistance or a pathogen can be placed in four groups:
may be introduced along with the host, which may become
threatening for the native hosts. 1. Small free-living saprophytic nematodes characterised by
The stages of forest tree health are different in seeds, a hollow cavity like a mouth for picking up organic matter
seedlings, plantations, forests and after harvesting. Losses and feeding it into the oesophagus.
occur resulting into seed abortion and deterioration, which 2. Variable-sized nematodes parasitising animals having
directly affect the seed germination and the survival of smooth adaptation for suction attachment to animal cells.
seedlings. Diseases of leaves decrease the appearance, 3. Predators on small invertebrates in the soil having mouth
growth and vigour of the plants and also lead to mortality. parts with modified teeth-like projection.
Root pathogens kill plants or decrease their growth soon after 4. Plant parasitic nematodes 0.5–2.5 mm in length
germination till maturity. Girdling and killing of the branches characterised by a hollow dagger-like feeding structure
and trees can be caused by bark and cambial parasites, the known as stylet.
latter also producing lesions leading to decay. Wood
discolouration and decay decrease the merchantability of Nematodes can attack almost any plant part but in tree
wood. During storage and use, fungal attack deteriorates species the root system, the tips of small feeder roots.
quality and quantity of forest produce and also adds toxic Nematodes can be classified into two groups on the basis of
substances making it unsuitable for human consumption their feeding habit, movements and type of injury they cause:
(Harsh 2014a). ectoparasites, feeding on the surface of the roots, and
A uniform crop of hosts in plantations with monocultures endoparasites, moving within the roots. Nematodes that
of same species and/or clone provide opportunity to a virulent move along a root or root to root are known as migratory
pathogen for causing epidemics during conducive environ- nematodes while those remaining localised are called seden-
mental conditions. In agroforestry systems some diseases are tary nematodes. Migratory ectoparasites cause stunting of
common in both agriculture and forestry crops or they may feeder root formation and growth, resulting into blunt or
migrate from one crop to another (Jamaluddin 1988). stubby roots. Migratory endoparasites cause death of large
Besides, intensive management practices encourage diseases. number of cells by their feeding and movements, resulting
Therefore, adequate control measures are absolutely neces- into sunken dead areas or lesions. Sedentary endoparasites
sary to reduce the losses. According to Gibson (1975), effec- cause small swellings or knots to form on the roots.
tive and reliable control, however, depends on:
35 Diseases of Tree Species 753

Symptoms 35.2.1.3 Mycoplasmas/Phytoplasmas as Agents

of Tree Diseases
Until recently, all mycoplasma diseases of plants were
Symptoms
thought to be caused by viruses. However, there are many
Stunting differences between these two types of pathogens, not only in
their structure but also in the mode of attack and symptoms
Above ground symptoms Chlorosis caused. Mycoplasmas are much larger than viruses and some
Decline of them are smaller than bacteria though they are often longer
than bacteria. The mycoplasmas attacking plants are usually
spherical or occur in long filaments. Unlike viruses, which
Root lesions resemble organic chemicals, mycoplasmas lack a cell wall,
Below ground symptoms Root knots but like the bacteria they contain a plasma membrane, cyto-
plasm and strands of DNA.
Stubby root Mycoplasmas are parasites of plants or animals or they are
saprophytes. Once in a living cell, they may divide by fission,
Predisposing agents for root diseases: Nematodes may act in a manner similar to bacteria, by budding, where a small
as the predisposing factors of root diseases because the swelling cut off to form a new mycoplasma, or through
injuries caused to the roots act as the infection courts of constriction along the body in the filamentous forms, which
vascular wilt and root-rot diseases of plants break off and produce several mycoplasmas.
Other roles: Nematodes may act as the vectors for viruses
and help in establishing viral and mycoplasmal diseases in Symptoms
plants. They act as parasites of mycorrhizal fungi and The universal symptoms of mycoplasma diseases appear to
roots and also as contributing factors of decline diseases be a progressive decline that eventually results in death of the
in trees host in a few months to several years. The decline may be
associated with any or all of the following symptoms: chlo-
35.2.1.2 Viruses as Agents of Tree Diseases rotic foliage, little terminal growth or stunting, progressive
Viruses are infectious agents characteristically composed of a die-back of branches, lack of flowering and necrosis of
protein coat and a hollow nucleic acid core of either DNA or phloem tissues. Other common symptoms of mycoplasma
RNA. Viruses have no cell wall, membranes, cytoplasm, diseases are reddening of foliage, witches’ brooms on
organelles or nucleus. They simply contain genetic material branches and on axillary shoots, and proliferation of roots.
in the form of nucleic acid, for reproduction, which is
protected by a protein coat. Viruses may occur in many 35.2.1.4 Bacteria as Agents of Tree Diseases
shapes but most are either rod-shaped or polyhedral as seen Bacteria are microscopic, usually single-celled
through Scanning Electron Microscope. Viruses appear to be microorganisms that like fungi, lack chlorophyll, but are
on the threshold of life, being more an organic chemical than much smaller than fungi. They have a variety of shapes,
a living organism but still being capable of causing diseases. such as spherical, spiral or rod-shaped. Some have fine
The plant viruses are generally simple in structure and func- appendages called flagella, which provide a small degree of
tion. The infectious nucleic acid material, usually a single motility. Bacteria are found singly, in loose masses and in
strand of RNA, is contained within a protein shell composed chains. They multiply rapidly by the simple splitting (fission)
of large numbers of identical protein subunits. of one bacterial cell into two cells. Some bacteria are benefi-
cial while some are pathogenic to trees also.
Symptoms
Most virus diseases of trees involve one or more of the Symptoms
following general symptoms: Bacterial diseases exhibit different symptoms on different
plant parts. Bacterial pathogens of leaves and shoots produce
1. Lack of chlorophyll promotion in normally green parts as water-soaking initially, followed by necrosis and maceration
mottling mosaic and chlorosis either marginal or veinal of tissues. Bacterial infection of vascular tissue produces
2. Dwarfing or growth inhibition (stunting) and witches’ wilting. Crown gall bacterial infection is characterised by
broom hypertrophy of stem tissue. Bacterial infection of wood
3. Distorted growth of part or the entire plant such as curling results in increased permeability due to perforation of pit
4. Necrotic areas or lesions membranes.
754 N. S. K. Harsh

35.2.1.5 Fungi as Agents of Tree Diseases Symptoms

Fungi constitute the most common group of plant pathogens The fungal diseases produce different symptoms on different
that can attack any part of the plant (roots, stem and leaves), plant parts:
although each species of fungus may attack many parts or
only one part. Many plant pathogenic fungi usually live on • On foliage: total necrosis and shrivelling of leaves or
dead organic matter as saprophytes and only attack a suitable discrete localised necrotic areas/spots, coloured pustules
living host tree when the environmental conditions favour • On stem and twigs: die-back, cankers, heart-rot, decay
them as facultative parasites. • On roots: plugging of vascular system, wilt, root-rot
Fungi are often seen as mushrooms on the ground, conks
on a tree or mould on cheese, bread or leather items like 35.2.1.6 Flowering Plants (Phanerogams)
shoes, but these rather complex structures are made of much as Agents of Tree Diseases
smaller structural units of the fungi, the hyphae. Hyphae are Flowering plants also act as parasites of trees. All parasitic
thread- or tube-like branching strands of the fungus visible flowering plants are dicotyledons. The members of order
only with the aid of a microscope. Hyphae penetrate the Santanales have a number of parasitic flowering plants, par-
defence barriers of the host and produce diseases. Once the ticularly in the family Loranthaceae (Dendrophthoe falcata,
hyphae have gained entry into the host, the fungus begins to Loranthus spp., mistletoes), Viscaceae (Arceuthobium,
derive its nutrition from the plant and to grow within it. When Viscum—dwarf mistletoe) and Santalaceae (sandalwood),
a pathogen derives its nutrition from a plant, it is termed as an which are partial parasites on host plants. Whereas the
infection, and when the pathogen moves within the host, it is genus Cuscuta (dodders) of Convolvulaceae family is a
called an invasion. total parasite on host plants (Fig. 35.1).
Most fungi produce reproductive structures called spores, Some of the plant parasites are totally dependent upon the
the disseminating units, which germinate to produce hyphae host for preformed photosynthates (holoparasitic) while
capable of entering susceptible host plants. others are only partially dependent upon the host for
photosynthates, because they still maintain some

Fig. 35.1 Cuscuta reflexa on a tree

35 Diseases of Tree Species 755

photosynthetic leaf surface (hemiparasitic). Often the leaves

are much reduced, so that photosynthetic capacity is minimal.
Some parasitic plants are associated with roots while others
are with stem.

Symptoms
Effects on parasitised hosts range from excessive hypertro-
phy and witches’ brooms to almost no effect. Reduced repro-
ductive capacity, chlorosis and reduced growth are common
symptoms.

35.3 Major Diseases

The two different soil and the sub-aerial environment of root

and shoot systems of flowering plants affect the health and
vigour of the plants. Some major diseases are explained in the
following text for seed-borne infections, nursery diseases,
plantation diseases, forest diseases and wood decay.

35.3.1 Seed-Borne Infection

Seeds get infected during development while still on the trees

and/or during storage, due to poor collection and storage
practices (Fig. 35.2). Seed-borne infections can be of two
Fig. 35.2 Fusarium pallidoroseum causing infection of seeds inside
types: the pods

1. Externally seed borne: By fungi causing spoilage resulting • Fungoid seeds: The infected seeds show superficial fungal
into deterioration of seed contents and reducing quality as growth as white or coloured fungal mycelium and/or
well as quantity. They also affect seed germination by spores on the seed surface.
causing pre-emergence and post-emergence damping-off • Foul smell: The infected seeds omit foul smell mostly due
diseases (explained later). to bacterial infection.
2. Internally seed borne: By fungi causing deep-seated infec-
tion, which affect viability by killing embryo and is also
source of pre- and post-emergence damping-off diseases. 35.3.2 Soil-Borne Infection

Those pathogens that undertake the major part of their life

Species of Alternaria, Aspergillus, Botrytis, cycle in the soil are called soil-borne pathogens. Fluctuation
Cladosporium, Fusarium, Penicillium, etc. are generally in temperature and atmospheric humidity in the sub-aerial
associated with the seed-borne infections. environment is not permitted in the soil due to the buffering
effect of the soil mass; therefore, the soil remains sufficiently
35.3.1.1 Symptoms of Seed-Borne Infections warm and moist throughout the year for microbial activity.
• Change in seed colour: Can be observed by deviation Source of energy for this continued microbial activity is
from normal seed colour. The infected seeds are darker, provided by dead organic matter of plant and animal origin
spotted or lighter. (Garrett 1970).
• Change in seed size: The infected seeds exhibit enlarge- Soil-borne pathogens infect roots and/or stem bases and
ment or reduction in normal seed size. their dispersal and survival mostly remain confined to the
• Wrinkled seed surface: Abnormally wrinkled or folded soil. They generally produce air- and/or water-dispersed
seed surface/seed coat is also an indicator of infected spores for dispersal. Many pathogens, which cause diseases
seeds. of aerial plant parts, also survive in the soil. Soil-borne
756 N. S. K. Harsh

pathogens belong to Fungi, Bacteria, Actinomycetes, diseases (Tattar 1988). The factors that result into
Nematodes, and Viruses. ‘Decline’ diseases include:

35.3.2.1 Soil-Borne Plant Pathogenic • Predisposing factors—which are long term, such as
Fungi/Root-Infecting Fungi climate, soil moisture, genotype of the host, soil
On the basis of mode of parasitism, they are specialised and nutrients and air pollutants.
non-specialised pathogens. On the basis of ecology, they are • Inciting factors—which are short term, such as insect
soil inhibitors and soil invaders (Garrett 1970). Specialised defoliation, frost, drought, salt, air pollutants and
pathogens are mostly soil invaders. Non-specialised mechanical injury.
pathogens are true soil inhibitors. Soil-inhabiting fungi have • Contributing factors—which are long term, such as
the ability to survive indefinitely as a saprophyte. After the bark beetle, canker causing fungi, viruses and root-rot
death of the host, soil-invading or root-inhabiting fungus fungi.
consists of an expanding parasitic phase and a declining
saprophytic phase. Soil-invaders have a restricted host
range because they show more parasitic specialisation than
the soil-inhibitors. 35.3.5 Seedling Diseases: Nursery Diseases

Nurseries are the suppliers of the planting material for

35.3.3 Soil-Invading/Root-Inhabiting plantations. Success of the future plantations will largely
(Specialised Pathogens) depend on the health of the seedlings raised and maintained
at nurseries. Taking a diseased/unhealthy planting material to
Generally, they can be classified into three types: field for plantation results into failure and can be considered
as colossal waste of time, money and manpower. Major
1. Vascular wilt fungi: After initial invasion these remain diseases in nurseries are root and foliar diseases, which are
confined to the vascular tissue, e.g. Verticillium dahliae, discussed here.
Fusarium oxysporum.
2. Ectotrophic root-infecting fungi: These grow extensively 35.3.5.1 Root Diseases in Nurseries and Young
on the outer surface of the root and can enter the root Plants and Their Management
cortex at many loci. They produce specialised mycelial The roots are one of the most important systems that give
strands called rhizomorphs that grow along adjacent roots nourishment to the plant, but may suffer from diseases that
of the adjacent plants and do not depend on soil for remain generally unnoticed until outward symptoms appear
survival, e.g. Armillaria mellea, Ganoderma lucidum. on the above-ground parts. The health of the root system
3. Obligate zoosporic fungi: They produce motile zoospores, determines the total health of a plant and that is why the
e.g. Synchytrium endobioticum. root diseases are important in nurseries. The most common
root diseases in nurseries are damping-off, vascular wilt and
root-rot diseases.
35.3.4 Soil-Inhabiting (Non-specialised)
Damping-Off Diseases
They are mostly facultative parasites and live as saprophytes This is one of the most common diseases of conifer and
on dead organic matter in soil but become parasitic under broad-leaved tree species in forest nurseries. Estimation of
favourable conditions. They are of two types: loss caused by this disease is difficult. Disease development
is governed by the factors like soil texture, soil pH and
1. Seedling diseases: ‘Damping-off’, ‘seedling blight’, moisture. The fungi causing damping-off are soil borne in
e.g. Rhizoctonia solani, Pythium spp., Phytophthora nature. The disease may destroy the entire nursery stock in
spp., Fusarium spp., Sclerotium rolfsii, Thielaviopsis 1 month and may remain unnoticed in the other.
basicola, Macrophomina phaseolina, etc.
2. Diseases of older plants: Occur due to a progressive Pre-emergence Damping-Off
killing of rootlets and sometimes of the older parts of the It comes during germination and soon after seed germination
root system as well. ‘Decline’ diseases are caused by an but prior to the plumule emergence out of the soil. As a result
interacting set of factors and not by a single causal agent. of pre-emergence damping-off disease, the emergent crop of
Symptoms syndrome such as die-back and blight are seedlings is very sparse, which most of the times is wrongly
commonly but not exclusively used to identify ‘Decline’ attributed to the poor quality of the seeds. Species of
35 Diseases of Tree Species 757

collar region resulting into toppling over of the seedlings.

Rhizoctonia solani and Sclerotium rolfsii are common collar
rot causing fungi in forest nurseries. Ailanthus triphysa,
Bombax ceiba, Eucalyptus and pines are most susceptible
hosts of this disease (Sharma et al. 1985).

Vascular Wilt Disease

In this disease plant becomes yellow and shows withering of
leaves at the tip and gradually dying back of seedling,
resulting into complete death of plant. Wilt disease is com-
mon in forest nurseries particularly in dry climates. This
disease is also common in container seedlings. Species caus-
ing wilt disease are Fusarium spp., Macrophomina
phaseolina, Rhizoctonia solani and Verticillium spp. All the
hosts are susceptible when the conditions are favourable for
fungal infection.

Root-Rot Disease
It causes die-back of seedlings in which fungi attack the
succulent root tips. Normally the damage is not very fatal;
if soil moisture conditions are favourable and new roots
develop, the seedlings continue to survive though with less
vigour. When the initial root tip mortality is followed by
drought or excessive soil moisture, which inhibit the forma-
tion of new roots, large-scale mortality of seedlings occurs.
The root system becomes completely damaged due to rotting.
Fig. 35.3 Post-emergence damping-off in Moringa pterygosperma by Charcoal root rot caused by Macrophomina phaseolina is the
Fusarium acuminatum
most common disease of pines and casuarina.
Root diseases may cause nearly 70% mortality of
Alternaria, Aspergillus, Fusarium, Penicillium, Rhizopus,
seedlings in nurseries (Harsh and Gupta 1993); therefore,
etc. are common fungi associated with this disease.
prevention and control of these diseases become imperative
to get the desired quality and quantity of seedlings for various
Post-emergence Damping-Off
plantations.
This disease occurs soon after the emergence of seedlings.
The seedlings are attacked by the pathogen at the collar
Set-Rot of Cuttings
region, which gets deteriorated and cannot support upper
Poplar is the most important species raised vegetatively from
plant parts and as a result the seedlings topple over on the
cuttings under agroforestry. The cuttings in nursery beds are
ground. Species of Fusarium, Pythium, Phytophthora,
infected by certain fungal pathogens and could not survive
Verticillium, Rhizoctonia solani, Sclerotium rolfsii, etc. are
even after sprouting of leaves with well-developed root sys-
common fungi causing post-emergence damping-off diseases
tem. Botryodiplodia palmarum (Cooke) Petr. & Syd. is a
in forest nurseries (Fig. 35.3).
common fungus, which has been reported to damage more
The majority of agroforestry species are susceptible but
than 50% plantlets in shade conditions (Singh and Singh
Eucalyptus and Pinus spp. suffer more from these diseases
1986). The same pathogen causes bark and stem canker
than others. The important species in which damping-off
disease in poplars (Bakshi et al. 1972) and it is quite likely
disease have been reported are Acacia spp., Albizia spp.,
that the pathogen comes from the mother plant from which
Azadirachta indica, Cassia spp., Delonix regia,
cuttings are made.
Dendrocalamus strictus, Holoptelia intigrifolia,
Lagerstroemia spp., Leucaena leucocephala, Oroxylum
35.3.5.2 Control of Root Diseases in Nursery
indicum, Tectona grandis, etc. (Harsh and Gupta 1993).
Although it is very difficult to eradicate the diseases
completely from the system but certain measures can be
Collar Rot in Mature Seedlings
adopted to minimise the diseases to some extent.
Collar rot is a common disease in forest nurseries under moist
climatic conditions. The young seedlings are attacked at
758 N. S. K. Harsh

Cultural Methods fluorescens as seed pelleting or soil mixing helps in

• Always use apparently healthy seeds/cuttings for sowing/ controlling the root diseases.
planting. Diseased seeds with discolouration, wrinkles,
spots, fungal growth and any visible defects such as 35.3.5.3 Foliar Diseases in Nursery
over-size or under-size than normal seeds should be Foliar diseases are serious because they cause premature
avoided. defoliation apart from checking and reducing photosynthetic
• Use well-drained seed beds as excessive moisture favours activity, which reflect on the vigour of planting stock. The
the infection and development of root diseases. common foliage diseases of nurseries are leaf spot, leaf
• Use proper (porous) potting medium for containerised blight, rusts, powdery mildew, blotch, shot holes, leaf curl
seedling production system. and necrosis in the leaf and tip. Maravalia achroa and Olivea
• Give adequate watering neither too less nor too much. tectonae are two important rusts found in Dalbergia sissoo
• Carefully uproot the plants (two to three leaves stage) at and Tectona grandis, respectively. Severe attacks of
the time of pricking without causing injury to tender roots. Cyclindrocladium quinqueseptatum on eucalyptus seedlings
• Remove weeds regularly from the seed beds and caused initial leaf spots followed by necrosis of total plants in
containers. ideal (high humid) disease conditions. Cercoseptoria pini-
• Eradicate infected parts/plants after early diagnosis. densiflorae is the prominent fungus, which caused black
• Avoid use of same bed for raising same species year after needle spot in various exotic and indigenous pines.
year. The bed should be left fallow or raised with different Alternaria alternata, Cercospora populina, Cladosporium
species. humile, Myrothecium roridum, Phyllosticta adjuncta and
Sphaceloma populi are the main fungi responsible for leaf
Chemical Control spot and blight diseases in poplars.
• Seed dressing with fungicides like Bavistin Some major foliar diseases occurring in nurseries and
(Carbendazim), Topsin-M (Thiophanate methyl), Benlate plantations are discussed below.
(Benomyl–Benzimidazole) or Thiram (Dimethyl-dithio-
carbamate) @ 0.2% by weight of seeds before sowing. Leaf Blight Disease in Teak
• Soil drenching with fungicides (Bavistin, Topsin-M, Cercospora tectonae causes spots with the onset of monsoon,
Benlate or Thiram) @ 0.05%. Ten litre solution should which appear on both the surfaces of the leaf as light brown
be applied for 10 × 1 m bed with repeated doses after the specks that turn brown to blackish on maturity. Individual
interval of 7–10 days in diseased areas. spots develop more or less circularly initially, and later merge
• Soil sterilisation with 200 mL commercial-grade formalin together forming larger lesions. In case of severe infection,
diluted in 4.5 L of water can be used in a bed of the leaves drop prematurely, young shoots are infected and
1 × 1 × 0.15 m or in potting mixture heaped over ground. the juvenile plants are killed.
After formalin treatment, the bed and soil mix is to be Control: Three fortnightly sprays with 0.2% Bavistin or
covered with polythene sheet for 3 days and after removal Copper oxychloride can control the disease.
of the sheet the soil should be turned repeatedly for next
3 days. The soil should be used for planting only after Leaf Rust in Teak
6 days of the treatment. Olivea tectonae attacks old leaves resulting in severe damage
• Root dip in 0.02% solution of Bavistin, Topsin-M, to plants in nurseries and plantations (Fig. 35.4). Rust
Benlate or Thiram for 3–5 min prior to pricking out in pustules are formed on lower surface of the leaves. Heavily
containers provides protection against root diseases. Dip- infected plants in nurseries and young plantations usually
ping of cuttings in 0.3% solution of same fungicides for succumb to rust disease. The rust appears during the month
5–10 min before placing them in beds or containers has of October–November and persists up to leaf fall.
been found to control the set-rot disease. Control: Fungicidal treatment is recommended as foliar
spray with Bayleton (Triadimefon) or Sulfex (Sulphur) at the
Biological Control rate of 0.2% at monthly interval from the month of October to
The use of fungicides for the control of diseases has its control the disease.
disadvantages because of their persistence in the ecosystem,
affecting non-target organisms and being toxic to the envi- Phyllosticta Leaf Blotch and Blight in Poplars
ronment. The alternate is biological control with the applica- Phyllosticta adjuncta causes spots with the onset of mon-
tion of a biological control agent of fungal or bacterial origin soon, which appear on both the surfaces of the leaf as light
to the plant or soil. In forest nurseries, application of brown specks that turn greyish white to dirty white on matu-
Trichoderma spp. (Trichoderma harzianum, Trichoderma rity. Individual spots develop more or less circularly initially,
viride, Trichoderma virens, etc.) and Pseudomonas and later merge together forming larger lesions. In case of
35 Diseases of Tree Species 759

Control: Foliar sprays with Bavistin (0.1%) and Copper

oxychloride (0.1%) at weekly interval with the onset of
disease in July–August check further spread of the disease
and maintain healthy plants.

35.3.6 Diseases of Older Plants: Plantation

Diseases

Plantations are not free from diseases. Some diseases are

causing mortality in plantations while others reduce vigour
and form of the trees affecting the productivity directly.
Mortality of a tree in a roadside, park and avenue plantations
can be understood by the fact that if a tree dies at an age of
15 years it is not only the loss of the tree but also the time it
took to grow, and another tree of same dimension will take
Fig. 35.4 Teak leaf rust by Olivea tectonae
another 15 years to grow; thus the actual loss is of 30 years.
The ecological benefits provided by that particular tree are
severe infection, the leaves drop prematurely, young shoots
also lost.
are infected and the juvenile plants are killed. Both G-3 and
Plantation diseases of tropical tree species have been
G-48 clones of poplar are affected by this disease. This
documented by Jamaluddin et al. (1997). Some major
disease has been attributed for the disappearance of the pop-
diseases are described below.
ular clone G-3 in North India.
Control: Three fortnightly sprays with 0.2% Bavistin or
35.3.6.1 Root Rot in Trees by Ganoderma lucidum
Copper oxychloride can control the disease.
Generally, in drier localities, in North India and Peninsular
India, Ganoderma lucidum commonly causes root-rot disease
Leaf Rust in Poplars
in disturbed sites. Symptoms are die-back or top-dying, stag-
Melampsora populnea attacks juvenile leaves and twigs
headedness, mortality, sudden wilting and wind-throw. The
resulting in severe damage to plants in nurseries and
pathogen invades root system, kills functional vascular tissue
plantations. Rust pustules are formed on lower surface of
and rapidly decays wood in roots and butt region of the tree.
the leaves. Heavily infected plants usually succumb to
The affected roots show white fibrous rot that kills them and
Melampsora infection. The rust appears in the month of
affects the anchorage of the trees and results in uprooting.
September, that is, after rainy season, and persists up to
The disease spreads through root-to-root contact, and once
leaf fall.
noticed in a pure plantation is likely to affect all the trees of
In Populus ciliata the rust is caused by Melampsora
same species sooner or later. The signs of the disease appear
ciliata in Himachal and Jammu & Kashmir in India. First
as sporophores of the fungus at the basal region and/or
evidence is noticed by the development of small yellow spots
underneath roots, which can be easily recognised as stalked
on the upper surface of the leaves. Uredosori develops on the
brownish maroon shiny upper surface and creamy lower
lower surface corresponding with yellow dots, covering
surface. The pathogen has been reported to attack 64 tree
almost the entire surface. The disease starts at the end of
species in India of which 38 are leguminous tree species
rainy season.
(Kumari and Harsh 2004). It has been associated with the
Control: Fungicidal treatment is recommended as foliar
shisham (Dalbergia sissoo), khair (Acacia catechu) and
spray with Bayleton or Sulfex at the rate of 0.2% at monthly
babul (Acacia nilotica) mortality in north, central and west-
interval from the month of September till November to con-
ern regions of India causing great economic losses. In a khair
trol the disease.
plantation, mortality of 12% seedlings up to 3 years, 40% by
7th year and 55% by 9th year in Siwaliks was recorded
Leaf Spots and Blight in Eucalyptus
(Bakshi 1976). In an acacia arboretum at Seoni, Madhya
Cylindrocladium quinqueseptatum causes severe foliar infec-
Pradesh, mortality in first year, 9%; second year, 15%; third
tion in almost all species of Eucalyptus. Initially pinkish-
year, 31%; and ninth year, 52% due to G. lucidum was
purplish dots appear on leaves, which soon enlarge and
reported (Harsh et al. 1993).
change to greyish-brown in colour and cause blight
In conifers, common root-rot pathogens are Armillaria
symptoms. In severe infection, premature defoliation and
mellea and Heterobasidion annosum. Bakshi (1976) has
seedling mortality occurs.
760 N. S. K. Harsh

worked out the management of root-rot diseases, which solani f. sp. dalbergiae causing vascular wilt and Ganoderma
include following measures. lucidum causing root rot (Fig. 35.5). The former pathogen
was found spreading throughout shisham-growing area
Mechanised plantation: Control of root and butt-rot patho- whereas G. lucidum is associated in drier localities such as
genic fungi can be effected by removal of residual stumps Haryana and Punjab in India. The description of shisham
and roots left after felling. This should be done prior to mortality is based on the reports by Bakshi (1976), Shukla
planting either mechanically or manually. In raising new and Harsh (2010) and Harsh (2014b).
plantations particularly with susceptible species like
Acacias, Cassias, Dalbergias and other legume trees in Symptoms: The symptoms are yellowing of foliage,
new sites, the sites should be cleared of tree stumps and followed by gradual wilting and drying leading to top
residual roots to eradicate the source of infection. If still dying, oozing of sap (pitch) and ultimately complete
trees die because of disease, they should be removed along death of the plant. Decline/wilt is result of both root
with the roots from the stand. rotting and colonisation of vascular system of stem by
Isolation trenches: Once a root disease establishes in the the fungus, which block water transport though fungal
forest, it spreads centrifugally from the infection centre to structures and fungal metabolites and byproducts.
adjacent trees and through root contact or root graft. In Extent of disease: Trees of all the age and diameter classes
such cases, the spread of the diseases can be checked by are affected in the monoculture plantations. Mixed
isolating diseased trees by digging trenches of about plantations show less signs of mortality. Mature trees of
0.30 m wide, 0.7 m deep and 1.5 m long. Bakshi (1976) more than 50 years age are highly affected in shisham
advised to dig an additional trench immediately after the plantations. Younger plantations of shisham show high
apparently healthy tree next to the first trench. The mortality in some areas, particularly where biotic stresses,
trenches are meant to break the root contact between and erratic rainfall and extreme temperature variations/
healthy and diseased trees. water-logging have occurred during recent years. Dead
The urban forestry programme in big cities face the problem trees, partially dead trees as well as stumps that are not
of how to make trenches around trees on footpath and road removed act as source of infection.
dividers where making trenches is not feasible. In such Predisposing factors for shisham mortality—edaphic,
cases insertion of vertically perplex glass sheets of size ecological and biotic: Unsuitable site selection is one of
1 × 1 m between the healthy and diseased trees will break the main reasons of shisham decline; it grows well on
the root contact. well-drained sites and does not grow well in soils of
Resistant species and mixed stands: Bakshi (1976) has heavy texture (with more clay and silt content and less
reported two tree species Ailanthus excelsa and Bombax sand). Improper soil aeration in stiff and clayey soils
ceiba as resistant to Ganoderma lucidum. He advised that causes death of fine/feeder roots due to asphyxiation
susceptible species like Acacias, Cassias, Dalbergias and besides water logging. Root disease pathogens enter
other legume trees are not to be planted in the first rotation through these dead roots (infection courts) and then attack
but with Ailanthus excelsa and Bombax ceiba. If the living roots. Extended period of low temperature/freezes
susceptible species are to be planted in a reforested expose the trees to disease/pathogen.
stand, they should be raised with an intimate mixture of Biotic pressure: The following biotic pressures were found
resistant species like Ailanthus excelsa and Bombax ceiba. weakening the tree vigour:
Disease resistance: Harsh (2012) identified resistant and • Injury to roots in agriculture (in fields) and construction
susceptible clones of Dalbergia sissoo against activities (near roads, avenues)
Ganoderma lucidum in field plantations in Haryana in • Cleaning and weeding done through harrowing in
India and recommended to the Haryana Forest Depart- plantations causing root damage
ment to use resistant clones for further multiplication. • Covering of basal area with landfill, garbage and other
material, particularly on roadsides and urban areas
35.3.6.2 Wilt Disease (Mortality) of Dalbergia • Uncontrolled lopping in agriculture fields
sissoo (Shisham or sissoo) • Blazing of bark for numbering of trees (on roadsides)
Wilt disease of shisham or shisham mortality is widespread • Injuries by cattle
throughout the shisham distribution zone in India, being • Intentional girdling (on roadsides for removal)
more severe in eastern Uttar Pradesh and Bihar. It falls The above biotic pressure result into opening of wounds, site
under the category of decline diseases. Two pathogens have deterioration and overall weakening of vigour resulting in
been found responsible for shisham mortality: Fusarium attack by the pathogens and decline/mortality.
35 Diseases of Tree Species 761

Fig. 35.5 Wilt and mortality caused by Ganoderma lucidum in Dalbergia sissoo

Integrated Disease Management plantations. DS-14 is a clone of Dalbergia sissoo released

• Selection and preparation of site: Raise shisham on a site by Indian Council of Forestry Research and Education
having light textured soil with adequate soil moisture and (ICFRE) possessing resistance to Fusarium wilt disease.
good drainage; avoid stiff clayey soils with water-logging Resistant clones have been identified against Ganoderma
tendency. root rot in Clonal Seed Orchard in Haryana and seeds from
• Sanitation in the field of dead trees, stumps and roots: these clones are being used by Haryana Forest Department
This will not only allow the timely utilisation of the timber for raising the planting material.
from the dead trees but also check the spread of the • Control biotic pressure to check injuries to root system.
pathogen to the adjacent trees.
• Avoid pure plantation of shisham: Raise mixed plantations 35.3.6.3 Sandalwood Decline
preferably with non-leguminous species. The deterioration of the health of sandalwood (Santalum
• Integrated disease management: Application of biological album) trees in Seoni, Madhya Pradesh (India), was
control agents like Trichoderma spp. and Pseudomonas categorised as a decline disease (Harsh et al. 2000). Uncon-
fluorescens, and chemicals–fungicides (Propicanojole/ trolled grazing and frequent fires eventually damage the
Bavistin), insecticides (chloropyriphos) and fertilisers ground flora, natural regeneration and leaf litter, thus
(after soil testing). contributing to site deterioration. This leads to the drying of
• Selection of resistant clones and propagation: Such mate- roots, shoot and branch tips (die-back) and secondary inva-
rial has been worked out by Forest Research Institute, sion by the termites, decay fungi (Flavodon flavus,
Dehradun, and should preferably be used for future Hexagonia tenuis and Schizophyllum commune) and heart-
762 N. S. K. Harsh

rot fungi (Phellinus caryophylli causing punk knot). These Polyporus hispidus), Phellinus spiculosa (= Poria spiculosa)
are the series of events identified as the root cause of the and Spongipellis pachyodon (= Irpex mollis) are canker rots
decline. Management practices such as protection of the site of southern hardwoods (Manion 1981). Ganoderma
from fire, grazing, theft and fencing and removal of dead and applanatum and Phellinus pachyphloeus were found
unsound trees were recommended. associated with canker rots causing tree breakage in some
hardwoods in Dehradun, India (Harsh et al. 2004).
35.3.6.4 Stem Cankers Basidiospores of these fungi infect through wounds. Mycelial
The death of tissues in stem, branches and twigs is usually invasion of sapwood results in decay up to 2 m above and
associated with a wound caused by broken branch or a below the canker infection point and cambium death.
mechanical injury, extending radially from the wound. Tattar Cankers are among the most destructive and hard to man-
(1988) termed this localised lesion as canker. Stem diseases age diseases in trees. Canker fungi cause girdling followed by
occur on the trunk, branches and twigs. Cankers that occur the killing of the branches of trees and shrubs affecting the
only on shoots and twigs, such as anthracnose or juniper twig landscape. Cankers also act as the infection courts for other
blight, could also attack leaves. Many rust fungi also cause fungi, bacteria and insects, eventually hastening the decline
cankers like white pine blister rust. and death (Manion 1981).
Cankers vary considerably in size and shape. The canker Canker disease and cankers caused by mechanical injuries
on a tree manifests the host–parasite interaction, which may can be the sites for invasion by wood-rotting organisms.
often continue for many years. A typical sequence for canker Wood decay in trees causes the weakening of branches and
development is as follows (Tattar 1988): main stem making them hazardous in high-velocity winds,
heavy rains or snow. It is, therefore, imperative to prevent
1. Entry of the pathogen into the host occurs through a cankers from developing on trees. Proper care and mainte-
wound, which then invades and healthy bark gets killed, nance of trees from cankers can check subsequent damage.
during a dormant period of growth. Some examples of canker diseases are mentioned here.
2. The host develops a layer of callus over the edge of
infected tissue to check further invasion by the pathogen. Fusarium Canker
3. During the following dormant period, the pathogen A typical example of an annual canker is Fusarium canker of
invades the callus tissue. sugar maple. Fusarium solani and a number of other fungi
4. Then new callus is formed by the host. were isolated from annual cankers on sugar maple in
Pennsylvania. Inoculation with pure cultures of the fungi
Every year throughout the life of the host, Steps 3 and demonstrated the pathogenicity of F. solani (Manion 1981).
4 may be repeated. The type of the canker will be determined Uniyal et al. (2004) reported canker and die-back caused by
by the growth rate of the pathogen and the developed callus. Fusarium sublateritium f. sp. acaciae on Acacia nilotica
Most canker fungi remain confined to the bark; however, from Dehradun. Harsh et al. (2006) have reported a new
some fungi can attack the bark as well as the xylem under- canker disease on Eucalyptus camaldulensis from Haryana
neath. Canker rots are the stem diseases resulting from a caused by Fusarium sambucinum.
simultaneous canker and wood decay (Tattar 1988).
Fungi causing canker diseases in trees are the parasites in Nectria Canker
the living cells of phloem, cambium and outer xylem region. It is a very common defect of many hardwoods, including
Symptoms range from small irregularities in the morphology aspens, maples, birches, elm, basswood and apple. The red
of the stem, branches and twigs, which are caused by the perithecia of Nectria galligena that may fruit on the margin of
callus formation around the cankers, to large areas of dead the canker positively identify it. The Cylindrocarpon imper-
bark and death of the trees. Callus formation around the fect stage that sometimes fruits on the margin of the young
cankers may close the canker wound and most of the times cankers is the stage of the fungus most often seen in culture
result into abnormal swelling of the stem, bark and twigs (Manion 1981). The fungus can invade healthy trees through
around the canker. Canker fungi may become inciting and frost cracks and other wounds. Small injuries that would
contributing factors in decline diseases of older trees. occur in a branch axil because of heavy snow pushing the
Fungi causing cankers include Phycomycetes, such as branch down are points of infection in the Northeast. In
Phytophthora cactorum, which causes bleeding canker of apples grown in the western United States, infection occurs
maples and other tree species. Basidiomycete fungi also through conidia infecting leaf scars in the fall of the year.
cause cankers. Rust cankers are also there. Some Basidiomy- Whether leaf scar infection occurs in forest trees is not
cete decay fungi, such as Inonotus obliquus (= Poria known. There is no known control for the disease. Canker-
obliqua) and Phellinus igniarius (= Fomes igniarius), also infected trees will not produce high-quality wood products
cause cankers on northern hardwoods. Inonotus hispidus (=
35 Diseases of Tree Species 763

and, therefore, should be cut during thinning operations equisetifolia Frost., Casuarina montana Jungh., Eucalyptus
(Manion 1981). alba Reinw., E. camaldulensis, E. globulus, Eucalyptus
saligna Sm., Eucalyptus multiflora Poir, Eucalyptus
Ceratocystis Canker tereticornis, Eucalyptus tessellaris F. v. M., Eucalyptus
It is sometimes diagnosed as the target-like series of concen- trabuti Vilmorin, Grevillea robusta A. Cunn., Hevea
tric rings. Nectria canker is sometimes diagnosed based on brasiliensis Muell.-Arg., Leucaena glauca (Linn.) Benth.,
the similar appearance, so confusion and error sometimes Mangifera indica Linn., Podocarpus gracilior Pilger,
result. There are very few reports of perithecia of Nectria Populus spp., Salix daphnoides Will., Tamarindus indica
fruiting on target cankers of trembling aspen, but perithecia Linn. and Tectona grandis Linn. f. (Browne 1968; Bakshi
of Ceratocystis fimbriata are commonly seen fruiting on et al. 1970; Seth et al. 1978). High summer rainfall above
these cankers in Colorado and Minnesota. Controlled inocu- 2500 mm and warm tropical conditions encourage develop-
lation experiments with C. fimbriata and Nectria galligena ment of different growth forms of the fungus, which is
show that both are capable of producing cankers in some disseminated rapidly resulting in epidemic outbreak of the
instances. Certaocysytis canker has been reported by Pandey disease. The severity of the disease becomes greater with
et al. (2002) on poplar from Dehradun and nearby areas. increasing rainfall above 2500 mm as in the Kerala, Goa
and western districts of Karnataka (Sharma et al. 1985).
Pestalotiopsis Canker Pink disease in eucalyptus clonal plantation in Laos PDR
Harsh and Chandra (2008) have reported a twig canker dis- (Houydeua Village, Phonhong District, Vientiane Province)
ease of Cinnamomum camphora caused by Pestalotiopsis was studied by Harsh (2019).
versicolor from Dehradun, India. Initial symptoms of the All the three species of eucalyptus, namely E. tereticornis,
branches were noticed as that of wilt, leaves showing E. grandis and E. globulus, which are widely planted in India
drooping and turbidity and gradually the leaves drying. The are highly susceptible to the disease, which becomes epi-
branches appeared prominently dead and brown among the demic under conditions of high rainfall and high temperature
green canopy. On examination of the affected branches, during the summer. Eucalyptus is susceptible to the disease at
diamond- to irregular-shaped greyish multiple erumpent a very early stage. The disease appears sporadically during
cankers were noticed scattered all over the surface of the the second year but becomes epidemic in the two subsequent
twigs. The size varied from 1–2 mm in length in small years when the entire plantation may become affected under
cankers to 1–2 × 0.5–1 cm in larger erumpent diamond- ideal conditions for development of the disease. Young
shaped cankers. Larger cankers later on developed into pits plants may show repeated die-back and mortality, while
on the twigs, 1–2 cm in diameter and up to 1 cm deep. those that have escaped infection result in development of
cankers.
35.3.6.5 Pink Disease In young plants, infection results in girdling of branches
Erythricium salmonicolor (B. & Br.) Burd. (= Corticium after canker development and the main stem towards the
salmonicolor B. & Br.), the cause of pink disease, is widely latter part of the rainy season. The affected plants are killed
distributed in the tropics and sub-temperate regions of Asia, outright in E. grandis and E. globulus. In E. tereticornis,
Africa, West Indies, New South Wales and New Zealand. It however, infection on the stem or branches causes girdling
attacks many plants of economic importance like coffee and and death of parts above the girdled region. Simultaneously
cinchona in Java, tea in Ceylon, cocoa in West Indies and below the region of girdling, many epicormic branches
rubber in India and Malaysia. It attacks Eucalyptus planted as develop, one of which becomes the leader, which again
exotic. In India, it is recorded on Eucalyptus grandis (Hill) becomes infected and killed in the following year, and the
Maiden, Eucalyptus tereticornis Sm., Eucalyptus citriodora process continues resulting in diminution of height growth of
Hook. and Eucalyptus globulus Labill and probably other plants. The growth increment and productivity become seri-
species. The fungus is recorded on E. grandis and Eucalyptus ously affected in plantations where the disease is epidemic.
camaldulensis Dehn. in North East Brazil and on Eucalyptus If plants escape infection at an early age, they put up good
kirtoniana F. v. m. in Costa Rica. The fungus has a wide host height and diameter growth. However, such trees subse-
range comprising of 141 species of woody plants belonging quently become infected on the main bole resulting in
to 104 genera (Sharples 1936). In India, fungus is recorded on cankers splitting and cracking of bark and exposure of
a wide range of forest trees including Acacia leucophloea wood. Gum eventually exudes from the resultant cankers.
Willd., Albizia falcataria (L.) Fosberg, Aleurites montana The attack is localised and girdling is usually not complete
E.H. Wilson, Anacardium occidentale L., Artocarpus and therefore, the main leader continues to grow and the
hetrophyllus Lam., Azadirachta indica A. Juss., Butea crown appears healthy. E. salmonicolor occurs on the host
monosperma(Lam.) Taub., Cassia siamea Lam., Casuarina in four growth forms as described below:
764 N. S. K. Harsh

1. Pustule: Pustules appear on branches and stem within a develops over the dead tissue, which produces many club-
few weeks after infection at the beginning of the monsoon shaped basidia and air-borne basidiospores as inoculums for
as pink- to salmon-coloured sterile cellular bodies up to fresh infection. Necator stage was not found in teak.
1 mm in diameter. Pink disease of teak has been reported from Karnataka,
2. Cobweb: The infected parts produce on the bark thin, India (Bakshi 1976), Indonesia (Schwartz 1926) and Laos
white, arachnoid mycelia originating from pustules or PDR (Khair Village, Paklai District, Xayaboury Province)
from the edges of the pink incrustation. (Harsh 2019) (Fig. 35.6). Pink disease of Bombax ceiba in
3. Necator: The fruit bodies are orange red, about 2 mm in 4-year-old trees was recorded during September at the end of
diameter and develop on upper side of the attacked branch South-West monsoon at Mampazhathara (Sharma et al.
exposed to sun. Conidia develop after the rains. 1985). The pink disease of Ailanthus triphysa was recorded
4. Pink incrustation: This comprises perfect stage of the at Kuttampuzha during 1980 and 1981 and in severe cases the
fungus and develops as thin, light pink incrustation on top of the diseased tree died due to complete girdling
the bark. It develops during autumn on stem and branches (Sharma et al. 1985). In Gmelina arborea low severity of
originating at the fork usually on the undersurface of the pink disease was recorded in the plantations at Kottappara
stem on the shady side, but spreads around the stem and Onthupacha.
later on.
35.3.6.6 Stem Canker and Die-Back in Ailanthus
The different stages of fungus develop on the bark, which triphysa
usually becomes killed. The disease is disseminated by the This disease caused by Lasiodiplodia theobromae (Pat.)
two sterile and two sporulating forms by wind to infect trees. Griff. & Maubl. was recorded in a 4-year-old plantation at
Effective control of pink disease of Eucalyptus has not yet Pothuchadi, Paravattani, Mala, and in a homestead at
been developed, though efforts are being made on the fol- Mullakkara in Trichur area (Sharma et al. 1985). Initially
lowing lines. In high rainfall areas in Kerala and Karnataka small longitudinal cracks up to 30–60 cm in length appeared
where the pink disease has limited the success of E. grandis on the main stem at Paravattany and a dark gummy substance
and E. tereticornis, it may be necessary to replace them with could be seen oozing. Immediately below the canker numer-
other species of Eucalyptus or other fast-growing species ous epicormic branches developed, which got infected later
suitable for pulpwood and at the same time look for resis- due to spreading canker showing fructifications of the casual
tance to pink disease. This may be determined from species organism on the surface (Sharma et al. 1985). The plants
trials when the performance of the species and their resistance showed symptoms of decline disease at Pothuchadi with a
to the disease may be ascertained in the field. It may be sparse crown showing fewer and yellowed leaves. The infec-
mentioned that E. torlliana F. v. M., growing in heavily tion started at the root collar several millimetres deep rapidly
diseased locations, exhibits certain degree of freedom from spreading upwards, and several epicormic branches emerged.
the disease. The basal stem canker reached downwards to the root system
Pink disease in young was also observed in 1–5-year-old causing the infected trees to get killed due to complete
plantations of teak (Tectona grandis). It was also recorded girdling of the outer bark (Sharma et al. 1985), due to the
from Kerala from areas that receive high rainfall causal organism of the disease.
(ca. 3000 mm annually) and was prevalent during the mon-
soon period (June–September) (Sharma et al. 1985). 35.3.6.7 Eucalyptus Cankers
The disease is characterised by a pink encrustation formed Cryphonectria cubensis and Cryphonectria gyrosa cause
over a canker on the stem. The infection results in killing of serious stem and branch cankers in Eucalyptus grandis and
inner bark with phloem and cambial tissue and further devel- other species in Kerala (Sharma et al. 1985) (Fig. 35.7). The
opment of a canker. The portion of the branch and shoot pathogens invade through growth cracks at the base, branch
above the canker gets killed outright after complete girdling stubs and occluded suppressed branches. The pathogens can
by the pathogen. Longitudinal splitting of the bark is rampant grow from basal cankers on stumps to attack newly devel-
during the dry weather. Epicormic branches develop soon oped coppice stem (Barnard et al. 1987). Ascospores and
below the canker. conidia of C. cubensis are found in South America (Hodges
Development of cobweb stage is the first sign of the 1980), India (Sharma et al. 1989), Indonesia, Thailand and
infection on the stem during the monsoon followed by Vietnam (Old et al. 2003) whereas in Africa, only conidia
small pin-head size white mycelial bodies called pustules have been found (Wingfield et al. 1989). High rainfall
that develop over the cobweb. Brown depressions in the (>2000 mm), high humidity throughout the year, average
bark of this area are visible and leaves show wilting. The temperatures 23 °C or higher and the presence of susceptible
perfect stage, which is in the form of pink encrustation, host species favour the spread of the disease by C. cubensis.
Information on the pathology of C. gyrosa is limited as
35 Diseases of Tree Species 765

Fig. 35.6 Pink disease in teak

compared to C. cubensis. Large basal cankers can kill trees the disease has been successfully achieved through hybrid
during the first 2–3 years of growth, whereas several metres plantations of E. grandis × E. europhylla and selection of
large perennial cankers develop on the stem in older trees. resistant genotypes within these hybrids in Brazil. Clonal
Alfenas et al. (1983) reported that in susceptible species or propagation of resistant genotypes and selection for resistant
clones, up to 50% trees in plantations have been killed under hybrid clones based on E. grandis and many other pure
favourable climatic conditions. Cankers cause death of species were also made in South Africa (Van Zyl and
phloem, cambium and sapwood with partial girdling of Wingfield 1999; Van Heerden and Wingfield 2002).
trees and copious flow of kino. Economic effects of A bark split and canker disease in Eucalyptus clone
C. cubensis canker are reduced growth rate (Camargo et al. No. 413 caused by Botryosphaeria dothidea was reported
1991), reduced coppicing (Hodges and Reis 1976; Sharma by Chandra et al. (2016) from Haryana, causing as much as
et al. 1985; Barnard et al. 1987) and increased mortality 100% mortality in water-logged areas. They found copper
(Boerboom and Maas 1970; Hodges et al. 1979). Ferrari oxychloride spray effective in controlling the disease in field.
et al. (1984) reported significant loss in wood yield when
cankers are affecting more than 25% of the utilisable stem 35.3.6.8 Casuarina Stem Wilt and Bark Blister
length. The canker-affected wood is denser with short fibres Disease
and thinner cell walls and contains more extractives and The disease is caused by Subramaniospora vesiculosa (=
lignin (Foekkel et al. 1976). Apart from loss in pulp yield, Trichosporium vesiculosum) and first reported by Butler
an increase in extractives adversely affects bleaching. Stands (1905) from India. Bakshi (1951) reported nearly 50% mor-
with more than 50% infected trees are not suitable for pulping tality due to this disease. The disease symptoms include
(Foekkel et al. 1981). yellowing and drying of needles resulting in wilt. On the
stem bark blisters develop due to formation of the spores
Control beneath the bark, which soon rupture to expose black pow-
Some species of Eucalyptus are more susceptible to dery mass of spores. Sporulation is also noticed on the roots
C. cubensis such as E. grandis and E. saligna, which and the disease spreads through root-to-root contact showing
adversely affects the plantations of these species. Control of diseased trees in groups.
766 N. S. K. Harsh

Fig. 35.7 Eucalyptus stem

canker by Teratosphaeria
zuluensis

Unscientific lopping and pruning leads to establishment 35.3.7.1 Root Rots

and spread of the disease in plantations. Wound dressing after
cutting of branches should be used. Early removal of dead Root Rot in Wet Shorea robusta (Sal) Forests
and diseased trees checks the spread of the disease in the In Assam, Odisha, Uttar Pradesh and northern parts of West
plantation. Bengal, high rainfall aided with fire protection measures
adopted during 1940s and 1960s resulted in excess soil
moisture and heavy weed growth (Bakshi 1976). This
35.3.7 Diseases of High Forests exposed them to the root-rot pathogen Aurificaria shoreae
(= Polyporus shoreae) causing root rot called Partridge root
In old forests and older plantations established as forests, rot because of its peculiar pattern. The symptoms comprised
diseases cause damages and loss of productivity. Some of top dying, mortality, uprooting and wind-throw. The
major diseases are mentioned below. removal of diseased/dead trees helps in inoculum eradication
35 Diseases of Tree Species 767

and disease management. Controlled burning to lower soil host to dwarf mistletoe and also a valuable cash crop, was
moisture and checking weed growth is effective in reducing also suggested.
soil moisture and controlling the disease. Another leafy mistletoe Taxillus kaempferi causes severe
damage in conifers in neighbouring Bhutan (Yangchen 2017)
Root Rot in Conifers and Hardwoods (Fig. 35.8).
The root-rot affected trees showed top-dying symptoms pre-
ceded by yellowing of leaves and reduction of crown. Root- 35.3.7.4 Heart Rot: Decay in the Heartwood
rot diseases spread very rapidly from tree-to-tree through of Standing Trees
root-to-root contact. The affected trees are liable to wind- Heart rot is the disease that causes decay in the heartwood
throw as the anchor roots get decayed and thus are unable to amounting to extensive loss of wood volume in living trees.
hold the trees. The falling trees injure nearby ones also. Root At advance stages of decay in the heartwood, the disintegra-
rot is caused by Armillarea mellea and Heterobasidion tion of rotten wood leaves a clear hollow bole in the centre of
annosum in conifer forests and by Phytophthora cinnamomi the tree. External indicators like swollen boles, punk knots,
in Cedrus deodara in the temperate parts of the country, and branch stubs, dead branches and sporophores are prominent
by Ganoderma lucidum in tropical and subtropical deciduous in malformed and heart-rotted trees for marking and extrac-
and dry deciduous forests of hardwoods such as teak, acacias tion. The heart-rot-causing fungi belong to Basidioimycotina,
and dalbergias. which are responsible for causing white or brown rot in the
Control measures of root-rot diseases have already been wood and spoiling the merchantable quality of the timber. In
mentioned under plantation diseases. majority of cases the fungi belonging to genera Fomes,
Fomitopsis, Hymenochaete, Inonotus, Phellinus, etc. cause
35.3.7.2 Dying of Dry Sal (Shorea robusta) decay in the heartwood. Heart rot in three important species is
Widespread drying and dying of sal trees in Bihar, Uttar discussed below
Pradesh and Madhya Pradesh was investigated by Prasad
and Jamaluddin (1985). The symptoms include top-dying Sal high forests: In sal forests of the Sivaliks, incidence and
and mortality and the causes were identified as lessening of volume of decay was high and, in an appraisal, nearly 70%
soil moisture due to continued droughts and site deterioration trees were found affected resulting 10% loss in wood
by fire, grazing and soil erosion. Protection from fire and volume (Bakshi 1976). External indicators exhibited by
grazing and contour trenching to hold water run-off were the affected trees were swollen bole, punk knots, branch
recommended. stubs and fruiting bodies of fungi. Injuries caused by frost
to young plants establish heart rot by Phellinus
35.3.7.3 Dwarf Mistletoe on Blue Pine caryophylli causing classical punk knots on the outer
In low rainfall areas in the Himalayas, dwarf mistletoe side of the bark. Fire injuries establish heart rot by
Arceuthobium minutissimum causes heavy damage to blue Hymenochaete rubiginosa. Protection of trees from
pine (Pinus wallichiana) in Uttarakhand, Himachal Pradesh injuries due to frost and fire, removal of decayed trees
and Jammu & Kashmir (Bakshi 1976; Shukla and Singh during thinning, improvement and selection felling, low-
2007; Rawat et al. 2007). The infection shows spindle-shaped ering of rotation age and eradication of fruiting bodies of
or fusiform swellings on branches or main stem causing fungi were the management practices suggested.
deformity resulting into witches’ brooms, die-back and Sal coppice forests: Decay passes to trees when coppice
death of affected branches. Heavy infection results into shoots are retained with heart rot in the stool and limitation
stunting of the trees leading to mortality (Bakshi and Puri of rotation age is up to 15–20 years. Coppicing from stools
1971). A. minutissimum is one of the smallest flowering plant should not to be allowed and plants of seedling origin be
parasites. The infection spreads by its fruits (berries), which allowed to grow.
on ripening develop internal pressure to eject the seeds with Dry coppice teak: In dry locations in western parts in
great force sometimes up to ten metres in distance. The seeds Gujarat, teak is worked on a system coppice-with-standard
get adhered to the branches and stems due to their mucilage on a rotation of 30 or 48 years. At the end of the rotation,
content and upon germination initiate infection. Management trees exhibit unsoundness/hollowness extending up to
can be done by sanitary cuttings of diseased trees and 2–4 m in the stem. After felling side and callus shoots
branches in lightly infected stands whereas clear felling and arise from the stool, but the practice was to remove the
burning are recommended in heavily diseased stands. New side shoots and retain callus shoots. Due to connection
regeneration should be delineated by 20 m width (effective between the heartwood of the stool and callus shoots, the
range of dispersal of seeds of dwarf mistletoe is 10 m). decay passed on to them (Singh et al. 1973). It resulted in
Species substitution by Pinus gerardiana, which is not the large-scale dying. At the end of the rotation or before, dry
teak commonly exhibits unsoundness. The incidence was
768 N. S. K. Harsh

Fig. 35.8 Leafy mistletoe Taxillus kaempferi. (Photo by Tashi Yangchen)

reported as high as 50%. Trees from high coppice and side eradication of fruiting bodies of the fungus were
shoots develop decay from the stool by the fungus recommended (Bakshi 1976).
Rigidoporus zonalis in Gujarat. Timely application of
management and silvicultural practices may prevent or 35.3.7.5 Spike Disease of Sandalwood
reduce losses due to heart-rot disease in trees. Thinning Sandalwood (Santalum album) spike disease is unknown
and improvement felling help in stand management. By outside India. This infectious disease caused by phytoplasma
retaining the side shoots of lower origin, the chances of (mycoplasma) is transmitted by insect vectors from plant to
decay entering from the stool into the coppice shoots plant. No cure could be found for this disease. Every year
could be lowered as they develop their independent root nearly 1–5% of sandalwood trees are lost due to spike dis-
system. The coppicing height of 10–15 cm was found ease. The researchers have warned that the entire natural
suitable for initiation of low side shoots and discouraging population of sandalwood is at the threat of elimination if
callus and high side shoots, which are more susceptible to suitable measures are not found to check the spread of the
heart rot. Removal of coppice and high side shoots during disease. The delay in checking the disease poses serious
cleaning operations was recommended to reduce the threat of its spreading to cultivated sandalwood trees. Severe
damage. reductions in the size of the leaves and in the length and the
Teak high forests: Heart rot in dry teak was observed in breadth are the characteristic symptoms of the disease. Due to
Madhya Pradesh, which was caused by Perenniporia shortening of the internodes, the leaves become closely
tephropora (Harsh and Tiwari 1995). In the appraisal crowded standing out stiffly like spikes from the branch
38–88% trees were found affected entailing a loss of giving a rosette appearance. Leaves stand out like spikes
about 11% in wood volume. The annual monetary loss and hence the disease is so named. Leaves become yellowish
was estimated to be around 200 million rupees based on and may turn reddish tinge later on. Leaf formation and their
the market value of teak wood. development are affected. The infected shoots show continu-
Blue pine (Pinus wallichiana): In western Himalaya, blue ous apical growth and have a drooping habit giving a pendu-
pine trees were heavily lopped to permit sunlight for lous appearance to the spike. Infected branches have flowers
agriculture and horticulture crops. The wounds exhibiting phyllody (retrograde metamorphosis of floral
established Phellinus pini, causing heart rot in the stem. organ). Clustering of branches results into witches’ broom.
Restriction of lopping, removal of decayed trees and
35 Diseases of Tree Species 769

Removal of infected host trees manually and avoiding Rot of Growing Culms
monoculture of sandalwood are recommended. Different After injuries on culm sheaths and nodes made by the
host plants of sandal impart resistance or susceptibility to sap-sucking insect Purohita cervina, a fungus Fusarium
spike disease in sandal. The host plants Azadirachta indica, equiseti starts infection. Water-soaked greyish-brown
Bambusa arundinacea, Cassia siamea, Casuarina spindle-shaped lesions start developing at the base of culm
equisetifolia, Dalbergia sissoo, Dodonea viscosa, Ficus sheaths, which enlarge to form dark necrotic areas on the
benghalensis and Murraya konigii provide relative resistance entire sheath and cause rotting of culm surface below.
whereas Caesalpinia coriaria, Acacias, Cajanus cajan, Lan- Severely infected culms cease to grow, become shrivelled
tana camara and Pongamia pinnata render sandalwood sus- and fall off.
ceptible to spike disease and should be avoided. The selection Insecticidal spray to control the sap-sucking insects and
of host plants should be confined to fast-growing species with spray with 0.1% Bavistin and 0.1% Copper oxychloride is
a light crown, as sandalwood is essentially a light-demanding useful in controlling the disease.
species. Apart from the acquired resistance imparted to san-
dal by host plants, freedom from spike disease could possibly Die-Back of Branches
also be due to the fact that the top canopy serves as a Gradual death of the branches from the tip backwards is
protective umbrella against vectors transmitting the disease caused by Fusarium pallidoroseum. The repeated die-back
to sandalwood trees. Phytoplasma diseases in plants are results in deformity.
known to be amenable to treatment with antibiotics, which Spray with 0.1% Bavistin and 0.1% Copper oxychloride is
however cause temporary emission in disease symptoms as useful in controlling the disease.
obtained for spike disease in sandalwood through use of
tetracycline or with benlate, a systemic fungicide. The recov- Sheath and Culm Blight
ery from the disease lasts only for few weeks after which the The disease has been reported from the coastal areas of Orissa
symptoms reappear. Spike-disease-resistant sandalwood may and causes severe mortality in Bambusa bambos. It is caused
be developed through selection of apparently resistant sandal by Sarocladium oryzae, a common sheath blight pathogen in
trees in a heavily spiked area and testing them for resistance rice fields (Jamaluddin et al. 1992).
to spike disease through grafting and insect transmission test. Cleaning of leaf litter and debris and spraying with 0.3%
Resistant individuals thus screened can be propagated vege- Dithane M-45 and 0.2% Copper oxychloride have been
tatively in future. Indian sandalwood may be hybridised with reported to control the disease.
other species of Santalum to develop desirable hybrid resis-
tant to spike disease. Culm Rot
Initially profuse white mycelial growth at the base of clumps
35.3.7.6 Diseases of Bamboos spreading over dried fallen leaves is noticed which is soon
followed by circular- to fan-shaped white mycelial patches
Foliar Diseases in Nurseries (subiculum) spreading over the culm sheath. Needle-shaped
Foliar diseases are serious because they cause premature white to dirty white, branched fruiting bodies arise from the
defoliation apart from checking and reducing photosynthetic affected culm surface from the subiculum with a clear disc-
activity, which reflect on the vigour of planting stock. There like attachment at the base of the fruit bodies followed by
are many foliar diseases occurring in bamboo nurseries but necrotic lesions on the culm surface and curling of internodes
most common are leaf spots caused by Exserohilum and shortening of nodes, resulting into deformity. Ultimately,
rostratum and leaf rust by Dasturella divina. drying up of culms from tip backwards results in mortality.
The pathogen is Pterulicium xylogenum. Harsh et al. (2005)
Diseases of Culms found that the disease can be controlled to an appreciable
Diseases of culms reported by Mohanan (1997) are level by spraying and drenching with a mixture of 0.05%
discussed here. copper oxychloride and 0.05% carbendazim.

Rot of New Culms Fungal Deterioration in Storage and Use of Bamboos

The new culms soon after emergence are attacked by the Bamboos are subjected to fungal deterioration during storage
fungus Fusarium verticillioides and killed. Initially greyish and use, affecting their strength and aesthetic values. Nearly
brown lesions cover the culm sheath but later on whole culm 27% bamboo is lost by weight during 1 year of outside
tissue gets affected. storage due to fungal decay (Harsh and Kapse 1999). Fungal
Cleaning around the soil and drenching with 0.1% decay especially of white rot type decomposes both lignin
Bavistin and 0.1% Copper oxychloride is useful in and cellulose and affects the pulp and paper quality and
controlling the disease. quantity and also adversely affects the strength properties.
770 N. S. K. Harsh

The common decay fungi are Coriolopsis telfarii, Datronia of white fibrous rot and white pocket rot types in the
caperata, Flavodon flavus, Lenzites acuta, Polyporus affected wood.
arcularius, P. grammocephalus, Schizophyllum commune,
etc. (Harsh and Kapse 1999). Dry Rot
Proper storage conditions to facilitate faster drying and Dry and friable condition of rotted wood is known as dry rot,
seasoning and early utilisation can help reduce the losses due found mostly in buildings. Particular decay of timber is
to decay. Biological control using Trichoderma spp. has been brought about by the activity of fungus Serpula lacrymans
reported for the management of fungal decay of stored (= Merulius lacrymans). Lacrymans means ‘weeping’; dur-
bamboo. ing active growth, numerous globules of water sparkle in
light as tear drops. Merulius refers to the bright yellow
Stains and Moulds colouration of mycelium similar to colour of the beak of a
Being rich in carbohydrates, the cut and split bamboo are male blackbird (Merula). Mycelium on timber surface is
soon attacked by various moulds that impart different colours found as thin sheets of silvery-grey or mouse grey-tinged
and stains. Common fungi are species of Alternaria, Asper- with bright yellow patches in dry conditions. Rusty
gillus, Cladosporium, Curvularia, Fusarium, Monilia, Peni- red/mustard yellow spores germinate at wood moisture of
cillium, etc. The problem can be resolved by proper drying 20–30%, though hyphae can colonise timber even at a lesser
and seasoning soon after felling and splitting. Besides, spray moisture content of 20% and optimum growth occurring at
with 1% Borax or Boric acid soon after felling is also found 30–40%. The term dry rot comes as the rot occurs at low
useful in checking this problem. moisture content of wood as compared to other wood decay.
Fruit body of M. lacrymans is thin, pan-cake like, white/
yellow round the edges with centre thrown into corrugation.
35.3.8 Fungal Decay and Discolouration (Stain) Decay is of brown-rot type, and decayed wood shows deep
of Wood/Timber transverse and longitudinal fissures as cuboidal cracking.
Rhizomorphs are brittle when dry and flexible when moist,
35.3.8.1 Decay or Rot up to 6 mm in diameter and formed from hyphae to form
Breaking down of wood and change in its physical and vein-like structures. They can spread through plaster, brick-
chemical properties is called decay or rot. A wood-decaying work and masonry and can reach out several metres.
fungus utilises sound wood by enzymatic degradation of the Rhizomorphs are conducting strands that transport nutrients
wood cell walls. Fan-shaped patches, strands, rhizomorphs, and moisture. Metabolic breakdown of wood by the myce-
fruit bodies as mushrooms, brackets or crusts are the lium produces water, which is translocated from one timber
distinguishing structures of wood-decaying fungi. Lignin- to another via these thick strands. Dry rot requires a moisture
cellulose/cellulose are used as food by the mycelium that content of timber above 20%, which is essential for dry rot to
enters the wood cell walls. Heartwood in standing trees is occur, and it becomes dormant below 20% and
attacked by some decay fungi causing heart rot, and adjacent eventually die.
sapwood is also attacked sometimes. Most of the wood-
decaying fungi can be seen growing on logs, sawed and Management
structural timber, poles, etc. It is not unusual that some • Cut out all timber showing cuboidal cracking, mycelium
decay fungi continue to grow from trees to converted wood and sound timber within a radius of 1 m and burn.
products. The wood having moisture above fibre saturation • Hack away all plaster and rendering coats and remove any
point (27–30%) but below wetness is attacked by the wood- skirtings, linings, studding, panelling and ceilings, over or
decaying fungi. Decay and discolouration of wood occur through adjacent brick, block, concrete or timber surface
simultaneously. Rots are of following types. necessary to trace extent of mycelium.
• Thoroughly clean with a wire brush all surface up to a
Brown Rot radius of 2 m; collect dust and debris and burn.
In brown rot of wood, cellulose is utilised while the lignin • Subject to heat treatment all bricks, block, concrete and
remains unaltered or slightly modified. The cuboidal cracking earth surfaces with a heat machine to kill surface myce-
of the wood is the distinguishing feature of brown lium and dry out excess moisture.
rotten wood. • Apply fungicidal fluid to all such brick, block, concrete
and earth surfaces.
White Rot • Apply two coats of fungicidal fluid to all timber surfaces
The lignin and cellulose components of the wood are utilised; adjacent to cutting away to a distance of 2 m.
wood becomes bleached retaining outward dimensions. It is • Select well-seasoned timber for replacement and replace
after giving fungicidal treatment.
35 Diseases of Tree Species 771

• Re-render with cement, lime and sand (1:1:6) and then development. Rapidly colonise ray parenchyma to utilise
apply two coats of 3-in. oxychloride paint. readily available carbohydrates, as they grow through the
• Check and remove causes of dampness. wood-pigmented hyphae and discolour the wood. Species
of Ophiostoma, Ceratocystis, Alternaria, Cladosporium,
Wet Rot Phialophora, etc. are the common species causing
Type of decay is white rot, producing a soft, felty or spongy discolouration. Species of Ophiostoma and Ceratocystis are
texture; attacks both softwoods and hardwoods and hollow associated with bark beetles and other wood-inhabiting
giant beams. Wet rot occurs in persistently damp conditions insects. Sticky spores are transmitted by insect vectors and
with optimum moisture content of 50–60%, such as in water splashing. During initial stages of lumber seasoning
cellars, mines, etc. It is caused by Coniophora cerebella and storage of logs, sap stains flourish. Other fungi (species
(cellar fungus) and other species like Coniophora puteana, of Alternaria, Cladosporium) are opportunists; their dry
Antrodia sp., Phellinus contiguus, Pleurotus ostreatus and spores are disseminated by air and attack wood in wide
Donkioporia expansa. Fungal strands are not as thick as that range of uses. Free water, adequate temperature (4–30 °C),
of dry rot, are brownish or black, and yellowish brown when O2 and a food source are required for the growth of sap stain
fresh. Fungal strands when growing on the surface of the fungi. Spores are either airborne and/or disseminated by
wood or plaster are vein-like and said to be similar to that of insect vectors (ambrosia beetles) and sawmill machinery
the blood vessels of the cerebellum, hence specific name for from infected wood to other surfaces. On landing on wood
C. cerebella. These conducting strands do not extend far surface, the spores germinate within hours and then penetrate
away from their nutrient source. White mycelium is not wood surface under favourable conditions through open
found and fruit bodies of fungi are rarely found in buildings surfaces of tracheids and wood rays. The growing hyphae
though common outdoors as a thin plate, are olive brown in by direct pit penetration rapidly colonise the parenchyma
colour, of indeterminate shape covered with small tubercles, cells in the wood rays or longitudinal parenchyma
and spores are less common. surrounding the resin canals. Movement of the infection
along the rays from the sides results into wedge-shaped
Management stain on cross-cut surfaces of logs. After some weeks, hyphae
• Remove timber that already suffered break down. penetrate the wood cell walls directly to move between
• Protect timber already attached by retaining adequate tracheid and fibre walls badly damaging the parenchyma
strength through prying. cells. Under suitable moisture conditions after prolonged
• Protect adjacent timber with possible latent attack. incubation, a few stain fungi act as soft rot fungi and attack
• Cut out and remove timber that suffered surface or S2 layer of tracheids, for example, Alternaria alternata.
sun-surface breakdown and burn all dust, dirt and debris. Sap stain/discolouration causes aesthetic and physical
• Select well-seasoned timber for replacement after two changes in wood properties and value. Stained wood
brush coats of fungicidal fluids and on adjacent surface consumes more bleach thus increasing the cost. Stained
of existing timber, brick, block and concrete. wood has aesthetic value as blue pine panels. Stains reduce
• Detect and remove defective damp courses and treat. wood toughness and are not recommended for structural
• Re-render with cement, lime and sand (1:1:6) and set in purposes. Stains are conducive for decay initiation. The
anhydrous plater. wood permeability is increased by removing pit membranes
so that wood rapidly becomes wetter and drier, absorbs
Other wood-decaying fungi found in buildings are Antrodia excessive solution during finishing and enhances the risk of
serialis, Daedalea quercina, Gloeophyllum sepiarium, fungal decay as it absorbs water.
Laetiporus sulphureus, Neolentinus lepideus, Paxillus
panuoides, Peniophora gigantea, Phellinus megaloporus, Management
Tyromyces placenta etc. • Quick removal of the logs from the forests, faster conver-
sion into dry lumber or storage in water ponds can prevent
35.3.8.2 Sap Stains or reduce the fungal staining.
The pigmented hyphae grow primarily in parenchyma tissues • Creating conditions unfavourable for the stain fungi such
of sapwood causing sap stains. Shades of blue, black, brown as keeping the wood dry, maintaining temperatures above
or grey, yellow, pink or green cause sapwood discolouration. or below optimum and protecting the wood from insect
The pigments secreted by hyphae cause stains predominantly attack can prevent blue stains.
of bluish discolouration and called ‘Blue stain’. Harvested • Moisture content of 20% or less does not allow blue stain
trees with higher percentage of sapwood when seasoned fungi to grow in wood. Temperatures above 65 °C are
under warm and humid conditions result into stains lethal to blue stain.
772 N. S. K. Harsh

• Blue stain fungi have sticky spores that are carried into large number of pathogens exist, however, only a few of them
wood by insects, so insect control measures are effective. become serious enough to cause epidemic diseases.
• Chemical wood preservatives or biocides make the sap Disease diagnosis is the first step in the treatment of a
wood unsuitable for blue stain fungi. disease. Accurate diagnosis of diseases of forest plants is a
• End-coating is the process of applying a wax-like barrier complex activity requiring a combination of many disciplines
at the log ends or other exposed areas to slow down related to plant health, such as botany, entomology, microbi-
moisture loss. End-coating of the logs can reduce the ology, plant pathology, plant physiology and soil science as
risk of stain fungi for a month or 2 if there is delay in well as broad exposure to forestry. The key features of a good
transportation of the logs from forest. diagnostician (plant doctor) are an inquisitive mind, a reluc-
• Use of a safe and registered fungicide at the exposed areas tance to jump to hasty conclusions, a persistent determination
of the log kills stain-causing fungi. to find the cause of a problem and a willingness to seek
• Mixing of logs with stain problems with sound logs is not additional information from other specialists in the field and
a good practice. reference texts.
Correct diagnosis and timely appropriate treatment can
35.3.8.3 Soft Rot help minimise the losses caused by the diseases in nurseries,
Savory in 1954 reported an unusual decay in wood by a plantations and high forests. The cost of control measures in
fungus Cheatomium globosum belonging to Ascomycotina, nurseries is bearable whereas in large plantation and forest
which he termed as soft rot. Macroscopic features include areas it becomes prohibitive. However, use of drones for
surface softness, and dull grey to brown colour showing spraying the pesticides has made it cost effective. For long-
surface cracking. Only water-soaked wood such as in cooling term effective control of diseases in forests and plantations,
towers, jetties and wooden poles put up in soil suffer from use of disease-resistant planting material is the answer.
soft rot. Soft rots showed the formation of unique longitudi- Increasing pressure on forests and forest produce will
nal bore holes also called diamond cavities in the S2 layer of demand more production, which will dictate the need of
secondary cell wall and are known as Type 1 soft rots. Some protection from diseases and insect pests besides other biotic
eroded the secondary cell wall similar to white rot and are and abiotic disturbances. With the changing climatic
called Type 2 soft rots. In soft rot, all the cell carbohydrates in conditions, there will be more outbreak of epidemics in the
the S2 layer of the secondary cell wall preferentially attack forests (Harsh 2014a).
forming longitudinal cavities (Type 1) or the cell wall is
gradually degraded from the lumen surface or S3 layer. Lessons Learnt
• Diseases of tree species are responsible for failure of tree
crops in nurseries, plantations and forests.
35.4 Conclusion • Timely diagnosis and control measures for the manage-
ment of these diseases are, therefore, key to the success of
The diseases and deterioration of forest plants and products tree crops.
cause severe losses to plantation and productivity targets, • For large areas of plantations and forests, disease-resistant
environment amelioration, ecological goods and services, planting material should be used to meet the desired goals.
and landscape development. The presence of a large number • Assessment of biotic and abiotic factors predisposing the
of susceptible hosts, an aggressive pathogen and favourable trees to diseases will help in controlling them.
environmental conditions determine the severity of a disease. • Use of information technology for the assessment of dam-
When all these factors corroborate with each other, outbreak age caused by diseases to tree crops and their management
of an epidemic disease occurs. In forest nurseries, planting will provide quicker and cost-effective solutions.
materials in beds and/or containers provide a continuous crop • Studies on climate change influence on diseases of trees
of seedlings and management practices like over- or under- will help in addressing the tree health issues in more
watering, overcrowding, injuries to root system while pragmatic way.
shifting, using same bed area year after year for same plant
species, inefficient use of fungicides etc. provide congenial Key Questions
conditions for the outbreak of epidemics. Epidemics occur 1. Why not the losses due to diseases and insect pests to the
when a continuous crop of hosts in monocultures in forest crops are estimated to justify the cost of control
plantations and a virulent pathogen are present. Under measures?
favourable environmental conditions, the indigenous 2. Do we have sufficient number of forest pathologists in the
pathogens and/or the pathogens introduced with the exotic country to address the disease problems in such vast areas
hosts may cause epidemics. Whereas in the natural forests a under plantations and forests?
35 Diseases of Tree Species 773

3. Do we prepare forest professionals to understand the Harsh NSK (2012) Disease resistance in genetic material in tree
importance of diseases and insect pests so that plantation improvement programme—screening disease resistance in trees.
Lambert Academic Publishing GmbH & Co., Saarbrücken, 69 p
managers can approach the specialists in time when Harsh NSK (2014a) Health and hygiene of national forests. In: Bhojvaid
problems arise in field? PP, Khandekar N (eds) Sustainable forest management for multiple
4. What is our preparedness in the face of challenges being values: a paradigm shift, vol 1. Forest Research Institute, Dehradun,
put up by the climate change scenario for diseases and pp 133–147
Harsh NSK (2014b) Shisham mortality—finding solutions for future
insect pests attack in the forests? plantations (2010–2014). Project Completion Report submitted to
5. Do the policy makers and general public take forests and ICFRE, Dehradun
trees seriously to understand their problems? Harsh NSK (2019) Annual progress report of the project “Improved
sanitary and phytosanitary (SPS) handling in greater Mekong Sub-
region (GMS) trade project in Laos PDR”. Submitted to the Asian
Development Bank.
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 Insect Pests of Forest Nurseries, Plantations
and Natural Forests and Their Management 36
N. Roychoudhury

Abstract 36.1 Introduction

There is a good number of tree species that always occur
in nurseries and plantations, each of which may be a host Insects constitute the largest class of the living world. Mani
for numerous insect pests. However, to develop effective (1989) reported that 12,000 species of fossil insects have so
control measures the insect must be responsible for eco- far been named. Out of 89,317 species of animals recorded in
nomic losses large enough to justify the costs of materials India (Alfred 1998), about 40,000 insect species are found in
and labour. Insect species, which normally occur in low forests and described (Beeson 1941). Browne (1968)
densities, are of little or no economic consequence. In published an annotated list with brief accounts of the princi-
such cases, control measure would be justified if the pal forest insect species and their food plants occurring in the
costs are minimal. The insects that do cause great damage British Commonwealth. Later on, many entomologists
to forest plants either consistently or sporadically should published books/brochures/bulletins/reviews/research papers
be the focus for possible implementation of control from different parts of India on forest insects and their host
programmes to develop long-term protection. plants (Joshi 1992; Jha and Sen-Sarma 1994; Nair 2007).
A good amount of research has been undertaken on the This chapter has presented aspects related to insect problems
insect pest problems of forestry species and to develop on forest plants, including recent published information
control measures. The key insect pests found on forest available on key insect pests of forestry species and their
plants are grouped as soil-inhabiting insects, defoliators, management with emphasis on biological options.
sap suckers and borers. To combat these insect pests, safer
chemical pesticides have been standardised and are suc-
cessfully being practiced to prevent insect damage. 36.2 Forest Insects
Emphasis is now being laid on developing biocontrol
strategy (screening resistance, biopesticides and classical The promising species for plantations in India include Acacia
biological control) against major insect pests. The serious spp., Eucalyptus species and Tectona grandis. Eucalyptus
problems of key insect pests of promising forestry species grandis, Eucalyptus camaldulensis and Eucalyptus
and the strategy of their management are mentioned in this tereticornis are most common, while among the acacias,
chapter. Acacia auriculiformis, Acacia catechu, Acacia mearnsii,
Acacia nilotica and Acacia tortalis are common. Other com-
Keywords monly planted species are Albizia spp., Azadirachta indica,
Casuarina equisetifolia, Dalbergia sissoo, Gmelina arborea,
Insects · Forestry · Defoliators · Sap-suckers · Borers · Populus spp., Prosopis spp., Shorea robusta and Terminalia
Biopesticides spp. Among conifers, Cedrus deodara and Pinus roxburghii
occupy a major area; Pinus patula and Pinus caribaea have
been planted to a limited extent. All these species are dam-
aged by various species of insect pests from the day of
flowering to seed setting, fruits, seeds, seed germination to
young seedlings, saplings, standing trees and stored timbers
(Stebbing 1914; Beeson 1941; Browne 1968; Joshi 1992;
N. Roychoudhury (✉)
ICFRE-Tropical Forest Research Institute, Jabalpur, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 775
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_36
776 N. Roychoudhury

Thakur 2000; Joshi and Jamaluddin 2007; Nair 2007; Wylie level. After hatching, larva bores into the stem and makes
and Speight 2012; Senthilkumar and Murugesan 2015). tunnels downwards hollowing out the main root. The larva
The regular outbreaks of insect pests seriously hamper the ejects frass from the borer hole that accumulates just above
growth and productivity of forests. Many groups of insects the ground level of stem. The larval duration is 9–10 months,
belonging to orders Coleoptera, Hymenoptera, Lepidoptera which then transform into pupa. Emergence of beetle takes
and Isoptera are the key pests that cause significant economic place through the hole made on the stem, just below the
loss. The important insects that cause damage to nursery ground level. The longevity of beetles is around 45 days.
stock are the cutworms, termites and cockchafers; besides, C. scabrator is a polyphagous insect. Alternative plant
some defoliators, sap suckers and shoot borers are key pests. species attacked by this insect include Acacia catechu, Cas-
Forest trees growing in man-made and natural forests in India sia siamea, Casuarina equisetifolia, Dipterocarpus alatus,
suffer serious periodical outbreaks of insects, which lead to Eucalyptus spp., Morus alba, Pithecolobium dulce, Prosopis
significant economic loss of quality and quantity of the tim- cineraria, Prosopis juliflora, Shorea robusta, Tamarix
ber productivity. According to earliest record given by indica, Tectona grandis, Terminalia chebula and Zizyphus
Fletcher (1914), India and Myanmar have a loss of Rs. 12.5 jujuba (Stebbing 1914; Beeson 1941; Browne 1968;
million due to insect damage to the forests and forest Chatterjee and Singh 1968; Jain 1996).
products. A good number of insects are found to damage Damage due to this borer results in tunnelling of the
tress in nurseries, plantations and naturally regenerating tap-root and the stem just above the ground, causing
forests in India, the list of which is presented in Table 36.1. arrestation of growth of the sapling and finally death of
plant. The length of the tunnel is about 60 cm. Fertile soil
helps in survival of healthy damaged plants by healing the
36.3 Insect Pests in Nurseries, Plantations wound as growth proceeds (Beeson 1941). The incidence of
and Natural Forests this insect attack is more where soil is not suitable to grow
A. nilotica.
36.3.1 Acacia nilotica (L.) Willd. ex Delile
Control Measures
Acacia (family Fabaceae) is well known as the wattles or Natural enemies of C. scabrator are not known and noticed to
acacias, a large genus of shrubs and trees. The genus Acacia be practically free of parasitoids and predators and due to this
includes nearly 1300 species (Turnbull et al. 1998), mostly reason, preventive and remedial measures for control of this
distributed in the Australian region. Acacia nilotica is com- borer have been suggested (Beeson 1941). The breeding
monly known as babul. centres from where the beetles spread to other areas are
believed to be the young and stagnating crops of A. nilotica
36.3.1.1 Insect Pests of A. nilotica when grown on poor dry soils. Therefore, as a preventive
Browne (1968) mentioned 40 species of insects belonging to measure, planting should be done only in the areas exclu-
the orders Coleoptera (14 species), Hemiptera (5 species), sively suitable for this species and other preferred plant
Isoptera (1 species), Lepidoptera (19 species) and Orthoptera species of C. scabrator should not be allowed. The suggested
(1 species) associated with Acacia nilotica subsp. indica. remedial measures include grubbing-up the damaged
They are defoliators, bark feeders, sap suckers, seed borers saplings by inserting a thick wire pour through the borer
and stem and root borers. In general, there is no major threat tunnel and killing the larvae. Alternatively, the damaged
to A. nilotica plantations from pests, although in some places sapling may be cut off at ground level and small quantity of
the stem and root borer Celosterna scabrator is rated as a crude oil, petrol or kerosene or 0.1% Dichlorvos (Nuvan) be
serious problem. poured into the open tunnel through the exposed hole and
then, it should be sealed with soil (Joshi and Jamaluddin
Celosterna scabrator Fabricius 2007). The beetle collection can also be done from the plants
Celosterna scabrator (syn. Cerosterna scabrator) (Coleop- and killed.
tera: Cerambycidae) is popularly known as babul borer in
India, due to its frequent presence in plantations of
A. nilotica. The beetle is 25–40 mm in length and dull 36.3.2 Ailanthus excelsa Roxb.
yellowish brown in colour (Fig. 36.1). In India, the life
cycle of this insect has been worked out by Stebbing (1914) Ailanthus (Family Simaroubaceae) is a genus of trees, gener-
and Beeson (1931). The life cycle is annual. Emergence of ally known as tree of heaven and native of Asia and Australia.
adults from the host plant starts with the onset of monsoon Ailanthus excelsa Roxb., commonly known as mahanimb or
during June–July and feed on the bark of young shoots. Eggs maharukh in India, is an important promising plantation
are laid single, one egg per stem, within 15 cm above ground species.
36 Insect Pests of Forest Nurseries, Plantations and Natural Forests and Their Management 777

Table 36.1 Key insect pests of forests in India

Scientific name
Host Common name (Order: Family) Occurrence
Acacia nilotica Babul borer Celosterna scabrator Plantation
(Coleoptera: Cerambycidae)
Ailanthus excelsa Ailanthuswebworm Atteva fabriciella Nursery and plantation
(Lepidoptera: Yponomeutidae)
Albizia procera Albizia foliage feeder Spirama retorta Nursery and plantation
(Lepidoptera: Noctuidae)
Bamboos Bamboo leaf roller Crypsiptya coclesalis Nursery, plantation and natural forest
(Lepidoptera: Pyralidae)
Casuarina equisetifolia Australian bug Icerya purchasi Nursery and plantation
(Hemiptera: Margarodidae)
Cedrus deodara Deodar looper Ectropis deodarae Plantation
(Lepidoptera: Geometridae)
Dalbergia sissoo Shisham defoliator Plecoptera reflexa Plantation
(Lepidoptera: Noctuidae)
Eucalyptus species Blue gum chalcid Leptocybe invasa Nursery
(Hymenoptera: Eulophidae)
Gmelina arborea Khamer defoliator Calopepla leayana Plantation and natural forest
(Coleoptera: Chrysomelidae)
Leucaena leucocephala Jumping louse Heteropsylla cubana Nursery and plantation
(Homoptera: Psyllidae)
Picea species Spruce budworm Eucosma hypsidryas Plantation
(Lepidoptera: Tortricidae)
Pinus roxburghii Chir pine defoliator Cryptothelia crameri Plantation
(Lepidoptera: Psychidae)
Populus species Poplar defoliator Clostera cupreata Nursery and plantation
(Lepidoptera: Notodontidae)
Salix species Indian gypsy moth Lymantria obfuscata Plantation
(Lepidoptera: Lymantriidae)
Shorea robusta Sal borer Hoplocerambyx spinicornis Natural forest
(Coleoptera: Cerambycidae)
Sal defoliator Lymantria mathura Natural forest
(Lepidoptera: Lymantriidae)
Sal defoliator Trabala vishnou Natural forest
(Lepidoptera: Lasiocampidae)
Swietenia species Mahogany shoot borer Hypsipyla robusta Nursery and plantation
(Lepidoptera: Pyralidae)
Tectona grandis White grubs Holotrichia spp. Nursery
(Colepoptera: Scarabaeidae)
Teak defoliator Hyblaea puera Nursery, plantation and natural forest
(Lepidoptera: Hyblaeidae)
Teak leaf skeletoniser Eutectona machaeralis Nursery, plantation and natural forest
(Lepidoptera: Pyralidae)

36.3.2.1 Insect Pests of A. excelsa thread. The impact of defoliation of this insect is very serious
About 71 species of insects of A. excelsa were recorded by (Fig. 36.2). The female moths lay eggs on young tender
Mishra (2001). This includes both nursery and plantation leaves. The larvae exhibit gregarious feeding habit and stick
pests, such as defoliators, leaf rollers and miners, tree borers, the leaves together with silken web, making the damage
bag worms, leaf-eating beetles, grass hoppers, sap suckers, conspicuous. The last instar larva is about 20 mm and green-
midges, hymenopterous insects and termites. Among all, ish grey, with presence of pale longitudinal stripes and
Atteva fabriciella is a key insect defoliator of A. excelsa. scattered short hairs arising from small, whitish warts
(Browne 1968) (Fig. 36.3). The larval duration varies from
Atteva fabriciella Swederus 13 to 28 days. Formation of pupa occurs in transparent boat-
Atteva fabriciella (syn. Phalaena fabriciella) (Lepidoptera: shaped cocoons and pupal duration ranges from 7 to 10 days
Yponomeutidae) is well known as Ailanthus webworm due (Beeson 1941). The moth is small and slender and wing
to larval behaviour of webbing the leaves together with silk expanse varies from 25 to 30 mm. The moth is dark orange
778 N. Roychoudhury

in colour, with white spots of variable size on the forewing

(Nair 2007). The duration of life cycle varies from
21 to 48 days, depending on weather conditions and food
availability. In Central India, this insect shows ten
generations per year. The insect population increases during
June–July and declines gradually during summer months
(Mathur et al. 1970).
Varma (1996) has reported that this insect defoliator is
also a key pest of Ailanthus triphysa. Besides Ailanthus
species, A. fabriciella is also noticed to be a defoliator of
Boswellia serrata, Santalum album and Quassia indica
(Beeson 1941; Browne 1968; Mohanadas and Varma 1984).
Severe attack and repeated defoliations of A. fabriciella on
A. excelsa plants cause mortality of seedlings and saplings
and significant loss in growth increment, particularly in
plantations (Thakur 2000). Older plants when severely dam-
aged lead to die-back and seed formation is badly hampered
by larval feeding and boring activities, thus affecting seri-
ously the seed production.

Control Measures
Efficacy of varietal toxins of Bacillus thuringiensis (B.t.), var.
Fig. 36.1 Adult beetle of Celosterna scabrator. (Source:
dendrolimus, kurstaki and thuringiensis against larvae of
Roychoudhury and Mishra 2020e) A. fabriciella has revealed that 1.5% concentration can be

Fig. 36.2 Damage caused by

Atteva fabriciella to Ailanthus
excelsa. (Source: Roychoudhury
and Mishra 2020f)
36 Insect Pests of Forest Nurseries, Plantations and Natural Forests and Their Management 779

Fig. 36.3 Larvae of Atteva

fabriciella. (Source:
Roychoudhury and Mishra 2020f)

used irrespective of toxins for spraying in nursery and plan-

tation to kill larvae (Joshi et al. 1996). Roychoudhury and
Joshi (2009) and Roychoudhury and Mishra (2020a) have
suggested to use biopesticide, 0.05% Ivermectin (Ivecop-12)
as a foliar spray for management of A. fabriciella larvae.
Roychoudhury et al. (2009) and Roychoudhury and Mishra
(2020b) have recommended to use biopesticide 0.001%
Spinosad 45% Suspension Concentrate (SC) (Spintor 45%
SC) as a foliar spray for control of A. fabriciella larvae.
Bioassay of a series of contact insecticides against the third
instar larvae of A. fabriciella has showed that Formothion
(0.004298%) and Chlordimeform (0.004624%) are most
effective to manage larval population (Singh and Gupta
1978a). Meshram and Jamaluddin (1989) have carried out a
field trial and suggested that control of the present insect may
be achieved by applying 0.02% Monocrotophos.
Roychoudhury et al. (1995b) studied efficacy of different
chemical pesticides against A. fabriciella larvae in laboratory
and suggested judicious use of 0.004% Cypermethrin or
0.04% Monocrotophos or 0.07% Malathion for larval control
in nursery and plantation. Joshi and Jamaluddin (2007) have
recommended for dusting with 5% Malathion during May–
June for larval management.
Fig. 36.4 Seedlings of Albizia procera

nitrogen-fixing ability, this tree species is preferred by

36.3.3 Albizia procera (Roxb.) Benth.
farmers (Anonymous 1994).
Albizia (Family Fabaceae) is a genus of about 160 fast-
growing species, occurring in Africa, America, Australia
36.3.3.1 Insect Pests of A. procera
A. procera is always threatened by insects. About 59 insects
and Asia. Albizia spp. are commonly known as siris. Around
have been identified on this species, out of which 33 insects
16 species of Albozia are native to India. The most common
species are recorded on green plant (Browne 1968;
and popular species of these is Albizia procera (Roxb.)
Roychoudhury and Sambath 1998; Roychoudhury 2002).
Benth., commonly known as white siris and is native to
Among all, Spirama retorta is a devastating key pest in
India. This species is distributed throughout the
nurseries and plantations of A. procera (Fig. 36.4).
sub-Himalayan tract and Central and South India. Having
780 N. Roychoudhury

Spirama retorta Clerck

Spirama retorta (syn. Phalaena retorta) (Lepidoptera:
Noctuidae) is known as the Indian owlet-moth, found in
India, Bangladesh, China, Korea, Japan, Nepal, Thailand,
Myanmar, Sri Lanka, Malaysia, Philippines and Indonesia.
Eggs are laid by female moth on new shoots and eggs hatch
in 3–5 days. The larvae undergo seven instars in a period of
25–27 days. The mature larva, dull yellowish-brown in col-
our, reaches 65 mm body length and 5.0 mm head capsule
width (Fig. 36.5). The head is brown with white lateral stripes
on the vertex. The larva is very active at night. The pupa is
dark brown in colour and the pupal stage lasts for 7–13 days
during July–October. The wingspan of the male is 64–76 and
66–88 mm in female (Fig. 36.6). Forewings are with arched
costa towards apex, which is nearly rectangular. Male is with Fig. 36.6 Adult moth of Spirama retorta. (Source: Roychoudhury and
a fold on inner area of hindwing, containing an erectile ridge Mishra 2022a)
of very long hair. Antennae are fasciculate. Male has dark
chestnut-brown coloured head and collar. Thorax is paler
with dark bands. Abdomen is crimson with triangular black seen along with two crenulate black lines inside the margin.
dorsal patches. Wings are fuscous brown. Hindwings are Ventral side is orange-scarlet coloured, each wing with cell
with indistinct antemedial, medial and traces of two spot, medial, postmedial and submarginal lines and series of
postmedial lines along with a submarginal line. Ventral side lunules inside the margin.
is suffused with dull red and having two medial lines and S. retorta is a leaf feeder of Albizia species. This insect is a
single postmedial line to each wing (Hampson 1894). Female key pest of Albizia lebbek and A. procera in forest nurseries
is basically ochreous coloured. Forewings have larger stigma and young plantations (Sambath and Joshi 1999). The
than male. Hindwings are with prominent markings. Two caterpillars are known to feed on Acacia mangium, Acacia
antemedial lines and an ochreous submarginal line can be auriculiformis, Acacia crassicarpa and Falcataria
moluccana (Sajap et al. 1997; Sajap and Samad 2000).
The frequent defoliation of S. retorta results in retardation
of growth and development of seedlings or trees (Beeson
1941; Sen-Sarma 1987). Larval host range and damage
impact of this pest in plantations of Albizia julibrissin have
been studied by Kim and Lee (1986).

Control Measures
Laboratory evaluation of varietal toxins of a bacterium Bacil-
lus thuringiensis (B.t.), var. dendrolimus, kurstaki and
thuringiensis against S. retorta larvae revealed that 1.5%
concentration of B.t. can be used irrespective of toxins for
spraying on seedlings in nursery and saplings in young
plantations to kill the larvae (Sambath and Joshi, Unpub-
lished). Roychoudhury and Joshi (2011) and Roychoudhury
and Mishra (2020a) have suggested to use biopesticide
0.02% Ivermectin (Ivecop-12) as a foliar spray for control
of S. retorta larvae. Roychoudhury (2015a) and
Roychoudhury and Mishra (2020b) have recommended to
use biopesticide 0.0005% Spinosad 45% SC (Spintor 45%
SC) as a foliar spray for management of S. retorta larvae.
Sambath and Joshi (1999) have worked out Lethal Concen-
tration50 (LC50) values of different insecticides against the
larvae of S. retorta and suggested to use of 0.002%
Fig. 36.5 Larva of Spirama retorta. (Source: Roychoudhury and Cypermethrin or 0.02% Chlorpyriphos or 0.02%
Mishra 2022a) Monocrotophos for larval killing in nursery and young
36 Insect Pests of Forest Nurseries, Plantations and Natural Forests and Their Management 781

plantation. Joshi and Jamaluddin. (2007) have suggested

foliar spraying of Monocrotophos 0.04% for control of
S. retorta larvae and spraying needs to be repeated after
15 days of interval.

36.3.4 Bamboos

Bamboo (Family Poaceae), the ‘poor man’s timber’ or the

‘green gold’, is well known throughout the world. Bamboo
has always been a material of culture in India (Soderstrom
and Ellis 1988). Bamboos are versatile group of monocots
consisting of nearly 75 genera and 1250 species and found
throughout the globe except Europe. India is endowed with
rich diversity of bamboo distributed in different agroclimatic
zones of the country and largest reserve of bamboo in the
world. There are 136 indigenous and exotic species of bam-
boo belonging to 23 genera in an area of 10.03 million ha
(Mohanan 1990).

36.3.4.1 Insect Pests of Bamboo

Bamboo has a rich complex of insect fauna and insect dam- Fig. 36.7 Bamboo leaf roll caused by Crypsiptya coclesalis. (Source:
age in varying degrees, right from the seed to the finished Roychoudhury and Mishra 2022b)
products (Tewari 1992a). Bamboo entomology reveals about
200 odd insects which infest various bamboos in India and its
adjoining countries, belonging primarily to Coleoptera,
Homoptera, Isoptera, Lepidoptera and Thysanoptera (Beeson
1941; Singh and Bhandari 1988; Thakur 1988; Singh 1990;
Joshi et al. 2008). The insect fauna of bamboo is grouped into
seed pests (2 species), nursery pests (5 species), defoliators
(48 species), sap suckers (90 species), culm and shoot borers
(12 species), borers (44 species) and termites (13 species) of
felled and dried bamboos (Tewari 1992a). Among all, leaf
rollers cause severe epidemic defoliation in bamboo (Mathur
1943). The most devastating bamboo leaf roller that occurs in
Indian subcontinent is Crypsiptya coclesalis.

Crypsiptya coclesalis (Walker)

Crypsiptya coclesalis (syn. Pyrausta coclesalis, Algedonia
coclesalis) (Lepidoptera: Pyralidae) is well known as a bam-
boo leaf roller (Tewari 1992a; Roychoudhury and Joshi
2008). It occurs up to 4000 ft elevation, with different sea-
sonal climatic factors, in the Indian subcontinent, Myanmar,
Indo-China, Sri Lanka and South East Asia (Mathur 1943;
Browne 1968; Tewari 1992a). The light green young larvae
of leaf rollers feed in groups and eat out the upper leaf tissues
causing transparent blotches on the leaves (Roychoudhury
and Joshi 2008). As they attain maturity, they scatter and start
webbing and rolling leaves for protection and concealment
(Fig. 36.7). The rolled leaves harbour one to five caterpillars,
which feed on the inner green leaves (Fig. 36.8). The attacked
bamboo clumps show skeletonised and brownish leaves Fig. 36.8 Larva of Crypsiptya coclesalis. (Source: Roychoudhury and
webbed together in branches. The outer leaves of the roll Mishra 2022b)
782 N. Roychoudhury

gradually wither, turn pale or straw colour and eventually 36.3.5 Casuarina equisetifolia L.
drop off. Caterpillars abandon the rolls after feeding and
migrate to fresh leaves, which are webbed together in a roll. Casuarinas (Family Casuarinaceae) are widely accepted plant
However, leaves on the lower branches are less attacked. species in the tropical countries due to their easy adaptability
Generally, larval population of leaf rollers appear with the to a variety of climatic conditions and also for their fast
onset of rain in June, when leaf flush occurs in bamboo to growth. According to Turnbull (1990), among the 96 species,
ensure sufficient food to the larvae. The population outbreak Casuarina equisetifolia is a potential species of multiple
occurs during July and population build-up reaches its peak end-uses. C. equisetifolia was introduced to India from
in August and September and causes severe damage to bam- Australia (Warrier et al. 2014). This is the most widely
boo on seedlings, saplings and forests. accepted plant species of Casuarina in the country and used
In India, this insect is found damaging Bambusa for coastal afforestation programme in coastal area of Tamil
arundinacea, Bambusa bambusoidea, Bambusa burmanica, Nadu and Andhra Pradesh.
Bambusa nana, Bambusa nutans, Bambusa polymorpha,
Bambusa tulda, Bambusa vulgaris, Cephalostachyus 36.3.5.1 Insect Pests of C. equisetifolia
pergracile, Dendrocalamus asper, Dendrocalamus C. equisetifolia is nearly free from serious insect attack in its
giganteus, Dendrocalamus hamiltonii, Dendrocalamus homeland. But this species is facing many major insect
longispathus, Dendrocalamus membranaceous, problems in countries where it has been planted, including
Dendrocalamus strictus, Melocanna albociliata, Melocanna India. About 58 insect species belonging to the orders Cole-
bacifera and Melocanna bambusoidea (Beeson 1941; optera (19 species), Hemiptera (15 species), Isoptera (5 spe-
Mathur 1943; Browne 1968; Tewari 1992a), whereas in cies), Lepidoptera (15 species) and Orthoptera (4 species) are
Myanmar, Cephalostachyus coclesalis is noticed as a defoli- attached to C. equisetifolia (Browne 1968). Sasidharan
ator of C. pergracile, in Sri Lanka on D. strictus and in Java (2004) has reported that in Tamil Nadu, 40 insect species
on bamboo and sugarcane (Mathur 1943). According to are recorded, viz. 3 species of stem borers, 2 species of bark
Lefroy (1971), it is occasionally found on maize. feeders, 23 species of needle feeders, 11 species of sap
suckers and 1 species of seed feeder. The majority of insects
Control Measures are noticed damaging needles. Among all, Icerya purchasi is
To control the population of bamboo leaf rollers, resistant a key insect of economic concern.
species of bamboo, viz. Bambusa arundinacea, B. nana,
Bambusa polymoropha, Dendrocalamus asper, Icerya purchasi Maskell
D. giganteus, D. membranaceous, and B. vulgaris, var. Icerya purchasi (syn. Pericerya purchasi) (Hemiptera:
green, which are less attacked, should be preferred for Margarodidae) is generally called as cottony cushion scale
plantations (Roychoudhury 2010). Kalia and Joshi (1995) or Australian bug. This is a scale insect of Australian origin,
have suggested for foliar spraying of 1% Bacillus which accidentally entered in India. The species can be
thuringiensis var. kurstaki against bamboo leaf roller larvae. identified by its conspicuous, fluted egg sac, which is often
On the basis of LC50 value of a biopesticide, Ivermectin more than twice as long as the reddish or yellowish colour of
(Ivecop-12), it is recommended to use 0.1% as a foliar adult body (Browne 1968). I. purchasi is a hermaphrodite
spray for control of C. coclesalis larvae (Roychoudhury insect and mated individuals give birth to hundreds of off-
2012a, b; Roychoudhury and Mishra 2020a). Roychoudhury spring. Infestation of this insect is favoured by humid
(2011, 2012b) and Roychoudhury and Mishra (2020b) have conditions and shade.
suggested to use biopesticide 0.0006% Spinosad 45% SC I. purchasi is known mainly as a pest of citrus fruit trees
(Spintor 45% SC) for management of C. coclesalis larvae. and other crops, such as tea and coffee. This insect is com-
Singh (1990) has recommended a solution of 0.2% monly associated with Acacia spp., and specifically noticed
Fenitrothion or 0.1% Carbaryl in water with a surfactant to host plants in India include Acacia dealbata, Acacia
kill larval population of bamboo leaf roller. In China, leaf melanoxylon, Albizia julibrissin, Cassia spp., Casuarina
rollers damaged Phyllostachyus pubescens in about 7 million equisetifolia, Eucalyptus spp., Juglans regia, Morus alba
ha area as a result of which around 4 million stocks died. and Pinus roxburghii (Beeson 1941; Browne 1968). This
Aerial spraying and injection of insecticides into the cavity at insect species is mainly injurious to nurseries, causing
the bottom of the plant reduced the extent of infestation (Shi stunting of seedlings and saplings.
1980). Joshi and Jamaluddin (2007) have recommended
spraying Monocrotophos 0.08% for control of bamboo leaf Control Measures
roller in nurseries and plantations. The population of I. purchasi can be controlled by planting
resistant source of clones/provenances (Sasidharan 2004).
Gokkes et al. (1989) have recorded that insect growth
36 Insect Pests of Forest Nurseries, Plantations and Natural Forests and Their Management 783

regulator Pyriproxyfen is effective in controlling I. purchasi Himachal Pradesh during the year 1901–1903, 1906–1907,
and found highly effective even if it is applied alone or with 1922–1924 and 1961–1962. An epidemic of this defoliator
0.5% mineral oil (Peleg 1989). Mendel et al. (1991) have has been reported during 1982–1983 in Jammu and Kashmir
noticed that insect growth regulator, Buprofezin, induces (Singh et al. 1989). Epidemics occur at about 10-year
100% mortality of crawlers and spraying on adults can intervals and may last for 2 or 3 years (Beeson 1941; FAO
decrease 31% hatching of eggs. Foliar spray of 0.06% 2003). An outbreak has also been noticed in June 1994 in
Dimethoate or 0.05% Methyl demeton also can control the Shimla (Verma and Chander 1995). Larvae prefer to feed on
pest (Senthilkumar and Murugesan 2015). the needles and as a result, the needles turn brown, dry up and
fall to the ground prematurely. Beeson (1941) has identified
biotic and abiotic factors responsible for the incidence of
36.3.6 Cedrus deodara (Roxb.) G. Don epidemic defoliation in deodar forests, such as grazing,
removal of litter, excessive thinning and, most important of
Cedrus deodara (Family Pinaceae), commonly known as all, the natural climatic conditions and natural enemy com-
deodar, is a promising species of Indian conifers (Tewari plex, which influence to a great extent.
1994a). This is a species of cedar native to the western
Himalayas. In India, it occurs in Jammu and Kashmir, Control Measures
Himachal Pradesh, Uttarakhand, Sikkim, Arunachal Pradesh The infestation of this defoliator can be controlled by using
and the Darjeeling district of West Bengal (Farjon 2013). grease-bands on the main trunk region, which can restrict
Deodar is typically gregarious and is usually found in pure wingless female moths from crawling up the trunk and egg
stands. laying of moths on the needles (Beeson 1941). Periodical
visits can help to collect moths and eggs below the greasy
36.3.6.1 Insect Pests of C. deodara bands for immediate killing. Singh et al. (1989) have effec-
Insect infestations in Deodar have been studied extensively. tively controlled the epidemic of E. deodarae by aerial
About 60 species of insects belonging to 22 families of spraying of fenitrothion @ 1 L/ha. Use of natural enemies
6 orders, viz. Coleoptera, Hemiptera, Isoptera, of this deodar defoliator is an efficient method of control
Hymemoptera, Lepidoptera and Orthoptera, have been (Tewari 1994a). Among the natural enemies, Calosoma
recorded feeding deodar at different stages of plant develop- beesoni Andr. (Coleoptera: Carabidae) is a potential predator,
ment (Beeson 1941; Browne 1968; Tewari 1994a). Trees of which in the adult form eats the caterpillars and larvae feed
all age groups are always under threat of defoliation. the pupae. The main parasites of E. deodarae are Dusona
Repeated defoliation kills the young trees and also affects deodarae Cush (Hymenoptera: Ichneumonidae),
annual growth increment. Deodar foliage furnishes food for a Brachymeria obscurata Wlk. (Hymenoptera: Chalcidae)
number of defoliating insect species. Main defoliating insect and Campsilura concinnata Heigh (Diptera: Tachinidae).
pest is Ectropis deodarae. Many insectivorous birds like Jackdaws, Corvus monedula
Linn. (Aves: Corviidae), are also recorded to feed on deodar
Ectropis deodarae Prout defoliator (Singh et al. 1989).
Ectropis deodarae (Lepidoptera: Geometridae) is called as
deodar looper. It is a damaging defoliating pest of deodar
distributed all along northwestern part of India, including 36.3.7 Dalbergia sissoo Roxb.
Himalaya. Adult female moth has only very small vestigial
wings and the male has broad, white wings in colour mottled Dalbergia Linn.f. (Family Fabaceae) is a genus that includes
with black. Wing expanse varies from 35 to 40 cm (Beeson trees, shrubs and woody climbers, and widely distributed in
1941; Browne 1968; Tewari 1994a). The generation is tropical and subtropical regions. In India, around 25 species
annual. Emergence of moths takes place during the month of Dalbergia occur. Among these, D. sissoo Roxb. is a
of March and female moths lay eggs in the needles of the promising nitrogen-fixing tree species, popularly known as
crown of the host tree. The larvae, which are green, white- shisham, found throughout the sub-Himalayan valleys. This
haired loopers, attain 25 mm in length. Larvae feed on the is a potential multipurpose tree of economic importance
foliage until June, when they descend on silken threads and (Tewari 1994b).
pupae, without forming cocoons in the soil litter.
Large areas of deodar forests in the northwestern and 36.3.7.1 Insect Pests of D. sissoo
western Himalayan regions are often defoliated completely About 85 insects have been reported to feed on D. sissoo,
by E. deodarae, causing heavy mortality. Thakur (2000) has belonging to the orders Coleoptera (28 species), Hemiptera
compiled the history of epidemics of this insect. The epi- (20 species), Isoptera (1 species), Lepidoptera (30 species)
demic defoliation of E. deodarae occurred four times in and Orthoptera (6 species) (Browne 1968). Recent
784 N. Roychoudhury

Fig. 36.9 Defoliation of Dalbergia sissoo by Plecoptera reflexa.

(Source: Roychoudhury and Mishra 2021a) Fig. 36.10 Larvae of Plecoptera reflexa. (Source: Roychoudhury and
Mishra 2021a)
information reveals around 130 species of insects are
associated with D. sissoo (CABI 2005), out of which Control Measures
defoliators and stem borers are the most damaging. Among Gupta and Joshi (1995) have recommended to use Bacillus
defoliators, Plecoptera reflexa is considered as a serious pest thuringiensis (B.t.) of 90–102 billion spores/g at a concentra-
of economic concern. tion of 1.5% for maximum kill of larvae within 72 h of spray,
irrespective of varietal toxins and available forms, that is,
Plecoptera reflexa Gunee either in wettable powder or emulsifiable concentrate. Joshi
Plecoptera reflexa (Lepidoptera: Noctuidae) is a major defo- and Roychoudhury (1996) have suggested for spraying
liator of D. sissoo in India and Pakistan. The caterpillar is a Deltamethrin 0.003% otherwise Chlorpyriphos 0.05%
semi-looper, green in colour, and full-grown larvae are against the larvae of P. reflexa. According to Joshi and
around 25 mm in length (Figs. 36.9 and 36.10). The moths Jamaluddin. (2007), weak seedlings should not be planted
are greyish brown in colour with a wing expanse of and spraying Carbaryl 0.1% or Endosulfan 0.05% can be
30–35 mm. The female moth lays eggs at night on young used for control of P. reflexa.
soft leaves and each female lay up to 400 eggs within 6 days.
The young larvae feeds on leaf surface, but maturing laraval
instars consume whole leaf including petiole and green shoot. 36.3.8 Eucalyptus Species
Irrigated plantations of D. sissoo are most preferred for
outbreaks. Indian rose wood, Dalbergia latifolia, is a suitable Eucalyptus (Family Myrtaceae) is usually regarded as an
host plant of P. reflexa. Australian tree and undoubtedly is among the most success-
P. reflexa was first reported as a defoliator of D. sissoo in ful world’s exotic multipurpose fast-growing tree species.
1899 in Changa Manga, Pakistan. The defoliation is annual Eucalyptus is grown in about 110 countries of the world.
both in India and Pakistan. This insect mostly attacks Around 600 species and varieties of the genus Eucalyptus are
plantations aged 3 years and above. Due to repeated attacks available in the world. About 170 species, varieties and
of P. reflexa, the tree remains leafless during the growing provenances of Eucalyptus are grown in India (Bhatia
season and epicormic branches are produced. According to 1984), out of which the most promising and suitable has
Beeson (1941), economic impact of this defoliation is con- been the Eucalyptus hybrid, a form of Eucalyptus
sidered serious and poor-quality plantations have often been tereticornis, called as Mysore gum. Other species such as
produced. Eucalyptus camaldulensis, Eucalyptus citridora, Eucalyptus
globulus and Eucalyptus grandis are grown on large-scale
plantation.
36 Insect Pests of Forest Nurseries, Plantations and Natural Forests and Their Management 785

Fig. 36.11 Blue gum chalcid wasp, Leptocybe invasa. (Source:

Roychoudhury 2013a)

Fig. 36.12 Gall formation in leaves, petioles and stems of Eucalyptus

36.3.8.1 Insect Pests of Eucalyptus due to Leptocybe invasa. (Source: Roychoudhury 2013a)
Insects associated with Eucalyptus have been thoroughly
reviewed by Ohmart and Edwards (1991). About 400 insects fore coxa, legs and tarsi are yellow in colour. Wings hyaline
have been found feeding on Eucalyptus that includes 160 spe- are very faintly and evenly infumated and veins are brown in
cies of foliage feeders, 110 species of xylophagous borers, colour. Weak head, with distinct groove and weakened area
76 species of sap suckers, 32 species of timber borers and around ocellar triangle is present. Propodeum with a raised
22 species of miscellaneous insects (Nair et al. 1986; Tewari lobe of the callus is present that partially overhangs the outer
1992b). Around 920 species of insects are associated with rim of the spiracle, and spiracular depression is open to
Eucalyptus throughout the world (Nair 2007). Most of the anterior margin of propodeum. Two longest cercal setae are
insect fauna associated with Eucalyptus are minor pests. subequal in length and straight. Postmarginal vein is short
Recently, only in last decade a serious problem of gall insect, and less than length of stigma vein. Mesoscutum is without
Leptocybe invasa, has been encountered in this species median line and with two to three small adnotaular setae.
throughout the Eucalyptus-growing countries, including Malar sulcus is distinctly curved. Dorsellum is long, medially
India, which is described as hereunder. as long as propodeum. Ovipositor sheaths are short, not
reaching to the apex of abdomen.
Leptocybe invasa Fisher & LaSalle On the basis of extensive surveys, observations revealed
Leptocybe invasa (Hymenoptera: Eulophidae) is generally that L. invasa is the main cause of gall formation on the
called as blue gum chalcid wasp. Until the year 2000, Euca- mid-ribs, petioles and stems of new shoots both in nurseries
lyptus gall wasp, Leptocybe invasa Fisher & LaSalle and young plantations of Eucalyptus, including coppice
(Hymenoptera: Eulophidae), was not known (Mutitu 2003). shoots (Fig. 36.12) (Roychoudhury 2013a). L. invasa has
Mendel et al. (2004) have identified L. invasa as a tiny wasp been found to damage E. camaldulensis, E. tereticornis and
responsible for gall formation in Eucalyptus in nurseries and Eucalyptus hybrid. This is a stenophagous insect because it
young plantations (Fig. 36.11). This gall insect originated has been reported that it infests many species of Eucalyptus,
from Queensland, Australia, and then this insect was noticed such as Eucalyptus botryoides, Eucalyptus bridgesiana,
in the Middle East during the year 2000 (Aytar 2003). Cur- E. camaldulensis, Eucalyptus cinerea, Eucalyptus dunnii,
rently, the wasp is reported from Algeria, Brazil, Cambodia, E. globulus, E. grandis, Eucalyptus gunii, Eucalyptus
China, Ethiopia, France, Greek, India, Iran, Iraq, Israel, Italy, maidenii, Eucalyptus nicholii, Eucalyptus pulverulenta,
Jordan, Kenya, Morocco, New Zealand, North America, Eucalyptus robusta, Eucalyptus rudis, Eucalyptus saligna,
Portugal, Spain, Syria, South Africa, Tanzania, Thailand, E. tereticornis, Eucalyptus urophylla and Eucalyptus
Turkey, Uganda and Vietnam (https://www.cabi.org/isc/ viminalis, and various clones and hybrids (Wylie and Speight
datasheet/108923#todistributionDatabaseTable). 2012). Adult females (1.1–1.4 mm) lay their eggs in the
According to Mendel et al. (2004), the diagnostic features young leaves, in the petioles and in the twigs (Hesami et al.
of L. invasa are as follows: length of the body is 2005). Larvae develop inside round galls; adults then emerge
1.44 ± 0.16 mm and varies from 1.17 to 1.72 mm; head, leaving round exit holes. There are five stages of gall devel-
thorax and abdomen are dark brown in colour; and antenna, opment (Fig. 36.13) (Roychoudhury 2018a). Mendel et al.
786 N. Roychoudhury

Fig. 36.13 Stages of gall

development in Eucalyptus
caused by Leptocybe invasa.
(Source: Roychoudhury 2018a)

(2004) have observed only females reproducing by partheno- suggested spraying of Azadirachtin in nursery to reduce
genesis, with the exception of two records describing males adult emergence. Foliar spraying of biopesticide 0.05%
in Turkey (Doganlar 2005) and India (Akhtar et al. 2012). In Spinosad (Spintor), in nursery stage and young plantation is
Iran, Israel and Turkey, two to three overlapping generations effective to control L. invasa (Roychoudhury 2017a;
were recorded in a year (Hesami et al. 2005). Adults of this Roychoudhury and Mishra 2018).
gall insect are able to fly for short distance but no such data Regarding the chemical pesticides, spraying of different
are available on natural spread of this insect (Branco et al. insecticides, such as Acephate, Acetamiprid, Carbofuran,
2006). Movements of plants from one place to another carry Dimethoate, Fenkil, Imidacloprid, Methyl-o-demeton,
this pest over long distances (Nyeko et al. 2009). Methyl parathion, Phorate, Phosphamidon, Thiacloprid and
L. invasa was first noticed in 2001 in Mandya district of Thiamethoxam, is effective to kill L. invasa and subsequent
Karnataka, India. Then this species was recorded in 2002 at in reduction of adult wasp emergence (Kumari 2009;
Marakkanam in Villupuram district of Tamil Nadu, and later Javaregowda et al. 2010; Jhala et al. 2010). Roychoudhury
on it spread throughout the India (Jacob et al. 2007). The (2013a) suggested foliar spraying of 0.5% Monocrotophos or
epidemic of this exotic pest in India has concomitantly Imidacloprid or Acetamiprid or Dimethoate or Dichlorvos for
changed the scenario by damaging vast areas (Jacob 2009; 6 months at the interval of 15 days can control L. invasa
Roychoudhury et al. 2007). Infestation of L. invasa harms (Figs. 36.14 and 36.15).
Eucalyptus in nurseries and plantations throughout the coun-
try. Serious infestations can lead to production of deformed
leaves and shoots and stop growth of the plant. Major damage 36.3.9 Gmelina arborea Roxb.
to nursery seedlings leads to ultimately death of plants. Pres-
ently, the insect is infesting Eucalyptus all over the country Gmelina arborea (Family Lamiaceae) is generally known as
(Roychoudhury 2016a). khamer. This tree species is native to Asia and occurs in
deciduous and moist deciduous forests in India (CABI
Control Measures 2005). G. arborea plantations have been raised both in
Resistant species or clones or hybrids or provenances of homeland and outside Asia. This species has also been
Eucalyptus can be used to control L. invasa (Thu et al. planted in several countries worldwide.
2009; Kulkarni 2010; Nyeko et al. 2010). Kumari (2009)
36 Insect Pests of Forest Nurseries, Plantations and Natural Forests and Their Management 787

is oblong, 12–16 mm in length and has a shining metallic

colouration, with coarsely wrinkled, bluish green to violet
blue elytra and pale yellow to reddish brown pronotum and
legs. The larva has lateral spines. The excrement, instead of
being ejected, is extruded in fine, black filaments, longer than
the body, and formed into bunches at the anal end. The
moulted exuviae are also carried out at the last abdominal
segment. When disturbed, the larva flicks the anal filaments
up and down and assumes a defensive posture. Under
favourable temperatures, 35–50 days takes to complete the
life cycle, but third-generation adults enter hibernation in
winter. Infestation period is June–October.
This insect is a key pest of G. arborea in plantations
within the natural range of the tree. Larvae during the
young stage feed khamer foliage, but mid-ribs and main
veins remain intact. Adult beetles of C. leayana consume
foliage by circular holes and also feed growing young buds
Fig. 36.14 Eucalyptus seedling infested with galls
and shoots. Heavy infestation leads to drying up of plants
leading to ultimate death. C. leayana was reported on
Gmelina in Meghalaya during the year 1995, indicating an
apparent expansion of its range to the northeast of India
(Wingfield and Robison 2004). It is considered as a key
insect pest of khamer plantations in Assam.

Control Measures
Trapping of adults in hibernating shelters, hand-picking of
beetles returning to the plantation after overwintering and
mixed cropping (instead of monoculture) have been
suggested in the past (Beeson 1941). The beetles can be
attracted to white piece of cloth, then can be collected and
killed mechanically. Insecticides, a commercial preparation
of Bacillus thuringiensis subsp. kurstaki and the fungus
Beauveria bassiana, are found effective against the larvae
(Gupta et al. 1989; Sankaran et al. 1989; Sharma et al. 2001).
Joshi and Jamaluddin. (2007) have suggested for foliar
spraying of 0.05% Chlorpyriphos or 0.04% Monocrotophos
or 0.05% Malathion to kill all larval instars and beetles.
Fig. 36.15 Pesticide-treated seedlings without gall. (Source:
Roychoudhury, Unpublished)

36.3.9.1 Insect Pests of G. arborea 36.3.10 Leucaena leucocephala (Lam.) de Wit

In India, about 101 insect species have been noticed in native
plantations of G. arborea (Beeson 1941; Browne 1968; Leucaena leucocephala (Family Fabaceae) is commonly
Mathew 1986). Most of the insects are minor pests, but few known as subabul. This is a multipurpose legume plant native
are major pests. The key insect species is the chrysomelid to Mexico and Central America. Its true natural distribution is
beetle, Calopepla leayana, responsible for epidemic defolia- not known (CABI 2005). Plantations of L. leucocephala have
tion of plantations, mainly in northeast India (Beeson 1941). been raised in agroforestry planting programmes for many
purposes. This tree species is planted over 130 countries
Calopepla leayana (Latreille) (CABI 2005).
Calopepla leayana (syn. Craspedonta leayana) (Coleoptera:
Chrysomelidae) is commonly known as Khamer defoliator. 36.3.10.1 Insect Pests of L. leucocephala
This insect defoliator has been recognised since the 1920s as Insect pests are not a serious threat to homeland. Nair (2001)
a major pest of G. arborea in northern India. The adult beetle has listed about 40 species of native insects that feed on
exotic plantations of L. leucocephala in different countries.
788 N. Roychoudhury

These include leaf-feeding curculionid and chrysomelid H. cubana. According to Senthilkumar and Murugesan
beetles and grasshoppers; sap-sucking coreid, pentatomid, (2015), Menochilus sexmaculatus, a coccinellid predator, is
aleurodid, coccid, psuedococcid, eurybrachyid and found to be effective on H. cubana. Joshi and Jamaluddin.
membracid bugs; root-feeding white grubs and termites; (2007) have recommended foliar spraying of 0.001%
and stem or branch boring cerambycid beetles and a cossid cypermethrin to minimise the infestation or 0.03%
caterpillar. But none of these insects cause major damage. monocrotophos for effective control of psyllid. The spraying
However, the psyllid bug Heteropsylla cubana has become a may be repeated after a week, if required.
serious pest, since leucaena planting began.

Heteropsylla cubana Crawford 36.3.11 Picea Species

H. cubana (syn. Heteropsylla incisa) (Homoptera: Psyllidae)
is commonly known as leucaena psyllid. This bug was Picea (Family Pinaceae) is a genus of spruce tree and
described in 1914 in Cuba. Adult bug is of a small size includes about 35 species of coniferous evergreen trees.
measuring 1.5–2 mm in length, usually yellowish green in Indian spruce, Picea smithiana (Wall) Boiss, is commonly
colour, some with brown shades. The nymphs are yellowish known as Himalayan spruce. In the western Himalaya, spruce
green in colour. Both adults and nymphs feed gregariously on forests occur at an altitude of 2150–3300 m (Singh and
the developing terminal shoot and sucking the sap of leaves. Pusalkar 2020), which grows in close association with silver
The adult female bug lays about 240 eggs (Rauf et al. 1990) fir Abies pindrow (Bhalla and Parmar 1996). It has a self-
that are usually attached to the tender leaves. Hatching of supporting growth form.
eggs takes place in 3 days and pass through five instars in
8 days. Adult longevity is 10–15 days. The insect shows 36.3.11.1 Insect Pests of P. smithiana
several overlapping generations in a year and all develop- About 14 species of insects belonging to three orders, viz.
mental stages usually occur together on terminal young Coleoptera (8 species), Hemiptera (2 species) and Lepidop-
shoots. tera (4 species), feed on Himalayan spruce P. smithiana
Other than L. leucocephala, H. cubana feed on Leucaena (Browne 1968). Among all, Eucosma hypsidryas is a major
diversifolia, Leucaena pulverulenta, Leucaena trichodes and insect pest that causes serious damage of spruce in India.
Leucaena salvadorensis. Besides these, it can feed on 13 spe-
cies of Leucaena to some extent and also on Samanea saman Eucosma hypsidryas Meyrick
(Geiger et al. 1995; CABI 2005). Eucosma hypsidryas (Lepidoptera: Tortricidae) is commonly
L. leucocephala is a tree grown extensively in community known as spruce budworm, a small moth available in India
forestry and agroforestry ecosystems for fodder and fuel and Pakistan (Beeson 1941; Browne 1968). The female moth
throughout the tropics including India. The tree was almost of spruce budworm lays eggs on the young buds, each of
pest free in India until 1988, when the leucaena psyllid, which becomes infested by a single larva. The larva feeds
H. cubana, appeared in Chengalpattu, Tamil Nadu, and within the bud on the undeveloped needles, except for the
caused severe defoliation and extensive death of young outermost needles that are spun together with silk and even-
trees. By 1990, it had attacked all the Leucaena plantations tually form the walls of a prominent, spindle-shaped chamber
in the country (FAO 2005). within which the larva pupates. The moths of this generation
Severe infestation of H. cubana occurs in terminal shoots. emerge in June. It is believed that there are at least two
This bug has gregarious feeding habit and consumes devel- generations during a year, but the most serious injury to the
oping terminal leaves. These leaves become chlorotic and host is done by the larvae of spring generation.
deformed or the leaflets turn yellow and drop. The petioles The budworm, E. hypsidryas, causes considerable damage
turn black and the shoots dry up. About a week of infestation, to P. smithiana and mortality of spruce trees in the Himalayas
the damage due to this bug occurs and serious infestation (Bhalla and Parmar 1996). Trees of all ages are attacked and
usually results in complete defoliation and stunted growth of are easily observed because of the brown, aborted tips of their
the tree. Repeated damage by this bug leads to death of the branches (Browne 1968). Heavy and repeated infestation
trees. According to Napompeth (1990), secondary infection results in stagnation and weakening of the host. The drying-
by pathogenic microorganisms is possibly responsible for off of spruce in the Himalayas is probably mainly due to
mortality of L. leucocephala tree. E. hypsidryas (Beeson 1941).

Control Measures Control Measures

Joshi and Jamaluddin. (2007) have suggested to use resistant Thakur (2000) suggested spraying of either 0.18%
cultivars, such as K6, K8, K500 and K636, to control psyllid Azinphosmethyle or 0.025% Fenvelrate or 0.025%
36 Insect Pests of Forest Nurseries, Plantations and Natural Forests and Their Management 789

Permethrin can be used for effective control of E. hypsidryas Control Measures

attacking cones in seed orchards and seed production areas. Baksha (2000) observed that C. crameri larvae are parasitised
by Brachymeria sp. This Dipteran parasitoid can be used
after mass multiplication by releasing them during the popu-
36.3.12 Pinus roxburghii Sarg. lation outbreak of bagworm in chir pine forests. The pest
could be collected manually and killed. Foliar spraying of
The genus Pinus (Family Pinaceae) includes more than 0.1% Malathion can be used for effective control of larvae.
90 species and constitutes an important group of conifers. Use of an insect chitin inhibitor, Dimilin, against C. crameri
Chir pine, Pinus roxburghii Sarg., is an important potential has been suggested by Thakur (2000).
species and commonly called as Indian chir pine (Anony-
mous 1996). Chir pine is a native of the Himalaya.
36.3.13 Populus Species
36.3.12.1 Insect Pests of P. roxburghii
Chir pine is damaged by insects at all stages of its growth, The genus Populus (Family Salicaceae) is known as poplar,
such as cones and seed, seedlings, standing trees and timber. which includes around 35 species that are native to the
Thirty-two insect species belonging to Coleoptera (14 spe- temperate regions, and many species and their clones/hybrids
cies), Hemiptera (3 species), Isoptera (2 species), Lepidoptera have entered in different countries for large-scale plantations.
(6 species) and Orthoptera (7 species) are found feeding on In India, apart from an indigenous species, Populus ciliate,
all different plant developmental stages (Beeson 1941; Populus alba and Populus nigra, many species and clones
Browne 1968; Anonymous 1996). Among these, have been introduced and planted in plains of Haryana,
Cryptothelia crameri is a key insect defoliator that causes Punjab and the Tarai Region of Uttarakhand.
serious outbreak.
36.3.13.1 Insect Pests of Populus
Cryptothelia crameri Westwood Around 119 insect species are found in Populus species.
Cryptothelia crameri (syn. Clania crameri) (Lepidoptera: These insects belong to the orders Coleoptera (28 species),
Psychidae) is a polyphagous bagworm pest, found through- Diptera (2 species), Hemiptera (21species), Hymenoptera
out India (Beeson 1941; Browne 1968). Eggs are laid in the (19 species), Lepidoptera (48 species) and Thysanoptera
case from December to April, according to the climatic (1 species), which are associated with Populus species
conditions of the area. The larva feeds on young leaves and (Browne 1968). According to Thakur (2000), 112 insect
tender bark by making and living within a portable bag of species are found to feed on various species of Populus. All
leaves, twigs, barks, spines etc. (Baksha 2000). The wing of them are native insect fauna, comprising chiefly
span of male moth is 6–7 mm, reddish brown in colour defoliators (58 species), stem and shoot borers (23 species),
streaked with black, and the middle of the forewings are sap suckers (27 species) and termites (4 species). Among the
translucent. The female is wingless and lays eggs in bag. defoliators, Cloetera cupreata is a key defoliator insect pest
The generation is annual. Larval feeding takes place for in most exotic poplar in nurseries and plantations (Singh et al.
about 9–10 months and pupal formation takes place in the 2005), which was reported originally from Salix tetrasperma,
case suspended from a twig. but has established on Populus as new host.
Infestation of C. crameri is noticed in cacao and tea
bushes and recorded as an important pest in Casuarina Clostera cupreata Butler
equisetifoliai plantations of southern India. This insect has Clostera cupreata (syn. Pygaera cupreata) (Lepidoptera:
also been noticed on host plants like Acacia catechu, Notodontidae) is popularly known as poplar defoliator and
A. nilotica, Albizia spp., Bischofia javanica, Bobax occurs in Jammu and Kashmir, Himachal Pradesh and
malabaricum, Cassia spp., Hevea brasiliensis, Santalum Uttarakhand. The female moths lay 200–300 eggs on the
album, Shorea robusta, Tamarindus indica and Terminalia leaf surface (Thakur 2000). The colour of young larvae is
chebula (Beeson 1941; Browne 1968). light brown with greenish mid-dorsal portion. Head is light
The first outburst of C. crameri was recorded in 1885 from brown in colour, speckled with dark brown spots. Two red-
Tons Valley, Uttarakhand. Subsequently, it was reported dish tufts of hairs are present on each mid-dorsal margin of
from Bilaspur, Himachal Pradesh, in 1928 and also from first and eighth abdominal segments. The length of mature
Kahhula, Pakistan, in 1934. Outbreak of C. crameri on larvae is 25–28 mm. There are five larval instars. The total
P. roxburghii was also reported in the state of Jammu and larval duration is 11–12 days. Pupa formation takes place in
Kashmir during 1989–1990. This outbreak caused a casualty thin hairy yellowish-brown colour cocoon either between the
of 5% trees over 2000 ha area and 0.3 million trees were lost leaves or in leaf folds. The pupal duration is 4–6 days. The
resulting in a total loss of 22.5 million rupees (Thakur 2000). diagnostic features of moth are pale reddish brown in colour;
790 N. Roychoudhury

head, abdomen and hindwings pale in colour; expanse of The eggs hatch in early April and caterpillars feed for about
wings 25–30 mm; forewing pale reddish brown in colour 6 weeks. Feeding takes place during the cooler hours of the
with two pale oblique antemedian lines, the first line angled day and at night. During the middle of the day the caterpillars
to medial nervate and the second line curved near the inner congregate in colonies of hundreds of individuals on the bark
margin; a medial outwardly curved line joining a straight of the trunk, underside of the branches, in forks, under the
postmedial line at inner margin; and the colour of hindwing shelter of epicornic shoots and the foliage of ground plants,
paler than forewing. Male moths have a characteristic anal under stones, etc. (Beeson 1941). The full-grown larva is
tuft arising on the dorsal side of the anal segment (Hampson about 45 mm. Pupation occurs in similar positions and
1892). The duration of the life cycle varies between 19 and under the protection of sticky silk webs. The pupal period
20 days and there are overlapping 8–9 generations existing in lasts for 10–14 days and emergence of moths occurs during
a year. June–July. The female has vestigial wings and is unable to
The larva of this moth is also found to occur as a defoliator move far from her pupation site, close to which she lays a
of Salix alba, Salix babylonica and Salix tetrasperma mass of eggs covered with yellow hairs from her body. The
(Beeson 1941; Browne 1968). Since 1966 in the Tarai eggs remain unhatched until next spring. Hence, the genera-
Region of Uttarakhand and since 1986 in Punjab State, tion is annual.
C. cupreata has been recorded as an important pest of poplar The species is known principally as a pest of orchards and
plantations. After 3 years of plantation establishment of pop- plantations of Alnus nitida, Malus domestica, Populus spp.,
lar, epidemics of C. cupreata develop (Thakur 2000). Quercus dilatata, Juglans regia, Salix alba, Salix babylonica
and Salix fragilis, in Kashmir and the northwest Himalayas
Control Measures (Beeson 1941; Gupta 1982; Masoodi et al. 1987).
Ahmad (1993) has suggested screening and selection of L. obfuscata is a damaging defoliator of willows and defolia-
C. cupreata-resistant clones of poplar is necessary for tion causes loss of increment. Trees may be killed if they are
plantations. Release of egg parasitoids Trichogramma severely defoliated (FAO 2003).
achae, Trichogramma chilionis and Trichogramma perkensi
in poplar plantation can minimise the population of Control Measures
C. cupreta (Thakur 2000). Foliar spraying of insecticides, Gupta (1982) evaluated several insecticides against the eggs
viz. 0.04% Endosulfan, 0.04% Fenithrothion, 0.05% and larvae of L. obfuscata in apples on hills of Uttar Pradesh
Monocrotophos and 0.05% Quinolphos, showed larval kill- and found mineral-oil-based tree spray oils, all at 3%, 6% or
ing of the poplar defoliator (Thakur 2000). According to 9%, and Sandolin A, a dinitro or the cresol preparation, at
Sangha et al. (2017), foliar application of insecticides, viz. 1%, 2% or 3% very effective in reducing the viability of the
Quinalphos, Profenofos and Carbaryl @ 0.1% concentration, eggs. Further, application of 5% dust formulation of
kept the population of C. cupreata under control for 21 days. insecticides like aldrin, Dichlorodiphenyl Trichloroethane
(DDT), heptachlor, chlordane or carbaryl in 30 cm wide
and 0.5 cm thick bands on the ground around the trunk of
36.3.14 Salix Species the trees or spraying the trees with 0.05% emulsion of
insecticides like diazinon, endosulfan, methyl parathion,
Willow belongs to the genus Salix (Salicaceae) with 330–500 dichlorvas, quinalphos or fenitrothion resulted in satisfactory
species worldwide (Zhenfu et al. 1999). About 33 species of control of the larvae. Masoodi et al. (1987) carried out field
Salix are reported from India and the most popular species is trials to evaluate the effectiveness of endosulfan, fenthion,
Salix alba L., commonly known as white willow. fenvalerate and burlap bands against larvae of L. obfuscata
on walnut in Kashmir. Burlap bands 30 cm wide were stapled
36.3.14.1 Insect Pests of S. alba around the trunks of experimental trees at waist to breast
Browne (1968) has mentioned about 19 species of insects height and subsequently endosulfan and fenthion were
belonging to five orders, viz. Coleoptera (2 species), Diptera applied at 0.05% and fenvalerate at 0.03%. All treatments
(3 species), Hemiptera (4 species), Hymenoptera (5 species) significantly reduced the pest population, fenvalerate and
and Lepidoptera (5 species), which are associated with Salix endosulfan being the most effective.
alba in India. Among all, Lymantria obfuscata is a key insect
defoliator of S. alba.
36.3.15 Shorea robusta Gaertn. f.
Lymantria obfuscata Walker
Lymantria obfuscate (Lepidoptera: Lymantriidae) is popu- Shorea (Family Dipterocarpacae) is a potential genus of
larly called as Indian gypsy moth, found in the montane and timber species of commercial importance, found in the low-
submontane zones of northwestern India and West Pakistan. land rain forests of India, Indonesia, Malaysia and the
36 Insect Pests of Forest Nurseries, Plantations and Natural Forests and Their Management 791

Philippines. Shorea robusta Gaertn. f. is known as sal in coarse dust is thrown out of holes in the bark and then
India. According to Kulkarni (1956), sal is of Indian origin, deposited at the tree base in large heaps. The mature larva
and the northeast India is considered as homeland of sal. This is large and reaches up to 9 cm in length (Fig. 36.18). The
tree species is a promising timber of India both ecologically larval growth and development is completed during the
and economically. S. robusta constitutes an ecosystem of month of November when the larva constructs a chamber in
cool and calm environment, rich in biodiversity. the heartwood with an exit hole for adult emergence and turns
into a pre-pupa, then pupa and finally adult beetle during
36.3.15.1 Insect Pests of S. robusta May–June and remains quiescent until it emerges with rain-
Sal has a major insect problem. Out of 346 insects recorded fall initiation. The adult beetle is dark brown in colour and
on sal, 155 insects are attached with green tree that includes variable in size, measuring 20–65 mm in length (Fig. 36.19).
mainly defoliators (114), seed feeders (19), borers (18) and The antennae of the male are much longer than the body. The
sap suckers (4) (Stebbing 1914; Beeson 1941; Browne 1968; ontogeny of this borer is completed by 1 year.
Sen-Sarma and Thakur 1994; Thakur 2000; Nair 2007; H. spinicornis is the most notorious forest pest of India
Roychoudhury 2015b). Rest of the insects feed either on because of its periodic outbreaks, during which millions of
the freshly felled timber or dry timber. Other than periodic sal trees are killed. Extensive galleries in the sapwood made
outbreaks of a cerambycid trunk borer Hoplocerambyx by several larvae cause partial or complete girdling of the
spinicornis, and defoliators Lymantria mathura and Trabala tree, leading to its death. Although the tree offers resistance
vishnou (Roychoudhury 2017b), there are no major insect by the outflow of resin, mass attack during epidemics kills
problems for S. robusta in India. even vigorous trees. Both the main trunk and crown branches
are attacked. In a typical dead tree, 60–70% of the borer
Hoplocerambyx spinicornis Newman population occurs in the main trunk and 40–30% in the
Hoplocerambyx spinicornis (syn. Hoplocerambyx relictus) crown branches (Beeson 1941).
(Coleoptera: Cerambycidae) is generally known as sal heart- The sal borer causes extensive damage to both standing
wood borer or sal borer. This insect species is the only known trees and freshly felled timbers (Joshi et al. 2002) because of
Indian representative of its genus and one of the most perni- the kairomonal activity present in sal sap (Roychoudhury
cious pests of sal that commits catastrophic damage to forests 1997). The less vigorous, weak, unhealthy trees or those
(Fig. 36.16). This insect was identified as a destructive pest of with reduced vitality are easily attacked or killed due to
sal by Stebbing in 1897 from Singhbhum division in borer (Beeson 1941). Different abiotic and biotic factors
Chhotanagpur, Bihar (Stebbing 1914). Sal heartwood borer have been the major cause for the recurring epidemics
and its host tree have received much attention compared to (Joshi 2009; Roychoudhury 2017c; Roychoudhury et al.
any other tree-insect system in India (Stebbing 1914; Beeson 2017a, 2018b, 2019). The borer kills trees of all age groups
1941; Mathur 1962; Browne 1968; Roonwal 1976, 1978, above the girth of 20 cm (Bhandari and Singh 1988); the trees
1982; Tewari 1995; Bhandari and Rawat 2001; Joshi et al. between the girth classes of 91 and 150 cm are the most
2006; Roychoudhury et al. 2018a). preferred (Beeson 1941), with maximum mortality recorded
The life cycle, ecology and management of H. spinicornis in the girth class of 121–150 cm (Roychoudhury et al. 2004).
on sal in India have been the subject of many studies since the The population density of sal borer also varies with respect to
1900s and the literature is vast (Beeson 1941; Roonwal 1978; girth class of infested trees (Roychoudhury 2018b).
Thakur 2000; Bhandari and Rawat 2001; Joshi et al. 2006). H. spinicornis has also been recorded to feed on other tree
The beetles start appearing every year with the onset of species, such as Dipterocarpus tuberculatus, Duabanga
monsoon rainfall during June–July and continue up to grandiflora, Hevea brasiliensis, Parashorea robusta, Shorea
August–September till all beetles have emerged from the assamica and Shorea obtuse (Beeson 1941; Browne 1968;
tree trunks. After emergence, beetles start mating and lay Nair 2007). However, population outbreaks occur only on
eggs within a week on bark of sal trees (Fig. 36.17). Nor- S. robusta.
mally, the trees chosen for egg laying are dying or weak trees, The sal borer attack is epidemic when the trees damaged
but during epidemic even healthy trees are attacked. Each by the insects are above economic threshold level (ETL), that
female lays 100–300 eggs over a life span of about 30 days. is, the total number of affected trees should be more than 1%
High humidity favours egg laying and fecundity is highly (Beeson 1941). So far, 21 epidemics of this borer have
variable, and it may reach up to 465 per female at 91% occurred in sal forests of different states of the country
Reative Humidity (RH) (Beeson 1941). (Bhandari and Singh 1988; Bhandari and Rawat 2001;
After hatching, larvae feed under the tree bark for a short Joshi et al. 2006). Severe sal borer epidemics have occurred
period of about 1 h and then in the sapwood and finally enter in Madhya Pradesh and Chhattisgarh during the year
inside the heartwood. Large sal trees support the develop- 1997–2000. Out of 16.84 lakh ha of sal forests, about
ment of around 300 larvae. As the internal damage increases, 3 lakh ha got damaged during the epidemic, and the seriously
792 N. Roychoudhury

Fig. 36.16 Sal forest damaged by Hoplocerambyx spinicornis. (Source: Roychoudhury, Unpublished)

Fig. 36.18 Grubs of Hoplocerambyx spinicornis. (Source:

Fig. 36.17 Eggs of Hoplocerambyx spinicornis. (Source: Roychoudhury et al. 2018a)
Roychoudhury et al. 2018a)

Kanha and Satpura Tiger Reserves of Madhya Pradesh, and

forest-damaged district was Mandla where about 8 lakh trees Banhupratapur, Jagdalpur and Kabirdham Forest Divisions
were damaged (Joshi et al. 2006). Infestations of sal borer of Chhattisgarh (Roychoudhury 2015c, 2016b;
were noticed in Dindori and East Mandla Forest Divisions, Roychoudhury et al. 2017b).
36 Insect Pests of Forest Nurseries, Plantations and Natural Forests and Their Management 793

Control Measures weak, unhealthy or dying trees. During population outbreaks

H. spinicornis is a chronic and endemic pest. This insect is of sal borer, green healthy trees are infested. Pest manage-
found always in small numbers in sal forests infesting fallen, ment of this insect aims at two goals: preventive measures
and remedial measures. Preventive measures deal with
outbreaks by keeping the infestation below the defined toler-
able level (<1%) and remedial measures deal with actions to
limit the damage during outbreaks. The control measures of
sal borer require the following preventive and remedial
measures.

Preventive Measures
1. Harvesting of sal trees should be done before the onset of
monsoon.
2. Matured and overmatured sal trees lose their resistance
against insect pests and diseases and hence, they should
be regularly harvested.
Fig. 36.19 Adult beetles of Hoplocerambyx spinicornis. (Source:
3. The borer-attacked trees should be marked and
Roychoudhury et al. 2018a) categorised according to the category of the attacks

Fig. 36.20 Types/categorisation of Hoplocerambyx spinicornis affected trees in sal forests. (Source: Roychoudhury et al. 2018a)
794 N. Roychoudhury

during the winter months (December–February) as per results, the sprayed stacks should be covered with hard
the recommendations made by Beeson (1941) polythene sheets.
(Fig. 36.20).
4. The dead and dying trees should be removed after cutting Lymantria mathura Moore
from the forest before the initiation of monsoon. Lymantria mathura (syn. Porthetria mathura) (Lepidoptera:
5. Lops and tops of felled trees should be removed from the Lymantriidae) is generally known as the rosy gypsy moth or
forest to maintain the forest hygiene. pink gypsy moth. This insect occurs in India, China, Nepal,
6. Thinning of weak, diseased sal trees and transplanting its Japan, Korea and Russia.
associate species should be done to reduce the density of The adult female of L. mathura lays eggs in masses on the
pure sal forests. tree trunks or stems of sal plant. The length of full-grown
7. Collection of sal seeds should be suspended in the larva is about 50 mm in male and 90 mm in female; larval
areas affected by borer till the area gets fully colour is ashy with yellow colour bands across the thorax;
regenerated. abdomen has rows of papules bearing tufts of long hairs, with
8. In badly affected areas, where sal regeneration is poor or presence of two long plumes of hair projected on both sides
does not occur, the open area created should be filled by of the head (Beeson 1941). Pupation occurs in a leaf fastened
introduction of suitable miscellaneous species either with a few stands of silk. Pupa is buff to dark brown in
through seed sowing or transplanting. colour, around 20–36 mm in length. Pupa exhibits sexual
9. Grazing should be kept under control as far as possible. dimorphism; the female pupa is paler in colour and larger in
10. Timber depots should be at least 3 km away from the sal size. The moths of L. mathura are moderate in size
forest. (Figs. 36.21 and 36.22). There is a distinguished sexual
dimorphism in size and colour. The female is larger than
male in size. The diagnostic characters of adult moths are
given by Hampson (1892), Beeson (1941), Browne (1968)
Remedial Measures and Roonwal (1979). The female moth has a white-coloured
1. Trap-tree operation (TTO): The beetles get attracted to the forewing with dark markings and edged with pink colour;
smell of the sap oozing out from the injured or wounded hindwing is pink in colour with a band of dark brown colour;
sal trees. Making use of this phenomenon for monitoring abdomen is half white, half pink in colour; and legs are pink
the beetle population and for trapping them in heavily and black in colour. Wing span of female moth is about
infested forests or in endemic conditions is the only 70–90 mm. The male with the forewing is mainly marked
environmentally sound and very effective non-toxic by dark brown colour, while hindwing is yellow in colour
method of control. Many of the outbreaks of this borer with a spot and line of black colour. Wing span of male moth
have been successfully brought under control by this is around 40–50 mm. L. mathura is univoltine or bivoltine
operation. This exercise has now become a regular activity (Beeson 1941; Browne 1968; Roonwal 1979). The first gen-
of maintaining healthy sal forest of the country. Sal trees, eration is found during April and October. Brood larvae
which are silviculturally unsound or having borer attack occur during April and moths are found during May after
but remaining green, wind fall or broken, with preferably pupal duration of 8–10 days. Larvae occur again during the
60–90 cm girth, should be used as trap to attract the
beetles during monsoon. About 2–3 m long sal logs are
beaten up to loosen its bark. Beetles are attracted to these
trap logs due to their odour coming out from oozing sap
from cut-end of the logs. Trap-tree operations are required
to be carried out immediately with the inception of the first
shower of rains and continued till the presence of insect is
absent continuously.
2. All attacked trees belonging to categories 1 and 2, that is,
dead trees and trees with dead crown having heaps of
more than 7 cm high wood dust above the ground, should
be felled, debarked and converted into the logs.
3. The borer affected sal logs when stored in stacks should be
sprayed with water emulsion of 0.05% chlorpyriphos
Fig. 36.21 Female moth of Lymantria mathura. (Source:
(10 mL/L water) during the month of June to kill the Roychoudhury et al. 2020b)
emerging borer beetles (pharate adults) and for effective
36 Insect Pests of Forest Nurseries, Plantations and Natural Forests and Their Management 795

Java, China, Japan and Indonesia. This insect is a sporadic

pest of castor, Ricinus communis (Beeson 1941). T. vishnou
is polyphagous, and feeds on leaves of sal forests
(Fig. 36.23). The female lays oval, light yellowish eggs on
the tree trunk or surface of the leaves in rows. They turn
bluish brown before hatching. Within 12 days hairy, light
brown, gregarious, colourful larvae hatch out. They remain
assembled in groups in early instars but scatter on the tree in
later instars (Fig. 36.24). They undergo five moults resulting
in formation of six larval instars. The full-grown larva is
hairy, white or yellowish brown, having a row of blue spots
along dorsolateral side and grows to about 69 × 8 mm in size
(Joshi et al. 1988). The larval period is nearly 45 days in
January–March, 27–53 days in April–May, 38–61 days in
Fig. 36.22 Adult male moth of Lymantria mathura. (Source: June–July and nearly 45–53 days in August–September to
Roychoudhury et al. 2020b)
October–December. The larva constructs a tent-shaped
papery cocoon, interwoven with larval hairs, usually fixed
summer weather and early rains. Pupa formation occurs
along a twig and ultimately turns to pupa. After 11–17 days
during July–September and moths are found after around
of pupal period, the moths emerge out. Its female is bulky and
10 days. Next-generation eggs are laid in October.
yellowish with a wingspan of 60 mm (Fig. 36.25) whereas
L. mathura is one of the key defoliators of S. robusta in
the male is stout, light green in colour with wing expanse of
India. This insect also prefers food plants, such as Quercus
40 mm. T. vishnou shows four to five overlapping
leucotrichophora, Quercus serrata, Syzygium cumini,
generations in a year (Beeson 1941; Joshi 1992).
Terminalia arjuna and Terminalia myriocarpa (Roonwal
Other than sal, T. vishnou is found on Anogeissus latifolia,
1979).
Bischofia javanica, Berberis asiatica, Butea frondosa,
L. mathura larvae are gregarious defoliators. The larvae
Careya arborea, Eucalyptus robusta, Lagerstoemia
are able to consume whole leaves and sometimes avoid tough
specieosa, Lantana camera, Mallotus philippinensis,
veins in older foliage growth. Larvae may also feed on
Psidium guajava, Quercus diltata, Q. leucotrichophora,
flowers and tender young shoots (Browne 1968; Roonwal
Quisqualis indica, Syzygium cumini, Terminalia belerica,
1979). Damage of this nature can result in decline in overall
T. myriocarpa and Verbascum thapsus (Beeson 1941;
growth and development of host trees, a reduction in yield or
Browne 1968; Joshi et al. 1988). The species is frequently
total crop loss in fruit crops, or even tree death (Roonwal
responsible for severe defoliation to S. robusta forests
1979). L. mathura is a major defoliator of deciduous trees.
(Beeson 1941; Browne 1968).
According to Beeson (1941), larvae of L. mathura were
found to infest and cause defoliation of S. robusta in Assam
Control Measures
and Madhya Pradesh. Appanah and Turnbull (1998) have
Foliar spraying of bacterium Bacillus thuringiensis (B.t.) var.
mentioned that in Assam and North India, the successive
kurstaki 1%, that is, @ 10 g wettable powder dissolved in 1 L
defoliations of L. mathura have been known to kill sal trees.
water, can be used to control the larvae of T. vishnou.
Control Measures
The management of L. mathura can be possible by use of
36.3.16 Swietenia Species
biocontrol options like spraying of water solution of bacte-
rium Bacillus thuringiensis (B.t.) var. kurstaki 1%, that is, @
The genus Swietenia (Family Meliaceae) is generally known
10 g wettable powder dissolved in 1 L on larvae-bearing
as mahogany. The species of this genus are native to tropical
foliage. According to Zheng et al. (1994), infestations of
America (CABI 2005). Swietenia macrophylla King is a
L. mathura in China have been controlled in chestnut
well-known and widely planted species. This species is a
orchards by the application of pesticides to tree trunks.
well-accepted planted tree, both in native and exotic places.
Trabala vishnou Lefebvre
36.3.16.1 Insect Pests of S. macrophylla
Trabala vishnou (syn. Gastropacha vishnou) (Lepidoptera:
About 21 insect species belonging to the order Coleoptera
Lasiocampidae) is generally called as the rose-myrtle lappet
(10 species), Hemiptera (1 species), Isoptera (2 species),
moth. This insect defoliator occurs in South East Asia,
Lepidoptera (7 species) and Orthoptera (1 species) are
including India, Pakistan, Thailand, Sri Lanka, Myanmar,
associated with S. macrophylla (Browne 1968). In exotic
796 N. Roychoudhury

Fig. 36.23 Sal defoliation by Trabala vishnou. (Source: Roychoudhury et al. 2017b)

Fig. 36.25 Adult moth of Trabala vishnou. (Source: Roychoudhury

and Mishra 2021b)

Fig. 36.24 Larva of Trabala vishnou

This insect is widely distributed in the old-world tropics and
extending into the subtropics (Browne 1968). The female
plantations of mahogany, the dominant pest is a shoot borer, moth lays white eggs on leaves, young shoots or other suc-
Hypsipyla robusta, which is found in both S. macrophylla culent areas of host. The larva attains a fully grown length of
and S. mahagoni. about 30 mm and is of variable colour with longitudinal rows
of black and setiferous spots. One larva may infest more than
Hypsipyla robusta Moore one shoot during the course of its development. The larva is
Hypsipyla robusta (syn. Hypsipyla pagodella) (Lepidoptera: principally destructive as a shoot borer, but also attacks
Pyralidae) is commonly known as mahogany shoot borer.
36 Insect Pests of Forest Nurseries, Plantations and Natural Forests and Their Management 797

inflorescences and fruits (Beeson 1941). Pupation occurs in a 36.3.17.1 Insect Pests of T. grandis
cocoon, either within the larval tunnel or in other sheltered Extensive studies have been carried out on teak entomology
places on the host. The moth is rufous-brown mixed with in India since inception of forestry research, and scientists are
grey and black, forewing with veins streaked with black and engaged in conducting research (both fundamental and
crossed with zigzag black lines and patches; hindwing is applied) on management of insects. About 294 insects have
whitish, semi-hyaline, with the margin and costal zone been identified so far on teak, which includes the
darker; and wing expanse is 26–32 mm in male and representatives of the order Coleoptera (147), Lepidoptera
28–42 mm in female. In India, the length of ontogeny of (94), Orthoptera (23), Hemiptera (21), Isoptera (7), Diptera
this insect is 1–6 months according to season. The species (1) and Hymenoptera (1) (Beeson 1941; Browne 1968;
usually undergo overwintering as a fourth instar larva. Tewari 1992c; Roychoudhury et al. 2001; Nair 2007).
About 21 species are found as food plants of H. robusta. These insects attack all the stages of teak growth, from seed
These food plants are Canarium schueinfurthii, Carapa to mature trees. Of these, 196 species of insects feed on
guianensis, Cedrela australis, Cedrela mexicana, Cedrela standing teak in India and its adjoining countries, comprising
multijuga, Cedrela odorata, Cedrela sureni, Cedrela toona, mainly defoliators (141), sap suckers (17), stem borers (16),
Chukrasia tabularis, Chukrasia velutina, Entandrophragma root feeders (12), seed feeders (9) and gall former (1) (Shukla
angolense, Entandrophragma utile, Khaya anthotheca, et al. 2001; Roychoudhury et al. 2002). Many of these insects
Khaya ivorensis, Soymida febrifuga, Swietenia candollei, are minor or occasional pests and very few are considered as
S. macrophylla, S. mahagoni, Toona ciliata, Xylocarpus insect pests of economic importance. Among all, Holotricha
guianensis and Xylocarpus moluccensis (Ramaseshiah and species, Hyblaea puera and Eutectona machaeralis are con-
Sankaran 1994). sidered as major insect pests of teak.
Larvae of H. robusta bore into the tips and shoots of many
potential tree species. It is a key pest of mahogany in India Holotrichia Species
and causes total mortality of seedlings and young plantations. Holotrichia Hope (Coleoptera: Scarabaeidae), the genus of
The larvae damage the apical shoot and trunk, which leads to beetles, are generally called as white grubs because larvae
reduction in the timber value. This insect is responsible for (grubs) are white in colour and found under the soil where
destruction of plantations. they feed on the roots and rootlets of teak seedlings. About
50 species of white grubs are found in India, out of which
Control Measures 14 species are identified as key pest attacking different crops
Wightman et al. (2008) have suggested the use of resistant (Chandel et al. 2009). Sometimes, in teak nurseries, white
clones/provenances that need to be exploited as an element grubs become a serious problem (Fig. 36.26). The incidence
for integrated management of mahogany shoot borer. of white grubs gradually increases with the age of the nursery
According to Mishra (1993), the entomogenous fungus and after 4–5 years of establishment. Four principal species
Beauveria bassiana is a promising pathogen for the biocon- of Holotrichia causing serious damage of teak in nurseries
trol of this serious shoot borer infesting S. macrophylla in are Holotrichia consanguinea, Holotrichia insularis,
India. Joshi and Jamaluddin (2007) have recommended prun- Holotrichia problematica and Holotrichia serrata (Thakur
ing of attacked shoots in young plantations and regular thin- 2000). About 80% damage in teak nurseries of Madhya
ning of young attacked trees. Mohanadas (2000) has Pradesh and Maharashtra was due to white grubs
suggested for foliar spraying of 0.5% Dimethoate or 0.1% (Vaishampayan and Bhandari 1981). In Kerala, it has been
Phosphamidon for 100% mortality of mahogany shoot borer.

36.3.17 Tectona grandis L.f.

Tectona grandis (Family Verbanaceae) is commonly known

as teak. Teak is a paragon among timber species. Teak is truly
an Indian species because the Indian region shows as the only
known centre of maximum genetic diversity and variability
of teak (Hedegart 1975) with distribution over 8.9 million
ha. The natural teak forests of India are mainly confined to
Peninsular India with a total area of about 1.4 million ha;
however, besides Kerala, Karnataka, Tamil Nadu and Andhra
Pradesh, other major teak-growing states include Madhya Fig. 36.26 Teak nursery bed damaged by Holotrichia sp. (Source:
Pradesh, Chhattisgarh, Maharashtra, Orissa, Uttar Pradesh, Roychoudhury and Mishra 2021c)
Gujarat and Rajasthan.
798 N. Roychoudhury

Control Measures
Sandy soil and immature Farm Yard Manure (FYM) should
not be utilised for raising seedlings, and during monsoon
(June–July) soil working should be carried out (Joshi and
Jamaluddin 2007). Light traps may be used to collect beetles
and then, beetles should be killed. Meshram et al. (1990)
have suggested for soil mixing with phorate 10 G @
150 g/nursery bed (size 10 × 1 m). Chlorpyriphos 20 Emulsi-
fiable Concentrate (EC) and phenthoate 36 EC have been
found effective at 0.04% and 0.1%, respectively, for the
control of grub population in forest nurseries (Thakur et al.
Fig. 36.27 Grubs of Holotrichia sp. (Source: Roychoudhury and 1992).
Mishra 2021c)
Hyblaea puera Cramer
noticed that H. fissa causes 20–30% mortality of seedlings in Hyblaea puera (Lepidoptera: Hyblaeidae), generally called
various teak nurseries (Varma 1991). as teak defoliator, is a key insect defoliator of teak in
The adult beetles are called as chaffer beetles or June nurseries, plantations and natural forests. Larvae of this insect
beetles that emerge from the soil soon after the feed only on soft foliage during the early leaf flushing season,
pre-monsoon showers in June. They feed on the host leaves leaving only the major veins intact (Fig. 36.28). Hampson
in the night, and after mating lay the eggs in soil at various (1894) described this insect in 1794 and included it in the
depths. The beetles prefer sandy, loose soil for egg laying. family Noctuidae. This teak defoliator is widely distributed in
The eggs are oval and white in colour. The freshly hatched the tropical regions, viz. India, Myanmar, Sri Lanka, Java,
grub is creamy white, C-shaped, about 4.5 mm in length with Papua New Guinea, Cape York Peninsula of Northern
a hard chitinised head (Fig. 36.27). The grubs exist up to 8 cm Queensland in Australia, Solomon Islands, West Indies and
deep in soil. They feed on the semi-decomposed leaves and Africa (Beeson 1941; Mathur 1960; Browne 1968; Nair
young living rootlets available in soil during June–July. After 1988).
a few days, these grubs moult, increase in size and become The moths of H. puera are comparatively small, with a
more injurious to roots and rootlets of teak seedlings in wing span of 3–4 cm (Fig. 36.29). The forewing is greyish
nurseries. The mature grubs move in soil at different depths brown and the hindwing with black and orange-yellow
from 10 to 30 cm. Sometimes they reach up to 100 cm in markings. Eggs are laid singly, on the upper or lower surface
depth in soil during October. The full-grown grubs construct of tender unexpanded brownish tinge foliage. Each female
earthen cocoons and undergo pupation during October– lays about 400–500 eggs. The freshly hatched larvae moult to
November. The beetles develop after 18 days of pupal period second instar after 2–4 days. It moults to third instar that cut
but remain hidden in soil as pharate adults up to pre-monsoon outs semi-circular or rectangular flaps after 2–3 days, then
showers in June. Thus, these pests have annual life cycle. moults to fourth instar. The duration of fourth and fifth larval
Chafer beetles cause considerable damage by feeding on stages exists for 2–4 and 3–8 days, respectively. This insect
foliage, flowers and fruits of many economically important shows five larval stages with a distinct pre-pupal stage. The
plants. Generally, the adult beetle feeds on broad leaf plants. mature larvae are about 3.4–4.5 cm in length. There is colour
Ali (2001) has reported 143 hosts of beetles in India. Among difference in the last instar; the body may be either wholly
the forest trees, Acacia nilotica, Azadirachta indica, Butea black, or with longitudinal-coloured bands that may include a
monosperma, Dalbergia sissoo, D. latifolia, Juglans spp., dorsal orange or ochreous band and lateral white lines. The
Quercus spp., Morus spp., Populus spp., Prosopis cineraria, mature larvae feed whole leaf and only the major veins
Shorea robusta, Tamarindus indica, Tectona grandis, remain intact (Fig. 36.30). On completion of feeding, mature
Terminalia arjuna, Toona ciliate and Zizyphus jujube are larvae descend to the ground on silken threads and pupate
the important hosts. under thin layer of litter or soil within a loosely built pupal
The white grubs are considered as national pest in India. covering constructed by dry or decayed leaves and silk. The
The infestations of these insects have been noticed in many total life cycle is completed within 22–30 days depending
localities causing serious damage to a wide range of mainly on the prevailing temperature and humidity.
cultivated plants. Attack of white grubs causes immediate H. puera feeds on many plants, but teak is its principal
mortality of teak seedlings in nurseries by exhibiting symp- host plant in India (Beeson 1941; Mathur 1960). There are
tom. of drying noticed only when the roots are already eaten- 31 food plants of H. puera, including teak (Roychoudhury
up by the white grubs. 1999), out of which 15 species belong to the family
36 Insect Pests of Forest Nurseries, Plantations and Natural Forests and Their Management 799

Fig. 36.28 Teak defoliation by

Hyblea puera. (Source:
Roychoudhury and Mishra 2021c)

Fig. 36.29 Adult moth of Hyblea puera

Fig. 36.30 Larva of Hyblea puera. (Source: Roychoudhury and
Mishra 2021c)
Bignoniaceae (Bignonia megapotanica, Catalpa kaempferi,
Dolichandrone spathacea, Dolichandrone stipulata,
The outbreak of H. puera in Central India, consisting of
Heterophragma adenophyllum, Heterophragma roxburghii,
Maharashtra and Madhya Pradesh, starts from the second half
Heterophragma sulfureum, Kigelia pinnata, Markhamia
of June when new flush of young, tender, reddish tinged
platycalyx, Millingtonia hortensis, Oroxylum indicum,
leaves in teak put forth in forest nurseries and plantations
Spathodea campanulata, Stereospermum chelenoides,
and continue till the end of August. On the other hand,
Stereospermum suaveolens and Tecoma undulate), 13 species
outbreak takes place from April to early June and again
including teak to the family Verbenaceae (Callicarpa
from August to September at Nilambur, Kerala (Mathur
arborea, Callicarpa macrophylla, Prema latifolia, Prema
1960). The trees, thus, remain without foliage for nearly
pyramidata, Symphorema involucratum, Tectona grandis,
2 months in Central India and 4 months in South India. It
Vitex agnus-castus, Vitex altissima, Vitex canescens, Vitex
results in a loss of about 13% annual increment during
globrata, Vitex negundo, Vitex penduncularis and Vitex
normal infestation to one-third of the total increment in
pubescens), and one species each to the family Araliacae
growth during severe infestation (Beeson 1941). Continuous
(Heptapleurum venulosum), Juglandaceae (Engelhardtia
feeding on young teak crop for three successive generations
spicata) and Oleaceae (Schrebera swietenoides). Most of
in a season causes a loss of about 65% of the normal incre-
the food plants are trees, others woody climber or shrubs.
ment in growth and sometimes even the death of the
These food plants may sustain the insect population when
defoliated trees (Champion 1934). Nair et al. (1985)
teak is not in flush (Beeson 1941).
800 N. Roychoudhury

calculated a loss of 44% potential volume growth of teak due leaving all the veins intact, thus qualifying for the name
to defoliation by H. puera in 4–8-year-old plantations in skeletoniser (Fig. 36.31). Larvae consume all qualities of
Kerala. leaves till natural leaf fall. Teak skeletonisers occur in teak
forests of Indo-China, India, Myanmar, Sri Lanka and
Control Measures throughout Malayan region to Australia (Beeson 1941;
To minimise the incidence of H. puera, teak plantation Mathur 1960; Browne 1968).
should be subdivided into different patches by raising The moths of E. machaeralis are small, bright yellow,
mixed tree species (Beeson 1941). Desirable plant species forewings having pink or reddish zig-zag or serrate line and
such as Anogeissus latifolia, Bauhinia racemosa, Carcya hindwings with an ochreous or reddish marginal line or band
arborea, Cassia fistula, Grewia asiatica, Grewia tiliaefolia, (Fig. 36.32). The female moth lays 250–550 greenish white
Helicteres isora, Kydia calyeina, Shorea robusta, Sterculia eggs single on the ventral area of leaf. Larvae after hatching
villosa, Terminalia tomentosa and so on, should be grown are dirty white, which changes to pale green in colour in due
preferably in mixture within the teak plantations (Beeson course of time. This insect shows five stages of larvae;
1941). These species help to maintain the population of the growth and development differ with respect to stages with
natural parasites and predators. During afforestation distinct pre-pupal stage. The larvae consume the whole fleshy
programme, teak seeds from relatively resistant genetically leaf tissues and vein network remains intact thereby
superior teak trees should be selected for control of teak skeletonising the leaf (Fig. 36.33). Larvae consume teak
defoliator (Ahmad 1987; Nair et al. 1989; Roychoudhury leaves at different levels of maturity and quality. However,
2012c, 2013b; Roychoudhury and Mishra 2020c). Spraying larvae prefer soft tender leaves (Roychoudhury et al. 1995a).
of bacterium Bacillus thuringiensis @ 1% is highly effective Larvae spend 10–14 days based on the climatic factors.
in controlling the population outburst of this pest, irrespective Pupation occurs in small loose cocoon on green or fallen
of toxins and products (Gupta and Joshi 1995). Application
of nuclear polyhedrosis virus (NPV) @ 14 × 106 Purified
Inclusion Bodies (PIB)/mL has been proved to be very
promising against this pest (Sudheendrakumar et al. 1988).
Roychoudhury and Joshi (2010a) and Roychoudhury and
Mishra (2020a) have suggested for biopesticide, 0.005%
ivermectin (Ivecop-12) application for larval control of
H. puera. Roychoudhury and Joshi (2010b) and
Roychoudhury and Mishra (2019, 2020b) have
recommended to use 0.0001% biopesticide spinosad 45%
SC (Spintor 45% SC) for management of H. puera larvae.
Release of potential egg parasitoid Trichogramma raoi @
1.25 lakh/ha in teak forests during the outbreak period
(July–September) can reduce the larval population of this
pest (Sudheendrakumar 1985; Roychoudhury et al. 2018c,
2020a). The predator beetle, Chalaenius rayotus, may be Fig. 36.31 Teak skeletonisation by Eutectona machaeralis. (Source:
introduced in the area of this pest infestation to minimise Roychoudhury and Mishra 2021c)
the larval population (Sudheendrakumar 1985).
Regarding the chemical pesticides, foliar spraying of
either Carbaryl 0.1% or Malathion 0.05% can be used for
killing of H. puera larvae (Singh 1988). According to
Roychoudhury and Joshi (1996a), spraying of Deltamethrin
0.002% (0.6 mL/L) or Alphamethrin 0.002% (0.2 mL/L) or
Monocrotophos 0.05% (1.3 mL/L) is proved to be highly
effective in killing larval population of this defoliator pest.

Eutectona machaeralis (Walker)

Eutectona machaeralis (syn. Pyrausta machaeralis, Hapalia
machaeralis, Paliga machaeralis) (Lepidoptera: Pyralidae),
generally known as teak skeletoniser or teak leaf skeletoniser,
is a key pest of teak in nurseries, plantations and natural Fig. 36.32 Adult moth of Eutectona machaeralis. (Source:
forests. Larvae of this insect feed only green matter of leaves Roychoudhury and Mishra 2021c)
36 Insect Pests of Forest Nurseries, Plantations and Natural Forests and Their Management 801

thuringiensis, B.t. @ 1% has been found effective to kill

larvae of this pest, irrespective of toxins and products
(Roychoudhury et al. 1994). Roychoudhury and Mishra
(2020a, d) have found biopesticide 0.03% Ivermectin
(Ivecop-12) as effective dose for larval control of
E. machaeralis. Likewise, Roychoudhury and Joshi (2010b)
and Roychoudhury and Mishra (2020b) have recorded bio-
pesticide 0.0001% Spinosad 45% SC (Spintor 45% SC) as
effective concentration management of larvae of
E. machaeralis. Release of egg parasitoid Trichogramma
raoi @ 1.25 lakh/ha in teak forests during July–September
has been reported to control the skeletoniser (Patil and
Fig. 36.33 Larva of Eutectona machaeralis. (Source: Roychoudhury Thontadarya 1983, 1984; Joshi et al. 2007; Roychoudhury
and Mishra 2021c)
et al. 2018c, 2020a).
Regarding the chemical pesticides, Singh and Gupta
dry teak leaves. The pest undergoes pre-pupal diapause in
(1978b) and Singh (1988) have suggested spraying of Carba-
Central and North India for 4–5 months, whereas presence of
ryl 0.1% or Malathion 0.05% for effective larval killing of
diapause in this insect is not known in South India and
this skeletoniser. Roychoudhury and Joshi (2000) have
Myanmar (Beeson 1941).
recommended foliar application of either Delthamethrin
E. machaeralis is an oligophagous insect and in India, this
0.002% or Fenvalerate 0.003% or Alphamethrin 0.003% or
insect mainly survives on teak as host plant. Other host plants
Cypermethrin 0.003% or Monocrotophos 0.03% or
of E. machaeralis are Callicarpa arborea, Callicarpa cana,
Chlorpyriphos 0.05% or Phosphamidon 0.05% or Dichlorvos
Callicarpa macrophylla and Tectona hamiltonia (Beeson
0.06% or Methyl demeton 0.06% to kill larvae of this insect.
1941; Mathur 1960). This skeletoniser feeds on Callicarpa
cana in Java and is never found on teak (Beeson 1941).
In Central India, the larvae of leaf skeletoniser start
36.4 Future Scope
appearing in May and increase to epidemic form only in
September whereas in South India the epidemic level is
Periodical surveys of forest insect damage in nursery, planta-
reached in November. The impact of damage seems to be
tion and natural forest are necessary, which is highly limited
very little in South India in comparison to Central India on
(FAO 2007). Information on pest infestation is obtained via
current growth increment because during the month of
informal observations by forest scientists, foresters and forest
November growth of teak stops (Beeson 1941). However,
workers. The pest control techniques include silvicultural,
skeletonisation of leaves presumably reduces the capability
biological and chemical, for management of insects in nurs-
of producing enough food, which may hamper the increment
ery and man-made forests. An example in this regard is
and height growth in the following year. In Central India, the
integrated method of silvicultural and biological control tac-
plantations defoliated by H. puera in June–July suffer from
tics to control defoliator of teak, Tectona grandis (Mathur
infestation of leaf skeletoniser from September onwards. This
1960).
hampers the growth of teak. Complete defoliation by these
The first step of entomological research is the exploration,
insects stimulates production of epicornic branches and
inventorisation, documentation and digitalisation of insect
die-back of leading shoots, which sometimes cause death of
fauna, their host plants, major insect pests, quantification of
young trees.
damage assessment, role of climate/weather in different
eco-zones, emphasis on biocontrol options and eco-friendly
Control Measures
management (Fig. 36.34). According to Zechendorf (1995),
To minimise the outburst of leaf skeletoniser, regeneration
biological pesticide is an eco-friendly alternative. The
areas of pure teak should be subdivided into economically
promising biopesticides are plant pesticides, toxins of soil
viable patches (Beeson 1941). The desirable plant species
actinomycetes such as Avermectins and Spinosad, microbial
acting as food plants of other defoliators should be grown to
pesticides such as Bacillus thuringiensis (B.t.) and nuclear
maintain natural enemies, viz. parasites and predators. Use
polyhedrosis virus (NPV), and classical biological control by
and selection of teak seeds from relatively resistant geneti-
use of parasitoids and predators. Insecticides have limited
cally superior teak trees should be made for control of leaf
prospects in today’s pest management practices due to envi-
skeletoniser (Ahmad 1991; Mishra 1992; Roychoudhury and
ronmental concerns. Eco-friendly approaches such as biocon-
Joshi 1996b; Roychoudhury et al. 1997a, b, c; Roychoudhury
trol agents including microbial control assume greater
and Mishra 2020c). Spraying of bacterium, Bacillus
importance in this context.
802 N. Roychoudhury

Fig. 36.34 Eco-friendly control

measures of insects. (Source:
Roychoudhury, Unpublished)

Research on the insect management of forest tree species Key Questions

is not enough. Management of the major insect pests of tree 1. What is the economic injury level of identified key insects
species like Azadirachta, Cedrus, Dalbergia, Eucalyptus, of tropical and temperate forests of India?
Gmelina, Picea, Pongamia, Pinus, Salix, Shorea and 2. What is the impact of weather in outbreak of key insect
Swietenia, particularly in plantations and natural forests, is pests, and their effects on nurseries, Clonal Seed Orchard
lacking till today; the plantation growers are unable to safe- (CSO) and Seedling Seed Orchard (SSO) and natural
guard valuable timber species in nursery, plantations and forests?
even forests. Many issues are often referred by stakeholders, 3. What is the infestation level of five major insect pests of
viz. State Forest Departments, Forest Development tree species in different eco-zones of India?
Corporations and other non-governmental organisations 4. What method should be followed for screening resistance
(NGOs), which need special attention. Thus, wide scope for to adopt biocontrol of pests? Which biopesticides and
sorting out the control of various insects of forestry species biocontrol agents can be considered against target insects
still exists and remains unexplored and the scientists should in field?
fully devote to fill up the gaps. 5. What should be the Integrated Insect Pest Management
(IIPM) strategy to manage major insects of potential for-
Lessons Learnt estry species?
• The insect pests damaging seeds, seedlings and trees seri-
ously hamper forest produce, both quality and Acknowledgement The author is thankful to Dr. Rajesh Kumar
quantity wise. Mishra, Chief Technical Officer, Computer and IT Section, ICFRE-
Tropical Forest Research Institute, Jabalpur, 482021, Madhya Pradesh,
• Many insects are found to be harmful to forestry species,
for technical assistance in preparation of manuscript.
including naturally regenerating tropical and temperate
forests in India.
• Overview of forest insects of India shows that the major
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Completion Report No.: 153/TFRI/2010/Ento-3(24). Submitted to Roychoudhury N, Mishra RK (2019) Spinosad-induced larval mortality
Indian Council of Forestry Research and Education (ICFRE), in teak defoliator, Hyblaea puera Cramer (Lepidoptera: Hyblaeidae).
Dehradun Pestology 43:37–41
Roychoudhury N (2013b) Resistance in genotypes of teak to key insect Roychoudhury N, Mishra RK (2020a) Toxicity of ivermectin against the
pests. In: Singh S, Das R (eds) Assessment and conservation of defoliator larvae of some major forest insect pests-a critical review.
forest genetic resources. Institute of Forest Productivity, Ranchi, Pestology 44:34–38
Jharkhand, pp 136–143 Roychoudhury N, Mishra RK (2020b) Toxicity of spinosad against the
larvae of some key insect defoliators of forest tree species—a critical
review. Pestology 44:31–35
806 N. Roychoudhury

Roychoudhury N, Mishra RK (2020c) Resistance in teak for the man- Roychoudhury N, Meshram PB, Mishra RK (2018a) Problem of sal
agement of major insect pests-a review. Pestology 44:21–38 heartwood borer, Hoplocerambyx spinicornis Newman, in India and
Roychoudhury N, Mishra RK (2020d) Ivermectin-induced larval mor- its management: a critical review. Pestology 42:23–32
tality in teak leaf skeletonizer, Eutectona machaeralis (Walker) Roychoudhury N, Gupta DK, Mishra RK (2018b) Role of climatic
(Lepidoptera: Pyralidae). Pestology 44:45–50 factors in emergence of sal heartwood borer, Hoplocerambyx
Roychoudhury N, Mishra RK (2020e) Babul borer, Celosterna spinicornis Newman, in Dindori Forest Division, Madhya Pradesh
scabrator and its control measures. Van Sangyan 7:13–16 and its management. Indian J For 41:149–159
Roychoudhury N, Mishra RK (2020f) Ailanthus webworm, Atteva Roychoudhury N, Chandra S, Singh RB (2018c) Biological control of
fabriciella and its control measures. Van Sangyan 7:27–30 Hyblaea puera and Eutectona machaeralis by introduction of native
Roychoudhury N, Mishra RK (2021a) Shisham defoliator, Plecoptera egg parasitoid, Trichogramma raoi in teak forests. Pestology 42:36–
reflexa and its control measures. Van Sangyan 8:30–32 41
Roychoudhury N, Mishra RK (2021b) Occurrence of sal defoliator, Roychoudhury N, Gupta DK, Mishra RK (2019) Sal heartwood borer,
Trabala vishnoi in Kanha Tiger Reserve, Mandla Forest Division, Hoplocerambyx spinicornis Newman, its recent emergence in
Madhya Pradesh. Pestology 45:36–40 Madhya Pradesh and role of climatic factors. Pestology 43:28–43
Roychoudhury N, Mishra RK (2021c) Major insects pests of teak and Roychoudhury N, Meshram PB, Singh RB, Mishra RK (2020a) Native
their management—an update. Pestology 45:24–31 egg parasitoid, Trichogramma raoi: a potential biocontrol agent
Roychoudhury N, Mishra RK (2022a) Albizia foliage feeder, Spiroma against defoliator and skeletonizer in teak forests of Madhya
retorta and its control measures: an update. Pestology 46:34–36 Pradesh. J Trop For 36:62–73
Roychoudhury N, Mishra RK (2022b) Bamboo leaf roller, Crypsiptya Roychoudhury N, Singh RB, Mishra RK (2020b) Occurrence of
coclesalis and its management: an update. Pestology 46:33–38 Lymantria mathura in sal forests of Odisha. Van Sangyan 10:27–31
Roychoudhury N, Sambath S (1998) Pest status, growth and develop- Sajap AS, Samad AK (2000) Effects of food plants on development of
ment of Eurema blanda Boisduval (Lepidoptera: Pieridae) on Spirama retorta (Lepidorptera: Noctuidae). Pertanika J Trop Agric
Albizia procera (Roxb.) Benth. Indian J For 21:160–163 Sci 23:97–101
Roychoudhury N, Joshi KC, Sambath S, Pandey DK (1994) Effective- Sajap AS, Wahab YA, Marsidi A (1997) Biology of Spirama retorta
ness of three varietal toxins of Bacillus thuringiensis against leaf (Lepidoptera: Noctuidae), a new pest of Acacia mangium in Penin-
skeletonizer, Eutectona machaeralis Walker (Pyralidae). MyForest sular Malaysia. J Trop For Sci 10:167–175
30:57–60 Sambath S, Joshi KC (1999) Relative toxicity of some insecticides
Roychoudhury N, Jain A, Joshi KC (1995a) Alteration of growth and tested against the larvae of Albizia foliage feeder, Spirama retorta.
development in leaf skeletonizer, Eutectona machaeralis Walker, Indian J Entomol 61:275–278
due to variations in teak leaves of different maturity. Indian J Exp Sangha KS, Dhaliwal AK, Singh R (2017) Seasonal incidence and
Biol 33:227–229 management of Clostera cupreata (Butler) (Lepidoptera:
Roychoudhury N, Sambath S, Humane S, Joshi KC (1995b) Relative Notodontidae) on Populus deltoids. Indian J Agrofor 19:83–89
toxicity of some insecticides against Ailanthus defoliator, Atteva Sankaran KV, Mohanadas K, Ali MIM (1989) Beauveria bassiana
fabriciella Swed. (Lepidoptera: Yponomeutidae). Indian J For 18: (Bals.) Vuill., a possible biocontrol agent against Myllocerus
309–311 viridanus Fabr. and Calopepla leayana Latreille in south India.
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in teak clones to leaf skeletonizer, Eutectona machaeralis Walker: Sasidharan KR (2004) Studies on the insect pests of Casuarina
an appraisal. Indian For 123:1027–1035 equestifolia L. in Tamil Nadu and their management. Ph.D. thesis,
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breeding for insect resistance. In: Mandal AK, Ansari SA (eds) species in South India and their management information. Institute
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Roychoudhury N, Joshi KC, Chourasia M (2002) Insect pests of subsp. kurstaki in protection of Gmelina arborea Roxb. J Entomol
Tectona grandis L.f.: an update. Adv For Res India 25:196–224 Res 25:283–288
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 Part VII
Forest Products and Utilization
 Wood Properties and Utilization
37
S. R. Shukla

Abstract porous cellular structure which may be modified in different

Wood as a material, types of wood species, wood ways providing it (wood) versatility and multi-utility charac-
properties and their distinguishing attributes are discussed. ter. Additionally, this natural material is also widely avail-
Measurements and evaluation of various physical and able, renewable, sustainable and eco-friendly.
mechanical properties of wood as well as wood working The usefulness of timber is due to its internal structure,
quality parameters as per standard procedures are range of properties and chemical composition (Dinwoodie
elaborated. The computation of suitability indices and 1981; Panshin and de Zeeuw 1980; Shmulsky and Jones
safe working stresses of timbers, interaction of wood 2011; Tsoumis 1991). Rational and efficient utilization of
with environment and its behaviour and variability in this precious and multipurpose material for various
wood quality are presented. A concise list of some impor- applications, however, presents a challenge; for that its
tant timber species of the country along with their specific in-depth and proper knowledge as well as working experi-
gravity, characteristic features and general usage has also ence is absolutely necessary. Most people who work closely
been listed at the end of the chapter. with wood can easily distinguish between different types of
wood. They are also often familiar with the different
Keywords characteristics that make different types of wood react or
appear differently when cut, surfaced, treated, finished, etc.
Wood properties · Heartwood · Moisture content · Wood The obvious first step to accomplishing these tasks is to
density · Working quality accurately identify different types of wood species. It is also
helpful to know that many different tree species are divided
into groups based on their similar physical characteristics
37.1 Introduction (Chowdhury and Ghosh 1958; Anon 1972). Furthermore, it
may be noted that the use of wood species depends on a
Wood is one of the most valuable and versatile raw materials number of internal characteristics and external factors,
being used for creating many finished and semi-finished including the basic properties of the material. Different
products. This naturally grown material has provided valu- types of wood species may not be useful in all end-use
able services to humanity since its appearance on the planet applications. In other words, some types of wood are much
and has continued to contribute in many ways to the survival better suited for specific purposes than others. Accurate wood
and development of many civilizations. In spite of presence identification is also associated with various benefits such as
of many other natural and synthetic materials and products, judicious utilization of a suitable wood species for intended
wood is still a source of innumerable products useful to the application at the appropriate cost, controlling the illegal
society. Wood is mainly composed of three main polymeric trade, forensic investigations, etc.
components, namely cellulose, hemicelluloses and lignin. In
addition to these, varying quantities of extractives, gums,
resins and some other organic and inorganic chemicals are 37.2 Wood as a Material
also found in different wood species (Anon 1970, 1972;
Tsoumis 1991). At microscopic level, wood possesses a The knowledge of various properties and characteristics is a
pre-requisite not only for the efficient and rational utilization
S. R. Shukla (✉) but also helps in better understanding the wood as a material.
ICFRE-Institute of Wood Science and Technology, Bengaluru, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 811
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_37
812 S. R. Shukla

Non-homogeneous nature and vast variability in wood quality parameters change unequally on the three main axes
properties within and between different species restrict indis- depending on the direction of measurement. Depending on
criminate utilization for various purposes. Only certain num- the environmental conditions, the wood material also exhibits
bers of wood species are found to be more suitable than hygroscopicity and instability of its dimensions. Differences
others for any given application. For efficient utilization of in various wood properties of the same and different species
different timber species, detailed information about their within and between trees also cause serious problems in their
microstructure, physical and mechanical properties, durabil- selection, handling, processing and utilization. Being
ity, effects of varying environmental conditions as well as biological by nature, wood is also vulnerable to be attacked
presence of various defects and abnormalities is very impor- by several bio-organisms under suitable conditions such as
tant. The microstructure of wood, in turn, has profound fungi, termites and insects (Anon 1972; Tsoumis 1991).
influence on its physical and mechanical properties which Eventually, it is to be emphasized that combination of
are quite important in determining its utility in various various good and poor qualities of wood presents it as even
applications (Panshin and de Zeeuw 1980; Dinwoodie more complex material compared to other engineering
1981; Tsoumis 1991). materials which needs to be understood properly. The effi-
cient, economic and improved utilization of wood requires
scientific knowledge of various physical, mechanical, chemi-
37.2.1 Comparison with Other Materials cal, biological and structural properties of a wide variety of
wood species. In addition to converting solid wood into
Despite several shortcomings, wood has numerous obvious reconstituted wood products, modifications of wood material
advantages compared to other synthetic and non-synthetic by different chemical or physical methods as well as modern
materials available for identical applications. Wood is natu- processing techniques may be applied for enhancing its per-
ral, versatile and universally available from a variety of trees formance and service life (Tsoumis 1991; Shmulsky and
showing variations in properties, thus, allowing the scope of Jones 2011).
choosing the suitable wood for a given end use. Being
renewable, sustainable, efficient and attractive, it provides
cost-effective solutions to several technological designs and 37.2.2 Primary and Plantation Timbers
applications. Many woods are quite strong, lightweight and
present flexibility in designing, making building construction In India, there are close to 1600 identified timber species. Of
and other engineering products simpler and safer than com- these, about one third including various secondary lesser
mon alternatives such as steel, aluminium, reinforced con- known and plantation grown timber species have been stud-
crete, fibre-polymer composites, etc. (Chowdhury and Ghosh ied for various anatomical, physical, mechanical, chemical
1958; Anon 1970, 2020; Gillie 2004; AEC 2020). It also and biological properties (Rajput et al. 1996). Tremendous
exhibits insulation behaviour against heat, sound and elec- amount of data and information have been generated on
tricity. The wood also shows good vibration and shock resis- various aspects of these timbers. Based on the laboratory
tance, quite easy to work and design different shapes and data collected from testing of various properties as well as
sizes using simple tools, convertible to engineered wood field data on different types of trials, a number of timber
products with improved performance and found to be suitable species have been recommended for many residential and
for many residential uses and producing a variety of indus- industrial applications (Chowdhury and Ghosh 1958; Anon
trial materials (Anon 1970, 1972). 1963; Rao and Purkayastha 1972; Sekhar and Gulati 1972;
Gillie (2004), AEC (2020) and Anon (2020) presented Purkayastha 1982, 1985; Rajput et al. 1996).
various properties of different materials in comparison with Since long time, many wood species are being tradition-
wood. It may be seen from the data that for weight to weight, ally used for various applications in the country such as
wood is not an inferior material in comparison with other Tectona grandis (Teak), Shorea robusta (Sal), Dalbergia
costly and synthetic products. Lighter woods such as Balsa sissoo (Sissoo), Pterocarpus dalbergioides (Andaman
(Ochroma pyramidale) show higher specific strength than padauk), Dipterocarpus indicus (Gurjan), Adina cordifolia
stainless steel. Similarly, most of the wood properties are (Haldu), Santalum album (Sandalwood), Dalbergia latifolia
either better or at par with the moulded plastic which is a (Rosewood), Lagerstromia microcarpa (Benteak),
synthetic material. Wood as a structural material possesses Pterocarpus marsupium (Bijasal), Terminalia tomentosa
many positive features compared to other materials being (Laurel), Pinus roxburghii (Chir) and Cedrus deodara (Deo-
used in the same field. dar). These and many other region-specific long-established
Although wood is a versatile material, it also possesses timbers are generally referred to as conventional or primary
certain inferior qualities which hinder its widespread applica- timbers (Anon 1970, 1972). However, their continuous usage
bility in different areas. It is highly anisotropic, so different for a long time, lesser availability and higher prices are major
37 Wood Properties and Utilization 813

concerns making them unaffordable to many. Numerous of timbers than the softwoods. Because of the increased
research projects have evaluated the mechanical extent of forest cover, the global hardwood growing stock
characteristics of both naturally occurring and planted trees, is predicted to be about double that of softwoods (Shmulsky
including Tectona grandis and Terminalia myriocarpa. It and Jones 2011).
was discovered that the strength characteristics of trees
grown on plantations and those grown naturally do not sig-
nificantly differ. The plantation grown species were not of 37.3.1 Hardwoods
inferior quality compared with identical natural grown spe-
cies. However, in few localities, natural grown teak trees Hardwoods are trees with large leaves that are deciduous in
showed some superiority in certain properties over plantation temperate climates. The wood produced by these trees is also
gown tree, while in other localities, the reverse was found called hardwood. In contrast to the simple structure of
valid. Simultaneously, the degree of variation in certain wood softwoods, hardwood structure is complex. Surface hardness
characteristics was somewhat greater in naturally grown trees of wood has nothing to do with this class of timbers. Even
compared to those in plantations (Rajput et al. 1996). There some of the hardwoods are very soft in nature and vice versa.
are many lesser known and plantation grown timber species At least, four types of principal cells which account for a
which have been tested and evaluated for various properties. substantial portion of hardwood volume are vessel (pores),
These are also recognized as commercially important and fibres, parenchyma and rays. There is considerable variability
viable alternatives to the primary timber species for various of structure between different hardwood species. Vessels are
applications. It is to be noted that proper seasoning, preserva- present only in hardwoods, and this is one of the major ways
tive treatments and modern processing techniques may be by which the hardwoods are distinguished from the
employed for rational utilization and value addition. Some of softwoods. In some hardwoods, vessels and fibres may
them have good potential for their exploitation as alternative occupy, respectively, about 65% and 30% of the volume
wood to traditionally used timber species in various while rays may comprise 5%. In another hardwood, there
applications including building and construction, furniture, might be 55% fibres, 10% vessels, 5% parenchyma cells and
packaging, toys and handicrafts, production of plywood and 30% rays. In yet another species, these proportions might be
panel products. such as Acacia auriculiformis (Bengal jali), considerably different. Figure 37.1 shows teakwood disc and
A. mangium (Mangium), A. nilotica (Babul), Adina transverse section showing micro-structural features such as
cordifolia (Haldu), Ailanthus spp., Albizia spp., Casuarina growth rings, large open vessels and radially aligned rays.
equisetifolia (Casuarina), Dalbergia sissoo (Sissoo or The complex structure, the presence of vessels and consider-
sheesham), Eucalyptus spp., Gironniera reticulata, Grevillea able variability within and between species imply that
robusta (Silver oak), Gyrocarpus jacquinii, Hevea hardwoods look quite different from one another, for exam-
brasiliensis (Rubberwood), Maesopsis eminii, Wrightia ple, Tectona grandis, Shorea robusta and D. sissoo.
tinctoria (Dudhi), Gmelina arborea (Gamari), Dysoxylum
malabaricum (White cedar), Melia dubia, Populus spp., Pro-
tium serratum, Simarouba glauca, Swietenia mahagoni 37.3.2 Softwoods
(Mahogany) and Tectona grandis (Teak), Toona ciliata
(Toon). The softwoods come from the coniferous trees and refer to
those trees with needles, and which, for the most part, remain
green throughout the year. The wood produced by such trees
37.3 Types of Woods is called softwood. It may be noted that many softwood
species possess fairly hard surfaces. The cellular composition
Wood species are generally divided into two types: of softwood is relatively simple. About 95% of the volume of
hardwoods and softwoods. It’s critical to understand that all conifers consists of long cells known as tracheids, which
the labels ‘hardwood’ and ‘softwood’ don’t really refer to are 3–5 mm long (equivalent to hardwoods fibres which are
how soft or how hard the wood is made. In actuality, the much shorter in length). The cells are also hollow, pitted and
wood from a number of softwoods is stronger and harder than tapered shut at both ends. The remaining 5% or so of volume
the wood from a number of hardwoods. For example, Chir is essentially accounted for by radially aligned strips of short
(Pinus roxburghii), a softwood, produces a wood that is brick-shaped cells called rays. Disc of pine wood (Pinus spp.)
harder and stronger than Poplar (Populus deltoids) which is and its transverse section with microstructural features such
a hardwood. Even Balsa wood (Ochroma pyramidale), an as resin canals, growth ring and ordered arrangement of
extremely light-weight wood, commonly used in making tracheids are shown in Fig. 37.2. Resin canals are found
model airplanes, is the product of a hardwood. In most of consistently in only a few softwood genera such as Pinus
the tropical countries, hardwoods make up the major volume and serve as path for transport of resin in living trees. Resin
814 S. R. Shukla

Fig. 37.1 Teak (hardwood) disc

Bark
(a) and transverse section (b)
showing micro-structural features: Pith
growth rings, large open vessels Heartwood Growth
ring
and radially aligned rays

Vessels

Rays
Growth rings

Sapwood

(a) (b)

Fig. 37.2 Pine (softwood) disc

(a) and transverse section (b) Bark
Sapwood
showing micro-structural features:
resin canals, growth ring and
ordered arrangement of tracheids Resin
Growth
canals
ring

Pith
Growth
ring

(a) (b)

canals are spaces between cells created by the separation of permeability, (5) slightly higher density than the sapwood
adjacent cells which may be oriented longitudinally or radi- due to presence of extractives and other infiltrations, (6) com-
ally (within rays). Abies pindrow and Pines roxburghii are paratively lower hygroscopicity than the sapwood and
examples of softwoods. (7) lower fibre saturation point (FSP) than the sapwood.
However, in most of the cases, the strength properties of
heartwood are not apparently different than corresponding
37.3.3 Heartwood and Sapwood sapwood of the same tree (Rajput et al. 1996).

Observations of cross-section of a tree stem often reveal dark-

coloured inner portion called heartwood, which is surrounded 37.4 Directions in Wood
by a lighter-coloured outer portion called sapwood. The
sapwood part of the tree contains the living cells and respon- The seasonal growth patterns of the wood usually result in the
sible for transport of food (mostly sugars) and water. The formation of one circular ring annually called growth ring or
mechanical support to the tree is contributed by the dead zone sometimes, annual ring. They comprise more or less distinct
of heartwood. It may be noted that sometimes, colour wise layers of earlywood (forms early in growth season) and
distinction between heartwood and sapwood is not very latewood (darker coloured portion form later). Rays in the
apparent which may be due to paucity of dark-coloured cross-section of wood trunk are visible extending radially
extractives in the heartwood. from pith to periphery (cambium side) and facilitate the
Certain important features of heartwood are (1) distinct transport of sap in horizontal direction. All types of wood
characteristic odour and colour, (2) high amount of decay contain rays, readily visible in some, but difficult to visualize
resistance against deterioration from certain bio-organisms, with naked eyes in others. The distance between the rays
(3) difficult to penetrate with liquids like water and preserva- remains relatively constant in growth rings near the pith.
tive chemicals due to blockage of tiny passages in the wood The fibres and vessels are oriented vertically in the tree
structure, (4) difficult to dry or season due to poor trunk. Depending on the direction of the fibres and the growth
37 Wood Properties and Utilization 815

Radial Growth rings Tsoumis 1991; Rajput et al. 1996). Many of physical
properties are very important to study for proper characteri-
zation of wood material and have great influence on the
performance (Anon 1970; Shmulsky and Jones 2011). The
heartwood colour of timbers is mostly influenced by the
nature and relative percentage of extractive chemicals present
in the wood. The extractives are also responsible for the
natural durability of timber by providing resistance against
Tangential biodegradability and longer service life. Reactions of wood to
different forms of energy such as sound, heat, light and
electricity are also broadly classified under physical
Fiber direction properties. These properties have sometimes been predomi-
nantly responsible for the numerous uses of wood such as for
musical instruments, decorative surfaces, insulating media,
etc. Study of these aspects has great value in the economic
utilization of various species. Sampling of trees and logs for
Longitudinal the evaluation of different properties and their conversion for
testing is carried out as per standard procedure (Anon 1974).
Fig. 37.3 Directions of principal axes in wood Testing and evaluation of the physical properties of wood are
usually done according to IS standards (Anon 1986a). Some
of the tree diameter, the wood properties generally vary along important physical properties such as moisture content, spe-
three axes perpendicular to each other: radial, tangential and cific gravity (SG; basic density) and shrinkage (and swelling)
longitudinal (Fig. 37.3). are described in the following paragraphs:

• Radial: This direction is perpendicular to both the growth 37.5.1.1 Moisture Content (MC)
rings and the long axis of the stem. The cross-section and length of the specimen selected for
• Tangential: This direction is tangent to the growth rings. determining the moisture content of the wood piece are 2 ×
• Longitudinal: It is parallel to the long axis of the stem and 2 cm2 and 2.5 cm respectively. Many times, the specimen for
the fibres are oriented in this direction. MC is taken from the portions of wood samples of mechani-
cal properties immediately after completing the test. For
determining the moisture content, the specimen is first
weighed and then dried in an electrically heated hot-air
oven maintained at a temperature of 103 ± 2 °C for suffi-
37.5 Physical and Mechanical Properties ciently long time, usually in the range of 24–48 h. The weight
of specimen is recorded at regular intervals till constant
The timber species exhibit a remarkably wide variation in weight is obtained or difference between last two readings
their wood properties. The suitability of wood for a specific should not be greater than 0.002 g. The final weight is
purpose depends on its properties (Anon 1970, 1972; Rajput recorded as the oven-dry weight of specimen and per cent
et al. 1996). Because of inherent variations in the properties of moisture content (MC) is computed as follows:
of different woods, not all timber species are suitable for all
purposes. The selection of appropriate wood species for MC ð%Þ = ððW 1 –W o Þ=W o Þ × 100, ð37:1Þ
different applications is the first step towards rational utiliza-
tion of timber. Several systematic studies have been carried where W1 is the weight of wood specimen at test (g) before
out to evaluate the anatomical, physical, mechanical and drying and Wo is the final weight of same specimen (g) after
other properties of different wood species (Anon 1970; oven-drying.
Rajput et al. 1996). The oven-dry weight ‘Wo’ of a wood piece may be calcu-
lated from its weight at any moisture content ‘mc’ (Wm) using
the following equation:
37.5.1 Physical Properties

The term ‘physical properties of wood’ is generally ascribed W o = W m =ð1 þ mc=100Þ: ð37:2Þ
to denote such inherent qualities as the wood moisture con-
tent, density, shrinkage and swelling characteristics (dimen- It should be noted that the amount of moisture or water
sional stability), appearance, colour etc. (Anon 1970; present in the test sample is expressed as a percentage of the
816 S. R. Shukla

weight of the oven-dried wood. Wood dried long enough in a 37.5.1.3 Specific Gravity and Density
well-ventilated oven at 103 ± 2 °C and maintaining a rela- Both wood specific gravity (SG) and wood density determine
tively constant weight is said to reach zero per cent moisture the amount of actual wood material per unit volume of wood
level. Freshly felled trees or ‘green’ sawn wood from the logs (Zobel and Jett 1995). Wood density is controlled by many
can have a moisture content of up to 150–250% (Tsoumis factors, including fibre or cell wall thickness, its diameter, the
1991; Shmulsky and Jones 2011). ratio of early to late wood and the chemical constituents of
Because wood is a naturally hygroscopic material, it the wood (Cave and Walker 1994). The specific gravity of
absorbs moisture or water vapour in a wet environment and wood is one of the most important physical properties. Most
loses moisture in a dry environment. Therefore, the moisture physical and mechanical properties of wood are correlated
content of wood varies according to atmospheric conditions with the specific gravity. The SG value of a piece of wood is
and depends on the relative humidity (RH) and temperature determined as the ratio of its mass to the volume at the test. It
of the surrounding air. Under conditions of constant temper- should be noted that the weight of wood is the sum of
ature and humidity, the wood reaches an equilibrium mois- different components present such as (1) the weights of the
ture condition, called equilibrium moisture content (EMC), wood material; (2) foreign bodies (mineral and non-mineral)
where the wood does not increase or lose moisture. Here, the and (3) water (Anon 1970; Dinwoodie 1981; Shmulsky and
EMC value represents the balance point where the wood is in Jones 2011).
complete balance with the surrounding environment. Thus, Size of the wood specimen for determining specific grav-
the EMC value of wood is always regulated by relative ity or density at test is generally taken as 2 cm × 2 cm in
humidity and ambient temperature. In an uncontrolled envi- cross-section and 6 cm in length (or bigger size of 5 cm ×
ronment, the EMC of wood varies according to seasonal 5 cm × 15 cm) according to the Indian standards (Anon
climatic conditions and different locations. Under normal 1986a). For computing the volume (in cm3), three
conditions, the average EMC value of wood should be dimensions of rectangular specimen (width, height and
10–14% (12 ± 2%). Equilibrium points often vary within length) should be measured accurately (in cm) and
the country, from dry deserts to wet oceanic coastal to hills multiplied. For irregular shaped specimens, the immersion
and glacial mountains. In addition, there can be a wide range method in a non-adsorbing liquid is adopted or ‘mercury
of relative humidity variations between individual points in volumeter’ may be used for determination of the volume.
the same location. For example, a house by the sea has a The specific gravity or density at test may be calculated using
higher EMC than a house on land. Different heating/cooling the following formula:
systems can also significantly change the local relative
humidity and thus change the EMC of the wood (Panshin SG = W m =V m , ð37:3Þ
and de Zeeuw 1980; Tsoumis 1991).
where Wm = weight of test specimen (g), Vm = volume of test
37.5.1.2 Fibre Saturation Point (FSP) specimen of wood (cm3).
The FSP is the condition during the increase or loss of wood Standard or basic specific gravity is mostly estimated from
moisture when the cell walls of the wood are completely oven-dry weight and volume at test (green or air dry). Spe-
saturated and there is no water in the cell cavity. Water that cific gravity based on green volume is referred to as standard
is chemically bound to the wood material of the cell wall is specific gravity. The standard specific gravity of wood is
called ‘bound water’, while the water filling the cell cavity is evaluated using the following formula:
called ‘free water’. The FSP for most woods is generally
considered to be approximately in the range of 25–30% S = W o =V g , ð37:4Þ
moisture content, calculated from the oven-dry weight
basis. Between 0% moisture (oven-dry) and around FSP, where Wo = oven-dry weight of wood specimen (g), Vg =
wood shrinks or expands to the maximum extent depending volume of same specimen in green (fully saturated with
on the loss or gain of moisture. The size of the wood changes water) condition (cm3).
as the moisture content drops below the FSP. Wood shrinks Density of a wood (‘weight’ or ‘heaviness’) is determined
when it loses moisture below the FSP and expands when it as the weight divided by its volume at test and measured in
gains moisture up to the FSP (Panshin and de Zeeuw 1980; kg/m3 (or g/cm3). It is inversely proportional to the porosity
Shmulsky and Jones 2011). However, above the FSP, the of the wood (or the ratio of pore volume). Specific gravity, or
wood does not shrink or expand significantly due to changes relative density, also expresses the ratio of the density of
in moisture content, because the cell walls remain fully wood to the density of water. Density values for green and
saturated and the cell cavities are filled with free water air-dry conditions are calculated from the weight and volume
without affecting the dimensional changes of the wood of the test samples under these two conditions. Numerically,
sample.
37 Wood Properties and Utilization 817

the specific gravity and density of oven-dry wood are the (teak), a medium density (550–750 kg/m3) and Dalbergia
same. It may be noted that the density of wood varies sissoo (sheesham), high density (>750 kg/m3) wood species.
according to its moisture content, which should be recorded Anatomical structure of low-density wood shows bigger size
for the reporting purpose. and large number of pores (vessels), while high density
woods have smaller size and a smaller number of pores. In
37.5.1.4 Importance of Specific Gravity/Density general, the denser wood exhibits greater mechanical
The density of wood is a rather complex property that is properties such as strength, stiffness and hardness (Bootle
affected by many factors, such as moisture content, wood 1983). In conjunction with other factors, denser woods are
microstructure and the presence of extractives. The density of often more durable and is less susceptible to collapse
wood is primarily a measure of the amount of cell wall (Panshin and de Zeeuw 1980; Tsoumis 1991). However,
material and other foreign materials per unit volume. Some very dense wood is often more difficult to work and takes a
other important factors influencing the wood density are the lot of time to dry (Bootle 1983). The wood samples are dried
ratio of earlywood to latewood, cell (fibre) diameter, fibre to moisture content in the range of 10–14%, and then the
wall thickness and chemical constituents of the wood. In strength properties are adjusted to 12% MC for comparison to
general, an increase in the thickness of the cell wall and a other timber species. The classification of wood by density
decrease in the area of the cell lumen with the age of the tree (or weight) and standard specific gravity is generally
leads to an increase in the corresponding wood density. The practiced in commercial fields and presented in Table 37.1.
density of perfectly dried wood species varies greatly
depending on the air spaces (cell cavities) within the material. 37.5.1.5 Shrinkage Properties
The density of the wood substance in the cell wall in all the Shrinkage is the reduction in size or volume of wood speci-
tree species is ascertained as about 1520 kg/m3 (Shmulsky men when its moisture content changes from higher to lower
and Jones 2011). Non-mineral infiltrations (organic in nature) values. The changes in dimensions of the wood samples are
which are responsible for the various colours of the heart- more visible when moisture content falls below the FSP
wood in different species constitute about 10% of the dry (25–30%). Generally, the amount of shrinkage is propor-
weight. tional to the moisture loss. Some of the important factors
Density not only affects the strength properties and affecting the shrinkage and swelling of wood are its moisture
processing behaviour of sawn wood, but also affects the content, density, chemical composition, mechanical stresses,
yield of wood fibre for pulp production, that is, wood with etc. Wood shrinks when water (called bound water) is lost
a lower density generally has lower strength and produces from the cell wall and swells after water is absorbed by the
less wood fibre than wood with a higher density. Figure 37.4 cell walls. As explained earlier, the amount of changes in
depicts microstructure of three wood species namely Bombax moisture content above the FSP has no significant effect on
ceiba (semul), low density (<450 kg/m3), Tectona grandis the size or volume of the wood sample. Shrinkage or

Fig. 37.4 Microstructures of low (a), medium (b) and high density (c) woods
818 S. R. Shukla

Table 37.1 Classification of wood based on density and standard specific gravity (Anon 1970; Rajput et al. 1996)
Classification Limit of density (or weight) at 12% MC (kg/m3) Standard specific gravity Examples
Very light Up–300 Below 0.28 Balsa, Dhupi
Light 301–450 0.28–0.42 Papita, Gokul
Moderately heavy 451–600 0.42–0.56 Salai, Vellapine
Heavy 601–800 0.56–0.70 Teak, Mundani
Very heavy 801–950 0.70–0.85 Babul, Bael
Extremely heavy 951 and above 0.85 to above Rohan, oak

Table 37.2 Range of shrinkage Shrinkage type Range of values (%)

values of wood from green to
Radial (SR) 2–6
oven-dry conditions (Anon 1970;
Rajput et al. 1996) Tangential (ST) 5–10
Longitudinal (SL) 0.1–0.3
Volumetric (SV) 8–18

expansion must occur evenly in the wood to maintain dimen- tangential (ST), longitudinal (SL) and volumetric (SV). The
sional stability. As such, the degree of contraction or expan- amount of shrinkage is determined from initial (green) con-
sion in the wood varies in the three principal directions. dition to a required condition (usually air-dry—12% MC or
Specifically, the dimensional change is smallest in the longi- oven-dry—0% MC) by measuring the dimensions or volume
tudinal direction (along the fibre direction), much larger in of wood specimens in respective conditions. The radial (SR),
the radial direction (core to edge), and even larger in the tangential (ST) or longitudinal (SL) shrinkage value is
tangential direction of the growth rings. Table 37.2 shows computed using following formula:
the range of values of four types of shrinkage (radial, tangen-
tial, longitudinal, volumetric) in typical wood samples dried SR ðor ST or SL Þ = ððL1 - L2 Þ=L1 Þ × 100%, ð37:5Þ
from green (very high moisture content, above the FSP) to
oven-dry conditions. where L1 = length (radial or tangential or longitudinal) at
initial (or green) condition (cm), L2 = length (radial or
37.5.1.6 Measurement of Shrinkage tangential or longitudinal) at a given moisture content
For measuring the amount of shrinkage in the wood, true (air-dry or oven-dry) condition (cm).
radial, tangential, longitudinal and volumetric specimens are Similarly, the volumetric shrinkage (SV) is calculated as
prepared. According to Indian standard IS:1708 (Anon follows:
1986a), the recommended specimen dimensions for deter-
mining the radial, tangential and longitudinal shrinkage are Sv = ððV 1 - V 2 Þ=V 1 Þ × 100%, ð37:6Þ
2 × 2 cm2 in cross-section and 5 cm in length. Similarly, for
evaluating the volumetric shrinkage, test specimen may be of where V1 = volume at initial (or green) condition (cc), V2 =
smaller size (2 × 2 cm2 in cross-section and 6 cm in length) or volume at a given moisture content (air-dry or oven-dry)
bigger size (5 × 5 cm2 in cross-section and 15 cm in length). condition (cc).
The wood specimens are weighed in the green condition The volumetric shrinkage can also be calculated if wood
(water saturated) to 0.001 g accuracy and their radial, tangen- density of the specimen is known:
tial and longitudinal dimensions are measured to an accuracy
of 0.01 mm using digital caliper. The volume of wood speci- SV ð%Þ = FSP ð%Þ × density kg=m3 × 10 -3 : ð37:7Þ
men is determined by immersion method with an accuracy of
0.01 cc. The wood specimens under investigation are then Thus, the high-density wood shrinks and swells more
allowed to dry slowly under shade and periodically weighed (Rajput et al. 1996).
and dimensions (and volume) are measured until no further
loss of weight is observed (air-dry condition). The specimens 37.5.1.7 Anisotropic Nature of Shrinkage
are finally dried in an oven at 103 ± 2 °C and weight and As mentioned above, wood shrinks or expands to varying
dimensions (and volume) of oven-dried samples are recorded degrees depending on the direction in the wood specimen,
and used for computing the amount of different types of indicating the anisotropic nature of this material. As listed in
shrinkages and also the corresponding moisture content of Table 37.3, green to oven-dry longitudinal shrinkage value is
wood. As stated above, the changes in dimensions are used to one to two orders of magnitude less than tangential
calculate different shrinkage values in wood: radial (SR),
37 Wood Properties and Utilization 819

Table 37.3 Mechanical properties of wood volume of each class or grade can be used to indicate the
Sl. no. Properties severity of the distortion.
1. Static bending strength (flexural strength and stiffness)
2. Impact bending strength
3. Compressive strength parallel to grain 37.5.2 Mechanical Properties
4. Compressive strength perpendicular to grain
5. Hardness (under static indentation) The mechanical properties of a material are usually related to
6. Shear strength parallel to grain the resistance with which it resists external forces. Mechani-
7. Tensile strength parallel to grain cal properties include strength properties, which refer to the
8. Tensile strength perpendicular to grain fracture aspects of a material and elastic properties, which
9. Cleavage strength parallel to grain measure resistance to deformation and distortion. Both of
10. Nail and screw holding powers
these parameters will eventually show performance and
11. Brittleness (Izod and Charpy impact tests)
other related issues related to the material. The strength
12. Torsional strength
properties of wood are closely related to its density, which
varies widely from species to species. While mechanical
shrinkage, and tangential shrinkage is 1.5–2.5 times greater properties vary drastically with timber species, they also
than the radial shrinkage (Tsoumis 1991; Shmulsky and depend upon the shape of a member, the nature of forces
Jones 2011). The volumetric shrinkage is generally the sum applied and the relative direction in which forces are applied
of three shrinkage values (SR + ST + SL). (Anon 1970; Tsoumis 1991; Shmulsky and Jones 2011). For
example, a lesser force will be required to bend a piece of
37.5.1.8 Importance of Shrinkage and Swelling: wood than to crush it, and yet a different degree of force will
Dimensional Instability be required to pull the piece apart. In addition, the magnitude
The dimensional stability of wood is one of the few of forces differs depending upon whether forces are applied
properties that, due to its anisotropy, varies significantly in parallel or perpendicular to the grain. Table 37.3 lists basic
each of the three axes. Dimensional changes in the longitudi- mechanical properties of wood which are mostly evaluated to
nal direction between the FSP and the oven-dry are approxi- find the suitability of timber of various end-use applications.
mately 0.1–0.3% and have little practical significance. The The mechanical properties of wood also vary with changes in
combination of tangential (up to 10%) and radial axis (up to moisture content. Wood is usually much stronger in its dry
6%) shrinkage can distort the shape of wood pieces due to state than in its green or wet state. The exception is impact
differences in shrinkage and annual ring curvature. Wood resistance; dry wood tends to shatter and crack under high-
also shows hysteresis in increasing and decreasing humidity impact loads. Due to the comparison of two types of wood
fluctuations. It should be noted that differential shrinkage in with different specific gravity, wood with a higher specific
the radial and tangential directions and related effects such as gravity corresponds to higher strength values. It must also be
checking, deformation and cracking (also called seasoning considered that wood is much stronger (7–10 times) when
defects) constitute the most troublesome physical character- loaded parallel to the direction of the grain than perpendicular
istic of wood (Anon 1970). Dimensional changes associated to the grain.
with shrinkage and expansion can cause further deterioration
of wood products. As a result of repeated cycles of contrac- 37.5.2.1 Testing and Evaluation of Different
tion and expansion during service, various defects can occur, Mechanical Properties
such as the opening or tightening of joints and changes in the The widespread application of various timbers and the appli-
cross-sectional shape of wooden objects. Distortions of wood cability of evaluating the mechanical properties of different
are deviations from straightness that occur after sawing. wood species require testing them in some standardized way
Distortion affects the utility of the wood by limiting the so that their comparison also becomes easier. Therefore,
effective use of the resource but has little effect on overall different specific methods of Indian Standards IS:1708
strength. Different types of distortion include bow, spring (Anon 1972, 1986a) some other accepted standards are
and coil. Defects in wooden boards, such as bowing, followed to determine the mechanical properties of wood
warping, and warping, are also caused by differences in radial samples in different conditions (green, kiln-dry, oven-dry).
and tangential shrinkage. Similarly, the checking of wooden Testing of mechanical properties under static and dynamic
logs and planks is due to uneven dimensional changes, loading is done with universal testing machine (UTM) and
because there is a certain moisture gradient between the impact tester shown in Fig. 37.4a, b respectively. The direc-
surface and the interior of the wood. Traditionally, wood is tion of load applied during testing of mechanical properties of
graded either visually or measurably according to the level of wood in UTM is illustrated in Table 37.4 and Fig. 37.5.
distortion, which is given an average value. The recovered
820 S. R. Shukla

Table 37.4 Some basic mechanical properties and direction of applied forces
Properties Directions of applied forces
Static bending (3-point loading; modulus of rupture-MOR, modulus of elasticity-MOE, fibre strength at
limit of proportionality-FS at LP)

Compressive strength parallel to grain

Compressive strength perpendicular to grain

Hardness (surface indentation)

Shear strength parallel to grain

Tensile strength parallel to grain

Brittleness (Charpy and Izod impact tests)

Torsional strength

37.5.2.2 Static Bending Parameters (Central conventional destructive and non-destructive tools. The flex-
or 3-Point Loading) ural strength of wood measured using central loading is
usually expressed as modulus of rupture (MOR), which refers
Modulus of Rupture (MOR) to the maximum load-carrying capacity of a piece of wood
Strength of wood is the load-bearing capacity and shows the when a load is applied slowly, as shown in Fig. 37.6. The
ability of the material to withstand the applied forces. Bend- MOR values are usually computed for wood samples
ing (or flexural) strength and compressive strength parallel to equilibrated to green (wet) and seasoned (dry) conditions.
grain are commonly used parameters of wood which are
considered as very important mechanical properties for struc- Modulus of Elasticity (MOE)
tural and other load-bearing applications. The strength of MOE, which is a direct measurement of the resistance of
wood can be measured in several different ways using wood to deflection, has traditionally been used to measure
37 Wood Properties and Utilization 821

Fig. 37.5 Universal timber

testing machine (a), impact tester
(b)

stiffness. It determines the ability of the material to recover Fibre Stress at Limit of Proportionality (FS at LP)
when the load applied to it is removed. MOE corresponds to FS at LP is also an important mechanical parameter that
the slope of the linear part of the relationship between applied indicates the maximum bending stress the wood specimen
load (stress) versus deformation (strain) from zero to the limit can withstand under static load condition without showing
of proportionality (LP), as shown in Fig. 37.6. It is an impor- any permanent set or distortion in the piece.
tant mechanical property of wood that is often considered
more powerful in predicting the quality of wood. The high Work to Proportional Limit (WPL) and Work
stiffness enables the use of minimal material and lightweight to Maximum Load (WML)
in new furniture and designed products, resulting in more WPL is a measure of the work done, that is, the energy used
efficient use of this valuable resource. Similar to MOR, MOE in moving from the unloaded state to the limit of
is also calculated for small pieces of wood specimens in the proportionality of the wood material. Similarly, WML
green (wet) or seasoned (dry) state. measures the amount of work required to split or break
wood material. It is a measure of the energy required to
fracture a material.
Y Maximum Force
Testing and Evaluation of Static Bending Parameters
LP The nominal size of clear wood test specimen of 2 × 2 cm2 in
X cross-section and 30 cm in length with a span of 28 cm is
Rupture selected. Larger specimens of the size 5 × 5 × 75 cm3 having
a span length of 70 cm may also be taken for testing. The test
Applied Force (stress)

specimen is placed on a suitable rig having central loading

arrangement and force is applied through the moving cross-
head at a constant speed of 1.0 mm/min (2.5 mm/min for
larger size test specimens) on the tangential surface of the
Area wood sample. The applied load through the UTM’s cross-
head may be measured in kilogram (kg) or Newton (N), while
dimensions of the wood specimens are measured in cm or
X mm giving the stress units as kg/cm2 or N/mm2 (MPa)
0
Deflection (strain) respectively. Different static bending strength parameters,
namely MOR, MOE, FS at LP, WPL and WML, are
Fig. 37.6 Schematic diagram of applied force versus deflection curve
of wood sample
822 S. R. Shukla

computed from the load-deflection curve using following 37.5.2.4 Compressive Strength Parallel to Grain
equations: The size of clear wood specimens for compressive strength
parallel to grain test is 2 × 2 cm2 in cross-section and 8 cm in
MOR = ð3 × Pmax × lÞ= 2 × b × h2 ð37:8aÞ length (smaller size sample) or 5 × 5 cm2 in cross-section and
20 cm in length (larger size sample). The rate of loading
MOE = P × l3 = 4 × Δ × b × h3 ð37:8bÞ though moving cross-head of the machine is kept at 0.6
mm/min. A graph between applied load and deflection is
FS at LP = ð3 × P × lÞ= 2 × b × h2 ð37:8cÞ plotted till complete failure of the wood specimen under
test for determining compressive strength parallel to grain
parameters. Compressive stress parallel to the grain at limit of
WPL = ðC × AÞ=ðl × b × hÞ ð37:8dÞ
proportionality (CS at LP), compressive stress parallel to the
grain at maximum load (CS at ML or maximum crushing
WML = ðC × A1 Þ=ðl × b × hÞ, ð37:8eÞ
stress (MCS) and modulus of elasticity in compression paral-
lel to the grain (MOE) are computed using following
where P = load at the limit of proportionality (N), Pmax =
equations:
maximum load (N), l = span of the test specimen (mm), b =
breadth of the test specimen (mm), h = depth of the test
CS at LP = P=A ð37:10aÞ
specimen (mm), Δ = deflection at the limit of proportionality
(mm), C = area constant (N mm), A = area of load-deflection
MCS = P1 =A ð37:10bÞ
curve up to limit of proportionality (mm2), A1 = area of load-
deflection curve up to maximum load (mm2).
MOE = ðP × LÞ=ðA × ΔÞ, ð37:10cÞ
37.5.2.3 Impact Bending Strength
where P = load at limit of proportionality (N), A = area of
The dimensions of the clear test specimen for impact bending
cross-section of specimen (mm2), P1 = maximum crushing
strength are same as static bending strength, that is, 2 × 2 ×
load (N), L = gauge length between two points of compres-
30 cm3 with span length of 28 cm for smaller size samples or
sion or length of smaller size specimen (mm), Δ = deflection
5 × 5 × 75 cm3 with span length of 70 cm for larger size
at limit of proportionality (mm).
samples. Impact bending strength test is conducted on a
suitable machine. A hammer weighing 1.5 kg for smaller
37.5.2.5 Compressive Strength Perpendicular
size samples or 25 kg for bigger size wood samples is initially
to Grain
dropped from a height of 5 cm at the centre on tangential
The size of clear wood specimen for evaluating the compres-
surface. The height of drop is then gradually increased in
sive strength perpendicular to grain is 2 × 2 cm2 in cross-
steps of 2.5 cm until a height of 25 cm is reached. After that,
section and 10 cm in length (smaller size samples) or 5 ×
the height increment is increased to 5 cm till the complete
5 cm2 in cross-section and 15 cm in length (larger size
failure of the wood sample occurs. Actual deflection of the
samples). The load is applied on radial surface through a
test specimen is recorded for each height of drop of hammer.
metal plate of 5 cm width kept centrally on the specimen.
The graph is plotted between sum of height of drop and
The cross-head loading speed is kept at 0.6 mm/min. The
maximum deflection at that drop versus square of deflection
load versus deformation curve is plotted until deflection of
and limit of proportionality is determined. Different impact
2.5 mm or maximum load is observed. Different parameters
bending strength parameters such as modulus of elasticity
such as compressive stress perpendicular to the grain at limit
(MOEd) and fibre stress at limit of proportionality (FSd at LP)
of proportionality (CS at LP), compressive stress perpendic-
are evaluated by using following equations:
ular to the grain at 2.5 mm compression and modulus of
elasticity in compression perpendicular to the grain (MOE)
MOEd = H 1 × W × s3 = 2 × b × h3 × Δ2 ð37:9aÞ
are evaluated using following equations:

FSd at LP = ð3 × H 1 × W × sÞ=ðb × h2 × ΔÞ, ð37:9bÞ CS at LP = P=A ð37:11aÞ

where H1 = height of drop at limit of proportionality (cm), CS at 2:5 mm = P1 =A ð37:11bÞ

W = weight of hammer (kg), s = span of specimen (cm), b =
breadth of specimen (cm), h = height of specimen (cm), Δ = MOE = ðP × hÞ=ðA × ΔÞ, ð37:11cÞ
deflection at limit of proportionality (cm).
37 Wood Properties and Utilization 823

where P = load at limit of proportionality (N), P1 = load at from tensile strength parallel to grain test, namely tensile
2.5 mm compression (N), A = area of specimen on which stress at limit of proportionality (TS at LP), tensile stress at
force was applied (mm2), h = height of specimen (mm), Δ = maximum load (TS at ML) and modulus of elasticity in
deflection at limit of proportionality (mm). tension parallel to grain (MOE) are determined using follow-
ing equations:
37.5.2.6 Hardness Under Static Indentation
Hardness is a measure of the penetration resistance of wood TS at LP = P=A ð37:13aÞ
against any object. It is one of the important properties for
flooring and other similar applications of timbers. It is tradi- TS at ML = P1 =A ð37:13bÞ
tionally measured by the Janka hardness test which measures
the force required to press a small steel ball bearing into a MOE = ðP × LÞ=ðΔ × AÞ, ð37:13cÞ
piece of wood. According to standard procedure, the size of
clear wood specimen selected for hardness under static inden- where P = load at limit of proportionality (N), A = cross
tation test is 5 × 5 cm2 in cross-section and 15 cm in length. A sectional area of central portion of specimen (mm2), P1 =
steel rod with a hemispherical end of 1.13 cm in diameter is maximum load (N), L = gauge length of the specimen
penetrated to half of its diameter through the radial, tangential between extensometer (mm), Δ = deformation at the limit
and end surfaces of the test specimen. The rate of loading is of proportionality (mm).
kept constant at 6 mm/min. Penetrations are made at the
centre of each face and care is taken such that no splitting 37.5.2.9 Tensile Strength Perpendicular to Grain
or chipping occurs in the wood specimen under test. The load The size of wood specimen for the tensile strength perpen-
required to penetrate the steel bar to depth of 0.564 cm into dicular to grain test is 5 cm × 5 × 5.6 cm3. The specimen is
the wood specimen is recorded for determining the hardness notched on the two surfaces perpendicular to the grain so as
on each radial, tangential and end faces. The average of radial to produce a failure on 5 × 2 cm2 area. Suitable fixtures are
and tangential hardness values is computed as the side used to conduct the test in the machine. Load is applied at a
hardness. rate of 2.5 mm/min until failure occurs. Load versus defor-
mation curve is plotted to find maximum load of failure in the
37.5.2.7 Shear Strength Parallel to Grain concerned plane. Tensile strength perpendicular to grain in
The cross-section of the test pieces is 5 × 5 cm2 and the length radial and tangential planes (TS) is calculated using equation:
is 6 cm. The wood samples are notched and one end of the
test specimen is stepped to produce a shear failure over an TS ¼ Pmax =A, ð37:14Þ
area of 5 × 5 cm2 in the radial or tangential plane. The cross-
head loading speed is maintained at 0.4 mm/min. The load where Pmax = maximum load required for failure in tension
versus deformation curve is drawn until the maximum load is perpendicular to grain (N), A = area of the portion of speci-
observed in shearing the area. The shear force parallel to the men on which force is applied (mm2).
grain in radial and tangential planes, called maximum shear
stress (MSS), is calculated using following equation: 37.5.2.10 Cleavage Strength Parallel to Grain
The size of the wood sample for cleavage strength parallel to
MSS ¼ Pmax =A, ð37:12Þ grain is 5 × 5 × 9.3 cm3. Appropriate grips are used to
perform the test and loading speed of the cross-head is fixed
where Pmax = maximum load required for shearing the area at 2.5 mm/min. One end of the specimen has a special notch
(N), A = shearing area of the specimen on which force was to break in the radial or tangential plane. The test is
applied (mm2). performed in both the radial and tangential planes and the
maximum load required to cause failure of the test specimen
37.5.2.8 Tensile Strength Parallel to Grain is recorded. Maximum cleavage resistance parallel to grain
Shape and dimensions of the clear wood specimen for this (MCR in kg/cm) in radial or tangential plane is calculated
test are taken as dumbbell and 32.5 cm with 7 × 7 cm2 using the equation:
respectively in length and cross-section. The effective length
at the centre of the test specimen remains as 5 cm. Suitable MCR = Pmax =w, ð37:15Þ
grips are used to conduct the test in the machine and speed of
applied load is fixed at 1 mm/min. Elongation of the effective where Pmax = maximum load (N), w = width of the specimen
gauge length of the test specimen is recorded using an exten- (mm).
someter and plotted against the applied load. Three properties
824 S. R. Shukla

37.5.2.11 Nail and Screw Holding Powers 37.5.2.13 Torsional Strength

According to standard procedure, the size of clear wood The test specimen for torsional strength test is of cylindrical
specimen selected for nail and screw-holding power test is shape having 30 cm length and 2.5 cm diameter. The length
5 × 5 cm2 in cross-section and 15 cm in length. Nails of of the middle part of the wooden sample is taken as 22 cm
50 mm length and 2.50 mm shank diameter and screws of and the gauge length is 15 cm. Angular twist measuring
50 mm length and 8 gauge are used for testing. Special device is used at the centre. Torque is applied gradually at
fixtures are used to conduct the test and UTM cross-head the rate of about 50 kg cm/min. From the torque and twist
speed to pull out the nails and screws is fixed to 2 mm/min. data, torque and angular twist at proportional limit is
The maximum load required for pulling out nails or screws is recorded. Torsional strength parameters such as torsional
recorded for radial, tangential and end surfaces. ‘Side values’ shear stress at limit of proportionality (TSS at LP), torsional
are the average of radial and tangential surface loads. shear stress at maximum torque (TSS at MT) and torsional
modulus of rigidity (TMR) are computed using following
37.5.2.12 Toughness and Impact Strength equations:
in Dynamic Bending
Wood specimen of the dimensions of 2 × 2 cm2 in cross- TSS at LP = ð2 × M Þ= φ × r 3 ð37:16aÞ
section and 30 cm in length on grain direction are
recommended for testing and evaluation of toughness and TSS at MT = 2 × M 1 = φ × r 3 ð37:16bÞ
impact strength parameters in dynamic bending mode (Anon
1999; Moreira et al. 2017). The wood specimens are tested TMR = ð2 × M × LÞ= φ × r 4 , ð37:16cÞ
using an impact bending machine as shown in Fig. 37.7. The
pendulum impact is used for the toughness value determina-
where M = torque at the limit of proportionality (N mm), r =
tion. The energy absorbed in breaking the specimen is
radius of specimen under gauge (mm), M1 = maximum
recorded after the impact and used for computing the tough-
torque (N mm), L = gauge length of specimen (mm), φ =
ness (W, in N m). The impact bending strength ( fbw) is
angular twist of one end relative to other at a distance of
determined according to the following equation:
L (radians).
f bw = ð1000 × W Þ=ðb × hÞ,
37.5.3 Physical and Mechanical Properties
where b and h are the dimensions of cross-section of the test
specimen respectively.
Average physical properties of Tectona grandis and Acacia
auriculiformis such as equilibrium moisture content, specific
gravity, weight (in green and air-dry conditions) and shrink-
age values from green to oven-dry condition (Sekhar and
Rawat 1966; Shukla et al. 2007) are listed in Table 37.5.
Table 37.6 shows the average mechanical properties of these
two timber species evaluated in green and air-dry conditions
(Sekhar and Rawat 1966; Shukla et al. 2007). Average values
of dynamic mechanical parameters such as impact bending
strength, toughness, strength in compression parallel to grain
and modulus of elasticity in compression parallel to grain of a
few South American timber species evaluated in air-dry
condition and reported by Moreira et al. (2017) are listed in
Table 37.7.

37.5.4 Comparative Suitability Indices

Owing to wide differences in the microstructure, homogene-

ity and various properties, many woods behave differently
and do not strictly follow the laws of mechanics. Several
factors are generally taken into consideration while comput-
Fig. 37.7 Impact tester for the evaluation of dynamic bending ing the suitability of various wood species for different
properties (Moreira et al. 2017)
37 Wood Properties and Utilization 825

Table 37.5 Average physical properties of Tectona grandis and Acacia auriculiformis (Sekhar and Rawat 1966; Shukla et al. 2007)
Tectona grandis Acacia auriculiformis
Properties Green Air-dry Green Air-dry
Moisture content (%) 76.60 12.00 44.07 12.00
Weight (kg/m3) 1056.00 672.00 883.45 729.00
Specific gravity 0.596 0.604 0.625 0.645
Shrinkages
Longitudinal shrinkage (%) – – 0.61 –
Radial shrinkage (%) 2.30 – 2.64 –
Tangential shrinkage (%) 4.80 – 5.43 –
Volumetric shrinkage (%) 6.80 – 8.22 –

Table 37.6 Average mechanical properties of Tectona grandis and Acacia auriculiformis in green and air-dry conditions (Sekhar and Rawat 1966;
Shukla et al. 2007)
Tectona grandis Acacia auriculiformis
Properties Green Air-dry Green Air-dry
Static bending
Modulus of rupture, MOR (MPa) 82.50 94.08 91.63 106.62
Modulus of elasticity, MOE (GPa) 10.76 11.73 10.86 12.96
Fibre stress at limit of proportionality, FS at LP (MPa) 49.93 63.86 63.06 72.67
Compression parallel to grain: maximum crushing stress, MCS (MPa) 40.71 52.19 37.09 49.76
Compression perpendicular to grain: compressive stress at limit 8.44 9.91 7.90 10.98
of proportionality, CS at LP (MPa)
Hardness (static indentation)
Radial (kN) 5.46 4.92 3.63 4.76
Tangential (kN) 5.41 5.14 3.71 4.88
End (kN) 4.77 4.79 3.88 4.01
Maximum shearing stress parallel to grain (MSS)
Radial (MPa) 8.8 9.5 6.75 6.91
Tangential (MPa) 9.8 10.6 7.65 8.95
Tensile stress perpendicular to grain (TS)
Radial (MPa) 6.7 5.6 2.72 1.22
Tangential (MPa) 7.9 6.5 3.78 2.01
Nail holding power
Side (kN) 1.25 – 0.96 0.62
End (kN) 0.89 – 0.71 0.52
Screw holding power
Side (kN) 3.25 – 3.02 2.99
End (kN) 2.32 – 1.69 2.37

general, engineering and industrial applications. Some presents average values of physical and mechanical
factors are given higher importance compared to others properties of Teak and A. auriculiformis in green and
depending upon the basic wood property related to the air-dry conditions.
end-use application, condition of its evaluation and choice The comparative suitability index is generally expressed
of timber species. On account of various degrees and factors as percentage of suitability figure of a well-known and widely
of importance in different uses, only limited wood species are used wood species for any particular use. Teak (Tectona
acceptable for a particular application. Suitability indices for grandis) from 14 different locations across the country is
any use may only serve as quantitative guide in absence of taken as a standard timber and average values of different
reliable data on actual service trials in the laboratory or field properties are used for computing the comparative suitability
conditions. Using standard basic data on various physical and index. The suitability indices may also be used for grouping
mechanical properties in ‘green’ and ‘air-dry’ conditions, of various species for commercial classification and their
suitability indices for various wood species are computed preferences. Following suitability indices are generally
(Sekhar and Gulati 1972; Rajput et al. 1996). Table 37.8
826 S. R. Shukla

Table 37.7 Average impact bending strength and toughness of few timber species in air-dry condition (Moreira et al. 2017)
Impact bending Toughness Strength ( fc) in compression Modulus of elasticity (Ec) in
Wood species strength ( fbw) (kJ/m2) (N m) parallel to grain (MPa) compression parallel to grain (MPa)
Cedrella spp. (Cedro) 19.46 7.78 31.00 8354.0
Erisma uncinatum warm 8.38 3.35 35.00 12,967.0
(Cambará Rosa)
Cedrelinga cateniformis 20.02 8.01 31.00 8962.0
(Cedrorana)
Calophyllum spp. 33.65 13.46 51.00 14,279.0
(Catanudo)
Goupia glabra (Cupiúba) 15.35 6.14 57.00 12,970.0
Parkia spp. (Angelim 11.38 4.55 63.00 19,748.0
Saia)
Bagassa guianensis Aubl. 7.52 3.39 60.00 26,723.0
(Tatajuba)
Luetzelburgia spp. 44.98 17.99 71.00 15,301.0
(Guaiçara)
Dipteryx odorata 57.32 22.93 93.00 23,002.0
(Cumaru)
Dinizia excelsa Ducke 49.52 19.81 78.00 16,695.0
(Angelim Vermelho)

Table 37.8 Suitability indices of A. auriculiformis, A. mangium and E. tereticornis in comparison with teak taken as 100 (Sekhar and Rajput 1968;
Rao et al. 2004)
A. auriculiformis A. mangium
Properties 8-year-old 13-year-old 18-year-old E. tereticornis
Strength as a beam 104 123 96 104
Stiffness as a beam 91 106 84 95
Suitability as a post 71 95 83 95
Shock-resisting ability 089a 100a 109 125
Retention of shape 085 083 85 47
Shear 072 79 83 134
Surface hardness 085 97 79 126
Splitting coefficient 057 44 100 61
Nail-holding power 077a 064 75 84
Screw-holding power 073a 082 70 86
Weight or heaviness 099 109 106 141
a
Values calculated using strength-specific gravity relationship (Rajput et al. 1996)

evaluated for any wood species (Sekhar and Gulati 1972; suitable approximation at different stages. Owing to opera-
Rajput et al. 1996): tion of factors of importance of different kinds in different
uses, only certain species are more suitable for specific appli-
(a) Strength as a beam cation. Comparative suitability indices of wood for different
(b) Stiffness as a beam uses serve as a guide for selection of one species in prefer-
(c) Suitability as a post ence to other. Comparative suitability indices of
(d) Shock resisting ability A. auriculiformis of 8 and 13 years old, A. mangium and
(e) Retention of shape E. tereticornis in comparison with Tectona grandis are listed
(f) Shear in Table 37.8. Teak wood is conventionally selected as a
(g) Surface hardness model timber and given the score of 100 for making the
(h) Refractoriness (splitting co-efficient) comparison to other timbers. The comparative suitability
(i) Nail holding power indices of a few representative wood species such as
(j) Screw holding power Dalbergia latifolia (Rosewood), Pterocarpus dalbergioides
(Andaman padauk), Adina cordifolia (Haldu), Artocarpus
Variation in structure and non-homogeneity limit the hirsutus (Aini), Azadirachta indica (Neem) and Mangifera
application of simple laws of mechanics on wood without
37 Wood Properties and Utilization 827

Fig. 37.8 Suitability indices of 180

rosewood in comparison with teak Dalbergia lafolia (Rosewood)
taken as 100 160

140

120

100

80

Shock Resisng Ability

Screw Holding Power

Splimg Coefficient
Strength as a Beam

Suitability as a Post

Retenon of Shape

Nail Holding Power

60

40

Hardness
Weight
20

Fig. 37.9 Suitability indices of 160

Andaman padauk in comparison Pterocarpus dalbergioides (Andaman Padauk)
with teak taken as 100 140

120

100

80

Shock Resisng Ability

60

Screw Holding Power

Splimg Coefficient
Strength as a Beam

Suitability as a Post

Retenon of Shape

Nail Holding Power

40

Hardness
Weight

20

indica (Mango) are plotted as bar diagram (Anon 1970, 1974) properties may not be contributing and so important to vari-
and shown in Figs. 37.8, 37.9, 37.10, 37.11, 37.12 and 37.13. ous end uses. Classification of timbers and their suitability for
important end uses is generally based on mechanical criteria.
Hence, it is necessary to select certain timbers for different
37.5.5 Suitability Figures for Different End Uses applications according to their specific requirement and wood
properties.
According to standard procedure, basic mechanical
properties and suitability indices are used in association
with certain adjusting and weightage factors to compute the 37.5.6 Safe Working Stresses
suitability figures of various timber species for different end
use applications such as furniture artefacts, building and The basic or fundamental strength properties as described
construction, door, window shutter and frames, floorings, above are generally evaluated from the testing of defect free
packaging, wooden pallets, oars and paddles and tool handles wood specimens according to prevailing standard
(Sekhar and Gulati 1972; Rajput et al. 1996). procedures. However, in actual practice of designing the
Based on MOE and MOR of static bending, different wooden structures, the timber to be used may not always be
types of wood are structurally classified (Anon 1986b) into clear and defect free and may contain defects and actual
three different groups (A, B and C) as shown in Table 37.9. It conditions of use may be different from the standard labora-
may be emphasized that all the species cannot be equally tory conditions where timber was tested. Moreover, intrinsic
suitable for various applications. At the same time, all variability of different properties also tends to affect the
 828

taken as 100
taken as 100
taken as 100

Aini in comparison with teak

Neem in comparison with teak

Haldu in comparison with teak

Fig. 37.12 Suitability indices of

Fig. 37.11 Suitability indices of
Fig. 37.10 Suitability indices of

20
40
60
80

0
100
140

120

20
40
60
80

0
100
120
140

0
20
40
60
80
100
120
140
160
Weight Weight
Weight

Strength as a Beam Strength as a Beam

Strength as a Beam

Splimg Coefficient Splimg Coefficient

Splimg Coefficient

Suitability as a Post Suitability as a Post Suitability as a Post

Shock Resisng Ability Shock Resisng Ability Shock Resisng Ability

Retenon of Shape Retenon of Shape Retenon of Shape

Adina cordifolia (Haldu)

Artocarpus hirsutus (Aini)

Azadirachta indica (Neem)

Screw Holding Power Screw Holding Power Screw Holding Power

Nail Holding Power Nail Holding Power Nail Holding Power

Hardness Hardness Hardness

S. R. Shukla
37 Wood Properties and Utilization 829

Fig. 37.13 Suitability indices of 160

Mango in comparison with teak
Mangifera indica (Mango)
taken as 100 140

120

100

80

60

Shock Resisng Ability

Screw Holding Power

Splimg Coefficient
Strength as a Beam

Suitability as a Post

Retenon of Shape

Nail Holding Power

40

Hardness
20

Weight
0

Table 37.9 Classification of different timber species for construction purposes (Anon 1986b)
Category Static bending parameter Value Number of timber species
Group A MOE≥ 126 tonne/cm2 (12.36 GPa) 17 species
MOR≥ 900 kg/cm2 (88.26 MPa)
Group B MOE 98–126 tonne/cm2 (9.61–12.36 GPa) 70 species
MOR 600–900 kg/cm2 (58.84–88.26 MPa)
Group C MOE 56–98 tonne/cm2 (5.49–9.61 GPa) 84 species
MOR 425–600 kg/cm2 (41.68–58.84 MPa)

overall strength and performance of wood product. There- 37.6.1 Moisture Content
fore, fundamental stresses may not be applicable with confi-
dence in designing of timber products. Hence, more realistic The variations in the moisture contents between oven-dry
values of different stresses are required to be used. These are condition and FSP affect strength properties of wood. As
termed as ‘safe working stresses’ which are evaluated by explained above, changes in the amount of moisture content
applying certain safety factors on the actual fundamental of wood influence other important properties such as dimen-
stresses computed after laboratory testing on clear wood sional stability (due to shrinkage and swelling) as well as
specimens (Sekhar and Gulati 1972; Rajput et al. 1996). durability of wood (against exposure to fungi). As the wood
dries, the strength properties are found to increase. In other
words, dry wood has greater strength and stiffness than wet
37.6 Environmental Factors wood. The increase in bound water interrupts and reduces the
hydrogen bond between the organic polymers of the cell wall,
Wood being hygroscopic and having high micro-structural which weakens the strength of the wood. In practice, some-
and natural variability, the strength properties of wood are times it is not possible to dry wood to exactly 12% moisture
influenced by many external and internal factors such as content (dry state), which is necessary to compare the
moisture content, temperature, exposure to different strength parameters of different wood species. The following
chemicals, inherent and processing defects in the wood mate- formula has been proposed to adjust the strength properties to
rial. Besides these, the shape and size of the test specimens as 12% moisture content, assuming that the actual variation in
well as rate of loading of the specimens during test also found EMC of seasoned/air-dry wood specimens is between
to affect the strength properties of wood. This information is 10 and14% (Sekhar and Rajput 1968; Rajput et al. 1996).
quite useful for better understanding of timber as material for
diverse structural or non-structural applications in varying S12 = ðM d × Sd Þ=12, ð37:16Þ
climatic conditions. Effect of some of these factors on wood
properties is described in the following paragraphs. where S12 = value of strength property at 12% moisture
content, Md = actual moisture content of specimen in dry
830 S. R. Shukla

condition (%), Sd = value of strength property in dry 37.7.1 Different Woodworking Parameters
condition.
Following tests are generally carried out under controlled
conditions to evaluate the woodworking quality parameters
37.6.2 Temperature (Anon 1992).

At constant moisture content, the effect of temperature 37.7.1.1 Planning

change on strength properties has been investigated by sev- A thickness planner with an auto-feed configuration and four
eral researchers. A linear decrease in flexural and compres- sets of cutter blades with cutting angles of 15°, 20°, 25° and
sive strength with increasing temperature (up to 70 °C) was 30° are required. In both directions, four incisions of 2 mm
observed (Rajput et al. 1996). These changes are usually depth are produced at each angle. The wood specimen is
reversible when the temperature returns to normal. An visually checked after each pass for planning characteristics
increase in temperature weakens the strength properties of and faults such as raised, ripped and fuzzy grains and chip
wood. Permanent effects are also observed at higher marks.
temperatures due to certain chemical changes in the wood.
37.7.1.2 Sanding
The sanding test is performed on each specimen following
37.6.3 Chemical Exposure the planning test. This test requires a 3-drum sander machine
with a feed speed of 60 mm per sec and sand papers with grit
Wood is an organic material and its structural integrity gets numbers 60, 80 and 100 respectively. All specimens are run
disturbed when it is exposed to severe acidic or alkaline through the sanding machine with a 1 mm depth cut. The
conditions. Softwoods are more resistant to chemicals than specimens are visually evaluated and recorded after each pass
hardwoods. Wood less permeable to moisture movement is for various sanding characteristics and faults such as
less affected by chemicals. wooliness, spiral markings and scratching.

37.7.1.3 Turning
37.7 Working Qualities of Timbers For this test, a turning lathe with 3000 rpm and turning tools
are used. Defects like fuzzy grains, roughness and torn grains
In addition to anatomical, physical and mechanical are noted after visual examination.
properties, the working quality of wood in processing
operations is also important in determining the suitability of 37.7.1.4 Shaping
wood for the manufacture of various wood products. The shaping test uses a single-spindle moulder machine with
According to standard procedures, important operations a speed of about 6000 rpm along with a cutter capable of
(tests) in evaluating woodworking quality are planning, giving 2 mm deep sweep. A band saw may also be needed to
sanding, turning, forming, grooving, drilling, carving, ease make the proper cuts. The samples are visually inspected for
to work and polishing (Anon 1992). To evaluate these work- defects such as fuzzy and chipped grains, roughness, charring
ing properties, experiments are carried out with seasoned and split grains.
wood with an EMC value of 10–14%, which can be obtained
by conditioning the wood in a chamber with a temperature of 37.7.1.5 Mortizing
27 ± 2 °C and 65 ± 5% RH. A total of 50 clear and defect- This test is carried out with a 12.5 mm hollow chisel type
free wood samples are selected to evaluate the working single-spindle electric mortizing machine at a speed of
quality parameters (Anon 1992). Table 37.10 shows the approximately 3000 rpm. Appropriate jigs are required to
recommended sample size for different tests. perform the experiment. Defects such as roughness, tearing,
crushing, charring are visually examined on the wood
samples.

Table 37.10 Specimen size for evaluating woodworking quality parameters (Anon 1992)
Name of the test for evaluation of the woodworking quality parameters Size of the wood specimen (length by width by thickness; mm)
Planning and sanding tests 900 × 100 × 25
Turning test 150 × 25 × 25
Shaping, mortising and boring tests 300 × 75 × 25
Moisture content and specific gravity tests 25 × 25 × 25
37 Wood Properties and Utilization 831

Table 37.11 Different grades Grade Quality Computed value of defect

and quality parameters-based total
Grade I Excellent Defect free
defect value (Anon 1992)
Grade II Good Total defect value 1
Grade III Fair Total defect value 2
Grade IV Poor Total defect value 3 or 4
Grade V Very poor Total defect value 5

Table 37.12 Working qualities of plantation grown timbers

Species Turning Boring Planning Sanding Carving Ease of work Polishing
Acacia auriculiformis Turns well Bores Smooth finish Sands Very good Easy with Takes lacquer polish
well well sharp tools well
Maesopsis eminii Turns well Bores Fairly smooth Sands Excellent Very easy to Finish with wax and
(Musizi) well surface well work lacquer
Eucalyptus Turns well Bores Planes well Sands Excellent Easy to work Good glossy finish
camaldulensis easily well
Eucalyptus tereticornis Turns well Bores Planes well Sands Excellent Easy to work High glossy finish
well well
Leucaena Turns well Bores Smooth Sands Good Easy to work Takes lacquer with wax
leucocephala well surface well polish
(Subabul)
Gyrocarpus Raised grain and Not Rough surface Sands No sharp Very easy Can be painted to make
americanus rough surface suitable well edges imitation
Swietenia mahagoni Turns well Easy Smooth Sands Excellent Very easy Takes lacquer and wax
(mahogany) boring surface well polish well

37.7.1.6 Boring functional, traditional, religiously and socially symbolic and

In this test, two holes are drilled, one in the grain direction meaningful. India is rich in history, tradition and culture and
and the other across the grain direction. Various types of has been one of the largest producers and suppliers of
defects such as fuzziness, roughness, torn grains and crushing handicrafts. Indian handicrafts are known worldwide for
are visually identified and recorded. their versatile selection and skillful craftsmanship. Before
the era of industrial development, this industry was a poten-
tial source of economic and local employment. Like ours, in
37.7.2 Grading Based on Working Properties many countries, the share of handicrafts in the national
income is equal to the quality and quantity of the processed
In each test, each wood sample must be carefully visually products, and it has been a considerable source of foreign
inspected for various defects. Each defect detected is given a income. These countries are also focusing on developing
value between 1 and 5, depending on the severity of the craft industries and marketing strategies to earn a better
defect. For each sample, these defect values are added to income and strengthen the economy. India is a land of exotic
obtain the total defect value. Accordingly, the quality and arts, traditions, colours, smells, festivals, languages, etc., and
grade are decided as shown in Table 37.11 (Anon 1992). The has a rich cultural heritage of which craftsmanship is an
working qualities of a few plantations grown timber species integral part.
are listed in Table 37.12. Woodcraft (wooden crafts) has flourished for centuries
and has an important place in Indian history and culture.
Skilled and experienced craftsmen carve traditional patterns
37.7.3 Wooden Handicrafts on wooden objects, enhancing their appearance by painting
them with intricate metallic/ivory decorations. Being a tropi-
As known, handicrafts including wooden items are unique cal land, there is a huge variety of wood species available
expressions and represent the culture, tradition and heritage locally, which become an unlimited source of basic raw
of a society/country. These products are mainly made either materials for woodworking. The important types of wood
entirely by hand or by hand/power tools. Mechanical tools that are traditionally used for handicrafts in the country are
can be used as long as direct manual input by the craftsman is sandalwood, teak, sissoo, sal, walnut, deodar, rosewood,
the most important part of the final product. Crafts can be mahogany, red cedar, ebony etc. to mention a few. Due to
useful, aesthetic, artistic, creative, cultural, decorative, the good decorative carving and inlay, these types are widely
832 S. R. Shukla

used by craftsmen. Woodcrafts are available in many sizes, 37.9 Variability in Wood Properties
shapes and finishes. Indian woodcrafts are known for their
beauty and utility and reflect unparalleled artistic virtues. Wood being a natural biomaterial varies in its properties in
Skilled craftsmen have the expertise to create masterpieces radial direction from pith to periphery as well as in longitudi-
with exotic shapes, designs, patterns and colours. Indian nal direction along the height of the tree. In general, wood
wood industry mainly includes diverse articles, artifacts and density and all other properties are subject to great variability
objects such as finely carved figures, furniture, and among genera and species as well as trees grown on the same
accessories, windows, doors, boxes, ornaments, vases, site. In fact, variations can even be observed within a single
panels, beads, partitions, screens, etc., available in carved, tree and may be higher than 20% between the trees of same
painted or inlaid wood. The highest qualities of wooden species (Panshin and de Zeeuw 1980; Zobel and van
furniture have always been its durability, ethnic taste, style Buijtenen 1989; Tsoumis 1991; Shmulsky and Jones 2011;
and design, attractive colours, unparalleled finish and exqui- Ramagea et al. 2017). Variability is generally caused by
site elegance. With growing centres, advanced processing differences in the wood anatomical structure, notably the
and manufacturing facilities and export possibilities, India’s width of annual rings and the varied proportions of early to
traditional craft culture has reached every corner of the world. late wood as well as juvenile to mature wood (Dekort et al.
Being very creative, the craft industry has localized 1991; Guler et al. 2007; Adamopoulos et al. 2010). More-
segments of domestic and international markets and produces over, the plantation trees of faster growth exhibit far greater
a wide range of products. Indian textile industry is also very variations in various wood quality parameters compared to
labour-intensive, cottage-based and decentralized. Most of slow grown trees of the same species. Fast grown trees from
the manufacturing units are located in rural areas and small the plantations also have lower age of rotation and harvested
towns and the market potential is huge in all Indian cities and early. Hence, such trees are expected to contain higher
abroad. Although considered a cottage industry, Indian proportions of juvenile wood. Other types of growth-related
handicrafts have emerged as one of the biggest earners over defects such as wider growth rings, tension wood and growth
the years. The domestic craft industry has consistently shown stresses etc. as well as natural defects such as knots and spiral
good and commendable growth in recent years and has grains may be present in the tree, which ultimately affect the
become one of the most important producers of exports and wood properties, processing and performance of the
foreign earnings (Anon 1970). Indian handicrafts are in high products.
demand and have good potential to reach both domestic and
international markets. For demand and supply to match qual-
ity, greater technological support and innovation with indus- 37.10 Future Scope
try uniqueness are needed. The rich cultural diversity and
heritage of the country have been a constant source of inspi- Many pioneering efforts have been made in the past to
ration, providing a unique and vast resource for the develop- generate a data base of various wood properties of different
ment of traditional and innovative wood crafts. timber species of different age plantations including clones
and hybrids. There is still not much scientific information
available about the performance of different tree species
37.8 Some Important Timbers and Their being raised in various agro-climatic regions. Information
Usage on growth and wood properties is helpful in evaluating their
potential for various end-uses. Such information is also
India is home to a wide range of tree species. Research work important for making informed investments in large-scale
has been done with great effort and many scientists have tree species planting programmes. Understanding the wood
collected and compiled a huge amount of data and informa- quality parameters of tree species, the variability due to their
tion about Indian forests, Indian woods, their identification age, location, etc., and processing provides a basis for
and classifications, wood characteristics, quality parameters assessing the potential of their value-added applications in
and various end-use applications (Anon 1963, 1972; various sectors of the wood industry.
Chowdhury and Ghosh 1958; Purkayastha 1982, 1985;
Rajput et al. 1985, 1996; Rao and Purkayastha 1972). Lessons Learnt
Table 37.13 presents a concise list of some important timber • Wood is one of the versatile natural materials suitable for
species being used for various purposes in the country, their numerous end-use applications. It is also a low-carbon
scientific and common names, specific gravity, certain char- footprint structural material with minimal processing,
acteristic features of the heartwood including colour and their easy to work and exhibits high specific mechanical, ther-
general use for different purposes. mal and other properties.
37 Wood Properties and Utilization 833

Table 37.13 Important timber species, their specific gravity, characteristic features and general usage (Chowdhury and Ghosh 1958; Anon 1963,
1972; Rao and Purkayastha 1972; Purkayastha 1982, 1985; Rajput et al. 1985, 1996)
Common Specific
Scientific name name gravity Important characteristic features of heartwood General use
Abies pindrow Himalayan 0.447 Light weight, soft, not very durable, to be treated Internal work, boxes, crates, packing cases,
fir for external use, whitish in colour planking, shingles, match manufacture, wood
pulp, treated timber for building purpose
Acacia Bengal jali 0.645 Strong, heavy, tough, hard, heartwood resembles Door and window frames, posts, poles, columns,
auriculiformis with teak, brownish yellow beams, turnery articles, tool handles crates
Acacia catechu Khair 0.875 Very heavy, very strong, very hard, tough, Mainly used for extraction of cutch and Katha,
durable, kiln seasons well, hard to work, deep red posts and house construction
or reddish-brown darkening on exposure
Acacia Lal 0.976 Extremely heavy, very strong, very hard, tough, House construction, posts, agricultural
chundra Khair durable, difficult to dry, hard to work, deep red or implements, hubs and axle of carts, good for
reddish-brown darkening on exposure underwater usage, chemical extraction etc.
Acacia Mangium 0.520 Heavy, hard, very strong, tough, liable to crack, Furniture: Tables, teapoys, door and window
mangium glossy and smooth finish, brownish yellow frames and shutters, artifacts, toys etc.
Acacia nilotica Babul 0.738 Very strong, tough and hard, seasons well, very Posts, rafters, beams, door frames, rural housing,
durable, difficult to saw, takes up a good polish, tool handles, cart bodies, wheels, agricultural
pinkish brown ageing to reddish brown implements etc.
Acrocarpus Mundani 0.520 Moderately heavy, strong, moderately refractory, Planking, flooring, furniture, heavy packing
fraxinifolius non-durable, easy to saw and work, light pinkish cases, crates, boxes, plywood for tea chest, life-
or reddish-brown with darker streak boat oars, etc.
Adina Haldu 0.614 Moderately strong, harder than teak, not durable, Mostly used in artifacts, toys, pen-holders,
cordifolia moderately refractory to season, easy to combs, rulers and other handicraft, picture
treatment, easy to saw and work, fresh wood frames, sports items, light furniture, tool handles,
appears deep yellow, brownish or reddish yellow veneers, general purpose plywood, tea-chests,
when exposed panelling, etc.
Ailanthus Maharukh 0.356 Fairly strong, light, soft, easy to dry, easily Light packing cases, box shooks, match splints,
excelsa perishable in open, easy to work, whitish to light toys, slate frames, veneering and panel products
yellow or greyish turning brownish yellow on
aging
Albizia Kala siris 0.450 Soft, light to medium weight, not very strong, Packing boxes, boards, turnery products,
chinensis easy to work, light coloured furniture, yokes, slate, frames, pulping, etc.
Albizzia Kokko 0.549 Moderately heavy to heavy, strong, hard, Furniture, parquet and strip floorings, railway
lebbeck moderately durable, moderately refractory, carriage work, boat building, turnery items,
difficult to machine, brown to dark brown, tends carvings, interior decoration, veneering and other
to darken with age small specialty items
Albizzia White siris 0.579 Moderately heavy, strong, hard, moderately Construction and building such as beams and
procera durable, moderately refractory, difficult to work posts, cabinets, furniture, panelling and veneer,
and machine, brown to dark brown agricultural implements and carts
Anogeissus Axle wood 0.828 Very strong, hard and tough, difficult to season, Making wheels, picker arms used in textile
latifolia difficult to saw, takes smooth finish industry, railway sleepers, cupboards, bent-wood
articles, good for making charcoal
Artocarpus Kathal 0.505 Moderately strong, hard, heavy, durable, easy to Piles, wooden bridge platforms, door and
heterophyllus season, refractory to treatment, easy to work, window panels, other building and
yellowish brown to golden brown, darker streaks constructional works, musical instruments, tool
turning dark brown on contact handles, turnery items
Artocarpus Aini 0.516 Strong, moderately hard, durable, season easily, Building and construction for beams, rafters,
hirsutus refractory to treatment, close-grained, easy to saw window and door frames, posts, railway sleepers,
and work, takes polish, yellowish brown to paving, furniture and cabinet works, tool
golden brown turning dark brown on aging handles, sports goods, masts, rafts and life boats
Azadirachta Neem 0.693 Hard and strong timber, seasons well, durable, Different tree parts of medicinal value, wood is
indica difficult to saw and work, takes good finish, used for carving, toys, agricultural implements,
reddish brown carts, boards, panels, etc.
Bombax ceiba Semul 0.329 Loose grained, light weight, inferior quality Packaging boxes, match industry, well curbs,
wood, whitish in colour light furniture
Casuarina Casua- rina 0.693 Moderately strong, tough, very heavy, very hard, Construction work for posts, scaffolding for
equisetifolia very refractory to season, twist badly, temporary structures, poles, tent accessories,
non-durable, difficult to saw and work, pink to masts, oars, and paddles, boat building, valuable
light reddish brown, darkening on exposure as fuelwood
(continued)
834 S. R. Shukla

Table 37.13 (continued)

Common Specific
Scientific name name gravity Important characteristic features of heartwood General use
Cedrus Deodar 0.476 Softwood, distinct growth rings, easy to work, Furniture, carriages, packing boxes, structural
deodara moderately strong, yellowish brown works
Chloroxylon Satin wood 0.771 Very dense, hard and strong, durable, close Poles, posts, rafters, railway sleepers, bridge
swietenia grained, moderately hard to saw and machine dry constructions, agricultural implements, cabinet,
wood, light yellow, cream yellow to golden furniture, turnery, inlays, picture frames and
yellow darken with age ornamental works
Cocos nucifera Coconut 0.680 Takes good polish, requires preservative Poles, piles, furniture, formwork, flooring,
treatment; reddish brown canoes, rafts, walking sticks, tool handles, turned
objects
Dalbergia Rose-wood 0.660 Hard, heavy, strong, tough, very durable, seasons Decorative wood for superior quality furniture,
latifolia well, close-grained, maintains shape well, takes cabinet work, doors and windows, panelling,
good finish, purplish brown to deep purple with ornamental carvings, face veneers for decorative
streaks plywood, marine usage
Dalbergia Sissoo/ 0.692 Strong and tough, durable and beautiful, holds its High quality furniture, very good for decorative
sissoo Sheesham shape well, easily seasoned, difficult to work, works and carvings, plywood, bridge piles, sport
withstands polishing, dark brown in colour goods, railway sleepers
Dipterocarpus Gurjan 0.618 Heavy, strong, very hard, moderately durable, Furniture, flooring, veneering, plywood, panel
indicus easy to work, yellowish brown to reddish brown products, trailer decks, other utility items
Dysoxylum White 0.581 Moderately strong, moderately tough, hard, very Furniture, cabinet making, turnery articles, toys,
malabaricum cedar durable, not difficult to season, easy to work, oil casks, veneer and plywood, ceiling and floor
takes good finish, straw yellowish turning golden boards, interior fittings, suitable for match
yellow or golden brown on aging industry
Eucalyptus Eucalypt 0.639 Moderately heavy, moderately strong moderately Building and construction, door and window
camaldulensis tough, moderately hard, non-durable, difficult to frames, rafters, artifacts, carving, turnery items,
season, not easy to work, pale brown to reddish tool handles, packing cases, pallets
brown
Eucalyptus Eucalypt 0.742 Moderately hard, moderately heavy, not durable, Mainly used as poles, pulp and paper, fuelwood,
citriodora refractory to seasoning, refractory to treatment, producing charcoal etc.
light brown to greyish brown
Eucalyptus Mysore 0.713 Heavy, moderately tough, strong, hard, Mainly used for pulp and paper, rayon grade
tereticornis gum non-durable, refractory to season, refractory to pulp, power transmission poles, constructional
preservative treatment, difficult to work, takes work such as beams and columns, etc.
good finish, pale brown to reddish brown
Ficus Banyan 0.385 Light, soft to moderately hard, not very strong, Packing cases, match boxes, cheap turnery
benghalensis not durable, non-refractory, very easy to saw and works, aerial roots utilized for tent poles, cart
work, greyish white darkening to brownish grey yokes, carrying shafts, etc.
on exposure
Gironnera Churchi 0.77 Very heavy, strong, hard, moderately steady and Structural and engineering works, railway
reticulata hard, needs to be seasoned, greyish brown to sleepers, furniture, tool handles, packing cases,
golden brown crates
Gmelina Gamari 0.445 Strong, moderately hard, moderately heavy, very Door and window panels, other joinery and
arborea durable, easy to season, refractory to treatment, furniture, tool handles, decking, bent wood
easy to saw and work, pale yellow to cream articles, toys, picture and slate frames, turnery
coloured turn yellowish brown on aging items, veneering, plywood, panelling, etc.
Grevillea Silver oak 0.572 Moderately hard, tough, strong, moderately Light furniture, packing cases, veneer, plywood,
robusta durable, coarse texture, straight grain, fairly easy panel products, cabinetry, turnery and other
wood to work, light to medium reddish brown specialty items
with grey to light brown, exhibit figures
Gyrocarpus Tanaku 0.303 Light, very weak, not tough, very soft and steady Model toys, craft floats, catamarans, light
jacquini timber packing cases, slate frames, handicraft, etc.
Hevea Rubber 0.521 Soft, weak, light, non-durable, dries fast, easy to Packing cases, second grade door frames,
brasiliensis wood treat, easy to saw and work, requires treatment, shutters, furniture, light joinery, dunnage pellets,
whitish to greyish white turning to dirty creamy- match industry, bent wood articles
white on aging
Heritiera spp. Sundri 0.694 Strong, hard, tough, durable, difficult to season Used in boat building, piles, poles, tool handles,
and work, close grained, dark red carriage shafts
Hopea Hopea 0.794 Extremely strong and tough, difficult to work. Mostly used for construction, structural work,
parviflora Season easily, durable, light to deep brown railway sleepers, piles, boat building
(continued)
37 Wood Properties and Utilization 835

Table 37.13 (continued)

Common Specific
Scientific name name gravity Important characteristic features of heartwood General use
Lagerstroemia Benteak 0.603 Heavy, strong, hard, moderately tough, very Building and constructions, rafters, beams,
microcarpa durable, moderately refractory to air-season, very columns, posts, door and windows, lorry bodies,
syn. L. refractory to treatment, not difficult to saw and poles, furniture, tool handles, wooden crates,
lanceolata work, takes smooth finish, light red to reddish bend items for sports good, boat and ship
brown darkening on exposure building, marine structures, railway carriages,
etc.
Lagerstroemia Lendi 0.620 Heavy, moderately tough, strong, hard, fairly Building and constructions such as posts, beams,
parviflora durable, very refractory to treatment, moderately rafters, bridges, oars, cheap quality furniture,
easy to air-season, fairly easy to saw and work, railway sleepers, wooden packing cases and
takes good finish, light brown to pinkish brown crates, poles, lorry body building
Lagerstroemia Jarul 0.521 Heavy to moderately heavy, moderately strong, Building construction, beams, doors, windows,
speciosa hard, moderately durable, easy to air-season, very cheap quality furniture, parquet flooring, poles,
refractory to treatment, easy to saw and work, railway sleepers, wooden packing cases, crates,
takes a good finish, reddish brown darkening on chests, tool handles
exposure
Leucaena Subabul 0.601 Hard, strong, moderately heavy to heavy, not Door and window frames, tool handles, turnery,
leucocephala durable, dry without seasoning defects, close tool handles, poles, posts, props, dunnage
grained, easy to work, light reddish-brown pallets, cabinet making, parquet flooring, small
furniture, pulp and paper
Madhuca Mahua 0.737 Moderately strong extremely hard, highly House construction, posts, beams, piles, axels,
longifolia durable, refractory to season, very refractory to frames, parts of carts, tool handles, etc.
treatment, difficult to saw and work, takes a good
finish, dark red or reddish brown
Maesopsis Musizi 0.410 Soft, moderately heavy, not tough, non-durable, Light construction, joinery, turnery articles, toys,
eminii easy to saw and work, takes smooth lacquer light packing cases, wooden crates, plywood,
finish, bright yellow green or green brown turning light furniture, millwork light tool handles
to a golden brown on exposure
Mangifera Mango 0.588 Fairly strong, light to moderately heavy, soft to Cheap furniture, lining, floor and ceiling boards,
indica moderately hard, non-durable, easy to treatment, door and window frames, carvings and turnery
easy to saw and work, shape well, peels well, items, packing boxes, veneering, plywood and
whitish yellow, greyish brown to buff in colour panel products, tea chests, etc.
Mastixia Bolong 0.450 Light, weak, soft, moderately steady, straight Light packing cases, slate frames, toys,
arborea grained, medium fine textured, greyish white veneering, plywood, etc.
turning brownish with age
Melia Persian 0.550 Moderately strong, moderately heavy, moderately Toys, small articles, turnery items, packing
azedarach lilac hard and tough, durable, straight grain, seasons cases, carvings, light furniture, veneering and
well, easy to saw and work, light red to reddish decorative plywood
brown on aging
Melia dubia Malabar 0.490 Softer and lighter, moderately durable under Light packing cases, ceiling planks, musical
neem cover, straight grain, coarse texture, easy to saw instruments, veneering, good quality plywood,
and work, light pink to light red on aging boxes
Mesua ferrea Mesua 0.914 Durable, very hard, and not easy to work. Resists Construction, bridges, agricultural implements,
penetration of nails, reddish brown wagons, sleepers, piles
Mimusops Bakul 0.800 Strong, tough, hard very durable, difficult to Heavy construction, bridges, piles, crushers,
elengi season, close-grained, difficult to work, finishes carts, boats, etc.
well, light or deep reddish brown with darker
streaks
Morus alba Mulberry 0.603 Moderately hard to hard, moderately heavy, Baskets, sports goods: hockey sticks, badminton
strong, not durable, easy to season, easy to saw and tennis rackets, cricket bats, stumps, slate
and work, takes up a clean finish, light yellowish frames, packing cases, excellent for steam
brown to dark brown on aging bending, artificial limbs, tool handles, oars,
paddles, furniture, cabinets
Populus Poplar 0.419 Light, not strong, non-durable, easy to work, Boxes and crates, veneer, plywood, used in
deltoides heartwood-light brown, sapwood- yellowish match industry, various other utility items
white
Pinus Chir pine 0.491 Hard and tough, not durable, coarse grained, light Door/window frames, paving material, white
roxburghii greyish-yellow pine is light and straight grained, match boxes
Prosopis Vilayati 0.830 Cheap furniture, turnery, tool handles, fence,
juliflora babool posts, agricultural implements, construction, etc.
(continued)
836 S. R. Shukla

Table 37.13 (continued)

Common Specific
Scientific name name gravity Important characteristic features of heartwood General use
Heavy, strong, hard, tough, requires careful
seasoning, durable, difficult to saw, takes fairly
smooth finish, dark brown to purplish brown
Protium Murtenga 0.735 Fairly strong, tough, heavy, moderately hard, Structural beams, house posts, plough, carts,
serratum fairly durable, dry slowly, easy to work, red photo frames, pencil making, railway sleepers
turning dull brown or brick red with age
Pterocarpus Andaman 0.620 Heavy, strong, hard, extremely durable, seasons Decorative uses, high class furniture, cabinets,
dalbergioides padauk well, not difficult to work, yellowish pink to deep musical instruments, marine grade plywood, ship
pinkish brown or brick red, darkening to a cabins, veneer, panelling, flooring, turnery items,
reddish/purplish brown over time tool handles and other small wood items
Pterocarpus Bijasal 0.671 Strong, tough, very durable, seasons well, very Building and construction: Doors and window
marsupium refractory to treatment, coarse-grained and frames, posts, pillars, beams, furniture,
difficult to work, golden brown to reddish brown agricultural implements, cart building, tool
with darker streaks handles, carvings, etc.
Pterocarpus Red 0.967 Extremely strong and heavy, very tough, durable, Wood has high export potential for musical
santalinus sanders seasons well, dark orange red with darker streaks instruments, medicinal value, carving idols, toys,
turning deep red to purplish black ornamental house posts, furniture, tool handles,
picture frames and other small wooden items
Santalum Sandal 0.840 Hard, heavy, strong, durable, moderately Wood used for oil extraction in fragrance
album wood refractory to air season, straight grained, very fine industry, handicrafts items, carving statues, toys,
textured, takes smooth finish, gives pleasant wood powder for agar bathies, etc.
smell, yellowish brown to dark brown
Salix spp. Indian 0.443 Soft, light weight, tough, non-durable, seasons Cricket bats, posts, planks, handles, baskets,
willow well with care, easy to saw, glues and finishes packing cases, crates, carvings, pen holders,
well, light brown turning to greyish brown on artificial limbs and other specialty wood items
aging
Shorea robusta Sal 0.745 Hard, heavy, very durable, difficult to season, Structures and house construction, ships and
easy to saw, difficult to plane and turn reddish railway cars, poles, railway sleepers, posts,
brown agricultural implements, bridges, floors, window
frames. Interior finishing
Simarouba Simaruba 0.380 Light, soft, not tough, easy to work, split during Light construction, light furniture, match
glauca sawing, creamy whitish in colour industry, light packing cases, veneer, plywood
core, wood chips, handicraft items, decorative
uses
Sterculia urens Karar 0.528 Moderately heavy, strong, moderately hard, Door and window frames, furniture, joinery
moderately tough, fairly durable under cover, works, packing cases, tool handles, staircase
easy to season, easy to saw and work, takes good railings, boat building, cheap plywood, etc.
finish, reddish brown
Swietenia Maho- 0.540 Hard, strong, very durable, seasons well, takes Furniture, pattern making, cabinet work, turnery
mahagoni gany good polish, easy to saw and work, good peeling articles, bowls, inlay works, jewellery boxes,
properties, reddish brown carvings, panelling, etc.
Tamarindus Imli 0.747 Hard to very hard, heavy to very heavy, Internal fittings of buildings, parts of cart wheels,
indica moderately refractory to air-seasoning, durable other agricultural implements, tent pegs,
for indoor, extremely difficult to work, excellent chopping blocks, turnery and toys, excellent for
for turning, dark purplish-brown charcoal production
Tecomella Rohida 0.930 Strong, hard, heavy, tough, durable, straight Door and window frames, shutters, handicraft,
undulata grained, fine textured, polishes well, brownish to carving work, furniture, parquet flooring,
dirty grey agricultural implements, etc.
Tectona Teak 0.604 Moderately hard, durable, fire-resistant, stable, Superior quality construction work, furniture,
grandis season easily, takes good polish, deep yellow to boats/ships, decorative veneers for panel
dark brown products, etc.
Terminalia Arjun 0.686 Heavy, tough and strong, hard to very hard, Construction purposes such as beams, columns,
arjuna moderately durable, moderately refractory to rafters, trusses, posts, door and window frames,
seasoning, difficult to saw and work, dark brown panelling, transmission poles, agricultural
implements and boat building
Terminalia Bahera 0.540 Strong and moderately tough, hard, moderately House building as rafters and boards, agricultural
bellerica durable, moderately refractory to seasoning, easy implements such as plough shaft, carts, heavy
to saw and work, yellowish grey turning brownish packing cases, tea chest, commercial plywood
with age and blackboards
(continued)
37 Wood Properties and Utilization 837

Table 37.13 (continued)

Common Specific
Scientific name name gravity Important characteristic features of heartwood General use
Terminalia Laurel 0.796 Strong, tough, hard to very hard, moderately Building and construction, door and window
tomentosa durable, very refractory to seasoning, difficult to frames, furniture and cabinet work, plywood,
saw and work, brown to deep brown with darker panelling, poles, carriages, agricultural
streaks implements
Toona ciliata Toon, red 0.424 Light to moderately heavy, strong, hard, Light weight racing boats, door and window
cedar moderately durable, easy to work, takes good panels, match boxes, packing boxes, crates,
polish, dark reddish-brown, darkens upon furniture, joinery, cabinets, musical instruments,
exposure, reddish-brown with darker streaks veneering, plywood, panelling
Ulmus Elm 0.435 Moderately hard and strong, fine grained, take Door and window frames, furniture, carts,
wallichiana good polish. Reddish in colour decorative and ornamental uses
Wrightia Dudhi 0.480 Soft, light to moderately heavy, hard, durable All classes of turnery articles, toys, cups, plates,
tinctoria under cover, easy to season, straight grained, fine frames, spoon, combs, screens, rulers,
textured, easy to work, white when fresh, turning engineering scales, pen holders, cheap grade
yellowish grey with age pencils, etc.
Xylia Irul 0.715 Very hard, heavy, strong, durable, difficult to saw House construction, agricultural implements,
xylocarpa and work, requires slow and careful seasoning, railway sleepers, wagons, heavy constructional
reddish brown turning to deep reddish brown on works such as bridges, piles, decking, overhead
ageing poles and harbour works

• At present, most of the wood resources available are from

plantation timbers along with a few primary species.
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building and construction, flooring, plywood and panel
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structural materials. different wood working operations: method of test. Bureau of Indian
Standards, New Delhi, p 7
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anatomy of Douglas-fir width different crown vitality. IAWA Bull (2017) The wood from the trees: the use of timber in construction.
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Gillie M (2004) Fire resistance of structures. The University of Rao RV, Shukla SR, Sharma SK, Hemavathi TR, Kumar P, Dubey YM,
Edinburgh, Edinburgh, pp 1–16. http://civil.iisc.ernet.in/~manohar/ Singh D, Sudheendra R, Sujatha M, Shashikala S, Maddurappa
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physical and mechanical properties of juvenile wood from black Tecomella undulata and Eucalyptus tereticornis clones, p 105
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Moreira AP, Silveira E, Almeida DH, Almeida TH, Panzera TH, industrial and engineering uses. Indian Forest Records (N.S.). Tim-
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elasticity and the strength in compression to the grain. Int J Mater ture content in wood. Indian For 94(3):263–266
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Reynoldsa T, Shaha DU, Wud G, Yuc L, Fleminga P, Densley- properties. In: Chapter 1: Wood variation. Springer, Berlin
 Wood Processing
38
Shakti Singh Chauhan

Abstract 38.1 Introduction

Understanding the primary wood processing is very criti-
cal for augmenting throughput and improving the quality Appropriate wood processing is essential for efficient utiliza-
of the wooden products which results in economic gains. tion of woody resources. Wood processing strategies are
This chapter covers the basic aspects of three fundamental decided based on the end application of wood. The
wood processing stages namely sawing, seasoning and processing requirements of pulp products are different from
preservation. The first section deals with the sawing pro- those of solid wood applications like timber. This chapter
cess wherein different sawing methods are described mainly deals with wood processing for solid wood
based on the material dimensions. The saw blades play a applications. Primary wood processing can be divided into
critical role in defining sawing efficiencies. Various saw three major categories namely saw-milling, seasoning and
blade parameters have been discussed in detail. The sec- preservation.
ond section is on wood seasoning which is one of the most
important fundamental processing steps essentially
required for the efficient utilization of wood. The basic 38.2 Saw-Milling
aspects of wood seasoning covered include specific terms
like moisture content, equilibrium moisture content and Saw-milling is the basic step of converting a log to the sawn
fibre saturation point which are essential parts of wood form to obtain valuable timber. Saw-milling operations pri-
seasoning. Different seasoning methods are discussed in marily depend on the quality and size of raw material or logs
detail with their pictorial representation. Defects during to be processed in the mill and the ultimate end-product. The
drying are a major concern in terms of recovery of quality basic process in a sawmill is breaking down of the logs into
material. Various types of common defects along with rectangular cross-section slabs or large dimension timber.
their cause and ways to overcome them have been Further, the large dimension timber is converted into boards
described. In addition to seasoning, treatment with preser- or planks through ripping, edging and trimming. Finally, the
vative chemicals is required to increase the longevity of planks are cross-cut to desired sizes, and defects, if any, are
wood material. Being a biological material, wood is sus- removed during the process to enhance the quality and grade
ceptible to degradation by decay organisms like fungi, of the sawn timber. Every sawmill is unique and is
termites and many other insects. The section on wood characterized by the type of machines used for converting
preservation covers the natural durability of wood and timber and the wood type. Factors like wood species, log
ways of testing it, different types of wood preservatives quality in terms of shape and size and log type in terms of tree
and their efficacies and methods of treatment. maturity (old-growth or plantation timber) determine the
saw-milling operations to optimize the output and recovery
Keywords of high-grade material without many defects. For a large-
scale sawmill, the certainty in the inflow of the round logs
Saw-milling · Wood seasoning · Fibre saturation point · with the desired sizes and log quality plays a critical role in
Seasoning defect · Wood preservative the overall operation of the mill and its economic viability. In
India, most of the sawmills are in the unorganized sector
performing very basic operations due to uncertainty in
S. S. Chauhan (✉) wood supply and highly variable output requirements. The
ICFRE-Institute of Wood Science and Technology, Bengaluru, India

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 839
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_38
840 S. S. Chauhan

size and design of a sawmill mainly depend on the market poor finish in sawn wood. Band saws are mainly used for the
potential. A small sawmill may only be involved in sizing, primary conversion of logs to slabs. For the primary break-
trimming and cross-cutting for the furniture sector or a mill down, log carriages are used to hold logs firmly and accu-
may only be involved in converting logs into thick slabs for rately while sawing.
further processing. Mill locations close to log resources can Cross-cutting is the process of sawing or cutting across the
have a significant role in operational logistics and profitabil- grains and the process is used for down-sizing of logs, cross-
ity of saw-milling. As an example, several sawmills are cutting of sawn timber, edging and trimming. In a sawmill
operational near Gandhidham and Kandla in Gujarat since it dealing with large dimension logs, cross-cutting of logs to
is one of the major ports for wood import in India. For a large uniform and desirable lengths is the first operation involving
saw-milling operation, volume processing, conversion effi- large-size circular saws (Fig. 38.2). In a circular saw, the
ciency and grade recoveries determine the profitability of the circular blade rotates on a spindle at a high speed (RPM).
operations. Thus, the proximity of saw-milling close to the Since the RPM of circular saws is very high, a saw blade of
port makes it much more economically viable. thicker gauge is required to maintain stability during its
Each sawmill is defined by its operational scale, types of operation.
machinery, operational efficiency and scale of automation. Several technical parameters in a saw-milling system
The primary saw-milling operations revolve around two define the sawing quality, operation of the machine and the
types of saws namely band saw and circular saw. Band saw amount of sawdust produced. The width of the cut produced
can have blade orientation either horizontal or in vertical by the saw blade is known as the saw kerf (Fig. 38.3). The
direction and is primarily used to convert logs into boards saw kerf width should be broader than the thickness of the
by cutting along the grains or the length of the log (Fig. 38.1). saw blade to provide an adequate clearance between the blade
The process is also termed as ripping. For large dimension and the wood surface. In general, saw kerfs are kept nearly
logs, a horizontal band saw is the most preferred for double the saw blade thickness. Kerf width is an important
converting logs into slabs or thick sections. factor determining the saw dust formation during sawing as
A band saw has an endless band of steel saw blade that is thicker kerf generates more sawdust. Band saw has generally
mounted between two large wheels. In a vertical band saw, lower kerf width due to thinner saw gauge as compared to
the lower wheel is powered by a motor pulling the blade circular saws which require a thicker gauge blade.
down and is heavier than the upper wheel. The blade is Many factors influence the efficiency of sawing, waste
pre-stressed between the wheels to a specific tension and generation, quality of sawing and power consumption during
the pulling of the blade cuts through the log when fed into sawing operations. Knowledge of these factors is very much
the saw to get an efficient sawing. Since the blade is essential for a saw-miller. Blade material, blade thickness,
pre-stressed between the wheels, it allows a thinner gauge blade width, tooth sharpness which is defined by the tooth
blade suitable for operation. If the saw blade is not stressed angle, rake angle, clearance angle, gullet depth, gullet shape,
adequately, the blade wanders resulting in a wavy cut and tooth design, tooth tipping, bite per tooth, etc. Some of the

Fig. 38.1 Horizontal and vertical band saw

38 Wood Processing 841

Fig. 38.2 Circular saw

Fig. 38.3 Saw kerf in a circular saw

important characteristics of a saw blade are shown in

Fig. 38.4. Saw blades require good durability, corrosive
resistance, fatigue resistance, the ability to sustain tension
and the ability to remain flat and straight during the sawing
process. Therefore, the highest quality steel is required to be
used for manufacturing quality saw blades. Besides this,
blades need to be re-sharpened regularly to increase the
Fig. 38.4 Saw blade parameters
service life of the saw.
The pitch of the blade is the distance from the tip of one
generates fine sawdust which escapes very easily from the
tooth to the tip of the consequent tooth. The gullet part of the
gullet space and falls between the blade surface and wood
blade collects and takes out sawdust generated during the cut.
which results in overheating of the blade due to rubbing
An increase in the pitch results in increased bite per tooth and
friction. This frictional heating can become considerably
therefore increases the power of the saw. Small bite per tooth
842 S. S. Chauhan

high resulting in choking of the saw due to compacted saw- 38.2.1 Sawing Patterns
dust. Large bite per tooth results in a large volume of coarse
saw dust beyond the capacity of the gullet which can also Depending on the log form, size and type of sawmill
result in frictional heating. The gullet capacity can be requirements, sawing methods have to be adopted to achieve
increased by increasing the gullet depth and that can allow specific quality material having a specific pattern. Generally,
higher feed speed. However, increasing gullet depth four basic sawing methods have evolved namely plain or flat
increases the length of the tooth which can surge strains on sawing, cant sawing, sawing around and quarter sawing
the tooth during the operation leading to crack formation in (Fig. 38.5). Among these, plain or flat sawing is one of the
the gullet. Bigger gullets are used for sawing softwoods with easiest ways of sawing wherein successive ripping of the log
lighter weight. Increasing the rake angle of the tooth is carried out in the same plain, mainly in a plane tangential to
increases the sharpness of the tooth which can ultimately growth rings. This type of sawing yields high productivity
help in reducing power consumption but the tooth becomes and recovery of sawn timber and therefore is the most popu-
more prone to accelerated wear and tear and breakage. A lar in the industry. The quarter sawing method and sawing
large clearance angle prevents the rubbing of the saw with cut around method are suitable for large girth logs and are cur-
wood and smooth sawing operation. rently hardly practiced by the industry. Cant sawing is an
Teeth setting is another important parameter that is attractive option for achieving higher productivity but it
required to provide clearance between the saw blade and requires more skills and understanding of log form.
the wood. Teeth setting is done by bending adjacent teeth, Flat sawing and cant sawing generally produce boards
also called spring-set. In band saw, teeth setting is done left- having grains in multiple directions and result in ‘U’ or ‘V’
right-raker scheme where the raker tooth is not bent and shapes figures in species having distinct growth rings
keeps the cut straight. In the case of a circular saw, left- (Fig. 38.6). However, these boards are more prone to develop
right bend to the adjacent tooth is a common spring set cupping, twisting and bowing due to uneven drying pattern in
when the saw is used for cross-cutting. Spring set is done boards. Quarter-sawn boards have almost uniform grain
generally in small saw-mills used for secondary processing of directions and produce boards with line or ribbon patterns.
wood or handling small dimension materials. For large saw- These types of boards are dimensionally more stable and
mill, a swage set is preferred wherein the tip of the tooth is exhibit relatively fewer drying defects. It is very easy to
punched. The punched tooth is sharpened and side grounded match grains in quarter-sawn boards. However, low produc-
to result in a broadened tip compared to the gauge of the tivity and recovery make them an unattractive proposition to
blade. Further, the wear resistance of the blade can be saw millers. More so, such a type of sawing is not feasible for
increased by tipping the teeth and superior sawing is achieved small-diameter logs.
particularly when sawing high-density woods with high min- Saw-milling industries are highly fragmented and unorga-
eral contents like silica. Tungsten carbide and cobalt/chrome nized in most countries including India. The efficiency of the
stellite tips are the prominent ones used in the industry. The mill depends on throughput, volume recovery and grade
tungsten carbide tips are very hard and brittle, whereas stellite recovery. In most of the mills volume recovery is the primary
tips are not very hard but are corrosion resistant. Chemical criterion. For improved grade recovery, the selection of a
corrosion of blades may take place due to the presence of proper sawing method is critical and it may involve frequent
extractives in wood. Among the two, stellite tips offer turning of logs while sawing as well as careful examination
narrower kerf, better finish and increased saw life but are of logs. This may lead to low productivity and is done only in
more expensive. specialized cases where quality is the main concern. The
In general, circular saws are not used for logs with large sawmill efficiency is highly variable and the conversion
diameter or thicker cross-section timbers. Most of the mill from round log to sawn timber can be anywhere between
uses small circular saws mainly for ripping and cross-cutting 50 and 70%. It is generally recommended that the sawdust
of small dimension timber. The large circular saw requires should not be more than 10%, but in a poorly managed
thicker gauge metal for the blade stability and correspo- sawmill, the sawdust can be as high as 25% which is highly
ndingly the kerf width also becomes large (double to the undesirable. Despite the significant advances in automation,
blade thickness). This results in an excessive amount of most of the operations in the majority of sawmills are manu-
sawdust production which is highly undesirable in the indus- ally carried out on substantially older machines affecting the
try. Only the large-scale sawmills use circular saws for cross- efficiency and quality of the sawn timber. Smooth flow of
cutting logs into specific lengths as shown in Fig. 38.2. material right from the debarking of logs to the packing of
38 Wood Processing 843

Fig. 38.5 Different sawing

patterns

Fig. 38.6 Sawing figure in flat-sawn and quarter-sawn boards

sawn timber along with logs characterization, and obtained, the sawn material should be seasoned before being
standardization in sawing, grading and sorting are some of put to use. The process is often overlooked by many wood-
the basic elements of a highly efficient mechanized sawmill based industries which ultimately affects the quality and
(Fig. 38.7). performance of the final product. Moisture/water is necessary
for tree growth and is one of the major factors contributing
significantly to the growth of trees. Water is transported from
38.3 Wood Seasoning roots to leaves through wood as the conducting channel.
Therefore, wood from a freshly cut tree will have a substan-
Wood seasoning is one of the most vital processing steps for tial amount of moisture which may vary from 50 to 200%
increasing the longevity of wood mainly sawn wood and its depending on species, location and season. Within a tree also,
products. Once logs are sawn and planks of different sizes are the moisture content (MC) of wood may vary between
844 S. S. Chauhan

Fig. 38.7 A fully mechanized and efficient sawmill

sapwood and heartwood. Fast-grown trees tend to have high process, it also tends to develop defects which can affect the
moisture and in many species, the amount of water may be recovery of good quality sawn timber. If the seasoning pro-
more than the amount of wood (on a weight basis). cess is not properly carried out, defects generated during the
Wood is among the most severely affected materials at moisture loss can devalue the timber.
elevated moisture content when used in sawn form. Microbial Wood seasoning is primarily a process of removing mois-
growth and decomposition of wood above a certain moisture ture from wood in a controlled manner such that the resulting
content; discolouration of wood; shrinkage and shape defor- material attains moisture content which is in equilibrium with
mation in wood and wooden products with moisture loss; the environmental conditions without any undesirable
swelling and shrinkage with fluctuations in atmospheric defects. In addition to reducing defects, seasoning also adds
humidity conditions and intermittent exposure to water; a lot of value to the timber in terms of high strength as
development of cracks, surface checks, and fungal growth seasoned timber typically has more than twofold higher
on the repeated cycle of wetting and drying; development of strength as compared to wet timber, improved nail and
end-cracks and surface cracks on wooden boards in case of screw holding strengths, dimensional stability, easy gluing
uncontrolled drying are some of the major challenges in and finishing, easy to handle as seasoned wood is much
efficient utilization of wood (Fig. 38.8). Moisture in wood lighter than wet wood, better electrical and thermal insula-
is responsible for most of these defects. Mechanical tion, etc. It is also to be noted that for preservative treatment
properties like strength, stiffness, nail and screw holding using a vacuum and pressure process, the moisture content of
capacity are adversely affected by elevated moisture content wood needs to be reduced to about 30% (moisture content at
in wood. Moisture is the main element for mould and fungus fibre saturation point) to allow chemicals to penetrate inside
growth on wood. Moulds impart discolouration to the wood the wood. Considering the numerous advantages the
surface as yellow, green, orange, black or an array of other seasoning process offers, it should be mandatorily
colours due to the production of pigmented spores. However, implemented by the wood-based industries.
fungus growth leads to structural disintegration of wood. However, understanding the fundamental concepts
Mould and fungal growth cannot take place on the wood involved in wood seasoning is very important for economical
below 20% MC. and efficient seasoning. The knowledge of these concepts
To avoid moisture-associated defects in wood as shown in allows controlling the seasoning parameters desired for spe-
Fig. 38.8, it is essential to season wood. If left unattended, cific situations. While wood seasoning, it is very critical to
wood tends to lose moisture on its own over a period and know what level of moisture content and quality in seasoned
reaches a level that is in equilibrium with the immediate wood is desired. The seasoning process needs to ensure that
environment in which wood is placed. However, during this the seasoned wood has correct moisture content; planks
38 Wood Processing 845

Fig. 38.8 Moisture associated defects in wood

within a stack have small variations in moisture content; Moisture contentð%Þ

within a plank moisture content is uniform; seasoned wood
Mass in moist condition - Mass in oven dried condition
is free from surface checks, warping, end-splitting, fungal or =
Mass in oven dried condition
chemical stains and there is no colour change. The possible = × 100
seasoning defects are shown in Fig. 38.9.
The following section deals with the basic principles
involved in the wood seasoning process which need to be
38.3.2 Fibre Saturation Point
understood for an economical and efficient process.
In wood from freshly felled trees, moisture is present in liquid
form within cell cavities (called ‘lumen’) and also is held
within cell wall pores and chemically bonded with the cell
38.3.1 Moisture Content
wall polymers. The greater part of moisture is present in the
cell cavity also called as lumen and is theoretically called
Anatomically, wood is a porous and permeable material. The
‘free water’. However, in a true sense, it is not completely
porous structure allows spaces for air and water inside wood.
free water as it is subjected to capillary forces. Moisture
Additionally, the chemical constituents of wood mainly cel-
closely associated with cell wall polymers is called ‘bound
lulose, hemicelluloses and lignin are also hygroscopic with
water’. In general, 25–35% moisture is bound water chemi-
abundant hydroxyl groups which have the ability to chemi-
cally attached with cell wall polymers and the rest is present
cally bond water molecules. The moisture content is defined
in the liquid form. When wood is exposed to the drying
as the amount of moisture in wood with respect to the dry
process, initially free water evaporates and thereafter bound
content of wood and mathematically, it is represented as,
846 S. S. Chauhan

Fig. 38.9 Defects in wood during drying/seasoning

Fig. 38.10 Schematic

representation of free water,
bound water and FSP

water. The point at which all the water present in liquid form moisture content below FSP. On the other side, strength
in the cell lumen (free water) is evaporated while cell walls properties increase with decreasing moisture below FSP.
remain saturated with chemically bonded water (bound FSP varies between species, denser wood generally has
water) is known as the fibre saturation point (FSP). FSP is lower FSP as compared to lighter or low-density wood.
very important in the utilization of wood and controlling Understanding of FSP is also necessary for wood preserva-
moisture-related degrades in wood. No dimensional move- tion as chemical impregnation would be most effective when
ment takes place in wood until it dries to FSP. When wood treatment is given to wood as FSP.
continues to dry below FSP, dimensional deformation starts
with shrinkage in all directions in the wood. The shrinkage is
due to the loss of moisture from the cell walls of wood 38.3.3 Equilibrium Moisture Content
elements (fibres, vessels, etc.). The concept of FSP has been
illustrated in Fig. 38.10. Wood loses water when exposed to dry conditions and gains
All dimensional changes (either swelling or shrinkage) in wet conditions. Therefore, the moisture content of a
related deformation in wood take place with fluctuations in wooden piece is seldom constant. Fluctuations in wood
38 Wood Processing 847

Table 38.1 Equilibrium Species EMC at 93% RH EMC at 33% RH

moisture content of some Indian
Albizia chinensis 22.0 4.1
wood species at two RH (93% and
33% and 35 °C) Gmelina arborea 20.1 4.2
Hevea brasiliensis 19.4 4.4
Lannea coromandelica 25.0 5.1
Mangifera indica 19.6 5.1
Tectona grandis 16.0 4.6
Shorea robusta 20.0 5.6

Fig. 38.11 Moisture sorption 35

Equilibrium moisture content (%)

curves for wood
Adsorpon
30
Desorpon
25
20
15
10
5
0
0 20 40 60 80 100
Relave humidity (%)

moisture content depend on the variation in relative humidity curve (Fig. 38.11). However, at a specific relative humidity
(RH) and temperature of the atmosphere. When exposed to a condition and temperature, the EMC is generally found to be
constant temperature and relative humidity, wood attains a higher during desorption compared to adsorption when the
stable moisture content which will be in equilibrium with the wood is subjected to adsorption-desorption cycle resulting in
moisture present in the environment. The moisture content of a hysteresis effect (Skaar 1988).
wood in such conditions is defined as ‘Equilibrium Moisture The relative difference in EMC during adsorption and
Content (EMC)’. Different wood species exhibit different desorption is mainly attributed to incomplete rehydration of
EMC at a specific atmospheric temperature and relative sorption sites and the effect of compressive stresses during
humidity depending on the presence of extractives, swelling (Siau 1984). A similar hysteresis effect is also
anatomical structure, stress condition, etc. The information observed in dimensional changes in many tropical hardwood
on the EMC of species is very important in deciding the final species (Chauhan and Aggarwal 2004).
moisture content during seasoning operations depending on Several theories have been proposed to describe the mois-
the product and its final destination. In general, EMC for a ture adsorption behaviour in wood. Among these, the surface
species is inversely proportional to both temperature and sorption theory proposed by Brunauer et al. (1938) popularly
relative humidity. EMC of a few Indian timbers is given in known as Brunauer-Emmett-Teller (BET) theory and the
Table 38.1 (Chauhan, unpublished). solution theory proposed by Hailwood and Horrobin (1946)
The relationship between EMC and relative humidity at a are the most extensively studied and popular theories
given temperature is known as sorption isotherm (Walker explaining the moisture sorption phenomenon in wood.
2006). When the moist wood is subjected to drying from BET theory is based on the principle of layers of water
high relative humidity to low relative humidity below FSP molecules that can be adsorbed on the internal surface of
at a constant temperature, a change in EMC with respect to cell-wall elements of wood. According to theory, the cell-
relative humidity is known as desorption. Subsequently, wall surface and water molecule bonding take place in the
when the dried wood is exposed from low humidity to high initial stages forming a monolayer of water molecules on the
humidity, moisture adsorption takes place where water adsorbate substrate. Subsequently, bonding between water
molecules get attached to the cell wall elements of the molecules takes place forming multi-layers of adsorbent.
wood, and the wood moisture content increases. Generally, The mathematical derivation of BET theory is as follows
moisture adsorption behaviour follows a typical sigmoid (Skaar 1988):
848 S. S. Chauhan

h 1 ðC - 1Þh
= þ ,
M ð 1 - hÞ M m C MmC

where ‘h’ is the relative vapour pressure, ‘M’ is the mois-

ture content, ‘Mm’ is the moisture content of the wood
corresponding to the complete monolayer adsorption and
‘C’ is the constant.
Hailwood–Horrobin theory assumes that the adsorbed
water can be divided into two specific components. One

Longitudinal
component is the water of wood hydration that is similar to
chemically adsorbed water and the second component is the
dissolved water within the wood material (Skaar 1988). The
theory provides a reasonable explanation of the water sorp-
tion mechanism for wood. The mathematical derivation of
the theory is as follows:

1800K 1 K 2 H 1800K 2 H
M= þ ,
W ð100 þ K 1 K 2 H Þ W ð100 - K 2 H Þ

where ‘M’ is percentage of moisture content, H is relative

humidity in percent and K1, K2, and W are constants. K1 is the Fig. 38.12 Three principal directions of wood
equilibrium constant when hydrate is formed from dissolved
water and dry wood, K2 is the equilibrium constant between highest in the tangential direction (Walker 2006). Generally,
dissolved water and external vapour pressure and W is the mature wood of most of the hardwood species shrinks about
molecular weight of the substance required to associate one 0.1–0.3% along the longitudinal direction, 2–6% along the
gram mole of water (Chauhan et al. 2001). The first term in radial direction and about 3–10% along the tangential direc-
the equation represents the water of hydration and the second tion. The ratio of tangential and radial shrinkage is also
term represents the dissolved water in wood (Skaar 1988). known as the coefficient of anisotropy. A high value of this
ratio indicates a high probability of developing deformation
in wood during drying. Generally, tangential shrinkage is
38.3.4 Anisotropic Shrinkage typically 1.5–2.5 times higher than the radial shrinkage.
Some species like eucalyptus exhibit excessive shrinkage
Being a hygroscopic material, wood swells and shrinks with and also high coefficient of anisotropy.
fluctuations in relative humidity and temperature of the sur- The shrinkage/swelling anisotropy and the dimensional
roundings. The swelling and shrinkage phenomenon in movement in wood are complex issues and several theories
wooden products is known as movement in timber. This have been postulated to explain the anisotropy. Barber and
movement is mainly due to the interaction of moisture within Meylan (1964) proposed a theoretical model to explain the
cell walls which internally causes dimensional deformation in dimensional movement based on the orientation of
wood tissue (Naderi and Hernandez 1997). Proper under- microfibrils (crystalline cellulose) and matrix (hemicelluloses
standing and knowledge of the extent of shrinkage-swelling and lignin) interaction in the cell walls of softwoods.
in wood is of paramount importance in designing wooden Differences in density in earlywood and latewood, which
structures and during the processing of timber. Bowing and are prominent in softwood species, have been attributed to
twisting in door and window frames, nonconformist doors the reason for differences in radial and tangential shrinkage
and windows during different seasons slack joints and by Pentoney (1953). The restraining effect of ray tissues is
fittings, shape deformation and development of cracks in also attributed to anisotropic shrinkage in the tangential and
wooden articles are some of the commonly observed defects radial directions (Harda and Cote 1985). Factors like elastic
in wooden structure due to dimensional movement. These anisotropy and the presence of extractives have also been
defects are manifestations of anisotropic shrinkage in wood considered to contribute significantly in explaining the
due to the intrinsic orientation of cells. The three principal shrinkage behaviour of wood (Walker 2006). Further, factors
directions, longitudinal, radial and tangential (Fig. 38.12), like the slope of grain, knots, reaction wood and faulty
swell and shrink with different magnitudes. Dimensional sawing of timber are known to add to the complexity of
movement is least in the parallel-to-grain direction and movement-related effects in timber. During the seasoning
38 Wood Processing 849

process, all these factors need to be considered to control the importance in deciding the drying parameters. When the
dimensional deformities. moisture movement rate from the inner region to the surface
lags the surface evaporation rate, the surface region dries
quickly and the dried surface becomes a thermal insulator
38.3.5 Moisture Movement During Wood reducing the drying rate. As the drying process progresses,
Drying the diffusion process becomes dominant with the reduced
moisture content, and higher temperatures are required to
Moisture movement in wood involves complex mechanisms increase the diffusion rate.
of heat and mass transfer. There are two primary steps
involved in moisture loss from wood during the drying pro-
cess (Fig. 38.13) 38.3.6 Basic Elements for Wood Seasoning

• Evaporation of moisture from the surface For any moisture removal process from any substrate temper-
• Moisture movement within the wood from the inner core ature of the surroundings, relative humidity and airflow are
to the surface by mass flow and/or diffusion the most critical factors determining the moisture removal
rate. Thermal energy (heat) is required to evaporate moisture
from the surface as well as accelerate the moisture diffusion
Both these mechanisms act concurrently and for efficient process in the inner core of the wood. Evaporation depends
drying, it is essential to maintain equilibrium in the two on the heat transfer rate to the wood surface. Proper control of
processes. Surface evaporation controls the initial rate of temperature is essential to balance evaporation from the
drying and mainly depends on the temperature and relative surface and moisture movement in the inner core for quality
humidity of the surroundings. The moisture movement from seasoning. Seasoning at a higher temperature in the early
the core to the surface can take place through the capillary stages of drying can lead to rapid moisture evaporation
movement of water from one fibre to another when fibres are from the wood surface resulting in a dried surface and
filled with free water and pathways are available for capillary moist core region characterized by a steep moisture gradient
movement. This is the prominent mechanism in highly per- within wood. The rapid surface drying causes poor heat
meable and low-density wood particularly softwoods. The transfer from air to wood surface leading to reduced moisture
other mechanism involves the diffusion of water vapours loss rates and increased risks of drying stresses. When the
through cell walls and the diffusion of bound water from surface temperature approaches the ambient temperature,
cell walls below FSP. In hardwood species, the diffusion there can be no heat transfer and the drying process can
process is the dominating mechanism during drying. In stop. However, low temperature affects the seasoning effi-
ideal drying conditions, the rate of evaporation must be ciency and increases the risk of mould and stain growth
broadly equal to the rate of moisture movement from the resulting in discolouration. The amount of energy required
inner core to the surface. Rapid evaporation can result in to remove bound water far exceeds the energy required to
steep moisture gradients and excessive drying stresses within remove free water. Therefore, the energy requirement for
the wood. Understanding the drying mechanism is of utmost removing moisture increases as the moisture content of
wood decreases below the fibre saturation point.
Proper control of relative humidity is important in the
efficient seasoning of wood. Low relative humidity at the
start of the seasoning process may lead to excessively faster
drying inducing drying stresses in wood. Airflow within the
stack is equally important as temperature and RH in
controlling the seasoning process. Proper control of the air-
flow in terms of air passage and velocity is very much
essential during drying at higher and intermediate moisture
content for defect-free seasoning. Airflow acts as a carrier for
heat through the wood and also absorbs the evaporated mois-
ture thus playing a dual role in efficient seasoning. Inade-
quate air flow (low air velocity) can result in excessively high
humidity inside the chamber causing slow drying. This may
lead to warping, discolouration and mould growth in some
species. On the contrary, higher air velocities at the initial
Fig. 38.13 Process of moisture movement in wood seasoning stages (when the wood moisture content is high)
850 S. S. Chauhan

can result in excessive drying rates and drying degrades. At 38.3.6.3 Non-refractory Timbers
lower moisture content (<40%) air velocity does not make These timber species can be dried rapidly without any
any significant impact in controlling the drying rate. It is defects. Packing case timbers such as semul (Bombax
advisable to make sure that the air is moving equally through ceiba), kadam (Anthocephalus chinensis), mango (Mangifera
the wood stack, otherwise uneven drying can occur. indica), rubber wood (Hevea brasiliensis) and deodar
The combination of temperature, relative humidity and air (Cedrus deodara) are some of the species in this category.
velocity determines the moisture loss or drying rate. These As a prerequisite of seasoning, sawn timber needs to be
factors can be adjusted optimally to regulate the seasoning stacked properly. For stacking, well-seasoned heartwood
process. While fixing these parameters due consideration stickers of uniform thickness are placed across the timber
should be given to the species to be dried, initial moisture layer for uniform air circulation (Fig. 38.14). The stickers
content and thickness of the timber. Different species dry at a should be accurately aligned above one another in the vertical
different rate as the drying behaviour of species depends on direction to prevent bending under an eccentric load and
the anatomical structure like pit aspiration, the organizational allow uniform drying. The distance between stickers has to
structure of capillary systems (fibres/vessels/rays) of wood be adjusted based on the species and its thickness. Too close
and the presence of extractives. A large number of Indian spacing of stickers will hamper the free flow of air resulting
timber species (>200) have been studied for their seasoning in slow drying whereas too far spacing may lead to warping
behaviour and have been classified into the following three in timber. Generally, spacing between the stickers is kept
broad categories: about 60–75 cm. For the seasoning of most of the hardwood
species, 19–25 mm thick stickers are used in commercial
38.3.6.1 Highly Refractory Timbers operations. The length of the stickers should be matching
These species are very difficult to season without any cracks with the width of the stack. The schematic arrangement of
and splitting and therefore seasoned very slowly. Sal (Shorea planks and stickers is shown in Fig. 38.14 showing front (left)
robusta), Eucalyptus (Eucalyptus spp.), Khair (Acacia cate- and side (right) views of the stack. For sawn timber with
chu), axlewood (Anogeissus latifolia) and Jamun (Syzygium variable thickness, the thicker and heavier sections should be
spp.) are examples of highly refractory timber species. kept at the top. Two consecutive stacks should be separated
by enough gaps between the stacks to allow proper airflow.
38.3.6.2 Moderately Refractory Timbers The airflow can be controlled by adjusting the height of the
These species show a moderate tendency to crack and split stack and sticker thickness and the design of a shed.
during seasoning and therefore should be seasoned with some
care. However, species of this category can be seasoned with
reasonably fast drying conditions without many seasoning 38.3.7 Wood Seasoning Methods
defects. Most of the furniture grade timber species like Sissoo
(Dalbergia sissoo) and Teak (Tectona grandis) are classified Wood seasoning is an art coupled with scientific principles.
in this category. Quality seasoning of timber to obtain optimum recovery of
high-grade material is one of the most important challenges

Fig. 38.14 Stacking of timber for seasoning

38 Wood Processing 851

associated with the processing of wood. It is about going fast

but without losing the focus of getting degrade-free material
with appropriate moisture content levels. Wood seasoning is
an energy intensive operation in wood product
manufacturing. It is estimated that about 60–70% energy of
the total energy required for timber processing is consumed
in seasoning operations. This can have a large bearing on the
seasoning cost. The major economic drivers for wood
seasoning are seasoning time, energy requirement and extent
of degrade in the seasoned wood. Both time and energy
requirements have a direct bearing on the cost of seasoning,
whereas degrades are linked with the quality of the material.
Degrades development during the seasoning process can
have significant implications on the quality of the final prod-
uct and its economic value. Any changes made in the
seasoning process to reduce energy consumption and the
seasoning time can have a significant impact on the cost of
production as a whole. Considering the cost factor in
seasoning operations, many times industry overlooks the
proper seasoning practices and timber is dried at a faster
rate with little consideration to degrade and quality of the Fig. 38.15 Air seasoning of wood
dried wood. Historically, air seasoning was extensively
practiced by the woodworkers and carpenters. With the the overall seasoning process is very time-consuming. Air
advancement in technologies, there have been continuous seasoning of 25 mm thick planks of most of the timbers
developments in wood seasoning processes and having moderate-to-high density may take up to 2–3 months
methodologies. This section discusses major wood seasoning to season in moderate climatic conditions. Thicker cross-
methods. sections (3–4 inches which are generally used for door and
window frames) may take anywhere between 6 and 8 months
38.3.7.1 Air Seasoning for proper seasoning. This makes it less attractive and uneco-
Air seasoning depends on the natural process of drying of nomical for industrial-scale operations for mass production.
wood but with certain codes of practices like proper stacking To fasten the drying process, forced air drying is also
of wood, having effective ventilation for efficient airflow adopted in some cases where fans are used to circulate air
within the stacked timber, protection from direct exposure with a speed of 1–2 m/s to quicken the drying of timber
to sunlight and rain during the seasoning process and preven- (Fig. 38.16). The forced circulation of air through the stack
tion of faster drying from the ends (along the grains) of is effective, particularly in accelerating moisture removal
planks. Not long ago, it was one of the most popular methods from green condition to around FSP. Below FSP, forced air
of wood seasoning and even now it is preferred by many for drying is not very effective (Chauhan et al. 2006). The
seasoning high-density hardwood species. The combination operational cost of the fans is mainly compensated by the
of atmospheric temperature, relative humidity and air veloc- benefit of faster drying.
ity are the determining factors for the seasoning rate.
A shed with only a roof supported over pillars and open 38.3.7.2 Kiln Seasoning
from all sides is the simplest shed providing protection from Commercially, kiln seasoning is practiced extensively by
direct sunlight and rain (Fig. 38.15). However, this type of most of the wood processing industries to achieve faster,
shed is useful for easy-to-dry timbers like rubber wood, cheaper and degrade-free timber. In kiln seasoning, timber
mango wood and semul. Sheds with three side walls (north is dried in a closed chamber in a specified manner by
side open) or a closed shed with a roof and all side walls with controlling temperature, relative humidity and airflow to get
proper ventilation at the top and bottom on two side walls are the desired moisture content. A schematic representation of a
also used for air seasoning. conventional steam-heated kiln is shown in Fig. 38.17.
Capital investment and operating costs for air seasoning in The conventional kiln chamber is fitted with reversible
a shed are very low and the drying defects are also generally fans of the desired capacity depending on the chamber size
less provided precautionary measures are taken care and heating coils above false ceiling/baffles to circulate warm
of. However, one of the major limitations of air seasoning air inside the chamber. The relative humidity inside the kiln
is that none of the factors influencing drying, that is, temper- chamber is maintained by operating (opening and closing)
ature, relative humidity and air velocity, are controlled and the vents available on top or bottom of the chamber. The heat
852 S. S. Chauhan

Fig. 38.16 Forced air drying of

timber

Fig. 38.17 Schematic diagram of wood seasoning kiln

source can be steam, electrical heating, oil heating, gasifier- The timber is pre-stacked as per the procedure described
based heating, solar heating or any other system capable of earlier and loaded in the chamber. There should be about a
raising the air temperature inside the chamber to the desired 50–100 mm gap between the false ceiling and the stack. With
level. The capacity of the required furnace for thermal oil the heating on, relative humidity builds up inside the chamber
heating or boiler for steam generation would depend on the with the evaporation of moisture from the wood. Uniform
size of the kiln and the number of chambers. airflow through the stack requires rectangular stacking and
38 Wood Processing 853

using the proper-sized stickers. In practice, 40% of the air 38.3.7.3 Solar Seasoning Kiln
by-passes and in an uneven stacking 100% of air can bypass A solar kiln is an attractive option for seasoning timber with a
affecting drying efficiencies adversely. During the drying substantially accelerated rate as compared to air seasoning
operations, the direction of dry air is regularly reversed to and at a lower cost as compared to steam/electrically heated
get uniform drying throughout the stack. In some kiln kilns. The process is also one of the most energy efficient
designs, side-mounted fans are used instead of overhead ways of drying wood operated during daylight hours and
fans. In conventional kilns, drying temperature ranges effectively be used as a pre-dryer for slow-drying timber
between 38 and 68 °C, and air velocity through the stack is species. The selection of the site and direction of the kiln is
generally kept between 0.6 and 1.5 m/s. Lower velocities are very critical for efficient operation and harnessing the maxi-
preferred for refractory species. Relative humidity inside the mum solar energy for the kiln. Solar kilns are particularly
chamber is monitored either using a dry bulb-wet bulb system useful at locations where sufficient solar energy can be
or using a humidity controller. Dry bulb and wet bulb harvested and are more suitable for small-scale operations.
systems have been traditionally used in most of the kilns. Many designs are available for fabricating a solar kiln; how-
The depression between dry-bulb and wet-bulb temperatures ever, the greenhouse type of design is very popular and easy
indicates the relative humidity inside the chamber. to fabricate. The schematic diagram of a solar seasoning kiln
In kiln seasoning, initially, the temperature inside the is shown in Fig. 38.18.
chamber is kept low (about 38–40 °C) and high relative A simple design of a solar seasoning kiln consists of a
humidity is maintained to avoid rapid moisture loss from main structure with a timber/metal frame, double sheathed
the surface and to maintain equilibrium between surface roof and all side walls (except the north side wall) having
evaporation and moisture movement from core to surface. clear transparent double-layered glass with wide intervening
Moisture loss from wood depends on the heat transfer from air-gap. The kiln is generally placed east-west direction along
hot air to wood surface. Heat transfer per unit surface is its length. The kiln roof is generally slanted towards the south
defined as at an angle to the horizontal which is recommended to be 0.9
times the latitude for maximum absorption of solar energy
Q = K 1 ðT db - T wb Þ, throughout the year (Pandey and Jain 1992). Corrugated
galvanized iron sheets are used for false ceilings which are
where K1 is the heat transfer coefficient, Tdb is the dry bulb blackened to absorb maximum solar radiation and increase
temperature and Twb is the wet bulb temperature. A high the temperature inside the kiln. The inside structure of the
temperature at the initial stages of drying may develop sur- kiln is also painted black to increase energy efficiency. Elec-
face cracks, end splits and reduced drying efficiencies. As trically operated fans of appropriate dimensions and airflow
surface temperature approaches the dry bulb temperature capacity are mounted on a partition wall on the back side
there can be no heat transfer and the drying eventually (North side wall) of the kiln for uniform air circulation. The
stops. Therefore, dry bulb temperature is increased and rela- kiln chamber generally has double-panelled glass sheets,
tive humidity is decreased gradually based on the moisture wooden framed doors for charging timber inside the kiln
content of the stack. For kiln seasoning, specific steps of and an inspection door located on either the eastern or west-
temperature and relative humidity conditions are optimized ern side of the kiln. The entire structure fittings are mostly
for a specific timber species based on its refractoriness. These heat-resistant gaskets and have fastening arrangements for
optimized conditions are called kiln schedules. Seven such preventing heat loss. Enough space is provided on the north
kiln schedules have been recommended by the Bureau of wall for air flow movement and maintenance of the system.
Indian Standards (IS 1141-1993). For the satisfactory The kilns can also be equipped with energy storage devices to
seasoning of timbers, these schedules have to be followed make them functional during the night times and efficiencies
during kiln drying. The schedules differ for different species. can be improved.
The seasoning schedules have been derived based on the ease
of seasoning for a particular species. For refractory timber 38.3.7.4 Dehumidification Drying
species, the initial drying temperature is kept at 38–40 °C and Dehumidification-based drying is a popular technology for
raised to 55 °C for the final drying from 15 to 12% MC. In drying temperature-sensitive products and is also used for
between two to three steaming operations are also carried out drying wood. Dehumidification-based wood drying systems
to avoid the development of drying defects. Whereas for are considered to be energy efficient and dry wood without
easy-to-dry species, drying is initiated at 50–52 °C, and the many defects. Furthermore, the time required for drying in
temperature is raised to 68–70 °C in the final stages of drying. such systems is at par with steam kilns. There are two types of
During kiln seasoning, it is recommended not to mix species dehumidification kilns. One is based on refrigerant type (heat
with different seasoning characteristics and also planks of pump-based dehumidification) and the other is based on the
varying thickness. desiccant principle. Heat pump-based dryers have been in
854 S. S. Chauhan

Fig. 38.18 Schematic diagram of a greenhouse-type solar seasoning kiln

industrial applications for the last six decades, particularly in airflow in the chamber. The reactivation of desiccant
food and timber drying industries. In this type of kiln, water is chemicals is needed to keep it effective for continuous mois-
condensed by passing the moist air through cold coils within ture adsorption and therefore consume a significant amount
a closed structure. The system consists of an evaporator and a of energy. The efficiency of such kiln mainly depends on
condenser both placed inside the chamber. As moisture from total capacity usage during the operation. The cost of drying
the timber is evaporated by the heated circulating air, a part of is directly derived from the electrical energy consumption in
the warm moist air is continuously sucked through the dehu- reactivating the desiccant and maintaining the temperature
midifier, and the condensed water is drained out. When water inside the chamber. When not used to full capacity, the
vapours are condensed, the latent heat of condensation is essential energy consumption by the desiccant and auxiliary
used to heat the air within the kiln. The dehumidification- heaters makes such drying uneconomical. More so dehumid-
based drying is considered to be energy efficient as venting ification drying is not very efficient at lower moisture content
energy losses are controlled in such systems and also latent (below 20%) as the energy requirements become too high
heat is used to maintain the air temperature by condensing since they operate purely on electricity rather than cheap
moisture from the moist air. sources of energy like boilers in conventional kilns.
The other type of dehumidifier kiln system works on the There are certain misconceptions about the dehumidifica-
chemical dehumidification principle wherein the moisture is tion drying process particularly being very slow as it operates
trapped by a fluted flat-bed type desiccant dehumidifier at low temperatures (~50 °C), uses electricity for entire
(Chauhan and Sethy 2008). The drying system is a self- operations, has poor efficiencies, etc. In general, such kilns
contained well-insulated chamber, very easy to operate and are not appropriate for timbers that are dried at high
requires relatively less attention during the drying operations. temperatures like pines, rubber wood and semul. These
The desiccant-based dehumidifier wood dryer requires an kilns are very suitable to season refractory timber species
auxiliary heat source to maintain the temperature, a heat which require milder drying conditions. The design of the
source to reactivate desiccant and energy for maintaining kiln plays a very critical role in dehumidification drying
38 Wood Processing 855

particularly for heat pump-based kilns. These kilns require far The technology has garnered commercial acceptance in
superior sealing for doors and vents, better insulation and many developed countries. The basic research of the applica-
proper sizing of the equipment (heat pump/condenser/desic- tion of high-frequency electro-magnetic waves for drying
cant chamber). started way back in the 1940s but high energy costs and
technological limitations had constrained the commercial
38.3.7.5 Vacuum Drying acceptance of the technology. However, in the late 1980s,
The basic principle of vacuum drying is based on the low interest was renewed in dielectric heating of wood with the
boiling temperature of water in a vacuum. The boiling point advancement in technology and since then significant
of water at 760 mmHg (one atmospheric pressure) is 100 °C research has been carried out in the developed world and
which drops to 88.3 °C at 500 mmHg. The timber is stacked RF drying has received commercial success (mainly in
inside a vessel, a vacuum is applied and the material is heated Canada, the US, NZ). In the 1990s, RF heating in combina-
allowing rapid drying at lower temperatures than conven- tion with vacuum received a lot of commercial attention from
tional seasoning. Efficient heat transfer to the wood surface the wood industry in the USA. A radio frequency-vacuum
is a major challenge in vacuum drying. Vacuum dryers are dryer was designed with a capacity of 20 m3 and
classified based on heat transfer mechanisms like conductive commissioned at Norton Smith Lumber Co. in 1996 to dry
heat transfer (hot plate vacuum drying), convection heat red oak furniture parts (Smith et al. 1996). The technology
transfer (superheated steam, cyclic vacuum application) or has been reported to be very effective in drying large dimen-
radio frequency heating. Espinoza and Bond (2016) have sion timber particularly thicker sections which are difficult to
provided an extensive review of the different methods of season or dry in conventional seasoning kilns and if done
vacuum drying. Although the process was developed almost carefully, satisfactory seasoning requires an enormous
a century ago, it is still a niche player in commercial wood amount of time and energy. RF dryers of different designs
seasoning limited to specialty applications. In the current with varying frequencies (ranging from 4 to 40 MHz) and
scenario, the technology can be appealing for small-scale different power ratings (10–300 kW) have been developed in
operations as small dimension vacuum chambers are more many countries depending upon the specific requirements.
efficient. A well-designed and properly operated vacuum RF drying was found to be very effective in drying softwood
system with an efficient heat transfer mechanism can result as well as hardwood species without developing any signifi-
in faster and quality drying. The drying time in vacuum kilns cant drying degrades (Avramidis and Zwick 1996; Resch and
is substantially lower than the time required in conventional Hansmann 2002) Dielectric heating has advantages in terms
or dehumidification kilns. However, significantly higher cap- of instant heating and very high heating efficiency (60–70%)
ital and operating costs (three to four times) as compared to as compared to heating transfer efficiencies in conventional
conventional kilns are the major hindrances in the large-scale steam heated kilns which is about 10% (Jiao 2012; Jiao et al.
commercialization of the technology. 2015). In addition, no chemical stains or residues on sea-
soned timber products, high drying quality and little impact
38.3.7.6 Dielectric drying on the environment make the technology more appealing
Dielectric heating has received significant attention in the (Mitcham et al. 2004).
recent past for drying agricultural produce, disinfestations Microwaves have also been used to dry wood but mainly
of grains, food processing, etc. due to its higher efficiency, timber with smaller thicknesses (usually about 25–50 mm
easy control and environmentally friendly nature. Dielectric thick) as the high frequencies of microwaves are associated
heating includes both radio frequency (RF) waves (frequency with shorter wavelengths and therefore lower penetration
range 1–100 MHz) and microwaves (above 300 MHz). Moist depths. Microwave heating at 2.45 GHz is the most practiced
wood being a dielectric material when exposed to an electric process and is found to be efficient mainly for treating smaller
field, the polar molecules in the wood begin to oscillate and thinner wood sections (Hassan et al. 2015). Aggarwal
depending on the frequency. These oscillations give rise to and Chauhan (2013) also reported faster drying of silver oak
heating due to friction from the oscillating charges. Since boards with a 13 g/min water loss rate with 2 kW microwave
energy is transferred by the interaction between the high- power intensity and the initial moisture content of wood had
frequency electric field and the responsive components, no significant effect on the drying rate. The drying rate of 1′
mainly moisture, in wood, heat is generated instantaneously and 2′ thick planks was almost similar suggesting volumetric
throughout the volume of the wood material, if moisture is heating of wood. Microwave drying is mainly effective at
uniformly distributed inside. Because of the volumetric low moisture content. Microwave heating was also found to
heating, there is a lower probability of developing case hard- be very effective in drying bamboo, which is otherwise very
ening and other surface damage in this process, which is a difficult to dry in a kiln (Prasad and Pandey 2012).
major concern in conventional kiln drying of timbers. The design of the system and the power source for micro-
wave heating and radio frequency heating are very different
856 S. S. Chauhan

Fig. 38.19 Radio frequency (left) and microwave wood dryer (right)

Table 38.2 Major seasoning defects and their cause

Defects Cause
Surface checks, end cracks, internal checks, collapse Drying too fast
Fungal growth, mould growth, discolouration, chemical stain Drying too slow, wood kept in a damp environment
Warping in sawn boards Drying too slow, poor stacking, improper drying practice
Uneven drying Poor stacking and storage, operational errors in drying
Gluing problem Improper drying, wet surface, defects
Raised and fuzzy grains and woolly surface Processing defects, presence of reaction wood
Bad odour Bacterial growth
Loose or open joints Variation in moisture content within wood pieces

(Fig. 38.19). In microwave heating, single or multiple commercially acceptable method worldwide. In kiln
waveguides are used to introduce the electromagnetic seasoning, timber may develop different types of drying
waves in the chamber and the efficiency of interaction of defects due to inappropriate kiln schedules, poor or improper
waves with the wood mainly depends on the waveguide stacking, refractoriness of timber, presence of reaction wood,
and design of the chamber. A poorly designed chamber irregular or non-homogeneous grain and anisotropic
may lead to hotspots on wood elements resulting in uneven properties. A thorough understanding of the different drying
heating of wood. In the case of radio frequency dryers, an stages and proper monitoring of material during drying is
electromagnetic field is generated between a pair of electrode essential for preventing and controlling degrades. Common
plates, and wood is stacked between the plates. The electrode defects and their causes in kiln seasoning are given in
plates create a unidirectional electromagnetic field on the Table 38.2.
entire stack of wood. Industries must follow proper seasoning practices to pro-
Whichever method of seasoning is applied to timber, one duce quality materials to produce high-quality end-products.
needs to know to what moisture content levels timber should Many times, poor seasoning results in the devaluation of the
be seasoned to avoid any moisture-associated problems dur- products and also the rejection by the consumer. These also
ing product development and in the finished product. Once contribute to the short life of the products and considerable
timber is properly seasoned, it must be stored properly and economic loss to the manufacturer and consumer.
products to be manufactured at humidity conditions
according to the atmospheric conditions where the products
are to be used. Not following these basic principles may lead 38.4 Wood Preservation
to significant economic implications as the product may
develop some defects. Wood preservation can be interpreted in terms of protection
against both biotic (biological degradation) and abiotic (fire,
weathering, chemical degradation) agencies degrading wood.
38.3.8 Drying Defects However, in general, wood preservation terminology is
closely associated with the biological degradation of wood.
Though several seasoning methods have been developed, Being a biological material, wood is prone to deteriorate by
steam heated kiln seasoning is the most practiced and biological organisms like termites, fungi, beetles, ants, borers
38 Wood Processing 857

and many other insects in terrestrial conditions. In aquatic (Class-II) if the average life is 60–120 months and nondura-
and marine conditions, borers and foulers degrade wooden ble (Class-III) if the timber perishes within 60 months in
structures within a short span. The biological degradation of ground contact in the test yard.
wood is considered to be one of the most undesirable Testing of durability in marine conditions is carried out by
characteristics when compared to other building materials. exposing the wooden stacks in the marine environment and
Biodegradation of wooden structures beyond a critical stage monitoring the same for degradation. The marine degradation
result in a significant loss of strength in the structure and that depends on the presence of degrading agents in specific
can be catastrophic. In this scenario, the natural resistance of locations. Very few wood species like Syncarpia glomulifera
wood against deteriorating agents plays a crucial role in the (Australia) and Ocotea rodiei (Guyana) have sufficient natu-
durability and longevity of the wood. The heartwood of many ral durability in marine conditions (Walker 2006).
tree species exhibits excellent resistance against degrading Tarakanadha et al. (2005) documented the natural durability
organisms due to the deposition of specific extractives also of 30 Indian timbers widely used for fishing crafts and marine
called the secondary metabolites that inhibit degradation. structures and they were found to get destroyed within 3–7
This inherent property of resisting biodegradation is known months in the marine environment.
as natural durability. Naturally durable timber species are The philosophy of wood preservation is primarily based
preferred for outdoor or exterior applications and also on increasing the life of wood and wood products and thereby
environmentally preferable over chemically treated wood. reducing the burden on forests for durable timbers which
However, irrespective of timber species, sapwood is highly have become scarce. The importance of protecting wood
susceptible to biodegradation and therefore needs to be from biodegradation was well recognized historically and
protected. The natural durability of wood is tested with the treatment practices like soaking timber in garlic boiled vine-
stack test method also known as ‘Timber graveyard test’ gar, soaking or coating with certain oils like oil of cedar,
(Fig. 38.20). The test involves half burial of a timber stack linseed oil, cashew-nut shell oil, tar, etc., smoking and char-
of specific size underground in a test yard (generally termite- ring treatment were used to protect timber from biodegrada-
prone areas) and the samples are monitored frequently for tion even in case of durable and moderately durable timber
their degradation. Many tropical timber species like mango, species. There has been a paradigm shift in forestry with
rubberwood and silver oak are found to perish quickly in the more emphasis on growing fast-grown and short-rotation
test. Timbers are categorized under different durability clas- timber species to meet the increasing demand for timber
ses based on the natural durability of their heartwood when in and most of these are non-durable. In such situations, wood
ground contact and specific to only terrestrial conditions. The preservation becomes more important as it can help in storing
timber species is classified as naturally durable (class-I) if the the organic carbon for a much longer period and also reduce
stack survives for more than 120 months, moderately durable the burden of timber resources.

Fig. 38.20 Graveyard test for assessing the natural durability of wood with the extent of decay in a few samples
858 S. S. Chauhan

However, a key question in wood preservation is the the preservative chemical and the end-use of the treated
longevity required for a wooden product and the geographi- material. These preservatives are relatively easy to handle
cal locations where it is to be used. In the early nineteenth as compared to creosote when lighter and non-toxic or
century, impregnating wood with toxic chemicals capable of low-toxicity solvents are used. These types of preservatives
inhibiting degradation became the scientific method for wood are non-leachable and are considered to be fixed and perma-
preservation. Consequently, several chemical systems and nent. In most cases, wood treated with such types of
treatment methods have been developed to enhance the life preservatives can easily be painted, unlike creosote-treated
of wood. The choice of chemicals and treatment method wood. As most of the organic solvents used in these preser-
mainly depends on: vative solutions are highly flammable, proper safety
precautions are necessary in handling the solutions. Copper
• Environmental conditions in which wood is to be exposed naphthenate, zinc naphthenate, pentachlorophenol (PCP),
and bio-deteriorating organisms present there benzene hexachloride, p,p-dichloro-diphenyl-trichloro-eth-
• The effectiveness of the chemicals against target ane (DDT) are some of the organic solvent type wood
organisms preservatives. However, their application is very limited
• Fixation of chemicals in wood and the use of chemicals like PCP has raised environmental
• Desired loading, penetration, and distribution of preserva- and health hazard concerns to humans, and has been banned
tive chemicals in wood as a wood preservative.

38.4.1.3 Water-Soluble Preservatives

38.4.1 Wood Preservatives Water-soluble wood preservatives are classified into two
categories, that is, leachable and non-leachable (fixed).
Wood preservative chemicals are either impregnated or Non-fixative types of wood preservatives are water-soluble
applied to wood to make it resistant to biodegradation. inorganic or organic salts that do not get fixed or bond
These chemicals are classified as oil-based, organic solvent- chemically with any of the chemical constituents of wood.
based and water-soluble chemicals. When the wood treated with such preservatives is exposed to
water, the chemicals tend to dissolve in water and leach out
38.4.1.1 Oil-Based Wood Preservative gradually. This leaching can be prevented to some extent by
Oil-type systems are among the oldest and most effective applying a waterproof coating or painting the wood surface
preservatives commonly used for treating utility poles, bridge after chemical treatment to avoid any moisture movement
timbers, railway sleepers etc. Among the oil-based systems, within the wood and the coating is maintained properly. Such
creosote is one of the most popular preservatives. It is a types of preservatives are easy to transport, generally
fraction of coal tar distillate having a blend of polycyclic odourless and generally free from fire hazards. Dry surfaces
aromatic hydrocarbons (PAHs) and tar with a boiling point of wood treated with these preservatives do not pose any
above 200 °C. Creosote is an effective broad-spectrum wood significant challenges in painting, varnishing or wax treat-
preservative especially suitable for timber used in exterior ment. Such preservatives are suitable for indoor applications
applications. It may be used as a stand-alone chemical or in where wood is not often in contact with water or ground.
combination with other suitable oils to the extent of 50% by Simple salts like zinc chloride and sodium fluoride are simple
weight of creosote. The mixture of oil protects against water-soluble wood preservatives mainly used against fungi
splitting and cracking in timber. Creosote as a wood preser- and insect borers but are not very effective against termites.
vative is highly toxic to target organisms, non-corrosive and Boric acid and borax are effective against lyctus borers,
very stable in wood. It provides very good protection against sap-stain fungi and some species of termites. These
termites and other insects. However, the chemical has an chemicals are suitable for protecting veneers, plywood glue
unpleasant odour and is slightly difficult to handle due to its line protectants and packing case timbers for tea chests and
high viscosity. Wood surfaces treated with creosote are also for packing edible articles as it has low toxicity against
difficult to paint. Hot and cold process is used for the treat- non-target organisms. These chemicals are used in combina-
ment of wood with creosote and in case of very high viscosity tion as a prophylactic treatment for freshly sawn timber from
grade creosote, appropriate diluents or organic solvents are mould growth. Boric acid is odourless, colourless and a
used to reduce the viscosity for effective penetration. low-cost wood preservative. In addition to these, chemicals
like sodium pentachlorophenate and commercial insecticides
38.4.1.2 Organic Solvent-Based Preservatives like DDT, benzene hexachloride, chlorpyrifos and
These preservatives are used by dissolving in suitable organic pyrethroids have been used as wood preservatives.
solvents. The solvent selection depends on the solubility of
38 Wood Processing 859

38.4.1.4 Water-Soluble-Non leachable Wood 38.4.1.7 Copper-Zinc-Borax (ZiBOC)

Preservatives Recently, a combination of copper sulphate, zinc chloride
These preservatives consist of mixtures of various salts that and borax in a fixed ratio of 15:2:9 was formulated and
can chemically bond or be fixed within the wood or form an patented as an effective wood preservative (Indian Patent
insoluble compound that does not leach out on exposure to 257393 2013), which is considered to be eco-friendly, easy
water. Materials treated with such types of preservatives may to handle, economical and non-hazardous. All the ingredients
be used for outside locations and unlike creosote these can are pre-mixed in a small amount of water and then a 60%
also be painted over. There are several such formulations concentration paste is made in acetic acid. This paste is
developed over the years. diluted in water to a specific concentration for the treatment
of wood. Efficacy studies of ZiBOC against fungi and
38.4.1.5 Copper-Chrome-Arsenic Composition termites have revealed its effectiveness in protecting wood
(CCA) against these agents.
CCA is one of the most effective and until the recent past was
widely used wood preservatives worldwide. CCA wood pre- 38.4.1.8 Acid Cupric-Chromate Composition (ACC)
servative (AsCu) was invented in 1933, and patented in India This preservative comprises chromic acetate (5 parts), copper
by Dr. Sonti Kamesam of Forest Research Institute, sulphate (50 parts) and sodium/potassium dichromate
Dehradun. This preservative is especially suitable in highly (45 parts). It was developed way back in the 1920s but
termite-prone areas in terrestrial conditions, borer-infected could not match the efficacy of CCA. Since the formulation
areas in marine conditions, and for cooling tower timbers contains an enormous amount of chromium, it did not get
where wood is susceptible to soft rot deterioration. It is a commercial acceptance for general application and is used in
combination of copper oxide, sodium dichromate or chromic limited quantity for industrial applications where human con-
acid and arsenic pentoxide. Varying proportions of copper, tact is limited.
chromium and pentavalent arsenic compounds have been
formulated and tested for their efficacy. The formulation 38.4.1.9 Chromated-Zinc Chloride
commercially used in India has 50% sodium dichromate, This preservative composition consists of only two chemicals
37.5% copper sulphate and 12.5% arsenic pentoxide. CCA namely zinc chloride and sodium dichromate/potassium
is fixative to the wood with chromium being the fixative dichromate in the proportion of (by weight) 81.5:18.5
agent provided a proper treatment schedule is followed. respectively.
Since the fixation process involves the reduction in
hexavalent chromium (CrVI) to trivalent chromium (CrIII) 38.4.1.10 Ammonia-Based Preservatives
which is a slow process and therefore it is necessary to There has been a great deal of activity in the evaluation of
complete the fixation process which may require 2–3 new biocides as potential preservatives. The most promising
weeks. Treatment temperature, initial pH of the preservative new biocides are the alkyl ammonium compounds (AAC).
solution and concentration of solution play critical roles in Some of the alkylammonium compounds (AAC) have good
the fixation mechanism. With the correct treatment protocol, fungicidal activity and many have potential as wood
CCA-treated wood is expected to provide assured service life preservatives. Didecylmethylammonium chloride emerged
for a very long period even in ground contact. However, as a potential wood preservative. Combining
arsenic and chromium compounds are recognized as potential alkylammonium compounds with copper and ammoniacal
carcinogenic for humans, and therefore the usage of CCA as solutions (ACQ) improved the performance of wood in
wood preservatives is being restricted in many parts of the ground contact. This ACQ formulation gives a protection
world. similar to that of CCA. Ammonia also can soften lignin and
swell wood cell walls which helps in easy impregnation of
38.4.1.6 Copper-Chrome-Boron Composition (CCB) the chemicals inside wood. Similarly, water-soluble ammo-
This preservative was developed as an alternative to CCA niacal copper zinc arsenate (ACZA) is used as a commercial
with the arsenic component replaced by boron to make it less wood preservative in many countries.
harmful to non-target organisms. The composition contains
boric acid, copper sulphate and sodium/potassium dichro- 38.4.1.11 Eco-Friendly Preservatives of Plant
mate in 1:5:3:4 (by weight) proportion respectively. CCB is Origin
relatively less efficacious than CCA as more toxic arsenic is Copper and zinc abietates prepared from chir pine are toxic to
replaced by boron. The preservative has become very popular fungi and insects, including termites, and have shown poten-
and is recommended for general use including protecting tial as an effective wood preservative even in marine
timber in cooling towers. conditions. Treatment with cashew nut shell liquid (CNSL)
is found to be effective against termites and indicated toxicity
860 S. S. Chauhan

of the oil for termites. Several other plant extracts are being 38.4.2 Treatment Methods
explored as potential wood preservatives.
There are different methods of treating wood with
38.4.1.12 Nano Wood Preservatives preservatives. The choice of treatment method ideally
Nanotechnology is an emerging field that has enormous depends on the moisture content of the wood and the end
potential in wood preservation. Impregnation of application. Methods like diffusion and sap displacement are
nanoparticles of copper, silver, zinc borate, zinc oxide, tita- applicable when the wood is in green condition (high mois-
nium dioxide, etc. has been tested as wood preservatives by ture content). In other treatment methods, material needs to
many researchers and reported to be promising in protecting be dried to appropriate moisture content particularly up to
wood from wood destroying organisms (Borges et al. 2018). fibre saturation point. All woodworking like cutting to sizes
Micronized copper systems like micronized copper quater- and boring has to be completed before chemical treatment to
nary and micronized copper azole have already gained com- avoid wastage of treated timber. In the case of timbers where
mercial acceptance in many developed countries. Nano-scale heartwood is non-durable but is difficult to treat and when
metallic particle impregnation offers several advantages like treating thick sections like beams, incision to a depth of
the fixation of nanoparticles in the cell wall structure, uniform 15–20 mm at surfaces except cross-cut surfaces (both ends)
dispersion of particles, low concentration of chemicals and helps in proper penetration of the preservatives. The treat-
reduced leaching. Nano-based wood preservatives have been ment methods are broadly divided into two categories, that is,
reported to be effective against both termites and fungi (Teng non-pressure processes and vacuum/pressure impregnation
et al. 2018). Nair et al. (2017) reported effective decay processes.
resistance in nano zinc oxide and copper oxide treated rubber Non-pressure Processes: Non-pressure methods have
wood against both white and brown rot fungi. The technol- been practiced in many applications and different approaches
ogy is still evolving and may play a big role in wood preser- are adopted for dry wood and wood in green condition.
vation in the near future. Surface application: The simplest way of treatment is by
brush application or spraying of wood preservatives on the
38.4.1.13 Wood Modification wood surface. However, surface application is inadequate in
Wood modification is an efficient way of making wood most cases for long-term effectiveness and is used mostly for
decay-resistant. Chemical and thermal modifications are the treating material at the site as prophylactic treatment.
two major wood modification methods. Chemical modifica- Soaking treatment: This treatment requires wood material
tion involves altering the chemistry of cell wall constituents without any bark (in logs or poles) and sawn timber and
wherein hydroxyl groups present on hemicelluloses, cellu- submerging the material in the preservative solution until
lose and lignin are replaced with other functional groups. the required absorption is obtained.
Acetylation of wood has been one of the most prominent Sap displacement (Boucherie) method: This method is
chemical modification methods and has already gained com- adopted to treat freshly felled poles and bamboo using water-
mercial success. The process requires the reaction of wood soluble preservatives. In this method, the butt ends of the
with acetic anhydride with or without a catalyst. The freshly cut poles or bamboo are immersed in the preservative
modified wood exhibits reduced hygroscopicity, increased solution (Fig. 38.21). The preservative replaces sap of the
dimensional stability, improved photo-stability, better poles/bamboo by wick action throughout the length of the
weather resistance and superior decay resistance against pole or bamboo with time. This method is very simple to
both termites and fungi (Teng et al. 2018; Giridhar et al. adopt, low cost and the process can be carried out in the field
2017). The modified process generally alters colour or without much technical know-how at the felling site. How-
mechanical properties and the modified wood is non-toxic. ever, the method is useful when there is no end-grain drying
Other than chemical modification, thermal modification has and has to be done immediately on felling. The method
also been used as a method for imparting fungal resistance in requires reversing the poles upside down after a few hours
wood. The process involves heat treatment of wood at ele- to achieve uniform penetration of chemicals. The process
vated temperatures (above 160 °C) in the absence of oxygen. may take a considerable amount of time depending on the
Thermal modification technology has also reached to com- size of the pole. Alternatively, the sap can be replaced by
mercial scale with ThermoWood® a well-established product wood preservatives by pressurizing preservative solution
available in the European market. However, loss in mechani- (Boucherie process) which is a faster method for treating
cal strength, darkening of the colour of wood, rapid poles and bamboo (Fig. 38.22). The preservative solution is
weathering and no termite resistance are the major drawbacks filled in a reservoir, and the butt end of the pole/bamboo is
of the technology which restricts its application in certain connected to a charge cap with proper sealing. The other end
areas. of the pole is kept at a lower elevation than the connected
38 Wood Processing 861

Fig. 38.21 Sap displacement

technique to treat green poles and
bamboo

Fig. 38.22 Sap displacement

using hydraulic pressure—
Boucherie treatment units

end. An air pressure of 0.5–2 kg/m2 is applied to the treating preservative solution or a preservative paste is applied on
solution in the reservoir. With the exertion of pressure on the the surface and then they are concealed with polythene covers
solution, preservative displaces the sap which is forced out at and stacked for different periods. During the holding period,
the other end within a short period. These methods are the preservative salt slowly diffuses into wood due to con-
extremely useful in treating at remote locations, at felling centration gradient. Timber that is not treated easily by the
sites or when on-farm treatment is required as multiple pressure process can be treated by this method in the green
poles/bamboo can be treated. condition. Timber with higher basic density and/or relatively
less moisture content needs to be kept in a highly
38.4.2.1 Diffusion Process concentrated solution for efficient diffusion. The process is
This method is also adopted for treatment in the green condi- time-consuming and may take 4–6 weeks for 25 mm thick
tion when the moisture content of wood is well above the boards and up to 12–14 weeks for 5 mm thick sections. The
fibre saturation point. In this process, rough-sawn timber or uptake of salts depends on the initial concentration of the
debarked logs are either dipped in a highly concentrated solution, initial moisture content, ratio of surface area to
862 S. S. Chauhan

Fig. 38.23 A vacuum-pressure

impregnation chamber

volume and temperature of the treating solution. The method Once the cylinder is filled with the preservative, the solution
is an effective way of treating green wood with boron salts as is subjected to an air pressure of 3.5–12.5 kg/cm2 using an air
it does not raise any health hazards, is simple to operate and compressor or pressure pump. The air pressure to be applied
can treat wood locally. depends on the species, thickness of the timber, treatability of
the wood etc. The applied pressure ensures the injection of
38.4.2.2 Vacuum-Pressure Impregnation the preservative into the timber. The pressure inside the
Combining vacuum and pressure for treating wood with chamber is maintained for a specified period as per the
chemicals is the most accepted commercial method. The treatment schedule to get the desired absorption. Once the
process is very efficient in achieving deep penetration of treatment is over, the solution is withdrawn from the cylinder
wood preservatives and the chemical loading can be con- back to the storage tank. Finally, the chamber is subjected to a
trolled by using specific vacuum-pressure conditions called vacuum for about 15 min to remove any excess chemicals
‘treatment schedules’. The method requires a large size from the wood surface. Specified retention of preservatives is
heavy-gauge cylindrical pressure vessel for treatment achieved using an appropriate concentration of the solution
(Fig. 38.23). Mainly, there are two processes, that is, full and controlling vacuum and pressure durations.
cell process and the empty cell process.
38.4.2.4 Empty Cell Process
38.4.2.3 Full Cell (Bethell) Process Empty cell process aims at maximizing penetration with
This process was patented by John Bethel in 1838 and is used minimum net absorption of preservatives. There are two
where high absorption of preservatives is required. In the processes namely the Rueping process and the Lowry process
process, wood material is charged to the cylinder and the used in the empty cell method.
door is tightly closed. A vacuum of at least 56 cm of mercury
is created and the vacuum is maintained for 15–30 min. The 38.4.2.5 Rueping Process
objective of this operation is to remove air from the wood This method is principally used for hot oil-type preservatives
cells so that preservatives can impregnate rapidly inside the such as creosote where low absorption of chemical is desired.
wood. At the end of the vacuum period, the preservative is In this process, material is charged into the cylinder and air
introduced into the cylinder by opening the valve connected pressure of 2.0–5.0 kg/cm2 is applied for a specific period.
to the solution storage tank while maintaining the vacuum. The cylinder is filled with the preservative while maintaining
38 Wood Processing 863

the pressure and when filled, pressure is further increased to efficiency like automatic log holding, log scanning for decid-
3.5–12.5 kg/cm2 depending on the species and size. After the ing optimum cutting pattern and infeed systems for position-
desired time, the pressure is released and a final vacuum of ing the logs for optimal sawing. Further, the benefits of
35–56 cm of Hg is drawn to wipe out the excessive preserva- optimized sawing practices yield more benefits with small
tive from the surface and get a much drier surface. logs. As far as seasoning and preservation are concerned,
these essential processing steps are quite often overlooked
38.4.2.6 Lowry Process by industries as well as consumers as both these processes
In this process, the material is loaded and filled with the add to the cost of the product considerably. Wood seasoning
preservative. A hydraulic pressure of 2–12.5 kg/cm2 is technologies are well established and benefits are also well
applied till the desired absorption is achieved and the pres- known but their adoption is far from satisfactory. Large
sure is slowly released. During pressure release, a part of the capital investments, time required for effective seasoning
injected preservative is expelled due to the expansion of and cost have been major restraining factors. Environmental
trapped air in the wood cells. Finally, a vacuum of issues related to wood preservation particularly the use of
36–56 cm of Hg is applied for 15 min to remove excess chemicals, disposal of treated wood and human hazards
preservatives. The treatment process is appropriate for associated with preservatives during service life have raised
treating low density and highly permeable timbers which concerns about adopting such practices. However, the preser-
are to be used for exterior joinery and framing applications. vative treatment in applications where wood is in ground
In addition to these methods, oscillation pressure method contact or exposed to fungal degradation like in building
is used to treat wood in green condition wherein wood construction, cooling towers and marine structures can have
material is charged into the cylinder and once the chamber significant economic implications.
is filled with preservative repeated application of high pres- It is important to recognize that appropriate processing
sure and vacuum is applied. When the vacuum is applied, becomes more crucial in utilizing fast-grown plantation
some amount of sap is extracted from the wood which gets timbers which are generally characterized by high moisture
mixed with the preservatives, and subsequent pressure forces content, a higher proportion of sapwood, a low proportion of
chemicals to penetrate inside the wood. The cycles of pres- mature wood, low natural durability and a steep gradient in
sure and vacuum are repeated for a long duration to achieve wood properties. With the advances in technologies, wood
the desired absorption of the preservative. However, in most processing technologies are also going to be more effective
commercial practices, the full cell process is the preferred enabling us to efficiently utilize timber resources. A cluster or
method for an effective treatment with water-soluble cooperative-based approach for seasoning and preservation
preservatives. The treatment protocols of different species could be adopted for small-scale wood processing operations
are different and depend on permeability and treatability. like for handicraft and furniture industries. There has been a
Sapwood portion of most of the timbers can easily be treated paradigm shift, globally, with emphasis on growing more
but heartwood of many species poses serious challenges. The wood and using more wood as wood is one of the most
treatability of heartwood depends on anatomical structure environmentally friendly materials. The adoption of appro-
and the presence of pathways for impregnation of chemicals priate primary processing can play a significant role in
inside wood and therefore is different for different species. increasing the life cycle of wood-based products and in
The heartwood treatability is categorized into five grades turn, can play a key role in storing carbon, reducing frequent
namely easily treatable; treatable but complete penetration replacements and thereby contributing to the mitigation of
not always achieved in thick sections; only partially treatable; climate change.
difficult to treat; very difficult to treat wherein the preserva-
tive penetration is negligible or nil even from the ends. Based Lessons Learnt
on the treatability class, the treatment schedules are adopted • Different saw types, saw blade parameters and sawing
to achieve satisfactory loading of preservatives. patterns
• Design of an efficient sawmill
• Advantages of wood seasoning for its efficient utilization
38.5 Concluding Remarks • Theoretical aspects of wood seasoning including moisture
sorption and drying mechanism
Sawing, seasoning and preservative treatment are the basis of • Different seasoning methods
secondary wood processing for product development. The • Defects due to improper seasoning and uncontrolled dry-
unorganized and fragmented nature of the saw-milling indus- ing of wood
try in the country has been a major reason for technologically • Natural durability of timbers
being outdated. Many developed countries have adopted • Various types of wood preservatives
considerable automation in the sawing process to improve • Methods of preservative treatment of wood
864 S. S. Chauhan

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2. Define the fibre saturation point and discuss its relevance demic Press, London, pp 1–42
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3. A piece of wood is extracted from a freshly felled tree. The microwave applications: similarities, advantages and
limitations. In: Radio-frequency heating in food processing
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Jiao S (2012) Development of non-chemical post-harvest treatments for
relative advantages and disadvantages. disinfecting agricultural products (Ph.D. Thesis). Washington State
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treat air-dried poles? microwave heating. In: Radio-frequency heating in food processing
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 Sustainable Management of Non-Timber Forest
Products 39
Prodyut Bhattacharya and Rituparna Bhattacharya

Abstract unaccounted inventory and weak institutional structure

Traditionally Non-Timber Forest Products (NTFP) pro- for collection and marketing of products in remote forest
vide a significant opportunity for socially and economi- areas. Many recent initiatives by state forest departments
cally weaker sections of society particularly tribal, and central organizations, Tribal Cooperative Marketing
landless farmers, women and other rural poor for cash Development Federation (TRIFED) to boost the sector
and non-cash income for livelihoods. Forests provide var- through various supporting services like introduction of
ious NTFPs which are used for food, fodder, medicines, Minimum Support Price (MSP), inclusion of NTFP man-
firewood, mushroom, honey, bamboo and many more. agement in forest working plan code as well as conserva-
There are more than 200 different types of NTFP available tion practices for rare and threatened species. Many
in tropical and temperate forests, which have commercial studies indicate the emerging impact of climate change,
value and require multiple strategies to manage sustain- fire and other vulnerabilities in many NTFP growing areas
ably in wild areas. resulting in low yield. There are huge gaps perceived in
From the perspective of management, there are two awareness, communication and capacity building of peo-
categories of NTFPs: (a) products of commercial value ple who are stakeholders in this sector. In the past few
and (b) products of subsistence value, which never reach decades many landmark policy interventions emerged in
to market. This makes it difficult to estimate the real value India, which have direct and indirect link with NTFP
of NTFPs, which are under provisional ecosystem management but their impact is yet to be seen. Proper
services. If collection, processing and value addition community-based enterprise development linked with
activities are sufficiently strengthened with modest invest- sustainable income sources for the tribal and other local
ment from the state and central governments, tribal and communities is still a dream in NTFP collection.
poor forest living communities will quickly become pros-
perous in their own habitat. Management of NTFPs covers Keywords
a range of activities starting from adopting appropriate NTFP · MFP · Sustainable harvesting · Stakeholder · Van
silvicultural practices to caring regeneration and Dhan scheme
practicing healthy collection methods. A large number of
NTFPs have medicinal properties and are collected by
herbal industries in large quantity through the local 39.1 Introduction
communities. In many cases premature and over
harvesting has made the collection unsustainable for sev- In the last seven decades since independence, India has made
eral products from natural forests. impressive strides in critical development sectors. Nonethe-
This chapter discusses different issues of NTFP man- less, a substantial portion of the population still relies on
agement including the causes of unsustainable harvesting, forest resources for their livelihoods and income generation.
informal market system, fast depleting resource base, Approximately 140 million individuals are forest dwellers,
whose primary reliance on forests extends beyond fulfilling
P. Bhattacharya (✉)
University School of Environment Management, Guru Govind Singh various household requirements to ensuring food security as
Indraprastha University, New Delhi, India well (Bhattacharya and Hayat 2004). A distinct subset within
R. Bhattacharya this forest-dwelling population comprises the indigenous
Centre for Economic and Social Studies, Hyderabad, India tribal communities, dispersed throughout the nation.

# The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2025 865
A. K. Mandal, A. Nicodemus (eds.), Textbook of Forest Science, https://doi.org/10.1007/978-981-97-8289-5_39
866 P. Bhattacharya and R. Bhattacharya

Among the nearly 68 million tribal individuals, half rely plant origin’ . However, the inclusion clause, also mentions
directly on forest resources to fulfil their livelihood needs, items like tussar, cocoons, honey, wax and lac which essen-
including food, fodder, medicinal plants, small timber and tially are animal products.
various other Non-Timber Forest Products (NTFPs) gathered Annually, around Rs. 2,00,000 crores worth of NTFP is
from the wilderness. Non-timber forest produce, often gathered by the tribal people and traded in the haat bazaar
referred to as ‘Minor Forest Produce,’ plays a significant (local market). The potential of this huge capital, grossly
role in the economic sustenance of tribal societies. under-managed, is yet to be fully appreciated by the govern-
The FAO defines non-timber forest products as ‘biological ment and planning agencies (TRIFED 2020). If NTFP activ-
resources of plant and animal origin, harvested from natural ity is sufficiently strengthened, tribals can become prosperous
forests, plantations, wooded land and trees outside forests’. in their habitat, in the shortest period, with moderate invest-
From this definition, it becomes easy to deduce that all the ment by the state and central government. Earlier time the
forest produce minus the timber could be perceived as ‘non- Forest Department used to focus mostly on the management
timber forest produce’ (Bhattacharya and Hayat 2004). How- of timber trees, considered NTFPs as byproducts of forest,
ever, from the perspective of management, there would be and they had provided little importance to its management at
two categories of NTFPs: (a) products of commercial value their territorial forest areas. NTFP is primarily gathered from
and (b) products of subsistence value, which never reach a the forests and its primary processing is done by women folk
‘market’, estimating whose values under the provisional at home. A holistic model of NTFP-led tribal development
services of the ecosystem become cumbersome. Examples for the scheduled tribes in forest areas is need of the hour.
of the category ‘b’ are usual in many parts of India especially This requires synergy among various concerned ministries/
among tribes in Northeast, where the use of birds, insects, departments for concerted actions towards NTFP based eco-
mushrooms, leafy vegetables, larvae, fish and other animals nomic development. The government has progressed signifi-
and medicinal plants from the forest is integral to their diet cantly in this direction.
and personal use (Bhattacharya and Hayat 2004). NTFPs are estimated to contribute significantly to the
De Beer and Mc Dermot (1989), who coined the term income of 50 million tribal households in India, ranging
NTFP, define it as ‘NTFP encompasses all biological from 10 to 40%, with an additional 200–300 million villagers
materials, other than timber, which are extracted from forests relying on them to a lesser extent (Shiva 1993). Particularly
for human use’. This definition excludes minerals and in the arid tropical forest regions of India where water
includes fuelwood, bamboo and animal products. It also resources are scarce and agricultural opportunities are lim-
excludes non-forest woodlots and TOF (Trees Outside ited, NTFPs often serve as the primary means of survival for
Forests). tribal communities. These forests exhibit a concerning trend
According to a report of the sub-group-ii Planning Com- of rapid degradation and poor regeneration, posing
mission on NTFP and their sustainable management in the challenges to the sustainable utilization of NTFPs. The tribal
12th Five Year Plan, NTFPs refer to ‘all biological materials populations dependent on these resources are among the most
other than timber extracted from natural forests for human marginalized, experiencing severe deprivation in terms of
and animal use and have both consumptive and exchange health, nutrition and education, as indicated by their low
value’. Globally NTFP/NWFP are terms for ‘forest products development index (Bhattacharya and Hayat 2004). Against
consisting of goods of biological origin other than wood, this backdrop, the role of NTFP-based development could be
derived from the forest, other woodlands, and trees outside considered as the ‘first step survival strategy’. There is a
forests’. correlation between high tribal community concentration
The Scheduled Tribes and Other Traditional Forest and a high proportion of forest area per state (Fig. 39.1).
Dwellers (Recognition of Forest Rights) Act, 2006 still uses Consequently, these are also the states where the NTFP
the term Minor Forest Produce (MFP)1 for a similar concept. collection and allied activities are higher.
The Forest Rights Act tries to define MFP as ‘Minor Forest Traditionally, Non-Timber Forest Products provide a sig-
Produce includes all non-timber forest produce of plant origin nificant opportunity for the social and economic life of
including bamboo, brushwood, stumps, cane, tussar, millions of forest dwellers, particularly the tribal, landless,
cocoons, honey, wax, lac, tendu or kendu leaves, medicinal women and other rural poor for cash and non-cash income to
plants and herbs, roots tubers and the like’. A closer scrutiny local livelihood. Besides, NTFPs yielding biodiversity is of
of this definition will reveal that in an attempt to define immense ecological significance to the forest ecosystem
‘MFP’ for the limited purpose of this act, it is taking support ensuring ecological security to the nation. Throughout the
of the term ‘non-timber forest produce’. Further, trying to year, as per the forest types of the region, NTFPs are pro-
limit the scope of ‘NTFP’ also, is adding the condition ‘of duced in the Indian forest and the local community collects
these products. Although there is no precise estimate of the
1
The terms- NTFP and MFP are interchangeably used in India. total amount of NTFPs extracted from the natural forests,
39 Sustainable Management of Non-Timber Forest Products 867

Fig. 39.1 Districts with concentration of Scheduled Tribes in India (TRIFED 2020)

according to an estimate, it could vary between 10,000 and herbal sector has seen many medicinal and aromatic plants
50,000 tons annually running into billions of Indian rupees. (MAP) become extinct in the wild especially in the parts of
Furthermore, more than 60% of NTFPs go unrecorded and is central and northern India, whereas other reasons of constant
consumed or bartered by about 15 million population living pressure are changing land use, poaching and indiscriminate
in and around the forest (Prasad 2007). harvesting practices.
Management of NTFPs is a subject of interest for various This chapter analyses a detailed account of sustainable
institutions and researchers working in the field of conserva- NTFP management and harvesting practices in India, includ-
tion biology and field foresters who are working as ing conservation and livelihood dependency of tribal
stakeholders of the resources (Fig. 39.2). The complex inter- communities, marketing and enterprise development
action of ecological and economic aspects of NTFPs has been initiatives and NTFP-related policy environment in India.
studied for the past 3–4 decades in India. High demand by the
868 P. Bhattacharya and R. Bhattacharya

Fig. 39.2 Stakeholders in NTFP

sector Collectors Forest Department

Stakeholders
Traders NGOs and
in the NTFP
International Conservation
Sector Organisations

Academic and Research

Industry Institutions

based on ecological parameters (that ensure community par-

39.2 Sustainable Harvesting ticipation in monitoring of the resources), harvest methods
and Management of NTFP (that ensure the product is harvested sustainably and the
source is conserved), raw produce quality (this ensures that
Management of NTFPs covers a range of subjects from the harvest takes place at the right time and
silviculture to regeneration and collection methods in the non-destructively) and production and processing standards
field. NTFPs need to be sustainably harvested in order to (that ensure the hygiene, quality and shelf life of the product).
preserve their medicinal value and foster a sustainable yield.
Plant species have been categorized based on their parts used
for NTFP purposes which are as follows: 39.2.1 Challenges in Sustainable NTFP
Harvesting
• Fruit
• Leaves Various ecological characteristics can make sustainable
• Flowers harvesting a very difficult objective to achieve, under NTFP
• Bark management practices, where many actors are involved.
• Gum/resin Major problem areas are as follows:
• Root/rhizome
• Other medicinal plant parts • The irregularity of flowering and fruiting
• The high diversity and low population density of plant
In theory, any harvesting plan should consider the avail- species
ability of resources, the rate of use and the renewal rate of the • The high mortality and low success rate during seedling
resources. Thus, plans that promote harvest below the establishment in the field
resource regeneration threshold and that do not modify the • The importance and availability of insects and other
natural prevalence of the harvested species should only be animals for pollination and seed dispersal
used (Lawes and Obiri 2003). Seedling mortality, even if the • The sensitivity of population structure to changes in the
seed germinate, over 90% of the new seedlings usually die level of natural regeneration.
before becoming established in the understory. Only a very India boasts an impressive botanical diversity, hosting
small fraction of these seedlings (less than 1 in 10,000) will over 46,000 plant species within its borders. Among
make it to canopy and produce fruits, so there are many these, a substantial number—approximately 760—are
biological factors we need to consider to understand sustain- actively harvested from the wild for their medicinal
able harvesting. properties, catering to the extensive herbal medicine
The protocols of harvesting NTFP at the individual level, industry prevalent in the country. However, this diversity
population level, ecosystem level and genetic level for fruit, of NTFPs is increasingly threatened by the interplay of
leaf, root, bark, stem and seed require adaptive management factors: rapid deforestation and habitat destruction, indis-
strategies based on available information with forest criminate collection, and spurious substitutes in the
managers and biologists; they get inputs from harvesters market.
and traders as well. Sustainable harvesting protocols are
39 Sustainable Management of Non-Timber Forest Products 869

The process of sustainable exploitation may have various • Many herbs, such as Cymbopogon martinii and Mentha
steps like (1) species selection, (2) forest inventory, (3) yield piperita, lose some of their aromatic oils when it rains,
condition, (4) regeneration surveys, (5) harvest assessment thus harvesting should be done 2–3 days following the
and (6) harvest adjustments. rain to allow the plant’s oil to re-accumulate.
• The harvest areas where the target plant can be easily
located and where plant materials are expected to be of
39.2.2 Important Indicator of Sustainable NTFP high quality and uncontaminated by pollution and other
Harvesting adverse environmental factors should be chosen by the
collectors. Unless it is organic, picking herbs along
• Monitoring the seedling, sapling and adult tree densities roadsides or in agricultural areas should be avoided.
helps in appraising the sustainability of the current • To harvest roots (Asparagus racemosus, Decalepis
harvest. hamiltonii), dig a hole that is parallel to the roots and
• Size class distribution of trees is an important indicator of straight down. Remove dirt from one side of the hole
regeneration rate. gradually along the direction of the root. After that, just
• The intensity of harvesting should be reduced as per the slide the root into the hole sideways. Comparatively
approach in the working plan if the density drops while speaking, this approach will cause less damage to the
monitoring the size class distribution. For example, if roots than traditional digging.
aonla trees are reduced in number in a particular forest • Harvested stems or branches must be left upside down in
patch, we must reduce the quantity of harvest from that bunches for a few days if herb leaves are to be collected.
area, at least there should be some fruits in the trees for As a result, the sap found in the stems and branches will
future regeneration. enter the leaves.
• To prevent undue damage to the tree, sharp-cutting
39.2.2.1 Protocols for Harvesting NTFPs instruments such as chopper, sickle, secateurs, scissor
Plant species should be harvested under the best possible and hedge scissor must be used. Using scissors or a
conditions avoiding wet soil, rain, or exceptionally high air sharp knife, harvesting leaves, stems, or blossoms from
humidity. For instance, plants with volatile oils, stems or tender, non-woody stemmed herbs is a simple task. To
flowers and leaves, should always be gathered on a sunny prevent contamination, cutting instruments need to be
day after the dew has evaporated off the plants but before the sharpened and cleaned in between collections.
full heat of the day. • When harvesting a whole plant (like Andrographis
Retention and management protocols: Considering the paniculata), it is important to limit the amount taken
gatherer’s perception, retention principles advised for differ- from each population so that there is still enough leftover
ent plant parts during collection are given below: for the population to regenerate. If the species is spread by
seed, harvesting should only take place once the fruit has
• A quarter of the fruits harvested must be left for ripened and the seed has been discharged.
regeneration. • Plant species that are prohibited from being harvested by
• Thirty percent must be left for regeneration after state regulations because of worries about overharvesting,
harvesting seeds. such as Taxus baccata in the Himalayas and Sarpagandha
• Twenty percent of the population and 30% of each plant’s in Madhya Pradesh and Chhattisgarh, or those listed under
flowers must be left unharvested during flower harvesting. RET (rare, endangered and threatened) or on the Conven-
• Seventy percent of plant leaves must be left on the trees at tion of International Trade in Endangered Species
the time of harvest. Similarly, 80% of the plant population (CITES) (Table 39.1) (Box 39.1).
must remain unharvested in order to harvest roots, or
bulbs.
• Unless otherwise advised, annual plants’ leaves and roots Prescribed Silvicultural Manipulation for NTFP: The
should be harvested after flowering to ensure regeneration goal of silvicultural interventions is to provide an ideal envi-
and higher product quality when harvesting the entire ronment in natural forests for the growth of the most desired
plant, leaving at least 30% of the population untouched. NTFP species. The most challenging task in managing
• While harvesting roots of perennial plants, some plants non-timber forest products (NTFPs) involves silvicultural
from each life stage should be left out. For species that manipulations due to a variety of species involved, as well
regenerate from portions of roots or root crown a portion as their differing needs for development and regeneration.
of the root should be left in the ground or the whole or Silvicultural requirement: The conditions that different
divided crowns should be replanted, as appropriate plant species need to grow, such as light, space and soil
(e.g. Asparagus sp.).
870 P. Bhattacharya and R. Bhattacharya

Table 39.1 Examples of commercial NTFP trees, which require an immediate care of germplasm conservation before they deplete from natural
forests
S. no. Species of NTFP State Region
1 Aegle marmelos (bael) Madhya Pradesh and Chhattisgarh Central India
Terminalia arjuna (arjun)
2 Garcinia indica (kokum) Cinnamomum Karnataka and Tamil Nadu South India
zeylanicum (dalchini/cinnamon)
Decalepis hamiltonii (mahalikizhangu)
3 Saraca asoca (ashoka) Tripura and Odisha Northeast India
Litsea glutinosa (maidalakdi)
Aquilaria malaccensis (agarwood)
4 Commiphora wightii (guggal) Gujarat and Madhya Pradesh North central India
5 Emblica officinalis (aonla) Madhya Pradesh and Chhattisgarh, Uttar Central and South India
Pradesh, Rajasthan, Karnataka
6 Buchanania lanzan (chironji) Madhya Pradesh, Chhattisgarh, Uttar Pradesh, Central India and Himalaya
Acacia catechu (Katha) Rajasthan foothills
7 Cinnamonum tamala (tejpatta) Uttarakhand, Tamil Nadu, Karnataka, Assam, South India, Northeast India and
Meghalaya and Tripura Northern Himalaya
8 Taxcus baccata (thuner) Uttarakhand Northern Himalaya
9 Sapindus sp. (ritha) Andhra Pradesh, Tamil Nadu South India

quality, vary. Certain species may be shade carriers, while

others may be shade demanders. Some species are light Box 39.1 (continued)
demanders. While certain species may survive in dry • 75% harvest of the marketable parts (by leaving
environments, others require more water to grow than others. 25% of the whole number)
Plants tend to occupy distinct forest stories and different sorts • 50% harvest of the marketable parts (by leaving
of habitats based on their development habits. Shrubs often 50% of the whole number)
form a lower canopy, whereas most trees occupy either the • 25% harvest of the marketable parts (by leaving
upper canopy or the understorey. The ground flora is made up 75% of the whole number)
of grasses and herbs. Shade-bearers are smaller trees. Follow-
ing operations are the examples of possible silvicultural The plots should be established in triplicate and
modifications. revisited annually to assess the number of new recruits.
The impact of the above removal should be evaluated
• Seedling adoption and weeding around the desired plant using standard mathematical formulas. The area under
• Manipulation of ground vegetation NTFP is shrinking because of the large-scale
• Manipulation of the middle storey supplanting of timber species in the decades after inde-
• Manipulation of the top canopy pendence. Tribal communities are the best conservators
of the forest, if only the forest can sustain them. The
symbiotic relationship between tribes and forests needs
Box 39.1 Biodiversity Conservation and Development—
to be appreciated and encouraged. The area
For Research on NTFP
surrounding a forest village (at least 5 km around the
National Working Plan Code (NWPC), 2014
village) should be reserved only for NTFP forests, and
For studying the impacts of ecological, phenological
no economically rich timber species plantation should
and climate change along with the harvesting practices
be planted in this area.
on forests, it was recommended to designate permanent
plots of appropriate sizes for the formulation of safe
harvesting protocols, emphasizing the standardization 39.2.3 Strategy for Sustainable Harvesting
of optimal harvest limits to ensure the regeneration of of NTFPs
species (NWPC 2014). The exploration of various
harvesting regimes is suggested to determine safe Enrichment planting or seeding: The goal is to manage the
limits, including: region for the conservation and development of a particular
medicinal plant or a group of medicinal plants and other
• 100% harvest of the marketable parts (by removing NTFP species when an autonomous working group for the
the whole number) conservation and management of NTFPs is established. It is
possible that some NTFP species that were once common in
(continued) great concentrations in some woods have become rare. These
39 Sustainable Management of Non-Timber Forest Products 871

spaces could be used for seeding or enrichment planting. Biodiversity Act 2002. There may be a seasonal shutdown.
Chlorophytum species, Rauvolfia serpentina, Withania For one or more seasons, the entire area may be closed. The
somnifera Andrographis paniculata, Asparagus species, collection may be restricted in some locations. This restric-
Aloe barbadensis, Centalla asiatica, Curcuma spp. and tion might only apply for a few years. The needs of the
many more are some of the key NTFP and medicinal plant species and the region can also be taken into account when
species. When planting and seeding for enrichment, bear the determining the harvest limit.
following points in mind: Control on fire, grazing and shifting cultivation:
Climbers, creepers, annuals and herbs make up a significant
• Several studies have been conducted on seed bank analy- component of NTFPs. In forests, fire and grazing seriously
sis to learn about natural regeneration studies, and it is harm these plants. However, trees and plants are somewhat
possible that various species have distinct methods of protected from the harm. Frequent fires destroy ground flora,
regeneration. In general, species reproduce by seed; but including herbs and annuals, permanently. These plants burn
some species also do so by cuttings or other vegetative up in fires because they cannot tolerate the extreme heat.
parts, while still others do so through seedlings that have Because of frequent fires, a number of herbs and ground
been cultivated in nurseries. To increase the number of flora have become locally rare. Annual fires produce arid
NTFP species in forests, a thorough understanding of the conditions that lead to the extinction of organisms that
most effective regeneration method is necessary. require rainfall. Additionally, the flames change the qualities
• The species selected for enrichment planting or seeding of the soil, which hinders some species’ ability to grow.
should be in great demand or whose population has dwin- Numerous species are trampled by the hooves of numer-
dled in the forest due to overexploitation. ous cattle grazing over the area, and the animals consume the
• Since a majority of NTFPs grow in the understorey, it is vulnerable sections. There is insufficient regeneration as a
possible to find even ideal forest sites for NTFP planting result of eating fruits, flowers, etc. Thus, it would seem that a
and enrichment seeding. There is no need for artificial combination of fire and grazing has detrimental effects on the
support because the climbers have the support of the ground flora, which includes climbers, annuals and herbs. In
existing trees. a similar vein, shifting agriculture leads to unfavourable
• A few square kilometres may be included in the NTFP circumstances for these species’ growth. To safeguard rap-
operating circle. Not a very big space is needed. The area idly declining ground-based NTFPs from open forests, these
selected should be such that it meets the ecological practices must be regulated.
requirement of the species or a group of species. Establish Preservation Plots in Each Felling Series: At
• The most desirable seed and other planting material least one preservation plot must be included in every felling
should be gathered for enrichment sowing and planting. series in order to monitor the fast-declining biodiversity of
forests caused by strong biotic pressure and unsustainable
Prescribe deferred or rotational collection: The continu- harvesting practices. These preservation plots can be sites
ous extraction of non-timber forest products (NTFPs) from a that are off-limits to harvesting. These plots, which will
particular forest area may lead to a reduction in the quantity belong to the local population, could range in size from
of these plant resources over time. Sustainable harvesting is 5–10 to 50–100 ha depending on the amount of forest land
often not implemented in the case of most NTFPs. Since they available. It is possible to locate these preservation plots both
are a popular resource, collectors usually try to get as much of on the ground and on the map. These preservation plots ought
them as they can. When roots or rhizomes are harvested, the to be permanently designated on the ground with clear
plant is harmed; fruits are harvested before they are fully ripe. markings. In order to prevent damage and to enable the
Significant portions of the plant are chopped during the long-term monitoring of the effects of ecological, phenologi-
harvesting process, even if only the fruits or flowers are cal and climate change, the designated area needs to be
needed. Bark accumulation causes girdling, which ultimately fenced.
kills the plant. The gum and resin tapping also causes a major Increase research efforts: Data regarding the manage-
harm to the plants. As a result, it is advised that some ment of NTFP plants is scarce. Whatever data is available
locations take a short break while collecting in other places must be documented, and study must be started on them. This
continues. Usually, 5 years’ rest may help to rejuvenate the is required in order to manage the resource in a scientific
NTFP resource. The period of rest can be decided by keeping manner. Research topics may include ecological (including
in view the condition of the resource. The JFMCs may also be reproductive and regenerative ecology), forestry, economics,
motivated to practice the rotational collection of NTFP in production, and processing. Researchers and managers can
their area. exchange documents and best practices in management.
The Madhya Pradesh Biodiversity Rules 2004 formulated Instead of concentrating solely on the variables affecting
a required closure of territory for a certain term, based on the the collection and usage of NTFPs, research ought to evaluate
872 P. Bhattacharya and R. Bhattacharya

the several aspects affecting their administration. Little components should be used in a way and at a rate that does
emphasis has so far been made to developing these habitat not cause a long-term reduction in biological diversity.
traits and situating NTFPs within a typological framework To help issuing certificates for NTFPs, a good practice
that explains the patterns of NTFPs management (Ruiz 1995; guide may be created to guarantee the quality and purity of
Peters 1996; Bhattacharya 2013). the material that has been collected as well as its proper
Include management of NTFPs Working Plan Code: storage, controlled transit and chain of custody. To promote
The National Working Plan Code (NWPC) of 2014, the latest sustainable management and value addition, knowledge on
iteration of its kind, outlines provisions for the management best times to harvest, grade and store commercially signifi-
of non-timber forest products (NTFPs) within forest manage- cant species under the NTFP should be imparted in working
ment units (FMUs). This document serves as a comprehen- plan (Bhattacharya 2013). For protecting and managing
sive guide for the formulation of working plans across the NTFPs from government forests in a sustainable manner,
country, ensuring consistency and adherence to standardized the state government may establish the necessary regulations.
procedures among all Indian states (Kumar et al. 2020). The Regulating and conservation services for NTFPs are sadly
NWPC (2014) has several provisions on NTFP (including not being extended by the Forest Department or the
MAPs), Estimation (Appendix iii of NWPC), Assessment of Panchayat, the new owners of NTFP resources.
NTFPs and Optimization of Forest Resource Utilization There isn’t yet a governance structure in place to guaran-
(Chap. 7). These sections of the NWPC mandate that the tee that harvesting is sustainable. The development and appli-
forest department and forest management units (FMUs) doc- cation of Good Manufacturing Practices (GMP) and Good
ument various aspects related to non-timber forest products Collection Practices (GCP) for numerous commercial NTFPs
(NTFPs). This includes recording estimated harvestable in various places yields positive outcomes when locals are
quantities, details of plant types and their parts used, utility actively involved. It is necessary to adhere to strong protocols
of the products, geographical distribution, scientific and local for sustainable harvesting procedures as well as community-
names of species, as well as information on demand, supply based ecological monitoring techniques. Harvesters, local
and import/export dynamics of NTFPs (NWPC 2014). collectors, dealers, forest managers and scientists must all
The Working Plan Officer (WPO) may plan and carry out receive a proper training for all parties involved to see the
survey, sampling and evaluation in accordance with the advantages of sustainable harvesting. Hence, the Working
NWPC (2014) in order to estimate the number of prioritized Plan Organization (WPO) may recommend suitable measures
NTFP species that will initially be found inside the chosen such as temporarily closing an area for the collection or
grids. Generally speaking, local research, plot enumeration extraction of specific forest produce for a designated duration
data and accessible historical documents are used by WPO to (closed area); imposing restrictions or prohibitions on the
evaluate possible NTFPs. Plot enumeration, data on shrubs, collection or extraction of any forest produce during certain
herbs and climbers and the identification of a few NTFP periods of the year (closed season); setting limits on the
species can all be used to estimate resource species. It is quantities of forest produce to ensure sustainable harvesting
possible to use data gathered for various studies and/or kept practices for the future (sustainable harvesting limits); pro-
in the JFM locations. moting sustainable harvesting and collection methods;
For each species of tree, shrub, climber, grass, herb, requiring collectors to submit returns; and other relevant
lichen, fungus etc., summarized estimated quantities may be actions. Improving site production while preserving
recorded for each compartment, village, or other management regrowth, the health and vitality of resources, and the biodi-
unit along with the scientific name, local name, type of plant, versity of the forests is the best way to guarantee an increased
part and utility, area (ha), quantity per hectare, estimated productivity of NTFPs (Box 39.2).
harvest/hectare, etc. For MAPs, a different estimate could
be made.
Box 39.2 Seven Step Methodology for Community-Based
Based on the potential NTFP calculation of market
NTFP Management
demand and production, a priority list of the most significant
(National Working Plan Code 2014)
species may be determined for the purpose of optimizing
STEP 1: Identify the NTFPs to be managed, their
forest resources. To promote the sustainable use, manage-
uses and the people who are to manage them
ment and value addition of non-timber forest products
1.1. Which NTFPs are to be managed?
(NTFPs), additional features for general prescriptions can
1.2. What are the uses of these NTFPs?
be developed within the overlapping working circles. To
1.3. Who will manage these NTFPs?
preserve biological diversity’s capacity to satisfy the needs
and ambitions of both the present and the future, its (continued)
39 Sustainable Management of Non-Timber Forest Products 873

39.3 Livelihood Support From NTFP

Box 39.2 (continued)
STEP 2: Determine the community’s rationale and 39.3.1 Significance of Forest Products
goals for sustainable NTFP management and Dependence of Forest-Dwelling
2.1. Rationale for sustainable NTFP management Communities on Forest Products
2.2. Goals for sustainable NTFP management
STEP 3: Document the community’s existing NTFP Forest fringe communities gather forest produce not only for
management system personal consumption but also for commercial purposes,
3.1. What is the community’s existing NTFP man- contributing significantly to their income. Sales of forest
agement system? products account for 40–60% of the total income for
3.2. When to document the existing NTFP manage- households residing in and near forested areas. A study
ment system? conducted in northeast India reveals that tribal communities
3.3. How to document the existing NTFP manage- utilize 343 non-timber forest products (NTFPs) for various
ment system? purposes, including medicinal use (163 species), consump-
3.4. Questions to ask about the existing manage- tion as edible fruits (75 species) and as vegetables (65 species)
ment system (Saha and Sundriyal 2012). The communities surveyed
STEP 4: Evaluate the existing system’s potential for displayed a complete reliance on forest resources for fire-
sustainable NTFP management wood and materials used in house construction. Additionally,
4.1. The potential for sustainability of the existing non-timber forest products (NTFPs) accounted for 19–32%
system of their overall household income.
4.2. Ecological predictors of the potential for Forests in India play a crucial role in meeting the country’s
sustainability energy and fodder requirements. They fulfill nearly 40% of
4.3. Social predictors of the potential for the nation’s energy needs, with over 80% utilized in rural
sustainability areas, as well as contribute about 30% to the fodder for the
4.4. Economic predictors of the potential for cattle population. Non-timber forest products (NTFPs) are
sustainability vital for the sustenance of rural communities, constituting
4.5. Political predictors of the potential for around 70% of forest products and contributing about 40%
sustainability to state forest revenues. Particularly for landless families and
4.6. Implications for investment of community marginal farmers, NTFP-related activities often serve as their
effort primary source of income. Around 275 million impoverished
STEP 5: Consider incorporating new approaches to rural individuals in India, constituting 27% of the total popu-
NTFP resource management lation, rely on Non-timber Forest Products (NTFPs) to sus-
5.1. Consider incorporating new approaches to tain their livelihoods, as per studies by Bhattacharya and
NTFP resource management Kandya (2016) and Bhattacharya and Hayat (2004). This
5.2. Quantitative approaches used in NTFP resource dependence is especially pronounced among half of India’s
management 89 million tribal population, considered the most
STEP 6: Develop a plan for sustainable NTFP marginalized segment of society, residing in forest fringe
management introduction regions. An estimate suggests that the Non-timber Forest
6.1. What is a management plan? Product (NTFP) sector has the potential to generate approxi-
6.2. How to develop the management plan mately 10 million workdays annually in India. This sector
STEP 7: Implement and monitor the management engages significant populations of rural and tribal individuals
plan in activities such as collection, processing and marketing of
7.1. Develop a monitoring plan NTFPs. Additionally, an equal number of individuals are
7.2. Implement monitoring and evaluation activities likely involved in healthcare practices that utilize these
7.3. Develop a new management plan resources. The environmental, social and economic signifi-
cance of NTFPs, including medicinal plants, to countries like
India is substantial.
The Planning Commission report of the sub-group-ii on
NTFP and their sustainable management in the 12th five-year
874 P. Bhattacharya and R. Bhattacharya

plan highlights the importance or role of this natural resource Meghalaya frequently visit wetlands and forest areas to
in the following manner: gather leafy vegetables. Of the 25–85 items on the list, all
of them are startlingly uncultivated. An enormous portion of
• Ayurveda, the world’s oldest healthcare system and India’s prehistoric tribes’ diets still came from a variety of
India’s heritage, completely depends upon forests as non-timber forest products (NTFPs) found in various forest
almost 85% of the raw herbs used in this system of types.
medicine are sourced from this resource. Similar is the Current challenges in livelihood support from NTFP: In
case with other systems of medicine included in AYUSH recent years tribal and forest-dwelling communities have
(Unani, Siddha and Homoeopathy) also. observed a reduction in the level of their food security, health
• The NTFP sector is one of India’s largest unorganized cover, cash income and dependable wage income; these
sectors having a dependent population of about 275 mil- situations have exacerbated further due to the COVID-19
lion, and with a business turnover of more than Rs. 6000 pandemic, in almost all Indian states. The people who depend
crore per annum, the NTFP sector has unfortunately been on such products are also beset with many problems such as
neglected since the pre-independence period. Fortunately, the perishable nature of the produce, lack of holding capacity,
for natural reasons, India remains No. 1 in the case of a lack of marketing infrastructure, exploitation by middlemen,
few items like lac because it is only here that the best lack of government intervention at the required time and
quality lac is produced that too in substantial quantities. scale, volatile nature of markets, etc. Most of the products
• The collection and utilization or sale of Non-timber Forest are sold in raw form, which is not remunerative to tribal
Products (NTFPs) are primarily carried out by women, gatherers. After walking long distances, they receive low
highlighting a significant connection between NTFPs and amounts. Thus, they try to collect as much as possible to
women’s financial empowerment in forest-fringe areas. maximize their earnings from the day’s collection by
Particularly for vulnerable groups such as primitive tribal compromising the products’ maturity level. As a result,
communities and landless individuals, NTFPs play a cru- important NTFP species are being depleted, their natural
cial role in providing critical subsistence during lean regeneration is almost nil (Murali et al. 2006; Devi and
seasons. Bhattacharya 2015).
• NTFPs have a tremendous potential to create large-scale Economic dependence of tribal communities on NTFPs:
employment opportunities thereby helping in reducing Processing and value addition at the primary collector’s level
poverty and increasing empowerment of tribal and poor boosts NTFP profits by 4–5 times, according to several
people of the poorest and backward districts of the studies. Simple value-adding tasks that may be completed
country. without any investment at the home and community level,
including cleaning, washing, air or sun drying, grading,
Role of women in NTFP sector: Strengthening NTFP is a packing, etc., can also pay gatherers two to three times
sure way to women’s empowerment in tribal areas. Women more. Collectors might be encouraged to adopt sustainable
are mostly dependent on NTFPs due to the nature of their harvesting practices by providing institutional support for
production, quantity, collection procedure, processing and marketing, value addition procedures and awareness training
local selling (Bahuguna 2000; Bhattacharya and Hayat (Tewari and Campbell 1995).
2004). Most NTFPs are seasonal and we observe there are Conservationists by nature, NTFP gatherers would typi-
various cultural rituals attached in society which are cally refrain from harming the foundation of natural
corresponding with the availability of these NTFPs either resources. Because there are no local institutions, credit
fruits, leaves, flowers, twigs, roots/rhizomes, mushrooms facilities, or value-added choices, middlemen and contractors
and various other animal NTFPs. They use most of NTFPs that operate in and near forest areas have been taking advan-
for their consumption, and they have better knowledge of tage of the gatherers. Table 39.2 helps to explain how indig-
resources. enous communities are economically dependent on NTFPs.
There are just a few research-based studies that provide The distribution of economically significant MFPs by state is
information on the use of 62 different NTFP products in diet, seen in Fig. 39.3.
such as vegetables and regular medication, by women in A list of important NTFPs in terms of their production and
Tamil Nadu, Kerala and Karnataka. Similar to this, women collection potential besides importance for livelihood is
in the north-eastern states of Tripura, Arunachal and given in Table 39.3.
39 Sustainable Management of Non-Timber Forest Products 875

Table 39.2 Economic dependence of tribal communities on important NTFPs (TRIFED 2020)
Seasons NTFPs collected Economic dependence of tribal and forest-dwelling communities
January– Lac (resin), mahua flower and tamarind In Odisha, Madhya Pradesh and Andhra Pradesh, over 75% of tribal households
March engage in the collection of mahua flowers, earning approximately Rs. 5000
annually. Additionally, approximately 3 million individuals are involved in lac
production
April–June Tendu leaves, sal seeds and chironji 30 million forest dwellers rely on seeds, leaves and resins from sal trees for their
livelihoods. Tendu leaf collection alone provides about 90 days of employment to
7.5 million people, while an additional 3 million individuals are employed in bidi
processing
July– Chironji, mahua fruits, tussar cocoons and 10 million people depend on bamboo for their livelihood, while 1,26,000
September bamboo households are involved solely in tussar silk cultivation
October– Lac, kullu gum, aonla, hill broom grass, 3 lakh person-days of employment from the collection of gums
November resins used in incense sticks

Fig. 39.3 State-wise distribution of economically important NTFPs (TRIFED 2020)

876 P. Bhattacharya and R. Bhattacharya

Table 39.3 Estimated production and collection potential of NTFPs (TRIFED 2020)
Estimated production potential Estimated collection potential
Value in Value in
S. no. Commodity Qty in lakh MTs Rs. crores Qty in lakh MTs Rs. crores
1. Tamarind (Tamarindus indica) 2.00 240.00 2.00 240.00
2. Mahua Flower (Madhuca longifolia) 1.50 122.00 1.00 81.00
3. Mahua Seed (Madhuca longifolia) 1.00 110.00 0.50 55.00
4. Sal Seed (Shorea robusta) 1.60 160.00 1.00 100.00
5. Tendu 80 (In standard 1040.00 40 (In standard 520.00
bags) bags)
6. Bamboo (Dendrocalamus strictus, Phyllostachys 48.00 12.00 12.00 300.00
edulis)
7. Karanj Seed (Pongamia pinnata) 0.40 40.00 0.25 25.00
8. Myrobalan (Terminalia chebula) 1.30 78.00 0.75 45.00
9. Chironji (Buchnania lanzan) 0.10 230.00 0.05 110.00
10. Lac (Stick Lac) (Kusumi and Rangeeni Lac) 0.25 150.00 0.20 120.00
11. Gum Karaya (Sterculia urens gum) 0.05 62.00 0.03 37.00
12. Wild Honey 0.30 270.00 0.25 230.00
13. Puwad Seed (Cassia tora) 0.50 50.00 0.20 20.00
14. Neem Seed (Azadirachta indica) 0.25 25.00 0.25 25.00
3777.00 1908.00
4000.00 1900 Crores

Issues related to the

39.4 NTFP Trade, Enterprise Development S. no. nature of NTFPs Explanation and examples
and Business NTFPs. This stands in stark contrast
to agricultural goods, wherein the
39.4.1 Trade Characteristics of NTFP state’s production variance seldom
surpasses 20% of the average
2 Lack of uniformity Since NTFPs are natural products,
In addition to policy distortions resulting from public and in product quality their qualities can never be
private monopolies, traders’ control over the impoverished consistent. Size, form, colour, scent
and illiterate forest residents also contributed to the low and other physical characteristics are
contingent upon variables that
returns to forest gatherers. They were the outcome of uneven
change from season to season and
and distributed production by definition, as well as erratic place to place, such as temperature,
demand and underdeveloped markets. As a result, it is impor- moisture, soil and rainfall. One of the
tant to examine the unique aspects of the forest inhabitants’ biggest drawbacks of marketing is
that consumers desire consistent
interactions with trade and how they differ from the selling of
quality and a regular supply. This is
food grains in India’s agriculturally abundant areas. Even for especially important for users in the
those products that are not nationalized, several variables industrial sector
contribute to the gatherers’ weak negotiating position against 3 Seasonal collection Even though there may be demand
traders in the particular setting of NTFP. The factors all year round, the majority of NTFPs
is collected seasonally. When they
influencing the value of the product include its geographic are sold locally during the flush
location, unique supply and demand dynamics, as well as the season, there is more supply than
dynamics of interaction between the collectors and there is demand, which drives down
purchasers. prices. When the short season falls
during India’s monsoon, it poses
Characteristics and nature of NTFPs even greater challenges because
drying and shipping the goods
Issues related to the become extremely difficult
S. no. nature of NTFPs Explanation and examples
4 Low volumes of the NTFPs in the forest are dispersed,
1 Change in The majority of NTFP commodities collection and collecting and transporting them
production has annual output swings that range are frequently not financially feasible
from 300 to 400%, which causes a due to the quantity available from
large change in supply. This also one location. Lower returns are the
depends on the annual rainfall. Good outcome of the producers’
seed year yields large crops for many
(continued)
(continued)
39 Sustainable Management of Non-Timber Forest Products 877

Issues related to the Issues related to nature of

S. no. nature of NTFPs Explanation and examples actors involved in NTFP
diminished negotiating power due to S. no. trading Explanation
the low volume of NTFPs 3 Too many intermediaries The link between main
5 Fluctuating demand The manufacturing of its gatherers and end users is
replacements and the shifting export lengthy and vertical. Certain
climate both have a significant village-level vendors work for
impact on the market for these commission agents or
products, which varies greatly. wholesalers situated in the
Primary gatherers may benefit from it market, who subsequently
at times provide to other wholesalers
For example, traders who camp in the based outside the state. In the
villages of Tripura and purchase hill majority of situations and
brooms at a premium price of 35/kg frequently even down to 10%,
are in high demand from the the gatherers’ portion of the
neighbouring state. However, the ultimate price for therapeutic
gatherers are frequently at a plants is less than 33% (Saigal
disadvantage due to a combination of et al. 2002). Gatherers are
unpredictable demand and limited in the number of
unpredictable supply intermediates they can choose
from, even with a high number
6 Exports Due to their primary export function,
of them. A competitive and
some NTFPs are quite vulnerable to
effective system should provide
global demand and pricing. For
multiple buyers with options
instance, the boom-and-bust
phenomena is causing 4 Nature of buyers Since they can satisfy the
overharvesting or a price collapse in primary gatherers’ urgent
certain products, such as aromatic needs, the local trader’s
oils, gums, herbal remedies and intermediaries are able to hold a
cashew nuts. This cycle has recently prominent position in the
affected Indian rubber and shellac marketing network. They have
a strong network of
procurement right at the tribe
Nature of the actors involved in NTFP sector collector’s doorstep, provide
prompt and timely credit and
Issues related to nature of make prompt payments. The
actors involved in NTFP local trader’s (Kochia) control
S. no. trading Explanation is further strengthened by a
1 Poverty of gatherers Due to their poverty and number of issues, including
ongoing debt to intermediaries poverty and the
or landowners, the majority of impoverishment of the
NTFP collectors and extractors gatherers; bad marketing
lacks control over their labour structure; lack of understanding
and other terms of exchange. of market prices by the
Consequently, the low price at gatherers; and ineffectual state
which NTFPs are disposed of is agencies. In addition, a highly
influenced by both segmented market, inadequate
underdeveloped rural credit communication and
markets and acute poverty transportation infrastructure
(Mott 1998) and unequal bargaining power
2 Gender dimensions For female entrepreneurs, the between buyers and sellers all
aforementioned issues become contribute to the situation’s
more serious. Burdened with increased profitability for
various tasks within the intermediaries
household typically ascribed to
women, their ability to explore A major hindrance to the efforts of various government
for far-off markets is curtailed. and non-government organizations (NGOs) assisting the
Their limited production scale
exacerbates the issue further, collectors is the lack of precise and dependable market data.
trapping them in a cycle of low The indigenous people of India typically gather and market
output, a tiny market and a tiny wild medicinal herbs unprocessed, without much added
excess (Agarwal 1989) value. Only sales conducted in nearby villages or at the
(continued)
878 P. Bhattacharya and R. Bhattacharya

weekly village marketplaces, or haats, will provide the NTFP Nature of the market and
collector with access to customers. Before they reach the S. no. marketing operations Explanation
organized sector, a sizeable amount of their collection is government order that
sold to local middlemen like commission agents and established the new
contractors. restriction did not include a
justification. In a similar vein,
Furthermore, access to the market is restricted for perish- when limitations are lifted,
able goods and goods containing active ingredients that alter harassment of the forest
or degrade over time due to regional restrictions. The issue is inhabitants persists as the new
made worse by the comparatively small volume of collecting, regulations are not made
public
which puts the tribal population in the area in a vicious cycle Even in cases when NTFPs are
of poor productivity, a tiny market and a tiny amount of not nationalized, laws
marketable surplus. As their need for the conversion of little limiting their freedom of
production into cash becomes more pressing, this restricted movement create uncertainty
in the market and prevent
marketable surplus continually erodes their bargaining gatherers from optimizing
power, making them more susceptible to exploitation. their returns on investment.
Nature of the market and marketing operations Government regulations not
only encourage corruption
Nature of the market and but also provide current
S. no. marketing operations Explanation market participants a stronger
grip, making it more difficult
1 Restrictions related to Different items have different
for new competitors to enter
storage, transportation, restrictions governing the
the market. As a result, a
processing, and marketing quantity of NTFPs that
small number of buyers have
producers or gatherers may
monopolistic advantages
store. Additionally, growers
of specific forest products 2 Harvesting The tribal people
whose production exceeds a occasionally have a tendency
set quantity are required by to gather product before it is
law to register ready to be harvested or to
Similarly, for moving NTFPs, utilize extraction techniques
transit licenses granted by the that are not scientific and may
Forest Department are still endanger the trees in an effort
necessary for most goods for to boost their immediate
their travels inside and revenue. For instance, similar
outside the state. There might extractive techniques are
also be limitations on value frequently used to injure trees
addition at the primary level. when harvesting kullu gum in
For instance, Mahul leaf Madhya Pradesh. The tribes
(Bauhinia vahlii) plates have the freedom to gather
manufactured of Mahul NTFPs thanks to the current
leaves need a transit access rights, but they are not
authorization. Permission for encouraged to make a
higher-level processing must sustained effort to develop the
be obtained from the Forest forests. Similar to this, post-
Department through harvesting methods receive
registration. The processor/ minimal attention, which
manufacturer is required to results in significant losses in
turn in the required accounts, terms of both quantity and
refunds and declaration. quality
Enforcing these laws is the 3 Grading and storage Enhancements are also
responsibility of the Forest required for the produce’s
Department grading and storage. Produce
These restrictions and permits is brought by the gatherers in
mean that the traders are a mixed state and at the
continually reliant upon and collection site it is graded,
affected by the actions of the incurring additional costs.
Forest Department Lower prices are paid for
Farmers find it challenging to ungraded commodities. In
stay informed about the most general, the blended product
recent changes to the transit is priced according to the
regulations, which are subject lowest quality
to frequent changes. The The quality of NTFPs is impacted
(continued) (continued)
39 Sustainable Management of Non-Timber Forest Products 879

Nature of the market and for example, aonla fruits are de-seeded, sliced and dried. The
S. no. marketing operations Explanation secondary or final processing includes packaging and label-
by temporary storage, when ling of the product, for example, dry aonla converted to
products are kept for many powder, or used with coconut hair oil for hair oil, from
days before being aonla fruit to aonla murabba. A few more examples of
transported. During the
monsoon season, warehouses value-added primary forest-based products are given below:
or storage facilities may Forest honey: Bitter honey; sweet honey; pepper-, ginger
encounter issues such as and saffron-infused honey; neem, mahua and karanj
insect infestations, rat medicated honey.
abandonment, or elevated
moisture levels, leading to a Bee wax: Candles; camphor, eucalyptus, coconut, olive,
decline in product quality. lavender, geranium and citronella-added balms.
Therefore, the potential Tamarind: Deseeded tamarind bricks, candy and
returns on NTFPs like chutney.
tamarind, mahua and aonla
could be significantly Shikakai: Powder with vetiver, hibiscus and aonla added.
enhanced by storing them in
cold storage for a period of
5–6 months 39.4.2 Marketing Issues for NTFPs
4 Market information The NTFP collector lacks
sufficient knowledge and
awareness of purchasers, the According to Yadav and Mishra (2010), the NTFP market is
going rate in the market, and an oligopsony, with a very large number of ill-informed
the regulations. Gatherers vendors and a comparatively small number of well-informed
have no idea what customers
(and secretive) customers. While the seller’s information
need or desire. The likelihood
that the producer/gatherer flow is accidental, the demand side’s information flow is
will have access to this purposefully restricted to intentionally influence the market
information decreases with price in their favour. During the last few decades, the major-
the length of the marketing
ity of NTFP research conducted in India has concentrated on
chain. Low pricing and waste
arise from a lack of biological aspects to address issues related to useful part,
information between what the collection time, nutritive efficiency, factors influencing
final buyer wants and the NTFP production, effects of silvicultural practices on the
actual product
yield of different NTFP, and NTFP inventory methods. The
5 Lack of infrastructure Limited infrastructure
facilities facilities prevent the full
research has been progressively incorporating market
utilization of forest resources, participants, marketing processes, future strategy, product
leading to the collection of analyses and certification as marketing in recent years.
NTFPs primarily from the Following features generally characterize the current
forest periphery
NTFP market (Saxena 2003):
39.4.1.1 Value Addition and Processing of NTFP
• Lack of scientific quality parameters or standards—traders
Value addition is the process of increasing the worth of a
go by physical characteristics, giving scope for reducing
product or service at each stage of production, beyond its
prices arbitrarily.
initial cost. This enhancement can include additional features,
• Lack of value chain knowledge and market informally
improvements, or modifications that increase its economic
linked.
value to customers. By adding value, companies can attract
• Absence of scientific weighing and volume assessment at
more customers, leading to increased revenue and profits.
the harvesters’/haat traders’ level, resulting in collectors
Processing of NTFP involves performing a series of physical
not getting fair prices.
or chemical operations on (something) to improve the prod-
• Prevalence of adulterants in the market (also called
uct (or collected raw material) condition, change it, or pre-
substitutes) which are difficult to identify but put added
serve it. Processing is usually done in a processing unit, with
pressure on forest resources.
the help of equipment or machinery structures.
• Demand from across the country and abroad is met by
Primary-level processing includes drying, cleaning and
informal market players.
grading, and is undertaken by the local community at the
• Wide swings in prices depending on season and factors
village level with the help of self-help groups (SHGs) or
outside the local domain.
Panchayat. Raw NTFP material is semi-processed (secondary
processing) with the help of equipment in a processing unit,
880 P. Bhattacharya and R. Bhattacharya

• The practice of even Rare and Endangered and Threatened • By enhancing market opportunities for products from
species (banned items) traded and even billed in different sustainably managed forests.
names. • By promoting public education about improved forest
• Variable tax and levies (VAT, GST, Transit taxes etc.) management for both producers and consumers.
between states and restrictions on inter-state transit.
There are, in general, three types of initiatives in NTFP
certification (Mallet 1999):
39.4.3 Certification of NTFPs in India
1. Well-managed forests (sustainable forestry) by applying
Certification is a voluntary market tool that attracts ‘green criteria that address ecological, social and economic issues
consumerism’ by ensuring the sustainability of the resources. 2. Organic certification
Certification is done based on developed principles, criteria 3. Fair-trade system
and indicators towards achieving sustainable forest manage-
ment (SFM). NTFP-based certified products market is still to Like the organically certified product market, the progress
develop and tends to occupy the niche market for high- of NTFP certification is growing at a slow pace. As per the
quality products, particularly for medicinal plants, honey concept, certified products receive a higher price for sustain-
and other food items (Bhattacharya and Manoharan 2017) able/responsible management. But available evidence is
(Table 39.4). somewhat contradictory and generally suggests that buyers
Certification is envisaged as a market-driven mechanism are unwilling to pay a price premium for certified products
for the promotion of sustainable forest management in four (Bhattacharya and Manoharan 2017). However, due to an
main ways: increase in the purchasing power of the Indian middle-class
people, and interest in quality products, domestic market
• By establishing standards for forest practices and manage- opportunities for certified NTFPs are likely to improve in
ment that guarantee a certain level of management perfor- future. Pharmaceutical companies are also trying to under-
mance. Producers and harvesters can use the principle, stand the prospects of certification and its scope, as in the
criteria, indicators and verifiers of sustainable harvesting case of ISO, Bureau of Indian Standards and other food
and NTFP certification anywhere as a model for best standards; such understanding has helped by marketing qual-
practices. ity products.
• By ensuring that NTFPs are coming from legal sources
and that the resource is sustainably sourced

Table 39.4 Challenges, opportunities, costs and benefits of NTFP certification (Bhattacharya and Manoharan 2017)
Challenges of NTFP certification Opportunities of NTFP certification
• Unavailability of funds for meeting direct and indirect cost of • Green public procurement
certification. There is also difficulty in reporting and administrative • Foreign direct investment (FDI) in the retail sector by
procedures, which creates heavy workload for unprepared communities multinational corporations (MNCs)
• Lack of capacity (technical and ecological knowledge about • Participation in corporate and governmental programmes and
individual species) projects that promote sustainable standards
• Lack of baseline data, sustainable harvesting levels and resiliency • Foster green public procurement to create demand in the
levels domestic market
• Non-equitable benefit sharing for the local communities. Unclear • Establish policy guidelines for forest certification on
tenure rights and access government forests and plantations
• Complex chain of custody • Provide incentives for small holders to receive forest
• Difficulty in realizing market benefits from certification certification support
• Lack of standard policies and difficulty with integrating timber and • Raise awareness of the benefits of certification
NTFP certification • Support the development of national standards and indicators
with the aim of adapting certification in the national and local contexts
Costs of NTFP certification Benefits of NTFP certification
• The direct costs of certification are the cost of the certification • Direct benefits cover sustainable collection of material that
process itself. Direct cost may vary with the size of the area of the secures future availability, improved quality value-added material,
enterprise and distance travelled by the certifiers ensuring price premium as well as market expansion through
• The indirect cost of the certification process adopts the change of international acceptance
management at field to meet the sustainable forest management • Indirect benefits cover conservation of biodiversity by following
standards environmental standards, respecting traditional rights and practices,
improvement in social setup, economic development and benefit
sharing
39 Sustainable Management of Non-Timber Forest Products 881

39.4.4 Fair Returns to NTFP Collectors 39.4.4.1 Challenges of NTFP Pricing

NTFP pricing by itself may not address the structural
How much should be paid back to the NTFP collectors? Is it problems that need to be tackled as follows:
the primary collector’s pay for obtaining NTFP from the
forests, based solely on the worth of their labour? This • Inadequate market intelligence, product and market devel-
perspective must be balanced by the understanding that the opment and market information systems (which identify
health of a forest resource is closely related to the health of new markets, new product developments, and regular
the dependent populations, even under the assumption that pricing update mechanisms).
fair wages are provided (Saxena 2003). The national forest • Poor investments in the NTFP sector and inadequate sup-
policies explicitly acknowledge that these people are the port to the primary collectors and their organizations for
resource’s principal stakeholders (Yadav and Dugaya company development and market access.
2013). The recently adopted Scheduled Tribes and Other • Exploitative market mechanism for NTFP leading to inad-
Traditional Forest Dwellers (Recognition of Forest Rights) equate earnings from NTFP trade for the main collectors
Act 2006 guarantees the right of ownership and control of and producers.
NTFP to the tribal people and forest dwellers. The need for • The main collectors’ unsustainable collecting methods
providing the real value of the resource to the primary have destroyed forests and left a lack of data necessary
collectors is of paramount importance in the management of to calculate sustainable harvest levels.
NTFP (Saxena 2003). • Lack of infrastructure for branding, advertising, certifica-
One must distinguish between a fair return on labour and tion, quality control and standardization of quality.
the actual price for primary product if the primary goal of a • Poor supply chain infrastructure (warehousing, cold stor-
fair price is to increase the incomes of primary collectors. In age facilities, efficient and transparent trading platforms).
the context of NTFP management, a higher price for primary • Inadequate institutional structures for NTFP procurement,
products may also have unforeseen consequences, if produc- value addition, marketing and other technical services;
tion is not price responsive. Raising procurement costs as a • Inadequate capacity with stakeholders for NTFP manage-
symptom could result in an unsustainable supply of NTFP ment and connecting it to livelihood security.
resources, endangering the current’s future. Offering a ‘sup- • Inadequate public awareness of NTFP trading and
port price’ purely to provide collectors a higher price may processing, as well as a lack of sufficient research and
have unforeseen implications on the NTFP resource base due development on NTFP processing and marketing.
to the low productivity of forest resources and the rising
demand for items from forests (Saxena 2003). The aim of the NTFP market should be to move from
In this situation, boosting the product’s value through being highly unregulated to being a fair and regulated market.
methods other than managed raw material pricing is a differ- Steps, therefore, need to be taken towards market regulation.
ent strategy to improve earnings for NTFP-dependent NTFP societies are playing the role of market regulation to
communities (Saxena 2003). The goal of the strategy should some extent—but since most of them do not function effec-
be to make a supply chain more efficient so that NTFP tively on the ground, their role in paying fair prices to the
collectors can extract more value from it. This can be done primary collectors is undermined.
by reducing waste, improving market knowledge, creating
more opportunities for value addition close to the supply
chain’s initial stages, and providing access to organizational 39.5 New Government Initiatives for Fair
and R&D resources. These days, there are ambiguous, insuf- Price
ficient, or non-existent connections between the value pro-
duced by NTFPs and reverse flow inputs to the 39.5.1 Minimum Support Price (MSP)
manufacturing base. The alternative strategy requires a to the NTFP Collectors
great deal more work and data than what is now accessible.
This is also the right strategy to help change people’s As per the Haque Committee Report, May 2011, the procure-
perspectives and manage NTFP resources responsibly while ment value of 14 major MFPs is estimated at Rs. 1900 crores
prioritizing human well-being. It is important to view the (including tendu and bamboo). Based on a survey and data
shortcomings in the NTFP resource management from a collected by TRIFED, the value of the potential stock of the
wider angle and avoid reducing them to a simple and tran- proposed 55 MFPs is estimated to be about Rs. 20,000 crores.
sient requirement for ‘higher prices’ only because they are The development of minor forest products is crucial to the
quick or easy to implement. tribe’s transformational evolution. 40–60% of tribal
882 P. Bhattacharya and R. Bhattacharya

members’ yearly income comes from the collection and sell- helps to triple or quadruple their revenue. The initiative
ing of MFPs; these individuals are mostly tribal women who tackles the severe issues that Native Americans confront,
gather, process, utilize and sell MFPs. In 2014, the Indian including their illegitimate land and housing, limitations on
government introduced the Scheme for Marketing of Minor their ability to harvest small-scale forest products,
Forest Produce through Minimum Support Price (MSP) and middlemen’s exploitation, their forced eviction from national
Value Chain Development in response to these parks and wildlife sanctuaries, a lack of development in their
circumstances. The benefits have not trickled down to the forest villages, etc.
anticipated levels of tribal gatherer engagement, even though The Van Dhan Yojana, also known as the Van Dhan
the MSP for the MFP Scheme was intended to be a compre- Scheme, is an integral part of the ‘Mechanism for Marketing
hensive plan for the growth of MFP commerce to cover of Minor Forest Produce (MFP) through Minimum Support
non-nationalized/non-monopolized MFPs. MSP has been Price (MSP) and Development of Value Chain for MFP’.
declared for multiple MFPs, and tribal people have been Launched on April 14, 2018, this initiative is overseen by
given an ownership of MFPs in their territories; nevertheless, TRIFED, serving as the central agency. The Van Dhan start-
the ownership is still largely notional. up represents a comprehensive strategy aimed at fostering the
The Government of India has decided to introduce the socio-economic progress of India’s tribal communities
scheme of ‘Mechanism for marketing of Minor Forest Pro- (TRIFED 2018). It aims to overcome all issues in the NTFP
duce through Minimum Support Price (MSP) and develop- sector especially during the Covid-19 pandemic, such as
ment of value chain’. The scheme is designed as a social proper pricing of products, value addition and processing
safety net for the improvement of the livelihood of MFP centre development, marketing NTFPs, supporting entre-
gatherers by providing them a fair price for the MFPs they preneurship and providing training.
collect. Under the Van Dhan Scheme (2018), the primary procure-
The scheme has been started with the following ment at haat bazaars will be facilitated through the existing
objectives: infrastructure of the state/district or by involving primary
procurement agencies. These agencies may include coopera-
• The objective of the scheme is to have a huge social tive societies, LAMPS, mahila samities, VDCs, JFMCs and
dividend for NTFP gatherers; the majority of whom are self-help groups (SHGs) formed in the state, including those
tribal people. established under the National Rural Livelihood Mission.
• To provide a fair price to the NTFP gatherers for the The members of these groups are predominantly local tribal
produce collected by them and enhance their income level. individuals selected by the District Collector in consultation
• To ensure sustainable harvesting of NTFPs. with the Gram Panchayat. These agencies will receive a
commission, not exceeding 7.5% of the value of Minor
According to the proposal, the Tribal Affairs Ministry will Forest Produce (MFP) procured through them. Buyers,
put in place a fair price mechanism under TRIFED, the including government-led Self-Help Groups (SHGs), will
marketing arm of the ministry. It would fix MSP or a remu- also participate in the haat bazaars, oversee by the Gram
nerative and fair price for the 49 MFPs. If the price of the Sabha in accordance with the provisions of the Panchayats
produce gathered by the tribal falls below this price, the (Extension to Scheduled Areas) Act, 1996 (PESA Act). The
state’s designated agencies would be alerted to procure establishment of ‘Van Dhan Vikas Kendras’, aimed at value
the MFP. addition and marketing, will be aligned with the haat bazaars.
The centre would share the losses with the state in a 75:25 Additionally, facilities for primary, secondary and tertiary
ratio. The government has earmarked almost Rs. 125 crores level value addition will be established in villages, tehsils,
for the scheme. Its target group is tribals of nine states— or talukas, as well as district headquarters, based on the
Andhra Pradesh, Chhattisgarh, Gujarat, Himachal Pradesh, availability of minor forest produce and the tribal population.
Jharkhand, Madhya Pradesh, Maharashtra, Odisha and People’s lives and livelihoods have been significantly
Rajasthan. affected across the nation over the past year due to the
unprecedented crisis caused by the ongoing pandemic, par-
ticularly among the impoverished tribal population. A
39.5.2 Van Dhan Scheme, 2018 change-making light has emerged in the form of the ‘Mecha-
nism for Marketing of Minor Forest Produce (MFP) through
With MFPs available and a sizable tribal population that lives Minimum Support Price (MSP) and Development of Value
in the forests, TRIFED leads the Van Dhan program’s imple- Chain for MFP’ (Fig. 39.4). Developed and executed by
mentation in 27 states and 307 districts. Tribal members TRIFED in collaboration with state government agencies in
receive between 40 and 60% of their yearly income from 21 states nationwide, the programme has proven to be a
the collection and sale of MFPs, and further ‘Value Addition’ lifeline for tribal gatherers, contributing approximately
39 Sustainable Management of Non-Timber Forest Products 883

Fig. 39.4 Value chain proposed under the MSP scheme covered by Van Dhan Yojna (TRIFED 2020)

Rs. 3000 crores in direct economic activity to the tribe since market for the product and institutional support through
April 2020. This has been possible mainly due to the govern- policies (Fig. 39.6). However, there are also several
ment push and active participation from the states and has challenges in meeting these above-mentioned prerequisites.
provided much-needed liquidity in the tribal economy, par-
ticularly in the adverse times like pandemic. • Field models are available with different NGOs and Sci-
The Ministry of Tribal Affairs has updated the MSP for ence and Technology Institutions; they only work season-
MFP list and included 14 new MFPs, carrying on its previous ally (few products) as per the availability of the raw
efforts to give tribal gatherers of forest products fair and material.
remunerative pricing. Above and beyond the prior • Field testing for enterprise model functioning may have
notifications of 26 May 2020 (when the list was updated to been done only at a pilot scale in one/two locations.
include 23 MFPs) and 1 May 2020 (when the MSP changes • Reliability for further field-level assessment/validation of
for the MFPs were revealed), this suggestion of extra items is the technology, field model requires functional data for
being made. Moreover, state administrations have the author- further strengthening and expansion of the enterprise.
ity to set the MSP at 10%. Table 39.5 lists all the price • In most cases NTFP-based technology was set up in
revisions of MSP of different NTFPs. isolated manner. Line departments/district-level adminis-
trative coordination were mostly absent or inactive.
• Proper training of staff was lacking; technology providers
39.5.3 NTFP Enterprise Development make some occasional visits to enterprise locations, which
doesn’t ensure sustainability.
Enterprise initiatives on NTFP historically started in the • Hand-holding support after the transfer of know-how and
pre-independence period through an informal arrangement troubleshooting is one of the most important components
based on local expertise and resource availability. Whereas in enterprise development. This was lacking in many
in the 1980s, the Forest Research Institute, Dehradun, started cases.
research in the field of processing and value addition mecha-
nism of NTFPs such as rubber, pine resin, gum, katha,
charcoal and tendu leaf (Fig. 39.5). This was adopted by
local traders for setting up small- and medium-scale 39.5.3.1 Stakeholders and Institutions in NTFP
enterprises in central and north India. This led to the devel- Sector
opment of enterprises in the last four decades, with the In most cases, trading is through state-controlled institutions
involvement of different stakeholders, change in the policy such as state forest development corporations, federations,
environment and people-led initiatives. NTFPs, such as cooperatives and tribal-led societies. Odisha used this
honey, tamarind, hill broom, sheekakai, aonla, myrobalans, monopoly to grant rights over 29 NTFP items to a private
were some of the first NTFPs with processing and packaging company. However, the whole NTFP trade is now
units set up. de-regularized (79 items) after PESA Act (Saxena 2003).
There are several key factors responsible for setting up any Now local people who collect NTFPs are not required to
small-scale NTFP enterprises such as availability of raw sell their materials to the company’s agents.
material, microfinance, infrastructure, skilled labour, the
884 P. Bhattacharya and R. Bhattacharya

Table 39.5 Price revisions of MSP of different NTFPs [MOTA (Ministry of Tribal Affairs) 2020; TERI 2018]
MSP (2018) in rupees per Revised MSP (2020) in rupees
S. no. Name of NTFP kg per kg
1 Tamarind with seeds (Tamarindus indica) 31 36
2 Wild Honey 195 225
3 Gum Karaya (Sterculia urens) 98 114
4 Karanj seeds (Pongamia pinnata) 19 22
5 Sal seeds (Shorea robusta) 20 20
6 Mahua seeds (Madhuca longifolia) 25 29
7 Sal leaves (Shorea robusta) 30 35
8 Chironji pods with seeds (Buchanania lanzan) 109 126
9 Myrobalan (Terminalia chebula) 15 15
10 A Rangeeni lac 130 200
10 B Kusumi lac 203 275
11 Kusum seeds (Schleichera oleosa) 20 23
12 Neem seeds (Azadirachta indica) 23 27
13 Puwad seeds (Cassia tora) 14 16
14 Baheda (Terminalia bellirica) 17 17
15 Hill broom (Thysanolaena maxima) 30 50
16 Dry Shikakai pods (Acacia concinna) 43 50
17 Bael pulp (dried) (Agele marmelos) 27 30
18 Nagarmotha (Cyperus rotundas) 27 30
19 Shatavari roots (dried roots) (Asparagus racemosus) 92 107
20 Gudmad (Gymnema sylvestre) 35 41
21 Kalmegh (Andrographis paniculata) 33 35
22 Tamarind deseeded (Tamarindus indica) 54 63
23 Guggul (Exudates) (Commiphora wightii) 700 812
24 Mahua flower (dried) (Madhuca longifolia) 17 30
25 Tejpatta (Dried) (Cinnamomum sp.) 33 40
26 Jamum (Dried) seeds (Syzygium cumini) 36 42
27 Dried Amla pulp (Phyllanthus emblica) 45 52
28 Marking nut (Semecarpus anacardium) 8 9
29 Soap nut (Dried) (Sapindus emarginatus) 12 14
30 Bhava seed/Amaltas (Cassia fistula) 11 13
31 Arjuna bark (Terminalia arjuna) 18 21
32 Kokum (dry) (Garcinia indica) 25 29
33 Giloy/giloe (Tinospora cordifolia) 21 40
34 Kaunch seed (Mucuna pruriens) 18 21
35 Chiraita (Swertia chirayita) 29 34
36 Vaybidding/Vavding (Embelia ribes) 81 94
37 Dhavaiphool dried flowers (Woodfordia floribunda) 32 37
38 Nux Vomica (Strychnos nux vomica) 36 42
39 Van Tulsi leaves dried (Ocimum tenuiflorum) 19 22
40 Kshirni (Hemidesmus indicus) 30 35
41 Bakul dried bark (Mimusops elengi) 40 46
42 Kutaj dried bark (Holarrhena pubescens) 27 31
43 Noni/Aal dried fruits (Morinda citrifolia) 15 17
44 Sonapatha/Syonak pods (Oroxylum indicum) 18 21
45 Chanothi seeds (Abrus precatorius) 39 45
46 Kalihari dried tubers (Gloriosa superba) 27 31
47 Makoi fried fruits (Solanum nigrum) 21 24
48 Apang plant (Achyranthes aspera) 24 28
49 Sugandhmantri roots/tubers (Homalomena aromatica) 33 38
New NTFP items under MSP scheme w.e.f. 11.11.2020
(continued)
39 Sustainable Management of Non-Timber Forest Products 885

Table 39.5 (continued)

MSP (2018) in rupees per Revised MSP (2020) in rupees
S. no. Name of NTFP kg per kg
50 A Tassar Cocoon Reeling Grade I (when average shell weight is 1.55 g and 3200/thousand number
above)
50 B Tassar Cocoon Unreeling Grade (when average shell weight is 1.40 g 1500/thousand number
and above)
51 Cashew kernel (Anacardium occidentale) 90
52 Elephant apple dry (Dillenia indica) 120
53 Bamboo shoot (Phyllostachys edulis) 70
54 Malkagni seed (Celastrus paniculatus) 100
55 Mahul leaves (Bauhinia vahlii) 15
56 Nagod (Vitex negundo) 20
57 Gokhru (Tribulus terrestris) 60
58 Pipla/Uchithi dry bark (Piper pedicellatum) 120
59 Gamhar/Gamari (Gmelina arborea) 20
60 Oroxylum indicum dry bark (Oroxylum indicum) 40
61 Wild Mushroom dry (Agaricus sp.) 400
62 Shringraj (Eclipta alba) 18
63 Tree moss (Bryophytes) 350

Fig. 39.5 History of NTFP-

based enterprise development

39.5.3.2 State Monopoly Over NTFPs Some of the explicit objectives for state monopoly over
The economic potential of NTFPs has become apparent in NTFP trade are:
recent times, and infrastructure for trade potential and
processing has developed, which has raised concerns for the • To prevent unscrupulous intermediaries and their agents
sustainability of the resources and the distribution of benefits from exploiting NTFP collectors
derived from them. • To ensure fair wages to collectors
In reaction to these concerns, a number of state • To enhance revenue for the state
governments have taken over the control of many NTFPs. • To ensure quality and quantity
• To maximize the collection of produce
886 P. Bhattacharya and R. Bhattacharya

Minor Forest Products (MFPs) include bamboo, cane, is selective in accepting only quality tendu leaves and other
tussar, cocoons, honey, wax, lac, tendu or kendu leaves, NTFPs.
medicinal plants and herbs—these products were gathered, Although the goals of establishing state monopolies are
processed, packaged and sold by monopolistic, state-owned praiseworthy, the stated goals and the real circumstances
Forest Development Corporations (FDCs) (Tables 39.6 and imply that the overall effects will not be positive. State forest
39.7). While forest dwellers are allowed to collect, their income has gone up, but wages, socioeconomic
status remains as labourers of FDCs. circumstances and gender equity do not seem to be improv-
The Government of Kerala has created a monopoly over ing in the communities that depend on the forests. The agents
120 notified items of Non-Timber Forest Products. The of the monopoly leaseholders have taken the position of
scheduled tribes and forest dwellers had to sell it to coopera- intermediaries, rather than their elimination (Prasad 1999;
tive societies only. Problem is that the open market price was Khera 2016). As a result, there was increased number of
more than double the price being offered by the government. NGOs and CBOs intervening, as these groups assisted the
Government monopoly was not only inefficient but also NTFP collectors with value addition, processing and market-
exploiting the tribal people (Kerala World Bank PAD ing as well as covering the gaps left by government
1998). In Andhra Pradesh, state monopoly is carried out by organizations (Tables 39.8 and 39.9).
GCC (Girijan Cooperative Cooperation). Maharashtra has
also included a large number of NTFPs causing undue
hardships to the gatherers. In Madhya Pradesh, state trading 39.6 NTFP Policy and Legal Issues

39.6.1 Institutional Perspectives of Policy

Change for NTFPs
Microfinance Infrastructure

India underwent a transformative shift in forest management

Technological Market for the approaches, transitioning from regulatory to participatory
support product
frameworks, notably with the enactment of the National
Forest Policy in 1988 and the Panchayats (Extension to
Scheduled Areas) Act, 1996 (PESA). These policies under-
Availability of Setting up Institutional
score sustainable forest management principles, recognizing
Raw Material SSNE support forests as vital social and environmental assets. India’s com-
mitment to acknowledging the land rights of indigenous
communities is evident in the Scheduled Tribes and Other
Fig. 39.6 Prerequisites for setting up small scale NTFP enterprise Traditional Forest Dwellers (Recognition of Forest Rights)
(SSNE)

Table 39.6 NTFP enterprise support by the government organization

NTFPs Government organization Activity
Tamarind, honey, gum Karaya GCC, Hyderabad Business development, technological implementation and marketing
Aonla, arjun, honey MP MFP Federation Technology development, training and marketing
Herbal, lac, char Chhattisgarh MFP Federation Technology development, training and marketing
Gum karya, honey TRIFED Technology dissemination, extension, training and market development
Honey, sissal, aromatic oil KVIC Training and marketing

Table 39.7 NTFP Enterprise support by the research and academic institutions
Research and academic organization/
NTFPs institution Activity
Sal leaf, sabai grass Indian Institute of Technology, Kharagpur Product development, market development and institution building.
Asparagus root, aonla Indian Institute of Forest Management, Bhopal Product development, market development and institution building.
Jatropha/karanj seed SUTRA, Indian Institute of Science, Biodiesel production technology
Bengaluru
Lac Indian Institute of Natural Resins and Gum, Technology development, dissemination of information and extension
Ranchi services
Honey and bee Central Bee Research and Training Institute, Rock bee—Sustainable honey harvesting technology and extension
products Pune services
39 Sustainable Management of Non-Timber Forest Products 887

Table 39.8 NTFP enterprise support by NGOs

NTFP Non-governmental organization Activity
Honey, bee wax, shikakai, aonla Keystone Foundation, Nilgiris District, Tamil Nadu Wild honey harvesting, processing, marketing and
etc. certification
Siali leaf, harada flower and Vasundhara, Odisha Collection and plate stitching enterprise and business
mahua flower development
Bamboo incense stick Tripura Bamboo and Cane Development Centre, Technology, processing, value addition and
Agartala, Tripura marketing
Tassar Pradhan, Madhya Pradesh Tassar silk production and processing
Gum karya Kovel Foundation, Vishakhapatnam, AP Gum tapping and picking technology and monitoring

Table 39.9 NTFP enterprise efforts by community-based organization

NTFP Community-based organization Activity
Herbal products GMCL, FRLHT, Karnataka Capacity development, institution building and business development
Broom grass, natural dyes WIDA, Koraput, Orissa Technology development, business model and value chain Improvement
Bel juice, honey MP Vigyan Sabha Technology development, business model and value chain improvement
Medicinal plants, honey Vikas Mitra, Bastar, Chhattisgarh Capacity development, institution building and business development
Lac, herbal products SPAR, Ranchi Capacity development, institution building and business development

39.6.1.1 PESA (Panchayat Extension

to the Scheduled Areas) Act, 1996
Forestry in India has undergone significant evolution in
recent decades, marked by legislative milestones such as the
enactment of the Environment Protection Act in 1986, aimed
at enhancing the country’s environmental quality. Over the
past 25 years, notable progress has been made in leveraging
forests to alleviate poverty, particularly through initiatives
like the Panchayats (Extension to Scheduled Areas) Act of
1996, which empowered local communities by granting them
ownership rights over Non-Timber Forest Products (NTFPs).
To broaden the scope of the 1993 73rd constitutional
amendment to encompass the Schedule V Areas of the coun-
Fig. 39.7 Policy actions on NTFP sector
try, the Indian Parliament enacted the Panchayat (Extension
to the Scheduled Areas) Act in 1996. This legislation
Act, 2006, demonstrating sensitivity towards forest tenure mandates that state governments confer upon panchayats in
issues. these designated regions the requisite authority and powers to
Changes in policies from the perspective of livelihood function as self-governing bodies. Additionally, this Act gave
promotion and natural resource sustainability are the key panchayats the authority to manage natural resources sustain-
drivers which have helped to pump a good amount of public ably, to own the rights to these resources and to create value-
money through various projects from the Ministry of Rural adding chains that will increase revenue for both primary
Development and Ministry of Environment, Forest and Cli- collectors and processors and PRIs (Panchayat Raj
mate Change. With the recent emphasis on environmental Institutions).
conservation, NTFPs have emerged as eco-friendly products
as their harvest/gathering is believed to cause less damage to 39.6.1.2 Biodiversity Conservation Act, 2002
the ecosystem, compared to logging. NTFPs deserve special The Biological Diversity Act was passed by the Parliament in
mention because of their great potential to support economic 2002 after consultation among stakeholders. It looks at that
development and ecological sustainability consistent with the conservation of biological diversity, sustainable use of its
principles of Sustainable Forest Management (SFM) components and equitable sharing of benefits arising out of
(Fig. 39.7). the use of biological resources. The National Biodiversity
888 P. Bhattacharya and R. Bhattacharya

Authority and the State Biodiversity Board have the respon- 39.6.2 Economic Perspective of Policy Change
sibility to see the sustainability aspect of those NTFPs which Required for NTFP Production
are getting rarer day by day; out of which, many are placed
under the threatened category by the International Union for Expanding the forest resources by planting NTFP species on
Conservation of Nature (IUCN). a big scale could be the solution to producing enough in
degraded forest areas. To establish and broaden the base of
39.6.1.3 Forest Right Act, 2006 forest resources, plantations have been started. Forest
The Scheduled Tribes and Other Traditional Forest Dwellers plantations built under a technique of clear-felling followed
(Recognition of Forest Rights) Act, 2006, was introduced to by artificial regeneration, or by an afforestation of bare lands,
grant tribal communities and forest-dwelling individuals the wastelands, grasslands and other degraded lands, have been
right to live and work on forests. It also assigned the prevalent in the past. Due to their many benefits, NTFP
communities responsibility for maintaining ecological bal- plantings can also be considered a way to preserve natural
ance and conserving biological resources. This law gives forests:
tribes and forest dwellers the authority to manage the forests
they use as common property resources and acknowledges • Vegetation growth and yield can be manipulated using
their rights to do so. appropriate inputs
During the course of the Act’s 15-year implementation, • Plantations supplement production from natural forests,
the Ministry of Tribal Affairs has become aware of a number thus, reducing the pressure on the latter
of issues, including the holding of Gram Sabha meetings at • Harvesting is less expensive in the case of a carefully
the Panchayat level, which has led to the exclusion of smaller planned plantation
habitations that are not formally part of any village, the • They allow a choice of species of desired characteristics
refusal to acknowledge forest dwellers’ unrestricted rights for an area
over Minor Forest Produce (MFP), the rejection of claims • Homogeneity of production is ensured through plantations
by requiring specific types of evidence and harassment and
eviction of forest dwellers. However, plantation forestry involves a much larger
The guidelines do little more than reiterate the rules which investment than natural forest management and needs contin-
were set out following the original Act, in January 2008. uous protection and upkeep. Yet NTFP plantations can pro-
Section II (a, b, c, d, e) of the guidelines, for example, vide a solution to the resource scarcity faced by the country.
requires the disbanding of FDCs and the scrapping of transit The same piece of land may be claimed for many other
rules required for the movement of MFPs. They highlight the purposes, as land scarcity is also a major issue here. For
rights of the unrestricted use of MFPs by federations or making sufficient forest and non-forest land available for
cooperatives of forest dwellers, and the abolition of any undertaking NTFP species plantations under agroforestry or
fees or charges by the Forest Department. Further, the in other models. Following potential areas may be suggested
guidelines (Section III {a, b, c, d} and IV {a, b, c, d, e}) to supplement the natural regeneration:
call on state governments to recognize community rights of
various kinds (nistar, pastoralists, primitive tribal groups). • Village common lands
The key expectation that the FRA would encourage • Degraded private lands
cooperatives and other business entities owned by forest • NTFP species plantation in margins of roads (NH),
dweller communities dealing in NTFP has not been met. railways, canals and tanks
The salient features of the new FRA guidelines and rules • Vacant lands belonging to schools, offices and hospitals
are as follows:
By an appropriate selection of species and system (the
• Forest dwellers have unrestricted access to collect Minor mixture of species, rotation, input levels, method of planting
Forest Produce and maintenance), it will be possible to raise need-oriented
• Do away with the monopoly of forest corporations plantations or mixed tree crops in dry areas through social
• Conversion of declared forest villages to revenue villages forestry programmes.
• Recognition of Nistar Rights and rights of Primitive Tribal
Groups 39.6.2.1 Overall Linkages with Schemes
• Scrap fees, royalties, charges on trade by forest dwellers and Present Policy Initiative
• Honour the constitutional power of the Gram Sabha in the Management of NTFPs
The main policies and related governing process of the
NTFP-based livelihood developments are as follows
(Bhattacharya 2018):
39 Sustainable Management of Non-Timber Forest Products 889

• Rights and Concession: NCA, 1976 to PESA, 1996; • The Ministry of Rural Development will coordinate to
M.P. Tendu Patta Act, 1964; Recognition of Forest utilize the resources, skills and experiences of Aajeevika
Right Act, 2006; MP Laghu Van Upaj Vidheyak, 1999. and tribal SHGs.
• Benefit Sharing Arrangement: JFM, 1990—JFM Present; • The Ministry of Panchayati Raj will support the imple-
Nistar, 1996; Tendu Patta Act, 1964, Van Dhan mentation of tribal-centric micro-market reforms.
Scheme 2018. • The Department of Financial Services will collaborate to
• Minimum Support Price (MSP), 2020: Revised MSP align Jan Dhan and MUDRA Schemes with Van Dhan.
implemented through Ministry of Tribal Affairs, TRIFED • The Ministry of Environment and Forests will work on
and State Forest Department provides a minimum rate for integrating MFP plantation into the National Forest
more than 60 NTFP items. Policy.
• Conservation and Production: NCA, 1976; NFP, 1988; • The Ministry of AYUSH will support the value addition of
JFM and its subsequent amendments, NAP, NMPB, BCA. medicinal MFPs.
• Role of Panchayat and gram sabha: JFM, 1998; PESA, • The Department of Space (ISRO) will undertake MFP
1996; JFM, 2002; Van Dhan Scheme, 2018. resource mapping initiatives.
• Sustainable Harvest and Non-Destructive Harvest: NFP, • The Department of Home Affairs will promote the scheme
1988; JFM, 2002; M.P. Gazette Notification, 2005; in tribal LWE affected districts.
People’s Protected Area, Chhattisgarh. • The Ministry of Food Processing Industries will encour-
• Restriction on Negative Trade List: Biodiversity Act, age value addition and training partnerships in MFPs.
2002; Forest Protection Act, 1927; Forest Conservation • PSUs and other enterprises will promote the scheme as
Act, 1980. part of their CSR activities.
• Institutional Framework Strengthening: NCA 1976; NFP
1998; JFM 2002; Van Dhan Scheme, 2018.
• Marketing Linkages: NCA, 1976; Formation of MP MFP 39.6.3 NTFP Trade-Related Policy in Different
Federation, 1984; NFP, 1988; JFM, 2000; JFM, 2002. States
• Transit Policies: Madhya Pradesh Transit Policies, 2000;
Individual State Policy NTFPs can be broadly classified as nationalized and
• Defining what comes under NTFP (Nationalized, non-nationalized items. For the nationalized items, state
Non-Nationalized): M.P. Forest Produce Trading Act, governments have a monopoly over collection, marketing
1969; JFM, 1998; NAP, 2000. and trade, for example, tendu leaves, kullu gum, harra, sal
• Capacity Building: JFM, 2002; NAP, 2001; Van Dhan seeds etc. Non-nationalized items do not have monopolistic
Scheme 2018. control, for example, sal leaves, medicinal plants, mahua
• Taxation: Sales Tax; VAT; Forest Development Tax; flower, neem seeds etc. Indian forests are under great pres-
Education Cess; Royalty; Commercial Tax. sure, as 78% of the forest areas are subjected to heavy
• Livelihood and NTFPs: PESA, 1996; Recognition of For- grazing, adversely affecting productivity and regeneration,
est Rights Act, 2006; which is a concern for NTFP supply. All different states
• Domestication and Commercialization: MGNREGA, have their own nationalized NTFPs, price fixation methods,
2005; SGSY, 2002; FCA, 1980, NAP, 2001; NMPB, transit permit regulations and state marketing institutions
2002; (Tables 39.10 and 39.11).
• Certification: Yet to be accepted by Govt. of India as
policy in the NTFP sector, FSC, Fair Trade, PEFC
• Processing and Value Addition: Policy support is avail- 39.6.4 Policy Constraints for NTFP-Based
able in various forms, but exclusive focus is yet to come. Livelihood Promotion

39.6.2.2 Convergences Under Van Dhan Scheme, There are several constraints in NTFP-based livelihood pro-
2018 motion for the actual field-level implementation
The Van Dhan Scheme, 2018 aims to leverage synergies with
several central and state ministries, departments, agencies 1. Depleting NTFP resource base and its conservation/regen-
and PSUs. For instance: eration in the forest areas
2. Lack of actual assessment of resources and their
• Niti Aayog will assist in implementation across 39 aspi- inventorization, digitization of data
rational districts with a significant tribal population. 3. Differential policy and its solution
890 P. Bhattacharya and R. Bhattacharya

Table 39.10 NTFP categorization under trade and policy in different states
Category Chhattisgarh Madhya Pradesh Odisha Jharkhand Andhra Pradesh
Nationalized Bamboo, tendu Bamboo, tendu Bamboo, sal Bamboo, kendu leaf, Bamboo and kendu leaf. 24 produces
NTFPs leaf, harra, gums leaf, harra, gums Seed and kendu mahua seed, mahul including gums, tamarind and mahua
and sal seeds and sal seeds leaf leaves and harra leaves are procured and marketed by GCC
Free/notified Apart from Apart from 69 items handed – 28 items handed over to Gram Panchayat
NTFPs nationalized items nationalized items over to Gram
rest are free to rest are free to Panchayat
collect collect
Price fixation Nationalized state Nationalized Nationalized Nationalized state Nationalized state govt. and 28 items by
method govt state govt. state govt. and govt. and GCC
Panchayat cooperatives
Samiti
Transit TP is required TP is required TP is required Not required for TP is required
permit (TP) 69 items
State Chhattisgarh state MP State MFP FD, OFDC, JFDC, TDCC Girijan Cooperative Cooperation, APFDC
marketing MFP Federation Federation TDCC,
Institution ORMAS

Table 39.11 State trading regulations promulgated by different NTFP producing states
State Acts
Andhra Andhra Pradesh Minor Forest Produce (Regulation of Trade-in NWFPs is declared state monopoly whether ownership is with
Pradesh Trade) Act, 1971, Andhra Pradesh scheduled areas government or not
Bihar Bihar Kendu Leaves (Control of Trade) Act, 1973, Bihar Bihar State Forest Development Corporation operates as a state
Forest Produce (Regulation of Trade) Act, 1984 government agent for the collection and marketing of kendu leaves, sal
seed, mahua (Madhuca latifolia) and harra
Gujarat Gujarat Minor Forest Produce (Regulation of Trade) Act, Minor Forest products identified include timru leaves (tendu leaves),
1979 mahua flowers, fruits, seeds and gum
Himachal Himachal Pradesh Resin and Resin Product (Regulation Resin, bamboo and Acacia catechu (khair) collection through Himachal
Pradesh of Trade) Act, 1981 Pradesh Forest Development Corporation Ltd.
Madhya Madhya Pradesh Vanopaj (Vyapar) Viniyam) Items under monopoly include tendu leaves, sal seed, harra and gums;
Pradesh Adhiniyam, 1969 Madhya Pradesh Minor Forest Product (Trade and Development)
Federation acts as agent of state government
Rajasthan Rajasthan Tendu Leaves Act, 1974 Rajasthan Tribal Area Development Federation collects and markets
NWFPs
Odisha Odisha Forest Product (Control of Trade) Act, 1981, Collection and sale of NWFPs are monopolized by the Forest
Odisha include Kendu Leaves (Control of Trade) Act, Department and leased to the Tribal Development Cooperative Society
1981 which in turn delegates to an individual; collection and trade of leaves
are handled by Forest Corporation
Source: MoEF 1998

4. Inadequate skill and capacity at various levels on value

chain development and interventions for its solution 39.7 Conclusions
5. Weak institutionalization, and policy solution is need of
the day, partially supported in Van Dhan scheme NTFPs are a lifeline for rural and tribal households as more
6. Poor R&D focus and connection with R&D industries than 140 million forest dwellers depend on them for their
7. Lack of special attention for critically dependent subsistence and income. It has an immense untapped poten-
communities and areas tial and scope for commercialization. However, over time,
8. Effective marketing linkages there have been instances where the forests have witnessed a
(a) The policy decision for pricing, example tendu patta rapid fall in the regeneration rates of NTFPs, unsustainable
(leaves) does not involve cooperative members at harvesting, premature harvesting and over-harvesting of
any level for price fixation. NTFPs such as aonla, chiroji, baheda, gums and resins.
(b) The minimum support price for tendu (a nationalized There is limited data on the management of these NTFP
product) and the collection rates for the whole state species. It is required to document whatever data is available
are decided in Bhopal once every year. In this sys- and to initiate research on ecological, social and economic
tem, the district unions and the societies do not have parameters in the NTFP sector. This is needed to manage
any leverage regarding the rates of collection. NTFPs scientifically under sustainability principles. The area
of research agenda may include the suitable requirement of
39 Sustainable Management of Non-Timber Forest Products 891

natural regeneration of species, silvicultural manipulation in During the Covid-19 pandemic, such efforts of the govern-
forest stands, economical, production, processing and appli- ment have supported 1.1 crore tribal households and 5.5 crore
cation of technological innovation and marketing (Gadgil population dwelling in forest areas (TRIFED 2020). The
et al. 1993; Ticktin and Johns 2002; Saxena 2003; Ministry of Tribal Affairs has been emphasizing the
Bhattacharya 2013). processing of MFP locally to generate more employment
The best NTFP management practices may be and income for the tribes in their villages. TRIFED is
documented and circulated among the field foresters who spearheading this program for processing and value-addition
manage the resources on a day-to-day basis. It is required to MFP in well-equipped common facility centres, to be
coordination amongst researchers, managers and industry called Van Dhan Vikas Kendra.
people and development of improved varieties/hybrids for Capacity development training, awareness building is
selected high value species like Santalum sp. (Chandan), another thrust area in the NTFP sector. Training to primary
aonla, agarwood, shatawar (Asparagus racemosus), haldi collectors, processors and traders, and to the frontline staff in
(Curcuma longa), aromatic plants and grasses. Detailed and basic and advanced areas to build their confidence. It is
systematic research is required for the conservation of medic- important to train them regarding their rights and proper
inal species under MPCA (Medicinal Plants Conservation harvesting techniques; and complementary facilitation
Area) and MPDA (Medicinal Plants Development Area) should be made for forest protecting/forest managing
under in situ and ex situ conservation and development. communities too in the form of NTFP management protocols.
Germination and plantation techniques, good collection Furthermore, lack of knowledge regarding value addition and
practices and non-destructive harvesting, best gum tapping marketing process is one of the biggest gaps, which needs to
practice, improved processing techniques, better packaging be addressed immediately.
technology, NTFP certification and promoting domestic, Climate change is one of the key challenges faced by the
national and global trade through tariff regulations are top rural poor due to uncertainty about the magnitude of these
priority actions (Bhattacharya et al. 2008). future impacts across different ecosystems and the NTFP
Participatory resource inventory, periodic monitoring of sector is certainly facing huge threats, which require adjust-
resource availability and sustainable utilization and proper ment in the ecological, social and economic system as adap-
valuation are a few key actions that are required for the NTFP tation strategy (Bhattacharya and Prasad 2009). Climate
sector development. Furthermore, a thrust towards the imple- change impact is a huge potential area for NTFP research; a
mentation of protocols of sustainable harvesting and equita- proper planning of research agenda is needed on the repro-
ble distribution with special attention to vulnerable people, is ductive biology of most affected NTFPs, production pattern
also the need of the hour for state implementation agencies. of high-altitude species, development of coping mechanism
NTFPs are a major raw material for food, pharmaceuticals and mitigation and adaptation plan of most dependent areas
and FMCG companies. Annually, around Rs. 2,00,000 crores (Thomas and Twyman 2005; Bhattacharya and Prasad 2009;
worth of NTFP in raw form are collected by the tribals and Shrivastava and Bhattacharya 2015).
rural forest dwelling community and traded in the weekly The National Highways Authority of India (NHAI) has a
haat bazaars. However, the income accruing to tribal very aggressive target of constructing about 50 km of roads in
gatherers in the above business is far below what may be a single day; they need to take positive steps for planting
considered a fair price. They are getting around 20% (the rest NTFP species which can provide medicine and other NTFPs
passes on to middlemen), whereas they deserve more than for local people. State- and central-level public sector
60% of the product value. If NTFP and market-led allied organizations (CGMFPF, GCC, MPMFP Fed, UFDC,
activities are strengthened, tribals can prosper in their habitat, OFDC, ORMAS, TRIFED, etc.) and informal organizations
in the shortest time span. (SHGs, NGOs, primary cooperative societies, etc.) are work-
The role of gender is crucial in gathering of NTFPs from ing concerning procurement, storage, processing and sale
the forests and other allied activities such as the primary and need greater coordination and better efficiency. But unsus-
secondary processing done at homes is mostly by women- tainable harvesting, inequitable benefits distribution and
folk. Strengthening the NTFP collection, value addition and overall economic inefficiencies characterize the current
marketing is also a sure way to women’s empowerment in NTFP practices. Many research studies suggested that there
tribal areas. The government has designed a holistic model of should be an independent NTFPs policy and a separate NTFP
NTFP-led Tribal Development in Mission Mode since 2018. board (following the structure and functions of other existing
Tribal communities have been made the legal owners of MFP boards such as rubber board, coir board, spices board, etc.) in
in their areas after the enactment of PESA, 1996 and FRA, India. However, this is also a fact that in India there is no
2006; both the acts supported the concept of empowerment of dearth of good policies and Acts. The problem is with the
forest-dwelling communities. Following this, Minimum Sup- execution of these policies with responsibility and for the
port Price (MSP) has been implemented for about 70 NTFPs. national interest.
892 P. Bhattacharya and R. Bhattacharya

Lessons Learnt 3. What are the various issues involved in NTFP manage-
• Historically the NTFP sector in forestry was neglected. ment? How working plan code has suggested to follow the
Timber was accorded priority over NTFPs by the forest management practices in natural forest?
departments. But currently NTFP is a key to connect with 4. Discuss the pattern and status of NTFP trade in India.
local tribal and other poor people who live in and around Enumerate the nature of NTFP market. What are the
forests for the livelihood support they provide. various organizations working for NTFP trade?
• Tropical forests produce more NTFPs compared to other 5. What are the important policy and legal conditions cur-
forest types particularly from the dry deciduous forest rently available in different Indian states for the NTFP
which produces maximum NTFPs in quantity and diver- sector?
sity. Factors like forest fire, poor forest regeneration, cli-
mate vulnerability and degradation of habitat have
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