Standard & Regulations
Standard & RegulationsPerforming a visual tree inspection. A Level TwoAssessment may involve basic diagnostic tools for detection of defects in the above ground tree parts. Photocourtesy of Andrew Koeser, International Society ofArboriculture, Bugwood.org.
By Eric Wiseman, Ph.D.hile I have no data to supportthis, I suspect that we may startseeing more tree hazards andtree failures in the near future – I’ll explainwhy I think this in just a moment. At thesame time, I believe we are also seeing aheightened standard of care for tree riskmanagement – and the expectation of higher quality tree care for those practicingarboriculture. Combined, an increase intree hazards and an expectation of higherstandards for tree care may very well create heightened potentialliability – for property ownersas well as tree care providers.Why do I believe we areexperiencing a heightenedstandard of care for arboriculture generally and riskmanagement specifically? Ithink it is as simple as this:organizations such as TCIAand innumerable professional ANSI Part 9arborists have done a tremendous job in recent years of making thepublic aware of proper arboriculture. Thegeneral public is very aware and very capable of distinguishing high quality versuslow quality arboriculture. As a result, theexpectation for a higher level of arboriculture practices has been raised as well.Why do I think that we may be enteringan era of more tree hazards and tree failures? There are several reasons. First is thefact that we have a lot of baby boomertrees out there. Baby boomers – the people– are now making the transition from theworkforce into their retirement years.Aging along with them are the trees thatwere planted by their parents. These treesare getting up there in age, and as trees getolder, they get larger and tend to accumulate defects. As a result, there is a greaterlikelihood of tree failures and, due togreater size, there are greater consequencesto these failures, which we know are twokey elements of the relative risk that treespose.The other thing that I think might contribute to more tree hazards and failures isthe fact that we are planting a lot of trees,at least in some places. Probably everyoneis aware of the Million Trees New YorkCity initiative. You can name almost anyWcity and there is probably a similar initiative. New York City this past fallsurpassed the 500,000 tree mark. Thereare a lot of trees out there and this is creating, amongst some people, a lot ofanxiety. A recent New York Times articlewas headlined, “As City Plants Trees,Some Say a Million Are Too Many.”While most of us agree that the worldcould benefit from more trees, there areobviously a lot of concerns about ourcapacity to provide preventive maintenance for these trees. And we know thatpreventive maintenance is a key elementin preventing tree hazards and,therefore, tree liabilities.Another factor that mightcontribute to elevated tree hazards and failures in the nearfuture is the recession of oureconomy, particularly when it These overhead dead branches are just waiting to crash down.comes to publicly owned trees. Photo courtesy of Andrew Koeser, International Society ofArboriculture, Bugwood.orgTree maintenance has beenadjacent property owners. Some people arecommonly deferred over the lastgoing to take that mandate very seriouslyfew years, and both municipaliand provide an appropriate level of careties and private land owners maybecause they value their trees and theynot be providing the same level of treeunderstand the consequences of neglectedcare, in general, compared to pre-recessiontrees. But undoubtedly there are going toyears. In some cities such as Sanbe a lot of trees that do not receive prevenFrancisco, municipalities are actuallytive maintenance. As the economytransferring maintenance of street trees torecovers, tree care will surely follow suit,but what opportunities have we missed toeliminate minor defects in juvenile treesthat may prove problematic in the future?Compounding this factor – the lack of ordeferment of tree maintenance – is that ourglobal climate is changing and with thatmay come more extreme weather, whichoften contributes to tree failures. An articlein the Huffington Post last fall cited a newreport from the Intergovernmental Panelon Climate Change stating that the “worldneeds to get ready for more dangerous and‘unprecedented extreme weather.’” Wehave seen examples of extreme weatherthis year with the tornadoes in the southeast and droughts in the southwest, and,indeed, even the very unusual early seasonsnowstorm last October in the northeastthat caught the trees with their foliage stillon them, causing quite a bit of damage.So we have set up the premise here thattree hazards and tree failures may be on theA visual inspection easily spots this dangerous branchupswing. As such, tree risk assessment willthat is about ready to fall on to this roof. Photo by GuyMeilleur, Better Tree Care, Bugwood.orglikely become a more important part of ourTREE CARE INDUSTRY – MARCH 201211
Circle 10 on RS Card or visitwww.tcia.org/Publications12arboricultural duties. Fortunately, just intime, a new standard, ANSI A300 (Part 9)2011 Tree Risk Assessment a. TreeStructure Assessment, was just approvedlast year. So, let’s take a look at theStandard and talk about what’s in it andwhy.Part 9 comprises five clauses: the firstclause reiterates the scope, purpose andapplication of ANSI A300 standards collectively. The subsequent four clauses(numbered 90-93) pertain specifically toassessment standards, normative references, definitions and assessmentpractices. Let’s take a closer look at thekey content of these four clauses.Clause 90 identifies the purpose and reason for the Standard, the qualifications forimplementation of the Standard, and thesafety mandates of the Standard. The purpose of Part 9 is to provide guidelines forthe practice of tree risk assessment and toprovide standards for writing specifications. It is the first national standard toaddress risk management of trees and takesprecedent over any previous tree care management standards and guidelines withrespect to risk assessment.Clause 91 has the normative referencesto ANSI Z133 and 29 CFR 1010, which isa common element of the A300 standards.Clause 92 provides definitions of riskassessment terms. Terminology is incredibly important in all of the A300 standards,particularly Part 9. It includes some keydefinitions, perhaps even some underlyingconcepts, that many arborists are notfamiliar with or are not consistently applying.First of all is simply understanding whatANSI A300 defines as a tree risk assessment: “A systematic process used toidentify, analyze, and evaluate risk.”“Mitigation” is a term that I see commonly used inappropriately. In theStandard, it is very clearly defined as theprocess of diminishing risk. We do noteliminate risk in trees when we performsome form of mitigation practice. We areminimizing the risk to some acceptablelevel, which should always be a determination by the tree owner, not the arborist.Be very careful how you use that term mitigation when you are writing aspecification or a subsequent recommendation.TREE CARE INDUSTRY – MARCH 2012Neglected decaying and covered in fungi, this tree is anaccident just waiting to happen. Photo courtesy of USDAForest Service - Northeastern Area Archive, USDA ForestService, Bugwood.orgAnother important related concept isthat of “residual risk.” It is incrediblyimportant that we communicate to clientsand tree owners that when we performsome type of risk mitigation, there is goingto be a residual risk. That is, there is goingto be risk remaining after mitigation. Wehave not nullified the risk; what we havedone is, hopefully, reduced it to an acceptable, reasonable level.Clause 93 is where we find standardsabout risk assessment practices. It is broken into six main sub-clauses: assessmentobjectives, qualifications, scope of work,levels of assessment, target identification,and risk analysis and reporting practices.When you look closely at the standards forassessment practices, you will see that theprocess of assessment – how we go aboutdoing it – varies depending on the contextand the objective of the assessment. Theidea of risk analysis being the systematicuse of information to identify and estimaterisk is very important for understandingthe intent of this enterprise.Objectives are one of the key principlesof all A300 standards – having a clear
route and make limited visual assessmentsof the trees in relation to specified targets.This Level One assessment, according tothe Standard, shall be from a specified perspective, so when you are writing thespecification, indicate whether it will be onfoot, by vehicle or even perhaps by aerialpatrol, which might be for very large-scaleprojects.The Level Two assessment is intermediate in inspection intensity. This is a360-degree, ground-based visual inspection of above ground tree parts thatincludes observations on the targets andrelated site conditions. A Level Twospecification may specify mallet sounding or use of basic diagnostic tools fordetection of defects in the above groundtree parts, and there is an imperative thatthis Level Two assessment shall includeThis decaying silver maple could collapse at any moment. Photo by Joseph O’Brien, USDA Forest Service, Bugwood.orgidentification of any defect indicators.defensible objective for the specificationwhich has always been a point of confuThis does not mean that you have tothat we are writing. The objective of thesion and inconsistency in risk assessmentevaluate those defect indicators. It isassessment, as stated in the Standard, shallpractices. The Standard identifies threesimply saying that you shall make notebe based on three things: the context inassessment levels of increasing spatial andof those and report their presence to thewhich we find the tree, the intended use oftechnical intensity, which are dictated byowner or the client.the site on which the tree resides, and thethe scope and objective of the assessmentLevel Three is the highest intensityscope of our assignment.assignment.assessment. It includes all of the LevelThe scope of the assignment is anotherLevel One is the most basic inspectionTwo requirements and should be undertakimportant aspect of writing a clear specifilevel, a limited visual assessment of anen when the extent and severity of defectscation. The Standard specifies that theindividual tree or a population of trees nearidentified at Level Two cannot be deterarborist should perform tree structurespecified targets. This is what we call themined with Level Two methods. Levelassessments on only those trees specificalclassic “windshield survey.” Level oneThree assessment shall include one orly identified in the scope of work. I thinkmay be appropriate in the municipal conmore advanced assessment methods, butthis is commonly where arborists havetext or for a homeowners associationavoid harming the tree unnecessarily in thefound themselves between a rock and awhere there are relatively large populationsuse of those methods. There is a whole listhard place in the past because either theyof trees under moderate managementing of these methods in the Standard that Ididn’t clearly identify the scope of theintensity. We might choose to drive along awon’t enumerate here, but I will note thatwork or the scope was errothey include methods for evaluatneously inferred, causinging both aboveground andproblems for the partiesbelowground tree parts.involved. The Standard recomClause 93 also addresses targetmends that the scope of workidentification as well as riskinclude things such as the locaanalysis and reporting. We alltion and manner of selectingknow that target identification istrees for inclusion in the assessan important aspect of riskment, the level of the riskassessment, but a key point madeassessment, the type of reportin the Standard is the need to conthat will be provided, the timesult with the tree owner toframe for reporting, the audiidentify known and foreseeableence of the report, and whethertargets that may not be apparentor not any mitigation recomto an arborist unfamiliar with amendations will be made basedparticular landscape. As for riskon the assessment.analysis and reporting, field dataClause 93 also defines the Not even a reconstructed curb can keep this live oak’s enormous root system contained.analysis should consider one orlevels of tree risk assessment, Photo by William Fountain, University of Kentucky, Bugwood.orgmore of the following tree condi14TREE CARE INDUSTRY – MARCH 2012
tions that have bearing on the degree offailure risk: the type of tree; the condition of the tree; the type, severity, andlocation of defects; whether or not thetree has experienced any compensatorygrowth, and any crown architectureconsiderations. Also to be consideredare site conditions, maintenance historyand past failure patterns that may contribute to future failure risk. And,finally, what are our options for riskmitigation.Providing a written report may ormay not be within the scope of our riskassessment assignment. Our charge maysimply be to provide a verbal report onthe risk analysis. When a written report isdictated by the specification and scope ofwork, then it should include these elements: identification and location of thetree or trees; a description of the methodsused in observing and measuring the tree;a listing of the assessment data; the recommendations we are making for riskmitigation or additional assessments.Another element of risk reporting isdeclaring some of the very importantcaveats that come along with risk assessment and management. One of theseimportant caveats is that arboriculturaltreatments cannot eliminate all potentialtree structure and stability concerns. Wehave to understand and communicate thefact that trees are living organisms andthat there is considerable uncertaintyabout their anatomy and their response tothe unknowns of weather and site activity. Also, we have to communicate theextent of residual risk, which is a termthat we defined earlier. The fact thatupon performing some sort of mitigationprocedure there is still a non-zero probability that that tree may fail in the futureis an important point to communicate.Finally, there are some directives in theStandard about owner determination. Whotakes responsibility for this tree? TheStandard states that the tree owner or controlling authority retains responsibility forscheduling repeat or advanced assessments, for determining appropriate actionsas a result of the assessment, and then forfinally implementing those actions. It is thearborist’s responsibility to communicatethis to the tree custodian in his or herassessment report.writing work specifications. Third,A300 Part 9 is the first national standardto address tree risk assessment focusingon practices, analysis and reporting,which should move us closer to having aclear standard of care for tree riskassessment and, therefore, a betterunderstanding of our duty to our clientsand their trees.My take-home messages for this articleare, first of all, that standards and bestpractices are just one key pillar of highquality arboriculture that go along withformal education and training and practicalfield experience. Second, A300 establishesconsensus performance standards forarboriculture and provides guidelines forTREE CARE INDUSTRY – MARCH 2012Eric Wiseman is associate professorof urban forestry and arboriculture inthe Department of Forest Resourcesand Environmental Conservation atVirginia Tech in Blacksburg, Va., anda TCIA Accreditation Council member.This article was based on his presentation on the same subject at TCI EXPO2011 in Hartford, Connecticut, lastNovember. To listen to the audio recording of his presentation, visitwww.tcia.org and click on podcasts onthe homepage; or, in the digital versionof TCI Magazine online, click here.15
ANSI A300 defines as a tree risk assess-ment: “A systematic process used to identify, analyze, and evaluate risk.” “Mitigation” is a term that I see com-monly used inappropriately. In the Standard, it is very clearly defined as the process of diminishing risk. We do not eliminate risk in trees when we perform some form of mitigation practice. We are minimizing the risk to some .
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