51179 paid for by the government (1k p.r. 05 01 31) of ...compliance handbook provide definitions,...

51179 Paid for by the Government (1k P.R. 05 01 31) of OntarioISBN 0-7794-7583-6

GUIDELINE FOR FORESTINDUSTRY COMPLIANCEPLANNING

Note to all users

This planning guideline is to be used only for the purpose of preparing forest industry compliance plans under a Sustainable Forest Licence and as a reference manual forMinistry of Natural Resources staff. It will remain in effect to guide the preparation of company compliance plans consistent with the requirements of the Forest ManagementPlanning Manual. Compliance Plans are supplementary documentation to a ForestManagement Plan prepared for 2007 and beyond, and are to be approved by the localRegional Director, Ontario Ministry of Natural Resources. The Local DistrictManager, Ontario Ministry of Natural Resources, may approve the AnnualCompliance Schedule of Action (Part II).

For Internal Use

Prepared by: Forest Operations Compliance Program Forest Evaluation and Standards Section

January, 2005

© 2005, Queen’s Printer for Ontario

Printed in Ontario, Canada

Cette publication hautement spécialisée Guideline for Forest

Industry Compliance Planning n'est disponible qu'en anglais

en vertu du Règlement 411/97, qui en exempte l'application

de la Loi sur les services en français. Pour obtenir de l'aide en

français, veuillez communiquer avec le ministère des Richesses

naturelles au 1-800-667-1840.

English version copies may be obtained at

http://ontariosforests.mnr.gov.on.ca/ontariosforests.cfm

GU I D E L I N E F O R FO R E S T IN D U S T R Y CO M P L I A N C E PL A N N I N G, JA N U A R Y 2005


i i i

TABLE OF CONTENTS

GUIDELINE FOR FOREST INDUSTRY COMPLIANCE PLANNING

Preamble . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii

Direction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii

Content . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv

PART I: TEN YEAR FOREST COMPLIANCE STRATEGY

Direction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Goal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Remedial Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Strategies and Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Roles and Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Roles and Responsibility Exception. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Functions and Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

PART II: ANNUAL COMPLIANCE SCHEDULE OF ACTION

Direction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Annual Compliance Priorities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Monitoring-Inspection-Reporting Schedule. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Reporting Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

Data Requirements Forest Operations Inspections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Compliance Plan Approval - Review - Amendment - Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . 15

Definitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

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The plan text will describe the MNR district program

for auditing forest operations and forest operations

inspections. The plan text will also include a description

of opportunities for involvement of the local citizens

committee in forest operations inspections, and MNR

district monitoring of forest operations.”

(Source: Forest Management Planning Manual, June 2004)

It is a condition of each Sustainable Forest Licence that:

“All forest companies shall prepare a Forest CompliancePlan for planning, monitoring, reporting, and education/prevention on its forest operations and those of overlappinglicensees, to ensure compliance with all applicable legislation,regulations, the Forest Management Plan, and withMinistry manuals and guidelines affecting those opera-tions.” (Reference to ‘ companies’ means, the holder of a SustainableForest Licence.)

The MNR regards a comprehensive compliance program as

a major means of contributing to the sustainability of the

forest resource. Simply stated, compliance is the act of

adhering to a set of rules or requirements in order to

achieve desired behaviour. Preventing damage to the

Crown forest and ensuring remedial action is a primary

focus of compliance. Monitoring the management and use

of forest resources is a critical component of an effective

compliance program. It is through the preparation of a

compliance plan that companies will bring these elements

together as part of their responsibility and accountability

for actions in the forest. MNR, as the regulatory agency,

will ensure industry compliance through the active moni-

toring of industry compliance plans and field operations

and the application of remedy and enforcement action

when and where appropriate.

PREAMBLE

The Guideline for Forest Industry Compliance Planning

(Guideline) is to assist Sustainable Forest Licence (SFL)

holders, and those having responsibility for the preparation

of compliance plans for forest operations, by providing the

minimum standards with respect to content for plans. For

the purpose of this Guideline only, the reference to SFL

includes the Algonquin Forest Authority. The Guideline

was initially released in March 1998 for use by SFL com-

panies to prepare compliance plans before April 1998 and

for future SFL companies. The Guideline also provided

direction to MNR staff for compliance inspections and

reporting. This update reflects changing requirements and

progress since the inception of the forest industry self-mon-

itoring program.

Policy ENF 22.02.01 and Procedure ENF 22.02.02, Forest

Operations Information Program, from the Forest

Compliance Handbook provide definitions, specific direc-

tion, standards and processes for implementing the

Guideline for Forest Industry Compliance Planning and

should be read in conjunction with this Guideline.

DIRECTION

“The sustainable forest licensee’s ten-year strategic com-

pliance plan will be developed in accordance with the

requirements of MNR’s Guideline for Forest IndustryCompliance Planning. MNR’s Forest Compliance Handbookalso provides guidance for the preparation of the

compliance plan. The handbook describes the various

types and stages of forest operations inspections, and the

requirement for the sustainable forest licensee to produce

inspection reports. The ten-year strategic compliance

plan will describe the methods, intensity and frequency

of forest operations inspections, particular circumstances

for which the sustainable forest licensee will conduct

forest operations inspections (e.g., forest operations in,

and adjacent to, areas of concern), and the submission of

inspection reports to MNR. The compliance plan will

be included in the supplementary documentation and

referenced in the plan text.


v

CONTENT

A company forest compliance plan is to have two parts.

Part one is a ten year strategic overview and part two, an

annual compliance schedule of action detailing the forest

operations, monitoring, inspection and reporting program.

The strategic overview is to be on the same planning time-

frame as the Forest Management Plan for the unit and is to

be formally amalgamated with it as an Appendix. The

annual schedule of action is to be prepared in conjunction

with Annual Work Schedule (AWS) preparation and

approved by the District Manager before operations may

commence.

Some examples of “good/acceptable” plan statements have beenincluded in italics immediately following the text to illustrate thetype/content of statements expected.

v i


SAMPLE COVER

A FOREST COMPLIANCE PLAN

VILLA NOVA FOREST

GRAND PRAIRIE INC.

April 1, 2004 to March 31, 2014

Prepared By:Name/signature of company dateofficial authoring plan

Approved By:Name/signature of company dateofficial having corporate responsibility for compliance

Approved By:Name/signature of dateOMNR Regional Director


1

BACKGROUND

There is a close relationship between forest management

planning and compliance planning, therefore both activities

should be undertaken concurrently.

The Background section of a compliance plan, if not

already addressed in the text of the Forest Management

Plan, should describe among other things:

• the purpose of the compliance plan and the overall

context of the compliance program as it applies to the

SFL/Forest Management Unit

e.g. The compliance plan will assist in improving operating practices. It will guide and direct all company,Overlapping Licensee, shareholder, third party licence andcontract activities.

• the type of SFL arrangement

e.g. single, overlapping licence, consortium, shareholders…i.e. the administrative setup

DIRECTION

“The ten year strategic compliance plan will describe the

methods, intensity and frequency of forest operations

inspections, particular circumstances for which the sustainable

forest licensee will conduct forest operations inspections

(e.g., forest operations in, and adjacent to, areas of concern),

and the submission of inspection reports to MNR. The

compliance plan will be included in the supplementary

documentation and referenced in the plan text.” (Source:

Forest Management Planning Manual, June 2004).

The above reference applies to new forest management

plans created under FMPM 2004 direction, a similar intent

of this requirement was included in the September 1996

FMPM.

PART ITEN YEAR FOREST

COMPLIANCE STRATEGY

2


GOAL

The Goal for forest compliance is, “to encourage and

ensure adherence to rules and requirements which contribute

to the sustainable management of Ontario’s forests.”

(A Forest Compliance Strategy, 1997) This is recommended

reading.

Within the framework of this Goal, forest companies are to

identify their goal for compliance and provide an analysis

of their current (within past five years) compliance situa-

tion. Many companies have forest certification and ‘corpo-

rate’ policy statements for health, safety, the environment

and forest management which may have very close ties to

forest operations compliance. Emphasis should be placed on

the compliance component of the goal. For example:

That the highest standards of forest practice are met orexceeded and to achieve continuous improvement in allactivities.

To eventually eliminate all non-compliance.

Strive for ‘zero’ infractions by utilizing highly trainedemployees/contractors.

OBJECTIVES

Forest companies are to outline the achievable ends or

results expected from their forest operations compliance

program over the course of the 10-year strategy. Objectives

are to be set on the basis of problem/issue identification,

legislative requirements, Forest Management Plan direction

and provincial/local priorities. Objectives should be devel-

oped for such things as:

• resource protection

to ensure forest operations will not impair forest sustain-ability outside of planned operations.

To make the well being of the forest ecosystem a priorityin compliance planning and implementation. All access,harvest, renewal and maintenance activities will notnegatively affect forest sustainability.

• the geographic description of the area to which it

applies, including forest types or, refer to the approved

Forest Management Plan

e.g. forest land by predominant species and area covered ( a map would be useful)

• any unique situations existing on the land base or

within a SFLs operations that would have an impact

on compliance

e.g. zones/areas requiring special operating consideration suchas Areas Of Concern, water crossings, values, access points,tourist lodges, wildlife-fisheries habitat, canoe routes; uniquewood flow considerations, utilization practices,…etc.

• past, present and anticipated compliance problem areas

and issues both in strategic 10 year part and annual

part of the compliance plan; this would include a

review of compliance history for trends. For example:

i) During the period 1995 to 2000 the company experi-enced difficulty in establishing acceptable water crossings.A series of joint site inspections with the MNR and acourse on water crossings for roads and constructionpersonnel resulted in significant improvement.

ii) The use of mechanized logging equipment on steep slopesand rocky outcrops will present operating problems forthe next few years in terms of leaving merchantable timber standing, high stumps…

iii) As wood flow from a particular unit becomes more complex, involving more species and destinations, thepotential for wood measurement violations increases.Company staff will be trained/updated to meet these new challenges.

iv) The SFL company has operated in the past with highstandards. Third party licenses and agreement holderswill have to be monitored to ensure similar operatingstandards.

v) Trespass problems during night operations have beeneliminated by incorporating an operating policy wherebyperimeter cuts must be done first and only in daylighthours.

vi) A summary and assessment of FOCIS-FOIP inspectionreports from previous years operations indicates the following trends and areas requiring improvement…


3

• overcoming historical compliance problems

To actively monitor forest operations and undertakeanalysis and evaluation of results and take correctiveaction as required.

To proactively overcome compliance problems.

• continuous improvement

To develop operating benchmarks (calibration) in forestoperations to measure continuous improvement and performance.

To develop and implement an action plan to remedy recurring problems.

To develop a compliance database with the MNR to assistin performance evaluation.

REMEDIAL ACTION

It is the responsibility of forest managers to enact remedial

action related to assessments of Non Compliance (NC) or

In Compliance With Comments (ICWC) in a decisive,

timely and appropriate way. In some cases this may involve

stop work action; MNR/MOE notification of spills; DFO

notification of deposition in water bodies frequented by

fish; repair damage and continue operations; voluntary

corrective action; or wait for direction from provincial

authorities. The local MNR may set limits on specific types

of action a company may take immediately upon causing or

observing a non-compliant situation e.g. restrictions on

working in/near water.

Companies are to take immediate corrective action in most

situations. Where the potential impact to the resource is

high (e.g. water crossings, fish habitat, AOC…etc) compa-

nies will be expected to immediately stop the offending

action and contact MNR and other regulatory agencies as

required and appropriate for further direction.

The 10 year strategic level of the company compliance plan

is to provide direction (contingencies) to company officials

on what corrective steps/notices are to be undertaken given

various scenarios of typical and atypical non-compliance.

The remedial action component of the plan will also contain

a description of actions that will be taken to prevent

re-occurrence of the non-compliance e.g.

To continuously evaluate forest operations for impacts onthe natural environment and take all necessary correctiveaction when and where possible..

To protect the forest against fire, disease and insectsthrough prevention and remedial action.

• staff training, knowledge, skills, attitude

To develop training programs based on results of annualcompliance assessment (trends/analysis)

To educate and train company employees and contractorsregarding work techniques that maximize compliancewith plans and legislation.

To ensure that all staff and workers are trained in themost environmentally-sound forest practices.

To ensure that all monitoring-inspection personnel meetprovincial standards for competency certification by June2005

• education and communications

To ensure that all staff and workers are knowledgeableabout provincial regulations, policies and guidelines forcompliance.

To encourage workers to report all instances of non-compliance in the Time and manner prescribed and without fear of reprisal.

• maximizing efficiency of compliance activities

To conduct compliance activities in a cost-effective andefficient without creating risk to the environment orcompliance with laws.

To efficiently use staff resources, both industry and MNRe.g.,sharing equipment or conducting joint field visits whereappropriate.

• increasing compliance with legislation, plans, manuals,

policies, guidelines

To maintain regular contact with MNR counterparts andto stay current with changes in compliance rules, policiesand procedures.

To conduct all activities in accordance with or exceedingexisting standards.

4


• prevention measures e.g. education, training,

communication and information dissemination

• approaches to compliance monitoring, analysis,

reporting and documentation

• inspection techniques for various conditions e.g. site

inspection for high values, use of aerial inspection for

boundaries, use of SAP photography

• remedial action practices involving environmental

values. e.g. when, under what circumstances, and who

will undertake remedial measures (contingency plan)

• requirements for follow-up

• changes in provincial policy direction

Strategies need to clearly explain how the company will

operationally deliver the compliance program. For example,

how the monitoring and inspections are done. How a non-

compliance is reported through the company hierarchy. How

planned inspections are completed. How non-compliance is

dealt with internally.

Strategies are stated expressions of direction or commitment

to action for specific objectives. They are often designed to

meet a number of objectives and may be repeated under

multiple objectives. The following is one example of a

strategy and supporting action designed to implement a

specific objective for “effective and efficient delivery of a

compliance program”:

STRATEGY:

“Ensuring that compliance activities are delivered efficiently, effectively and in a timely manner” by,

1. promoting openness and communication amongst company staff, licensees, shareholders, contractors,Ministry staff and others. This will entail:

• increasing communications and partnershipamong forest users

• encouraging informed feedback on forest operations

• communicating plans, actions, successes and failures

• reflecting the importance of compliance in all communications

Emphasis will be on mitigation of undesirable activitiesor occurrences. The root cause of a non-compliance and/oractivity causing damage will be assessed and remedialaction prescribed. Remedial action will escalate based onnon-conformance to legislation and policy and the abilityto adapt so that non-compliance does not become a recur-ring problem. This positive remedial action will be deliv-ered by forestry industry staff and will focus on learningfrom mistakes and adapting to ensure that they do not occur again.

Ensuring that corrective action occurs will be the responsi-bility of (company official position), except in areas withhigh values such as waterways and wildlife habitat. Inthese instances, the Ministry of Natural Resources may be required to determine corrective action. In significantinstances of non-compliance, the company inspector shoulddirect that work stop on that particular part of the operation.

In the event that any operating personnel identify pos-sible non-compliance during ongoing monitoring ofoperations, the employee will undertake one of the fol-lowing actions:

1. If it is deemed to be a violation of an approved plan or a threat to the environment, the person will immediately stop the operation and take the necessarysteps to stop further possible non-compliance/harm. The non-compliance will be reported to the MNR andother regulatory agencies as appropriate and to thecompany’s (identify the company position responsible)who will conduct a formal compliance inspection.

2. If it is not in violation of an approved plan or athreat to the environment, the person will take the necessary corrective action to remedy the undesirableactivity or occurrence.

STRATEGIES AND ACTIONS

Compliance strategies are to be developed for a ten-year

period, corresponding with the approved FMP, although

they should be reviewed and updated annually and at a

minimum, each 5 years, to ensure on-going relevancy and

continuity with stated objectives. For forest compliance,

strategies would generally address such things as:


5

• who (SFL position) will “sign-off” on inspection/moni-

toring reports for submission to the MNR database

e.g. management forester, operations forester, chief forester,manager of operations, etc.

• who has responsibility for prevention, monitoring and

reporting

e.g. The responsibility for these compliance functions will bewith the supervisor in charge of each operation or activity. As part of the compliance education program, all staff will be advised of their responsibility for prevention.

• who is responsible for ensuring corrective action and

follow-up

e.g. The manger of operations/operations supervisor has theassigned responsibility to undertake corrective-remedial actionand follow-upEach certified inspector has the authority to direct immediatecorrective action where warranted

• who is the company representative for compliance

matters

e.g. The manager of forest operations/forest managementsuperintendent is the company contact-lead-representative forcompliance matters

• who has training responsibilities and which functions

are to be trained (e.g. technicians, cutters, road mainte-

nance)

e.g. Training will be conducted by a variety of company andexternal sources for all woods workers on this unit asrequired to address specific circumstances

Note: On remaining provincial Crown Management Units,

the compliance roles and responsibilities for forest opera-

tions inspection are to be identified in the MNR District

Compliance Plan.

ROLES AND RESPONSIBILITY EXCEPTION

A FOREST OPERATIONS COMPLIANCE

RESPONSIBILITY MODEL-PROCESS FOR

SUSTAINABLE FOREST LICENCE HOLDERS and

OVERLAPPING LICENCE HOLDERS, (August 2004)

2. implementing an education/awareness plan for staff,managers and the public. This will entail:

• developing a communications plan and compli-ance education-awareness program

• promoting partnership opportunities in achievingobjectives

• maintaining a high level of training and skillsdevelopment and awareness of legislation, policyand plans

• ensuring a common understanding of compliancerequirements by all forest workers and partners

3. ensuring the best use of company, contractor and ministry staff. This will entail:

• confirming respective roles and responsibilities

• conducting joint field investigations where appropriate

• making compliance monitoring a daily routineof employees/workers having that responsibility

• closely following the monitoring schedule of thisplan

4. providing a succession plan and opportunities forstaff to advance into the compliance inspection pro-gram to ensure continuity in program delivery. Thiswill entail:

• proactively identifying staff who require compli-ance inspection training and certification

• promoting opportunities with technical workers

• promoting job sharing and mentoring opportunities

This approach would be repeated for each objective of the Plan.

ROLES AND RESPONSIBILITIES

The compliance plan is to identify and keep current who

(position) will be responsible for various forest operations

compliance activities on the SFL such as:

• compliance plan preparation and updates

e.g. company staff, chief forester, consultant, other

• identification of individual certified compliance

inspector(s) for compliance monitoring on the entire

management unit (to be updated annually)

6


compliance responsibilities, especially self-

monitoring and reporting.

b)Where large OLs have a demonstrated ability

and resources to effectively assume additional

responsibilities. Characteristics of qualified OLs

include, but are not limited to:

• holding one large or many Forest Resource

Licenses on one or more forest management

units

• having professional planning, forestry and

technical staff

• having certified Forest Operations

Compliance Inspectors or the means to have

and acquire certified inspectors

• having the financial resources to hold a SFL

themselves

• a proven ability to undertake various forest

management operations directly and/or

through the use of contractors

PROCESS:

Upon receipt of the joint (SFL/OL) written request, the

Director, Forest Management Branch will consider the

application based on:

• Facts and information provided in the letter

of request from the SFL/OL e.g. information

indicating that the OL is also the holder of

an SFL on another unit or has the capability

and resources to assume increased compliance

responsibilities.

• A copy of the revised/updated SFL

Compliance Plan outlining changes in

responsibility and monitoring schedules

for the entire SFL

• A copy of all necessary revisions to the

SFL/OL Business Agreement where

appropriate

• A complete description of the OL capability

(resources) and number of certifiedCompliance Inspectors of the OL. The

candidate OL must have certified compliance

inspectors.

BACKGROUND:

With the signing of a Sustainable Forest Licence (SFL), the

licence holder agrees to undertake responsibilities for deliv-

ering a comprehensive compliance program on the forest

management unit. These responsibilities include: compliance

planning, monitoring, inspecting and reporting compliance;

prevention, education and training of its workers and of any

overlapping licensees (OLs).

To address local issues and to provide increased autonomy

to certain Overlapping Licensees, while still maintaining

oversight responsibilities by the SFL, the Ministry has

adopted a new functional responsibility model and process.

It is not MNR’s intent, nor is it being sanctioned, that

any of the responsibilities identified below are to be given

to licensees or those not suitably capable of monitoring and

supervising their own operations and inspectors. This

capability must be assessed as positive or the status quo as

per the SFL condition must be fully maintained and

implemented.

APPLICATION:

1. This model and process applies only to SFL companies

with qualified OLs as per this directive and the condi-

tions thereto.

2. Where an eligible OL wishes to assume greater, more

direct responsibility for compliance functions, such as

monitoring, inspecting and reporting, and for the

training-education of employees, a written application

must be made to the Director, Forest Management

Branch, Ministry of Natural Resources.

3. The application must be made jointly by the SFL

holder and the candidate OL outlining the changes

proposed and signifying both parties’ acceptance of

the changes in responsibility.

4. The application is to be supported by factual informa-

tion and any other necessary supporting documentation

for the Ministry’s consideration.

5. Only two situations exist where this model and process

for compliance monitoring responsibilities will be

considered:

a) Where OLs hold an SFL themselves in the same

company name but on another forest management

unit. Theoretically, they will have the resources

and capability to undertake additional and direct


7

TERMS and CONDITIONS:

1. Where the Director approves changes in functional

compliance responsibilities for an OL and SFL, they

will be in effect for a period of 1 year and reassessed

annually for continuation purposes.

2. MNR districts will monitor and assess the model

where implemented. Districts will ensure that both

SFL and OL compliance responsibilities are fully

described in the SFL compliance plan and will review

and approve the SFL compliance plan accordingly.

Districts will review and approve the SFL/OL

conditions and implementation of those conditions.

3. MNR districts having this model and process in place

in their area will actively monitor (audit and spot-

check) the quality of OL inspection reports and

ensure the SFL Compliance Plan is being adhered to

in the fullest. From time to time, districts will make

recommendations to the Director, Forest Management

Branch for continuation of the model with or without

modification, or cancellation of the approval. Any

district recommendations requiring modifications or

cancellation of the compliance responsibility model

or process will be made to the Director prior to

approving the annual component of the SFL

compliance plan.

4. SFLs will continue to maintain overall forest manage-

ment responsibility for the unit, the development and

maintenance of the compliance plan, including: an

oversight role for the monitoring of the compliance

plan and its implementation, ensuring all aspects of

sustainability on the unit in accordance with the

approved forest management plan and for providing

education and training of its workers and those of all

OLs on their unit.

• A description of the physical size and location

of the OL area

• A description of the size and complexity of

OL operations

• A description of past operating practices

(e.g. harvest, silviculture, road construction,

and annual volume of wood harvested by

the OL)

• A complete summary of OL compliance

history (from 1998 to present)

• A summary of the results of Independent

Forest Audits as it pertains to compliance

by the SFL and the OL, and

• Any other relevant information in support

of the application

Note: The Independent Forest Audit process will include

the requirement for a review and analysis of the performance,

efficiency and effectiveness of companies eligible for these

changes in responsibility.

This model-process will not come into effect until

approved by the Director and through amendment to the

compliance conditions of the SFL and annual approval of

the Annual Compliance Schedule of Action by the District

Manager, MNR. This is also referred to as the annual com-

ponent of the compliance plan.

DECISION:

After assessing this and any other information deemed rel-

evant, the Director, Forest Management Branch may

approve the functional change in SFL/OL compliance

responsibilities. See Table 1. Companies (SFL and OL) and

affected Ministry district offices will be advised in writing

of the Director’s decision. On the basis of receiving any

future internal reviews, assessments or audit reports that

identify significant operational, compliance reporting or

sustainability issues related to the changes in compliance

responsibilities, the Director may rescind the approval.

8


The Annual Compliance Schedule of Action is to be

amended annually by the SFL to reflect this assess-

ment in terms of adjustment to monitoring frequency

and intensity and any other changes necessary to

improve operational compliance.

8. Where a qualified OL is not performing to the highest

possible standards expected by the forest industry or

the Crown, the SFL holder is to require the OL to

demonstrate, implement and document a process of

training and other remedial measures which address

and prevent the non-compliance events from

occurring again.

9. If any party; the SFL, the OL or the MNR, is dissatis-

fied with the implementation of the model and process

for compliance responsibilities, any party can make

representations to the Director, Forest Management

Branch. In such an event, the Director will arrange for

a review and facilitation of the parties involved to seek

resolution and/or make a final decision.

10.The Director, Forest Management Branch may make

a final decision to cancel or modify these terms and

conditions or an approval related to the functional

compliance responsibilities for an OL and SFL. This

may occur if the Terms and Conditions described

above have not been met or based on representations

made by the SFL, the OL or the MNR, or where in

the opinion of the Director it is in the best interest

of the province and/or sustainability of the forest

to do so.

11. Based on the Director’s decision, to modify the exist-

ing approval, the modifications will be incorporated

into the annual component of the compliance plan by

the SFL holder as appropriate, and will be subject to

review and approval by the applicable MNR District.

12. The cancellation of any approval based on the

Director’s decision will result in full compliance

responsibilities reverting back to the SFL holder.

Where the Director dissolves the arrangement, all

documents (Compliance Plan, SFL conditions) must be

amended accordingly by the SFL to ‘pre-arrangement’

requirements.

5. Where Overlapping Licensees have been granted

complete responsibility for inspection and reporting on

their operations, the SFL will not have responsibility,

or be held liable, for non-compliance infractions related

to forest operations incurred by the Overlapping

Licensee. The SFL will retain overall responsibility for

sustainability issues related to implementation of forest

operations on the unit in accordance with an approved

forest management plan.

6. Qualified OLs must have certified compliance inspec-

tors before any arrangements to implement this model

and process are finalized i.e. have successfully attended

and passed the Compliance Inspector Competency

Certification training course. Inspection reports from

approved overlapping licensees, which are completed

by non-certified personnel, will result in automatic

rescinding and cancellation of this approval.

7. The SFL is to include a provision in their compliance

plan whereby the performance of the qualified OL will

be assessed annually by the SFL. This is to include an

analysis and evaluation of compliance in terms of:

• Frequency of non-compliance occurrences

(self-reporting) vs. MNR found infractions

• Main activities where issues occurred (e.g. AOC

infractions, water-crossings, trespass, utilization,

etc.)

• Significance of issues/non-compliance

• Remedial actions taken by the OL e.g. self-

correction, repair, training, meetings with

operators etc.


9

Table 1: FUNCTIONS and RESPONSIBILITIES

SFL Prime Licensee Qualified Overlapping Other OL Licensee

FMP/AWS Preparation Subject to FMP/AWS Subject to FMP/AWSProcess

Prepares 10-Year Compliance Plan for self

and all OLs. Incorporates and approves

Annual Compliance Schedule of Action

(monitoring schedule) for Qualified OL.

Submits its inspection reports and those

reports of Other OL to MNR system

(FOIP).

Has responsibility for verifying and

auditing its inspections and those of

Other OLs.

Has responsibility for and maintains overall

forest management responsibility on the

SFL, including oversight of compliance

by Other OLs operating on the unit.

Establishes and delivers internal

prevention-education program and provides

for training for own staff/workers, Other

OLs and possibly Qualified OLs.

Undertakes annual compliance assessment

and analysis for the entire SFL, including

area under Qualified OL and Other OL.

Has certified compliance operations

inspection staff by June 25, 2005.

Holder of the Sustainable Forest licence.

Prepares Annual Report information for

compliance (i.e. AR 12 per FMPM/AWS

for entire unit, including all OLs). The

AR12 report is to summarize the

performance of the Qualified OL.

Prepares Annual Compliance Schedule of

Action portion (monitoring schedule) for its

OL licence(s) area(s) only; annually submits

to SFL for incorporation into 10-Year

Compliance Plan and the Annual

Compliance Schedule of action. Subject to

all provisions of SFL Compliance Plan.

Submits its inspection reports by certified

inspectors directly to the MNR system, (FOIP).

n.a.

All OLs have responsibility to comply with

the FMP/AWS and compliance plan.

May establish and deliver internal preven-

tion-education staff training program for

self & workers OR, may do jointly with

SFL (to be described in Compliance Plan).

Undertakes annual compliance assessment

and analysis for the area of its OLs.

Must have certified compliance operations

inspection staff at time of accepting new

functions. Must have sufficient capacity

to fulfill compliance planning (annual

compliance schedule of action), inspection

and reporting functions.

Must hold own SFL on another unit or

meet other eligibility criteria as per model

and process requirements.

n.a.

Subject to SFL Compliance Plan (strategic

and annual plan of action component).

Where approved for inspections by the

SFL Compliance Plan, submits inspections

directly to SFL.

n.a.

All OLs have responsibility to comply with

the FMP/AWS and compliance plan.

n.a.

n.a.

n.a or, to have certified compliance

operations inspection staff by June 25, 2005

if submitting reports to SFL.

n.a.

n.a.

1 0


21.5 The Company and those Overlapping Licensees

referred to in paragraph 21.1 are responsible for

establishing and delivering internal prevention/

education programs and for providing individual

staff training to competency standards approved

by the Ministry of Natural Resources. The

compliance plan must describe the internal

prevention/education program responsibilities

of the Company and applicable Overlapping

Licensees.

21.6 The Company and those Overlapping Licensees

referred to in paragraph 21.1 must conduct inspec-

tions of forest operations, provide inspection reports

to the Ministry of Natural Resources and otherwise

comply with the requirements of the approved

forest compliance plan. Overlapping Licensees

which have been granted the inspection and report-

ing responsibility will provide such information

directly to the Ministry in accordance with the

compliance plan and Ministry standards for

reporting.

IMPLEMENTATION

A number of instrument changes are required to put this

revised model and process into effect should it be approved

on any management unit.

This model and process will not come into effect until all

of the following have been successfully completed:

1. a decision letter is received from the Director, Forest

Management Branch

2. a revised and approved SFL compliance plan, consis-

tent with this directive is in effect, and

3. the compliance conditions of the Sustainable Forest

Licence are amended and approved as noted above, to

reflect the changes in responsibility.

DOCUMENTATION:

1. The Guideline for Forest Industry Compliance Planning(this document) and the Forest Compliance Handbookoutline this process and the requirements for inclusion

in the SFL Compliance Plan.

2. Sustainable Forest Licence: All SFLs contain a condi-

tion (frequently condition #22) with respect to compli-

ance planning and responsibilities. Where Qualified

OLs acquire additional functional compliance responsi-

bilities as per this model and process, the SFL compli-

ance conditions must be amended to incorporate the

following new wording:

Compliance Planning and Monitoring Conditions (Numbering corresponds to SFL conditions)

21.1 The Company shall prepare a forest compliance

plan which describes the proposed planning,

monitoring, reporting and education/prevention

activities to be undertaken by the Company and

any Overlapping Licensees which have been grant-

ed approval by the Ministry of Natural Resources

to directly assume compliance responsibilities on

the Forest.

21.2 The compliance plan will describe the responsibili-

ties of the Company and Overlapping Licensees

with respect to ensuring compliance with the Forest

Management Plan, the Annual Work Schedule, and

all applicable legislation, regulations and manuals

and guidelines affecting those operations. The

forest compliance plan shall be prepared in accor-

dance with standards established by the Minister,

in consultation with representatives of Ontario’s

forest industry.

21.3 The forest compliance plan prepared by the

Company requires the approval of the Minister or

delegate, before forest operations may commence.

21.4 The compliance plan will include an annual

assessment of compliance and a schedule of all

monitoring activities (inspection and reporting) for

the Licence Area, including a distinct schedule for

each Overlapping Licensee having compliance

responsibilities.


1 1

ANNUAL COMPLIANCE PRIORITIES

Each year, based upon a number of factors and considera-

tions, revised compliance priorities are to be identified

using a risk assessment approach whereby particular forest

operations activities are weighed and assessed against a

number of factors. This would generally be based on an

assessment of such matters as:

• the approved Forest Management Plan (FMP) and

new Annual Work Schedule (AWS) for the

forthcoming year

• sensitivity of operating sites to environmental impact;

resource values requiring protection, and high risk

operational areas

• the complexity of the forest operation

• availability of resources to adequately supervise and

effectively monitor operations

• compliance history of licensees/contractors on the unit

under various operation types (harvest, access, renewal

and maintenance) and past operational problems and issues

DIRECTION

“The sustainable forest licensee will prepare the annual

component of the ten-year strategic compliance plan

described in the forest management plan. The annual

component of the compliance plan will contain a

description of the forest operations inspection program

that will be carried out by the sustainable forest licensee

during the year and will be included as an appendix to

the annual work schedule.” (Source: Forest Management

Planning Manual, 2004).

Although the above reference applies to new forest man-

agement plans created under FMPM 2004 direction, a sim-

ilar intent of this requirement was included in the

September 1996 FMPM. Policy ENF 22.02.01 and

Procedure ENF 22.02.02, Forest Operations Information

Program, from the Forest Compliance Handbook provide

definitions, specific direction, standards and processes for

implementing the Guideline for Forest Industry

Compliance Planning, especially for the preparation of the

Annual Compliance Schedule of Action. They are to be

read in conjunction with this Guideline.

PART IIANNUAL COMPLIANCE SCHEDULE OF ACTION

1 2


A number of factors must be identified and described in the

inspection schedule of the compliance plan. These require-

ments are consistent with the reporting standards used for

an electronic format. These are detailed in the MNR ForestCompliance Handbook, policy and procedure directives

ENF 22.02.01 and ENF 22.02.02. All forest operations com-

pliance inspection reports prepared and submitted by either

the Ministry or the forest industry must be completed in

accordance with these directives. For example:

• the specific forest operation in progress e.g. harvest,access, renewal, or maintenance.

• the exact location of operations (block, cut area…) and,

• who is doing the work if not the company

• approximate date when the activity is planned for

• any specific resource values present

• the “planned” inspections and report schedule for eachoperation type. e.g. start-up notification, in progressreports, suspended operations, completion of operations

An example of the preceding information is illustrated in

chart form in Table 1.

The identified compliance priorities form the basis of the

monitoring, inspection and reporting schedule that a company

will develop annually for this portion of the compliance plan.

MONITORING-INSPECTION-REPORTING SCHEDULE

The Forest Management Planning Manual (FMPM) 1996

and 2004 require a description of the forest operations

inspection program that will be carried out by the

Sustainable Forest Licensee during the year. The FMPM

2004 requires that the annual component of the compliance

plan will be included as supplementary documentation to

the annual work schedule.

A company’s monitoring regime forms the basis of the input

for the public record (Annual Reports) and meeting

FMP/AWS/SFL requirements. Additionally, this informa-

tion is used by the MNR to establish its audit and spot-

check program and establish monitoring priorities in

District Compliance Plans. The SFL is encouraged to con-

sult with the MNR when developing this component of the

company compliance plan.

Table 1: MONITORING - INSPECTION - REPORTING SCHEDULE

OPERATION DESCRIPTION INSPECTION REPORT SCHEDULEForest

Operation

Harvest

Access

Renewal

Maintenance

Start Up

Notice within

1st week of

operation

Notice at start

up

In progress

One report

when site

reached

One report

when site

reached

Full report at

start of crossing

and mid con-

struction.

Timing restric-

tions apply. No

in stream work

Completed

Full report

within one

week of com-

pletion of all

operations

same

Full report

within one

week of com-

pletion of road

construction.

Resource

Value and

Description

AOC. (Moose

Aquatic

Feeding Area)

30m reserve

Wildlife

habitat; tertiary

road conditions

Crossing #203

Coldwater

stream at

Km 5; # 204

at Km 9.

Forecast Start

Date

May

June

June

Company (X)

or Operator (Y)

X

Y

X

Location

Block 10

Block 12

Primary Road

Construction

#206 Bay Twp.

40Km long


1 3

FOIP REPORTING BY MNR:

MNR must submit a FOIP report to the provincial data-

base for spot-check, and audit inspections within the same

timelines as specified for forest industry. Where these time-

lines cannot be met, a verbal or written notice must be pro-

vided to the licensee indicating that a report is in prepara-

tion or circulation.

1. For a compliant spot-check or audit, submit a FOIP

report within 20 working days.

2. For a MNR discovered non-compliance (not reported

by forest industry), submit a FOIP report within 5

working days. Where the non-compliance is assessed as

significant, a verbal or written notice is to be provided

to the licensee within 24 hours and by a FOIP submis-

sion within 5 working days

3. For a verification of an industry non-compliance report,

the industry FOIP report is to be updated (i.e. verified

by MNR) within 5 working days. This is not a new

FOIP report. Where verification is not possible in the

required timeline, a written or verbal notification with

reasons and expected completion date is to be provided

to the forest industry. Where this is not possible, a

written or verbal notification with reasons and expected

completion date is to be provided to the forest industry.

Note: The timelines noted above are maximums. Every

effort should be made to complete and submit reports as

soon as possible. These changes have no effect on the

requirements for reporting Non Compliance (i.e. a FOIP

report within 5 days; and 24-hour notification of a signifi-

cant non-compliance).

ii. Completed inspection reports must be submitted to

MNR

• within 5 working days for any non-compliance

situation,

• within 5 working days for any situation that is a

“significant non compliance”. A ‘verbal notification’

must be provided to the MNR within 24 hours of

the act or discovery of the incident, and must befollowed by a written report within 5 working

days, and

• at any other additional times as specified in or

directed by the forest compliance plan e.g., as

scheduled, or in -progress.

REPORTING REQUIREMENTS

On the basis of the roles and responsibilities identified in

Part I of this Guideline, the following requirements will be

of assistance in developing the monitoring-inspection-

reporting schedule for the Annual Compliance Schedule of

Action portion of the compliance plan.

i. All compliance operations inspection reports must be

prepared and submitted in an electronic format using

the Forest Operations Information Program (FOIP)

and sent to the MNR provincial database as per the

following reporting requirements:

FOIP REPORTING BY FORESTINDUSTRY FOR COMPLIANT OPERATIONS:

HARVEST OPERATION – where an operation is deemed

to be complete, In Compliance, and released for audit, forestindustry is to submit a FOIP report within 20 working days

of when the harvest operation is complete. In addition, MNR

is to be notified either verbally or in writing within 10 work-

ing days of completion of an operation and prior to commenc-ing any new operation on the block (e.g. silviculture)

ACCESS OPERATION – a FOIP report must be submit-

ted to the MNR provincial database within 10 working

days of completion of a compliant access operation (e.g.

road construction, water-crossing). This requirementremains unchanged.

RENEWAL OPERATION – where an operation is

deemed to be In Compliance, industry is to submit a com-

pleted FOIP report within 20 working days of when the

operation is complete and compliant. In addition, MNR is

to be notified either verbally or in writing within 10 work-

ing days of completion of a compliant renewal operation.

MAINTENANCE OPERATION – where an operation is

deemed to be In Compliance, industry is to submit a com-

pleted FOIP report within 20 working days of when the

operation is complete and compliant. In addition, MNR is to

be notified either verbally or in writing within 10 working

days of completion of a compliant maintenance operation.

Completed reports are a ‘sign-off/release’ of a specific

operation.

1 4


DATA REQUIREMENTS - FOREST

OPERATIONS INSPECTIONS

Forest operations inspection reports must be undertaken

and completed by the forest industry using FOIP as part of

their responsibility for forest compliance monitoring and

reporting. All forest industry inspection reports and MNR

verification, audit and spot-check reports (see ENF

22.02.01) must include the data standards outlined below.

The items listed below (1-4) represent the minimum data

that must be included on a Forest Operation Information

Program report. These are consistent with the requirements

of the Environmental Assessment Declaration Order June

2003, the Forest Information Manual and the Forest

Compliance Handbook.

1. IDENTIFICATION DATA• Inspector Name

• FMU/SFL Licence Number

• Overlapping Licence and/or Approval Number

• Other applicable permit numbers, e.g.

• A - Aggregates Act

• P - Public Lands Act

• L - Lakes and Rivers Improvement Act, etc.

• Location of Activity

• Base Map number/GPS coordinates

• Township, Lot, Concession, etc.

• Block identifier

• Operation Type

• Must be one of: Access, Harvest, Renewal, or

Maintenance

• Date of Inspection

• Purpose of Report

• For Industry, select one of: Start-up, In-progress,

Suspended or Completed

• For MNR, select one of: Spot-check , Audit or

Verification

• Method of Inspection

• Select one of: Ground, Aerial, Remote Sensing,

Ground and Aerial, Other

For all inspection reports, the compliance ‘status’ is to be

specified and all issues and actions where required must be

identified.

iii. Unless otherwise specified in the compliance plan, Forest

Management Plan or AWS, a notice (verbal or written)

is usually acceptable notification to the MNR for ‘start-

up’ of a harvest operation, road construction, water

crossing, or any other forest operation activity. At a min-

imum, the notice should be provided to MNR within 5-

10 days before commencement of the activity.

iv. Companies must record any undesirable conditions that

are observed in areas of operation, and which appear to

be related to forest management activities e.g. incidents

of road/culvert washouts, blow downs, forest fires, insect

infestation…etc.

v. The frequency of inspection and reporting will be deter-

mined by such matters as:

• local and provincial compliance priorities

• resource values, sensitivity and degree of risk

presented by operations as identified in the

Forest Management Plan

• operation size, type and complexity

• past operational issues and

• compliance history

In-progress inspection report types are to be based large-

ly on a risk assessment approach using the above points

as opposed to “size” criteria alone.

vi. The MNR has an approved policy and procedure con-

tained in the Forest Compliance Handbook to guide it’s

staff for all aspects of the Forest Operations

Information Program (FOIP). MNR has developed an

internet web based reporting system for mandatory use

by forest operations compliance inspectors to record

compliance inspections. The FOIP application is avail-

able for use by industry and MNR and will be sup-

ported and maintained by the MNR. The technical

standards for electronic reporting are regulated through

the Forest Information Manual (FIM) and must be

followed.


1 5

significant assessment must be reported verbally to the

MNR within 24 hours of occurrence or discovery.

2.3 In Compliance With Comments (ICWC)

Is a status given to inspections that are assessed to be not

fully compliant but not severe enough to warrant a non-

compliant status. While still considered to be infractions or

possible infractions, they are characterized as being of a

minor nature or a minor variance to standards without

compromising the intent or integrity of the standard or

value being protected. Such assessment may be considered

reasonable under certain circumstances in consideration of

such things as complexity of forest operations, geography

and physical site characteristics or conditions. In all cases,

the compliance inspector must provide a clear explanation

and rationale for such assessments and indicate that meas-

ures can be taken to correct, improve, or prevent such

issues in future. A clear exception would be where the

standard is provided by an expert such as an engineer e.g.

for water-crossing installations.

For reporting purposes, compliant activities will include

matters that have been assessed as less than perfect due to

operational problems but must contain adequate explanationand rationale as to determination of status. Reports of

ICWC are ‘counted’ in the totals for compliant reports.

3. ISSUE IDENTIFICATION

The FOIP inspection reporting system provides an inspector

with the ability to document and track issues encountered

during a forest operation.

Issue: is a problem identified during an inspection that

represents something requiring follow-up or action. Issues

are identified at the Activity level and where an issue is

determined to be non-compliant with rules, a significance

rating is assigned only by the MNR at the Activity level.

Multiple issues related to the same Activity are described

individually in an inspection report but are recorded as a

singular issue for Annual Reports (each issue may have

separate actions/follow-up). Two types of issues may be

recorded on FOIP inspection reports:

1. Issue - Compliance: Compliance issues are generated

only within reports of Non-compliance/Not in

Compliance where an activity or any of the checklist

items observed within an activity are assessed as non-

2. COMPLIANCE ASSESSMENT

Activities, which must be reported on, for each main

operation type, are as follows:

Operation Activity

• Access road construction, aggregate, water

crossing, Area Of Concern (AOC), fire

prevention, general

• Harvest AOC, cutting, utilization (wasteful

practices), wood measurement/move

ment, fire prevention, general

• Renewal Renewal, pesticide application,

fire prevention, general

• Maintenance Tending, pesticide application,

fire prevention, general.

All forest operations inspected must be assessed and assigned

a compliance status in one of 3 categories as follows:

2.1 In Compliance

This means a positive assessment is provided to an opera-

tion or activity as to its status after consideration of all

applicable laws, regulations, manuals, rules, and require-

ments. All inspected activities are consistent with standards.

Such reports must have adequate information to support

the assessment of “in compliance” or “compliant”.

2.2 Not In Compliance (or Non-Compliance)

This means a negative assessment is provided to an opera-

tion or activities as to its compliance status after consider-

ation of all applicable laws, FMP/AWS, regulations, man-

uals, rules and requirements. One or more activities are

found to be contrary to applicable laws, regulations, manu-

als, rules and requirements or standards.

Non-compliant reports must contain an explanation as to

determination of status. For reporting purposes, non-com-

pliant activities will include matters that have been assessed

as contraventions that must be accompanied by a clear

explanation and rationale, and a description of the incident

and actions taken or to be taken, must be provided. The

description is to include the location, size of area, number

of incidents, and any other relevant information such as

maps and photos. All non-compliant activities/incidents

must be reported in FOIP to MNR within five working

days of the occurrence or discovery. Non compliance of a

1 6


forest management or sustainability. Specifically, incidents

of a road washout in an AOC, blowdown, forest fires, insect

infestation, spills etc., where observed or encountered mustbe recorded on inspection reports.

COMPLIANCE PLAN APPROVAL-REVIEW-AMENDMENT-EVALUATION

Industry Compliance Plans are part of the Forest

Management Plan for the unit (FMPM, 2004,

Supplementary documentation). As such, any amendments

thereto are subject to the amendment policy and procedure

as described in the Forest Management Planning Manual.

As a condition of the SFL, amendments and annual updates

of company forest compliance plans require the approval of

the Minister or his delegate. The Minister’s delegate for

Annual Compliance Schedule of Action (annual portion of

compliance plans) is the District Manager, OMNR.

Companies must undertake compliance operations activi-

ties in accordance with the approved compliance plan and

be compliant.

compliant. For every non-compliant activity, at least

one issue must be created. Inspection reports with

Compliance Issues require “follow-up, or action to be

taken” within specified timelines by either the forest

industry and/or the MNR. Compliance issues must be

clearly described in FOIP reports in a quantitative and

qualitative manner wherever possible. Compliance

issues will be tracked by the MNR until resolved.

2. Issue - Task: Task issues may be generated within

reports of In Compliance, or In Compliance with

Comments. They are generally associated with minor

matters that require some action, follow-up or a

‘reminder to do something’. Either the forest industry

or the MNR on their respective reports can create task

issues. They are a means to monitor and track actions

until completed by either the MNR or forest industry.

4. DESCRIPTION OF DESIRABLE/UNDESIRABLE SITE CONDITIONS

Compliance inspections are undertaken to record not only

conditions related to active forest operations, but also con-

ditions as a result of weather, nature or other non-man

made situations. FOIP requires the documenting of

observed forest conditions, which may have an impact on


1 7

DEFINITIONS

Compliance related terminology is used throughout the

forest operations compliance-planning program and in doc-

uments such as the Guideline for Forest Industry

Compliance Planning, the Forest Management Planning

Manual, Forest information Manual and the Forest

Compliance Handbook. For consistency in terminology and

definition, compliance program related terms are defined in

Policy ENF 22.02.01 in the Forest Compliance Handbook.

The Ten Year Forest Compliance Strategy (Part I) is to be

reviewed at a minimum, each ten years, concurrently with

Forest Management Plan reviews. It is good practice how-

ever, to review strategies and actions annually to ensure

they are current and to make adjustments as a result of

analysis of inspection reports and overall evaluation of a

company’s compliance achievements. MNR staff should be

involved in this activity. For example:

This Plan of Compliance (at the strategic level) will bereviewed/updated commensurate with the time framerequired for renewal of the Forest Management Plan.Input from the MNR staff will be sought.

On an annual basis, the Annual Compliance Schedule of

Action - Part II, (the monitoring, inspection and reporting

component of the compliance plan) must be amended and

updated according to new Annual Work Schedules. The

SFL holder is encouraged to include MNR staff in this

activity prior to the new fiscal year. For example:

An annual review and amendment procedure will beundertaken under the direction of (company official)and the MNR (staff position). Following this reviewperiod, annual compliance schedules will be prepared forapproval by the Minister or his delegate prior to (date).

In-year amendments to the compliance plan may be initiated

by the SFL holder and submitted to the District Manager

for review and approval. The MNR may also initiate and

approve an amendment to the company compliance plan

only where it can be demonstrated that additional compliance

action is required by the company to address situations of

chronic non-compliance or to ensure sustainability of the

Crown forest. The Ministry may consult with the SFL

holder, Local Citizen Committee and others as appropriate

before doing so. While mutual consent would be desirable

for such a change, the MNR must place a priority on

achieving sustainability of the Crown forest and protecting

the environment and will act accordingly.

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