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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
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
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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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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
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.
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
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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.
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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
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
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
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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
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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
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…
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
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• 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.
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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
• 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:
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
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• 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)
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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
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
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
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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.
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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.
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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.
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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.
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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
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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
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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.
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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.
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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
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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
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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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