-1- Bureau Veritas Certification SFI 2005 :2009- Audit Report - Rev. 4 – June - 08
Bureau Veritas Certification
North America, Inc.
SFI 2010:2014 Audit Report
3663 N. Sam Houston Pkwy., Suite 100
Houston, TX 77032
Phone - Main (281) 986-1300 / Toll Free (800) 937-9311
Company Name
Washington State Department of Natural Resources
Contact Person
Lislie Sayers
Address
PO Box 47016, Olympia, WA 98504-7016
Phone / Fax
360-902-2896 / 360-902-1789
PQC Code
E01E
Contract
Number:
US.0740986
Certification
Audit:
Re-Certification
Audit:
Surveillance:
(Indicate visit # or Pre-
Assessment)
#1
Audit Summary
The scope of the surveillance audit is the Washington State Department of Natural Resources (WA DNR)
forest management operations in Western and Eastern Washington. The WA DNR is composed of six regions
and the audit focused on forest management operations in the Pacific Cascade and South Puget Sound Regions
in Western Washington. The WA DNR manages approximately 698, 938 acres in these two regions located
on the westside of the Cascade Mountains.
The surveillance audit was conducted on June 2-4, 2010. The opening meeting of the audit was held at the
Washington Department of Natural Resources Headquarters in Olympia, WA on Wednesday, June 2, 2010.
Forest Resources and Conservation Division staff Lislie Sayers, Ecosystem Services Section, Program
Implementation Lead, Forest Certification; Allen Estep, Ecosystem Services Section, Program Lead,
PSF/Certification; Jed Herman, Division Manager; Tami Miketa, Assistant Division Manager, Ecosystem
Services Section; Jeff DeBell, Assistant Division Manager, Silviculture and Bob Aulds, Silviculture Specialist,
were in attendance. The audit team consisting of Gregory Bassler, Lead Auditor and Vincent Corrao, Team
Auditor introduced themselves and reviewed the audit plan. Logistics of the audit plan were also discussed
and the sites confirmed for the field portion of the audit to be conducted the following two days. Non-
conformances and the requirements for clearing them, opportunities for improvement, and notable practices
were also discussed.
The document review portion of the audit was conducted following the opening meeting. The field audit of
the Pacific Cascade Region was conducted on Thursday, June 3, 2010. Each team auditor visited separate
sites with WA DNR staff. The field audit of the South Puget Sound Region was conducted the following day,
June 4, 2010 with James Rochelle, Technical Expert accompanying the Lead Auditor. Field files for each site
were reviewed and used to determine effectiveness of the WA DNR forest management system and process.
The Objectives, Performance Measures and Indicators were all verified through a review of documents and
field verification of sites to meet the intent of the SFI 2010-2014 Standard. A debriefing was conducted at the
end of the day by each team auditor.
The surveillance audit was conducted under environmental auditing methodologies identified in the SFI 2010-
2014 Audit Procedures and Auditor Qualifications and Accreditation (Section 9 of the Requirements for the
SFI 2010-2014 Program) and standard Bureau Veritas Certification protocols and forms were applied
throughout the verification. Prior to the audit, the auditor selected sites in both regions to be sampled based on
management activities. The audit plan identified all new objectives, performance measures and indicators of
the SFI 2010-2014 Standard and Objectives 1 and 20 as the primary focus; however, all objectives were
subject to review.
-2- Bureau Veritas Certification SFI 2005 :2009- Audit Report - Rev. 4 – June - 08
The Closing Meeting for the surveillance audit was held on Tuesday, June 15, 2010 via conference call. Lislie
Sayers, Ecosystem Services Section, Program Implementation Lead, Forest Certification; Allen Estep,
Ecosystem Services Section, Program Lead, PSF/Certification; Jed Herman, Division Manager, Tami Miketa,
Assistant Division Manager, Ecosystem Services Section and Mark Thibo, South Puget Sound Assistant
Region Manager participated in the conference call. Gregory Bassler, Lead Auditor, presented and reviewed
the audit findings. Confidentiality of the audit results was assured.
A total of 27 sites were visited during the field portion of the audit. WA DNR forestry personnel responsible
for the activity and/or familiar with the sites were available for the audit. Six active logging sites were visited
and three had been shut down due to wet weather conditions. One was a Contract Harvest Sale and the
remaining were stumpage sales. The active sale contractors were trained.
The WA DNR is a multi-site organization and has a central office or headquarters (Olympia, WA) at which
certain activities are planned, controlled or managed and a network of regional offices or sites at which such
activities are carried out. The Olympia, WA central office provides all regions with information and guidance
on all activities. The scope and scale of activities are similar at all regions. All regions or sites operate under
a common forest management system, policies and set of procedures that is managed and administered by the
central office.
The Olympia, WA central office conducts and maintains an internal audit program to review and monitor
conformance of each region. The State Land Assistants have a monthly conference call and meet quarterly.
The Compliance and Enforcement Program completes a quarterly report that is reviewed at the Management
Review meetings. HCP monitoring is on-going and an HCP Implementation Monitoring Report is prepared
and reviewed annually. The Washington Department of Fish and Wildlife monitor sales and planning every
two years and provides results to the WA DNR. Forest Practices monitors operations and summarizes
findings on an annual basis. An external SFI Performance Measures Variance review is also conducted
quarterly. In summary, the WA DNR has a good, reliable internal audit program and monitoring system
carried out at headquarters to determine conformance at all regions or sites and to implement corrective
actions when appropriate. There is good coordination and communication between the central office and each
region.
For multi-site certifications, a site sampling method is generally used. The number of sites to be audited is
equal to the square of the number of sites x 0.6 for surveillance audits. A site sampling method was used and
two regions or sites plus headquarters are to be audited on an annual basis. The WA DNR is composed of six
regions (Pacific Cascade, South Puget Sound, Olympic, Northwest, Northeast and Southeast) and the
surveillance plan for 2010 was to audit the Pacific Cascade and South Puget Sound Regions. Each region or
site is audited on a three year basis and these two regions were last audited in 2007. The WA DNR is in
conformance with all multi-site requirements.
WA DNR did not have any substitution or modifications to any of the Indicators. A review of previous
audits was conducted to verify the effectiveness of previous audit findings and to evaluate WA DNR’s past
performance. The 2009 renewal audit for DNR-managed lands in Western and Eastern Washington, focusing
on forest management operations in NE and SE Regions identified no non-conformances and no opportunities
for improvements. Six notable practices were issued. There were no trends in the SFI implementation of the
field audit or document review that would indicate that any particular area needs special attention. A SF 61
was completed and contains specific information and audit notes.
The audit findings and conclusions included:
Non-conformances issued: One minor non-conformance was issued during the audit.
NC-Objective 2, PM 2.3, I-4: Excessive rutting was observed on the Crestview U4 active timber sale.
Multiple skid trails with excessive rutting were not in compliance with the Section H-014 Skid Trail
Requirements of the Logging Agreement 30-082089.
-3- Bureau Veritas Certification SFI 2005 :2009- Audit Report - Rev. 4 – June - 08
A corrective action plan was submitted by the WA DNR on July 29, 2010 and accepted on August 8, 2010.
Implementation of the corrective action plan was verified by review of documents and records and the non-
conformance closed on August 24, 2010.
Opportunities for Improvements: OFI’s are weaknesses in the program that may lead to a non-conformance
in the future if activities are not monitored for effectiveness. Three Opportunities for Improvement were
identified during the surveillance audit.
OFI-Objective 2, PM 2.1, I-3: A significant number of the seedlings planted this year had been damaged prior
to planting by a winter freeze and wind event and the sites with these trees will need to be monitored to insure
that adequate regeneration is established.
OFI-Objective 7, PM 7.1, I-1b: An excessive number of long-butts from log processing/merchandising
operations were observed on the Crestview U4 timber sale. An investigation is needed to determine if better
utilization was achievable, especially since it is a scaled sale.
OFI-Objective 16, PM 16.1, I-5: The Contractor Harvest Program score sheet is a method to address trained
contractors but an untrained contractor may still be awarded the sale and it needs to encourage the contractor
to be trained.
Notable Practices: NP’s are practices and actions that are exemplary and indicate a strong commitment to the
SFI intent and to continual improvement of their program. Five Notable Practices were identified during the
surveillance audit.
NP-Objective 2, PM 2.1, I-6: The efforts to re-establish cedar with the Integrated Cedar Establishment
Program to improve biodiversity and species throughout the landscape is an exceptional effort in addressing
the browse issue with deer and elk.
NP-Objective 3, PM 3.2, I-1: After the Relief Timber Sale U1 started, a small wetland was discovered and
needed protection. The WA DNR protected the site and is working with the purchaser of the sale to balance
out the volume.
NP- Objective 15, PM 15.3, I-2: The WA DNR 10 month Climate Change Speaker series is an excellent
process to share and provide information about climate change and impacts on resources with DNR and other
Stage Agencies staff.
NP-Objective 17, PM 17.2, I-1:The effort by the WA DNR with the Friends of the Capitol Forest by attending
bi-monthly meetings with user groups and discussing timber sale activities such as the McClane Creek
Centennial Demo Forest is an excellent example of working with the public in educational opportunities and
effort to promote forestry.
NP-Objective 4, PM 4.1, I-3: The South Puget Sound Region and Agency should be commended for
development of the Modified Dispersal Habitat Strategy which has been approved by the Services as a
revision to DNR’s HCP. Implementation of this change will result in increased functional dispersal habitat and
contribute to northern spotted owl requirements for roosting and foraging as well. Implementation of the
change also benefits the trust through the recovery of additional timber volume.
BVC auditors found WA DNR Lislie Sayers, Program Implementation Lead, Forest Certification and Allen
Estep, Program Lead, PSF/Certification to be very effective in managing the SFI program and preparing the
field audit schedule and packets. The WA DNR staff is very knowledgeable of forest management operations
and all field files were complete. The auditors continue to be impressed with the WA DNR’s vision for
landscape planning and willingness to cooperate and collaborate with other stakeholders to implement
management strategies to improve habitat.
A new surveillance schedule for the new 2010-2014 Standard was prepared and submitted to Bureau Veritas
-4- Bureau Veritas Certification SFI 2005 :2009- Audit Report - Rev. 4 – June - 08
Certification. The SFI 2010-2014 Standard takes effect on Jan. 1, 2010.
Logo and label use were reviewed and Washington State Department of Natural Resources does not use the
Bureau Veritas Certification logo.
A review of the SFI, Inc. website provided evidence that the previous audit of the Washington State
Department of Natural Resources SFI forest management program was submitted and posted as required for
public notification.
The Washington State Department of Natural Resources continues to meet the SFI requirements and has
effectively implemented the SFI 2010-2014 Standard in their forestry operations. Bureau Veritas recommends
continued certification.
PLEASE SEE SF 61 AND FIELD FORMS FOR AUDIT NOTES
-5- Bureau Veritas Certification SFI 2005 :2009- Audit Report - Rev. 4 – June - 08
Summary of Audit Findings:
Audit Date(s):
From: June 2, 2010
To: June 15, 2010
Number of SF02’s Raised:
Major:
0
Minor:
1
Is a follow up visit required:
Yes
No
X
Date(s) of follow up visit:
Follow-up visit remarks:
Team Leader Recommendation:
Corrective Action Plan (s) Accepted
Yes
X
No
Date:
August 8, 2010
Proceed to/Continue Certification
Yes
X
No
Date:
August 9, 2010
All NCR’s Cleared
Yes
X
No
Date:
August 8, 2010
Standard audit conducted against:
1)
SFI 2010:2014
3)
2)
4)
Team Leader (1):
Team Members (2, 3, 4…)
Gregory Bassler
2) Vincent Corrao
3) James Rochelle (Technical Expert)
4)
5)
Scope of Supply: (scope statement must be verified and appear in the space below)
Washington State Department of Natural Resource’s forest management operations in Western and
Eastern Washington.
Accreditation's
ANAB
Number of Certificates
Proposed Date for Next Audit Event
Date
June 2011
Audit Report Distribution
Client: WA DNR-Lislie Sayers, Program Implementation Lead, Forest Certification,
lislie.sayers@dnr.wa.gov
BVC – Customer Service Representative – Roshawnda Ward, roshawnda.ward@us.bureauveritas.com
-6- Bureau Veritas Certification SFI 2005 :2009- Audit Report - Rev. 4 – June - 08
Clause
Audit Report
Opening
Meeting
Participants:
Discussions:
Lislie Sayers, Ecosystem Services Section, Program Implementation Lead, Forest
Certification; Allen Estep, Ecosystem Services Section, Program Lead,
PSF/Certification; Jed Herman, Division Manager; Tami Miketa, Assistant Division
Manager, Ecosystem Services Section; Jeff DeBell, Assistant Division Manager,
Silviculture and Bob Aulds, Silviculture Specialist; Greg Bassler, Team Lead Auditor
and Vincent Corrao, Team Auditor were in attendance.
Introductions
Scope of the audit
Audit schedule/plan
Nonconformance types – Major / Minor
Review of previous non-conformances - 0.
Process approach to auditing and audit sampling
Confidentiality agreement
Termination of the audit
Appeals process
Closing meeting timing
Closing
Meeting
Participants:
Discussions:
Lislie Sayers, Ecosystem Services Section, Program Implementation Lead, Forest
Certification; Allen Estep, Ecosystem Services Section, Program Lead,
PSF/Certification; Jed Herman, Division Manager; Tami Miketa, Assistant Division
Manager, Ecosystem Services Section; Mark Thibo, Assistant Region Manager and
Gregory Bassler, Lead Auditor participated in the conference call.
Introductions and appreciation for selecting Bureau Veritas Certification.
Review of audit process - process approach and sampling.
Review of OFIs and System Strengths
Non-conformances - 1
Date for next audit.
Reporting protocol and timing
-7- Bureau Veritas Certification SFI 2005 :2009- Audit Report - Rev. 4 – June - 08
SF02/NA NONCONFORMITY REPORT
Company Name and Site:
SF02#:
Washington State Department of Natural Resources
01
Contract #:
Department / Process:
Team Leader:
US.0740986
Department of Natural Resources
Jed Herman
Date:
Standard and Clause #:
Team Member:
June 4, 2010
SFI 2010:2014, Objective 2, PM 2.3, I-4
Gregory Bassler
Major
Minor
Other Documents (if applicable):
Company Representative:
X
Lislie Sayers
REQUIREMENT OF AUDITED STANDARD:
Post-harvest conditions conducive to maintaining site productivity.
OBSERVED NONCONFORMITY:
Excessive rutting was observed on the Crestview U4 active timber sale. Multiple skid trails with excessive
rutting were not in compliance with the Section H-014 Skid Trail Requirements of the Logging Agreement 30-
082089.
ROOT CAUSE ANALYSIS AND CORRECTIVE ACTION PLAN
(To be completed by the Company. Plan to be submitted in 30 days)
Corrective Action Plan
Date:
July 4, 2010
Company Representative:
Lislie Sayers
Root Cause Analysis and Corrective Action
-8- Bureau Veritas Certification SFI 2005 :2009- Audit Report - Rev. 4 – June - 08
Root Cause: Contract Communication/Compliance:
Contract clause H-014(g) states: Purchaser will suspend operations during periods of wet weather when rutting occurs. Excessive soil
damage is not permitted on the skid trial. Skid trail damage is considered excessive when more than 10 percent of the active trail has ruts
over 4 inches in depth.
1. As indicated in the compliance diary, the Purchaser/Operator did suspend yarding operations on June 2
nd
due to wet weather
conditions and mud in the skid trial, but not until after excessive rutting occurred from operations that day. Therefore, the
Purchaser/Operator did not stop operations in a timely manner in order to prevent excessive rutting.
2. Contract Administrator communications with the Purchaser/Operator did not reinforce yarding shutdown requirements outlined
in the contract nor give good guidance for wet weather and soil conditions.
3. Excessive rutting occurred on a skid trial that was designed as an optional road in the road plan. The road plan recognized a soil
type change in the location where the portion of the constructed road stopped and the skid trial began; requiring culvert
placement to ensure drainage to occur following natural functions. However, the Purchaser/Operator chose to not build the road
beyond the point where a culvert would be required; using that portion of the road as a skid trail. Ultimately approximately
3,100 out of 3,516 feet of optional road (6-8B Rd.) in this area was constructed. Skidding in this location occurred until the
Purchaser/Operator shut down yarding operations on June 2
nd
, but not before excessive rutting occurred.
Corrective Action Plan: IMMEDIATE IMPLEMENTATON:
This section outlines immediate actions to take place within South Puget Sound Region to deal with the non-conformance issued.
Although this document is intended to be DNR’s plan, to be approved by the auditor, it was necessary in most cases to take immediate
action in order to prevent continual damage from occurring. Therefore, most of the corrective actions listed in this section have been
completed. Documentation to comply with the corrective actions listed below will be provided to the SFI audit team after approval of the
plan has been accepted by the lead auditor and within the 90-day requirement.
Operations:
1. Cutting and yarding operations will be shut down until the skid trail is repaired; attending to the drainage problem. The
Purchaser/Operator will be required to create ditch outs on the skid trail to establish proper drainage. COMPLETED
2. Cutting and yarding operations will not proceed until a plan is developed by the Purchaser/Operator and approved by the
Contract Administrator on how the remaining timber will be removed from the site. COMPLETED
Contract Administrator Communication:
3. The Contract Administrator and Purchaser/Operator will discuss contract clause expectations related to excessive rutting;
reviewing the responsibility of the Purchaser/Operator to voluntarily stop operations during periods of wet weather when
rutting occurs. COMPLETED
4. The Contract Administrator will address the provisions outlined in contract clause G-210 (violation of contract) with the
Purchaser/Operator; informing the Purchaser/Operator of the consequences of violating the skid trail requirements outlined in
the contract (i.e.: suspending operations). COMPLETED
5. The importance of communication links between the Contract Administrator and the Purchaser/Operator should also be stressed
to the Purchaser/Operator. COMPLETED
Training:
6. South Puget Sound Region will conduct Purchaser/Operator equipment training related to the use of skid trails; reviewing soil
conditions that could lead to excessive rutting and how to prevent this situation from happening in the future. COMPLETED
Corrective Action Plan: EVALUATING PREVENTATIVE MEASURES:
This section outlines evaluating ways to prevent this issue from happening in the future. The responsibility of evaluating each correction
action listed below will be assigned appropriately to Region or Division staff. An evaluation of the items listed below will be provided to
the audit team within the 90-day requirement outlining recommendations and implementation timelines, if appropriate.
Pre-Sales:
7. Evaluate the adequacy of road guidance and timber sale contact clauses being provided in the planning phase to ensure that
requirement, location and layout of roads are appropriately being considered to address drainage issues properly (i.e.: 2010
Forest Roads Guide section 3.1.30, timber sale contract clauses H-013, H-014, H-060); considering wet or sensitive soils and
additional protection measures for roads and skid trails. COMPLETED
8. Evaluate updating the Pre-Work Conference Checklist; determining the advantage of adding the review of skid trail contract
requirements during the Pre-Work Conference Checklist. This checklist is reviewed by the Contract Administrator and the
Purchaser/Operator prior to the start of harvesting operations. COMPLETED
Training:
9. Evaluate ways to re-establish and/or implement Pre-Sales, Contract Administrator, and/or Roads Manual training statewide;
addressing the importance of road requirements and communication between the Contract Administrator and the
Purchaser/Operator. COMPLETED
10. Evaluate adding a required timber sales contract clause; requiring Purchasers/Operators to adhere to the logger training
requirements outlined within the SFI® 2010-2014 Standard. COMPLETED
ROOT CAUSE AND CORRECTIVE ACTION PLAN ACCEPTANCE REPORT
(To be completed by Bureau Veritas Certification – Verify effective identification of Root Cause and acceptance of
Corrective Action Plan)
-9- Bureau Veritas Certification SFI 2005 :2009- Audit Report - Rev. 4 – June - 08
Root Cause:
Corrective Action Plan:
Plan Accepted:
Yes
X
No
Comments:
Auditor:
Date:
August 8, 2010
CORRECTIVE ACTION IMPLEMENTATION
(To be completed by Company – Provide objective evidence. Must be completed within 90 days from the last day of the
audit)
Corrective Action Completion
Date:
August 24,2010
Company
Representative:
Lislie Sayers
Corrective Action Implementation: The corrective action implementation was verified by reviewing documents and records
(Meeting Notes, memo’s, e-mails, letters, maps and training records) provided by the WADNR. The WADNR took the
non-conformance very seriously and prepared and effectively implemented a good corrective action plan.
CORRECTIVE ACTION IMPLEMENTATION ACCEPTANCE REPORT
(To be completed by Bureau Veritas Certification – Acceptance of Corrective Action taken)
Accepted:
Yes
X
No
Nonconformance Downgraded:
Yes
X
No
Follow Up Comments:
WA DNR responded quickly and effectively to address the NCR.
Auditor:
Date:
August 24, 2010
-10- Bureau Veritas Certification SFI 2005 :2009- Audit Report - Rev. 4 – June - 08
Audit Schedule
Surveillance
Date: June 2, 2010 WA DNR Headquarters in Olympia, WA
Time
Activity
BVC Repr.
Company Repr.
10:00
AM
Opening Meeting at DNR Headquarters in
Olympia
Greg Bassler
Vincent Corrao
Lislie Sayers
Allen Estep
10:30
AM
Document Review Objectives 1 and 20
Noon
Lunch
1:15
PM
Complete document review new indicators
2:30
PM
Review site selection and audit plan
3:00
PM
Debrief on document review
3:15
PM
Depart auditors for next days audit sites
Date: June 3, 2010 Pacific Cascade Regional Office
Time
Activity
BVC Repr.
Company Repr.
7:00
AM
Opening Meeting at field audit
Greg Bassler
Vincent Corrao
Lislie Sayers
Allen Estep
8:00
AM
Begin field audit and visit sites
3:30
PM
Conclude field audit and debrief
3:45
PM
Depart site
Date: June 4, 2010 South Puget Sound Regional Office
Time
Activity
BVC Repr.
Company Repr.
7:00
AM
Opening Meeting for field audit
Greg Bassler,
Vincent Corrao
Jim Rochelle
Lislie Sayers
Allen Estep
8:00
AM
Begin field audit and visit sites
3:30
PM
Conclude field audit and debrief
4:00
PM
Depart Site
Date: June 15, 2010
Time
Activity
BVC Repr.
Company Repr.
1:30
PM
Closing Meeting - Conference call
Gregory
Bassler
Lislie Sayers
Allen Estep
2:30
PM
Conclude conference call
