Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
Opportunities for Improvement; Practices that Exceed Expectations; and Auditor Notes
Appendix B: Page 1 of 27 (following page 38 in report)
Abbreviations: 28.XX: Wisconsin Public Forest Statutes Chapter 28, Subsection XX
NRAR: Natural Resources Administrative Rule MP: Management Plan
Opportunities for Improvement:
1.There is an opportunity to improve the Implementation and monitoring of Criteria and Indicators for
sustainable forestry. 4.1.1.1.1
2.There is an opportunity to improve the timeliness of inventory updates in the recon system.(4.1.1.1.4 CI 4)
3.There is an opportunity to improve chemical training for DNR responsible person, not just for the
contracted applicator. (4.1.2.1.3 CI 8 Designated state-trained or certified applicators supervise forest
chemical applications.)
4.There is an opportunity to improve BMP implementation and to clarify criteria for “excessive” rutting.
(4.1.2.1.4 CI 7 “criteria … to protect soil productivity”) and (4.1.3.1.2 CI 4 non-forested wetlands).
5.There is a concern about the backlog of untreated stands which could lead to health problems. (4.1.2.1.5
CI 2)
6. There is an opportunity to clarify the policy for use of genetically improved trees (4.1.2.1.6 CI 1)
7. There is an opportunity to improve record-keeping for training sessions to include all forms of training
relevant to the SFI. For example, annual forestry meetings include training sessions that do not appear on
training records. (4.1.3.1.1 CI 2) There is also a need for SFI-specific training.(4.2.1.1.5 CI 3)
8.There is an opportunity to clarify policy to encourage logger BMP training & document such training, to
better document WI DNR training records, and to address frequency of training. (4.1.3.1.4 CI 1 and 2)
9.There is an opportunity to improve quantitative guidelines for stand level retention to ensure more
consistent implementation. (4.1.4.1.1 CI 5)
10. There is an opportunity to improve training or education for field personnel in endangered species
identification and protection and in identifying and conserving rare and unique biological communities.
(4.1.4.1.1 CI 4 and 4.1.4.1.3 CI 2) and in identification of culturally or historically significant sites
(4.1.6.1.1 CI 3)
11. There is an opportunity to improve the precision of the process for calculating the average size of
clearcuts. (4.1.5.1.2 CI 3) There is an opportunity to clarify the policy of not placing clearcuts adjacent
unless already “green” meaning 3 years old or 5 feet high. (4.1.5.1.3 CI 1)
12. There is an opportunity to maintain a list of trained or otherwise qualified loggers and make this list
available to landowners. 4.2.1.1.4 CI 2
13. There is an opportunity to improve the use of regeneration targets for all types. (4.1.2.1.1 CI 3)
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 2 of 27 (following page 38
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SFIS Certification Audit Matrix
NSF-ISR auditors shall use this SFIS Certification Audit Matrix to record their findings for each SFIS Performance Measures and Core Indicator. Where a major or minor
non-conformance is found, the auditor shall fully document the reasons for the nonconformity on the Corrective Action Request (CAR) form. If the Performance Measure
does not apply, place (N/A) in the appropriate Auditor Note section.
Objective 1: Broaden the implementation of sustainable forestry by employing an array of economically, environmentally and socially sound practices in the
conservation of forests including appropriate protection, growth, harvest and use of those forests using the best scientific information available.
Criteria Auditor Notes FC EXR Maj Min OFI
4.1.1.1.1 Program Participants shall have policies to implement
and achieve the Sustainable Forestry Standard
Principles and Objectives.
X
CI 1 A written policy for implementing and achieving SFIS
Objectives and Performance Measures.
Reviewed Wisconsin 2003 Assembly Joint
Resolution of support for sustainable forestry, SFI
& FSC. Reviewed Wisconsin Statute 28.04 a legal
mandate for sustainable forestry. Neither provides
the needed SFI-specific policy.
X
CI 2 A long-term resource analysis to guide forest management
planning at a level appropriate to the size and scale of the
operation, including:
a. a periodic or ongoing forest inventory;
b. a land classification system;
c. soils inventory and maps, where available;
d. access to growth and yield modeling capabilities;
e. up-to-date maps or a Geographic Information System (GIS);
f. recommended sustainable harvest levels; and
g. a review of non-timber issues (e.g., including pilot projects
and economic incentive programs to promote water
protection, carbon storage, or biological diversity
conservation).
Confirmed the existence of the required analysis by
reviewing management plans & Forest Inventory
Recon system. System tracks stand data on forest
products, types, soils, habitat, management
objective, & prescriptions. This method of
determining allowable harvest levels uses area
control based on recommended rotation length in
the silviculture manual. Age and Basal Area are
used to grow stands forward. Thinning and harvest
defaults can be adjusted by each forest. Other
Documents Reviewed:
Silvicultural & Aesthetics Handbook;
Natural community classification system;
Regional Ecological Assessments
X
CI 3 Staff roles and responsibilities for achieving SFIS
Objectives are assigned and fully understood.
There are no SFI-specific assignments.
X
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 3 of 27 (following page 38
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Criteria Auditor Notes FC EXR Maj Min OFI
CI 4 Access to relevant laws and regulations in appropriate
locations.
Confirmed that printed copies of regulations are
maintained at BRSF office, and Intranet available.
Confirmed intranet access at Madison office.
X
Other Indicators June 1999 WI Northern Forest State Assessments:
Sustainable Forestry provides Criteria and
Indicators for sustainable forestry.
OFI: Implement and monitor these C&I.
X X
4.1.1.1.2 Program Participants shall (individually, through
cooperative efforts or through associations) provide
funding for forest research to improve the health,
productivity and management of all forests.
X
CI 1 Current financial or in-kind support of research to address
forest health and productivity.
Reviewed “Final 2003-2005 Biennial Budget
Summary” which shows substantial support for
science, management, and research, although
declining slightly from 2002 base. Reviewed
documentation of old-growth research at FRSF.
X
Other Indicators
4.1.1.1.3 Program Participants shall provide recreation and
education opportunities for the public where they are
consistent with their forest management objectives.
X X
CI 1 Written policy describing public recreation and education
efforts, consistent with forest management objectives.
Confirmed that WI Statutes 28.04 include this
policy and confirmed NR45 (administrative rules)
Reviewed recreation maps and recreation portions
of plans, confirming that all plans include rec.
X X
Other Indicators
WI DNR Forestry Publications distribution statistics
(CD) reviewed - 152 different pubs
WI Northern Forest State Assessments: Recreation
Supply & Demand; Env. Ed & Awareness reviewed
programs on SFs & as part of Master Planning process.
Improvements recommend. Field Observations of
Recreation Programs and various maps/brochures
verified, such as “Black River State Forest Campground
Maps and Information. Examples of Public Outreach &
Involvement for all four forests.
X X
4.1.1.1.4 Program Participants shall ensure that long-term
harvest levels are sustainable and consistent with
appropriate growth and yield models and written plans.
X
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 4 of 27 (following page 38
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Criteria Auditor Notes FC EXR Maj Min OFI
CI 1 Recommended sustainable harvest levels. Reviewed summary tables & Master Plans. Use
allowable harvest based on area control – acres of
each type to be cut each year. Mgmt Plans provide
calculated maximum (also see notes for 41111).
X
CI 2 Documentation of annual harvest trends in relation to
sustainable forest management plan.
Reviewed summary tables provided
Annual harvest trend information is based on the
recon computer system and associated data from
Form 2460. Confirmed accuracy of 2460 forms
through observations on inspected timber sales.
X
CI 3 A forest inventory system and a method to calculate
growth.
State-wide Forest Inventory &Analysis is used to
calculate growth and yield by cover type. This
rolling forest inventory system does not easily
provide current aggregated volume information (by
forest). Forest inventory system and stand
projections oriented towards silvicultural
conditions, not products.
WI-DNR has requested several times increased
funding for CFI, but legislature has not funded.
X
CI 4 Periodic updates of inventory and recalculation of planned
harvests.
Recon surveys are updated prior to and following
harvest, with some work done on stands not being
treated. Thus some information can be over 10
years old. Linked to site classification system-
growth and yield information. Recon system is
updated regularly and allowable harvest
recalculated annually. BRSF documents a case of
changing harvest levels in response to damage,
salvage, and then re-adjustment period.
OFI: Improve the timeliness of inventory updates.
X X
CI 5 Documentation of forest practices (e.g., planting,
fertilization, thinning, etc.), consistent with assumptions in
harvest plans.
Reviewed chart providing area of thinnings.
Confirmed records of planting and chemical
release and observed results. Confirmed thinning/
partial harvests. No other intensive practices are
applied.
X
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 5 of 27 (following page 38
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Objective 2: Ensure long-term forest productivity and conservation of forest resources through prompt reforestation, soil conservation, afforestation and other
measures.
Criteria Auditor Notes FC EXR Maj Min OFI
4.1.2.1.1 Program Participants shall reforest after final harvest by
planting or direct seeding within two years or two
planting seasons, or by planned natural regeneration
methods within five years.
Exceptional attention paid to ensuring timely and
appropriate regeneration following all final harvests.
X X
CI 1 Written policy specifying the time frame for reforestation.
“NR Adm Code 1.24” does NOT specify this policy
2210 Silviculture & Forest Aesthetics Handbook has
procedures for regeneration harvests and for surveying
regeneration, but not for time frame.
X
CI 2 Designation of all management units for either natural or
artificial regeneration.
Confirmed on narrative portion of 2460 Form “Harvest
Plan Timbersale Notice” for all sites visited.
X
CI 3 Clear criteria to judge adequate regeneration and
appropriate actions to correct under-stocked areas.
Reviewed 2210 Silviculture & Forest Aesthetics Handbook
and confirmed that such criteria exist for all major (Oak,
Pine, Aspen) but not all (Hemlock-Hardwood) types.
Confirmed that system (Forest recon system, prescription,
and habitat type) is quite robust.
OFI: Include regeneration targets for all types
X X
CI 4 Compliance with applicable state laws and regulations
mandating successful reforestation.
Confirmed by field observations at all
regeneration sites visited. Also verified system of
regeneration monitoring and documentation of
site preparation and planting practices.
X X
CI 5 Plantings of exotic tree species are minimized. No exotics are planted. Confirmed by field observations at
all sites visited, by review of seedling order forms, and by
review of “Nursery Tree Distribution / Tree Planting
Report 2002”.
X X
CI 6 Research documentation is available that exotic tree
species, planted operationally, pose minimal risk.
No exotics are planted.
NA
CI 7 Protection of desirable or planned advanced natural
regeneration during harvest.
Confirmed by field observations at all sites visited
where natural regeneration existed.
Reviewed forms for each timber sale for residual
stem damage. Few instances of damage recorded.
X
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 6 of 27 (following page 38
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Criteria Auditor Notes FC EXR Maj Min OFI
Other Indicators
4.1.2.1.2 Program Participants shall promote state-level reporting
of overall rates of reforestation success & afforestation.
X
CI 1 A system to accurately report reforestation information for
the SFI annual report and, where applicable, State
Implementation Committee (SCI) reports.
2460 Form “Harvest Plan Timbersale Notice”,
Plantation reports, and recon system provide such a system.
Accomplishment reporting system reviewed in Jeff
Barkley’s office 10-17-03 (excel).
Last 5 years activity report obtained and reviewed.
X
Other Indicators
4.1.2.1.3 Program Participants shall minimize chemical use
required to achieve management objectives while
protecting employees, neighbors, the public and the
forest environment.
X
CI 1 Written policy for the appropriate application and handling
of forest chemicals, including legal compliance, storage,
transport, spills, drift, signage, public notification and
information, restriction of access and retention of records.
Reviewed manual codes: 4221.1 Use and Storage of
Hazardous Materials; 4230.1 Pesticide Use and Storage;
4831.1 Hazardous Waste Disposal and confirmed that
policies are in place. Reviewed WI Environmental
Protection Act and AR NR50. Reviewed records.
X
CI 2 Minimize chemical use required to achieve management
objectives.
Interviewed Jane Cummings Carlson, Forest Health
Specialist: confirmed consultations for pest management
prescriptions. Reviewed Actual volumes of chemical use
shown on “Plantation and Cultural Report” and at NHAL.
Over the last three years, the Southern Kettle Moraine State
Forest has used Glyphomax Plus exclusively in it's use
areas and extensive areas for the control of unwanted
vegetation. Small quantities were used at KMSF: “We
used 15 gallons in 2001; 7.5 gallons in 2002 and 15 gallons
in 2003.”
X
CI 3 Use of narrowest spectrum and least toxic pesticides
necessary to achieve management objective.
Interviewed Jane Cummings Carlson, Forest Health
Specialist: Other than herbicides, forests chemicals rarely
used: for gypsy moth use: BTK, Gypcheck (viral) which
are low toxicity and generally narrow
X
CI 4 Use of Integrated Pest Management where feasible.
Interviewed Jane Cummings Carlson, Forest Health
Specialist. Confirmed extensive forest health program 8.5
FTEs. Reviewed Silviculture Handbook “Pest Management
Guidelines for White Pine” confirming IPM approach
X
CI 5 System to achieve continuing compliance with applicable
regulatory requirements.
Reviewed herbicide contract and documentation for all
aspects of chemical program. Foresters training, chain-of-
command, and all indicators collectively comprise a
compliance system.
X
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 7 of 27 (following page 38
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Criteria
Auditor Notes
FC EXR Maj Min OFI
CI 6 Available regulatory action information demonstrates a
commitment to legal compliance.
Confirmed by telephone interview with David Fredrickson,
Director of Investigation and Compliance Department of
Agriculture Trade and Consumer Protection that there are
no violations or complaints against WI DNR on the state
forest system.
X
CI 7 All persons involved in forest chemical application are
required to have appropriate training.
Reviewed training records (see below), and cross-checked
training record database against individual records. Some
training is not tracked.
Some foresters who only use general use pesticides are not
maintaining certificates. Contractors trained.
X
CI 8 Designated state-trained or certified applicators supervise
forest chemical applications.
Reviewed training records (all must be state certified)
CD:\Training\Pesticide_training_Q201SCR2.pdf
applicators for general use not maintaining certificates.
OFI: Up-to-date Chemical Training for DNR responsible
person, not just for the contracted applicator.
X X
CI 9 Relevant copies of state and federal laws for forest
chemical use are accessible at appropriate locations.
Confirmed information binders and intranet availability at
KMSF, BRSF, and NHAL.
X
CI 10 Participation in research projects to:
a. increase efficiency;
b. reduce chemical use rates; and
c. apply Integrated Pest Management where feasible.
NHAL trial to reduce use of chemicals for Saratoga
spittlebug. CD:\intranet\Loosestrife.htm -Purple
Loosestrife Biological Control Program rearing
Gallerucella beetles
X
CI 11
Chemicals applied using Best Management Practices appropriate
to the situation; for example:
a. compliance with label instructions and requirements;
b. adjoining landowners or nearby residents notified of
applications and chemicals used;
c. appropriate multi-lingual signs or oral warnings used;
d. public road access controlled during and after applications;
e. streamside & other needed buffer strips appropriately des.;
f. positive shut-off and minimal drift spray valves used;
g. drift minimized by aerially applying forest chemicals
parallel to buffer zones;
h. water quality monitored or other methods used to assure
proper equipment use and stream protection;
i. granular formulations & spot/strip applications used
appropriately; j. chemicals stored at appropriate locations,
or ; k. state reports filed as required.
Attempted Phone interview with contractors
Reviewed chemical application contracts
X
Other Indicators
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 8 of 27 (following page 38
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Criteria Auditor Notes FC EXR Maj Min OFI
4.1.2.1.4 Program Participants shall implement management
practices to protect and maintain forest and soil
productivity.
X
CI 1 Written policy to protect and maintain forest and soil
productivity.
Confirmed that WI Statutes 28.04 include this policy. State
developed comprehensive BMPs. Policies exist for
training and monitoring.
X
CI 2 Soils maps used where available.
Confirmed by reviewing state forests master plans and
habitat type maps and by interviewing field foresters, who
were knowledgeable about soils, habitat types, and their
use in soil protection. Also interviews with local foresters.
X
CI 3 A process to identify soils vulnerable to compaction and
use appropriate methods to avoid excessive soil
disturbance.
Habitat type maps are available. Form 2460 often includes
dry season or winter logging designation
Interviewed field foresters about use of soils information to
avoid excessive soil disturbance.
X
CI 4 Use of erosion control measures to minimize the loss of soil
and site productivity.
Field Observations indicated that a range of measures were
used, including timing, design, slash mats, and BMPs.
BMP’s not applied in all cases. Road maintenance and
drainage BMPs are not consistently applied.
X
CI 5 Field observations indicate that post harvest conditions are
conducive to maintaining site productivity (e.g., limited
rutting, retained down woody debris, minimized skid trails).
Field Observations at most sites visited generally retained
well distributed down woody debris, and very limited
rutting (two sites). Whole-tree harvest sites little down
woody debris.
X
CI 6 Field observations indicate that, where practicing partial
harvesting, vigorous trees are retained consistent with
silvicultural norms for the area.
Field Observations at all sites visited showed that vigorous
trees retained consistent with recommended silvicultural
practices guidelines. Marked sales visited further
confirmed that the best quality and most vigorous trees are
retained and the least healthy trees removed.
X X
CI 7 Criteria to address harvesting and site preparation to protect
soil productivity in place.
BMPs used as guide, but very general. Clear criteria
needed. All timber sale contracts reviewed allow foresters
to stop jobs, and documentation confirmed that this does
occur. OFI: Criteria lacking to define “excessive” rutting.
X X
CI 8 Road construction is kept to the minimum necessary to
meet management objectives efficiently.
Temporary forest logging roads not systematically
mapped. State road maintenance contracted with local
highway dept. already well roaded, they do reopen old
roads, rough balance of new building and road
abandonment.
X
Other Indicators
CD:\Research\Status of State Nursery Program.htm
X
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 9 of 27 (following page 38
i
Criteria Auditor Notes FC EXR Maj Min OFI
4.1.2.1.5 Program Participants shall manage so as to protect
forests from damaging agents such as wildfire, pests
and diseases to maintain and improve long-term forest
health, productivity and economic viability.
X
CI 1 Written policy to protect forests from damaging agents.
Confirmed that Chapter 26.30 of Wisconsin state statutes
provide such a policy.
X
CI 2 Forests managed in a healthy and productive condition to
minimize susceptibility to damaging agents.
Field Observations at all sites visited showed that
vigorous trees retained consistent with recommended
silvicultural practices guidelines. Reviewed “2002
forest health condition” annual report and Silviculture
Handbook. OFI: Backlog of untreated stands is
increasing, and could lead to health problems.
X X
CI 3 Participation in, and support of, fire and pest prevention
and control programs.
Interviewed Jane Cummings Carlson, Forest Health
Supervisor. Reviewed “Insects And Pathogens Affecting
Forests On The NHAL State Forests-A Summary Of
Historical Data And A Look To The Future”. 2002 Budget
for Fire Control & Prevention $7,087,000. WI DNR is the
lead agency for fire in Wisconsin.
X
Other Indicators
4.1.2.1.6 Program Participants that utilize genetically improved
seedlings, including those derived through
biotechnology, shall use sound scientific methods and
follow all appropriate federal and state regulations and
other internationally applicable protocols.
X
CI 1 Written policy for appropriate research, testing, evaluation
and deployment of genetically improved seedlings.
Reviewed WI forest and tree improvement plan and 2002
Annual Report, which describes seed zone approach and
general tree improvement approaches.
OFI: clarify policy to reflect SFI requirements
X X
CI 2 All applicable federal and state regulations and
international protocols followed for research and
deployment of trees derived from genetic tree improvement
and biotechnology.
None currently exist.
X
Other Indicators
Seed zones used.
X
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 10 of 27 (following page 38
Objective 3: Protect the water quality in streams, lakes and other waterbodies.
Criteria Auditor Notes FC EXR Maj Min OFI
4.1.3.1.1 Program Participants shall meet or exceed Best
Management Practices developed under Environmental
Protection Agency (EPA)-approved state water quality
programs and meet or exceed all applicable state water
quality laws and regulations and the requirements of
the federal Clean Water Act.
At one site lack of road surface or drainage, and lack of
road maintenance (BMP’s) led to erosion from road and
sedimentation into a wetland.
X
C1 1 Written policy to implement state BMPs during all phases
of management activities.
No specific policy mentioning BMP implementation for all
phases (WI Statutes 28.04 does NOT include this policy).
Chapter 20 of Timber Sale Handbook refers to timber sales.
X
CI 2 Field staff and contractors trained in water quality laws and
state BMPs.
Reviewed training records (see below), and cross-checked
training record database against individual records. Some
training is not tracked., for example 1994 BMP training done
within the department. Most contractors are trained, but field
loggers had mixed degree of knowledge of BMPs.
OFI: Improve the completeness & retention of training records.
X X
CI 3 A system to achieve continuing compliance with applicable
regulatory requirements.
System: training-timbersale prescriptions-contracts-
inspections-closeout. First-line supervisors approve of all key
phases. Interdisciplinary review includes fisheries, wildlife
specialists. If warranted then they go to the Water Resources
Regulation & Zoning for review.
X
CI 4 Available regulatory action information demonstrates a
commitment to legal compliance.
Interviewed wetlands regulators: Cathy Kramesz, DNR
Wetlands confirmed compliance (KMNU is in her area). Jane
Wade confirmed at NHAL.
X
CI 5 Contract provisions specify BMP compliance.
Reviewed contract at each site, and BMP provisions are
included in all recent contracts under Item 17f.
X
CI 6 Plans are in place to address wet weather events (e.g.,
inventory systems, wet weather tracts, defining acceptable
operational conditions, etc.).
Field Observations confirmed that wet weather events are
managed. Reviewed individual 2460 forms and contracts and
confirmed provisions for operating when ground is frozen or
dry. TS inspection reports often included instructions to move
to drier places or put down tops.
X
CI 7 Monitoring of overall BMP implementation. Reviewed two documents that report on BMP
monitoring: “The 2002 State-wide BMP Monitoring
Report, Wisconsin’s Forestry BMPs for Water Quality”;
“The 1995-1997 BMP Monitoring Report”. Both reports
indicate good to excellent BMP conformance and
effectiveness. Discussed with WIDNR that they are currently
contracting for review of 28 state timbersales.
X
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 11 of 27 (following page 38
Criteria Auditor Notes FC EXR Maj Min OFI
Other Indicators
4.1.3.1.2 Program Participant shall develop (where they do not
currently exist), implement and document riparian
protection measures based on soil type, terrain,
vegetation and other applicable factors.
WI State Forests exceed BMPs for riparian zones.
X X
CI 1 Written policy addressing management and protection of
waterbody and riparian zones.
Confirmed that WI Statutes 28.04 include this policy.
Reviewed individual SF master plans and confirmed
management & protection policies. Strong BMPs and
shoreland zoning policy (NR 115) confirmed.
X
CI 2 Perennial streams, lakes and other riparian zones mapped
as specified in state BMPs and, where appropriate,
identified on the ground.
Confirmed GIS layer for these features in Madison.
Confirmed in Field at TS sites RMZ paint or flagging, except
where not needed because all trees to be cut were marked and
the wetlands boundary clear (large, treeless areas).
X
CI 3 Field observations indicate that waterbody and riparian
zone management and protection plans are implemented.
Field Observations at all sites visited indicated that BMPs and
other protections normally implemented.
X
CI 4 Non-forested wetlands, including bogs, fens, vernal pools
and marshes of significant size, are identified and
protected.
Non-forested wetlands identified in Master Plans, and BMPs
require protection. Most, but not all, are marked on maps or
ground. At one site visited there was logging slash and minor
rutting within a small (0.1 acre) non-forested wetland.
winter road crossings are allowed. OFI: There is an
opportunity to improve implementation in this area.
X X
CI 5 A system in place to achieve continuing compliance with
applicable regulatory requirements.
System: training-timbersale prescriptions-contracts-
inspections-closeout. First-line supervisors approve of all key
phases.
X
CI 6 Available regulatory action information demonstrates a
commitment to legal compliance.
Interviewed wetlands regulators: Cathy Kramesz, DNR
Wetlands confirmed compliance (KMNU is in her area).
Wetlands regulators at BRSF also confirmed.
X
CI 7 Where regulations or BMPs do not currently exist to protect
riparian areas, experts are involved in identifying
appropriate protection measures.
These do exist.
NA
Other Indicators
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 12 of 27 (following page 38
Criteria Auditor Notes FC EXR Maj Min OFI
4.1.3.1.3 Program Participants shall, individually, through
cooperative efforts, or through AF&PA, provide
funding for water quality research.
X
CI 1 Current financial or in-kind support for research.
Confirmed extensive support for research by State of
Wisconsin university system, with some direct funding by WI
“The 2002 State-wide BMP Monitoring Report, Wisconsin’s
Forestry BMPs for Water Quality” and confirmed participation
by WI DNR in cooperative research and pilot project of USFS
by observing work in field and interviewing a monitoring team
on the FRSF.
X
Other Indicators
BMP Implementation and Effectiveness Research.
X
4.1.3.1.4 Program Participants shall require BMP training for
employees in forest management and wood procurement
operations and shall encourage training for forest
management and harvesting contractors.
X
CI 1 Written policy to train those employees and operators
responsible for implementing BMPs to protect water
quality.
OFI: Clarify policy to encourage training for harvesting
contractors.
X X
CI 2 BMP training sessions for employees are required and
documented and similar sessions are encouraged and
documented for contractors.
Reviewed Training records to confirm BMP training.
Documented training for contractors
Confirmed Waupaca BMP Training 3-33-02Curriculum,
which includes BMPs and State/Federal Regulations –
DNR Water Management Specialist Scott Koehnke
OFI: Document contractor training (some occurred in
BRSF), WI DNR training records and frequency.
X X
Other Indicators
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 13 of 27 (following page 38
Objective 4: Manage the quality and distribution of wildlife habitats and contribute to the conservation of biological diversity by developing and implementing
stand- and landscape- level measures that promote habitat diversity and the conservation of forest plants and animals including aquatic fauna.
Criteria Auditor Notes FC EXR Maj Min OFI
4.1.4.1.1 Program participants shall have policies to promote
habitat diversity at stand- and landscape- levels.
X
CI 1 Written policy to promote wildlife habitat diversity, forest
types, ecological or natural community types and the
conservation of biological diversity.
Confirmed that Wisconsin 28.04 provides a policy on
biological diversity and wildlife.
X
CI 2 Programs to protect federally listed threatened and
endangered species.
State endangered species law listing process
Interviewed Rebecca Schroeder, Bureau of Endangered
Resources. NHI Process (described below). Reviewed
new “Endangered Resources Screening Document”
X
CI 3 Plans to locate and protect known sites associated with
viable occurrences of critically imperilled and imperilled
species and communities. Plans for protection may be
developed independently or collaboratively, and may
include Program Participant management, cooperation
with other stakeholders, or use of easements, conservation
land sales, exchanges or other conservation strategies.
NHI Process: Bureau of Endangered Resources can
query the Heritage Database for G1 and G2 species and
communities. These sites are listed in the Management
Plans, and protection plans included. Most hits aquatic,
and thus well protected by riparian practices. DNR
Biologists in the regions (counties) are consulted for
location, management, & protection advice. Participate
in Karner Blue Butterfly Recovery Plan
X
CI 4 Training or education for appropriate personnel in
endangered species identification and protection, and
critically imperilled and imperilled species and
communities.
Confirmed existence of identification manuals for rare plants
and animals. Example: Wisconsin Raptors – Field
Identification Cards. Biologist have for most part been the
leaders on field work and are often leading specialists, and
informal training of other field people occurs. OFI: training.
X X
CI 5 Policy or plan that sets criteria for stand-level wildlife
habitat elements to be retained (e.g., snags, mast trees,
down woody debris, den trees, nest trees, etc.).
Review of prescriptions on field visits confirmed stand
level elements. Site specific prescriptions do exist, and
protection occurring, but little detailed guidance across
system. OFI: provide quantitative guidelines for stand
level retention to ensure consistent implementation.
X X
CI 6 System to achieve continual compliance with applicable
regulatory requirements.
Core indicators, taken collectively, comprise such a
system. Endangered Resources Screening Document is part
of the system.
X
CI 7 Available regulatory action information demonstrates a
commitment to legal compliance.
Regulators for R.T.E. species contacted. “Endangered
Resources Screening Document” leads WI DNR personnel
through a process.
X
Other Indicators
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 14 of 27 (following page 38
Criteria Auditor Notes FC EXR Maj Min OFI
4.1.4.1.2 Program participants shall, individually, through
cooperative efforts or through AF&PA, provide funding
for research to improve the science and understanding
of wildlife management at stand- or landscape- levels,
ecosystem functions and the conservation of biological
diversity.
X
CI 1 Current financial or in-kind support for direct or
cooperative research.
WI DNR provides $80,000 per year as a portion of the
base salary of Dr. David Mladenoff, UW Madison
Landscape Ecologist. In house research by Forest
Wildlife Research group and research on old growth.
Reviewed documentation of old-growth research at
FRSF (Assessing the Use of Silvicultural Techniques to
Create Old-Growth Habitat in Even-aged Northern
hardwood Stands, PI Karl Martin WI DNR Bureau of
Integrated Services, Rhinelander, WI)
X
4.1.4.1.3 Program participants shall apply knowledge gained
through research, science, technology and field
experience to manage wildlife habitat and contribute to
the conservation of biological diversity.
Assessments are applied in planning process, especially
those dealing with wildlife and biodiversity included
CROG, Biological Diversity, Regional Ecology, and
Grassland Management examples.
X X
CI 1 Collection of information on critically Imperilled and
imperilled species and communities and other biodiversity-
related data through forest inventory processes, mapping or
participation in external programs such as NatureServe,
state or provincial heritage programs or other credible
systems. Such participation may include providing non-
proprietary scientific information, time and assistance by
staff, or in-kind or direct financial support.
Interviewed Rebecca Schroeder, Bureau of Endangered
Resources to confirm that programs and personnel exist
to accomplish required tasks.
Confirmed collection of such information by querying
database through Jamelle Schlangen.
NHI database used extensively. Biotic inventory and
other assessments (see above).
X X
CI 2 Training or education for appropriate personnel in
identifying and conserving rare and unique biological
communities.
Review training agendas and list of participants.
Foresters work closely with BER and wildlife
personnel. OFI: Regular training updates for field
personnel, and better record-keeping of training.
X X
CI 3 A methodology to incorporate research results and field
applications of biodiversity and ecosystem research into
forest management decisions.
The Office of Forest Sciences provides this service.
Reviewed extraordinary number of handbooks and
guidelines: Old growth guidelines “Community
Restoration & Old Growth on the NHAL State Forest”.
Confirmed assessments and land legacy report.
X X
Other Indicators
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 15 of 27 (following page 38
Objective 5: Manage the visual impact of harvesting and other forest operations.
Criteria Auditor Notes FC EXR Maj Min OFI
4.1.5.1.1 Program Participants shall have policies to manage the
impact of harvesting on visual quality.
X X
CI 1 Written policy to address visual quality management.
Confirmed that Wisconsin 28.04 provides a policy on
aesthetics and by reviewing: NR44 Master plan rule.
Confirmed that Silviculture Handbook-2
nd
half is aesthetics.
Also individual Master plans(old) and land classification
system (new Plans). Big Tree Silviculture policy confirmed
through field observations of management for large trees.
X X
CI 2 Incorporation of aesthetic considerations in harvesting,
road, landing design and management and other
management activities where visual impacts are a concern.
Field Observations in all four state forests revealed good visual
quality practices including management of opening sizes and
configurations, buffers, landing cleanup, and variation in
techniques.
X X
CI 3 Foresters trained in principles of landscape architecture or
visual quality management.
Confirmed training in silviculture and aesthetics by reviewing
training records of individual foresters. Interviews of several
foresters confirmed training received during professional
education, which is standard at SAF-accredited forestry
schools (UW Stevens Point, MSU, UMinn)
X
Other Indicators
4.1.5.1.2 Program Participants shall develop and adopt
appropriate policies for managing the size, shape and
placement of clearcut harvests.
Most stand types are not managed using clearcut
harvests. Aspen and jack pine regenerated through
clearcuts.
X
CI 1 Written policy to monitor and report on clearcut size and
number.
Harvest unit sizes are monitored and recorded. Several
clearcuts often included in single unit if they are located within
the same forest type (stand).
X
CI 2 Average size of clearcut harvest areas does not exceed 120
acres, except when necessary to respond to forest health
emergencies or other natural catastrophes.
Confirm by field observations at all sites visited in Kettle
Moraine Southern Unit, Black River, Flambeau River and
Northern Highland-American Legion State Forests. For
example, at NHAL average sale size is far smaller than 100
acres, and many of the larger cc are Jack Pine
salvage/regeneration cuts due to budworm.
X
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 16 of 27 (following page 38
Criteria Auditor Notes FC EXR Maj Min OFI
CI 3 Documentation through internal records of clearcut size
and the process for calculating the average size.
Can not readily summarize clearcut size thru timber sale notice
and approval process. Recon system is not able to discriminate
patches within silvicultural treatment blocks. Thus current
system will overestimate cc size. OFI: Method for calculating
cc size.
X X
CI 4 Access to state laws regulating clearcut size and
arrangement at appropriate locations.
No such laws exist
NA
CI 5 System to achieve continual compliance with applicable
regulatory requirements.
No such requirements exist
NA
CI 6 Available regulatory action information demonstrates a
commitment to legal compliance.
NA
Other Indicators
GIS systems, compartment examination and prescription
review process provide a comprehensive system that manages
clearcut size and placement and ensures that visual diversity is
exemplary.
X X
4.1.5.1.3 Program Participants shall adopt a green-up
requirement or other, more comprehensive methods
that provide age, habitat, and aesthetic diversity.
X X
CI 1 Written policy implementing the green-up requirement.
SFI Specific policy not in place. Current policies and practices
for diversity are quite strong, and lead to excellent visual
performance. OFI related to policy of not placing clearcuts
adjacent unless already “green” meaning 3 years old or 5 feet
high.
X X
CI 2 Harvest area tracking system to demonstrate compliance
with the green-up requirement.
GIS or paper maps combined with Recon system (preharvest or
compartment exams) provide tracking system.
X
CI 3 Trees in clearcut harvest areas are at least 3 years old or 5
feet high at the desired level of stocking before adjacent
areas are clearcut, or a more comprehensive method to
reach the performance measure exists.
Confirmed by field observations at all sites visited. Average
sale size is low, under 100 acres, and most clearcuts are
substantially smaller. Regeneration on most clearcuts (aspen
sprouts) is 5 feet tall in two growing season.
X
CI 4 Copies of state laws requiring green-up are on file at
appropriate locations, where applicable.
No such laws exist
NA
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 17 of 27 (following page 38
Criteria Auditor Notes FC EXR Maj Min OFI
CI 5 A system to achieve continual compliance with applicable
regulatory requirements.
NA
CI 6 Available regulatory action information demonstrates a
commitment to legal compliance.
NA
Other Indicators
GIS systems, compartment examination and prescription
review process provide a comprehensive system that manages
clearcut size and placement and ensures that visual diversity is
exemplary. At NHAL the compartment system ensures that
most of compartment is analyzed and treated at one time, and
generally do not re-enter compartments sooner than ten years.
Map of current sales is a planning tool used to prevent adjacent
clearcuts unless by design.
X
4.1.5.1.4 Program Participants shall use harvest methods, age
classes and judicious placement of harvest units to
promote diversity across the forest landscape.
GIS systems, compartment examination and prescription
review process provide a comprehensive system that manages
clearcut size and placement and ensures that visual diversity is
exemplary.
X X
CI 1
Written policy to promote diversity of forest cover across the
landscape.
Confirmed that Wisconsin 28.04 includes Biodiversity and
Aesthetics. A variety of policies are in place which promote
and provide for diversity of forest cover including:
Forest Management Plan Sections for Visual Management
Zones and for Wildlife Habitat Diversity; Guidelines in DNR
Manual Codes including Guidelines for Defining Forest-
Wildlife Habitat Management (2112) Forest Opening
Maintenance and Construction (2112.1) Deeryard
Improvement Program (2112.2) and Public Lands Handbook.
X
Other Indicators
Observations of actual results showed exceptional visual
diversity in most portions of the state forests. At NHAL the
compartment system ensures that most of compartment is
analyzed and treated at one time, and generally do not re-enter
compartments sooner than ten years. Map of current sales is a
planning tool used to prevent adjacent clearcuts unless by
design.
X
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 18 of 27 (following page 38
Objective 6: Manage Program Participant lands of ecologic, geologic, cultural or historic significance in a manner that recognizes their special qualities.
Criteria Auditor Notes FC EXR Maj Min OFI
4.1.6.1.1 Program Participants shall identify special sites and
manage them in a manner appropriate for their unique
features.
X X
CI 1 Written policy to identify, map and manage special sites. There is a MOU with State Historical Society
1810 in manual code
reviewed Chapter 44: Wisconsin’s Major Historic
Preservation Statutes
CD:\Policy_Statements\wi_historical_pres_statutes.pdf
X
CI 2 Obtain existing natural heritage data and cooperate with
those with expertise in identifying or selecting sites for
protection of significant ecologic, geologic, cultural or
historic qualities.
Consultation:
a) NHI Process: Bureau of Endangered Resources
b) State Historic Preservation Officer for each land
disturbance activity, not for skid trails or timber sales
Confirmed inclusion by review of master plans.
Two forests with adjacent active tribes do an excellent
job of consulting with neighboring tribes.
Foresters review archeological database.
X
CI 3 Map and catalogue existing sites.
Management Plans, GIS system layer and/or maps include:
Archeological Sites, and Natural Heritage Inventory (NHI)
NHI hits confirmed in Master Plan. Few field foresters know
what to look for.
OFI : Provide field foresters training on what to look for.
X X
Other Indicators
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 19 of 27 (following page 38
Objective 7: Promote the efficient use of forest resources.
Criteria Auditor Notes FC EXR Maj Min OFI
4.1.7.1.1 Program Participants shall employ appropriate forest
harvesting technology, in-woods manufacturing
processes and practices to minimize waste and ensure
efficient utilization of trees harvested, where consistent
with other SFIS objectives.
There is widespread use of CTL harvesting systems for
state forest harvests, although there are still some
chainsaw felling and yarding with small (JD 440)
skidders. Excellent markets exist for all grades and
species of trees commonly found within Wisconsin State
Forest System.
X
CI 1 Written policy to address efficient utilization of trees. Confirmed that contracts include utilization
specifications. System for selling wood includes some
product differentiated bidding.
X
CI 2 Auditing or monitoring system to ensure efficient
utilization.
Field forms for each timber sale inspection.
X
Other Indicators Confirmed excellent utilization on all sites visited.
X
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 20 of 27 (following page 38
Objective 8: Broaden the practice of sustainable forestry by cooperating with forest landowners, wood producers, consulting foresters and Program Participants
employees who have responsibility in wood procurement and landowner assistance programs.
Criteria Auditor Notes FC EXR Maj Min OFI
4.2.1.1.1 Program Participants shall encourage landowners to
reforest following harvest and to use Best Management
Practices.
Three state nurseries are maintained, and an extensive
private forestry program is provided by WI DNR.
X
CI 1 Written policy to supply information or services to forest
landowners.
Reviewed “Forest Management Guidelines”
X
CI 2 Support for the development of educational materials,
including information packets for use with forest
landowners.
Forest Management Guidelines have been developed by
WI DNR.
X
CI 3 BMP or regeneration training courses, as appropriate,
provided for procurement staff.
NA
CI 4 A verifiable auditing or monitoring system in place to
evaluate the results of promoting reforestation and use of
Best Management Practices within wood supply systems,
and the use of that information to set goals for continual
improvement.
NA
CI 5 Cooperation with federal, state or regional government
resource assessments.
Reviewed two documents that report on BMP
monitoring: “The 2002 State-wide BMP Monitoring
Report, Wisconsin’s Forestry BMPs for Water Quality”;
“The 1995-1997 BMP Monitoring Report”
Both reports indicate good to excellent BMP conformance and
effectiveness.
Forest Health Monitoring and Wildlife Population
Monitoring led by WI DNR
X
Other Indicators Cooperative Forestry Mgmt/Landowner Assistance
a.) State programs $5,424,000
X
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 21 of 27 (following page 38
Criteria Auditor Notes FC EXR Maj Min OFI
4.2.1.1.2 Program Participants shall work closely with state
logging or forestry associations, or appropriate agencies
and others in the forestry community, to foster
improvement in the professionalism of wood producers.
X
CI 1 Written policy promoting professional training of wood
producers.
Although WI DNR is very involved in promoting
training, no specific policy exists.
Tim Mulhern serves on Bd. of Directors for Wisconsin
Professional Loggers Association (WPLA)
X
CI 2 Participation in or support of SFI Implementation
Committees in the development and administration of
wood producer training courses that include:
a. awareness of sustainable forestry principles;
b. Best Management Practices, including road construction
and retirement, site preparation, streamside management,
etc.;
c. regeneration, forest resource conservation and aesthetics;
d. awareness of responsibilities under the Endangered
Species Act and other measures to protect wildlife habitat;
e. logging safety;
f. Occupational Safety and Health Administration (OSHA)
and wage and hour rules;
g. transportation issues;
h. business management; and
i. public policy and outreach.
Certified loggers program agenda’s reviewed,
confirming participation by WI DNR personnel.
Darrell Zastrow is a member of the Wisconsin SFI S.I.C.
minutes
FISTA provides comprehensive training, and WI DNR
supports FISTA training with speakers and technical
content. This was confirmed by interview with Barb
Henderson, Executive Director FISTA-Forest Industry
Safety and Training Alliance:
1-800-551-2656 * Phone: (715) 282-4979
E-mail: fi[email protected]
Manny Oradei serves on Bd. of Directors for FISTA
X
Other Indicators
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 22 of 27 (following page 38
Criteria Auditor Notes FC EXR Maj Min OFI
4.2.1.1.3 Program Participants shall annually report relevant
information.
X
CI 1 Maintenance of a system to report information annually
including:
a. the number of landowners who receive information about
the SFI program, forest regeneration, BMPs, and wildlife
habitat management from contractors, company employees
and others; and
b. the percentage of wood delivered by qualified logging
professionals.
a. Cooperative Forestry Mgmt/Landowner Assistance
National Association of State Foresters, State Forestry
Statistics Questionnaire 2002Number of landowner
contacts per year -13,355
b. Not applicable
X
CI 2 Support of SFI Implementation Committee efforts to
collect and report appropriate information.
Darrell Zastrow is a member of WI S.I.C.
X
4.2.1.1.4 Program Participants shall encourage landowners to
utilize the services of qualified resource professionals
and qualified logging professionals in applying
principles of sustainable forest management on their
lands.
Forest Management Guidelines and considerable advice are
provided to a large number of landowners. This includes a
program of cooperating consultants and suggestions on timber
sale administration. “DNR foresters do maintain lists of timber
producers, but we are not able to specifically "blacklist"
anyone. In the past there was concern about liability issues.
DNR foresters do, however, encourage landowners who have a
plan that prescribes a harvest to contact the WI Dept. of
Agriculture, Trade and Consumer Protection for complaints
against loggers and to check references.”
X
CI 1 Written policy to promote the use of qualified resource and
logging professionals.
Specific policy for promoting logging professionals is lacking.
Reviewed 2003 Directory of Foresters and Cooperating
Consulting Foresters agreement.
X
CI 2 List of qualified logging professionals maintained.
Master Logger Program is just now getting implemented in
Wisconsin, but no list currently maintained. OFI: Maintain a
list of trained loggers and provide to landowners.
X X
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 23 of 27 (following page 38
Criteria Auditor Notes FC EXR Maj Min OFI
4.2.1.1.5 Program Participants shall ensure that their
commitment to the SFIS Principles is communicated
throughout their organization.
These principles are being followed as the basis of the entire
program. However no specific policy exists
X
CI 1 Written policy statement of commitment to the SFIS that is
communicated throughout the organization, particularly to
mill and woodland managers, wood procurement
operations and field foresters.
The WI Natural Resources Board has not committed to the
implementation of SFI as yet. The same general sustainability
principles are being followed.
X
CI 2 Participation in training programs for appropriate
personnel.
Reviewed of training records for selected employees. SFI-
specific training is not adequate.
SIC participation by Darrell Zastrow confirmed.
X
CI 3 The number of staff completing training programs is
documented and reported.
Reviewed of training records for selected employees
Reviewed New Employee Training
OFI: more formal SFI training
X X
Other Indicators
4.2.1.1.6 Program Participants shall support and promote efforts
by consulting foresters, state and federal agencies, state
or local groups and programs like the American Tree
Farm System, to educate and assist forest landowners,
and to encourage them to apply principles of sustainable
forest management.
X
CI 1 Support for efforts of SFI Program Implementation
Committees.
Confirmed SIC participation by Darrell Zastrow
X
Other Indicators – Tree Farm
Confirmed by reviewing “Certified Tree Farm Inspectors
Employed by WI DNR - October 29, 2003” which lists 148
DNR personnel and Wisconsin Tree Farm Committee – DNR
Memorandum of Understanding 7-6-01; and Cooperative
Agreement between the Wisconsin Department Of Natural
Resources and the Wisconsin Tree Farm Committee
X
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 24 of 27 (following page 38
Criteria Auditor Notes FC EXR Maj Min OFI
4.2.1.1.7 Program Participants shall clearly define and implement
their own policies to ensure that mill inventories and
procurement practices do not compromise adherence to
the Principles of Sustainable Forestry.
NA
CI 1 Procurement policy in place for the purchase of raw
material from qualified logging professionals, wood
producers and other wood suppliers.
NA
CI 2 Policies in place to address adverse weather conditions.
NA
Other Indicators
4.2.1.1.8 Procurement practices contribute to protection of legally
designated conservation areas.
NA
CI 1 Procurement policies in place that contribute to elimination
of illegal logging.
NA
Other Indicators
4.2.1.1.9 Procurement policies promote conservation of
biodiversity hotspots and major tropical wilderness areas.
NA
CI 1 Procurement policies that promote conservation of forests
in areas outside of North America identified as biodiversity
hotspots and major tropical wilderness areas.
NA
Other Indicators
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 25 of 27 (following page 38
Objective 9: Publicly report Program Participants progress in fulfilling their commitment to sustainable forestry.
Criteria Auditor Notes FC EXR Maj Min OFI
4.3.1.1.1 Program Participants shall report annually to the SFI
program on their compliance with the SFIS.
This activity can not take place until the program is
joined.
X
CI 1 Record keeping tracks all the categories of information
needed for annual progress reports.
Reviewed record-keeping database with Jeff Barkley and
confirmed the records are comprehensive and current
X
CI 2 Prompt response to the annual SFI survey questionnaire. Although no surveys have yet been conducted, a system is
in place. Darrell Zastrow facilitates information for state
committee
X
CI 3 Copies of past reports maintained to document progress
and improvements to demonstrate conformance to the
SFIS.
WI DNR is not yet in program, so there are no past
reports.
NA
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 26 of 27 (following page 38
Objective 10: Provide opportunities for the public and the forestry community to participate in the commitment to sustainable forestry.
Criteria Auditor Notes FC EXR Maj Min OFI
4.3.2.1.1 Program Participants shall support and promote, at the
state or other appropriate levels, mechanisms for public
outreach, education and involvement related to forest
management.
X
CI 1 Support for the SFI Implementation Committee program to
address outreach, education and technical assistance (e.g.,
800 numbers, environmental education, or private and
public sector technical assistance programs).
Confirm that Darrell Zastrow is on S.I.C.
X
Other Indicators Public meetings, open houses, meetings with town
officials discussed. Reviewed documentation of
assignments for employee liaisons to various groups.
Reviewed WI DNR Forestry Publications Distribution
report (CD) statistics. Reviewed memo from Wendy M
McCown, Director DNR Bureau of Forestry Services
Re: Overview of Education & Outreach Initiatives for
Certification Audit confirming a range of educational
activities
X
4.3.2.1.2 Program Participants shall establish, at the state, or
other appropriate levels, procedures to address
concerns raised by loggers, consulting foresters,
employees, the public or Program Participants regarding
practices that appear to be inconsistent with the SFIS
Principles and Objectives.
X
CI 1 Support for SFI State Implementation Committee efforts to
address concerns raised by loggers, consulting foresters,
employees, Program Participants and the public.
Confirm that Darrell Zastrow is on S.I.C.
X
Other Indicators
Appendix B: SFI Certification Audit Matrix Wisconsin DNR – Division of Forestry, State Forest Lands
FC = Full Conformance EXR = Exceeds Requirements Major = Major Nonconformance Minor = Minor Nonconformance OFI = Opportunity for Improvement
Appendix B: Page 27 of 27 (following page 38
Objective 11: Promote continual improvement in the practice of sustainable forestry and monitor, measure and report performance in achieving the commitment
to sustainable forestry.
Criteria Auditor Notes FC EXR Maj Min OFI
4.4.4.1.1 Program Participants shall establish a management
review system to examine findings and progress in
implementing the SFI program and policies, to make
appropriate improvements in policies, and to inform
their employees of changes.
Existing state-wide management review system is not
specific to SFI.
X
CI 1 A system to review commitments, policies and procedures
to evaluate effectiveness.
Biennially budget process-identifies problems and needs.
Management Review rotates among the five regions and
central office on a 3-year cycle.
X
CI 2 A system for collecting, reviewing and reporting
information to senior management regarding progress in
achieving SFI Objectives and Performance Measures.
Existing state-wide management review system is not
specific to SFI.
X
CI 3 Senior management annually reviews progress and
determines what changes and improvements are necessary
to continue achieving SFI conformance.
Existing state-wide management review system is not
specific to SFI.
X
Other Indicators
