Final compliance audit report: Forestry Corporation of NSW
The NSW Environment Protection Authority (EPA) has completed a compliance audit of the Forestry Corporation of NSW (FCNSW).
The audit focused on the FCNSW’s compliance with the requirements of the Coastal Integrated Forestry Operations Approval (CIFOA) Protocol 1: Registers. The audit was undertaken as part of the EPA’s ongoing compliance audit programs on industry sectors, individual sites and strategic performance reviews.
The aims of the audit were to:
- increase the EPA’s understanding of the FCNSW’s compliance with the requirements of Protocol 1 as applied and adopted under Chapter 2, Division 1, of the CIFOA approval
- increase the FCNSW’s level of compliance with Protocol 1
- increase confidence that the FCNSW keeps and maintains registers as required by Protocol 1.
EPA officers carried out a desktop audit of the registers (required under Protocol 1) on 13 September 2021. The findings of the audit indicate that the FCNSW has not complied with all requirements. A total of 53 requirements have been assessed, consisting of 23 (43%) compliances, 16 (30%) non-compliances, 8 (15%) not determined assessments and 6 (11%) beyond the scope of the audit or not activated assessments.
Summary of audit findings with requirements of Protocol 1: Registers
The majority of non-compliances are with the requirements for the operations register with 15 (52%) non-compliances out of the 29 requirements. Whereas there was only 1 non-compliance with the remaining 24 requirements for the compliance register and complaints register.
The audit identified 7 areas where improvements could be made to the registers and 13 further observations (potential future non-compliance).
The non-compliances, further observations and recommended areas for improvement relate to how the registers have been designed and are maintained and are administrative only, including:
- inconsistent interpretation of the protocol requirements
- overlooked requirements
- incomplete information in the registers
- incorrect information entered into the registers.
The FCNSW must address all non-compliance and further observations with CIFOA Protocol 1 and are encouraged to consider the areas of improvement as updates to the registers.
Objective
The objective of this audit was to assess compliance against the Coastal Integrated Forestry Operation Approval (CIFOA) and associated Protocol 1 for keeping and maintaining forestry operation registers.
Scope
The scope of the audit is limited to an assessment of the FCNSW's compliance with requirements for keeping and maintaining registers as required by Chapter 2, Division 1, of the approval and protocol 1.
- Temporal scope: the day the data has been accessed and downloaded from the Forestry Corporation’s web services provided to the EPA.
- Spatial scope: not applicable.
- Activities: keeping and maintaining the registers required under CIFOA Protocol 1.
Criteria and evidence
The audit criteria (the requirements against which the auditor assesses audit evidence) were the conditions included in CIFOA Protocol 1: Registers.
Audit evidence was collected from the FCNSW’s web services provided to the EPA. This included the operations register, the annual plan of operations and the compliance register. The complaints register was accessed from the FCNSW’s website.
Summary
The charts below show the audit findings for the requirements in Section 1.2 Operations register, Section 1.3 Compliance register and Section 1.4 Complaints register. The majority of non-compliances are with the requirements for the operations register with 15 (52%) non-compliances out of the 29 requirements. There was only 1 non-compliance with the remaining 24 requirements for the compliance register and complaints register.
Areas of improvement and further observations
The audit identified 7 areas where improvements could be made to the registers and 13 further observations. Areas of improvement are related to the audit assessment where practices and procedures could be improved. Where issues of concern were identified that did not strictly relate to the scope of the audit or assessment of compliance, they were recorded as a further observation. Further observations can indicate areas of potential non-compliance in the future. The FCNSW is encouraged to action recommendations to improve practices and procedures.
Table 1: Summary of areas of improvements and further observations made against Protocol 1.
|
Compliance assessment |
Number of findings |
|---|---|
|
Area of improvement |
7 |
|
Further observations |
13 |
|
Total |
20 |
Key findings
Non-compliances, further observations and recommended areas for improvement relate to how the registers have been designed and are maintained. These are administrative only, including:
- inconsistent interpretation of the protocol requirements
- overlooked requirements
- incomplete information in the registers
- incorrect information entered into the registers.
Previously the FCNSW had provided the EPA with the operations register and kept and maintained a compliance and a complaints register. The FCNSW has started to give the EPA access to its data, including the operations register and a compliance layer (including data tables), through a web services portal. The EPA notes this is not a substitute for the compliance register, and further discussions are needed on how the EPA and FCNSW will in future use this compliance information.
A detailed assessment of compliance is outlined in the assessment tables (see Assessment tab on this webpage).
Other findings related to the audit are outlined in Appendices 1, 2 and 3.
Assessment of compliance with CIFOA Protocol 1: Registers
For detailed requirements please refer to the Coastal Integrated Forestry Operations Approval – Protocols (PDF 20MB).
|
Requirement |
Compliance assessment |
Comment |
Action required |
|---|---|---|---|
|
1.2 Operations register |
|||
|
(1) (a) – (d) |
Non-compliance |
FCNSW must keep a register of any of the following forestry operations which FCNSW plans to commence, has commenced, or has completed: (a) harvesting operations (b) road construction (c) road upgrading (d) road maintenance. FCNSW are not complying with all the requirements of 1.2 for elements (a), (b), (c) and (d). FCNSW have combined forestry operations for (a), (b), (c) and (d) into Harvest Plan, Roading Plan and Harvest/Roading Plan. FCNSW must include a separate entry for each element of condition (1) (a), (b), (c) and (d). In addition, the operations register did not include the forestry operations for (a), (b), (c) and (d) that appear in the annual plan of operations with a status of ‘planning’ (78 forestry operations, as at 13 September 2021). The annual plan (as required under Protocol 2) includes forestry operations which FCNSW proposes to carry out in the coming year. The EPA acknowledges that the forestry operations are not yet approved. However, condition 1.2 (1) requires forestry operations that FCNSW plan to commence must be included in the operations register. FCNSW must keep a register of any of the following forestry operations that FCNSW plans to commence. |
Action 1 FCNSW must keep a register of any of the following forestry operations which FCNSW plans to commence, has commenced, or has completed: (a) harvesting operations (b) road construction (c) road upgrading (d) road maintenance (e) pre-harvest burns (f) post-harvest burns, and (g) regeneration activities. |
|
(1) (e) – (g) |
Not determined |
FCNSW must keep a register of any of the following forestry operations which FCNSW plans to commence, has commenced, or has completed: e) pre-harvest burns (f) post-harvest burns, and (g) regeneration activities. It could not be determined if FCNSW are complying with the requirement (e) – (g). The EPA notes that (e) pre-harvest burns, (f) post-harvest burns, and (g) regeneration activities are not included in the operations register or the annual plan. The EPA requires that FCNSW include these forestry operations and activities in the operations register as soon as FCNSW plans to commence, has commenced, or has completed, as required by protocol 1. |
See Action 1 |
|
(2) (a) |
Yes |
The operations register must include the following information for each relevant forestry operation: (a) operational area including a copy of the operational map and location map for the forestry operation. The operations register includes the operational area for each relevant forestry operation. The FCNSW operations register includes the link to operational plan details. These details are kept on the plan portal on the FCNSW website. The plan details page includes a map of the compartments that are identified for the relevant forestry operations – this reproduces the same as the operational map that includes the identified compartments for the forestry operation. There are also links to PDF documents of a location map and an operation map. |
No action required |
|
(b) |
Yes |
The operations register must include the following information for each relevant forestry operation: (b) event ID. Each forestry operation, listed in the operations register, has a unique event ID. |
No action required |
|
(c) |
No |
The operations register must include the following information for each relevant forestry operation: (c) Coastal IFOA Subregion. FCNSW are not complying with condition 1.2 (2) (c). A Coastal IFOA Subregion is not listed for 4 of the 107 forestry operations.
|
Action 2 FCNSW must include the Coastal IFOA Subregion for each relevant forestry operation in the operations register. |
|
(d) |
Yes |
The operations register must include the following information for each relevant forestry operation: (d) State Forest name. The State Forest name is listed for each relevant forestry operation.
|
No action required |
|
(e) |
Yes |
The operations register must include the following information for each relevant forestry operation: (e) compartment numbers and coupe numbers (where applicable). The compartment numbers and coupe numbers (where applicable) are listed for each relevant forestry operation. |
No action required |
|
(f) |
Yes |
The operations register must include the following information for each relevant forestry operation: (f) type of active or proposed forestry operation and, for each operation: The type of active or proposed forestry operation is listed for each relevant forestry operation. |
No action required |
|
(f) (i) |
Yes |
(f) (i) the actual or proposed date of commencement. FCNSW include an actual or proposed date of commencement for all forestry operations listed in the operations register. Area of improvement Although FCNSW include an actual or proposed date of commencement in the operations register, it does not include the actual date of commencement for 12 (26%) of 46 active forestry operations. Further observation FCNSW include an input field for the ‘latest active date’ in the operations register. There are 34 active forestry operations with a ‘latest active date’ but for 13 of these the ‘latest active date’ was before the actual start date. Of these 34, only 8 have an actual date of commencement that is before the ‘latest active date’, and a further 13 have the same actual start date as the latest active date. |
No action required Recommendation 1 The EPA encourages the FCNSW to update the operations register for the actual date of commencement when the status of forestry operations changes to active. Also see non-compliance at 1.2 (6). Recommendation 2 The EPA recommends the FCNSW updates the register with an actual start date when changing the status to ‘active’ and checks that the ‘latest active dates’ are logical and updated regularly. |
|
(f) (ii) |
No |
(f) (ii) any dates on which the forestry operation temporarily ceased and recommenced.
FCNSW are not complying with condition 1.2 (2) (f) (ii). The register has a status field that includes approved, active, suspended, and completed; and a field for the date when forestry operations are suspended. However, it does not have a field for a forestry operation that has temporarily ceased and has recommenced. Area of improvement It is not clear that the suspended status or date is used for temporary cessation of activities for reasons such as weather events. |
Action 3 FCNSW must include any dates when a forestry operation recommenced (after being temporarily ceased). Recommendation 3 It is recommended that FCNSW updates the operations register to use the same terminology the Protocol uses for any information required. |
|
(f) (iii) |
Yes |
(f) (iii) if relevant, the date of completion. FCNSW are complying with this condition. There are 28 forestry operations with the status ‘completed’ listed in the operations register and all have a completed date. |
No action required |
|
(g) |
No |
(g) for a harvesting operation or regeneration activity, the year of commencement of the previous harvesting operation or regeneration activity in the operational area. FCNSW are not complying with condition 1.2 (2) (g). The operations register does not have a field for the year of commencement of the previous harvesting operation or regeneration activity. The EPA notes that the link for the operational plan on operations register redirects to the plan portal on the FCNSW website and that the year of the last harvest or regeneration activity is included here. |
Action 4 FCNSW must update the operations register to include the year of commencement of the previous harvesting operation or regeneration activity in the operational area, as required by the Protocol. |
|
(h) |
No |
(h) the intensity of any harvesting operation (selective harvesting, intensive harvesting, alternate coupe logging and mixed intensity harvesting), including the estimated average basal area the stand will be reduced to. FCNSW are not complying with all requirements of this condition. FCNSW does comply with the first part of this condition as the operations register has a field for the harvesting operation, which includes – selective harvesting, mixed intensity harvesting, and alternate coupe logging – and all of the harvesting operations have an option of High, Medium or Low selected. FCNSW does not comply with the requirement to include an estimated post average basal area for any harvesting operation. The data has inaccuracies, there are 70 harvesting operations listed on the operations register as selective harvesting, mixed intensity harvesting, and alternate coupe logging. Of these, 23 have an estimated post average basal area reduced to 0 or -1. Area of improvement All forestry operations, including roading, have an intensity of harvesting operation listed in the operations register, and an estimated post basal area. There are 37 roading plans that have a harvesting intensity selected and an estimated average basal area listed, including 24 reduced to 0, -1 or -2. |
Action 5 FCNSW must include the estimated average basal area that the stand will be reduced to for any harvesting operation. Also see ‘area for improvement’. Recommendation 4 It is recommended that FCNSW update the operations register and reduce the inaccuracies and that the register includes details relevant to that forestry operation, for clarity to all stakeholders. |
|
(i) |
No |
(i) the inherent hazard level. FCNSW are not complying with condition 1.2 (2) (i). The register has a field for the inherent hazard level, however, contains incorrect data and the IHL does not apply to roading operations. The inherent hazard level (IHL) is crucial for determining the hazard risk for soil erosion and water pollution for harvesting (forestry operations). The IHL is categorised level 1 – Low soil erosion and water pollution hazard, level 2 – High soil erosion and water pollution hazard, level 3 – Very high soil erosion and water pollution hazard, and level 4 – Extreme soil erosion and water pollution hazard – harvesting operations prohibited for this proposed method of timber harvesting and extraction. The operations register IHL field has a response for all 107 forestry operations, including roading, represented as -1, 0, 1, 2, with 8 forestry operations assigned a IHL -1, 1 forestry operations assigned a IHL 0, 28 forestry operations assigned a IHL 1, and 70 forestry operations assigned a IHL 2. |
Action 6 FCNSW must include an accurate inherent hazard level for each relevant forestry operation, as required by the condition 1.2 (2) (i). |
|
(j) |
No |
(j) the total length of all new roads to be constructed. FCNSW are not complying with condition 1.2 (2) (j). The operations register has a field titled New_Road_Constructed_Total_Length. However, this field contains incorrect data. Every forestry operation has an assigned number in this field, including:
|
Action 7 FCNSW must include an accurate total length of all new roads to be constructed for each relevant forestry operation, as required by the condition 1.2 (2) (j). |
|
(k) |
No |
(k) the length of new roads to be constructed with a grade greater than 10 degrees. FCNSW are not complying with condition 1.2 (2) (k). The operations register has a field titled New_Road_Constructed_Over_10_De. However, this field contains incorrect data. Every forestry operation has an assigned number in this field, including:
|
Action 8 FCNSW must include an accurate total length of all new roads to be constructed with a grade greater than 10 degrees for each relevant forestry operation, as required by the condition 1.2 (2) (k). |
|
(l) |
No |
(l) the length of new roads to be constructed on ground slopes greater than 30 degrees FCNSW are not complying with condition 1.2 (2) (l). The operations register has a field titled New_Road_Constructed_Over_30_De. However, this field contains incorrect data. Every forestry operation has an assigned number in this field, including:
|
Action 9 FCNSW must include an accurate total length of all new roads to be constructed on ground slopes greater than 30 degrees for each relevant forestry operation, as required by the condition 1.2 (2) (l). |
|
(m) |
No |
(m) the number of new drainage feature crossings to be constructed. FCNSW are not complying with condition 1.2 (2) (m). The operations register has a field titled New_Drainage_Feature_Crossings. However, this field contains incorrect data. Every forestry operation has an assigned number in this field, including:
|
Action 10 FCNSW must include an accurate number of new drainage feature crossings to be constructed for each relevant forestry operation, as required by the condition 1.2 (2) (m). |
|
(n) |
No |
(n) the number of existing drainage feature crossings in the operational area. FCNSW are not complying with condition 1.2 (2) (n). The operations register has a field titled Existing_Draining_Feature_Cross. However, the field contains incorrect data. Every forestry operation has an assigned number in this field, including:
|
Action 11 FCNSW must include an accurate number of existing drainage feature crossings in the operational area for each relevant forestry operation, as required by the condition 1.2 (2) (n). |
|
(3) |
Not determined |
FCNSW must update the operations register to record that a forestry operation has temporarily ceased when field-based activity for that forestry operation has stopped and machinery has been temporarily removed from the operational area. It cannot be determined if FCNSW are complying with the requirements of protocol 1 condition 1.2 (3). As the EPA has undertaken a desk top audit only and no field-based assessment has been carried out, it cannot be determined if this condition is being complied with. There is no reason to believe that FCNSW are not complying with this condition. |
No action required FCNSW must comply with condition 1.2 (3). |
|
(4) |
Not determined |
FCNSW must update the operations register to record that a forestry operation is taken to be completed when field-based activities are complete across the operational area and no further work under the operational plan will be undertaken in the operational area. It cannot be determined if FCNSW are complying with the requirements of protocol 1 condition 1.2 (4). As the EPA has undertaken a desk top audit only and no field-based assessment has been carried out, it cannot be determined if this condition is being complied with. There is no reason to believe that FCNSW are not complying with this condition. Area of improvement Some forestry operations have the status field updated to completed, however there is no completed date entered. The EPA encourages FCNSW to update the completed date field in the operations register when field-based activities are complete across the operational area and no further work under the operational plan will be undertaken in the operational area. Also see non-compliance at 1.2 (6). FCNSW must update the operations register necessary by the first business day in the calendar month as is required by this condition 1,2 (6). |
No action required FCNSW must comply with condition 1.2 (4). Recommendation 5 It is recommended that FCNSW update the completed date field in the operations register at the same time the status field is changed to completed for all forestry operations.
|
|
(5) |
Beyond the scope |
FCNSW must review the currency of any operational plan and update it to include any new species-specific conditions for fauna and species-specific conditions for flora for any forestry operation that has been temporarily ceased for six months or longer. This condition is not within the scope of the audit. The condition relates to updating operational plans and is not related to updating the operations register. |
No action required FCNSW must comply with condition 1.2 (5). |
|
(6) |
No |
FCNSW must update the operations register as necessary by the first business day of each calendar month and provide the EPA with full access to the operations register on that date. FCNSW are not complying with all the requirements condition 1.2 (6). The condition requires that FCNSW update the operations register, as necessary, by the first business day of each calendar month. For the purposes of this audit assessment, ‘as necessary’ means when any deeming clause is activated, such as a status change to the forestry operations. There are 28 forestry operations with the status completed but only 25 forestry operations with a completed date. The 3 forestry operations without a completed date are tagged as completed on their plan details page. 1. HP_BROKEN_BAGO_3_5B_2020 has been tagged as completed in the plan details page of the FCNSW website on 25 August 2021 (Completed Wed Aug 25 2021 14:54:42 GMT+1000 (Australian Eastern Standard Time)). 2. HP_BROKEN_BAGO_1_BURRAWAN_9_2021 has been tagged as completed in the plan details page of the FCNSW website on 8 March 2021 (Mon Mar 08 2021 11:37:38 GMT+1100 (Australian Eastern Daylight Time)). 3.HP_CAIRNCROSS_12_13_14_15_17_18_19_2020 has been tagged as completed in the plan details page of the FCNSW website on 20 April 2021 (Tue Apr 20 2021 16:27:43 GMT+1000 (Australian Eastern Standard Time)). FCNSW have not updated the operations register as necessary by the first business day in the calendar month of September 2021 (Wednesday 1 September 2021). |
Action 12 FCNSW must update the operations register necessary by the first business day in the calendar month as is required by this condition 1.2 (6). |
|
(7) |
Not determined |
FCNSW may also update the operations register from time to time as required and must update the operations register if there is an adjustment to the location and times set out in an annual plan or operations register if it is required to respond to particular circumstances (including, but not limited to, prolonged periods of wet weather, fire events and market factors). It cannot be determined if FCNSW are complying with the requirements of protocol 1 condition 1.2 . (7) as the EPA has undertaken a desk top audit only based on the operations register as at 13 September 2021. There is no reason to believe that FCNSW are not complying with this condition. |
No action required FCNSW must comply with condition 1.2 (7). |
|
Requirement |
Compliance assessment |
Comment |
Action required |
|---|---|---|---|
|
1.3 Compliance Register |
|||
|
(1) |
Not determined |
FCNSW must enter the following information into the compliance register within 14 days of it becoming aware of a non-compliance with the conditions of the approval: It cannot be determined if FCNSW are complying with the condition to enter information into a compliance register within 14 days of becoming aware of a non-compliance with the conditions of the approval. The compliance register For the purposes of this compliance audit, the compliance register means the latest compliance register available on the FCNSW website (downloaded Tuesday, 14 September 2021, 8:08:23). The compliance register does not contain any information that can be used to determine whether FCNSW entered the required information into the compliance register within 14 days of becoming aware of the non-compliance. The last compliance register available to the EPA on the FCNSW website is dated the year 16/11/2019–16/11/2020. It may be that FCNSW produces a non-compliance report in November each year and uploads it to their website. See ‘further observation’. Further observation It is noted the compliance register is out of date. If there have been non-compliance with conditions of the approval since 16 November 2020, it is likely the information has not been entered into the compliance register within 14 days of FCBNSW becoming aware of the non-compliance. The compliance layer The EPA has access to FCNSW’s compliance layer through https://epa.mapservices.fcnsw.net/arcgis/services. Although the compliance layer has similar details to the compliance register, it is not in the same format and does not include all information required. This audit does not have access to any FCNSW procedures relating to reviewing incidents. Any audit observations made assume that the compliance layer includes all incidents that that are a potential non-compliance with the CIFOA. As the compliance layer is not a compliance register, recommendations for areas of improvement will be made rather than an assessment of compliance against 1.3 (1) (a) – (k). Further observation If the compliance layer replaces the compliance register the EPA recommends that FCNSW update the layer to include input fields for all information required by condition 1.3 (1) (a) – (k). See assessments for 1.3 (1) (a) – (k). |
No action required FCNSW must comply with condition 1.3 (1) – see further observations. Recommendation 6 The EPA recommends that FCNSW update the compliance register and upload it to the plan portal. Recommendation 7 The EPA recommends that FCNSW update the compliance layer to include input fields for all information required by condition 1.3 (1) (a) – (k).
|
|
(a) |
Yes |
(a) the approval condition not complied with; FCNSW are complying with this element of condition 1.3 (1). The compliance register The compliance register includes the required ‘the approval condition not complied with’ for the non-compliance listed. It is noted that the compliance register is out of date, see further observation and area of improvement under 1.3 (1) above. The compliance layer The compliance layer, which is made available to the EPA, does not include the approval condition not complied with. Further observation If the compliance layer replaces the compliance register this would be a non-compliance with condition 1.3 (1) (a). |
No action required FCNSW must comply with condition 1.3 (1) (a) – see further observation. Recommendation 8 The EPA recommends FCNSW add the required ‘approval condition not complied with’ into the compliance layer. |
|
(b) |
Yes |
(b) date, time and duration of the non-compliance; FCNSW are complying with this element of condition 1.3 (1). The compliance register The compliance register includes the date and time of the incident and the duration of the ‘incident’. It is noted the compliance register is out of date, see ‘further observation’ and area of improvement under 1.3 (1) above. The compliance layer The compliance layer also includes the date and time of the incident, and the duration of the incident. However, 3 (3%) of the 113 incidents did not list a date and time for the incident. Further observation If the compliance layer replaces the compliance register this would be a non-compliance with condition 1.3 (1) (b). |
No action required Recommendation 9 The EPA recommends FCNSW to add the required date and time of the incident for all incidents in the compliance layer.
|
|
(c) |
Yes |
(c) date that FCNSW became aware of the non-compliance; FCNSW are complying with this element of condition 1.3 (1). The compliance register The compliance register includes the date the FCNSW were notified of the incident. The compliance layer The date FCNSW became aware of the incident is also entered into the compliance layer. However, 51 (45%) of the 113 incidents did not list a date that FCNSW became aware of the incident. Further observation If the compliance layer replaces the compliance register, this could be a non-compliance with condition 1.3 (1) (c). |
No action required Recommendation 10 The EPA encourages FCNSW to enter the date that FCNSW were notified of all incidents in the compliance layer.
|
|
(d) |
Yes |
(d) if a location is applicable, the exact location of the non-compliance; FCNSW are complying with this element of condition 1.3 (1). The compliance register The compliance register has the exact location, which is entered as latitude and longitude coordinates. The compliance layer The exact location is not recorded in the compliance layer. Further observation If the compliance layer replaces the compliance register, this would be a non-compliance with condition 1.3 (1) (d). |
No action required Recommendation 11 The EPA recommends FCNSW adds the exact location of the non-compliance (if applicable) for all incidents in the compliance layer.
|
|
(e) |
No |
(e) name of person who caused the non-compliance; FCNSW are not complying with this element of condition 1.3 (1). The compliance register The compliance register does not include the name of the person who caused the non-compliance. FCNSW must enter the name of the person who caused the non-compliance into the compliance register within 14 days of it becoming aware of a non-compliance with the conditions of the approval. The compliance layer The compliance layer includes a field for the name of the person who caused the incident. However, 30 (27%) of 113 incidents in the compliance layer have no person causing the non-compliance listed. Further observation If the compliance layer replaces the compliance register, this could be a non-compliance with condition 1.3 (1) (e). |
Action 13 FCNSW must include the name of the person who caused the non-compliance in the compliance register. Recommendation 12 The EPA recommends FCNSW enter the name of the person causing the incident into the compliance layer and check the name is correct when reviewing.
|
|
(f) |
Yes |
(f) nature of the non-compliance; FCNSW are complying with this element of condition 1.3 (1). The compliance register The compliance register has a field for the nature of non-compliance. The description for all non-compliance listed on the register is ‘harvesting’. For the purposes of this audit ‘harvesting’ is taken to mean a non-compliance during forestry operations – harvesting, and as such this is the highest level of categorisation for the nature of non-compliance. Area of improvement FCNSW is encouraged to provide further detail on the nature of non-compliance to provide transparency and clarity for all stakeholders as to the nature of the non-compliance. Compliance layer The compliance layer includes a field for the nature of non-compliance. However, 30 (27%) of 113 incidents in the compliance layer have no nature of non-compliance listed. The remaining 83 (73%) include a brief description, which can be difficult to read, includes jargon, and causes of non-compliance, not nature. Examples include:
Further observation If the compliance layer replaces the compliance register this could be a non-compliance with condition 1.3 (1) (f). |
No action required Recommendation 13 FCNSW is encouraged to provide further detail on the nature of non-compliance to provide transparency and clarity for all stakeholders as to the nature of the non-compliance. Recommendation 14 The EPA recommends FCNSW update the compliance layer with the nature of the incident, with a plain English explanation, for all incidents listed in the compliance layer. |
|
(g) |
Yes |
(g) cause of the non-compliance; FCNSW are complying with this element of condition 1.3 (1). The compliance register The compliance register has the cause of non-compliance listed. The description for all non-compliance listed on the register is either Procedural or GPS Accuracy. For the purposes of this audit Procedural and GPS accuracy are taken to be the highest level of a categorisation for the reason for non-compliance. Area of improvement FCNSW is encouraged to provide further detail on the cause of non-compliance to provide transparency and clarity for all stakeholders as to the nature of the non-compliance. Compliance layer The compliance layer includes a field for the cause of non-compliance however, 40 (35%) of 113 incidents in the compliance layer have no cause of non-compliance listed. The remaining 73 (65%) include a brief description, which can be difficult to read and includes jargon. Examples include:
Further observation If the compliance layer replaces the compliance register this could be a non-compliance with condition 1.3 (1) (g). |
No action required Recommendation 15 FCNSW is encouraged to provide further detail on the cause of non-compliance to provide transparency and clarity for all stakeholders as to the nature of the non-compliance. Recommendation 16 The EPA recommends FCNSW update the compliance layer to include a succinct, plain English explanation of the cause of all incidents listed in the compliance layer. |
|
(h) |
Yes |
(h) if the non-compliance resulted in actual or potential harm to the environment or reportable harm; FCNSW are complying with this element of condition 1.3 (1). The compliance register The compliance register lists if the non-compliance resulted in actual or potential harm to the environment. The responses include not applicable, Yes and No. Compliance layer The compliance layer includes a column for non-compliance harm. The responses are coded with responses -2 and 0. Further observation If the compliance layer replaces the compliance register this could be a non-compliance with condition 1.3 (1) (h). |
No action required Recommendation 17 The EPA recommends FCNSW update the compliance layer to include a clear response to whether the non-compliance resulted in actual or potential harm to the environment or reportable harm. |
|
(i) |
Yes |
(i) what action was taken, is being taken, or will be taken to mitigate any adverse impacts of the non-compliance; and FCNSW are complying with this element of condition 1.3 (1). The compliance register The compliance register lists the action to mitigate impacts of the non-compliance. The responses include remediation at site, no further action, and Other action – details in notes. Compliance layer The compliance layer includes a column for action to mitigate impacts of the non-compliance. However, 59 (52%) of 113 incidents in the compliance layer do not have any action listed. The remaining 54 (48%) include a brief description, which can be difficult to read and includes jargon. Examples include:
Further observation If the compliance layer replaces the compliance register this could be a non-compliance with condition 1.3 (1) (i). |
No action required Recommendation 18 The EPA recommends FCNSW update the compliance layer to include a clear response as to what action was taken, is being taken, or will be taken to mitigate any adverse impacts of the non-compliance. |
|
(j) |
Yes |
(j) what action was taken, is being taken, or will be taken to prevent recurrence of the non-compliance. FCNSW are complying with this element of condition 1.3 (1). The compliance register The compliance register shows what action was taken, is being taken, or will be taken to prevent recurrence of the non-compliance. The responses included training or a verbal warning. Compliance layer The compliance layer includes a column for what action was taken, is being taken, or will be taken to prevent recurrence of the non-compliance. However, only 18 (16%) of 113 incidents had actions. The remaining were listed as NA. Area of improvement Good risk management and continual improvement in environmental performance and compliance includes undertaking lessons learned for all incidents that have occurred and updating processes and procedures to include these feedback lessons. |
No action required Recommendation 19 The EPA encourages FCNSW to review each incident listed and enter what action was taken, is being taken, or will be taken to prevent recurrence of the incident. This will help to mitigate any future forestry operations which cause incidents that are potential or actual non-compliances, ‘reportable harm to a threatened species or threatened ecological community’ or pollution incident. |
|
Requirement |
Compliance assessment |
Comment |
Action required |
|---|---|---|---|
|
1.4 Complaints Register |
|||
|
(1) |
Not determined |
FCNSW must enter the following information into the complaints register within five days of receiving a complaint described in condition 31 of the approval: FCNSW provide the complaints register on their website through the plan portal – reports. Anyone can access the plan portal after creating an account. Condition 31 of the Coastal IFOA states: 31.1 FCNSW must: (a) record all complaints that it receives that allege harm or non-compliance with a condition of the approval caused by forestry operations in the complaints register; and (b) maintain the complaints register in accordance with condition 1.4 of Protocol 1: Registers. The audit assessment is based on the information provided by FCNSW on the Plan portal only. The complaints register does not contain any information that can be used to determine whether FCNSW entered the required information into the complaints register within five days of receiving a complaint described in condition 31 of the approval. The following assess the elements of the condition only based on the underlying assumption that the required information has been entered into the complaints register within five days of receiving a complaint described in condition 31 of the approval. Note on number of complaints listed in the complaints register It is noted that there is only 1 complaint entered and a test complaint. |
No action required. FCNSW must comply with condition 1.4 (1). |
|
(a) |
Yes |
(a) date and time of the complaint; FCNSW are complying with the condition. The date and time of the complaint received has been entered into the complaints register. |
No action required |
|
(b) |
Yes |
(b) method by which the complaint was lodged; FCNSW are complying with the condition. The method by which the complaint was lodged has been entered into the complaints register. The complaint was received verbally. |
No action required |
|
(c) |
Not applicable |
(c) name, address and telephone number of complainant and/or further contact person; This condition is not activated as the FCNSW were not given consent to enter the name, address and telephone number of complainant and/or further contact person into the complaints register. The EPA reminds FCNSW that the name, address and telephone number of the complainant and/or further contact person must be entered into the complaints register if consent is provided. |
No action required FCNSW must comply with condition 1.4 (1) (c). |
|
(d) |
Yes |
(d) name of person receiving the complaint; FCNSW are complying with the condition. The name of the person receiving the complaint has been entered into the complaints register. The complaint was received by FCNSW lee.bessington@fcnsw.com.au. |
No action required |
|
(e) |
Yes |
(e) nature of the complaint; FCNSW are complying with the condition. The nature of the complaint has been entered into the complaints register. The nature of the complaint has been entered as ‘georeferenced maps are not available to the public’. |
No action required |
|
(f) |
Yes |
(f) where a complaint alleges a non-compliance with a condition of the approval, details of the condition of the approval alleged to have not been complied with; FCNSW are complying with the condition. The details of the condition of the approval alleged to have not been complied with has been entered into the complaints register. The condition has been listed as 53 Operational plans. |
No action required |
|
(g) |
Yes |
(g) follow-up action taken by FCNSW; FCNSW are complying with the condition. Follow up action taken by FCNSW has been entered into the complaints register. |
No action required |
|
(h) |
Yes |
(h) precise location of the alleged breach, harm to the environment or reportable harm; FCNSW are complying with the condition. The complaints register has a column for location description. The location entered is for the Southern Management area. For the purposes of this assessment the Southern Management Area is taken to be the precise location for the georeferenced maps. However, see ‘area of improvement’. Further observation If a location description does not include the precise location, this could be a future non-compliance with the protocol requirements. |
No action required Recommendation 20 The EPA encourages FCNSW to rename the column in the complaints register to the wording of the protocol to clarify that it should be the precise location, not a location description. |
|
(i) |
Not applicable |
(i) description of the alleged harm to the environment or reportable harm; This condition is not activated as no alleged harm to the environment or reportable harm is applicable to the complaint. The complaints register has a column for entering a description of the alleged harm to the environment or reportable harm. The EPA reminds FCNW that when this is applicable, a description of the alleged harm to the environment or reportable harm must be entered into the complaints register. |
No action required FCNSW must comply with condition 1.4 (1) (i). |
|
(j) |
Not applicable |
(j) where relevant, waters said to be polluted; and This condition is not activated as the complaint was not relevant to waters. The complaints register has a column for entering information in relation to waters said to be polluted. The EPA reminds FCNSW that where relevant, waters said to be polluted must be entered into the complaints register. |
No action required |
|
(k) |
Not applicable |
(k) where relevant, substance said to cause pollution This condition is not activated as the substance said to cause pollution was not relevant to the complaint. The complaints register has a column for entering the substance said to cause pollution. The EPA reminds FCNSW that where relevant, substance said to cause pollution must be entered into the complaints register. |
No action required FCNSW must comply with condition 1.4 (1) (k). |
|
(2) |
Beyond the scope |
FCNSW must provide any information in the complaints register to the EPA upon request. This requirement is beyond the scope of the audit as the audit scope is limited to the registers required under Protocol 1 only. |
No action required FCNSW must comply with condition 1.4 (2). |
|
Requirements |
Comments |
Actions |
|---|---|---|
|
1.2 (1) |
78 Forestry operations in the planning stage are not entered into the operations register. |
FCNSW to include forestry operations in planning into the operations register. |
|
1.2 (2) |
The operations register is missing some or all information, including:
|
FCNSW to keep and maintain the operations register as required. |
|
1.3 (1) |
The compliance register is dated for the period 16 November 2019 to 16 November 2020. |
FCNSW to update the compliance register and upload it to the plan portal. |
|
1.3 (1) (a) – (k) |
The compliance register is missing requirements or incomplete information, including:
|
FCNSW to update the compliance register to include all information required by condition 1.3 (1) (a) – (k). |
|
1.3 (1) (a) – (k) |
The compliance layer made available to EPA by FCNSW does not include all requirements (a) – (k). Presently missing requirements or incomplete information, including:
|
FCNSW to update the compliance layer to include input fields for all information required by condition 1.3 (1) (a) – (k). FCNSW to add the required information for all incidents into the compliance layer. |
|
1.4 (1) |
There is only one complaint in the complaints register. |
FCNSW to update the register with any complaints received. |
|
Requirements |
Comments |
Actions |
|---|---|---|
|
1.2 (2) |
The operations register includes incorrect information, including:
|
FCNSW to include the correct information into the operations register. |
|
1.3 (1) (a) – (k) |
The compliance layer includes incorrect information, including:
|
FCNSW to include the correct information into the complaints layer. |