UKWAS Internal Surveillance Audit

• Document No.

• Property Name

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Forest Manager's Name and any others present

Audit details and Period of Review

• Date of last audit

• Date of this audit

  Date

• Field visit carried out?

  Yes

  No

  N/A

• If NO why not?

Certificate details

• Is the most recently signed Constitution within date? (5 years)

  Yes

  No

  N/A

• Is the Group Scheme Certificate or Acceptance Letter within date? (5 years)

  Yes

  No

  N/A

• Can legal tenure be confirmed as per UKWAS requirements?

  Yes

  No

  N/A

• Are all legal Aspects the same?

  Yes

  No

  N/A

• Comments and actions

Corrective Actions Brought Forward From Last Audit

• Corrective Actions

Corrective Action

• Number and Brief Description

• Severity

  Select Minor Medium Major

  • Minor
  • Medium
  • Major

• Closed?

  Select Yes No

  • Yes
  • No

Material Changes Since Last Audit

• Is the Ownership the Same as previously recorded?

  Yes

  No

  N/A

• Is the current forest area the same as previously stated?

  Yes

  No

  N/A

• State current certified area.

• What are the designations of the site and is there any change to these?

• Are the owners' management policy and objectives the same?

  Yes

  No

  N/A

• Is the Forest Plan the same one as at the last audit?

  Yes

  No

  N/A

• Record any other significant changes not recorded above,

Grant Approvals and Other Grant Aid

• Details of any lapsed schemes

• Details of any amendments

• Details of any new schemes

• Grant payments delayed or overdue

Long Term Forest Plan

• What is the expiry date on the current forest plan?

• Plan Review

  Select Not yet due Due within 1 year (Observation) Overdue by less than 1 year ( Minor CAR) Overdue by more than 1 year (Major) Review completed

  • Not yet due
  • Due within 1 year (Observation)
  • Overdue by less than 1 year ( Minor CAR)
  • Overdue by more than 1 year (Major)
  • Review completed

• Comment on plan review.

• Describe any changes to the Forest Plan.

• Is the compartment schedule up to date?

  Yes

  No

  N/A

• Is the mapping up to date?

  Yes

  No

  N/A

• Are there any mapping additions?

General Aspects

• Correspondence or communications received?

• Other notable aspects.

• Reported incidents not recorded as a CAR.

• Is the insurance cover up to date?

  Yes

  No

  N/A

• Future plans or other comments.

Harvesting activity since last audit.

• Compartments and area felled.

• Compartments and area thinned.

• Do felled and thinned areas correspond to the approved areas in the Forest Plan or Felling Licence?

  Yes

  No

  N/A

• Are contract checklists and competences for the harvesting in order

  Yes

  No

  N/A

• If active harvesting is progressing check the following.

• Is any ground damage acceptable? Are log bridges suitable? Are water courses free from contamination?

  Yes

  No

  N/A

• Is diesel and oil storage acceptable? Are tanks locked? Is the site free from oil spillage and contamination?

  Yes

  No

  N/A

• Are timber stack heights acceptable?

  Yes

  No

  N/A

• Do site operatives have and use appropriate personal protective equipment?

  Yes

  No

  N/A

• Is site signage sufficient and appropriate? Are goal posts in place at power lines? If necessary are alternative routes for public access available and marked?

  Yes

  No

  N/A

• Is there an emergency response plan and first aid provision? Is there suitable spill response equipment and materials?

  Yes

  No

  N/A

• Are road conditions and haulage arrangements adequate. (I.e no diesel spillage, rutting of road, runoff of silt to water courses etc)

  Yes

  No

  N/A

• At field inspection check the following. (Either during or after harvesting.)

• Have/are any special features on the site been/being adequately marked and protected? (Eg protected species, ASNW, Retentions, etc)

  Yes

  No

  N/A

• Have/are deadwood requirements been/being met?

  Yes

  No

  N/A

• Is the site generally clean an tidy?

  Yes

  No

  N/A

Chain of custody

• Check a sample of TANs and or contract documentation.

• Are the TANs taken from the correct TAN book? (FSC or PEFC as appropriate) N/A if sold standing.

  Yes

  No

  N/A

• Is the certification status correctly stated on contract documentation?

  Yes

  No

  N/A

• Is the certification status and correct certificate number stated on sales documentation? If a Scottish Woodlands worked sale this should be our CoC number. If a standing sale this should be to Group Scheme number

  Yes

  No

  N/A

• Do self billing involves or client invoices correctly state the certification status and number? N/A if sold standing.

  Yes

  No

  N/A

Restocking activity since last audit.

• Compartments and area restocked

• Species used to restock (including %)

• Does restocking correspond to the approved Forest Plan or Felling Licence Conditions?

  Yes

  No

  N/A

• Has any ground preparation been carried out to an appropriate standard ref: the Forest and Water Guidelines?

  Yes

  No

  N/A

• Are contract checklists and competences for the restocking in order?

  Yes

  No

  N/A

• FC inspected and approved?

  Yes

  No

  N/A

Pesticide use since last audit.

• Are FEPA Records correctly maintained?

  Yes

  No

  N/A

• Have all pesticide containers been disposed of correctly?

  Yes

  No

  N/A

• Are all pesticides used approved or derogated for use on certified forests?

  Yes

  No

  N/A

• Has all pesticide use been carried out with appropriate contract checklist, trained and competent individuals? Check competences on capacity or file and contract checklist.

  Yes

  No

  N/A

Roads and access

• Are any new road works properly consented? (I.e. SEPA CAR Licences, FCS EIA Determination, Planning Approval if relevant.

  Yes

  No

  N/A

• Are appropriate measures in place to prevent road works from contaminating water courses? (E.g. Silt traps, silt fence, general construction methods.)

  Yes

  No

  N/A

• Are contract checklists and competences in order?

  Yes

  No

  N/A

Other operational aspects

• Have all environmental sensitivities been accounted for? (E.g. Water Guidelines, Protected Species, sensitive sites etc)

  Yes

  No

  N/A

• Note any other operational aspects here. E.g. Fertiliser, respacing, drainage work etc.

• Do any ongoing operations meet the appropriate environmental and health and safety standards?

  Yes

  No

  N/A

• Do all recent drain and culvert ends have a silt trap?

  Yes

  No

  N/A

Sporting, Deer and Game Mangment.

• Is there a current sporting lease? Check competences on capacity or file and lease.

  Yes

  No

  N/A

• Are sporting and deer cull returns recorded on file?

  Yes

  No

  N/A

• Enter sporting and cull returns

• Does sporting activity take into account any site sensitivities? (E.g. Siting of release pens, deer browsing on ASNW or PAWS sites)

  Yes

  No

  N/A

Biodiversity Aspects.

• Are Biodiversity Aspects clearly identified in the Forest Plan?

  Yes

  No

  N/A

• Are these clearly mapped?

  Yes

  No

  N/A

• Are there PAWS or ASNW within the forest and have the PAWS and ASNW been properly surveyed and is the survey on file?

  Yes

  No

  N/A

• Are the Management Prescriptions appropriate? Including LISS If suitable site

  Yes

  No

  N/A

• Is Deadwood being managed appropriately?

  Yes

  No

  N/A

• Are Retentions and Natural Reserves identified separately?

  Yes

  No

  N/A

• Are Retentions and Natural Reserves clearly mapped and are measured areas known

  Yes

  No

  N/A

• If Protected Species or UKBAP Species are present is there an appropriate survey and map?

  Yes

  No

  N/A

Monitoring Programme

• List the monitoring objectives in the plan. Are these being met?

• Minimum UKWAS requirements

• Harvesting yield?

  Yes

  No

  N/A

• Woodland composition and structure?

  Yes

  No

  N/A

• Flora and fauna (UKBAP and Protected Species)

  Yes

  No

  N/A

• Environmental and social impacts?

  Yes

  No

  N/A

• Other monitoring objectives and findings

Other and General Matters

• Is public access available at a level appropriate to the woodland and are all statutory accesses respected?

  Yes

  No

  N/A

• Specify any other matters here.

Corrective Actions and Observations raised or remaining open this audit

• Corrective Actions

Corrective Action

• Capacity CAR Number and Brief Details

• Severity

  Minor

  Medium

  Major
Observations

• Details

SIgnatures

• Signed by manager

  Sign

• Signed by auditor

  Sign