The Independent Forest Audit Process and Protocol (IFAPP) is the key source of guidance and direction for conducting forest audits.
The key components of the IFAPP are the introductory text, and six appendices. Appendix A is the detailed protocol, which sets out the criteria against which forest management is to be examined, and the procedures and evidence to be used in the examination. Appendices B, C, D, E and F, respectively, set out provisions for information-gathering, the preparation of a document describing trends in the forest under audit, the format and content of audit reports, an audit plan template, and how action plans are to be developed in response to each audit.
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Independent Forest Audit Process and Protocol (2013) (PDF, 1.0MB 113 pages)
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Introduction
The Independent Forest Audit Process and Protocol is built on a set of eight guiding principles. These principles are largely common elements found in typical sustainable forest management systems. The principles provide a framework for structuring the detailed protocol (Appendix A to the IFAPP).
The introductory text portion of the IFAPP includes the following general information: an overview of the IFAPP; general description of the steps in the annual IFA program; roles and responsibilities of various key parties; information on action plans and status reports; requirements for records retention; and some references and definitions. This text serves as a short lead-in to the detailed protocol.
Appendix A is the detailed protocol. It is in eight parts – one for each of the eight guiding principles. For each principle, the protocol sets out a number of criteria against which the forest and forest management are examined. For each criterion, a source is set out, as well as a “Date Required”, if necessary. Procedures to be followed for each criterion are also set out, along with a listing of evidence sources to be checked in carrying out each procedure. This Appendix constitutes the bulk of the IFAPP. It is the basis for the audit examination which is performed.
Appendix B is a list of the information to be gathered for the audit. The information has been broken down into four categories, based on the time when it is needed. The categories are: “On award”, “Pre-audit – draft audit plan”, “Pre-audit meeting” and “Field audit”. The list serves as guidance to auditees, and provides a checklist for the audit team in assembling and reviewing documentary information.
Appendix C is the “Comparison and Trend Analysis of Planned vs. Actual Forest Operations”, to be prepared by the forest manager, and then submitted to the auditor for review and analysis. The text is to summarize and explain the trends and comparisons of planned and actual. The auditor is expected to review and analyze the trend analysis and forest manager’s report, and comment on it in the text of the audit report.
Appendix D sets out the format for the final audit reports, and comments on language, content and transmittal letters.
Appendix E provides an audit plan template
Appendix F describes the process for developing action plans and status reports. Management unit action plans are to be prepared by the auditees within two months of receiving the final audit report. Forests Branch leads the preparation of a separate action plan to address recommendations of a regional or provincial nature. The provincial action plan is due within two months of receiving the last final audit report for the year. The Assistant Deputy Ministers for the Regional Operations and Policy Divisions approve the action plans.
For each recommendation in the audit report, the action plan sets out the action required, the responsible party, the deadline dates and how progress is to be tracked. A status report to follow up on action plan progress is to be prepared two years after the action plan is approved. Action plans are posted on this web site beginning with the 2007 audit year. Action plans from previous years are available to the public upon request.
