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Prentiss & Carlisle Management Company, Inc.

107 Court Street, Bangor, ME 04401, USA

SFI 2015-2019 Standards and Rules®, Section 2: Forest Management

Surveillance Audit

Printed: May 21, 2023

NSF Forestry Program Audit ReportA. Certificate Holder

Prentiss & Carlisle Management Company, Inc.

NSF Customer NumberC0358816

Contact Information (Name, Title, Phone & Email)David Dow, Chief Forester, 207-942-8295Dave Maddocks, Vice President, 207-942-8295

B. Scope of CertificationForest Management and Timberland Services for a variety of landowners in Maine on approximately 777,341 acres of privately managed forest land. The SFI Forest Management number is NSF-SFI-FM-C0358816.

Locations Included in the CertificationTwo offices in Bangor and Ashland, ME and 5 regions covering the State of Maine.

C. Audit TeamMichelle Matteo, NSF Senior Lead Auditor

Audit Date(s) (If multiple locations were audited, indicate the date of each site visit)29 – 31 October 2018 – Jo-Mary Region and East Branch region

D. Significant Changes to Operations or to the Standard(s)None.

E. Audit Results

No nonconformities or opportunities for improvement were identified.There was/were 8 opportunity(ies) for improvement identified. Summary: 8.1.1 - Program Participants will provide a written policy acknowledging a commitment to recognize and respect

the rights of Indigenous Peoples. Confirmed through review of written language in FMP and in the company handbook that details respect of “ancestry”, but there is an opportunity to improve the written policy acknowledging a commitment to recognize and respect the rights of Indigenous Peoples.

10.1.1 - Program Participants shall individually and/or through cooperative efforts involving SFI Implementation Committees, associations or other partners provide in-kind support or funding for forest research to improve forest health, productivity and sustainable management of forest resources, and the environmental benefits and performance of forest products: Financial or in-kind support of research to address questions of relevance in the region of operations. Examples could include, but are not limited to, areas of forest productivity, water quality, biodiversity, community issues, or similar areas which build broader understanding of the benefits and impacts of forest management. There is an opportunity to improve the participation/support for this requirement, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in early 2018.

10.2.1 - Participation, individually and/or through cooperative efforts involving SFI Implementation Committees and/or associations at the national, state, provincial or regional level, in the development or use of some of the following:a. regeneration assessments;b. growth and drain assessments;c. best management practices implementation and conformance; d. biodiversity conservation information for family forest owners; and e. social, cultural or economic benefit assessmentsThere is an opportunity to improve the participation/support for this requirement, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that

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occurred in early 2018. 10.3.1 - Where available, monitor information generated from regional climate models on long-term forest

health, productivity and economic viability. There is an opportunity to improve the participation/support for this requirement, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in early 2018.

10.3.2 – Program Participants are knowledgeable about climate change impacts on wildlife, wildlife habitats and conservation of biological diversity through international, national, regional or local programs. Chief Forester interviewed confirmed understanding of Manomet’s Climate Change Program. Other forester staff were not as familiar with this subject matter. There is an opportunity to improve PCMC’s knowledge of this requirement.

12.1.1 – Support, including financial, for efforts of SFI Implementation Committees. There is an opportunity to improve the participation for this requirement, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in 2018.

12.1.2 – Support, individually or collaboratively, education and outreach to forest landowners describing the importance and providing implementation guidance on:

a. best management practices;b. reforestation and afforestation; c. visual quality management;d. conservation objectives, such as critical wildlife habitat elements, biodiversity, threatened and

endangered species, and Forests with Exceptional Conservation Value;e. management of harvest residue (e.g., slash, limbs, tops) considers economic, social, environmental factors

(e.g., organic and nutrient value to future forests) and other utilization needs;f. control of invasive exotic plants and animals;g. characteristics of special sites; andh. reduction of wildfire risk.

There is an opportunity to improve the participation for this requirement, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in 2018.

12.1.3 – Participation in efforts to support or promote conservation of managed forests through voluntary market-based incentive programs such as current-use taxation programs, Forest Legacy Program or conservation easements. Confirmed through interviews and document review that this company is a new member of SIC. There is an opportunity to improve the participation for this requirement, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in 2018.

There was/were minor nonconformity(ies) identified. Summary:

There was/were major nonconformity(ies) identified. Summary:

Issues identified at previous audits reviewed for continued conformance. Summary:Minor CARs2.3.6: Rutting of roads and trails was observed at 2 sites and not in compliance with BMPs, nor PCMC policies. Closed: Company analyzed why problem occurred, “Rutting Containment” Memo sent out to all foresters to review rutting policy, re-emphasize rutting policy/BMPs in pre-harvest conference, re-emphasize soil productivity discussion in biodiversity training.15.1.1: System to review commitments, programs and procedures to evaluate effectiveness is not in place. Closed: Updated Policy 5.2 Cross District Monitoring to include a review the effectiveness of internal policies to meet certification standards. 15.1.2: System for collecting, reviewing, and reporting information to management regarding progress in achieving SFI 2015-2019 Forest Management Standard objectives and performance measures is not in place. Closed: Certification Reporting Procedures and presentation of results of the 2017 audit were reviewed by auditor and confirms that a system is in place; system & results of the reporting reviewed during the 2018 audit.



OFIs:3.2.3: There is an opportunity to improve implementation of plans to manage and protect rivers, streams, lakes, wetlands, other water bodies and riparian areas, as a perched culvert with some road surface slumping and slumping of concrete bridge were viewed. Closed: In response to this OFI, Company has implemented a Policy for Cross District Monitoring (added as Policy 5.2 in PCMC’s Policy Manual) that includes parts of this OBS. The following is part of Policy 5.2:“The field visit will evaluate a number of forest management related issues, including:

• Silvicultural prescription • Use of BMP’s• Cut specifications• Product utilization• Adherence by the contractor to the cut specs and written cut plan• Road construction• Effectiveness and/or issues related to Forest Certification • Overall outcome of the operation. • Wildlife issues”

Transportation system elements were looked at extensively during this year’s audit, with multiple stream crossing culverts, bridges, and cross drains/culverts on intermittent streams/culverted wet areas were observed and all were installed correctly, with no issues. Field discussions occurred with foresters, logging operators, and road construction operators; all were well-versed in BMP and related road construction & crossings.5.3.2: There is an opportunity to improve how evidence of conformance to ME’s FPA - State Greenup requirement is documented. Closed: Company has implemented a Policy for Cross District Monitoring (added as Policy 5.2 in PCMC’s Policy Manual) that includes parts of this OBS, with a focus on documentation of items such as this. See above 3.2.3.8.1.1: There is an opportunity to improve the written policy, found in FMP, acknowledging a commitment to recognize and respect the rights of Indigenous Peoples. Remains open: Written language in FMP and company handbook that details respect of “ancestry”, but there is an opportunity to improve the written policy acknowledging a commitment to recognize and respect the rights of Indigenous Peoples.

Yes No N/A (not using)All logos and/or labels, including ANSI, ANAB, SFI, PEFC, ATFS, etc., are utilized correctly in accordance with NSF SOP 14680 and SOP 4876.If answering “No”, a finding of nonconformity should be issued.

For Reassessment Audits:Explain how the organization maintained and demonstrated the effectiveness and improvement of its system, including interactions between processes and locations, taking into consideration internal and external changes in order to enhance overall performance of policy and objectives.Review the performance of the system over the period of certification (e.g., management review records, internal audit records, etc.), and the previous surveillance audit reports. Identify the records that were reviewed.

Answer: N/A – Surveillance audit

F. Appendices

Appendix 1: Audit Notification Letter and Audit Schedule

Appendix 2: Audit Standard Checklist

Appendix 3: Public Summary Report

Appendix 4: Meeting Attendance



Appendix 1

Audit Notification Letter08 October 2018

David B. Dow, Chief ForesterPrentiss and Carlisle Management Company 107 Court Street, P.O., Box 637Bangor, ME 04402-0637 USA

RE: SFI® 2015-2019 Forest Management Standard Surveillance Audit

Dear Mr. Dow,As we discussed, the 2018 joint SFI® and FSC® audits of Prentiss and Carlisle Management Company are scheduled for October 29-31, 2018. We have recently confirmed that these dates are still appropriate for the audit of your program’s conformance to the Sustainable Forestry Initiative® 2015-2019 Forest Management Standards and the FSC P&C. A separate FSC audit plan will be provided by SCS Global Services.

The audit team will consist of Michelle Matteo, NSF– SFI & FSC Lead Auditor. The SFI 2018 Surveillance Audit is a review of your SFI Program to confirm that it is still in conformance with the SFI 2015-2019 Forest Management Standard. Selected SFI Objectives will be evaluated during this surveillance audit: 1.1, 1.2, 1.3, 2.2, 2.4, 2.5, 3.2, 4.1, 4.2, 4.4, 5.4, 6.1, 8.1, 8.3, 9.1, 9.2, 10.1, 10.2, 10.3, 11.1, 11.2, 12.1, 12.2, 12.3, 14.1, 14.2, 15.1.During the SFI audit the team will also:

1. Review the results of the management review of your SFI Program;2. Evaluate the multi-site requirements;3. Review logo and/or label use;4. Confirm public availability of public reports; and5. Review changes in your programs, policies, and procedures.

Preparing for the AuditField Site Selections: Please provide a list of management activities for the forests being audited this year. The lists should be as comprehensive as possible, covering recently completed, ongoing, and planned harvests at a minimum. Please also include lists of other management activities (road building, site-preparation, planting, TSI or release for example) in cases where compiling such lists will not be unduly time-consuming. The lead auditor will make preliminary random selections from these lists. I will then ask your forest manager/foresters to prepare suggested itinerary which include our primary selections supplemented by sites which are proximate or which combine into efficient travel routes. We will need to complete the preliminary selections at least one week before the start of the audits to allow you time to prepare travel route.A key part of the audit is a review of selected evidence related to your program, which may include:

Forest Management Plan for the lands to be audited to SFI Status of Inventory and growth and yield modeling Approval for logo usage (if used SFI and NSF) Internal Audit records Management Review records Training records (Internal and external) Documentation for operation of complaint procedure Herbicide and Pesticide listing of chemicals and acreage Policies regarding certification, health, and safety (Example Organizations HR Manual) Wildlife habitat plans and forestry prescriptions BMP monitoring documents

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Contracts with loggers/operators/truck drivers and road building operators Listing of State and Regulatory contacts including but not limited to (SIC, MFC, MFS, I-800- SFI) Educational Opportunities for Loggers/landowners/community outreach Any ILO complaints Average sizes of clear cuts Cultural Resources Recreational Leases documents/records and monitoring program Receiving documents for raw material Supplier documentation of certification Examples of sales documents such as invoices, shipping documents Verification of Controversial Sources Documentation for subcontracting/outsourcing Documentation for multisite organization (if applicable) Policies regarding certification, health, and safety

Please have this information available for me during the audit.

Scope of Certification: Forest Management and Timberland Services for a variety of landowners in Maine on approximately 777,341 acres of privately managed forest land. The SFI Forest Management certification number is NSF-SFI-FM-C0358816.

Role of SFI Inc. Office of Label Use and LicensingAs a reminder, your organization is responsible for contacting SFI, Inc. and complying with all requirements before using or changing any SFI label or logo. Your contact is:

Rachel Hamilton, Coordinator, Office of Statistics and LabelingSustainable Forestry Initiative, Inc.900 17th Street NW, Suite 700Washington, DC [email protected]

Agenda for ReviewAttached for your review is the tentative agenda that will guide the conduct of the audit. Please contact me via email or phone if you would like to recommend changes or have any questions regarding what is needed for the audit.

Thank you for selecting NSF to provide your audit services.

Sincerely,

Michelle MatteoLead Auditor, [email protected]


mailto:[email protected]



Audit AgendaType of Audit

Readiness Review (Stage 1) Registration (Stage 2) Surveillance

Reassessment Transfer Verification

Other

Audit ObjectivesDetermine if certification should be maintained to the following Standards: SFI 2015-2019 Standards and Rules: Section 2, Forest Management.

Schedule

Day/Date Time * Activity/Process and Location to be Audited Auditor

29 Oct. 2018: PCMC Bangor Office

7:30 am Opening Meeting/Agenda Review Review the Facility Record Sheet (FRS) Discuss changes in operations, confirm scope Review NSF SFI Procedures Discuss field site visit provisions and other logistical issues Overview of Corrective Actions Overview of SFI Survey forms Review minutes of Management meetings Review Logo or Label use issues SFI Program Review (SFI 2015-2019 Forest Management Standard) – Selected

Objectives: 1.1, 1.2, 1.3, 2.2, 2.4, 2.5, 3.2, 4.1, 4.2, 4.4, 5.4, 6.1, 8.1, 8.3, 9.1, 9.2, 10.1, 10.2, 10.3, 11.1, 11.2, 12.1, 12.2, 12.3, 14.1, 14.2, 15.1

Additional Objectives reviewed include findings from the previous audit: 2.3.6, 5.3.2, 15.1.1, 15.1.2

Select field sites in two forester regions, Jo-Mary Area and East Branch Area.

Michelle Matteo (MM)

9:30 am Site visits – Jo-Mary area/region

4:00 pm Daily wrap-up

4:30 pm End

30 Oct. 2018

7:30 am Site visits – East Branch area/region

4:00 pm Daily wrap-up

4:30 pm End

31 Oct. 2018: Field & PCMC Bangor Office

7:30 am Local site visit (if available)

8:30 am Management planning, document and evidence review, including (but not limited to) the following: Inventory Process and Updates Annual Work Plans Heritage Mapping: Biodiversity database Historic/Cultural Sites HCVF and RSA Processes



Forest Insect and Disease Program Invasive Control Program Management Review Tax payments Deed and lease information OG Monitoring records for HCVs Training records Recent salvage activity/acreage COC Label/logo and claims on sales documentsOther Issues

10:30 am Closing Meeting Preparation: Auditor(s) take time to consolidate notes and confirm audit findings

11:00 am Closing Meeting and Review of Findings: Convene with all relevant staff to summarize preliminary audit findings, potential non-conformities and next steps

11:30 am End

* Audit conducted jointly with the FSC FM audit; times approximate and may vary.



Appendix 2

SFI 2015-2019, Section 2: Forest Management Standard Audit ChecklistC0358816 – Prentiss & Carlisle Management Company, Inc.Date of audit(s): 29-31 October 2018

1.2 Additional RequirementsSFI Program Participants with fiber sourcing programs (acquisition of roundwood and field-manufactured or primary-mill residual chips, pulp and veneer to support a forest products facility), must also conform to the SFI 2015-2019 Fiber Sourcing Standard. Use of the SFI on-product labels and claims shall follow Section 5 - Rules for Use of SFI On-Product Labels and Off-Product Marks as well as ISO 14020:2000.

N/A Conforms Exceeds O.F.I. Minor NC Major NC

Audit Notes: SFI Forest Management only.

Objective 1 Forest Management PlanningTo ensure forest management plans include long-term sustainable harvest levels and measures to avoid forest conversion.

Performance Measure 1.1Program Participants shall ensure that forest management plans include long-term harvest levels that are sustainable and consistent with appropriate growth-and-yield models.


Audit Notes: Review of the PCMC Forest Management Plan (FMP) confirms that plans do include long-term harvest levels that are sustainable and consistent with appropriate growth-and-yield models.Interviews with Bill Miller show that the allowable harvest for each member of the group is calculated on an individual tract basis. The methodology used employs documented growth and mortality functions, such as those found in the FIBER model. Acreages are continually updated to reflect harvest treatment and any areas withheld from harvest. The method has been peer reviewed and determined to be a conservative approach. The FMP contains a summary of the methodology used confirmed per FMP review and interview with Bill.

1.1.1 Forest management planning at a level appropriate to the size and scale of the operation, including:a. a long-term resources analysis;b. a periodic or ongoing forest inventory;c. a land classification system;d. biodiversity at landscape scales;e. soils inventory and maps, where available;f. access to growth-and-yield modeling capabilities;g. up-to-date maps or a geographic information system (GIS); h. recommended sustainable harvest levels for areas available for harvest; and i. a review of non-timber issues (e.g., recreation, tourism, pilot projects and economic incentive programs to promote

water protection, carbon storage, bioenergy feedstock production, or biological diversity conservation, or to address climate-induced ecosystem change).


Audit Notes: The FMP, along with the 5-year harvest plans for each tract, policy manual, and biodiversity guidelines (each is a formal PCMC document) incorporate the following details: a) to i) noted above. Samples additionally viewed in the company inventory information and in their GIS that elements are present.



1.1.2 Documented current harvest trends fall within long-term sustainable levels identified in the forest management plan.


Audit Notes: AAC projections are made for 20 years and recalculated when new timber inventories are made on each individual tract at 10 year intervals. The methodology employs self-correcting factors to account for any differences between actual and projected growth levels. Documented in FMP, 5-year plans for each tract, and confirmed with field observations.

1.1.3 A forest inventory system and a method to calculate growth and yield.


Audit Notes: Confirmed that the organization has a forest inventory system and methodology to calculate growth and yield.

1.1.4 Periodic updates of forest inventory and recalculation of planned harvests to account for changes in growth due to productivity increases or decreases, including but not limited to: improved data, long-term drought, fertilization, climate change, changes in forest land ownership and tenure, or forest health.


Audit Notes: Confirmed that the organization has a forest inventory system and methodology for calculating growth and harvest.

1.1.5 Documentation of forest practices (e.g., planting, fertilization and thinning) consistent with assumptions in harvest plans.


Audit Notes: Forest management practice records are complete for lands under PCMC management. Harvest plans are followed up on sites to check compliance with the plan. Planting and fertilization do not currently occur. Updates to stand type and type of activity occurs confirmed in GIS.

Performance Measure 1.2Program Participants shall not convert one forest cover type to another forest cover type, unless in justified circumstances.1.2.1 Program Participants shall not convert one forest cover type to another forest cover type, unless the conversion:

a. Is in compliance with relevant national and regional policy and legislation related to land use and forest management;b. Would not convert native forest types that are rare and ecologically significant at the landscape level or put any native

forest types at risk of becoming rare; andc. Does not create significant long-term adverse impacts on Forests with Exceptional Conservation Value, old-growth

forests, forests critical to threatened and endangered species, and special sites.


Audit Notes: Organization is not converting one forest cover type to another forest cover type, confirmed with field observations and data set review..

1.2.2 Where a Program Participant intends to convert another forest cover type, an assessment considers:a. Productivity and stand quality conditions and impacts which may include social and economic values;b. Specific ecosystem issues related to the site such as invasive species, insect or disease issues, riparian protection needs

and others as appropriate to site including regeneration challenges; andc. Ecological impacts of the conversion including a review at the site and landscape scale as well as consideration for any

appropriate mitigation measures.


Audit Notes: Organization is not converting one forest cover type to another forest cover type. Pockets of heavily diseased beech may be removed, in order to combat beech bark disease and promote popple and yellow birch.



Performance Measure 1.3Program Participants shall not have within the scope of their certification to this SFI Standard, forest lands that have been converted to non-forest land use. Indicator:1.3.1 Forest lands converted to other land uses shall not be certified to this SFI Standard. This does not apply to forest lands used

for forest and wildlife management such as wildlife food plots or infrastructure such as forest roads, log processing areas, trails etc.


Audit Notes: No changes of forest land to non-forest land.



Objective 2 Forest Health and ProductivityTo ensure long-term forest productivity, carbon storage and conservation of forest resources through prompt reforestation, afforestation, minimized chemical use, soil conservation, and protecting forests from damaging agents.

Performance Measure 2.1Program Participants shall promptly reforest after final harvest. Indicators:2.1.1 Documented reforestation plans, including designation of all harvest areas for either natural, planted or direct seeded

regeneration and prompt reforestation, unless delayed for site-specific environmental or forest health considerations or legal requirements, through planting within two years or two planting seasons, or by planned natural regeneration methods within five years.


Audit Notes: NE (not evaluated)

2.1.2 Clear criteria to judge adequate regeneration and appropriate actions to correct understocked areas and achieve acceptable species composition and stocking rates for planting, direct seeding and natural regeneration.


Audit Notes: NE

2.1.3 Plantings of exotic tree species should minimize risk to native ecosystems.


Audit Notes: No planting is done.

2.1.4 Protection of desirable or planned advanced natural regeneration during harvest.


Audit Notes: Noted in PCMC’s Forest Management Policies and Silvicultural Guidelines. Confirmed by field observations that a variety of methods are employed to protect advanced natural regeneration. Examples include planned and widely-spaced skid trails, bumper trees or stumps (trees cut at three to four feet above ground), winter harvesting on snow, directional felling, and selection of harvesting equipment to meet site and stand conditions.

2.1.5 Afforestation programs that consider potential ecological impacts of the selection and planting of tree species in non-forested landscapes.


Audit Notes: N/A, as no afforestation occurs.

Performance Measure 2.2Program Participants shall minimize chemical use required to achieve management objectives while protecting employees, neighbors, the public and the environment, including wildlife and aquatic habitats. Indicators:2.2.1 Minimized chemical use required to achieve management objectives.


Audit Notes: See 2.2.2 and 2.2.6 below.

2.2.2 Use of least-toxic and narrowest-spectrum pesticides necessary to achieve management objectives.


Audit Notes: Organization will use a ME licensed certified applicator and select the least toxic and narrowest spectrum pesticides to achieve management objectives.



2.2.3 Use of pesticides registered for the intended use and applied in accordance with label requirements.


Audit Notes: The pesticides used in the land/ground applications are registered. Observation of chemical storage in the locked garage confirms label retention and correct handling.No herbicide use in the past year.

2.2.4 The World Health Organization (WHO) type 1A and 1B pesticides shall be prohibited, except where no other viable alternative is available.


Audit Notes: The organization currently checks the detailed FSC listing for chemicals prior to use per interview.

2.2.5 Use of pesticides banned under the Stockholm Convention on Persistent Organic Pollutants (2001) shall be prohibited.


Audit Notes: The organization currently checks the detailed FSC listing, including prohibited listings, for chemicals prior to use per interview. No use of these types.

2.2.6 Use of integrated pest management where feasible.


Audit Notes: Per interview with foresters that chemical treatments will be applied only as needed following a request from the forester and a careful review by an experienced, licensed application contractor.

2.2.7 Supervision of forest chemical applications by state- or provincial-trained or certified applicators.


Audit Notes: Bart Plourde, forester, is in the process of becoming certified.Forester on staff has completed the process of holding his applicator license, he will currently be applying chemicals if needed. License reviewed and is up-to-date. If additional application is required, a state licensed contract applicator will be used.

2.2.8 Use of management practices appropriate to the situation, for example: a. notification of adjoining landowners or nearby residents concerning applications and chemicals used;b. appropriate multilingual signs or oral warnings;c. control of public road access during and immediately after applications;d. designation of streamside and other needed buffer strips;e. use of positive shutoff and minimal-drift spray valves;f. aerial application of forest chemicals parallel to buffer zones to minimize drift;g. monitoring of water quality or safeguards to ensure proper equipment use and protection of streams, lakes and other

water bodies;h. appropriate transportation and storage of chemicals; i. filing of required state or provincial reports; and/orj. use of methods to ensure protection of threatened and endangered species.


Audit Notes: Backpack sprayer viewed in garage was used at appropriate time of year, as noted in application records. Contract language includes most of these details and management practices are in conformance with this requirement.



Performance Measure 2.3Program Participants shall implement forest management practices to protect and maintain forest and soil productivity. Indicators:2.3.1 Process to identify soils vulnerable to compaction, and use of appropriate methods, including the use of soil maps where

available, to avoid excessive soil disturbance.


Audit Notes: NE

2.3.2 Use of erosion control measures to minimize the loss of soil and site productivity.


Audit Notes: NE

2.3.3 Post-harvest conditions conducive to maintaining site productivity (e.g., limited rutting, retained down woody debris, minimized skid trails).


Audit Notes: NE

2.3.4 Retention of vigorous trees during partial harvesting, consistent with scientific silvicultural standards for the area.


Audit Notes: NE

2.3.5 Criteria that address harvesting and site preparation to protect soil productivity.


Audit Notes: NE

2.3.6 Road construction and skidding layout to minimize impacts to soil productivity.


Audit Notes: Programs for cooperative use of roads among adjacent landowners, careful planning for road layout, the use of a variety of harvest systems and equipment, the use of un-surfaced (frozen in) winter roads, etc. results in minimized road construction. Observed construction of roads at multiple sites and at most sites, full compliance was observed. Minor CAR 2017: At T13R14 - Tract 70610, there are major wheel ruts from forwarding logs that extend for at least 350 feet from the roadside landing to the treated area. This is not a violation of the law, as there is no jurisdictional wetland or waterbody; however, it is a significant departure from BMPs for timber harvesting and is not in conformance with P&C’s policies on soil treatment. Additionally, within the treated area there is extensive compaction on the trails. Approximately 10% of the area within the treatment has been affected by compaction. In several locations where forwarding trails converge, compaction may also be altering hydrology and may cause ponding of water following the forwarding operation. This also is not in conformance with BMPs nor P&C’s policies.Much less significant minor rutting was also observed at Town of Brownville - Tract 10504 at the back corner of the harvest unit.PCMC’s response was as follows:

January 9, 2018The forwarding operation stopped for several days and it was decided to leave the harvest block un-yarded until freezing temperatures solidified the access trail. In December, the forwarder was brought back to the trail to finish yarding logs and repair trail. Water bars were constructed every 100’ and soil was rolled back into the ruts through the offsetting of the forwarder wheels. No downstream waterway was affected by sediment.This event was caused by rapid and extreme changes in weather and mis-judgement of the contractor on the effects of rains on ground skidding conditions. Rutting occurred quickly



with only a few passes by the loaded forwarder. The Contractor did decide to stop and notify the forester once rutting occurred. The judgement was made to leave remaining harvested wood until conditions improved.In the future P&C will do the following to minimize potential rutting problems: As much as possible, time harvests (season) to soil types to avoid rutting issues Maximize the use of brush on skid trails Harvest potentially vulnerable soil types only in frozen conditions Review rutting policy Re-emphasize rutting policy/BMPs in pre-harvest conference with logging crew Re-emphasize soil productivity discussion in biodiversity training

Per review of the above document, interview with operators in the field & PCMC foresters, and through field observations during this 2018 audit, no rutting was observed and BMPs were appropriately implemented at all sites.



Performance Measure 2.4Program Participants shall manage so as to protect forests from damaging agents, such as environmentally or economically undesirable wildfire, pests, diseases and invasive exotic plants and animals, to maintain and improve long-term forest health, productivity and economic viability. Indicators:2.4.1 Program to protect forests from damaging agents.


Audit Notes: Maine Forest Service sets out traps for Spruce Bud Worm with permission; MFS provides information on active forest pests at trade meetings (NERCROF) or in ad-hoc conversations with District Ranger of the MFS.

2.4.2 Management to promote healthy and productive forest conditions to minimize susceptibility to damaging agents.


Audit Notes: All forest management activities are planned and overseen by experienced, trained, licensed Maine foresters who monitor the condition and health of the forests on their respective land bases, confirmed with a review of active forester licenses.

2.4.3 Participation in, and support of, fire and pest prevention and control programs.


Audit Notes: Harvest notification forms and signs are linked to the excise tax system; these signs were posted at all active harvests and helped confirm the payment of appropriate taxes. Taxes are used in part for fire suppression at both the local and state level.

Performance Measure 2.5Program Participants that deploy improved planting stock, including varietal seedlings, shall use best scientific methods. Indicator:2.5.1 Program for appropriate research, testing, evaluation and deployment of improved planting stock, including varietal

seedlings.


Audit Notes: Planting is not occurring.



Objective 3 Protection and Maintenance of Water ResourcesTo protect the water quality of rivers, streams, lakes, wetlands and other water bodies through meeting or exceeding best management practices.

Performance Measure 3.1Program Participants shall meet or exceed all applicable federal, provincial, state and local water quality laws, and meet or exceed best management practices developed under Canadian or U.S. Environmental Protection Agency–approved water quality programs. Indicators:3.1.1 Program to implement federal, state or provincial water quality best management practices during all phases of

management activities.


Audit Notes: NE

3.1.2 Contract provisions that specify conformance to best management practices.


Audit Notes: NE

3.1.3 Monitoring of overall best management practices implementation.


Audit Notes: NE

Performance Measure 3.2Program Participants shall implement water, wetland and riparian protection measures based on soil type, terrain, vegetation, ecological function, harvesting system, state best management practices (BMPs), provincial guidelines and other applicable factors. Indicators:3.2.1 Program addressing management and protection of rivers, streams, lakes, wetlands, other water bodies and riparian areas

during all phases of management, including the layout and construction of roads and skid trails to maintain water reach, flow and quality.


Audit Notes: Forester(s) utilize stream buffers and buffering protocols within harvest units that meet or exceed minimum requirements of local, state, or federal regulations or BMP’s. Specific stream buffering requirements for any given harvest unit are outlined in LUPC and organized town documentation and locations of buffers on significant stream courses or other water bodies are shown on Harvest Unit Maps. Riparian protection measures are excellent, see field notes.

3.2.2 Mapping of rivers, streams, lakes, wetlands and other water bodies as specified in state or provincial best management practices and, where appropriate, identification on the ground.


Audit Notes: Confirmed with a review of maps from each site visited that all maps include streams, lakes and other water bodies; see field notes. GIS data reviewed and include, but are not limited to the following: flowages, LUPC zones, intermittent and perennial streams, forest type maps.



3.2.3 Document and implement plans to manage and protect rivers, streams, lakes, wetlands, other water bodies and riparian areas.


Audit Notes: In Maine, riparian habitat is protected during forest harvesting by state and local statutes that include measures intended to address items a)-e) of this indicator. These resources are buffered from heavy harvest (wider zone) and from harvest equipment impacts (narrower zone) through pre-sale layout. Details are communicated to the harvesting crews through the use of maps, contracts, detailed prescriptions, and through routine sale monitoring by the forester. Protective mechanisms are well understood and consistently implemented by PCMC foresters. The majority of sites visited during field inspections showed evidence of flagging to mark RMZs and subsequent evidence that contractors were aware of expectations to protect riparian habitat.2017 OFI: In a few areas, there was an opportunity to improve implementation of this PM:At Site 6 (Town of Brownville - Tract 10504), auditors observed a culverted crossing for an unnamed P-SL2 stream on a road classified as a winter road. The 18” double-walled plastic culvert was perched and presents an impediment to the travel of aquatic organisms. Foresters stated that the perch and associated slumping were the result of constructing the road in the winter. No piping of eroded material at the downslope side of the pipe was observed. Upon discussion, the foresters stated that the culvert should be removed, with the streambanks sloped properly and seeded to stabilize them, and the access road should be put to bed.Some slumping was also found at Site 5 (Town of Maxfield - 3 Mile Road spur) at the Hardy Brook bridge crossing. The water crossing was a closed top, waste concrete block bridge with 6 rows of 90# steel beams; new decking was installed in 2016. The crossing was stable on all sides and under the structure, although there was a slumping on the northeastern side of the concrete waste block abutment. It was not critical at the point of inspection, and there was no siltation or sedimentation visible at the site.In response to this OFI, Company has implemented a Policy for Cross District Monitoring (added as Policy 5.2 in PCMC’s Policy Manual) that includes parts of this OBS. The following is part of Policy 5.2:“The field visit will evaluate a number of forest management related issues, including: Silvicultural prescription Use of BMP’s Cut specifications Product utilization Adherence by the contractor to the cut specs and written cut plan Road construction Effectiveness and/or issues related to Forest Certification Overall outcome of the operation. Wildlife issues”Transportation system elements were looked at extensively during this year’s audit, with multiple stream crossing culverts, bridges, and cross drains/culverts on intermittent streams/culverted wet areas were observed and all were installed correctly, with no issues. Field discussions occurred with foresters, logging operators, and road construction operators; all were well-versed in BMP and related road construction & crossings.

3.2.4 Plans that address wet-weather events in order to maintain water quality (e.g., forest inventory systems, wet-weather tracts, definitions of acceptable operating conditions).


Audit Notes: Each forester is in contact with their logging crews and understands acceptable operating conditions. Foresters classify harvest blocks as winter (frozen, due too wet, sensitive soils) or summer (not frozen) and plan harvest operations for various harvesting equipment. Viewed this classification in GIS and confirmed via logger/operator interviews.



Objective 4 Conservation of Biological DiversityTo 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 a diversity of types of habitat and successional stages, and the conservation of forest plants and animals, including aquatic species, as well as threatened and endangered species, Forests with Exceptional Conservation Value, old-growth forests and ecologically important sites.

Performance Measure 4.1Program Participants shall conserve biological diversity. Indicators:4.1.1 Program to incorporate the conservation of native biological diversity, including species, wildlife habitats and ecological

community types at stand and landscape levels.


Audit Notes: A variety of stand types and cover types were viewed during the audit. Confirmed through interviews that IF&W fact sheets and CFRU habitat recommendations are used for Canada Lynx. Harvest plans note for example, Deer Wintering Areas (DWA) and Canada Lynx (a threatened species) presence and FMP notes that forest management activities will take these into consideration when harvesting timber. Company document “Guidelines for Conserving Biodiversity in PMPC Managed Forests”, notes details and PCMC has a landscape analysis document that has been completed since last year’s audit. Discussions occurred with Dave Dow, Chief Forester and John Kolenik, Forester who helped create the Landscape Analysis; LA is very detailed and covers the entire PCMC management area. For deer, PCMC has a manual that is used, and consult with IF&W. In deer wintering areas, PCMC works out a harvest system with IF&W to ensure that the deer’s habitat is maintained.

4.1.2 Development of criteria and implementation of practices, as guided by regionally based best scientific information, to retain stand-level wildlife habitat elements such as snags, stumps, mast trees, down woody debris, den trees and nest trees.


Audit Notes: Noted in FMP and Policy Manual. Much of the needed structural retention is found near harvest blocks in LUPC-zoned protection areas or in riparian zones, but within harvest blocks retention, at lower levels, is also seen, consistent with OSHA safety concerns. Seminars and training provided that cover vernal pools, bio-diversity training has occurred in the past with Mike Thomson and each spring a biodiversity training is completed by PCMC, using their document “Guidelines For Conserving Biodiversity in PCMC Managed Forests”.

4.1.3 Document diversity of forest cover types and age or size classes at the individual ownership or forest tenure level, and where credible data are available, at the landscape scale. Working individually or collaboratively to support diversity of native forest cover types and age or size classes that enhance biological diversity at the landscape scale.


Audit Notes: Confirmed with field visits that landscape level analysis breaks out stand stages, each is represented on the landscape and its own lands. Diversity of forest cover types and age or size classes at the individual ownership has been documented and viewed on maps and in GIS.

4.1.4 Program Participants shall participate in or incorporate the results of state, provincial, or regional conservation planning and priority-setting efforts to conserve biological diversity and consider these efforts in forest management planning. Examples of credible priority-setting efforts include state wildlife action plans, state forest action plans, relevant habitat conservation plans or provincial wildlife recovery plans.


Audit Notes: Company cooperatively manages deer yards with IF&W; see management plan with a matrix of wildlife habitats that take into account State Wildlife Action Plans.



4.1.5 Program to address conservation of known sites with viable occurrences of significant species of concern.


Audit Notes: Management activities near habitat for significant species concern were not observed during the selected audit sites. Harvest prescriptions include a block of text that mentions Threatened and Endangered Species, this also noted in the FMP and any MNAP hits are either excluded from the sale area or flagged and buffered in the stand. MNAP points and polys were observed in GIS and used to product Harvest Unit boundaries. One MNAP hit was located off a harvest unit and a buffer was put in place, see site notes for TAR10 10 WELS – 12710.

4.1.6 Identification and protection of non-forested wetlands, including bogs, fens and marshes, and vernal pools of ecological significance.


Audit Notes: Observed in GIS, none viewed in the field this year, Swett Bog was viewed last year. Foresters identified and protected bogs, vernal pools, and other small wet areas on multiple harvest sites, see site notes.

4.1.7 Participation in programs and demonstration of activities as appropriate to limit the introduction, spread and impact of invasive exotic plants and animals that directly threaten or are likely to threaten native plant and animal communities.


Audit Notes: Field visits were previously completed for observation of a non-native invasive population of Phragmites spp. PCMC is part of the SIC outreach committee and had additionally invited MNAP to teach them about this topic, meeting minutes viewed from the training. SIC guidance documents also viewed.

4.1.8 Consider the role of natural disturbances, including the use of prescribed or natural fire where appropriate, and forest health threats in relation to biological diversity when developing forest management plans.


Audit Notes: Prescribed fire is not currently used in the FMUs. Spruce budworm is a threat and prescriptions are written to remove mature fir first and retain spruce over fir to limit this threat. Viewed in the field as well as policy documents and harvest plans.

Performance Measure 4.2Program Participants shall protect threatened and endangered species, Forests with Exceptional Conservation Values (FECV) and old-growth forests. Indicators:4.2.1 Program to protect threatened and endangered species.


Audit Notes: Company has “Beginning with Habitat” document that is used for training foresters. Foresters consult the database of the MNAP that includes information on known sites of threatened and endangered species. When appropriate, management prescriptions protect relevant species and their habitats. Management activities near endangered species habitats were not observed during field inspections. FMP also details this.

4.2.2 Program to locate and protect known sites flora and fauna associated with viable occurrences of critically imperiled and imperiled species and communities also known as Forests with Exceptional Conservation Value. 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.


Audit Notes: PCMC covers this in a variety of documentation, including the FMP, HCVF stand-alone document (HCVFs are analogous with FECV in the FMP), MNAP and PCMC datasets. Foresters regularly consult the MNAP database that includes information on known sites of threatened and endangered species.



4.2.3 Support of and participation in plans or programs for the conservation of old-growth forests in the region of ownership or forest tenure.


Audit Notes: Participation in state SIC, CFRU, Manomet, Forest Society of ME, and NERCOF meetings is documented and includes research results. As a participant in these organizations, PCMC helped preserve the TNC-owned Big Reed Forest Preserve, a 5,000 ac parcel that contains old-growth, which was recently acquired. “Guidelines for Conserving Biodiversity in PMPC Managed Forests”, notes additional knowledge and detail about these forest types.



Performance Measure 4.3Program Participants shall manage ecologically important sites in a manner that takes into account their unique qualities. Indicators:4.3.1 Use of information such as existing natural heritage data or expert advice in identifying or selecting ecologically important

sites for protection.


Audit Notes: NE

4.3.2 Appropriate mapping, cataloging and management of identified ecologically important sites.


Audit Notes: NE

Performance Measure 4.4Program Participants shall apply knowledge gained through research, science, technology and field experience to manage wildlife habitat and contribute to the conservation of biological diversity. Indicators:4.4.1 Collection of information on Forests with Exceptional Conservation Value 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.


Audit Notes: Confirmed through interviews and observations that foresters have completed a forest inventory and consult the MNAP and CFRU data that include information on known sites. Identified sites are mapped in the GIS system.Confirmed via interview.

4.4.2 A methodology to incorporate research results and field applications of biodiversity and ecosystem research into forest management decisions.


Audit Notes: Company follows their document “Guidelines For Conserving Biodiversity in PCMC Managed Forests”, Adopted: June 2005, Updated: August 2016, as well as the “PCMC Policy Manual”. Both documents note how they will incorporate this information into their management. Additional cooperation for this PM is found with documentation of communication between IF&W Biologist and Forester for a planned harvest in a DWA.



Objective 5 Management of Visual Quality and Recreational BenefitsTo manage the visual impact of forest operations and provide recreational opportunities for the public.

Performance Measure 5.1Program Participants shall manage the impact of harvesting on visual quality. Indicators:5.1.1 Program to address visual quality management.


Audit Notes: NE

5.1.2 Incorporation of aesthetic considerations in harvesting, road, landing design and management, and other management activities where visual impacts are a concern.


Audit Notes: NE

Performance Measure 5.2Program Participants shall manage the size, shape and placement of clearcut harvests. Indicators:5.2.1 Average size of clearcut harvest areas does not exceed 120 acres (50 hectares), except when necessary to meet regulatory

requirements, achieve ecological objectives or to respond to forest health emergencies or other natural catastrophes.


Audit Notes: NE

5.2.2 Documentation through internal records of clearcut size and the process for calculating average size.


Audit Notes: NE

Performance Measure 5.3Program Participants shall adopt a green-up requirement or alternative methods that provide for visual quality. Indicators:5.3.1 Program implementing the green-up requirement or alternative methods.


Audit Notes: NE

5.3.2 Harvest area tracking system to demonstrate conformance with the green-up requirement or alternative methods.


Audit Notes: Company uses the State Greenup requirement noted above and in the FMP.2017 OFI: There is an opportunity to improve how this is documented; currently, it is a visual observation.Company has implemented a Policy for Cross District Monitoring (added as Policy 5.2 in PCMC’s Policy Manual) that includes parts of this OBS, with a focus on documentation of items such as this.



5.3.3 Trees in clearcut harvest areas are at least 3 years old or 5 feet (1.5 meters) high at the desired level of stocking before adjacent areas are clearcut, or as appropriate to address operational and economic considerations, alternative methods to reach the performance measure are utilized by the Program Participant.


Audit Notes: NE

Performance Measure 5.4Program Participants shall support and promote recreational opportunities for the public. Indicator:5.4.1 Provide recreational opportunities for the public, where consistent with forest management objectives.


Audit Notes: Bear baiting permits are provided through the North Maine Woods and are available on PCMC property. Hunter, hiking, and snowmobile trails are present and used, as confirmed during field audit. All tracts are open for hunting. Various camps have access for fisheries. PCMC exceed this section of the SFI Standard by providing recreational access to their forestlands. Foresters handle permission for trail cameras & tree stands, there is not a firewood permit program.



Objective 6 Protection of Special SitesTo manage lands that are geologically or culturally important in a manner that takes into account their unique qualities.

Performance Measure 6.1Program Participants shall identify special sites and manage them in a manner appropriate for their unique features. Indicators:6.1.1 Use of information such as existing natural heritage data, expert advice or stakeholder consultation in identifying or

selecting special sites for protection.


Audit Notes: Harvest notifications are checked against 3 databases kept by the State of Maine (MNAP and IF&W and LUPC zoning maps). Responses from the State of Maine list any “hits” and provide contact information. Also noted in PCMC set of management documents (FMP, 5-year harvest plans, Silvicultural Guidelines, & PCMC Manual – Forest Management Policies), confirmed in the field and with document review for planning of harvests visited. State databases are updated approximately 1x/year.

6.1.2 Appropriate mapping, cataloging and management of identified special sites.


Audit Notes: Viewed in GIS and field. Mapped sites include for example: cemeteries, cellar holes, food plots, beaver dams, spruce bogs, cove forests, cultural artifacts, LURC zoning, and deer yards. One town in particular that is noted was an old cemetery in Wellington – the town approached PCMC and asked that they remove the trees to protect the site. Also, letters are sent to native American groups/ tribes asking for input across the PCMC managed lands.If found in the field, forester will GPS the site, and enter it into the special sites section. Vernal pools, old wells, dead eagles, unopened parachutes, etc. are some of the items that are mapped in the Special Sites layer.



Objective 7 Efficient Use of Fiber ResourcesTo minimize waste and ensure the efficient use of fiber resources.

Performance Measure 7.1Program Participants shall employ appropriate forest harvesting technology and in-woods manufacturing processes and practices to minimize waste and ensure efficient utilization of harvested trees, where consistent with other SFI Standard objectives. Indicator:7.1.1 Program or monitoring system to ensure efficient utilization, which may include provisions to ensure:

a. management of harvest residue (e.g., slash, limbs, tops) considers economic, social and environmental factors (e.g., organic and nutrient value to future forests and the potential of increased fuels build-up) and other utilization needs;

b. training or incentives to encourage loggers to enhance utilization;c. exploration of markets for underutilized species and low-grade wood and alternative markets (e.g., bioenergy

markets); ord. periodic inspections and reports noting utilization and product separation.


Audit Notes: NE



Objective 8 Recognize and Respect Indigenous Peoples’ RightsTo recognize and respect Indigenous Peoples’ rights and traditional knowledge.

Performance Measure 8.1Program Participants shall recognize and respect Indigenous Peoples’ rights. Indicator:8.1.1 Program Participants will provide a written policy acknowledging a commitment to recognize and respect the rights of

Indigenous Peoples.


Audit Notes: Confirmed through review of written language in FMP p. 26 and in the company handbook that details respect of “ancestry”, but there is an opportunity to improve the written policy acknowledging a commitment to recognize and respect the rights of Indigenous Peoples.

Performance Measure 8.2Program Participants with forest management responsibilities on public lands shall confer with affected Indigenous Peoples with respect to sustainable forest management practices. Indicator:8.2.1 Program that includes communicating with affected Indigenous Peoples to enable Program Participants to:

a. understand and respect traditional forest-related knowledge;b. identify and protect spiritually, historically, or culturally important sites; c. address the use of non-timber forest products of value to Indigenous Peoples in areas where Program Participants

have management responsibilities on public lands; andd. respond to Indigenous Peoples’ inquiries and concerns received.


Audit Notes: No public land management.

Performance Measure 8.3Program Participants are encouraged to communicate with and shall respond to local Indigenous Peoples with respect to sustainable forest management practices on their private lands. Indicators:8.3.1 Program Participants are aware of traditional forest-related knowledge, such as known cultural heritage sites, the use of

wood in traditional buildings and crafts, and flora that may be used in cultural practices for food, ceremonies or medicine.


Audit Notes: Lease holder agreements and internal process to capture communication request. Requests are received infrequently and Dave Dow will give written permission for such requests. Per interview, foresters were aware of potential uses, such as fiddleheads, ash for baskets, white birch for canoes, mushrooms, and chaga. Permits given out for Balsam fir tips, for crafts.

8.3.2 Respond to Indigenous Peoples’ inquiries and concerns received.


Audit Notes: Viewed letters sent out to Indigenous Peoples asking for input, comments, or questions. To date the organization has not received inquiries or concerns from Indigenous Peoples.



Objective 9 Legal and Regulatory ComplianceTo comply with applicable federal, provincial, state and local laws and regulations.

Performance Measure 9.1Program Participants shall comply with applicable federal, provincial, state and local forestry and related social and environmental laws and regulations. Indicators:9.1.1 Access to relevant laws and regulations in appropriate locations.


Audit Notes: PCMC follows state BMPs and regulations. Observed bulletin boards in field offices. Field foresters have access to relevant laws through internet websites.

9.1.2 System to achieve compliance with applicable federal, provincial, state, or local laws and regulations.


Audit Notes: PCMC follows state BMPs and regulations. Reviewed system of policies combined with the use of trained loggers and foresters to plan and implement forest management activities.

9.1.3 Demonstration of commitment to legal compliance through available regulatory action information.


Audit Notes:

PCMC follows state BMPs and regulations. Field observations confirmed that MFS notifications are posted on active harvests sites and regulations are posted on bulletin boards in both field offices.

Performance Measure 9.2Program Participants shall take appropriate steps to comply with all applicable social laws at the federal, provincial, state and local levels in the country in which the Program Participant operates. Indicators:9.2.1 Written policy demonstrating commitment to comply with social laws, such as those covering civil rights, equal employment

opportunities, anti-discrimination and anti-harassment measures, workers’ compensation, Indigenous Peoples’ rights, workers’ and communities’ right to know, prevailing wages, workers’ right to organize, and occupational health and safety.


Audit Notes: Reviewed Personnel Handbook and interviewed staff to confirm that organization provides this information. FMP p. 9 also notes SFI requirements.

9.2.2 Forestry enterprises will respect the rights of workers and labor representatives in a manner that encompasses the intent of the International Labor Organization (ILO) core conventions.


Audit Notes: State and Fed requirements and regulations followed. There were not any ILO-related complaints known at the time of the NSF audit.



Objective 10 Forestry Research, Science and TechnologyTo invest in forestry research, science and technology, upon which sustainable forest management decisions are based and broaden the awareness of climate change impacts on forests, wildlife and biological diversity.

Performance Measure 10.1Program Participants shall individually and/or through cooperative efforts involving SFI Implementation Committees, associations or other partners provide in-kind support or funding for forest research to improve forest health, productivity and sustainable management of forest resources, and the environmental benefits and performance of forest products. Indicators:10.1.1 Financial or in-kind support of research to address questions of relevance in the region of operations. Examples could

include, but are not limited to, areas of forest productivity, water quality, biodiversity, community issues, or similar areas which build broader understanding of the benefits and impacts of forest management.


Audit Notes: Participant of SIC and confirmed membership in CFRU. Jeremy Miller previously participated in several SIC meetings in 2016-2018, but due to staff changes, forester Mike Treat is the representative who has attended the SIC meetings recently. There is an opportunity to improve the participation/support for this requirement, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in 2018.

10.1.2 Research on genetically engineered trees via forest tree biotechnology shall adhere to all applicable federal, state, and provincial regulations and international protocols ratified by the United States and/or Canada depending on jurisdiction of management.


Audit Notes: No genetic research.

Performance Measure 10.2Program Participants shall individually and/or through cooperative efforts involving SFI Implementation Committees, associations or other partners develop or use state, provincial or regional analyses in support of their sustainable forestry programs. Indicator:10.2.1 Participation, individually and/or through cooperative efforts involving SFI Implementation Committees and/or associations

at the national, state, provincial or regional level, in the development or use of some of the following:a. regeneration assessments;b. growth and drain assessments;c. best management practices implementation and conformance; d. biodiversity conservation information for family forest owners; and e. social, cultural or economic benefit assessments.


Audit Notes: Jeremy Miller previously participated in several SIC meetings in 2016-2018, but due to staff changes, forester Mike Treat is the representative who has attended the SIC meetings recently. There is an opportunity to improve the participation for this requirements, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in 2018.



Performance Measure 10.3Program Participants shall individually and/or through cooperative efforts involving SFI Implementation Committees, associations or other partners broaden the awareness of climate change impacts on forests, wildlife and biological diversity. Indicators:10.3.1 Where available, monitor information generated from regional climate models on long-term forest health, productivity and

economic viability.


Audit Notes: Confirmed through forester interviews and with CFRU membership & research. Foresters continue to broaden their awareness of climate change impact on forest, wildlife and biological diversity through CEUs required by their forestry license.There is an opportunity to improve the participation for this requirements, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in 2018.

10.3.2 Program Participants are knowledgeable about climate change impacts on wildlife, wildlife habitats and conservation of biological diversity through international, national, regional or local programs.


Audit Notes: Chief Forester interviewed confirmed understanding of Manomet’s Climate Change Program. Other forester staff were not as familiar with this subject matter. There is an opportunity to improve PCMC’s knowledge of this requirement.



Objective 11 Training and EducationTo improve the implementation of sustainable forestry practices through appropriate training and education programs.

Performance Measure 11.1Program Participants shall require appropriate training of personnel and contractors so that they are competent to fulfill their responsibilities under the SFI 2015-2019 Forest Management Standard. Indicators:11.1.1 Written statement of commitment to the SFI 2015-2019 Forest Management Standard communicated throughout the

organization, particularly to facility and woodland managers, and field foresters.


Audit Notes: Reviewed section of FMP noting this on p. 9.

11.1.2 Assignment and understanding of roles and responsibilities for achieving SFI 2015-2019 Forest Management Standard objectives.


Audit Notes: Staff demonstrate basic understanding of the SFI 2015-2019 Forest Management Standard objectives. Roles were confirmed via interview.

11.1.3 Staff education and training sufficient to their roles and responsibilities.


Audit Notes: Personnel and contractors are required to be appropriately trained and NSF auditors confirmed conformance with this requirement through documents and employee/logger interviews. Reviewed training records for the following: utilization, first aid, meth lab ID & safety, MNAP 2017 invasive training.

11.1.4 Contractor education and training sufficient to their roles and responsibilities.


Audit Notes: Confirmed through interviews and document review, including CLP database, that harvest contractors have CLP, and that road contractors and truck drivers have BMP training.Overall communication with loggers and logger knowledge is high, with one road contractor in particular on Tract 12606, exceeding this PM, as noted in site notes.

11.1.5 Program Participants shall have written agreements for the use of qualified logging professionals and/or certified logging professionals (where available) and/or wood producers that have completed training programs and are recognized as qualified logging professionals.


Audit Notes: Company requires that all loggers contracted with them receive and maintain CLP certification. Confirmed through contract review, interviews, and document review, including CLP database, that harvest contractors have CLP, and that road contractors and truck drivers have BMP training. Additional contract samples reviewed include boundary line, yard closeouts, road work contract, & road closeout.



Performance Measure 11.2Program Participants shall work individually and/or with SFI Implementation Committees, logging or forestry associations, or appropriate agencies or others in the forestry community to foster improvement in the professionalism of wood producers. Indicators:11.2.1 Participation in or support of SFI Implementation Committees to establish criteria and identify delivery mechanisms for

wood producer training courses and periodic continuing education that address:a. awareness of sustainable forestry principles and the SFI program;b. best management practices, including streamside management and road construction, maintenance and retirement; c. reforestation, invasive exotic plants and animals, forest resource conservation, aesthetics and special sites;d. awareness of responsibilities under the U.S. Endangered Species Act, the Canadian Species at Risk Act, and other

measures to protect wildlife habitat (e.g., Forests with Exceptional Conservation Value);e. awareness of rare forested natural communities as identified by provincial or state agencies, or by credible

organizations such as NatureServe, The Nature Conservancy, etc.f. logging safety;g. U.S. Occupational Safety and Health Administration (OSHA) and Canadian Centre for Occupational Health and Safety

(CCOHS) regulations, wage and hour rules, and other provincial, state and local employment laws; h. transportation issues;i. business management;j. public policy and outreach; andk. awareness of emerging technologies.


Audit Notes: SIC member. Maine SIC covers a) to k).

11.2.2 The SIC-approved wood producer training programs shall have a continuing education component with coursework that supports the current training programs, safety and the principles of sustainable forestry.


Audit Notes: Member of Maine SIC that has an approved training program. Confirmed through interviews and document review that this company is a newer member of SIC. Requirement will be checked again during the next audit cycle. Confirmed per interview and SIC meeting minutes, that forester Jeremey Miller, attended the SIC meetings in 2016-early 2018. This forester has left the company and a different forester has attended one SIC meeting in 2018, confirmed with SIC meeting minutes.

11.2.3 Participation in or support of SFI Implementation Committees to establish criteria for recognition of logger certification programs, where they exist, that include:a. completion of SFI Implementation Committee recognized logger training programs and meeting continuing education

requirements of the training program;b. independent in-the-forest verification of conformance with the logger certification program standards;c. compliance with all applicable laws and regulations including responsibilities under the U.S. Endangered Species Act,

the Canadian Species at Risk Act and other measures to protect wildlife habitat;d. use of best management practices to protect water quality;e. logging safety;f. compliance with acceptable silviculture and utilization standards;g. aesthetic management techniques employed where applicable; andh. adherence to a management or harvest plan that is site specific and agreed to by the forest landowner.


Audit Notes: Confirmed through interviews and document review that this company is a newer member of SIC. Requirement will be checked again during the next audit cycle. Confirmed per interview and SIC meeting minutes, that forester Jeremey Miller, attended the SIC meetings in 2016-early 2018. This forester has left the company and a different forester has attended one SIC meeting in 2018, confirmed with SIC meeting minutes.



Objective 12 Community Involvement and Landowner OutreachTo broaden the practice of sustainable forestry through public outreach, education, and involvement, and to support the efforts of SFI Implementation Committees.

Performance Measure 12.1Program Participants shall support and promote efforts by consulting foresters, state, provincial and federal agencies, state or local groups, professional societies, conservation organizations, Indigenous Peoples and governments, community groups, sporting organizations, labor, universities, extension agencies, the American Tree Farm System® and/or other landowner cooperative programs to apply principles of sustainable forest management. Indicators:12.1.1 Support, including financial, for efforts of SFI Implementation Committees.


Audit Notes: Confirmed through interviews and document review that this company is a new member of SIC. Requirement will be checked again during the next audit cycle.There is an opportunity to improve the participation for this requirements, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in 2018.

12.1.2 Support, individually or collaboratively, education and outreach to forest landowners describing the importance and providing implementation guidance on:a. best management practices;b. reforestation and afforestation; c. visual quality management;d. conservation objectives, such as critical wildlife habitat elements, biodiversity, threatened and endangered species,

and Forests with Exceptional Conservation Value;e. management of harvest residue (e.g., slash, limbs, tops) considers economic, social, environmental factors (e.g.,

organic and nutrient value to future forests) and other utilization needs;f. control of invasive exotic plants and animals;g. characteristics of special sites; andh. reduction of wildfire risk.


Audit Notes: Confirmed through interviews and document review that this company is a new member of SIC. Requirement will be checked again during the next audit cycle.There is an opportunity to improve the participation for this requirements, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in 2018.

12.1.3 Participation in efforts to support or promote conservation of managed forests through voluntary market-based incentive programs such as current-use taxation programs, Forest Legacy Program or conservation easements.


Audit Notes: The Reed Property had a conservation easement sold to The Conservation Fund in 2016; P&C manages the property on behalf of the TCF. Confirmed through interviews and document review that this company is a new member of SIC. Requirement will be checked again during the next audit cycle.There is an opportunity to improve the participation for this requirements, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in 2018.



Performance Measure 12.2Program Participants shall support and promote, at the state, provincial or other appropriate levels, mechanisms for public outreach, education and involvement related to sustainable forest management. Indicator:12.2.1 Periodic educational opportunities promoting sustainable forestry, such as

a. field tours, seminars, websites, webinars or workshops;b. educational trips;c. self-guided forest management trails; d. publication of articles, educational pamphlets or newsletters; ore. support for state, provincial, and local forestry organizations and soil and water conservation districts.


Audit Notes: Organization completed field tours, seminars, websites, webinars or workshops. Confirmed through interviews and email documentation. This support is additionally provided through the Maine SFI Implementation Committee membership, membership confirmed.

Performance Measure 12.3Program Participants shall establish, at the state, provincial, or other appropriate levels, procedures to address concerns raised by loggers, consulting foresters, employees, unions, the public or other Program Participants regarding practices that appear inconsistent with the SFI Standard principles and objectives. Indicators:12.3.1 Support for SFI Implementation Committees (e.g., toll-free numbers and other efforts) to address concerns about apparent

nonconforming practices.


Audit Notes: SIC hotline in place, registration audit, no concerns to date. Confirmed through interviews and document review that this company is a new member of SIC. Requirement will be checked again during the next audit cycle.

12.3.2 Process to receive and respond to public inquiries. SFI Implementation Committees shall submit data annually to SFI Inc. regarding concerns received and responses.


Audit Notes: Public contact reports retained by foresters – no complaints during this 1st surveillance audit. Confirmed through interviews and document review that this company is a new member of SIC. Requirement will be checked again during the next audit cycle.



Objective 13 Public Land Management ResponsibilitiesTo participate and implement sustainable forest management on public lands.

Performance Measure 13.1Program Participants with forest management responsibilities on public lands shall participate in the development of public land planning and management processes. Indicators:13.1.1 Involvement in public land planning and management activities with appropriate governmental entities and the public.



13.1.2 Appropriate contact with local stakeholders over forest management issues through state, provincial, federal or independent collaboration.





Objective 14 Communications and Public ReportingTo increase transparency and to annually report progress on conformance with the SFI Forest Management Standard.

Performance Measure 14.1A Program Participant shall provide a summary audit report, prepared by the certification body, to SFI Inc. after the successful completion of a certification, recertification or surveillance audit to the SFI 2015-2019 Forest Management Standard. Indicator:14.1.1 The summary audit report submitted by the Program Participant (one copy must be in English), shall include, at a minimum,

a. a description of the audit process, objectives and scope;b. a description of substitute indicators, if any, used in the audit and a rationale for each;c. the name of Program Participant that was audited, including its SFI representative;d. a general description of the Program Participant’s forestland included in the audit;e. the name of the certification body and lead auditor (names of the audit team members, including technical experts

may be included at the discretion of the audit team and Program Participant); f. the dates the audit was conducted and completed;g. a summary of the findings, including general descriptions of evidence of conformity and any nonconformities and

corrective action plans to address them, opportunities for improvement, and exceptional practices; andh. the certification decision.The summary audit report will be posted on the SFI Inc. website (www.sfiprogram.org) for public review.


Audit Notes: Per interview, Company is aware of the need to complete this annually, copy verified on the SFI website in advance of this audit.

Performance Measure 14.2Program Participants shall report annually to SFI Inc. on their conformance with the SFI 2015-2019 Forest Management Standard. Indicators:14.2.1 Prompt response to the SFI annual progress report survey.


Audit Notes: First surveillance audit. Per interview and review of email confirmation to SFI.

14.2.2 Record keeping for all the categories of information needed for SFI annual progress report surveys.


Audit Notes: First surveillance audit. Per interview, all needed documents are retained.

14.2.3 Maintenance of copies of past survey reports to document progress and improvements to demonstrate conformance to the SFI 2015-2019 Forest Management Standard.


Audit Notes: First surveillance audit. Per interview, Company is aware of the need to maintain these documents.



Objective 15 Management Review and Continual ImprovementTo promote continual improvement in the practice of sustainable forestry by conducting a management review and monitoring performance.

Performance Measure 15.1Program Participants shall establish a management review system to examine findings and progress in implementing the SFI 2015-2019 Forest Management Standard, to make appropriate improvements in programs, and to inform their employees of changes. Indicators:15.1.1 System to review commitments, programs and procedures to evaluate effectiveness.


Audit Notes: First surveillance audit. PCMC has completed internal audits for Q1, Q2, & Q3 2018 and has provided the results with the auditor.

15.1.2 System for collecting, reviewing, and reporting information to management regarding progress in achieving SFI 2015-2019 Forest Management Standard objectives and performance measures.


Audit Notes: First surveillance audit. PCMC has completed internal audits for Q1, Q2, & Q3 2018 and has provided the results with the auditor.

15.1.3 Annual review of progress by management and determination of changes and improvements necessary to continually improve conformance to the SFI 2015-2019 Forest Management Standard.


Audit Notes: First surveillance audit. PCMC has completed internal audits for Q1, Q2, & Q3 2018 and has provided the results with the auditor, Dave Dow completes the documentation for the annual review by management and presented it to senior management on Dec 1, 2017. Per procedures, this will occur each year after the audit process is completed.

(End SFI Forest Management Checklist)



Checklist for Section 9, Appendix 1: Audits of Multi-Site OrganizationsC0358816 – Prentiss & Carlisle Management Company, Inc.Date of audit(s): 29-31 October 2018

3. Terms and Definitions

3.1 Organization: The term organization is used to designate any company or other organization owning a management system subject to audit and certification.

3.2 Site: A site is a permanent location where an organization carries out work or a service.

3.3 Multi-Site Organization: An organization having an identified central function (hereafter referred to as a central office – but not necessarily the headquarters of the organization) at which certain activities are planned, controlled or managed and a network of local offices or branches (sites) at which such activities are fully or partially carried out.

3.4 Group Certification Organization: A specific type of multi-site organization where forest owners, forest owners’ organizations, forest managers, forest products manufacturers or forest products distributors without a pre-existing legal or contractual link can form a group for the purposes of achieving certification and gaining eligibility for a sampling approach to certification audits.

For audits of conformance with SFI Section 4 in the SFI 2015-2019 Standards and Rules document, multi-site organizations using either IAF-MD1 or alternate approaches to sampling shall ensure that all the relevant sites (including the central function) are subject to the organization’s internal audit program and shall have been audited in accordance with that program prior to the certification body starting its assessment. (Section 9, Requirement 4.1.5 Audit Procedures)Note: Communicate with NSF Project Manager to confirm.

Yes No N/A

Audit Notes: Confirmed through interviews and document review. See also section 4.1.5

4.1 Eligibility Criteria / Method of Sampling (choose 1)

Eligibility criteria established in IAF-MD1: Use Sub-Checklist 9-1-A below.

Alternative Approaches to sampling provided for in Section 9, Subsection 5.2 of the Audit Procedures and Auditor Qualifications and Accreditation document: Use Sub-Checklist 9-1-B below.



Sub-Checklist 9-1-A: Eligibility Criteria Established in IAF-MD1

Applicable Not Applicable4.1.1 Multi-site organizations using IAF-MD1 as the basis for sampling shall meet the eligibility criteria established in IAF-MD1,

including, but not limited to, the following:a. The processes at all sites have to be substantially of the same kind and have to be operated to similar methods and

procedures.

Yes No N/A

Audit Notes: All five forester regions are managed by the same organization with the same methods and procedures.

b. The organization’s management system shall be under a centrally controlled and administered plan and be subject to central management review and all relative sites (including the central administration function) shall be subject to the organization’s internal audit program.

Yes No N/A

Audit Notes: All regions are centrally controlled by the Central Office (CO) located in Bangor and management is over seen by PCMC.

c. It shall be demonstrated that the central office of the organization has established a management system in accordance with the SFI 2015-2019 Standards and that the whole organization meets the requirements of the standard.

Yes No N/A

Audit Notes: The organization is relatively new to SFI, however has been previously FSC FM certified. Program is in place with Dave Dow responsible for the overall management system.

d The organization should demonstrate its ability to collect and analyze data (including, but not limited to, the items listed below) from all sites including the central office and its authority and also demonstrate its authority and ability to initiate organizational change if required:i. System documentation and system changes;ii. Management review;iii. Complaints;iv. Evaluation of corrective actions;v. Internal audit planning and evaluation of the results;vi. Changes to aspects and associated impacts for environmental management systems andvii. Different legal requirements.

Yes No N/A

Audit Notes: Confirmed the organization has one centralized system at the CO in Bangor for documents and GIS. There is a centralized complaints process that has not been used yet, as no complaints have been received.

5.1 Sampling Approaches5.1.1 Certification bodies auditing multi-site organizations using IAF -MD1 as the basis for sampling shall meet the sample

selection and intensity criteria established in IAF -MD1. (Note: The Sampling requirements under IAF-MD1 are provided below in italics and using the numbering system from IAF-MD1)

Yes No N/A

Audit Notes: Two of the five forester regions were required to be sampled as described in this section of the Standard. The Jo-Mary region and the East Branch region were audited this year.

Note: The Sampling Requirements under IAF-MD1 are provided; only the requirements which apply to the organization and which are mandatory (“must…”) were included.

(END Sub-Checklist 9-1-A: Eligibility Criteria Established in IAF-MD1).



Audit Itinerary, Activities, and Site Notes Date: 29 October 2018Time/Sites visited

Activities/ notes: Prentiss & Carlisle Management Company Office107 Court Street, Bangor, ME

7:30 am – 9:30 am

Opening Meeting: Introductions, client update, review scope of evaluation, audit plan, intro/update to FSC and SCS standards, confidentiality and public summary, conformance evaluation methods and tools, review of open CARs/OBS, emergency and security procedures for evaluation team, final site selection.

9:30 am Jo-Mary area Site visits (multi-site region 1)Site # Sale/Activity

Name/Feature of Interest

Audit team notes

1 T5R9NWP\SE Part 2018 WMS Spring Harvest - 12121

Block 1 - 26 acre Selection cut & Block 2 – 86 acre Selection cut/Thinning. Closed April 2018.Horseshoe Pond Road bisects the 2 blocks. Small area in the west side of Block 2 not cut, as the weather changed before the cut was finished.Advanced regeneration of spruce and fir with pockets of other multiple species. Some cedar bogs present within the harvest block.Selection cut to remove mature log trees and lower quality hardwoods to release the pole-sized hardwoods. Thinning to remove the larger fir, spruce & lower quality hardwoods to allow more growing space for smaller residual softwood stems.Retained large white pine and some young fir, good popple regeneration already. Snags, leave trees, and boundaries retained/viewed.Ribboned buffers along brooks and Ebeemee Pond. Harvester can reach boom over the line to remove less than 30% of the volume, but no machinery allowed into the buffer – well respected.A higher percentage of fir was present in the stand as well as some popple, Sappi Mill was accepting it, so some additional volume of lower quality trees were removed. Pre-historic artifact hit in the area by the bridge that is outside the harvest area, with no harvest planned for that area at this time.

2 T5R9NWP\SE Part 2018 Harvest - 12121

Block 3 – 3 acre Selection cut & Block 4 – 50 acre OSR/Selection cut. Closed. Harvest areas are along Rte. 11. Last harvest was approximately 15 years ago. Softwood site containing spruce, fir, poplar, pine, & low quality hardwoods. Cut to release and protect he existing softwood regeneration by removing most of the overtopped trees. Sale edge follows a historic road. Ribboned buffers along brooks and Ebeemee Pond. Harvester can reach boom over the line to remove less than 30% of the volume, but no machinery allowed into the buffer – well respected. 1 trail only entering the yard, softwood regen protected, white pine retained for potential nest/perch sites.Some damage to residual stems on skid trails, but at acceptable levels. Old roads avoided. Adequate slash on trails to reduce impact. Small stream just behind camps, used a pole crossing (now removed) to access Block 3. Property boundary next to camp and stream well flagged.

3 T5R9NWP-SE 4 Public Lot - 12128

2 blocks totaling 53 acres of Selection cut. Closed 2017. Totem Pole Road splits the 2 blocks of the harvest.Remove mature trees and low quality hardwoods to release the pole sized hardwoods. Cut on snow, smooth barked beech retained. Trail spacing is very consistent. Wildlife trees present and a variety of species retained. Road recently graded to prepare it for Winter and ensure a crown, so water will drain off of it.

4 Infrastructure – Road construction

Road construction to access future harvest areas in 2019. Interview with excavator operator occurred. Operator well-versed in FSC and SFI requirements and holds SFI training. He also referenced Maine BMPs and Water Quality publications during our discussions and carries copies of the books in his work truck. Culverts on-site to be installed further up the road. Forester walks the site with operator before construction starts. Safety elements viewed, PPE



present and in use, spill kit, fire extinguisher on grader.5 TBR10WELS -

12606Block 1 – 17 acre Selection cut & Block 3 – 68 acre Selection cut/ OSR. Active, started about 1 week ago. Entrance into Jo-Mary Gate, access open for all from now to the beginning of May. Stream crossing on road into site with 2-24” culverts – culvert was bent in and could impede flow, Foresters fixed the culvert on site during site visit. Excluded wet areas ribbonned to a finer level of detail on the ground. , harvester can reach boom over the line to remove less than 30% of the volume, but no machinery allowed into the buffer – well respected. Brook crossing in the center of the harvest area on access road.Interview with loggers: Forester walks the site with operator before harvest starts. Safety elements viewed, PPE present and in use, 2 spill kits, fire extinguisher. Operators have both the GPS information and features are ribbonned in the field. Safety training occurs every 2 months and when possible, every month. Operators well-versed in site conditions/harvest techniques, BMPs, including spacing on different slopes, BMPs needed at site and yard closeouts. Trip Ticket (TT) books viewed and given to the crane operator with Certification Information noted on TTs. Confirmed good communication between loggers & PCMC.

6 TAR10WELS - 12710

600 acre Selection cut. Active, started May 2018. Rambler Road Extension enters the middle of the stand. Harvest ‘pockets’ are delineated on the ground and in GIS, in order to avoid the multiple small brooks and seeps present. Mostly hardwood stand consisting of diseased beech, poplar, soft/hard maple, and scattered spruce and hemlock.Low quality stems, white birch and diseased to be removed to increase growth to the small diameter hardwoods. Road will be retired next year after the cut is completed.Viewed both blue flagged perennial stream, kept skid trails off of it, adequate shade retained and no crossing permitted, as well as orange flagged SMZs with 75’ buffer - harvester can reach boom over the line to remove less than 30% of the volume, but no machinery allowed into the buffer – well respected. Trails stabilized with slash. Viewed the last truck hauling out for the day with “PC296” painted on the load. 5 yards are left to haul from, harvesting is completed for the year, will finish this week grappling/skidding. Good road condition, wildlife, snags, & leave trees retained. Birch bark disease present. Boundaries flagged and visible.

7 Infrastructure – Twin Bridges

Road owned by PCMC, Twin Bridges at Mile 8 viewed. PSL2 - no permit needed, just notification for both.1st bridge: Original rock and concrete block abutments, with I-beam stringers, the top wooden decking was replaced about 3 years ago. 2nd bridge: Deck replaced 2-3 years ago. Some old metal and wood in stream under bridge. Banks undisturbed and bridges in good repair.

4- 4:30 pm Daily wrap-upDate: 30 October 20187:30 am East Branch area Site visits (multi-site region 2)Site # Sale/Tract/Activity

Name/Feature of Interest

Audit team notes

8 Infrastructure issue Bridge over flowage @ 1.5 mi brook has had a reoccurring beaver issue. APHIS has been involved, due to the continued problem and subsequent road flooding.

9 Infrastructure Portable bride installed by the State to access their land beyond the crossing for harvest. PCMC has permission to use the bridge that crosses the stream in this unique geologic area that consists of the sandbank stream, next to the esker (that the upgraded road primarily sits on), next to the river.

10 T3R7WELS - 23800 110 acre modified overstory removal. Recently closed, crew finished in late September, trucking finished last week.Borders both the Maine Natural Areas Program (MNAP) Hunt Mountain RSA and the Silver Maple Floodplain Forest HCVF.



Logging crew has a biodiversity training every spring.Trail placement flagged out by forester and logger, due to multiple SMZs/wet runs. Adequate slash and bumper trees used. Water bars present on hill leading down into the floodplain of the 2nd stream. Old road is holding water, was heavily brushed in. Road and culvert installed by State of Maine, contracted to P&C Enfield Division. SMZ, wet areas, seeps, & ponds flagged off and respected by logger. Back line bordering the RSA was well flagged, boundary well-respected.

11 RSA & HCVF RSA - Hunt Mountain contains a sugar maple forest with American ginseng and purple clematis present, part of MNAP and protected from harvest by PCMC. HCVF – MNAP mapped Silver Maple Floodplain Forest and Appalachian Acadian Rivershore Ecosystem. Hardwood Seepage Forest and Orono Sedge are also part of the HCVF.Very unique and protected from harvest by PCMC. Both features viewed in GIS.

12 T4R7WELS NW/4 – 26015

2 blocks totaling 87 acres of Modified OSR to reallocate growth to established regeneration. Winter cut, continuation of the below Fall harvest (audit site 7). Closed July 2013. Harvest is on both side of Sherman Lumber Road. Trails well brushed in, SMZ flagged throughout and respected. Several wet runs and a few small brooks throughout, avoided where present. Viewed Block 3 & 4. Boundaries well marked, landing clean and closed out. Retention of wildlife trees, snags, LWD retained.

13 T4R7WELS NW/4 - 26015

4 blocks totaling 110 acres of Modified OSR. Fall harvest. Closed in late 2017.Goal is to release advanced regeneration and pole sized growing stock, promote and enhance the growth of quality trees while encouraging growth to regeneration. Residual stems protected. Viewed Block 3 & 4. Several wet runs present and avoided. Boundaries well marked, landing clean and closed out. Retention of wildlife trees, snags, LWD retained.

14 T5R7WELS S/2 PL - 24501

32 acre Selection cut, 52 Acre Modified OSR/Low-density Selection cut. Active.Old snowmobile trail was kept clean and accessible. Wood still needs to be hauled from 3 yards, cutting completed.Interview with logger on-site. Logger interviewed was knowledgeable about site conditions/harvest techniques, & BMPs, and confirmed good communication with PCMC. Spill kit, PPE, and fire extinguisher present. Residual damage is low. Retention of and marking for other mast trees viewed, wildlife and legacy trees retained, coarse woody debris present. Good BMP implementation.

15 TAR10 10 WELS – 12710MNAP

Discussion of nearby closed job. 244 total acres - OSR and Patch-strip cuts in Blocks 1 & 2.MNAP/GIS hit for a Yellow Lamp mussel in the southern part of the harvest block where the brook drains into Upper Jo-Mary Lake. Buffered 250’ on the lake and notified the foreman and workers about the situation, in addition to the marked buffer on the ground.

16 Mt. Chase - 23205 Closed March 2018. Very wet area, needed frozen ground. Excellent regeneration, popple is already greater than 5’ tall. Logging equipment in good shape, relatively new. Biomass was just finished last week on the job.

17 Infrastructure - roads

Road construction and cross drains – replacement of culverts on the main road neat Mt. Chase harvest. Culvert sited well, cross drains clear. All applicable regulations and BMPs followed.

4:30-5:00 pm

Daily wrap-up

Date: 31 October 2018Sites Activities/ notes: Bangor Office7:30– 11:00 am

Management planning, document and evidence review, including AAC discussion and HCVF evaluation, other Issues

11:00 – 11:30 am

Closing Meeting Preparation: Auditor(s) take time to consolidate notes and confirm evaluation findings

11:30 am – 12 pm

Closing Meeting: Review preliminary findings (potential non-conformities and observations) and discuss next steps



Appendix 3

Prentiss & Carlisle Management Company2018 SFI Forest Management Public Summary Audit Report

IntroductionThe SFI program of Prentiss and Carlisle Management Company of Bangor, ME has demonstrated conformance with the SFI 2015-2019 Standard and Rules, Section 2 – Forest Management Standard in accordance with the NSF certification process.PMMC manages private forest lands in the State of Maine and Michigan. For this scope, only the managed lands in Maine are being certified. PCMC is a forest resource management and timberland services firm that was founded more than 90 years ago. “PCMC provides an integrated array of strategic, administrative, and operational forest management services tailored to meet our clients' diverse objectives — from aesthetics to optimum rate of return on investment — while practicing responsible forest stewardship. Services include: forest resource management, consulting, appraisals and valuations, woodlot services, marketing, operations, accounting and reporting, and timberland investments” - taken from company website: www.prentissandcarlisle.com.The audit was performed by NSF on October 29-31, 2018 by an audit team headed by Michelle Matteo, Sr. Lead Auditor. Audit team members fulfill the qualification criteria for conducting audits contained in SFI 2015-2019 Standards and Rules, Section 9 - Procedures and Auditor Qualifications and Accreditation.The objective of the audit was to assess conformance of the firm’s SFI Program to the requirements of the SFI 2015-2019 Standard and Rules, Section 2 – Forest Management.The scope of the audit included forest management operations. Forest practices that were the focus of field inspections included those that have been under active management over the planning period of the past 3 years. In addition practices conducted earlier were also reviewed as appropriate (regeneration and BMP issues, for example), SFI obligations to promote sustainable forestry practices, to seek legal compliance, and to incorporate continual improvement systems were also within the scope of the audit.Several of the SFI Section 2 requirements were outside of the scope of Prentiss & Carlisle Management Company, Inc.’s SFI program and were excluded from the scope of the audit as follows:

Performance Measure 2.5: Use best scientific methods if/when deploying improved planting stock, including varietal seedlings. No planting occurs, natural regeneration only.Performance Measure 13.1: Participate in the development of public land planning and management processes if they have forest management responsibilities on public lands. No management occurs on public lands.

No indicators were modified.

Audit ProcessNSF initiated the audit process with a readiness review to confirm the scope of the audit, review the SFI Indicators and evidence to be used to assess conformance, verify that Prentiss and Carlisle Management Company was prepared to proceed to the audit, and to prepare a detailed audit plan. NSF then conducted the audit of conformance. A report was prepared and approved by an independent certification board member assigned by NSF. Follow-up or surveillance audits are required by SFI, Section 9. The initial surveillance audit was conducted on October 29-31, 2018.The audit was governed by a detailed audit plan designed to enable the audit team to efficiently determine conformance with the applicable requirements. The plan provided for the assembly and review of audit evidence consisting of documents, interviews, and on-site inspections of ongoing or completed forest practices.During the audit NSF reviewed a sample of the written documentation assembled to provide objective evidence of conformance. NSF also selected field sites for inspection based upon the risk of environmental impact, likelihood of occurrence, special features, and other criteria outlined in the NSF protocols. NSF selected and interviewed stakeholders such as contract loggers, landowners and other interested parties, and interviewed employees within the organization to confirm that the SFI Standard was understood and actively implemented.The possible findings of the audit included conformance, major non-conformance, minor non-conformance, opportunities for improvement, and practices that exceeded the requirements of the standard.



Overview of Audit FindingsPrentiss and Carlisle Management Company was found to be in conformance with the standard with no non-conformance.Eight opportunities for improvement were also identified, and included:

8.1.1 - Program Participants will provide a written policy acknowledging a commitment to recognize and respect the rights of Indigenous Peoples. Confirmed through review of written language in FMP and in the company handbook that details respect of “ancestry”, but there is an opportunity to improve the written policy acknowledging a commitment to recognize and respect the rights of Indigenous Peoples.

10.1.1 - Program Participants shall individually and/or through cooperative efforts involving SFI Implementation Committees, associations or other partners provide in-kind support or funding for forest research to improve forest health, productivity and sustainable management of forest resources, and the environmental benefits and performance of forest products: Financial or in-kind support of research to address questions of relevance in the region of operations. Examples could include, but are not limited to, areas of forest productivity, water quality, biodiversity, community issues, or similar areas which build broader understanding of the benefits and impacts of forest management. There is an opportunity to improve the participation/support for this requirement, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in early 2018.

10.2.1 - Participation, individually and/or through cooperative efforts involving SFI Implementation Committees and/or associations at the national, state, provincial or regional level, in the development or use of some of the following:

a. regeneration assessments;b. growth and drain assessments;c. best management practices implementation and conformance; d. biodiversity conservation information for family forest owners; and e. social, cultural or economic benefit assessments

There is an opportunity to improve the participation/support for this requirement, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in early 2018.

10.3.1 - Where available, monitor information generated from regional climate models on long-term forest health, productivity and economic viability. There is an opportunity to improve the participation/support for this requirement, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in early 2018.

10.3.2 – Program Participants are knowledgeable about climate change impacts on wildlife, wildlife habitats and conservation of biological diversity through international, national, regional or local programs. Chief Forester interviewed confirmed understanding of Manomet’s Climate Change Program. Other forester staff were not as familiar with this subject matter. There is an opportunity to improve PCMC’s knowledge of this requirement.

12.1.1 – Support, including financial, for efforts of SFI Implementation Committees. There is an opportunity to improve the participation for this requirements, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in 2018.

12.1.2 – Support, individually or collaboratively, education and outreach to forest landowners describing the importance and providing implementation guidance on:

a. best management practices;b. reforestation and afforestation; c. visual quality management;d. conservation objectives, such as critical wildlife habitat elements, biodiversity, threatened and endangered

species, and Forests with Exceptional Conservation Value;e. management of harvest residue (e.g., slash, limbs, tops) considers economic, social, environmental factors (e.g.,

organic and nutrient value to future forests) and other utilization needs;f. control of invasive exotic plants and animals;g. characteristics of special sites; andh. reduction of wildfire risk.

There is an opportunity to improve the participation for this requirements, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in 2018.

12.1.3 – Participation in efforts to support or promote conservation of managed forests through voluntary market-based incentive programs such as current-use taxation programs, Forest Legacy Program or conservation easements. Confirmed through interviews and document review that this company is a new member of SIC. There is an opportunity to improve the



participation for this requirements, as the current Forester that is attending ME SIC meetings has only attended one SIC meeting in the 2018 audit cycle, due to staff changes that occurred in 2018.

These findings do not indicate a current deficiency, but served to alert PCMC to areas that could be strengthened or which could merit future attention. NSF also identified the following areas where forestry practices and operations of PCMC exceed the basic requirements of the standard:

11.1.4 - PCMC exceeds in contractor education and training sufficient to their roles and responsibilities. Overall communication with loggers and logger knowledge is high, with one contractor in particular exceeding this PM.



General Description of Evidence of ConformityNSF’s audit team used a variety of evidence to determine conformance. A general description of this evidence is provided below, organized by SFI Objective.

Objective 1 Forest Management PlanningTo ensure forest management plans include long-term sustainable harvest levels and measures to avoid forest conversion.Summary of Evidence: The forest management plan for the 5 forest management units in Maine, supporting documentation, the associated inventory and growth data, and harvest-related planning documents were the key evidence of conformance.

Objective 2 Forest Health and ProductivityTo ensure long-term forest productivity, carbon storage and conservation of forest resources through prompt reforestation, afforestation, minimized chemical use, soil conservation, and protecting forests from damaging agents.Summary of Evidence: Field observations and associated records were used to confirm practices. PCMC has programs for reforestation, for protection against common insects and diseases and wildfire, and for careful management of activities which could potentially impact soil and long-term productivity. Harvests are carefully planned, with winter logging or processor systems used on sensitive soils.

Objective 3 Protection and Maintenance of Water ResourcesTo protect the water quality of rivers, streams, lakes, wetlands and other water bodies through meeting or exceeding best management practices.Summary of Evidence: Field observations of a range of sites were the key evidence. During inspections of completed harvests auditors reviewed measures implemented to protect water resources. Compliance with Maine’s LUPC regulations for the protection of these features backed by Maine’s Forest Rangers provided additional evidence.

Objective 4 Conservation of Biological DiversityTo 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 a diversity of types of habitat and successional stages, and the conservation of forest plants and animals, including aquatic species, as well as threatened and endangered species, Forests with Exceptional Conservation Value, old-growth forests and ecologically important sites.Summary of Evidence: Field observations, written plans, policies, and routine staff involvement in conferences and workshops or trainings that cover scientific advances were the evidence used to assess the requirements involved biodiversity conservation.

Objective 5 Management of Visual Quality and Recreational BenefitsTo manage the visual impact of forest operations and provide recreational opportunities for the public.Summary of Evidence: Field observations of completed operations and policies/procedures for visual quality were assessed during the evaluation. Further involvement with the North Maine Woods program helped confirm a strong recreation program.

Objective 6 Protection of Special SitesTo manage lands that are geologically or culturally important in a manner that takes into account their unique qualities.Summary of Evidence: Records of special sites and management and harvest plans were all assessed during the evaluation.

Objective 7 Efficient Use of Fiber ResourcesTo minimize waste and ensure the efficient use of fiber resources.Summary of Evidence: Field observations of completed operations, contract clauses, and discussions with supervising field foresters and with loggers provided the key evidence.

Objective 8 Recognize and Respect Indigenous Peoples’ RightsTo recognize and respect Indigenous Peoples’ rights and traditional knowledge.Summary of Evidence: Field review and ongoing updated documents for operations, as well as correspondence with Indigenous Peoples.



Objective 9 Legal and Regulatory ComplianceTo comply with applicable federal, provincial, state and local laws and regulations.Summary of Evidence: Field reviews of ongoing and completed operations were the most critical evidence. Regulatory organizations contacted included the Maine Forest Service and Maine LUPC.

Objective 10 Forestry Research, Science and TechnologyTo invest in forestry research, science and technology, upon which sustainable forest management decisions are based and broaden the awareness of climate change impacts on forests, wildlife and biological diversity. Summary of Evidence: Financial support was confirmed by contacting the recipients of research support or via websites listing supporting members.

Objective 11 Training and EducationTo improve the implementation of sustainable forestry practices through appropriate training and education programs.Summary of Evidence: Training records of selected personnel, records associated with harvest sites audited, and interviews were the key evidence for this objective.

Objective 12 Community Involvement and Landowner OutreachTo broaden the practice of sustainable forestry through public outreach, education, and involvement, and to support the efforts of SFI Implementation Committees. Summary of Evidence: Records provided by the audited organization and interviews were used to confirm the requirements.

Objective 13 Public Land Management ResponsibilitiesTo participate and implement sustainable forest management on public lands.Summary of Evidence: N/A - Not a public agency.

Objective 14 Communications and Public ReportingTo increase transparency and to annually report progress on conformance with the SFI Forest Management Standard.Summary of Evidence: Most of this objective relates to actions to be taken after certification; PCMC is prepared to complete the required public reporting activities

Objective 15. Management Review and Continual ImprovementTo promote continual improvement in the practice of sustainable forestry by conducting a management review and monitoring performance.Summary of Evidence: Records of program reviews, agendas, notes from management review meetings, and interviews with personnel from all involved levels in the organization were assessed.



Relevance of Forestry CertificationThird-party certification provides assurance that forests are being managed under the principles of sustainable forestry, which are described in the Sustainable Forestry Initiative Standard as:

1. Sustainable ForestryTo practice sustainable forestry to meet the needs of the present without compromising the ability of future generations to meet their own needs by practicing a land stewardship ethic that integrates reforestation and the managing, growing, nurturing and harvesting of trees for useful products and ecosystem services such as the conservation of soil, air and water quality, carbon, biological diversity, wildlife and aquatic habitats, recreation and aesthetics.

2. Forest Productivity and HealthTo provide for regeneration after harvest and maintain the productive capacity of the forest land base, and to protect and maintain long-term forest and soil productivity. In addition, to protect forests from economically or environmentally undesirable levels of wildfire, pests, diseases, invasive exotic plants and animals and other damaging agents and thus maintain and improve long-term forest health and productivity.

3. Protection of Water ResourcesTo protect water bodies and riparian areas, and to conform with forestry best management practices to protect water quality.

4. Protection of Biological DiversityTo manage forests in ways that protect and promote biological diversity, including animal and plant species, wildlife habitats, and ecological or natural community types.

5. Aesthetics and RecreationTo manage the visual impacts of forest operations, and to provide recreational opportunities for the public.

6. Protection of Special Sites To manage lands that are ecologically, geologically or culturally important in a manner that takes into account their unique qualities.

7. Responsible Fiber Sourcing Practices in North AmericaTo use and promote among other forest landowners sustainable forestry practices that are both scientifically credible and economically, environmentally and socially responsible.

8. Legal ComplianceTo comply with applicable federal, provincial, state, and local forestry and related environmental laws, statutes, and regulations.

9. ResearchTo support advances in sustainable forest management through forestry research, science and technology.

10. Training and EducationTo improve the practice of sustainable forestry through training and education programs.

11. Community Involvement and Social ResponsibilityTo broaden the practice of sustainable forestry on all lands through community involvement, socially responsible practices, and through recognition and respect of Indigenous Peoples’ rights and traditional forest-related knowledge.

12. TransparencyTo broaden the understanding of forest certification to the SFI Standard by documenting certification audits and making the findings publicly available.

13. Continual ImprovementTo continually improve the practice of forest management, and to monitor, measure and report performance in achieving the commitment to sustainable forestry.

14. Avoidance of Controversial Sources including Illegal Logging in Offshore Fiber Sourcing (Applies only to the SFI 2015-2019 Fiber Sourcing Standard To avoid wood fiber from illegally logged forests when procuring fiber outside of North America, and to avoid sourcing fiber from countries without effective social laws.Source: Sustainable Forestry Initiative® (SFI) Standard, 2015–2019 Edition



For Additional Information Contact:Daniel Freeman David Dow

NSF Project Manager Chief Forester - Prentiss and Carlisle Management Company

789 N. Dixboro RoadAnn Arbor, MI 48105

107 Court Street, P.O. Box 637Bangor, ME 04402-0637

734.214.6228 207.942.8295

[email protected] [email protected]





Appendix 4


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