Appendix 7b

CHECKLIST FOR DPCP INITIAL FACILITY EVALUATIONS

The following checklist is for use during THE INITIAL EVALUATION OF A FACILITY

S= SatisfactoryN/I= Not implemented U= UnsatisfactoryN/A=Not applicable, aspects that were not audited

Audit Details
Facility Name: / Auditor(s):
Facility Address: / Facility representative:
DPCP Number: / Fees Charged:
Date of Audit/Review:
DPCP
Section / DPCP
HEADING / DESCRIPTION / FACILITY’S
DPCP MANUAL
REFERENCE # / S / N/I / U / N/A
1.0 / Introductory Section / Through discussion and observations determine if facility’s risk analysis is accurate and realistic given the norms observed in other audits. The auditor should gather enough information on the nursery’s risk factors that judgements can be made on the adequacy of the systems observed throughout the audit. / Auditor to insert numbers from Facility’s manual.
Comments
2.0 / Management Responsibilities / Through conversation with the manager quoted in the Manual, determine if there is a high degree of coincidence between the way the manager operates and the statement in the Manual. Throughout the audit determine from other nursery staff whether the management support operates in real life.
Comments
2.1.1
2.1.2
2.1.3 / Confirm that the job descriptions for the Phytosanitary Manager, the Crop Protection Manager and the Internal Auditor comply with the Standard and that the staff involved are aware of these documents and actually perform the duties described.
Comments
2.2 / Nursery staff training / Review the credentials of a sample of staff that perform primary roles in the DPCP systems check actual credentials against those described for the position in the DPCP Manual.
Are employee evaluations or performance appraisals done and on file?
Is there evidence of on-going training appropriate to the responsibilities of the position you have selected to review?
Comments
3.0 / Phytosanitary Management System (PMS)
3.1 / Maps / Ensure that an accurate set of maps exists and that they are available throughout the nursery where they might need to be referenced (for example when a lot of plants is placed into a production site does the person who makes the record of that placement have ready access to the maps in order to assign accurate identifiers?
Comments
3.2.1 / Plant Suppliers / Ensure that a current list of plant suppliers is on file. Confirm by way of a comparison of a recent plant purchase that the supplier involved is actually listed.
Comments
3.2.2 / Plant Identity / Ensure that a system has been implemented that ensures that the identity of plants coming from CNCP or DPCP suppliers is maintained both in the general sense that the plants are certified and that lots can be identified as to the specific certified nursery they came from for trace back purposes.[F1]
Comments:
3.2.3 / Plant Identity for CNCP Customers / If the nursery markets to CNCP customers confirm that the systems that are in place to ensure residency requirements operate effectively
Comments
3.2.4 / Inadequate Identification / Review with nursery staff the system that manages how plants that are inadequately identified or that are of uncertain origin are handled and how they are kept from entering the certified production areas.
Comments
3.3 / Inspection of Incoming Plants / Examine the receiving area and confirm that it is adequate to allow effective inspections of incoming plants. Observe record formats to determine if there is adequate detail to properly document the specifics dictated by the type of plant sources the nursery uses. Confirm that staff identified to do incoming inspections have been trained to do so (cross check to section 2.2 if necessary).
Comments
3.4 / Period of time Required for DPCP Certification / If the nursery’s line of business involves production of plants or purchase of plants for a short stay on the nursery, confirm that the residency requirements demanded by intended markets are met. Confirmation could be done by checking a group or “lot” of plants that actually moved through a residency transition to become certifiable.
Comments
3.5 / Inspection at Shipping / Confirm that the shipping area is adequate and that it is capable of supporting the type of inspections described in the Manual. Determine the physical aspects of how inspected plants are kept separate from non-inspected plants in the shipping area. Determine if the staff assigned to inspect out-going plants have been trained and what is done if pests are found.
Comments
3.5.1 / Special Requirements for CFIA Domestic Regulated Areas / Confirm that staff assigned to do inspections know how to determine which plants may need special inspections because of a specific regulated pest certification Program of CFIA’s or a DPCP module.
Comments
3.5.2 / Additional Requirements when Supplying CNCP Nurseries for Export to the United States / Confirm that inspection staff understand the additional requirements described in the Manual and that they implement them.
Comments
3.5.3 / Sale of Plants with Minor Pest Infestations / Determine if the nursery sells plants with minor pest infestations as non-certified material and evaluate their system for ensuring proper identification of this status on shipping documents.
Comments
3.6 / Domestic Certification Stamp / Determine how the stamp, whether physical or electronic, is secured and how its use is managed.
Comments
3.7 / Records and Documents / Observe an example of a completed copy of each record that is listed in the manual and determine if they are being completed as expected.
Comments
3.8 / Non-conforming Plant Material / Examine a record that illustrates the actual reporting of a pest. Determine if staff know how to inform CNCI and CFIA. Are the contact details current?
Comments
4. 1 / Internal Audits / As this Initial Facility Evaluation will be the first external audit this section does not apply.
Comments
4.2 / External Audits / Review the proposed process for scheduling external audits to confirm its practicality and reliability in terms of getting the required seasonal audits done on time. Determine if the delegated staff understand the very significant impact of failing to schedule the required audits.
Comments
5.0 / Pest Management Plan / Evaluate the overall detail of the PestManagement Plan in the context of the risk assessment and the general description of the nursery. Confirm that there is consistency. Is it clear that the plan recognizes the relative risk presented by the different classes of plants produced?
Comments
5.1 / Regulated Pests / Confirm that systems aimed at ensuring that regulated pests requirements are met are operating as described.
Comments
5.2 / Pest Detection and Control / Review a sample of recent pest monitoring and control records.
Comments
5.3 / Biosecurity / Biosecurity measures are generally associated with pest specific modules and will be audited in that way.
Comments
5.4 / Pest Management Plan Records / Confirm that the records described in the manual actually exist and are in use.
Comments
5.5 / Notification of Regulated Pest / Determine who is involved in pest monitoring and interview at least one individual to determine if they know who they are to report detections to. Confirm that someone is delegated to make the actual CFIA/CNCI contact.
Comments
6.0 / Updates and changes to the DPCP Manual / Review the process for dealing with modifications to the systems being used and the timely revisions to the DPCP manual. Are versions numbered?
Comments
NA / The auditor will list the numbers of the Corrective Action Requests produced as a result of this audit.
______
NA / Anticipated date of the next audit is ______

[F1]For trace backward purposes