QSM-04: Quality System Requirements for Service Provider Approved under the CHTWPCP

Table of Contents

Contact and Review

The next review date for this manual is anticipated for March 3, 2012. For further information or clarification, please contact the Forestry Bureau, Canadian Food Inspection Agency (CFIA).

Endorsement

Approved by:


Joanne Rousson, Project Coordinator


Date


Greg Stubbings, Chief Plant Health Officer


Date

Amendment Record

Amendments to this QSM will be given a consecutive number and will be dated.

Please ensure that all amendments are inserted, obsolete pages removed, and the record below is completed.

Amendment No.: Amendment Content and Pages: Entered by: Date:
1 Minor administrative changes (throughout) Mireille Marcotte May 13, 2008
2 Minor administrative changes (throughout) Shamina Maccum March 3, 2011
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Distribution List

  1. National Industry Organizations
  2. Candidate Service Providers
  3. CHTWPCP Working Group
  4. CWPCP Working Group
  5. CFIA website

1.0 Introduction

The CFIA Quality System Requirements for Service Providers is a supplementary document to the Service Agreement signed under the provisions of the CFIA Directive D-03-02, Canadian Heat Treated Wood Products Certification Program for Export (CHTWPCP). For the purposes of this document, a Service Provider is an organization, company or person who is accountable to the CFIA for the delivery of the CHTWPCP, providing reports of all audits, inspections, incidents of non-conformance, and follow-up activities such as re-inspection of non-compliant facilities.

This document identifies the functional requirements that must be met by a Service Provider authorized to provide inspection services under CHTWPCP. The Service Provider's policies and procedures that address these requirements must be described in a Quality Management System Manual (herein referred to as Manual) that will be subject to approval by the CFIA and to review from time to time. For the purposes of this document, a Manual is a facility's detailed operational manual which specifies measures to be used to meet prescribed standards, i.e., all requirements pertaining to the wood product certification program which are referred to in Directive D-03-02, Canadian Heat Treated Wood Products Certification Program (CHTWPCP), the CFIA QSM-02, the PI-07, and this document.

2.0 Scope

This document is intended for use by authorized Service Providers involved in the inspection of heat treatment facilities (within the content of this directive examples include: kiln dried-heat treatment, heat treatment) and/or wood packaging manufacturers, CFIA inspection staff and any other authorized parties. CLSAB accredited grading agencies which are recognized by the CFIA as Service Providers are not subject to the provisions outlined within this document. The requirements for these agencies will be outlined in the QSM-05, Quality System Requirements for CLSAB and CLSAB Accredited Agencies Approved under the CHTWPCP.

3.0 References

  • ISPM No. 5 Glossary of Phytosanitary Terms, Publication, FAO (updated annually)
  • ISO Guideline 8402, Quality Systems Terminology
  • ISPM No. 15 Guidelines for Regulating Wood Packaging in International Trade, ISPM, FAO, March 2002
  • ISPM No. 7 Export Certification Systems, FAO, 1997
  • CFIA Directive D-01-05, The Canadian Wood Packaging Certification Program (CWPCP)
  • CFIA Directive D-03-02, Canadian Heat Treated Wood Products Certification Programs (CHTWPCP)
  • CFIA QSM-02, Quality System Requirements For Facility Registration under the Canadian Wood Packaging Certification Program (CWPCP) or the Canadian Heat Treated Wood Products Certification Program (CHTWPCP)
  • CFIA PI-07, The Technical Heat Treatment Guidelines and Operating Conditions Manual

4.0 Definitions, Abbreviations and Acronyms

Definitions for terms used in the present document can be found in the Plant Health Glossary of Terms.

5.0 Application for Recognition as a Service Provider

Parties wishing to be recognized as Services Providers must agree to comply with the terms and conditions set under the provisions of the CFIA Directive D-03-02, Canadian Heat Treated Wood Products Certification Program for Export (CHTWPCP).

5.1 Application

An application for recognition as Service Provider pursuant to the standards shall be submitted to the CFIA The applicant shall include a clear statement as to the scope of the recognition requested, including a Quality Manual which will outline the elements identified within this document.

5.2 Evaluation

The CFIA shall review the application and the Manual referred to in 5.1, against the requirements established by this standard, and shall prepare a record of evaluation indicating the extent of fulfilment of the requirements and shall notify the applicant. Where this evaluation indicates essential fulfilment of the requirements of the standards, an initial systems audit will be conducted. A system audit is an audit conducted by the CFIA on the Service Provider and a representative number of registered facilities (facilities that has applied and has been approved by the CFIA to participate in the CHTWPCP) to verify compliance to the terms and conditions of the recognition.

5.3 Recognition

The CFIA shall formally recognize the applicant as Service Providers under the CHTWPCP, once it has determined that the requirements set out in the standards have been fulfilled. The CFIA shall make public this decision by posting the applicant's name as a Service Provider for the purpose of the CHTWPCP on the CFIA website.

6.0 General Requirements

6.1 Organizational Requirements

The Service Provider shall:

  1. be legally identifiable;
  2. be capable of conducting work on a national basis within Canada in both official languages;
  3. be responsible for its verification activities;
  4. have documented policies and decision-making procedures that distinguish between activities for which it has received formal recognition and any other activities in which the body is engaged;
  5. not offer consultancies or other services which may compromise the objectivity of its recognition process and decisions;
  6. be soundly supported financially;
  7. be free from commercial or any other influence that might affect its integrity;
  8. ensure sufficient and competent personnel to undertake the requirements of audit program;
  9. maintain a Quality Plan approved by the CFIA governing all aspects of the inspection program;
  10. in cooperation with CFIA provide to registered facilities, inspection requirements, recommend improvements to the requirements or process as experience or external conditions indicate, and notify certified facilities of updates or changes to the regulations as directed by the CFIA.

6.2 Responsibilities

On behalf of the CFIA, the Service Provider shall perform the following tasks:

  1. receive applications from facilities wishing to be registered under the CHTWPCP, review the facility Manual and recommend participation to the CFIA;
  2. monitor compliance with the registration requirements through a regular program of audits, at the frequency and in the format specified by the CFIA;
  3. identify, report to the facility and monitor the resolution of minor non-conformances;
  4. identify, report to the facility and the CFIA any major non-conformances and inspect as directed to confirm their resolution;
  5. maintain a Manual approved by CFIA covering all aspects of the auditing program including provisions set out in this guideline;
  6. maintain records and report to the CFIA in the manner and frequency specified;
  7. respond to applications by providing appropriate documentation, guidelines and references;
  8. provide guidelines for the preparation of a facility Manual;
  9. describe procedures to process and evaluate applications and Manuals, including initial audits and checklists;
  10. attend joint audits of facilities with CFIA;
  11. maintain knowledge of CFIA policies and guidelines, as well as CFIA's export requirements pertaining to wood exports;
  12. inform the registered facility of any changes within this program.

6.3 Organizational Structure and Position Responsibilities

Provide an organization chart identifying all positions having responsibility for activities included in the provision of service.

Define the responsibilities of each position.

Identify and describe the responsibilities of a key individual to act as contact with the CFIA and manager of the program.

6.4 Qualifications and Training of Personnel

  • Identify personnel involved in inspection program.
  • Identify qualifications of all such personnel.
  • Describe training program for such personnel.
  • Describe procedures used to monitor performance.
  • Describe records kept of training and performance.

7.0 Wood packaging or HT treatment facility Registration, Auditing, and other Activities conducted under the CHTWPCP

7.1 Registration of Wood Packaging and HT Treatment Facilities

  1. The Service Provider will make its services as a Service Provider under the CHTWPCP available to facilities wishing to register under such program.
  2. The Service Provider will conduct the reviews, audits and other duties set out under the CHTWPCP program and detailed in the Manual.
  3. Upon receipt of the required application form, the Manual, and Information Collection Acknowledgment (Appendix 1) from a facility applying for registration, and upon receiving from the facility a signed agreement for Service Provider services, in a form satisfactory to the Service Provider, the Service Provider will:
    1. forward to the CFIA a copy of the facility's complete application;
    2. review and report on the facility's Manual against the conditions specified in the CHTWPCP;
    3. Submit, the facility's application along with the endorsed Manual to the CFIA, for review and approval;
    4. recommend for registration to the CFIA.
  4. For facilities approved for registration by the CFIA, the Service Provider will conduct a an initial evaluation audit of the facility, in consultation with the CFIA, to verify that it meets the requirements specified in the CHTWPCP. An evaluation audit is an audit performed at the time of registration to verify that a facility is capable of meeting the standards prescribed. The audit also verifies that the facility Manual is being adhered to and that facility employees are sufficiently trained.

7.2 Maintenance of Wood packaging or HT treatment facility Registration

7.2.1 Audits

Audits are to be conducted in accordance with the program as outlined in this section.

Audits conducted by Service Provider:
  1. The Service Provider will audit the facility's operations against the applicable requirements of the CHTWPCP and the facility's Manual.
  2. The Service Provider will conduct all audits in a manner that is consistent with the requirements set out in this document, and in the QSM-02, Quality System Requirements For Facility Registration under the Canadian Wood Packaging Certification Program (CWPCP) or the Canadian Heat Treated Wood Products Certification Program (CHTWPCP), and without any prejudice or conflict of interest.
  3. Subject to reporting to the CFIA as required under the CHTWPCP, the Service Provider will ensure that all records of audits, enforcement actions taken and any other information pertaining to facilities are kept confidential and secured at all times.
Audits conducted by CFIA:

The CFIA will conduct an audit on the Service Provider and a representative sample of the registered facilities to verify compliance to the terms and conditions of this recognition.

7.2.2 Activities and Frequency of Audits

  Facility with a Heat Treatment Chamber (Primary Treatment Facility) Exporters, Shippers, Brokers Consolidating Treated Materials, Secondary Manufacturers Using Heat Treated Products (Including Wood Packaging Facilities)
Application for registration under the CHTWPCP, CWPCP & Submission of the Manual For existing participants in the Canadian Lumber Programs, within 6 months of the effective date of the directive. For new applicants, prior to registration. For existing participants in the Canadian Lumber Programs, within 6 months of the effective date of the directive. For new applicants, prior to registration.
Issuance of facility registration number by CFIA Upon approval of facility's Manual. Upon approval of facility's Manual.
Evaluation Audit conducted by Service Provider in consultation with the CFIA For new applicants, to be conducted prior to registration. For existing participants, conducted within the first year of registration, or as a result of suspension from the program to confirm that a facility has adequately addressed the non-conformities and initiated quality activities that would ensure that future non-conformities may be avoided. For new applicants, to be conducted prior to registration. For existing participants, conducted within the first year of registration, or as a result of suspension from the program to confirm that a facility has adequately addressed the non-conformities and initiated quality activities that would ensure that future non-conformities may be avoided.
Verification Audit conducted by the Service Provider (i.e., a review of the organizational structure, procedures, processes and resources used by a registered facility in implementing the certification program) A minimum of 4 times a year. A minimum of 4 times a year in the first year of registration or re-registration following suspension and 2 times a year in subsequent years.
Follow-up audit (i.e.,  performed to verify that corrective actions ordered have been completed and that facility operations continue to meet the specifications of the facility Manual) At any time until non-conformances are corrected to the satisfaction of the Service Provider and/or CFIA. At any time until non-conformances are corrected to the satisfaction of the Service Provider and/or CFIA.
Systems Audits conducted by CFIA A representative sample (up to 33%) of registered facilities on an annual basis. A representative sample (up to 33%) of registered facilities on an annual basis.

7.3 Reporting and Resolution of Wood Packaging or HT Treatment Facility Non-conformances

Following a facility audit conducted by a Service Provider, the Service Provider will provide a report to the facility within 5 working days of its audit. In the event that corrective actions are required to address non-conformances which has been identified during the audit, the Service Provider will take the following additional actions:

  1. For a minor non-conformance, as outlined under the Quality System Guidelines for Facility Registration under the Wood Product Certification Programs Canadian Heat Treated Wood Products Certification Program (CHTWPCP) and Canadian Wood Packaging Certification Program (CWPCP) (QSM-02):
    1. the Service Provider shall verify that the corrective actions requested has been completed by the facility within a reasonable time frame, not exceeding one month from the date of initial notification of the non-conformance by the Service Provider;
    2. the Service Provider shall provide the CFIA in its quarterly report information regarding the non-conformance, the planned corrective action and follow-up confirmation that the corrective action has been completed.
  2. for a major non-conformance, as defined under the Quality System Guidelines for Facility Registration under the Wood Product Certification Programs Canadian Heat Treated Wood Products Certification Program (CHTWPCP) and Canadian Wood Packaging Certification Program (CWPCP) (QSM-02):
    1. the Service Provider shall deliver to the registered facility, and to the CFIA a notice in writing with a description of the non-conformance and the required corrective action within 3 working days of such non-conformance;
    2. the Service Provider shall request the facility to take corrective action within a time frame appropriate to address the non-conformance but not to exceed 10 working days;
    3. the Service Provider shall follow-up on corrective actions taken by the facility as often as required to verify full compliance within 10 working days of initial notification of the corrective action due date;
    4. the Service Provider shall provide written confirmation to the CFIA, that the required corrective action, or other actions, which has not been taken within 3 working days;
    5. where the major non-conformance compromises the integrity of the program, the Service Provider will suspend the facility from the program and will remove all stamps and certificates relevant to this program and will notify the CFIA within 3 working days following the audit.

7.4 CFIA's Activities and Follow-up Actions

  1. Where the CFIA has been notified of a major non-conformance as set out herein, the CFIA may apply an interim suspension of the facility's registration under the CHTWPCP, and will provide notice thereof to the facility and the Service Provider immediately upon the decision to suspend by the CFIA. During the suspension period, the registered facility will not be permitted to certify wood packaging products for export as outlined in the CHTWPCP.
  2. Should the CFIA determine in its sole and unfettered discretion that the proposed corrective action or implemented corrective action by the Service Provider is unsatisfactory, the Parties agree that the CFIA reserves the right to directly impose or implement upon the registered facility whatever corrective action it deems necessary to correct the non-conformance.
  3. In the event of a non-conformance by a registered facility, the CFIA may increase the frequency of inspection of the facility, until corrective actions satisfactory to the CFIA are verified by the Service Provider as being complete.
  4. Where the CFIA determines, in its sole and unfettered discretion, that a registered facility is consistently unable to maintain conformance with the CHTWPCP or that a registered facility's non-conformance jeopardizes the integrity of the CHTWPCP, the CFIA may suspend or revoke the registered facility's registration under the CHTWPCP. In such event, the CFIA program officer will notify the Service Provider and the registered facility in writing of this action.
  5. If the facility's corrective actions and quality are deemed sufficient by the CFIA, the CFIA will lift the suspension will assign the facility a new inspection frequency. Once the facility has demonstrated to the Service Provider on-going compliance with the requirements of the CHTWPCP, the Service Provider will reduce the frequency of inspection to that specified the Quality System Procedures for The Export Certification Programs, CHTWPCP (D-03-02) and the CWPCP (D-01-05).

7.5 Reports of Facility Audits

The Service Provider must describe procedures for conducting inspections (provide examples of checklists and reports) and reporting results (this may all be described in a separate inspection manual). The Service Provider must describe procedures for reporting non-conformity and, if major, notifying the CFIA and must describe procedures for following up major non-conformity and reporting to the CFIA.

In the evaluation and surveillance audit the following information must be included:

Type of audit: Evaluation, or Verification audit:
Date of Audit:
Date of Previous Audit:
Audit Report No.:
Facility Name:
Address:
Location:

Lead Auditor:
Team Members:
Summary of Audit:
List of minor non-conformances:
Corrective Action Requests:
List of major non-conformances:
Corrective Action Requests:

Facility Compliance status: Compliant  Suspended 

Signature of lead Auditor:
Date:
Signature of Facility Representative:
Date:

Distribution list:
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8.0 General Reports to the CFIA

  1. The Service Provider will provide to the CFIA annually, on or before March 31 of each year, a detailed report in writing of all audits, inspections and follow-up activities completed during that fiscal year. The report will include, but will not be limited to, a listing of facilities by Service Provider, information on the total number of audits performed by each Service Provider, a list of the facilities audited, a list of major non-conformances found, number of facilities added or deleted from the program and relevant dates.
  2. The Service Provider will advise the CFIA in writing as soon as it comes to the attention of the Service Provider that a registered facility ceases to operate under agreement with the Service Provider or has withdrawn from the CHTWPCP.
  3. The Service Provider will complete and date a report of each inspection of a registered facility, and such reports will be kept on file by the Service Provider for periodic review by the CFIA at its discretion.
  4. The Service Provider will maintain for a period of at least two (2) years all records pertaining to its verification of facilities, including but not limited to: assessment reports for registration, audit reports, reports of non-conformances and follow-up audits, authorizations of changes to Manuals and to the training of Service Provider staff.
  5. The Service Provider will complete and date a report of each audit conducted on registered facilities they have audited in the process, and such reports will be kept on file by the Service Provider for periodic review by the CFIA.
  6. The Service Provider will meet any other reporting requirements as mutually agreed upon from time to time.

9.0 Suspension or Cancellation and Re-application of Wood Packaging or HT Treatment Facility Registration

9.1 Suspension

A Registered Facility will be considered for suspension, in full or in part, for a specified period if:

  1. an audit identifies a system failure that casts doubt on the ability of the facility to adequately discharge its duties;
  2. agreed corrective actions are not implemented within the prescribed time period;
  3. applicable fees are not paid; or
  4. requested by the Service Provider.

9.2 Cancellation

A Registered Facility will be considered for cancellation, in full or in part, if:

  1. requested by the Service Provider; or
  2. an audit identifies systematic, ongoing failure of the facility to adequately discharge its duties.

If a registered facility is permanently removed from the program, resold, operating under new managements, operating under a new Certificate of Registration and Registration Number or voluntarily withdraws from the CHTWPCP, their facility number shall be cancelled from use and removed from the CFIA list of registered wood packaging facilities or the CFIA list of registered wood packaging treatment facilities. The facility registration number must not be re-used.

The CFIA Auditor or Service provider forwards an e-mail to the Area Forestry Network Specialist advising that the facility has been cancelled from the CHTWPCP. The CFIA auditor or Service provider will send a letter to the facility, if possible, providing officially notification that the facility has been cancelled from the program.

The CFIA will arrange for the cancelled facility registration number to be removed from the CFIA Forestry Website.

9.3 Reinstating of Wood Packaging or HT Treatment Facility Registration

Facilities or treatment facilities that have been cancelled from the CHTWPCP must completely re-register starting with submission of the CHTWPCP application form.

10.0 Suspension and Cancellation of the Service Provider

10.1 General information

  1. Where the CFIA determines in its sole and unfettered discretion that the Service Provider has not complied with the requirements of the CHTWPCP or is in default of any representation, covenant, term or condition of this Agreement, the CFIA will provide the Service Provider with a report detailing such non-compliance and/or default.
  2. Upon receipt of such report, the Service Provider will immediately begin remedying such non-compliance and/or default and will demonstrate to the CFIA within one (1) month that such non-compliance and/or default has been remedied to the satisfaction of the CFIA, failing which, the CFIA will be entitled to suspend or revoke, at its sole discretion, recognition of the Service Provider as a Service Provider under the CHTWPCP and to communicate the same to the registered facilities contracting with the Service Provider.
  3. The CFIA may, in its sole and unfettered discretion, increase the frequency of inspections of the Service Provider where non-compliance or defaults exist as described in this section.
  4. Facilities recommended for registration to the CFIA by a Service Provider and registered by CFIA and which has been subsequently cancelled from the program, will be required to seek the service of another CFIA recognized Service Provider.

10.2 Suspensions

Recognition of a Service Provider will be considered for suspension, in full or in part, for a specified period if:

  1. an audit identifies a system failure that casts doubt on the ability of the Service Provider to adequately discharge its duties;
  2. agreed corrective actions are not implemented within the prescribed time period;
  3. assessment protocols are altered such that they no longer meet the minimum standards used by the CFIA.

10.3 Cancellations

Recognition of a Service Provider will be considered for cancellation, in full or in part, if:

  1. requested by the Service Provider; or
  2. an audit identifies systematic, ongoing failure to adequately discharge its duties.

11.0 Fees

Fees payable by facilities for participation under this program, will be made directly to the CFIA. The CFIA will be charging fees in accordance with the Canadian Food Inspection Agency Fees Notice. Individuals requiring more information on fee schedules may contact any CFIA regional offices.

Note: At time of publication of this document, the annual CFIA registration fee for facilities participating under this program is $400.00. The CFIA reserves the right to charge an additional fee for its service, in accordance with the Canadian Food Inspection Agency Fees Notice, for follow-up inspection activities performed to verify that the requested corrective actions have been taken by the facilities, to address the major non-conformances.

Appendix 1

Information Collection Acknowledgment Form

TO:
(full legal name of the Service Provider)

Canadian Food Inspection Agency

I  (name of owner or person with possession, care, or control of the facility), hereby acknowledge that I have read and understand the following terms and conditions as they apply to the collection of information related to the facility located at  (address).

The Canadian Wood Packaging Certification Program

1. I have been informed and understand that:

  1. The Canadian Food Inspection Agency (CFIA) has recognized  (full legal name of the Service Provider) as a Service Provider under the Canadian Heat Treated Wood Products Certification Program (CHTWPCP) for Export established in Directive D-03-02.
  2. The  (full legal name of the Service Provider) is responsible for collecting, reviewing and reporting to the CFIA on the facility's Application for Registration to the Canadian Heat Treated Wood Products Certification Program (CHTWPCP) and Manual.
  3. The CFIA is responsible for the registration, suspension or cancellation of registration of any facility registered in the CHTWPCP.

Legal Ownership/Possession/Care or Control

2. (1) I hereby confirm that I am the owner, or person with legal possession, care, or

control of the facility in question and that I have the full and complete right to grant permission to  (full legal name of the Service Provider) to disclose to the CFIA the following information and documents:

  1. name of the facility;
  2. address of the facility;
  3. telephone number of the facility;
  4. the facility's Application for Registration to the Canadian Heat Treated Wood Products Certification Program (CHTWPCP); and
  5. the facility's Manual.

And furthermore, I grant permission to  (full legal name of the Service Provider) to disclose said information and materials.

(2) I further confirm that I have the right and authority to grant and provide such permission to disclose the information and documents as described in subparagraph 2(1) without the consent of any third Party and without violating the rights of any third Party.

I hereby confirm the truth of the above statements and that I have read and understand accept and agree with the above statements and terms.

Signed this day of , 201 at  (address)

 
Owner/Person with Possession, Care, or Control of the Establishment