Subject

This directive describes the Canadian Greenhouse Certification Program; a program which allows designated facilities to export greenhouse-grown plants to the United States (U.S.) with an export certification label.

This revision adds the Colorado Potato Beetle - Leptinotarsa decemlineata to the Partial list of U.S. Quarantine Pests.

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Table of Contents

• Review
• Endorsement
• Amendment Record
• Distribution
• Introduction
• Scope
• References
• Definitions, Abbreviations and Acronyms
• 1.0 General Requirements
  • 1.1 Legislative Authority
  • 1.2 Fees
• 2.0 Specific Requirements
  • 2.1 Technical Requirements
    • 2.1.1 Eligible Plants
    • 2.1.2 Phytosanitary Standards
    • 2.1.3 Qualifications and Training of Greenhouse Staff
    • 2.1.4 Pest Management
    • 2.1.5 CFIA Inspection
  • 2.2 Administrative Requirements
    • 2.2.1 Eligible Applicants
    • 2.2.2 Application for Participation
    • 2.2.3 Export Certification Label and Interfacility Stamp
    • 2.2.4 Documentation Controls
  • 2.3 Non-Compliance
• 3.0 Appendices
• Appendix 1: List of Plants Excluded From the Greenhouse Certification Program for Export to the US
• Appendix 2: Application for Export Designation in the Greenhose Certification Program
• Appendix 3: Export Certification Label and Interfacility Stamp Examples
• Appendix 4: Partial List of U.S. Quarantine Pests
• Appendix 5: Export Certification Label and Interfacility Stamp Order Form
• Appendix 6: CFIA Inspection - Requirements For The Inspection of Designated Facilities
• Appendix 7: Classification of Non-conformance
• Appendix 8: Checklist for Documentation Review and Evaluation Inspection
• Appendix 9: Surveillance Inspection Report
• Appendix 10: Calculation of Inspection Frequency-Non-Conformance Flow Chart

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Review

This directive will be reviewed every 5 years or unless otherwise needed. The next review date for this directive is October 5, 2009. The contact for this directive Joanne Rousson. For further information or clarification, please contact the Horticulture Section.

Endorsement

Approved by:

Director
Plant Health Division

Amendment Record

Amendments to this directive will be dated and distributed as outlined in the distribution below.

Distribution

1. Directive mail list (Regions, PHRA, USDA)
2. Provincial Government, Industry (via Regions)
3. National Industry Organizations (determined by Author)
4. Internet

Introduction

Export certification of greenhouse plants is a phytosanitary requirement of importing countries. Inspection is used to certify that the exported plants are free from quarantine pests, practically free from other injurious pests, and that the plants conform with the importing country's phytosanitary requirements. The Phytosanitary Certificate is an official document from the plant protection organization of the exporting country to the equivalent organization of the importing country.

To meet an importing country's plant protection requirements, shipments of greenhouse-grown plants normally require a Phytosanitary Certificate. Greenhouse plants grown under effective pest management pose a low risk of spreading pests and diseases, and significant inspection costs may be associated with the phytosanitary certification of individual shipments. To achieve efficiencies, CFIA and the USDA examined other means of mitigating pest risk for greenhouse-grown plants. The Canadian Greenhouse Certification Program was developed to allow low risk greenhouse-grown plants to move between Canada and the U.S. more freely, recognizing mutually acceptable standards while reducing paperwork.

To participate in the program, facilities must take appropriate measures to ensure that plants are grown, stored, packaged and shipped practically free of injurious plant pests. Protocols for inspection and certification have been established by CFIA and the USDA to ensure compliance of the exporting facility and to reduce the risk of introducing plant pests.

A designated facility may ship plants to the U.S. with an export certification label affixed to shipping documents. A registration number unique to the establishment as well as a serial number is printed on each label.

CFIA will continue to carry out inspection and phytosanitary certification for greenhouse plants grown in non-participating facilities. Procedures for export certification of greenhouse plants are described in the Export Inspection Procedures Manual.

Scope

This directive is intended for the use of Canadian designated facilities, the CFIA inspection staff and Canadian Customs in order to outline the necessary requirements and inspection procedures for the export of greenhouse plants to the U.S. under a export certification label.

References

Glossary of Phytosanitary Terms, Publication No. 5, FAO, October 1999

Department of the Secretary of State of Canada. The Canadian Style: A Guide to Writing and Editing. Toronto, 1993

This directive supercedes D-96-12 (3rd Revision) dated December 31, 2001. The Canadian Greenhouse Certification Program replaces the Greenhouse Bench Inspection Program as outlined in the directive D-95-06 (superceded).

Definitions, Abbreviations and Acronyms

1.0 General Requirements

1.1 Legislative Authority

The Plant Protection Act, s.c. 1990, c.22
The Plant Protection Regulations, SOR/95-212
Canadian Food Inspection Agency Fees Notice, Canada Gazette, Part 1 (05/13/2000)
U.S. Code of Federal Regulations CFR 319.37

1.2 Fees

The CFIA is charging fees in accordance with the Canadian Food Inspection Agency Fees Notice. For information regarding fees associated with imported product, please contact the Import Service Centres (ISC) at the following phone numbers: Eastern ISC 1-877-493-0468; Central ISC 1-800-835-4486; Western ISC 1-888-732-6222. Anyone requiring other information regarding fees may contact any local CFIA office or Canadian Food Inspection Agency Fees Notice website.

2.0 Specific Requirements

2.1 Technical Requirements

2.1.1 Eligible Plants

Only those plants that are grown within an enclosed structure (i.e. greenhouse) for most of their growing cycle and, where the conditions for growth within the structure are strictly regulated, are eligible for inclusion in the Canadian Greenhouse Certification Program.

2.1.1.1. Plant Genera

Appendix 1 lists the specific plant genera not eligible under this program.

Plant genera in Part "A"; and Part "C" of Appendix 1 are not eligible for export to the U.S. under this or any other phytosanitary certification programs. Plant species that are prohibited entry into the U.S. cannot be certified and/or exported under this or any other established inspection program.

All genera in Part "B" of Appendix 1 are not eligible under this program. Some plants listed in Part "B" of Appendix 1 may be eligible for export provided additional certification or testing is performed. Registered participants should contact CFIA should they wish to export plants on this list.

Trade of certain endangered plant species is subject to the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES). Importation and exportation of designated plants must comply with requirements under CITES. For further information on CITES requirements, inquiries should be made to:

CITES
Canadian Wildlife Service
Environment Canada
351, boulevard St-Joseph
3^rd Floor, Place Vincent Massey
Hull, Quebec
J8Y 3Z5
Tel. (819) 997-2800 / Fax. (819) 953-2225

Note: the Canadian Nursery Certification Program (CNCP) is a quality systems approach for the certification of nursery stock for export to the U.S.. The program is based upon principles similar to the Canadian Greenhouse Certification Program. However, nursery stock produced in the CNCP and exported to the U.S. require Phytosanitary Certificates and is not eligible to be exported with an export certification label. However, facilities certified in both programs may export greenhouse material with a label, provided the material meets the requirements specified for the Canadian Greenhouse Certification Program.

2.1.1.2 Origin

All plant material shipped under this program must be of Canadian or U.S. propagative origin.

Plant material imported into Canada from countries other than the U.S. and eligible for export to the U.S. (i.e. other than the ones listed in Part C of Appendix 1) must be grown in Canada for at least one growing cycle (see definition) to be considered of Canadian propagative origin. This includes material imported to Canada as unrooted cuttings or material imported free of soil.

Plant material imported into Canada under the Canadian Growing Media Program (CGMP) (plants rooted in a pre-approved non-soil medium) are not admissible into the U.S. regardless of the length of time grown in Canada. (See Part A of Appendix 1). This prohibition is stipulated in the U.S. Code of Federal Regulations CFR 319.37.

2.1.2 Phytosanitary Standards

All plants exported under the Canadian Greenhouse Certification Program and the facility in which they are produced, must meet the following phytosanitary standards: freedom from all U.S. quarantine pests and practical freedom from other injurious pests (non-quarantine pests).

U.S. quarantine pests are listed in Appendix 4.

2.1.3 Qualifications and Training of Greenhouse Staff

A designated facility shall employ competent staff to carry out the requirements of this program. At least one staff member must be capable of demonstrating an understanding of the pest freedom requirements, records retention requirements and the conditions for exporting plant materials to the U.S. as required under this program. This person shall be designated the Pest Control Manager of the facility. The Pest Control Manager must ensure that the facility maintains good compliance in the program. All other staff members in the designated facility responsible for pest management activities or involved in the export of plant materials to the U.S. must be aware of the phytosanitary standards and appropriately trained in any functions specific to this program. Should the Pest Control Manager cease to be employed by a designated facility, a replacement must be identified to CFIA prior to the export of any plant material. In certain cases, when approved by CFIA, facilities may designate more than one individual Pest Control Manager.

2.1.4 Pest Management

A designated facility must have a pest management program that will assure consistent compliance with the phytosanitary standards. The pest management plan may be one that is established or recommended by a provincial agency, by industry, or it may be specifically developed by the designated facility. The procedures followed in the program must be documented for review by CFIA. The elements listed below must be present within the plan:

2.1.4.1 Inspection of Incoming Plant Material

New stock (excluding seeds and tissue culture plantlets) brought into the greenhouse must be inspected for pests prior to moving the material into production areas. If pests are found, control measures must be taken immediately. The Pest Control Manager must have a system of recording these inspections and control procedures (e.g. initialled invoices, a specific written report, a wall chart, etc.)

2.1.4.2 Inspection of Production Areas

All plants in a designated facility, including plants destined for domestic markets, and all production areas, should be inspected by the Pest Control Manager or other competent staff member. If pests are detected, control measures must be taken to ensure compliance with the phytosanitary standards.

2.1.4.3 Inspection of Export Shipments

When export shipments are being prepared, plants must be examined to prevent pest contamination and to ensure that the phytosanitary standards are being met. The Pest Control Manager, or other competent staff member must prepare a written record of all export inspections. This record should include the date of inspection, the plants inspected, the inspection results and any other pest management actions undertaken (e.g. a copy of the export invoice signed and dated by the person conducting the inspection could be used as this record).

2.1.4.4 Pest Detection

In addition to inspection, other pest detection methodologies may be used to obtain early warnings of pest infestations (e.g. yellow sticky traps, pheromone traps). Eradication may be more easily achieved if infestations are detected when the pest population is small or in early juvenile stages. CFIA must be notified immediately of any pest finds of significance (i.e. when a typical or uncommon pest damage or symptoms are observed, when a new pest has been introduced into an area of production, or when quarantine pests are suspected).

2.1.4.5 Pest Controls

Different pest control strategies may be employed to meet the phytosanitary standards. These strategies may include: cultural (weed control, screened vents, general sanitation), biological or chemical controls. However, under any strategy, plant pests must be controlled expeditiously, to ensure that the facility maintains the phytosanitary standard.

Designated facilities employing an integrated pest management (IPM) program with established threshold levels for specific beneficial organisms may participate in the Greenhouse Certification Program. However, the Pest Control Manager must document the pest management program for review by CFIA, and ensure that, at the time of shipment, exported plants meet the phytosanitary standards.

All activities associated with inspection or pest control must be recorded indicating the plant(s) inspected or treated, the pest detected or controlled, the date of inspection or treatment, the person performing the task, and any information confirming control of the pest or the health of the plant material.

2.1.5 CFIA Inspection

Detailed information regarding CFIA procedures of inspection is found in Appendix 6.

CFIA will conduct an initial inspection (quality evaluation) of a designated facility applying to participate in the Canadian Greenhouse Certification Program. The purpose of this inspection is to assess the pest management plan and the competency of the Pest Control Manager, and staff. CFIA will also inspect designated facilities on an annual basis to assess the overall performance of the participant (systems inspection). In addition to these systems inspections, CFIA will carry out routine inspections of plant material and records at participating facilities (surveillance inspections). Initially, surveillance inspections will be conducted at a frequency of one per month for the first three months, while the facility is either producing or receiving plant material intended for export. During any inspection the Pest Control Manager must be present. Should the facility maintain a good compliance record, the inspection frequency will be reduced to one inspection every six weeks while the facility is in production for the next nine months of certification. Should the greenhouse or broker facility continue to be in compliance, the frequency will be reduced to one inspection every three months in which the greenhouse is in production.

Inspections which reveal that a designated producer or broker is unable to meet the specifications will result in the facility having its certification status revoked or the inspection frequency increased. The CFIA program officer will notify the participant in writing of this action. If the status of the facility is revoked, labels and or stamps must be surrendered to CFIA immediately. A producer or broker may be re-instated if all corrective actions required by CFIA have been undertaken, including any preventative steps necessary to ensure that a recurrence of the event will not occur. During a suspension period, phytosanitary certificates will be issued if individual product inspections confirm that each shipment meets the phytosanitary standard.

2.2 Administrative Requirements

2.2.1 Eligible Applicants

Eligible applicants include producers of greenhouse plants and brokers shipping greenhouse plants produced in designated facilities.

2.2.2 Application for Participation

An application form must be completed and signed by a producer or broker indicating that he or she is willing and able to comply with the terms and conditions of the Canadian Greenhouse Certification Program. A copy of the application form is attached as Appendix 2. The completed form should be submitted to the local office of CFIA. Based on the results of the review of the pest management plan and the quality evaluation, the CFIA program officer may approve the applicant for participation in the program by signing the application.

2.2.3 Export Certification Label and Interfacility Stamp

Each facility approved under this program will be assigned a registration number. This number, as well as a serial number, appears on the export certification labels issued by the designated facility. The registration number and serial number make each export label unique. An example of an export certification label is shown in Appendix 3.

An interfacility stamp issued to a designated facility may be used in place of a label when material is moving from a designated facility to another designated facility in Canada. The stamp informs designated facilities and brokers purchasing material that the material is export ready. The interfacility stamp has the registration number which is unique to the facility. A stamp must be applied to each invoice issued to an exporting facility approved under the program. An example of the interfacility stamp is shown in Appendix 3.

The designated facility is responsible for paying all costs associated with obtaining export certification labels and stamps, although they remain the property of CFIA. Plant Health Division provides the specifications for the label and stamp. An order form (Appendix 5) must be completed by the operator of a designated facility and provided to a CFIA inspector. CFIA staff authorize the printing of the labels and stamps and indicate the quantity and serial numbers to be used for the label print.

The export certification label should be placed on either a copy of the commercial invoice or a blank sheet of paper listing the plant species contained in the shipment (label document). This label document will be retained by the USDA at the port of entry and replaces the Phytosanitary Certificate normally required for the entry of the plants to the U.S. The label document must state "ATTENTION USDA PPQ" at the top of the sheet and have the export certification label affixed to it. All certified plants within the shipment must be specified by common or scientific name. For plants in mixed planters, hanging baskets, tropical baskets, etc., the label document must specifically identify the individual plants contained within these items. For consolidated shipments, a reference to all invoices moving under the individual certification label must appear on the label document. For shipments being exported to California, exporters should provide to the shipper an extra copy of the label document to present at inland border stations.

A designated facility must exercise strict control over the use of export certification labels and the interfacility stamp. Records must be kept of serial numbers of labels in stock and of labels used for export shipments. Under no circumstances should labels or stamps be used for purposes other than the export of material meeting the conditions of the Canadian Greenhouse Certification Program. Failure to comply with this requirement will result in immediate suspension from the Canadian Greenhouse Certification Program.

All plants shipped under this program by a producer or broker must have been propagated and produced in a designated facility or inspected by CFIA. Plants sourced for resale from a non-designated facility that have not been grown for a period sufficient to conform with the definition of a growing cycle, are eligible for export under this program, but a CFIA inspection of this material prior to export is required (see also Section 2.2.4.1). Export shipments containing plants that are not eligible under the Canadian Greenhouse Certification Program require an inspection by CFIA and the issuance of a Phytosanitary Certificate.

2.2.4 Documentation Controls

2.2.4.1 Designated Facility Records

A designated facility must maintain records in a Canadian establishment. The records must list all plants exported under this program, the destinations of all plants exported, and the serial numbers of the export certification labels used. Producers and brokers who ship plants produced in other designated facilities must record the sources of plants including the source certification number.

Designated facilities intending to export product with a certification label from non-designated establishments (including those products that may have originated from designated sources but which at some time were purchased by a non-designated facility), require an Inspector's Report (AGR 1337) or CFIA stamped invoice for the product from non-designated sources. The Inspector's Report (AGR 1337) or CFIA stamped invoice must be kept as a record for all product sourced from non-designated facilities.

Material sourced for production by a designated facility must be of Canadian or US origin. Records must be maintained indicating the sources of the plant material used to propagate plants exported under this program.

All records must be kept for at least one year from the date of shipment. Designated facilities exporting plants from other sources must maintain a list of all suppliers providing plants and products for export. This list must be kept up to date and made available to CFIA upon request.

A designated producer facility is also required to maintain the inspection reports completed by the Pest Control Manager or person trained by the Pest Control Manager to undertake an inspection.

A record of the training of inspection staff must be maintained. Upon request, records are to be made available to CFIA.

2.3 Non-Compliance

Greenhouse-grown plants shall not be exported under the Canadian Greenhouse Certification Program from a facility that has failed to meet the program requirements as stipulated in Section IV. Plant material originating from a facility that has failed to meet the requirements of this program may be certified by CFIA on the basis of a product inspection if requirements for this type of inspection can be met. Phytosanitary Certificates will not be issued for plants not meeting the phytosanitary standards.

Product inspections will be the only option available for export certification unless corrective measures are taken to bring the facility into compliance with the Canadian Greenhouse Certification Program.

A suspended facility may re-apply for designation once it has completely undertaken all corrective actions necessary to prevent a recurrence of the non-conformity(ies). The facility must re-submit a pest management plan of those actions taken. CFIA will conduct a re-inspection of the facility to determine if the necessary corrective actions are sufficient. A new inspection frequency will be assigned to the facility. Once the facility has demonstrated on-going compliance with the standards of the program, the facility will be returned to an inspection frequency consistent with other facilities in compliance.

Designated facilities that cannot maintain satisfactory phytosanitary controls will no longer be eligible for inclusion in the Canadian Greenhouse Certification Program. Those facilities not able to maintain the required phytosanitary conditions or found violating requirements critical to the maintenance of the phytosanitary standard will be advised in writing of their cancellation in the program. All export certification labels and stamps must be surrendered to CFIA upon termination.

3.0 Appendices

Appendix 1: List of Plants Excluded From the Greenhouse Certification Program for Export to the US
Appendix 2: Application for Export Designation in the Greenhouse Certification Program.
Appendix 3: Export Certification Label and Interfacility Stamp Examples
Appendix 4: List of U.S. Quarantine Pests
Appendix 5: Export Certification Label and Interfacility Stamp Order Form
Appendix 6: CFIA Inspection - Requirements For The Inspection of Designated Facilities
Appendix 7: Classification of Non-conformance
Appendix 8: Checklist for Documentation Review and Evaluation Inspection
Appendix 9: Surveillance Inspection Report
Appendix 10: Calculation of Inspection Frequency-Non-Conformance Flow Chart

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Appendix 1

Plants Excluded From the Greenhouse Certification Program for Export to the US

The following plants are excluded from this program for shipment to the United States [note: an * or an ** placed beside the species name indicates that the plant is considered a noxious weed (*) or an aquatic noxious weed (**)].

1. Any plant imported into Canada under the Canadian Growing Media Program from a country other than the United States.
2. Plants of the following genera/species (note; some species listed may be eligible for export following CFIA inspection of the material):

Plants excluded from the Canada/USA Greenhouse Certification Program for export to the United States continued:

The list has been expanded to include the common cultivated genera of the families Bambuseae, Bromeliaceae and Rutaceae in order to prevent mistakes being made by shippers. These lists are not exhaustive and other genera of the above-mentioned families could be included.

B1. Bambuseae

B2. Bromeliaceae

B3. Rutaceae

PLANTS EXCLUDED FROM THE CANADA/US GREENHOUSE CERTIFICATION PROGRAM FOR EXPORT TO THE UNITED STATES

C. Plants whose propagative origin is other than Canada and the United States:

 

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Appendix 2

Application for Export Designation in the Greenhouse Certification Program

Name of Facility::

The Applicant is a:  Producer:  Broker:

Total Area of Production Facility:

Pest Control Manager:

Address:

Telephone No.:  Fax No.:

Conditions for Exporting Greenhouse Plants to the U.S. Under the Canadian Greenhouse Certification Program:

1. Export shipments must consist of eligible greenhouse plants, as stipulated in Section 2 of Canadian Food Inspection Agency (CFIA) directive D-96-12.
   
   
2. Exported plants must be propagated and produced in a facility designated by CFIA for export under the Greenhouse Certification Program and as outlined in CFIA directive D-96-12. If the plants intended for export are not propagated and produced in a designated facility, individual product inspections must be carried out by a CFIA inspector to qualify such plants for export.
   
   
3. The designated facility must have a documented pest management program. Components of the program must include: inspection of incoming plant material, mechanisms for pest detection during production and inspection of export products by competent staff members.
   
   
4. Records of plants shipped under the Greenhouse Certification Program must be maintained at the designated facility for at least one year after shipment. Records must include the identification numbers of the facility that propagated and produced the plants or an Inspector's Report (AGR 1337) or an CFIA stamped invoice from the source. Designated facilities exporting plants from other designated sources must maintain a list of all suppliers providing plants and products for export.
   
   
5. Appropriate measures must be taken to ensure that the plants to be exported are packaged and stored in a manner to preclude contamination by quarantine pests and remain practically free of other injurious pests.
   
   
6. Export certification labels as authorized by CFIA must be affixed to a commercial invoice or to a sheet of paper (label document) accompanying each shipment of plants. Consolidated shipments must be accompanied by a label affixed to the commercial invoice or label document containing sufficient reference information to indicate the other invoices contained within the shipment.
   
   
7. CFIA must be notified immediately of any change in the Pest Control Manager and of any pest finds of significance (i.e. when a typical or uncommon pest damage or symptoms are observed, when a new pest has been introduced into an area of production, or when quarantine pests are suspected).

Dated , 200 at , Province of 

I,  the owner/person in possession, care, or control of the above named facility have read and understood all the conditions and obligations stated herein by which I may export specific genera of greenhouse plants, in accordance with the Greenhouse Certification Program.

Further, I am and shall be responsible for and shall indemnify and save harmless Her Majesty the Queen in Right of Canada, including the Department of Canadian Food Inspection Agency, Her Officers, Servants, Employees, Successors and Assigns, from and against all manners of actions, causes of action, claims, demands, loss, costs, damages, actions or other proceedings by whomsoever made, sustained, brought or prosecuted in any manner based upon, caused by, arising out of, attributable to or with respect to any failure, inadvertent or otherwise, by act or omission, to fully comply with the said conditions and requirements.

Dated , 200 at , Province of 

Pest Management Plan Approved by:

Quality Evaluation Completed and Facility Recommended for Participation by:

Approved for Participation in the Canadian Greenhouse Certification Program:

 

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Appendix 3

Export Certification Label and Interfacility Stamp Examples

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Appendix 4

Partial List of U.S. Quarantine Pests

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Appendix 5

Application Form to Order Export Certification Labels and the Interfacility Stamp

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Appendix 6

CFIA Inspection - Requirements For The Inspection of Designated Facilities

I. SCOPE AND OUTLINE OF REQUIREMENTS

This procedure outlines the inspection requirements and instructions to inspection staff of the Plant Protection Program of the Canadian Food Inspection Agency (CFIA) for the planning, implementation and follow-up of inspections of facilities designated in the "Canadian Greenhouse Certification Program (CGCP)" It also defines those responsible for inspections and the specific processes in conducting inspections. This procedure may only be used for the inspection of designated facilities or those in the process of becoming designated in the CGCP.

II. INSPECTION OBJECTIVES AND RESPONSIBILITIES

1.0 Inspection Objectives

In order to ensure that the requirements specified in the CGCP are adhered to by designated facilities, the objectives of the inspection are:

• to evaluate the degree to which designated facilities in the CGCP or those in the process of becoming designated in the CGCP comply with the specified requirements
• to identify problem areas in program design and to facilitate the continuous improvement of the CGCP (including identifying future training needs of CFIA staff and program participants)

2.0 Specific Goals of the Inspection

To achieve the above objectives, the inspections will determine:

• if staff and management of the designated facility possess adequate knowledge (including the application and interpretation) of the program
• the ability of the staff and management of the designated facility to implement and maintain a pest management plan (including adequate inspection of plant material entering the facility, plant material in production and those being exported) and pest control practices that ensure that the facility maintains freedom from quarantine pests and substantial freedom from all other pests
• the ability of the designated facility to maintain records attesting to the origin of plant material being exported, inspection processes, pest control and monitoring activities and documentation related to the export of certified plants (including management and control of export certification labels)

3.0 Roles and Responsibilities of the Person(s) Conducting an Inspection

Within the Region, the program officer is approved by CFIA to be responsible for the implementation and delivery of the inspection of designated facilities. As such, the program officer acting as the lead will select a team in consultation with field staff supervisors to conduct inspections. The lead officer will be responsible for maintaining records, attesting to the inspection of designated facilities and will ensure that inspections are conducted in accordance with the program standards. These shall include the maintenance of a listing of all facilities designated by the Region, the status of those facilities, the frequency of inspection at each facility, and any other information deemed relevant. The program officer is responsible for ensuring that facilities are aware of non-conformities, the corrective actions necessary to return to compliance and the status of the facility.

Records of inspections will contain information including: the date of the inspection, name(s) of the inspector(s), name and address of the facility inspected, areas inspected or monitored, results of the inspection, dates of future inspections and any other remarks. Templates of inspection reports are provided in Appendix 7 - Classification of Non-Conformance and Appendix 9 - Surveillance Inspection Report

To ensure that the objectives of the inspection are adequately met, the lead officer must possess a minimum of 5 years experience in the delivery of Plant Protection programs and have a thorough understanding of the concepts of inspecting designated facilities obtained through certification in a CFIA approved lead auditor course.

III. INSPECTIONS

1.0 Inspection Frequency

The overall performance of the designated facility is to be rated by the inspection team following each inspection conducted. This rating will be used to determine the future inspection frequencies as indicated in Appendices 6 - Classification of Non-Conformance and Appendix 10 - Calculation of Inspection Frequency Non-conformance Flow Chart).

1.1 Quality Evaluation

A quality evaluation shall be conducted once a producer or broker has completed the Application for Export Designation in the Greenhouse Certification Program (Appendix 2), and a copy of the pest management plan has been approved by CFIA. Using the Checklist for Documentation Review and Evaluation Inspection (Appendix 8) CFIA should evaluate the ability of the facility to meet the prescribed standards within normal facility operations, including the operation of the pest management plan. This inspection should review the efficacy of the pest management plan, the consistency of procedures within the facility in complying with the pest management plan and the requirements specified in the program for records retention, and quality of plant material produced.

1.2 Subsequent Frequency

The frequency of inspections is determined by the ability of the facility to comply with the program requirements. Inability of the facility to comply will result in a change in the frequency of inspections or in suspension or removal of the facility from the program. Appendix 10 - Calculation of Inspection Frequency - Non-conformance Flow Chart shall be used to determine the subsequent frequency of a facility following completion of an inspection.

• Approved Status A: in the first three months of the first year of designation and following the successful completion of the quality evaluation, CFIA will conduct one surveillance inspection per month while the facility is in production (either receiving or producing plant material intended for export).
• Approved Status B: provided that the designated facility maintains good compliance, the frequency of surveillance inspections will be reduced to one inspection every six weeks for the subsequent nine months of production.

  On or around the anniversary of the date of designation, a systems inspection will be performed preferably with the PCM. This inspection will be performed annually regardless of the frequency of surveillance inspections.

• Standard Status: for designated facilities in good compliance, the frequency of inspections will be reduced to one inspection every three months while the facility is in production.
• Modified Status: normally, a designated facility placed at this status level has not met the requirements to achieve Standard Status or has not maintained Standard Status. Any number of systems inspections and/or surveillance inspections may be required to verify compliance with the standards of this program.

  A designated facility may remain at Modified Status for a maximum period of one year. If the facility has not achieved Standard Status by the end of this period, the facility will receive written notice of suspension from the Canadian Greenhouse Certification Program from a CFIA program officer. The designated facility may re-apply for participation in the program after three months have elapsed and the pest management plan and records retention program has been modified to ensure future compliance

2.0 Planning Systems and Surveillance Inspections

Prior to an inspection, the lead officer is responsible for the development of a provisional inspection plan, outlining specific focus areas for the inspection. These areas will take into account previous inspections, and performance between inspections. The lead officer ensure that the focus of the inspection addresses any perceived weaknesses in the pest management plan, records retention processes, plant pest problems or other areas of the export system.

3.0 Performing Systems and Surveillance Inspections

3.1 The Opening Meeting

When undertaking systems inspections, the inspector should arrange for an opening meeting of the inspection staff with the applicant, the PCM and any other interested staff of the designated facility, to discuss among other items: inspection criteria, availability of staff to assist in the inspection, method of performing the inspection, method of handling non-conformities found during the inspection, time and place of the closing meeting and the distribution of an inspection report.

In most cases, an opening meeting is not necessary when conducting a surveillance inspection.

3.2 The Inspection

Both systems and surveillance inspections may be conducted by means of inspection of plant material, monitoring equipment, sampling techniques, interviews, observations of activities, examination of documents and records, and/or other activities as deemed necessary by the inspector(s), respecting the rules, regulations and customs of the organisation where possible.

For a systems inspection, the inspector(s) shall obtain objective evidence sufficient to:

• assess the adequacy and effectiveness of the facility's processes in meeting the standards
• determine whether required documentation is sufficient, current, and readily available to staff
• determine that work is being performed in accordance with the specified requirements, including the performance of the PCM in identifying pest problems and implementing prompt and effective solutions

  A checklist of non-conformance is found in Appendix 7 of this document.

  For a surveillance inspection, the inspector(s) shall obtain objective evidence sufficient to:

• verify that pest management practices within the designated facility permit plant material to be exported free of all quarantine pests and substantially free of all other pests
• that plant material exported has complied with the eligibility requirements of the U.S.
• that the facility is consistently maintaining records on the origin of plant material being exported, and pest management activities
• that designated facility employees are consistently undertaking the activities specified in the pest management plan
• that facility employees understand the requirements of the Canadian Greenhouse Certification Program

Documentation of findings shall be recorded on Surveillance Inspection Report - Appendix 9, and all records of non-conformities shall be recorded on the Classification of Non-conformance Form (Appendix 7).

The inspector(s) shall review and evaluate all non-conformities recorded to assess the current status of the designated facility.

Critical non-conformities must be reported to the applicant and the PCM immediately. These will result in suspension of the designated facility.

3.3 The Closing Meeting

The inspector(s) shall meet with management of the designated facility and the PCM upon completion of the inspection to review findings, discuss any non-conformities, and decide upon an action plan for correction, if required.

The lead officer shall inform the facility in writing of any change in frequency of inspection or if subsequent visits are required.

4.0 The Inspection Report

4.1 Quality Evaluation Report

A copy of the results of the quality evaluation as identified on the form Checklist for Documentation Review and Evaluation Inspection (Appendix 8) should be completed and provided to the Pest Control Manager at the completion of the audit. A copy of the signed Application indicating approval of the facility for participation in the program should be forwarded to the facility within five working days.

4.2 Systems Inspection Report

The lead officer shall prepare an Inspection Report within 20 working days. The report shall contain the following:

• Inspection scope & objective;
• Inspection details: areas inspected, personnel responsible for program delivery, inspector(s) and dates and places of inspection;
• Reference documents used;
• Inspection findings: reference to or inclusion of the Classification of Non-conformance Report (Appendix 7) and any other additional details;
• Extent of compliance with the document standards;
• Effectiveness of the pest management plan;
• Inspection report distribution.

It may also include comments and/or recommendations for improvement.

The lead officer shall distribute a final copy of the Inspection Report for a quality systems inspection within 20 working days after the completion of the inspection to:

• identified managerial staff of the designated facility
• inspector(s)

4.3 Surveillance Inspection Report

The inspector will provide a copy of the Surveillance Inspection Report (Appendix 9) to the PCM and the lead officer.

IV. TYPES OF NON-CONFORMITIES

Appendix 7 describes in detail the how to classify non-conformances.

• Critical Non-conformance: inspection findings that reveal that the integrity of this program is in jeopardy. Certification labels can not be used because this non-conformance will damage the integrity of the Certification label, and will directly affect export markets. The designated facility is suspended from this program and all un-used labels and interfacility stamps must be submitted to CFIA until remedial action has been taken to the satisfaction of CFIA.
• Major Non-conformance: inspection findings that reveal one isolated incident of non-conformance having no direct impact on the integrity of the product provided that remedial action can be taken within a period defined by the lead officer. Corrective action must be carried out within the time frame specified by an inspector which shall not exceed a maximum of 2 weeks. Should the facility fail to complete corrective actions in the specified time period, participation of the facility will be suspended.

  If more than two major non-conformities are detected during an inspection, the classification is changed to Critical Non-conformance.

• Minor Non-conformance: inspection findings that reveal a non-conformance incident(s) which does not immediately and/or significantly affect integrity of the program or product, but leads to a major non-conformance if more than 3 minor incidents of any deficiency occur in any one inspection. Corrective actions must be undertaken by the producer or broker by no later than the next inspection, or within a time frame agreed to by the lead officer

Any non-conformance must be accompanied by an action plan. Failure to follow the action plan may result in the cancellation of the facility's participation in the program

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Appendix 7

Classification of Non-conformance

Note: the section of the standard to which the non-conformance is related has been referenced in parentheses.

Critical non-conformance: inspection findings that reveal that the integrity of this program is in jeopardy. Certification labels can not be used because this non-conformance will damage the integrity of the Certification label, and will directly affect export markets. The designated facility will be suspended from this program and all un-used labels must be submitted to CFIA until remedial action has been taken to the satisfaction of CFIA.

The following list provides examples of critical non-conformities, but is not limited to those listed below.

	Check	Corrective Action to be Undertaken by the Designated Facility	Date by Which Corrective Action is to be Completed	Lead Officer's Signature indicating Corrective Action has been Completed
Designated facility exported a plant species listed in Appendix 1.
Designated facility exported a plant species of origin other than Canada or the U.S. (e.g. export of plants imported in sterile growing media).
Designated facility exported a plant infested with a quarantine pest.
Facility failed to notify CFIA of "pest finds of significance (i.e. when a typical or uncommon pest damage or symptoms are observed, when a new pest has been introduced into an area of production, or when quarantine pests are suspected)".
Facility failed to control a quarantine pest.
Facility provided certification labels or stamps to a person not authorized or employed by the facility.
Plants shipped by the facility were not produced in a designated facility or did not receive an inspection by CFIA.
Designated facility fails to make reports or records available to CFIA or the US Department of Agriculture.

Observations:

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Major Non-conformance: inspection findings that reveal one isolated incident of non-conformance having no direct impact on the integrity of the product provided that remedial action can be taken within the time frame specified by an inspector which shall not exceed a maximum of 2 weeks. Should the facility fail to complete corrective actions in the specified time period, participation of the facility will be suspended.

If more than two major non-conformities are detected during an inspection, the classification is changed to a Critical Non-conformance. The following list provides examples of major non-conformities, but is not limited to those listed below.

	Check	Corrective Action to be Undertaken by the Designated Facility	Date by Which Corrective Action is to be Completed	Lead Officer's Signature indicating Corrective Action has been Completed
Plants under production in the designated facility or those exported are infested with non-quarantine injurious pests.
Designated facility is operating without a Pest Control Manager.
Pest Control Manager is incapable of demonstrating the general requirements of D-96-12.
Designated facility fails to control pests.
Designated facility fails to carry out pest management activities specified in pest management plan.
Designated facility fails to inspect or fails to record inspections of plants readied for export.
Certification labels not affixed in accordance with the requirements of D-96-12 (e.g. consolidated shipments not referenced to a single commercial or customs export invoice).
Designated facility fails to maintain a record of Certification labels used for export shipments.
Designated facility fails to identify all plants being exported.
Designated facility fails to maintain a record of all plants exported under the certification program.
Designated facility fails to maintain copies of CFIA inspection reports (CFIA stamped invoices) material from non designated facilities shipped under a certification label.
Designated facility is incapable of demonstrating an ability to trace material to source or to end destination.
Designated facility fails to maintain required records for one year.

Observations:

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Minor Non-Conformance: inspection findings that reveal a non-conformance incident(s) which does not immediately and/or significantly affect integrity of the program or product, but leads to a major non-conformance if more than 3 minor incidents of any deficiency occur in any one inspection. Corrective actions must be undertaken by the producer or broker by no later than the next inspection, or within a time frame agreed to by the lead officer. The following list provides examples of minor non-conformities, but is not limited to those listed below.

	Check	Corrective Action to be Undertaken by the Designated Facility	Date by Which Corrective Action is to be Completed	Lead Officer's Signature indicating Corrective Action has been Completed
Designated facility fails to have in its employ sufficient staff to ensure that the program specifications are being consistently maintained.
Staff members of the facility performing tasks related to pest inspection or control, records retention related to the program, or export certification duties are not aware of the Phytosanitary standard.
Reports of inspections or pest control does not contain sufficient information as required in D-96-12 (e.g. date of inspection or pest control, persons conducting the activity, the plants inspected or treated, the pest found or treated, and the results of treatment).
Designated facility fails to maintain a record (inter-facility stamp on invoices) of material moving from other designated facilities.
Designated facility fails to maintain up-to-date list of suppliers providing plants and products for export.

Observations:

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Appendix 8

Checklist for Documentation Review and Evaluation Inspection

Note: the section of the standard, D-96-12 to which the non-conformance is related has been referenced in parentheses.

		OK	Non Conforming	Corrective Actions
1.	Application has been completed and signed by principle. (Section 2.2)
2.	Pest Control Manager has been designated.
3.	Pest Control Manager has demonstrated a competent understanding of the requirements of the Program including:	n/a	n/a	n/a
3a.	Pest Control Manager is aware of the quarantine pests of the U.S.
3b.	Pest Control Manager is aware of the specifications regarding the movement of restricted plants to the U.S.. (Appendix 1)
3c.	Pest Control Manager is aware of the inspection and record requirements for pest monitoring.
3d.	Pest Control Manager is aware of who to contact regarding the detection of a pest that is uncommon or of quarantine significance.
4.	Facility has provided or can make available a list of principle plant commodities to be exported.
5.	Facility has provided or can make available a list of suppliers providing plant products for resale.
6.	Facility has provided or can make available a list of suppliers providing propagative stock.
7.	Pest Management Program has been documented indicating the following:	n/a	n/a	n/a
7a.	Inspection and procedure for recording the inspection of incoming propagative stock.
7b.	Inspection and procedure for recording the inspection of export plant materials.
7c.	Procedure for routine monitoring and recording of inspections of propagation areas.
7d.	Procedure for treating for routine pests found in the facility. Process for documenting treatments.
8.	Export invoices indicate all common names or scientific nomenclature of all plant material exported.
9.	Facility has indicated a procedure for maintaining CFIA inspection reports for plant material sourced for direct resale.
10.	Facility has specified a process for documenting plant material exported and certification labels used.
11.	Facility has indicated a process for retaining all program records for a period of one year and a mechanism for accessing pertinent records for inspection.
12.	Quarantine or injurious pests were not detected during evaluation visit.

 

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Appendix 9

Surveillance Inspection Report

Inspection Office:

Name and Address of Facility:

 

Crops Inspected	Date of Export	Pests Detected	Treatment Ordered (check if ordered)	Date Corrective Action Complete:	Pest I.d. No.

 

	Pests on Sticky Boards	Pests in Pheromone Traps	Pests in Feeding Traps	Plant Spacing Inadequate	Screens Not in Place	Weeds	Pest Infestation on Imports
Indicate if not in compliance with Pest Management Plan
Date corrective action is to be completed

Labels Used

Export-Destinations:

Plant Material Exported:

Period Start Date:

Period End Date:

All material exported is eligible? _Yes _No

Other Remarks (including knowledge of employees regarding the program, consistency in applying pest management procedures, and any information on the use of
labels):

Growers Signature:

Approximate Date of Next Inspection:

Inspectors Signature:

Facility Staus: Suspended:_ Active:_

Date Labels Returned to CFIA:

The grower acknowledges that he has received a copy of this report and if necessary a copy of the classification of non-conformance report. He has been made aware of any requirements to treat/control pests or to undertake any corrective actions identified by the inspector.

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Appendix 10

Calculation of Inspection Frequency Non-conformance Flow Chart