D-04-01: Canadian Nursery Certification Program (CNCP)

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Effective Date: July 29, 2013
(3rd Revision)

Subject

This directive describes the requirements for the Canadian Nursery Certification Program (CNCP) and replaces the pilot program that has been in place in Canada since 1998. Facilities that produce greenhouse or nursery plants may be eligible to participate in the CNCP in lieu of the Canadian Greenhouse Certification Program (CGCP). A restricted range of plant taxa are eligible for certification under the CGCP, but the CNCP has been designed to incorporate a broader range of plant taxa. Plants that cannot be certified under the CGCP may be eligible for certification under the CNCP.

The CNCP is a phytosanitary certification program for Canadian nurseries and greenhouses that ship nursery stock to the United States (U.S.), or within Canada. The CNCP offers an alternative to traditional phytosanitary certification, which is based on final product inspection immediately prior to shipping. The CNCP uses a systems approach to mitigate pest risk. It has several components, including documenting the production and pest management practices, auditing and reviewing the system, and determining pest prevalence during production. Under the CNCP certified facilities implement procedures to ensure that the plants they ship meet the requirements of the CNCP and are free of pests of concern. The Canadian Food Inspection Agency (CFIA) establishes the requirements of the CNCP and conducts audits to verify that plant material certified under the program meets the phytosanitary requirements of the importing country and is free of quarantine and regulated non-quarantine pests. In fact, if populations of non-regulated plant pests are not identified and controlled at a certified facility, the facility may be suspended from the CNCP due to non-conformance with the standard. Consequently, nurseries certified under the CNCP will produce plant material that consistently meets the phytosanitary requirements of the importing country.

Other CFIA approved certification programs, such as those for Japanese Beetle, Popillia japonica and pine shoot beetle, Tomicus piniperda may be incorporated in to the CNCP. In these cases, the CNCP Manual must include a detailed description of these programs and how they are implemented at the certified facility.

This directive has been revised to make minor administrative changes. The content of this directive has not changed.

Future revisions of this directive are expected to:

  • harmonize this directive with the United States Department of Agriculture (USDA) Nursery Certification Program that is currently under development;
  • allow other pest-specific and product-specific CFIA certification programs to be implemented and administered concurrently;
  • establish the criteria and procedures for third party verification bodies, whose purpose will be to carry out audit inspections related to verifying the conformity of certified facilities within the requirements of the CNCP;
  • require participation in a systems based certification program as a pre-requisite for export and domestic movement of high risk nursery stock;
  • require participation in the CNCP as a pre-requisite for the importation of nursery stock from new, off-continent sources after evaluation by Pest Risk Analysis;
  • reflect changes to U.S. import requirements (USDA 7 CFR 319-37 is currently under review).

Table of Contents

Review

This directive will be updated as required. For further information or clarification, please contact the Canadian Food Inspection Agency (CFIA).

Endorsement

Approved by:

space
Chief Plant Health Officer

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

This directive establishes the requirements for the phytosanitary certification of nursery stock produced in accordance with the CNCP and for trade in nursery stock certified under the CNCP including both domestic movement and export to the U.S. It also describes the responsibilities of both the CFIA, and industry participants, and the procedures to be used to approve, audit and suspend facilities from the program.

International trade in nursery stock is considered a high risk pathway for the spread of plant pests. Traditionally, phytosanitary certification of nursery stock has been based upon visual inspection of plants prior to shipping. Although visual inspection remains the primary tool of national plant protection organizations, it does have limitations as evidenced by several recent introductions of quarantine plant pests, believed to have been associated with propagative plant material certified in the country of export. Examples of pests believed to be imported to North America though propagative material include Plum pox virus, Glassy winged sharpshooter (Homalodisca coagulata), and Citrus long-horned beetle (Anoplophora chinensis).

The International Organization for Standardization (ISO) 9001/4 is based on the principle that applying a management system to an entire production process will result in products that consistently meet, or exceed, the parameters established by the organization. In contrast, products produced under conditions where only the end products are systematically reviewed, are less likely to consistently meet the established parameters. The CNCP uses a systems approach and is based on the IPPC Standard, The Use of Integrated Measures in a Systems Approach for Pest Risk Management (ISPM 14) and also meets the guidelines of the NAPPO standard, Integrated Pest Risk Management Measures for the Importation of Plants for Planting into NAPPO Member Countries (RSPM 24).

The systems-based CNCP is designed so that any specific phytosanitary requirements associated with particular pests, products and geographic locations can be implemented and administered within the program. The facility's CNCP Manual must describe how any additional specific phytosanitary requirements are incorporated into and met by the facility's Phytosanitary Management System (PSMS).

Scope

This directive establishes the conditions for production and maintenance of nursery stock to be shipped domestically or to the U.S. under the CNCP. It also describes the responsibilities of the CFIA, and industry participants, and the procedures to be used to approve, audit and suspend facilities from the program. This directive outlines the components of the CNCP including:

  • phytosanitary and pest management requirements;
  • requirements for certifying plant material;
  • requirements for certified facilities and their staff;
  • CFIA audits and internal facility audits;
  • CNCP Manual requirements;
  • documentation requirements;
  • administration requirements; and
  • corrective actions.

References

  • International Standard ISO 10011-1: 1990 - Guidelines for auditing quality systems, Part 1 - Auditing
  • International Standard ISO 10011-2: 1990 - Guidelines for auditing quality systems, Part 2 - Qualification criteria for quality systems auditors
  • International Standard ISO 10011-3: 1990 - Guidelines for auditing quality systems, Part 3 - Management of audit programs
  • FAO, 2001. Guidelines for Phytosanitary Certificates. ISPM No. 12. Rome, 2001.
  • FAO, 2002. The Use of Integrated Measures in a Systems Approach for Pest Risk Management. ISPM No. 14. Rome, 2002
  • FAO, 2008. Glossary of Phytosanitary Terms. (2008): terms, definitions and supplements. ISPM No. 5. Rome, 2007
  • NAPPO, 2008. Glossary of Phytosanitary Terms. RSPM 5.
  • NAPPO, 2005, Integrated Pest Risk Management Measures for the Importation of Plants for Planting into NAPPO Member Countries. RSPM 24.
  • U.S. Code of Federal Regulations. Title 7: Agriculture. Subtitle B: Regulations of the Department of Agriculture. Chapter III: Animal and Plant Health Inspection Service, Department of Agriculture. USDA 7 CFR 319-37, 353 and 354. http://www.access.gpo.gov/nara/cfr/waisidx_ 04/7cfrv5_04.html

Definitions, Abbreviations and Acronyms

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

1.0 General Requirements

1.1 Legislative Authority

The Plant Protection Act, S.C. 1990, c. 22
Plant Protection Regulations, SOR/95-212
Canadian Food Inspection Agency Fees Notice, Canada Gazette: Part I (as amended from time to time)

1.2 Fees

The CFIA is charging fees in accordance with the Canadian Food Inspection Agency Fees Notice. Anyone requiring other information regarding fees may contact any local CFIA office or visit our Fees Notice Web Site.

Audit, inspection and certification of facilities and nursery stock, as well as issuance of Phytosanitary Certificates are cost recovered according to the Plant Protection Fees Regulations.

1.3 Regulated Pests

The CNCP described herein regulates all quarantine and regulated non-quarantine pests of Canada and the U.S.

Individual U.S. states may have specific state plant quarantine requirements for imported plants, in addition to federal plant quarantine requirements. It is the responsibility of the Canadian exporter to ensure that shipments of nursery stock meet the specific requirements of the importing state.

Similarly, some provinces in Canada may have specific requirements, in addition to federal plant quarantine requirements for plant pests. It is the responsibility of Canadian nurseries to ensure that shipments of nursery stock meet the specific requirements of the destination province.

1.4 Regulated Commodities

All nursery stock from Canada and the United States.

1.5 Commodities not Regulated by this Directive

  • Cut flowers
  • Fruits and vegetables
  • Seed potatoes
  • Grapevines
  • Fruit trees
  • Grain and field crops
  • Seeds

2.0 Specific Requirements

The Certified Facility (CF) must ensure that plant material that is certified under the CNCP meets all the requirements described in this section. The facility's CNCP Manual must identify mechanisms to ensure that only eligible plant material is exported under the CNCP. The CF is obligated to request their suppliers to disclose the origin of all plant material and must maintain records (a piece of evidence or information constituting an account of something that has occurred. For the purposes of this directive, a record is used to verify continuous compliance with the CNCP directive and to demonstrate that procedures have been carried out as specified in the CNCP Manual. Records must include the date that the activity was carried out, the signature of the designated person that carried out the activity, specific information related to the activity, comments, and notes describing any deviations from described procedures) verifying the country of origin of all plant material that is certified under the CNCP. In addition, as described in Section 5.2.3, all plant material must be held and examined by designated staff at each facility before it can be integrated into any of the CF's production or shipping areas. Please note that product identity must be maintained even after plant material is integrated into the certified facility.

2.1 Phytosanitary Requirements

All plant material certified under the CNCP must meet the following phytosanitary criteria:

  • freedom from all regulated pests to Canada and the U.S.;
  • practical freedom from non-regulated plant pests;
  • compliance with any pest-specific or commodity-specific phytosanitary requirements of the CFIA and/or USDA;
  • compliance with USDA origin requirements; and
  • compliance with specific state/provincial requirements.

2.2 Eligible Plant Taxa

Plant taxa that are eligible for certification under the CNCP, include all plants commonly known and recognized as nursery stock, except those that have been excluded by the USDA.

Appendix 1 lists the plant material and plant taxa that are not eligible for certification under the CNCP:

  • Part "A" of Appendix 1 states that plant material imported into Canada in growing media from a country other than the U.S. is not eligible under the CNCP and is prohibited entry into the U.S. regardless of the length of time it is grown in Canada, as per USDA 7 CFR 319.37-8. The only exception is plant material that is sourced from facilities that are approved under both the Canadian Growing Media Program (CGMP) and the USDA Growing Media Program.
  • Part "B" of Appendix 1 lists plant genera and species that are never eligible to be exported under the CNCP. Certain plants listed in Part "B" can be inspected by the CFIA and exported to the U.S. under a CFIA Phytosanitary Certificate, depending on the country of origin, as per USDA 7 CFR 319.37.
  • Part "C" of Appendix 1 lists plant taxa that are not eligible for certification under the CNCP, if the country of origin is other than Canada or the U.S. Plants that are "prohibited", as per USDA 7 CFR 319.37-2, may never be exported to the U.S. Other plants must be grown in Canada for a minimum of one (1) calendar year in order to be considered to originate from Canada. Certain plant taxa listed in Part "C" can be inspected by the CFIA and exported to the U.S. under a CFIA Phytosanitary Certificate, depending on the country of origin, as per USDA 7 CFR 319.37.

Please contact your local CFIA office for more information.

2.3 Certifying Plant Material under the CNCP

To be certified under the CNCP, eligible nursery stock of Canadian origin must fall into one of the following categories:

  • eligible plant material grown at the CF for a period of time that is no less than one growing cycle (for the purpose of this directive, a growing cycle must be no shorter than 28 days) for greenhouse grown plants and one growing season (period or periods of the year when plants actively grow in an area, place of production, or production site. For the purposes of this directive, a growing season must be no less than 120 days) for field and container grown plants; and which includes at least one surveillance audit (internal or external); or
  • eligible plant material grown at either a CNCP or CGCP certified facility and accompanied by the appropriate Interfacility Stamp (IFS) (Section 2.4.2 of D-04-01 and in D-96-12); or
  • eligible plant material, which has been inspected at the originating facility and is accompanied by a CFIA/ACIA 1337 Inspection Report; or
  • eligible plant material that is inspected at the CF by the CFIA and is accompanied by a CFIA/ACIA 1337 Inspection Report; or
  • eligible plant material that is sourced from a contract grower under conditions outlined in the CF's CNCP Manual and authorized by the CFIA; or
  • eligible plant material that is sourced from an industry administered certification program as listed in Addendum 9.

To be certified under the CNCP, eligible nursery stock of U.S. origin must fall into one of the following categories:

  • eligible plant material accompanied by a U.S. export Phytosanitary Certificate provided it is certified free of all pests of concern; or
  • eligible plant material grown at the CF for a period of time that is no less than one growing cycle for greenhouse grown plants and one growing season for field and container grown plants; and which includes at least one surveillance audit (internal or external); or
  • eligible plant material that is inspected by the CFIA at destination and is accompanied by a CFIA/ACIA 1337 Inspection Report; or
  • eligible plant material grown under a USDA Nursery Certification Program at a CF in the U.S. and accompanied by the appropriate CFIA approved documentation.

To be certified under the CNCP, nursery stock that originates from countries other than Canada and the U.S. must fall into one of the following categories:

  • eligible plant material that meets U.S. import requirements and is inspected by the CFIA and is accompanied by a CFIA/ACIA 1337 Inspection Report; or
  • eligible plant material that meets U.S. import requirements and is grown at the CF for a period of time that is no less than one growing cycle for greenhouse grown plants and one growing season for field and container grown plants; and which includes at least one surveillance audit (internal or external); or
  • eligible plant material that does not meet U.S. import requirements but is eligible for certification under the CNCP, must be grown at the CF for a period of time that is sufficient to meet U.S. import requirements and no less than one growing cycle for greenhouse grown plants and one growing season for field and container grown plants and that includes at least one external surveillance audit.

Plants that are considered "restricted", as per USDA 7 CFR 319.37, must be grown in Canada long enough to meet USDA import requirements, including those for post-entry quarantine.

Plants that are "prohibited" entry into the U.S., as per USDA 7 CFR 319.37-2 cannot be certified and cannot be exported under this certification program.

Plant material that meets U.S. import requirements, but cannot be certified under the CNCP may still be inspected by the CFIA and exported to the U.S. under a Canadian Phytosanitary Certificate.

All procedures and processes related to the certification of nursery stock under the CNCP must be described in the CF's CNCP Manual and individually evaluated and approved by the CFIA before they can be implemented (Section 5.0).

2.4 Certification Documents

Each facility approved under the CNCP is assigned a unique registration number, as per Appendix 5. This number appears on the Interfacility Stamp (IFS) (Appendix 4) and on each CNCP Phytosanitary Certification Label (Appendix 2) issued by the Certified Facility. Each CNCP Phytosanitary Certification Label also has a serial number, making each export label unique and facilitating trace back.

Both international and domestic shipments of certified plant material must be accompanied by the appropriate documentation in order to maintain their CNCP status. Plants certified for export under the CNCP must be accompanied by either a "Canadian Phytosanitary Certificate" or a "Canadian Nursery Certification Program Phytosanitary Certificate" (Section 2.4.1). Certified plant material that is shipped to another CF within Canada must be accompanied by documentation stamped with an Interfacility Stamp (IFS), if it is to maintain its certified status (Section 2.4.2). The documentation accompanying CNCP shipments must list the scientific names of each plant species contained in the shipment. Unless there are specific species requirements, scientific names to the genus level will suffice.

2.4.1 Export Documentation

Canadian Phytosanitary Certificates issued by the CFIA are (a) patterned after the model certificates of the IPPC; and (b) signed by an ACO and sealed with an official Canadian Phytosanitary Certificate seal; (Plant Protection Regulations, Section 55 (1)).

Plant material exported under the CNCP must meet all the phytosanitary requirements of the USDA and must be accompanied by a Canadian Phytosanitary Certificate. A CNCP Phytosanitary Certificate, which contains all the information found in a traditional Canadian Phytosanitary Certificate may be used in lieu of a traditional Canadian Phytosanitary Certificate to certify plant material for export under the CNCP.

The CNCP Phytosanitary Certificate is composed of a pre-printed label called a "CNCP Phytosanitary Certification Label" affixed to a "CNCP Export Label Document". The Phytosanitary Certification Label is pre-printed with a unique serial number; the CF's identification number; the name and address of the CF; the signature of the Director of Plant Health; the CFIA seal; a certification statement; and a liability statement (Appendix 2). The Export Label Document (Appendix 3) is an official CFIA form that is completed and printed by the CF. It has a large space designated for affixing the Phytosanitary Certification Label. It also contains the date, the name and address of the exporter; references to invoices or bills-of-lading, a description of the consignment and its means of conveyance; the additional declaration for the CNCP; a description of any treatments that are applied to meet export requirements; and a list of the scientific names of all the plants contained in the shipment.

When the CNCP Phytosanitary Certification Label is affixed to the designated space on a completed Export Label Document it forms a CNCP Phytosanitary Certificate, a document that contains all the information found on a traditional Canadian Phytosanitary Certificate. The CNCP Phytosanitary Certification Label may only be applied to the completed CNCP Export Label Document after the product described by it has been examined for pests and verified to meet all the requirements for certification under the CNCP and within 72 hours of shipping the certified product. The shipment must be safeguarded prior to shipping to protect its phytosanitary integrity.

The following additional declaration will appear on the CNCP Phytosanitary Certificate:

"This shipment of plants was produced in accordance with the Canadian Nursery Certification Program and is considered to conform with the phytosanitary import requirements of the United States."

No pest-specific or plant-specific additional declarations will appear on the CNCP Phytosanitary Certificate.

The CNCP Phytosanitary Certificate is retained by the U.S. Customs and Border Protection at the port of entry and is equivalent to the traditional CFIA Phytosanitary Certificate that is normally required for the entry of the plants to the U.S.

The CF must exercise strict control over the use of the CNCP Phytosanitary Certificate and must be able to account for every phytosanitary Certification Label issued under its control. Under no circumstances can Phytosanitary Certification Labels, which have not yet been affixed to a Label Document, be given to anyone other than a person authorized and employed by the CF. Copies of all CNCP Phytosanitary Certificates must also be kept as part of the CF's records. Failure to comply with these requirements will result in a immediate suspension from the CNCP.

Note: The duplicate Certification Label may be affixed to a copy of the completed Export Label Document and can be included with other documentation which accompanies the CNCP shipment. The duplicate Certification Label may facilitate entry of CNCP shipments into the state of California.

2.4.2 Domestic Movement Documentation

Plant material that is certified by a CF, but is traded within Canada, must be accompanied by documentation that has an IFS on it in order to retain its certified status under the CNCP. The IFS informs facilities and brokers (an exporter or agent involved in the import, export and interprovincial movement of plants who ships plants produced by certified production facilities) purchasing the material it satisfies the criteria for certification under the CNCP and is eligible to be shipped under the CNCP to the U.S. Shipments with an IFS that are shipped to non-certified facilities lose their CNCP certified status and must be inspected by the CFIA and issued a traditional Canadian Phytosanitary Certificate prior to export to the U.S. The CF may use the IFS for all shipments containing CNCP certified material, even if the shipment also contains material that does not meet the requirements of the CNCP. In such cases, any plant material that does not meet the requirements for certification under the CNCP must be identified on the invoice by an asterisk (*). If none of the material in the shipment meets the requirements for certification, the IFS may not be used (Appendix 4).

The CF must maintain strict control of their IFS. The CNCP Manual must describe how the stamps are used, where they are stored and who is responsible for their use. Records must be kept of all shipments stamped. These records must include country of origin, destination, genera, species, variety/cultivar and volume. Failure to comply with these requirements will result in immediate suspension from the CNCP.

All plant material certified under the CNCP must comply with any pest-specific or commodity specific phytosanitary requirements of the CFIA and/or USDA, including the requirement for Movement Certificates.

CNCP Phytosanitary Certification Labels are not to be used for domestic shipments within Canada.

2.5 CITES

Import and export of certain plant species must comply with requirements under the Convention on International Trade in Endangered Species of World Fauna and Flora (CITES). CITES sets controls on the international trade and movement of animal and plant species that have been, or may be, threatened due to excessive commercial exploitation. Environment Canada is the lead agency responsible for implementing CITES on behalf of the Canadian federal government, and should be notified of any suspected non-compliances. For further information on CITES requirements, inquiries should be made to:

CITES
Canadian Wildlife Service, Environment Canada
351 Boulevard St-Joseph, 3rd Floor, Place Vincent Massey
Hull, Quebec J8Y 3Z5
Tel: 819-997-1840 / Fax: 819-953-6283

3.0 Specific Requirements for Certification, Registration and Audits

Please refer to Appendix 5 for specific information on the procedures to be used by the CFIA staff to evaluate CNCP applications, approve facilities under the CNCP, and conduct external audits.

3.1 Applying for Certification

Eligible applicants are nurseries and greenhouses, including those that are also wholesalers and brokers of plants. To become a CF, the facility must:

  • be located in Canada;
  • complete and sign a CNCP Application Form for Facilities (Appendix 6) indicating that the applicant is willing and able to comply with the terms and conditions of the CNCP;
  • designate qualified individuals to be the Certification Manager (CM) (a member of the certified facility management team who is responsible and accountable for the overall implementation of the Phytosanitary Management System (PSMS)) and/or Crop Protection Manager (CPM) (an individual employed by, or contracted to a CF, who is responsible and accountable for the implementation of the procedures and processes described in the Pest Management Plan) (Appendix 7);
  • develop a CNCP Manual that contains all the elements outlined in Section 5.0; and
  • forward the completed and signed application form and a copy of the CNCP Manual to the local Regional Program Officer (RPO) of the CFIA for approval.

In situations where an applicant has distinct, separate facilities, each facility will require a separate CNCP Manual and application form. A separate facility is one that is under different management and/or is under an autonomous management structure. The Area Horticulture Specialist will make the final determination as to a facility's status.

Applicants may request exemptions from particular sections of the CNCP policy directive provided that they demonstrate that those sections are not relevant to their business. The Area Horticulture Specialist will make the final determination as to whether any of the requirements of this directive do not apply to a particular facility.

Facilities that are already approved participants in the CNCP pilot program prior to the publication of this directive may submit a completed and signed CNCP Application Form for Facilities (Appendix 6) to their local RPO. The facility will be certified in the CNCP at their present status, as determined by the frequency of external audits at the time of application. The facility will be required to modify its CNCP Manual and meet all the requirements of this directive by the time of the next scheduled CFIA Systems Audit, or within 1 year.

3.2 Approval Process

3.2.1 Document Review

The RPO will review the CNCP Application Form for Facilities (Appendix 6) to ensure that the application is complete and signed. The RPO will also review the CNCP Manual to ensure that it contains all of the required elements outlined in Section 5.0 and that it is sufficient to meet the requirements of this directive. The RPO may require the facility to revise or rewrite their CNCP Manual prior to proceeding to the next step in the approval process. Once the RPO considers that the CNCP Manual satisfies the requirements of this directive the RPO will recommend the facility to the Area Horticulture Specialist for consideration. The Area Horticulture Specialist must approve the CNCP Manual before the facility undergoes the next stage of the approval process, the Facility Evaluation.

3.2.2 Facility Evaluation

Once the Area Horticulture Specialist approves the application and the CNCP Manual, he/she will request that a CFIA lead auditor establish a team to carry out a Facility Evaluation. A written Audit Report summarizing the findings of the Facility Evaluation will be prepared. The purpose of a Facility Evaluation is to determine whether a facility has the infrastructure and staff in place that would permit it to successfully implement the Phytosanitary Management System (PSMS) (a systems approach that is used to direct and control an organization with regard to consistently meeting all the requirements of the CNCP) outlined in its CNCP Manual and meet the requirements of the CNCP.

3.2.3 Registration

Once the Facility Evaluation has been completed and the RPO and Area Horticulture Specialist are satisfied that the facility has the capacity to effectively implement all of the procedures (a written description of the steps used to carry out an activity or process. A procedure also includes the purpose and scope of the activity and identifies who has the authority to perform the activity. Any record forms associated with the activity must be referenced, or attached to the procedure. Definitions may be included, if appropriate) described in their CNCP Manual, the facility can be considered a CF. Each production facility approved under the CNCP will be assigned a unique identification number by the CFIA at the time of registration. The identification number will be composed of three (3) letters and four (4) numbers. The first letter of the identification number is always an "A" and indicates that the shipment originates from a facility certified in the CNCP. The second two letters indicate the province where the CF is located, and the remaining digits are assigned by the Horticulture Section Assistant in a manner that ensures there is no duplication.

In addition, each facility certified under the CNCP will be listed in a central public registry on the CFIA website. This registry will be maintained by the Horticulture Section Assistant, CFIA, Ottawa. The Area Horticulture Specialist will provide the Horticulture Section Assistant with all updates to the registry. Separate facilities under autonomous management will each receive a unique identification number and will be certified and audited separately.

The CFIA public website will include the names and addresses of all CF's that are in compliance with the requirements of the CNCP. Should a facility withdraw, or be suspended from the program, the facility's name and address will be removed from the central registry and the facility will not be permitted to export, or domestically move material under the CNCP.

3.3 Ordering Labels and Stamps

The CF is responsible for completing the Order Form for CNCP Phytosanitary Certification Labels and Interfacility Stamps (Appendix 8) when new labels and /or stamps are required. The order form must be signed by the CM and the completed form must be provided to a CFIA inspector.

The Horticulture Section, CFIA, provides the specifications for the labels and stamps to the printing company and a RPO must authorize the printing of labels and stamps and indicate the quantity and serial numbers to be used. All Phytosanitary Certification Labels and IFS remain the property of CFIA, although the CF is responsible for paying all costs associated with obtaining the labels, stamps and Phytosanitary Certificates.

3.4 CFIA Audits

The CFIA will conduct regular systems and surveillance audits of all facilities that are approved to ship plant material under the CNCP and will prepare Audit Reports that summarize the audit findings. Appendix 5 describes the audit team and how audits are conducted. Audit checklists can be found in Addendums 4 and 5.

The overall objective of these audits by the CFIA is to ensure that the CF is compliant with the CNCP and that all nursery stock certified under the CNCP consistently meets the phytosanitary and eligibility requirements of the program. More specifically, the goals are:

  • to evaluate the compliance of the facility's CNCP Manual with the CNCP policy directive, the Canadian Plant Protection Act and Regulations, USDA import requirements for nursery stock and Canadian domestic movement requirements for nursery stock;
  • to evaluate whether the facility is implementing their Phytosanitary Management System (PSMS) as described in their CNCP Manual;
  • to facilitate continual improvement and updating of the facility's PSMS and CNCP Manual; and
  • to identify any deficiencies in the facility's PSMS.

3.4.1 Systems Audits

Systems audits are a systematic examination of the organizational structure, procedures, processes and resources used in implementing the CNCP within the CF. They occur on an annual basis. The objective of a systems audit is to determine whether the procedures and processes described in the CNCP Manual are adequate to meet the requirements of this directive, and whether the resources and infrastructure are in place to effectively implement the CNCP.

3.4.2 Surveillance Audits

A surveillance audit is a verification that the status of the facility's plant material, pest management program, records and administrative procedures conforms to the CNCP Manual. Surveillance audits evaluate whether the facility has the resources, infrastructure and staff in place to successfully implement the procedures outlined in its CNCP Manual; whether the procedures described in the CNCP Manual are implemented and documented; and whether all certified nursery stock meets the requirements of the CNCP. Surveillance audits should be carried out during periods of active plant growth.

3.5 Non-Conformance

Activities or products that are found to be in contravention of this policy directive are considered to be non-conformances. Non-conformances can be detected during CFIA audit inspections, internal audits conducted by the CF, and examinations of plant material. Corrective Action Requests (CARS) must be generated for each non-conformance that is detected in the CF (Appendix 9). CARS will generally require the CF to make changes to the PSMS and amendments to the CNCP Manual.

All CARS that are detected must also be classified as being either critical, major, or minor in nature. The number and type of non-conformances found determine the status of the facility and the subsequent auditing frequency. Guidelines describing the classification of non-conformances can be found in Appendix 10. However, the actual classification of non-conformances should be based on an evaluation of the associated risk and whether the integrity of the certification program has been compromised.

Each CAR must be accompanied by an action plan that includes a detailed description of the measures that the CF will implement to prevent recurrences of the non-conformances and a time frame for completing the corrective actions. Failure to follow the action plan may result in the suspension of the facility from the CNCP.

3.5.1 Critical Non-Conformances

Audit findings that indicate that the integrity of the CNCP at the CF is in jeopardy, are considered to be critical non-conformances. The facility is immediately suspended from the CNCP if any critical non-conformances are found (Section 3.6.3). The facility will remain suspended until corrective actions have been taken and approved of by the CFIA. If the non-conformance can be corrected immediately, a CAR must still be issued to record the incident. Appendix 10 provides examples of some critical non-conformances.

3.5.2 Major Non-Conformances

Major non-conformances are isolated incidents of non-conformance, which do not immediately impact on the integrity of the certified product. Appendix 10 provides examples of major non-conformances. Corrective actions must be carried out to the satisfaction of CFIA within a specified period of time. The corrective actions will generally require a change to the CNCP Manual and will include measures to prevent a reoccurrence.

If two or more major non-conformances are detected during an audit, or if the facility fails to carry out the required corrective actions within the specified time period, the facility will be immediately suspended from the CNCP (Section 3.6.3).

3.5.3 Minor Non-Conformances

Minor non-conformances are those that do not immediately or significantly affect the status of the product, but could lead to a major non-conformance if not addressed. Appendix 10 provides examples of minor non-conformances.

If three (3) minor non-conformances are detected in any one audit this is considered equivalent to one major non-conformance (e.g. Four (4) minor non-conformances are equal to one major non-conformance and one minor non-conformance, where as six (6) minor non-conformances are equal to two major non-conformances). Corrective actions must be undertaken by the facility before the next scheduled audit, or within a time limit specified by the CFIA.

3.5.4 Observations/Opportunities for Improvement

Observations are points or practices, which could be used to improve the facility's CNCP Manual and PSMS. An observation may be used to identify a situation of concern that does not warrant a CAR, or to highlight, suggest or reinforce particular practices.

3.6 Facility Status and Frequency of Audits

The frequency of CFIA audits is determined by the status of the CF, which is determined primarily by the results of previous CFIA audits. The timing and frequency of audits should be used to compliment the certification of plants under the CNCP, as per Section 2.3.

3.6.1 Probationary Status

A CF will normally remain at "Probationary Status" for two years after it is first approved for participation in the CNCP.

  • Probationary Status: CFIA will conduct a minimum of one systems audit and three surveillance audits annually.

Generally, a facility may remain at "probationary status" for a maximum of two consecutive years. If it has not achieved "Standard Status" by the end of this period, the facility will be Suspended (Section 3.6.3). Facilities that return to the CNCP after being suspended from the program may be placed at "Probationary Status".

Facilities whose business is highly seasonal may remain on "Probationary Status" indefinitely, at the discretion of the Area Horticulture Specialist. The CFIA must conduct a minimum on one (1) systems audit and one (1) surveillance audit each year. Additional surveillance audits must be carried out at three (3) month intervals during the CF's operating season.

3.6.2 Standard Status

"Standard status" is reserved for facilities that consistently meet the requirements of the CNCP. CFIA audit reports from facilities on "Probationary Status" will be evaluated once a year, or upon recommendation of the RPO. Those facilities that have consistently met the requirements of the CNCP during the probationary period may be changed to "Standard Status", at the discretion of the Area Horticulture Specialist.

  • Standard Status: CFIA will conduct a minimum of one systems audit and two surveillance audits annually.

Facilities that operate under low pest risk conditions may be moved to "Standard Status" following one year of acceptable compliance with the program, at the discretion of the Area Horticulture Specialist.

Facilities that are at "Standard Status", may be placed at "Probationary Status", as a result of making significant modifications to their CNCP Manual, or as an alternative to suspension. This decision can only be made after considering the number and type of non-conformances identified and how quickly the CAR can be addressed and is at the discretion of the Lead Auditor. Audits will then be conducted at a frequency determined by the RPO.

3.6.3 Suspended

The Lead Auditor is responsible for suspending a facility from the CNCP. Suspended facilities cannot ship material under the CNCP. The Lead Auditor must take possession of all the Phytosanitary Certification Labels, IFS and Phytosanitary Certificates and notify the Area Horticulture Specialist so that the facility is removed from the central public registry of approved facilities. Once the facility has completed corrective actions it may be re-instated in the CNCP at either Standard or Probationary Status, at the discretion of the Area Horticulture Specialist. In other situations, the facility may be required to re-apply for certification in the program after the PSMS and CNCP Manual have been reviewed and restructured to address all non-conformities (Section 3.1). If re-approved, the CFIA may then return the labels and stamps and re-list the facility on the public registry.

3.6.4 Potentially Contaminated Shipments

If there is a reason to suspect that plant material that has been certified by a CF is contaminated with a pest(s) of quarantine significance to either the U.S. or Canada, all shipments from that facility must immediately stop until the CFIA has carried out an inspection and/or audit and any required regulatory actions and modifications to the PSMS are completed. The CFIA will not issue Phytosanitary Certificates except after CFIA product inspections of individual lots prior to shipping are completed. The CF may be permitted to resume shipping particular plant material under the CNCP after careful review, and at the discretion of the RPO.

4.0 Specific Facility Requirements

4.1 Management Responsibilities

The facility management should be committed to ensuring that the procedures described in the CNCP Manual are implemented and effective for ensuring the integrity of certified plant material.

Facility management must assist CFIA audits and allow the audit team to examine records and documents, collect samples, inspect product and interview staff.

Facility management must appoint a Certification Manager and a Crop Protection Manager that meet the requirements listed in Appendix 7. The Certification Manager may also be the Crop Protection Manager provided this individual satisfies the requirements of both positions.

Facility management must designate qualified alternates capable of replacing the CM and CPM, or have a CFIA approved contingency plan in place in the absence of the CM or CPM. Failure to meet this requirement will result in suspension of the facility from the program.

The management of the CF must also have sufficient capable, trained staff employed to carry out the requirements of this directive and must identify all employees involved in implementing the facility's PSMS. A description of their duties must be documented in the CNCP Manual.

The CF must provide all employees involved in implementing the PSMS with a general understanding of management systems and specific knowledge related to those components for which each employee has responsibility. A training program must be documented in the CNCP Manual and enacted at the CF.

4.2 Certification Manager

The facility must designate a Certification Manager (CM) that is a member of the facility's management team. The CM must have a thorough understanding of the CNCP, and of the systems approach to mitigating pest risk. The CM must demonstrate the capability to carry out the requirements described in this directive and must be committed to ensuring compliance with the CNCP by implementing the facility's PSMS.

The CM must have the authority and responsibility for the development and implementation of a PSMS that meets the requirements of the CNCP. The CM is responsible for the development and implementation of a record management and retention system, and the maintenance of detailed records that document internal audits, non-conformances, corrective actions, audits and follow-up examinations and verify compliance with this directive. The CM is responsible for the implementation of corrective actions. While the CM is responsible for the overall PSMS, he/she may designate qualified personnel or contractors to assist with particular components, such as: record keeping, administration and internal audits. The CM is also responsible for immediately notifying the CFIA of any unusual pest finds, as well as, if certified plant material is found to be contaminated, or is suspected to be contaminated, with a regulated pest. The CM must also notify the CFIA if there is a change in ownership of the certified facility. The CM must ensure that the CPM and any other employees conducting pest management and eradication activities have expertise in performing those tasks and are adequately trained. The CM must complete an employee evaluation for each staff member involved in the implementation of the CNCP Manual and system on an annual basis.

The CM, or a designated alternate, must attend the opening and closing meetings of the CFIA Systems and Surveillance Audits at the facility that is certified, or in the process of being certified.

The CM must have successfully completed and received a passing grade, in a CFIA recognized Audit or Quality Management Systems course, or must have at least two years experience implementing the CNCP at a CF. Please refer to Appendix 7 for a list of qualifications required by Certification Managers.

4.3 Crop Protection Manager

The CPM must either be employed or contracted by the CF to provide technical pest management services as specified in a contractual agreement between the facility and the contractor; or be the owner or employee of a Canadian business that provides technical pest management services as specified in a contractual agreement between the CF and the business. The individual designated as the CPM must meet the requirements outlined in Appendix 7. The CPM must report to the CM and be responsible for developing and implementing a Pest Management Plan (PMP) (a written description of procedures or processes designed to control a pest population, either to eliminate it or to suppress it to a level that meets the phytosanitary standards) that meets the requirements of the CNCP (Section 5.2). The CPM must determine whether the plant material meets the phytosanitary requirements of this directive and the CF's own Pest Management Plan (PMP). The CPM is responsible for:

  • immediately notifying the CM if product is contaminated, or suspected to be contaminated, with a regulated pest; and
  • the expedient control or eradication of non-regulated pests discovered during examinations or audits; and
  • the effective treatment or disposal of products contaminated by non-regulated plant pests, in a manner that mitigates the risk of contamination of other products as specified in the CNCP Manual; and
  • the maintenance of detailed records that verify compliance with the PMP and phytosanitary requirements of this directive.

5.0 CNCP Manual

The CNCP Manual must describe the procedures implemented by the CF to ensure that plants certified under the CNCP meet all the requirements of this directive and requirements for entry into the U.S. and for domestic movement. The CNCP Manual has two key components: a description of the PSMS as described in Section 5.1; and a PMP as described in Section 5.2. A checklist outlining the specific elements that must be contained within the CNCP Manual can be found in Addendum 2.

A CF must continually update its CNCP Manual to describe any changes to the procedures and staff responsibilities which affect the program. The facility must inform the local CFIA contact in writing, by mail, facsimile, or electronic mail of any intended modification(s) to the CNCP Manual relevant to this directive. The CFIA must approve proposed changes to the CNCP Manual and/or the facility prior to implementation. The CFIA may require modifications to proposed changes to the CNCP Manual prior to implementation.

The CNCP Manual must be type written and must be clearly labelled with the name of the certified facility, the date, the version and the number of pages. It must be signed by the CM and it must have an amendment sheet providing space to document any additions, omissions or changes to the document and the date they are made.

5.1 Phytosanitary Management System

The CNCP Manual must describe the PSMS that is in place and used to direct and control the CF with regard to consistently meeting all the requirements of the CNCP. The PSMS must include procedures relating to sourcing plant material, maintaining product identity, shipping certified material, controlling non-conforming product, conducting internal audits, generating corrective action requests, improving and maintaining the PSMS, the CNCP Manual, and the administrative systems and maintaining detailed records that verify compliance with this directive.

5.1.1 Plant Material

The CNCP Manual must describe all types of sources for new or incoming plant material, such as: propagation, other certified facilities, DPCP certified facilities, non-certified nurseries, brokers, wholesalers, and contract growers. The country where each of these sources is located must also be noted. The CFIA must be notified of any change to the source of direct sales stock or propagative stock. The CNCP Manual must also describe the measures in place to ensure that documents which support the country of origin of the nursery stock from each of these sources is obtained and that sourced plant material is free of pests of concern and that the risk of introducing and transmitting plant pests is mitigated.

The CF must maintain records verifying that all plant material certified under the CNCP meets the requirements outlined in Section 2.2 and Section 2.3 of this directive. Records identifying the country of origin and supporting the eligibility of plant material must be maintained in order for plant material to be exported from Canada.

5.1.2 Product Identity

The PSMS must include procedures for maintaining product identity within the facility from receiving until shipping and for tracing product forward and backward from the CF.

5.1.3 Control of Non-Conforming Product

The CF must have procedures in place to ensure that non-conforming product does not contaminate or become mixed with other product. The PSMS must include the maintenance of detailed records that document non-conformances, corrective actions, audits and follow-up examinations; and verify compliance with this directive.

Facility staff must notify the CM immediately if any products that have been certified are found not to conform with the requirements of this directive. If product is found to be contaminated or suspected to be contaminated with a regulated pest, the CM or CPM must notify the CFIA immediately. All shipments from the CF must stop until the CFIA has carried out an inspection and/or audit and has determined that the pest risk has been mitigated, as per Section 3.6.4.

5.1.4 Internal Audits

The CM must perform, or designate and supervise parties to perform, one (1) internal system audit per year and four (4) surveillance audits per year. The surveillance audits must include at least one (1) during the active growing season and at least one (1) during the shipping season. Records from each audit must be maintained and a report must be prepared within two weeks of performing each audit detailing any non-conformances, corrective actions and opportunities for improvement. Audit reports must be made available to the external audit teams from the CFIA, which will review records from the internal audits as part of the audits by CFIA. The CFIA suggests that internal audits should be carried out prior to each CFIA audit and that audits be performed to compliment the certification of plants, as per Section 2.3. The persons performing internal audits must not audit their own work. Examples of audit checklists can be found in Addendums 4 and 5.

Note: Internal audits focus on the systems in place in a CF and are not the same as pest scouting or monitoring. Surveillance audits may include selective inspection of plant material for pests.

Internal Systems Audits verify:

  • the adequacy and effectiveness of the facility's processes in meeting the requirements outlined in this directive;
  • whether the required documentation is sufficient, current and readily available to staff;
  • whether the PSMS is operating in accordance with the specified requirements, including the performance of all staff identified in the CNCP Manual; and
  • the establishment of a corrective action plan to deal with each non-conformance identified.

Internal Surveillance Audits verify:

  • the effectiveness of the PMP in preventing the introduction or establishment of pests;
  • the competency of facility employees in identifying and controlling pests and carrying out duties and responsibilities as outlined in the CNCP Manual;
  • the record keeping aspects of the facility are compliant with the CNCP Manual and sufficient to keep track of the country of origin of plant material, labels, etc.; and
  • that actions are taken on outstanding non-conformances and CARS.

5.1.5 Corrective Action Requests Generated by the Certified Facility

Activities or products that are found to be in contravention of this policy directive are considered non-conforming. A CAR must be generated for each non-conformance that is detected by the CF (Appendix 9).

In addition, these non-conformances must be classified as being either critical, major, or minor in nature (Section 5.0). Guidelines describing the classification of non-conformances can be found in Appendix 10. CARS associated with a critical or a major non-conformance must be completed within a specified period of time. CARS must include detailed instructions to prevent recurrences of the non-conformances and will generally require that the CNCP Manual be amended.

Immediate notification of the CFIA regarding the presence, or suspected presence, of any critical non-conformance in the facility, or associated with product purchased or sold by the facility, is imperative. If the CFIA is not immediately notified the facility will be suspended from the program.

Observations may be used to identify situations of concern, which do not warrant a CAR, or to describe practices which are worth highlighting, suggesting or reinforcing. Observations should be reported and used by the CF to improve their CNCP Manual and PSMS.

5.1.6 Records and Documents

The CF must maintain records that verify that it is has implemented the PSMS as described in its CNCP Manual; that substantiate the country of origin of all certified plant material and that demonstrate that plant material certified under the CNCP meets the requirements of this directive. A checklist of records required by the CNCP is included in the CNCP Manual Checklist in Addendum 2.

CNCP records must be kept on the premises of the CF and must be made available to CFIA inspectors upon request. Records that pertain to product identity and trace back and trace forward of certified plant material (records described in Section 5.1.1 and 5.1.2) must be maintained for at least seven (7) years. Other records that are required by the CNCP must be maintained for a minimum of three (3) years.

Training records must be maintained for each employee involved in the delivery of the PSMS. Records are to include a training schedule, the type of training received, the date of training, whether training was completed satisfactorily and any additional training needs that are identified.

In addition, up-to-date copies of the following documents must be readily accessible for the use of all facility staff and contractors:

  1. Plant Protection Act and Regulations;
  2. USDA 7 CFR 319-37;
  3. CFIA and USDA regulated pest lists;
  4. copies of this policy directive;
  5. copies of the CF's CNCP Manual; and
  6. any relevant state and provincial requirements.

5.2 Pest Management Plan

The PMP is a written description of procedures or processes designed to eradicate, control or suppress pest populations to a level that meets the phytosanitary standard.

Each CF must implement a PMP that ensures consistent compliance with the phytosanitary standard. The PMP procedures must be documented and included in the CNCP Manual developed by the facility and approved by the CFIA. Required elements that must be contained in the PMP are described in this section of this policy directive.

5.2.1 Pest and Commodity Specific Requirements (Modules)

The CFIA may require the PMP to include additional requirements such as examination, and/or testing for plant material that has specific quarantine pest considerations. This higher risk plant material may include plants that are hosts to specific pests of concern, plants imported from outside continental North America, plants exported to states within the U.S. that have additional certification standards, or stock plants that are held for more than a growing season.

In cases where additional pest or commodity specific policy directives or post entry quarantine requirements apply to the CF, or to products produced by the CF, the CNCP Manual must include "Modules", or descriptions of how each of the specific phytosanitary requirements are being met. The PMP must outline any sampling, testing, treatments, or other measures in place to ensure that the product meets all of the phytosanitary requirements both general and specific. The CM or CPM must ensure that all pest and commodity specific requirements are met prior to shipping. The names and qualifications of any laboratories used for testing must be included in the PMP. Samples must not be sent to a foreign country for testing unless the material meets the requirements of the importing country. These procedures must also be described in the PMP. The PMP must be readily available for use by employees involved in implementing the CNCP.

5.2.2 Maps of the Certified Facility

Maps of the CF included in the PMP must be labelled to identify the receiving, production, handling and shipping areas, and any areas that are referred to in the pest management records. The flow of plant material through the facility must be described.

5.2.3 Incoming Plant Material

The PMP must describe the measures that are in place to ensure that all nursery stock entering the CF is free of regulated pests to Canada and the U.S.; practically free of non-regulated plant pests; and that the risk of introducing and transmitting plant pests such as gypsy moth, pine shoot beetle and Japanese beetle is mitigated.

New plant material must remain physically separated from other plant material and should not be integrated into the CF's production system until an a visual examination of the material is completed by the CPM, or appropriately trained and designated staff. Once the material has been inspected and is determined to be free of regulated plant pests and practically free of other plant pests it may be moved into the production or shipping areas of the certified facility. If pests are found, control measures must be taken immediately. Details of all examinations including a description of any pests found and corrective actions taken must be recorded.

5.2.4 Examination of Production Areas

All plant material in a CF including plants destined for domestic markets, and all production areas, must be examined by the CPM or by designated staff according to the methods, frequency and intensity specified in the PMP. Details of all examinations, including a description of any pests found and corrective actions taken must be recorded.

5.2.5 Examination of Shipping Areas and Export Shipments

The CPM or designated staff must examine the shipping areas when shipments are being prepared to prevent pest contamination and to ensure that the phytosanitary standards are met. Each shipment of plant material that is to be certified under the CNCP must be examined for pests at the time of shipping. Details of all examinations, including a description of any pests found and corrective actions taken must be recorded.

The CF must establish adequate handling, storage and delivery procedures and ensure that product that has been examined and verified free of pests is not contaminated by pests prior to its receipt by the consignee. Product that has been examined and verified free of pests must be kept separated from non-verified material.

5.2.6 Pest Detection

The facility must maintain a Pest Log which records the date, the person carrying out the examination, a description of the damage, symptoms, or pest finds, identifications, recommended treatments, evaluation of treatment efficacy and submissions to laboratories, etc. The CFIA must be notified immediately of any pest finds of significance. Examples of such situations are: atypical or uncommon pest damage or symptoms, a new pest detected in an area of production, or when a new regulated pest is suspected. In the event of an infestation by a regulated pest, the CFIA will work co-operatively with the CPM to ensure that effective controls are exercised by the facility to eradicate the pest and to minimize the effects to the producer. Failure to notify the CFIA when a new regulated pest is found by a CF is considered a critical non-conformance which will result in immediate suspension from the CNCP. As per the Plant Protection Act, all Canadian facilities are legally obligated to report any finds of regulated pests to the CFIA.

Note: Traceback from a regulated pest interception to a CF is also a critical non-conformance resulting in a suspension until a corrective action is made and the CNCP Manual is modified to address the CAR.

5.2.7 Pest Controls

Pest control strategies must be employed to ensure that the CF remains free of regulated pests and that plant material shipped by the CF is free of all regulated plant pests and practically free on non-regulated plant pests. The tolerance for non-quarantine pests in the CF depends on the phytosanitary risk they present to certified plant material and whether the integrity of the PSMS has been compromised. Pest control strategies must be documented in the PMP and may include cultural, physical, biological and/or chemical controls. Treatments and cultural practices must be applied in a manner that mitigates the risk of spreading pests and contaminating other products. Records must be kept verifying that a treatment was applied, when, by whom, for what reason and whether the treatment was effective.

5.2.8 Control of Non-Conforming Product

The PMP must describe how non-conforming infested product is identified and treated and what measures are in place to ensure that plant material that does not meet the phytosanitary requirements of this directive is not shipped under the CNCP. Culled plant material must be disposed of in a manner that minimizes the risk of infecting other plant material and the environment. The PMP must include procedures for sampling and testing plant material in order to detect pests of concern that are not easy to discover by visual inspection alone (e.g. Ralstonia) and for notifying the CPM, facility management and the CFIA if product is contaminated, or suspected to be contaminated, with a regulated pest.

5.2.9 Records

Records verifying that the PMP has been implemented, including details of all examinations, pest finds and corrective actions must be maintained for three (3) years. All records must be dated and signed by an individual designated to carry out the task. Addendum 2 contains a checklist of records that must be kept as part of the PMP.

6.0 Non-Compliance

A CF that is not able to maintain the required phytosanitary conditions, does not implement corrective actions in a timely manner, or is found violating any condition of the CNCP will be advised in writing of their suspension from the program (Section 3.6.3). Plant material must not be exported under a CNCP Phytosanitary Certificate, or shipped domestically under an IFS, from a facility that has failed to meet the program requirements as stipulated in this policy directive. The facility must return all Phytosanitary Certification Labels, IFS and Phytosanitary Certificates to the CFIA upon request.

Facilities that are suspended from the CNCP must rely on CFIA product inspection and traditional Canadian Phytosanitary Certificates for export certification until corrective measures are taken to bring the facility into compliance with the CNCP. The CFIA must then review the revised CNCP Manual and conduct a Facility Evaluation to verify program compliance. The suspended facility must re-apply for certification, if they wish to be re-approved for the CNCP.

7.0 Appendices and Addendums (Checklists)

Appendix 1 - List of Plants Excluded from the Canadian Nursery Certification Program for Export to the United States (U.S.)

The following plants are excluded from the CNCP for shipment to the U.S.:

A: Any plant imported into Canada in growing media from a country other than the U.S.

Plant material that is sourced from facilities that are approved under both the Canadian Growing Media Program (CGMP) and the USDA Growing Media Program is not excluded from certification under the CNCP. (Please contact your local CFIA office for more information).

B: Plants of the following genera/species

  • Adonidia spp.
  • Aeginetia sppx
  • Ageratina adenophora  x
  • Aiphanes spp.
  • Alectra sppx
  • Allagoptera arenaria
  • Alternanthera sessilis x
  • Areca sppxxx
  • Arenga sppxxx
  • Arikuryroba spp.
  • Asphodelus fistulosus x
  • Avena ludoviciana x
  • Avena sterilis x
  • Azolla pinnata xx
  • Bambuseae - All genera
  • Berberis spp.Footnote 2
  • Borassus sppxxx
  • Borreria alata x
  • Bromeliaceae - All genera Footnote 2
  • Carthamus oxyacantha x
  • Caryota sppxxx
  • Castanea spp.
  • Chaenomeles spp.Footnote 2 xxxx
  • Chrysalidocarpus sppxxx
  • Chrysopogon aciculatus x
  • Cocos sppxxx
  • Commelina benghalensis x
  • Corypha spp.
  • Crupina vulgaris x
  • Cuscuta sppx
  • Cydonia spp.
  • Dictyosperma sppxxx
  • Digitaria scalarum x
  • Digitaria velutina x
  • Drymaria arenarioides x
  • Eichhornia azurea xx
  • Elaeis spp. (Except seeds) xxx
  • Emex australis x
  • Emex spinosa x
  • Euphorbia prunifolia (heterophylla) x
  • Galega officinalis x
  • Gausia sppxxx
  • Gossypium spp.
  • Heracleum mantegazzianum x
  • Howea sppxxxx
  • Humulus spp.
  • Hydrilla verticillata xx
  • Hygrophila polysperma xx
  • Hyophrobe sppxxx
  • Imperata brasiliensis x
  • Imperata cylindrical x
  • Ipomoea aquaticaFootnote 2 xx
  • Ipomoea trilobaFootnote 2
  • Ischaemum rugosum x
  • Lagarosiphon major xx
  • Larix spp.Footnote 2
  • Latania sppxxx
  • Leptochloa chinensis
  • Leptochloa spp. (seeds only)
  • Limnophila sessiliflora xx
  • Livistona sppxxx
  • Lycium ferocissimum x
  • Mahoberberis spp.
  • Mahonia spp.
  • Malus spp.Footnote 2 xxxx
  • Mascarena sppxxx
  • Melaleuca quinquenervia xx
  • Melastoma malabathricum x
  • Mespilus germanicaFootnote 2
  • Mikania cordata x
  • Mikania micrantha x
  • Mimosa invisa x
  • Mimosa pigra x
  • Monochoria hastata xx
  • Monochoria vaginalis xx
  • Nannorrhops sppxxx
  • Nassella trichotoma x
  • Neodypsis sppxxx
  • Opuntia aurantiaca x
  • Orobanche sppx
  • Oryza longistaminata x
  • Oryza punctata x
  • Oryza rufipogon x
  • Ottelia alismoides xx
  • Paspalum scrobiculatum x
  • Pennisetum clandestinum x
  • Pennisetum macrourum x
  • Pennisetum pedicellatum x
  • Pennisteum polystachion x
  • Phoenix sppxxx
  • Pritchardia sppxxx
  • Prosopis sppx
  • Prunus sppxxxx
  • Pseudolarix spp.Footnote 2
  • Pyrus sppxxxx
  • Ravenea sppxxx
  • Rottboellia exaltata x
  • Rubus spp.Footnote 2 xxxx
  • Rutaceae - All genera (incl. Citrus spp., Dictamnus spp., Phelodendron spp.) xxxxx
  • Saccharum spontaneum x
  • Sagiittaria sagittifolia xx
  • Salsola vermiculata x
  • Salvinia auriculata xx
  • Salvinia biloba xx
  • Salvinia herzogii xx
  • Salvinia molesta xx
  • Setaria pallide-fusca x
  • Solanum torvumFootnote 2 x
  • Solanum viarumFootnote 2 x
  • Sparganium erectum xx
  • Stratoites aloides xx
  • Striga sppx
  • Theobroma spp.
  • Trachycarpus sppxxx
  • Tridax procumbens x
  • Urochloa panicoides x
  • Veitchia spp.
  • Vitis spp.Footnote 2 xxxx
  • x - noxious weed
  • xx - aquatic noxious weed
  • xxx - palm
  • xxxx- fruit trees
  • xxxxx - citrus

C: Plants whose origin is other than Canada and the U.S.:

Appendix 2

CNCP Phytosanitary Certification Label

The following image is an example of a Phytosanitary Certificate.

Click on image for larger view
Illustration of the Canadian Nursery Certification Program Phytosanitary Certification Label.

Note: The Phytosanitary Certification Label is a pre-printed sticker that is applied to a completed CNCP Export Label Document to form a CNCP Phytosanitary Certificate. Printing is authorized by the CFIA and labels are printed onto special paper that offers security from forgery and ease for identifying originals and true copies. The Phytosanitary Certification Label is pre-printed with the following information:

Country Name:
The name of the country of destination is the United States.

Certificate Number:
The Phytosanitary Certification Labels are sequentially numbered. The first seven (7) digits are the identification number of the certified facility. The remaining digits are the serial number for the particular label. The RPO will ensure that unique numbers are generated for each label.

Seal:
The official CFIA stamp is printed here.

Name and Address of Exporter:
The name and address of the certified facility is printed here.

Place of Issue:
Ottawa, Ontario, Canada.

Name of Authorized Officer:
The name and signature of the Director of Plant Health, CFIA is printed here.

Appendix 3

Canadian Nursery Certification Program (CFIA/ACIA 5378)

This information supplements the information found in the body of this policy directive and provides guidance for completing a CNCP Export Label Document.

The CNCP Export Label Document may only be completed by designated individuals at the certified facility. The form should be completed electronically. Manually prepared CNCP Label Documents shall be typed or printed clearly and scientific names must be either underlined or italicized.

The CNCP Phytosanitary Certification Label may only be applied to the completed CNCP Export Label Document after the product described by it has been examined for pests and verified to meet all of the requirements for certification under the CNCP which must be done within 72 hours of shipping the certified product. The shipment must be safeguarded prior to shipping to protect its phytosanitary integrity.

Date:
The date entered on the Export Label Document is the date on which the plant material is examined for shipping and must be within 72 hours of shipping. The date on the Phytosanitary Certificate indicates that, on that date, the nursery stock in the consignment were examined by a designated individual at the certified facility and considered to meet the phytosanitary import requirements of the United States.

Page Numbering:
The pages of the CNCP Export Label Document must be numbered and the total number of pages that make up the document must be indicated.

References:
The Reference Section may be used to record a Permit to Import number, when required. It may also include a maximum of two pieces of non-phytosanitary (trade) information that link the CNCP Phytosanitary Certificate to other documentation that accompanies the shipment. Information must be factual and could include: a letter of credit number, a bill of lading number or date, or another number that appears as an identifying feature on other documents.

Name and Address of Consignee:
The address of the consignee in the country of destination, the United States. Only one consignee may be entered per Phytosanitary Certificate.

Number and Description of Packages:
Sufficient details should be included to enable the (NPPO) of the importing country to identify the consignment and its component parts, and verify their size if necessary. Container numbers, railcar numbers if known can be included.

Place of Origin:
The place, or country of origin must be determined based on USDA 7 CFR 319.37. The province, state or region should be indicated, as well as the name of the country.

Distinguishing Marks:
When the product is not in bulk, any identifying words, numbers or a description of a specific mark on a package can be used as a distinguishing mark. Container numbers are not considered to be "distinguishing marks."

Declared Means of Conveyance:
One of the words, "sea, air, road, rail, mail, passenger" will be inserted. The name of the carrier may be included.

Declared Port of Entry:
This should be the first point of arrival in the country of the final destination, or if not known, the country name. Permits to Import or trade documents may indicate a specific port of entry.

Treatment:
Treatments are only entered on the Phytosanitary Certificate when required by the importing country. The following information should be included as applicable:

  • Date - Date application commenced
  • Treatment - Basic description of the process involved
  • Chemical - Active ingredient
  • Concentration - The concentration of the chemical
  • Duration and Temperature - The length of time and temperature during treatment

Additional Declaration:
The following additional declaration appears on the CNCP Export Label Document:

"This shipment of plants was produced in accordance with the Canadian Nursery Certification Program and is considered to conform with the phytosanitary import requirements of the United States."

No pest-specific or plant-specific additional declarations are required to appear on the CNCP Phytosanitary Certificate.

Name of Product and Quantity Declared:
The scientific name, common name, quantity of product and unit of measurement are entered here. If the list of plant material will not fit in the allotted space on the first page, then additional pages must be generated and the box on the first page should refer the reader to the following page(s). Unless there are particular species or variety requirements, the scientific name of any plant material will appear at the genus level. The common name of the product should be kept as short as possible while still identifying the product to the phytosanitary officials of the importing country. Quality, grade, trade names and colour information should not be entered.

Appendix 4: CNCP Interfacility Stamp

The following image is an example of a CNCP Interfacility Stamp.

Click on image for larger view
Illustration of the Canadian Nursery Certification Program Interfacility Stamp for Domestic shipments only. Description follows.

Description of the CNCP Interfacility Stamp

This image provides bilingual information such that it is issued by the Canadian Food Inspection Agency, it is for the Canadian Nursery Certification Program, it is an interfacility stamp for domestic shipments only, and it certifies that all plants in the consignment other than those marked with an asterisk meet the requirements of the Canadian Nursery Certification Program for importation into the U.S. At the top right corner there is a space for an identification number (A-XX-0000). The stamp has a watermark stating that it is a sample.

Appendix 5: CNCP Facility Approval and Audits by the CFIA

This appendix describes the procedures and criteria that the CFIA should use to review facility applications, evaluate CNCP Manuals and approve facilities under the CNCP. In addition, it outlines how audits must be conducted at facilities certified under the CNCP and defines the responsible parties.

The Area Horticultural Specialists are responsible for the delivery of the CNCP within all regions of the area. To ensure consistency, the Area Horticulture Specialist will ensure audit inspections are conducted in accordance with the specifications outlined in this appendix and will carry out area-wide audits of CFIA delivery of the CNCP. The process by which such audits are conducted should be complimentary to the requirements of this Directive.

I. Facility Approval Process

Addendum 1 contains a form that must be used to document and verify each step of the facility approval process.

A. Review of Application Forms

Eligible applicants are nurseries, greenhouses, plant wholesales and plant brokers located in Canada. In situations where a firm has distinct separate facilities, each facility will require a separate CNCP Manual and a separate application form. A separate facility is one that is under different management and/or is under an autonomous management structure. Contract growers should also be evaluated using these criteria and the Area Horticulture Specialist will make the final determination as to their status as a facility.

The RPO will review the CNCP Application Form for Facilities (Appendix 6) to ensure that the facility meets the pre-participation conditions described in Section 3.1 of the CNCP directive and that the application is complete and signed.

B. Review of the CNCP Manual

The RPO will also review the CNCP Manual to ensure that it contains all the required elements outlined in Section 5.0 and that it is sufficient to meet all other requirements of this directive. Addendum 2 contains a checklist that should be used as a tool for evaluating the CNCP Manual. The RPO may require the facility to revise or rewrite their CNCP Manual prior to proceeding to the next step in the approval process. Once the RPO considers that the CNCP Manual satisfies the requirements of this directive, the RPO will recommend that facility to the Area Horticulture Specialist for consideration, by completing the relevant portion of the CFIA Approval Form for Facilities Applying for the CNCP in Addendum 1. The Area Horticulture Specialist must also approve the CNCP Manual before the facility undergoes the next stage of the approval process, the facility evaluation.

C. Facility Evaluation

Once the Area Horticulture Specialist approves the application and the CNCP Manual, he/she will request the RPO establish an audit team to carry out a facility evaluation inspection. The purpose of the facility evaluation is to determine whether the facility has the infrastructure and staff in place to permit it to successfully implement the PSMS outlined in its CNCP Manual and meet the requirements of the CNCP. The Facility Evaluation must be carried out as described under CFIA Audits in Section II of this appendix and a copy of the Audit Report must be submitted to the Area Horticulture Specialist.

D. Registration

Once the Area Horticulture Specialist has reviewed the Audit Report from the facility evaluation and is satisfied that the facility has the capacity to effectively implement all the procedures described in their CNCP Manual and that their CNCP Manual meets the requirement of this directive, the facility can be considered a CF.

Each separate facility that is certified under CNCP must be assigned a unique identification number that is assigned by the Horticulture Section Assistant. The identification number will be composed of three (3) letters and four (4) numbers. The first letter of the identification number is always an "A" for facilities approved in the CNCP. The next two letters indicate the province, and the remaining digits must be are assigned in a manner that ensures there is no duplication. For example, A-ON-0021, indicates the facility is a participant in the CNCP, is located in Ontario, and that it is the 21st facility to be certified in that province.

All CF will be listed on a central public registry on the CFIA website. The CFIA public website will include the name and address of all CF that are in compliance with the requirements of the CNCP. Should a facility withdraw, or be suspended from the program, the facility's name and address will be removed from the central registry and the facility will not be permitted to export, import or domestically move material under the CNCP. This registry will be maintained by the Horticulture Section Assistant, CFIA, Ottawa. The Area Horticulture Specialist will provide the Horticulture Section Assistant with all updates to the registry.

E. Ordering Labels and Stamps

The CF is responsible for completing the order form in Appendix 8 when new CNCP Phytosanitary Certification Labels and/or IFS are required. The order form must be signed by the CM and the completed form must be provided to a CFIA inspector.

The Horticulture Section, CFIA provides the specifications for the labels and stamps to the printing company and CFIA inspectors authorize the printing of labels and stamps and indicate the quantity and serial numbers to be used. All Phytosanitary Certification Labels, and IFS remain the property of the CFIA, although the CF is responsible for paying all costs associated with obtaining the labels, stamps and Phytosanitary Certificates.

II. CFIA External Audits

The RPO, or another program officer designated to fill the role of the RPO, as described in this directive, is responsible for the implementation and delivery of CNCP external audits within the geographical area assigned by the Regional Director. The RPO acts as the Lead Auditor and is responsible for selecting the other audit team members. The composition of the audit team should be changed for each audit. The audit team should make every effort possible to respect the rules, regulations and customs of the CF.

For both systems audits and surveillance audits, the audit team must consist of a Lead Auditor and one or two Audit Team Members, depending on the size of the facility. The minimum requirements for each of these roles are described below:

The Lead Auditor for Systems Audits and Facility Evaluations must:

  • be a CFIA RPO;
  • have successfully completed a CFIA approved Lead Auditor training course; and
  • have participated as an auditor in a minimum of five (5) Plant Health audits.

The Lead Auditor for Surveillance Audits must:

  • be a CFIA RPO, or a CFIA inspector under the supervision of an RPO;
  • have successfully completed the CFIA Understanding Audit or an approved Lead Auditor training course; and
  • have participated as an auditor in a minimum of five (5) Plant Health audits.

An Audit Team Member must:

  • be a CFIA inspector;
  • have successfully completed the CFIA Understanding Audit course, or a CFIA approved Lead Auditor Course; and
  • have a minimum of one year experience in the delivery of Plant Health programs.
A. Audit Preparation

The lead auditor must identify members of the audit team. The lead auditor must also contact the CF to confirm the audit appointment and the CFIA's expectations for the audit, including: what facility staff needs to be available for the audit, office space for the audit, and the purpose and scope of the audit. The lead auditor must also ensure that he/she has the most recent copy of the CF's CNCP Manual, previous audit reports, reference materials, copies of relevant directives and any other necessary documentation. Additional information on CFIA audits of the CNCP can be found in Section 3.4 of this directive.

B. Document Review: CNCP Manual

The audit inspection team must conduct a thorough review of the facility's CNCP Manual, and previous audit reports. The document review must be completed prior to the actual audit.

C. Planning the Audit

Prior to the audit, the lead auditor must develop a specific audit plan outlining areas to focus on. A checklist for an audit plan is found in Addendum 3. The focus of the audit will be determined by taking into account previous audits, and facility performance between audits. In addition, the audit team must meet prior to the audit to discuss the purpose and scope of the audit, review the audit checklists (Addendum 4 or Addendum 5), review previous audit reports and assign tasks.

D. Opening Meeting

The lead auditor must arrange an opening meeting of the audit inspection team with the key senior management, the CM, CPM and any other relevant staff of the participating facility, to discuss among other items, audit criteria, availability of staff, method of performing the audit, method of handling any non-conformance found during the audit, time and place of the closing meeting, and the distribution of the audit report. A checklist for this meeting is found in Addendum 6.

E. Auditing

Audit team members must record their observations and findings during the audit. Audit checklists, such as those in Addendum 4 and Addendum 5 of this directive should be used to ensure that the audit is carried out systematically and objectively. Audit records must include the following information:

  • the date;
  • the names of all the members of the audit team;
  • the name and address of the facility;
  • areas of the facility audited;
  • observations and findings of the audit;
  • fee charged;
  • estimated dates of future audits;
  • other comments; and
  • references to any CARS.
Systems Audits and Facility Evaluations

The systems audit must be conducted by means of: staff interviews, observation of activities, examination of documents and records, examination of the CNCP Manual and confirmation of the facility's ability to carry out the PSMS as described in the CNCP Manual. The audit team must obtain sufficient objective evidence to:

  • assess the adequacy and effectiveness of the PSMS in meeting the requirements specified in D-04-01 Canadian Nursery Certification Program, USDA import requirements for nursery stock and CFIA domestic movement requirements;
  • determine whether required supporting documentation is sufficient, current and readily available to staff;
  • determine that work is being performed in accordance with the procedures specified in the CNCP Manual and that appropriate records are being kept;
  • evaluate if the procedures in place are adequate to ensure that any pest problems are quickly identified and appropriate actions are taken; and
  • verify the country of origin of plant material shipped under the CNCP.
Surveillance Audits

Surveillance audits must be conducted by means of: staff interviews, observations of activities, examination of documents and records, checking monitoring equipment and sampling techniques, making selective spot inspections of plant material and other activities as deemed necessary by the audit team. The audit team must obtain sufficient objective evidence to:

  • verify that internal audits are performed, CARS are generated and corrective actions completed;
  • verify that plant material within the facility has remained free of all regulated pests and practically free of all other pests;
  • verify that plant material shipped under the CNCP meets the eligibility, sourcing and country of origin requirements of D-04-01;
  • confirm that the use of Phytosanitary Certification Labels and IFS conforms to D-04-01; and
  • confirm that adequate records and documents are maintained.
F. CFIA Team Meeting/Audit Review

The CFIA audit team must meet prior to the closing meeting to review the audit findings and evaluate any non-conformances that are detected (Appendix 10). All findings of non-conformance must be recorded onto CNCP Corrective Action Request (CAR) forms (Appendix 9). The audit team must assess the current status of the facility and determine if the facility status will change as a result of the findings of the audit and when the next audit will be conducted. Please refer to Section 3.6 of the directive for information on facility status and frequency of audits.

G. The Closing Meeting

The CM and the CPM must meet with the audit team after the CFIA team meeting to review the audit findings, discuss any non-conformances, and decide upon an action plan for correction. A checklist for this meeting is found in Addendum 7. The lead auditor must inform the CM and senior management of any changes in the facility status at the closing meeting. In addition, any critical non-conformances must be reported, resulting in immediate suspension of the facility from the CNCP (Section 3.6.3).

If the facility is to be suspended from the CNCP as a result of findings during the audit, the lead auditor must verbally inform the CM of the suspension at the closing meeting and must collect all Phytosanitary Certification Labels, IFS and Phytosanitary Certificates.

The lead auditor must notify the Area Horticulture Specialist in writing of the suspension. The Area Horticulture Specialist must review and sign the audit report that describes the non-conformances that have lead to the suspension and forward this document to the Regional Director and Program Manager. The lead auditor must then notify the facility in writing of their suspension.

H. Audit Report

The lead auditor is generally responsible for producing an Audit Report within ten (10) working days of the audit. If the facility is moved to probationary status, or is suspended from the CNCP, a signed report must be produced within five (5) working days of the audit. Addendum 8 contains a checklist that is designed to facilitate the production of an Audit Report. The lead auditor must distribute a final copy of the Audit Report along with a cover letter to the CM at the CF; all members of the audit team, the Area Horticultural Specialist, the Regional Program Officer; and the Horticulture Section general email account (horticulture@inspection.gc.ca).

Appendix 6: CNCP Application Form for Facilities

CNCP Application Form for Facilities (CFIA/ACIA 5407)

Appendix 7: Requirements for Certification Managers and Crop Protection Managers

Certification Manager (CM) - the CM is a member of the management team of the CF and is vested with the authority and responsibility to develop and implement a PSMS that meets the requirements of the CNCP. The CM may designate qualified personnel or contractors to assist in developing and implementing different components of the PSMS such as pest management (CPM), record keeping and administration. The CM may only designate those tasks for which there is a trained, competent and qualified individual available. As a minimum, the CM must:

  • Be a member of the management team of the facility that is certified or in the process of becoming certified under the CNCP.
  • Have a thorough understanding of management systems and audits and must have successfully completed an introductory Quality Management Systems course (e.g. ISO 9001), or a CFIA recognized Lead Auditor Course, or have at least two years of experience implementing the CNCP at a CF.
  • Have a thorough understanding of this directive and demonstrate the capability to ensure the requirements described in this directive are met. Understand the situations which require the CFIA to be notified.
  • Understand Canadian plant health export regulations and relevant U.S. state and federal import requirements.
  • Be able to attest to the country of origin of certified plant material.
  • Be committed to ensuring compliance with this directive by managing the PSMS at the CF, including the development and implementation of a record management and retention system.
  • Ensure that employees that are designated to carry out particular activities have the qualifications and expertise to perform the required tasks. Training/mentoring is provided to ensure staff have the knowledge required to complete designated tasks.
  • Have the ability to evaluate employee performance as related to all components of the PSMS operating in the facility. This includes an annual evaluation of the CPM and any other staff involved in the program. This evaluation should include performance in conducting pest control or eradication activities, knowledge of the CNCP, knowledge of the CNCP Manual, familiarity with regulated pest identification, etc. Please note that the responsibility for evaluations of staff other than the CPM may be designated to a qualified individual, however the CM must review the CPM's performance.

Crop Protection Manager (CPM) - The CF may designate a CPM to carry out various tasks related to the implementation of the PMP at the certified facility. Which tasks can be designated to the CPM, rather than being performed by the CM, depends on the qualifications of that individual. The CPM is an individual employed by or contracted to the CF with the following qualifications:

  • Possess the ability to effectively plan and conduct routine field examinations of the production areas to verify that all plant material is free of regulated pests and practically free of other injurious pests.
  • Possess the ability to develop and maintain a system of documentation to verify pest freedom treatments conducted within the facility, pest monitoring and product examinations (inspections).
  • Have the capacity to plan and implement a verification system to ensure shipments of plants destined for export to the U.S. are completely free of regulated pests, practically free of all other pest organisms and meet any other import requirements of the U.S..
  • Must have a thorough understanding of the CNCP and demonstrate the capability to carry out the pest management requirements described in this directive.
  • Have an understanding of Canadian plant health export regulations and U.S. state and federal import requirements.
  • Be committed to ensuring compliance with the CNCP by managing the pest management and record retention programs in the facility.
  • Must ensure that employees conducting pest control or eradication activities have expertise in performing those tasks.
  • Have experience in pest management and in ensuring pest freedom in plant material.
  • Have knowledge of common pest organisms (identification, biology and host relationships), including local regulated pests and appropriate control procedures.
  • Be capable of identifying plant material within the facility and have an understanding of the host plant pest relationship for a broad range of horticulture and forestry pests.
  • Have experience liaising with local, provincial, federal and/or university/college horticulture and pest management specialists.
  • Know how to prepare and submit samples of insect and disease pests to the CFIA, provincial laboratories, and laboratories recognized by the Science Advisory and Management Division (SAMD) to receive and analyse samples.
  • Possess the ability to establish procedures ensuring that infested plant material is isolated, held and treated and that preventative actions are undertaken to minimize against future infestations.
  • Be capable of developing and utilizing procedures which verify whether plant material sourced by the facility are free of pests, and if infested with pests, are effectively treated to remove the infestation.
  • Must undergo periodic training each year relating to pest management or other aspects of the CNCP.
  • Possess the ability to train staff that are responsible for conducting routine pest monitoring, pest control or eradication activities within the facility.
  • Be committed to promptly notify the CFIA of all new, unusual or unidentified pest finds in the facility.

Appendix 8: Order Form for CNCP Phytosanitary Certification Labels and Interfacility Stamps

Order Form for CNCP Phytosanitary Certification Labels and Interfacility Stamps (CFIA/ACIA 5450)

Appendix 9: CNCP Corrective Action Request/Observation Report

The following image is an example of a CNCP Corrective Action Request/Observation Report.

Click on image for larger view
Image of a Canadian Nursery Certification Program Corrective Action Request/Observation Report. Details follow.

Description of the CNCP Corrective Action Request/Observation Report

This image is a form made up of many different boxes. The top section of the form is to record: the Corrective Action Report/observation number; the facility name; the facility number; the CM; the auditor's name; and whether it records a critical, major, or minor non-conformance or an observation. Below, there is a section in which to record a description of what was observed, the signature of the auditor and the date it was issued. The next section is to record the corrective action, the name of the facility representative, and the date it is to be completed by. At the bottom of the form, there are sections to record whether the corrective action was completed and is acceptable, and providing space for additional comments, the signature of the auditor and the date.

Critical (Cr): When an external audit reveals that the integrity of the program is in jeopardy the non-conformance will be rated as Critical (Cr). The designated facility will be suspended from the program until remedial action has been taken to the satisfaction of the CFIA.

Major (Ma): When an external audit reveals an isolated incident having no direct impact on the integrity of the product the non-conformance will be rated as Major (Ma). The designated facility must take remedial action within the time frame specified by an inspector which shall not exceed a maximum of 2 weeks. Should the facility fail to complete the corrective action in the specified time frame, participation of the facility will be suspended. If more than two Ma non-conformances are detected during the inspection, the classification is changed to a Cr.

Minor (Mi): When an external audit reveals an incident which does non immediately and/or significantly affect the integrity of the program or product, the non-conformance will be rated as Minor (Mi). The designated facility must take remedial action within the time frame agreed to by the inspector. If more than three Mi non-conformances are detected during the inspection, the classification is changed to a Ma.

Appendix 10: Classification of CNCP Non-Conformances

Critical Non-Conformance

A critical non-conformance is any single finding that reveals that the integrity of the CNCP is jeopardized. Phytosanitary Certificates cannot be issued because this non-conformance violates the integrity of the certificate. The facility must be immediately suspended from the CNCP. The following list provides examples of critical non-conformances, but they are not limited to those listed.

  • Detection of pests of quarantine significance to Canada or the U.S. on plant material that has been shipped by the certified facility.
  • Failure to properly identify an organism as a regulated pest in the nursery, or seek competent assistance with the identification.
  • Failure to undertake required laboratory tests or analyses.
  • Failure to carry out control measures at the facility for pests of quarantine significance to Canada or the U.S..
  • Failure to notify the CFIA of the presence of regulated pests at the facility, or on product in transit to or from the facility.
  • Failure to observe U.S., state plant or provincial plant health requirements.
  • Export of ineligible plant taxa, or plants not meeting USDA requirements.
  • Failure to list the scientific name of all the plants on CNCP certification documents.
  • Failure of facility staff to keep consistent, accurate pest management records, as specified in the CNCP Manual.
  • Failure to keep consistent accurate records of country of origin.
  • Failure to undertake ordered corrective action(s).
  • Failure to follow treatment actions ordered by the CM or the CFIA.
  • Failure to perform internal audits as required.
  • Failure of the CF to provide sufficient evidence that plant materials obtained from external sources meets the requirements for incoming plant material as described in their CNCP Manual.
  • Failure to maintain the security of the CNCP Phytosanitary Certification Labels and IFS.
  • Failure to use the CNCP Phytosanitary Certification Labels, and IFS as described in this directive.
  • CF operating without a CM or CPM or not meeting the required qualifications, as set out in Appendix 7.
  • Failure to have a Pest Management Plan in place that satisfies the requirements of the CNCP.
  • CF modifies their CNCP Manual and/or implements changes to their PSMS without prior approval from the CFIA.
  • CF fails to examine incoming plant material prior to moving it into shipping/production areas.
  • Failure of CF to have systems in place to fulfill the requirements of the CNCP and to verify compliance.
  • Failure to have sufficient, adequately trained staff in place to meet the requirements of the CNCP.
  • Two (2) or more major non-conformances are detected at a CF during a single audit.

Major Non-Conformance

A major non-conformance is any single isolated incident of non-conformance that has no direct impact on the integrity of the product provided that corrective actions are completed within the time frame specified by a CFIA lead auditor. Should the facility fail to complete the corrective action in the specified time frame, the non-conformance becomes a critical non-conformance and the facility is suspended from the CNCP. If more than two major non-conformances are detected during a single audit, the non-conformance is considered a critical non-conformance and the facility will be suspended from the CNCP. The following list provides examples of major non-conformances.

  • Failure to notify the CFIA when the CM changes.
  • Failure to have a designated backup for CM and CPM.
  • Failure to maintain complete reports of final examination of plant material.
  • Failure to keep nursery stock that has been examined for export separate from other plant material that has not been examined.
  • Failure to notify the CFIA of a change in sources of direct sales stock or propagative stock.
  • Failure to undertake corrective actions ordered by the CM in a timely manner.
  • Failure to provide staff and contractors access to documents as specified in Section 5.1.6.
  • Failure to prevent build up of non-regulated plant pest populations.
  • Failure to observe good facility management practices with respect to sanitation.
  • Failure to maintain records as specified in CNCP Manual.
  • Failure to use the IFS as outlined in this directive.
  • Failure to properly identify non-certified nursery stock with an asterisk (*) on invoices stamped with an IFS.
  • Use of CNCP Phytosanitary Certification Labels for domestic shipments to other CF.
  • Failure of the CM and CPM to obtain additional relevant training each year.
  • Failure to maintain training records for staff involved in implementing the CNCP.
  • Failure to maintain an up-to-date list of all employees involved in implementing the CNCP.
  • Failure to examine plant material prior to export.
  • Failure to consistently sign and date reports or records.
  • Three (3) or more minor non-conformances are detected at a CF during a single audit.

Minor Non-Conformance

Minor non-conformances are those that do not immediately or significantly affect the status of the product or the integrity of the Phytosanitary Certificate, but could lead to a major non-conformance if not addressed. The designated facility must take remedial action before the next audit, or within the time frame provided by the CFIA lead auditor. If more than three minor non-conformances are detected during the inspection, the classification of the non-conformance is changed to a major. (e.g. Five minor non-conformances are equal to one major non-conformance and one minor non-conformance, whereas eight minor non-conformances are equal to two major non-conformances and results in suspension of the facility). The following list provides examples of minor non-conformances.

  • Failure to notify the CFIA of changes to plant product lists.
  • Failure to adequately separate stock infested with non-regulated plant pests from other stock.
  • Failure to effectively dispose of products contaminated by non-regulated plant pests.
  • Failure to detect low level populations of non-regulated pests.
  • Failure to inform the CFIA of any changes to business practices as outlined in the CNCP Manual.

Appendix 11: Nurseries Participating in the Canadian Nursery Certification Program (CNCP)

Nurseries Participating in the Canadian Nursery Certification Program (CNCP)

Addendum 1: CFIA Facility Approval Form

Name of Facility: space

Certification Manager: space

Telephone No.: space

Fax No.: space

E-mail Address: space

The following image is an example of a CFIA Facility Approval Form.

Click on image for larger view
Image of a Canadian Food Inspection Agency Facility Approval Form

Description of a CFIA Facility Approval Form

The form is to be completed by the CFIA. The form has six sections. The first section is to record that the application form and the CNCP Manual have been received. The second section is to be completed by the Regional Program Office and is to record whether the facility meets the eligibility requirements of the CNCP and if the CNCP Manual meets the requirements of D-04-01; beside each question are boxes to indicate "yes" or "no". There are also spaces for the date, the signature of the officer, and the region. The third section is to be completed by the Area Horticulture Specialist and is to record whether the facility meets the eligibility requirements of the CNCP, if the CNCP Manual meets the requirements of D-04-01, and if they recommend that a Facility Evaluation be carried out; beside each question are boxes to indicate "yes" or "no".There are also spaces for the date and the signature of the specialist. The fourth box is to be completed by the Regional Program Officer and is to record the date of the Facility Evaluation, whether the audit report is attached and whether the facility is recommended for certification in the CNCP; beside each question are boxes to indicate "yes" or "no". There are also spaces for the date, the signature of the officer, and the region. The fifth section is to be completed by the Area Horticulture Specialist and is to record whether the facility is approved for participation in the Canadian Nursery Certification Program, with boxes to indicate "yes" or "no". There are also spaces for the date and the signature of the specialist. The last section is to record the CNCP Certified Facility Identification Number.

Addendum 2: CNCP Manual Checklist

The CNCP Manual must describe the procedures implemented by the facility to ensure compliance with all the requirements of the CNCP. The CNCP Manual consists of a general overview of the CNCP and the facility and has two key components: a description of the Phytosanitary Management System (PSMS) and a description of the Pest Management Plan (PMP). Please refer to Section 5.0 of this directive for additional information. The following checklist is designed to be a guide for both facilities developing a CNCP Manual and CFIA staff that are evaluating the CNCP Manual.

I. General Requirements

  • The CNCP Manual must be type written, dated and signed, and include a version number.
  • The title page must include the name and address of the facility, the date, and the name of the person(s) that prepared the document.
  • An amendment sheet must be included that provides space to document any additions, omissions or changes to the document, the date they are made and who authorized the changes.
  • A general description of the facility's business including:
    • company history;
    • business objectives or mission statement;
    • acreage under production (container, field, greenhouse, etc.);
    • brief description of production, shipping and receiving locations;
    • proportion of business that is propagation / production / brokering;
    • target markets (local, inter-provincial, U.S., etc.).

    Note: This information could be provided in the form of a company brochure.

  • A statement of commitment to the CNCP by management of the facility.
  • List of facility management names and titles.
  • Name, title, qualifications, specific duties and responsibilities of all staff involved in implementing the CNCP and their alternates. (Please note that job titles can be used in the body of the document with an appended list of names in order to facilitate updating the manual).
    • Certification Manager
    • Crop Protection Manager
    • Grower
    • Pesticide Applicator
    • Shipping Manager
    • Dispatcher
    • Other
    • Training plans for the CM, the CPM and other staff involved in implementing the CNCP.

II. Phytosanitary Management System

A. Plant Material
  • Description of all sources for new plant material such as: propagation, other certified facilities and non-certified nurseries/ brokers/ wholesalers/ contract growers.
  • A copy of the instructions provided to DPCP source facility (if applicable).
  • A copy of agreements between the CFIA and any contract growers describing the roles and responsibilities of each and outlining any specific requirements of the CF.
  • Identification of the country of origin for each source of new plant material.
  • Description of measures in place to ensure that documentation is maintained to support the country of origin of nursery stock from each source.
  • Description of a record keeping system that verifies that all plant material certified under the CNCP meets the phytosanitary requirements outlined in Section 2.1 of this directive.
  • Description of a record-keeping system that verifies that all plant material certified under the CNCP meets the eligible plant taxa requirements outlined in Section 2.2 of this directive.
  • Description of a record-keeping system that verifies that all plant material shipped under the CNCP meets the certification requirements outlined in Section 2.3 of this directive.
  • Description of measures in place to ensure that sourced plant material is free of pests of concern and that the risk of introducing and transmitting plant pests is mitigated.
B. Product Identity
  • Description of procedures for maintaining product identity within the facility from receiving until shipping.
  • Description of procedures for tracing product forward and backward from the CF.
  • Description of measures in place to maintain strict control over the use of the IFS and the Phytosanitary Certification Labels.
  • Specific Work Instructions for processing customer orders that result in the issuance of a CNCP Phytosanitary Certification Label, or the use of the IFS.
  • Description of who has care and control of the IFS and Phytosanitary Certification Labels and how each is used and tracked.
  • Description of record keeping practices for serial numbers of all Phytosanitary Certification Labels in stock, as well as those that are used for shipments.
  • Description of procedures used to ensure that copies of all CNCP Phytosanitary Certificates are kept.
  • Description of record keeping practices used to record all shipments stamped with the IFS, including country of origin, destination, genera, species, variety/cultivar and volume of plants certified under the CNCP using the IFS.
  • Description of procedures used to ensure that ineligible material is marked with an asterisk " * " on invoices.
C. Control of Non-Conforming Product
  • Description of the procedures in place to ensure that non-conforming product is not certified under the CNCP and does not contaminate other products.
  • Description of the procedures in place to ensure that facility staff immediately notifies the CM of any products found not to conform to the requirements of this directive.
  • Specific Work Instructions for handling and /or disposing of plant material that is contaminated with pests.
  • Description of the procedures in place to ensure that the CFIA is notified immediately of any product that is contaminated, or suspected to be contaminated, with a regulated pest.
  • Description of the procedures used to maintain detailed records of all non-conformances, corrective actions, audits and follow-up examinations to verify compliance with this directive.
D. Internal Audits
  • Description of the procedures in place to ensure that one internal system audit and four internal surveillance audits are conducted per year and that an audit report is prepared within two weeks of performing each audit.
  • Description of how internal audits will be conducted and by whom.
  • Copies of the formats internal audit reports and checklists.
  • Copies of Corrective Action Requests and Observation Reports generated by the facility.
E. Corrective Action Requests
  • Description of the procedures in place to ensure that Corrective Action Requests are generated for each non-conformance that is detected by the CF.
  • Description of the procedures in place to ensure that non-conformances are classified as being either critical, major, or minor in nature.
  • Description of the procedures in place to ensure that corrective actions are completed in a timely fashion.
  • Description of the procedures in place to prevent recurrences of non-conformances, including amendments to the CNCP Manual.
  • Description of the procedures used to ensure immediate notification of the CFIA regarding the presence, or suspected presence, of any critical non-conformance in the facility or on product purchased or sold by the facility.
  • Description of how observations will be reported and used to improve the CNCP Manual or PSMS.
F. Records and Documents
  • Develop forms that can be used to describe and verify the implementation of the PSMS.
  • Describe procedures for ensuring that records that pertain to product identity and trace back / trace forward of certified plant material are maintained and retrievable for seven (7) years. Other records that are required by the CNCP must be maintained for a minimum to three (3) years.
  • Develop a system for maintaining records that are sufficient to track the country of origin of all plant material, the content and destination of all shipments and accounts for all CNCP Phytosanitary Certification Labels and all shipments stamped by an IFS.
  • Describe the procedures for maintaining the following documents, reports and records:
    • Internal Audit Reports and records including the non-conformances identified and the corrective, or preventative actions taken.
    • Copies of all CFIA Audit Reports.
    • Lists of all suppliers of plant material indicating country of origin.
    • Records that substantiate the country of origin of all certified plant material.
    • Domestic-origin plant material: Records that document the source of all nursery stock purchased within Canada and that substantiate the certified status of the plant material.
    • Importation Documentation: Copies of invoices indicating the sources, type, quantity and dates of importation; evidence of CFIA Import Service Center (ISC) release (if not provided, please contact your local CFIA office).
    • Export invoices, order forms for Phytosanitary Certification Labels, requests for phytosanitary certification and copies of the Phytosanitary Certificates and Phytosanitary Certification Labels issued. The records must list all nursery stock exported under the CNCP.
    • Copies of all CNCP Phytosanitary Certificates and invoices stamped with the IFS and records of all plant material shipped under the CNCP to other nurseries or brokers in Canada.
  • A system for maintaining training records.
  • Procedures to ensure that the most up-to-date versions of the following reference documents are readily available to individuals involved in implementing the CNCP:
    • Plant Protection Act and Regulations;
    • USDA 7 CFR 319-37;
    • CFIA and USDA regulated pest lists;
    • Copies of this policy directive;
    • Copies of the CF's CNCP Manual; and
    • Specific phytosanitary requirements of states and provinces (if relevant).

III. Pest Management Plan

A. Pest-specific and Commodity-specific Requirements
  • List of plants shipped by the facility that have specific export requirements and a description of those requirements.
  • A copy of any the post entry quarantine (PEQ) modules (if applicable).
  • List of regulated plant pests and a description of any additional requirements that the facility must address.
  • Copy of the any pest or commodity specific modules (if applicable).
  • Description of how the CF will ensure that all pest and commodity specific requirements are met prior to shipping.
    • Description of how the requirements of any additional pest or commodity specific directives that apply to the CF, or products produced by the CF are being met.
    • Description of additional plant material examination, and/or testing for plant material that has specific quarantine pest considerations.
    • Outline any treatments, cultural practices or other measures in place to ensure that the product meets all the phytosanitary requirements to certify the product.
    • A list of the names and qualifications of any laboratories used for testing.
    • A description of any applicable foreign import requirements, and how they will be met, for shipping samples to laboratories outside of Canada.
  • Specific Work Instructions to describe Best Management Practices at the nursery.
B. Maps of Certified Facility
  • Maps of the CF.
  • Documents indicating the flow of plant material through the facility.
  • Maps labelled to identify the receiving, production, handling and shipping areas, and any areas that are referred to in the pest management records.
C. Incoming Plant Material
  • Description of the measures in place at the CF to ensure that all nursery stock entering is free of regulated pests to Canada and the U.S. and is practically free of non-regulated plant pests; and that the risk of introducing and transmitting plant pests is mitigated.
  • Description of procedures to ensure that new plant material remains physically separated from other plant material at the CF until an examination of the material is completed and the material is found free of plant pests.
  • Description of procedures to be followed if non-regulated or regulated pests are found.
  • Description of the records to be kept, including: the date, person carrying out the examination, any pests, damage and/or symptoms found and any corrective actions taken.
  • Specific Work Instructions for inspecting incoming plant material.
D. Examination of Production Areas
  • Description of the methods, frequency and intensity used to examine all plant material in a CF.
  • Description of the records to be kept, including: the date, person carrying out the examination, any pests, damage or symptoms found, pest levels, where they are found (type of plants affected, location in facility), treatments required, and any corrective actions taken.
E. Examination of Shipping Areas and Export Shipments
  • Description of the methods used to examine plants in the shipping areas where shipments are being prepared to prevent pest contamination and to ensure that the phytosanitary standard is being met.
  • Specific Work Instructions describing the methods used to examine plant material at the time of shipping.
  • Description of the procedures in place to ensure that product that has been inspected and verified free of pests has been kept separate from non-verified materials.
  • Description of the handling, storage and delivery procedures in place that ensure that product that has been examined and verified free of pests is not contaminated by pests prior to its receipt by the consignee.
  • Description of the records to be kept, including: the date, person carrying out the examination, any pests, damage or symptoms found, where they are found (type of plants affected, location in facility) and any corrective actions taken.
F. Pest Detection
  • Description of procedures to be followed if any non-regulated or regulated pests are found including the procedures for ensuring that the CM and the CFIA are notified immediately of any pest finds of significance.
  • Description of the records to be kept, including: a Pest Log for recording pest finds, damage and symptoms, identifications and submissions to laboratories, etc. The Pest Log must include the date the pest was detected, who detected it and where (what plants and where in the facility), identification, who made the identification, notes on damage and/or symptoms, pest levels, whether control measures are required, and an evaluation of the efficacy of any control measures applied, including date and signature.
G. Pest Controls
  • Description of all pest control strategies used to maintain freedom from pests and practical freedom from other injurious pests.
  • Description of the records to be kept, including: a Treatment Log which records any treatments applied, including a description of the treatment, date of application, name of applicator, location, reason for treatment, evaluation of treatment efficacy, etc.
H. Control of Non-Conforming Product
  • List of the criteria for determining whether plant material meets the requirements of this directive.
  • Description of procedures that will ensure expedient control, or eradication of non-regulated pests discovered during examinations or audits.
  • Description of procedures that will ensure effective treatment or disposal of products that are contaminated by regulated or non-regulated plant pests.
I. Records
  • Description of the procedures for maintaining written records that document all import, export and facility examinations and that indicate the type and quantity of material examined; the type and quantity of material intended for export; the date of examination; the name and signature of the person conducting the examination; any pests, damage or symptoms detected; the methods used to eradicate/control pests; methods used to evaluate the efficacy of any treatments; and the methods used to control any non-conforming product.
  • Description of the data collected from pest control and surveillance activities, or samples of forms used to record data.

Addendum 3: CNCP Audit Planning Checklist

This checklist is designed to help auditors prepare for the audit of CF's participating in the CNCP.

General considerations for:

  • Meeting rooms; work space, phone, fax
  • Shifts: start and end times
  • Special access requirements (e.g. restricted access)
  • Biosecurity issues (e.g. disinfect shoes, first facility of the day)
  • Dress code and safety requirements (e.g. appropriate foot wear, pesticide re-entry times)
  • Special events (e.g. company events, etc. in order to avoid peak times)
  • Photocopier/computer
  • Travel: to and between sites
  • Weather conditions
  • Obtain a copy of the CF's current CNCP Manual, including any recent amendments.
  • Obtain a copy of the most recent internal audit report.
  • The audit scope and objectives:
    • What area or department is to be audited?
    • Systems or Surveillance Audit?
    • What is audit expected to verify or discover?
    • What information will be required?
    • What will/will not be included in the audit?
  • The depth of the audit: Will audit include a detailed review of every element or specific processes?
  • Identify members of the Audit Team.
    • How many people are needed to conduct the audit?
    • What special skills or experience is required (Appendix 5)?
    • General considerations for:
      • Scope of Audit;
      • Size of CF;
      • Location of CF;
      • Results of previous audits;
      • Effectiveness of previous corrective actions;
      • Effectiveness of internal audits.
  • Date(s) for the audit.
    • How many days are needed based on the scope and the objective of the audit?
  • The schedule of meetings with management, including CF and CPM.  Set appointments
  • Confidentiality requirements
    • Who will have access to the audit results?
    • Considerations for "confidentiality" for employees of the CF.
  • Audit report and distribution and expected date of issue.
    • Who will receive copies of the final audit report?
    • When will the audit report be issued?
  • Send a letter to confirm the audit date and time.
  • Select questions from the audit checklists (Addendum 4 and 5) and prepare a checklist for each member of the audit team. Each member of the audit team should use their checklist as a guide for the audit and as a place to record all audit findings, responses, comments, and observations.
  • Facility staff.
    • Develop an interview list by identifying individuals that have significant direct responsibilities in the implementation of the CNCP.
    • Ensure critical staff are available.
    • Develop a list of backups to interview, in case the first choices are not available.
    • How long will these interviews take?
    • Where will these interviews occur?
    • Develop a list of questions for each staff member that are specific to the facility.
  • Take CFIA inspector files to cross-reference against files at the CF. This could include recent files related to plants imported by the CF, plants entering the facility from domestic sources, and plants exported by the CF (e.g. inspectors reports, CFIA/ACIA 1337, Phytosanitary Certificates, ISC release documents, Movement Certificates, etc.)

Addendum 4: Checklist for CNCP systems Audits and Facility Evaluations

The following checklist is for use during CNCP Systems Audits and Facility Evaluations. This list should be used as a starting point for investigations.

x= Satisfactory   xx= Not satisfactory   N/A= Not Applicable

Facility Name: space Date : space Auditor: space

Section/Heading Description CNCP
Manual
Process Number
x
xx
N/A
CAR/
OBS #
Observations
1.3 Regulated Pests The facility has a suitable system in place to ensure that staff involved in implementing the CNCP are aware of all the current phytosanitary requirements (U.S./Canada and state/province) that are relevant to their facility and business.
2.1 Phytosanitary Requirements The facility has a suitable system in place to ensure that all nursery stock certified under the CNCP is free from all regulated pests to Canada and the U.S.; is practically free from non-regulated plant pests, and complies with any pest specific phytosanitary requirements of Canada and/or the U.S.
2.2 Eligible Plant Taxa The facility has suitable systems in place to ensure all plant taxa certified under the CNCP are eligible for the program as per Appendix 1. (i.e. The facility has implemented systems to ensure that plant taxa excluded from the program are not shipped under the CNCP).
2.3 Certifying Plant Material under the CNCP The facility has systems in place to ensure that only eligible nursery stock that complies with the requirements described in this section is certified under the CNCP.
2.3 Certifying Plant Material under the CNCP The facility has systems in place to ensure that nursery stock that cannot be certified under the CNCP, is inspected by CFIA and exported under a traditional CFIA Phytosanitary Certificate.
2.3 Certifying Plant Material under the CNCP Procedures for certifying nursery stock under the CNCP are documented in the CNCP Manual, and individually evaluated and approved by the Area Horticulture Specialist.
2.4 Certification Documents The facility has systems in place to ensure that all shipments certified under the CNCP are accompanied by the appropriate, complete documentation.
2.4 Certification Documents The facility has a record management system in place to ensure origin and trade documents are kept for seven (7) years.
2.4 Certification Documents The facility has systems in place to ensure that CNCP Phytosanitary Certification Labels and the IFS are used appropriately for shipments that are exported and those that are shipped domestically.
2.4.1 Export Documentation The facility has systems in place to ensure that CNCP Phytosanitary Certification Labels are used and accounted for as described.
2.4.2 Domestic Movement Documentation The facility has systems in place to ensure that Interfacility Stamps are used, controlled and accounted for as described.
2.4.2 Domestic Movement Documentation The facility has systems in place to ensure that all invoices stamped with an IFS that include plant material that cannot be certified under the CNCP, clearly identify the non-certified material on the invoice with an asterisk (*) symbol.
2.5 CITES The facility has taken steps to ensure that all plant species traded internationally comply with the requirements of the Convention on International Trade in Endangered Species (CITES).
3.5 CFIA Generated Corrective Action Requests The facility has a system in place to address any non-conformances in the time period specified by the CFIA.
3.5.4 Observations/ Opportunities for Improvement The facility has a system in place to continually improve their PSMS and CNCP Manual.
4 Specific Facility Requirements The facility has a system in place to ensure that there are sufficient capable staff in place to successfully fulfill the requirements of the CNCP.
4.1 Management Responsibilities Facility management is committed to ensuring the procedures described in the CNCP Manual are implemented and effective.
4.1 Management Responsibilities The management of the facility has appointed a qualified Certification Manager and Crop Protection Manager meeting the requirements outlined in Appendix 7 of the CNCP.
4.1 Management Responsibilities The facility has sufficient capable, trained staff employed to implement the CNCP.
4.2 Certification Manager (CM) The CM has the authority and responsibility for the development, implementation and maintenance of the Phytosanitary Management System (PSMS) at the facility.
4.2 Certification Manager (CM) The CM has developed and implemented a record management and retention system that is effective and easy to use.
4.2 Certification Manager (CM) The facility has designated a qualified alternate capable of replacing the CM, or has a CFIA approved contingency plan in place.
4.3 Crop Protection Manager The CPM has developed and implemented an effective Pest Management Plan (PMP).
4.3 Crop Protection Manager The facility has designated a qualified alternate capable of replacing the CPM, or has a CFIA approved contingency plan in place.
5 CNCP Manual for Certified Facilities The facility has developed a CNCP Manual that meets the requirements of D-04-01. The procedures described in the CNCP Manual are implemented and the CF has systems in place to verify compliance with it.
5 CNCP Manual for Certified Facilities The facility has systems in place to verify its compliance with the procedures described in its CNCP Manual and regularly reviews and updates its CNCP Manual.
5.1 Phytosanitary Management System (PSMS) The facility has a PSMS in place that is used to direct and control the facility with regard to consistently meeting all the requirements of the CNCP.
5.1 Phytosanitary Management System (PSMS) The PSMS includes procedures relating to sourcing plant material, maintaining product identity, shipping certified material, controlling non-conforming product, conducting internal audits, generating CARS, improving and maintaining the PSMS and the CNCP Manual, administrative systems and detailed records that verify compliance with the CNCP directive.
5.1.1 Plant Material The facility has a system in place to document the country of origin of Nursery Stock and to maintain records verifying that plant materials certified under the CNCP meet the requirements outlined in Section 2.2 and 2.3 of D-04-01.
5.1.2 Product Identity The facility has suitable systems in place to maintain product identity within the facility from receiving to shipping.
5.1.2 Product Identity The facility has suitable systems in place for tracing product forward and backward from the CF.
5.1.2 Product Identity The facility has suitable systems in place to control and document the use of Phytosanitary Certification Labels and Interfacility Stamps.
5.1.3 Control of Non-conforming Product The facility has a suitable system in place to document non-conformances, corrective actions, audits and follow-ups.
5.1.3 Control of Non-conforming Product The facility has a system in place to ensure that the CM and CFIA are notified of pest finds and non-conforming product, as required by the directive.
5.1.4 Internal Audits The facility has an audit plan in place to ensure that internal systems and surveillance audits are performed as required.
5.1.5 Corrective Action Requests Generated by the CF The facility has a system in place to ensure that CARS are generated for each non-conformance detected and to verify that CARS are remedied in a timely fashion. The facility also has a system in place to ensure that the CFIA is immediately notified of critical non-conformances.
5.1.6 Records and Documents The facility has a record-keeping system in place that ensures appropriate records are kept and maintained as specified in the directive.
5.1.6 Records and Documents The facility has a system in place to ensure that facility staff and contractors have ready access to all documents and reference materials required by the CNCP.
5.2 Pest Management Plan (PMP) The facility has developed and implemented a Pest Management Plan that meets the requirements of D-04-01.
5.2 Pest Management Plan (PMP) The facility has a suitable system in place to implement and verify the implementation of the Pest Management Plan.
5.2.1 Plant Pest and Commodity Specific Requirements The facility has a suitable system in place to ensure that its CM, CPM, etc. are aware of the current phytosanitary requirements for all commodities it certifies under the CNCP and has a system to verify that these requirements are met.
5.2.1 Plant Pest and Commodity Specific Requirements The facility's CNCP Manual includes descriptions of how any additional pest-specific or commodity-specific requirements are being met.
5.2.2 Map of Certified Facility The facility has a system in place to verify that plant material flows through the facility as described, and to ensure that the map is updated as necessary.
5.2.3 Incoming plant Material The facility has a suitable system in place to ensure that incoming plant material is kept segregated until it has been examined by designated staff at the facility.
5.2.4 Examination of Production Areas The facility has a suitable system in place to ensure that production areas are examined as outlined in the CNCP Manual.
5.2.5 Examination of Shipping Areas and Export Shipments The facility has established adequate handling, storage and delivery procedures.
5.2.5 Examination of Shipping Areas and Export Shipments The facility has systems in place to ensure that product that has been examined and found free of pests is kept separate from non-verified material.
5.2.6 Pest Detection The facility has a suitable system in place to ensure that all pest finds are entered into a Pest Log and that the CFIA is notified immediately of any pest finds of significance.
5.2.7 Pest Controls The facility has a suitable system in place to ensure that Pest Control measures are applied to maintain freedom from regulated pests and practical freedom from other injurious pests and to ensure that these strategies are documented.
5.2.8 Control of Non-Conforming Product The facility has systems in place to identify non-conforming products and to mitigate the risk of contamination of other products. The facility must have systems to ensure that non-conforming product is not shipped and that CFIA is notified, as per D-04-01.
5.2.9 Records The facility has systems in place to maintain records that verify the implementation of the PMP, including details of all examinations, pest finds and corrective actions for three (3) years.
Additional Items

Addendum 5: Checklist for CNCP Surveillance Audits

The following list is intended for use during CNCP Surveillance Audits. This list is meant as a starting point for further investigations

x= Satisfactory   xx= Not satisfactory   N/A= Not Applicable

Facility Name: space Date: space Auditor: space

Section/Heading Description CNCP
Manual
Process Number
x
xx
N/A
CAR/
OBS #
Observations
1.3 Regulated Pests Staff involved in implementing the CNCP at the facility have ready access to all the current phytosanitary requirements that are relevant to their facility and business.
2 Specific Requirements All plant material certified by the facility under the CNCP meets all the specific requirements described in this section.
2 Specific Requirements The CF can provide evidence of country of origin of plant material to verify that eligibility requirements are met.
2.1 Phytosanitary Requirements All plant material to be shipped under the CNCP is: free from all regulated pests to Canada and the U.S.; practically free from non-regulated pests and; complies with any pests specific or commodity specific phytosanitary requirements of the CFIA and/or the USDA.
2.2 Eligible Plant Taxa Staff involved in implementing the CNCP know which plant taxa are ineligible for certification under the CNCP.
2.2 Eligible Plant Taxa Records verifying that only eligible materials are shipped under the CNCP are readily available.
2.3 Certifying Plant Material under the CNCP All eligible plant material of Canadian origin certified under the CNCP meets the conditions specified in this section of D-04-01.
2.3 Certifying Plant Material under the CNCP All plant material of U.S. origin certified under the CNCP meets the conditions specified in this section of D-04-01.
2.3 Certifying Plant Material under the CNCP All plant material from countries other than Canada or the U.S. certified under the CNCP meets the conditions specified in this section of D-04-01.
2.3 Certifying Plant Material under the CNCP Plant material that does not meet the requirements of the CNCP, but does meet U.S. import requirements is exported under a traditional CFIA Phytosanitary Certificate based on CFIA inspection.
2.3 Certifying Plant Material under the CNCP Records are readily available to verify that nursery stock that is certified under the CNCP complies with the CFIA approved procedures that are described in the CNCP Manual.
2.4 Certification Documents Records are maintained to account for all labels and stamps. Only authorized staff members have access to the labels and stamps.
2.4 Certification Documents Certification documents that accompany CNCP shipments include the scientific names of all plants included in the consignment.
2.4.1 Export Documentation CNCP Phytosanitary Certification Labels are not used for domestic shipments.
2.4.1 Export Documentation Complete and accurate paperwork is prepared for all shipments that are exported under the CNCP.
2.4.1 Export Documentation Copies of all CNCP Phytosanitary Certificates are kept as part of the CF records.
2.4.2 Domestic Movement Documentation Domestic shipment documentation is stamped with the appropriate stamp. The Interfacility Stamp is only used for export ready material, and all material that cannot be certified under the CNCP is clearly identified with asterisks (*) symbols on the invoices.
4.1 Management Responsibilities The management of the CF has appointed a qualified Certification Manager and Crop Protection Manager meeting the requirements outlined in Appendix 7 of the CNCP.
4.1 Management Responsibilities A qualified alternate has been designated for each position, or a contingency plan has been approved by the CFIA in the event of their absence.
4.2 Certification Manager (CM) The CM ensures that the PSMS is implemented effectively and in accordance with the CNCP Manual.
4.2 Certification Manager (CM) The CM ensures that appropriate documentation and records are kept to verify compliance of the PSMS with the CNCP Manual.
4.2 Certification Manager (CM) The CM ensures that the persons designated to carry out particular components of the PSMS are qualified to do so.
4.3 Crop Protection Manager (CPM) The CPM has effectively implemented the Pest Management Plan described in the CNCP.
4.3 Crop Protection Manager (CPM) The CPM has demonstrated responsibility for pest monitoring, pest control, disposal of contaminated plant material and maintenance of detailed records related to the PMP.
5 CNCP Manual for Certified Facilities The CNCP Manual accurately describes the procedures implemented by the facility. It has been typed, clearly labelled and signed by the CM. An amendment sheet has been used to track all changes to the CNCP Manual.
5 CNCP Manual for Certified Facilities The CFIA has been contacted regarding any intended modifications to the CNCP Manual. The changes have not been implemented until approved by the CFIA.
5.1 Phytosanitary Management System (PSMS) The CNCP Manual describes the PSMS that is in place and used to direct and control the CF.
5.1.1 Plant Material All sources for new or incoming plant material are described in the CNCP Manual. The CFIA has been notified of any changes to the sources of plant material.
5.1.1 Plant Material Documentation verifying the country of origin of all plant material certified under the CNCP is maintained for seven (7) years.
5.1.1 Plant Material The facility takes precautions when sourcing plant material to verify its origin, to ensure that it is free of pests of concern, and to mitigate the risk of introducing and transmitting plant pests.
5.1.1 Plant Material The facility has records to verify the eligibility of the material certified under the CNCP. These records are maintained for seven (7) years.
5.1.2 Product Identity Product identity is maintained by the CF from receiving to shipping.
5.1.2 Product Identity All CNCP Phytosanitary Certification Labels can be accounted for. Copies of all CNCP Phytosanitary Certificates are kept.
5.1.2 Product Identity Records are kept of all invoices that are stamped with an IFS.
5.1.3 Control of Non- Conforming Product Non-conforming product has not been certified under the CNCP and has been prevented from contaminating other product.
5.1.3 Control of Non- Conforming Product All non-conformances are documented including CARS, and follow up actions.
5.1.3 Control of Non- Conforming Product The facility has immediately notified the CFIA of product that is contaminated, or suspected to be contaminated by regulated pests.
5.1.4 Internal Audits At least one system audit and four surveillance audits are conducted each year. At least one of the surveillance audits is conducted during the growing season, and one during the shipping season.
5.1.4 Internal Audits Auditors do not audit their own work.
5.1.4 Internal Audits Detailed reports are prepared within 2 weeks of each internal audit.
5.1.5 CF Generated Corrective Action Requests (CARS) A CAR is generated for each non-conformance as per D-04-01. Non-conformances are correctly classified as critical, major or minor.
5.1.5 CF Generated Corrective Action Requests (CARS) Each CAR includes detailed instructions to prevent recurrences. The CNCP Manual is amended as necessary and after consultation with the CFIA.
5.1.5 CF Generated Corrective Action Requests (CARS) The CM immediately notifies the CFIA of any critical non-conformances, or suspected critical non-conformances.
5.1.6 Records and Documents Up-to- date copies of the following documents are readily available to persons designated responsibilities under the CNCP:
i) Plant Protection Act and Regulations;
ii) USDA 7 CFR 319-37;
iii) CFIA and USDA regulated pest lists;
iv) Copies of this policy directive; and
v) Copies of the CF's CNCP Manual
5.1.6 Records and Documents Records pertaining to product identity, trace back and forward for certified plant material are maintained for seven (7) years.
5.2 Pest Management Plan (PMP) A PMP has been developed and outlined in the CNCP Manual.
5.2.1 Plant Pest and Commodity Specific Requirements All treatments, cultural practices, testing and other measures that are required for specific commodities are implemented as outlined in the PMP.
5.2.1 Map of the Certified Facility The PMP includes a map of the facility indicating the flow of plant material from receiving to shipping. The map is accurate and is updated as required.
5.2.3 Incoming Plant Material Measures outlined in the CNCP Manual to ensure that all nursery stock entering the facility is free of pests of concern are effectively implemented.
5.2.3 Incoming Plant Material New plant material is physically separated from other plant material and is not integrated into the production system until it has been examined.
5.2.3 Incoming Plant Material The facility has records verifying that incoming plant material is examined by designated persons.
5.2.3 Incoming Plant Material Corrective actions are taken when necessary and are recorded.
5.2.4 Examination of Production Areas All plant material and all production areas are examined by the CPM or by designated persons according to the methods, frequency and intensity specified in the PMP.
5.2.4 Examination of Production Areas All examinations are documented.
5.2.4 Examination of Production Areas Corrective actions are taken when required, and records are kept.
5.2.5 Examination of Shipping Areas and Certified Shipments Shipping areas are inspected by the CPM or by designated persons during the preparation of shipments, as specified in the PMP.
5.2.5 Examination of Shipping Areas and Certified Shipments Each shipment of certified plant material is examined for pests at the time of shipping.
5.2.5 Examination of Shipping Areas and Certified Shipments All examinations of shipping areas and shipments is documented.
5.2.5 Examination of Shipping Areas and Certified Shipments Product that is inspected by the CF is kept separate from non-inspected material, and steps are taken to ensure that inspected material is not contaminated by pests prior to receipt by the consignee.
5.2.5 Examination of Shipping Areas and Certified Shipments Corrective actions are taken when required and recorded.
5.2.6 Pest Detection A Pest Log is used to record pest finds, identifications and laboratory submissions.
5.2.6 Pest Detection The CFIA is notified immediately of any pest finds of significance.
5.2.7 Pest Controls Pest control strategies are implemented according to the PMP. Culled plants that are treated or disposed of in a manner that mitigates the risk of contamination of other plants or the environment.
5.2.9 Records Records pertaining to all PMP practices are maintained for three (3) years.
Additional Items

Addendum 6: CNCP Opening Meeting Checklist

Date: space

Facility Name: space

Address or Location: space

Purpose: space

Scope: space

This checklist is designed as a guideline to assist CFIA auditors in preparing for and chairing an opening meeting.

Item Activity Complete
1 Introduction of audit team and facility staff.
2 Completion of attendance list, confirm taking of minutes (if needed).
3 Review any relevant changes to policies, programs, pest distributions, U.S. import requirements, other items of interest.
4 Confirm purpose and scope of audit.
5 Explain audit process.
6 Explain non-conformances and CARS.
7 Explain how results will be documented.
8 Explain reporting process and follow up process.
9 Confirm any confidential requirements.
10 Ask if anyone has any questions or issues to discuss.
11 Discuss any special safety requirements and biosecurity issues.
12 Confirm audit program/plan.
13 Confirm office facilities, lunch arrangements, etc.
14 Confirm availability of guides and interviewees.
15 Agree on a tentative time for closing meeting.
16 Arrange for a familiarization tour (if needed).

Addendum 7: CNCP Closing Meeting Checklist

Date: space

Facility Name: space

Address or location: space

Purpose: space

Scope: space

* This checklist is designed as a guideline to assist CFIA auditors in preparing for and chairing a closing meeting.

Item Activity Complete
1 Ensure attendance list is completed.
2 Re-confirm purpose and scope of audit.
3 Give summary of audit, include positive aspects.
4 Issue any critical non-conformances and explain the next steps.
5 Explain any minor or major non-conformances (the written CARS can be submitted with the Audit Report).
6 Explain non-conformances and CARS (this can be done verbally at the closing meeting except for critical non-conformances).
7 Agree to a response date for corrective actions.
8 Discuss any observations or other concerns.
9 Announce intended issue date for the Audit Report.
10 State the facility status that will be recommended to the Horticulture Section of the CFIA (may need to discuss with Area Horticulture Specialist).
11 Discuss date for next audit.
12 Thank facility staff for assistance and cooperation.

Note: Any critical non-conformances must be issued at the closing meeting. Any other non-conformances can be issued with the audit report.

Addendum 8: CNCP Audit Report Checklist

This list is designed to facilitate the creation of an Audit Report following an audit of the CNCP.

Describe the scope of the audit.

State of objectives of the audit.

Include a distribution list for the Audit Report.

Provide specific details, such as:

  • the dates and location of the audit,
  • the names of the audit team members,
  • the language of the audit,
  • the names of personnel at the CF responsible for CNCP,
  • the areas of the CF audited.

List all reference documents used for the audit.

Provide a summary of the audit and what was included in the audit.

Describe the audit findings and reference any CARS Observation Reports (Appendix 9).

Evaluate the auditee's compliance with the documentation requirements.

Evaluate the efficacy of the PSMS in meeting the requirements of the D-04-01

  • Is there evidence that management supports the implementation and maintenance of the CNCP at the facility?
  • Are resources allocated and are staff supported when they work towards implementing and improving the PSMS?
  • Is an infrastructure in place to support the CNCP (documents, written procedures, reference materials, clear lines for decision making)?
  • Is the PSMS effective?
  • Is there an effective process for incorporating improvements into the PSMS?

Comments, observations and/or recommendations for improvement.

Summary of audit findings.

Facility status.

A proposed date for the next audit and any other follow-up activities.

Addendum 9: CFIA Approved Industry Administered Certification Programs

  • The Canadian Nursery Certification Institute (CNCI), Domestic Phytosanitary Certification Program (DPCP) Standard, Version 1.2.1.
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