Checklist for Dpcp External Audits

Appendix 7c

CHECKLIST FOR DPCP EXTERNAL AUDITS

The following checklist is for use during SEASONAL EXTERNAL AUDITS and/or INTERNAL AUDITS

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

Audit Details
Facility Name: / Auditor(s):
Facility Address: / Facility representative:
DPCP Number: / Fees Charged:
Date of Audit/Review:
DPCP
Section / DPCP
HEADING / DESCRIPTION / FACILITY’S
DPCP MANUAL
REFERENCE # / S / N/I / U / N/A
1.0 / Introductory Section / Does the facility’s current business still relate closely to the risk model presented in their DPCP Manual? The Manual contains an analysis of the various risk factors that apply to the facility and its line of business. There should be evidence that the complexity of the systems employed at the facility appropriately reflect the risk associated with the type of plant sources, the type of production and the type of markets the facility is involved with. / Auditor to insert numbers from Facility’s Manual.
Comments
2.0 / Management Responsibilities / Through conversation with various staff during the course of the audit, determine if management supports them in the delivery of their tasks within DPCP.
Comments
2.1.1
2.1.2
2.1.3 / Select one of the three positions and determine if the corresponding records are accurate by discussing with the employee.
Comments
2.2 / Nursery staff training / References back to this section elsewhere in this checklist will determine the accuracy of staff training records.
Are annual performance evaluations done?
Comments
3.0 / Phytosanitary Management System (PMS)
3.1 / Maps / Using current map(s) from the Manual, confirm that they correspond to what you see in a tour of the nursery. If the map system goes to point of identifying actual plant lots at a particular location, confirm the accuracy of the identification of the plants at that site. Clarify how the certified areas of the nursery are distinguished from the portions of the nursery that house non-certified plants.
Comments
3.2.1 / Plant Suppliers / Select a sample of recent plant lots arriving at the nursery and confirm that their source is listed properly on the Plant Suppliers List in the Manual.
Comments
3.2.2 / Plant Identity / Confirm that there is an appropriate plant identification system operating that is suitable to the type of plant sources and markets being sold to.
Comments:
3.2.3 / Plant Identity for CNCP Customers / If the nursery markets to CNCP customers confirm that the systems that are in place to ensure residency requirements are met operate effectively.
Comments
3.2.4 / Inadequate Identification / Review a sample of plant shipments to confirm that identity was properly documented by the seller. Pay particular attention to plants from another DPCP certified source. Do the important aspects of their identity and their residency status carry on into the records for that lot as it proceeds through this nursery?
Comments
3.3 / Inspection of Incoming Plants / Review a sample of recent inspection records. Through discussion with the staff delegated to do incoming inspections, determine if they actually utilize inspection criteria that differ according to the risks associated with the variety of plants entering the nursery. (i.e. does inspection intensity and specificity match plant sources and risk?)
Comments
3.4 / Period of time Required for DPCP Certification / Review the records for a specific lot of plants that are nearing the completion of one year of residency at the nursery. Review a second lot of plants that has just passed the residency requirement and determine the way their status differs in the records. Does the system that manages this transition have integrity? Determine how the physical location of the plants in the nursery either changes or the designation of the site changes according to the changes in status of the lot selected.
Comments
3.5 / Inspection at Shipping / Review a sample of recent shipping inspection records and confirm that any detections were properly handled. Confirm that staff currently doing shipping inspections are properly trained and confirm this by reference to a person’s training record (see section 2.2)
Comments
3.5.1 / Special Requirements for CFIA Domestic Regulated Areas / Confirm that staff assigned to do inspections know how to determine which plants may need special inspections because of a specific regulated pest certification Program of CFIA’s or a DPCP module. Determine if previous inspection records confirm that this is done and that the records are initialled immediately.
Comments
3.5.2 / Additional Requirements when Supplying CNCP Nurseries for Export to the United States / Confirm that inspection staff understand the additional requirements described in the Manual and that they implement them. Check a previous shipment to a CNCP nursery and cross check to the applicable inspection record for that load to confirm the special elements are included.
Comments
3.5.3 / Sale of Plants with Minor Pest Infestations / By checking shipping records confirm that non-certifiable plants are properly identified on shipping documents. Ask nursery staff to identify some specific loads of this sort. Compare the shipping inspection record for a particular load for consistency with the shipments shipping/invoice documents.
Comments
3.6 / Domestic Certification Stamp / Ask to see an example of a shipment that included non-certified plants to determine if the documents made it clear the plants were not certified. If possible examine documents from a mixed load.
Comments
3.7 / Records and Documents / Select a reasonable sample of the records described in the Manual and confirm that actual records on file conform to the Manual’s description. Determine if records are being properly filed and retained as specified in the Manual.
Comments
3.8 / Non-conforming Plant Material / Examine a record that illustrates the actual reporting of a regulated pest. Determine if staff know how to inform CNCI and CFIA. Are the contact details current?
Comments
4.1 / Internal Audits / Review a recent internal audit and confirm that any corrective actions were implemented. Through conversation with the Internal Auditor, determine if he or she feels empowered to do the job properly.
Comments
4.2 / External Audits / Confirm that the corrective actions identified in a randomly selected previous audit are still operating properly today.
Comments
5.0 / Pest Management Plan / Confirm that the Pest Management Plan is generally still current and implemented the way it is described in the Manual.
Comments
5.1 / Regulated Pests / From your knowledge of DPCP Pest Specific Modules or CFIA’s list of regulated pests for the area, select a particular pest and confirm that the nursery has specific reference to it in their Manual and that the procedures are actually carried out.
Does the manual contain reference to all such pest specific programs that apply to the area and are the appropriate directives or modules appended to the manual?
Comments
5.2 / Pest Detection and Control / Confirm that field notes correspond with the filed records for a sample of recent pest monitoring and control events.
Comments
5.3 / Biosecurity / Biosecurity measures are generally addressed in pest specific modules and should be audited there.
Comments
5.4 / Pest Management Plan Records / Select a sample of pest management records and confirm that they are being consistently completed and filed. Confirm that retention periods described in the Manual are respected.
Comments
5.5 / Notification of Regulated Pest / Determine who is involved in pest monitoring and interview that individual to determine if they know who they are to report detections to. Confirm that someone is delegated to make the actual contact with CFIA and CNCI[F1]. If by chance the nursery has had such an unfortunate experience, ask to see their record of the contact that was made.
Comments
6.0 / Updates and changes to the DPCP Manual / From a review of previous entries on the sheet that documents periodic changes, confirm that they are eventually reflected in revisions to the Manual. Confirm that only the current copy is in use by nursery staff. Confirm if the latest version has been given to CNCI. Do they number versions?
Comments
NA / The auditor will list the numbers of the Corrective Action Requests produced as a result of this audit.
______
NA / Anticipated date of the next audit is ______

[F1]Regulated pests only?