11

DPCP Internal AuditorDPCP Internal AuditorBasic TrainingBasic Training

Internal Audit ProceduresInternal Audit Procedures

22

Introduction to AuditingIntroduction to Auditing

Please read the article titled, ‘DPCP Internal Please read the article titled, ‘DPCP Internal Auditor Basic Training: General Overview’ Auditor Basic Training: General Overview’ before you view this slide presentation.before you view this slide presentation.

The slides follow the order of the DPCP The slides follow the order of the DPCP ManualManual

Slides alternate between the requirements Slides alternate between the requirements stated in the DPCP Standard and what you stated in the DPCP Standard and what you need to audit to meet the standardneed to audit to meet the standard

The DPCP Standard Sections are in the The DPCP Standard Sections are in the order used for the DPCP Manual order used for the DPCP Manual

Follow through your Manual as you view Follow through your Manual as you view these slidesthese slides

33

DPCP Manual Chapter & DPCP Manual Chapter & Section Section

DPCP Standard, Section #DPCP Standard, Section # The slides with yellow titles outline The slides with yellow titles outline

requirements of the DPCP Certification requirements of the DPCP Certification Standard Standard

The Manual Chapter is referenced at the top The Manual Chapter is referenced at the top of the slideof the slide

Review the methods used by your nursery to Review the methods used by your nursery to meet the requirements of the DPCP meet the requirements of the DPCP Standard as you move through this slide setStandard as you move through this slide set

44

What you need to do as What you need to do as internal auditor internal auditor √√

Audit Focus Audit Focus √√Slides with blue titles and a ‘√’ will explain what you need to do to ensure Slides with blue titles and a ‘√’ will explain what you need to do to ensure

that the DPCP requirements are met at your nurserythat the DPCP requirements are met at your nursery Read each section in the Nursery Manual as Read each section in the Nursery Manual as

you work through the audit you work through the audit Use Appendix 7c as your audit check list or Use Appendix 7c as your audit check list or

create your own check listcreate your own check list Investigate that the methods stated in the Investigate that the methods stated in the

Manual are being followed regularlyManual are being followed regularly Note any discrepancies between stated Manual Note any discrepancies between stated Manual

methods and practice as non-compliancesmethods and practice as non-compliances Report the non-compliances to the Certification Report the non-compliances to the Certification

Manager for correctionManager for correction

55

A: General Description of A: General Description of NurseryNursery

DPCP Standard, Section 1.0DPCP Standard, Section 1.0 Nursery name, address and contact Nursery name, address and contact

informationinformation Addresses of other production Addresses of other production

locationslocations Number of employees and key Number of employees and key

positionspositions Type of production and plants grownType of production and plants grown

66

A: General Description of A: General Description of NurseryNursery

Audit Focus Audit Focus √√ Review nursery description Review nursery description

information and verify that it is correctinformation and verify that it is correct Review employee list and verify that it Review employee list and verify that it

is up-to-dateis up-to-date Ensure that there is a current nursery Ensure that there is a current nursery

catalogue or inventory list attached to catalogue or inventory list attached to the nursery Manualthe nursery Manual

77

A: General Description of NurseryA: General Description of Nursery MapsMaps

DPCP Standard, Section 3.1DPCP Standard, Section 3.1 Current maps of all production areas Current maps of all production areas

must be included in the Manualmust be included in the Manual All production locations included All production locations included

under the same Certification ID under the same Certification ID number must have a mapnumber must have a map

88

A: General Description of NurseryA: General Description of Nursery MapsMaps

Audit Focus, Section 3.1 Audit Focus, Section 3.1 √√ Ensure there is a map for each Ensure there is a map for each

production location listed under your production location listed under your nursery Certification ID number. nursery Certification ID number. Maps should be placed in the Manual Maps should be placed in the Manual AppendixAppendix

Ensure that the locations on each map Ensure that the locations on each map are up-to-date and that isolations are up-to-date and that isolations areas, if used, are clearly shownareas, if used, are clearly shown

99

A: General Description of NurseryA: General Description of Nursery Plant SuppliersPlant Suppliers

DPCP Standard, Section 3.2.1DPCP Standard, Section 3.2.1 A list of plant suppliers, including A list of plant suppliers, including

the name, location and business the name, location and business address must be maintainedaddress must be maintained

The type of plants purchased from The type of plants purchased from each supplier can also be listed each supplier can also be listed (optional)(optional)

1010

A: General Description of A: General Description of Nursery Nursery Plant SuppliersPlant Suppliers

Audit Focus, Section 3.2.1 Audit Focus, Section 3.2.1 √√ Review the list of plant suppliers in the Review the list of plant suppliers in the

Manual Appendix and insure that it is up-to-Manual Appendix and insure that it is up-to-datedate

Note that the ‘list’ may be Note that the ‘list’ may be A file of supplier invoices if your nursery buys in A file of supplier invoices if your nursery buys in

very little stock, or very little stock, or A detailed list updated regularly if your nursery A detailed list updated regularly if your nursery

buys from a large number of plant suppliersbuys from a large number of plant suppliers

1111

B: Management B: Management ResponsibilitiesResponsibilities

DPCP Standard, Section 2.0, 2.1DPCP Standard, Section 2.0, 2.1 Statement of management commitmentStatement of management commitment 2.1.1 Certification Manager2.1.1 Certification Manager

Assign responsibilities and designate Assign responsibilities and designate alternatealternate

2.1.2 Crop Protection Manager2.1.2 Crop Protection Manager Assign responsibilities and designate Assign responsibilities and designate

alternatealternate

1212

B: Management B: Management ResponsibilitiesResponsibilities

Audit Focus, Section 2.0, 2.1 Audit Focus, Section 2.0, 2.1 √√ Review the ‘Statement of Management Review the ‘Statement of Management

Commitment’ and check that the names listed Commitment’ and check that the names listed are up-to-dateare up-to-date

Ensure that the Certification Manager and the Ensure that the Certification Manager and the Crop Protection Manager have been assigned, Crop Protection Manager have been assigned, are listed in the Manual Workbook, and are are listed in the Manual Workbook, and are aware of the responsibilities listed aware of the responsibilities listed

Employees that are Authorized Domestic Cert Employees that are Authorized Domestic Cert Stamp Appliers and Pest Scout Inspectors must Stamp Appliers and Pest Scout Inspectors must be listedbe listed

Ensure that there are alternates for each position Ensure that there are alternates for each position listed in the Manuallisted in the Manual

1313

B: Management ResponsibilitiesB: Management Responsibilities Nursery Staff TrainingNursery Staff Training

DPCP Standard, Section 2.2DPCP Standard, Section 2.2 All staff that are responsible for All staff that are responsible for

specific areas of the DPCP must be specific areas of the DPCP must be trainedtrained

Training (on-site or formal) must be Training (on-site or formal) must be documenteddocumented

1414

B: Management ResponsibilitiesB: Management Responsibilities Nursery Staff TrainingNursery Staff Training

Audit Focus, Section 2.2 Audit Focus, Section 2.2 √√ Review Manual ‘Training’ Appendix and Review Manual ‘Training’ Appendix and

ensure that it is up-to-date and includes all ensure that it is up-to-date and includes all work related training that supports the work related training that supports the nursery nursery (a file can be used rather than an appended (a file can be used rather than an appended list, just state the location of the file in the Manual)list, just state the location of the file in the Manual)

Question staff in key positions (e.g. shipper, Question staff in key positions (e.g. shipper, production manager) to verify that they are production manager) to verify that they are implementing the area of the DPCP for which implementing the area of the DPCP for which they are responsiblethey are responsible

1515

C: Plant Identity and C: Plant Identity and Certification StatusCertification Status

DPCP Standard, Section 3.2.2DPCP Standard, Section 3.2.2 The certification status of each group The certification status of each group

(Certified and non-certified) of plants (Certified and non-certified) of plants grown on the nursery must be clearly grown on the nursery must be clearly shown (visually or within the shown (visually or within the inventory system)inventory system)

The last growing location of each The last growing location of each group of plants must be recorded group of plants must be recorded (required on shipping documentation) (required on shipping documentation)

1616

C: Plant Identity and C: Plant Identity and Certification StatusCertification Status

Audit Focus, Section 3.2.2 Audit Focus, Section 3.2.2 √√ The Certified and non-certified production areas The Certified and non-certified production areas

must be clearly identified (separated in different must be clearly identified (separated in different blocks or defined areas within the nursery)blocks or defined areas within the nursery)

The Certification status and last production location The Certification status and last production location of each group of plants must be visually clear or of each group of plants must be visually clear or recorded in the inventory database (or both)recorded in the inventory database (or both)

Note that ‘non-certified’ refers to a ‘cannot ship as Certified’ Note that ‘non-certified’ refers to a ‘cannot ship as Certified’ status for these plants until the defined time limit (120 days status for these plants until the defined time limit (120 days for outdoor stock and 28 days for protected crops) has for outdoor stock and 28 days for protected crops) has expired. After this time period, the plants are automatically expired. After this time period, the plants are automatically considered ‘Certified’ as long as they are free of regulated considered ‘Certified’ as long as they are free of regulated pests and practically free of all other pests.pests and practically free of all other pests.

1717

C: Plant Identity and Certification C: Plant Identity and Certification Status Status

Inadequate IdentificationInadequate IdentificationDPCP Standard, Section 3.2.4DPCP Standard, Section 3.2.4 When the certification status of a group of When the certification status of a group of

plants is not clear at shipping, the plants plants is not clear at shipping, the plants must be documented as ‘non-certified’must be documented as ‘non-certified’

Reasons for confusion over certification Reasons for confusion over certification status:status: Not sure where plants were grown on the nurseryNot sure where plants were grown on the nursery Not sure how long the plants have been growing on Not sure how long the plants have been growing on

the nurserythe nurseryInfested plants (more than practically free of Infested plants (more than practically free of

pests) pests) cannotcannot be shipped regardless of their be shipped regardless of their certification status.certification status.

1818

C: Plant Identity and Certification C: Plant Identity and Certification Status Status

Inadequate IdentificationInadequate IdentificationAudit Focus, Section 3.2.4 Audit Focus, Section 3.2.4 √√ A designated employee must be A designated employee must be

responsible for deciding on the responsible for deciding on the certification status of a group of certification status of a group of plants (when in question)plants (when in question)

Check shipping invoices to ensure Check shipping invoices to ensure that plants material was shipped as that plants material was shipped as non-certified when the certification non-certified when the certification status was uncertainstatus was uncertain

1919

C: Plant Identity and Certification C: Plant Identity and Certification StatusStatus

Time Period Required for DCPC Time Period Required for DCPC CertificationCertification

DPCP Standard, Section 3.4DPCP Standard, Section 3.4 Certified and non-certified plants must Certified and non-certified plants must

be clearly labeledbe clearly labeled Outdoor non-certified plants must be Outdoor non-certified plants must be

grown for one season (120 days) to grown for one season (120 days) to become Certifiedbecome Certified

Greenhouse-grown non-certified Greenhouse-grown non-certified plants must be grown for one growing plants must be grown for one growing cycle (28 days) to become Certifiedcycle (28 days) to become Certified

2020

C: Plant Identity and Certification C: Plant Identity and Certification StatusStatus

Time Period Required for DCPC Time Period Required for DCPC CertificationCertification

Audit Focus, Section 3.4 Audit Focus, Section 3.4 √√ Ensure that Certified and non-certified Ensure that Certified and non-certified

plants are clearly labeled (blocks or plants are clearly labeled (blocks or designated area)designated area)

Use the receiving shipping Use the receiving shipping documentation to follow a number* of documentation to follow a number* of non-certified shipments through the non-certified shipments through the nursery to ensure that the plants are nursery to ensure that the plants are spending the appropriate period of time spending the appropriate period of time in the non-certified production area in the non-certified production area (* relate the number of examinations to the number of shipments (* relate the number of examinations to the number of shipments

received at your nursery)received at your nursery)

2121

C: Plant Identity and Certification C: Plant Identity and Certification

StatusStatus Records and DocumentsRecords and Documents

DPCP Standard, Section 3.7DPCP Standard, Section 3.7 The records that track plant identity The records that track plant identity

must be stored for 7 yearsmust be stored for 7 years PropagationPropagation Receiving/ShippingReceiving/Shipping InventoryInventory

Other records must be stored for 3 Other records must be stored for 3 yearsyears

2222

C: Plant Identity and Certification C: Plant Identity and Certification

StatusStatus Records and DocumentsRecords and Documents

Audit Focus, Section 3.7 Audit Focus, Section 3.7 √√ Check that the office procedures are Check that the office procedures are

adequate to store documents for the adequate to store documents for the required period of time as noted on required period of time as noted on the previous slidethe previous slide

2323

D: Receiving Plants D: Receiving Plants InspectionInspection

DPCP Standard, Section 3.3DPCP Standard, Section 3.3 Each incoming shipment of plants must Each incoming shipment of plants must

be inspected for regulated pests (free be inspected for regulated pests (free of) and other pests (practically free of)of) and other pests (practically free of)

Plants must be placed in either the Plants must be placed in either the Certified production area or the non-Certified production area or the non-certified production area depending on certified production area depending on the Certification status of the supplierthe Certification status of the supplier

2424

D: Receiving Plants D: Receiving Plants InspectionInspection

Audit Focus, Section 3.3 Audit Focus, Section 3.3 √√ Examine the incoming shipping Examine the incoming shipping

documentation for inspection detailsdocumentation for inspection details Ensure that Certified and non-certified Ensure that Certified and non-certified

plants are placed in the appropriate plants are placed in the appropriate production areas production areas

Follow a non-certified shipment of plants Follow a non-certified shipment of plants from receiving to the non-certification from receiving to the non-certification production areaproduction area

2525

E. Shipping Inspection E. Shipping Inspection

DPCP Standard, Section 3.5DPCP Standard, Section 3.5 All shipments of plants leaving the nursery All shipments of plants leaving the nursery

must be inspected for regulated and non-must be inspected for regulated and non-regulated pests regardless of certification regulated pests regardless of certification statusstatus Free of Regulated pestsFree of Regulated pests Practically free of non-regulated pestsPractically free of non-regulated pests

Results of the inspection must be recordedResults of the inspection must be recorded

Plants that are infested beyond the ‘practically free’ definition Plants that are infested beyond the ‘practically free’ definition must notmust not be be shipped. shipped.

2626

E. Shipping Inspection E. Shipping Inspection

Audit Focus, Section 3.5 Audit Focus, Section 3.5 √√ Review shipping documentation for Review shipping documentation for

inspections resultsinspections results Include Certified and non-certified plant Include Certified and non-certified plant

shipmentsshipments If pests were detected at levels above If pests were detected at levels above

‘practically free of’, follow the ‘practically free of’, follow the documentation to ensure that this was documentation to ensure that this was reported and these plants were not shippedreported and these plants were not shipped

2727

E. Shipping InspectionE. Shipping Inspection Special Requirements for CFIA Special Requirements for CFIA

Domestic Regulated AreasDomestic Regulated AreasDPCP Standard, Section DPCP Standard, Section 3.5.1.13.5.1.1 A nursery that is located within a A nursery that is located within a

regulated area must comply with the regulated area must comply with the requirements of the associated CFIA requirements of the associated CFIA Directives Directives

The Manual must list the regulated pests The Manual must list the regulated pests in the area where the nursery is located in the area where the nursery is located and the steps that are required to permit and the steps that are required to permit shipment of the host plants out of the shipment of the host plants out of the regulated arearegulated area

2828

E. Shipping InspectionE. Shipping Inspection Special Requirements for CFIA Special Requirements for CFIA

Domestic Regulated AreasDomestic Regulated AreasAudit Focus, Section 3.5.1.1 Audit Focus, Section 3.5.1.1 √√ Ensure that there is an up-to-date list of Ensure that there is an up-to-date list of

regulated pests and plant hosts for your regulated pests and plant hosts for your nursery location(s) and the nursery location(s) and the corresponding CFIA directives are easily corresponding CFIA directives are easily accessible accessible

Review shipping documentation to verify Review shipping documentation to verify that plant hosts were shipped with the that plant hosts were shipped with the appropriate Domestic Movement appropriate Domestic Movement Certificate, if requiredCertificate, if required

2929

E. Shipping InspectionE. Shipping Inspection Special Requirements for Other Special Requirements for Other

Pest-Specific ModulesPest-Specific ModulesDPCP Standard, Section 3.5.1.2DPCP Standard, Section 3.5.1.2 List the DPCP Pest Specific Modules List the DPCP Pest Specific Modules

in which your nursery is qualifiedin which your nursery is qualified

3030

E. Shipping InspectionE. Shipping Inspection Special Requirements for Other Special Requirements for Other

Pest-Specific ModulesPest-Specific ModulesAudit Focus, Section 3.5.1.2 Audit Focus, Section 3.5.1.2 √√ Ensure that there is an up-to-date list of Ensure that there is an up-to-date list of

DPCP Pest Specific Modules appended to DPCP Pest Specific Modules appended to your Manual (only those that apply to your Manual (only those that apply to your nursery)your nursery)

Ensure that the supporting Ensure that the supporting documentation verifying proper documentation verifying proper implementation of these programs is implementation of these programs is attachedattached

3131

E. Shipping InspectionE. Shipping Inspection Sale of Plants with Minor Pest Sale of Plants with Minor Pest

InfestationsInfestationsDPCP Standard, Section 3.5.3DPCP Standard, Section 3.5.3 Plant which have a higher number of non-Plant which have a higher number of non-

regulated pests than considered ‘practically regulated pests than considered ‘practically free’ free’ cannotcannot be sold as non-certified be sold as non-certified

Only plants, in which the certification status Only plants, in which the certification status of the plant material is uncertain (unknown of the plant material is uncertain (unknown origin, growing location, not sure how long origin, growing location, not sure how long the plants have been at the nursery) can be the plants have been at the nursery) can be shipped as non-certifiedshipped as non-certified

3232

E. Shipping InspectionE. Shipping Inspection Sale of Plants with Minor Pest Sale of Plants with Minor Pest

InfestationsInfestationsAudit Focus, Section 3.5.3 Audit Focus, Section 3.5.3 √√ Check shipping documentation Check shipping documentation

inspections to ensure that inspections to ensure that whenever the number of pests whenever the number of pests found is higher than ‘practically found is higher than ‘practically free’, the plants are not shipped free’, the plants are not shipped

3333

F. Shipping Plants to CNCP NurseriesF. Shipping Plants to CNCP Nurseries

Plant Identity for CNCP Plant Identity for CNCP CustomersCustomers

DPCP Standard, Section 3.2.3DPCP Standard, Section 3.2.3 Groups of plants produced for CNCP Groups of plants produced for CNCP

customers must be clearly identifiedcustomers must be clearly identified Special growing requirements Special growing requirements

requested by the CNCP customer requested by the CNCP customer must be followed (See Section 3.5.2)must be followed (See Section 3.5.2)

3434

F. Shipping Plants to CNCP NurseriesF. Shipping Plants to CNCP Nurseries

Plant Identity for CNCP Plant Identity for CNCP CustomersCustomers

Audit Focus, Section 3.2.3 Audit Focus, Section 3.2.3 √√ Review orders that are from CNCP Review orders that are from CNCP

nurseries to ensure that growing nurseries to ensure that growing directions were recordeddirections were recorded

Check that groups of plants reserved Check that groups of plants reserved for CNCP customers are clearly for CNCP customers are clearly identifiedidentified

3535

F. Shipping Plants to CNCP CustomersF. Shipping Plants to CNCP Customers

Special Requirements for CNCP Special Requirements for CNCP CustomersCustomers

DPCP Standard, Section 3.5.2DPCP Standard, Section 3.5.2 The Manual must list the steps taken The Manual must list the steps taken

to ensure that plants sold to CNCP to ensure that plants sold to CNCP customers are ‘export ready’customers are ‘export ready’

Source of the plant material, and Source of the plant material, and specific pest concerns must be specific pest concerns must be documenteddocumented

3636

F. Shipping Plants to CNCP NurseriesF. Shipping Plants to CNCP Nurseries

Special Requirements for CNCP Special Requirements for CNCP CustomersCustomers

Audit Focus, Audit Focus, Section Section 3.5.2 3.5.2 √√ Review shipping documentation for Review shipping documentation for

CNCP customers to ensure that it CNCP customers to ensure that it contains information that verifies an contains information that verifies an ‘export ready’ status‘export ready’ status

Information may include:Information may include: Monitoring records for specific pestsMonitoring records for specific pests Source of the plant material (supplier/in Source of the plant material (supplier/in

house)house) Date of purchase/ propagation datesDate of purchase/ propagation dates

3737

G: Domestic Certification G: Domestic Certification StampStamp

DPCP Standard, Section 3.6DPCP Standard, Section 3.6 The Domestic Certification Stamp The Domestic Certification Stamp

must be stored securelymust be stored securely Each use of the stamp on shipping Each use of the stamp on shipping

documentation must be documenteddocumentation must be documented

3838

G: Domestic Certification G: Domestic Certification StampStamp

Audit Focus, Section 3.6 Audit Focus, Section 3.6 √√ Check that the Certification Stamp is Check that the Certification Stamp is

securely storedsecurely stored Examine a selection of shipping documents to Examine a selection of shipping documents to

ensure the stamp is being used consistently ensure the stamp is being used consistently and there is a record of each use of the and there is a record of each use of the StampStamp

Examine shipping documentation for Examine shipping documentation for completeness of information: shipping completeness of information: shipping destination, genera and species of plants, destination, genera and species of plants, volume, Certification statusvolume, Certification status

3939

H. Pest Management in ProductionH. Pest Management in Production Regulated PestsRegulated Pests

DPCP Standard, Section 5.1DPCP Standard, Section 5.1 Your nursery must follow the Your nursery must follow the

requirements of CFIA Directives that requirements of CFIA Directives that apply to the area where the nursery apply to the area where the nursery is locatedis located

Your nursery must follow the Your nursery must follow the requirements of the DPCP Pest requirements of the DPCP Pest Modules listed in your ManualModules listed in your Manual

4040

H. Pest Management in ProductionH. Pest Management in Production Regulated PestsRegulated Pests

Audit Focus, Section 5.1 Audit Focus, Section 5.1 √√ Ensure that the Directives that apply Ensure that the Directives that apply

to your nursery are up-to-date versions to your nursery are up-to-date versions Ensure that the DPCP Pest Specific Ensure that the DPCP Pest Specific

Modules listed in the Manual Modules listed in the Manual Workbook are up-to-dateWorkbook are up-to-date

Ensure that the requirements listed in Ensure that the requirements listed in the Directives or/and Modules are the Directives or/and Modules are being followed consistentlybeing followed consistently

4141

H. Pest Management in ProductionH. Pest Management in Production

Pest Detections and ControlPest Detections and Control

DPCP Standard, Section 5.2DPCP Standard, Section 5.2 There must be documented pest There must be documented pest

control strategies for commonly control strategies for commonly found pests at your nurseryfound pests at your nursery Monitoring program Monitoring program Government published pest control Government published pest control

informationinformation In-house methods of pest controlIn-house methods of pest control

4242

H. Pest Management in ProductionH. Pest Management in Production

Pest Detections and ControlPest Detections and Control

Audit Focus, Section 5.2 Audit Focus, Section 5.2 √√ Ensure that the Pest Management Plan Ensure that the Pest Management Plan

is up-to-date and completeis up-to-date and complete Ensure that the monitoring records match Ensure that the monitoring records match

the frequency outlined in the Manualthe frequency outlined in the Manual Match pest finds from monitoring records Match pest finds from monitoring records

to pest control strategies in the Pest to pest control strategies in the Pest Management Plan to ensure that pests are Management Plan to ensure that pests are being controlledbeing controlled

4343

H. Pest Management in ProductionH. Pest Management in Production BiosecurityBiosecurity

DPCP Standard, Section 5.3DPCP Standard, Section 5.3 The biosecurity measures that are The biosecurity measures that are

outlined either in applicable CFIA outlined either in applicable CFIA directives or in attached DPCP pest directives or in attached DPCP pest specific modules must be followedspecific modules must be followed

4444

H. Pest Management in ProductionH. Pest Management in Production BiosecurityBiosecurity

Audit Focus, Section 5.3 Audit Focus, Section 5.3 √√ Review the biosecurity measures Review the biosecurity measures

outlined in the Manual and verify outlined in the Manual and verify that they are being routinely that they are being routinely implemented at the nurseryimplemented at the nursery

4545

H. Pest Management in ProductionH. Pest Management in Production Pest Management Plan RecordsPest Management Plan Records

DPCP Standard, Section 5.4DPCP Standard, Section 5.4 There must be complete pest There must be complete pest

management records which recordmanagement records which record:: DataData Pest name, numbersPest name, numbers Host plant(s)Host plant(s) Control actionsControl actions Other Other

4646

H. Pest Management in ProductionH. Pest Management in Production Pest Management Plan RecordsPest Management Plan Records

Audit Focus, Section 5.4 Audit Focus, Section 5.4 √√ Review a selection of the monitoring Review a selection of the monitoring

records to ensure that the records to ensure that the information recorded is completeinformation recorded is complete

Match pest finds with control actions Match pest finds with control actions unless noted in the records (also in unless noted in the records (also in Sec 5.2)Sec 5.2)

4747

I: Detection of Regulatory I: Detection of Regulatory PestsPests

DPCP Standard, Section 3.8DPCP Standard, Section 3.8 CFIA and CNCI must be notified CFIA and CNCI must be notified

within 24 hours if a suspected within 24 hours if a suspected regulated pest that is from outside regulated pest that is from outside the known regulated area is the known regulated area is detected on your nurserydetected on your nursery

4848

I: Detection of Regulatory I: Detection of Regulatory PestsPests

Audit Focus, Section 3.8 Audit Focus, Section 3.8 √√ Verify that there is access to a current list of Verify that there is access to a current list of

regulated pests (CFIA website)regulated pests (CFIA website) Ensure that there is a designated employee Ensure that there is a designated employee

that is responsible for contacting CFIA and that is responsible for contacting CFIA and CNCI if a regulated pest find (outside its CNCI if a regulated pest find (outside its normal regulated area) is made normal regulated area) is made

The Certification Manager has the ultimate The Certification Manager has the ultimate responsibility for contacting CFIAresponsibility for contacting CFIA

4949

J: Internal AuditsJ: Internal Audits

DPCP Standard, Section 4.1DPCP Standard, Section 4.1 There must be two internal audits There must be two internal audits

conducted per year by the internal conducted per year by the internal auditorauditor growing season auditgrowing season audit shipping season auditshipping season audit

Non-compliances and corrective actions Non-compliances and corrective actions must be communicated to the must be communicated to the Certification ManagerCertification Manager

5050

J: Internal AuditsJ: Internal Audits

Audit Focus, Section 4.1 Audit Focus, Section 4.1 √√ Confirm that two internal audits Confirm that two internal audits

have been (are being) completed at have been (are being) completed at the appropriate time of the year the appropriate time of the year (checklists completed)(checklists completed)

Ensure that the corrective actions Ensure that the corrective actions have been communicated to the have been communicated to the Certification ManagerCertification Manager

5151

L: DPCP Manual Workbook UpdatesL: DPCP Manual Workbook Updates

Up-dates and Changes to the Up-dates and Changes to the DPCP Manual WorkbookDPCP Manual Workbook

DPCP Standard, Section 6.0DPCP Standard, Section 6.0 Substantive revisions to the Manual Substantive revisions to the Manual

must be sent to CNCImust be sent to CNCI Major changes in proceduresMajor changes in procedures Changes in the application informationChanges in the application information

Minor changes can be recorded in Minor changes can be recorded in the Manual and an updated version the Manual and an updated version produced for the next external auditproduced for the next external audit

5252

L: DPCP Manual Workbook UpdatesL: DPCP Manual Workbook Updates

Up-dates and Changes to the Up-dates and Changes to the DPCP Manual WorkbookDPCP Manual Workbook

Audit Focus, Section 6.0 Audit Focus, Section 6.0 √√ Review the Manual Workbook and Review the Manual Workbook and

check that minor revisions are being check that minor revisions are being recorded (last page of DPCP recorded (last page of DPCP Manual)Manual)

Ensure that the new version Ensure that the new version prepared for an external audit prepared for an external audit includes these changesincludes these changes

5353

List of Manual AppendicesList of Manual Appendices

Ensure that the list of Manual Ensure that the list of Manual Appendices is up-to-date and Appendices is up-to-date and completecomplete