Manual for Green Snail Host Products

Compliance Agreement Version 1.1

REVISION REGISTER

© State Government of Victoria, Department of Environment and Primary Industries 2006. This publication is copyright. No part may be reproduced by any process except in accordance with the provisions of the Copyright Act 1968.

ISBN 1 74146 505 2

For further clarification or advice on any area covered in this publication, please contact Plant Standards on (03) 9210 9390 or at www.depi.vic.gov.au/psb

Authorised by the Victorian Government Department of Environment and Primary Industries Plant Standards 621 Burwood Highway, Knoxfield, Victoria 3156

Disclaimer

This publication may be of assistance to you but the State of Victoria and its employees do not guarantee that the publication is without flaw of any kind or is wholly appropriate for your particular purposes and therefore disclaims all liability for any error, loss or other consequence which may arise from you relying on any information in this publication.

Contents

1. Purpose

2. Scope

3. References

4. Definitions

5. Responsibility

6. Requirement

6.1. Receival of Green Snail Host Products

6.2. Certification

6.2.1. Details

6.3. Package Specifications

6.4. Package Markings

6.5. Product Specifications

7. Procedures

7.1. Verification at Receival

7.2. Release of Consignment

7.3. Control of Nonconforming Material

8. Accreditation

8.1.1. Application for Accreditation

8.1.2. Training

8.1.3. Audit Process

8.1.4. Certificate of Accreditation

8.2. Nonconformances and Sanctions

8.2.1. Nonconformances

8.2.2. Types of Nonconformances

8.2.3. Action upon Detection of Nonconformances

8.3. Suspension and Cancellation

8.3.1. Appeal

8.3.2. Prosecution

8.4. Charging Policy

9. Records and Documentation

9.1. System Records

9.2. System Documentation

10. Attachments

1. Purpose

This Compliance Agreement (CA) manual describes the requirements for importing Green Snail host product from a property within 25km of a green snail infested property in a state or territory where the pest, green snail (Helix aperta) is known to occur.

The CA enables a business importing green snail host product from affected areas to verify certification of consignments at their premises without transporting the material to the Department of Environment and Primary Industries (DEPI) for verification.

2. Scope

This manual covers the procedures for verification and record keeping when receiving consignments of green snail host products from a property within 25km of a green snail infestation in a state or territory where green snail is known to occur. The procedure also covers product that was grown outside 25km of a green snail infestation, but brought into the 25km zone for packing before export to Victoria.

Host products of green snail include all nursery plants, cut flowers, leafy vegetables, pasture hay or tree.

Green snail is known to occur in Western Australia.

3. References

Plant Health and Plant Products Act 1995

Plant Health and Plant Products Regulations 1996

Victorian Plant Quarantine Manual

4. Definitions

Act means the Plant Health and Plant Products Act 1995.

Application for Accreditation means an application for accreditation of a business.

Audit means the verification activity for evaluation of conformance or non-conformance requirements.

Authenticated Copy means a fax copy of a Plant Health Assurance Certificate that is provided by an accredited grower/packer as a means of verifying certification in situations where the original has been lost. It must be signed and dated by the accredited grower/packer and endorsed with the words "this is a true copy of the original". A fax copy of a Plant Health Certificate is only acceptable when faxed directly from the applicable interstate agriculture department (with the fax header clearly indicating the sender) to the receiver in Victoria.

Authorised Inspector means a person authorised as an inspector under the Plant Health and Plant Products Act 1995.

Business means the legal entity responsible for the operation of the facility and arrangement detailed in the business' application for accreditation.

Compliance Agreement (CA) means an agreement with the DEPI whereby the business undertakes to perform verification and recording procedures as documented in this manual.

Consignment means a discrete quantity of packages consigned to the one business at the one time covered by a single Plant Health Assurance Certificate or Plant Health Certificate.

Green Snail means all stages of the pest species, Helix aperta.

Green Snail Host Products means any nursery plant, cut flower, leafy vegetable, pasture hay or tree which has been grown or packed on a property within 25 kilometres of a known infestation of green snail.

Plant Health Assurance means certification issued by an authorised signatory of a Certificate (PHAC) business that has been accredited by the department responsible for agriculture in another state or territory.

Plant Health Certificate means a certificate issued by an officer of a department (PHC) responsible for agriculture in another state or territory.

5. Responsibility

The position titles used reflect the responsibilities of staff under the agreement. These positions may not be present in all businesses, or different titles may be used for staff who carry out these responsibilities. One person may carry out the responsibilities of more than one position.

The Management Representative is responsible for ensuring that:

• the business is accredited and all locations where verification is to occur are nominated in the application;
• staff are trained and are familiar with this agreement;
• staff abide by the CA;
• suppliers are informed of certification requirements;
• a Register of Key Personnel is maintained and the Plant Standards Branch notified of any changes; and
• they are present at all major audits.

The Certification Controller and deputies are responsible for:

• acting as the chief contact with Inspectors;
• ensuring receivals are segregated until verification has been completed;
• checking consignments for certification;
• keeping certificates and receival records for audit purposes;
• isolating produce not meeting verification requirements and informing the DEPI;
• overseeing the release of conforming produce;
• ensuring that amendments are inserted into the CA manual; and
• being available at all audits.

NOTE: Some of these duties may be delegated to other key personnel who have been trained by Plant Standards.

6. Requirement

6.1. Receival of Green Snail Host Products

A Business importing consignments of green snail host products from a property within 25km of a green snail infestation in Western Australia must be accredited under this procedure in order to verify their own receivals and ensure that the import requirements of Victoria are met.

For a map outlining the infestation zones in Western Australia, see Attachment 5.

6.2. Certification

Green snail host products shall be certified as having been sourced from a property baited for green snail and found to be free of green snail infestation, in accordance with requirements detailed in the Victorian Plant Quarantine Manual.

Certification shall be in the form of a:

• Plant Health Assurance Certificate (PHAC) (Attachment 1); or
• Plant Health Certificate (PHC) (Attachment 2);

6.2.1. Details

Certificate details must include:

• grower/packer name and address;
• product type and quantity;
• Interstate Produce Number (PHACs);
• brand name or identifying marks (PHACs);
• treatment details and treatment code;
• date packed/dispatched or date code (PHACs);
• the signature of the inspector (PHCs) or Authorised signatory (PHACs); and
• date issued.

6.3. Package Specifications

Packages (including bins) must be new or reconditioned to appear as new, in accordance with the Plant Health & Plant Products Regulations 1996.

6.4. Package Markings

Package markings (including bins) required by the Act includes:

• name and postcode of the city or town nearest to the locality where the commodity was grown/packed; and
• type of the product. Additional requirements for product certified under an ICA program include:
• the Interstate Produce (IP) number of the business that operates the approved facility in which the produce was packed;
• the words "MEETS ICA-##"; and
• the date (or date code) on which the host product was packed.

NOTE: "#" is the number of the ICA operational procedure under which the green snail host products were certified.

Products such as plants that are consigned loosely may be identified by one of the following methods:

• the above information is written on the consignment note or the invoice accompanying the plants and signed and dated by an Authorised Signatory; or
• each plant has a tag securely attached that includes the above information; or
• sealed in an enclosed vehicle or container and the seal number is included in the 'Brand Name or Identifying Marks' section of the Assurance Certificate accompanying the consignment.

6.5. Product Specifications

All consignments must be free of green snail infestation.

7. Procedures

7.1. Verification at Receival

Consignments of green snail host product must not be offered for sale until verification activities have been completed.

All host product must be held at the business premises and verified by the end of the first working day after receival. A business accredited under this CA must not verify green snail host receivals consigned to any other business.

Upon receival of green snail host products, the Certification Controller shall:

• ensure that each consignment is accompanied by a PHC or PHAC that is original and uniquely numbered;
• check for certificate authenticity. If an original certificate is not provided with the consignment at the time of arrival, the consignment must be segregated and not sold, and an authenticated copy obtained. However, if the original or an authenticated copy is not obtainable, Plant Standards must be notified immediately;
• check that the contents of the consignment (quantities and varieties) match the certificate;
• check certificate details are complete and correct, and have been signed by an Authorised Inspector and stamped in the case of a PHC, and signed by an Authorised Signatory in the case of a PHAC;
• check package markings. Ensure packages are labelled as specified in section 6.4;
• check for green snail;
• mark the certificate with the word "Verified", then initial and date;
• record the consignment details in the Green Snail Product Receival Record (Attachment 3); and
• file the certificate for audit purposes.

7.2. Release of Consignment

The Certification Controller can release consignments once verification activities have been completed.

7.3. Control of Nonconforming Material

Consignments arriving without certification, or with incorrect certification, cannot be released for sale or use until a valid certificate is obtained. The Certification Controller may contact the supplier and seek an authenticated copy of the certificate.

An authenticated copy can be a fax copy of a Plant Health Assurance Certificate that is provided by an accredited supplier as a means of verifying certification in situations where the original has been lost. It must be signed and dated by the accredited supplier and endorsed with the words "this is a true copy of the original". A fax copy of a Plant Health Certificate is only acceptable when faxed directly from the applicable interstate agriculture department (with the fax header clearly indicating the sender) to the receiver in Victoria.

If a certificate cannot be obtained the consignment must be segregated from other material in a designated area, labelled "Hold for Verification" and Plant Standards notified immediately.

8. Accreditation

8.1.1. Application for Accreditation

A business seeking accreditation under this CA must contact Plant Standards at least 10 working days prior to the intended date of commencement of receival of produce.

The business will receive an Application for Accreditation, two Legal Agreements and this CA Manual. A business shall apply for accreditation by lodging the completed documentation (Application for Accreditation and two Legal Agreements) with the fee payment to Plant Standards (refer to 8.4).

8.1.2. Training

Upon acceptance of the Application for Accreditation, Plant Standards will arrange with the business training for key personnel, as listed on the Application for Accreditation, to perform CA functions as listed in this manual.

A record of this training shall be kept on the Register of Key Personnel (Attachment 4).

8.1.3. Audit Process

Initial Audit

Prior to accrediting a business, an Inspector shall conduct an initial audit to verify the business is capable of operating in accordance with the requirements of the CA.

On completion of a successful initial audit, applicants will be granted accreditation and posted a Certificate of Accreditation.

The agreement will become operational when the DEPI issues a Certificate of Accreditation to the business.

Compliance Audits

Compliance audits are conducted to verify that the business continues to operate in accordance with the requirements of the CA. Wherever practical, audits are conducted when the arrangement is operating.

Compliance audits are conducted within four weeks of the initial audit and accreditation of the business, and within four weeks of the business applying for re-accreditation.

A compliance audit is also conducted between six and nine months after the date of accreditation for an arrangement that operates for more than six months of the year.

Where possible, these compliance audits will be timed with other visits by the DEPI.

Unscheduled Audits

Unscheduled compliance audits may be conducted at any time to investigate reported or suspected nonconformances.

Re-Accreditation

Accredited businesses are required to re-apply for accreditation each year for continuation of the arrangement. Business' seeking re-accreditation must lodge a renewal application prior to accreditation lapsing or if accreditation has lapsed, prior to being reaccredited to verify produce under the arrangement

8.1.4. Certificate of Accreditation

An accredited business will receive a Certificate of Accreditation, which must be made available upon request by an Inspector.

8.2. Nonconformances and Sanctions

8.2.1. Nonconformances

If, in the opinion of the auditor, there is evidence indicating that there has been a failure to meet one or more accreditation requirements, the auditor may raise a Nonconformance Report (NCR). Actions required to address the nonconformance should be discussed and recorded on the NCR.

If the integrity of the accreditation has been significantly compromised, the nonconformance may provide grounds for the suspension or cancellation of the accreditation, and prosecution.

8.2.2. Types of Nonconformances

Nonconformances are categorised into three types: critical, major and minor.

A critical nonconformance relates to a failure by the business to carry out operational and documentation procedures that are crucial to the effectiveness of the system. Examples of critical nonconformances are deliberate or repeated failure to collect and verify certification accompanying consignments, or to knowingly sell uncertified host product.

A major nonconformance is one that compromises the integrity of the system and is likely to increase the risk of a breakdown in procedures. Examples are a one-off sale of noncomplying product or ongoing inadequate verification and record keeping procedures.

A minor nonconformance is one which does not compromise the effectiveness of the procedure but which varies sufficiently or is omitted from the documented procedure so as to be of concern. An example of a minor nonconformance would be an occasional failure by the business to keep accurate records.

8.2.3. Action upon Detection of Nonconformances

(a) Critical Nonconformances

The confirmation of a critical nonconformity may result in intensive auditing of the CA, suspension or cancellation of accreditation or the instigation of other verification arrangements as determined by Plant Standards. It will also lead to an investigation and possible prosecution of the business for being in breach of the Act.

(b)Major Nonconformances

Detection of a major nonconformance will result in intensive auditing of the CA and may lead to suspension of the CA until the problem is investigated and rectified. Advice on corrective action shall be offered and if the problem is not rectified the nonconformance may be deemed critical and result in the instances listed above. It may also lead to an investigation and possible prosecution of the business if in breach of the Act.

(c) Minor Nonconformances

 

Minor nonconformances shall be detailed in the audit report. Corrective action shall be followed up at subsequent audits. Repeated minor nonconformances of a similar nature may result in the issue of a major nonconformance in subsequent audits resulting in the instances listed above.

 

8.3. Suspension and Cancellation

The DEPI may suspend or cancel an accreditation when an accredited business is found, for example, to have:

• obtained accreditation through the provision of false or misleading information;
• not paid fees owing to the DPI;
• contravened an accreditation requirement that compromises the integrity of the arrangement; and/or
• not rectified a non-conformance.

If in the opinion of the Inspector any nonconformance identified during an audit may seriously compromise the integrity of the operational procedure, the business will be liable for suspension or cancellation of accreditation.

If accreditation is suspended or cancelled, the business is responsible for arranging verification of consignments and certification by an Inspector at the Plant Standards Centre, a regional DEPI office, or at the business' premises (for which a fee is payable).

Any action taken by the DEPI to suspend or cancel an accreditation shall be provided in writing to the business. This shall also provide guidance on the lodgement of a written appeal requesting that the decision be reviewed.

The business may cancel the Agreement by writing to the Manager, Plant Standards.

8.3.1. Appeal

The business may appeal any decision by writing to the Manager, Plant Standards stating reasons for the appeal, within the time period detailed on the notice of suspension or cancellation.

8.3.2. Prosecution

Businesses found to be operating contrary to the Act may be liable for prosecution.

8.4. Charging Policy

The business will be charged an annual accreditation fee. This fee may be waived if other accreditations are held by the business.

A fee will be charged for all scheduled audits conducted on the business. Unannounced audits will not be charged. The DEPI can be contacted for a schedule of fees.

9. Records and Documentation

9.1. System Records

The Business shall maintain the following records:

• Plant Health Certificates;
• Plant Health Assurance Certificates;
• Register of Key Personnel;
• Green Snail Product Receival Record.

Records shall be retained for a period of not less than 24 months. These records shall be made available on the request of an auditor.

9.2. System Documentation

The Business shall maintain the following:

• a copy of the current Application for Accreditation;
• a copy of the approved Legal Agreement;
• a copy of this CA manual; and
• a current Certification of Accreditation. These documents shall be made available at the request of an auditor.

10. Attachments

Attachment 1 Plant Health Assurance Certificate (Example)
Attachment 2 Plant Health Certificate (Example)
Attachment 3 Green Snail Product Receival Record
Attachment 4 Register of Key Personnel
Attachment 5 Map of Green Snail Infested Areas in Western Australia

ATTACHMENT 1

ATTACHMENT 2

ATTACHMENT 3

GREEN SNAIL PRODUCT RECEIVAL RECORD

Name of Business: _____________________________________
Record Number ................

* Column for recording problems and discrepancies.

ATTACHMENT 4

REGISTER OF KEY PERSONNEL

Name of Business: _____________________________________

Please note: This form must be kept updated by the Management Representative.

To the best of my knowledge this form is correct and completed:
Name: __________________________________
Signature: ______________________________________
Date: ____________

ATTACHMENT 5