D-98-08: Entry requirements for wood packaging material into Canada

Shipborne dunnage must be visually monitored by designated terminal staff to identify materials that do not meet the entry requirements as described in section 5. Dunnage that

• is missing the ISPM 15 mark (as per Appendix 1), unless a valid phytosanitary certificate was provided; or
• has bark above the acceptable threshold (as per Appendix 1); or
• is found to have live pests or signs of live pests, such as frass
• does not meet entry requirements and is considered to be non-compliant

The preventive control plan must describe how the dunnage will be visually monitored by trained staff during the discharge process. If shipborne dunnage not meeting entry requirements is found, the designated terminal must notify the CFIA local office. The CFIA will determine if a commodity inspection is required. If an inspection is required, the shipborne dunnage not meeting entry requirements must be:

• presented in a manner that will allow for safe and efficient inspection by the CFIA; and
• identified and kept segregated from dunnage discharged from other vessels, if applicable

Shipborne dunnage not meeting entry requirements will be disposed of according to the designated terminal's preventive control plan, or as otherwise specified by the CFIA inspector.

Where live pests or signs of live pests are found in association with shipborne dunnage, notification must be made immediately to the CFIA local office (see Appendix 3). The preventive control plan must specify the control measures that will be immediately taken to avoid the escape or movement of injurious pests from the dunnage already discharged and from any dunnage still remaining on the vessel. Infested dunnage, including dunnage and associated goods still in the holds, may be ordered to be treated prior to movement or disposal. The preventive control plan must specify how the designated terminal will respond to the detection of a live pest.

The preventive control plan must describe where and how discharged dunnage will be stored. All discharged dunnage must be identified and segregated from any other kind of wood material. Any wood material with unknown identity or that has been co-mingled with dunnage is considered to be dunnage and must be handled as such.

During the high-risk period, the preventive control plan must describe how dunnage will be secured to prevent the escape of pests during and after the discharge process. If the storage container is to be opened or accessed at any time at the designated terminal, the preventive control plan must describe the mitigation measures that will be taken to prevent the escape of pests.

Shipborne dunnage must be transported to a disposal or processing facility within 72 hours of completion of discharge.

During the low-risk period and unless otherwise ordered by a CFIA inspector, discharged dunnage does not need to be secured and can be stored with no limitation of time, provided it is completely disposed of or processed prior to the end of the low-risk period. It is permitted to store dunnage in another place than the designated terminal, if this is described in the preventive control plan (see section 6.6.3).

During the low-risk period, it is possible to store shipborne dunnage in a temporary location. The preventive control plan must specify the temporary location and how the facility will ensure the care and control of the dunnage during storage. Shipborne dunnage must be identified and kept segregated from any other kind of wood material and must be stored so as to avoid any loss of material. The facility must retain records of stored dunnage and the dunnage must be entirely disposed of before the end of the low risk period.

During the high-risk period, storage of shipborne dunnage in a temporary location is not permitted.

The movement of shipborne dunnage is not permitted without prior written approval of the CFIA local office (see Appendix 3 for a list of CFIA offices). The dunnage may only be transported following the issuance of a movement certificate (or other document as determined by the CFIA) and under the specified conditions.

The preventive control plan must describe how the dunnage will be transported during low and high-risk periods. All shipborne dunnage must be identified and kept segregated from any other wood material at all times. Any other kind of wood material that is unidentified or has been co-mingled with shipborne dunnage must be disposed of or processed in the same manner as the shipborne dunnage.

A designated terminal may include a third-party contractor for the transport of dunnage in their preventive control plan. The contractor will be subject to evaluation and inspection by the CFIA as part of the designated terminal preventive control plan assessment.

A third-party contractor can be registered on the shipborne dunnage program as a "designated transport company" by submitting a service request and their preventive control plan covering transport requirements through their My CFIA account. Designated transport companies will be inspected as per section 7.2.1.

Designated terminals must refer to the designated transport company's preventive control plan to cover movements in their own preventive control plan.

The dunnage must be transported directly to the site where disposal or processing is going to occur.

During the high-risk period, shipborne dunnage must be transported in such a manner so as to avoid any pest escape during transport. During the low-risk period, shipborne dunnage must be covered so as to prevent the loss of material during transport.

The preventive control plan must describe how the transporter will prevent the escape of pests in the event of an accident or other extraordinary incident during the transport of the container from the designated terminal to the disposal or processing destination.

Shipborne dunnage discharged in a designated terminal may be moved to another designated terminal to be further managed under the provision of the shipborne dunnage program. Dunnage must be identified and its location known and recorded.

During the high-risk period, shipborne dunnage to be transported must be secured in a manner to prevent pest escape at all times. During the low-risk period, shipborne dunnage must be covered so as to avoid any loss of material during transport.

Shipborne dunnage that has had live pests or signs of live pests detected must not be moved until mitigation measures have been taken.

The preventive control plan of both designated terminals must describe how the dunnage will be stored at the destination terminal prior to disposal or processing (within 72 hours after completion of discharge).

Discharged dunnage must be disposed of or processed in a manner as described in Appendix 7.

The disposal or processing facility must be capable of disposal or processing shipborne dunnage in a manner that prevents the introduction and spread of pests into Canada.

All shipborne dunnage must be identified and kept segregated from any other wood material at all times. Any other kind of wood material that is unidentified or has been co-mingled with shipborne dunnage must be disposed of or processed in the same manner as the shipborne dunnage.

Designated terminals using a designated disposal or processing facility must refer to the designated disposal or processing facility's preventive control plan to cover that section in their preventive control plan (a list of designated disposal facilities can be found in Appendix 2). Otherwise, all required information about disposal or processing must be included in their own preventive control plan.

Disposal or processing facilities will be inspected as per section 7.2.1.

During the high-risk period

Shipborne dunnage must be stored in such a manner as to prevent any pest escape until the time it is disposed of or processed. The time limit for storage should not exceed 2 days (48 hours) following receipt of the dunnage at the disposal or processing facility.

During the low-risk period

Shipborne dunnage must be completely disposed of or processed before the end of the low-risk period.

Facilities that intend to dispose or process shipborne dunnage can be registered on the shipborne dunnage program as a "designated disposal or processing facility" by submitting a service request and their preventive control plan covering disposition or processing through their My CFIA account. Disposal or processing facilities will be inspected as per section 7.2.1.

During the high-risk period shipborne dunnage discharged in Canada as per section 5.2 cannot be reused as dunnage.

During the low-risk period reuse is possible provided:

• the dunnage has been visually monitored by the designated terminal as per section 6.3.1, and
• the dunnage is in compliance with section 5, and
• the vessel leaves Canada (Canadian waters) prior to the end of the low-risk period

The preventive control plan must describe how the designated facility will ensure that the conveyance with reused dunnage onboard will leave Canada prior to the high risk period.

To register for the shipborne dunnage program regulated parties must submit a service request and their preventive control plan through their My CFIA account.

My CFIA uses the term "preventive control inspection" in place of "audit" and "terms and conditions" in place of "requirements".

Authorization Audit

CFIA inspectors will evaluate the preventive control plan submitted by facilities applying to be a designated terminal, transporter and/or disposal/processing facility and will conduct an authorization audit to assess that the facility can implement their preventive control plan and meet program requirements.

Surveillance and Systems Audit

CFIA inspectors will conduct surveillance audits in designated terminals to assess adherence to the preventive control plan during discharge of shipborne dunnage at least 2 times per year, with at least 1 being performed during high-risk period. The inspection frequency may be increased if deemed necessary by the inspector. Designated transport companies and designated processing/disposal facilities are subject to the same audit frequency. At least 1 surveillance audit will be scheduled at the beginning of the high-risk period to assess the proper transition from the low-risk period.

CFIA inspectors will perform a systems audit once a year to assess the facility's adherence to the conditions of the Permit to Import and their preventive control plan as written. Designated transport companies and designated processing/disposal facilities will also be inspected for the same purpose. This audit will review the whole preventive control plan.

When a designated terminal reports non-compliant dunnage, the dunnage will be subject to inspection by the CFIA or the Canada Border Services Agency (CBSA).

As per section 5.2, shipborne dunnage is only permitted to be discharged in Canada under the authority of a Permit to Import and approved registration in the shipborne dunnage program and it must be disposed of or processed. On an exceptional basis, the discharge of shipborne dunnage at a port terminal where the shipborne dunnage program has not been put in place may be permitted upon prior written approval, provided an inspection is delivered by a CFIA or CBSA inspector and found compliant with entry requirements (section 5).

Requirements:

• rationale for the exemption must be provided
• dunnage must be a small proportion of the shipment
  Whole vessel loads will not be inspected under this option

The designated terminal (or other responsible party) must also:

• submit a request for inspection to the CFIA local office at least 72 hours (3 days) in advance
• present the dunnage in a safe manner that allows a thorough and efficient inspection
• ensure that the inspection occurs immediately after discharge
• ensure that each dunnage piece can be inspected

The CFIA may approve the request if all of the above conditions are met and operational capacity allows for the inspection.

If the shipborne dunnage meets entry requirements, written authorisation will be issued. Fees for inspection and movement authorization will be charged as per the Plant Protection Fees schedule.

Dunnage discharged into Canada that does not comply with the phytosanitary requirements as listed in section 5, or dunnage discharged in ports, terminals, or locations that are not designated under the shipborne dunnage program are considered to be violations of section 7 of the Plant Protection Act.

Violations of the Plant Protection Act are subject to compliance and enforcement controls, including monetary penalties. Dependant on the type of violation, the owner of the vessel, the agent, or any other individual or corporation may be identified as the responsible party.

Non-compliant dunnage may be ordered treated prior to discharge, disposal or removal from Canada.

Designated terminals found not to be in compliance with any of the conditions set out in their Permit to Import or the Plant Protection Act and regulations may have their Permit to Import cancelled.

Designated terminals, transporters and disposal/processing facilities may have their registration suspended or revoked if found not to be in compliance with any of the conditions set out in the shipborne dunnage program or the Plant Protection Act and regulations.

Violations of the Plant Protection Act are subject to compliance and enforcement controls, including monetary penalties.

Irrespective of the type of treatment applied, wood packaging material, including dunnage, must be made of debarked wood. For the purpose of this directive, any number of visually separate and clearly distinct small pieces of bark may remain on debarked wood if they are:

• less than 3 cm in width (regardless of the length); or
• greater than 3 cm in width, with the total surface area of an individual piece of bark less than 50 square cm

Accepted treatments are those listed in annex 1 of IPSM 15. At the time of publication of this directive, accepted treatments were as below. Please refer to annex 1 of ISPM 15 for details regarding these treatments.

• Heat treatment using a conventional steam or heat chamber
• Heat treatment using a dielectric heating
• Fumigation using methyl bromide
• Fumigation using sulphuryl fluoride

Treatments cannot be inspected directly, but can be assessed by verifying the IPPC mark and if no live pests or signs of live pests (such as frass) can be detected.

Wood packaging material that has been treated by 1 of the methods specified above and in a manner that is officially endorsed by the NPPO of the country from which the wood packaging material originates may be permitted entry into Canada provided the wood packaging material is marked as per annex 2 of ISPM 15. Examples of acceptable marks are provided in figure 1.

• The mark must at minimum include:
  the IPPC symbol for treated wood packaging material (as per annex 2 of the "International Standard for Phytosanitary Measures No. 15, (2009) Regulation of Wood packaging material in International Trade") as reproduced here.
  • the design of the symbol must be presented to the left of the other components
  • the country code (XX)
    The country code must be the International Organization for Standardization (ISO) two-letter country code for the country in which the wood packaging material is produced. It must be separated by a hyphen from the producer/treatment provider code.
  • the producer/treatment provider code (000)
    The producer/treatment provider code is a unique code assigned by the NPPO to the producer of the wood packaging material or the treatment provider who applies the marks or the entity otherwise responsible to the NPPO for ensuring that appropriately treated wood is used and properly marked. The number and order of digits and/or letters are assigned by the NPPO.
  • the treatment code (YY)
    The treatment code is an IPPC abbreviation for the approved measure used (HT = heat treatment, DH = dielectric heating, MB = methyl bromide fumigation and SF = sulphuryl fluoride fumigation). The treatment code must appear after the combined country and producer/treatment provider codes. It must appear on a separate line from the country code and producer/treatment provider code, or be separated by a hyphen if presented on the same line as the other codes.
• Other information
  Other information (for example: control numbers) may also be included provided it is not confusing, misleading, or deceptive. Such information may be provided adjacent to but outside of the border of the mark.
• The mark must be:
  • legible (illegible marks are considered non-compliant)
  • durable and not transferable (tags are not allowed)
  • rectangular or square in shape and contained within a border line with a vertical line separating the symbol from the code components
  • placed in a location that is visible when the wood packaging material is in use, preferably on at least 2 opposite sides of the wood packaging unit
  • the mark must not be hand drawn
• • Dunnage pieces cut before use
  • Special consideration of legible application of the mark to dunnage may be necessary because treated wood for use as dunnage may not be cut to final length until loading of a conveyance takes place. It is important that shippers ensure that all dunnage used to secure or support commodities is treated and displays the mark described in this appendix, and that the marks are clear and legible. Small pieces of wood that do not include all the required elements of the mark should not be used for dunnage.
  • Options for marking dunnage appropriately include:
    • application of the mark to pieces of wood intended for use as dunnage along their entire length at very short intervals (Note: where very small pieces are subsequently cut for use as dunnage, the cuts should be made so that an entire mark is present on the dunnage used)
    • additional application of the mark to treated dunnage in a visible location after cutting, provided that the shipper is authorized in accordance with section 4 of ISPM 15

Figure 1. Examples of acceptable variants of the required components of the mark

Import control

The preventive control plan must describe the control measures used by the designated facility to verify that discharged dunnage meets ISPM 15 requirements and CFIA's import requirements.

Product control

Designated terminals, transporters and disposal/processing facilities must describe how the dunnage will be processed to mitigate the risk of the spread of pests.

Disposal or processing of shipborne dunnage

The preventive control plan must indicate how the discharged shipborne dunnage will be disposed of or processed as per section 6.7. If procedures vary from high to low risk period, the preventive control plan must explain the differences and how the transition is made.

Designated disposal or processing facilities must submit their own preventive control plan describing all aspects of the disposal or processing procedure. All designated port terminals where shipborne dunnage is received from must be listed in the preventive control plan. If procedures vary from 1 terminal of origin to another, the preventive control plan must explain what are the differences and how these differences are operated.

Designated terminals that use another designated facility for the disposal or processing of shipborne dunnage must reference the preventive control plan of the designated facility in the disposal section of their own preventive control plan. How the facilities will communicate with each other must be described in both preventive control plans.

All employees who are involved in the Shipborne Dunnage Program must be trained in the delivery of this program and the content of the preventive control plan they must apply to fulfill their respective responsibilities.

The preventive control plan must indicate:

• the training material that is provided to the employees
• how the effectiveness of the training is monitored, verified, and maintained for all employees involved
• record of employees that have received training

The preventive control plan must detail the type of equipment used to store, move or dispose/process the dunnage. Equipment must be maintained so as to meet requirements of the Shipborne Dunnage Program.

Receipt, inspection and storage of shipborne dunnage

The preventive control plan must indicate how shipborne dunnage will be discharged and visually monitored as per section 6.3, as well as where and how it will be stored and secured as per section 6.5. The use of plans is suggested. Traceability and segregation^{Footnote 3} procedures must be detailed. Where procedures vary from high to low risk period, the preventive control plan must explain the differences and how the transition is managed.

Transport of shipborne dunnage

The preventive control plan must cover the transport of dunnage from the loading of the stored dunnage on the transport vehicle to the unloading of the shipment at destination. The preventive control plan must indicate how this will be done as per section 6.6 and must include a contingency plan to prevent the escape of pests in the event of an accident. If procedures vary from high to low risk period, the preventive control plan must explain the differences and how the transition is operated.

Movement to other countries, to other certified terminals or to disposal/processing facilities must be detailed in separate sections.

Where not covered by a designated terminal, transport companies must submit their own preventive control plan covering all aspects of the transport procedure. If a designated company is transporting shipborne dunnage for more than 1 port terminal, each terminal should be covered in a separate section. Terminals using a designated company for the transport of shipborne dunnage can refer to the preventive control plan of the designated company in the transport section of their own preventive control plan. How the facilities will communicate with each other must be described in both preventive control plans.

Traceability

The facility must include how each occurrence of discharge of dunnage is traced at each step of the process in the preventive control plan.

Control

The preventive control plan must describe how the facility will respond to a pest detection as per section 6.3.

Verification procedures

The preventive control plan must detail an internal verification procedure to ensure that the measures included in the preventive control plan are followed. The preventive control plan must identify a responsible person to conduct the verification and verification frequency.

The preventive control plan must also describe what steps will be taken following a deviation from the preventive control plan: correcting the situation, determining the cause, and preventing reoccurrence.

Records

Records are evidence that the facility has implemented the preventive controls and that they are effective to meet the phytosanitary requirements. The facility must make them available for review by the CFIA.

The facility will need to identify records and documents associated with each element, and retain them for a period of 2 years. Some examples may include:

• records of discharged dunnage in port terminals
• records of shipborne dunnage visual monitoring
• transport/shipping records
• receiving records
• records of disposal/processing
• training records
• domestic movement certificates and Permit to Import
• verification of procedures
• deviations and corrective actions taken

Amendment procedure for the preventive control plan

The preventive control plan should be reviewed on an ongoing basis by the facility staff to ensure that it properly details the procedures and processes in place, and that it effectively addresses the risk associated with shipborne dunnage. Minor changes to the preventive control plan may be done at any time, major changes to the preventive control plan that impact the integrity of the program must be submitted to the CFIA for review and approval prior to implementation.

The preventive control plan must have an amendment record.