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Compliance and Enforcement Policy

On this page

  1. Background
  2. Policy statement
  3. Policy objectives
  4. Definitions
  5. Scope
  6. Authorities
  7. Guiding principles
  8. Roles and responsibilities
  9. Reference documents
  10. Monitoring and reporting
  11. Inquiries
  12. Effective date

1.0 Background

The mandate of Canadian Food Inspection Agency (CFIA) is to safeguard food, animals and plants that enhance the health and well-being of Canada's people. CFIA achieves this mandate by setting requirements in legislation. It is the legal responsibility of regulated parties to comply with all the legislative requirements that apply to them.

This Compliance and Enforcement Policy outlines CFIA's approach to compliance with, and enforcement of, its legislation. Canadians and Canadian industry want a reliable and credible system that protects plant and animal health and food safety. There is an expectation that contraventions of the law will be met with meaningful and appropriate compliance and enforcement actions, which contributes to maintaining public trust. Compliance and enforcement actions taken by the agency are part of a continuum – CFIA's Compliance and Enforcement Continuum (for more information, please consult Appendix A), which includes:

CFIA supports compliance by providing regulated parties with the tools, resources, guidance, and services they may need to become familiar with and follow regulatory requirements. Using a risk-informed approach, the agency conducts inspections to verify that regulatory requirements are being met. When they are not, CFIA may use control actions to address any immediate risk, as well as enforcement actions once non-compliance has been determined.

CFIA strives to be transparent and accountable in how it does business. In addition to providing regulated parties with recourse options, CFIA encourages continuous feedback and dialogue.

2.0 Policy statement

CFIA takes a strategic, consistent, fair, and transparent approach to verify that its compliance and enforcement actions and decisions support the effective delivery of its mandate.

3.0 Policy objectives

The objectives of this policy are to promote:

4.0 Definitions

Definitions are included in Appendix B and a list of acronyms is provided in Appendix C.

5.0 Scope

This policy applies to the design, delivery and reporting of compliance and enforcement actions across CFIA's plant, animal and food business lines.

6.0 Authorities

CFIA is responsible for administering and/or enforcing the following Acts and their respective regulations:

7.0 Guiding principles

The following guiding principles support CFIA in achieving its compliance objectives:

Clarity

CFIA provides clear, concise and user-friendly information to regulated parties through its website and other communication activities.

Fairness, predictability and consistency

Compliance verification and enforcement program direction, guidance and procedures are applied nationally in order to achieve fairness, predictability and consistency.

Compliance verification and enforcement activities are carried out by trained, designated personnel in a manner consistent with the agency's corporate values and ethics.

CFIA adheres to a compliance continuum (see Appendix A) and this process contributes to fairness, predictability and consistency of compliance and enforcement activities.

Transparency

CFIA takes an open and transparent approach to its enforcement activities by providing Canadians with relevant, accurate and timely information on enforcement actions in a fair and consistent manner that respects legal requirements governing the public release of such information to maintain public trust.

Non-compliant regulated parties are made aware of the facts associated with violations or offences and are informed of available recourse and feedback mechanisms.

CFIA also encourages continuous feedback and dialogue through various mechanisms, including holding open consultations on its programs and services; and encouraging regulated parties to submit comments, compliments or complaints about quality of service, administrative errors or regulatory decisions to CFIA's Complaints and Appeals Office.

Risk-informed

CFIA selects the appropriate control and enforcement actions based on risk and the gravity of the non-compliance. As specific facts relating to cases of non-compliance may vary considerably, the enforcement actions applied may not be the same in each instance.

Results-oriented

Control and enforcement actions are selected to have the most positive impact on human, plant and animal health and safety outcomes based on the efficient and effective use of the agency's resources whenever appropriate and possible.

Control and enforcement actions are carried out in a timely manner.

Control and enforcement actions are undertaken, managed and documented in a manner that facilitates efficacy reviews, performance assessments and continuous improvement.

CFIA uses performance measurement information to determine whether compliance and enforcement actions are working to improve compliance whenever appropriate and possible.

Right to recourse

Various recourse and feedback mechanisms are available to regulated parties who disagree or are not satisfied with a decision made by CFIA as set out under the law, including legislation that is administered and enforced by the agency. Possible options available include:

8.0 Roles and responsibilities

8.1 Differentiating between inspection and investigation

One of the most important distinctions in compliance and enforcement is the difference between "inspection" and "investigation", which must be treated as different and independent activities.

a) Inspection

Inspections are conducted by inspectors and veterinary inspectors with the predominant purpose of verifying compliance with legislation enforced by CFIA. When conducting inspections, inspectors and veterinary inspectors, who are designated under the Canadian Food Inspection Agency Act, exercise the authorities conferred on them by the relevant legislation to determine whether regulated parties and their products are in compliance with that legislation. If the information obtained indicates that there is non-compliance, enforcement action may be undertaken or the matter may be referred for further evaluation and/or investigation.

b) Investigation

For the purpose of this policy, an investigation is where the main purpose of an inquiry by a CFIA official is for the determination of penal liability. Investigations are carried out by Investigation Specialists whose predominant purpose is to gather and secure evidence.

8.2 Regulated parties

Regulated parties are responsible for ensuring safety and compliance of their activities, processes and products. Therefore, regulated parties need to become familiar and comply with legislative requirements. Regulated parties are also responsible for their actions and are required by legislation to provide reasonable assistance to CFIA inspection personnel to enable them to carry out their duties and functions. Failure to do so may result in enforcement action due to obstruction of an inspector acting in the course of their duties, or due to the provision of false or misleading information to them.

8.3 CFIA enforcement officials

CFIA enforcement officials include inspectors and veterinary inspectors, investigators and investigation specialists, as well as officials of other agencies or departments who are designated to enforce CFIA legislation.

a) Inspectors and veterinary inspectors

Inspectors and veterinary inspectors are individuals who have been designated to enforce legislation for which CFIA is responsible. Examples of duties undertaken by inspectors and veterinary inspectors include:

b) Investigators and investigation specialists

CFIA investigators and investigation specialists generally conduct investigations for the purpose of gathering evidence that may lead to more serious enforcement actions, up to and including prosecution. They have expertise in investigation procedures and techniques, including:

CFIA investigators and investigation specialists respect requirements outlined in the Canadian Charter of Rights and Freedoms, the Canada Evidence Act, the Criminal Code of Canada and other relevant federal legislation when conducting their duties. Moreover, they generally:

c) CFIA management executives

Classes of CFIA management executives have been delegated ministerial and presidential authorities to:

8.4 Other CFIA officials

Analysts and graders provide information used by CFIA enforcement officials to support regulatory decision-making.

a) CFIA analysts

b) CFIA graders

c) Other CFIA officials

8.5 Other agencies

Under certain circumstances the CFIA collaborates with other departments and agencies to enforce its legislation. One example is the Canada Border Services Agency (CBSA), which is responsible under the Canada Border Services Agency Act for the enforcement of the CFIA's food, animal and plant-related legislation at airports and other Canadian border points, other than import service centres.

8.6 Public Prosecution Service of Canada

The Public Prosecution Service of Canada (PPSC) is responsible for all prosecutions arising out of violations of the Acts administered and enforced by CFIA.

PPSC provides advice to law enforcement agencies such as CFIA, as well as advice and assistance to investigators at the investigative stage. They work closely with various law enforcement agencies and take their input into account when considering if prosecution is warranted.

9.0 Reference documents

9.1 Related policies and direction

9.2 Related Resources for CFIA employees

10.0 Monitoring and reporting

The Compliance and Enforcement Policy will be reviewed to evaluate its implementation and success in achieving its stated objectives (refer to policy objectives) to confirm its continued applicability. The review will occur at least once every five years. Results of reviews will be reported to the Business, Innovation, Policy and Planning Committee (BIPPC) and Senior Management Committee (SMC).

Updates and revisions will be made to reflect significant changes to CFIA's legislation or organizational structure or as deemed necessary due to the review outcomes.

11.0 Inquiries

For general matters related to Compliance Promotion, please contact:
Executive Director
Engagement, Corporate & e-Communications Directorate
Communications and Public Affairs Branch
Email: cfia.outreach-sensibilisation.acia@inspection.gc.ca

For general questions related to Compliance Verification and Regulatory Response, please Contact CFIA online.

For guidance and clarification on specific enforcement matters, please contact your local CFIA office.

For general matters regarding the Compliance and Enforcement Policy, please contact:
Director
Program Policy Integration Division
Policy and Regulatory Affairs Directorate
Policy and Programs Branch
E-mail: cfia.programpolicy-politiqueprogramme.acia@canada.ca

12.0 Effective date

This policy comes into effect on November 1, 2020.

Approval

The Compliance and Enforcement Policy has been approved by the President.

Dr. Siddika Mithani

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Signature

September 18, 2020

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Date

Appendix A – CFIA's compliance and enforcement continuum

1.0 CFIA's compliance and enforcement continuum

CFIA's Compliance and Enforcement Policy is based on the concept of a continuum, which includes: compliance promotion, monitoring and assessment (compliance verification), response to risk and non-compliance (regulatory response), and provision to regulated parties of information with respect to recourse and feedback mechanisms as illustrated in Figure 1.

Figure 1: CFIA compliance continuum
 Figure 1: CFIA compliance continuum
CFIA compliance continuum

The CFIA sets regulatory requirements, verifies that industry follows them, and acts when they do not.

  • Industry is responsible for meeting federal requirements
  • Provinces and territories enforce regulations under their jurisdiction

Promoting compliance

  • The CFIA provides products and services to help industry understand and follow regulations

Verifying compliance

  • The CFIA conducts inspections to check that requirements are being met
  • When and where to inspect is based on risk information

Compliant

  • Business as usual!

Non-compliant

  • The CFIA takes action to control immediate risk, and may choose from various enforcement options to compel a regulated party back into compliance

Responding to non-compliance

  • Applying control measures
    • These address an immediate risk to human, plant or animal health or the environment
  • Taking enforcement actions
    • Depending on the situation, the CFIA can send a written notice, issue an administrative monetary penalty or suspend a facility registration

Compliant

  • Industry takes corrective action to achieve compliance
  • Business as usual

Offering recourse*

  • As provided by law, a regulated party may challenge the CFIA's regulatory response

*Next steps are determined by the outcome of the recourse decision

Examples of actions and tools for each continuum category are listed in table 1 below.

Table 1: Compliance promotion, compliance verification, regulatory response, and recourse activities of the compliance and enforcement continuum
Continuum category Actions and tools
Compliance promotion

Technical support

  • Clearly outlined compliance requirements
  • Well-established, effective practices or procedures that the regulated party may use to meet a required outcome
  • Guidance documents for stakeholders
  • On-line tools (for example, Industry Labelling Tool, Automated Import Reference System (AIRS))
  • AskCFIA (for food-related regulatory questions)

Communication

  • Information material (for example, videos, infographics, fact sheets, industry notices, etc.)
  • Information sessions, webinars, etc.
  • Consultations with regulated parties
  • CFIA website and social media (Facebook, Twitter, LinkedIn)

Other incentives

Compliance verification
  • Inspections
  • Verifications
  • Monitoring
  • Grading
  • Analyses
  • Sampling
  • Feedback
Regulatory response

Control actions

  • Seize and detain
  • Start or stop an activity
  • Forfeiture
  • Confiscation
  • Quarantine
  • Refuse entry
  • Order removal from Canada
  • Injunction
  • Restrict or prohibit movement
  • Recall
  • Dispose or destroy
  • Refuse to issue certificate
  • Add conditions to a permission Table Note 1
  • Treatment

Administrative actions

  • Letter/Notice of Non-Compliance
  • Meeting with the regulated party

Enforcement actions

  • Administrative Monetary Penalties (AMPS)
  • Actions taken against permissions
  • Recommend prosecution
Recourse and feedback mechanisms
  • Re-inspection
  • Complaints
  • Appeals
  • Judicial review

Table Note

Table Note 1

Permission includes licence, registration, permit, and certification.

Return to table note 1  referrer

Note

This table represents some of the responses available to CFIA. The agency will select the most appropriate response to address risk and/or non-compliance.

Continuum categories

Appendix B - Definition list

Administrative Monetary Penalty (AMP)
is served on a regulated party in the form of a Notice of Violation with warning or with penalty. AMPs with financial penalty to individuals can range from $500 to $1,300. Violations committed in the course of business or in order to obtain a financial benefit can result in financial penalties ranging from $1,300 for minor violations to $15,000 for very serious violations.
Compliance
is the state of conformity of regulated parties with legislative requirements.
Compliance promotion
is any activity that supports, motivates or encourages compliance with legislation that CFIA enforces. This includes accessible plain-language tools, products, services and guidance to increase awareness and understanding of regulations, that help regulated parties implement regulatory requirements.
Contravention
refers to non-compliance with the requirements of CFIA's legislation.
Control action
is an action that is taken for the purpose of controlling risk when a regulated commodity, process or thing poses or may pose a risk to human, plant or animal health, the environment, economy or trade.
Enforcement action
is an action taken by CFIA in response to non-compliance.
Enforcement officials
at CFIA include inspectors, veterinary inspectors and officials of other agencies or departments who are designated to enforce CFIA legislation. It also includes EIS investigators and investigation specialists who are designated inspectors with the responsibility for conducting investigations for the purpose of enforcing CFIA's legislation.
Hazard
a potential source of harm, and can be biological, chemical or physical.
Information tool
is used in reference to any form of industry communication, including, but not limited to: model systems, interpretive guidance, letters, pamphlets, brochures, communiqués, guidelines, presentations and e-mail notifications.
Inspections
are conducted by inspectors and veterinary inspectors with the predominant purpose of verifying compliance with legislation enforced by CFIA. When conducting inspections, inspectors and veterinary inspectors, who are designated under the Canadian Food Inspection Agency Act, exercise the authorities conferred on them by the relevant legislation to determine whether regulated parties and their products are in compliance with that legislation. If the information obtained indicates that there is non-compliance, enforcement action may be undertaken or the matter may be referred for further evaluation and/or investigation.
Inspector
is an individual who has been designated under the CFIA Act to enforce CFIA legislation.
Inspection report
is the primary mechanism by which CFIA communicates non-compliance to the regulated party.
Investigation
for the purpose of this policy, is where the main purpose of an inquiry by a CFIA official is for the determination of penal liability. Investigations are carried out by Investigation Specialists whose predominant purpose is to gather and secure evidence.
Legislation
can refer to an Act or its regulations.
Non-compliance
is a contravention of the applicable Acts and/or Regulations.
Permission
is an official consent granting legal authorization to a regulated party to conduct specified activities (permits, certificates, licences, authorizations, and registrations).
Regulated party
refers to an individual or business entity undertaking activities that are regulated by CFIA legislation.
Regulated product/thing
for which legislation is enforced by CFIA applies.
Regulatory response
is an action taken in response to non-compliance or risk.
Risk
is the product of the likelihood of the occurrence of a hazard, and the severity of its consequences.
Violation
is any contravention of an Agri-Food Act or its regulations that may be proceeded with in accordance with the Agriculture and Agri-Food Administrative Monetary Penalties Act and result in the issuance of a Notice of Violation with warning or penalty.

Appendix C - Acronyms

AMP
Administrative Monetary Penalty
AAAMPs Act
Agriculture and Agri-Food Administrative Monetary Penalties Act
CART
Canadian Agricultural Review Tribunal
CBSA
Canada Border Services Agency
CFIA
Canadian Food Inspection Agency
EIS
Enforcement and Investigation Services
NOV
Notice of Violation
PPSC
Public Prosecution Service of Canada
SIP
Standard Inspection Procedure
SRRP
Standard Regulatory Response Procedure
SPP
Standard Permissions Procedure
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