ARCHIVED - Appendix B: Management Response and Action Plan

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Audit Report

Updated On: March 2012

Management Response

Operations Branch Management accepts the audit's findings and recommendations. Within the CFIA's overall enforcement framework, EIS is but one component of the CFIA's overall enforcement function. A renewed Compliance and Enforcement Policy has been approved that provides guidance to regulated parties and inspection personnel on enforcement action available. As part of its management response and action plan, a review of EIS' organizational structure including reporting relationships and roles/responsibilities will be undertaken that seeks to identify the organizational design that best supports consistency as well as operational effectiveness and efficiency. Once completed, a review of enabling processes including training, risk management, and information for decision will be undertaken with the objective of establishing national EIS protocols where warranted. In the meantime, EIS continues to develop national directives on policy and regulatory implementation as well investigative processes.

Recommendation 1.0:
The Vice-President of Operations should ensure that a current Compliance and Enforcement Policy and supporting strategic direction for EIS are completed and approved. Included should be a governance structure that clearly prescribes authorities, roles and responsibilities and reporting mechanisms that supports the fair and consistent application of enforcement and investigation activities across the Agency.

Planned Action or Justification for no action on the Recommendation Responsible Official Target Completion Date

The Compliance and Enforcement Policy (CEOP) was approved by Senior Management Committee in June 2010. An accompanying communications plan was also prepared and identifies the approach to rolling out the updated policy to regulated parties and inspection personnel.

The updated and modernized CEOP more clearly communicates the guiding principles as well as roles and responsibilities of regulated parties, and CFIA inspection and investigation personnel against CFIA's compliance and enforcement continuum of: generating compliance; assessing compliance and responding to non-compliance.

VP Operations Completed

A review of the EIS organizational structure is underway. The terms of reference include an assessment of the current EIS structure, its ability to respond to regional differences, and achieve consistency in application of enforcement measures. Possible alternate governance arrangements as a well as a review of organizational structures of similar federal organizations will also be presented. Based on this review, an action plan will be developed that will lead to a decision on EIS' structure.

VP Operations December 31 2012

Recommendation 2.0:
The Vice-President of Operations should develop standard operating procedures that govern the application of enforcement measures including enforcement escalation.

Planned Action or Justification for no action on the Recommendation Responsible Official Target Completion Date

The scope of an effective enforcement strategy goes well beyond EIS investigations in support of prosecutions and administrative monetary penalties, and includes enforcement activities undertaken by inspectors when non-compliance is identified. Operations Branch is leading the development of a suite of commodity-specific enforcement strategies that identify enforcement actions available to inspectors, and a risk-based matrix that provides guidance on triggers for application and escalation based on harm, history and intent of the violation.

The Strategies include: Fish and Seafood; Meat; Agrifood; Food Safety and Consumer Protection; Agricultural Inputs; and Animal and Plant Health.

These strategies will give specific guidance on the enforcement tools available to inspectors under the Agency's various programs and legislation. The objective of the strategies is to provide a framework that promotes a fair, graduated and consistent approach to addressing non-compliance identified by inspection staff.

VP Operations September 2012

With regard to standard operating procedures for EIS investigative staff, development of instructional fact sheets are ongoing as new issues arise requiring guidance or interpretation (eg. Supreme Court Decisions) National directives are also prepared by EIS-NHQ and disseminated to EIS-Areas with direction on policy/regulatory changes. Consistently applied national operating procedures for EIS will be addressed upon completion of a review of EIS' structure including roles and responsibilities.

VP Operations March 2012

Recommendation 3.0:
The Vice-President of Operations should formalize, implement and monitor a risk-based process to ensure that higher risk EIS files are given priority and that case-loads are manageable and support fair and consistent enforcement and investigation activities across the Agency.

Planned Action or Justification for no action on the Recommendation Responsible Official Target Completion Date
EIS-NHQ and EIS-Areas will develop a national approach to file triage that recognizes the harm, history and intent of the violation as well as the afforded time dictated by statue to apply either a notice of violation (AMP) or prosecution. VP Operations December 2012
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