CHAPTER 3 - ENFORCEMENT & COMPLIANCE ACTIONS

• 3.1 SCOPE
• 3.2 AUTHORITIES
• 3.3 RESPONSIBILITY FOR ENFORCEMENT ACTIONS
• 3.4 GENERAL ENFORCEMENT AND COMPLIANCE PRINCIPLES
• 3.5 INSPECTION POWERS AND AUTHORITIES
  • 3.5.1 Canada Agricultural Products Act
  • 3.5.2 Honey Regulations
  • 3.5.3 Food and Drugs Act
  • 3.5.4 Consumer Packaging and Labelling Act
  • 3.5.5 Indirect Powers
  • 3.5.6 Direct Powers
• 3.6 RESPONSES TO NON-COMPLIANCE
  • 3.6.1 Warning
  • 3.6.2 Prosecution Action
  • 3.6.3 Product Detention
  • 3.6.4 Forfeiture and Disposal
• 3.7 DE-REGISTRATION SITUATIONS
  • 3.7.1 Establishment Closure
  • 3.7.2 Failure to Pay Annual Registration Fees
  • 3.7.3 Critical Deficiencies of Public Health Significance
  • 3.7.4 Continuous Deficiencies to the Regulations
  • 3.7.5 Change in Owner/Operator
  • 3.7.6 False or Misleading Information on Application for Registration
• 3.8 SUSPENSION AND CANCELLATION OF REGISTRATION
  • 3.8.1 Regulatory Authority
  • 3.8.2 Steps for Suspension of Registration
  • 3.8.3 Steps for Cancellation
    • 3.8.3.1 Letter of Intent to Cancel
    • 3.8.3.2 Hearing
    • 3.8.3.3 Hearing Decision
    • 3.8.3.4 Notice of Cancellation
    • 3.8.3.5 Decision not to Cancel - Lifting of Suspension
    • 3.8.3.6 Other

APPENDICES

• Appendix 1 - Covering Letter Example - Establishment Closure
• Appendix 2 - Covering Letter Example - Final Notice - Expiry of Registration
• Appendix 3 - Covering Letter Example - Registration Expired
• Appendix 4 - Covering Letter Example - Does Not Wish to Renew
• Appendix 5 - Covering Letter Example - Change of Ownership
• Appendix 6 - Covering Letter Example - Notice of Suspension
• Appendix 7 - Covering Letter Example - Lifting of Suspension
• Appendix 8 - Covering Letter Example - Intent to Cancel
• Appendix 9 - Covering Letter Example - Hearing Confirmation
• Appendix 10 - Covering Letter Example - Hearing Decision - Notice of Cancellation
• Appendix 11 - Covering Letter Example - Hearing Decision - Lifting of Suspension
• Appendix 12 - Deregistration Flow Diagram

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3.1 SCOPE

This Compliance and Enforcement Strategy provides a framework that outlines the principles and actions that will be followed by Canadian Food Inspection Agency (CFIA) inspectors in verifying that registered establishments operate in compliance with the Canada Agricultural Products Act (CAP Act), Honey Regulations (HR), and other applicable legislation. This program specific strategy is consistent with the CFIA's revised Enforcement and Compliance Policy developed and maintained by the Enforcement and Investigation Services (EIS) Directorate. The CFIA Enforcement and Compliance Policy provides the overarching policy for enforcement and compliance activities across all commodity programs.

Compliance is normally achieved through a co-operative approach between the regulated party and the CFIA in correcting non-conformities through the development of appropriate Corrective Action Plans or other methods. However, when this co-operative approach has ceased, or when the regulated party is incapable of correcting non-conformities, this Compliance and Enforcement Strategy provides CFIA staff with enforcement options that are to be used in responding to infractions of the Canada Agricultural Products Act (CAP Act), the Honey Regulations (HR) and other relevant applicable legislation. This policy also defines discretionary parameters for inspectors and establishes principles for fair and consistent enforcement.

3.2 AUTHORITIES

Canada Agricultural Products Act, R.S., c. 20
Honey Regulations, C.R.C., c. 287
Food and Drugs Act, R.S., c. F-27
Food and Drug Regulations, C.R.C., c. 870
Consumer Packaging and Labelling Act, R.S., c. 38
Consumer Packaging and Labelling Regulations, C.R.C., c. 417

All inspectors delivering the honey program must be designated under these acts.

3.3 RESPONSIBILITY FOR ENFORCEMENT ACTIONS

CFIA Area Executive Directors are accountable for enforcement actions taken in their respective Areas. They are also responsible for the approval of all recommendations to prosecute. The Regional Director must also be consulted and informed when significant enforcement actions are being considered. The Director, Food of Animal Origin Division, is responsible for enforcement actions taken in his/her respective area of concern including refusal, suspension and cancellation of certificates of registration. The accountability process for enforcement action is outlined in Chapter 15 of the Enforcement and Compliance Policy.

3.4 GENERAL ENFORCEMENT AND COMPLIANCE PRINCIPLES

The CFIA will encourage compliance with the CAP Act, HR and other applicable legislation through consultation, education and enforcement. These activities are based on the following guiding principles:

• Honey and honey products in Canada must comply with applicable legislation;
• Application and enforcement of the CAP Act, HR and other applicable legislation are to be carried out in a fair, consistent and uniform manner in accordance with this strategy and the CFIA's Enforcement and Compliance Policy;
• CFIA inspectors, who are fully conversant with the CAP Act, HR and other applicable legislation, will conduct inspections, audits, compliance and enforcement and other regulatory activities;
• CFIA inspectors will consider the facts and circumstances of non-compliance incidents with objectivity and take appropriate corrective action;
• CFIA inspectors will take an active role in promoting and monitoring compliance and responding to non-compliance;
• Education measures used to promote compliance will include the publication of information and consultation with regulated parties. CFIA inspectors administering and enforcing legislation and the regulated parties who must comply with the legislation, need to understand why legislation exists, why compliance is necessary, and how enforcement will be carried out; and
• CFIA inspectors will be available to explain the requirements of the legislation and maintain open lines of communication to regulated parties and communicate to CFIA management the comments and concerns raised by the regulated parties.

3.5 INSPECTION POWERS AND AUTHORITIES

The following sub-sections identify the appropriate legal authorities that are available to inspectors designated under the CAP Act, the Honey Regulations, the Food and Drugs Act, and the Consumer Packaging and Labelling Act. Inspectors may only exercise powers under acts for which they are designated. An inspector must ensure he/she is designated under the appropriate act for the activity being undertaken.

3.5.1 Canada Agricultural Products Act (Sections 19 to 27)

The powers of the inspector are described in Sections 21 to 27 of the Canada Agricultural Products Act. The following table provides a summary of those sections. Inspectors are designated by the President of the CFIA pursuant to section 19, to enforce the provisions of the Canada Agricultural Products Act and the Honey Regulations.

Powers of Inspectors and Related Provisions - the Canada Agricultural Product Act

	PROVISION - CAPA	SECTION
a)	Designation of Inspectors	19
b)	Requirement for a certificate to be produced	19(2)
c)	Provisions regarding obstruction, false statements and interference	19(4)
d)	Provision that exempts removal, alteration or interference of things seized or detained	19(5)
e)	Designation of methods and equipment	20
f)	Power of entry	21(1)(a)
g)	Power to open any container	21(1)(a)
h)	Power to inspect and to take samples	21(1)(b)
i)	Power to examine and make copies of documents and records	21(1)(c) 21(2) (a), (b) and (c)
j)	Provisions regarding assistance to an inspector	21(3)
k)	Power to enter a dwelling house	22(1), (2) and (3)
l)	Requirement for a warrant to enter a dwelling house	22(1), 22(2) (a) (b) and (c) and 22(3)
m)	Provision for assistance by a peace officer	22(4)
n)	Power to seize and detain	23
o)	Power to enter and search	24(1)
p)	Provision to seize agricultural products or things in addition to those listed on a warrant in 24(1)	24(2)
q)	Provision on timing of execution of warrant	24(3)
r)	Provision to exercise powers without a warrant	24(4)
s)	Provisions for storage and removal of seized articles	25(1)
t)	Provision to dispose of or destroy	25(2)
u)	Provisions for release of seized articles	26
v)	Provisions for time limitations of detention - 180 days	27
w)	Provision to require importer to remove from Canada	30(1)
x)	Provision for product to be forfeited if not removed from the country within 90 days	30(2)

3.5.2 Honey Regulations

The powers of the Inspector, Director and Minister are described in various places in the Honey Regulations. The following table provides a summary of those sections Inspectors are designated by the President of the CFIA pursuant to section 19, to enforce the provisions of the Canada Agricultural Products Act and the Honey Regulations.

Powers of Inspectors and Related Provisions - the Honey Regulations

	PROVISION - HR	SECTION
a)	Direct that honey be disposed of or destroyed - Inspector	4.3
b)	Register the establishment - Director	10(2)
c)	Suspend Registration - Director	12(1)
d)	Cancellation of Registration - Director	13(1)
e)	Require owner /operator to have an employee medically examined - Inspector	17(2)
f)	Permit the sale of honey packed in novelty containers of non-standard sizes. - Minister	29(4)
g)	Authorization of experimental use size containers - Minister	31
h)	Grant an appeal inspection of honey - Director	40(1)
i)	Affix a detention tag - Inspector	55(1)
j)	Release detained product - Inspector	58

3.5.3 Food and Drugs Act (Section 23 to 27, A.01.026 of the Regulations)

The powers of the inspector are described in Sections 23 to 27 of the Food and Drugs Act. The following table provides a summary of those sections and section 22. Inspectors are designated by the President of the CFIA pursuant to section 22, to enforce the provisions of the Food and Drugs Act and Regulations, which now include the nutrition labelling requirements.

Powers of Inspectors and Related Provisions - Food and Drugs Act

	PROVISION - FDA	SECTION
a)	Designation of Inspectors	22(1)
b)	Requirement for a certificate to be produced	22(2)
c)	Power of entry	23(1) 23(1)(a.1)
d)	Power to enter a dwelling house	23(1.1)
e)	Power to examine and to take samples	23(1)(a.1) 23(2)
f)	Power to open container packages	23(1)(b)
g)	Power to examine and make copies of documents	23(1)(c)
h)	Power to seize and detain	23(1)(d)
i)	Requirement for a warrant to enter a dwelling house	23(1.2) 23(1.3)
j)	Provisions regarding obstruction, false statements and interference	24(1) 24(2)
k)	Provisions for storage and removal of seized articles	25
l)	Provisions for release of seized articles	26

3.5.4 Consumer Packaging and Labelling Act (section 13 to 17)

The powers of the inspector are described in Sections 13 to 17 of the Consumer Packaging and Labelling Act. The following table provides a summary of those sections. Inspectors are designated by the President of the CFIA pursuant to section 13, to enforce the provisions of the Powers of Inspectors and Related Provisions - Consumer Packaging and Labelling Act.

Powers of Inspectors and Related Provisions - the Consumer Packaging and Labelling Act

	PROVISION - CPLA	SECTION
a)	Designation of Inspectors	13(1)
b)	Requirement for a certificate to be produced	13(1)
c)	Power of entry	13(2)
d)	Power to examine prepackaged products	13(2)(a)
e)	Power to open and examine any package	13(2)(b)
f)	Power to examine and make copies of documents	13(2)(c)
g)	Power to enter a dwelling house	13(2.2)
h)	Requirement for a warrant to enter a dwelling house	12(2.2)
i)	Provision for use of force and assistance of a peace officer	13(2.3) 21(2) (a), (b) and (c)
j)	Provision to provide reasonable assistance to an inspector	13(3)
k)	Provisions regarding obstruction, false statements and interference	14(1)
l)	Provision that exempts removal, alteration or interference of things seized or detained	14(2)
m)	Power to examine and sample	14(3)
n)	Power to seize and detain and limitations	15(1), 15(2)
o)	Notification to person of provision contravened	15(3)
p)	Detention limitation	15(4)
q)	Provisions for storage and removal of seized articles	15(5)
r)	Provision for extension of detention	16(1), (20) (3) and (4)
s)	Provisions for forfeiture	17(1)
t)	Provision for forfeiture or other disposal on conviction	17(2)
u)	Provisions for release of seized articles	17(3)

3.5.5 Indirect Powers

All three acts as referenced above require that reasonable assistance will be provided to an inspector, or any person acting under the authority of the inspector, by the owner or person in charge of a place, including a conveyance, and every person found in the place that is entered by an inspector. In addition, they will also provide the inspector with any information relevant to the administration of any of the CFIA's Acts.

3.5.6 Direct Powers

During the course of an inspection of a honey establishment, inspectors have the power and authority to respond to non compliance. They may:

1. recommend withdrawal of registration (Section 12 of the Honey Regulations gives authority to the Director);
2. seize and detain products or other things (CAP Act section 23 and FDA section 23(1)(d));
3. restrict or prohibit the movement of products regulated by the CFIA (CAP Act 19 (5));
4. order the removal of imports from Canada (CAP Act section 30(1));
5. order the forfeiture of seized products not removed from country (CAP Act section 30(2)) - (to be exercised only after a review of the facts and a determination by appropriate managers that this is justified);
6. order the disposal of products (CAP Act section 25(2)) -(to be exercised only after a review of the facts and a determination by appropriate managers that this is justified, or upon receipt of a court order and with consultation with appropriate CFIA management).

3.6 RESPONSES TO NON-COMPLIANCE

Where CFIA inspectors have reasonable grounds to believe there has been a contravention of the CAP Act, the HR or other applicable legislation, they will conduct inspections to determine the facts of the alleged infraction(s). Inspectors and Inspection Managers may seek the advice, guidance and assistance of the Enforcement and Investigation Services, Area Manager or Investigation Specialist, particularly in instances involving circumstances of a complex nature that require specialized investigational expertise. If the facts show that enforcement action is warranted, the inspector shall continue with completing the inspection, make detailed notes of activities and findings related to the non-compliance, copy relevant documents and take samples or photos as appropriate. The inspector shall place all of the relevant information and documents pertaining to the non-compliance in an incident file to be kept by the inspector in a secure place. Once non-compliance has been verified, the inspector will complete an Inspector Non-Compliance Report (CFIA /ACIA 5046 2000\08) along with copies of the supporting documents from the incident file and submit it to their Inspection Manager and Enforcement and Investigation Services. The Inspection Manager is responsible for initiating enforcement action. The Inspection Manager consults with the Area Operations Co-ordinator, Regional Operations Officers, Area Program Network Specialist and Area Program Network Director, who provide advice and guidance on program policies and guidelines. The Inspection Manager may also consult with the Enforcement and Investigation Services, Investigation Specialist, who can provide advice and guidance on enforcement policies, procedures and issues, to determine what enforcement action, if any, should be carried out.

Instances of non-compliance will be evaluated by Enforcement and Investigation Services, prior to proceeding with enforcement action. The following factors, along with other applicable information, will be considered when deciding upon the most appropriate action:

• the offender's history of compliance with the legislation;
• a willingness to achieve compliance;
• evidence of corrective action taken;
• the intent of the non-compliant party (alleged violator); and
• the seriousness of harm or potential harm.

3.6.1 Warning

A written warning letter may be used in instances where the non-compliance is unintentional, easily corrected, the regulated party demonstrates due diligence and the individual or company has made reasonable efforts to remedy or mitigate the consequences of the contravention and compliance has been achieved.

3.6.2 Prosecution Action

Prosecutions shall be considered for offences under the Acts and regulations enforced by the CFIA except where, in accordance with the enforcement and compliance policy, it has been determined that:

1. warning under this policy is the most effective means of achieving compliance; or
2. registration suspension or cancellation is the most effective means of achieving compliance

If the offence involves the following, then prosecution may be pursued:

1. death of, or injury to, a person and the evidence indicates that the death or injury was directly attributed to failure to comply with any of the provisions of the Acts or regulations administered and/or enforced by the CFIA;
2. demonstrable harm or risk to the environment;
3. risk to the health and safety of humans, animals or plants (propagated material)
4. the prohibited sale of food;
5. the unsafe manufacturing of food;
6. economic fraud (i.e. economic adulteration);
7. forging, altering or tampering with an inspection certificate/documents;
8. knowingly providing false or misleading information, or making a false or misleading statement to an inspector;
9. obstructing or interfering with an inspector exercising his/her powers or carrying out his/her duties and functions;
10. removing, altering or interfering with any thing seized and detained or the movement of which is restricted or prohibited;
11. producing records, documents or electronic data that knowingly contains false or misleading information;
12. refusal to comply with the directions of an inspector, a detention order or a recall order; or
13. a conviction for a previous similar offence, a repeated offence or a continuing offence.

The Acts administered by the CFIA allow offences to be prosecuted by either summary conviction or as an indictable offence. It is determined by the Crown prosecutor whether to prosecute by way of summary conviction or indictment.

3.6.3 Product Detention

Detention of product is considered one of the most expeditious and effective tools to promote compliance. An inspector has the authority, under Section 23 of the CAP Act, to seize and detain non-compliant agricultural products. The detention of agricultural products or other things is appropriate when a violation is suspected and when:

1. the violation poses a health and safety risk;
2. the violation creates unfair competition to other compliant products; or
3. the person demonstrates an unwillingness to comply by failing to remove the product from the market or failing to take corrective action to bring the product into compliance.
4. the product has been illegally imported into Canada (for the purposes of the Honey Regulations, this would apply to products in violation of section 47. Illegally imported products that cannot be brought into compliance would be detained and could be ordered removed from Canada pursuant to section 30 of the CAP Act. or
5. the product is not in compliance with the CAP Act and/or HR.

Detention of the products can be maintained until:

1. the product is brought into compliance, disposed of voluntarily or removed from Canada;
2. court proceedings have been instituted; (Once court proceedings have been started, section 25(1)(b) no longer applies and the detention is maintained until the conclusion of the case and disposition of the detained product is decided by the court), or
3. the statutory time limitation, if applicable, expires (Subsection 27(1), CAP Act allows for 180 days, unless legal proceedings have been initiated).

3.6.4 Forfeiture and Disposal

Forfeiture can occur in the following instances:

1. where imported non-compliant products are not removed from Canada as instructed by an inspector (Section 30, CAP Act);
2. when a person consents to forfeiture; or
3. when the Court makes such an order (Section 29(1) , CAP Act)

Forfeited products will be disposed of as provided for by the Court, or as directed by the Minister where provided for in the Acts. This will be at the expense of the person from whom the product was seized.

The CAP Act (Section 29.(1) allows for the disposal of a seized product that have been forfeited. Municipal and Provincial jurisdiction regarding disposal of product will be respected.

3.7 DE-REGISTRATION SITUATIONS

There are six circumstances where deregistration procedures will be considered:

1. establishment closure, for reasons such as fire, flood but not including labour management disputes;
2. failure to pay fees;
3. critical problems of a public health significance;
4. serious or continuous violations to the Act and/or Regulations;
5. change in ownership that involves a change in management; or
6. application for registration contains false and misleading information.

3.7.1 Establishment Closure

Where a registered establishment closes due to a decision of the operators and owners (e.g. bankruptcy), the responsible inspector will inform operations management and the Area Program Network Specialist. The Chief, Honey Program, must be informed as soon as possible by the Area Program Network staff. It is the inspector's responsibility to verify that the registration certificate is removed from the establishment. The Area Program Network Specialist will ensure that the establishment's management is informed of implications of the cancellation of the registration. (Appendix 1). The Client Management System (CMS) will be updated to indicate the inactive status of the establishment. The Area Program Network Specialist will ensure that the name and address of that establishment is removed from the central list of registered establishments. The registration number normally will be held (e.g. not re-issued) for a period of two (2) years to avoid any possible confusion.

3.7.2 Failure to Pay Annual Registration Fees

The Certificate of Registration remains in force for the 12 month period following issuance (Section 10(3) of the Honey Regulations). See also Chapter 1 - Section 1.5.5 (Registration Renewal Procedure).

If the renewal paperwork and payment are not received within 2 weeks of the expiration date, the Area Program Specialist may contact the Accounts Receivable office for follow up on invoice payment. The appropriate operations contact in each Region is advised of the pending late payment by the Area Program Network Specialist. The responsible inspector or his/her supervisor will contact (verbal or written) the establishment to remind them of the consequences of non renewal.

If the establishment wishes to renew the registration but the money is not received within 1 week of expiration date, the letter "Final Notice- Expiry of Registration" (Appendix 2) is sent to the establishment. If the application and payment are still not received within three weeks after the expiry date, a "Registration Expired" letter (Appendix 3) is issued to the establishment via registered mail (original copy), with copies sent to the appropriate contacts. Any payments received after the letter "Registration Expired" was sent out, will be deemed to be a new application for registration.

If, when contacted, the owner/operator indicates that he/she does not wish to renew the registration, (i.e. no longer producing products regulated under HR or not shipping inter-provincially) the inspector/supervisor will request confirmation in writing. This written confirmation will be forwarded to the Area Program Specialist so that a "Does Not Wish to Renew " letter (Appendix 4) can be prepared and sent out prior to the expiration date.

The Area Program Network Specialist updates CMS to indicate the inactive status of the establishment. The name and address of the establishment will be removed from the central list of registered establishments and the registration number will be held (not reissued) for a period of two (2) years.

3.7.3 Critical Deficiencies of Public Health Significance (Category I)

Where an inspection of a registered establishment determines that the Act and/or Regulations are being violated to the extent that there is a risk to public health and the operator fails or is unable, to take immediate corrective actions (as evidenced by an unacceptable follow up inspection), steps to suspend the registration will be taken (see section 3.8.2). Cancellation of registration procedures may also be initiated (see section 3.8.3).

3.7.4 Continuous Deficiencies to the Regulations (Category II and/or III)

Where an in-depth and follow-up inspection of a registered establishment results in an unsatisfactory rating (less than 75% Cat II and 65% Cat III), the documented results of the inspections may be used to suspend registration (see section 3.8.2)

3.7.5 Change in Owner/Operator

Section 11(2) of the Honey Regulations states that the certificate of registration cannot be transferred to any other person. Section 13(1)(b) gives the Director the authority to cancel the registration.

A change in owner/operator of the establishment requires that the existing registration be cancelled and a new application for registration be made. In this case, suspension of registration is not required prior to cancellation.

The non-transferability of registration should be stated to the new owners by the previous owners as the business transaction is being finalized. CFIA should be contacted by the new owners. However, when inspection staff become aware of a change in ownership after the fact, the new owners must be advised of the requirement for a new application for registration. This process will require procedures to be followed as outlined in Section 1.3 of Chapter 1. Normally, a new registration number is issued, however, the existing registration number may be retained upon agreement of the previous owner/operator. Inspection staff should advise the Area Program Network Specialist who will issue a letter "Change of Ownership" (Appendix 5) to the former owner(s)/operator(s) of the establishment.

3.7.6 False or Misleading Information on Application for Registration

If there is evidence that false or misleading information has been provided as part of the application for registration, the matter should be discussed with the Inspection Manager, Enforcement and Investigation Services and/or Legal Services.

When it is determined that the application for registration contains false and misleading information the certificate of registration shall be cancelled. In this case no suspension is required prior to cancellation.

3.8 SUSPENSION AND CANCELLATION OF REGISTRATION

3.8.1 Subsection 12 (1), (2) and (3) of the Honey Regulations states:

Subsection 13 (1), (1.1) and (2) of the Honey Regulations states:

3.8.2 Steps for Suspension of Registration

For any unsatisfactory establishment inspection (in-depth, follow-up or directed/GMP) where the evidence shows that allowing the establishment to continue operating would constitute a public health hazard, or where repeated inspections and follow-ups demonstrate chronic inaction/non-compliance occurs, the following procedures must be followed:

1. the Inspection Manager is consulted (by regional inspection staff) before suspension. It is the Inspection Manager's responsibility to notify senior CFIA management (area executive director, area program specialist, area network director, etc.).
2. any product(s) posing a health and safety risk is (are) immediately detained; and any product on the market is evaluated for recall in conjunction with OFSR.
3. all regulatory conditions required to suspend registration must be followed as indicated below (assistance and supervision by management/specialists is required):

Regulatory Conditions 12.(2) Only the Director may suspend registration when all of the following conditions are met	Required Action (Inspector and Management/Program team)
a) the inspector has, at the time of the inspection, notified the operator of the existence of grounds for suspension (this inspection must reflect current conditions in the establishment)	During the exit meeting with management, the inspector(s) must review the inspection and highlight the unsatisfactory conditions (Chapter 2 - 2.4.3). Specific reference must be made to the unsatisfactory condition(s) for which suspension might be based (public health hazard and/or chronic inaction/non-compliance) and the regulatory conditions which are not met. The inspector must document the basic details to validate that this was done for his/her own record.
b) an inspector has provided the operator with a copy of an inspection report that sets out the grounds for suspension, the required corrective measures and the dates by which those measures must be implemented	The MCAP Outstanding Task Worksheet, or the Directed/GMP Inspection Worksheet can be used as the basis for this requirement. (The team must decide in advance what minimum outstanding tasks must be corrected) For each of these tasks, the regulatory reference must be stated. A statement must be made stating that corrective measures are required, as well as a target date (within 30 days).
c) a notice of suspension of registration is delivered to the operator	Once the above required conditions are documented, the HQ Chief/National Manager must be copied. A Notice of Suspension will be prepared for the Director - Food of Animal Origin Division's signature. This Notice (letter) will be personally delivered to the operator by the inspector or couriered for acceptance by the operator so delivery can be proven. (Appendix # 6).

Once an establishment is suspended other CFIA regions are notified so that interprovincial shipments of product can be monitored. If the establishment continues to operate within the province after suspension of registration, the appropriate CFIA officials responsible for non registered establishments and provincial and municipal authorities will be notified that the establishment no longer falls under federal registration requirements. If the party has labels that include such things as federal grades, or an establishment number, then they can no longer be used. It is important that those consequences of the suspension are stated in the notice/letter of suspension as well. At the time of suspension the Certificate of Registration must also be surrendered by the establishment.

The inspector verifies and documents whether the operator has taken the corrective measures required by the specified dates. If within 30 days of suspension (or other agreed upon time) the establishment does not correct the minimum outstanding tasks, then a member of the management/program team notifies the Director, Food of Animal Origin Division to initiate steps for cancellation of registration.

If the corrective measures required have been taken then suspension will be lifted and the certificate of registration is returned to the operator (Appendix 7).

3.8.3 Steps for Cancellation

3.8.3.1 Letter of Intent to Cancel

The Director, after consultation with Headquarter Officers and Area officials, will notify the Regional Executive Director to continue cancellation procedures. The inspection manager will send a letter to the operator of the establishment indicating that a recommendation for cancellation is being considered and arrangements will be made for a hearing prior to cancellation (Appendix 8). A mutually agreed-to location, date and time are set for the hearing and the establishment's management is advised in writing (Hearing Confirmation - Appendix 9). The establishment is informed that they have the right to bring legal representation or technical support.

3.8.3.2 Hearing

The CFIA will be represented at the hearing by the Director, Food of Animal Origin Division, or a designate, as well as appropriate supporting staff (e.g. inspector, program and supervisory representatives and a CFIA legal advisor, if required).

The hearing should be chaired by a neutral CFIA representative. The purpose of the hearing is to review the history of the case and reasons why or why not the registration should be cancelled.

3.8.3.3 Hearing Decision

At the end of the hearing, a recommendation will be made, choosing one of the following options:

(a) Cancellation of the registration.

(b) Suspension is lifted - company retains registration - certificate of registration is returned - An in-depth inspection should be carried out within one month.

(c) Other ( decision pending - e.g. additional inspection)

3.8.3.4 Notice of Cancellation

Once it has been decided to cancel the establishment's registration, a Notice/Letter of Cancellation of Certificate of Registration, will be signed by the Director, Food of Animal Origin Division and delivered to the operator (Appendix 10).

When the registration is cancelled, the operator of the establishment will not be allowed to apply a Canada grade, export any of their agricultural products, sell their graded agricultural products outside the province, or sell their graded product to an agent who may sell it outside the province. If an inspector has reason to believe that the operator of the deregistered establishment is in violation of the above criteria, a compliance verification inspection shall be undertaken. The inspector shall make detailed notes of activities and findings related to the non-compliance, copy relevant documents and take samples or photos as appropriate. Once non-compliance has been verified, the inspector will complete an Inspector Non-Compliance Report (CFIA/ACIA 5046 2000\08) along with copies of the supporting documents from the incident file and submit them to their Inspection Manager and Enforcement and Investigation Services.

3.8.3.5 Decision Not to Cancel - Lifting of Suspension

A letter notifying the operator of the decision not to proceed with cancellation of the registration will be sent from the Inspection Manager (Appendix 11) . The certificate of registration is returned to the operator. An in-depth inspection is performed within one month of commencement of production.

3.8.3.6 Other

This may include other options that the hearing committee may consider, such as another inspection, as a result of the review of the evidence that was presented at the hearing.

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