Annex J - Procedures for Handling of Non-Compliant Shipments and Appeals

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1. Introduction

Imported meat products identified as non compliant with Canadian requirements are not allowed to enter Canadian commerce and may be ordered out of Canada.

The identification of non compliance with Canadian requirements may occur during import inspection as well as at any time after they have been released into Canadian commerce, for example, during retail inspection or following a consumer complaint. Imported meat products identified to be out of compliance may be ordered to be removed from Canada at any point.

Non compliance may involve an entire shipment or only part of a shipment. For product with minor non conformities, the importer will have the option to bring the product into compliance with Canadian requirements. Refer to section 10.3 of this Annex.

When the non conformity is not permitted to be corrected in Canada, the entire shipment or a portion of the shipment will be ordered to be removed from Canada within 90 days or the importer can pursue the following options, to be performed under the direct supervision of a CFIA Inspector:

1. Destroy the product so that it cannot be used in any way.
2. Return the product to the country of origin or to a third country (re-export), if allowed by that country.

2. Importer and CFIA Area Office Notification

When an imported shipment of meat products is found not to comply with Canadian requirements, the Inspector must immediately detain the meat products and inform her/his supervisor, the Area Import Operations Coordinator (AIOC) or the import meat specialist at the area office and the import inspection establishment Operator. At the same time the Inspector should recommend that the establishment Operator notify the importer. The non conformities and options for the product should be clearly documented on the Notice of Detention.

3. Notice to Remove Meat Products from Canada

Within two (2) working days of placing the non conforming products under detention and notifying the Operator that the imported meat product failed import inspection, the Inspector or the supervisor issues the Notice to Remove Meat Products from Canada. Refer to Annex J-1 of this Chapter. In cases where the importer has the option to bring product into compliance and has advised the inspector accordingly, the notice to remove products from Canada will not be issued. Refer to section 10.3 of this Annex.

The notice must be either hand delivered or sent by registered mail to the importer, who will have ninety (90) days to comply with the order. The Inspector or the supervisor must make sure that the importer receives the written notice. If the Inspector or the supervisor has not been contacted by the importer after sixty (60) days, than a second notice should be issued to the importer.

In cases where the importer has not responded to the notices and when the ninety (90) days provision has expired, the meat products should be seized by the Inspector, and the importer should be notified in writing that the non compliant meat products are now forfeited to Her Majesty in Right of Canada and will be disposed of at the importer's expense within the next two weeks.

The importers of meat products that were ordered to be removed out of Canada must notify the CFIA of the place and the time of the removal. This is a legislated requirement that allow the CFIA to witness removal of the refused imported meat products from Canada. Refer to CFIA/ACIA 4320, Annex J-2 of this Chapter.

4. Appeal procedure: Roles and Responsibilities

4.1 Importer

The importer may appeal an import inspection decision when an imported meat product has been determined to be out of compliance with Canadian requirements.

The appeal must be made, in writing, to the appropriate Supervisor, Area Import Operations Coordinator, and the import meat program specialist within two (2) working days of being notified of the inspection decision. The supervisor must communicate this information to the import Inspector handling the case.

4.2 Import Inspector

The detained lot shall be stored intact, in its imported condition, and segregated from all other meat products.

Defects that resulted in the rejection and the appeal must be retained, clearly identified with the sample unit number and frozen in appropriate containers until the time limitations for appealing a decision have expired. In practical terms, all defects should be kept for at least five (5) working days from the date of inspection and if no word of an appeal is given by the Supervisor, they may be destroyed. If there is an appeal which is not upheld, then the defects should be retained for at least another ten (10) working days after this first appeal decision has been delivered.

It is advantageous to place defects in a clean transparent container in a way which allows visual inspection through the container with minimal handling. The digital recording (pictures) of the defects has proved beneficial for verification and recording defects in their original imported state.

4.3 Supervisor, Area Import Operation Coordinator, Import Meat Program Specialist

The Supervisor, Area Import Operation Coordinator (AIOC) and import meat program specialist, shall, on receipt of an appeal, discuss the import inspection findings, the reasons for the appeal with the importer and with the Inspector. The AIOC, supervisor and import meat program specialist involved in reviewing the Inspector's decision should verify sampling, identification, numbers and classification of defects and the decision made. The Supervisor or the AIOC will then inform the importer of the result of the appeal.

4.4 Secondary Appeals

If the importer is not satisfied with the result of the first appeal, he or she may request a further review of the decision provided he or she has good grounds for doing so. The Supervisor, AIOC, or the import meat program specialist must be informed by the importer immediately after the results of the first appeal have been received. A written, formal request for a secondary appeal must be done within seven (7) working days of the first appeal and should be made to the Chief, Import Programs, Meat Programs Division, Ottawa, Ontario. Arrangements may have to be made for a review and final decision by a headquarters official and on occasions, the exporting country may send its own official to observe the review.

5. Products Not compliant With Canadian Requirements (Refusal)

There are three types of shipment non compliance to Canadian requirements:

1. Complete shipment non compliance;
2. Partial shipment non compliance; and
3. Partial lot non compliance.

5.1 Complete Shipment Non Compliance

For handling the shipment refer to sections 6 and 7 of this Annex and Annex H-1 of this Chapter for entry of the refusal on the Import Control Tracking System (ICTS).

5.2 Partial Refusals

5.2.1 Partial shipment, non compliance:

This refers to situations where one or more lots (item lines) identified on OMIC are refused from among multiple lots (item lines) and others lots accepted.

If the import failure is limited to a clearly identifiable lot of a shipment covered by one certificate, only that lot will be detained.

When an Inspector believes on reasonable grounds that other lots in the shipment do not comply with the MIA and MIR, these lots should receive full organoleptic inspection regardless of ICTS-generated inspection status.

5.2.2 Partial lot, non compliance:

This refers to situations where a part of a single lot is not complaint with Canadian requirements.

When a clearly identifiable portion of an imported lot of meat products fails import organoleptic inspection, sorting and removal of affected part of the lot may be considered. The removed part shall be detained while the remainder may be accepted following secondary inspection by a CFIA Inspector. Refer to section 10.3 of this Annex regarding non compliant product that may be brought into compliance in Canada.

Sorting of a non compliant lot may be considered only in cases where the defect is clearly visibly identifiable and the removal of affected product from the lot can be conducted in a fully hygienic manner, resulting in a lot that fully complies with Canadian requirements. Rework and handling of exposed meat products during the sorting process is not permitted. Sorting must be carried out in the establishment where the imported meat product is being presented for import inspection.

The importer must notify the Inspector immediately of the intention to apply for a permission to sort the non compliant lot. The application must be in writing and must include detailed sorting protocol. The sorting protocol shall include the proposed date, time and procedure that will be followed. The sorted lot must be presented for secondary import inspection.

6. Marking of Refused Products

Each shipping container of the refused shipments shall be stamped in red ink "Refused CFIA/ACIA Refusé" as illustrated in Annex T-5.

The "Refused CFIA/ACIA Refusé" stamp must be applied on the main panel of the container without obliterating any information. If this is not feasible, the stamp should be applied on an adjacent panel.

The stamping must be done by an employee designated by the management of the establishment under the control of an Inspector. As with other CFIA stamps, the "refused" stamp and "acceptance" stamp are to be maintained under the direct control of the Inspector. The refused meat products must be stored separately from any other product until proper disposition. When a shipment is refused at the port of landing in Canada and the shipment has not been unloaded, the stamping of the export certificate with the "refused" stamp will be sufficient.

In the case of a shipment that has been refused entry for being mixed with incompatible products on the same vehicle (transport container) and where it is not practicable to stamp the shipping cartons, the Inspector must immediately notify the Area designated office of the certificate number and the shipping marks stamped on the shipping cartons. This information shall be transmitted to the Chief, Import Programs, Meat Programs Division, Ottawa, who will issue instructions to prevent the re-importation of this meat product into Canada.

7. Refused Certificates and ICTS Data Entry

All original Official Meat Inspection Certificates (OMIC) covering refused shipments, shall be stamped in red ink "Refused CFIA/ACIA Refusé" as illustrated in Annex T-5. The Inspector shall record the date and their initials adjacent to the stamped impression.

For single lot "Partial Lot Refusals", the OMIC shall have the product item line, from the shipping mark to the net weight, circled in red ink. The text "Refused CFIA/ACIA Refusé" shall be hand written within the circle along with the date and the Inspector's initials. The same procedure should be followed for the corresponding Multi Commodities Activities Program (MCAP) Import Inspection Report (IIR). The IIR form should have the release stamp (Annex T-2) applied for the balance of the shipments.

For "Partial shipment refusal", the corresponding MCAP IIR should have the number of cartons and net weight modified to demonstrate the quantities accepted. Similarly, the quantities refused must also be indicated.

When recording a refused entry, Inspectors with access to the ICTS system shall enter the inspection results directly. Otherwise the MCAP IIR shall be completed and forwarded immediately to the Area's designated office without awaiting the products destruction or shipment out of Canada. This is to obtain as close as possible real time inspection result input into ICTS. The product destruction or removal from Canada may be reported at a later date. A report on CFIA letterhead should be made if there is insufficient space on form MCAP Import Inspection Report to provide details of the Inspector's findings regarding the refusal.

8. Procedures for Handling Refused Meat Products Ordered to be Removed from Canada

Procedures for handling refused meat products shipped out of Canada shall be handled in the manner described as follows.

8.1 US Meat Products

8.1.2 Import Inspector

For US refused shipments, the CFIA/ACIA 4320 "Notice of Removal of Imported Meat Products Refused Entry" shall be completed, and once the date of return to USA is known, a copy of this form as well as a copy of the OMIC stamped "refused" will be sent by facsimile to:

Director
Import Export Programs
Office of International Affairs
USDA/FSIS Washington D.C.
FAX: 202-720-7990

The non-compliant meat products being removed from Canada are to be shipped in a transport container bearing an official seal and a "Warning" sign. (CFIA/ACIA 0077)

Completed parts 1 and 2 of the CFIA/ACIA 4320, a copy of the stamped OMIC shall accompany the shipment to the port of exit. Prior to the arrival of the meat product at the port of exit, an electronic notification should be sent by the import Inspector to the CFIA Inspector at this point. Part 3 of the form is faxed then mailed to the Area Import Operations Coordinator (AIOC).

8.1.3 Port of Exit Inspector

The driver is required to stop and report to the CFIA at the port of exit. The Inspector at the port of exit shall endorse the form in section 3 and shall give Part I to the driver and keep the other one for his file.

The Inspector at the port of exit is responsible to send by facsimile Part 2 of the form to the Area Import Operations Coordinator (AIOC) where the product was refused entry. The AIOC shall send a copy of the completed CFIA/ACIA 4320 to the Inspector at the import facility and a copy to the person in charge of import meat products at the Area Office where the product was refused entry to complete the file.

For US shipments refused entry at port of landing and which are returned to the US, the Inspector responsible shall issue the CFIA/ACIA 4320 and send it by facsimile to the USDA.

8.2 Other Countries

The refused non-compliant meat products being removed from Canada are to be shipped in a transport container bearing an official seal and a "Warning" sign. (CFIA/ACIA 0077)

Completed parts 1 and 2 of the CFIA/ACIA 4320 are to be sent by facsimile by the import Inspector to the CFIA Inspector at the port of exit and to the Area Import Operations Coordinator (AIOC). The Inspector at the port of exit shall endorse the form in section 3 when the refused product is shipped from Canada and send the completed form by facsimile to the Area Import Operations Coordinator (AIOC) where the product was refused entry.

The AIOC shall send a copy of the completed CFIA/ACIA 4320 to the Inspector at the import facility and a copy to the person in charge of import meat products at the Area Office where the product was refused entry to complete the file.

9. Records to be Kept by the Inspector

The Inspector must maintain a log book with the following information:

1. country and establishment of origin;
2. type of product;
3. number of containers;
4. total weight;
5. location of the product;
6. date of departure of the product from Canada;
7. certificate number; and
8. CFIA import inspection control number.

Copies of all documents (OMIC, Import Inspection Report, Refused Import Shipment Report, Notice to remove) must be kept on file, references to the log book.

10. Disposition of Refused Entry Product

10.1 Removal from Canada

The importers of refused meat products must notify the CFIA of the place and the time of the removal. This is a legislated requirement that allows the CFIA to witness removal of the refused imported meat products from Canada. The Notice to Remove Meat Products from Canada requests that the importer provide the information on place, date and time of removal from Canada. The Inspector is responsible to assure receipt of this information. This information must be kept on file, with other documents pertinent to the refused imported shipment.

10.2 Destruction

As an alternative to removal from Canada, the importer may arrange for disposal of the product in a manner acceptable to the CFIA and under inspection supervision. All costs related to the disposal including CFIA supervision are at the importer's expense.

10.3 Bringing Non-Compliant Product into Compliance

1. The lot shall be rejected if any sample unit fails to meet Canadian labelling requirements.
   
   
2. For rejected lots, the broker/importer or representative may be allowed by the Inspector, to sort the lot by removing all non-compliant containers; or may correct any shipping container labelling deficiency, except shipping marks, by re-labelling, stencilling, or obliterating the incorrect markings on all non-compliant shipping containers.
   
   
3. An Inspector shall refuse entry of any shipping container on which the shipping marks are missing, incorrect, or are completely illegible, e.g., no character of the shipping mark is identifiable. However, shipping containers on which part of the shipping marks is legible are permitted entry provided the identifying characters are identical to complete shipping marks of the other containers in the lot. In addition, shipping containers on which the shipping marks are missing, incorrect, or are completely illegible will be permitted entry provided an official of the foreign government inspection and certification agency responsible, affixes shipping marks to these containers. These shipping marks must be affixed in accordance with Canadian labelling requirements, under the supervision of an Inspector, in an establishment registered for inspection of imported meat products.
   
   
4. Lots rejected for shipping marks and shipping carton labelling deficiencies may be offered for reinspection provided all non-compliant containers were removed or corrected.
   
   In cases of entire shipment rejections, the original OMIC is to be stamped as having been rejected and the shipment is to be rejected on the ICTS. A replacement OMIC will be required when the shipment is represented for inspection, following correction of deficiencies. Accordingly, the Inspector shall select the appropriate sample size in accordance with the sampling plan and re-examine the lot.
   
   In cases where the certification is correct and only the product marks or shipping container labelling is incorrect on all or part of a shipment, the entire shipment shall be detained until correction of the non-compliant product. The original certificate is not required to be replaced.
   
   Where changes to shipping marks on product is required, the new markings must be applied under the supervision of an official government representative of the exporting country.
   
   
5. Refused lots, pending correction, must remain under Inspector's control, preferably by being placed under detention.
   
   
6. The additional inspection duties, related to supervision of the correction of the deficiencies, are subject to inspection fees as per section 6, Part 10, Meat Product Inspection Fees.