D-08-02: Pre-Shipment Approval Program for the Export of Grain from Canada
This page is part of the Guidance Document Repository (GDR).
Looking for related documents?
Search for related documents in the Guidance Document Repository
Effective Date: July 24, 2013
This directive outlines the requirements for the pre-shipment approval of grain being exported from Canada. Exporters participating in the pre-shipment approval program for grain must operate under the provisions of a Quality Management System, which is documented in a Quality Management System Manual that must be pre-approved by the Canadian Food Inspection Agency (CFIA).
Table of Contents
- Amendment Record
- Definitions, Abbreviations and Acronyms
- 1.0 General Requirements
- 2.0 Program Requirements
- 3.0 Elements Required in a Quality Management System Manual
- 4.0 CFIA Verification and Document Review
- 5.0 Non-Compliance
- 6.0 Appendices
- Appendix 1: Application for Participation in the Pre-Shipment Approval Program for the Export of Grain from Canada
This directive will be updated as required. For further information or clarification, please contact the Canadian Food Inspection Agency (CFIA).
Chief Plant Health Officer
Amendments to this directive will be dated and distributed as outlined in the distribution list below.
- Directive mail list (Regions, PHRA, USDA)
- Provincial Governments, Industry (via Regions)
- National Industry Organizations (determined by Author)
Phytosanitary certification is required for the export of grain from Canada to many countries. Phytosanitary certificates are issued by the CFIA only after the consignments are determined to be free of quarantine pests as specified by the importing country. Certain countries require specific sampling and testing of representative samples of the consignment to verify freedom from specific pests which are present in the area of production. The testing component can vary in length from 1 day to 10 days. In some cases, vessels are ready to leave port prior to the completion of the testing and subsequent issuance of the phytosanitary certificate. Therefore, the CFIA has developed this pre-shipment approval program for grain exports, prior to vessel loading. This should help to prevent a situation whereby a vessel is ready to depart and the testing of the shipment has not been completed. Pre-shipment approval for freedom from quarantine pests as specified by the importing countries will be based on the capability of the exporter to comply with the program.
This document outlines the requirements for exporters (e.g. broker, shipper, agent, etc.) who wish to have bulk grain destined for export, via an ocean vessel or laker, pre-approved to meet a specific country's import requirements. This pre-shipment approval program for the export of grain from Canada is a voluntary program for companies involved in the exportation of grain requiring phytosanitary certification. This program is intended for any bulk grain in export position or any bulk grain moving in a conveyance to export position that requires specific sampling and testing to ensure it meets a country import requirements.
ISPM No. 5, Glossary of Phytosanitary Terms, FAO, Rome (updated annually)
All other directives relating to phytosanitary requirements for field crop commodities may be found at Plant Protection Policy Directives - Grains and Oilseeds
Definitions, Abbreviations and Acronyms
Definitions for terms used in the present document can be found in the Plant Health Glossary of Terms.
1.0 General Requirements
1.1 Legislative Authority
Administrative Monetary Penalties Act, S.C. 1995, c. 40
Canadian Food Inspection Agency Act, S.C. 1997, c. 6
Plant Protection Act, S.C. 1990, c. 22
Plant Protection Regulations, SOR/95-212
Canadian Food Inspection Agency Fees Notice, Canada Gazette: Part I (as amended from time to time)
The CFIA is charging fees in accordance with the Canadian Food Inspection Agency Fees Notice. Anyone requiring other information regarding fees may contact any local CFIA office or visit our Fees Notice Web Site.
1.3 Regulated Pests
Various, as identified in each importing country's plant phytosanitary import requirements.
1.4 Eligible Commodities
All bulk grains being exported from Canada in ocean vessel or lakers. This can include cereal grains, pulses, oilseeds or specialty grains.
1.5 Ineligible Commodities
Grain that does not require any specific testing prior to export. Flour from flour mills participating in the CFIA's flour mill program. Grain that will be exported via container (bulk or bagged).
2.0 Program Requirements
Pre-shipment approval for freedom from the quarantine pests specified by an importing country will be based on the capability of the exporter to comply with the following:
- The grain to be considered for pre-shipment approval shall be of Canadian origin and intended for export in a laker or ocean vessel.
- The exporter shall present to CFIA a valid Permit to Import issued by the NPPO of the importing country for the import of grain from Canada, if one is required.
- The exporter shall prepare and follow a quality management system which shall be documented in a quality management system manual which is approved by the CFIA in advance of initiation of sampling and testing of lots for pre-shipment approval.
2.1 Requirements for Participation in the Pre-Shipment Approval for export of grain from Canada
2.1.1 Application for Participation
An exporter wishing to participate in the Pre-Shipment Approval Program for export of grain from Canada must adhere to the requirements outlined in this directive. A signed "Application for Participation in the Pre-Shipment Approval Program for the export of grain from Canada" (Appendix 1) and a completed Quality Management System Manual outlining how the exporter will comply with the requirements in this directive must be submitted to the nearest CFIA office for review and approval. The approval will be coordinated by the appropriate CFIA Area Grains and Field Crops Program Network Specialist. The Quality Management System Manual must outline the exporter's methods, measures, and procedures for complying with the requirements set within this directive and with the phytosanitary requirements of importing countries. The completed application must be signed off by the exporter.
2.1.2 Exporter Requirements
The CFIA will review and compare the exporter's Quality Management System Manual to the requirements outlined in this document. Provided that the Quality Management System Manual meets the requirements, the CFIA will approve it and sign off on the application form. Once approved, the exporter is responsible to ensure compliance with the Quality Management System Manual and is subject to monitoring and verification by the CFIA
3.0 Elements Required in a Quality Management System Manual
The Quality Management System Manual should provide general information that outlines the exporter's objective(s) for participating in this program. A description of procedures and documents used and how they are controlled, definitions of uncommon terminology and roles and responsibilities of any parties involved in the sampling is required to ensure the identity preservation of the grain is maintained until it is exported.
Furthermore, exporters should ensure that all of the sections below are addressed in their Quality Management System Manual.
3.1 Administrative Requirements
The Quality Management System Manual must provide the exporter name, address and contact information. It must provide a list of names and/or positions and other contact information of any party involved in the sampling and identity preservation process. It must also include a copy of the completed application form. It should be typed and all pages must be numbered. The manual should be dated and contain version numbers, as appropriate.
3.2 Specific requirements to ensure identity preservation of the grain prior to export
The Quality Management System Manual must clearly describe how the exporter will maintain the integrity and identity of the grain sampled prior to export. Procedures need to be implemented and outlined in the Quality Management System Manual that will ensure the grain is not commingled or contaminated with infested grain, other grain or extraneous material. The procedures should encompass the following;
- The exporter must describe the procedure which will be followed to ensure that no commingling occurs between lots of grain which have been sampled for pre-approval for export and other grain or extraneous material. Commingling may affect the status of the grain to be exported and any samples would no longer be representative of the grain to be pre-approved for exportation.
- The exporter must describe how the identity of the pre-approved grain will be maintained during transfer and handling at all locations where the grain is unloaded and reloaded.
- The exporter must describe the procedure which will be followed to ensure the bins of sampled and/or approved grain will remain sealed until the loading of the export vessel and can be identified as such.
- The exporter must indicate the duration of storage. When the duration of storage exceeds 30 days from sampling to export or where storage or handling conditions subject a pre-approved lot of grain to potential infestation by a quarantine pest specified by the importing country, additional sampling and testing may be required to verify the pest-free status of that lot of grain. The decision to re-sample and test will be at the discretion of CFIA.
3.3 Sampling Requirements
The Quality Management System Manual must describe how the exporter will ensure collection of representative samples of lots of grain to be considered for pre-approval and how and who will be submitting the samples to CFIA. Sampling must be done by an approved CFIA sampling body. The latest information on who is currently an approved sampling body can be obtained from a CFIA Area Grains and Field Crops Program Network Specialist. The CFIA sampling body will follow its procedures to ensure the appropriate number of samples are submitted to an approved laboratory for testing, as determined by CFIA.
The Quality Management System Manual must also describe how the exporter will ensure that, prior to the sampling of grain for pre-approval, any grain handling areas associated with sampling, transfer and storage within the facility, including receiving legs and boots, conveyances, scales, bins, etc., are free from other grain or extraneous material which could affect the phytosanitary status of the sampled grain for pests of concern to the importing country.
3.4 Exporting Requirements
The exporter must identify the process to be followed to verify that only pre-approved grain that meets the phytosanitary requirements of the importing country is loaded onto a vessel for export.
The exporter must ensure that lots of grain which have been sampled and found to be positive for the presence of quarantine pest(s) specified by the importing country, including any grain which has been commingled with the infested lot, are: directed to another destination which does not have requirements for the pest(s) in question; disposed of; or, where appropriate, treated for the pest(s), re-sampled and tested to verify efficacy of the treatment.
3.5 Record Requirements
The exporter must ensure that all documentation required to ensure that the status of each lot of grain sampled for pre-shipment approval is maintained, updated and available for review by CFIA, if requested, for a minimum of 6 months. This includes all procedures required to ensure that the proper sampling and integrity of the grain is maintained at all times throughout the transfer, movement, and/or shipping processes.
3.6 Amendment of the Quality Management Systems Manual
Amendments to the Quality Management System Manual must be documented and inserted into the manual. A list of amendments must be maintained, dated and included in the manual. The list must identify those parties who would have received a copy of the amendments.
4.0 CFIA Verification and Document Review
At any time, CFIA reserves the right to ensure that the exporter complies with this directive and the approved Quality Management System Manual. A document review may also be conducted to verify that the exporter continues to meet requirements prescribed in this directive, and is operating within the instructions included in the Quality Management System Manual.
Please consult the Plant and Plant Products Import Primer, "How does the CFIA respond to non-compliance?"
Appendix 1 - Application for Participation in the Pre-Shipment Approval Program for the Export of Grain from Canada
- Name, address and contact information of Exporter (contact name, phone and fax number, e-mail).
- Location of Exporting Facility or Facilities that will be involved (contact name, phone and fax number, e-mail).
- Commodity, destination, anticipated quantity and frequency of exports.
- Please find a Quality Management System Manual, which complies with D-08-02, attached to this application from.
- I, the exporter, shall maintain detailed records on each lot of grain exported under this program for a period of six months following export of that lot of grain.
Further, I am and shall be responsible for and shall indemnify and save harmless Her Majesty the Queen in Right of Canada, including the Canadian Food Inspection Agency, Her Officers, Servants, Employees, Successors and Assigns, from and against all manners of actions, causes of action, claims, demands, loss, costs, damages, actions or other proceedings by whomsoever made, sustained, brought or prosecuted in any manner based upon, caused by, arising out of, attributable to or with respect to any failure, inadvertent or otherwise, by act or omission, to fully comply with the said conditions and requirements.
Exporter's contact name
Report a problem or mistake on this page
- Date modified: