Operational procedure: Conducting a meeting with the regulated party

1. Purpose

The purpose of this document is to provide Canadian Food Inspection Agency (CFIA) inspection staff with a standardized procedure for conducting a meeting with the regulated party (MwtRP) as an administrative response to non-compliance.

This document is intended to be used in conjunction with CFIA guidance documents as referenced in Section 3.0.

The procedure outlined below should be used when inspection staff have determined a MwtRP is an appropriate response to a non-compliance observed, as per the Standard regulatory response process (SRRP).

The MwtRP may not apply to all CFIA programs and inspectors should refer to program-related enforcement strategy or procedures.

2. Authorities

The MwtRP is an administrative enforcement action established under policy that is not enabled by legislation enforced by the CFIA.

3. Reference documents

4. Definitions

Unless specified below, definitions are located in either the:

5. Acronyms

CFIA: Canadian Food Inspection Agency
MwtRP: Meeting with the regulated party
DSDP: Digital Service Delivery Platform
SRRP: Standard regulatory response process

6. Operational Procedure

CFIA inspection staff should follow this procedure when they have made the decision to conduct a MwtRP as referenced in the SRRP and commodity specific guidance.

The MwtRP is an administrative enforcement action used in response to a contravention of legislation and should not be confused with the closing meeting referenced in the Standard Inspection Process (SIP). It is an opportunity for the regulated party and CFIA to review and discuss existing non-compliance and becomes part of the regulated party's compliance history. It is also intended to open dialogue and provide a forum for a discussion on the prevention of non-compliance. This information is documented to support enforcement actions or licence actions if they are required in the future, as per the SRRP.

An MwtRP may be appropriate in instances where:

there is a concern that the regulated party is not committed to addressing non-compliance or meeting their regulatory responsibilities
previous enforcement actions (for example, letter of non-compliance) have not been effective in re-establishing compliance

The MwtRP is a distinct administrative enforcement action that is different than the legislated meetings that are conducted:

as part of another regulatory response, such as a legally required opportunity for the regulated party to be heard prior to losing privileges/permissions
before the lost of privileges, such as permissions, are reinstated
as part of the regulated party's right to be heard

6.1 Preparing and sending the MwtRP invitation letter

The inspection manager initiates an MwtRP using the invitation letter to the MwtRP template in Appendix 1.

Send the MwtRP invitation letter, signed by the inspection manager to the regulated party by email, registered mail, courier or hand deliver. If sent by email, it may be digitally signed.

Follow up with the regulated party by email, telephone or in person, as applicable, to ensure they received and understand the MwtRP invitation letter.

Note: The MwtRP is an administrative enforcement action established under policy that is not enabled by legislation enforced by the CFIA. As such, a regulated party cannot be compelled to attend such a meeting. If the regulated party declines the meeting invitation, the inspector should document the regulated party's decision and consult the SRRP for further actions that could be taken.

6.2 Documenting the delivery of the MwtRP invitation letter

The MwtRP invitation letter delivery process and associated interaction with the regulated party must be documented in inspector notes. The notes, along with a copy (photocopy, scanned or digitally signed copy) of the MwtRP letter should be kept on file for future reference. If the MwtRP letter was sent by registered mail or courier, a copy of the delivery notice should be included in the file. A best practice is to file a copy of the original signed correspondence with the following information recorded on the back of it:

time and date
method and destination of the MwtRP invitation letter delivery
inspector(s) initials
legal name of the regulated party or company representative receiving the MwtRP invitation letter
permission number(s) related to the non-compliance, if applicable
pertinent information that can be cross referenced to the inspector's notes

If the letter was digitally signed and sent by email, copies of the email and signed letter should be saved in RDIMS.

6.3 Conducting the MwtRP

The MwtRP is considered more formal than the regular discussions between inspection staff and regulated parties. Topics to be covered at the meeting include (where applicable):

the section(s) of the act(s) or regulation(s) pertaining to the non-compliance
a summary of the facts and a short description of the non-compliance
actions that the regulated party must take to correct the non-compliance and prevent future non-compliance
the history of enforcement action taken prior to the MwtRP
the next steps of enforcement escalation that may be taken by the CFIA, if non-compliance continues or is repeated (See the SRRP)
the date(s) by which corrective actions must be taken to avoid enforcement escalation as applicable (see section 6.3.1)
interim measures to be implemented to manage any risk until compliance is restored

The CFIA is represented at the MwtRP by the inspection manager and/or supervisor as well as the inspector(s) who conducted the inspection(s) leading up to the meeting. CFIA representatives may be accompanied by other CFIA personnel as needed. CFIA staff should have copies of pertinent inspection reports on hand in the event they may be required to clarify the agency's position.

6.3.1 Determining a timeframe for corrective action

When conducting the MwtRP, any timeframe for corrective action offered is at the discretion of the CFIA official (designated inspector, supervisor, inspection manager). When establishing and communicating a corrective action timeframe, apply the following:

if, due to the severity of the non-compliance, a MwtRP is conducted at the time of the initial inspection report, the timeframe for corrective action should be the same on the initial inspection report and the discussion during the MwtRP
if the regulated party has not taken the required corrective actions within the timeframe given in the initial inspection report or LoNC, including any subsequent timeframe granted, and the inspection staff wishes to give a new timeframe, this may be communicated during the MwtRP and must be documented in the summary of the MwtRP

6.4 Preparing and sending the summary of the MwtRP to the regulated party

The summary of the MwtRP is a report that provides a brief account of main points discussed during the meeting and should be issued in writing (for example, an email or a letter) to the regulated party after the MwtRP. Inspection staff should refer to Appendix 1 when drafting the summary to the MwtRP.

When an MwtRP is conducted with a regulated party that is the holder of a licence that could be subject to future licence action (for example, licence suspension), it is important to continue to establish the grounds for suspension as per relevant regulations (for example, SFCR 36(1)). This should clearly be communicated to the regulated party verbally at the meeting and followed-up in writing within the written summary of the MwtRP.

When the regulated party is given more time to correct a non-compliance, the following information should be identified on the written summary of the MwtRP:

detail the grounds for suspension (relevant section(s) of the act(s) or regulation(s) pertaining to the non-compliance(s) along with a description of the non-compliance(s) or attach the relevant inspection report(s))
clearly specify the new date for corrective action
add the following statement: "To avoid suspension of your licence, corrective action(s) for the identified non-compliance(s) must be taken within the period identified in this letter."

6.5 Tracking the MwtRP process

Digital Service Delivery Platform (DSDP) users:

Enter the details of the enforcement action in the DSDP. To do this, refer to section A.5.5.2 Capture regulatory response actions of the Standard inspection process and the DSDP Standard operating procedure Managing a non-compliance record (accessible only on the Government of Canada network – RDIMS 9906406). In the Non-compliance response details tab add a new Regulatory response and select the Regulatory response type: Meet with regulated party. The enforcement details are being entered after the decision to meet with the regulated party has been made, therefore select the Response status: Issued. At a minimum, save a copy of the MwtRP invitation letter and the summary to the MwtRP in the Records, Document and Information Management System (RDIMS) and reference the title of the document and the RDIMS number in the Documents sub-grid within the new regulatory response record.

Note: When a new timeframe for corrective action is included in the summary to the MwtRP, do not add a Date for completion of corrective action to the Non-compliance record in DSDP.

For inspection programs that have yet to be incorporated into DSDP:

Enter the details of the enforcement action using established recording procedures.

Logging this information is required to document a regulated party's compliance history and ensure that non-compliance is documented as part of the compliance and enforcement continuum.

7. Appendices

Appendix 1 – Forms and templates

For general inquiries related to this operational procedure, please follow established communication channels, including submitting an electronic Request for Action Form (e-RAF) (accessible only on the Government of Canada network).

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