Operational Procedure: Issuing a letter of non-compliance

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1. Purpose

The purpose of this document is to provide Canadian Food Inspection Agency (CFIA) inspection staff with a standardized procedure for issuing a letter of non-compliance (LoNC).

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 that issuing an LoNC is an appropriate response to a non-compliance observed, as per the Standard Regulatory Response Process (SRRP).

The issuance of an LoNC may not apply to all CFIA inspection programs and the inspectorate should refer to program-related enforcement guidance or procedures.

2. Authorities

The LoNC 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
LoNC
Letter of non-compliance
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 issue an LoNC as referenced in the SRRP and commodity specific guidance.

The LoNC is an administrative enforcement action used to document a contravention of legislation. It serves as a notice to the regulated party that a contravention of the relevant act or regulation has occurred and becomes part of the regulated party's compliance history. This information is documented to support enforcement actions or licence actions if they are required in the future, as per the SRRP.

Issuing an LoNC may be appropriate in situations where the following statements apply:

  • the non-compliance has not resulted, or is not likely to result, in serious or very serious harm (such as health or safety risks to humans, plants, or animals or marketplace deception)
  • the non-compliance is not intentional
  • the inspector believes that issuing an LoNC will have the appropriate deterrent effect
  • the regulated party has an otherwise good compliance history

The enforcement decision process in the SRRP helps determine if the LoNC is an appropriate response to the non-compliance.

6.1 Preparing the LoNC

Inspectors should refer to Appendix 1 when drafting the LoNC. This LoNC should include the following information:

  • date of issuance of the LoNC
  • the date and location of the non-compliance(s)
  • the legal name and address of the regulated party
  • permission number(s) related to the non-compliance(s), if applicable
  • subject line
  • the section(s) of the act or regulations related to the non-compliance(s)
  • a summary of the facts and a short description of the non-compliance(s),
  • the date(s) that effective corrective actions must be in place to avoid further enforcement action, as applicable (see section 6.1.1)
  • the name, telephone number and email address of the CFIA contact person
  • any attachments relevant to the non-compliance(s) (for example, the most recent inspection report which would have the complete details of the non-compliance(s))

The information above may be adjusted to appropriately address the circumstances of each instance of non-compliance. However, it is recommended that all information noted above be included, as applicable, and worded as closely as possible to the recommended template, as per Appendix 1.

The person signing the LoNC must be designated as an inspector under the Act(s) relevant to the non-compliance. It is recommended that the LoNC be signed by the inspector, supervisor or inspection manager, as per the SRRP. If the regulated party has questions related to the content of the LoNC, the CFIA official signing the document is the point of contact to discuss issues outlined in the LoNC.

6.1.1 Determining a timeframe for corrective action

When issuing an LoNC, any timeframe for corrective action offered is at the discretion of the CFIA official (designated inspector) issuing the letter, in consultation with their supervisor or inspection manager, as applicable, and should apply the following when communicating a corrective action timeframe:

  • if, due to the severity of the non-compliance, an LoNC is given at the time when an initial inspection report is issued, the timeframe for corrective action should be the same on the initial inspection report and in the LoNC
  • if the regulated party has not taken the required corrective actions within the timeframe given in the initial inspection report, including any subsequent timeframe granted, and  inspection staff wishes to give a new timeframe, this may be communicated in the LoNC
  • if issued on its own in lieu of an inspection report (in cases where the regulated party is not a Safe Food for Canadians (SFC) licence holder or for inspection programs where inspection reports are not used), an initial timeframe for corrective action may be given

When an LoNC is being issued to 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 in writing within the LoNC.

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

  • 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."

6.2 Sending the LoNC to the regulated party

Send the original LoNC signed by the inspector, supervisor or 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 LoNC.

The LoNC should be delivered to the regulated party with a copy of the associated inspection report(s) or supporting document that resulted in its issuance as applicable.

The best practice is hand delivering the LoNC and copies of associated inspection reports to the regulated party, preferably by the inspector who conducted the inspection. Upon delivery to the regulated party, inspection staff should clearly explain:

  • the content of the LoNC
  • the regulatory authorities of inspectors
  • regulatory requirements that regulated parties are obligated to comply with
  • the potential consequence(s) of further non-compliance

6.3 Documenting the delivery of the LoNC

The LoNC delivery process and interaction with the regulated party must be documented in the inspector notes. The notes, along with a copy (photocopy, scanned or digitally signed copy) of the LoNC should be kept on file for future reference. If the LoNC 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 LoNC delivery
  • inspector(s) initials
  • name of regulated party or company representative receiving the LoNC (if the LoNC was hand-delivered)
  • pertinent information which can be cross referenced to the inspector's notes

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

6.4 Tracking the recommendation and issuance of an LoNC

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: Letter of non-compliance. The enforcement details are being entered after the decision to issue an LoNC has been made, therefore select the Response status: Issued. Save the LoNC 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 LoNC, 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 procedures.

Logging this information is required to document a regulated party's compliance history and ensures 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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