Guide for Preparing an Export Certification Control Program Plan

Using the guide

The CFIA created this guide to help food businesses comply with the requirements set out in the Safe Food for Canadians Regulations (SFCR).

What is covered

This document:

• outlines steps for documenting an ECCP plan, which demonstrates how export requirements are met; and,
• allows for flexibility in approaches due to differing requirements and certification procedures for different countries depending on the food product.

What is not covered

While the guide provides examples of export certificate controls, it is not exhaustive – the certificate controls required will be unique for each business and will depend on the food commodity and foreign market.

Refer to the Tell me more! section below for other useful references related to exports, as well as links to other CFIA guidance that provide more details of preventive control plans (PCPs) and record keeping.

Export Certification Control Program (ECCP)

Developing an ECCP plan will provide you with the ability to demonstrate with confidence that your products are acceptable to foreign markets and will reach them successfully.

A well-developed ECCP plan allows the CFIA to facilitate the certification process. These controls also help to protect the Canadian food industry's reputation and maintain trading partnerships with other countries.

Elements of the ECCP plan

You should incorporate all elements of the export certification controls into your food safety system. The ECCP plan is the written document that describes the procedures and processes used to capture the following elements:

1. Preventive control plan (PCP)
2. Exporting roles and responsibilities
3. Foreign country requirements
4. Product compliance
5. Certification
6. Eligibility lists
7. Inspections and fees
8. Traceability

Element 1 – Preventive control plan (PCP)

You are required to have a PCP in place if you request export certificates for food. The activities in relation to the food being exported conducted by you will determine the extensiveness of the PCP. The PCP is the written document that demonstrates how hazards and risks to food products are controlled. The maintenance of records and documents within the PCP may include export certification controls if you wish to integrate the PCP and ECCP plan.

Note: A licensed export broker would need their PCP to cover the sourcing of food, for which they would like to obtain an export certificate or other export permission from the CFIA. A domestic food manufacturer and / or processor would need their PCP to be reflective of the food safety controls in place for their operations.

Element 2 – Export roles and responsibilities

Identify the name(s) and title(s) of the person(s) responsible for the implementation and maintenance of the export plan and documents. You are responsible for meeting all of the requirements of the importing country, and for making sure your products and establishments are eligible to export.

If you are exporting a meat product, you must also identify all qualified and legally responsible personnel who:

• prepare and sign the attestations and supporting documents required, and,
• confirm the eligibility of product for export to the country in question.

Note: The operator of the exporting meat establishment bears full responsibility for ensuring that all applicable requirements of the importing country are met and for providing satisfactory information to the CFIA before the CFIA can authorize the export and issue the required certificates.

Element 3 – Foreign country requirements

Describe how you determine the foreign country requirements. This could include:

• the webpage or link to the foreign country's website where the food commodity requirements are shown;
• documentation with the importing country's inspection body or through their embassy/consulate/trade commission who provided the requirements;
• documentation with the importer of the foreign country; and/or,
• a copy of the export certificates needed (which has the requirements identified on it).

You must provide the CFIA with information about the foreign country's requirements, so that the CFIA can evaluate against Canada's minimum product standards to see if a mutually acceptable certificate can be negotiated, if one does not already exist.

Element 4 – Product compliance

Your written ECCP plan must describe how the product complies with the foreign country's requirements. If your food meets Canadian requirements and that is the foreign country requirement (or equivalent), you can refer to your written preventive control plan (PCP).

Compliance with foreign certification requirements for food standards that exceed or differ from Canadian standards, or for which there is no Canadian standard, is your responsibility. You may be eligible to export a food that does not meet the Safe Food for Canadians Regulations (SFCR) requirements if the ECCP plan includes:

• proof that the container and markings comply with the requirements of the importing country;
• the contract with the importer clearly stating the quality specifications of the food product;
• the lot number or lot code of the shipment marked on the label or embossed on the container;
• the label on the container does not misrepresent the quality, quantity, composition, character, safety, or value of the food product;
• documentation of materials and incoming ingredients sources approved by the country of destination (if applicable), and any unique processes or establishment information which would impact the product compliance;
• documentation of health and safety requirements for chemical and microbiological standards including any foreign standards that exceed Canadian standards, or for which there is no Canadian standard, if applicable;
• attestations for any animal health disease status in the area; and / or,
• documentation of a Supplier Food Safety Assurance Program (SFSAP) which would describe the measures taken to ensure the food meets foreign country standards.

Note: Non-compliant product should never jeopardize Canada's trade reputation. The CFIA will not certify food that was processed under unsanitary conditions or marketed in a fraudulent manner.

Element 5 – Certification

You must provide complete, accurate and truthful information when requesting a certificate from the CFIA, or other export permission such as addition to an export eligibility list. An example of a CFIA certificate is the certificate of free sale.

Certification requests must be made before shipping your food products and you must use Canadian certificates that are recognized by the CFIA. All lots identified on the certificate must be available for inspection by the CFIA.

Please visit the Export certification page for more information about export certificates and how to complete them.

Certificate requests

You should keep records of the certificate requested and shipments which will help demonstrate the product compliance to foreign requirements. The food commodity and foreign country will determine the information required to complete the certificate. Examples of information provided to the CFIA when requesting a certificate to be signed by the CFIA may include, though not limited to:

• country of import;
• recognized certificate type(s);
• location of the consignment;
• date the consignment is available for inspection;
• date the certificate is required (date of departure);
• total units and unit size of each lot in the consignment;
• product description (size, grade, type);
• scientific name;
• consignee name and address;
• consignor name and address;
• registered establishments and establishment numbers that conducted activities to the product (i.e. slaughter, processing, etc.);
• processing dates;
• net weights;
• product identification marks (production code);
• container and seal numbers; and / or,
• transport information.

Note: Consignments for countries or products that do not have negotiated certificates and known requirements may be certified with standard CFIA certificates (where applicable) but are at commercial risk.

Commercial risk means acceptance by you that the CFIA certificate is given in good faith based on your written assurances that all due enquiries have been made and that there is no known impediment to entry of the product into the country concerned. Commercial risk does not mean that the CFIA will provide certificates at request, if the request is contrary to known requirements. The CFIA assumes no liability if the company takes on commercial risk.

Replacement certificates

If you need to request a replacement certificate (or a letter of explanation), you must describe the control measures in your ECCP plan to capture the documentation involved.

The request for a replacement certificate should include an explanation of the event resulting in the need for a replacement certificate. Reasons could include:

• an administration error on a certificate;
• a certificate has been lost or damaged;
• the consignee of the food product certified has changed; and / or,
• there is a change in the quantity of product certified.

The procedures relating to the preparation of export documentation must aid in maintaining accurate export certificate preparation, and any implemented corrective action (if applicable).

The original certificate must be returned to the CFIA, where possible.

For a change of country of destination for a shipment still in Canada, the lot must comply with the requirements of the new country of destination at the time of processing.

If the product has been imported into the foreign country, a replacement certificate can only be issued if the consignment information, consignor and consignee on the replacement certificate are exactly the same (with the exception of meat product shipments).

Stickers, stamps and seals

You should describe in your plan the correct procedures relating to the use of export stickers, stamps and seals and keep records accordingly.

Products shipped without an export certificate

You should describe in your plan the measures taken to ensure there were no known certification requirements. If there are no known certification requirements in an importing country, then you may export product at your own commercial risk. Meat products and shell or processed egg products for export must be certified.

Element 6 – Eligibility lists

You should indicate in your ECCP plan for each country of export the particular country's establishment eligibility requirements, as applicable, and identify how you meet the requirements. For example:

• only sourcing food from a federally registered or licensed establishment that is on the list of eligible establishments;
• identifying the establishment on the list of establishments approved to export to the foreign country, as applicable; and / or,
• by sourcing imported food from an establishment eligible to export to the foreign country, as applicable.

Please refer to each food commodity and country requirement to determine if this is relevant.

Element 7 – Inspections and fees

Your plan should include the frequency of inspection according to the food commodity and type of inspection required – some products must be prepared for export under continuous supervision of an inspector and other countries may only require pre-operational inspection frequency weekly or daily, etc. You should also be aware of the associated fees charged for the inspection, grading and/or issuance of an export certificate as prescribed by the Canadian Food Inspection Agency Fees Notice.

Notification of production and shipments

The plan should include how you notify the CFIA (when required) in advance of certain commodities being produced and/or shipped, and the requirements of the foreign country in relation to inspection coverage.

Element 8 – Traceability

Your plan must include information on the distribution of the food you exported.

Lot accountability

The ECCP plan should outline how you identify all the certificates issued by the CFIA, the food product certified by each certificate, and the status of the lots certified (in inventory or exported). The distribution of the exported food products must be traceable to the first shipping destination to allow for the rapid recall.

For this purpose the following information must be maintained for each consignment certified by the CFIA (as applicable per food commodity):

• the country of import;
• the certificate type(s) received;
• the certificate number(s);
• description of the lots;
• the scientific and common names of the food;
• the method of production
• the name and registration/licence number of the establishment from which the food was sourced, if applicable;
• processing/packing date(s)/codes;
• the net weight of each unit;
• the total net weight of the lots
• the storage conditions of the product;
• the name and address of each person /company (consignee) receiving the food;
• the date the CFIA signed the certificate;
• the date the consignment was exported; and,
• the mode of transportation and container number (e.g. by air, by ship).

Replacement certificates received from the CFIA must be linked to the original certificate that was cancelled.

Health and safety verification and notification

Your plan should describe the procedures used when information or complaints are received that questions the safety of food products exported, how you verify the validity of the information to determine if the food products constitute a hazard to the public and if it does, how you notify the CFIA.

The following information must be kept on file and provided to the CFIA:

• the date and time the information was received;
• the date and time the information was determined to be valid or not;
• the date and time the CFIA was notified about valid information;
• the name, address and telephone number of the person who provided the information;
• a description of the investigation conducted;
• a description of the results of the investigation; and,
• the actions taken by the exporter in response to a confirmed health and safety issue.

Tell me more!

• Preventive controls for food business
• Preventive control plan (PCP)
• Traceability for food
• Labelling, standards of identity and grades
• Food safety standards and guidelines
• Supplier Food Safety Assurance Program
• Canadian Food Inspection Agency Fees Notice

Other further reading

Certain foods may require certification related to animal health (aquatic or terrestrial) or plant health. Information on animal and plant health certification requirements can be found at the following web addresses:

• Animals
• Plants

Information on the Canadian animal health status and World Organisation for Animal Health (WOAH; founded as Office International des Épizooties (OIE)) listed diseases in Canada can be found at the following web addresses:

• Terrestrial Animal Diseases
• Aquatic Animal Diseases
• World Animal Health Information System