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Standard permissions procedure

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1.0 Purpose

The Standard Permissions Procedure (SPP) provides a common approach and general overview for processing service requests relating to permissions both with and without PCPs. These procedures apply across the three (3) business lines (food, animal and plant) under the integrated Agency Inspection Model (iAIM). This document is intended for National Service Centre (NSC) agents and the CFIA Inspectorate. It describes the interactions between the Centre of Administration (CoA) and other CFIA internal functions (Policy and Program Branch (PPB), Operational Guidance and Expertise (OGE), Inspectorate, Ask CFIA, etc.).

2.0 Overview

The Canadian Food Inspection Agency (CFIA) grants permissions authorizing regulated parties to conduct specific activities to meet regulatory requirements. Permissions are a formal consent granting authorization to a regulated party and include licences, permits, authorizations and certificates as prescribed by the applicable Act and Regulations.

A permission will be required for most regulated parties who are subject to the Acts and Regulations administered and enforced by the CFIA to:

Type of Permission Food BL Animal BL Plant BL
Licence SFCR licence for import, export and interprovincial trade Licence to Transport
Permit Import Permits Import Permits
Authorization Ministerial Exemption
Permission to Move
Registration Meat exports to the US
Certificates Export Certificates Animal Health Certificates for export Phytosanitary Certificates and Domestic Movement Certificates
Compliance Agreements/Certification programs Specific to Certain Plant Health policies for import, export and domestic movement

Table 1: Type of permission by business line – Types of permissions include licences, permits, authorizations, registrations, certificates, compliance agreements and certification programs. The food business line requires SFCR licences for import, export and interprovincial trade, authorization by ministerial exemption permission to move, registration for meat exports to the US and export certificates. The animal health business line requires licence to transport, import permits and animal health certificates for export. The plant health business line requires import permits, domestic movement certificates, phytosanitary certificates and compliance agreements or certification programs specific to certain plant health policies for import, export and domestic movement.

The specific activities and/or conditions associated with a permission vary based on risks associated with the commodity and/or activity. Regulated parties may be required to have an effective Preventive Control Plan (PCP) in place, meeting the standards as required by CFIA, in order to obtain a permission.

3.0 Acronyms

ASP
Alternate Service Provider
BL
Business Line
CAO
Complaints and Appeals Office
CoA
Centre of Administration
CRM
Customer Relationship Management
DSDP
Digital Service Delivery Platform
iAIM
integrated Agency Inspection Model
NARSC
National Accounts Receivable Service Centre
NSC
National Service Centre
OGE
Operational Guidance and Expertise
PCP
Preventive Control Plan
PPB
Policy and Program Branch
RCI
Regional Chief Inspector
SFCR
Safe Food for Canadians Regulations
SIP
Standard Inspection Procedure
SPP
Standard Permission Procedure
SRRM
Standard Regulatory Response Manual
SRRP
Standard Regulatory Response Process

4.0 Definitions

Administrative Query
Questions related to the CFIA permissions process that are not service requests and do not require technical review.
Administrative review
A review that does not require expertise from outside the CoA.
Applicant
An individual identified and authorized to submit a permission query or request.
External Applicant (My CFIA)
Includes applicants, industry/associations, public/consumers and stakeholders with a My CFIA party profile
External Applicant (non My CFIA)
Includes applicants, industry/associations, public/consumers and stakeholders without a My CFIA party profile (requests sent via mail, fax and phone).
Internal Applicant
Includes CFIA i.e. Inspectorate, CoA, NARSC, OGE, PPB, Legal services, Science Branch, any other CFIA groups.
Internal Functions
Include all CFIA branches and sections, such as CoA, NARSC, PPB, OGE, Program Management, Inspectorate, Science Branch and Legal Services potentially involved in a permission service request.
Permission case:
A unique identifier (case number) auto-generated by DSDP that can be linked to any related inspection cases.
Permission Service Request
For the purposes of these procedures, the term "permission service request" is general and inclusive of all permission service requests including applications for import, domestic and export services and invoicing.
Program Specialist
A general term that has been redefined to capture those people who deal with queries of a technical nature. These people may also be referred to technical specialists.
Technical Review
A review that requires expertise from outside the CoA by program specialists or inspection staff.

5.0 Roles and responsibilities

External applicants

Applicants are regulated party representatives determined through the My CFIA profile authorized to submit a permissions service request. Applicants are ultimately responsible for ensuring that their requests meet all of the requirements, including any requirement relating to timelines for completion. My CFIA is the electronic process that will facilitate the processing of most CFIA permission service requests.

Internal functions – National Accounts Receivable Centre (NARSC)

NARSC operates under the Accounting Operations Division. The main responsibilities of NARSC is on-account validation, reconciliation and confirmation of payments for service requests as well as monitoring of the submission of invoices and responding to any enquiries in regards to these areas of responsibilities.

Internal functions - CoA

The CoA operates under the National Service Centre. This unit may be responsible for:

Internal functions (non CoA)

Internal Functions include all other CFIA branches and sections that may be involved in the permissions process, including but not limited to: PPB, OGE, Ask CFIA, Program Management, Science branch, the Inspectorate and Legal Services. The responsibilities of these units include:

6.0 Authorities

The Canadian Food Inspection Agency (CFIA) has the authority to issue, amend, renew, suspend, cancel or reinstate permissions under various Acts and Regulations. For a complete list of Acts and Regulations for which the CFIA is responsible to administer and enforce, visit the website.

7.0 Processing permission service requests

There are 4 key aspects integral to the Standard Permission Procedure.

  1. The digital service delivery platform (DSDP) will serve as the central system for requesting and processing import, domestic and export related permissions.
  2. DSDP provides an outward facing component (My CFIA), allowing applicants to request and access permissions in each of CFIA's 3 business lines as well as enable the CoA to communicate with applicants and internal CFIA functions (e.g. the inspectorate) for clarification when required.
  3. DSDP provides an inward facing component (CRM), allowing CoA service agents to connect with the inspectorate and technical specialists to request validation of profiles, technical reviews and/or conduct inspections to confirm regulatory requirements and permission conditions can be met.
  4. DSDP provides opportunities for reporting capacity, allowing Agency staff to do data analysis and track trends related to CFIA permissions.

The following subsections outline a common process for processing permission service requests at a tri-business level that are consistent with the DSDP process for domestic, import, export and ministerial exemption permissions. These subsections identify and summarize the roles and responsibilities of applicants and CFIA internal functions.

Note

The DSDP (2017/2018) is being introduced to the various CFIA programs gradually. During the transition process, permission service requests for programs not yet linked to DSDP will still be processed for requests received via email, fax and mail.

7.1 Receiving and verifying permission service requests

For permission service requests to be processed and issued, an applicant must:

CFIA will encourage all applicants to apply for a party profile in My CFIA. This will greatly facilitate the processing of all service request permissions. Alternate processes may be allowed for those applicants who are not frequent users of CFIA or have limited access to internet services.

Public queries

The CoA deals with industry queries that are administrative and related to permissions. All technical queries will be sent to the Ask CFIA general email account once fully functional.

Access to permission-related information

Once enrolled onto My CFIA, applicants will have access to all permission related information for their businesses through this portal. My CFIA account functions will allow applicants to complete and submit permission service requests, make minor modifications and view informative messages. Alternate service provider relationships can also be made to allow other external users (e.g. brokers) to access information on behalf of their clients.

7.1.1 Receiving a request

Figure 1. Description follows.
Description for Figure 1

Process flow for receiving a request. Permission requests may be received by the CoA either from external applicants or internal functions of the CFIA. Internal functions include Policy and Programs Branch, Operational Guidance and Expertise, Program Management, Inspectorate, Legal Services and Science Branch. External applicants send requests to the CoA either by creation of a profile on MyCFIA or offline (FAX or email). Internal functions send requests directly to the CoA. The CoA generates a case number in CRM and a Service Centre agent selects a Permissions Application case. If the request is an administrative query or permissions service request the CoA develops and logs a response. A status response is sent to the applicant and the case moves to the verify and review process. If the request is not an administrative query or permissions service request the applicant is directed by the CoA to the appropriate function e.g. Ask CFIA.

All commodity specific permission service request forms can be found at this website.

  1. Internal and external requests are sent directly to the CoA, or to the NARSC. Requests may be sent via the MyCFIA portal, e-mail, mail, telephone or fax. The MyCFIA portal will display the status associated with a request from the initiation of the request to the closure of the case request. An applicant with a profile created under MyCFIA can monitor the status of their request online.
  2. Generally, requests are processed on a first come, first served basis. Circumstances where applicants require expedited services to facilitate trade will be actioned as a priority. The CoA will address both permission service requests and administrative queries. (Refer to Figure 1: Receiving a Request)
  3. For service requests received via email, mail, telephone or fax, CoA agents will enter these requests into CRM and case numbers will be assigned to each request. Applicants requesting service via the MyCFIA portal will have case numbers generated automatically.
  4. For queries, the CoA determines if the query is within the scope of the CoA (administrative queries). For queries outside the scope of the CoA (those questions that are not of a transactional and/or administrative nature about permissions or related inspections and technical queries), the applicants will be directed to send their questions to the Ask CFIA email address. In some programs, the CoA will forward these queries to the appropriate internal function.
  5. The CoA will track, process and respond to applicant's administrative queries.

7.1.2 Verifying and reviewing a request

Figure 2. Description follows.
Description for Figure 2

Process flow for the verification and review of the request. The permissions service request is accessed from CRM. If the request is not complete, accurate with payment information (if required) and matching required supplementary documentation the applicant is informed by the CoA. If the request is complete, accurate with payment information (if required) and matching required supplementary documentation it is decided if a profile validation is required. A profile validation is completed if required. If no profile validation is required and once a required profile validation is complete it is decided if a technical review or inspection is required. Technical reviews and inspections are triggered by CRM. If no technical review or inspection is required the request moves to the notification, issuance or refusal stage. If required technical reviews and inspections are completed by the appropriate internal function. Internal functions include Policy and Programs Branch, Operational Guidance and Expertise, Program Management, Inspectorate, Legal Services and Science Branch. A recommendation is sent to the CoA and the request moves to the notification, issuance or refusal stage.

The process for verifying and reviewing a service request can be separated into 2 major sub-groups:

  • requests relating to new permissions, renewals, and amendments
  • requests for cancellation/voiding, suspension, reinstatement of a permission, or addition of conditions (see section 7.6)
7.1.2.1 Verifying New Permissions, Renewals and Amending Permissions / Service Requests

The CoA performs the following verifications of the service request submitted by the applicant:

If the verification steps indicate missing information, missing payment information or missing information related to commodity/establishment status, the service request is placed on hold. The CoA will inform the applicant accordingly and request that the information be submitted.

If the verification is successful:

  1. the CoA determines if the request requires a profile validation, technical review and/or inspection
  2. if no profile validation, technical review or inspection is required (the request requires only an administrative process), the request is processed/logged and moves to the process of issuing and creating permission (see section 7.3)

Note

Certain requests for amendments may trigger the need for a request for a new permission. This may include requests for change of validity date, exporter, producer, origin, etc.

7.2 Assigning profile validations, technical reviews and inspection tasks

7.2.1 Assigning profile validations

Profile validations will be required for all service requests for individuals, organizations and alternate service providersFootnote 1 (ASP) who conduct business with CFIA online for the first time. Business Information must be validated, and includes the validation of a business' legal name, profile authority name and owner name. This information is provided on Proof of Business (PoB) documents, where the legal name and owner name will appear, and on Proof of Authority (PoA) documents, where legal name, profile authority name, owner name, and owner wet signature will appear. All supporting "Proof of Business" documents must be uploaded to the associated Profile / Account either from My CFIA by the enrolling party, or directly into CRM by the CFIA through information received via facsimile, email or mail. This validation step must be conducted prior to processing any service request to verify the legitimacy of information provided by applicants during the CFIA online enrolment and profile creation process. Party profile validations are conducted for first time service requests and once validated are locked within CRM. Any future amendments to party profiles will require additional validations. If discrepancies are identified, the applicant must be contacted by the CoA to verify disputed information and the source of the discrepancy.

7.2.2 Technical review of new permissions

Some service requests may require a technical review by a program specialist from the appropriate internal function. The CoA service agent will determine whether a technical review is required.

  1. The CoA service agent will trigger a technical review task through CRM. Any notes relevant to the case file will be entered into the system.
  2. The appropriate service coordinator, program specialist or program business line will be identified. Regional/Area contact lists are available and specify the appropriate commodity contacts or provide a generic email.

The program specialist will review the request to ensure that it meets the applicable regulatory requirements and permission conditions. A technical review can consist of reviewing the applicant's request and assessing related program risk factors. Upon completion, the CRM "Technical Review" task will be set to "completed" to notify CoA service agents. Any notes relevant to the case file will be entered into the system.

7.2.3 Assigning inspection tasks

Some service requests will require an inspection to be conducted and a decision to be returned by the Inspectorate before the permission can be issued.

  1. The CoA service agent will determine whether an inspection is required.
  2. The CoA service agent will trigger an inspection task through CRM. An inspection can consist of reviewing the applicant's facility, operations and/or PCP or any other specific program requirements. Any notes relevant to the case file will be entered into the system.
  3. The appropriate service coordinator, program specialist or program business queue will be identified. Regional/Area contact lists are available and specify the appropriate commodity contacts or provide a generic email.
  4. The inspection supervisor or district veterinarian will review the request, assign an inspector to conduct the inspection and determine whether the request can meet the applicable regulatory requirements and permission conditions. Upon completion, the CRM "Inspection" task will be set to "completed" to notify CoA service agents.

7.3 Issuing and creating permissions

Figure 3. Description follows.
Description for Figure 3

Process flow for notification, issuance or refusal of a request. If there was a recommendation from technical review or inspection not to proceed with the request the CoA will deny the request, notify the applicant or alternate service provider. If there was a recommendation from technical review or inspection to proceed with the request the CoA will create a permission record and notify the applicant or alternate service provider. The applicant will be invoiced if required and the case will be updated.

7.3.1 Issuing and creating permissions records

Before issuing and creating a permission, the CoA will make the following final verifications:

  1. for requests requiring a technical review, verify whether a technical review has resulted in a decision to proceed
  2. for requests requiring an inspection task, verify whether the inspection task has resulted in a decision to proceed
  3. there may be minor variations in how import, domestic and export permissions are issued and created in CRM (please refer to the Standard Operating Procedures for import/domestic, and the procedures in the Export Process overview for more information)

Note

If the applicant has access to MyCFIA they will receive an auto-notification and may be able to download their permission on line directly from MyCFIA.

7.3.2 Denying a request

Service requests will not be considered for further processing for any of the following reasons:

If the verification of the service request identifies any of the above reasons, the service request is denied and the CoA service agent will set the case status appropriately (e.g. Denied – Requirements Not Met). The details concerning the reason for the request being denied will be entered into the appropriate notes section and an email notifying the applicant of the denied request will be sent manually by the CoA service agent.

7.4 Invoicing for permission service requests

The CFIA charges fees in accordance with the Canadian Food Inspection Agency Fees Notice. CFIA service request application forms generally include the costs for the specific permission services and a method of payment section for the applicant to complete.

Permission service requests will not be processed until a method of payment is confirmed and an invoice is generated. Where payment tasks are created in CRM, payments are processed at the CoA, at the NARSC or at a local CFIA office. Payments are either processed upon receipt of the service request or upon issuance of the permission.

When a payment task has been created, the Service Agent will receive notification of payment by monitoring CRM. If the payment is made at a local office, the AR Centre would mark the payment task as paid once the deposit process is complete. Where no payment task has been created, this is considered an offline process and the current offline payment process is to be followed.

7.5 Amending, renewing and re-instating permissions

7.5.1 Amending a permission

In the event that a permission requires amending, a case for a permission amendment can be created in CRM. An amendment will require a new permission to be created and the old permission to be deactivated and cancelled/revoked.

7.5.2 Renewing a permission

In the event that a permission requires renewal, a case for a permission renewal can be created in CRM. A renewal will require a new permission to be created and the old permission to be deactivated and cancelled/revoked.

7.5.3 Re-instating a permission

In the event that a permission requires reinstatement, a case for a permission reinstatement can be created in CRM.

7.6 Suspending and cancelling/revoking permissions

When necessary, the CFIA must consider an enforcement action on a permission in order to promote industry compliance with CFIA legislation. Enforcement actions to promote compliance within CFIA's permission-related programs generally include the options of suspensions, cancellation/revocation. The justification to proceed with suspension/cancellation action varies among CFIA programs, but collectively these actions are directed to promote compliance with CFIA legislation.

Suspension is a tool used in situations of non-compliance due to food safety, plant protection or animal health concerns. Refer to the Standard Regulatory Response Process (SRRP) for more information on the suspension of a permission.

Cancellation or revocation is a tool that may be used in specific circumstances (e.g. changes to foreign import requirements) or as outlined in Acts or Regulations. Refer to the SRRP for more information on the cancellation of a permission.

The decision to suspend or cancel/revoke a permission will be recommended by the inspectorate. This recommendation will be invoked into CRM should the delegated authority (Operations Management) approve the decision. The permission action process flow within the SRRP describes the process of suspending and cancelling permissions. Business line specific operational guidance/SOPs/etc. will assist the Inspectorate in the decisions to suspend, cancel or revoke permissions. CoA service agents will deactivate the permission which will set the status of the permission to "suspended" or "cancelled/revoked" and the record will then become "inactive" in CRM.

Permission holders will always be notified when an action is pending on their CFIA permission (e.g. the deactivation of their permission). Permission holders may voluntarily withdraw from a CFIA permission program. The inspectorate will invoke the cancellation of the permission where authorized, and the CoA service agent will deactivate the permission in CRM.

8.0 Permissions contact information

CoA – Food and Animal Health

Email: permission@inspection.gc.ca
Mail: Canadian Food Inspection Agency
Centre of Administration
Permits, Licence and Registration
1050 Courtneypark Drive East
Mississauga, ON L5T 2R4

CCoA - Plant Health

Email: permission@inspection.gc.ca
Fax: 613-773-7229
Mail: Canadian Food Inspection Agency
Centre of Administration
Permits, Licence and Registration
59 Camelot Drive
Ottawa, ON K1A 0Y9

CNARSC

Telephone: 1-888-677-2342
Fax: 1-506-851-6557
Mail: Canadian Food Inspection Agency Accounts Receivable Service Centre
P.O. Box 6199
33 Weldon Street, Suite 100
Moncton, NB EIC 0N5

9.0 References

For general inquiries related to this Operational Guidance Document, please follow established communication channels, including submitting an electronic Request for Action Form (e-RAF).

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