Standard Inspection Process - Version 3.0
Only inspectors who have been trained on the common inspection approach (based on the integrated Agency Inspection Model-iAIM) should use this procedure. All other inspectors should follow existing procedures until they are trained.
On this page
- 1.0 Purpose
- 2.0 Overview of the inspection
- 3.0 Step 1 – Prepare for the inspection
- 4.0 Step 2 – Conduct the inspection
- 4.1 conduct the opening meeting
- 4.2 Conduct the initial walk-through
- 4.3 Confirm the scope
- 4.4 Perform inspection tasks
- 4.5 Determine if immediate control action is required
- 4.6 Determine compliance
- 4.7 Categorize non-compliance
- 4.8 Determine timeframe for regulated party to complete corrective actions
- 4.9: Enforcement
- 5.0 Step 3 – Communicate the inspection results
- 5.1 Conduct closing meeting
- 5.2 Issue inspection report and finalize the inspection case
- 5.3 Determine timeframes for CFIA follow-up inspections
- 5.4 Review request for extension to timeframe for corrective action completion
- 5.5 Appealing the inspection results
- 6.0 Step 4 – Conduct the follow-up inspection
- Appendix A: Recording inspection information in the Digital Service Delivery Platform (DSDP)
- Canadian Food Inspection Agency
- Categorization of Non-Compliance
- Client Relationship Management (a Microsoft Dynamics software)
- Digital Service Delivery Platform
- Establishment-based Risk Assessment
- integrated Agency Inspection Model
- Issues Management System
- Laboratory Sample Tracking System
- Operational Guidance
- Operational Guidance and Expertise
- Preventive Control Inspection
- Preventive Control Plan
- Record Document and Information Management System
- Standard Inspection Procedure
- Standard Operating Procedure
- Subject Matter Expert
- Specified Risk Material
- Standard Regulatory Response Process
- A disparity between the regulated party’s established preventive control plan (PCP) and the implementation of that preventive control plan.
- A biological, chemical or physical property that may cause an unacceptable health risk.
- A legal contravention of the applicable Acts and/or Regulations.
- The product of the severity of the consequences of a hazard and the likelihood of occurrence of these consequences.
The Standard Inspection Process (SIP) is the common approach for conducting inspections across CFIA's 3 business lines (food, plant and animal health). The SIP follows the Integrated Agency Inspection Model (iAIM) in describing 4 standard inspection steps: preparing, conducting, communicating and following up on inspections.
2.0 Overview of the inspection
Canadian Food Inspection Agency (CFIA) inspectors conduct inspections to assess whether a regulated party is in compliance with regulatory requirements, and permission conditions (if applicable). There are 3 inspection task types: systems-based preventive control inspections, sample collection, and commodity inspections.
Preventive Control Inspection
The Preventive Control Inspection task type is used for the evaluation of a regulated party's preventive controls to achieve compliance with regulatory requirements. This could include a regulated party's systems-based approach that focuses on prevention as a way to achieve regulatory compliance.
The Sample Collection task type is used for planned and as required samples which are submitted to the lab for analysis. This may include samples required for national sampling plans, verification against regulatory standards or requirements, complaints and investigations, surveys and surveillance.
The Commodity Inspection task type is used for the verification of a regulated party's product or thing against regulatory standards or requirements. It enables the analysis of a product or thing done by inspection staff, as compared to the sample collection inspection task type which require inspection staff to submit samples to laboratories for analysis.
Business line specific inspection procedures and other guidance can be found on Merlin:
- Food business line (internal access only)
- Animal health business line
- Plant business line
The 3 inspection task types can be used alone, or in combination, in a single inspection case. For example, if during a Preventive Control Inspection there is a need to verify compliance by using a different inspection task type: add a new inspection task using either Commodity Inspection task type or Sample Collection task type, and add the appropriate inspection task. Alternatively, if while conducting a Preventive Control Inspection, a sample is collected for a national sampling plan (Sample Collection task type) a new inspection case should be opened. Refer to the relevant business line guidance for the applicable inspection task types.
Inspectors will use common inspection techniques for all 3 inspection task types to gather information and verify compliance to the regulations or permission conditions, as applicable. This information will be used to support compliance decisions and any regulatory actions when non-compliances are identified.
Inspection information will be entered and will reside in the Digital Service Delivery Platform (DSDP). Procedures for the use of the DSDP to capture inspection data can be found in Appendix A and on the DSDP Merlin page (internal access only) in conjunction with the business line and commodity specific guidance.
The inspection process
There are 4 steps for completing Preventive Control, Sample Collection and Commodity Inspections, as depicted in figure 2 below:
At any point in the inspection, advice and/or guidance may be needed. The process for requesting advice and guidance is as follows:
- search for relevant operational guidance
- seek advice from the supervisor and the Advisory Community
- request advice or guidance from the appropriate Operational Guidance and Expertise (OGE) section, if advice or guidance is not available within the inspectorate or is still required
3.0 Step 1 – Prepare for the inspection
- establish the purpose of the inspection
- familiarize with commodity, activities, hazards and controls, and the compliance history of the regulated party, where applicable
- determine the inspection tasks to be included as part of the identified scope
- identify areas for inspection emphasis
Preparing for an inspection consists of 5 parts, as represented in figure 3 below. However, note that the steps involved in the preparation of the inspection may not necessarily follow a linear process.
3.1 Determine the scope of the inspection
The scope will be determined by the trigger (reason) for the inspection. Refer to Section A.4.1 – Determine the Scope of the Inspection for more information.
A trigger is determined by program design. In the DSDP, there are 8 trigger options.
|Inspection trigger||Applied when:|
|Preventive Control Inspection Plan||Conducting a preventive control inspection as per the national workplan.|
|Sample Collection Plan||Collecting a sample to be submitted to a lab as per the national workplan.|
|Commodity Inspection Plan||Conducting a commodity inspection as per the national workplan.|
|Incident Response||Conducting an inspection and/or control response to a suspect or realized risk.|
|Domestic Permission||Conducting an inspection to support the issuance of a domestic permission.|
|Export Permission||Conducting an inspection to support the issuance of an export certificate to a foreign country.|
|Import Permission||Conducting an inspection to support the issuance of an import permission.|
|ASD Verification||Conducting an inspection to verify that an alternate service provider meets CFIA requirements.|
The scope of an inspection includes the following:
1. One or more of the following inspection task types:
- Preventive Control Inspection
- Sample Collection
- Commodity Inspection
2. One or more inspection tasks that are added to the inspection case in the DSDP. The inspection tasks may vary based on the inspection task type. A complete list of inspection tasks is available in the DSDP under Administration on the Site Map.
For information on accessing and creating an inspection case in the Digital Service Delivery Platform, refer to Section A.3 – DSDP inspection case information of Appendix A.
Planned and as required inspections
Planned inspections are conducted as part of the annual work plan. The scope will be defined by the work plan and is generally pre-determined before the inspection case is assigned to the inspector.
As required inspections are those inspections conducted in response to an event (for example, complaints, referrals, a request for inspection by the regulated party for export; or, where required by law for interprovincial marketing purposes, etc.).
3.2 Establish the team
Inspections may be conducted individually or in teams. The team may include subject matter experts (SMEs) to perform specific functions or provide additional support. The SMEs do not need to be present for the entire inspection.
When inspections are conducted by an inspector accompanied by SMEs, the SMEs serve in an advisory capacity. Regardless of whether an individual or a team is needed, the following general steps are required:
- Determine the skills, knowledge, experience and qualifications required to conduct the inspection. Consider:
- commodity, activities conducted by the regulated party, processes and/or treatment
- hazards, risk mitigation and control measures normally associated with the commodity/treatment/process
- inspection task type(s) assigned
- policy or regulatory requirements
- Determine the SMEs required such as: biologists, veterinarians, process specialists, inspectors with audit skills, etc., as well as persons providing language interpretation.
- Determine the team size and composition based on needs. Consider the scope of the inspection, size and complexity of the facility and its operations, geographical location and resources available.
- Establish roles, responsibilities and tasks for the team members and any SMEs.
Consult with the supervisor to verify legal authorities related to conducting inspections with other government departments, prior to agreeing to conduct a joint inspection. In some cases, inspections may be conducted in conjunction with inspectors from other government (for example, provincial or federal) departments and from other CFIA programs.
3.3 Review information
Reviewing information is an important aspect of preparing for inspections. This includes information regarding the regulated party, the CFIA programs that the regulated party is associated with, their compliance history, applicable legislation and operational guidance and appropriate biosecurity measures to consider.
3.3.1 Regulated party/commodity information
- Check to see if the regulated party has a party profile. If the party profile is not found in the DSDP, contact the regulated party and request that they enroll in My CFIA. If the regulated party does not enroll, follow the process outlined in the SOP Searching for Party Profiles and Establishments (internal access only - RDIMS 10859888).
- Review information regarding the regulated party such as hours of operation, commodities/processes/activities, permissions, hazards and risk mitigation, and controls related to the activities examined as part of the scope of the inspection.
- Review any changes to the regulated party information since the last inspection.
- Review any correspondence (for example, emails, appeals, letters, etc.) related to the regulated party since the last inspection.
For information on reviewing the regulated party's profile in the DSDP, refer to Section A.4.3 – Review Information of Appendix A.
3.3.2 Compliance history
- Review past CFIA inspection results and enforcement actions.
- Determine if there are any previous and outstanding non-compliances; the associated deadlines for corrective action completion; or requests granted for an extension to the timeframe for completion of a corrective action, and their new implementation deadline.
- Review analytical reports (for example, past laboratory results).
- Examine complaints, recalls etc. related to the commodity (for example, CFIA's Issues Management System, IMS).
For information on reviewing the regulated party's compliance history in the DSDP, refer to Section A.4.3 – Review Information of Appendix A.
3.3.3 Applicable requirements, documents
- Review applicable Acts and Regulations associated with the scope of the inspection and any additional relevant operational guidance and references.
For information on requesting additional advice in the DSDP, refer to SOP Requesting Advice for an Inspection Case (internal access only – RDIMS 9855738).
3.3.4 Applicable biosecurity measures
- Determine if the facility has biosecurity measures that need to be respected.
- Request biosecurity protocol(s) where commodity specific protocols exist.
- Review biosecurity measures applicable to the commodity and/or related activities to prepare accordingly. Ensure the flow of the inspection is conducted in a manner that does not introduce hazards and to reduce the potential of being a vector of pests, diseases and contaminants during the course of the inspection.
- Follow appropriate biosecurity measures for preparation, cleaning and sanitizing equipment, vehicles, etc. prior to arriving at the regulated party's premises.
- Review the Biosecurity for Inspection Activities OG (internal access only - RDIMS 7500000), which provides horizontal guidance for the inspector to make decisions with respect to biosecurity measures.
- Review the Operation Procedure Sanitation and/or decontamination of mobile devices for routine operations.
For information on requesting additional advice in the DSDP, refer to SOP Requesting Advice for an Inspection Case (internal access only – RDIMS 9855738).
3.4 Notify the regulated party
CFIA inspectors have the authority to enter a regulated party's premises to perform inspections, announced or unannounced. The purpose of the inspection usually dictates if an announced or unannounced inspection is required. The inspectors are to use their judgement and consult with their supervisor to determine whether notification is required.
Notification may be given to the regulated party of an upcoming inspection to ensure that:
- appropriate staff are available on the inspection date
- the facility is in operation during a scheduled inspection
- specific processes and products are available to be inspected on the date of inspection
- CFIA is made aware of any changes to regulated party's location, profile, responsible personnel, biosecurity measures, etc. prior to the inspection (NoteFootnote 1).
Notification can be provided verbally or in writing via an e-mail. The notification letter template (internal access only – RDIMS 11289579) can be used to assist in notifying the regulated party of a future inspection.
For information on completing the DSDP, refer to Section A.4.4 – Notify the Regulated Party of Appendix A.
3.5 Prepare the toolkit
- Review the list of equipment described in the Inspector Toolkit (internal access only – RDIMS 11289973).
- Determine if any additional equipment is required based on the commodity and activities covered in the scope of the inspection.
For information on completing the DSDP, refer to Appendix A:
- Section A.3.4 – Recording time within the inspection case
- Section A.3.5 – Notifications using DSDP
- Section A.3.3 – Declining an inspection case
4.0 Step 2 – Conduct the inspection
- to verify compliance to the Acts and Regulations administered and/or enforced by the CFIA
Conducting an inspection consists of the parts as represented in figure 4 below.
4.1 conduct the opening meeting
The purpose of the opening meeting is for the inspector to:
- Communicate the legal authority, CFIA responsibilities, inspection scope, inspection process, resources required, etc. to the regulated party, including those responsible for the activities being examined.
- Provide the opportunity for clarification and exchange of information.
The opening meeting may be formal or a basic discussion of inspection details.
During the opening meeting the CFIA inspector will:
- Introduce all participants (CFIA, regulated party, SMEs and any other government personnel present), to clarify roles and responsibilities.
- Display CFIA designation card and/or badge.
- Provide the privacy notice statement prior to the inspection (Privacy Notice Statement internal access only – RDIMS 11606579). This can be provided via a hard copy, or verbally.
- Communicate the inspection scope, estimated duration, process to be used.
- Indicate that the regulated party will be advised of any changes to the scope during the course of the inspection.
During the opening meeting the CFIA inspector may also where applicable:
- Identify the status of non-compliances from previous inspections, obtain the status of corrective measures, and confirm if any extensions to permanent corrective action implementation deadlines have been requested and granted.
- Request that key staff or resources required are identified and available to assist with the inspection.
- Confirm whether there are any changes to the regulated party's profile such as to the establishment, equipment, commodities, activities, etc.; note any revisions in the DSDP.
- Confirm the regulated party's biosecurity and health and safety requirements (including applicable provincial requirements).
- Advise that an end-of-day discussion may be conducted to provide information of the day's inspection results, including any non-compliance that were observed; that is, when inspections take more than 1 day to complete.
- Determine an approximate date, time and location for the closing meeting.
Refer to Opening/Closing Meeting Checklists (internal access only – RDIMS 11289897) for an Opening Meeting Checklist that can be printed and taken out on inspection.
For information on completing the fields relating to the opening meeting in the DSDP, refer to Section A.5.1 – Conduct the Opening Meeting of Appendix A.
4.2 Conduct the initial walk-through
An initial walk-through is not mandatory for all inspection task types. The inspectors must use their judgement to determine if an initial walk-through is necessary.
If an initial walk-through (interior/exterior) is conducted then:
- observe any new commodities, operations, equipment, establishment extensions and practices
- identify aspects within the preliminary scope that should be either emphasized or targeted for more intensive inspection and areas that should be added to the scope of the inspection (example: add preventive control sub-element tasks; commodity inspection tasks; or sample collection inspection tasks)
- ensure the permissions are aligned with the activities taking place
- ensure that the flow of the inspection does not introduce hazards and respects biosecurity principles applicable to the commodity and/or related activities; or
- verify, if possible, that interim measures are still effective for outstanding non-compliances where the timeframe for completion of corrective actions has not yet passed.
For information on completing the fields relating to the initial walk-through in the DSDP, refer to Section A.5.2 – Conduct the Initial Walk-through of Appendix A.
4.3 Confirm the scope
The following actions are required when confirming the scope:
- Determine if the preliminary scope remains the same or if an amendment is required.
- Identify aspects within the preliminary scope that should be either emphasized or targeted for more intensive inspection and areas that should be added to the scope of the inspection (example, add preventive control, sample collection, or commodity inspection tasks).
- Record the justification for the change to the scope where applicable.
- Communicate any changes to the scope to the regulated party as soon as possible.
Respect the preliminary scope where possible.
Potential reasons to amend (change, expand or reduce) the inspection scope include:
- identified potential food safety concern or potential plant or animal health issue
- changes in activity (example: regulated party has begun or stopped exporting)
- recalls, complaints
- non-compliance with contributing factors linked to another sub-element outside the initial scope; or
- outstanding non-compliances within sub-elements not in the current inspection scope where interim measures are not effective.
If outstanding non-compliances have been discovered in the initial walk-through, verify that interim measures are still effective. If the interim measures are no longer effective, and the applicable tasks are not already within the initial inspection scope, then expand the scope and perform the activities related to the outstanding non-compliances.
For information on confirming or adjusting the inspection scope in the DSDP, refer to Section A.5.3 – Confirm the Scope of Appendix A.
4.4 Perform inspection tasks
Inspectors can be assigned the following 3 inspection task types: Preventive Control Inspection, Sample Collection or Commodity Inspection.
For these inspection task types, inspection data will be captured within a DSDP inspection case, which could be initiated due to various DSDP triggers. Business line guidance will indicate which DSDP triggers and inspection tasks will be used. A complete list of tasks under the commodity inspection task type is available in the DSDP under Administration on the Site Map.
The 3 inspection task types can be used alone, or in combination, in a single inspection case. For example, if during a preventive control inspection there is a need to verify compliance by using a different inspection task type: add a new inspection task using either commodity inspection task type or sample collection task type, and add the appropriate inspection task. Alternatively, if while conducting a preventive control inspection, a sample is collected for a national sampling plan (sample collection inspection type) a new inspection case should be opened. Refer to the relevant business line guidance for the applicable inspection task types.
For information on the fields associated to all task types in the DSDP, refer to Section A.5.4.1 Inspection Verification Activities for Preventive Control Inspections, Sample Collection and Commodity Inspections of Appendix A.
4.4.1 Preventive control inspection
The preventive control inspection task type is used for the evaluation of a regulated party's preventive controls to regulatory requirements. This could include a regulated party's systems-based approach that focuses on prevention as a way for a regulated party to achieve regulatory compliance.
This inspection type will evaluate the regulated party's preventive controls as applicable to the regulated party's operation including prescribed requirements for animal and plant health, food safety and labelling, product quality, and composition.
Preventive control inspections may be required to evaluate systems based programs prior to approval, or to maintain the permission or status in specific programs.
The inspector will use the outcomes, verification activities and performance criteria related to each preventive control inspection sub-element to evaluate compliance of a regulated party's preventive controls against the applicable regulatory requirements and/or permission conditions. This evaluation could include the assessment of a regulated party's written program, documents and records, observations at the facility, measurements and interviews with employees. Each preventive control inspection sub-element will list the outcome, verification activities and performance criteria that will be required to perform the inspection.
4.4.2 Sample collection
The sample collection task type is used for planned and as required samples which are submitted to the lab for analysis.
Samples may be required for national sampling plans, verification against regulatory standards or requirements, complaints and investigations, surveys, surveillance, etc. Examples include sample collections for product identity, assessment for soil or pests, evaluation for toxins or disease, etc.
Business line guidance will provide procedures for the notification and submission of samples to the laboratories. The Laboratory Sample Tracking System (LSTS) will continue to be the main tool used by the CFIA to track and compile the information pertaining to laboratory samples. Business line operational guidance will describe the manner in which sampling information will be collected, analyzed and reported.
For information on capturing notes relating to taking samples in the DSDP, refer to Section A.5.4.1 Inspection Verification Activities for Preventive Control Inspections, Sample Collection and Commodity Inspections of Appendix A.
4.4.3 Commodity inspection
The commodity inspection task type is used for the verification of a regulated party's product or thing against regulatory standards or requirements. It enables the analysis of a product or thing done by inspection staff, as compared to the sample collection task type which require inspection staff to submit samples to laboratories for analysis.
Commodity inspections can consist of a wide range of inspection activities that are conducted by the inspector on the commodity including: label verification, crop inspection, specified risk material (SRM) inspection, etc.
The inspector will evaluate commodities based on applicable regulatory requirements and/or permission conditions. Business line operational guidance will describe the manner in which commodity information will be evaluated and reported.
For information on capturing notes relating to document and record reviews in the DSDP, refer to Section A.5.4.1 Inspection Verification Activities for Preventive Control Inspections, Sample Collection and Commodity Inspections of Appendix A.
4.4.4 Inspection verification activities for preventive control inspections, sample collection and commodity inspections
Inspectors will use a combination of inspection methods and techniques to assess compliance to regulatory requirements for all 3 inspection task types (Preventive Control, Sample Collection, and Commodity Inspection), including—where applicable:
- document and record review
184.108.40.206 Document and record review
The purpose of examining documentation is to:
- target areas, product or processes to be inspected (for example, areas of higher risk)
- verify if the procedures are complete, implemented accordingly and are effective
- verify that regulatory requirements pertaining to documents and records are being met
Examples include processing records, complaint records, training records, sanitation records sample and testing results, certificates, receiving records, PCP, permission documents, etc.
If applicable, inspectors should review documentation and records using the following guidelines:
- Select a representative cross-section of the records to identify and observe any deviations and corrective actions taken.
- Note any inconsistencies (for example, gaps, anomalies).
For information on capturing notes relating to document and record reviews in the DSDP, refer to Section A.5.4.1 Inspection Verification Activities for Preventive Control Inspections, Sample Collection and Commodity Inspections of Appendix A.
Observation is not limited to visual assessment alone; it may also include sensory factors such as using hearing, touch and smell.
The purpose of observations is to gather information to evaluate whether:
- the commodity meets regulatory requirements (for example, no contamination observed, no unacceptable odours, etc.)
- the program is implemented as described and is effective
- the conditions of the premises and locality (weather, environmental factors etc.) impacts food safety, animal or plant health or compliance to regulations
- the conditions and functioning of the equipment impacts food safety, animal or plant health or compliance with regulatory requirements
- the employees are conducting their work activities, as per the established procedures
For information on capturing notes relating to observations in the DSDP, refer to Section A.5.4.1 Inspection Verification Activities for Preventive Control Inspections, Sample Collection and Commodity Inspections of Appendix A.
The purpose of the interview is to confirm that the employees:
- understand the procedures that they are to follow to produce safe and compliant commodities, and have put these procedures into practice
- know when and how to take corrective action if an issue or deviation arises; including taking immediately control of affected or potentially affected product(s)
- keep accurate and complete records
- have appropriate training to conduct their assigned tasks
For information on capturing notes relating to observations in the DSDP, refer to Section A.5.4.1 Inspection Verification Activities for Preventive Control Inspections, Sample Collection and Commodity Inspections of Appendix A.
Measurements taken during the course of an inspection, support compliance decisions and allow the completion of assigned inspection tasks activities. Measurement includes activities such as taking temperature, humidity, moisture content, presence of soil, etc. This section also allows for specific descriptors to be documented such as tattoo identification, lot identification, breed, etc.
For information on capturing notes relating to measurements in the DSDP, refer to Section A.5.4.1 Inspection Verification Activities for Preventive Control Inspections, Sample Collection and Commodity Inspections of Appendix A.
4.5 Determine if immediate control action is required
The inspector will take the following actions where there is a potential for human, animal or plant health, or the environment or economy/trade to be severely impacted:
- Communicate and discuss the issue with their supervisor (if necessary) to determine if immediate action is required.
- Communicate and discuss the issue with the regulated party contact to see if further action is required, ensure immediate action is taken to control the affected commodity:
- Determine if the entire affected and potentially affected commodity is under control (for example, initiation of a health or safety investigation).
- Initiate control action (for example, seizure, detain product, stop production, recall, etc.) if the whole commodity is not effectively controlled.
- Use the Standard Regulatory Response Process (SRRP), which outlines the steps taken when control action is required.
For information on capturing notes relating to control actions in the DSDP, refer to Section A.5.2 – Capture Regulatory Response Actions of Appendix A.
4.6 Determine compliance
During this step, the inspector interprets and analyzes the information collected during the inspection (inspector notes) to determine compliance with regulatory requirements and permission conditions. The inspector takes into account all objective information and makes determinations and decisions regarding the compliance of the regulated party.
4.6.1 Compliance decision and reference
Any non-compliance must be reported, regardless if permanent corrective actions were implemented by the regulated party before the end of the inspection.
A non-compliance is a contravention of a regulatory requirement or failure to meet permission conditions.
A non-regulatory non-compliance is a failure to meet permission conditions, which are not stipulated in legislation. The inspector identifies during data entry whether the non-compliance is regulatory or non-regulatory.
- Non-regulatory non-compliances include requirements under voluntary program that are not cited in regulations; any other kind of individual permission; or any license condition not set out in law.
- A non-regulatory non-compliance should not be selected within the DSDP unless stated in program or commodity-specific guidance. Failure to meet with a best practices manual is not a form of non-compliance.
4.6.2 Objective evidence
Objective evidence is clear and factual information, derived from verification activities and the common inspection techniques, which support a non-compliance. This information is provided on the Inspection Report that will be submitted to the regulated party once the inspection is completed.
Information selected as objective evidence should be in an adequate amount and level of detail required for another inspector to reach the same compliance decision. In addition, a non-compliance may be supported by objective evidence observed in one or more inspection tasks.
The regulated party must be in compliance at all times; however, it is recognized that they may need time to take permanent corrective action when non-compliance occurs. In the meantime, effective interim measures must be taken to address any non-compliance.
For information on capturing the non-compliance and objective evidence in the DSDP, refer to Section A.5.5 – Determine Compliance of Appendix A.
4.7 Categorize non-compliance
The categorization of non-compliance (CNC) assesses the potential consequences of a non-compliance and the likelihood of occurrence. The purpose of categorizing a non-compliance is to inform:
- timeframes for regulated party to complete permanent corrective actions
- timeframes for CFIA follow-up inspections
- adjustment of level of CFIA oversight
- program design/re-design
The process of CNC is organized into 4 steps (Sections 4.7.1 – 4.7.4) which seek to answer questions raised intuitively when assessing the level of impact that may result from a non-compliance.
The category of non-compliance is based on the impacts of the individual non-compliance, not on the compliance history or intent of the regulated party. Compliance history and intent will be taken into account as part of the enforcement function: see Standard Regulatory Response Process.
Under the iAIM, hazards/concerns (health, environmental, economic, consumer protection, trade, etc.) must be managed or eliminated during production, processing, importing or distribution.
Regulated parties are responsible to:
- produce, distribute or import commodities that meet Canadian regulatory requirements
- mitigate identified hazards/concerns and reduce hazards associated with regulated commodities to an acceptable level through responsible practices such as control measures, processing controls, contamination and cross-contamination controls, limiting exposure
- export commodities that meet foreign importing country requirements
The effectiveness of preventive controls and mitigation depends on their ability to:
- achieve compliance or mitigating/reducing hazards to acceptable levels
- prevent or detect and correct deviation prior to release into the market
The Categorization of Non-Compliance Process document (internal access only – RDIMS 11292219) outlines the process for CNC.
4.7.1: Identify the non-compliance type
Purpose: To identify the type of non-compliance based on the information collected during the inspection.
Select all applicable types/hazards/concerns that reflect the impact caused by the non-compliance; see below for a list of non-compliance types.
(human, animal, plant)
|Biological||Any pathogen, pest or vector of a pathogen or pest that poses a danger to human, animal or plant health or the environment (e.g., bacteria, viruses, parasites, prions, insects)|
(human, animal, plant)
|Chemical||A chemical substance that is not normally found in a commodity; or that exceeds allowable levels in a commodity and poses a danger to human, animal or plant health or the environment (for example, veterinary drugs, contaminants, pesticides, toxins)|
(human, animal, plant)
|Physical||Any foreign material that is not normally found in or on a commodity; or that poses a danger to human, animal or plant health or the environment|
(human, animal, plant)
|Allergen||The presence of undeclared or improperly declared allergens|
(human, animal, plant)
|Nutritional||Incorrect nutritional composition in a commodity|
(human, animal, plant)
|Animal Welfare||Conditions of the environment or situations/practices that may cause avoidable injury, avoidable suffering or death of animals (for example, overcrowding, restricted space, improper ventilation)|
|Environmental||Other||Any issues that may create an environmental concern (for example, contamination from plants with novel traits, invasive alien species)|
|Economic||Consumer protection, Fraud, Misrepresentation, Risk to industry sector, Other||Issues resulting in economic gain for the regulated party; economic loss to consumers, competitors or industry sector because use of unfair or deceptive practices|
|Trade||Risk to export eligibility, Other||Issues affecting or having the potential to affect domestic or international trade or relations|
|Other||Other||No effect on humans, plants, animals, the environment, the economy or trade|
4.7.2: Determine the severity of consequence(s)
Purpose: To determine the severity of the consequence of the non-compliance if the consequences were to occur.
The 3 levels of severity of consequences are defined as:
Low: exposure to the hazard/concern is not likely to cause any adverse consequences for humans, plants, animals, the environment, the economy or trade
Medium: exposure to the hazard/concern could result in temporary or non-critical consequences to humans, plants, animals or the environment or have a moderate effect on the economy or trade
High: exposure to the hazard/concern could cause permanent disability or death for humans, plants, animals, or serious effects on the environment, the economy or trade
If there is insufficient information to determine severity, then use the Guide for Determining the Severity of Consequences of Non-Compliance (internal access only – RDIMS 11289853) to help determine the level of severity (low, medium, high). If the guide does not provide enough information to help in the determination of the severity, then the severity is "high" until demonstrated otherwiseFootnote 2.
The severity of consequences is represented on the horizontal-axis in Figure 5 below.
4.7.3: Determine the likelihood of occurrence
Purpose: To determine the likelihood of occurrence of the consequences of the non-compliance, based on the controls of the regulated party over the hazard or concern.
The 3 levels of likelihood are defined as:
Very Likely: There are little or no control(s) in place, the controls are not effective or there is high potential for exposure to the hazard or concern.
Likely: There are some control and/or mitigation measures in place and there may be gaps, inconsistency, or some potential exposure to the hazard or concern.
Unlikely: The controls are in place and effective. Mitigation addresses the issue and there is minimal potential exposure to the hazard or concern.
In order to determine the level of likelihood, consider the inspection results related to control measures.
Review control measures that reduce, mitigate or increase the likelihood of occurrence. Consider the regulated party's controls from initial inputs to end use.
Determine the likelihood of occurrence – very likely, likely or unlikely. Below are some considerations when making the determination:
- If the likelihood of occurrence cannot be determined due to high uncertainty, then very likely is selected until additional information can be obtained.
- Identify whether there are any controls
- Determine effectiveness of controls (i.e., are they working and doing their job)?
- Review the controls in place for the Preventive Control Inspection sub-element(s) where the non-compliance was found.
- Review the controls in place for the Preventive Control Inspection sub-element(s) other than where the non-compliance was found.
- Review control measures at any other point in the process that reduces, mitigates or increases the likelihood of occurrence.
- Does the non-compliance affect other control measures (other controls will be rendered ineffective)?
- Do other controls or factors exist that may eliminate or minimize the likelihood of occurrence of the hazard (for example, the commodity is subject to additional processing before packaging, the animal is vaccinated prior to movement)?
- Do conditions exist specific to the commodity or host that would cause the likelihood of exposure to the hazard to decrease or increase (for example, mitigating factor or aggravating factor like a commodity that supports the growth of the biological hazard)?
- Determine effectiveness of controls considering the initial level of contamination.
Depending on the inspection type, different information will be available to help determine likelihood:
- Preventive controls and performance criteria can be considered for a Preventive Control inspection; as well as for any Commodity or Sample Collection inspection task types created under a Preventive Control inspection
- If a Commodity or Sample Collection inspection task type is done outside of a Preventive Control inspection, then preventive controls and performance criteria are not considered
If the consequence has already occurred, then the probability of occurrence is very likely in all cases and for all types of inspection tasks.
The likelihood of occurrence is represented by the vertical-axis in the CNC Figure 5 used in section 4.7.4.
4.7.4: Categorize the non-compliance
Purpose: To categorize the non-compliance based on its impacts.
Categorize each non-compliance using Figure 5:
The objective evidence should clearly support the categorization decision.
If a non-compliance has more than oneFootnote 3 non-compliance type or hazard or concern identified, then repeat 4.7.1 to 4.7.4 until the most severe category is identified and record the most severe category in the DSDP. In addition, identify whether a different requirement may be applicable to the other non-compliance type(s).For information on capturing the categorization of non-compliance in the DSDP, refer to Section A.5.5 – Determine Compliance of Appendix A.
4.8 Determine timeframe for regulated party to complete corrective actions
The regulated party is required to be in compliance at all times; however, it is recognized that they may need some time to take permanent corrective action when non-compliance occurs. The timeframe to complete corrective actions must reflect the severity of the impact of the non-compliance as well as take into consideration, when possible, the time required for the regulated party to address the root cause and correct permanently the non-compliance. These timeframes are assigned by the inspector based on Table 1 (where those timeframes are not applicable, more suitable guidelines may be found in Business Line or Commodity specific guidance).
For example, a non-compliance that requires immediate action should be identified to the regulated party and must be addressed with an interim or permanent corrective action. If an interim measure is put in place, the inspector may allow up to 10 days for the regulated party to complete the permanent corrective action.
For all non-compliances, the timeframe to complete corrective actions is calculated starting the day after the regulated party was notified by the inspector of the non-compliance.
|Non-Compliance Category||Timeframe for Regulated Party to Complete Corrective Action (in calendar days)|
|Severe||Up to 10 days|
|Moderate||Up to 60 days|
|Minimal||Up to 180 days|
Timeframe to complete corrective actions is calculated as 0 for non-compliances where permanent correct action was taken prior to the closing meeting.
For information on capturing the timeframe(s) to complete corrective actions and to whom the non-compliance was reported to in the DSDP, refer to Appendix A:
- Section A.5.5 – Determine Non-Compliance
- Section A.5.6 – Entering Timeframe for Regulated Party to Complete Corrective Actions
Any thing that is not in compliance with regulations may be subject to enforcement by CFIA. The enforcement response is initiated when non-compliance occurs. The Standard Regulatory Response Process outlines the steps taken in response to the non-compliance.
For information on capturing the regulatory response in the DSDP, refer to Section A.5.5.2 – Capture Regulatory Response Actions of Appendix A.
5.0 Step 3 – Communicate the inspection results
- Communicate the results of the inspection and non-compliances observed
- Provide an opportunity for discussion at the end of the inspection
- Provide the written inspection report
- Communicate the timeframes for the regulated party to complete permanent corrective actions
- Evaluate requests for extension to timeframes for corrective action completion
For inspections that span more than 1 day, a brief end-of-day discussion can be held to summarize the events of the day and to plan for the remainder of the inspection. The end of day discussions may precede a formal closing meeting, in order to notify the regulated party of any non-compliance that have been identified prior to the completion of the inspection. The timeframes for the regulated party to complete corrective actions are calculated starting the day after the regulated party was notified by the inspector of the non-compliance.
5.1 Conduct closing meeting
A closing meeting is held once the on-site inspection and all inspection tasks are completed. The closing meeting may be formal or a basic discussion of inspection details. The purpose is to provide verbal feedback to the regulated party regarding the results of the inspection, and any non-compliance observed. In the situation where the inspector requires additional clarification (for example—with the supervisor at the CFIA office to review/validate inspection information) the closing meeting may be conducted up to a few days after the on-site inspection.
During the closing meeting, the inspector may where applicable:
- discuss the overall results of the inspection
- discuss and clarify any actions or control measures taken by the regulated party or the inspector during the inspection
- provide a verbal presentation of all non-compliances identified
- communicate to the regulated party if further analysis and consultation are required to determine compliance
- provide all the timeframes for completing corrective actions related to each non-compliance and explain that the follow-up inspection will assess if compliance has been re-established
- indicate that the inspection report will be provided as soon as possible (within 5 working days from closing meeting)
- respond to questions, concerns or requests for clarification expressed by the regulated party
- discuss any required next steps and expectations
The inspector must notify their supervisor immediately if there is disagreement from the regulated party over the categorization of the non-compliance, any action taken by the inspector or the potential impact on the regulated party's operations or the commodity.
Refer to Opening/Closing Meeting Checklists (internal access only - RDIMS 11289897) for a Closing Meeting Checklist that can be printed and taken out on inspection.
For information on capturing notes relating to the closing meeting in the DSDP, refer to Section A.6 – Communicate the Inspection Results of Appendix A.
5.2 Issue inspection report and finalize the inspection case
The inspection documentation presented to the regulated party will be the Inspection Report.
The purpose of the Inspection Report is to communicate to the regulated party:
- that an inspection was conducted
- which inspection tasks were conducted
- all non-compliances found where applicable
- any actions taken during the inspection to address the non-compliance
- timeframe for completion of corrective action
The inspector returns to the office, completes the inspection report and submits it to their supervisor for review and approval (if applicable).
Once the report is approved by the supervisor, the inspector will send it to the regulated party via the DSDP portal, as well as other means if requested (for example, email, fax, etc.). If the regulated party requests a meeting to discuss the inspection report, the inspector is to use their judgement to decide if a phone call, or subsequent meeting is needed. The report should be signed by the inspector.
In certain instances, an inspection report may not be required to be submitted for sample collection, and commodity inspections. Refer to program specific guidance for instances where this may occur.
Review the CFIA Fee Schedule for fees that are linked to inspection tasks. Apply the fees according to the Operational procedure (OP/PO-175): Collection and invoicing of user fees for cost recoverable inspection activities and service requests (internal access only – RDIMS 6159161).
Once the Inspection Report has been submitted to the regulated party, signed, and all required fields in the inspection case have been completed, the inspection case must be deactivated (closed) to prevent any further editing. A follow-up inspection will be considered a separate inspection case.
Reminder: Only non-compliance and objective evidence is to appear on the inspection report. Recommendations and opinions are not appropriate.
For information on completing the remaining fields, generating an inspection report and saving this report in the DSDP, refer to Appendix A:
- Section A.3.4 – Recording Time Within the Inspection Case
- Section A.6 – Communicate the Inspection Results
5.3 Determine timeframes for CFIA follow-up inspections
Follow-up inspections are conducted to verify that the permanent corrective actions are implemented and effective to reach compliance.
Timeframes for follow-up inspection are based on the regulated party's timeframe for corrective action (Section 4.8). Use Table 2 below, to guide scheduling of follow-up inspections.
|Non-Compliance Category||Timeframe (in calendar days) for CFIA follow-up inspection|
|Severe||Immediate or after the timeframe given to the regulated party|
|Moderate and Minimal||After the timeframe given to the regulated party or at the next scheduled inspection.|
There may be situations where the follow-up guidelines in Table 2 are not practical (for example, when the timeframe for corrective action completion by the regulated party is not based on Table 1 but rather on guidelines found in business line or commodity specific guidance). For example, there may be situations where seasonal operators are not in operation at the time of the follow-up inspection and do not have recently produced products for CFIA to verify compliance. Follow-up inspections for these situations will be conducted at the start of the next season's operations; or at the next planned inspection.
The regulated party may require major capital initiatives and/or additional time, to satisfactorily address the non-compliance; such as for the restoration of building structures, purchasing of new equipment that must be ordered from another country, etc.
Where there is no impact on food/plant/animal health and the environment, follow-up timeframes may be extended. Refer to Section 5.4 below for the conditions for regulated parties to request an extension for corrective action completion.
5.4 Review request for extension to timeframe for corrective action completion
In extenuating circumstances, more time may be required to address non-compliance(s) than the time period originally allocated. A written request can be made by the regulated party for an extension to the timeframe for completing corrective actions.
The following describes the information required and circumstances to be considered for the review and decision on whether or not an extension request should be granted.
5.4.1 Information required for assessing the request
- Written requests for extensions must be submitted prior to the original established completion date.
- The request includes:
- the rationale for requesting the change
- the non-compliances associated with the extension request, and a description of the interim measures
- a proposed new timeframe for the corrective action to be completed
- any additional documentation on the extenuating circumstances that supports the need for an extension
5.4.2 Granting requests for an extension
- An extension can be granted when:
- a written, valid request for an extension is submitted before the original established completion date which includes the required information as described in Section 5.4.1
- human, animal, or plant health or the environment is not compromised, due to the extension and interim measures are effective
For information on capturing an extension in the DSDP, refer to Section A.6.4 – Request for Extension to Timeframe to Correct Non-compliance of Appendix A.
5.4.3 Denying requests for an extension
Extension requests may be denied when requirements set out in sections 5.4.1 and 5.4.2 are not met.
5.5 Appealing the inspection results
If the regulated party disagrees with the inspection results, they should contact the lead inspector named on the inspection report as a first step. If the concern continues to be unresolved, the regulated party should be directed to speak with the inspector's supervisor (manager or director level). The disagreement may involve:
- non-compliant results
- the categorization of the non-compliance
- the timeframes for completion of corrective actions
- an increase in the level of oversight
- actions taken by the CFIA to address non-compliance
If the disagreement is not resolved, the regulated party should be directed to the CFIA's complaints and appeals process.
6.0 Step 4 – Conduct the follow-up inspection
- Verify that non-compliance is corrected and a state of compliance is re-established.
6.1 Schedule the follow-up inspection
Schedule the follow-up inspection, according to the guidance provided in Section 5.3, Table 2, as appropriate. Prepare for the follow-up inspection following the guidance in Step 1 - Preparation.
6.2 Determine the scope of the follow-up inspection
To determine the scope of the follow-up inspection, the inspector:
- reviews the previous inspection report
- identifies the non-compliance(s) for which follow-up inspections are due
- selects the applicable inspection tasks which relate to the non-compliance(s)
For information on creating the follow-up inspection case in the DSDP, refer to Section A.7.1 – Access the Follow-up Inspection Case and Capture Inspection Information of Appendix A.
6.3 Conduct the follow-up inspection
Conduct the follow-up inspection using the guidance in Step 2 – Conduct the Inspection, and Step 3 – Communicate the Inspection Results to verify that non-compliance is corrected and a state of compliance is re-established and reoccurrence is prevented.
When conducting the follow-up inspection, perform enough verification activities to determine if the non-compliance(s) have been addressed.
Follow the procedures outlined below to determine the appropriate action to take for outstanding non-compliances. The procedures may vary based on the timeframe for corrective actions identified on the initial inspection report and the effectiveness of the corrective actions (permanent or interim).
For all outstanding non-compliances, discuss their status with the regulated party during the opening meeting. During the on-site inspection, verify that the interim measures that were taken by the regulated party are effective in addressing any non-compliance(s) where the timeframe for corrective actions has not yet passed.
For outstanding non-compliances associated to sub-elements or other inspection task not in the intended inspection scope, if:
- the interim measures are not effective, then:
- expand the scope by adding the appropriate sub-element(s) or other inspection task
- record the non-compliance in the inspection case
- take appropriate control and/or enforcement action (refer to the Standard Regulatory Response Process if required)
- the interim measures are effective, then:
- do not add the sub-element or other inspection task to the scope
- proceed with the rest of the inspection
For outstanding non-compliances within sub-elements or other inspection tasks in the intended inspection scope, if:
- the timeframe for corrective actions has passed, then:
- verify that the non-compliances have been corrected
- the timeframe for corrective actions has not yet passed, and the interim measures are effective, then:
- record the non-compliance in the inspection case in the same sub-element or associated inspection task
- reference the initial inspection case in the objective evidence
- capture the same timeframe for correction date for the non-compliance
- the timeframe for corrective actions has not yet passed, and the interim measures are not effective, then:
- record the non-compliance in the inspection case
- re-categorize the non-compliance
- take appropriate control and/or enforcement action (refer to the Standard Regulatory Response Process if required)
At the time of follow-up, it may be necessary to re-categorize an outstanding non-compliance. The inspector will need to take into account circumstances at the time of the follow-up. The re-categorization of a non-compliance will result in a re-evaluation of the time frame for completion of corrective action.
For information on capturing notes and any non-compliance identified during a follow-up in the DSDP, refer to Section A.7.1 Assess the Follow-up Inspection Case and Capture Inspection Information of Appendix A.
6.4 Assess follow-up inspection results
Assess the results of the follow-up inspection.
If a state of compliance is re-established, then complete the inspection report.
However, if a state of compliance is not re-established, then:
- notify your supervisor
- take the appropriate control and/or enforcement actions
- complete the inspection report
A state of compliance is re-established when permanent corrective measures are effective and regulatory requirements are met.
Appendix A: Recording inspection information in the Digital Service Delivery Platform (DSDP)
The purpose of this appendix is to provide guidance to all CFIA inspection staff on accessing, creating, assigning and completing inspection cases in the DSDP. This guidance is in relation to the guidance provided in the Standard Inspection Process for those sections where specific DSDP instructions are required.
Additional instructions on the use of DSDP are provided within the DSDP Standard Operating Procedures (SOPs) (internal access only) which are referenced in each section of this document (where applicable). These contain useful screenshots and information on navigating, creating various records, amending information, etc. They can be found on the DSDP landing page on Merlin (internal access only).
A.2 Overview of the DSDP
There are 4 distinct modules for CFIA's use of the DSDP:
The DSDP case management structure is organized into 2 levels: services requested by industry such as export service requests or permission requests are considered parent cases, while the inspection cases generated to support industry requests and permissions are considered child cases. This case management structure facilitates industry enrollment and service requests, the assignment of work tasks, the management of inspection cases, and monitoring and reporting for risk assessment.
My CFIA is the web-based portal for industry to enroll and request permissions in the DSDP. For CFIA users, the DSDP can be accessed using the online Client Relationship Management (CRM) application, or Resco, which is a mobile CRM application that can also work offline. Not all functions in CRM are available on Resco, such as access to permission and export cases.
Online system access for both training and production environments in the DSDP can be found on the Merlin DSDP web page. This site provides information related to training and support. Refer to the Resco Mobile CRM Application SOP (internal access only - RDIMS 10396672) for more guidance on the Resco application, and issues to be aware of when working offline.
Roles and responsibilities of DSDP users
The administration of the DSDP and the creation and completion of inspection cases in the DSDP are assumed by different CFIA users, depending on their roles and responsibilities and the levels of access granted for these responsibilities. The following list provides a summary of responsibilities for different CFIA users.
- Create and self-assign a case triggered by an unplanned event
- Document/Complete the inspection
- Responsible for the final inspection decision
- Responsible for notifying the supervisor of any reports ready to be approved
- Generate and deliver the inspection report to the regulated party
- Lead contact for communications with the regulated party (including any appeals)
- Close the inspection case
Inspection team members
- Document/Complete the inspection in collaboration with the lead inspector
- Create inspection cases
- Assign the lead inspector and inspection team members within the inspection case
- Approve inspection reports if required
- Assist with business needs, such as DSDP access or connection problems
- Completes any required system adjustments
- Reporting of inspection data
Centre of Administration Agents
- Receive and review permission applications
- Create permission inspection cases, when required
Data integrity and security
The DSDP inspection case contains data collected during inspection that includes selections from reference data lists, entry of inspection specific data and inspector notes. This information is editable by the inspection case owner during the active period of the inspection and all data is 'locked' once the inspection case is closed. The completed inspection data and the Inspection Report have a security level of Protected B.
Entry of data into a single field by more than 1 user at the same time will result in the system overwriting existing data and only keeping the most recent entry. Due to this limitation, during team inspections, it is recommended that work is divided up among the team so that each inspector is responsible for entering data into specific assigned fields (for example, each inspector enters data in a different inspection tasks), or a single inspector collects all of the information.
Should changes to inspection data be required after the inspection case is closed, a specific process must be followed for approval to make the amendment and to enable the system to track the change correctly. Refer to Section A.6.5 below for more information.
A.3 DSDP inspection case information
A.3.1 Create and validate an inspection case
Inspection cases can be created several ways. For export service requests, the inspection cases are generated from the export case via the DSDP. For permission requests, the Centre of Administration may create an inspection case. At other times, supervisors or inspectors may be required to create an inspection case. Regardless of where the inspection case is created, a validation step must occur to allow the inspection case to enter the inspection case queue and for inspection data to be populated within the case. Before an inspection case can be validated, there are several mandatory fields which must be completed. If these required fields have not been completed, the DSDP will alert the user with the appropriate fields that require attention in order for the validation to occur.
Refer to the SOP Creating an Inspection Request(internal access only – RDIMS 9852034) for information on creating and validating an inspection case. A training module specific to creating inspection requests in the DSDP can be found on Merlin - DSDP learning and training (internal access only).
DSDP Inspection triggers and establishing scope to validate the inspection case
Before an inspection case can be created in the DSDP, a fundamental field that is required for completion is the DSDP trigger field. These triggers are the reasons for the inspection, and include the following: preventive control inspection plan, sample collection plan, commodity inspection plan, incident response, domestic permission, export permission, import permission, and ASD Verification. Refer to the Section 3.1 Determine the Scope of the Inspection for a complete description of triggers in the DSDP.
Only 1 inspection trigger can be selected for an inspection case. Therefore inspection activities conducted for different purposes (trigger), with different inspection tasks, should be captured in separate inspection cases. For example, if during the same visit, a preventive control inspection is completed, and surveillance samples are required for a sample collection plan, the tasks relative to each of these inspection triggers should be captured in separate DSDP inspection cases. Refer to the DSDP case management practices for each business line for additional information.
DSDP data entry requirement to categorize commodity or thing inspected:
Within the DSDP task level for all 3 inspection task types, under the field Commodity destined for indicate if the commodity or thing is associated with: "import" or "export" or "domestic" (select all that apply).
Note: Food business line inspectors are not required to indicate this information for any Preventive Control Inspection (PCI) tasks.
A.3.2 Work tasking and assigning an inspection case
Recently created inspection cases can be found in the DSDP in the inspection case queue and will be identified with an "active" status. Inspection cases can be 'routed' to an inspector by a supervisor, or alternately, the inspector can 'pick' an inspection case. The SOP Inspection Work Tasking (internal access only – RDIMS 9881497)provides specific information on assigning inspection cases, locating inspection cases in a queue, transferring cases to another sub-district, self-assignment and adding/removing multiple inspectors. A training module specific to work tasking in the DSDP can be found on Merlin - DSDP learning and training (internal access only).
Once the case has been assigned, the system changes the Work Status field in the inspection case to "Assigned".
A.3.3 Declining an inspection case
Inspection cases can be declined by an inspector and be subsequently re-assigned to another inspector by the supervisor. Declining an inspection case can only occur when the Work Status field indicates "Assigned" and a reason is entered into the system.
Refer to the SOP Inspection Work Tasking (internal access only – RDIMS 9881497) and the SOP Preparing for an Inspection (internal access only – RDIMS 9852125) for more information on how to decline and re-assign an inspection case.
A.3.4 Recording time within the inspection case
The amount of straight timeFootnote 4 spent on an inspection by CFIA inspection staff must be recorded in the DSDP within the inspection case. Inspection time should be recorded for each inspection task, non-compliance, and for travel as follows:
- Time spent completing an inspection task is limited to the time spent conducting the verification activities related to the task (as per the guidance in Section 4.4 - Perform inspection tasks).
- Time spent preparing, conducting the initial walk-through and opening/closing meetings is to be distributed evenly amongst the inspection tasks in scope. For example, if there are 6 inspection tasks and the inspector took 1 hour to prepare and 0.5 hours for the walk-through, then an additional 0.25 hours for each of the 6 inspection tasks would be recorded.
- Each inspection team member (if more than 1 inspector is involved for the assigned inspection) is responsible for recording the amount of time spent to the nearest quarter hour on the inspection task.
- As a team, discuss in advance whether to input time as a single entry for the entire team, or multiple entries representing each member's time spent on each inspection task.
- Time spent completing a non-compliance record is limited to the moment a non-compliance is identified, the categorization of the non-compliance and the determination of the timeframes for completion of the corrective actions of any regulatory response actions in relation to that non-compliance.
- Record the total cumulative time to the nearest quarter hour spent on travelling to and from the inspection site by all inspectors/staff involved with the inspection case in the travel time spent field of the inspection details section of the inspection case. For example, if 2 inspectors are conducting an inspection together and it takes 1 hour to travel to the site and back, then record 2 hours in the travel time spent field.
- If there are multiple sites to visit in a day, then only record travel time to a site in the inspection cases. The last site inspected must include travel back to the office in its associated inspection case. For example, an inspector travels 0.5 hours to site A, then travels 1 hour to site B, 1.5 hours to site C, followed by 2 hours to return to the office, then record 0.5 hours in the inspection case for Site A, 1 hour in the inspection case for Site B, and 3.5 hours in the inspection case for Site C.
- The lead inspector is responsible for ensuring this information is entered in the travel time spent field.
Please note that time not directly related to conduct the inspection (general administration, break and lunch) is not to be tracked in the inspection case. Refer to SOP Conducting an Inspection (internal access only – RDIMS 9839405) for instructions on entering time entry records.
A.3.5 Notifications using DSDP
If required, inspectors and supervisors (or other users) can communicate within an inspection case via the notification task option in the DSDP. These notification tasks can be generated within the DSDP as needed, at any time until the inspection case is closed. Notifications can take 3 forms: CRM Tasks, system generated email notifications and manually generated email notifications. Refer to SOP Notification Tasks in Inspection Case (internal access only – RDIMS 9852266) for a detailed explanation of notification types and procedures to follow.
A.3.6 Note taking guidance
Information gathered by the inspector during an inspection may:
- serve as reminders of areas to focus on in the current inspection
- support assessing compliance
- be useful for subsequent inspections
In general, notes captured in the DSDP should be clear, succinct and straightforward, avoid the use of acronyms (in order to facilitate the review of information), be based on facts (not recommendations) and be pertinent to the section in which they are entered.
The notes should reflect all of the verification activities conducted by the inspector, even if compliance is being observed. For example, a note should be captured in the specific record field to describe all of the records reviewed (including date, location and name of the document) and that compliance was achieved.
With respect to the amount of details to record in the DSDP, inspectors and supervisors should default to their training and experience. Where verification activities show possible non-compliances, more detailed notes are required. Refer to the following guidance and training material for more information on appropriate notes to take during an inspection:
- CFIA Note Taking course CFIA/AAFC Learning portal (ID 00061342 (English course); ID 00061343 (French course)
- Operational Directive (OD -14483) - Electronic Notes (internal access only – RDIMS 8391451)
- Electronic Notes – Frequently Asked Questions (internal access only – RDIMS 8400616)
Digital recordings may also be used to support inspection information. Refer to Operational Guideline (OG-14794) Use of Digital Recording (Camera, Video, Audio) Devices during Inspections (internal access only – RDIMS 10356321) for more information.
Reminder: Pertinent inspection-related information supporting a compliance decision must be captured within the appropriate and designated fields in the inspection case. The Notes tab located on every DSDP record is locked after saving. Any corrections must be done via a new note with corrections recorded
A.4 Step 1 - Prepare for the inspection
A.4.1 Determine the scope of the inspection
Once the scope has been established to validate the inspection case, the scope of the inspection may be modified by the inspector. The scope of the inspection will include the inspection task type (preventive control inspection, commodity inspection or sample collection) and the level 1 and 2 inspection tasks required. A complete list of tasks under the commodity inspection task type is available in the DSDP under Administration in the Site Map. Refer to business line specific guidance which will provide the appropriate inspection tasks for the specific business line program.
Select and enter the inspection tasks in the "Inspection Tasks" sub-grid. Inspection tasks are described using the following fields:
- Task type – preventive control inspection, sample collection, or commodity inspection
- Inspection task levels 1 and 2 – Further descriptions of the inspection tasks to be completed
- Inspection Task Details – Non-mandatory field to capture additional inspection task details
For Export-triggered inspections the inspection task detail field is automatically populated with a more detailed description of the inspection task that needs to be conducted.
Refer to business line specific guidance to confirm the trigger, inspection task types and inspection tasks appropriate for the inspection case. Additional pertinent information may be required for the inspection as per business line guidance. This information can be added to the task record: in the commodity details field (for commodity inspection task types); in the sample record field (for sample collection inspection task types); and the inspection verification activity field (for preventive control inspection task types).
A.4.2 Establish the team
The determination of establishing a team is found in the SIP and relevant business line guidance. The steps for adding a team member to an inspection case can be found in the SOP Preparing for Inspection (internal access only – RDIMS 9852125).
A.4.3 Review information
Review the information in the DSDP inspection case in addition to the guidance in the 'Review information' section of the SIP:
- Review the information entered in the completed fields of the assigned inspection case such as the request type (new or follow-up), inspection trigger, inspection task type, inspection tasks and commodity or sampling information assigned. Add or amend if necessary.
- Review the party, establishment, location and sub-district profiles. See 'Preparing for an inspection' section of the SOP Preparing for an Inspection (internal access only – RDIMS 9852125) for guidance on how to review the party account, past inspection cases and non-compliances. If it is identified that the regulated party's location has not been entered, refer to the 'Create new custom Inspection Location' section of the SOP Conducting an Inspection (internal access only – RDIMS 9839405) for more information on how to proceed.
- (optional) Capture a summary of any ongoing non-compliances or previous issues of importance for the assigned inspection in the Notes tab located on the main page of the inspection case.
A.4.4 Notify the regulated party
If the inspection is announced, and the regulated party was notified, then enter the name of the Regulated Party representative who confirmed the inspection, in an appropriately titled Note tab in the main inspection page.
Once the inspection is scheduled (announced or unannounced inspection), then:
- Enter the date in the Planned Inspection Date and Due Date fields in the Inspection Request process stage.
- Select "Yes" in the Inspection Date Confirmed field in the Prepare for Inspection process stage.
The Work Status field in the inspection case will automatically be updated to "Inspection Scheduled".
Refer to the SOP Preparing for an Inspection (internal access only – RDIMS 9852125) for more information.
A.5 Step 2 – Conduct the inspection
A.5.1 Conduct the opening meeting
To capture information on the opening meeting in the DSDP, add a new meeting record from the Sitemap sub-area, as per the instructions in 'Hold opening meeting' section of the SOP Conducting an Inspection (internal access only – RDIMS 9839405). In this meeting, capture the following information:
- Select "Meetings" and "Add new meeting" in the Meeting Associated View section.
- Enter a subject for the meeting in the Name field.
- Select "Opening Meeting" in the Type of Meeting field.
- Enter the date of the meeting in the Date of Meeting field and save.
- Capture all regulated party's meeting participants in either the Attendees (Contacts) sub-grid if they are already present in the DSDP, or in the Attendees open text field (along with their titles) if they are not.
- Capture all CFIA meeting participants (including other inspectors, SMEs joining in the inspection) in the Attendees (Users) sub-grid if they already have accounts in the DSDP, or in the Attendees open text field (along with their titles) if they are not.
- Capture all other Attendees (for example, provincial inspectors) in the open text field (along with their titles) if their profile information is not already present in the DSDP.
- Capture any relevant notes on the opening meeting in the Meeting Notes field.
Once the inspection has begun on the premises of the regulated party, ensure that the Work Status field in the inspection case is set to "Inspection in progress" and adjust it if needed.
A.5.2 Conduct the initial walk-through
When conducting an initial walk-through:
- Capture any relevant notes in an appropriately titled Notes tab in the main inspection case page, such as the area visited, any noteworthy observations that may impact compliance status, etc. In this Notes tab, indicate whether an interior and/or exterior walk-through was completed.
- If any of the information noted during the initial walk-through might impact a compliance decision (for example, suspected non-compliance observed), these notes must be copied into the appropriate field in the related inspection task (for example, in the Observations field).
Refer to Section 'Conduct Walkthrough' of the SOP Conducting an inspection (internal access only – RDIMS 9839405) for more information on where to input this information.
A.5.3 Confirm the scope
If at any point during the inspection an observation is made that may require a response, it will need to be determined whether to add an inspection task to the existing case or whether a new inspection case is warranted.
- Determine if a new inspection case is required. A new inspection case is required if the new inspection task is conducted for a different purpose than identified in the Inspection trigger of the initial inspection case. For example, if conducting a preventive control inspection and collecting a sample related to a National Sampling Plan, then create a new inspection case with the appropriate inspection trigger.
- If a new inspection task needs to be added, add it in the Inspection Tasks sub-grid in the main inspection page. Please refer to section 'Add to scope' in the SOP Conducting an inspection (internal access only – RDIMS 9839405)
- If an inspection task must be removed from the inspection, please refer to section 'Remove from scope' in the SOP Conducting an inspection.
A.5.4 Perform inspection tasks
Inspection verification activity fields common to preventive control inspection, commodity inspection, and sample collection task types include measurements, document and record review, interview and observation fields. When conducting a commodity inspection, an additional commodity details field is available. When conducting a sample collection, an additional sample record field is available.
Information captured in the various verification activity fields does not appear in the inspection report (except for the Sample Description field). Where inspection information reflects a non-compliance, this information should be copied to the findings field.
Before exiting the inspection task page, ensure the status and scope section is completed with the scope change, 'is non-compliance observed' field, and 'task complete' field.
A.5.4.1 Inspection verification activities for preventive control inspections, sample collection, and commodity inspections
Document and record review
For any records or documents reviewed, capture notes in the Document & Record Review open text field in the Inspection Verification Activities section of the Inspection Task. See section 'Inspection verification activities' of the SOP Conducting an inspection. The note should include:
- an identifier for the document or record (for example, title or name of the document/record, section and page numbers of records reviewed)
- the date(s) (such as the date or date range of the records that were reviewed) and or version number of the document
- relevant notes on the review of the document or record
Capture observation notes in the Observations open text field in the Inspection Verification Activities section of the Inspection Task. See section 'Inspection verification activities' of the SOP Conducting an inspection. The notes should include:
- the location where the observation was made
- the time and date of the observation
- relevant, descriptive notes of what was observed
Capture interview notes in the Interviews open text field in the Inspection Verification Activities section of the Inspection Task. See section 'Inspection verification activities' of the SOP Conducting an inspection. The notes should include:
- the name(s) and title(s) of the person(s) interviewed
- the time and date of the interview
- relevant notes from the interview
To capture information about measurements that are taken without submitting a sample, create a Measurements record in the Inspection Verification Activities section of the appropriate Inspection Task. See section 'Capture measurement information' of the SOP Conducting an inspection. Within the Measurements record, capture the Measurement Type:
- Chlorine - %
- Lot ID
- Water Activity
- ORP (Oxidation Reduction Potential)
- ID Tattoo
- Presence of Soil
If the activity conducted is not listed in the Measurement Type field, then add an appropriate Commodity Inspection task that best describes the activity completed.
Within the Measurements record, capture:
- the Measurement Value (that is, the results of the measurement)
- the measurement Units
- the Measurement Timestamp (that is, date and time of the measurement)
- any additional notes in the Description field
Documents can be attached in the Documents sub-grid. Care should be taken to only attach documents relevant to a potential non-compliance or a regulatory response action, in order to prevent overburdening the system. To attach a document, click on the save button and leave the Document Type field blank, then provide notes and the file you wish to attach in the Notes section.
Examples of electronic documents that may be attached within an inspection task:
- photos, scans or other documents
- program specific checklists and other documentation
Sample records (for sample collection task type only)
Within the inspection task, create a new record in the Sample Records section for each sample taken. Within this record, capture:
- The Sample Plan name and Number – Based on existing guidance and national sampling plans.
- The date the sample was taken in the Sample Taken field.
- Capture information describing where the sample was taken in the Sample Description field (Note: This field will appear on the Inspection Report).
- If applicable, enter the LSTS Unique Reference Number.
- Select the appropriate Sample Result option from the drop-down menu.
- Sample Assessment – Capture any additional information that supports the Sample Result decision.
- Capture any additional information on the sample in the Sample Comment field.
Refer to business line specific guidance for DSDP inspection case management requirements.
Refer to the SOP Manage samples (internal access only – RDIMS 9852138) for more information on how to create, complete and manage samples in the DSDP.
Commodity details (for commodity inspection task type only)
Whether performing a planned or as required commodity inspection, create a new Commodity inspection task, even if the activity was conducted to confirm results obtained during a preventive control inspection.
Capture an accurate description of the commodity (or thing) inspected for future reference in the Commodity Description field. Use the other verification activity fields to capture the results of the commodity inspection.
Use the Findings field to capture any notes obtained from the verification activities that will be useful to potentially support a non-compliance. The information contained in the Findings field will populate the Non-Compliance record to draft the objective evidence.
A.5.5 Determine compliance
If no non-compliances were found during the inspection of a task, then select 'No' in the 'Is Non-Compliance Observed?' field of the Inspection Task, record the amount of time it took to complete the task in the Task Time Entries sub-grid and check the box 'Task Complete?' field.
If a non-compliance has been identified, then select 'Yes' in the 'Is Non-Compliance Observed?' field of the Inspection task.
For all preventive control inspection (PCI) tasks, it is mandatory to enter a response in the Impact Assessment field which will appear when the 'Is Non-Compliance Observed?' field is marked as 'yes', select the appropriate option within the drop-down field, as per business line OG.
Currently this field is only being used for the Food business line. For Plant and Animal business lines, this field is still mandatory to complete and ‘no impact’ must be selected from the drop-down field.
Impact assessment and Non-compliance categorization
The Impact assessment is a field in the DSDP used to gather inspection task data that is required for the establishment-based risk assessment model (ERA). It is one of the compliance factors used in the calculation of the Establishment Risk Result. Please refer to the ERA SharePoint page (internal access only) for further information. The Impact assessment is only completed for the Preventive Control Inspection task type and is found in the inspection task record.
The Category of non-compliance is a field in the DSDP used to determine the potential consequences of the non-compliance and the likelihood of occurrence. The non-compliance categorization determines the level of response the CFIA needs to take to mitigate risk and restore compliance. The Category of non-compliance field is found in the non-compliance record.
The impact assessment is not to be considered during the categorization of the non-compliance.
A.5.5.1 Creating a non-compliance record
A non-compliance record can be created from the main inspection page in the Non-Compliance sub-grid. Refer to the SOP Managing a Non-Compliance (internal access only – RDIMS 9906406) for additional instructions for capturing the type and sub-type of non-compliance, regulatory and non-regulatory references.
These are the required steps to create the non-compliance record:
1. Select the appropriate Type of Non-Compliance
2. Select the Sub-Type of Non-Compliance
3. Save the record
4. Modifying the Name field
- It may be helpful to rename the non-compliance record if there are multiple non-compliances in the inspection case. The default name of the non-compliance is generated from the "Type" and "Sub-type" fields of the non-compliance. Non-compliances are listed in the Non-compliance sub-grid on the main screen of the inspection case. It will be easier to distinguish between non-compliance records in the non-compliance sub-grid if they have unique names.
- The non-compliance name field can be edited by going into the field, changing it and then saving the record.
5. Add Regulatory or Non-regulatory References
- Only capture a single regulatory or non-regulatory reference for each non-compliance record, unless explicitly stated otherwise in business-line guidance.
- Record the most precise/specific section or sub-section of the regulation contravened.
- In instances where multiple issues identified from different inspection tasks are linked to the same regulatory reference, create only 1 non-compliance record.
- For regulatory references, if there is a contravention to an Act, select the appropriate Act from the drop-down field and capture the Act Section Number in the General tab of the regulatory or non-regulatory reference page. If there is a contravention to a set of Regulations, select the appropriate Regulation from the drop-down field and capture the Regulation Section Number. When capturing the section numbers for the Acts and Regulations, care must be taken to capture only the section number (do not add any additional text) using the same punctuation that is used in the legislation or regulations (including spaces and parentheses).
- For non-regulatory requirements, provide an accurate description of the reference in the Requirement Details field. Refer to additional program guidance for more information on potential non-regulatory requirements.
6. Add Supporting Inspection Tasks
- Capture the inspection tasks related to the non-compliances using the "Add Supporting Tasks" function in the menu at the top of the non-compliance record page. The applicable findings for the non-compliance gathered for each supporting inspection task should be reflected and summarized in the objective evidence.
7. Complete the Objective Evidence
- Record the objective evidence specific to the regulatory reference captured in the record.
- All non-compliance records must include objective evidence to support the non-compliance, and the supporting tasks associated to the non-compliance. Instructions on how to add supporting tasks can be found in the SOP Managing a Non-Compliance.
- The findings from the supporting inspection tasks will be entered into the findings summary of the non-compliance record. This information may be used to draft the objective evidence for the non-compliance.
- Attach any additional documents, photos, scans, etc. that are relevant to the non-compliance using the Documents sub-grid.
Objective evidence is facts obtained from the inspection activities that support a regulatory non-compliance. This evidence should be derived from specific notes taken during the inspection, and be presented in a clear and factual manner. This information will be provided to the regulated party in the inspection report. Only information directly related to the non-compliance should be captured as objective evidence. This field is limited in space, so information entered here should be clear and concise.
The details must include what was observed, measured or obtained. Include where and when the objective evidence was noted as well as the title of anyone interviewed.
For example: "June 10, 2011 10:45 am, the employee on the packaging line for the orange soda did not follow written procedures to clean up after a bottle explosion."
If the non-compliance was noted during record or documentation review, include the title/code and date of the records reviewed, and the finding. For example: "Reviewed the Cooking Reports XY for May 2011. Deviations were identified by quality control on May 5th, 6th, and 7th which indicated the product was undercooked. Further review of shipping records on May 12th and 13th indicated that the product was distributed without taking any corrective action".
The Regulatory and Non-Regulatory References, the Objective Evidence and the Supporting Inspection Tasks will appear on the Inspection Report.
8. Categorize the Non-compliance
- Please refer to the section 'Categorize the non-compliance' of the SIP for guidance. Once the categorization result is determined, enter that result into the Category of non-compliance field.
9. Select the most appropriate option from the Generic Non-Compliance Statement drop-down menu. Note: The Generic Non-Compliance Statement will appear on the inspection report.
Select from the following options:
- Regulated party's PCP does not meet regulatory requirements – Select when a non-compliance can be linked to a PCP that was not designed to meet the regulatory requirements.
- Regulated party's PCP is not effective – Select when a PCP is not effective in meeting the regulatory requirements.
- Regulated party's PCP is not implemented – Select when the PCP has not been implemented as designed.
- Domestic commodity does not meet regulatory requirements – Select when a domestic commodity has been found non-compliant during the course of a commodity inspection or sample collection inspection.
- Imported commodity does not meet regulatory requirements – Select when an imported commodity has been found non-compliant.
- Commodity does not meet foreign importing country requirements – Select when a commodity to be exported has been found non-compliant.
- Permission conditions not met by the regulated party – Select when the non-compliance can be linked to permission conditions which have not been met.
When an inspection report is generated for a case that does not have any non-compliances, it will have the following generic statement 'Requirements assessed at the time of the inspection were found to be compliant'.
10. Complete the Non-Compliance reported fields
- Capture the date and to whom the non-compliance was reported to in the Non-Compliance reported fields. If the non-compliance was reported to a contact that has an account in DSDP, then add this contact to the Non-Compliance Reported to (in DSDP) field. If the contact does not have an account or record in the DSDP, then capture the name of the person the non-compliance was reported in the Non-Compliance reported to (outside DSDP) open text field.
- Take note of any corrective or control actions undertaken by the regulated party in the Immediate Actions field, as well as the date these actions were taken in the Immediate Action Date field.
A.5.5.2 Capture regulatory response actions
If any control and/or enforcement actions were taken during the course of the inspection, then:
- Select the appropriate Non-Compliance record for which a control or enforcement action was applied.
- Create a new record in the Regulatory Response sub-grid. Please refer to the SOP Managing a Non-Compliance (internal access only – RDIMS 9906406) for guidance.
- Select the appropriate control or enforcement action from the Regulatory Response Type drop down menu.
- Capture the appropriate Response Status for the action:
- New is the default selection. To be changed prior to completing the record.
- Recommended: Option to be selected when the regulatory response requires approval or confirmation from another group (such as EIS). Actions categorized as recommended will not appear on the inspection report.
- Issued: To be selected when the inspector takes action immediately, without awaiting approval. This is the only status that will trigger the Regulatory Response to appear on the inspection report.
- Declined: To be selected by the supervisor, if the recommended action is not supported.
- Supported: To be selected by the supervisor, if the recommended action is supported and should be actioned.
- If the status is issued, capture the date and time the action was taken in the Timestamp field.
- Enter any notes on the action being taken in the Comments field (for example, the detention tag #, references to any other non-compliance records related to the regulatory response).
- If the regulatory response is applicable to multiple non-compliances (for example, recommend a suspension due to several non-compliances), capture the other applicable non-compliance Names in the Comments field. Attach any relevant supporting documents (for example, photos, scans, forms or any other enforcement documentation using the Documents sub-grid (see Section A.5.4.1 Documents for more information on how to attach documents).
- The Notes tab in this section should not be used.
- If the regulatory response must be followed up on within a set timeframe for 1 or more non-compliances, then create 1 or more follow-up inspection cases as per the procedures provided in Section A.5.7.
A.5.6 Entering timeframe for regulated party to complete corrective actions
To capture information relating to timeframes for regulated parties to complete corrective actions:
- Enter the timeframe to complete corrective actions (based on the guidance in Table 1 in Section 4.8 of the SIP) in the Complete Corrective Actions By field.
A.5.7 Creating follow-up inspection cases from the non-compliance record
The follow-up to a non-compliance may be conducted within an already existing and scheduled inspection case or a new follow up inspection case can be created.
If a new inspection case is required, then:
- Enter the proposed follow-up date in the Follow-up Inspection Date field based on the timeframes for conducting a follow-up inspection. See Table 2 in Section 5.3 of the SIP for the timeframes for conducting a follow-up and Section 6.0 for more information on creating follow-up inspection cases.
- Capture relevant notes related to the follow-up in the Potential Follow-up Actions field.
- Once this information has been entered, the follow-up case can automatically be created by clicking on the Create Follow-up button at the top of the page.
If it is determined that the follow-up to this non-compliance can occur at the next scheduled inspection, then:
- Check the Follow-up Next Inspection Indicator box.
- Ensure that the task(s) associated with the non-compliance have been added to the follow-up inspection's scope.
- Reference the previous non-compliance in the Related Non-Compliance field in the follow-up inspection case.
- Within each inspection task conducted for the purpose of a follow-up, check the box "Inspection For The Purpose of Follow-up?".
Refer to SOP Managing non-compliance (internal access only - RDIMS 9906406) for more information and additional steps to ensure that the follow-up inspection case is properly assigned and validated. Refer to the business line specific case management practices for additional information on managing DSDP cases.
The Complete Corrective Actions By field will appear on the inspection report.
The Follow-up Inspection Date and Complete Corrective Actions By dates are to be used in relation to any enforcement actions taken (refer to the Operational Guidance: OG14954 - Standard Regulatory Response Process - RDIMS 9146498).
Refer to the section 'Complete the Non-Compliance Response Details' tab (if applicable) in the SOP Managing a Non-Compliance record; and refer to the business line specific case management practices for additional information on managing DSDP cases
A.6 Step 3 – Communicate the inspection results
A.6.1 Conduct closing meeting
Follow the same procedures as described in Section A.5.1 Conduct the Opening Meeting, except select "Closing Meeting" in the Type of Meeting field.
A.6.2 Complete the inspection case
Once the Inspector has completed the inspection, has obtained all necessary information and is ready to issue the inspection report, they will need to complete the inspection in the DSDP. For further guidance on the steps to take to complete the inspection case, refer to the SOP Update, Close and Cancel an Inspection Case (internal access only – RDIMS 9852255).
These are the required steps to complete and close the inspection case:
- Ensure that all inspection tasks have been marked complete by clicking on the checkbox next to the field Task Complete, located in each inspection task.
- Capture the last day of the inspection at the establishment in the End Date field.
- The related case output field is for sending results of the inspection to the export or permission parent case. For Export and Domestic Permission inspection triggers, complete the Related Case Output field based on the following guidance:
- Pass - when no deviations to the Regulatory or Non-Regulatory references applicable to this inspection were found.
- Fail - Deviations to the Regulatory or Non-Regulatory references applicable to this inspection were found.
- Pass Modified - If the product or lot did not meet importing country requirements applicable to this inspection, but deviations were brought into compliance as per importing country and CFIA's acceptable policy and there are no more deviations to the Regulatory or Non-Regulatory references applicable to this inspection. Additional information on the changes or reasons for selecting this must be provided in the Feedback for Service Agent field.
- Enter the total time spent on inspection tasks, total time spent on non-compliance and total time spent on travel and confirm they are accurate. Then select the Confirm Total Time checkbox in the Inspection Details section.
If at any point during the inspection you are unable to complete it because you are awaiting further guidance or sample results, the inspection must be put on hold. The Status Reason field in the main inspection case must be changed to the appropriate option.
A.6.3 Issue inspection report and close the inspection case
A.6.3.1 Issue the inspection report
The Inspection Report is not saved automatically. The Run Report button simply generates a report based on the information present in the inspection case at that time. The inspection report must be generated and saved prior to closing the inspection case.
In instances where an Inspection Report is not required, do not generate and attach the inspection report to the inspection case. In addition the Primary Delivery Method, Date and Report Completed fields can be left blank. However, capture the date that the decision to not issue the report was taken in the Report Issue Date (this is a mandatory field to close the inspection case).
The following steps will need to be performed to save a copy of the inspection report as it was issued at the time of the inspection.
- Determine if a report review is required
- The purpose of the Report Review Required field is for instances where there may be further review requested by the Supervisor. The Supervisor selects this at the time of assigning the inspection case. The inspector will see the Report Review Required field marked 'yes' in the 'Complete inspection' tab of the inspection case when it is required.
- For steps to take to submit the inspection report for review, please refer to the section 'Report review required…' in the SOP Update, close and cancel inspection case (internal access only – RDIMS 9852255).
- Check off the Report Complete field. This field is to determine when the report is ready to be generated and uploaded to the case. It is to be checked off if there is no report review required, or if a report review has been completed and approved.
- Enter the date in Report Issue Date field
- Generate and save the report in the documents sub-grid of the inspection case
- A copy (i.e. PDF) of the Inspection Report must be saved, by attaching the copy in the Documents sub-grid on the main inspection case page with final inspection report selected for document type. Once a copy of the report is saved in the Documents sub-grid, it is automatically posted on the regulated party's external portal once the case is closed (deactivated). If the report is not saved, it will not be made available to the regulated party through the MyCFIA portal.
- Capture the Report Delivery Method
Refer to the section 'Report Delivery Method' in the SOP Update, close and cancel inspection case.
- If the inspection report is only delivered through the My CFIA portal, select the option "Portal only".
- If the inspection report is delivered through the My CFIA portal and also through another method, select the other method the report was delivered (i.e. In Person).
- Upload and save signed report (if applicable)
- If signatures have been obtained, then the signed report should be scanned and attached to the Documents sub-grid (with final inspection report selected for document type).
Only 1 inspection report will appear on the regulated party's external portal for each inspection case. The newest document to be attached in the Documents sub-grid labelled as "Final Inspection Report" will be posted on the portal.
A.6.3.2 Close the inspection case
- Complete the Populate and Lock case closed fields in the 'Closed Case Details' section. This will ensure all of the case closed fields in the inspection case related to a party's profile will not change once the case is closed.
- There are 2 main options when closing the inspection case (closed or cancelled). There are instances where you may be unable to complete the inspection. In these situations, 1 of the cancelled options must be selected from the deactivate list. If the inspection is fully completed, the 'closed – inspection complete' option must be selected from the deactivate list. Refer to the section 'Deactivate/Close an Inspection Case' in the SOP Update, close and cancel inspection case.
A.6.4 Request for extension to timeframe to correct non-compliance
An inspection case should not be reactivated in order to amend an agreed upon extension to a timeframe to complete corrective actions. If an extension to the timeframe to correct a non-compliance has been granted, the lead inspector should enter the information in the 'Notes' tab in the follow-up case. Attach a copy of the written submission provided by the regulated party in the Notes tab along with the justification and include any other relevant changes made to the inspection case.
- Change the due date in the follow-up case, if required, to accommodate the extension.
A.6.5 Amending a closed inspection
Prior to amending a closed/deactivated inspection case, send a formal request to the BSU (DSDP Support) at the following email address: DSDP Support/Support PPNS (CFIA/ACIA) email@example.com. In this email, provide the case number, as well as the reason for reactivating the case.
If the case is to be amended:
- Notify and obtain approval from your supervisor and the BSU.
- Re-activate the inspection case (as per the SOP).
- Click on the Amendment check box in the inspection case (Status & Priority sub-section).
- Change the required fields in the inspection case.
- Capture in a Notes tab in the main inspection case, a detailed description of the amendments that were completed.
Refer to the section 'Amending the Inspection Case' in the SOP Amending a Closed Inspection Case (internal access only – RDIMS 10367954) for information on how to reactivate a case.
A.7 Step 4 – Conduct the follow-up inspection
This section is about entering the information into the DSDP to support conducting the follow up inspection.
A.7.1 Access the follow-up inspection case and capture inspection information
The follow up case, once validated, will be in the inspection case queue. Use the same guidance provided for conducting an inspection and communicating inspection results. See Section A.5.0 for capturing information relating to the follow-up inspection.
SOP Monitoring inspection cases – (internal access only – RDIMS 9913443)
SOP Creating an Inspection Request – (internal access only – RDIMS 9852034)
SOP Inspection Work Tasking – (internal access only – RDIMS 9881497)
SOP Preparing for an Inspection – (internal access only – RDIMS 9852125)
SOP Requesting Advice for an Inspection Case – (internal access only – RDIMS 9855738)
SOP Notification Task in an Inspection Case – (internal access only – RDIMS 9852266)
SOP Conducting an Inspection - (internal access only – RDIMS 9839405)
SOP Manage Samples – (internal access only – RDIMS 9852138)
SOP Managing a Non-Compliance Record – (internal access only – RDIMS 9906406)
SOP Update, Close and Cancel Inspection Case – (internal access only – RDIMS 9852255)
SOP Amending a closed inspection case – (internal access only – RDIMS 10367954)
SOP Resco Mobile CRM Navigation – (internal access only – RDIMS 10396672)
SOP Searching For Party Profiles and Establishments – (internal access only – RDIMS 10859888)
Integrated Agency Inspection Model (iAIM)
Standard Regulatory Response Process
Standard Permissions Procedures
SIP Inspectors Toolkit – (internal access only – RDIMS 11289973)
SIP Guide for Determining the Severity of Consequences – (internal access only – RDIMS 11289853)
SIP Opening and Closing Meeting Checklist – (internal access only – RDIMS 11289897)
SIP Notification Letter Template – (internal access only – RDIMS 11289579)
SIP Category of Non-Compliance Process – (internal access only – RDIMS 11292219)
SIP Biosecurity Measures by Activity and Level – (internal access only – RDIMS 11292267)
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