D-01-06: Canadian Phytosanitary Policy for the Notification of Non-Compliance and Emergency Action

3^rd revision
January 5, 2018

Subject:

This directive describes the Canadian Food Inspection Agency (CFIA) phytosanitary policy on the issuance of notifications of non-compliance and emergency action.

This directive was revised to remove procedural guidance for CFIA staff. That information has been included in administrative procedural documents, where appropriate.

On this page

• Review
• Introduction
• Scope
• References
• Definitions, abbreviations and acronyms
• 1.0 General requirements
• 1.1 Legislative authority
• 2.0 Issuance of notifications
• 2.1 Notifications of non-compliance
• 2.2 Notifications of emergency action
• 2.3 Timing of notification
• 2.4 Lines of communication
• 2.4.1 Issuance of notifications
• 2.4.2 Receipt of notifications
• 2.5 Language
• 2.6 Re-export
• Appendix 1: Format for notifications issued by the CFIA

Review

This directive will be reviewed as required.

Introduction

Canada is a contracting party to the International Plant Protection Convention (IPPC), a treaty intended to prevent the introduction and spread of plant pests while facilitating the international trade of plants, plant products and other regulated articles. In order to achieve this objective, the IPPC has a number of obligations for contracting parties.

One such obligation, under Articles VII.2(f) and VII.6, is for the National Plant Protection Organizations (NPPOs) of importing countries to notify the NPPOs of exporting countries in the event of the interception of imported plants, plant products and other regulated articles involving:

• significant instances of non-compliance with specified phytosanitary import requirements, including documentation requirements; and,
• emergency actions that are taken as a result of the detection of a pest posing a potential threat.

Instances of non-compliance and emergency action are conveyed through the issuance of notifications of non-compliance and emergency action. The International Standard for Phytosanitary Measures (ISPM) 13: Guidelines for the notification of non-compliance and emergency action describes the actions to be taken by countries in implementing the IPPC obligation regarding notification.

Scope

This directive, which is aligned with ISPM 13, describes the Canadian Food Inspection Agency (CFIA) policy regarding the issuance of notifications of non-compliance and emergency action for plants, plant products and other regulated articles.

References

ISPM 5 Glossary of Phytosanitary Terms, FAO, Rome (updated annually)

ISPM 13 Guidelines for the notification of non-compliance and emergency action, FAO, Rome, 2001.

New Revised Text of the International Plant Protection Convention, FAO, Rome, 1997

Definitions, abbreviations and acronyms

Definitions for terms used in the present document can be found in the Plant health glossary of terms

1.0 General requirements

1.1 Legislative authority

The Plant Protection Act, S.C. 1990, c. 22
The Plant Protection Regulations, SOR/95-212

2.0 Issuance of notifications

Notifications are intended to facilitate investigation, in the importing country, of the cause of a non-compliance in order to help avoid recurrence. The CFIA employs the form found in Appendix 1 of this directive for notifications of non-compliance and emergency action.

2.1 Notifications of non-compliance

Notifications of non-compliance are intended to help facilitate the investigation of the cause of the non-compliance and to implement the appropriate corrective action. They are generally issued when the non-compliance is considered to be significant. Notifications of non-compliance may be issued under the following circumstances:

• failure to comply with phytosanitary import requirements, including the detection of a specified regulated pest, or evidence of the ineffective application of specified treatments;
• failure to comply with phytosanitary import requirements for certain documentation including absence of phytosanitary certificate, or the presence of an incomplete or fraudulent phytosanitary certificate;
• prohibited consignments or prohibited articles accompanying the consignment; and,
• repeated instances of prohibited articles in small, non-commercial quantities carried by passengers or sent by mail.

2.2 Notifications of emergency action

Notifications of emergency action are issued to inform the NPPO of the exporting country when the importing country has taken emergency phytosanitary actions in new or unexpected phytosanitary situations. Notifications of emergency action are generally issued following:

• the detection of regulated pests not recognized as being associated with the commodity from the exporting country (i.e. CFIA may not have requirements in place for the pest on that commodity from that origin but the pest is regulated by the CFIA on another commodity or from another origin); and,
• the detection of organisms posing a potential phytosanitary threat (i.e. detection of a potential pest never seen before but believed to pose a phytosanitary threat).

In cases of notification of emergency action, the CFIA, as the importing country's NPPO, will issue a notification of emergency action as soon as the regulatory action has been taken. The CFIA will then investigate the new or unexpected phytosanitary situation to determine the need for new or amended import requirements. A report of this investigation will be provided to the NPPO that received the notification.

2.3 Timing of notification

Timely notification allows the exporting country to conduct a proper follow-up action, if required, and also to prevent re-occurrence. Notifications should be provided promptly once phytosanitary action has been taken by the importing country. The CFIA strives to issue notifications within two weeks of the detection of a non-compliant imported consignment or after taking emergency action on an imported consignment. Preliminary notification may be provided should there be a delay in confirming the reason for the notification (e.g. identification of an organism).

2.4 Lines of communication

2.4.1 Issuance of notifications

The CFIA sends the notification to the IPPC Contact Point of the exporting country or, where a contact point has not been identified, to the National Plant Protection Organization of the exporting country, unless bilateral arrangements exist which specify other procedures.

2.4.2 Receipt of notifications

Notifications received by Canada are to be sent to Canada's IPPC Contact Point cfia.ippc.acia@canada.ca.

2.5 Language

The CFIA issues its notifications of non-compliance and emergency action in either English or French.

2.6 Re-export

In cases of non-compliance or emergency action associated with a phytosanitary certificate for re-export, the CFIA will notify the re-exporting country.

Appendix 1: Format for notifications issued by the CFIA

Description for Format for notifications issued by the CFIA

The form is Protected A when completed. The title, Notification of Non-Compliance, is automatically changed depending on the type of notification (either Notification of Non-Compliance or Notification of Emergency Action).

The completed form is sent to National Plant Protection Organization of [Country Name] including the Contact name and the Contact email address.

This is to inform that the Canadian Food Inspection Agency has intercepted a shipment not in compliance with Canadian phytosanitary import requirements that originated from [Country name].

Section 1, Information regarding the shipment, contains fields to collection the following information:

• Type of Material Affected (field will expand as required)
• Scientific name (at least plant genus) for plants or plant products
• Quantity of Material Affected (field will expand as required)
• Reason for Interception (field will expand as required)
• Reference number / Phytosanitary Certificate number
• Name of the Importing Country: Canada
• Name of the Exporting Country
• Name and Address of Consignee (field will expand as required)
• Name and Address of Consignor (field will expand as required)
• Date of Phytosanitary Action on the Consignment
• Phytosanitary action taken (field will expand as required)
• Additional Information (field will expand as required)

Section 2, Specific Information Regarding the Nature of the Non-Compliance or Emergency Action, contains fields to collection the following information:

• Identity of Pest (field will expand as required)
• Problems with Documentation (field will expand as required)
• Part of the Consignment Affected (field will expand as required)
• Phytosanitary Requirements to which the Non-Compliance Applies (field will expand as required)
• Additional information (field will expand as required)
• Checkbox: The CFIA request that a report of the investigation into this occurrence be provided by the exporting country

Section 3, Contact Information:

Address:

IPPC Official Contact Point for Canada
59 Camelot Drive, Floor 2E, Room 132
K1A 0Y9
Email: cfia.ippc.acia@inspection.gc.ca