Introduction

The Ministry of Agriculture, Food and Agribusiness (OMAFA) Compliance Policy outlines how we deliver our regulatory services. This policy ensures we conduct our compliance and enforcement activities in a consistent manner and describes how that we are creating a supportive regulatory environment while maintaining the integrity of our regulatory oversight.

Scope

This compliance policy focuses on the businesses and activities that OMAFA regulates, under the respective laws applicable to the following sectors:

Inspectors working for municipalities or bodies outside of OMAFA and OMAFA’s provincial agencies and quasi-judicial bodies that hold regulatory decision-making powers (such as the Agriculture, Food and Rural Affairs Tribunal) are not included in the scope of the policy.

In the case of a conflict between this document and the language of any specific legislative framework, or instrument issued under that legislation, the legislation or instrument will govern.

Regulators’ Code of Practice

The Regulators’ Code of Practice (the code) provides guidance to provincial regulators such as OMAFA within the Ontario Public Service (OPS) on how to deliver professional regulatory services and support regulated businesses. It promotes:

  • professionalism and service excellence from our inspection staff, with the goal of reducing burden for businesses who want to comply
  • fair and respectful treatment of businesses that are being inspected
  • keeping Ontario safe and healthy

Regulated businesses must:

  • be treated fairly and with respect, whether they are in compliance with the law or not
  • know why they are being inspected, audited or investigated
  • be presumed to be law-abiding until proven otherwise

Regulatory service delivery staff

Regulatory service delivery staff refers to ministry staff who are either appointed under various pieces of legislation (like inspectors and investigators) or unappointed staff (technical experts, policy developers and trainers) who support our regulatory service delivery.

Generally, as a regulated business, most regulatory interactions will be with inspection staff. Inspectors and investigators are appointed or designated under legislation to act in an official capacity, and they must follow the Regulators’ Code of Practice in addition to the Public Service of Ontario Act, the Anti-Racism Act, 2017, and the Ontario Human Rights Code in addition to their oath of office and relevant OPS directives.

This is how we ensure fair treatment, promote diversity and inclusion, and maintain a safe environment. We expect that OMAFA staff receive the same treatment from the businesses we regulate, so that we can work together to build professional and respectful relationships, and positive outcomes for everyone.

When communicating in-person, on the phone or in writing, regulatory service delivery staff will:

  • introduce themselves and their ministry/organization
  • provide general information about what to expect during the inspection or investigation
  • identify the reason, based in law, for the inspection or investigation
  • share what the process is for formal complaints and appeals
  • provide a contact number to give more information or to receive feedback

Education and outreach

Education and outreach activities are an important part of OMAFA’s regulatory services and how we create a supportive regulatory environment.

We actively communicate with businesses and government stakeholders using various platforms including websites and other products. We strive to provide compliance guidance tools and resources that are easy to understand, as well as clear instructions and education on how to correct non-compliance when found.

We recognize that most businesses want to be compliant, so we aim to clarify regulatory requirements, close knowledge gaps, and improve compliance through clear and targeted communications so that businesses understand what is expected of them and why compliance is important.

We provide resources and activities to help businesses understand their responsibilities under the law including:

  • passive compliance promotion resources: resources that regulated businesses can access on their own to encourage self-guided learning and discovery (such as guidance materials on our website, checklists)
  • proactive compliance promotion approaches: inspection staff directly engage with regulated businesses and refer businesses to resources such as guidelines or tools to help them understand and follow regulatory requirements
  • incident-based compliance promotion: targeted guidance and resources, such as voluntary compliance tools, in response to specific incidents or compliance issues

Permissions

Regulatory authority often starts with a permission, which is a legal authorization for a business or person to carry out certain regulated activities. Examples of permissions include:

  • permits
  • certificates
  • licenses, registrations
  • approvals

Learn more about agricultural and food production activities that require a permission.

Pre-permissions sampling is needed to get some licenses, certificates, approvals or permits as required by law. This step ensures that businesses meet the necessary standards before they can operate.

Inspections

Roles and responsibilities of inspectors and investigators

Inspectors check if businesses are following the law. If rules are not being followed, inspectors may use compliance tools to correct the non-compliance. They aim to create a culture of credibility and trust with the businesses they inspect.

Investigators are designated as Provincial Offences Officers under the Provincial Offences Act. Investigators determine whether a violation of the law occurred, and if there is enough evidence to charge someone with a provincial offence and hold non-compliant operators accountable through the court system.

The OPS ensures that its investigators follow policies and procedures during investigations. The court system also holds investigators accountable. Crown prosecutors decide if a case should go to court, and a Justice of the Peace ensures investigators follow the law.

Types of inspections

Proactive inspections

Proactive inspections are categorized into 2 subtypes: focused and comprehensive. Both subtypes are planned, with scheduling determined by a risk-based approach set by OMAFA or by regulation.

Focused inspections target a particular subset of regulatory requirements. Requirements are selected based on risk and the regulated business’ risk profile.

Comprehensive inspections are any planned inspection to assess compliance with all regulatory requirements under any given Act and/or regulation.

Reactive inspections

Reactive inspections respond to events or situations after they happen. There are 2 sub-types: permission-based and incident-based.

Permission-based inspections typically take place to ensure compliance before a regulated business is granted permission to operate.

Incident-based inspections are Inspections that may be triggered by a sampling result, complaint, or a referral from another regulator.

During any type of inspection, any observed non-compliance within the scope of the legislation we enforce may be addressed.

Prepare for an inspection

Understand expectations

Understand what is being inspected and why. If you are unsure, ask questions, as your inspector will answer any reasonable questions you have.

Ensure accessibility and safety

Make sure the site is always accessible and safe for your staff and the inspectors.

Inform staff

Inform staff about inspections and what their role will be during the inspection.

Be prepared

Have a plan to address any potential issues of non-compliance and apply any recommended best practices. Also, be ready to work with your inspector to help document what steps you will be taking if non-compliance is found.

If a business has questions about any element of an inspection, they can raise them with the inspector. We’re not only here to inspect, but we’re also here to help businesses take ownership of their compliance and understand what complying with regulatory requirements looks like.

Inspection process

Pre-inspection activities

To prepare for an inspection, our inspectors will:

  • define what will be inspected, why and for how long
  • identify the team members who will conduct the inspection
  • review previous inspection reports, non-compliance records and any follow-up actions from the last inspection
  • ensure all necessary inspection tools and equipment are ready (for example, measurement tools or checklists)
  • notify the regulated business about the inspection, if required

Inspection activities

During the inspection, our inspectors may:

  • do a walkthrough of the facility and/or site to observe operations
  • review documentation such as logs, records, compliance reports or sales records
  • take relevant measurements (for example, temperature, humidity or calibrations), samples or other photographic documentation of findings
  • carry out specific inspection tasks as outlined in the scope of work
  • issue corrective action plans during the inspection, if needed
  • document the inspection results, including any non-compliance or deviations from standards

Concluding an inspection

At the end of the inspection, inspectors may communicate results by:

  • conducting a closing meeting to summarize the findings and set expectations for next steps
  • identifying any violations found during the inspection, discussing the severity of the issues and defining timelines for corrective actions issuing a report documenting the inspection findings, including any non-compliance, corrective actions and timelines associated, any compliance tools to be issued, if needed

Post-inspection activities

Post inspection activities may include:

  • sending or providing the inspection report to the regulated entity
  • deciding when and how compliance will be verified, including potential in-person follow-up inspections or other methods such as documentation review or remote verification

The length of the inspection depends on its scope. The inspection ends when the inspector has completed all compliance verification tasks associated with the inspection and has left the site or facility. In some cases, this may be in a single visit or over a period of multiple visits.

During an inspection, business may be required to have OMAFA inspectors temporarily attend their premises or inspectors may be there on a more long-term basis. All employees have responsibilities and tasks to fulfill, and OMAFA staff must be able to perform their work in a safe, barrier-free environment. Regulatory service delivery staff have been empowered to speak up if they experience racism, discrimination or harassment in their workplaces.

Staff and managers will work to address any instances of this behavior working with those we regulate and will work collaboratively with regulated entities, their staff and our regulatory service delivery staff to resolve incidents in a respectful and professional manner.

Sampling

There are various types of samples that may be collected through the course of our regulatory service delivery, each with their own purpose. These include:

  • short-term studies that gather information about specific hazard levels in a particular population
  • collecting and monitoring samples from a defined population to find specific hazards
  • collecting various reactive samples based on factors including inspection observations or findings

Communicating inspection results

We use different methods to share inspection findings and non-compliance with regulated entities. These methods include:

  • inspection reports
  • corrective action plans
  • log sheets
  • compliance action reports

These reports help ensure that:

  • information is shared
  • regulated entities are reminded of legal requirements
  • next steps are clearly defined

All inspection reports are generally communicated to the regulated entity within 10 business days, outside any extraordinary circumstances.

The content of a report may contain:

  • the purpose and scope of the inspection
  • a summary of observations, findings or a description of the incident(s)
  • references to relevant sections of the legislation
  • deadlines and required actions to achieve compliance (corrective action plan)
  • an accompanying compliance tool, if needed

Other regulatory compliance verification activities

Regulatory service delivery staff can also check for compliance through collecting samples and a range of in-office reviews such as compliance monitoring, desktop verifications and assessments. This includes evaluating the permission applications, technical reports or annual reports for a business.

Compliance verification activities also help with identifying risk of potential non-compliance and can be used to monitor emerging risks to improve overall regulatory service delivery effectiveness.

Regulatory response and progressive compliance

Inspectors consider many factors when addressing non-compliance. They work to choose the right compliance tool by assessing all factors surrounding non-compliance including the reasons non-compliance occurred, the business’ compliance history and the risk and impact presented by the specific violation.

Ignorance of the law is not an acceptable excuse for non-compliance and will not influence an inspector’s decision. However, inspectors may promote future compliance by providing clear and timely explanations of their decision and the regulatory requirements.

Procedural fairness

Procedural fairness is when decisions are made fairly to build trust. It includes:

  • unbiased decisions
  • notice of compliance tools issued
  • the right to be heard

Unbiased decisions

Inspectors will avoid any personal biases or pressures that could influence their decision making, including declaring any potential conflicts of interest.

Notice of compliance tools issued

Inspectors will clearly explain the compliance tool used and the reasons for it in a timely manner.

The right to be heard

The regulated business can outline their arguments and evidence if they believe the application of a compliance tool and finding of non-compliance to have been unjust in a formal appeal process.

It is important to note that formal appeal processes only apply to the use of mandatory compliance tools prescribed by legislation (such as compliance orders, conditions on a license, license suspension or revocation) and not for control actions such as condemnations or detentions.

Transparency

The Regulators’ Code of Practice ensures that regulators deliver accessible, responsive, reliable, fair and accountable services, by following the OPS Service Directive.

Inspectors are trained to provide introductions and clear information about:

  • inspections
  • investigations
  • compliance requirements
  • complaint process
  • appeal procedures
  • contact information

This includes offering French language services and alternative formats as needed.

Progressive compliance

The Regulators’ Code of Practice focuses on building a compliance culture and moves the focus from punishment to longer-term prevention. Progressive compliance uses a step-by-step approach with more serious compliance actions for bigger or repeated problems. This method matches the seriousness and frequency of the issues.

Progressive compliance and enforcement help regulatory service delivery staff to:

  • determine a proportionate response on a case-by-case basis, as every situation is unique. Each regulated sector has a range of voluntary and mandatory compliance tools, which are intended to be used in a proportionate and progressive manner
  • increase the seriousness of future compliance actions for related or continued non-compliance based on the impact of the non-compliance, compliance history and level of cooperation

It is important to make sure:

  • information is clearly communicated to regulated entities
  • compliance deadlines are determined
  • information is provided in writing

Reports given to the regulated entity help ensure clarity of inspection findings and next steps. These include:

  • corrective action plans
  • log sheets
  • corrective action reports
  • inspection reports

Non-compliance

We use a variety of compliance tools to address ongoing violations and prevent them from happening again. These tools help change behavior, encourage following the rules and avoid repeat non-compliance.

When an inspector issues a compliance tool, they will:

  • document inspection findings
  • discuss the findings with the regulated entity and timelines for corrective actions
  • share the report of non-compliance and corrective actions with the regulated entity
  • notify the regulated entity about any escalation of enforcement actions and the available appeal processes
  • consider the need to escalate compliance tools, if non-compliance continues

Control actions

OMAFA is committed to ensuring:

  • food safety
  • animal health and welfare
  • environmental health
  • consumer protection

Control actions are used in situations where there is an urgent threat or risk of harm. These actions are temporary and are meant to address the immediate concern, while the issue of potential non-compliance and use of applicable compliance tools, if warranted, is being resolved.

Control actions are not intended to encourage a change in behavior or prevent future violations. Their sole purpose is to address the immediate negative impact of a given issue. Examples of control actions include:

  • condemnations: a determination by an inspector that a product is unfit for consumption or sale and must be subsequently destroyed/disposed of
  • detentions: a regulatory hold placed on a product by an inspector preventing further use or distribution pending further testing or investigation
  • seizure: an act by an inspector to take full care and control of a product to prevent further use or distribution pending further testing or investigation

Informed judgment matrix

Regulatory service delivery staff use an informed judgment matrix (IJM) to help guide their use of professional discretion in choosing the right compliance tool when dealing with non-compliance. An IJM is a tool that provides a systematic way to decide between a range of compliance tools, considering a business’ compliance history and the impact of their non-compliance. It aims to:

  • promote consistency in compliance actions
  • support progressive compliance
  • identify proportionate responses
  • differentiate between risk and impacts
  • include obstruction and falsification of documents in the compliance history
  • consistently use voluntary tools like education and warnings

The IJM enables fair and justifiable regulatory decision-making, creating consistency and aligning the severity of the non-compliance with the compliance action taken.

Compliance history

The IJM uses compliance history to assess past behaviors and decide on the proportionate response to non-compliance. Key elements of compliance history include the following:

Past violations

Previous instances of non-compliance, including obstruction or falsification of records, help assess the likelihood of reoccurrence.

Reoccurrence and patterns

A history of repeated violations may need more strict corrective actions.

Proportionate response

A regulated business with a history of repeat minor violations may face more severe corrective actions.

Proactive engagement

Repeat violations or minimal attempts by the regulated business to correct and prevent future instances of non-compliance will be met with more progressive compliance actions.

Predicting future compliance

A poor compliance record suggests a higher likelihood of future violations, which will influence the choice of compliance actions.

The duration of the considered compliance history varies by business type and risk, and is generally 2 years, but may be shorter or longer depending on the nature of the regulatory requirement, risk and risk assessments.

Impacts of non-compliance

The IJM considers the impact and consequences of the violation and breaks it down into levels, based on the severity of impact on food safety, animal health and welfare, environmental protection and/or consumer protection. The levels are:

  1. negligible
  2. minor
  3. major
  4. critical
  5. catastrophic

These impact levels guide inspectorsin selecting a proportionate compliance tool, whether that be an immediate corrective action or a more flexible response.

Compliance tools

Compliance tool selection

Inspectors also consider mitigating and aggravating factors when choosing what kind of compliance tool to use when violations are found.

Mitigating factors provide reasons why the response to a contravention may be softer (for example, the use of voluntary tools like education and awareness, warnings and others).

Examples of mitigating factors include:

  • the business is newly regulated
  • the business has taken steps to achieve compliance
  • whether full and timely correction to previous non-compliance has been made
  • non-compliance is caused by a minor oversight
  • the business has been co-operative in the inspection or investigation and has shown a willingness to comply
  • any other factor that would reasonably explain non-compliance (an example being that it was an honest mistake)

Aggravating factors provide reasons why the response to a contravention may be stronger (for example, the use of mandatory tools like compliance orders).

Examples of aggravating factors include:

  • the business has previously been offered compliance assistance
  • voluntary compliance tools have been previously used
  • the business has multiple instances of non-compliance
  • the business is producing food for at-risk populations such as children and/or the elderly
  • violations are widespread in the company and or present at other locations operated by the same owner and operator
  • the business is unwilling to cooperate/comply
  • the business intended to break the law

Voluntary compliance tools

Voluntary compliance tools are not mandated by Acts and regulations. They serve as initial steps toward achieving mandatory compliance.

Voluntary tools include:

  • education and awareness
  • verbal warnings
  • written warnings/advisory letters

Mandatory compliance tools

Mandatory compliance tools are specified in the Acts and regulations. Depending on the weight and severity of the violation, it may be necessary to bypass voluntary compliance. The Acts and regulations we enforce vary in terms of the tools available to regulatory service delivery staff and can include:

  • withdrawal of inspection services
  • compliance orders
  • conditions placed on a licence
  • temporary suspension of a licence
  • revocation of a licence
  • refusal to renew a licence
  • other penalties

Enforcement tools

OMAFA’s Provincial Offences Officers have access to mandatory enforcement tools which include:

  • Part I Tickets under the Provincial Offences Act (1990)
  • court orders (which differ from the compliance tool and are issued by a Justice of the Superior Court of Justice) as described by relevant legislation (such as Section 42 of the Food Safety and Quality Act) to enforce orders made under the relevant act or regulation
  • prosecution for Part III Provincial Offences

Enforcement is key to building and maintaining a culture of compliance. The goal of enforcement is not simply to punish violations, but instead to encourage future compliance by motivating people to follow the law.

Consistent application of effective enforcement actions prevents future violations and builds public trust in the regulatory system, ensuring that rules are applied fairly and consistently across regulatory business lines. This trust creates a level playing field and ensures that everyone understands what their responsibilities are and how to meet them.

Differences between tools

When issuing a compliance tool, the terms "must" or "shall" will be used to indicate a mandatory legal requirement.

Voluntary compliance tools carry no additional legal implications outside of the requirement to follow the law.

Mandatory tools are set out in the Acts and regulations and create an additional legal obligation on the regulated entity to comply. Not following the direction of the regulator outlined in a mandatory tool is an additional incident of non-compliance in addition to the original violation of a requirement of law.