Traceability Foundations
Initiative (TFI) Application Guidebook
- Version 2.0
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This Guidebook will assist Applicants in completing the
Application Form for Intake 2. The Traceability Foundations Initiative
continues with a second intake that is now open to accept applications
beginning June 1, 2012 after 9:00 am until July 24, 2012 at 12:00
(noon) E.D.T. Please note that this deadline will be strictly enforced.
Late applications shall be deemed to be ineligible for further consideration
for funding.
You may
Complete an Application Form and submit:
Traceability Foundations Initiative
Ontario Ministry of Agriculture, Food and Rural Affairs
1 Stone Road West, 4th Floor
Guelph, ON N1G 4Y2
Ontario Ministry of Agriculture, Food and Rural Affairs
(OMAFRA) staff are available to provide assistance to Applicants
in developing their proposed project details or applications.
However, Applicants will be solely responsible for the timely
submission, completeness and content of their applications.
Traceability Foundations Initiative
The Traceability Foundations Initiative (TFI) is three-year joint
Federal:Provincial funding program that may provide up to 75 per
cent cost-share funding to Sector Organizations and Value Chains
to support voluntary, industry-led information sharing networks
that will enhance agri-food traceability. At the sole discretion
of OMAFRA’s selection panel, eligible projects may be approved
for an amount up to a maximum of $5 million in funding. Meeting
eligibility criteria does not guarantee that an Applicant will
be approved for funding.
What is Traceability?
In general, traceability is the ability to trace products and
their associated attributes backwards and forwards through an
agri-food chain. A full traceability system requires the collection,
storage and sharing of three key pieces of information:
- Premises Identification-unique identification
of all locations where Agri-food Activities or Agri-based
Activities occur
- Product Identification-of animals, plants
or food products as individuals, lots or batches
- Movement Recording-of identified products
between identified premises
Table of Contents
Part B: Completing an Application Form
Schedule 1: Premises Identification - Registering
your agri-food premises
Part A: Program Information
Glossary of Terms:
For the purpose of the Traceability Foundations Initiative (TFI),
the following terms are defined:
Agricultural Activities: means activities involving
the raising of livestock and the production of crops including
harvesting, sorting, grading and minimal processing steps such
as washing, packing, trimming, and/or grading.
Agri-based Activities: means all activities
involved along a chain related to the production, processing,
storing, shipping, distributing and retailing of agriculturally
produced products that are not intended for human consumption
(e.g. corn grown, processed and sold for ethanol production).
Agri-food Activities: means all activities involved
along a chain related to the production, processing, storing,
shipping, distributing and retailing of food (e.g. corn grown,
processed, packaged and sold to consumers).
Co-Applicant: means an Organization or Value
Chain Partner, other than the Lead Applicant, that participates
in the project and receives funding from the Traceability Foundations
Initiative through, the Lead Applicant.
Contribution Agreement: means the agreement
a Lead Applicant will enter into on behalf of itself and the Co-Applicants
with OMAFRA describing the terms and conditions under which the
Applicants' specific project for Traceability Foundations Initiative
will be funded, if the project is selected for funding.
Eligible Expenditures and Activities: means
the expenditures or activities paid by the Lead Applicant or an
Organization or Value Chain Partner to improve information sharing
and traceability that are eligible for reimbursement by OMAFRA
for a specified project under the Contribution Agreement.
Food and Beverage Processing Activities: means
activities related to the processing, modification, transformation,
wholesaling/distributing, transporting or storing of food or beverage
products.
GS1: means Global Standards One, a not-for-profit,
industry-led organization that develops, promotes and maintains
global standards for the identification of goods, services, locations
and related e-commerce communication. GS1 Canada is the national
member of this international organization.
Ineligible Expenditures and Activities: means
the expenditures or activities paid by the Lead Applicant or an
Organization or Value Chain Partner that are not eligible for
reimbursement by OMAFRA for a specified project under the Contribution
Agreement.
Information Sharing: means the sharing of data
or other information.
Information Sharing Network: means a newtork
used to collect, store, process and share information among separate
business partners (e.g. software, web based system).
Information Sharing System: means a comprehensive
system that includes standards, agreements, procedures, equipment
and/or a network designed for the recording, storage and sharing
of information needed to track identified products moving through
and between identified premises.
Lead Applicant: means a business, association
or other legal entity applying to the Traceability Foundations
Initiative on behalf of itself and other legal entities that is:
responsible for completing all documentation related to the project
Application; for approved projects, the recipient of project funds;
the main contact/liaison with OMAFRA; and the party primarily
legally responsible for meeting all of the terms and conditions
of the Contribution Agreement.
Member: means an individual, business or organization
that meets and fulfills the criteria for membership within a Sector
or regional organization or association.
Mock Traceability Exercise: means a practise
event conducted by the Applicant(s) to evaluate their ability
to trace, identify and contain infected or unsafe animals, plants,
or products along their Value Chain or across a Sector within
a 48 hour period.
Premises: means a parcel of land defined by
a legal land description or, in its absence, by geographical coordinates,
on which one or more Agri-food Activities or Agri-based Activities
take place.
Premises Identification/Premises ID: means the
establishment of the exact geographical location of Premises,
its characterization (e.g. description of activities and relevant
contact information) and the allocation of a unique identifier
to national/international standards.
Project Benefit: means a positive consequence
or a spin-off objective of the Traceability Foundations Initiative
resulting in addition to a Project's set outcome(s).
Project Outcome: means a consequence resulting
from a Project's objectives and activities.
RFID: means Radio-frequency Identification.
This is a process whereby an object, such as a tag, is applied
to or incorporated into a product or animal for the purpose of
identification and tracking using radio waves.
Sector: means a categorization within Ontario's
agriculture and food industry that involves grouping of businesses
conducting similar activities. Sectors may be commodity (e.g.
cattle, sheep, greenhouse) or activity (e.g. meat processing,
food packaging, ethanol production) based.
Sector Organization: means a not-for-profit,
incorporated association or other recognized legal entity that
represents members in a sector.
Supply Chain: means independently operated businesses
whose activities transform natural resources, raw materials and
components into a finished product that is delivered to the end
customer. Typical information flow along the chain is one-way
in nature.
Value Chain: means a strategic partnership among
inter-dependent businesses that collaborate to progressively create
value for the final consumer resulting in a collective competitive
advantage.
Value Chain Partner: means an individual business
within a Value Chain with a specific role or responsibility in
operating and managing the Value Chain.
Objectives
The Traceability Foundations Initiative may provide up to 75
per cent cost-share funding for the agriculture, agri-food and
agri-based industry to support selected information sharing projects
that implement or enhance traceability within a Sector or a Value
Chain. Selected Applicants may be eligible for funding up to a
maximum of $5 million.
The objectives of the Traceability Foundations Initiative are
to:
- enhance information sharing and increase the adoption of
sustainable, voluntary Information Sharing Systems that approach
or achieve traceability to national or international standards
across a Sector or along a Value Chain
- assist participants to increase market access, substantiate
product claims, or generate economic benefits for participants
- increase capacity to trace animals, agri-food or agri-based
products and their associated attributes
- increase the ability of Sectors and Value Chains to execute
emergency response (e.g. food recall) procedures when required
Who May Apply?
Projects must fall under one of two categories.
Sector Organization Projects
Sector Applicants
Eligible Sector Organization Lead Applicants include:
- Provincial organizations representing member-producers who
are directly involved in Agricultural, Agri-food and Agri-based
Activities within Ontario
- Food and beverage industry organizations representing member
processors who are directly involved in Food Processing Activities
within Ontario
The following entities can participate in projects (but
cannot act as Lead Applicants):
- Members directly involved in Agricultural Activities or Food
and Beverage Processing Activities (i.e. producers, processors)
- Alcoholic beverage processors (e.g. wine)
- Retail food operations
- Food service operations (e.g. restaurants)
- Agricultural input suppliers (e.g. feed suppliers, fertilizer
suppliers, pesticide suppliers, etc.)
- Packaging manufacturers
- Traceability service providers to a Sector Organization (e.g.
software company)
- Traceability equipment suppliers
- Transportation providers
Eligible Applicants must be capable of entering into legally
binding contracts.
Ineligible Applicants include:
- National Sector Organizations and non-Ontario based members
of these organizations
- Tobacco and tobacco products producers, manufacturers or processors
- Pet food producers, manufacturers, processors or related facilities
- Health and/or nutrition supplement processors
- Fish farmers, processors or organizations in the aquaculture
sector
Eligible Sector Lead Applicants must have the following:
- a Canada Revenue Agency Business Number (HST number)
- an account at a chartered Canadian Bank
- representation by a registered not-for-profit, incorporated
association or other recognized legal entity
Value Chain Projects
What is a Value Chain?
A Value Chain is "a strategic partnership among inter-dependent
businesses that collaborate to progressively create value for
the final customer resulting in a collective competitive advantage."
Figure 1 - Value Chain
Text
Equivalent of Image
Why should you be involved in a Value Chain? If you want to:
- improve the production and quality of your product with better
information sharing
- develop a differentiated product for desired markets
- find cost savings and operational efficiencies that positively
impact your bottom line
For further information on Value Chains and how it applies to
TFI, request our tip sheet.
Value Chain Applicants
Value Chain Lead Applicants will need to identify all the Value
Chain Partners participating in the proposed project.
The identified Value Chain must include at least three Value
Chain Partners within two or more of the following areas:
- Inputs
- Production
- Processing
- Distribution/warehouse
- Retail
- Transportation providers
The Lead Applicant must have its head office located in Ontario,
and operate within the Province of Ontario (i.e. Ontario farm,
retailer or processor).
Eligible Value Chain Applicants include:
- Producers directly involved in growing or producing agricultural
crops including harvesting, sorting, grading, washing or packing
in Ontario
- Producers raising livestock or poultry in Ontario
- Operations directly involved in the co-mingling, movement
or storage and warehousing of livestock or poultry, agricultural
and related products along the chain in Ontario (e.g. transportation
companies)
- Processors directly involved in the modification, processing,
or transformation of food products in Ontario
- Retail food operations in Ontario
- Food service operations in Ontario (e.g. restaurants)
- Agricultural input suppliers in Ontario (e.g. feed suppliers,
fertilizer suppliers, pesticide suppliers)
- Traceability equipment suppliers in Ontario
- Transportation providers in Ontario
- Packaging manufacturers in Ontario
Ineligible Value Chain Applicants include:
- Partners or participants who are not a fundamental part of
the Value Chain
- Pet food facilities
- Equipment suppliers
- Health and/or nutrition supplement processors
- Fish farmers and processors
- Tobacco and tobacco product producers, manufacturers and processors
- Value Chain Applicants located or operating outside of Ontario
Eligible Value Chain Lead Applicants must have the following:
Lead Applicants:
- a Canada Revenue Agency Business Number (HST number)
Or
- a Farm Business Registration (FBR) number or an Exemption
Certificate
And
- an account at a chartered Canadian bank
Co-Applicants:
- a Canada Revenue Agency Business Number (HST number)
First Nations Applicants operating on reservation land may furnish
a letter from the Indian Agriculture Program of Ontario (IAPO)
verifying their business operation and a bank account at a chartered
Canadian bank.
Eligible Projects
Subject to the funding limitations set out in the AgriFlexibility
Agreement between Canada and Ontario, effective on April 1, 2010,
for the Traceability Foundations Initiative and at OMAFRA's sole
discretion, projects selected for funding through Intake 2 of
the Traceability Foundations Initiative will support the design
and implementation of Information Sharing Networks across Sector
Organizations and Value Chains within agriculture, agri-food and
agri-based businesses leading to effective Information Sharing
Systems that include premises identification, animal/product identification
and movement recording. These projects will develop/enhance Information
Sharing System that meet identified business objectives and achieve
measurable outcomes that align with TFI program objectives.
Funding
Applications submitted to the Traceability Foundations Initiative
will be subject to a competitive approval process. The Government
of Ontario (OMAFRA) reserves the right to rank prospective projects
prior to selection and to award or deny funding accordingly. Furthermore,
if awarded, at OMAFRA's sole discretion funding may be allocated
at the full amount requested or at a reduced level based on funds
allocated for TFI in the current Fiscal Year as well as a project
assessment. Applicants may request up to a maximum of $5 million
for Eligible Expenditures and Activities under Traceability Foundations
Initiative. OMAFRA will solely determine the eligibility of proposed
expenditures or activities listed in the application. Total funding
for an approved project cannot exceed 75 per cent of the Eligible
Costs identified in the Application Form.
Total cost-share funding for the project wil be based directly
on the total costs indicated in the application. If an application
has been approved, the maximum cost of the project cannot be changed.
Applicants may request amendments, but the associated costs will
be subject to prior approval by OMAFRA.
Costs incurred for the project starting from March 15, 2011 may
be Eligible Costs. However, costs incurred prior to signing a
Contribution Agreement are entirely at an Applicant's own risk.
Expenditures and Activities must occur within the duration of
the Traceability Foundations Initiative. The last date to submit
claims under Traceability Foundations Initiative will be December
15, 2013.
Competitive Procurement:
Projects proposing to acquire goods, supplies, equipment or consulting
services considered as Eligible Expenditures and Activities that
exceed $25,000.00 and that will be seeking reimbursement through
Traceability Foundations Initiative as part of the project costs,
will be required to conduct a competitive procurement process
which includes three written quotes for services.
OMAFRA will only reimburse claims at approved cost-share for
paid Eligible Expenditures and Activities.
In-kind Expenditures and Activities:
- In-kind expenditures and activities are resources provided
by the Lead Applicants or Co-applicants for the purposes of
the project, such as labour or use of a building space for training
- In-kind expenditures and activities must be identified in
the Application and will be reviewed on a case by case basis
by OMAFRA
- Eligible in-kind expenditures and activities may be reimbursed
at an approved cost share up to a maximum of 75 percent
- In-kind expenditures cannot exceed 50 percent of the Total
Eligible Project Costs funded under TFI
- Reimbursement of an in-kind expenditure, as with all expenditures,
will require documentation to demonstrate costs incurred and
to support the set value of the expenditure (e.g. payroll information
and log of activities performed)
Eligible Expenditures and Activities for cost share under
TFI may include:
- Consultant services for project management, including planning
and development
- Research and pilot testing of solutions, including but not
limited to; needs assessment, gap analysis, evaluation of information
sharing technologies
- Information technology infrastructure, equipment associated
with developing/maintaining Information Sharing Networks
- Software development and customization costs associated with
developing/maintaining Information Sharing Networks
- Information service provider/technical advisor costs
- Minor capital/structural modification to accommodate the
installation of equipment or infrastructure associated directly
with the project
- First time training costs associated with new equipment purchases
or procedures related directly to the implementation of the
project
- First time costs related to traceability implementation (e.g.
first time registration with GS1 for unique company prefix number,
excluding identification tags, labels)
- Internal communications costs related to the project including
but not limited to training materials, videos, brochures, website
development etc
- Project costs related to supporting/managing the Information
Sharing Networks (e.g. dedicated project staff). Note: this
support is limited to the duration of the project only; the
applicant must submit a plan for sustainability of the project
once project funding has ended
- Costs associated with Mock Traceability Exercise (Mock recall)
- In-kind Expenditures and Activities directly related to the
development and implementation of the project
- Travel costs associated with project development and implementation
subject Federal and Provincial directives
- Other activities as deemed eligible prior to being incurred
based on project assessment by OMAFRA
Ineligible Expenditures and Activities under TFI include:
- All project-related expenses incurred prior to March 15, 2011
- Costs associated with day-to-day operations of an Applicant's
business or organization
- Costs that have been reimbursed or eligible for reimbursement
under another provincial, federal, or municipal cost-sharing
or grant program (e.g. Food Safety and Traceability Initiative,
Livestock Auction Traceability Initiative, or Canadian Industry
Traceability Infrastructure Program, OMAFRA Transfer Payment
Agreement etc.)
- HST, value-added tax, or other items for which a refund or
rebate is received
- Ongoing costs of traceability (e.g. purchase of identification
tags, labels, renewal fee of GS1 etc.)
- Costs to meet regulatory requirements
- Market research (e.g. product, sector, customer)
- Costs incurred by Value Chain Partners located outside of
Canada
- Costs associated with the planning and creation of a value
chain (e.g. partner facilitation/coordination, agreements, business
planning, etc.)
- Scientific testing
- Food and beverage product research and development
- Expansion of production capacity
- Development of national databases for Sector associations
- Expenditures and Activities that result only in facility
level recording/storage of information without further information
sharing
Take further notice that OMAFRA reserves the
right to obtain information from Applicants for the purposes of
assessment, evaluating, verifying, auditing and enforcing the
application and payments made under Traceability Foundations Initiative
under the terms and conditions of a Contribution Agreement.
Applicants may be asked to demonstrate their capacity to finance
their project.
Additional Resources
Additional advice on developing project plans or completing the
Application Form is available from OMAFRA toll free at 1-877-424-1300,
TTY (for the hearing impaired) at 519-826-7402, by email at: TFI.omafra@ontario.ca
and on our website at www.ontario.ca/traceability
Selection Process
Applications will be assessed according to evaluation criteria
for the Traceability Foundations Initiative. Evaluations of applications
are done on an individual basis and include the fit of the project
with the priorities and objectives of Traceability Foundations
Initiative. OMAFRA Approval of projects will be based on selection
criteria.
Sector Organization Project Evaluation Criteria:
Sector Organization project funding proposals submitted in accordance
with the application closing deadline will be evaluated against
the following criteria and, as the case may be, other TFI project
funding proposals:
- Connect or expand current or developing Information Sharing
Networks
- Address the greatest level of risk
- Have the greatest organizational capacity to deliver and
sustain success
- Provide the greatest economic contribution to Ontario
- Show a high level of readiness/preparedness
- Display a high level member support and organizational capacity/plans
to influence member participation rates
- Has the ability to meet national/international standards
- Provides the greatest level of economic leveraging
- Are designed to meet identifiable market opportunities
Value Chain Project Evaluation Criteria:
Value Chain project funding proposals submitted in accordance
with the application closing deadline will be evaluated, without
limitation, against the following criteria and, as the case may
be, other TFI project funding proposals:
- Connect or expand current or developing information sharing
networks
- Address the greatest level of risk
- Have the greatest capacity to deliver and sustain success
- Provide the greatest economic contribution to Ontario
- Show a high level of readiness/preparedness
- Has the ability to meet national/international standards
- Provides the greatest level of economic leveraging
- Are designed to meet identifiable market opportunities
- Demonstrates willingness of all partners to share information
and enhance collective value
Subject to operational contingencies, Applications will be reviewed
and processed for decision by OMAFRA within 45 business days of
the application closing deadline and receiving all required application
information. OMAFRA reserves the right to solely determine an
Applicant's eligibility for Traceability Foundations Initiative
funding.
Approved Projects
The Lead Applicant for projects that are approved for funding
will be required to sign a Contribution Agreement (ie. contract)
with the Province of Ontario. Applicants are strongly advised
to review their Contribution Agreement with their legal counsel
prior to execution. A sample Contribution Agreement will be posted
on the website at www.ontario.ca/traceability.
Take notice that in the event of an error, omission or inconsistency
as between this Guidebook, Application Form and the Contribution
Agreement, the latter will prevail.
Any Lead Applicant signing a Contribution Agreement with the
Province of Ontario is required to have comprehensive general
liability insurance with coverage for at least $2 million per
occurrence. This insurance must show the Province and Canada (Her
Majesty the Queen in right in Ontario and Her Majesty the Queen
in the right of Canada) as additional insureds on the policy and
contain the endorsements specified by the Contribution Agreement
and is required to be maintained throughout the term of the Contribution
Agreement. A Certificate of Insurance from Lead Applicants will
be required to be submitted to OMAFRA prior to the signing of
a Contribution Agreement.
Mock Traceability Exercise
(This activity must be included in Section 7 of the Application
Form).
As part of the requirement to receive funding through the Traceability
Foundations Initiative, applicants must be able to demonstrate
that the Information Sharing Network that has been implemented
has the capability of enhancing emergency response for the Value
Chain or Sector. As proof that the Information Sharing Network
can effectively track animals/products through the Value Chain
or within a Sector, Applicants must engage in a mock traceability
exercise and provide supportive documentation that shows the information
sharing capability and responsiveness in an emergency.
What needs to be done?
By the end of the project, a mock traceability exercise will
be initiated by a designated representative for the project. This
designated person will:
- Coordinate the mock traceability exercise among all applicants
and participants in the project
- Assemble and ensure completion of all supportive documentation
for the mock traceability exercise including, but not limited
to:
- Documentation from the Information Sharing System that
supports the success of the Mock Traceability Exercise
- Traceability or Mock Traceability procedures and associated
records that demonstrate the capability of the Information
Sharing System to locate 100% of the identified animal,
plants or product along the value chain or across a sector
within a 48 hour period
- Reports, logs or schedules as generated by the Information
Sharing Network
- Submission of all complete and supportive documents for the
mock traceability exercise to OMAFRA as part of the final report
The mock traceability exercise does not need to demonstrate an
investigation into the source of a problem or address any corrective
action (e.g. revising sanitation procedures or personnel issues).
The exercise should only test the Information Sharing Network
by allowing participants to access and share all pertinent information
with regards to a specific product lot number, batch or animal.
Value Chain - The mock traceability exercise
for a Value Chain project needs to demonstrate that 100 per cent
of any selected product can be located. Information related to
the product (inputs, production, storage, transport, handling)
can be provided by each Value Chain Partner to the designated
representative within 48 hours of the exercise being initiated.
For the purposes of this exercise, lot numbers of all raw materials
and finished products with their premises and movement information
related to the identified product needs to be listed by each Value
Chain Partner.
Sector Organization - The mock traceability
exercise for a Sector project needs to demonstrate that 100 per
cent of any selected product can be located. Information related
to the product (inputs, production, storage, transport, handling)
can be provided by each participating Sector member to the designated
representative within a 48 hours of the exercise being initiated.
For the purposes of this exercise, lot numbers of all raw materials
and finished products with their premises and movement information
related to the identified product needs to be listed by each participating
Sector member.
If you need a template to conduct the mock traceability exercise,
contact OMAFRA for a template that meets your needs.
OMAFRA reserves the right to request any documents or information
that supports the information provided by Applicants for the mock
traceability exercise.
Reporting Requirements
Lead Applicants for approved projects will be required to submit
quarterly progress reports and expenditure forecast reports over
the duration of the project to OMAFRA. These quarterly reports
will follow a template that will be included with the signed Contribution
Agreement. Failure to submit required reports will result in delays
in flowing funds. Non-compliance with reporting requirements may
result, at OMAFRA's discretion, in more severe consequences including,
but not limited to, project cancellation, reduced project funding
or repayment of project funds.
Claim Reimbursement
Lead Applicants for approved projects will receive a claim package
(including claim forms) with the copy of the signed Contribution
Agreement. The Lead Applicant is responsible for communications
with Co-applicants/partners and disbursement of project funds
as appropriate to other organizations or companies.
Claims for reimbursement of eligible costs may be submitted
to OMAFRA at any time during the duration of the approved project.
All claims submitted must include documentation to support eligible
and approved project expenditures that have been incurred. Claims
for payments must be accompanied with copies of paid invoices
and proof of payment. This includes all eligible costs that were
recorded in Section 7 of the Application Form. OMAFRA can only
reimburse the applicant for invoices that have been paid.
All items listed in the project budget must be able to be supported
by auditable documentation. OMAFRA reserves the right to request
additional documentation to support claims if needed. Payments
will be processed within 30 days of receiving claims and all necessary
information. HST is not eligible for reimbursement under the Traceability
Foundations Initiative.
The total reimbursed amount will be subject to a 10 percent holdback
payable upon:
- successful project completion
- successful conduct of the mock traceability exercise and performance
assessment of Information Sharing Network
- final project report approval
Other Information
OMAFRA Reserves its Rights To:
- Waive or modify minor irregularities in applications
- Adjust or correct cost or cost figures with the concurrence
of the applicant if errors exist and can be justified and documented
to the satisfaction of OMAFRA
- Make selections to serve the best interests of the Province
of Ontario
- Direct applicants to other federally or provincially administered
programs where they may be better positioned for funding
- Modify funding to most appropriately meet the needs of the
Ontario agriculture, agri-food and agri-based sectors based
on applications received
- Offer funding to Applicants in amounts less than requested
in the submitted applications
- Modify program criteria in specific areas
- Cancel the Traceability Foundations Initiative
Take notice that information supplied to Traceability
Foundations Initiative may be disclosed by OMAFRA where it is
obligated to do so under the Freedom of Information and Protection
of Privacy Act (FIPPA), or by an order of a court, tribunal
or pursuant to a legal proceeding. Information contained in an
Application to the Traceability Foundations Initiative may also
be disclosed by OMAFRA to verify compliance with other provincial
and federal funding initiatives administered by OMAFRA, Agriculture
and Agri-Food Canada, the Canadian Food Inspection Agency or a
third party delivery agent, to ensure that there is no duplication
of funding or to verify status of provincially licensed establishments
or federally registered facilities.
OMAFRA reserves the right to obtain information for the purposes
of assessing, evaluating, verifying, auditing and enforcing the
application and payments made under the Traceability Foundations
Initiative.
Contact Information
Additional advice on developing project plans/details or on completing
the application form is availble from:
Part B: Completing an Application Form
In order to be considered for funding under the Traceability
Foundations Initiative, Applicants must complete an Application
Form that includes but is not limited to: details on the proposed
project, outcomes and benefits, capacity and resources, proposed
expenditures and activities, budget and sources of funding.
Please read each section of the Application Form carefully and
refer to this part of the Guidebook for assistance.
Applicants may also obtain assistance on project design and completion
of the Application Form from OMAFRA. Please call toll free at
1-877-424-1300 or email TFI.omafra@ontario.ca.
In the event of an omission, error or inconsistency between this
Guidebook and the Application Form, the latter prevails.
Take notice that failure to complete an Application
Form fully or accurately may result in delays in application processing
and review and could result in an application being deemed ineligible
for funding.
Section 1 - Tell us about yourself
Contact Information
Indicate your preferred method and language of communication.
Check off whether the application is for a Sector Organization
or a Value Chain project. See Part A: Program Information –
“Who may Apply?” and “Glossary
of Terms” in this Guidebook for additional information
on eligible applicants.
Provide complete and accurate contact information.
For a Sector Organization Project, a Lead Applicant must supply
their Canada Revenue Agency Number (HST number).
Please list the names of all OMAFRA staff that have assisted
in the development and/or design of the proposed project.
For Value Chain projects, read Part A of
the Guidebook thoroughly to determine if the Value Chain meets
the Traceability Foundations Initiative eligibility criteria.
All Value Chain applicants must supply a Canada Revenue Agency
Number (HST Number). If you do not have an HST number, please
provide your Farm Business Registration Number (FBR) provided
by Ontario Federation of Agriculture, Christian Farmers Federation
of Ontario or National Farmers Union in Ontario (as assigned by
Agricorp) or your Indian Agriculture Program of Ontario (IAPO)
letter. Failure to do so will result in rejection of the application.
List additional Co-applicants on a separate sheet, if necessary.
Once Section 1 is complete, Value Chain Partners proceed
to Section 3 of the application form.
Section 2 - Sector Organization Applicants Only
Sector Information
Indicate the total membership of your organization and the anticipated
number of members that will be participating in the proposed project.
Describe how you will influence member participation to ensure
the success of the proposed project:
- How will you market the proposed project?
- How will you communicate successes with project participants?
- How will your organization demonstrate leadership to influence
member participation?
Indicate how and at what times/frequency you will measure member
participation in the proposed project:
- How will you show increasing progress towards your participation
goal?
Once Section 2 is complete, Sector Organization Applicants
proceed directly to Section 4 of the Application Form.
Section 3 - Value Chain Applicants Only
Value Chains
All Value Chain Partners who are participating in the proposed
project need to be identified. Refer to the Who May Apply and
Glossary of Terms in Part A of this Guidebook to ensure your application
meets the definition of a Value Chain.
Provide an overview of your Value Chain.
- Identify all Partners in the Value Chain and what their roles
and/or responsibilities are within the Value Chain:
- How and what does each partner contribute?
- How will the Value Chain be managed?
- How are the Value Chain Partners creating added value for
themselves or the purchaser(s) of their products?
Check off the remaining boxes that apply to your Value Chain
(length of Value Chain Partnerships, yearly sales and total number
of employees at all facilities).
Section 4 - Tell us about your proposed information sharing project
Title of Proposed Project
The title you provide for your project will be the name used
by OMAFRA.
Project Description
Provide a summary of the proposed project (maximum five pages).
Please ensure the summary addresses the following headings:
- Background information:
- What does your current Information Sharing System consist
of?
- How does your current Information Sharing System work?
- Project rationale:
- What is the business case for the project? (e.g. why this
project, purpose, capacity, need)
- Project objectives:
- What will this project seek to achieve?
- How do the proposed project objectives align with TFI program
Objectives?
- What are the anticipated project outcomes? Who would be
impacted most?
- Proposed Information Sharing System:
- How, what, where, and with whom will information be recorded/stored
and shared with to reach anticipated outcomes?
- What technology will be employed?
- What Standard Operating Procedures will be developed?
- What standards (national/international) will be met?
- Who will manage the project?
- Who will be trained and who will be training?
- How will it contribute to improved emergency management?
Include flow charts and diagrams as appropriate to illustrate
the Information Sharing System
Section 5 - Tell us about outcomes and benefits of your proposed
project
(Refer to Table 1 below)
Outcomes:
When developing measurements for outcomes consider:
- relevance to the project objectives
- ease of measuring the outcomes and benefits
- cost for accessing, retrieving and analyzing the target data
- List your project objectives indicated in Section 4, completing
all columns of the chart.
- Describe the expected Outcomes as a result of your project activities.
Outcomes may include but are not limited to the following:
- The economic value the project will bring to the Value Chain
and/or Sector through:
- incremental sales
- market access
- Cost savings
- Identify the improvements to emergency management capacity
the project will support:
- improved identification and containment of risks
- enhanced modeling and planning for emergency simulations
- improved efficiency and effectiveness of emergency response
- more rapid recovery through zoning and targeting of recovery
efforts
- Indicate for each Outcome described a Measurement that will
be used to evaluate how an Outcome is met.
Measurements may include but are not limited to the following:
- production volumes and efficiencies
- enhanced market opportunities for the Value Chain or Sector
Sources of information for Measurements could include:
- sales reports
- cost analysis
- production records
- Indicate Timeline for each Outcome:
- short term timeline is achievable and measurable within the
project timeframe
- long term timeline may be beyond project completion date
- Target(s) that demonstrate an outcome has been met. A target
should be related to the measurement e.g. percentage increase
in sale and the target is 26% increase in sales.
Benefits: Describe how this project will
benefit the Province of Ontario.
Provide details of how benefits to Ontario will be achieved through
the proposed project. Details could include:
- enhanced emergency management capacity
- job creation
- increased industry investment
Overall, how do you rank the impact of your proposed project
on agri-food traceability in the Province of Ontario?
Describe how your proposed project will impact information requirements
for agri-food traceability in Ontario as a result of your project's
recording storage and sharing of:
- premises identification
- product identification
- movement recording
Table 1: Example Project: Objectives, Outcomes, Measurement,
Timeline and Target Process
Refer to Sector Case Study
Note: Table 1's contents are provided as an example only and
should not necessarily be copied into Section 5 of an Application
Form.
Table 1 Project
| Objectives |
Outcomes |
Measurement |
Timelines |
Target |
| Project Objective as indicated in Section 4. |
A Project outcome as a result of activities you will list
in Section 7. |
Measurement that will be used to evaluate how an outcome
is met. |
Indicate whether short term (within the project timelines)
or long term (beyond the project completion date) |
What indicates that an outcome has been met? |
| To increase our Value Chain's ability to execute emergency
response (e.g. food recall) procedures when required. |
Improved emergency responsiveness of Information Sharing System
between our value chain partners. |
- % of affected product located along our value chain within
48 hours.
- # of value chain partners registered in the Provincial
Premises Registry.
- % compliance of value chain partners to national animal
identification standards (to be more specific in example)
|
- Short-term
- Short-term
- Short-term
|
- 100% within 48 hours.
- 100% of value chain partners are registered in the Provincial
Premises Registry.
- 100% compliance with all animals with RFID tags.
|
| To increase the capacity to trace animals and their associated
attributes. |
Improved movement tracking of animals from farm to retail
partners in order to verify GAP. (livestock product attributes) |
- % of accuracy of transfer of information collected from
RFID tags to carcass bar code.
- % of animal movement from farm to slaughter that are reported
in real time.
- % of product information fed back from abattoir to retail
and farm partners.
|
- Short-term
- Short-term
- Short-term
|
- 100% of accuracy of transfer of information collected
from RFID tags to carcass bar code.
- 100% of animal movement from farm to slaughter that are
reported in real time.
- 100% of product information fed back from abattoir to
retail and farm partners.
|
|
Gain export market access.
|
Gained market access in Asian Markets. |
- # of customers placing orders electronically from Asian
Markets.
- % of growth in Asian markets (sales).
|
- Short-term
- Long-term
|
- 2 new Asian customers before completion of project (Dec
15, 2013).
- 5% increase in growth in Asian markets within 5 years.
|
| Increase operational efficiencies through better inventory
and quality control, product scheduling and shipping. |
Improved operational efficiencies through better inventory
and quality control, product scheduling and shipping. |
- % reduction in man hours used for information collection.
- % of scheduled livestock shipments delivered on-time to
slaughter house.
- % reduction of lead time from order to receipt of product
by customer.
|
- Short-term
- Short-term
- Short-term
|
- 50% reduction in man hours used for information collection.
- 100% of scheduled livestock shipments delivered on-time
to slaughter house.
- 33% reduction of lead time from order to receipt of product
by customer.
|
Section 6 - Tell us about your organizational capacity, project
team and resources, sustainability and communications
Organizational Capacity, Project Team and Resources:
Describe the capacity, team and resources within your organization
and/or for each Value Chain Partner that will be contributing
to ensure successful completion of the project (to a maximum of
five pages).
Please ensure your description includes the following:
- details of individuals/organizations participating in the project
and a further breakdown to teams within each organization (use
diagrams and flow charts if possible)
- experience and knowledge in design and implementation of agri-food
traceability
- examples of past project successes that demonstrate your ability
to undertake this project
- project management expertise
- expertise/proven ability in managing complex IM/IT projects
- financial management experience
- administrative capabilities
- participation of industry/traceability experts or IT/IM consultant
firms
- Industry or government contacts
Sustainability:
How will you ensure the project is sustainable after TFI funding
is completed?
What resources will be required to maintain the Information Sharing
System after the funding program ends?
Describe how you will ensure financial sustainability of these
resources after the funding program ends.
Communications:
Describe the communication plan to ensure all partners/participating
members are involved/aware of pertinent project activities. This
may include, but not limited to:
- What role will communications play in the success of your project?
- What type of communication will be used?
- How frequently will you issue communications?
- How will communications take place within the project?
- How will you share project successes and ensure ongoing support
from your members or partners?
Premises Identification:
All Value Chain Partners and participating Sector members
will require a premises identification number (PID) validated by
the Provincial Premises Registry.
Provide a brief explanation of:
How will you measure the number of registered premises associated
with this project?
What is the timeline for Value Chain Partners or participating
members to obtain PIDs?
How will PID be utilized in the Information Sharing System?
Mock Traceability Exercise:
By the end of the proposed project you will need to conduct
a mock traceability exercise to demonstrate your ability to trace,
identify and contain 100% of infected or unsafe animals, plants,
or products along a value chain or across a sector within a 48 hour
period. Refer to Schedule 1 of this Guidebook for more information
on the Mock Traceability Exercise.
Explain how you will accomplish and measure a successful Mock Traceability
Exercise. Please ensure the description includes the following but
not limited to:
steps involved in the traceability exercise
who will be involved?
when will this take place?
how will the relevant information be collected?
List or submit documentation that will be provided to demonstrate
a successful Mock Traceability Exercise.
Section 7 - Detail how you plan to carry out your proposed project
(See Part A: Program Information - "Funding"
in this Guidebook for a list of Eligible Expenditures and Activities
and Ineligible Expenditures and Activities)
For each activity item, indicate start and end date,
outcome, a description of the expenditure/activity and associated
cost.
(Refer to Table 2: Example Project: Detailed Project Plan)
The following information should be included in the table:
- Assign each expenditure/activity associated with your proposed
project a code using the following categories in the chart below
- Provide a Start and End Date for each expenditure/activity.
Dates should be listed in chronological order and reflect realistic
timelines
- Indicate Outcome(s) resulting from each expenditure/activity
(link to outcomes listed in Section 5)
- Provide a brief description of what each expenditure/activity
entails
- Indicate a cost for each expenditure/activity:
- breakdown costs into eligible and ineligible TFI expenditures
and activities
- breakdown costs into cash and in-kind expenditures and
activities
Assign your expenditures and activities a code using
the following categories:
Activity Item Codes
| Code |
Activity Item |
| A |
Communications costs related to the project |
| B |
First time costs related to traceability implementation |
| C |
First time training costs |
| D |
Information service provider costs |
| E |
Information technology infrastructure or equipment (hardware,
installation, system design) |
| F |
Software Development and Customization Costs (software migration,
data collection) |
| G |
Minor capital/structural modifications associated directly
with the project |
| H |
Project costs related to supporting/managing the Information
Sharing System |
| I |
Project Management |
| J |
Research and pilot testing |
| K |
Mock Traceability Exercise (Mock Recall) |
| L |
Travel |
| M |
Other activities |
Quarterly Projected Expenditures by Fiscal Year Table
(Refer to Table 3: Sample Project: Quarterly Projected Expenditure)
Complete the table indicating when costs will be incurred. Costs
should be broken down by quarter for the duration of the proposed
project. If applicable, separate out the in-kind expenditures.
Projected expenditures should Total Project Expenditures.
Other Government Funding
All Applicants, including Co-applicants, must disclose all other
sources of federal and provincial funding being received or that
may or will be received by all applicants (e.g. funding provided
through the Food Safety and Traceability Initiative, Livestock Auction
Traceability Initiative, Canadian Industry Traceability Infrastructure
Program, OMAFRA Transfer Payment Grant, etc.). This includes funding
from government programs and transfer payments. Describe the program/source
you are receiving funding from, whether it is a project or ongoing
funding and total funding amount that is projected to be provided.
Table 2: Example Project: Detailed Project Plan
Refer to Sector Case Study
Note: Table contents are an example and should
not be copied into Section 7 of Application Form.
Example Project: Detailed Project Plan
| Activity Item Code(see chart below) |
Project Start - End Date(mmm yy - mmm yy) |
Outcomes (Section 5) |
Description of Proposed Expenditures and Activities |
Eligible Expenditures and Activities Cash/In-Kind($) |
Ineligible Expenditures and Activities Cash/In-Kind
($) |
Total Expenditures and Activities($) |
| F |
Oct 12 - Mar 13 |
GAP/Traceability adoption. Increased existing market share.
Accessed new market. |
Software development for GAP/Traceability. |
500,000/ 0 |
|
500,000 |
| E |
Oct 12 - Dec 12 |
GAP/Traceability adoption. Increased existing market share.
Accessed new market. |
Procuement and installation of hardware. |
840,000 /100,000 |
|
940,000 |
| E |
Oct 12 - Dec 12 |
Livestock Individually identified. |
Procurement and installation of RFID readers. |
32,000 / 0 |
|
32,000 |
| G |
Jul 12 - Oct 12 |
GAP/Traceability adoption. |
Minor infrastructural modification to house servers. |
75,000 /0 |
|
75,000 |
| C |
Sep 12- Mar 13 |
All outcomes. |
Training of producers: 600 with GAP/Traceability @$100;200
without GAP/Traceability @$200 |
100,000 / 0 |
|
100,000 |
| C |
Sep 12 - Dec 12 |
All outcomes. |
Training of transporters: 16 transporters @$1,250 |
20,000 / 0 |
|
20,000 |
| C |
Sep 12 - Mar 13 |
All outcomes. |
Staff time for arranging training:100hrs @$40/hr for Members
with GAP/Traceability.300hrs @$40/hr for Members without GAP/Traceability.
Logistics for organizing training -$5,000 |
17,000 / 0 |
|
17,000 |
| C |
Sep 12 - Mar 13 |
All outcomes. |
Use of KLC boardroom for producer training. |
0 / 8,000 |
|
8,000 |
| C |
Sep 12 -Dec 12 |
All outcomes. |
Hall rental for training transporters. |
5,000 / 0 |
|
5,000 |
| H |
Jan 13 - Mar 13 |
All outcomes. |
Contract technical support to help rollout to members. |
280,000 / 0 |
|
280,000 |
| I |
Jun 12 - Mar 13 |
All outcomes. |
Cost associated with development and management of project:
Project manager's salary for 7 months@6,000/month |
42,000 / 0 |
|
42,000 |
Table 2 Totals
| |
Eligible Expenditures and Activities: Cash/ In-Kind($)
|
Ineligible Expenditures and Activities: Cash/ In-Kind ($)
|
Total Expenditures and Activities |
| Total Estimated Costs |
1,911,000 /108,000
|
|
2,019,000 |
| Eligible Cash Cost Share at 75% (1) |
1,433,250/ 0
|
|
|
| Eligible In-kind Cost Share at 50% (2) |
0 /54,000
|
|
|
| Total Funding Requested (maximum $5m) (1+2) |
1,487,250 |
|
|
Table 3: Example Project: Quarterly Projected Expenditure
Note: Table contents are used as an example and
should not be copied into applicants' Quarterly Projected Expenditure.
Quarterly Projected Expenditures by Fiscal Year
| Fiscal Year |
Quarter 1 (Apr-Jun) |
Quarter 2 (Jul-Sep) |
Quarter 3 (Oct-Dec) |
Quarter 4 (Jan-Mar) |
Annual Total |
|
2011/2012
$/in-kind $
|
|
|
|
|
|
|
2012/2013
$/in-kind $
|
|
50,000/ 0
|
1,241,000/ 106,000
|
620,000/ 2,000
|
2,019,000 |
|
2013
$/in-kind $
|
|
|
|
|
|
Section 8 - Tell us how you plan to finance your proposed project
Project Financing
Include all sources of funding contributing towards your proposed
project. Be sure to include:
- The requested amount from Traceability Foundations Initiative
to cover remaining eligible project costs
- Funding from Applicants, both cash and in-kind contributions
- Funding from the other private sources for this proposed project
- Funding from the other public sources (government) for purposes
of this proposed project
Section 9 - Tell us how you will manage challenges and risks
Describe any anticipated challenges or risks that may influence
the success of the project in meeting its outcomes. Describe how
likely the challenge or risk is to occur and what plans or measures
will be taken to mitigate them. Focus on risks that are likely
to happen, what impact that may have on the proposed project success
and how you will eliminate, reduce or accept the risk. Be sure
to consider risks associated with financing, staffing, organizational
change, technology, timelines etc.
Section 10 - General Company Information, Confidentiality, Consent
and Final Checklist
Final Checklist:
Before submitting your application, the Lead Applicant must complete
the final checklist on behalf of itself and other legal entities
to ensure that your application is complete and ready for submission.
Applicant Declaration:
Each Applicant (Lead and Co-applicants) must sign and date the
General Company Information, Confidentiality, Consent and Final
Checklist for the application to be complete. Be sure beforehand
that all co-applicants agree to all the terms and conditions set
out in Section 10 of the Application Form.
Part C: Submitting an Application
Applications will be accepted after 9:00 a.m. on June
1st, 2012 until July 24th, 2012 at 12:00 p.m. (noon) E.S.T.
Complete an application form and send to:
Traceability Foundations Initiative
Ontario Ministry of Agriculture, Food and Rural Affairs
1 Stone Road West, 4th Floor
Guelph, ON N1G 4Y2
Tel: 1-877-424-1300
Fax: 519-826-3398
TTY: 519-826-7402
Email: TFI.omafra@ontario.ca
Schedule 1: Premises Identification
Registering your agri-food premises
Premises Identification in Ontario
A Premises Identification is a unique identifying number that
is given to a parcel of land that is associated with agri-food
activities. In Ontario, premises are identified and registered
in the Provincial Premises Registry (PPR). The purpose of the
PPR is to be able to locate where agricultural and agri-food activities
occur in Ontario.
Information You Need To Get Your Premises ID Number
You will need to accurately identify your property, preferably
with an:
Assessment Roll Number (ARN) - your tax assessment number from
the Municipal Property Assessment Corporation.
If you cannot provide an ARN you will need to provide one of
the following:
- Latitude and Longitude - from a Global Positioning System
- Municipal Address - of the premises to be registered
- Lot and Concession Number - of the premises to be registered
Applying For a Premises ID is Easy and Free
Step 1: Contact AGSI for your application form:
Your Premises ID Number and Certificate
After validating your premises information, AGSI on behalf of
the PPR will assign a unique Premises Identification Number (PID)
to your premises and will issue you a Premises Identification
Number Certificate.
Your Premises ID Number is Unique
Premises Identification Numbers differ from business registration
numbers (e.g., Farm Business Registration, license or other business
identifiers) as each one is linked to specific parcel of land,
not to a business. If land is sold or the agri-food activity on
an identified premises changes, the information in the PPR needs
to be updated but the Premises ID number associated with that
parcel of land remains the same.
Premises Identification Numbers can also be linked with Global
Location Numbers (GLN) by AGSI for businesses that require internationally
unique identifiers.
For more information about Premises ID, please contact the Agricultural
Information Contact Centre:
