SOP Library
SOP NO:
BR-RL06
(List of Exhibits/Attachments)
Mission
:
Technical Support Services
Area:
Industry Services (BR)
Activity:
Procurement (GM-PR)
Title:
SOP on Registration and Licensing of Grains Businessmen
Date Approved/Issued:
06/05/1995
Date Effective:
06/05/1995
Digest:
I. TERMS OF REFERENCE
A. Rationale
B. Objective
C. Scope
D. Basis
II. IMPLEMENTING GUIDELINES
A. General Policies
1. Any person/entity before engaging in the grains industry shall be duly licensed by and/or registered with the National Food Authority in accordance with the lines of activities specified in the Rules and Regulations on Grains Business (Sections 3 and 4, Regulation II);
2. The licensing/registration/renewal period shall be staggered from January to October of each year based on the last digit of the rurban code (Section 10, Regulation IV of Rules & Regulations). The rurban code represents the district of Metro Manila and the regional, provincial, and municipal location of the applicant's business. Please refer to
Appendix A
for the
rurban codes
of the different provinces.
3. Any change in the renewal schedule of any municipality/province/area not in accordance with the rurban code, shall first be approved by the Assistant Administrator for Industry Regulation or in his absence, by the Deputy Administrator for Operations upon recommendation by the Director.
4. Applicants for new/renewal of license shall pay an application fee upon securing the application form. Refer to
Appendix B
for information on the application form.
5. Upon securing the application form, an applicant shall be apprised of the duties and responsibilities of a licensee, providing him lists of said duties and responsibilities. Please refer to
Appendix C
for Duties of Retailers/Wholesalers;
Appendix C-1
for Duties of Bonded Warehousemen/ Millers/ Shellers/ Threshers/Dryer Operators.
6. No application for license and/or registration shall be accepted unless all documentary requirements are complete. Please refer to
Appendix D
for the Checklist of Requirements.
7. Defaulting contractors of the defunct RCA and the NGA/NFA as well as transferees, buyers, assignees or lessors/mortgagees of post-harvest facilities acquired from a defaulting contractor are disqualified to apply for a license and/or registration unless otherwise authorized and approved by the Administrator. However, this shall not apply to post-harvest facilities acquired thru a confirmed public auction sale and/or judicial Foreclosure.
8. Filing of application shall be at the NFA office having jurisdiction on the principal business location. Branches located in another province shall be licensed/registered by the NFA office where the principal business had been licensed/registered (Section 8, Regulation IV of Rules & Regulations). However, facility inspection and monitoring of grains business activities shall be conducted by the NFA office where the business/branch is located. Please refer to
Appendix E
for the lists of facility/equipment requirements;
Appendix E-1
for samples of prescribed signboard.
9. New applicants for license and/or registration, may file their applications on any date, i.e. regardless of the scheduled month. Renewal applicants shall file their applications on their scheduled renewal month. A notice of the renewal date shall be stamped on the applicant's copy of application form
(
See
Appendix F
)
.
10. The full amount of annual license/registration fees shall be paid upon filing of the application for a particular licensing period/year.
No pro-ration of license/registration fees shall be allowed.
11. For new and/or additional line of activity of renewal applicants, payment of corresponding license/registration fees prior to facility inspection shall be allowed provided all documentary requirements are complied with.
12. The official receipt issued to new and renewal applicants shall serve as temporary permit pending the facility inspection and/or approval of the application. A notice to this effect shall be stamped at the back of the OR covering his license fee (see
Appendix G
). The temporary permit shall be valid until a license/registration certificate/sticker shall have been issued.
13. Facility inspection of new establishment shall be conducted by the SEIO/SGOO-RL within sixty (60) calendar days from the date of filing of the application. If there are noted deficiencies upon inspection, the applicant shall comply within twenty (20) working days from date of inspection, otherwise, the license/registration fees paid for the current year shall be forfeited and his pending application as well as his temporary permit shall be automatically cancelled.
14. For warehousing activity, the ocular facility inspection shall be based on warehouse plan duly certified by a registered civil engineer/architect required for bonded warehousing. Please refer to
Appendix H
for procedures in computing the storage capacity of a warehouse and
Appendix H-1
for guidelines on numbering of warehouses.
15. To facilitate information retrieval, classification, filing and recording, every new applicant shall be assigned a control number upon approval of his application. An applicant shall be assigned only one control number regardless of the number of his lines of activities and/or branches in the business. Refer to
Appendix I
for details on the creation of control number.
16. Approval of application for license and/or registration in all lines of activity including bonded warehousing applications shall be vested on the Director/Provincial Manager/OIC of the NFA office where the application was filed.
17. Applicants with approved applications for license and registration, shall be issued a Grains Business License and Certificate of Registration respectively, for the lines of activity applied for, except for bonded warehousing/milling/corn shelling/threshing and/or drying, for which
a Grains Bonded Business License shall be issued (Section 12, Regulation IV of Rules and Regulations). Refer to
Appendix J
for the procedures in the issuance of a License/Registration Certificate.
18. An applicant obtaining a license to engage in receiving palay/rice/corn for storage, milling, corn shelling, threshing, or drying shall be issued a Grains Bonded Business License only upon posting in favor of NFA, a sufficient guaranty/bond and fire insurance (Regulation IV of the Rules and Regulations). Please refer to
Appendix K
for Iinformation on Bond/Insurance Policy
; and
Appendix K-1
for Guidelines in the Analysis and Evaluation of Bond/Insurance Policy.
19. For approved applications, a sticker shall be issued to be affixed to the post-harvest facility and/or in a conspicuous place in the grains establishment. Refer to
Appendix L
for procedures in the issuance of stickers;
Appendixes L-1
and
L-2
for design of license and registration stickers.
20. The license/registration certificate/sticker shall bear the NFA dry seal and shall be signed by the Director/Provincial Manager/OIC, or in his absence, by the person officially designated to perform his duties and responsibilities.
21. The license/registration certificate and sticker shall be valid only for one (1) year and shall expire on the last day of the scheduled licensing/renewal date and month of each year (Section 11, Regulation IV of Rules and Regulations).
22. Renewal applications may be filed not earlier than one month prior to the expiration of the license/registration certificate and not later than the expiry date of the license/registration certificate. Failure to file the application for renewal on the schedule dates shall subject the licensee/registrant to corresponding penalty or surcharges (Section 11, Regulation IV of Rules and Regulations).
23.
Computation of licensing fees and surcharges for late renewees shall be based on the schedule of fees and surcharges per the rules and regulations prevailing or covering on the particular licensing year.
24. Duplicate copies of all applications and requirements together with duplicate copies of all official receipts as proof of payment of all fees and charges shall be batched and forwarded for review as to qualification of applicant, completeness of requirements submitted, and assessment of the application fees and license/registration fees and other charges, to the Industry Regulation Section of the respective NFA Regional Offices.
25. The license and/or registration certificate shall be surrendered to the NFA Office where same was issued in case of cessation/closure/transfer of business.
26. If the license/registration certificate/sticker is lost or destroyed during the current licensing year, an Affidavit of Loss shall be required and the cost of issuance of a new license/registration certificate/sticker shall be borne by the licensee/registrant. The new license/registration certificate shall indicate that it shall replace the old license/registration certificate/sticker which had been lost or destroyed (Section 13, Regulation IV of Rules and Regulations).
27. In the event of death or physical or mental incapacity of the licensee/registrant before the expiration of the effectivity of the license and/or registration certificate issued to him, the transfer of the business to the legal heirs shall be allowed within said licensing/registration period subject to compliance with all the requirements (Section 15, Regulation IV of Rules and Regulations).
NOTE: Director refers to BRD Department Manager.
B.
Detailed Procedures and Statement of Responsibilities In Filing , Processing, Evaluation, Approval/Disapproval and Issuance of License/Registration Certificate/Stickers For Licensing and Registration Applications.
1. Applicant
a. Secures application form from the Senior Grains Operations Officer (SGOO) upon payment of the application fee. Keeps the original copy of the Official Receipt for application fee.
b. Receives the complete set of application forms, checklists of requirements and facility/equipment for licensing and registration (See Appendixes
D
and
E
). Likewise, receives statement of the duties and prohibitions of licensees, for his information (See Appendixes
C
and/or
C-1
).
c. Accomplishes the application forms in triplicate.
d. Submits the accomplished application forms together with a sketch of the location of grains establishment for inspection, to the SGOO together with the necessary supporting documents and if renewal applicant, also submits license/registration certificate issued during the preceding year.
e. Pays license and/or registration fees and other charges to the NFA Cashier.
f. For new applicants and renewal applicants with additional line of activity, prepares the required facilities/equipment for inspection by the NFA Senior Enforcement and Investigation Officer (SEIO)/SGOO-RL. If there are noted deficiencies upon facility inspection, submits to the SGOO his compliance within twenty (20) working days from date of inspection.
g. Upon approval of the application, receives the license/registration certificate and sticker.
h. For disapproved application, receives notice regarding the disapproval of his application.
i. Signs in the Registration and Licensing Transaction Record Book, to acknowledge receipt of the license/registration certificate and sticker.
j. Displays the Temporary Permit and/or license/registration certificate and sticker issued, in a conspicuous place in the grains establishment or in the post-harvest facility being licensed/registered.
2. Registration and Licensing Officer
a. Prepares and issues the Payment Slip to the applicant and instructs him to present the same to the Cashier upon payment of the application fee.
b. Writes the O.R. number, date and amount paid in the application form, returns the original copy of O.R. to the applicant for his file and gets the duplicate copy for NFA's/SGOO's file.
c. Apprises the applicant of his duties and responsibilities as licensee before giving out the application form and provides him with lists of said duties and responsibilities together with checklists of requirements and facility/equipment for licensing and/or registration (Appendixes
D
and
E
).
d. Checks and analyzes the accomplished application forms, and supporting documents as to qualification and completeness of data and requirements.
e. Fills out all data in the application form required to be filled out by NFA.
f. Checks the applicant's name from the lists of defaulting contractors and apprehended grains businessmen and requires necessary clearances, if included in said lists.
g. If the form and requirements submitted by the applicant are incomplete, returns the application forms to the applicant for completion.
h. Assesses the corresponding license and/or registration fees and other charges to be paid by the new/renewal applicant with complete documents. Prepares and issues the payment slip to the applicant for payment of amount to the Cashier.
i. Records in the application forms the O.R. number, date and the amount paid and stamps the back thereof with Temporary Permit valid until a license/registration certificate and sticker shall have been issued. Also, stamps on the applicant's copy of application form the renewal schedule. Returns the original copy of O.R. and triplicate copy of the application form to the applicant for his file retaining the duplicate copy for NFA's/SGOO's file.
j. Assigns a control number to a new applicant following the procedures on control number creation (See
Appendix I
) and records same in the application forms, annexes, supporting documents, and application folder of applicants.
k. Endorses to the Senior Enforcement and Investigation Officer SEIO) first hour of the following working day the names of new applicants for facility inspection of the establishment within sixty (60) calendar days from date of filing the application.
In the absence of the SEIO, the SGOO shall conduct the same upon instruction of the NFA Provincial Manager
.
l. Checks whether or not new applicants with noted deficiencies upon facility inspection complies within twenty (20) working days from date of inspection. Cancels applications as well as the temporary permits of those who failed to comply within the reglamentory period.
m. For application with complete requirements, recommends approval of the application and prepares the license and/or registration certificate and sticker.
n. Forwards the license/registration certificate and sticker together with the application forms and supporting documents, to the Director/Provincial Manager/OIC for approval/disapproval.
o. For approved applications, dry seals the license/registration certificate and sticker duly signed by the Director/Provincial Manager/OIC and issues to the applicant.
p. For disapproved application, prepares notice to the applicant regarding the disapproval of his/her application.
q. Requires the applicant to sign in the Registration and Licensing Transaction Record Book to acknowledge the receipt of the Notice of Disapproval or license/registration certificate and sticker when claimed personally. Otherwise, same shall be mailed following the mailing schedule.
r. For bonded warehousemen, issues upon payment, the required quedan, journal book and stock cards.
3. Cashier
a. Accepts payment and issues NFA Official Receipt for the application/licensing/registration fees and other charges based on the amount assessed by the SGOO as shown in the Payment Slip.
b. Issues the original of the O.R. to the applicant and the duplicate copy to the SGOO for file.
c. Furnishes BRD with a monthly report of collections of application/license/registration fees with corresponding names of applicants.
4. Provincial Office Enforcement and Investigation Officer
a. Provides the SGOO with an updated list of apprehended grains businessmen with unserved penalties.
b. Conducts inspection on the business establishments of new/renewal applicants within sixty (60) calendar days from date of filing of the application to verify compliance with the facility/equipment requirements and to ascertain the veracity of the information stated in the application form.
In the absence of the SEIO, the SGOO will conduct the facility inspection upon instruction of the NFA Provincial Manager/OIC.
c. Prepares the facility inspection report following the existing procedures on the same.
d. Issues notice of inspection to applicants inspected.
e. Determines the names of those who failed to renew, proceeds to their business establishments and undertakes appropriate action.
5. Director/Provincial Manager
a. Approves/disapproves the application for license/registration. For approved new/renewal applications, signs in the license/registration certificate/sticker for issuance to the applicant and for disapproved applications, makes proper notation on the application papers.
b. Returns all approved/disapproved application forms, supporting documents and license/registration certificates/stickers to the SGOO.
c. Signs in the reports prepared and certified correct by the SGOO for submission to Regional Office cc. BRD, Central Office.
6. Regional Office Business Regulation Officer
a. Checks if duplicate copies of the new/renewal applications for all lines of activities are included in the batched applications per transmittal letter submitted by the Provincial Offices. If application papers are incomplete, calls the attention of Provincial SGOO and requests immediate transmittal of same.
b. Reviews applications received as to qualification of applicant, completeness of requirements submitted and assessment of application fees, license/registration fees and other charges. For disapproved applications, reviews reason for disapproval.
c. Prepares the Monthly Report on Reviewed Applications (see MIS Manual for Field Office Reports Catalogue Code ROPO-RELI-03-187) indicating therein the findings on said applications and the corresponding recommendations. If applicant is not qualified to engage in the business but application was approved, recommends to the concerned Provincial Offices the revocation of the license/registration certificate issued.
d. Forwards the Regional Monthly Reports on Reviewed Applications to Regional Director for signature and sends the signed reports to concerned Provincial Offices cc BRD every 15th day of the month following the period covered.
e. Prepares and forwards the consolidated
Monthly Accomplishment/Progress Report on Licensing/Registration
based on the Monthly Accomplishment/Progress Reports submitted by the Provincial Offices to Regional Director for his signature and submits them to BRD every 15th day of the month following the period covered.
f. Prepares and forwards the Annual Evaluation Report on Licensing/Registration (see MIS Manual for Field Office Reports Catalogue Code ROBR-RELI-05-187) to Regional Director for his signature and submits them to BRD not later than the 15th day following the end of the year.
7. Regional Manager
a. Signs in the Monthly Report on Reviewed Applications, Consolidated Monthly Accomplishment/Progress Report on Licensing/Registration and Annual Evaluation Report on Licensing/Registration prepared and certified correct by the Regional Supervising Grains Operations Officer for submission to Provincial Office and/or BRD.
8. Business Regulation Department
a. Monitors the Consolidated Monthly Accomplishment/Progress Report on Licensing/Registration and Annual Evaluation Report on Licensing/Registration submitted by the Regional Offices.
b. Evaluates the Consolidated Monthly Accomplishment/Progress Report on Licensing/Registration submitted by the Regional Offices.
c. Prepares
Monthly Accomplishment/Progress Report on Licensing/Registration of Grains Businessmen in the Philippines
for submission to the Administrator's Office.
C.
Detailed Procedures and Statement of Responsibilities in Recording and Reporting of Processed/Approved Applications and Monitoring of Stakeholders Registration and Licensing Activities and Provincial Registration and Licensing Accomplishments.
1. Provincial Office Registration/Licensing Unit
a. Records all pertinent informations regarding the application in the Licensing and Registration Transaction Record Book (see MIS Manual for Field Office Reports - Business Regulation Internal Reports).
b. Batches the duplicate copies of the application forms, annexes and complete set of supporting documents for all lines of activities including the duplicate copies of Official Receipts covering payments of all fees and charges.
c. Prepares transmittal letter indicating therein the names of the licensees/registrants and their respective control numbers.
d. Transmits the batched applications to the Regional Office every Friday afternoon or following working day if Friday falls on a holiday for review and approval together with all supporting documents.
e. Prepares and forwards the Monthly Accomplishment/Progress Report on Licensing and Registration (
Exhibit 3
) to the Provincial Manager for signature and submits same to the Regional Office every 7th day of the succeeding month.
f. Monitors the stock position of bonded warehousemen/millers/shellers/threshers/dryer operators thru recording and evaluating their weekly stock reports.
g. Maintains folders for each applicant according to control numbers in ascending order.
III. RESPONSIBILITIES
IV. FLOW CHART
Top Page
EXHIBITS
Rurban Codes
Information on Registration/License Forms
Duties and Prohibitions of Retailers and/or Wholesalers
Duties and Prohibitions of Licensed/Franchised Bonded
Warehousemen, Millers, Shellers/Threshers/Dryer Owners and/or
Operators
Checklist of Requirements for Licensing and/or Registration
Facilities/Equipments Requirements for Licensing/Registration
Notice of Renewal
Notice