Audit and review process

Information

Audit and review process

The European Union (EU) requires exporting countries to have an audit process in place to confirm the accuracy of the information provided in the catch certificate application. This audit process is the responsibility of the Department of Fisheries and Oceans (DFO) – Conservation and Protection’s Catch Certification Audit Office (CCAO).

The CCAO conducts post-issuance audits of catch certificates as a means to validate that clients provided accurate and complete information at the time of application. The target number of certificates audited each year is based on a percentage of the number of catch certificates that was issued the previous year by the Catch Certification Program – Operations Center. The CCAO uses a risk-based approach to determine which certificates are to be selected for inclusion in the annual audit plan. This risk-based approach considers factors such as species economic value, compliance history, number of certificate issued and volume of product exported.

The audit process requires that the CCAO analysts demand supporting information from the certificate applicant/exporter and if required, other businesses from the supply chain, under Section 61 of the Fisheries Act, 1985. The CCAO recognizes industry workload, and therefore limits information requests to business records that would reasonably be kept. The types of records that may be demanded include, purchase slips, invoices to buyer/importer, Canadian Food Inspection Agency Health Certificate, and any documents concerning offloading, transport, production and storage details.

The audit process entails combining the information from the industry, with the information available in the DFO. This information is then analyzed to determine the origin of the product, to verify that the information provided by clients at the time of application is true, accurate and complete, and to verify if the exported product was caught in compliance with the Fisheries Act and other related acts and regulations. The audit also includes an assessment of exporters, buyers, processors and harvesters which includes a review of the DFO violations and inspections databases, and any other information that would be an indicator of compliance.

Any potential violations identified during the audit are referred to the responsible Conservation and Protection detachment for investigation and appropriate enforcement action is undertaken as required.

All audit reports are forwarded to Integration Planning Bureau (IPB) of the Catch Certification Program. When an audit report reveals deficiencies in the information provided by applicants to the Catch Certification Program, the IPB applies the appropriate Administrative Follow-up Procedure(s).

Request for review

This form is for information purposes only.

To fill out a copy of this form, please download the PDF Version, and follow the instructions on the form for submission.

Date of Receipt of the Notification of Decision
Notification of Decision ID:

Please note that affected parties are responsible for providing all information required to support the review.

SECTION 1: REQUESTOR INFORMATION
Company Name:
Requestor Name:
Title:
Address:
City:
Province:
Postal Code:
Telephone Number:
Email Address:

Company Representative Information (if different from Requestor above):

Representative Name: Mailing Address:
City:
Province:
Postal Code:
SECTION 2: REASON FOR REQUESTING A REVIEW
1. Why are you requesting a review of the decision?




SECTION 3: SUPPORTING FACTS FOR THE REVIEW OF A DECISION
1. Why are you requesting a review of the decision?




2. Please identify any new facts or information that should be considered in this review:




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Date