Catch Certification Audit Office (CCAO)

The European Union (EU) requires exporting countries to have an audit process in place to confirm the accuracy of the information provided in the certificate application. This audit process has been identified as a Fisheries and Oceans Conservation and Protection program role and is now identified as the Catch Certification Audit Office (CCAO).

Catch Certificates will be selected for follow up audit based on a risk-managed process. The CCAO will complete a target number of audits based on the percentage of certificates issued on an annual basis. Specific audits by fishery, species, or exporter will be selected based on a risk assessment considering a number of pertinent factors. These factors include the exported species by volume and value, the number of certificates issued to each exporter, and an assessment of exporter and supplier compliance.

Each new audit includes an assessment of the information provided by the exporter. The CCAO team will apply a traceability process (consisting of a combination of data obtained from industry, DFO databases and open source information) to verify that the fish exported can be traced back to the vessel or vessel group identified in the certificate application as well as to the time and area of capture..

Analysts will demand supporting information from the exporter and if required, other businesses linked to the traceability of the fish exported, under Section 61 of the Fisheries Act, 1985. The CCAO team are sensitive to industry workload, and seek to limit the information sought to that which would normally be stored in regular business records. The types of records that may be demanded include purchase slips, invoices, bills of lading, production records and dockside tally sheets. The audit process also includes a compliance assessment of the fishing vessel or group of fishing vessels and their operator(s). The data processed during each audit contains proprietary information; therefore, the data is stored in a secure information management system.

The audit will also include an assessment of exporters, buyers, processors and harvesters involving a review of the DFO violations and inspections databases and any other information that would be an indicator of compliance. Any issues of non-compliance regarding illegal, unreported or unregulated catch will be considered as well as an exporter's ability to provide accurate information during the application process.

Catch Certification Audit Office

Tele: 1-866-733-6676 (effective May 1^st, 2011)
E-mail: ccoauditbvcc@dfo-mpo.gc.ca

Demand Supporting Information

Any records pertaining to the catch listed on Catch Certificate number __________.
These would include unedited copies of purchase slips, invoices to buyer/importer, Canadian Food Inspection Agency Health Certificate and any documents concerning offloading, transport, production and storage details.

Section 61

Persons who may be required to provide information

61. (1) The following persons may be required under this Act to provide information or to keep records, books of account or other documents:

(a) any person who engages in fishing;

(b) any person who purchases fish for the purpose of resale;

(c) any owner, operator or manager of an enterprise that catches, cultures, processes or transports fish; and

(d) any agent or employee of a person referred to in paragraphs (a) to (c).

Information that may be required

(2) A person referred to in subsection (1) may be required to provide information or to keep records or other documents relating to any of the following matters:

(a) the number, sex, size, weight, species, product form, value or other particulars of any fish caught, cultured, processed, transported, sold or purchased;

(b) the time and place at which any fish was caught or landed and the person, enterprise or vessel by which the fish was caught or landed;

(c) the time and place at which any fish was purchased and the person, enterprise or vessel from which the fish was purchased;

(d) the vessels, gear and methods used and the number of persons employed for the purpose of catching fish;

(e) the buildings, equipment, products and methods used and the number of persons employed for the purpose of culturing or processing fish; and

(f) any other matter relating to the proper management and control of fisheries or the conservation and protection of fish.

Duty to keep books

(3) A person referred to in subsection (1) shall keep any records, books of account or other documents that may be required by the regulations or by the terms and conditions of any lease or licence issued to the person under this Act and the records, books of account or other documents shall be kept in the manner and form and for the period prescribed by the regulations, lease or licence.

Duty to provide information

(4) A person referred to in subsection (1) shall, on the request of any fishery officer or fishery guardian, provide the officer or guardian, or any authority designated by the officer or guardian, with any information relating to a matter mentioned in subsection (2) that the officer or guardian may request.

Idem

(5) A person referred to in subsection (1) shall, in accordance with the regulations and the terms and conditions of any lease or licence issued to the person under this Act, provide a fishery officer, a fishery guardian or any authority designated in the regulations, lease or licence with any information relating to a matter mentioned in subsection (2) that the regulations, lease or licence requires.

R.S., 1985, c. F-14, s. 61; 1991, c. 1, s. 18.