Home | Databases | WorldLII | Search | Feedback Canadian Treaty Series

Agreement between the Government of Canada and the Government of the Kingdom of Thailand on the Equivalence of Fish and Fishery Products Inspection and Control Systems [1997] CATSer 9 (9 April 1997)

E100680

AGREEMENT BETWEEN THE GOVERNMENT OF CANADA AND THE GOVERNMENT OF THE KINGDOM OF THAILAND ON THE EQUIVALENCE OF FISH AND FISHERY PRODUCTS INSPECTION AND CONTROL SYSTEMS

THE GOVERNMENT OF CANADA AND THE GOVERNMENT OF THE KINGDOM OF THAILAND (hereinafter referred to as “the Parties”);

RECOGNIZING that fish and fishery products traded between Canada and the Kingdom of Thailand are intended to be safe, wholesome and properly identified;

DESIRING to establish a process for recognizing and maintaining equivalence of the fish and fishery products inspection and control systems of the Government of Canada and the Government of the Kingdom of Thailand;

INTENDING to improve efficiencies, and where possible, to reduce duplication in the fish and fishery products inspection and control systems of the Government of Canada and the Government of the Kingdom of Thailand; and

SUPPORTING the objective of harmonization pursuant to Canada’s and the Kingdom of Thailand’s memberships in the World Trade Organization (“WTO”),

HAVE AGREED as follows:

ARTICLE 1

Definitions

For the purposes of this Agreement:

(a) “Equivalence” means the capability of different inspection systems to achieve the same objectives;

(b) “Establishment” means a fish processing facility licensed, registered or approved by the responsible authority and operating under a mutually acceptable Hazard Analysis Critical Control Point (“HACCP”) system;

(c) “Fish” includes finfish, crustaceans, mollusks, and other forms of aquatic animal life where such animals are intended for human consumption;

(d) “Fishery product” means any edible human food product consisting in whole of fish or a product containing a portion of fish, including fish that has been processed in any manner, in which the characterizing ingredient is fish;

(e) “Fully cooked” means a product which is heat-processed to reduce or eliminate unacceptable health risks;

(f) “Processing” includes cleaning, filleting, washing, shucking, icing, packing, canning, freezing, irradiating, pasteurizing, smoking, salting, cooking, pickling and drying;

(g) “Proper identification” means freedom from false, misleading or deceptive labeling practices according to the legal requirements of each Party;

(h) “Responsible Authorities” means:

(1) for Canada, the authorities described in Part A of Annex I; and

(2) for Thailand, the authorities described in Part B of Annex I;

(i) “Wholesome” means freedom from decomposition and other unfit characteristics identified in the standards developed by the Codex Committee on Fish and Fishery Products as approved by the Codex Alimentarius Commission.

ARTICLE 2

Scope

1. This Agreement shall apply to the fish and fishery products inspection and control systems of the Parties in respect of the trade in fish and fishery products which are processed in establishments and which are intended to be safe, wholesome and properly identified.

2. This Agreement shall not apply to trade of live molluscan shellfish, or products thereof (excluding canned and other fully cooked products), nor concerns related to fish health, fish disease or quarantine issues.

ARTICLE 3

Relation to the WTO Agreement

Nothing in this Agreement shall affect the rights or obligations of the Parties under the Marrakesh Agreement establishing the World Trade Organization.

ARTICLE 4

Recognition of Equivalence

1. Each Party hereby recognizes as equivalent the other Party’s fish and fishery products inspection and control system governing raw materials, holding, handling, transporting, processing, packaging, and trade in fish and fishery products. This recognition of equivalency was conducted in accordance with the procedures for the recognition of equivalence as outlined in Annex II.

2. The fish and fishery products inspection and control systems shall be recognized as equivalent for those fish processing establishments identified in Annex III. The Parties may amend Annex III by an Exchange of Notes.

3. Where differences exist in product standards and labelling requirements, the exporting Party will require the establishments identified in Annex III to comply with the product standards and labelling requirements under the laws of the importing Party.

ARTICLE 5

Import Inspections and Inspection Fees

1. The frequencies of import inspections are set out in Annex IV.

2. A Party may, in accordance with its legislation and procedures, collect fees for the costs incurred in conducting import inspections.

ARTICLE 6

Audits

1. A Party may audit all or part of the other Party’s fish and fishery products inspection and control system in accordance with the audit procedures specified in Annex V.

2. The focus of the audit shall be on the fish and fishery products inspection and control system. When it is necessary to inspect individual establishments as part of the audit of the fish and fishery products inspection and control systems, the sampling of establishments to be inspected shall focus on those exporting to the other Party.

3. The results of inspections conducted in accordance with Article 5 may be used in the audit and verification process.

4. A Party may, with the consent of the other Party:

(a) share the results and conclusions of its audit procedures and import inspections with Third Party countries; and

(b) use the results and conclusions of the audit procedures and import inspections of Third Party countries.

5. The comments of the audited Party will form part of the official report and only official reports will be shared with Third Parties.

6. Audit costs shall be the responsibility of the auditing Party.

ARTICLE 7

Notification and Consultation

1. Notifications shall be made to the contact points set out in Annex I.

2. A Party, before making changes to its fish and fishery products inspection and control system that affects the other Party, shall notify the other Party in writing. The affected Party may, within 30 days, refer the matter to the Joint Management Committee identified in Article 9 to determine the impact of such changes on the recognition of equivalence under this Agreement.

3. A Party who has serious and immediate concerns with respect to public health and consumer protection shall immediately notify the other Party orally, and confirm the notice in writing within 24 hours.

4. Where a Party has concerns regarding a risk to public health and consumer protection arising from trade between the Parties, consultations to resolve the concerns shall, on request, take place as soon as possible, and in any case within 14 days of the request. The Parties shall exchange and take due account of relevant information and endeavor to avoid a disruption in trade and to reach a mutually acceptable solution.

5. The importing Party shall promptly provide information on any fish and fishery products from the exporting Party that are found not to be in compliance with the requirements of the importing Party, including information on the reason for the rejection, identification and description of the lot, and procedures for sampling and analysis.

ARTICLE 8

Safeguard Measures

A Party who identifies a matter of serious and immediate concern related to public health or consumer protection in the fish and fishery products inspection and control system of the other Party, may adopt provisional measures immediately. The Party shall notify the other Party of those measures within 24 hours of the decision to implement them and, on request, consultations regarding the situation shall be held within 14 days of the notification. The Parties shall exchange and take due account of relevant information and endeavor to avoid a disruption in trade and to reach a mutually acceptable solution.

ARTICLE 9

Joint Management Committee

1. The Responsible Authorities shall establish a Joint Management Committee to oversee the implementation of this Agreement.

2. The Committee shall meet regularly, at least once every two years, to facilitate the administration of this Agreement.

3. The Committee may establish technical and ad hoc working groups, as required, for the purposes of this Agreement.

4. The Committee will resolve concerns in good faith and exchange all relevant information in order to reach a mutually acceptable resolution with the least disruption to trade.

ARTICLE 10

Exchange of Information

1. Subject to the relevant access to information and privacy legislation, the Parties shall exchange information concerning the implementation of this Agreement on a regular basis, in order to engender mutual confidence and to demonstrate the effectiveness of the respective fish and fishery products inspection and control systems.

2. The information referred to in paragraph 1 shall include:

(a) the introduction of new requirements or changes in existing requirements, which may affect this Agreement, in advance of their adoption, such as:

(i) legislation,

(ii) policies, procedures and guidelines concerning enforcement and inspection,

(iii) sampling and analysis,

(iv) cost recovery initiatives, and

(v) other measures as appropriate;

(b) briefings on current developments affecting trade in fish and fishery products; and

(c) audit results.

ARTICLE 11

Administration of the Agreement

1. This Agreement will enter into force on signature of the Parties.

2. The Annexes shall constitute an integral part of this Agreement.

3. The Memorandum of Understanding Regarding the Inspection of Fishery Products Between the Department of Fisheries of the Government of the Kingdom of Thailand and the Department of Fisheries and Oceans of the Government of Canada signed on November 26, 1991 and the associated annexes are hereby terminated.

4. This Agreement may be amended by the agreement of the Parties. The Annexes may also be amended through an Exchange of Notes, and such amendments shall not be inconsistent with this Agreement. Unless otherwise specified therein, all amendments to the Agreement shall enter into force on the date of signature or of the Exchange of Notes, as the case may be.

5. Either Party may terminate this Agreement by giving at least six months’ notice in writing. The Agreement shall terminate on the expiry of the period of notice.

IN WITNESS WHEREOF, the undersigned being duly authorized by their respective governments, have signed this Agreement.

DONE in duplicate at Ottawa, this 9th day of April 1997, in the English, French and Thai languages, each version being equally authentic.

Fernand Robichaud

FOR THE GOVERNMENT OF CANADA

Shucheep Hansawrd

FOR THE GOVERNMENT OF THE KINGDOM OF THAILAND

LIST OF ANNEXES

Annex I Responsible Authorities and Contact Points

Annex II Procedure for Recognition of Equivalence

Annex III Fish Processing Establishments

Annex IV Frequency of Import Inspection

Annex V Audit Procedures

ANNEX I

RESPONSIBLE AUTHORITIES AND CONTACT POINTS

A Party may amend its Responsible Authority or its Contact points identified in this Annex by a written notice. The amendment shall come into force on the date of the notice or on any subsequent date specified in it.

A. Responsible Authoritites and Contact Points for Canada

The Canadian Food Inspection Agency (“CFIA”) is responsible for the application of control measures in respect of domestically produced, exported and imported fish and fishery products, and for issuing certificates as may be required attesting to agreed standards.

The Fish Inspection Directorate of CFIA is the regulatory authority responsible for the licensing of fish processing establishments and the inspection and certification of fish and fishery products prepared for export. Under Canadian law, fish and fishery products must be processed in a licensed or registered establishment having a valid Quality Management Program as required by the Fish Inspection Act and the Fish Inspection Regulations made thereunder.

CFIA is responsible for the inspection of fish and fishery products imported into Canada to ensure they comply with Canadian requirements.

CFIA also administers applicable sections of the Canadian Food and Drug Act and its regulations and the Canadian Consumer Packaging and Labeling Act and its regulations as they apply to fishery products in Canada. Policies, procedures and standards giving the correct application of the Fish Inspection Regulations and its requirements are currently described in the following manuals:

1 - Fish Products Inspection (Policies and Procedures) Manual

2 - Fish Products Standards and Methods Manual

3 - Facilities Inspection Manual

4 - Standard Procedures for Bacteriological Analysis Manual

5 - Chemical Methods Manual

6- Metal Can Defects Manual

The Contact Points in Canada are:

Director General

Fish Inspection Directorate
Canadian Food Inspection Agency
59 Camelot Drive
Nepean, Ontario
K1A OY9

Telephone: (613) 990-0142
Facsimile: (613) 993-4220

Alternate:

Director - Technical Trade and Intergovernmental Liaison
Fish Inspection Directorate
Canadian Food Inspection Agency
59 Camelot Drive
Nepean, Ontario
K1A 0Y9

Telephone: (613) 990-5810
Facsimile: (613) 993-4220

B. Responsible Authority and Contact Point for Thailand

The Department of Fisheries (“DOF”), of the Ministry of Agriculture and Co-operatives manages the fishing industry by controlling harvesting techniques and areas, conservation of resources, controlling and monitoring factors affecting the environment and ecological system of the aquatic resources, regulating the licensing of fish farms, fish mariculture, fish processing establishments, and licensing importers of live fish under the authority of the Fisheries Acts B.E. 2490 (1947).

Under this authority, the Ministry of Agriculture and Co-operatives issues the Ministerial Notifications and lays down the requirements, conditions and guidelines concerning harvesting and post-harvest fisheries, inspection and quality control. DOF therefore has the authority for the following activities:

1 - Inspection and certification of fish and fishery products;

2 - The registration of fish processing plants;

3 - Approval of fish processors for export to specified destination;

4 - Access transportation, unloading, handling, holding of fish products;

5 - Certification of vessels;

6 - Registration of shrimp farms;

7 - Approval of mollusc Harvesting Zones;

8 - Conduct inspection of establishment, quality system and products traded with specific country under Ministry of Commerce’s Notification and Cabinet approval.

The Department of Fisheries (DOF) has been authorized under the Import and Export Control Acts B.E.2522 (1979) to inspect and control fish and fishery product imported from and exported to other countries including Canada, under condition specified in the Ministerial Notification of the Ministry of Commerce.

The Contact Points in Thailand are:

Director General
Department of Fisheries
Kasetsart University Campus
Paholyothin Rd., Chattuchak
Bangkok 10900
Thailand

Telephone No.: (66 2) 562-0493
Facsimile No.: (66 2) 562-0493

Alternate:

Director - Fish Inspection and Quality Control Division
Department of Fisheries
Kasetsart University Campus
Paholyothin Rd., Chattuchak
Bangkok 10900
Thailand

Telephone No.: (66 2) 562-0552-3
Facsimile No.: (66 2) 579-6687

ANNEX II

PROCEDURES FOR RECOGNITION OF EQUIVALENCE

The determination of the equivalence between the fish and fishery products inspection and control systems of Canada and Thailand is based on an assessment of the following criteria:

1. Existence of a National Fish and Fishery Products Inspection and Control System

(a) Legislative Framework:

Both responsible authorities should have the authority, based on adequate legislation, to establish and enforce regulatory requirements. Legislation should provide the necessary authority to carry out controls at all stages of raw materials, holding, handling, transporting, processing, packaging, and trade in fish and fishery products.

(b) Governmental Structures:

Both responsible authorities should identify the main objectives to be addressed by their fish and fishery products inspection and control systems.

Where different authorities in the same country have jurisdiction over different parts of the food chain, conflicting requirements should be avoided to prevent legal and commercial problems and obstacles to trade. This system should include, but not be limited to:

- the responsible authority should have in place a management structure that can set priorities, establish policies, decide personnel issues, and monitor that authority’s activities.

- the responsible authority should have in place an effective code of ethics for its personnel, addressing both bribery and conflict of interest, with effective means of taking action to prevent or correct problems.

(c) Adequate Resources/Tools:

The responsible authority should have in place the necessary controls, procedures, standard setting mechanisms, enforcement options, facilities, equipment, laboratories, transportation, communications, personnel and training to support the objectives of the fish and fishery products inspection and control program.

(d) Appropriate Implementation of Mandate:

Appropriate policies and procedures for conducting inspections should formally document inspection working methods and techniques. The inspection program should be based on identified objectives and appropriate risk evaluation. In the absence of sufficient scientific information, inspection programs should be based on the authority’s best scientific judgment, taking into account current knowledge and practice. Procedures should be in place to ensure that inspections are carried out using priorities based on risk, to address known or suspected non-compliance situations; and in a coordinated manner between different regulatory authorities, if several exist.

(e) Training for Inspectors and Laboratory Personnel:

Training for inspection personnel should include a standard basic level of training in the procedures and the scientific basis for conducting inspections, including the basic elements of sensory examinations; specialized and/or advanced training for specialists and advisory staff; and a program for continuously maintaining and upgrading the skills of inspection staff. Training for laboratory personnel should include instruction, where appropriate, in regulatory requirements, chemical, microbiological and sensory analytical methods, and maintaining the integrity of evidence.

(f) Inspection and Sampling Plans:

The system for conducting inspections should be sufficient to assure compliance with legislation. Sampling plans should be established to ensure that the results are reliable in relation to the specific objective. Pre-inspection preparation should assure that the scope and focus of the inspection is defined and that the inspector is familiar with the compliance history of the firm. Audit/verification techniques should include record review, use and conduct of interviews, inspection notes, and a report of observations to the firm at the close of the inspection. Inspection activities should include sample analysis using validated analytical methods and the production of a fully documented inspection report.

(g) Certification Systems:

When required, certification of the conformity of a product or batch of products may be based on:

- regular checks by the inspection service;

- analytical results;

- evaluation of quality assurance procedures;

- any inspections specifically required for the issuance of a certificate.

Responsible authorities should take all necessary steps to ensure the integrity, impartiality and independence of certification systems. Personnel empowered to validate certificates must be appropriately trained and fully aware of the significance of the contents of each certificate which they complete.

(h) Enforcement History:

The responsible authority should have a consistent, documented record of taking the necessary legal actions.

2. Identification of Fish Processing Establishments

Both Parties should identify, maintain and update on a regular basis an inventory of fish processing establishments.

Each responsible authority should have a system to require that seafood processors who are included under the Agreement have adopted a system of controls that prevent the occurrence of food safety hazards or other regulatory infractions in fish and fishery products exported to the other Party. This system of preventive controls should be based on internationally recognized principles of HACCP.

3. Ability to Perform Audit Procedures on the Inspection Control System

Each Party should periodically conduct self-assessment or third-party audits at various levels of the fish and fishery products inspection and control system, using internationally recognized assessment and verification procedures.

Each party should have in place a system for requiring the reliability of laboratories used for sample analysis. Laboratories should demonstrate that they have consistently acceptable performance through programs that include adequate quality assurance controls, the use of validated analytical methods, and other measures necessary to document the reliability of test results.

4. Verification of Equivalence

Each Party should verify the equivalence of the other Party’s fish and fishery products inspection and control system to meet import requirements. This may include conducting a side-by-side comparison of items identified in section 1 of this Annex, reviewing the compliance history of products imported from the other Party, and conducting a compliance audit of the fish and fishery products inspection and control system using the procedures identified in Annex V.

ANNEX III

FISH PROCESSING ESTABLISHMENTS

Canada

All establishments registered or licensed for export under the Fish Inspection Regulations

Thailand

ANNEX IV

FREQUENCY OF IMPORT INSPECTION

¹ Any product which fails to meet Canadian requirements upon entry into Canada will be placed on the Import Alert List and will be required to pass four inspections before reverting back to frequencies agreed in this Agreement.

ANNEX V

AUDIT PROCEDURES

1. Introduction

1.1 Assessment and verification should concentrate primarily on effectiveness of the inspection and certification system in operation in the exporting country rather than on specific commodities or establishments.

1.2 Assessment and verification may be conducted by officials of the importing country. The subject of assessment and verification may be an exporting country’s inspection and certification infrastructure, or a specific inspection and certification regime applied to a single producer or group of producers.

2. Preparation

2.1 Those responsible for conducting the audit should prepare a plan that covers the following points:

- the subject, depth and scope of the audit and the standards or requirements against which the subject will be assessed;

- the date and place of the audit, along with a timetable up to and including the issue of the final report;

- the identity of the auditors including, if a team approach is used, the leader;

-- the language(s) in which the audit will be conducted and the report issued;

-- a schedule of meetings with officials and visits to establishments, as appropriate;

-- confidentiality requirements.

2.2 This plan should be reviewed in advance with representatives of the country and, if necessary, the organization(s) being audited.

2.3 Where different authorities of an importing country have jurisdiction over different aspects of food control in the importing country, such authorities should coordinate their conduct of an audit in order to avoid any duplication of visits in the assessment of the exporting country’s inspection and certification infrastructure.

3. Opening Meeting

An opening meeting should be held with representatives of the exporting country, including officials responsible for the inspection and certification programs. At this meeting the auditor will be responsible for reviewing the audit plan and confirming that adequate resources, documentation, and any other necessary facilities are available for conducting the audit.

4. Examination

This may comprise both the examination of documentary material and an on-site verification.

4.1 Document Review

The document review may consist of a preliminary review of the national food inspection and certification system, with emphasis on the implementation of elements of the system of inspection and certification for commodity(ies) of interest. Based upon this preliminary review, the auditors may examine inspection and certification files relevant to these commodities.

4.2 On-site Verification

4.2.1 The decision to proceed to this step should not be automatic but should be based upon a variety of factors such as risk assessment of the food commodity(ies), history of conformity with requirements by the industry sector or exporting country, volume of product produced and imported or exported, changes within a country’s infrastructure, changes to the food inspection and certification systems, and training (theoretical and practical) of inspectors.

4.2.2 On-site verification may involve visits to manufacturing facilities and food handling or storage areas to check on compliance with the information contained in the documentary material referred to in 4.1.

4.3 Follow-up Audit

Where a follow-up audit is being conducted in order to verify the correction of deficiencies, it may be sufficient to examine only those points which have been found to require correction.

5. Working Documents

5.1 Forms for reporting assessment findings and conclusions should be standardized as much as possible in order to make the approach to audit, reporting and assessment more uniform and efficient. The working documents also include any checklists of elements to evaluate. Such checklists may cover:

- legislation and policy;

- establishment structure and working procedures;

- the adequacy of inspection and sampling coverage and inspection standards;

- sampling plans and results;

- certification criteria;

- compliance action and procedures;

- reporting and complaint procedures; and

- training of inspectors.

6. Closing Meeting

A closing meeting should be held with representatives of the exporting country, including officials responsible for the inspection and certification programs. At this meeting, the auditor will be responsible for presenting the findings of the audit as well as, where appropriate, an analysis of conformity. The information should be presented in a clear, concise manner so that the conclusions of the audit are clearly understood. If possible, an action plan for correction of any deficiencies should be agreed.

7. Report

The draft report of the audit should be forwarded to the appropriate authorities in both countries as soon as possible. It should include a report of the audit findings with supporting evidence for each conclusion, along with any details of significance discussed during the closing meeting. The final report should incorporate the comments by the appropriate authorities of the exporting country.

8. Frequency of Auditing

The potential importing country shall decide the frequency of auditing an agreement with the exporting country. Factors to be taken into account include the findings of previous audits and the existence and effectiveness of self-audit systems or third party audit of the exporting country’s control systems.

9. Conformity with Codex Alimentarius

This Annex V is automatically amended so that it always conforms to the “Guidelines On Procedures for Conducting an Assessment and Verification by an Importing Country of Inspection and Certification Systems of an Exporting Country” as approved by the Codex Committee on Food Import and Export Inspection and Certification Systems and adopted by the Codex Alimentarius Commission.