Chapter 10 - Certification of Fish and Fish Products

Appendix A - Live Lobster Certification Protocol (LLCP)

1. Scope

This document outlines the policies and procedures governing the inspection and certification of live lobster for export carried out by personnel of the Canadian Food Inspection Agency (CFIA), in both registered and non-registered establishments, excluding fishing vessels.

These policies and procedures reflect the low level of risk to public health and safety associated with the handling and packaging of live lobsters.

2. Authority

Fish Inspection Act, R.S.C., 1970, c. F-12; Sections 6, 9(1) and (2)

Fish Inspection Regulations, C.R.C., 1978, c. 802; (FIR) Part I, General: Sections 9, 12, 13 (1), 13 (2)

Section 9

1. Where a person requests an inspection certificate for fish, an inspector shall
   1. where the person operates the establishment in which the fish was processed, inspect the processing record of the establishment to determine whether an inspection of the fish is required and, if it is required, inspect the fish; and
   2. in any other case, inspect the fish.
2. An inspector shall issue an inspection certificate for fish where
   1. the inspector determines that an inspection of the fish is not required; or
   2. the inspector determines, following an inspection of the fish, that the fish meets the requirements of the Act and these Regulations.
3. A person who requests an inspection certificate for fish shall pay an inspection service fee of
   1. $100, where an inspection of the fish is performed; and
   2. $25, where an inspection of the fish is not performed.
4. The amount payable by a person under subsection (3) shall not exceed $10,000 in a calendar year. SOR/96-364, s.4

Section 12

Where an Inspector has reasonable grounds to believe that fish has deteriorated after the date on which it was inspected or that it otherwise fails to meet the requirements of these Regulations, he may again inspect such fish.

Section 13

1. Where an Inspection is made under Section 12 and the fish is found not to be of the grade marked on the container, any inspection marks and quality designations on the container shall be removed or obliterated and any inspection certificate that may have been issued for the fish is void.
2. No person shall use an inspection certificate if he knows that the certificate is void.

3. Policy

Live lobster exported from Canada to any country in the world shall be certified when the live lobster has been processed in accordance with the requirements of the Fish Inspection Regulations. Inspection and certification of the live lobsters shall be conducted in accordance with the requirements of this protocol and other relevant requirements contained in this manual.

Registered Establishments

The processing and exportation of live lobster shall be subject to all the requirements of the establishment's Quality Management Program. This includes conducting a hazard analysis on any live fish operations as per section 3.1 b) and c) below. Should a registered establishment choose to develop and implement a Live Lobster Certification Protocol (LLCP) to facilitate the certification of live lobster exports, the audit/verification frequencies and the certificate control requirements of this document shall apply.

Non-registered Establishments

In order to facilitate the export of live lobster from Canada, non-registered live lobster exporters may develop and submit a LLCP submission to the CFIA for evaluation and approval. A Live Lobster Certification Protocol signed by both the exporter and the CFIA is required for non-registered exporters of live lobster who wish to ship to the European Union (EU), and exporters to other markets who require pre-signed certificates. Once the submission is evaluated, accepted and signed, the exporter is then assigned a LLCP number and the exporter name and number is added to the "Canadian List of Exporters Approved for the US" and the "Canadian List of Exporters Approved for the EU".

3.1 Each submission for a LLCP shall contain:

1. appropriate background information (exporter name, mailing address), location of the establishment used for the processing and export of the lobster, including methods of handling and description of the packaging and labelling to be utilised;
2. a hazard analysis which identifies every hazard that is likely to occur for the live lobster operation;
3. where the hazard analysis has identified hazards, a HACCP plan in which all critical control points, critical limits, monitoring procedures used at critical control points, the frequencies of monitoring procedures and corrective action plans are specified;
4. the names of personnel responsible for the development and implementation of the LLCP;
5. a written sanitation program; and
6. a description of the system used to trace lots of live lobster to their first shipping destination.

3.2.1 Non-registered LLCP Exporters, Excluding Exporters of Crated Lobster Shipped Directly

Non-registered lobster exporters, operating under a LLCP, including shippers who further package crated lobster into cardboard or polystyrene foam containers, shall have enclosed facilities. Facilities shall meet the following construction and equipment requirements:

1. Floors - new construction shall be concrete or equivalent (i.e., nonporous). Existing wood will be tolerated provided it can be kept in good repair and clean. No earth or gravel floors permitted.
2. Drains - shall be properly covered to prevent entrance of rodents. Where effluent drains, it must not create an unsanitary condition where flies and unacceptable odours are prevalent.
3. Walls and Ceilings - open studding shall be tolerated provided it can be kept in good repair and reasonably clean. Facilities must have tight doors and windows and be constructed so as to prevent the entrance of rodents.
4. Toilet facilities - must be available in the immediate area.
5. Hand-washing facilities -
   1. in existing establishments, hand-washing facilities with running water are required; pressurised water is recommended, but not required;
   2. in new construction, the facility must be located adjacent to the toilet facilities, and must be equipped with hot and cold running water, soap and single-service towels.
6. Water - an adequate supply of water derived from:
   1. an approved potable fresh water source; or
   2. a supply of clean sea water derived from a source which meets the overlay water standard, shall be available for employee hygiene and establishment clean-up.
7. Tables - new construction must be of approved material. Wood is permitted for existing equipment.
8. Offal Receptacles - must be marked "For Offal Only", and be constructed of approved material.
9. Lighting - minimum lighting for live fish holding operations must be available in the processing areas.

3.2.2 Non-registered LLCP Exporters of Crated Lobster Shipped Directly

Non-registered shippers of crated lobster from tidal lobster pounds or cars, who hold lobster in crates in tidal lobster pounds, and place loaded crates on transport vehicles for shipment, are not subject to the facility requirements outlined in Section 3.2.1.

3.3 Live lobster exporters operating under LLCPs shall ensure they meet all requirements of the policy as outlined in their HACCP submission.

3.4 Inspectors shall conduct audits and verification of LLCP establishments to ensure compliance with the requirements of the LLCP.

3.5 Individual CFIA offices will outline requirements for notification of shipments to be exported, in order that audit/verification can be conducted.

3.6 Inspectors shall conduct audit/verification activities in accordance with the frequency guidelines provided below:

1. 1 per month for high volume facilities (>20 certification requests/month);
2. once every three operating months for low volume facilities (<20 certification requests/month).

3.7   Where live lobster shippers have implemented and meet the requirements of a LLCP they shall be included on the plant list to be exchanged with the United States for the purposes of meeting the US Seafood HACCP Regulations.

3.8 Since live fish exporters to the United States do not require product certification, the LLCP may be audited approximately every 3 months of operation.

3.9 The CFIA may make additional arrangements to facilitate the export of live lobster to foreign markets as required.

3.10 Inspectors may take samples for any reason, including therapeutant and biotoxin analysis, and make results available to the industry, where appropriate.

3.11 The LLCP may be suspended or revoked by the CFIA if the requirements of the protocol are not met.

3.12 Live lobster shippers operating non-registered facilities without a LLCP may still have product certified provided the lobsters were processed in accordance with the Fish Inspection Regulations. Each lot must be inspected prior to certification.

Live lobster shippers operating non-registered facilities without a LLCP will not have shipments certified for export to the EU as they are required to be included on the list of establishments approved to export fish to the EU, which cannot be done without a LLCP.

4. Procedures

4.1 LLCP submissions, containing the information in 3.1, shall be submitted to the nearest CFIA office for review and approval.

4.2 Where CFIA inspectors determine that shipments of live lobster require the issuance of pre-signed certificates (i.e., European Union), the LLCP exporter shall be granted the privilege of these certificates provided the following measures are implemented:

1. CFIA shall maintain detailed controls of all certificates issued including copies of the certificates issued, names of exporters receiving certificates and serial numbers;
2. designated CFIA inspectors, knowledgeable in the requirements of the Fish Inspection Act and Regulations, shall sign, crimp and stamp, with the CFIA logo, previously prepared certificates that have written or typed on the certificate "Live Lobster (homarus americanus)", the name and address of the consignor, and the certificate serial number;
3. CFIA shall only issue inventories of certificates once they account for all previously issued certificates (including certificates voided by the exporter);
4. CFIA shall only issue certificates to exporters who have not previously received pre-signed certificates on a case-by-case basis, until such time as an acceptable compliance history has been established;
5. exporters shall maintain all stocks of pre-signed certificates under strictly controlled conditions. All pre-signed certificates are legal documents and must be handled as such;
6. exporters shall provide to the CFIA inspector responsible for inspecting their operations - within a reasonable period of time prior to export - a record of their inspection of the product lot to be certified. This record shall include the name of the consignor and consignee, number of containers and weight, the results of inspection, the shipping date, the plant name if different from consignor, the signature of company official and the serial number of the certificate to be used. These records shall be maintained by the exporter and shall be made available to the CFIA inspector upon request;
7. exporters are to complete the remaining sections of the pre-signed certificate to accurately reflect the information provided for each "record" referred to in f). They are to advise CFIA immediately of any changes to information on records previously provided to CFIA;
8. each exporter shall maintain a ledger of the certificates received from the CFIA including a copy of all certificates issued. This ledger shall include certificate type, serial numbers, date received from CFIA and date issued;
9. exporters shall provide CFIA with adequate lead time for replenishing standing inventories of certificates;
10. exporters shall provide the CFIA with copies of all issued certificates within two days following shipment of the certified lots.

4.3 Under LLCPs the following documents may be issued:

1. For registered facilities:
   • All Canadian certificates
   • EU/Canada certificates, where the processor is on the EU Approved List
   • Foreign country certificates
2. For non-registered facilities:
   • Statement of Inspection
   • Certificate of Inspection; Content, CFIA/ACIA 5006 formally (FP-1408)
   • EU/Canada certificates, where the processor is on the EU Approved List
   • Export Certificate for Mexico
   • Certificate of Origin and Hygiene CFIA/ACIA 5003 (FP-1404) operating with a Live Lobster Certification Protocol
   • Russian certificate, where the processor is on the Russian Federation Approved List

4.4 Should a non-registered exporter require a statement that the product is Canadian, it is permissible to change the Statement of Inspection to become a "Statement of Origin and Inspection" and to reword the text to read "This is to certify that the fish described below is a Product of Canada and has been found.....".

4.5 Inspectors conducting audit/verification activities shall complete an audit report as per Chapter 3, Subject 3 of the Facilities Inspection Manual - Compliance Verification Policies and Procedures for Registered Establishments.

4.6 CFIA offices shall enter audit/verification and certificate information into the appropriate national database.

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