At-Sea Fisheries Observer Corporations - Program Manual

Published December 2012 by the Canadian General Standards Board
Gatineau, Canada K1A 1G6

©HER MAJESTY THE QUEEN IN RIGHT OF CANADA,
as represented by the Minister of Public Works and Government Services, the Minister responsible for the Canadian General Standards Board (2012)

No part of this publication may be reproduced in any form without the prior permission of the publisher.

Table of Contents

Section A - CGSB Qualification Program

  1. How the Program Works
  2. Phase 1: Application
  3. Phase 2: Management System Documentation Review
  4. Phase 3: On-Site Audit and Qualification Decision
  5. Phase 4: Maintenance of Qualification
  6. Delisting, Appeals and Re-application
  7. Complaints
  8. Costing
  9. Use of the CGSB Name and Qualification Number
  10. Preparing Your Application

Section B - At-Sea Observers Corporations Program Quality Management System Standard

  1. 1.0 IntroductionSection B
  2. 2.0 Scope
  3. 3.0 QMS Principles
  4. 4.0 Quality Management System
  5. 5.0 Management Responsibilities
  6. 6.0 Training
  7. 7.0 Production
  8. 8.0 Inspection
  9. 9.0 Internal Audit
  10. 10. Improvement

Appendix A

Appendix B - Quality system requirements and procedure evaluation checklist

Section A - CGSB Qualification Program

Introduction

The objective of the Department of Fisheries and Ocean's (DFO) At Sea Observer Program is to provide accurate, timely, and independent third party verification of harvesting activities at sea, as well as to provide scientific catch and sampling data to the Department. The fishing industry and the Department are dependent on the accurate provision of this information for all fisheries management, monitoring and scientific research purposes.

Corporations wishing to seek designation as an at sea observer provider must comply with and adhere to the requirements of the Fishery (General) Regulations (F(G)R), make application and become qualified according to the Canadian General Standards Board (CGSB) Qualification Program Manual and the Department of Fisheries and Oceans Designation Policy and Procedures Manual.

Parties interested in seeking DFO designation can access additional information at the DFO web link: At-Sea Observers and Electronic Monitoring.

The Canadian General Standards Board (CGSB) administers a Qualification Program for At-Sea Fisheries Observer Corporations, based on the Quality Management System (QMS) requirements as defined by the Department of Fisheries and Oceans (DFO), and would be administered in accordance to the international standard ISO Guide 65, General requirements for bodies operating product qualification systems.

The program is designed to assess the quality management system of suppliers of at-sea fisheries services against DFO's quality management system requirements as expressed in Section B, At-Sea Observer Corporation Program Quality Management System Standard (QMS Standard).

The QMS Standard is a modification of ISO 9001:2000 (Quality Management Systems — Requirements); it should be noted that this reference to ISO 9001:2000 does not imply in any way that the QMS Standard satisfies the ISO 9001:2000 standard.

In this manual, applicants will find complete information about the Qualification Program, including application requirements, processes, forms and costs. Please keep a copy of this program manual for future reference. For more information about the CGSB and its programs, visit the CGSB Web site at CGSB.

1. How the program works

1.1 Organizations gain admission to the program by demonstrating that:

  • Their documented quality management system meets the requirements of the At-Sea  Fisheries Observer Corporations Quality Management System Standard;
  • They comply with their own established quality management system.

1.2 The organizations and their extent of recognition are listed on a qualification list, available to the Department of Fisheries and Oceans (DFO) and the general public. Through a program of scheduled audits carried out by the CGSB, DFO is assured that the sources of supply of services conform to the recognized standard.

1.3 To achieve this level of confidence, the program has four phases:

  • Phase 1: Application
  • Phase 2: Quality Management System Documentation Review
  • Phase 3: On-Site Audit and Qualification Decision
  • Phase 4: Maintenance of Qualification

Note: All forms required in order to participate in the program appear as appendices at the end of this document.

1.4 The following table provides an overview of the steps to be taken in order for a potential At-Sea Fisheries Observer Corporation to be qualified and remain qualified.

Table Summary

This table outlines the various audit phases that a At-Sea-Fisheries Observers Corporation must complete in order to obtain CGSB qualification.

Annual Qualification Cycle
  Step Action
Phase 1
Application
1 Applicant organization obtains qualification materials from the CGSB.
2 Applicant organization submits application forms to the CGSB.
3 The CGSB reviews application form and advises applicant organization to proceed to Phase 2.
Phase 2
Management System Documentation Review
4 Applicant organization submits quality management system (QMS) manual that identifies processes used to meet requirements of Standard.
5 The CGSB reviews QMS manual and informs applicant organization of status of review. Upon successful completion of review, applicant proceeds to Phase 3.
Phase 3
On-Site Audit and Qualification Decision
6 The CGSB and applicant organization prepare for and complete on-site audit of applicant (headquarters and one or more operational sites as required). CGSB may consult DFO on audit locations.
7 The CGSB provides applicant organization with Audit Report and Corrective Action Record (CAR), where applicable.
8 Applicant organization completes CAR and submits supporting documentation.
8a The CGSB reviews CAR and notifies applicant organization that it has been deemed qualified or that further action is required.
9 For applicant organization deemed qualified, the CGSB issues qualification number, lists organization on CGSB Web site and notifies DFO of organization's qualification status.
Phase 4
Annual Maintenance of Qualification
10 Qualified organization submits QMS manual to the CGSB for review.
11 The CGSB conducts review of QMS manual.
12 The CGSB informs organization on the status of the review. Upon successful completion of review, the CGSB and applicant organization prepare for and complete on-site audit of applicant.
13 The CGSB issues on-site audit report and conducts CAR follow-ups. The CGSB notifies organization and DFO of decision to maintain qualified organization's qualification.

2. Phase 1: Application

2.1 Organizations wanting to participate in the CGSB Qualification Program shall submit the following:

  • Application fee
  • Applicant profile form
  • Application form
  • Company certificate, corporate registration or business registration
  • SO 9001:2008 registration (if registered)

2.2 Application Fee

A cheque, payable to the Receiver General for Canada, for the fee shown in section 8, Costs, including GST/HST (Canadian companies only).

Note: An application fee applies only where the applicant has no facilities listed in the Qualification Program covered by the application.

2.3 Applicant Profile Form

A completed Applicant Profile Form (Appendix A). This form provides the CGSB with basic information about the applicant and will assist in estimating the costs for a Quality Management System (QMS) audit.

2.4 Application form

2.4.1 This legal document, when signed by a senior officer of the organization, grants the CGSB the authority to assess the applicant's quality management system.

2.4.2 In signing the form, the applicant undertakes to:

  • abide by the terms and conditions of the program;
  • maintain a system of internal review that will ensure the continuing quality of its services;
  • document, implement and maintain its management system;
  • provide access to the CGSB staff, or their representatives, to conduct their on-site audits;
  • pay all applicable fees.

2.5 Company certificate, corporate registration or business registration

2.5.1 A copy of the certificate of incorporation, business registration or other documents that confirm the applicant's legal status shall be submitted. If, in the opinion of the CGSB, the documentation submitted does not confirm the legal status of the applicant, the CGSB reserves the right to require the submission of any necessary additional documentation.

2.6 ISO 9001:2008 registration

2.6.1 Where an organizations quality management system has been registered by an accredited ISO 9000 registrar, audits may be modified or the frequency reduced. The CGSB will verify the scope of the ISO 9000 registration and may request the submission of the audit report, the quality management system plan(s) and/or other documentation.

2.7 If an application is rejected, the organization will be informed in writing. Organizations can appeal the CGSB's decisions. Organizations also have the right to view their own qualification records kept by the CGSB.

2.8 All documents and information submitted by an applicant are treated in strict confidence and will be released only to parties outside DFO and the CGSB with the applicant's consent.

3. Phase 2: Management System Documentation Review

3.1 Following completion of Phase 1, a Conformity Assessment Specialist/Officer (CAS/CAO) is assigned and will be the applicant's main point of contact with the CGSB. The CAS/CAO reviews the application, resolves any differences or misunderstandings, and selects a Lead Auditor. The Lead Auditor will be either a qualified CGSB staff member or a qualified subcontractor working under the authority of the CGSB who is bound by all program requirements (e.g. language).

3.2 Submission of management system documentation — The applicant organization shall submit documentation that identifies the processes used to meet the requirements of the Standard.

3.3 Document review — The Lead Auditor reviews the organization's documentation against the requirements of the Standard and issues a Document Review Report. The applicant shall address all areas of the report where the requirements were not satisfied.

4. Phase 3: On-Site Audit and Qualification Decision

4.1 Prerequisites for the on-site audit — Following the CGSB decision to perform an on-site audit after the document review process, the organization shall:

  • conduct and document a management review and a full internal audit of its quality management system (if not completed within the last twelve (12) months);
  • be prepared to provide evidence of conformity to requirements and of the effective operation of its management system. A minimum of three (3) months of records shall be made available to the audit team during the on-site audit;
  • ensure the availability of top management for interviews during the on-site audit, to provide evidence of its commitment to the development and implementation of the quality management system and continually improving its effectiveness.

4.2 The Lead Auditor acts as the Audit Team Leader and conducts the audit in accordance with the Standard and CGSB procedures. The Lead Auditor is responsible for at least the following:

  • Scheduling the audit date
  • Arranging for office space
  • Arranging for guides
  • Arranging for the applicant's management to be available
  • Planning the audit activities

4.3 The on-site audit includes at least the following:

  • Opening meeting
  • Verification of the implementation and effective operation of the quality management system
  • Closing meeting

4.3.1 At the closing meeting, the Audit Team Leader informs the applicant of any nonconformity, clarifies their significance and sets out the audit team's recommendation about qualification.

4.4 The Lead Auditor then prepares an audit report that meets program requirements. The report contains at least the following:

  • General information on the client and the audit
  • Scope and purpose of the audit
  • Overview, including a brief description of the client, its products and any other pertinent information
  • Summary of the most important observations, positive as well as negative, about the management system
  • Summary of the findings and any general comments
  • Summary of the closing meeting
  • Qualification recommendation

4.4.1 Recommendations are generally one of the following:

  • Offer of qualification
  • Offer of qualification after the response to corrective action requests is found acceptable to the CGSB Audit Team
  • On-site verification of corrective action requests (follow-up audit)
  • Complete re-audit (In this case, corrective action requests are not issued; rather, a report is issued recommending a complete re-audit at a future date)

4.5 Next, the CGSB reviews the Lead Auditor's recommendation and pertinent technical information about the applicant's system. A decision is made to grant or deny the qualification, or to ask that additional information be provided. If nonconformities are identified during the audit, the applicant shall take satisfactory corrective action before the CGSB recommends that the Team Leader, Certification Services, CGSB, prepare a written offer of qualification.

4.5.1 Applicants are considered qualified only when they have received a signed letter of offer from the Team Leader, Certification Services, CGSB.

4.6 A certificate is issued to the successful applicant following the signing of the legal agreement. The certificate shows the applicant's name, the address of the qualified facility and the scope of qualification. The certificate is valid for three years. A new certificate is issued upon satisfactory completion of the requalification.

4.7 An up-to-date list of qualified organizations can be viewed at CGSB.

5. Phase 4: Maintenance of Qualification

5.1 Management system changes — Organizations shall promptly notify the CGSB, in writing, of any intended changes to their quality management system. These include changes to policy and procedures, organization, location or any other change affecting conformity to the program. Before approving a change, the CGSB may require a site visit or a re-audit.

5.2 CGSB program changes — The CGSB will notify organizations, within a reasonable time, of any changes it intends to make to program requirements. Organizations' views will be considered before the CGSB makes decisions on the precise form and effective date of proposed changes to the program.

5.3 On-Site audits — The CGSB conducts audits at least once a year, at the organization's headquarters and one or more operational sites as requested. These audits are usually conducted during the anniversary month of the initial audit. Approximately one third of the organization's management system will be audited during these audits. Audits will be assigned, planned and executed in a similar manner to the initial audit. The document review stage of the audit shall include, but not be limited to, a review of:

  • the current version of the organization's quality management system manual, including any changes;
  • the results of previous internal and external audits and any corrective actions;
  • the results of previous management reviews.

The on-site portion of the annual review will be planned and executed in a similar manner to the initial audit.

The CGSB will consult DFO each year regarding the audit frequency and duration for each organization.

5.4 To remain in the program, the organization continues to agree to:

  • abide by the program requirements;
  • discharge to the satisfaction of the CGSB any nonconformities that arise. These include nonconformities identified during the on-site audit, and misuse of logos and trademarks, as specified in the legal agreement.

5.5 Requalifications are conducted every third year, usually during the anniversary month of the initial audit. Re-audits will be assigned, planned and executed in a similar manner to the initial audit. At the conclusion of the re-audit, a report that meets the same criteria as the report mentioned in Phase 3 is issued.

6. Delisting, Appeals and Re-Application

6.1 If a major nonconformity arises or a series of faults are identified, the qualified organization is given the opportunity to provide an explanation and voluntarily take corrective action within a specified time period.

6.2 In the event of repeated problems with the performance of an organization's management system, complaints from users or other evidence that indicates a lack of performance within the qualified facility, the CGSB may, at its discretion, decide to:

  • audit more frequently;
  • return to the facility to verify the effectiveness of the corrective action;
  • suspend or delist the qualified organization.

6.3 Qualified organizations that fail to demonstrate their ability or willingness to meet the program requirements within a specified time period will be suspended or delisted. DFO will be notified of all potential changes and/or changes to an organization's status.

Note: The suspension or delisting of an organization's qualification may initiate DFO process for revoking designation. See DFO Corporation Designation Policy and Procedures, Section Guidelines for revoking designation of an At Sea Observer Corporation.

6.4 Any decision by the CGSB against the qualified organization may be appealed (CGSB Procedure CAD1 — Appeal) to the Team Leader, CS (first level), Manager, CAD (second level), and Director, CGSB (third level); ultimately, all participating organizations have a right of final appeal of the decision to the DFO (fourth level). The appellant shall submit arguments and evidence in writing within 30 days of notification of the decision in question. Additional details on the appeal process will be provided upon request.

Organizations that want to re-apply to the program following delisting shall repeat the entire listing process.

7. Complaints

7.1 The CGSB has a mechanism for handling complaints about the performance of qualified organizations.

7.2 The CGSB will, upon written notice, investigate the complaint in accordance with its formal procedures. The organization may be asked to provide information, records and other pertinent data. The organization has the right to provide evidence that refutes the complaint. To resolve the dispute, the CGSB may require a further on-site audit. If the organization fails to comply with those requests or to correct the problem, or if the complaint is upheld, the organization may be suspended or delisted from the program. Generally, the organization will have the opportunity to take corrective action before the CGSB suspends or delists the facility, or takes other action.

7.3 If the organization is found to be at fault, it will pay any costs associated with the complaint (e.g. cost of additional audits, program management time). If the organization is not found to be at fault, the complainant will be responsible for these costs. Additional details on the complaint process will be provided upon request.

7.4 Any decision by the CGSB against the qualified organization may be appealed. Details of the appeal process are available from the CGSB. All participating organizations have a right of final appeal of the decision to the DFO. Organizations that want to re-apply to the program following delisting shall repeat the entire listing process.

8. Costing

8.1 The CGSB administers qualification programs on behalf of participating organizations on a cost-recovery basis.

8.2 Costs

8.2.1 Application & Initial Qualification costs (All Costs paid by Applicant)

Application fee (one-time admission fee to the program) $500

Management time (for handling and processing applications) $197.50/h

Initial quality system auditFootnote 1

Travel time $98/h

8.2.2 Annual costs for maintenance and compliance activities

Listing Fee $250

Listing Fee (each subsequent operational site) $125

Note: The audit costs are paid by the DFO. If a 2nd audit is required the organization will be charged.

Management time (administration of program activities) $197.50/h

Note: The organization will be charged management time for any issues beyond the first response to corrective actions.

Travel time $98/h

Reinstatement fee (minimum)Footnote 2 $250

8.3. Method of payment

The CGSB accepts payment by VISA, MasterCard, or American Express and by money order or cheque payable to the Receiver General for Canada.

Note: First-time applicants to this program shall submit their application fees, before the CGSB evaluates their applications. All other costs are invoiced as the work is performed.

8.3.1. Submission of money orders and cheques

By mail:

Client Services Assistant - Finance
Canadian General Standards Board
Gatineau, Canada
K1A 1G6

By courier:

Client Services Assistant - Finance
Canadian General Standards Board
Place du Portage, Phase III, 6B1
11 Laurier Street
Gatineau, Quebec
Canada
K1A 0S5

8.3.2. VISA, MasterCard, or American Express Payments:

Applicants/program participants who want to pay by credit card shall contact the following:

By telephone:

Client Services Assistant - Finance
Canadian General Standards Board
819-956-8557

By fax:

Client Services Assistant - Finance
Canadian General Standards Board
819-956-5740

Note: All fees are payable in CANADIAN DOLLARS. Canadian companies only, please add GST/HST cost to all fees.

9. Use of the CGSB Name and Qualification Number

9.1 The sole intended use of the CGSB Qualification Program for At-Sea Fisheries Observer Corporations is for DFO to meet its requirements pertaining to the qualification of At-Sea Fisheries Observers Corporations. The CGSB name and qualification number and/or DFO name may therefore be used only in that context.

9.2 Organizations shall not use the CGSB name or qualification number in a manner that tends to be misleading. Moreover, organizations shall not make use of the CGSB name, abbreviations, qualification number, marks or symbols, or any other form of reference to the CGSB and/or DFO in a manner that may be interpreted to mean that the CGSB and/or DFO approves of or endorses any product or service of the qualified organization, or the performance (including the quality compliance or performance) of any product or service of the organization.

9.3 The use of the qualification number is independent of, and does not excuse, release or relieve the organization from its obligations to comply with, all applicable federal, provincial or municipal statutes, regulations and by-laws and all applicable industry guidelines concerning quality matters.

10. Preparing your Application

10.1 Step 1: Application form — Form ATOP-1 is a legal document certifying your organization's commitment to a high-performance management system. It shall be signed by a senior official in charge of the management system and by a responsible officer of the organization (e.g. president, vice-president, secretary-treasurer).

10.2 Step 2: Applicant profile form — Completion of Form ATOP-2 ensures that the CGSB captures all necessary program information, including all the locations/facilities to be qualified.

Forms ATOP-1 and ATOP-2 are found in Appendix A.

10.3 Step 3: Submission of quality management system documentation

By mail:

Qualification Program for At-Sea Fisheries Observer Corporations
Certification Services - Products and Services (CS)
Canadian General Standards Board
Gatineau, Canada
K1A 1G6

By courier:

Qualification Program for At-Sea Fisheries Observer Corporations
Certification Services - Products and Services (CS)
Canadian General Standards Board
Place du Portage, Phase III, 6B1
11 Laurier Street Gatineau,
Quebec
K1A 0S5

Section B - At-Sea Fisheries Observers Corporations Program Quality Management System Standard

1.0 Introduction

The Qualification Program with the CGSB has two goals. One is to ensure that each At-Sea Fisheries Observer Corporations acting as an independent 3rd party has a quality management system (QMS) in place to ensure the verification of harvesting activities, as well as to provide accurate and timely scientific catch and sampling data to the DFO. The second is that each organization has quality management practices in place to ensure the viability of that organization.

2.0 Scope

This standard specifies the management system requirements that the organization shall meet in order to comply with the Department of Fisheries and Oceans' Fishery (General) Regulations, issued under the authority of the Fisheries Act.

3.0 QMS Principles

The following quality management principles have been identified and can be used by top management in order to lead the organization towards improved performance:

  1. Customer focus
    Organizations depend on their clients and therefore should understand current and future customer needs, should meet customer requirements and strive to exceed customer expectations.
  2. Leadership
    Leaders establish unity of purpose and direction of the organization. They should create and maintain the internal environment in which people can become fully involved in achieving the organization's objectives.
  3. Involvement of people
    People at all levels are the essence of an organization and their full involvement enables their abilities to be used for the organization's benefit.
  4. Process approach
    A desired result is achieved more efficiently when activities and related resources are managed as a process.
  5. System approach to management
    Identifying, understanding and managing interrelated processes as a system contribute to the organization's effectiveness and efficiency in achieving its objectives.
  6. Continual improvement
    Continual improvement of the organization's overall performance should be a permanent objective of the organization.
  7. Factual approach to decision making
    Effective decisions are based on the analysis of data and information.
  8. Mutually beneficial supplier relationships
    An organization and its suppliers are interdependent, and a mutually beneficial relationship enhances the ability of both to create value.

4.0 Quality Management System

4.1 General

The management of each organization needs to recognize that their view of the quality management system is actually how they want the company to operate and the employees to perform. At-Sea Fisheries Observer managers shall identify and write down how they expect their At-Sea Fisheries Observers and office staff to function. They also have to consider what training is needed for the staff and how they are going to verify that ALL these productive activities are happening in the way they want. And finally, they need to have a way of identifying weaknesses in their quality management system and then improving their methods of servicing their clients.

In order to achieve these objectives, each At-Sea Fisheries Observer Corporation' quality management system needs to include written procedures covering all of the items listed in the next sections. They shall also provide objective evidence that their quality management practices comply with those procedures. Objective evidence is usually in the form of records of activities required by either the quality management system or their clients' performance expectations.

In the case of the At-Sea Fisheries Observer Corporations Program, every customer has more than one expectation of the service provided by an At-Sea Fisheries Observer Corporations (or perhaps more than one category of customer). First is the expectation that their harvesting activities will be monitored and recorded accurately so that they can be assured to be in compliance with Acts and Regulations governing fishing activities in Canadian waters. This is achieved by the independent monitoring of the At-Sea Fisheries Observer.

Second, they expect that the verification of the reports by the At-Sea Fisheries Observer Corporation will be accepted by DFO as accurate, ensuring that the fish harvesters will have confidence they remain in compliance with DFO regulations, and management plans as well as program scientific data will be available for scientific research and stock assessment.

And third, the At-Sea Fisheries Observer Corporation's quality management practices will consistently provide the agreed service. Meeting the requirements of the CGSB Listing Program generally satisfies these three expectations.

4.2 Documentation

4.2.1 Procedures and forms

The organization's management shall ensure the following:

4.2.1.1 When management decides that staff members need written instructions to follow or forms to fill out, there is a method to ensure that only the correct (most recent) version is used.

4.2.1.2 There is a method of identifying each page of a document as to whether or not it is the most current one (revision level indicator).

4.2.1.3 When changes are made, all obsolete versions of such documents are removed from circulation.

4.2.1.4 Current revision levels of each quality management system document are clearly identified.

4.2.1.5 Documentation is used to train, and is readily accessible to, all staff members that rely on such documentation to perform their tasks.

4.2.1.6 All staff members are aware of who has the authority to approve and revise quality management system documentation and of how they may make suggestions for the improvement of the documentation.

4.2.1.7 Relevant DFO directives concerning quality management system requirements, including DFO requirements, as set out in the At Sea Fisheries Observer Program Corporation Designation Policy and Procedures Program Delivery Requirements document and related regional annexes, are incorporated into the Quality System Management Procedures.

4.2.2 Records

The organization's management shall ensure the following:

4.2.2.1 Records required to demonstrate compliance with the company system's procedures are clearly identified.

4.2.2.2 Records are collected, maintained and protected from unauthorized access.

4.2.2.3 Records are legible, retrievable and accessible to At-Sea Fisheries Observer employees who rely on them to perform their tasks, and to DFO and DFO-appointed auditors as required.

5.0 Management Responsibility

5.1 Policy

The organization's management shall ensure the following:

5.1.1 Policy or attitudes regarding satisfying customer expectations, consistently meeting DFO's and the CGSB's requirements and continually improving its methods of operation are known and followed by the staff.

5.1.2 This policy is clearly stated in the documentation provided to the staff.

5.2 Responsibility and authority

The organization's management shall ensure the following:

5.2.1 All employees are aware of their responsibilities and authorities related to the quality management system and the "chain of command" within the At-Sea Fisheries Observer Program, including all DFO policies, procedures and applicable legislation.

5.2.2 A person is designated at the management level to accept overall responsibility for the implementation and maintenance of the documented quality management system.

5.2.3 The organization's management with executive responsibility for quality shall review the quality system at defined intervals sufficient to ensure its continuing suitability and effectiveness in satisfying the requirements of this program, including conflict of interest and arms-length criteria, and the organization's stated quality policy and objectives. Records of such reviews shall be maintained.

6.0 Training

6.1 The organization's management shall ensure the following:

6.1.1 All staff, At-Sea Fisheries Observers and office workers are qualified on the basis of education, training and/or experience appropriate to their tasks.

6.1.2 At-Sea Fisheries Observers are designated by DFO, and designations are current.

6.1.3 All staff, At-Sea Fisheries Observers and office workers are trained on quality management system documentation relevant to their specific tasks and their contribution to improving the quality management system.

6.1.4 Records of all such training, including all on-the-job training, are maintained.

7.0 Production

7.1 The organization's management shall ensure that procedures are established in sufficient detail for all productive processes, including but not limited to:

7.1.1 At-Sea Fisheries Observer tasks and duties;

7.1.2 receiving and processing information, data and reports at the At-Sea Fisheries Observer office and forwarding such information to DFO;

7.1.3 filing monitoring information according to DFO directives;

7.1.4 completing and submitting reports to DFO.

8.0 Inspection

8.1 The organization's management shall ensure the following:

8.1.1 All information, data and reports are inspected for completeness and numerical accuracy prior to being forwarded to DFO.

8.1.2 DFO is informed of any information that is missing or numerically inaccurate.

8.1.3 A designated individual signs off on information, data or reports sent to DFO, verifying that such information, data and reports have been inspected as required above.

8.1.4 Adequate objective evidence and records of the above inspections are maintained.

9.0 Internal audit

9.1 The organization's management shall ensure the following:

9.1.1 Evaluations of the effectiveness and efficiency of its quality management system are undertaken on a regular basis. These audits also evaluate the degree to which the organization's management and employee practices comply with the established procedures.

9.1.2 ALL parts of the quality management system are evaluated or audited at least once a year. The more important the activity, the more frequently the audits are scheduled.

9.1.3 Internal auditors are independent of the activities being audited, that is, they cannot audit their own work.

9.1.4 Auditors are trained in the processes of internal audit and records kept of this training.

9.1.5 Auditors tell the person being audited of the audit results before leaving at the end of the audit.

9.1.6 Discrepancies found during an audit are corrected and considered for improvement action.

9.1.7 Internal audits are used to verify the effectiveness of previous improvement actions.

9.1.8 Records of internal audits are maintained and made available to DFO or to DFO-appointed external auditors, as required.

10. Improvement

10.1 Non-conformities are usually found through internal or external quality management system audits (section 9.0). They may also come from formal complaints from At-Sea Fisheries Observer clients or DFO.

10.2 The organization's management shall ensure the following:

10.2.1 Non-conformities in the quality management system are identified and documented when they happen or are discovered.

10.2.2 Procedures are established and written to ensure that the non- conformities are corrected.

10.2.3 Procedures to identify opportunities for improvement to the quality management system based on these non-conformities are also established and written down.

10.2.4 The first step in improving the quality management system is to investigate the root cause of the non-conformities.

10.2.5 Once the root cause of the non-conformities appears to have been determined, action is taken to improve the quality management system and ensure the non-conformities do not reoccur.

10.2.6 Adequate records of complaints, non-conformities and improvement actions are maintained for a suitable period.

10.2.7 Each implemented improvement action needs to be reviewed for effectiveness. If the non-conformities still exist, then the action taken was not effective and the process of determining the root cause and implementing improvement(s) needs to be performed again.

Appendix A

  • Application Form (ATOP-1)
  • Applicant Profile Form (ATOP-2)

Application Form

Application

Legal name of applicant:

Address of applicant:

hereinafter called the "Applicant", hereby applies for qualification for the facilities listed on the attached Applicant Profile form for the following Program:

[ ] At-Sea Fisheries Observer Corporations Qualification Program

Undertaking

The Applicant, by and through its responsible officer(s), states and undertakes:

That the Applicant will conform to the provisions of the applicable At-Sea Fisheries Observer Corporations Program Quality Management Systems Standard (the Standard);

That the Applicant's list of locations or facilities meets the provisions of the standard;

That all production or services from the above facility will conform to the Applicant's current specifications and will continue to meet the requirements of the standard;

That the Applicant's management is familiar with and accepts the conditions governing this qualification as described in the current edition of the CGSB Policy Manual for the Conformity Assessment Division;

That the Applicant has received and will abide by the applicable provisions of the Qualification Program Manual;

That the CGSB or its authorized representatives shall be permitted to audit the Applicant's facilities at such times and in such a manner as the CGSB shall decide.

ATOP-1 - December 2012

By completing and signing this Application form, the Applicant acknowledges having read and understood the conditions of the Qualification Program Manual hereto attached and hereby agrees and undertakes to follow the processes in relation to any activity connected with the Qualification Program.

In consideration of the qualification granted by the CGSB, the supplier undertakes to make the payments of the applicable fees in accordance with the costing section of the Program Manual, and to make payments of money to the Receiver General for Canada and remit to:

Certification Services
Conformity Assessment Division
Canadian General Standards Board
Gatineau, Canada
K1A 1G6

IN WITNESS WHERE OF, this Application has been executed by the Applicant this…day of …201…

Signature of the senior manager in charge of management systems assurance

Signature of the responsible officer of the applicant company

Please submit this application to:

Certification Services
Conformity Assessment Division
Canadian General Standards Board
Gatineau, Canada
K1A 1G6

Note: The application must include the following:

  • Completed Application form
  • Completed Applicant Profile form
  • Company Certificate, Corporate Registration or Business Registration
  • Application Fees

Applicant Profile

Please complete form and list all facilities or sublocations

File No. (CGSB use only)

Section 1 — Applicant information

Legal name and address:
Language preference Correspondence: [ ] EN [ ] FR Audit: [ ] EN [ ] FR
Applicant representative:
Title:
Telephone:
Fax:
E-mail:
Web site:
Contact for invoices:
Telephone Fax:
Address of facility #1 (if different from above):

Size of facility (sq. ft.):
Number of employees:
Number of shifts:
Number of personnel directly involved in the management system (e.g. dedicated to quality assurance):
Approximate number of pages in your management system documentation, including quality manual and procedures:
Address of facility #2:

Size of facility (sq. ft.):
Number of employees:
Number of shifts:
Number of personnel directly involved in the management system (e.g. dedicated to quality assurance):
Approximate number of pages in your management system documentation, including quality manual and procedures (if different from above):
Address of facility #3:

Size of facility (sq. ft.):
Number of employees:
Number of shifts:
Number of personnel directly involved in the management system (e.g. dedicated to quality assurance):
Approximate number of pages in your management system documentation, including quality manual and procedures (if different from above):

ATOP-2 - December 2012

Appendix B - Quality System Requirements and Procedure Evaluation ChecklistFootnote 3

The Procedure Evaluation Checklist comprises worksheets that both the applicant and the CGSB assessment staff can use to evaluate a quality system. They contain all the characteristics of their associated At-Sea Fisheries Observers Corporations Program Quality Management System Standard quality model and the requirements contained in the document, At-Sea Fisheries Observer Program Corporation Designation Policy and Procedures, Program Delivery Requirements.

If the applicant has a formal documented quality system (manual), the applicant shall list the procedure and quality manual references in the column provided. If a particular characteristic does not apply to an applicant's operation, this can be shown in the “Remarks” column along with the justification. All relevant quality documentation, including the applicant's quality manual, must be submitted with the application.

If an applicant does not have a formalized quality system, the “Remarks” column provides a convenient mechanism for describing how each of the requirements is met at the applicant's facility. This information can then be used to formalize their quality system and as a basis for the quality manual.

A Procedure Evaluation Checklist is available from the CGSB on request. The CGSB may be consulted if clarification is required on any of the program requirements.

Footnotes

Footnote 1

The cost varies depending on the size, location, and complexity of the operation to be audited. The costs included in the audit are travel, accommodation and professional services fees of the auditor. The cost may be less if applicants are already listed with another CGSB program.

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Footnote 2

Program participants whose products or facilities have been suspended will be charged the greater of either the actual time spent to re-instate the product or facility at the management time hourly rate or the minimum fee.

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Footnote 3

If a company's quality system is registered to ISO 9001:2008, this section may not apply. Applicants must submit a quality plan if it differs from that covered by the current quality systems manual.

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