9‑5 Notice of non‑compliance with requir9‑5 Notice of non‑compliance with requirements

9‑5 Notice of non‑compliance with requirements

(1) If the result of an audit of export operations under subsection 266(1) of the Act is that, in the auditor’s opinion, there is, or there has been, a failure (or a combination of failures) that amounts to a non‑compliance with a requirement to which the audit relates, the auditor must: (a) as soon as practicable after completing the audit, notify, in writing, the relevant person for the audit of the auditor’s opinion; and (b) assess whether the failure (or combination of failures) is a critical non‑compliance.

Note 1: An auditor is an authorised officer or an approved auditor (see the definition of auditor in section 12 of the Act).

Note 2: For the person who is the relevant person for an audit, see section 269 of the Act.

(2) If, in the auditor’s opinion, the failure (or combination of failures) is a critical non‑compliance, the auditor must notify the Secretary of that opinion as soon as practicable after forming it. (3) If the auditor gives a notification under subsection (2) orally, the auditor must, as soon as practicable after giving the notification, also give the notification in writing. (4) For the purposes of this section and section 9‑6 (audit reports), a failure (or a combination of failures) to comply with a requirement to which an audit relates is a critical non‑compliance if the failure (or combination of failures): (a) results in, or is likely to result in, the export, or the preparation for export, of fish or fish products as food, the integrity of which cannot be ensured; or (b) results in, or is likely to result in, the export, or the preparation for export, of fish or fish products as food that: (i) are not fit for human consumption; or (ii) are not traceable; or (iii) cannot be recalled if required; or (iv) do not meet an importing country requirement relating to the fish or fish products; or (c) results in, or is likely to result in, the issuing of an export permit or a government certificate in relation to prescribed fish or fish products for which there are no reasonable grounds; or (d) prevents, or is likely to prevent, an accurate assessment of whether the integrity of fish or fish products exported, or prepared for export, as food can be ensured; or (e) prevents, or is likely to prevent, an accurate assessment of whether fish or fish products exported, or prepared for export, as food: (i) are fit for human consumption; or (ii) are traceable and can be recalled if required; or (iii) meet an importing country requirement relating to the fish or fish products; or (f) prevents, or is likely to prevent, an accurate assessment of whether there are, or will be, reasonable grounds for issuing: (i) an export permit for the prescribed fish or fish products; or (ii) a government certificate in relation to the prescribed fish or fish products.