MSC Chain of Custody Certification Certification Requirements

Transcription

1 Marine Stewardship Council MSC Chain of Custody Certification Certification Requirements DRAFT FOR CONSULTATION 01 August 15 September 2014 Guidance for use of this document Additions to or new requirements appear in teal text. (Minor edits are not all tracked. Where entire sections of new text are introduced, track changes are not always shown to aid readability. In these cases a comment box is used to signal new content) Deletions appear in blue comment balloons in the right margin. Consultation notes to stakeholders appear in grey comment balloons in the right margin. Consultation questions appear in grey comment balloons in the right margin. The content table below is hyperlinked. Please click on the section of interest to view changes. Note that guidance to the CoC CR is now included within the document in text boxes. This is not directly auditable by ASI and exists to provide clarification and address areas of concern to the MSC.

2 The content table below includes links to CR sections where key changes are proposed. Please click on the section of interest to view changes. Sections/clause affected Not applicable Not applicable (undefined) Not applicable (undefined) Need for certification (17.1) Interim certification (17.2.6) Under MSC Assessment Fish, Proposed new intent Forced labour eligibility criteria: An applicant or client that has been successfully prosecuted for a forced labour violation (as defined by the ILO) in the last two years shall not be eligible to proceed with certification. Please refer to section Definition of legal ownership: Issuing invoices related to the sale or purchase of certified products and collecting payment for the sale or purchase transaction of certified products. Please refer to section 6.1. Definition of unannounced surveillance audit: No prior notice of the actual date is given to the client, who has to allow site access to the auditor within 30 minutes of arrival. Please refer to section Clear exemption for entities that do take legal ownership of certified product but are included in a fishery or farm certificate and more straightforward instructions for determining which applicants require CoC as seen in section 6.1 Remove Table B3 as tool for demonstrating to MSC that there is no risk to certified product integrity and replace with more flexible, case-by-case approach justified by the certifier as seen in section Eligibility and verification of under assessment product will be Rationale for change Reflects the growing concern globally around the use of forced or compulsory labour in the seafood sector, a development to which the MSC on principle does not wish to have associated with its fishery and supply chain certificates Introduced definition that underpins the necessity for CoC certification More effective than announced surveillance, as even a few hours notice could allow a client deliberately substituting to conceal information. BRC uses this type of unannounced audit Inconsistency in how the need for certification is applied for fish auctions and entities taking ownership on behalf of fisheries and farms the simplified process should reduce misinterpretation and confusion Certifier feedback: Table B3 is unfit for purpose as it is mainly applicable to processors and other operators that physically handle product and its outcomes are unclear Stakeholder feedback: Current UMAF process is complex, difficult for Page B2

3 Sections/clause affected UMAF (4.9.6, 7.5.6, , , ) Subcontractors (17.3.3) CoC Group Scheme Entity Auditor (Table BBA5) Determination of Reduced Risk Groups (BB2.4, BB2.5) Proposed new intent aligned with the new conceptualisation as seen in section 7.1 Remove Table B3 as tool for determining whether subcontractors need a visit; replaced by activity-based instructions for frequency of visits and evaluation of compliance on or off-site as seen in section days auditing experience as a lead auditor for management system related standards and/or MSC group audits OR 50 days single/multisite CoC audits for MSC or equivalent standards OR Experience of leading a group audit for MSC or equivalent standards Please refer to Table 3 in section 5.1 Remove criteria for RRGs entirely and replace with Consumer- Facing Organisation requirements detailed in sections 6.3.4, 9.1, 9.2 and 9.3 Rationale for change auditors to verify and has shown negligible commercial advantages Certifier feedback: Table B3 is unfit for purpose and contract processors are not the only high risk operations. CR lacked evaluation instructions for subcontractor visits The 50 day requirement is too high, even when allowing MSC group audits to count towards this total. MSC granted eight auditors variations from four CABs who ranged from six to 37 group auditing days over the last 18 months. If these variations were not granted there would have been a significant constraint on the ability of CABs to provide group auditors in some regions Alignment with Group standard changes and introduction of the Consumer-Facing Organisation Standard Page B3

4 Proposed Structure 1. Scope 2. Normative documents 3. Terms and Definitions 4. Structural requirements 5. Resource requirements 6. Assessing certification Need for certification Certification options Eligibility criteria Scope of the certificate Determining use of subcontractors Audit planning 7. Single and Multisite Certification Requirements Evaluation Subcontractor evaluation Audit findings 8. Group Certification Requirements Sampling Evaluation Non-confomities Adding sites to the group 9. Consumer-Facing Certification Requirements Audit planning Evaluation Audit findings 10. Certificate management Certification decision Changes to the certificate Surveillance Re-certification Comment [LF1]: CONSULTATION NOTE: Structure has been heavily revised ORIGIN OF CHANGE: Aiming for a more logical, less fragmented flow that facilitates auditor and CAB work Page B4

5 Introduction 1 Scope The scope of the MSC s Chain of Custody (CoC) Certification Requirements is the activities that all CABs shall undertake in carrying out audits of organisations in the supply chain that wish to make a claim that the fish and/or fish product(s) they are buying or selling are from a well-managed and sustainable source that has been certified to the MSC s Fisheries Standard, or to other standards as approved by the MSC. Once an MSC-certified seafood product is placed into consumer ready tamper proof packaging requirements for certification cease to apply. Deleted: A Scope Deleted: Part B of MSC s Deleted: Principles and Criteria for Sustainable Fishing 2 Normative Documents The following documents contain provisions which, through reference in this text, become part of the MSC Chain of Custody Certification Requirements. For documents which specify a date or version number, earlier amendments or revisions of that document do not apply as a normative requirement. CABs are encouraged to review the most recent editions and any guidance documents available to gain further insight about how the document has changed, and to consider whether or not to implement latest changes. For documents without dates or version numbers, the latest published edition of the document referred to applies unless otherwise stated in this document In addition, the normative documents listed in MSC General Certification Requirements Section 2 also apply to implementation of the MSC Chain of Custody Certification Requirements. a. Single and Multi-site Checklist and Reporting Template b. Group Checklist and Reporting Template c. MSC Chain of Custody database user manual for CABs d. MSC-MSCI Vocabulary 3 Terms and Definitions All terms and definitions are defined in the MSC & MSCI Vocabulary Comment [P2]: CONSULTATION NOTE: Updated consistent with Fisheries Certification Requirements New document created with all terms and definitions. This used to be located as an Annex in Part A of the CR Comment [P3]: CONSULTATION NOTE.: Moved to Contract section 4.8 Deleted: 14 General Requirements <#>14.1 Contract The CAB s contract for certification shall include the requirement that the client conform to the MSC Chain of Custody Standard and all relevant elements of Annex BD: Additional Chain of Custody Requirements. G14.1 If potential clients have any further questions concerning MSC ecolabel use these should be directed to MSCI: ecolabel@msc.org Page B5

6 4 Structural Requirements No requirements additional to ISO Guide 65, IAF Guidance to ISO Guide 65 and MSC General Certification Requirements. 5 Resource Requirements 5.1 Personnel GUIDANCE: This section details the additional competency and qualification criteria for CoC auditors, group CoC auditors and CAB lead CoC auditors as referred to in section 6.1 of the General Certification Requirements CABs shall ensure that at least one of their CoC auditors is designated as the CAB lead auditor CABs shall verify that the CAB lead auditor has the qualifications and competencies detailed in Table 2 in addition to those listed in Table CABs shall ensure that the CAB lead auditor(s) mentors and/or trains all other CoC auditors at the CAB to ensure they are familiar with third party management system conformity assessment auditing techniques CABs shall appoint auditors for Consumer Facing Organization (CFO) certification that have completed the CFO online training module in addition to complying with Table 1, except: New CoC auditors shall not audit CFOs and therefore only auditors that comply with 4.a in Table 1 shall audit CFOs For Group CoC clients, CABs shall require that auditors who audit the central office s operations comply with: CoC Auditor qualification and competency criteria detailed in Table 1; and CoC Group Scheme Entity Auditor qualification and competency criteria detailed in Table The CAB shall appoint auditors for site audits under Group certification who comply with Table Where there is more than one auditor conducting an MSC group audit, at least one auditor shall meet each of the requirements in Rows 1, 2 and 3 in Table CABs shall ensure that CoC auditors audit an individual client for a maximum of six consecutive years and appoint an alternative auditor in the seventh year. GUIDANCE: The intent of this requirement is that the original auditor would not be able to return to auditing the organisation concerned for at least one complete certification cycle. A change in CoC auditor after a set time period or number of audits is considered best practice in many auditing fields. It helps to remove any real or perceived bias from the auditing process created by the use of the same lead auditor for a large number of consecutive CoC audits. By introducing an alternative auditor they will be able to carry out the audit with a fresh set of eyes thereby giving stakeholders greater confidence in the rigour of the audit process. The six year period could include an initial audit, two surveillances, a re-audit and Deleted: CABs shall require that auditors who audit the group entity s operations comply with Deleted: are qualified to perform certification audits for individual CoC certificates to perform site audits. Page B6

7 two further surveillances before the auditor would need to be changed. Table 1: CoC Auditor Qualification And Competency Criteria 1. General Qualifications a. 5 years work experience including 2 years food-related, in supply chain management, science, traceability or policy development, or b. Degree or equivalent in business, economics, science or technical programme and 3 years work experience including 2 years food-related, in supply chain management, science, traceability or policy development. Examples of technical qualifications include: supply chain and logistics management, food/seafood science and fisheries science. Competencies i. To demonstrate: knowledge of food safety or quality systems management, product or supply chain risk assessment, traceability systems and relevant national and international laws relating to product labelling and traceability. ii. An understanding of: fish and fish products and their supply chains and the type of supply chain operation to be audited. iii. The ability to successfully manage relationships with colleagues and clients. Verification Mechanisms CV Previous employer s reference letter CAB appraisal Diploma or certificate Work experience 2. Third-Party Product And Management System Conformity Assessment Auditing Techniques Qualifications None applicable Competencies i. The ability to apply appropriate audit principles, procedures and techniques to the planning and execution of different audits so that audits are conducted in a consistent and systematic manner. ii. Be able to verify the accuracy of collected information and be aware of the significance and appropriateness of audit evidence to support audit findings and conclusions. iii. Understand and assess those factors that can affect the reliability of the audit findings and conclusions Verification Mechanisms Page B7

8 CAB training records Previous audit reports ASI witness or office audits CAB witness audits 3. Understanding Of MSC CoC StandardAnd MSC Coc Certification Requirements Qualifications a. Pass MSC s CoC auditor training course every three years b. Pass MSC s annual auditor training on updates to the CoC certification requirements by the end of June each year. Competencies The ability to: i. Describe the intent and requirements of the CoC standard ii. Determine who needs Chain of Custody and demonstrate this practically iii. Determine where the Chain of Custody begins and ends iv. Determine the point at which fish or fish products first enter the certified chain of custody v. Describe the main steps in the MSC CoC on-site audit vi. Demonstrate an understanding of the information required for entry into the MSC database vii. Use the supplier search function on e-cert viii. Identify and assess potential physical risks to loss of traceability during food production, handling, preparation, storage and transportation throughout the chain ix. Demonstrate an understanding of the principles of the CoC standard relevant to HACCP or other food management systems x. Assess the effectiveness of traceability systems employed by organisations for controlling the risks identified xi. Assess the adequacy of records to confirm the volumes of certified inputs and outputs over a given period xii. Recognize the risks of compromising traceability associated with different fish species xiii. Assess whether conversion rates for certified outputs and inputs given are realistic where processing or packing / re-packing occurs xiv. Assess if clients are using the MSC ecolabels in conformity with ecolabel licence agreements xv. Demonstrate an understanding of the rules on using not MSC certified seafood ingredients. xvi. Verify that companies handling MSC product on behalf of certificate holders are covered either: a) by their own certification or b) have signed a contract with the certificate holder as sub-contractors, in accordance with the CoC Standard xvii. Describe how to conduct an audit when certified product is not on-site xviii. Demonstrate an understanding of the concept of under- assessment fish xix. Demonstrate an understanding of the procedure for determining surveillance frequency xx. Demonstrate an understanding of how to grade non-conformities xxi. Describe: the different steps in the fisheries assessment process where to find sources of information about which fish can enter chains of custody and which clients / client groups can sell certified fish and can handle and/or sell Under MSC-Assessment Fish. Verification Mechanisms Examination pass ASI witness or office audits CAB witness audits 4. Audit Experience Qualifications Page B8

9 a. Have undertaken 4 initial or surveillance MSC CoC audits or audits for equivalent standards, or b. For new CoC auditors: Witness or participate in two MSC CoC audits or audits for equivalent standards and Conduct at least two satisfactory MSC CoC audits or audits for equivalent standards under the direction and guidance of a competent lead auditor prior to undertaking solo audits. GUIDANCE: Equivalent standards are those which include a significant component of traceability incl GFSI-approved standards, GlobalGAP aquaculture standard and ISO Competencies The ability to: i. Identify and find the location of the information required for undertaking and completing each assessment /audit. ii. Reconcile document discrepancies and investigate the causes of these. iii. Detect commonly used methods of document manipulation, fraudulent actions and fraudulent practices. Verification Mechanisms CAB records Previous employer s reference letter ASI witness or office audits CAB witness audits Previous audit reports 5. On-Going Audit Participation Qualifications a. Should participate in three MSC CoC audits every 18 months which can include the audits listed in 4 above. Competencies The ability to: i. Identify and find the location of the information required for undertaking and completing each assessment /audit. ii. Reconcile document discrepancies and investigate the causes of these. iii. Detect commonly used methods of document manipulation, fraudulent actions and fraudulent practices. Verification Mechanisms CAB records Previous employer s reference letter ASI witness or office audits CAB witness audits Previous audit reports 6. Auditor Training Qualifications Had an MSC audit or audit for equivalent standards which include a significant component of traceability peer witnessed by a qualified MSC lead auditor no less than once in each three (3) year period where the peer witness may be part of the audit team GUIDANCE: Equivalent standards are those which include a significant component of traceability incl GFSI-approved standards, GlobalGAP aquaculture standard and ISO Page B9

10 Competencies None applicable Verification Mechanisms CAB Training records CAB witness audits ASI Auditor Register 7. Communication & Stakeholder Facilitation Skills Qualifications a. Experience in applying different types of interviewing and facilitation techniques Competencies i. The ability to effectively communicate with the client and other stakeholders Verification Mechanisms CV CAB records ASI witness or office audits CAB witness audits Table 2: CAB Lead Auditor Qualification and Competency Criteria Third-Party Product And Management System Conformity Assessment Auditing Techniques Qualifications a. Pass IRCA / RABQSA recognised EMS / QMS or GFSI-approved standards or HACCP lead assessor training course, or b. Registration and EMS / QMS auditor with IRCA or RABQSA, or c. Pass a course on auditing based upon ISO with a minimum duration of 3 days Competencies i. The ability to apply appropriate audit principles, procedures and techniques to the planning and execution of different audits so that audits are conducted in a consistent and systematic manner. ii. Be able to verify the accuracy of collected information and be aware of the significance and appropriateness of audit evidence to support audit findings and conclusions. iii. Understand and assess those factors that can affect the reliability of the audit findings and conculsions. iv. Be able to manage a CoC audit team in accordance with MSC requirements. Verification Mechanisms Certificate of passing auditor training course recognised by a reputable auditor registration organisation e.g. IRCA, RABQSA Previous audit reports ASI witness or office audits CAB witness audits Page B10

11 Table 3: CoC Group Scheme Entity Auditor 1. Group Audit Training Qualifications Comment [LF4]: CONSULTATION NOTE: Moved here from Annex BB to keep all personnel requirements together a. Pass MSC s group CoC auditor training course every three years. b. Pass MSC s annual auditor training on updates to the CoC group scheme entity requirements by the end of June each year. Competencies - Ability to: i. Demonstrate an understanding of the requirements for group chain of custody ii. Assess conformity against the requirements including those in section 8 iii. iv. Verification Mechanisms Describe the key steps in a group CoC audit Determine the appropriate sample size for groups and demonstrate an understanding of the associated risks Deleted: Annex BC Examination pass ASI witness or office audits CAB witness audits CAB training records 2. Management Systems And Reference Documents Qualifications a. 10 days auditing experience as a lead auditor for management system related standards and/or MSC group audits, or b. 50 days single/multi-site CoC audits for MSC or equivalent standards, or c. Experience of leading a group audit for MSC or equivalent standards GUIDANCE: Management system related standards in this context means standards where there is a high degree of reliance on management systems to ensure product conformity. These standards include requirements for internal audits, a management review and self-corrective action to address any problems identified in the audit and review such as ISO 9001 and Comment [LF5]: CONSULTATION NOTE: Auditing experience amended ORIGIN OF CHANGE: 50 days is too high, even when allowing MSC group audits to count. Please refer to the New Version of the CoC Certification Requirements paper for more details. Equivalent standards are those which include a significant component of traceability including: GFSIapproved standards, GlobalGAP aquaculture standard and ISO Competencies - Ability to: i. Show a detailed knowledge of management systems standards, applicable procedures or other management systems documents used as audit criteria. ii. Apply management systems principles to different organisations and to understand the interaction between components of the management system. iii. Understand and act upon differences between and the priority of reference documents and understand the need to apply specific reference documents to different audit situations. iv. Demonstrate knowledge of information systems and technology for authorisation, security, distribution and control of documents, data and records. Verification Mechanisms Page B11

12 CVs Previous employer s reference letter ASI witness or office audits CAB witness audits 3. Audit Experience Qualifications - Prior to undertaking solo group audits either: a. Have led at least one group audit for MSC or equivalent standards OR b. Witness or participate in one MSC CoC group audit or group audit for equivalent standards under the direction and guidance of a competent MSC group entity auditor GUIDANCE: Equivalent standards are those which include a significant component of traceability including: GFSI-approved standards, GlobalGAP aquaculture standard and ISO Competencies None applicable Verification Mechanisms ASI witness or office audits CAB witness audits CAB training records Page B12

13 6 Assessing Certification Requirements 6.1 Need for certification The CAB shall work with each applicant to determine the need for certification using the criteria below: Certification is a requirement for all organisations that take legal ownership of certified products GUIDANCE: Organisations are considered to take legal ownership if they issue invoices related to the sale of certified products and collect payment for the sale of certified products, or are able to demonstrate their financial ownership of certified materials based on other documentation (such as internal transfer slips or deeds) Applicants that take legal ownership of certified products do not require certification if they meet one of the criteria below: a. Organisations that only purchase, handle, and sell certified products in consumer ready tamper-proof packaging (CRTPP) i. CABs shall use the decision tree in Figure 1 to verify whether products are in CRTPP b. Organisations that receive certified product in CRTPP and open the package only for the purpose of heating or placing on a plate before serving to a final consumer c. Entities that are included in a fishery or farm certificate GUIDANCE: Entities included in a fishery certificate could consist of agents, auctions, unloaders or others that handle certified fish in the proximity of the point of landing or first sale. The Public Certification Report for the fishery or farm must clearly state that these entities are included in the fishery/ farm certificate and either list the specific entities, the eligibility criteria, or where to find this information. The fishery/farm Public Certification Report should also clearly state the point in the supply chain from which Chain of Custody is required. Comment [LF6]: CONSULTATION NOTE: Section 17.1 is now section 6.1. Although the majority of the text has been deleted the intent has only been marginally affected CHANGE: All clauses in section 17.1 from to deleted ORIGIN OF CHANGE: Inconsistency in how the need for certification is applied for fish auctions and entities taking ownership on behalf of fisheries and farms the simplified text should reduce misinterpretation and confusion Deleted: confirm Applicants that do not take ownership can choose to become certified if they wish Page B13

14 Start Is the product intended to be presented as such to the ultimate consumer? No Yes Is the product fully or partially packed? No Is the product identified as MSC by a tag? No Yes Yes Can the packaging be opened? No Yes Can the packaging be opened and resealed without altering the integrity of the product? Yes No Tamper Proof: The product is considered consumer ready tamper proof. Yes Is the product identified as MSC by a mark that cannot be removed or if removed cannot be used? No Not consumer ready tamper proof: CoC certification is required for the company that purchases this product to apply the MSC ecolabel. Figure 1: Decision tree for consumer ready tamper proof packaging 6.2 Certification options The CAB shall determine which of the certification options specified in Table 4 the applicant is eligible for. Page B14

15 Table 4: Options for certification Certification option Applies to 1 Single Any potential client operating out of one site (a single location with one physical address). 3 Multi-site Any potential client handling or trading certified products on more than one location (physical address). All sites are individually audited although not all CoC requirements would necessarily apply to all sites and one CoC code and certificate are shared across all sites. 4 Group Any potential client defined as groups of individual enterprises or multiple site organisations that wish to receive one certificate but are audited on a sample basis by the CAB, in which case the designated central office takes on more responsibility and control 5 Consumer-facing Any potential client that serves or sells seafood exclusively to the final consumer (retail or foodservice) 6 Interim Exceptional circumstances only but open to all potential clients when an immediate on-site audit is not practicable.. A CAB can award an interim certificate for up to 3 months during which period the initial audit must be conducted. Deleted: that has more than one site and wishes for all sites to be individually audited but receive one certificate. Deleted: that are low risk Deleted: either Deleted: nor necessary 6.3 Eligibility Criteria Single and Multi Site certification The CAB shall determine if the applicant is a: Single-site operation that only handles or trades certified products at one physical location or GUIDANCE: Any potential client that intends to buy and sell certified product and make a claim about the certified status is eligible to apply for single CoC certification with an accredited CAB Multi-site operation that handles or trades certified product in more than one physical location. Eligibility for group certification The CAB shall determine the applicant s eligibility for group certification through verifying that all the following requirements are met: Deleted: <#>If the applicant is a multi-site operation, the CAB shall agree with the applicant one of the following options: <#>Each site shall be individually audited and a certificate issued for each site (single site CoC) <#>Each site shall be individually audited and a single certificate issued for all sites (multi-site CoC), or Group certification requirements will be applied (group CoC). <#> Where two or more legal entities apply for a multi-site certificate, the CAB shall sign a contract with all legal entities. Comment [LF7]: CONSULTATION NOTE: MOVED From Annex BB Deleted: prior to its acceptance, including that the Page B15

16 a. The proposed group s central office is a legal entity with whom a contract can be made. b. All sites undertake substantially similar activities as defined by MSC Chain of Custody activities (see Table 5); or if they do not, the group can be satisfactorily stratified for sampling. c. The entire group operation is within one geographic region; or if they are not, the group can be satisfactorily stratified for sampling. d. The same written language is used at all sites and can be read by all site managers or, if translations are provided, adequate document control procedures are in place. e. The proposed group s central office is capable of impartiality in audit and decision making. f. The proposed group s central office can demonstrate through their application an understanding of group CoC requirements such that it is likely that they will be able to qualify for certification Group CoC Certification shall not be applied in cases where aquaculture operations seek MSC CoC certification. Eligibility for Consumer-Facing Certification The CAB shall deterimine an applicant is eligible to be certified against the CFO standard through verifying that the organisation meets all the following requirements:: a. Sells or serves certified seafood exclusively to final consumers. i. The exception to this are retailers or cash and carry operators that could sell to a mix of consumers and small businesses, but where the majority of their customers are final consumers. b. Does not carry out any Processing, Packing or Repacking, or Contract Processing activities in relation to certified seafood, as defined in Table 5. c. Carries out at least one of the following activities as defined in Table 5: Retail to consumer or Restaurant / take away to consumer d. If the organisation has more than one site handling certified seafood: i. All sites are under the control of the central office s management system ii. The central office has an ownership or franchise relationship with each site, or a temporary right to manage all sites where certified seafood is handled. iii. Purchases of certified seafood are controlled by the central office, with controls to ensure that all sites can only order certified seafood from certified suppliers Guidance: An organisation with any number of sites can apply for certification against the CFO standard, although some requirements will not be applicable for single-site organisations. Examples of organisations that might be eligible for CFO certification include retailers with fresh fish counters, caterers, independent fishmongers or restaurants, and restaurant chains. Businesses such as cash and carry wholesaler/ retailer operations that may sell to small businesses as well as to individuals are also eligible to be certified Deleted: how document control procedures address the method of ensuring that versions are kept synchronised and consistently implemented Deleted: meeting the test for Deleted: scheme Deleted: for ASC scope Comment [LF8]: CONSULTATION NOTE: New eligibility for the proposed new CFO standard Comment [LF9]: CONSULTATION NOTE: Work in progress. We will review definition after consultation and based on consultation feedback Page B16

17 against the CFO standard. Eligbility for Interim Certification The CAB shall determine if the applicant is seeking interim certification If interim certification is being sought, the CAB shall verify that there are: a. Exceptional circumstances b. It can be demonstrated that: i. The initial audit prior to certificate issue are impractical. ii. The risks to the integrity of certified products are minimal. GUIDANCE: The interim certification option is available in cases where there are exceptional circumstances that make it impossible or highly impractical to carry out an audit t prior to allowing the applicant to sell fish or fish products. Permission for interim certification may be granted by the MSC (on the basis of a recommendation from the CAB) for up to 3 months providing that the risk is low and adequate controls are in place If the CAB is satisfied that interim certification is appropriate it shall: a. Inform the applicant that the MSC is not responsible for any costs associated with lapsing of an interim certificate prior to a CoC certificate being obtained. b. Apply for an interim certification on the MSC database, providing the MSC with the following: i. The proposed scope of certification. ii. A written justification of the circumstances are exceptional which would prevent an audit being conducted prior to certification iii. A risk assessment which considers all possible risks of substitution or mislabelling between certified and non-certified products, and how these risks will be managed. iv. A full timetable for further action, including timing of audit(s) to be held within 3 months. c. Once the MSC has decided whether to allow the interim certificate or not, the CAB shall inform the client of this outcome. Other eligibility criteria The applicant shall not include an entity that has been successfully prosecuted for a forced labour violation in the last 2 years. a. If an entity that belongs to a certified client group is prosecuted for violations of laws on forced labour, such entity shall be considered as having become out of scope and shall be withdrawn from the certificate or client group. GUIDANCE: Ensuring that the CoC applicant or fishery seeking certification does not Comment [LF10]: CONSULTATION NOTE: Section has been created from clause ORIGIN OF CHANGE: Interim was buried in scope 17.2, which was not the optimal location Deleted: verify Deleted: On-site a Deleted: the MSC ecolabel Deleted: it is not practicable to perform a complete on-site audi Deleted: certified fish or fish product(s) into the CoC Deleted: and manageable. Deleted: as to why Deleted: immediate on-site audit is not practicable. Comment [LF11]: CONSULTATION NOTE: Table B3 removed ORIGIN OF CHANGE: Table B3 is unfit for purpose as it is mainly applicable to processors and other operators that physically handle product and its outcomes are unclear Deleted: certified product being substituted with certified product, and The results of a risk analysis carried out using Table B3: Risk Assessment for Interim Certification Deleted: to demonstrates that the likelihood of CoC failure is minimal. Deleted: on-site Comment [LF12]: CONSULTATION NOTE: Section is new ORIGIN OF CHANGE: Reflects the growing concern globally around the use of forced or compulsory labour in the seafood sector, a development to which the MSC on principle does not wish to have associated with its fishery and supply chain certificates Page B17

18 include an entity that has been successfully prosecuted for violations against forced labour laws: o The ILO definition of forced labour comprises two key elements. Work or service is exacted under the menace of a penalty, which can imply monetary sanctions, physical punishment, or the loss of rights and privileges or restriction of movement (e.g., refusing to allow free access to identity documents); Work is not voluntary. o Other unethical practices considered by the ILO to fall under the category of forced labour include debt bondage, human trafficking and other forms of modern slavery. In order to ensure that a certified entity does not fall out of scope on account of forced labour violations, companies, fishery client group members and their subcontracted parties should ensure compliance with national and international laws on forced labour and follow relevant guidance where available. 6.4 Scope of the certificate Having established that CoC certification is required or requested by the applicant, the CAB shall define the proposed scope of the certification with the applicant by identifying: a. The certified species that are to be sourced/ sold. b. The activities to be undertaken with respect to certified products, as per the definitions found in Table 5. c. Whether the applicant intends to handle products certified under other standards, in addition to the MSC, which share the MSC s Chain of Custody standards Species and activities shall be recorded without association to each other GUIDANCE: Certified fisheries do not need to be included in the scope of certification. Where applicants intend to handle products originating from fisheries or farms that are certified under schemes other than the MSC (but which share the CoC standards) this will be treated as a scope extension. For example, if the applicant wants to handle ASC-certified products, the CAB will need to issue a separate ASC certificate for the client The CAB shall confirm the proposed scope of certification with the applicant. Comment [CR13]: CONSULTATION NOTE: New, generic wording of Deleted: <#> A If the applicant or certificate holder requests scope to handle under- MSC--assessment products, the specific fisheries or farms from which this product under-mscassessment fish (UMAF) will be sourced shall also be listed in scope. <#> Certified fisheries do not need to be included in the scope of certification. Scope for under-msc--assessmentfish (UMAF) p products shall include the species for each underassessment fishery or farm. Deleted: 1 <#>If the applicant is handling or intends to handle products from ASC-certified aquaculture operations the CAB shall apply Annex BE for audits of the ASC scope elements. <#> Page B18

19 Table 5: Activity Scope Definitions Activity 1 Trading fish (buying/selling) Definition This will likely be in nearly every company's scope, with the exception of contract processors that do not take legal ownership of the product. In most instances, an additional activity will also be selected for this client, unless they are solely a 'trader'. If they will take possession, they will also need to have 'storage', 'wholesale' or 'distribution' selected. 2 Transportation Transportation companies are not required to be certified for CoC, unless they also take ownership. In some cases, however, using a transport company could increase the risk to such a level that you would require your client to ask a company to be certified - for example a vessel involved in transhipping. 3 Storage This refers to product being held in a storage area by a company before processing/distributing/selling it and after processing it. This will also likely be included in many of the clients' scopes as they will be storing fish before processing/distributing/selling it and after processing it. 4 Distribution Distribution shall be used for companies that receive sealed containers, pallets, etc., that may or may not be broken down into smaller sealed units, and DELIVER them to customers or other members of their group. I.e. they take possession, but not ownership. 5 Wholesale Wholesale shall be used for companies that receive sealed containers, pallets, etc., that may or may not be broken down into smaller sealed units, and SELL them to customers or other members of their group. I.e. they take ownership and possession. 6 Harvest This shall be used when the fishing vessels are being certified. If they are processing on board, processing should also be recorded. 7 Packing or repacking This shall be used when the packaging is changed but the product remains the same. It is assumed that companies processing will also be packing, so it is not necessary to select packing as well as processing. If there is a company that is receiving product from a processing company for the sole reason of packing it into a specific type of pack, they should be selected here. 8 Processing To include all examples of processing including primary processing, secondary processing, value added processing, fish preparation or any other activity where the product is changed (excluding activities undertaken by 10 or 11 below). Primary processing the first time seafood is changed from its original form as it was harvested. This includes heading and gutting, filleting, de-scaling, shelling etc. Secondary processing After primary processing, subsequent changes are made to the form of the seafood. This includes preparation of the seafood with other ingredients to manufacture products for foodservice or retail such as breading, adding sauces Page B19

20 Activity 9 Contract processing 10 Retail to consumer 11 Restaurant / take away to consumer Definition or breaking down the seafood into smaller components (e.g. loins, mince, oil etc.) Preservation the long term conservation of seafood. This includes smoking, drying, canning and freezing. This can be done at both primary and secondary processing. Other processing please specify. This refers to processing as above, but by companies that do not have ownership of the product. This includes fresh fish counters at retailers, fish mongers, markets selling direct to consumers, etc. where the product will be taken away and prepared before being eaten by a consumer, or when sold in a traditional 'retail' environment. This includes any foodservice situation fish and chip shops, standard restaurants, quick service restaurants, etc. where the product is prepared on-site and sold directly to consumers as 'ready to eat', or eaten on-site. when sold in a traditional 'restaurant' environment. 12 Other Must be clearly defined and explained how it does not fit into another category 13 Aquaculture The farming of aquatic organisms (see full definition in Annex AA) 6.5 Determining use of subcontractors If the applicant intends to use subcontractors that would take physical possession of certified product, excluding transportion companies, the CAB shall request information from the applicant to determine: a. Whether the subcontractors have their own CoC certification b. Which activities the subcontractor carries out as per Table c. Whether the subcontractor requires a site visit as per section For non-certified subcontractors, excluding transportation, the CAB shall plan to undertake a site visit if required as per section Audit planning GUIDANCE: This section is only relevant for single, multi-site and group certificates. Audit planning for Consumer-Facing Organisatons should follow section The CAB shall, within 10 days of receiving a signed contract for certification record the applicant on the MSC database. GUIDANCE. The CAB may give the applicant their assigned MSC CoC certification Code at Comment [LF14]: CONSULTATION NOTE: Associated guidance on scope for some types of operators has not been included. Should we? Comment [LF15]: CONSULTATION NOTE: Clause deleted ORIGIN OF CHANGE: Under assessment product has been removed from scope Deleted: <#>The CAB shall verify if under-msc-assessment product is to be handled. If under-msc-assessment product is handled the CAB shall accept it as being within scope if one or more of the following applies to the applicant: <#>a. Takes ownership of the fish before it is preserved. <#>Is the first company that preserves the fish. <#>Has a system to ensure that all references to the underr-msc-assessment status are removed when the product is sold before the fishery is certified and either: <#>Buys product directly from the first company that preserves the fish, or, <#>Is the first company in the chain of custody that buys directly from the under-mscassessment fishery that preserves the fish. <#>A CAB may list a fishery under-msc-assessment on a certificate holder s under- MSC-assessment schedule, provided that: <#>a. The certificate holder obtains documentation (i.e. fishing records, landing documentation, sales invoices, chain of custody certificate (if relevant)) to enable the CAB to review and track all potentially eligible shipments of relevant fish back to the point of landing. <#> b. The CAB is, on the basis of the documentation provided under a), able to trace the catch back to the fishery and the date of capture. Comment [LF16]: CONSULTATION NOTE: Clauses and refer to subcontractors ORIGIN OF CHANGE: Not fit for purpose as determined by Audit Process project Deleted: The CAB may exclude low risk sites and/or subcontractors from an on-site visit. Comment [LF17]: CONSULTATION NOTE: Table B3 Risk assessment for interim certification/subcontractor removed ORIGIN OF CHANGE: Table B3 is unfit for purpose and contract processors are not the only high risk operations Page B20

21 this stage or at any stage upon request Before initial certification, the CAB shall inform the client that it can only sell the certified products within the scope of its certificate as certified or with the MSC trademarks once the certificate details appear on the MSC website Once featured as an applicant on the MSC database, the CAB shall inform the client that it can apply to use the MSC trademarks: a. Once an MSC ecolabel license agreement has been signed, and b. Providing the client complies with the MSC ecolabel licensing agreement The CAB shall direct the client to MSCI for all enquiries regarding use of the MSC trademarks: Deleted: trade Deleted: MSC- GUIDANCE: The CAB may inform the client that packaging can be printed ahead of certification with the MSC trademarks, but that products cannot be sold as certified or with the MSC trademarks until certification is complete and the certificate status is shown as valid on the MSC website The CAB shall plan on-site and off-site audit activities taking account of: a. The proposed scope GUIDANCE: Potential clients are not required to have identified all the suppliers of the products and are not required to have purchased all of the products listed in the potential scope at the time of the audit. b. The management system used by the client c. The certification option the client is eligible for d. The need to allow sufficient time to verify the effectiveness of the client s management system for the proposed scope. e. Visits to subcontractors as per section 7.2 f. Any other certifications held. g. Opportunities to synchronise and combine CoC audits with other on-site audits where possible and appropriate The CAB shall make travel plans to visit all clients on-site, except: Single site operators who only trade (buy and sell) seafood are eligible to become certified through a remote certification audit, (rather than an on-site audit as specified in ), provided they meet the following criteria: a. Do not engage in any activities other than trading (buying and selling) as defined in Table 5. b. Do not list any subcontractors on their MSC certificate, except for subcontractors that only provide transportation and storage services, as defined in Table 5. GUIDANCE: A trading operation within a multi-site certificate which meets this criteria may be audited remotely Page B21

22 6.6.7 CABs shall propose an audit duration for the applicant considering the following factors: The proposed scope of certification The scale and complexity of operation, including the number of sites Number and type of subcontractors to be visited The potential for substitution between certified and non-certified products CABs shall plan an audit lasting a minimum 1.5 days on-site for clients meeting all the following: GUIDANCE: This does not include time taken to visit subcontractors or completing the audit checklist off-site Processing or contract processing in their scope as per Table Located in a country with a score below 41 in Transparency International s latest Corruption Perception Index ( Purchase in excess of 5,000 MT of seafood or more than 20 seafood batches annually GUIDANCE: If a company handles only 100MT annually but 20 batches this still applies. If the company handles 5,000MT but only in one batch this still applies Do not use an electronic batch traceability system to cover all internal movements of products and volumes The CAB may verify if the client holds other certifications issued by an MSC accredited CAB to a relevant nationally or internationally recognised standard If the applicant does hold certifications the CAB may use this as a substantive indication of conformity with relevant elements of the MSC CoC standard by: a. Undertaking a gap analysis of the differences between the MSC CoC standard and the other standard. b. Using knowledge of conformity demonstrated by the other certification to support the CAB s audit and certification decision. GUIDANCE:The CoC combined audit option allows a CAB to combine the MSC audit with an audit for an existing certification against a recognised national/international food safety standard. It has been recognised that elements of the MSC Chain of Custody Standard are covered in those recognised standards and that the CAB may have already audited those elements. A second audit to satisfy MSC requirements may be unnecessary. In these instances the MSC or the CAB provides a gap analysis for each recognised standard, which identifies the additional requirements of the MSC Chain of Custody Standard that are not contained in the recognised standard. CABs may use this gap analysis to create new/revise existing audit documentation to assist in conducting the audit. Page B22