The best environmental choice in seafood Disclaimer If any interpretive issues arise in relation to the issues covered in these presentations, the text

The best environmental choice in seafoodThe best environmental choice in seafoodThe best environmental choice in seafood

DisclaimerIf any interpretive issues arise in relation to the issues covered in these presentations, the text of the English MSC Scheme Documents will prevail in all instances. The MSC is not responsible for any issues arising to any parties as a result of consulting these presentations. If you are unsure of any details on any of the subjects covered, please consult the relevant MSC scheme documents or contact the MSC at [email protected].

MSC Executive October2011

mailto:[email protected]

The best environmental choice in seafood

Chain of Custody surveillance audits

September 2011



Learning Objectives• To know how to comply with scheme

requirements• To be able to easily explain to your clients

what they need to do• Understand the procedure for determining

surveillance frequency


Agenda

• Scheme Requirements• What happens at a

surveillance audit?• What your client needs

to know• Surveillance frequency• Exercise

Photo: Tony Rotondas


Surveillance

Scheme requirements •Section 17.8

•Table B4: Risk Analysis to determine appropriate Levels of On-going Surveillance


Surveillance

• 17.8 Surveillance:

1. Scoring table2. Reduced level can happen at

any time between 10 and 18 months

3. Remote reduced for very low risk companies


• Table introduced because:

– Previous verification was in some cases disproportionally heavy in relation to associated risk

– Accounts for seasonal operations– Flexibility to arrange/organise audits– All companies are scored using the same criteria

Surveillance


Surveillance

During a surveillance audit, the CAB:• Checks continued conformity to the CoC

Standard, and• Checks use of MSC ecolabel • Records the list of products actually handled since

the last audit to update the MSC database.


Surveillance

Planned but also irregularly timed – 17.8.3 : CB shall have a documented system in

place for irregularly timed short-notice audits


What the client needs to know

1. Audit Frequency ranges from every 18 months to every 6 months

2. If Major nonconformity is raised, the level of frequency is enhanced

3. Show or explain the risk table

Photo: Blue Lotus

http://upload.wikimedia.org/wikipedia/commons/2/27/Chazuke_and_simmered_hijiki_seaweed.jpg


Surveillance Type & Frequency

1. Enhanced: Onsite once each 6 months

2. Standard: Onsite once each 12 months

3. Reduced: Onsite between 10-18 months from the date of certification

4. Remote reduced: Desk audit between 10-18 months from the date of certification


Surveillance

A desktop audit shall involve the same activities as onsite audits. (17.8.2)


Surveillance

17.8 CR :

Table B4: Risk factors are not exhaustive Table B5: Overlapping categories for some scores

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Table B4: Factors and scoring to determine surveillance frequency

Risk Factor Score

1. Activity See Table B2 Where more than one activity is undertaken, use the highest score only to add the total score

Trading (buying and selling) ( Activity 1) 4

Transport (Activity 2) 4

Storage ( Activity 3) 4

Wholesale and/or distribution of whole fresh fish in unsealed containers (Activities 4,5) 8

Wholesale and/or distribution of pre-packed products ( Activities 4,5) 4

Harvest (Activity 6) 8

Packing or repacking ( Activity 7) 15

Processing, contract processing ( Activities 8,9)

If there is a risk of handling non-MSC fish due to processing company’s geographic location in relation to non-MSC-certified fisheries of the same species which is considered:

20

high – add: 8

medium – add: 2

low – add: 0

Retailing/food service direct to consumers ( Activities 10,11) 8

2. Handling of Products

Company takes ownership of product and product is processed by one non-certified subcontractor For each additional non-certified subcontractor, add:

8 3

Company takes ownership of product and product is repacked by one non-certified subcontractor For each additional non-certified subcontractor, add:

6 2

Company takes ownership of product and product is stored and/or transported by one non-certified subcontractor For each additional non-certified subcontractor, add:

3 1

Company does not take ownership of the products and/or does not use non-certified subcontractors

1

3. Species Handled

Certified and non-certified same species on site at the same time 8

Certified and non-certified different species on site at the same time 4

Only certified species on site 1

No fish on site 0

4. Other certifications held by company for the last 12 months

None 4

Certified by credible third party CAB to a standard requiring traceability (BRC, IFS, SQF 2000, HACCP, ISO9001 etc.)

1

5. Company’s performance at most recently performed MSC audit

One or more major non-conformity found (or certification suspended in the last twelve months)

Use Enhanced surveillance

Three or more minor non-conformities found 8

One or two minor non-conformities found 4

No major or minor non-conformities found 0

6. Information from other audits and regulatory bodies

Prosecuted for failure to meet regulatory requirements Use Enhanced


Table B5Table B5: Frequency of surveillance audits

Score from Table B4 Surveillance Frequency Activity

50 or more Enhanced Surveillance

On-site once each 6 months

30 to 55 Standard Surveillance

On-site once each 12 months

16 to 35 Reduced Surveillance

On-site once at 10 -18 months from the date of

certification

15 or below Remote Reduced Surveillance

Desktop once at 10 -18 months from the date of

certification

The ranges in Table B5 intentionally overlap. Where this occurs (i.e a score of 30 – 35 or 50 – 55) CAB’s shall make the decision on which surveillance type to use, and shall record their reasons for decision



Summary

• Table B5: Overlapping categories for some scores

• Surveillance audits take place between 6 and 18 months

• A desktop audit involves the same activities as onsite audits.

• Planned but also irregularly timed


Please send comments, queries, suggestions to:Stefano.Minischetti@msc@org

Thank you