The best environmental choice in seafood

1. Disclaimer If any interpretive issues arise in relation to the issues covered in these presentations, the text of the 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 standards@msc.org. MSC Executive October 2010 The best environmental choice in seafood

2. Agenda item 10: Chain of Custody surveillance audits Evi Mateboer Supply Chain Manager

6. Objectives • Understand procedure; • Act in compliance with set requirements; • Able to easily explain to your clients what’s required, what the steps are.

7. Surveillance • Scheme requirements • Section 5.9: Surveillance Audits • Appendix A: Risk Analysis to Determine • Appropriate Levels of Ongoing • Surveillance

8. Surveillance • 3 main changes to App A: • Introduction of a scoring table • Reduced level can now happen at any time between 10 and 18 months • Remote reduced for very low risk companies

9. Surveillance • Why? • 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

10. Surveillance During a surveillance audit the CB: • Checks continued conformance to the CoC Standard, and • Checks use of MSC ecolabel (more on this later today) • Records the list of products actually handled ( Products Handled Schedule) since the last audit to update the MSC database.

11. Surveillance Planned but also irregularly timed • 5.9.4: CB shall have a documented system in place for irregularly timed short-notice audits

12. 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.

13. Surveillance A desktop audit shall involve the same activities as onsite audits. Section 4, App A

14. Surveillance Appendix A: Table 1: Risk factors are not exhaustive Table 2: Overlapping categories for some scores

15. Table 1: Factors and scoring to determine surveillance frequency

18. Activity Scenario A: A company based in Malaysia is involved in packing and re-packing of fish boxes at their premises in Kuala Lumpur. Following a successful initial CoC audit where no major or minor non-conformances were found, you will have to determine their ongoing level of surveillance frequency. The company sometimes uses a non-certified subcontractor. They currently handle MSC certified sardines and pollock and other local species. The company has 6 employees, does not use the MSC ecolabel and is certified against BRC. What level of surveillance frequency would you assign?

19. Activity Scenario B: ‘Seafood Direct’ is processing, packing and transporting MSC certified hake in South Africa for export to Europe. They also handle other non-certified white fish, but no South African hake. During the last surveillance audit, four minor non-conformances were found. Seafood Direct confirmed that they use two subcontractors that process for them. 12 employees may apply the ecolabel at different times. The company is HACCP certified. What level of surveillance frequency would you assign?

20. Summary • Table 1: Risk factors are not exhaustive • Table 2: 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

21. Thank you Please send comments, queries, suggestions to: Evi.mateboer@msc.org www.msc.org