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 12: Clarification Session TAB-12: Client changing CBTAB-16: Client suspension & withdrawal Anne Nistad Traceability Manager

3. Objectives • Understand procedure – should save time • Act quickly & in compliance with set requirements • Able to easily explain to your clients what’s required, what the steps are

4. TAB Directive 12: Clients transferring their certification to a new certification body

5. TAB Directive 12 Intent: • Clients are treated fairly and objectively • Clients cannot change CBs to avoid obligations to MSC requirements • All certificates maintain their integrity

6. TAB Directive 12 Key definitions: Succeeding CB: The certification body (CB) to which the client wishes to move. Client: Certification applicant or certificate holder. Current CB: The certification body (CB) to which the client is currently contracted.

7. TAB Directive 12 Key definitions: Transfer notice date: The date on which the client provided written notice to the Current CB of their wish to transfer certification bodies. Transfer date: the date agreed by both CBs on which all rights and obligations for maintaining the certificate shall be passed from the current to the succeeding CB

8. TAB Directive 12 General provisions Scope: when does it apply? • Valid certificate Scope: when does it NOT apply? • If CB ceases trading or loses its accreditation Unsure? Ask the MSC

9. TAB Directive 12 General provisions Process: Certificate cancelled either • 90 days from the transfer notice date • certificate expiry date • when new certificate is issued → whichever is earliest

10. TAB Directive 12 13 April: Transfer notice date 30 June: Old certificate cancelled & New certificate issued = Transfer Date 18 August: 90 days from TND 25 September: certificate expires

11. TAB Directive 12Key client requirements • Notify MSC in writing of intention to change CB • Provide the name of the current and succeeding CB • Authorise MSC and ASI to make relevant information available to the succeeding CB • Authorise and instruct current CB to provide succeeding CB with all relevant info • Notify all customers and relevant parties of changes to certificate number

12. TAB Directive 12Key requirements for current CBs • Disclose information that has a bearing on client’s compliance with the requirements for MSC certification to succeeding CB • Timely manner not to exceed 30 days, unless agreed by the client or the MSC • Allow certificate to remain valid for up to 90 days from the transfer notice date • Withdraw certificate on issue of new certificate by succeeding CB

13. TAB Directive 12Key requirements for succeeding CBs • Review reasons for transfer • Conduct and document a desk-based pre-transfer review • Consider all items in Section 5.1, especially - Status of outstanding non-conformances, corrective actions or conditions - Assessment and surveillance reports - Complaints received and actions taken - Stage in the current certification cycle

14. TAB Directive 12Key requirements for succeeding CBs (ctd) • If doubt exists after pre-transfer review, CB shall either: - Treat the applicant as a new client - Conduct an on-site assessment, focussing on problem areas, or - Decline to continue with the evaluation • Communicate with client re process, and agree a transfer date • Issue a new certificate (notify MSC 10 days in advance) • Expiry date same as initial expiry (unless new full assessment) • Original non-conformances and surveillance schedule – justify, document and communicate to MSC any changes

15. TAB Directive 12E-cert: ‘Certificate’ Tab Use Cancel/expire certificate buttonand give a reason in comment box Current CB: Succeeding CB: As with new client

16. TAB Directive 12Certificate codes on packaging • If the code used refers to current CB, the packaging must be changed • Client may use up existing packaging • Client may not print new packaging with the current CB’s number on it after receiving certificate from succeeding CB

17. TAB Directive 16: Direction for suspension, withdrawal and re-instatement of a CoC certificate

18. TAB Directive 16 Intent: • Consistency of approach • Focus is on situations where client cannot demonstrate fish comes from a certified source • Protect the integrity of CoC certifications

19. TAB Directive 16 Any suggestion that product being sold by a certified organisation as MSC certified when the fish does not come from an MSC certified fishery is serious.

20. Some examples of activities that would lead to suspension are: TAB Directive 16 • product replacement • unable to demonstrate that the product is from a certified source • mislabelling

21. Suggestion of misuse Investigation TAB Directive 16: Summary No evidence Evidence Suspend Reinstate Corrective Action Risk assessment < 6 months > 6 months 6 months Withdraw

22. TAB Directive 16 Length of suspension will depend on risk assessment: • Level of intent and/or • How systematically the integrity of the supply chain has been compromised

23. Client provides corrective action plan (CA) CA Plan to be completed, implemented and verified by the CB CB considers and client makes corrections TAB Directive 16Minimum requirements for re-instatement Enhanced surveillance Unannounced audit • Review sales and purchasing documents • Unannounced audits • Interviews On site audit Reinstate Withdraw

24. TAB Directive 16 Notification requirements 1. MSC is notified within 2 working days; 2. Client identifies all relevant existing and potential customers; 3. Client advises customers of suspension within 2 working days; ! Records of that advice are maintained.

25. TAB Directive 16Notification requirements (ctd) 4. MSC will advise all CBs of suspended or withdrawn certificates; 5. CBs are required to review each of their client’s suppliers list; 6. All relevant COC clients will be informed by MSC.

26. TAB Directive 12E-cert: ‘Certificate’ tab • STEP 1: • Use ‘Suspend’;‘Withdraw’ • Give a reason STEP 2: Use ‘Reinstatement’; ‘Withdraw’

27. Thank you Anne Nistad Anne.Nistad@msc.org Anne-S. Nistad Traceability Manager