MSC CoC Audits Checklist Webinar Training for CABs · PDF fileMarine Stewardship Council MSC...

Marine Stewardship Council

MSC CoC Audits Checklist

Webinar Training for CABs

February – March 2014

If 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

Disclaimer

mailto:[email protected]

Purpose of this training

To provide certifiers with information and induction

which help you to conduct CoC audits for applicants

and already certified clients using MSC CoC

Checklist

1. General induction and background 10 min

2. Working with Single/Multisite

Checklist 45 min

Questions 10 min

3. What is a Group Checklist 15 min

Questions 10 min

4. Example of FAQ 10 min

5. Questions and answers 30 min

6. Conclusions and summing up 5 min

Agenda

1. General Introduction and Background

• The MSC CoC Audit Checklist was

initially released in January 2013 as a

non-mandatory document

• The aim of the checklist was to improve

the consistency and quality of CoC

audits

• In 2013 the checklist was voluntarily

adopted by 12 out of 24 CABs (over

60% of certificates) – with good

feedback from CABs

• During 2013, the MSC worked

extensively with CABs to incorporate

their feedback and improve the

checklist

Background

• During 2013, the MSC consulted

on the option of making the

checklist mandatory

• September 2013, the MSC held a

CAB workshop to discuss making

the checklist mandatory:

• Out of 10 CABs participating, 7

were in favour of the proposed

policy change

• All CABs that did not support this

change have been consulted with

individually, and agreed they could

implement the checklist if

mandatory

• Late stage consultation feedback

also supported making the

checklist mandatory, provided

that initial issues (such as IT

problems) were addressed

Consultation

The MSC CoC Audit Checklists will

now become mandatory for all

CABs to use for CoC audits (for

both MSC and ASC)

There will be two versions:

• Single/Multi-site CoC

• Group CoC

The checklist can also be downloaded by

clients and used to prepare for an audit

Core requirements

Assessment Information: Detail

Organization Name*

Other Name/s of the organization

Auditor (Title/Name/Surname)*

CAB Name*

Date of audit (dd/mm/yyyy)*

Audit time start (hh:mm)*

Duration of the audit (hh:mm)*

Date of previous audit (if applicable) (dd/mm/yyyy)

MSC Certificate number (if applicable)

ASC Certificate number (if applicable)

Issue date (if applicable) (dd/mm/yyyy)

Expiry date (if applicable) (dd/mm/yyyy)

Previous certificate number/s (if applicable)

Type of Audit Detail

MSC (Y/N)*

ASC (Y/N)*

Initial (Y/N)

Surveillance (Y/N) (specify 1st, 2nd…)

Re-certification (Y/N)

Other (short notice, irregularly timed…) - specify

MSC/ASC Responsible of the organization Detail

Title*

Name*

Surname*

Job title

Phone*

Mobile

Fax

Email*

Site Address (site being audited)** Detail

Country*

County/State

Municipality* (city or town)

Address line 1*

Address line 2

Address line 3

Post code*

Other Detail

Is the site already certified for other standards (if yes,

list)

Are there other COC certified companies registered at

the same address? (if yes register COC code)

Considering feedback from CABs further improvements since last year

v 1.0 have been incorporated into v 2.0:

• No locking of spreadsheet - users can add rows or columns but are

encouraged not to delete any content.

• Added option to customize the checklist such as branding, set print

areas and adding tabs.

• Better printing if report is provided to client

• Improved compatibility with Excel 2007 and Mac computers with the

removal of Active X controls.

Changes in Checklist v1.0 and v2.0

Since the checklist was released on January 31st, 2014

MSC has been working on improvements and addressing some errors in

the content of checklist

Improvements/amendment will be incorporated in version 2.1 still to come

before March 31st, 2014

Example of addressed issues/errors:

• Section 7 of Checklist: Question 22 should refer to BD 4.2.4.6 and question 23

should refer to BD 4.2.4.7.

• Question 25 should refer to BD 4.2.6.2

• Question 26 should refer to BD 4.2.6.3

• Some realignment of numbering of questions in filtering section with relation to

the question tab.

• Question 10 in filtering section is removed

• Group Checklist: sample tables automatically highlighted depending on score in

sample plan

Improvements and amendments in v 2.0

• Excel version can be temporary

• PDF version in creation and to be provided

• MSC is looking into electronic checklist tools – pilot phase

can be in place by the next year (2015)

• Research underway into tools and user needs e.g. linking

with CAB internal databases/systems

Planned developments/improvements

• CABs must use the MSC CoC Audit checklist for all CoC

audits by 31st March 2015 at the latest

• This gives CABs a full year to implement the checklist for

new applicants and existing clients

• Earlier adoption is encouraged, since the new checklist will

include all v1.4 CR updates

• Translated versions of the checklist will be available in:

German, French, Mandarin, Spanish, and Japanese

Implementation

2. Working with Single/Multi-site Checklist

• This Checklist has to be used for the initial,

surveillance and recertification audits of the

Single site and Multi-site certification

• When using the checklist for multi-site

audits auditors can either use one checklist

for all sites (pre-populate some tables and

sections considering the number of sites) or

use separate checklist for each site

Single/Multi-site Checklist

Structure and content (Section 1)

Single/Multi-site

Front Sheet

1. Guidance

2. General

3. Site list for multi-site

4. Organisation description

5. Audit attendance

6. Filtering

7. Questions

8. Traceback template

9. Input-output template 1

10. Input/output template 2

11. Supplier list

12. Scope

13. Audit frequency

14. Non-conformities

15. Certification decision

Annex A Subcontractor Table

Annex B NC previous audit

Annex C MSC Purchases

• This checklist is structured in 15 sections and 3 Annexes

• Section 1 provides the guidance how to work with the

checklist

• Navigation part on the right side in section 1 allows to link

directly to required section.

• CABs and auditors can provide feedback on the checklist

to: [email protected]

• To register a problem or issue with the checklist, or leave

feedback and suggestions for improvements, please use

form available at:

www.msc.org/documents/checklistfeedback

mailto:[email protected]

• Auditors start Checklist by

completing this section

• General information about

organization, CAB, date of

audit, type of audit, details

of MSC responsible

• Some details (CAB name,

assessment type, Country)

could be selected through

the drop down

• For multi-sites additional

table can be created to

record the data for

additional site(s)

General Section (Section 2)


Organisation Name* Pacific Star GmbH

Other name/s of the organisation PSL

Auditor (Title/Name/Surname)* Mr. Stefano Fishman

CAB Name* Vinacert (VINA)

Start date of audit* 17/01/2014

Audit time start* 09:00 a.m.

Duration of the audit (hh:mm)* 12:00

Date of previous audit (if applicable) 17/01/2013

MSC Certificate number (if applicable) Vina-C-0001

ASC Certificate number (if applicable) ASC-C-0005

Issue date (if applicable) 21/01/2013

Expiry date (if applicable) 20/01/2016



MSC (Y/N)* Yes

ASC (Y/N)* Yes

Assessment Type Surveillance

Surveillance Number (if applicable) 1


MSC/ASC Responsible of the organisation Detail

Title* Mr

Name* Robert

Surname* Klaus

Job title Quality Manager

Phone* 012345678

Mobile 87654321

Fax

Email* [email protected]


Country* Germany

County/State

Municipality* (city or town) Berlin

Address line 1* 24

Address line 2 Hans Strasse

Address line 3

Post code* 135-090

Other Detail

Is the site already certified for other standards (if yes, list) BRC

Are there other CoC certified companies registered at the

same address? (if yes register CoC code)

This section to be completed if the organisation is being assessed as

a multi-site certificate using one combined audit checklist.

• Provide description of the structure of multi-site

• Enter full details for each site (Site name, address, other details)

The layout of this table is the same as the multi-site table in the

MSC database (eCert).

Site list for Multi-sites (Section 3)

Sub Code Site Company Full Name Street Post Code Town Country State Email Phone

Vina-C-001-1 Pacific Star GmbH Hans Strasse 135-090 Berlin Germany [email protected] 1234567

Vina-C-001-2 Star Pacific GmbH Bavaria Strasse 235-090 Bonn Germany [email protected] 2345678

Two sites in this multisite. One in Berlin and another one in Bonn. Site located in Berlin is processing factory. Berlin site can also purchase raw material and sell processed products.

Site located in Bonn does traiding only.

Multi-site description (free text)

• Choose activity (use

drop down)

• For multi-site use your

judgement for main

activity

• Describe the company

and structure

• Marketing info to be

displayed publically

Organization description (Section 4)

Organisation's main activity

Processing

Please enter other activity below:

Organisation description - free text

Company Pacific Star GmbH was established in the year 2000 as a factory for processing of frozen fish

and seafood.

In the year 2005 Star Pacific GmbH was established in Bonn for international trading with seafood and

fish.

Number of emploees for Pacific Star GmbH including factory workers is 50 persons. Annual processing

capacity is 5000 MT of frozen seafood products.

There are 7 office staff working in Star Pacific GmbH. annual sales turnover is 35 million Euro.

Both companies use subcontractors for transportation and storage of products.

Marketing info that will be displayed on the Find a Supplier website - 250 words max

• Record the people attending the different parts of the audit

(Name/Surname, Role)

• Tick the parts of the audit attended by each person.

• In case of multi-site, record all staff that attended each site

• Additional rows can be added if needed.

Audit attendance (Section 5)

Attendee (Name, Surname) Role/Organisation/Site Opening

meeting

Document

review

Site visit Closing

meeting

Berlin

Robert Klaus Quality Manager /Berlin Factory x x x x

Yvonne Temme Director x x

Bonn

Frank Eppe Vice-President /Bonn Office x x x x

Stephanie Waldek Purchasing Manager x x x

Mark (x) as appropriate

• This table instructs the auditor on what questions and annexes of the

checklist must be completed.

• Answers can be chosen through the drop down

• Actions guidance appears depending on the answer choice

• In case of multi-site use one table to answer questions for all sites

Filtering questions (Section 6)

# Question Answer Action

1 Has there been a change in the organisation's scope, site, suppliers or contact person since the last audit? No Do not complete questions 13 - 15

2 Does the organisation use any subcontractors? Yes Complete Annex A and questions 16 - 21

3 Does the organisation wish to use the MSC ecolabel and/or ASC logo? No Do not complete question 27

4 Does the organisation mix certified and non-certified seafood in an MSC and/or ASC labelled product? No Do not complete question 28 - 31

5 Is there any certified product (MSC and/or ASC) on site at the time of the audit? (i.e. initial audit, off season) ---

6 Does the organisation wish to handle fish from an under MSC/ASC assessment source? No Do not complete question 33 - 39

7 Have there been non-conformities recorded at the previous audit? Yes Complete Annex B

8 Did the MSC contact the organisation requesting any records? (since the previous audit) No Do not complete question 35

9 Has there been any product authentication testing? (since the previous audit) No Do not complete question 36 - 37

Questions (Section 7)

• Each question is related to the clause of Standard or CR

• Guidance provided for each question what auditor should verify

• Answer can be selected through the drop down.

• Evidence obtained needs to be recorded

• For multi-site this section can be copied and separate spreadsheet used for each

site

Question Section Clause Question Answer Evidence

1CoC Standard

CoC 1.1 Does the organisation operate a management system which addresses the principles

and criteria in the Chain of Custody standard?Pass

2CoC Standard

CoC 1.1.2 Is the management system documented and appropriate to the organisation?

(consider size, activity, complexity and competency)Pass

3CoC Standard

CoC 1.2 Are personnel responsible for Chain of Custody procedures or handling certified

products adequately trained in order to ensure conformity with the CoC standard?Pass

4

CoC Standard

CoC 1.3 Are records demonstrating conformity with this standard kept for a minimum of

three years or a period that exceeds the shelf life of the certified product (if the

shelf life is more than three years)?

Pass

5CoC Standard

CoC 2.1 Can the traceback exercise be successfully completed using the template provided?Pass

Traceback results provided in section 8

6CoC Standard

CoC 2.1.1 Can the input/output reconciliation exercise be successfully completed using the

template provided?Pass

Results of Input/Output reconciliation in section 9

• Provide data for

product tested

• List all documents

reviewed and codes

• Make a copy of tab or

make additional table

when additional

product tested for

single site or when

doing tracebacks for

several sites

Traceback template (Section 8)

Description Observation/explanation (where relevant) Description Observation/explanation (where relevant)

MSC Pink Salmon Block fillets(Lot No.: 1549) ,

Block B&P (Lot No.: 1541& 1548)

Lot no.: 1541, 1548, 1549 Pollock HG

Alaska Salmon (pink) Russia SOO Pollock

A) Final product Flow chart of Order & contract

No.: PSCM12345 (Lot No.: 1549)

Final product Flow chart, Order & contract

No.: PSCM12345 (Lot No.: 1541& 1548)

MSC Pink fillet blolck, skinless, Fatline

removed, color P2, chemical free.

MSC Pink B&P skinless, Fatline removed,

color P2, chemical free.

A) Sales Invoice No. 01/02 SPDA for 350 MT of

Pollock HG

Invoice issued to Dalian Aqua Ltd on

29.11.2013 sales terms CFR Dalian / China

B) Processing recrods 17-19, Dec., 2013 ,

including Thawing record, Metal Detect

record, Packing material usage record,

B) B/L No. FEFISH 0987654 Shipper DMP LTD. Transport vessel: Tumnin

C) Daily processing record, 17-19, Dec., 2013 Conversion Rate: 50%; 50%, 55.7%, main final

product are Block fillets(Lot No.: 1549) , Block

B&P (Lot No.: 1541& 1548)

C) Catch Certificate: RU 098765-1 Quantity: 350 MT of Pollock HG. SOO FAO 61,

Transhipped on board of transport vessel

Tumnin

D) RM Usage record on 17-19, Dec., 2013 Date 17/12/2013: 532 CTNs, 12065.76 kgs;

Date 18/12/2013: 798 CTNs, 18098.64 kgs;

Date 19/12/2013: 1263 CTNs, 28664.84 kgs

D) Invoice No. 02/01 ex DMP LTD for 350 MT of

Pollock HG

Invoice issued by DMP LTD (CoC Code FCI-C-

xxxx) to Star Pacific GmbH on 20.11.2013 on

sales terms CFR Dalian / China

E) RM output Notice to outside cold storage,

Pacific Star GmbH 17/12/2013

Weight: 880,160.00 kgs E)

F) Health Cert.: 9876543 on Aug., 23,2013 Vessel No.: 12345; Weight: 880,160.00 kgs F)

G) Catch Cert.: CN.3XXXXX11-CC; Fish Cert. of

Origin: CN.3XXXXX11-FC

FAO 67, catch Date: July-Aug., 2013;

Weight: 880,160.00 kgs

G)

H) Certificate of Origin: 01010202 B/L No.: PALU 9988776655

Weight: 880,160.00 kgs (Quantity:38,808bags)

H)

I) B/L No.: PALU 9988776655 Shipper: Rainbow, LLC I)

J) Invoice No.:AC123-1 Weight: 880,160.00 kgs (Quantity:38,808bags)

B/L No.: PALU 9988776655

J)

K) RM Contract No.: AC123 Seller: Asia Commerce Ltd (CoC Code IMM-C-

xxxx)

K)

Traceback - Bonn / Star Pacific

This test was tracing lot of Pollock HG sold by Star Pacific GmbH back to the supplier. 350 MT

of Pollock HG was purchased from DMP LTD and sold to Dalian Aqua Ltd on CFR Dalian terms.

This test was tracing from final product back to raw material. Final product was processed on

17-19, Dec., 2013, which were still in stock during on-site auditting. Final product Lot No. was

1541,1548,and 1549. Raw material Batch No. was 123J12. Processed products include MSC

Pink B&P (1541&1548), MSC fillet Block (1549)

Traceback - Berlin / Pacific Start

• If completing this

template then

template 2 (section

10) is not needed.

• Add columns if

conduct reconciliation

for several samples or

for several sites

• Where MSC and ASC

product is handled,

conduct at least one

reconciliation for each

• Give brief description

of exercise

Input/Output Template 1 (Section 9)

Input /

Output 1

Input /

Output 2

Material/Product (seafood only) Details Berlin Bonn

Species 1 Pink salmon

Start Date 2 17/12/2013 19/11/2013

End Date 3 20/12/2013 30/11/2013

Unit 4 kg kg

Raw material - Stock at start date A 880160 0

Raw material - Stock purchased in period B 0 350000

Raw material - Stock sold during period C 0 350000

Raw material - Stock used for processing D 58809.24 0

Raw material - Stock at end date E 821350.76 0

Processing - Stock of processed product at start date F 0

Processing - Processed product produced during period G 31034.51

Processing - Processed product sold during period H 0

Processing - Stock of processed product at end date I 31034.51

Processing - Stock of partially processed product

Product in process that is too transformed to count as raw material but different from

the finished product J 0

Processing - Weight increase due to processing (added ingredients affecting quantity of

seafood: salt, water…)

Record weight impact - record ingredient type in "Description" box K 0

Processing - Weight loss due to processing (i.e. defrosting, drying…)

Record weight impact - record cause of weight loss in "Description" box L 0

Raw material: Total in = (A + B) M 880160 350000

Raw material: Total out = (C + D + E) N 880160 350000

Raw material: Difference = (M - N) O 0 0

Processing: Total in = (F + G + J + K) P 31034.51 0

Processing: Total out = (H + I + L) Q 31034.51 0

Processing: Difference = (P - Q) R 0 0

Conversion Rate (Yield)

Record rationale for how this number is calculated to be recorded in "Description". May

be calculated as: G/D.

Record as percentage

S

52.77%

• This template can be used to record data for the Input / Output

reconciliation for batches.

• It can be used as an alternative to the Input/Output template 1 (section 9)

• Inputs: this refers to all batches purchased

• Stocks: this refers to batches owned, for example, in inventory

• Outputs: this refers to batches sold.

Input / Output Template 2 (Section 10)

#

Batch Code

(code used

by the

organisation

to identify

the batch)

Quantity

(record

numerical

data only)

Unit

(record the

unit used for

the batch

e.g. Kg, tons,

packs…)

Form

(product

form of the

batch i.e.

blocks,

fillets,

cans,…)

#

Batch Code

(code used

by the

organisation

to identify

the batch)

Quantity

(record

numerical

data only)

Unit

(record the

unit used for

the batch

e.g. Kg, tons,

packs…)

Form

(product

form of the

batch i.e.

blocks,

fillets,

cans,…)

#

Batch Code

(code used

by the

organisation

to identify

the batch)

Quantity

(record

numerical

data only)

Unit

(record the

unit used for

the batch

e.g. Kg, tons,

packs…)

Form

(product

form of the

batch i.e.

blocks,

fillets,

cans,…)

1 123J12 880160 kg H&G 1 123J12 821350.76 kg H&G 1 1548 6000 kg B&P Block

2 2 2 1541 10500 kg B&P Block

3 3 3 1549 14534.51 kg Fillet Block

4 4 4

5 5 5

6 6 6

INPUTS STOCKS OUTPUTS

• Where a supplier has both MSC and ASC CoC codes, these can be recorded in the

same line.

• MSC Fishery/ASC Fish Farm: complete only for organisations buying directly from

the certified fishery/farm

List of certified suppliers (Section 11)

Date

Organisation

Supplier Name

(MSC CoC, ASC CoC, MSC fishery, ASC fish farm)

MSC CoC Certificate Code ASC CoC Certificate Code MSC - Fishery certificate

code

(only for organisations

buying directly from the

certified fishery)

ASC - Fish farm code

(only for organisations

buying directly from the

certified fish farm)

Asia Commerce Ltd IMM-C-xxxx NA NA NA

DMP LTD FCI-C-xxxx NA NA NA

Leroy Midt AS NA NA NA ASC-DNV-14xxxx

Signature

(MSC Representative)

• This section in line with new requirements for scope registration introduced into CR v 1.4 released on

January 31, 2014

• Activities and species can be recorded independently of each other (e.g. no need to specify all species

for which each activity applies)

• If under assessment fisheries or farms in scope, the specific fisheries/ farms and related species need

to be recorded

• This information can be recorded directly onto the MSC/ASC database with no need to complete this

table.

Scope of certification (Section 12)

Activities

Mark if

Applicable

(x)

Certified Species

(enter name)

MSC

Mark if

applicabl

e (x)

ASC

Mark if

applicabl

e (x)

Under Assessment Fishery or Farm

(MSC/ASC ASSESSMENT UMAF and UAAF)Under Assessment Species

Aquaculture Alaska Salmon (pink) x

Contract processing Pollock x

Distribution Atlantic salmon x

Harvest

Packing or Repacking

Processing x

Primary processing x

Secondary processing

Preservation

Restaurant/Take away to consumer

Retail to consumer

Storage

Trading fish (buying/selling) x

Transportation

Wholesale x

Other (please specify)

• Table to be completed at the end

of the audit

• Use drop downs to confirm

activities, select options of

answers for handling of products,

species handled, CPI,

performance at most recent audit,

etc.

• In case of multi-sites use separate

Table B4 for assessment of sites

Audit frequency (Section 13)

Table B4 Pacific Star / Berlin

Answer

Total 22

Yes

---

---

---

---

---

Yes

YesPlease provide a risk level Medium

---

---

Total 7

4

Total 4

Total 1

Total 0

Total 0

Total 0

Total 4

Grand Total 38

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:

Risk Factor

Trading (buying and sell ing) ( Activity 1)

Transport (Activity 2)

Storage ( Activity 3)

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

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

Harvest (Activity 6)

Packing or repacking ( Activity 7)

1. Activity (See Table B2)

Where more than one activity is undertaken, use the highest score only to add the total score.

Company takes ownership of product and product is stored and/or transported by one non-certified subcontractor

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

2. Handling of Products

Number of additional non-certified subcontractor(s):

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

3. Species Handled

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

Aquaculture (Activity 13) - applicable for ASC only

No major or minor non-conformities found

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

Above 62

8. Country of operation ranking on Transparency International‘s latest corruption perception index

No prosecutions or major non-compliances raised against food safety and/or regulatory requirements within the past 24 months

No labels are placed on products

Applying means physically selecting a label, bag, carton or similar bearing the MSC/ASC ecolabel from amongst other labels or packaging materials which do not bear

the MSC/ASC ecolabel. In the case of a site where the decision regarding packaging is made by a supervisor or production line manager, this shall refer to the number

of these, rather than the number of workers on the production line.

7. Number of staff involved in applying label or making label application decisions

6. Information from other audits and regulatory bodies

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

• This section has to be used for recording of non-conformities found during the audit and

observations

• Complete clause against which NC raised, description, classification of NC (use drop down

with option).

• For multi-site, start each entry with the site name.

• This page can be printed out and a copy left with the organisation after the audit.

Audit non-conformities (Section 14)

Date

17/01/2014

17/01/2014

Number ClauseDescription of Non-Conformity / Observation

(for multi-site, start each entry with the site name)

Classification (minor/

major/ suspension/

observation)

To Address By Date Corrective Action

1 CoC 1.2

Star Pacific GmbH.

One of the sales managers recruited 3 months ago is not trained on MSC

requirements and does not understand how to manage MSC products Minor 17-Jan-14

Auditor Katty Perry

Signature

Organisation Star Pacific GmbH / Frank Eppe

• This section to be completed by CAB after each audit

Certification decision (Section 15)

Date

Certificate valid (Y/N) Yes

CAB Decision Making Entity

Name/Surname

Observation

(not mandatory)

• Complete this table if there are subcontractors used to handle any

certified products.

• Tick all relevant activities for subcontractors. It is possible for a

subcontractor to have more than one activity

Annex A - Subcontractor Table

Company Full Name

(name of the subcontractor)

Street Post Code Town State

(if applicable)

Country Species handled CoC Code

(if

certified)

Date visited by

CAB auditor

(if visited)

Other Activity -

description

Co

ntr

ac

t P

ro

ce

ssin

g

Dis

trib

uti

on

Ha

rv

est

Pa

ck

ing

or R

ep

ac

kin

g

Pro

ce

ssin

g

Re

sta

ura

nt/

Ta

ke

Aw

ay

to

Co

nsu

me

r

Re

tail

to

Co

nsu

me

r

Sto

ra

ge

Tra

din

g F

ish

(B

uy

ing

/S

ell

ing

)

Tra

nsp

orta

tio

n

Wh

ole

sa

le

Aq

ua

cu

ltu

re

OT

HE

R –

De

sc

rib

e

EIMSKIP Qingdao China Alaska salmon x

SAMSKIP Grimsby UK Pollock x x

Frost Store GmbH Berlin Germany

Atlantic salmom

Pollock

Alaska Salmom x

Harvest Shipping Ltd Dalian China

Atlantic salmom

Pollock

Alaska Salmom x x

• Any non-conformity from a previous audit that has not been closed off

must be recorded again as an audit non conformity.

• Do not record non-conformities that have been closed out and verified.

• Where a non conformity was raised between audits, it should be

recorded here.

Annex B - Non-conformities from previous audit

Number Clause Description of non-conformity Classification of non

conformity when raised

(minor/ major/

suspension)

Outcome of non

conformity

(closed/changed to

minor/changed to major)

N/A --- ---

--- ---

--- ---

--- ---

--- ---

• Non-mandatory, but is recommended to help give the auditor a full picture of all MSC

products handled between audits.

• The MSC representative of the CoC holder shall sign or the auditor can type the

name of representative

Annex C – MSC purchases (non mandatory)

Date of

purchase (as

per invoice)

Date of

arrival

(arrival on

site)

Supplier

name

(as on

invoice)

Invoice

number

Species Form (e.g.

H&G, blocks)

Quantity Units (i.e.

kg, tons, etc)

01/12/2013 10/12/2013

Asia

Commerce

Ltd

Invoice

No.:AC123-1

Alaska salmon

(pink) H&G 880,160.00 KGS

Organisation Pacific Star GmbH/Robert Klaus 17/01/2014

Signature

(MSC representative) Date

Questions ?

3. Working with a Group Checklist

• MSC developed an audit checklist and reporting

template for Group Chain of Custody certification.

• This checklist is structured in tables for data entry

and questions to record answers and evidence.

• Where applicable, parts of the checklist may be

pre-populated before the audit.

• Most recent version can be found on the MSC

website.

Group Checklist

Scheme documents:

The Marine Stewardship Council’s “GROUP CHECKLIST AND REPORTING TEMPLATE” and its content is copyright of “Marine

Stewardship Council” - © “Marine Stewardship Council” 2014. All rights reserved.

The official language of this checklist is English. The definitive version is maintained on the MSC’s website www.msc.org.

Any discrepancy between copies, version or translations shall be resolved by reference to the definitive English version.

CAB NAME AND LOGO

MARINE STEWARDSHIP COUNCIL

GROUP CHECKLIST AND REPORTING TEMPLATE

Chain of Custody

v 2.0

MSC Chain of Custody Standard v 3.0 15 August 2011

MSC Certification Requirements v1.4 (including Annex BE: Aquaculture Stewardship Council

Audits for Chain of Custody)

• This checklist is structured in 20 sections and 3

Annexes

Tables for data entry

Questions to record answers and evidence

• Where applicable, parts of the checklist may be

pre-populated before the audit.

• Please read section 1 for the guidance how to

work with the checklist

Group

Front sheet

1.Guidance

2. Group Entity

3. Group Description

4. Site list

5. Attendance

6. Eligibility for RRG

7. Filtering questions

8. Questions

9. Traceback template 1



12. Supplier list

13. Scope

14. Sampling plan

15. Sampling tables

16. Sampling description

17. Audit commentary

18. Audit frequency

19. Non-conformities

20. Certification decision

Annex A

Annex B

Annex C

Checklist structure

• Requires information about

group entity: assessment

information, type of audit, MSC

responsible, address of

organization

• Some details (for example

CAB name, assessment type,

Country) could be selected

through the drop down

Group entity (Section 2)


Group Name* Marine Inc

Other name/s of the organisation

Auditor (Title/Name/Surname)* Richard McDonald

CAB Name* Bureau Veritas Certification (BVC)

Start date of audit* 25/09/2013

Audit time start (hh:mm)* 09:00

Duration of the audit (hh:mm)* 08:00

Date of previous audit (if applicable) 28/09/2012

MSC Certificate number (if applicable)

ASC Certificate number (if applicable)

Issue date (if applicable)

Expiry date (if applicable)



MSC (Y/N)* Yes

ASC (Y/N)* No

Assessment Type Surveillance

Surveillance Number (if applicable) 1


MSC/ASC Responsible of the organization Detail

Title* Mr

Name* Alex

Surname* Stone

Job title Quality Manager

Phone* 505-990-3232

Mobile

Fax

Email* [email protected]


Country* United States

County/State Massachusetts

Municipality* (city or town) New Bedford

Address line 1* 88 New Street

Address line 2

Address line 3

Post code* 020-010

Other Detail

Is the site already certified for other standards (if yes,

list)FDA., USDC

Are there other CoC certified companies registered at

the same address? (if yes register CoC code)

• Choose one activity - this should be the main activity with regards to MSC/ASC

certified products.

• Describe: the company’ history, group structure (i.e. relationship between sites),

stratification of the group (if applicable), product flow, key products and activities,

size of operation

Group description (Section 3)

Group's main activity: Guidance

Processing

Please enter Other activity below:

Organisation description - free text Guidance

Marine Inc. includes their processing facility (88 New St) and their holding freezer/ freezer

facility (60 Costa Blvd). The company is a primary processor of fresh and frozen seafood

(spiny dogfish/cod). Company uses subcontractors. The fish arrives from the harvest

vessels via truck at their loading dock. The product is weighed, tagged and tallied at that

point. This fish is cut and packed at the processing facility (88 New Street); if it is sold as

fresh product it is shipped directly from this facility. Cod product to be sold as frozen is

sent to the freezing facility (60 Costa Blvd) . All data can be retrieved from the 88 New

Street location. Only MSC dogfish is recieved - Cod is MSC and non-MSC - tracked using

item code and lot - not processed at the same time. sub contractor location in one mile

were easily accessable and viewed during audit.

Describe:

- the company history

- group structure (i.e. relationship between sites)

- stratification of the group (if applicable)

- product flow

- key products and activities

- size of operation (number of employees, turnover, volume

produced...)

- subcontractors

- risk of substitution

- reason for certification

- any other relevant element from an MSC/ASC and CoC

perspective

Marketing info that will be displayed on supplier search - 250 words max Guidance

Any text in this section will be used for the MSC find a supplier

database and will be public on www.msc.org

Choose only one activity - this should be the main activity with

regards to MSC/ASC certified products. Use your own

judgement where there are multiple activities.

Where 'Other' is selected, please add further detail in the

table.

• Include all sites and required data

• The layout of this table is the same as the Group CoC site list table in

the MSC database (eCert).

• Auditors can add rows as appropriate.

Site list (Section 4)

Sub Code Site Company

Full Name

Street Post Code Town Country State Email Phone

BV-C-000123-1 88 New St New Bedford USA

BV-C-000123-2 60 Costa Blvd New Bedford USA

• Record the people attending the different parts of the audit. Tick the parts

of the audit attended by each person.

• Attendance of senior management for the closing meeting is

recommended.

• Additional rows can be added if needed.

Audit attendance (Section 5)

Attendee (Name, Surname) Description

(Role / Organisation

Group Entity / Site)

Opening

meeting

Document

review

Site visit Closing

meeting

Alex Stone Quality Manager x x x x

Anna Plastino Purchasing Manager x x

Chris Bond Production officer x x x

Richard McDonald Auditor BVC x x x x

Mark (x) as appropriate

This table has been added to help

the auditor to determine if a group

is eligible for Reduced Risk

Requirements (RRG).

The group must meet all 4

requirements to be eligible as an

RRG.

Drop down for answers (results)

Eligibility for RRG (Section 6)

Result

The group shall meet at least one of the following requirements:

- Purchasing of MSC certified products is managed by the group entity

with controls to ensure sites shall only purchase or receive MSC

certified products from certified suppliers approved by the group

entity, or

- The group entity and all sites only handle all MSC certified products in

sealed boxes or containers, and do not repack, process, repackage, or

alter sealed boxes or containers in any way (pallet-level containers may

be broken down by the operator, provided that individual sealed boxes

or containers are not altered)

Yes

Auditor comment on eligibility (not mandatory)

The group entity and all sites shall be engaged in only the following

activities: Trading, transportation, storage, distribution, wholesale,

retail to consumer, and restaurant/ takeaway to consumer

No

The group entity shall have an ownership and/or legal contractual

relationship with all sites that ensures sites are subject to a common

control system managed by the group entity which includes internal

audits of all sites and training on group-level policies on a minimum

annual basis

Yes

Criteria

The group entity and all sites shall be located in a country with a

Transparency International Corruption Perception Index (CPI) score of

41 or above (for latest scores see http://cpi.transparency.org)

Yes

This table:

• Is intended as a support to the auditor to identify the relevant parts of the checklist

• Instructs the auditor on what questions and annexes of the checklist must be

completed.

• Where this table is used the auditor must complete questions and annexes required.

Filtering questions (Section 7)

# Question Answer Action

1 Is the organisation eligible for group requirements (CR BB2.2)? Yes Keep using the checklist

2 Is the group eligible as a Reduced Risk Group (CR BB2.5)? No Complete questions for 'non-RRG' + 'All'

3 Has there been a change in the organisation's scope, site, suppliers or contact person since the last audit? Yes Complete questions 57 - 59

4 Does the organisation use any subcontractors? Yes Complete Annex A and questions 60 - 70

5 Does the organisation mix certified and non certified seafood in an MSC and/or ASC labelled product? No Do not complete question 71 - 74

6 Is there any certified product (MSC and/or ASC) on site at the time of the audit? (i.e. initial audit, off season) ---

7 Does the organisation wish to handle fish from an under MSC/ASC assessment source? No Do not complete question 76 - 82

8 Did the MSC contact the organisation requesting any records? (since the last audit) No Do not complete question 83

9 Has there been any product authentication testing? (since the last audit) No Do not complete question 84 - 85

10 Will you be setting a time limit for receiving documents during the audit? ---

11 Were there non-conformities recorded at the previous audit? No Do not complete Annex B

• Each question is related to the clause of CR

• Indication if applicable to All / Non-RRG or RRG

• Text of requirement appears if you click on the “Clause” section

• Guidance for auditors: Access, Verify, Evidence.

• Answer option through drop down – only one answer is possible

• Sections to record evidence at group entity / site level

Questions (Section 8)

Question Applicable to Clause Guidance Answer Group Entity - Evidence Site - Evidence

1 All BC1.1.1

Assess at:

- Group Entity

Verify:

- Is a management system in place?

- Following document review and site audits

Evidence:

- Description of management system

Pass

2 All BC1.1.2

Assess at:

- Group Entity

Verify:

- Who is the MSC representative?

Evidence:

- name and contact details of MSC representative

Pass

3 All BC1.1.2.1

Assess at:

- Group Entity

Verify:

- Has the MSC representative been changed?

- Was the CAB notified of change?

Evidence:

- Description where relevant

---

• This traceback exercise should link products from one step up and one step down in

the supply chain, using traceability documents.

• Where MSC and ASC products are handled, conduct a traceback for each.

• If further tracebacks are carried out, please make a copy of this tab or make

additional table (s) on the right side

Traceback Template (Section 9)

Description Observation/explanation (where

relevant)

Description Observation/explanation (where

relevant)

Dog fish

A) invoice in, Vessel trip report (not when

purchased from vendor), supplier

invoice(receiving report that pays the

boat) Sales Slip from Vessel

vessel name, VTR, date, qty, product

description, vessel permit number,

raw material lot

A)

B) receiving log product that is going to be sold as MSC - B)

C) dogfish production report, product

results report

date, qty, product description, RM lot,

finished product lot

C)

TracebackTraceback

• The auditor may decide to

conduct the reconciliation on a

sample (selected period only,

species, product…)

• The Input/Output Reconciliation

shall be carried out by the

auditor, or the auditor shall

witness the certificate holder

doing it.

• This template can also be used

to record an Input/ Output

reconciliation of contract

processed products if relevant.

• Additional columns may be

added if needed.

Input/Output Reconciliation Template 1 (Section 10)

Input /

Output 1

Input /

Output 2

Material/Product (seafood only) Row

Species (certified species only) 1 Dogfish Dogfish

Start Date 2 17/09/2013 02/08/2013

End Date 3 25/09/2013 30/08/2013

Unit 4 lbs lb

Raw material - Stock at start date A

Raw material - Stock purchased in period B 22620 11540

Raw material - Stock sold during period C

Raw material - Stock used for processing D 22620 11540

Raw material - Stock at end date E

Processing - Stock of processed product at start date F

Processing - Processed product produced during period G 7306.89 3855.97

Processing - Processed product sold during period H 3855.97

Processing - Stock of processed product at end date I 7306.89

Processing - Stock of partially processed product

(This is any product in process that is too transformed to count as raw

material, but different from the finished product) J

Processing - Weight increase due to processing (added ingredients affecting

quantity of seafood: salt, water…)

Record weight impact - record ingredient type in "Description" box K

Processing - Weight loss due to processing (i.e. defrosting, drying…)

Record weight impact - record cause of weight loss in "Description" box L

Raw material: Total in = (A + B) M 22620 11540

Raw material: Total out = (C + D + E) N 22620 11540

Raw material: Difference = (M - N) O 0 0

Processing: Total in = (F + G + J + K) P 7306.89 3855.97

Processing: Total out = (H + I + L) Q 7306.89 3855.97

Processing: Difference = (P - Q) R 0 0

Conversion Rate (Yield)

Record rationale for how this number is calculated to be recorded in

"Description". May be calculated as: G/D.

Record as percentage

S

32.30% 33.41%

• This template can be used to record data for the Input/Output reconciliation for batches.

• It can be used as an alternative to the Input/Output template 1.

• Inputs: this refers to all batches purchased

• Stocks: this refers to batches owned, for example, in inventory; this can be in the same

form of input or some may be processed/ transformed products.

• Outputs: this refers to batches sold.

• The yield is to be described in the description box.

• This template can also be used to record an Input/ Output reconciliation of contract

processed products if relevant.

• For example please refer to the presentation on the Single/Multi-site Checklist

Input/Output Reconciliation Template 2 (Section 11)

• Where a supplier has both MSC and ASC CoC codes, these can be recorded in the same line.

• MSC Fishery: complete only for organisations buying directly from the certified fishery

• ASC Fish Farm: complete only for organisations buying directly from the certified fish farm

• The representative for the organisation should sign a printed supplier list as at the date of the

audit.

Certified suppliers (Section 12)

Date

25/09/2013

Supplier Name

(MSC CoC, ASC

CoC, MSC

fishery, ASC fish

farm)

MSC CoC

Certificate Code

ASC CoC

Certificate Code

MSC - Fishery

certificate code

(only for

organisations

buying directly

from the

certified fishery)

ASC - Fish farm

code

(only for

organisations

buying directly

from the

certified fish

farm)

FV Eagle NA NA MML-F-1311 NA

FV Sunrise NA NA MML-F-1311 NA

FV Start NA NA MML-F-1311 NA

Pacific Rainbow

LLC BV-C-09876 NA NA NA

Signature

Alex Stone

Under Assessment MSC Fishery or ASC Farm

(e.g. UMAF or UAAF)

Under Assessment Species

List here the species

associated with each under-

assessment fishery or farm

Scope of certification (Section 13)

• Scope in line with new

requirements under

CR v 1.4

• If the organisation has any

under assessment

fisheries or farms in scope,

the specific fisheries/ farms

and related species need

to be recorded.

• If processing is selected, it

shall be further defined by

'primary', 'secondary'

and/or 'preservation‘

• This information can be

recorded directly onto the

MSC/ASC database with

no need to complete this

table.

ACTIVITIESMark if

applicable (x)

Aquaculture

Contract processing

Distribution

Harvest

Packing or Repacking

Processing x

Primary processing x

Secondary processing

Preservation

Restaurant/Take away to consumer

Retail to consumer

Storage x

Trading fish (buying/selling) x

Transportation

Wholesale

Other (please specify)

Certified Species

(enter name)

MSC

Mark if

applicable

(x)

ASC

Mark if

applicable

(x)

US Atlantic Spine Dogfish x

Pacific Cod x

Sampling plan (Section 14)

Where the auditor decides to

stratify the group, each strata

(subgroup) should be

assessed against the

sampling plan individually.

It is possible to copy this

table to use for different strata

(subgroups)

Total score is linked to Table

BB 2 to determine Sample

Table

Table BB1: Sample plan allocation

Risk factor Answer

1 Activity (refer to Table B2. Activity Scope Definitions) 20

a. Trading (buying and selling) (Activity 1) Yes

b. Transport (Activity 2) ---

c. Storage (Activity 3) Yes

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

e. Wholesale and/or distribution of repacked products (Activities 4,5) ---

f. Harvest (Activity 6) ---

g. Packing or repacking (Activity 7) ---

h. Processing, contract processing, (Activities 8, 9) Yes

i. Retailing / food service direct to consumers (Activities 10, 11) ---

j. Aquaculture (Activity 13) ---

2 Ownership 3

3 Accredited certifications held 2

4 Similar species handled at the same time in the same place 12

5

Number of staff involved at largest site in applying label or making label application decisions.

Applying the label means physically selecting a label, bag, carton or similar bearing the MSC ecolabel

from amongst other labels or packaging materials which do not bear the MSC ecolabel. In the case of a

site where the decision regarding packaging made by a supervisor or production line manager, this

shall refer to the number of these, rather than the number of workers on the production line.

8

6Country of operation score on Transparency International's latest corruption perception index (for

latest scores see http://cpi.transparency.org). Please refer to the latest year's CPI Score 16

7 Seafood Purchasing 12

Total score 73

High - Certified and non-certified similar looking species on site at the same time

More than 10 employees

Between 32 and 62

Purchasing from suppliers is managed by a combination of the group entity and each site (central and local purchasing)

Sites are owned by the group entity

HACCP/ ISO 9001 / ISO 22000 / GFSI recognised standard

• The total score from Table BB1 determines the category of

Sample Table (explained further in presentation)

• Comments to be provided if stratification is used

Sampling plan (Section 14)

Table BB2: Allocation to Sample Table

Score from Table BB1 Sample Table

80 or more 100% of sites

audited

55 to 80 A

40 to 60 B

30 - 45 C

Under 35 D

Decision ---

Comments (i.e. if stratification is used)

Sampling Tables (Tables BB6, BB7, BB8, BB9) (Section 15)

Sample Table A - High Risk Sample Table B - Medium Risk Sample Table C - Low Risk Sample Table D - Very Low Risk

Initial Audit Annual audit Initial Audit Annual audit Initial Audit Annual audit Initial Audit Annual audit Number of sites

Normal Number of sites







Normal

1 to 2 all 1 to 2 all 1 to 2 all 1 to 2 all 1 to 2 all 1 to 2 all 2 all 2 1

3 to 4 2 3 to 4 2 3 to 4 2 3 to 4 2 3 to 4 2 3 to 4 2 3 to 4 1 3 to 4 1







Use relevant Sample Table based on allocation from Table BB 2 (previous slide)

Above Sample Tables are used for sample determination for Initial and Annual

audits

• The auditor can record here

additional observations or

comments regarding the

determination of the sample

size.

• Record here any additional

information on the sites

selected for the audit and

dates of audit.

• If relevant, record here a

justification for the sample size

selected.

Sampling description (Section 16)

16. Sampling description

Guidance

The auditor can record here additional observations or comments regarding the determination of the sample size.

Record here any additional information on the sites selected for the audit and dates of audit.

If relevant, record here a justification for the sample size selected.

Note if the group has been stratified and if this impacts sampling (refer to BB4)

PROVIDE IN FREE TEXT

• The audit team’s assessment of the competency and impartiality of the

group entity to operate a group certification scheme.

• The audit team’s perception of the competency of the internal auditors to

undertake internal audits as part of a group certification scheme

• The audit team’s findings compared with the findings made by the group

entity

• This can be recorded as free text.

Audit team commentary (Section 17)

• This section should be completed by the auditor at the end of each audit (initial,

surveillance and re-certification).

• Complete Table B4 first (see example in presentation on the Single/Multi-site

Checklist)

• Use the result in table B5 to determine the surveillance frequency.

Important: At minimum, the audit frequency must be annual for Group CoC

(reduced surveillance is not permitted, see BB3.2.1)

• Only one surveillance frequency on table B5 is possible. Where there is a score

between 50 and 55 the auditor can choose the most appropriate frequency.

Audit frequency (Section 18)

50 or more Enhanced Surveillance On-site once each 6 months0

0 to 55 Standard SurveillanceOn-site once each 12

months 0

Decision ---

• Record here all non-conformities raised at group entity and site level and any

observations.

• All non-conformities should be recorded

• Guidance is provided on the type of non-conformities at group entity and site level

Non-conformities (Section 19)

Date

25/09/2013

25/09/2013

Number Clause Description of non-conformity / Observation

Group Entity / Site

(enter Group Entity or site

name)

Grade (minor/ major/

critical /observation)To address by date Corrective action

1

CoC BD4.2.1/

BD4.2.2/

BD4.2.3

No contract or communication of the MSC expectations/ standards to the

subcontractor.

Minor

26/10/2013

sub contractor agreement formed and provided to

subcontractors - copy attached

2 ---

3 ---

Auditor Richard McDonald

Signature

OrganisationAlex Stone

This section is to be completed by the CABs decision making entity after each

audit.

Certification decision (Section 20)

Date

Certificate valid ---

CAB Decision Making Entity Name/Surname

Observation (not mandatory)

Annex A Subcontractors Table

• Complete this table if there are subcontractors used to handle any

certified products.

Annex B Non Conformities from previous audit

• Any non-conformity from a previous audit that has not been closed off

must be recorded again as an audit non-conformity.

Annex C MSC Purchases

• The use of this table is non-mandatory, but is recommended to help give

the auditor a full picture of all MSC products handled between audits.

Annexes to Group Checklist

Questions ?

4. Example of FAQ

Q: Where can I find the checklist?

A: It is on the MSC webpage at this link:

http://www.msc.org/documents/scheme-documents/forms-and-templates

Q: How many checklists are there?

A: Two. One for single site/multi-site CoC audits and on for group CoC audits

Q: Can certificate holders get the checklist?

A: Yes. The checklist is a public document and can be downloaded by

clients and used to prepare for audits

Audit Checklist FAQs










Q: Is the checklist in English only?

A: No. Translations will be available in German, French, Spanish, Mandarin

and Japanese

Q: When does the new version of the checklist become effective for

CABs to use?

A: On the 31st of March 2014

Q: What is the deadline by which CABs must be using the MSC audit

checklist for all CoC audits?

A: By the 31st of March 2015


Q:How should I record extra detail of scope in the checklist e.g.

product form?

A: At the moment this can be placed in company description (free text), but

a free text field will be added to the scope tab in the next release (Note- this

level of detail for “scope” is not required under v1.4).

Q: Can we use single checklist for the individual sites of a group

entity?

A: No, the single/multisite checklist is geared towards these types of

certificate holder only. For example the Group checklist’s Questions tab

includes details for groups and group sites only, which are not in the single/

multisite version. The question tab in the group checklist is laid out so that

you can highlight if there are details relating to the group entity or the sites.


Q: Can an “electronic signature” also just be the client representative

typing their name in the box (rather than providing a scanned version

of a signature)?

A: Yes, it is accepted that a typed name is equivalent to a physical

signature, as per the guidance.

Q: If there is a tab that is not relevant for a particular client, should we

delete the tab?

A: Although the checklists are designed to be flexible to meet your needs,

and can be edited as you need, it is recommended that rather than deleting,

they are hidden by right clicking on them and selecting ‘Hide’.


5. Questions and answers

• We have about 30 minutes to take your questions and

give answers

• In case your question has not been answered or you have

queries at a later date please contact us

• We appreciate your feedback on use - please share your

best practice of use and tips

Questions and Answers

6. Conclusions and summing up

• The MSC will update this checklist when new requirements are issued.

• The MSC may revise this checklist and will communicate when a new

version is available.

• The most recent version can always be found on the MSC website.

• CABs and auditors can provide feedback on the checklist to:

[email protected]

• We welcome your questions at any time, get in touch at

[email protected]

Wrap up

www.msc.org

Please call / email the product integrity team if

you have any further questions..

Thank you for listening

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