WHITE PAPER

MSC & ASC

CHAIN OF CUSTODY

intertek.pt/alimentos-agricultura
MSC & ASC
CHAIN OF CUSTODY

CONTENTS

Introduction to MSC & ASC 3

Objective of Chain of Custody 4

Who Requires Chain of Custody? 4
Types of Certificate 5
What is Required of Certificate Holders? 5
Application Information 6
Audit Planning 6
Audit Components 6
Certification 7
Maintaining Certification 7
Benefits to Your Business 7
Intertek Fishery Certification’s Role in CoC 7

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MSC & ASC
CHAIN OF CUSTODY

INTRODUCCIÓN

Marine Stewardship Council (MSC) was founded in the early 1990’s between WWF and
Unilever in order to address the problem of unsustainable fishing and to safeguard seafood
suppliers for the future.
Globally, as of August 2016, there are 281 certified fisheries across 33 countries, accounting
for 9.5 million metric tonnes of commercially harvested seafood per year.
There are also 21,000 labelled products in 100 countries according to the MSC. The number
of MSC CoC certificate holders has increased three fold from 1,099 in 2010 to 3,300 across
34,500 sites in 2015.
Aquaculture Stewardship Council (ASC) was founded in 2010 by WWF and IDH (Dutch
Sustainable Trade Initiative) and uses MSC Chain of Custody (CoC) standards and requirements
for responsible aquaculture and farm raised species. The audit and certificate are the same for
both MSC and ASC. Clients may have both or either in their scope.
The ASC numbers are smaller because the scheme is newer and has 970 valid CoC
certificates, 5,908 approved products in 58 countries and the majority of labelled products
covered include Pangasius, Tilapia, Salmon, Trout, Shrimp, Bivalves.
Both certifications not only provide seafood buyers with the confidence that products can
be traced back to a fishery that meets the MSC or ASC Fisheries Standard, they also provide
consumers with credible assurance of the traceability of the supply chain back to a certified
source.

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MSC & ASC
CHAIN OF CUSTODY

MSC & ASC

CERTIFICATION
1. Objective of Chain of Custody
The objective of both MSC and ASC CoC is to provide an assurance that only products
originating from MSC certified fisheries or ASC certified farms are labelled as MSC or ASC
respectively. From a client perspective, it’s the ability to identify your product as MSC or ASC
certified through claim or logo use.
Fishery and farm certifications will certify the fish to the point of harvest or landing, or to any
other point as defined in the certification assessment report. CoC will ensure that a product
from a certified fishery or farm can be traced and also that any product bearing the logo will
be able to be traced back to a certified source or supplier. CoC is a voluntary standard and
may be used for a variety of reasons.

2. Who Requires Chain of Custody?

The MSC has clarified that all companies taking legal ownership are required to have CoC.
Organisations are considered legal owners if they issue invoices related to the sale of a
certified product, or collect payment, i.e. companies who have financial ownership rather than
physical possession. Applicants that do not take ownership (i.e. transportation companies)
can be certified if they wish.
The exceptions to this rule include:
• 
Companies handling Consumer Ready Tamper Proof Packaged (CRTPP) product – these
are products that are in their final packaging that cannot be opened or resealed, which are
then sold to the final consumer. For example with a can of tuna, the CoC would stop at the
processor who packages the tuna in the can, meaning the retailer who stocks it in their
stores doesn’t need CoC.
• Companies receiving CRTPP and opening these products for the purpose of heating or plating.
For example airline companies receive prepackaged and sealed meals for their passengers but
only open it or heat it before it is served.
• Entities identified on a valid fishery or farm certificate – in general the fishery certificate will
end at the point of landing but it may be extended beyond that, covering organisations such as
agents, auctions or onloaders who are handling product close to the fishery. These are covered
only if the fishery team assesses the risk and deem it appropriate that they do not require CoC.

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3. Types of Certificate
There are several types of certificate which can be issued:
Single Site – for companies who have one site where one Audit is conducted and one CoC
• 
number issued
Multi-Site – for companies who have more than one site. These are usually smaller groups
• 
that are related, with all sites visited by the auditor. For example a company may have two
processing sites and a trading or administration office – all three sites would be visited and
when certified they would be issued with one CoC number which can be used at all three sites.
Group Certificates – generally for larger organisations that are handling or grading certified
• 
products at multiple sites, where each site is monitored by a group entity (head office). Audits
would take place at a selection of sites based on risk, location and activities conducted (i.e.
companies with several processing locations). Here one CoC number would be issued for all
sites.
Consumer Facing Organisation (CFO) – these may be issued to single site or group companies
• 
with the certificate issued to organisations that serve or sell seafood to the final consumer (i.e.
retail or foodservice – for example, a university with several food service sites on campus can be
audited as a Group CFO client). If it is a group, a sample of sites will be visited.

4. What is Required of Certificate Holders?

The CoC programme is evidence-based so during an audit auditors will look to see that the
company meets five main principles of the CoC standard and the criteria under each principle.
1. The product is purchased from a certified supplier – the auditor will look to see that any
product that is handled as certified comes from a certified source, such as a certified fishery if
you’re buying directly from the fishery or farm, or a certified supplier i.e. another CoC holder.
2. The product is easily identifiable – at each stage the product is handled from purchasing to
receiving, processing, etc, the certified product is easily identifiable, both physically and within
the paperwork, especially if you’re handling certified and noncertified species.
3. The product is segregated from non-certified products – product should be separated at all
stages from receiving to production and shipping.
4. The product is traceable and volumes can be reconciled – the auditor will check that from the
point of receiving to the point of shipping or sale and vice versa, the product can be traced
back to the certified source or supplier. Also over a period of time, they will check what was
purchased and certified, consumed and produced and then what was sold and certified to
ensure the values make sense and that enough was brought in to generate the amount of
certified product that was sold or produced.
5. The organisation has a management system – ensuring that the correct policies and
procedures are in place and implemented, looking at management and training, documenting
changes, subcontractors, non-conforming product, supply chain requirements and UMAF.

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5. Application Information
Intertek provides an application and following its completion it confirms: “The objective of both MSC
• Eligibility and ASC CoC is to provide
• Scope of certification (this can be expanded to include more species and activities) an assurance that only
products
• 
TType of certificate – looking at the best option for your business
originating from MSC
The application helps to confirm: certified
• Cost fisheries or ASC certified
farms are labelled as MSC
• Timeline
or ASC respectively”
• Tentative schedule and plan for certification

6. Audit Planning
In most instances, audits are conducted on-site with the exception of trading-only
organisations who do not take physical possession and are only involved in buying and
selling. The duration on-site will vary depending on the number of sites, activities and risk but
generally audits take between one and 1.5 days on-site per facility.
The audit will include all staff involved in traceability, purchase and sale, processing, packing,
etc, as required, making sure that all of the people making decisions at each of these steps
are aware of the procedures.

7. Audit Components
All audits are evidence-based so auditors will look to collect and take samples of documents
that demonstration how each of the Principles and Criteria are met. All audits will start
and end with an opening and closing meeting to confirm the plan for the audit, to ensure
the scope is appropriate and at the closing meeting any findings or nonconformities are
understood, as well as any timelines for next steps.
The main components of the audit include:
A document review which review documents related to traceability, ensuring products can be
• 
traced from input and output and vice versa. Random test samples are taken to ensure product
can be traced forward from certified input to output and backwards from certified finished
product to certified source or supplier. For the initial audit, this will be based on existing systems
and non-certified product which are similar. A reconciliation exercise is conducted at each audit,
the number depends on the number of species and activities carried out and is a snapshot over
a period of time of what has been purchased, consumed, packed and sold. A review of policies
and procedures is carried out to see if they cover and are applicable to MSC requirements. These
do not have to be MSC specific but must cover all requirements. Also, focus on the training of
individuals involved in decision making to ensure everyone is aware of and competent in the
roles as it relates to MSC requirements.
Physical inspection - reviewing separation and identification involving a walkthrough of the
• 
facility to understand its operation. This is to confirm products are identifiable at each stage
and are separated from non-certified products on site. The auditor will also identify any areas of
risk of mixing/substitution and how they are mitigated.
• E
 valuation - to identify any strengths, weaknesses and nonconformances – the auditor will
review findings, which may be major, minor or observations. Minors need to be fixed by the
next audit, but a corrective action plan must be in place for certification. Observations are not
findings but should be considered as “opportunities for improvement” and majors must be
downgraded before certification is granted, or closed.

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8. Certification
The initial audit must be completed within three months otherwise a second site visit will be
required. The certificate is valid for three years from the date of issue.

9. Maintaining Certification
Whilst the certificate is valid for three years, surveillance audits are required either annually
(for companies processing product or changing product form) or every 18 months for
lower risk organisations, such as if 100% of the seafood handled is certified, if trading
only is conducted or if the organisation handles certified product packed in sealed boxes
or containers and do not repack, process, or alter the box. As with initial audits, surveillance
audits are usually completed on site but some can be conducted remotely depending on
the risk which is confirmed at the end of the initial audit. Any non-conformances which
have been identified in the initial audit are to be closed by the surveillance audit to ensure
previous weaknesses have been addressed. The certificate holder has a responsibility to
report changes to the certification body over the course of the certification. Failure to do
so may result in nonconformances at the surveillance audit. For example new contacts, new
suppliers, new species, new activities, the addition of ASC, nonconforming product, etc.

10. Benefits to Your Business

 onsumer assurance that MSC or ASC products are sourced legally from a certified sustainable
• C
source, have not been mixed with uncertified seafood and can be traced along each link of the
supply chain from ocean to plate
• Meet corporate sustainability commitments
• Open or maintain markets
• Price point differences

11. Intertek Fishery Certification’s Role in CoC

Intertek Fisheries Certification (IFC) is accredited to conduct MSC and ASC single site, group
and multi-site certifications globally. We have over 30 approved auditors worldwide with
operations mainly in China, Vietnam, the United Kingdom, Japan, Singapore and Canada,
making IFC one of the largest accredited certification bodies.

12. Supporting You

If you would like to understand more about our MSC & ASC CoC services, contact our regional
customer service centres using the details on the back of this white paper.

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Intertek is a leading Total Quality Assurance provider to industries worldwide.
Our network of more than 1,000 laboratories and offices and over 42,000
people in more than 100 countries, delivers innovative and bespoke Assurance,
Testing, Inspection and Certification solutions for our customers’ operations and
supply chains. Intertek Total Quality Assurance expertise, delivered consistently
with precision, pace and passion, enabling our customers to power ahead safely.

FOR MORE INFORMATION

Rua Antero de Quental 221, sala 102

4455-586 Perafita
Porto - Portugal

+ 351 707 010 049

info.portugal@intertek.com

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