Proposal for a regulation
Annex III a (new)
FAO GUIDELINES FOR THE ECOLABELLING OF FISH AND FISHERY PRODUCTS FROM MARINE CAPTURE FISHERIES SCOPE 1. These guidelines are applicable to ecolabelling schemes that are designed to certify and promote labels for products from well-managed marine capture fisheries and focus on issues related to the sustainable use of fisheries resources. PRINCIPLES 2. The following principles should apply to ecolabelling schemes for marine capture fisheries: 2.1 Be consistent with the 1982 United Nations Convention on the Law of the Sea and the Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks, the FAO Code of Conduct for Responsible Fisheries and the World Trade Organization (WTO) rules and other relevant international instruments. 2.2 Recognize the sovereign rights of States and comply with all relevant laws and regulations. 2.3 Be of a voluntary nature and market- driven. 2.4 Be transparent, including balanced and fair participation by all interested parties. 2.5 Be non-discriminatory, do not create unnecessary obstacles to trade and allow for fair trade and competition. 2.6 Provide the opportunity to enter international markets. 2.7 Establish clear accountability for the owners of schemes and the certification bodies in conformity with international standards. 2.8 Incorporate reliable, independent auditing and verification procedures. 2.9 Be considered equivalent if consistent with these guidelines. 2.10 Be based on the best scientific evidence available, also taking into account traditional knowledge of the resources provided that its validity can be objectively verified. 2.11 Be practical, viable and verifiable. 2.12 Ensure that labels communicate truthful information. 2.13 Provide for clarity. 2.14 Be based, at a minimum, on the minimum substantive requirements, criteria and procedures outlined in these guidelines. 3. The principle of transparency should apply to all aspects of an ecolabelling scheme including its organizational structure and financial arrangements. GENERAL CONSIDERATIONS 4. Ecolabelling schemes should take into account that principles, minimum substantive requirements, criteria and procedures set out in this document will apply equally for developed, transition and developing countries. 5. Bearing in mind that ecolabelling schemes relate to fisheries management, and rights and duties of States, it is recognized that the involvement of States in ecolabelling schemes is desirable and should be encouraged. It is also recognized that States and, as appropriate, Regional Fisheries Management Organizations (RFMOs) may develop ecolabelling schemes in a manner consistent with these guidelines. Ecolabelling schemes should give full consideration to the recommendations and advice by States, and, as appropriate, RFMOs. 6. In accordance with Article 5 of the Code of Conduct for Responsible Fisheries, and recognizing that all countries should have the same opportunities, and in view of the special conditions applying to developing countries and countries in transition and their important contribution to international fish trade, it is acknowledged that in order to benefit from applying ecolabelling schemes, States, relevant intergovernmental and non-governmental organizations and financial institutions should provide developing countries and countries in transition with financial and technical assistance to develop and maintain appropriate management arrangements that will allow them to participate in such schemes. Such assistance should also consider direct support towards the often high costs of accreditation and certification. Development agencies and donor institutions are encouraged to support FAO in facilitating financial and technical assistance to developing countries and countries in transition. TERMS AND DEFINITIONS 7. For the purpose of these International Guidelines, the following terms and definitions apply. Accreditation: 8. Procedure by which a competent authority gives formal recognition that a qualified body or person is competent to carry out specific tasks. (Based on ISO/IEC Guide 2:1996, 12.11) Accreditation body: 9. Body that conducts and administers an accreditation system and grants accreditation.(Based on ISO Guide 2, 17.2) Accreditation system: 10. System that has its own rules of procedure and management for carrying out accreditation.(Based on ISO Guide 2, paragraph 17.1) Arrangement: 12. A cooperative mechanism established by two or more parties be they governmental, private or non-governmental entities. Audit: 13. A systematic and functionally independent examination to determine whether activities and related results comply with planned objectives. (Based on Codex Alimentarius, Principles for Food Import and Export Certification and Inspection, CAC/GL 20) Certification: 14. Procedure by which a third party gives written or equivalent assurance that a product, process or service conforms to specified requirements. Certification may be, as appropriate, based on a range of inspection activities which may include continuous inspection in the production chain. (Based on ISO Guide 2, 15.1.2 and Principles for Food Import and Export Certification and Inspection, CAC/GL 20) Certification body: 15. Competent and recognized body that conducts certification. A certification body may oversee certification activities carried out on its behalf by other bodies. (Based on ISO Guide 2, 15.2) Chain of custody: 16. The set of measures which is designed to guarantee that the product put on the market and bearing the ecolabel logo is really a product coming from the certified fishery concerned. These measures should thus cover both the tracking/traceability of the product all along the processing, distribution and marketing chain, as well as the proper tracking of the documentation (and control of the quantity concerned). Complaint: 17. An objection by a person or body to a decision regarding accreditation, de-accreditation, certification or de-certification. Conformity assessment: 18. Any activity concerned with determining directly or indirectly that relevant requirements are fulfilled. 19. Note: typical examples of conformity assessment activities are sampling, testing and inspection; evaluation, verification and assurance of conformity (supplier's declaration, certification); registration, accreditation and approval as well as their combinations.(ISO Guide 2, 12.2) Decision: 20. Any resolution by an accreditation or certifying body or arrangement concerning the rights and obligations of a person or body. Ecolabelling scheme: 21. Ecolabelling schemes entitle a fishery product to bear a distinctive logo or statement which certifies that the fish has been harvested in compliance with conservation and sustainability standards. The logo or statement is intended to make provision for informed decisions of purchasers whose choice can be relied upon to promote and stimulate the sustainable use of fishery resources. Standard for certification: 22. Document approved by a recognized organization or arrangement, that provides, for common and repeated use, rules, guidelines or characteristics for products or related processes and production methods, with which compliance is not mandatory under international trade rules. It may also include or deal exclusively with terminology, symbols, packaging, marking or labelling requirements as they apply to a product, process or production method. (Based on TBT agreement, Annex 1, paragraph 2) In these guidelines, unless otherwise qualified, the word standard refers to a standard for certification. The standard for certification will include requirements, criteria and performance elements in a hierarchical arrangement. For each requirement, one or more substantive criteria should be defined. For each criterion, one or more performance elements should be provided for use in assessment. Standard-setting organization or arrangement: 23. Organization or arrangement that has recognized activities in standard setting.(Based on ISO Guide 2, paragraph 4.3) Third party: 24. Person or body that is recognized as being independent of the parties involved, as concerns the issue in question.(ISO/IEC Guide 2:1996) Unit of certification: 25. The "unit of certification" is the fishery for which ecolabelling certification is sought, as specified by the stakeholders who are seeking certification. The certification could encompass: the whole fishery, where a fishery refers to the activity of one particular gear-type or method leading to the harvest of one or more species; a sub-component of a fishery, for example a national fleet fishing a shared stock; or several fisheries operating on the same resources. The "stock under consideration" exploited by this fishery (unit of certification) may be one or more biological stocks as specified by the stakeholders for certification. The certification applies only to products derived from the "stock under consideration" (see paragraph 30). In assessing compliance with certification standards, the impacts on the "stock under consideration" of all the fisheries utilizing that "stock under consideration" over its entire area of distribution are to be considered. MINIMUM SUBSTANTIVE REQUIREMENTS AND CRITERIAFOR ECOLABELS Introduction 26. The following sets forth the minimum substantive requirements and criteria for assessing whether a fishery can be certified and an ecolabel awarded to a fishery. Ecolabelling schemes may apply additional or more stringent requirements and criteria related to sustainable use of the resources. The requirements and criteria presented below are to be based on and interpreted in accordance with the current suite of agreed international instruments addressing fisheries, in particular the 1982 UN Convention on the Law of the Sea, the 1995 UN Fish Stocks Agreement and the 1995 Code of Conduct for Responsible Fisheries, as well as related documentation including the 2001 Reykjavik Declaration on Responsible Fisheries in the Marine Ecosystem. 27. Requirements are specified for each of three areas: the management systems, the fishery and associated "stock under consideration" for which certification is being sought, and consideration of serious impacts of the fishery on the ecosystem . Criteria and related measurable performance indicators and a corresponding monitoring system should be established in order to assess the conformity of the fishery concerned with the requirements and the criteria of the ecolabelling scheme. In developing and applying the criteria and assessing the conformity of the fishery with the standard of certification, the views and opinions of States, RFMOs and FAO should be fully considered. Management systems 28. Requirement: The fishery is conducted under a management system which is based upon good practice and that ensures the satisfaction of the requirements and criteria described in Paragraph 29. The management system and the fishery operate in compliance with the requirements of local, national and international law and regulations, 28.1 For the "stock under consideration" there are documented management approaches with a well based expectation that management will be successful taking into account uncertainty and imprecision. 28.2 There are objectives, and as necessary, management measures to address pertinent aspects of the ecosystem effects of fishing as per paragraph 31. 29. The following criteria will apply to management systems for any fisheries, but it must be recognized that special consideration needs to be given to small- scale fisheries with respect to the availability of data and with respect to the fact that management systems can differ substantially for different types and scales of fisheries (e.g. small scale through to large scale commercial fisheries). 29.1 Adequate data and/or information are collected, maintained and assessed in accordance with applicable international standards and practices for evaluation of the current state and trends of the stocks. This can include relevant traditional, fisher or community knowledge, provided its validity can be objectively verified. 29.2 In determining suitable conservation and management measures, the best scientific evidence available is taken into account by the designated authority, as well as consideration of relevant traditional fisher or community knowledge, provided its validity can be objectively verified, in order to evaluate the current state of the "stock under consideration". 29.2bis: Taking due account of paragraph 32, for the "stock under consideration" the determination of suitable conservation and management measures should include or take account of: – Total fishing mortality from all sources is considered in assessing the state of the "stock under consideration", including discards, unobserved mortality, incidental mortality, unreported catches and catches in other fisheries. – Management targets are consistent with achieving maximum sustainable yield (MSY) (or a suitable proxy) on average, or a lesser fishing mortality if that is optimal in the circumstances of the fishery (e.g. multispecies fisheries) or to avoid severe adverse impacts on dependent predators. – The management system should specify limits or directions in key performance indicators (see 30.2), consistent with avoiding recruitment overfishing or other impacts that are likely to be irreversible or very slowly reversible, and specify the actions to be taken if the limits are approached or the desired directions are not achieved. 29.3 Similarly, data and information, including relevant traditional, fisher or community knowledge, provided its validity can be objectively verified, are used to identify adverse impacts of the fishery on the ecosystem, and timely scientific advice is provided on the likelihood and magnitude of identified impacts (see paragraph 31). 29.4 The designated authorities adopt and effectively implement appropriate measures for the conservation and sustainable use of the "stock under consideration" based on the data, information and scientific advice referred to in the preceding bullets. Short-term considerations should not compromise the long-term conservation and sustainable use of fisheries resources. 29.5 An effective legal and administrative framework at the local, national or regional level, as appropriate, is established for the fishery and compliance is ensured through effective mechanisms for monitoring, surveillance, control and enforcement (see paragraph 6). 29.6 In accordance with the Code of Conduct Article 7.5, the precautionary approach is being implemented to protect the "stock under consideration" and to preserve the aquatic environment. Inter alia this will require that the absence of adequate scientific information should not be used as a reason for postponing or failing to take conservation and management measures. 10 Further, relevant uncertainties are being taken into account through a suitable method of risk assessment. Appropriate reference points are determined and remedial actions to be taken if reference points are approached or exceeded are specified. "Stocks under consideration" 30. Requirement: The "stock under consideration" is not overfished, and is maintained at a level which promotes the objective of optimal utilization and maintains its availability for present and future generations, taking into account that longer term changes in productivity can occur due to natural variability and/or impacts other than fishing. In the event that biomass drops well below such target levels, management measures (Code of Conduct Article 7.6) should allow for restoration within reasonable time frames of the stocks to such levels (see also paragraph 29.2.bis). The following criteria are applicable: 30.1 The "stock under consideration" is not overfished if it is above the associated limit reference point (or its proxy). 30.2 If fishing mortality (or its proxy) is above the associated limit reference point, actions should be taken to decrease the fishing mortality (or its proxy) below that limit reference point. 30.3 The structure and composition of the "stock under consideration" which contribute to its resilience are taken into account. 30.4 In the absence of specific information on the "stock under consideration", generic evidence based on similar stocks can be used for fisheries with low risk to that "stock under consideration". However, the greater the risk the more specific evidence is necessary to ascertain the sustainability of intensive fisheries. Ecosystem considerations 31. Requirement: Adverse impacts of the fishery on the ecosystem should be appropriately assessed and effectively addressed. Much greater scientific uncertainty is to be expected in assessing possible adverse ecosystem impacts of fisheries than in assessing the state of target stocks. This issue can be addressed by taking a "risk assessment/risk management approach". For the purpose of development of ecolabelling schemes, the most probable adverse impacts should be considered, taking into account available scientific information, and traditional, fisher or community knowledge provided that its validity can be objectively verified. Those impacts that are likely to have serious consequences should be addressed. This may take the form of an immediate management response or further analysis of the identified risk. In this context, full recognition should be given to the special circumstances and requirements in developing countries and countries in transition, including financial and technical assistance, technology transfer, and training and scientific cooperation. The following criteria are to be interpreted in the context of avoiding high risk of severe adverse impacts: 31.1 Non target catches, including discards, of stocks other than the "stock under consideration" are monitored and should not threaten these non-target stocks with serious risk of extinction; if serious risks of extinction arise, effective remedial action should be taken. 31.2 The role of the "stock under consideration" in the food web is considered, and if it is a key prey species in the ecosystem, management measures are in place to avoid severe adverse impacts on dependent predators. 31.3 There is knowledge of the essential habitats for the "stock under consideration" and potential fishery impacts on them. Impacts on essential habitats and on habitats that are highly vulnerable to damage by the fishing gear involved are avoided, minimized or mitigated (Code of Conduct 7.2.2). In assessing fishery impacts, the full spatial range of the relevant habitat should be considered, not just that part of the spatial range that is potentially affected by fishing. 31.4 In the absence of specific information on the ecosystem impacts of fishing for the unit of certification, generic evidence based on similar fishery situations can be used for fisheries with low risk of severe adverse impact. However, the greater the risk the more specific evidence is necessary to ascertain the adequacy of mitigation measures. Methodological aspects Assessing current state and trends in target stocks 32. There are many ways in which state and trends in stocks may be evaluated, that fall short of the highly quantitative and data-demanding approaches to stock assessment that are often used for large scale fisheries in developed countries. Use of less elaborate methods for stock assessment should not preclude fisheries from possible certification for ecolabelling. However it should be noted that, to the extent that the application of such methods results in greater uncertainty about the state of the "stock under consideration", more precautionary approaches to managing fisheries on such resources will be required which may necessitate lower levels of utilization of the resource. There is a variety of management measures commonly used in small scale or low value fisheries that nonetheless can achieve quite adequate levels of protection for stocks in the face of uncertainty about the state of the resource. A past record of good management performance could be considered as supporting evidence of the adequacy of the management measures and the management system. PROCEDURAL AND INSTITUTIONAL ASPECTS Introduction 33. Drawing heavily on available guides, especially those produced by the International Organization for Standardization (ISO), this chapter of the guidelines addresses the three principal procedural and institutional matters that any ecolabelling scheme should encompass: (1) the setting of certification standards, (2) the accreditation of independent certifying bodies, and (3) the certification that a fishery and the product chain of custody are in conformity with the required standard and procedures. The certification standard encapsulates the objectives that are pursued by a scheme. It is usually expressed in specific criteria that a product and/or the production process and methods would have to meet to get certified. 34. Accreditation of a certification body seeks to verify that the body is appropriate and capable for the certifying tasks. It would have to ascertain that the certification body is neutral and independent and has the technical and financial capacity to perform a certification of the conformity of a fishery with the established standard. Similar requirements apply to the accreditation body itself. The accreditation body needs to have the technical and financial capacity to undertake accreditation tasks, and perform these tasks in a neutral, non- discriminatory and independent manner. 35. The above three steps in the setting up of an ecolabelling scheme would normally have to occur sequentially in the same order whereby (2) accreditation and (3) certification would remain regular activities of the scheme once established. The scheme may also, at a regular but longer time interval, review and revise the certification standard in view of new knowledge and experiences. Structure 36. The procedural guidelines are presented in three parts as follows: 1) Guidelines for the Setting of Standards of Sustainable Fisheries, 2) Guidelines for Accreditation, and 3) Guidelines for Certification. Each of these three parts is further subdivided into four sections: i) Purpose, ii) Normative references, iii) Functions and structure; and iv) Requirements. The Requirements are the minimum requirements that a body, person or arrangement should meet to be recognized as competent and reliable in its domain. The Principles listed earlier in these guidelines apply equally to procedural and institutional aspects of marine fisheries ecolabelling schemes. Options for governance structures 37. There are various options for the governance of an ecolabelling scheme. The initiative for a scheme could be taken by a government, an intergovernmental organization, a non-governmental organization, or a private industry association. There are also various options for the geographical range of a scheme. It could be national, regional or international in scope. 38. The owner of a scheme may not necessarily be directly engaged in its operational affairs. These may be handled by an organization or arrangement which has been specifically set up for this purpose. It could be public, non- governmental or private. The owner of the scheme may lay down rules and regulations under which the ecolabelling arrangement or body is required to operate. The body may implement one ecolabelling scheme for one specific sector (e.g. fisheries) or may have responsibilities for various sectors (textiles; paper; etc.) 39. The owner of an ecolabelling scheme should engage a separate independent specialist accreditation body to take on the task of accreditation of certification bodies on its behalf. The accreditation body could be private, public or an autonomous body governed by public service rules. Guidelines for the Setting of Standards of Sustainable Fisheries Purpose 40. The setting of standards is among the most critical tasks of any ecolabelling scheme of products from sustainable marine capture fisheries. The standards reflect the objectives for sustainable fisheries that are being pursued through the scheme. Standards comprise quantitative and qualitative indicators of the governance system or management regime of a fishery as well as of its outcome in terms of sustainable fisheries and conservation of marine fishery resources and related ecosystems. 41. Standards should not distort global markets and should not create unnecessary obstacles to international trade. Normative basis 42. The normative basis of standards of sustainable fisheries is given by international fisheries instruments and applicable national legislation. 43. In procedural terms, the normative basis for standard development includes the following: – ISO/IEC Guide 59 Code of good practice for standardization.1994. – WTO TBT, ANNEX 3 Code of Good Practice for the Preparation, Adoption and Application of Standards. – FAO. 1998. Report of the Technical Consultation on the Feasibility of Developing Non-Discriminatory Technical Guidelines for Eco-Labelling of Products from Marine Capture Fisheries, Rome, Italy, 21-23 October 1998.FAO Fisheries Report No. 594. – ISEAL. P020 Guidance on ISEAL Code of Good Practice for Setting Social and Environmental Standards. Public Draft. July 2003. – ISEAL. Code of Good Practice for Voluntary Process and Production Method Standard-setting Procedures. Public Draft. 1 March 2003. Functions and organizational structure 44. A standard setting organization or arrangement is assigned with the tasks of setting, reviewing, revising, assessing, verifying and approving standards. These tasks can be fulfilled through a specialized standard-setting body or through another suitable arrangement. 45. Where there is no standard-setting body, the organizational structure of a standard-setting arrangement should include, inter alia, a technical committee of independent experts and a consultation forum whose mandates are established. Requirements Transparency 46. Transparency in the development of standards is necessary to guarantee and to ensure consistency with relevant international standards and to facilitate access, and participation of all interested parties, especially those of developing countries and countries in transition. 47. Standard-setting organizations or arrangements should carry out their activities in a transparent fashion and following written rules of procedure. Procedural rules should contain a mechanism for the impartial resolution of any substantive or procedural disputes about the handling of standard-setting matters. 48. A standard is under preparation (under review or under revision) from the moment a decision has been taken to develop, review or revise a standard until that standard has been adopted. 49. Once a standard has been adopted, it should be promptly published and should be accessible on the Internet. 50. At least once every six months, the standard-setting organization or arrangement should publish a work programme containing: − its name; − its address; − the list of standards currently under preparation; − the list of standards currently under reviewing or revision; − the list of standards which were adopted in the preceding period. 51. A notice of existence of the work programme should be published in a national or, as may be, regional or international publication of standardization activities and/or should be accessible on the Internet whenever possible. 52. On the request of any interested party, the standardizing organization or arrangement should promptly provide, or arrange to provide a copy of its standard setting procedures, most recent work programme, draft standard or final standard. 53. Translations into English, French or Spanish of standard setting procedures, most recent work programme, draft standards or final standards should be provided upon request, within the means of the standard-setting body or arrangement. Participation by interested parties 54. Standard-setting arrangements or organizations should ensure balanced participation by independent technical experts and by representatives of interested parties in the standard development, revision and approval process. Development of standards of sustainable fisheries should, wherever possible, include representatives of fisheries management authorities, the fishing industry, fish workers organizations, the scientific community, environmental interest groups, fish processors, traders and retailers as well as consumer associations. 55. Interested parties should be associated in the standard-setting tasks through an appropriate consultation forum or be made aware of an appropriate alternative mechanisms by which they can participate. Where more than one forum is designated, coordination requirements applicable to them should be determined. 56. Standardizing arrangements or organizations should have written procedures to guide decision-making. Notification provisions 57. Before adopting a standard, the standardizing organization or arrangement should allow a period of at least 60 days for the submission of comments on the draft standard by interested parties. No later than the start of the comment period, the standardizing organization or arrangement should publish a notice announcing the period for commenting in a national or, as may be, regional or international publication of standardization activities and/or on the Internet. 58. The standardizing organization or arrangement should take into account, in further processing of the standard, the comments received during the period for commenting. The reply should include an explanation why a deviation from relevant national or international standards is necessary. Keeping of records 59. Proper records of standards and development activity should be prepared and maintained. The standard setting organization or arrangement should identify a central focal point for standards-related enquiries and for submission of comments. Contact information for this focal point should be made easily available including on the Internet. Review and revision of standards and of standard setting procedures 60. Standards should be reviewed at regular published intervals and, if appropriate, revised following such reviews. Certified fisheries should be given a period of at least three years to come into compliance with the revised standards. 61. Proposals for revisions can be submitted by any interested party and should be considered by the standard- setting organization or arrangement through a consistent and transparent process. 62. The procedural and methodological approach for setting standards should also be updated in the light of scientific and technical progress and of the experience gained in standard setting of sustainable fisheries. Validation of standards 63. In developing and revising standards, an appropriate procedure should be put in place to validate the standard vis-à-vis the minimum requirements for sustainable marine fisheries as laid out in these guidelines. Validation is also required to ensure that standards do not encompass criteria or requirements that are of no relevance for sustainable fisheries and could cause unnecessary barriers of trade or mislead the consumer. Guidelines for Accreditation Purpose 64. Accreditation provides assurance that certification bodies responsible for conducting conformity assessments with sustainability standards and chain of custody requirements in fisheries are competent to carry out such tasks. By awarding accreditation to a certification body, accreditation bodies provide assurance that the latter is able to assess and certify that a certain fish or fishery product comes from a fishery that conforms with the established standard of sustainability. Normative reference 65. ISO Guide 61.General Requirements for assessment and accreditation of certification/registration bodies.1996. Functions and structure 66. Accreditation is carried out on the basis of a system that has its own rules and management, i.e. an accreditation system. The tasks of granting accreditation following successful assessment should be undertaken by competent accreditation bodies. In order to be recognized as competent and reliable in undertaking the assessment in a non- discriminatory, impartial and accurate manner, an accreditation body should fulfil, inter alia, the following requirements. Requirements Non-discrimination 67. Access to the services of the accreditation body should be open to all certification entities irrespective of their country of residence. Access should not be conditional upon the size of the applicant body or membership in any association or group, nor should accreditation be conditional upon the number of certification bodies already accredited. 68. Full recognition should be given to the special circumstances and requirements of certification bodies in developing countries and countries in transition including financial and technical assistance, technology transfer, and training and scientific cooperation. Independence, impartiality and transparency 69. The accreditation body should be independent and impartial. In order to be impartial and independent, the accreditation body should: − be transparent about its organizational structure and the financial and other kinds of support it receives from public or private entities; − be independent from vested interests, together with its senior executive and staff; − be free from any commercial, financial and other pressures which might influence the results of the accreditation process; − ensure that decision on accreditation is taken by a person(s)who has (ve) not participated in the assessment; − not delegate authority for granting, maintaining, extending, reducing, suspending or withdrawing accreditation to an outside person or body. Human and financial resources 70. The accreditation body should have adequate financial resources and stability for the operation of an accreditation system and should maintain appropriate arrangements to cover liabilities arising from its operations and/or activities. 71. The accreditation body should employ a sufficient number of personnel having the necessary education, training, technical knowledge and experience for performing accreditation functions in fisheries. 72. Information on the relevant qualifications, training and experience of each member of the personnel involved in the accreditation process should be maintained by the accreditation body. Record of training and experience should be kept up to date. 73. When an accreditation body decides to subcontract work related to accreditation to an external body or person, the requirements for such an external body should be no less than for the accreditation body itself. A properly documented contractual or equivalent agreement covering the arrangements including confidentiality and conflict of interests, should be drawn up. Accountability and reporting 74. The accreditation body should be a legal entity and should have clear and effective procedures for handling applications for accreditation procedures. In particular, the accreditation body should maintain and provide to the applicants and accredited entities: −a detailed description of the assessment and accreditation procedure; − the documents containing the requirements for accreditation; − the documents describing the rights and duties of accredited bodies. 75. A properly documented contractual or equivalent agreement describing the responsibilities of each party should be drafted. 76. The accreditation body should have: − defined objectives and commitment to quality; − procedures and instructions for quality documented in a quality manual; − an established effective and appropriate system for quality. 77. The accreditation body should conduct periodic internal audits covering all procedures in a planned and systematic manner to verify that the accreditation system is implemented and effective. 78. The accreditation body may receive external audits on relevant aspects. The results of the audit should be accessible by the public. 79. Qualified personnel, attached to the accreditation body's team, should be nominated by the accreditation body to conduct the assessment against all applicable accreditation requirements. 80. Personnel nominated for the assessments should provide the accreditation body with a report of its findings as to the conformity of the body assessed to all of the accreditation requirements. The report should provide sufficiently comprehensive information such as: − the qualification, experience and authority of the staff encountered; − the adequacy of the internal organization and procedures adopted by the certification body to give confidence in its services; − the actions taken to correct identified nonconformities including, where applicable, those identified at previous assessments. 81. The accreditation body should have policy and procedures for retaining records of what happened during the assessment visit for a period consistent with its contractual, legal or other obligations. The records should demonstrate that the accreditation procedures have been effectively fulfilled, particularly with respect to application forms, assessment reports and other documents relating to granting, maintaining, extending, reducing, suspending or withdrawing accreditation. The records should be identified, managed and disposed of in such a way as to ensure the integrity of the process and confidentiality of the information. Resolution of complaints concerning accreditation of certifying bodies 82. The accreditation body should have a written policy and procedures for dealing with any complaints in relation to any aspect of the accreditation or de- accreditation of certifying bodies. 83. These procedures should include establishment, on an ad hoc basis as appropriate, of an independent and impartial committee to respond to a complaint. If possible, the committee should attempt to resolve any complaints through discussion or conciliation. If this is not possible, the committee should provide a written ruling to the accreditation body, which should transmit it to the other party or parties involved. 84. The accreditation body should: a) keep a record of all complaints, and remedial actions relative to accreditation; b) take appropriate corrective and preventive action; c) assess the effectiveness of remedial actions; d) safeguard confidentiality of information obtained during the investigation and resolution of complaints. 85. Information on procedures for handling complaints concerning accreditation should be made publicly available. 86. The above does not exclude recourse to other forms of legal and administrative processes as provided for in national legislation or international law. Confidentiality 87. The accreditation body should have adequate arrangements, consistent with applicable laws, to safeguard confidentiality of the information obtained in the course of its accreditation activities at all levels of its organization, including committees and external bodies acting on its behalf. 88. Where the law requires information to be disclosed to a third party, the body should be informed of the information provided, as permitted by the law. Otherwise information about an applicant certification body should not be disclosed to a third party without a written consent of the body. Maintenance and extension of accreditation 89. The accreditation body should have arrangements to ensure that an accredited certification body informs it without delay of changes in any aspects of its status or operation. 90. The accreditation body should have procedures to conduct reassessments in the event of changes significantly affecting the capabilities, or scope of accredited activities of the accredited body or the conformance with any other relevant criteria of competence specified by the accreditation body. 91. Accreditation should be re-assessed at sufficiently close intervals to verify that the accredited certification body continues to comply with the accreditation requirements. The periodicity for carrying out reassessments should not exceed five years. Suspension and withdrawal of accreditation 92. The accreditation body should specify the conditions under which accreditation may be suspended or withdrawn, partially or in total, for all or part of the scope of accreditation. Change in the accreditation requirements 93. The accreditation body should give due notice of any changes it intends to make in its requirements for accreditation. 94. It should take account of views expressed by interested parties before deciding on the precise form and effective date of the changes. 95. Following a decision on, and publication of, the changed requirements, it should verify that each accredited body carries out any necessary adjustments to its procedures within such time as, in the opinion of the accreditation body, is reasonable. 96. Special considerations should be given to accredited bodies in developing countries and countries in transition. Proprietor or licensee of an accreditation symbol or a logo 97. The accreditation body which is proprietor or licensee of a symbol or logo, intended for use under its accreditation programme, should have documented procedures describing its use. 98. The accreditation body should not allow use of its accreditation mark or logo in any way which implies that the accreditation body itself approved a product, service or system certified by a certification body. 99. The accreditation body should take suitable action to deal with incorrect references to the accreditation system or misleading use of accreditation logos found in advertisements, catalogues, etc. Guidelines for Certification Purpose 100. Certification is the procedure by which a third party gives written or equivalent assurance that a fishery conforms with the relevant standard and that a proper chain of custody is in place. Certification is an integral and indispensable part of any ecolabelling scheme of products from sustainable marine fisheries. It provides assurance to buyers and consumers that a certain fish or fishery product comes from a fishery that conforms with the established standard for a sustainable fishery. Impartial certification based on an objective assessment of all relevant factors ensures that ecolabels convey truthful information. This is a necessary condition for the ecolabelling scheme to attain its objectives. Scope 101. There are two types of certification, certification of the fishery itself and certification of the chain of custody between the time the fish is harvested and the time the fish or fishery product is sold to the final consumer. Separate certificates may be issued for the fishery and for the chain of custody. 102. Two types of assessments are required for certification: a) conformity assessment of whether a fishery conforms with the standard and related certification criteria; b) chain of custody assessment of whether adequate measures are in place to identify fish from a certified fishery at subsequent stages of fish processing, distribution and marketing. 103. Fish and fishery products that are labelled to indicate to the consumer their origin from a sustainable fishery require both types of assessments and certificates. Normative references 104. ISO Guide 62, General Requirements for bodies operating assessment and certification/registration of quality systems. 1996. 105. ISO/IEC Guide 65, General requirements for bodies operating product certification systems . 1996. 106. WTO. Agreement on Technical Barriers to Trade, Article 5. Functions and structure 107. The tasks of carrying out conformity and chain of custody assessments should be undertaken by recognized and accredited certification bodies. In order to be recognized as competent and reliable in undertaking the assessments in a non- discriminatory, impartial and accurate manner, a certification body has to fulfil, inter alia, the following requirements. Requirements Independence and impartiality 108. The certification body should be legally and financially independent from the owner of the ecolabelling scheme. 109. The certification body and its assessment and certifying staff, whether directly employed by the certification body or sub-contracted by it, should have no commercial, financial or any other interest in the fishery or chain of custody to be assessed other than for its certification services. 110. The certification body should ensure that different personnel conduct the certification decision and the certification assessments. 111. The certifying body should not delegate authority for granting, maintaining, extending, reducing, suspending or withdrawing certification to an outside person or body. Non-discrimination 112. Access to the services of the certification body should be open to all types of fisheries whether managed by a regional, governmental, parastatal or non-governmental fisheries management organizations or arrangement. Access to certification should not be conditional upon the size or scale of the fishery nor should certification be conditional upon the number of fisheries already certified. Human and financial resources 113. The certification body should have adequate financial resources and stability for the operation of a certification system and should maintain appropriate arrangements to cover liabilities arising from its operations and/or activities. 114. The certification body should employ a sufficient number of personnel having the necessary education, training, technical knowledge and experience for performing conformity and/or chain of custody assessments in fisheries. 115. Information on the relevant qualifications, training and experience of each member of the personnel involved in the certification process should be maintained by the certification body. Record of training and experience should be kept to date. 116. When a certification body decides to sub-contract work related to certification to an external body or person, the requirements for such an external body should be no less than for the certification body itself. A properly documented contractual or equivalent agreement covering the arrangements including confidentiality and conflict of interests, should be drawn up. Accountability and reporting 117. The certification body should be a legal entity and have clear and effective procedures for handling applications for certification of the fishery and/or the chain of custody. In particular, the certification body should maintain and provide to the applicants and certified entities: − a detailed description of the assessment and certification procedure; − the documents containing the requirements for certification; − the documents describing the rights and duties of certified entities. 118. A properly documented contractual or equivalent agreement describing the rights and duties of each party should be drafted between the certification body and its clients. 119. The certification body should have: − defined objectives and commitment to quality; − policies and procedures for quality documented in a quality manual; − an established effective, appropriate system for quality. 120. The certification body should conduct periodic internal audits covering all procedures in a planned and systematic manner to verify that the certification system is implemented and effective. 121. The certification body may receive external audits on relevant aspects. The results of the audits should be accessible by the public. 122. The certification body should have a policy and procedures for retaining records for a period consistent with its contractual, legal or other obligations. The records should demonstrate that the certification procedures have been effectively fulfilled, particularly with respect to application forms, assessment reports and other documents relating to granting, maintaining, extending, reducing, suspending or withdrawing certification. The records should be identified, managed and disposed of in such a way as to ensure the integrity of the process and confidentiality of the information. 123. The certification body should ensure that, in the event of changes, all affected parties are notified. 124. The certification body should make appropriate documents available on request. Certification fees 125. The certification body should maintain a written fee structure for applicants and certified fisheries which should be available on request. In establishing the fee structure and in determining the specific fee of a certification assessment, the certification body should take into account, inter alia , the requirements for accurate and truthful assessments, the scale, size and complexity of the fishery or chain of custody, the requirement of non- discrimination of any client, and the special circumstances and requirements of developing countries and countries in transition. Confidentiality 126. The certification body should have adequate arrangements, consistent with applicable laws, to safeguard confidentiality of the information obtained in the course of its certification at all levels of its organization. 127. Where the law requires information to be disclosed to a third party, the client should be informed of the information provided, as permitted by the law. Otherwise information about a particular product or fishery should not be disclosed to a third party without a written consent of the client. Maintenance of certification 128. The certification body should carry out periodic surveillance and monitoring at sufficiently close intervals to verify that certified fisheries and/or certified chains of custody continue to comply with the certification requirements. 129. The certification body should require the client to notify it promptly of any intended changes to the management of the fishery, or the chain of custody, or other changes which may affect conformity. 130. The certificate body should have procedures to conduct reassessments in the event of changes significantly affecting the status and management of the certified fishery, or the chain of custody, or if analysis f a complaint or any other information indicates that the certified fishery and/or the chain of custody no longer comply with the required standard and/or related requirements of the certification body. 131. The period of validity of a certificate should not exceed five years in the case of a fishery and three years in the case of the chain of custody. The assessment required for re-certification should give particular attention to changes that have been made in the conduct of the fishery or in the management practices, and on any new conditions that changes in standards might require. Renewal of certification 132. On the basis of prior regular monitoring and auditing exercises and a full reassessment, the validity of certification can be renewed up to the time limits of five years in the case of a fishery and three years in the case of the chain of custody. Suspension and withdrawal of certification 133. The certification body should specify the conditions under which certification may be suspended or withdrawn, partially or in total, for all or part of the scope of certification. 134. The certification body should require that a certified fishery and/or chain of custody upon suspension or withdrawal of its certification (however determined), discontinues use of all advertising matter that contains any reference thereto and returns any certification documents as required by the certification body. The certification body should also be responsible for informing the public about the withdrawal or suspension after the appeals process is exhausted. Maintaining the chain of custody 135. Chain of custody procedures are implemented at the key points of transfer. At each point of transfer, which may vary according to the type of fish or fishery product traded, all certified fish or fishery products must be identified and/or segregated from non-certified fish or fishery products. 136. The certification body should ensure that a recipient of certified fish or fishery products should maintain pertinent chain of custody records, including all records relating to shipment, receipt and invoicing. 137. The certification body should have documented procedures defining auditing methods and periodicity of audits. The periodicity of audits should depend on: − the technical processes undertaken at the point of transfer; − such risk factors as the value and volume of the certified output. 138. Any breach or apparent breach of the chain of custody identified during an inspection/audit should be explicitly recorded in the inspection/audit report together with: − an explanation of the factors that allowed the breach to occur; − an explanation of the corrective actions taken or required to ensure that a similar breach does not re-occur. 139. All inspection/audit records should be incorporated into a written inspection/audit report that is available to pertinent parties and filed at the certification body office. 140. The inspection/audit report should contain, as a minimum: − the date of the inspection/audit; − the name(s) of the person(s) responsible for the report; − the names and addresses of the sites inspected/audited; − the scope of the inspection/audit; − comments on the conformity of the client with the chain of custody requirements. Use and control of a certification claim, symbol or a logo 141. The certification body, accreditation body or owner of the ecolabelling scheme should have documented procedures describing the requirements, restrictions or limitations on the use of symbols or logos indicating that a fish or fishery product comes from a sustainable fishery. In particular, the ecolabelling scheme is required to ensure that symbols or logos should not relate to claims that are of no relevance for sustainable fisheries and could cause barriers of trade or mislead the consumer. 142. The certification body, accreditation body or owner of the ecolabelling scheme should not issue any license to affix its mark/claim/logo or issue any certificate for any fishery or fishery product unless it is assured that the product bearing it is in fact produced from certified sources. 143. The certification body, accreditation body or owner of the ecolabelling scheme is responsible that no fraudulent or misleading use is made with the use and display of its certification mark and logos. 144. If the certification body, accreditation body or owner of the ecolabelling scheme confers the right to use a symbol or logo to indicate certification, the fishery and any fish or fishery product from such fishery may use the specified symbol or logo only as authorized in writing by it. 145. The certification body, accreditation body or owner of the ecolabelling scheme should take suitable action to deal with incorrect references to the certification system or misleading use of symbols and logos found in advertisements, catalogues, etc. 146. All certificates issued should include: − the name and address of the accreditation body or owner of the ecolabelling scheme; − the name and address of the certification body; − the name and address of the certification holder; − the effective date of issue of the certificate; − the substance of the certificate; − the term for which the certification is valid; − signature of the issuing officer. Resolution of complaints and appeals 147. The accreditation body or owner of the ecolabelling scheme should have a written policy and procedures, applicable to accredited certification bodies, for dealing with any complaints and appeals from involved parties in relation to any aspect of certification or de-certification. Such procedures should be timely, clearly define the scope and nature of appeals that will be considered and should be open only to parties involved in, or consulted, during the assessment. Costs of appeals should be borne by the appellant. 148. These procedures should include an independent and impartial committee to respond to any complaint. If possible, the committee should attempt to resolve any complaint through discussion or conciliation. If this is not possible, the committee should provide a written finding to the certification body, accreditation body or owner of the ecolabelling scheme as appropriate, which should transmit the finding to the party or parties involved. 149. The above does not exclude recourse to other forms of legal and administrative processes as provided for in national legislation or international law. Keeping of records on complaints and appeals concerning certification 150. The certification body, accreditation body or promoter/owner of the ecolabelling scheme should: - keep a record of all complaints and appeals, and remedial actions related to certification; - take appropriate corrective and preventive action; - assess the effectiveness of remedial actions; - safeguard confidentiality of information obtained during the investigation and resolution of complaints and appeals concerning certification. 151. Information on procedures for handling of complaints and appeals concerning certification should be made publicly available.