Get Certified

Get Certified
Your guide to the MSC fishery assessment process1Get Certified

Contents
Let’s get started

03

The MSC Fisheries Standard05

Who’s who07

Preparing for assessment

09

The pre-assessment

15

Requirements on forced and child labour

17

Full assessment

18

Summary checklist

232Get Certified

Let’s get started
The aim of this guide is to give you an overview of what to expect during
each stage of the MSC assessment process.
We hope it will help to ensure that your fishery’s assessment is efficientand effective and give you the best possible chance of a positive outcome.
If you have questions at any stage, your local MSC representative is happy
to help.

www.msc.org/fisheries-contacts

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4

Which fisheries can apply?
The MSC promotes equal access to its certification program for wild-capture fisheries, regardlessof their size, scale, location or technology.
Types of fisheries that are eligible:
single species
multi-species
trawl
long line
hand raked
pots
freshwater
marineinshoreoffshoredemersalpelagic
enhanced

Types of fisheries that are not eligible:
Fisheries targeting amphibians,
reptiles, birds and/or mammals.
Fisheries using destructive
fishing practices (such as poisonor explosives).
Entities that have beensuccessfully prosecuted forforced and child labour violations
within the last two years.
Fisheries conducted under acontroversial unilateral
exemption to an international
agreement.
Purely aquaculture (althoughsome forms of enhanced fisheryare eligible for assessment).

Eligible enhanced fisheries
Enhanced fisheries are wild-caught fisheries that involve some kind of human intervention
other than the harvest process.
The MSC has three enhanced fishery categories:
catch and grow fisheries, e.g. rope grown mussels.
hatch and catch fisheries, e.g. wild capture salmon where some stocking takes place.
habitat modified fisheries, e.g. providing casitas (artificial habitats) to attract and retain
lobster.
If you think your fishery may be an enhanced fishery, your certification body can help you check
whether it falls within the scope of the MSC program.

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The MSC Fisheries Standard
The MSC Fisheries Standard brings together over 20 years of collaboration with scientists, thefishing industry and conservation groups. It reflects internationally accepted fisheries scienceand best practice management.

The three principles of the MSC Fisheries Standard
Principle 1 Sustainability of the stock: Fisheries must operate in a way that allows fishing tocontinue indefinitely, without over overexploiting the resource.
Principle 2 Ecosystem impacts: Fishing operations need to be managed to maintain the
structure, productivity, function and diversity of the ecosystem upon which the fisherydepends, including other species and habitats.
Principle 3 Effective management: All fisheries need to meet all local, national and internationallaws and have an effective management system in place.

P3

P1

P2

P1 Principle 1

Sustainability of the stock

P2 Principle 2

Ecosystem impacts

P3 Principle 3

Effective management

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How does the scoring process work?
There are 28 performance indicators in the Fisheries Standard that sit under the threeprinciples.
Your fishery is assigned a score for each performance indicator where 60 is the minimum
acceptable performance, 80 is global best practice and 100 is near perfect performance.
To be certified, your fishery must score:at least 60 for each of the 28 performance indicators
an average score of 80 across all performance indicators under each of the three principles.
If your fishery scores between 60 and 79 for any performance indicator, you are required to
improve your fishery’s performance against that indicator so that it scores 80 or above within
five years. This improvement is called a condition.

100
80
60
FAIL

80-100Unconditional pass

60-79

Conditional pass6

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Who’s who
Key players and their roles and responsibilities in the assessment process.

You: The fishery client
An individual, organisation, or group of organisations who make a formal
application for their fishery to be assessed. Previous fishery clients haveincluded government agencies, fishing industry associations, fisheries
cooperatives, local management authorities and collaborations between fishingindustry associations, conservation and community groups.
Fishery clients are responsible for:entering into a legal contract with an accredited certification body (this means
they must be a legally constituted body)funding the cost of certification
ensuring the certification body is aware of stakeholders who should becontacted to be involved in the assessment
ensuring that the assessment team has unrestricted access to data andinformation about the fishery
implementing any improvements (conditions) placed on the fishery if/whenthe MSC certificate is issued.

The certification body,or Conformity Assessment Body (CAB)
An independent body approved by Assurance Services International to conduct
MSC assessments and make a final determination if the fishery meets the MSC
Fisheries Standard.
The certification body is responsible for:establishing the fishery assessment teamtaking the fishery client through the assessment according to the MSC
Fisheries Certification Process
issuing the fishery certificate
conducting surveillance audits and evaluations for the duration of the fisherycertificate.

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The assessment teamFisheries scientists with specialist knowledge who have been selected by thecertification body to conduct the assessment.
The assessment team are responsible for:assessing fisheries against the MSC Fisheries Standard
using information provided by the fishery, management agencies andstakeholder groups to score the fishery against the Standard
using existing information and reports to make a precautionary decision.

Peer reviewers
Independent experts are selected to peer review the assessment report andprovide their qualified, professional, experienced opinion on:
the conclusions reached
the conditions raised
each performance indicator’s score and provided rationale.

Stakeholders
Any individuals or organisations that are interested in, or affected by, the fisheryassessment.
Stakeholders are responsible for:bringing any issues and concerns they have regarding the conduct or
performance of the fishery to the attention of the assessment teamproviding well-informed and substantive arguments for their positions,
including evidence that can assist the assessment team.

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Preparing for assessment
Assessments against the MSC Fisheries Standard are conducted byaccredited independent certification bodies known as Conformity
Assessment Bodies (CABs).

9

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Choosing an assessment body
Preparation and good project management are key to ensuring a smooth, timely andcost-effective assessment. Many fishery clients have found it useful to designate a member ofstaff or hire a project manager to monitor the assessment process and act as a point of contact
for the certification body and assessment team.

Recommendations:Get quotes from two or more certification bodies to ensure you get the best value
for money.
Ensure they have a good knowledge and understanding of your fishery or of othersimilar fisheries.
Ask any questions or share any uncertainties that you may have.
Check their availability suits your timescales and that the timings they havesuggested are feasible given the complexity of your fishery, the timing of any
seasonal part of the fishery that they may wish to observe, and the stakeholders
involved.
Commission an optional pre-assessment, more detail on a pre-assessment can befound on page 15.
Ask them to provide testimonials from recent fishery clients.

The role of the certification body is to provide an independent, third party assessment of yourfishery against the MSC Fisheries Standard. They have a responsibility to consult with you andother stakeholders to establish the facts of the assessment.
The certification body is not obliged to conduct new research or undertake stock assessments
to assess a fishery. A lack of data or documentation about a fishery may result in higher
uncertainty about the performance of the fishery, which may result in lower scores and usually
increase the cost of assessment.
All certification bodies listed on Assurance Services International website have been approvedby this independent organisation to conduct MSC fishery assessments.
A full list of accredited certification bodies is available at: http://www.asi-assurance.org/s/
find-a-cab. Search for those listed with Scope: MSC Fisheries.
The assessment team members receive regular training and are regularly monitored to ensurethat they are complying with MSC requirements.

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Defining the contract
Once you have chosen a certification body, you need to sign a contract with them for theassessment. The content of the contract is not specified by the MSC and is confidential
between you and your certification body.

Costs and sources of funding
The fishery client pays the certification body for the assessment. Anecdotal information fromcertified fisheries suggests the cost can vary from USD $15,000 – $120,000.
The cost depends on:
the complexity of your fishery
the availability of information
the level of stakeholder involvement.
The certification body determines the cost of the assessment based on its likely complexity.
The initial assessment may take up to 18 months and is followed by four annual surveillance
audits.
If you decide to have your fishery reassessed at the end of a certification period, costs willagain depend on complexity and how much information is available from the initial assessment.
There are a range of funding sources and opportunities to assist fishery certification. Your
regional MSC contacts can provide you with up-to-date advice on relevant funding options inyour region.

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Deciding on the Unit of Assessment
At the beginning of the assessment process, you and your certification body decide on the Unitof Assessment. The Unit of Assessment defines what is being assessed against the Fisheries
Standard and includes:
the target stock(s)the fishing method or gearthe fleets, vessels, individual fishing operators and other eligible fishers pursuing that stock.

The Unit of Certification
The Unit of Certification is the Unit of Assessment minus other eligible fishers. Once the Unit ofCertification has been defined, only seafood from Unit of Certification can carry the MSC label
in the marketplace. Seafood from other eligible fishers cannot carry the MSC label in themarketplace but may be included later with a certificate sharing agreement.

The Unit of Assessment

OTHER ELIGIBLE FISHERSOTHER ELIGIBLE FISHERSOTHER ELIGIBLE FISHERS

Vessels within the Unit of Certification

Target stock

Other eligible fishes who fish on thesame stock

Environmental impacts considered by
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Preparing the information
A fishery assessment is based on expert analysis of information. This information can include:
data on fish stocks
data on landings and environmental impacts
management information about the fisheryinterviews with stakeholders
scientific papers and reports
See the checklist at the end of this guide for what information you should aim to provide.

What about fisheries with limited data?
Your fishery may not have access to the detailed scientific data that is typically evaluated in an
MSC assessment. This is particularly true for small-scale and developing world fisheries. If data
are limited, the assessment team can use the MSC’s Risk-Based Framework, which is built into
the MSC Fisheries Certification Process.
The Risk-Based Framework enables the assessment team to conduct a structured risk
assessment to determine if a data-limited fishery is operating sustainably and ensures the MSC
program and its associated benefits are accessible to all fisheries. The Risk-Based Framework
can be used to assess both target and non-target species, habitats and ecosystems.
For more about the Risk-Based Framework see www.msc.org/data-limited-fisheries

Gaining the support of stakeholders
We recommended that you contact relevant stakeholders at the very beginning of theassessment process to build trust, reduce the likelihood of any unforeseen setbacks and help
your assessment go smoothly. The MSC welcomes the input and involvement of stakeholders
throughout the assessment process to ensure that assessments are well-informed andcomprehensive.
For more information on how stakeholders can get involved in the assessment process, see
www.msc.org/engage-with-a-fishery-assessment

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MSC Chain of Custody certification and fishery traceability
The MSC Chain of Custody Standard gives assurance that products bearing the MSC
label come from a certified sustainable source. Certification of the supply chain isnecessary for seafood from your fishery to be sold as MSC certified on packs ormenus. We suggest you contact your relevant customers early in the fisherycertification process to recommend they become certified against the MSC Chain of
Custody Standard.
Your certification body may determine that vessels or other entities involved ingetting your seafood to market require their own Chain of Custody certificate. Thismight be the case where traceability between harvest and first sale is insufficient,or where complex harvesting takes place (for example, using both certified andnon-certified gear types).
Your certification body will ask your fishery to demonstrate traceability from harvest
to first sale report. It is best to think about the identification, segregation andtraceability systems and procedures your fishery has in place even before
assessment starts.
For more on the MSC Chain of Custody Standard, see
www.msc.org/coc-standard

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The pre-assessment
A pre-assessment is an optional preliminary review to inform whether yourfishery is ready to enter full assessment.

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The pre-assessment consists of:a meeting between you, the fishery client, and the certification bodya site visit (optional)a review of available data
identification of any stakeholder issues or interestsa pre-assessment report outlining the extent to which your fishery meets the MSC
Standard
a description of potential obstacles that need to be addressed before your fisherymeets the requirements of the MSC Standard.

Fishery Improvement Projects (FIPs)
An increasing number of fisheries are making the necessary changes to become sustainablewith the hope of achieving certification. This has led to considerable growth in organised
efforts to improve fisheries, often called Fishery Improvement Projects (FIPs).
If the results of the pre-assessment show that your fishery is not meeting the MSC Fisheries
Standard, tools and technical assistance are available to help your fishery make theimprovements required.
The MSC’s Capacity Building Program supports fisheries worldwide that are improving towards
sustainability and MSC certification. It’s part of the MSC’s commitment to provide equal accessfor all those seeking certification, particularly small-scale fisheries and those in the developingworld.
The MSC’s Capacity Building Toolkit is a comprehensive guide for fishery clients, managers,
scientists, consultants and other stakeholders engaged with fisheries working towards MSC
certification. It provides practical information on the MSC Fisheries Standard, showcases
examples of best practice, describes what information is checked during an assessment andoutlines possible actions that could be implemented during a FIP.
For more information on FIPs, to download these tools, or to find a consultant see
www.msc.org/fips

good to know
A pre-assessment is a good chance to judge whether a particular certification body isright for you. You are under no obligation to use the same certification body for
pre-assessment, assessment and post certification surveillance and auditing. Although
there may be time and cost savings associated with doing so.

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Requirements on forced
and child labour
The Marine Stewardship Council condemns the useof forced or child labour and recognises theimportance of social issues when considering
sustainability.
Fishery clients and at-sea supply chain entities are
required to complete a statement on the measures,
policies and practices in place to prevent forced andchild labour.
Certification bodies check that a statement has
been submitted. The contents of the statement will
not be audited, but anyone who is concerned about
forced and child labour will be able to review thestatement on the MSC website.
Fishery clients or at-sea supply chain entities that
do not submit the form will not be eligible forcertification. You can read the statement at
www.msc.org/docs/statement-template

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Full assessment
Full assessment is the detailed, public, rigorous process that yourcertification body follows to determine if your fishery meets the MSC
Fisheries Standard.
The process starts when you, the fishery client, sign a contract with yourcertification body and they notify the MSC that your fishery is entering full
assessment.

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1. Information gathering and initial scoring
At this stage, gather all available information about your fishery and provide it to
the certification body using the structured Client Document Checklist, see page 24
for checklist details.
The certification body assigns an assessment team who analyses all relevant
information, including technical papers, reports and data about your fishery. They
use this information to complete an initial scoring of your fishery’s performanceagainst the MSC Fisheries Standard.
The initial scoring includes draft scoring rationales and supporting information.
Any gaps in the information are highlighted for the certification body to address
during the site visit. The certification body compiles this in the Announcement
Comment Draft Report.
You are then able to review the initial scoring, provide any information that was
missing and decide whether you want to proceed to announcement.

good to know
The Client Document Checklist is aligned to the structure of the MSC
Fisheries Standard assessment tree to help you organise information for theassessment team.

2. Announce full assessment
When you are ready to proceed to full assessment, the certification bodyannounces to stakeholders that the fishery is undergoing full assessment andpublishes the Announcement Comment Draft Report on the MSC Track a Fisherywebsite and the fisheries update newsletter.
The Announcement Comment Draft Report also includes the Unit(s) of Assessment(UoA(s)): the target species, gear type, and fishing area. The announcement
identifies the assessment team and provides details of the site visit.

good to know
The average time taken for a full assessment is 12-18 months. The length
depends to some extent on your preparation as well as the nature andcomplexity of your fishery.

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3. Stakeholder input
After the announcement, stakeholders can provide written input on the
Announcement Comment Draft Report, including any references or information that
may be useful for the assessment team to consider. Stakeholders have time toprepare for the site visit where they can discuss the fishery with the assessment
team, either in person or remotely. Stakeholders have 60 days to provide theircomments on initial assessments, and 30 days for reassessments.

4. Site visit and scoring
The site visit is organised by the certification body. At the site visit, theassessment team interview you, the fishery managers and the stakeholders andconsider all information and issues.
The assessment team then use all information to revise the draft scores where
necessary and score the fishery’s performance against the MSC Fisheries
Standard.

5. Client and peer review
The certification body compiles a Client and Peer Review Draft Report summarising:your fishery’s performance against the MSC Fisheries Standard
your fishery’s average score across each of the three core principles
proposed certification outcome
details of any conditions to improve your fishery’s performance.
The certification body gives your fishery time to comment on the draft report anddraft an action plan to show how your fishery will address conditions.
At the same time, the certification body arranges for independent experts known
as peer reviewers (typically fisheries scientists) to review the draft report. Third
party scientists approve the selection of peer reviewers to ensure they give an
independent review of the certification body’s report.

6. Further public review of draft report
Once you and the independent peer reviewers have a completed review of the draft
report, the certification body publishes the Public Comment Draft Report on the
MSC Track a Fishery website.
The report includes a draft determination as to whether your fishery is recommended
for certification.

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We advise that you review the report and make sure you are comfortable with any
changes that have been made since the Announcement Comment Draft Report.
Stakeholders who were previously involved at announcement or the site visit have
30 days to provide input on the draft report.
If your fishery has not been recommended for certification, the assessment process
should have contributed to a better understanding of your fishery. Once you haveaddressed the issues that prevented your fishery from becoming certified, you can
re-apply for assessment at any time.

7. Final draft report and determination
The Final Draft Report is published on MSC Track a Fishery website and includes
the assessment team’s final determination of whether your fishery should becertified. It is issued once the assessment team has considered all input during theassessment and have revised the report accordingly.

8. Public certification report and getting your certificate
If the assessment determination was certification and no objections have beenraised, your fishery is successfully certified. Certification lasts for a maximum of
five years subject to surveillance audits. The certification body issues andpublishes a Public Certification Report on the MSC Track a Fishery website,
outlining the assessment process and any improvements your fishery needs tomake (also called conditions). Later, the certification body issues the fisherycertificate. If your clients become certified against the MSC Chain of CustodyStandard, products from your MSC certified fishery can carry the MSC label on
packs or menus.

Action plans for improvement
If your fishery scores between 60 and 79 for any performance indicators, you
are required to make improvements to ensure that your fishery scores 80 for
the relevant performance indicator within five years.
It is important to develop an action plan outlining:
the improvements that have been set for your fishery
how they will be addressed
who will address themwhen they will be addressed
how the action is expected to improve the performance of the Unit of Assessment
how progress on meeting conditions will be demonstrated to the assessment team.

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The objections procedure
If stakeholders believe a certification body has made an error in procedure, scoring or
condition setting, they may submit a notice of objection during the 15-working day period after
the final report is published. This provides a mechanism for any disagreement with theassessment of the fishery to be resolved by an independent adjudicator. Following appropriate
consultations, the adjudicator decides if the objection should be upheld.

Maintaining MSC certification
MSC certification lasts up to five years. During this time your fishery may need to makerequired improvements and will undergo regular surveillance audits.

Surveillance audits
The certification body reviews your fishery’s progress, and the status of any improvements
being made, during annual surveillance audits.
Annual surveillance audits may involve an onsite audit, an offsite audit, or a review of
information. They may be undertaken up to six months earlier or later than the anniversary dateof your certificate. Stakeholders are invited to provide information to the assessment team andan annual surveillance report is produced. If the assessment team identify the need tocomplete an interim audit, they can do so.

Reassessment
Reassessment should commence before the fourth anniversary of an existing certificate, sothat the new certificate can continue from the five-year expiry of the existing certificate.
There are two types of reassessment.
Full reassessment: Requires that all steps and activities involved in initial full assessment are
carried out.
Reduced reassessment: If there are no outstanding conditions by the end of the third audit, allvalid stakeholder issues have been addressed and the fishery entering reassessment iscovered under the previous certificate.

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Assessment checklist
Here’s a handy checklist to help you track your progress through the MSC assessment process.
Familiarise yourself with the MSC Fisheries Standard
		 Familiarise yourself with MSC’s performance indicators and assessment tree
		Download the MSC Fisheries Program Documents to see the full details of the MSC
Certification Process and Fisheries Standard
Prepare for the assessment
		Choose a certification body		Define the contract with the certification body		Decide on the proposed Unit of Certification with certification body		Prepare the information required by your certification body. See the Client Document
Checklist		Get in touch with stakeholders interested in your fishery		Investigate sources of funding		Think about Chain of Custody certification
Pre-assessment (optional)
		Arrange a pre-assessment to inform whether your fishery is ready to enter full assessment
		If your fishery is not advised to continue to full assessment, find out more about Fishery
Improvement Projects as well as the tools and consultants available to help you reach the
MSC Fisheries Standard
Arrange the full assessment
		Assessment team complete initial scoring and draft the Announcement Comment Draft Report
		Review the certification body’s draft report		Decide whether to proceed to announcement
		Communicate the assessment to your interested stakeholders and partners
		Attend the site visit
		Develop action plan		Keep in touch with your certification body throughout the assessment
		Celebrate and promote your fishery’s MSC Certification!

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What information will a certification body use to assessyour fishery against the MSC Fisheries Standard?
Stock assessment reports by scientific bodies such as regional scientific bodies (e.g. ICES or
working groups of RFMOs), national bodies (e.g. IMARES – Netherlands, DFO – Canada, etc.) and/or
local bodies for:		 Target species (the species that will be under MSC assessment)
		Other retained species
		Discarded or slipped species
Most recent scientific advice, scientific surveys or research publications on biology and ecology for:		Target species (the species that will be under MSC assessment)
		Other retained species
		Discarded or slipped species
		Endangered, Threatened or Protected (ETP) species
		Habitats
		Ecosystems
Logbook or landings data:
		Target species (the species that will be under MSC assessment)
		Other retained species
		Discarded or slipped species
		Endangered, Threatened or Protected (ETP) species
Information on vessels/fishers pursuing the stock:
		Description of how the client group or fishery under assessment operates
		Description of fishing gears the client group or fishery under assessment uses		Any available catch or effort data from the client group or the fishery under assessment
		Description of how all vessels or fishers pursuing the stock operate		Description of fishing gears that all vessels or fishers pursuing the stock use
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Overlapping MSC assessments:
		MSC assessment reports for other fisheries on the same stock

Reports, maps and other documents:
		Local, national and international regulations and laws (quotas, closed season, closed areas,
technical measures etc.)
		Code(s) of conduct or other licence conditions
		Observer reports and video monitoring
		Vessel Monitoring System (VMS) or Automatic Identification System (AIS) maps or reports
		Any management plans, policy documents or information that affect the fishery at thenational or regional level
		Management reviews and internal audits
		List of protected marine species in jurisdiction
		Habitat maps
		Inspection reports and details of infractions

Traceability
		Information on traceability at the fishery, to ensure that product is eligible to enter certified
Chains of Custody.

download the full checklist at:
www.msc.org/docs/client-document-checklist

A guide to the MSC Fisheries Standard

Principle 1: Sustainable fish stocks
Stock evaluation
There is a sustainable population of a fishery’s main catch or the population is rebuilding.

Harvest management strategy
There is a precautionary harvest strategy and no shark finning.
There are harvest control rules, so if the population drops below sustainable levels, the fishery will reduce its catch.
There is reliable information and the main catch is regularly monitored.
There is a robust assessment of the main catch population.

Principle 2: Minimising environmental impact
What else does the fishery catch, and is it sustainable?
There are sustainable populations of any other species regularly caught.
There is a management strategy and a way to reduce unwanted death for these species.
There is reliable information about these species.

What else does the fishery catch? Does it catch any birds, reptiles, amphibians or mammals?
There is no threat to the populations of these species.
There is a management strategy and reduction of unwanted death for these species.
There is reliable information on the risk of the fishery on these species.

Impact on endangered, threatened or protected (ETP) species
There is no threat to ETP species populations.
There is a management strategy to minimise effect on ETP species.
There is reliable information on the risk of the fishery on these species.

Impact on habitats
The fishery causes no serious or irreversible harm to habitats.
There is a strategy to minimise fishery impact on habitats.
There is information on vulnerable habitats and the impacts of the fishing gear.

Impact on the ecosystem
The fishery causes no serious or irreversible harm to the ecosystem.
There is a management strategy to protect ecosystems.
There is reliable information on ecosystem function and impact.

Principle 3: Fishery management
Governance and policy
There is an effective legal or customary framework that supports achieving Principle 1 (P1), Principle 2 (P2) andrecognises rights of people dependent on fishing for food or livelihood.
There is an effective consultation process with stakeholders.
There are long-term management objectives that are consistent with the Fisheries Standard.

Fishery specific management system
There are clear fishery specific objectives for achieving P1 and P2.
There are effective decision-making processes.
There are compliance and enforcement systems.
There is performance evaluation of fishery management.

Find out more:
www.msc.org/fisheries
info@msc.org@MSCbluefish #chooseMSC/marine-stewardship-council/sustainableseafood© Marine Stewardship Council 2019
All information correct at time of publication.