On this page
- Why non-conforming product protocols exist in MSC certification
- Critical tracking events and risk mitigation mechanisms
- Mandatory response procedures for traceability breaches
- Example
- Audit verification and evidence requirements
- Before your audit
- Questions people ask
- What is the deadline for reporting a non-conforming product breach to the CAB?
- Will a fishery certificate be suspended automatically if non-certified fish is sold as certified?
- How does a fishery demonstrate segregation of catch following certificate suspension?
- What are the traceability requirements for product caught while under assessment?
- Reference documents
The short version
- Certificate holders must report non-conforming product to customers and CABs within four days of detection.
- Immediate sales cessation of non-conforming inventory is mandatory until the certification body verifies product status.
- Proactive self-reporting and corrective action implementation prevent mandatory certificate suspension under General Certification Requirements.
- Traceability protocols must isolate non-conforming catch using robust segregation, vessel monitoring, and harvesting date records.
Why non-conforming product protocols exist in MSC certification
Marine Stewardship Council certification guarantees that seafood sold with the ecolabel originates exclusively from a sustainable, certified Unit of Certification. When non-certified fish enters the supply chain, or when certified catch is mixed with non-eligible product, the integrity of the entire certification scheme is compromised. To protect supply chain integrity, the MSC Fisheries Certification Process and MSC General Certification Requirements impose strict internal controls upon fishery certificate holders.
Under Clause 7.17.7 of the MSC Fisheries Certification Process version 2.3 and version 3.0, fishery clients are contractually bound to maintain robust tracking and tracing systems. Non-conforming product arises whenever fish from outside the Unit of Certification, caught by non-eligible vessels, taken with non-certified gear, or harvested outside authorised geographical boundaries is inadvertently sold or labelled as certified. Establishing clear internal protocols ensures that quality managers can rapidly detect, isolate, and rectify traceability failures before they escalate into systematic compliance breaches.
Critical tracking events and risk mitigation mechanisms
Internal auditors must evaluate the fishery's ability to control product movement across all critical tracking events from harvest to the point of sale. Clause 7.5.9 of the MSC Fisheries Certification Process version 2.3 and Clause 7.5.10 of version 3.0 identify specific risk factors that require active management and physical or administrative segregation.
Key risk factors include the potential use of non-certified fishing gear on the same vessel, vessels operating both inside and outside the Unit of Certification during a single trip, and the presence of non-certified vessels harvesting the same stock in adjacent waters. Furthermore, high seas transhipment poses an elevated risk of substitution. Under Clause 7.17.1.3, high seas transhipment operations must be independently verified through 100 per cent observer coverage or electronic monitoring.
| Requirement | What the auditor checks | Evidence to have ready |
|---|---|---|
| Catch Segregation | Physical separation of certified and non-certified catch on board vessels and at landing sites. | Logbooks, hold layout plans, and vessel segregation procedures. |
| Geographical Boundaries | Verification that fishing activity occurred strictly within specified Unit of Certification coordinates. | Vessel Monitoring System records, GPS logs, and official catch declarations. |
| High Seas Transhipment | Independent oversight of all high seas transfer events between harvesting and receiving vessels. | Observer reports, electronic monitoring footage, and signed transhipment declarations. |
| Under-Assessment Product | Clear identification and isolation of product harvested prior to certificate issuance. | Dedicated storage records, harvest date logs, and physical batch labels. |
Important: Under Clause 7.18 of the MSC Fisheries Certification Process, product harvested while under assessment must be clearly segregated and marked. It cannot be sold as certified or bear trademarks until full certification is officially granted.
Mandatory response procedures for traceability breaches
When a fishery certificate holder detects that non-eligible product has been sold or labelled as MSC certified, quality leads must execute a defined, time-critical response procedure. The internal protocol must follow five mandatory steps.
- Issue formal written notification to all affected customers and the Conformity Assessment Body within four days of detecting the breach.
- Immediately cease sales and distribution of all non-conforming products remaining in stock as MSC certified until certified status is verified by the Conformity Assessment Body.
- Initiate a full internal root-cause investigation to determine how the breakdown in segregation or traceability occurred.
- Formulate and implement corrective actions in full cooperation with the Conformity Assessment Body to prevent re-occurrence.
- Provide complete purchase, catch, and sales records to the Conformity Assessment Body to facilitate supply chain reconciliation.
Under Clause 7.4.10.b of the MSC General Certification Requirements version 2.7, selling non-certified product as certified normally constitutes a demonstrable breakdown in Chain of Custody, triggering mandatory certificate suspension. However, Clause 7.4.14.2 provides a critical self-reporting exemption. If the client proactively identifies, reports, and handles the non-conforming product in accordance with standard procedures, the certificate shall not be suspended, provided the Conformity Assessment Body verifies the effectiveness of corrective actions within 30 days.
Example
During a routine internal audit, a compliance lead at a certified purse seine fishery discovers that 15 tonnes of skipjack tuna caught using non-certified gear was mistakenly commingled with certified catch in Hold B and sold to a processing facility as MSC certified. The compliance lead immediately triggers the internal incident protocol. Within 48 hours of detection, well inside the four-day deadline, the fishery sends written notifications to the buyer and the Conformity Assessment Body, informing them of batch details and volume.
The remaining 10 tonnes of affected fish in storage are placed under quarantine tags. The fishery submits a corrective action plan revising hold assignment logs and re-training deck bosses. The Conformity Assessment Body conducts an audit, verifies the corrective actions within 20 days, and confirms that certification remains active without suspension.
Common finding: Fisheries often fail to notify their Conformity Assessment Body within the mandatory four-day window following detection, forfeiting their protection under Clause 7.4.14.2 and resulting in automatic certificate suspension.
Audit verification and evidence requirements
Conformity Assessment Bodies scrutinise internal protocols during annual surveillance audits and expedited reviews. Auditors verify whether the fishery's management system effectively prevents non-conforming product from entering certified supply chains.
If a fishery certificate is suspended or withdrawn, Clause 7.4.4.d.i and Clause 7.4.9.d of the MSC General Certification Requirements version 2.7 prohibit selling fish caught on or after the suspension date as certified. However, fish harvested prior to the suspension date may continue to be sold as certified if the certificate holder demonstrates the ability to segregate fish strictly by capture date.
Tip: Internal auditors should conduct mock recall exercises annually to test whether catch records, landing documentation, and customer notification procedures can identify and isolate non-conforming batches within 24 hours.
Before your audit
- Verify that written procedures exist for reporting non-conforming product within four days. ☐ Check that physical and administrative segregation methods are implemented for all vessel holds and landing sites. ☐ Ensure Vessel Monitoring System records and logbooks match declared catch locations and gear types. ☐ Inspect under-assessment or quarantined inventory to confirm appropriate identification and labelling. ☐ Review high seas transhipment records for required 100 per cent observer coverage or electronic monitoring data. ☐ Maintain all catch, landing, and sales records for a minimum of two years to support traceability audits.
Questions people ask
What is the deadline for reporting a non-conforming product breach to the CAB?
Fishery certificate holders must notify their Conformity Assessment Body and affected customers in writing within four days of detecting non-conforming product.
Will a fishery certificate be suspended automatically if non-certified fish is sold as certified?
Suspension is mandatory unless the fishery self-reports the breach within four days and the Conformity Assessment Body verifies effective corrective actions within 30 days.
How does a fishery demonstrate segregation of catch following certificate suspension?
The certificate holder must provide objective evidence, such as physical batch labelling or verified harvest records, showing product was captured prior to the suspension date.
What are the traceability requirements for product caught while under assessment?
Under-assessment product must be clearly identified and segregated, and it cannot be sold as certified until final certification is awarded.
Reference documents
- MSC General Certification Requirements version 2.7
- MSC Fisheries Certification Process version 2.3
- MSC Fisheries Certification Process version 3.0
- MSC Fisheries Standard version 2.01
- MSC Fisheries Standard version 3.0
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