Managing Open Conditions During an MSC Certificate Transfer

Why rules on open conditions during transfer exist

The Marine Stewardship Council certification scheme relies on continuous improvement to drive fisheries towards full sustainability. When a fishery receives a score between 60 and 79 for any Performance Indicator during an assessment, Clause 7.16.1 of the MSC Fisheries Certification Process mandates that the Conformity Assessment Body must set a distinct, time-bound condition. These conditions require certificate holders to implement measurable improvements outlined in a Client Action Plan, ensuring that all Performance Indicators reach at least the 80 scoring level within the certification term.

Allowing certificate holders to extinguish or delay open conditions simply by changing certification bodies would severely undermine scheme credibility. If fisheries could evade corrective action by switching providers, the environmental benefits of certification would be compromised. To prevent regulatory arbitrage and protect supply chain integrity, Section 4.11 of the MSC General Certification Requirements version 2.7 establishes strict continuity rules governing open conditions, milestone deadlines, and non-conformities during certificate transfers.

Transferring open conditions and maintaining milestone continuity

When a fishery certificate holder changes certification bodies, the underlying principle is seamless regulatory continuity. Clause 4.11.16.b of the MSC General Certification Requirements version 2.7 explicitly dictates that all conditions and non-conformities raised by the preceding certification body remain fully applicable under the succeeding body. Transferring a certificate creates no fresh start, nor does it grant an extension to existing milestone deadlines.

Under Clause 4.11.16.a, the expiry date of the certificate issued by the succeeding certification body must match the exact expiration date of the preceding certificate. Furthermore, Clause 4.11.16.c requires the incoming certification body to follow the established surveillance audit plan unless a formal, documented justification for a schedule change is submitted to the Marine Stewardship Council. These provisions ensure that the five-year certification cycle and its associated condition milestones proceed without interruption.

Pre-transfer evaluation and condition revision pathways

Before accepting a certificate transfer, the succeeding certification body must conduct a comprehensive pre-transfer review under Clause 4.11.5. As part of this evaluation, Clause 4.11.4.b.iii requires the incoming body to verify the exact status of all outstanding non-conformities, corrective action plans, and certification conditions. To facilitate this review, Clause 4.11.8 obliges the preceding certification body to supply all requested audit reports and condition records within ten days of receiving notice.

Following the pre-transfer review, the succeeding certification body determines how open conditions will be managed using a risk-based approach. While open conditions normally transfer unchanged, Clause 4.11.16.b permits a succeeding body to revise or close an existing condition, provided specific procedural safeguards are met.

Any modification or close-out of an inherited condition requires the succeeding body to conduct an on-site assessment or audit. Under Clause 7.29.16.3 of the MSC Fisheries Certification Process, an open condition can only be closed if the assessment team evaluates objective evidence, rescores the relevant Performance Indicator Scoring Guideposts, and confirms that the score is raised to 80 or above.

To manage open conditions during a certificate transfer, quality leads must follow four defined steps.

1. Collate all historical assessment reports, open conditions, milestone schedules, and current Client Action Plans for submission to the succeeding certification body.
2. Execute a written non-disclosure agreement waiver under Clause 4.11.3.b to permit the preceding certification body to transmit complete audit working papers within ten days.
3. Review the pre-transfer review findings issued by the succeeding body to confirm whether conditions carry over unchanged or require a partial on-site audit.
4. Maintain progress against established Client Action Plan milestones to ensure compliance during the next scheduled surveillance audit.

Managing behind-target conditions and suspended transfers

Special complexity arises when a fishery seeks to transfer a certificate while an open condition is behind target or under active suspension protocols. Under Clause 7.29.16.1.b of the MSC Fisheries Certification Process, if progress against interim milestones falls behind schedule, the certification body marks the condition as behind target and may specify remedial action to bring progress back on target within 12 months.

If progress remains inadequate after 12 months, Clause 7.29.16.2 mandates that the certifier initiate certificate suspension under Clause 7.4.3.b of the General Certification Requirements. If a fishery applies for a transfer while suspended or facing behind-target findings, Clause 4.11.9.b.iv requires the succeeding certification body to enforce all remaining suspension and corrective action requirements under Section 7.4. Transferring to a new certifier does not pause the 90-day corrective action plan deadline established under Clause 7.4.4.e.

Example

A certified demersal trawl fishery holds an open condition on Performance Indicator 2.2.3 regarding secondary species information, with a deadline set for its Year 3 surveillance audit. Facing commercial disagreements with its current certifier, the fishery applies to transfer its certificate to a new certification body at Year 2. The compliance lead submits the latest surveillance report and Client Action Plan to the succeeding body.

During the pre-transfer review, the succeeding body verifies under Clause 4.11.16.b that the open condition on Performance Indicator 2.2.3 remains fully active with its original Year 3 milestone deadline intact. The certifier determines under Clause 4.11.9.b.iii that no additional compliance risks exist and agrees to maintain the existing surveillance schedule. At the Year 3 surveillance audit, the succeeding body evaluates the fishery's observer logs, confirms that the SG80 scoring guidepost is met, and formally closes the condition in the scheme database under Clause 7.29.16.3.

Before your audit

• Collate all previous assessment reports, surveillance summaries, and open condition details.
• Ensure your Client Action Plan contains clear, quantitative milestones for each open condition.
• Verify that all condition milestone deadlines align with your current certificate expiration date.
• Confirm that any proposed condition revisions are supported by documented objective evidence.
• Check whether any open conditions are currently evaluated as behind target.
• Execute a data sharing waiver to allow rapid transmission of audit files between certification bodies.
• Confirm that your succeeding certification body has scheduled an on-site audit if condition closure is requested.

Questions people ask

Do open conditions reset when a fishery transfers to a new certification body?

No, under Clause 4.11.16.b of the MSC General Certification Requirements version 2.7, all conditions and non-conformities raised by the preceding certification body remain fully applicable after a transfer.

Can a new certification body close an open condition during a certificate transfer?

A succeeding certification body may only close or revise an open condition if it conducts an on-site assessment or audit and verifies that objective evidence justifies raising the Performance Indicator score to 80 or above.

What happens to the certificate expiration date during a certificate transfer?

Under Clause 4.11.16.a, the expiration date of the new certificate issued by the succeeding certification body must remain identical to the expiry date of the original certificate.

How quickly must a preceding certification body provide open condition records to the new certifier?

Under Clause 4.11.8, the preceding certification body must supply all requested audit records and condition data within ten days of receiving the formal request.

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