On this page
- Understanding the MSC fisheries pre-assessment process
- Scope definition and eligibility verification
- Data gathering and Risk-Based Framework screening
- Executing the pre-assessment workflow and gap analysis
- Example
- Before your audit
- Questions people ask
- Is an MSC fisheries pre-assessment mandatory before full assessment?
- Are MSC pre-assessment reports published on the MSC website?
- Who is qualified to conduct an MSC fisheries pre-assessment?
- How does a certifier determine if the Risk-Based Framework is needed during pre-assessment?
- Reference documents
The short version
- Pre-assessments allow clients and certifiers to evaluate assessment readiness and identify potential certification barriers confidentially.
- Auditors must define the Unit of Assessment, verify scope eligibility, and evaluate data availability across all principles.
- Identifying data-deficient scoring elements determines whether the Risk-Based Framework must be used during full assessment.
- Pre-assessment reports remain strictly confidential to the client, certifier, and MSC unless the client requests public release.
Understanding the MSC fisheries pre-assessment process
Executing the MSC fisheries pre-assessment steps provides fishery clients and quality managers with an objective, risk-based evaluation of a fishery's readiness before entering a full, public assessment. These pre-assessment steps allow certifiers to define certification scope, map data availability across target stocks and marine ecosystems, and identify critical gaps that could prevent certification. Quality managers can find complete guidance on audit preparation in our MSC Fisheries reference articles.
Under Clause 7.1.1 of the MSC Fisheries Certification Process, a fishery client may select an accredited Conformity Assessment Body to conduct an optional pre-assessment. Clause 7.1.2 establishes three core objectives for the pre-assessment: enabling the certifier to plan for a full assessment, informing the client of the likelihood of achieving certification, and enabling client planning. To maintain complete impartiality and commercial security, Clause 7.1.8 mandates that the existence, process, and outcomes of the pre-assessment remain strictly confidential between the client, the certifier, and the Marine Stewardship Council.
To ensure technical competence during the evaluation, Clause 7.1.3 requires the Conformity Assessment Body to appoint a qualified individual or team. The appointed personnel must meet the auditor qualification requirements specified in Table PC2 and possess at least one specific fishery competency from Table PC3. Furthermore, Clause 7.1.4 requires that any guidance provided to clients during the pre-assessment conforms strictly to ISO 17065 requirements regarding consultancy prohibitions.
Scope definition and eligibility verification
Defining the precise boundary of the fishery represents a primary requirement during the pre-assessment stage. Under Clause 7.1.5.f, the certifier must define options for the full assessment scope in conformity with Section 7.4 and Section 7.5. The certifier works with the client to establish the Unit of Assessment, which includes the target stock, gear types, vessel fleets, and all eligible fishers pursuing the stock under Clause 7.5.2.
Simultaneously, the certifier must verify that the proposed fishery complies with all mandatory scope preconditions defined in Section 7.4. Under Clause 7.4.8, the fishery must not target amphibians, reptiles, birds, or mammals, nor use destructive fishing practices such as explosives or poison. Furthermore, under Clause 7.4.8.4 and Clause 7.4.8.5, the certifier must confirm that no entity within the client group has incurred legal convictions for forced labour, child labour, or shark finning within the preceding two years.
Where a fishery involves artificial enhancement, introduced species, or shared regional management, the certifier must verify specific scope criteria before proceeding. Fisheries planning to transition to updated scheme frameworks should consult our practical guide to transitioning to MSC Fisheries Standard v3.0 to align scope declarations. If a fishery fails to meet any fundamental scope criterion under Section 7.4, the certifier cannot accept the application for full assessment.
Data gathering and Risk-Based Framework screening
Evaluating data availability across all three MSC principles forms the foundation for determining assessment readiness. Under Clause 7.1.5.e, the certifier must review available biological, environmental, and operational data to assess whether sufficient objective evidence exists to score each Performance Indicator. The certifier examines catch logbooks, stock assessment models, observer reports, habitat mapping, and governance frameworks provided by management agencies.
A crucial output of the data gathering review is determining whether the fishery must be assessed using risk-based methodologies. Under Clause 7.1.5.e.i, the certifier applies the criteria in Table 3 of the MSC Fisheries Certification Process version 2.3 or Section 5.2 of the MSC Fisheries Standard Toolbox in version 3.0. If analytical stock assessments or biologically based limits are absent for species, habitats, or ecosystems, the certifier identifies the relevant scoring elements as data-deficient, triggering the Risk-Based Framework.
Identifying data-deficient elements during pre-assessment allows the client to prepare for stakeholder-driven risk tools during the full assessment. The table below outlines core data requirements, auditor verification steps, and essential evidence needed for pre-assessment evaluation.
| Requirement | What the auditor checks | Evidence to have ready |
|---|---|---|
| Target Stock Data | Availability of analytical stock assessments, biomass reference points, and harvest control rules. | Published stock assessment reports, catch time series, and scientific management advice. |
| In-Scope Species Records | Quantitative data on retained and discarded non-target catch composition and mortality rates. | Onboard observer logs, logbook records, dockside monitoring data, and discard studies. |
| Habitat & Ecosystem Mapping | Spatial distribution of fishing effort overlaying benthic habitats and vulnerable marine ecosystems. | Vessel Monitoring System spatial data, bathymetric maps, and habitat impact research. |
| Governance Frameworks | Legal mechanisms, dispute resolution protocols, and compliance enforcement records under Principle 3. | Fisheries legislation, management plans, enforcement agency logs, and meeting minutes. |
Executing the pre-assessment workflow and gap analysis
Conformity Assessment Bodies must execute the pre-assessment using a standardized, five-step workflow to ensure complete operational consistency. Clause 7.1.5 mandates specific activities that the auditor or assessment team must complete before delivering the final report.
- Conduct an initial remote or in-person inception meeting with the fishery client to review operational boundaries and data sources.
- Verify full conformity with scope requirements under Section 7.4, confirming the absence of forced labour, child labour, or shark finning convictions.
- Define proposed options for the Unit of Assessment and Unit of Certification under Section 7.5, identifying any eligible fishers or certificate sharing needs.
- Evaluate data availability across all Performance Indicators and apply Table 3 criteria to identify data-deficient scoring elements requiring the Risk-Based Framework.
- Populate the effective MSC Pre-Assessment Reporting Template, detailing draft scoring ranges, potential certification barriers, and recommended action areas.
Under Clause 7.1.6, the certifier must compile all findings using the official reporting template, clearly informing the client which sections are mandatory and which are optional. Under Clause 7.1.7, the certifier must outline the explicit requirements for proceeding to full assessment, including required stakeholder communications, data submission expectations, and estimated assessment timelines.
Important: Under Clause 7.1.8 of the MSC Fisheries Certification Process, all pre-assessment findings remain strictly confidential, allowing clients to address identified gaps without public exposure or market risk.
Common finding: Fisheries frequently enter full assessment without addressing data gaps in non-target species or habitat impacts, leading to unexpected draft scores below 60 and costly assessment withdrawals.
Tip: Quality leads should use pre-assessment gap findings to construct a structured Client Action Plan or Fishery Improvement Project before initiating full assessment.
Example
A compliance manager at an artisanal trap fishery targeting spiny lobster seeks certification to meet export market demand. During the pre-assessment, the appointed certifier reviews available catch logs and discovers that while the target lobster stock has a robust stock assessment, trap operations catch minor volumes of secondary finfish with no quantitative recording.
Applying Table 3 under Clause 7.1.5.e.i, the certifier determines that secondary species scoring elements are data-deficient, requiring the Risk-Based Framework during full assessment. The certifier highlights this requirement as a potential obstacle in the pre-assessment report. Rather than entering full assessment immediately, the fishery implements a six-month logbook enhancement program to record all bycatch, successfully closing the data gap and avoiding precautionary risk-based scoring penalties.
Before your audit
- Confirm that your certifier appoints auditors meeting Table PC2 and Table PC3 competency criteria.
- Execute a formal confidentiality agreement covering all pre-assessment activities and reporting.
- Collate all historical catch, landing, and effort records for target and non-target species.
- Gather official fisheries management legislation, regulations, and scientific stock assessment reports.
- Verify that no entities in the client group have forced labour, child labour, or shark finning convictions.
- Map vessel fleets, gear configurations, and fishing grounds to establish clear Unit of Assessment boundaries.
- Review spatial effort data and habitat maps to identify potential impacts on vulnerable marine ecosystems.
- Complete the preliminary MSC Client Document Checklist to streamline data transfer to the certifier.
Questions people ask
Is an MSC fisheries pre-assessment mandatory before full assessment?
No, under Clause 7.1.1 of the MSC Fisheries Certification Process, a pre-assessment is an optional stage that a client may select to evaluate readiness before entering full assessment.
Are MSC pre-assessment reports published on the MSC website?
No, under Clause 7.1.8, the certifier must treat the existence, process, and outcomes of a pre-assessment as strictly confidential to the client, certifier, and MSC, unless the client directs otherwise.
Who is qualified to conduct an MSC fisheries pre-assessment?
Under Clause 7.1.3, the certifier must appoint an individual or team conforming to Table PC2 auditor requirements and holding at least one relevant competency listed in Table PC3.
How does a certifier determine if the Risk-Based Framework is needed during pre-assessment?
Under Clause 7.1.5.e.i, the certifier evaluates data availability against Table 3 criteria to identify whether any Performance Indicator scoring elements are data-deficient.
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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