On this page
- What the species categorisation requirement is, and why it exists
- The Figure SA3 decision tree and ETP/OOS classification pathways
- Applying component reclassification and modification criteria
- Example
- Categorising main versus minor in-scope species
- Before your audit
- Questions people ask
- How are non-target species categorised under MSC Fisheries Standard v3.0 compared to version 2.01?
- Can an out-of-scope species like a seabird or marine mammal be reclassified as an In-scope species?
- What conditions permit CITES Appendix 2 listed species to be reclassified to In-scope species?
- What catch threshold triggers a "main" species classification for in-scope species?
- How often can a fishery apply species list modifications during a certification cycle?
- Reference documents
The short version
- MSC Fisheries Standard v3.0 consolidates Principle 2 species into In-scope species and ETP or Out-of-Scope species.
- Out-of-scope taxa including amphibians, reptiles, birds, and mammals are automatically assigned to the ETP/OOS component.
- Fish and invertebrates on CITES, CMS, IUCN, or national ETP lists enter the ETP/OOS classification pathway.
- Certain Appendix 2 or IUCN Endangered species may be reclassified to In-scope if two modification criteria are met.
What the species categorisation requirement is, and why it exists
Under clause SA3.1.2 of MSC Fisheries Standard v3.0, Conformity Assessment Bodies must identify and categorise all non-target organisms impacted by a fishery under specific Principle 2 components. Clause SA3.1.2 replaces the version 2.01 framework of primary, secondary, and ETP species with two core species components: In-scope species and Endangered, Threatened, or Protected and Out-of-Scope species, collectively designated as ETP/OOS. Clause SA3.1.2.1 mandates that assessment teams apply clause SA3.1.4, clause SA3.1.5, and the supporting decision tree in Figure SA3 to determine species assignments.
This structural framework exists to align fishery assessments with international conservation benchmarks while establishing clear, repeatable pathways for evaluating ecosystem interactions. Assigning species to their proper component ensures that vulnerable populations receive rigorous risk evaluations, while managed fish and invertebrate stocks are assessed against appropriate harvest and status criteria. Quality managers, compliance leads, and internal auditors must master this categorisation workflow to avoid scope errors, prevent audit non-conformities, and maintain full transparency across certification reports.
The Figure SA3 decision tree and ETP/OOS classification pathways
Evaluating non-target species under MSC Fisheries Standard v3.0 begins by establishing whether an impacted organism falls within or outside the scope of the MSC program. Under clause SA3.1.4.a, any impacted species classified as an amphibian, reptile, bird, or mammal is defined as an out-of-scope species and automatically assigned to the ETP/OOS component. Out-of-scope species cannot be transferred to the In-scope component regardless of local population abundance or management status.
For fish and invertebrate species, clause SA3.1.4.b establishes a mandatory screening process against international conservation registries and national legislation. A fish or invertebrate species enters the ETP/OOS component if it is listed on CITES Appendix 1 or 2, CMS Appendix 1 or 2, classified globally as Critically Endangered or Endangered on the IUCN Red List of Threatened Species, or protected under national ETP legislation. Species listed on CITES Appendix 1, CMS Appendix 1, or IUCN Critically Endangered without requiring update under clause SA3.1.4.2.c cannot be modified or reclassified.
In-scope species comprise all fish and invertebrates that are not evaluated under Principle 1 and are not classified as ETP/OOS under clause SA3.1.4. Additionally, clause SA3.1.5.c mandates that any species used as bait within the Unit of Assessment—whether wild-caught by the fishery or purchased from external suppliers—must be categorized and scored as a scoring element within the In-scope species component.
| Requirement | What the auditor checks | Evidence to have ready |
|---|---|---|
| ETP/OOS initial screening | Verification that all non-target species, bait, and unobserved catch are screened against Figure SA3 listings | Documented species list with scientific names, CITES, CMS, IUCN, and national ETP designations |
| Taxonomic eligibility for modification | Confirmation that reclassification attempts apply only to permitted Chondrichthyan or non-Chondrichthyan listings | CITES trade permit records, CITES export allowances, and official IUCN assessment publication dates |
| Modification criteria evaluation | Objective verification that at least two of the three life history, management, or stock status criteria are satisfied | PSA productivity score sheets, fishery management plans with reference points, and peer-reviewed stock assessments |
| Main vs minor in-scope classification | Verification that in-scope species comprising five percent or two percent of total catch are designated as main | Catch composition logs, logbook records, and landing receipts covering a representative five-year timeframe |
Applying component reclassification and modification criteria
Under clause SA3.1.4.1, assessment teams may make documented modifications to the species list generated under clause SA3.1.4.b to reclassify eligible species from ETP/OOS to In-scope species or Principle 1. Clause SA3.1.4.2 restricts modification eligibility based on taxonomic group and listing type. For Chondrichthyan species (sharks, skates, rays, and chimaeras), modifications are permitted solely for species listed on CMS Appendix 2 or CITES Appendix 2, provided relevant management authorities permit commercial export and trade.
For non-Chondrichthyan fish and invertebrates, clause SA3.1.4.2.b permits reclassification for species listed on CMS Appendix 2, CITES Appendix 2 (where export and trade are permitted), IUCN Red List Endangered, or national ETP legislation. Non-Chondrichthyan species listed globally as IUCN Critically Endangered may be modified under clause SA3.1.4.2.c only if the IUCN assessment is designated as needing update by the IUCN and supporting technical evidence is more recent than the published IUCN evaluation.
To execute a valid reclassification, clause SA3.1.4.3 mandates that the target species must satisfy at least two of three specific modification criteria:
- Life history characteristics: The species exhibits high intrinsic resilience, demonstrated by achieving an average productivity score of less than 2.0 in Table A8 of the MSC Fisheries Standard Toolbox.
- Management status: The stock is subject to operational management tools or measures intended to achieve limit or target reference points in response to directed exploitation.
- Stock status: The stock biomass is at a level that maintains high productivity, operating at or above a level consistent with achieving SG80 under Indicator 2.1.1.
Important: Under clause SA3.1.4.4, species modifications and reclassifications may be applied only once per five-year certification cycle, at the initiation of an assessment.
Common finding: Internal auditors frequently attempt to reclassify CITES Appendix 1 or IUCN Critically Endangered species without verifying that CITES permits trade or that IUCN assessments are officially marked as needing update.
Tip: Compliance leads should calculate PSA productivity scores using Toolbox Table A8 during internal gap analyses to confirm whether life history criteria are met before submitting audit files.
Example
A pelagic longline fishery seeking certification under MSC Fisheries Standard v3.0 catches incidental quantities of blue shark (Prionace glauca). The compliance lead screens the species using the Figure SA3 decision tree. Blue shark is a Chondrichthyan species listed on CITES Appendix 2 and CMS Appendix 2, but is not listed on CITES Appendix 1 or national ETP legislation. CITES management authorities explicitly permit commercial export and trade for the stock.
Under clause SA3.1.4.2.a, blue shark is taxonomically eligible for component modification. The internal auditor evaluates the modification criteria under clause SA3.1.4.3. The stock achieves a PSA productivity score of 1.6 under Toolbox Table A8, satisfying the life history criterion. Furthermore, the regional fisheries management organisation enforces binding catch quotas and target reference points, satisfying the management status criterion. Stock assessment data confirms biomass is fluctuating around MSY levels, satisfying the stock status criterion. Because all three modification criteria are met, the fishery successfully reclassifies blue shark from ETP/OOS to an In-scope species under Indicator 2.1.1.
Categorising main versus minor in-scope species
Once species are assigned to the In-scope component under Indicator 2.1.1, clause SA3.5.2 requires the assessment team to designate each scoring element as either a main or minor species. Main species face detailed outcome and information guideposts, while minor species are subject to reduced scoring requirements.
Under clause SA3.5.2.1, an in-scope species is designated as a main species if its catch comprises five percent or more by weight of the total catch of all species caught by the Unit of Assessment. Alternatively, a species is designated as main if it is classified as less resilient and comprises two percent or more by weight of total catch. Clause SA3.5.2.1.b defines a species as less resilient if its intrinsic productivity is low or if its resilience has been reduced by natural or anthropogenic life history changes.
Under clause SA3.5.2.1.c, any shark species where the fishery trades in shark fins is automatically classified as a main in-scope species regardless of catch volume. Furthermore, clause SA3.5.2.2 dictates that if a fishery's total catch volume is exceptionally large, even small catch proportions below the two percent or five percent thresholds must be classified as main if fishing mortality significantly impacts the stock. All remaining in-scope species are classified as minor species under clause SA3.5.2.3.
Note: Under clause SA3.5.3, the assessment team considers fishery impact as negligible for minor in-scope species that comprise less than two percent of total catch, provided clause SA3.5.2.2 does not apply.
Before your audit
- Collate a complete list of all non-target species, bait stocks, and unobserved catch associated with the Unit of Assessment.
- Screen every identified species against CITES Appendices, CMS Appendices, IUCN Red List categories, and national ETP legislation.
- Verify that all out-of-scope taxa (mammals, birds, reptiles, amphibians) are assigned directly to the ETP/OOS component.
- Calculate PSA productivity scores using Table A8 in the MSC Standard Toolbox for any species proposed for reclassification.
- Assemble published stock assessments and management plan documentation to prove that modification criteria are satisfied.
- Review catch weight composition data over a five-year period to classify in-scope species into main and minor categories.
- Confirm whether any caught shark species involves fin trading to ensure mandatory main species classification under clause SA3.5.2.1.c.
- Verify that all bait sources—whether caught or purchased—are fully documented and assigned to the In-scope component.
Questions people ask
How are non-target species categorised under MSC Fisheries Standard v3.0 compared to version 2.01?
Version 3.0 replaces the former primary, secondary, and ETP species categories with two main components: In-scope species (fish and invertebrates) and ETP/OOS species (Endangered, Threatened, or Protected species and out-of-scope taxa including birds, mammals, reptiles, and amphibians).
Can an out-of-scope species like a seabird or marine mammal be reclassified as an In-scope species?
No, under clause SA3.1.4.a, all impacted species classified as amphibians, reptiles, birds, or mammals are defined as out-of-scope species and are automatically assigned to the ETP/OOS component without any reclassification path.
What conditions permit CITES Appendix 2 listed species to be reclassified to In-scope species?
Under clause SA3.1.4.2 and SA3.1.4.3, CITES Appendix 2 species may be reclassified if commercial export and trade are permitted by management authorities, and the species satisfies at least two of three modification criteria regarding life history productivity, management measures, and stock status.
What catch threshold triggers a "main" species classification for in-scope species?
Under clause SA3.1.5.2.1, an in-scope species is main if it comprises five percent or more of total UoA catch by weight, or two percent or more if classified as less resilient, or if it is a shark species involved in fin trading.
How often can a fishery apply species list modifications during a certification cycle?
Under clause SA3.1.4.4, assessment teams and client groups may apply species list modifications and component reclassifications only once per certification cycle, at the beginning of an initial assessment, reassessment, transition assessment, or scope extension.
Reference documents
- MSC Fisheries Standard v2.01
- MSC Fisheries Standard v3.0
- MSC Fisheries Certification Process v2.3
- MSC Fisheries Certification Process v3.0
- MSC General Certification Requirements v2.7
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