Pre-Assessment Reporting Template

Marine Stewardship Council

Pre-Assessment Reporting Template

Version 2.1, 9October2017

Copyright notice

The Marine Stewardship Council “Pre-Assessment Reporting Template” and its content is copyright of “Marine Stewardship Council” - © “Marine Stewardship Council” 2014. All rights reserved.

Senior Policy Manager

Marine Stewardship Council

Marine House

1 Snow Hill

London EC1A 2DH

United Kingdom

Phone: + 44 (0) 20 7246 8900

Fax: + 44 (0) 20 7246 8901

Email:

Version Control

Amendments Issued
Version No. / Date / Description Of Amendment
1.0 / 15 Aug 2011 / Date of first release
1.1 / 31 Oct 2013 / Updated in line with changes to CR v1.3
2.0 / 8 Oct 2014 / Confirmed background sections (Section 3) as optional (use of ‘may’ statements)
Modified Table 6.3 to create a simplified scoring sheet to be completed in place of full evaluation tables
Made amendments to PIs based on Fishery Standard Review changes (e.g. removed original PIs 1.1.2, 3.1.4 and 3.2.4).
2.1 / 9 Oct 2017 / Inclusion of optional full evaluation tables as an Annex

This document is to be cited as:

MSC Pre-Assessment Reporting Template v2.1

Table of Contents

Introduction

MSC requirements for Pre-Assessments

Using the PA Reporting template

Multiple Units of Assessment

Corporate Branding

Deleting instructions and guidance

Further Customisation

Comments

Title page

Contents

Glossary

1.Executive summary

2.Introduction

2.1Aims/scope of pre-assessment

2.2Constraints to the pre-assessment of the fishery

2.3Unit(s) of Assessment

2.4Total Allowable Catch (TAC) and Catch Data

3.Description of the fishery

3.1Scope of the fishery in relation to the MSC programme

3.2Overview of the fishery

3.3Principle One: Target species background

3.4Principle Two: Ecosystem background

3.5Principle Three: Management system background

4.Evaluation Procedure

4.1Assessment methodologies used

4.2Summary of site visits and meetings held during pre-assessment

4.3Stakeholders to be consulted during a full assessment

4.4Harmonisation with any overlapping MSC certified fisheries

5.Traceability (issues relevant to Chain of Custody certification)

5.1Eligibility of fishery products to enter further Chains of Custody

6.Preliminary evaluation of the fishery

6.1Applicability of the default assessment tree

6.1.1Expectations regarding use of the Risk-Based Framework (RBF)

6.2Evaluation of the fishery

6.2.1Other issues specific to this fishery

6.3Summary of likely PI scoring levels

References

Annex 1: Pre-assessment full scoring tables

Principle 1

Principle 2

Principle 3

Introduction

This introduction provides guidance to conformity assessment bodies (CABs) and other stakeholders on the pre-assessment(PA)of fisheries against the MSC fisheries standard and its operational interpretation, the Fisheries Certification Requirements (FCR). This guidance is to be used with the template provided for the preparation of PA reports.

The MSC’s purpose in providing a reporting template is to:

• ensure quality and consistency across CABs in conducting pre-assessments against the MSC Standard; and to
• capture information relevant to monitoring the environmental benefits of the program, given that in many cases, environmental and management improvements occur just after the pre-assessment stage thereby allowing a fishery to meet the standard upon entering the MSC programme.

Where possible, this template has been designed to be consistent with the full assessment reporting template. However the MSC understands that pre-assessments are conducted with limited resources,some information detailed in this template may not be available, and that clients may have different needs in terms of pre-assessments. It is hoped that the design of the template will provide clients and CABs the flexibility to determine what should be reported in the pre-assessment, whilst maintaining consistent reporting where sections are included in the pre-assessment template.

MSC requirements for Pre-Assessments

The MSC recommends that clients undertake a PA before deciding whether to enter full assessment against the MSC fisheries standard. Although PAs are recommended, they are not mandatory (FCR 7.1.1).

Where a PA is conducted,FCR 7.1.5describes what is required as part of the assessment.

These instructions and the PA reporting template (page 1 onwards) provide the framework for the preparation of PA reports.CABs shall use this template to prepare pre-assessment reports (FCR 7.1.6).

CABs are required to inform the client that there are at least two options for completion of the pre-assessment report: a comprehensive option and a reduced option (FCR7.1.6.2 and associated Guidance). By providing a choice of the degree of information required in different sections of the report, the above options offer the potential for corresponding savings in costs for clients. In this context, CABs should note the use of the ‘may’ statements in some sections of the template, meaning that CABs do not have to include these sections or provide justification as to why they have not, as distinct from the ‘should’ and ‘shall’ statements elsewhere.

The MSC’s General Certification Requirements (GCR) Section 4.10states that “CABs shall note that the MSC may request that all reports and annexes to reports be translated into English.” Although PA reports do not necessarily have to be completed in English, if the MSC or Accreditation Services International (ASI) asks for an English translation of those documents, it is the responsibility of the CAB to provide them.

Using the PA Reporting template

In this template you will find numbered sections for each element of the PA report.

Each numbered section contains a box describing thetype of content the MSC would like to see within that part of the report(assumingthe section is applicable).Additional guidance is included in the template in square brackets ([additional guidance]). Additional examples are included in the template in italics. These instructions should be deleted and/or replaced with your relevant information.

Basic introductory text about the fishery maybe included in Section 3 of the PA report. Key aspects of the fisheryshould be summarised in the Table 6.3 against relevant PIs to avoid repeatingthe long introductory section about the fishery in the evaluation tables.

Multiple Units of Assessment

Table 6.3 of the report should be prepared taking appropriate account of each different Unit of Assessment (UoA) for the fishery. The full scoring tables in Annex 1, if completed, should also be prepared taking appropriate account of each different UoA. This means preparing separate tables for each UoA. Separate tables will enable CABs to more easily cut and paste relevant tables into Pre-Assessment Reports. These tableswill be sent to the MSC for UoAs that proceed to full assessment. This may be particularly applicable where there are sensitivities around the results for any Units that do not enter full assessment and which the client wishes to remain confidential.

The following scenarios are provided as examples of preparing Pre-Assessment reports for fisheries with different UoAs:

Example 1. Multiple species, one gear type:

For PAs under this scenario, multiple sections of the table(s) might be prepared for each species considered under Principle 1. Assuming that results for Principles 2 and 3 would be the same for each species, a single section of the table(s) for each Principle should suffice.

Example 2. Multiple gear types, one target species:

For PAs under this scenario, a single section of the table(s) for Principles 1 and one for Principle 3 might be prepared, while multiple sections of the table(s) might be appropriate for Principle 2 to account for the different gear types.

Example 3. Multiple gear types, multiple target species:

For PAs under this scenario, the CAB may substitute Table 6.3 (and the ‘pre-assessment full scoring tables’ in Annex 1, where relevant) with a matrix-approach of their own design but they shall ensure that all fields in Table 6.3 (and the ‘pre-assessment full scoring tables’ in Annex 1, where relevant) are incorporated into the final product.

Corporate Branding

The reporting template may be formatted to comply with CAB corporate identity. It is the structure and content of the PA reportthat shall be as specified in the template.

Examples of appropriate amendments are:

1. A title page with the company logo.
2. A corporate header used throughout the report.
3. A corporate footer replacing the current MSC footer, ensuring that page numbering is still included.

CABs should note that where orientation of pages changes, the formatting of company headers may be problematic. Landscape sections of the report have been ‘unlinked from previous sections’ to minimise formatting issues.

Deleting instructions and guidance

The following parts of this document are not intended to appear in the report and should be deleted:

1. These introductory pages i to vi.
2. The boxes containing instructions
3. The guidance and examples in square brackets or italics.
4. MSC default footer.

Further Customisation

Additionally, the following sections may be deleted from the template if they are not applicable to the assessment:

1. Section 3 Description of the fishery
2. Section 4.4 Harmonisation with any overlapping MSC certified fisheries
3. Section 6.1.1 Expectations regarding use of the Risk-Based Framework (RBF)
4. Section 6.2.1 Other issues specific to this fishery

Note that if certain sections are removed, the numbering of sections in the report should be updated accordingly.

Additional sections may be added to the report as needed. These should only be included at the end of sub-sections or by adding new sections at the end of the report.

Comments

Anyone wishing to comment on this document or any other MSC scheme documents is encouraged to do so by sending an email to .

Document: MSC Pre-Assessment Reporting Template v2.1page 1

Date of issue: 9October 2017© Marine Stewardship Council, 2014

Title page

On a title page (front page):

1. Fishery name
2. Fishery location
3. Report author
4. Report author association
5. Report author address
6. Client name
7. Client contact person
8. Client address
9. Date

Contents

Insert a table of contents.

Glossary

[Optionally a glossary may be included]

1.Executive summary

The summary mayinclude:

1. The names of the assessors.
2. A brief description of the assessors used.
3. A brief explanation of the process appliedand summary ofassessment activities.
4. The main strengths and weaknesses of the client’s operation.
5. The extent to which the fishery is/is not consistent with the MSC Fisheries Standard.

2.Introduction

2.1Aims/scope of pre-assessment

[It should be noted here that a pre-assessment of a fishery does not attempt to duplicate a full assessment against the MSC standard. A full assessment involves expert team members and public consultation stages that are not included in a pre-assessment. A pre-assessment provides a provisional assessment of a fishery based on a limited set of information provided by the client.]

[CABs may add other details specific to this pre-assessment as appropriate.]

2.2Constraints to the pre-assessment of the fishery

The report should outline any limitations placed on the pre-assessment.

[Examples may include the inaccessibility of the fishery or non-availability of key data.]

2.3Unit(s) of Assessment

The report should contain:

1. Possible unit(s) of assessment.
2. A rationale for choosing the unit of assessment.
3. Description of any other eligible fishers.

2.4Total Allowable Catch (TAC) and Catch Data

The report should contain a completed TAC and catch data table using Table 2.4 for the potential UoA and Unit of Certification (UoC).[Note that a separate table should be provided for each species or gear, if possible and as appropriate].

Table 2.4 TACand Catch Data

TAC / Year / [YYYY] / Amount / [n, unit]
UoA share of TAC / Year / [YYYY] / Amount / [n, unit]
UoC share of TAC / Year / [YYYY] / Amount / [n, unit]
Total green weight catch by UoC / Year (most recent) / [YYYY] / Amount / [n, unit]
Year (second most recent) / [YYYY] / Amount / [n, unit]

3.Description of the fishery

3.1Scope of the fishery in relation to the MSC programme

The report mayinclude a statement of the CAB’s determination that the fishery is within scope of the MSC certification sought.

Where a fishery has been enhanced or the likely UoA includes introduced species the report may include:

1. A statement on the fishery’s position in relation to the scope criteria.

(Reference: FCR 7.1.5.6, FCR 7.4)

[Section 3mayinclude background material that is relevant to the scoring of the fishery against the MSC standard. Detailed comments on stock status, management of the fishery, etc., should be provided in the simplified scoring sheet (Table 6.3) and shouldnot be repeated here.]

3.2Overview of the fishery

The report mayinclude an overview of the fishery which may include the following:

1. A summary of basic information about the management operation (e.g. ownership, history, and organisational structure) and the marine/inland area that was evaluated.
2. Species types, management history, fishing practices, historical fishing levels, other resource attributes and constraints.
3. User rights (both legal and customary), the legal/administrative status of the operation and involvement of other entities including responsible government agencies.

3.3PrincipleOne: Target species background

The report may include a summary of the target species of the fishery based on the topics below, referencing electronic or other documents:

1. Outline of the fishery resources including life histories as appropriate.
2. Outline of stock status as indicated by stock assessments, including a description of the assessment methods, standards, and stock indicators, biological limits, etc.
3. History of fishery and management.

3.4Principle Two: Ecosystem background

The report may include a summary of the ecosystem which may be based on the topics below, referencing electronic or other documents:

1. The aquatic ecosystem, it’s status and any particularly sensitive areas, habitats or ecosystem features influencing or affected by the fishery
2. The primary, secondary and endangered, threatened or protected (ETP) species including their status and relevant management history
3. Specific constraints, e.g. details of any unwanted catch of species, their conservation status and measures taken to reduce this as appropriate
4. Details of any critical environments or sources of concern and actions required to address impacts on them.
5. Whether cumulative impacts (e.g. combined impacts of MSC UoAs) might need consideration within the primary, secondary, ETP or Habitats PIs.

3.5Principle Three: Management system background

The report may include a summary of the management system which may be based on the topics below, referencing electronic or other documents:

1. Area of operation of the fishery and the jurisdiction under which it falls (see list of potential jurisdictional categories in FCR Annex SA 4.1.1)
2. Particulars of any recognised groups with interests in the fishery
3. Details of consultations leading to the formulation of the management plan
4. Arrangements for on-going consultations with interest groups.
5. Details of non-fishery users or activities, which could affect the fishery, and arrangements for liaison and co-ordination
6. Details of the decision-making process or processes, including the recognised participants
7. Objectives for the fishery (referring to any or all of the following if relevant):

•Resource based

•Environmental

•Biodiversity and ecological

•Technological

•Social

•Economic

1. Outline the fleet types or fishing categories participating in the fishery.
2. Details of those individuals or groups granted rights of access to the fishery, and particulars of the nature of those rights.

1. Description of the measures agreed upon for the regulation of fishing in order to meet the objectives within a specified period. These may include general and specific measures, precautionary measures, contingency plans, mechanisms for emergency decisions, etc.
2. Particulars of arrangements and responsibilities for monitoring, control and surveillance and enforcement.
3. Details of any planned education and training for interest groups.
4. Date of next review and audit of the management plan.

4.Evaluation Procedure

4.1Assessment methodologies used

The report shall state:

1. The version number of the CR used to conduct the pre-assessment for the fishery.
2. The version number of the ‘MSC Pre-Assessment Reporting Template’used to create this report.

4.2Summary of site visits and meetings held during pre-assessment

The report should include:

1. A description of any field activities that were conducted during the pre-assessment
2. A list of any meetings held.
3. Details of any other engagement with stakeholders.

4.3Stakeholders to be consulted during a full assessment

The report should include:

1. A list of key stakeholders in the fishery and their special interests.
2. The level of stakeholder consultation anticipated (default methodology or Risk Based Framework) if full assessment proceeds.

4.4Harmonisation with any overlapping MSC certified fisheries

If relevant, in accordance with FCR 7.4.16 the report should identify any overlapping fisheries.

If relevant, in accordance with Annex PB, the report should describe:

1. Processes, activities and specific outcomes of efforts to harmonise fishery assessments in cases where assessments overlap or new assessments overlap with pre-existing fisheries.

or

1. Processes, activities and specific outcomes of efforts to harmonise fishery assessments which may be required in cases where assessments overlap or new assessments overlap with pre-existing fisheries.

(Reference: FCR 7.4.16, Annex PB)

5.Traceability (issues relevant to Chain of Custody certification)

5.1Eligibility of fishery products to enter further Chains of Custody

The report should include any information identified that is likely to be relevant to subsequent Chain of Custody certification.

[This may include the limit of identification of landings from the fishery, and the anticipated eligibility or non-eligibility for fish and fish products to enter further Chains of Custody from the fishery under assessment.]

6.Preliminary evaluation of the fishery

6.1Applicability of the default assessment tree

The report may include an analysis of any special characteristics of the fishery, and possible implications on the need for revisions to the default assessment tree.

(Reference:FCR 7.1.5.3)

6.1.1Expectations regarding use of the Risk-Based Framework (RBF)

The report should contain an analysis of any data-deficiencies in the fishery that would be expected to warrant use of the RBF as outlined inFCR 7.7.6.

6.2Evaluation of the fishery

The report shall include a completed ‘Simplified scoring sheet’ (Table 6.3)