Alaska Responsible Fisheries Management (RFM) Standard ...€¦ · Fisheries, Technical Guidelines...

AlaskaResponsibleFisheriesManagement(RFM)Standard1.3

AlaskaResponsibleFisheriesManagement(RFM)StandardVersion1.3FortheassessmentofAlaskanFisheriesNovember2015

Alaska Responsible Fisheries Management (RFM) Standard Version 1.3

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FOREWORD

TheRFMStandardiscomposedofConformanceCriteria.TheConformanceCriteriapresentedinthisrevisedRFMStandardVersion1.3(V1.3)October2015,aretheresultofaminorreviewofRFMConformanceCriteria(Standard)Version1.2(V1.2)September2011,bytheRFMConformanceCriteriaCommittee.Thechangesarelimitedtogrammarcorrections,theremovalandgroupingofrepetitiveandsimilarclauses,andtheimprovedspecificityofsomeclauses;specificallythoserelatingtoinformationpresentedinupdatedandrelevantFAOGuidanceDocumentse.g.2011FAOGuidelinesfortheEcolabellingofFishandFisheryproductsfromInlandCaptureFisheries.

TheseareconsideredminorchangestotheStandardbytheConformanceCriteriaCommitteeandthereforeonlyjustifyarevisionchangeandnotaclaimofafullreviewandre-issueoftheRFMStandard.GuidanceoneditstocertainclauseswasalsogivenviatheGSSIBenchmarkingStandard2015.DetailsabouttheConformanceCriteriaCommitteeandtheirRFMProgramofWorkcanbefoundontheASMIWebsite.http://certification.alaskaseafood.org/improvements

ThefundamentalbasisoftheAlaskaRFMStandardandProgramremainsthe1995FAOCodeofConductforResponsibleFisheriesandtheFAOGuidelinesfortheEco-labellingofFishandFisheryProductsfromMarineCaptureFisheriesadoptedin2005andamended/extendedin2009,alsoincludingfullreferencetothe2011FAOGuidelinesfortheEco-labellingofFishandFisheryProductsfromInlandFisherieswhichinturnarenowsupportedbyasuiteofguidelinesandsupportdocumentspublishedbytheUNFAO.ISO17065accreditationforCertificationisanotherkeyfundamentalbasisoftheRFMProgram.

AspertheFAOGuidelinesfortheEco-labellingofFishandFisheryProductsfromMarineandInlandCaptureFisheriesadoptedin2009and2011,respectively,theAlaskaResponsibleFisheriesManagementstandardsprogramandcertification:

• Is consistentwith the1982UnitedNationsConventionon theLawof theSeaand theAgreementfortheImplementationoftheProvisionsoftheUnitedNationsConventionon the Law of the Sea of 10 December 1982 relating to the Conservation andManagementofStraddlingFishStocksandHighlyMigratoryFishStocks,theFAOCodeofConductforResponsibleFisheriesandtheWorldTradeOrganization(WTO)rulesandotherrelevantinternationalinstruments;

• Recognizes the sovereign rights of States and complies with all relevant laws andregulations;

• Isvoluntaryinnatureandmarket-driven;• Istransparent,includingbalancedandfairparticipationbyallinterestedparties;• Isnon-discriminatory,doesnotcreateunnecessaryobstaclestotradeandallowsforfair

tradeandcompetition;• Providestheopportunitytoenterinternationalmarkets;


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• Establishesclearaccountabilityfortheownersoftheschemeandthecertificationbodyinconformitywithinternationalstandards;

• Incorporatesreliable,independentauditingandverificationprocedures;• Respectsthatotherstandardsshallbeconsideredequivalentifconsistentwithit;• Is based on the best scientific evidence available, also taking into account traditional

knowledgeoftheresourcesprovidedthusitsvaliditycanbeobjectivelyverified;• Ispractical,baseduponaviableandverifiableassessment.

TheobjectiveoftheAlaskaRFMProgramremainsconsistent;toprovidethefishingindustrywitha‘CertificationofResponsibleFisheriesManagement’atthehighestlevelofmarketacceptance,nowrepresentedbyrecognitiontotheGSSIBenchmarkingStandard.

CertificationtotheRFMStandardwilldemonstratethatcommercialfisheriesinAlaskaaremanagedresponsiblybythefisheriesmanagementauthoritiesincharge,whichinturnareoperatinginaccordancewithstandardsalignedtointernationallyagreedstandardsandguidanceprovidedbytheUnitedNationsFood&AgricultureOrganization.

TheRFMStandardV1.3isalreadysubjecttoareviewforimprovementanditisanticipatedthatanewVersion2(V2)oftheRFMStandardwillbepublishedinlate2016.

TheAlaskaRFMStandardConformanceCriteria

The‘RFMStandard’isatoolforuseintheevaluationoffisheriestotheAlaskaResponsibleFisheriesManagementCertificationProgram.TheConformanceCriteriaareformulatedfromexistingpubliclyavailabledocumentsprincipallydevelopedbytheUnitedNationsFoodandAgricultureOrganization(FAO).TherearefourmainnormativeUNFAOdocumentssupportedbyotherguidancedocuments.Thefourkeydocumentswere:

• the1995FAOCodeofConductforResponsibleFisheries(CCRF),• the 2005 FAO Guidelines for Ecolabelling of Fish and Fishery Products from Marine

CaptureFisheries(&2009extensions),• the2011FAOGuidelines for theEcolabellingofFishandFisheryproducts from Inland

Capture Fisheries (the inland capture fishery guidelines are identical to the marinecapturefisheryguidelinesexceptforthefactthattheyincludeadditionalrequirementsrelatedtoenhancement),

• The1996FAOJohnCaddyChecklist1.

1FAO.Caddy,J.F.AchecklistforfisheriesresourcemanagementissuesseenfromtheperspectiveoftheFAOCodeofConductforResponsibleFisheries.FAOFisheriesCircular.No.917.Rome,FAO.1996.22p.


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Collectively,theseFAOdocumentsplustheGlobalSeafoodSustainabilityInitiative(GSSI)BenchmarkToolfor2015providethebasisofthescopeoffisherycertificationandthetechnicalrequirementsthatafisherymustbeabletodemonstratetobecomecertifiedagainsttheRFMStandard.

TheFAOCommitteeonFisheries(COFI)hasprovidedaglobal,multi-stakeholderprocessforthedocumentationofthecontentoftheFAOCCRFandthelater,FAOGuidelinesfortheEcolabellingofFishandFisheryProductsFromMarineandInlandCaptureFisheries.

Thesedocumentshaveglobalsignificanceinfisherieswithrespecttosettingaglobalstandardforresponsiblefisheriesmanagement.TheConformanceCriteriausedintheRFMprogramrepresentatechnicaltranslationofthesenormativereferencestofacilitateeffectivemeasurementoffisheriesagainsttheFAOCCRF.TheFAOCCRFhadalreadybeentranslatedintoanaudittoolandhadbeenusedvoluntarilybyfisheriesfortheassessmentofcompliance(FAOJohnCaddyChecklist1).TheJohnCaddyChecklistplacestheFAOCCRFintoameasurablecontexttoallowtheperformanceoffisheriestobeevaluatedagainstitscontent.

TheFAOCCRFconsistsofaseriesofstatementsofprinciplesthatneedtobeplacedinan'operational'contextinordertoplacethemeasurementoffisherymanagementperformancewithinapracticalcontext.AsawayofrenderingtheimplicationsoftheCodemoreexplicit,andatthesametimetestingtoseehowclosethevariousfisheriesmanagementprocessesaretomeetingitsprovisions,theprovisionsoftheCCRF,wherethiswaspossible,werereformedasaseriesofspecificrequirements.

TheFAOGuidelinesfortheEco-labellingofFishandFisheryProductsfromMarine(andlaterinland)capturefisheriesweredevelopedtoprovidedirectiontotheevaluationoffisheriesforcertificationpurposes.ThescopeoffisherycertificationistheFAOreferenceddocumentsandasetoffisheryminimumsubstantiverequirementswhichtheFAOproducedinordertocreateconsistencytothebasisofcertification.

Thedefinitionofthe‘ResponsibleFisheriesManagement’CertificationistraceabletotheFAO'sowndefinitionofResponsibleFisheriesManagementasfollows:

• Thescopeofcertificationprincipallyrelatestomanagementprovisionsandperformanceforthelong-termutilizationoffisherystockresourcesandthewiderconservationofthemarineenvironment.

• TheConformanceCriteria are formed froma translationof the FAOCodeofConduct forResponsible Fisheries as translated by the Caddy checklist, and the FAO Eco-labellingGuidelines.

• The document establishes auditable criteria for assessing fisheries conformance to theResponsible Fisheries Management Program administered and managed by theCertificationBody,accreditedagainsttherequirementsofISOGuide65/ISO17065.


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TheFAOCCRFandGuidelinesforEco-labellingclausesusedarereferencedwithinthedocumentforeachauditablecriterionandrelatetothefollowingArticles:

• Article7,FisheriesManagement;• Article8,FishingOperations;• Article9,Aquaculture(onlythepartspecifictofisheryenhancementactivities);• Article10,IntegrationofFisheriesintoCoastalAreaManagement;• Article12,FisheriesResearch;• GuidelinesforEco-labelling:Min.substantivecriteria.

Overall,the“Remit”oftheConformanceCriteriafocuseson:

ResponsibleFisheriesManagement,includingenhancementpractices(butexcludingfullcycleaquaculture),uptothepointoflanding,withthemainobjectivebeingthebiologicalsustainabilityofthe“stockunderconsideration”,withconsiderationforconservation,biodiversityandecosystemintegrity;anddueregardtosocialresponsibilityandtheeconomicviabilityofthefishery.

ItisalsonotedthatsectionFofthisConformanceCriteria(SeriousImpactsoftheFisheryontheEcosystem)shouldbeconsultedwiththeguidanceprovidedintheFAOEcosystemApproachtoFisheries,TechnicalGuidelinesdocuments2.

FAOCCRFArticles1,2and3arenotreferenceddirectlywithintheConformanceCriteriaastheyprovidebackgroundtothenature,scope,objectivesandrelationshipwithotherinstrumentswhicharedescribedwithintheseopeningparagraphs.

Article4isnotformallyincludedasitdescribestheimplementationoftheFAOCCRFitselfwhichdrawsreferencetothepromotionofvoluntaryschemessuchasthisone.Article5providesspecialrequirementsfordevelopingcountries(whichcouldaddalayerofcomplexityindecidingwhetherscoringssatisfythecriteriaforresponsiblefishing),whichcurrently,hasbeenleftoutsideofthescopeoftheauditcriteriabutwillbemaintainedunderreview.

2FAO.(2003).Theecosystemapproachtofisheries.FAOTechnicalGuidelinesforResponsibleFisheries.No.4,Suppl.2.Rome,FAO.112p.

FAO.(2008).Fisheriesmanagement.2.Theecosystemapproachtofisheries.2.1Bestpracticesinecosystemmodellingforinforminganecosystemapproachtofisheries.FAOFisheriesTechnicalGuidelinesforResponsibleFisheries.No.4,Suppl.2,Add.1.Rome,FAO.78p.

FAO.(2009).Fisheriesmanagement.2.Theecosystemapproachtofisheries.2.2Humandimensionsoftheecosystemapproachtofisheries.FAOTechnicalGuidelinesforResponsibleFisheries.No.4,Suppl.2,Add.2.Rome,FAO.88p.


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Article6containsGeneralPrinciples,whichalthoughimportanttotheoveralldefinitionandscopeofthecertificationarealsofullytranslatedwithinthecontextoffurtherArticleswhichformthebasisoftheConformanceCriteria.Inthiscontext,adetailedtableofwhatFAOCCRFarticles/sub-articleshasnotbeenincludedintheConformanceCriteria,alongwiththeirrespectiverationalesispresentedinAppendix2.

Otherreferences:TheFAOCCRFandFAOGuidelinesfortheEco-labellingofFisheriesmakereferencetoseveralotherinternationalagreementsandreferencesimportanttothedevelopmentofresponsiblefisherypractices.ThesearecitedtoconfirmthattheResponsibleFisheriesManagementCertificationProgramisconsistentwiththeseagreements/regulations/guidelines:

• WorldTradeOrganization,TechnicalBarriertoTradeAgreement,Annex3–CodeofGoodPracticeforthePreparation,AdoptionandApplicationofStandards

• ISOGuide59:1994CodeofGoodPracticeforStandardization• ISO17067:2013Conformityassessment—Fundamentalsofproductcertificationandguidelinesforproductcertificationschemes• ISEALCodeofGoodPracticeforSettingSocialandEnvironmentalStandardsv5.0, 2010• ISEALCodeofGoodPracticeforAssuringConformancewithSocialandEnvironmental

Standards,2012• ISEALCodeofGoodPracticeforAssessingtheImpactsofSocialandEnvironmental

Standards,2013• FAOGuidelinesonBycatchManagementandReductionofDiscards(2011)• FAOGuidelinesfortheEcolabellingofFishandFisheryProductsfromInlandCapture

Fisheries(2011)• FAOGuidelinesontheManagementofDeepSeaFisheriesontheHighSeas(2008)• FAOVoluntaryGuidelinesforSecuringSustainableSmallScaleFisheriesintheContext

ofFoodSecurityandPovertyEradication(2014)• ISO17065thestandardforCertificationBodiesoperatingcertification• TheGSSIBenchmarkToolforSeafoodCertificationPrograms(2015)• 1982UnitedNationsConventionontheLawoftheSea.• Implementation of the International Plan of Action to Prevent, Deter and Eliminate

Illegal,UnreportedandUnregulatedFishing.• TechnicalGuidelinesforResponsibleFisheriesNo.9.• EC Regulation 1005/2008 establishing a Community system to Prevent, Deter and

EliminateIllegal,UnreportedandUnregulated(IUU)Fishing.• ISO 14024:1999 Environmental labels and declarations - Type 1 environmental

labelling-PrinciplesandProcedures.• ISO/IECGuide59:1994CodeofGoodPracticeforStandardization,andthe• WTOTechnicalBarrierstoTrade(TBT)AgreementAnnex3CodeofGoodPracticefor

thePreparation,AdoptionandApplicationofStandards,fortheTechnicalBarrierstoTrade(TBT)SecondTriennialReviewAnnex4,PrinciplesfortheDevelopmentofInternationalStandards,Guides.


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TheRFMstandardisapplicabletogovernanceandmanagementsystemsforsmallscaleand/ordata limited fisheries, where appropriate, provided their performance can be objectivelyverified, with due consideration to the availability of data and the fact that managementsystemscandiffersubstantiallyfordifferenttypesandscalesoffisheries.


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StructureoftheAlaskaRFMConformanceCriteria

TheAlaskaRFMConformanceCriteriaaredividedintothe6keycomponentsofResponsibleFisheriesManagement(A-F).

A.TheFisheriesManagementSystem

B.ScienceandStockAssessmentActivities

C.ThePrecautionaryApproach

D.ManagementMeasures

E.Implementation,MonitoringandControl

F.SeriousImpactsoftheFisheryontheEcosystem

Thesesectionsareinturndividedin13fundamentalclauses,eachmadeupofitssupportingcriteria.Thesearepresentedbelow.

CONFORMANCECRITERIA–FUNDAMENTALCLAUSES

A. TheFisheriesManagementSystem1.Thereshallbeastructuredandlegallymandatedmanagementsystembaseduponand

respectinginternational,nationalandlocalfisherylaws,fortheresponsibleutilizationofthetargetstockandconservationofthemarineenvironment.

2. Management organizations shall participate in coastal area management institutionalframeworks,decision-makingprocessesandactivitiesrelatedtothefisheryanditsusers, insupportofsustainableandintegratedresourceuse,andconflictavoidance.

3. Management objectives shall be implemented through management rules and actionsformulatedinaplanorotherframework.

B. ScienceandStockAssessmentActivities4.Thereshallbeeffectivefisherydata(dependentandindependent)collectionandanalysis

systemforstockmanagementpurposes.

5.Thereshallberegularstockassessmentactivitiesappropriateforthefisheryresource,itsrange,thespeciesbiologyandtheecosystemandundertakeninaccordancewithacknowledgedscientificstandardstosupportitsoptimumutilization.

C. ThePrecautionaryApproach6.Thecurrentstateofthestockshallbedefinedinrelationtoreferencepointsorrelevant

proxiesorverifiablesubstitutesallowingforeffectivemanagementobjectivesandtargets.Remedialactionsshallbeavailableandtakenwherereferencepointsorothersuitableproxiesareapproachedorexceeded.


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7.Managementactionsandmeasuresfortheconservationofstockandtheaquaticenvironmentshallbebasedontheprecautionaryapproach.Whereinformationisdeficient,asuitablemethodusingriskassessmentshallbeadoptedtotakeintoaccountuncertainty.

D. ManagementMeasures8.Managementshalladoptandimplementeffectivemanagementmeasuresdesignedto

maintainstocksatlevelscapableofproducingmaximumsustainableyields,includingharvestcontrolrulesandtechnicalmeasuresapplicabletosustainableutilizationofthefisheryandbebaseduponverifiableevidenceandadvicefromavailablescientificandobjective,traditionalsources.

9.Fishingoperationsshallbecarriedoutbyfisherswithappropriatestandardsofcompetenceinaccordancewithinternationalstandardsandguidelinesandregulations.

E. Implementation,MonitoringandControl10.Aneffectivelegalandadministrativeframeworkshallbeestablishedandcompliance

ensured,througheffectivemechanismsformonitoring,surveillance,controlandenforcementforallfishingactivitieswithinthejurisdiction.

11.Thereshallbeaframeworkforsanctionsforviolationsandillegalactivitiesofadequateseveritytosupportcomplianceanddiscourageviolations.

F. SeriousImpactsoftheFisheryontheEcosystem12.Considerationsoffisheryinteractionsandeffectsontheecosystemshallbebasedonbest

availablescience,localknowledgewhereitcanbeobjectivelyverifiedandusingariskbasedmanagementapproachfordeterminingmostprobableadverseimpacts.Adverseimpactsonthefisheryontheecosystemshallbeappropriatelyassessedandeffectivelyaddressed.

13.Wherefisheriesenhancementisutilized,environmentalassessmentandmonitoringshallconsidergeneticdiversityandecosystemintegrity.


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FAODEFINITIONOFRESPONSIBLEFISHERIESMANAGEMENT

Responsiblefisheriesmanagementshallensuretheeffectiveconservation,responsiblemanagementanddevelopmentoflivingaquaticresourceswithrespectforconservation,biodiversityandecosystemsintegrity.

The“Remit”oftheRFMConformanceCriteriafocuseson:

ResponsibleFisheriesManagement,includingenhancementpractices(butexcludingfullcycleaquaculture),uptothepointoflanding,withthemainobjectivebeingthebiologicalsustainabilityofthe“stockunderconsideration”,withconsiderationforconservation,biodiversityandecosystemintegrity;anddueregardtosocialresponsibilityandtheeconomicviabilityofthefishery.

Inthisregard,thestockismaintainedatalevelwhichpromotestheobjectiveofoptimalutilizationandmaintainsitsavailabilityforpresentandfuturegenerations,takingintoaccountthatlongertermchangesinproductivitycanoccurduetonaturalvariabilityand/orimpactsotherthanfishing.Intheeventthatbiomassdropswellbelowprecautionarytargetlevels,managementmeasuresshallallowforrestorationwithinreasonabletimeframesofthestockstosuchlevels(Clause30FAOEco-labellingGuidelines).


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RFMFUNDAMENTALCLAUSESANDSUPPORTINGCLAUSES

A. TheFisheriesManagementSystem1. Thereshallbeastructuredandlegallymandatedmanagementsystembaseduponand

respectingInternational,Nationalandlocalfisherylaws,fortheresponsibleutilizationofthestockunderconsiderationandconservationofthemarineenvironment.

FAOCCRF(1995)7.1.3/7.1.4/7.1.9/7.3.1/7.3.2/7.3.4/7.6.8/7.7.1/10.3.1FAOEco(2009)28

FAOEco(2011)35,37.3

1.1 Thereshallbeaneffectivelegalandadministrativeframeworkestablishedatlocalandnationallevelappropriateforfisheryresourceconservationandmanagement.Themanagementsystemandthefisheryoperateincompliancewiththerequirementsoflocal,nationalandinternationallawsandregulations,includingtherequirementsofanyregionalfisheriesmanagementagreement.

FAOCCRF(1995)7.7.1FAOEco(2009)28FAOEco(2011)35

1.2 Managementmeasuresshallconsider1)thewholestockbiologicalunit(i.e.structure

andcompositioncontributingtoitsresilience)overitsentireareaofdistribution2)theareathroughwhichthespeciesmigratesduringitslifecycleand3)otherbiologicalcharacteristicsofthestock.

FAOECO(2009)30.3FAOECO(2011)37.3

1.2.1 Previouslyagreedmanagementmeasuresestablishedandappliedinthesameregionshallbetakenintoaccountbymanagement.

FAOCCRF(1995)7.3.1

1.3 Wheretrans-boundary,shared,straddlingorhighlymigratoryfishstocksandhighseasfishstocksareexploitedbytwoormoreStates(neighboringornot),theapplicantmanagementorganizationsconcernedshallcooperateandtakepartinformalfisherycommissionorarrangementsthathavebeenappointedtoensureeffectiveconservationandmanagementofthestock/sinquestionanditsenvironment.

1.3.1 ConservationandmanagementmeasuresestablishedforsuchstockwithinthejurisdictionoftherelevantStatesforshared,straddling,highseasandhighlymigratorystocks,shallbecompatible.Compatibilityshallbeachievedinamannerconsistentwiththerights,competencesandinterestsoftheStatesconcerned.

FAOCCRF(1995)7.1.3,7.1.4,7.1.5,7.3.2,10.3


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1.4AStatenotmember/participantofasub-regionalorregionalfisheriesmanagementorganizationshallcooperate,inaccordancewithrelevantinternationalagreementsandlaw,intheconservationandmanagementoftherelevantfisheriesresourcesbygivingeffecttoanyrelevantmeasuresadoptedbysuchorganization/arrangement.

FAOCCRF(1995)7.1.5

1.4.1Statesseekingtotakeanyactionthroughanon-fisheryorganizationwhichmayaffecttheconservationandmanagementmeasurestakenbyacompetentsub-regionalorregionalfisheriesmanagementorganizationorarrangementshallconsultwiththelatter,inadvancetotheextentpracticable,andtakeitsviewsintoaccount.

FAOCCRF(1995)7.3.5

1.5 The Applicant fishery’s management system shall actively foster internationalcooperationandcoordinationonfisherymatterswithregardto:

• Informationgatheringandexchange• Fisheriesresearch• Fisheriesmanagement• Fisheriesdevelopment

FAOCCRF(1995)7.3.4

1.6Statesandsub-regionalorregionalfisheriesmanagementorganizationsandarrangements,asappropriate,shallagreeonthemeansbywhichtheactivitiesofsuchorganizationsandarrangementswillbefinanced,bearinginmind,interalia,therelativebenefitsderivedfromthefisheryandthedifferingcapacitiesofcountriestoprovidefinancialandothercontributions.Whereappropriate,andwhenpossible,suchorganizationsandarrangementsshallaimtorecoverthecostsoffisheriesconservation,managementandresearch.

FAOCCRF(1995)7.7.4

1.6.1Withoutprejudicetorelevantinternationalagreements,Statesshallencouragebanksandfinancialinstitutionsnottorequire,asaconditionofaloanormortgage,fishingvesselsorfishingsupportvesselstobeflaggedinajurisdictionotherthanthatoftheStateofbeneficialownershipwheresucharequirementwouldhavetheeffectofincreasingthelikelihoodofnon-compliancewithinternationalconservationandmanagementmeasures.

FAOCCRF(1995)7.8.1

1.7 Procedures shall be in place to keep the efficacy of current conservation andmanagement measures and their possible interactions under continuous review toreviseorabolishtheminthelightofnewinformation.

• Reviewproceduresshallbeestablishedwithinthemanagementsystem.• Amechanismforrevisionofmanagementmeasuresshallexist.


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FAOCCRF(1995)7.6.8

1.8 Themanagementarrangementsanddecisionmakingprocessesforthefisheryshallbeorganizedinatransparentmanner.

• Managementarrangements• Decision-making

FAOCCRF(1995)7.1.9

1.9ManagementorganizationsnotpartytotheAgreementtopromotecompliancewithinternationalconservationandmanagementmeasuresbyvesselsfishinginthehighseasshallbeencouragedtoaccepttheAgreementandtoadoptlawsandregulationsconsistentwiththeprovisionsoftheAgreement.

FAOCCRF(1995)8.2.6

2. Managementorganizationsshallparticipateincoastalareamanagementinstitutionalframeworks,decision-makingprocessesandactivitiesrelatedtothefisheryanditsusers,insupportofsustainableandintegratedresourceuse,andconflictavoidance.

FAOCCRF(1995)10.1.1/10.1.2/10.1.4/10.2.1/10.2.2/10.2.4

2.1 An appropriate policy, legal and institutional framework shall be adopted in order toachievesustainableandintegrateduseoflivingmarineresources,takingintoaccount1)the fragility of coastal ecosystems and finite nature of their natural resources; 2)allowingfordeterminationofthepossibleusesofcoastalresourcesandgovernaccessto them,3) taking intoaccount the rightsandneedsof coastal communitiesand theircustomarypractices totheextentcompatiblewithsustainabledevelopment. Insettingpolicies for themanagement of coastal areas, 4) States shall take due account of therisksanduncertaintiesinvolved.

FAOCCRF(1995)10.1.1,10.1.3,10.2.3

2.1.1Statesshallestablishmechanismsforcooperationandcoordinationamongnationalauthoritiesinvolvedinplanning,development,conservationandmanagementofcoastalareas.

FAOCCRF(1995)10.4.1

2.1.2Statesshallensurethattheauthorityorauthoritiesrepresentingthefisheriessectorinthecoastalmanagementprocesshavetheappropriatetechnicalcapacitiesandfinancialresources.

FAOCCRF(1995)10.4.2


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2.2 Representativesofthefisheriessectorandfishingcommunitiesshallbeconsultedinthedecisionmakingprocessesinvolvedinotheractivitiesrelatedtocoastalareamanagementplanninganddevelopment.Thepublicshallalsobekeptawareontheneedfortheprotectionandmanagementofcoastalresourcesandtheparticipationinthemanagementprocessbythoseaffected.

FAOCCRF(1995)10.1.2,10.2.1

2.3 Fisheriespracticesthatavoidconflictamongfishersandotherusersofthecoastalarea(e.g.aquaculture,tourism,energy)shallbeadoptedandfishingshallberegulatedinsuchawayastoavoidriskofconflictamongfishersusingdifferentvessels,gearandfishingmethods.Proceduresandmechanismsshallbeestablishedattheappropriateadministrativeleveltosettleconflictswhicharisewithinthefisheriessectorandbetweenfisheriesresourceusersandothercoastalusers.

FAOCCRF(1995)7.6.5,10.1.4,10.15

2.4Statesandsub-regionalorregionalfisheriesmanagementorganizationsandarrangementsshallgiveduepublicitytoconservationandmanagementmeasuresandensurethatlaws,regulationsandotherlegalrulesgoverningtheirimplementationareeffectivelydisseminated.Thebasesandpurposesofsuchmeasuresshallbeexplainedtousersoftheresourceinordertofacilitatetheirapplicationandthusgainincreasedsupportintheimplementationofsuchmeasures.

FAOCCRF(1995)7.1.10

2.5 Theeconomic,socialandculturalvalueofcoastalresourcesshallbeassessedinordertoassistdecision-makingontheirallocationanduse.

FAOCCRF(1995)10.2.2

2.6 States shall cooperate at the sub-regional level in order to improve coastal areamanagement,andinaccordancewithcapacities,measuresshallbetakentoestablishorpromote systems for researchandmonitoringof the coastal environment, inorder toimprove coastal areamanagement, andpromotemultidisciplinary research in supportand improvement of coastal area management using physical, chemical, biological,economic,social,legalandinstitutionalaspects.

FAOCCRF(1995)10.2.4,10.2.5,10.3.3

2.7Statesshall,withintheframeworkofcoastalareamanagementplan,establishmanagementsystemsforartificialreefsandfishaggregationdevices.Suchmanagementsystemsshallrequireapprovalfortheconstructionanddeploymentofsuchreefsanddevicesandshalltakeintoaccounttheinterestsoffishers,includingartisanalandsubsistencefishers.

FAOCCRF(1995)8.11.3


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2.8Inthecaseofactivitiesthatmayhaveanadversetransboundaryenvironmentaleffectoncoastalareas,Statesshall:

a)Providetimelyinformationandifpossible,priornotificationtopotentiallyaffectedStates;

b)ConsultwiththoseStatesasearlyaspossible.FAOCCRF(1995)10.3.2

3. Managementobjectivesshallbeimplementedthroughmanagementrulesandactionsformulatedinaplanorotherframework.

FAOCCRF(1995)7.3.3/7.2.2FAOECO(2009)28.1,28.2FAOECO(2011)35.1,35.2

3.1 Longtermmanagementobjectivesshallbetranslatedintoaplanorothermanagementdocument(takingintoaccountuncertaintyandimprecision)andbesubscribedtobyallinterestedparties.

FAOCCRF(1995)7.3.3FAOECO(2009)28.1FAOECO(2011)35.1

3.2 Managementmeasuresshallprovideinteraliathat:

3.2.1 Excessfishingcapacityshallbeavoidedandexploitationofthestocksremainseconomicallyviable.

3.2.2 Theeconomicconditionsunderwhichfishingindustriesoperateshallpromoteresponsiblefisheries.

3.2.3 Theinterestsoffishers,includingthoseengagedinsubsistence,small-scaleandartisanalfisheriesshallbetakenintoaccount.

3.2.4 Biodiversityofaquatichabitatsandecosystemsshallbeconservedandendangeredspeciesshallbeprotected.Whererelevant,thereshallbepertinentobjectives,andasnecessary,managementmeasures.

FAOCCRF(1995)7.2.2FAOECO(2009)28.2FAOECO(2011)35.2

3.2.5 Thereshallbemanagementobjectivesseekingtoavoid,minimizeormitigateimpactsof

theunitofcertificationonessentialhabitatsforthestockunderconsiderationandonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertification.

FAOECO(2011)41.3


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3.2.6 Thereshallbemanagementobjectivesthatseektominimizeadverseimpactsoftheunitofcertification,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.

FAOECO(2011)36.9

B. ScienceandStockAssessmentActivities4. Thereshallbeeffectivefisherydata(dependentandindependent)collectionand

analysissystemsforstockmanagementpurposes.FAOCCRF(1995)7.1.9/7.4.4/7.4.5/7.4.6/8.4.3/12.4

FAOECO(2009)29.1-29.3FAOEco(2011)36.1,36.3-36.5,37.4

4.1 Allfisheryremovalsandmortalityofthetargetstock(s)shallbeconsideredby

management.Specifically,reliableandaccuratedatarequiredforassessingthestatusoffishery/iesandecosystems-includingdataonretainedcatch,bycatch,discardsandwasteshallbecollected.Datacanincluderelevanttraditional,fisherorcommunityknowledge,providedtheirvaliditycanobjectivelybeverified.Thesedatashallbecollected,atanappropriatetimeandlevelofaggregation,byrelevantmanagementorganizationsconnectedwiththefishery,andprovidedtorelevantStatesandsub-regional,regionalandglobalfisheriesorganizations.

FAOCCRF(1995)7.3.1,7.4.6,7.4.7,12.4FAOEco(2009)29.1-29.3

FAOEco(2011)36.1,36.3,36.44.1.1 Timely,completeandreliablestatisticsshallbecompiledoncatchandfishingeffortand

maintainedinaccordancewithapplicableinternationalstandardsandpracticesandinsufficientdetailtoallowsoundstatisticalanalysisforstockassessment.Suchdatashallbeupdatedregularlyandverifiedthroughanappropriatesystem.Theuseofresearchresultsasabasisforthesettingofmanagementobjectives,referencepointsandperformancecriteria,aswellasforensuringadequatelinkage,betweenappliedresearchandfisheriesmanagement(e.g.adoptionofscientificadvice)shallbepromoted.Resultsofanalysisshallbedistributedaccordinglyasacontributiontofisheriesconservation,managementanddevelopment.

FAOCCRF(1995)7.4.4,12.3,12.13FAOEco(2009)29.1,29.3FAOEco(2011)36.3,36.5

4.1.2Intheabsenceofspecificinformationonthe“stockunderconsideration”,generic

evidencebasedonsimilarstockscanbeusedforfisherieswithlowrisktothat“stockunderconsideration”.However,thegreatertheriskofoverfishing,themorespecificevidenceisnecessarytoascertainthesustainabilityofintensivefisheries.

FAOEco(2009)30.4FAOECO(2011)37.4


16

4.2 An observer scheme designed to collect accurate data for research and supportcompliancewithapplicablefisherymanagementmeasuresshallbeestablished.

FAOCCRF(1995)8.4.3FAOEco(2009)29.2bis

4.3 Sub-regionalorregionalfisheriesmanagementorganizationsorarrangementsshall

compiledataandmakethemavailable,inamannerconsistentwithanyapplicableconfidentialityrequirements,inatimelymannerandinanagreedformattoallmembersoftheseorganizationsandotherinterestedpartiesinaccordancewithagreedprocedures.

FAOCCRF(1995)7.4.6/7.4.7

4.4 Statesshallstimulatetheresearchrequiredtosupportnationalpoliciesrelatedtofishasfood.

FAOCCRF(1995)12.7

4.5 Statesshallensurethatasufficientknowledgeoftheeconomic,social,marketingandinstitutionalaspectsoffisheriesiscollectedthroughdatagathering,analysisandresearchandthatcomparabledataaregeneratedforongoingmonitoring,analysisandpolicyformulation.

FAOCCRF(1995)7.4.5,12.9

4.6 Statesshallinvestigateanddocumenttraditionalfisheriesknowledgeandtechnologies,inparticularthoseappliedtosmallscalefisheries,inordertoassesstheirapplicationtosustainablefisheriesconservation,managementanddevelopment.

FAOCCRF(1995)12.12

4.7 StatesconductingscientificresearchactivitiesinwatersunderthejurisdictionofanotherStateshallensurethattheirvesselscomplywiththelawsandregulationsofthatStateandinternationallaw.

FAOCCRF(1995)12.14

4.8 Statesshallpromotetheadoptionofuniformguidelinesgoverningfisheriesresearchconductedonthehighseasandshall,whereappropriate,supporttheestablishmentofmechanisms,including,interalia,theadoptionofuniformguidelines,tofacilitateresearchatthesub-regionalorregionallevelandshallencouragethesharingofsuchresearchresultswithotherregions.

FAOCCRF(1995)12.15,12.16

4.9 Statesandrelevantinternationalorganizationsshallpromoteandenhancetheresearchcapacitiesofdevelopingcountries,interalia,intheareasofdatacollectionandanalysis,information,scienceandtechnology,humanresourcedevelopmentandprovisionofresearchfacilities,inorderforthemtoparticipateeffectivelyintheconservation,managementandsustainableuseoflivingaquaticresources.

FAOCCRF(1995)12.18


17

4.10 Competentnationalorganizationsshall,whereappropriate,rendertechnicalandfinancialsupporttoStatesuponrequestandwhenengagedinresearchinvestigationsaimedatevaluatingstockswhichhavebeenpreviouslyunfishedorverylightlyfished.

FAOCCRF(1995)12.19

4.11 Relevanttechnicalandfinancialinternationalorganizationsshall,uponrequest,supportStatesintheirresearchefforts,devotingspecialattentiontodevelopingcountries,inparticulartheleastdevelopedamongthemandsmallislanddevelopingcountries.

FAOCCRF(1995)12.20

5. Thereshallberegularstockassessmentactivitiesappropriateforthefishery,itsrange,thespeciesbiologyandtheecosystem,undertakeninaccordancewithacknowledgedscientificstandardstosupportitsoptimumutilization.

FAOCCRF(1995)7.2.1/12.2/12.3/12.5/12.6/12.7/12.17FAOEco(2009)29-29.3,31

FAOEco(2011)42

5.1 Anappropriateinstitutionalframeworkshallbeestablishedtodeterminetheappliedresearchwhichisrequiredanditsproperuse(i.e.assess/evaluatestockassessmentmodelpracticesand/ormodel)forfisherymanagementpurposes.

FAOCCRF(1995)12.2/12.6

5.1.1Withtheuseoflesselaboratemethodsforstockassessmentfrequentlyusedforsmallscaleorlowvaluecapturefisheriesresultingingreateruncertaintyaboutthestateofthestockunderconsideration,moreprecautionaryapproachestomanagingfisheriesonsuchresourcesshallberequired,includingwhereappropriate,lowerlevelofutilizationofresources.Arecordofgoodmanagementperformancemaybeconsideredassupportingevidenceoftheadequacyandthemanagementsystem.

FAOEco(2011)42

5.1.2Statesshallensurethatappropriateresearchisconductedintoallaspectsoffisheriesincludingbiology,ecology,technology,environmentalscience,economics,socialscience,aquacultureandnutritionalscience.Resultsofanalysesshallbedistributedinatimelyandreadilyunderstandablefashioninorderthatthebestscientificevidenceismadeavailableasacontributiontofisheriesconservation,managementanddevelopment.Statesshallalsoensuretheavailabilityofresearchfacilitiesandprovideappropriatetraining,staffingandinstitutionbuildingtoconducttheresearch,takingintoaccountthespecialneedsofdevelopingcountries.

FAOCCRF(1995)12.1/7.4.2


18

5.2 There shall be established research capacity necessary to assess and monitor 1) theeffectsofclimateorenvironmentchangeonfishstocksandaquaticecosystems,2)thestateofthestockunderStatejurisdiction,andfor3)theimpactsofecosystemchangesresultingfromfishingpressure,pollutionorhabitatalteration.

FAOCCRF(1995)12.5FAOEco(2009)31

5.3 Managementorganizationsshallcooperatewithrelevantinternationalorganizationstoencourageresearchinordertoensureoptimumutilizationoffisheryresources.

FAOCCRF(1995)12.7

5.4 Thefisherymanagementorganizationsshalldirectly,orinconjunctionwithotherStates,developcollaborativetechnicalandresearchprogramstoimproveunderstandingofthebiology,environmentandstatusoftrans-boundaryaquaticstocks.

FAOCCRF(1995)12.7,12.17

5.5 Datageneratedbyresearchshallbeanalysedandtheresultsofsuchanalysespublishedinawaythatensuresconfidentialityisrespected,whereappropriate.

FAOCCRF(1995)12.3

C. ThePrecautionaryApproach

6. Thecurrentstateofthestockshallbedefinedinrelationtoreferencepointsorrelevantproxiesorverifiablesubstitutesallowingforeffectivemanagementobjectivesandtargets.Remedialactionsshallbeavailableandtakenwherereferencepointorothersuitableproxiesareapproachedorexceeded.

FAOCCRF(1995)7.5.3,7.6.1FAOEco(2009)29.2-29.2bis,29.6,30-30.2FAOEco(2011)36.2,36.3,37,37.1,37.2

6.1 Statesshallestablishsafetargetreferencepoint(s)formanagement.

6.2 Statesshallestablishsafelimitreferencepoint(s)forexploitation(i.e.consistentwithavoidingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible).Whenalimitreferencepointisapproached,measuresshallbetakentoensurethatitwillnotbeexceeded.Forinstance,iffishingmortality(oritsproxy)isabovetheassociatedlimitreferencepoint,actionsshouldbetakentodecreasethefishingmortality(oritsproxy)belowthatlimitreferencepoint.

6.3 Dataandassessmentproceduresshallbeinstalledmeasuringthepositionofthefisheryinrelationtothereferencepoints.Accordingly,thestockunderconsiderationshallnotbe overfished (i.e. above limit reference point or proxy) and the level of fishingpermitted shall be commensurate with the current state of the fishery resources,maintaining its future availability, taking into account that long term changes in


19

productivitycanoccurduetonaturalvariabilityand/orimpactsotherthanfishing.

FAOCCRF(1995)7.5.3,7.6.1FAOEco(2009)29.2-29.2bis,29.6,30-30.2FAOEco(2011)36.2,36.3,37,37.1,37.2

6.4Managementactionsshallbeagreedtointheeventualitythatdatasourcesandanalyses

indicatethatthesereferencepointshavebeenexceeded. FAOCCRF(1995)7.5.3

FAOEco(2009)29.6,30.2FAOEco(2011)36.3

7. Managementactionsandmeasuresfortheconservationofstockandtheaquatic

environmentshallbebasedontheprecautionaryapproach.Whereinformationisdeficientasuitablemethodusingriskassessmentshallbeadoptedtotakeintoaccountuncertainty.

FAOCCRF(1995)7.5.1/7.5.4/7.5.5/12.3FAOECO(2009)29.6/32

FAOEco(2011)36.7

7.1 Theprecautionaryapproachshallbeappliedwidelytoconservation,managementandexploitation of living aquatic resources in order to protect them and preserve theaquaticenvironment.Thisshouldtakedueaccountofstockenhancementprocedures,whereappropriate.Absenceofscientific informationshallnotbeusedasareasonforpostponing or failing to take conservation and management measures. Relevantuncertaintiesshallbetakenintoaccountthroughasuitablemethodofriskassessment,includingthoseassociatedwiththeuseofintroducedortranslocatedspecies3.

FAOEco(2009)29.6FAOEco(2011)36.7

7.1.1Inimplementingtheprecautionaryapproach,Statesshalltakeintoaccount,interalia,of

uncertaintiesrelatingtothesizeandproductivityofthestocks,referencepoints,stockconditioninrelationtosuchreferencepoints,levelsanddistributionoffishingmortalityandtheimpactoffishingactivities,includingdiscards,onnon-targetandassociatedordependentspeciesaswellasenvironmentalandsocio-economicconditions.

FAOCCRF(1995)7.5.2

7.1.2 Intheabsenceofadequatescientificinformation,appropriateresearchshallbeinitiatedinatimelyfashion.

3FAOTechnicalGuidelinesforResponsibleFisheriesNo.2–Precautionaryapproachtocapturefisheriesandspeciesintroductions.


20

FAOCCRF(1995)7.5.1,12.3FAOEco(2009)29.6/32

7.2 Inthecaseofneworexploratoryfisheries,Statesshalladoptassoonaspossible

cautiousconservationandmanagementmeasures,including,interalia,catchlimitsandeffortlimits.Suchmeasuresshouldremaininforceuntiltherearesufficientdatatoallowassessmentoftheimpactofthefisheriesonthelong-termsustainabilityofthestocks,whereuponconservationandmanagementmeasuresbasedonthatassessmentshouldbeimplemented.Thelattermeasuresshould,ifappropriate,allowforthegradualdevelopmentofthefisheries.

FAOCCRF(1995)7.5.4

7.2.3 Contingencyplansshallbeagreedinadvancefortheappropriatemanagementresponse

to serious threats to the resource as a result of overfishingor adverseenvironmentalchangesor otherphenomenaadversely affecting the fishery resource. Suchmeasuresmaybetemporaryandshallbebasedonbestscientificevidenceavailable.

FAOCCRF(1995)7.5.5D. ManagementMeasures

8. Managementshalladoptandimplementeffectivemanagementmeasuresdesignedtomaintainstocksatlevelscapableofproducingmaximumsustainableyields,includingharvestcontrolrulesandtechnicalmeasuresapplicabletosustainableutilizationofthefisheryandbebaseduponverifiableevidenceandadvicefromavailablescientificandobjective,traditionalsources.

FAOCCRF(1995)7.1.1/7.1.2/7.1.6/7.4.1/7.6.1/7.6.9/12.3FAOEco(2009)29.2/29.4/30

FAOEco(2011)36.2,36.3

8.1 Conservationandmanagementmeasuresshallbedesignedtoensurethelong-termsustainabilityoffisheryresourcesatlevelswhichpromotetheobjectiveofoptimumutilization,andbebasedonverifiableandobjectivescientificand/ortraditional,fisherorcommunitysources.

FAOCCRF(1995)7.1.1Others7.4.1/7.6.7FAOEco(2009)29.2/29.4

FAOEco(2011)36.28.1.1Managementtargetsareconsistentwithachievingmaximumsustainableyield(MSY)(or

a suitable proxy) on average, or a lesser fishing mortality if that is optimal in thecircumstances of the fishery (e.g. multispecies fisheries) or to avoid severe adverseimpactsondependantpredators.

FAOEco(2009)29.2FAOEco(2011)36.3

8.1.2Intheevaluationofalternativeconservationandmanagementmeasures,theircost-effectivenessandsocialimpactshallbeconsidered.


21

FAOCCRF(1995)7.6.7

8.1.3Studiesshallbepromotedwhichprovideanunderstandingofthecosts,benefitsandeffectsofalternativemanagementoptionsdesignedtorationalizefishing,inparticular,optionsrelatingtoexcessfishingcapacityandexcessivelevelsoffishingeffort.

FAOCCRF(1995)7.4.3

8.2 Statesshallprohibitdynamiting,poisoningandothercomparabledestructivefishingpractices.

FAOCCRF(1995)8.4.2

8.3 Statesshallseektoidentifydomesticpartieshavingalegitimateinterestintheuseandmanagementofthefishery.Whendecidingonuse,conservationandmanagementoftheresource,duerecognitionshallbegiven,whererelevant,inaccordancewithnationallawsandregulations,tothetraditionalpractices,needsandinterestsofindigenouspeopleandlocalfishingcommunitieswhicharehighlydependentontheseresourcesfortheirlivelihood.Arrangementsshallbemadetoconsultalltheinterestedpartiesandgaintheircollaborationinachievingresponsiblefisheries.

FAOCCRF(1995)7.1.2,7.1.6,7.6.6

8.4 Mechanisms shall be established where excess capacity exists, to reduce capacity tolevelscommensuratewithsustainableuseoftheresource. Fleetcapacityoperating inthefisheryshallbemeasuredandmonitored.Statesshallmaintain,inaccordancewithrecognized international standards and practices, statistical data, updated at regularintervals,onall fishingoperationsandarecordofallauthorizationsto fishallowedbythem.

FAOCCRF(1995)7.1.8,7.6.3,8.1.2,8.1.3

8.5 Technicalmeasuresshallbetakenintoaccount,whereappropriate,inrelationto:• fishsize• meshsizeorgear• closedseasons• closedareas• areasreservedforparticular(e.g.artisanal)fisheries• protectionofjuvenilesorspawners

8.6 Fishinggearshallbemarkedinaccordancewithnationallegislationinorderthatthe

ownerofthegearcanbeidentified.Gearmarkingrequirementsshalltakeintoaccountuniformandinternationallyrecognizablegearmarkingsystems.

FAOCCRF(1995)8.2.4


22

8.7 Measuresshallbeintroducedtoidentifyandprotectdepletedresourcesandthose

resourcesthreatenedwithdepletion,andtofacilitatethesustainedrecovery/restorationofsuchstocks.Also,effortsshallbemadetoensurethatresourcesandhabitatscriticaltothewell-beingofsuchresourceswhichhavebeenadverselyaffectedbyfishingorotherhumanactivitiesarerestored.

FAOCCRF(1995)7.6.10,7.2.2eFAOEco(2009)30

8.8 Statesandrelevantgroupsfromthefishingindustryshallmeasureperformanceand

encouragethedevelopment,implementationanduseofselective,environmentallysafeandcosteffectivegear,technologiesandtechniquesthatsufficientlyselectiveastominimizecatch,wasteanddiscardsofnon-targetspecies-bothfishandnon-fishspeciesandimpactsonassociatedordependentspecies.Theuseoffishinggearandpracticesthatleadtothediscardingofcatchshallbediscouragedandtheuseoffishinggearandpracticesthatincreasesurvivalratesofescapingfishshallbepromoted.Inconsistentmethods,practicesandgearsshallbephasedoutaccordingly.

FAOCCRF(1995)7.2.2,7.6.4,7.6.9,8.4.5,8.5.2

8.9 Technologies,materialsandoperationalmethodsormeasuresincluding,totheextentpracticable,thedevelopmentanduseofselective,environmentallysafeandcosteffectivefishinggearandtechniquesshallbeappliedtominimizethelossoffishinggear,theghostfishingeffectsoflostorabandonedfishinggear,pollutionandwaste.

FAOCCRF(1995)7.2.2,8.4.6,8.4.1

8.10 The intent of fishing selectivity and fishing impacts related regulations shall not becircumvented by technical devices and information on new developments andrequirementsshallbemadeavailabletoallfishers.

FAOCCRF(1995)8.5.1

8.11 Assessmentandscientificevaluationshallbecarriedoutontheimplicationsofhabitatdisturbance impact on the fisheries and ecosystems prior to the introduction on acommercialscaleofnewfishinggear,methodsandoperations.Accordingly,theeffectsofsuchintroductionsshallbemonitored.

FAOCCRF(1995)8.4.7,12.118.12 International cooperation shall be encouragedwith respect to research programs for

fishinggearselectivityandfishingmethodsandstrategies,disseminationoftheresultsofsuchresearchprogramsandthetransferoftechnology.

FAOCCRF(1995)8.5.4

8.13 States and relevant institutions involved in the fishery shall collaborate in developingstandardmethodologies for research into fishinggear selectivity, fishingmethodsandstrategies, and on the behaviour of target and non-target species in relation to suchfishing gear as an aid for management decisions and with a view to minimizing nonutilizedcatches.

FAOCCRF(1995)8.5.3/12.10


23

8.14 Policies shall be developed for increasing stock populations and enhancing fishing

opportunities through the use of artificial structures. States shall ensure that, whenselecting the materials to be used in the creation of artificial reefs as well as whenselecting the geographical location of such artificial reefs, the provisions of relevantinternationalconventionsconcerningtheenvironmentandthesafetyofnavigationareobserved.

FAOCCRF(1995)8.11.1,8.11.2

9. Fishingoperationsshallbecarriedoutbyfisherswithappropriatestandardsofcompetenceinaccordancewithinternationalstandardsandguidelinesandregulations.

FAOCCRF(1995)8.1.7/8.1.10/8.2.4/8.4.5

9.1 Statesshallenhancethrougheducationandtrainingprogramstheeducationandskillsoffishersand,whereappropriate,theirprofessionalqualifications.Suchprogramsshalltakeintoaccountagreedinternationalstandardsandguidelines.

FAOCCRF(1995)8.1.7/8.4.1

9.2 States,withtheassistanceofrelevantinternationalorganizations,shallendeavortoensurethrougheducationandtrainingthatallthoseengagedinfishingoperationsbegiveninformationonthemostimportantprovisionsoftheFAOCCRF(1995),aswellasprovisionsofrelevantinternationalconventionsandapplicableenvironmentalandotherstandardsthatareessentialtoensureresponsiblefishingoperations.

FAOCCRF(1995)8.1.10

9.3Statesshall,asappropriate,maintainrecordsoffisherswhichshall,wheneverpossible,containinformationontheirserviceandqualifications,includingcertificatesofcompetency,inaccordancewiththeirnationallaws.

FAOCCRF(1995)8.1.8

E. Implementation,MonitoringandControl

10. Aneffectivelegalandadministrativeframeworkshallbeestablishedandcomplianceensuredthrougheffectivemechanismsformonitoring,surveillance,controlandenforcementforallfishingactivitieswithinthejurisdiction.

FAOCCRF(1995)7.1.7/7.7.3/7.6.2/8.1.1/8.1.4/8.2.1FAOECO(2009)29.5FAOEco(2011)36.6


24

10.1. Effectivemechanismsshallbeestablishedforfisheriesmonitoring,surveillance,controland enforcement measures including, where appropriate, observer programs,inspection schemes and vessel monitoring systems, to ensure compliance with theconservationandmanagementmeasuresforthefisheryinquestion.Thiscouldincluderelevanttraditional,fisherorcommunityapproaches,providedtheirperformancecouldbeobjectivelyverified.

FAOCCRF(1995)7.1.7Others7.7.3/8.1.1FAOEco(2009)29.5FAOEco(2011)36.6

10.2 Fishingvesselsshallnotbeallowedtooperateontheresourceinquestionwithout

specificauthorization.FAOCCRF(1995)7.6.2Other8.1.2,8.2.1

10.3 Statesinvolvedinthefisheryshall,inaccordancewithinternationallaw,withinthe

frameworkofsub-regionalorregionalfisheriesmanagementorganizationsorarrangements,cooperatetoestablishsystemsformonitoring,control,surveillanceandenforcementofapplicablemeasureswithrespecttofishingoperationsandrelatedactivitiesinwatersoutsidetheirnationaljurisdiction.

FAOCCRF(1995)8.1.4

10.3.1Stateswhicharemembersoforparticipantsinsub-regionalorregionalfisheriesmanagementorganizationsorarrangementsshallimplementinternationallyagreedmeasuresadoptedintheframeworkofsuchorganizationsorarrangementsandconsistentwithinternationallawtodetertheactivitiesofvesselsflyingtheflagofnon-membersornon-participantswhichengageinactivitieswhichunderminetheeffectivenessofconservationandmanagementmeasuresestablishedbysuchorganizationsorarrangements.Inthatrespect,PortStatesshallalsoproceed,asnecessary,toassistotherStatesinachievingtheobjectivesoftheFAOCCRF(1995),andshouldmakeknowntootherStatesdetailsofregulationsandmeasurestheyhaveestablishedforthispurposewithoutdiscriminationforanyvesselofanyotherState.

FAOCCRF(1995)7.7.5/8.3.1

10.4FlagStatesshallensurethatnofishingvesselsentitledtoflytheirflagfishonthehighseasorinwatersunderthejurisdictionofotherStatesunlesssuchvesselshavebeenissuedwithaCertificateofRegistryandhavebeenauthorizedtofishbythecompetentauthorities.SuchvesselsshallcarryonboardtheCertificateofRegistryandtheirauthorizationtofish.

FAOCCRF(1995)8.2.2

10.4.1 FishingvesselsauthorizedtofishonthehighseasorinwatersunderthejurisdictionofaStateotherthantheflagStateshallbemarkedinaccordancewithuniformandinternationallyrecognizablevesselmarkingsystemssuchastheFAOStandardSpecificationsandGuidelinesforMarkingandIdentificationofFishingVessels.

FAOCCRF(1995)8.2.3


25

11. Thereshallbeaframeworkforsanctionsforviolationsandillegalactivitiesofadequateseveritytosupportcomplianceanddiscourageviolations.

FAOCCRF(1995)7.7.2/8.2.7

11.1 Nationallawsofadequateseverityshallbeinplacethatprovideforeffectivesanctions.

11.2 Sanctions applicable in respect of violations and illegal activities shall be adequate inseverity to be effective in securing compliance and discouraging violations wherevertheyoccur.Sanctionsshallalsobe in force thataffectsauthorization to fishand/or toserve as masters or officers of a fishing vessel, in the event of non-compliance withconservationandmanagementmeasures.

FAOCCRF(1995)7.7.2/8.1.9/8.2.7

11.3 FlagStatesshalltakeenforcementmeasuresinrespectoffishingvesselsentitledtoflytheirflagwhichhavebeenfoundbythemtohavecontravenedapplicableconservationandmanagementmeasures,including,whereappropriate,makingthecontraventionofsuchmeasuresanoffenceundernationallegislation.

FAOCCRF(1995)8.2.7

F. SeriousImpactsoftheFisheryontheEcosystem12. Considerationsoffisheryinteractionsandeffectsontheecosystemshallbebasedonbest

availablescience,localknowledgewhereitcanbeobjectivelyverifiedandusingariskbasedmanagementapproachfordeterminingmostprobableadverseimpacts.Adverseimpactsofthefisheryontheecosystemshallbeappropriatelyassessedandeffectivelyaddressed.

FAOCCRF(1995)7.2.3/8.4.7/8.4.8/12.11FAOECO(2009)29.3/31FAOEco(2011)41-41.4

12.1 Statesshallassesstheimpactsofenvironmentalfactorsontargetstocksandspecies

belongingtothesameecosystemorassociatedwithordependentuponthetargetstocks,andassesstherelationshipamongthepopulationsintheecosystem.

FAOCCRF(1995)7.2.3

12.2 Adverseenvironmentalimpactsontheresourcesfromhumanactivitiesshallbeassessedand,whereappropriate,corrected.

FAOCCRF(1995)7.2.2


26

12.3 Themostprobableadverseimpactsofthefisheryontheecosystem/environmentshallbeconsidered,takingintoaccountavailablescientificinformation,andlocalknowledge.Intheabsenceofspecificinformationontheecosystemimpactsoffishingfortheunitofcertification,genericevidencebasedonsimilarfisherysituationscanbeusedforfisherieswithlowriskofsevereadverseimpact.However,thegreatertheriskthemorespecificevidenceshallbenecessarytoascertaintheadequacyofmitigationmeasures.

FAOEco(2009)30.4,31,31.4FAOEco(2011)41.4

12.4 Impactsthatarelikelytohaveseriousconsequencesshallbeaddressed.Thismaytake

theformofanimmediatemanagementresponseorafurtheranalysisoftheidentifiedrisk. Inthiscontext,fullrecognitionshouldbegiventothespecialcircumstancesandrequirementsindevelopingcountriesandcountriesintransition,includingfinancialandtechnicalassistance,technologytransfer,trainingandscientificcooperation.

FAOEco(2009)29.3,29.4,31FAOEco(2011)41

12.5 Appropriatemeasuresshallbeappliedtominimize:

• catch,wasteanddiscardsofnon-targetspecies(bothfishandnon-fishspecies).• impactsonassociated,dependentorendangeredspecies

FAOCCRF(1995)7.6.9FAOEco(2009)31.1

12.5.1 Thereshallbemanagementobjectivesthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.

FAOECO(2011)41

12.6Nontargetcatches,includingdiscards,ofstocksotherthanthe“stockunderconsideration”shallbemonitoredandshallnotthreatenthesenon-targetstockswithseriousriskofextinction,recruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible;ifsuchimpactsarise,effectiveremedialactionshallbetaken.

FAOEco(2009)31.1FAOEco(2011)41.1

12.7Theroleofthe“stockunderconsideration”inthefoodwebshallbeconsidered,andifitisakeypreyspeciesintheecosystem,managementobjectivesandmeasuresshallbeinplacetoavoidsevereadverseimpactsondependentpredators.

FAOEco(2009)31.2FAOEco(2011)41.2


27

12.8StatesshallintroduceandenforcelawsandregulationsbasedontheInternationalConventionforthePreventionofPollutionfromShips,1973,asmodifiedbytheProtocolof1978relatingthereto(MARPOL73/78).

FAOCCRF(1995)8.7.1

12.9Thereshallbeknowledgeoftheessentialhabitatsforthe“stockunderconsideration”andpotentialfisheryimpactsonthem.Impactsonessentialhabitatsandonhabitatsthatarehighlyvulnerabletodamagebythefishinggearinvolvedshallbeavoided,minimizedormitigated.Inassessingfisheryimpacts,thefullspatialrangeoftherelevanthabitatshallbeconsidered,notjustthatpartofthespatialrangethatispotentiallyaffectedbyfishing.

FAOEco(2009)31.3FAOEco(2011)41.3

12.10 Research shall be promoted on the environmental and social impacts of fishing gearand, in particular, on the impact of such gear on biodiversity and coastal fishingcommunities.

FAOCCRF(1995)8.4.8/7.6.4

12.11Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesfornon-targetstocks(i.e.avoidingoverfishingandotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible).

FAOECO(2011)41.1

12.12Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.

FAOECO(2011)41

12.13Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesforavoiding,minimizingormitigatingtheimpactsoftheunitofcertificationonessentialhabitatsforthe“stockunderconsideration”andonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertification.

FAOECO(2011)41.3

12.14Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektoavoidsevereadverseimpactsondependentpredatorsresultingfromtheunitofcertificationfishingonastockunderconsiderationthatisakeypreyspecies.

FAOECO(2011)41.2


28

12.15Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektominimizeadverseimpactsoftheunitofcertification,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.Anymodificationstothehabitatforenhancingthestockunderconsiderationmustbereversibleandnotcauseseriousorirreversibleharmtothenaturalecosystem’sstructure,processesandfunction.

FAOECO(2011)36.9,41

13. Wherefisheriesenhancementisutilized,environmentalassessmentandmonitoringshallconsidergeneticdiversityandecosystemintegrity.

FAOCCRF(1995)9.1.2/9.1.3/9.1.4/9.1.5/9.3.1/9.3.5FAOEco(2011)36.9,38,39,40,41,43

13.1 Stateshallpromoteresponsibledevelopmentandmanagementofaquaculture,

includinganadvancedevaluationoftheeffectsofaquaculturedevelopmentongeneticdiversityandecosystemintegrity,basedonthebestavailablescientificinformation(and/ortraditional,fisherorcommunityobjectiveandverifiableknowledge).Significantuncertaintyistobeexpectedinassessingpossibleadverseecosystemimpactsoffisheries,includingcultureandenhancementactivities.Thisissuecanbeaddressedbytakingariskassessment/riskmanagementapproach.

FAOCCRF(1995)9.1.2FAOEco(2011)41

13.1.1Inthecaseofenhancedfisheries,thefisherymanagementsystemshouldtakedue

regardofthenaturalproductionprocessesandbeappropriatefortheconservationofgeneticdiversity,biodiversity,protectionofendangeredspecies,maintenanceofintegrityofaquaticcommunitiesandecosystems,minimisingadverseimpactsonecosystemstructureandfunction.

FAOCCRF(1995)9.3.1FAOEco(2011)36.9,41

13.2 Stateshallproduceandregularlyupdateaquaculturedevelopmentstrategiesandplans,

asrequired,toensurethataquaculturedevelopmentisecologicallysustainableandtoallowtherationaluseofresourcessharedbyaquacultureandotheractivities.

FAOCCRF(1995)9.1.3

13.2.1Stateshallensurethatthelivelihoodsoflocalcommunities,andtheiraccesstofishinggrounds,arenotnegativelyaffectedbyaquaculturedevelopments.

FAOCCRF(1995)9.1.4


29

13.3 Effectiveproceduresspecifictoaquacultureoffisheriesenhancementshallbeestablishedtoundertakeappropriateenvironmentalassessmentandmonitoringwiththeaimofminimizingadverseecologicalchangessuchasthosecausedbyinputsfromenhancementactivitiesandrelatedeconomicandsocialconsequences.

FAOCCRF(1995)9.1.5/9.2.5

13.4Withdueregardtotheassessmentapproachemployed,stockassessmentoffisheriesthatareenhancedthroughaquacultureinputsshallconsidertheseparatecontributionsfromaquacultureandnaturalproduction.

FAOEco(2011)43

13.5Anymodificationtothehabitatforenhancingthestockunderconsiderationisreversibleanddonotcauseseriousorirreversibleharmtothenaturalecosystem’sstructureandfunction.

FAOEco(2011)41

13.5.1 Effortsshallbeundertakentominimizetheharmfuleffectsofintroducingnon-nativespeciesorgeneticallyalteredstocksusedforaquacultureincludingculturebasedfisheriesintowaters.

13.5.2 Stepsshallbetakentominimizeadversegeneticdiseaseandothereffectsofescapedfarmedfishonwildstocks.

FAOCCRF(1995)9.3.1

13.5.3 Researchshallbepromotedtodevelopculturetechniquesforendangeredspeciestoprotect,rehabilitateandenhancetheirstocks,takingintoaccountthecriticalneedtoconservegeneticdiversityofendangeredspecies.

FAOCCRF(1995)9.3.5

13.6Stateshallprotecttransboundaryaquaticecosystemsbysupportingresponsibleaquaculturepracticeswithintheirnationaljurisdictionandbycooperationinthepromotionofsustainableaquaculturepractices.

FAOCCRF(1995)9.2.1

13.7Stateshall,withduerespecttotheirneighbouringStatesandinaccordancewithinternationallaw,ensureresponsiblechoiceofspecies,sitingandmanagementofaquacultureactivitieswhichcouldaffecttransboundaryaquaticecosystems.

FAOCCRF(1995)9.2.2


30

13.8StateshallconsultwiththeirneighbouringStates,asappropriate,beforeintroducingnon-indigenousspeciesintotrans-boundaryaquaticecosystems.

FAOCCRF(1995)9.2.3

13.9Stateshallestablishappropriatemechanisms,suchasdatabasesandinformationnetworkstocollect,shareanddisseminatedatarelatedtotheiraquacultureactivitiestofacilitatecooperationonplanningforaquaculturedevelopmentatthenational,sub-regional,regionalandgloballevel.

FAOCCRF(1995)9.2.4

13.10Stateshallcooperateintheelaboration,adoptionandimplementationofinternationalcodesofpracticeandproceduresforintroductionsandtransfersofaquaticorganisms.

FAOCCRF(1995)9.3.2

13.11Statesshall,inordertominimizerisksofdiseasetransferandotheradverseeffectsonwildandculturedstocks,encourageadoptionandpromotetheuseofappropriatepractices/proceduresintheselectionandgeneticimprovementofbroodstocks,theintroductionofnon-nativespecies,andintheproduction,saleandtransportofeggs,larvae,fry,broodstockorotherlivematerials.Statesshallfacilitatethepreparationandimplementationofappropriatenationalcodesofpracticeandprocedurestothiseffect.

FAOCCRF(1995)9.3.3,9.3.4

13.12Enhancedfisheriesmaybesupportedinpartbystockingoforganismsproducedinaquaculturefacilitiesorremovedfromwildstocksotherthanthe“stockunderconsideration”.Aquacultureproductionforstockingpurposesshouldbemanagedanddevelopedaccordingtotheaboveprovisions,especiallyinrelationtomaintainingtheintegrityoftheenvironment,theconservationofgeneticdiversity,diseasecontrol,andqualityofstockingmaterial.

FAOEco(2011)36.8,40

13.13Regardingtheenhancedcomponentsofthe“stockunderconsideration”,providedthatanaturalreproductivestockcomponentismaintainedandfisheryproductionisbasedprimarilyonnaturalbiologicalproductionwithintheecosystemofwhichthe“stockunderconsideration”formsapart,enhancedfisheriesshallmeetthefollowingcriteria:

• the species shall be native to the fishery’s geographic area or introducedhistorically and have subsequently become established as part of the “natural”ecosystem;

• there shall be natural reproductive components of the “stock underconsideration”;

• thegrowthduring thepost-releasephaseshallbebaseduponfoodsupply fromthe natural environment and the production system shall operate withoutsupplementalfeeding.

FAOEco(2011)38


31

13.14Inthecaseofenhancedfisheries,“stockunderconsideration”maycomprisenaturallyreproductivecomponentsandcomponentsmaintainedbystocking.Inthecontextofavoidingsignificantnegativeimpactsofenhancementactivitiesonthenaturalreproductivecomponentsof“stockunderconsideration”:

• naturallyreproductivecomponentsofenhancedstocksshallnotbeoverfished;• naturallyreproductivecomponentsofenhancedstocksshallnotbesubstantially

displacedbystockedcomponents.Inparticular,displacementshallnotresultinareductionof thenatural reproductive stockcomponentbelowabundance-basedtargetreferencepoints(ortheirproxies)definedfortheregulationofharvest.

FAOEco(2011)39

References:FAO.CodeofConductforResponsibleFisheriesRome,FAO.1995.ISBN92-5-103834-1

FAO.GuidelinesfortheEcolabellingofFishandFisheryProductsfromMarineCaptureFisheries.Rome/Roma,FAO.2005(andextensions2009).

FAO.GuidelinesfortheEcolabellingofFishandFisheryproductsfromInlandCaptureFisheries.Rome/Roma,FAO.2011.

FAO.Caddy,J.F.AchecklistforfisheriesresourcemanagementissuesseenfromtheperspectiveoftheFAOCodeofConductforResponsibleFisheries.FAOFisheriesCircular.No.917.Rome,FAO.1996.22p.


32

Appendix1

BackgroundtothedevelopmentoftheFAOCodeofConductforResponsibleFisheries(CCRF)

TheInternationalConferenceonResponsibleFishing,heldin1992inCancún(Mexico)requestedtheFoodandAgricultureOrganizationoftheUnitedNations(FAO)toprepareaninternationalCodeofConductwhichwouldleadtoresponsible,sustainedfisheriesworldwide.TheoutcomeofthisConference,particularlytheDeclarationofCancún,wasanimportantcontributiontothe1992UnitedNationsConferenceonEnvironmentandDevelopment(UNCED),inparticularitsAgenda21.Subsequently,theUnitedNationsConferenceonStraddlingFishStocksandHighlyMigratoryFishStockswasconvened,towhichFAOprovidedimportanttechnicalback-up.InNovember1993,theAgreementtoPromoteCompliancewithInternationalConservationandManagementMeasuresbyFishingVesselsontheHighSeaswasadoptedattheTwenty-seventhSessionoftheFAOConference.Notingtheseandotherimportantdevelopmentsinworldfisheries,theFAOGoverningBodiesrecommendedtheformulationofaglobalCodeofConductforResponsibleFisherieswhichwouldbeconsistentwiththeseinstrumentsand,inanon-mandatorymanner,establishprinciplesandstandardsapplicabletoconservation,managementanddevelopmentofallfisheries.

TheCode,whichwasunanimouslyadoptedon31October1995bytheFAOConference,providesanecessaryframeworkfornationalandinternationaleffortstoensuresustainableexploitationofaquaticlivingresourcesinharmonywiththeenvironment.TheFAOCCRFisvoluntary.However,certainpartsofitarebasedonrelevantrulesofinternationallaw,includingthosereflectedintheUnitedNationsConventionontheLawoftheSeaof10December1982.TheFAOCCRFisglobalinscope,andisdirectedtowardmembersandnon-membersofFAO,fishingentities,subregional,regionalandglobalorganizations,whethergovernmentalornon-governmental,andallpersonsconcernedwiththeconservationoffisheryresourcesandmanagementanddevelopmentoffisheries,suchasfishers,thoseengagedinprocessingandmarketingoffishandfisheryproductsandotherusersoftheaquaticenvironmentinrelationtofisheries.TheFAOCCRFprovidesprinciplesandstandardsapplicabletotheconservation,managementanddevelopmentofallfisheries.Italsocoversthecapture,processingandtradeoffishandfisheryproducts,fishingoperations,aquaculture,fisheriesresearchandtheintegrationoffisheriesintocoastalareamanagement.Finally,thereferencetoStatesincludestheEuropeanCommunityinmatterswithinitscompetence,andtheterm“fisheries”appliesequallytocapturefisheriesandaquaculture.


33

BackgroundtotheFAOEcolabellingGuidelinesforFishandFisheryProductsfromMarineCaptureFisheries

InOctober1998,FAOconvenedaTechnicalConsultationontheFeasibilityofDevelopingNon-discriminatoryTechnicalGuidelinesforEcolabellingofProductsfromMarineCaptureFisheries.Thisconsultationidentifiedanumberofprinciplestobeobservedbyecolabellingschemes:

• beconsistentwiththeFAOCodeofConductforResponsibleFisheries;• bevoluntaryandmarket-driven;• betransparent;• benon-discriminatory,bynotcreatingobstaclestotradeandallowingforfair

competition;• establishclearaccountabilityforthepromotersofschemesandforthecertifying

bodies,inconformitywithinternationalstandards;• includeareliableauditingandverificationprocess;• recognizethesovereignrightsofstatesandcomplywithallrelevantlawsand

regulations;• ensureequivalenceofstandardsamongcountries;• bebasedonthebestscientificevidence;• bepractical,viableandverifiable;• ensurethatlabelscommunicatetruthfulinformationandprovideforclarity.

TheguidelinesdrawuponvarioussourcesincludingrelevantguidesoftheInternationalOrganizationforStandardization(ISO),theWTOAgreementonTechnicalBarrierstoTrade(TBT),inparticular,Annex3CodeofGoodPracticeforthePreparation,AdoptionandApplicationofStandards,andtheworkoftheInternationalSocialandEnvironmentalAccreditationandLabelling(ISEAL)Alliance.

AttherecommendationoftheSub-CommitteeFAOorganizedaTechnicalConsultationinOctober2004tofinalizethedraftguidelinesfortheirconsiderationbythe26thSessionofCOFIinMarch2005.

TheFAOGuidelinesfortheEcolabellingofFishandFisheryProductsfromMarineCaptureFisheries,asupdatedinrevision1of2009,areapplicabletoecolabellingschemesthataredesignedtocertifyandpromotelabelsforproductsfromwell-managedmarinecapturefisheriesandfocusonissuesrelatedtothesustainableuseoffisheriesresources.TheEcolabellingGuidelinessetsforththeminimumsubstantiverequirementsandcriteriaforassessingwhetherafisherycanbecertifiedandanecolabelawardedtoafishery.Ecolabellingschemesmayapplyadditionalormorestringentrequirementsandcriteriarelatedtosustainableuseoftheresources.TherequirementsandcriteriapresentedinEcolabellingGuidelinesaretobebasedonandinterpretedinaccordancewiththecurrentsuiteofagreedinternationalinstrumentsaddressingfisheries,inparticularthe1982UNConventionontheLawoftheSea,the1995UN


34

FishStocksAgreementandthe1995CodeofConductforResponsibleFisheries,aswellasrelateddocumentationincludingthe2001ReykjavikDeclarationonResponsibleFisheriesintheMarineEcosystem.

In2011,theFAOpublishedtheEcolabellingGuidelinesforInlandFisherieswhichrevisedthepreviousguidelinesin2009andprovidedfurthercriteriaforenhancedfisheries.

Appendix2

TableofrationalesforexclusionofFAOCCRFarticles/sub-articlesfromtheConformanceCriteria(allotherarticles/sub-articlesareotherwiseincluded).

Article/sub-articleoftheFAOCCRF Rationaleforexclusion

Preface/Introduction SetstheCodeincontextwithinthewiderfieldofworldwidefisheriesandfishproduction.NotformallyreferencedintheConformanceCriteria.

Article1:NatureandScopeoftheCode NatureandscopeoftheCodeisanintroductiontothedevelopmentandtheaimsoftheCode.AshortreferencetothisisprovidedaboveasAppendix1.NotincludedinConformanceCriteriaasitisonlyageneralintroductoryarticle.

Article2:ObjectivesoftheCode TheverygeneraloverarchingobjectivesoftheCode.NotformallyreferencedwithintheConformanceCriteriabutindirectlyaddressedbythetotalityoftheotherclausesincluded.

Article3:RelationshipwithOtherInternationalInstruments

ExplainstherelationshipoftheCodewithotherinternationalinstruments.NotincludedasthisisstillpartoftheintroductiontotheCodeandoutofscopefordirectassessmentofResponsibleFisheriesManagement.

Article4:Implementation,MonitoringandUpdating

Implementation,monitoringandupdatingoftheCodebymemberandnon-memberStates.NotincludedasthisisstillpartoftheintroductiontotheCodeandoutofscopefordirectassessmentofResponsibleFisheriesManagement.


35

Article5:SpecialRequirementofDevelopingCountries

Couldaddalayerofcomplexityindecidingwhetherthescoringsprovidedaretoberegardedassatisfyingornotsatisfyingthecriteriaforresponsiblefishing.Notconsideredatpresent,butpotentialtobeconsideredinthefutureifdevelopingcountriesfisherieswillbeassessedforResponsibleFisheriesManagement.

Article6:GeneralPrinciples TheverygeneralprinciplesbehindResponsibleFisheries.Notformallyreferenced,butelaboratedlaterintheentiretyoftheConformanceCriteria.

Article7.2:ManagementObjectives

7.2.1 NotformallyreferencedintextbutelaboratedfullywithinConformanceCriteriareferencingclause7.2.2oftheCCRF.

Article8.1:DutiesofallStates

8.1.5 HealthandSafetybased.Outofscope.

8.1.6 SearchandRescuebased.Outofscope.

Article8.2:FlagStateDuties

8.2.1 Thecontextofthisclauseiscurrentlyassessedwithinsection11oftheConformanceCriteria.

8.2.5 HealthandSafetybased.Outofscope.

8.2.8 Insurancecoveragerelated.Outofscope.


36

8.2.9 Repatriationrelated.Outofscope.

8.2.10 HealthandSafety/Accidentsrelated.Outofscope.

8.3PortStateDuties

8.3.2 VesselAssistancerelated.OutofScope.

8.4FishingOperations

8.4.1 LargelyHealthandsafetyrelated,therestoftheclause(relatedtolossoffishinggearandprotectionofthemarineenvironment)isreferencedwithintheconformancecriteria.

8.4.4 Qualityrelated.OutofScope.

8.6EnergyOptimization Energyrelated.Outofscope.

8.7Protectionoftheaquaticenvironment

8.7.2 IndividualVesselAuditrelated.OutofScope.



8.8Protectionoftheatmosphere Gasemissionstoatmosphererelated.Outofscope.

8.9Harboursandlandingplacesforfishingvessels

Largelyharbourdesignandservicesqualityrelated.Relevanttoachainofcustodycertification.Outofscope.


37

8.10 Abandonedfishinggearhasbeenconsideredwithinthecontextofotherclauses.NotFormallyreferencedwithintheConformanceCriteria.

8.11Artificialreefsandfishaggregationdevices

8.11.4 Safetyofnavigationrelated.Outofscope.

9.1Responsibledevelopmentofaquaculture,includingculturebasedfisheries,inareasundernationaljurisdiction

9.1.1 AlreadyaddressedindirectlythroughoutSection14oftheConformanceCriteria.

9.4Responsibleaquacultureattheproductionlevel

Fullcycleaquacultureatproductionlevel.Outofscope.

10.3RegionalCooperation

10.3.1 NotformallyreferencedwithintheConformanceCriteria,butfullyaddressedwithinSection1and2.

11Post-harvestpracticesandtrade Postharvestpracticesrelated.Outofscope.

12FisheriesResearch

12.8 HealthandSafetyrelated.Outofscopeforthisassessment.


38

Appendix3ConformanceCriteriaVersion1.2-changestoreducerepetitionwithinthevariousclausesandstreamlinetheoverallrequirementsofthedocument.

Changenumber Changedescription

1 Clause1.2,1.2.1,1.2.2fusedtogether.

2 Clause1.2.3fusedwithclause4.1.

3 Clause1.3fusedwithclause1.4.

4 Clause1.5modifiedwordingfrom“cooperationwithStates”to“internationalcooperationandcoordinationonfisherymatters”tobetterreflectclause7.3.4oftheCCRF,fromwhichitwasderived.

5 Clause2.1,2.1.1,2.1.2fusedtogether.

6 Clause2.2fusedwith2.4.1.

7 Clause2.3,2.3.1,2.11fusedtogether.

8 Clause2.6,2.6.1,2.8fusedtogether.

9 Clause2.10movedupinSection2.

10 Clause3.2.5,9.1fusedtogether.

11 Clause4.1,4.1.1fusedtogether.

12 Clause4.1.2and5.5.1fusedtogether.

13 Clause4.3,4.5fusedtogether.

14 Clause5.1and5.1.1havebeenswitchedinnumber.

15 Clause5.2and5.2.1havebeenfusedtogether.

16 Clause5.5.2fusedwithclause7.1.1.

17 Clause5.6movedtoSection8.

18 Clause5.7movedunderfundamentalclause8asmorerelevant.


39

19 Clause6.1deleted.Therequirementsof6.1arecompletelyspelledoutinclause6.1.1,6.1.2,6.1.3,6.1.4.

20 Clause6.1.5movedtoSection7asmorerelevanttoimplementationoftheprecautionaryapproach.

21 Clause7.2,7.2.1,7.2.2havebeenfusedtogetherandmodifiedaccordinglytofullyreflectclause7.5.4oftheCCRF.

22 Clause8.2,8.2.1fusedtogether.

23 Clause8.3and8.3.1fusedtogether.

24 Clause8.4and8.4.2fusedwithclause9.3.

25 Inclause8.4.1“discards”istakenoutasthisisrepeatedinclause9.3.

26 Headingoffundamentalclause9hasbeendeletedandcollapsedintofundamentalclause8(alsoreflectedonpage7).Nowtheheadingoffundamental8groupsallsupportingclausesoffundamentalclause8and9.Thiswasdonebecausefundamental9wasextremelysimilartofundamental8andbecauseitssupportingclausesweremorerelevanttofundamental8.


28 Clause9.5fusedtoclause9.3.

29 Clause9.9fusedwithclause9.9.1.

30 Clause9.9.2movedunderfundamentalclause2asmorerelevanttoCZM




34 Clause13.5.1movedunderfundamentalclause8.

35 Someclauseshavebeenrenumberedasaresultofthisrevisionprocess.


40

Appendix4UpdateoftheConformanceCriteriaVersion1.2toV1.3tofullyreflecttherequirementsofthe2011FAOGuidelinesfortheEcolabellingofFishandFisheryproductsfromInlandCaptureFisheries.

AddedtoClause1.1-Themanagementsystemandthefisheryoperateincompliancewiththerequirementsoflocal,nationalandinternationallawsandregulations,includingtherequirementsofanyregionalfisheriesmanagementagreement.

AddedtoClause1.2–(i.e.structureandcompositioncontributingtoresilience).

AddedtoClause3.1-(takingintoaccountuncertaintyandimprecision).

AddedtoClause3.2.4-Whererelevant,thereshallbepertinentobjectives,andasnecessary,managementmeasures.

AddedtoClause4.1-Datacanincluderelevanttraditional,fisherorcommunityknowledge,providedtheirvaliditycanobjectivelybeverified.

AddedtoClause4.1.1-(e.g.adoptionofscientificadvice)

Clause4.1.2added-Intheabsenceofspecificinformationonthe“stockunderconsideration”,genericevidencebasedonsimilarstockscanbeusedforfisherieswithlowrisktothat“stockunderconsideration”.However,thegreatertheriskofoverfishing,themorespecificevidenceisnecessarytoascertainthesustainabilityofintensivefisheries.

FAOEco(2009)30.4FAOECO(2011)37.4

Clause5.1.1added-Withtheuseoflesselaboratemethodsforstockassessmentfrequentlyusedfor

smallscaleorlowvaluecapturefisheriesresultingingreateruncertaintyaboutthestateofthestockunderconsideration,moreprecautionaryapproachestomanagingfisheriesonsuchresourcesshallberequired,includingwhereappropriate,lowerlevelofutilizationofresources.Arecordofgoodmanagementperformancemaybeconsideredassupportingevidenceoftheadequacyandthemanagementsystem.

FAOEco(2011)42

Clause6.2modifiedtoread-Statesshallestablishsafelimitreferencepoint(s)forexploitation(i.e.consistentwithavoidingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible).Whenalimitreferencepointisapproached,measuresshallbetakentoensurethatitwillnotbeexceeded.Forinstance,iffishingmortality(oritsproxy)isabovetheassociatedlimitreferencepoint,actionsshouldbetakentodecreasethefishingmortality(oritsproxy)belowthatlimitreferencepoint.


41

Clause6.3modifiedtoread-Dataandassessmentproceduresshallbeinstalledmeasuringthepositionofthefisheryinrelationtothereferencepoints.Accordingly,thestockunderconsiderationshallnotbeoverfished(i.e.abovelimitreferencepointorproxy)andtheleveloffishingpermittedshallbecommensuratewiththecurrentstateofthefisheryresources,maintainingitsfutureavailability,takingintoaccountthatlongtermchangesinproductivitycanoccurduetonaturalvariabilityand/orimpactsotherthanfishing.

Clause7.1added-Thisshouldtakedueaccountofstockenhancementprocedures,whereappropriate.Absenceofscientificinformationshallnotbeusedasareasonforpostponingorfailingtotakeconservationandmanagementmeasures.Relevantuncertaintiesshallbetakenintoaccountthroughasuitablemethodofriskassessment,includingthoseassociatedwiththeuseofintroducedortranslocatedspecies.

Clause7.1.2.deleted–“Accordingly,relativeconservationandmanagementmeasuresshallnotbepostponed”.Thisisnowincludedwithinclause7.1.

AddedtoClause8.1-fisherorcommunity.

Clause8.1.1added-Managementtargetsareconsistentwithachievingmaximumsustainableyield(MSY) (ora suitableproxy)onaverage,ora lesser fishingmortality if that isoptimal in thecircumstancesof the fishery (e.g.multispecies fisheries)or toavoidsevereadverse impactsondependantpredators.

FAOEco(2009)29.2FAOEco(2011)36.3

AddedtoClause10.1-Thiscouldincluderelevanttraditional,fisherorcommunityapproaches,providedtheirperformancecouldbeobjectivelyverified.

Clause12.4modifiedtoread-Impactsthatarelikelytohaveseriousconsequencesshallbeaddressed.Thismaytaketheformofanimmediatemanagementresponseorafurtheranalysisoftheidentifiedrisk. Inthiscontext,fullrecognitionshouldbegiventothespecialcircumstancesandrequirementsindevelopingcountriesandcountriesintransition,includingfinancialandtechnicalassistance,technologytransfer,trainingandscientificcooperation.

FAOEco(2009)29.3,29.4,31FAOEco(2011)41

Clause12.6modifiedtoread-Nontargetcatches,includingdiscards,ofstocksotherthanthe“stockunderconsideration”shallbemonitoredandshallnotthreatenthesenon-targetstockswithseriousriskofextinction,recruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible;ifsuchimpactsarise,effectiveremedialactionshallbetaken.

FAOEco(2009)31.1FAOEco(2011)41.1

Clause13.1modifiedtoread-Statesshallpromoteresponsibledevelopmentandmanagementof


42

aquaculture,includinganadvancedevaluationoftheeffectsofaquaculturedevelopmentongeneticdiversityandecosystemintegrity,basedonthebestavailablescientificinformation(and/ortraditional,fisherorcommunityobjectiveandverifiableknowledge).Significantscientificuncertaintyistobeexpectedinassessingpossibleadverseecosystemimpactsoffisheries,includingcultureandenhancementactivities.Thisissuecanbeaddressedbytakingariskassessment/riskmanagementapproach.

FAOCCRF(1995)9.1.2FAOEco(2011)41

Clause13.1.1modifiedtoread-Inthecaseofenhancedfisheries,thefisherymanagementsystem

shouldtakedueregardofthenaturalproductionprocessesandbeappropriatefortheconservationofgeneticdiversity,biodiversity,protectionofendangeredspecies,maintenanceofintegrityofaquaticcommunitiesandecosystems,minimisingadverseimpactsonecosystemstructureandfunction.

FAOCCRF(1995)9.3.1FAOEco(2011)36.9,41

Clause13.4added-Withdueregardtotheassessmentapproachemployed,stockassessmentof

fisheriesthatareenhancedthroughaquacultureinputsshallconsidertheseparatecontributionsfromaquacultureandnaturalproduction.

FAOEco(2011)43

Clause13.5added-Anymodificationtothehabitatforenhancingthestockunderconsiderationarereversibleanddonotcauseseriousorirreversibleharmtothenaturalecosystem’sstructureandfunction.

FAOEco(2011)41

Clause13.11and13.12fusedtoread-Statesshall,inordertominimizerisksofdiseasetransferandotheradverseeffectsonwildandculturedstocks,encourageadoptionandpromotetheuseofappropriatepractices/proceduresintheselectionandgeneticimprovementofbroodstocks,theintroductionofnon-nativespecies,andintheproduction,saleandtransportofeggs,larvae,fry,broodstockorotherlivematerials.Statesshallfacilitatethepreparationandimplementationofappropriatenationalcodesofpracticeandprocedurestothiseffect.

FAOCCRF(1995)9.3.3,9.3.4

Clause13.12added-Enhancedfisheriesmaybesupportedinpartbystockingoforganismsproducedinaquaculturefacilitiesorremovedfromwildstocksotherthanthe“stockunderconsideration”.Aquacultureproductionforstockingpurposesshouldbemanagedanddevelopedaccordingtotheaboveprovisions,especiallyinrelationtomaintainingtheintegrityoftheenvironment,theconservationofgeneticdiversity,diseasecontrol,andqualityofstockingmaterial.

FAOEco(2011)36.8,40

Clause13.13added-Regardingtheenhancedcomponentsofthe“stockunderconsideration”,


43

providedthatanaturalreproductivestockcomponentismaintainedandfisheryproductionisbasedprimarilyonnaturalbiologicalproductionwithintheecosystemofwhichthe“stockunderconsideration”formsapart,enhancedfisheriesshallmeetthefollowingcriteria:

• thespeciesshallbenativetothefishery’sgeographicareaorintroducedhistoricallyandhavesubsequentlybecomeestablishedaspartofthe“natural”ecosystem;

• thereshallbenaturalreproductivecomponentsofthe“stockunderconsideration”;• the growth during the post-release phase shall be based upon food supply from the

natural environment and the production system shall operatewithout supplementalfeeding.

FAOEco(2011)38

Clause13.14added-Inthecaseofenhancedfisheries,“stockunderconsideration”maycomprisenaturallyreproductivecomponentsandcomponentsmaintainedbystocking.Inthecontextofavoidingsignificantnegativeimpactsofenhancementactivitiesonthenaturalreproductivecomponentsof“stockunderconsideration”:

• naturallyreproductivecomponentsofenhancedstocksshallnotbeoverfished;• naturally reproductive components of enhanced stocks shall not be substantially

displaced by stocked components. In particular, displacement shall not result in areduction of the natural reproductive stock component below abundance-basedtargetreferencepoints(ortheirproxies)definedfortheregulationofharvest.

FAOEco(2011)39


44

Appendix5UpdatetheConformanceCriteriaVersion1.2toV1.3toincreasespecificityofrequirementsreferringtomanagementobjectivesandrelatedindicators.

ClausesAdded/modifiedClauseadded-3.2.5 Thereshallbemanagementobjectivesseekingtoavoid,minimizeormitigateimpactsoftheunitofcertificationonessentialhabitatsforthestockunderconsiderationandonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertification.

FAOECO(2011)41.3

Clauseadded–3.2.6 Thereshallbemanagementobjectivesthatseektominimizeadverseimpactsoftheunitofcertification,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.

FAOECO(2011)36.9Clauseadded-12.5.1Thereshallbemanagementobjectivesthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.

FAOECO(2011)41Clausemodified-12.7Theroleofthe“stockunderconsideration”inthefoodwebshallbeconsidered,andifitisakeypreyspeciesintheecosystem,managementobjectivesandmeasuresshallbeinplacetoavoidsevereadverseimpactsondependentpredators.

FAOECO(2011)41.2Clauseadded-12.11Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesfornon-targetstocks(i.e.avoidingoverfishingandotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible).

FAOECO(2011)41.1Clauseadded-12.12Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.

FAOECO(2011)41

Clauseadded-12.13Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesforavoiding,minimizingormitigatingtheimpactsoftheunitofcertificationonessentialhabitatsforthe“stockunderconsideration”andonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertification.

FAOECO(2011)41.3Clauseadded-12.14Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektoavoidsevereadverseimpactsondependentpredatorsresultingfromtheunitofcertificationfishingonastockunderconsiderationthatisakeypreyspecies.

FAOECO(2011)41.2


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Clauseadded-12.15Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektominimizeadverseimpactsoftheunitofcertification,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.Anymodificationstothehabitatforenhancingthestockunderconsiderationmustbereversibleandnotcauseseriousorirreversibleharmtothenaturalecosystem’sstructure,processesandfunction.

FAOECO(2011)36.9,41


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