alaska responsible fisheries management (rfm ......the alaska seafood marketing institute (asmi) is...

GuidancetoAlaskaRFMPerformanceEvaluation(DraftVersion1.3)/AlaskaRFMConformanceCriteriaVersion1.3

AlaskaResponsibleFisheriesManagement(RFM)CertificationProgramGuidancetoPerformanceEvaluationfortheCertificationofWildCaptureandEnhancedFisheriesinAlaskaDraftVersion1.3September2015

GuidancetoAlaskaRFMPerformanceEvaluation(DraftVersion1.3)/AlaskaRFMConformanceCriteriaVersion1.3

RoleoftheAlaskaSeafoodMarketingInstitute

The Alaska Seafood Marketing Institute (ASMI) is a public-private partnership between theStateofAlaskaandtheAlaskaseafoodindustryestablishedtofostereconomicdevelopmentoftheStatefisheries.ASMIisplayingakeyroleintherepositioningofAlaska’sseafoodindustryasacompetitivemarket-drivenfoodproduction industry. ItsworktoboostthevalueofAlaska’sseafoodproductportfolioisaccomplishedthroughpartnershipswithretailgrocers,foodservicedistributors, restaurant chains, foodservice operators, universities, culinary schools, and themedia. Itconductsconsumercampaigns,public relationsandadvertisingactivities,andalignswithindustryeffortsformaximumeffectiveness.ASMIalsofunctionsasabrandmanageroftheAlaskaSeafoodfamilyofbrands.

PurposeofthisPublication

ThispublicationdescribestheguidanceforassessmentusedintheevaluationofapplicantfisheriestotheAlaskaResponsibleFisheriesManagement(RFM)CertificationProgram.IncludedarethespecificperformancelevelsforeachclausegivenintheConformanceCriteriaoftheAlaskaRFMProgramthatmustbemettodemonstratecertificationstatus.Successfulapplicantswillbeawardedtheclaimofaresponsiblymanagedfisheryforsustainableuse.

Incombinationwiththenormativedocumentsoftheaccreditedcertificationprogram,thispublicationwillprovide1)recommendationsforassessorsoperatingonbehalfofqualifiedcertificationbodiesregardingconsistentapplicationofperformanceevaluationoffisheriesagainsttheAlaskaRFMConformanceCriteria,2)understandingofhowlevelsofconformanceforagivenfisheryarederived,3)guidancetoassessorsforevaluatingfisheryapplicants,and4)guidancetofisheryapplicantsregardingcertificationrequirements.

GuidancetoAlaskaRFMPerformanceEvaluation(Version1.3)/AlaskaRFMConformanceCriteriaVersion1.3

1 Contents

ListofTables2I. GuidancetoPerformanceEvaluation3a) ConformanceCriteria,ConfidenceRatings,andPerformanceEvaluationOutcomes5b) PerformanceEvaluationParameters6II. GuidancetoPerformanceEvaluationforAlaskaRFMConformanceCriteria8a) TheFisheriesManagementSystem8b) ScienceandStockAssessmentActivities40c) ThePrecautionaryApproach62d) ManagementMeasures72e) Implementation,MonitoringandControl92f) SeriousImpactsontheFisheryontheEcosystem101


2 ListofTables

Table1.Definitionsofperformanceevaluationoutcomes 4

Table2.Fisheryfailsthresholdsperconformancecriteriacategory 5


3 I.GuidancetoPerformanceEvaluation

ConformanceCriteria,ConfidenceRatings,andPerformanceEvaluationOutcomesIntheAlaskaResponsibleFisheriesManagement(RFM)assessmentprocess,clausesoftheconformancecriteriaarescoredusingconfidenceratings.Ahighconfidenceratingsignifiesfullconformancetoaclause.Amediumconfidenceratingresultsfromeithergapsininformationtodemonstrateconformancetoaclause,whichmaybeclarifiedduringthecertificationprocess,orfromlimitedevidenceofconformancetoaclause.Alowconfidenceratingsignifiesabsenceofevidence.Anon-conformance(NC)isassignedwhenevidenceorinformationacquiredisinsufficienttomeettheintentoftheclause(Table1).Detailedexplanationsareprovidedbelow.

FullConformance–HighConfidenceRating

Sufficientinformation/evidenceisavailabletodemonstratefullconformancetoaclause.Inthesecasesahighconfidenceratingisassigned.SufficientevidenceisthatwhichallowsobjectivedeterminationbytheAssessmentTeamthatafisheryfullycomplieswithagivenclauseintheAlaskaRFMConformanceCriteria.

MinorNon-Conformance–MediumConfidenceRating

Information/evidenceisbroadlyavailabletodemonstrateconformancetoaclausealthoughtherearelimitedgapsininformationthat,ifavailable,couldclarifyaspectsofconformanceandallowtheAssessmentTeamtoassignahighconfidencerating.Inthesecases,aminorimprovementisneededtoachievefullconformance.Foramediumconfidencerating,aminornon-conformanceisassigned.TheAssessmentTeamwillrequestfurtherclarificationofinformationwiththeApplicantandmanagementorganizationsandthismayresultintheassignmentoffullconformancetoaclause.

MajorNon-Conformance–MediumConfidenceRating

Information/evidenceislimitedtodemonstrateconformancetoaclause.Inthesecases,amajorimprovementisneededtoachievefullconformance.Foramediumconfidencerating,amajornon-conformanceisassigned.TheAssessmentTeamwillrequestfurtherclarificationofinformationwiththeApplicantandmanagementorganizationstoconfirmthenon-conformance.Wherefurther,substantiveevidenceismadeavailable,assignmentofeitherminornon-conformanceorfullconformancetoaclausemayoccur.

CriticalNon-Conformance–LowConfidenceRating

Information/evidenceiscompletelyabsentorcontradictivetodemonstrateconformancetoaclause.Absenceofinformation/evidenceresultsinalowconfidencerating.Inthesecases,acriticalnon-conformanceisassigned.Acriticalnon-conformancewillstopthecertificationassessment,unlesstheApplicantisabletoprovideinformation/evidencethatdemonstrateshigherconformanceofthefisherythanthatinitiallyassessed.

Table1.Definitionsofperformanceevaluationoutcomes


4 Definition

FullConformance Whenfullconformancetotherequirementsofaclauseisdemonstrated.

MinorNon-Conformance

Whenaminorgapininformation/evidencerequiredthatdemonstratesfullconformancetoaclauseisdetermined.

MajorNon-Conformance

Whenamajorgapininformation/evidencerequiredthatdemonstratesfullconformancetoaclauseisdetermined.

CriticalNon-Conformance

Whenacompleteabsenceofinformation/evidencerequiredthatdemonstratefullconformancetoaclauseisdetermined.

Table2presentsthenon-conformancelimitsbeforeafisheryfailsassessment.Acriticalnon-conformanceresultsinthefisheryfailingtheassessment.


5 Table2.Fisheryfailsthresholdsperconformancecriteriacategory.

Categoryofconformancecriteria

No.ofclauses

Maximumno.ofnon-conformances(NC)allowedpercategory

CriticalNC MajorNC MinorNC

A)FisheryManagementSystem

30

NoCriticalNCareallowed;

1CriticalNC=Fail.

1MajorNCallowedperCategory(A-F).

3MinorNCsallowedperCategory(A-F).

B)ScienceandStockAssessmentActivities

20

C)ThePrecautionaryApproach

9

D)ManagementMeasures

20

E)Implementation,MonitoringandControl

9

F)SeriousImpactsoftheFisheryontheEcosystem

35

SUMCategoriesA-F(seeabove)

123

NoCriticalNCareallowed;

1CriticalNC=Fail.

Upto6MajorNCs(providednomorethan1MajorNCinanyonecategory)

SeeTable3.

Upto18MinorNCs(providednoMajorNCinthesamecategoryandnomorethan3MinorNCsinanyonecategory)

SeeTable3.

PerformanceEvaluationParametersIntheassessmentprocess,eachsupportingclauseisassociatedwithscoringguidancetoensurecontinuityandconsistencyacrossfisheriesandAssessmentTeams.ScoringisbasedonasystematicapproachtotheassessmentofthefisheryagainsteachclauseusingaseriesofEvaluationParameters(EPs):Process,CurrentStatusandEffectiveness,andEvidenceBasis.


6 Theseareconsideredofequalimportanceandarescoredusingthecategoriespreviously

discussed(highconfidencerating=fullconformance;mediumconfidencerating=minorormajornon-conformance;lowconfidencerating=criticalnon-conformance).TheseEPsbreakdownaclauseusingtheperformancerelatedparametersbelow.

Process

ThisEPrequiresthatevidenceisprovidedontheprocessorsystemusedbyafisherymanagementorganizationtoimplementormaintainkeyaspectsoffisherymanagementpractices.Examplesmayincludesystemsfordatacollection,lawsandregulations,stockassessment,andenforcement.Ifevidenceonthecurrentprocess/systemofagivenprocess-basedrequirementisscarceornonexistent,thenthisEPisnotsatisfiedresultinginnon-conformance.

CurrentStatus/Appropriateness/Effectiveness

ThisEPrequiresthatthecurrentstatus,appropriatenessandeffectivenessofanaspectoffisheriesmanagementpracticesaredemonstrated.Examplesincludedatacollected,resultsofstockassessmentincludingstockstatus,andenforcementdata.Ifevidenceonthecurrentstatus/effectivenessofagivenoutput-basedrequirementisscarceornonexistent,thenthisEPisnotsatisfiedresultinginnon-conformance.

EvidenceBasis

ThisEPrequiresthattheavailability/quality/adequacyoftheevidencethatisthebaseforscoringagivenclauseisassessed.Ifevidenceavailability(e.g.,studies,reports,otherdata,andregulations)isscarce,lowqualityornon-existent,thenthisEPisnotsatisfiedresultinginnon-conformance.

TheAssessmentTeamfollowstheseguidelineswhenscoringaclause:

• If all EPs are satisfied, the clause is scored with a High Confidence Rating (FullConformance).

• If one EP (i.e. any) is not satisfied, the clause is scored with aMedium ConfidenceRating(MinorNon-Conformance).

• IftwoEPs(i.e.any)arenotsatisfied,theclause isscoredwithaMediumConfidenceRating(MajorNon-Conformance).

• IfmorethantwoEPs(any)arenotsatisfied,theclauseisscoredwithaLowConfidenceRating(CriticalNon-Conformance).

Notethatforsomeconformancecriteria,notallEPsareapplicable.ThisisbecausenotallConformanceCriteriaclausesrequirethepresenceofaprocess(e.g.,aformalprocedure),andnotallclausesrequireanevaluationofthecurrentstatus,theappropriatenessandtheeffectivenessofthesubjectmatter.Thebalancedependsontheconstructionandtypeofsupportingclauseanditsrequirements.Forinstance,Currentstatus/Appropriateness/Effectivenesscanbeusedincombinationorindividually,dependingon


7 therelevancetotheclause.Finally,allclausesrequiretheevaluationofthequalityand

adequacyoftheEvidenceBasisandthisEPisconsistentthroughoutallclauses.WhenoneEPisnotrequired,guidanceisstructuredsothatthebalanceofrequirementsofotherEPsisalwaysthreeormore.Inthisway,abalanceofrequirementsforeachclauseisprovidedforthescoringprocess.

TheRFMstandardandrelatedguidanceisapplicabletogovernanceandmanagementsystemsforsmallscaleand/ordatalimitedfisheries,whereappropriate,providedtheirperformancecanbe objectively verified, with due consideration to the availability of data and the fact thatmanagementsystemscandiffersubstantiallyfordifferenttypesandscalesoffisheries.

ConformanceCriteria

A. TheFisheriesManagementSystem

1.ThereshallbeastructuredandlegallymandatedmanagementsystembaseduponandrespectingInternational,Nationalandlocalfisherylaws,fortheresponsibleutilizationofthestockunderconsiderationandconservationofthemarineenvironment.

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


8 FAOEco(2009)28

FAOEco(2011)35,37.3

1.1 Thereshallbeaneffectivelegalandadministrativeframeworkestablishedatlocalandnationallevelappropriateforfisheryresourceconservationandmanagement.Themanagementsystemandthefisheryoperateincompliancewiththerequirementsoflocal,nationalandinternationallawsandregulations,includingtherequirementsofanyregionalfisheriesmanagementagreement.

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

LowConfidenceRating(CriticalNC)

MediumConfidenceRating(MajorNC)

MediumConfidenceRating(MinorNC)

HighConfidenceRating(FullConformance)

Thelegalandadministrativeframeworkisnoteffective,established,andappropriateforfisheryresourceconservationandmanagement.Inaddition,themanagementsystemandthefisherydonotoperateincompliancewithrelevantfisherymanagementrequirements.

Lackinginallparameters.

Thelegalandadministrativeframeworkisinsufficientlyeffective,established,andappropriateforfisheryresourceconservationandmanagement.Inaddition,themanagementsystemandthefisheryoperateinsufficientlyincompliancewithrelevantfisherymanagementrequirements.

Lackingintwoparameters.

Thelegalandadministrativeframeworkismoderatelyeffective,established,andappropriateforfisheryresourceconservationandmanagement.Inaddition,themanagementsystemandthefisheryoperateonlymoderatelyincompliancewithrelevantfisherymanagementrequirements.

Lackinginoneparameter.

Effectivelegalandadministrativeframeworkestablishedatthelocalandnationallevelisappropriateforfisheryresourceconservationandmanagement.Inaddition,themanagementsystemandthefisheryoperateincompliancewiththerequirementsoflocal,nationalandinternationallawsandregulations,includingtherequirementsofanyregionalfisheriesmanagementagreement.

Fulfilsallparameters.

EvaluationParameters

Process:Managementagenciesarephysicallyandlegallyestablishedatlocalandnationallevel.

Currentstatus:Theoutputofthemanagementorganization(s)isinlinewithfisheryresourcemanagementneeds.Examplesmayincluderulemaking,scientificresearch,stockandecosystemassessments,implementationofrulesandregulations,andenforcementactivities.

Appropriateness/Effectiveness:Themanagementframeworkisappropriateformanagingtheresource.Forexample,thelargertheexploitation,vulnerability,orrisksofafishstock,themoreworkandprecisionshallbefocusedinmanagingtheresource.Thisshallbedoneincompliancewithlegislativeandregulatoryrequirementsatthelocal,nationalandinternationallevel,includingtherequirementsofanyregionalfisheriesmanagementagreement.Themanagementsystemshallnotbesubjecttocontinualunresolvedorrepeateddisputesorpoliticalinstability.

EvidenceBasis:Evaluateavailability,quality,andadequacyoftheevidence.Examplesmayincludefishery


9 managementplansorotherrelevantinformation.


10 1.2Managementmeasuresshallconsider1)thewholestockbiologicalunit(i.e.structureand

compositioncontributingtoitsresilience)overitsentireareaofdistribution,2)theareathroughwhichthespeciesmigratesduringitslifecycleand3)otherbiologicalcharacteristicsofthestock.

FAOECO(2009)30.3FAOECO(2011)37.3

LowConfidenceRating

(CriticalNC)MediumConfidenceRating

(MajorNC)MediumConfidenceRating(MinorNC)


Managementmeasuresdonotconsider1)thewholestockbiologicalunit(i.e.structureandcompositioncontributingtoitsresilience)overitsentireareaofdistribution,2)theareathroughwhichthespeciesmigratesduringitslifecycleand3)otherbiologicalcharacteristicsofthestock.


Managementmeasuresinsufficientlyconsider1)thewholestockbiologicalunit(i.e.structureandcompositioncontributingtoitsresilience)overitsentireareaofdistribution,2)theareathroughwhichthespeciesmigratesduringitslifecycleand3)otherbiologicalcharacteristicsofthestock.


Managementmeasuresmoderatelyconsider1)thewholestockbiologicalunit(i.e.structureandcompositioncontributingtoitsresilience)overitsentireareaofdistribution,2)theareathroughwhichthespeciesmigratesduringitslifecycleand3)otherbiologicalcharacteristicsofthestock.


Managementmeasuresconsider1)thewholestockbiologicalunit(i.e.structureandcompositioncontributingtoitsresilience)overitsentireareaofdistribution,2)theareathroughwhichthespeciesmigratesduringitslifecycleand3)otherbiologicalcharacteristicsofthestock.



Noteonconsiderationofbiologicalunityandotherbiologicalcharacteristics.Biologicalunityandbiologicalcharacteristicsshallbeinterpretedasrelatingtothestabilityorresilienceofthestock–i.e.itsabilitytorecoverfromorresistashockordisturbance,suchastheimpactofafishery.Themanagementsystemmustconsidertherelativeabilityofthestocktorecoverfromorresistpotentialnegativeimpacts.Characteristicsconsideredshallincludegrowth,fecundity,reproduction,lifespan,spawningcycle,populationdynamics,impactofgeartype,andessentialhabitat(s)needsandavailability.Wherelifecycleandotherbiologicalcharacteristicsareunknown,themanagementsystemshallensuretheseuncertaintiesarefactoredintoassessmentandmanagingpractices,aspertheprecautionaryapproach

CurrentStatus/Appropriateness:Ifabiologicalstockunitextendsoverthejurisdictionoftwoormorecountriestoanyextent(eitherbydistributionormigration),thenexploitationbyallpartiesshallbeconsideredwhendefiningexploitationlevelsanddeterminingstockhealthtoavoidoverfishing/depletionoftheresource.Thescoringofthisparametershallconsiderthatsignificantmigrationmaytakeaspeciesoutsidethejurisdictionofthemanagingagency(e.g.forsignificantfeedingorontogenicmigration).

Effectiveness:Managersshouldconductanassessmentofstockstructureandcompositionastheserelatetostockresilienceoveritsentiredistributionarea.Theunderlyingobjectiveistopreservegeneticvariabilitybetweenandwithinspecies,andavoidlocalizeddepletions(overallaffectingthestockcontributingtoitsresilienceandstability).Thisassessmentshallconsider,whenappropriate,demographicindependenceofpopulationsorstocks(i.e.,ifacomponentstockofaspeciesisdemographicallyindependentfromanotherbecauseitisgeneticallydifferent,hassignificantdifferenceinage-structure,orifthereisinsignificantexchangeamonggroupsduetodistance,environmentalbarriers,orotherreasons).

Effectiveness:Thespeciesmayspendaportionofitslife(migrationforfeeding,growthorreproduction)inbothfreshand


11 saltwater,ininternationalwatersorinanothercountry’sjurisdiction,andmaysuffermortalityorotherpressures.These

mustbeaccountedforwhenassessingstockhealth.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludethepresenceofgeneticstudies,age-structuredata,stockassessmentsorotherrelevantinformationconfirmingthebiologicalunitofthestock.

1.2.1 Previouslyagreedmanagementmeasuresestablishedandappliedinthesameregionshallbetakenintoaccountbymanagement.

FAOCCRF(1995)7.3.1





Previouslyagreedmanagementmeasuresestablishedandappliedinthesameregionarenotconsidered.


Previouslyagreedmanagementmeasuresestablishedandappliedinthesameregionareinsufficientlyconsidered.


Previouslyagreedmanagementmeasuresestablishedandappliedinthesameregionaremoderatelyconsidered.


Previouslyagreedmanagementmeasuresestablishedandappliedinthesameregionaretakenintoaccountbymanagement.



Note:Takenintoaccountmeans“includedandaccountedinthebasisofmanagementdecisions”.“Previouslyagreedmeasures”includeslocalornationallawsorregulations,andalsoanymanagementmeasuresputintoplacebyRFMOs.Previousdecisionscanbereneged,alteredandupdatedormaintainedintactbutmustbeincludedinthedecisionmakingprocess.Ifpreviouslyagreedmeasuresarereneged,alteredorupdated,thereshallbeascientificbasisforthechanges.Nottakenintoaccountmayrefertomanagementmeasuresthatareignoredalthoughmaybestilllegallybindinginthefishery.

Process:Thereisaprocessorsystemthatallowsthecontinuityandupdatingofpreviouslyagreedandimplementedmanagementmeasures.Examplesmayincludeaspecificreviewprocessormanagementplanwherethesemeasurescanbeclearlyidentifiedandcontinuedimplementationandupdatingcanbecarriedout.

CurrentStatus/Appropriateness/Effectiveness:Previouslyagreed-uponmanagementmeasuresestablishedandappliedinthesameregionareincludedandpartofcurrentmanagementdecisions.Examplesmayincludeinternationalorotheragreementsnothonoredbythemanagementsystemoramanagementagency.Themanagementsystemiseffectivelycontinuingimplementationofagreedmanagementmeasures.

EvidenceBasis:Documentaryevidenceisavailablesupportingtheabove.

1.3 Where transboundary, straddling or highlymigratory fish stocks and high seas fish stocks areexploited by two or more States, the applicant management organizations concerned shallcooperateandtakepartinformalfisherycommissionorarrangementsthathavebeenappointedtoensureeffectiveconservationandmanagementofthestock(s)inquestion.


12 LowConfidencerating


(MajorNC0MediumConfidenceRating

(MinorNC)HighConfidenceRating(FullConformance)

Thereisnocooperationinformalfisherycommissionorarrangementsthathavebeenappointedtoensureeffectiveconservationandmanagementofthestock(s)inquestion.


Thereisinsufficientcooperationinformalfisherycommissionorarrangementsthathavebeenappointedtoensureeffectiveconservationandmanagementofthestock(s)inquestion.


Thereismoderatecooperationinformalfisherycommissionorarrangementsthathavebeenappointedtoensureeffectiveconservationandmanagementofthestock(s)inquestion.


Wheretransboundary,straddlingorhighlymigratoryfishstocksandhighseasfishstocksareexploitedbytwoormoreStates,theapplicantmanagementorganizationsconcernedcooperateandtakepartinformalfisherycommissionorarrangementsthathavebeenappointedtoensureeffectiveconservationandmanagementofthestock(s)inquestion.



Note:Thisclausequalifiesonlyifstockiseithertransboundary,straddling,highlymigratory,orhighseas.Ifnot,thisclauseisNOTAPPLICABLE.Thisclauseisjustifiedbytheevidenceprovidedinclause1.2.Wheresub-stocksarereferredtoaspartofanoverallstockthereshallbesufficientinformationonbiology,distribution,andlifecyclethatdemonstratesthedegreeofassociationordisassociation,andbasisforthemanagementapproachtaken,topreventrecruitmentfailureofthestockorothernegativeimpactsthatarelikelytobeirreversibleorveryslowlyreversible.

Process:Thereisamechanisminplacebywhichtheapplicantorganization(s)cooperatesforthemanagementofthetransboundarystock.Thismechanismhasthesustainableinternationalexploitationofthestockasitsmainobjective.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencethatthemechanismdescribedintheprocessparameteriseffectiveatensuringthestockissustainablyexploited.Thiscantaketheformofevidencethatthestockisnotoverfishedorsubjecttooverfishingacrosstheentiretyoftherangeofthebiologicalstock.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludeproofofformalagreements,recordsofmeetingsanddecisions.

1.3.1 Conservationandmanagementmeasuresestablishedforsuchstockwithinthe jurisdictionof therelevantStates forshared,straddling,highseasandhighlymigratorystocks, shallbecompatible.Compatibilityshallbeachievedinamannerconsistentwiththerights,competencesandinterestsoftheStatesconcerned.

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






13 Thereisnocompatibilityof

managementmeasuresforthestockinquestion.


Thereisinsufficientcompatibilityofmanagementmeasuresforthestockinquestion.


Thereismoderatecompatibilityofmanagementmeasuresforthestockinquestion.


ConservationandmanagementmeasuresestablishedforsuchstockwithinthejurisdictionoftherelevantStatesforshared,straddling,highseasandhighlymigratorystocks,arecompatible.Compatibilityisachievedinamannerconsistentwiththerights,competencesandinterestsoftheStatesconcerned.



Notethisclausequalifiesonlyifstockiseithertransboundary,straddling,highlymigratory,orhighseas.Ifnot,thisclauseisNOTAPPLICABLE.Thisclauseisjustifiedbytheevidenceprovidedinclause1.2.Compatibilityofmanagementmeasuresdoesnotmeanidenticalmanagementmeasuresbuttheapproachshallbeconsistentwithrespecttotheoverallmanagementandconservationgoalsofthesharedorstraddlingstock.

Process:Identificationofcommonobjectivesformaintenanceofstockbiomass.

CurrentStatus/Appropriateness/Effectiveness:Implementationofmeasuresfittoachievethecommonobjectivesmentionedabove(i.e.,similarharvestratesbasedonstockstatus,commonrebuildingobjectivesfordepletedstocks).

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludeproofofformalagreements,recordsofmeetingsanddecisions,stockassessmentandotherreports.

1.4AStatenotmember/participantofasub-regionalorregionalfisheriesmanagementorganizationshallcooperate, in accordancewith relevant international agreements and law, in the conservation andmanagementoftherelevantfisheriesresourcesbygivingeffecttoanyrelevantmeasuresadoptedbysuchorganization/arrangement.

FAOCCRF7.1.5




HighConfidenceRating

(FullConformance)

Thenon-memberor Thenon-memberor Thenon-memberor TheStatenon-memberor


14 participantStateisnot

givingeffecttoanyrelevantmeasuresadoptedbysuchorganizationorarrangement.


participantStateisinsufficientlygivingeffecttoanyrelevantmeasuresadoptedbysuchorganizationorarrangement.


participantStateismoderatelygivingeffecttoanyrelevantmeasuresadoptedbysuchorganizationorarrangement.


participantofasub-regionalorregionalfisheriesmanagementorganizationcooperates,inaccordancewithrelevantinternationalagreementsandlaw,intheconservationandmanagementoftherelevantfisheriesresourcesbygivingeffecttoanyrelevantmeasuresadoptedbysuchorganizationorarrangement.



Notethisclausequalifiesonlyifstockiseithertransboundary,straddling,highlymigratory,orhighseas.Ifnot,thisclauseisNOTAPPLICABLE.Thisclauseisjustifiedbytheevidenceprovidedinclause1.2.

Process:Thereisongoingcooperationinstockassessment,datasharing,andotheractivities.

CurrentStatus/Appropriateness/Effectiveness:Relevantmeasuresareimplementedbynon-membercountry.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludereportsdetailingresultsofcommonsurveysoracceptableharvestrates.

1.4.1 States seeking to take any action through a non-fishery organization which may affect theconservationandmanagementmeasurestakenbyacompetentsub-regionalorregionalfisheriesmanagementorganizationorarrangementshallconsultwiththelatter,inadvancetotheextentpracticable,andtakeitsviewsintoaccount.

FAOCCRF7.3.5





(FullConformance)

Thereisnopriorconsultationwiththefisheriesmanagementorganization/arrangement.

Thereisinsufficientpriorconsultationwiththefisheriesmanagementorganization/arrangement.

Thereismoderatepriorconsultationwiththefisheriesmanagementorganization/arrangement.

TheStateseekingtotakeanyactionthroughanon-fisheryorganizationwhichmayaffecttheconservationandmanagementmeasurestaken


15




byacompetentsub-regionalorregionalfisheriesmanagementorganizationorarrangementconsultswiththelatter,inadvancetotheextentpracticable,andtakeitsviewsintoaccount.




Process:Thereisahistoryofpriorconsultation.

CurrentStatus/Appropriateness/Effectiveness:Theviewsofthemanagingfisheryorganizationaretakenintoaccount.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludereportsdetailingactiontakenbythestateinquestion.

1.5 The Applicant fishery’s management system shall actively foster cooperation between Stateswith regard to 1) information gathering and exchange, 2) fisheries research, 3) fisheriesmanagement,and4)fisheriesdevelopment.

FAOCCRF7.3.4





(FullConformance)

TheApplicantfishery’smanagementsystemdoesnotactivelyfostercooperationbetweenstates.

TheApplicantfishery’smanagementsystemfostersinsufficientcooperationbetweenstateswithregardtoinformationgatheringandexchange,fisheriesresearch,fisheriesmanagement,andfisheriesdevelopment.

TheApplicantfishery’smanagementsystemfostersmoderatecooperationbetweenstateswithregardtoinformationgatheringandexchange,fisheriesresearch,fisheriesmanagement,andfisheriesdevelopment.

TheApplicantfishery’smanagementsystemfostersactiveinternationalcooperationonfisherymatterswithregardtoinformationgatheringandexchange,fisheriesresearch,fisheriesmanagement,andfisheriesdevelopment.


16







Process:Theextenttowhichaformalprocessorsystemisavailable.

CurrentStatus/Appropriateness/Effectiveness:Levelofactivity,applicationandlevelofengagement.

EvidenceBasis:Outputsfromactivity(e.g.,reports,minutes,commonorcollectivethemes).

1.6 States and sub-regional or regional fisheriesmanagement organizations and arrangements, asappropriate, shall agree on the means by which the activities of such organizations andarrangementswillbefinanced,bearinginmind,interalia,therelativebenefitsderivedfromthefishery and the differing capacities of countries to provide financial and other contributions.Where appropriate, and when possible, such organizations and arrangements shall aim torecoverthecostsoffisheriesconservation,managementandresearch.

FAOCCRF7.7.4





(FullConformance)

TheStateandsub-regionalorregionalfisheriesmanagementorganizationsandarrangements,asappropriatedonotagreeonthemeansbywhichtheactivitiesofsuchorganizationsandarrangementsarefinanced.

TheStateandsub-regionalorregionalfisheriesmanagementorganizationsandarrangements,asappropriate,insufficientlyagreeonthemeansbywhichtheactivitiesofsuchorganizationsandarrangementsarefinanced.

TheStateandsub-regionalorregionalfisheriesmanagementorganizationsandarrangements,asappropriate,moderatelyagreeonthemeansbywhichtheactivitiesofsuchorganizationsandarrangementsarefinanced.

Agreementonthemeansbywhichtheactivitiesofsuchorganizationsandarrangementsarefinanced.Whereappropriate,andwhenpossible,suchorganizationsandarrangementsaimtorecoverthecostsoffisheriesconservation,managementand


17




research.



Process:Thereisanagreed-uponsystemtofinancethefisherymanagementorganizationsandarrangements.

CurrentStatus/Appropriateness/Effectiveness:Thefisherymanagementorganizationsandarrangementsarecurrentlyfinancedusingacostrecoveryorothersystem.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludedatashowingtheexpenditureandcostrecoveryderivedfromfisheriesmanagement.

1.6.1 Without prejudice to relevant international agreements, States shall encourage banks andfinancialinstitutionsnottorequire,asaconditionofaloanormortgage,fishingvesselsorfishingsupportvesselstobeflaggedinajurisdictionotherthanthatoftheStateofbeneficialownershipwheresucharequirementwouldhavetheeffectofincreasingthelikelihoodofnon-compliancewithinternationalconservationandmanagementmeasures.

FAOCCRF7.8.1





(FullConformance)


18 TheStatedoesencourage

banksandfinancialinstitutionstorequire,asaconditionofaloanormortgage,fishingvesselsorfishingsupportvesselstobeflaggedinajurisdictionotherthanthatoftheStateofbeneficialownership.


TheStateinsufficientlyencouragesbanksandfinancialinstitutionsnottorequire,asaconditionofaloanormortgage,fishingvesselsorfishingsupportvesselstobeflaggedinajurisdictionotherthanthatoftheStateofbeneficialownership.


TheStateonlymoderatelyencouragesbanksandfinancialinstitutionsnottorequire,asaconditionofaloanormortgage,fishingvesselsorfishingsupportvesselstobeflaggedinajurisdictionotherthanthatoftheStateofbeneficialownership.


TheStateencouragesbanksandfinancialinstitutionsnottorequire,asaconditionofaloanormortgage,fishingvesselsorfishingsupportvesselstobeflaggedinajurisdictionotherthanthatoftheStateofbeneficialownershipwheresucharequirementwouldhavetheeffectofincreasingthelikelihoodofnon-compliancewithinternationalconservationandmanagementmeasures.



Note:Thefisheryforthestockunderconsiderationoccursoutsidetheexclusiveeconomiczone(EEZ),thereisevidenceforpresenceofflagsofconvenience,andforIUUfishing.NotApplicableotherwise.

Process:Thereisasystemthatencouragesbankstorequirevesselstobeflaggedoutsidethejurisdictionofinterest.

CurrentStatus/Appropriateness/Effectiveness:Thereisregulationthatdirectsforvesselstobeflaggedoutsidethestate’sjurisdiction.ThefisheryforthestockunderconsiderationoccursoutsideEEZ,andthereareflagsofconvenienceoperationspresent,orevidenceofillegal,unreported,andunregulatedfishing.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludedatashowingfisheryoperationbyvesselsflyingaflagdifferentfromthatofthestatewherefishinggeographicallyoccurs.

1.7 Procedures shall be in place to keep the efficacy of current conservation and managementmeasures and theirpossible interactionsunder continuous review to reviseor abolish them inthelightofnewinformation.• Reviewproceduresshallbeestablishedwithinthemanagementsystem.• Amechanismforrevisionofmanagementmeasuresshallexist.

FAOCCRF7.6.8





(FullConformance)


19 Therearenoproceduresin

placetoreviewtheefficiencyofcurrentconservationandmanagementmeasures.


Thereareinsufficientlyeffectiveproceduresinplacetoreviewtheefficiencyofcurrentconservationandmanagementmeasures.


Therearemoderatelyeffectiveproceduresinplacetoreviewtheefficiencyofcurrentconservationandmanagementmeasures.


Proceduresareinplacetokeeptheefficacyofcurrentconservationandmanagementmeasuresandtheirpossibleinteractionsundercontinuousreviewtoreviseorabolishtheminthelightofnewinformation.



Process:Thereisaproceduretoreviewmanagementmeasures.Theprocedureincludestheuseofoutcomeindicatorsagainstwhichthesuccessofmanagementmeasuresinachievingspecificmanagementobjectivesismeasured.Theprocedurecoversallmanagementmeasures,includingthoserelatingtothesustainableexploitationofthetargetstock,themitigationofnegativeimpactsonnon-targetspeciesthroughbycatch,discarding,andindirecteffects,andtheprotectionofETPspeciesandthephysicalenvironment.

CurrentStatus/Appropriateness/Effectiveness:If,asaresultofthereviewprocess,itisdeterminedthatmanagementmeasuresarenotachievingthespecificmanagementobjectivestheyaredesignedtoachieve,theyarerevisedandupdatedasappropriate.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludedatashowingrecentregulationrevisions.

1.8 Themanagementarrangementsanddecisionmakingprocessesforthefisheryshallbeorganizedinatransparentmanner.• Managementarrangements,• Decisionmaking.

FAOCCRF7.1.9





(FullConformance)

Thereisnotransparencyinmanagementarrangementsanddecisionmaking

Thereisinsufficienttransparencyinmanagementarrangements

Thereismoderatetransparencyinmanagementarrangements

Themanagementarrangementsanddecisionmakingprocessesforthefisheryareorganizedina


20 processes.


anddecisionmakingprocesses.


anddecisionmakingprocesses.


transparentmanner.



CurrentStatus:Thereistransparencyinmanagementarrangements.

Effectiveness:Thereistransparencyindecisionmakingprocesses.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincluderecordsofthemanagementarrangementsanddecisionmakingprocesses.

1.9 Management organizations not party to the Agreement to promote compliance withinternationalconservationandmanagementmeasuresbyvesselsfishinginthehighseasshallbeencouraged to accept the Agreement and to adopt laws and regulations consistent with theprovisionsoftheAgreement.

FAOCCRF8.2.6





(FullConformance)


21 Thereisnoaccepted

Agreementandconsistentlawsandregulations.


ThemanagementsystemhasacceptedtheAgreementbutwithinsufficientadoptionofconsistentlawsandregulations.


ThemanagementsystemhasacceptedtheAgreementbutwithmoderateadoptionofconsistentlawsandregulations.


TheFisheryManagementorganizationispartytotheAgreementtopromotecompliancewithinternationalconservationandmanagementmeasuresbyvesselsfishinginthehighseasorhasadoptedlawsandregulationsconsistentwiththeprovisionsoftheAgreement.



NotApplicableifthefisherydoesnotoccurinhighseas.

Process:TheAgreementisacceptedandrelevantregulationadopted.

CurrentStatus/Appropriateness/Effectiveness:Theselawsareregulatinghighseasfishingactivity.Describehowtheyaccomplishthis.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludereportsonthemanagementofhighseasfishingactivities.

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 to achievesustainableand integrateduseof livingmarine resources, taking intoaccount1) the fragilityofcoastalecosystemsandfinitenatureoftheirnaturalresources;2)allowingfordeterminationofthe possible uses of coastal resources and govern access to them, 3) taking into account therightsandneedsofcoastalcommunitiesandtheircustomarypracticestotheextentcompatiblewithsustainabledevelopment.Insettingpoliciesforthemanagementofcoastalareas,4)Statesshalltakedueaccountoftherisksanduncertaintiesinvolved.

FAOCCRF(1995)10.1.1,10.1.3,10.2.3


22 LowConfidenceRating

(CriticalNC)MediumConfidenceRating(MajorNC)



(FullConformance)

Anappropriatepolicy,legalandinstitutionalframeworksisnotadoptedinordertoachievesustainableandintegrateduseoflivingmarineresources,takingintoaccount1)thefragilityofcoastalecosystemsandfinitenatureoftheirnaturalresources;2)allowingfordeterminationofthepossibleusesofcoastalresourcesandgovernaccesstothem,3)takingintoaccounttherightsandneedsofcoastalcommunitiesandtheircustomarypracticestotheextentcompatiblewithsustainabledevelopment,while4)takingdueaccountoftherisksanduncertaintiesinvolvedinsettingpoliciesforthemanagementofcoastalareas.


Policy,legalandinstitutionalframeworkshavebeenadoptedbutareinsufficienttoachievesustainableandintegrateduseoflivingmarineresources,takingintoaccount1)thefragilityofcoastalecosystemsandfinitenatureoftheirnaturalresources;2)allowingfordeterminationofthepossibleusesofcoastalresourcesandgovernaccesstothem,3)takingintoaccounttherightsandneedsofcoastalcommunitiesandtheircustomarypracticestotheextentcompatiblewithsustainabledevelopment,while4)takingdueaccountoftherisksanduncertaintiesinvolvedinsettingpoliciesforthemanagementofcoastalareas.


Policy,legalandinstitutionalframeworkshavebeenadoptedbutaremoderatelyachievingsustainableandintegrateduseoflivingmarineresources,takingintoaccount1)thefragilityofcoastalecosystemsandfinitenatureoftheirnaturalresources;2)allowingfordeterminationofthepossibleusesofcoastalresourcesandgovernaccesstothem,3)takingintoaccounttherightsandneedsofcoastalcommunitiesandtheircustomarypracticestotheextentcompatiblewithsustainabledevelopment,while4)takingdueaccountoftherisksanduncertaintiesinvolvedinsettingpoliciesforthemanagementofcoastalareas.


Anappropriatepolicy,legalandinstitutionalframeworkhasbeenadoptedinordertoachievesustainableandintegrateduseoflivingmarineresources,takingintoaccount1)thefragilityofcoastalecosystemsandfinitenatureoftheirnaturalresources;2)allowingfordeterminationofthepossibleusesofcoastalresourcesandgovernaccesstothem,3)takingintoaccounttherightsandneedsofcoastalcommunitiesandtheircustomarypracticestotheextentcompatiblewithsustainabledevelopment.Insettingpoliciesforthemanagementofcoastalareas,States4)takedueaccountoftherisksanduncertaintiesinvolved.



Process:Amechanismexistsbywhichtheintegratedmanagementofmultiplecoastalareausesisconducted,thepossibleusesofcoastalresourcesareassessed,andaccesstothemisgoverned.Accordingly,policiesforthemanagementofthecoastalareaareset.

CurrentStatus/Appropriateness/Effectiveness:Thecoastalmanagementframeworkincludesexplicitconsiderationofthefragilityofcoastalecosystems,thefinitenatureofcoastalresources,andtheneedsofcoastalcommunities,andaccountsfortherightsandcustomarypracticesofcoastalcommunities.Thesepoliciestakedueaccountofrisksanduncertainties.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludecoastalmanagementplansorotherpolicydocumentsandframeworksforresource/coastalmanagement.

2.1.1 Statesshallestablishmechanisms forcooperationandcoordinationamongnationalauthoritiesinvolvedinplanning,development,conservationandmanagementofcoastalareas.

FAOCCRF10.4.1






(FullConformance)

Thereisnocooperation/coordinationwithadjacentjurisdictionsinvolvedinplanning,development,conservationandmanagementofcoastalareas.


Thereisinsufficientcooperation/coordinationwithadjacentjurisdictionsinvolvedinplanning,development,conservationandmanagementofcoastalareas.


Thereismoderatecooperation/coordinationwithadjacentjurisdictionsinvolvedinplanning,development,conservationandmanagementofcoastalareas.


TheStateestablishesmechanismsforcooperationandcoordinationamongnationalauthoritiesinvolvedinplanning,development,conservationandmanagementofcoastalareas.



Process:Thereisamechanismtoallowcooperationbetweenneighboringcountriestoimprovecoastalresourcemanagement.

CurrentStatus/Appropriateness/Effectiveness:Therearerecordsofcooperation.Examplesmayincludefishery,aquaculture,orotheragreementsorrecordsfrominternationalfora.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludereportsordataontheinternationalcooperation/informationexchangeintheseevents.

2.1.2Statesshallensurethattheauthorityorauthoritiesrepresentingthefisheriessectorinthecoastalmanagementprocesshavetheappropriatetechnicalcapacitiesandfinancialresources.

FAOCCRF(1995)10.4.2





(FullConformance)

Thereisnoaccesstoappropriatetechnicalcapacitiesandfinancialresources.


Thereisinsufficientaccesstoappropriatetechnicalcapacitiesandfinancialresources.


Thereismoderateaccesstoappropriatetechnicalcapacitiesandfinancialresources.


TheStateensuresthattheauthorityorauthoritiesrepresentingthefisheriessectorinthecoastalmanagementprocesshavetheappropriatetechnicalcapacitiesandfinancialresources.




24 Process:Thereareappropriatetechnicalcapacitiesandfinancialresources.

CurrentStatus/Appropriateness/Effectiveness:Itcanbedeterminedwithconfidencethatthereareappropriatetechnicalcapacitiesandfinancialresources.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludereportsordataoveralloperatingstaffandfinancialresources/budgetsavailable.

2.2 Representativesofthefisheriessectorandfishingcommunitiesshallbeconsultedinthedecisionmakingprocessesinvolvedinotheractivitiesrelatedtocoastalareamanagementplanninganddevelopment.Thepublicshallalsobekeptawareontheneedfortheprotectionandmanagementofcoastalresourcesandtheparticipationinthemanagementprocessbythoseaffected.

FAOCCRF(1995)10.1.2,10.2.1





(FullConformance)

Thereisnoconsultationwiththefisherysectorandfishingcommunities,andnoattemptstocreatepublicawareness.


Thereisinsufficientconsultationwiththefisherysectorandfishingcommunities,andinsufficientattemptstocreatepublicawareness.


Thereismoderateconsultationwiththefisherysectorandfishingcommunities,andmoderateattemptstocreatepublicawareness.


Representativesofthefisheriessectorandfishingcommunitiesareconsultedinthedecisionmakingprocessesinvolvedinotheractivitiesrelatedtocoastalareamanagementplanninganddevelopment.Thepublicisalsokeptawareontheneedfortheprotectionandmanagementofcoastalresourcesandtheparticipationinthemanagementprocessby


25 thoseaffected.



Process:Describehowfisheryrelatedinformationisdisseminatedandtheprocessinplacetoconsultwithfisherysectorandfishingcommunities.

CurrentStatus/Appropriateness/Effectiveness:Therearerecordsofconsultationswithfishingcommunitiesandthefisheriessector.Attemptshavebeenmadetocreatepublicawarenessontheneedforprotectionandmanagementofcoastalresources,andthoseaffectedbythemanagementprocesshavebeenmadeawareofitsprovision.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludepublicrecordsofconsultationactivitiesandotheravailabledocumentation,publishedontheinternetordistributedatpublicmeetings.

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

FAOCCRF(1995)7.6.5,10.1.4,10.15





(FullConformance)

Practicesfortheavoidanceofconflictbetweenfishersandothercoastalusershavenotbeenadoptedandfishinggearisnotregulatedinsuchawayastoavoidriskofconflictamongfishersusingdifferentvessels,gearandfishingmethods.Furthermore,proceduresandmechanismsarenotestablishedattheappropriateadministrativeleveltosettleconflicts

Practiceshavebeenadoptedbutarelargelyineffectivetoavoidconflictbetweenfishersandothercoastalusers,andfishinggearisinsufficientlyregulatedinsuchawayastoavoidriskofconflictamongfishersusingdifferentvessels,gearandfishingmethods.Furthermore,proceduresandmechanismsareinsufficientlyestablishedattheappropriate

Practiceshavebeenadoptedbutaremoderatelyeffectiveinavoidingconflictbetweenfishersandothercoastalusers,andfishinggearismoderatelyregulatedinsuchawayastoavoidriskofconflictamongfishersusingdifferentvessels,gearandfishingmethods.Furthermore,proceduresandmechanismsaremoderatelyestablishedattheappropriate

Fisheriespracticesthatavoidconflictamongfishersandotherusersofthecoastalarea(e.g.aquaculture,tourism,energy)areadoptedandfishingisregulatedinsuchawayastoavoidriskofconflictamongfishersusingdifferentvessels,gearandfishingmethods.Proceduresandmechanismsareestablishedattheappropriateadministrativeleveltosettleconflictswhicharisewithinthefisheries


26 whicharisewithinthe

fisheriessectorandbetweenfisheriesresourceusersandothercoastalusers.


administrativeleveltosettleconflictswhicharisewithinthefisheriessectorandbetweenfisheriesresourceusersandothercoastalusers.


administrativeleveltosettleconflictswhicharisewithinthefisheriessectorandbetweenfisheriesresourceusersandothercoastalusers.


sectorandbetweenfisheriesresourceusersandothercoastalusers.



Process:Thesepracticeshavebeenadopted,andthereisaprocesstoregulatefishinggear,methodsandvesselssoastoavoidriskofconflictIfconflictarise,thereisprocessthatallowstosettleconflictsbetweenfisheryusersandotherusers.

CurrentStatus/Appropriateness/Effectiveness:Describethesepracticesandtheireffectivenesswithinthefisherysector,andbetweenfishersandothercoastalusers.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludelawsandregulationsorotherdocuments.

2.4Statesandsub-regionalorregionalfisheriesmanagementorganizationsandarrangementsshallgiveduepublicitytoconservationandmanagementmeasuresandensurethatlaws,regulationsandotherlegalrulesgoverningtheirimplementationareeffectivelydisseminated.Thebasesandpurposesofsuchmeasuresshallbeexplainedtousersoftheresourceinordertofacilitatetheirapplicationandthusgainincreasedsupportintheimplementationofsuchmeasures.

FAOCCRF(1995)7.1.10





(FullConformance)

Disseminationofinformationdoesnotexist.

Thereisinsufficientlyeffectiveinformationdisseminationtoallowapplicationandinsupportofimplementationofsuchmeasures.

Thereismoderatelyeffectiveinformationdisseminationtoallowapplicationandinsupportofimplementationofsuchmeasures.

TheStateandsub-regionalorregionalfisheriesmanagementorganizationsandarrangementsgiveduepublicitytoconservationandmanagementmeasuresandensurethatlaws,regulationsandotherlegalrulesgoverningtheirimplementationareeffectivelydisseminated.Thebasesandpurposesofsuchmeasuresareexplainedto


27




usersoftheresourceinordertofacilitatetheirapplicationandthusgainincreasedsupportintheimplementationofsuchmeasures.



Process:Thereisaprocessthatallowsforfisheryrelatedinformationtobedisseminated.

CurrentStatus/Appropriateness/Effectiveness:Thereisarecordofthedisseminatedinformation,andisitdisseminatedeffectively,andthebasisandpurposesofsuchregulationexplainedtousers.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincluderecordsofsuchmanagementmeasurespublishedintheinternetordistributedatpublicmeetings.

2.5 Theeconomic,socialandculturalvalueofcoastalresourcesshallbeassessed inordertoassistdecision-makingontheirallocationanduse.

FAOCCRF10.2.2





(FullConformance)

Thereisnoassessmentofsocio-economicandculturalvaluetoassistdecisionmakingonresourceallocationanduse.


Thereisinsufficientassessmentofsocio-economicandculturalvaluetoassistdecisionmakingonresourceallocationanduse.


Thereismoderateassessmentofsocio-economicandculturalvaluetoassistdecisionmakingonresourceallocationanduse.


Theeconomic,socialandculturalvalueofcoastalresourcesisassessedinordertoassistdecision-makingontheirallocationanduse.



Process:Thereisasystemthatallowsforsocio-economicvalueassessmentsandculturalvalueassessmentstobecarriedout.

CurrentStatus/Appropriateness/Effectiveness:Therearesocio-economicvalueassessmentsandculturalvalueassessments,bothofwhichareeffectivelyassistingdecisionmakingonresourceallocationanduse.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludereportsonsocial/cultural/economicvalueoftheresource.


28

2.6 States shall cooperate at the sub-regional level inorder to improve coastal areamanagement,and inaccordancewithcapacities,measuresshallbetakentoestablishorpromotesystemsforresearch and monitoring of the coastal environment, in order to improve coastal areamanagement, and promote multidisciplinary research in support and improvement of coastalareamanagement using physical, chemical, biological, economic, social, legal and institutionalaspects.

FAOCCRF(1995)10.2.4,10.2.5,10.3.3





(FullConformance)

Thereisnocooperationatthesub-regionallevelinordertoimprovecoastalareamanagementand/orestablishmentorpromotionofsystemstomonitorcoastalenvironmentusingmultidisciplinaryresearch.


Thereisinsufficientcooperationatthesub-regionallevelinordertoimprovecoastalareamanagementand/orestablishmentorpromotionofsystemstomonitorcoastalenvironmentusingmultidisciplinaryresearch.


Thereismoderatecooperationatthesub-regionallevelinordertoimprovecoastalareamanagementand/orestablishmentorpromotionofsystemstomonitorcoastalenvironmentusingmultidisciplinaryresearch.


Thereiscooperationatthesub-regionallevelinordertoimprovecoastalareamanagement,andinaccordancewithcapacities,measuresaretakentoestablishorpromotesystemsforresearchandmonitoringofthecoastalenvironment,inordertoimprovecoastalareamanagement,andpromotemultidisciplinaryresearchinsupportandimprovementofcoastalareamanagementusingphysical,chemical,biological,economic,social,legalandinstitutionalaspects.



29 EvaluationParameters

Process:Thereisasystematthesubregionallevelthatallowsresearchandmonitoringofthecoastalenvironmentandmultidisciplinaryresearchinsupportofcoastalareamanagementispromoted.

CurrentStatus/Appropriateness/Effectiveness:Systemsofmonitoringandresearchhavetakenintoaccountphysical,chemical,biological,economic,social,legal,andinstitutionalaspectstosupportcoastalareamanagement.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludereportsonthestatusofthecoastalareausingthevariousaspectslistedabove.

2.7Statesshall,withintheframeworkofcoastalareamanagementplan,establishmanagementsystemsforartificialreefsandfishaggregationdevices.Suchmanagementsystemsshallrequireapprovalfortheconstructionanddeploymentofsuchreefsanddevicesandshalltakeintoaccounttheinterestsoffishers,includingartisanalandsubsistencefishers.

FAOCCRF(1995)8.11.3





(FullConformance)

Therearenomanagementplansforartificialreefsorfishaggregationdevicesintegratedwithintheframeworkofcoastalareamanagementplanstakingintoaccounttheinterestoffishers,includingartisanalandsubsistencefishers,andrequiringapprovalfortheconstructionanddeploymentofsuchreefsanddevices.

Thereareinsufficientlyeffectivemanagementplansforartificialreefsorfishaggregationdevicesintegratedwithintheframeworkofcoastalareamanagementplanstakingintoaccounttheinterestoffishers,includingartisanalandsubsistencefishersandrequiringapprovalfortheconstructionanddeploymentofsuchreefsanddevices.

Therearemoderatelyeffectivemanagementplansforartificialreefsorfishaggregationdevicesintegratedwithintheframeworkofcoastalareamanagementplanstakingintoaccounttheinterestoffishers,includingartisanalandsubsistencefishersandrequiringapprovalfortheconstructionanddeploymentofsuchreefsanddevices.

Thestate,withintheframeworkofcoastalareamanagementplan,hasestablishedmanagementsystemsforartificialreefsandfishaggregationdevices.Suchmanagementsystemsrequireapprovalfortheconstructionanddeploymentofsuchreefsanddevicesandtakeintoaccounttheinterestsoffishers,includingartisanalandsubsistencefishers.


30






Note:Theuseofartificialstructuresmaybeappropriateforsomestocksbutnotnecessaryforall.Thisclausemaythereforenotbeapplicableifsuchstructuresarenotpracticalorappropriateforstocks.Theuseofartificialstructuresshouldbeconsideredappropriateifoneormoreofthespeciesunderassessmenthasbenefittedfromtheuseofartificialstructuresinotherfisheries,orifspecieswithsimilarbiologicalcharacteristicshavebenefittedfromtheuseofartificialstructuresinotherfisheries..

Process:Thereisamechanisminplaceforincreasingstockpopulationsandenhancingfishingopportunitiesthroughtheuseofartificialstructures.Managementplansforartificialreefsorfishaggregationdevicesintegratedwithintheframeworkofcoastalareamanagementplanstakeintoaccounttheinterestoffishers.

CurrentStatus/Appropriateness/Effectiveness:Managementplansforartificialreefsorfishaggregationdeviceshavebeeneffectivelyintegratedwithintheframeworkofcoastalareamanagementplans,andtheseplanseffectivelytakeintoaccounttheinterestoffishers,includingartisanalandsubsistencefishers.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariouslaws,plans,dataandreports.

2.8Inthecaseofactivitiesthatmayhaveanadversetransboundaryenvironmentaleffectoncoastalareas,Statesshall:


31

a)Providetimelyinformationandifpossible,priornotificationtopotentiallyaffectedStates.

b)ConsultwiththoseStatesasearlyaspossible.

FAOCCRF(1995)10.3.2





(FullConformance)

Thereisnoprovisionoftimelyinformationorpriornotification.


Thereisinsufficientprovisionoftimelyinformationorpriornotification.


Thereismoderateprovisionoftimelyinformationorpriornotification.


Inthecaseofactivitiesthatmayhaveanadversetransboundaryenvironmentaleffectoncoastalareas,thestateprovidestimelyinformationandifpossible,priornotificationtopotentiallyaffectedStates.



Process:Thereisasystemtoallowearlyinformationsharingwithaffectedneighboringcountriesincaseoftransboundaryenvironmentaleffectsthatmayaffectthem.

CurrentStatus/Appropriateness/Effectiveness:Therearecurrentagreementsfororpastrecordsofsuchoccurrences.Examplesmayincludeoilspills,andaquaculturefarmsescapesamongothers.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludereportsordataontheinternationalcooperationintheseevents.


32

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





(FullConformance)

Therearenolongtermmanagementobjectivestranslatedintoaplanorothermanagementdocument.


Thereareinsufficientlyclearlongtermmanagementobjectivestranslatedintoaplanorothermanagementdocumentthattakeintoaccountbestavailablescientificevidenceandareconsistentwiththesustainableuseoftheresource,andsubscribedtobyimportantfisherystakeholders.


Therearemoderatelyclearlongtermmanagementobjectivestranslatedintoaplanorothermanagementdocumentthattakeintoaccountbestavailablescientificevidenceandareconsistentwiththesustainableuseoftheresource,andsubscribedtobyimportantfisherystakeholders.


Scientificallybasedlongtermmanagementobjectivesconsistentwiththesustainableuseoftheresourcearetranslatedintoaplanorothermanagementdocumentwhichissubscribedtobyallinterestedparties.



Process:Managementobjectivesbasedonthebestavailablescientificevidence(whichcanincludetraditionalknowledge,ifverifiable)havebeentranslatedintoafisherymanagementplanorsimilardocument.

CurrentStatus/Appropriateness/Effectiveness:Theobjectivesdescribedbythemanagementplanareconsistentwiththesustainableuseoftheresource,andaresubscribedtobyallrelevantfisherystakeholders.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludefisherymanagementplan/frameworkorlegalrules.

3.2Managementmeasuresshallprovide,interalia,that:

3.2.1 Excess fishing capacity shall be avoided and exploitation of the stocks remains economicallyviable.


33





(FullConformance)

Thereisnoavoidanceofexcessfishingcapacity.


Thereisinsufficientavoidanceofexcessfishingcapacity.


Thereismoderateavoidanceofexcessfishingcapacity.


Excessfishingcapacityisavoidedandexploitationofthestocksremainseconomicallyviable.



Process:Therearemanagementmeasuresinplacetolimitand/orreducethetotalfishingcapacityoftheUnitofCertification.Thisshallincludetheexistenceofspecificfishingcapacityobjective(s),whichthemselvesarebasedonthebestavailablescientificunderstandingoftheleveloffishingpressureappropriatetoensurethelong-termsustainabilityofthefishery.

CurrentStatus/Appropriateness/Effectiveness:ThefishingcapacityoftheUnitofCertificationisatorbelowthelevelofthespecificfishingcapacityobjective(s).

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludefisheryreportsonharvestrecommendationandharvestorfleetreports.


34

3.2.2 The economic conditions under which fishing industries operate shall promote responsiblefisheries.

LowConfidenceRating




(FullConformance)

Thereisanabsenceoffavorableeconomicconditionsthatpromoteresponsiblefishing.


Thereisaninsufficientpresenceoffavorableeconomicconditionsthatpromoteresponsiblefishing.


Thereisamoderatepresenceoffavorableeconomicconditionsthatpromoteresponsiblefishing.


Theeconomicconditionsunderwhichfishingindustriesoperatepromoteresponsiblefisheries.



Process:Wherebestavailablescientificevidencedeterminesthatitisnecessary,therearemanagementmeasuresinplacetoensuretheeconomicconditionsunderwhichthefisheryoperatespromoteresponsiblefisheries.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceforthegeneraleconomicvalueoftheresourceanditsbenefittofishermen.Thereisenforcementdatathatsupportstheoccurrenceofresponsiblefishingpractices.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludeeconomicreportsorenforcementdata.


35

3.2.3 Theinterestsoffishers,includingthoseengagedinsubsistence,small-scaleandartisanalfisheriesshallbetakenintoaccount.

LowConfidenceRating




(FullConformance)

Thereisnoaccountingofinterestsoffishersincludingthoseengagedinsubsistence,small-scaleandartisanalfisheries.


Thereisinsufficientaccountingofinterestsoffishersincludingthoseengagedinsubsistence,small-scaleandartisanalfisheries.


Thereismoderateaccountingofinterestsoffishersincludingthoseengagedinsubsistence,small-scaleandartisanalfisheries.


Theinterestsoffishers,includingthoseengagedinsubsistence,small-scaleandartisanalfisheriesaretakenintoaccount.



Process:Thereisasystemorprocessinplacethatidentifiestheinterestsofsmallscalefishers,eitherthroughstakeholderengagementorsocialresearch,inawaywhichpermitstheutilizationoftheinformationduringthemanagementmeasuredevelopmentprocess.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencethattheinterestofsmallscalefishersareeffectivelytakenintoaccountduringthedevelopmentofmanagementmeasures,andthereisnoevidencethatsmall-scalefisheriesareseverelyadverselyimpactedbyanymanagementmeasurescurrentlyinplace.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludededicatedquotas,publicmeetingrecords,lawsandregulations.

3.2.4 Biodiversityofaquatichabitatsandecosystemsshallbeconservedandendangeredspeciesshallbe protected. Where relevant, there shall be pertinent objectives, and as necessary,managementmeasures.

LowConfidenceRating




(FullConformance)

Thereisnoconservationofaquatichabitatsandecosystems’biodiversityandendangeredspeciesprotection,andwhererelevant,pertinentobjectives,andas

Thereisinsufficientconservationofaquatichabitatsandecosystems’biodiversityandendangeredspeciesprotection,andwhererelevant,pertinent

Thereismoderateconservationofaquatichabitatsandecosystems’biodiversityandendangeredspeciesprotection,andwhererelevant,pertinent

Biodiversityofaquatichabitatsandecosystemsisconservedandendangeredspeciesareprotected.Whererelevant,therearepertinentobjectives,andasnecessary,management


36 necessary,management

measures.


objectives,andasnecessary,managementmeasures.


objectives,andasnecessary,managementmeasures.


measures.



Process:Therearemanagementmeasuresinplacespecificallydesignedtoensurethatthebiodiversityofaquatichabitatsandecosystemsareconserved,andendangeredspeciesareprotected.Thisshallreflecttheexistenceofspecificmanagementobjectivesandmeasureswhicharebasedonthebestavailablescientificevidence.

CurrentStatus/Appropriateness/Effectiveness:Themanagementmeasurescurrentlyinplacehavebeensuccessfulinmeetingthemanagementobjectives.Thereisnoevidencethatthefisheryiscurrentlyhavingasignificantadverseimpactonaquatichabitatsorecosystems,anditisnotputtinganyETPspeciesatriskofextinction.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludelawsandregulations,fisheriesmanagementplansandspeciesstatusreports.

3.2.5 Thereshallbemanagementobjectivesseekingtoavoid,minimizeormitigateimpactsoftheunitofcertificationonessentialhabitatsforthestockunderconsiderationandonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertification.





(FullConformance)

Therearenomanagementobjectivesforavoidance,minimizationormitigationofimpactsonessentialfishhabitatsandonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertificationforthe“stockunderconsideration”


Thereareinsufficientlyclearobjectivesforavoidance,minimizationormitigationofimpactsonessentialfishhabitatsandonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertificationforthe“stockunderconsideration”


Therearemoderatelyclearobjectivesforavoidance,minimizationormitigationofimpactsonessentialfishhabitatsandonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertificationforthe“stockunderconsideration”


Therearemanagementobjectivesseekingtoavoid,minimizeormitigateimpactsoftheunitofcertificationonessentialhabitatsforthestockunderconsiderationandonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertification.



37


Process:Thereisamechanisminplacebywhichthehabitatsessentialtothestockunderconsiderationandthepotentialimpactsofthefishery(i.e.employingbottomcontactgear)uponthemareidentified.ThisorasimilarmechanismshallalsobeinplacetoidentifyhabitatswhicharehighlyvulnerabletofisheryactivitiesbytheUnitofCertification.Theinformationprovidedbythesemechanismsshallbeusedtoproducespecificmanagementobjectivesrelatedtoavoidingsignificantnegativeimpactsonhabitats.Whenidentifyinghighlyvulnerablehabitats,therevaluetoETPspeciesshallbealsoconsidered,withhabitatsessentialtoETPspeciesbeingcategorizedaccordingly.NotethatthisclauseshallconsiderAlaskaspecificdesignationofimportantandessentialfishhabitatscategorizedassuchattheStateandfederallevel.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencethattheobjectivesdescribedaboveareinplace,andthateffectivemanagementmeasuresrelativetothosehavebeenimplemented.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousregulations,fisherymanagementplans,dataandreports.

3.2.6 Thereshallbemanagementobjectivesthatseektominimizeadverseimpactsoftheunitofcertification,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.

FAOECO(2011)36.9






(FullConformance)

Therearenomanagementobjectivesthatseektominimizeadverseimpactsofthefishery,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.


Thereareinsufficientlyclearmanagementobjectivesthatseektominimizeadverseimpactsofthefishery,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.


Therearemoderatelyclearmanagementobjectivesthatseektominimizeadverseimpactsofthefishery,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.


Therearemanagementobjectivesthatseektominimizeadverseimpactsofthefishery,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.



Process:Thereisaprocessinplacebywhichadverseimpactsofthefishery,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversibleareidentified.Thisprocessresultsinsettingrelativemanagementobjectives.Managementpriorityshallbefocusedprimarilytowardsminimizingandavoidingimpacts.

CurrentStatus/Appropriateness/Effectiveness:Therearemanagementmeasuresinplacewhichhavebeendevelopedtoachievetheobjectivesdescribedintheprocessparameter,andhavebeensuccessfulindoingso.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludefisherymanagementplans,orotherregulatorydocumentorlaws.


39

B. ScienceandStockAssessmentActivities

4. Thereshallbeeffectivefisherydata(dependentandindependent)collectionandanalysissystemsforstockmanagementpurposes.

FAOCCRF(1995)7.1.9/7.4.4/7.4.5/7.4.6/8.4.3/12.4FAOECO(2009)29.1-29.3

FAOEco(2011)36.1,36.3-36.5,37.4

4.1 Allfisheryremovalsandmortalityofthetargetstock(s)shallbeconsideredbymanagement.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)36.1,36.3,36.4





(FullConformance)

Thereisnoconsiderationofallfisheryremovalsandmortalityofthetargetstockthroughcollectionofreliableandaccuratedataonthestatusoffisheriesandecosystems(includingdataonretainedcatch,bycatch,discardsandwaste)performedbyrelevantmanagementorganizationsatappropriatetimeandlevelofaggregation,providedtorelevantStatesororganizationsasappropriate.


Thereisinsufficientconsiderationofallfisheryremovalsandmortalityofthetargetstockthroughcollectionofreliableandaccuratedataonthestatusoffisheriesandecosystems(includingdataonretainedcatch,bycatch,discardsandwaste)performedbyrelevantmanagementorganizationsatappropriatetimeandlevelofaggregation,providedtorelevantStatesororganizations,asappropriate.


Thereismoderateconsiderationofallfisheryremovalsandmortalityofthetargetstockthroughcollectionofreliableandaccuratedataonthestatusoffisheriesandecosystems(includingdataonretainedcatch,bycatch,discardsandwaste)performedbyrelevantmanagementorganizationsatappropriatetimeandlevelofaggregation,providedtorelevantStatesororganizations,asappropriate.


Allfisheryremovalsandmortalityofthetargetstock(s)areconsideredbymanagement.Specifically,reliableandaccuratedatarequiredforassessingthestatusoffishery/iesandecosystems-includingdataonretainedcatch,bycatch,discardsandwastearecollected.Datacanincluderelevanttraditional,fisherorcommunityknowledge,providedtheirvaliditycanobjectivelybeverified.Thesedataarecollected,atanappropriatetimeandlevelofaggregation,byrelevantmanagementorganizationsconnectedwiththefishery,andprovidedtorelevantStatesandsub-regional,regionalandglobalfisheriesorganizations,asappropriate.


40



NotethatprovisionofdatatorelevantStatesandsub-regional,regionalandglobalfisheriesorganizationsisdependentonthenatureofthestock(i.e.,shared,highseasstock)andthetypeorarrangementinplaceforco-management(i.e.,commission,arrangementetc.).Thispartoftheclausedoesnotapplyincaseswherestocksoccurentirelyinone’sStateEEZ/jurisdictionand“co-management”withanothercountryisnotrequired.

Process:Thereisaprocessorsystemthatallowsforeffectivedatacollection(includingdataonretainedcatch,bycatch,discardsandwaste)onthestatusoffisheriesandecosystemsformanagementpurposes.Inthecaseofstocksfishedbymorethanonestate,thisincludesasystemoragreementwithotherstatestoensuremortalityandremovalsdataareavailablefortheentiretyofthebiologicalstock.Somefisheriesand/orfishstockarehardtomonitorforvariousreasons,includingremotenessofoperation/distributionandcomplexityoffishingoperations,posingparticularchallengeswiththecollectionandmaintenanceofadequate,reliableandcurrentdataand/orotherinformation.Assessorsshallacknowledgeandexplainthesechallenges,datacollectionandmaintenancetocoverallstagesoffisherydevelopment,inaccordancewithapplicableinternationalstandardsandpractices.

CurrentStatus/Appropriateness/Effectiveness:Thereareappropriateandreliabledatacollectionandestimationmethods.Reliableandaccuratedataarecollectedonretainedcatch,bycatch,discardsandwaste(fordirectedandnon-directedfisheries),andthedirectandindirectimpactsofthefisheryontheecosystem.Suchinformationisdisseminatedtoallrelevantfisherymanagementauthorities.Overall,thedatacollectionsystemisconsideredeffectiveforthepurposesofthisclauseiffisheryscientistsbelievethereisahighprobabilitythatthetotalestimatedmortalityisanaccuratereflectionoftheactualtotalmortalityacrosstheentirebiologicalstock.Fisherydataarecollectedwithafrequencyandlevelofaggregationwhichallowstheeffectiveandinformedmanagementofthestockbyallrelevantauthorities.Theappropriatelevelofaggregationwilloftenbetheentirebiologicalstock,butcouldalsoreflectspecifichabitats,geartypes,sub-populationsetc.Therequirementsfordatacollectionarefocussedontheneedtoassesstheeffectsoftheunitofcertificationonnon-targetstocks.Non-targetcatchesanddiscardsreferstospecies/stocksthataretakenbytheunitofcertificationotherthanthestockforwhichcertificationisbeingsought.Theadequacyofdatarelatesprimarilytothequantityandtypeofdatacollected(includingsamplingcoverage)anddependscruciallyonthenatureofthesystemsbeingmonitoredandpurposestowhichthedataarebeingput.Someanalysisoftheprecisionresultingfromsamplingcoveragewouldnormallybepartofanassessmentofadequacyandreliability.Thecurrencyofdataisimportantinteraliabecauseitscapacityforsupportingreliableassessmentofcurrentstatusandtrendsdeclinesasitgetsolder.Adequate,reliableandcurrentdataand/orotherinformationcanincluderelevanttraditional,fisherorcommunityknowledge,provideditsvaliditycanbeobjectivelyverified(i.e.theknowledgehasbeencollectedandanalysedthoughasystematic,objectiveandwell-designedprocess,andisnotjusthearsay).

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludestockassessmentreports,catchandobserverdata.

4.1.1 Timely,completeandreliablestatisticsshallbecompiledoncatchandfishingeffortandmaintainedinaccordancewithapplicableinternationalstandardsandpracticesandinsufficientdetailtoallowsoundstatisticalanalysisforstockassessment.Suchdatashallbeupdatedregularlyandverifiedthroughanappropriatesystem.Theuseofresearchresultsasabasisforthesettingofmanagementobjectives,referencepointsandperformancecriteria,aswellasfor


41 ensuringadequatelinkage,betweenappliedresearchandfisheriesmanagement(e.g.adoption

ofscientificadvice)shallbepromoted.Resultsofanalysisshallbedistributedaccordinglyasacontributiontofisheriesconservation,managementanddevelopment.

FAOCCRF(1995)7.4.4,12.3,12.13

FAOEco(2009)29.1,29.3

FAOEco(2011)36.3,36.5





(FullConformance)

Thereisnoavailabilityoftimely,completeandreliablestatisticstoallowsoundanalysisandregularmaintenance,updateandverificationofsuchdata.Also,thereisnopromotion/useanddistributionofthisdatatoensurealinkbetweenappliedresearchandfisheriesmanagement.


Thereisinsufficientavailabilityoftimely,completeandreliablestatisticstoallowsoundanalysisandregularmaintenance,updateandverificationofsuchdata.Also,thereisinsufficientpromotion/useanddistributionofthisdatatoensurealinkbetweenappliedresearchandfisheriesmanagement.


Thereismoderateavailabilityoftimely,completeandreliablestatisticstoallowsoundanalysisandregularmaintenance,updateandverificationofsuchdata.Also,thereismoderatepromotion/useanddistributionofthisdatatoensurealinkbetweenappliedresearchandfisheriesmanagement.


Timely,completeandreliablestatisticsarecompiledoncatchandfishingeffortandmaintainedinaccordancewithapplicableinternationalstandardsandpracticesandinsufficientdetailtoallowsoundstatisticalanalysisforstockassessment.Suchdataareupdatedregularlyandverifiedthroughanappropriatesystem.Theuseofresearchresultsasabasisforthesettingofmanagementobjectives,referencepointsandperformancecriteria,aswellasforensuringadequatelinkage,betweenappliedresearchandfisheriesmanagement(e.g.adoptionofscientificadvice)ispromoted.Resultsofanalysisaredistributedaccordinglyasacontributiontofisheriesconservation,managementanddevelopment.



Process:Thereisaprocessorsystemthatallowsfortheproduction,maintenance,update,andverificationofstatisticaldatatointernationalstandards.SuchstandardsincludetheFAOcoordinatingworkingpartyonfisherystatisticsHandbookof


42 FisheryStatisticalStandards.Also,thereisaprocessfortheuseanddistributionofresearchresultsasabasisforthesettingof

managementobjectives,referencepointsandperformancecriteria,aswellasforensuringadequatelinkagebetweenappliedresearchandfisheriesmanagement(e.g.adoptionofscientificadvice).

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencefortheproduction,maintenance,updatingandreviewofstatisticaldataoncatchandfishingeffortinthefisheryunderassessment.Thereisevidencethatthebestandmostup-to-datescientificinformationisusedtoinformthefisheriesmanagementprocess.Wherethereisalegalrequirementfortheadviceofscientificauthoritiestobeadopted,thisshallbeviewedasconformancewiththisevaluationparameter.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludestockassessmentreportsandotherdata.

4.1.2Intheabsenceofspecificinformationonthe“stockunderconsideration”,genericevidencebasedonsimilarstockscanbeusedforfisherieswithlowrisktothat“stockunderconsideration”.However,thegreatertheriskofoverfishing,themorespecificevidenceisnecessarytoascertainthesustainabilityofintensivefisheries.

FAOEco(2009)30.4FAOECO(2011)37.4

LowConfidenceRating MediumConfidenceRating MediumConfidenceRating HighConfidenceRating


43 (CriticalNC) (MajorNC) (MinorNC) (FullConformance)

Ifappropriate,thereisnouseofgenericevidencebasedonsimilarstocksforfisherieswithlowrisktothat“stockunderconsideration”.


Ifappropriate,thereisinsufficientavailabilityoruseofgenericevidencebasedonsimilarstocksforfisherieswithlowrisktothat“stockunderconsideration”,takingintoaccountthatthegreatertheriskofoverfishing,themorespecificevidenceisnecessarytoascertainthesustainabilityofintensivefisheries.


Ifappropriate,thereismoderateavailabilityoruseofgenericevidencebasedonsimilarstocksforfisherieswithlowrisktothat“stockunderconsideration”,takingintoaccountthatthegreatertheriskofoverfishing,themorespecificevidenceisnecessarytoascertainthesustainabilityofintensivefisheries.


Intheabsenceofspecificinformationonthe“stockunderconsideration”,genericevidencebasedonsimilarstockscanbeusedforfisherieswithlowrisktothat“stockunderconsideration”.However,thegreatertheriskofoverfishing,themorespecificevidenceisnecessarytoascertainthesustainabilityofintensivefisheries.



Note:ifthefisheryforthestockunderconsiderationismanagedfullyusingstock-specificinformationthenthisclausecanbescoredwithfullconformance.

Process:Thereisaprocessthatallowsfortheuseofgenericevidencebasedonsimilarstocksforfisherieswithlowrisktothat“stockunderconsideration”.Thegreatertherisk,themorespecificevidenceisnecessarytoassesssustainability.Inprinciple,'genericevidencebasedonsimilarstocks'shouldnotsuffice,butitmaybeadequatewherethereislowrisktothestockunderconsideration.Ingeneral,"Lowrisktothestockunderconsideration"wouldsuggestthatthereisverylittlechanceofthestockbecomingoverfished,forexamplewheretheexploitationrateisverylowandtheresilienceofthestockishigh.However,theevidenceforlowriskandthejustificationforusingsurrogatedatashallcomefromthestockassessmentitself.

CurrentStatus/Appropriateness/Effectiveness:Informationhasbeenutilizedfromgenericevidencebasedonsimilarfisherysituations.Basedontheriskofoverfishing,theinformationutilizedisofhigherprecisiontoaccountforhigherrisks(i.e.intensivefisheries).


4.2 An observer scheme designed to collect accurate data for research and support compliance withapplicablefisherymanagementmeasuresshallbeestablished.

FAOCCRF(1995)8.4.3FAOEco(2009)29.2bis

LowConfidenceRating




(FullConformance)

Noobserverscheme Observerscheme Observerscheme Anobserverschemedesigned


44 designedtocollectaccurate

dataforresearchandtosupportcompliance.


establishedbutthereisinsufficientcollectionofaccuratedataforresearchandtosupportcompliance.


establishedbutthereismoderatecollectionofaccuratedataforresearchandtosupportcompliance.


tocollectaccuratedataforresearchandsupportcompliancewithapplicablefisherymanagementmeasuresisestablished.



Process:Presenceofanobserverprogram.Theremaybecaseswherecollectionofaccuratedataforresearchandsupportcompliancecouldbeestablishedwithouttheuseofobservers(i.e.,inspectionscheme,enforcement,portsampling,atshoreinspection,voluntaryorcompulsorylogbooks,e-logbooks,electronicmonitoring(video),orbycatchsurveys).Thereliabilityandaccuratenessofthatsystem(s)wouldneedtobeverifiedaccordingly.Notealsothatsomefisheriesobserverprogramsaredesignedtocollectbiologicaldataandinotherstheyalsoservemainlyasacomplianceorenforcementtool.Thisshallbeconsideredaccordinglyintheoverallevaluationofthisclause).Thecorefocusoftheclauseshallgobacktoquestioningwhethertherequireddataforfisheriesmanagementarecollectedorifthereareimportantdatagaps(e.g.,becauseoftheabsenceofanobserverprogram).

CurrentStatus/Appropriateness/Effectiveness:Thedatacollectedbytheobserverprogramisconsideredaccurateanduseful.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludestockassessment,observer,survey,observerorotherreports.

4.3 Sub-regionalorregionalfisheriesmanagementorganizationsorarrangementsshallcompiledataandmakethemavailable,inamannerconsistentwithanyapplicableconfidentialityrequirements,inatimelymannerandinanagreedformattoallmembersoftheseorganizationsandotherinterestedpartiesinaccordancewithagreedprocedures.

FAOCCRF(1995)7.4.6/7.4.7





(FullConformance)

Thereisnocompilationanddistributionofdatain

Thereisinsufficientcompilationanddistribution

Thereismoderatecompilationanddistribution

Sub-regionalorregionalfisheriesmanagement


45 accordancewith

confidentialityrequirements.


ofdatainaccordancewithconfidentialityrequirements.


ofdatainaccordancewithconfidentialityrequirements.


organizationsorarrangementscompiledataandmakethemavailable,inamannerconsistentwithanyapplicableconfidentialityrequirements,inatimelymannerandinanagreedformattoallmembersoftheseorganizationsandotherinterestedpartiesinaccordancewithagreedprocedures.



Notapplicableifnoregionalorsub-regionalbodyisinvolvedinfisherymanagementbetweenoneormorecountries.

Process:Thereisasystemwithintheregionalorsub-regionalbodystructurethatallowsfordatadistributioninlinewithconfidentialityrequirements.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceprovingthatconfidentialityrequirementsaresatisfiedwhendataisdistributedtothevariousparties.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludereportswhereconfidentialityrequirementshavebeeneffected.

4.4 Statesshallstimulatetheresearchrequiredtosupportnationalpoliciesrelatedtofishasfood.FAOCCRF12.7





(FullConformance)

Thereisnostimulationofresearchrequiredtosupportnationalpoliciesrelatedtofishasfood.

Thereisinsufficientstimulationofresearchrequiredtosupportnationalpoliciesrelatedtofishasfood.

Thereismoderatestimulationofresearchrequiredtosupportnationalpoliciesrelatedtofishasfood.

TheStatestimulatestheresearchrequiredtosupportnationalpoliciesrelatedtofishasfood.


46


Lackingintwoparameters. Lackinginoneparameter.



Process:Thereisresearchtosupportnationalpoliciesrelatedtofishasfood.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceofthisresearch.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.

4.5 Statesshallensurethatasufficientknowledgeoftheeconomic,social,marketingandinstitutionalaspectsoffisheriesiscollectedthroughdatagathering,analysisandresearchandthatcomparabledataaregeneratedforongoingmonitoring,analysisandpolicyformulation.

FAOCCRF(1995)7.4.5,12.9





(FullConformance)

Thereisnoassessmentofsocio-economic,marketingandinstitutionalaspectsoffisheriesforongoingmonitoring,analysisandpolicyformulation.

Thereisinsufficientassessmentofsocio-economic,marketingandinstitutionalaspectsoffisheriesforongoingmonitoring,analysisandpolicyformulation.

Thereismoderateassessmentofsocio-economic,marketingandinstitutionalaspectsoffisheriesforongoingmonitoring,analysisandpolicyformulation.

Thestateensuresthattheeconomic,social,marketingandinstitutionalaspectsoffisheriesareadequatelyresearchedandthatcomparabledataaregeneratedforongoingmonitoring,analysisandpolicyformulation.


47






Process:Thereisasysteminplacebywhichknowledgeoftheeconomic,social,marketingandinstitutionalaspectsoffisheriesiscollected.

CurrentStatus/Appropriateness/Effectiveness:Thesedataareusedforongoingmonitoring,analysisandpolicyformulation.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludereportsonsocial/cultural/economicvalueoftheresource.


48

4.6 States shall investigate and document traditional fisheries knowledge and technologies, inparticularthoseappliedtosmallscalefisheries,inordertoassesstheirapplicationtosustainablefisheriesconservation,managementanddevelopment.

FAOCCRF12.12





(FullConformance)

Thereisnoinvestigationanddocumentationtraditionalfisheriestechnologyappliedtosmallscalefisheries.


Thereisinsufficientinvestigationanddocumentationtraditionalfisheriestechnologyappliedtosmallscalefisheries.


Thereismoderateinvestigationanddocumentationtraditionalfisheriestechnologyappliedtosmallscalefisheries.


TheStateinvestigatesanddocumentstraditionalfisheriesknowledgeandtechnologies,inparticularthoseappliedtosmallscalefisheries,inordertoassesstheirapplicationtosustainablefisheriesconservation,managementanddevelopment.



Process:Traditionalfisherknowledgehasbeeninvestigated.Notethatforhighlydevelopedfisheriesthatknowledgemayalreadyhavebeenintegratedintofisheriesmanagement.

CurrentStatus/Appropriateness/Effectiveness:Therearerecordsofthedocumentationofsmallscalefisherpractices.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousfisheriesreports.

4.7 Statesconductingscientific researchactivities inwatersunder the jurisdictionofanotherStateshall ensure that their vessels comply with the laws and regulations of that State andinternationallaw.

FAOCCRF12.14






(FullConformance)

ResearchvesselsdonotcomplywiththelawsandregulationsofthatStateandinternationallaw.


ResearchvesselsinsufficientlycomplywiththelawsandregulationsofthatStateandinternationallaw.


ResearchvesselsmoderatelycomplywiththelawsandregulationsofthatStateandinternationallaw.


ThestateconductingscientificresearchactivitiesinwatersunderthejurisdictionofanotherStateensuresthattheirvesselscomplywiththelawsandregulationsofthatStateandinternationallaw.



Note:Ifthestockisfullymanagedbyonestateandthereisnoneedforsharedstockresearch(betweentwoormorejurisdictions),thenthisclauseisnotapplicable.

Process:Thereisasysteminplacetomanagetheconductofresearchvesselsoperatinginwatersunderthejurisdictionofotherstates

CurrentStatus/Appropriateness/Effectiveness:Ifso,thereisrecordofsuchsharedresearchactivitiesandtheycomplywithrequiredregulations.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludesurveyreports.

4.8 Statesshallpromotetheadoptionofuniformguidelinesgoverningfisheriesresearchconducted

on the high seas and shall, where appropriate, support the establishment of mechanisms,including,interalia,theadoptionofuniformguidelines,tofacilitateresearchatthesub-regionalorregionallevelandshallencouragethesharingofsuchresearchresultswithotherregions.

FAOCCRF12.15,12.16

LowConfidenceRating MediumConfidence MediumConfidence HighConfidenceRating


50 (CriticalNC) Rating(MajorNC) Rating(MinorNC) (FullConformance)

Doesnotpromoteadoptionofuniformguidelinesgoverninghighseasresearchorsharingofdatabetweenregionsorsub-regions.


Insufficientlypromoteadoptionofuniformguidelinesgoverninghighseasresearchandsharingofdatabetweenregionsorsub-regions.


Moderatelypromoteadoptionofuniformguidelinesgoverninghighseasresearchandsharingofdatabetweenregionsorsub-regions.


Statespromotetheadoptionofuniformguidelinesgoverningfisheriesresearchconductedonthehighseasand,whereappropriate,supporttheestablishmentofmechanisms,including,interalia,theadoptionofuniformguidelines,tofacilitateresearchatthesub-regionalorregionallevelandencouragethesharingofsuchresearchresultswithotherregions.



Ifthestockisfullymanagedbyonestateandthereisnoneedforsharedstockresearch(betweentwoormorejurisdictions),thenthisclauseisnotapplicable.

Process:Thereisamechanisminplacetoallowthedevelopmentandreviewofguidelinesgoverningfisheriesresearchconductedonthehighseas.

CurrentStatus/Appropriateness/Effectiveness:Thereisarecordofuniformhighseasresearchguidelinesoramechanismtocreatethem.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludesurveyreports,highseasguidelines.

4.9 Statesandrelevantinternationalorganizationsshallpromoteandenhancetheresearchcapacitiesofdevelopingcountries,interalia,intheareasofdatacollectionandanalysis,information,scienceandtechnology,human resourcedevelopmentandprovisionof research facilities, inorder for them toparticipate effectively in the conservation, management and sustainable use of living aquaticresources.

FAOCCRF12.18

LowConfidenceRating MediumConfidence MediumConfidence HighConfidenceRating



Doesnotenhanceresearchcapacityofdevelopingcountries.


Insufficientlyenhanceresearchcapacityofdevelopingcountries.


Moderatelyenhanceresearchcapacityofdevelopingcountries.


Statesandrelevantinternationalorganizationspromoteandenhancetheresearchcapacitiesofdevelopingcountries,interalia,intheareasofdatacollectionandanalysis,information,scienceandtechnology,humanresourcedevelopmentandprovisionofresearchfacilities,inorderforthemtoparticipateeffectivelyintheconservation,managementandsustainableuseoflivingaquaticresources.



Note:ThisclauseisonlyapplicablewhentheUnitofCertificationincludesatransboundarystockwhichisfishedbyoneormoredevelopingcountries.

Process:Thereisamechanisminplacebywhichtheresearchcapacitiesofdevelopingcountriescanbedevelopedandenhanced.Thiscouldinclude,butisnotlimitedto,theprovisionofpersonnel,equipment,orfunding,orcooperationondatacollectionandstockassessment.

CurrentStatus/Appropriateness/Effectiveness:TherearerecognizableexamplesofinstancesinthehistoryofthefisheryunderassessmentwhereactionsbythemanagersoftheUnitofCertificationhavepromotedorenhancedtheresearchcapacityofoneormoredevelopingnationsinthewaysdescribedabove.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousdataorreports.


52

4.10 Competent national organizations shall, where appropriate, render technical and financialsupporttoStatesuponrequestandwhenengagedinresearchinvestigationsaimedatevaluatingstockswhichhavebeenpreviouslyunfishedorverylightlyfished.

FAOCCRF12.19





(FullConformance)

Doesnotrendertechnicalandfinancialsupport.


Insufficientlyrendertechnicalandfinancialsupport.


Moderatelyrendertechnicalandfinancialsupport.


Competentnationalorganizations,whereappropriate,rendertechnicalandfinancialsupporttoStatesuponrequestandwhenengagedinresearchinvestigationsaimedatevaluatingstockswhichhavebeenpreviouslyunfishedorverylightlyfished.



Note:Thiscriteriondoesnotapplytofullydevelopedfisheries,asdefinedbytheFAO.TheFAOdefinitionofadevelopedfisheryis"afisherywhich,followingaperiodofrapidandsteadyincreaseoffishingpressureandcatches,hasreacheditslevelofmaximumaverageyearlyproduction.Itisusuallyunderstoodthatsuchafisheryisyieldingclosetoitsmaximumsustainableyield”.

Process:ThereisamechanismtoallowanationalorganizationtorendertechnicalandfinancialsupporttotheState.

CurrentStatus/Appropriateness/Effectiveness:Thereisarecordoftheprovidedtechnicalandfinancialsupport.



53

4.11 Relevanttechnicalandfinancialinternationalorganizationsshall,uponrequest,supportStatesintheirresearchefforts,devotingspecialattentiontodevelopingcountries, inparticularthe leastdevelopedamongthemandsmallislanddevelopingcountries.

FAOCCRF12.20





(FullConformance)

Competentnationalorganizations,whereappropriate,donotrendertechnicalandfinancialsupporttowardsresearcheffort.


Competentnationalorganizations,whereappropriate,insufficientlyrendertechnicalandfinancialsupporttowardsresearcheffort.


Competentnationalorganizations,whereappropriate,moderatelyrendertechnicalandfinancialsupporttowardsresearcheffort.


Competentnationalorganizations,whereappropriate,rendertechnicalandfinancialsupporttoStatesuponrequestandwhenengagedinresearchinvestigationsaimedatevaluatingstockswhichhavebeenpreviouslyunfishedorverylightlyfished.



Note:thisclauseisrelevantwherethefisheryiswithinadevelopingregion/smallislandregionandmanagementoftheresourceisperformedthroughaninternationalorganization.

Process:Theinternationalmanagementcomponentofthefisheryisengagedinprocessesthatsupportthefisherybasedindevelopingcountries.

CurrentStatus/Appropriateness/Effectiveness:Thereisarecordoftheprovidedtechnicalandfinancialsupport.



54

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 An appropriate institutional framework shall be established to determine the applied researchwhichisrequiredanditsproperuse(i.e.assess/evaluatestockassessmentmodel/practices)forfisherymanagementpurposes.

FAOCCRF12.2,12.6





(FullConformance)

Establishmentofappropriateinstitutionalframeworkforappliedresearchdoesnotexist.


Theappropriateinstitutionalframeworkisestablishedtodeterminetheappliedresearchrequired,butthereisinsufficientuseforfisherymanagementpurposes.


Theappropriateinstitutionalframeworkisestablishedtodeterminetheappliedresearchrequired,butthereismoderateuseforfisherymanagementpurposes.


Anappropriateinstitutionalframeworkisestablishedtodeterminetheappliedresearchrequired,anditsproperuse(i.e.,assessandevaluatestockassessmentmodelsorpractices)forfisherymanagementpurposes.



Process:Thereisanestablishedinstitutionalframeworkforfisherymanagementpurposesthatdeterminesappliedresearchneedsanduse.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencetosubstantiatethatessentialresearchforfisherymanagementpurposesisdeterminedandcarriedout.Thisresearchgenerallyincludesroutinestock(s)andecosystemassessmentreports.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludedescriptionoftheoverallprocessofresearchassessmentandpeerreview,stockandecosystemassessmentreports.

5.1.1Withtheuseoflesselaboratemethodsforstockassessmentfrequentlyusedforsmallscaleorlowvaluecapturefisheriesresultingingreateruncertaintyaboutthestateofthestockunder


55 consideration,moreprecautionaryapproachestomanagingfisheriesonsuchresourcesshallbe

required,includingwhereappropriate,lowerlevelofutilizationofresources.Arecordofgoodmanagementperformancemaybeconsideredassupportingevidenceoftheadequacyandthemanagementsystem.

FAOEco(2011)42





(FullConformance)

Withtheuseoflesselaboratemethodsforstockassessmentfrequentlyusedforsmallscaleorlowvaluecapturefisheries,moreprecautionaryapproachestomanagingfisheriesonsuchresourcesarenotrequired,includingwhereappropriate,lowerlevelofutilizationofresources.


Withtheuseoflesselaboratemethodsforstockassessmentfrequentlyusedforsmallscaleorlowvaluecapturefisheries,moreprecautionaryapproachestomanagingfisheriesonsuchresourcesareinsufficientlyrequired,includingwhereappropriate,lowerlevelofutilizationofresources.


Withtheuseoflesselaboratemethodsforstockassessmentfrequentlyusedforsmallscaleorlowvaluecapturefisheries,moreprecautionaryapproachestomanagingfisheriesonsuchresourcesaremoderatelyrequired,includingwhereappropriate,lowerlevelofutilizationofresources.


Withtheuseoflesselaboratemethodsforstockassessmentfrequentlyusedforsmallscaleorlowvaluecapturefisheries,moreprecautionaryapproachestomanagingfisheriesonsuchresourcesarerequired,includingwhereappropriate,lowerlevelofutilizationofresources.



Note:ifthefisheryforthestockunderconsiderationhassufficientdatacollectedthroughregularstockassessmentactivitiesforitsmanagementthenthisclausecanbescoredwithfullconformance.

Process:Thereisaprocessthatallowsfortheapplicationofmoreprecautionaryapproachestomanagingfisheries(e.g.lowerexploitationrates)onresourcesassessedthroughstockassessmentmethodsresultingingreateruncertaintyaboutthestateofthestockunderconsideration.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencefortheapplicationofprecautionaryapproachestomanagingfisheries(e.g.lowerexploitationrates)onresourcesassessedthroughstockassessmentmethodsresultinginingreateruncertaintyaboutthestateofthestockunderconsideration.


5.1.2Statesshallensurethatappropriateresearchisconductedintoallaspectsoffisheriesincludingbiology,ecology,technology,environmentalscience,economics,socialscience,aquacultureandnutritionalscience.Resultsofanalysesshallbedistributedinatimelyandreadilyunderstandablefashioninorderthatthebestscientificevidenceismadeavailableasacontributiontofisheries


56 conservation,managementanddevelopment.Statesshallalsoensuretheavailabilityofresearch

facilitiesandprovideappropriatetraining,staffingandinstitutionbuildingtoconducttheresearch,takingintoaccountthespecialneedsofdevelopingcountries.

FAOCCRF(1995)12.1/7.4.2





(FullConformance)Thestatedoesnotconductandmakeavailableappropriateresearchintothefollowingaspectsoffisheries:biology,ecology,technology,environmentalscience,economics,socialscience,aquacultureandnutritionalscience,orprovideappropriatetraining,staffingandinstitutionbuildingtoconducttheresearch.


Thestateconductsandmakesavailableinsufficientlyappropriateresearchintothefollowingaspectsoffisheries:biology,ecology,technology,environmentalscience,economics,socialscience,aquacultureandnutritionalscience,orprovideappropriatetraining,staffingandinstitutionbuildingtoconducttheresearch.


Thestateconductsandmakesavailablemoderatelyappropriateresearchintothefollowingaspectsoffisheries:biology,ecology,technology,environmentalscience,economics,socialscience,aquacultureandnutritionalscience,orprovideappropriatetraining,staffingandinstitutionbuildingtoconducttheresearch.


Statesensurethatappropriateresearchisconductedintoallaspectsoffisheriesincludingbiology,ecology,technology,environmentalscience,economics,socialscience,aquacultureandnutritionalscience.Theresearchisdisseminatedaccordingly.Statesalsoensuretheavailabilityofresearchfacilitiesandprovideappropriatetraining,staffingandinstitutionbuildingtoconducttheresearch,takingintoaccountthespecialneedsofdevelopingcountries.



Process:Thereareorganizationsandprocessesinplacetopermitresearchintoallaspectsoffisheries,aslistedintheclause.

CurrentStatus/Appropriateness/Effectiveness:Researchiscarriedoutinfisheriesbiology,fisheriesecology,fisheriestechnology,environmentalscience,fisherieseconomics,socialscience,aquaculture,nutritionalscience.Infisherieswherethereisnodemonstrablenutritionalsciencebeingconducted,butallothertypesofresearcharecarriedout,thefisheryshallbedeemedcompliantwiththisevaluationparameter.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludestockassessment,economicvalue,fleetandotherreports.

5.2 There shall be established research capacity necessary to assess and monitor 1) the effects ofclimate or environment change on fish stocks and aquatic ecosystems, 2) the state of the stockunder State jurisdiction, and for 3) the impacts of ecosystem changes resulting from fishingpressure,pollutionorhabitatalteration.


57 FAOCCRF(1995)12.5

FAOEco(2009)31

LowConfidenceRating




(FullConformance)

Thereisnoestablishedcapacityforassessmentandmonitoringof1)theeffectsofclimateorenvironmentchangeonfishstocksandaquaticecosystems,2)thestateofthestockunderStatejurisdiction,andfor3)theimpactsofecosystemchangesresultingfromfishingpressure,pollutionorhabitatalteration.


Thereisaninsufficientlyestablishedcapacityforassessmentandmonitoringof1)theeffectsofclimateorenvironmentchangeonfishstocksandaquaticecosystems,2)thestateofthestockunderStatejurisdiction,andfor3)theimpactsofecosystemchangesresultingfromfishingpressure,pollutionorhabitatalteration.


Thereisamoderatelyestablishedcapacityforassessmentandmonitoringof1)theeffectsofclimateorenvironmentchangeonfishstocksandaquaticecosystems,2)thestateofthestockunderStatejurisdiction,andfor3)theimpactsofecosystemchangesresultingfromfishingpressure,pollutionorhabitatalteration.


Thereisestablishedresearchcapacitynecessarytoassessandmonitor1)theeffectsofclimateorenvironmentchangeonfishstocksandaquaticecosystems,2)thestateofthestockunderStatejurisdiction,andfor3)theimpactsofecosystemchangesresultingfromfishingpressure,pollutionorhabitatalteration.



Process:Thereisasystemthatestablishestherequiredresearchcapacityneededtoassessandmonitor1)theeffectsofclimateorenvironmentchangeonfishstocksandaquaticecosystems,2)thestateofthestockunderStatejurisdiction,andfor3)theimpactsofecosystemchangesresultingfromfishingpressure,pollutionorhabitatalteration.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencetodemonstratethatthereissufficientresearchcapacityinplaceforassessingandmonitoringthestateofthestockunderconsideration,impactsoffishingpressure,pollutionandhabitatalterationandtheeffectsofclimateorenvironmentchangeonfishstocksandaquatic.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludestock,ecosystemandhabitatassessmentreports.


58

5.3 Management organizations shall cooperate with relevant international organizations toencourageresearchinordertoensureoptimumutilizationoffisheryresources.

FAO12.7





(FullConformance)

Thereisnocooperationofmanagementorganizationswithrelevantinternationalorganizationstoencourageresearchinordertoensureoptimumutilizationoffisheryresources.


Thereisinsufficientcooperationofmanagementorganizationswithrelevantinternationalorganizationstoencourageresearchinordertoensureoptimumutilizationoffisheryresources.


Thereismoderatecooperationofmanagementorganizationswithrelevantinternationalorganizationstoencourageresearchinordertoensureoptimumutilizationoffisheryresources.


Managementorganizationscooperatewithrelevantinternationalorganizationstoencourageresearchinordertoensureoptimumutilizationoffisheryresources.



Process:Thereiscooperationorinteractionbetweeninternationalorganizationstoensureoptimumutilizationofresource.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceavailabletosubstantiatethatsuchcooperationorinteractionhastakenplace.Thereisdataavailablethatsubstantiatescooperationactivities.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludeoutputsresultingfrommeetingsorotherresearch.


59

5.4 Thefisherymanagementorganizationsshalldirectly,orinconjunctionwithotherStates,developcollaborative technical and research programs to improve understanding of the biology,environmentandstatusoftransboundaryaquaticstocks.

FAOCCRF12.7,12.17





(FullConformance)

Thereisnodevelopmentofcollaborativetechnicalandresearchprogramstoimproveunderstandingofthebiology,environmentandstatusoftransboundaryaquaticstocks.


Thereisinsufficientdevelopmentcollaborativetechnicalandresearchprogramstoimproveunderstandingofthebiology,environmentandstatusoftransboundaryaquaticstocks.


Thereismoderatedevelopmentofcollaborativetechnicalandresearchprogramstoimproveunderstandingofthebiology,environmentandstatusoftransboundaryaquaticstocks.


Thefisherymanagementorganizationsdirectly,orinconjunctionwithotherStates,developcollaborativetechnicalandresearchprogramstoimproveunderstandingofthebiology,environmentandstatusoftransboundaryaquaticstocks.



Notapplicableifstockinnottransboundaryinnature.

Process:Thecollaborativetechnicalandresearchprogramstoimproveunderstandingofthebiology,environmentandstatusoftransboundaryaquaticstockshavebeendeveloped.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceavailabletosubstantiatethatsuchcooperationorinteractionhastakenplace.Therearedataonsuchcollaborationsfortransboundaryaquaticstockunderstanding.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludeoutputsresultingfrommeetingsorotherresearch.

5.5 Datageneratedbyresearchshallbeanalyzedandtheresultsofsuchanalysespublishedinawaythatensuresconfidentialityisrespected,whereappropriate.


60





(FullConformance)

Thereisnoanalysisofresearchdata,orpublicationofthatdatainawaythatensuresconfidentiality,whereappropriate.


Thereisinsufficientanalysisofresearchdataorpublicationofthatdatainawaythatensuresconfidentiality,whereappropriate.


Thereismoderateanalysisofresearchdata,orpublicationofthatdatainawaythatensuresconfidentiality,whereappropriate.


Datageneratedbyresearchisanalyzedandtheresultsofsuchanalysespublishedinawaythatensuresconfidentialityisrespected,whereappropriate.



Process:Thereisaprocessthatallowsanalysisofresearchdata,ensuring,whereappropriate,theirconfidentiality.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencedatawasproperlyanalyzed.Datawaspublishedrespecting,whereappropriate,confidentialityagreements.Therulesofconfidentialityareeffectivelyrespected.



61

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.





(FullConformance)

Nosafetargetreferencepointshavebeenestablished.


Targetreferencepointshavebeenestablishedbutconsideredinsufficientlysafe.


Targetreferencepointshavebeenestablishedbutconsideredmoderatelysafe.


TargetreferencepointshavebeenestablishedandareconsistentwithachievingMSY.



Process:Atargetreferencepoint(s)orproxyhasbeenofficiallyestablished.Managersshallbeabletoapplytechnicalmeasurestoreducefishingpressureintheeventthatreferencepointsareapproachedorexceeded.

CurrentStatus/Appropriateness/Effectiveness:Theofficialtargetreferencepointorproxyisconsistentwithachievingmaximumsustainableyield(MSY)orasuitableproxy,andthereisevidencethatithasbeenusedasanobjectivebythemanagementprocess.Iftherearehistoricalinstancesofthereferencepointbeingapproachedorexceeded,managershavetakenremedialactionasappropriate.Inthecontextofreferencepoints,whendataareinsufficienttoestimatereferencepointsdirectlyothermeasuresofproductivecapacitycanserveasreasonablesubstitutesor“proxies”.Suitableproxiesmaybe,forexample,standardizedcpueasaproxyforbiomassorspecificlevelsoffishingmortalityandbiomasswhichhaveprovenusefulinotherfisheriesandcanbeusedwithareasonabledegreeofconfidenceintheabsenceofbetterdefinedlevels.Itisimportanttonotethattheuseofaproxymayinvolveadditionaluncertainty,andifso,shouldtriggertheuseofextraprecautioninthesettingofbiologicalreferencepoints.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludestockassessmentreportsorfisherymanagementplans.


62 6.2 Statesshallestablishsafelimitreferencepoint(s)forexploitation(i.e.consistentwith

avoidingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible).Whenalimitreferencepointisapproached,measuresshallbetakentoensurethatitwillnotbeexceeded.Forinstance,iffishingmortality(oritsproxy)isabovetheassociatedlimitreferencepoint,actionsshouldbetakentodecreasethefishingmortality(oritsproxy)belowthatlimitreferencepoint.





Nosafelimitreferencepointsforexploitationhavebeenestablished.


Limitreferencepointisestablishedbutconsideredinsufficientlysafe,andmeasurestakenareinsufficienttoensurethatitwillnotbeexceeded.


Limitreferencepointisestablishedbutconsideredmoderatelysafe,andmeasurestakenaremoderatetoensurethatitwillnotbeexceeded.


Thereareestablishedsafelimitreferencepoint(s)forexploitation(i.e.consistentwithavoidingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible).Whenalimitreferencepointisapproached,measuresaretakentoensurethatitwillnotbeexceeded.Forinstance,iffishingmortality(oritsproxy)isabovetheassociatedlimitreferencepoint,actionsaretakentodecreasethefishingmortality(oritsproxy)belowthatlimitreferencepoint.


EvaluationParametersProcess:Ascientificallybasedlimitreferencepointorproxyhasbeenofficiallyestablished,togetherwiththemeasuretobetakentoensureitwillnotbeexceeded.CurrentStatus/Appropriateness/Effectiveness:Thestockunderassessmentshallnotcurrentlybeoverfished(asdefinedbythecompetentAlaskaauthorities)accordingtothebestavailablescientificunderstanding.Thestockiscurrentlyestimatedtobeonthesustainablesideofthisreferencepoint(e.g.SSBisabovelimitreferencepoint,FisbelowFlim,etc.).Thelimitreferencepointorproxyisconsistentwithavoidingrecruitmentoverfishingandotherseverenegativeimpactsonthestock.Therearemechanismsinplace(e.g.harvestcontrolruleormechanism)toensurethattheleveloffishingpressureisreducedifthelimitreferencepointisapproachedorreached,andthesemechanismsareconsistentwithensuringtoahighdegreeofcertaintythatthelimitreferencepointwillnotbeexceededandthatactionsaretakentodecreasethefishingmortality(oritsproxy)belowthatlimitreferencepoint.ThelevelofBlimshouldbesetonthebasisofhistoricalinformation,applyinganappropriatelevelofprecautionaccordingtothereliabilityofthatinformation.Inaddition,anupperlimitshouldbesetonfishingmortality,Blim,whichisthefishingmortalityratethat,ifsustained,woulddrivebiomassdowntotheBlimlevelItisimportanttoclarifythatforsalmon,spawningescapementgoalsareasuitableproxyfortheintentofthisclause.Escapementgoalperformanceshallbeconsideredasasuitablereferencepointforsalmonmanagement.Specifictothispoint,underperformingsalmonstocksthatdonotmeettheirescapementgoalsshallbeappropriatelymanagedwithintheStockofConcernframeworkbytheStateofAlaskaandscoredaccordinglywithintheassessment.



63 6.3 Dataandassessmentproceduresshallbeinstalledmeasuringthepositionofthefisheryinrelation

to the reference points. Accordingly, the stock under consideration shall not be overfished (i.e.abovelimitreferencepointorproxy)andtheleveloffishingpermittedshallbecommensuratewiththe current state of the fishery resources,maintaining its future availability, taking into accountthat long term changes in productivity canoccur due to natural variability and/or impacts otherthanfishing.

FAOCCRF(1995)7.5.3,7.6.1FAOEco(2009)29.2-29.2bis,29.6,30-30.2





Thereisnomeasurementofthepositionofthefisheryinrelationtothereferencepointsexists,andmaintenanceoftheleveloffishingpermittedisnotcommensurate(i.e.avoidingoverfishing)withthecurrentstateofthefisheryresources.


Themeasurementofthepositionofthefisheryinrelationtothereferencepointsiscarriedout,butthemaintenanceoftheleveloffishingpermittedisinsufficientlycommensurate(i.e.avoidingoverfishing)withthecurrentstateofthefisheryresources.


Themeasurementofthepositionofthefisheryinrelationtothereferencepointsiscarriedout,butthemaintenanceoftheleveloffishingpermittedisonlymoderatelycommensurate(i.e.avoidingoverfishing)withthecurrentstateofthefisheryresources.


Dataandassessmentproceduresareinstalledmeasuringthepositionofthefisheryinrelationtothereferencepoints.Accordingly,thestockunderconsiderationisnotoverfished(i.e.itisabovelimitreferencepointorproxy)andtheleveloffishingpermittediscommensuratewiththecurrentstateofthefisheryresources,maintainingitsfutureavailability,takingintoaccountthatlongtermchangesinproductivitycanoccurduetonaturalvariabilityand/orimpactsotherthanfishing.



Process:Dataandassessmentprocedures(i.e.stockassessmentprocess)areinplacetomeasurethepositionofthefisheryinrelationtothetargetandlimitreferencepoints.

CurrentStatus/Appropriateness/Effectiveness:Thecurrentstatusofthestockinrelationtoreferencepoints,isusedtodeterminetheleveloffishingpermitted,toensurethelatteriscommensuratewiththecurrentstateofthefisheryresources(i.e.closetoorabovetargetreferencepointandmostimportantly,notoverfishedorbelowitslimitreferencepointorproxy)takingintoaccountthatlongtermchangesinproductivitycanoccurduetonaturalvariabilityand/orimpactsotherthanfishing.Thestockshallbeideallypositionedabovethemidwaypointbetweentargetandlimitreferencepoint.Itisimportanttoclarifythat,forsalmon,spawningescapementgoalsareasuitableproxyfortheintentofthisclause.Escapementgoalperformanceshallbeconsideredasasuitablereferencepointforsalmonmanagement.Specifictothispoint,underperformingsalmonstocksthatdonotmeettheirescapementgoalsshallbeappropriatelymanagedwithintheStockofConcernframeworkbytheStateofAlaska.



64

6.4Managementactionsshallbeagreedtointheeventualitythatdatasourcesandanalysesindicatethatthesereferencepointshavebeenexceeded.

FAOCCRF(1995)7.5.3

FAOEco(2009)29.6,30.2

FAOEco(2011)36.3





(FullConformance)

Thereisnoagreementofmanagementactionsintheeventualitythatdatasourcesandanalysesindicatethatreferencepointshavebeenexceeded.


Thereisaninsufficientlyeffectiveagreementofmanagementactionsintheeventualitythatdatasourcesandanalysesindicatethatreferencepointshavebeenexceeded.


Thereisamoderatelyeffectiveagreementofmanagementactionsintheeventualitythatdatasourcesandanalysesindicatethatreferencepointshavebeenexceeded.


Managementactionsareagreedintheeventualitythatdatasourcesandanalysesindicatethatthesereferencepointshavebeenexceeded.



Process:Thereisanagreedprocessorsystemintheeventualitythatthedatasourcesandanalysesindicatethatthesereferencepointshavebeenexceeded.

CurrentStatus/Appropriateness/Effectiveness:Intheeventualitythatthecurrentlevelofthestockhasexceededtargetorlimitreferencepoint,theagreedmanagementaction(i.e.,harvestcontrolruleorframework)shallbeimmediatelyimplementedandfishingreducedorhaltedasnecessary.Theharvestcontrolruleiseffectiveatkeepingorbringingbackthestockatacceptablebiologicallevels(i.e.avoidoverfishing).



65

7. Managementactionsandmeasuresfortheconservationofstockandtheaquaticenvironmentshallbebasedontheprecautionaryapproach.Whereinformationisdeficientasuitablemethodusingriskassessmentshallbeadoptedtotakeintoaccountuncertainty.

FAOCCRF(1995)7.5.1/7.5.4/7.5.5/12.3

FAOECO(2009)29.6/32

FAOEco(2011)36.7

7.1 The precautionary approach shall be applied widely to conservation, management andexploitation of living aquatic resources in order to protect them and preserve the aquaticenvironment. This should take due account of stock enhancement procedures, whereappropriate.Absenceof scientific information shall not beused as a reason for postponingorfailing to take conservation andmanagementmeasures. Relevant uncertainties shall be takenintoaccountthroughasuitablemethodofriskassessment, includingthoseassociatedwiththeuseofintroducedortranslocatedspecies1.

FAOEco(2009)29.6

FAOEco(2011)36.7





(FullConformance)

Theprecautionaryapproachisnotappliedtoconservation,managementandexploitationoflivingaquaticresources.


Theprecautionaryapproachisinsufficientlyappliedtoconservation,managementandexploitationoflivingaquaticresources.


Theprecautionaryapproachismoderatelyappliedtoconservation,managementandexploitationoflivingaquaticresources.


Theprecautionaryapproachisappliedtoconservation,managementandexploitationoflivingaquaticresourcesinordertoprotectthemandpreservetheaquaticenvironment.


1FAOTechnicalGuidelinesforResponsibleFisheriesNo.2–Precautionaryapproachtocapturefisheriesandspeciesintroductions.



Process:Therearemanagementmeasures,regulations,andlawsthatcommandordirectfortheuseoftheprecautionaryapproach(PA)toconservation,managementandexploitationoftheaquaticresourcesunderassessment.ThiscouldeithertaketheformofanexplicitcommitmenttotheapplicationofthePA,orcouldbeevidencedbyanover-archingapproachappliedthroughoutthemanagementliterature.

CurrentStatus/Appropriateness/Effectiveness:ThereisevidenceforthepracticalapplicationofthePAtoresourcemanagementandconservation.NotethatthePAmaybeintegratedinstockassessmentpractices,inspecificmanagementmeasuresenactedforeverydayfisheriesoperations,orothermeasures.ApplicationofthePAtakesindueaccountofstockenhancementprocedures,whereappropriate,andrelevantuncertaintiesaretakenintoaccountusingasuitablemethodofriskassessment,includingthoseassociatedwiththeuseofintroducedortranslocatedspecies.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludestockassessmentreports,fisherymanagementplansandotherdocuments.

7.1.1Inimplementingtheprecautionaryapproach,Statesshalltakeintoaccount,interalia,ofuncertaintiesrelatingtothesizeandproductivityofthestocks,referencepoints,stock


67 conditioninrelationtosuchreferencepoints,levelsanddistributionoffishingmortality

andtheimpactoffishingactivities,includingdiscards,onnon-targetandassociatedordependentspeciesaswellasenvironmentalandsocio-economicconditions.

FAOCCRF(1995)7.5.2





(FullConformance)

Thereisnoimplementationoftheprecautionaryapproach,takingintoaccountuncertaintiesrelatingtothesizeandproductivityofthestocks,referencepoints,stockconditioninrelationtosuchreferencepoints,levelsanddistributionoffishingmortalityandtheimpactoffishingactivities,includingdiscards,onnon-targetandassociatedordependentspecies,aswellasenvironmentalandsocio-economicconditions.


Thereisinsufficientimplementationoftheprecautionaryapproach,takingintoaccountuncertaintiesrelatingtothesizeandproductivityofthestocks,referencepoints,stockconditioninrelationtosuchreferencepoints,levelsanddistributionoffishingmortalityandtheimpactoffishingactivities,includingdiscards,onnon-targetandassociatedordependentspecies,aswellasenvironmentalandsocio-economicconditions.


Thereismoderateimplementationoftheprecautionaryapproach,takingintoaccountuncertaintiesrelatingtothesizeandproductivityofthestocks,referencepoints,stockconditioninrelationtosuchreferencepoints,levelsanddistributionoffishingmortalityandtheimpactoffishingactivities,includingdiscards,onnon-targetandassociatedordependentspeciesas,wellasenvironmentalandsocio-economicconditions.


Inimplementingtheprecautionaryapproach,theStatetakesintoaccount,interalia,uncertaintiesrelatingtothesizeandproductivityofthestocks,referencepoints,stockconditioninrelationtosuchreferencepoints,levelsanddistributionoffishingmortalityandtheimpactoffishingactivities,includingdiscards,onnon-targetandassociatedordependentspeciesaswellasenvironmentalandsocio-economicconditions.



Process:Thereisasysteminplaceunderwhichthepotentialuncertaintieslistedabovecanbeexaminedandtakenintoaccountduringthedecision-makingprocess.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencetodemonstratethatinthefisheryunderassessment,uncertaintiesconsideredincludethoseassociatedwiththesizeandproductivityofthestocks,referencepoints,stockconditioninrelationtosuchreferencepoints,levelsanddistributionoffishingmortalityandtheimpactoffishingactivities,includingdiscards,onnon-targetandassociatedordependentspeciesaswellasenvironmentalandsocio-economicconditions.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludestockassessmentreports,fisherymanagementplansandotherdocuments.

7.1.2 Intheabsenceofadequatescientificinformation,appropriateresearchshallbeinitiatedinatimelyfashion.

FAOCCRF(1995)7.5.1,12.3


68 FAOEco(2009)29.6/32





(FullConformance)

Intheabsenceofadequatescientificinformation,appropriateresearchisnotinitiatedinatimelyfashion.


Intheabsenceofadequatescientificinformation,appropriateresearchissometimeinitiatedinatimelyfashion.


Intheabsenceofadequatescientificinformation,appropriateresearchisofteninitiatedinatimelyfashion.


Intheabsenceofadequatescientificinformation,appropriateresearchisinitiatedinatimelyfashion.



Process:Thereisaprocessthatidentifiesweaknessesinthescientificinformationavailabletofisherymanagers,andinitiatesadditionalresearchasnecessary.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencethatsuchaprocesshasbeenappliedinthecaseofthefisheryunderassessment,includingexamplesofinitiatedresearch.Dependingonthesituation,appropriateresearchorfurtheranalysisoftheidentifiedriskisinitiatedinatimelyfashion.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousdataorscientificreports.

7.2 In the case of new or exploratory fisheries, States shall adopt as soon as possible cautiousconservationandmanagementmeasures,including,interalia,catchlimitsandeffortlimits.Suchmeasuresshouldremaininforceuntiltherearesufficientdatatoallowassessmentoftheimpactof the fisheries on the long-term sustainability of the stocks, whereupon conservation andmanagementmeasuresbasedonthatassessmentshouldbeimplemented.Thelattermeasuresshould,ifappropriate,allowforthegradualdevelopmentofthefisheries.


69 FAOCCRF(1995)7.5.4





(FullConformance)

Fornewandexploratoryfisheries,noproceduresareinplaceforpromptlyapplyingprecautionarymanagementmeasures,includingcatchoreffortlimits,andnoprovisionshavebeenmadefortheirgradualintroductionanddevelopment,byestablishingcautiousconservationmeasureswhilesufficientdataarecollectedtoevaluatetheimpactsofthenewfishery.


Fornewandexploratoryfisheries,insufficientlyeffectiveproceduresareinplaceforpromptlyapplyingprecautionarymanagementmeasures,includingcatchoreffortlimits,andinsufficientprovisionshavebeenmadefortheirgradualintroductionanddevelopment,byestablishingcautiousconservationmeasureswhilesufficientdataarecollectedtoevaluatetheimpactsofthenewfishery.


Fornewandexploratoryfisheries,moderatelyeffectiveproceduresareinplaceforpromptlyapplyingprecautionarymanagementmeasures,includingcatchoreffortlimits,andmoderateprovisionshavebeenmadefortheirgradualintroductionanddevelopment,byestablishingcautiousconservationmeasureswhilesufficientdataarecollectedtoevaluatetheimpactsofthenewfishery.


Inthecaseofneworexploratoryfisheries,Statesadoptassoonaspossiblecautiousconservationandmanagementmeasures,including,interalia,catchlimitsandeffortlimits.Suchmeasuresremaininforceuntiltherearesufficientdatatoallowassessmentoftheimpactofthefisheriesonthelong-termsustainabilityofthestocks,whereuponconservationandmanagementmeasuresbasedonthatassessmentareimplemented.Thelattermeasuresallow,ifappropriate,forthegradualdevelopmentofthefisheries.



Note.Thisclauseisonlyapplicableforneworexploratoryfisheries.

Process:Forneworexploratoryfisheriesthereisaprocessthatallowstheimmediateapplicationofprecautionarymanagementmeasuresandprovisions,includingcatchoreffortlimits,andfortheimpactassessmentofsuchfisheriesonthelong-termsustainabilityofthestocks.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencefortheimplementationofthesecatchandeffortlimits,andothermanagementmeasuresincludingtheimpactassessmentperformedforthesefisheries.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousdataorscientificreports.

7.3 Contingencyplansshallbeagreedinadvancefortheappropriatemanagementresponsetoseriousthreatstotheresourceasaresultofoverfishingoradverseenvironmentalchangesor


70 otherphenomenaadverselyaffectingthefisheryresource.Suchmeasuresmaybetemporary

andshallbebasedonbestscientificevidenceavailable.

FAOCCRF(1995)7.5.5





(FullConformance)

Nocontingencyplanhasbeendrawnuptointroducetemporarymanagementmeasurestoensurethatfishingactivitydoesnotexacerbateseriousthreatstotheresourcecausedbynaturalphenomena.


Acontingencyplanhasbeendrawnuptointroducetemporarymanagementmeasures,butitisinsufficientlyeffectivetoensurethatfishingactivitydoesnotexacerbateseriousthreatstotheresourcecausedbynaturalphenomena.


Acontingencyplanhasbeendrawnuptointroducetemporarymanagementmeasures,butitisonlymoderatelyeffectivetoensurethatfishingactivitydoesnotexacerbateseriousthreatstotheresourcecausedbynaturalphenomena.


Contingencyplansareagreedinadvancefortheappropriatemanagementresponsetoseriousthreatstotheresourceasaresultofoverfishingoradverseenvironmentalchangesorotherphenomenaadverselyaffectingthefisheryresource.Suchmeasuresmaybetemporaryarebebasedonbestscientificevidenceavailable.



Process:Thereisanagreedcontingencyplantoavoidseriousthreattotheresource.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceofeffectivenessforthiscontingencyplan.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludefisherymanagementplans,regulationsorotherrecords.

D. ManagementMeasures8. Managementshalladoptandimplementeffectivemanagementmeasuresdesignedto

maintainstocksatlevelscapableofproducingmaximumsustainableyields,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


71 8.1 Conservationandmanagementmeasuresshallbedesignedtoensurethelong-term

sustainabilityoffisheryresourcesatlevelswhichpromotetheobjectiveofoptimumutilization,andbebasedonverifiableandobjectivescientificand/ortraditional,fisherorcommunitysources.

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

FAOEco(2011)36.2





(FullConformance)

Therearenoeffectiveconservationandmanagementmeasuresdesignedtoensurelongtermsustainabilityoffisheryresourceatlevelswhichpromotetheobjectiveofoptimumutilizationbasedonverifiableandobjectiveinformation.


Thereareinsufficientlyeffectiveconservationandmanagementmeasuresdesignedtoensurelongtermsustainabilityoffisheryresourceatlevelswhichpromotetheobjectiveofoptimumutilizationbasedonverifiableandobjectiveinformation.


Therearemoderatelyeffectiveconservationandmanagementmeasuresdesignedtoensurelongtermsustainabilityoffisheryresourceatlevelswhichpromotetheobjectiveofoptimumutilizationbasedonverifiableandobjectiveinformation.


Conservationandmanagementmeasuresshallbedesignedtoensurethelong-termsustainabilityoffisheryresourcesatlevelswhichpromotetheobjectiveofoptimumutilization,andbebasedonverifiableandobjectivescientificand/ortraditional,fisherorcommunitysources.



Process:Theprocessbywhichmanagementmeasuresaredevelopedforthefisheryutilizesthebestavailablescientificevidence,includingtraditionalsourceswheretheseareverifiable,andalsoconsidersthecost-effectivenessandsocialimpactofpotentialnewmeasures.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencethatthemanagementmeasuresinplaceareeffectiveatachievingthelong-termoptimumyield,whichisdefinedbytheFAOas“theharvestlevelsforaspeciesthatachievesthegreatestoverallbenefits,includingeconomic,socialandbiologicalconsiderations”.Ifthestockhasbeenmaintainedabovethelimitreferencepointthisshallbetakenasevidencethatmanagementmeasuresareeffectiveinavoidingoverfishing.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludereports,fisherymanagementplans,regulationsorothermanagementmeasures.

8.1.1 Management targets are consistent with achieving maximum sustainable yield (MSY) (or asuitableproxy)onaverage,oralesserfishingmortalityifthatisoptimalinthecircumstancesofthe fishery (e.g. multispecies fisheries) or to avoid severe adverse impacts on dependentpredators.

FAOEco(2009)29.2FAOEco(2011)36.3






72 (FullConformance)

Managementtargetsarenotconsistent with achievingmaximum sustainable yield(MSY) (or a suitable proxy)on average, or a lesserfishing mortality if that isoptimalinthecircumstancesof the fishery (e.g.multispecies fisheries) or toavoid severe adverseimpacts on dependentpredators.


Management targets areinsufficientlyconsistentwithachieving maximumsustainableyield (MSY) (orasuitable proxy) on average,oralesserfishingmortalityifthat is optimal in thecircumstances of the fishery(e.g. multispecies fisheries)or to avoid severe adverseimpacts on dependentpredators.


Management targets aremoderately consistent withachieving maximumsustainableyield (MSY) (orasuitable proxy) on average,oralesserfishingmortalityifthat is optimal in thecircumstances of the fishery(e.g. multispecies fisheries)or to avoid severe adverseimpacts on dependentpredators.


Management targets areconsistent with achievingmaximum sustainable yield(MSY) (or a suitable proxy)on average, or a lesserfishing mortality if that isoptimalinthecircumstancesof the fishery (e.g.multispecies fisheries) or toavoid severe adverseimpacts on dependentpredators.



Process:ThereisaprocessthatallowsforthecreationofmanagementtargetsconsistentwithachievingMSYoraproxy,oralesserfishingmortalityifthatisoptimalinthecircumstancesofthefishery(e.g.multispeciesfisheries)ortoavoidsevereadverseimpactsondependentpredators.

CurrentStatus/Appropriateness/Effectiveness:ThereisevidenceofmanagementtargetsconsistentwithachievingMSYoraproxy,oralesserfishingmortalityifthatisoptimalinthecircumstancesofthefishery(e.g.multispeciesfisheries)ortoavoidsevereadverseimpactsondependentpredators. EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludestockassessmentreports,fisherymanagementplans,regulationsorothermanagementmeasures.

8.1.2Intheevaluationofalternativeconservationandmanagementmeasures,theircost-effectivenessandsocialimpactshallbeconsidered.

FAOCCRF(1995)7.6.7





(FullConformance)

Thereisnoevaluationofalternativeconservationand

Thereisinsufficientevaluationofalternative

Thereismoderateevaluationofalternative

Intheevaluationofalternativeconservationand


73 managementmeasureswith

considerationoftheircost-effectivenessandsocialimpact.


conservationandmanagementmeasureswithconsiderationoftheircost-effectivenessandsocialimpact.


conservationandmanagementmeasureswithconsiderationoftheircost-effectivenessandsocialimpact.


managementmeasures,theircost-effectivenessandsocialimpactareconsidered.



Process:Theprocessbywhichmanagementmeasuresaredevelopedforthefisheryallowsforconsiderationofthecost-effectivenessandsocialimpactofpotentialnewormodifiedmanagementmeasures.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencefortheconsiderationofthecost-effectivenessandsocialimpactofpotentialnewormodifiedmanagementmeasures.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludereports,fisherymanagementplans,regulationsorothermanagementmeasures.

8.1.3Studiesshallbepromotedwhichprovideanunderstandingofthecosts,benefitsandeffectsofalternativemanagementoptionsdesignedtorationalizefishing,inparticular,optionsrelatingtoexcessfishingcapacityandexcessivelevelsoffishingeffort.

FAOCCRF(1995)7.4.3





(FullConformance)

Studiesarenotpromotedonthecost,benefits,andeffectsofalternativemanagementoptionsforrationalizingfishing,

Thereisinsufficientpromotionofstudiesonthecost,benefits,andeffectsofalternativemanagementoptionsforrationalizing

Thereismoderatepromotionofstudiesonthecost,benefits,andeffectsofalternativemanagementoptionsforrationalizing

Studiesarepromotedwhichprovideanunderstandingofthecosts,benefitsandeffectsofalternativemanagementoptionsdesignedtorationalize


74 especiallyrelatingto

excessivecapacityoffishingeffort.


fishing,especiallyrelatingtoexcessivecapacityoffishingeffort.


fishing,especiallyrelatingtoexcessivecapacityoffishingeffort.


fishing,inparticular,optionsrelatingtoexcessfishingcapacityandexcessivelevelsoffishingeffort.



Process:Thereisaneedandaprocessthatallows,asappropriate,forstudiestounderstandthecosts,benefits,andeffectsofalternativemanagementoptionsdesignedtorationalizefishing.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceforstudiesconductedonofalternativemanagementoptionsdesignedtorationalizefishing.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousevaluationorreportsonfishingrationalization.

8.2 Statesshallprohibitdynamiting,poisoningandothercomparabledestructivefishingpractices.

FAOCCRF(1995)8.4.2





(FullConformance)

Thereisnoprohibitionofdynamiting,poisoningandothercomparabledestructivefishingpractices.

Thereisinsufficientlyeffectiveprohibitionofdynamiting,poisoningandothercomparabledestructivefishingpractices.

Thereismoderatelyeffectiveprohibitionofdynamiting,poisoningandothercomparabledestructivefishingpractices.

TheStateprohibitsdynamiting,poisoningandothercomparabledestructivefishingpractices.


75 Lackinginallparameters. Lackingintwoparameters. Lackinginoneparameter.



Process:Therearemanagementmeasures,orregulations,orlawsthatprohibitdestructivefishingpractices.

CurrentStatus/Appropriateness/Effectiveness:Theregulationsorlawseffectivelyprohibitdynamiting,poisoningandothercomparabledestructivefishingpractices.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludelaws,fisherymanagementplans,regulations,andenforcementdata.

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

FAOCCRF(1995)7.1.2,7.1.6,7.6.6





(FullConformance)

Noattemptshavebeenmadetoidentifyandconsultwithdomesticparties(givingduerecognitionwhere

Insufficientattemptshavebeenmadetoidentifyandconsultwithdomesticparties(givingdue

Moderateattemptshavebeenmadetoidentifyandconsultwithdomesticparties(givingdue

Statesseektoidentifydomesticpartieshavingalegitimateinterestintheuseandmanagementofthe


76 relevant,inaccordancewith

nationallawsandregulations,tothetraditionalpractices,needsandinterestsofindigenouspeopleandlocalfishingcommunitieswhicharehighlydependentontheseresourcesfortheirlivelihood)havingalegitimateinterestintheuseandmanagementoffisheriesresource.


recognitionwhererelevant,inaccordancewithnationallawsandregulations,tothetraditionalpractices,needsandinterestsofindigenouspeopleandlocalfishingcommunitieswhicharehighlydependentontheseresourcesfortheirlivelihood)havingalegitimateinterestintheuseandmanagementoffisheriesresource.


recognitionwhererelevant,inaccordancewithnationallawsandregulations,tothetraditionalpractices,needsandinterestsofindigenouspeopleandlocalfishingcommunitieswhicharehighlydependentontheseresourcesfortheirlivelihood)havingalegitimateinterestintheuseandmanagementoffisheriesresource.


fishery.Whendecidingonuse,conservationandmanagementoftheresource,duerecognitionisgiven,whererelevant,inaccordancewithnationallawsandregulations,tothetraditionalpractices,needsandinterestsofindigenouspeopleandlocalfishingcommunitieswhicharehighlydependentontheseresourcesfortheirlivelihood.Arrangementsaremadetoconsultalltheinterestedpartiesandgaintheircollaborationinachievingresponsiblefisheries.



Process:Thereisaprocessthatallowsforidentifyingandconsultingwithdomesticparties(givingduerecognitionwhererelevant,inaccordancewithnationallawsandregulations,tothetraditionalpractices,needsandinterestsofindigenouspeopleandlocalfishingcommunitieswhicharehighlydependentontheseresourcesfortheirlivelihood)havingalegitimateinterestintheuseandmanagementoffisheriesresource.

CurrentStatus/Appropriateness/Effectiveness:Inaccordancewithnationallawsandregulations,thereisevidencethatdomesticpartieshavingalegitimateinterestintheuseandmanagementofthefishery(asdescribedabove)havebeenidentifiedandencouragedtocollaborateinthefisheriesmanagementprocess.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludelaws,fisherymanagementplans,regulations,andmeetingrecords.

8.4 Mechanisms shall be established where excess capacity exists, to reduce capacity to levelscommensuratewithsustainableuseoftheresource.Fleetcapacityoperatinginthefisheryshallbemeasuredandmonitored.Statesshallmaintain, inaccordancewithrecognizedinternationalstandards and practices, statistical data, updated at regular intervals, on all fishing operationsandarecordofallauthorizationstofishallowedbythem.

FAOCCRF(1995)7.1.8,7.6.3,8.1.2,8.1.3





(FullConformance)

Thereisnomeasurementoffleetcapacityoperatinginthefleet,andmaintenanceofregularlyupdatedstatisticaldataonallfishing

Thereisinsufficientmeasurementoffleetcapacityoperatinginthefleet,andmaintenanceofregularlyupdatedstatistical

Thereismoderatemeasurementoffleetcapacityoperatinginthefleet,andmaintenanceofregularlyupdated,statistical

Thereiscollectionofmeasurementoffleetcapacityoperatinginthefleet,andmaintenanceofregularlyupdated,statistical


77 operationsallowed.

Furthermore,mechanismsarenotestablishedwhereexcesscapacityexists,toreducecapacitytolevelscommensuratewithsustainableuseoftheresource.


dataonallfishingoperationsallowed.Furthermore,mechanismsareinsufficientlyestablishedwhereexcesscapacityexists,toreducecapacitytolevelscommensuratewithsustainableuseoftheresource.


dataonallfishingoperationsallowed.Furthermore,mechanismsaremoderatelyestablishedwhereexcesscapacityexists,toreducecapacitytolevelscommensuratewithsustainableuseoftheresource.


dataonallfishingoperationsallowed.Furthermore,mechanismsareestablishedwhereexcesscapacityexists,toreducecapacitytolevelscommensuratewithsustainableuseoftheresource.



Process:Thereisasystemtomeasurefleetcapacityandmaintainregularlyupdateddataonallfishingoperations.

Researchhasbeenconductedtodetermineorestimatethefishingcapacitycommensuratewiththesustainableuseoftheresource.TherearemechanismsinplacetomeasurethetotalfishingcapacitywithintheUnitofCertification,andtoreducethiscapacityifitisdeterminedtoexceedthesustainablelevel.

CurrentStatus/Appropriateness/Effectiveness:ThereisevidenceofthesizeoffleetcapacityandofdatadescribingfishingoperationandthatthemechanismsdescribedabovearesuccessfulatmaintainingtheeffectivefishingcapacityoftheUnitofCertificationatalevelcommensuratewiththesustainableuseoftheresource.Managementmechanismswhichrestricttheapplicationoffishingcapacity,suchasquotas,shallbeconsideredvalidmechanismsinrelationtothisparameter.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayinclude,fleetreportsorotherdocumentsorreports.

8.5 Technicalmeasuresshallbetakenintoaccount,whereappropriate,inrelationto:

• fishsize• meshsizeorgear• closedseasons• closedareas• areasreservedforparticular(e.g.artisanal)fisheries• protectionofjuvenilesorspawners

LowConfidenceRating


(MajorNC)MediumConfidenceRating

(MinorNC)HighConfidenceRating

(FullConformance)

Notechnicalmeasuresaretakenintoaccount,whereappropriate,inrelationtofishsize,meshsizeorgear,closedseasons,closedareas,

Insufficienttechnicalmeasuresaretakenintoaccount,whereappropriate,inrelationtofishsize,meshsizeorgear,closedseasons,

Moderatetechnicalmeasuresaretakenintoaccount,whereappropriate,inrelationtofishsize,meshsizeorgear,closedseasons,

Technicalmeasuresaretakenintoaccount,whereappropriate,inrelationtofishsize,meshsizeorgear,closedseasons,closedareas,


78 areasreservedforparticular

(e.g.artisanal)fisheries,andprotectionofjuvenilesorspawners.


closedareas,areasreservedforparticular(e.g.artisanal)fisheries,andprotectionofjuvenilesorspawners.


closedareas,areasreservedforparticular(e.g.artisanal)fisheries,andprotectionofjuvenilesorspawners.


areasreservedforparticular(e.g.artisanal)fisheries,andprotectionofjuvenilesorspawners.



Process:Themanagementsystemhastakenintoaccounttechnicalmeasures,whereandasappropriatetothefisheryandstockunderassessment,inrelationtofishsize,meshsizeorgear,closedseasons,closedareas,areasreservedforparticular(e.g.artisanal)fisheries,andprotectionofjuvenilesorspawners.

CurrentStatus/Appropriateness/Effectiveness:Technicalmeasuresarerelatedtosustainabilityobjectives,ensuringsustainableexploitationofthetargetstock,andminimizingthepotentialnegativeimpactsoffisheryactivitiesonnon-targetspecies,ETPspecies,andthephysicalenvironment.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousreports,fisherymanagementplans,regulationsorother.

8.6 Fishinggearshallbemarkedinaccordancewithnationallegislationinorderthattheownerofthegearcanbeidentified.Gearmarkingrequirementsshalltakeintoaccountuniformandinternationallyrecognizablegearmarkingsystems.

FAOCCRF(1995)8.2.4





(FullConformance)

Thereisnogearmarking,inaccordancewithnationallegislationinorderthattheownerofthegearcanbeidentified,thattakesintoaccountinternationallyrecognizablegearmarkingsystems.

Thereisinsufficientgearmarking,inaccordancewithnationallegislationinorderthattheownerofthegearcanbeidentified,thattakesintoaccountinternationallyrecognizablegearmarkingsystems.

Thereismoderategearmarking,inaccordancewithnationallegislationinorderthattheownerofthegearcanbeidentified,thattakesintoaccountinternationallyrecognizablegearmarkingsystems.

Fishinggearismarkedinaccordancewithnationallegislationinorderthattheownerofthegearcanbeidentified.Gearmarkingrequirementstakeintoaccountuniformandinternationallyrecognizable


79




gearmarkingsystems.



Process:Thereisregulationforgearmarking.

CurrentStatus/Appropriateness/Effectiveness:Fixedgearismarkedaccordingtonationallegislation,andlostgearcanbeidentifiedbacktoowner.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousfleetreportsandregulations.

8.7 Measuresshallbeintroducedtoidentifyandprotectdepletedresourcesandthoseresources

threatenedwithdepletion,andtofacilitatethesustainedrecovery/restorationofsuchstocks.Also,effortsshallbemadetoensurethatresourcesandhabitatscriticaltothewell-beingofsuchresourceswhichhavebeenadverselyaffectedbyfishingorotherhumanactivitiesarerestored. FAOCCRF(1995)7.6.10,7.2.2e

FAOEco(2009)30





(FullConformance)

Thereisnoallowanceforrecoveryoractiverestorationfordepletedstocks,resourcesandhabitatscriticaltothewell-beingofsuchresourceswhichhavebeenadverselyaffectedbyfishingorotherhumanactivities.

Thereisinsufficientallowanceforrecoveryoractiverestorationfordepletedstocks,resourcesandhabitatscriticaltothewell-beingofsuchresourceswhichhavebeenadverselyaffectedbyfishingorotherhumanactivities.

Thereismoderateallowanceforrecoveryoractiverestorationfordepletedstocks,resourcesandhabitatscriticaltothewell-beingofsuchresourceswhichhavebeenadverselyaffectedbyfishingorotherhumanactivities.

Measuresareintroducedtoidentifyandprotectdepletedresourcesandthoseresourcesthreatenedwithdepletion,andtofacilitatethesustainedrecovery/restorationofsuchstocks.Also,effortsaremadetoensurethatresourcesandhabitatscriticaltothewell-beingofsuchresourceswhichhavebeenadverselyaffectedbyfishingorotherhuman


80




activitiesarerestored.



Process:Thereisaprocessthatidentifiesdepletedstocks,resourcesandhabitats.Adepletedstockisusuallyastockwhichhadundergoneoverfishing.Accordingly,stockstatusisbelowlimitreferencepointandtheabilityofthestocktorecoverhasbeenimpaired.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencethatwheredepletedoradverselyaffectedstocks,resourcesandhabitatshavebeenidentified,effortshavebeenmadetoensuretheyarerestoredorallowedtorecover.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludelawsandregulations,fisherymanagementplans,andstockassessmentreports.

8.8 Statesandrelevantgroupsfromthefishingindustryshallmeasureperformanceandencouragethedevelopment,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





(FullConformance)

Thereisnoencouragementforthedevelopment,implementationanduseofselective,environmentallysafeandcosteffectivegear,technologiesandtechniquesthataresufficientlyselectiveastoincreasesurvivalrates

Thereisinsufficientencouragementforthedevelopment,implementationanduseofselective,environmentallysafeandcosteffectivegear,technologiesandtechniquesthataresufficientlyselective

Thereismoderateencouragementforthedevelopment,implementationanduseofselective,environmentallysafeandcosteffectivegear,technologiesandtechniquesthataresufficientlyselective

Statesandrelevantgroupsfromthefishingindustrymeasureperformanceandencouragementofthedevelopment,implementationanduseofselective,environmentallysafeandcosteffectivegear,


81 ofescapingfish,minimize

catch,wasteanddiscardsofnon-targetspecies-bothfishandnon-fishspecies,andimpactsonassociatedordependentspecies.


astoincreasesurvivalratesofescapingfish,minimizecatch,wasteanddiscardsofnon-targetspecies-bothfishandnon-fishspecies,andimpactsonassociatedordependentspecies.


astoincreasesurvivalratesofescapingfish,minimizecatch,wasteanddiscardsofnon-targetspecies-bothfishandnon-fishspecies,andimpactsonassociatedordependentspecies.


technologiesandtechniquesthatsufficientlyselectiveastominimizecatch,wasteanddiscardsofnon-targetspecies-bothfishandnon-fishspeciesandimpactsonassociatedordependentspecies.Theuseoffishinggearandpracticesthatleadtothediscardingofcatcharediscouragedandtheuseoffishinggearandpracticesthatincreasesurvivalratesofescapingfisharepromoted.Inconsistentmethods,practicesandgearsarephasedoutaccordingly.



Process:Themanagementsystemandrelevantgroupsfromthefishingindustryhaveencouragedthedevelopmentoftechnologiesandoperationalmethodstoreducewasteanddiscardofthetargetspecies.‘Relevantgroups’includesfishers,processers,distributersandmarketers.Therearemechanismsinplacebywhichtheselectivity,environmentalimpactandcost-effectivenessofgearsincludedintheUnitofCertificationaremeasured.

CurrentStatus/Appropriateness/Effectiveness:Suchtechnologiesandoperationalmethodshavebeenimplemented.Themethodsinuseareeffectiveinreducingwasteanddiscardsofthetargetspecies.Thereisevidencethatthegearsusedinthefisheryareappropriate,intermsofselectivity,environmentalimpactandcost-effectiveness,asassessedbytheresponsiblescientificauthorityofthefishery.Methodsshallbeconsideredsuccessfulifthereisevidencethatthefisheryunderassessmentisnotcausingsignificantriskofoverfishingtonon-targetspecies.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousreports,regulationsorotherdata.

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

FAOCCRF(1995)7.2.2,8.4.6,8.4.1





(FullConformance)

Pollution,waste,andcatch Technologies,materialsand Technologies,materialsand Technologies,materialsand


82 bylostorabandonedgearis

notminimized.


operationalmethodsormeasuresincluding,totheextentpracticable,thedevelopmentanduseofselective,environmentallysafeandcosteffectivefishinggearandtechniquesareinsufficientlyappliedtominimizethelossoffishinggear,theghostfishingeffectsoflostorabandonedfishinggear,pollutionandwaste.


operationalmethodsormeasuresincluding,totheextentpracticable,thedevelopmentanduseofselective,environmentallysafeandcosteffectivefishinggearandtechniquesaremoderatelyappliedtominimizethelossoffishinggear,theghostfishingeffectsoflostorabandonedfishinggear,pollutionandwaste.


operationalmethodsormeasuresincluding,totheextentpracticable,thedevelopmentanduseofselective,environmentallysafeandcosteffectivefishinggearandtechniquesareappliedtominimizethelossoffishinggear,theghostfishingeffectsoflostorabandonedfishinggear,pollutionandwaste.



Process:Therehasbeendevelopmentoftechnologies,materialsandoperationalmethodsthatminimizethelossoffishinggearandtheghostfishingeffectsoflostorabandonedfishinggearandasystemtominimizepollution,waste,catchbylostorabandonedgear.

CurrentStatus/Appropriateness/Effectiveness:Technologies,materialsandoperationalmethodsthatminimizethelossoffishinggearandghostfishingareappliedwheneverappropriate.Also,thesemeasuresareeffectiveinminimizing,totheextentpracticable,pollution,waste,andcatchbylostorabandonedgear.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousregulations,dataandreports.

8.10 Theintentoffishingselectivityandfishingimpactsrelatedregulationsshallnotbecircumventedby technical devices and information on new developments and requirements shall be madeavailabletoallfishers.

FAOCCRF(1995)8.5.1





(FullConformance)

Informationonnewdevelopmentsandrequirementsisnotmadeavailabletoallfishers.

Informationonnewdevelopmentsandrequirementsisinsufficientlymadeavailabletoallfishers.

Informationonnewdevelopmentsandrequirementsismoderatelymadeavailabletoallfishers.

Theintentoffishingselectivityandfishingimpactsrelatedregulationsisnotcircumventedbytechnicaldevicesandinformationonnewdevelopmentsandrequirementsismade


83




availabletoallfishers.



Process:Thereisasystemthatmakesavailableinformationonnewdevelopmentsandrequirementstoallfisherstoavoidcircumventionoffishingregulation.

CurrentStatus/Appropriateness/Effectiveness:Theadoptedmethodsaresuccessfulandeffectivemakingknownfishingregulationtotheparticipants.Enforcementdataarehighlightingsignificantviolations.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousdataandreports.

8.11 Assessment and scientific evaluation shall be carried out on the implications of habitatdisturbance impacton the fisheriesandecosystemsprior to the introductionona commercialscaleofnewfishinggear,methodsandoperations.Accordingly,theeffectsofsuchintroductionsshallbemonitored.

FAOCCRF(1995)8.4.7,12.11





(FullConformance)

Theimplicationsofcommercialscaleintroductionsofanewgearorfishingoperationsonthefishhabitatarenotconsideredpriortoitsintroduction.


Theimplicationsofcommercialscaleintroductionsofanewgearorfishingoperationsonthefishhabitatareinsufficientlyconsideredpriortoitsintroduction.


Theimplicationsofcommercialscaleintroductionsofanewgearorfishingoperationsonthefishhabitataremoderatelyconsideredpriortoitsintroduction.


Assessmentandscientificevaluationiscarriedoutontheimplicationsofhabitatdisturbanceimpactonthefisheriesandecosystemspriortotheintroductiononacommercialscaleofnewfishinggear,methodsandoperations.Accordingly,theeffectsofsuchintroductionsaremonitored.




Note:thisclauseisnotapplicableifnewgearhasnotbeenintroducedinthepast3years.

Process:Newgearhasbeenrecentlyintroducedonacommercialscalewithinthelast3years,orthereisaplantointroducenewgearintheforthcomingfuture.

CurrentStatus/Appropriateness/Effectiveness:Anappropriateassessmentofpotentialriskshasbeencarriedout.Thereisevidencetosuggestthattheassessmentisadequatetosupporthabitatconservationandfisherymanagementpurposes.Additionally,thereisamonitoringregimeinplace.


8.12 Internationalcooperationshallbeencouragedwithrespecttoresearchprogramsforfishinggearselectivity and fishing methods and strategies, dissemination of the results of such researchprogramsandthetransferoftechnology.

FAOCCRF(1995)8.5.4





(FullConformance)

Internationalcooperationisnotencouragedforresearchprogramsforfishingselectivityandfishingmethodsstrategies,anddisseminationofinformationandtechnologytransfer.


Internationalcooperationisinsufficientlyencouragedforresearchprogramsforfishingselectivityandfishingmethodsstrategies,anddisseminationofinformationandtechnologytransfer.


Internationalcooperationismoderatelyencouragedforresearchprogramsforfishingselectivityandfishingmethodsstrategies,anddisseminationofinformationandtechnologytransfer.


Internationalcooperationisencouragedwithrespecttoresearchprogramsforfishinggearselectivityandfishingmethodsandstrategies,disseminationoftheresultsofsuchresearchprogramsandthetransferoftechnology.



Process:Thereisasystemofinternationalinformationexchangetoallowknowledgetobeshared

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceforinternationalinformationexchange,suchasmeetingrecordsorotherinformation.



85

8.13 Statesand relevant institutions involved in the fishery shall collaborate indeveloping standardmethodologies forresearch intofishinggearselectivity, fishingmethodsandstrategies,andonthe behavior of target and non-target species in relation to such fishing gear as an aid formanagementdecisionsandwithaviewtominimizingnonutilizedcatches.

FAOCCRF(1995)8.5.3/12.10





(FullConformance)

TherearenostandardmethodologiesdevelopedforstudiesonfishinggearselectivityandmethodsbeendecidedbyStatesandrelevantinstitutionsinvolved.


ThereareinsufficientstandardmethodologiesdevelopedforstudiesonfishinggearselectivityandmethodsbeendecidedbyStatesandrelevantinstitutionsinvolved.


TherearemoderatestandardmethodologiesdevelopedforstudiesonfishinggearselectivityandmethodsbeendecidedbyStatesandrelevantinstitutionsinvolved.


Statesandrelevantinstitutionsinvolvedinthefisherycollaborateindevelopingstandardmethodologiesforresearchintofishinggearselectivity,fishingmethodsandstrategies,andonthebehavioroftargetandnon-targetspeciesinrelationtosuchfishinggearasanaidformanagementdecisionsandwithaviewtominimizingnon-utilizedcatches.




86 Process:Thereiscollaborativeresearchintofishinggearselectivity,fishingmethodsandstrategies.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceofsuchresearch,andtheresultshavebeenappliedaccordinglyinfisheriesmanagement.


8.14 Policiesshallbedevelopedforincreasingstockpopulationsandenhancingfishingopportunitiesthroughtheuseofartificialstructures.Statesshallensurethat,whenselectingthematerialstobeused inthecreationofartificial reefsaswellaswhenselectingthegeographical locationofsuch artificial reefs, the provisions of relevant international conventions concerning theenvironmentandthesafetyofnavigationareobserved.

FAOCCRF(1995)8.11.1,8.11.2





(FullConformance)

Therearenopoliciesdevelopedforincreasingstockpopulationsandenhancingfishingopportunitiesthroughtheuseofartificialstructures.Nocarehasbeentakenintheselectionofmaterialstouseinconstructingartificialreefs,intheselectionofsitesfortheirdeployment,ortoensurethatrelevantconventionsconcerningtheenvironmentandthesafetyofnavigationhavebeenobserved.


Thereareinsufficientlyeffectivepoliciesdevelopedforincreasingstockpopulationsandenhancingfishingopportunitiesthroughtheuseofartificialstructures.Insufficientcarehasbeentakenintheselectionofmaterialstouseinconstructingartificialreefs,intheselectionofsitesfortheirdeployment,ortoensurethatrelevantconventionsconcerningtheenvironmentandthesafetyofnavigationhavebeenobserved.


Therearemoderatelyeffectivepoliciesdevelopedforincreasingstockpopulationsandenhancingfishingopportunitiesthroughtheuseofartificialstructures.Moderatecarehasbeentakenintheselectionofmaterialstouseinconstructingartificialreefs,intheselectionofsitesfortheirdeployment,ortoensurethatrelevantconventionsconcerningtheenvironmentandthesafetyofnavigationhavebeenobserved.


Policiesaredevelopedforincreasingstockpopulationsandenhancingfishingopportunitiesthroughtheuseofartificialstructures.Statesensurethat,whenselectingthematerialstobeusedinthecreationofartificialreefsaswellaswhenselectingthegeographicallocationofsuchartificialreefs,theprovisionsofrelevantinternationalconventionsconcerningtheenvironmentandthesafetyofnavigationareobserved.



Note:Theuseofartificialstructuresmaybeappropriateforsomestocksbutnotnecessaryforall.Thisclausemaythereforenotbeapplicableifsuchstructuresarenotpracticalorappropriateforstocks.Theuseofartificialstructuresshouldbeconsideredappropriateifoneormoreofthespeciesunderassessmenthasbenefittedfromtheuseofartificialstructuresin


87 otherfisheries,orifspecieswithsimilarbiologicalcharacteristicshavebenefittedfromtheuseofartificialstructuresinother

fisheries.

Process:Thereisamechanisminplaceforidentifyingpotentialforincreasingstockpopulationsandenhancingfishingopportunitiesthroughtheuseofartificialstructures.Thismechanismensuresthatwhereartificialstructuresaredeemedappropriate,environmentalprotection,safety,andnavigationareconsideredintheirapplication.

CurrentStatus/Appropriateness/Effectiveness:Thismechanismhasbeenappliedtothefisheryunderassessment,resultingeitherintheconclusionthatartificialstructuresareinappropriateorintheuseofartificialstructures.Carehasbeentakenintheselectionofmaterialstouseinconstructingartificialreefs,theselectionofsitesfortheirdeploymentandtoensurethatrelevantconventionsconcerningtheenvironmentandthesafetyofnavigationhavebeenobserved.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariouslaws,dataandreports.

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





(FullConformance)

Noeducationandtrainingprogramsforfishershavebeenimplementedthatmeetinternationalstandardsandguidelines.


Insufficientlyeffectiveeducationandtrainingprogramsforfishershavebeenimplementedthatmeetinternationalstandardsandguidelines.


Moderatelyeffectiveeducationandtrainingprogramsforfishershavebeenimplementedthatmeetinternationalstandardsandguidelines.


Statesenhancethrougheducationandtrainingprogramstheeducationandskillsoffishersand,whereappropriate,theirprofessionalqualifications.Suchprogramstakeintoaccountagreedinternationalstandardsandguidelines.



Process:Thereareimplementededucationprogramsforfishers.

CurrentStatus/Appropriateness/Effectiveness:Theseprogramsareeffectiveintrainingfishers,inlinewithinternational


88 standardsandguidelines.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousdata,websites.

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

FAOCCRF(1995)8.1.10





(FullConformance)

TherearenoeducationandtrainingmeasuresmakingfishersawareofthekeyprovisionsofFAOCCRFandotherapplicableenvironmentalandotherstandardsessentialforresponsiblefisheries.


ThereareinsufficienteducationandtrainingmeasuresmakingfishersawareoftheprovisionsofthekeyFAOCCRFandotherapplicableenvironmentalandotherstandardsessentialforresponsiblefisheries.


TherearemoderateeducationandtrainingmeasuresmakingfishersawareoftheprovisionsofthekeyFAOCCRFandotherapplicableenvironmentalandotherstandardsessentialforresponsiblefisheries.


States,withtheassistanceofrelevantinternationalorganizations,endeavortoensurethrougheducationandtrainingthatallthoseengagedinfishingoperationsbegiveninformationonthemostimportantprovisionsoftheFAOCCRF,aswellasprovisionsofrelevantinternationalconventionsandapplicableenvironmentalandotherstandardsthatareessentialtoensureresponsiblefishingoperations.




89 Process:Therearerelevantmeasuresofthecodeandotherapplicableenvironmentalandotherstandardsbeingexposedto

fishersfortheirtraining.

CurrentStatus/Appropriateness/Effectiveness:Theseprogramsareeffectiveintrainingfishers,inlinewithinternationalstandardsandguidelinesandkeyCCRFprinciples.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousdata,websites.

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

FAOCCRF(1995)8.1.8





(FullConformance)

Therearenorecordskeptoffishers,includingwhereverpossible,qualificationinaccordancewiththeirnationallaws.


Thereareinsufficientrecordskeptoffishers,includingwhereverpossible,qualificationinaccordancewiththeirnationallaws.


Therearemoderatelyappropriaterecordskeptoffishers,includingwhereverpossible,qualificationinaccordancewiththeirnationallaws.


TheStatemaintains,asappropriate,recordsoffisherswhich,wheneverpossible,containinformationontheirserviceandqualifications,includingcertificatesofcompetency,inaccordancewiththeirnationallaws.



Process:Thereisasystemtocollectandmaintainfishermenrecords.

CurrentStatus/Appropriateness/Effectiveness:Theserecordsareconsideredaccurateandeffectiveformanagementpurposes.



90

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

10.1. Effective mechanisms shall be established for fisheries monitoring, surveillance, control andenforcement measures including, where appropriate, observer programs, inspection schemesand vesselmonitoring systems, to ensure compliancewith the conservation andmanagementmeasuresforthefisheryinquestion.Thiscouldincluderelevanttraditional,fisherorcommunityapproaches,providedtheirperformancecouldbeobjectivelyverified.

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





Therearenomechanismsestablishedforfisheriesmonitoring,surveillanceandcontrol.


Thereareinsufficientlyeffectivemechanismsestablishedforfisheriesmonitoring,surveillanceandcontrol.


Therearemoderatelyeffectivemechanismsestablishedforfisheriesmonitoring,surveillanceandcontrol.


Effectivemechanismsareestablishedforfisheriesmonitoring,surveillance,controlandenforcementmeasuresincluding,whereappropriate,observerprograms,inspectionschemesandvesselmonitoringsystems,toensurecompliancewiththeconservationandmanagementmeasuresforthefisheryinquestion.Thiscouldincluderelevanttraditional,fisherorcommunityapproaches,providedtheirperformancecouldbeobjectivelyverified.




91 Process:Therearemechanismsestablishedforfisheriesmonitoring,surveillance,controlandenforcement.

CurrentStatus/Appropriateness/Effectiveness:Thesemechanismsareeffective,andincludeeffectiveobserver,inspectionscheme,andvesselmonitoringschemeswhereappropriateforthetypeoffisheryunderassessment.Monitoring,surveillance,controlandenforcementmechanismscanbeconsideredeffectiveiftheyaresufficientlybroadtocovertheentiretyoftheUnitofCertification,thereisevidencethatrulesandregulationsareconsistentlyenforced,andthereisnoevidenceoffrequentorwidespreadviolationoffisheryregulations.Thiscouldincluderelevanttraditional,fisherorcommunityapproaches,providedtheirperformancecouldbeobjectivelyverified.Withrespecttofisheriesinthehighseas,thelegalobligationsofUNCLOSandUNFSAhaveparticularrelevance.Evidenceoftheperformanceofthelegalframeworkcanbederivedfromtheassessmentofconformancewithrequirementscoveringcomplianceandenforcement.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincluderulesandregulations,enforcementreports.

10.2 Fishingvesselsshallnotbeallowedtooperateontheresourceinquestionwithoutspecificauthorization.

FAOCCRF(1995)7.6.2Other8.1.2,8.2.1





(FullConformance)

Thelocalmanagementbodydoesnotmaintainanupdatedrecordofallauthorizationtofish,orvesselsarepermittedtooperateontheresourceinquestionwithoutspecificauthorization.


Fishingvesselsarenotallowedtooperateontheresourceinquestionwithoutauthorization,andthelocalmanagementbodymaintainaninsufficientlyupdatedrecordofallauthorizationtofish.


Fishingvesselsarenotallowedtooperateontheresourceinquestionwithoutauthorization,andthelocalmanagementbodymaintainamoderatelyupdatedrecordofallauthorizationtofish.


Fishingvesselsarenotallowedtooperateontheresourceinquestionwithoutspecificauthorization.



Process:Thereisamechanismorsystemestablishedtomaintainarecordoffishingauthorizations.

CurrentStatus/Appropriateness/Effectiveness:Thismechanismiseffectiveformaintainingupdatedrecordsoffishingauthorizationsandensuringfishingvesselsoperatewithappropriateauthorization.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousdata.


92

10.3 Statesinvolvedinthefisheryshall,inaccordancewithinternationallaw,withintheframeworkofsub-regionalorregionalfisheriesmanagementorganizationsorarrangements,cooperatetoestablishsystemsformonitoring,control,surveillanceandenforcementofapplicablemeasureswithrespecttofishingoperationsandrelatedactivitiesinwatersoutsidetheirnationaljurisdiction.

FAOCCRF(1995)8.1.4





(FullConformance)

Withinaregionalframeworkinvolvingotherregionalbodies,thelocalmanagementbodyisnotcooperatinginestablishingsystemsformonitoring,controlandsurveillanceandenforcementofmeasuresregulatingfishingoperationsinwatersoutsidetheirnationaljurisdiction.


Withinaregionalframeworkinvolvingotherregionalbodies,thelocalmanagementbodyiscooperatinginsufficientlyinestablishingsystemsformonitoring,controlandsurveillanceandenforcementofmeasuresregulatingfishingoperationsinwatersoutsidetheirnationaljurisdiction.


Withinaregionalframeworkinvolvingotherregionalbodies,thelocalmanagementbodyiscooperatingmoderatelyinestablishingsystemsformonitoring,controlandsurveillanceandenforcementofmeasuresregulatingfishingoperationsinwatersoutsidetheirnationaljurisdiction.


Statesinvolvedinthefisherydo,inaccordancewithinternationallaw,withintheframeworkofsub-regionalorregionalfisheriesmanagementorganizationsorarrangements,cooperatetoestablishsystemsformonitoring,control,surveillanceandenforcementofapplicablemeasureswithrespecttofishingoperationsandrelatedactivitiesinwatersoutsidetheirnationaljurisdiction.



NotapplicableifthefisherydoesnotoccuroutsidetheState’sExclusiveEconomicZone.

Process:Thereisamechanismorsystemestablishedtoconductenforcementoperationsoutsidethecountryjurisdiction.

CurrentStatus/Appropriateness/Effectiveness:Thismechanismisenforcingoperationsininternationallyoccurringfisheries.Ifthestockunderconsiderationisnottransboundary,thentheStandardneedonlybeconcernedwiththeeffectivenessandsuitabilityofthemonitoring,surveillance,controlandenforcementactivitiesatthenationallevelforthefisheryofwhichtheUnitofCertificationisapart.IftheUnitofCertificationispartofanationalfleetfishingonatransboundarystock,thenitisstilllikelytobetheeffectivenessandsuitabilityofthemonitoring,surveillance,controlandenforcementactivitiesatthenationallevelshallbeassessed.IftheUnitofCertificationcoversallthefishingonthestockunderconsideration,thenthemonitoring,surveillance,controlandenforcementallofthenationalfleetsisofconcernandshallbeassessed(toensurefullconsiderationoftotalfishingmortalityonthestockunderconsideration).


93 EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludeenforcementreports.

10.3.1Stateswhicharemembersoforparticipantsinsub-regionalorregionalfisheriesmanagement

organizationsorarrangementsshallimplementinternationallyagreedmeasuresadoptedintheframeworkofsuchorganizationsorarrangementsandconsistentwithinternationallawtodetertheactivitiesofvesselsflyingtheflagofnon-membersornon-participantswhichengageinactivitieswhichunderminetheeffectivenessofconservationandmanagementmeasuresestablishedbysuchorganizationsorarrangements.Inthatrespect,PortStatesshallalsoproceed,asnecessary,toassistotherStatesinachievingtheobjectivesoftheFAOCCRF(1995),andshouldmakeknowntootherStatesdetailsofregulationsandmeasurestheyhaveestablishedforthispurposewithoutdiscriminationforanyvesselofanyotherState.

FAOCCRF(1995)7.7.5/8.3.1





TheStatehasnotimplementedinternationallyagreedmeasuresconsistentwithinternationallawtodetertheactivitiesofvesselsflyingtheflagofnon-membersornon-participantswhichengageinactivitieswhichunderminetheeffectivenessofconservationandmanagementmeasuresestablishedbyregionalorganizationsorarrangements.


TheStatehasinsufficientlyimplementedinternationallyagreedmeasuresconsistentwithinternationallawtodetertheactivitiesofvesselsflyingtheflagofnon-membersornon-participantswhichengageinactivitieswhichunderminetheeffectivenessofconservationandmanagementmeasuresestablishedbyregionalorganizationsorarrangements.


TheStatehasmoderatelyimplementedinternationallyagreedmeasuresconsistentwithinternationallawtodetertheactivitiesofvesselsflyingtheflagofnon-membersornon-participantswhichengageinactivitieswhichunderminetheeffectivenessofconservationandmanagementmeasuresestablishedbyregionalorganizationsorarrangements.


Thestatewhichismembersoforparticipantsinsub-regionalorregionalfisheriesmanagementorganizationsorarrangementsimplementsinternationallyagreedmeasuresadoptedintheframeworkofsuchorganizationsorarrangementsandconsistentwithinternationallawtodetertheactivitiesofvesselsflyingtheflagofnon-membersornon-participantswhichengageinactivitieswhichunderminetheeffectivenessofconservationandmanagementmeasuresestablishedbysuchorganizationsorarrangements.Inthatrespect,PortStatesalsoproceed,asnecessary,toachieveandtoassistotherStatesinachievingtheobjectivesoftheFAOCCRF,andmakeknowntootherStatesdetailsofregulationsandmeasurestheyhaveestablishedforthispurposewithoutdiscriminationforanyvesselofanyotherState.



NotapplicableifthefisherydoesnotoccuroutsidetheState’sExclusiveEconomicZone.


94 Process:Thereareregulationsestablishedagainstvesselsflyingtheflagofnon-membersornon-participantscountrywhich

mayengageinactivitieswhichunderminetheeffectivenessofconservationandmanagementmeasuresestablishedbyregionalbodies.

CurrentStatus/Appropriateness/Effectiveness:Thesemeasuresareeffectiveindeterringsuchpractices.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludeenforcementorotherreports.

10.4FlagStatesshallensurethatnofishingvesselsentitledtoflytheirflagfishonthehighseasorin

watersunderthejurisdictionofotherStatesunlesssuchvesselshavebeenissuedwithaCertificateofRegistryandhavebeenauthorizedtofishbythecompetentauthorities.SuchvesselsshallcarryonboardtheCertificateofRegistryandtheirauthorizationtofish.

FAOCCRF(1995)8.2.2





(FullConformance)

NoCertificateofRegistryhasbeenissuedtovessels.


AninsufficientnumberofvesselshavebeenissuedtheCertificateofRegistry.


AmoderatenumberofvesselshavebeenissuedtheCertificateofRegistry.


TheflagStateensuresthatnofishingvesselsentitledtoflytheirflagfishonthehighseasorinwatersunderthejurisdictionofotherStatesunlesssuchvesselshavebeenissuedwithaCertificateofRegistryandhavebeenauthorizedtofishbythecompetentauthorities.SuchvesselscarryonboardtheCertificateofRegistryandtheirauthorizationtofish.



NotapplicableifnoforeignvesselsfishintheState’sEEZ,orifitsvesselsdonotfishinhighseasorinanotherState’sEEZ.

Process:ThereareforeignvesselsfishinginState’sEEZ.State’sEEZvesselsdonotfishinhighseasorinanotherState’sEEZ.

CurrentStatus/Appropriateness/Effectiveness:ThesevesselshavebeenissuedwithaCertificateofRegistryandtheyarerequiredtocarryitonboard.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariouslaws,regulationsandotherdataorreports.


95 10.4.1 FishingvesselsauthorizedtofishonthehighseasorinwatersunderthejurisdictionofaState

otherthantheflagStateshallbemarkedinaccordancewithuniformandinternationallyrecognizablevesselmarkingsystemssuchastheFAOStandardSpecificationsandGuidelinesforMarkingandIdentificationofFishingVessels.

FAOCCRF(1995)8.2.3





(FullConformance)

VesselshavenotbeenmarkedinaccordancewithuniformandinternationallyrecognizablevesselmarkingsystemssuchastheFAOStandardSpecificationsandGuidelinesforMarkingandIdentificationofFishingVessels.


AninsufficientnumberofvesselshavebeenmarkedinaccordancewithuniformandinternationallyrecognizablevesselmarkingsystemssuchastheFAOStandardSpecificationsandGuidelinesforMarkingandIdentificationofFishingVessels.


AmoderatenumberofvesselshavebeenmarkedinaccordancewithuniformandinternationallyrecognizablevesselmarkingsystemssuchastheFAOStandardSpecificationsandGuidelinesforMarkingandIdentificationofFishingVessels.


FishingvesselsauthorizedtofishonthehighseasorinwatersunderthejurisdictionofaStateotherthantheflagState,aremarkedinaccordancewithuniformandinternationallyrecognizablevesselmarkingsystemssuchastheFAOStandardSpecificationsandGuidelinesforMarkingandIdentificationofFishingVessels.



NotapplicableifnoforeignvesselsfishintheState’sEEZorifitsvesselsdonotfishinhighseasorinanotherState’sEEZ.

Process:ThereareforeignvesselsfishinginState’sEEZ.State’sEEZvesselsdonotfishinhighseasorinanotherState’sEEZ.

CurrentStatus/Appropriateness/Effectiveness:ForeignvesselsauthorizedtofishintheState’sEEZoritsvesselsfishinginanotherState’sEEZhavebeenmarkedaccordinglytointernationalguidelines.


11. Thereshallbeaframeworkforsanctionsforviolationsandillegalactivitiesofadequateseveritytosupportcomplianceanddiscourageviolations.


96 FAOCCRF(1995)7.7.2/8.2.7

11.1 Nationallawsofadequateseverityshallbeinplacethatprovideforeffectivesanctions.





(FullConformance)

Nationallawsofadequateseverityarenotinplacethatprovideforeffectivesanctions.


Nationallawsofadequateseverityareinplacebutinsufficienttoprovideforeffectivesanctions.


Nationallawsofadequateseverityareinplacebutconsideredmoderateinprovidingforeffectivesanctions.


Nationallawsofadequateseverityareinplacethatprovideforeffectivesanctions.



Process:Thesystemofnationallawsisofadequateseveritytoprovideforeffectivesanctions.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencetosubstantiatethatnationallawsareofadequateseveritytoprovideforeffectivesanctions.


11.2 Sanctionsapplicableinrespectofviolationsandillegalactivitiesshallbeadequateinseveritytobeeffective insecuringcomplianceanddiscouragingviolationswherevertheyoccur.Sanctionsshallalsobeinforcethataffectsauthorizationtofishand/ortoserveasmastersorofficersofafishingvessel,intheeventofnon-compliancewithconservationandmanagementmeasures.


97 FAOCCRF(1995)7.7.2/8.1.9/8.2.7





(FullConformance)

Sanctionsconsideredeffectiveinseveritytodeterviolatorsarenotinforce.


Sanctionsareinforcebutinsufficientlyeffectivetoaffectauthorizationtofishand/ortoserveasmastersorofficersofafishingvessel,intheeventofnon-compliancewithconservationandmanagementmeasures.


Sanctionsareinforcebutmoderatelyeffectivetoaffectauthorizationtofishand/ortoserveasmastersorofficersofafishingvessel,intheeventofnon-compliancewithconservationandmanagementmeasures.


Sanctionsapplicableinrespectofviolationsandillegalactivitiesareadequateinseveritytobeeffectiveinsecuringcomplianceanddiscouragingviolationswherevertheyoccur.Sanctionsareinforcethataffectsauthorizationtofishand/ortoserveasmastersorofficersofafishingvessel,intheeventofnon-compliancewithconservationandmanagementmeasures.



Process:Thesystemofsanctionsinplaceissufficientlyseveretodeterviolationsandillegalactivities.Thesystemshallbeconsideredadequateinseverityifthepotentialsanctionsincludefines,suspensionorwithdrawalofpermissiontofish,andconfiscationofcatchorequipment.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencetosubstantiatethatsanctionsforviolationsofregulations(e.g.,suspension,withdrawalorrefusalsoffishingpermitoroftherighttofish)areadequateinseveritytosecurecomplianceanddiscourageviolations.


11.3 FlagStatesshalltakeenforcementmeasuresinrespectoffishingvesselsentitledtoflytheirflagwhichhavebeenfoundbythemtohavecontravenedapplicableconservationandmanagementmeasures,including,whereappropriate,makingthecontraventionofsuchmeasuresanoffenceundernationallegislation.

FAOCCRF(1995)8.2.7






(FullConformance)

TherearenoenforcementmeasuresforfishingvesselsentitledtoflytheirStateflagwhenthevesselshavebeenfoundbytheStatetohavecontravenedapplicableconservationandmanagementmeasures.


ThereareinsufficientlyeffectiveenforcementmeasuresavailableforfishingvesselsentitledtoflytheirStateflagwhenthevesselshavebeenfoundbytheStatetohavecontravenedapplicableconservationandmanagementmeasures.


TherearemoderatelyeffectiveenforcementmeasuresavailableforfishingvesselsentitledtoflytheirStateflagwhenthevesselshavebeenfoundbytheStatetohavecontravenedapplicableconservationandmanagementmeasures.


FlagStatestakeenforcementmeasureswithfishingvesselsentitledtoflytheirflagifthevesselshavebeenfoundbytheStatetohavecontravenedapplicableconservationandmanagementmeasures.Theseenforcementmeasureswillinclude,whereappropriate,makingthecontraventionofsuchmeasuresanoffenceundernationallegislation.



NotapplicableifnoforeignvesselsfishintheState’sEEZorifitsvesselsdonotfishinhighseasorinanotherState’sEEZ.

Process:Ifapplicable,thesystemofenforcementmeasuresiseffectiveforforeignvesselsfishingintheState’sEEZorforitsvesselsfishinginhighseasorinanotherState’sEEZ.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencetosubstantiateenforcementactioninthesecasesi.e.,boarding,violations.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariouslaws,regulationsandotherdataorenforcementsreports.

F. SeriousImpactsoftheFisheryontheEcosystem12. Considerationsoffisheryinteractionsandeffectsontheecosystemshallbebasedon

bestavailablescience,localknowledgewhereitcanbeobjectivelyverifiedandusingariskbasedmanagementapproachfordeterminingmostprobableadverseimpacts.Adverseimpactsonthefisheryontheecosystemshallbeappropriatelyassessedandeffectivelyaddressed.

FAOCCRF(1995)7.2.3/8.4.7/8.4.8/12.11


99 FAOECO(2009)29.3/31

FAOEco(2011)41-41.4

12.1 Statesshallassesstheimpactsofenvironmentalfactorsontargetstocksandspeciesbelongingtothesameecosystemorassociatedwithordependentuponthetargetstocks,andassesstherelationshipamongthepopulationsintheecosystem.

FAOCCRF(1995)7.2.3





(FullConformance)

Thereisnoassessmentoftheimpactsofenvironmentalfactorsontargetstocksandassociatedspeciesinthesameecosystems.


Thereisinsufficientassessmentoftheimpactsofenvironmentalfactorsontargetstocksandassociatedordependentspeciesinthesameecosystems,andtherelationshipsamongthesespecies.


Thereismoderateassessmentoftheimpactsofenvironmentalfactorsontargetstocksandassociatedordependentspeciesinthesameecosystems,andtherelationshipsamongthesespecies.


TheStateassessestheimpactsofenvironmentalfactorsontargetstocksandspeciesbelongingtothesameecosystemorassociatedwithordependentuponthetargetstocks,andtherelationshipamongthepopulationsintheecosystem.



Process:Thereisaprocessthatallowsfortheassessmentandmonitoringofenvironmentalfactors(e.g.climatic,oceanographic)ontargetstocksandassociatedspeciesinthesameecosystem,andtoassesstherelationshipsbetweenspeciesintheecosystem.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencethatassessmentshavebeenconductedtodeterminetheimpactsofenvironmentalfactorsonthetargetstockandonassociatedordependentspecies(tothestock)inthesameecosystems,andontherelationshipsamongthesespecies.Theresultsofthesestudiesareinsufficientdetailtoallowinformedmanagementofthefishery.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousstockandecosystemsassessmentreports.

12.2 Adverseenvironmentalimpactsontheresourcesfromhumanactivitiesshallbeassessedand,whereappropriate,corrected.

FAOCCRF(1995)7.2.2





(FullConformance)

Thereisnoassessmentandcorrectionswhere

Thereisinsufficientassessmentandcorrections,

Thereismoderateassessmentandcorrections

Adverseenvironmentalimpactsonthe


100 appropriate,ofadverse

environmentalimpactsontheresourcesfromhumanactivities.Mostorallofthepotentialimpactslistedintheevaluationparametersarenotconsidered.


whereappropriate,ofadverseenvironmentalimpactsontheresourcesfromhumanactivities.Manyofthepotentialimpactslistedintheevaluationparametersarenotconsidered.


whereappropriate,ofadverseenvironmentalimpactsontheresourcesfromhumanactivities.Someofthepotentialimpactslistedintheevaluationparametersarenotconsidered.


resourcesfromhumanactivitiesareassessedand,whereappropriate,corrected.Allpotentialimpactslistedintheevaluationparametersareconsidered.



Process:Thereisaprocessthatallowsfortheassessmentofenvironmentalimpactsandtheirminimizationorcorrection.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceofappropriateassessmentsmadetoelucidatetheimpactsenvironmentalimpactsontheresourcesfromhumanactivities.Humanimpactsincludebothfishingandnon-fishingactivities.Examplesmayincludeoverfishingofthetargetstock,significantbycatchofassociatedspecies,gear-habitatinteractions,andwhererelevant,mining,dredging,pollution,introductionofexoticspecies,andconversionofimportantaquatichabitats.


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

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

LowConfidenceRating




(FullConformance)


101 Thereisnoaccountingof

mostprobableadverseimpactsofthefisheryontheecosystem/environment.Fewornoprobableimpactsareconsidered.Thereisnouseofgenericevidenceontheecosystemimpactoffishingfortheunitofcertification.


Thereisinsufficientaccountingofmostprobableadverseimpactsofthefisheryontheecosystem/environment.Manyprobableimpactsarenotconsidered.Thereisinsufficientavailabilityoruseofgenericevidenceontheecosystemimpactoffishingfortheunitofcertification.


Thereismoderateaccountingofmostprobableadverseimpactsofthefisheryontheecosystem/environment.Someprobableimpactsarenotconsidered.Thereismoderateavailabilityoruseofgenericevidenceontheecosystemimpactoffishingfortheunitofcertification.


Themostprobableadverseimpactsofthefisheryontheecosystem/environmentareconsidered,takingintoaccountavailablescientificinformation,andlocalknowledge.Intheabsenceofspecificinformationontheecosystemimpactsoffishingfortheunitofcertification,genericevidencebasedonsimilarfisherysituationscanbeusedforfisherieswithlowriskofsevereadverseimpact.However,thegreatertheriskthemorespecificevidenceisnecessarytoascertaintheadequacyofmitigationmeasures.



Process:Thereisspecificinformationontheecosystemimpactsoffishingfortheunitofcertificationpresent.Also,thereisamechanisminplacebywhichthemostprobableadverseimpactsofthefisheryontheecosystemandenvironmentareassessedusingthebestavailablescientificknowledge(whichmayincludetraditionalknowledgewherethisisverifiable),andmanagementobjectivesaimedatavoidingtheseimpactaredeveloped.

CurrentStatus/Appropriateness/Effectiveness:Therearemanagementmeasuresinplacewhichhavebeendevelopedtoachievetheobjectivesdescribedintheprocessparameter.Allprobablenegativeimpactsareconsidered.Suchimpactsmayincludesignificantimpactsonnon-targetfisheryresources(includingdiscards),gear-habitatinteractions,endangered,threatened,protected(ETP)speciesinteractions,andfoodwebinteractions.Ifinformationhasbeenutilizedfromgenericevidencebasedonsimilarfisherysituations,basedontheriskofsevereadverseimpact,theinformationshallbeofhigherprecisionforhigherrisk.Forexample,keystonespeciesorspecieswithrelativelowgrowthrates,highcatchability,orfisherieswithsignificantETP,bycatchofnon-targetfisheryresources(ornon-targetstocksorspeciesorharvestsordiscards),orwithimportantconcernsforgear–habitatinteractionscanbeconsideredhighrisk.Ifinformationspecifictotheunitofcertificationareaisavailable,genericevidencebasedonsimilarfisherysituationsmaynotbenecessary.


12.4 Impactsthatarelikelytohaveseriousconsequencesshallbeaddressed.Thismaytaketheformofanimmediatemanagementresponseorafurtheranalysisoftheidentifiedrisk.Inthiscontext,fullrecognitionshouldbegiventothespecialcircumstancesandrequirementsindevelopingcountriesandcountriesintransition,includingfinancialandtechnicalassistance,technologytransfer,trainingandscientificcooperation.

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

LowConfidenceRating MediumConfidenceRating MediumConfidenceRating HighConfidenceRating


102 (CriticalNC) (MajorNC) (MinorNC) (FullConformance)

Thereisnoaddressingofsignificantimpactsemployinganimmediatemanagementresponseorafurtheranalysisoftheidentifiedrisk.


Impactsthatarelikelytohaveseriousconsequencesareinsufficientlyaddressedemployinganimmediatemanagementresponseorafurtheranalysisoftheidentifiedrisk.


Impactsthatarelikelytohaveseriousconsequencesaremoderatelyaddressedemployinganimmediatemanagementresponseorafurtheranalysisoftheidentifiedrisk.


Impactsthatarelikelytohaveseriousconsequencesareaddressed.Thismaytaketheformofanimmediatemanagementresponseorafurtheranalysisoftheidentifiedrisk.Inthiscontext,fullrecognitionshouldbegiventothespecialcircumstancesandrequirementsindevelopingcountriesandcountriesintransition,includingfinancialandtechnicalassistance,technologytransfer,trainingandscientificcooperation.



Process:Thereisaprocessthatallowsforimpactsthatarelikelytohaveseriousconsequencestobeaddressed.

CurrentStatus/Appropriateness/Effectiveness:Ifthereareimpactslikelytohaveseriousconsequences,thereisevidenceavailabletosupporttheuseofanimmediatemanagementresponseorafurtheranalysisoftheidentifiedrisk.Inthiscontext,fullrecognitionshouldbegiventothespecialcircumstancesandrequirementsindevelopingcountriesandcountriesintransition,includingfinancialandtechnicalassistance,technologytransfer,trainingandscientificcooperation.


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

FAOCCRF(1995)7.6.9FAOEco(2009)31.1

LowConfidenceRating




Thereisnoapplicationofappropriatemeasurestominimizecatch,wasteanddiscardsofnon-targetspecies(bothfishandnon-fishspecies)andimpactsonassociated,dependentor

Thereisinsufficientapplicationofappropriatemeasurestominimizecatch,wasteanddiscardsofnon-targetspecies(bothfishandnon-fishspecies)andimpactsonassociated,dependentorendangered

Thereismoderateapplicationofappropriatemeasurestominimizecatch,wasteanddiscardsofnon-targetspecies(bothfishandnon-fishspecies)andimpactsonassociated,dependentorendangered

Appropriatemeasuresareappliedtominimizecatch,wasteanddiscardsofnon-targetspecies(bothfishandnon-fishspecies)andimpactsonassociated,dependentorendangered


103 endangeredspecies.


species.


species.


species.



Process:Thereisamechanismbywhichmanagementmeasuresaredevelopedtominimizethecatch,wasteanddiscardingofnon-targetspeciesandtheimpactofthefisheryonassociated,dependentandETPspecies.Thissystemshallincludethedevelopmentofspecificmanagementobjectives.

CurrentStatus/Appropriateness/Effectiveness:Therearemeasuresinplacetominimizecatch,waste,anddiscardsofnon-targetspecies(bothfishandnon-fishspecies).Thesemeasuresareconsideredeffectiveatachievingthespecificmanagementobjectivesdescribedintheprocessparameter.

Therearemeasuresinplacetominimizeimpactsonassociated,dependent,orendangeredspecies.Thesemeasuresareconsideredeffectiveatachievingthespecificmanagementobjectivesdescribedintheprocessparameter.


12.5.1 Thereshallbemanagementobjectivesthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.

FAOECO(2011)41





(FullConformance)

Therearenomanagementobjectivesthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureor

Thereareinsufficientlyeffectivemanagementobjectivesthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandany

Therearemoderatelyeffectivemanagementobjectivesthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandany

Thereareeffectivemanagementobjectivesthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandany


104 enhancementactivity,

includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.


associatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.







Process:Thereisaprocessinplacethatallowsforthecreationofmanagementobjectivesthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.Anoteondatacollections.Theadequacyofdatarelatesprimarilytothequantityandtypeofdatacollected(includingsamplingcoverage)anddependscruciallyonthenatureofthesystemsbeingmonitoredandpurposestowhichthedataarebeingput.Someanalysisoftheprecisionresultingfromsamplingcoveragewouldnormallybepartofanassessmentofadequacyandreliability.Thecurrencyofdataisimportantinteraliabecauseitscapacityforsupportingreliableassessmentofcurrentstatusandtrendsdeclinesasitgetsolder.Therequirementsfordatacollectionarefocussedontheeffectsoftheunitofcertificationonendangeredspecies.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceofeffectivemanagementobjectivesinplaceinthefisheryunderassessment(e.g.inafisherymanagementplan)thatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludefisherymanagementplans,stockandecosystemsassessmentreports.

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

FAOEco(2009)31.1FAOEco(2011)41.1

LowConfidenceRating




(FullConformance)

Non-targetcatches,includingdiscards,ofstocksotherthanthe“stockunderconsideration”arenotmonitoredandmaythreatenthesenon-targetstockswithseriousriskofextinction,recruitmentoverfishingor

Non-targetcatches,includingdiscards,ofstocksotherthanthe“stockunderconsideration”areinsufficientlymonitoredandmaythreatenthesenon-targetstockswithseriousriskofextinction,

Non-targetcatches,includingdiscards,ofstocksotherthanthe“stockunderconsideration”aremoderatelymonitoredandmaythreatenthesenon-targetstockswithseriousriskofextinction,

Non-targetcatches,includingdiscards,ofstocksotherthanthe“stockunderconsideration”aremonitoredandmaythreatenthesenon-targetstockswithseriousriskofextinction,recruitmentoverfishingor


105 otherimpactsthatarelikely

tobeirreversibleorveryslowlyreversible.Ifsuchimpactsarise,effectiveremedialactionarenottaken.


recruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.Ifsuchimpactsarise,effectiveremedialactionareinsufficientlytaken.


recruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.Ifsuchimpactsarise,effectiveremedialactionaremoderatelytaken.


otherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.Ifsuchimpactsarise,effectiveremedialactionaretaken.



Process:Thereisasystemtomonitornon-targetcatchesanddiscardsofstocksotherthanthestockunderconsideration,andtodeterminethelikelihoodthatthesecatchesanddiscardsrepresentasignificantrisktotheaffectedspecies.Theassessmentofrisksshallsupporttheachievementofappropriatemanagementobjectivesforbycatchspecies.

CurrentStatus/Appropriateness/Effectiveness:Ifcatchesendangerthesestockswithseriousriskofextinction,recruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversibleseriousriskofextinction,effectiveremedialactionistakenbythemanagementorganization.Examplesofirreversibleorveryslowlyreversibleeffectsonbycatchspeciesincludeexcessivedepletionofverylong-livedorganisms.Tomitigateeffectsthatarelikelytobeirreversibleorveryslowlyreversiblerequiresthoseeffectstobemadelessseveresuchthattheyarenolongerlikelytobeirreversibleorveryslowlyreversible.Examplesofmanagementmeasuresmayincludeincidentaltakeallowances,bycatchcaps,prohibitedretention,safereleasepractices,oruseofbycatchreductiondevicesorpractices.Remedialactionshallbeconsideredeffectiveifitreducestheimpactofthefisheryonnon-targetspeciestothepointwherethereisnolongerariskofextinction.


12.7Theroleofthe“stockunderconsideration”inthefoodwebshallbeconsidered,andifitisakeypreyspeciesintheecosystem,managementobjectivesandmeasuresshallbeinplacetoavoidsevereadverseimpactsondependentpredators.

FAOEco(2009)31.2

FAOEco(2011)41.2





(FullConformance)

Thereisnoconsiderationoftheroleofthe“stockunderconsideration”inthefoodweb,especiallyifitisakeypreyspeciesintheecosystem,toavoidsevereadverseimpactsondependentpredators.

Thereisinsufficientconsiderationoftheroleofthe“stockunderconsideration”inthefoodweb,especiallyifitisakeypreyspeciesintheecosystem,withobjectivesandmeasurestoavoidsevereadverseimpactson

Thereismoderateconsiderationoftheroleofthe“stockunderconsideration”inthefoodweb,especiallyifitisakeypreyspeciesintheecosystem,withobjectivesandmeasurestoavoidsevereadverseimpactson

Theroleofthe“stockunderconsideration”inthefoodwebisconsidered,andforakeypreyspeciesintheecosystem,withobjectivesandmanagementmeasuresareinplacetoavoidsevereadverseimpactson


106


dependentpredators.


dependentpredators.


dependentpredators.



Process:Thereisamechanisminplacebywhichtheroleofthestockunderconsiderationinthefoodwebisassessedandmonitored,anditsrelativeimportanceasapreyspeciesisdetermined.Ifthespeciesisconsideredbytherelevantscientificauthoritytobeanimportantpreyspecies,thereshallbespecificmanagementobjectivesrelatingtominimizingtheimpactsofthefisheryondependentpredators.TheFAOGuidelinesrequirethatallsourcesoffishingmortalityonthestockunderconsiderationaretakenintoaccount(whetherornotitisapreyspecies)inassessingthestateofthestockunderconsideration,includingdiscards,unobservedmortality,incidentalmortality,unreportedcatchesandcatchesinotherfisheries.

CurrentStatus/Appropriateness/Effectiveness:Therearemanagementmeasuresinplacewhichhavebeendevelopedtoachievethemanagementobjectivesdescribedintheprocessparameter,andthereisevidencetodemonstratethattheyaresuccessfultothisend.Ifthespeciesunderassessmentisnotconsideredtobeakeypreyspecies,thenthisparametershallbeconsideredfulfilled.


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

FAOCCRF(1995)8.7.1





(FullConformance)

ThereisnointroductionandenforcementoflawsandregulationsbasedontheInternationalConventionforthePreventionofPollutionfromShips,1973,asmodifiedbytheProtocolof1978relatingthereto(MARPOL73/78).


ThereisinsufficientlyeffectiveintroductionandenforcementoflawsandregulationsbasedontheInternationalConventionforthePreventionofPollutionfromShips,1973,asmodifiedbytheProtocolof1978relatingthereto(MARPOL73/78).


ThereismoderatelyeffectiveintroductionandenforcementoflawsandregulationsbasedontheInternationalConventionforthePreventionofPollutionfromShips,1973,asmodifiedbytheProtocolof1978relatingthereto(MARPOL73/78).


TheStatehasintroducedandenforceslawsandregulationsbasedontheInternationalConventionforthePreventionofPollutionfromShips,1973,asmodifiedbytheProtocolof1978relatingthereto(MARPOL73/78).



107


Process:Theappropriateregulationshavebeenimplemented.

CurrentStatus/Appropriateness/Effectiveness:TheseregulationsandtheirenforcementareeffectiveandinlinewiththeInternationalConventionforthePreventionofPollutionfromShips,1973,asmodifiedbytheProtocolof1978relatingthereto(MARPOL73/78).


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

FAOEco(2009)31.3

FAOEco(2011)41.3





(FullConformance)

Thereisnoknowledgebasisforavoidance,minimizationormitigationofimpactsonessentialhabitatsandonhabitatsthatarehighlyvulnerabletodamagebythefishinggearinvolvedorforconsiderationofthefullspatialrangeofrelevanthabitat.


Thereisaninsufficientknowledgebasisforavoidance,minimizationormitigationofimpactsonessentialhabitatsandonhabitatsthatarehighlyvulnerabletodamagebythefishinggearinvolvedorforconsiderationofthefullspatialrangeofrelevanthabitat.

Thereisamoderateknowledgebasisforavoidance,minimizationormitigationofimpactsonessentialhabitatsandonhabitatsthatarehighlyvulnerabletodamagebythefishinggearinvolvedorforconsiderationofthefullspatialrangeofrelevanthabitat.

Thereisknowledgeoftheessentialhabitatsforthe“stockunderconsideration”andpotentialfisheryimpactsonthem.Impactsonessentialhabitatsandonhabitatsthatarehighlyvulnerabletodamagebythefishinggearinvolvedareavoided,minimizedormitigated.Inassessingfisheryimpacts,thefullspatialrangeoftherelevanthabitatareconsidered,not


108 Lackingintwoparameters.

Lackinginoneparameter. justthatpartofthespatialrangethatispotentiallyaffectedbyfishing.



Process:Thereisamechanisminplacebywhichthepotentialimpactsofthefisheryuponhabitatsessentialtothestockunderconsiderationandonhabitatsthatarehighlyvulnerabletodamageareidentified.ThisorasimilarmechanismshallalsobeinplacetoidentifyhabitatswhicharehighlyvulnerabletofisheryactivitiesbytheUnitofCertification.Theinformationprovidedbythesemechanismsshallbeusedtoproducespecificmanagementobjectivesrelatedtoavoidingsignificantnegativeimpactsonhabitats.Theknowledgeofthehabitatsinquestioncanthereforeincluderelevanttraditional,fisherorcommunityknowledge,provideditsvaliditycanbeobjectivelyverified(i.e.theknowledgehasbeencollectedandanalysedthoughasystematic,objectiveandwell-designedprocess,andisnotjusthearsay).Whenidentifyinghighlyvulnerablehabitats,theirvaluetoETPspeciesshallbeconsidered,withhabitatsessentialtoETPspeciesbeingcategorizedaccordingly.

CurrentStatus/Appropriateness/Effectiveness:Therearemanagementmeasuresinplacewhichhavebeendevelopedtoachievetheobjectivesdescribedintheprocessparameter,andhavebeensuccessfulindoingso.


12.10 Research shall be promoted on the environmental and social impacts of fishing gear and, inparticular,ontheimpactofsuchgearonbiodiversityandcoastalfishingcommunities.

FAOCCRF(1995)8.4.8/7.6.4





(FullConformance)

Researchisnotpromotedontheenvironmentalandsocialimpactsoffishinggearanditsimpactsonbiodiversityandcoastalfishingcommunities.


Insufficientresearchispromotedontheenvironmentalandsocialimpactsoffishinggearanditsimpactsonbiodiversityandcoastalfishingcommunities.


Moderatelevelsofresearcharepromotedontheenvironmentalandsocialimpactsoffishinggearanditsimpactsonbiodiversityandcoastalfishingcommunities.


Researchispromotedontheenvironmentalandsocialimpactsoffishinggearand,inparticular,ontheimpactofsuchgearonbiodiversityandcoastalfishingcommunities.



Process:Researchispromotedontheenvironmentalandsocialimpactsoffishinggearanditsimpactsonbiodiversityandcoastalfishingcommunities,asapplicabletothefishery.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceforthisresearch,andisitconsideredappropriateforoverallfisheriesmanagementpurposes.


109 EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousregulations,dataand

reports.

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

FAOECO(2011)41.1





(FullConformance)

Therearenotoutcomeindicator(s)consistentwithachievingmanagementobjectivesfornon-targetstocks(i.e.avoidingoverfishingandotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible).


Thereareinsufficientlyeffectiveoutcomeindicator(s)consistentwithachievingmanagementobjectivesfornon-targetstocks(i.e.avoidingoverfishingandotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible).


Therearemoderatelyeffectiveoutcomeindicator(s)consistentwithachievingmanagementobjectivesfornon-targetstocks(i.e.avoidingoverfishingandotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible).


Thereareeffectiveoutcomeindicator(s)consistentwithachievingmanagementobjectivesfornon-targetstocks(i.e.avoidingoverfishingandotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible).



Process:Thereisaprocesstosetoutcomeindicator(s)consistentwithachievingmanagementobjectivesfornon-targetstocks(i.e.avoidingoverfishingandotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible).

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceofoutcomeindicator(s)consistentwithachieving


110 managementobjectivesfornon-targetstocks(i.e.avoidingoverfishingandotherimpactsthatarelikelytobeirreversibleor

veryslowlyreversible).

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludefisherymanagement,stockandecosystemsassessmentreports.

12.12Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.

FAOECO(2011)41





(FullConformance)

Therearenooutcomeindicatorsthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.


Thereareinsufficientlyeffectiveoutcomeindicatorsthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.


Therearemoderatelyeffectiveoutcomeindicatorsthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.


Thereareeffectiveoutcomeindicatorsthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.




Process:Thereisaprocessinplacethatallowsforthecreationofeffectiveoutcomeindicatorsthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceforestablishedoutcomeindicators(e.g.inafisherymanagementplanorotherregulation)thatseektoensurethatendangeredspeciesareprotected(throughstateorfederalregulations)fromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.Managementobjectivesshallbeachievedaccordingly.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludefisherymanagementplans,stockandecosystemsassessmentreports.

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

FAOECO(2011)41.3





(FullConformance)

Therearenooutcomeindicator(s)consistentwithachievingmanagementobjectivesforavoidance,minimizationormitigationofimpactsonessentialhabitatsforthe“stockunderconsideration”andonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertification.


Thereareinsufficientlyeffectiveoutcomeindicator(s)consistentwithachievingmanagementobjectivesforavoidance,minimizationormitigationofimpactsonessentialhabitatsforthe“stockunderconsideration”andonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertification.


Therearemoderatelyeffectiveoutcomeindicator(s)consistentwithachievingmanagementobjectivesforavoidance,minimizationormitigationofimpactsonessentialhabitatsforthe“stockunderconsideration”andonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertification.


Thereareeffectiveoutcomeindicator(s)consistentwithachievingmanagementobjectivesforavoidance,minimizationormitigationofimpactsonessentialhabitatsforthe“stockunderconsideration”andonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertification.



Process:Thereisamechanisminplacethatallowstheestablishmentofoutcomeindicator(s)consistentwithachievingmanagementobjectivesforavoidance,minimizationormitigationofimpactsonessentialhabitatsforthe“stockunderconsideration”andonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertification.


112 CurrentStatus/Appropriateness/Effectiveness:Thereareoutcomeindicatorsandmanagementmeasuresinplacewhich

havebeendevelopedtoachievetheobjectivesdescribedintheprocessparameter,andhavebeensuccessfulindoingso.


12.14Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektoavoidsevereadverseimpactsondependentpredatorsresultingfromtheunitofcertificationfishingonastockunderconsiderationthatisakeypreyspecies.

FAOECO(2011)41.2





(FullConformance)

Therearenooutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektoavoidsevereadverseimpactsondependentpredatorsresultingfromtheunitofcertificationfishingonastockunderconsiderationthatisakeypreyspecies.


Thereareinsufficientlyeffectiveoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektoavoidsevereadverseimpactsondependentpredatorsresultingfromtheunitofcertificationfishingonastockunderconsiderationthatisakeypreyspecies.


Therearemoderatelyeffectiveoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektoavoidsevereadverseimpactsondependentpredatorsresultingfromtheunitofcertificationfishingonastockunderconsiderationthatisakeypreyspecies.


Thereareeffectiveoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektoavoidsevereadverseimpactsondependentpredatorsresultingfromtheunitofcertificationfishingonastockunderconsiderationthatisakeypreyspecies.



Process:Thereisamechanisminplacethatallowstheestablishmentofoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektoavoidsevereadverseimpactsondependentpredatorsresultingfromtheunitofcertificationfishingonastockunderconsiderationthatisakeypreyspecies.MortalityinAlaskaisusuallyaccountedforallremovalsofgivenspecies.TheStateandfederalfishaccountingsystemsoperateindepthandmakeanexplicitefforttodocumentallremovals,toconfirmwithregulationsinforce.Theassessorsshallensurethatallremovalsareaccountedinthesystem(fishticket,eLanding)forstockassessmentandmanagementpurposes.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceforoutcomeindicatorsandmanagementmeasuresinplacewhichhavebeendevelopedtoachievetheobjectivesdescribedintheprocessparameter,andhavebeensuccessfulindoing


113 so.


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

FAOECO(2011)36.9,41LowConfidenceRating




(FullConformance)

Therearenooutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektominimizeadverseimpactsoftheunitofcertification,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.Anymodificationstothehabitatforenhancingthestockunderconsiderationarenotreversibleandcauseseriousorirreversibleharmtothenaturalecosystem’sstructure,processesandfunction.


Thereareinsufficientlyeffectiveoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektominimizeadverseimpactsoftheunitofcertification,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.Anymodificationstothehabitatforenhancingthestockunderconsiderationareinsufficientlyreversibleandcauseseriousorirreversibleharmtothenaturalecosystem’sstructure,processesandfunction.


Therearemoderatelyeffectiveoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektominimizeadverseimpactsoftheunitofcertification,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.Anymodificationstothehabitatforenhancingthestockunderconsiderationaremoderatelyreversibleandcauseseriousorirreversibleharmtothenaturalecosystem’sstructure,processesandfunction.


Thereareeffectiveoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektominimizeadverseimpactsoftheunitofcertification,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.Anymodificationstothehabitatforenhancingthestockunderconsiderationarereversibleandcauseseriousorirreversibleharmtothenaturalecosystem’sstructure,processesandfunction.



Process:Thereisaprocesstoallowfordraftingeffectiveoutcomeindicator(s)consistentwithachievingmanagement


114 objectivesthatseektominimizeadverseimpactsoftheunitofcertification,includinganyenhancementactivities,onthe

structure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.Thereisalsoaprocesstoallowanymodificationstothehabitatforenhancingthestockunderconsiderationandseriousorirreversibleharmtothenaturalecosystem’sstructure,processesandfunctiontobereversed.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceforoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektominimizeadverseimpactsoftheunitofcertification,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.Anymodificationstothehabitatforenhancingthestockunderconsiderationarereversibleandcauseseriousorirreversibleharmtothenaturalecosystem’sstructure,processesandfunction.


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

Section13ofthestandardisonlyapplicablewhenthefisheryunderassessmentutilizesfisheriesenhancementtechniques.

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

FAOCCRF(1995)9.1.2

FAOEco(2011)41





(FullConformance)

Theeffectsofaquacultureongeneticdiversityandecosystemintegrityarenotevaluatedscientifically.


Theeffectsofaquacultureongeneticdiversityandecosystemintegrityareinsufficientlyevaluated,utilizingbestavailablescientificinformation.


Theeffectsofaquacultureongeneticdiversityandecosystemintegrityaremoderatelyevaluated,utilizingbestavailablescientificinformation.


Statespromotesresponsibledevelopmentandmanagementofaquaculture,includinganadvancedevaluationoftheeffectsofaquaculturedevelopmentongeneticdiversityandecosystemintegrity,basedonthebestavailablescientificinformation.




Process:Thereisevaluationoftheeffectsofaquaculturedevelopmentongeneticdiversityandecosystemintegrity,basedonthebestavailablescientificinformation.

CurrentStatus/Appropriateness/Effectiveness:Theresearchisdeemedappropriateformaintaininggeneticdiversityandecosystemintegrity.Significantuncertaintyistobeexpectedinassessingpossibleadverseecosystemimpactsoffisheries,includingcultureandenhancementactivities.Thisissuecanbeaddressedbytakingariskassessment/riskmanagementapproach.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousregulations,dataandassessmentreports.

13.1.1Inthecaseofenhancedfisheries,thefisherymanagementsystemshouldtakedueregardofthenaturalproductionprocessesandbeappropriatefortheconservationofgeneticdiversity,biodiversity,protectionofendangeredspecies,maintenanceofintegrityofaquaticcommunitiesandecosystems,minimizingadverseimpactsonecosystemstructureandfunction.

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





(FullConformance)

Inthecaseofenhancedfisheries,thefisherymanagementsystemdoesnottakedueregardofthenaturalproductionprocessesandisnotappropriatefortheconservationofgeneticdiversity,biodiversity,protectionofendangeredspecies,maintenanceofintegrityofaquaticcommunitiesandecosystems,minimizingadverseimpactsonecosystemstructureandfunction.


Inthecaseofenhancedfisheries,thefisherymanagementsystemtakeinsufficientregardofthenaturalproductionprocessesandisinsufficientlyappropriatefortheconservationofgeneticdiversity,biodiversity,protectionofendangeredspecies,maintenanceofintegrityofaquaticcommunitiesandecosystems,minimizingadverseimpactsonecosystemstructureandfunction.


Inthecaseofenhancedfisheries,thefisherymanagementsystemtakemoderateregardofthenaturalproductionprocessesandismoderatelyappropriatefortheconservationofgeneticdiversity,biodiversity,protectionofendangeredspecies,maintenanceofintegrityofaquaticcommunitiesandecosystems,minimizingadverseimpactsonecosystemstructureandfunction.


Inthecaseofenhancedfisheries,thefisherymanagementsystemtakedueregardofthenaturalproductionprocessesandisappropriatefortheconservationofgeneticdiversity,biodiversity,protectionofendangeredspecies,maintenanceofintegrityofaquaticcommunitiesandecosystems,minimizingadverseimpactsonecosystemstructureandfunction.



Process:Thereareprocessesthroughwhichthemanagementsystemcantakedueregardofthenaturalproductionprocesses,andwhichareappropriatefortheconservationofgeneticdiversity,biodiversity,protectionofendangeredspecies,maintenanceofintegrityofaquaticcommunitiesandecosystems,andforminimizingadverseimpactsonecosystemstructureandfunction.


116 CurrentStatus/Appropriateness/Effectiveness:Thereisevidencethatthemanagementsystemhastakendueregardofthe

naturalproductionprocesses(naturalandenhancedpopulations)andiseffectivefortheconservationofgeneticdiversity,biodiversity,protectionofendangeredspecies,maintenanceofintegrityofaquaticcommunitiesandecosystems,minimizingadverseimpactsonecosystemstructureandfunction.


13.2 Stateshallproduceandregularlyupdateaquaculturedevelopmentstrategiesandplans,asrequired,toensurethataquaculturedevelopmentisecologicallysustainableandtoallowtherationaluseofresourcessharedbyaquacultureandotheractivities.

FAOCCRF(1995)9.1.3





(FullConformance)

Therearenoregularlyupdatedaquaculturedevelopmentstrategiesandplans,toensurethataquaculturedevelopmentisecologicallysustainableandtoallowtherationaluseofresourcessharedbyaquacultureandotheractivities.


Regularlyupdatedaquaculturedevelopmentstrategiesandplans,areinsufficientlyappropriatetoensurethataquaculturedevelopmentisecologicallysustainableandtoallowtherationaluseofresourcessharedbyaquacultureandotheractivities.


Regularlyupdatedaquaculturedevelopmentstrategiesandplans,aremoderatelyappropriatetoensurethataquaculturedevelopmentisecologicallysustainableandtoallowtherationaluseofresourcessharedbyaquacultureandotheractivities.


Statesproduceandregularlyupdateaquaculturedevelopmentstrategiesandplans,asrequired,toensurethataquaculturedevelopmentisecologicallysustainableandtoallowtherationaluseofresourcessharedbyaquacultureandotheractivities.



Process:Therearedefinedstrategiesandplansforaquaculturedevelopmentinaccordancewithecologicalsustainabilityandrationaluseofresourcessharedbyaquacultureandotheractivities.

CurrentStatus/Appropriateness/Effectiveness:Ifstudieshaveconcludedthataquaculturedevelopmentsareecologicallysustainableintheinterestedunitofcertificationarea,theaquaculturedevelopmentsallowtherationalsharingofresourceswithotheractivities.



117

13.2.1Stateshallensurethatthelivelihoodsoflocalcommunities,andtheiraccesstofishinggrounds,arenotnegativelyaffectedbyaquaculturedevelopments.

FAOCCRF(1995)9.1.4





(FullConformance)

Thelivelihoodsoflocalcommunities,andtheiraccesstofishinggrounds,havebeennegativelyaffectedbyaquaculturedevelopments.


Livelihoodsoflocalcommunities,andtheiraccesstofishinggrounds,areaffectedbyaquaculturedevelopmentstoasignificantdegree.


Livelihoodsoflocalcommunities,andtheiraccesstofishinggrounds,areaffectedbyaquaculturedevelopmentstoasmalldegree.


Thestateensuresthatthelivelihoodsoflocalcommunities,andtheiraccesstofishinggrounds,arenotnegativelyaffectedbyaquaculturedevelopments.



Process:Thereisamechanisminplacebywhichtheimpactsofaquaculturedevelopmentsonlocalcommunitiesandaccesstofishinggroundsarepredictedandmonitored.Theoutputsofthismechanismareusedtodefinemanagementobjectivesrelatedtominimizingthenegativeimpactsofaquaculturedevelopments.

CurrentStatus/Appropriateness/Effectiveness:Measures,regulationsandpoliciesareinplacewhichhavebeendesignedtoachievetheobjectivesdescribedintheprocessparameter,andhavebeensuccessfulindoingso.



118

13.3 Effectiveproceduresspecifictoaquacultureoffisheriesenhancementshallbeestablishedtoundertakeappropriateenvironmentalassessmentandmonitoringwiththeaimofminimizingadverseecologicalchangessuchasthosecausedbyinputsfromenhancementactivitiesandrelatedeconomicandsocialconsequences.

FAOCCRF(1995)9.1.5/9.2.5LowConfidenceRating




(FullConformance)

Proceduresarenotinplaceforenvironmentalassessmentandmonitoringtominimizeadverseecologicalandrelatedeconomicandsocialchangesfromaquaculture.


Proceduresareinplaceforenvironmentalassessmentandmonitoringbutareinsufficientlyeffectivetominimizeadverseecologicalandrelatedeconomicandsocialchangesfromaquaculture.


Proceduresareinplaceforenvironmentalassessmentandmonitoringbutareonlymoderatelyeffectivetominimizeadverseecologicalandrelatedeconomicandsocialchangesfromaquaculture.


TheStateensuresthatthelivelihoodsoflocalcommunities,andtheiraccesstofishinggrounds,arenotnegativelyaffectedbyaquaculturedevelopments.



Process:Thereisamechanisminplacebywhichthepotentialenvironmentalimpactsoffisheriesenhancementandaquaculturearepredictedandmonitored.Thismechanismshallbeusedtodevelopmanagementobjectivesrelatedtotheminimizationofadverseecologicalchanges.

CurrentStatus/Appropriateness/Effectiveness:Managementmeasuresandregulationsareinplacewhichhavebeendevelopedtoachievethemanagementobjectivesdescribedintheprocessparameter,andaresuccessful.



119

13.4Withdueregardtotheassessmentapproachemployed,stockassessmentoffisheriesthatare

enhancedthroughaquacultureinputsshallconsidertheseparatecontributionsfromaquacultureandnaturalproduction.

FAOEco(2011)43LowConfidenceRating




(FullConformance)

Withdueregardtotheassessmentapproachemployed,stockassessmentoffisheriesthatareenhancedthroughaquacultureinputsdoesnotconsidertheseparatecontributionsfromaquacultureandnaturalproduction.


Withdueregardtotheassessmentapproachemployed,stockassessmentoffisheriesthatareenhancedthroughaquacultureinputsinsufficientlyconsiderstheseparatecontributionsfromaquacultureandnaturalproduction.


Withdueregardtotheassessmentapproachemployed,stockassessmentoffisheriesthatareenhancedthroughaquacultureinputsmoderatelyconsiderstheseparatecontributionsfromaquacultureandnaturalproduction.


Withdueregardtotheassessmentapproachemployed,stockassessmentoffisheriesthatareenhancedthroughaquacultureinputsconsidertheseparatecontributionsfromaquacultureandnaturalproduction.



Process:Asappropriate,thereisamechanismforstockassessmentoffisheriesthatareenhancedthroughaquacultureinputswhichconsiderstheseparatecontributionsfromaquacultureandnaturalproduction.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidenceforstockassessmentoffisheriesthatareenhancedthroughaquacultureinputswhichconsiderstheseparatecontributionsfromaquacultureandnaturalproduction.



120

13.5Anymodificationtothehabitatforenhancingthestockunderconsiderationisreversibleanddonotcauseseriousorirreversibleharmtothenaturalecosystem’sstructureandfunction.

FAOEco(2011)41





(FullConformance)

Modificationstothehabitatforenhancingthestockunderconsiderationisnotreversibleandcauseseriousorirreversibleharmtothenaturalecosystem’sstructureandfunction.


Modificationstothehabitatforenhancingthestockunderconsiderationisinsufficientlyreversibleandmaycauseseriousorirreversibleharmtothenaturalecosystem’sstructureandfunction.


Modificationstothehabitatforenhancingthestockunderconsiderationismoderatelyreversibleandmaycauseseriousorirreversibleharmtothenaturalecosystem’sstructureandfunction.


Modificationstothehabitatforenhancingthestockunderconsiderationisreversibleanddonotcauseseriousorirreversibleharmtothenaturalecosystem’sstructureandfunction.



Process:Thereisasystemthatallowsforthepreventionorreversingofhabitatmodificationsthatmaycauseseriousorirreversibleharmtothenaturalecosystem’sstructureandfunction.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencethatarenoorminimalhabitatmodificationsandthatthesemodificationstothehabitatforenhancingthestockunderconsiderationarereversibleandcausenonetoinsignificantharmtothenaturalecosystem’sstructureandfunction.



121 13.5.1 Effortsshallbeundertakentominimizetheharmfuleffectsofintroducingnon-nativespeciesor

geneticallyalteredstocksusedforaquacultureincludingculturebasedfisheriesintowaters.





Effortsarenotundertakentominimizetheharmfuleffectsofintroducingnon-nativespeciesorgeneticallyalteredstocksusedforaquaculture,includingculture-basedfisheries.


Effortsareundertakenbutaredeemedinsufficienttominimizetheharmfuleffectsofintroducingnon-nativespeciesorgeneticallyalteredstocksusedforaquaculture,includingculture-basedfisheries.


Effortsareundertakenbutaredeemedmoderatelysuccessfulinminimizingtheharmfuleffectsofintroducingnon-nativespeciesorgeneticallyalteredstocksusedforaquaculture,includingculture-basedfisheries.


Effortsareundertakentominimizetheharmfuleffectsofintroducingnon-nativespeciesorgeneticallyalteredstocksusedforaquacultureincludingculture-basedfisheries.



Process:Thereareintroducednon-nativespeciesorgeneticallyalteredstocksusedforaquaculture,includingculturebasedfisheries.

CurrentStatus/Appropriateness/Effectiveness:Effortsaremadetominimizerecognizedharmfulissuesoreffects,and,theseeffortsareconsideredeffective.


13.5.2 Stepsshallbetakentominimizeadversegeneticdiseaseandothereffectsofescapedfarmedfishonwildstocks.


122 FAOCCRF(1995)9.3.1





(FullConformance)

Stepsarenottakentominimizeadversegenetic,diseaseandothereffectsofescapedfarmedfishonwildstocks.


Insufficientstepsaretakentominimizeadversegenetic,diseaseandothereffectsofescapedfarmedfishonwildstocks.


Moderatestepsaretakentominimizeadversegenetic,diseaseandothereffectsofescapedfarmedfishonwildstocks.


Stepsaretakentominimizeadversegenetic,diseaseandothereffectsofescapedfarmedfishonwildstocks.



Process:Thereisaprocesscapabletodealwithadversegenetic,diseaseandothereffectsofescapedfarmedfishonwildstocks.

CurrentStatus/Appropriateness/Effectiveness:Themanagementmeasuresinplaceareeffectiveinminimizingadversegenetic,diseaseandothereffectsofescapedfarmedfishonwildstocks.


13.5.3 Researchshallbepromotedtodevelopculturetechniquesforendangeredspeciestoprotect,rehabilitateandenhancetheirstocks,takingintoaccountthecriticalneedtoconservegeneticdiversityofendangeredspecies.

FAOCCRF(1995)9.3.5LowConfidenceRating MediumConfidence MediumConfidence HighConfidenceRating



Researchisnotpromotedtodevelopculturetechniquesforendangeredspeciestoprotect,rehabilitateandenhancetheirstocks.Thecriticalneedtoconservegeneticdiversityofendangeredspeciesisnottakenintoaccount.


Researchisinsufficientlypromotedtodevelopculturetechniquesforendangeredspeciestoprotect,rehabilitateandenhancetheirstocks.Thecriticalneedtoconservegeneticdiversityofendangeredspeciesisinsufficientlytakenintoaccount.


Researchismoderatelypromotedtodevelopculturetechniquesforendangeredspeciestoprotect,rehabilitateandenhancetheirstocks.Thecriticalneedtoconservegeneticdiversityofendangeredspeciesismoderatelytakenintoaccount.


Researchispromotedtodevelopculturetechniquesforendangeredspeciestoprotect,rehabilitateandenhancetheirstocks,takingintoaccountthecriticalneedtoconservegeneticdiversityofendangeredspecies.



Notapplicableifenhancementactivitiesarenotgearedtowardsendangeredspeciesrehabilitation.

Process:Thereisaprocessinplacetorecognizeifthefisheryinquestioniscomposedofoneormoreendangeredspeciesinneedofrehabilitation.

CurrentStatus/Appropriateness/Effectiveness:Researchintorehabilitationtechniquesforendangeredspeciesandtheconservationofgeneticdiversityisbeingpromoted.Theresearchhastakenintoaccountthecriticalneedtoconservegeneticdiversityofendangeredspecies.


13.6Stateshallprotecttransboundaryaquaticecosystemsbysupportingresponsibleaquaculturepracticeswithintheirnationaljurisdictionandbycooperationinthepromotionofsustainableaquaculturepractices.

FAOCCRF(1995)9.2.1





(FullConformance)


124 Thereisnosupportof

sustainableaquaculturepracticesthatprotecttransboundaryaquaticecosystemsinaccordwithinternationalnorms.


Thereisinsufficientsupportofsustainableaquaculturepracticesthatprotecttransboundaryaquaticecosystemsinaccordwithinternationalnorms.


Thereismoderatesupportofsustainableaquaculturepracticesthatprotecttransboundaryaquaticecosystemsinaccordwithinternationalnorms.


Statesprotecttransboundaryaquaticecosystemsbysupportingresponsibleaquaculturepracticeswithintheirnationaljurisdictionandbycooperationinthepromotionofsustainableaquaculturepractices.



Process:Managementmeasuresareinplacetosupportsustainableaquaculturepracticesandtheseareinaccordwithinternationalpractices.

CurrentStatus/Appropriateness/Effectiveness:Thesemeasuresareeffectiveinpromotingnationalsustainableaquaculturepractices.


13.7Stateshall,withduerespecttotheirneighboringStatesandinaccordancewithinternationallaw,ensureresponsiblechoiceofspecies,sitingandmanagementofaquacultureactivitieswhichcouldaffecttransboundaryaquaticecosystems.

FAOCCRF(1995)9.2.2LowConfidenceRating




(FullConformance)

Thereisnoensuringofresponsiblechoiceofspecies,sitesandmanagementprocedures

Thereisinsufficientensuringofresponsiblechoiceofspecies,sitesandmanagementprocedures

Thereismoderateensuringofresponsiblechoiceofspecies,sitesandmanagementprocedures

TheState,withduerespecttotheirneighboringStatesandinaccordancewithinternationallaw,ensuresresponsiblechoice


125 promotedinlinewith

internationallaw,wherethiscouldaffecttransboundaryaquaticecosystems.


promotedinlinewithinternationallaw,wherethiscouldaffecttransboundaryaquaticecosystems.


promotedinlinewithinternationallaw,wherethiscouldaffecttransboundaryaquaticecosystems.


ofspecies,sitingandmanagementofaquacultureactivitieswhichcouldaffecttransboundaryaquaticecosystems.



Process:Managementmeasuresareinplaceensuringresponsiblechoiceofspecies,sitingandmanagementofaquacultureactivitieswhichcouldaffecttransboundaryaquaticecosystems.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencefortheresponsiblein-countrychoiceofspecies,sitesandmanagementprocedures.Thisisconsideredeffectiveinminimizingpotentialriskstotransboundaryaquaticecosystems.


13.8StateshallconsultwiththeirneighboringStates,asappropriate,beforeintroducingnon-indigenousspeciesintotrans-boundaryaquaticecosystems.

FAOCCRF(1995)9.2.3





Thereisnoappropriateconsultationwithaneighboringstatewithadjacentjurisdictionpriortotheintroductionofexoticspecies.

Thereisinsufficientlyappropriateconsultationwithaneighboringstatewithadjacentjurisdictionpriortotheintroductionofexoticspecies.

Thereismoderatelyappropriateconsultationwithaneighboringstatewithadjacentjurisdictionpriortotheintroductionofexoticspecies.

TheStateconsultswiththeirneighboringStates,asappropriate,beforeintroducingnon-indigenousspeciesintotransboundaryaquaticecosystems.


126






Process:Thereisapolicyinplacedictatingtheproceduretobefollowedpriortotheintroductionofnon-indigenousspecies.

CurrentStatus/Appropriateness/Effectiveness:Thispolicyincludesarequirementthatneighboringstatesbeconsultedpriortotheintroductionofanon-indigenousspeciesintoatransboundaryarea.Ifthereisevidencethatsuchanintroductionhasoccurredinthepast,thereshallalsobeevidencethatthepolicyhasbeenfollowed.


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





(FullConformance)

Thereisnoregionalpublicdatabaseonaquacultureenterprisescompiledwiththeirspeciesandcharacteristicstofacilitateinternationalcooperation.

Thereisaregionalpublicdatabaseonaquacultureenterprisesbutitisinsufficientlycompiledwiththeirspeciesandcharacteristicstofacilitate

Thereisaregionalpublicdatabaseonaquacultureenterprisesbutitismoderatelycompiledwiththeirspeciesandcharacteristicstofacilitate

Statesestablishappropriatemechanisms,suchasdatabasesandinformationnetworkstocollect,shareanddisseminatedatarelatedtotheiraquacultureactivitiesto


127


internationalcooperation.


internationalcooperation.


facilitatecooperationonplanningforaquaculturedevelopmentatthenational,sub-regional,regionalandgloballevel.



Process:Apublicallyavailabledatabasehasbeenestablished.

CurrentStatus/Appropriateness/Effectiveness:Theinformationisdisseminatedproperlyandthedatabaseisavailableforpublicaccesssotofacilitateinternationalcooperation.


13.10Stateshallcooperateintheelaboration,adoptionandimplementationofinternationalcodesofpracticeandproceduresforintroductionsandtransfersofaquaticorganisms.





Theinternationalcodeofpracticeforintroductionsortransfersofaquaticorganismsisnotobserved.

Theinternationalcodeofpracticeforintroductionsortransfersofaquaticorganismsisinsufficientlyobserved.

Theinternationalcodeofpracticeforintroductionsortransfersofaquaticorganismsismoderatelyobserved.

Statescooperateintheelaboration,adoptionandimplementationofinternationalcodesofpracticeandproceduresforintroductionsandtransfersofaquaticorganisms.


128






Process:Thereisaninternationalcodeofpracticedeveloped.

CurrentStatus/Appropriateness/Effectiveness:Thecodeofpracticeisbeingeffectivelyobservedbythecountryofinterest.


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

FAOCCRF(1995)9.3.3,9.3.4LowConfidenceRating




(FullConformance)

TheState,inordertominimizerisksofdiseasetransferandotheradverseeffectsonwildandculturedstocks,hasnotencouraged

TheState,inordertominimizerisksofdiseasetransferandotheradverseeffectsonwildandculturedstocks,hasinsufficiently

TheState,inordertominimizerisksofdiseasetransferandotheradverseeffectsonwildandculturedstocks,hasmoderately

TheStateinordertominimizerisksofdiseasetransferandotheradverseeffectsonwildandculturedstocks,encourageadoptionof


129 adoptionofappropriate

practicesinthegeneticimprovementofbroodstocks,theintroductionofnon-nativespecies,theproduction,saleandtransportofeggs,larvaeorfry,broodstock,orotherlivematerials,andinthepreparationandimplementationofappropriatenationalcodesofpracticeandprocedurestothiseffect.


encouragedadoptionofappropriatepracticesinthegeneticimprovementofbroodstocks,theintroductionofnon-nativespecies,andintheproduction,saleandtransportofeggs,larvaeorfry,broodstock,orotherlivematerials,andpreparationandimplementationofappropriatenationalcodesofpracticeandprocedurestothiseffect.


encouragedadoptionofappropriatepracticesinthegeneticimprovementofbroodstocks,theintroductionofnon-nativespecies,theproduction,saleandtransportofeggs,larvaeorfry,broodstock,orotherlivematerials,andinthepreparationandimplementationofappropriatenationalcodesofpracticeandprocedurestothiseffect.


appropriatepracticesinthegeneticimprovementofbroodstocks,theintroductionofnon-nativespecies,andintheproduction,saleandtransportofeggs,larvaeorfry,broodstockorotherlivematerials.Statesfacilitatethepreparationandimplementationofappropriatenationalcodesofpracticeandprocedurestothiseffect.



Process:Thereisamechanisminplacetoassessandmonitortherisksofdiseasetransferandotheradverseeffectsonwildandculturedstocks,codifiedasmanagementobjectivesinacodeofpracticeorsetofprocedures.

CurrentStatus/Appropriateness/Effectiveness:Managementmeasuresshallbeimplementedtoachievetheobjectivesdescribedinthecodeofpractice,andthereisevidenceoftheirsuccessatdoingso.Careistakentoavoidbothmovementofgenotypesorspeciesbetweencatchmentareas,riverorlakesystems,andcontaminationoflocalwildgenotypesfromhatcheryanimalsofthesamespecies.Appropriatepracticeshavebeenadoptedforthegeneticimprovementofbroodstockstoavoidimpoverishmentoftheirgeneticpool.Appropriateproceduresarebeingpublishedfortheselection,production,sale,andtransportofbroodstocks,eggs,larvae,andfry.Therehasbeenpreparationandimplementationofappropriatecodesofpracticeandprocedurestoaccomplishtheabovementioneditems.


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

FAOEco(2011)36.8,40





(FullConformance)

Enhancedfisheriesmaybesupportedinpartbystockingoforganismsproducedinaquaculturefacilitiesorremovedfromwildstocksotherthanthe



Enhancedfisheriesmaybesupportedinpartbystockingoforganismsproducedinaquaculturefacilitiesorremovedfromwildstocksotherthanthe“stockunder


130 “stockunder

consideration”.Aquacultureproductionforstockingpurposesisnotmanagedanddevelopedinaccordancewithprovisionsentailingthemaintenanceofenvironmentalintegrity,theconservationofgeneticdiversity,diseasecontrol,andqualityofstockingmaterial.


“stockunderconsideration”.Aquacultureproductionforstockingpurposesisinsufficientlymanagedanddevelopedinaccordancewithprovisionsentailingthemaintenanceofenvironmentalintegrity,theconservationofgeneticdiversity,diseasecontrol,andqualityofstockingmaterial.


“stockunderconsideration”.Aquacultureproductionforstockingpurposesismoderatelymanagedanddevelopedinaccordancewithprovisionsentailingthemaintenanceofenvironmentalintegrity,theconservationofgeneticdiversity,diseasecontrol,andqualityofstockingmaterial.


consideration”.Aquacultureproductionforstockingpurposesismanagedanddevelopedaccordingtotheaboveprovisions,especiallyinrelationtomaintainingtheintegrityoftheenvironment,theconservationofgeneticdiversity,diseasecontrol,andqualityofstockingmaterial.



Process:Thereisaprocessinplacetodevelopenhancedfisheriessupportedinpartbystockingoforganismsproducedinaquaculturefacilitiesorremovedfromwildstocksotherthanthe“stockunderconsideration”,wherebyaquacultureproductionforstockingpurposesismanagedanddevelopedinaccordancewithprovisionsentailingthemaintenanceofenvironmentalintegrity,theconservationofgeneticdiversity,diseasecontrol,andqualityofstockingmaterial.Asappropriate,therearealsomanagementobjectivesandmeasuresconsistentwithavoidingsignificantnegativeimpactsofenhancementactivitiesonthenaturalreproductivestockcomponentofthestockunderconsiderationandanyotherwildstocksfromwhichtheorganismsforstockingarebeingremoved.

CurrentStatus/Appropriateness/Effectiveness:Thesemeasuresareeffective.Thereisevidenceofenhancementpracticesmanagedanddevelopedinaccordancewiththemaintenanceoftheintegrityoftheenvironment,theconservationofgeneticdiversity,diseasecontrol,andqualityofstockingmaterial.


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

• thespeciesshallbenativetothefishery’sgeographicareaor introducedhistoricallyandhavesubsequentlybecomeestablishedaspartofthe“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 operate without supplementalfeeding.

FAOEco(2011)38





(FullConformance)

Regardingtheenhancedcomponentsofthe“stockunderconsideration”,



Regardingtheenhancedcomponentsofthe“stockunderconsideration”,providedthata


131 providedthatanatural

reproductivestockcomponentismaintainedandfisheryproductionisbasedprimarilyonnaturalbiologicalproductionwithintheecosystemofwhichthe“stockunderconsideration”formsapart,enhancedfisheriesdonotmeetthefollowingcriteria:1)thespeciesisnativetothefishery’sgeographicareaorintroducedhistoricallyandhavesubsequentlybecomeestablishedaspartofthe“natural”ecosystem;2)thereisanaturalreproductivecomponentsofthe“stockunderconsideration”;3)thegrowthduringthepost-releasephaseisbaseduponfoodsupplyfromthenaturalenvironmentandtheproductionsystemoperateswithoutsupplementalfeeding.


providedthatanaturalreproductivestockcomponentismaintainedandfisheryproductionisbasedprimarilyonnaturalbiologicalproductionwithintheecosystemofwhichthe“stockunderconsideration”formsapart,enhancedfisheriesinsufficientlymeetthefollowingcriteria:1)thespeciesisnativetothefishery’sgeographicareaorintroducedhistoricallyandhavesubsequentlybecomeestablishedaspartofthe“natural”ecosystem;2)thereisanaturalreproductivecomponentsofthe“stockunderconsideration”;3)thegrowthduringthepost-releasephaseisbaseduponfoodsupplyfromthenaturalenvironmentandtheproductionsystemoperateswithoutsupplementalfeeding.


providedthatanaturalreproductivestockcomponentismaintainedandfisheryproductionisbasedprimarilyonnaturalbiologicalproductionwithintheecosystemofwhichthe“stockunderconsideration”formsapart,enhancedfisheriesmoderatelymeetthefollowingcriteria:1)thespeciesisnativetothefishery’sgeographicareaorintroducedhistoricallyandhavesubsequentlybecomeestablishedaspartofthe“natural”ecosystem;2)thereisanaturalreproductivecomponentsofthe“stockunderconsideration”;3)thegrowthduringthepost-releasephaseisbaseduponfoodsupplyfromthenaturalenvironmentandtheproductionsystemoperateswithoutsupplementalfeeding.


naturalreproductivestockcomponentismaintainedandfisheryproductionisbasedprimarilyonnaturalbiologicalproductionwithintheecosystemofwhichthe“stockunderconsideration”formsapart,enhancedfisheriesmeetthefollowingcriteria:1)thespeciesisnativetothefishery’sgeographicareaorintroducedhistoricallyandhavesubsequentlybecomeestablishedaspartofthe“natural”ecosystem;2)thereisanaturalreproductivecomponentsofthe“stockunderconsideration”;3)thegrowthduringthepost-releasephaseisbaseduponfoodsupplyfromthenaturalenvironmentandtheproductionsystemoperateswithoutsupplementalfeeding.



Process:Thereisaprocessinplacebywhichenhancedfisheriesaremanaged,andwhichincludesconsiderationoftheoriginofenhancedspecies,themaintenanceofnaturallyreproducingcomponents,andthefoodsupplyduringthepost-releasephase.Theintentofthisclausedoesnotrefertonetpenrearingafterfishareremovedfromhatcheries,buttothetimewhensalmonarereleasedinthewildfortheiroceanmigration.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencetodemonstratethatthespeciesinthestockunderconsiderationisnativetothefishery’sgeographicarea,orwasintroducedhistoricallyandhassubsequentlybecomeestablishedaspartofthe“natural”ecosystem.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencetodemonstratethatthereisanaturallyreproductivecomponentofthe“stockunderconsideration”.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencetodemonstratethatthegrowthofthestockedcomponentduringthepost-releasephaseisbaseduponfoodsupplyfromthenaturalenvironmentandtheproductionsystemoperateswithoutsupplementalfeeding.

EvidenceBasis:Availability,quality,andadequacyoftheevidence.Examplesmayincludevariousregulations,dataand


132 reports.

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

• naturallyreproductivecomponentsofenhancedstocksshallnotbeoverfished;• naturallyreproductivecomponentsofenhancedstocksshallnotbesubstantiallydisplaced

bystockedcomponents. Inparticular,displacementshallnotresult inareductionofthenatural reproductive stock component below abundance-based target reference points(ortheirproxies)definedfortheregulationofharvest.

FAOEco(2011)39





(FullConformance)

Inthecaseofenhancedfisheries,the“stockunderconsideration”maycomprisenaturallyreproductivecomponentsandcomponentsmaintainedbystocking.In



Inthecaseofenhancedfisheries,the“stockunderconsideration”maycomprisenaturallyreproductivecomponentsandcomponentsmaintainedbystocking.Inthecontextofavoidingsignificant


133 thecontextofavoiding

significantnegativeimpactsofenhancementactivitiesonthenaturalreproductivecomponentsof“stockunderconsideration”:1)naturallyreproductivecomponentsofenhancedstocksareoverfished;and2)naturallyreproductivecomponentsofenhancedstocksaresubstantiallydisplacedbystockedcomponents.Inparticular,displacementresultsinareductionofthenaturalreproductivestockcomponentbelowabundance-basedtargetreferencepoints(ortheirproxies)definedfortheregulationofharvest.


thecontextofavoidingsignificantnegativeimpactsofenhancementactivitiesonthenaturalreproductivecomponentsof“stockunderconsideration”:1)themajorityofnaturallyreproductivecomponentsofenhancedstocksareoverfished;and2)naturallyreproductivecomponentsofenhancedstocksareoftensubstantiallydisplacedbystockedcomponents.Inparticular,displacementresultsinasignificantreductionofthenaturalreproductivestockcomponentbelowabundance-basedtargetreferencepoints(ortheirproxies)definedfortheregulationofharvest.


thecontextofavoidingsignificantnegativeimpactsofenhancementactivitiesonthenaturalreproductivecomponentsof“stockunderconsideration”:1)significantfewofthenaturallyreproductivecomponentsofenhancedstocksareoverfished;2)significantfewnaturallyreproductivecomponentsofenhancedstocksaresubstantiallydisplacedbystockedcomponents.Inparticular,displacementresultsinaminorreductionofthenaturalreproductivestockcomponentbelowabundance-basedtargetreferencepoints(ortheirproxies)definedfortheregulationofharvest.


negativeimpactsofenhancementactivitiesonthenaturalreproductivecomponentsof“stockunderconsideration”:1)naturallyreproductivecomponentsofenhancedstocksarenotoverfished;and2)naturallyreproductivecomponentsofenhancedstocksarenotsubstantiallydisplacedbystockedcomponents.Inparticular,displacementdoesnotresultinareductionofthenaturalreproductivestockcomponentbelowabundance-basedtargetreferencepoints(ortheirproxies)definedfortheregulationofharvest.



Process:Thereisaprocessinplacetomanagethenaturallyreproductivecomponentsandcomponentsmaintainedbystockingofthe“stockunderconsideration”,toavoidsignificantnegativeimpactsofenhancementactivitiesonthenaturallyreproductivecomponents(forexample,overfishingordisplacement).

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencetodemonstratethatthenaturallyreproductivecomponentsofenhancedstocksarenotoverfished.

CurrentStatus/Appropriateness/Effectiveness:Thereisevidencetosupportthatthenaturallyreproductivecomponentsofenhancedstocksarenotsubstantiallydisplacedbystockedcomponents,andspecificallynotresultinginareductionofthenaturalreproductivestockcomponentbelowabundance-basedtargetreferencepoints(ortheirproxies)asdefinedfortheregulationofharvest(e.g.escapementgoals).



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AlaskaSeafoodMarketingInstitute

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