alaska responsible fisheries management certification program · b. science & stock assessment...

AlaskaResponsibleFisheriesManagementCertificationProgram

FisheriesStandardVersion2.0

FortheassessmentofAlaskafisheries

May2018

FINALDRAFTALASKARFMCERTIFICATIONFISHERIESSTANDARDV2.0

FINALDRAFTVersion2.0 May2018Pageiof47

TableofContents

FOREWORD.......................................................................................................................1

StructureoftheAlaskaResponsibleFisheriesManagementFisheriesStandard.................5FisheriesStandards–FundamentalClauses..........................................................................5

A.TheFisheriesManagementSystem...............................................................................5B.Science,StockAssessmentActivitiesandthePrecautionaryApproach........................5C.Managementmeasures,implementation,monitoring,andcontrol.............................6D.SeriousImpactsoftheFisheryontheEcosystem..........................................................6

United Nations Food and Agriculture Organization’s Definition of ResponsibleFisheriesManagement......................................................................................................7

Topicsthatwilltriggerimmediateassessmentfailure...........................................................7

ResponsibleFisheriesManagementFundamentalClausesandSupportingClauses...........8A.TheFisheriesManagementSystem...............................................................................8B.Science&StockAssessmentActivitiesandthePrecautionaryApproach....................13C.ManagementMeasures,Implementation,Monitoring,andControl..........................18D.SeriousImpactsoftheFisheryontheEcosystem........................................................23

SummaryofKeyChanges................................................................................................29

Appendix1......................................................................................................................34

Appendix2......................................................................................................................36

Appendix3......................................................................................................................38

Appendix4......................................................................................................................39

Appendix5......................................................................................................................42

Appendix6......................................................................................................................43

Appendix7......................................................................................................................44

Appendix8......................................................................................................................46

FINALDRAFTALASKARFMCERTIFICATIONFISHERIESSTANDARDV2.0

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FOREWORDThisdocumentsetsouttherequirementsthatmustbeachievedbyAlaskafisheriesoperatingwithintheAlaska200nmEEZforAlaskaResponsibleFisheriesManagement(RFM)Certification.AllAlaskaFisheriesareeligibletoapplyfortheRFMProgram.TheRFMProgramhasdevelopedaspecificDataDeficienttoolforfisherieswhenrelevant.TheAlaska RFMCertification Program is a voluntary and internationally accredited assessment ofwhether an Alaska fishery meets strict criteria to be certified as meeting “Responsible FisheriesManagement”. The RFM Program consists of two seafood certification standards: 1) FisheriesStandardand2)ChainofCustodyStandard.ThisdocumentappliestojusttheFisheriesStandard.

TheAlaskaRFMFisheriesStandardhasbeen inexistencesince2010.Theremitof theAlaskaRFMFisheriesStandardandProgramis:

“Responsible Fisheries Management, including enhancement practices (but excluding full

cycleaquaculture),up to thepointof landing,with themainobjectivebeing thebiological

sustainability of the “stock under consideration”, with consideration for conservation,

biodiversity and ecosystem integrity; and due regard to social responsibility and the

economicviabilityofthefishery.”

TheFisheriesStandardwasdevelopedbyan independentFisheriesStandardCommittee (formerlytheConformanceCriteriaCommittee)andisbasedonthefollowingFAOGuidelinesandDocuments:

•CodeofconductforResponsibleFisheries1995

•Guidelines for Eco-labelling of Fish and Fishery Products for Marine Capture Fisheries

2005/2009

•GuidelinesfortheEco-labellingofFishandFisheryProductsfromInlandCaptureFisheries

2011

•FAOFisheriesCircularNo.917,October1996

For V 2.0, the following FAO publications were also reviewed for relevance and integrated asdeemedappropriatebytheFisheriesStandardCommittee(FSC):

• InternationalGuidelineonBycatchManagementandReductionofDiscards2011–IGBD(2011)

• InternationalPlanofActiontoPrevent,Deter,andEliminateIllegal,UnreportedandUnregulatedFishing2001–FAOIUU(2001)

• FAOTechnicalGuidelinesforResponsibleFisheries-FisheriesManagementSupplement4.MarineProtectedAreasandFisheries2011–FAOFM/MPA(2011)

ToviewtheStandardSettingProcessontheoriginalFisheryStandardclickhere.

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AlaskaRFMFisheriesStandardVersion2.0(V2.0)/SixKeyPrinciplesinFourSections

TheAlaskaRFMFisheriesStandardV2.0focuseson6KeyPrinciplesforevaluatingfisheries:

1. TheFisheriesManagementSystem

2. ScienceandStockAssessmentActivities

3. ThePrecautionaryApproach

4. ManagementMeasure

5. Implementation,MonitoringandControl

6. SeriousImpactsoftheFisheryontheEcosystem

ThesesixkeyprinciplesarenowarrangedinfourKeySectionswithinV2.0:

A.TheFisheriesManagementSystem

B.Science&StockAssessmentActivitiesandthePrecautionaryApproach

C.ManagementMeasures,Implementation,MonitoringandControl

D.SeriousImpactsoftheFisheryontheEcosystem

FisheryCertificationProcess

AnISO17065AccreditedCertificationBody(CB)conductstheassessmentandcertificationofAlaskafisheries. The CB is responsible for ensuring the competency and consistency of assessmentpractices.

Theassessmentprocessfromapplicationtocertificationcontainssevenmajorsteps.

1. ApplicationandApplicantReview

2. 30DayNotificationPeriodtoPublic/StakeholderstoregistertocommentonDraftReport

3. AssessmentVerification/InformationReview,SiteVisits,FullDraftAssessmentReport

4. ExternalPeerReview

5. 30DayPublic/StakeholderCommentPeriodonDraftReport

6. FinalAssessmentReport

7. CertificationDecision

The current RFM Standard versions andthe RFM Quality Management System (QMS) and RFMProceduresareavailableontheASMIwebsite.TheRFMStandardswillbeupdatedasamatterofprocessandprocedure.Currentcertifiedfisherieswillbeallowedaminimumof threeyears fromdateofnewS issue tocome intocompliancewithanyneweditionoftheRFMFisheriesStandard.


New fisheriesor fisheries in Full Re-Certificationare subject to assessment against theRFMV2.0Standardfromdateofissue. After certification, the fishery enters annual surveillance assessments for continuing certification.Re-certificationoccursafteraperiodoffiveyearswithannualsurveillanceauditstakingplacewithinthisperiod.AlaskaFisheriesStandardV2.0RevisionsOverview

The Alaska RFM Fisheries Standard V 2.0 includes many substantial changes, adding depth androbustnesstotheAlaskaRFMCertificationProgram.RevisionsarebasedonacombinationoffactorsincludingneedsforimprovementsrecognizedbytheAlaskaSeafoodMarketingInstitute(ASMI)andtheRFMFisheries Standard Committee, stakeholder input collected over a two year process, andrequiredcomponentsoftheGlobalSustainableSeafoodInitiative(GSSI)globalbenchmarktool.

Insummary,thechangesandimprovementstoAlaskaRFMFisheriesStandardV2.0include:

• Rewordingofcomplexclauses;

• Generalhousekeepingandrestructuring;

• Fusionofclauseswithoverlappingrequirements;

• Arranging6KeyPrinciplesforevaluatingfisheriesinto4KeySections;

• Inclusionofspecificmetricsandindicators;

• Improvedspecificityofsomeclauses(e.g.stockstatus,ecosystemcomponents,etc…);

• ReviewofadditionalFAOdocumentationandrelatedinclusionofsomeclauses;

• ScoringandGuidancedocumentimprovements;

• DevelopmentofanaddendumandframeworkforDataDeficientFisheriesassessments;

• Modificationofthescoringmatrixfromadescriptivetoanumericalsystem;

• TheAlaskaRFMFisheryStandardisnotapplicabletodeep-seafisheries;

A specific list of revisions is detailed in Appendices 2-8 within the Fisheries Standard V 2.0. A‘SummaryofKeyChanges’documentisalsoavailable.

RFMOwnershipandGovernance

The RFMProgram is owned andmanaged by the Alaska SeafoodMarketing Institute (ASMI). TheASMIBoardofDirectors is theapprovingbodyforallStandards,strategyandpolicyrelatedtotheAlaskaRFMProgram.TherearethreeadvisorycommitteestotheASMIBoardofDirectorsasnotedinthefollowingchart.TheAlaskaRFMFisheriesStandardCommitteeisanindependentexpertcommitteewhichoverseesthe ongoing review and development of the Fisheries Standard. This committee includes nationaland international experts in fishery science, management, and sustainability; including eNGOrepresentation. Current members of the Fisheries Standard Committee can be found athttp://www.alaskaseafood.org/rfm-certification/about-rfm/advisory-committees/


Inquiries/FurtherInformation

MoredetailsregardingtheRFMFisheriesStandard,itsapplication,anditsrulesandregulationscanbeobtainedfromtheASMISustainabilityDirectorattheaddressbeloworviatheASMIwebsite.

ContactDetails

Address: Alaska Seafood Marketing Institute, 311 N. Franklin Street Suite 200Juneau,AK99801-1147

TelephoneNumber:800-478-2903

Email:[email protected]

Site:www.alaskaseafood.org


StructureoftheAlaskaResponsibleFisheriesManagementFisheriesStandardThe Alaska Responsible Fisheries Management Fisheries Standards are divided into four keycomponents:


B.ScienceandStockAssessmentActivities,andthePrecautionaryApproach

C.ManagementMeasures,implementation,monitoringandcontrol


ComponentsA–D inturncontain13FundamentalClauses,eachmadeupof itsrelativesupportingclauses. Please note that Fundamental Clauses can be seen as summary clauses (i.e., not to bescored)forfullassessmentpurposes(butinsteadusedforvalidationorsurveillanceassessments).

Fisheries Standards – Fundamental Clauses


1. There shall be a structured and legally mandated management system based upon andrespectinginternational,national,andlocalfisherylaws,fortheresponsibleutilizationofthetargetstockandconservationofthemarineenvironment.

2. Management organizations shall participate in coastal area management institutionalframeworks,decision-makingprocesses,andactivitiesrelatedtothefisheryanditsusersinsupportofsustainable,integrated,resourceuseandconflictavoidance.

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

B.Science,StockAssessmentActivitiesandthePrecautionaryApproach

4. Thereshallbeaneffectivefisherydata(dependentandindependent)collectionandanalysissystemforstockmanagementpurposes.

5. To support its optimum utilization, there shall be regular stock assessment activitiesappropriateforthefisheryresource—itsrange,thespeciesbiology,andtheecosystem—allundertakeninaccordancewithacknowledgedscientificstandards.

6. The current state of the stock shall be defined in relation to reference points, relevantproxies,orverifiablesubstitutes,allowingforeffectivemanagementobjectivesandtargets.Remedial actions shall be available and taken where reference points or other suitableproxiesareapproachedorexceeded.

7. Management actions and measures for the conservation of stock and the aquatic


environmentshallbebasedontheprecautionaryapproach.Whereinformationisdeficient,asuitablemethodusingriskassessmentshallbeadoptedtotakeintoaccountuncertainty.

C.Managementmeasures,implementation,monitoring,andcontrol8. Management shall adopt and implement effective management measures designed to

maintain stocks at levels capable of producing maximum sustainable yields, includingharvestcontrolrulesandtechnicalmeasuresapplicabletosustainableuseofthefisheryandbaseduponverifiableevidenceandadvicefromavailablescientificandobjective,traditionalsources.

9. Fishingoperationsshallbecarriedoutbyfisherswithappropriatestandardsofcompetenceinaccordancewithinternationalstandards,guidelines,andregulations.

10. An effective legal and administrative framework shall be established and complianceensured through effective mechanisms for monitoring, surveillance, control, andenforcementforallfishingactivitieswithinthejurisdiction.

11. There shall bea framework for sanctionsof adequate severity to support complianceanddiscourageviolationsandillegalactivities.


12.Considerationsoffishery interactionsandtheireffectsontheecosystemshallbebasedonbestavailablescience,localknowledgewhereitcanbeobjectivelyverified,andarisk-basedmanagementapproachtodeterminethemostprobableadverseimpacts.Adverseimpactsonthefisheryontheecosystemshallbeappropriatelyassessedandeffectivelyaddressed.

13.Where fisheries enhancement is utilized, environmental assessment and monitoring shallconsidergeneticdiversityandecosystemintegrity.

The following codes represent the short form for the key FAO documents and specificarticles/clauses/criteria used to reference the fundamental and supporting clauses of the RFMStandard.

Code ReferenceFAO CCRF(1995)

FAO.CodeofConduct forResponsibleFisheriesRome,FAO.1995. ISBN92-5-103834-1

FAOEco(2009)

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

FAOEco(2011)

FAO.Guidelines for theEcolabellingof FishandFisheryproducts from InlandCaptureFisheries.Rome/Roma,FAO.2011.

FAO IGBD(2011)

FAO. International guidelines on bycatch management and reduction ofdiscards.Rome,FAO.2011

FAOIUU(2001) FAO. International Plan of Action to prevent, deter and eliminate illegal,unreportedandunregulatedfishing.Rome,FAO.2001.

FAO FM/MPA(2011)

FAO. Fisheries management. 4. Marine protected areas and fisheries. FAOTechnical Guidelines for Responsible Fisheries. No. 4, Suppl. 4. Rome, FAO.2011.


UnitedNationsFoodandAgricultureOrganization’sDefinitionofResponsibleFisheriesManagement

Responsible fisheries management shall ensure the effective conservation, responsiblemanagement, and development of living aquatic resources with respect for conservation,biodiversity,andecosystemsintegrity.

The“Remit”oftheRFMFisheriesStandardfocuseson:Responsible fisheries management, including enhancement practices (but excluding fullcycleaquaculture)uptothepointoflanding,withthemainobjectivebeingthebiologicalsustainability of the stock under consideration; with consideration for conservation,biodiversity,ecosystemintegrity,anddueregardtosocialresponsibilityandtheeconomicviabilityofthefishery.

Inthisregard,thestockismaintainedatalevelwhichpromotestheobjectiveofoptimalutilizationandavailabilityforpresentandfuturegenerations,takingintoaccountthatlonger-termchangesinproductivitycanoccurduetonaturalvariabilityand/orimpactsotherthanfishing.Intheeventthatbiomass drops well below precautionary target levels, management measures shall allow forrestorationwithinreasonabletimeframesofthestockstosuchlevels(Clause30,FAO2009).

TheUnitofCertification

Thefisheryunderassessmentincludesprimarilythespecieswhichmakesuptheprincipaltargetofthefishery.Theunitofcertification(UoC)specifiesthefisheryunderassessment,thegeographicalarea where the fishery is prosecuted, the gear type/s employed and the key managementorganisation/s. Associated bycatch species in the assessment do not form part of the certifiedspeciesclaim.

Topics that wil l tr igger immediate assessment fai lure Certainfisheriesmanagement issueswilltrigger immediatefail inthefishery.Theseissuesshallbereviewedbytheassessmentteampriortothefullassessment.Ifafisheryisfoundtocarryoutthefollowing activities, assessment will stop immediately and the fishery will fail automatically in itsattempttogainRFMcertification.

• Dynamiting,poisoning,andothercomparabledestructivefishingpractices• Significant illegal, unreported, and unregulated (IUU) fishing activities in the country

jurisdiction• Sharkfinning(i.e., removalandretentionofsharkfinswhiletheremainderoftheshark is

discardedintheocean)• Slaveryandslavelaboronboardfishingvessels• Any significant lack of compliance with the requirements of an international fisheries

agreement towhich the U.S. is signatory. A fisherywill have to be formally cited by theInternational Governing body that has competence with the international Treaty inquestion,andthattheUShasbeennotifiedofthatcitationofnon-compliance.


ResponsibleFisheriesManagementFundamentalClausesandSupportingClausesA.TheFisheriesManagementSystem

1. Thereshallbeastructuredandlegallymandatedmanagementsystembaseduponandrespectinginternational,State,andlocalfisherylaws,fortheresponsibleutilizationofthestockunderconsiderationandconservationofthemarineenvironment.FAOCCRF(1995)7.1.3,7.1.4,7.1.9,7.3.1,7.3.2,7.3.4,7.6.8,7.7.1,10.3.1FAOEco(2009)28FAOEco(2011)35,37.3

1.1 Thereshallbeaneffectivelegalandadministrativeframeworkestablishedatinternational,Stateandlocalllevelsappropriateforfisheryresourceconservationandmanagement.Themanagement system and the fishery operate in compliance with the requirements ofinternational, State, and local laws and regulations, including the requirements of anyregionaland/orinternationalfisheriesmanagementagreement.FAOCCRF(1995)7.7.1FAOEco(2009)28FAOEco(2011)35

1.2 Managementmeasuresshallconsider(1)stockstatus(i.e.,overfished,biomass)andgeneticdiversity (stock structure) over its entire area of distribution, and (2) other biologicalcharacteristicsofthefishstock(stock)includingageofmaturityandreproductivepotential.FAOEco(2009)30.3FAOEco(2011)37.3

1.2.1 Previouslyagreedmanagementmeasuresestablishedandapplied in thesameregionshallbetakenintoaccountbymanagement.FAOCCRF(1995)7.3.1

1.3 Where transboundary, shared, straddling, highly migratory, or high seas fish stocks areexploited by two or more States (neighboring or not), the applicant and appropriatemanagement organizations concerned shall cooperate and take part in the formal fisherycommissionorarrangementsappointedtoensureeffectiveconservationandmanagementofthestock(s)inquestionandtheirenvironment.

1.3.1 Conservation and management measures established for the stock under consideration

within the jurisdiction of the relevant States for transboundary, shared, straddling, highlymigratory,orhighseas stocks, shallbecompatible inamannerconsistentwith the rights,competence,andinterestsoftheStatesconcerned.

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

1.4 AState’s fisherymanagementorganizationnotmemberorparticipantofasub-regionalorregional fisheries management organization shall cooperate, in accordance with relevantinternational agreements and law, in the conservation and management of the relevant


fisheriesresourcesbygivingeffecttoanyrelevantmeasuresadoptedbysuchorganizationorarrangement.FAOCCRF(1995)7.1.5

1.4.1 A fishery management organization seeking to take any action through a non-fisheryorganization which may affect the conservation and management measures taken by acompetentsub-regionalorregionalfisheriesmanagementorganizationorarrangementshallconsultwiththelatter,inadvancetotheextentpracticable,andtakeitsviewsintoaccount.FAOCCRF(1995)7.3.5

1.5 The applicant fishery’s management system, when appropriate for the stock underconsideration, shall actively foster cooperation between States with regard to (1)informationgatheringandexchange, (2) fisheries research, (3) fisheriesmanagement, and(4)fisheriesdevelopment. FAOCCRF(1995)7.3.4

1.6 A fishery management organization and sub-regional or regional fisheries managementorganizations and arrangements, as appropriate, shall agree on the means by which theactivities of such organizations and arrangements will be financed, bearing inmind, interalia, the relativebenefitsderived fromthe fisheryand thedifferingcapacitiesofStates toprovide financial and other contributions. Where appropriate, and when possible, suchorganizations and arrangements shall aim to recover the costs of fisheries conservation,management,andresearch.

FAOCCRF(1995)7.7.4

1.6.1Without prejudice to relevant international agreements, States or fishery managementorganizationsshallencouragebanksandfinancial institutionsnottorequire,asaconditionofaloanormortgage,fishingvesselsorfishingsupportvesselstobeflaggedinajurisdictionotherthanthatoftheStateofbeneficialownershipwheresucharequirementwouldhavetheeffectofincreasingthelikelihoodofnon-compliancewithinternationalconservationandmanagementmeasures.FAOCCRF(1995)7.8.1

1.7 Withinthefisherymanagementsystem,proceduresshallbeinplacetokeeptheefficacyofcurrent conservation and management measures and their possible interactions undercontinuousreview,andtoreviseorabolishtheminthelightofnewinformation.

FAOCCRF(1995)7.6.8

1.8 The management arrangements and decision-making processes for the fishery shall beorganizedinatransparentmanner.FAOCCRF(1995)7.1.9

1.9 Management organizations not party to the Agreement to Promote Compliance withInternationalConservationandManagementMeasuresbyVesselsFishingontheHighSeasshallbeencouragedtoaccepttheAgreementandtoadoptlawsandregulationsconsistentwiththeprovisionsoftheAgreement.FAOCCRF(1995)8.2.6


2. Management organizations shall participate in coastal area management , decision-making processes and activities related to the fishery and its users, supportingsustainableandintegratedresourceuse,andconflictavoidance.

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

2.1 Within the fisheries management organization’s jurisdiction, an appropriate policy, legal,andinstitutionalframeworkshallbeadoptedinordertoachievesustainableandintegrateduseoflivingmarineresources,(1)takingintoaccountthefragilityofcoastalecosystemsandfinitenatureoftheirnaturalresources,(2)allowingfordeterminationofthepossibleusesofcoastalresourcesandgoverningaccesstothem,and(3)recognizingtherightsandneedsofcoastal communities and their customary practices to the extent compatible withsustainable development. In setting policies for themanagement of coastal areas, Statesshalltakedueaccountoftherisksanduncertaintiesinvolved.

FAOCCRF(1995)10.1.1,10.1.3,10.2.3

2.1.1 States shall establish mechanisms for cooperation and coordination in planning,development,conservation,andmanagementofcoastalareas.

FAOCCRF(1995)10.4.1

2.1.2 The fisheries management organization shall ensure that the authority or authoritiesrepresenting the fisheries sector and fishing communities in the coastal managementprocesshavetheappropriatetechnicalcapacitiesandfinancialresources.FAOCCRF(1995)10.4.2

2.2 Representatives of the fisheries sector and fishing communities shall be consulted in thedecision-makingprocessesinvolvingactivitiesrelatedtocoastalareamanagementplanninganddevelopment.Thepublic,aswellasothersaffected,shallalsobekeptawareoftheneedfor protection and management of coastal resources, and shall participate in themanagementprocess.FAOCCRF(1995)10.1.2,10.2.1

2.3 Fisheriespracticesthatavoidconflictamongfishersandotherusersofthecoastalarea(e.g.,fisheries enhancement facilities, tourism, energy) shall be adopted, and fishing shall beregulated in such away as to avoid risk of conflict among fishers using different vessels,gear, and fishing methods. Procedures and mechanisms shall be established at theappropriateadministrativeleveltosettleconflictsthatarisewithinthefisheriessectorandbetweenfisheriesresourceusersandothercoastalusers.

FAOCCRF(1995)7.6.5,10.1.4,10.15

2.4 States’ fisheries management organizations and sub-regional or regional fisheriesmanagement organizations and arrangements shall giveduepublicity to conservation andmanagementmeasures and ensure that laws, regulations, andother legal rules governingtheir implementation are effectively disseminated. The bases and purposes of suchmeasuresshallbeexplainedtousersoftheresource inordertofacilitatetheirapplicationandthusgainincreasedsupportintheimplementationofsuchmeasures.

FAOCCRF(1995)7.1.10


2.5 The economic, social, and cultural value of coastal resources shall be assessed by theappropriate fisheriesmanagementorganization inorder toassistdecisionmakingon theirallocationanduse.FAOCCRF(1995)10.2.2

2.6 Statesshallcooperatetosupportandimprovecoastalareamanagement,andinaccordancewith capacities,measures shall be taken to establish or promote (1) systems for researchandmonitoringofthecoastalenvironment,and(2)multidisciplinaryresearchofthecoastalarea using physical, chemical, biological, economic, social, legal, and institutionalcapabilities.FAOCCRF(1995)10.2.4,10.2.5,10.3.3FAOCCRF(1995)8.11.3

2.7 Inthecaseofactivitiesthatmayhaveanadverseenvironmentaleffectoncoastalareasofother States, States shall provide timely information and if possible, prior notification topotentiallyaffectedStates,andconsultwiththoseStatesasearlyaspossible.FAOCCRF(1995)10.3.2

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

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

3.1 Long-term management objectives shall be translated into a plan or other managementdocument (taking into account uncertainty and imprecision) and be subscribed to by allinterestedparties. FAOCCRF(1995)7.3.3FAOEco(2009)28.1FAOEco(2011)35.1

3.1.1 There shall be management objectives seeking to ensure that ETP species are protected

from adverse impacts resulting from interactions with the unit of certification and anyfisheriesenhancementactivity, includingrecruitmentoverfishingorother impacts thatarelikelytobeirreversibleorveryslowlyreversible.

FAOEco(2011)41

3.1.2 Thereshallbemanagementobjectivesseekingtoavoid,minimize,ormitigateimpactsoftheunit of certification on the stock under consideration’s essential habitats, and on habitatsthatarehighlyvulnerabletodamagebytheunitofcertification’sfishinggear.FAOEco(2011)41.3

3.1.3 There shallbemanagementobjectives seeking tominimizeadverse impactsof theunitofcertification (including any fishery enhancement) on the structure, and function of theecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.

FAOEco(2011)36.9


3.2 Managementmeasuresshallprovide,interalia,that:3.2.1 Excess fishing capacity shall be avoided and exploitation of the stocks shall remain

economicallyviable.3.2.2 Theeconomicconditionsunderwhich fishing industriesoperateshallpromoteresponsible

fisheries.3.2.3 The interests of fishers, including those engaged in subsistence, small-scale, and artisanal

fisheriesshallbetakenintoaccount.3.2.4 Biodiversity of aquatic ecosystems shall be conserved and ETP species shall be protected.

Where relevant, there shall be pertinent objectives, and as necessary, managementmeasures.FAOCCRF(1995)7.2.2FAOEco(2009)28.2FAOEco(2011)35.2


B.Science&StockAssessmentActivities,andthePrecautionaryApproach

4. Thereshallbeeffectivefisherydata(dependentandindependent)collectionandanalysissystemsforstockmanagementpurposes.

FAOCCRF(1995)7.1.9,7.4.4,7.4.5,7.4.6,8.4.3,12.4FAOEco(2009)29.1–29.3FAOEco(2011)36.1,36.3–36.5,37.4

4.1 All significant fishery removals andmortality of the target species (shall be considered bymanagement. Specifically, reliable and accurate data required for assessing the status offishery(ies) and ecosystems—including data on retained catch, bycatch, discards, andwaste—shall be collected. Data can include relevant traditional, fisher, or communityknowledge,providedtheirvaliditycanbeobjectivelyverified.Thesedatashallbecollected,at an appropriate time and level of aggregation, by relevant management organizationsconnected with the fishery, and provided to relevant States regional, and internationalfisheriesorganizations.

FAOCCRF(1995)7.3.1,7.4.6,7.4.7,12.4FAOEco(2009)29.1–29.3FAOEco(2011)36.1,36.3,36.4

4.1.1 Timely, complete, and reliable statistics shall be compiled on catch and fishing effort andmaintained in accordance with applicable international standards and practices, and insufficientdetail toallowsoundstatisticalanalysis for stockassessment.Suchdatashallbeupdatedregularlyandverifiedthroughanappropriatesystem.Theuseofresearchresultsasa basis for settingmanagement objectives, reference points, and performance criteria, aswellasforensuringadequatelinkagebetweenappliedresearchandfisheriesmanagement(e.g.,adoptionofscientificadvice)shallbepromoted.Resultsofanalysisshallbedistributedaccordinglyasacontributiontofisheriesconservation,management,anddevelopment.FAOCCRF(1995)7.4.4,12.3,12.13FAOEco(2009)29.1,29.3FAOEco(2011)36.3,36.5

4.1.2 In the absence of specific information on the stock under consideration, generic evidencebasedonsimilarstockscanbeused.However,thegreatertheriskofoverfishing,themorespecificevidenceisnecessarytoascertainthesustainabilityofintensivefisheries.FAOEco(2009)30.4FAOEco(2011)37.4

4.2 Anobserverschemedesignedtocollectaccuratedataforresearchandsupportcompliancewithapplicablefisherymanagementmeasuresshallbeestablished.FAOCCRF(1995)8.4.3FAOEco(2009)29.2bis

4.2.1 Wherenecessary, fisheriesmanagement organizations and regional fisheriesmanagementorganizations and other such arrangements should strive to achieve a level and scope ofobserverprogramssufficienttoprovidequantitativeestimatesoftotalcatch,discards,andincidentaltakesoflivingaquaticresources.FAOIGBD(2011)5.1.3


4.3 A fisheries management organization, regional fisheries management organizations orarrangementsshallcompiledataandmakethemavailable,inamannerconsistentwithanyapplicable confidentiality requirements, ina timelymannerand inanagreed format toallmembers of these organizations and other interested parties in accordance with agreedprocedures.

FAOCCRF(1995)7.4.6,7.4.7

4.4 States shall stimulate the research required to support national policies related to fish asfood.FAOCCRF(1995)12.7

4.5 There shall be sufficient knowledge of the economic, social, marketing, and institutionalaspects of fisheries collected through data gathering, analysis, and research, as well ascomparabledatageneratedforongoingmonitoring,analysis,andpolicyformulation.FAOCCRF(1995)7.4.5,12.9

4.6 Thefisheriesmanagementorganizationshall investigateanddocumenttraditionalfisheriesknowledgeand technologies—inparticular those applied to small-scale fisheries—inorderto assess their application to sustainable fisheries conservation, management, anddevelopment.FAOCCRF(1995)12.12

4.7 Ifa fisheriesmanagementorganization isconductingscientific researchactivities inwatersofanotherState, it shallensurethat theirvesselscomplywith the lawsandregulationsofthatStateandinternationallaw.FAOCCRF(1995)12.14

4.8 Adoption of uniform guidelines governing fisheries research conducted on the high seasshall be promoted and, where appropriate, support the establishment of policies thatinclude, interalia,facilitatingresearchattheinternationalandsharingtheresearchresultswithaffectedStates.FAOCCRF(1995)12.15,12.16

4.9 If appropriate, the fisheries management organization and relevant internationalorganizations shall promote and enhance the research capacities of developing countries,interalia, intheareasofdatacollectionandanalysis, information,scienceandtechnology,human resource development, and provision of research facilities, in order for them toparticipate effectively in the conservation, management, and sustainable use of livingaquaticresources.FAOCCRF(1995)12.18

4.10 Competent national organizations shall,where appropriate, render technical and financialsupport to States upon request and when engaged in research investigations aimed atevaluatingstockswhichhavebeenpreviouslyunfishedorverylightlyfished.FAOCCRF(1995)12.19


4.11 Relevant technical and financial international organizations shall, upon request, supportStates in their research efforts, devoting special attention to developing countries—inparticulartheleastdevelopedamongthemandsmalldevelopingislandcountries.FAOCCRF(1995)12.20

5. Thereshallberegularstockassessmentactivitiesappropriateforthefishery,itsrange,thespecies biology, and the ecosystem, undertaken in accordance with acknowledgedscientificstandardstosupportitsoptimumutilization.

FAOCCRF(1995)7.2.1,12.2,12.3,12.5,12.6,12.7,12.17FAOEco(2009)29–29.3,31FAOEco(2011)42

5.1 An appropriate institutional framework shall be established to determine the appliedresearch required and its proper use (i.e., assess/evaluate stock assessmentmodel/practices)forfisherymanagementpurposes.FAOCCRF(1995)12.2/12.6

5.1.1 Less elaborate stock assessmentmethods are frequently used for small-scale or low-valuecapture fisheries resulting in greater uncertainty about the status of the stock underconsideration.,Amoreprecautionaryapproachtomanagingfisheriesonsuchresourcesshallberequired, including,whereappropriate,a lowerlevelofresourceutilization.Arecordofgoodmanagementperformancemaybeconsideredassupportingevidenceoftheadequacyofthemanagementsystem.FAOEco(2011)42

5.1.2 Thefisheriesmanagementorganizationshallensurethatappropriateresearchisconductedinto all aspects of fisheries including biology, ecology, technology, environmental science,economics, and fishery enhancement. Analysis results shall be distributed in a timely andreadily understandable fashion in order that the best scientific evidence availablecontributes to fisheries conservation, management, and development. The fisheriesmanagementorganizationshallalsoensuretheavailabilityofresearchfacilitiesandprovideappropriatetraining,staffing,andinstitutionbuildingtoconducttheresearch.

FAOCCRF(1995)12.1,7.4.2

5.2 Thereshallbeestablishedresearchcapacitynecessarytoassessandmonitor(1)theeffectsof climate or environment change on stocks and aquatic ecosystems, (2) the state of thestock under State jurisdiction, and (3) the impacts of ecosystem changes resulting fromfishingactivity,pollution,orhabitatalteration. FAOCCRF(1995)12.5FAOEco(2009)31

5.3 Management organizations shall cooperate with relevant international organizations toencourageresearchinordertoensureoptimumutilizationoffisheryresources.FAOCCRF(1995)12.7

5.4 The fisherymanagement organizations shall directly, or in conjunction with other States,develop collaborative technical and research programs to improve understanding of the


biology,environment,andstatusoftransboundaryshared,straddling,highlymigratoryandhighseasstocks.

FAOCCRF(1995)12.7,12.17

5.5 Datageneratedbyresearchshallbeanalysedandtheresultsofsuchanalysespublishedinawaythatensuresconfidentialityisrespected,whereappropriate.FAOCCRF(1995)12.3

6. The current state of the stock shall be defined in relation to reference points, relevantproxies,orverifiablesubstitutes thatalloweffectivemanagementobjectivesandtargetstobeset.Remedialactionsshallbeavailableandtakenwherereferencepointsorothersuitableproxiesareapproachedorexceeded.

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 The fishery management organization shall establish safe target reference point(s) formanagement. Management targets are consistent with achieving maximum sustainableyield (MSY), a suitable proxy, or a lesser fishing mortality—if that is optimal in thecircumstances of the fishery (e.g., multispecies fisheries) or is needed to avoid severeadverseimpactsondependentpredators.FAOEco(2009)29.2FAOEco(2011)36.3

6.2 Thefisherymanagementorganizationshallestablishappropriatelimitreferencepoint(s)forexploitation(i.e.,consistentwithavoidingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible;Appendix1,Part1).Whenalimitreferencepoint is approached,measures shall be taken to ensure that it will not be exceeded. Forinstance, if fishing mortality (or its proxy) is above the associated limit reference point,actions should be taken to decrease the fishing mortality (or its proxy) below that limitreferencepoint.

6.3 Dataandassessmentproceduresthatmeasurethepositionofthefisheryinrelationtothe

referencepointsshallbeestablished.Accordingly,thestockunderconsiderationshallnotbeoverfished(i.e.,abovelimitreferencepointorproxy)andtheleveloffishingpermittedshallbe commensurate with the current state of the fishery resources, maintaining its futureavailability,andtakingintoaccountthatlong-termchangesinproductivitycanoccurduetonaturalvariabilityand/orimpactsotherthanfishing(Appendix1,Part1).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

6.4 Management actions shall be agreed to in the eventuality that data sources and analysesindicate that these reference points have been exceeded. Accordingly, contingency plansshallbeagreedinadvancetoallowanappropriatemanagementresponsetoseriousthreatsto the resource as a result of overfishing, adverse environmental changes, or otherphenomenathatmayhaveadverseeonimpactsonthefisheryresource(Appendix1,Part


2). Such measures may be temporary and shall be based on best scientific evidenceavailable.

FAOCCRF(1995)7.5.3,7.5.5FAOEco(2009)29.6,30.2FAOEco(2011)36.3

6.5 Measures shall be introduced to identify and protect depleted stocks and those stocksthreatened with depletion, and to facilitate the sustained recovery/restoration of suchstocks.Also,effortsshallbemadetoensurethatresourcesandhabitatscriticaltothewell-being of such stocks, which have received adverse impacts by fishing or other humanactivities,arerestored. FAOCCRF(1995)7.6.10FAOEco(2009)30

7. Managementactionsandmeasuresfortheconservationofstockandtheecosystemshallbe based on the precautionary approach. Where information is deficient a suitablemethodusingriskmanagementshallbeadoptedtoconsideruncertainty.

FAOCCRF(1995)7.5.1,7.5.4,7.5.5,12.3FAOEco(2009)29.6,32FAOEco(2011)36.7

7.1 The precautionary approach shall be applied widely to conservation, management, andexploitationof ecosystems to protect themandpreserve the ecosystem. This should takedueaccountof fisheryenhancementprocedures,whereappropriate.Absenceof scientificinformationshallnotbeusedasareasonforpostponingorfailingtotakeconservationandmanagement measures. Relevant uncertainties shall be taken into account through asuitablemethodofriskmanagement,includingthoseassociatedwiththeuseofintroducedortranslocatedspecies.1FAOEco(2009)29.6FAOEco(2011)36.7

7.1.1 InimplementingthePA,thefisherymanagementorganizationshalltakeintoaccount,interalia,uncertaintiesrelatingtothesizeandproductivityofthestocks,referencepoints,stockconditioninrelationtosuchreferencepoints,levelsanddistributionoffishingmortality,theimpactof fishingactivities (includingdiscards)onnon-target andassociatedordependantpredators,andenvironmentalandsocioeconomicconditions.FAOCCRF(1995)7.5.2

7.1.2 Intheabsenceofadequatescientificinformation,appropriateresearchshallbeinitiatedinatimelyfashion.FAOCCRF(1995)7.5.1,12.3FAOEco(2009)29.6,32

7.2 In the case of new or exploratory fisheries, the fishery management organization shalladopt, as soon as possible, cautious conservation and management measures, including,interalia,catchlimitsandeffortlimits.Suchmeasuresshouldremaininforceuntilthereare

1 FAO Technical Guidelines for Responsible Fisheries No. 2 – Precautionary approach to capture fisheries and speciesintroductions.


sufficient data to allow assessment of the impact of the fisheries on the long-termsustainabilityof thestocks,whereuponconservationandmanagementmeasuresbasedonthat assessment should be implemented. Management measures should, if appropriate,allowforthegradualdevelopmentofthefisheries.FAOCCRF(1995)7.5.4

C.ManagementMeasures,Implementation,Monitoring,andControl8. Management shall adopt and implement effective management measures designed to

maintain stocks at levels capable of producing maximum sustainable yields, includingharvest control rules and technicalmeasures applicable to sustainable utilization of thefishery,andbaseduponverifiableevidenceandadvicefromavailableobjectivescientificandtraditionalsources.

FAOCCRF(1995)7.1.1,7.1.2,7.1.6,7.4.1,7.6.1,7.6.9,12.3FAOEco(2009)29.2,29.4,30FAOEco(2011)36.2,36.3

8.1 Conservation and management measures shall be designed to ensure the long-termsustainability of fishery resources at levels which promote optimum utilization, and arebasedonverifiableandobjectivescientificand/ortraditional,fisher,orcommunitysources.FAOCCRF(1995)7.1.1;FAOEco(2009)29.2,29.4FAOEco(2011)36.2

8.1.1 When evaluating alternative conservation and management measures, the fisherymanagementorganizationshallconsidertheircost-effectivenessandsocialimpact.FAOCCRF(1995)7.6.7

8.1.2 Responsible fisheries management organizations shall adopt and implement measuresnecessary to ensure the management of bycatch and reduction of discards as part offisheriesmanagement(1)inaccordancewiththePA,asreflectedinArticle6oftheUNFishStocksAgreement,andassetoutinArticle6.5and7.5oftheCode;(2)inaccordancewiththe responsible use of fish as set out in the Code; and (3) based on the best scientificevidenceavailable,takingintoaccountfishers’knowledge.FAOIGBD(2011)3.2.2

8.2 Thefisherymanagementorganizationshallprohibitdynamiting,poisoning,andothersimilardestructivefishingpractices.FAOCCRF(1995)8.4.2

8.3 The fishery management organization shall seek to identify domestic parties having alegitimate interest in the use and management of the fishery. When deciding on use,conservation, and management of the resource, due recognition shall be given, whererelevant, in accordance with national laws and regulations, to the traditional practices,needs, and interests of indigenous people and local fishing communitieswhich are highlydependentontheseresourcesfortheirlivelihood.Arrangementsshallbemadetoconsultalltheinterestedpartiesandgaintheircollaborationinachievingresponsiblefisheries. FAOCCRF(1995)7.1.2,7.1.6,7.6.6


8.4 Whereexcesscapacityexists,mechanismsshallbeestablishedtoreducecapacityto levelscommensuratewithsustainableuseoftheresource.Fleetcapacityoperatinginthefisheryshallbemeasuredandmonitored.The fisherymanagementorganizationshallmaintain, inaccordancewithrecognized internationalstandardsandpractices,statisticaldata,updatedatregularintervals,onallfishingoperationsandarecordofallauthorizationstofishallowedbythem.FAOCCRF(1995)7.1.8,7.6.3,8.1.2,8.1.3

8.4.1 Studiesshallbepromotedthatprovideanunderstandingofthecosts,benefits,andeffectsof alternative management options designed to rationalize fishing, especially optionsrelatingtoexcessfishingcapacityandexcessivelevelsoffishingeffort.FAOCCRF(1995)7.4.3

8.5 Technical measures regarding the stock under consideration shall be taken into account,whereappropriate, in relation to fish size,mesh size, gear, closed seasonsor areas, areasreservedforparticular(e.g.,artisanalfisheries),andprotectionofjuvenilesorspawners.

8.5.1 Appropriatemeasuresshallbeappliedtominimizecatch,waste,anddiscardsofnon-target

species (both fish and non-fish species), and impacts on associated, dependent, orendangeredspecies.FAOCCRF(1995)7.6.9FAOEco(2009)31.1

8.6 Fishing gear shall be marked in accordance with the State’s legislation in order that theowner of the gear can be identified. Gearmarking requirements shall take into accountuniformandinternationallyrecognizablegearmarkingsystems. FAOCCRF(1995)8.2.4

8.7 The fisherymanagement organization and relevant groups from the fishing industry shallmeasure performance and encourage the development, implementation, and use ofselective, environmentally safe, and cost-effective gear, technologies, and techniques thatare sufficiently selective as tominimize catch,waste, discards of non-target species (bothfish andnon-fish species), and impacts on associatedor dependent predators. The use offishinggearandpracticesthatleadtodiscardingthecatchshallbediscouraged,andtheuseoffishinggearandpracticesthatincreasesurvivalratesofescapingfishshallbepromoted.Inconsistentmethods,practices,andgearsshallbephasedoutaccordingly. FAOCCRF(1995)7.2.2,7.6.4,7.6.9,8.4.5,8.5.2

8.8 Technologies, materials, and operational methods or measures—including, to the extentpracticable,thedevelopmentanduseofselective,environmentallysafe,andcosteffectivefishinggearandtechniques—shallbeappliedtominimizethelossoffishinggear,theghostfishingeffectsoflostorabandonedfishinggear,pollution,andwaste.FAOCCRF(1995)7.2.2,8.4.6,8.4.1

8.9 The intent of fishing selectivity and fishing impacts-related regulations shall not becircumvented by technical devices. Information on new developments and requirementsshallbemadeavailabletoallfishers. FAOCCRF(1995)8.5.1


8.10 Assessment and scientific evaluation shall be carried out on the impacts of habitatdisturbanceon the fisheriesandecosystemsprior to the commercial-scale introductionofnew fishinggear,methods,andoperations.Accordingly, the impactsof such introductionsshallbemonitored.FAOCCRF(1995)8.4.7,12.11

8.11 Internationalcooperationshallbeencouragedforresearchprograms involvingfishinggearselectivity, fishing methods and strategies, dissemination of the results of such researchprograms,andthetransferoftechnology. FAOCCRF(1995)8.5.4

8.12 Thefisherymanagementorganizationandrelevant institutions involved inthefisheryshallcollaborate indevelopingstandardmethodologiesforresearch intofishinggearselectivity,fishing methods and strategies, and on the behavior of target and non-target speciesregarding such fishing gear—as an aid for management decisions and with a view tominimizingnon-utilizedcatches.FAOCCRF(1995)8.5.3,12.10

8.13 Where appropriate, policies shall be developed for increasing stock populations and

enhancing fishing opportunities through the use of artificial structures. The fisherymanagementorganizationshallensurethat,whenselectingthematerialstobeusedinthecreation of artificial reefs, as well as when selecting the geographical location of suchartificial reefs, the provisions of relevant international conventions concerning theenvironmentandthesafetyofnavigationareobserved.FAOCCRF(1995)8.11.1,8.11.2

9. Fishing operations shall be carried out by fishers with appropriate standards of

competenceinaccordancewithinternationalstandards,guidelinesandregulations.

FAOCCRF(1995)8.1.7,8.1.10,8.2.4,8.4.5

9.1 States shalladvance, througheducationand trainingprograms, theeducationandskillsoffishers and,where appropriate, their professional qualifications. Such programs shall takeintoaccountagreedinternationalstandardsandguidelines.FAOCCRF(1995)8.1.7,8.4.1

9.2 States, with the assistance of relevant international organizations, shall endeavour toensure,througheducationandtraining,thatallthoseengagedinfishingoperationsbegiveninformationonthemostimportantprovisionsoftheFAOCCRF(1995),aswellasprovisionsof relevant international conventions and applicable environmental and other standardsthatareessentialtoensureresponsiblefishingoperations.FAOCCRF(1995)8.1.10

9.3 The fishery management organization shall, as appropriate, maintain records of fisherswhich shall, whenever possible, contain information on their service and qualifications,includingcertificatesofcompetency,inaccordancewiththeirState’slaws.FAOCCRF(1995)8.1.8


10. An effective legal and administrative framework shall be established and complianceensured, through effective mechanisms for monitoring, surveillance, control, andenforcementforallfishingactivitieswithinthejurisdiction.

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. Effectivemechanismsshallbeestablishedforfisheriesmonitoring,surveillance,control,andenforcement measures including, where appropriate, observer programs, inspectionschemes, andvesselmonitoring systems, toensure compliancewith the conservationandmanagementmeasures for the fishery in question. This could include relevant traditional,fisher,orcommunityapproaches,providedtheirperformancecouldbeobjectivelyverified.

FAOCCRF(1995)7.1.7;FAOEco(2009)29.5FAOEco(2011)36.6

10.2 Fishingvesselsshallnotbeallowedtooperateonthestockunderconsiderationinquestionwithoutspecificauthorization.FAOCCRF(1995)7.6.2;

10.3 States involved in the fishery shall, in accordance with international law, and within theframeworkoffisheriesmanagementorganizationsorarrangements,cooperatetoestablishsystemsformonitoring,control,surveillance,andenforcementofapplicablemeasureswithrespecttofishingoperationsandrelatedactivitiesinwatersoutsidetheStatesjurisdiction.

FAOCCRF(1995)8.1.4

10.3.1Fishery management organizations which are members of or participants in fisheriesmanagement organizations or arrangements, shall implement internationally agreedmeasuresadoptedintheframeworkofsuchorganizationsorarrangementsandconsistentwith international law to deter the activities of vessels flying the flag of non-members ornon-participantsengaginginactivitiesthatunderminetheeffectivenessofconservationandmanagementmeasuresestablishedbysuchorganizationsorarrangements.Inthatrespect,portStatesshallalsoproceed,asnecessary,toassistotherStatesinachievingtheobjectivesoftheFAOCCRF(1995),andshouldmakeknowntootherStatesdetailsofregulationsandmeasurestheyhaveestablishedforthispurposewithoutdiscriminationforanyvesselofanyotherState.

FAOCCRF(1995)7.7.5,8.3.1

10.4 FlagStatesshallensurethatnofishingvesselsareentitledtoflytheirflag,fishonthehighseasorinwatersunderthejurisdictionofotherStates,unlesssuchvesselshavebeenissuedwithaCertificateofRegistryandhavebeenauthorizedtofishbythecompetentauthorities.SuchvesselsshallcarryonboardtheCertificateofRegistryandtheirauthorizationtofish.FAOCCRF(1995)8.2.2

10.4.1 Fishing vessels authorized to fishon thehigh seasor inwatersunder the jurisdictionof aState other than the flag State shall be marked in accordance with uniform andinternationallyrecognizablevesselmarkingsystemssuchastheFAOStandardSpecificationsandGuidelinesforMarkingandIdentificationofFishingVessels.


FAOCCRF(1995)8.2.311. There shall bea framework for sanctions for violationsand illegal activitiesof adequate

severitytosupportcomplianceanddiscourageviolations.

FAOCCRF(1995)7.7.2,8.2.7

11.1 Statelawsofadequateseverityshallbeinplacethatprovideforeffectivesanctions.11.2 Sanctions applicable to violations and illegal activities shall be adequate in severity to be

effectiveinsecuringcomplianceanddiscouragingviolationswherevertheyoccur.Sanctionsshallalsobeinforcetoaffectauthorizationtofishand/ortoserveasmastersorofficersofafishingvesselintheeventofnon-compliancewithconservationandmanagementmeasures.FAOCCRF(1995)7.7.2,8.1.9,8.2.7

11.3 Fisheriesmanagement organizations shall ensure that sanctions for IUU fishing by vesselsand,tothegreatestextentpossible,nationalsunderitsjurisdictionareofsufficientseverityto effectively prevent, deter, and eliminate IUU fishing and to deprive offenders of thebenefitsaccruingfromsuchfishing.Thismayincludetheadoptionofacivilsanctionregimebased on an administrative penalty scheme. Fisheries management organizations shallensuretheconsistentandtransparentapplicationofsanctions.FAOIUU(2001)21

11.4 FlagStatesshalltakeenforcementmeasurestowardsfishingvesselsentitledtoflytheirflagwhich have been found by the State to have contravened applicable conservation andmanagementmeasures.TheStateshall,whereappropriate,makethecontraventionofsuchmeasuresanoffenseundernationallegislation.FAOCCRF(1995)8.2.7



12. Considerationsoffisheryinteractionsandeffectsontheecosystemshallbebasedonthebestscientificevidenceavailable,localknowledgewhereitcanbeobjectivelyverified,anda risk assessment-basedmanagement approach for determiningmost probable adverseimpacts.Adverseimpactsofthefisheryontheecosystemshallbeappropriatelyassessedandeffectivelyaddressed.

FAOCCRF(1995)7.2.3,8.4.7,8.4.8,12.11FAOEco(2009)29.3,31FAOEco(2011)41–41.4

12.1 Thefisherymanagementorganizationshallassessthe impactsofenvironmentalfactorsontarget stocks and associated or dependent species in the same ecosystem, and therelationshipamongthepopulationsintheecosystem.FAOCCRF(1995)7.2.3

12.2 Themostprobableadverse impacts fromhumanactivities, including fisheryeffectson theecosystem/environment, shall be assessed and, where appropriate, addressed andor/corrected, taking intoaccountavailablescientific informationand localknowledge.Thismay take the form of an immediate management response or a further analysis of theidentifiedrisk.Inthiscontext,fullconsiderationshouldbegiventothespecialcircumstancesand requirements in developing fisheries, including financial and technical assistance,technology transfer, training, and scientific cooperation. In the absence of specificinformation on the ecosystem impacts of fishing on the unit of certification, genericevidencebasedonsimilarfisherysituationscanbeusedforfisherieswithlowriskofsevereadverseimpact.However,thegreatertherisk,themorespecificevidenceshallbenecessarytoascertaintheadequacyofmitigationmeasures.FAOCCRF(1995)7.2.2FAOEco(2009)29.3,29.4,30.4,31,31.4FAOEco(2011)41,41.4

12.2.1Thefisherymanagementorganizationshallconsiderthemostprobableadverse impactsoftheunitofcertificationonmainassociatedspecies(Appendix1,Part3and7),byassessingand, where appropriate, addressing and or/correcting them, taking into account the bestscientific evidence available and local knowledge. Accordingly, these catches (includingdiscards)shallbemonitoredandshallnotthreatenthesenon-targetspecieswithseriousriskofextinction, recruitmentoverfishing,orother impacts thatare likely tobe irreversibleorveryslowlyreversible.Ifsuchimpactsarise,effectiveremedialactionshallbetaken.

12.2.2 The fisherymanagementorganizationshallconsider themostprobableadverse impactsof

the fishery under assessment on minor associated species, by assessing and, whereappropriate, addressing and or/correcting them, taking into account available scientificinformation and local knowledge. Accordingly, these catches (including discards) shall bemonitored and shall not threaten these non target stocks with serious risk of extinction,recruitment overfishing, or other impacts that are likely to be irreversible or very slowlyreversible.Ifsuchimpactsarise,effectiveremedialactionshallbetaken.

12.2.3 There shall be outcome indicator(s) consistent with achievingmanagement objectives fornon-target species (i.e., avoiding overfishing and other impacts that are likely to be


irreversibleorveryslowlyreversible).FAOEco(2011)41.1

12.2.4 The fisherymanagementorganizationshallconsider themostprobableadverse impactsoftheunitofcertificationonETPspecies(Appendix1,Part4and7),byassessingand,whereappropriate, addressing and or/correcting them, taking into account the best scientificevidenceavailableandlocalknowledge.

12.2.5 There shall be outcome indicator(s) consistent with achieving management objectivesseeking to ensure that ETP species are protected from adverse impacts resulting frominteractions with the unit of certification and any associated enhanced fishery activity,including recruitmentoverfishingorother impacts thatare likely tobe irreversibleorveryslowlyreversible.FAOEco(2011)41

12.2.6 The fisherymanagementorganizationshallconsider themostprobableadverse impactsofthe unit of certification on habitats (Appendix1, Part 5 and 7), by assessing and, whereappropriate, addressing and or/correcting them, taking into account the best scientificevidenceavailableandlocalknowledge.

12.2.7 There shall be knowledge of the essential habitats for the stock under consideration andpotential fishery impactson them. Impactsonessential habitats, andonhabitats that arehighly vulnerable to damage by the fishing gear involved, shall be avoided,minimized, ormitigated.Inassessingfisheryimpacts,thefullspatialrangeoftherelevanthabitatshallbeconsidered,notjustthepartofthespatialrangethatispotentiallyaffectedbyfishing.

FAOEco(2009)31.3FAOEco(2011)41.3

12.2.8 There shall be outcome indicator(s) consistent with achievingmanagement objectives foravoiding, minimizing, or mitigating the impacts of the unit of certification on essentialhabitats for the stock under consideration and on habitats that are highly vulnerable todamagebythefishinggearoftheunitofcertification.FAOEco(2011)41.3

12.2.9 The fisherymanagementorganizationshallconsider themostprobableadverse impactsofthe fishery under assessment on the ecosystem (Appendix 1, Part 6), by assessing and,where appropriate, addressing and or/correcting them, taking into account availablescientificinformationandlocalknowledge.

12.2.10There shall be outcome indicator(s) consistent with achieving management objectivesseeking to minimize adverse impacts of the unit of certification (including any fisheryenhancedactivities)onthestructure,processes,andfunctionofaquaticecosystemsthatarelikely to be irreversible or very slowly reversible. Any modifications to the habitat forenhancing the stock under consideration must be reversible and not cause serious orirreversibleharmtothenaturalecosystem’sstructure,processes,andfunction.FAOEco(2011)36.9,41

12.2.11 The fishery management organization shall consider the most probable adverse humanimpactsonthestock/ecosystemunderconsideration,byassessingand,whereappropriate,


addressingandor/correctingthem,taking intoaccountavailablescientific informationandlocalknowledge.

12.3 Theroleofthestockunderconsideration inthefoodwebshallbeconsidered,andif it isakeypreyspecies2intheecosystem,managementobjectivesandmeasuresshallbeinplacetoavoidsevereadverseimpactsondependentpredators.FAOEco(2009)31.2FAOEco(2011)41.2

12.4 There shall be outcome indicator(s) consistent with achieving management objectivesseekingtoavoidsevereadverseimpactsondependentpredatorsresultingfromtheunitofcertificationfishingonastockunderconsiderationthatisakeypreyspecies3.

FAOEco(2011)41.2

12.5 States shall introduce and enforce laws and regulations based on the InternationalConventionforthePreventionofPollutionfromShips,1973,asmodifiedbytheProtocolof1978relatingthereto(MARPOL73/78).FAOCCRF(1995)8.7.1

12.6 Research shall be promoted on the environmental and social impacts of fishing gearespeciallytheimpactofsuchgearonbiodiversityandcoastalfishingcommunities.FAOCCRF(1995)8.4.8/7.6.4

12.7 The fishery management organization shall make use, where appropriate, of MarineProtectedAreas(MPAs).ThegeneralobjectivesforestablishingMPAsshallincludeensuringsustainability of fish stocks and fisheries, and protecting marine biodiversity and criticalhabitats.FAOFM/MPA(2011)1.2

13. Wherefisheriesenhancementisutilized,environmentalassessmentandmonitoringshallconsidergeneticdiversityandecosystemintegrity.

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

13.1 The fishery management organization shall promote responsible development andmanagementof fisheriesenhancement, includinganadvancedevaluationof theeffectsoffisheries enhancement on genetic diversity and ecosystem integrity, based on the bestscientificevidenceavailableand/orverifiableandobjectivetraditional,fisher,orcommunityknowledge.Significantuncertaintyistobeexpectedinassessingpossibleadverseecosystemimpacts of fisheries, including culture and enhancement activities. This issue can beaddressedbytakingariskassessment/riskmanagementapproach. FAOCCRF(1995)9.1.2FAOEco(2011)41

2SeeAppendix1page150oftheAKRFMGuidanceDocument3SeeAppendix1page150oftheAKRFMGuidanceDocument


13.1.1 In the case of enhanced fisheries, the fisherymanagement organization should take into

account natural production , and shall take appropriate actions for conserving geneticdiversity and biodiversity, protecting ETP species, maintaining aquatic ecosystems,minimizing adverse impacts on ecosystem structure and function, controlling disease, andmaintainingthequalityofenhancedstock.Enhancedfisheriesmaybesupportedinpartbystocking organisms produced in aquaculture facilities or removed from wild stocks otherthan thestockunder consideration.Aquacultureproduction for stockingpurposes shallbemanagedanddevelopedaccordingtotheaboveprovisions.

FAOCCRF(1995)9.3.1FAOEco(2011)36.8,36.9,40,41

13.2 The fishery management organization shall produce and regularly update fisheryenhancement development strategies and plans, as required, to ensure that fisheryenhancement development is ecologically sustainable and to allow the rational use ofresourcessharedbyenhancementandotheractivities. FAOCCRF(1995)9.1.3

13.2.1 Thefisherymanagementorganizationshallensurethatthelivelihoodsoflocalcommunities,and their access to fishing grounds, are not negatively affected by enhanced fisheriesdevelopments.FAOCCRF(1995)9.1.4

13.3 Effective procedures specific to fisheries enhancement activities shall be established toundertakeappropriateenvironmentalassessmentandmonitor(withtheaimofminimizing)adverse ecological changes caused by inputs (e.g., pollution, disease) and their relatedeconomicandsocialconsequences.

FAOCCRF(1995)9.1.5,9.2.5

13.4 With due regard to the assessment approach employed, stock assessment of enhancedfisheries enhanced shall consider the separate contributions from enhanced and naturalproduction.FAOEco(2011)43

13.5 Regarding the enhanced components of the stock under consideration, when a naturalreproductive stock component ismaintained and fishery production is based primarily onnaturalbiologicalproductionwithin theecosystemofwhich thestockunder considerationforms a part, enhanced fisheries shallmeet the following criteria: (1) the species shall benative to the fishery’s geographic area or introduced historically and have subsequentlybecomeestablishedaspartofthenaturalecosystem,(2)thereshallbenaturalreproductivecomponents of the stock under consideration, and (3) the growth during the post-releasephase shall bebasedupon food supply from thenatural environment and theproductionsystemshalloperatewithoutsupplementalfeeding.FAOEco(2011)38

13.6 In the case of enhanced fisheries, the stock under consideration may comprise naturallyreproductive components and componentsmaintainedby released froman enhancementfacility. To avoid significant negative impacts of fishery enhancement activities on thenaturalreproductivecomponentsofthestockunderconsideration,thefollowingshallapply:(1)naturally reproductivecomponentsofenhancedstocksshallnotbeoverfished,and (2)


naturallyreproductivecomponentsofthestockunderconsiderationshallnotbedisplacedbyenhancedcomponents,and(3)inparticular,displacementshallnotresultinareductionof the stockunder considerationbelowabundance-based target referencepoints (or theirproxies)definedfortheregulationofharvest.FAOEco(2011)39

13.7 Anymodificationtothehabitatforenhancingthestockunderconsiderationisreversibleanddoes not cause serious or irreversible harm to the natural ecosystem’s structure andfunction.FAOEco(2011)41

13.7.1 Efforts shall be undertaken to minimize the adverse impacts of introducing non-nativespeciesorgeneticallyalteredstocksusedforaquacultureintowaters.

13.7.2 Steps shall be taken to minimize adverse genetic, disease, and other effects of escapedfarmedfish(aquaculture)onwildstocks. FAOCCRF(1995)9.3.1

13.7.3 Researchshallbepromotedtodevelopenhancementtechniquesforendangeredspeciestoprotect, rehabilitate, and increase their stocks, taking into account the critical need toconservetheirgeneticdiversity. FAOCCRF(1995)9.3.5

13.8 The fishery management organization shall protect transboundary aquatic ecosystems bysupporting responsible enhanced fishery practices within the States jurisdiction andcooperatingtopromotesustainableenhancedfisherypractices.FAOCCRF(1995)9.2.1

13.9 Thefisherymanagementorganizationshall,withduerespecttotheirneighboringStatesandin accordance with international law, ensure responsible choice of species, siting, andmanagement of enhanced fisheries activities that could affect transboundary aquaticecosystems.FAOCCRF(1995)9.2.2

13.10 The fishery management organization shall consult with their neighboring States, asappropriate, before introducing non-indigenous species into transboundary aquaticecosystems.FAOCCRF(1995)9.2.3

13.11 The fishery management organization shall establish appropriate mechanisms—such asdatabasesandinformationnetworkstocollect,share,anddisseminatedatarelatedtotheirenhanced fishery activities—to facilitate cooperation on planning for enhanced fisherydevelopmentattheStatesandinternationallevel.FAOCCRF(1995)9.2.4

13.12 The fishery management organization shall cooperate in the elaboration, adoption, andimplementation of international codes of practice and procedures for introductions andtransfersofenhancedfish.FAOCCRF(1995)9.3.2


13.13 The fisherymanagement organization shall, in order tominimize risks of disease transfer

and other adverse impacts onwild and enhanced fishery stocks, encourage adoption andpromotetheuseofappropriatepracticesandprocedures for (1) theselectionandgeneticimprovement of broodstock, (2) the introduction of non-native species, and (3) theproduction,saleandtransportofeggs, larvae,fry,broodstock,orotherlivematerials. Thefishery management organization shall facilitate the preparation and implementation ofappropriateStates(orinternational)codesofpracticeandprocedurestothiseffect.FAOCCRF(1995)9.3.3,9.3.4


SummaryofKeyChangesThechangeslistedinthissummaryaresubstantialinnatureandareprioritizedbasedontheirsignificancetothescheme.ManyotherimprovementsweremadetotheStandardandthosemodifications,additionsanddeletionscanbefoundinthefollowingAppendicesoftheRFMStandardVersion2.0:Appendix6-modifiedclausestoreducerepetitionandstreamlinetheoverallstructureofthescheme,Appendix7and8-modificationsanddeletionsofclausesandsupportingclausestoimproveclarityandeaseofassessment.#

Section(s)inVersion2

IntroducedChange Rationale Note

1

AddedFramework

DevelopmentoftheDataDeficientFramework(DDF)-TheDDFprovidesatoolandaframeworkwithspecificguidanceonhowtoapproachadatalimitedfisheryassessment.Forthistypeofframeworktheassessmentteamwillbeassessingthreekeyclauses(stockunderconsideration,associatedbycatchandETPspeciesstatus)oftheRFMStandardthroughtheuseofariskassessmenttool,theProductivitySusceptibilityAnalysis(PSA).ThemaindirectivefortheassessmentofastockusingtheDDFisaveryconservativeharvest,whichisinlinewiththeprecautionaryapproachforfisheriesmanagement.

InthepastversionsoftheStandardtherewasnottheabilityforsmall-scalefisherieswithlowexploitationtomeetcertificationstandardseveniftherewasarequestfromtheparticipantsofthatfishery.BycreatingtheDDF,thosefisheriesthatwouldnothavepreviouslybeenabletoapplytotheAlaskaRFMprogramnowhavetheopportunitytoconsidercertification.

Externalframework/tool,whichexistsoutsideoftheStandard/Guidancedocuments.DDFwasintroducedinDecember2015.

2

ScoringandGuidanceDocument/pertinentclauses

Introductionofanumericalscoringsystem(1-10)availableforallthesupportingclausesofV2.0.EvaluationParameters(EPs)generallycovertheprocess,statusanddataavailabilityaspectsofaclauseandallhavethesamevalueacrossthedocument.Allclauseshaveataminimum3EPs,butsomehavemorethan3EPs.Theassessmentand

Publiccommentsonpaststandardswerecriticalofthe“subjective”natureofscoringfisherieswithoutusinganumericalsystem.Thischangeprovidesamechanicalsystemthatworksbyassigningnon-conformancesto

ProvidesforatransparentscoringandevaluationprocessthatbreaksdownsupportingclausesrequirementsinaconsistentfashionacrosstheScoringGuidancedocument.


scoringisdonebybreakingdownaclausebylookingattheprocess,statusanddataavailabilityandthenusingthenumberofEPsnotmetasthebasisforassigningnon-conformances.OneEPnotmetresultsinaminornon-conformance,twoEPsnotmetresultsinamajornon-conformance,and3ormoreEPsnotmetresultsinacriticalnon-conformance.

supportingclausesbasedonthenumberofEvaluationParameters(EPs)thatarenotmet.

3

ScoringandGuidanceDocument/pertinentclauses

Inrelationtotheadoptionofanumericalscoringprocess.TheorganizationoftheclausesundereachKeySectionwasmodified.AsimilarnumberofclausesnowexistundereachoverarchingKeySection(A-D)oftheStandard,whiletheoveralllevelofnon-conformancesallowedbeforeassessmentstopshasbeenreviewedanddecreasedby33%.AnadditionalchangefromthepreviousVersion1.3isthattwokeysectionshavebeenmergedresultingin4insteadof6KeySections.ThepreviousSectionBandChavebeenmergedinwhatisnowSectionB,andthepreviousSectionDandEhavebeenmergedinwhatisnowcalledSectionC.

InconjunctionwiththeadoptionofthenumericalscoringthereorganizationofthekeysectionswascriticalforthetransparencyoftheStandard,decreasingtheoveralllevelofnon-conformancesallowedbeforeassessmentstops,priortothePeerReviewstage;whileprovidingamoreconsistentnumberofsupportingclausesundereachKeySection.

Themergingof4KeySectionsintotwoKeySectionshasresultedinnolossofcontent.

4

SupplementtotheGuidanceandScoringDocumentV2.0

Creationofanall-inclusivemetrics,thresholdsandindicatorsupplementfortheRFMV2.0ScoringGuidancedocument.Themetricswereprovidedforthefollowingareas:referencepoints,harvestcontrolrules,associatedbycatch,ETPspecies,and

InpastStandardstheadditionalguidanceneededforbothassessorsandthepublichadtobefoundinthestateandfederalagenciesdocuments.Publiccommentswere

Externalsupplement,whichisreferredtobytheV2.0ScoringandGuidancedocument.ItislocatedatthetailendoftheScoringGuidancedocument.


habitat/ecosystemcomponents.Metricsandthresholdsspecificreferencepoints,harvestcontrolrules,includingoverfishingdefinitions,weredevelopedandsuppliedspecificallyforgroundfish,halibut,crabandsalmonfisheries.Theremainingmetricsandindicatorsforassessmentofassociatedbycatch,ETPspecies,andhabitat/ecosystemcomponentsarelessspeciesgroupspecificandapplymoretotheoverarchingresponsiblefisheriesmanagementprinciplesembeddedintheStandard.Thesemetrics,thresholdsandindicatorsmirrorclosely,whereapplicable,themodusoperandiandscientificallyrecognizedprinciplesandpracticesofstateandfederalfisherymanagementorganizationsinAlaska.Providedspecificfisheryexamplestoillustratetoassessmentteamsthekindofelementstoconsiderandhowtheyinterplaybetweenpotentialnegativeeffectsofthefisheryonhabitat/ecosystem.

criticalofthisinthepast.ThecreationoftheScoringGuidancedocumentallowsallparties(e.g.assessmentteam,peerreviewteam,reviewingstakeholders)tohavetheinformationneededavailabletothemwhenexercisingthecorrectapplicationoftheStandard.

5 Specificationsforassessmentofcumulativeeffectsoffisheries

Indicators,metricsandthresholdsfortheassessmentofcumulativeeffectsoffisherieshavebeenincluded.ThesenewassessmentindicatorslookprimarilyatoverallremovalsinthecontextofassociatedspeciesbycatchandETPspeciesinteractions(whererelevant),andhabitatfootprintwhenassessingcumulativeimpactsfor

Stakeholdercommentsmergedinthisdirectionsandnewspecificationstoassessthecumulativeeffectsoffisheriesweredevelopedasaresult.

ThesespecificationsarelocatedatthetailendoftheScoringGuidancedocument.


habitats.

6

Clauses4.2.1,8.1.2,11.3and12.7

IntroductionofnewclausesfromanumberofkeyFAOpublicationsdealingwithbycatchmanagementandreductionofdiscards,prohibitionofIUUfishingandusesofmarineprotectedareas.

ReviewofallpertinentFAOpublicationsisstandardwhenasignificantrevisionismadetoacertificationprogram.Publiccommentinthepasthasstronglyencouragedthispractice.

ThenewclausesincludedintheStandarddistilthekeyprinciplesofthenewestFAOpublicationsreviewed.

7 Topicsthattriggerimmediateassessmentfailure.

Someimportanttopicsrelatedtofisheriesmanagementwilltriggerimmediatefailinthefishery.Theassessmentteampriortothestartofafullassessmentwillassessthesetopics.Ifafisheryisfoundtocarryoutthefollowingactivities,assessmentwillstopimmediatelyandthefisherywillfailautomaticallyinitsattempttogainRFMCertification.Thesetopicsincludethefollowing:

1)Dynamiting,poisoningandothercomparabledestructivefishingpractices;

2)SignificantIllegal,UnreportedandUnregulated(IUU)fishingactivitiesinthecountryjurisdiction;

3)SharkFinning(i.e.removalandretentionofsharkfinswhiletheremainderofthesharkisdiscardedintheocean);

4)Slaveryandslavelaboronboardoffishingvessels;

5)AnysignificantlackofcompliancewithrequirementsofinternationalfisheriesagreementtowhichtheU.S.

Integrationofimportanttopicstobeassessedpriortothefisheryenteringfullassessment.Thiswouldallowtheexclusionofthefisheryattheonsetofanassessmentratherthanallowingittocontinueuntilsomelaterpointinthefullassessmentstage,savingtimeandresources.

SomeofthesetopicsalreadyappearintheStandardassupportingclauses,whilesomeofthesearenew,likesharkfinningandslavelabor.


issignatory.

8

ClausesUnderFundamental12and13oftheStandard

RestructuringofclausestocontinuetheefforttorefineanddeveloptheStandard.Thisincludesthefusionofclauseswithoverlappingrequirements,rewordingofcomplexclauses,andimprovedspecificityofsomeclauses.AnumberofsupportingclausesunderFundamental12havebeencreateddealingspecificallyonaonetoonebasiswithminorandmajorassociatedbycatchspecies,ETPspecies,habitateffects,widerecosystemimpacts,andnonfishingrelatedimpactsontheecosystem.Ofnote,theassessmentofbycatchhasnowbeenstructuredandimproved,andwillbeassessedwithinaminorandmajorassociatedspeciesframework.SupportingclausesunderFundamental13,dealingwiththeecosystemeffectofenhancedfisheries,havebeencarefullyrepositionedwithinthewidersection.Specificguidancehasbeenprovidedwhichwillresultinabetterstructureforassessmentofenhancedfisheries.

ASMIhasconsistentlyreceivedstakeholderfeedbackabouthowtheStandardandaccompanyingdocumentscouldbeimprovedwithaddedclarity.Thesecommentsweretakenonboardduringthestakeholdercommentperiodtoimproveandstreamlineassessmentactivities,whileimprovingobjectivityandtransparencyacrosstheStandard.

Allthesechangeshavebeenprovidedbyaddingspecificityandadditionalrequirementsandguidancetotheexistingsupportingclauses.Therehasbeennolossofcontent.

9

PertinentClauses,FrameworksandSupplements

ModificationtotheStandardandsupportingdocumentsbasedonthepubliccommentsreceivedduringthe60-daycommentperiod.

ThenewStandardV2.0andassociateddocumentswasfurthermodifiedbythesubmissionandacceptanceofpubliccomments.

ExtentofthechangesfromthepubliccommentsarelimitedtoAppendixTable7“Modificationsanddeletionsofsupportingclausesfromversion1.3toV2.0toimproveclarity”


Appendix1BackgroundtothedevelopmentoftheFAOCodeofConductforResponsibleFisheries

TheInternationalConferenceonResponsibleFishing,heldin1992inCancún,Mexico,requestedtheFoodandAgricultureOrganizationoftheUnitedNations(FAO)toprepareaninternationalCodeofConduct which would lead to responsible, sustained fisheries worldwide. The outcome of thisconference, particularly the Declaration of Cancún, was an important contribution to the 1992United Nations Conference on Environment and Development, in particular its Agenda 21.Subsequently, theUnitedNations Conference on Straddling Fish Stocks andHighlyMigratory FishStockswas convened, towhichFAOprovided important technicalbackup. InNovember1993, theAgreementtoPromoteCompliancewithInternationalConservationandManagementMeasuresbyFishingVesselsontheHighSeaswasadoptedattheTwenty-seventhSessionoftheFAOConference.Noting these and other important developments in world fisheries, the FAO governing bodiesrecommendedtheformulationofaglobalCodeofConductforResponsibleFisheries(CCRF)whichwouldbe consistentwith these instrumentsand, inanon-mandatorymanner,establishprinciplesandstandardsapplicabletoconservation,management,anddevelopmentofallfisheries.

TheCCRF,whichwasunanimouslyadoptedon31October1995attheFAOconference,providesanecessary framework for national and international efforts to ensure sustainable exploitation ofaquatic living resources inharmonywith theenvironment. TheFAOCCRF isvoluntary. However,certainpartsof itarebasedonrelevantrulesof international law, includingthosereflected intheUnitedNationsConventionontheLawoftheSeaof10December1982.TheFAOCCRFisglobalinscope, and is directed toward members and non-members of FAO; fishing entities; sub-regional,regional, and global organizations, whether governmental or non-governmental; and all personsconcerned with the conservation of fishery resources and management and development offisheries—suchas fishers, thoseengaged inprocessingandmarketingof fishandfisheryproducts,andotherusersoftheaquaticenvironmentinrelationtofisheries.TheFAOCCRFprovidesprinciplesandstandardsapplicabletotheconservation,management,anddevelopmentofallfisheries.Italsocovers the capture, processing, and trade of fish and fishery products; fishing operations;aquaculture; fisheries research; and the integration of fisheries into coastal area management.Finally,thereferencetoStatesincludestheEuropeanCommunityinmatterswithinitscompetence,andthetermfisheriesappliesequallytocapturefisheriesandaquaculture.

BackgroundtotheFAOEcolabellingGuidelinesforFishandFisheryProductsfromMarineCaptureFisheries

In October 1998, FAO convened a Technical Consultation on the Feasibility of Developing Non-discriminatoryTechnicalGuidelinesforEcolabellingofProductsfromMarineCaptureFisheries.Thisconsultationidentifiedanumberofprinciplestobeobservedbyecolabellingschemes:

• beconsistentwiththeFAOCodeofConductforResponsibleFisheries;• bevoluntaryandmarket-driven;• betransparent;• benon-discriminatory,bynotcreatingobstaclestotradeandallowingforfaircompetition;• establishclearaccountabilityforthepromotersofschemesandforthecertifyingbodies,in

conformitywithinternationalstandards;• includeareliableauditingandverificationprocess;• recognizethesovereignrightsofstatesandcomplywithallrelevantlawsandregulations;• ensureequivalenceofstandardsamongcountries;• bebasedonthebestscientificevidence;• bepractical,viableandverifiable;and


• ensurethatlabelscommunicatetruthfulinformationandprovideforclarity.

TheguidelinesdrawuponvarioussourcesincludingrelevantguidesoftheInternationalOrganizationforStandardization(ISO),theWorldTradeOrganization(WTO)AgreementonTechnicalBarrierstoTrade,inparticular,Annex3CodeofGoodPracticeforthePreparation,AdoptionandApplicationofStandards,andtheworkof the InternationalSocialandEnvironmentalAccreditationandLabelling(ISEAL)Alliance.

At the recommendation of the subcommittee, FAO organized a technical consultation in October2004tofinalizethedraftguidelinesfortheirconsiderationbythe26thSessionoftheCommitteeonFisheries(COFI)inMarch2005.

TheFAOGuidelinesfortheEcolabellingofFishandFisheryProductsfromMarineCaptureFisheries,asupdatedinrevision1of2009,areapplicabletoecolabellingschemesthataredesignedtocertifyandpromote labels forproducts fromwell-managedmarine capture fisheries and focuson issuesrelated to the sustainable use of fisheries resources. The Ecolabelling Guidelines set forth theminimumsubstantiverequirementsandcriteriaforassessingwhetherafisherycanbecertifiedandan ecolabel awarded to a fishery. Ecolabelling schemes may apply additional or more stringentrequirementsandcriteriarelatedtosustainableuseoftheresources.Therequirementsandcriteriapresented in Ecolabelling Guidelines are to be based on and interpreted in accordance with thecurrent suite of agreed international instruments addressing fisheries—in particular the 1982 UNConvention on the Law of the Sea, the 1995 UN Fish Stocks Agreement, and the 1995 Code ofConduct for Responsible Fisheries, aswell as related documentation including the 2001 ReykjavikDeclarationonResponsibleFisheriesintheMarineEcosystem.

In 2011, the FAO published the Ecolabelling Guidelines for Inland Fisheries which revised thepreviousguidelinesin2009andprovidedfurthercriteriaforenhancedfisheries.


Appendix2TableofrationalesforexclusionofFAOCCRFarticles/subarticlesfromtheFisheriesStandard(allotherarticles/subarticlesareotherwiseincluded).

Article/sub-articleoftheFAOCCRF Rationaleforexclusion

Preface/Introduction Sets the Code in context within the wider field of worldwidefisheries and fish production. Not formally referenced in theFisheriesStandard.

Article1:NatureandScopeoftheCode NatureandscopeoftheCodeisanintroductiontothedevelopmentand the aims of the Code. A short reference to this is providedaboveasAppendix1.NotincludedinFisheriesStandard,asitisonlyageneralintroductoryarticle.

Article2:ObjectivesoftheCode Theverygeneraloverarchingobjectivesof theCode. Not formallyreferencedwithintheFisheriesStandardbutindirectlyaddressedbythetotalityoftheotherclausesincluded.

Article3:RelationshipwithOtherInternationalInstruments

Explains the relationship of the Code with other internationalinstruments.Notincluded,asthisisstillpartoftheintroductiontothe Code and out of scope for direct assessment of ResponsibleFisheriesManagement.

Article4:Implementation,MonitoringandUpdating

Implementation,monitoring andupdatingof theCodebymemberand non-member States. Not included, as this is still part of theintroductiontotheCodeandoutofscopefordirectassessmentofResponsibleFisheriesManagement.

Article5:SpecialRequirementofDevelopingCountries

Could add a layer of complexity in deciding whether the scoringsprovided are to be regarded as satisfying or not satisfying thecriteria for responsible fishing. Not considered at present, butpotential to be considered in the future if developing countriesfisherieswillbeassessedforResponsibleFisheriesManagement.

Article6:GeneralPrinciples The very general principles behind Responsible Fisheries. Notformally referenced, but elaborated later in the entirety of theFisheriesStandard.

Article7.2:ManagementObjectives

7.2.1 NotformallyreferencedintextbutelaboratedfullywithinFisheriesStandardreferencingclause7.2.2oftheCCRF.

Article8.1:DutiesofallStates

8.1.5 HealthandSafetybased.Outofscope.

8.1.6 SearchandRescuebased.Outofscope.

Article8.2:FlagStateDuties

8.2.1 Thecontextofthisclauseiscurrentlyassessedwithinsection11oftheFisheriesStandard.

8.2.5 HealthandSafetybased.Outofscope.

8.2.8 Insurancecoveragerelated.Outofscope.

8.2.9 Repatriationrelated.Outofscope.

8.2.10 HealthandSafety/Accidentsrelated.Outofscope.

Article8.3:PortStateDuties


Article/sub-articleoftheFAOCCRF Rationaleforexclusion

8.3.2 VesselAssistancerelated.OutofScope.

Article8.4:FishingOperations

8.4.1 LargelyHealthandsafetyrelated,therestoftheclause(relatedtoloss of fishing gear and protection of the marine environment) isreferencedwithintheFisheriesStandard.

8.4.4 Qualityrelated.OutofScope.

Article8.6:EnergyOptimization Energyrelated.Outofscope.

Article8.7:Protectionoftheaquaticenvironment

8.7.2 IndividualVesselAuditrelated.OutofScope.



Article8.8:Protectionoftheatmosphere

Gasemissionstoatmosphererelated.Outofscope.

Article8.9:Harboursandlandingplacesforfishingvessels

Largely harbour design and services quality related. Relevant to achainofcustodycertification.Outofscope.

Article8.10 Abandoned fishinggearhasbeenconsideredwithin thecontextofother clauses. Not Formally referenced within the FisheriesStandard.

Article8.11:Artificialreefsandfishaggregationdevices

8.11.4 Safetyofnavigationrelated.Outofscope.

Article9.1:Responsibledevelopmentofaquaculture,includingculturebasedfisheries,inareasundernationaljurisdiction

9.1.1 AlreadyaddressedindirectlythroughoutSection14oftheFisheriesStandard.

Article9.4:Responsibleaquacultureattheproductionlevel

Fullcycleaquacultureatproductionlevel.Outofscope.

10.3RegionalCooperation

10.3.1 Not formally referenced within the Fisheries Standard, but fullyaddressedwithinSection1and2.

Article11:Post-harvestpracticesandtrade

Postharvestpracticesrelated.Outofscope.

Article12:FisheriesResearch

12.8 HealthandSafetyrelated.Outofscopeforthisassessment.


Appendix3Fisheries Standard Version 1.2: Changes to reduce repetition within the various clauses andstreamlinetheoverallrequirementsofthedocument.

No. Description1 Clause1.2,1.2.1,1.2.2fusedtogether.2 Clause1.2.3fusedwithclause4.1.3 Clause1.3fusedwithclause1.4.4 Clause 1.5 modified wording from “cooperation with States” to “international cooperation and

coordinationonfisherymatters”tobetterreflectclause7.3.4oftheCCRF,fromwhichitwasderived.5 Clause2.1,2.1.1,2.1.2fusedtogether.6 Clause2.2fusedwith2.4.1.7 Clause2.3,2.3.1,2.11fusedtogether.8 Clause2.6,2.6.1,2.8fusedtogether.9 Clause2.10movedupinSection2.10 Clause3.2.5,9.1fusedtogether.11 Clause4.1,4.1.1fusedtogether.12 Clause4.1.2and5.5.1fusedtogether.13 Clause4.3,4.5fusedtogether.14 Clause5.1and5.1.1havebeenswitchedinnumber.15 Clause5.2and5.2.1havebeenfusedtogether.16 Clause5.5.2fusedwithclause7.1.1.17 Clause5.6movedtoSection8.18 Clause5.7movedunderfundamentalclause8asmorerelevant.19 Clause6.1deleted.Therequirementsof6.1arecompletelyspelledout inclause6.1.1,6.1.2,6.1.3,

6.1.4.20 Clause6.1.5movedtoSection7asmorerelevanttoimplementationoftheprecautionaryapproach.21 Clause7.2,7.2.1,7.2.2havebeenfusedtogetherandmodifiedaccordinglytofullyreflectclause7.5.4

oftheCCRF.22 Clause8.2,8.2.1fusedtogether.23 Clause8.3and8.3.1fusedtogether.24 Clause8.4and8.4.2fusedwithclause9.3.25 Inclause8.4.1“discards”istakenoutasthisisrepeatedinclause9.3.26 Heading of fundamental clause 9 has been deleted and collapsed into fundamental clause 8 (also

reflectedonpage7).Nowtheheadingoffundamental8groupsallsupportingclausesoffundamentalclause8and9.Thiswasdonebecause fundamental9wasextremelysimilar to fundamental8andbecauseitssupportingclausesweremorerelevanttofundamental8.

27 Clause9.2fusedwithclause8.2.28 Clause9.5fusedtoclause9.3.29 Clause9.9fusedwithclause9.9.1.30 Clause9.9.2movedunderfundamentalclause2asmorerelevanttoCZM31 Clause12.1.1fusedwithclause12.2.1.32 Clause13.1.2fusedwithclause13.1.3.33 Clause13.4fusedwithclause9.4.34 Clause13.5.1movedunderfundamentalclause8.35 Someclauseshavebeenrenumberedasaresultofthisrevisionprocess.


Appendix4UpdateoftheFisheriesStandardVersion1.2toV1.3tofullyreflecttherequirementsofthe2011FAOGuidelinesfortheEcolabellingofFishandFisheryproductsfromInlandCaptureFisheries.

Update Description

AddedtoClause1.1 The management system and the fishery operate in compliance with therequirementsof local,nationaland international lawsandregulations, includingtherequirementsofanyregionalfisheriesmanagementagreement.

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

AddedtoClause3.1 (takingintoaccountuncertaintyandimprecision).

AddedtoClause3.2.4 Where relevant, there shall be pertinent objectives, and as necessary,managementmeasures.

AddedtoClause4.1 Data can include relevant traditional, fisheror community knowledge,providedtheirvaliditycanobjectivelybeverified.

AddedtoClause4.1.1 (e.g.,adoptionofscientificadvice)

Clause4.1.2added In theabsenceofspecific informationonthestockunderconsideration’genericevidencebasedon similar stocks canbeused for fisherieswith low risk to thatstockunderconsideration.However,thegreatertheriskofoverfishing,themorespecificevidenceisnecessarytoascertainthesustainabilityofintensivefisheries.FAOEco(2009)30.4FAOEco(2011)37.4

Clause5.1.1added Withtheuseoflesselaboratemethodsforstockassessmentfrequentlyusedforsmall scaleor lowvalue capture fisheries resulting in greateruncertainty aboutthe state of the stock under consideration, more precautionary approaches tomanaging fisheries on such resources shall be required, including, whereappropriate,lowerlevelofutilisationofresources.Arecordofgoodmanagementperformancemaybeconsideredassupportingevidenceoftheadequacyandthemanagementsystem.FAOEco(2011)42

Clause 6.2 modified toread

Statesshallestablishsafelimitreferencepoint(s)forexploitation(i.e.,consistentwith avoiding recruitment overfishing or other impacts that are likely to beirreversible or very slowly reversible). When a limit reference point isapproached,measuresshallbetakentoensurethat itwillnotbeexceeded.Forinstance,iffishingmortality(oritsproxy)isabovetheassociatedlimitreferencepoint, actions should be taken to decrease the fishing mortality (or its proxy)belowthatlimitreferencepoint.


Dataandassessmentproceduresshallbeinstalledmeasuringthepositionofthefishery in relation to the reference points. Accordingly, the stock underconsideration shallnotbeoverfished (i.e.,above limit referencepointorproxy)andthe leveloffishingpermittedshallbecommensuratewiththecurrentstateof the fishery resources, maintaining its future availability, taking into accountthatlongtermchangesinproductivitycanoccurduetonaturalvariabilityand/orimpactsotherthanfishing.

Clause7.1added This should take due account of stock enhancement procedures, whereappropriate.Absenceof scientific information shall notbeusedasa reason forpostponingor failingtotakeconservationandmanagementmeasures.Relevantuncertainties shall be taken into account through a suitable method of riskassessment,includingthoseassociatedwiththeuseofintroducedortranslocatedspecies.

Clause7.1.2.deleted “Accordingly, relative conservation and management measures shall not be


Update Descriptionpostponed”.Thisisnowincludedwithinclause7.1.

AddedtoClause8.1 fisherorcommunity.

Clause8.1.1added Management targets are consistent with achieving maximum sustainable yield(MSY) (or a suitable proxy) on average, or a lesser fishing mortality if that isoptimal in the circumstances of the fishery (e.g., multispecies fisheries) or toavoidsevereadverseimpactsondependantpredators.FAOEco(2009)29.2FAOEco(2011)36.3

AddedtoClause10.1 Thiscouldincluderelevanttraditional,fisherorcommunityapproaches,providedtheirperformancecouldbeobjectivelyverified.


Impacts that are likely to have serious consequences shall be addressed. Thismaytaketheformofan immediatemanagementresponseorafurtheranalysisof the identified risk. In this context, full recognition should be given to thespecialcircumstancesandrequirementsindevelopingcountriesandcountriesintransition, including financial and technical assistance, technology transfer,trainingandscientificcooperation.FAOEco(2009)29.3,29.4,31FAOEco(2011)41


Non target catches, including discards, of stocks other than the stock underconsideration shallbemonitoredandshallnot threatenthesenon-targetstockswithseriousriskofextinction,recruitmentoverfishingorother impactsthatarelikely tobe irreversibleorvery slowly reversible; if such impactsarise,effectiveremedialactionshallbetaken.FAOEco(2009)31.1FAOEco(2011)41.1


Statesshallpromoteresponsibledevelopmentandmanagementofaquaculture,includinganadvancedevaluationof theeffectsofaquaculturedevelopmentongenetic diversity and ecosystem integrity, based on the best available scientificinformation (and/or traditional, fisher or community objective and verifiableknowledge). Significant scientific uncertainty is to be expected in assessingpossible adverse ecosystem impacts of fisheries, including culture andenhancement activities. This issue can be addressed by taking a riskassessment/riskmanagementapproach. FAOCCRF(1995)9.1.2FAOEco(2011)41

Clause13.1.1modifiedtoread

In the case of enhanced fisheries, the fisherymanagement system should takedue regard of the natural production processes and be appropriate for theconservationofgeneticdiversity,biodiversity,protectionofendangeredspecies,maintenance of integrity of aquatic communities and ecosystems, minimisingadverseimpactsonecosystemstructureandfunction.FAOCCRF(1995)9.3.1FAOEco(2011)36.9,41

Clause13.4added With due regard to the assessment approach employed, stock assessment offisheries that are enhanced through aquaculture inputs shall consider theseparatecontributionsfromaquacultureandnaturalproduction.FAOEco(2011)43

Clause13.5added Anymodificationstothehabitatforenhancingthestockunderconsiderationarereversible and do not cause serious or irreversible harm to the naturalecosystem’sstructureandfunction.FAOEco(2011)41


Update Description

Clause 13.11 and 13.12fusedtoread

States shall, in order to minimize risks of disease transfer and other adverseeffectsonwildandculturedstocks,encourageadoptionandpromotetheuseofappropriate practices/procedures in the selection and genetic improvement ofbroodstocks, the introductionofnon-nativespecies,and in theproduction, saleandtransportofeggs,larvae,fry,broodstockorotherlivematerials.Statesshallfacilitate the preparation and implementation of appropriate national codes ofpracticeandprocedurestothiseffect.FAOCCRF(1995)9.3.3,9.3.4

Clause13.12added Enhancedfisheriesmaybesupportedinpartbystockingoforganismsproducedinaquaculturefacilitiesorremovedfromwildstocksotherthanthestockunderconsideration.Aquacultureproductionforstockingpurposesshouldbemanagedand developed according to the above provisions, especially in relation tomaintaining the integrity of the environment, the conservation of geneticdiversity,diseasecontrol,andqualityofstockingmaterial.FAOEco(2011)36.8,40

Clause13.13added Regardingtheenhancedcomponentsofthestockunderconsideration,providedthat a natural reproductive stock component is maintained and fisheryproduction is based primarily on natural biological production within theecosystem of which the stock under consideration forms a part, enhancedfisheriesshallmeetthefollowingcriteria:the species shall be native to the fishery’s geographic area or introducedhistorically and have subsequently become established as part of the “natural”ecosystem;thereshallbenaturalreproductivecomponentsofthestockunderconsideration;thegrowthduringthepost-releasephaseshallbebaseduponfoodsupplyfromthe natural environment and the production system shall operate withoutsupplementalfeeding.FAOEco(2011)38

Clause13.14added In the case of enhanced fisheries, stock under consideration may comprisenaturally reproductive components and componentsmaintained by stocking. Inthecontextofavoidingsignificantnegativeimpactsofenhancementactivitiesonthenaturalreproductivecomponentsofstockunderconsideration:naturallyreproductivecomponentsofenhancedstocksshallnotbeoverfished;naturallyreproductivecomponentsofenhancedstocksshallnotbesubstantiallydisplacedbystockedcomponents.Inparticular,displacementshallnotresultinareductionofthenaturalreproductivestockcomponentbelowabundance-basedtargetreferencepoints(ortheirproxies)definedfortheregulationofharvest.FAOEco(2011)39


Appendix5UpdatetheFisheriesStandardVersion1.2toV1.3toincreasespecificityofrequirementsreferringtomanagementobjectivesandrelatedindicators.

Update DescriptionClauseadded,3.2.5 Thereshallbemanagementobjectivesseekingtoavoid,minimizeormitigateimpacts

oftheunitofcertificationonessentialhabitatsforthestockunderconsiderationandon habitats that are highly vulnerable to damage by the fishing gear of the unit ofcertification.FAOEco(2011)41.3

Clauseadded,3.2.6 There shall bemanagement objectives seeking tominimize adverse impacts of theunitofcertification,includinganyenhancementactivities,onthestructure,processesand function of aquatic ecosystems that are likely to be irreversible or very slowlyreversible.FAOEco(2011)36.9

Clauseadded,12.5.1 Thereshallbemanagementobjectivesseekingtoensurethatendangeredspeciesareprotected from adverse impacts resulting from interactions with the unit ofcertification and any associated culture or enhancement activity, includingrecruitment overfishing or other impacts that are likely to be irreversible or veryslowlyreversible.FAOEco(2011)41

Clausemodified,12.3Theroleofthestockunderconsiderationinthefoodwebshallbeconsidered,andifitisakeypreyspeciesintheecosystem,managementobjectivesandmeasuresshallbeinplacetoavoidsevereadverseimpactsondependentpredators.FAOEco(2009)31.2FAOECO(2011)41.2

Clauseadded,12.11 Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesfornon-targetstocks(i.e.,avoidingoverfishingandotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible).FAOEco(2011)41.1

Clauseadded,12.12 Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesseeking to ensure that endangered species are protected from adverse impactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancement activity, including recruitment overfishing or other impacts that arelikelytobeirreversibleorveryslowlyreversible.FAOEco(2011)41

Clauseadded,12.13 Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesfor avoiding, minimizing or mitigating the impacts of the unit of certification onessential habitats for the stock under consideration and on habitats that are highlyvulnerabletodamagebythefishinggearoftheunitofcertification.FAOEco(2011)41.3

Clauseadded,12.14 Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesseeking toavoidsevereadverse impactsondependentpredators resulting fromtheunitofcertificationfishingonastockunderconsiderationthatisakeypreyspecies.FAOEco(2011)41.2

Clauseadded,12.15 Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesseeking to minimize adverse impacts of the unit of certification, including anyenhancement activities, on the structure, processes and function of aquaticecosystems that are likely to be irreversible or very slowly reversible. Anymodifications to the habitat for enhancing the stock under consideration must bereversible and not cause serious or irreversible harm to the natural ecosystem’sstructure,processesandfunction.FAOEco(2011)36.9,41


Appendix6Fisheries Standard Version 1.3 to Version 2.0: Modified clauses to reduce repetition andstreamlinetheoverallstructureofthedocument.

ChangeNo. Description

1 Clause12.5.1movedtoSection3(3.2)

2 Clause3.2.5and3.2.6movedupinSection3(3.2.1,3.2.2)

3 Clause6.1andClause8.1.1fusedtogether.

4 Clause6.4andClause7.2.3fusedtogether.

5 Clause8.7movedupintoSection6.

6 Clause8.1.3movedtoendoftheClause8.4section.

7 Clause12.5wasmovedintoSection8,underClause8.5.

8 Clause12.3andClause12.4werefusedwithClause12.2.

9 Clause12.11movedupinthesection,isnowClause12.2.3

10 Clause12.9movedupinSection12,isnowClause12.2.7

11 Clause12.13movedupinSection12,isnowClause12.2.8

12 Clause12.15movedupinSection12,isnow12.2.10

13 Clause12.5fused(integrated)withClauses12.2.1and12.2.2

14 Clause12.14movedupinSection12,isnowClause12.4


16 Clause12.10movedwithinSection12,isnowClause12.6

17 Clause13.12fusedwithClause13.1.1



20 SectionBandCfusedtogether.Nowreadingas“B.Science&StockAssessmentActivities,andthePrecautionaryApproach”

21 SectionDandEfusedtogether.Nowreadingas“C.ManagementMeasures,Implementation,MonitoringandControl”


Appendix7Modificationsanddeletionsofsupportingclausesfromversion1.3toV2.0toimproveclarity.

Change Description

AddedtoClause1.3 Added“(neighboringornot)”ModifiedClause1.3.1 added“thestockunderconsideration”.Deleted“suchstock,compatibilityshall

beachieved”.

AddedtoClause1.4 “fisheriesmanagementorganization”

AddedtoClause1.4.1 “fisheriesmanagementorganization”

AddedtoClause1.5 “whenappropriateforthesockunderconsideration”.


AddedtoClause1.6.1 “orfisheriesmanagementorganization”

AddedtoClause1.7 “Withinthefisheriesmanagementsystem”

AddedtoClause2.1 “Withinthefisheriesmanagementorganization’sjurisdiction,an”

AddedtoClause2.1.2 “Thefisheriesmanagementorganization”


AddedtoClause2.5 “bytheappropriatemanagementorganization”

DeletedClause2.7 The States fisheriesmanagement organization shall,within the framework ofcoastal area management plan, establish management systems for artificialreefs and fish aggregation devices. Suchmanagement systems shall requireapproval for the construction and deployment of such reefs and devices andshall take into account the interests of fishers, including artisanal andsubsistencefishers.

AddedtoClause4.1 “significant”

AddedtoClause4.3 “Afisheriesmanagementorganization”

ModifiedClause4.5 added “There shall be” and “aswell”, deleted “States shall ensure “ and “aswell”.

AddedtoClause4.6 “Thefisheriesmanagementorganization”

AddedtoClause4.7 “Ifthefisheriesmanagementorganizationis”and“it”

ModifiedClause4.8 added“shallbepromotedand”,deleted“Statesshallpromotethe”and“andshall”

AddedtoClause4.9 “Ifappropriate,thefisheriesmanagementorganization”.

ModifiedClause5.1.2 added “The fisheries management organization”, deleted “States”, “socialscience”, “nutritional science” and “taking into account the special needs ofdevelopingcountries”.

AddedtoClause6.2 “Thefisherymanagementorganization”.

AddedtoClauses7.1.1,7.2 “thefisherymanagementorganization”.

ModifiedClause8.1 Deleted“Others“

AddedtoClause8.1.1 “bythefisherymanagementorganization”.




AddedtoClause8.5 “regardingthestockunderconsideration”.


Change Description

AddedtoClause8.7 “Thefisherymanagementorganization”


AddedtoClause9.3 “Thefisherymanagementorganizationshall”

ModifiedClause10.1 Deleted“Others”

ModifiedClause10.2 Deleted“Others”

AddedtoClause10.3.1 “Fisherymanagementorganizations”


Modified Clause 12.2 (12.2is combination of Clauses12.2,12.3and12.4)

added“fisheries”deleted“countriesandcountriesintransition”

DeletedClause12.5 Appropriatemeasuresshallbeappliedtominimize:·catch,wasteanddiscardsofnon-targetspecies(bothfishandnon-fishspecies).· impactsonassociated,dependentorendangeredspecies.

ModifiedClause13.1 added“Thefisherymanagementorganization”,deleted“State”.


ModifiedClause13.2.1 added“Thefisherymanagementorganization”,deleted“State”.

ModifiedClause13.3 added“(e.g.,pollution,disease)“.








Appendix8FisheriesStandardVersion1.3toV2.0:Additionalclausesandchangesinlanguageimplementedtoimproveclarityandeaseofassessment.

Change DescriptionAdded new languagetotheForeword

TheAlaskaRFMFisheryStandardisnotapplicabletodeep-seafisheries;

Added new languageto “Topics that willtrigger an immediateassessmentfailure”

Anysignificant lackofcompliancewiththerequirementsofan internationalfisheries agreement towhich theU.S. is signatory.A fisherywill have tobeformallycitedbytheInternationalGoverningbodythathascompetencewiththeinternationalTreatyinquestion,andthattheUShasbeennotifiedofthatcitationofnon-compliance.

Added new languagetoClause4.2.1

Where necessary, fisheries management organizations and regional fisheriesmanagementorganizationsandother sucharrangements shouldstrive toachievealevelandscopeofobserverprogramssufficienttoprovidequantitativeestimatesoftotalcatch,discards,andincidentaltakesoflivingaquaticresources.”FAOIGBD(2011)5.1.3

Clauseadded,8.1.2 Statesshouldadoptandimplementmeasuresnecessarytoensurethemanagementof bycatch and reduction of discards as part of fisheries management: (1) inaccordancewiththeprecautionaryapproach,asreflectedinArticle6oftheUNFishStocksAgreement,andassetoutinArticle6.5and7.5oftheCode;(2)inaccordancewith the responsible use of fish as set out in the Code; and (3) based on the bestscientificandtechnicalinformationavailable,takingintoaccountfishers’knowledgeFAOIGBD(2011)3.2.2

Clauseadded,11.3 States should ensure that sanctions for IUU fishing by vessels and, to the greatestextentpossible,nationalsunderitsjurisdictionareofsufficientseveritytoeffectivelyprevent, deter, and eliminate IUU fishing and to deprive offenders of the benefitsaccruing fromsuch fishing.Thismay includetheadoptionofacivil sanctionregimebasedonanadministrativepenaltyscheme.Statesshouldensuretheconsistentandtransparentapplicationofsanctions.FAOIUU(2001)21

Clauseadded,12.2.1 The fishery management organization shall consider the most probable adverseimpacts of the fishery under assessment on main associated species, by assessingand, where appropriate, addressing and or/correcting them, taking into accountavailable scientific information and local knowledge. Accordingly, these catches(includingdiscards)shallbemonitoredandshallnotthreatenthesenon-targetstockswithseriousriskofextinction,recruitmentoverfishingorotherimpactsthatarelikelytobe irreversibleor very slowly reversible. If such impactsarise,effective remedialactionshallbetaken.

Clauseadded,12.2.2 The fishery management organization shall consider the most probable adverseimpacts of the fishery under assessment onminor associated species, by assessingand, where appropriate, addressing and or/correcting them, taking into accountavailable scientific information and local knowledge. Accordingly, these catches(includingdiscards)shallbemonitoredandshallnotthreatenthesenon-targetstockswithseriousriskofextinction,recruitmentoverfishingorotherimpactsthatarelikelytobe irreversibleor very slowly reversible. If such impactsarise,effective remedialactionshallbetaken.

Clauseadded,12.2.4 The fishery management organization shall consider the most probable adverseimpactsofthefisheryunderassessmentonEndangered,Threatened,Protected(ETP)species, by assessing and, where appropriate, addressing and or/correcting them,takingintoaccountavailablescientificinformationandlocalknowledge.

Clause modified andmoved within Section

Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesseeking to ensure that endangered species are protected from adverse impacts


Change Description12,12.2.5 resultingfrominteractionswiththeunitofcertificationandanyassociatedcultureor

enhancement activity, including recruitment overfishing or other impacts that arelikelytobeirreversibleorveryslowlyreversible.FAOEco(2011)41

Clauseadded,12.2.6 The fishery management organization shall consider the most probable adverseimpacts of the fishery under assessment on habitats, by assessing and, whereappropriate, addressing and or/correcting them, taking into account availablescientificinformationandlocalknowledge.

Clauseadded,12.2.9 The fishery management organization shall consider the most probable adverseimpactsofthefisheryunderassessmentontheecosystem,byassessingand,whereappropriate, addressing and or/correcting them, taking into account availablescientificinformationandlocalknowledge.

Clauseadded,12.2.11 The fishery management organization shall consider the most probable adversehumanimpactsonthestock/ecosystemunderconsideration,byassessingand,whereappropriate, addressing and or/correcting them, taking into account availablescientificinformationandlocalknowledge.

Clauseadded,12.7 Thefisherymanagementorganizationshallmakeuse,whereappropriate,ofMarineProtectedAreas (MPAs). The general objectives for establishingMPAs shall includeensuringsustainabilityoffishstocksandfisheries,andprotectingmarinebiodiversityandcriticalhabitats.FAOFM/MPA(2011)1.2