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AlaskaResponsibleFisheriesManagement(RFM)Standard1.3
AlaskaResponsibleFisheriesManagement(RFM)StandardVersion1.3FortheassessmentofAlaskanFisheriesNovember2015
Alaska Responsible Fisheries Management (RFM) Standard Version 1.3
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FOREWORD
TheRFMStandardiscomposedofConformanceCriteria.TheConformanceCriteriapresentedinthisrevisedRFMStandardVersion1.3(V1.3)October2015,aretheresultofaminorreviewofRFMConformanceCriteria(Standard)Version1.2(V1.2)September2011,bytheRFMConformanceCriteriaCommittee.Thechangesarelimitedtogrammarcorrections,theremovalandgroupingofrepetitiveandsimilarclauses,andtheimprovedspecificityofsomeclauses;specificallythoserelatingtoinformationpresentedinupdatedandrelevantFAOGuidanceDocumentse.g.2011FAOGuidelinesfortheEcolabellingofFishandFisheryproductsfromInlandCaptureFisheries.
TheseareconsideredminorchangestotheStandardbytheConformanceCriteriaCommitteeandthereforeonlyjustifyarevisionchangeandnotaclaimofafullreviewandre-issueoftheRFMStandard.GuidanceoneditstocertainclauseswasalsogivenviatheGSSIBenchmarkingStandard2015.DetailsabouttheConformanceCriteriaCommitteeandtheirRFMProgramofWorkcanbefoundontheASMIWebsite.http://certification.alaskaseafood.org/improvements
ThefundamentalbasisoftheAlaskaRFMStandardandProgramremainsthe1995FAOCodeofConductforResponsibleFisheriesandtheFAOGuidelinesfortheEco-labellingofFishandFisheryProductsfromMarineCaptureFisheriesadoptedin2005andamended/extendedin2009,alsoincludingfullreferencetothe2011FAOGuidelinesfortheEco-labellingofFishandFisheryProductsfromInlandFisherieswhichinturnarenowsupportedbyasuiteofguidelinesandsupportdocumentspublishedbytheUNFAO.ISO17065accreditationforCertificationisanotherkeyfundamentalbasisoftheRFMProgram.
AspertheFAOGuidelinesfortheEco-labellingofFishandFisheryProductsfromMarineandInlandCaptureFisheriesadoptedin2009and2011,respectively,theAlaskaResponsibleFisheriesManagementstandardsprogramandcertification:
• Is consistentwith the1982UnitedNationsConventionon theLawof theSeaand theAgreementfortheImplementationoftheProvisionsoftheUnitedNationsConventionon the Law of the Sea of 10 December 1982 relating to the Conservation andManagementofStraddlingFishStocksandHighlyMigratoryFishStocks,theFAOCodeofConductforResponsibleFisheriesandtheWorldTradeOrganization(WTO)rulesandotherrelevantinternationalinstruments;
• Recognizes the sovereign rights of States and complies with all relevant laws andregulations;
• Isvoluntaryinnatureandmarket-driven;• Istransparent,includingbalancedandfairparticipationbyallinterestedparties;• Isnon-discriminatory,doesnotcreateunnecessaryobstaclestotradeandallowsforfair
tradeandcompetition;• Providestheopportunitytoenterinternationalmarkets;
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• Establishesclearaccountabilityfortheownersoftheschemeandthecertificationbodyinconformitywithinternationalstandards;
• Incorporatesreliable,independentauditingandverificationprocedures;• Respectsthatotherstandardsshallbeconsideredequivalentifconsistentwithit;• Is based on the best scientific evidence available, also taking into account traditional
knowledgeoftheresourcesprovidedthusitsvaliditycanbeobjectivelyverified;• Ispractical,baseduponaviableandverifiableassessment.
TheobjectiveoftheAlaskaRFMProgramremainsconsistent;toprovidethefishingindustrywitha‘CertificationofResponsibleFisheriesManagement’atthehighestlevelofmarketacceptance,nowrepresentedbyrecognitiontotheGSSIBenchmarkingStandard.
CertificationtotheRFMStandardwilldemonstratethatcommercialfisheriesinAlaskaaremanagedresponsiblybythefisheriesmanagementauthoritiesincharge,whichinturnareoperatinginaccordancewithstandardsalignedtointernationallyagreedstandardsandguidanceprovidedbytheUnitedNationsFood&AgricultureOrganization.
TheRFMStandardV1.3isalreadysubjecttoareviewforimprovementanditisanticipatedthatanewVersion2(V2)oftheRFMStandardwillbepublishedinlate2016.
TheAlaskaRFMStandardConformanceCriteria
The‘RFMStandard’isatoolforuseintheevaluationoffisheriestotheAlaskaResponsibleFisheriesManagementCertificationProgram.TheConformanceCriteriaareformulatedfromexistingpubliclyavailabledocumentsprincipallydevelopedbytheUnitedNationsFoodandAgricultureOrganization(FAO).TherearefourmainnormativeUNFAOdocumentssupportedbyotherguidancedocuments.Thefourkeydocumentswere:
• the1995FAOCodeofConductforResponsibleFisheries(CCRF),• the 2005 FAO Guidelines for Ecolabelling of Fish and Fishery Products from Marine
CaptureFisheries(&2009extensions),• the2011FAOGuidelines for theEcolabellingofFishandFisheryproducts from Inland
Capture Fisheries (the inland capture fishery guidelines are identical to the marinecapturefisheryguidelinesexceptforthefactthattheyincludeadditionalrequirementsrelatedtoenhancement),
• The1996FAOJohnCaddyChecklist1.
1FAO.Caddy,J.F.AchecklistforfisheriesresourcemanagementissuesseenfromtheperspectiveoftheFAOCodeofConductforResponsibleFisheries.FAOFisheriesCircular.No.917.Rome,FAO.1996.22p.
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Collectively,theseFAOdocumentsplustheGlobalSeafoodSustainabilityInitiative(GSSI)BenchmarkToolfor2015providethebasisofthescopeoffisherycertificationandthetechnicalrequirementsthatafisherymustbeabletodemonstratetobecomecertifiedagainsttheRFMStandard.
TheFAOCommitteeonFisheries(COFI)hasprovidedaglobal,multi-stakeholderprocessforthedocumentationofthecontentoftheFAOCCRFandthelater,FAOGuidelinesfortheEcolabellingofFishandFisheryProductsFromMarineandInlandCaptureFisheries.
Thesedocumentshaveglobalsignificanceinfisherieswithrespecttosettingaglobalstandardforresponsiblefisheriesmanagement.TheConformanceCriteriausedintheRFMprogramrepresentatechnicaltranslationofthesenormativereferencestofacilitateeffectivemeasurementoffisheriesagainsttheFAOCCRF.TheFAOCCRFhadalreadybeentranslatedintoanaudittoolandhadbeenusedvoluntarilybyfisheriesfortheassessmentofcompliance(FAOJohnCaddyChecklist1).TheJohnCaddyChecklistplacestheFAOCCRFintoameasurablecontexttoallowtheperformanceoffisheriestobeevaluatedagainstitscontent.
TheFAOCCRFconsistsofaseriesofstatementsofprinciplesthatneedtobeplacedinan'operational'contextinordertoplacethemeasurementoffisherymanagementperformancewithinapracticalcontext.AsawayofrenderingtheimplicationsoftheCodemoreexplicit,andatthesametimetestingtoseehowclosethevariousfisheriesmanagementprocessesaretomeetingitsprovisions,theprovisionsoftheCCRF,wherethiswaspossible,werereformedasaseriesofspecificrequirements.
TheFAOGuidelinesfortheEco-labellingofFishandFisheryProductsfromMarine(andlaterinland)capturefisheriesweredevelopedtoprovidedirectiontotheevaluationoffisheriesforcertificationpurposes.ThescopeoffisherycertificationistheFAOreferenceddocumentsandasetoffisheryminimumsubstantiverequirementswhichtheFAOproducedinordertocreateconsistencytothebasisofcertification.
Thedefinitionofthe‘ResponsibleFisheriesManagement’CertificationistraceabletotheFAO'sowndefinitionofResponsibleFisheriesManagementasfollows:
• Thescopeofcertificationprincipallyrelatestomanagementprovisionsandperformanceforthelong-termutilizationoffisherystockresourcesandthewiderconservationofthemarineenvironment.
• TheConformanceCriteria are formed froma translationof the FAOCodeofConduct forResponsible Fisheries as translated by the Caddy checklist, and the FAO Eco-labellingGuidelines.
• The document establishes auditable criteria for assessing fisheries conformance to theResponsible Fisheries Management Program administered and managed by theCertificationBody,accreditedagainsttherequirementsofISOGuide65/ISO17065.
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TheFAOCCRFandGuidelinesforEco-labellingclausesusedarereferencedwithinthedocumentforeachauditablecriterionandrelatetothefollowingArticles:
• Article7,FisheriesManagement;• Article8,FishingOperations;• Article9,Aquaculture(onlythepartspecifictofisheryenhancementactivities);• Article10,IntegrationofFisheriesintoCoastalAreaManagement;• Article12,FisheriesResearch;• GuidelinesforEco-labelling:Min.substantivecriteria.
Overall,the“Remit”oftheConformanceCriteriafocuseson:
ResponsibleFisheriesManagement,includingenhancementpractices(butexcludingfullcycleaquaculture),uptothepointoflanding,withthemainobjectivebeingthebiologicalsustainabilityofthe“stockunderconsideration”,withconsiderationforconservation,biodiversityandecosystemintegrity;anddueregardtosocialresponsibilityandtheeconomicviabilityofthefishery.
ItisalsonotedthatsectionFofthisConformanceCriteria(SeriousImpactsoftheFisheryontheEcosystem)shouldbeconsultedwiththeguidanceprovidedintheFAOEcosystemApproachtoFisheries,TechnicalGuidelinesdocuments2.
FAOCCRFArticles1,2and3arenotreferenceddirectlywithintheConformanceCriteriaastheyprovidebackgroundtothenature,scope,objectivesandrelationshipwithotherinstrumentswhicharedescribedwithintheseopeningparagraphs.
Article4isnotformallyincludedasitdescribestheimplementationoftheFAOCCRFitselfwhichdrawsreferencetothepromotionofvoluntaryschemessuchasthisone.Article5providesspecialrequirementsfordevelopingcountries(whichcouldaddalayerofcomplexityindecidingwhetherscoringssatisfythecriteriaforresponsiblefishing),whichcurrently,hasbeenleftoutsideofthescopeoftheauditcriteriabutwillbemaintainedunderreview.
2FAO.(2003).Theecosystemapproachtofisheries.FAOTechnicalGuidelinesforResponsibleFisheries.No.4,Suppl.2.Rome,FAO.112p.
FAO.(2008).Fisheriesmanagement.2.Theecosystemapproachtofisheries.2.1Bestpracticesinecosystemmodellingforinforminganecosystemapproachtofisheries.FAOFisheriesTechnicalGuidelinesforResponsibleFisheries.No.4,Suppl.2,Add.1.Rome,FAO.78p.
FAO.(2009).Fisheriesmanagement.2.Theecosystemapproachtofisheries.2.2Humandimensionsoftheecosystemapproachtofisheries.FAOTechnicalGuidelinesforResponsibleFisheries.No.4,Suppl.2,Add.2.Rome,FAO.88p.
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Article6containsGeneralPrinciples,whichalthoughimportanttotheoveralldefinitionandscopeofthecertificationarealsofullytranslatedwithinthecontextoffurtherArticleswhichformthebasisoftheConformanceCriteria.Inthiscontext,adetailedtableofwhatFAOCCRFarticles/sub-articleshasnotbeenincludedintheConformanceCriteria,alongwiththeirrespectiverationalesispresentedinAppendix2.
Otherreferences:TheFAOCCRFandFAOGuidelinesfortheEco-labellingofFisheriesmakereferencetoseveralotherinternationalagreementsandreferencesimportanttothedevelopmentofresponsiblefisherypractices.ThesearecitedtoconfirmthattheResponsibleFisheriesManagementCertificationProgramisconsistentwiththeseagreements/regulations/guidelines:
• WorldTradeOrganization,TechnicalBarriertoTradeAgreement,Annex3–CodeofGoodPracticeforthePreparation,AdoptionandApplicationofStandards
• ISOGuide59:1994CodeofGoodPracticeforStandardization• ISO17067:2013Conformityassessment—Fundamentalsofproductcertificationandguidelinesforproductcertificationschemes• ISEALCodeofGoodPracticeforSettingSocialandEnvironmentalStandardsv5.0, 2010• ISEALCodeofGoodPracticeforAssuringConformancewithSocialandEnvironmental
Standards,2012• ISEALCodeofGoodPracticeforAssessingtheImpactsofSocialandEnvironmental
Standards,2013• FAOGuidelinesonBycatchManagementandReductionofDiscards(2011)• FAOGuidelinesfortheEcolabellingofFishandFisheryProductsfromInlandCapture
Fisheries(2011)• FAOGuidelinesontheManagementofDeepSeaFisheriesontheHighSeas(2008)• FAOVoluntaryGuidelinesforSecuringSustainableSmallScaleFisheriesintheContext
ofFoodSecurityandPovertyEradication(2014)• ISO17065thestandardforCertificationBodiesoperatingcertification• TheGSSIBenchmarkToolforSeafoodCertificationPrograms(2015)• 1982UnitedNationsConventionontheLawoftheSea.• Implementation of the International Plan of Action to Prevent, Deter and Eliminate
Illegal,UnreportedandUnregulatedFishing.• TechnicalGuidelinesforResponsibleFisheriesNo.9.• EC Regulation 1005/2008 establishing a Community system to Prevent, Deter and
EliminateIllegal,UnreportedandUnregulated(IUU)Fishing.• ISO 14024:1999 Environmental labels and declarations - Type 1 environmental
labelling-PrinciplesandProcedures.• ISO/IECGuide59:1994CodeofGoodPracticeforStandardization,andthe• WTOTechnicalBarrierstoTrade(TBT)AgreementAnnex3CodeofGoodPracticefor
thePreparation,AdoptionandApplicationofStandards,fortheTechnicalBarrierstoTrade(TBT)SecondTriennialReviewAnnex4,PrinciplesfortheDevelopmentofInternationalStandards,Guides.
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TheRFMstandardisapplicabletogovernanceandmanagementsystemsforsmallscaleand/ordata limited fisheries, where appropriate, provided their performance can be objectivelyverified, with due consideration to the availability of data and the fact that managementsystemscandiffersubstantiallyfordifferenttypesandscalesoffisheries.
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StructureoftheAlaskaRFMConformanceCriteria
TheAlaskaRFMConformanceCriteriaaredividedintothe6keycomponentsofResponsibleFisheriesManagement(A-F).
A.TheFisheriesManagementSystem
B.ScienceandStockAssessmentActivities
C.ThePrecautionaryApproach
D.ManagementMeasures
E.Implementation,MonitoringandControl
F.SeriousImpactsoftheFisheryontheEcosystem
Thesesectionsareinturndividedin13fundamentalclauses,eachmadeupofitssupportingcriteria.Thesearepresentedbelow.
CONFORMANCECRITERIA–FUNDAMENTALCLAUSES
A. TheFisheriesManagementSystem1.Thereshallbeastructuredandlegallymandatedmanagementsystembaseduponand
respectinginternational,nationalandlocalfisherylaws,fortheresponsibleutilizationofthetargetstockandconservationofthemarineenvironment.
2. Management organizations shall participate in coastal area management institutionalframeworks,decision-makingprocessesandactivitiesrelatedtothefisheryanditsusers, insupportofsustainableandintegratedresourceuse,andconflictavoidance.
3. Management objectives shall be implemented through management rules and actionsformulatedinaplanorotherframework.
B. ScienceandStockAssessmentActivities4.Thereshallbeeffectivefisherydata(dependentandindependent)collectionandanalysis
systemforstockmanagementpurposes.
5.Thereshallberegularstockassessmentactivitiesappropriateforthefisheryresource,itsrange,thespeciesbiologyandtheecosystemandundertakeninaccordancewithacknowledgedscientificstandardstosupportitsoptimumutilization.
C. ThePrecautionaryApproach6.Thecurrentstateofthestockshallbedefinedinrelationtoreferencepointsorrelevant
proxiesorverifiablesubstitutesallowingforeffectivemanagementobjectivesandtargets.Remedialactionsshallbeavailableandtakenwherereferencepointsorothersuitableproxiesareapproachedorexceeded.
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7.Managementactionsandmeasuresfortheconservationofstockandtheaquaticenvironmentshallbebasedontheprecautionaryapproach.Whereinformationisdeficient,asuitablemethodusingriskassessmentshallbeadoptedtotakeintoaccountuncertainty.
D. ManagementMeasures8.Managementshalladoptandimplementeffectivemanagementmeasuresdesignedto
maintainstocksatlevelscapableofproducingmaximumsustainableyields,includingharvestcontrolrulesandtechnicalmeasuresapplicabletosustainableutilizationofthefisheryandbebaseduponverifiableevidenceandadvicefromavailablescientificandobjective,traditionalsources.
9.Fishingoperationsshallbecarriedoutbyfisherswithappropriatestandardsofcompetenceinaccordancewithinternationalstandardsandguidelinesandregulations.
E. Implementation,MonitoringandControl10.Aneffectivelegalandadministrativeframeworkshallbeestablishedandcompliance
ensured,througheffectivemechanismsformonitoring,surveillance,controlandenforcementforallfishingactivitieswithinthejurisdiction.
11.Thereshallbeaframeworkforsanctionsforviolationsandillegalactivitiesofadequateseveritytosupportcomplianceanddiscourageviolations.
F. SeriousImpactsoftheFisheryontheEcosystem12.Considerationsoffisheryinteractionsandeffectsontheecosystemshallbebasedonbest
availablescience,localknowledgewhereitcanbeobjectivelyverifiedandusingariskbasedmanagementapproachfordeterminingmostprobableadverseimpacts.Adverseimpactsonthefisheryontheecosystemshallbeappropriatelyassessedandeffectivelyaddressed.
13.Wherefisheriesenhancementisutilized,environmentalassessmentandmonitoringshallconsidergeneticdiversityandecosystemintegrity.
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FAODEFINITIONOFRESPONSIBLEFISHERIESMANAGEMENT
Responsiblefisheriesmanagementshallensuretheeffectiveconservation,responsiblemanagementanddevelopmentoflivingaquaticresourceswithrespectforconservation,biodiversityandecosystemsintegrity.
The“Remit”oftheRFMConformanceCriteriafocuseson:
ResponsibleFisheriesManagement,includingenhancementpractices(butexcludingfullcycleaquaculture),uptothepointoflanding,withthemainobjectivebeingthebiologicalsustainabilityofthe“stockunderconsideration”,withconsiderationforconservation,biodiversityandecosystemintegrity;anddueregardtosocialresponsibilityandtheeconomicviabilityofthefishery.
Inthisregard,thestockismaintainedatalevelwhichpromotestheobjectiveofoptimalutilizationandmaintainsitsavailabilityforpresentandfuturegenerations,takingintoaccountthatlongertermchangesinproductivitycanoccurduetonaturalvariabilityand/orimpactsotherthanfishing.Intheeventthatbiomassdropswellbelowprecautionarytargetlevels,managementmeasuresshallallowforrestorationwithinreasonabletimeframesofthestockstosuchlevels(Clause30FAOEco-labellingGuidelines).
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RFMFUNDAMENTALCLAUSESANDSUPPORTINGCLAUSES
A. TheFisheriesManagementSystem1. Thereshallbeastructuredandlegallymandatedmanagementsystembaseduponand
respectingInternational,Nationalandlocalfisherylaws,fortheresponsibleutilizationofthestockunderconsiderationandconservationofthemarineenvironment.
FAOCCRF(1995)7.1.3/7.1.4/7.1.9/7.3.1/7.3.2/7.3.4/7.6.8/7.7.1/10.3.1FAOEco(2009)28
FAOEco(2011)35,37.3
1.1 Thereshallbeaneffectivelegalandadministrativeframeworkestablishedatlocalandnationallevelappropriateforfisheryresourceconservationandmanagement.Themanagementsystemandthefisheryoperateincompliancewiththerequirementsoflocal,nationalandinternationallawsandregulations,includingtherequirementsofanyregionalfisheriesmanagementagreement.
FAOCCRF(1995)7.7.1FAOEco(2009)28FAOEco(2011)35
1.2 Managementmeasuresshallconsider1)thewholestockbiologicalunit(i.e.structure
andcompositioncontributingtoitsresilience)overitsentireareaofdistribution2)theareathroughwhichthespeciesmigratesduringitslifecycleand3)otherbiologicalcharacteristicsofthestock.
FAOECO(2009)30.3FAOECO(2011)37.3
1.2.1 Previouslyagreedmanagementmeasuresestablishedandappliedinthesameregionshallbetakenintoaccountbymanagement.
FAOCCRF(1995)7.3.1
1.3 Wheretrans-boundary,shared,straddlingorhighlymigratoryfishstocksandhighseasfishstocksareexploitedbytwoormoreStates(neighboringornot),theapplicantmanagementorganizationsconcernedshallcooperateandtakepartinformalfisherycommissionorarrangementsthathavebeenappointedtoensureeffectiveconservationandmanagementofthestock/sinquestionanditsenvironment.
1.3.1 ConservationandmanagementmeasuresestablishedforsuchstockwithinthejurisdictionoftherelevantStatesforshared,straddling,highseasandhighlymigratorystocks,shallbecompatible.Compatibilityshallbeachievedinamannerconsistentwiththerights,competencesandinterestsoftheStatesconcerned.
FAOCCRF(1995)7.1.3,7.1.4,7.1.5,7.3.2,10.3
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1.4AStatenotmember/participantofasub-regionalorregionalfisheriesmanagementorganizationshallcooperate,inaccordancewithrelevantinternationalagreementsandlaw,intheconservationandmanagementoftherelevantfisheriesresourcesbygivingeffecttoanyrelevantmeasuresadoptedbysuchorganization/arrangement.
FAOCCRF(1995)7.1.5
1.4.1Statesseekingtotakeanyactionthroughanon-fisheryorganizationwhichmayaffecttheconservationandmanagementmeasurestakenbyacompetentsub-regionalorregionalfisheriesmanagementorganizationorarrangementshallconsultwiththelatter,inadvancetotheextentpracticable,andtakeitsviewsintoaccount.
FAOCCRF(1995)7.3.5
1.5 The Applicant fishery’s management system shall actively foster internationalcooperationandcoordinationonfisherymatterswithregardto:
• Informationgatheringandexchange• Fisheriesresearch• Fisheriesmanagement• Fisheriesdevelopment
FAOCCRF(1995)7.3.4
1.6Statesandsub-regionalorregionalfisheriesmanagementorganizationsandarrangements,asappropriate,shallagreeonthemeansbywhichtheactivitiesofsuchorganizationsandarrangementswillbefinanced,bearinginmind,interalia,therelativebenefitsderivedfromthefisheryandthedifferingcapacitiesofcountriestoprovidefinancialandothercontributions.Whereappropriate,andwhenpossible,suchorganizationsandarrangementsshallaimtorecoverthecostsoffisheriesconservation,managementandresearch.
FAOCCRF(1995)7.7.4
1.6.1Withoutprejudicetorelevantinternationalagreements,Statesshallencouragebanksandfinancialinstitutionsnottorequire,asaconditionofaloanormortgage,fishingvesselsorfishingsupportvesselstobeflaggedinajurisdictionotherthanthatoftheStateofbeneficialownershipwheresucharequirementwouldhavetheeffectofincreasingthelikelihoodofnon-compliancewithinternationalconservationandmanagementmeasures.
FAOCCRF(1995)7.8.1
1.7 Procedures shall be in place to keep the efficacy of current conservation andmanagement measures and their possible interactions under continuous review toreviseorabolishtheminthelightofnewinformation.
• Reviewproceduresshallbeestablishedwithinthemanagementsystem.• Amechanismforrevisionofmanagementmeasuresshallexist.
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FAOCCRF(1995)7.6.8
1.8 Themanagementarrangementsanddecisionmakingprocessesforthefisheryshallbeorganizedinatransparentmanner.
• Managementarrangements• Decision-making
FAOCCRF(1995)7.1.9
1.9ManagementorganizationsnotpartytotheAgreementtopromotecompliancewithinternationalconservationandmanagementmeasuresbyvesselsfishinginthehighseasshallbeencouragedtoaccepttheAgreementandtoadoptlawsandregulationsconsistentwiththeprovisionsoftheAgreement.
FAOCCRF(1995)8.2.6
2. Managementorganizationsshallparticipateincoastalareamanagementinstitutionalframeworks,decision-makingprocessesandactivitiesrelatedtothefisheryanditsusers,insupportofsustainableandintegratedresourceuse,andconflictavoidance.
FAOCCRF(1995)10.1.1/10.1.2/10.1.4/10.2.1/10.2.2/10.2.4
2.1 An appropriate policy, legal and institutional framework shall be adopted in order toachievesustainableandintegrateduseoflivingmarineresources,takingintoaccount1)the fragility of coastal ecosystems and finite nature of their natural resources; 2)allowingfordeterminationofthepossibleusesofcoastalresourcesandgovernaccessto them,3) taking intoaccount the rightsandneedsof coastal communitiesand theircustomarypractices totheextentcompatiblewithsustainabledevelopment. Insettingpolicies for themanagement of coastal areas, 4) States shall take due account of therisksanduncertaintiesinvolved.
FAOCCRF(1995)10.1.1,10.1.3,10.2.3
2.1.1Statesshallestablishmechanismsforcooperationandcoordinationamongnationalauthoritiesinvolvedinplanning,development,conservationandmanagementofcoastalareas.
FAOCCRF(1995)10.4.1
2.1.2Statesshallensurethattheauthorityorauthoritiesrepresentingthefisheriessectorinthecoastalmanagementprocesshavetheappropriatetechnicalcapacitiesandfinancialresources.
FAOCCRF(1995)10.4.2
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2.2 Representativesofthefisheriessectorandfishingcommunitiesshallbeconsultedinthedecisionmakingprocessesinvolvedinotheractivitiesrelatedtocoastalareamanagementplanninganddevelopment.Thepublicshallalsobekeptawareontheneedfortheprotectionandmanagementofcoastalresourcesandtheparticipationinthemanagementprocessbythoseaffected.
FAOCCRF(1995)10.1.2,10.2.1
2.3 Fisheriespracticesthatavoidconflictamongfishersandotherusersofthecoastalarea(e.g.aquaculture,tourism,energy)shallbeadoptedandfishingshallberegulatedinsuchawayastoavoidriskofconflictamongfishersusingdifferentvessels,gearandfishingmethods.Proceduresandmechanismsshallbeestablishedattheappropriateadministrativeleveltosettleconflictswhicharisewithinthefisheriessectorandbetweenfisheriesresourceusersandothercoastalusers.
FAOCCRF(1995)7.6.5,10.1.4,10.15
2.4Statesandsub-regionalorregionalfisheriesmanagementorganizationsandarrangementsshallgiveduepublicitytoconservationandmanagementmeasuresandensurethatlaws,regulationsandotherlegalrulesgoverningtheirimplementationareeffectivelydisseminated.Thebasesandpurposesofsuchmeasuresshallbeexplainedtousersoftheresourceinordertofacilitatetheirapplicationandthusgainincreasedsupportintheimplementationofsuchmeasures.
FAOCCRF(1995)7.1.10
2.5 Theeconomic,socialandculturalvalueofcoastalresourcesshallbeassessedinordertoassistdecision-makingontheirallocationanduse.
FAOCCRF(1995)10.2.2
2.6 States shall cooperate at the sub-regional level in order to improve coastal areamanagement,andinaccordancewithcapacities,measuresshallbetakentoestablishorpromote systems for researchandmonitoringof the coastal environment, inorder toimprove coastal areamanagement, andpromotemultidisciplinary research in supportand improvement of coastal area management using physical, chemical, biological,economic,social,legalandinstitutionalaspects.
FAOCCRF(1995)10.2.4,10.2.5,10.3.3
2.7Statesshall,withintheframeworkofcoastalareamanagementplan,establishmanagementsystemsforartificialreefsandfishaggregationdevices.Suchmanagementsystemsshallrequireapprovalfortheconstructionanddeploymentofsuchreefsanddevicesandshalltakeintoaccounttheinterestsoffishers,includingartisanalandsubsistencefishers.
FAOCCRF(1995)8.11.3
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2.8Inthecaseofactivitiesthatmayhaveanadversetransboundaryenvironmentaleffectoncoastalareas,Statesshall:
a)Providetimelyinformationandifpossible,priornotificationtopotentiallyaffectedStates;
b)ConsultwiththoseStatesasearlyaspossible.FAOCCRF(1995)10.3.2
3. Managementobjectivesshallbeimplementedthroughmanagementrulesandactionsformulatedinaplanorotherframework.
FAOCCRF(1995)7.3.3/7.2.2FAOECO(2009)28.1,28.2FAOECO(2011)35.1,35.2
3.1 Longtermmanagementobjectivesshallbetranslatedintoaplanorothermanagementdocument(takingintoaccountuncertaintyandimprecision)andbesubscribedtobyallinterestedparties.
FAOCCRF(1995)7.3.3FAOECO(2009)28.1FAOECO(2011)35.1
3.2 Managementmeasuresshallprovideinteraliathat:
3.2.1 Excessfishingcapacityshallbeavoidedandexploitationofthestocksremainseconomicallyviable.
3.2.2 Theeconomicconditionsunderwhichfishingindustriesoperateshallpromoteresponsiblefisheries.
3.2.3 Theinterestsoffishers,includingthoseengagedinsubsistence,small-scaleandartisanalfisheriesshallbetakenintoaccount.
3.2.4 Biodiversityofaquatichabitatsandecosystemsshallbeconservedandendangeredspeciesshallbeprotected.Whererelevant,thereshallbepertinentobjectives,andasnecessary,managementmeasures.
FAOCCRF(1995)7.2.2FAOECO(2009)28.2FAOECO(2011)35.2
3.2.5 Thereshallbemanagementobjectivesseekingtoavoid,minimizeormitigateimpactsof
theunitofcertificationonessentialhabitatsforthestockunderconsiderationandonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertification.
FAOECO(2011)41.3
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3.2.6 Thereshallbemanagementobjectivesthatseektominimizeadverseimpactsoftheunitofcertification,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.
FAOECO(2011)36.9
B. ScienceandStockAssessmentActivities4. Thereshallbeeffectivefisherydata(dependentandindependent)collectionand
analysissystemsforstockmanagementpurposes.FAOCCRF(1995)7.1.9/7.4.4/7.4.5/7.4.6/8.4.3/12.4
FAOECO(2009)29.1-29.3FAOEco(2011)36.1,36.3-36.5,37.4
4.1 Allfisheryremovalsandmortalityofthetargetstock(s)shallbeconsideredby
management.Specifically,reliableandaccuratedatarequiredforassessingthestatusoffishery/iesandecosystems-includingdataonretainedcatch,bycatch,discardsandwasteshallbecollected.Datacanincluderelevanttraditional,fisherorcommunityknowledge,providedtheirvaliditycanobjectivelybeverified.Thesedatashallbecollected,atanappropriatetimeandlevelofaggregation,byrelevantmanagementorganizationsconnectedwiththefishery,andprovidedtorelevantStatesandsub-regional,regionalandglobalfisheriesorganizations.
FAOCCRF(1995)7.3.1,7.4.6,7.4.7,12.4FAOEco(2009)29.1-29.3
FAOEco(2011)36.1,36.3,36.44.1.1 Timely,completeandreliablestatisticsshallbecompiledoncatchandfishingeffortand
maintainedinaccordancewithapplicableinternationalstandardsandpracticesandinsufficientdetailtoallowsoundstatisticalanalysisforstockassessment.Suchdatashallbeupdatedregularlyandverifiedthroughanappropriatesystem.Theuseofresearchresultsasabasisforthesettingofmanagementobjectives,referencepointsandperformancecriteria,aswellasforensuringadequatelinkage,betweenappliedresearchandfisheriesmanagement(e.g.adoptionofscientificadvice)shallbepromoted.Resultsofanalysisshallbedistributedaccordinglyasacontributiontofisheriesconservation,managementanddevelopment.
FAOCCRF(1995)7.4.4,12.3,12.13FAOEco(2009)29.1,29.3FAOEco(2011)36.3,36.5
4.1.2Intheabsenceofspecificinformationonthe“stockunderconsideration”,generic
evidencebasedonsimilarstockscanbeusedforfisherieswithlowrisktothat“stockunderconsideration”.However,thegreatertheriskofoverfishing,themorespecificevidenceisnecessarytoascertainthesustainabilityofintensivefisheries.
FAOEco(2009)30.4FAOECO(2011)37.4
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4.2 An observer scheme designed to collect accurate data for research and supportcompliancewithapplicablefisherymanagementmeasuresshallbeestablished.
FAOCCRF(1995)8.4.3FAOEco(2009)29.2bis
4.3 Sub-regionalorregionalfisheriesmanagementorganizationsorarrangementsshall
compiledataandmakethemavailable,inamannerconsistentwithanyapplicableconfidentialityrequirements,inatimelymannerandinanagreedformattoallmembersoftheseorganizationsandotherinterestedpartiesinaccordancewithagreedprocedures.
FAOCCRF(1995)7.4.6/7.4.7
4.4 Statesshallstimulatetheresearchrequiredtosupportnationalpoliciesrelatedtofishasfood.
FAOCCRF(1995)12.7
4.5 Statesshallensurethatasufficientknowledgeoftheeconomic,social,marketingandinstitutionalaspectsoffisheriesiscollectedthroughdatagathering,analysisandresearchandthatcomparabledataaregeneratedforongoingmonitoring,analysisandpolicyformulation.
FAOCCRF(1995)7.4.5,12.9
4.6 Statesshallinvestigateanddocumenttraditionalfisheriesknowledgeandtechnologies,inparticularthoseappliedtosmallscalefisheries,inordertoassesstheirapplicationtosustainablefisheriesconservation,managementanddevelopment.
FAOCCRF(1995)12.12
4.7 StatesconductingscientificresearchactivitiesinwatersunderthejurisdictionofanotherStateshallensurethattheirvesselscomplywiththelawsandregulationsofthatStateandinternationallaw.
FAOCCRF(1995)12.14
4.8 Statesshallpromotetheadoptionofuniformguidelinesgoverningfisheriesresearchconductedonthehighseasandshall,whereappropriate,supporttheestablishmentofmechanisms,including,interalia,theadoptionofuniformguidelines,tofacilitateresearchatthesub-regionalorregionallevelandshallencouragethesharingofsuchresearchresultswithotherregions.
FAOCCRF(1995)12.15,12.16
4.9 Statesandrelevantinternationalorganizationsshallpromoteandenhancetheresearchcapacitiesofdevelopingcountries,interalia,intheareasofdatacollectionandanalysis,information,scienceandtechnology,humanresourcedevelopmentandprovisionofresearchfacilities,inorderforthemtoparticipateeffectivelyintheconservation,managementandsustainableuseoflivingaquaticresources.
FAOCCRF(1995)12.18
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4.10 Competentnationalorganizationsshall,whereappropriate,rendertechnicalandfinancialsupporttoStatesuponrequestandwhenengagedinresearchinvestigationsaimedatevaluatingstockswhichhavebeenpreviouslyunfishedorverylightlyfished.
FAOCCRF(1995)12.19
4.11 Relevanttechnicalandfinancialinternationalorganizationsshall,uponrequest,supportStatesintheirresearchefforts,devotingspecialattentiontodevelopingcountries,inparticulartheleastdevelopedamongthemandsmallislanddevelopingcountries.
FAOCCRF(1995)12.20
5. Thereshallberegularstockassessmentactivitiesappropriateforthefishery,itsrange,thespeciesbiologyandtheecosystem,undertakeninaccordancewithacknowledgedscientificstandardstosupportitsoptimumutilization.
FAOCCRF(1995)7.2.1/12.2/12.3/12.5/12.6/12.7/12.17FAOEco(2009)29-29.3,31
FAOEco(2011)42
5.1 Anappropriateinstitutionalframeworkshallbeestablishedtodeterminetheappliedresearchwhichisrequiredanditsproperuse(i.e.assess/evaluatestockassessmentmodelpracticesand/ormodel)forfisherymanagementpurposes.
FAOCCRF(1995)12.2/12.6
5.1.1Withtheuseoflesselaboratemethodsforstockassessmentfrequentlyusedforsmallscaleorlowvaluecapturefisheriesresultingingreateruncertaintyaboutthestateofthestockunderconsideration,moreprecautionaryapproachestomanagingfisheriesonsuchresourcesshallberequired,includingwhereappropriate,lowerlevelofutilizationofresources.Arecordofgoodmanagementperformancemaybeconsideredassupportingevidenceoftheadequacyandthemanagementsystem.
FAOEco(2011)42
5.1.2Statesshallensurethatappropriateresearchisconductedintoallaspectsoffisheriesincludingbiology,ecology,technology,environmentalscience,economics,socialscience,aquacultureandnutritionalscience.Resultsofanalysesshallbedistributedinatimelyandreadilyunderstandablefashioninorderthatthebestscientificevidenceismadeavailableasacontributiontofisheriesconservation,managementanddevelopment.Statesshallalsoensuretheavailabilityofresearchfacilitiesandprovideappropriatetraining,staffingandinstitutionbuildingtoconducttheresearch,takingintoaccountthespecialneedsofdevelopingcountries.
FAOCCRF(1995)12.1/7.4.2
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5.2 There shall be established research capacity necessary to assess and monitor 1) theeffectsofclimateorenvironmentchangeonfishstocksandaquaticecosystems,2)thestateofthestockunderStatejurisdiction,andfor3)theimpactsofecosystemchangesresultingfromfishingpressure,pollutionorhabitatalteration.
FAOCCRF(1995)12.5FAOEco(2009)31
5.3 Managementorganizationsshallcooperatewithrelevantinternationalorganizationstoencourageresearchinordertoensureoptimumutilizationoffisheryresources.
FAOCCRF(1995)12.7
5.4 Thefisherymanagementorganizationsshalldirectly,orinconjunctionwithotherStates,developcollaborativetechnicalandresearchprogramstoimproveunderstandingofthebiology,environmentandstatusoftrans-boundaryaquaticstocks.
FAOCCRF(1995)12.7,12.17
5.5 Datageneratedbyresearchshallbeanalysedandtheresultsofsuchanalysespublishedinawaythatensuresconfidentialityisrespected,whereappropriate.
FAOCCRF(1995)12.3
C. ThePrecautionaryApproach
6. Thecurrentstateofthestockshallbedefinedinrelationtoreferencepointsorrelevantproxiesorverifiablesubstitutesallowingforeffectivemanagementobjectivesandtargets.Remedialactionsshallbeavailableandtakenwherereferencepointorothersuitableproxiesareapproachedorexceeded.
FAOCCRF(1995)7.5.3,7.6.1FAOEco(2009)29.2-29.2bis,29.6,30-30.2FAOEco(2011)36.2,36.3,37,37.1,37.2
6.1 Statesshallestablishsafetargetreferencepoint(s)formanagement.
6.2 Statesshallestablishsafelimitreferencepoint(s)forexploitation(i.e.consistentwithavoidingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible).Whenalimitreferencepointisapproached,measuresshallbetakentoensurethatitwillnotbeexceeded.Forinstance,iffishingmortality(oritsproxy)isabovetheassociatedlimitreferencepoint,actionsshouldbetakentodecreasethefishingmortality(oritsproxy)belowthatlimitreferencepoint.
6.3 Dataandassessmentproceduresshallbeinstalledmeasuringthepositionofthefisheryinrelationtothereferencepoints.Accordingly,thestockunderconsiderationshallnotbe overfished (i.e. above limit reference point or proxy) and the level of fishingpermitted shall be commensurate with the current state of the fishery resources,maintaining its future availability, taking into account that long term changes in
Alaska Responsible Fisheries Management (RFM) Standard Version 1.3
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productivitycanoccurduetonaturalvariabilityand/orimpactsotherthanfishing.
FAOCCRF(1995)7.5.3,7.6.1FAOEco(2009)29.2-29.2bis,29.6,30-30.2FAOEco(2011)36.2,36.3,37,37.1,37.2
6.4Managementactionsshallbeagreedtointheeventualitythatdatasourcesandanalyses
indicatethatthesereferencepointshavebeenexceeded. FAOCCRF(1995)7.5.3
FAOEco(2009)29.6,30.2FAOEco(2011)36.3
7. Managementactionsandmeasuresfortheconservationofstockandtheaquatic
environmentshallbebasedontheprecautionaryapproach.Whereinformationisdeficientasuitablemethodusingriskassessmentshallbeadoptedtotakeintoaccountuncertainty.
FAOCCRF(1995)7.5.1/7.5.4/7.5.5/12.3FAOECO(2009)29.6/32
FAOEco(2011)36.7
7.1 Theprecautionaryapproachshallbeappliedwidelytoconservation,managementandexploitation of living aquatic resources in order to protect them and preserve theaquaticenvironment.Thisshouldtakedueaccountofstockenhancementprocedures,whereappropriate.Absenceofscientific informationshallnotbeusedasareasonforpostponing or failing to take conservation and management measures. Relevantuncertaintiesshallbetakenintoaccountthroughasuitablemethodofriskassessment,includingthoseassociatedwiththeuseofintroducedortranslocatedspecies3.
FAOEco(2009)29.6FAOEco(2011)36.7
7.1.1Inimplementingtheprecautionaryapproach,Statesshalltakeintoaccount,interalia,of
uncertaintiesrelatingtothesizeandproductivityofthestocks,referencepoints,stockconditioninrelationtosuchreferencepoints,levelsanddistributionoffishingmortalityandtheimpactoffishingactivities,includingdiscards,onnon-targetandassociatedordependentspeciesaswellasenvironmentalandsocio-economicconditions.
FAOCCRF(1995)7.5.2
7.1.2 Intheabsenceofadequatescientificinformation,appropriateresearchshallbeinitiatedinatimelyfashion.
3FAOTechnicalGuidelinesforResponsibleFisheriesNo.2–Precautionaryapproachtocapturefisheriesandspeciesintroductions.
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FAOCCRF(1995)7.5.1,12.3FAOEco(2009)29.6/32
7.2 Inthecaseofneworexploratoryfisheries,Statesshalladoptassoonaspossible
cautiousconservationandmanagementmeasures,including,interalia,catchlimitsandeffortlimits.Suchmeasuresshouldremaininforceuntiltherearesufficientdatatoallowassessmentoftheimpactofthefisheriesonthelong-termsustainabilityofthestocks,whereuponconservationandmanagementmeasuresbasedonthatassessmentshouldbeimplemented.Thelattermeasuresshould,ifappropriate,allowforthegradualdevelopmentofthefisheries.
FAOCCRF(1995)7.5.4
7.2.3 Contingencyplansshallbeagreedinadvancefortheappropriatemanagementresponse
to serious threats to the resource as a result of overfishingor adverseenvironmentalchangesor otherphenomenaadversely affecting the fishery resource. Suchmeasuresmaybetemporaryandshallbebasedonbestscientificevidenceavailable.
FAOCCRF(1995)7.5.5D. ManagementMeasures
8. Managementshalladoptandimplementeffectivemanagementmeasuresdesignedtomaintainstocksatlevelscapableofproducingmaximumsustainableyields,includingharvestcontrolrulesandtechnicalmeasuresapplicabletosustainableutilizationofthefisheryandbebaseduponverifiableevidenceandadvicefromavailablescientificandobjective,traditionalsources.
FAOCCRF(1995)7.1.1/7.1.2/7.1.6/7.4.1/7.6.1/7.6.9/12.3FAOEco(2009)29.2/29.4/30
FAOEco(2011)36.2,36.3
8.1 Conservationandmanagementmeasuresshallbedesignedtoensurethelong-termsustainabilityoffisheryresourcesatlevelswhichpromotetheobjectiveofoptimumutilization,andbebasedonverifiableandobjectivescientificand/ortraditional,fisherorcommunitysources.
FAOCCRF(1995)7.1.1Others7.4.1/7.6.7FAOEco(2009)29.2/29.4
FAOEco(2011)36.28.1.1Managementtargetsareconsistentwithachievingmaximumsustainableyield(MSY)(or
a suitable proxy) on average, or a lesser fishing mortality if that is optimal in thecircumstances of the fishery (e.g. multispecies fisheries) or to avoid severe adverseimpactsondependantpredators.
FAOEco(2009)29.2FAOEco(2011)36.3
8.1.2Intheevaluationofalternativeconservationandmanagementmeasures,theircost-effectivenessandsocialimpactshallbeconsidered.
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FAOCCRF(1995)7.6.7
8.1.3Studiesshallbepromotedwhichprovideanunderstandingofthecosts,benefitsandeffectsofalternativemanagementoptionsdesignedtorationalizefishing,inparticular,optionsrelatingtoexcessfishingcapacityandexcessivelevelsoffishingeffort.
FAOCCRF(1995)7.4.3
8.2 Statesshallprohibitdynamiting,poisoningandothercomparabledestructivefishingpractices.
FAOCCRF(1995)8.4.2
8.3 Statesshallseektoidentifydomesticpartieshavingalegitimateinterestintheuseandmanagementofthefishery.Whendecidingonuse,conservationandmanagementoftheresource,duerecognitionshallbegiven,whererelevant,inaccordancewithnationallawsandregulations,tothetraditionalpractices,needsandinterestsofindigenouspeopleandlocalfishingcommunitieswhicharehighlydependentontheseresourcesfortheirlivelihood.Arrangementsshallbemadetoconsultalltheinterestedpartiesandgaintheircollaborationinachievingresponsiblefisheries.
FAOCCRF(1995)7.1.2,7.1.6,7.6.6
8.4 Mechanisms shall be established where excess capacity exists, to reduce capacity tolevelscommensuratewithsustainableuseoftheresource. Fleetcapacityoperating inthefisheryshallbemeasuredandmonitored.Statesshallmaintain,inaccordancewithrecognized international standards and practices, statistical data, updated at regularintervals,onall fishingoperationsandarecordofallauthorizationsto fishallowedbythem.
FAOCCRF(1995)7.1.8,7.6.3,8.1.2,8.1.3
8.5 Technicalmeasuresshallbetakenintoaccount,whereappropriate,inrelationto:• fishsize• meshsizeorgear• closedseasons• closedareas• areasreservedforparticular(e.g.artisanal)fisheries• protectionofjuvenilesorspawners
8.6 Fishinggearshallbemarkedinaccordancewithnationallegislationinorderthatthe
ownerofthegearcanbeidentified.Gearmarkingrequirementsshalltakeintoaccountuniformandinternationallyrecognizablegearmarkingsystems.
FAOCCRF(1995)8.2.4
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8.7 Measuresshallbeintroducedtoidentifyandprotectdepletedresourcesandthose
resourcesthreatenedwithdepletion,andtofacilitatethesustainedrecovery/restorationofsuchstocks.Also,effortsshallbemadetoensurethatresourcesandhabitatscriticaltothewell-beingofsuchresourceswhichhavebeenadverselyaffectedbyfishingorotherhumanactivitiesarerestored.
FAOCCRF(1995)7.6.10,7.2.2eFAOEco(2009)30
8.8 Statesandrelevantgroupsfromthefishingindustryshallmeasureperformanceand
encouragethedevelopment,implementationanduseofselective,environmentallysafeandcosteffectivegear,technologiesandtechniquesthatsufficientlyselectiveastominimizecatch,wasteanddiscardsofnon-targetspecies-bothfishandnon-fishspeciesandimpactsonassociatedordependentspecies.Theuseoffishinggearandpracticesthatleadtothediscardingofcatchshallbediscouragedandtheuseoffishinggearandpracticesthatincreasesurvivalratesofescapingfishshallbepromoted.Inconsistentmethods,practicesandgearsshallbephasedoutaccordingly.
FAOCCRF(1995)7.2.2,7.6.4,7.6.9,8.4.5,8.5.2
8.9 Technologies,materialsandoperationalmethodsormeasuresincluding,totheextentpracticable,thedevelopmentanduseofselective,environmentallysafeandcosteffectivefishinggearandtechniquesshallbeappliedtominimizethelossoffishinggear,theghostfishingeffectsoflostorabandonedfishinggear,pollutionandwaste.
FAOCCRF(1995)7.2.2,8.4.6,8.4.1
8.10 The intent of fishing selectivity and fishing impacts related regulations shall not becircumvented by technical devices and information on new developments andrequirementsshallbemadeavailabletoallfishers.
FAOCCRF(1995)8.5.1
8.11 Assessmentandscientificevaluationshallbecarriedoutontheimplicationsofhabitatdisturbance impact on the fisheries and ecosystems prior to the introduction on acommercialscaleofnewfishinggear,methodsandoperations.Accordingly,theeffectsofsuchintroductionsshallbemonitored.
FAOCCRF(1995)8.4.7,12.118.12 International cooperation shall be encouragedwith respect to research programs for
fishinggearselectivityandfishingmethodsandstrategies,disseminationoftheresultsofsuchresearchprogramsandthetransferoftechnology.
FAOCCRF(1995)8.5.4
8.13 States and relevant institutions involved in the fishery shall collaborate in developingstandardmethodologies for research into fishinggear selectivity, fishingmethodsandstrategies, and on the behaviour of target and non-target species in relation to suchfishing gear as an aid for management decisions and with a view to minimizing nonutilizedcatches.
FAOCCRF(1995)8.5.3/12.10
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8.14 Policies shall be developed for increasing stock populations and enhancing fishing
opportunities through the use of artificial structures. States shall ensure that, whenselecting the materials to be used in the creation of artificial reefs as well as whenselecting the geographical location of such artificial reefs, the provisions of relevantinternationalconventionsconcerningtheenvironmentandthesafetyofnavigationareobserved.
FAOCCRF(1995)8.11.1,8.11.2
9. Fishingoperationsshallbecarriedoutbyfisherswithappropriatestandardsofcompetenceinaccordancewithinternationalstandardsandguidelinesandregulations.
FAOCCRF(1995)8.1.7/8.1.10/8.2.4/8.4.5
9.1 Statesshallenhancethrougheducationandtrainingprogramstheeducationandskillsoffishersand,whereappropriate,theirprofessionalqualifications.Suchprogramsshalltakeintoaccountagreedinternationalstandardsandguidelines.
FAOCCRF(1995)8.1.7/8.4.1
9.2 States,withtheassistanceofrelevantinternationalorganizations,shallendeavortoensurethrougheducationandtrainingthatallthoseengagedinfishingoperationsbegiveninformationonthemostimportantprovisionsoftheFAOCCRF(1995),aswellasprovisionsofrelevantinternationalconventionsandapplicableenvironmentalandotherstandardsthatareessentialtoensureresponsiblefishingoperations.
FAOCCRF(1995)8.1.10
9.3Statesshall,asappropriate,maintainrecordsoffisherswhichshall,wheneverpossible,containinformationontheirserviceandqualifications,includingcertificatesofcompetency,inaccordancewiththeirnationallaws.
FAOCCRF(1995)8.1.8
E. Implementation,MonitoringandControl
10. Aneffectivelegalandadministrativeframeworkshallbeestablishedandcomplianceensuredthrougheffectivemechanismsformonitoring,surveillance,controlandenforcementforallfishingactivitieswithinthejurisdiction.
FAOCCRF(1995)7.1.7/7.7.3/7.6.2/8.1.1/8.1.4/8.2.1FAOECO(2009)29.5FAOEco(2011)36.6
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10.1. Effectivemechanismsshallbeestablishedforfisheriesmonitoring,surveillance,controland enforcement measures including, where appropriate, observer programs,inspection schemes and vessel monitoring systems, to ensure compliance with theconservationandmanagementmeasuresforthefisheryinquestion.Thiscouldincluderelevanttraditional,fisherorcommunityapproaches,providedtheirperformancecouldbeobjectivelyverified.
FAOCCRF(1995)7.1.7Others7.7.3/8.1.1FAOEco(2009)29.5FAOEco(2011)36.6
10.2 Fishingvesselsshallnotbeallowedtooperateontheresourceinquestionwithout
specificauthorization.FAOCCRF(1995)7.6.2Other8.1.2,8.2.1
10.3 Statesinvolvedinthefisheryshall,inaccordancewithinternationallaw,withinthe
frameworkofsub-regionalorregionalfisheriesmanagementorganizationsorarrangements,cooperatetoestablishsystemsformonitoring,control,surveillanceandenforcementofapplicablemeasureswithrespecttofishingoperationsandrelatedactivitiesinwatersoutsidetheirnationaljurisdiction.
FAOCCRF(1995)8.1.4
10.3.1Stateswhicharemembersoforparticipantsinsub-regionalorregionalfisheriesmanagementorganizationsorarrangementsshallimplementinternationallyagreedmeasuresadoptedintheframeworkofsuchorganizationsorarrangementsandconsistentwithinternationallawtodetertheactivitiesofvesselsflyingtheflagofnon-membersornon-participantswhichengageinactivitieswhichunderminetheeffectivenessofconservationandmanagementmeasuresestablishedbysuchorganizationsorarrangements.Inthatrespect,PortStatesshallalsoproceed,asnecessary,toassistotherStatesinachievingtheobjectivesoftheFAOCCRF(1995),andshouldmakeknowntootherStatesdetailsofregulationsandmeasurestheyhaveestablishedforthispurposewithoutdiscriminationforanyvesselofanyotherState.
FAOCCRF(1995)7.7.5/8.3.1
10.4FlagStatesshallensurethatnofishingvesselsentitledtoflytheirflagfishonthehighseasorinwatersunderthejurisdictionofotherStatesunlesssuchvesselshavebeenissuedwithaCertificateofRegistryandhavebeenauthorizedtofishbythecompetentauthorities.SuchvesselsshallcarryonboardtheCertificateofRegistryandtheirauthorizationtofish.
FAOCCRF(1995)8.2.2
10.4.1 FishingvesselsauthorizedtofishonthehighseasorinwatersunderthejurisdictionofaStateotherthantheflagStateshallbemarkedinaccordancewithuniformandinternationallyrecognizablevesselmarkingsystemssuchastheFAOStandardSpecificationsandGuidelinesforMarkingandIdentificationofFishingVessels.
FAOCCRF(1995)8.2.3
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11. Thereshallbeaframeworkforsanctionsforviolationsandillegalactivitiesofadequateseveritytosupportcomplianceanddiscourageviolations.
FAOCCRF(1995)7.7.2/8.2.7
11.1 Nationallawsofadequateseverityshallbeinplacethatprovideforeffectivesanctions.
11.2 Sanctions applicable in respect of violations and illegal activities shall be adequate inseverity to be effective in securing compliance and discouraging violations wherevertheyoccur.Sanctionsshallalsobe in force thataffectsauthorization to fishand/or toserve as masters or officers of a fishing vessel, in the event of non-compliance withconservationandmanagementmeasures.
FAOCCRF(1995)7.7.2/8.1.9/8.2.7
11.3 FlagStatesshalltakeenforcementmeasuresinrespectoffishingvesselsentitledtoflytheirflagwhichhavebeenfoundbythemtohavecontravenedapplicableconservationandmanagementmeasures,including,whereappropriate,makingthecontraventionofsuchmeasuresanoffenceundernationallegislation.
FAOCCRF(1995)8.2.7
F. SeriousImpactsoftheFisheryontheEcosystem12. Considerationsoffisheryinteractionsandeffectsontheecosystemshallbebasedonbest
availablescience,localknowledgewhereitcanbeobjectivelyverifiedandusingariskbasedmanagementapproachfordeterminingmostprobableadverseimpacts.Adverseimpactsofthefisheryontheecosystemshallbeappropriatelyassessedandeffectivelyaddressed.
FAOCCRF(1995)7.2.3/8.4.7/8.4.8/12.11FAOECO(2009)29.3/31FAOEco(2011)41-41.4
12.1 Statesshallassesstheimpactsofenvironmentalfactorsontargetstocksandspecies
belongingtothesameecosystemorassociatedwithordependentuponthetargetstocks,andassesstherelationshipamongthepopulationsintheecosystem.
FAOCCRF(1995)7.2.3
12.2 Adverseenvironmentalimpactsontheresourcesfromhumanactivitiesshallbeassessedand,whereappropriate,corrected.
FAOCCRF(1995)7.2.2
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12.3 Themostprobableadverseimpactsofthefisheryontheecosystem/environmentshallbeconsidered,takingintoaccountavailablescientificinformation,andlocalknowledge.Intheabsenceofspecificinformationontheecosystemimpactsoffishingfortheunitofcertification,genericevidencebasedonsimilarfisherysituationscanbeusedforfisherieswithlowriskofsevereadverseimpact.However,thegreatertheriskthemorespecificevidenceshallbenecessarytoascertaintheadequacyofmitigationmeasures.
FAOEco(2009)30.4,31,31.4FAOEco(2011)41.4
12.4 Impactsthatarelikelytohaveseriousconsequencesshallbeaddressed.Thismaytake
theformofanimmediatemanagementresponseorafurtheranalysisoftheidentifiedrisk. Inthiscontext,fullrecognitionshouldbegiventothespecialcircumstancesandrequirementsindevelopingcountriesandcountriesintransition,includingfinancialandtechnicalassistance,technologytransfer,trainingandscientificcooperation.
FAOEco(2009)29.3,29.4,31FAOEco(2011)41
12.5 Appropriatemeasuresshallbeappliedtominimize:
• catch,wasteanddiscardsofnon-targetspecies(bothfishandnon-fishspecies).• impactsonassociated,dependentorendangeredspecies
FAOCCRF(1995)7.6.9FAOEco(2009)31.1
12.5.1 Thereshallbemanagementobjectivesthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.
FAOECO(2011)41
12.6Nontargetcatches,includingdiscards,ofstocksotherthanthe“stockunderconsideration”shallbemonitoredandshallnotthreatenthesenon-targetstockswithseriousriskofextinction,recruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible;ifsuchimpactsarise,effectiveremedialactionshallbetaken.
FAOEco(2009)31.1FAOEco(2011)41.1
12.7Theroleofthe“stockunderconsideration”inthefoodwebshallbeconsidered,andifitisakeypreyspeciesintheecosystem,managementobjectivesandmeasuresshallbeinplacetoavoidsevereadverseimpactsondependentpredators.
FAOEco(2009)31.2FAOEco(2011)41.2
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12.8StatesshallintroduceandenforcelawsandregulationsbasedontheInternationalConventionforthePreventionofPollutionfromShips,1973,asmodifiedbytheProtocolof1978relatingthereto(MARPOL73/78).
FAOCCRF(1995)8.7.1
12.9Thereshallbeknowledgeoftheessentialhabitatsforthe“stockunderconsideration”andpotentialfisheryimpactsonthem.Impactsonessentialhabitatsandonhabitatsthatarehighlyvulnerabletodamagebythefishinggearinvolvedshallbeavoided,minimizedormitigated.Inassessingfisheryimpacts,thefullspatialrangeoftherelevanthabitatshallbeconsidered,notjustthatpartofthespatialrangethatispotentiallyaffectedbyfishing.
FAOEco(2009)31.3FAOEco(2011)41.3
12.10 Research shall be promoted on the environmental and social impacts of fishing gearand, in particular, on the impact of such gear on biodiversity and coastal fishingcommunities.
FAOCCRF(1995)8.4.8/7.6.4
12.11Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesfornon-targetstocks(i.e.avoidingoverfishingandotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible).
FAOECO(2011)41.1
12.12Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.
FAOECO(2011)41
12.13Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesforavoiding,minimizingormitigatingtheimpactsoftheunitofcertificationonessentialhabitatsforthe“stockunderconsideration”andonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertification.
FAOECO(2011)41.3
12.14Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektoavoidsevereadverseimpactsondependentpredatorsresultingfromtheunitofcertificationfishingonastockunderconsiderationthatisakeypreyspecies.
FAOECO(2011)41.2
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12.15Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektominimizeadverseimpactsoftheunitofcertification,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.Anymodificationstothehabitatforenhancingthestockunderconsiderationmustbereversibleandnotcauseseriousorirreversibleharmtothenaturalecosystem’sstructure,processesandfunction.
FAOECO(2011)36.9,41
13. Wherefisheriesenhancementisutilized,environmentalassessmentandmonitoringshallconsidergeneticdiversityandecosystemintegrity.
FAOCCRF(1995)9.1.2/9.1.3/9.1.4/9.1.5/9.3.1/9.3.5FAOEco(2011)36.9,38,39,40,41,43
13.1 Stateshallpromoteresponsibledevelopmentandmanagementofaquaculture,
includinganadvancedevaluationoftheeffectsofaquaculturedevelopmentongeneticdiversityandecosystemintegrity,basedonthebestavailablescientificinformation(and/ortraditional,fisherorcommunityobjectiveandverifiableknowledge).Significantuncertaintyistobeexpectedinassessingpossibleadverseecosystemimpactsoffisheries,includingcultureandenhancementactivities.Thisissuecanbeaddressedbytakingariskassessment/riskmanagementapproach.
FAOCCRF(1995)9.1.2FAOEco(2011)41
13.1.1Inthecaseofenhancedfisheries,thefisherymanagementsystemshouldtakedue
regardofthenaturalproductionprocessesandbeappropriatefortheconservationofgeneticdiversity,biodiversity,protectionofendangeredspecies,maintenanceofintegrityofaquaticcommunitiesandecosystems,minimisingadverseimpactsonecosystemstructureandfunction.
FAOCCRF(1995)9.3.1FAOEco(2011)36.9,41
13.2 Stateshallproduceandregularlyupdateaquaculturedevelopmentstrategiesandplans,
asrequired,toensurethataquaculturedevelopmentisecologicallysustainableandtoallowtherationaluseofresourcessharedbyaquacultureandotheractivities.
FAOCCRF(1995)9.1.3
13.2.1Stateshallensurethatthelivelihoodsoflocalcommunities,andtheiraccesstofishinggrounds,arenotnegativelyaffectedbyaquaculturedevelopments.
FAOCCRF(1995)9.1.4
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13.3 Effectiveproceduresspecifictoaquacultureoffisheriesenhancementshallbeestablishedtoundertakeappropriateenvironmentalassessmentandmonitoringwiththeaimofminimizingadverseecologicalchangessuchasthosecausedbyinputsfromenhancementactivitiesandrelatedeconomicandsocialconsequences.
FAOCCRF(1995)9.1.5/9.2.5
13.4Withdueregardtotheassessmentapproachemployed,stockassessmentoffisheriesthatareenhancedthroughaquacultureinputsshallconsidertheseparatecontributionsfromaquacultureandnaturalproduction.
FAOEco(2011)43
13.5Anymodificationtothehabitatforenhancingthestockunderconsiderationisreversibleanddonotcauseseriousorirreversibleharmtothenaturalecosystem’sstructureandfunction.
FAOEco(2011)41
13.5.1 Effortsshallbeundertakentominimizetheharmfuleffectsofintroducingnon-nativespeciesorgeneticallyalteredstocksusedforaquacultureincludingculturebasedfisheriesintowaters.
13.5.2 Stepsshallbetakentominimizeadversegeneticdiseaseandothereffectsofescapedfarmedfishonwildstocks.
FAOCCRF(1995)9.3.1
13.5.3 Researchshallbepromotedtodevelopculturetechniquesforendangeredspeciestoprotect,rehabilitateandenhancetheirstocks,takingintoaccountthecriticalneedtoconservegeneticdiversityofendangeredspecies.
FAOCCRF(1995)9.3.5
13.6Stateshallprotecttransboundaryaquaticecosystemsbysupportingresponsibleaquaculturepracticeswithintheirnationaljurisdictionandbycooperationinthepromotionofsustainableaquaculturepractices.
FAOCCRF(1995)9.2.1
13.7Stateshall,withduerespecttotheirneighbouringStatesandinaccordancewithinternationallaw,ensureresponsiblechoiceofspecies,sitingandmanagementofaquacultureactivitieswhichcouldaffecttransboundaryaquaticecosystems.
FAOCCRF(1995)9.2.2
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13.8StateshallconsultwiththeirneighbouringStates,asappropriate,beforeintroducingnon-indigenousspeciesintotrans-boundaryaquaticecosystems.
FAOCCRF(1995)9.2.3
13.9Stateshallestablishappropriatemechanisms,suchasdatabasesandinformationnetworkstocollect,shareanddisseminatedatarelatedtotheiraquacultureactivitiestofacilitatecooperationonplanningforaquaculturedevelopmentatthenational,sub-regional,regionalandgloballevel.
FAOCCRF(1995)9.2.4
13.10Stateshallcooperateintheelaboration,adoptionandimplementationofinternationalcodesofpracticeandproceduresforintroductionsandtransfersofaquaticorganisms.
FAOCCRF(1995)9.3.2
13.11Statesshall,inordertominimizerisksofdiseasetransferandotheradverseeffectsonwildandculturedstocks,encourageadoptionandpromotetheuseofappropriatepractices/proceduresintheselectionandgeneticimprovementofbroodstocks,theintroductionofnon-nativespecies,andintheproduction,saleandtransportofeggs,larvae,fry,broodstockorotherlivematerials.Statesshallfacilitatethepreparationandimplementationofappropriatenationalcodesofpracticeandprocedurestothiseffect.
FAOCCRF(1995)9.3.3,9.3.4
13.12Enhancedfisheriesmaybesupportedinpartbystockingoforganismsproducedinaquaculturefacilitiesorremovedfromwildstocksotherthanthe“stockunderconsideration”.Aquacultureproductionforstockingpurposesshouldbemanagedanddevelopedaccordingtotheaboveprovisions,especiallyinrelationtomaintainingtheintegrityoftheenvironment,theconservationofgeneticdiversity,diseasecontrol,andqualityofstockingmaterial.
FAOEco(2011)36.8,40
13.13Regardingtheenhancedcomponentsofthe“stockunderconsideration”,providedthatanaturalreproductivestockcomponentismaintainedandfisheryproductionisbasedprimarilyonnaturalbiologicalproductionwithintheecosystemofwhichthe“stockunderconsideration”formsapart,enhancedfisheriesshallmeetthefollowingcriteria:
• the species shall be native to the fishery’s geographic area or introducedhistorically and have subsequently become established as part of the “natural”ecosystem;
• there shall be natural reproductive components of the “stock underconsideration”;
• thegrowthduring thepost-releasephaseshallbebaseduponfoodsupply fromthe natural environment and the production system shall operate withoutsupplementalfeeding.
FAOEco(2011)38
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13.14Inthecaseofenhancedfisheries,“stockunderconsideration”maycomprisenaturallyreproductivecomponentsandcomponentsmaintainedbystocking.Inthecontextofavoidingsignificantnegativeimpactsofenhancementactivitiesonthenaturalreproductivecomponentsof“stockunderconsideration”:
• naturallyreproductivecomponentsofenhancedstocksshallnotbeoverfished;• naturallyreproductivecomponentsofenhancedstocksshallnotbesubstantially
displacedbystockedcomponents.Inparticular,displacementshallnotresultinareductionof thenatural reproductive stockcomponentbelowabundance-basedtargetreferencepoints(ortheirproxies)definedfortheregulationofharvest.
FAOEco(2011)39
References:FAO.CodeofConductforResponsibleFisheriesRome,FAO.1995.ISBN92-5-103834-1
FAO.GuidelinesfortheEcolabellingofFishandFisheryProductsfromMarineCaptureFisheries.Rome/Roma,FAO.2005(andextensions2009).
FAO.GuidelinesfortheEcolabellingofFishandFisheryproductsfromInlandCaptureFisheries.Rome/Roma,FAO.2011.
FAO.Caddy,J.F.AchecklistforfisheriesresourcemanagementissuesseenfromtheperspectiveoftheFAOCodeofConductforResponsibleFisheries.FAOFisheriesCircular.No.917.Rome,FAO.1996.22p.
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Appendix1
BackgroundtothedevelopmentoftheFAOCodeofConductforResponsibleFisheries(CCRF)
TheInternationalConferenceonResponsibleFishing,heldin1992inCancún(Mexico)requestedtheFoodandAgricultureOrganizationoftheUnitedNations(FAO)toprepareaninternationalCodeofConductwhichwouldleadtoresponsible,sustainedfisheriesworldwide.TheoutcomeofthisConference,particularlytheDeclarationofCancún,wasanimportantcontributiontothe1992UnitedNationsConferenceonEnvironmentandDevelopment(UNCED),inparticularitsAgenda21.Subsequently,theUnitedNationsConferenceonStraddlingFishStocksandHighlyMigratoryFishStockswasconvened,towhichFAOprovidedimportanttechnicalback-up.InNovember1993,theAgreementtoPromoteCompliancewithInternationalConservationandManagementMeasuresbyFishingVesselsontheHighSeaswasadoptedattheTwenty-seventhSessionoftheFAOConference.Notingtheseandotherimportantdevelopmentsinworldfisheries,theFAOGoverningBodiesrecommendedtheformulationofaglobalCodeofConductforResponsibleFisherieswhichwouldbeconsistentwiththeseinstrumentsand,inanon-mandatorymanner,establishprinciplesandstandardsapplicabletoconservation,managementanddevelopmentofallfisheries.
TheCode,whichwasunanimouslyadoptedon31October1995bytheFAOConference,providesanecessaryframeworkfornationalandinternationaleffortstoensuresustainableexploitationofaquaticlivingresourcesinharmonywiththeenvironment.TheFAOCCRFisvoluntary.However,certainpartsofitarebasedonrelevantrulesofinternationallaw,includingthosereflectedintheUnitedNationsConventionontheLawoftheSeaof10December1982.TheFAOCCRFisglobalinscope,andisdirectedtowardmembersandnon-membersofFAO,fishingentities,subregional,regionalandglobalorganizations,whethergovernmentalornon-governmental,andallpersonsconcernedwiththeconservationoffisheryresourcesandmanagementanddevelopmentoffisheries,suchasfishers,thoseengagedinprocessingandmarketingoffishandfisheryproductsandotherusersoftheaquaticenvironmentinrelationtofisheries.TheFAOCCRFprovidesprinciplesandstandardsapplicabletotheconservation,managementanddevelopmentofallfisheries.Italsocoversthecapture,processingandtradeoffishandfisheryproducts,fishingoperations,aquaculture,fisheriesresearchandtheintegrationoffisheriesintocoastalareamanagement.Finally,thereferencetoStatesincludestheEuropeanCommunityinmatterswithinitscompetence,andtheterm“fisheries”appliesequallytocapturefisheriesandaquaculture.
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BackgroundtotheFAOEcolabellingGuidelinesforFishandFisheryProductsfromMarineCaptureFisheries
InOctober1998,FAOconvenedaTechnicalConsultationontheFeasibilityofDevelopingNon-discriminatoryTechnicalGuidelinesforEcolabellingofProductsfromMarineCaptureFisheries.Thisconsultationidentifiedanumberofprinciplestobeobservedbyecolabellingschemes:
• beconsistentwiththeFAOCodeofConductforResponsibleFisheries;• bevoluntaryandmarket-driven;• betransparent;• benon-discriminatory,bynotcreatingobstaclestotradeandallowingforfair
competition;• establishclearaccountabilityforthepromotersofschemesandforthecertifying
bodies,inconformitywithinternationalstandards;• includeareliableauditingandverificationprocess;• recognizethesovereignrightsofstatesandcomplywithallrelevantlawsand
regulations;• ensureequivalenceofstandardsamongcountries;• bebasedonthebestscientificevidence;• bepractical,viableandverifiable;• ensurethatlabelscommunicatetruthfulinformationandprovideforclarity.
TheguidelinesdrawuponvarioussourcesincludingrelevantguidesoftheInternationalOrganizationforStandardization(ISO),theWTOAgreementonTechnicalBarrierstoTrade(TBT),inparticular,Annex3CodeofGoodPracticeforthePreparation,AdoptionandApplicationofStandards,andtheworkoftheInternationalSocialandEnvironmentalAccreditationandLabelling(ISEAL)Alliance.
AttherecommendationoftheSub-CommitteeFAOorganizedaTechnicalConsultationinOctober2004tofinalizethedraftguidelinesfortheirconsiderationbythe26thSessionofCOFIinMarch2005.
TheFAOGuidelinesfortheEcolabellingofFishandFisheryProductsfromMarineCaptureFisheries,asupdatedinrevision1of2009,areapplicabletoecolabellingschemesthataredesignedtocertifyandpromotelabelsforproductsfromwell-managedmarinecapturefisheriesandfocusonissuesrelatedtothesustainableuseoffisheriesresources.TheEcolabellingGuidelinessetsforththeminimumsubstantiverequirementsandcriteriaforassessingwhetherafisherycanbecertifiedandanecolabelawardedtoafishery.Ecolabellingschemesmayapplyadditionalormorestringentrequirementsandcriteriarelatedtosustainableuseoftheresources.TherequirementsandcriteriapresentedinEcolabellingGuidelinesaretobebasedonandinterpretedinaccordancewiththecurrentsuiteofagreedinternationalinstrumentsaddressingfisheries,inparticularthe1982UNConventionontheLawoftheSea,the1995UN
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FishStocksAgreementandthe1995CodeofConductforResponsibleFisheries,aswellasrelateddocumentationincludingthe2001ReykjavikDeclarationonResponsibleFisheriesintheMarineEcosystem.
In2011,theFAOpublishedtheEcolabellingGuidelinesforInlandFisherieswhichrevisedthepreviousguidelinesin2009andprovidedfurthercriteriaforenhancedfisheries.
Appendix2
TableofrationalesforexclusionofFAOCCRFarticles/sub-articlesfromtheConformanceCriteria(allotherarticles/sub-articlesareotherwiseincluded).
Article/sub-articleoftheFAOCCRF Rationaleforexclusion
Preface/Introduction SetstheCodeincontextwithinthewiderfieldofworldwidefisheriesandfishproduction.NotformallyreferencedintheConformanceCriteria.
Article1:NatureandScopeoftheCode NatureandscopeoftheCodeisanintroductiontothedevelopmentandtheaimsoftheCode.AshortreferencetothisisprovidedaboveasAppendix1.NotincludedinConformanceCriteriaasitisonlyageneralintroductoryarticle.
Article2:ObjectivesoftheCode TheverygeneraloverarchingobjectivesoftheCode.NotformallyreferencedwithintheConformanceCriteriabutindirectlyaddressedbythetotalityoftheotherclausesincluded.
Article3:RelationshipwithOtherInternationalInstruments
ExplainstherelationshipoftheCodewithotherinternationalinstruments.NotincludedasthisisstillpartoftheintroductiontotheCodeandoutofscopefordirectassessmentofResponsibleFisheriesManagement.
Article4:Implementation,MonitoringandUpdating
Implementation,monitoringandupdatingoftheCodebymemberandnon-memberStates.NotincludedasthisisstillpartoftheintroductiontotheCodeandoutofscopefordirectassessmentofResponsibleFisheriesManagement.
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Article5:SpecialRequirementofDevelopingCountries
Couldaddalayerofcomplexityindecidingwhetherthescoringsprovidedaretoberegardedassatisfyingornotsatisfyingthecriteriaforresponsiblefishing.Notconsideredatpresent,butpotentialtobeconsideredinthefutureifdevelopingcountriesfisherieswillbeassessedforResponsibleFisheriesManagement.
Article6:GeneralPrinciples TheverygeneralprinciplesbehindResponsibleFisheries.Notformallyreferenced,butelaboratedlaterintheentiretyoftheConformanceCriteria.
Article7.2:ManagementObjectives
7.2.1 NotformallyreferencedintextbutelaboratedfullywithinConformanceCriteriareferencingclause7.2.2oftheCCRF.
Article8.1:DutiesofallStates
8.1.5 HealthandSafetybased.Outofscope.
8.1.6 SearchandRescuebased.Outofscope.
Article8.2:FlagStateDuties
8.2.1 Thecontextofthisclauseiscurrentlyassessedwithinsection11oftheConformanceCriteria.
8.2.5 HealthandSafetybased.Outofscope.
8.2.8 Insurancecoveragerelated.Outofscope.
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8.2.9 Repatriationrelated.Outofscope.
8.2.10 HealthandSafety/Accidentsrelated.Outofscope.
8.3PortStateDuties
8.3.2 VesselAssistancerelated.OutofScope.
8.4FishingOperations
8.4.1 LargelyHealthandsafetyrelated,therestoftheclause(relatedtolossoffishinggearandprotectionofthemarineenvironment)isreferencedwithintheconformancecriteria.
8.4.4 Qualityrelated.OutofScope.
8.6EnergyOptimization Energyrelated.Outofscope.
8.7Protectionoftheaquaticenvironment
8.7.2 IndividualVesselAuditrelated.OutofScope.
8.7.3 IndividualVesselAuditrelated.OutofScope.
8.7.4 IndividualVesselAuditrelated.OutofScope.
8.8Protectionoftheatmosphere Gasemissionstoatmosphererelated.Outofscope.
8.9Harboursandlandingplacesforfishingvessels
Largelyharbourdesignandservicesqualityrelated.Relevanttoachainofcustodycertification.Outofscope.
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8.10 Abandonedfishinggearhasbeenconsideredwithinthecontextofotherclauses.NotFormallyreferencedwithintheConformanceCriteria.
8.11Artificialreefsandfishaggregationdevices
8.11.4 Safetyofnavigationrelated.Outofscope.
9.1Responsibledevelopmentofaquaculture,includingculturebasedfisheries,inareasundernationaljurisdiction
9.1.1 AlreadyaddressedindirectlythroughoutSection14oftheConformanceCriteria.
9.4Responsibleaquacultureattheproductionlevel
Fullcycleaquacultureatproductionlevel.Outofscope.
10.3RegionalCooperation
10.3.1 NotformallyreferencedwithintheConformanceCriteria,butfullyaddressedwithinSection1and2.
11Post-harvestpracticesandtrade Postharvestpracticesrelated.Outofscope.
12FisheriesResearch
12.8 HealthandSafetyrelated.Outofscopeforthisassessment.
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Appendix3ConformanceCriteriaVersion1.2-changestoreducerepetitionwithinthevariousclausesandstreamlinetheoverallrequirementsofthedocument.
Changenumber Changedescription
1 Clause1.2,1.2.1,1.2.2fusedtogether.
2 Clause1.2.3fusedwithclause4.1.
3 Clause1.3fusedwithclause1.4.
4 Clause1.5modifiedwordingfrom“cooperationwithStates”to“internationalcooperationandcoordinationonfisherymatters”tobetterreflectclause7.3.4oftheCCRF,fromwhichitwasderived.
5 Clause2.1,2.1.1,2.1.2fusedtogether.
6 Clause2.2fusedwith2.4.1.
7 Clause2.3,2.3.1,2.11fusedtogether.
8 Clause2.6,2.6.1,2.8fusedtogether.
9 Clause2.10movedupinSection2.
10 Clause3.2.5,9.1fusedtogether.
11 Clause4.1,4.1.1fusedtogether.
12 Clause4.1.2and5.5.1fusedtogether.
13 Clause4.3,4.5fusedtogether.
14 Clause5.1and5.1.1havebeenswitchedinnumber.
15 Clause5.2and5.2.1havebeenfusedtogether.
16 Clause5.5.2fusedwithclause7.1.1.
17 Clause5.6movedtoSection8.
18 Clause5.7movedunderfundamentalclause8asmorerelevant.
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19 Clause6.1deleted.Therequirementsof6.1arecompletelyspelledoutinclause6.1.1,6.1.2,6.1.3,6.1.4.
20 Clause6.1.5movedtoSection7asmorerelevanttoimplementationoftheprecautionaryapproach.
21 Clause7.2,7.2.1,7.2.2havebeenfusedtogetherandmodifiedaccordinglytofullyreflectclause7.5.4oftheCCRF.
22 Clause8.2,8.2.1fusedtogether.
23 Clause8.3and8.3.1fusedtogether.
24 Clause8.4and8.4.2fusedwithclause9.3.
25 Inclause8.4.1“discards”istakenoutasthisisrepeatedinclause9.3.
26 Headingoffundamentalclause9hasbeendeletedandcollapsedintofundamentalclause8(alsoreflectedonpage7).Nowtheheadingoffundamental8groupsallsupportingclausesoffundamentalclause8and9.Thiswasdonebecausefundamental9wasextremelysimilartofundamental8andbecauseitssupportingclausesweremorerelevanttofundamental8.
27 Clause9.2fusedwithclause8.2.
28 Clause9.5fusedtoclause9.3.
29 Clause9.9fusedwithclause9.9.1.
30 Clause9.9.2movedunderfundamentalclause2asmorerelevanttoCZM
31 Clause12.1.1fusedwithclause12.2.1.
32 Clause13.1.2fusedwithclause13.1.3.
33 Clause13.4fusedwithclause9.4.
34 Clause13.5.1movedunderfundamentalclause8.
35 Someclauseshavebeenrenumberedasaresultofthisrevisionprocess.
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Appendix4UpdateoftheConformanceCriteriaVersion1.2toV1.3tofullyreflecttherequirementsofthe2011FAOGuidelinesfortheEcolabellingofFishandFisheryproductsfromInlandCaptureFisheries.
AddedtoClause1.1-Themanagementsystemandthefisheryoperateincompliancewiththerequirementsoflocal,nationalandinternationallawsandregulations,includingtherequirementsofanyregionalfisheriesmanagementagreement.
AddedtoClause1.2–(i.e.structureandcompositioncontributingtoresilience).
AddedtoClause3.1-(takingintoaccountuncertaintyandimprecision).
AddedtoClause3.2.4-Whererelevant,thereshallbepertinentobjectives,andasnecessary,managementmeasures.
AddedtoClause4.1-Datacanincluderelevanttraditional,fisherorcommunityknowledge,providedtheirvaliditycanobjectivelybeverified.
AddedtoClause4.1.1-(e.g.adoptionofscientificadvice)
Clause4.1.2added-Intheabsenceofspecificinformationonthe“stockunderconsideration”,genericevidencebasedonsimilarstockscanbeusedforfisherieswithlowrisktothat“stockunderconsideration”.However,thegreatertheriskofoverfishing,themorespecificevidenceisnecessarytoascertainthesustainabilityofintensivefisheries.
FAOEco(2009)30.4FAOECO(2011)37.4
Clause5.1.1added-Withtheuseoflesselaboratemethodsforstockassessmentfrequentlyusedfor
smallscaleorlowvaluecapturefisheriesresultingingreateruncertaintyaboutthestateofthestockunderconsideration,moreprecautionaryapproachestomanagingfisheriesonsuchresourcesshallberequired,includingwhereappropriate,lowerlevelofutilizationofresources.Arecordofgoodmanagementperformancemaybeconsideredassupportingevidenceoftheadequacyandthemanagementsystem.
FAOEco(2011)42
Clause6.2modifiedtoread-Statesshallestablishsafelimitreferencepoint(s)forexploitation(i.e.consistentwithavoidingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible).Whenalimitreferencepointisapproached,measuresshallbetakentoensurethatitwillnotbeexceeded.Forinstance,iffishingmortality(oritsproxy)isabovetheassociatedlimitreferencepoint,actionsshouldbetakentodecreasethefishingmortality(oritsproxy)belowthatlimitreferencepoint.
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Clause6.3modifiedtoread-Dataandassessmentproceduresshallbeinstalledmeasuringthepositionofthefisheryinrelationtothereferencepoints.Accordingly,thestockunderconsiderationshallnotbeoverfished(i.e.abovelimitreferencepointorproxy)andtheleveloffishingpermittedshallbecommensuratewiththecurrentstateofthefisheryresources,maintainingitsfutureavailability,takingintoaccountthatlongtermchangesinproductivitycanoccurduetonaturalvariabilityand/orimpactsotherthanfishing.
Clause7.1added-Thisshouldtakedueaccountofstockenhancementprocedures,whereappropriate.Absenceofscientificinformationshallnotbeusedasareasonforpostponingorfailingtotakeconservationandmanagementmeasures.Relevantuncertaintiesshallbetakenintoaccountthroughasuitablemethodofriskassessment,includingthoseassociatedwiththeuseofintroducedortranslocatedspecies.
Clause7.1.2.deleted–“Accordingly,relativeconservationandmanagementmeasuresshallnotbepostponed”.Thisisnowincludedwithinclause7.1.
AddedtoClause8.1-fisherorcommunity.
Clause8.1.1added-Managementtargetsareconsistentwithachievingmaximumsustainableyield(MSY) (ora suitableproxy)onaverage,ora lesser fishingmortality if that isoptimal in thecircumstancesof the fishery (e.g.multispecies fisheries)or toavoidsevereadverse impactsondependantpredators.
FAOEco(2009)29.2FAOEco(2011)36.3
AddedtoClause10.1-Thiscouldincluderelevanttraditional,fisherorcommunityapproaches,providedtheirperformancecouldbeobjectivelyverified.
Clause12.4modifiedtoread-Impactsthatarelikelytohaveseriousconsequencesshallbeaddressed.Thismaytaketheformofanimmediatemanagementresponseorafurtheranalysisoftheidentifiedrisk. Inthiscontext,fullrecognitionshouldbegiventothespecialcircumstancesandrequirementsindevelopingcountriesandcountriesintransition,includingfinancialandtechnicalassistance,technologytransfer,trainingandscientificcooperation.
FAOEco(2009)29.3,29.4,31FAOEco(2011)41
Clause12.6modifiedtoread-Nontargetcatches,includingdiscards,ofstocksotherthanthe“stockunderconsideration”shallbemonitoredandshallnotthreatenthesenon-targetstockswithseriousriskofextinction,recruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible;ifsuchimpactsarise,effectiveremedialactionshallbetaken.
FAOEco(2009)31.1FAOEco(2011)41.1
Clause13.1modifiedtoread-Statesshallpromoteresponsibledevelopmentandmanagementof
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aquaculture,includinganadvancedevaluationoftheeffectsofaquaculturedevelopmentongeneticdiversityandecosystemintegrity,basedonthebestavailablescientificinformation(and/ortraditional,fisherorcommunityobjectiveandverifiableknowledge).Significantscientificuncertaintyistobeexpectedinassessingpossibleadverseecosystemimpactsoffisheries,includingcultureandenhancementactivities.Thisissuecanbeaddressedbytakingariskassessment/riskmanagementapproach.
FAOCCRF(1995)9.1.2FAOEco(2011)41
Clause13.1.1modifiedtoread-Inthecaseofenhancedfisheries,thefisherymanagementsystem
shouldtakedueregardofthenaturalproductionprocessesandbeappropriatefortheconservationofgeneticdiversity,biodiversity,protectionofendangeredspecies,maintenanceofintegrityofaquaticcommunitiesandecosystems,minimisingadverseimpactsonecosystemstructureandfunction.
FAOCCRF(1995)9.3.1FAOEco(2011)36.9,41
Clause13.4added-Withdueregardtotheassessmentapproachemployed,stockassessmentof
fisheriesthatareenhancedthroughaquacultureinputsshallconsidertheseparatecontributionsfromaquacultureandnaturalproduction.
FAOEco(2011)43
Clause13.5added-Anymodificationtothehabitatforenhancingthestockunderconsiderationarereversibleanddonotcauseseriousorirreversibleharmtothenaturalecosystem’sstructureandfunction.
FAOEco(2011)41
Clause13.11and13.12fusedtoread-Statesshall,inordertominimizerisksofdiseasetransferandotheradverseeffectsonwildandculturedstocks,encourageadoptionandpromotetheuseofappropriatepractices/proceduresintheselectionandgeneticimprovementofbroodstocks,theintroductionofnon-nativespecies,andintheproduction,saleandtransportofeggs,larvae,fry,broodstockorotherlivematerials.Statesshallfacilitatethepreparationandimplementationofappropriatenationalcodesofpracticeandprocedurestothiseffect.
FAOCCRF(1995)9.3.3,9.3.4
Clause13.12added-Enhancedfisheriesmaybesupportedinpartbystockingoforganismsproducedinaquaculturefacilitiesorremovedfromwildstocksotherthanthe“stockunderconsideration”.Aquacultureproductionforstockingpurposesshouldbemanagedanddevelopedaccordingtotheaboveprovisions,especiallyinrelationtomaintainingtheintegrityoftheenvironment,theconservationofgeneticdiversity,diseasecontrol,andqualityofstockingmaterial.
FAOEco(2011)36.8,40
Clause13.13added-Regardingtheenhancedcomponentsofthe“stockunderconsideration”,
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providedthatanaturalreproductivestockcomponentismaintainedandfisheryproductionisbasedprimarilyonnaturalbiologicalproductionwithintheecosystemofwhichthe“stockunderconsideration”formsapart,enhancedfisheriesshallmeetthefollowingcriteria:
• thespeciesshallbenativetothefishery’sgeographicareaorintroducedhistoricallyandhavesubsequentlybecomeestablishedaspartofthe“natural”ecosystem;
• thereshallbenaturalreproductivecomponentsofthe“stockunderconsideration”;• the growth during the post-release phase shall be based upon food supply from the
natural environment and the production system shall operatewithout supplementalfeeding.
FAOEco(2011)38
Clause13.14added-Inthecaseofenhancedfisheries,“stockunderconsideration”maycomprisenaturallyreproductivecomponentsandcomponentsmaintainedbystocking.Inthecontextofavoidingsignificantnegativeimpactsofenhancementactivitiesonthenaturalreproductivecomponentsof“stockunderconsideration”:
• naturallyreproductivecomponentsofenhancedstocksshallnotbeoverfished;• naturally reproductive components of enhanced stocks shall not be substantially
displaced by stocked components. In particular, displacement shall not result in areduction of the natural reproductive stock component below abundance-basedtargetreferencepoints(ortheirproxies)definedfortheregulationofharvest.
FAOEco(2011)39
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Appendix5UpdatetheConformanceCriteriaVersion1.2toV1.3toincreasespecificityofrequirementsreferringtomanagementobjectivesandrelatedindicators.
ClausesAdded/modifiedClauseadded-3.2.5 Thereshallbemanagementobjectivesseekingtoavoid,minimizeormitigateimpactsoftheunitofcertificationonessentialhabitatsforthestockunderconsiderationandonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertification.
FAOECO(2011)41.3
Clauseadded–3.2.6 Thereshallbemanagementobjectivesthatseektominimizeadverseimpactsoftheunitofcertification,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.
FAOECO(2011)36.9Clauseadded-12.5.1Thereshallbemanagementobjectivesthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.
FAOECO(2011)41Clausemodified-12.7Theroleofthe“stockunderconsideration”inthefoodwebshallbeconsidered,andifitisakeypreyspeciesintheecosystem,managementobjectivesandmeasuresshallbeinplacetoavoidsevereadverseimpactsondependentpredators.
FAOECO(2011)41.2Clauseadded-12.11Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesfornon-targetstocks(i.e.avoidingoverfishingandotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible).
FAOECO(2011)41.1Clauseadded-12.12Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektoensurethatendangeredspeciesareprotectedfromadverseimpactsresultingfrominteractionswiththeunitofcertificationandanyassociatedcultureorenhancementactivity,includingrecruitmentoverfishingorotherimpactsthatarelikelytobeirreversibleorveryslowlyreversible.
FAOECO(2011)41
Clauseadded-12.13Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesforavoiding,minimizingormitigatingtheimpactsoftheunitofcertificationonessentialhabitatsforthe“stockunderconsideration”andonhabitatsthatarehighlyvulnerabletodamagebythefishinggearoftheunitofcertification.
FAOECO(2011)41.3Clauseadded-12.14Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektoavoidsevereadverseimpactsondependentpredatorsresultingfromtheunitofcertificationfishingonastockunderconsiderationthatisakeypreyspecies.
FAOECO(2011)41.2
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Clauseadded-12.15Thereshallbeoutcomeindicator(s)consistentwithachievingmanagementobjectivesthatseektominimizeadverseimpactsoftheunitofcertification,includinganyenhancementactivities,onthestructure,processesandfunctionofaquaticecosystemsthatarelikelytobeirreversibleorveryslowlyreversible.Anymodificationstothehabitatforenhancingthestockunderconsiderationmustbereversibleandnotcauseseriousorirreversibleharmtothenaturalecosystem’sstructure,processesandfunction.
FAOECO(2011)36.9,41
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AlaskaSeafoodMarketingInstitute
AlaskaSeafoodMarketingInstitutewww.alaskaseafood.orgrfm@alaskaseafood.org