IOTC Training Manual_Part B - ACP Fish II

58 Pages·2013·0.42 MB·English

Indian Ocean Tuna Commission
Commission des Thons de l’Océan Indien
Implementation of IOTC Conservation and Management
Measures
PART B
Implementation of IOTC CMMs
entailing reporting obligations
July 2013
Acknowledgements
This manual has been prepared with the
Technical assistance to
financial support of the European Union
developing countries CPC of the IOTC to
under the grant “
improve implementation of IOTC CMMs
and implementation of Port State
Measures
”. This grant is a voluntary
contribution of the European Union to the
IOTC special fund for capacity building in
order to ensure compliance with IOTC
Conservation and Management Measures.
The capacity building fund is established
under theIOTCResolution 12/10.
The content of the manual has been
developed by the IOTC Secretariat with
technical support from Gilles Hosch.
The manual has been printed with the
financial support of the ACP-Fish II
Programme.
Bibliographicentry:
IOTC,
IOTC, 2013. Implementation of IOTC CMMs
Seychelles
-Entailing reporting obligations.
. 58pp.
For further information, contact:
Indian Ocean Tuna Commission
Le Chantier Mall
PO Box 1011, Victoria, Seychelles
Tel + 248 422 54 94
Fax+ 248 422 43 64
[email protected]
www.iotc.org
© IOTC 2013
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Summary
The purpose of this Manual is to assist IOTC
Members and Cooperating Non-Contracting
Parties in achieving a better understanding
of the actions that they need to take under
the IOTC, by providing an overview of the
Conservation and Management Measures
(CMM’s) entailing active reporting
requirements.
The content is divided into six chapters.
The first chapter provides a broad overview
of the IOTC Resolutions and Conservation
and Management measures adopted by the
IOTC.
The second chapter provide a detailed
description of the requirements from the
CPCs arising from the CMMs in relation to
the main rolesthat CPCs play with regards to
Coastal State responsibility.
The third Chapter describes requirements
and responsibilitiesof CPC as Flag State.
The fourth chapter describes requirements
and responsibilities of CPCs as Port State.
The fifth chapterdescribes requirements and
responsibilities of CPCs as Market State.
The sixth chapter describes the cross cutting
CMMS and duties from the agreement.
This manual should be viewed as a living
document that can be revised and improved
by all parties as experience is expanded in
the implementation of the IOTC
Conservation and Management Measures.
Co funded by the European Union
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Table of Contents
Acronyms................................................................................................................................................7
CHAPTER 1–Introduction......................................................................................................................8
Resolutions and Recommendations...................................................................................................8
Compliance.........................................................................................................................................9
State of play on CMMs-2012.............................................................................................................9
Matrix of CMMs entailing reporting requirements..........................................................................10
Event-based and recurrent reporting requirements........................................................................11
Duties of flag, port, market and coastal States.................................................................................11
CHAPTER 2–Coastal State CMMs........................................................................................................13
Requirements under primarily coastal State CMMs.........................................................................13
Res. 12/07: Record of licensed foreign Vessels............................................................................13
Requirements under primarily flag State CMMs..............................................................................14
Res. 12/09: Conservation of Thresher Sharks...............................................................................15
Res. 12/05: Transhipment by Large-Scale Fishing Vessels............................................................15
Res. 11/04: Regional Observer Scheme........................................................................................15
Res. 07/02: Record of authorised Vessels.....................................................................................16
Res. 05/05: Conservation of Sharks..............................................................................................16
Requirements under Cross Cutting CMMs.......................................................................................17
Res. 11/03: List of presumed IUU Vessels.....................................................................................17
Res. 10/09: Functions of the Compliance Committee..................................................................18
Res. 07/01: Compliance by Nationals...........................................................................................18
IOTC Agreement: Article X............................................................................................................18
CHAPTER 3–Flag State CMMs.............................................................................................................20
Requirements under exclusive flag State CMMs..............................................................................21
Res. 12/12: Large-Scale Driftnets on the High Seas......................................................................21
Res. 12/11: Limitation of Fishing Capacity....................................................................................22
Res. 12/04: Conservation of Marine Turtles.................................................................................23
Res. 10/08: Record of active Vessels............................................................................................24
Res. 10/06: Incidental Bycatch of Seabirds...................................................................................25
Res. 10/02: Mandatory statistical Requirements.........................................................................25
Res. 06/03: Vessel Monitoring System.........................................................................................26
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Requirements under primarily flag State CMMs..............................................................................27
Res. 12/13: Management of tropical Tuna...................................................................................27
Res. 12/09: Conservation of Thresher Sharks...............................................................................28
Res. 12/05: Transhipment by Large-Scale Fishing Vessels............................................................28
Res. 11/04: Regional Observer Scheme........................................................................................30
Res. 07/02: Record of authorised Vessels.....................................................................................30
Res. 05/05: Conservation of Sharks..............................................................................................32
Res. 01/06: Bigeye Statistical Document Programme..................................................................32
Requirements under primarily coastal State CMMs.........................................................................33
Res. 12/07: Record of licensed foreign Vessels............................................................................33
Requirements under primarily port State CMMs.............................................................................34
Res. 10/11: Port State Measures..................................................................................................34
Res. 05/03: Programme of Inspection in Port...............................................................................34
Requirements under Cross Cutting CMMs.......................................................................................35
Res. 11/03: List of presumed IUU Vessels.....................................................................................35
Res. 10/09: Functions of the Compliance Committee..................................................................36
Res. 07/01: Compliance by Nationals...........................................................................................36
IOTC Agreement: Article X............................................................................................................37
CHAPTER 4–Port State CMMs.............................................................................................................38
Requirements under primarily port State CMMs.............................................................................39
Res. 10/11: Port State Measures..................................................................................................39
Res. 05/03: Programme of Inspection in Port...............................................................................40
Requirements under primarily flag State CMMs..............................................................................41
Res. 12/13: Management of tropical Tuna...................................................................................41
Res. 12/05: Transhipment by Large-Scale Fishing Vessels............................................................41
Res. 07/02: Record of authorised Vessels.....................................................................................42
Requirements under primarily market State CMMs........................................................................42
Res. 10/10: Market related Measures..........................................................................................42
Requirements under Cross Cutting CMMs.......................................................................................43
Res. 11/03: List of presumed IUU Vessels.....................................................................................43
Res. 10/09: Functions of the Compliance Committee..................................................................44
Res. 07/01: Compliance by Nationals...........................................................................................44
IOTC Agreement: Article X............................................................................................................44
CHAPTER 5–Market State CMMs........................................................................................................46
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Requirements under primarily market State CMMs........................................................................46
Res. 10/10: Market related Measures..........................................................................................46
Requirements under primarily flag State CMMs..............................................................................48
Res. 12/13: Management of tropical Tuna...................................................................................48
Res. 07/02: Record of authorised Vessels.....................................................................................48
Res. 01/06: Bigeye Statistical Document Programme..................................................................49
Requirements under Cross Cutting CMMs.......................................................................................49
Res. 11/03: List of presumed IUU Vessels.....................................................................................50
Res. 10/09: Functions of the Compliance Committee..................................................................50
Res. 07/01: Compliance by Nationals...........................................................................................51
IOTC Agreement: Article X............................................................................................................51
CHAPTER 6–Cross Cutting CMMs & duties from the Agreement.......................................................52
Requirements under Cross Cutting CMMs.......................................................................................52
Res. 11/03: List of presumed IUU Vessels.....................................................................................52
Res. 10/09: Functions of the Compliance Committee..................................................................54
Res. 07/01: Compliance by Nationals...........................................................................................54
Requirements under the Agreement................................................................................................55
ANNEX I–List of active resolutions with long and short titles.............................................................56
ANNEX II–Implementation sheets.......................................................................................................57
ANNEX III–Reporting templates..........................................................................................................58
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Acronyms
AFV Authorized fishing vessel
APSM Agreement on Port State Measures (2009)
BET Bigeye Tuna
CITES Convention on International Trade in Endangered Species of Wild Fauna and Flora
CPCs IOTCContracting Parties(or “Members”)andCooperatingNon-contracting Parties
DWFN Distant Water Fishing Nation
EEZ Exclusive Economic Zone
FAO Food and Agriculture Organization of the UN
FAOCA FAO Compliance Agreement (1993)
FDP Fleet Development Plan (see Res. 12/11)
FMC Fisheries Monitoring Centre
IOSEA MoU Memorandum of Understanding on the Conservation and Management of Marine
Turtles and their Habitats of the Indian Ocean and South-East Asia
IOTC Indian Ocean Tuna Commission
IPOA International Plan of Action
IUU Illegal, unreported and unregulated(fishing)
LOA Length overall (fishing vessel)
LSTV Large-scale tuna vessel
LSTLV Large-scale tuna longline fishing vessel
MCS Monitoring, Control and Surveillance
NCP Non-contracting Party
NPOA National Plan of Action
SKJ Skipjack Tuna
UN UnitedNations Organization
UNCLOS United Nations Convention on the Law of the Sea (1982)
UNFSA United Nations Fish Stock Agreement (1995)
VMS Vessel Monitoring System
WPEB Working Party on Ecosystems and Biodiversity
YFT Yellowfin Tuna
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CHAPTER 1 – Introduction
Objective of this manual
The purpose of this Manual is to assist IOTC Members and Cooperating Non-Contracting Parties
(designated together as “CPCs”) in achievinga better understanding of the actionsthat they need to
take under the IOTC, by providing an overview of the Conservation and Management Measures
(CMM’s)entailing active reporting requirements.
This manual should not be taken as a substitute to the full gambit of IOTC Resolutions and
Recommendations. It does not cover active technical implementation requirements of resolutions
which do not require recurrent or event-based reporting. For the resolutions covered in this manual,
technical requirements are outlined for the purpose of fostering understanding, but the focus is on
reporting requirements.
The collection of the full-text of IOTC Resolutions and Recommendations can be downloaded from
the following IOTC webpage: http://www.iotc.org/English/resolutions.php. The IOTC generally
provides an updated yearly compendium of the active resolutions and recommendations that CPCs
are toobserve.
Structureof this document
The requirements from the CPCs arising from the CMMs are presented and discussed in relation to
the main rolesthat CPCs play:
a. Flag State
b. Port State
c. Market State
d. Licensing State
The above four categories, with the addition of a ‘Cross cutting’ category, deals with CMM that
affects more than one category of CPCs and correspond to discreet chapters of this manual. In the
first four chapters, active resolutions are listed which apply either exclusively or primarily to a
specific type of Statejurisdiction, or which contain elementsforimplementation by aparticular type
of State jurisdiction. In the fifth chapter, active resolutions are listed which cover all types of States
in a general manner–and no specific type of Statejurisdictionin particular.
Apart from providing an overview of these resolutions, this manual also indicates the availability,
from the IOTC Secretariat, of implementation sheets for relevant active resolutions and reporting
templates which should be used to submit information under specific resolutions to the IOTC
Secretariat. The implementation sheets provide a simple summary overview per resolution on what
reporting action has got to be taken by whom and at what point in time. The reporting templates
assist CPCs to provide information in a set format, assisting the Secretariatin pooling information in
such a way that it can then easily bestored,usedoranalysedto support further work.
Resolutions and Recommendations
There are two different types of CMMs;Resolutions andRecommendations.
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IOTC Resolutions are binding, and generally contain at least one binding “shall” clause instructing a
party to undertake an action, and a reference toArticle IX of the IOTC Agreement. Such action might
be requested ofCPCs, the Secretariat, or ofasubsidiary bodyof the Commission. Resolutionscanbe
time-bound and become redundant a year or two after their promulgation. Other resolutions have a
more permanent character. Resolutions also sometimes become superseded; i.e. they are updated
and replaced by a new resolution. This manual only deals with currently active resolutions that are
binding upon IOTC Members and Cooperating Non-Contracting Parties, and which entail reporting
obligations.
IOTC Recommendations are what their title implies. They contain suggested best practice, and are
generally directed at CPCs. While they are not binding, nor the object of detailed implementation
and reporting routines presented in this manual, they are no less important and often reflect
internationally recognized best practice standards, as reflected in the FAO Code of Conduct for
Responsible Fisheries, for instance.
There are various types of resolutions, and there is no straightforward way of categorizing them.
Some resolutions address the organs of the IOTC internally and instruct them on actions to take.
Other resolutions instructCPCs to take specific management action with regard to the fisheries. We
call such required actions “technical requirements”. Other resolutions instruct CPCs to submit
specific types of information (data, statistics) to the Secretariat, either on a one-off basis, or on the
basis of specific events (event-based), or at set intervals of time (recurrent). Such “reporting
requirements” are not limited to the submission of data and statistics, but can also relate to
information on how specific technical requirements have, or are being implemented under given
resolutions.
Compliance
The ComplianceSection oftheIOTCSecretariatis responsible forgathering the information that the
Compliance Committee uses in monitoring the implementation of CMMs by the CPCs. The Terms of
Reference of the Compliance Committee were established through IOTC Resolution 10/09, which is
also covered in this manual. The work of the Compliance Committee endeavours to enhance the
complianceofCPCswith IOTC CMMs.
This manual is also intended to foster andto maximisetheoutcomes of thework of the Compliance
Committee, asthe manualshould support and make the work of CPCsto comply with CMMs easier,
foremost of which with their reporting requirements.
State of play on CMMs-2012
In late 2012, there were 21 active CMMs requiring active reporting by CPCs.The implementation of
the reporting requirements (of which several are reporting requirements monitoring technical
implementation of CMMs)isactively monitored by the Compliance Committee.
This manual details what these requirements are, and more specifically, when, how, and to whom
informationshould besubmitted.
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Matrix of CMMsentailing reporting requirements
The following table contains the full list of CMMsthat entailed reporting requirementsby the end of
2012. The matrix provides a summary overview of which State-types are addressed by which
resolution. The tick marks in the table indicate which particular types of State jurisdiction are
addressed by any given resolution. Therequirementsunder each resolutionaregenerallynot limited
to reporting requirements, and can, in some cases, be limited to technical implementation
requirements.This table is useful to establish “whom the resolutionstalk to”.
Following a common approach in RFMO, the majorityof resolutionsfocusprimarilyontheflag State
action, as these States carry the responsibility to control the actions of their fleets. Less regulatory
substance is focusing directly on port, licensing or market States. But it is often the case that a
number of resolutions address several types of State jurisdictions at the same time. In some cases
the focus is spread more or less equally between several types of States (e.g. Res. 01/06 on BET
statistical document programme), or it has a focus on one particular type, with some others also
covered, but to a lesser degree (e.g.Res. 05/05on the conservation of sharks).
Coastal
State (not
Resolution (& Market Licensing
Resolution title Flag State Port State covered
previous no.) State State
in other
roles)
12/13 (10/01) For the Conservation and Management of tropical
Tuna Stocks in the IOTC Area of Competence
12/12 (09/05) To prohibit the use of Large-Scale Driftnets on the
High Seas in the IOTC Area
12/11 (09/02) On the implementation of a limitation of Fishing
(07/05) (06/05) Capacity of ContractingParties and Cooperating
Non-Contracting Parties
12/09 (10/12) On the conservation of Thresher Sharks (Family
Alopiidae) caught in association with Fisheries in
the IOTC Area of Competence
12/07 (10/07) Concerning a Record of licensedforeign Vessels
fishing for IOTC Species in the IOTC Area of
Competence and Access Agreement Information
12/05 (11/05) On establishing a Programme for transhipment by
Large-Scale Fishing Vessels
12/04 (09/06) On the Conservationof Marine Turtles
(05/08)
11/04 (10/04) On a Regional Observer Scheme
11/03 (09/03) On establishing a List of Vessels presumed to have
(06/01) carried out Illegal, Unreported and Unregulated
Fishing in the IOTC Area of Competence
10/11 OnPort State Measures to prevent, deter and
eliminate Illegal, Unreported and Unregulated
Fishing
10/10 Concerning Market Related Measures
10/09 (02/03) Concerning the Functions of the Compliance
Committee
10/08 (07/04) Concerning a Record of active Vessels fishing for
(05/04) (98/04) Tunas and Swordfish in the IOTC Area
10/06 (08/03) On reducing the incidental Bycatch of Seabirds in
Longline Fisheries
10/02 (08/01) Mandatory statistical requirements forIOTC
Members and Cooperating Non-Contracting
Parties (CPC’s)
07/02 (01/02 Concerning the establishment of an IOTC Record
part.) of Vessels authorised to operate in the IOTC Area
07/01 To promote Compliance by Nationals of
Contracting Parties and Cooperating Non-
Contracting Parties with IOTC Conservation and
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